As used in this chapter, unless the context requires otherwise:
Administrator means the Federal Aviation Administrator or any person to whom he has delegated his authority in the matter concerned.
Aerodynamic coefficients means non-dimensional coefficients for aerodynamic forces and moments.
Air carrier means a person who undertakes directly by lease, or other arrangement, to engage in air transportation.
Air commerce means interstate, overseas, or foreign air commerce or the transportation of mail by aircraft or any operation or navigation of aircraft within the limits of any Federal airway or any operation or navigation of aircraft which directly affects, or which may endanger safety in, interstate, overseas, or foreign air commerce.
Aircraft means a device that is used or intended to be used for flight in the air.
Aircraft engine means an engine that is used or intended to be used for propelling aircraft. It includes turbosuperchargers, appurtenances, and accessories necessary for its functioning, but does not include propellers.
Airframe means the fuselage, booms, nacelles, cowlings, fairings, airfoil surfaces (including rotors but excluding propellers and rotating airfoils of engines), and landing gear of an aircraft and their accessories and controls.
Airplane means an engine-driven fixed-wing aircraft heavier than air, that is supported in flight by the dynamic reaction of the air against its wings.
Airport means an area of land or water that is used or intended to be used for the landing and takeoff of aircraft, and includes its buildings and facilities, if any.
Airship means an engine-driven lighter-than-air aircraft that can be steered.
Air traffic means aircraft operating in the air or on an airport surface, exclusive of loading ramps and parking areas.
Air traffic clearance means an authorization by air traffic control, for the purpose of preventing collision between known aircraft, for an aircraft to proceed under specified traffic conditions within controlled airspace.
Air traffic control means a service operated by appropriate authority to promote the safe, orderly, and expeditious flow of air traffic.
Air Traffic Service (ATS) route is a specified route designated for channeling the flow of traffic as necessary for the provision of air traffic services. The term “ATS route” refers to a variety of airways, including jet routes, area navigation (RNAV) routes, and arrival and departure routes. An ATS route is defined by route specifications, which may include:
(1) An ATS route designator;
(2) The path to or from significant points;
(3) Distance between significant points;
(4) Reporting requirements; and
(5) The lowest safe altitude determined by the appropriate authority.
Air transportation means interstate, overseas, or foreign air transportation or the transportation of mail by aircraft.
Alert Area. An alert area is established to inform pilots of a specific area wherein a high volume of pilot training or an unusual type of aeronautical activity is conducted.
Alternate airport means an airport at which an aircraft may land if a landing at the intended airport becomes inadvisable.
Altitude engine means a reciprocating aircraft engine having a rated takeoff power that is producible from sea level to an established higher altitude.
Amateur rocket means an unmanned rocket that:
(1) Is propelled by a motor or motors having a combined total impulse of 889,600 Newton-seconds (200,000 pound-seconds) or less; and
(2) Cannot reach an altitude greater than 150 kilometers (93.2 statute miles) above the earth's surface.
Appliance means any instrument, mechanism, equipment, part, apparatus, appurtenance, or accessory, including communications equipment, that is used or intended to be used in operating or controlling an aircraft in flight, is installed in or attached to the aircraft, and is not part of an airframe, engine, or propeller.
Approved, unless used with reference to another person, means approved by the FAA or any person to whom the FAA has delegated its authority in the matter concerned, or approved under the provisions of a bilateral agreement between the United States and a foreign country or jurisdiction.
Area navigation (RNAV) is a method of navigation that permits aircraft operations on any desired flight path.
Area navigation (RNAV) route is an ATS route based on RNAV that can be used by suitably equipped aircraft.
Armed Forces means the Army, Navy, Air Force, Marine Corps, and Coast Guard, including their regular and reserve components and members serving without component status.
Autorotation means a rotorcraft or powered-lift flight condition in which the lifting rotor is driven entirely by action of the air when the rotorcraft or powered-lift is in motion.
Auxiliary rotor means a rotor that serves either to counteract the effect of the main rotor torque on a rotorcraft or to maneuver the rotorcraft about one or more of its three principal axes.
Balloon means a lighter-than-air aircraft that is not engine driven, and that sustains flight through the use of either gas buoyancy or an airborne heater.
Brake horsepower means the power delivered at the propeller shaft (main drive or main output) of an aircraft engine.
Calibrated airspeed means the indicated airspeed of an aircraft, corrected for position and instrument error. Calibrated airspeed is equal to true airspeed in standard atmosphere at sea level.
Canard means the forward wing of a canard configuration and may be a fixed, movable, or variable geometry surface, with or without control surfaces.
Canard configuration means a configuration in which the span of the forward wing is substantially less than that of the main wing.
Category:
(1) As used with respect to the certification, ratings, privileges, and limitations of airmen, means a broad classification of aircraft. Examples include: airplane; rotorcraft; glider; and lighter-than-air; and
(2) As used with respect to the certification of aircraft, means a grouping of aircraft based upon intended use or operating limitations. Examples include: transport, normal, utility, acrobatic, limited, restricted, and provisional.
Category A, with respect to transport category rotorcraft, means multiengine rotorcraft designed with engine and system isolation features specified in Part 29 and utilizing scheduled takeoff and landing operations under a critical engine failure concept which assures adequate designated surface area and adequate performance capability for continued safe flight in the event of engine failure.
Category B, with respect to transport category rotorcraft, means single-engine or multiengine rotorcraft which do not fully meet all Category A standards. Category B rotorcraft have no guaranteed stay-up ability in the event of engine failure and unscheduled landing is assumed.
Category II operations, with respect to the operation of aircraft, means a straight-in ILS approach to the runway of an airport under a Category II ILS instrument approach procedure issued by the Administrator or other appropriate authority.
Category III operations, with respect to the operation of aircraft, means an ILS approach to, and landing on, the runway of an airport using a Category III ILS instrument approach procedure issued by the Administrator or other appropriate authority.
Ceiling means the height above the earth's surface of the lowest layer of clouds or obscuring phenomena that is reported as “broken”, “overcast”, or “obscuration”, and not classified as “thin” or “partial”.
Civil aircraft means aircraft other than public aircraft.
Class:
(1) As used with respect to the certification, ratings, privileges, and limitations of airmen, means a classification of aircraft within a category having similar operating characteristics. Examples include: single engine; multiengine; land; water; gyroplane; helicopter; airship; and free balloon; and
(2) As used with respect to the certification of aircraft, means a broad grouping of aircraft having similar characteristics of propulsion, flight, or landing. Examples include: airplane; rotorcraft; glider; balloon; landplane; and seaplane.
Clearway means:
(1) For turbine engine powered airplanes certificated after August 29, 1959, an area beyond the runway, not less than 500 feet wide, centrally located about the extended centerline of the runway, and under the control of the airport authorities. The clearway is expressed in terms of a clearway plane, extending from the end of the runway with an upward slope not exceeding 1.25 percent, above which no object nor any terrain protrudes. However, threshold lights may protrude above the plane if their height above the end of the runway is 26 inches or less and if they are located to each side of the runway.
(2) For turbine engine powered airplanes certificated after September 30, 1958, but before August 30, 1959, an area beyond the takeoff runway extending no less than 300 feet on either side of the extended centerline of the runway, at an elevation no higher than the elevation of the end of the runway, clear of all fixed obstacles, and under the control of the airport authorities.
Climbout speed, with respect to rotorcraft, means a referenced airspeed which results in a flight path clear of the height-velocity envelope during initial climbout.
Commercial operator means a person who, for compensation or hire, engages in the carriage by aircraft in air commerce of persons or property, other than as an air carrier or foreign air carrier or under the authority of Part 375 of this title. Where it is doubtful that an operation is for “compensation or hire”, the test applied is whether the carriage by air is merely incidental to the person's other business or is, in itself, a major enterprise for profit.
Configuration, Maintenance, and Procedures (CMP) document means a document approved by the FAA that contains minimum configuration, operating, and maintenance requirements, hardware life-limits, and Master Minimum Equipment List (MMEL) constraints necessary for an airplane-engine combination to meet ETOPS type design approval requirements.
Controlled airspace means an airspace of defined dimensions within which air traffic control service is provided to IFR flights and to VFR flights in accordance with the airspace classification.
Controlled airspace is a generic term that covers Class A, Class B, Class C, Class D, and Class E airspace.
Controlled Firing Area. A controlled firing area is established to contain activities, which if not conducted in a controlled environment, would be hazardous to nonparticipating aircraft.
Crewmember means a person assigned to perform duty in an aircraft during flight time.
Critical altitude means the maximum altitude at which, in standard atmosphere, it is possible to maintain, at a specified rotational speed, a specified power or a specified manifold pressure. Unless otherwise stated, the critical altitude is the maximum altitude at which it is possible to maintain, at the maximum continuous rotational speed, one of the following:
(1) The maximum continuous power, in the case of engines for which this power rating is the same at sea level and at the rated altitude.
(2) The maximum continuous rated manifold pressure, in the case of engines, the maximum continuous power of which is governed by a constant manifold pressure.
Critical engine means the engine whose failure would most adversely affect the performance or handling qualities of an aircraft.
Decision altitude (DA) is a specified altitude in an instrument approach procedure at which the pilot must decide whether to initiate an immediate missed approach if the pilot does not see the required visual reference, or to continue the approach. Decision altitude is expressed in feet above mean sea level.
Decision height (DH) is a specified height above the ground in an instrument approach procedure at which the pilot must decide whether to initiate an immediate missed approach if the pilot does not see the required visual reference, or to continue the approach. Decision height is expressed in feet above ground level.
Early ETOPS means ETOPS type design approval obtained without gaining non-ETOPS service experience on the candidate airplane-engine combination certified for ETOPS.
EFVS operation means an operation in which visibility conditions require an EFVS to be used in lieu of natural vision to perform an approach or landing, determine enhanced flight visibility, identify required visual references, or conduct a rollout.
Enhanced flight visibility (EFV) means the average forward horizontal distance, from the cockpit of an aircraft in flight, at which prominent topographical objects may be clearly distinguished and identified by day or night by a pilot using an enhanced flight vision system.
Enhanced flight vision system (EFVS) means an installed aircraft system which uses an electronic means to provide a display of the forward external scene topography (the natural or manmade features of a place or region especially in a way to show their relative positions and elevation) through the use of imaging sensors, including but not limited to forward-looking infrared, millimeter wave radiometry, millimeter wave radar, or low-light level image intensification. An EFVS includes the display element, sensors, computers and power supplies, indications, and controls.
Equivalent airspeed means the calibrated airspeed of an aircraft corrected for adiabatic compressible flow for the particular altitude. Equivalent airspeed is equal to calibrated airspeed in standard atmosphere at sea level.
ETOPS Significant System means an airplane system, including the propulsion system, the failure or malfunctioning of which could adversely affect the safety of an ETOPS flight, or the continued safe flight and landing of an airplane during an ETOPS diversion. Each ETOPS significant system is either an ETOPS group 1 significant system or an ETOPS group 2 significant system.
(1) An ETOPS group 1 Significant System—
(i) Has fail-safe characteristics directly linked to the degree of redundancy provided by the number of engines on the airplane.
(ii) Is a system, the failure or malfunction of which could result in an IFSD, loss of thrust control, or other power loss.
(iii) Contributes significantly to the safety of an ETOPS diversion by providing additional redundancy for any system power source lost as a result of an inoperative engine.
(iv) Is essential for prolonged operation of an airplane at engine inoperative altitudes.
(2) An ETOPS group 2 significant system is an ETOPS significant system that is not an ETOPS group 1 significant system.
Extended Operations (ETOPS) means an airplane flight operation, other than an all-cargo operation in an airplane with more than two engines, during which a portion of the flight is conducted beyond a time threshold identified in part 121 or part 135 of this chapter that is determined using an approved one-engine-inoperative cruise speed under standard atmospheric conditions in still air.
Extended over-water operation means—
(1) With respect to aircraft other than helicopters, an operation over water at a horizontal distance of more than 50 nautical miles from the nearest shoreline; and
(2) With respect to helicopters, an operation over water at a horizontal distance of more than 50 nautical miles from the nearest shoreline and more than 50 nautical miles from an off-shore heliport structure.
External load means a load that is carried, or extends, outside of the aircraft fuselage.
External-load attaching means means the structural components used to attach an external load to an aircraft, including external-load containers, the backup structure at the attachment points, and any quick-release device used to jettison the external load.
Final approach fix (FAF) defines the beginning of the final approach segment and the point where final segment descent may begin.
Final takeoff speed means the speed of the airplane that exists at the end of the takeoff path in the en route configuration with one engine inoperative.
Fireproof—
(1) With respect to materials and parts used to confine fire in a designated fire zone, means the capacity to withstand at least as well as steel in dimensions appropriate for the purpose for which they are used, the heat produced when there is a severe fire of extended duration in that zone; and
(2) With respect to other materials and parts, means the capacity to withstand the heat associated with fire at least as well as steel in dimensions appropriate for the purpose for which they are used.
Fire resistant—
(1) With respect to sheet or structural members means the capacity to withstand the heat associated with fire at least as well as aluminum alloy in dimensions appropriate for the purpose for which they are used; and
(2) With respect to fluid-carrying lines, fluid system parts, wiring, air ducts, fittings, and powerplant controls, means the capacity to perform the intended functions under the heat and other conditions likely to occur when there is a fire at the place concerned.
Flame resistant means not susceptible to combustion to the point of propagating a flame, beyond safe limits, after the ignition source is removed.
Flammable, with respect to a fluid or gas, means susceptible to igniting readily or to exploding.
Flap extended speed means the highest speed permissible with wing flaps in a prescribed extended position.
Flash resistant means not susceptible to burning violently when ignited.
Flightcrew member means a pilot, flight engineer, or flight navigator assigned to duty in an aircraft during flight time.
Flight level means a level of constant atmospheric pressure related to a reference datum of 29.92 inches of mercury. Each is stated in three digits that represent hundreds of feet. For example, flight level 250 represents a barometric altimeter indication of 25,000 feet; flight level 255, an indication of 25,500 feet.
Flight plan means specified information, relating to the intended flight of an aircraft, that is filed orally or in writing with air traffic control.
Flight simulation training device (FSTD) means a full flight simulator or a flight training device.
Flight time means:
(1) Pilot time that commences when an aircraft moves under its own power for the purpose of flight and ends when the aircraft comes to rest after landing; or
(2) For a glider without self-launch capability, pilot time that commences when the glider is towed for the purpose of flight and ends when the glider comes to rest after landing.
Flight training device (FTD) means a replica of aircraft instruments, equipment, panels, and controls in an open flight deck area or an enclosed aircraft cockpit replica. It includes the equipment and computer programs necessary to represent aircraft (or set of aircraft) operations in ground and flight conditions having the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standard (QPS) for a specific FTD qualification level.
Flight visibility means the average forward horizontal distance, from the cockpit of an aircraft in flight, at which prominent unlighted objects may be seen and identified by day and prominent lighted objects may be seen and identified by night.
Foreign air carrier means any person other than a citizen of the United States, who undertakes directly, by lease or other arrangement, to engage in air transportation.
Foreign air commerce means the carriage by aircraft of persons or property for compensation or hire, or the carriage of mail by aircraft, or the operation or navigation of aircraft in the conduct or furtherance of a business or vocation, in commerce between a place in the United States and any place outside thereof; whether such commerce moves wholly by aircraft or partly by aircraft and partly by other forms of transportation.
Foreign air transportation means the carriage by aircraft of persons or property as a common carrier for compensation or hire, or the carriage of mail by aircraft, in commerce between a place in the United States and any place outside of the United States, whether that commerce moves wholly by aircraft or partly by aircraft and partly by other forms of transportation.
Forward wing means a forward lifting surface of a canard configuration or tandem-wing configuration airplane. The surface may be a fixed, movable, or variable geometry surface, with or without control surfaces.
Full flight simulator (FFS) means a replica of a specific type; or make, model, and series aircraft cockpit. It includes the assemblage of equipment and computer programs necessary to represent aircraft operations in ground and flight conditions, a visual system providing an out-of-the-cockpit view, a system that provides cues at least equivalent to those of a three-degree-of-freedom motion system, and has the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standards (QPS) for a specific FFS qualification level.
Glider means a heavier-than-air aircraft, that is supported in flight by the dynamic reaction of the air against its lifting surfaces and whose free flight does not depend principally on an engine.
Ground visibility means prevailing horizontal visibility near the earth's surface as reported by the United States National Weather Service or an accredited observer.
Go-around power or thrust setting means the maximum allowable in-flight power or thrust setting identified in the performance data.
Gyrodyne means a rotorcraft whose rotors are normally engine-driven for takeoff, hovering, and landing, and for forward flight through part of its speed range, and whose means of propulsion, consisting usually of conventional propellers, is independent of the rotor system.
Gyroplane means a rotorcraft whose rotors are not engine-driven, except for initial starting, but are made to rotate by action of the air when the rotorcraft is moving; and whose means of propulsion, consisting usually of conventional propellers, is independent of the rotor system.
Helicopter means a rotorcraft that, for its horizontal motion, depends principally on its engine-driven rotors.
Heliport means an area of land, water, or structure used or intended to be used for the landing and takeoff of helicopters.
Idle thrust means the jet thrust obtained with the engine power control level set at the stop for the least thrust position at which it can be placed.
IFR conditions means weather conditions below the minimum for flight under visual flight rules.
IFR over-the-top, with respect to the operation of aircraft, means the operation of an aircraft over-the-top on an IFR flight plan when cleared by air traffic control to maintain “VFR conditions” or “VFR conditions on top”.
Indicated airspeed means the speed of an aircraft as shown on its pitot static airspeed indicator calibrated to reflect standard atmosphere adiabatic compressible flow at sea level uncorrected for airspeed system errors.
In-flight shutdown (IFSD) means, for ETOPS only, when an engine ceases to function (when the airplane is airborne) and is shutdown, whether self induced, flightcrew initiated or caused by an external influence. The FAA considers IFSD for all causes: for example, flameout, internal failure, flightcrew initiated shutdown, foreign object ingestion, icing, inability to obtain or control desired thrust or power, and cycling of the start control, however briefly, even if the engine operates normally for the remainder of the flight. This definition excludes the airborne cessation of the functioning of an engine when immediately followed by an automatic engine relight and when an engine does not achieve desired thrust or power but is not shutdown.
Instrument means a device using an internal mechanism to show visually or aurally the attitude, altitude, or operation of an aircraft or aircraft part. It includes electronic devices for automatically controlling an aircraft in flight.
Instrument approach procedure (IAP) is a series of predetermined maneuvers by reference to flight instruments with specified protection from obstacles and assurance of navigation signal reception capability. It begins from the initial approach fix, or where applicable, from the beginning of a defined arrival route to a point:
(1) From which a landing can be completed; or
(2) If a landing is not completed, to a position at which holding or en route obstacle clearance criteria apply.
Interstate air commerce means the carriage by aircraft of persons or property for compensation or hire, or the carriage of mail by aircraft, or the operation or navigation of aircraft in the conduct or furtherance of a business or vocation, in commerce between a place in any State of the United States, or the District of Columbia, and a place in any other State of the United States, or the District of Columbia; or between places in the same State of the United States through the airspace over any place outside thereof; or between places in the same territory or possession of the United States, or the District of Columbia.
Interstate air transportation means the carriage by aircraft of persons or property as a common carrier for compensation or hire, or the carriage of mail by aircraft in commerce:
(1) Between a place in a State or the District of Columbia and another place in another State or the District of Columbia;
(2) Between places in the same State through the airspace over any place outside that State; or
(3) Between places in the same possession of the United States;
Intrastate air transportation means the carriage of persons or property as a common carrier for compensation or hire, by turbojet-powered aircraft capable of carrying thirty or more persons, wholly within the same State of the United States.
Kite means a framework, covered with paper, cloth, metal, or other material, intended to be flown at the end of a rope or cable, and having as its only support the force of the wind moving past its surfaces.
Landing gear extended speed means the maximum speed at which an aircraft can be safely flown with the landing gear extended.
Landing gear operating speed means the maximum speed at which the landing gear can be safely extended or retracted.
Large aircraft means aircraft of more than 12,500 pounds, maximum certificated takeoff weight.
Light-sport aircraft means an aircraft, other than a helicopter or powered-lift that, since its original certification, has continued to meet the following:
(1) A maximum takeoff weight of not more than—
(i) 1,320 pounds (600 kilograms) for aircraft not intended for operation on water; or
(ii) 1,430 pounds (650 kilograms) for an aircraft intended for operation on water.
(2) A maximum airspeed in level flight with maximum continuous power (V
(3) A maximum never-exceed speed (V
(4) A maximum stalling speed or minimum steady flight speed without the use of lift-enhancing devices (V
(5) A maximum seating capacity of no more than two persons, including the pilot.
(6) A single, reciprocating engine, if powered.
(7) A fixed or ground-adjustable propeller if a powered aircraft other than a powered glider.
(8) A fixed or feathering propeller system if a powered glider.
(9) A fixed-pitch, semi-rigid, teetering, two-blade rotor system, if a gyroplane.
(10) A nonpressurized cabin, if equipped with a cabin.
(11) Fixed landing gear, except for an aircraft intended for operation on water or a glider.
(12) Fixed or retractable landing gear, or a hull, for an aircraft intended for operation on water.
(13) Fixed or retractable landing gear for a glider.
Lighter-than-air aircraft means aircraft that can rise and remain suspended by using contained gas weighing less than the air that is displaced by the gas.
Load factor means the ratio of a specified load to the total weight of the aircraft. The specified load is expressed in terms of any of the following: aerodynamic forces, inertia forces, or ground or water reactions.
Long-range communication system (LRCS). A system that uses satellite relay, data link, high frequency, or another approved communication system which extends beyond line of sight.
Long-range navigation system (LRNS). An electronic navigation unit that is approved for use under instrument flight rules as a primary means of navigation, and has at least one source of navigational input, such as inertial navigation system or global positioning system.
Mach number means the ratio of true airspeed to the speed of sound.
Main rotor means the rotor that supplies the principal lift to a rotorcraft.
Maintenance means inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventive maintenance.
Major alteration means an alteration not listed in the aircraft, aircraft engine, or propeller specifications—
(1) That might appreciably affect weight, balance, structural strength, performance, powerplant operation, flight characteristics, or other qualities affecting airworthiness; or
(2) That is not done according to accepted practices or cannot be done by elementary operations.
Major repair means a repair:
(1) That, if improperly done, might appreciably affect weight, balance, structural strength, performance, powerplant operation, flight characteristics, or other qualities affecting airworthiness; or
(2) That is not done according to accepted practices or cannot be done by elementary operations.
Manifold pressure means absolute pressure as measured at the appropriate point in the induction system and usually expressed in inches of mercury.
Maximum engine overtorque, as it applies to turbopropeller and turboshaft engines incorporating free power turbines for all ratings except one engine inoperative (OEI) ratings of two minutes or less, means the maximum torque of the free power turbine rotor assembly, the inadvertent occurrence of which, for periods of up to 20 seconds, will not require rejection of the engine from service, or any maintenance action other than to correct the cause.
Maximum speed for stability characteristics, V
Medical certificate means acceptable evidence of physical fitness on a form prescribed by the Administrator.
Military operations area. A military operations area (MOA) is airspace established outside Class A airspace to separate or segregate certain nonhazardous military activities from IFR Traffic and to identify for VFR traffic where theses activities are conducted.
Minimum descent altitude (MDA) is the lowest altitude specified in an instrument approach procedure, expressed in feet above mean sea level, to which descent is authorized on final approach or during circle-to-land maneuvering until the pilot sees the required visual references for the heliport or runway of intended landing.
Minor alteration means an alteration other than a major alteration.
Minor repair means a repair other than a major repair.
National defense airspace means airspace established by a regulation prescribed, or an order issued under, 49 U.S.C. 40103(b)(3).
Navigable airspace means airspace at and above the minimum flight altitudes prescribed by or under this chapter, including airspace needed for safe takeoff and landing.
Night means the time between the end of evening civil twilight and the beginning of morning civil twilight, as published in the Air Almanac, converted to local time.
Nonprecision approach procedure means a standard instrument approach procedure in which no electronic glide slope is provided.
Operate, with respect to aircraft, means use, cause to use or authorize to use aircraft, for the purpose (except as provided in § 91.13 of this chapter) of air navigation including the piloting of aircraft, with or without the right of legal control (as owner, lessee, or otherwise).
Operational control, with respect to a flight, means the exercise of authority over initiating, conducting or terminating a flight.
Overseas air commerce means the carriage by aircraft of persons or property for compensation or hire, or the carriage of mail by aircraft, or the operation or navigation of aircraft in the conduct or furtherance of a business or vocation, in commerce between a place in any State of the United States, or the District of Columbia, and any place in a territory or possession of the United States; or between a place in a territory or possession of the United States, and a place in any other territory or possession of the United States.
Overseas air transportation means the carriage by aircraft of persons or property as a common carrier for compensation or hire, or the carriage of mail by aircraft, in commerce:
(1) Between a place in a State or the District of Columbia and a place in a possession of the United States; or
(2) Between a place in a possession of the United States and a place in another possession of the United States; whether that commerce moves wholly by aircraft or partly by aircraft and partly by other forms of transportation.
Over-the-top means above the layer of clouds or other obscuring phenomena forming the ceiling.
Parachute means a device used or intended to be used to retard the fall of a body or object through the air.
Person means an individual, firm, partnership, corporation, company, association, joint-stock association, or governmental entity. It includes a trustee, receiver, assignee, or similar representative of any of them.
Pilotage means navigation by visual reference to landmarks.
Pilot in command means the person who:
(1) Has final authority and responsibility for the operation and safety of the flight;
(2) Has been designated as pilot in command before or during the flight; and
(3) Holds the appropriate category, class, and type rating, if appropriate, for the conduct of the flight.
Pitch setting means the propeller blade setting as determined by the blade angle measured in a manner, and at a radius, specified by the instruction manual for the propeller.
Portable oxygen concentrator means a medical device that separates oxygen from other gasses in ambient air and dispenses this concentrated oxygen to the user.
Positive control means control of all air traffic, within designated airspace, by air traffic control.
Powered parachute means a powered aircraft comprised of a flexible or semi-rigid wing connected to a fuselage so that the wing is not in position for flight until the aircraft is in motion. The fuselage of a powered parachute contains the aircraft engine, a seat for each occupant and is attached to the aircraft's landing gear.
Powered-lift means a heavier-than-air aircraft capable of vertical takeoff, vertical landing, and low speed flight that depends principally on engine-driven lift devices or engine thrust for lift during these flight regimes and on nonrotating airfoil(s) for lift during horizontal flight.
Precision approach procedure means a standard instrument approach procedure in which an electronic glide slope is provided, such as ILS and PAR.
Preventive maintenance means simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations.
Prohibited area. A prohibited area is airspace designated under part 73 within which no person may operate an aircraft without the permission of the using agency.
Propeller means a device for propelling an aircraft that has blades on an engine-driven shaft and that, when rotated, produces by its action on the air, a thrust approximately perpendicular to its plane of rotation. It includes control components normally supplied by its manufacturer, but does not include main and auxiliary rotors or rotating airfoils of engines.
Public aircraft means any of the following aircraft when not being used for a commercial purpose or to carry an individual other than a crewmember or qualified non-crewmenber:
(1) An aircraft used only for the United States Government; an aircraft owned by the Government and operated by any person for purposes related to crew training, equipment development, or demonstration; an aircraft owned and operated by the government of a State, the District of Columbia, or a territory or possession of the United States or a political subdivision of one of these governments; or an aircraft exclusively leased for at least 90 continuous days by the government of a State, the District of Columbia, or a territory or possession of the United States or a political subdivision of one of these governments.
(i) For the sole purpose of determining public aircraft status, commercial purposes means the transportation of persons or property for compensation or hire, but does not include the operation of an aircraft by the armed forces for reimbursement when that reimbursement is required by any Federal statute, regulation, or directive, in effect on November 1, 1999, or by one government on behalf of another government under a cost reimbursement agreement if the government on whose behalf the operation is conducted certifies to the Administrator of the Federal Aviation Administration that the operation is necessary to respond to a significant and imminent threat to life or property (including natural resources) and that no service by a private operator is reasonably available to meet the threat.
(ii) For the sole purpose of determining public aircraft status, governmental function means an activity undertaken by a government, such as national defense, intelligence missions, firefighting, search and rescue, law enforcement (including transport of prisoners, detainees, and illegal aliens), aeronautical research, biological or geological resource management (including data collection on civil aviation systems undergoing research, development, test, or evaluation at a test range (as such term is defined in 49 U.S.C. 44801)), infrastructure inspections, or any other activity undertaken by a governmental entity that the Administrator determines is inherently governmental.
(iii) For the sole purpose of determining public aircraft status, qualified non-crewmember means an individual, other than a member of the crew, aboard an aircraft operated by the armed forces or an intelligence agency of the United States Government, or whose presence is required to perform, or is associated with the performance of, a governmental function.
(2) An aircraft owned or operated by the armed forces or chartered to provide transportation to the armed forces if—
(i) The aircraft is operated in accordance with title 10 of the United States Code;
(ii) The aircraft is operated in the performance of a governmental function under title 14, 31, 32, or 50 of the United States Code and the aircraft is not used for commercial purposes; or
(iii) The aircraft is chartered to provide transportation to the armed forces and the Secretary of Defense (or the Secretary of the department in which the Coast Guard is operating) designates the operation of the aircraft as being required in the national interest.
(3) An aircraft owned or operated by the National Guard of a State, the District of Columbia, or any territory or possession of the United States, and that meets the criteria of paragraph (2) of this definition, qualifies as a public aircraft only to the extent that it is operated under the direct control of the Department of Defense.
Rated 30-second OEI Power, with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter, for continuation of one flight operation after the failure or shutdown of one engine in multiengine rotorcraft, for up to three periods of use no longer than 30 seconds each in any one flight, and followed by mandatory inspection and prescribed maintenance action.
Rated 2-minute OEI Power, with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter, for continuation of one flight operation after the failure or shutdown of one engine in multiengine rotorcraft, for up to three periods of use no longer than 2 minutes each in any one flight, and followed by mandatory inspection and prescribed maintenance action.
Rated continuous OEI power, with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter, and limited in use to the time required to complete the flight after the failure or shutdown of one engine of a multiengine rotorcraft.
Rated maximum continuous augmented thrust, with respect to turbojet engine type certification, means the approved jet thrust that is developed statically or in flight, in standard atmosphere at a specified altitude, with fluid injection or with the burning of fuel in a separate combustion chamber, within the engine operating limitations established under Part 33 of this chapter, and approved for unrestricted periods of use.
Rated maximum continuous power, with respect to reciprocating, turbopropeller, and turboshaft engines, means the approved brake horsepower that is developed statically or in flight, in standard atmosphere at a specified altitude, within the engine operating limitations established under part 33, and approved for unrestricted periods of use.
Rated maximum continuous thrust, with respect to turbojet engine type certification, means the approved jet thrust that is developed statically or in flight, in standard atmosphere at a specified altitude, without fluid injection and without the burning of fuel in a separate combustion chamber, within the engine operating limitations established under part 33 of this chapter, and approved for unrestricted periods of use.
Rated takeoff augmented thrust, with respect to turbojet engine type certification, means the approved jet thrust that is developed statically under standard sea level conditions, with fluid injection or with the burning of fuel in a separate combustion chamber, within the engine operating limitations established under part 33 of this chapter, and limited in use to periods of not over 5 minutes for takeoff operation.
Rated takeoff power, with respect to reciprocating, turbopropeller, and turboshaft engine type certification, means the approved brake horsepower that is developed statically under standard sea level conditions, within the engine operating limitations established under part 33, and limited in use to periods of not over 5 minutes for takeoff operation.
Rated takeoff thrust, with respect to turbojet engine type certification, means the approved jet thrust that is developed statically under standard sea level conditions, without fluid injection and without the burning of fuel in a separate combustion chamber, within the engine operating limitations established under part 33 of this chapter, and limited in use to periods of not over 5 minutes for takeoff operation.
Rated 30-minute OEI power, with respect to rotorcraft turbine engines, means the approved brake horsepower developed under static conditions at specified altitudes and temperatures within the operating limitations established for the engine under part 33 of this chapter, and limited in use to one period of use no longer than 30 minutes after the failure or shutdown of one engine of a multiengine rotorcraft.
Rated 2
Rating means a statement that, as a part of a certificate, sets forth special conditions, privileges, or limitations.
Reference landing speed means the speed of the airplane, in a specified landing configuration, at the point where it descends through the 50 foot height in the determination of the landing distance.
Reporting point means a geographical location in relation to which the position of an aircraft is reported.
Restricted area. A restricted area is airspace designated under Part 73 within which the flight of aircraft, while not wholly prohibited, is subject to restriction.
Rocket means an aircraft propelled by ejected expanding gases generated in the engine from self-contained propellants and not dependent on the intake of outside substances. It includes any part which becomes separated during the operation.
Rotorcraft means a heavier-than-air aircraft that depends principally for its support in flight on the lift generated by one or more rotors.
Rotorcraft-load combination means the combination of a rotorcraft and an external-load, including the external-load attaching means. Rotorcraft-load combinations are designated as Class A, Class B, Class C, and Class D, as follows:
(1) Class A rotorcraft-load combination means one in which the external load cannot move freely, cannot be jettisoned, and does not extend below the landing gear.
(2) Class B rotorcraft-load combination means one in which the external load is jettisonable and is lifted free of land or water during the rotorcraft operation.
(3) Class C rotorcraft-load combination means one in which the external load is jettisonable and remains in contact with land or water during the rotorcraft operation.
(4) Class D rotorcraft-load combination means one in which the external-load is other than a Class A, B, or C and has been specifically approved by the Administrator for that operation.
Route segment is a portion of a route bounded on each end by a fix or navigation aid (NAVAID).
Sea level engine means a reciprocating aircraft engine having a rated takeoff power that is producible only at sea level.
Second in command means a pilot who is designated to be second in command of an aircraft during flight time.
Show, unless the context otherwise requires, means to show to the satisfaction of the Administrator.
Small aircraft means aircraft of 12,500 pounds or less, maximum certificated takeoff weight.
Small unmanned aircraft means an unmanned aircraft weighing less than 55 pounds on takeoff, including everything that is on board or otherwise attached to the aircraft.
Small unmanned aircraft system (small UAS) means a small unmanned aircraft and its associated elements (including communication links and the components that control the small unmanned aircraft) that are required for the safe and efficient operation of the small unmanned aircraft in the national airspace system.
Special VFR conditions mean meteorological conditions that are less than those required for basic VFR flight in controlled airspace and in which some aircraft are permitted flight under visual flight rules.
Special VFR operations means aircraft operating in accordance with clearances within controlled airspace in meteorological conditions less than the basic VFR weather minima. Such operations must be requested by the pilot and approved by ATC.
Standard atmosphere means the atmosphere defined in U.S. Standard Atmosphere, 1962 (Geopotential altitude tables).
Stopway means an area beyond the takeoff runway, no less wide than the runway and centered upon the extended centerline of the runway, able to support the airplane during an aborted takeoff, without causing structural damage to the airplane, and designated by the airport authorities for use in decelerating the airplane during an aborted takeoff.
Suitable RNAV system is an RNAV system that meets the required performance established for a type of operation, e.g. IFR; and is suitable for operation over the route to be flown in terms of any performance criteria (including accuracy) established by the air navigation service provider for certain routes (e.g. oceanic, ATS routes, and IAPs). An RNAV system's suitability is dependent upon the availability of ground and/or satellite navigation aids that are needed to meet any route performance criteria that may be prescribed in route specifications to navigate the aircraft along the route to be flown. Information on suitable RNAV systems is published in FAA guidance material.
Supplemental restraint system means any device that is not installed on the aircraft pursuant to an FAA approval, used to secure an individual inside an aircraft when that person is not properly secured by an FAA-approved safety belt and, if installed, shoulder harness, or an approved child restraint system. It consists of a harness secured around the torso of the individual using the supplemental restraint system and a lanyard that connects the harness to an FAA-approved airframe attachment point inside the aircraft.
Synthetic vision means a computer-generated image of the external scene topography from the perspective of the flight deck that is derived from aircraft attitude, high-precision navigation solution, and database of terrain, obstacles and relevant cultural features.
Synthetic vision system means an electronic means to display a synthetic vision image of the external scene topography to the flight crew.
Takeoff power:
(1) With respect to reciprocating engines, means the brake horsepower that is developed under standard sea level conditions, and under the maximum conditions of crankshaft rotational speed and engine manifold pressure approved for the normal takeoff, and limited in continuous use to the period of time shown in the approved engine specification; and
(2) With respect to turbine engines, means the brake horsepower that is developed under static conditions at a specified altitude and atmospheric temperature, and under the maximum conditions of rotor shaft rotational speed and gas temperature approved for the normal takeoff, and limited in continuous use to the period of time shown in the approved engine specification.
Takeoff safety speed means a referenced airspeed obtained after lift-off at which the required one-engine-inoperative climb performance can be achieved.
Takeoff thrust, with respect to turbine engines, means the jet thrust that is developed under static conditions at a specific altitude and atmospheric temperature under the maximum conditions of rotorshaft rotational speed and gas temperature approved for the normal takeoff, and limited in continuous use to the period of time shown in the approved engine specification.
Tandem wing configuration means a configuration having two wings of similar span, mounted in tandem.
TCAS I means a TCAS that utilizes interrogations of, and replies from, airborne radar beacon transponders and provides traffic advisories to the pilot.
TCAS II means a TCAS that utilizes interrogations of, and replies from airborne radar beacon transponders and provides traffic advisories and resolution advisories in the vertical plane.
TCAS III means a TCAS that utilizes interrogation of, and replies from, airborne radar beacon transponders and provides traffic advisories and resolution advisories in the vertical and horizontal planes to the pilot.
Time in service, with respect to maintenance time records, means the time from the moment an aircraft leaves the surface of the earth until it touches it at the next point of landing.
Traffic pattern means the traffic flow that is prescribed for aircraft landing at, taxiing on, or taking off from, an airport.
True airspeed means the airspeed of an aircraft relative to undisturbed air. True airspeed is equal to equivalent airspeed multiplied by (ρ0/ρ)
Type:
(1) As used with respect to the certification, ratings, privileges, and limitations of airmen, means a specific make and basic model of aircraft, including modifications thereto that do not change its handling or flight characteristics. Examples include: DC-7, 1049, and F-27; and
(2) As used with respect to the certification of aircraft, means those aircraft which are similar in design. Examples include: DC-7 and DC-7C; 1049G and 1049H; and F-27 and F-27F.
(3) As used with respect to the certification of aircraft engines means those engines which are similar in design. For example, JT8D and JT8D-7 are engines of the same type, and JT9D-3A and JT9D-7 are engines of the same type.
United States, in a geographical sense, means (1) the States, the District of Columbia, Puerto Rico, and the possessions, including the territorial waters, and (2) the airspace of those areas.
United States air carrier means a citizen of the United States who undertakes directly by lease, or other arrangement, to engage in air transportation.
Unmanned aircraft means an aircraft operated without the possibility of direct human intervention from within or on the aircraft.
Unmanned aircraft system means an unmanned aircraft and its associated elements (including communication links and the components that control the unmanned aircraft) that are required for the safe and efficient operation of the unmanned aircraft in the airspace of the United States.
VFR over-the-top, with respect to the operation of aircraft, means the operation of an aircraft over-the-top under VFR when it is not being operated on an IFR flight plan.
Warning area. A warning area is airspace of defined dimensions, extending from 3 nautical miles outward from the coast of the United States, that contains activity that may be hazardous to nonparticipating aircraft. The purpose of such warning areas is to warn nonparticipating pilots of the potential danger. A warning area may be located over domestic or international waters or both.
Weight-shift-control aircraft means a powered aircraft with a framed pivoting wing and a fuselage controllable only in pitch and roll by the pilot's ability to change the aircraft's center of gravity with respect to the wing. Flight control of the aircraft depends on the wing's ability to flexibly deform rather than the use of control surfaces.
Winglet or tip fin means an out-of-plane surface extending from a lifting surface. The surface may or may not have control surfaces.
In this chapter:
AFM means airplane flight manual.
AGL means above ground level.
ALS means approach light system.
APU means auxiliary power unit.
ASR means airport surveillance radar.
ATC means air traffic control.
ATS means Air Traffic Service.
CAMP means continuous airworthiness maintenance program.
CAS means calibrated airspeed.
CAT II means Category II.
CMP means configuration, maintenance, and procedures.
DH means decision height.
DME means distance measuring equipment compatible with TACAN.
EAS means equivalent airspeed.
EFVS means enhanced flight vision system.
Equi-Time Point means a point on the route of flight where the flight time, considering wind, to each of two selected airports is equal.
ETOPS means extended operations.
EWIS, as defined by § 25.1701 of this chapter, means electrical wiring interconnection system.
FAA means Federal Aviation Administration.
FFS means full flight simulator.
FM means fan marker.
FSTD means flight simulation training device.
FTD means flight training device.
GS means glide slope.
HIRL means high-intensity runway light system.
IAS means indicated airspeed.
ICAO means International Civil Aviation Organization.
IFR means instrument flight rules.
IFSD means in-flight shutdown.
ILS means instrument landing system.
IM means ILS inner marker.
INT means intersection.
LDA means localizer-type directional aid.
LFR means low-frequency radio range.
LMM means compass locator at middle marker.
LOC means ILS localizer.
LOM means compass locator at outer marker.
M means mach number.
MAA means maximum authorized IFR altitude.
MALS means medium intensity approach light system.
MALSR means medium intensity approach light system with runway alignment indicator lights.
MCA means minimum crossing altitude.
MDA means minimum descent altitude.
MEA means minimum en route IFR altitude.
MEL means minimum equipment list.
MM means ILS middle marker.
MOCA means minimum obstruction clearance altitude.
MRA means minimum reception altitude.
MSL means mean sea level.
NDB (ADF) means nondirectional beacon (automatic direction finder).
NM means nautical mile.
NOPAC means North Pacific area of operation.
NOPT means no procedure turn required.
OEI means one engine inoperative.
OM means ILS outer marker.
OPSPECS means operations specifications.
PACOTS means Pacific Organized Track System.
PAR means precision approach radar.
PMA means parts manufacturer approval.
POC means portable oxygen concentrator.
PTRS means Performance Tracking and Reporting System.
RAIL means runway alignment indicator light system.
RBN means radio beacon.
RCLM means runway centerline marking.
RCLS means runway centerline light system.
REIL means runway end identification lights.
RFFS means rescue and firefighting services.
RNAV means area navigation.
RR means low or medium frequency radio range station.
RVR means runway visual range as measured in the touchdown zone area.
SALS means short approach light system.
SATCOM means satellite communications.
SSALS means simplified short approach light system.
SSALSR means simplified short approach light system with runway alignment indicator lights.
TACAN means ultra-high frequency tactical air navigational aid.
TAS means true airspeed.
TCAS means a traffic alert and collision avoidance system.
TDZL means touchdown zone lights.
TSO means technical standard order.
TVOR means very high frequency terminal omnirange station.
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VFR means visual flight rules.
VGSI means visual glide slope indicator.
VHF means very high frequency.
VOR means very high frequency omnirange station.
VORTAC means collocated VOR and TACAN.
(a) In this chapter, unless the context requires otherwise:
(1) Words importing the singular include the plural;
(2) Words importing the plural include the singular; and
(3) Words importing the masculine gender include the feminine.
(b) In this chapter, the word:
(1) Shall is used in an imperative sense;
(2) May is used in a permissive sense to state authority or permission to do the act prescribed, and the words “no person may * * *” or “a person may not * * *” mean that no person is required, authorized, or permitted to do the act prescribed; and
(3) Includes means “includes but is not limited to”.
(a) This subpart applies to any person who makes a record regarding:
(1) A type-certificated product, or
(2) A product, part, appliance or material that may be used on a type-certificated product.
(b) Section 3.5(b) does not apply to records made under part 43 of this chapter.
(a) Definitions. The following terms will have the stated meanings when used in this section:
Airworthy means the aircraft conforms to its type design and is in a condition for safe operation.
Product means an aircraft, aircraft engine, or aircraft propeller.
Record means any writing, drawing, map, recording, tape, film, photograph or other documentary material by which information is preserved or conveyed in any format, including, but not limited to, paper, microfilm, identification plates, stamped marks, bar codes or electronic format, and can either be separate from, attached to or inscribed on any product, part, appliance or material.
(b) Prohibition against fraudulent and intentionally false statements. When conveying information related to an advertisement or sales transaction, no person may make or cause to be made:
(1) Any fraudulent or intentionally false statement in any record about the airworthiness of a type-certificated product, or the acceptability of any product, part, appliance, or material for installation on a type-certificated product.
(2) Any fraudulent or intentionally false reproduction or alteration of any record about the airworthiness of any type-certificated product, or the acceptability of any product, part, appliance, or material for installation on a type-certificated product.
(c) Prohibition against intentionally misleading statements. (1) When conveying information related to an advertisement or sales transaction, no person may make, or cause to be made, a material representation that a type-certificated product is airworthy, or that a product, part, appliance, or material is acceptable for installation on a type-certificated product in any record if that representation is likely to mislead a consumer acting reasonably under the circumstances.
(2) When conveying information related to an advertisement or sales transaction, no person may make, or cause to be made, through the omission of material information, a representation that a type-certificated product is airworthy, or that a product, part, appliance, or material is acceptable for installation on a type-certificated product in any record if that representation is likely to mislead a consumer acting reasonably under the circumstances.
(d) The provisions of § 3.5(b) and § 3.5(c) shall not apply if a person can show that the product is airworthy or that the product, part, appliance or material is acceptable for installation on a type-certificated product.
When the Transportation Security Administration (TSA) notifies the FAA that an individual holding a certificate or part of a certificate issued by the FAA poses, or is suspected of posing, a risk of air piracy or terrorism or a threat to airline or passenger safety, the FAA will issue an order amending, modifying, suspending, or revoking any certificate or part of a certificate issued by the FAA.
(a) When the TSA notifies the FAA that an individual who has applied for a certificate or any part of a certificate issued by the FAA poses, or is suspected of posing, a risk of air piracy or terrorism or a threat to airline or passenger safety, the FAA will hold the individual's certificate applications in abeyance pending further notification from the TSA.
(b) When the TSA notifies the FAA that the TSA has made a final security threat determination regarding an individual, the FAA will deny all the individual's certificate applications. Alternatively, if the TSA notifies the FAA that it has withdrawn its security threat determination, the FAA will continue processing the individual's applications.
This subpart applies to individuals who:
(a) Do not have a U.S. physical address of record on file with the FAA;
(b) Have a foreign address of record on file with the FAA; and
(c) Hold or apply for certificates, ratings, or authorizations under part 47, 61, 63, 65, 67, or 107 of this chapter.
U.S. agent address is an address in the States of the United States, the District of Columbia, or any U.S. territory or possession. If the U.S. agent is an entity, the address must be the U.S. agent's office address. If the U.S. agent is an individual, the address must be the U.S. agent's usual place of residence or, if applicable, the individual's U.S. military office address. If the U.S. agent is serving as a U.S. agent in their official capacity with the military, the address may be a military office address. A U.S. agent address may not be a post office box, military post office box, or a mail drop box.
U.S. agent for service (U.S. agent) is an entity or an adult (individual who is 18 or older) with a U.S. address who a certificate, rating, or authorization holder or applicant designates to receive FAA service on their behalf.
U.S. physical address is an address in the States of the United States, the District of Columbia, or any U.S. territory or possession, but excludes post office boxes, military post office boxes, mail drop boxes, and commercial addresses that are not also residential addresses.
(a) Individuals must designate a U.S. agent for service within the U.S. in writing to the FAA in a form and manner prescribed by the Administrator. Individuals designating a U.S. agent must ensure that the U.S. agent understands the requirements for receiving FAA service on behalf of the individual and is competent to perform that responsibility.
(b) The designation must include the U.S. agent's full name, U.S. agent address, email address, and certification by the individual that the U.S. agent has accepted responsibility for receiving FAA service on behalf of the individual. It may also include the U.S. agent's fax number and phone number.
(c) Individuals must notify the FAA in a form and manner prescribed by the Administrator of any change to their U.S. agent designation or the U.S. agent's contact information within 30 days of the change.
(d) No individual shall exercise the privileges of any certificate, rating, or authorization issued under part 47, 61, 63, 65, 67, or 107 of this chapter unless the individual has designated a U.S. agent as required under this subpart. Aircraft registration certificates issued to individuals who fail to designate a U.S. agent as required under this subpart will be ineffective.
(e) No individual shall be issued a certificate, rating, or authorization under part 47, 61, 63, 65, 67, or 107 of this chapter unless the individual has designated a U.S. agent as required under this subpart.
(a) This subpart applies to any person subject to the requirements in subchapter A (except parts 1 and 3), subchapter C (except part 39), subchapter D, subchapter E (except parts 71 and 73), subchapter F (except parts 95 and 97), subchapter G (except part 110), subchapter H, and subchapter K (except parts 185, 187, 189, and 193), of this chapter.
(b) For purposes of this part, “document in any format” includes documents (electronic or physical), and also other tangible items, such as data plates or marked parts.
(a) No person may make or cause to be made any fraudulent or intentionally false statement in:
(1) Any document in any format, submitted under any provision referenced in § 3.401, consisting of or related to any acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, record, report, request for reconsideration, or similar; or
(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 3.401.
(b) No person may make or cause to be made any production, reproduction, or alteration, for fraudulent purpose, of:
(1) Any document in any format, submitted or granted under any provision referenced in § 3.401, consisting of or related to any acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, record, report, request for reconsideration, or similar; or
(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 3.401.
(c) No person may knowingly omit, or cause to be omitted, a material fact in:
(1) Any document in any format, submitted under any provision referenced in § 3.401, consisting of or related to any acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, record, report, request for reconsideration, or similar; or
(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 3.401.
(d) The commission by any person of an act prohibited under paragraphs (a) through (c) of this section is a basis for:
(1) Denying, suspending, modifying, revoking, rescinding, removing, or withdrawing any acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, request for reconsideration, or similar, issued or granted by the Administrator and held by that person; or
(2) A civil penalty.
(a) The following may serve as a basis for suspending, modifying, revoking, rescinding, removing, or withdrawing an acceptance, approval, authorization, certificate, rating, declaration, designation, qualification, or similar, or denying an application or request for reconsideration, or similar, issued or granted by the Administrator:
(1) An incorrect statement or omission of fact by any person, in or from any document in any format, submitted under any provision referenced in § 3.401, that was material to the issuance, validity, or granting of that acceptance, application, approval, authorization, certificate, rating, declaration, designation, qualification, request for reconsideration, or similar; or
(2) An incorrect statement or omission of fact by any person, in or from any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 3.401, that was material to the issuance, validity, or granting of that acceptance, approval, authorization, certificate, rating, declaration, designation, qualification, request for reconsideration, or similar.
(b) [Reserved]
This part applies to all of the following:
(a) Any person that holds or applies for a certificate issued under part 119 of this chapter authorizing the person to conduct operations under part 121 of this chapter.
(b) Any person that holds or applies for a certificate issued under part 119 of this chapter authorizing the person to conduct operations under part 135 of this chapter.
(c) Any person that holds or applies for a Letter of Authorization issued under § 91.147 of this chapter.
(d) Any person that holds both a type certificate and a production certificate issued under part 21 of this chapter for the same product.
(e) Any person that holds a production certificate issued under part 21 of this chapter for a product for which the person is a licensee of the type certificate for the same product.
(f) Any person that applies for a production certificate under part 21 of this chapter for a product for which the person is the holder or licensee of the type certificate for the same product.
(g) Any person that holds a type certificate issued under part 21 of this chapter for a product, except for persons that hold only type certificates issued under § 21.29 of this chapter, that allows another person to use the type certificate to manufacture the same product under a production certificate.
Hazard means a condition or an object that could foreseeably cause or contribute to an incident or aircraft accident, as defined in 49 CFR 830.2.
Risk means the composite of predicted severity and likelihood of the potential effect of a hazard.
Risk control means a means to reduce or eliminate the effects of hazards.
Safety assurance means processes within the SMS that function systematically to ensure the performance and effectiveness of safety risk controls and that the organization meets or exceeds its safety objectives through the collection, analysis, and assessment of information.
Safety Management System (SMS) means the formal, top-down, organization-wide approach to managing safety risk and assuring the effectiveness of safety risk controls. It includes systematic procedures, practices, and policies for the management of safety risk.
Safety objective means a measurable goal or desirable outcome related to safety.
Safety performance means realized or actual safety accomplishment relative to the organization's safety objectives.
Safety policy means the person's documented commitment to safety, which defines its safety objectives and the accountabilities and responsibilities of its employees in regards to safety.
Safety promotion means a combination of training and communication of safety information to support the implementation and operation of an SMS in an organization.
Safety Risk Management means a process within the SMS composed of describing the system, identifying the hazards, and analyzing, assessing, and controlling risk.
(a) SMS components. An SMS under this part must be appropriate to the size, scope, and complexity of the person's organization and include, at a minimum, all of the following components:
(1) Safety policy that meets the requirements of subpart B of this part.
(2) Safety risk management that meets the requirements of subpart C of this part.
(3) Safety assurance that meets the requirements of subpart D of this part.
(4) Safety promotion that meets the requirements of subpart E of this part.
(b) Continuing requirements. Any person required to develop and implement an SMS under this part must maintain the SMS in accordance with this part.
(a) Any person authorized to conduct operations under part 121 of this chapter that has an SMS acceptable to the FAA on or before May 28, 2024, must revise its SMS to meet the requirements of this part no later than May 28, 2025.
(b) Any person applying for authorization to conduct operations under part 121 of this chapter or with such application pending on or after May 28, 2024, must develop and implement an SMS that meets the requirements of this part.
(c) Any person required to develop and implement an SMS under this section must maintain the SMS as long as the person is authorized to conduct operations under part 121 of this chapter.
(d) Any person required to develop and implement an SMS under this section must make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.
(a) Any person authorized to conduct operations under part 135 of this chapter or that holds a Letter of Authorization issued under § 91.147 of this chapter before May 28, 2024, must:
(1) Develop and implement an SMS that meets the requirements of this part no later than May 28, 2027.
(2) Submit to the FAA, a declaration of compliance with this part in a form and manner acceptable to the Administrator no later than May 28, 2027.
(b) Any person applying for authorization to conduct operations under part 135 of this chapter or a Letter of Authorization under § 91.147 of this chapter, or with such application pending on or after May 28, 2024, must develop and implement an SMS that meets the requirements of this part.
(c) Any person required to develop and implement an SMS under this section must maintain the SMS as long as the person is authorized to conduct operations under either part 135 or § 91.147 of this chapter.
(d) Any person required to develop and implement an SMS under this section must make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.
(e) The following requirements do not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft: §§ 5.21(a)(4), 5.21(a)(5), 5.21(c), 5.23(a)(2), 5.23(a)(3), 5.23(b), 5.25(b)(3), 5.25(c), 5.27(a), 5.27(b), 5.71(a)(7), 5.93, and 5.97(d) of this part.
Any person that holds a production certificate issued under part 21 of this chapter for a product for which the person is the holder or licensee of the type certificate for the same product on or before May 28, 2024, must:
(a) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart.
(b) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator no later than November 28, 2024.
(c) Develop an SMS that meets the requirements of this part.
(d) Implement the SMS in accordance with this part no later than May 28, 2027.
(e) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.
(f) Maintain the SMS as long as the person is both a holder of a production certificate and a holder or licensee of a type certificate for the same product.
(a) This section applies to any holder or licensee of a type certificate for a product who either:
(1) Applies for a production certificate for that same product under part 21 of this chapter on or after May 28, 2024, or
(2) Has an application for a production certificate for that same product under part 21 of this chapter pending on May 28, 2024.
(b) Any person that meets paragraph (a) of this section must:
(1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart.
(2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator during the certification process.
(3) Develop an SMS that meets the requirements of this part.
(4) Implement the SMS in accordance with this part no later than 36 months after submission of the implementation plan.
(5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.
(6) Maintain the SMS as long as the person is both a holder of a production certificate and a holder or licensee of a type certificate for the same product.
(a) This section applies to any person that holds a type certificate issued under part 21 of this chapter for a product, except for persons that hold only type certificates issued under § 21.29 of this chapter, that allows another person to use the type certificate to manufacture the same product under a production certificate.
(b) Any person that meets paragraph (a) of this section and has a licensing agreement in accordance with § 21.55 of this chapter on May 28, 2024, must:
(1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart.
(2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator no later than November 28, 2024.
(3) Develop an SMS that meets the requirements of this part.
(4) Implement the SMS in accordance with this part no later than May 28, 2027.
(5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.
(6) Maintain the SMS as long as the person continues to meet paragraph (a) of this section.
(c) Any person that meets paragraph (a) of this section and enters into a licensing agreement in accordance with § 21.55 of this chapter after May 28, 2024, must:
(1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart.
(2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator when providing written licensing agreements in accordance with § 21.55 of this chapter.
(3) Develop an SMS that meets the requirements of this part.
(4) Implement the SMS in accordance with this part no later than 36 months after submission of the person's implementation plan.
(5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part.
(6) Maintain the SMS as long as the person continues to meet paragraph (a) of this section.
An organizational system description developed and maintained under this part must include a summary of the following information about the safety of the aviation products or services provided by the person:
(a) The person's aviation-related processes, procedures, and activities.
(b) The function and purpose of the aviation products or services.
(c) The operating environment.
(d) The personnel, equipment, and facilities necessary for operation.
(a) An implementation plan filed under this part must be based on the organizational system description as defined in § 5.17 and describe the means of compliance (including, but not limited to, new or existing policies, processes, or procedures) used to meet the requirements of this part.
(b) A person required to submit an implementation plan under this part must make available to the Administrator, upon request, all necessary information and data that demonstrates that the SMS has been or will be implemented in accordance with the implementation plan.
(a) Any person required to have an SMS under this part must have a safety policy that includes at least the following:
(1) The person's safety objectives.
(2) The person's commitment to fulfill the safety objectives.
(3) A clear statement about the provision of the necessary resources for the implementation of the SMS.
(4) A safety reporting policy that defines requirements for employee reporting of safety hazards or issues.
(5) A policy that defines unacceptable behavior and conditions for disciplinary action.
(6) An emergency response plan that provides for the safe transition from normal to emergency operations in accordance with the requirements of § 5.27.
(7) A code of ethics that is applicable to all employees, including management personnel and officers, which clarifies that safety is the organization's highest priority.
(b) The safety policy must be signed by the accountable executive described in § 5.25.
(c) The safety policy must be documented and communicated throughout the person's organization.
(d) The safety policy must be regularly reviewed by the accountable executive to ensure it remains relevant and appropriate to the person.
(a) Any person required to have an SMS under this part must define in its safety policy the accountability for safety of the following individuals:
(1) Accountable executive, as described in § 5.25.
(2) All members of management in regard to developing, implementing, and maintaining SMS processes within their area of responsibility, including, but not limited to:
(i) Hazard identification and safety risk assessment.
(ii) Assuring the effectiveness of safety risk controls.
(iii) Promoting safety as required in subpart E of this part.
(iv) Advising the accountable executive on the performance of the SMS and on any need for improvement.
(3) Employees relative to the person's safety performance.
(b) The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance.
(a) Designation of the accountable executive. Any person required to have an SMS under this part must identify an accountable executive who, irrespective of other functions, satisfies the following:
(1) Is the final authority over operations authorized to be conducted under the person's certificate(s) or Letter(s) of Authorization.
(2) Controls the financial resources required for the operations to be conducted under the person's certificate(s) or Letter(s) of Authorization.
(3) Controls the human resources required for the operations authorized to be conducted under the person's certificate(s) or Letter(s) of Authorization.
(4) Retains ultimate responsibility for the safety performance of the operations conducted under the person's certificate(s) or Letter(s) of Authorization.
(b) Responsibilities of the accountable executive. The accountable executive must accomplish the following:
(1) Ensure that the SMS is properly implemented and is performing across all pertinent areas.
(2) Develop and sign the safety policy.
(3) Communicate the safety policy throughout the person's organization.
(4) Regularly review the safety policy to ensure it remains relevant and appropriate to the person.
(5) Regularly review the safety performance and direct actions necessary to address substandard safety performance in accordance with § 5.75.
(c) Designation of management personnel. The accountable executive must designate sufficient management personnel who, on behalf of the accountable executive, are responsible for the following:
(1) Coordinate implementation, maintenance, and integration of the SMS throughout the person's organization.
(2) Facilitate hazard identification and safety risk analysis.
(3) Monitor the effectiveness of safety risk controls.
(4) Ensure safety promotion throughout the person's organization as required in subpart E of this part.
(5) Regularly report to the accountable executive on the performance of the SMS and on any need for improvement.
Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following:
(a) Delegation of emergency authority throughout the person's organization.
(b) Assignment of employee responsibilities during the emergency.
(c) Coordination of the emergency response plans with the emergency response plans of other organizations it must interface with during the provision of its services.
Any person required to have an SMS under this part must apply safety risk management to the following:
(a) Implementation of new systems.
(b) Revision of existing systems.
(c) Development of operational procedures.
(d) Identification of hazards or ineffective risk controls through the safety assurance processes in subpart D of this part.
(a) When applying safety risk management, any person required to have an SMS under this part must analyze the systems identified in § 5.51. Those system analyses must be used to identify hazards under paragraph (c) of this section and in developing and implementing risk controls related to the system under § 5.55(c).
(b) In conducting the system analysis, the following information must be considered:
(1) Function and purpose of the system.
(2) The system's operating environment.
(3) An outline of the system's processes and procedures.
(4) The personnel, equipment, and facilities necessary for operation of the system.
(5) The interfaces of the system.
(c) Any person required to have an SMS under this part must develop and maintain processes to identify hazards within the context of the system analysis.
Any person required to have an SMS under this part must:
(a) Develop and maintain processes to analyze safety risk associated with the hazards identified in § 5.53(c).
(b) Define a process for conducting risk assessment that allows for the determination of acceptable safety risk.
(c) Develop and maintain processes to develop safety risk controls that are necessary as a result of the safety risk assessment process under paragraph (b) of this section.
(d) Evaluate whether the risk will be acceptable with the proposed safety risk control applied before the safety risk control is implemented.
If a person required to have an SMS under this part identifies a hazard in the operating environment, the person must provide notice of the hazard to any interfacing person that, to the best of the person's knowledge, could address the hazard or mitigate the risk. For the purpose of this section, interfacing persons are those that contribute to the safety of the certificate or Letter of Authorization holder's aviation-related products and services.
(a) Any person required to have an SMS under this part must develop and maintain processes and systems to acquire data with respect to its operations, products, and services to monitor the safety performance of the organization. These processes and systems must include, at a minimum, the following:
(1) Monitoring of operational processes.
(2) Monitoring of the operational environment to detect changes.
(3) Auditing of operational processes and systems.
(4) Evaluations of the SMS and operational processes and systems.
(5) Investigations of incidents and accidents.
(6) Investigations of reports regarding potential non-compliance with regulatory standards or other safety risk controls established by the person through the safety risk management process established in subpart C of this part.
(7) A confidential employee reporting system in which employees can report hazards, issues, concerns, occurrences, incidents, as well as propose solutions and safety improvements, without concern of reprisal for reporting.
(8) Investigations of hazard notifications that have been received from external sources.
(b) Any person required to have an SMS under this part must develop and maintain processes that analyze the data acquired through the processes and systems identified under paragraph (a) of this section and any other relevant data with respect to its operations, products, and services.
(c) Any person that holds both a type certificate and a production certificate issued under part 21 of this chapter for the same product must submit a summary of the confidential employee reports received under paragraph (a)(7) of this section to the Administrator once every 6 months.
(a) Any person required to have an SMS under this part must conduct assessments of its safety performance against its safety objectives, which include reviews by the accountable executive, to:
(1) Ensure compliance with the safety risk controls established by the person.
(2) Evaluate the performance of the SMS.
(3) Evaluate the effectiveness of the safety risk controls established under § 5.55(c) and identify any ineffective controls.
(4) Identify changes in the operational environment that may introduce new hazards.
(5) Identify new hazards.
(b) Upon completion of the assessment, if ineffective controls or new hazards are identified under paragraphs (a)(2) through (5) of this section, the person must use the safety risk management process described in subpart C of this part.
Any person required to have an SMS under this part must establish and implement processes to correct safety performance deficiencies identified in the assessments conducted under § 5.73.
Any person required to have an SMS under this part must provide training to each individual identified in § 5.23 of this part to ensure the individuals attain and maintain the competencies necessary to perform their duties relevant to the operation and performance of the SMS.
Any person required to have an SMS under this part must develop and maintain means for communicating safety information that, at a minimum:
(a) Ensures that employees are aware of the SMS policies, processes, and tools that are relevant to their responsibilities.
(b) Conveys hazard information relevant to the employee's responsibilities.
(c) Explains why safety actions have been taken.
(d) Explains why safety procedures are introduced or changed.
Any person required to have an SMS under this part must develop and maintain the following SMS documentation:
(a) Safety policy.
(b) SMS processes and procedures.
Any person required to have an SMS under this part must:
(a) Maintain records of outputs of safety risk management processes as described in subpart C of this part. Such records must be retained for as long as the control remains relevant to the operation.
(b) Maintain records of outputs of safety assurance processes as described in subpart D of this part. Such records must be retained for a minimum of 5 years.
(c) Maintain a record of all training provided under § 5.91 for each individual. Such records must be retained for as long as the individual is employed by the person.
(d) Retain records of all communications provided under § 5.93 or § 5.57 for a minimum of 24 consecutive calendar months.
This part applies to the issuance, amendment, and repeal of any regulation for which FAA (“we”) follows public rulemaking procedures under the Administrative Procedure Act (“APA”) (5 U.S.C. 553).
An advance notice of proposed rulemaking (ANPRM) tells the public that FAA is considering an area for rulemaking and requests written comments on the appropriate scope of the rulemaking or on specific topics. An advance notice of proposed rulemaking may or may not include the text of potential changes to a regulation.
A notice of proposed rulemaking (NPRM) proposes FAA's specific regulatory changes for public comment and contains supporting information. It includes proposed regulatory text.
On occasion, FAA may decide that it needs more information on an issue, or that we should take a different approach than we proposed. Also, we may want to follow a commenter's suggestion that goes beyond the scope of the original proposed rule. In these cases, FAA may issue a supplemental notice of proposed rulemaking (SNPRM) to give the public an opportunity to comment further or to give us more information.
A final rule sets out new or revised requirements and their effective date. It also may remove requirements. When preceded by an NPRM, a final rule will also identify significant substantive issues raised by commenters in response to the NPRM and will give the agency's response.
A final rule with request for comment is a rule that the FAA issues in final (with an effective date) that invites public comment on the rule. We usually do this when we have not first issued an ANPRM or NPRM, because we have found that doing so would be impracticable, unnecessary, or contrary to the public interest. We give our reasons for our determination in the preamble. The comment period often ends after the effective date of the rule. A final rule not preceded by an ANPRM or NPRM is commonly called an “immediately adopted final rule.” We invite comments on these rules only if we think that we will receive useful information. For example, we would not invite comments when we are just making an editorial clarification or correction.
A direct final rule is a type of final rule with request for comments. Our reason for issuing a direct final rule without an NPRM is that we would not expect to receive any adverse comments, and so an NPRM is unnecessary. However, to be certain that we are correct, we set the comment period to end before the effective date. If we receive an adverse comment, we will either publish a document withdrawing the direct final rule before it becomes effective and may issue an NPRM, or proceed by any other means permitted under the Administrative Procedure Act, 5 U.S.C. 551 et seq., consistent with procedures at 49 CFR 5.13(l).
A petition for exemption is a request to the FAA by an individual or entity asking for relief from the requirements of a current regulation. For petitions for waiver of commercial space transportation regulations, see part 404 of this title.
A petition for rulemaking is a request to FAA by an individual or entity asking the FAA to adopt, amend, or repeal a regulation.
A special condition is a regulation that applies to a particular aircraft design. The FAA issues special conditions when we find that the airworthiness regulations for an aircraft, aircraft engine, or propeller design do not contain adequate or appropriate safety standards, because of a novel or unusual design feature.
FAA follows the Administrative Procedure Act (APA) procedures for these common types of rules:
(a) Rules found in the Code of Federal Regulations;
(b) Airworthiness directives issued under part 39 of this chapter; and
(c) Airspace Designations issued under various parts of this chapter.
Yes, in general, FAA follows the same procedures for all rule types. There are some differences as to which FAA official has authority to issue each type, and where you send petitions for FAA to adopt, amend, or repeal each type. Assume that the procedures in this subpart apply to all rules, except where we specify otherwise.
(a) The FAA uses APA rulemaking procedures to adopt, amend, or repeal regulations. To propose or adopt a new regulation, or to change a current regulation, FAA will issue one or more of the following documents. We publish these rulemaking documents in the
(1) An advance notice of proposed rulemaking (ANPRM).
(2) A notice of proposed rulemaking (NPRM).
(3) A supplemental notice of proposed rulemaking (SNPRM).
(4) A final rule.
(5) A final rule with request for comments.
(6) A direct final rule.
(b) Each of the rulemaking documents in paragraph (a) of this section generally contains the following information:
(1) The topic involved in the rulemaking document.
(2) FAA's legal authority for issuing the rulemaking document.
(3) How interested persons may participate in the rulemaking proceeding (for example, by filing written comments or making oral presentations at a public meeting).
(4) Whom to call if you have questions about the rulemaking document.
(5) The date, time, and place of any public meetings FAA will hold to discuss the rulemaking document.
(6) The docket number and regulation identifier number (RIN) for the rulemaking proceeding.
Yes, the FAA obtains advice and recommendations from rulemaking advisory committees. One of these committees is the Aviation Rulemaking Advisory Committee (ARAC), which is a formal standing committee comprised of representatives of aviation associations and industry, consumer groups, and interested individuals. In conducting its activities, ARAC complies with the Federal Advisory Committee Act and the direction of FAA. We task ARAC with providing us with recommended rulemaking actions dealing with specific areas and problems. If we accept an ARAC recommendation to change an FAA rule, we ordinarily publish an NPRM using the procedures in this part. The FAA may establish other rulemaking advisory committees as needed to focus on specific issues for a limited period of time.
The FAA normally adds or changes a regulation by issuing a final rule after an NPRM. However, FAA may adopt, amend, or repeal regulations without first issuing an ANPRM or NPRM in the following situations:
(a) We may issue a final rule without first requesting public comment if, for good cause, we find that an NPRM is impracticable, unnecessary, or contrary to the public interest. We place that finding and a brief statement of the reasons for it in the final rule. For example, we may issue a final rule in response to a safety emergency.
(b) If an NPRM would be unnecessary because we do not expect to receive adverse comment, we may issue a direct final rule.
(a) A direct final rule will take effect on a specified date unless FAA receives an adverse comment within the comment period—generally 60 days after the direct final rule is published in the
(1) A comment recommending another rule change, in addition to the change in the direct final rule at issue. We consider the comment adverse, however, if the commenter states why the direct final rule would be ineffective without the change.
(2) A frivolous or insubstantial comment.
(b) If FAA has not received an adverse comment, we will publish a confirmation document in the
(c) If we receive an adverse comment, we will advise the public by publishing a document in the
The best ways to track FAA's rulemaking activities are with the docket number or the regulation identifier number.
(a) Docket ID. We assign a docket ID to each rulemaking document proceeding. Each rulemaking document FAA issues in a particular rulemaking proceeding, as well as public comments on the proceeding, will display the same docket ID. This ID allows you to search the Federal Docket Management System (FDMS) for information on most rulemaking proceedings. You can view and copy docket materials during regular business hours at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. Or you can view and download docketed materials through the Internet at http://www.regulations.gov. If you can't find the material in the electronic docket, contact the person listed under FOR FURTHER INFORMATION CONTACT in the document you are interested in.
(b) Regulation identifier number. DOT publishes a semiannual agenda of all current and projected DOT rulemakings, reviews of existing regulations, and completed actions. This semiannual agenda appears in the Unified Agenda of Federal Regulations, published in the
(a) Sensitive security information. You should not submit sensitive security information to the rulemaking docket, unless you are invited to do so in our request for comments. If we ask for this information, we will tell you in the specific document how to submit this information, and we will provide a separate non-public docket for it. For all proposed rule changes involving civil aviation security, we review comments as we receive them, before they are placed in the docket. If we find that a comment contains sensitive security information, we remove that information before placing the comment in the general docket.
(b) Proprietary information. When we are aware of proprietary information filed with a comment, we do not place it in the docket. We hold it in a separate file to which the public does not have access, and place a note in the docket that we have received it. If we receive a request to examine or copy this information, we treat it as any other request under the Freedom of Information Act (5 U.S.C. 552). We process such a request under the DOT procedures found in 49 CFR part 7.
The FAA includes most documents concerning Airworthiness Directives, airspace designations, or petitions handled in a region in the electronic docket. If the information isn't in the docket, contact the person listed under FOR FURTHER INFORMATION CONTACT in the
Even though the Administrative Procedure Act does not require notice and comment for rules of particular applicability, FAA does publish proposed special conditions for comment. In the following circumstances we may not invite comment before we issue a special condition. If we don't, we will invite comment when we publish the final special condition.
(a) The FAA considers prior notice to be impracticable if issuing a design approval would significantly delay delivery of the affected aircraft. We consider such a delay to be contrary to the public interest.
(b) The FAA considers prior notice to be unnecessary if we have provided previous opportunities to comment on substantially identical proposed special conditions, and we are satisfied that new comments are unlikely.
You may participate in FAA's rulemaking process by doing any of the following:
(a) File written comments on any rulemaking document that asks for comments, including an ANPRM, NPRM, SNPRM, a final rule with request for comments, or a direct final rule. Follow the directions for commenting found in each rulemaking document.
(b) Ask that we hold a public meeting on any rulemaking, and participate in any public meeting that we hold.
(c) File a petition for rulemaking that asks us to adopt, amend, or repeal a regulation.
You can contact the person listed under FOR FURTHER INFORMATION CONTACT in the preamble of a rule. That person can explain the meaning and intent of a proposed rule, the technical aspects of a document, the terminology in a document, and can tell you our published schedule for the rulemaking process. We cannot give you information that is not already available to other members of the public. The Department of Transportation policy regarding public contacts during rulemaking appears at 49 CFR 5.19.
Anyone may file written comments about proposals and final rules that request public comments.
(a) Your written comments must be in English and must contain the following:
(1) The docket number of the rulemaking document you are commenting on, clearly set out at the beginning of your comments.
(2) Your name and mailing address, and, if you wish, other contact information, such as a fax number, telephone number, or e-mail address.
(3) Your information, views, or arguments, following the instructions for participation in the rulemaking document on which you are commenting.
(b) You should also include all material relevant to any statement of fact or argument in your comments, to the extent that the material is available to you and reasonable for you to submit. Include a copy of the title page of the document. Whether or not you submit a copy of the material to which you refer, you should indicate specific places in the material that support your position.
(a) Send your comments to the location specified in the rulemaking document on which you are commenting. If you are asked to send your comments to the Federal Document Management System, you may send them in either of the following ways:
(1) By mail to: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(2) Through the Internet to http://www.regulations.gov.
(3) In any other manner designated by FAA.
(b) Make sure that your comments reach us by the deadline set out in the rulemaking document on which you are commenting. We will consider late-filed comments to the extent possible only if they do not significantly delay the rulemaking process.
(c) We may reject your paper or electronic comments if they are frivolous, abusive, or repetitious. We may reject comments you file electronically if you do not follow the electronic filing instructions at the Federal Docket Management System Web site.
Yes, if FAA grants your request for more time to file comments, we grant all persons the same amount of time. We will notify the public of the extension by a document in the
(a) Show the docket number of the rule at the top of the first page;
(b) State, at the beginning, that you are requesting an extension of the comment period;
(c) Show that you have good cause for the extension and that an extension is in the public interest;
(d) Be sent to the address specified for comments in the rulemaking document on which you are commenting.
Yes, you may request that we hold a public meeting. FAA holds a public meeting when we need more than written comments to make a fully informed decision. Submit your written request to the address specified in the rulemaking document on which you are commenting. Specify at the top of your letter or message that you are requesting that the agency hold a public meeting. Submit your request no later than 30 days after our rulemaking notice. If we find good cause for a meeting, we will notify you and publish a notice of the meeting in the
A public meeting is a non-adversarial, fact-finding proceeding conducted by an FAA representative. Public meetings are announced in the
(a) Using a petition for rulemaking, you may ask FAA to add a new regulation to title 14 of the Code of Federal Regulations (14 CFR) or ask FAA to amend or repeal a current regulation in 14 CFR.
(b) Using a petition for exemption, you may ask FAA to grant you relief from current regulations in 14 CFR.
(a) To submit a petition for rulemaking or exemption—
(1) By electronic submission, submit your petition for rulemaking or exemption to the FAA through the internet at http://www.regulations.gov, the Federal Docket Management System website. For additional instructions, you may visit http://www.faa.gov, and navigate to the Rulemaking home page.
(2) By paper submission, send the original signed copy of your petition for rulemaking or exemption to this address: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(b) Submit a petition for rulemaking or exemption from part 139 of this chapter—
(1) To the appropriate FAA airport field office in whose area your airport is, or will be, established; and
(2) To the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590 or by electronic submission to this Internet address: http://www.regulations.gov.
(c) The FAA may designate other means by which you can submit petitions in the future.
(d) Submit your petition for exemption 120 days before you need the exemption to take effect.
(a) You must include the following information in your petition for rulemaking:
(1) Your name and mailing address and, if you wish, other contact information such as a fax number, telephone number, or e-mail address.
(2) An explanation of your proposed action and its purpose.
(3) The language you propose for a new or amended rule, or the language you would remove from a current rule.
(4) An explanation of why your proposed action would be in the public interest.
(5) Information and arguments that support your proposed action, including relevant technical and scientific data available to you.
(6) Any specific facts or circumstances that support or demonstrate the need for the action you propose.
(b) In the process of considering your petition, we may ask that you provide information or data available to you about the following:
(1) The costs and benefits of your proposed action to society in general, and identifiable groups within society in particular.
(2) The regulatory burden of your proposed action on small businesses, small organizations, small governmental jurisdictions, and Indian tribes.
(3) The recordkeeping and reporting burdens of your proposed action and whom the burdens would affect.
(4) The effect of your proposed action on the quality of the natural and social environments.
After we have determined the disposition of your petition, we will contact you in writing about our decision. The FAA may respond to your petition for rulemaking in one of the following ways:
(a) If we determine that your petition justifies our taking the action you suggest, we may issue an NPRM or ANPRM. We will do so no later than 6 months after the date we receive your petition. In making our decision, we consider:
(1) The immediacy of the safety or security concerns you raise;
(2) The priority of other issues the FAA must deal with; and
(3) The resources we have available to address these issues.
(b) If we have issued an ANPRM or NPRM on the subject matter of your petition, we will consider your arguments for a rule change as a comment in connection with the rulemaking proceeding. We will not treat your petition as a separate action.
(c) If we have begun a rulemaking project in the subject area of your petition, we will consider your comments and arguments for a rule change as part of that project. We will not treat your petition as a separate action.
(d) If we have tasked ARAC to study the general subject area of your petition, we will ask ARAC to review and evaluate your proposed action. We will not treat your petition as a separate action.
(e) If we determine that the issues you identify in your petition may have merit, but do not address an immediate safety concern or cannot be addressed because of other priorities and resource constraints, we may dismiss your petition. Your comments and arguments for a rule change will be placed in a database, which we will examine when we consider future rulemaking.
Generally, FAA does not invite public comment on petitions for rulemaking.
In petitions asking FAA to establish, amend, or repeal a designation of airspace, including special use airspace, you must include all the information specified by § 11.71 and also:
(a) The location and a description of the airspace you want assigned or designated;
(b) A complete description of the activity or use to be made of that airspace, including a detailed description of the type, volume, duration, time, and place of the operations to be conducted in the area;
(c) A description of the air navigation, air traffic control, surveillance, and communication facilities available and to be provided if we grant the designation; and
(d) The name and location of the agency, office, facility, or person who would have authority to permit the use of the airspace when it was not in use for the purpose to which you want it assigned.
You must include the following information in your petition for an exemption and submit it to FAA as soon as you know you need an exemption.
(a) Your name and mailing address and, if you wish, other contact information such as a fax number, telephone number, or e-mail address;
(b) The specific section or sections of 14 CFR from which you seek an exemption;
(c) The extent of relief you seek, and the reason you seek the relief;
(d) The reasons why granting your request would be in the public interest; that is, how it would benefit the public as a whole;
(e) The reasons why granting the exemption would not adversely affect safety, or how the exemption would provide a level of safety at least equal to that provided by the rule from which you seek the exemption;
(f) A summary we can publish in the
(1) The rule from which you seek the exemption; and
(2) A brief description of the nature of the exemption you seek;
(g) Any additional information, views or arguments available to support your request; and
(h) If you want to exercise the privileges of your exemption outside the United States, the reason why you need to do so.
If you want to be able to operate under your exemption outside the United States, you must request this when you petition for relief and give us the reason for this use. If you do not provide your reason or we determine that it does not justify this relief, we will limit your exemption to use within the United States. Before we extend your exemption for use outside the United States, we will verify that the exemption would be in compliance with the Standards of the International Civil Aviation Organization (ICAO). If it would not, but we still believe it would be in the public interest to allow you to do so, we will file a difference with ICAO. However, a foreign country still may not allow you to operate in that country without meeting the ICAO standard.
Yes, FAA publishes information about petitions for exemption in the
(a) The docket number of the petition;
(b) The citation to the rule or rules from which the petitioner requested relief;
(c) The name of the petitioner;
(d) The petitioner's summary of the action requested and the reasons for requesting it; and
(e) A request for comments to assist FAA in evaluating the petition.
The FAA may not publish a summary of your petition for exemption and request comments if you present or we find good cause why we should not delay action on your petition. The factors we consider in deciding not to request comment include:
(a) Whether granting your petition would set a precedent.
(b) Whether the relief requested is identical to exemptions granted previously.
(c) Whether our delaying action on your petition would affect you adversely.
(d) Whether you filed your petition in a timely manner.
The FAA states the specific time allowed for comments in the
The FAA will notify you in writing about its decision on your petition. A copy of this decision is also placed in the public docket. We will include the docket number associated with your petition in our letter to you.
Yes, you may petition FAA to reconsider your petition denial. You must submit your request to the address to which you sent your original petition, and FAA must receive it within 60 days after we issued the denial. For us to accept your petition, show the following:
(a) That you have a significant additional fact and why you did not present it in your original petition;
(b) That we made an important factual error in our denial of your original petition; or
(c) That we did not correctly interpret a law, regulation, or precedent.
The Federal Aviation Administration may grant a federal, state, or local government an exemption from part A of subtitle VII of title 49 United States Code, and any regulation issued under that authority that is applicable to an aircraft as a result of the Independent Safety Board Act Amendments of 1994, Public Law 103-411, if—
(a) The Administrator finds that granting the exemption is necessary to prevent an undue economic burden on the unit of government; and
(b) The Administrator certifies that the aviation safety program of the unit of government is effective and appropriate to ensure safe operations of the type of aircraft operated by the unit of government.
(a) The Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) requires FAA to get approval from OMB for our information collection activities, and to list a record of those approvals in the
(b) The table listing OMB control numbers assigned to FAA's information collection activities follows:
| 14 CFR part or
section identified and described | Current OMB control number |
|---|---|
| Part 13.5 | 2120-0795 |
| Part 14 | 2120-0539 |
| Part 17 | 2120-0632 |
| Part 21 | 2120-0018, 2120-0552 |
| Part 34 | 2120-0508 |
| Part 39 | 2120-0056 |
| Part 43 | 2120-0020 |
| Part 45 | 2120-0508 |
| Part 47 | 2120-0024, 2120-0042 |
| Part 48 | 2120-0765 |
| Part 49 | 2120-0043 |
| Part 60 | 2120-0680 |
| Part 61 | 2120-0021, 2120-0034, 2120-0543, 2120-0571, 2120-0816 |
| Part 63 | 2120-0007 |
| Part 65 | 2120-0022, 2120-0535, 2120-0571, 2120-0648 |
| Part 67 | 2120-0034, 2120-0543 |
| Part 68 | 2120-0770 |
| Part 77 | 2120-0001 |
| Part 89 | 2120-0781, 2120-0782, 2120-0783, 2120-0785. |
| Part 91 | 2120-0005, 2120-0026, 2120-0027, 2120-0573, 2120-0606, 2120-0620, 2120-0631, 2120-0651, 2120-0819, 2120-0820. |
| Part 93 | 2120-0524, 2120-0606, 2120-0639 |
| Part 101 | 2120-0027 |
| Part 105 | 2120-0027, 2120-0641 |
| Part 107 | 2120-0005, 2120-0021, 2120-0027, 2120-0767, 2120-0768, 2120-0775. |
| Part 111 | 2120-0607 |
| Part 119 | 2120-0593 |
| Part 121 | 2120-0008, 2120-0028, 2120-0535, 2120-0571, 2120-0600, 2120-0606, 2120-0614, 2120-0616, 2120-0631, 2120-0651, 2120-0653, 2120-0691, 2120-0739, 2120-0760, 2120-0766. |
| Part 125 | 2120-0028, 2120-0085, 2120-0616, 2120-0651 |
| Part 129 | 2120-0028, 2120-0536, 2120-0616, 2120-0638 |
| Part 133 | 2120-0044 |
| Part 135 | 2120-0003, 2120-0028, 2120-0039, 2120-0535, 2120-0571, 2120-0600, 2120-0606, 2120-0614, 2120-0616, 2120-0620, 2120-0631, 2120-0653, 2120-0766. |
| Part 137 | 2120-0049 |
| Part 139 | 2120-0045, 2120-0063 |
| Part 141 | 2120-0009 |
| Part 142 | 2120-0570 |
| Part 145 | 2120-0003, 2120-0010, 2120-0571 |
| Part 147 | 2120-0040 |
| Part 150 | 2120-0517 |
| Part 157 | 2120-0036 |
| Part 158 | 2120-0557 |
| Part 161 | 2120-0563 |
| Part 171 | 2120-0014 |
| Part 183 | 2120-0033, 2120-0604 |
| Part 193 | 2120-0646 |
| Part 198 | 2120-0514 |
| Part 194 | 2120-0009, 2120-0021, 2120-0039, 2120-0600, 2120-0607, 2120-0663, 2120-0701 |
| Part 400 | 2120-0643, 2120-0644, 0649 |
| Part 401 | 2120-0608 |
| Part 440 | 2120-0601 |
| SFAR 36 | 2120-0507 |
| SFAR 71 | 2120-0620 |
Unless otherwise specified, the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement may re-delegate the authority delegated to them under this part.
(a) Any person who knows of any violation of 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, should report the violation to FAA personnel.
(b) FAA personnel will review each report made under this section to determine whether any additional investigation or action is warranted.
(a) The Administrator may conduct investigations; hold hearings; issue subpoenas; require the production of relevant documents, records, and property; and take evidence and depositions.
(b) The Administrator has delegated the authority to conduct investigations to the various services and offices for matters within their respective areas.
(c) The Administrator delegates to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement the authority to:
(1) Issue orders;
(2) Conduct formal investigations;
(3) Subpoena witnesses and records in conducting a hearing or investigation;
(4) Order depositions and production of records in a proceeding or investigation; and
(5) Petition a court of the United States to enforce a subpoena or order described in paragraphs (c)(3) and (4) of this section.
(d) A complaint against the sponsor, proprietor, or operator of a federally assisted airport involving violations of the legal authorities listed in § 16.1 of this chapter must be filed in accordance with the provisions of part 16 of this chapter.
(a) Any person may file a complaint with the Administrator with respect to a violation by a person of any requirement under 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, as to matters within the jurisdiction of the Administrator. This section does not apply to complaints against the Administrator or employees of the FAA acting within the scope of their employment.
(b) Complaints filed under this section must—
(1) Be submitted in writing and identified as a complaint seeking an appropriate order or other enforcement action;
(2) Be submitted to the Federal Aviation Administration, Office of the Chief Counsel, Attention: Formal Complaint Clerk (AGC-300), 800 Independence Avenue SW, Washington, DC 20591;
(3) Set forth the name and address, if known, of each person who is the subject of the complaint and, with respect to each person, the specific provisions of the statute, rule, regulation, or order that the complainant believes were violated;
(4) Contain a concise but complete statement of the facts relied upon to substantiate each allegation;
(5) State the name, address, telephone number, and email of the person filing the complaint; and
(6) Be signed by the person filing the complaint or an authorized representative.
(c) A complaint that does not meet the requirements of paragraph (b) of this section will be considered a report under § 13.2.
(d) The FAA will send a copy of a complaint that meets the requirements of paragraph (b) of this section to the subject(s) of the complaint by certified mail.
(e) A subject of the complaint may serve a written answer to the complaint to the Formal Complaint Clerk at the address specified in paragraph (b)(2) of this section no later than 20 days after service of a copy of the complaint. For purposes of this paragraph (e), the date of service is the date on which the FAA mailed a copy of the complaint to the subject of the complaint.
(f) After the subject(s) of the complaint have served a written answer or after the allotted time to serve an answer has expired, the Administrator will determine if there are reasonable grounds for investigating the complaint, and—
(1) If the Administrator determines that a complaint does not state facts that warrant an investigation or action, the complaint may be dismissed without a hearing and the reason for the dismissal will be given, in writing, to the person who filed the complaint and the subject(s) of the complaint; or
(2) If the Administrator determines that reasonable grounds exist, an informal investigation may be initiated or an order of investigation may be issued in accordance with subpart F of this part, or both. The subject(s) of a complaint will be advised which official has been delegated the responsibility under § 13.3(b) or (c), as applicable, for conducting the investigation.
(g) If the investigation substantiates the allegations set forth in the complaint, the Administrator may take action in accordance with applicable law and FAA policy.
(h) The complaint and other records relating to the disposition of the complaint are maintained in the Formal Complaint Docket (AGC-300), Office of the Chief Counsel, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591. Any interested person may examine any docketed material at that office at any time after the docket is established, except material that is required to be withheld from the public under applicable law, and may obtain a copy upon paying the cost of the copy.
Each record, document, and report that FAA regulations require to be maintained, exhibited, or submitted to the Administrator may be used in any investigation conducted by the Administrator; and, except to the extent the use may be specifically limited or prohibited by the section which imposes the requirement, the records, documents, and reports may be used in any civil penalty action, certificate action, or other legal proceeding.
(a) If, after an investigation, FAA personnel determine that an apparent violation of 49 U.S.C. subtitle VII, 49 U.S.C. chapter 51, or any rule, regulation, or order issued under those statutes, does not require legal enforcement action, an appropriate FAA official may take administrative action to address the apparent violation.
(b) An administrative action under this section does not constitute a formal adjudication of the matter, and may take the form of—
(1) A Warning Notice that recites available facts and information about the incident or condition and indicates that it may have been a violation; or
(2) A Letter of Correction that states the corrective action the apparent violator has taken or agrees to take. If the apparent violator does not complete the agreed corrective action, the FAA may take legal enforcement action.
(a) The Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement may issue a consent order to resolve any matter with a person that may be subject to legal enforcement action.
(b) A person that may be subject to legal enforcement action may propose a consent order. The proposed consent order must include—
(1) An admission of all jurisdictional facts;
(2) An express waiver of the right to further procedural steps and of all rights to legal review in any forum;
(3) An express waiver of attorney's fees and costs;
(4) If a notice or order has been issued prior to the proposed consent order, an incorporation by reference of the notice or order and an acknowledgment that the notice or order may be used to construe the terms of the consent order; and
(5) If a request for hearing or appeal is pending in any forum, a provision that the person will withdraw the request for hearing or notice of appeal.
(a) The FAA uses the procedures in this section when it seeks a civil penalty other than by the administrative assessment procedures in § 13.16 or § 13.18.
(b) The authority of the Administrator to seek a civil penalty, and the ability to refer cases to the United States Attorney General, or the delegate of the Attorney General, for prosecution of civil penalty actions sought by the Administrator is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement. This delegation applies to cases involving one or more of the following:
(1) An amount in controversy in excess of:
(i) $400,000, if the violation was committed by a person other than an individual or small business concern; or
(ii) $50,000, if the violation was committed by an individual or small business concern.
(2) An in rem action, seizure of aircraft subject to lien, suit for injunctive relief, or for collection of an assessed civil penalty.
(c) The Administrator may compromise any civil penalty proposed under this section, before referral to the United States Attorney General, or the delegate of the Attorney General, for prosecution.
(1) The Administrator, through the Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement sends a civil penalty letter to the person charged with a violation. The civil penalty letter contains a statement of the charges; the applicable law, rule, regulation, or order; and the amount of civil penalty that the Administrator will accept in full settlement of the action or an offer to compromise the civil penalty.
(2) Not later than 30 days after receipt of the civil penalty letter, the person cited with an alleged violation may respond to the civil penalty letter by—
(i) Submitting electronic payment, a certified check, or money order in the amount offered by the Administrator in the civil penalty letter. The agency attorney will send a letter to the person charged with the violation stating that payment is accepted in full settlement of the civil penalty action; or
(ii) Submitting one of the following to the agency attorney:
(A) Written material or information that may explain, mitigate, or deny the violation or that may show extenuating circumstances; or
(B) A written request for an informal conference to discuss the matter with the agency attorney and to submit any relevant information or documents that may explain, mitigate, or deny the violation; or that may show extenuating circumstances.
(3) The documents, material, or information submitted under paragraph (c)(2)(ii) of this section may include support for any claim of inability to pay the civil penalty in whole or in part, or for any claim of small business status as defined in 49 U.S.C. 46301(i).
(4) The Administrator will consider any material or information submitted under paragraph (c)(2)(ii) of this section to determine whether the person is subject to a civil penalty or to determine the amount for which the Administrator will compromise the action.
(5) If the parties cannot agree to compromise the civil penalty, the Administrator may refer the civil penalty action to the United States Attorney General, or the delegate of the Attorney General, to begin proceedings in a U.S. district court to prosecute and collect a civil penalty.
(a) General. The FAA uses the procedures in this section when it assesses a civil penalty against a person other than an individual acting as a pilot, flight engineer, mechanic, or repairman for a violation cited in the first sentence of 49 U.S.C. 46301(d)(2), or in 49 U.S.C. 47531, or any implementing rule, regulation, or order, except when the U.S. district courts have exclusive jurisdiction.
(b) District court jurisdiction. The U.S. district courts have exclusive jurisdiction of any civil penalty action initiated by the FAA for violations described in paragraph (a) of this section if—
(1) The amount in controversy is more than $400,000 for a violation committed by a person other than an individual or small business concern;
(2) The amount in controversy is more than $50,000 for a violation committed by an individual or a small business concern;
(3) The action is in rem or another action in rem based on the same violation has been brought;
(4) The action involves an aircraft subject to a lien that has been seized by the Government; or
(5) Another action has been brought for an injunction based on the same violation.
(c) Hazardous materials violations. An order assessing a civil penalty for a violation under 49 U.S.C. chapter 51, or a rule, regulation, or order issued under 49 U.S.C. chapter 51, is issued only after the following factors have been considered:
(1) The nature, circumstances, extent, and gravity of the violation;
(2) With respect to the violator, the degree of culpability, any history of prior violations, the ability to pay, and any effect on the ability to continue to do business; and
(3) Other matters that justice requires.
(d) Delegation of authority. The authority of the Administrator is delegated to each Deputy Chief Counsel and the Assistant Chief Counsel for Enforcement, as follows:
(1) Under 49 U.S.C. 46301(d), 47531, and 5123, and 49 CFR 1.83, to initiate and assess civil penalties for a violation of those statutes or a rule, regulation, or order issued under those provisions;
(2) Under 49 U.S.C. 5123, 49 CFR 1.83, 49 U.S.C. 46301(d), and 49 U.S.C. 46305, to refer cases to the Attorney General of the United States or a delegate of the Attorney General for collection of civil penalties;
(3) Under 49 U.S.C. 46301(f), to compromise the amount of a civil penalty imposed; and
(4) Under 49 U.S.C. 5123(e) and (f) and 49 CFR 1.83, to compromise the amount of a civil penalty imposed.
(e) Order assessing civil penalty. (1) An order assessing civil penalty may be issued for a violation described in paragraph (a) or (c) of this section, or as otherwise provided by statute, after notice and opportunity for a hearing, when:
(i) A person charged with a violation agrees to pay a civil penalty for a violation; or
(ii) A person charged with a violation does not request a hearing under paragraph (g)(2)(ii) of this section within 15 days after receipt of a final notice of proposed civil penalty.
(2) The following also serve as an order assessing civil penalty:
(i) An initial decision or order issued by an administrative law judge as described in § 13.232(e).
(ii) A decision or order issued by the FAA decisionmaker as described in § 13.233(j).
(f) Notice of proposed civil penalty. A civil penalty action is initiated by sending a notice of proposed civil penalty to the person charged with a violation, the designated agent for the person, or if there is no such designated agent, the president of the company charged with a violation. In response to a notice of proposed civil penalty, a company may designate in writing another person to receive documents in that civil penalty action. The notice of proposed civil penalty contains a statement of the charges and the amount of the proposed civil penalty. Not later than 30 days after receipt of the notice of proposed civil penalty, the person charged with a violation may—
(1) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case either an order assessing civil penalty or compromise order under paragraph (n) of this section may be issued in that amount;
(2) Submit to the agency attorney one of the following:
(i) Written information, including documents and witness statements, demonstrating that a violation of the regulations did not occur or that a penalty or the amount of the penalty is not warranted by the circumstances.
(ii) A written request to reduce the proposed civil penalty, stating the amount of reduction and the reasons and providing any documents supporting a reduction of the proposed civil penalty, including records indicating a financial inability to pay or records showing that payment of the proposed civil penalty would prevent the person from continuing in business.
(iii) A written request for an informal conference to discuss the matter with the agency attorney and to submit relevant information or documents; or
(3) Request a hearing conducted in accordance with subpart G of this part.
(g) Final notice of proposed civil penalty. A final notice of proposed civil penalty will be sent to the person charged with a violation, the designated agent for the person, the designated agent named in accordance with paragraph (f) of this section, or the president of the company charged with a violation. The final notice of proposed civil penalty contains a statement of the charges and the amount of the proposed civil penalty and, as a result of information submitted to the agency attorney during informal procedures, may modify an allegation or a proposed civil penalty contained in a notice of proposed civil penalty.
(1) A final notice of proposed civil penalty may be issued—
(i) If the person charged with a violation fails to respond to the notice of proposed civil penalty within 30 days after receipt of that notice; or
(ii) If the parties participated in any procedures under paragraph (f)(2) of this section and the parties have not agreed to compromise the action or the agency attorney has not agreed to withdraw the notice of proposed civil penalty.
(2) Not later than 15 days after receipt of the final notice of proposed civil penalty, the person charged with a violation may do one of the following:
(i) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case either an order assessing civil penalty or a compromise order under paragraph (n) of this section may be issued in that amount; or
(ii) Request a hearing conducted in accordance with subpart G of this part.
(h) Request for a hearing. Any person requesting a hearing, under paragraph (f)(3) or (g)(2)(ii) of this section must file the request with the FAA Hearing Docket Clerk and serve the request on the agency attorney in accordance with the requirements in subpart G of this part.
(i) Hearing. The procedural rules in subpart G of this part apply to the hearing.
(j) Appeal. Either party may appeal the administrative law judge's initial decision to the FAA decisionmaker under the procedures in subpart G of this part. The procedural rules in subpart G of this part apply to the appeal.
(k) Judicial review. A person may seek judicial review only of a final decision and order of the FAA decisionmaker in accordance with § 13.235.
(l) Payment. (1) A person must pay a civil penalty by:
(i) Sending a certified check or money order, payable to the Federal Aviation Administration, to the FAA office identified in the notice of proposed civil penalty, the final notice of proposed civil penalty, or the order assessing civil penalty; or
(ii) Making an electronic payment according to the directions specified in the notice of proposed civil penalty, the final notice of proposed civil penalty, or the order assessing civil penalty.
(2) The civil penalty must be paid within 30 days after service of the order assessing civil penalty, unless otherwise agreed to by the parties. In cases where a hearing is requested, an appeal to the FAA decisionmaker is filed, or a petition for review of the FAA decisionmaker's decision is filed in a U.S. court of appeals, the civil penalty must be paid within 30 days after all litigation in the matter is completed and the civil penalty is affirmed in whole or in part.
(m) Collection of civil penalties. If an individual does not pay a civil penalty imposed by an order assessing civil penalty or other final order, the Administrator may take action to collect the penalty.
(n) Compromise. The FAA may compromise the amount of any civil penalty imposed under this section under 49 U.S.C. 5123(e), 46301(f), or 46318 at any time before referring the action to the United States Attorney General, or the delegate of the Attorney General, for collection.
(1) When a civil penalty is compromised with a finding of violation, an agency attorney issues an order assessing civil penalty.
(2) When a civil penalty is compromised without a finding of violation, the agency attorney issues a compromise order that states the following:
(i) The person has paid a civil penalty or has signed a promissory note providing for installment payments.
(ii) The FAA makes no finding of a violation.
(iii) The compromise order will not be used as evidence of a prior violation in any subsequent civil penalty proceeding or certificate action proceeding.
(a) The Chief Counsel, or a Regional Administrator for an aircraft within the region, may issue an order authorizing a State or Federal law enforcement officer or a Federal Aviation Administration safety inspector to seize an aircraft that is involved in a violation for which a civil penalty may be imposed on its owner or the individual commanding the aircraft.
(b) Each person seizing an aircraft under this section places it in the nearest available and adequate public storage facility in the judicial district in which it was seized.
(c) The Regional Administrator or Chief Counsel, without delay, sends a written notice and a copy of this section to the registered owner of the seized aircraft and to each other person shown by FAA records to have an interest in it, stating the—
(1) Time, date, and place of seizure;
(2) Name and address of the custodian of the aircraft;
(3) Reasons for the seizure, including the violations alleged or proven to have been committed; and
(4) Amount that may be tendered as—
(i) A compromise of a civil penalty for the alleged violation; or
(ii) Payment for a civil penalty imposed for a proven violation.
(d) The Chief Counsel or Assistant Chief Counsel for Enforcement immediately sends a report to the United States Attorney for the judicial district in which it was seized, requesting the United States Attorney to institute proceedings to enforce a lien against the aircraft.
(e) The Regional Administrator or Chief Counsel directs the release of a seized aircraft when—
(1) The alleged violator pays a civil penalty or an amount agreed upon in compromise, and the costs of seizing, storing, and maintaining the aircraft;
(2) The aircraft is seized under an order of a court of the United States in proceedings in rem initiated under 49 U.S.C. 46305 to enforce a lien against the aircraft;
(3) The United States Attorney General, or the delegate of the Attorney General, notifies the FAA that the United States Attorney General, or the delegate of the Attorney General, refuses to institute proceedings in rem under 49 U.S.C. 46305 to enforce a lien against the aircraft; or
(4) A bond in the amount and with the sureties prescribed by the Chief Counsel or the Assistant Chief Counsel for Enforcement is deposited, conditioned on payment of the penalty or the compromise amount, and the costs of seizing, storing, and maintaining the aircraft.
(a) General. (1) This section applies to each action in which the FAA seeks to assess a civil penalty by administrative procedures against an individual acting as a pilot, flight engineer, mechanic, or repairman under 49 U.S.C. 46301(d)(5) for a violation listed in 49 U.S.C. 46301(d)(2). This section does not apply to a civil penalty assessed for a violation of 49 U.S.C. chapter 51, or a rule, regulation, or order issued thereunder.
(2) Notwithstanding the provisions of paragraph (a)(1) of this section, the U.S. district courts have exclusive jurisdiction of any civil penalty action involving an individual acting as a pilot, flight engineer, mechanic, or repairman for violations described in paragraph (a)(1), or under 49 U.S.C. 46301(d)(4), if:
(i) The amount in controversy is more than $50,000;
(ii) The action involves an aircraft subject to a lien that has been seized by the government; or
(iii) Another action has been brought for an injunction based on the same violation.
(b) Definitions. As used in this part, the following definitions apply:
(1) Flight engineer means an individual who holds a flight engineer certificate issued under part 63 of this chapter.
(2) Individual acting as a pilot, flight engineer, mechanic, or repairman means an individual acting in such capacity, whether or not that individual holds the respective airman certificate issued by the FAA.
(3) Mechanic means an individual who holds a mechanic certificate issued under part 65 of this chapter.
(4) Pilot means an individual who holds a pilot certificate issued under part 61 of this chapter.
(5) Repairman means an individual who holds a repairman certificate issued under part 65 of this chapter.
(c) Delegation of authority. The authority of the Administrator is delegated to the Chief Counsel and each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement, as follows:
(1) To initiate and assess civil penalties under 49 U.S.C. 46301(d)(5);
(2) To refer cases to the Attorney General of the United States, or the delegate of the Attorney General, for collection of civil penalties; and
(3) To compromise the amount of a civil penalty under 49 U.S.C. 46301(f).
(d) Notice of proposed assessment. A civil penalty action is initiated by sending a notice of proposed assessment to the individual charged with a violation specified in paragraph (a) of this section. The notice of proposed assessment contains a statement of the charges and the amount of the proposed civil penalty. The individual charged with a violation may do the following:
(1) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case either an order of assessment or a compromise order will be issued in that amount.
(2) Answer the charges in writing by submitting information, including documents and witness statements, demonstrating that a violation of the regulations did not occur or that a penalty, or the amount of the penalty, is not warranted by the circumstances.
(3) Submit a written request to reduce the proposed civil penalty, stating the amount of reduction and the reasons, and providing any documents supporting a reduction of the proposed civil penalty, including records indicating a financial inability to pay.
(4) Submit a written request for an informal conference to discuss the matter with an agency attorney and submit relevant information or documents.
(5) Request that an order of assessment be issued so that the individual charged may appeal to the National Transportation Safety Board.
(e) Failure to respond to notice of proposed assessment. An order of assessment may be issued if the individual charged with a violation fails to respond to the notice of proposed assessment within 15 days after receipt of that notice.
(f) Order of assessment. An order of assessment, which imposes a civil penalty, may be issued for a violation described in paragraph (a) of this section after notice and an opportunity to answer any charges and be heard as to why such order should not be issued.
(g) Appeal. Any individual who receives an order of assessment issued under this section may appeal the order to the National Transportation Safety Board. The appeal stays the effectiveness of the Administrator's order.
(h) Judicial review. A party may seek judicial review only of a final decision and order of the National Transportation Safety Board under 49 U.S.C. 46301(d)(6) and 46110. Neither an initial decision, nor an order issued by an administrative law judge that has not been appealed to the National Transportation Safety Board, nor an order compromising a civil penalty action, may be appealed under any of those sections.
(i) Compromise. The FAA may compromise any civil penalty imposed under this section at any time before referring the action to the United States Attorney General, or the delegate of the Attorney General, for collection.
(1) When a civil penalty is compromised with a finding of violation, an agency attorney issues an order of assessment.
(2) When a civil penalty is compromised without a finding of violation, the agency attorney issues a compromise order of assessment that states the following:
(i) The individual has paid a civil penalty or has signed a promissory note providing for installment payments;
(ii) The FAA makes no finding of violation; and
(iii) The compromise order will not be used as evidence of a prior violation in any subsequent civil penalty proceeding or certificate action proceeding.
(j) Payment. (1) An individual must pay a civil penalty by:
(i) Sending a certified check or money order, payable to the Federal Aviation Administration, to the FAA office identified in the order of assessment; or
(ii) Making an electronic payment according to the directions specified in the order of assessment.
(2) The civil penalty must be paid within 30 days after service of the order of assessment, unless an appeal is filed with the National Transportation Safety Board. In cases where an appeal is filed with the National Transportation Safety Board, or a petition for review is filed with a U.S. court of appeals, the civil penalty must be paid within 30 days after all litigation in the matter is completed and the civil penalty is affirmed in whole or in part.
(k) Collection of civil penalties. If an individual does not pay a civil penalty imposed by an order of assessment or other final order, the Administrator may take action provided under the law to collect the penalty.
(a) This section applies to certificate actions by the Administrator that are appealable to the National Transportation Safety Board.
(1) Under 49 U.S.C. 44709(b) the Administrator may issue an order amending, modifying, suspending, or revoking all or part of any type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, or air agency certificate if as a result of a reinspection, reexamination, or other investigation, the Administrator determines that the public interest and safety in air commerce requires it, if a certificate holder has violated an aircraft noise or sonic boom standard or regulation prescribed under 49 U.S.C. 44715(a), or if the holder of the certificate is convicted of violating 16 U.S.C. 742j-1(a).
(2) The authority of the Administrator to issue orders under 49 U.S.C. 44709(b)(1)(A) and (b)(2) is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement.
(b) The agency attorney will issue a notice before issuing a non-immediately effective order to amend, modify, suspend, or revoke a type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, air agency certificate, or to revoke an aircraft certificate of registration because the aircraft was used to carry out or facilitate an activity punishable under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year, and the owner of the aircraft permitted the use of the aircraft knowing that the aircraft was to be used for the activity.
(1) A notice of proposed certificate action will advise the certificate holder or aircraft owner of the charges or other reasons upon which the Administrator bases the proposed action, and allows the holder to answer any charges and to be heard as to why the certificate should not be amended, suspended, modified, or revoked.
(2) In response to a notice of proposed certificate action described in paragraph (b)(1) of this section, the certificate holder or aircraft owner, within 15 days of the date of receipt of the notice, may—
(i) Surrender the certificate and waive any right to contest or appeal the charged violations and sanction, in which case the Administrator will issue an order;
(ii) Answer the charges in writing by submitting information, including documents and witness statements, demonstrating that a violation of the regulations did not occur or that the proposed sanction is not warranted by the circumstances;
(iii) Submit a written request for an informal conference to discuss the matter with an agency attorney and submit relevant information or documents; or
(iv) Request that an order be issued in accordance with the notice of proposed certificate action so that the certificate holder or aircraft owner may appeal to the National Transportation Safety Board.
(c) In the case of an emergency order amending, modifying, suspending, or revoking a type certificate, production certificate, airworthiness certificate, airman certificate, air carrier operating certificate, air navigation facility certificate, or air agency certificate, a person affected by the immediate effectiveness of the Administrator's order may petition the National Transportation Safety Board for a review of the Administrator's determination that an emergency exists.
(d) A person may not petition the National Transportation Safety Board for a review of the Administrator's determination that safety in air transportation or air commerce requires the immediate effectiveness of an order where the action is based on the circumstances described in paragraph (d)(1), (2), or (3) of this section.
(1) The revocation of an individual's airman certificates for the reasons stated in paragraph (d)(1)(i) or (ii) of this section:
(i) A conviction under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), of an offense punishable by death or imprisonment for more than one year if the Administrator finds that—
(A) An aircraft was used to commit, or facilitate the commission of the offense; and
(B) The individual served as an airman, or was on the aircraft, in connection with committing, or facilitating the commission of, the offense.
(ii) Knowingly carrying out an activity punishable, under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year; and—
(A) An aircraft was used to carry out or facilitate the activity; and
(B) The individual served as an airman, or was on the aircraft, in connection with carrying out, or facilitating the carrying out of, the activity.
(2) The revocation of a certificate of registration for an aircraft, and any other aircraft the owner of that aircraft holds, if the Administrator finds that—
(i) The aircraft was used to carry out or facilitate an activity punishable, under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year; and
(ii) The owner of the aircraft permitted the use of the aircraft knowing that the aircraft was to be used for the activity described in paragraph (d)(2)(i) of this section.
(3) The revocation of an airman certificate, design organization certificate, type certificate, production certificate, airworthiness certificate, air carrier operating certificate, airport operating certificate, air agency certificate, or air navigation facility certificate if the Administrator finds that the holder of the certificate or an individual who has a controlling or ownership interest in the holder—
(i) Was convicted in a court of law of a violation of a law of the United States relating to the installation, production, repair, or sale of a counterfeit or fraudulently-represented aviation part or material; or
(ii) Knowingly, and with the intent to defraud, carried out or facilitated an activity described in paragraph (d)(3)(i) of this section.
(a) General. This section applies to all of the following:
(1) Orders of compliance;
(2) Cease and desist orders;
(3) Orders of denial;
(4) Orders suspending or revoking a certificate of registration (but not revocation of a certificate of registration because the aircraft was used to carry out or facilitate an activity punishable, under a law of the United States or a State related to a controlled substance (except a law related to simple possession of a controlled substance), by death or imprisonment for more than one year and the owner of the aircraft permitted the use of the aircraft knowing that the aircraft was to be used for the activity); and
(5) Other orders issued by the Administrator to carry out the provisions of the Federal aviation statute codified at 49 U.S.C. subtitle VII that apply this section by statute, rule, regulation, or order, or for which there is no specific administrative process provided by statute, rule, regulation, or order.
(b) Applicability of procedures. (1) Prior to the issuance of a non-immediately effective order covered by this section, the Administrator will provide the person who would be subject to the order with notice, advising the person of the charges or other reasons upon which the proposed action is based, and the provisions in paragraph (c) of this section apply.
(2) If the Administrator is of the opinion that an emergency exists related to safety in air commerce and requires immediate action and issues an order covered by this section that is immediately effective, the provisions of paragraph (d) of this section apply.
(c) Non-emergency procedures. (1) Within 30 days after service of the notice, the person subject to the notice may:
(i) Submit a written reply;
(ii) Agree to the issuance of the order as proposed in the notice of proposed action, waiving any right to contest or appeal the agreed-upon order issued under this option in any administrative or judicial forum;
(iii) Submit a written request for an informal conference to discuss the matter with an agency attorney; or
(iv) Request a hearing in accordance with the non-emergency procedures of subpart D of this part.
(2) After an informal conference is held or a reply is filed, if the agency attorney notifies the person that some or all of the proposed agency action will not be withdrawn, the person may, within 10 days after receiving the agency attorney's notification, request a hearing on the parts of the proposed agency action not withdrawn, in accordance with the non-emergency procedures of subpart D of this part.
(3) If a hearing is requested in accordance with paragraph (c)(1)(iv) or (c)(2) of this section, the non-emergency procedures of subpart D of this part apply.
(4) Failure to request a hearing within the periods provided in paragraph (c)(1)(iv) or (c)(2) of this section:
(i) Constitutes a waiver of the right to a hearing and appeal; and
(ii) Authorizes the agency to make appropriate findings of fact and to issue an appropriate order without further notice or proceedings.
(d) Emergency procedures. (1) If the Administrator is of the opinion that an emergency exists related to safety in air commerce and requires immediate action, the Administrator issues simultaneously:
(i) An immediately effective order that expires 80 days after the date of issuance and sets forth the charges or other reasons upon which the order is based; and
(ii) A notice of proposed action that:
(A) Sets forth the charges or other reasons upon which the notice of proposed action is based; and
(B) Advises that within 10 days after service of the notice, the person may appeal the notice by requesting an expedited hearing in accordance with the emergency procedures of subpart D of this part.
(2) The Administrator will serve the immediately effective order and the notice of proposed action together by personal or overnight delivery and by certified or registered mail to the person subject to the order and notice of proposed action.
(3) Failure to request a hearing challenging the notice of proposed action under the expedited procedures in subpart D of this part within 10 days after service of the notice:
(i) Constitutes a waiver of the right to a hearing and appeal under subpart D of this part; and
(ii) Authorizes the Administrator, without further notice or proceedings, to make appropriate findings of fact, issue an immediately effective order without expiration, and withdraw the 80-day immediately effective order.
(4) The filing of a request for hearing under subpart D of this part does not stay the effectiveness of the 80-day immediately effective order issued under this section.
(e) Delegation of authority. The authority of the Administrator under this section is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement.
This subpart applies to proceedings in which a hearing has been requested in accordance with § 13.20 or § 13.75. Hearings under this subpart are considered informal and are provided through the Office of Adjudication.
(a) Parties. Parties to proceedings under this subpart include the following: Complainant, respondent, and where applicable, intervenor.
(1) Complainant is the FAA Office that issued the notice of proposed action under the authorities listed in § 13.31.
(2) Respondent is the party filing a request for hearing.
(3) Intervenor is a person permitted to participate as a party under § 13.51.
(b) Representatives. Any party to a proceeding under this subpart may appear and be heard in person or by a representative. A representative is an attorney, or another representative designated by the party.
(c) Notice of appearance—(1) Content. The representative of a party must file a notice of appearance that includes the representative's name, address, telephone number, and, if available, fax number, and email address.
(2) Filing. A notice of appearance may be incorporated into an initial filing in a proceeding. A notice of appearance by additional representatives or substitutes after an initial filing in a proceeding must be filed independently.
(a) Initial filing and service. A request for hearing must be filed with the FAA Hearing Docket, and a copy must be served on the official who issued the notice of proposed action, in accordance with the requirements in § 13.43 for filing and service of documents. The request for hearing must be in writing and describe the action proposed by the FAA, and must contain a statement that a hearing is requested under this subpart.
(b) Complaint. Within 20 days after service of the copy of the request for hearing, the official who issued the notice of proposed action must forward a copy of that notice, which serves as the complaint, to the FAA Hearing Docket.
(c) Answer. Within 30 days after service of the copy of the complaint, the Respondent must file an answer to the complaint. All allegations in the complaint not specifically denied in the answer are deemed admitted.
As soon as practicable after the filing of the complaint, the Director of the Office of Adjudication will assign a hearing officer to preside over the matter. The hearing officer may—
(a) Give notice concerning, and hold, prehearing conferences and hearings;
(b) Administer oaths and affirmations;
(c) Examine witnesses;
(d) Adopt procedures for the submission of evidence in written form;
(e) Issue subpoenas;
(f) Rule on offers of proof;
(g) Receive evidence;
(h) Regulate the course of proceedings, including but not limited to discovery, motions practice, imposition of sanctions, and the hearing;
(i) Hold conferences, before and during the hearing, to settle and simplify issues by consent of the parties;
(j) Dispose of procedural requests and similar matters;
(k) Issue protective orders governing the exchange and safekeeping of information otherwise protected by law, except that national security information may not be disclosed under such an order;
(l) Issue orders and decisions, and make findings of fact, as appropriate; and
(m) Take any other action authorized by this subpart.
(a) Motion and supporting affidavit. Any party may file a motion for disqualification under § 13.49(g). A party must state the grounds for disqualification, including, but not limited to, a financial or other personal interest that would be affected by the outcome of the enforcement action, personal animus against a party to the action or against a group to which a party belongs, prejudgment of the adjudicative facts at issue in the proceeding, or any other prohibited conflict of interest. A party must submit an affidavit with the motion for disqualification that sets forth, in detail, the matters alleged to constitute grounds for disqualification.
(b) Timing. A motion for disqualification must be filed prior to the issuance of the hearing officer's decision under § 13.63(b). Any party may file a response to a motion for disqualification, but must do so no later than 5 days after service of the motion for disqualification.
(c) Decision on motion for disqualification. The hearing officer must render a decision on the motion for disqualification no later than 15 days after the motion has been filed. If the hearing officer finds that the motion for disqualification and supporting affidavit show a basis for disqualification, the hearing officer must withdraw from the proceedings immediately. If the hearing officer finds that disqualification is not warranted, the hearing officer must deny the motion and state the grounds for the denial on the record. If the hearing officer fails to rule on a party's motion for disqualification within 15 days after the motion has been filed, the motion is deemed granted.
(d) Self-disqualification. A hearing officer may disqualify himself or herself at any time.
(a) Separation of powers. The hearing officer independently exercises the powers under this subpart in a manner conducive to justice and the proper dispatch of business. The hearing officer must not participate in any appeal to the Administrator.
(b) Ex parte communications. (1) No substantive ex parte communications between the hearing officer and any party are permitted.
(2) A hearing, conference, or other event scheduled with prior notice will not constitute ex parte communication prohibited by this section. A hearing, conference, or other event scheduled with prior notice, may proceed in the hearing officer's sole discretion if a party fails to appear, respond, or otherwise participate, and will not constitute an ex parte communication prohibited by this section.
(3) For an appeal to the Administrator under this subpart, FAA attorneys representing the complainant must not advise the Administrator or engage in any ex parte communications with the Administrator or his advisors.
(a) General rule. A party must file all requests for hearing, pleadings, motions, and documents with the FAA Hearing Docket, and must serve a copy upon all parties to the proceedings.
(b) Methods of filing. Filing must be by email, personal delivery, expedited or overnight courier express service, mail, or fax.
(c) Address for filing. A person filing a document with the FAA Hearing Docket must use the address identified for the method of filing as follows:
(1) If delivery is in person, or by expedited or overnight express courier service. Federal Aviation Administration, 600 Independence Avenue SW, Wilbur Wright Building—Suite 2W100, Washington, DC 20597; Attention: FAA Hearing Docket, AGC-70.
(2) If delivery is via U.S. mail, or U.S. certified or registered mail. Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591; Attention: FAA Hearing Docket, AGC-70, Wilbur Wright Building—Suite 2W100.
(3) Contact information. The FAA Office of Adjudication will make available on its website an email address and fax number for the FAA Hearing Docket, as well as other contact information.
(d) Requirement to file an original document and number of copies. A party must file an original document and one copy when filing by personal delivery or by mail. Only one copy must be filed if filing is accomplished by email or fax.
(e) Filing by email. A document that is filed by email must be attached as a Portable Document Format (PDF) file to an email. The document must be signed in accordance with § 13.207. The email message does not constitute a submission, but serves only to deliver the attached PDF file to the FAA Hearing Docket.
(f) Methods of service—(1) General. A person may serve any document by email, personal delivery, expedited or overnight courier express service, mail, or fax.
(2) Service by email. Service of documents by email is voluntary and requires the prior consent of the person to be served by email. A person may retract consent to be served by email by filing and serving a written retraction. A document that is served by email must be attached as a PDF file to an email message.
(g) Certificate of service. A certificate of service must accompany all documents filed with the FAA Hearing Docket. The certificate of service must be signed, describe the method of service, and state the date of service.
(h) Date of filing and service. If a document is sent by fax or email, the date of filing and service is the date the email or fax is sent. If a document is sent by personal delivery or by expedited or overnight express courier service, the date of filing and service is the date that delivery is accomplished. If a document is mailed, the date of filing and service is the date shown on the certificate of service, the date shown on the postmark if there is no certificate of service, or the mailing date shown by other evidence if there is no certificate of service or postmark.
(a) In computing any period of time prescribed or allowed by this subpart, the date of the act, event, default, notice, or order is not to be included in the computation. The last day of the period so computed is to be included unless it is a Saturday, Sunday, or Federal holiday, in which event the period runs until the end of the next day that is not a Saturday, Sunday, or a Federal holiday.
(b) Whenever a party must respond within a prescribed period after service by mail, 5 days are added to the prescribed period.
(c) The parties may agree to extend the time for filing any document required by this subpart with the consent of—
(1) The Director of the Office of Adjudication prior to the designation of a hearing officer;
(2) The hearing officer prior to the filing of a notice of appeal; or
(3) The Director of the Office of Adjudication after the filing of a notice of appeal.
(d) If the parties do not agree, a party may make a written request to extend the time for filing to the appropriate official identified in paragraph (c) of this section. The appropriate official may grant the request for good cause shown.
(a) Withdrawal. At any time before the hearing, the complainant may withdraw the complaint, and the respondent may withdraw the request for hearing.
(b) Amendments. At any time more than 10 days before the date of hearing, any party may amend its complaint, answer, or other pleading, by filing the amendment with the FAA Hearing Docket and serving a copy of it on every other party. After that time, amendment requires approval of the hearing officer. If an initial pleading is amended, the hearing officer must allow the other parties a reasonable opportunity to respond.
(a) Motions in lieu of an answer. A respondent may file a motion to dismiss or a motion for a more definite statement in place of an answer. If the hearing officer denies the motion, the respondent must file an answer within 10 days.
(1) Motion to dismiss. The respondent may file a motion asserting that the allegations in the complaint fail to state a violation of Federal aviation statutes, a violation of regulations in this chapter, lack of qualification of the respondent, or other appropriate grounds.
(2) Motion for more definite statement. The respondent may file a motion that the allegations in the notice be made more definite and certain.
(b) Motion to dismiss request for hearing. The FAA may file a motion to dismiss a request for hearing based on jurisdiction, timeliness, or other appropriate grounds.
(c) Motion for decision on the pleadings or for summary decision. After the complaint and answer are filed, either party may move for a decision on the pleadings or for a summary decision, in the manner provided by Rules 12 and 56, respectively, of the Federal Rules of Civil Procedure.
(d) Motion to strike. Upon motion of either party, the hearing officer may order stricken, from any pleadings, any insufficient allegation or defense, or any redundant, immaterial, impertinent, or scandalous matter.
(e) Motion to compel. Any party may file a motion asking the hearing officer to order any other party to produce discovery requested in accordance with § 13.53 if—
(1) The other party has failed to timely produce the requested discovery; and
(2) The moving party certifies it has in good faith conferred with the other party in an attempt to obtain the requested discovery prior to filing the motion to compel.
(f) Motion for protective order. The hearing officer may order information contained in anything filed, or in any testimony given pursuant to this subpart withheld from public disclosure when, in the judgment of the hearing officer, disclosure would be detrimental to aviation safety; disclosure would not be in the public interest; or the information is not otherwise required to be made available to the public. Any person may make written objection to the public disclosure of any information, stating the ground for such objection.
(g) Other motions. Any application for an order or ruling not otherwise provided for in this subpart must be made by motion.
(h) Responses to motions. Any party may file a response to any motion under this subpart within 10 days after service of the motion.
Any person may move for leave to intervene in a proceeding and may become a party thereto, if the hearing officer, after the case is sent to the hearing officer for hearing, finds that the person may be bound by the order to be issued in the proceedings or has a property or financial interest that may not be adequately represented by existing parties, and that the intervention will not unduly broaden the issues or delay the proceedings. Except for good cause shown, a motion for leave to intervene may not be considered if it is filed less than 10 days before the hearing.
(a) Filing. Discovery requests and responses are not filed with the FAA Hearing Docket unless in support of a motion, offered for impeachment, or other permissible circumstances as approved by the hearing officer.
(b) Scope of discovery. Any party may discover any matter that is not privileged and is relevant to any party's claim or defense.
(c) Time for response to written discovery requests. (1) Written discovery includes interrogatories, requests for admission or stipulations, and requests for production of documents.
(2) Unless otherwise directed by the hearing officer, a party must serve its response to a discovery request no later than 30 days after service of the discovery request.
(d) Depositions. After the respondent has filed a request for hearing and an answer, either party may take testimony by deposition.
(e) Limits on discovery. The hearing officer may limit the frequency and extent of discovery upon a showing by a party that—
(1) The discovery requested is cumulative or repetitious;
(2) The discovery requested can be obtained from another less burdensome and more convenient source;
(3) The party requesting the information has had ample opportunity to obtain the information through other discovery methods permitted under this section; or
(4) The method or scope of discovery requested by the party is unduly burdensome or expensive.
The hearing officer must set a reasonable date, time, and location for the hearing, and must give the parties adequate notice thereof, and of the nature of the hearing. Due regard must be given to the convenience of the parties with respect to the location of the hearing.
(a) Application. The hearing officer, upon application by any party to the proceeding, may issue subpoenas requiring the attendance of witnesses or the production of documents or tangible things at a hearing or for the purpose of taking depositions, as permitted by law. The application for producing evidence must show its general relevance and reasonable scope. Absent good cause shown, a party must file a request for a subpoena at least:
(1) 15 days before a scheduled deposition under the subpoena; or
(2) 30 days before a scheduled hearing where attendance at the hearing is sought.
(b) Procedure. A party seeking the production of a document in the custody of an FAA employee must use the discovery procedure found in § 13.53, and if necessary, a motion to compel under § 13.49. A party that applies for the attendance of an FAA employee at a hearing must send the application, in writing, to the hearing officer. The application must set forth the need for that employee's attendance.
(c) Fees. Except for an employee of the agency who appears at the direction of the agency, a witness who appears at a deposition or hearing is entitled to the same fees and allowances as provided for under 28 U.S.C. 1821. The party who applies for a subpoena to compel the attendance of a witness at a deposition or hearing, or the party at whose request a witness appears at a deposition or hearing, must pay the witness fees and allowances described in this section.
(d) Service of subpoenas. Any person who is at least 18 years old and not a party may serve a subpoena. Serving a subpoena requires delivering a copy to the named person. Except for the complainant, the party that requested the subpoena must tender at the time of service the fees for 1 day's attendance and the allowances allowed by law if the subpoena requires that person's attendance. Proving service, if necessary, requires the filing with the FAA Hearing Docket of a statement showing the date and manner of service and the names of the persons served. The server must certify the statement.
(e) Motion to quash or modify the subpoena. A party, or any person served with a subpoena, may file a motion to quash or modify the subpoena with the hearing officer at or before the time specified in the subpoena for compliance. The movant must describe, in detail, the basis for the application to quash or modify the subpoena including, but not limited to, a statement that the testimony, document, or tangible thing is not relevant to the proceeding, that the subpoena is not reasonably tailored to the scope of the proceeding, or that the subpoena is unreasonable and oppressive. A motion to quash or modify the subpoena will stay the effect of the subpoena pending a decision by the hearing officer on the motion.
(f) Enforcement of subpoena. If a person disobeys a subpoena, a party may apply to a U.S. district court to seek judicial enforcement of the subpoena.
(a) Each party to a hearing may present the party's case or defense by oral or documentary evidence, submit evidence in rebuttal, and conduct such cross-examination as may be needed for a full disclosure of the facts.
(b) Except with respect to affirmative defenses and notices of proposed denial, the burden of proof is upon the complainant.
The hearing officer must give the parties adequate opportunity to present arguments in support of motions, objections, and the final order. The hearing officer may determine whether arguments are to be oral or written. At the end of the hearing, the hearing officer may allow each party to submit written proposed findings and conclusions and supporting reasons for them.
(a) The record. (1) The testimony and exhibits admitted at a hearing, together with all papers, requests, and rulings filed in the proceedings, are the exclusive basis for the issuance of the hearing officer's decision.
(2) On appeal to the Administrator, the record shall include all of the information identified in paragraph (a)(1) of this section and evidence proffered but not admitted at the hearing.
(3) Any party may obtain a transcript of the hearing from the official reporter upon payment of the required fees.
(b) Hearing officer's decision. The decision by the hearing officer must include findings of fact based on the record, conclusions of law, and an appropriate order.
(c) Certain aircraft registration proceedings. If the hearing officer determines that an aircraft is ineligible for a certificate of aircraft registration in proceedings relating to aircraft registration orders suspending or revoking a certificate of registration under § 13.20, the hearing officer may suspend or revoke the aircraft registration certificate.
(a) Any party to a hearing may appeal from the order of the hearing officer by filing with the FAA Hearing Docket a notice of appeal to the Administrator within 20 days after the date of issuance of the order. Filing and service of the notice of appeal, and any other papers, are accomplished according to the procedures in § 13.43.
(b) If a notice of appeal is not filed from the order issued by a hearing officer, such order is final with respect to the parties. Such order is not binding precedent and is not subject to judicial review.
(c) Any person filing an appeal authorized by paragraph (a) of this section must file an appeal brief with the Administrator within 40 days after the date of issuance of the order, and serve a copy on the other party. A reply brief must be filed within 40 days after service of the appeal brief and a copy served on the appellant.
(d) On appeal, the Administrator reviews the record of the proceeding and issues an order dismissing, reversing, modifying or affirming the order. The Administrator's order includes the reasons for the Administrator's action. The Administrator considers only whether:
(1) Each finding of fact is supported by a preponderance of the reliable, probative, and substantial evidence;
(2) Each conclusion is made in accordance with law, precedent, and policy; and
(3) The hearing officer committed any prejudicial error.
(e) The Director and legal personnel of the Office of Adjudication serve as the advisors to the Administrator for appeals under this section.
(1) The Director has the authority to:
(i) Manage all or portions of individual appeals; and to prepare written decisions and proposed final orders in such appeals;
(ii) Issue procedural and other interlocutory orders aimed at proper and efficient appeal management, including, without limitation, scheduling and sanctions orders;
(iii) Grant or deny motions to dismiss appeals;
(iv) Dismiss appeals upon request of the appellant or by agreement of the parties;
(v) Stay decisions and orders of the Administrator, pending judicial review or reconsideration by the Administrator;
(vi) Summarily dismiss repetitious or frivolous petitions to reconsider or modify orders;
(vii) Correct typographical, grammatical, and similar errors in the Administrator's decisions and orders, and to make non-substantive editorial changes; and
(viii) Take all other reasonable steps deemed necessary and proper for the management of the appeals process, in accordance with this part and applicable law.
(2) The Director's authority in paragraph (e)(1) of this section may be re-delegated, as necessary, except to hearing officers and others materially involved in the hearing that is the subject of the appeal.
(f) Motions to reconsider the final order of the Administrator must be filed with the FAA Hearing Docket within thirty days of service of the Administrator's order.
(g) Judicial review of the Administrator's final order under this section is provided in accordance with 49 U.S.C. 5127 or 46110, as applicable.
(a) When an expedited administrative hearing is requested in accordance with § 13.20(d), the procedures in this subpart will apply except as provided in paragraphs (a)(1) through (7) of this section.
(1) Service and filing of pleadings, motions, and documents must be by overnight delivery, and fax or email. Responses to motions must be filed within 7 days after service of the motion.
(2) Within 3 days after receipt of the request for hearing, the agency must file a copy of the notice of proposed action, which serves as the complaint, to the FAA Hearing Docket.
(3) Within 3 days after receipt of the complaint, the person that requested the hearing must file an answer to the complaint. All allegations in the complaint not specifically denied in the answer are deemed admitted. Failure to file a timely answer, absent a showing of good cause, constitutes withdrawal of the request for hearing.
(4) Within 3 days of the filing of the complaint, the Director of the Office of Adjudication will assign a hearing officer to preside over the matter.
(5) The parties must serve discovery as soon as possible and set time limits for compliance with discovery requests that accommodate the accelerated adjudication schedule set forth in this subpart. The hearing officer will resolve any failure of the parties to agree to a discovery schedule.
(6) The expedited hearing must commence within 40 days after the notice of proposed action was issued.
(7) The hearing officer must issue an oral decision and order dismissing, reversing, modifying, or affirming the notice of proposed action at the close of the hearing. If a notice of appeal is not filed, such order is final with respect to the parties and is not subject to judicial review.
(b) Any party to the expedited hearing may appeal from the initial decision of the hearing officer to the Administrator by filing a notice of appeal within 3 days after the date on which the decision was issued. The time limitations for the filing of documents for appeals under this section will not be extended by reason of the unavailability of the hearing transcript.
(1) Any appeal to the Administrator under this section must be perfected within 7 days after the date the notice of appeal was filed by filing a brief in support of the appeal. Any reply to the appeal brief must be filed within 7 days after the date the appeal brief was served on that party. The Administrator must issue an order deciding the appeal no later than 80 days after the date the notice of proposed action was issued.
(2) The Administrator's order is immediately effective and constitutes the final agency decision. The Administrator's order may be appealed pursuant to 49 U.S.C. 46110. The filing of an appeal under 49 U.S.C. 46110 does not stay the effectiveness of the Administrator's order.
(c) At any time after an immediately effective order is issued, the FAA may request the United States Attorney General, or the delegate of the Attorney General, to bring an action for appropriate relief.
(a) Parties may use mediation to achieve resolution of issues in controversy addressed by this subpart. Parties seeking alternative dispute resolution services may engage the services of a mutually acceptable mediator. The mediator must not participate in the adjudication under this subpart of any matter in which the mediator has provided mediation services. Mediation discussions and submissions will remain confidential consistent with the provisions of the Administrative Dispute Resolution Act, the principles of Federal Rule of Evidence 408, and other applicable Federal laws.
(b) The Director of the Office of Adjudication may issue standing orders and forms needed for the proper dispatch of business under this subpart.
The authority of the Administrator under 49 U.S.C. 5121(a) and (d) is delegated to the Chief Counsel, each Deputy Chief Counsel, and the Assistant Chief Counsel for Enforcement.
(a) An order of compliance may be issued after notice and an opportunity for a hearing in accordance with §§ 13.73 through 13.77 whenever the Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement has reason to believe that a person is engaging in the transportation or shipment by air of hazardous materials in violation of the Hazardous Materials Transportation Act, as amended and codified at 49 U.S.C. chapter 51, or any rule, regulation, or order issued under 49 U.S.C. chapter 51, for which the FAA exercises enforcement responsibility, and the circumstances do not require the issuance of an emergency order under 49 U.S.C. 5121(d).
(b) If circumstances require the issuance of an emergency order under 49 U.S.C. 5121(d), the Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement will issue an emergency order of compliance as described in § 13.81.
The Chief Counsel, a Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement may issue to an alleged violator a notice of proposed order of compliance advising the alleged violator of the charges and setting forth the remedial action sought in the form of a proposed order of compliance.
(a) Within 30 days after service upon the alleged violator of a notice of proposed order of compliance, the alleged violator may—
(1) Submit a written reply;
(2) Submit a written request for an informal conference to discuss the matter with an agency attorney; or
(3) Request a hearing in accordance with subpart D of this part.
(b) If, after an informal conference is held or a reply is filed, the agency attorney notifies the person named in the notice that some or all of the proposed agency action will not be withdrawn or will not be subject to a consent order of compliance, the alleged violator may, within 10 days after receiving the agency attorney's notification, request a hearing in accordance with subpart D of this part.
(c) Failure of the alleged violator to file a reply or request a hearing within the period provided in paragraph (a) or (b) of this section, as applicable—
(1) Constitutes a waiver of the right to a hearing under subpart D of this part and the right to petition for judicial review; and
(2) Authorizes the Administrator to make any appropriate findings of fact and to issue an appropriate order of compliance, without further notice or proceedings.
(a) At any time before the issuance of an order of compliance, an agency attorney and the alleged violator may agree to dispose of the case by the issuance of a consent order of compliance.
(b) The alleged violator may submit a proposed consent order to an agency attorney. The proposed consent order must include—
(1) An admission of all jurisdictional facts;
(2) An express waiver of the right to further procedural steps and of all rights to legal review in any forum;
(3) An express waiver of attorney's fees and costs;
(4) If a notice has been issued prior to the proposed consent order of compliance, an incorporation by reference of the notice and an acknowledgement that the notice may be used to construe the terms of the consent order of compliance; and
(5) If a request for hearing is pending in any forum, a provision that the alleged violator will withdraw the request for a hearing and request that the case be dismissed.
(a) Notwithstanding §§ 13.73 through 13.77, the Chief Counsel, each Deputy Chief Counsel, or the Assistant Chief Counsel for Enforcement may issue an emergency order of compliance, which is effective upon issuance, in accordance with the procedures in subpart C of 49 CFR part 109, if the person who issues the order finds that there is an “imminent hazard” as defined in 49 CFR 109.1.
(b) The FAA official who issued the emergency order of compliance may rescind or suspend the order if the criteria set forth in paragraph (a) of this section are no longer satisfied, and, when appropriate, may issue a notice of proposed order of compliance under § 13.73.
(c) If at any time in the course of a proceeding commenced in accordance with § 13.73 the criteria set forth in paragraph (a) of this section are satisfied, the official who issued the notice may issue an emergency order of compliance, even if the period for filing a reply or requesting a hearing specified in § 13.75 has not expired.
(a) This subpart applies to fact-finding investigations in which an investigation has been ordered under § 13.3(c) or § 13.5(f)(2).
(b) This subpart does not limit the authority of any person to issue subpoenas, administer oaths, examine witnesses, and receive evidence in any informal investigation as otherwise provided by law.
The order of investigation—
(a) Defines the scope of the investigation by describing the information sought in terms of its subject matter or its relevancy to specified FAA functions;
(b) Sets forth the form of the investigation which may be either by individual deposition or investigative proceeding or both; and
(c) Names the official who is authorized to conduct the investigation and serve as the presiding officer.
Any person under investigation and any person required to testify and produce documentary or physical evidence during the investigation will be advised of the purpose of the investigation, and of the place where the investigative proceeding or deposition will be convened. This may be accomplished by a notice of investigation or by a subpoena. A copy of the order of investigation may be sent to such persons when appropriate.
(a) The presiding officer may designate additional persons as parties to the investigation, if in the discretion of the presiding officer, it will aid in the conduct of the investigation.
(b) The presiding officer may designate any person as a party to the investigation if—
(1) The person petitions the presiding officer to participate as a party;
(2) The disposition of the investigation may as a practical matter impair the ability to protect the person's interest unless allowed to participate as a party; and
(3) The person's interest is not adequately represented by existing parties.
The presiding officer will conduct the investigation at a location convenient to the parties involved and as expeditious and efficient as handling of the investigation permits.
(a) At the discretion of the presiding officer, or at the request of a party to the investigation, the presiding officer may issue a subpoena directing any person to appear at a designated time and place to testify or to produce documentary or physical evidence relating to any matter under investigation.
(b) Subpoenas must be served by personal service on the person or an agent designated in writing for the purpose, or by registered or certified mail addressed to the person or agent. Whenever service is made by registered or certified mail, the date of mailing will be considered the time when service is made.
(c) Subpoenas extend in jurisdiction throughout the United States and any territory or possession thereof.
(a) If a person disobeys a subpoena, the Administrator or a party to the investigation may petition a court of the United States to enforce the subpoena in accordance with applicable statutes.
(b) If a party to the investigation fails to comply with the provisions of this subpart or an order issued by the presiding officer, the Administrator may bring a civil action to enforce the requirements of this subpart or any order issued under this subpart in a court of the United States in accordance with applicable statutes.
(a) All investigative proceedings and depositions must be public unless the presiding officer determines that the public interest requires otherwise.
(b) The presiding officer may order information contained in any report or document filed or in any testimony given pursuant to this subpart withheld from public disclosure when, in the judgment of the presiding officer, disclosure would adversely affect the interests of any person and is not required in the public interest or is not otherwise required by statute to be made available to the public. Any person may make written objection to the public disclosure of information, stating the grounds for such objection.
(a) The presiding officer may question witnesses.
(b) Any witness may be accompanied by counsel.
(c) Any party may be accompanied by counsel and either the party or counsel may—
(1) Question witnesses, provided the questions are relevant and material to the matters under investigation and would not unduly impede the progress of the investigation; and
(2) Make objections on the record and argue the basis for such objections.
(d) Copies of all notices or written communications sent to a party or witness must, upon request, be sent to that person's attorney of record.
(a) Whenever a person refuses, on the basis of a privilege against self-incrimination, to testify or provide other information during the course of any investigation conducted under this subpart, the presiding officer may, with the approval of the United States Attorney General, or the delegate of the Attorney General, issue an order requiring the person to give testimony or provide other information. However, no testimony or other information so compelled (or any information directly or indirectly derived from such testimony or other information) may be used against the person in any criminal case, except in a prosecution for perjury, giving a false statement, or otherwise failing to comply with the order.
(b) The presiding officer may issue an order under this section if—
(1) The testimony or other information from the witness may be necessary to the public interest; and
(2) The witness has refused or is likely to refuse to testify or provide other information on the basis of a privilege against self-incrimination.
(c) Immunity provided by this section will not become effective until the person has refused to testify or provide other information on the basis of a privilege against self-incrimination, and an order under this section has been issued. An order, however, may be issued prospectively to become effective in the event of a claim of the privilege.
All witnesses appearing, other than employees of the Federal Aviation Administration, are entitled to the same fees and allowances as provided for under 28 U.S.C. 1821.
(a) During an investigation conducted under this subpart, a party may submit to the presiding officer—
(1) A list of witnesses to be called, specifying the subject matter of the expected testimony of each witness; and
(2) A list of exhibits to be considered for inclusion in the record.
(b) If the presiding officer determines that the testimony of a witness or the receipt of an exhibit in accordance with paragraph (a) of this section will be relevant, competent, and material to the investigation, the presiding officer may subpoena the witness or use the exhibit during the investigation.
Depositions for investigative purposes may be taken at the discretion of the presiding officer with reasonable notice to the party under investigation. Depositions must be taken before the presiding officer or other person authorized to administer oaths and designated by the presiding officer. The testimony must be reduced to writing by the person taking the deposition, or under the direction of that person, and where possible must then be subscribed by the deponent. Any person may be compelled to appear and testify and to produce physical and documentary evidence.
The presiding officer must issue a written report based on the record developed during the formal investigation, including a summary of principal conclusions. A summary of principal conclusions must be prepared by the official who issued the order of investigation in every case that results in no action, or no action as to a particular party to the investigation. All such reports must be furnished to the parties to the investigation and made available to the public on request.
A decision on whether to initiate subsequent action must be made on the basis of the record developed during the formal investigation and any other information in the possession of the Administrator.
Any question concerning the scope or conduct of a formal investigation not covered in this subpart may be ruled on by the presiding officer on his or her own initiative, or on the motion of a party or a person testifying or producing evidence.
This subpart applies to all civil penalty actions initiated under § 13.16 in which a hearing has been requested.
For this subpart only, the following definitions apply:
Administrative law judge means an administrative law judge appointed pursuant to the provisions of 5 U.S.C. 3105.
Agency attorney means the Deputy Chief Counsel or the Assistant Chief Counsel responsible for the prosecution of enforcement-related matters under this subpart, or attorneys who are supervised by those officials or are assigned to prosecute a particular enforcement-related matter under this subpart. Agency attorney does not include the Chief Counsel or anyone from the Office of Adjudication.
Complaint means a document issued by an agency attorney alleging a violation of a provision of the Federal aviation statute listed in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or a rule, regulation, or order issued under those statutes, that has been filed with the FAA Hearing Docket after a hearing has been requested under § 13.16(f)(3) or (g)(2)(ii).
Complainant means the FAA office that issued the notice of proposed civil penalty under § 13.16.
FAA decisionmaker means the Administrator of the Federal Aviation Administration, acting in the capacity of the decisionmaker on appeal, or any person to whom the Administrator has delegated the Administrator's decisionmaking authority in a civil penalty action. As used in this subpart, the FAA decisionmaker is the official authorized to issue a final decision and order of the Administrator in a civil penalty action.
Mail includes U.S. mail, U.S. certified mail, U.S. registered mail, or use of an expedited or overnight express courier service, but does not include email.
Office of Adjudication means the Federal Aviation Administration Office of Adjudication, including the FAA Hearing Docket, the Director of the Office of Adjudication and legal personnel, or any subsequently designated office (including its head and any legal personnel) that advises the FAA decisionmaker regarding appeals of initial decisions and orders to the FAA decisionmaker.
Order assessing civil penalty means a document that contains a finding of a violation of a provision of the Federal aviation statute listed in the first sentence of 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or a rule, regulation, or order issued under those statutes, and may direct payment of a civil penalty. Unless an appeal is filed with the FAA decisionmaker in a timely manner, an initial decision or order of an administrative law judge is considered an order assessing civil penalty if an administrative law judge finds that an alleged violation occurred and determines that a civil penalty, in an amount found appropriate by the administrative law judge, is warranted. Unless a petition for review is filed with a U.S. Court of Appeals in a timely manner, a final decision and order of the Administrator is considered an order assessing civil penalty if the FAA decisionmaker finds that an alleged violation occurred and a civil penalty is warranted.
Party means the Respondent, the complainant and any intervenor.
Personal delivery includes hand-delivery or use of a contract or express messenger service. “Personal delivery” does not include the use of Federal Government interoffice mail service.
Pleading means a complaint, an answer, and any amendment of these documents permitted under this subpart.
Properly addressed means a document that shows an address contained in agency records; a residential, business, or other address submitted by a person on any document provided under this subpart; or any other address shown by other reasonable and available means.
Respondent means a person named in a complaint.
Writing or written includes paper or electronic documents that are filed or served by email, mail, personal delivery, or fax.
(a) Civil penalty proceedings, including hearings, are prosecuted by an agency attorney.
(b) An agency employee who has engaged in the performance of investigative or prosecutorial functions in a civil penalty action must not participate in deciding or advising the administrative law judge or the FAA decisionmaker in that case, or a factually-related case, but may participate as counsel for the complainant or as a witness in the public proceedings.
(c) The Chief Counsel and the Director and legal personnel of the Office of Adjudication will advise the FAA decisionmaker regarding any appeal of an initial decision or order in a civil penalty action to the FAA decisionmaker.
(a) Any party may appear and be heard in person.
(b) Any party may be accompanied, represented, or advised by an attorney or representative designated by the party, and may be examined by that attorney or representative in any proceeding governed by this subpart. An attorney or representative who represents a party must file a notice of appearance in the action, in the manner provided in § 13.210, and must serve a copy of the notice of appearance on each party, and on the administrative law judge, if assigned, in the manner provided in § 13.211, before participating in any proceeding governed by this subpart. The attorney or representative must include the name, address, and telephone number, and, if available, fax number and email address, of the attorney or representative in the notice of appearance.
(c) Any person may request a copy of a document in the record upon payment of reasonable costs. A person may keep an original document, data, or evidence, with the consent of the administrative law judge, by substituting a legible copy of the document for the record.
(a) Powers of an administrative law judge. In accordance with the rules of this subpart, an administrative law judge may:
(1) Give notice of, and hold, prehearing conferences and hearings;
(2) Administer oaths and affirmations;
(3) Issue subpoenas as authorized by law;
(4) Rule on offers of proof;
(5) Receive relevant and material evidence;
(6) Regulate the course of the hearing in accordance with the rules of this subpart;
(7) Hold conferences to settle or to simplify the issues by consent of the parties;
(8) Dispose of procedural motions and requests;
(9) Make findings of fact and conclusions of law, and issue an initial decision;
(10) Bar a person from a specific proceeding based on a finding of obstreperous or disruptive behavior in that specific proceeding; and
(11) Take any other action authorized by this subpart.
(b) Limitations. The administrative law judge must not issue an order of contempt, award costs to any party, or impose any sanction not specified in this subpart. If the administrative law judge imposes any sanction not specified in this subpart, a party may file an interlocutory appeal of right under § 13.219(c).
(c) Disqualification. The administrative law judge may disqualify himself or herself at any time. A party may file a motion for disqualification under § 13.218.
(a) A person may submit a motion for leave to intervene as a party in a civil penalty action. Except for good cause shown, a motion for leave to intervene must be submitted not later than 10 days before the hearing.
(b) The administrative law judge may grant a motion for leave to intervene if the administrative law judge finds that intervention will not unduly broaden the issues or delay the proceedings and—
(1) The person seeking to intervene will be bound by any order or decision entered in the action; or
(2) The person seeking to intervene has a property, financial, or other legitimate interest that may not be addressed adequately by the parties.
(c) The administrative law judge may determine the extent to which an intervenor may participate in the proceedings.
(a) Signature required. The attorney of record, the party, or the party's representative must sign, by hand, electronically, or by other method acceptable to the administrative law judge, or, if the matter is on appeal, to the FAA decisionmaker, each document tendered for filing with the FAA Hearing Docket or served on the administrative law judge and on each other party.
(b) Effect of signing a document. By signing a document, the attorney of record, the party, or the party's representative certifies that the attorney, the party, or the party's representative has read the document and, based on reasonable inquiry and to the best of that person's knowledge, information, and belief, the document is—
(1) Consistent with the rules in this subpart;
(2) Warranted by existing law or a good faith argument for extension, modification, or reversal of existing law; and
(3) Not unreasonable or unduly burdensome or expensive, not made to harass any person, not made to cause unnecessary delay, and not made to cause needless increase in the cost of the proceedings or for any other improper purpose.
(c) Sanctions. If the attorney of record, the party, or the party's representative signs a document in violation of this section, the administrative law judge or the FAA decisionmaker must:
(1) Strike the pleading signed in violation of this section;
(2) Strike the request for discovery or the discovery response signed in violation of this section and preclude further discovery by the party;
(3) Deny the motion or request signed in violation of this section;
(4) Exclude the document signed in violation of this section from the record;
(5) Dismiss the interlocutory appeal and preclude further appeal on that issue by the party who filed the appeal until an initial decision has been entered on the record; or
(6) Dismiss the appeal of the administrative law judge's initial decision to the FAA decisionmaker.
(a) Filing. The agency attorney must file the complaint with the FAA Hearing Docket, or may file a written motion to dismiss a request for hearing under § 13.218 instead of filing a complaint, not later than 20 days after receipt by the agency attorney of a request for hearing. When filing the complaint, the agency attorney must follow the filing instructions in § 13.210. The agency attorney may suggest a location for the hearing when filing the complaint.
(b) Service. An agency attorney must serve a copy of the complaint on the respondent, the president of the corporation or company named as a respondent, or a person designated by the respondent to accept service of documents in the civil penalty action. When serving the complaint, the agency attorney must follow the service instructions in § 13.211.
(c) Contents. A complaint must set forth the facts alleged, any regulation allegedly violated by the respondent, and the proposed civil penalty in sufficient detail to provide notice of any factual or legal allegation and proposed civil penalty.
(d) Motion to dismiss stale allegations or complaint. Instead of filing an answer to the complaint, a respondent may move to dismiss the complaint, or that part of the complaint, alleging a violation that occurred more than 2 years before an agency attorney issued a notice of proposed civil penalty to the respondent.
(1) An administrative law judge may not grant the motion and dismiss the complaint or part of the complaint if the administrative law judge finds that the agency has shown good cause for any delay in issuing the notice of proposed civil penalty.
(2) If the agency fails to show good cause for any delay, an administrative law judge may dismiss the complaint, or that part of the complaint, alleging a violation that occurred more than 2 years before an agency attorney issued the notice of proposed civil penalty to the respondent.
(3) A party may appeal the administrative law judge's ruling on the motion to dismiss the complaint or any part of the complaint in accordance with § 13.219(b).
(a) Writing required. A respondent must file in the FAA Hearing Docket a written answer to the complaint, or may file a written motion pursuant to § 13.208 or § 13.218 instead of filing an answer, not later than 30 days after service of the complaint. The answer must be dated and signed by the person responding to the complaint. An answer must be typewritten or legibly handwritten.
(b) Filing. A person filing an answer or motion under paragraph (a) of this section must follow the filing instructions in § 13.210.
(c) Service. A person filing an answer or a motion under paragraph (a) of this section must serve a copy of the answer or motion in accordance with the service instructions in § 13.211.
(d) Contents. An answer must specifically state any affirmative defense that the respondent intends to assert at the hearing. A person filing an answer may include a brief statement of any relief requested in the answer. The person filing an answer may recommend a location for the hearing when filing the answer.
(e) Specific denial of allegations required. A person filing an answer must admit, deny, or state that the person is without sufficient knowledge or information to admit or deny, each allegation in the complaint. All allegations in the complaint not specifically denied in the answer are deemed admitted. A general denial of the complaint is deemed a failure to file an answer.
(f) Failure to file answer. A person's failure to file an answer without good cause will be deemed an admission of the truth of each allegation contained in the complaint.
(a) General rule. Unless provided otherwise in this subpart, all documents in proceedings under this subpart must be tendered for filing with the FAA Hearing Docket.
(b) Methods of filing. Filing must be by email, personal delivery, mail, or fax.
(c) Address for filing. A person filing a document with the FAA Hearing Docket must use the address identified for the method of filing as follows:
(1) If delivery is in person, or by expedited or overnight express courier service. Federal Aviation Administration, 600 Independence Avenue SW, Wilbur Wright Building—Suite 2W100, Washington, DC 20597; Attention: FAA Hearing Docket, AGC-70.
(2) If delivery is via U.S. mail, or U.S. certified or registered mail. Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591; Attention: FAA Hearing Docket, AGC-70, Wilbur Wright Building—Suite 2W100.
(3) If delivery is via email or fax. The email address and fax number for the FAA Hearing Docket, made available on the FAA Office of Adjudication website.
(d) Date of filing. If a document is filed by fax or email, the date of filing is the date the email or fax is sent. If a document is filed by personal delivery, the date of filing is the date that personal delivery is accomplished. If a document is filed by mail, the date of filing is the date shown on the certificate of service, the date shown on the postmark if there is no certificate of service, or the mailing date shown by other evidence if there is no certificate of service or postmark.
(e) Form. Each document must be typewritten or legibly handwritten.
(f) Contents. Unless otherwise specified in this subpart, each document must contain a short, plain statement of the facts on which the person's case rests and a brief statement of the action requested.
(g) Requirement to file an original document and number of copies. A party must file an original document and one copy when filing by personal delivery or by mail. Only one copy must be filed if filing is accomplished by email or fax.
(h) Filing by email. A document that is filed by email must be attached as a PDF file to an email. The document must be signed in accordance with § 13.207. The email message does not constitute a submission, but serves only to deliver the attached PDF file to the FAA Hearing Docket.
(a) General. A person must serve a copy of all documents on each party and the administrative law judge, if assigned, at the time of filing with the FAA Hearing Docket except as provided otherwise in this subpart.
(b) Service by the FAA Hearing Docket, the administrative law judge, and the FAA decisionmaker. The FAA Hearing Docket, the administrative law judge, and the FAA decisionmaker must send documents to a party by personal delivery, mail, fax, or email as provided in this section.
(c) Methods of service—(1) General. A person may serve any document by email, personal delivery, mail, or fax.
(2) Service by email. Service of documents by email is voluntary and requires the prior consent of the person to be served by email. A person may retract consent to be served by email by filing a written retraction with the FAA Hearing Docket and serving it on the other party and the administrative law judge. A document that is served by email must be attached as a PDF file to an email message.
(d) Certificate of service. A certificate of service must accompany all documents filed with the FAA Hearing Docket. The certificate of service must be signed, describe the method of service, and state the date of service.
(e) Date of service. If a document is served by fax or served by email, the date of service is the date the email or fax is sent. If a document is served by personal delivery, the date of service is the date that personal delivery is accomplished. If a document is mailed, the date of service is the date shown on the certificate of service, the date shown on the postmark if there is no certificate of service, or the mailing date shown by other evidence if there is no certificate of service or postmark.
(f) Valid service. A document served by mail or personal delivery that was properly addressed, was sent in accordance with this subpart, and that was returned as unclaimed, or that was refused or not accepted, is deemed to have been served in accordance with this subpart.
(g) Additional time after service by mail. Whenever a party must respond within a prescribed period after service by mail, 5 days are added to the prescribed period.
(h) Presumption of service. There is a presumption of service where a party or a person, who customarily receives mail, or receives it in the ordinary course of business, at either the person's residence or the person's principal place of business, acknowledges receipt of the document.
(a) This section applies to any period of time prescribed or allowed by this subpart, by notice or order of the administrative law judge, or by any applicable statute.
(b) The date of an act, event, or default is not included in a computation of time under this subpart.
(c) The last day of a time period is included unless it is a Saturday, Sunday, or a Federal holiday. If the last day is a Saturday, Sunday, or Federal holiday, the time period runs until the end of the next day that is not a Saturday, Sunday, or Federal holiday.
(a) The parties may agree to extend for a reasonable period the time for filing a document under this subpart. The party seeking the extension of time must submit a draft order to the administrative law judge to be signed by the administrative law judge and filed with the FAA Hearing Docket. The administrative law judge must sign and issue the order if the extension agreed to by the parties is reasonable.
(b) A party may file a written motion for an extension of time. A written motion for an extension of time must be filed with the FAA Hearing Docket in accordance with § 13.210. The motion must be filed no later than seven days before the document is due unless good cause for the late filing is shown. The party filing the motion must serve a copy of the motion in accordance with § 13.211. The administrative law judge may grant the extension of time if good cause for the extension is shown.
(c) If the administrative law judge fails to rule on a motion for an extension of time by the date the document was due, the motion for an extension of time is deemed granted for no more than 20 days after the original date the document was to be filed.
(a) Filing and service. A party must file the amendment with the FAA Hearing Docket and must serve a copy of the amendment on the administrative law judge, if assigned, and on all parties to the proceeding.
(b) Time. (1) Not later than 15 days before the scheduled date of a hearing, a party may amend a complaint or an answer without the consent of the administrative law judge.
(2) Less than 15 days before the scheduled date of a hearing, the administrative law judge may allow amendment of a complaint or an answer only for good cause shown in a motion to amend.
(c) Responses. The administrative law judge must allow a reasonable time, but not more than 20 days from the date of filing, for other parties to respond if an amendment to a complaint, answer, or other pleading has been filed with the FAA Hearing Docket and served on the administrative law judge and other parties.
At any time before or during a hearing, an agency attorney may withdraw a complaint or a party may withdraw a request for a hearing without the consent of the administrative law judge. If an agency attorney withdraws the complaint or a party withdraws the request for a hearing and the answer, the administrative law judge must dismiss the proceedings under this subpart with prejudice.
Waivers of any rights provided by statute or regulation must be in writing or by stipulation made at a hearing and entered into the record. The parties must set forth the precise terms of the waiver and any conditions.
(a) General. The parties may agree to submit a schedule for filing all prehearing motions, conducting discovery in the proceedings, or both.
(b) Form and content of schedule. If the parties agree to a joint procedural or discovery schedule, one of the parties must file the joint schedule setting forth the dates to which the parties have agreed, in accordance with § 13.210, and must also serve a copy of the joint schedule in accordance with § 13.211. The filing of the joint schedule must include a draft order establishing a joint schedule to be signed by the administrative law judge.
(1) The joint schedule may include, but need not be limited to, requests for discovery, objections to discovery requests, responses to discovery requests to which there are no objections, submission of prehearing motions, responses to prehearing motions, exchange of exhibits to be introduced at the hearing, and a list of witnesses that may be called at the hearing.
(2) Each party must sign the joint schedule.
(c) Time. The parties may agree to submit all prehearing motions and responses and may agree to close discovery in the proceedings under the joint schedule within a reasonable time before the date of the hearing, but not later than 15 days before the hearing.
(d) Joint scheduling order. The joint schedule filed by the parties is a proposed schedule that requires approval of the administrative law judge to become the joint scheduling order.
(e) Disputes. The administrative law judge must resolve disputes regarding discovery or disputes regarding compliance with the joint scheduling order as soon as possible so that the parties may continue to comply with the joint scheduling order.
(f) Sanctions for failure to comply with joint schedule. If a party fails to comply with a joint scheduling order, the administrative law judge may impose any of the following sanctions, proportional to the party's failure to comply with the order:
(1) Strike the relevant portion of a party's pleadings;
(2) Preclude prehearing or discovery motions by that party;
(3) Preclude admission of the relevant portion of a party's evidence at the hearing; or
(4) Preclude the relevant portion of the testimony of that party's witnesses at the hearing.
(a) General. A party applying for an order or ruling not specifically provided in this subpart must do so by filing a motion in accordance with § 13.210. A party must serve a copy of each motion in accordance with § 13.211.
(b) Form and contents. A party must state the relief sought by the motion and the particular grounds supporting that relief. If a party has evidence in support of a motion, the party must attach any supporting evidence, including affidavits, to the motion.
(c) Filing of motions. A motion made prior to the hearing must be in writing. Unless otherwise agreed by the parties or for good cause shown, a party must file any prehearing motion not later than 30 days before the hearing in the FAA Hearing Docket in accordance with § 13.210, and must serve a copy on the administrative law judge, if assigned, and on each party in accordance with § 13.211. Motions introduced during a hearing may be made orally on the record unless the administrative law judge directs otherwise.
(d) Responses to motions. Any party may file a response, with affidavits or other evidence in support of the response, not later than 10 days after service of a written motion on that party. When a motion is made during a hearing, the response may be made at the hearing on the record, orally or in writing, within a reasonable time determined by the administrative law judge.
(e) Rulings on motions. The administrative law judge must rule on all motions as follows:
(1) Discovery motions. The administrative law judge must resolve all pending discovery motions not later than 10 days before the hearing.
(2) Prehearing motions. The administrative law judge must resolve all pending prehearing motions not later than 7 days before the hearing. If the administrative law judge issues a ruling or order orally, the administrative law judge must serve a written copy of the ruling or order, within 3 days, on each party. In all other cases, the administrative law judge must issue rulings and orders in writing and must serve a copy of the ruling or order on each party.
(3) Motions made during the hearing. The administrative law judge must issue rulings and orders on oral motions. Oral rulings or orders on motions must be made on the record.
(f) Specific motions. The motions that a party may file include but are not limited to the following:
(1) Motion to dismiss for insufficiency. A respondent may file a motion to dismiss the complaint for insufficiency instead of filing an answer. If the administrative law judge denies the motion to dismiss the complaint for insufficiency, the respondent must file an answer not later than 10 days after service of the administrative law judge's denial of the motion. A motion to dismiss the complaint for insufficiency must show that the complaint fails to state a violation of a provision of the Federal aviation statute listed in the first sentence in 49 U.S.C. 46301(d)(2) or in 49 U.S.C. 47531, or any implementing rule, regulation, or order, or a violation of the Federal hazardous materials transportation statute, 49 U.S.C. 5121-5128, or any implementing rule, regulation, or order.
(2) Motion to dismiss. A party may file a motion to dismiss, specifying the grounds for dismissal. If an administrative law judge grants a motion to dismiss in part, a party may appeal the administrative law judge's ruling on the motion to dismiss under § 13.219(b).
(i) Motion to dismiss a request for a hearing. An agency attorney may file a motion to dismiss a request for a hearing instead of filing a complaint. If the motion to dismiss is not granted, the agency attorney must file the complaint in the FAA Hearing Docket and must serve a copy of the complaint on the administrative law judge and on each party not later than 10 days after service of the administrative law judge's ruling or order on the motion to dismiss. If the motion to dismiss is granted and the proceedings are terminated without a hearing, the respondent may appeal to the FAA decisionmaker under § 13.233. If required by the decision on appeal, the agency attorney must file a complaint in the FAA Hearing Docket and must serve a copy of the complaint on the administrative law judge and each party not later than 10 days after service of the FAA decisionmaker's decision on appeal.
(ii) Motion to dismiss a complaint. A respondent may file a motion to dismiss a complaint instead of filing an answer, including a motion to dismiss a stale complaint or allegations as provided in § 13.208. If the motion to dismiss is not granted, the respondent must file an answer in the FAA Hearing Docket and must serve a copy of the answer on the administrative law judge and on each party not later than 10 days after service of the administrative law judge's ruling or order on the motion to dismiss. If the motion to dismiss is granted and the proceedings are terminated without a hearing, the agency attorney may file an appeal in the FAA Hearing Docket under § 13.233 and must serve each other party. If required by the FAA decisionmaker's decision on appeal, the respondent must file an answer in the FAA Hearing Docket, and must serve a copy of the answer on the administrative law judge and on each party not later than 10 days after service of the decision on appeal.
(3) Motion for a more definite statement. A party may file a motion for a more definite statement of any pleading which requires a response under this subpart. A party must set forth, in detail, the indefinite or uncertain allegations contained in a complaint or response to any pleading and must submit the details that the party believes would make the allegation or response definite and certain.
(i) Complaint. A respondent may file a motion requesting a more definite statement of the allegations contained in the complaint instead of filing an answer. If the administrative law judge grants the motion, the agency attorney must supply a more definite statement not later than 15 days after service of the ruling granting the motion. If the agency attorney fails to supply a more definite statement, the administrative law judge may strike the allegations in the complaint to which the motion is directed. If the administrative law judge denies the motion, the respondent must file an answer in the FAA Hearing Docket and must serve a copy of the answer on the administrative law judge and on each party not later than 10 days after service of the order of denial.
(ii) Answer. An agency attorney may file a motion requesting a more definite statement if an answer fails to respond clearly to the allegations in the complaint. If the administrative law judge grants the motion, the respondent must supply a more definite statement not later than 15 days after service of the ruling on the motion. If the respondent fails to supply a more definite statement, the administrative law judge may strike those statements in the answer to which the motion is directed. The respondent's failure to supply a more definite statement may be deemed an admission of unanswered allegations in the complaint.
(4) Motion to strike. Any party may make a motion to strike any insufficient allegation or defense, or any redundant, immaterial, impertinent, or scandalous matter in a pleading. A party must file a motion to strike before a response is required under this subpart or, if a response is not required, not later than 10 days after service of the pleading. A motion to strike must be filed in the FAA Hearing Docket and served on the administrative law judge, if assigned, and on each other party.
(5) Motion for decision. A party may make a motion for decision, regarding all or any part of the proceedings, at any time before the administrative law judge has issued an initial decision in the proceedings. The administrative law judge must grant a party's motion for decision if the pleadings, depositions, answers to interrogatories, admissions, matters that the administrative law judge has officially noticed, or evidence introduced during the hearing shows that there is no genuine issue of material fact and that the party making the motion is entitled to a decision as a matter of law. The party making the motion for decision has the burden of showing that there is no genuine issue of material fact disputed by the parties.
(6) Motion for disqualification. A party may file a motion for disqualification in the FAA Hearing Docket and must serve a copy on the administrative law judge and on each party. A party may file the motion at any time after the administrative law judge has been assigned to the proceedings but must make the motion before the administrative law judge files an initial decision in the proceedings.
(i) Motion and supporting affidavit. A party must state the grounds for disqualification in a motion for disqualification, including, but not limited to, a financial or other personal interest that would be affected by the outcome of the enforcement action, personal animus against a party to the action or against a group to which a party belongs, prejudgment of the adjudicative facts at issue in the proceeding, or any other prohibited conflict of interest. A party must submit an affidavit with the motion for disqualification that sets forth, in detail, the matters alleged to constitute grounds for disqualification.
(ii) Response. A party must respond to the motion for disqualification not later than 5 days after service of the motion for disqualification.
(iii) Decision on motion for disqualification. The administrative law judge must render a decision on the motion for disqualification not later than 15 days after the motion has been filed. If the administrative law judge finds that the motion for disqualification and supporting affidavit show a basis for disqualification, the administrative law judge must withdraw from the proceedings immediately. If the administrative law judge finds that disqualification is not warranted, the administrative law judge must deny the motion and state the grounds for the denial on the record. If the administrative law judge fails to rule on a party's motion for disqualification within 15 days after the motion has been filed, the motion is deemed granted.
(iv) Appeal. A party may appeal the administrative law judge's denial of the motion for disqualification in accordance with § 13.219(b).
(7) Motions for reconsideration of an initial decision, order dismissing a complaint, order dismissing a request for hearing or order dismissing a request for hearing and answer. The FAA decisionmaker may treat motions for reconsideration of an initial decision, order dismissing a complaint, order dismissing a request for hearing, or order dismissing a request for hearing and answer as a notice of appeal under § 13.233, and if the motion was filed within the time allowed for the filing of a notice of appeal, the FAA decisionmaker will issue a briefing schedule.
(a) General. Unless otherwise provided in this subpart, a party may not appeal a ruling or decision of the administrative law judge to the FAA decisionmaker until the initial decision has been entered on the record. A decision or order of the FAA decisionmaker on the interlocutory appeal does not constitute a final order of the Administrator for the purposes of judicial appellate review as provided in § 13.235.
(b) Interlocutory appeal for cause. If a party orally requests or files a written request for an interlocutory appeal for cause, the proceedings are stayed until the administrative law judge issues a decision on the request. Any written request for interlocutory appeal for cause must be filed in the FAA Hearing Docket and served on each party and on the administrative law judge. If the administrative law judge grants the request, the proceedings are stayed until the FAA decisionmaker issues a decision on the interlocutory appeal. The administrative law judge must grant the request if a party shows that delay of the appeal would be detrimental to the public interest or would result in undue prejudice to any party.
(c) Interlocutory appeals of right. If a party notifies the administrative law judge of an interlocutory appeal of right, the proceedings are stayed until the FAA decisionmaker issues a decision on the interlocutory appeal. A party may file an interlocutory appeal of right, without the consent of the administrative law judge, before an initial decision has been entered in the case of:
(1) A ruling or order by the administrative law judge barring a person from the proceedings;
(2) Failure of the administrative law judge to dismiss the proceedings in accordance with § 13.215; or
(3) A ruling or order by the administrative law judge in violation of § 13.205(b).
(d) Procedure. A party must file a notice of interlocutory appeal, with supporting documents, with the FAA Hearing Docket, and must serve a copy of the notice and supporting documents on each party and the administrative law judge not later than 10 days after the administrative law judge's decision forming the basis of an interlocutory appeal of right, or not later than 10 days after the administrative law judge's decision granting an interlocutory appeal for cause, as appropriate. A party must file a reply, if any, with the FAA Hearing Docket, and serve a copy on each party and the administrative law judge not later than 10 days after service of the appeal. The FAA decisionmaker must render a decision on the interlocutory appeal on the record and as a part of the decision in the proceedings, within a reasonable time after receipt of the interlocutory appeal.
(e) Summary rejection. The FAA decisionmaker may reject frivolous, repetitive, or dilatory appeals, and may issue an order precluding one or more parties from making further interlocutory appeals in a proceeding in which there have been frivolous, repetitive, or dilatory interlocutory appeals.
(a) Initiation of discovery. Any party may initiate discovery described in this section without the consent or approval of the administrative law judge at any time after a complaint has been filed in the proceedings.
(b) Methods of discovery. The following methods of discovery are permitted under this section: Depositions on oral examination or written questions of any person; written interrogatories directed to a party; requests for production of documents or tangible items to any person; and requests for admission by a party. A party must not file written interrogatories and responses, requests for production of documents or tangible items and responses, and requests for admission and response with the FAA Hearing Docket or serve them on the administrative law judge. In the event of a discovery dispute, a party must attach a copy of the relevant documents in support of a motion made under this section.
(c) Service on the agency. A party must serve each discovery request directed to the agency or any agency employee on the agency attorney of record.
(d) Time for response to discovery requests. Unless otherwise directed by this subpart or agreed by the parties, a party must respond to a request for discovery, including filing objections to a request for discovery, not later than 30 days after service of the request.
(e) Scope of discovery. Subject to the limits on discovery set forth in paragraph (f) of this section, a party may discover any matter that is not privileged and that is relevant to any party's claim or defense, including the existence, description, nature, custody, condition, and location of any document or other tangible item and the identity and location of any person having knowledge of discoverable matter. A party may discover facts known, or opinions held, by an expert who any other party expects to call to testify at the hearing. A party has no ground to object to a discovery request on the basis that the information sought would not be admissible at the hearing.
(f) Limiting discovery. The administrative law judge must limit the frequency and extent of discovery permitted by this section if a party shows that—
(1) The information requested is cumulative or repetitious;
(2) The information requested can be obtained from another less burdensome and more convenient source;
(3) The party requesting the information has had ample opportunity to obtain the information through other discovery methods permitted under this section; or
(4) The method or scope of discovery requested by the party is unduly burdensome or expensive.
(g) Confidential orders. A party or person who has received a discovery request for information that is related to a trade secret, confidential or sensitive material, competitive or commercial information, proprietary data, or information on research and development, may file a motion for a confidential order in the FAA Hearing Docket in accordance with § 13.210, and must serve a copy of the motion for a confidential order on each party and on the administrative law judge in accordance with § 13.211.
(1) The party or person making the motion must show that the confidential order is necessary to protect the information from disclosure to the public.
(2) If the administrative law judge determines that the requested material is not necessary to decide the case, the administrative law judge must preclude any inquiry into the matter by any party.
(3) If the administrative law judge determines that the requested material may be disclosed during discovery, the administrative law judge may order that the material may be discovered and disclosed under limited conditions or may be used only under certain terms and conditions.
(4) If the administrative law judge determines that the requested material is necessary to decide the case and that a confidential order is warranted, the administrative law judge must provide:
(i) An opportunity for review of the document by the parties off the record;
(ii) Procedures for excluding the information from the record; and
(iii) Order that the parties must not disclose the information in any manner and the parties must not use the information in any other proceeding.
(h) Protective orders. A party or a person who has received a request for discovery may file a motion for protective order in the FAA Hearing Docket and must serve a copy of the motion for protective order on the administrative law judge and each other party. The party or person making the motion must show that the protective order is necessary to protect the party or the person from annoyance, embarrassment, oppression, or undue burden or expense. As part of the protective order, the administrative law judge may:
(1) Deny the discovery request;
(2) Order that discovery be conducted only on specified terms and conditions, including a designation of the time or place for discovery or a determination of the method of discovery; or
(3) Limit the scope of discovery or preclude any inquiry into certain matters during discovery.
(i) Duty to supplement or amend responses. A party who has responded to a discovery request has a duty to supplement or amend the response, as soon as the information is known, as follows:
(1) A party must supplement or amend any response to a question requesting the identity and location of any person having knowledge of discoverable matters.
(2) A party must supplement or amend any response to a question requesting the identity of each person who will be called to testify at the hearing as an expert witness and the subject matter and substance of that witness's testimony.
(3) A party must supplement or amend any response that was incorrect when made or any response that was correct when made but is no longer correct, accurate, or complete.
(j) Depositions—(1) Form. A deposition must be taken on the record and reduced to writing. The person being deposed must sign the deposition unless the parties agree to waive the requirement of a signature.
(2) Administration of oaths. Within the United States, or a territory or possession subject to the jurisdiction of the United States, a party must take a deposition before a person authorized to administer oaths by the laws of the United States or authorized by the law of the place where the examination is held. In foreign countries, a party must take a deposition in any manner allowed by the Federal Rules of Civil Procedure.
(3) Notice of deposition. A party must serve a notice of deposition, stating the time and place of the deposition and the name and address of each person to be examined, on the person to be deposed, the administrative law judge, and each party not later than 7 days before the deposition. The notice must be filed in the FAA Hearing Docket simultaneously. A party may serve a notice of deposition less than 7 days before the deposition only with consent of the administrative law judge. The party noticing a deposition must attach a copy of any subpoena duces tecum requesting that materials be produced at the deposition to the notice of deposition.
(4) Use of depositions. A party may use any part or all of a deposition at a hearing authorized under this subpart only upon a showing of good cause. The deposition may be used against any party who was present or represented at the deposition or who had reasonable notice of the deposition.
(k) Interrogatories. A party, the party's attorney, or the party's representative may sign the party's responses to interrogatories. A party must answer each interrogatory separately and completely in writing. If a party objects to an interrogatory, the party must state the objection and the reasons for the objection. An opposing party may use any part or all of a party's responses to interrogatories at a hearing authorized under this subpart to the extent that the response is relevant, material, and not repetitious.
(1) A party must not serve more than 30 interrogatories to each other party. Each subpart of an interrogatory must be counted as a separate interrogatory.
(2) A party must file a motion for leave to serve additional interrogatories on a party with the administrative law judge before serving additional interrogatories on a party. The administrative law judge may grant the motion only if the party shows good cause.
(l) Requests for admission. A party may serve a written request for admission of the truth of any matter within the scope of discovery under this section or the authenticity of any document described in the request. A party must set forth each request for admission separately. A party must serve copies of documents referenced in the request for admission unless the documents have been provided or are reasonably available for inspection and copying.
(1) Time. A party's failure to respond to a request for admission, in writing and signed by the attorney or the party, not later than 30 days after service of the request, is deemed an admission of the truth of the statement or statements contained in the request for admission. The administrative law judge may determine that a failure to respond to a request for admission is not deemed an admission of the truth if a party shows that the failure was due to circumstances beyond the control of the party or the party's attorney.
(2) Response. A party may object to a request for admission and must state the reasons for objection. A party may specifically deny the truth of the matter or describe the reasons why the party is unable to truthfully deny or admit the matter. If a party is unable to deny or admit the truth of the matter, the party must show that the party has made reasonable inquiry into the matter or that the information known to, or readily obtainable by, the party is insufficient to enable the party to admit or deny the matter. A party may admit or deny any part of the request for admission. If the administrative law judge determines that a response does not comply with the requirements of this paragraph (l)(2) or that the response is insufficient, the matter is deemed admitted.
(3) Effect of admission. Any matter admitted or deemed admitted under this section is conclusively established for the purpose of the hearing and appeal.
(m) Motion to compel discovery. A party may make a motion to compel discovery if a person refuses to answer a question during a deposition, a party fails or refuses to answer an interrogatory, if a person gives an evasive or incomplete answer during a deposition or when responding to an interrogatory, or a party fails or refuses to produce documents or tangible items. During a deposition, the proponent of a question may complete the deposition or may adjourn the examination before making a motion to compel if a person refuses to answer. Any motion to compel must be filed with the FAA Hearing Docket and served on the administrative law judge and other parties in accordance with §§ 13.210 and 13.211, respectively.
(n) Failure to comply with a discovery order. If a party fails to comply with a discovery order, the administrative law judge may impose any of the following sanctions proportional to the party's failure to comply with the order:
(1) Strike the relevant portion of a party's pleadings;
(2) Preclude prehearing or discovery motions by that party;
(3) Preclude admission of the relevant portion of a party's evidence at the hearing; or
(4) Preclude the relevant portion of the testimony of that party's witnesses at the hearing.
(a) Notice. The administrative law judge must provide each party with notice of the date, time, and location of the hearing at least 60 days before the hearing date.
(b) Date, time, and location of the hearing. The administrative law judge to whom the proceedings have been assigned must set a reasonable date, time, and location for the hearing. The administrative law judge must consider the need for discovery and any joint procedural or discovery schedule submitted by the parties when determining the hearing date. The administrative law judge must give due regard to the convenience of the parties, the location where the majority of the witnesses reside or work, and whether the location is served by a scheduled air carrier.
(c) Earlier hearing. With the consent of the administrative law judge, the parties may agree to hold the hearing on an earlier date than the date specified in the notice of hearing.
(a) General. A party is entitled to present the party's case or defense by oral, documentary, or demonstrative evidence, to submit rebuttal evidence, and to conduct any cross-examination that may be required for a full and true disclosure of the facts.
(b) Admissibility. A party may introduce any oral, documentary, or demonstrative evidence in support of the party's case or defense. The administrative law judge must admit any relevant oral, documentary, or demonstrative evidence introduced by a party, but must exclude irrelevant, immaterial, or unduly repetitious evidence.
(c) Hearsay evidence. Hearsay evidence is admissible in proceedings governed by this subpart. The fact that evidence submitted by a party is hearsay goes only to the weight of the evidence and does not affect its admissibility.
The administrative law judge must issue an initial decision or must rule in a party's favor only if the decision or ruling is supported by, and in accordance with, the reliable, probative, and substantial evidence contained in the record. In order to prevail, the party with the burden of proof must prove the party's case or defense by a preponderance of reliable, probative, and substantial evidence.
(a) Except in the case of an affirmative defense, the burden of proof is on the agency.
(b) Except as otherwise provided by statute or rule, the proponent of a motion, request, or order has the burden of proof.
(c) A party who has asserted an affirmative defense has the burden of proving the affirmative defense.
A party whose evidence has been excluded by a ruling of the administrative law judge may offer the evidence for the record on appeal.
(a) The administrative law judge may order that any information contained in the record be withheld from public disclosure. Any party or interested person may object to disclosure of information in the record by filing and serving a written motion to withhold specific information in accordance with §§ 13.210 and 13.211 respectively. A party may file a motion seeking to protect from public disclosure information contained in a document that the party is filing at the same time it files the document. The person or party must state the specific grounds for nondisclosure in the motion.
(b) The administrative law judge must grant the motion to withhold if, based on the motion and any response to the motion, the administrative law judge determines that: Disclosure would be detrimental to aviation safety; disclosure would not be in the public interest; or the information is not otherwise required to be made available to the public.
An employee of the agency may not be called as an expert or opinion witness for any party other than the FAA in any proceeding governed by this subpart. An employee of a respondent may not be called by an agency attorney as an expert or opinion witness for the FAA in any proceeding governed by this subpart to which the respondent is a party.
(a) Request for subpoena. The administrative law judge, upon application by any party to the proceeding, may issue subpoenas requiring the attendance of witnesses or the production of documents or tangible things at a hearing or for the purpose of taking depositions, as permitted by law. A request for a subpoena must show its general relevance and reasonable scope. The party must serve the subpoena on the witness or the holder of the documents or tangible items as permitted by applicable statute. A request for a subpoena must be filed and served in accordance with §§ 13.210 and 13.211, respectively. Absent good cause shown, the filing and service must be completed as follows:
(1) Not later than 15 days before a scheduled deposition under the subpoena; or
(2) Not later than 30 days before a scheduled hearing where attendance at the hearing is sought.
(b) Motion to quash or modify the subpoena. A party, or any person upon whom a subpoena has been served, may file in the FAA Hearing Docket a motion to quash or modify the subpoena and must serve a copy on the administrative law judge and each party at or before the time specified in the subpoena for compliance. The movant must describe, in detail, the basis for the motion to quash or modify the subpoena including, but not limited to, a statement that the testimony, document, or tangible evidence is not relevant to the proceeding, that the subpoena is not reasonably tailored to the scope of the proceeding, or that the subpoena is unreasonable and oppressive. A motion to quash or modify the subpoena will stay the effect of the subpoena pending a decision by the administrative law judge on the motion.
(c) Enforcement of subpoena. Upon a showing that a person has failed or refused to comply with a subpoena, a party may apply to the appropriate U.S. district court to seek judicial enforcement of the subpoena.
(a) General. The party who applies for a subpoena to compel the attendance of a witness at a deposition or hearing, or the party at whose request a witness appears at a deposition or hearing, must pay the witness fees described in this section.
(b) Amount. Except for an employee of the agency who appears at the direction of the agency, a witness who appears at a deposition or hearing is entitled to the same fees and allowances provided for under 28 U.S.C. 1821.
(a) Exclusive record. The pleadings, transcripts of the hearing and prehearing conferences, exhibits admitted into evidence, rulings, motions, applications, requests, briefs, and responses thereto, constitute the exclusive record for decision of the proceedings and the basis for the issuance of any orders in the proceeding. Any proceedings regarding the disqualification of an administrative law judge must be included in the record. Though only exhibits admitted into evidence are part of the record before an administrative law judge, evidence proffered but not admitted is also part of the record on appeal, as provided by § 13.225.
(b) Examination and copying of record. The parties may examine the record at the FAA Hearing Docket and may obtain copies of the record upon payment of applicable fees. Any other person may obtain copies of the releasable portions of the record in accordance with applicable law.
(a) Arguments during the hearing. During the hearing, the administrative law judge must give the parties a reasonable opportunity to present arguments on the record supporting or opposing motions, objections, and rulings if the parties request an opportunity for argument. The administrative law judge may request written arguments during the hearing if the administrative law judge finds that submission of written arguments would be reasonable.
(b) Final oral argument. At the conclusion of the hearing and before the administrative law judge issues an initial decision in the proceedings, the administrative law judge must allow the parties to submit oral proposed findings of fact and conclusions of law, exceptions to rulings of the administrative law judge, and supporting arguments for the findings, conclusions, or exceptions. At the conclusion of the hearing, a party may waive final oral argument.
(c) Post-hearing briefs. The administrative law judge may request written post-hearing briefs before the administrative law judge issues an initial decision in the proceedings if the administrative law judge finds that submission of written arguments would be reasonable. If a party files a written post-hearing brief, the party must include proposed findings of fact and conclusions of law, exceptions to rulings of the administrative law judge, and supporting arguments for the findings, conclusions, or exceptions. The administrative law judge must give the parties a reasonable opportunity, but not more than 30 days after receipt of the transcript, to prepare and submit the briefs. A party must file and serve any post-hearing brief in in accordance with §§ 13.210 and 13.211, respectively.
(a) Contents. The administrative law judge must issue an initial decision at the conclusion of the hearing. In each oral or written decision, the administrative law judge must include findings of fact and conclusions of law, as well as the grounds supporting those findings and conclusions, for all material issues of fact, the credibility of witnesses, the applicable law, any exercise of the administrative law judge's discretion, and the amount of any civil penalty found appropriate by the administrative law judge. The administrative law judge must also include a discussion of the basis for any order issued in the proceedings. The administrative law judge is not required to provide a written explanation for rulings on objections, procedural motions, and other matters not directly relevant to the substance of the initial decision. If the administrative law judge refers to any previous unreported or unpublished initial decision, the administrative law judge must make copies of that initial decision available to all parties and the FAA decisionmaker.
(b) Oral decision. Except as provided in paragraph (c) of this section, at the conclusion of the hearing, the administrative law judge's oral initial decision and order must be on the record.
(c) Written decision. The administrative law judge may issue a written initial decision not later than 30 days after the conclusion of the hearing or submission of the last post-hearing brief if the administrative law judge finds that issuing a written initial decision is reasonable. The administrative law judge must serve a copy of any written initial decision on each party.
(d) Reconsideration of an initial decision. The FAA decisionmaker may treat a motion for reconsideration of an initial decision as a notice of appeal under § 13.233, and if the motion was filed within the time allowed for the filing of a notice of appeal, the FAA decisionmaker will issue a briefing schedule, as provided in § 13.218.
(e) Order assessing civil penalty. Unless appealed pursuant to § 13.233, the initial decision issued by the administrative law judge is considered an order assessing civil penalty if the administrative law judge finds that an alleged violation occurred and determines that a civil penalty, in an amount found appropriate by the administrative law judge, is warranted. The administrative law judge may not assess a civil penalty exceeding the amount sought in the complaint.
(a) Notice of appeal. A party may appeal the administrative law judge's initial decision, and any decision not previously appealed to the FAA decisionmaker on interlocutory appeal pursuant to § 13.219, by filing a notice of appeal in accordance with § 13.210 no later than 10 days after entry of the oral initial decision on the record or service of the written initial decision on the parties. The party must serve a copy of the notice of appeal on each party in accordance with § 13.211. A party is not required to serve any documents under § 13.233 on the administrative law judge.
(b) Issues on appeal. In any appeal from a decision of an administrative law judge, the FAA decisionmaker considers only the following issues:
(1) Whether each finding of fact is supported by a preponderance of reliable, probative, and substantial evidence;
(2) Whether each conclusion of law is made in accordance with applicable law, precedent, and public policy; and
(3) Whether the administrative law judge committed any prejudicial errors.
(c) Perfecting an appeal. Except as follows in paragraphs (c)(1) and (2) of this section, a party must perfect an appeal to the FAA decisionmaker no later than 50 days after entry of the oral initial decision on the record or service of the written initial decision on the parties by filing an appeal brief in accordance with § 13.210 and serving a copy on every other party in accordance with § 13.211.
(1) Extension of time by agreement of the parties. The parties may agree to extend the time for perfecting the appeal with the consent of the FAA decisionmaker. If the FAA decisionmaker grants an extension of time to perfect the appeal, the FAA decisionmaker must serve a letter confirming the extension of time on each party.
(2) Written motion for extension. If the parties do not agree to an extension of time for perfecting an appeal, a party desiring an extension of time may file a written motion for an extension in accordance with § 13.210 and must serve a copy of the motion on each party under § 13.211. Any party may file a written response to the motion for extension no later than 10 days after service of the motion. The FAA decisionmaker may grant an extension if good cause for the extension is shown in the motion.
(d) Appeal briefs. A party must file the appeal brief in accordance with § 13.210 and must serve a copy of the appeal brief on each party in accordance with § 13.211.
(1) A party must set forth, in detail, the party's specific objections to the initial decision or rulings in the appeal brief. A party also must set forth, in detail, the basis for the appeal, the reasons supporting the appeal, and the relief requested in the appeal. If the party relies on evidence contained in the record for the appeal, the party must specifically refer to the pertinent evidence contained in the transcript in the appeal brief.
(2) The FAA decisionmaker may dismiss an appeal, on the FAA decisionmaker's own initiative or upon motion of any other party, where a party has filed a notice of appeal but fails to perfect the appeal by timely filing an appeal brief with the FAA decisionmaker.
(e) Reply brief. Except as follows in paragraphs (e)(1) and (2) of this section, any party may file a reply brief in accordance with § 13.210 not later than 35 days after the appeal brief has been served on that party. The party filing the reply brief must serve a copy of the reply brief on each party in accordance with § 13.211. If the party relies on evidence contained in the record for the reply, the party must specifically refer to the pertinent evidence contained in the transcript in the reply brief.
(1) Extension of time by agreement of the parties. The parties may agree to extend the time for filing a reply brief with the consent of the FAA decisionmaker. If the FAA decisionmaker grants an extension of time to file the reply brief, the FAA decisionmaker must serve a letter confirming the extension of time on each party.
(2) Written motion for extension. If the parties do not agree to an extension of time for filing a reply brief, a party desiring an extension of time may file a written motion for an extension in accordance with § 13.210 and must serve a copy of the motion on each party in accordance with § 13.211. Any party choosing to respond to the motion must file and serve a written response to the motion no later than 10 days after service of the motion The FAA decisionmaker may grant an extension if good cause for the extension is shown in the motion.
(f) Other briefs. The FAA decisionmaker may allow any person to submit an amicus curiae brief in an appeal of an initial decision. A party may not file more than one brief unless permitted by the FAA decisionmaker. A party may petition the FAA decisionmaker, in writing, for leave to file an additional brief and must serve a copy of the petition on each party. The party may not file the additional brief with the petition. The FAA decisionmaker may grant leave to file an additional brief if the party demonstrates good cause for allowing additional argument on the appeal. The FAA decisionmaker will allow a reasonable time for the party to file the additional brief.
(g) Number of copies. A party must file the original plus one copy of the appeal brief or reply brief, but only one copy if filing by email or fax, as provided in § 13.210.
(h) Oral argument. The FAA decisionmaker may permit oral argument on the appeal. On the FAA decisionmaker's own initiative, or upon written motion by any party, the FAA decisionmaker may find that oral argument will contribute substantially to the development of the issues on appeal and may grant the parties an opportunity for oral argument.
(i) Waiver of objections on appeal. If a party fails to object to any alleged error regarding the proceedings in an appeal or a reply brief, the party waives any objection to the alleged error. The FAA decisionmaker is not required to consider any objection in an appeal brief, or any argument in the reply brief, if a party's objection or argument is based on evidence contained on the record and the party does not specifically refer to the pertinent evidence from the record in the brief.
(j) FAA decisionmaker's decision on appeal. The FAA decisionmaker will review the record, the briefs on appeal, and the oral argument, if any, when considering the issues on appeal. The FAA decisionmaker may affirm, modify, or reverse the initial decision, make any necessary findings, or remand the case for any proceedings that the FAA decisionmaker determines may be necessary. The FAA decisionmaker may assess a civil penalty but must not assess a civil penalty in an amount greater than that sought in the complaint.
(1) The FAA decisionmaker may raise any issue, on the FAA decisionmaker's own initiative, that is required for proper disposition of the proceedings. The FAA decisionmaker will give the parties a reasonable opportunity to submit arguments on the new issues before making a decision on appeal. If an issue raised by the FAA decisionmaker requires the consideration of additional testimony or evidence, the FAA decisionmaker will remand the case to the administrative law judge for further proceedings and an initial decision related to that issue. If an issue raised by the FAA decisionmaker is solely an issue of law, or the issue was addressed at the hearing but was not raised by a party in the briefs on appeal, a remand of the case to the administrative law judge for further proceedings is not required but may be provided in the discretion of the FAA decisionmaker.
(2) The FAA decisionmaker will issue the final decision and order of the Administrator on appeal in writing and will serve a copy of the decision and order on each party. Unless a petition for review is filed pursuant to § 13.235, a final decision and order of the Administrator will be considered an order assessing civil penalty if the FAA decisionmaker finds that an alleged violation occurred and a civil penalty is warranted.
(3) A final decision and order of the Administrator after appeal is precedent in any other civil penalty action. Any issue, finding or conclusion, order, ruling, or initial decision of an administrative law judge that has not been appealed to the FAA decisionmaker is not precedent in any other civil penalty action.
(a) General. Any party may petition the FAA decisionmaker to reconsider or modify a final decision and order issued by the FAA decisionmaker on appeal from an initial decision. A party must file a petition to reconsider or modify in accordance with § 13.210 not later than 30 days after service of the FAA decisionmaker's final decision and order on appeal and must serve a copy of the petition on each party in accordance with § 13.211. A party is not required to serve any documents under this section on the administrative law judge. The FAA decisionmaker will not reconsider or modify an initial decision and order issued by an administrative law judge that has not been appealed by any party to the FAA decisionmaker.
(b) Number of copies. The parties must file the original plus one copy of the petition or the reply to the petition, but only one copy if filing by email or fax, as provided in § 13.210.
(c) Contents. A party must state briefly and specifically the alleged errors in the final decision and order on appeal, the relief sought by the party, and the grounds that support the petition to reconsider or modify.
(1) If the petition is based, in whole or in part, on allegations regarding the consequences of the FAA decisionmaker's decision, the party must describe these allegations and must describe, and support, the basis for the allegations.
(2) If the petition is based, in whole or in part, on new material not previously raised in the proceedings, the party must set forth the new material and include affidavits of prospective witnesses and authenticated documents that would be introduced in support of the new material. The party must explain, in detail, why the new material was not discovered through due diligence prior to the hearing.
(d) Repetitious and frivolous petitions. The FAA decisionmaker will not consider repetitious or frivolous petitions. The FAA decisionmaker may summarily dismiss repetitious or frivolous petitions to reconsider or modify.
(e) Reply petitions. Any party replying to a petition to reconsider or modify must file the reply in accordance with § 13.210 no later than 10 days after service of the petition on that party, and must also serve a copy of the reply on each party in accordance with § 13.211.
(f) Effect of filing petition. The filing of a timely petition under this section will stay the effective date of the FAA decisionmaker's decision and order on appeal until final disposition of the petition by the FAA decisionmaker.
(g) FAA decisionmaker's decision on petition. The FAA decisionmaker has discretion to grant or deny a petition to reconsider. The FAA decisionmaker will grant or deny a petition to reconsider within a reasonable time after receipt of the petition or receipt of the reply petition, if any. The FAA decisionmaker may affirm, modify, or reverse the final decision and order on appeal, or may remand the case for any proceedings that the FAA decisionmaker determines may be necessary.
(a) In cases under the Federal aviation statute, a party may seek judicial review of a final decision and order of the Administrator, as provided in 49 U.S.C. 46110(a), and, as applicable, in 49 U.S.C. 46301(d)(7)(D)(iii), 46301(g), or 47532.
(b) In cases under the Federal hazardous materials transportation statute, a party may seek judicial review of a final decision and order of the Administrator, as provided in 49 U.S.C. 5127.
(c) A party seeking judicial review of a final order issued by the Administrator may file a petition for review in the United States Court of Appeals for the District of Columbia Circuit or in the United States Court of Appeals for the circuit in which the party resides or has its principal place of business.
(d) The party must file the petition for review no later than 60 days after service of the Administrator's final decision and order.
Parties may use mediation to achieve resolution of issues in controversy addressed by this subpart. Parties seeking alternative dispute resolution services may engage the services of a mutually acceptable mediator. The mediator must not participate in the adjudication under this subpart of any matter in which the mediator has provided mediation services. Mediation discussions and submissions will remain confidential consistent with the provisions of the Administrative Dispute Resolution Act and other applicable Federal laws.
(a) This subpart provides the maximum civil monetary penalties or range of minimum and maximum civil monetary penalties for each statutory civil penalty subject to FAA jurisdiction, as adjusted for inflation.
(b) Each adjustment to a maximum civil monetary penalty or to minimum and maximum civil monetary penalties that establish a civil monetary penalty range applies to actions initiated under this part for violations occurring on or after December 30, 2024, notwithstanding references to specific civil penalty amounts elsewhere in this part.
(c) Minimum and maximum civil monetary penalties are as follows:
Table 1 to § 13.301(
| United States Code
citation | Civil monetary penalty description | 2024
minimum penalty amount | New adjusted
minimum penalty amount for violations occurring on or after December 30, 2024 | 2024
maximum penalty amount | New adjusted maximum
penalty amount for violations occurring on or after December 30, 2024 |
|---|---|---|---|---|---|
| 49 U.S.C. 5123(a)(1) | Violation of hazardous materials transportation law | N/A | N/A | $99,756 | $102,348. |
| 49 U.S.C. 5123(a)(2) | Violation of hazardous materials transportation law resulting in death, serious illness, severe injury, or substantial property destruction | N/A | N/A | $232,762 | $238,809. |
| 49 U.S.C. 5123(a)(3) | Violation of hazardous materials transportation law relating to training | $601 | $617 | $99,756 | $102,348. |
| 49 U.S.C. 44704(d)(3) | Knowing presentation of a nonconforming aircraft for issuance of an initial airworthiness certificate by a production certificate holder | N/A | N/A | $1,181,581 | $1,212, 278. |
| 49 U.S.C. 44704(e)(4) | Knowing failure by an applicant for or holder of a type certificate to submit safety critical information or include certain such information in an airplane flight manual or flight crew operating manual | N/A | N/A | $1,181,581 | $1,212,278. |
| 49 U.S.C. 44704(e)(5) | Knowing false statement by an airline transport pilot (ATP) certificate holder with respect to the submission of certain safety critical information | N/A | N/A | See entries for 49 U.S.C. 46301(a)(1) and (a)(5) | See entries for 49 U.S.C. 46301(a)(1) and (a)(5). |
| 49 U.S.C. 44742 | Interference by a supervisory employee of an organization designation authorization (ODA) holder that manufactures a transport category airplane with an ODA unit member's performance of authorized functions | N/A | N/A | See entries for 49 U.S.C. 46301(a)(1) | See entries for 49 U.S.C. 46301(a)(1). |
| 49 U.S.C. 44802 note | Operation of an unmanned aircraft or unmanned aircraft system equipped or armed with a dangerous weapon | N/A | N/A | $30,417 | $31,207. |
| 49 U.S.C. 46301(a)(1) | Violation by a person other than an individual or small business concern under 49 U.S.C. 46301(a)(1)(A) or (B) | N/A | N/A | $41,577 | $75,000. |
| 49 U.S.C. 46301(a)(1) | Violation by an airman serving as an airman under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered by 46301(a)(5)(A) or (B)) | N/A | N/A | $1,828 | $1,875. |
| 49 U.S.C. 46301(a)(1) | Violation by an individual or small business concern under 49 U.S.C. 46301(a)(1)(A) or (B) (but not covered in 49 U.S.C. 46301(a)(5)) | N/A | N/A | $1,828 | $1,875. |
| 49 U.S.C. 46301(a)(3) | Violation of 49 U.S.C. 47107(b) (or any assurance made under such section) or 49 U.S.C. 47133 | N/A | N/A | Increase above otherwise applicable maximum amount not to exceed 3 times the amount of revenues used in violation of such section | No change. |
| 49 U.S.C. 46301(a)(5)(A) | Violation by an individual or small business concern (except an airman serving as an airman) under 49 U.S.C. 46301(a)(5)(A)(i) or (ii) | N/A | N/A | $16,630 | $17,062. |
| 49 U.S.C. 46301(a)(5)(B)(i) | Violation by an individual or small business concern related to the transportation of hazardous materials | N/A | N/A | $16,630 | $17,062. |
| 49 U.S.C. 46301(a)(5)(B)(ii) | Violation by an individual or small business concern related to the registration or recordation under 49 U.S.C. chapter 441, of an aircraft not used to provide air transportation | N/A | N/A | $16,630 | $17,062. |
| 49 U.S.C. 46301(a)(5)(B)(iii) | Violation by an individual or small business concern of 49 U.S.C. 44718(d), relating to limitation on construction or establishment of landfills | N/A | N/A | $16,630 | $17,062. |
| 49 U.S.C. 46301(a)(5)(B)(iv) | Violation by an individual or small business concern of 49 U.S.C. 44725, relating to the safe disposal of life-limited aircraft parts | N/A | N/A | $16,630 | $17,062. |
| 49 U.S.C. 46301(a)(8) | Violation of 49 U.S.C. 41707(a)(22), including any grant assurances made under that section | N/A | N/A | N/A | $5,000. |
| 49 U.S.C. 46301 note | Individual who aims the beam of a laser pointer at an aircraft in the airspace jurisdiction of the United States, or at the flight path of such an aircraft | N/A | N/A | $31,819 | $32,646. |
| 49 U.S.C. 46301(b) | Tampering with a smoke alarm device | N/A | N/A | $5,339 | $5,478. |
| 49 U.S.C. 46302 | Knowingly providing false information about alleged violation involving the special aircraft jurisdiction of the United States | N/A | N/A | $28,995 | $29,748. |
| 49 U.S.C. 46318 | Physical or sexual assault or threat to physically or sexually assault crewmember or other individual on an aircraft, or action that poses an imminent threat to the safety of the aircraft or individuals on board | N/A | N/A | $43,658 | $44,792. |
| 49 U.S.C. 46319 | Permanent closure of an airport without providing sufficient notice | N/A | N/A | $16,630 | $17,062. |
| 49 U.S.C. 46320 | Operating an unmanned aircraft and in so doing knowingly or recklessly interfering with a wildfire suppression, law enforcement, or emergency response effort | N/A | N/A | $25,455 | $26,116. |
| 49 U.S.C. 47531 | Violation of 49 U.S.C. 47528-47530 or 47534, relating to the prohibition of operating certain aircraft not complying with stage 3 noise levels | N/A | N/A | See entries for 49 U.S.C. 46301(a)(1) and (a)(5) | See entries for 49 U.S.C. 46301(a)(1) and (a)(5). |
(a) Applicability. This section applies to any operator of an aircraft who operates such aircraft under an approved Flight Operational Quality Assurance (FOQA) program.
(b) Definitions. For the purpose of this section, the terms—
(1) Flight Operational Quality Assurance (FOQA) program means an FAA-approved program for the routine collection and analysis of digital flight data gathered during aircraft operations, including data currently collected pursuant to existing regulatory provisions, when such data is included in an approved FOQA program.
(2) FOQA data means any digital flight data that has been collected from an individual aircraft pursuant to an FAA-approved FOQA program, regardless of the electronic format of that data.
(3) Aggregate FOQA data means the summary statistical indices that are associated with FOQA event categories, based on an analysis of FOQA data from multiple aircraft operations.
(c) Requirements. In order for paragraph (e) of this section to apply, the operator must submit, maintain, and adhere to a FOQA Implementation and Operation Plan that is approved by the Administrator and which contains the following elements:
(1) A description of the operator's plan for collecting and analyzing flight recorded data from line operations on a routine basis, including identification of the data to be collected;
(2) Procedures for taking corrective action that analysis of the data indicates is necessary in the interest of safety;
(3) Procedures for providing the FAA with aggregate FOQA data;
(4) Procedures for informing the FAA as to any corrective action being undertaken pursuant to paragraph (c)(2) of this section.
(d) Submission of aggregate data. The operator will provide the FAA with aggregate FOQA data in a form and manner acceptable to the Administrator.
(e) Enforcement. Except for criminal or deliberate acts, the Administrator will not use an operator's FOQA data or aggregate FOQA data in an enforcement action against that operator or its employees when such FOQA data or aggregate FOQA data is obtained from a FOQA program that is approved by the Administrator.
(f) Disclosure. FOQA data and aggregate FOQA data, if submitted in accordance with an order designating the information as protected under part 193 of this chapter, will be afforded the nondisclosure protections of part 193 of this chapter.
(g) Withdrawal of program approval. The Administrator may withdraw approval of a previously approved FOQA program for failure to comply with the requirements of this chapter. Grounds for withdrawal of approval may include, but are not limited to—
(1) Failure to implement corrective action that analysis of available FOQA data indicates is necessary in the interest of safety; or
(2) Failure to correct a continuing pattern of violations following notice by the agency; or also
(3) Willful misconduct or willful violation of the FAA regulations in this chapter.
The Equal Access to Justice Act, 5 U.S.C. 504 (the Act), provides for the award of attorney fees and other expenses to eligible individuals and entities who are parties to certain administrative proceedings (adversary adjudications) before the Federal Aviation Administration (FAA). An eligible party may receive an award when it prevails over the FAA, unless the agency's position in the proceeding was substantially justified or special circumstances make an award unjust. The rules in this part describe the parties eligible for awards and the proceedings that are covered. They also explain how to apply for awards, and the procedures and standards that the FAA Decisionmaker will use to make them. As used hereinafter, the term “agency” applies to the FAA.
(a) The Act applies to certain adversary adjudications conducted by the FAA under 49 CFR part 17 and the Acquisition Management System (AMS). These are adjudications under 5 U.S.C. 554, in which the position of the FAA is represented by an attorney or other representative who enters an appearance and participates in the proceeding. This subpart applies to proceedings under 49 U.S.C. 46301, 46302, and 46303 and to the Default Adjudicative Process under part 17 of this chapter and the AMS.
(b) If a proceeding includes both matters covered by the Act and matters specifically excluded from coverage, any award made will include only fees and expenses related to covered issues.
(c) Fees and other expenses may not be awarded to a party for any portion of the adversary adjudication in which such party has unreasonably protracted the proceedings.
(a) To be eligible for an award of attorney fees and other expenses under the Act, the applicant must be a party to the adversary adjudication for which it seeks an award. The term “party” is defined in 5 U.S.C. 504(b)(1)(B) and 5 U.S.C. 551(3). The applicant must show that it meets all conditions or eligibility set out in this subpart.
(b) The types of eligible applicants are as follows:
(1) An individual with a net worth of not more than $2 million at the time the adversary adjudication was initiated;
(2) The sole owner of an unincorporated business who has a net worth of not more than $7 million, including both personal and business interests, and not more than 500 employees at the time the adversary adjudication was initiated;
(3) A charitable or other tax-exempt organization described in section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) with not more than 500 employees at the time the adversary adjudication was initiated; and
(4) A cooperative association as defined in section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 employees at the time the adversary adjudication was initiated; and
(5) Any other partnership, corporation, association, or public or private organization with a net worth of not more than $7 million and not more than 500 employees at the time the adversary adjudication was initiated.
(c) For the purpose of eligibility, the net worth and number of employees of an applicant shall be determined as of the date the proceeding was initiated.
(d) An applicant who owns an unincorporated business will be considered an “individual” rather than a “sole owner of an unincorporated business” if the issues on which the applicant prevails are related primarily to personal interests rather than to business interest.
(e) The employees of an applicant include all persons who regularly perform services for remuneration for the applicant, under the applicant's direction and control. Part-time employees shall be included on a proportional basis.
(f) The net worth and number of employees of the applicant and all of its affiliates shall be aggregated to determine eligibility. Any individual, corporation, or other entity that directly or indirectly controls or owns a majority of the voting shares or other interest of the applicant, or any corporation or other entity of which the applicant directly or indirectly owns or controls a majority of the voting shares or other interest, will be considered an affiliate for purposes of this part, unless the ALJ or adjudicative officer determines that such treatment would be unjust and contrary to the purposes of the Act in light of the actual relationship between the affiliated entities. In addition, the ALJ or adjudicative officer may determine that financial relationships of the applicant, other than those described in this paragraph, constitute special circumstances that would make an award unjust.
(g) An applicant that participates in a proceeding primarily on behalf of one or more other persons or entities that would be ineligible if not itself eligible for an award.
(a) A prevailing applicant may receive an award for attorney fees and other expenses incurred in connection with a proceeding, or in a significant and discrete substantive portion of the proceeding, unless the position of the agency over which the applicant has prevailed was substantially justified. Whether or not the position of the FAA was substantially justified shall be determined on the basis of the record (including the record with respect to the action or failure to act by the agency upon which the civil action is based) which was made in the civil action for which fees and other expenses are sought. The burden of proof that an award should not be made to an eligible prevailing applicant is on the agency counsel, who may avoid an award by showing that the agency's position was reasonable in law and fact.
(b) An award will be reduced or denied if the applicant has unduly or unreasonably protracted the proceeding or if special circumstances make the award sought unjust.
(a) Awards will be based on rates customarily charged by persons engaged in the business of acting as attorneys, agents, and expert witnesses, even if the services were made available without charge or at a reduced rate to the applicant.
(b) No award for the fee of an attorney or agent under this part may exceed $125 per hour, or such rate as prescribed by 5 U.S.C. 504. No award to compensate an expert witness may exceed the highest rate at which the agency pays expert witnesses. However, an award may also include the reasonable expenses of the attorney, agent, or witness as a separate item, if the attorney, agent, or witness ordinarily charges clients separately for such expenses.
(c) In determining the reasonableness of the fee sought for an attorney, agent, or expert witness, the ALJ or adjudicative officer shall consider the following:
(1) If the attorney, agent, or witness is in private practice, his or her customary fee for similar services, or if an employee of the applicant, the fully allocated cost of the services;
(2) The prevailing rate for similar services in the community in which the attorney, agent, or witness ordinarily performs services;
(3) The time actually spent in the representation of the applicant;
(4) The time reasonably spent in light of the difficulty or complexity of the issues in the proceeding; and
(5) Such other factors as may bear on the value of the services provided.
(d) The reasonable cost of any study, analysis, engineering report, test, project, or similar matter prepared on behalf of a party may be awarded, to the extent that the charge for the service does not exceed the prevailing rate for similar services, and the study or other matter was necessary for preparation of the applicant's case.
(e) Fees may be awarded only for work performed after the issuance of a complaint, or in the Default Adjudicative Process for a protest or contract dispute under part 17 of this chapter and the AMS.
(a) An application for an award of fees and expenses under the Act shall identify the applicant and the proceeding for which an award is sought. The application shall show that the applicant has prevailed and identify the position of the agency in the proceeding that the applicant alleges was not substantially justified. Unless the applicant is an individual, the application shall also state the number of employees of the applicant and describe briefly the type and purpose of its organization or business.
(b) The application shall also include a statement that the applicant's net worth does not exceed $2 million (if an individual) or $7 million (for all other applicants, including their affiliates) at the time the adversary adjudication was initiated. However, an applicant may omit this statement if:
(1) It attaches a copy of a ruling by the Internal Revenue Service that it qualifies as an organization described in section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)), or in the case of a tax-exempt organization not required to obtain a ruling from the Internal Revenue Service on its exempt status, a statement that describes the basis for the applicant's belief that it qualifies under such section; or
(2) It states that it is a cooperative association as defined in section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
(c) The application shall state the amount of fees and expenses for which an award is sought.
(d) The application may also include any other matters that the applicant wishes this agency to consider in determining whether and in what amount an award should be made.
(e) The application shall be signed by the applicant or an authorized officer or attorney for the applicant. It shall also contain or be accompanied by a written verification under oath or under penalty of perjury that the information provided in the application is true and correct.
(f) If the applicant is a partnership, corporation, association, organization, or sole owner of an unincorporated business, the application shall state that the applicant did not have more than 500 employees at the time the adversary adjudication was initiated, giving the number of its employees and describing briefly the type and purpose of its organization or business.
(a) Each applicant except a qualified tax-exempt organization or cooperative association must provide with its application a detailed exhibit showing the net worth of the applicant and any affiliates when the proceeding was initiated. If any individual, corporation, or other entity directly or indirectly controls or owns a majority of the voting shares or other interest of the applicant, or if the applicant directly or indirectly owns or controls a majority of the voting shares or other interest of any corporation or other entity, the exhibit must include a showing of the net worth of all such affiliates or of the applicant including the affiliates. The exhibit may be in any form convenient to the applicant that provides full disclosure of the applicant's and its affiliates' assets and liabilities and is sufficient to determine whether the applicant qualifies under the standards in this part. The administrative law judge may require an applicant to file additional information to determine the eligibility for an award.
(b) The net worth exhibit shall describe any transfers of assets from, or obligations incurred by, the applicant or any affiliate, occurring in the one-year period prior to the date on which the proceeding was initiated, that reduced the net worth of the applicant and its affiliates below the applicable net worth ceiling. If there were no such transactions, the applicant shall so state.
(c) Ordinarily, the net worth exhibit will be included in the public record of the proceeding. However, an applicant that objects to public disclosure of the net worth exhibit, or any part of it, may submit that portion of the exhibit directly to the ALJ or adjudicative officer in a sealed envelope labeled “Confidential Financial Information,” accompanied by a motion to withhold the information.
(1) The motion shall describe the information sought to be withheld and explain, in detail, why it should be exempt under applicable law or regulation, why public disclosure would adversely affect the applicant, and why disclosure is not required in the public interest.
(2) The net worth exhibit shall be served on the FAA counsel, but need not be served on any other party to the proceeding.
(3) If the ALJ or adjudicative officer finds that the net worth exhibit, or any part of it, should not be withheld from disclosure, it shall be placed in the public record of the proceeding. Otherwise, any request to inspect or copy the exhibit shall be disposed of in accordance with the FAA's established procedures.
The application shall be accompanied by full documentation of the fees and expenses, including the cost of any study, analysis, engineering report, test, project or similar matter, for which an award is sought. A separate itemized statement shall be submitted for each professional firm or individual whose services are covered by the application, showing the hours spent in connection with the proceedings by each individual, a description of the specific services performed, the rate at which each fee has been computed, any expenses for which reimbursement is sought, the total amount claimed, and the total amount paid or payable by the applicant or by any other person or entity for the services provided. The administrative law judge may require the applicant to provide vouchers, receipts, or other substantiation for any expenses claimed.
(a) An application may be filed whenever the applicant has prevailed in the proceeding, but in no case later than 30 days after the FAA Decisionmaker's final disposition of the proceeding, or service of the order of the Administrator in a proceeding under the AMS.
(b) If review or reconsideration is sought or taken of a decision to which an applicant believes it has prevailed, proceedings for the award of fees shall be stayed pending final disposition of the underlying controversy.
(c) For purposes of this part, final disposition means the later of:
(1) Under part 17 of this chapter and the AMS, the date on which the order of the Administrator is served;
(2) The date on which an unappealed initial decision becomes administratively final;
(3) Issuance of an order disposing of any petitions for reconsideration of the FAA Decisionmaker's final order in the proceeding;
(4) If no petition for reconsideration is filed, the last date on which such a petition could have been filed; or
(5) Issuance of a final order or any other final resolution of a proceeding, such as a settlement or voluntary dismissal, which is not subject to a petition for reconsideration.
Any application for an award or other pleading or document related to an application shall be filed and served on all parties to the proceeding in the same manner as other pleadings in the proceeding, except as provided in § 14.11(b) for confidential financial information. Where the proceeding was held under part 17 of this chapter and the AMS, the application shall be filed with the FAA's attorney and with the Office of Dispute Resolution for Acquisition.
(a) Within 30 days after service of an application, counsel representing the agency against which an award is sought may file an answer to the application. Unless agency counsel requests an extension of time for filing or files a statement of intent to negotiate under paragraph (b) of the section, failure to file an answer within the 30-day period may be treated as a consent to the award requested.
(b) If the FAA's counsel and the applicant believe that the issues in the fee application can be settled, they may jointly file a statement of their intent to negotiate a settlement. The filing of this statement shall extend the time for filing an answer for an additional 30 days, and further extensions may be granted by the ALJ or adjudicative officer upon request by the FAA's counsel and the applicant.
(c) The answer shall explain in detail any objections to the award requested and identify the facts relied on in support of agency counsel's position. If the answer is based on any alleged facts not already in the record of the proceeding, agency counsel shall include with the answer either supporting affidavits or a request for further proceedings under § 14.26.
Within 15 days after service of an answer, the applicant may file a reply. If the reply is based on any alleged facts not already in the record of the proceeding, the applicant shall include with the reply either supporting affidavits or a request for further proceedings under § 14.26.
Any party to a proceeding other than the applicant and the FAA's counsel may file comments on an application within 30 days after it is served, or on an answer within 15 days after it is served. A commenting party may not participate further in proceedings on the application unless the ALJ or adjudicative officer determines that the public interest requires such participation in order to permit full exploration of matters raised in the comments.
The applicant and agency counsel may agree on a proposed settlement of the award before final action on the application, either in connection with a settlement of the underlying proceeding, or after the underlying proceeding has been concluded. If a prevailing party and agency counsel agree on a proposed settlement of an award before an application has been filed, the application shall be filed with the proposed settlement.
(a) Ordinarily the determination of an award will be made on the basis of the written record; however, on request of either the applicant or agency counsel, or on his or her own initiative, the ALJ or adjudicative officer assigned to the matter may order further proceedings, such as an informal conference, oral argument, additional written submissions, or an evidentiary hearing. Such further proceedings shall be held only when necessary for full and fair resolution of the issues arising from the application and shall be conducted as promptly as possible.
(b) A request that the administrative law judge order further proceedings under this section shall specifically identify the information sought or the disputed issues and shall explain why the additional proceedings are necessary to resolve the issues.
(a) The ALJ shall issue an initial decision on the application within 60 days after completion of proceedings on the application.
(b) An adjudicative officer in a proceeding under part 17 of this chapter and the AMS shall prepare a findings and recommendations for the Office of Dispute Resolution for Acquisition.
(c) A decision under paragraph (a) or (b) of this section shall include written findings and conclusions on the applicant's eligibility and status as prevailing party and an explanation of the reasons for any difference between the amount requested and the amount awarded. The decision shall also include, if at issue, findings on whether the FAA's position was substantially justified, or whether special circumstances make an award unjust.
(a) In proceedings other than those under part 17 of this chapter and the AMS, either the applicant or the FAA counsel may seek review of the initial decision on the fee application in accordance with subpart G of part 13 of this chapter, specifically § 13.233. Additionally, the FAA Decisionmaker may decide to review the decision on his/her own initiative. If neither the applicant nor the FAA's counsel seeks review within 30 days after the decision is issued, it shall become final. Whether to review a decision is a matter within the discretion of the FAA Decisionmaker. If review is taken, the FAA Decisionmaker will issue a final decision on the application or remand the application to the ALJ who issue the initial fee award determination for further proceedings.
(b) In proceedings under part 17 of this chapter and the AMS, the adjudicative officer shall prepare findings and recommendations for the Office of Dispute Resolution for Acquisition with recommendations as to whether or not an award should be made, the amount of the award, and the reasons therefor. The Office of Dispute Resolution for Acquisition shall submit a recommended order to the Administrator after the completion of all submissions related to the EAJA application. Upon the Administrator's action, the order shall become final, and may be reviewed under 49 U.S.C. 46110.
If an applicant is dissatisfied with the determination of fees and other expenses made under this subsection, pursuant 5 U.S.C. 504(c)(2), that applicant may, within thirty (30) days after the determination is made, appeal the determination to the court of the United States having jurisdiction to review the merits of the underlying decision of the FAA adversary adjudication. The court's determination on any appeal heard under this paragraph shall be based solely on the factual record made before the FAA. The court may modify the determination of fees and other expenses only if the court finds that the failure to make an award of fees and other expenses, or the calculation of the amount of the award, was unsupported by substantial evidence.
An applicant seeking payment of an award shall submit to the disbursing official of the FAA a copy of the FAA Decisionmaker's final decision granting the award, accompanied by a statement that the applicant will not seek review of the decision in the United States courts. Applications for award grants in cases involving the FAA shall be sent to: The Office of Accounting and Audit, AAA-1, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591. The agency will pay the amount awarded to the applicant within 60 days, unless judicial review of the award or of the underlying decision of the adversary adjudication has been sought by the applicant or any other party to the proceeding.
(a) These regulations apply to claims asserted under the Federal Tort Claims Act, as amended, for money damages against the United States for injury to, or loss of property, or for personal injury or death, caused by the negligent or wrongful act or omission of an employee of the FAA acting within the scope of office or employment. The regulations in this part supplement the Attorney General's regulations in 28 CFR part 14, as amended. The regulations in 28 CFR part 14, as amended, and the regulations in this part apply to consideration by the FAA of administrative claims under the Federal Tort Claims Act.
(a) A claim is deemed to have been presented when the FAA receives, at a place designated in paragraph (b) of this section, an executed Standard Form 95 or other written notification of an incident, accompanied by a claim for money damages in a sum certain for injury to, or loss of, property or for personal injury or death, alleged to have occurred by reason of the incident. A claim which should have been presented to the FAA but which was mistakenly filed with another Federal agency, is deemed presented to the FAA on the date the claim is received by the FAA at a place designated in paragraph (b) of this section. A claim addressed to, or filed with, the FAA by mistake will be transferred to the appropriate Federal agency, if that agency can be determined, or returned to the claimant.
(b) Claims shall be delivered or mailed to the Assistant Chief Counsel, Litigation Division, AGC-400, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591, or alternatively, may be mailed or delivered to the Regional Counsel in any of the FAA Regional Offices or the Assistant Chief Counsel, Europe, Africa, and Middle East Area Office.
(c) Claim forms are available at each location listed in paragraph (b) of this section.
(d) A claim presented in accordance with this section may be amended by the claimant at any time prior to final FAA action or prior to the exercise of the claimant's option, under 28 U.S.C. 2675(a), to deem the agency's failure to make a final disposition of his or her claim within 6 months after it was filed as a final denial. Each amendment to a claim shall be submitted in writing and signed by the claimant or the claimant's duly authorized agent or legal representative. Upon the timely filing of an amendment to a pending claim, the FAA has 6 months thereafter in which to make a final disposition of the claim as amended, and the claimant's option under 28 U.S.C. 2675(a) does not accrue until 6 months after the filing of the amendment.
(a) A claim for injury to, or loss of, property may be presented by the owner of the property interest which is the subject of the claim or by the owner's duly authorized agent or legal representative.
(b) A claim for personal injury may be presented by the injured person or that person's duly authorized agent or legal representative.
(c) A claim based on death may be presented by the executor or administrator of the decedent's estate or by any other person legally entitled to assert such a claim under applicable State law.
(d) A claim for loss wholly compensated by an insurer with the rights of a subrogee may be presented by the insurer. A claim for loss partially compensated by an insurer with the rights of a subrogee may be presented by the insurer or the insured individually, as their respective interest appear, or jointly. Whenever an insurer presents a claim asserting the rights of a subrogee, it shall present with its claim appropriate evidence that it has the rights of a subrogee.
(e) A claim presented by an agent or legal representative shall be presented in the name of the claimant, be signed by the agent or legal representative, show the title or legal capacity of the person signing, and be accompanied by evidence of authority to present a claim on behalf of the claimant as agent, executor, administrator, parent, guardian, or other representative.
(a) Death. In support of a claim based on death, the claimant may be required to submit the following evidence or information:
(1) An authenticated death certificate or other competent evidence showing cause of death, date of death, and age of the decedent.
(2) The decedent's employment or occupation at time of death, including monthly or yearly salary or earnings (if any), and the duration of last employment or occupation.
(3) Full names, addresses, birth dates, kinship, and marital status of the decedent's survivors, including identification of those survivors who were dependent for support upon the decedent at the time of death.
(4) Degree of support afforded by the decedent to each survivor dependent upon decedent for support at the time of death.
(5) Decedent's general, physical, and mental conditions before death.
(6) Itemized bills for medical and burial expenses incurred by reason of the incident causing death or itemized receipts of payment for such expenses.
(7) If damages for pain and suffering prior to death are claimed, a physician's detailed statement specifying the injuries suffered, duration of pain and suffering, any drugs administered for pain, and the decedent's physical condition in the interval between injury and death.
(8) Any other evidence or information which may have a bearing on either the responsibility of the United States for the death or the amount of damages claimed.
(b) Personal injury. In support of a claim for personal injury, including pain and suffering, the claimant may be required to submit the following evidence or information:
(1) A written report by the attending physician or dentist setting forth the nature and extent of the injuries, nature and extent of treatment, any degree of temporary or permanent disability, the prognosis, period of hospitalization, and any diminished earning capacity.
(2) In addition to the report required by paragraph (b)(1) of this section, the claimant may be required to submit to a physical or mental examination by a physician employed by the FAA or another Federal agency. A copy of the report of the examining physician is made available to the claimant upon the claimant's written request if the claimant has, upon request, furnished the report required by paragraph (b)(1), and has made or agrees to make available to the FAA any other physician's reports previously or thereafter made on the physical or mental condition which is the subject matter of the claim.
(3) Itemized bills for medical, dental, and hospital expenses incurred or itemized receipts of payment for such expenses.
(4) If the prognosis reveals the necessity for future treatment, a statement of expected expenses for such treatment.
(5) If a claim is made for loss of time from employment, a written statement from the claimant's employer showing actual time lost from employment, whether the claimant is a full or part-time employee, and wages or salary actually lost.
(6) If a claim is made for loss of income and the claimant is self-employed, documentary evidence showing the amount of earnings actually lost.
(7) Any other evidence or information which may have a bearing on the responsibility of the United States for the personal injury or the damages claimed.
(c) Property damage. In support of a claim for injury to or loss of property, real or personal, the claimant may be required to submit the following evidence or information:
(1) Proof of ownership of the property interest which is the subject of the claim.
(2) A detailed statement of the amount claimed with respect to each item of property.
(3) An itemized receipt of payment for necessary repairs or itemized written estimates of the cost of such repairs.
(4) A statement listing date of purchase, purchase price, and salvage value, where repair is not economical.
(5) Any other evidence or information which may have a bearing on either the responsibility of the United States for the injury to or loss of property or the damages claimed.
The FAA may investigate a claim or conduct a physical examination of a claimant. The FAA may request any other Federal agency to investigate a claim or conduct a physical examination of a claimant and provide a report of the investigation or examination to the FAA.
This subpart prescribes procedural requirements for the indemnification of a publisher of aeronautical charts or maps under section 1118 of the Federal Aviation Act of 1958, as amended, when the publisher incurs liability as a result of publishing—
(a) A chart or map accurately depicting a defective or deficient flight procedure or airway that was promulgated by the FAA; or
(b) Aeronautical data that—
(1) Is visually displayed in the cockpit of an aircraft; and
(2) When visually displayed, accurately depicts a defective or deficient flight procedure or airway promulgated by the FAA.
A publisher that requests indemnification under this part will not be indemnified if—
(a) The complaint filed against the publisher, or demand for payment against the publisher, first occurred before December 19, 1985;
(b) The publisher does not negotiate a good faith settlement;
(c) The publisher does not conduct a good faith defense;
(d) The defective or deficient flight procedure or airway—
(1) Was not promulgated by the FAA;
(2) Was not accurately depicted on the publisher's chart or map;
(3) Was not accurately displayed on a visual display in the cockpit, or
(4) Was obviously defective or deficient;
(e) The publisher does not give notice as required by § 15.107 of this part and that failure is prejudicial to the Government; or
(f) The publisher does not appeal a lower court's decision pursuant to a request by the Administrator under § 15.111(d)(2) of this part.
A request for indemnification under this part—
(a) May be filed by—
(1) A publisher described in § 15.101 of this part; or
(2) The publisher's duly authorized agent or legal representative;
(b) Shall be filed with the Chief Counsel, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591; and
(c) Shall state the basis for the publisher's assertion that indemnification under this part is required.
A request for indemnification will not be considered by the FAA unless the following conditions are met:
(a) The publisher must notify the Chief Counsel of the FAA, within the time limits prescribed in paragraph (b) or (c) of this section, of the publisher's first receipt of a demand for payment, or service of a complaint in any proceeding, federal or state, in which it appears that indemnification under this part may be required.
(b) For each complaint filed, or demand for payment made, on or after December 19, 1985, and before June 4, 1990, the notice required by paragraph (a) of this section must be received by the FAA on or before July 2, 1990.
(c) For each complaint filed, or demand for payment made, on or after June 4, 1990, the notice required by paragraph (a) of this section must be received by the FAA within 60 days after the day the publisher first receives the demand for payment or service of the complaint.
(d) Within 5 days after the day a judgment is rendered against the publisher in any proceeding, or within 30 days of the denial of an appeal, whichever is later, the publisher must notify the FAA Chief Counsel that—
(1) There is an adverse judgment against the publisher; and
(2) The publisher has a claim for indemnification against the FAA arising out of that judgment.
(a) A publisher may not settle a claim with another party, for which the publisher has sought, or intends to seek, indemnification under this part, unless—
(1) The publisher submits a copy of the proposed settlement, and a statement justifying the settlement, to the Chief Counsel of the FAA; and
(2) The Administrator and where necessary, the appropriate official of the Department of Justice, approves the proposed settlement.
(3) The publisher submits a signed release that clearly releases the United States from any further liability to the publisher and the claimant.
(b) If the Administrator does not approve the proposed settlement, the Administrator will—
(1) So notify the publisher by registered mail within 60 days of receipt of the proposed settlement; and
(2) Explain why the request for indemnification was not approved.
(c) If the Administrator approves the proposed settlement, the Administrator will so notify the publisher by registered mail within 60 days after the FAA's receipt of the proposed settlement.
(d) If the Administrator does not have sufficient information to approve or disapprove the proposed settlement, the Administrator will request, within 60 days after receipt of the proposed settlement, the additional information needed to make a determination.
(a) If a lawsuit is filed against the publisher and the publisher has sought, or intends to seek, indemnification under this part, the publisher shall—
(1) Give notice as required by § 15.107 of this part;
(2) If requested by the United States—
(i) Implead the United States as a third-party defendant in the action; and
(ii) Arrange for the removal of the action to Federal Court;
(3) Promptly provide any additional information requested by the United States; and
(4) Cooperate with the United States in the defense of the lawsuit.
(b) If the lawsuit filed against the publisher results in a proposed settlement, the publisher shall submit that proposed settlement to the FAA for approval in accordance with § 15.109 of this part.
(c) If the lawsuit filed against the publisher results in a judgment against the publisher and the publisher has sought, or intends to seek, indemnification under this part as a result of the adverse judgment, the publisher shall—
(1) Give notice to the FAA as required by § 15.107(d) of this part;
(2) Submit a copy of the trial court's decision to the FAA Chief Counsel not more than 5 business days after the adverse judgment is rendered; and
(3) If an appeal is taken from the adverse judgment, submit a copy of the appellate decision to the FAA Chief Counsel not more than 30 days after that decision is rendered.
(d) Within 60 days after receipt of the trial court's decision, the Administrator by registered mail will—
(1) Notify the publisher that indemnification is required under this part;
(2) Request that the publisher appeal the trial court's adverse decision; or
(3) Notify the publisher that it is not entitled to indemnification under this part and briefly state the basis for the denial.
(a) Upon a finding of the Administrator that indemnification is required under this part, and after obtaining the concurrence of the United States Department of Justice, the FAA will promptly enter into an indemnification agreement providing for the payment of the costs specified in paragraph (c) of this section.
(b) The indemnification agreement will be signed by the Chief Counsel and the publisher.
(c) The FAA will indemnify the publisher for—
(1) Compensatory damages awarded by the court against the publisher;
(2) Reasonable costs and fees, including reasonable attorney fees at a rate not to exceed that permitted under the Equal Access to Justice Act (5 U.S.C. 504), and any postjudgment interest, if the publisher conducts a good faith defense, or pursues a good faith appeal, at the request, or with the concurrence, of the FAA.
(d) Except as otherwise provided in this section, the FAA will not indemnify the publisher for—
(1) Punitive or exemplary damages;
(2) Civil or criminal fines or any other litigation sanctions;
(3) Postjudgment interest;
(4) Costs;
(5) Attorney fees; or
(6) Other incidental expenses.
(e) The indemnification agreement must provide that the Government will be subrogated to all claims or rights of the publisher, including third-party claims, cross-claims, and counterclaims.
After execution of the indemnification agreement, the FAA will submit the agreement to the United States Department of Justice and request payment, in accordance with the agreement, from the Judgment Fund.
(a) General. The provisions of this part govern all Federal Aviation Administration (FAA) proceedings involving Federally-assisted airports, except for complaints or requests for determination filed with the Secretary under 14 CFR part 302, whether the proceedings are instituted by order of the FAA or by filing a complaint with the FAA under the following authorities:
(1) 49 U.S.C. 40103(e), prohibiting the grant of exclusive rights for the use of any landing area or air navigation facility on which Federal funds have been expended (formerly section 308 of the Federal Aviation Act of 1958, as amended).
(2) Requirements of the Anti-Head Tax Act, 49 U.S.C. 40116.
(3) The assurances and other Federal obligations contained in grant-in-aid agreements issued under the Federal Airport Act of 1946, 49 U.S.C. 1101 et seq. (repealed 1970).
(4) The assurances and other Federal obligations contained in grant-in-aid agreements issued under the Airport and Airway Development Act of 1970, as amended, 49 U.S.C. 1701 et seq.
(5) The assurances and other Federal obligations contained in grant-in-aid agreements issued under the Airport and Airway Improvement Act of 1982 (AAIA), as amended and recodified, 49 U.S.C. 47101 et seq., specifically section 511(a), 49 U.S.C. 47107, and 49 U.S.C. 47133.
(6) Section 505(d) of the Airport and Airway Improvement Act of 1982, and the requirements concerning civil rights and/or Disadvantaged Business Enterprise (DBE) issues contained in 49 U.S.C. 47107(e) and 49 U.S.C. 47113; 49 U.S.C. 47123; 49 U.S.C. 322, as amended; 49 CFR parts 23 and/or 26; and/or grant assurance 30 and/or grant assurance 37.
(7) Obligations contained in property deeds for property transferred pursuant to section 16 of the Federal Airport Act (49 U.S.C. 1115), section 23 of the Airport and Airway Development Act (49 U.S.C. 1723), or section 516 of the Airport and Airway Improvement Act (49 U.S.C. 47125).
(8) Obligations contained in property deeds for property transferred under the Surplus Property Act (49 U.S.C. 47151-47153).
(b) Other agencies. Where a grant assurance concerns a statute, executive order, regulation, or other authority that provides an administrative process for the investigation or adjudication of complaints by a Federal agency other than the FAA, persons shall use the administrative process established by those authorities. Where a grant assurance concerns a statute, executive order, regulation, or other authority that enables a Federal agency other than the FAA to investigate, adjudicate, and enforce compliance under those authorities on its own initiative, the FAA may defer to that Federal agency.
(c) Other enforcement. If a complaint or action initiated by the FAA involves a violation of the 49 U.S.C. subtitle VII or FAA regulations, except as specified in paragraphs (a)(1) and (a)(2) of this section, the FAA may take investigative and enforcement action under 14 CFR part 13, “Investigative and Enforcement Procedures.”
(d) Effective date. This part applies to a complaint filed with the FAA and to an investigation initiated by the FAA on or after December 16, 1996.
Terms defined in the Acts are used as so defined. As used in this part:
Act means a statute listed in § 16.1 and any regulation, agreement, or document of conveyance issued or made under that statute.
Administrator means the Administrator of the FAA.
Agency means the FAA.
Agency attorney means the Deputy Chief Counsel; the Assistant Chief Counsel and attorneys in the Airports/Environmental Law Division of the Office of the Chief Counsel; the Assistant Chief Counsel and attorneys in an FAA region or center who represent the FAA during the investigation of a complaint or at a hearing on a complaint, and who prosecute on behalf of the FAA, as appropriate. An agency attorney shall not include the Chief Counsel; the Assistant Chief Counsel for Litigation, or any attorney on the staff of the Assistant Chief Counsel for Litigation, who advises the Associate Administrator regarding an initial decision of the hearing officer or any appeal to the Associate Administrator or who is supervised in that action by a person who provides such advice in an action covered by this part.
Agency employee means any employee of the FAA.
Associate Administrator means the FAA Associate Administrator for Airports or a designee. For the purposes of this part only, Associate Administrator also means the Assistant Administrator for Civil Rights or a designee for complaints that the FAA Associate Administrator for Airports transfers to the Assistant Administrator for Civil Rights.
Complainant means the person submitting a complaint.
Complaint means a written document meeting the requirements of this part and filed under this part:
(1) By a person directly and substantially affected by anything allegedly done or omitted to be done by any person in contravention of any provision of any Act, as defined in this section, as to matters within the jurisdiction of the Administrator, or
(2) By a person under 49 CFR 26.105(c) against a recipient of FAA funds alleged to have violated a provision of 49 CFR parts 23 and/or 26.
Decisional employee means the Administrator, Deputy Administrator, Associate Administrator, Director, hearing officer, or other FAA employee who is or who may reasonably be expected to be involved in the decisional process of the proceeding.
Director means the Director of the FAA Office of Airport Compliance and Management Analysis, or a designee. For the purposes of this part only, Director also means the Deputy Assistant Administrator for Civil Rights for complaints that the Director of the FAA Office of Airport Compliance and Management Analysis transfers to the Deputy Assistant Administrator for Civil Rights or designee.
Electronic filing means the process of sending electronic mail (email) to the FAA Part 16 Docket Clerk, with scanned documents attached, as a Portable Document Format (PDF) file.
Ex parte communication means an oral or written communication not on the public record with respect to which reasonable prior notice to all parties is not given, but it shall not include requests for status reports on any matter or proceeding covered by this part, or communications between FAA employees who participate as parties to a hearing pursuant to 16.203(b) of this part and other parties to a hearing.
Hearing officer means an attorney designated by the Deputy Chief Counsel in a hearing order to serve as a hearing officer in a hearing under this part. The following are not designated as hearing officers: the Chief Counsel and Deputy Chief Counsel; the Regional or Center Counsel and attorneys in the FAA region or center in which the noncompliance has allegedly occurred or is occurring; the Assistant Chief Counsel and attorneys in the Airports and Environmental Law Division of the FAA Office of the Chief Counsel; and the Assistant Chief Counsel and attorneys in the Litigation Division of the FAA Office of Chief Counsel.
Initial decision means a decision made by the hearing officer in a hearing under subpart F of this part.
Mail means U.S. first class mail; U.S. certified mail; and U.S. express mail. Unless otherwise noted, mail also means electronic mail containing PDF copies of pleadings or documents required herein.
Noncompliance means anything done or omitted to be done by any person in contravention of any provision of any Act, as defined in this section, as to matters within the jurisdiction of the Administrator.
Party means the complainant(s) and the respondent(s) named in the complaint and, after an initial determination providing an opportunity for hearing is issued under § 16.31 and subpart E of this part, the agency.
Person in addition to its meaning under 49 U.S.C. 40102(a)(33), includes a public agency as defined in 49 U.S.C. 47102(a)(15).
Personal delivery means same-day hand delivery or overnight express delivery service.
Respondent means any person named in a complaint as a person responsible for noncompliance.
Sponsor means:
(1) Any public agency which, either individually or jointly with one or more other public agencies, has received Federal financial assistance for airport development or planning under the Federal Airport Act, Airport and Airway Development Act or Airport and Airway Improvement Act;
(2) Any private owner of a public-use airport that has received financial assistance from the FAA for such airport; and
(3) Any person to whom the Federal Government has conveyed property for airport purposes under section 13(g) of the Surplus Property Act of 1944, as amended.
Writing or written includes paper documents that are filed and/or served by mail, personal delivery, facsimile, or email (as attached PDF files).
(a) Proceedings under this part, including hearings under subpart F of this part, will be prosecuted by an agency attorney.
(b) After issuance of an initial determination in which the FAA provides the opportunity for a hearing, an agency employee engaged in the performance of investigative or prosecutorial functions in a proceeding under this part will not, in that case or a factually related case, participate or give advice in an initial decision by the hearing officer, or a final decision by the Associate Administrator or designee on written appeal, and will not, except as counsel or as witness in the public proceedings, engage in any substantive communication regarding that case or a related case with the hearing officer, the Associate Administrator on written appeal, or agency employees advising those officials in that capacity.
(c) The Chief Counsel, the Assistant Chief Counsel for Litigation, or an attorney on the staff of the Assistant Chief Counsel for Litigation advises the Associate Administrator regarding an initial decision, an appeal, or a final decision regarding any case brought under this part.
(a) Under the authority of 49 U.S.C. 40113 and 47121, the Director may conduct investigations, issue orders, and take such other actions as are necessary to fulfill the purposes of this part. This includes the extension of any time period prescribed, where necessary or appropriate for a fair and complete consideration of matters before the agency, prior to issuance of the Director's Determination.
(b) Notwithstanding any other provision of this part, upon finding that circumstances require expedited handling of a particular case or controversy, the Director may issue an order directing any of the following prior to the issuance of the Director's Determination:
(1) Shortening the time period for any action under this part consistent with due process;
(2) If other adequate opportunity to respond to pleadings is available, eliminating the reply, rebuttal, or other actions prescribed by this part;
(3) Designating alternative methods of service; or
(4) Directing such other measures as may be required.
(c) Other than those matters concerning a Corrective Action Plan, the jurisdiction of the Director terminates upon the issuance of the Director's Determination. All matters arising during the appeal period, such as requests for extension of time to make an appeal, will be addressed by the Associate Administrator.
(d) The Director may transfer to the FAA Deputy Assistant Administrator for Civil Rights or Office of Civil Rights designee the authority to prepare and issue Director's Determinations pursuant to § 16.31 for complaints alleging violations of section 505(d) of the Airport and Airway Improvement Act of 1982, and the requirements concerning civil rights and/or Disadvantaged Business Enterprise (DBE) issues contained in 49 U.S.C. 47107(e) and 49 U.S.C. 47113; 49 U.S.C. 47123; 49 U.S.C. 322, as amended; 49 CFR parts 23 and/or 26; and/or grant assurance 30 and/or grant assurance 37.
Except as otherwise provided in this part, documents shall be filed with the FAA during a proceeding under this part as follows:
(a) Filing address. Documents filed under this Part shall be filed with the Office of the Chief Counsel, Attention: FAA Part 16 Docket Clerk, AGC-600, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591. Documents to be filed with a hearing officer shall be filed at the address and in the manner stated in the hearing order.
(b) Date and method of filing. Filing of any document shall be by personal delivery or mail as defined in this part, by facsimile (when confirmed by filing on the same date by one of the foregoing methods), or electronically as set forth in paragraph (h) of this section. Unless the date is shown to be inaccurate, documents filed with the FAA shall be deemed to be filed on the date of personal delivery, on the mailing date shown on the certificate of service, on the date shown on the postmark if there is no certificate of service, on the send date shown on the facsimile (provided filing has been confirmed through one of the foregoing methods), or on the mailing date shown by other evidence if there is no certificate of service and no postmark. Unless the date is shown to be inaccurate, documents filed electronically shall be deemed to be filed on the date shown on the certificate of service or, if none, the date of electronic transmission to the last party required to be served.
(c) Number of copies. With the exception of electronic filing or unless otherwise specified, an executed original and three copies of each document shall be filed with the FAA Part 16 Docket Clerk. One of the three copies shall not be stapled, bound or hole-punched. Copies need not be signed, but the name of the person signing the original shall be shown. If a hearing order has been issued in the case, one of the three copies shall be filed with the hearing officer unless otherwise prescribed by the hearing officer.
(d) Form. Documents filed under this part shall:
(1) Be typewritten or legibly printed;
(2) Include, in the case of docketed proceedings, the docket number of the proceeding on the front page; and
(3) Be marked to identify personal, privileged or proprietary information. Decisions for the publication and release of these documents will be made in accordance with 5 U.S.C. 552 and 49 CFR part 7.
(e) Signing of documents and other papers. The original of every document filed shall be signed by the person filing it or the person's duly authorized representative. The signature shall serve as a certification that the signer has read the document and, based on reasonable inquiry and to the best of the signer's knowledge, information, and belief, the document is—
(1) Consistent with this part;
(2) Warranted by existing law or that a good faith argument exists for extension, modification, or reversal of existing law; and
(3) Not interposed for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of the administrative process.
(f) Designation of person to receive service. The initial document filed by any person shall state on the first page the name, physical address, telephone number, facsimile number, if any, and email address, if filing electronically, of the person(s) to be served with documents in the proceeding. If any of these items change during the proceeding, the person shall promptly file notice of the change with the FAA Part 16 Docket Clerk and the hearing officer and shall serve the notice on all parties.
(g) Docket numbers. Each submission identified as a complaint under this part by the submitting person will be assigned a docket number.
(h) Electronic filing. (1) The initial complaint may be served electronically upon the respondent only if the respondent has previously agreed with the complainant in writing to participate in electronic filing. Documents may be filed under this Part electronically by sending an email containing (an) attachment(s) of (a) PDF file(s) of the required pleading to the FAA Docket Clerk, and the person designated in paragraph (h)(3) of this section.
(2) The subject line of the email must contain the names of the complainant and respondent, and must contain the FAA docket number (if assigned). The size of each email must be less than 10 MB. Email attachments containing executable files (e.g., .exe and .vbs files) will not be accepted.
(3) The email address at which the parties may file the documents described in this section is 9-AWA-AGC-Part-16@faa.gov. No acknowledgement or receipt will be provided by the FAA to parties using this method. A party filing electronically as described in this section must provide to the FAA Part 16 Docket Clerk and the opposing party an email address of the person designated by the party to receive pleadings.
(4) By filing a pleading or document electronically as described in this section, a party waives the rights under this part for service by the opposing party and the FAA by methods other than email. If a party subsequently decides to “opt-out” of electronic filing, that party must so notify the FAA Part 16 Docket Clerk and the other party in writing, from which time the FAA and the parties will begin serving the opting-out party in accordance with §§ 16.13 and 16.15. This subsection only exempts the parties from the filing and service requirements in § 16.13(a) (with the exception that “Documents to be filed with a hearing officer shall be filed at the address and in the manner stated in the hearing order.”), the method of filing requirements in § 16.13(b), and the number of documents requirements in § 16.13(c).
(i) Internet accessibility of documents filed in the Hearing Docket. (1) Unless protected from public disclosure, all documents filed in the Hearing Docket are accessible through the Federal Docket Management System (FDMS): http://www.regulations.gov. To access a particular case file, use the FDMS number assigned to the case.
(2) Determinations issued by the Director and Associate Administrator in Part 16 cases, indexes of decisions, contact information for the FAA Hearing Docket, the rules of practice, and other information are available on the FAA Office of Airports' Web site at: http://part16.airports.faa.gov/index.cfm.
Except as otherwise provided in this part, documents shall be served as follows:
(a) Whom must be served. Copies of all documents filed with the FAA Part 16 Docket Clerk shall be served by the persons filing them on all parties to the proceeding. A certificate of service shall accompany all documents when they are tendered for filing and shall certify concurrent service on the FAA and all parties. Certificates of service shall be in substantially the following form:
I hereby certify that I have this day served the foregoing [name of document] on the following persons at the following addresses, facsimile numbers (if also served by facsimile), or email address (if served electronically in accordance with § 16.13(h)), by [specify method of service]:
(b) Method of service. Except as otherwise agreed by the parties and, if applicable, the hearing officer, the method of service is the same as set forth in § 16.13(b) for filing documents.
(c) Where service shall be made. Service shall be made to the persons identified in accordance with § 16.13(f). If no such person has been designated, service shall be made on the party.
(d) Presumption of service. There shall be a presumption of lawful service—
(1) When acknowledgment of receipt is by a person who customarily or in the ordinary course of business receives mail at the address of the party or of the person designated under § 16.13(f);
(2) When a properly addressed envelope, sent to the most current address submitted under § 16.13(f), has been returned as undeliverable, unclaimed, or refused; or
(3) When the party serving the document electronically has a confirmation statement demonstrating that the email was properly sent to a party correctly addressed.
(e) Date of service. The date of service shall be determined in the same manner as the filing date under § 16.13(b).
This section applies to any period of time prescribed or allowed by this part, by notice or order of the hearing officer, or by an applicable statute.
(a) The date of an act, event, or default, after which a designated time period begins to run, is not included in a computation of time under this part.
(b) The last day of a time period is included in a computation of time unless it is a Saturday, Sunday, or legal holiday for the FAA, in which case, the time period runs until the end of the next day that is not a Saturday, Sunday, or legal holiday.
(c) Whenever a party has the right or is required to do some act within a prescribed period after service of a document upon the party, and the document is served on the party by first class mail or certified mail, 5 days shall be added to the prescribed period.
(a) General. An application for an order or ruling not otherwise specifically provided for in this part shall be by motion. Unless otherwise ordered by the agency, the filing of a motion will not stay the date that any action is permitted or required by this part.
(b) Form and contents. Unless made during a hearing, motions shall be made in writing, shall state with particularity the relief sought and the grounds for the relief sought, and shall be accompanied by affidavits or other evidence relied upon. Motions introduced during hearings may be made orally on the record, unless the hearing officer directs otherwise.
(c) Answers to motions. Except as otherwise provided in this part, or except when a motion is made during a hearing, any party may file an answer in support of or in opposition to a motion, accompanied by affidavits or other evidence relied upon, provided that the answer to the motion is filed within 10 days after the motion has been served upon the person answering, or any other period set by the hearing officer. Where a motion is made during a hearing, the answer and the ruling thereon may be made at the hearing, or orally or in writing within the time set by the hearing officer.
(d) Deferred actions on motions. A ruling on a motion made before the time set for the issuance of the Director's Determination may be deferred to and included with the Director's Determination.
(e) Extension by motion. A party shall file a written motion for an extension of time not later than 3 business days before the document is due unless good cause for the late filing is shown. A party filing a motion for extension should attempt to obtain the concurrence of the opposing party. A party filing a written motion for an extension of time shall file the motion as required under § 16.13, and serve a copy of the motion on all parties and the docket clerk as required under § 16.15.
(a) Except for those persons filing under 49 CFR 26.105(c), prior to filing a complaint under this part, a person directly and substantially affected by the alleged noncompliance shall initiate and engage in good faith efforts to resolve the disputed matter informally with those individuals or entities believed responsible for the noncompliance. These efforts at informal resolution may include, without limitation, at the parties' expense, mediation, arbitration, or the use of a dispute resolution board, or other form of third party assistance. The FAA Airports District Office, FAA Airports Field Office, FAA Regional Airports Division responsible for administering financial assistance to the sponsor, or the FAA Office of Civil Rights will be available upon request to assist the parties with informal resolution.
(b) Except for complaints filed under 49 CFR 26.105(c), a complaint will be dismissed under § 16.27 unless the person or authorized representative filing the complaint certifies that:
(1) The complainant has made substantial and reasonable good faith efforts to resolve the disputed matter informally prior to filing the complaint; and
(2) There is no reasonable prospect for practical and timely resolution of the dispute.
(c) The certification required under paragraph (b) of this section, shall include a brief description of the party's efforts to obtain informal resolution but shall not include information on monetary or other settlement offers made but not agreed upon in writing by all parties. Such efforts to resolve informally should be relatively recent and be demonstrated by pertinent documentation. There is no required form or process for informal resolution, but in each case the requirements to resolve the matter informally must meet the requirements of this paragraph.
(a) A person directly and substantially affected by any alleged noncompliance or a person qualified under 49 CFR 26.105(c) may file a complaint under this part. A person doing business with an airport and paying fees or rentals to the airport shall be considered directly and substantially affected by alleged revenue diversion as defined in 49 U.S.C. 47107(b).
(b) Complaints filed under this part shall—
(1) State the name and address of each person who is the subject of the complaint and, with respect to each person, the specific provisions of each Act that the complainant believes were violated;
(2) Include all documents then available in the exercise of reasonable diligence, to be offered in support of the complaint, and to be served upon all persons named in the complaint as persons responsible for the alleged action(s) or omission(s) upon which the complaint is based;
(3) Provide a concise but complete statement of the facts relied upon to substantiate each allegation; and
(4) Except for complaints filed under 49 CFR 26.105(c), describe how the complainant was directly and substantially affected by the things done or omitted to be done by the respondents.
(c) Unless the complaint is dismissed pursuant to § 16.25 or § 16.27, the FAA notifies the complainant and respondent in writing within 20 days after the date the FAA receives the complaint that the complaint has been docketed.
(d) The respondent shall file an answer within 20 days of the date of service of the FAA notification or, if a motion is filed under § 16.26, within 20 days of the date of service of an FAA order denying all or part of that motion.
(e) The complainant may file a reply within 10 days of the date of service of the answer.
(f) The respondent may file a rebuttal within 10 days of the date of service of the complainant's reply.
(g) The answer, reply, and rebuttal shall, like the complaint, be accompanied by supporting documentation upon which the parties rely.
(h) The answer shall deny or admit the allegations made in the complaint or state that the person filing the document is without sufficient knowledge or information to admit or deny an allegation, and shall assert any affirmative defense.
(i) The answer, reply, and rebuttal shall each contain a concise but complete statement of the facts relied upon to substantiate the answers, admissions, denials, or averments made.
(j) Amendments or supplements to the pleadings described in this section will not be allowed without showing good cause through a motion and supporting documents.
(k) Burden of proof. Except as used in subpart F of this part,
(1) The burden of proof is on the complainant to show noncompliance with an Act or any regulation, order, agreement or document of conveyance issued under the authority of an Act.
(2) Except as otherwise provided by statute or rule, the proponent of a motion, request, or order has the burden of proof.
(3) A party who has asserted an affirmative defense has the burden of proving the affirmative defense.
(l) Except for good cause shown through motion and supporting documents, discovery is not permitted except as provided in §§ 16.213 and 16.215.
(a) Within 20 days after the receipt of the complaint, unless a motion has been filed under § 16.26, the Director will dismiss a complaint, or any claim made in a complaint, with prejudice if:
(1) It appears on its face to be outside the jurisdiction of the Administrator under the Acts listed in § 16.1;
(2) On its face it does not state a claim that warrants an investigation or further action by the FAA; or
(3) The complainant lacks standing to file a complaint under §§ 16.3 and 16.23.
(b) A dismissal under this section will include the reasons for the dismissal.
(a) In lieu of an answer, the respondent may file a motion to dismiss the complaint or a motion for summary judgment on the complaint. The respondent may move for dismissal of the entire complaint or move for dismissal of particular issues from adjudication. The motion must be filed within 20 days after the date of service of the FAA notification of docketing.
(b) Motions to dismiss. (1) A motion to dismiss shall be accompanied by a concise statement of the reasons for seeking dismissal. The respondent must show that the complaint should be dismissed, with prejudice, if:
(i) It appears on its face to be outside the jurisdiction of the Administrator under the Acts listed in § 16.1;
(ii) On its face it does not state a claim that warrants an investigation or further action by the FAA; or
(iii) The complainant lacks standing to file a complaint under §§ 16.3 and 16.23.
(2) A motion to dismiss may seek dismissal of the entire complaint or the dismissal of specified claims in the complaint. A motion to dismiss shall be accompanied by a supporting memorandum of points and authorities.
(3) A complainant may file an answer to the motion to dismiss within 10 days of the date the motion is served on the complainant, or within any other period set by the Director. The answer shall be accompanied by a concise statement of reasons for opposing dismissal, and may be accompanied by affidavits and other documentary evidence in support of that contention.
(4) Within 30 days of the date an answer to a motion to dismiss is due under this section, the Director may issue an order disposing of the motion. If the Director denies the motion to dismiss in whole or in part, or grants the motion in part, then within 20 days of when the order is served on the respondent, the respondent shall file an answer to the complaint.
(5) If the Director does not act on the motion to dismiss within 30 days of the date an answer to a motion is due under this section, the respondent shall file an answer to the complaint within the next 20 days.
(c) Motions for summary judgment. (1) A motion for summary judgment may be based upon the ground that there is no genuine issue of material fact for adjudication and that the complaint, when viewed in the light most favorable to the complainant, should be summarily adjudicated in favor of the respondent as a matter of law. A motion for summary judgment may seek dismissal of the entire complaint or dismissal of specified claims or issues in the complaint.
(2) The motion for summary judgment shall be accompanied by a concise statement of the material facts as to which the respondent contends there is no genuine issue of material fact. The motion may include affidavits and documentary evidence in support of the contention that there is no genuine issue of material fact in dispute.
(3) A complainant may file an answer to the motion for summary judgment within 10 days of the date the motion is served on the complainant, or within any other period set by the Director. The answer shall be accompanied by a concise statement of the material facts as to which the complainant contends there is a genuine issue, and may be accompanied by affidavits and other documentary evidence in support of that contention.
(4) Within 30 days of the date an answer to a motion for summary judgment is due under this section, the Director may issue an order disposing of the motion. If the Director denies the motion in whole or in part, or grants the motion in part, then within 20 days of when the order is served on the respondent, the respondent shall file an answer to the complaint.
(5) If the Director does not act on the motion for summary judgment within 30 days of the date an answer to a motion is due under this section, the respondent shall file an answer to the complaint within the next 20 days.
(a) If a complaint is not dismissed pursuant to § 16.25, but is deficient as to one or more of the requirements set forth in § 16.21 or § 16.23(b), the Director will dismiss the complaint within 20 days after receiving it. Dismissal will be without prejudice to the refiling of the complaint after amendment to correct the deficiencies. The Director's dismissal will include the reasons for the dismissal.
(b) Dismissals under this section are not initial determinations, and appeals from decisions under this section will not be permitted.
(a) If, based on the pleadings, there appears to be a reasonable basis for further investigation, the FAA investigates the subject matter of the complaint.
(b) The investigation may include one or more of the following, at the sole discretion of the FAA:
(1) A review of the written submissions or pleadings of the parties, as supplemented by any informal investigation the FAA considers necessary and by additional information furnished by the parties at FAA request. In rendering its initial determination, the FAA may rely entirely on the complaint and the responsive pleadings provided under this subpart. Each party shall file documents that it considers sufficient to present all relevant facts and argument necessary for the FAA to determine whether the sponsor is in compliance.
(2) Obtaining additional oral and documentary evidence by use of the agency's authority to compel production of such evidence under 49 U.S.C. 40113 and 46104, and 49 U.S.C. 47122. The Administrator's statutory authority to issue compulsory process has been delegated to the Chief Counsel, the Deputy Chief Counsel, the Assistant Chief Counsel for Airports and Environmental Law, and each Assistant Chief Counsel for a region or center.
(3) Conducting or requiring that a sponsor conduct an audit of airport financial records and transactions as provided in 49 U.S.C. 47107 and 47121.
(a) After consideration of the pleadings and other information obtained by the FAA after investigation, the Director will render an initial determination and serve it upon each party within 120 days of the date the last pleading specified in § 16.23 was due.
(b)(1) The Director's Determination shall include findings of fact and conclusions of law, accompanied by explanations and based upon all material issues of fact, credibility of the evidence, law and discretion presented on the record, together with a statement of the reasons therefor.
(2) The Director shall issue a determination or rule in a party's favor only if the determination or ruling is in accordance with law and supported by a preponderance of the reliable, probative, and substantial evidence contained in the record.
(c) A party adversely affected by the Director's Determination may appeal the initial determination as provided in § 16.33. However, if the Director's Determination that is appealed contains a Corrective Action Plan, the Director has the discretion to suspend the Corrective Action Plan until the appeal is resolved.
(d) If the Director's Determination finds the respondent in noncompliance and proposes the issuance of a compliance order, the initial determination will include notice of opportunity for a hearing under subpart F of this part if a hearing is required by statute or otherwise provided by the FAA. A hearing may be required by statute if the FAA determination would terminate eligibility for grants under 49 U.S.C. 47114(c) or (e), or terminate payments on a grant agreement under 49 U.S.C. subchapter 471. The respondent may elect or waive a hearing, as provided in subpart E of this part.
(e) The Director will not consider requests for rehearing, reargument, reconsideration, or modification of a Director's Determination without a finding of good cause.
(a) The Associate Administrator may transfer to the FAA Assistant Administrator for Civil Rights the responsibility to prepare and issue Final Agency Decisions pursuant to this section for appeals with issues concerning civil rights.
(b) The Associate Administrator will issue a final decision on appeal from the Director's Determination, without a hearing, where—
(1) The complaint is dismissed after investigation;
(2) A hearing is not required by statute and is not otherwise made available by the FAA; or
(3) The FAA provides opportunity for a hearing to the respondent and the respondent waives the opportunity for a hearing as provided in subpart E of this part.
(c) In the cases described in paragraph (b) of this section, within 30 days after the date of service of the initial determination, a party adversely affected by the Director's Determination may file in accordance with § 16.13 and serve in accordance with § 16.15 a simultaneous Notice of Appeal and Brief.
(d) A reply to an appeal brief may be filed within 20 days after the date of service of the appeal.
(e) On appeal, the Associate Administrator will consider the issues addressed in any order on a motion to dismiss or motion for summary judgment and any issues accepted in the Director's Determination using the following analysis:
(1) Are the findings of fact each supported by a preponderance of reliable, probative, and substantial evidence contained in the record?
(2) Are conclusions made in accordance with law, precedent and policy?
(3) Are the questions on appeal substantial?
(4) Have any prejudicial errors occurred?
(f) Any new issues or evidence presented in an appeal or reply will not be considered unless accompanied by a petition and good cause found as to why the new issue or evidence was not presented to the Director. Such a petition must:
(1) Set forth the new matter;
(2) Contain affidavits of prospective witnesses, authenticated documents, or both, or an explanation of why such substantiation is unavailable; and
(3) Contain a statement explaining why such new issue or evidence could not have been discovered in the exercise of due diligence prior to the date on which the evidentiary record closed.
(g) The Associate Administrator will issue a final decision and order within 60 days after the due date of the reply.
(h) If no appeal is filed within the time period specified in paragraph (c) of this section, the Director's Determination becomes the final decision and order of the FAA without further action. A Director's Determination that becomes final, because there is no administrative appeal, is not judicially reviewable.
(i) No requests for rehearing, reargument, reconsideration, or modification of a final order will be considered without a finding of good cause.
(a) The parties may agree at any time before the issuance of a final agency decision to dispose of the case by proposing a consent order. Good faith efforts to resolve a complaint through issuance of a consent order may continue throughout the administrative process. However, except as provided in § 16.11(a), such efforts may not serve as the basis for extensions of the times set forth in this part.
(b) A proposal for a consent order, specified in paragraph (a) of this section, shall include:
(1) A proposed consent order;
(2) An admission of all jurisdictional facts; and
(3) An express waiver of the right to further procedural steps and of all rights of judicial review.
(c) If the parties agree to dispose of a case by issuance of a consent order before the FAA issues a Director's Determination, the proposal for a consent order is submitted jointly by the parties to the Director, together with a request to adopt the consent order and dismiss the case. The Director may issue the consent order as an order of the FAA and terminate the proceeding.
The FAA may initiate its own investigation of any matter within the applicability of this part without having received a complaint. The investigation may include, without limitation, any of the actions described in § 16.29(b).
Following the initiation of an investigation under § 16.101, the FAA sends a notice to the person(s) subject to investigation. The notice will set forth the areas of the agency's concern and the reasons therefor; request a response to the notice within 30 days of the date of service; and inform the respondent that the FAA will, in its discretion, invite good faith efforts to resolve the matter.
If the matters addressed in the FAA notices are not resolved informally, the FAA may issue a Director's Determination under § 16.31.
(a) The agency will provide the opportunity for a hearing if, in the Director's determination, the agency issues or proposes to issue an order terminating eligibility for grants pursuant to 49 U.S.C. 47106(d), an order suspending the payment of grant funds pursuant to 49 U.S.C. 47111(d); an order withholding approval of any new application to impose a passenger facility charge pursuant to 49 U.S.C. 47111(e); a cease and desist order; an order directing the refund of fees unlawfully collected; or any other compliance order issued by the Administrator to carry out the provisions of the Acts, and required to be issued after notice and opportunity for a hearing. In cases in which a hearing is not required by statute, the FAA may provide opportunity for a hearing at its discretion.
(b) In a case in which the agency provides the opportunity for a hearing, the Director's Determination issued under § 16.31 will include a statement of the availability of a hearing under subpart F of this part.
(1) Within 20 days after service of a Director's Determination under § 16.31 that provides an opportunity for a hearing a person subject to the proposed compliance order may—
(i) Request a hearing under subpart F of this part;
(ii) Waive hearing and appeal the Director's Determination in writing, as provided in § 16.33;
(iii) File, jointly with a complainant, a motion to withdraw the complaint and to dismiss the proposed compliance action; or
(iv) Submit, jointly with the agency, a proposed consent order under § 16.34(c).
(2) If the respondent fails to file an appeal in writing within the time periods provided in paragraph (c) of this section, the Director's Determination becomes final.
(c) The Director may either direct the respondent to submit a Corrective Action Plan or initiate proceedings to revoke and/or deny the respondent's application for Airport Improvement Program discretionary grants under 49 U.S.C. 47115 and general aviation airport grants under 49 U.S.C. 47114(d) when a Director's Determination finds a respondent in noncompliance and does not provide for a hearing.
(d) In the event that the respondent fails to submit, in accordance with a Director's Determination, a Corrective Action Plan acceptable to the FAA within the time provided, unless extended by the FAA for good cause, and/or if the respondent fails to complete the Corrective Action Plan as specified therein, the Director may initiate action to revoke and/or deny applications for Airport Improvement Program discretionary grants under 49 U.S.C. 47115 and general aviation airport grants under 49 U.S.C. 47114(d).
(e) For those violations that cannot be remedied through corrective action, the Director may initiate action to revoke and/or deny the respondent's applications for Airport Improvement Program discretionary grants under 49 U.S.C. 47115 and general aviation airport grants under 49 U.S.C. 47114(d).
(f) When the Director concludes that the respondent has fully complied with the Corrective Action Plan and/or when the Director determines that the respondent has corrected the areas of noncompliance, the Director will terminate the proceeding.
(g) A complainant's standing terminates upon the issuance of a Director's Determination that finds a respondent in noncompliance on all identified issues. The complainant may not appeal the Director's Determination if the Director finds noncompliance on all identified issues.
(a) If a respondent is provided the opportunity for hearing in an initial determination and does not waive hearing, the Deputy Chief Counsel within 10 days after the respondent elects a hearing will issue and serve on the respondent and complainant a hearing order. The hearing order will set forth:
(1) The allegations in the complaint, or notice of investigation, and the chronology and results of the investigation preliminary to the hearing;
(2) The relevant statutory, judicial, regulatory, and other authorities;
(3) The issues to be decided;
(4) Such rules of procedure as may be necessary to supplement the provisions of this part;
(5) The name and address of the person designated as hearing officer, and the assignment of authority to the hearing officer to conduct the hearing in accordance with the procedures set forth in this part; and
(6) The date by which the hearing officer is directed to issue an initial decision.
(b) Where there are no genuine issues of material fact requiring oral examination of witnesses, the hearing order may contain a direction to the hearing officer to conduct a hearing by submission of briefs and oral argument without the presentation of testimony or other evidence.
In accordance with the rules of this subpart, a hearing officer may:
(a) Give notice of, and hold, prehearing conferences and hearings;
(b) Administer oaths and affirmations;
(c) Issue subpoenas authorized by law and issue notices of deposition requested by the parties;
(d) Limit the frequency and extent of discovery;
(e) Rule on offers of proof;
(f) Receive relevant and material evidence;
(g) Regulate the course of the hearing in accordance with the rules of this part to avoid unnecessary and duplicative proceedings in the interest of prompt and fair resolution of the matters at issue;
(h) Hold conferences to settle or to simplify the issues by consent of the parties;
(i) Dispose of procedural motions and requests;
(j) Examine witnesses; and
(k) Make findings of fact and conclusions of law, and issue an initial decision.
(a) Appearances. Any party may appear and be heard in person.
(1) Any party may be accompanied, represented, or advised by an attorney licensed by a State, the District of Columbia, or a territory of the United States to practice law or appear before the courts of that State or territory, or by another person authorized by the hearing officer to be the party's representative.
(2) An attorney, or other duly authorized representative, who represents a party shall file a notice of appearance in accordance with § 16.13.
(b) Parties and agency participation. (1) The parties to the hearing are the complainant(s) and respondent(s) named in the hearing order, and the agency. The style of any pleadings filed under this Subpart shall name the respondent as the Appellant, and the Federal Aviation Administration as the Agency.
(2) Unless otherwise specified in the hearing order, the agency attorney will serve as prosecutor for the agency from the date of issuance of the Director's Determination providing an opportunity for hearing.
(a) Intervention and participation by other persons are permitted only at the hearing stage of the complaint process and with the written approval of the hearing officer.
(b) A person may submit a written motion for leave to intervene as a party. Except for good cause shown, a motion for leave to intervene shall be submitted not later than 10 days after the notice of hearing and hearing order.
(c) If the hearing officer finds that intervention will not unduly broaden the issues or delay the proceedings and, if the person has an interest that will benefit the proceedings, the hearing officer may grant a motion for leave to intervene. The hearing officer may determine the extent to which an intervenor may participate in the proceedings.
(d) Other persons may petition the hearing officer for leave to participate in the hearing. Participation is limited to the filing of a posthearing brief and reply to the hearing officer and the Associate Administrator. Such a brief shall be filed and served on all parties in the same manner as the parties' posthearing briefs are filed.
(e) Participation under this section is at the discretion of the hearing officer, and no decision permitting participation shall be deemed to constitute an expression that the participant has such a substantial interest in the proceeding as would entitle it to judicial review of such decision.
(a) Extension by oral agreement. The parties may agree to extend for a reasonable period of time for filing a document under this part. If the parties agree, the hearing officer shall grant one extension of time to each party. The party seeking the extension of time shall submit a draft order to the hearing officer to be signed by the hearing officer and filed with the hearing docket. The hearing officer may grant additional oral requests for an extension of time where the parties agree to the extension.
(b) Extension by motion. A party shall file a written motion for an extension of time with the hearing officer not later than 7 days before the document is due unless good cause for the late filing is shown. A party filing a written motion for an extension of time shall serve a copy of the motion on each party.
(c) Failure to rule. If the hearing officer fails to rule on a written motion for an extension of time by the date the document was due, the motion for an extension of time is deemed denied.
(d) Effect on time limits. In a hearing required by section 519(b) of the Airport and Airways Improvement Act, as amended in 1987, 49 U.S.C. 47106(e) and 47111(d), the due date for the hearing officer's initial decision and for the final agency decision are extended by the length of the extension granted by the hearing officer only if the hearing officer grants an extension of time as a result of an agreement by the parties as specified in paragraph (a) of this section or, if the hearing officer grants an extension of time as a result of the sponsor's failure to adhere to the hearing schedule. In any other hearing, an extension of time granted by the hearing officer for any reason extends the due date for the hearing officer's initial decision and for the final agency decision by the length of time of the hearing officer's decision.
(a) Prehearing conference notice. The hearing officer schedules a prehearing conference and serves a prehearing conference notice on the parties promptly after being designated as a hearing officer.
(1) The prehearing conference notice specifies the date, time, place, and manner (in person or by telephone) of the prehearing conference.
(2) The prehearing conference notice may direct the parties to exchange proposed witness lists, requests for evidence and the production of documents in the possession of another party, responses to interrogatories, admissions, proposed procedural schedules, and proposed stipulations before the date of the prehearing conference.
(b) The prehearing conference. The prehearing conference is conducted by telephone or in person, at the hearing officer's discretion. The prehearing conference addresses matters raised in the prehearing conference notice and such other matters as the hearing officer determines will assist in a prompt, full and fair hearing of the issues.
(c) Prehearing conference report. At the close of the prehearing conference, the hearing officer rules on any requests for evidence and the production of documents in the possession of other parties, responses to interrogatories, and admissions; on any requests for depositions; on any proposed stipulations; and on any pending applications for subpoenas as permitted by § 16.219. In addition, the hearing officer establishes the schedule, which shall provide for the issuance of an initial decision not later than 110 days after issuance of the Director's Determination order unless otherwise provided in the hearing order.
(a) Discovery is limited to requests for admissions, requests for production of documents, interrogatories, and depositions as authorized by § 16.215.
(b) The hearing officer shall limit the frequency and extent of discovery permitted by this section if a party shows that—
(1) The information requested is cumulative or repetitious;
(2) The information requested may be obtained from another less burdensome and more convenient source;
(3) The party requesting the information has had ample opportunity to obtain the information through other discovery methods permitted under this section; or
(4) The method or scope of discovery requested by the party is unduly burdensome or expensive.
(a) General. For good cause shown, the hearing officer may order that the testimony of a witness may be taken by deposition and that the witness produce documentary evidence in connection with such testimony. Generally, an order to take the deposition of a witness is entered only if:
(1) The person whose deposition is to be taken would be unavailable at the hearing;
(2) The deposition is deemed necessary to perpetuate the testimony of the witness; or
(3) The taking of the deposition is necessary to prevent undue and excessive expense to a party and will not result in undue burden to other parties or in undue delay.
(b) Application for deposition. Any party desiring to take the deposition of a witness shall make application therefor to the hearing officer in writing, with a copy of the application served on each party. The application shall include:
(1) The name and residence of the witness;
(2) The time and place for the taking of the proposed deposition;
(3) The reasons why such deposition should be taken; and
(4) A general description of the matters concerning which the witness will be asked to testify.
(c) Order authorizing deposition. If good cause is shown, the hearing officer, in his or her discretion, issues an order authorizing the deposition and specifying the name of the witness to be deposed, the location and time of the deposition and the general scope and subject matter of the testimony to be taken.
(d) Procedures for deposition. (1) Witnesses whose testimony is taken by deposition shall be sworn or shall affirm before any questions are put to them. Each question propounded shall be recorded and the answers of the witness transcribed verbatim.
(2) Objections to questions or evidence shall be recorded in the transcript of the deposition. The interposing of an objection shall not relieve the witness of the obligation to answer questions, except where the answer would violate a privilege.
(3) The written transcript shall be subscribed by the witness, unless the parties by stipulation waive the signing, or the witness is ill, cannot be found, or refuses to sign. The reporter shall note the reason for failure to sign.
(e) Depositions of agency employees. (1) Depositions of Agency Employees will not be allowed except under the provisions of 49 CFR part 9.
(2) Such depositions will be allowed only with the specific written permission of the Chief Counsel or his or her designee.
(a) Each party may designate as a witness any person who is able and willing to give testimony that is relevant and material to the issues in the hearing case, subject to the limitation set forth in paragraph (b) of this section.
(b) The hearing officer may exclude testimony of witnesses that would be irrelevant, immaterial, or unduly repetitious.
(c) Any witness may be accompanied by counsel. Counsel representing a nonparty witness has no right to examine the witness or otherwise participate in the development of testimony.
(a) Request for subpoena. A party may apply to the hearing officer, within the time specified for such applications in the prehearing conference report, for a subpoena to compel testimony at a hearing or to require the production of documents only from the following persons:
(1) Another party;
(2) An officer, employee, or agent of another party;
(3) Any other person named in the complaint as participating in or benefiting from the actions of the respondent alleged to have violated any Act;
(4) An officer, employee, or agent of any other person named in the complaint as participating in or benefiting from the actions of the respondent alleged to have violated any Act.
(b) Issuance and service of subpoena. (1) The hearing officer issues the subpoena if the hearing officer determines that the evidence to be obtained by the subpoena is relevant and material to the resolution of the issues in the case.
(2) Subpoenas shall be served by personal service, or upon an agent designated in writing for the purpose, or by certified mail, return receipt addressed to such person or agent. Whenever service is made by registered or certified mail, the date of mailing shall be considered as the time when service is made.
(3) A subpoena issued under this part is effective throughout the United States or any territory or possession thereof.
(c) Motions to quash or modify subpoena. (1) A party or any person upon whom a subpoena has been served may file a motion to quash or modify the subpoena with the hearing officer at or before the time specified in the subpoena for the filing of such motions. The applicant shall describe in detail the basis for the application to quash or modify the subpoena including, but not limited to, a statement that the testimony, document, or tangible evidence is not relevant to the proceeding, that the subpoena is not reasonably tailored to the scope of the proceeding, or that the subpoena is unreasonable and oppressive.
(2) A motion to quash or modify the subpoena stays the effect of the subpoena pending a decision by the hearing officer on the motion.
(a) The party on whose behalf a witness appears is responsible for paying any witness fees and mileage expenses.
(b) Except for employees of the United States summoned to testify as to matters related to their public employment, witnesses summoned by subpoena shall be paid the same fees and mileage expenses as are paid to a witness in a court of the United States in comparable circumstances.
(a) General. A party may submit direct and rebuttal evidence in accordance with this section.
(b) Requirement for written testimony and evidence. Except in the case of evidence obtained by subpoena, or in the case of a special ruling by the hearing officer to admit oral testimony, a party's direct and rebuttal evidence shall be submitted in written form in advance of the oral hearing pursuant to the schedule established in the hearing officer's prehearing conference report. Written direct and rebuttal fact testimony shall be certified by the witness as true and correct. Subject to the same exception (for evidence obtained by subpoena or subject to a special ruling by the hearing officer), oral examination of a party's own witness is limited to certification of the accuracy of written evidence, including correction and updating, if necessary, and reexamination following cross-examination by other parties.
(c) Subpoenaed testimony. Testimony of witnesses appearing under subpoena may be obtained orally.
(d) Cross-examination. A party may conduct cross-examination that may be required for disclosure of the facts, subject to control by the hearing officer for fairness, expedition and exclusion of extraneous matters.
(e) Hearsay evidence. Hearsay evidence is admissible in proceedings governed by this part. The fact that evidence is hearsay goes to the weight of evidence and does not affect its admissibility.
(f) Admission of evidence. The hearing officer admits evidence introduced by a party in support of its case in accordance with this section, but may exclude irrelevant, immaterial, or unduly repetitious evidence.
(g) Expert or opinion witnesses. An employee of the FAA or DOT may not be called as an expert or opinion witness for any party other than the agency except as provided in Department of Transportation regulations at 49 CFR part 9.
(a) Except as provided in this section, the hearing shall be open to the public.
(b) The hearing officer may order that any information contained in the record be withheld from public disclosure. Any person may object to disclosure of information in the record by filing a written motion to withhold specific information with the hearing officer. The person shall state specific grounds for nondisclosure in the motion.
(c) The hearing officer shall grant the motion to withhold information from public disclosure if the hearing officer determines that disclosure would be in violation of the Privacy Act, would reveal trade secrets or privileged or confidential commercial or financial information, or is otherwise prohibited by law.
The hearing officer shall issue an initial decision or rule in a party's favor only if the decision or ruling is in accordance with law and supported by a preponderance of the reliable, probative, and substantial evidence contained in the record.
As used in this subpart, the burden of proof is as follows:
(a) The burden of proof of noncompliance with an Act or any regulation, order, agreement or document of conveyance issued under the authority of an Act is on the agency.
(b) Except as otherwise provided by statute or rule, the proponent of a motion, request, or order has the burden of proof.
(c) A party who has asserted an affirmative defense has the burden of proving the affirmative defense.
A party whose evidence has been excluded by a ruling of the hearing officer may offer the evidence on the record when filing an appeal.
(a) Exclusive record. The transcript of all testimony in the hearing, all exhibits received into evidence, all motions, applications requests and rulings, all documents included in the hearing record and the Director's Determination shall constitute the exclusive record for decision in the proceedings and the basis for the issuance of any orders.
(b) Examination and copy of record. A copy of the record will be filed by the FAA Part 16 Docket Clerk in the Federal Docket Management System (FDMS). Any person desiring to review the record may then do so at http://www.regulations.gov.
(a) Argument during the hearing. During the hearing, the hearing officer shall give the parties reasonable opportunity to present oral argument on the record supporting or opposing motions, objections, and rulings if the parties request an opportunity for argument. The hearing officer may direct written argument during the hearing if the hearing officer finds that submission of written arguments would not delay the hearing.
(b) Posthearing briefs. The hearing officer may request or permit the parties to submit posthearing briefs. The hearing officer may provide for the filing of simultaneous reply briefs as well, if such filing will not unduly delay the issuance of the hearing officer's initial decision. Posthearing briefs shall include proposed findings of fact and conclusions of law; exceptions to rulings of the hearing officer; references to the record in support of the findings of fact; and supporting arguments for the proposed findings, proposed conclusions, and exceptions.
(a) The hearing officer shall waive such procedural steps as all parties to the hearing agree to waive before issuance of an initial decision.
(b) Consent to a waiver of any procedural step bars the raising of this issue on appeal.
(c) The parties may not by consent waive the obligation of the hearing officer to enter an initial decision on the record.
(a) The hearing officer shall issue an initial decision based on the record developed during the proceeding and shall send the initial decision to the parties not later than 110 days after the Director's Determination unless otherwise provided in the hearing order.
(b) Each party adversely affected by the hearing officer's initial decision may file an appeal with the Associate Administrator within 15 days of the date the initial decision is issued. Each party may file a reply to an appeal within 10 days after it is served on the party. Filing and service of appeals and replies shall be by personal delivery.
(c) If an appeal is filed, the Associate Administrator reviews the entire record and issues a final agency decision and order within 60 days of the due date of the reply. If no appeal is filed, the Associate Administrator may take review of the case on his or her own motion. If the Associate Administrator finds that the respondent is not in compliance with any Act or any regulation, agreement, or document of conveyance issued or made under such Act, the final agency order includes, in accordance with § 16.245(d), a statement of corrective action, if appropriate, and identifies sanctions for continued noncompliance.
(d) If no appeal is filed, and the Associate Administrator does not take review of the initial decision on the Associate Administrator's own motion, the initial decision shall take effect as the final agency decision and order on the sixteenth day after the actual date the initial decision is issued.
(e) The failure to file an appeal is deemed a waiver of any rights to seek judicial review of an initial decision that becomes a final agency decision by operation of paragraph (d) of this section.
(a) The agency attorney and the respondents may agree at any time before the issuance of a final decision and order to dispose of the case by issuance of a consent order. Good faith efforts to resolve a complaint through issuance of a consent order may continue throughout the administrative process. Except as provided in § 16.209, such efforts may not serve as the basis for extensions of the times set forth in this part.
(b) A proposal for a consent order, specified in paragraph (a) of this section, shall include:
(1) A proposed consent order;
(2) An admission of all jurisdictional facts;
(3) An express waiver of the right to further procedural steps and of all rights of judicial review; and
(4) The hearing order, if issued, and an acknowledgment that the hearing order may be used to construe the terms of the consent order.
(c) If the issuance of a consent order has been agreed upon by all parties to the hearing, the proposed consent order shall be filed with the hearing officer, along with a draft order adopting the consent decree and dismissing the case, for the hearing officer's adoption.
(d) The deadline for the hearing officer's initial decision and the final agency decision is extended by the amount of days elapsed between the filing of the proposed consent order with the hearing officer and the issuance of the hearing officer's order continuing the hearing.
(e) If the agency attorney and sponsor agree to dispose of a case by issuance of a consent order before the FAA issues a hearing order, the proposal for a consent order is submitted jointly to the official authorized to issue a hearing order, together with a request to adopt the consent order and dismiss the case. The official authorized to issue the hearing order issues the consent order as an order of the FAA and terminates the proceeding.
(a) The Associate Administrator may transfer to the FAA Assistant Administrator for Civil Rights the authority to prepare and issue Final Agency Decisions pursuant to § 16.241 for appeals from a hearing concerning civil rights issues.
(b) After a hearing is held, and, after considering the issues as set forth in § 16.245(e), if the Associate Administrator determines that the hearing officer's initial decision or order should be changed, the Associate Administrator may:
(1) Make any necessary findings and issue an order in lieu of the hearing officer's initial decision or order, or
(2) Remand the proceeding for any such purpose as the Associate Administrator may deem necessary.
(c) If the Associate Administrator takes review of the hearing officer's initial decision on the Associate Administrator's own motion, the Associate Administrator will issue a notice of review within 20 days of the actual date the initial decision is issued.
(1) The notice sets forth the specific findings of fact and conclusions of law in the initial decision that are subject to review by the Associate Administrator.
(2) Parties may file one brief on review to the Associate Administrator or rely on their posthearing brief to the hearing officer. A brief on review shall be filed not later than 10 days after service of the notice of review. Filing and service of a brief on review shall be by personal delivery.
(3) The Associate Administrator issues a final agency decision and order within 30 days of the due date of the brief. If the Associate Administrator finds that the respondent is not in compliance with any Act or any regulation, agreement or document of conveyance issued under such Act, the final agency order includes a statement of corrective action, if appropriate.
(d) When the final agency decision finds a respondent in noncompliance, and where a respondent fails to properly seek judicial review of the final agency decision as set forth in subpart G of this part, the Associate Administrator will issue an order remanding the case to the Director for the following action:
(1) In the event that the respondent fails to submit, in accordance with the final agency decision, a Corrective Action Plan acceptable to the FAA within the time provided, unless extended by the FAA for good cause, and/or if the respondent fails to complete the Corrective Action Plan as specified therein, the Director may initiate action to revoke and/or deny applications for Airport Improvement Program grants issued under 49 U.S.C. 47114(c)-(e) and 47115. When the Director concludes that the respondent has fully complied with the Corrective Action Plan, the Director will issue an Order terminating the proceeding.
(2) For those violations that cannot be remedied through corrective action, the Director may initiate action to revoke and/or deny the respondent's applications for Airport Improvement Program grants issued under 49 U.S.C. 47114(c)-(e) and 47115.
(e) On appeal from a hearing officer's initial decision, the Associate Administrator will consider the following questions:
(1) Are the findings of fact each supported by a preponderance of reliable, probative and substantial evidence?
(2) Are conclusions made in accordance with law, precedent and policy?
(3) Are the questions on appeal substantial?
(4) Have any prejudicial errors occurred?
(f) Any new issues or evidence presented in an appeal or reply will not be allowed unless accompanied by a certified petition and good cause found as to why the new matter was not presented to the Director. Such a petition must:
(1) Set forth the new issues or evidence;
(2) Contain affidavits of prospective witnesses, authenticated documents, or both, or an explanation of why such substantiation is unavailable; and
(3) Contain a statement explaining why such new matter could not have been discovered in the exercise of due diligence prior to the date on which the evidentiary record closed.
(g) A Final Agency Decision may be appealed in accordance with subpart G of this part.
(a) A person may seek judicial review, in a United States Court of Appeals, of a final decision and order of the Associate Administrator, and of an order of dismissal with prejudice issued by the Director, as provided in 49 U.S.C. 46110 or 49 U.S.C. 47106(d) and 47111(d). A party seeking judicial review shall file a petition for review with the Court not later than 60 days after the order has been served on the party or within 60 days after the entry of an order under 49 U.S.C. 46110.
(b) The following do not constitute final decisions and orders subject to judicial review:
(1) An FAA decision to dismiss a complaint without prejudice, as set forth in § 16.27;
(2) A Director's Determination;
(3) An initial decision issued by a hearing officer at the conclusion of a hearing;
(4) A Director's Determination or an initial decision of a hearing officer becomes the final decision of the Associate Administrator because it was not appealed within the applicable time periods provided under §§ 16.33(c) and 16.241(b).
(a) The prohibitions of this section shall apply from the time a proceeding is noticed for hearing unless the person responsible for the communication has knowledge that it will be noticed, in which case the prohibitions shall apply at the time of the acquisition of such knowledge.
(b) Except to the extent required for the disposition of ex parte matters as authorized by law:
(1) No interested person outside the FAA and no FAA employee participating as a party shall make or knowingly cause to be made to any decisional employee an ex parte communication relevant to the merits of the proceeding;
(2) No FAA employee shall make or knowingly cause to be made to any interested person outside the FAA an ex parte communication relevant to the merits of the proceeding; or
(3) Ex parte communications regarding solely matters of agency procedure or practice are not prohibited by this section.
A decisional employee who receives or who makes or knowingly causes to be made a communication prohibited by § 16.303 shall place in the public record of the proceeding:
(a) All such written communications;
(b) Memoranda stating the substance of all such oral communications; and
(c) All written responses, and memoranda stating the substance of all oral responses, to the materials described in paragraphs (a) and (b) of this section.
(a) Upon receipt of a communication knowingly made or knowingly caused to be made by a party in violation of § 16.303, the Associate Administrator or his designee or the hearing officer may, to the extent consistent with the interests of justice and the policy of the underlying statutes, require the party to show cause why his or her claim or interest in the proceeding should not be dismissed, denied, disregarded, or otherwise adversely affected on account of such violation.
(b) The Associate Administrator may, to the extent consistent with the interests of justice and the policy of the underlying statutes administered by the FAA, consider a violation of this subpart sufficient grounds for a decision adverse to a party who has knowingly committed such violation or knowingly caused such violation to occur.
This part applies to all Acquisition Management System (AMS) bid protests and contract disputes involving the FAA that are filed at the Office of Dispute Resolution for Acquisition (ODRA) on or after October 7, 2011, with the exception of those contract disputes arising under or related to FAA contracts entered into prior to April 1, 1996, where such contracts have not been modified to be made subject to the FAA AMS. This part also applies to pre-disputes as described in subpart G of this part.
(a) Accrual means to come into existence as a legally enforceable claim.
(b) Accrual of a contract claim means that all events relating to a claim have occurred, which fix liability of either the government or the contractor and permit assertion of the claim, regardless of when the claimant actually discovered those events. For liability to be fixed, some injury must have occurred. Monetary damages need not have been incurred, but if the claim is for money, such damages must be capable of reasonable estimation. The accrual of a claim or the running of the limitations period may be tolled on equitable grounds, including but not limited to active concealment, fraud, or if the facts were inherently unknowable.
(c) Acquisition Management System (AMS) establishes the policies, guiding principles, and internal procedures for the FAA's acquisition system.
(d) Adjudicative Process is an administrative adjudicatory process used to decide protests and contract disputes where the parties have not achieved resolution through informal communication or the use of ADR. The Adjudicative Process is conducted by a Dispute Resolution Officer (DRO) or Special Master selected by the ODRA Director to preside over the case in accordance with Public Law 108-176, Section 224, Codified at 49 U.S.C. 40110(d)(4).
(e) Administrator means the Administrator of the Federal Aviation Administration.
(f) Alternative Dispute Resolution (ADR) is the primary means of voluntary dispute resolution that is employed by the ODRA. See Appendix A of this part.
(g) Compensated Neutral refers to an impartial third party chosen by the parties to act as a facilitator, mediator, or arbitrator functioning to resolve the protest or contract dispute under the auspices of the ODRA. The parties pay equally for the services of a compensated neutral, unless otherwise agreed to by the parties. An ODRA DRO or neutral cannot be a compensated neutral.
(h) Contract Dispute, as used in this part, means a written request to the ODRA seeking, as a matter of right under an FAA contract subject to the AMS, the payment of money in a sum certain, the adjustment or interpretation of contract terms, or for other relief arising under, relating to, or involving an alleged breach of that contract. A contract dispute does not require, as a prerequisite, the issuance of a Contracting Officer final decision. Contract disputes, for purposes of ADR only, may also involve contracts not subject to the AMS.
(i) Counsel refers to a Legal Representative who is an attorney licensed by a State, the District of Columbia, or a territory of the United States to practice law or appear before the courts of that State or territory.
(j) Contractor is a party in contractual privity with the FAA and responsible for performance of a contract's requirements.
(k) Discovery is the procedure whereby opposing parties in a protest or contract dispute may, either voluntarily or to the extent ordered by the ODRA, obtain testimony from, or documents and information held by, other parties or non-parties.
(l) Dispute Resolution Officer (DRO) is an attorney and member of the ODRA staff. The term DRO can include the Director of the ODRA.
(m) Interested party, in the context of a bid protest, is one whose direct economic interest has been or would be affected by the award or failure to award an FAA contract. Proposed subcontractors are not “interested parties” within this definition and are not eligible to submit protests to the ODRA. Subcontractors not in privity with the FAA are not interested parties in the context of a contract dispute.
(n) Intervenor is an interested party other than the protester whose participation in a protest is allowed by the ODRA. For a post-award protest, the awardee of the contract that is the subject of the protest will be allowed, upon timely request, to participate as an intervenor in the protest. In such a protest, no other interested parties will be allowed to participate as intervenors.
(o) Legal Representative is an individual(s) designated to act on behalf of a party in matters before the ODRA. Unless otherwise provided under §§ 17.15(c)(2), 17.27(a)(1), or 17.59(a)(6), a Notice of Appearance must be filed with the ODRA containing the name, address, telephone and facsimile (Fax) numbers of a party's legal representative.
(p) Neutral refers to an impartial third party in the ADR process chosen by the parties to act as a facilitator, mediator, arbitrator, or otherwise to aid the parties in resolving a protest or contract dispute. A neutral can be a DRO or a person not an employee of the ODRA.
(q) ODRA is the FAA's exclusive forum acting on behalf of the Administrator, pursuant to the statutory authority granted by Public Law 108-176, Section 224, to provide dispute resolution services and to adjudicate matters within its jurisdiction. The ODRA may also provide non-binding dispute resolution services in matters outside of its jurisdiction where mutually requested to do so by the parties involved.
(r) Parties include the protester(s) or the contractor, the FAA, and any intervenor(s).
(s) Pre-Disputes mean an issue(s) in controversy concerning an FAA contract or solicitation that, by mutual agreement of the parties, is filed with the ODRA. See subpart G of this part.
(t) Product Team, as used in these rules, refers to the FAA organization(s) responsible for the procurement or contracting activity, without regard to funding source, and includes the Contracting Officer (CO). The Product Team, acting through assigned FAA counsel, is responsible for all communications with and submissions to the ODRA in pending matters.
(u) Screening Information Request (SIR or Solicitation) means a request by the FAA for documentation, information, presentations, proposals, or binding offers concerning an approach to meeting potential acquisition requirements established by the FAA.
(v) A Special Master is a non-FAA attorney or judge who has been assigned by the ODRA to act as its finder of fact, and to make findings and recommendations based upon AMS policy and applicable law and authorities in the Adjudicative Process.
(a) The authority of the Administrator to conduct dispute resolution and adjudicative proceedings concerning acquisition matters is delegated to the Director of the ODRA.
(b) The Director of the ODRA may redelegate to Special Masters and DROs such delegated authority in paragraph (a) of this section as deemed necessary by the Director for efficient resolution of an assigned protest or contract dispute, including the imposition of sanctions for the filing of frivolous pleadings, making false statements, or other disciplinary actions. See subpart F of this part.
(a) Filing of a protest or contract dispute may be accomplished by overnight delivery, by hand delivery, by Fax, or, if permitted by Order of the ODRA, by electronic filing. A protest or contract dispute is considered to be filed on the date it is received by the ODRA during normal business hours. The ODRA's normal business hours are from 8:30 a.m. to 5 p.m. Eastern Time. A protest or contract dispute received after the time period prescribed for filing shall not be considered timely filed. Service shall also be made on the Contracting Officer (CO) pursuant to §§ 17.15(e) and 17.27(d).
(b) Submissions to the ODRA after the initial filing of a protest or contract dispute may be accomplished by any means available in paragraph (a) of this section. Copies of all such submissions shall be served on the opposing party or parties.
(c) The time limits stated in this part are calculated in business days, which exclude weekends, Federal holidays and other days on which Federal Government offices in Washington, DC are not open. In computing time, the day of the event beginning a period of time shall not be included. If the last day of a period falls on a weekend or a Federal holiday, the first business day following the weekend or holiday shall be considered the last day of the period.
(d) Electronic Filing—Procedures for electronic filing may be utilized where permitted by Order of the ODRA on a case-by-case basis or pursuant to a Standing Order of the ODRA permitting electronic filing.
(a) The ODRA may issue protective orders addressing the treatment of protected information, including protected information in electronic form, either at the request of a party or upon its own initiative. Such information may include proprietary, confidential, or source-selection-sensitive material, or other information the release of which could result in a competitive advantage to one or more firms.
(b) The terms of the ODRA's standard protective order may be altered to suit particular circumstances, by negotiation of the parties, subject to the approval of the ODRA. The protective order establishes procedures for application for access to protected information, identification and safeguarding of that information, and submission of redacted copies of documents omitting protected information.
(c) After a protective order has been issued, counsel or consultants retained by counsel appearing on behalf of a party may apply for access to the material under the order by submitting an application to the ODRA, with copies furnished simultaneously to all parties. The application shall establish that the applicant is not involved in competitive decision-making for any firm that could gain a competitive advantage from access to the protected information and that the applicant will diligently protect any protected information received from inadvertent disclosure. Objections to an applicant's admission shall be raised within two (2) days of the application, although the ODRA may consider objections raised after that time for good cause.
(d) Any violation of the terms of a protective order may result in the imposition of sanctions, including but not limited to removal of the violator from the protective order and reporting of the violator to his or her bar association(s), and the taking of other actions as the ODRA deems appropriate. Additional civil or criminal penalties may apply.
The following matters may not be protested before the ODRA, except for review of compliance with the AMS:
(a) FAA purchases from or through, State, local, and tribal governments and public authorities;
(b) FAA purchases from or through other Federal agencies;
(c) Grants;
(d) Cooperative agreements;
(e) Other transactions.
(a) Protests concerning FAA SIRs, solicitations, or contract awards shall be resolved pursuant to this part.
(b) Potential protestors should, where possible, attempt to resolve any issues concerning potential protests with the CO. Such attempts are not a prerequisite to filing a protest with the ODRA.
(c) Offerors or prospective offerors shall file a protest with the ODRA in accordance with § 17.15. The protest time limitations set forth in § 17.15 will not be extended by attempts to resolve a potential protest with the CO. Other than the time limitations specified in § 17.15 for the filing of protests, the ODRA retains the discretion to modify any timeframes established herein in connection with protests.
(d) In accordance with § 17.17(b), the ODRA shall convene an initial status conference for the purpose of scheduling proceedings in the protest and to encourage the parties to consider using the ODRA's ADR process to attempt to resolve the protest, pursuant to subpart D of this part. It is the Agency's policy to use voluntary ADR to the maximum extent practicable. If the parties elect not to attempt ADR, or if ADR efforts do not completely resolve the protest, the protest will proceed under the ODRA Adjudicative Process set forth in subpart E of this part. Informal ADR techniques may be utilized simultaneously with ongoing adjudication.
(e) The ODRA Director shall designate DROs, outside neutrals or Special Masters as potential neutrals for the resolution of protests through ADR. The ultimate choice of an ADR neutral is made by the parties participating in the ADR. The ODRA Director also shall, at his or her sole discretion, designate an adjudicating DRO or Special Master for each matter. A person serving as a neutral in an ADR effort in a matter, shall not serve as an adjudicating DRO or Special Master for that matter.
(f) Multiple protests concerning the same SIR, solicitation, or contract award may be consolidated at the discretion of the ODRA Director, and assigned to a single DRO or Special Master for adjudication.
(g) Procurement activities, and, where applicable, contractor performance pending resolution of a protest, shall continue during the pendency of a protest, unless there is a compelling reason to suspend all or part of the procurement activities or contractor performance. Pursuant to §§ 17.15(d) and 17.17(a), the ODRA may impose a temporary suspension and recommend suspension of award or contract performance, in whole or in part, for a compelling reason. A decision to suspend procurement activities or contractor performance is made in writing by the Administrator or the Administrator's delegee upon recommendation of the ODRA.
(a) An interested party may initiate a protest by filing with the ODRA in accordance with § 17.7(a) within the timeframes set forth in this Section. Protests that are not timely filed shall be dismissed. The timeframes applicable to the filing of protests are as follows:
(1) Protests based upon alleged SIR or solicitation improprieties that are apparent prior to bid opening or the time set for receipt of initial proposals shall be filed prior to bid opening or the time set for the receipt of initial proposals.
(2) In procurements where proposals are requested, alleged improprieties that do not exist in the initial solicitation, but which are subsequently incorporated into the solicitation, must be protested not later than the next closing time for receipt of proposals following the incorporation.
(3) For protests other than those related to alleged solicitation improprieties, the protest must be filed on the later of the following two dates:
(i) Not later than seven (7) business days after the date the protester knew or should have known of the grounds for the protest; or
(ii) If the protester has requested a post-award debriefing from the FAA Product Team, not later than five (5) business days after the date on which the Product Team holds that debriefing.
(b) Protests shall be filed with the ODRA, AGC-70, Federal Aviation Administration, telephone (202) 267-3290 as follows:
(1) 600 Independence Avenue SW., Room 2W100, Washington, DC 20591 for filing by hand delivery, courier or other form of in-person delivery;
(2) 800 Independence Avenue SW., Washington, DC 20591 [Attention: AGC-70, Wilbur Wright Bldg., Room 2W100] for filing by U.S. Mail; or
(3) Numbers (202) 267-3720 or alternate (202) 267-1293 for filing by facsimile.
(c) A protest shall be in writing, and set forth:
(1) The protester's name, address, telephone number, and FAX number;
(2) The name, address, telephone number, and FAX number of the protester's legal representative, and who shall be duly authorized to represent the protester, to be the point of contact;
(3) The SIR number or, if available, the contract number and the name of the CO;
(4) The basis for the protester's status as an interested party;
(5) The facts supporting the timeliness of the protest;
(6) Whether the protester requests a protective order, the material to be protected, and attach a redacted copy of that material;
(7) A detailed statement of both the legal and factual grounds of the protest, and one (1) copy of each relevant document;
(8) The remedy or remedies sought by the protester, as set forth in § 17.23;
(9) The signature of the legal representative, or another person duly authorized to represent the protester.
(d) If the protester wishes to request a suspension of the procurement or contract performance, in whole or in part, and believes that a compelling reason(s) exists to suspend the procurement or contract performance because of the protested action, the protester shall, in its initial filing:
(1) Set forth such compelling reason(s), supply all facts and documents supporting the protester's position; and
(2) Demonstrate—
(i) The protester has alleged a substantial case;
(ii) The lack of a suspension would be likely to cause irreparable injury;
(iii) The relative hardships on the parties favor a suspension; and
(iv) That a suspension is in the public interest.
(3) Failure of a protester to provide information or documents in support of a requested suspension or failure to address the elements of paragraph (d)(2) of this section may result in the summary rejection of the request for suspension, or a requirement that the protester supplement its request prior to the scheduling of a Product Team response to the request under § 17.17(a).
(e) Concurrent with the filing of a protest with the ODRA, the protester shall serve a copy of the protest on the CO and any other official designated in the SIR for receipt of protests, by means reasonably calculated to be received by the CO on the same day as it is to be received by the ODRA. The protest shall include a signed statement from the protester, certifying to the ODRA the manner of service, date, and time when a copy of the protest was served on the CO and other designated official(s).
(f) Upon receipt of the protest, the CO shall notify the awardee of a challenged contract award in writing of the existence of the protest. The awardee and/or interested parties shall notify the ODRA in writing, of their interest in participating in the protest as intervenors within two (2) business days of receipt of the CO's notification, and shall, in such notice, designate a person as the point of contact for the ODRA.
(g) The ODRA has discretion to designate the parties who shall participate in the protest as intervenors. In protests of awarded contracts, only the awardee may participate as an intervenor as a matter of right.
(a) If, as part of its initial protest filing, the protester requests a suspension of procurement activities or contractor performance in whole or in part, in accordance with § 17.15(d), the Product Team shall submit a response to the request to the ODRA by no later than the close of business on the date of the initial scheduling conference or on such other date as is established by the ODRA. Copies of the response shall be furnished to the protester and any intervenor(s) so as to be received within the same timeframe. The protester and any intervenor(s) shall have the opportunity of providing additional comments on the response within two (2) business days of receiving it. Based on its review of such submissions, the ODRA, in its discretion, may—
(1) Decline the suspension request; or
(2) Recommend such suspension to the Administrator or the Administrator's designee. The ODRA also may impose a temporary suspension of no more than ten (10) business days, where it is recommending that the Administrator impose a suspension.
(b) Within five (5) business days of the filing of a protest, or as soon thereafter as practicable, the ODRA shall convene an initial status conference for purposes of:
(1) Reviewing the ODRA's ADR and adjudication procedures and establishing a preliminary schedule;
(2) Identifying legal or other preliminary or potentially dispositive issues and answering the parties' questions regarding the ODRA process;
(3) Dealing with issues related to protected information and the issuance of any needed protective order;
(4) Encouraging the parties to consider using ADR;
(5) Appointing a DRO as a potential ADR neutral to assist the parties in considering ADR options and developing an ADR agreement; and
(6) For any other reason deemed appropriate by the DRO or by the ODRA.
(c) The Product Team and protester will have five (5) business days from the date of the initial status conference to decide whether they will attempt to use an ADR process in the case. With the agreement of the ODRA, ADR may be used concurrently with the adjudication of a protest. See § 17.37(e).
(d) If the Product Team and protester elect to use ADR proceedings to resolve the protest, they will agree upon the neutral to conduct the ADR proceedings (either an ODRA DRO or a compensated neutral of their own choosing) pursuant to § 17.37, and shall execute and file with the ODRA a written ADR agreement. Agreement of any intervenor(s) to the use of ADR or the resolution of a dispute through ADR shall not be required.
(e) If the Product Team or protester indicate that ADR proceedings will not be used, or if ADR is not successful in resolving the entire protest, the ODRA Director upon being informed of the situation, will schedule an adjudication of the protest.
(a) Separate motions generally are discouraged in ODRA bid protests. Counsel and parties are encouraged to incorporate any such motions in their respective agency responses or comments. Parties and counsel are encouraged to attempt to resolve typical motions issues through the ODRA ADR process. The ODRA may rule on any non-dispositive motion, where appropriate and necessary, after providing an opportunity for briefing on the motion by all affected parties. Unjustifiable, inappropriate use of motions may result in the imposition of sanctions. Where appropriate, a party may request by dispositive motion to the ODRA, or the ODRA may recommend or order, that:
(1) The protest, or any count or portion of a protest, be dismissed for lack of jurisdiction, timeliness, or standing to pursue the protest;
(2) The protest, or any count or portion of a protest, be dismissed, if frivolous or without basis in fact or law, or for failure to state a claim upon which relief may be had;
(3) A summary decision be issued with respect to the protest, or any count or portion of a protest, if there are no material facts in dispute and a party is entitled to summary decision as a matter of law.
(b) In connection with consideration of possible dismissal or summary decision, the ODRA shall consider any material facts in dispute, in a light most favorable to the party against whom the dismissal or summary decision would operate and draw all factual inferences in favor of the non-moving party.
(c) Either upon motion by a party or on its own initiative, the ODRA may, at any time, exercise its discretion to:
(1) Recommend to the Administrator dismissal or the issuance of a summary decision with respect to the entire protest;
(2) Dismiss the entire protest or issue a summary decision with respect to the entire protest, if delegated that authority by the Administrator; or
(3) Dismiss or issue a summary decision with respect to any count or portion of a protest.
(d) A dismissal or summary decision regarding the entire protest by either the Administrator, or the ODRA by delegation, shall be construed as a final agency order. A dismissal or summary decision that does not resolve all counts or portions of a protest shall not constitute a final agency order, unless and until such dismissal or decision is incorporated or otherwise adopted in a decision by the Administrator (or the ODRA, by delegation) regarding the entire protest.
(e) Prior to recommending or entering either a dismissal or a summary decision, either in whole or in part, the ODRA shall afford all parties against whom the dismissal or summary decision is to be entered the opportunity to respond to the proposed dismissal or summary decision.
(a) Other than for the resolution of preliminary or dispositive matters, the Adjudicative Process for protests will be commenced by the ODRA Director pursuant to § 17.17(e).
(b) The Director of the ODRA shall appoint a DRO or a Special Master to conduct the adjudication proceedings, develop the administrative record, and prepare findings and recommendations for review of the ODRA Director.
(c) The DRO or Special Master may conduct such proceedings and prepare procedural orders for the proceedings as deemed appropriate; and may require additional submissions from the parties.
(d) The Product Team response to the protest will be due to be filed and served ten (10) business days from the commencement of the ODRA Adjudication process. The Product Team response shall consist of a written chronological, supported statement of proposed facts, and a written presentation of applicable legal or other defenses. The Product Team response shall cite to and be accompanied by all relevant documents, which shall be chronologically indexed, individually tabbed, and certified as authentic and complete. A copy of the response shall be furnished so as to be received by the protester and any intervenor(s) on the same date it is filed with the ODRA. In all cases, the Product Team shall indicate the method of service used.
(e) Comments of the protester and the intervenor on the Product Team response will be due to be filed and served five (5) business days after their receipt of the response. Copies of such comments shall be provided to the other participating parties by the same means and on the same date as they are furnished to the ODRA. Comments may include any supplemental relevant documents.
(f) The ODRA may alter the schedule for filing of the Product Team response and the comments for good cause or to accommodate the circumstances of a particular protest.
(g) The DRO or Special Master may convene the parties and/or their representatives, as needed for the Adjudicative Process.
(h) If, in the sole judgment of the DRO or Special Master, the parties have presented written material sufficient to allow the protest to be decided on the record presented, the DRO or Special Master shall have the discretion to decide the protest on that basis.
(i) The parties may engage in limited, focused discovery with one another and, if justified, with non-parties, so as to obtain information relevant to the allegations of the protest.
(1) The DRO or Special Master shall manage the discovery process, including limiting its length and availability, and shall establish schedules and deadlines for discovery, which are consistent with timeframes established in this part and with the FAA policy of providing fair and expeditious dispute resolution.
(2) The DRO or Special Master may also direct the parties to exchange, in an expedited manner, relevant, non-privileged documents.
(3) Where justified, the DRO or Special Master may direct the taking of deposition testimony, however, the FAA dispute resolution process does not contemplate extensive discovery.
(4) The use of interrogatories and requests for admission is not permitted in ODRA bid protests.
(5) Where parties cannot voluntarily reach agreement on a discovery-related issue, they may timely seek assistance from an ODRA ADR neutral or may file an appropriate motion with the ODRA. Parties may request a subpoena.
(6) Discovery requests and responses are not part of the record and will not be filed with the ODRA, except in connection with a motion or other permissible filing.
(7) Unless timely objection is made, documents properly filed with the ODRA will be deemed admitted into the administrative record.
(j) Hearings are not typically held in bid protests. The DRO or Special Master may conduct hearings, and may limit the hearings to the testimony of specific witnesses and/or presentations regarding specific issues. The DRO or Special Master shall control the nature and conduct of all hearings, including the sequence and extent of any testimony. Hearings will be conducted:
(1) Where the DRO or Special Master determines that there are complex factual issues in dispute that cannot adequately or efficiently be developed solely by means of written presentations and/or that resolution of the controversy will be dependent on his/her assessment of the credibility of statements provided by individuals with first-hand knowledge of the facts; or
(2) Upon request of any party to the protest, unless the DRO or Special Master finds specifically that a hearing is unnecessary and that no party will be prejudiced by limiting the record in the adjudication to the parties' written submissions. All witnesses at any such hearing shall be subject to cross-examination by the opposing party and to questioning by the DRO or Special Master.
(k) The Director of the ODRA may review the status of any protest in the Adjudicative Process with the DRO or Special Master.
(l) After the closing of the administrative record, the DRO or Special Master will prepare and submit findings and recommendations to the ODRA that shall contain the following:
(1) Findings of fact;
(2) Application of the principles of the AMS, and any applicable law or authority to the findings of fact;
(3) A recommendation for a final FAA order; and
(4) If appropriate, suggestions for future FAA action.
(m) In preparing findings and recommendations in protests, the DRO or Special Master, using the preponderance of the evidence standard, shall consider whether the Product Team actions in question were consistent with the requirements of the AMS, had a rational basis, and whether the Product Team decision was arbitrary, capricious or an abuse of discretion. Notwithstanding the above, allegations that government officials acted with bias or in bad faith must be established by clear and convincing evidence.
(n) The DRO or Special Master has broad discretion to recommend a remedy that is consistent with § 17.23.
(o) A DRO or Special Master shall submit findings and recommendations only to the Director of the ODRA or the Director's designee. The findings and recommendations will be released to the parties and to the public upon issuance of the final FAA order in the case. If an ODRA protective order was issued in connection with the protest, or if a protest involves proprietary or competition-sensitive information, a redacted version of the findings and recommendations, omitting any protected information, shall be prepared wherever possible and released to the public, as soon as is practicable, along with a copy of the final FAA order. Only persons admitted by the ODRA under the protective order and Government personnel shall be provided copies of the unredacted findings and recommendations that contain proprietary or competition-sensitive information.
(p) Other than communications regarding purely procedural matters or ADR, there shall be no substantive ex parte communication between ODRA personnel and any principal or representative of a party concerning a pending or potentially pending matter. A potential or serving ADR neutral may communicate on an ex parte basis to establish or conduct the ADR.
(a) The ODRA has broad discretion to recommend and impose protest remedies that are consistent with the AMS and applicable law. Such remedies may include, but are not limited to one or a combination of, the following:
(1) Amend the SIR;
(2) Refrain from exercising options under the contract;
(3) Issue a new SIR;
(4) Require a recompetition or revaluation;
(5) Terminate an existing contract for the FAA's convenience;
(6) Direct an award to the protester;
(7) Award bid and proposal costs; or
(8) Any other remedy consistent with the AMS that is appropriate under the circumstances.
(b) In determining the appropriate recommendation, the ODRA may consider the circumstances surrounding the procurement or proposed procurement including, but not limited to: the nature of the procurement deficiency; the degree of prejudice to other parties or to the integrity of the acquisition system; the good faith of the parties; the extent of performance completed; the feasibility of any proposed remedy; the urgency of the procurement; the cost and impact of the recommended remedy; and the impact on the Agency's mission.
(c) Attorney's fees of a prevailing protester are allowable to the extent permitted by the Equal Access to Justice Act, 5 U.S.C. 504(a)(1) (EAJA) and 14 CFR part 14.
(a) All contract disputes arising under contracts subject to the AMS shall be resolved under this subpart.
(b) Contract disputes shall be filed with the ODRA pursuant to § 17.27.
(c) The ODRA has broad discretion to recommend remedies for a contract dispute that are consistent with the AMS and applicable law, including such equitable remedies or other remedies as it deems appropriate.
(a) Contract disputes must be in writing and should contain:
(1) The contractor's name, address, telephone and Fax numbers and the name, address, telephone and Fax numbers of the contractor's legal representative(s) (if any) for the contract dispute;
(2) The contract number and the name of the Contracting Officer;
(3) A detailed chronological statement of the facts and of the legal grounds underlying the contract dispute, broken down by individual claim item, citing to relevant contract provisions and attaching copies of the contract and other relevant documents;
(4) Information establishing the ODRA's jurisdiction and the timeliness of the contract dispute;
(5) A request for a specific remedy, and the amount, if known, of any monetary remedy requested, together with pertinent cost information and documentation (e.g., invoices and cancelled checks). Supporting documentation should be broken down by individual claim item and summarized; and
(6) The signature of a duly authorized representative of the initiating party.
(b) Contract Disputes shall be filed with the ODRA, AGC-70, Federal Aviation Administration, telephone (202) 267-3290 as follows:
(1) 600 Independence Avenue SW., Room 2W100, Washington, DC 20591 for filing by hand delivery, courier or other form of in-person delivery;
(2) 800 Independence Avenue SW., Washington, DC 20591 [Attention: AGC-70, Wilbur Wright Bldg., Room 2W100] for filing by U.S. Mail; or
(3) Numbers (202) 267-3720 or alternate (202) 267-1293 for filing by facsimile.
(c) A contract dispute against the FAA shall be filed with the ODRA within two (2) years of the accrual of the contract claim involved. A contract dispute by the FAA against a contractor (excluding contract disputes alleging warranty issues, fraud or latent defects) likewise shall be filed within two (2) years of the accrual of the contract claim. If an underlying contract entered into prior to the effective date of this part provides for time limitations for filing of contract disputes with the ODRA, which differ from the aforesaid two (2) year period, the limitation periods in the contract shall control over the limitation period of this section. In no event will either party be permitted to file with the ODRA a contract dispute seeking an equitable adjustment or other damages after the contractor has accepted final contract payment, with the exception of FAA contract disputes related to warranty issues, gross mistakes amounting to fraud or latent defects. FAA contract disputes against the contractor based on warranty issues must be filed within the time specified under applicable contract warranty provisions. Any FAA contract disputes against the contractor based on gross mistakes amounting to fraud or latent defects shall be filed with the ODRA within two (2) years of the date on which the FAA knew or should have known of the presence of the fraud or latent defect.
(d) A party shall serve a copy of the contract dispute upon the other party, by means reasonably calculated to be received on the same day as the filing is received by the ODRA.
(e) With the exception of the time limitations established herein for the filing of contract disputes, the ODRA retains the discretion to modify any timeframe established herein in connection with contract disputes.
(a) The ODRA process for contract disputes includes an informal resolution period of twenty (20) business days from the date of filing in order for the parties to attempt to informally resolve the contract dispute either through direct negotiation or with the assistance of the ODRA. The CO, with the advice of FAA legal counsel, has full discretion to settle contract disputes, except where the matter involves fraud.
(b) During the informal resolution period, if the parties request it, the ODRA will appoint a DRO for ADR who will discuss ADR options with the parties, offer his or her services as a potential neutral, and assist the parties to enter into an agreement for a formal ADR process. A person serving as a neutral in an ADR effort in a matter shall not serve as an adjudicating DRO or Special Master for that matter.
(c) The informal resolution period may be extended at the request of the parties for good cause.
(d) If the matter has not been resolved informally, the parties shall file joint or separate statements with the ODRA no later than twenty (20) business days after the filing of the contract dispute. The ODRA may extend this time, pursuant to § 17.27(e). The statement(s) shall include either:
(1) A joint request for ADR, or an executed ADR agreement, pursuant to § 17.37(d), specifying which ADR techniques will be employed; or
(2) Written explanation(s) as to why ADR proceedings will not be used and why the Adjudicative Process will be needed.
(e) If the contract dispute is not completely resolved during the informal resolution period, the ODRA's Adjudicative Process will commence unless the parties have reached an agreement to attempt a formal ADR effort. As part of such an ADR agreement the parties, with the concurrence of the ODRA, may agree to defer commencement of the adjudication process pending completion of the ADR or that the ADR and adjudication process will run concurrently. If a formal ADR is attempted but does not completely resolve the contract dispute, the Adjudicative Process will commence.
(f) The ODRA shall hold a status conference with the parties within ten (10) business days, or as soon thereafter as is practicable, of the ODRA's receipt of a written notification that ADR proceedings will not be used, or have not fully resolved the Contract Dispute. The purpose of the status conference will be to commence the Adjudicative Process and establish the schedule for adjudication.
(g) The submission of a statement which indicates that ADR will not be utilized will not in any way preclude the parties from engaging in non-binding ADR techniques during the Adjudicative Process, pursuant to subpart D of this part.
(a) Any party may request by motion, or the ODRA on its own initiative may recommend or direct, that a contract dispute be dismissed, or that a count or portion thereof be stricken, if:
(1) It was not timely filed;
(2) It was filed by a subcontractor or other person or entity lacking standing;
(3) It fails to state a matter upon which relief may be had; or
(4) It involves a matter not subject to the jurisdiction of the ODRA.
(b) Any party may request by motion, or the ODRA on its own initiative may recommend or direct, that a summary decision be issued with respect to a contract dispute, or any count or portion thereof if there are no material facts in dispute and a party is entitled to a summary decision as a matter of law.
(c) In connection with any potential dismissal of a contract dispute, or summary decision, the ODRA will consider any material facts in dispute in a light most favorable to the party against whom the dismissal or summary decision would be entered, and draw all factual inferences in favor of that party.
(d) At any time, whether pursuant to a motion or on its own initiative and at its discretion, the ODRA may:
(1) Dismiss or strike a count or portion of a contract dispute or enter a partial summary decision;
(2) Recommend to the Administrator that the entire contract dispute be dismissed or that a summary decision be entered; or
(3) With a delegation from the Administrator, dismiss the entire contract dispute or enter a summary decision with respect to the entire contract dispute.
(e) An order of dismissal of the entire contract dispute or summary decision with respect to the entire contract dispute, issued either by the Administrator or by the ODRA, on the grounds set forth in this section, shall constitute a final agency order. An ODRA order dismissing or striking a count or portion of a contract dispute or entering a partial summary judgment shall not constitute a final agency order, unless and until such ODRA order is incorporated or otherwise adopted in a final agency decision of the Administrator or the Administrator's delegee regarding the remainder of the dispute.
(f) Prior to recommending or entering either a dismissal or a summary decision, either in whole or in part, the ODRA shall afford all parties against whom the dismissal or summary decision would be entered the opportunity to respond to a proposed dismissal or summary decision.
(a) The Adjudicative Process for contract disputes will be commenced by the ODRA Director upon being notified by the ADR neutral or by any party that either—
(1) The parties will not be attempting ADR; or
(2) The parties have not settled all of the dispute issues via ADR, and it is unlikely that they can do so within the time period allotted and/or any reasonable extension.
(b) In cases initiated by a contractor against the FAA, within twenty (20) business days of the commencement of the Adjudicative Process or as scheduled by the ODRA, the Product Team shall prepare and submit to the ODRA, with a copy to the contractor, a chronologically arranged and indexed substantive response, containing a legal and factual position regarding the dispute and all documents relevant to the facts and issues in dispute. The contractor will be entitled, at a specified time, to supplement the record with additional documents.
(c) In cases initiated by the FAA against a contractor, within twenty (20) business days of the commencement of the Adjudicative Process or as scheduled by the ODRA, the contractor shall prepare and submit to the ODRA, with a copy to the Product Team counsel, a chronologically arranged and indexed substantive response, containing a legal and factual position regarding the dispute and all documents relevant to the facts and issues in dispute. The Product Team will be entitled, at a specified time, to supplement the record with additional documents.
(d) Unless timely objection is made, documents properly filed with the ODRA will be deemed admitted into the administrative record. Discovery requests and responses are not part of the record and will not be filed with the ODRA, except in connection with a motion or other permissible filing. Designated, relevant portions of such documents may be filed, with the permission of the ODRA.
(e) The Director of the ODRA shall assign a DRO or a Special Master to conduct adjudicatory proceedings, develop the administrative adjudication record and prepare findings and recommendations for the review of the ODRA Director or the Director's designee.
(f) The DRO or Special Master may conduct a status conference(s) as necessary and issue such orders or decisions as are necessary to promote the efficient resolution of the contract dispute.
(g) At any such status conference, or as necessary during the Adjudicative Process, the DRO or Special Master will:
(1) Determine the appropriate amount of discovery required;
(2) Review the need for a protective order, and if one is needed, prepare a protective order pursuant to § 17.9;
(3) Determine whether any issue can be stricken; and
(4) Prepare necessary procedural orders for the proceedings.
(h) Unless otherwise provided by the DRO or Special Master, or by agreement of the parties with the concurrence of the DRO or Special Master, responses to written discovery shall be due within thirty (30) business days from the date received.
(i) At a time or at times determined by the DRO or Special Master, and in advance of the decision of the case, the parties shall make individual final submissions to the ODRA and to the DRO or Special Master, which submissions shall include the following:
(1) A statement of the issues;
(2) A proposed statement of undisputed facts related to each issue together with citations to the administrative record or other supporting materials;
(3) Separate statements of disputed facts related to each issue, with appropriate citations to documents in the Dispute File, to pages of transcripts of any hearing or deposition, or to any affidavit or exhibit which a party may wish to submit with its statement;
(4) Separate legal analyses in support of the parties' respective positions on disputed issues.
(j) Each party shall serve a copy of its final submission on the other party by means reasonably calculated so that the other party receives such submissions on the same day it is received by the ODRA.
(k) The DRO or Special Master may decide the contract dispute on the basis of the administrative record and the submissions referenced in this section, or may, in the DRO or Special Master's discretion, direct the parties to make additional presentations in writing. The DRO or Special Master may conduct hearings, and may limit the hearings to the testimony of specific witnesses and/or presentations regarding specific issues. The DRO or Special Master shall control the nature and conduct of all hearings, including the sequence and extent of any testimony. Evidentiary hearings on the record shall be conducted by the ODRA:
(1) Where the DRO or Special Master determines that there are complex factual issues in dispute that cannot adequately or efficiently be developed solely by means of written presentations and/or that resolution of the controversy will be dependent on his/her assessment of the credibility of statements provided by individuals with first-hand knowledge of the facts; or
(2) Upon request of any party to the contract dispute, unless the DRO or Special Master finds specifically that a hearing is unnecessary and that no party will be prejudiced by limiting the record in the adjudication to the parties' written submissions. All witnesses at any such hearing shall be subject to cross-examination by the opposing party and to questioning by the DRO or Special Master.
(l) The DRO or Special Master shall prepare findings and recommendations, which will contain findings of fact, application of the principles of the AMS and other law or authority applicable to the findings of fact, and a recommendation for a final FAA order.
(m) The DRO or Special Master shall conduct a de novo review using the preponderance of the evidence standard, unless a different standard is prescribed for a particular issue. Notwithstanding the above, allegations that government officials acted with bias or in bad faith must be established by clear and convincing evidence.
(n) The Director of the ODRA may review the status of any contract dispute in the Adjudicative Process with the DRO or Special Master.
(o) A DRO or Special Master shall submit findings and recommendations to the Director of the ODRA or the Director's designee. The findings and recommendations will be released to the parties and to the public, upon issuance of the final FAA order in the case. Should an ODRA protective order be issued in connection with the contract dispute, or should the matter involve proprietary or competition-sensitive information, a redacted version of the findings and recommendations omitting any protected information, shall be prepared wherever possible and released to the public, as soon as is practicable, along with a copy of the final FAA order. Only persons admitted by the ODRA under the protective order and Government personnel shall be provided copies of the unredacted findings and recommendations.
(p) Attorneys' fees of a qualified prevailing contractor are allowable to the extent permitted by the EAJA, 5 U.S.C. 504(a)(1). See 14 CFR part 14.
(q) Other than communications regarding purely procedural matters or ADR, there shall be no substantive ex parte communication between ODRA personnel and any principal or representative of a party concerning a pending or potentially pending matter. A potential or serving ADR neutral may communicate on an ex parte basis to establish or conduct the ADR.
(a) By statutory mandate, it is the policy of the FAA to use voluntary ADR to the maximum extent practicable to resolve matters pending at the ODRA. The ODRA therefore uses voluntary ADR as its primary means of resolving all factual, legal, and procedural controversies.
(b) The parties are encouraged to make a good faith effort to explore ADR possibilities in all cases and to employ ADR in every appropriate case. The ODRA uses ADR techniques such as mediation, neutral evaluation, binding arbitration or variations of these techniques as agreed by the parties and approved by the ODRA. At the beginning of each case, the ODRA assigns a DRO as a potential neutral to explore ADR options with the parties and to convene an ADR process. See § 17.35(b).
(c) The ODRA Adjudicative Process will be used where the parties cannot achieve agreement on the use of ADR; where ADR has been employed but has not resolved all pending issues in dispute; or where the ODRA concludes that ADR will not provide an expeditious means of resolving a particular dispute. Even where the Adjudicative Process is to be used, the ODRA, with the parties' consent, may employ informal ADR techniques concurrently with the adjudication.
(a) The ODRA will make its personnel available to serve as Neutrals in ADR proceedings and, upon request by the parties, will attempt to make qualified non-FAA personnel available to serve as Neutrals through neutral-sharing programs and other similar arrangements. The parties may elect to employ a mutually acceptable compensated neutral at their expense.
(b) The parties using an ADR process to resolve a protest shall submit an executed ADR agreement containing the information outlined in paragraph (d) of this section to the ODRA pursuant to § 17.17(c). The ODRA may extend this time for good cause.
(c) The parties using an ADR process to resolve a contract dispute shall submit an executed ADR agreement containing the information outlined in paragraph (d) of this section to the ODRA pursuant to § 17.29.
(d) The parties to a protest or contract dispute who elect to use ADR must submit to the ODRA an ADR agreement setting forth:
(1) The agreed ADR procedures to be used; and
(2) The name of the neutral. If a compensated neutral is to be used, the agreement must address how the cost of the neutral's services will be reimbursed.
(e) Non-binding ADR techniques are not mutually exclusive, and may be used in combination if the parties agree that a combination is most appropriate to the dispute. The techniques to be employed must be determined in advance by the parties and shall be expressly described in their ADR agreement. The agreement may provide for the use of any fair and reasonable ADR technique that is designed to achieve a prompt resolution of the matter. An ADR agreement for non-binding ADR shall provide for a termination of ADR proceedings and the commencement of adjudication under the Adjudicative Process, upon the election of any party. Notwithstanding such termination, the parties may still engage with the ODRA in ADR techniques (neutral evaluation and/or informal mediation) concurrently with adjudication.
(f) Binding arbitration is available through the ODRA, subject to the provisions of applicable law and the ODRA Binding Arbitration Guidance dated October 2001 as developed in consultation with the Department of Justice.
(g) The parties may, where appropriate in a given case, submit to the ODRA a negotiated protective order for use in ADR in accordance with the requirements of § 17.9.
(a) The provisions of the Administrative Dispute Resolution Act of 1996, 5 U.S.C. 571, et seq., shall apply to ODRA ADR proceedings.
(b) The ODRA looks to the principles of Rule 408 of the Federal Rules of Evidence in deciding admissibility issues related to ADR communications.
(c) ADR communications are not part of the administrative record unless otherwise agreed by the parties.
All final FAA orders regarding protests or contract disputes under this part are to be issued by the FAA Administrator or by a delegee of the Administrator.
(a) A protester or contractor may seek review of a final FAA order, pursuant to 49 U.S.C. 46110, only after the administrative remedies of this part have been exhausted.
(b) A copy of the petition for review shall be filed with the ODRA and the FAA Chief Counsel on the date that the petition for review is filed with the appropriate circuit court of appeals.
The FAA shall amend pertinent provisions of the AMS, standard contract forms and clauses, and any guidance to contracting officials, so as to conform to the provisions of this part.
The ODRA will not entertain requests for reconsideration as a routine matter, or where such requests evidence mere disagreement with a decision or restatements of previous arguments. A party seeking reconsideration must demonstrate either clear errors of fact or law in the underlying decision or previously unavailable evidence that warrants reversal or modification of the decision. In order to be considered, requests for reconsideration must be filed within ten (10) business days of the date of issuance of the public version of the subject decision or order.
If any party or its representative fails to comply with an Order or Directive of the ODRA, the ODRA may enter such orders and take such other actions as it deems necessary and in the interest of justice.
Legal representatives are expected to conduct themselves at all times in a civil and respectful manner appropriate to an administrative forum. Additionally, counsel are expected to conduct themselves at all times in a professional manner and in accordance with all applicable rules of professional conduct.
(a) Parties are encouraged to seek cooperative and voluntary production of documents and witnesses prior to requesting a subpoena or an order under this section.
(b) Upon request by a party, or on his or her own initiative, a DRO or Special Master may, for good cause shown, order a person to give testimony by deposition and to produce records. Section 46104(c) of Title 49 of the United States Code governs the conduct of depositions or document production.
(c) Upon request by a party, or on his or her own initiative, a DRO or Special Master may, for good cause shown, subpoena witnesses or records related to a hearing from any place in the United States to the designated place of a hearing.
(d) A subpoena or order under this section may be served by a United States marshal or deputy marshal, or by any other person who is not a party and not less than 18 years of age. Service upon a person named therein shall be made by personally delivering a copy to that person and tendering the fees for one day's attendance and the mileage provided by 28 U.S.C. 1821 or other applicable law; however, where the subpoena is issued on behalf of the Product Team, money payments need not be tendered in advance of attendance. The person serving the subpoena or order shall file a declaration of service with the ODRA, executed in the form required by 28 U.S.C. 1746. The declaration of service shall be filed promptly with the ODRA, and before the date on which the person served must respond to the subpoena or order.
(e) Upon written motion by the person subpoenaed or ordered under this section, or by a party, made within ten (10) business days after service, but in any event not later than the time specified in the subpoena or order for compliance, the DRO may—
(1) Rescind or modify the subpoena or order if it is unreasonable and oppressive or for other good cause shown, or
(2) Require the party on whose behalf the subpoena or order was issued to advance the reasonable cost of producing documentary evidence. Where circumstances require, the DRO may act upon such a motion at any time after a copy has been served upon all parties.
(f) The party that requests the DRO to issue a subpoena or order under this section shall be responsible for the payment of fees and mileage, as required by 49 U.S.C. 46104(d), for witnesses, officers who serve the order, and the officer before whom a deposition is taken.
(g) Subpoenas and orders issued under this section may be enforced in a judicial proceeding under 49 U.S.C. 46104(b).
The Director may issue such Standing Orders as necessary for the orderly conduct of business before the ODRA.
(a) All potential disputes arising under contracts or solicitations with the FAA may be resolved with the consent of the parties to the dispute under this subpart.
(b) Pre-disputes shall be filed with the ODRA pursuant to § 17.59.
(c) The time limitations for the filing of Protests and Contract Disputes established in §§ 17.15(a) and 17.27(c) will not be extended by efforts to resolve the dispute under this subpart.
(a) A Pre-dispute must be in writing, affirmatively state that it is a Pre-dispute pursuant to this subpart, and shall contain:
(1) The party's name, address, telephone and Fax numbers and the name, address, telephone and Fax numbers of the contractor's legal representative(s) (if any);
(2) The contract or solicitation number and the name of the Contracting Officer;
(3) A chronological statement of the facts and of the legal grounds for the party's positions regarding the dispute citing to relevant contract or solicitation provisions and documents and attaching copies of those provisions and documents; and
(4) The signature of a duly authorized legal representative of the initiating party.
(b) Pre-disputes shall be filed with the ODRA, AGC-70, Federal Aviation Administration, telephone (202) 267-3290 as follows:
(1) 600 Independence Avenue SW., Room 2W100, Washington, DC 20591 for filing by hand delivery, courier or other form of in-person delivery;
(2) 800 Independence Avenue SW., Washington, DC 20591 [Attention: AGC-70, Wilbur Wright Bldg., Room 2W100] for filing by U.S. Mail; or
(3) Numbers (202) 267-3720 or alternate (202) 267-1293 for filing by facsimile.
(c) Upon the filing of a Pre-dispute with the ODRA, the ODRA will contact the opposing party to offer its services pursuant to § 17.57. If the opposing party agrees, the ODRA will provide Pre-dispute services. If the opposing party does not agree, the ODRA Pre-dispute file will be closed and no service will be provided.
(a) Only non-binding, voluntary ADR will be used to attempt to resolve a Pre-dispute pursuant to § 17.37.
(b) ADR conducted under this subpart is subject to the confidentiality requirements of § 17.39.
A. The FAA dispute resolution procedures encourage the parties to protests and contract disputes to use ADR as the primary means to resolve protests and contract disputes, pursuant to the Administrative Dispute Resolution Act of 1996, Public Law 104-320, 5 U.S.C. 570-579, and Department of Transportation and FAA policies to utilize ADR to the maximum extent practicable. Under the procedures presented in this part, the ODRA encourages parties to consider ADR techniques such as case evaluation, mediation, or arbitration.
B. ADR encompasses a number of processes and techniques for resolving protests or contract disputes. The most commonly used types include:
(1) Mediation. The neutral or compensated neutral ascertains the needs and interests of both parties and facilitates discussions between or among the parties and an amicable resolution of their differences, seeking approaches to bridge the gaps between the parties” respective positions. The neutral or compensated neutral can meet with the parties separately, conduct joint meetings with the parties” representatives, or employ both methods in appropriate cases.
(2) Neutral Evaluation. At any stage during the ADR process, as the parties may agree, the neutral or compensated neutral will provide a candid assessment and opinion of the strengths and weaknesses of the parties” positions as to the facts and law, so as to facilitate further discussion and resolution.
(3) Binding Arbitration. The ODRA, after consultation with the United States Department of Justice in accordance with the provisions of the Administrative Disputes Resolution Act offers true binding arbitration in cases within its jurisdiction. The ODRA's Guidance for the Use of Binding Arbitration may be found on its website at: http://www.faa.gov/go/odra.
2. Nomenclature changes to part 21 appear at 74 FR 53384, Oct. 16, 2009.
1. Applicability. This SFAR applies to the holders of type certificates, and supplemental type certificates that may affect the airplane fuel tank system, for turbine-powered transport category airplanes, provided the type certificate was issued after January 1, 1958, and the airplane has either a maximum type certificated passenger capacity of 30 or more, or a maximum type certificated payload capacity of 7,500 pounds or more. This SFAR also applies to applicants for type certificates, amendments to a type certificate, and supplemental type certificates affecting the fuel tank systems for those airplanes identified above, if the application was filed before June 6, 2001, the effective date of this SFAR, and the certificate was not issued before June 6, 2001.
2. Compliance: Each type certificate holder, and each supplemental type certificate holder of a modification affecting the airplane fuel tank system, must accomplish the following within the compliance times specified in paragraph (e) of this section:
(a) Conduct a safety review of the airplane fuel tank system to determine that the design meets the requirements of §§ 25.901 and 25.981(a) and (b) of this chapter. If the current design does not meet these requirements, develop all design changes to the fuel tank system that are necessary to meet these requirements. The responsible Aircraft Certification Service office for the affected airplane may grant an extension of the 18-month compliance time for development of design changes if:
(1) The safety review is completed within the compliance time;
(2) Necessary design changes are identified within the compliance time; and
(3) Additional time can be justified, based on the holder's demonstrated aggressiveness in performing the safety review, the complexity of the necessary design changes, the availability of interim actions to provide an acceptable level of safety, and the resulting level of safety.
(b) Develop all maintenance and inspection instructions necessary to maintain the design features required to preclude the existence or development of an ignition source within the fuel tank system of the airplane.
(c) Submit a report for approval to the responsible Aircraft Certification Service office for the affected airplane, that:
(1) Provides substantiation that the airplane fuel tank system design, including all necessary design changes, meets the requirements of §§ 25.901 and 25.981(a) and (b) of this chapter; and
(2) Contains all maintenance and inspection instructions necessary to maintain the design features required to preclude the existence or development of an ignition source within the fuel tank system throughout the operational life of the airplane.
(d) The responsible Aircraft Certification Service office for the affected airplane, may approve a report submitted in accordance with paragraph 2(c) if it determines that any provisions of this SFAR not complied with are compensated for by factors that provide an equivalent level of safety.
(e) Each type certificate holder must comply no later than December 6, 2002, or within 18 months after the issuance of a type certificate for which application was filed before June 6, 2001, whichever is later; and each supplemental type certificate holder of a modification affecting the airplane fuel tank system must comply no later than June 6, 2003, or within 18 months after the issuance of a supplemental type certificate for which application was filed before June 6, 2001, whichever is later.
(a) This part prescribes—
(1) Procedural requirements for issuing and changing—
(i) Design approvals;
(ii) Production approvals;
(iii) Airworthiness certificates; and
(iv) Airworthiness approvals;
(2) Rules governing applicants for, and holders of, any approval or certificate specified in paragraph (a)(1) of this section; and
(3) Procedural requirements for the approval of articles.
(b) For the purposes of this part—
(1) Airworthiness approval means a document, issued by the FAA for an aircraft, aircraft engine, propeller, or article, which certifies that the aircraft, aircraft engine, propeller, or article conforms to its approved design and is in a condition for safe operation, unless otherwise specified;
(2) Article means a material, part, component, process, or appliance;
(3) Commercial part means an article that is listed on an FAA-approved Commercial Parts List included in a design approval holder's Instructions for Continued Airworthiness required by § 21.50;
(4) Design approval means a type certificate (including amended and supplemental type certificates) or the approved design under a PMA, TSO authorization, letter of TSO design approval, or other approved design;
(5) Interface component means an article that serves as a functional interface between an aircraft and an aircraft engine, an aircraft engine and a propeller, or an aircraft and a propeller. An interface component is designated by the holder of the type certificate or the supplemental type certificate who controls the approved design data for that article;
(6) Product means an aircraft, aircraft engine, or propeller;
(7) Production approval means a document issued by the FAA to a person that allows the production of a product or article in accordance with its approved design and approved quality system, and can take the form of a production certificate, a PMA, or a TSO authorization;
(8) State of Design means the country or jurisdiction having regulatory authority over the organization responsible for the design and continued airworthiness of a civil aeronautical product or article;
(9) State of Manufacture means the country or jurisdiction having regulatory authority over the organization responsible for the production and airworthiness of a civil aeronautical product or article.
(10) Supplier means a person at any tier in the supply chain who provides a product, article, or service that is used or consumed in the design or manufacture of, or installed on, a product or article.
(a) The holder of a type certificate (including amended or supplemental type certificates), a PMA, or a TSO authorization, or the licensee of a type certificate must report any failure, malfunction, or defect in any product or article manufactured by it that it determines has resulted in any of the occurrences listed in paragraph (c) of this section.
(b) The holder of a type certificate (including amended or supplemental type certificates), a PMA, or a TSO authorization, or the licensee of a type certificate must report any defect in any product or article manufactured by it that has left its quality system and that it determines could result in any of the occurrences listed in paragraph (c) of this section.
(c) The following occurrences must be reported as provided in paragraphs (a) and (b) of this section:
(1) Fires caused by a system or equipment failure, malfunction, or defect.
(2) An engine exhaust system failure, malfunction, or defect which causes damage to the engine, adjacent aircraft structure, equipment, or components.
(3) The accumulation or circulation of toxic or noxious gases in the crew compartment or passenger cabin.
(4) A malfunction, failure, or defect of a propeller control system.
(5) A propeller or rotorcraft hub or blade structural failure.
(6) Flammable fluid leakage in areas where an ignition source normally exists.
(7) A brake system failure caused by structural or material failure during operation.
(8) A significant aircraft primary structural defect or failure caused by any autogenous condition (fatigue, understrength, corrosion, etc.).
(9) Any abnormal vibration or buffeting caused by a structural or system malfunction, defect, or failure.
(10) An engine failure.
(11) Any structural or flight control system malfunction, defect, or failure which causes an interference with normal control of the aircraft for which derogates the flying qualities.
(12) A complete loss of more than one electrical power generating system or hydraulic power system during a given operation of the aircraft.
(13) A failure or malfunction of more than one attitude, airspeed, or altitude instrument during a given operation of the aircraft.
(d) The requirements of paragraph (a) of this section do not apply to—
(1) Failures, malfunctions, or defects that the holder of a type certificate (including amended or supplemental type certificates), PMA, TSO authorization, or the licensee of a type certificate determines—
(i) Were caused by improper maintenance or use;
(ii) Were reported to the FAA by another person under this chapter; or
(iii) Were reported under the accident reporting provisions of 49 CFR part 830 of the regulations of the National Transportation Safety Board.
(2) Failures, malfunctions, or defects in products or articles—
(i) Manufactured by a foreign manufacturer under a U.S. type certificate issued under § 21.29 or under an approval issued under § 21.621; or
(ii) Exported to the United States under § 21.502.
(e) Each report required by this section—
(1) Must be made to the FAA within 24 hours after it has determined that the failure, malfunction, or defect required to be reported has occurred. However, a report that is due on a Saturday or a Sunday may be delivered on the following Monday and one that is due on a holiday may be delivered on the next workday;
(2) Must be transmitted in a manner and form acceptable to the FAA and by the most expeditious method available; and
(3) Must include as much of the following information as is available and applicable:
(i) The applicable product and article identification information required by part 45 of this chapter;
(ii) Identification of the system involved; and
(iii) Nature of the failure, malfunction, or defect.
(f) If an accident investigation or service difficulty report shows that a product or article manufactured under this part is unsafe because of a manufacturing or design data defect, the holder of the production approval for that product or article must, upon request of the FAA, report to the FAA the results of its investigation and any action taken or proposed by the holder of that production approval to correct that defect. If action is required to correct the defect in an existing product or article, the holder of that production approval must send the data necessary for issuing an appropriate airworthiness directive to the FAA.
(a) Early ETOPS: reporting, tracking, and resolving problems. The holder of a type certificate for an airplane-engine combination approved using the Early ETOPS method specified in part 25, Appendix K, of this chapter must use a system for reporting, tracking, and resolving each problem resulting in one of the occurrences specified in paragraph (a)(6) of this section.
(1) The system must identify how the type certificate holder will promptly identify problems, report them to the responsible Aircraft Certification Service office, and propose a solution to the FAA to resolve each problem. A proposed solution must consist of—
(i) A change in the airplane or engine type design;
(ii) A change in a manufacturing process;
(iii) A change in an operating or maintenance procedure; or
(iv) Any other solution acceptable to the FAA.
(2) For an airplane with more than two engines, the system must be in place for the first 250,000 world fleet engine-hours for the approved airplane-engine combination.
(3) For two-engine airplanes, the system must be in place for the first 250,000 world fleet engine-hours for the approved airplane-engine combination and after that until—
(i) The world fleet 12-month rolling average IFSD rate is at or below the rate required by paragraph (b)(2) of this section; and
(ii) The FAA determines that the rate is stable.
(4) For an airplane-engine combination that is a derivative of an airplane-engine combination previously approved for ETOPS, the system need only address those problems specified in the following table, provided the type certificate holder obtains prior authorization from the FAA:
| If the change does not require a new airplane type certificate and . . . | Then the Problem Tracking and Resolution System must address . . . |
|---|---|
| (i) Requires a new engine type certificate | All problems applicable to the new engine installation, and for the remainder of the airplane, problems in changed systems only. |
| (ii) Does not require a new engine type certificate | Problems in changed systems only. |
(5) The type certificate holder must identify the sources and content of data that it will use for its system. The data must be adequate to evaluate the specific cause of any in-service problem reportable under this section or § 21.3(c) that could affect the safety of ETOPS.
(6) In implementing this system, the type certificate holder must report the following occurrences:
(i) IFSDs, except planned IFSDs performed for flight training.
(ii) For two-engine airplanes, IFSD rates.
(iii) Inability to control an engine or obtain desired thrust or power.
(iv) Precautionary thrust or power reductions.
(v) Degraded ability to start an engine in flight.
(vi) Inadvertent fuel loss or unavailability, or uncorrectable fuel imbalance in flight.
(vii) Turn backs or diversions for failures, malfunctions, or defects associated with an ETOPS group 1 significant system.
(viii) Loss of any power source for an ETOPS group 1 significant system, including any power source designed to provide backup power for that system.
(ix) Any event that would jeopardize the safe flight and landing of the airplane on an ETOPS flight.
(x) Any unscheduled engine removal for a condition that could result in one of the reportable occurrences listed in this paragraph.
(b) Reliability of two-engine airplanes—(1) Reporting of two-engine airplane in-service reliability. The holder of a type certificate for an airplane approved for ETOPS and the holder of a type certificate for an engine installed on an airplane approved for ETOPS must report monthly to their respective Aircraft Certification Service office on the reliability of the world fleet of those airplanes and engines. The report provided by both the airplane and engine type certificate holders must address each airplane-engine combination approved for ETOPS. The FAA may approve quarterly reporting if the airplane-engine combination demonstrates an IFSD rate at or below those specified in paragraph (b)(2) of this section for a period acceptable to the FAA. This reporting may be combined with the reporting required by § 21.3. The responsible type certificate holder must investigate any cause of an IFSD resulting from an occurrence attributable to the design of its product and report the results of that investigation to its responsible Aircraft Certification Service office. Reporting must include:
(i) Engine IFSDs, except planned IFSDs performed for flight training.
(ii) The world fleet 12-month rolling average IFSD rates for all causes, except planned IFSDs performed for flight training.
(iii) ETOPS fleet utilization, including a list of operators, their ETOPS diversion time authority, flight hours, and cycles.
(2) World fleet IFSD rate for two-engine airplanes. The holder of a type certificate for an airplane approved for ETOPS and the holder of a type certificate for an engine installed on an airplane approved for ETOPS must issue service information to the operators of those airplanes and engines, as appropriate, to maintain the world fleet 12-month rolling average IFSD rate at or below the following levels:
(i) A rate of 0.05 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for up to and including 120-minute ETOPS. When all ETOPS operators have complied with the corrective actions required in the configuration, maintenance and procedures (CMP) document as a condition for ETOPS approval, the rate to be maintained is at or below 0.02 per 1,000 world-fleet engine-hours.
(ii) A rate of 0.02 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for up to and including 180-minute ETOPS, including airplane-engine combinations approved for 207-minute ETOPS in the North Pacific operating area under appendix P, section I, paragraph (h), of part 121 of this chapter.
(iii) A rate of 0.01 per 1,000 world-fleet engine-hours for an airplane-engine combination approved for ETOPS beyond 180 minutes, excluding airplane-engine combinations approved for 207-minute ETOPS in the North Pacific operating area under appendix P, section I, paragraph (h), of part 121 of this chapter.
(a) With each airplane or rotorcraft not type certificated with an Airplane or Rotorcraft Flight Manual and having no flight time before March 1, 1979, the holder of a type certificate (including amended or supplemental type certificates) or the licensee of a type certificate must make available to the owner at the time of delivery of the aircraft a current approved Airplane or Rotorcraft Flight Manual.
(b) The Airplane or Rotorcraft Flight Manual required by paragraph (a) of this section must contain the following information:
(1) The operating limitations and information required to be furnished in an Airplane or Rotorcraft Flight Manual or in manual material, markings, and placards, by the applicable regulations under which the airplane or rotorcraft was type certificated.
(2) The maximum ambient atmospheric temperature for which engine cooling was demonstrated must be stated in the performance information section of the Flight Manual, if the applicable regulations under which the aircraft was type certificated do not require ambient temperature on engine cooling operating limitations in the Flight Manual.
(3) Documentation of compliance with part 38 of this chapter, in an FAA-approved section of any approved airplane flight manual. Such material must include the fuel efficiency metric value as calculated under § 38.11 of this chapter, and the specific paragraph of § 38.17 of this chapter with which compliance has been shown for that airplane.
(a) Except as specified in paragraphs (b) and (c) of this section, no person may manufacture a new aircraft, aircraft engine, or propeller based on a type certificate unless the person—
(1) Is the holder of the type certificate or has a licensing agreement from the holder of the type certificate to manufacture the product; and
(2) Meets the requirements of subpart F or G of this part.
(b) A person may manufacture one new aircraft based on a type certificate without meeting the requirements of paragraph (a) of this section if that person can provide evidence acceptable to the FAA that the manufacture of the aircraft by that person began before August 5, 2004.
(c) The requirements of this section do not apply to—
(1) New aircraft imported under the provisions of §§ 21.183(c), 21.184(b), or 21.185(c); and
(2) New aircraft engines or propellers imported under the provisions of § 21.500.
(a) On or after December 10, 2007, the holder of a design approval and an applicant for a design approval must comply with the applicable continued airworthiness and safety improvement requirements of part 26 of this subchapter.
(b) For new transport category airplanes manufactured under the authority of the FAA, the holder or licensee of a type certificate must meet the applicable continued airworthiness and safety improvement requirements specified in part 26 of this subchapter for new production airplanes. Those requirements only apply if the FAA has jurisdiction over the organization responsible for final assembly of the airplane.
If an article is required to be approved under this chapter, it may be approved—
(a) Under a PMA;
(b) Under a TSO;
(c) In conjunction with type certification procedures for a product; or
(d) In any other manner approved by the FAA.
(a) If a person knows, or should know, that a replacement or modification article is reasonably likely to be installed on a type-certificated product, the person may not produce that article unless it is—
(1) Produced under a type certificate;
(2) Produced under an FAA production approval;
(3) A standard part (such as a nut or bolt) manufactured in compliance with a government or established industry specification;
(4) A commercial part as defined in § 21.1 of this part;
(5) Produced by an owner or operator for maintaining or altering that owner or operator's product;
(6) Fabricated by an appropriately rated certificate holder with a quality system, and consumed in the repair or alteration of a product or article in accordance with part 43 of this chapter; or
(7) Produced in any other manner approved by the FAA.
(b) Except as provided in paragraphs (a)(1) through (a)(2) of this section, a person who produces a replacement or modification article for sale may not represent that part as suitable for installation on a type-certificated product.
(c) Except as provided in paragraphs (a)(1) through (a)(2) of this section, a person may not sell or represent an article as suitable for installation on an aircraft type-certificated under §§ 21.25(a)(2) or 21.27 unless that article—
(1) Was declared surplus by the U.S. Armed Forces, and
(2) Was intended for use on that aircraft model by the U.S. Armed Forces.
This subpart prescribes—
(a) Procedural requirements for the issue of type certificates for aircraft, aircraft engines, and propellers; and
(b) Rules governing the holders of those certificates.
Any interested person may apply for a type certificate.
(a) An application for a type certificate is made on a form and in a manner prescribed by the FAA.
(b) An application for an aircraft type certificate must be accompanied by a three-view drawing of that aircraft and available preliminary basic data.
(c) An application for an aircraft engine type certificate must be accompanied by a description of the engine design features, the engine operating characteristics, and the proposed engine operating limitations.
If the FAA finds that the airworthiness regulations of this subchapter do not contain adequate or appropriate safety standards for an aircraft, aircraft engine, or propeller because of a novel or unusual design feature of the aircraft, aircraft engine or propeller, he prescribes special conditions and amendments thereto for the product. The special conditions are issued in accordance with Part 11 of this chapter and contain such safety standards for the aircraft, aircraft engine or propeller as the FAA finds necessary to establish a level of safety equivalent to that established in the regulations.
(a) Except as provided in §§ 25.2, 27.2, and 29.2 of this subchapter, and in parts 26, 34, 36, and 38 of this subchapter, an applicant for a type certificate must show that the aircraft, aircraft engine, or propeller concerned meets—
(1) The applicable requirements of this subchapter that are effective on the date of application for that certificate unless—
(i) Otherwise specified by the FAA; or
(ii) Compliance with later effective amendments is elected or required under this section; and
(2) Any special conditions prescribed by the FAA.
(b) For special classes of aircraft, including the engines and propellers installed thereon (e.g., gliders, airships, and other nonconventional aircraft), for which airworthiness standards have not been issued under this subchapter, the applicable requirements will be the portions of those other airworthiness requirements contained in Parts 23, 25, 27, 29, 31, 33, and 35 found by the FAA to be appropriate for the aircraft and applicable to a specific type design, or such airworthiness criteria as the FAA may find provide an equivalent level of safety to those parts.
(c) An application for type certification of a transport category aircraft is effective for 5 years and an application for any other type certificate is effective for 3 years, unless an applicant shows at the time of application that his product requires a longer period of time for design, development, and testing, and the FAA approves a longer period.
(d) In a case where a type certificate has not been issued, or it is clear that a type certificate will not be issued, within the time limit established under paragraph (c) of this section, the applicant may—
(1) File a new application for a type certificate and comply with all the provisions of paragraph (a) of this section applicable to an original application; or
(2) File for an extension of the original application and comply with the applicable airworthiness requirements of this subchapter that were effective on a date, to be selected by the applicant, not earlier than the date which precedes the date of issue of the type certificate by the time limit established under paragraph (c) of this section for the original application.
(e) If an applicant elects to comply with an amendment to this subchapter that is effective after the filing of the application for a type certificate, he must also comply with any other amendment that the FAA finds is directly related.
(f) For primary category aircraft, the requirements are:
(1) The applicable airworthiness requirements contained in parts 23, 27, 31, 33, and 35 of this subchapter, or such other airworthiness criteria as the FAA may find appropriate and applicable to the specific design and intended use and provide a level of safety acceptable to the FAA.
(2) The noise standards of part 36 applicable to primary category aircraft.
Each person who proposes to change a product must apply for a new type certificate if the FAA finds that the proposed change in design, power, thrust, or weight is so extensive that a substantially complete investigation of compliance with the applicable regulations is required.
The applicant for a type certificate, including an amended or supplemental type certificate, must—
(a) Show compliance with all applicable requirements and must provide the FAA the means by which such compliance has been shown; and
(b) Provide a statement certifying that the applicant has complied with the applicable requirements.
An applicant is entitled to a type certificate for an aircraft in the normal, utility, acrobatic, commuter, or transport category, or for a manned free balloon, special class of aircraft, or an aircraft engine or propeller, if—
(a) The product qualifies under § 21.27; or
(b) The applicant submits the type design, test reports, and computations necessary to show that the product to be certificated meets the applicable airworthiness, aircraft noise, fuel venting, exhaust emission, and fuel efficiency requirements of this subchapter and any special conditions prescribed by the FAA, and the FAA finds—
(1) Upon examination of the type design, and after completing all tests and inspections, that the type design and the product meet the applicable noise, fuel venting, emissions, and fuel efficiency requirements of this subchapter, and further finds that they meet the applicable airworthiness requirements of this subchapter or that any airworthiness provisions not complied with are compensated for by factors that provide an equivalent level of safety; and
(2) For an aircraft, that no feature or characteristic makes it unsafe for the category in which certification is requested.
(a) The applicant is entitled to a type certificate for an aircraft in the primary category if—
(1) The aircraft—
(i) Is unpowered; is an airplane powered by a single, naturally aspirated engine with a 61-knot or less V
(ii) Weighs not more than 2,700 pounds; or, for seaplanes, not more than 3,375 pounds;
(iii) Has a maximum seating capacity of not more than four persons, including the pilot; and
(iv) Has an unpressurized cabin.
(2) The applicant has submitted—
(i) Except as provided by paragraph (c) of this section, a statement, in a form and manner acceptable to the FAA, certifying that: the applicant has completed the engineering analysis necessary to demonstrate compliance with the applicable airworthiness requirements; the applicant has conducted appropriate flight, structural, propulsion, and systems tests necessary to show that the aircraft, its components, and its equipment are reliable and function properly; the type design complies with the airworthiness standards and noise requirements established for the aircraft under § 21.17(f); and no feature or characteristic makes it unsafe for its intended use;
(ii) The flight manual required by § 21.5(b), including any information required to be furnished by the applicable airworthiness standards;
(iii) Instructions for continued airworthiness in accordance with § 21.50(b); and
(iv) A report that: summarizes how compliance with each provision of the type certification basis was determined; lists the specific documents in which the type certification data information is provided; lists all necessary drawings and documents used to define the type design; and lists all the engineering reports on tests and computations that the applicant must retain and make available under § 21.49 to substantiate compliance with the applicable airworthiness standards.
(3) The FAA finds that—
(i) The aircraft complies with those applicable airworthiness requirements approved under § 21.17(f) of this part; and
(ii) The aircraft has no feature or characteristic that makes it unsafe for its intended use.
(b) An applicant may include a special inspection and preventive maintenance program as part of the aircraft's type design or supplemental type design.
(c) For aircraft manufactured outside of the United States in a country with which the United States has a bilateral airworthiness agreement for the acceptance of these aircraft, and from which the aircraft is to be imported into the United States—
(1) The statement required by paragraph (a)(2)(i) of this section must be made by the civil airworthiness authority of the exporting country; and
(2) The required manuals, placards, listings, instrument markings, and documents required by paragraphs (a) and (b) of this section must be submitted in English.
(a) An applicant is entitled to a type certificate for an aircraft in the restricted category for special purpose operations if the applicant shows compliance with the applicable noise requirements of part 36 of this chapter, and if the applicant shows that no feature or characteristic of the aircraft makes it unsafe when it is operated under the limitations prescribed for its intended use, and that aircraft—
(1) Meets the airworthiness requirements of an aircraft category, other than primary category or light-sport category, except those requirements that the FAA finds inappropriate for the special purpose operation for which the aircraft is to be used; or
(2) Is of a type that—
(i) Has been manufactured in accordance with the requirements of, and accepted for use by, the U.S. Armed Forces;
(ii) Has a service history with the U.S. Armed Forces acceptable to the FAA; and
(iii) Has been found capable by the FAA of performing, or has been modified to perform, the special purpose operation for which the aircraft is to be used.
(b) Restricted category aircraft can be approved for:
(1) Agricultural use, for one or more of the following special purpose operations, including—
(i) Spraying, dusting, and seeding;
(ii) Livestock and predatory animal control;
(iii) Insect control;
(iv) Dust control; or
(v) Fruit drying and frost control.
(2) Forest and wildlife conservation, for one or more of the following special purpose operations, including—
(i) Aerial dispensing of firefighting materials;
(ii) Fish spotting;
(iii) Wild animal survey; or
(iv) Oil spill response.
(3) Aerial surveying, for one or more of the following special purpose operations, including—
(i) Aerial imaging and mapping;
(ii) Oil, gas, and mineral exploration;
(iii) Atmospheric survey and research;
(iv) Geophysical and electromagnetic survey;
(v) Oceanic survey; or
(vi) Airborne measurement of navigation signals.
(4) Patrolling, for one or more of the following special purpose operations, including—
(i) Pipelines;
(ii) Powerlines;
(iii) Data transmission lines and towers;
(iv) Railroads;
(v) Canals; or
(vi) Harbors.
(5) Weather control, including the special purpose operation of cloud seeding.
(6) Aerial advertising, for one or more of the following special purpose operations, including—
(i) Skywriting;
(ii) Banner towing;
(iii) Displaying airborne signs; or
(iv) Public address systems.
(7) Other special purpose operations, including—
(i) Rotorcraft external-load operations conducted under part 133 of this chapter;
(ii) Carriage of cargo incidental to the owner's or operator's business;
(iii) Target towing;
(iv) Search and rescue operations;
(v) Glider towing;
(vi) Alaskan fuel hauling;
(vii) Alaskan fixed-wing external load operations;
(viii) Space vehicle launch; or
(ix) Any other special purpose operation specified by the FAA.
(a) Except as provided in paragraph (b) of this section an applicant is entitled to a type certificate for an aircraft in the normal, utility, acrobatic, commuter, or transport category that was designed and constructed in the United States, accepted for operational use, and declared surplus by, an Armed Force of the United States, and that is shown to comply with the applicable certification requirements in paragraph (f) of this section.
(b) An applicant is entitled to a type certificate for a surplus aircraft of the Armed Forces of the United States that is a counterpart of a previously type certificated civil aircraft, if he shows compliance with the regulations governing the original civil aircraft type certificate.
(c) Aircraft engines, propellers, and their related accessories installed in surplus Armed Forces aircraft, for which a type certificate is sought under this section, will be approved for use on those aircraft if the applicant shows that on the basis of the previous military qualifications, acceptance, and service record, the product provides substantially the same level of airworthiness as would be provided if the engines or propellers were type certificated under Part 33 or 35 of this subchapter.
(d) The FAA may relieve an applicant from strict compliance with a specific provision of the applicable requirements in paragraph (f) of this section, if the FAA finds that the method of compliance proposed by the applicant provides substantially the same level of airworthiness and that strict compliance with those regulations would impose a severe burden on the applicant. The FAA may use experience that was satisfactory to an Armed Force of the United States in making such a determination.
(e) The FAA may require an applicant to comply with special conditions and later requirements than those in paragraphs (c) and (f) of this section, if the FAA finds that compliance with the listed regulations would not ensure an adequate level of airworthiness for the aircraft.
(f) Except as provided in paragraphs (b) through (e) of this section, an applicant for a type certificate under this section must comply with the appropriate regulations listed in the following table:
| Type of aircraft | Date accepted for operational use by the Armed Forces
of the United States | Regulations that apply 1 |
|---|---|---|
| Small reciprocating-engine powered airplanes | Before May 16, 1956
After May 15, 1956 | CAR Part 3, as effective May 15, 1956.
CAR Part 3, or 14 CFR Part 23. |
| Small turbine engine-powered airplanes | Before Oct. 2, 1959
After Oct. 1, 1959 | CAR Part 3, as effective Oct. 1, 1959.
CAR Part 3 or 14 CFR Part 23. |
| Commuter category airplanes | After (Feb. 17, 1987)
FAR Part 23 as of (Feb. 17, 1987). | |
| Large reciprocating-engine powered airplanes | Before Aug. 26, 1955
After Aug. 25, 1955 | CAR Part 4b, as effective Aug. 25, 1955.
CAR Part 4b or 14 CFR Part 25. |
| Large turbine engine-powered airplanes | Before Oct. 2, 1959
After Oct. 1, 1959 | CAR Part 4b, as effective Oct. 1, 1959.
CAR Part 4b or 14 CFR Part 25. |
| Rotorcraft with maximum certificated takeoff weight of: | ||
| 6,000 pounds or less | Before Oct. 2, 1959
After Oct. 1, 1959 | CAR Part 6, as effective Oct. 1, 1959.
CAR Part 6, or 14 CFR Part 27. |
| Over 6,000 pounds | Before Oct. 2, 1959
After Oct. 1, 1959 | CAR Part 7, as effective Oct. 1, 1959.
CAR Part 7, or 14 CFR Part 29. |
1 Where no specific date is listed, the applicable regulations are those in effect on the date that the first aircraft of the particular model was accepted for operational use by the Armed Forces.
(a) The FAA may issue a type certificate for a product that is manufactured in a foreign country or jurisdiction with which the United States has an agreement for the acceptance of these products for export and import and that is to be imported into the United States if—
(1) The applicable State of Design certifies that the product has been examined, tested, and found to meet—
(i) The applicable aircraft noise, fuel venting, exhaust emissions, and fuel efficiency requirements of this subchapter as designated in § 21.17, or the applicable aircraft noise, fuel venting, exhaust emissions, and fuel efficiency requirements of the State of Design, and any other requirements the FAA may prescribe to provide noise, fuel venting, exhaust emission, and fuel efficiency levels no greater than those provided by the applicable aircraft noise, fuel venting, exhaust emissions, and fuel efficiency requirements of this subchapter as designated in § 21.17; and
(ii) The applicable airworthiness requirements of this subchapter as designated in § 21.17, or the applicable airworthiness requirements of the State of Design and any other requirements the FAA may prescribe to provide a level of safety equivalent to that provided by the applicable airworthiness requirements of this subchapter as designated in § 21.17;
(2) The applicant has provided technical data to show the product meets the requirements of paragraph (a)(1) of this section; and
(3) The manuals, placards, listings, and instrument markings required by the applicable airworthiness (and noise, where applicable) requirements are presented in the English language.
(b) A product type certificated under this section is determined to be compliant with the fuel venting and exhaust emission standards of part 34 of this subchapter, the noise standards of part 36 of this subchapter, and the fuel efficiency requirements of part 38 of this subchapter. Compliance with parts 34, 36, and 38 of this subchapter is certified under paragraph (a)(1)(i) of this section, and the applicable airworthiness standards of this subchapter, or an equivalent level of safety, with which compliance is certified under paragraph (a)(1)(ii) of this section.
The type design consists of—
(a) The drawings and specifications, and a listing of those drawings and specifications, necessary to define the configuration and the design features of the product shown to comply with the requirements of that part of this subchapter applicable to the product;
(b) Information on dimensions, materials, and processes necessary to define the structural strength of the product;
(c) The Airworthiness Limitations section of the Instructions for Continued Airworthiness as required by parts 23, 25, 26, 27, 29, 31, 33 and 35 of this subchapter, or as otherwise required by the FAA; and as specified in the applicable airworthiness criteria for special classes of aircraft defined in § 21.17(b); and
(d) For primary category aircraft, if desired, a special inspection and preventive maintenance program designed to be accomplished by an appropriately rated and trained pilot-owner.
(e) Any other data necessary to allow, by comparison, the determination of the airworthiness, noise characteristics, fuel efficiency, fuel venting, and exhaust emissions (where applicable) of later products of the same type.
(a) Each applicant must allow the FAA to make any inspection and any flight and ground test necessary to determine compliance with the applicable requirements of this subchapter. However, unless otherwise authorized by the FAA—
(1) No aircraft, aircraft engine, propeller, or part thereof may be presented to the FAA for test unless compliance with paragraphs (b)(2) through (b)(4) of this section has been shown for that aircraft, aircraft engine, propeller, or part thereof; and
(2) No change may be made to an aircraft, aircraft engine, propeller, or part thereof between the time that compliance with paragraphs (b)(2) through (b)(4) of this section is shown for that aircraft, aircraft engine, propeller, or part thereof and the time that it is presented to the FAA for test.
(b) Each applicant must make all inspections and tests necessary to determine—
(1) Compliance with the applicable airworthiness, aircraft noise, fuel venting, and exhaust emission requirements;
(2) That materials and products conform to the specifications in the type design;
(3) That parts of the products conform to the drawings in the type design; and
(4) That the manufacturing processes, construction and assembly conform to those specified in the type design.
(a) Each applicant for an aircraft type certificate (other than under §§ 21.24 through 21.29) must make the tests listed in paragraph (b) of this section. Before making the tests the applicant must show—
(1) Compliance with the applicable structural requirements of this subchapter;
(2) Completion of necessary ground inspections and tests;
(3) That the aircraft conforms with the type design; and
(4) That the FAA received a flight test report from the applicant (signed, in the case of aircraft to be certificated under Part 25 [New] of this chapter, by the applicant's test pilot) containing the results of his tests.
(b) Upon showing compliance with paragraph (a) of this section, the applicant must make all flight tests that the FAA finds necessary—
(1) To determine compliance with the applicable requirements of this subchapter; and
(2) For aircraft to be certificated under this subchapter, except gliders and low-speed, certification level 1 or 2 airplanes, as defined in part 23 of this chapter, to determine whether there is reasonable assurance that the aircraft, its components, and its equipment are reliable and function properly.
(c) Each applicant must, if practicable, make the tests prescribed in paragraph (b)(2) of this section upon the aircraft that was used to show compliance with—
(1) Paragraph (b)(1) of this section; and
(2) For rotorcraft, the rotor drive endurance tests prescribed in § 27.923 or § 29.923 of this chapter, as applicable.
(d) Each applicant must show for each flight test (except in a glider or a manned free balloon) that adequate provision is made for the flight test crew for emergency egress and the use of parachutes.
(e) Except in gliders and manned free balloons, an applicant must discontinue flight tests under this section until he shows that corrective action has been taken, whenever—
(1) The applicant's test pilot is unable or unwilling to make any of the required flight tests; or
(2) Items of noncompliance with requirements are found that may make additional test data meaningless or that would make further testing unduly hazardous.
(f) The flight tests prescribed in paragraph (b)(2) of this section must include—
(1) For aircraft incorporating turbine engines of a type not previously used in a type certificated aircraft, at least 300 hours of operation with a full complement of engines that conform to a type certificate; and
(2) For all other aircraft, at least 150 hours of operation.
Each applicant for a normal, utility, acrobatic, commuter, or transport category aircraft type certificate must provide a person holding an appropriate pilot certificate to make the flight tests required by this part.
(a) Each applicant for a normal, utility, acrobatic, commuter, or transport category aircraft type certificate must submit a report to the FAA showing the computations and tests required in connection with the calibration of instruments used for test purposes and in the correction of test results to standard atmospheric conditions.
(b) Each applicant must allow the FAA to conduct any flight tests that he finds necessary to check the accuracy of the report submitted under paragraph (a) of this section.
Each type certificate is considered to include the type design, the operating limitations, the certificate data sheet, the applicable regulations of this subchapter with which the FAA records compliance, and any other conditions or limitations prescribed for the product in this subchapter.
Except as provided in § 21.29, the FAA does not issue a type certificate if the manufacturing facilities for the product are located outside of the United States, unless the FAA finds that the location of the manufacturer's facilities places no undue burden on the FAA in administering applicable airworthiness requirements.
The holder or licensee of a type certificate for a product may—
(a) In the case of aircraft, upon compliance with §§ 21.173 through 21.189, obtain airworthiness certificates;
(b) In the case of aircraft engines or propellers, obtain approval for installation on certificated aircraft;
(c) In the case of any product, upon compliance with subpart G of this part, obtain a production certificate for the type certificated product;
(d) Obtain approval of replacement parts for that product.
(a) A holder of a type certificate may transfer it or make it available to other persons by licensing agreements.
(b) For a type certificate transfer in which the State of Design will remain the same, each transferor must, before such a transfer, notify the FAA in writing. This notification must include the applicable type certificate number, the name and address of the transferee, and the anticipated date of the transfer.
(c) For a type certificate transfer in which the State of Design is changing, a type certificate may only be transferred to or from a person subject to the authority of another State of Design if the United States has an agreement with that State of Design for the acceptance of the affected product for export and import. Each transferor must notify the FAA before such a transfer in a form and manner acceptable to the FAA. This notification must include the applicable type certificate number; the name, address, and country of residence of the transferee; and the anticipated date of the transfer.
(d) Before executing or terminating a licensing agreement that makes a type certificate available to another person, the type certificate holder must notify the FAA in writing. This notification must include the type certificate number addressed by the licensing agreement, the name and address of the licensee, the extent of authority granted the licensee, and the anticipated date of the agreement.
The holder of a type certificate must make the certificate available for examination upon the request of the FAA or the National Transportation Safety Board.
(a) The holder of a type certificate for a rotorcraft for which a Rotorcraft Maintenance Manual containing an “Airworthiness Limitations” section has been issued under § 27.1529 (a)(2) or § 29.1529 (a)(2) of this chapter, and who obtains approval of changes to any replacement time, inspection interval, or related procedure in that section of the manual, must make those changes available upon request to any operator of the same type of rotorcraft.
(b) The holder of a design approval, including either a type certificate or supplemental type certificate for an aircraft, aircraft engine, or propeller for which application was made after January 28, 1981, must furnish at least one set of complete Instructions for Continued Airworthiness to the owner of each type aircraft, aircraft engine, or propeller upon its delivery, or upon issuance of the first standard airworthiness certificate for the affected aircraft, whichever occurs later. The Instructions for Continued Airworthiness must be prepared in accordance with §§ 23.1529, 25.1529, 25.1729, 27.1529, 29.1529, 31.82, 33.4, 35.4, or part 26 of this subchapter, or as specified in the applicable airworthiness criteria for special classes of aircraft defined in § 21.17(b), as applicable. If the holder of a design approval chooses to designate parts as commercial, it must include in the Instructions for Continued Airworthiness a list of commercial parts submitted in accordance with the provisions of paragraph (c) of this section. Thereafter, the holder of a design approval must make those instructions available to any other person required by this chapter to comply with any of the terms of those instructions. In addition, changes to the Instructions for Continued Airworthiness shall be made available to any person required by this chapter to comply with any of those instructions.
(c) To designate commercial parts, the holder of a design approval, in a manner acceptable to the FAA, must submit:
(1) A Commercial Parts List;
(2) Data for each part on the List showing that:
(i) The failure of the commercial part, as installed in the product, would not degrade the level of safety of the product; and
(ii) The part is produced only under the commercial part manufacturer's specification and marked only with the commercial part manufacturer's markings; and
(3) Any other data necessary for the FAA to approve the List.
A type certificate is effective until surrendered, suspended, revoked, or a termination date is otherwise established by the FAA.
(a) Each applicant must provide, in a form and manner acceptable to the FAA, a statement that each aircraft engine or propeller presented for type certification conforms to its type design.
(b) Each applicant must submit a statement of conformity to the FAA for each aircraft or part thereof presented to the FAA for tests. This statement of conformity must include a statement that the applicant has complied with § 21.33(a) (unless otherwise authorized under that paragraph).
A type certificate holder who allows a person to use the type certificate to manufacture a new aircraft, aircraft engine, or propeller must meet the applicable requirements of part 5 of this chapter and provide that person with a written licensing agreement acceptable to the FAA.
This subpart prescribes—
(a) Procedural requirements for the issue of provisional type certificates, amendments to provisional type certificates, and provisional amendments to type certificates; and
(b) Rules governing the holders of those certificates.
(a) Any manufacturer of aircraft manufactured within the United States who is a United States citizen may apply for Class I or Class II provisional type certificates, for amendments to provisional type certificates held by him, and for provisional amendments to type certificates held by him.
(b) Any manufacturer of aircraft in a State of Manufacture subject to the provisions of an agreement with the United States for the acceptance of those aircraft for export and import may apply for a Class II provisional type certificate, for amendments to provisional type certificates held by him, and for provisional amendments to type certificates held by him.
(c) An aircraft engine manufacturer who is a United States citizen and who has altered a type certificated aircraft by installing different type certificated aircraft engines manufactured by him within the United States may apply for a Class I provisional type certificate for the aircraft, and for amendments to Class I provisional type certificates held by him, if the basic aircraft, before alteration, was type certificated in the normal, utility, acrobatic, commuter, or transport category.
Each applicant for a provisional type certificate, for an amendment thereto, or for a provisional amendment to a type certificate must apply to the FAA and provide the information required by this subpart.
(a) Unless sooner surrendered, superseded, revoked, or otherwise terminated, provisional type certificates and amendments thereto are effective for the periods specified in this section.
(b) A Class I provisional type certificate is effective for 24 months after the date of issue.
(c) A Class II provisional type certificate is effective for twelve months after the date of issue.
(d) An amendment to a Class I or Class II provisional type certificate is effective for the duration of the amended certificate.
(e) A provisional amendment to a type certificate is effective for six months after its approval or until the amendment of the type certificate is approved, whichever is first.
Provisional type certificates are not transferable.
(a) An applicant is entitled to the issue or amendment of a Class I provisional type certificate if he shows compliance with this section and the FAA finds that there is no feature, characteristic, or condition that would make the aircraft unsafe when operated in accordance with the limitations established in paragraph (e) of this section and in § 91.317 of this chapter.
(b) The applicant must apply for the issue of a type or supplemental type certificate for the aircraft.
(c) The applicant must certify that—
(1) The aircraft has been designed and constructed in accordance with the airworthiness requirements applicable to the issue of the type or supplemental type certificate applied for;
(2) The aircraft substantially meets the applicable flight characteristic requirements for the type or supplemental type certificate applied for; and
(3) The aircraft can be operated safely under the appropriate operating limitations specified in paragraph (a) of this section.
(d) The applicant must submit a report showing that the aircraft had been flown in all maneuvers necessary to show compliance with the flight requirements for the issue of the type or supplemental type certificate applied for, and to establish that the aircraft can be operated safely in accordance with the limitations contained in this subchapter.
(e) The applicant must establish all limitations required for the issue of the type or supplemental type certificate applied for, including limitations on weights, speeds, flight maneuvers, loading, and operation of controls and equipment unless, for each limitation not so established, appropriate operating restrictions are established for the aircraft.
(f) The applicant must establish an inspection and maintenance program for the continued airworthiness of the aircraft.
(g) The applicant must show that a prototype aircraft has been flown for at least 50 hours under an experimental certificate issued under §§ 21.191 through 21.195, or under the auspices of an Armed Force of the United States. However, in the case of an amendment to a provisional type certificate, the FAA may reduce the number of required flight hours.
(a) An applicant who manufactures aircraft within the United States is entitled to the issue or amendment of a Class II provisional type certificate if he shows compliance with this section and the FAA finds that there is no feature, characteristic, or condition that would make the aircraft unsafe when operated in accordance with the limitations in paragraph (h) of this section, and §§ 91.317 and 121.207 of this chapter.
(b) An applicant who manufactures aircraft in a country with which the United States has an agreement for the acceptance of those aircraft for export and import is entitled to the issue or amendment of a Class II provisional type certificate if the country in which the aircraft was manufactured certifies that the applicant has shown compliance with this section, that the aircraft meets the requirements of paragraph (f) of this section and that there is no feature, characteristic, or condition that would make the aircraft unsafe when operated in accordance with the limitations in paragraph (h) of this section and §§ 91.317 and 121.207 of this chapter.
(c) The applicant must apply for a type certificate, in the transport category, for the aircraft.
(d) The applicant must hold a U.S. type certificate for at least one other aircraft in the same transport category as the subject aircraft.
(e) The FAA's official flight test program or the flight test program conducted by the authorities of the country in which the aircraft was manufactured, with respect to the issue of a type certificate for that aircraft, must be in progress.
(f) The applicant or, in the case of a foreign manufactured aircraft, the country in which the aircraft was manufactured, must certify that—
(1) The aircraft has been designed and constructed in accordance with the airworthiness requirements applicable to the issue of the type certificate applied for;
(2) The aircraft substantially complies with the applicable flight characteristic requirements for the type certificate applied for; and
(3) The aircraft can be operated safely under the appropriate operating limitations in this subchapter.
(g) The applicant must submit a report showing that the aircraft has been flown in all maneuvers necessary to show compliance with the flight requirements for the issue of the type certificate and to establish that the aircraft can be operated safely in accordance with the limitations in this subchapter.
(h) The applicant must prepare a provisional aircraft flight manual containing all limitations required for the issue of the type certificate applied for, including limitations on weights, speeds, flight maneuvers, loading, and operation of controls and equipment unless, for each limitation not so established, appropriate operating restrictions are established for the aircraft.
(i) The applicant must establish an inspection and maintenance program for the continued airworthiness of the aircraft.
(j) The applicant must show that a prototype aircraft has been flown for at least 100 hours. In the case of an amendment to a provisional type certificate, the FAA may reduce the number of required flight hours.
(a) An applicant who manufactures aircraft within the United States is entitled to a provisional amendment to a type certificate if he shows compliance with this section and the FAA finds that there is no feature, characteristic, or condition that would make the aircraft unsafe when operated under the appropriate limitations contained in this subchapter.
(b) An applicant who manufactures aircraft in a foreign country with which the United States has an agreement for the acceptance of those aircraft for export and import is entitled to a provisional amendment to a type certificate if the country in which the aircraft was manufactured certifies that the applicant has shown compliance with this section, that the aircraft meets the requirements of paragraph (e) of this section and that there is no feature, characteristic, or condition that would make the aircraft unsafe when operated under the appropriate limitations contained in this subchapter.
(c) The applicant must apply for an amendment to the type certificate.
(d) The FAA's official flight test program or the flight test program conducted by the authorities of the country in which the aircraft was manufactured, with respect to the amendment of the type certificate, must be in progress.
(e) The applicant or, in the case of foreign manufactured aircraft, the country in which the aircraft was manufactured, must certify that—
(1) The modification involved in the amendment to the type certificate has been designed and constructed in accordance with the airworthiness requirements applicable to the issue of the type certificate for the aircraft;
(2) The aircraft substantially complies with the applicable flight characteristic requirements for the type certificate; and
(3) The aircraft can be operated safely under the appropriate operating limitations in this subchapter.
(f) The applicant must submit a report showing that the aircraft incorporating the modifications involved has been flown in all maneuvers necessary to show compliance with the flight requirements applicable to those modifications and to establish that the aircraft can be operated safely in accordance with the limitations specified in §§ 91.317 and 121.207 of this chapter.
(g) The applicant must establish and publish, in a provisional aircraft flight manual or other document and on appropriate placards, all limitations required for the issue of the type certificate applied for, including weight, speed, flight maneuvers, loading, and operation of controls and equipment, unless, for each limitation not so established, appropriate operating restrictions are established for the aircraft.
(h) The applicant must establish an inspection and maintenance program for the continued airworthiness of the aircraft.
(i) The applicant must operate a prototype aircraft modified in accordance with the corresponding amendment to the type certificate for the number of hours found necessary by the FAA.
This subpart prescribes procedural requirements for the approval of changes to type certificates.
(a) In addition to changes in type design specified in paragraph (b) of this section, changes in type design are classified as minor and major. A “minor change” is one that has no appreciable effect on the weight, balance, structural strength, reliability, operational characteristics, or other characteristics affecting the airworthiness of the product. All other changes are “major changes” (except as provided in paragraph (b) of this section).
(b) For the purpose of complying with Part 36 of this chapter, and except as provided in paragraphs (b)(2), (b)(3), and (b)(4) of this section, any voluntary change in the type design of an aircraft that may increase the noise levels of that aircraft is an “acoustical change” (in addition to being a minor or major change as classified in paragraph (a) of this section) for the following aircraft:
(1) Transport category large airplanes.
(2) Jet (Turbojet powered) airplanes (regardless of category). For airplanes to which this paragraph applies, “acoustical changes” do not include changes in type design that are limited to one of the following—
(i) Gear down flight with one or more retractable landing gear down during the entire flight, or
(ii) Spare engine and nacelle carriage external to the skin of the airplane (and return of the pylon or other external mount), or
(iii) Time-limited engine and/or nacelle changes, where the change in type design specifies that the airplane may not be operated for a period of more than 90 days unless compliance with the applicable acoustical change provisions of Part 36 of this chapter is shown for that change in type design.
(3) Propeller driven commuter category and small airplanes in the primary, normal, utility, acrobatic, transport, and restricted categories, except for airplanes that are:
(i) Designated for “agricultural aircraft operations” (as defined in § 137.3 of this chapter, effective January 1, 1966) to which § 36.1583 of this chapter does not apply, or
(ii) Designated for dispensing fire fighting materials to which § 36.1583 of this chapter does not apply, or
(iii) U.S. registered, and that had flight time prior to January 1, 1955 or
(iv) Land configured aircraft reconfigured with floats or skis. This reconfiguration does not permit further exception from the requirements of this section upon any acoustical change not enumerated in § 21.93(b).
(4) Helicopters except:
(i) Those helicopters that are designated exclusively:
(A) For “agricultural aircraft operations”, as defined in § 137.3 of this chapter, as effective on January 1, 1966;
(B) For dispensing fire fighting materials; or
(C) For carrying external loads, as defined in § 133.1(b) of this chapter, as effective on December 20, 1976.
(ii) Those helicopters modified by installation or removal of external equipment. For purposes of this paragraph, “external equipment” means any instrument, mechanism, part, apparatus, appurtenance, or accessory that is attached to, or extends from, the helicopter exterior but is not used nor is intended to be used in operating or controlling a helicopter in flight and is not part of an airframe or engine. An “acoustical change” does not include:
(A) Addition or removal of external equipment;
(B) Changes in the airframe made to accommodate the addition or removal of external equipment, to provide for an external load attaching means, to facilitate the use of external equipment or external loads, or to facilitate the safe operation of the helicopter with external equipment mounted to, or external loads carried by, the helicopter;
(C) Reconfiguration of the helicopter by the addition or removal of floats and skis;
(D) Flight with one or more doors and/or windows removed or in an open position; or
(E) Any changes in the operational limitations placed on the helicopter as a consequence of the addition or removal of external equipment, floats, and skis, or flight operations with doors and/or windows removed or in an open position.
(5) Tiltrotors.
(c) For purposes of complying with part 34 of this chapter, any voluntary change in the type design of the airplane or engine which may increase fuel venting or exhaust emissions is an “emissions change.”
(d) For the purpose of maintaining compliance with part 38 of this chapter, any voluntary change in the type design of an airplane that may increase the fuel efficiency metric value or the MTOM of that airplane is a “fuel efficiency change”, in addition to being a minor or major change as classified in paragraph (a) of this section.
Minor changes in a type design may be approved under a method acceptable to the FAA before submitting to the FAA any substantiating or descriptive data.
(a) An applicant for approval of a major change in type design must—
(1) Provide substantiating data and necessary descriptive data for inclusion in the type design;
(2) Show that the change and areas affected by the change comply with the applicable requirements of this subchapter, and provide the FAA the means by which such compliance has been shown; and
(3) Provide a statement certifying that the applicant has complied with the applicable requirements.
(b) Approval of a major change in the type design of an aircraft engine is limited to the specific engine configuration upon which the change is made unless the applicant identifies in the necessary descriptive data for inclusion in the type design the other configurations of the same engine type for which approval is requested and shows that the change is compatible with the other configurations.
(a) When an Airworthiness Directive is issued under Part 39 the holder of the type certificate for the product concerned must—
(1) If the FAA finds that design changes are necessary to correct the unsafe condition of the product, and upon his request, submit appropriate design changes for approval; and
(2) Upon approval of the design changes, make available the descriptive data covering the changes to all operators of products previously certificated under the type certificate.
(b) In a case where there are no current unsafe conditions, but the FAA or the holder of the type certificate finds through service experience that changes in type design will contribute to the safety of the product, the holder of the type certificate may submit appropriate design changes for approval. Upon approval of the changes, the manufacturer must make information on the design changes available to all operators of the same type of product.
(a) An applicant for a change to a type certificate must show that the change and areas affected by the change comply with the airworthiness requirements applicable to the category of the product in effect on the date of the application for the change and with parts 34, 36, and 38 of this chapter. Exceptions are detailed in paragraphs (b) and (c) of this section.
(b) Except as provided in paragraph (g) of this section, if paragraphs (b)(1), (2), or (3) of this section apply, an applicant may show that the change and areas affected by the change comply with an earlier amendment of a regulation required by paragraph (a) of this section, and of any other regulation the FAA finds is directly related. However, the earlier amended regulation may not precede either the corresponding regulation included by reference in the type certificate, or any regulation in §§ 25.2, 27.2, or 29.2 of this chapter that is related to the change. The applicant may show compliance with an earlier amendment of a regulation for any of the following:
(1) A change that the FAA finds not to be significant. In determining whether a specific change is significant, the FAA considers the change in context with all previous relevant design changes and all related revisions to the applicable regulations incorporated in the type certificate for the product. Changes that meet one of the following criteria are automatically considered significant:
(i) The general configuration or the principles of construction are not retained.
(ii) The assumptions used for certification of the product to be changed do not remain valid.
(2) Each area, system, component, equipment, or appliance that the FAA finds is not affected by the change.
(3) Each area, system, component, equipment, or appliance that is affected by the change, for which the FAA finds that compliance with a regulation described in paragraph (a) of this section would not contribute materially to the level of safety of the product or would be impractical.
(c) An applicant for a change to an aircraft (other than a rotorcraft) of 6,000 pounds or less maximum weight, to a non-turbine rotorcraft of 3,000 pounds or less maximum weight, to a level 1 low-speed airplane, or to a level 2 low-speed airplane may show that the change and areas affected by the change comply with the regulations included in the type certificate. However, if the FAA finds that the change is significant in an area, the FAA may designate compliance with an amendment to the regulation incorporated by reference in the type certificate that applies to the change and any regulation that the FAA finds is directly related, unless the FAA also finds that compliance with that amendment or regulation would not contribute materially to the level of safety of the product or would be impractical.
(d) If the FAA finds that the regulations in effect on the date of the application for the change do not provide adequate standards with respect to the proposed change because of a novel or unusual design feature, the applicant must also comply with special conditions, and amendments to those special conditions, prescribed under the provisions of § 21.16, to provide a level of safety equal to that established by the regulations in effect on the date of the application for the change.
(e) An application for a change to a type certificate for a transport category aircraft is effective for 5 years, and an application for a change to any other type certificate is effective for 3 years. If the change has not been approved, or if it is clear that it will not be approved under the time limit established under this paragraph, the applicant may do either of the following:
(1) File a new application for a change to the type certificate and comply with all the provisions of paragraph (a) of this section applicable to an original application for a change.
(2) File for an extension of the original application and comply with the provisions of paragraph (a) of this section. The applicant must then select a new application date. The new application date may not precede the date the change is approved by more than the time period established under this paragraph (e).
(f) For aircraft certificated under §§ 21.17(b), 21.24, 21.25, and 21.27 the airworthiness requirements applicable to the category of the product in effect on the date of the application for the change include each airworthiness requirement that the FAA finds to be appropriate for the type certification of the aircraft in accordance with those sections.
(g) Notwithstanding paragraph (b) of this section, for transport category airplanes, the applicant must show compliance with each applicable provision of part 26 of this chapter, unless the applicant has elected or was required to comply with a corresponding amendment to part 25 of this chapter that was issued on or after the date of the applicable part 26 provision.
This subpart prescribes procedural requirements for the issue of supplemental type certificates.
(a) If a person holds the TC for a product and alters that product by introducing a major change in type design that does not require an application for a new TC under § 21.19, that person must apply to the FAA either for an STC, or to amend the original type certificate under subpart D of this part.
(b) If a person does not hold the TC for a product and alters that product by introducing a major change in type design that does not require an application for a new TC under § 21.19, that person must apply to the FAA for an STC.
(c) The application for an STC must be made in the form and manner prescribed by the FAA.
(a) Each applicant for a supplemental type certificate must show that the altered product meets applicable requirements specified in § 21.101 and—
(1) In the case of an acoustical change described in § 21.93(b), show compliance with the applicable noise requirements of part 36 of this chapter;
(2) In the case of an emissions change described in § 21.93(c), show compliance with the applicable fuel venting and exhaust emissions requirements of part 34 of this chapter; and
(3) In the case of a fuel efficiency change described in § 21.93(d), show compliance with the applicable fuel efficiency requirements of part 38 of this chapter.
(b) Each applicant for a supplemental type certificate must meet §§ 21.33 and 21.53 with respect to each change in the type design.
(a) An applicant is entitled to a supplemental type certificate if the FAA finds that the applicant meets the requirements of §§ 21.113 and 21.115.
(b) A supplemental type certificate consists of—
(1) The approval by the FAA of a change in the type design of the product; and
(2) The type certificate previously issued for the product.
The holder of a supplemental type certificate may—
(a) In the case of aircraft, obtain airworthiness certificates;
(b) In the case of other products, obtain approval for installation on certificated aircraft; and
(c) Obtain a production certificate in accordance with the requirements of subpart G of this part for the change in the type design approved by the supplemental type certificate.
A supplemental type certificate holder who allows a person to use the supplemental type certificate to alter an aircraft, aircraft engine, or propeller must provide that person with written permission acceptable to the FAA.
This subpart prescribes rules for production under a type certificate.
(a) A type certificate holder may utilize manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter.
(b) The type certificate holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities.
(c) The type certificate holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article.
Each manufacturer of a product being manufactured under a type certificate must—
(a) Maintain at the place of manufacture all information and data specified in §§ 21.31 and 21.41;
(b) Make each product and article thereof available for inspection by the FAA;
(c) Maintain records of the completion of all inspections and tests required by §§ 21.127, 21.128, and 21.129 for at least 5 years for the products and articles thereof manufactured under the approval and at least 10 years for critical components identified under § 45.15(c) of this chapter;
(d) Allow the FAA to make any inspection or test, including any inspection or test at a supplier facility, necessary to determine compliance with this subchapter;
(e) Mark the product in accordance with part 45 of this chapter, including any critical parts;
(f) Identify any portion of that product (e.g., sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA-approved manufacturer's identification; and
(g) Except as otherwise authorized by the FAA, obtain a production certificate for that product in accordance with subpart G of this part within 6 months after the date of issuance of the type certificate.
(a) Each person manufacturing aircraft under a type certificate must establish an approved production flight test procedure and flight check-off form, and in accordance with that form, flight test each aircraft produced.
(b) Each production flight test procedure must include the following:
(1) An operational check of the trim, controllability, or other flight characteristics to establish that the production aircraft has the same range and degree of control as the prototype aircraft.
(2) An operational check of each part or system operated by the crew while in flight to establish that, during flight, instrument readings are within normal range.
(3) A determination that all instruments are properly marked, and that all placards and required flight manuals are installed after flight test.
(4) A check of the operational characteristics of the aircraft on the ground.
(5) A check on any other items peculiar to the aircraft being tested that can best be done during the ground or flight operation of the aircraft.
(a) Each person manufacturing aircraft engines under a type certificate must subject each engine (except rocket engines for which the manufacturer must establish a sampling technique) to an acceptable test run that includes the following:
(1) Break-in runs that include a determination of fuel and oil consumption and a determination of power characteristics at rated maximum continuous power or thrust and, if applicable, at rated takeoff power or thrust.
(2) At least five hours of operation at rated maximum continuous power or thrust. For engines having a rated takeoff power or thrust higher than rated maximum continuous power or thrust, the five-hour run must include 30 minutes at rated takeoff power or thrust.
(b) The test runs required by paragraph (a) of this section may be made with the engine appropriately mounted and using current types of power and thrust measuring equipment.
Each person manufacturing propellers under a type certificate must give each variable pitch propeller an acceptable functional test to determine if it operates properly throughout the normal range of operation.
Each holder or licensee of a type certificate who manufactures a product under this subpart must provide, in a form and manner acceptable to the FAA, a statement that the product for which the type certificate has been issued conforms to its type certificate and is in a condition for safe operation.
This subpart prescribes—
(a) Procedural requirements for issuing production certificates; and
(b) Rules governing holders of those certificates.
Any person may apply for a production certificate if that person holds, for the product concerned—
(a) A current type certificate,
(b) A supplemental type certificate, or
(c) Rights to the benefits of that type certificate or supplemental type certificate under a licensing agreement.
Each applicant must apply for a production certificate in a form and manner prescribed by the FAA.
(a) Each applicant for or holder of a production certificate must provide the FAA with a document—
(1) Describing how its organization will ensure compliance with the provisions of this subpart;
(2) Describing assigned responsibilities, delegated authorities, and the functional relationship of those responsible for quality to management and other organizational components; and
(3) Identifying an accountable manager.
(b) The accountable manager specified in paragraph (a) of this section must be responsible within the applicant's or production approval holder's organization for, and have authority over, all production operations conducted under this part. The accountable manager must confirm that the procedures described in the quality manual required by § 21.138 are in place and that the production approval holder satisfies the requirements of the applicable regulations of subchapter C, Aircraft. The accountable manager must serve as the primary contact with the FAA.
(c) Each applicant for or holder of a production certificate, except those based only on a supplemental type certificate or on the rights to the benefits of a supplemental type certificate under a licensing agreement, must meet the applicable requirements of part 5 of this chapter.
Each applicant for or holder of a production certificate must establish and describe in writing a quality system that ensures that each product and article conforms to its approved design and is in a condition for safe operation. This quality system must include:
(a) Design data control. Procedures for controlling design data and subsequent changes to ensure that only current, correct, and approved data is used.
(b) Document control. Procedures for controlling quality system documents and data and subsequent changes to ensure that only current, correct, and approved documents and data are used.
(c) Supplier control. Procedures that—
(1) Ensure that each supplier-provided product, article, or service conforms to the production approval holder's requirements; and
(2) Establish a supplier-reporting process for products, articles, or services that have been released from or provided by the supplier and subsequently found not to conform to the production approval holder's requirements.
(d) Manufacturing process control. Procedures for controlling manufacturing processes to ensure that each product and article conforms to its approved design.
(e) Inspecting and testing. Procedures for inspections and tests used to ensure that each product and article conforms to its approved design. These procedures must include the following, as applicable:
(1) A flight test of each aircraft produced unless that aircraft will be exported as an unassembled aircraft.
(2) A functional test of each aircraft engine and each propeller produced.
(f) Inspection, measuring, and test equipment control. Procedures to ensure calibration and control of all inspection, measuring, and test equipment used in determining conformity of each product and article to its approved design. Each calibration standard must be traceable to a standard acceptable to the FAA.
(g) Inspection and test status. Procedures for documenting the inspection and test status of products and articles supplied or manufactured to the approved design.
(h) Nonconforming product and article control. (1) Procedures to ensure that only products or articles that conform to their approved design are installed on a type-certificated product. These procedures must provide for the identification, documentation, evaluation, segregation, and disposition of nonconforming products and articles. Only authorized individuals may make disposition determinations.
(2) Procedures to ensure that discarded articles are rendered unusable.
(i) Corrective and preventive actions. Procedures for implementing corrective and preventive actions to eliminate the causes of an actual or potential nonconformity to the approved design or noncompliance with the approved quality system.
(j) Handling and storage. Procedures to prevent damage and deterioration of each product and article during handling, storage, preservation, and packaging.
(k) Control of quality records. Procedures for identifying, storing, protecting, retrieving, and retaining quality records. A production approval holder must retain these records for at least 5 years for the products and articles manufactured under the approval and at least 10 years for critical components identified under § 45.15(c) of this chapter.
(l) Internal audits. Procedures for planning, conducting, and documenting internal audits to ensure compliance with the approved quality system. The procedures must include reporting results of internal audits to the manager responsible for implementing corrective and preventive actions.
(m) In-service feedback. Procedures for receiving and processing feedback on in-service failures, malfunctions, and defects. These procedures must include a process for assisting the design approval holder to—
(1) Address any in-service problem involving design changes; and
(2) Determine if any changes to the Instructions for Continued Airworthiness are necessary.
(n) Quality escapes. Procedures for identifying, analyzing, and initiating appropriate corrective action for products or articles that have been released from the quality system and that do not conform to the applicable design data or quality system requirements.
(o) Issuing authorized release documents. Procedures for issuing authorized release documents for aircraft engines, propellers, and articles if the production approval holder intends to issue those documents. These procedures must provide for the selection, appointment, training, management, and removal of individuals authorized by the production approval holder to issue authorized release documents. Authorized release documents may be issued for new aircraft engines, propellers, and articles manufactured by the production approval holder; and for used aircraft engines, propellers, and articles when rebuilt, or altered, in accordance with § 43.3(j) of this chapter. When a production approval holder issues an authorized release document for the purpose of export, the production approval holder must comply with the procedures applicable to the export of new and used aircraft engines, propellers, and articles specified in § 21.331 and the responsibilities of exporters specified in § 21.335.
Each applicant for or holder of a production certificate must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA.
(a) An applicant may obtain a production certificate for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter.
(b) The production certificate holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities.
(c) The production certificate holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article.
Each applicant for or holder of a production certificate must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured products or articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter.
The FAA issues a production certificate after finding that the applicant complies with the requirements of this subpart.
The FAA issues a production limitation record as part of a production certificate. The record lists the type certificate number and model of every product that the production certificate holder is authorized to manufacture, and identifies every interface component that the production certificate holder is authorized to manufacture and install under this part.
A production certificate is effective until surrendered, suspended, revoked, or the FAA otherwise establishes a termination date.
The holder of a production certificate may not transfer the production certificate.
(a) The holder of a production certificate may—
(1) Obtain an aircraft airworthiness certificate without further showing, except that the FAA may inspect the aircraft for conformity with the type design; or
(2) In the case of other products, obtain approval from the FAA for installation on type-certificated aircraft.
(b) Notwithstanding the provisions of § 147.3 of this chapter, the holder of a production certificate for a primary category aircraft, or for a normal, utility, or acrobatic category aircraft of a type design that is eligible for a special airworthiness certificate in the primary category under § 21.184(c), may—
(1) Conduct training for persons in the performance of a special inspection and preventive maintenance program approved as a part of the aircraft's type design under § 21.24(b), provided a person holding a mechanic certificate with appropriate airframe and powerplant ratings issued under part 65 of this chapter gives the training; and
(2) Issue a certificate of competency to persons successfully completing the approved training program, provided the certificate specifies the aircraft make and model to which the certificate applies.
The holder of a production certificate must—
(a) Amend the document required by § 21.135 as necessary to reflect changes in the organization and provide these amendments to the FAA.
(b) Maintain the quality system in compliance with the data and procedures approved for the production certificate;
(c) Ensure that each completed product or article for which a production certificate has been issued, including primary category aircraft assembled under a production certificate by another person from a kit provided by the holder of the production certificate, presented for airworthiness certification or approval conforms to its approved design and is in a condition for safe operation;
(d) Mark the product or article for which a certificate or approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts;
(e) Identify any portion of the product or article (e.g., sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification;
(f) Have access to type design data necessary to determine conformity and airworthiness for each product and article produced under the production certificate;
(g) Retain its production certificate and make it available to the FAA upon request; and
(h) Make available to the FAA information regarding all delegation of authority to suppliers.
(a) A holder of a production certificate must apply for an amendment to a production certificate in a form and manner prescribed by the FAA.
(b) An applicant for an amendment to a production certificate to add a type certificate or model, or both, must comply with §§ 21.135(c), 21.137, 21.138, and 21.150.
(c) An applicant may apply to amend its production limitation record to allow the manufacture and installation of an interface component, provided—
(1) The applicant owns or has a license to use the design and installation data for the interface component and makes that data available to the FAA upon request;
(2) The applicant manufactures the interface component;
(3) The applicant's product conforms to its approved type design and the interface component conforms to its approved type design;
(4) The assembled product with the installed interface component is in a condition for safe operation; and
(5) The applicant complies with any other conditions and limitations the FAA considers necessary.
After the issuance of a production certificate—
(a) Each change to the quality system is subject to review by the FAA; and
(b) The holder of a production certificate must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its product or article.
This subpart prescribes procedural requirements for the issue of airworthiness certificates.
Any registered owner of a U.S.-registered aircraft (or the agent of the owner) may apply for an airworthiness certificate for that aircraft. An application for an airworthiness certificate must be made in a form and manner acceptable to the FAA, and may be submitted to any FAA office.
(a) Standard airworthiness certificates are airworthiness certificates issued for aircraft type certificated:
(1) In the normal, utility, acrobatic, commuter, or transport category;
(2) As manned free balloons; or
(3) As special classes of aircraft.
(b) Special airworthiness certificates are airworthiness certificates issued for:
(1) Aircraft type-certificated in the primary, restricted, provisional, or limited category;
(2) Aircraft certificated in the light-sport category;
(3) Aircraft operating for an experimental purpose; or
(4) Aircraft operating under a special flight permit.
An airworthiness certificate may be amended or modified only upon application to the FAA.
An airworthiness certificate is transferred with the aircraft.
(a) Unless sooner surrendered, suspended, revoked, or a termination date is otherwise established by the FAA, airworthiness certificates are effective as long as the aircraft is registered in the United States and as follows:
(1) Standard airworthiness certificates and special airworthiness certificates issued for aircraft certificated in the primary, restricted, or limited category are effective as long as the maintenance, preventive maintenance, and alterations are performed in accordance with parts 43 and 91 of this chapter.
(2) A special flight permit is effective for the period of time specified in the permit.
(3) A special airworthiness certificate in the light-sport category is effective as long as—
(i) The aircraft meets the definition of a light-sport aircraft;
(ii) The aircraft conforms to its original configuration, except for those alterations performed in accordance with an applicable consensus standard and authorized by the aircraft's manufacturer or a person acceptable to the FAA; and
(iii) The aircraft has no unsafe condition and is not likely to develop an unsafe condition.
(4) The duration of an experimental airworthiness certificate issued for research and development, showing compliance with regulations, crew training, or market survey is effective for 3 years from the date of issue or renewal unless the FAA prescribes a shorter period.
(5) The duration of an experimental airworthiness certificate issued for exhibition, air-racing, operating amateur-built aircraft, operating primary kit-built aircraft, operating light-sport aircraft, operating light-sport category kit-built aircraft, operating former light-sport category aircraft is unlimited, unless the FAA establishes a specific period for good cause.
(b) The owner, operator, or bailee of the aircraft must, upon request, make it available for inspection by the FAA.
(c) Upon suspension, revocation, or termination by order of the FAA of an airworthiness certificate, the owner, operator, or bailee of an aircraft must, upon request, surrender the certificate to the FAA.
(a) Except as provided in paragraph (b) of this section, each applicant for an airworthiness certificate under this subpart must show that his aircraft is identified as prescribed in § 45.11.
(b) Paragraph (a) of this section does not apply to applicants for the following:
(1) A special flight permit.
(2) An experimental certificate for an aircraft not issued for the purpose of operating amateur-built aircraft, operating primary kit-built aircraft, or operating light-sport aircraft.
(3) A change from one airworthiness classification to another, for an aircraft already identified as prescribed in § 45.11.
(a) New aircraft manufactured under a production certificate. An applicant for a standard airworthiness certificate for a new aircraft manufactured under a production certificate is entitled to a standard airworthiness certificate without further showing, except that the FAA may inspect the aircraft to determine conformity to the type design and condition for safe operation.
(b) New aircraft manufactured under type certificate. An applicant for a standard airworthiness certificate for a new aircraft manufactured under a type certificate is entitled to a standard airworthiness certificate upon presentation, by the holder or licensee of the type certificate, of the statement of conformity prescribed in § 21.130 if the FAA finds after inspection that the aircraft conforms to the type design and is in condition for safe operation.
(c) Import aircraft. An applicant for a standard airworthiness certificate for an import aircraft is entitled to that certificate if—
(1) The aircraft is type certificated in accordance with § 21.21 or § 21.29 and produced under the authority of another State of Manufacture;
(2) The State of Manufacture certifies, in accordance with the export provisions of an agreement with the United States for import of that aircraft, that the aircraft conforms to the type design and is in condition for safe operation; and
(3) The FAA finds that the aircraft conforms to the type design and is in condition for safe operation.
(d) Used aircraft and surplus aircraft of the U.S. Armed Forces. An applicant for a standard airworthiness certificate for a used aircraft or surplus aircraft of the U.S. Armed Forces is entitled to a standard airworthiness certificate if—
(1) The applicant presents evidence to the FAA that the aircraft conforms to a type design approved under a type certificate or a supplemental type certificate and to applicable Airworthiness Directives;
(2) The aircraft (except an experimentally certificated aircraft that previously had been issued a different airworthiness certificate under this section) has been inspected in accordance with the performance rules for 100-hour inspections set forth in § 43.15 of this chapter, or an equivalent performance standard acceptable to the FAA, and found airworthy by—
(i) The manufacturer;
(ii) The holder of a repair station certificate as provided in Part 145 of this chapter;
(iii) The holder of a mechanic certificate as authorized in Part 65 of this chapter;
(iv) The holder of a certificate issued under part 121 of this chapter, and having a maintenance and inspection organization appropriate to the aircraft type; or
(v) A foreign maintenance organization appropriately certificated by an exporting authority with whose country the United States has a bilateral agreement that includes acceptance of this aircraft category by the United States for import. An acceptable inspection must have been completed while the aircraft was operated on the registry of the exporting authority and within 60 days of submitting the application for a United States airworthiness certificate;
(3) The FAA finds after inspection, that the aircraft conforms to the type design, and is in condition for safe operation.
(e) Noise requirements. Notwithstanding all other provisions of this section, the following must be complied with for the original issuance of a standard airworthiness certificate:
(1) For transport category large airplanes and jet (turbojet powered) airplanes that have not had any flight time before the dates specified in § 36.1(d), no standard airworthiness certificate is originally issued under this section unless the FAA finds that the type design complies with the noise requirements in § 36.1(d) in addition to the applicable airworthiness requirements in this section. For import airplanes, compliance with this paragraph is shown if the country in which the airplane was manufactured certifies, and the FAA finds, that § 36.1(d) (or the applicable airplane noise requirements of the country in which the airplane was manufactured and any other requirements the FAA may prescribe to provide noise levels no greater than those provided by compliance with § 36.1(d)) and paragraph (c) of this section are complied with.
(2) For normal, utility, acrobatic, commuter, or transport category propeller driven small airplanes (except for those airplanes that are designed for “agricultural aircraft operations” (as defined in § 137.3 of this chapter, as effective on January 1, 1966) or for dispensing fire fighting materials to which § 36.1583 of this chapter does not apply) that have not had any flight time before the applicable date specified in part 36 of this chapter, no standard airworthiness certificate is originally issued under this section unless the applicant shows that the type design complies with the applicable noise requirements of part 36 of this chapter in addition to the applicable airworthiness requirements in this section. For import airplanes, compliance with this paragraph is shown if the country in which the airplane was manufactured certifies, and the FAA finds, that the applicable requirements of part of this chapter (or the applicable airplane noise requirements of the country in which the airplane was manufactured and any other requirements the FAA may prescribe to provide noise levels no greater than those provided by compliance with the applicable requirements of part 36 of this chapter) and paragraph (c) of this section are complied with.
(f) Passenger emergency exit requirements. Notwithstanding all other provisions of this section, each applicant for issuance of a standard airworthiness certificate for a transport category airplane manufactured after October 16, 1987, must show that the airplane meets the requirements of § 25.807(c)(7) in effect on July 24, 1989. For the purposes of this paragraph, the date of manufacture of an airplane is the date the inspection acceptance records reflect that the airplane is complete and meets the FAA-approved type design data.
(g) Fuel venting and exhaust emission requirements. Notwithstanding all other provisions of this section, and irrespective of the date of application, no airworthiness certificate is issued, on and after the dates specified in part 34 for the airplanes specified therein, unless the airplane complies with the applicable requirements of that part.
(h) New aircraft manufactured under the provisions of § 21.6(b). An applicant for a standard airworthiness certificate for a new aircraft manufactured under the provisions of § 21.6(b) is entitled to a standard airworthiness certificate if—
(1) The applicant presents evidence to the FAA that the aircraft conforms to a type design approved under a type certificate or supplemental type certificate and to applicable Airworthiness Directives;
(2) The aircraft has been inspected in accordance with the performance rules for a 100-hour inspections set forth in § 43.15 of this chapter and found airworthy by a person specified in paragraph (d)(2) of this section; and
(3) The FAA finds after inspection, that the aircraft conforms to the type design, and is in condition for safe operation.
(i) [Reserved]
(j) Fuel efficiency requirements. No original standard airworthiness certificate may be issued under this section unless the applicant has demonstrated that the type design complies with the applicable fuel efficiency requirements of part 38 of this chapter.
(a) New primary category aircraft manufactured under a production certificate. An applicant for an original, special airworthiness certificate-primary category for a new aircraft that meets the criteria of § 21.24(a)(1), manufactured under a production certificate, including aircraft assembled by another person from a kit provided by the holder of the production certificate and under the supervision and quality control of that holder, is entitled to a special airworthiness certificate without further showing, except that the FAA may inspect the aircraft to determine conformity to the type design and condition for safe operation.
(b) Imported aircraft. An applicant for a special airworthiness certificate-primary category for an imported aircraft type certificated under § 21.29 is entitled to a special airworthiness certificate if the civil airworthiness authority of the country in which the aircraft was manufactured certifies, and the FAA finds after inspection, that the aircraft conforms to an approved type design that meets the criteria of § 21.24(a)(1) and is in a condition for safe operation.
(c) Aircraft having a current standard airworthiness certificate. An applicant for a special airworthiness certificate-primary category, for an aircraft having a current standard airworthiness certificate that meets the criteria of § 21.24(a)(1), may obtain the primary category certificate in exchange for its standard airworthiness certificate through the supplemental type certification process. For the purposes of this paragraph, a current standard airworthiness certificate means that the aircraft conforms to its approved normal, utility, or acrobatic type design, complies with all applicable airworthiness directives, has been inspected and found airworthy within the last 12 calendar months in accordance with § 91.409(a)(1) of this chapter, and is found to be in a condition for safe operation by the FAA.
(d) Other aircraft. An applicant for a special airworthiness certificate-primary category for an aircraft that meets the criteria of § 21.24(a)(1), and is not covered by paragraph (a), (b), or (c) of this section, is entitled to a special airworthiness certificate if—
(1) The applicant presents evidence to the FAA that the aircraft conforms to an approved primary, normal, utility, or acrobatic type design, including compliance with all applicable airworthiness directives;
(2) The aircraft has been inspected and found airworthy within the past 12 calendar months in accordance with § 91.409(a)(1) of this chapter and;
(3) The aircraft is found by the FAA to conform to an approved type design and to be in a condition for safe operation.
(e) Multiple-category airworthiness certificates in the primary category and any other category will not be issued; a primary category aircraft may hold only one airworthiness certificate.
(a) Aircraft manufactured under a production certificate or type certificate. An applicant for a restricted category airworthiness certificate for an aircraft type certificated in the restricted category, that was not previously type certificated in any other category, must comply with § 21.183(a) or (b), as applicable. A used aircraft must conform to its type certificate and be in a condition for safe operation.
(b) Other aircraft. An applicant for an airworthiness certificate in the restricted category is entitled to an airworthiness certificate if—
(1) The aircraft is type certificated for a special purpose operation in the restricted category;
(2) The aircraft was—
(i) Manufactured in accordance with the requirements of, and accepted for use by, the U.S. Armed Forces and has a service history with the U.S. Armed Forces acceptable to the FAA; or
(ii) Previously type certificated in another category; and
(3) The aircraft has been inspected by the FAA and found by him to be in a good state of preservation and repair and in a condition for safe operation.
(c) Import aircraft. An applicant for the original issue of a special airworthiness certificate for a restricted category import aircraft is entitled to that certificate if—
(1) The aircraft is type-certificated in accordance with § 21.25 or § 21.29 and produced under the authority of another State of Manufacture;
(2) The State of Manufacture certifies, in accordance with the export provisions of an agreement with the United States for import of that aircraft that the aircraft conforms to the type design and is in condition for safe operation; and
(3) The FAA finds that the aircraft conforms to the type design and is in condition for safe operation.
(d) Noise requirements. For propeller-driven small airplanes (except airplanes designed for “agricultural aircraft operations,” as defined in § 137.3 of this chapter, as effective on January 1, 1966, or for dispensing fire fighting materials) that have not had any flight time before the applicable date specified in Part 36 of this chapter, and notwithstanding the other provisions of this section, no original restricted category airworthiness certificate is issued under this section unless the FAA finds that the type design complies with the applicable noise requirements of Part 36 of this chapter in addition to the applicable airworthiness requirements of this section. For import airplanes, compliance with this paragraph is shown if the country in which the airplane was manufactured certifies, and the FAA finds, that the applicable requirements of Part 36 of this chapter (or the applicable airplane noise requirements of the country in which the airplane was manufactured and any other requirements the FAA may prescribe to provide noise levels no greater than those provided by compliance with the applicable requirements of Part 36 of this chapter) and paragraph (c) of this section are complied with.
(a) An applicant for an airworthiness certificate in the restricted category, and in one or more other categories except primary category, is entitled to the certificate, if—
(1) The applicant shows compliance with the requirements for each category, when the aircraft is in the configuration for that category;
(2) The applicant shows that the aircraft can be converted from one category to another by removing or adding equipment by simple mechanical means;
(3) The aircraft complies with the applicable requirements of part 34 of this subchapter; and
(4) The airplane complies with the applicable requirements of part 38 of this subchapter.
(b) The operator of an aircraft certificated under this section must have the aircraft inspected by the FAA, or by a certificated mechanic with an appropriate airframe rating, to determine airworthiness each time the aircraft is converted from the restricted category to another category for the carriage of passengers for compensation or hire, unless the FAA finds this unnecessary for safety in a particular case.
(c) The aircraft complies with the applicable requirements of part 34.
(a) An applicant for an airworthiness certificate for an aircraft in the limited category is entitled to the certificate when—
(1) He shows that the aircraft has been previously issued a limited category type certificate and that the aircraft conforms to that type certificate; and
(2) The FAA finds, after inspection (including a flight check by the applicant), that the aircraft is in a good state of preservation and repair and is in a condition for safe operation.
(b) The FAA prescribes limitations and conditions necessary for safe operation.
(a) Purpose. The FAA issues a special airworthiness certificate in the light-sport category to operate a light-sport aircraft, other than a gyroplane.
(b) Eligibility. To be eligible for a special airworthiness certificate in the light-sport category:
(1) An applicant must provide the FAA with—
(i) The aircraft's operating instructions;
(ii) The aircraft's maintenance and inspection procedures;
(iii) The manufacturer's statement of compliance as described in paragraph (c) of this section; and
(iv) The aircraft's flight training supplement.
(2) The aircraft must not have been previously issued a standard, primary, restricted, limited, or provisional airworthiness certificate, or an equivalent airworthiness certificate issued by a foreign civil aviation authority.
(3) The aircraft must be inspected by the FAA and found to be in a condition for safe operation.
(c) Manufacturer's statement of compliance for light-sport category aircraft. The manufacturer's statement of compliance required in paragraph (b)(1)(iii) of this section must—
(1) Identify the aircraft by make and model, serial number, class, date of manufacture, and consensus standard used;
(2) State that the aircraft meets the provisions of the identified consensus standard;
(3) State that the aircraft conforms to the manufacturer's design data, using the manufacturer's quality assurance system that meets the identified consensus standard;
(4) State that the manufacturer will make available to any interested person the following documents that meet the identified consensus standard:
(i) The aircraft's operating instructions.
(ii) The aircraft's maintenance and inspection procedures.
(iii) The aircraft's flight training supplement.
(5) State that the manufacturer will monitor and correct safety-of-flight issues through the issuance of safety directives and a continued airworthiness system that meets the identified consensus standard;
(6) State that at the request of the FAA, the manufacturer will provide unrestricted access to its facilities; and
(7) State that the manufacturer, in accordance with a production acceptance test procedure that meets an applicable consensus standard has—
(i) Ground and flight tested the aircraft;
(ii) Found the aircraft performance acceptable; and
(iii) Determined that the aircraft is in a condition for safe operation.
(d) Light-sport aircraft manufactured outside the United States. For aircraft manufactured outside of the United States to be eligible for a special airworthiness certificate in the light-sport category, an applicant must meet the requirements of paragraph (b) of this section and provide to the FAA evidence that—
(1) The aircraft was manufactured in a country with which the United States has a Bilateral Airworthiness Agreement concerning airplanes or Bilateral Aviation Safety Agreement with associated Implementation Procedures for Airworthiness concerning airplanes, or an equivalent airworthiness agreement; and
(2) The aircraft is eligible for an airworthiness certificate, flight authorization, or other similar certification in its country of manufacture.
Experimental airworthiness certificates are issued for the following experimental purposes:
(a) Research and development. Testing new aircraft design concepts, new aircraft equipment, new aircraft installations, new aircraft operating techniques, or new uses for aircraft.
(b) Showing compliance with regulations. Conducting flight tests and other operations to show compliance with the airworthiness regulations including flights to show compliance for issuance of type and supplemental type certificates, flights to substantiate major design changes, and flights to show compliance with the function and reliability requirements of the regulations.
(c) Crew training. Training of the applicant's flight crews.
(d) Exhibition. Exhibiting the aircraft's flight capabilities, performance, or unusual characteristics at air shows, motion picture, television, and similar productions, and the maintenance of exhibition flight proficiency, including (for persons exhibiting aircraft) flying to and from such air shows and productions.
(e) Air racing. Participating in air races, including (for such participants) practicing for such air races and flying to and from racing events.
(f) Market surveys. Use of aircraft for purposes of conducting market surveys, sales demonstrations, and customer crew training only as provided in § 21.195.
(g) Operating amateur-built aircraft. Operating an aircraft the major portion of which has been fabricated and assembled by persons who undertook the construction project solely for their own education or recreation.
(h) Operating primary kit-built aircraft. Operating a primary category aircraft that meets the criteria of § 21.24(a)(1) that was assembled by a person from a kit manufactured by the holder of a production certificate for that kit, without the supervision and quality control of the production certificate holder under § 21.184(a).
(i) Operating light-sport aircraft. Operating a light-sport aircraft that—
(1) Has not been issued a U.S. or foreign airworthiness certificate and does not meet the provisions of § 103.1 of this chapter. An experimental airworthiness certificate will not be issued under this paragraph (i) for these aircraft after January 31, 2008;
(2) Has been assembled—
(i) From an aircraft kit; and
(ii) In accordance with manufacturer's assembly instructions that meet an applicable consensus standard; and
(iii) An experimental airworthiness certificate will not be issued under this paragraph (i)(2) for these aircraft after October 22, 2025; or
(3) Has been previously issued a special airworthiness certificate in the light-sport category under § 21.190. An experimental airworthiness certificate will not be issued under this paragraph for these aircraft after October 22, 2025.
(j) [Reserved]
(k) Operating light-sport category kit-built aircraft. Operating an aircraft of a type that has been certificated under § 21.190 and assembled from an aircraft kit in accordance with manufacturer's assembly instructions that meet an applicable FAA-accepted consensus standard.
(l) Operating former light-sport category aircraft. Operating an aircraft that previously has been issued a special airworthiness certificate in the light-sport category under § 21.190.
An applicant for an experimental certificate must submit the following information:
(a) A statement, in a form and manner prescribed by the FAA setting forth the purpose for which the aircraft is to be used.
(b) Enough data (such as photographs) to identify the aircraft.
(c) Upon inspection of the aircraft, any pertinent information found necessary by the FAA to safeguard the general public.
(d) In the case of an aircraft to be used for experimental purposes—
(1) The purpose of the experiment;
(2) The estimated time or number of flights required for the experiment;
(3) The areas over which the experiment will be conducted; and
(4) Except for aircraft converted from a previously certificated type without appreciable change in the external configuration, three-view drawings or three-view dimensioned photographs of the aircraft.
(e) In the case of a light-sport aircraft assembled from a kit to be certificated in accordance with § 21.191(k), an applicant must provide the following:
(1) Evidence that an aircraft of the same make and model was manufactured and assembled by the aircraft kit manufacturer and issued a special airworthiness certificate in the light-sport category.
(2) The aircraft's operating instructions.
(3) The aircraft's maintenance and inspection procedures.
(4) The manufacturer's statement of compliance for the aircraft kit used in the aircraft assembly that meets § 21.190(c), except that instead of meeting § 21.190(c)(7), the statement must identify assembly instructions for the aircraft that meet an applicable consensus standard.
(5) The aircraft's flight training supplement.
(6) In addition to paragraphs (e)(1) through (e)(5) of this section, for an aircraft kit manufactured outside of the United States, evidence that the aircraft kit was manufactured in a country with which the United States has a Bilateral Airworthiness Agreement concerning airplanes or a Bilateral Aviation Safety Agreement with associated Implementation Procedures for Airworthiness concerning airplanes, or an equivalent airworthiness agreement.
(a) A manufacturer of aircraft manufactured within the United States may apply for an experimental airworthiness certificate for an aircraft that is to be used for market surveys, sales demonstrations, or customer crew training.
(b) A manufacturer of an aircraft engine manufactured by him within the United States, that has altered a type certificated aircraft by installing an engine it has manufactured, may apply for an experimental airworthiness certificate for that aircraft to be used for market surveys, sales demonstrations, or customer crew training, if the basic aircraft, before alteration, was type certificated in the normal, utility, acrobatic, commuter, transport, primary, or restricted category.
(c) A person who has altered the design of a type certificated aircraft may apply for an experimental airworthiness certificate for an altered aircraft to be used for market surveys, sales demonstrations, or customer crew training, if the basic aircraft, before alteration, was type certificated in the normal, utility, acrobatic, commuter, transport, primary, or restricted category.
(d) An applicant for an experimental airworthiness certificate under paragraph (a), (b), or (c) of this section is entitled to that certificate if, in addition to meeting the requirements of § 21.193—
(1) He has established an inspection and maintenance program for the continued airworthiness of the aircraft; and
(2) The applicant shows that the aircraft has been flown for at least 50 hours, or for at least 5 hours if it is a type certificated aircraft which has been altered. FAA may reduce these operational requirements if the applicant provides adequate justification.
(a) A special flight permit may be issued for an aircraft that may not currently meet applicable airworthiness requirements but is capable of safe flight, for the following purposes:
(1) Flying the aircraft to a base where repairs, alterations, or maintenance are to be performed, or to a point of storage.
(2) Delivering or exporting the aircraft.
(3) Production flight testing new production aircraft.
(4) Evacuating aircraft from areas of impending danger.
(5) Conducting customer demonstration flights in new production aircraft that have satisfactorily completed production flight tests.
(b) A special flight permit may also be issued to authorize the operation of an aircraft at a weight in excess of its maximum certificated takeoff weight for flight beyond the normal range over water, or over land areas where adequate landing facilities or appropriate fuel is not available. The excess weight that may be authorized under this paragraph is limited to the additional fuel, fuel-carrying facilities, and navigation equipment necessary for the flight.
(c) Upon application, as prescribed in §§ 91.1017 or 119.51 of this chapter, a special flight permit with a continuing authorization may be issued for aircraft that may not meet applicable airworthiness requirements, but are capable of safe flight for the purpose of flying aircraft to a base where maintenance or alterations are to be performed. The permit issued under this paragraph is an authorization, including conditions and limitations for flight, which is set forth in the certificate holder's operations specifications. The permit issued under this paragraph may be issued to—
(1) Certificate holders authorized to conduct operations under part 119 of this chapter, that have an approved program for continuing flight authorization; or
(2) Management specification holders authorized to conduct operations under part 91, subpart K of this chapter for those aircraft they operate and maintain under a continuous airworthiness maintenance program prescribed by § 91.1411 of this chapter.
(a) Except as provided in § 21.197(c), an applicant for a special flight permit must submit a statement in a form and manner prescribed by the FAA, indicating—
(1) The purpose of the flight.
(2) The proposed itinerary.
(3) The crew required to operate the aircraft and its equipment, e.g., pilot, co-pilot, navigator, etc.
(4) The ways, if any, in which the aircraft does not comply with the applicable airworthiness requirements.
(5) Any restriction the applicant considers necessary for safe operation of the aircraft.
(6) Any other information considered necessary by the FAA for the purpose of prescribing operating limitations.
(b) The FAA may make, or require the applicant to make appropriate inspections or tests necessary for safety.
This subpart prescribes procedural requirements for the issue of provisional airworthiness certificates.
(a) A manufacturer who is a United States citizen may apply for a Class I or Class II provisional airworthiness certificate for aircraft manufactured by him within the U.S.
(b) Any holder of an air carrier operating certificate under Part 121 of this chapter who is a United States citizen may apply for a Class II provisional airworthiness certificate for transport category aircraft that meet either of the following:
(1) The aircraft has a current Class II provisional type certificate or an amendment thereto.
(2) The aircraft has a current provisional amendment to a type certificate that was preceded by a corresponding Class II provisional type certificate.
(c) An aircraft engine manufacturer who is a United States citizen and who has altered a type certificated aircraft by installing different type certificated engines, manufactured by him within the United States, may apply for a Class I provisional airworthiness certificate for that aircraft, if the basic aircraft, before alteration, was type certificated in the normal, utility, acrobatic, commuter, or transport category.
Applications for provisional airworthiness certificates must be submitted to the FAA. The application must be accompanied by the pertinent information specified in this subpart.
Unless sooner surrendered, superseded, revoked, or otherwise terminated, provisional airworthiness certificates are effective for the duration of the corresponding provisional type certificate, amendment to a provisional type certificate, or provisional amendment to the type certificate.
Class I provisional airworthiness certificates are not transferable. Class II provisional airworthiness certificates may be transferred to an air carrier eligible to apply for a certificate under § 21.213(b).
(a) Except as provided in § 21.225, an applicant is entitled to a Class I provisional airworthiness certificate for an aircraft for which a Class I provisional type certificate has been issued if—
(1) He meets the eligibility requirements of § 21.213 and he complies with this section; and
(2) The FAA finds that there is no feature, characteristic or condition of the aircraft that would make the aircraft unsafe when operated in accordance with the limitations established in §§ 21.81(e) and 91.317 of this subchapter.
(b) The manufacturer must hold a provisional type certificate for the aircraft.
(c) The manufacturer must submit a statement that the aircraft conforms to the type design corresponding to the provisional type certificate and has been found by him to be in safe operating condition under all applicable limitations.
(d) The aircraft must be flown at least five hours by the manufacturer.
(e) The aircraft must be supplied with a provisional aircraft flight manual or other document and appropriate placards containing the limitations established by §§ 21.81(e) and 91.317.
(a) Except as provided in § 21.225, an applicant is entitled to a Class II provisional airworthiness certificate for an aircraft for which a Class II provisional type certificate has been issued if—
(1) He meets the eligibility requirements of § 21.213 and he complies with this section; and
(2) The FAA finds that there is no feature, characteristic, or condition of the aircraft that would make the aircraft unsafe when operated in accordance with the limitations established in §§ 21.83(h), 91.317, and 121.207 of this chapter.
(b) The applicant must show that a Class II provisional type certificate for the aircraft has been issued to the manufacturer.
(c) The applicant must submit a statement by the manufacturer that the aircraft has been manufactured under a quality system adequate to ensure that the aircraft conforms to the type design corresponding with the provisional type certificate.
(d) The applicant must submit a statement that the aircraft has been found by him to be in a safe operating condition under the applicable limitations.
(e) The aircraft must be flown at least five hours by the manufacturer.
(f) The aircraft must be supplied with a provisional aircraft flight manual containing the limitations established by §§ 21.83(h), 91.317, and 121.207 of this chapter.
(a) An applicant is entitled to a Class I or a Class II provisional airworthiness certificate, for an aircraft, for which a provisional amendment to the type certificate has been issued, if—
(1) He meets the eligibility requirements of § 21.213 and he complies with this section; and
(2) The FAA finds that there is no feature, characteristic, or condition of the aircraft, as modified in accordance with the provisionally amended type certificate, that would make the aircraft unsafe when operated in accordance with the applicable limitations established in §§ 21.85(g), 91.317, and 121.207 of this chapter.
(b) The applicant must show that the modification was made under a quality system adequate to ensure that the modification conforms to the provisionally amended type certificate.
(c) The applicant must submit a statement that the aircraft has been found by him to be in a safe operating condition under the applicable limitations.
(d) The aircraft must be flown at least five hours by the manufacturer.
(e) The aircraft must be supplied with a provisional aircraft flight manual or other document and appropriate placards containing the limitations required by §§ 21.85(g), 91.317, and 121.207 of this chapter.
This subpart prescribes—
(a) Procedural requirements for issuing PMAs; and
(b) Rules governing holders of PMAs.
(a) The applicant for a PMA must apply in a form and manner prescribed by the FAA, and include the following:
(1) The identity of the product on which the article is to be installed.
(2) The name and address of the manufacturing facilities at which these articles are to be manufactured.
(3) The design of the article, which consists of—
(i) Drawings and specifications necessary to show the configuration of the article; and
(ii) Information on dimensions, materials, and processes necessary to define the structural strength of the article.
(4) Test reports and computations necessary to show that the design of the article meets the airworthiness requirements of this subchapter. The test reports and computations must be applicable to the product on which the article is to be installed, unless the applicant shows that the design of the article is identical to the design of a article that is covered under a type certificate. If the design of the article was obtained by a licensing agreement, the applicant must provide evidence of that agreement.
(5) An applicant for a PMA based on test reports and computations must provide a statement certifying that the applicant has complied with the airworthiness requirements of this subchapter.
(b) Each applicant for a PMA must make all inspections and tests necessary to determine—
(1) Compliance with the applicable airworthiness requirements;
(2) That materials conform to the specifications in the design;
(3) That the article conforms to its approved design; and
(4) That the manufacturing processes, construction, and assembly conform to those specified in the design.
(a) Each applicant for or holder of a PMA must provide the FAA with a document—
(1) Describing how its organization will ensure compliance with the provisions of this subpart;
(2) Describing assigned responsibilities, delegated authorities, and the functional relationship of those responsible for quality to management and other organizational components; and
(3) Identifying an accountable manager.
(b) The accountable manager specified in paragraph (a) of this section must be responsible within the applicant's or production approval holder's organization for, and have authority over, all production operations conducted under this part. The accountable manager must confirm that the procedures described in the quality manual required by § 21.308 are in place and that the production approval holder satisfies the requirements of the applicable regulations of subchapter C, Aircraft. The accountable manager must serve as the primary contact with the FAA.
Each applicant for or holder of a PMA must establish a quality system that meets the requirements of § 21.137.
Each applicant for or holder of a PMA must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA.
(a) An applicant may obtain a PMA for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter.
(b) The PMA holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities.
(c) The PMA holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its PMA article.
(a) Each applicant for or holder of a PMA must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter.
(b) Unless otherwise authorized by the FAA, the applicant or holder—
(1) May not present any article to the FAA for an inspection or test unless compliance with § 21.303(b)(2) through (4) has been shown for that article; and
(2) May not make any change to an article between the time that compliance with § 21.303(b)(2) through (4) is shown for that article and the time that the article is presented to the FAA for the inspection or test.
The FAA issues a PMA after finding that the applicant complies with the requirements of this subpart and the design complies with the requirements of this chapter applicable to the product on which the article is to be installed.
A PMA is effective until surrendered, withdrawn, or the FAA otherwise terminates it.
The holder of a PMA may not transfer the PMA.
Each holder of a PMA must—
(a) Amend the document required by § 21.305 as necessary to reflect changes in the organization and provide these amendments to the FAA;
(b) Maintain the quality system in compliance with the data and procedures approved for the PMA;
(c) Ensure that each PMA article conforms to its approved design and is in a condition for safe operation;
(d) Mark the PMA article for which an approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts;
(e) Identify any portion of the PMA article (e.g., sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification;
(f) Have access to design data necessary to determine conformity and airworthiness for each article produced under the PMA;
(g) Retain each document granting PMA and make it available to the FAA upon request; and
(h) Make available to the FAA information regarding all delegation of authority to suppliers.
(a) Classification of design changes. (1) A “minor change” to the design of an article produced under a PMA is one that has no appreciable effect on the approval basis.
(2) A “major change” to the design of an article produced under a PMA is any change that is not minor.
(b) Approval of design changes. (1) Minor changes to the basic design of a PMA may be approved using a method acceptable to the FAA.
(2) The PMA holder must obtain FAA approval of any major change before including it in the design of an article produced under a PMA.
After the issuance of a PMA—
(a) Each change to the quality system is subject to review by the FAA; and
(b) The holder of the PMA must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its article.
This subpart prescribes—
(a) Procedural requirements for issuing export airworthiness approvals; and
(b) Rules governing the holders of those approvals.
(a) An export airworthiness approval for an aircraft is issued in the form of an export certificate of airworthiness. This certificate does not authorize operation of that aircraft.
(b) The FAA prescribes the form and manner in which an export airworthiness approval for an aircraft engine, propeller, or article is issued.
(c) If the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter, an export airworthiness approval may be issued for a product or article located outside of the United States.
(a) Any owner of a U.S.-registered aircraft (or the agent of the owner) may apply for an export certificate of airworthiness for that aircraft.
(b) Any person may apply for an export airworthiness approval for an aircraft engine, propeller, or article.
(c) Each applicant must apply in a form and manner prescribed by the FAA.
(a) A person may obtain from the FAA an export certificate of airworthiness for an aircraft if—
(1) A new or used aircraft manufactured under subpart F or G of this part meets the requirements under subpart H of this part for a—
(i) Standard airworthiness certificate; or
(ii) Special airworthiness certificate in either the “primary” or the “restricted” category; or
(2) A new or used aircraft not manufactured under subpart F or G of this part has a valid—
(i) Standard airworthiness certificate; or
(ii) Special airworthiness certificate in either the “primary” or the “restricted” category.
(b) An aircraft need not meet a requirement specified in paragraph (a) of this section, as applicable, if—
(1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and
(2) The export certificate of airworthiness lists as an exception any difference between the aircraft to be exported and its type design.
(a) A person may obtain from the FAA an export airworthiness approval to export a new aircraft engine, propeller, or article that is manufactured under this part if it conforms to its approved design and is in a condition for safe operation.
(b) A new aircraft engine, propeller, or article need not meet a requirement of paragraph (a) of this section if—
(1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and
(2) The export airworthiness approval lists as an exception any difference between the aircraft engine, propeller, or article to be exported and its approved design.
(c) A person may obtain from the FAA an export airworthiness approval to export a used aircraft engine, propeller, or article if it conforms to its approved design and is in a condition for safe operation.
(d) A used aircraft engine or propeller need not meet a requirement of paragraph (c) of this section if—
(1) The importing country or jurisdiction accepts, in a form and manner acceptable to the FAA, a deviation from that requirement; and
(2) The export airworthiness approval lists as an exception any difference between the used aircraft engine or propeller to be exported and its approved design.
Unless otherwise agreed to by the importing country or jurisdiction, each exporter must—
(a) Forward to the importing country or jurisdiction all documents specified by that country or jurisdiction;
(b) Preserve and package products and articles as necessary to protect them against corrosion and damage during transit or storage and state the duration of effectiveness of such preservation and packaging;
(c) Remove or cause to be removed any temporary installation incorporated on an aircraft for the purpose of export delivery and restore the aircraft to the approved configuration upon completion of the delivery flight;
(d) Secure all proper foreign entry clearances from all the countries or jurisdictions involved when conducting sales demonstrations or delivery flights; and
(e) When title to an aircraft passes or has passed to a foreign purchaser—
(1) Request cancellation of the U.S. registration and airworthiness certificates from the FAA, giving the date of transfer of title, and the name and address of the foreign owner;
(2) Return the Registration and Airworthiness Certificates to the FAA; and
(3) Provide a statement to the FAA certifying that the U.S. identification and registration numbers have been removed from the aircraft in compliance with § 45.33.
An aircraft engine or propeller manufactured in a foreign country or jurisdiction meets the requirements for acceptance under this subchapter if—
(a) That country or jurisdiction is subject to the provisions of an agreement with the United States for the acceptance of that product;
(b) That product is marked in accordance with part 45 of this chapter; and
(c) The holder or licensee of a U.S. type certificate for that product furnishes with each such aircraft engine or propeller imported into the United States, an export airworthiness approval issued in accordance with the provisions of that agreement certifying that the individual aircraft engine or propeller—
(1) Conforms to its U.S. type certificate and is in condition for safe operation; and
(2) Has been subjected by the manufacturer to a final operational check.
An article (including an article produced under a letter of TSO design approval) manufactured in a foreign country or jurisdiction meets the requirements for acceptance under this subchapter if—
(a) That country or jurisdiction is subject to the provisions of an agreement with the United States for the acceptance of that article;
(b) That article is marked in accordance with part 45 of this chapter; and
(c) An export airworthiness approval has been issued in accordance with the provisions of that agreement for that article for import into the United States.
(a) This subpart prescribes—
(1) Procedural requirements for issuing TSO authorizations;
(2) Rules governing the holders of TSO authorizations; and
(3) Procedural requirements for issuing letters of TSO design approval.
(b) For the purposes of this subpart—
(1) A TSO issued by the FAA is a minimum performance standard for specified articles used on civil aircraft;
(2) A TSO authorization is an FAA design and production approval issued to the manufacturer of an article that has been found to meet a specific TSO;
(3) A letter of TSO design approval is an FAA design approval for an article that has been found to meet a specific TSO in accordance with the procedures of § 21.621;
(4) An article manufactured under a TSO authorization, an FAA letter of acceptance as described in § 21.613(b), or an article manufactured under a letter of TSO design approval described in § 21.621 is an approved article for the purpose of meeting the regulations of this chapter that require the article to be approved; and
(5) An article manufacturer is the person who controls the design and quality of the article produced (or to be produced, in the case of an application), including any related parts, processes, or services procured from an outside source.
(a) An applicant for a TSO authorization must apply in the form and manner prescribed by the FAA. The applicant must include the following documents in the application:
(1) A statement of conformance certifying that the applicant has met the requirements of this subpart and that the article concerned meets the applicable TSO that is effective on the date of application for that article.
(2) One copy of the technical data required in the applicable TSO.
(b) If the applicant anticipates a series of minor changes in accordance with § 21.619, the applicant may set forth in its application the basic model number of the article and the part number of the components with open brackets after it to denote that suffix change letters or numbers (or combinations of them) will be added from time to time.
(c) If the application is deficient, the applicant must, when requested by the FAA, provide any additional information necessary to show compliance with this part. If the applicant fails to provide the additional information within 30 days after the FAA's request, the FAA denies the application and notifies the applicant.
(a) Each applicant for or holder of a TSO authorization must provide the FAA with a document—
(1) Describing how its organization will ensure compliance with the provisions of this subpart;
(2) Describing assigned responsibilities, delegated authorities, and the functional relationship of those responsible for quality to management and other organizational components; and
(3) Identifying an accountable manager.
(b) The accountable manager specified in paragraph (a) of this section must be responsible within the applicant's or production approval holder's organization for, and have authority over, all production operations conducted under this part. The accountable manager must confirm that the procedures described in the quality manual required by § 21.608 are in place and that the production approval holder satisfies the requirements of the applicable regulations of subchapter C, Aircraft. The accountable manager must serve as the primary contact with the FAA.
Each applicant for or holder of a TSO authorization must establish a quality system that meets the requirements of § 21.137.
Each applicant for or holder of a TSO authorization must provide a manual describing its quality system to the FAA for approval. The manual must be in the English language and retrievable in a form acceptable to the FAA.
(a) An applicant may obtain a TSO authorization for manufacturing facilities located outside of the United States if the FAA finds no undue burden in administering the applicable requirements of Title 49 U.S.C. and this subchapter.
(b) The TSO authorization holder must obtain FAA approval before making any changes to the location of any of its manufacturing facilities.
(c) The TSO authorization holder must immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article.
Each applicant for or holder of a TSO authorization must allow the FAA to inspect its quality system, facilities, technical data, and any manufactured articles and witness any tests, including any inspections or tests at a supplier facility, necessary to determine compliance with this subchapter.
If the FAA finds that the applicant complies with the requirements of this subchapter, the FAA issues a TSO authorization to the applicant (including all TSO deviations granted to the applicant).
(a) A TSO authorization or letter of TSO design approval is effective until surrendered, withdrawn, or otherwise terminated by the FAA.
(b) If a TSO is revised or canceled, the holder of an affected FAA letter of acceptance of a statement of conformance, TSO authorization, or letter of TSO design approval may continue to manufacture articles that meet the original TSO without obtaining a new acceptance, authorization, or approval but must comply with the requirements of this chapter.
The holder of a TSO authorization or letter of TSO design approval may not transfer the TSO authorization or letter of TSO design approval.
Each holder of a TSO authorization must—
(a) Amend the document required by § 21.605 as necessary to reflect changes in the organization and provide these amendments to the FAA.
(b) Maintain a quality system in compliance with the data and procedures approved for the TSO authorization;
(c) Ensure that each manufactured article conforms to its approved design, is in a condition for safe operation, and meets the applicable TSO;
(d) Mark the TSO article for which an approval has been issued. Marking must be in accordance with part 45 of this chapter, including any critical parts;
(e) Identify any portion of the TSO article (e.g., sub-assemblies, component parts, or replacement articles) that leave the manufacturer's facility as FAA approved with the manufacturer's part number and name, trademark, symbol, or other FAA approved manufacturer's identification;
(f) Have access to design data necessary to determine conformity and airworthiness for each article produced under the TSO authorization. The manufacturer must retain this data until it no longer manufactures the article. At that time, copies of the data must be sent to the FAA;
(g) Retain its TSO authorization and make it available to the FAA upon request; and
(h) Make available to the FAA information regarding all delegation of authority to suppliers.
(a) Each manufacturer who requests approval to deviate from any performance standard of a TSO must show that factors or design features providing an equivalent level of safety compensate for the standards from which a deviation is requested.
(b) The manufacturer must send requests for approval to deviate, together with all pertinent data, to the FAA. If the article is manufactured under the authority of a foreign country or jurisdiction, the manufacturer must send requests for approval to deviate, together with all pertinent data, through the civil aviation authority of that country or jurisdiction to the FAA.
(a) Minor changes by the manufacturer holding a TSO authorization. The manufacturer of an article under an authorization issued under this part may make minor design changes (any change other than a major change) without further approval by the FAA. In this case, the changed article keeps the original model number (part numbers may be used to identify minor changes) and the manufacturer must forward to the FAA, any revised data that are necessary for compliance with § 21.603(a).
(b) Major changes by the manufacturer holding a TSO authorization. Any design change by the manufacturer extensive enough to require a substantially complete investigation to determine compliance with a TSO is a major change. Before making a major change, the manufacturer must assign a new type or model designation to the article and apply for an authorization under § 21.603.
(c) Changes by persons other than the manufacturer. No design change by any person (other than the manufacturer who provided the statement of conformance for the article) is eligible for approval under this part unless the person seeking the approval is a manufacturer and applies under § 21.603(a) for a separate TSO authorization. Persons other than a manufacturer may obtain approval for design changes under part 43 or under the applicable airworthiness regulations of this chapter.
After the issuance of a TSO authorization—
(a) Each change to the quality system is subject to review by the FAA; and
(b) The holder of the TSO authorization must immediately notify the FAA, in writing, of any change that may affect the inspection, conformity, or airworthiness of its article.
(a) The FAA may issue a letter of TSO design approval for an article—
(1) Designed and manufactured in a foreign country or jurisdiction subject to the export provisions of an agreement with the United States for the acceptance of these articles for import; and
(2) For import into the United States if—
(i) The State of Design certifies that the article has been examined, tested, and found to meet the applicable TSO or the applicable performance standards of the State of Design and any other performance standards the FAA may prescribe to provide a level of safety equivalent to that provided by the TSO; and
(ii) The manufacturer has provided to the FAA one copy of the technical data required in the applicable performance standard through its State of Design.
(b) The FAA issues the letter of TSO design approval that lists any deviation granted under § 21.618.
The requirements of § 121.1500 of this chapter also apply to this part.
(a) Each cockpit voice recorder required by the operating rules of this chapter must be approved and must be installed so that it will record the following:
(1) Voice communications transmitted from or received in the airplane by radio.
(2) Voice communications of flightcrew members on the flight deck.
(3) Voice communications of flightcrew members on the flight deck, using the airplane's interphone system.
(4) Voice or audio signals identifying navigation or approach aids introduced into a headset or speaker.
(5) Voice communications of flightcrew members using the passenger loudspeaker system, if there is such a system and if the fourth channel is available in accordance with the requirements of paragraph (c)(4)(ii) of this section.
(6) If datalink communication equipment is installed, all datalink communications, using an approved data message set. Datalink messages must be recorded as the output signal from the communications unit that translates the signal into usable data.
(b) The recording requirements of paragraph (a)(2) of this section must be met by installing a cockpit-mounted area microphone, located in the best position for recording voice communications originating at the first and second pilot stations and voice communications of other crewmembers on the flight deck when directed to those stations. The microphone must be so located and, if necessary, the preamplifiers and filters of the recorder must be so adjusted or supplemented, so that the intelligibility of the recorded communications is as high as practicable when recorded under flight cockpit noise conditions and played back. Repeated aural or visual playback of the record may be used in evaluating intelligibility.
(c) Each cockpit voice recorder must be installed so that the part of the communication or audio signals specified in paragraph (a) of this section obtained from each of the following sources is recorded on a separate channel:
(1) For the first channel, from each boom, mask, or handheld microphone, headset, or speaker used at the first pilot station.
(2) For the second channel from each boom, mask, or handheld microphone, headset, or speaker used at the second pilot station.
(3) For the third channel—from the cockpit-mounted area microphone.
(4) For the fourth channel from:
(i) Each boom, mask, or handheld microphone, headset, or speaker used at the station for the third and fourth crewmembers.
(ii) If the stations specified in paragraph (c)(4)(i) of this section are not required or if the signal at such a station is picked up by another channel, each microphone on the flight deck that is used with the passenger loudspeaker system, if its signals are not picked up by another channel.
(5) And that as far as is practicable all sounds received by the microphone listed in paragraphs (c)(1), (2), and (4) of this section must be recorded without interruption irrespective of the position of the interphone-transmitter key switch. The design shall ensure that sidetone for the flightcrew is produced only when the interphone, public address system, or radio transmitters are in use.
(d) Each cockpit voice recorder must be installed so that:
(1)(i) It receives its electrical power from the bus that provides the maximum reliability for operation of the cockpit voice recorder without jeopardizing service to essential or emergency loads.
(ii) It remains powered for as long as possible without jeopardizing emergency operation of the airplane.
(2) There is an automatic means to simultaneously stop the recorder and prevent each erasure feature from functioning, within 10 minutes after crash impact.
(3) There is an aural or visual means for preflight checking of the recorder for proper operation.
(4) Any single electrical failure external to the recorder does not disable both the cockpit voice recorder and the flight data recorder.
(5) It has an independent power source—
(i) That provides 10 ±1 minutes of electrical power to operate both the cockpit voice recorder and cockpit-mounted area microphone;
(ii) That is located as close as practicable to the cockpit voice recorder; and
(iii) To which the cockpit voice recorder and cockpit-mounted area microphone are switched automatically in the event that all other power to the cockpit voice recorder is interrupted either by normal shutdown or by any other loss of power to the electrical power bus.
(6) It is in a separate container from the flight data recorder when both are required. If used to comply with only the cockpit voice recorder requirements, a combination unit may be installed.
(e) The recorder container must be located and mounted to minimize the probability of rupture of the container as a result of crash impact and consequent heat damage to the recorder from fire.
(1) Except as provided in paragraph (e)(2) of this section, the recorder container must be located as far aft as practicable, but need not be outside of the pressurized compartment, and may not be located where aft-mounted engines may crush the container during impact.
(2) If two separate combination digital flight data recorder and cockpit voice recorder units are installed instead of one cockpit voice recorder and one digital flight data recorder, the combination unit that is installed to comply with the cockpit voice recorder requirements may be located near the cockpit.
(f) If the cockpit voice recorder has a bulk erasure device, the installation must be designed to minimize the probability of inadvertent operation and actuation of the device during crash impact.
(g) Each recorder container must—
(1) Be either bright orange or bright yellow;
(2) Have reflective tape affixed to its external surface to facilitate its location under water; and
(3) Have an underwater locating device, when required by the operating rules of this chapter, on or adjacent to the container, which is secured in such manner that they are not likely to be separated during crash impact.
(a) Each flight recorder required by the operating rules of this chapter must be installed so that—
(1) It is supplied with airspeed, altitude, and directional data obtained from sources that meet the aircraft level system requirements and the functionality specified in § 23.2500;
(2) The vertical acceleration sensor is rigidly attached, and located longitudinally either within the approved center of gravity limits of the airplane, or at a distance forward or aft of these limits that does not exceed 25 percent of the airplane's mean aerodynamic chord;
(3)(i) It receives its electrical power from the bus that provides the maximum reliability for operation of the flight data recorder without jeopardizing service to essential or emergency loads;
(ii) It remains powered for as long as possible without jeopardizing emergency operation of the airplane;
(4) There is an aural or visual means for preflight checking of the recorder for proper recording of data in the storage medium;
(5) Except for recorders powered solely by the engine-driven electrical generator system, there is an automatic means to simultaneously stop a recorder that has a data erasure feature and prevent each erasure feature from functioning, within 10 minutes after crash impact;
(6) Any single electrical failure external to the recorder does not disable both the cockpit voice recorder and the flight data recorder; and
(7) It is in a separate container from the cockpit voice recorder when both are required. If used to comply with only the flight data recorder requirements, a combination unit may be installed. If a combination unit is installed as a cockpit voice recorder to comply with § 23.1457(e)(2), a combination unit must be used to comply with this flight data recorder requirement.
(b) Each non-ejectable record container must be located and mounted so as to minimize the probability of container rupture resulting from crash impact and subsequent damage to the record from fire. In meeting this requirement, the record container must be located as far aft as practicable, but need not be aft of the pressurized compartment, and may not be where aft-mounted engines may crush the container upon impact.
(c) A correlation must be established between the flight recorder readings of airspeed, altitude, and heading and the corresponding readings (taking into account correction factors) of the first pilot's instruments. The correlation must cover the airspeed range over which the airplane is to be operated, the range of altitude to which the airplane is limited, and 360 degrees of heading. Correlation may be established on the ground as appropriate.
(d) Each recorder container must—
(1) Be either bright orange or bright yellow;
(2) Have reflective tape affixed to its external surface to facilitate its location under water; and
(3) Have an underwater locating device, when required by the operating rules of this chapter, on or adjacent to the container, which is secured in such a manner that they are not likely to be separated during crash impact.
(e) Any novel or unique design or operational characteristics of the aircraft shall be evaluated to determine if any dedicated parameters must be recorded on flight recorders in addition to or in place of existing requirements.
The applicant must prepare Instructions for Continued Airworthiness, in accordance with appendix A of this part, that are acceptable to the Administrator. The instructions may be incomplete at type certification if a program exists to ensure their completion prior to delivery of the first airplane or issuance of a standard certificate of airworthiness, whichever occurs later.
(a) This part prescribes airworthiness standards for the issuance of type certificates, and changes to those certificates, for airplanes in the normal category.
(b) For the purposes of this part, the following definition applies:
Continued safe flight and landing means an airplane is capable of continued controlled flight and landing, possibly using emergency procedures, without requiring exceptional pilot skill or strength. Upon landing, some airplane damage may occur as a result of a failure condition.
(a) Certification in the normal category applies to airplanes with a passenger-seating configuration of 19 or less and a maximum certificated takeoff weight of 19,000 pounds or less.
(b) Airplane certification levels are:
(1) Level 1—for airplanes with a maximum seating configuration of 0 to 1 passengers.
(2) Level 2—for airplanes with a maximum seating configuration of 2 to 6 passengers.
(3) Level 3—for airplanes with a maximum seating configuration of 7 to 9 passengers.
(4) Level 4—for airplanes with a maximum seating configuration of 10 to 19 passengers.
(c) Airplane performance levels are:
(1) Low speed—for airplanes with a V
(2) High speed—for airplanes with a V
(d) Airplanes not certified for aerobatics may be used to perform any maneuver incident to normal flying, including—
(1) Stalls (except whip stalls); and
(2) Lazy eights, chandelles, and steep turns, in which the angle of bank is not more than 60 degrees.
(e) Airplanes certified for aerobatics may be used to perform maneuvers without limitations, other than those limitations established under subpart G of this part.
(a) An applicant must comply with this part using a means of compliance, which may include consensus standards, accepted by the Administrator.
(b) An applicant requesting acceptance of a means of compliance must provide the means of compliance to the FAA in a form and manner acceptable to the Administrator.
(a) The applicant must determine limits for weights and centers of gravity that provide for the safe operation of the airplane.
(b) The applicant must comply with each requirement of this subpart at critical combinations of weight and center of gravity within the airplane's range of loading conditions using tolerances acceptable to the Administrator.
(c) The condition of the airplane at the time of determining its empty weight and center of gravity must be well defined and easily repeatable.
(a) Unless otherwise prescribed, an airplane must meet the performance requirements of this subpart in—
(1) Still air and standard atmospheric conditions at sea level for all airplanes; and
(2) Ambient atmospheric conditions within the operating envelope for levels 1 and 2 high-speed and levels 3 and 4 airplanes.
(b) Unless otherwise prescribed, the applicant must develop the performance data required by this subpart for the following conditions:
(1) Airport altitudes from sea level to 10,000 feet (3,048 meters); and
(2) Temperatures above and below standard day temperature that are within the range of operating limitations, if those temperatures could have a negative effect on performance.
(c) The procedures used for determining takeoff and landing distances must be executable consistently by pilots of average skill in atmospheric conditions expected to be encountered in service.
(d) Performance data determined in accordance with paragraph (b) of this section must account for losses due to atmospheric conditions, cooling needs, and other demands on power sources.
The applicant must determine the airplane stall speed or the minimum steady flight speed for each flight configuration used in normal operations, including takeoff, climb, cruise, descent, approach, and landing. The stall speed or minimum steady flight speed determination must account for the most adverse conditions for each flight configuration with power set at—
(a) Idle or zero thrust for propulsion systems that are used primarily for thrust; and
(b) A nominal thrust for propulsion systems that are used for thrust, flight control, and/or high-lift systems.
(a) The applicant must determine airplane takeoff performance accounting for—
(1) Stall speed safety margins;
(2) Minimum control speeds; and
(3) Climb gradients.
(b) For single engine airplanes and levels 1, 2, and 3 low-speed multiengine airplanes, takeoff performance includes the determination of ground roll and initial climb distance to 50 feet (15 meters) above the takeoff surface.
(c) For levels 1, 2, and 3 high-speed multiengine airplanes, and level 4 multiengine airplanes, takeoff performance includes a determination of the following distances after a sudden critical loss of thrust—
(1) An aborted takeoff at critical speed;
(2) Ground roll and initial climb to 35 feet (11 meters) above the takeoff surface; and
(3) Net takeoff flight path.
The design must comply with the following minimum climb performance out of ground effect:
(a) With all engines operating and in the initial climb configuration(s)—
(1) For levels 1 and 2 low-speed airplanes, a climb gradient of 8.3 percent for landplanes and 6.7 percent for seaplanes and amphibians; and
(2) For levels 1 and 2 high-speed airplanes, all level 3 airplanes, and level 4 single-engines a climb gradient after takeoff of 4 percent.
(b) After a critical loss of thrust on multiengine airplanes—
(1) For levels 1 and 2 low-speed airplanes that do not meet single-engine crashworthiness requirements, a climb gradient of 1.5 percent at a pressure altitude of 5,000 feet (1,524 meters) in the cruise configuration(s);
(2) For levels 1 and 2 high-speed airplanes, and level 3 low-speed airplanes, a 1 percent climb gradient at 400 feet (122 meters) above the takeoff surface with the landing gear retracted and flaps in the takeoff configuration(s); and
(3) For level 3 high-speed airplanes and all level 4 airplanes, a 2 percent climb gradient at 400 feet (122 meters) above the takeoff surface with the landing gear retracted and flaps in the approach configuration(s).
(c) For a balked landing, a climb gradient of 3 percent without creating undue pilot workload with the landing gear extended and flaps in the landing configuration(s).
(a) The applicant must determine climb performance at each weight, altitude, and ambient temperature within the operating limitations—
(1) For all single-engine airplanes;
(2) For levels 1 and 2 high-speed multiengine airplanes and level 3 multiengine airplanes, following a critical loss of thrust on takeoff in the initial climb configuration; and
(3) For all multiengine airplanes, during the enroute phase of flight with all engines operating and after a critical loss of thrust in the cruise configuration.
(b) The applicant must determine the glide performance for single-engine airplanes after a complete loss of thrust.
The applicant must determine the following, for standard temperatures at critical combinations of weight and altitude within the operational limits:
(a) The distance, starting from a height of 50 feet (15 meters) above the landing surface, required to land and come to a stop.
(b) The approach and landing speeds, configurations, and procedures, which allow a pilot of average skill to land within the published landing distance consistently and without causing damage or injury, and which allow for a safe transition to the balked landing conditions of this part accounting for:
(1) Stall speed safety margin; and
(2) Minimum control speeds.
(a) The airplane must be controllable and maneuverable, without requiring exceptional piloting skill, alertness, or strength, within the operating envelope—
(1) At all loading conditions for which certification is requested;
(2) During all phases of flight;
(3) With likely reversible flight control or propulsion system failure; and
(4) During configuration changes.
(b) The airplane must be able to complete a landing without causing substantial damage or serious injury using the steepest approved approach gradient procedures and providing a reasonable margin below V
(c) V
(d) If the applicant requests certification of an airplane for aerobatics, the applicant must demonstrate those aerobatic maneuvers for which certification is requested and determine entry speeds.
(a) The airplane must maintain lateral and directional trim without further force upon, or movement of, the primary flight controls or corresponding trim controls by the pilot, or the flight control system, under the following conditions:
(1) For levels 1, 2, and 3 airplanes in cruise.
(2) For level 4 airplanes in normal operations.
(b) The airplane must maintain longitudinal trim without further force upon, or movement of, the primary flight controls or corresponding trim controls by the pilot, or the flight control system, under the following conditions:
(1) Climb.
(2) Level flight.
(3) Descent.
(4) Approach.
(c) Residual control forces must not fatigue or distract the pilot during normal operations of the airplane and likely abnormal or emergency operations, including a critical loss of thrust on multiengine airplanes.
(a) Airplanes not certified for aerobatics must—
(1) Have static longitudinal, lateral, and directional stability in normal operations;
(2) Have dynamic short period and Dutch roll stability in normal operations; and
(3) Provide stable control force feedback throughout the operating envelope.
(b) No airplane may exhibit any divergent longitudinal stability characteristic so unstable as to increase the pilot's workload or otherwise endanger the airplane and its occupants.
(a) The airplane must have controllable stall characteristics in straight flight, turning flight, and accelerated turning flight with a clear and distinctive stall warning that provides sufficient margin to prevent inadvertent stalling.
(b) Single-engine airplanes, not certified for aerobatics, must not have a tendency to inadvertently depart controlled flight.
(c) Levels 1 and 2 multiengine airplanes, not certified for aerobatics, must not have a tendency to inadvertently depart controlled flight from thrust asymmetry after a critical loss of thrust.
(d) Airplanes certified for aerobatics that include spins must have controllable stall characteristics and the ability to recover within one and one-half additional turns after initiation of the first control action from any point in a spin, not exceeding six turns or any greater number of turns for which certification is requested, while remaining within the operating limitations of the airplane.
(e) Spin characteristics in airplanes certified for aerobatics that includes spins must recover without exceeding limitations and may not result in unrecoverable spins—
(1) With any typical use of the flight or engine power controls; or
(2) Due to pilot disorientation or incapacitation.
For airplanes intended for operation on land or water, the airplane must have controllable longitudinal and directional handling characteristics during taxi, takeoff, and landing operations.
(a) Vibration and buffeting, for operations up to V
(b) For high-speed airplanes and all airplanes with a maximum operating altitude greater than 25,000 feet (7,620 meters) pressure altitude, there must be no perceptible buffeting in cruise configuration at 1g and at any speed up to V
(c) For high-speed airplanes, the applicant must determine the positive maneuvering load factors at which the onset of perceptible buffet occurs in the cruise configuration within the operational envelope. Likely inadvertent excursions beyond this boundary must not result in structural damage.
(d) High-speed airplanes must have recovery characteristics that do not result in structural damage or loss of control, beginning at any likely speed up to V
(1) An inadvertent speed increase; and
(2) A high-speed trim upset for airplanes where dynamic pressure can impair the longitudinal trim system operation.
(a) An applicant who requests certification for flight in icing conditions defined in part 1 of appendix C to part 25 of this chapter, or an applicant who requests certification for flight in these icing conditions and any additional atmospheric icing conditions, must show the following in the icing conditions for which certification is requested under normal operation of the ice protection system(s):
(1) Compliance with each requirement of this subpart, except those applicable to spins and any that must be demonstrated at speeds in excess of—
(i) 250 KCAS;
(ii) V
(iii) A speed at which the applicant demonstrates the airframe will be free of ice accretion.
(2) The means by which stall warning is provided to the pilot for flight in icing conditions and non-icing conditions is the same.
(b) If an applicant requests certification for flight in icing conditions, the applicant must provide a means to detect any icing conditions for which certification is not requested and show the airplane's ability to avoid or exit those conditions.
(c) The applicant must develop an operating limitation to prohibit intentional flight, including takeoff and landing, into icing conditions for which the airplane is not certified to operate.
The applicant must determine the structural design envelope, which describes the range and limits of airplane design and operational parameters for which the applicant will show compliance with the requirements of this subpart. The applicant must account for all airplane design and operational parameters that affect structural loads, strength, durability, and aeroelasticity, including:
(a) Structural design airspeeds, landing descent speeds, and any other airspeed limitation at which the applicant must show compliance to the requirements of this subpart. The structural design airspeeds must—
(1) Be sufficiently greater than the stalling speed of the airplane to safeguard against loss of control in turbulent air; and
(2) Provide sufficient margin for the establishment of practical operational limiting airspeeds.
(b) Design maneuvering load factors not less than those, which service history shows, may occur within the structural design envelope.
(c) Inertial properties including weight, center of gravity, and mass moments of inertia, accounting for—
(1) Each critical weight from the airplane empty weight to the maximum weight; and
(2) The weight and distribution of occupants, payload, and fuel.
(d) Characteristics of airplane control systems, including range of motion and tolerances for control surfaces, high-lift devices, or other moveable surfaces.
(e) Each critical altitude up to the maximum altitude.
For airplanes equipped with systems that modify structural performance, alleviate the impact of this subpart's requirements, or provide a means of compliance with this subpart, the applicant must account for the influence and failure of these systems when showing compliance with the requirements of this subpart.
(a) The applicant must:
(1) Determine the applicable structural design loads resulting from likely externally or internally applied pressures, forces, or moments that may occur in flight, ground and water operations, ground and water handling, and while the airplane is parked or moored.
(2) Determine the loads required by paragraph (a)(1) of this section at all critical combinations of parameters, on and within the boundaries of the structural design envelope.
(b) The magnitude and distribution of the applicable structural design loads required by this section must be based on physical principles.
The applicant must determine the structural design loads resulting from the following flight conditions:
(a) Atmospheric gusts where the magnitude and gradient of these gusts are based on measured gust statistics.
(b) Symmetric and asymmetric maneuvers.
(c) Asymmetric thrust resulting from the failure of a powerplant unit.
The applicant must determine the structural design loads resulting from taxi, takeoff, landing, and handling conditions on the applicable surface in normal and adverse attitudes and configurations.
The applicant must determine the structural design loads acting on:
(a) Each engine mount and its supporting structure such that both are designed to withstand loads resulting from—
(1) Powerplant operation combined with flight gust and maneuver loads; and
(2) For non-reciprocating powerplants, sudden powerplant stoppage.
(b) Each flight control and high-lift surface, their associated system and supporting structure resulting from—
(1) The inertia of each surface and mass balance attachment;
(2) Flight gusts and maneuvers;
(3) Pilot or automated system inputs;
(4) System induced conditions, including jamming and friction; and
(5) Taxi, takeoff, and landing operations on the applicable surface, including downwind taxi and gusts occurring on the applicable surface.
(c) A pressurized cabin resulting from the pressurization differential—
(1) From zero up to the maximum relief pressure combined with gust and maneuver loads;
(2) From zero up to the maximum relief pressure combined with ground and water loads if the airplane may land with the cabin pressurized; and
(3) At the maximum relief pressure multiplied by 1.33, omitting all other loads.
The applicant must determine—
(a) The limit loads, which are equal to the structural design loads unless otherwise specified elsewhere in this part; and
(b) The ultimate loads, which are equal to the limit loads multiplied by a 1.5 factor of safety unless otherwise specified elsewhere in this part.
The structure must support:
(a) Limit loads without—
(1) Interference with the safe operation of the airplane; and
(2) Detrimental permanent deformation.
(b) Ultimate loads.
(a) The applicant must develop and implement inspections or other procedures to prevent structural failures due to foreseeable causes of strength degradation, which could result in serious or fatal injuries, or extended periods of operation with reduced safety margins. Each of the inspections or other procedures developed under this section must be included in the Airworthiness Limitations Section of the Instructions for Continued Airworthiness required by § 23.1529.
(b) For Level 4 airplanes, the procedures developed for compliance with paragraph (a) of this section must be capable of detecting structural damage before the damage could result in structural failure.
(c) For pressurized airplanes:
(1) The airplane must be capable of continued safe flight and landing following a sudden release of cabin pressure, including sudden releases caused by door and window failures.
(2) For airplanes with maximum operating altitude greater than 41,000 feet, the procedures developed for compliance with paragraph (a) of this section must be capable of detecting damage to the pressurized cabin structure before the damage could result in rapid decompression that would result in serious or fatal injuries.
(d) The airplane must be designed to minimize hazards to the airplane due to structural damage caused by high-energy fragments from an uncontained engine or rotating machinery failure.
(a) The airplane must be free from flutter, control reversal, and divergence—
(1) At all speeds within and sufficiently beyond the structural design envelope;
(2) For any configuration and condition of operation;
(3) Accounting for critical degrees of freedom; and
(4) Accounting for any critical failures or malfunctions.
(b) The applicant must establish tolerances for all quantities that affect flutter.
(a) The applicant must design each part, article, and assembly for the expected operating conditions of the airplane.
(b) Design data must adequately define the part, article, or assembly configuration, its design features, and any materials and processes used.
(c) The applicant must determine the suitability of each design detail and part having an important bearing on safety in operations.
(d) The control system must be free from jamming, excessive friction, and excessive deflection when the airplane is subjected to expected limit airloads.
(e) Doors, canopies, and exits must be protected against inadvertent opening in flight, unless shown to create no hazard when opened in flight.
(a) The applicant must protect each part of the airplane, including small parts such as fasteners, against deterioration or loss of strength due to any cause likely to occur in the expected operational environment.
(b) Each part of the airplane must have adequate provisions for ventilation and drainage.
(c) For each part that requires maintenance, preventive maintenance, or servicing, the applicant must incorporate a means into the airplane design to allow such actions to be accomplished.
(a) The applicant must determine the suitability and durability of materials used for parts, articles, and assemblies, accounting for the effects of likely environmental conditions expected in service, the failure of which could prevent continued safe flight and landing.
(b) The methods and processes of fabrication and assembly used must produce consistently sound structures. If a fabrication process requires close control to reach this objective, the applicant must perform the process under an approved process specification.
(c) Except as provided in paragraphs (f) and (g) of this section, the applicant must select design values that ensure material strength with probabilities that account for the criticality of the structural element. Design values must account for the probability of structural failure due to material variability.
(d) If material strength properties are required, a determination of those properties must be based on sufficient tests of material meeting specifications to establish design values on a statistical basis.
(e) If thermal effects are significant on a critical component or structure under normal operating conditions, the applicant must determine those effects on allowable stresses used for design.
(f) Design values, greater than the minimums specified by this section, may be used, where only guaranteed minimum values are normally allowed, if a specimen of each individual item is tested before use to determine that the actual strength properties of that particular item will equal or exceed those used in the design.
(g) An applicant may use other material design values if approved by the Administrator.
(a) The applicant must determine a special factor of safety for each critical design value for each part, article, or assembly for which that critical design value is uncertain, and for each part, article, or assembly that is—
(1) Likely to deteriorate in service before normal replacement; or
(2) Subject to appreciable variability because of uncertainties in manufacturing processes or inspection methods.
(b) The applicant must determine a special factor of safety using quality controls and specifications that account for each—
(1) Type of application;
(2) Inspection method;
(3) Structural test requirement;
(4) Sampling percentage; and
(5) Process and material control.
(c) The applicant must multiply the highest pertinent special factor of safety in the design for each part of the structure by each limit and ultimate load, or ultimate load only, if there is no corresponding limit load, such as occurs with emergency condition loading.
(a) The airplane, even when damaged in an emergency landing, must protect each occupant against injury that would preclude egress when—
(1) Properly using safety equipment and features provided for in the design;
(2) The occupant experiences ultimate static inertia loads likely to occur in an emergency landing; and
(3) Items of mass, including engines or auxiliary power units (APUs), within or aft of the cabin, that could injure an occupant, experience ultimate static inertia loads likely to occur in an emergency landing.
(b) The emergency landing conditions specified in paragraph (a)(1) and (a)(2) of this section, must—
(1) Include dynamic conditions that are likely to occur in an emergency landing; and
(2) Not generate loads experienced by the occupants, which exceed established human injury criteria for human tolerance due to restraint or contact with objects in the airplane.
(c) The airplane must provide protection for all occupants, accounting for likely flight, ground, and emergency landing conditions.
(d) Each occupant protection system must perform its intended function and not create a hazard that could cause a secondary injury to an occupant. The occupant protection system must not prevent occupant egress or interfere with the operation of the airplane when not in use.
(e) Each baggage and cargo compartment must—
(1) Be designed for its maximum weight of contents and for the critical load distributions at the maximum load factors corresponding to the flight and ground load conditions determined under this part;
(2) Have a means to prevent the contents of the compartment from becoming a hazard by impacting occupants or shifting; and
(3) Protect any controls, wiring, lines, equipment, or accessories whose damage or failure would affect safe operations.
(a) The applicant must design airplane flight control systems to:
(1) Operate easily, smoothly, and positively enough to allow proper performance of their functions.
(2) Protect against likely hazards.
(b) The applicant must design trim systems, if installed, to:
(1) Protect against inadvertent, incorrect, or abrupt trim operation.
(2) Provide a means to indicate—
(i) The direction of trim control movement relative to airplane motion;
(ii) The trim position with respect to the trim range;
(iii) The neutral position for lateral and directional trim; and
(iv) The range for takeoff for all applicant requested center of gravity ranges and configurations.
(a) The landing gear must be designed to—
(1) Provide stable support and control to the airplane during surface operation; and
(2) Account for likely system failures and likely operation environments (including anticipated limitation exceedances and emergency procedures).
(b) All airplanes must have a reliable means of stopping the airplane with sufficient kinetic energy absorption to account for landing. Airplanes that are required to demonstrate aborted takeoff capability must account for this additional kinetic energy.
(c) For airplanes that have a system that actuates the landing gear, there is—
(1) A positive means to keep the landing gear in the landing position; and
(2) An alternative means available to bring the landing gear in the landing position when a non-deployed system position would be a hazard.
Airplanes intended for operations on water, must—
(a) Provide buoyancy of 80 percent in excess of the buoyancy required to support the maximum weight of the airplane in fresh water; and
(b) Have sufficient margin so the airplane will stay afloat at rest in calm water without capsizing in case of a likely float or hull flooding.
(a) With the cabin configured for takeoff or landing, the airplane is designed to:
(1) Facilitate rapid and safe evacuation of the airplane in conditions likely to occur following an emergency landing, excluding ditching for level 1, level 2, and single-engine level 3 airplanes.
(2) Have means of egress (openings, exits, or emergency exits), that can be readily located and opened from the inside and outside. The means of opening must be simple and obvious and marked inside and outside the airplane.
(3) Have easy access to emergency exits when present.
(b) Airplanes approved for aerobatics must have a means to egress the airplane in flight.
(a) The applicant must design the airplane to—
(1) Allow clear communication between the flightcrew and passengers;
(2) Protect the pilot and flight controls from propellers; and
(3) Protect the occupants from serious injury due to damage to windshields, windows, and canopies.
(b) For level 4 airplanes, each windshield and its supporting structure directly in front of the pilot must withstand, without penetration, the impact equivalent to a two-pound bird when the velocity of the airplane is equal to the airplane's maximum approach flap speed.
(c) The airplane must provide each occupant with air at a breathable pressure, free of hazardous concentrations of gases, vapors, and smoke during normal operations and likely failures.
(d) If a pressurization system is installed in the airplane, it must be designed to protect against—
(1) Decompression to an unsafe level; and
(2) Excessive differential pressure.
(e) If an oxygen system is installed in the airplane, it must—
(1) Effectively provide oxygen to each user to prevent the effects of hypoxia; and
(2) Be free from hazards in itself, in its method of operation, and its effect upon other components.
(a) The following materials must be self-extinguishing—
(1) Insulation on electrical wire and electrical cable;
(2) For levels 1, 2, and 3 airplanes, materials in the baggage and cargo compartments inaccessible in flight; and
(3) For level 4 airplanes, materials in the cockpit, cabin, baggage, and cargo compartments.
(b) The following materials must be flame resistant—
(1) For levels 1, 2 and 3 airplanes, materials in each compartment accessible in flight; and
(2) Any equipment associated with any electrical cable installation and that would overheat in the event of circuit overload or fault.
(c) Thermal/acoustic materials in the fuselage, if installed, must not be a flame propagation hazard.
(d) Sources of heat within each baggage and cargo compartment that are capable of igniting adjacent objects must be shielded and insulated to prevent such ignition.
(e) For level 4 airplanes, each baggage and cargo compartment must—
(1) Be located where a fire would be visible to the pilots, or equipped with a fire detection system and warning system; and
(2) Be accessible for the manual extinguishing of a fire, have a built-in fire extinguishing system, or be constructed and sealed to contain any fire within the compartment.
(f) There must be a means to extinguish any fire in the cabin such that—
(1) The pilot, while seated, can easily access the fire extinguishing means; and
(2) For levels 3 and 4 airplanes, passengers have a fire extinguishing means available within the passenger compartment.
(g) Each area where flammable fluids or vapors might escape by leakage of a fluid system must—
(1) Be defined; and
(2) Have a means to minimize the probability of fluid and vapor ignition, and the resultant hazard, if ignition occurs.
(h) Combustion heater installations must be protected from uncontained fire.
(a) Flight controls, engine mounts, and other flight structures within or adjacent to designated fire zones must be capable of withstanding the effects of a fire.
(b) Engines in a designated fire zone must remain attached to the airplane in the event of a fire.
(c) In designated fire zones, terminals, equipment, and electrical cables used during emergency procedures must be fire-resistant.
The airplane must be protected against catastrophic effects from lightning.
(a) For the purpose of this subpart, the airplane powerplant installation must include each component necessary for propulsion, which affects propulsion safety, or provides auxiliary power to the airplane.
(b) Each airplane engine and propeller must be type certificated, except for engines and propellers installed on level 1 low-speed airplanes, which may be approved under the airplane type certificate in accordance with a standard accepted by the Administrator that contains airworthiness criteria the Administrator has found appropriate and applicable to the specific design and intended use of the engine or propeller and provides a level of safety acceptable to the Administrator.
(c) The applicant must construct and arrange each powerplant installation to account for—
(1) Likely operating conditions, including foreign object threats;
(2) Sufficient clearance of moving parts to other airplane parts and their surroundings;
(3) Likely hazards in operation including hazards to ground personnel; and
(4) Vibration and fatigue.
(d) Hazardous accumulations of fluids, vapors, or gases must be isolated from the airplane and personnel compartments, and be safely contained or discharged.
(e) Powerplant components must comply with their component limitations and installation instructions or be shown not to create a hazard.
(a) An automatic power or thrust control system intended for in-flight use must be designed so no unsafe condition will result during normal operation of the system.
(b) Any single failure or likely combination of failures of an automatic power or thrust control system must not prevent continued safe flight and landing of the airplane.
(c) Inadvertent operation of an automatic power or thrust control system by the flightcrew must be prevented, or if not prevented, must not result in an unsafe condition.
(d) Unless the failure of an automatic power or thrust control system is extremely remote, the system must—
(1) Provide a means for the flightcrew to verify the system is in an operating condition;
(2) Provide a means for the flightcrew to override the automatic function; and
(3) Prevent inadvertent deactivation of the system.
The applicant must assess each powerplant separately and in relation to other airplane systems and installations to show that any hazard resulting from the likely failure of any powerplant system, component, or accessory will not—
(a) Prevent continued safe flight and landing or, if continued safe flight and landing cannot be ensured, the hazard has been minimized;
(b) Cause serious injury that may be avoided; and
(c) Require immediate action by any crewmember for continued operation of any remaining powerplant system.
(a) The airplane design, including the induction and inlet system, must prevent foreseeable accumulation of ice or snow that adversely affects powerplant operation.
(b) The powerplant installation design must prevent any accumulation of ice or snow that adversely affects powerplant operation, in those icing conditions for which certification is requested.
Each reversing system must be designed so that—
(a) No unsafe condition will result during normal operation of the system; and
(b) The airplane is capable of continued safe flight and landing after any single failure, likely combination of failures, or malfunction of the reversing system.
(a) The installed powerplant must operate without any hazardous characteristics during normal and emergency operation within the range of operating limitations for the airplane and the engine.
(b) The pilot must have the capability to stop the powerplant in flight and restart the powerplant within an established operational envelope.
(a) Each fuel system must—
(1) Be designed and arranged to provide independence between multiple fuel storage and supply systems so that failure of any one component in one system will not result in loss of fuel storage or supply of another system;
(2) Be designed and arranged to prevent ignition of the fuel within the system by direct lightning strikes or swept lightning strokes to areas where such occurrences are highly probable, or by corona or streamering at fuel vent outlets;
(3) Provide the fuel necessary to ensure each powerplant and auxiliary power unit functions properly in all likely operating conditions;
(4) Provide the flightcrew with a means to determine the total useable fuel available and provide uninterrupted supply of that fuel when the system is correctly operated, accounting for likely fuel fluctuations;
(5) Provide a means to safely remove or isolate the fuel stored in the system from the airplane;
(6) Be designed to retain fuel under all likely operating conditions and minimize hazards to the occupants during any survivable emergency landing. For level 4 airplanes, failure due to overload of the landing system must be taken into account; and
(7) Prevent hazardous contamination of the fuel supplied to each powerplant and auxiliary power unit.
(b) Each fuel storage system must—
(1) Withstand the loads under likely operating conditions without failure;
(2) Be isolated from personnel compartments and protected from hazards due to unintended temperature influences;
(3) Be designed to prevent significant loss of stored fuel from any vent system due to fuel transfer between fuel storage or supply systems, or under likely operating conditions;
(4) Provide fuel for at least one-half hour of operation at maximum continuous power or thrust; and
(5) Be capable of jettisoning fuel safely if required for landing.
(c) Each fuel storage refilling or recharging system must be designed to—
(1) Prevent improper refilling or recharging;
(2) Prevent contamination of the fuel stored during likely operating conditions; and
(3) Prevent the occurrence of any hazard to the airplane or to persons during refilling or recharging.
(a) The air induction system for each powerplant or auxiliary power unit and their accessories must—
(1) Supply the air required by that powerplant or auxiliary power unit and its accessories under likely operating conditions;
(2) Be designed to prevent likely hazards in the event of fire or backfire;
(3) Minimize the ingestion of foreign matter; and
(4) Provide an alternate intake if blockage of the primary intake is likely.
(b) The exhaust system, including exhaust heat exchangers for each powerplant or auxiliary power unit, must—
(1) Provide a means to safely discharge potential harmful material; and
(2) Be designed to prevent likely hazards from heat, corrosion, or blockage.
(a) A powerplant, auxiliary power unit, or combustion heater that includes a flammable fluid and an ignition source for that fluid must be installed in a designated fire zone.
(b) Each designated fire zone must provide a means to isolate and mitigate hazards to the airplane in the event of fire or overheat within the zone.
(c) Each component, line, fitting, and control subject to fire conditions must—
(1) Be designed and located to prevent hazards resulting from a fire, including any located adjacent to a designated fire zone that may be affected by fire within that zone;
(2) Be fire-resistant if carrying flammable fluid, gas or air, or is required to operate in the event of a fire; and
(3) Be fireproof or enclosed by a fire proof shield if storing concentrated flammable fluids.
(d) The applicant must provide a means to prevent hazardous quantities of flammable fluids from flowing into, within or through each designated fire zone. This means must—
(1) Not restrict flow or limit operation of any remaining powerplant or auxiliary power unit, or equipment necessary for safety;
(2) Prevent inadvertent operation; and
(3) Be located outside the fire zone unless an equal degree of safety is provided with a means inside the fire zone.
(e) A means to ensure the prompt detection of fire must be provided for each designated fire zone—
(1) On a multiengine airplane where detection will mitigate likely hazards to the airplane; or
(2) That contains a fire extinguisher.
(f) A means to extinguish fire within a fire zone, except a combustion heater fire zone, must be provided for—
(1) Any fire zone located outside the pilot's view;
(2) Any fire zone embedded within the fuselage, which must also include a redundant means to extinguish fire; and
(3) Any fire zone on a level 4 airplane.
This section applies generally to installed equipment and systems unless a section of this part imposes requirements for a specific piece of equipment, system, or systems.
(a) The equipment and systems required for an airplane to operate safely in the kinds of operations for which certification is requested (Day VFR, Night VFR, IFR) must be designed and installed to—
(1) Meet the level of safety applicable to the certification and performance level of the airplane; and
(2) Perform their intended function throughout the operating and environmental limits for which the airplane is certificated.
(b) The systems and equipment not covered by paragraph (a) of this section—considered separately and in relation to other systems—must be designed and installed so their operation does not have an adverse effect on the airplane or its occupants.
When installed, each item of equipment must function as intended.
For any airplane system or equipment whose failure or abnormal operation has not been specifically addressed by another requirement in this part, the applicant must design and install each system and equipment, such that there is a logical and acceptable inverse relationship between the average probability and the severity of failure conditions to the extent that:
(a) Each catastrophic failure condition is extremely improbable;
(b) Each hazardous failure condition is extremely remote; and
(c) Each major failure condition is remote.
An airplane approved for IFR operations must meet the following requirements, unless an applicant shows that exposure to lightning is unlikely:
(a) Each electrical or electronic system that performs a function, the failure of which would prevent the continued safe flight and landing of the airplane, must be designed and installed such that—
(1) The function at the airplane level is not adversely affected during and after the time the airplane is exposed to lightning; and
(2) The system recovers normal operation of that function in a timely manner after the airplane is exposed to lightning unless the system's recovery conflicts with other operational or functional requirements of the system.
(b) Each electrical and electronic system that performs a function, the failure of which would significantly reduce the capability of the airplane or the ability of the flightcrew to respond to an adverse operating condition, must be designed and installed such that the system recovers normal operation of that function in a timely manner after the airplane is exposed to lightning.
(a) Each electrical and electronic system that performs a function, the failure of which would prevent the continued safe flight and landing of the airplane, must be designed and installed such that—
(1) The function at the airplane level is not adversely affected during and after the time the airplane is exposed to the HIRF environment; and
(2) The system recovers normal operation of that function in a timely manner after the airplane is exposed to the HIRF environment, unless the system's recovery conflicts with other operational or functional requirements of the system.
(b) For airplanes approved for IFR operations, each electrical and electronic system that performs a function, the failure of which would significantly reduce the capability of the airplane or the ability of the flightcrew to respond to an adverse operating condition, must be designed and installed such that the system recovers normal operation of that function in a timely manner after the airplane is exposed to the HIRF environment.
The power generation, storage, and distribution for any system must be designed and installed to—
(a) Supply the power required for operation of connected loads during all intended operating conditions;
(b) Ensure no single failure or malfunction of any one power supply, distribution system, or other utilization system will prevent the system from supplying the essential loads required for continued safe flight and landing; and
(c) Have enough capacity, if the primary source fails, to supply essential loads, including non-continuous essential loads for the time needed to complete the function required for continued safe flight and landing.
(a) The applicant must design and install all lights to minimize any adverse effects on the performance of flightcrew duties.
(b) Any position and anti-collision lights, if required by part 91 of this chapter, must have the intensities, flash rate, colors, fields of coverage, and other characteristics to provide sufficient time for another aircraft to avoid a collision.
(c) Any position lights, if required by part 91 of this chapter, must include a red light on the left side of the airplane, a green light on the right side of the airplane, spaced laterally as far apart as practicable, and a white light facing aft, located on an aft portion of the airplane or on the wing tips.
(d) Any taxi and landing lights must be designed and installed so they provide sufficient light for night operations.
(e) For seaplanes or amphibian airplanes, riding lights must provide a white light visible in clear atmospheric conditions.
Safety and survival equipment, required by the operating rules of this chapter, must be reliable, readily accessible, easily identifiable, and clearly marked to identify its method of operation.
An applicant who requests certification for flight in icing conditions defined in part 1 of appendix C to part 25 of this chapter, or an applicant who requests certification for flight in these icing conditions and any additional atmospheric icing conditions, must show the following in the icing conditions for which certification is requested:
(a) The ice protection system provides for safe operation.
(b) The airplane design must provide protection from stalling when the autopilot is operating.
Pressurized systems must withstand appropriate proof and burst pressures.
Equipment containing high-energy rotors must be designed or installed to protect the occupants and airplane from uncontained fragments.
(a) The pilot compartment, its equipment, and its arrangement to include pilot view, must allow each pilot to perform his or her duties, including taxi, takeoff, climb, cruise, descent, approach, landing, and perform any maneuvers within the operating envelope of the airplane, without excessive concentration, skill, alertness, or fatigue.
(b) The applicant must install flight, navigation, surveillance, and powerplant controls and displays so flightcrew members can monitor and perform defined tasks associated with the intended functions of systems and equipment. The system and equipment design must minimize flightcrew errors, which could result in additional hazards.
(c) For level 4 airplanes, the flightcrew interface design must allow for continued safe flight and landing after the loss of vision through any one of the windshield panels.
(a) Each item of installed equipment related to the flightcrew interface must be labelled, if applicable, as to it identification, function, or operating limitations, or any combination of these factors.
(b) There must be a discernible means of providing system operating parameters required to operate the airplane, including warnings, cautions, and normal indications to the responsible crewmember.
(c) Information concerning an unsafe system operating condition must be provided in a timely manner to the crewmember responsible for taking corrective action. The information must be clear enough to avoid likely crewmember errors.
(a) Each airplane must display in a conspicuous manner any placard and instrument marking necessary for operation.
(b) The design must clearly indicate the function of each cockpit control, other than primary flight controls.
(c) The applicant must include instrument marking and placard information in the Airplane Flight Manual.
(a) Installed systems must provide the flightcrew member who sets or monitors parameters for the flight, navigation, and powerplant, the information necessary to do so during each phase of flight. This information must—
(1) Be presented in a manner that the crewmember can monitor the parameter and determine trends, as needed, to operate the airplane; and
(2) Include limitations, unless the limitation cannot be exceeded in all intended operations.
(b) Indication systems that integrate the display of flight or powerplant parameters to operate the airplane or are required by the operating rules of this chapter must—
(1) Not inhibit the primary display of flight or powerplant parameters needed by any flightcrew member in any normal mode of operation; and
(2) In combination with other systems, be designed and installed so information essential for continued safe flight and landing will be available to the flightcrew in a timely manner after any single failure or probable combination of failures.
The applicant must provide an Airplane Flight Manual that must be delivered with each airplane.
(a) The Airplane Flight Manual must contain the following information—
(1) Airplane operating limitations;
(2) Airplane operating procedures;
(3) Performance information;
(4) Loading information; and
(5) Other information that is necessary for safe operation because of design, operating, or handling characteristics.
(b) The following sections of the Airplane Flight Manual must be approved by the FAA in a manner specified by the Administrator—
(1) For low-speed, level 1 and 2 airplanes, those portions of the Airplane Flight Manual containing the information specified in paragraph (a)(1) of this section; and
(2) For high-speed level 1 and 2 airplanes and all level 3 and 4 airplanes, those portions of the Airplane Flight Manual containing the information specified in paragraphs (a)(1) thru (a)(4) of this section.
(a) This appendix specifies requirements for the preparation of Instructions for Continued Airworthiness as required by this part.
(b) The Instructions for Continued Airworthiness for each airplane must include the Instructions for Continued Airworthiness for each engine and propeller (hereinafter designated “products”), for each appliance required by this chapter, and any required information relating to the interface of those appliances and products with the airplane. If Instructions for Continued Airworthiness are not supplied by the manufacturer of an appliance or product installed in the airplane, the Instructions for Continued Airworthiness for the airplane must include the information essential to the continued airworthiness of the airplane.
(c) The applicant must submit to the FAA a program to show how changes to the Instructions for Continued Airworthiness made by the applicant or by the manufacturers of products and appliances installed in the airplane will be distributed.
(a) The Instructions for Continued Airworthiness must be in the form of a manual or manuals as appropriate for the quantity of data to be provided.
(b) The format of the manual or manuals must provide for a practical arrangement.
The contents of the manual or manuals must be prepared in the English language. The Instructions for Continued Airworthiness must contain the following manuals or sections and information:
(a) Airplane maintenance manual or section.
(1) Introduction information that includes an explanation of the airplane's features and data to the extent necessary for maintenance or preventive maintenance.
(2) A description of the airplane and its systems and installations including its engines, propellers, and appliances.
(3) Basic control and operation information describing how the airplane components and systems are controlled and how they operate, including any special procedures and limitations that apply.
(4) Servicing information that covers details regarding servicing points, capacities of tanks, reservoirs, types of fluids to be used, pressures applicable to the various systems, location of access panels for inspection and servicing, locations of lubrication points, lubricants to be used, equipment required for servicing, tow instructions and limitations, mooring, jacking, and leveling information.
(b) Maintenance Instructions.
(1) Scheduling information for each part of the airplane and its engines, auxiliary power units, propellers, accessories, instruments, and equipment that provides the recommended periods at which they should be cleaned, inspected, adjusted, tested, and lubricated, and the degree of inspection, the applicable wear tolerances, and work recommended at these periods. However, the applicant may refer to an accessory, instrument, or equipment manufacturer as the source of this information if the applicant shows that the item has an exceptionally high degree of complexity requiring specialized maintenance techniques, test equipment, or expertise. The recommended overhaul periods and necessary cross reference to the Airworthiness Limitations section of the manual must also be included. In addition, the applicant must include an inspection program that includes the frequency and extent of the inspections necessary to provide for the continued airworthiness of the airplane.
(2) Troubleshooting information describing probable malfunctions, how to recognize those malfunctions, and the remedial action for those malfunctions.
(3) Information describing the order and method of removing and replacing products and parts with any necessary precautions to be taken.
(4) Other general procedural instructions including procedures for system testing during ground running, symmetry checks, weighing and determining the center of gravity, lifting and shoring, and storage limitations.
(c) Diagrams of structural access plates and information needed to gain access for inspections when access plates are not provided.
(d) Details for the application of special inspection techniques including radiographic and ultrasonic testing where such processes are specified by the applicant.
(e) Information needed to apply protective treatments to the structure after inspection.
(f) All data relative to structural fasteners such as identification, discard recommendations, and torque values.
(g) A list of special tools needed.
(h) In addition, for level 4 airplanes, the following information must be furnished—
(1) Electrical loads applicable to the various systems;
(2) Methods of balancing control surfaces;
(3) Identification of primary and secondary structures; and
(4) Special repair methods applicable to the airplane.
The Instructions for Continued Airworthiness must contain a section titled Airworthiness Limitations that is segregated and clearly distinguishable from the rest of the document. This section must set forth each mandatory replacement time, structural inspection interval, and related structural inspection procedure required for type certification. If the Instructions for Continued Airworthiness consist of multiple documents, the section required by this paragraph must be included in the principal manual. This section must contain a legible statement in a prominent location that reads “The Airworthiness Limitations section is FAA approved and specifies maintenance required under §§ 43.16 and 91.403 of Title 14 of the Code of Federal Regulations unless an alternative program has been FAA approved.”
1. Applicability. Contrary provisions of the Civil Air Regulations regarding certification notwithstanding,
2. General modifications. Except as modified in sections 3 and 4 of this regulation, an applicant for approval of modifications to a DC-3 or L-18 airplane which result in changes in design or in changes to approved limitations shall show that the modifications were accomplished in accordance with the rules of either Part 4a or Part 4b in effect on September 1, 1953, which are applicable to the modification being made: Provided, That an applicant may elect to accomplish a modification in accordance with the rules of Part 4b in effect on the date of application for the modification in lieu of Part 4a or Part 4b as in effect on September 1, 1953: And provided further, That each specific modification must be accomplished in accordance with all of the provisions contained in the elected rules relating to the particular modification.
3. Specific conditions for approval. An applicant for any approval of the following specific changes shall comply with section 2 of this regulation as modified by the applicable provisions of this section.
(a) Increase in take-off power limitation—1,200 to 1,350 horsepower. The engine take-off power limitation for the airplane may be increased to more than 1,200 horsepower but not to more than 1,350 horsepower per engine if the increase in power does not adversely affect the flight characteristics of the airplane.
(b) Increase in take-off power limitation to more than 1,350 horsepower. The engine take-off power limitation for the airplane may be increased to more than 1,350 horsepower per engine if compliance is shown with the flight characteristics and ground handling requirements of Part 4b.
(c) Installation of engines of not more than 1,830 cubic inches displacement and not having a certificated take-off rating of more than 1,350 horsepower. Engines of not more than 1,830 cubic inches displacement and not having a certificated take-off rating of more than 1,350 horsepower which necessitate a major modification of redesign of the engine installation may be installed, if the engine fire prevention and fire protection are equivalent to that on the prior engine installation.
(d) Installation of engines of more than 1,830 cubic inches displacement or having certificated take-off rating of more than 1,350 horsepower. Engines of more than 1,830 cubic inches displacement or having certificated take-off rating of more than 1,350 horsepower may be installed if compliance is shown with the engine installation requirements of Part 4b: Provided, That where literal compliance with the engine installation requirements of Part 4b is extremely difficult to accomplish and would not contribute materially to the objective sought, and the Administrator finds that the experience with the DC-3 or L-18 airplanes justifies it, he is authorized to accept such measures of compliance as he finds will effectively accomplish the basic objective.
4. Establishment of new maximum certificated weights. An applicant for approval of new maximum certificated weights shall apply for an amendment of the airworthiness certificate of the airplane and shall show that the weights sought have been established, and the appropriate manual material obtained, as provided in this section.
Transport category performance requirements result in the establishment of maximum certificated weights for various altitudes.
(a) Weights-25,200 to 26,900 for the DC-3 and 18,500 to 19,500 for the L-18. New maximum certificated weights of more than 25,200 but not more than 26,900 pounds for DC-3 and more than 18,500 but not more than 19,500 pounds for L-18 airplanes may be established in accordance with the transport category performance requirements of either Part 4a or Part 4b, if the airplane at the new maximum weights can meet the structural requirements of the elected part.
(b) Weights of more than 26,900 for the DC-3 and 19,500 for the L-18. New maximum certificated weights of more than 26,900 pounds for DC-3 and 19,500 pounds for L-18 airplanes shall be established in accordance with the structural performance, flight characteristics, and ground handling requirements of Part 4b: Provided, That where literal compliance with the structural requirements of Part 4b is extremely difficult to accomplish and would not contribute materially to the objective sought, and the Administrator finds that the experience with the DC-3 or L-18 airplanes justifies it, he is authorized to accept such measures of compliance as he finds will effectively accomplish the basic objective.
(c) Airplane flight manual-performance operating information. An approved airplane flight manual shall be provided for each DC-3 and L-18 airplane which has had new maximum certificated weights established under this section. The airplane flight manual shall contain the applicable performance information prescribed in that part of the regulations under which the new certificated weights were established and such additional information as may be necessary to enable the application of the take-off, en route, and landing limitations prescribed for transport category airplanes in the operating parts of the Civil Air Regulations.
(d) Performance operating limitations. Each airplane for which new maximum certificated weights are established in accordance with paragraphs (a) or (b) of this section shall be considered a transport category airplane for the purpose of complying with the performance operating limitations applicable to the operations in which it is utilized.
5. Reference. Unless otherwise provided, all references in this regulation to Part 4a and Part 4b are those parts of the Civil Air Regulations in effect on September 1, 1953.
This regulation supersedes Special Civil Air Regulation SR-398 and shall remain effective until superseded or rescinded by the Board.
1. Applicability. Contrary provisions of 14 CFR parts 21, 25, and 119 of this chapter notwithstanding, an applicant is entitled to an amended type certificate or supplemental type certificate in the transport category, if the applicant complies with all applicable provisions of this SFAR.
2. General.
(a) The passenger capacity may not exceed 60. If more than 60 passenger seats are installed, then:
(1) If the extra seats are not suitable for occupancy during taxi, takeoff and landing, each extra seat must be clearly marked (e.g., a placard on the top of an armrest, or a placard sewn into the top of the back cushion) that the seat is not to be occupied during taxi, takeoff and landing.
(2) If the extra seats are suitable for occupancy during taxi, takeoff and landing (i.e., meet all the strength and passenger injury criteria in part 25), then a note must be included in the Limitations Section of the Airplane Flight Manual that there are extra seats installed but that the number of passengers on the airplane must not exceed 60. Additionally, there must be a placard installed adjacent to each door that can be used as a passenger boarding door that states that the maximum passenger capacity is 60. The placard must be clearly legible to passengers entering the airplane.
(b) For airplanes outfitted with interior doors under paragraph 10 of this SFAR, the airplane flight manual (AFM) must include an appropriate limitation that the airplane must be staffed with at least the following number of flight attendants who meet the requirements of 14 CFR 91.533(b):
(1) The number of flight attendants required by § 91.533(a)(1) and (2) of this chapter, and
(2) At least one flight attendant if the airplane model was originally certified for 75 passengers or more.
(c) The AFM must include appropriate limitation(s) to require a preflight passenger briefing describing the appropriate functions to be performed by the passengers and the relevant features of the airplane to ensure the safety of the passengers and crew.
(d) The airplane may not be offered for common carriage or operated for hire. The operating limitations section of the AFM must be revised to prohibit any operations involving the carriage of persons or property for compensation or hire. The operators may receive remuneration to the extent consistent with parts 125 and 91, subpart F, of this chapter.
(e) A placard stating that “Operations involving the carriage of persons or property for compensation or hire are prohibited,” must be located in the area of the Airworthiness Certificate holder at the entrance to the flightdeck.
(f) For passenger capacities of 45 to 60 passengers, analysis must be submitted that demonstrates that the airplane can be evacuated in less than 90 seconds under the conditions specified in § 25.803 and appendix J to part 25.
(g) In order for any airplane certified under this SFAR to be placed in part 135 or part 121 operations, the airplane must be brought back into full compliance with the applicable operational part.
3. General. Unless otherwise noted, compliance is required with the applicable certification basis for the airplane. Some provisions of this SFAR impose alternative requirements to certain airworthiness standards that do not apply to airplanes certificated to earlier standards. Those airplanes with an earlier certification basis are not required to comply with those alternative requirements.
4. Occupant Protection.
(a) Firm Handhold. In lieu of the requirements of § 25.785(j), there must be means provided to enable persons to steady themselves in moderately rough air while occupying aisles that are along the cabin sidewall, or where practicable, bordered by seats (seat backs providing a 25-pound minimum breakaway force are an acceptable means of compliance).
(b) Injury criteria for multiple occupancy side-facing seats. The following requirements are only applicable to airplanes that are subject to § 25.562.
(1) Existing Criteria. All injury protection criteria of § 25.562(c)(1) through (c)(6) apply to the occupants of side-facing seating. The Head Injury Criterion (HIC) assessments are only required for head contact with the seat and/or adjacent structures.
(2) Body-to-Body Contact. Contact between the head, pelvis, torso or shoulder area of one Anthropomorphic Test Dummy (ATD) with the head, pelvis, torso or shoulder area of the ATD in the adjacent seat is not allowed during the tests conducted in accordance with § 25.562(b)(1) and (b)(2). Contact during rebound is allowed.
(3) Thoracic Trauma. If the torso of an ATD at the forward-most seat place impacts the seat and/or adjacent structure during testing, compliance with the Thoracic Trauma Index (TTI) injury criterion must be substantiated by dynamic test or by rational analysis based on previous test(s) of a similar seat installation. TTI data must be acquired with a Side Impact Dummy (SID), as defined by 49 CFR part 572, subpart F, or an equivalent ATD or a more appropriate ATD and must be processed as defined in Federal Motor Vehicle Safety Standards (FMVSS) part 571.214, section S6.13.5 (49 CFR 571.214). The TTI must be less than 85, as defined in 49 CFR part 572, subpart F. Torso contact during rebound is acceptable and need not be measured.
(4) Pelvis. If the pelvis of an ATD at any seat place impacts seat and/or adjacent structure during testing, pelvic lateral acceleration injury criteria must be substantiated by dynamic test or by rational analysis based on previous test(s) of a similar seat installation. Pelvic lateral acceleration may not exceed 130g. Pelvic acceleration data must be processed as defined in FMVSS part 571.214, section S6.13.5 (49 CFR 571.214).
(5) Body-to-Wall/Furnishing Contact. If the seat is installed aft of a structure—such as an interior wall or furnishing that may contact the pelvis, upper arm, chest, or head of an occupant seated next to the structure—the structure or a conservative representation of the structure and its stiffness must be included in the tests. It is recommended, but not required, that the contact surface of the actual structure be covered with at least two inches of energy absorbing protective padding (foam or equivalent) such as Ensolite.
(6) Shoulder Strap Loads. Where upper torso straps (shoulder straps) are used for sofa occupants, the tension loads in individual straps may not exceed 1,750 pounds. If dual straps are used for restraining the upper torso, the total strap tension loads may not exceed 2,000 pounds.
(7) Occupant Retention. All side-facing seats require end closures or other means to prevent the ATD's pelvis from translating beyond the end of the seat at any time during testing.
(8) Test Parameters.
(i) All seat positions need to be occupied by ATDs for the longitudinal tests.
(ii) A minimum of one longitudinal test, conducted in accordance with the conditions specified in § 25.562(b)(2), is required to assess the injury criteria as follows. Note that if a seat is installed aft of structure (such as an interior wall or furnishing) that does not have a homogeneous surface, an additional test or tests may be required to demonstrate that the injury criteria are met for the area which an occupant could contact. For example, different yaw angles could result in different injury considerations and may require separate tests to evaluate.
(A) For configurations without structure (such as a wall or bulkhead) installed directly forward of the forward seat place, Hybrid II ATDs or equivalent must be in all seat places.
(B) For configurations with structure (such as a wall or bulkhead) installed directly forward of the forward seat place, a side impact dummy or equivalent ATD or more appropriate ATD must be in the forward seat place and a Hybrid II ATD or equivalent must be in all other seat places.
(C) The test may be conducted with or without deformed floor.
(D) The test must be conducted with either no yaw or 10 degrees yaw for evaluating occupant injury. Deviating from the no yaw condition may not result in the critical area of contact not being evaluated. The upper torso restraint straps, where installed, must remain on the occupant's shoulder during the impact condition of § 25.562(b)(2).
(c) For the vertical test, conducted in accordance with the conditions specified in § 25.562(b)(1), Hybrid II ATDs or equivalent must be used in all seat positions.
5. Direct View. In lieu of the requirements of § 25.785(h)(2), to the extent practical without compromising proximity to a required floor level emergency exit, the majority of installed flight attendant seats must be located to face the cabin area for which the flight attendant is responsible.
6. Passenger Information Signs. Compliance with § 25.791 is required except that for § 25.791(a), when smoking is to be prohibited, notification to the passengers may be provided by a single placard so stating, to be conspicuously located inside the passenger compartment, easily visible to all persons entering the cabin in the immediate vicinity of each passenger entry door.
7. Distance Between Exits. For an airplane that is required to comply with § 25.807(f)(4), in effect as of July 24, 1989, which has more than one passenger emergency exit on each side of the fuselage, no passenger emergency exit may be more than 60 feet from any adjacent passenger emergency exit on the same side of the same deck of the fuselage, as measured parallel to the airplane's longitudinal axis between the nearest exit edges, unless the following conditions are met:
(a) Each passenger seat must be located within 30 feet from the nearest exit on each side of the fuselage, as measured parallel to the airplane's longitudinal axis, between the nearest exit edge and the front of the seat bottom cushion.
(b) The number of passenger seats located between two adjacent pairs of emergency exits (commonly referred to as a passenger zone) or between a pair of exits and a bulkhead or a compartment door (commonly referred to as a “dead-end zone”), may not exceed the following:
(1) For zones between two pairs of exits, 50 percent of the combined rated capacity of the two pairs of emergency exits.
(2) For zones between one pair of exits and a bulkhead, 40 percent of the rated capacity of the pair of emergency exits.
(c) The total number of passenger seats in the airplane may not exceed 33 percent of the maximum seating capacity for the airplane model using the exit ratings listed in § 25.807(g) for the original certified exits or the maximum allowable after modification when exits are deactivated, whichever is less.
(d) A distance of more than 60 feet between adjacent passenger emergency exits on the same side of the same deck of the fuselage, as measured parallel to the airplane's longitudinal axis between the nearest exit edges, is allowed only once on each side of the fuselage.
8. Emergency Exit Signs. In lieu of the requirements of § 25.811(d)(1) and (2) a single sign at each exit may be installed provided:
(a) The sign can be read from the aisle while directly facing the exit, and
(b) The sign can be read from the aisle adjacent to the passenger seat that is farthest from the exit and that does not have an intervening bulkhead/divider or exit.
9. Emergency Lighting.
(a) Exit Signs. In lieu of the requirements of § 25.812(b)(1), for airplanes that have a passenger seating configuration, excluding pilot seats, of 19 seats or less, the emergency exit signs required by § 25.811(d)(1), (2), and (3) must have red letters at least 1-inch high on a white background at least 2 inches high. These signs may be internally electrically illuminated, or self illuminated by other than electrical means, with an initial brightness of at least 160 microlamberts. The color may be reversed in the case of a sign that is self-illuminated by other than electrical means.
(b) Floor Proximity Escape Path Marking. In lieu of the requirements of § 25.812(e)(1), for cabin seating compartments that do not have the main cabin aisle entering and exiting the compartment, the following are applicable:
(1) After a passenger leaves any passenger seat in the compartment, he/she must be able to exit the compartment to the main cabin aisle using only markings and visual features not more that 4 feet above the cabin floor, and
(2) Proceed to the exits using the marking system necessary to accomplish the actions in § 25.812(e)(1) and (e)(2).
(c) Transverse Separation of the Fuselage. In the event of a transverse separation of the fuselage, compliance must be shown with § 25.812(l) except as follows:
(1) For each airplane type originally type certificated with a maximum passenger seating capacity of 9 or less, not more than 50 percent of all electrically illuminated emergency lights required by § 25.812 may be rendered inoperative in addition to the lights that are directly damaged by the separation.
(2) For each airplane type originally type certificated with a maximum passenger seating capacity of 10 to 19, not more than 33 percent of all electrically illuminated emergency lights required by § 25.812 may be rendered inoperative in addition to the lights that are directly damaged by the separation.
10. Interior doors. In lieu of the requirements of § 25.813(e), interior doors may be installed between passenger seats and exits, provided the following requirements are met.
(a) Each door between any passenger seat, occupiable for taxi, takeoff, and landing, and any emergency exit must have a means to signal to the flightcrew, at the flightdeck, that the door is in the open position for taxi, takeoff and landing.
(b) Appropriate procedures/limitations must be established to ensure that any such door is in the open configuration for takeoff and landing.
(c) Each door between any passenger seat and any exit must have dual means to retain it in the open position, each of which is capable of reacting the inertia loads specified in § 25.561.
(d) Doors installed across a longitudinal aisle must translate laterally to open and close, e.g., pocket doors.
(e) Each door between any passenger seat and any exit must be frangible in either direction.
(f) Each door between any passenger seat and any exit must be operable from either side, and if a locking mechanism is installed, it must be capable of being unlocked from either side without the use of special tools.
11. Width of Aisle. Compliance is required with § 25.815, except that aisle width may be reduced to 0 inches between passenger seats during in-flight operations only, provided that the applicant demonstrates that all areas of the cabin are easily accessible by a crew member in the event of an emergency (e.g., in-flight fire, decompression). Additionally, instructions must be provided at each passenger seat for restoring the aisle width required by § 25.815. Procedures must be established and documented in the AFM to ensure that the required aisle widths are provided during taxi, takeoff, and landing.
12. Materials for Compartment Interiors. Compliance is required with the applicable provisions of § 25.853, except that compliance with appendix F, parts IV and V, to part 25, need not be demonstrated if it can be shown by test or a combination of test and analysis that the maximum time for evacuation of all occupants does not exceed 45 seconds under the conditions specified in appendix J to part 25.
13. Fire Detection. For airplanes with a type certificated passenger capacity of 20 or more, there must be means that meet the requirements of § 25.858(a) through (d) to signal the flightcrew in the event of a fire in any isolated room not occupiable for taxi, takeoff and landing, which can be closed off from the rest of the cabin by a door. The indication must identify the compartment where the fire is located. This does not apply to lavatories, which continue to be governed by § 25.854.
14. Cooktops. Each cooktop must be designed and installed to minimize any potential threat to the airplane, passengers, and crew. Compliance with this requirement must be found in accordance with the following criteria:
(a) Means, such as conspicuous burner-on indicators, physical barriers, or handholds, must be installed to minimize the potential for inadvertent personnel contact with hot surfaces of both the cooktop and cookware. Conditions of turbulence must be considered.
(b) Sufficient design means must be included to restrain cookware while in place on the cooktop, as well as representative contents, e.g., soup, sauces, etc., from the effects of flight loads and turbulence. Restraints must be provided to preclude hazardous movement of cookware and contents. These restraints must accommodate any cookware that is identified for use with the cooktop. Restraints must be designed to be easily utilized and effective in service. The cookware restraint system should also be designed so that it will not be easily disabled, thus rendering it unusable. Placarding must be installed which prohibits the use of cookware that cannot be accommodated by the restraint system.
(c) Placarding must be installed which prohibits the use of cooktops (i.e., power on any burner) during taxi, takeoff, and landing.
(d) Means must be provided to address the possibility of a fire occurring on or in the immediate vicinity of the cooktop. Two acceptable means of complying with this requirement are as follows:
(1) Placarding must be installed that prohibits any burner from being powered when the cooktop is unattended. (
(2) An automatic, thermally activated fire suppression system must be installed to extinguish a fire at the cooktop and immediately adjacent surfaces. The agent used in the system must be an approved total flooding agent suitable for use in an occupied area. The fire suppression system must have a manual override. The automatic activation of the fire suppression system must also automatically shut off power to the cooktop.
(e) The surfaces of the galley surrounding the cooktop which would be exposed to a fire on the cooktop surface or in cookware on the cooktop must be constructed of materials that comply with the flammability requirements of part III of appendix F to part 25. This requirement is in addition to the flammability requirements typically required of the materials in these galley surfaces. During the selection of these materials, consideration must also be given to ensure that the flammability characteristics of the materials will not be adversely affected by the use of cleaning agents and utensils used to remove cooking stains.
(f) The cooktop must be ventilated with a system independent of the airplane cabin and cargo ventilation system. Procedures and time intervals must be established to inspect and clean or replace the ventilation system to prevent a fire hazard from the accumulation of flammable oils and be included in the instructions for continued airworthiness. The ventilation system ducting must be protected by a flame arrestor. [
(g) Means must be provided to contain spilled foods or fluids in a manner that will prevent the creation of a slipping hazard to occupants and will not lead to the loss of structural strength due to airplane corrosion.
(h) Cooktop installations must provide adequate space for the user to immediately escape a hazardous cooktop condition.
(i) A means to shut off power to the cooktop must be provided at the galley containing the cooktop and in the cockpit. If additional switches are introduced in the cockpit, revisions to smoke or fire emergency procedures of the AFM will be required.
(j) If the cooktop is required to have a lid to enclose the cooktop there must be a means to automatically shut off power to the cooktop when the lid is closed.
15. Hand-Held Fire Extinguishers.
(a) For airplanes that were originally type certificated with more than 60 passengers, the number of hand-held fire extinguishers must be the greater of—
(1) That provided in accordance with the requirements of § 25.851, or
(2) A number equal to the number of originally type certificated exit pairs, regardless of whether the exits are deactivated for the proposed configuration.
(b) Extinguishers must be evenly distributed throughout the cabin. These extinguishers are in addition to those required by paragraph 14 of this SFAR, unless it can be shown that the cooktop was installed in the immediate vicinity of the original exits.
16. Security. The requirements of § 25.795 are not applicable to airplanes approved in accordance with this SFAR.
(a) This part prescribes airworthiness standards for the issue of type certificates, and changes to those certificates, for transport category airplanes.
(b) Each person who applies under Part 21 for such a certificate or change must show compliance with the applicable requirements in this part.
The following special retroactive requirements are applicable to an airplane for which the regulations referenced in the type certificate predate the sections specified below—
(a) Irrespective of the date of application, each applicant for a supplemental type certificate (or an amendment to a type certificate) involving an increase in passenger seating capacity to a total greater than that for which the airplane has been type certificated must show that the airplane concerned meets the requirements of:
(1) Sections 25.721(d), 25.783(g), 25.785(c), 25.803(c)(2) through (9), 25.803 (d) and (e), 25.807 (a), (c), and (d), 25.809 (f) and (h), 25.811, 25.812, 25.813 (a), (b), and (c), 25.815, 25.817, 25.853 (a) and (b), 25.855(a), 25.993(f), and 25.1359(c) in effect on October 24, 1967, and
(2) Sections 25.803(b) and 25.803(c)(1) in effect on April 23, 1969.
(b) Irrespective of the date of application, each applicant for a supplemental type certificate (or an amendment to a type certificate) for an airplane manufactured after October 16, 1987, must show that the airplane meets the requirements of § 25.807(c)(7) in effect on July 24, 1989.
(c) Compliance with subsequent revisions to the sections specified in paragraph (a) or (b) of this section may be elected or may be required in accordance with § 21.101(a) of this chapter.
(a) Applicability. This section applies to an applicant for ETOPS type design approval of an airplane:
(1) That has an existing type certificate on February 15, 2007; or
(2) For which an application for an original type certificate was submitted before February 15, 2007.
(b) Airplanes with two engines. (1) For ETOPS type design approval of an airplane up to and including 180 minutes, an applicant must comply with § 25.1535, except that it need not comply with the following provisions of Appendix K, K25.1.4, of this part:
(i) K25.1.4(a), fuel system pressure and flow requirements;
(ii) K25.1.4(a)(3), low fuel alerting; and
(iii) K25.1.4(c), engine oil tank design.
(2) For ETOPS type design approval of an airplane beyond 180 minutes an applicant must comply with § 25.1535.
(c) Airplanes with more than two engines. An applicant for ETOPS type design approval must comply with § 25.1535 for an airplane manufactured on or after February 17, 2015, except that, for an airplane configured for a three person flight crew, the applicant need not comply with Appendix K, K25.1.4(a)(3), of this part, low fuel alerting.
(a) For the purposes of this part, the following general definitions apply:
(1) Certification maintenance requirement means a required scheduled maintenance task established during the design certification of the airplane systems as an airworthiness limitation of the type certificate or supplemental type certificate.
(2) Significant latent failure is a latent failure that, in combination with one or more specific failures or events, would result in a hazardous or catastrophic failure condition.
(b) For purposes of this part, the following failure conditions, in order of increasing severity, apply:
(1) Major failure condition means a failure condition that would reduce the capability of the airplane or the ability of the flightcrew to cope with adverse operating conditions, to the extent that there would be—
(i) A significant reduction in safety margins or functional capabilities,
(ii) A physical discomfort or a significant increase in flightcrew workload or in conditions impairing the efficiency of the flightcrew,
(iii) Physical distress to passengers or cabin crew, possibly including injuries, or
(iv) An effect of similar severity.
(2) Hazardous failure condition means a failure condition that would reduce the capability of the airplane or the ability of the flightcrew to cope with adverse operating conditions, to the extent that there would be—
(i) A large reduction in safety margins or functional capabilities,
(ii) Physical distress or excessive workload such that the flightcrew cannot be relied upon to perform their tasks accurately or completely, or
(iii) Serious or fatal injuries to a relatively small number of persons other than the flightcrew.
(3) Catastrophic failure condition means a failure condition that would result in multiple fatalities, usually with the loss of the airplane.
(c) For purposes of this part, the following failure conditions in order of decreasing probability apply:
(1) Probable failure condition means a failure condition that is anticipated to occur one or more times during the entire operational life of each airplane of a given type.
(2) Remote failure condition means a failure condition that is not anticipated to occur to each airplane of a given type during its entire operational life, but which may occur several times during the total operational life of a number of airplanes of a given type.
(3) Extremely remote failure condition means a failure condition that is not anticipated to occur to each airplane of a given type during its entire operational life, but which may occur a few times during the total operational life of all airplanes of a given type.
(4) Extremely improbable failure condition means a failure condition that is not anticipated to occur during the total operational life of all airplanes of a given type.
(a) The materials listed in this section are incorporated by reference in the corresponding sections noted. These incorporations by reference were approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated as they exist on the date of the approval, and notice of any change in these materials will be published in the
(b) The following materials are available for purchase from the following address: The National Technical Information Services (NTIS), Springfield, Virginia 22166.
(1) Fuel Tank Flammability Assessment Method User's Manual, dated May 2008, document number DOT/FAA/AR-05/8, IBR approved for § 25.981 and Appendix N. It can also be obtained at the following Web site: http://www.fire.tc.faa.gov/systems/fueltank/FTFAM.stm.
(2) [Reserved]
(a) Each requirement of this subpart must be met at each appropriate combination of weight and center of gravity within the range of loading conditions for which certification is requested. This must be shown—
(1) By tests upon an airplane of the type for which certification is requested, or by calculations based on, and equal in accuracy to, the results of testing; and
(2) By systematic investigation of each probable combination of weight and center of gravity, if compliance cannot be reasonably inferred from combinations investigated.
(b) [Reserved]
(c) The controllability, stability, trim, and stalling characteristics of the airplane must be shown for each altitude up to the maximum expected in operation.
(d) Parameters critical for the test being conducted, such as weight, loading (center of gravity and inertia), airspeed, power, and wind, must be maintained within acceptable tolerances of the critical values during flight testing.
(e) If compliance with the flight characteristics requirements is dependent upon a stability augmentation system or upon any other automatic or power-operated system, compliance must be shown with §§ 25.671 and 25.672.
(f) In meeting the requirements of §§ 25.105(d), 25.125, 25.233, and 25.237, the wind velocity must be measured at a height of 10 meters above the surface, or corrected for the difference between the height at which the wind velocity is measured and the 10-meter height.
(g) The requirements of this subpart associated with icing conditions apply only if the applicant is seeking certification for flight in icing conditions.
(1) Paragraphs (g)(3) and (4) of this section apply only to airplanes with one or both of the following attributes:
(i) Maximum takeoff gross weight is less than 60,000 lbs; or
(ii) The airplane is equipped with reversible flight controls.
(2) Each requirement of this subpart, except §§ 25.121(a), 25.123(c), 25.143(b)(1) and (2), 25.149, 25.201(c)(2), 25.239, and 25.251(b) through (e), must be met in the icing conditions specified in Appendix C of this part. Section 25.207(c) and (d) must be met in the landing configuration in the icing conditions specified in Appendix C, but need not be met for other configurations. Compliance must be shown using the ice accretions defined in part II of Appendix C of this part, assuming normal operation of the airplane and its ice protection system in accordance with the operating limitations and operating procedures established by the applicant and provided in the airplane flight manual.
(3) If the applicant does not seek certification for flight in all icing conditions defined in Appendix O of this part, each requirement of this subpart, except §§ 25.105, 25.107, 25.109, 25.111, 25.113, 25.115, 25.121, 25.123, 25.143(b)(1), (b)(2), and (c)(1), 25.149, 25.201(c)(2), 25.207(c), (d), and (e)(1), 25.239, and 25.251(b) through (e), must be met in the Appendix O icing conditions for which certification is not sought in order to allow a safe exit from those conditions. Compliance must be shown using the ice accretions defined in part II, paragraphs (b) and (d) of Appendix O, assuming normal operation of the airplane and its ice protection system in accordance with the operating limitations and operating procedures established by the applicant and provided in the airplane flight manual.
(4) If the applicant seeks certification for flight in any portion of the icing conditions of Appendix O of this part, each requirement of this subpart, except §§ 25.121(a), 25.123(c), 25.143(b)(1) and (2), 25.149, 25.201(c)(2), 25.239, and 25.251(b) through (e), must be met in the Appendix O icing conditions for which certification is sought. Section 25.207(c) and (d) must be met in the landing configuration in the Appendix O icing conditions for which certification is sought, but need not be met for other configurations. Compliance must be shown using the ice accretions defined in part II, paragraphs (c) and (d) of Appendix O, assuming normal operation of the airplane and its ice protection system in accordance with the operating limitations and operating procedures established by the applicant and provided in the airplane flight manual.
(a) Ranges of weights and centers of gravity within which the airplane may be safely operated must be established. If a weight and center of gravity combination is allowable only within certain load distribution limits (such as spanwise) that could be inadvertently exceeded, these limits and the corresponding weight and center of gravity combinations must be established.
(b) The load distribution limits may not exceed—
(1) The selected limits;
(2) The limits at which the structure is proven; or
(3) The limits at which compliance with each applicable flight requirement of this subpart is shown.
(a) Maximum weights. Maximum weights corresponding to the airplane operating conditions (such as ramp, ground or water taxi, takeoff, en route, and landing), environmental conditions (such as altitude and temperature), and loading conditions (such as zero fuel weight, center of gravity position and weight distribution) must be established so that they are not more than—
(1) The highest weight selected by the applicant for the particular conditions; or
(2) The highest weight at which compliance with each applicable structural loading and flight requirement is shown, except that for airplanes equipped with standby power rocket engines the maximum weight must not be more than the highest weight established in accordance with appendix E of this part; or
(3) The highest weight at which compliance is shown with the certification requirements of Part 36 of this chapter.
(b) Minimum weight. The minimum weight (the lowest weight at which compliance with each applicable requirement of this part is shown) must be established so that it is not less than—
(1) The lowest weight selected by the applicant;
(2) The design minimum weight (the lowest weight at which compliance with each structural loading condition of this part is shown); or
(3) The lowest weight at which compliance with each applicable flight requirement is shown.
The extreme forward and the extreme aft center of gravity limitations must be established for each practicably separable operating condition. No such limit may lie beyond—
(a) The extremes selected by the applicant;
(b) The extremes within which the structure is proven; or
(c) The extremes within which compliance with each applicable flight requirement is shown.
(a) The empty weight and corresponding center of gravity must be determined by weighing the airplane with—
(1) Fixed ballast;
(2) Unusable fuel determined under § 25.959; and
(3) Full operating fluids, including—
(i) Oil;
(ii) Hydraulic fluid; and
(iii) Other fluids required for normal operation of airplane systems, except potable water, lavatory precharge water, and fluids intended for injection in the engine.
(b) The condition of the airplane at the time of determining empty weight must be one that is well defined and can be easily repeated.
Removable ballast may be used on showing compliance with the flight requirements of this subpart.
(a) The propeller speed and pitch must be limited to values that will ensure—
(1) Safe operation under normal operating conditions; and
(2) Compliance with the performance requirements of §§ 25.101 through 25.125.
(b) There must be a propeller speed limiting means at the governor. It must limit the maximum possible governed engine speed to a value not exceeding the maximum allowable r.p.m.
(c) The means used to limit the low pitch position of the propeller blades must be set so that the engine does not exceed 103 percent of the maximum allowable engine rpm or 99 percent of an approved maximum overspeed, whichever is greater, with—
(1) The propeller blades at the low pitch limit and governor inoperative;
(2) The airplane stationary under standard atmospheric conditions with no wind; and
(3) The engines operating at the takeoff manifold pressure limit for reciprocating engine powered airplanes or the maximum takeoff torque limit for turbopropeller engine-powered airplanes.
(a) Unless otherwise prescribed, airplanes must meet the applicable performance requirements of this subpart for ambient atmospheric conditions and still air.
(b) The performance, as affected by engine power or thrust, must be based on the following relative humidities;
(1) For turbine engine powered airplanes, a relative humidity of—
(i) 80 percent, at and below standard temperatures; and
(ii) 34 percent, at and above standard temperatures plus 50 °F.
(2) For reciprocating engine powered airplanes, a relative humidity of 80 percent in a standard atmosphere. Engine power corrections for vapor pressure must be made in accordance with the following table:
| Altitude | Vapor
pressure | Specific humidity | Density ratio
ρ / σ = 0.0023769 |
|---|---|---|---|
| 0 | 0.403 | 0.00849 | 0.99508 |
| 1,000 | .354 | .00773 | .96672 |
| 2,000 | .311 | .00703 | .93895 |
| 3,000 | .272 | .00638 | .91178 |
| 4,000 | .238 | .00578 | .88514 |
| 5,000 | .207 | .00523 | .85910 |
| 6,000 | .1805 | .00472 | .83361 |
| 7,000 | .1566 | .00425 | .80870 |
| 8,000 | .1356 | .00382 | .78434 |
| 9,000 | .1172 | .00343 | .76053 |
| 10,000 | .1010 | .00307 | .73722 |
| 15,000 | .0463 | .001710 | .62868 |
| 20,000 | .01978 | .000896 | .53263 |
| 25,000 | .00778 | .000436 | .44806 |
(c) The performance must correspond to the propulsive thrust available under the particular ambient atmospheric conditions, the particular flight condition, and the relative humidity specified in paragraph (b) of this section. The available propulsive thrust must correspond to engine power or thrust, not exceeding the approved power or thrust less—
(1) Installation losses; and
(2) The power or equivalent thrust absorbed by the accessories and services appropriate to the particular ambient atmospheric conditions and the particular flight condition.
(d) Unless otherwise prescribed, the applicant must select the takeoff, en route, approach, and landing configurations for the airplane.
(e) The airplane configurations may vary with weight, altitude, and temperature, to the extent they are compatible with the operating procedures required by paragraph (f) of this section.
(f) Unless otherwise prescribed, in determining the accelerate-stop distances, takeoff flight paths, takeoff distances, and landing distances, changes in the airplane's configuration, speed, power, and thrust, must be made in accordance with procedures established by the applicant for operation in service.
(g) Procedures for the execution of balked landings and missed approaches associated with the conditions prescribed in §§ 25.119 and 25.121(d) must be established.
(h) The procedures established under paragraphs (f) and (g) of this section must—
(1) Be able to be consistently executed in service by crews of average skill;
(2) Use methods or devices that are safe and reliable; and
(3) Include allowance for any time delays, in the execution of the procedures, that may reasonably be expected in service.
(i) The accelerate-stop and landing distances prescribed in §§ 25.109 and 25.125, respectively, must be determined with all the airplane wheel brake assemblies at the fully worn limit of their allowable wear range.
(a) The reference stall speed, V
is first a maximum during the maneuver prescribed in paragraph (c) of this section. In addition, when the maneuver is limited by a device that abruptly pushes the nose down at a selected angle of attack (e.g., a stick pusher), V
(b) V
(1) Engines idling, or, if that resultant thrust causes an appreciable decrease in stall speed, not more than zero thrust at the stall speed;
(2) Propeller pitch controls (if applicable) in the takeoff position;
(3) The airplane in other respects (such as flaps, landing gear, and ice accretions) in the condition existing in the test or performance standard in which V
(4) The weight used when V
(5) The center of gravity position that results in the highest value of reference stall speed; and
(6) The airplane trimmed for straight flight at a speed selected by the applicant, but not less than 1.13V
(c) Starting from the stabilized trim condition, apply the longitudinal control to decelerate the airplane so that the speed reduction does not exceed one knot per second.
(d) In addition to the requirements of paragraph (a) of this section, when a device that abruptly pushes the nose down at a selected angle of attack (e.g., a stick pusher) is installed, the reference stall speed, V
(a) The takeoff speeds prescribed by § 25.107, the accelerate-stop distance prescribed by § 25.109, the takeoff path prescribed by § 25.111, the takeoff distance and takeoff run prescribed by § 25.113, and the net takeoff flight path prescribed by § 25.115, must be determined in the selected configuration for takeoff at each weight, altitude, and ambient temperature within the operational limits selected by the applicant—
(1) In non-icing conditions; and
(2) In icing conditions, if in the configuration used to show compliance with § 25.121(b), and with the most critical of the takeoff ice accretion(s) defined in appendices C and O of this part, as applicable, in accordance with § 25.21(g):
(i) The stall speed at maximum takeoff weight exceeds that in non-icing conditions by more than the greater of 3 knots CAS or 3 percent of V
(ii) The degradation of the gradient of climb determined in accordance with § 25.121(b) is greater than one-half of the applicable actual-to-net takeoff flight path gradient reduction defined in § 25.115(b).
(b) No takeoff made to determine the data required by this section may require exceptional piloting skill or alertness.
(c) The takeoff data must be based on—
(1) In the case of land planes and amphibians:
(i) Smooth, dry and wet, hard-surfaced runways; and
(ii) At the option of the applicant, grooved or porous friction course wet, hard-surfaced runways.
(2) Smooth water, in the case of seaplanes and amphibians; and
(3) Smooth, dry snow, in the case of skiplanes.
(d) The takeoff data must include, within the established operational limits of the airplane, the following operational correction factors:
(1) Not more than 50 percent of nominal wind components along the takeoff path opposite to the direction of takeoff, and not less than 150 percent of nominal wind components along the takeoff path in the direction of takeoff.
(2) Effective runway gradients.
(a) V
(1) V
(2) V
(b) V
(1) 1.13 V
(i) Two-engine and three-engine turbopropeller and reciprocating engine powered airplanes; and
(ii) Turbojet powered airplanes without provisions for obtaining a significant reduction in the one-engine-inoperative power-on stall speed;
(2) 1.08 V
(i) Turbopropeller and reciprocating engine powered airplanes with more than three engines; and
(ii) Turbojet powered airplanes with provisions for obtaining a significant reduction in the one-engine-inoperative power-on stall speed; and
(3) 1.10 times V
(c) V
(1) V
(2) V
(3) A speed that provides the maneuvering capability specified in § 25.143(h).
(d) V
(e) V
(1) V
(i) V
(ii) 105 percent of V
(iii) The speed (determined in accordance with § 25.111(c)(2)) that allows reaching V
(iv) A speed that, if the airplane is rotated at its maximum practicable rate, will result in a V
(A) 110 percent of V
(B) If the V
(2) For any given set of conditions (such as weight, configuration, and temperature), a single value of V
(3) It must be shown that the one-engine-inoperative takeoff distance, using a rotation speed of 5 knots less than V
(4) Reasonably expected variations in service from the established takeoff procedures for the operation of the airplane (such as over-rotation of the airplane and out-of-trim conditions) may not result in unsafe flight characteristics or in marked increases in the scheduled takeoff distances established in accordance with § 25.113(a).
(f) V
(g) V
(1) 1.18 V
(2) A speed that provides the maneuvering capability specified in § 25.143(h).
(h) In determining the takeoff speeds V
(a) The accelerate-stop distance on a dry runway is the greater of the following distances:
(1) The sum of the distances necessary to—
(i) Accelerate the airplane from a standing start with all engines operating to V
(ii) Allow the airplane to accelerate from V
(iii) Come to a full stop on a dry runway from the speed reached as prescribed in paragraph (a)(1)(ii) of this section; plus
(iv) A distance equivalent to 2 seconds at the V
(2) The sum of the distances necessary to—
(i) Accelerate the airplane from a standing start with all engines operating to the highest speed reached during the rejected takeoff, assuming the pilot takes the first action to reject the takeoff at the V
(ii) With all engines still operating, come to a full stop on dry runway from the speed reached as prescribed in paragraph (a)(2)(i) of this section; plus
(iii) A distance equivalent to 2 seconds at the V
(b) The accelerate-stop distance on a wet runway is the greater of the following distances:
(1) The accelerate-stop distance on a dry runway determined in accordance with paragraph (a) of this section; or
(2) The accelerate-stop distance determined in accordance with paragraph (a) of this section, except that the runway is wet and the corresponding wet runway values of V
(i) The wheel brakes stopping force determined in meeting the requirements of § 25.101(i) and paragraph (a) of this section; and
(ii) The force resulting from the wet runway braking coefficient of friction determined in accordance with paragraphs (c) or (d) of this section, as applicable, taking into account the distribution of the normal load between braked and unbraked wheels at the most adverse center-of-gravity position approved for takeoff.
(c) The wet runway braking coefficient of friction for a smooth wet runway is defined as a curve of friction coefficient versus ground speed and must be computed as follows:
(1) The maximum tire-to-ground wet runway braking coefficient of friction is defined as:
(2) The maximum tire-to-ground wet runway braking coefficient of friction must be adjusted to take into account the efficiency of the anti-skid system on a wet runway. Anti-skid system operation must be demonstrated by flight testing on a smooth wet runway, and its efficiency must be determined. Unless a specific anti-skid system efficiency is determined from a quantitative analysis of the flight testing on a smooth wet runway, the maximum tire-to-ground wet runway braking coefficient of friction determined in paragraph (c)(1) of this section must be multiplied by the efficiency value associated with the type of anti-skid system installed on the airplane:
| Type of anti-skid system | Efficiency value |
|---|---|
| On-Off | 0.30 |
| Quasi-Modulating | 0.50 |
| Fully Modulating | 0.80 |
(d) At the option of the applicant, a higher wet runway braking coefficient of friction may be used for runway surfaces that have been grooved or treated with a porous friction course material. For grooved and porous friction course runways, the wet runway braking coefficent of friction is defined as either:
(1) 70 percent of the dry runway braking coefficient of friction used to determine the dry runway accelerate-stop distance; or
(2) The wet runway braking coefficient defined in paragraph (c) of this section, except that a specific anti-skid system efficiency, if determined, is appropriate for a grooved or porous friction course wet runway, and the maximum tire-to-ground wet runway braking coefficient of friction is defined as:
(e) Except as provided in paragraph (f)(1) of this section, means other than wheel brakes may be used to determine the accelerate-stop distance if that means—
(1) Is safe and reliable;
(2) Is used so that consistent results can be expected under normal operating conditions; and
(3) Is such that exceptional skill is not required to control the airplane.
(f) The effects of available reverse thrust—
(1) Shall not be included as an additional means of deceleration when determining the accelerate-stop distance on a dry runway; and
(2) May be included as an additional means of deceleration using recommended reverse thrust procedures when determining the accelerate-stop distance on a wet runway, provided the requirements of paragraph (e) of this section are met.
(g) The landing gear must remain extended throughout the accelerate-stop distance.
(h) If the accelerate-stop distance includes a stopway with surface characteristics substantially different from those of the runway, the takeoff data must include operational correction factors for the accelerate-stop distance. The correction factors must account for the particular surface characteristics of the stopway and the variations in these characteristics with seasonal weather conditions (such as temperature, rain, snow, and ice) within the established operational limits.
(i) A flight test demonstration of the maximum brake kinetic energy accelerate-stop distance must be conducted with not more than 10 percent of the allowable brake wear range remaining on each of the airplane wheel brakes.
(a) The takeoff path extends from a standing start to a point in the takeoff at which the airplane is 1,500 feet above the takeoff surface, or at which the transition from the takeoff to the en route configuration is completed and V
(1) The takeoff path must be based on the procedures prescribed in § 25.101(f);
(2) The airplane must be accelerated on the ground to V
(3) After reaching V
(b) During the acceleration to speed V
(c) During the takeoff path determination in accordance with paragraphs (a) and (b) of this section—
(1) The slope of the airborne part of the takeoff path must be positive at each point;
(2) The airplane must reach V
(3) At each point along the takeoff path, starting at the point at which the airplane reaches 400 feet above the takeoff surface, the available gradient of climb may not be less than—
(i) 1.2 percent for two-engine airplanes;
(ii) 1.5 percent for three-engine airplanes; and
(iii) 1.7 percent for four-engine airplanes.
(4) The airplane configuration may not be changed, except for gear retraction and automatic propeller feathering, and no change in power or thrust that requires action by the pilot may be made until the airplane is 400 feet above the takeoff surface; and
(5) If § 25.105(a)(2) requires the takeoff path to be determined for flight in icing conditions, the airborne part of the takeoff must be based on the airplane drag:
(i) With the most critical of the takeoff ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), from a height of 35 feet above the takeoff surface up to the point where the airplane is 400 feet above the takeoff surface; and
(ii) With the most critical of the final takeoff ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), from the point where the airplane is 400 feet above the takeoff surface to the end of the takeoff path.
(d) The takeoff path must be determined by a continuous demonstrated takeoff or by synthesis from segments. If the takeoff path is determined by the segmental method—
(1) The segments must be clearly defined and must be related to the distinct changes in the configuration, power or thrust, and speed;
(2) The weight of the airplane, the configuration, and the power or thrust must be constant throughout each segment and must correspond to the most critical condition prevailing in the segment;
(3) The flight path must be based on the airplane's performance without ground effect; and
(4) The takeoff path data must be checked by continuous demonstrated takeoffs up to the point at which the airplane is out of ground effect and its speed is stabilized, to ensure that the path is conservative relative to the continous path.
(e) For airplanes equipped with standby power rocket engines, the takeoff path may be determined in accordance with section II of appendix E.
(a) Takeoff distance on a dry runway is the greater of—
(1) The horizontal distance along the takeoff path from the start of the takeoff to the point at which the airplane is 35 feet above the takeoff surface, determined under § 25.111 for a dry runway; or
(2) 115 percent of the horizontal distance along the takeoff path, with all engines operating, from the start of the takeoff to the point at which the airplane is 35 feet above the takeoff surface, as determined by a procedure consistent with § 25.111.
(b) Takeoff distance on a wet runway is the greater of—
(1) The takeoff distance on a dry runway determined in accordance with paragraph (a) of this section; or
(2) The horizontal distance along the takeoff path from the start of the takeoff to the point at which the airplane is 15 feet above the takeoff surface, achieved in a manner consistent with the achievement of V
(c) If the takeoff distance does not include a clearway, the takeoff run is equal to the takeoff distance. If the takeoff distance includes a clearway—
(1) The takeoff run on a dry runway is the greater of—
(i) The horizontal distance along the takeoff path from the start of the takeoff to a point equidistant between the point at which V
(ii) 115 percent of the horizontal distance along the takeoff path, with all engines operating, from the start of the takeoff to a point equidistant between the point at which V
(2) The takeoff run on a wet runway is the greater of—
(i) The horizontal distance along the takeoff path from the start of the takeoff to the point at which the airplane is 15 feet above the takeoff surface, achieved in a manner consistent with the achievement of V
(ii) 115 percent of the horizontal distance along the takeoff path, with all engines operating, from the start of the takeoff to a point equidistant between the point at which V
(a) The takeoff flight path shall be considered to begin 35 feet above the takeoff surface at the end of the takeoff distance determined in accordance with § 25.113(a) or (b), as appropriate for the runway surface condition.
(b) The net takeoff flight path data must be determined so that they represent the actual takeoff flight paths (determined in accordance with § 25.111 and with paragraph (a) of this section) reduced at each point by a gradient of climb equal to—
(1) 0.8 percent for two-engine airplanes;
(2) 0.9 percent for three-engine airplanes; and
(3) 1.0 percent for four-engine airplanes.
(c) The prescribed reduction in climb gradient may be applied as an equivalent reduction in acceleration along that part of the takeoff flight path at which the airplane is accelerated in level flight.
Compliance with the requirements of §§ 25.119 and 25.121 must be shown at each weight, altitude, and ambient temperature within the operational limits established for the airplane and with the most unfavorable center of gravity for each configuration.
In the landing configuration, the steady gradient of climb may not be less than 3.2 percent, with the engines at the power or thrust that is available 8 seconds after initiation of movement of the power or thrust controls from the minimum flight idle to the go-around power or thrust setting—
(a) In non-icing conditions, with a climb speed of V
(b) In icing conditions with the most critical of the landing ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), and with a climb speed of V
(a) Takeoff; landing gear extended. In the critical takeoff configuration existing along the flight path (between the points at which the airplane reaches V
(1) The critical engine inoperative and the remaining engines at the power or thrust available when retraction of the landing gear is begun in accordance with § 25.111 unless there is a more critical power operating condition existing later along the flight path but before the point at which the landing gear is fully retracted; and
(2) The weight equal to the weight existing when retraction of the landing gear is begun, determined under § 25.111.
(b) Takeoff; landing gear retracted. In the takeoff configuration existing at the point of the flight path at which the landing gear is fully retracted, and in the configuration used in § 25.111 but without ground effect:
(1) The steady gradient of climb may not be less than 2.4 percent for two-engine airplanes, 2.7 percent for three-engine airplanes, and 3.0 percent for four-engine airplanes, at V
(i) The critical engine inoperative, the remaining engines at the takeoff power or thrust available at the time the landing gear is fully retracted, determined under § 25.111, unless there is a more critical power operating condition existing later along the flight path but before the point where the airplane reaches a height of 400 feet above the takeoff surface; and
(ii) The weight equal to the weight existing when the airplane's landing gear is fully retracted, determined under § 25.111.
(2) The requirements of paragraph (b)(1) of this section must be met:
(i) In non-icing conditions; and
(ii) In icing conditions with the most critical of the takeoff ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), if in the configuration used to show compliance with § 25.121(b) with this takeoff ice accretion:
(A) The stall speed at maximum takeoff weight exceeds that in non-icing conditions by more than the greater of 3 knots CAS or 3 percent of V
(B) The degradation of the gradient of climb determined in accordance with § 25.121(b) is greater than one-half of the applicable actual-to-net takeoff flight path gradient reduction defined in § 25.115(b).
(c) Final takeoff. In the en route configuration at the end of the takeoff path determined in accordance with § 25.111:
(1) The steady gradient of climb may not be less than 1.2 percent for two-engine airplanes, 1.5 percent for three-engine airplanes, and 1.7 percent for four-engine airplanes, at V
(i) The critical engine inoperative and the remaining engines at the available maximum continuous power or thrust; and
(ii) The weight equal to the weight existing at the end of the takeoff path, determined under § 25.111.
(2) The requirements of paragraph (c)(1) of this section must be met:
(i) In non-icing conditions; and
(ii) In icing conditions with the most critical of the final takeoff ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), if in the configuration used to show compliance with § 25.121(b) with the takeoff ice accretion used to show compliance with § 25.111(c)(5)(i):
(A) The stall speed at maximum takeoff weight exceeds that in non-icing conditions by more than the greater of 3 knots CAS or 3 percent of V
(B) The degradation of the gradient of climb determined in accordance with § 25.121(b) is greater than one-half of the applicable actual-to-net takeoff flight path gradient reduction defined in § 25.115(b).
(d) Approach. In a configuration corresponding to the normal all-engines-operating procedure in which V
(1) The steady gradient of climb may not be less than 2.1 percent for two-engine airplanes, 2.4 percent for three-engine airplanes, and 2.7 percent for four-engine airplanes, with—
(i) The critical engine inoperative, the remaining engines at the go-around power or thrust setting;
(ii) The maximum landing weight;
(iii) A climb speed established in connection with normal landing procedures, but not exceeding 1.4 V
(iv) Landing gear retracted.
(2) The requirements of paragraph (d)(1) of this section must be met:
(i) In non-icing conditions; and
(ii) In icing conditions with the most critical of the approach ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g). The climb speed selected for non-icing conditions may be used if the climb speed for icing conditions, computed in accordance with paragraph (d)(1)(iii) of this section, does not exceed that for non-icing conditions by more than the greater of 3 knots CAS or 3 percent.
(a) For the en route configuration, the flight paths prescribed in paragraph (b) and (c) of this section must be determined at each weight, altitude, and ambient temperature, within the operating limits established for the airplane. The variation of weight along the flight path, accounting for the progressive consumption of fuel and oil by the operating engines, may be included in the computation. The flight paths must be determined at a speed not less than V
(1) The most unfavorable center of gravity;
(2) The critical engines inoperative;
(3) The remaining engines at the available maximum continuous power or thrust; and
(4) The means for controlling the engine-cooling air supply in the position that provides adequate cooling in the hot-day condition.
(b) The one-engine-inoperative net flight path data must represent the actual climb performance diminished by a gradient of climb of 1.1 percent for two-engine airplanes, 1.4 percent for three-engine airplanes, and 1.6 percent for four-engine airplanes—
(1) In non-icing conditions; and
(2) In icing conditions with the most critical of the en route ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), if:
(i) A speed of 1.18 “V
(ii) The degradation of the gradient of climb is greater than one-half of the applicable actual-to-net flight path reduction defined in paragraph (b) of this section.
(c) For three- or four-engine airplanes, the two-engine-inoperative net flight path data must represent the actual climb performance diminished by a gradient of climb of 0.3 percent for three-engine airplanes and 0.5 percent for four-engine airplanes.
(a) The horizontal distance necessary to land and to come to a complete stop (or to a speed of approximately 3 knots for water landings) from a point 50 feet above the landing surface must be determined (for standard temperatures, at each weight, altitude, and wind within the operational limits established by the applicant for the airplane):
(1) In non-icing conditions; and
(2) In icing conditions with the most critical of the landing ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), if V
(b) In determining the distance in paragraph (a) of this section:
(1) The airplane must be in the landing configuration.
(2) A stabilized approach, with a calibrated airspeed of not less than V
(i) In non-icing conditions, V
(A) 1.23 V
(B) V
(C) A speed that provides the maneuvering capability specified in § 25.143(h).
(ii) In icing conditions, V
(A) The speed determined in paragraph (b)(2)(i) of this section;
(B) 1.23 V
(C) A speed that provides the maneuvering capability specified in § 25.143(h) with the most critical of the landing ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g).
(3) Changes in configuration, power or thrust, and speed, must be made in accordance with the established procedures for service operation.
(4) The landing must be made without excessive vertical acceleration, tendency to bounce, nose over, ground loop, porpoise, or water loop.
(5) The landings may not require exceptional piloting skill or alertness.
(c) For landplanes and amphibians, the landing distance on land must be determined on a level, smooth, dry, hard-surfaced runway. In addition—
(1) The pressures on the wheel braking systems may not exceed those specified by the brake manufacturer;
(2) The brakes may not be used so as to cause excessive wear of brakes or tires; and
(3) Means other than wheel brakes may be used if that means—
(i) Is safe and reliable;
(ii) Is used so that consistent results can be expected in service; and
(iii) Is such that exceptional skill is not required to control the airplane.
(d) For seaplanes and amphibians, the landing distance on water must be determined on smooth water.
(e) For skiplanes, the landing distance on snow must be determined on smooth, dry, snow.
(f) The landing distance data must include correction factors for not more than 50 percent of the nominal wind components along the landing path opposite to the direction of landing, and not less than 150 percent of the nominal wind components along the landing path in the direction of landing.
(g) If any device is used that depends on the operation of any engine, and if the landing distance would be noticeably increased when a landing is made with that engine inoperative, the landing distance must be determined with that engine inoperative unless the use of compensating means will result in a landing distance not more than that with each engine operating.
(a) The airplane must be safely controllable and maneuverable during—
(1) Takeoff;
(2) Climb;
(3) Level flight;
(4) Descent; and
(5) Landing.
(b) It must be possible to make a smooth transition from one flight condition to any other flight condition without exceptional piloting skill, alertness, or strength, and without danger of exceeding the airplane limit-load factor under any probable operating conditions, including—
(1) The sudden failure of the critical engine;
(2) For airplanes with three or more engines, the sudden failure of the second critical engine when the airplane is in the en route, approach, or landing configuration and is trimmed with the critical engine inoperative; and
(3) Configuration changes, including deployment or retraction of deceleration devices.
(c) The airplane must be shown to be safely controllable and maneuverable with the most critical of the ice accretion(s) appropriate to the phase of flight as defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), and with the critical engine inoperative and its propeller (if applicable) in the minimum drag position:
(1) At the minimum V
(2) During an approach and go-around; and
(3) During an approach and landing.
(d) The following table prescribes, for conventional wheel type controls, the maximum control forces permitted during the testing required by paragraph (a) through (c) of this section:
| Force, in pounds, applied to the control wheel or rudder pedals | Pitch | Roll | Yaw |
|---|---|---|---|
| For short term application for pitch and roll control—two hands available for control | 75 | 50 | |
| For short term application for pitch and roll control—one hand available for control | 50 | 25 | |
| For short term application for yaw control | 150 | ||
| For long term application | 10 | 5 | 20 |
(e) Approved operating procedures or conventional operating practices must be followed when demonstrating compliance with the control force limitations for short term application that are prescribed in paragraph (d) of this section. The airplane must be in trim, or as near to being in trim as practical, in the preceding steady flight condition. For the takeoff condition, the airplane must be trimmed according to the approved operating procedures.
(f) When demonstrating compliance with the control force limitations for long term application that are prescribed in paragraph (d) of this section, the airplane must be in trim, or as near to being in trim as practical.
(g) When maneuvering at a constant airspeed or Mach number (up to V
(h) The maneuvering capabilities in a constant speed coordinated turn at forward center of gravity, as specified in the following table, must be free of stall warning or other characteristics that might interfere with normal maneuvering:
| Configuration | Speed | Maneuvering bank angle in a coordinated turn | Thrust/power setting |
|---|---|---|---|
| Takeoff | V | 30° | Asymmetric WAT-Limited. 1 |
| Takeoff |
2V | 40° | All-engines-operating climb. 3 |
| En route | V | 40° | Asymmetric WAT-Limited. 1 |
| Landing | V | 40° | Symmetric for −3° flight path angle. |
1 A combination of weight, altitude, and temperature (WAT) such that the thrust or power setting produces the minimum climb gradient specified in § 25.121 for the flight condition.
2 Airspeed approved for all-engines-operating initial climb.
3 That thrust or power setting which, in the event of failure of the critical engine and without any crew action to adjust the thrust or power of the remaining engines, would result in the thrust or power specified for the takeoff condition at V
(i) When demonstrating compliance with § 25.143 in icing conditions—
(1) Controllability must be demonstrated with the most critical of the ice accretion(s) for the particular flight phase as defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g);
(2) It must be shown that a push force is required throughout a pushover maneuver down to a zero g load factor, or the lowest load factor obtainable if limited by elevator power or other design characteristic of the flight control system. It must be possible to promptly recover from the maneuver without exceeding a pull control force of 50 pounds; and
(3) Any changes in force that the pilot must apply to the pitch control to maintain speed with increasing sideslip angle must be steadily increasing with no force reversals, unless the change in control force is gradual and easily controllable by the pilot without using exceptional piloting skill, alertness, or strength.
(j) For flight in icing conditions before the ice protection system has been activated and is performing its intended function, it must be demonstrated in flight with the most critical of the ice accretion(s) defined in Appendix C, part II, paragraph (e) of this part and Appendix O, part II, paragraph (d) of this part, as applicable, in accordance with § 25.21(g), that:
(1) The airplane is controllable in a pull-up maneuver up to 1.5 g load factor; and
(2) There is no pitch control force reversal during a pushover maneuver down to 0.5 g load factor.
(a) It must be possible, at any point between the trim speed prescribed in § 25.103(b)(6) and stall identification (as defined in § 25.201(d)), to pitch the nose downward so that the acceleration to this selected trim speed is prompt with
(1) The airplane trimmed at the trim speed prescribed in § 25.103(b)(6);
(2) The landing gear extended;
(3) The wing flaps (i) retracted and (ii) extended; and
(4) Power (i) off and (ii) at maximum continuous power on the engines.
(b) With the landing gear extended, no change in trim control, or exertion of more than 50 pounds control force (representative of the maximum short term force that can be applied readily by one hand) may be required for the following maneuvers:
(1) With power off, flaps retracted, and the airplane trimmed at 1.3 V
(2) Repeat paragraph (b)(1) except initially extend the flaps and then retract them as rapidly as possible.
(3) Repeat paragraph (b)(2), except at the go-around power or thrust setting.
(4) With power off, flaps retracted, and the airplane trimmed at 1.3 V
(5) Repeat paragraph (b)(4) except with flaps extended.
(6) With power off, flaps extended, and the airplane trimmed at 1.3 V
(c) It must be possible, without exceptional piloting skill, to prevent loss of altitude when complete retraction of the high lift devices from any position is begun during steady, straight, level flight at 1.08 V
(1) Simultaneous movement of the power or thrust controls to the go-around power or thrust setting;
(2) The landing gear extended; and
(3) The critical combinations of landing weights and altitudes.
(d) If gated high-lift device control positions are provided, paragraph (c) of this section applies to retractions of the high-lift devices from any position from the maximum landing position to the first gated position, between gated positions, and from the last gated position to the fully retracted position. The requirements of paragraph (c) of this section also apply to retractions from each approved landing position to the control position(s) associated with the high-lift device configuration(s) used to establish the go-around procedure(s) from that landing position. In addition, the first gated control position from the maximum landing position must correspond with a configuration of the high-lift devices used to establish a go-around procedure from a landing configuration. Each gated control position must require a separate and distinct motion of the control to pass through the gated position and must have features to prevent inadvertent movement of the control through the gated position. It must only be possible to make this separate and distinct motion once the control has reached the gated position.
(a) Directional control; general. It must be possible, with the wings level, to yaw into the operative engine and to safely make a reasonably sudden change in heading of up to 15 degrees in the direction of the critical inoperative engine. This must be shown at 1.3 V
(1) The critical engine inoperative and its propeller in the minimum drag position;
(2) The power required for level flight at 1.3 V
(3) The most unfavorable center of gravity;
(4) Landing gear retracted;
(5) Flaps in the approach position; and
(6) Maximum landing weight.
(b) Directional control; airplanes with four or more engines. Airplanes with four or more engines must meet the requirements of paragraph (a) of this section except that—
(1) The two critical engines must be inoperative with their propellers (if applicable) in the minimum drag position;
(2) [Reserved]
(3) The flaps must be in the most favorable climb position.
(c) Lateral control; general. It must be possible to make 20° banked turns, with and against the inoperative engine, from steady flight at a speed equal to 1.3 V
(1) The critical engine inoperative and its propeller (if applicable) in the minimum drag position;
(2) The remaining engines at maximum continuous power;
(3) The most unfavorable center of gravity;
(4) Landing gear (i) retracted and (ii) extended;
(5) Flaps in the most favorable climb position; and
(6) Maximum takeoff weight.
(d) Lateral control; roll capability. With the critical engine inoperative, roll response must allow normal maneuvers. Lateral control must be sufficient, at the speeds likely to be used with one engine inoperative, to provide a roll rate necessary for safety without excessive control forces or travel.
(e) Lateral control; airplanes with four or more engines. Airplanes with four or more engines must be able to make 20° banked turns, with and against the inoperative engines, from steady flight at a speed equal to 1.3 V
(f) Lateral control; all engines operating. With the engines operating, roll response must allow normal maneuvers (such as recovery from upsets produced by gusts and the initiation of evasive maneuvers). There must be enough excess lateral control in sideslips (up to sideslip angles that might be required in normal operation), to allow a limited amount of maneuvering and to correct for gusts. Lateral control must be enough at any speed up to V
(a) In establishing the minimum control speeds required by this section, the method used to simulate critical engine failure must represent the most critical mode of powerplant failure with respect to controllability expected in service.
(b) V
(c) V
(1) Maximum available takeoff power or thrust on the engines;
(2) The most unfavorable center of gravity;
(3) The airplane trimmed for takeoff;
(4) The maximum sea level takeoff weight (or any lesser weight necessary to show V
(5) The airplane in the most critical takeoff configuration existing along the flight path after the airplane becomes airborne, except with the landing gear retracted;
(6) The airplane airborne and the ground effect negligible; and
(7) If applicable, the propeller of the inoperative engine—
(i) Windmilling;
(ii) In the most probable position for the specific design of the propeller control; or
(iii) Feathered, if the airplane has an automatic feathering device acceptable for showing compliance with the climb requirements of § 25.121.
(d) The rudder forces required to maintain control at V
(e) V
(1) The airplane in each takeoff configuration or, at the option of the applicant, in the most critical takeoff configuration;
(2) Maximum available takeoff power or thrust on the operating engines;
(3) The most unfavorable center of gravity;
(4) The airplane trimmed for takeoff; and
(5) The most unfavorable weight in the range of takeoff weights.
(f) V
(1) The airplane in the most critical configuration (or, at the option of the applicant, each configuration) for approach and landing with all engines operating;
(2) The most unfavorable center of gravity;
(3) The airplane trimmed for approach with all engines operating;
(4) The most favorable weight, or, at the option of the applicant, as a function of weight;
(5) For propeller airplanes, the propeller of the inoperative engine in the position it achieves without pilot action, assuming the engine fails while at the power or thrust necessary to maintain a three degree approach path angle; and
(6) Go-around power or thrust setting on the operating engine(s).
(g) For airplanes with three or more engines, V
(1) The airplane in the most critical configuration (or, at the option of the applicant, each configuration) for approach and landing with one critical engine inoperative;
(2) The most unfavorable center of gravity;
(3) The airplane trimmed for approach with one critical engine inoperative;
(4) The most unfavorable weight, or, at the option of the applicant, as a function of weight;
(5) For propeller airplanes, the propeller of the more critical inoperative engine in the position it achieves without pilot action, assuming the engine fails while at the power or thrust necessary to maintain a three degree approach path angle, and the propeller of the other inoperative engine feathered;
(6) The power or thrust on the operating engine(s) necessary to maintain an approach path angle of three degrees when one critical engine is inoperative; and
(7) The power or thrust on the operating engine(s) rapidly changed, immediately after the second critical engine is made inoperative, from the power or thrust prescribed in paragraph (g)(6) of this section to—
(i) Minimum power or thrust; and
(ii) Go-around power or thrust setting.
(h) In demonstrations of V
(1) The rudder force may not exceed 150 pounds;
(2) The airplane may not exhibit hazardous flight characteristics or require exceptional piloting skill, alertness, or strength;
(3) Lateral control must be sufficient to roll the airplane, from an initial condition of steady flight, through an angle of 20 degrees in the direction necessary to initiate a turn away from the inoperative engine(s), in not more than 5 seconds; and
(4) For propeller airplanes, hazardous flight characteristics must not be exhibited due to any propeller position achieved when the engine fails or during any likely subsequent movements of the engine or propeller controls.
(a) General. Each airplane must meet the trim requirements of this section after being trimmed, and without further pressure upon, or movement of, either the primary controls or their corresponding trim controls by the pilot or the automatic pilot.
(b) Lateral and directional trim. The airplane must maintain lateral and directional trim with the most adverse lateral displacement of the center of gravity within the relevant operating limitations, during normally expected conditions of operation (including operation at any speed from 1.3 V
(c) Longitudinal trim. The airplane must maintain longitudinal trim during—
(1) A climb with maximum continuous power at a speed not more than 1.3 V
(2) Either a glide with power off at a speed not more than 1.3 V
(3) Level flight at any speed from 1.3 V
(d) Longitudinal, directional, and lateral trim. The airplane must maintain longitudinal, directional, and lateral trim (and for the lateral trim, the angle of bank may not exceed five degrees) at 1.3 V
(1) The critical engine inoperative;
(2) The remaining engines at maximum continuous power; and
(3) The landing gear and flaps retracted.
(e) Airplanes with four or more engines. Each airplane with four or more engines must also maintain trim in rectilinear flight with the most unfavorable center of gravity and at the climb speed, configuration, and power required by § 25.123(a) for the purpose of establishing the en route flight paths with two engines inoperative.
The airplane must be longitudinally, directionally, and laterally stable in accordance with the provisions of §§ 25.173 through 25.177. In addition, suitable stability and control feel (static stability) is required in any condition normally encountered in service, if flight tests show it is necessary for safe operation.
Under the conditions specified in § 25.175, the characteristics of the elevator control forces (including friction) must be as follows:
(a) A pull must be required to obtain and maintain speeds below the specified trim speed, and a push must be required to obtain and maintain speeds above the specified trim speed. This must be shown at any speed that can be obtained except speeds higher than the landing gear or wing flap operating limit speeds or V
(b) The airspeed must return to within 10 percent of the original trim speed for the climb, approach, and landing conditions specified in § 25.175 (a), (c), and (d), and must return to within 7.5 percent of the original trim speed for the cruising condition specified in § 25.175(b), when the control force is slowly released from any speed within the range specified in paragraph (a) of this section.
(c) The average gradient of the stable slope of the stick force versus speed curve may not be less than 1 pound for each 6 knots.
(d) Within the free return speed range specified in paragraph (b) of this section, it is permissible for the airplane, without control forces, to stabilize on speeds above or below the desired trim speeds if exceptional attention on the part of the pilot is not required to return to and maintain the desired trim speed and altitude.
Static longitudinal stability must be shown as follows:
(a) Climb. The stick force curve must have a stable slope at speeds between 85 and 115 percent of the speed at which the airplane—
(1) Is trimmed, with—
(i) Wing flaps retracted;
(ii) Landing gear retracted;
(iii) Maximum takeoff weight; and
(iv) 75 percent of maximum continuous power for reciprocating engines or the maximum power or thrust selected by the applicant as an operating limitation for use during climb for turbine engines; and
(2) Is trimmed at the speed for best rate-of-climb except that the speed need not be less than 1.3 V
(b) Cruise. Static longitudinal stability must be shown in the cruise condition as follows:
(1) With the landing gear retracted at high speed, the stick force curve must have a stable slope at all speeds within a range which is the greater of 15 percent of the trim speed plus the resulting free return speed range, or 50 knots plus the resulting free return speed range, above and below the trim speed (except that the speed range need not include speeds less than 1.3 V
(i) The wing flaps retracted;
(ii) The center of gravity in the most adverse position (see § 25.27);
(iii) The most critical weight between the maximum takeoff and maximum landing weights;
(iv) 75 percent of maximum continuous power for reciprocating engines or for turbine engines, the maximum cruising power selected by the applicant as an operating limitation (see § 25.1521), except that the power need not exceed that required at V
(v) The airplane trimmed for level flight with the power required in paragraph (b)(1)(iv) of this section.
(2) With the landing gear retracted at low speed, the stick force curve must have a stable slope at all speeds within a range which is the greater of 15 percent of the trim speed plus the resulting free return speed range, or 50 knots plus the resulting free return speed range, above and below the trim speed (except that the speed range need not include speeds less than 1.3 V
(i) Wing flaps, center of gravity position, and weight as specified in paragraph (b)(1) of this section;
(ii) Power required for level flight at a speed equal to (V
(iii) The airplane trimmed for level flight with the power required in paragraph (b)(2)(ii) of this section.
(3) With the landing gear extended, the stick force curve must have a stable slope at all speeds within a range which is the greater of 15 percent of the trim speed plus the resulting free return speed range, or 50 knots plus the resulting free return speed range, above and below the trim speed (except that the speed range need not include speeds less than 1.3 V
(i) Wing flap, center of gravity position, and weight as specified in paragraph (b)(1) of this section;
(ii) 75 percent of maximum continuous power for reciprocating engines or, for turbine engines, the maximum cruising power selected by the applicant as an operating limitation, except that the power need not exceed that required for level flight at V
(iii) The aircraft trimmed for level flight with the power required in paragraph (b)(3)(ii) of this section.
(c) Approach. The stick force curve must have a stable slope at speeds between V
(1) Wing flaps in the approach position;
(2) Landing gear retracted;
(3) Maximum landing weight; and
(4) The airplane trimmed at 1.3 V
(d) Landing. The stick force curve must have a stable slope, and the stick force may not exceed 80 pounds, at speeds between V
(1) Wing flaps in the landing position;
(2) Landing gear extended;
(3) Maximum landing weight;
(4) The airplane trimmed at 1.3 V
(i) Power or thrust off, and
(ii) Power or thrust for level flight.
(5) The airplane trimmed at 1.3 V
(a) The static directional stability (as shown by the tendency to recover from a skid with the rudder free) must be positive for any landing gear and flap position and symmetric power condition, at speeds from 1.13 V
(b) The static lateral stability (as shown by the tendency to raise the low wing in a sideslip with the aileron controls free) for any landing gear and flap position and symmetric power condition, may not be negative at any airspeed (except that speeds higher than V
(1) From 1.13 V
(2) From V
(i) Gradual;
(ii) Easily recognizable by the pilot; and
(iii) Easily controllable by the pilot.
(c) The following requirement must be met for the configurations and speed specified in paragraph (a) of this section. In straight, steady sideslips over the range of sideslip angles appropriate to the operation of the airplane, the aileron and rudder control movements and forces must be substantially proportional to the angle of sideslip in a stable sense. This factor of proportionality must lie between limits found necessary for safe operation. The range of sideslip angles evaluated must include those sideslip angles resulting from the lesser of:
(1) One-half of the available rudder control input; and
(2) A rudder control force of 180 pounds.
(d) For sideslip angles greater than those prescribed by paragraph (c) of this section, up to the angle at which full rudder control is used or a rudder control force of 180 pounds is obtained, the rudder control forces may not reverse, and increased rudder deflection must be needed for increased angles of sideslip. Compliance with this requirement must be shown using straight, steady sideslips, unless full lateral control input is achieved before reaching either full rudder control input or a rudder control force of 180 pounds; a straight, steady sideslip need not be maintained after achieving full lateral control input. This requirement must be met at all approved landing gear and flap positions for the range of operating speeds and power conditions appropriate to each landing gear and flap position with all engines operating.
(a) Any short period oscillation, not including combined lateral-directional oscillations, occurring between 1.13 V
(1) Free; and
(2) In a fixed position.
(b) Any combined lateral-directional oscillations (“Dutch roll”) occurring between 1.13 V
(a) Stalls must be shown in straight flight and in 30 degree banked turns with—
(1) Power off; and
(2) The power necessary to maintain level flight at 1.5 V
(b) In each condition required by paragraph (a) of this section, it must be possible to meet the applicable requirements of § 25.203 with—
(1) Flaps, landing gear, and deceleration devices in any likely combination of positions approved for operation;
(2) Representative weights within the range for which certification is requested;
(3) The most adverse center of gravity for recovery; and
(4) The airplane trimmed for straight flight at the speed prescribed in § 25.103(b)(6).
(c) The following procedures must be used to show compliance with § 25.203;
(1) Starting at a speed sufficiently above the stalling speed to ensure that a steady rate of speed reduction can be established, apply the longitudinal control so that the speed reduction does not exceed one knot per second until the airplane is stalled.
(2) In addition, for turning flight stalls, apply the longitudinal control to achieve airspeed deceleration rates up to 3 knots per second.
(3) As soon as the airplane is stalled, recover by normal recovery techniques.
(d) The airplane is considered stalled when the behavior of the airplane gives the pilot a clear and distinctive indication of an acceptable nature that the airplane is stalled. Acceptable indications of a stall, occurring either individually or in combination, are—
(1) A nose-down pitch that cannot be readily arrested;
(2) Buffeting, of a magnitude and severity that is a strong and effective deterrent to further speed reduction; or
(3) The pitch control reaches the aft stop and no further increase in pitch attitude occurs when the control is held full aft for a short time before recovery is initiated.
(a) It must be possible to produce and to correct roll and yaw by unreversed use of the aileron and rudder controls, up to the time the airplane is stalled. No abnormal nose-up pitching may occur. The longitudinal control force must be positive up to and throughout the stall. In addition, it must be possible to promptly prevent stalling and to recover from a stall by normal use of the controls.
(b) For level wing stalls, the roll occurring between the stall and the completion of the recovery may not exceed approximately 20 degrees.
(c) For turning flight stalls, the action of the airplane after the stall may not be so violent or extreme as to make it difficult, with normal piloting skill, to effect a prompt recovery and to regain control of the airplane. The maximum bank angle that occurs during the recovery may not exceed—
(1) Approximately 60 degrees in the original direction of the turn, or 30 degrees in the opposite direction, for deceleration rates up to 1 knot per second; and
(2) Approximately 90 degrees in the original direction of the turn, or 60 degrees in the opposite direction, for deceleration rates in excess of 1 knot per second.
(a) Stall warning with sufficient margin to prevent inadvertent stalling with the flaps and landing gear in any normal position must be clear and distinctive to the pilot in straight and turning flight.
(b) The warning must be furnished either through the inherent aerodynamic qualities of the airplane or by a device that will give clearly distinguishable indications under expected conditions of flight. However, a visual stall warning device that requires the attention of the crew within the cockpit is not acceptable by itself. If a warning device is used, it must provide a warning in each of the airplane configurations prescribed in paragraph (a) of this section at the speed prescribed in paragraphs (c) and (d) of this section. Except for the stall warning prescribed in paragraph (h)(3)(ii) of this section, the stall warning for flight in icing conditions must be provided by the same means as the stall warning for flight in non-icing conditions.
(c) When the speed is reduced at rates not exceeding one knot per second, stall warning must begin, in each normal configuration, at a speed, V
(d) In addition to the requirement of paragraph (c) of this section, when the speed is reduced at rates not exceeding one knot per second, in straight flight with engines idling and at the center-of-gravity position specified in § 25.103(b)(5), V
(e) In icing conditions, the stall warning margin in straight and turning flight must be sufficient to allow the pilot to prevent stalling (as defined in § 25.201(d)) when the pilot starts a recovery maneuver not less than three seconds after the onset of stall warning. When demonstrating compliance with this paragraph, the pilot must perform the recovery maneuver in the same way as for the airplane in non-icing conditions. Compliance with this requirement must be demonstrated in flight with the speed reduced at rates not exceeding one knot per second, with—
(1) The most critical of the takeoff ice and final takeoff ice accretions defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), for each configuration used in the takeoff phase of flight;
(2) The most critical of the en route ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), for the en route configuration;
(3) The most critical of the holding ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), for the holding configuration(s);
(4) The most critical of the approach ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), for the approach configuration(s); and
(5) The most critical of the landing ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), for the landing and go-around configuration(s).
(f) The stall warning margin must be sufficient in both non-icing and icing conditions to allow the pilot to prevent stalling when the pilot starts a recovery maneuver not less than one second after the onset of stall warning in slow-down turns with at least 1.5 g load factor normal to the flight path and airspeed deceleration rates of at least 2 knots per second. When demonstrating compliance with this paragraph for icing conditions, the pilot must perform the recovery maneuver in the same way as for the airplane in non-icing conditions. Compliance with this requirement must be demonstrated in flight with—
(1) The flaps and landing gear in any normal position;
(2) The airplane trimmed for straight flight at a speed of 1.3 V
(3) The power or thrust necessary to maintain level flight at 1.3 V
(g) Stall warning must also be provided in each abnormal configuration of the high lift devices that is likely to be used in flight following system failures (including all configurations covered by Airplane Flight Manual procedures).
(h) The following stall warning margin is required for flight in icing conditions before the ice protection system has been activated and is performing its intended function. Compliance must be shown using the most critical of the ice accretion(s) defined in Appendix C, part II, paragraph (e) of this part and Appendix O, part II, paragraph (d) of this part, as applicable, in accordance with § 25.21(g). The stall warning margin in straight and turning flight must be sufficient to allow the pilot to prevent stalling without encountering any adverse flight characteristics when:
(1) The speed is reduced at rates not exceeding one knot per second;
(2) The pilot performs the recovery maneuver in the same way as for flight in non-icing conditions; and
(3) The recovery maneuver is started no earlier than:
(i) One second after the onset of stall warning if stall warning is provided by the same means as for flight in non-icing conditions; or
(ii) Three seconds after the onset of stall warning if stall warning is provided by a different means than for flight in non-icing conditions.
(i) In showing compliance with paragraph (h) of this section, if stall warning is provided by a different means in icing conditions than for non-icing conditions, compliance with § 25.203 must be shown using the accretion defined in appendix C, part II(e) of this part. Compliance with this requirement must be shown using the demonstration prescribed by § 25.201, except that the deceleration rates of § 25.201(c)(2) need not be demonstrated.
(a) Landplanes may have no uncontrollable tendency to nose over in any reasonably expected operating condition or when rebound occurs during landing or takeoff. In addition—
(1) Wheel brakes must operate smoothly and may not cause any undue tendency to nose over; and
(2) If a tail-wheel landing gear is used, it must be possible, during the takeoff ground run on concrete, to maintain any attitude up to thrust line level, at 75 percent of V
(b) For seaplanes and amphibians, the most adverse water conditions safe for takeoff, taxiing, and landing, must be established.
(a) There may be no uncontrollable ground-looping tendency in 90° cross winds, up to a wind velocity of 20 knots or 0.2 V
(b) Landplanes must be satisfactorily controllable, without exceptional piloting skill or alertness, in power-off landings at normal landing speed, without using brakes or engine power to maintain a straight path. This may be shown during power-off landings made in conjunction with other tests.
(c) The airplane must have adequate directional control during taxiing. This may be shown during taxiing prior to takeoffs made in conjunction with other tests.
The shock absorbing mechanism may not damage the structure of the airplane when the airplane is taxied on the roughest ground that may reasonably be expected in normal operation.
(a) For land planes and amphibians, the following applies:
(1) A 90-degree cross component of wind velocity, demonstrated to be safe for takeoff and landing, must be established for dry runways and must be at least 20 knots or 0.2 V
(2) The crosswind component for takeoff established without ice accretions is valid in icing conditions.
(3) The landing crosswind component must be established for:
(i) Non-icing conditions, and
(ii) Icing conditions with the most critical of the landing ice accretion(s) defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g).
(b) For seaplanes and amphibians, the following applies:
(1) A 90-degree cross component of wind velocity, up to which takeoff and landing is safe under all water conditions that may reasonably be expected in normal operation, must be established and must be at least 20 knots or 0.2 V
(2) A wind velocity, for which taxiing is safe in any direction under all water conditions that may reasonably be expected in normal operation, must be established and must be at least 20 knots or 0.2 V
(a) For seaplanes and amphibians, during takeoff, taxiing, and landing, and in the conditions set forth in paragraph (b) of this section, there may be no—
(1) Spray characteristics that would impair the pilot's view, cause damage, or result in the taking in of an undue quantity of water;
(2) Dangerously uncontrollable porpoising, bounding, or swinging tendency; or
(3) Immersion of auxiliary floats or sponsons, wing tips, propeller blades, or other parts not designed to withstand the resulting water loads.
(b) Compliance with the requirements of paragraph (a) of this section must be shown—
(1) In water conditions, from smooth to the most adverse condition established in accordance with § 25.231;
(2) In wind and cross-wind velocities, water currents, and associated waves and swells that may reasonably be expected in operation on water;
(3) At speeds that may reasonably be expected in operation on water;
(4) With sudden failure of the critical engine at any time while on water; and
(5) At each weight and center of gravity position, relevant to each operating condition, within the range of loading conditions for which certification is requested.
(c) In the water conditions of paragraph (b) of this section, and in the corresponding wind conditions, the seaplane or amphibian must be able to drift for five minutes with engines inoperative, aided, if necessary, by a sea anchor.
(a) The airplane must be demonstrated in flight to be free from any vibration and buffeting that would prevent continued safe flight in any likely operating condition.
(b) Each part of the airplane must be demonstrated in flight to be free from excessive vibration under any appropriate speed and power conditions up to V
(c) Except as provided in paragraph (d) of this section, there may be no buffeting condition, in normal flight, including configuration changes during cruise, severe enough to interfere with the control of the airplane, to cause excessive fatigue to the crew, or to cause structural damage. Stall warning buffeting within these limits is allowable.
(d) There may be no perceptible buffeting condition in the cruise configuration in straight flight at any speed up to V
(e) For an airplane with M
(a) Speed increase and recovery characteristics. The following speed increase and recovery characteristics must be met:
(1) Operating conditions and characteristics likely to cause inadvertent speed increases (including upsets in pitch and roll) must be simulated with the airplane trimmed at any likely cruise speed up to V
(2) Allowing for pilot reaction time after effective inherent or artificial speed warning occurs, it must be shown that the airplane can be recovered to a normal attitude and its speed reduced to V
(i) Exceptional piloting strength or skill;
(ii) Exceeding V
(iii) Buffeting that would impair the pilot's ability to read the instruments or control the airplane for recovery.
(3) With the airplane trimmed at any speed up to V
(4) Adequate roll capability to assure a prompt recovery from a lateral upset condition must be available at any speed up to V
(5) With the airplane trimmed at V
(i) An excessive positive load factor when the pilot does not take action to counteract the effects of extension;
(ii) Buffeting that would impair the pilot's ability to read the instruments or control the airplane for recovery; or
(iii) A nose down pitching moment, unless it is small.
(b) Maximum speed for stability characteristics, V
(c) Maximum speed for stability characteristics in icing conditions. The maximum speed for stability characteristics with the most critical of the ice accretions defined in Appendices C and O of this part, as applicable, in accordance with § 25.21(g), at which the requirements of §§ 25.143(g), 25.147(f), 25.175(b)(1), 25.177(a) through (c), and 25.181 must be met, is the lower of:
(1) 300 knots CAS;
(2) V
(3) A speed at which it is demonstrated that the airframe will be free of ice accretion due to the effects of increased dynamic pressure.
(a) From an initial condition with the airplane trimmed at cruise speeds up to V
(1) A three-second movement of the longitudinal trim system at its normal rate for the particular flight condition with no aerodynamic load (or an equivalent degree of trim for airplanes that do not have a power-operated trim system), except as limited by stops in the trim system, including those required by § 25.655(b) for adjustable stabilizers; or
(2) The maximum mistrim that can be sustained by the autopilot while maintaining level flight in the high speed cruising condition.
(b) In the out-of-trim condition specified in paragraph (a) of this section, when the normal acceleration is varied from + 1 g to the positive and negative values specified in paragraph (c) of this section—
(1) The stick force vs. g curve must have a positive slope at any speed up to and including V
(2) At speeds between V
(c) Except as provided in paragraphs (d) and (e) of this section, compliance with the provisions of paragraph (a) of this section must be demonstrated in flight over the acceleration range—
(1) −1 g to + 2.5 g; or
(2) 0 g to 2.0 g, and extrapolating by an acceptable method to −1 g and + 2.5 g.
(d) If the procedure set forth in paragraph (c)(2) of this section is used to demonstrate compliance and marginal conditions exist during flight test with regard to reversal of primary longitudinal control force, flight tests must be accomplished from the normal acceleration at which a marginal condition is found to exist to the applicable limit specified in paragraph (b)(1) of this section.
(e) During flight tests required by paragraph (a) of this section, the limit maneuvering load factors prescribed in §§ 25.333(b) and 25.337, and the maneuvering load factors associated with probable inadvertent excursions beyond the boundaries of the buffet onset envelopes determined under § 25.251(e), need not be exceeded. In addition, the entry speeds for flight test demonstrations at normal acceleration values less than 1 g must be limited to the extent necessary to accomplish a recovery without exceeding V
(f) In the out-of-trim condition specified in paragraph (a) of this section, it must be possible from an overspeed condition at V
(1) The maximum control forces expected in service as specified in §§ 25.301 and 25.397.
(2) The control force required to produce 1.5 g.
(3) The control force corresponding to buffeting or other phenomena of such intensity that it is a strong deterrent to further application of primary longitudinal control force.
(a) Strength requirements are specified in terms of limit loads (the maximum loads to be expected in service) and ultimate loads (limit loads multiplied by prescribed factors of safety). Unless otherwise provided, prescribed loads are limit loads.
(b) Unless otherwise provided, the specified air, ground, and water loads must be placed in equilibrium with inertia forces, considering each item of mass in the airplane. These loads must be distributed to conservatively approximate or closely represent actual conditions. Methods used to determine load intensities and distribution must be validated by flight load measurement unless the methods used for determining those loading conditions are shown to be reliable.
(c) If deflections under load would significantly change the distribution of external or internal loads, this redistribution must be taken into account.
For airplanes equipped with systems that affect structural performance, either directly or as a result of a failure or malfunction, the influence of these systems and their failure conditions must be taken into account when showing compliance with the requirements of subparts C and D of this part. These criteria are only applicable to structure whose failure could prevent continued safe flight and landing.
(a) General. The applicant must use the following criteria in determining the influence of a system and its failure conditions on the airplane structure.
(b) System fully operative. With the system fully operative, the following criteria apply:
(1) The applicant must derive limit loads for the limit conditions specified in subpart C of this part, taking into account the behavior of the system up to the limit loads. System nonlinearities must be taken into account.
(2) The applicant must show that the airplane meets the strength requirements of subparts C and D of this part, using the appropriate factor of safety to derive ultimate loads from the limit loads defined in paragraph (b)(1) of this section. The effect of nonlinearities must be investigated sufficiently beyond limit conditions to ensure the behavior of the system presents no detrimental effects compared to the behavior below limit conditions. However, conditions beyond limit conditions need not be considered when it can be shown that the airplane has design features that will not allow it to exceed those limit conditions.
(3) [Reserved]
(c) System in the failure condition. For any system failure condition not shown to be extremely improbable or that results from a single failure, the following criteria apply:
(1) At the time of occurrence. The applicant must establish a realistic scenario, starting from 1g level flight conditions, and including pilot corrective actions, to determine the loads occurring at the time of failure and immediately after failure.
(i) For static strength substantiation, the airplane must be able to withstand the ultimate loads determined by multiplying the loads in paragraph (c)(1) of this section by a factor of safety that is related to the probability of occurrence of the failure. The factor of safety (F.S.) is defined in Figure 1.
(ii) For residual strength substantiation, the airplane must be able to withstand two thirds of the ultimate loads defined in paragraph (c)(1)(i) of this section. For pressurized cabins, these loads must be combined with the normal operating differential pressure.
(iii) [Reserved]
(iv) Failures of the system that result in forced structural vibrations (oscillatory failures) must not produce loads that could result in detrimental deformation of primary structure.
(2) For the continuation of the flight. For the airplane, in the system failed state and considering any appropriate reconfiguration and flight limitations, the following apply:
(i) The loads derived from the following conditions at speeds up to V
(A) the limit symmetrical maneuvering conditions specified in §§ 25.331 and 25.345,
(B) the limit gust and turbulence conditions specified in §§ 25.341 and 25.345,
(C) the limit rolling conditions specified in § 25.349 and the limit unsymmetrical conditions specified in §§ 25.367 and 25.427(b) and (c),
(D) the limit yaw maneuvering conditions specified in § 25.351,
(E) the limit ground loading conditions specified in §§ 25.473 and 25.491, and
(F) any other subpart C of this part load condition for which a system is specifically installed or tailored to reduce the loads of that condition.
(ii) For static strength substantiation, each part of the structure must be able to withstand the loads in paragraph (c)(2)(i) of this section multiplied by a factor of safety that depends on the probability of being in this failure condition. The factor of safety is defined in Figure 2.
(iii) For residual strength substantiation, the airplane must be able to withstand two thirds of the ultimate loads defined in paragraph (c)(2)(ii) of this section. For pressurized cabins, these loads must be combined with the normal operating differential pressure.
(iv) If the loads induced by the failure condition have a significant effect on fatigue or damage tolerance then their effects must be taken into account.
(v)-(vi) [Reserved]
(3) [Reserved]
(d) Failure indications. For system failure detection and indication, the following apply:
(1) The system must be checked for failure conditions evaluated under paragraph (c) of this section that degrade the structural capability below the level required by subparts C (excluding § 25.302) and D of this part or that reduce the reliability of the remaining system. As far as practicable, these failures must be indicated to the flightcrew before flight.
(2) The existence of any failure condition evaluated under paragraph (c) of this section that results in a factor of safety between the airplane strength and the loads of subpart C of this part below 1.25 must be indicated to the flightcrew.
(e) Dispatch with known failure conditions. If the airplane is to be dispatched in a known system failure condition that affects structural performance or affects the reliability of the remaining system to maintain structural performance, then the Master Minimum Equipment List must ensure the provisions of § 25.302 are met for the dispatched condition and for any subsequent failures. Flight limitations and operational limitations may be taken into account in establishing Qj as the combined probability of being in the dispatched failure condition and the subsequent failure condition for the safety margins in Figure 2. No reduction in these safety margins is allowed if the subsequent system failure rate is greater than 10
Unless otherwise specified, a factor of safety of 1.5 must be applied to the prescribed limit load which are considered external loads on the structure. When a loading condition is prescribed in terms of ultimate loads, a factor of safety need not be applied unless otherwise specified.
(a) The structure must be able to support limit loads without detrimental permanent deformation. At any load up to limit loads, the deformation may not interfere with safe operation.
(b) The structure must be able to support ultimate loads without failure for at least 3 seconds. However, when proof of strength is shown by dynamic tests simulating actual load conditions, the 3-second limit does not apply. Static tests conducted to ultimate load must include the ultimate deflections and ultimate deformation induced by the loading. When analytical methods are used to show compliance with the ultimate load strength requirements, it must be shown that—
(1) The effects of deformation are not significant;
(2) The deformations involved are fully accounted for in the analysis; or
(3) The methods and assumptions used are sufficient to cover the effects of these deformations.
(c) Where structural flexibility is such that any rate of load application likely to occur in the operating conditions might produce transient stresses appreciably higher than those corresponding to static loads, the effects of this rate of application must be considered.
(d) [Reserved]
(e) The airplane must be designed to withstand any vibration and buffeting that might occur in any likely operating condition up to V
(f) Unless shown to be extremely improbable, the airplane must be designed to withstand any forced structural vibration resulting from any failure, malfunction or adverse condition in the flight control system. These must be considered limit loads and must be investigated at airspeeds up to V
(a) Compliance with the strength and deformation requirements of this subpart must be shown for each critical loading condition. Structural analysis may be used only if the structure conforms to that for which experience has shown this method to be reliable. In other cases, substantiating tests must be made to load levels that are sufficient to verify structural behavior up to loads specified in § 25.305.
(b)-(c) [Reserved]
(d) When static or dynamic tests are used to show compliance with the requirements of § 25.305(b) for flight structures, appropriate material correction factors must be applied to the test results, unless the structure, or part thereof, being tested has features such that a number of elements contribute to the total strength of the structure and the failure of one element results in the redistribution of the load through alternate load paths.
(a) Flight load factors represent the ratio of the aerodynamic force component (acting normal to the assumed longitudinal axis of the airplane) to the weight of the airplane. A positive load factor is one in which the aerodynamic force acts upward with respect to the airplane.
(b) Considering compressibility effects at each speed, compliance with the flight load requirements of this subpart must be shown—
(1) At each critical altitude within the range of altitudes selected by the applicant;
(2) At each weight from the design minimum weight to the design maximum weight appropriate to each particular flight load condition; and
(3) For each required altitude and weight, for any practicable distribution of disposable load within the operating limitations recorded in the Airplane Flight Manual.
(c) Enough points on and within the boundaries of the design envelope must be investigated to ensure that the maximum load for each part of the airplane structure is obtained.
(d) The significant forces acting on the airplane must be placed in equilibrium in a rational or conservative manner. The linear inertia forces must be considered in equilibrium with the thrust and all aerodynamic loads, while the angular (pitching) inertia forces must be considered in equilibrium with thrust and all aerodynamic moments, including moments due to loads on components such as tail surfaces and nacelles. Critical thrust values in the range from zero to maximum continuous thrust must be considered.
(a) Procedure. For the analysis of the maneuvering flight conditions specified in paragraphs (b) and (c) of this section, the following provisions apply:
(1) Where sudden displacement of a control is specified, the assumed rate of control surface displacement may not be less than the rate that could be applied by the pilot through the control system.
(2) In determining elevator angles and chordwise load distribution in the maneuvering conditions of paragraphs (b) and (c) of this section, the effect of corresponding pitching velocities must be taken into account. The in-trim and out-of-trim flight conditions specified in § 25.255 must be considered.
(b) Maneuvering balanced conditions. Assuming the airplane to be in equilibrium with zero pitching acceleration, the maneuvering conditions A through I on the maneuvering envelope in § 25.333(b) must be investigated.
(c) Maneuvering pitching conditions. The following conditions must be investigated:
(1) Maximum pitch control displacement at V
(2) Checked maneuver between V
(i) The airplane is assumed to be flying in steady level flight at any speed between V
(ii) For nose-up pitching maneuvers, the complete flight deck pitch control displacement history may be scaled down in amplitude to the extent necessary to ensure that the positive limit load factor prescribed in § 25.337 is not exceeded. For nose-down pitching maneuvers, the complete flight deck control displacement history may be scaled down in amplitude to the extent necessary to ensure that the normal acceleration at the center of gravity does not go below 0g.
(iii) In addition, for cases where the airplane response to the specified flight deck pitch control motion does not achieve the prescribed limit load factors, then the following flight deck pitch control motion must be used:
(iv) In cases where the flight deck pitch control motion may be affected by inputs from systems (for example, by a stick pusher that can operate at high load factor as well as at 1g), then the effects of those systems shall be taken into account.
(v) Airplane loads that occur beyond the following times need not be considered:
(A) For the nose-up pitching maneuver, the time at which the normal acceleration at the center of gravity goes below 0g;
(B) For the nose-down pitching maneuver, the time at which the normal acceleration at the center of gravity goes above the positive limit load factor prescribed in § 25.337;
(C) t
(a) General. The strength requirements must be met at each combination of airspeed and load factor on and within the boundaries of the representative maneuvering envelope (V-n diagram) of paragraph (b) of this section. This envelope must also be used in determining the airplane structural operating limitations as specified in § 25.1501.
(b) Maneuvering envelope.
The selected design airspeeds are equivalent airspeeds (EAS). Estimated values of V
(a) Design cruising speed, V
(1) The minimum value of V
(2) Except as provided in § 25.335(d)(2), V
(3) At altitudes where V
(b) Design dive speed, V
(1) From an initial condition of stabilized flight at V
(2) The minimum speed margin must be enough to provide for atmospheric variations (such as horizontal gusts, and penetration of jet streams and cold fronts) and for instrument errors and airframe production variations. These factors may be considered on a probability basis. The margin at altitude where M
(c) Design maneuvering speed V
(1) V
(i) n is the limit positive maneuvering load factor at V
(ii) V
(2) V
(3) V
(d) Design speed for maximum gust intensity, V
(1) V
(2) At altitudes where V
(i) V
(ii) V
(e) Design flap speeds, V
(1) The design flap speed for each flap position (established in accordance with § 25.697(a)) must be sufficiently greater than the operating speed recommended for the corresponding stage of flight (including balked landings) to allow for probable variations in control of airspeed and for transition from one flap position to another.
(2) If an automatic flap positioning or load limiting device is used, the speeds and corresponding flap positions programmed or allowed by the device may be used.
(3) V
(i) 1.6 V
(ii) 1.8 V
(iii) 1.8 V
(f) Design drag device speeds, V
(a) Except where limited by maximum (static) lift coefficients, the airplane is assumed to be subjected to symmetrical maneuvers resulting in the limit maneuvering load factors prescribed in this section. Pitching velocities appropriate to the corresponding pull-up and steady turn maneuvers must be taken into account.
(b) The positive limit maneuvering load factor n for any speed up to Vn may not be less than 2.1 + 24,000/ (W + 10,000) except that n may not be less than 2.5 and need not be greater than 3.8—where W is the design maximum takeoff weight.
(c) The negative limit maneuvering load factor—
(1) May not be less than −1.0 at speeds up to V
(2) Must vary linearly with speed from the value at V
(d) Maneuvering load factors lower than those specified in this section may be used if the airplane has design features that make it impossible to exceed these values in flight.
(a) Discrete Gust Design Criteria. The airplane is assumed to be subjected to symmetrical vertical and lateral gusts in level flight. Limit gust loads must be determined in accordance with the provisions:
(1) Loads on each part of the structure must be determined by dynamic analysis. The analysis must take into account unsteady aerodynamic characteristics and all significant structural degrees of freedom including rigid body motions.
(2) The shape of the gust must be:
(3) A sufficient number of gust gradient distances in the range 30 feet to 350 feet must be investigated to find the critical response for each load quantity.
(4) The design gust velocity must be:
(5) The following reference gust velocities apply:
(i) At airplane speeds between V
(ii) At the airplane design speed V
(6) The flight profile alleviation factor, F
(7) When a stability augmentation system is included in the analysis, the effect of any significant system nonlinearities should be accounted for when deriving limit loads from limit gust conditions.
(b) Continuous turbulence design criteria. The dynamic response of the airplane to vertical and lateral continuous turbulence must be taken into account. The dynamic analysis must take into account unsteady aerodynamic characteristics and all significant structural degrees of freedom including rigid body motions. The limit loads must be determined for all critical altitudes, weights, and weight distributions as specified in § 25.321(b), and all critical speeds within the ranges indicated in § 25.341(b)(3).
(1) Except as provided in paragraphs (b)(4) and (5) of this section, the following equation must be used:
(2) Values of
(3) The limit turbulence intensities, U
(i) At airplane speeds between V
(ii) At speed V
(iii) At speeds between V
(iv) At all speeds, both positive and negative incremental loads due to continuous turbulence must be considered.
(4) When an automatic system affecting the dynamic response of the airplane is included in the analysis, the effects of system non-linearities on loads at the limit load level must be taken into account in a realistic or conservative manner.
(5) If necessary for the assessment of loads on airplanes with significant non-linearities, it must be assumed that the turbulence field has a root-mean-square velocity equal to 40 percent of the U
(c) Supplementary gust conditions for wing-mounted engines. For airplanes equipped with wing-mounted engines, the engine mounts, pylons, and wing supporting structure must be designed for the maximum response at the nacelle center of gravity derived from the following dynamic gust conditions applied to the airplane:
(1) A discrete gust determined in accordance with § 25.341(a) at each angle normal to the flight path, and separately,
(2) A pair of discrete gusts, one vertical and one lateral. The length of each of these gusts must be independently tuned to the maximum response in accordance with § 25.341(a). The penetration of the airplane in the combined gust field and the phasing of the vertical and lateral component gusts must be established to develop the maximum response to the gust pair. In the absence of a more rational analysis, the following formula must be used for each of the maximum engine loads in all six degrees of freedom:
(a) The disposable load combinations must include each fuel and oil load in the range from zero fuel and oil to the selected maximum fuel and oil load. A structural reserve fuel condition, not exceeding 45 minutes of fuel under the operating conditions in § 25.1001(e) and (f), as applicable, may be selected.
(b) If a structural reserve fuel condition is selected, it must be used as the minimum fuel weight condition for showing compliance with the flight load requirements as prescribed in this subpart. In addition—
(1) The structure must be designed for a condition of zero fuel and oil in the wing at limit loads corresponding to—
(i) A maneuvering load factor of + 2.25; and
(ii) The gust and turbulence conditions of § 25.341(a) and (b), but assuming 85% of the gust velocities prescribed in § 25.341(a)(4) and 85% of the turbulence intensities prescribed in § 25.341(b)(3).
(2) Fatigue evaluation of the structure must account for any increase in operating stresses resulting from the design condition of paragraph (b)(1) of this section; and
(3) The flutter, deformation, and vibration requirements must also be met with zero fuel.
(a) If wing flaps are to be used during takeoff, approach, or landing, at the design flap speeds established for these stages of flight under § 25.335(e) and with the wing flaps in the corresponding positions, the airplane is assumed to be subjected to symmetrical maneuvers and gusts. The resulting limit loads must correspond to the conditions determined as follows:
(1) Maneuvering to a positive limit load factor of 2.0; and
(2) Positive and negative gusts of 25 ft/sec EAS acting normal to the flight path in level flight. Gust loads resulting on each part of the structure must be determined by rational analysis. The analysis must take into account the unsteady aerodynamic characteristics and rigid body motions of the aircraft. The shape of the gust must be as described in § 25.341(a)(2) except that—
(b) The airplane must be designed for the conditions prescribed in paragraph (a) of this section, except that the airplane load factor need not exceed 1.0, taking into account, as separate conditions, the effects of—
(1) Propeller slipstream corresponding to maximum continuous power at the design flap speeds V
(2) A head-on gust of 25 feet per second velocity (EAS).
(c) If flaps or other high lift devices are to be used in en route conditions, and with flaps in the appropriate position at speeds up to the flap design speed chosen for these conditions, the airplane is assumed to be subjected to symmetrical maneuvers and gusts within the range determined by—
(1) Maneuvering to a positive limit load factor as prescribed in § 25.337(b); and
(2) The vertical gust and turbulence conditions prescribed in § 25.341(a) and (b).
(d) The airplane must be designed for a maneuvering load factor of 1.5 g at the maximum take-off weight with the wing-flaps and similar high lift devices in the landing configurations.
The airplane must be designed for loads resulting from the rolling conditions specified in paragraphs (a) and (b) of this section. Unbalanced aerodynamic moments about the center of gravity must be reacted in a rational or conservative manner, considering the principal masses furnishing the reacting inertia forces.
(a) Maneuvering. The following conditions, speeds, and aileron deflections (except as the deflections may be limited by pilot effort) must be considered in combination with an airplane load factor of zero and of two-thirds of the positive maneuvering factor used in design. In determining the required aileron deflections, the torsional flexibility of the wing must be considered in accordance with § 25.301(b):
(1) Conditions corresponding to steady rolling velocities must be investigated. In addition, conditions corresponding to maximum angular acceleration must be investigated for airplanes with engines or other weight concentrations outboard of the fuselage. For the angular acceleration conditions, zero rolling velocity may be assumed in the absence of a rational time history investigation of the maneuver.
(2) At V
(3) At V
(4) At V
(b) Unsymmetrical gusts. The airplane is assumed to be subjected to unsymmetrical vertical gusts in level flight. The resulting limit loads must be determined from either the wing maximum airload derived directly from § 25.341(a), or the wing maximum airload derived indirectly from the vertical load factor calculated from § 25.341(a). It must be assumed that 100 percent of the wing air load acts on one side of the airplane and 80 percent of the wing air load acts on the other side.
The airplane must be designed for loads resulting from the yaw maneuver conditions specified in paragraphs (a) through (d) of this section at speeds from V
(a) With the airplane in unaccelerated flight at zero yaw, it is assumed that the cockpit rudder control is suddenly displaced to achieve the resulting rudder deflection, as limited by:
(1) The control system on control surface stops; or
(2) A limit pilot force of 300 pounds from V
(b) With the cockpit rudder control deflected so as always to maintain the maximum rudder deflection available within the limitations specified in paragraph (a) of this section, it is assumed that the airplane yaws to the overswing sideslip angle.
(c) With the airplane yawed to the static equilibrium sideslip angle, it is assumed that the cockpit rudder control is held so as to achieve the maximum rudder deflection available within the limitations specified in paragraph (a) of this section.
(d) With the airplane yawed to the static equilibrium sideslip angle of paragraph (c) of this section, it is assumed that the cockpit rudder control is suddenly returned to neutral.
Airplanes with a powered rudder control surface or surfaces must be designed for loads, considered to be ultimate, resulting from the yaw maneuver conditions specified in paragraphs (a) through (e) of this section at speeds from V
(a) With the airplane in unaccelerated flight at zero yaw, the flightdeck rudder control is suddenly and fully displaced to achieve the resulting rudder deflection, as limited by the control system or the control surface stops.
(b) With the airplane yawed to the overswing sideslip angle, the flightdeck rudder control is suddenly and fully displaced in the opposite direction, as limited by the control system or control surface stops.
(c) With the airplane yawed to the opposite overswing sideslip angle, the flightdeck rudder control is suddenly and fully displaced in the opposite direction, as limited by the control system or control surface stops.
(d) With the airplane yawed to the subsequent overswing sideslip angle, the flightdeck rudder control is suddenly and fully displaced in the opposite direction, as limited by the control system or control surface stops.
(e) With the airplane yawed to the opposite overswing sideslip angle, the flightdeck rudder control is suddenly returned to neutral.
(a) For engine installations—
(1) Each engine mount, pylon, and adjacent supporting airframe structures must be designed for the effects of—
(i) A limit engine torque corresponding to takeoff power/thrust and, if applicable, corresponding propeller speed, acting simultaneously with 75% of the limit loads from flight condition A of § 25.333(b);
(ii) A limit engine torque corresponding to the maximum continuous power/thrust and, if applicable, corresponding propeller speed, acting simultaneously with the limit loads from flight condition A of § 25.333(b); and
(iii) For turbopropeller installations only, in addition to the conditions specified in paragraphs (a)(1)(i) and (ii) of this section, a limit engine torque corresponding to takeoff power and propeller speed, multiplied by a factor accounting for propeller control system malfunction, including quick feathering, acting simultaneously with 1g level flight loads. In the absence of a rational analysis, a factor of 1.6 must be used.
(2) The limit engine torque to be considered under paragraph (a)(1) of this section must be obtained by—
(i) For turbopropeller installations, multiplying mean engine torque for the specified power/thrust and speed by a factor of 1.25;
(ii) For other turbine engines, the limit engine torque must be equal to the maximum accelerating torque for the case considered.
(3) The engine mounts, pylons, and adjacent supporting airframe structure must be designed to withstand 1g level flight loads acting simultaneously with the limit engine torque loads imposed by each of the following conditions to be considered separately:
(i) Sudden maximum engine deceleration due to malfunction or abnormal condition; and
(ii) The maximum acceleration of engine.
(b) For auxiliary power unit installations, the power unit mounts and adjacent supporting airframe structure must be designed to withstand 1g level flight loads acting simultaneously with the limit torque loads imposed by each of the following conditions to be considered separately:
(1) Sudden maximum auxiliary power unit deceleration due to malfunction, abnormal condition, or structural failure; and
(2) The maximum acceleration of the auxiliary power unit.
(a) For engine mounts, pylons, and adjacent supporting airframe structure, an ultimate loading condition must be considered that combines 1g flight loads with the most critical transient dynamic loads and vibrations, as determined by dynamic analysis, resulting from failure of a blade, shaft, bearing or bearing support, or bird strike event. Any permanent deformation from these ultimate load conditions must not prevent continued safe flight and landing.
(b) The ultimate loads developed from the conditions specified in paragraph (a) of this section are to be—
(1) Multiplied by a factor of 1.0 when applied to engine mounts and pylons; and
(2) Multiplied by a factor of 1.25 when applied to adjacent supporting airframe structure.
(a) Each engine and auxiliary power unit mount and its supporting structure must be designed for a limit load factor in lateral direction, for the side load on the engine and auxiliary power unit mount, at least equal to the maximum load factor obtained in the yawing conditions but not less than—
(1) 1.33; or
(2) One-third of the limit load factor for flight condition A as prescribed in § 25.333(b).
(b) The side load prescribed in paragraph (a) of this section may be assumed to be independent of other flight conditions.
For airplanes with one or more pressurized compartments the following apply:
(a) The airplane structure must be strong enough to withstand the flight loads combined with pressure differential loads from zero up to the maximum relief valve setting.
(b) The external pressure distribution in flight, and stress concentrations and fatigue effects must be accounted for.
(c) If landings may be made with the compartment pressurized, landing loads must be combined with pressure differential loads from zero up to the maximum allowed during landing.
(d) The airplane structure must be designed to be able to withstand the pressure differential loads corresponding to the maximum relief valve setting multiplied by a factor of 1.33 for airplanes to be approved for operation to 45,000 feet or by a factor of 1.67 for airplanes to be approved for operation above 45,000 feet, omitting other loads.
(e) Any structure, component or part, inside or outside a pressurized compartment, the failure of which could interfere with continued safe flight and landing, must be designed to withstand the effects of a sudden release of pressure through an opening in any compartment at any operating altitude resulting from each of the following conditions:
(1) The penetration of the compartment by a portion of an engine following an engine disintegration;
(2) Any opening in any pressurized compartment up to the size H
(3) The maximum opening caused by airplane or equipment failures not shown to be extremely improbable.
(f) In complying with paragraph (e) of this section, the fail-safe features of the design may be considered in determining the probability of failure or penetration and probable size of openings, provided that possible improper operation of closure devices and inadvertent door openings are also considered. Furthermore, the resulting differential pressure loads must be combined in a rational and conservative manner with 1-g level flight loads and any loads arising from emergency depressurization conditions. These loads may be considered as ultimate conditions; however, any deformations associated with these conditions must not interfere with continued safe flight and landing. The pressure relief provided by intercompartment venting may also be considered.
(g)(1) Except as provided in paragraph (g)(2) of this section, bulkheads, floors, and partitions in pressurized compartments for occupants must be designed to withstand the conditions specified in paragraph (e) of this section. In addition, reasonable design precautions must be taken to minimize the probability of parts becoming detached and injuring occupants while in their seats.
(2) Partitions adjacent to the opening specified in paragraph (e)(2) of this section need not be designed to withstand that condition provided—
(i) Failure of the partition would not interfere with continued safe flight and landing; and
(ii) Designing the partition to withstand the condition specified in paragraph (e)(2) of this section would be impractical.
(a) The airplane must be designed for the unsymmetrical loads resulting from the failure of the critical engine. Turbopropeller airplanes must be designed for the following conditions in combination with a single malfunction of the propeller drag limiting system, considering the probable pilot corrective action on the flight controls:
(1) At speeds between V
(2) At speeds between V
(3) The time history of the thrust decay and drag build-up occurring as a result of the prescribed engine failures must be substantiated by test or other data applicable to the particular engine-propeller combination.
(4) The timing and magnitude of the probable pilot corrective action must be conservatively estimated, considering the characteristics of the particular engine-propeller-airplane combination.
(b) Pilot corrective action may be assumed to be initiated at the time maximum yawing velocity is reached, but not earlier than two seconds after the engine failure. The magnitude of the corrective action may be based on the control forces specified in § 25.397(b) except that lower forces may be assumed where it is shown by anaylsis or test that these forces can control the yaw and roll resulting from the prescribed engine failure conditions.
The structure supporting any engine or auxiliary power unit must be designed for the loads, including gyroscopic loads, arising from the conditions specified in §§ 25.331, 25.341, 25.349, 25.351, 25.473, 25.479, and 25.481, with the engine or auxiliary power unit at the maximum rotating speed appropriate to the condition. For the purposes of compliance with this paragraph, the pitch maneuver in § 25.331(c)(1) must be carried out until the positive limit maneuvering load factor (point A
If speed control devices (such as spoilers and drag flaps) are installed for use in en route conditions—
(a) The airplane must be designed for the symmetrical maneuvers prescribed in §§ 25.333 and 25.337, the yawing maneuvers in § 25.351, and the vertical and lateral gust and turbulence conditions prescribed in § 25.341(a) and (b) at each setting and the maximum speed associated with that setting; and
(b) If the device has automatic operating or load limiting features, the airplane must be designed for the maneuver and gust conditions prescribed in paragraph (a) of this section, at the speeds and corresponding device positions that the mechanism allows.
The control surfaces must be designed for the limit loads resulting from the flight conditions in §§ 25.331, 25.341(a) and (b), 25.349, and 25.351, considering the requirements for—
(a) Loads parallel to hinge line, in § 25.393;
(b) Pilot effort effects, in § 25.397;
(c) Trim tab effects, in § 25.407;
(d) Unsymmetrical loads, in § 25.427; and
(e) Auxiliary aerodynamic surfaces, in § 25.445.
(a) Control surfaces and supporting hinge brackets must be designed for inertia loads acting parallel to the hinge line.
(b) In the absence of more rational data, the inertia loads may be assumed to be equal to KW, where—
(1) K = 24 for vertical surfaces;
(2) K = 12 for horizontal surfaces; and
(3) W = weight of the movable surfaces.
(a) Longitudinal, lateral, directional, and drag control system and their supporting structures must be designed for loads corresponding to 125 percent of the computed hinge moments of the movable control surface in the conditions prescribed in § 25.391.
(b) The system limit loads of paragraph (a) of this section need not exceed the loads that can be produced by the pilot (or pilots) and by automatic or power devices operating the controls.
(c) The loads must not be less than those resulting from application of the minimum forces prescribed in § 25.397(c).
(a) General. The maximum and minimum pilot forces, specified in paragraph (c) of this section, are assumed to act at the appropriate control grips or pads (in a manner simulating flight conditions) and to be reacted at the attachment of the control system to the control surface horn.
(b) Pilot effort effects. In the control surface flight loading condition, the air loads on movable surfaces and the corresponding deflections need not exceed those that would result in flight from the application of any pilot force within the ranges specified in paragraph (c) of this section. Two-thirds of the maximum values specified for the aileron and elevator may be used if control surface hinge moments are based on reliable data. In applying this criterion, the effects of servo mechanisms, tabs, and automatic pilot systems, must be considered.
(c) Limit pilot forces and torques. The limit pilot forces and torques are as follows:
| Control | Maximum forces or torques | Minimum forces or torques |
|---|---|---|
| Aileron: | ||
| Stick | 100 lbs | 40 lbs. |
| Wheel 1 | 80 D in.-lbs 2 | 40 D in.-lbs. |
| Elevator: | ||
| Stick | 250 lbs | 100 lbs. |
| Wheel (symmetrical) | 300 lbs | 100 lbs. |
| Wheel (unsymmetrical) 3 | 100 lbs. | |
| Rudder | 300 lbs | 130 lbs. |
1 The critical parts of the aileron control system must be designed for a single tangential force with a limit value equal to 1.25 times the couple force determined from these criteria.
2
3 The unsymmetrical forces must be applied at one of the normal handgrip points on the periphery of the control wheel.
(a) Each dual control system must be designed for the pilots operating in opposition, using individual pilot forces not less than—
(1) 0.75 times those obtained under § 25.395; or
(2) The minimum forces specified in § 25.397(c).
(b) The control system must be designed for pilot forces applied in the same direction, using individual pilot forces not less than 0.75 times those obtained under § 25.395.
Secondary controls, such as wheel brake, spoiler, and tab controls, must be designed for the maximum forces that a pilot is likely to apply to those controls. The following values may be used:
Pilot Control Force Limits (Secondary Controls)
| Control | Limit pilot forces |
|---|---|
| Miscellaneous: | |
| *Crank, wheel, or lever | ((1 + R) / 3) × 50 lbs., but not less than 50 lbs. nor more than 150 lbs. (R = radius). (Applicable to any angle within 20° of plane of control). |
| Twist | 133 in.-lbs. |
| Push-pull | To be chosen by applicant. |
*Limited to flap, tab, stabilizer, spoiler, and landing gear operation controls.
The effects of trim tabs on the control surface design conditions must be accounted for only where the surface loads are limited by maximum pilot effort. In these cases, the tabs are considered to be deflected in the direction that would assist the pilot, and the deflections are—
(a) For elevator trim tabs, those required to trim the airplane at any point within the positive portion of the pertinent flight envelope in § 25.333(b), except as limited by the stops; and
(b) For aileron and rudder trim tabs, those required to trim the airplane in the critical unsymmetrical power and loading conditions, with appropriate allowance for rigging tolerances.
(a) Trim tabs. Trim tabs must be designed to withstand loads arising from all likely combinations of tab setting, primary control position, and airplane speed (obtainable without exceeding the flight load conditions prescribed for the airplane as a whole), when the effect of the tab is opposed by pilot effort forces up to those specified in § 25.397(b).
(b) Balancing tabs. Balancing tabs must be designed for deflections consistent with the primary control surface loading conditions.
(c) Servo tabs. Servo tabs must be designed for deflections consistent with the primary control surface loading conditions obtainable within the pilot maneuvering effort, considering possible opposition from the trim tabs.
(a) The flight control systems and surfaces must be designed for the limit loads generated when the airplane is subjected to a horizontal 65-knot ground gust from any direction while taxiing and while parked. For airplanes equipped with control system gust locks, the taxiing condition must be evaluated with the controls locked and unlocked, and the parked condition must be evaluated with the controls locked.
(b) The control system and surface loads due to ground gust may be assumed to be static loads, and the hinge moments H must be computed from the formula:
(c) The hinge moment factor K for ground gusts must be taken from the following table:
| Surface | K | Position of
controls |
|---|---|---|
| (1) Aileron | 0.75 | Control column locked or lashed in mid-position. |
| (2) Aileron | * ±0.50 | Ailerons at full throw. |
| (3) Elevator | * ±0.75 | Elevator full down. |
| (4) Elevator | * ±0.75 | Elevator full up. |
| (5) Rudder | 0.75 | Rudder in neutral. |
| (6) Rudder | 0.75 | Rudder at full throw. |
* A positive value of K indicates a moment tending to depress the surface, while a negative value of K indicates a moment tending to raise the surface.
(d) The computed hinge moment of paragraph (b) of this section must be used to determine the limit loads due to ground gust conditions for the control surface. A 1.25 factor on the computed hinge moments must be used in calculating limit control system loads.
(e) Where control system flexibility is such that the rate of load application in the ground gust conditions might produce transient stresses appreciably higher than those corresponding to static loads, in the absence of a rational analysis substantiating a different dynamic factor, an additional factor of 1.6 must be applied to the control system loads of paragraph (d) of this section to obtain limit loads. If a rational analysis is used, the additional factor must not be less than 1.2.
(f) For the condition of the control locks engaged, the control surfaces, the control system locks, and the parts of any control systems between the surfaces and the locks must be designed to the resultant limit loads. Where control locks are not provided, then the control surfaces, the control system stops nearest the surfaces, and the parts of any control systems between the surfaces and the stops must be designed to the resultant limit loads. If the control system design is such as to allow any part of the control system to impact with the stops due to flexibility, then the resultant impact loads must be taken into account in deriving the limit loads due to ground gust.
(g) For the condition of taxiing with the control locks disengaged, or where control locks are not provided, the following apply:
(1) The control surfaces, the control system stops nearest the surfaces, and the parts of any control systems between the surfaces and the stops must be designed to the resultant limit loads.
(2) The parts of the control systems between the stops nearest the surfaces and the flight deck controls must be designed to the resultant limit loads, except that the parts of the control system where loads are eventually reacted by the pilot need not exceed:
(i) The loads corresponding to the maximum pilot loads in § 25.397(c) for each pilot alone; or
(ii) 0.75 times these maximum loads for each pilot when the pilot forces are applied in the same direction.
(a) In designing the airplane for lateral gust, yaw maneuver and roll maneuver conditions, account must be taken of unsymmetrical loads on the empennage arising from effects such as slipstream and aerodynamic interference with the wing, vertical fin and other aerodynamic surfaces.
(b) The horizontal tail must be assumed to be subjected to unsymmetrical loading conditions determined as follows:
(1) 100 percent of the maximum loading from the symmetrical maneuver conditions of § 25.331 and the vertical gust conditions of § 25.341(a) acting separately on the surface on one side of the plane of symmetry; and
(2) 80 percent of these loadings acting on the other side.
(c) For empennage arrangements where the horizontal tail surfaces have dihedral angles greater than plus or minus 10 degrees, or are supported by the vertical tail surfaces, the surfaces and the supporting structure must be designed for gust velocities specified in § 25.341(a) acting in any orientation at right angles to the flight path.
(d) Unsymmetrical loading on the empennage arising from buffet conditions of § 25.305(e) must be taken into account.
(a) When significant, the aerodynamic influence between auxiliary aerodynamic surfaces, such as outboard fins and winglets, and their supporting aerodynamic surfaces, must be taken into account for all loading conditions including pitch, roll, and yaw maneuvers, and gusts as specified in § 25.341(a) acting at any orientation at right angles to the flight path.
(b) To provide for unsymmetrical loading when outboard fins extend above and below the horizontal surface, the critical vertical surface loading (load per unit area) determined under § 25.391 must also be applied as follows:
(1) 100 percent to the area of the vertical surfaces above (or below) the horizontal surface.
(2) 80 percent to the area below (or above) the horizontal surface.
Wing flaps, their operating mechanisms, and their supporting structures must be designed for critical loads occurring in the conditions prescribed in § 25.345, accounting for the loads occurring during transition from one flap position and airspeed to another.
The loading for special devices using aerodynamic surfaces (such as slots, slats and spoilers) must be determined from test data.
(a) Loads and equilibrium. For limit ground loads—
(1) Limit ground loads obtained under this subpart are considered to be external forces applied to the airplane structure; and
(2) In each specified ground load condition, the external loads must be placed in equilibrium with the linear and angular inertia loads in a rational or conservative manner.
(b) Critical centers of gravity. The critical centers of gravity within the range for which certification is requested must be selected so that the maximum design loads are obtained in each landing gear element. Fore and aft, vertical, and lateral airplane centers of gravity must be considered. Lateral displacements of the c.g. from the airplane centerline which would result in main gear loads not greater than 103 percent of the critical design load for symmetrical loading conditions may be selected without considering the effects of these lateral c.g. displacements on the loading of the main gear elements, or on the airplane structure provided—
(1) The lateral displacement of the c.g. results from random passenger or cargo disposition within the fuselage or from random unsymmetrical fuel loading or fuel usage; and
(2) Appropriate loading instructions for random disposable loads are included under the provisions of § 25.1583(c)(2) to ensure that the lateral displacement of the center of gravity is maintained within these limits.
(c) Landing gear dimension data. Figure 1 of appendix A contains the basic landing gear dimension data.
(a) For the landing conditions specified in § 25.479 to § 25.485 the airplane is assumed to contact the ground—
(1) In the attitudes defined in § 25.479 and § 25.481;
(2) With a limit descent velocity of 10 fps at the design landing weight (the maximum weight for landing conditions at maximum descent velocity); and
(3) With a limit descent velocity of 6 fps at the design take-off weight (the maximum weight for landing conditions at a reduced descent velocity).
(4) The prescribed descent velocities may be modified if it is shown that the airplane has design features that make it impossible to develop these velocities.
(b) Airplane lift, not exceeding airplane weight, may be assumed unless the presence of systems or procedures significantly affects the lift.
(c) The method of analysis of airplane and landing gear loads must take into account at least the following elements:
(1) Landing gear dynamic characteristics.
(2) Spin-up and springback.
(3) Rigid body response.
(4) Structural dynamic response of the airframe, if significant.
(d) The landing gear dynamic characteristics must be validated by tests as defined in § 25.723(a).
(e) The coefficient of friction between the tires and the ground may be established by considering the effects of skidding velocity and tire pressure. However, this coefficient of friction need not be more than 0.8.
Sections 25.479 through 25.485 apply to airplanes with conventional arrangements of main and nose gears, or main and tail gears, when normal operating techniques are used.
(a) In the level attitude, the airplane is assumed to contact the ground at forward velocity components, ranging from V
(1) V
(2) V
(3) The effects of increased contact speed must be investigated if approval of downwind landings exceeding 10 knots is requested.
(b) For the level landing attitude for airplanes with tail wheels, the conditions specified in this section must be investigated with the airplane horizontal reference line horizontal in accordance with Figure 2 of Appendix A of this part.
(c) For the level landing attitude for airplanes with nose wheels, shown in Figure 2 of Appendix A of this part, the conditions specified in this section must be investigated assuming the following attitudes:
(1) An attitude in which the main wheels are assumed to contact the ground with the nose wheel just clear of the ground; and
(2) If reasonably attainable at the specified descent and forward velocities, an attitude in which the nose and main wheels are assumed to contact the ground simultaneously.
(d) In addition to the loading conditions prescribed in paragraph (a) of this section, but with maximum vertical ground reactions calculated from paragraph (a), the following apply:
(1) The landing gear and directly affected attaching structure must be designed for the maximum vertical ground reaction combined with an aft acting drag component of not less than 25% of this maximum vertical ground reaction.
(2) The most severe combination of loads that are likely to arise during a lateral drift landing must be taken into account. In absence of a more rational analysis of this condition, the following must be investigated:
(i) A vertical load equal to 75% of the maximum ground reaction of § 25.473 must be considered in combination with a drag and side load of 40% and 25% respectively of that vertical load.
(ii) The shock absorber and tire deflections must be assumed to be 75% of the deflection corresponding to the maximum ground reaction of § 25.473(a)(2). This load case need not be considered in combination with flat tires.
(3) The combination of vertical and drag components is considered to be acting at the wheel axle centerline.
(a) In the tail-down attitude, the airplane is assumed to contact the ground at forward velocity components, ranging from V
(1) V
(2) V
(3) The combination of vertical and drag components considered to be acting at the main wheel axle centerline.
(b) For the tail-down landing condition for airplanes with tail wheels, the main and tail wheels are assumed to contact the ground simultaneously, in accordance with figure 3 of appendix A. Ground reaction conditions on the tail wheel are assumed to act—
(1) Vertically; and
(2) Up and aft through the axle at 45 degrees to the ground line.
(c) For the tail-down landing condition for airplanes with nose wheels, the airplane is assumed to be at an attitude corresponding to either the stalling angle or the maximum angle allowing clearance with the ground by each part of the airplane other than the main wheels, in accordance with figure 3 of appendix A, whichever is less.
For the one-gear landing conditions, the airplane is assumed to be in the level attitude and to contact the ground on one main landing gear, in accordance with Figure 4 of Appendix A of this part. In this attitude—
(a) The ground reactions must be the same as those obtained on that side under § 25.479(d)(1), and
(b) Each unbalanced external load must be reacted by airplane inertia in a rational or conservative manner.
In addition to § 25.479(d)(2) the following conditions must be considered:
(a) For the side load condition, the airplane is assumed to be in the level attitude with only the main wheels contacting the ground, in accordance with figure 5 of appendix A.
(b) Side loads of 0.8 of the vertical reaction (on one side) acting inward and 0.6 of the vertical reaction (on the other side) acting outward must be combined with one-half of the maximum vertical ground reactions obtained in the level landing conditions. These loads are assumed to be applied at the ground contact point and to be resisted by the inertia of the airplane. The drag loads may be assumed to be zero.
(a) The landing gear and its supporting structure must be investigated for the loads occurring during rebound of the airplane from the landing surface.
(b) With the landing gear fully extended and not in contact with the ground, a load factor of 20.0 must act on the unsprung weights of the landing gear. This load factor must act in the direction of motion of the unsprung weights as they reach their limiting positions in extending with relation to the sprung parts of the landing gear.
Unless otherwise prescribed, the landing gear and airplane structure must be investigated for the conditions in §§ 25.491 through 25.509 with the airplane at the design ramp weight (the maximum weight for ground handling conditions). No wing lift may be considered. The shock absorbers and tires may be assumed to be in their static position.
Within the range of appropriate ground speeds and approved weights, the airplane structure and landing gear are assumed to be subjected to loads not less than those obtained when the aircraft is operating over the roughest ground that may reasonably be expected in normal operation.
(a) An airplane with a tail wheel is assumed to be in the level attitude with the load on the main wheels, in accordance with figure 6 of appendix A. The limit vertical load factor is 1.2 at the design landing weight and 1.0 at the design ramp weight. A drag reaction equal to the vertical reaction multiplied by a coefficient of friction of 0.8, must be combined with the vertical ground reaction and applied at the ground contact point.
(b) For an airplane with a nose wheel the limit vertical load factor is 1.2 at the design landing weight, and 1.0 at the design ramp weight. A drag reaction equal to the vertical reaction, multiplied by a coefficient of friction of 0.8, must be combined with the vertical reaction and applied at the ground contact point of each wheel with brakes. The following two attitudes, in accordance with figure 6 of appendix A, must be considered:
(1) The level attitude with the wheels contacting the ground and the loads distributed between the main and nose gear. Zero pitching acceleration is assumed.
(2) The level attitude with only the main gear contacting the ground and with the pitching moment resisted by angular acceleration.
(c) A drag reaction lower than that prescribed in this section may be used if it is substantiated that an effective drag force of 0.8 times the vertical reaction cannot be attained under any likely loading condition.
(d) An airplane equipped with a nose gear must be designed to withstand the loads arising from the dynamic pitching motion of the airplane due to sudden application of maximum braking force. The airplane is considered to be at design takeoff weight with the nose and main gears in contact with the ground, and with a steady-state vertical load factor of 1.0. The steady-state nose gear reaction must be combined with the maximum incremental nose gear vertical reaction caused by the sudden application of maximum braking force as described in paragraphs (b) and (c) of this section.
(e) In the absence of a more rational analysis, the nose gear vertical reaction prescribed in paragraph (d) of this section must be calculated according to the following formula:
In the static position, in accordance with figure 7 of appendix A, the airplane is assumed to execute a steady turn by nose gear steering, or by application of sufficient differential power, so that the limit load factors applied at the center of gravity are 1.0 vertically and 0.5 laterally. The side ground reaction of each wheel must be 0.5 of the vertical reaction.
(a) A vertical ground reaction equal to the static load on the tail wheel, in combination with a side component of equal magnitude, is assumed.
(b) If there is a swivel, the tail wheel is assumed to be swiveled 90° to the airplane longitudinal axis with the resultant load passing through the axle.
(c) If there is a lock, steering device, or shimmy damper the tail wheel is also assumed to be in the trailing position with the side load acting at the ground contact point.
(a) A vertical load factor of 1.0 at the airplane center of gravity, and a side component at the nose wheel ground contact equal to 0.8 of the vertical ground reaction at that point are assumed.
(b) With the airplane assumed to be in static equilibrium with the loads resulting from the use of brakes on one side of the main landing gear, the nose gear, its attaching structure, and the fuselage structure forward of the center of gravity must be designed for the following loads:
(1) A vertical load factor at the center of gravity of 1.0.
(2) A forward acting load at the airplane center of gravity of 0.8 times the vertical load on one main gear.
(3) Side and vertical loads at the ground contact point on the nose gear that are required for static equilibrium.
(4) A side load factor at the airplane center of gravity of zero.
(c) If the loads prescribed in paragraph (b) of this section result in a nose gear side load higher than 0.8 times the vertical nose gear load, the design nose gear side load may be limited to 0.8 times the vertical load, with unbalanced yawing moments assumed to be resisted by airplane inertia forces.
(d) For other than the nose gear, its attaching structure, and the forward fuselage structure, the loading conditions are those prescribed in paragraph (b) of this section, except that—
(1) A lower drag reaction may be used if an effective drag force of 0.8 times the vertical reaction cannot be reached under any likely loading condition; and
(2) The forward acting load at the center of gravity need not exceed the maximum drag reaction on one main gear, determined in accordance with § 25.493(b).
(e) With the airplane at design ramp weight, and the nose gear in any steerable position, the combined application of full normal steering torque and vertical force equal to 1.33 times the maximum static reaction on the nose gear must be considered in designing the nose gear, its attaching structure, and the forward fuselage structure.
(a) The airplane is assumed to pivot about one side of the main gear with the brakes on that side locked. The limit vertical load factor must be 1.0 and the coefficient of friction 0.8.
(b) The airplane is assumed to be in static equilibrium, with the loads being applied at the ground contact points, in accordance with figure 8 of appendix A.
(a) The airplane must be in a three point static ground attitude. Horizontal reactions parallel to the ground and directed forward must be applied at the ground contact point of each wheel with brakes. The limit loads must be equal to 0.55 times the vertical load at each wheel or to the load developed by 1.2 times the nominal maximum static brake torque, whichever is less.
(b) For airplanes with nose wheels, the pitching moment must be balanced by rotational inertia.
(c) For airplanes with tail wheels, the resultant of the ground reactions must pass through the center of gravity of the airplane.
(a) The towing loads specified in paragraph (d) of this section must be considered separately. These loads must be applied at the towing fittings and must act parallel to the ground. In addition—
(1) A vertical load factor equal to 1.0 must be considered acting at the center of gravity;
(2) The shock struts and tires must be in their static positions; and
(3) With W
(i) 0.3 W
(ii) (6W
(iii) 0.15 W
(b) For towing points not on the landing gear but near the plane of symmetry of the airplane, the drag and side tow load components specified for the auxiliary gear apply. For towing points located outboard of the main gear, the drag and side tow load components specified for the main gear apply. Where the specified angle of swivel cannot be reached, the maximum obtainable angle must be used.
(c) The towing loads specified in paragraph (d) of this section must be reacted as follows:
(1) The side component of the towing load at the main gear must be reacted by a side force at the static ground line of the wheel to which the load is applied.
(2) The towing loads at the auxiliary gear and the drag components of the towing loads at the main gear must be reacted as follows:
(i) A reaction with a maximum value equal to the vertical reaction must be applied at the axle of the wheel to which the load is applied. Enough airplane inertia to achieve equilibrium must be applied.
(ii) The loads must be reacted by airplane inertia.
(d) The prescribed towing loads are as follows:
| Tow point | Position | Load | ||
|---|---|---|---|---|
| Magnitude | No. | Direction | ||
| Main gear | 0.75 | 1
2 3 4 | Forward, parallel to drag axis.
Forward, at 30° to drag axis. Aft, parallel to drag axis. Aft, at 30° to drag axis. | |
| Auxiliary gear | Swiveled forward | 1.0 | 5
6 | Forward.
Aft. |
| Swiveled aft | ......do | 7
8 | Forward.
Aft. | |
| Swiveled 45° from forward | 0.5 | 9
10 | Forward, in plane of wheel.
Aft, in plane of wheel. | |
| Swiveled 45° from aft | ......do | 11
12 | Forward, in plane of wheel.
Aft, in plane of wheel. | |
(a) General. Multiple-wheel landing gear units are assumed to be subjected to the limit ground loads prescribed in this subpart under paragraphs (b) through (f) of this section. In addition—
(1) A tandem strut gear arrangement is a multiple-wheel unit; and
(2) In determining the total load on a gear unit with respect to the provisions of paragraphs (b) through (f) of this section, the transverse shift in the load centroid, due to unsymmetrical load distribution on the wheels, may be neglected.
(b) Distribution of limit loads to wheels; tires inflated. The distribution of the limit loads among the wheels of the landing gear must be established for each landing, taxiing, and ground handling condition, taking into account the effects of the following factors:
(1) The number of wheels and their physical arrangements. For truck type landing gear units, the effects of any seesaw motion of the truck during the landing impact must be considered in determining the maximum design loads for the fore and aft wheel pairs.
(2) Any differentials in tire diameters resulting from a combination of manufacturing tolerances, tire growth, and tire wear. A maximum tire-diameter differential equal to
(3) Any unequal tire inflation pressure, assuming the maximum variation to be ±5 percent of the nominal tire inflation pressure.
(4) A runway crown of zero and a runway crown having a convex upward shape that may be approximated by a slope of 1
(5) The airplane attitude.
(6) Any structural deflections.
(c) Deflated tires. The effect of deflated tires on the structure must be considered with respect to the loading conditions specified in paragraphs (d) through (f) of this section, taking into account the physical arrangement of the gear components. In addition—
(1) The deflation of any one tire for each multiple wheel landing gear unit, and the deflation of any two critical tires for each landing gear unit using four or more wheels per unit, must be considered; and
(2) The ground reactions must be applied to the wheels with inflated tires except that, for multiple-wheel gear units with more than one shock strut, a rational distribution of the ground reactions between the deflated and inflated tires, accounting for the differences in shock strut extensions resulting from a deflated tire, may be used.
(d) Landing conditions. For one and for two deflated tires, the applied load to each gear unit is assumed to be 60 percent and 50 percent, respectively, of the limit load applied to each gear for each of the prescribed landing conditions. However, for the drift landing condition of § 25.485, 100 percent of the vertical load must be applied.
(e) Taxiing and ground handling conditions. For one and for two deflated tires—
(1) The applied side or drag load factor, or both factors, at the center of gravity must be the most critical value up to 50 percent and 40 percent, respectively, of the limit side or drag load factors, or both factors, corresponding to the most severe condition resulting from consideration of the prescribed taxiing and ground handling conditions;
(2) For the braked roll conditions of § 25.493 (a) and (b)(2), the drag loads on each inflated tire may not be less than those at each tire for the symmetrical load distribution with no deflated tires;
(3) The vertical load factor at the center of gravity must be 60 percent and 50 percent, respectively, of the factor with no deflated tires, except that it may not be less than 1g; and
(4) Pivoting need not be considered.
(f) Towing conditions. For one and for two deflated tires, the towing load, F
(a) General. The airplane must be designed to withstand the limit load conditions resulting from the static ground load conditions of paragraph (b) of this section and, if applicable, paragraph (c) of this section at the most critical combinations of airplane weight and center of gravity. The maximum allowable load at each jack pad must be specified.
(b) Jacking. The airplane must have provisions for jacking and must withstand the following limit loads when the airplane is supported on jacks—
(1) For jacking by the landing gear at the maximum ramp weight of the airplane, the airplane structure must be designed for a vertical load of 1.33 times the vertical static reaction at each jacking point acting singly and in combination with a horizontal load of 0.33 times the vertical static reaction applied in any direction.
(2) For jacking by other airplane structure at maximum approved jacking weight:
(i) The airplane structure must be designed for a vertical load of 1.33 times the vertical reaction at each jacking point acting singly and in combination with a horizontal load of 0.33 times the vertical static reaction applied in any direction.
(ii) The jacking pads and local structure must be designed for a vertical load of 2.0 times the vertical static reaction at each jacking point, acting singly and in combination with a horizontal load of 0.33 times the vertical static reaction applied in any direction.
(c) Tie-down. If tie-down points are provided, the main tie-down points and local structure must withstand the limit loads resulting from a 65-knot horizontal wind from any direction.
(a) Seaplanes must be designed for the water loads developed during takeoff and landing, with the seaplane in any attitude likely to occur in normal operation, and at the appropriate forward and sinking velocities under the most severe sea conditions likely to be encountered.
(b) Unless a more rational analysis of the water loads is made, or the standards in ANC-3 are used, §§ 25.523 through 25.537 apply.
(c) The requirements of this section and §§ 25.523 through 25.537 apply also to amphibians.
(a) Design weights. The water load requirements must be met at each operating weight up to the design landing weight except that, for the takeoff condition prescribed in § 25.531, the design water takeoff weight (the maximum weight for water taxi and takeoff run) must be used.
(b) Center of gravity positions. The critical centers of gravity within the limits for which certification is requested must be considered to reach maximum design loads for each part of the seaplane structure.
(a) Unless otherwise prescribed, the seaplane as a whole is assumed to be subjected to the loads corresponding to the load factors specified in § 25.527.
(b) In applying the loads resulting from the load factors prescribed in § 25.527, the loads may be distributed over the hull or main float bottom (in order to avoid excessive local shear loads and bending moments at the location of water load application) using pressures not less than those prescribed in § 25.533(c).
(c) For twin float seaplanes, each float must be treated as an equivalent hull on a fictitious seaplane with a weight equal to one-half the weight of the twin float seaplane.
(d) Except in the takeoff condition of § 25.531, the aerodynamic lift on the seaplane during the impact is assumed to be
(a) Water reaction load factors n
(1) For the step landing case
(2) For the bow and stern landing cases
(b) The following values are used:
(1) n
(2) C
(3) V
(4) β = angle of dead rise at the longitudinal station at which the load factor is being determined in accordance with figure 1 of appendix B.
(5) W= seaplane design landing weight in pounds.
(6) K
(7) r
(c) For a twin float seaplane, because of the effect of flexibility of the attachment of the floats to the seaplane, the factor K
(a) Symmetrical step, bow, and stern landing. For symmetrical step, bow, and stern landings, the limit water reaction load factors are those computed under § 25.527. In addition—
(1) For symmetrical step landings, the resultant water load must be applied at the keel, through the center of gravity, and must be directed perpendicularly to the keel line;
(2) For symmetrical bow landings, the resultant water load must be applied at the keel, one-fifth of the longitudinal distance from the bow to the step, and must be directed perpendicularly to the keel line; and
(3) For symmetrical stern landings, the resultant water load must be applied at the keel, at a point 85 percent of the longitudinal distance from the step to the stern post, and must be directed perpendicularly to the keel line.
(b) Unsymmetrical landing for hull and single float seaplanes. Unsymmetrical step, bow, and stern landing conditions must be investigated. In addition—
(1) The loading for each condition consists of an upward component and a side component equal, respectively, to 0.75 and 0.25 tan β times the resultant load in the corresponding symmetrical landing condition; and
(2) The point of application and direction of the upward component of the load is the same as that in the symmetrical condition, and the point of application of the side component is at the same longitudinal station as the upward component but is directed inward perpendicularly to the plane of symmetry at a point midway between the keel and chine lines.
(c) Unsymmetrical landing; twin float seaplanes. The unsymmetrical loading consists of an upward load at the step of each float of 0.75 and a side load of 0.25 tan β at one float times the step landing load reached under § 25.527. The side load is directed inboard, perpendicularly to the plane of symmetry midway between the keel and chine lines of the float, at the same longitudinal station as the upward load.
For the wing and its attachment to the hull or main float—
(a) The aerodynamic wing lift is assumed to be zero; and
(b) A downward inertia load, corresponding to a load factor computed from the following formula, must be applied:
(a) General. The hull and main float structure, including frames and bulkheads, stringers, and bottom plating, must be designed under this section.
(b) Local pressures. For the design of the bottom plating and stringers and their attachments to the supporting structure, the following pressure distributions must be applied:
(1) For an unflared bottom, the pressure at the chine is 0.75 times the pressure at the keel, and the pressures between the keel and chine vary linearly, in accordance with figure 3 of appendix B. The pressure at the keel (psi) is computed as follows:
(2) For a flared bottom, the pressure at the beginning of the flare is the same as that for an unflared bottom, and the pressure between the chine and the beginning of the flare varies linearly, in accordance with figure 3 of appendix B. The pressure distribution is the same as that prescribed in paragraph (b)(1) of this section for an unflared bottom except that the pressure at the chine is computed as follows:
(c) Distributed pressures. For the design of the frames, keel, and chine structure, the following pressure distributions apply:
(1) Symmetrical pressures are computed as follows:
(2) The unsymmetrical pressure distribution consists of the pressures prescribed in paragraph (c)(1) of this section on one side of the hull or main float centerline and one-half of that pressure on the other side of the hull or main float centerline, in accordance with figure 3 of appendix B.
(a) General. Auxiliary floats and their attachments and supporting structures must be designed for the conditions prescribed in this section. In the cases specified in paragraphs (b) through (e) of this section, the prescribed water loads may be distributed over the float bottom to avoid excessive local loads, using bottom pressures not less than those prescribed in paragraph (g) of this section.
(b) Step loading. The resultant water load must be applied in the plane of symmetry of the float at a point three-fourths of the distance from the bow to the step and must be perpendicular to the keel. The resultant limit load is computed as follows, except that the value of L need not exceed three times the weight of the displaced water when the float is completely submerged:
(c) Bow loading. The resultant limit load must be applied in the plane of symmetry of the float at a point one-fourth of the distance from the bow to the step and must be perpendicular to the tangent to the keel line at that point. The magnitude of the resultant load is that specified in paragraph (b) of this section.
(d) Unsymmetrical step loading. The resultant water load consists of a component equal to 0.75 times the load specified in paragraph (a) of this section and a side component equal to 0.25 tan β times the load specified in paragraph (b) of this section. The side load must be applied perpendicularly to the plane of symmetry of the float at a point midway between the keel and the chine.
(e) Unsymmetrical bow loading. The resultant water load consists of a component equal to 0.75 times the load specified in paragraph (b) of this section and a side component equal to 0.25 tan β times the load specified in paragraph (c) of this section. The side load must be applied perpendicularly to the plane of symmetry at a point midway between the keel and the chine.
(f) Immersed float condition. The resultant load must be applied at the centroid of the cross section of the float at a point one-third of the distance from the bow to the step. The limit load components are as follows:
(g) Float bottom pressures. The float bottom pressures must be established under § 25.533, except that the value of K
Seawing design loads must be based on applicable test data.
(a) The airplane, although it may be damaged in emergency landing conditions on land or water, must be designed as prescribed in this section to protect each occupant under those conditions.
(b) The structure must be designed to give each occupant every reasonable chance of escaping serious injury in a minor crash landing when—
(1) Proper use is made of seats, belts, and all other safety design provisions;
(2) The wheels are retracted (where applicable); and
(3) The occupant experiences the following ultimate inertia forces acting separately relative to the surrounding structure:
(i) Upward, 3.0g
(ii) Forward, 9.0g
(iii) Sideward, 3.0g on the airframe; and 4.0g on the seats and their attachments.
(iv) Downward, 6.0g
(v) Rearward, 1.5g
(c) For equipment, cargo in the passenger compartments and any other large masses, the following apply:
(1) Except as provided in paragraph (c)(2) of this section, these items must be positioned so that if they break loose they will be unlikely to:
(i) Cause direct injury to occupants;
(ii) Penetrate fuel tanks or lines or cause fire or explosion hazard by damage to adjacent systems; or
(iii) Nullify any of the escape facilities provided for use after an emergency landing.
(2) When such positioning is not practical (e.g. fuselage mounted engines or auxiliary power units) each such item of mass shall be restrained under all loads up to those specified in paragraph (b)(3) of this section. The local attachments for these items should be designed to withstand 1.33 times the specified loads if these items are subject to severe wear and tear through frequent removal (e.g. quick change interior items).
(d) Seats and items of mass (and their supporting structure) must not deform under any loads up to those specified in paragraph (b)(3) of this section in any manner that would impede subsequent rapid evacuation of occupants.
(a) The seat and restraint system in the airplane must be designed as prescribed in this section to protect each occupant during an emergency landing condition when—
(1) Proper use is made of seats, safety belts, and shoulder harnesses provided for in the design; and
(2) The occupant is exposed to loads resulting from the conditions prescribed in this section.
(b) Each seat type design approved for crew or passenger occupancy during takeoff and landing must successfully complete dynamic tests or be demonstrated by rational analysis based on dynamic tests of a similar type seat, in accordance with each of the following emergency landing conditions. The tests must be conducted with an occupant simulated by a 170-pound anthropomorphic test dummy, as defined by 49 CFR Part 572, Subpart B, or its equivalent, sitting in the normal upright position.
(1) A change in downward vertical velocity (Δ v) of not less than 35 feet per second, with the airplane's longitudinal axis canted downward 30 degrees with respect to the horizontal plane and with the wings level. Peak floor deceleration must occur in not more than 0.08 seconds after impact and must reach a minimum of 14g.
(2) A change in forward longitudinal velocity (Δ v) of not less than 44 feet per second, with the airplane's longitudinal axis horizontal and yawed 10 degrees either right or left, whichever would cause the greatest likelihood of the upper torso restraint system (where installed) moving off the occupant's shoulder, and with the wings level. Peak floor deceleration must occur in not more than 0.09 seconds after impact and must reach a minimum of 16g. Where floor rails or floor fittings are used to attach the seating devices to the test fixture, the rails or fittings must be misaligned with respect to the adjacent set of rails or fittings by at least 10 degrees vertically (i.e., out of Parallel) with one rolled 10 degrees.
(c) The following performance measures must not be exceeded during the dynamic tests conducted in accordance with paragraph (b) of this section:
(1) Where upper torso straps are used for crewmembers, tension loads in individual straps must not exceed 1,750 pounds. If dual straps are used for restraining the upper torso, the total strap tension loads must not exceed 2,000 pounds.
(2) The maximum compressive load measured between the pelvis and the lumbar column of the anthropomorphic dummy must not exceed 1,500 pounds.
(3) The upper torso restraint straps (where installed) must remain on the occupant's shoulder during the impact.
(4) The lap safety belt must remain on the occupant's pelvis during the impact.
(5) Each occupant must be protected from serious head injury under the conditions prescribed in paragraph (b) of this section. Where head contact with seats or other structure can occur, protection must be provided so that the head impact does not exceed a Head Injury Criterion (HIC) of 1,000 units. The level of HIC is defined by the equation:
(6) Where leg injuries may result from contact with seats or other structure, protection must be provided to prevent axially compressive loads exceeding 2,250 pounds in each femur.
(7) The seat must remain attached at all points of attachment, although the structure may have yielded.
(8) Seats must not yield under the tests specified in paragraphs (b)(1) and (b)(2) of this section to the extent they would impede rapid evacuation of the airplane occupants.
Structural strength considerations of ditching provisions must be in accordance with § 25.801(e).
(a) General. An evaluation of the strength, detail design, and fabrication must show that catastrophic failure due to fatigue, corrosion, manufacturing defects, or accidental damage, will be avoided throughout the operational life of the airplane. This evaluation must be conducted in accordance with the provisions of paragraphs (b) and (e) of this section, except as specified in paragraph (c) of this section, for each part of the structure that could contribute to a catastrophic failure (such as wing, empennage, control surfaces and their systems, the fuselage, engine mounting, landing gear, and their related primary attachments). For turbojet powered airplanes, those parts that could contribute to a catastrophic failure must also be evaluated under paragraph (d) of this section. In addition, the following apply:
(1) Each evaluation required by this section must include—
(i) The typical loading spectra, temperatures, and humidities expected in service;
(ii) The identification of principal structural elements and detail design points, the failure of which could cause catastrophic failure of the airplane; and
(iii) An analysis, supported by test evidence, of the principal structural elements and detail design points identified in paragraph (a)(1)(ii) of this section.
(2) The service history of airplanes of similar structural design, taking due account of differences in operating conditions and procedures, may be used in the evaluations required by this section.
(3) Based on the evaluations required by this section, inspections or other procedures must be established, as necessary, to prevent catastrophic failure, and must be included in the Airworthiness Limitations section of the Instructions for Continued Airworthiness required by § 25.1529. The limit of validity of the engineering data that supports the structural maintenance program (hereafter referred to as LOV), stated as a number of total accumulated flight cycles or flight hours or both, established by this section must also be included in the Airworthiness Limitations section of the Instructions for Continued Airworthiness required by § 25.1529. Inspection thresholds for the following types of structure must be established based on crack growth analyses and/or tests, assuming the structure contains an initial flaw of the maximum probable size that could exist as a result of manufacturing or service-induced damage:
(i) Single load path structure, and
(ii) Multiple load path “fail-safe” structure and crack arrest “fail-safe” structure, where it cannot be demonstrated that load path failure, partial failure, or crack arrest will be detected and repaired during normal maintenance, inspection, or operation of an airplane prior to failure of the remaining structure.
(b) Damage-tolerance evaluation. The evaluation must include a determination of the probable locations and modes of damage due to fatigue, corrosion, or accidental damage. Repeated load and static analyses supported by test evidence and (if available) service experience must also be incorporated in the evaluation. Special consideration for widespread fatigue damage must be included where the design is such that this type of damage could occur. An LOV must be established that corresponds to the period of time, stated as a number of total accumulated flight cycles or flight hours or both, during which it is demonstrated that widespread fatigue damage will not occur in the airplane structure. This demonstration must be by full-scale fatigue test evidence. The type certificate may be issued prior to completion of full-scale fatigue testing, provided the Administrator has approved a plan for completing the required tests. In that case, the Airworthiness Limitations section of the Instructions for Continued Airworthiness required by § 25.1529 must specify that no airplane may be operated beyond a number of cycles equal to
(1) The limit symmetrical maneuvering conditions specified in § 25.337 at all speeds up to V
(2) The limit gust conditions specified in § 25.341 at the specified speeds up to V
(3) The limit rolling conditions specified in § 25.349 and the limit unsymmetrical conditions specified in §§ 25.367 and 25.427 (a) through (c), at speeds up to V
(4) The limit yaw maneuvering conditions specified in § 25.351(a) at the specified speeds up to V
(5) For pressurized cabins, the following conditions:
(i) The normal operating differential pressure combined with the expected external aerodynamic pressures applied simultaneously with the flight loading conditions specified in paragraphs (b)(1) through (4) of this section, if they have a significant effect.
(ii) The maximum value of normal operating differential pressure (including the expected external aerodynamic pressures during 1 g level flight) multiplied by a factor of 1.15, omitting other loads.
(6) For landing gear and directly-affected airframe structure, the limit ground loading conditions specified in §§ 25.473, 25.491, and 25.493.
(c) Fatigue (safe-life) evaluation. Compliance with the damage-tolerance requirements of paragraph (b) of this section is not required if the applicant establishes that their application for particular structure is impractical. This structure must be shown by analysis, supported by test evidence, to be able to withstand the repeated loads of variable magnitude expected during its service life without detectable cracks. Appropriate safe-life scatter factors must be applied.
(d) Sonic fatigue strength. It must be shown by analysis, supported by test evidence, or by the service history of airplanes of similar structural design and sonic excitation environment, that—
(1) Sonic fatigue cracks are not probable in any part of the flight structure subject to sonic excitation; or
(2) Catastrophic failure caused by sonic cracks is not probable assuming that the loads prescribed in paragraph (b) of this section are applied to all areas affected by those cracks.
(e) Damage-tolerance (discrete source) evaluation. The airplane must be capable of successfully completing a flight during which likely structural damage occurs as a result of—
(1) Impact with a 4-pound bird when the velocity of the airplane relative to the bird along the airplane's flight path is equal to V
(2) Uncontained fan blade impact;
(3) Uncontained engine failure; or
(4) Uncontained high energy rotating machinery failure.
(a) The airplane must be protected against catastrophic effects from lightning.
(b) For metallic components, compliance with paragraph (a) of this section may be shown by—
(1) Bonding the components properly to the airframe; or
(2) Designing the components so that a strike will not endanger the airplane.
(c) For nonmetallic components, compliance with paragraph (a) of this section may be shown by—
(1) Designing the components to minimize the effect of a strike; or
(2) Incorporating acceptable means of diverting the resulting electrical current so as not to endanger the airplane.
The airplane may not have design features or details that experience has shown to be hazardous or unreliable. The suitability of each questionable design detail and part must be established by tests.
The suitability and durability of materials used for parts, the failure of which could adversely affect safety, must—
(a) Be established on the basis of experience or tests;
(b) Conform to approved specifications (such as industry or military specifications, or Technical Standard Orders) that ensure their having the strength and other properties assumed in the design data; and
(c) Take into account the effects of environmental conditions, such as temperature and humidity, expected in service.
(a) The methods of fabrication used must produce a consistently sound structure. If a fabrication process (such as gluing, spot welding, or heat treating) requires close control to reach this objective, the process must be performed under an approved process specification.
(b) Each new aircraft fabrication method must be substantiated by a test program.
(a) Each removable bolt, screw, nut, pin, or other removable fastener must incorporate two separate locking devices if—
(1) Its loss could preclude continued flight and landing within the design limitations of the airplane using normal pilot skill and strength; or
(2) Its loss could result in reduction in pitch, yaw, or roll control capability or response below that required by Subpart B of this chapter.
(b) The fasteners specified in paragraph (a) of this section and their locking devices may not be adversely affected by the environmental conditions associated with the particular installation.
(c) No self-locking nut may be used on any bolt subject to rotation in operation unless a nonfriction locking device is used in addition to the self-locking device.
Each part of the structure must—
(a) Be suitably protected against deterioration or loss of strength in service due to any cause, including—
(1) Weathering;
(2) Corrosion; and
(3) Abrasion; and
(b) Have provisions for ventilation and drainage where necessary for protection.
(a)Means must be provided to allow inspection (including inspection of principal structural elements and control systems), replacement of parts normally requiring replacement, adjustment, and lubrication as necessary for continued airworthiness. The inspection means for each item must be practicable for the inspection interval for the item. Nondestructive inspection aids may be used to inspect structural elements where it is impracticable to provide means for direct visual inspection if it is shown that the inspection is effective and the inspection procedures are specified in the maintenance manual required by § 25.1529.
(b) EWIS must meet the accessibility requirements of § 25.1719.
(a) Material strength properties must be based on enough tests of material meeting approved specifications to establish design values on a statistical basis.
(b) Material design values must be chosen to minimize the probability of structural failures due to material variability. Except as provided in paragraphs (e) and (f) of this section, compliance must be shown by selecting material design values which assure material strength with the following probability:
(1) Where applied loads are eventually distributed through a single member within an assembly, the failure of which would result in loss of structural integrity of the component, 99 percent probability with 95 percent confidence.
(2) For redundant structure, in which the failure of individual elements would result in applied loads being safely distributed to other load carrying members, 90 percent probability with 95 percent confidence.
(c) The effects of environmental conditions, such as temperature and moisture, on material design values used in an essential component or structure must be considered where these effects are significant within the airplane operating envelope.
(d) [Reserved]
(e) Greater material design values may be used if a “premium selection” of the material is made in which a specimen of each individual item is tested before use to determine that the actual strength properties of that particular item will equal or exceed those used in design.
(f) Other material design values may be used if approved by the Administrator.
The factor of safety prescribed in § 25.303 must be multiplied by the highest pertinent special factor of safety prescribed in §§ 25.621 through 25.625 for each part of the structure whose strength is—
(a) Uncertain;
(b) Likely to deteriorate in service before normal replacement; or
(c) Subject to appreciable variability because of uncertainties in manufacturing processes or inspection methods.
(a) General. For castings used in structural applications, the factors, tests, and inspections specified in paragraphs (b) through (d) of this section must be applied in addition to those necessary to establish foundry quality control. The inspections must meet approved specifications. Paragraphs (c) and (d) of this section apply to any structural castings, except castings that are pressure tested as parts of hydraulic or other fluid systems and do not support structural loads.
(b) Bearing stresses and surfaces. The casting factors specified in paragraphs (c) and (d) of this section—
(1) Need not exceed 1.25 with respect to bearing stresses regardless of the method of inspection used; and
(2) Need not be used with respect to the bearing surfaces of a part whose bearing factor is larger than the applicable casting factor.
(c) Critical castings. Each casting whose failure could preclude continued safe flight and landing of the airplane or could result in serious injury to occupants is a critical casting. Each critical casting must have a factor associated with it for showing compliance with strength and deformation requirements of § 25.305, and must comply with the following criteria associated with that factor:
(1) A casting factor of 1.0 or greater may be used, provided that—
(i) It is demonstrated, in the form of process qualification, proof of product, and process monitoring that, for each casting design and part number, the castings produced by each foundry and process combination have coefficients of variation of the material properties that are equivalent to those of wrought alloy products of similar composition. Process monitoring must include testing of coupons cut from the prolongations of each casting (or each set of castings, if produced from a single pour into a single mold in a runner system) and, on a sampling basis, coupons cut from critical areas of production castings. The acceptance criteria for the process monitoring inspections and tests must be established and included in the process specifications to ensure the properties of the production castings are controlled to within levels used in design.
(ii) Each casting receives:
(A) Inspection of 100 percent of its surface, using visual inspection and liquid penetrant or equivalent inspection methods; and
(B) Inspection of structurally significant internal areas and areas where defects are likely to occur, using radiographic or equivalent inspection methods.
(iii) One casting undergoes a static test and is shown to meet the strength and deformation requirements of § 25.305(a) and (b).
(2) A casting factor of 1.25 or greater may be used, provided that—
(i) Each casting receives:
(A) Inspection of 100 percent of its surface, using visual inspection and liquid penetrant or equivalent inspection methods; and
(B) Inspection of structurally significant internal areas and areas where defects are likely to occur, using radiographic or equivalent inspection methods.
(ii) Three castings undergo static tests and are shown to meet:
(A) The strength requirements of § 25.305(b) at an ultimate load corresponding to a casting factor of 1.25; and
(B) The deformation requirements of § 25.305(a) at a load of 1.15 times the limit load.
(3) A casting factor of 1.50 or greater may be used, provided that—
(i) Each casting receives:
(A) Inspection of 100 percent of its surface, using visual inspection and liquid penetrant or equivalent inspection methods; and
(B) Inspection of structurally significant internal areas and areas where defects are likely to occur, using radiographic or equivalent inspection methods.
(ii) One casting undergoes a static test and is shown to meet:
(A) The strength requirements of § 25.305(b) at an ultimate load corresponding to a casting factor of 1.50; and
(B) The deformation requirements of § 25.305(a) at a load of 1.15 times the limit load.
(d) Non-critical castings. For each casting other than critical castings, as specified in paragraph (c) of this section, the following apply:
(1) A casting factor of 1.0 or greater may be used, provided that the requirements of (c)(1) of this section are met, or all of the following conditions are met:
(i) Castings are manufactured to approved specifications that specify the minimum mechanical properties of the material in the casting and provides for demonstration of these properties by testing of coupons cut from the castings on a sampling basis.
(ii) Each casting receives:
(A) Inspection of 100 percent of its surface, using visual inspection and liquid penetrant or equivalent inspection methods; and
(B) Inspection of structurally significant internal areas and areas where defects are likely to occur, using radiographic or equivalent inspection methods.
(iii) Three sample castings undergo static tests and are shown to meet the strength and deformation requirements of § 25.305(a) and (b).
(2) A casting factor of 1.25 or greater may be used, provided that each casting receives:
(i) Inspection of 100 percent of its surface, using visual inspection and liquid penetrant or equivalent inspection methods; and
(ii) Inspection of structurally significant internal areas and areas where defects are likely to occur, using radiographic or equivalent inspection methods.
(3) A casting factor of 1.5 or greater may be used, provided that each casting receives inspection of 100 percent of its surface using visual inspection and liquid penetrant or equivalent inspection methods.
(4) A casting factor of 2.0 or greater may be used, provided that each casting receives inspection of 100 percent of its surface using visual inspection methods.
(5) The number of castings per production batch to be inspected by non-visual methods in accordance with paragraphs (d)(2) and (3) of this section may be reduced when an approved quality control procedure is established.
(a) Except as provided in paragraph (b) of this section, each part that has clearance (free fit), and that is subject to pounding or vibration, must have a bearing factor large enough to provide for the effects of normal relative motion.
(b) No bearing factor need be used for a part for which any larger special factor is prescribed.
For each fitting (a part or terminal used to join one structural member to another), the following apply:
(a) For each fitting whose strength is not proven by limit and ultimate load tests in which actual stress conditions are simulated in the fitting and surrounding structures, a fitting factor of at least 1.15 must be applied to each part of—
(1) The fitting;
(2) The means of attachment; and
(3) The bearing on the joined members.
(b) No fitting factor need be used—
(1) For joints made under approved practices and based on comprehensive test data (such as continuous joints in metal plating, welded joints, and scarf joints in wood); or
(2) With respect to any bearing surface for which a larger special factor is used.
(c) For each integral fitting, the part must be treated as a fitting up to the point at which the section properties become typical of the member.
(d) For each seat, berth, safety belt, and harness, the fitting factor specified in § 25.785(f)(3) applies.
(a) General. The aeroelastic stability evaluation required under this section includes flutter, divergence, control reversal and any undue loss of stability and control as a result of structural deformation. The aeroelastic evaluation must include whirl modes associated with any propeller or rotating device that contributes significant dynamic forces. Additionally, the evaluation must include any condition of operation within the maneuvering envelope. Compliance with this section must be shown by analyses, wind tunnel tests, ground vibration tests, flight tests, or other means found necessary by the Administrator.
(b) Aeroelastic stability envelopes. The airplane must be designed to be free from aeroelastic instability for all configurations and design conditions within the aeroelastic stability envelopes as follows:
(1) For normal conditions without failures, malfunctions, or adverse conditions, all combinations of altitudes and speeds encompassed by the V
(2) For the conditions described in § 25.629(d) below, for all approved altitudes, any airspeed up to the greater airspeed defined by;
(i) The V
(ii) An altitude-airspeed envelope defined by a 15 percent increase in equivalent airspeed above V
(c) Balance weights. If concentrated balance weights are used, their effectiveness and strength, including supporting structure, must be substantiated.
(d) Failures, malfunctions, and adverse conditions. The failures, malfunctions, and adverse conditions that must be considered in showing compliance with this section are:
(1) Any critical fuel loading conditions, not shown to be extremely improbable, which may result from mismanagement of fuel.
(2) Any single failure in any flutter damper system.
(3) For airplanes not approved for operation in icing conditions, the maximum likely ice accumulation expected as a result of an inadvertent encounter.
(4) Failure of any single element of the structure supporting any engine, independently mounted propeller shaft, large auxiliary power unit, or large externally mounted aerodynamic body (such as an external fuel tank).
(5) For airplanes with engines that have propellers or large rotating devices capable of significant dynamic forces, any single failure of the engine structure that would reduce the rigidity of the rotational axis.
(6) The absence of aerodynamic or gyroscopic forces resulting from the most adverse combination of feathered propellers or other rotating devices capable of significant dynamic forces. In addition, the effect of a single feathered propeller or rotating device must be coupled with the failures of paragraphs (d)(4) and (d)(5) of this section.
(7) Any single propeller or rotating device capable of significant dynamic forces rotating at the highest likely overspeed.
(8) Any damage or failure condition, required or selected for investigation by § 25.571. The single structural failures described in paragraphs (d)(4) and (d)(5) of this section need not be considered in showing compliance with this section if;
(i) The structural element could not fail due to discrete source damage resulting from the conditions described in § 25.571(e), and
(ii) A damage tolerance investigation in accordance with § 25.571(b) shows that the maximum extent of damage assumed for the purpose of residual strength evaluation does not involve complete failure of the structural element.
(9) The following flight control system failure combinations in which aeroelastic stability relies on flight control system stiffness, damping or both:
(i) Any dual hydraulic system failure.
(ii) Any dual electrical system failure.
(iii) Any single failure in combination with any probable hydraulic or electrical system failure.
(10) Any damage, failure, or malfunction considered under §§ 25.631, 25.671, 25.672, and 25.1309.
(11) Any other combination of failures, malfunctions, or adverse conditions not shown to be extremely improbable.
(e) Flight flutter testing. Full scale flight flutter tests at speeds up to V
The empennage structure must be designed to assure capability of continued safe flight and landing of the airplane after impact with an 8-pound bird when the velocity of the airplane (relative to the bird along the airplane's flight path) is equal to V
(a) Limit load tests of control surfaces are required. These tests must include the horn or fitting to which the control system is attached.
(b) Compliance with the special factors requirements of §§ 25.619 through 25.625 and 25.657 for control surface hinges must be shown by analysis or individual load tests.
(a) Movable tail surfaces must be installed so that there is no interference between any surfaces when one is held in its extreme position and the others are operated through their full angular movement.
(b) If an adjustable stabilizer is used, it must have stops that will limit its range of travel to the maximum for which the airplane is shown to meet the trim requirements of § 25.161.
(a) For control surface hinges, including ball, roller, and self-lubricated bearing hinges, the approved rating of the bearing may not be exceeded. For nonstandard bearing hinge configurations, the rating must be established on the basis of experience or tests and, in the absence of a rational investigation, a factor of safety of not less than 6.67 must be used with respect to the ultimate bearing strength of the softest material used as a bearing.
(b) Hinges must have enough strength and rigidity for loads parallel to the hinge line.
(a) Each flight control system must operate with the ease, smoothness, and positiveness appropriate to its function. The flight control system must continue to operate and respond appropriately to commands, and must not hinder airplane recovery, when the airplane is experiencing any pitch, roll, or yaw rate, or vertical load factor that could occur due to operating or environmental conditions, or when the airplane is in any attitude.
(b) Each element of each flight control system must be designed, or distinctively and permanently marked, to minimize the probability of incorrect assembly that could result in failure or malfunctioning of the system. The applicant may use distinctive and permanent marking only where design means are impractical.
(c) The airplane must be shown by analysis, test, or both, to be capable of continued safe flight and landing after any of the following failures or jams in the flight control system within the normal flight envelope. Probable malfunctions must have only minor effects on control system operation and must be capable of being readily counteracted by the pilot.
(1) Any single failure, excluding failures of the type defined in § 25.671(c)(3);
(2) Any combination of failures not shown to be extremely improbable, excluding failures of the type defined in § 25.671(c)(3); and
(3) Any failure or event that results in a jam of a flight control surface or pilot control that is fixed in position due to a physical interference. The jam must be evaluated as follows:
(i) The jam must be considered at any normally encountered position of the control surface or pilot control.
(ii) The jam must be assumed to occur anywhere within the normal flight envelope and during any flight phase except during the time immediately before touchdown if the risk of a potential jam is minimized to the extent practical.
(iii) In the presence of the jam, any additional failure conditions that could prevent continued safe flight and landing must have a combined probability of 1/1000 or less.
(d) If all engines fail at any point in the flight, the airplane must be controllable, and an approach and flare to a landing and controlled stop, and flare to a ditching, must be possible, without requiring exceptional piloting skill or strength.
(e) The airplane must be designed to indicate to the flightcrew whenever the primary control means is near the limit of control authority.
(f) If the flight control system has multiple modes of operation, appropriate flightcrew alerting must be provided whenever the airplane enters any mode that significantly changes or degrades the normal handling or operational characteristics of the airplane.
If the functioning of stability augmentation or other automatic or power-operated systems is necessary to show compliance with the flight characteristics requirements of this part, such systems must comply with § 25.671 and the following:
(a) A warning which is clearly distinguishable to the pilot under expected flight conditions without requiring his attention must be provided for any failure in the stability augmentation system or in any other automatic or power-operated system which could result in an unsafe condition if the pilot were not aware of the failure. Warning systems must not activate the control systems.
(b) The design of the stability augmentation system or of any other automatic or power-operated system must permit initial counteraction of failures of the type specified in § 25.671(c) without requiring exceptional pilot skill or strength, by either the deactivation of the system, or a failed portion thereof, or by overriding the failure by movement of the flight controls in the normal sense.
(c) It must be shown that after any single failure of the stability augmentation system or any other automatic or power-operated system—
(1) The airplane is safely controllable when the failure or malfunction occurs at any speed or altitude within the approved operating limitations that is critical for the type of failure being considered;
(2) The controllability and maneuverability requirements of this part are met within a practical operational flight envelope (for example, speed, altitude, normal acceleration, and airplane configurations) which is described in the Airplane Flight Manual; and
(3) The trim, stability, and stall characteristics are not impaired below a level needed to permit continued safe flight and landing.
(a) Each control system must have stops that positively limit the range of motion of each movable aerodynamic surface controlled by the system.
(b) Each stop must be located so that wear, slackness, or take-up adjustments will not adversely affect the control characteristics of the airplane because of a change in the range of surface travel.
(c) Each stop must be able to withstand any loads corresponding to the design conditions for the control system.
(a) Trim controls must be designed to prevent inadvertent or abrupt operation and to operate in the plane, and with the sense of motion, of the airplane.
(b) There must be means adjacent to the trim control to indicate the direction of the control movement relative to the airplane motion. In addition, there must be clearly visible means to indicate the position of the trim device with respect to the range of adjustment. The indicator must be clearly marked with the range within which it has been demonstrated that takeoff is safe for all center of gravity positions approved for takeoff.
(c) Trim control systems must be designed to prevent creeping in flight. Trim tab controls must be irreversible unless the tab is appropriately balanced and shown to be free from flutter.
(d) If an irreversible tab control system is used, the part from the tab to the attachment of the irreversible unit to the airplane structure must consist of a rigid connection.
(a) There must be a device to prevent damage to the control surfaces (including tabs), and to the control system, from gusts striking the airplane while it is on the ground or water. If the device, when engaged, prevents normal operation of the control surfaces by the pilot, it must—
(1) Automatically disengage when the pilot operates the primary flight controls in a normal manner; or
(2) Limit the operation of the airplane so that the pilot receives unmistakable warning at the start of takeoff.
(b) The device must have means to preclude the possibility of it becoming inadvertently engaged in flight.
(a) Compliance with the limit load requirements of this Part must be shown by tests in which—
(1) The direction of the test loads produces the most severe loading in the control system; and
(2) Each fitting, pulley, and bracket used in attaching the system to the main structure is included.
(b) Compliance must be shown (by analyses or individual load tests) with the special factor requirements for control system joints subject to angular motion.
(a) It must be shown by operation tests that when portions of the control system subject to pilot effort loads are loaded to 80 percent of the limit load specified for the system and the powered portions of the control system are loaded to the maximum load expected in normal operation, the system is free from—
(1) Jamming;
(2) Excessive friction; and
(3) Excessive deflection.
(b) It must be shown by analysis and, where necessary, by tests, that in the presence of deflections of the airplane structure due to the separate application of pitch, roll, and yaw limit maneuver loads, the control system, when loaded to obtain these limit loads and operated within its operational range of deflections, can be exercised about all control axes and remain free from—
(1) Jamming;
(2) Excessive friction;
(3) Disconnection; and
(4) Any form of permanent damage.
(c) It must be shown that under vibration loads in the normal flight and ground operating conditions, no hazard can result from interference or contact with adjacent elements.
(a) Each detail of each control system must be designed and installed to prevent jamming, chafing, and interference from cargo, passengers, loose objects, or the freezing of moisture.
(b) There must be means in the cockpit to prevent the entry of foreign objects into places where they would jam the system.
(c) There must be means to prevent the slapping of cables or tubes against other parts.
(d) Sections 25.689 and 25.693 apply to cable systems and joints.
(a) Each cable, cable fitting, turnbuckle, splice, and pulley must be approved. In addition—
(1) No cable smaller than
(2) Each cable system must be designed so that there will be no hazardous change in cable tension throughout the range of travel under operating conditions and temperature variations.
(b) Each kind and size of pulley must correspond to the cable with which it is used. Pulleys and sprockets must have closely fitted guards to prevent the cables and chains from being displaced or fouled. Each pulley must lie in the plane passing through the cable so that the cable does not rub against the pulley flange.
(c) Fairleads must be installed so that they do not cause a change in cable direction of more than three degrees.
(d) Clevis pins subject to load or motion and retained only by cotter pins may not be used in the control system.
(e) Turnbuckles must be attached to parts having angular motion in a manner that will positively prevent binding throughout the range of travel.
(f) There must be provisions for visual inspection of fairleads, pulleys, terminals, and turnbuckles.
Control system joints (in push-pull systems) that are subject to angular motion, except those in ball and roller bearing systems, must have a special factor of safety of not less than 3.33 with respect to the ultimate bearing strength of the softest material used as a bearing. This factor may be reduced to 2.0 for joints in cable control systems. For ball or roller bearings, the approved ratings may not be exceeded.
(a) Each lift device control must be designed so that the pilots can place the device in any takeoff, en route, approach, or landing position established under § 25.101(d). Lift and drag devices must maintain the selected positions, except for movement produced by an automatic positioning or load limiting device, without further attention by the pilots.
(b) Each lift and drag device control must be designed and located to make inadvertent operation improbable. Lift and drag devices intended for ground operation only must have means to prevent the inadvertant operation of their controls in flight if that operation could be hazardous.
(c) The rate of motion of the surfaces in response to the operation of the control and the characteristics of the automatic positioning or load limiting device must give satisfactory flight and performance characteristics under steady or changing conditions of airspeed, engine power, and airplane attitude.
(d) The lift device control must be designed to retract the surfaces from the fully extended position, during steady flight at maximum continuous engine power at any speed below V
(a) There must be means to indicate to the pilots the position of each lift or drag device having a separate control in the cockpit to adjust its position. In addition, an indication of unsymmetrical operation or other malfunction in the lift or drag device systems must be provided when such indication is necessary to enable the pilots to prevent or counteract an unsafe flight or ground condition, considering the effects on flight characteristics and performance.
(b) There must be means to indicate to the pilots the takeoff, en route, approach, and landing lift device positions.
(c) If any extension of the lift and drag devices beyond the landing position is possible, the controls must be clearly marked to identify this range of extension.
(a) Unless the airplane has safe flight characteristics with the flaps or slats retracted on one side and extended on the other, the motion of flaps or slats on opposite sides of the plane of symmetry must be synchronized by a mechanical interconnection or approved equivalent means.
(b) If a wing flap or slat interconnection or equivalent means is used, it must be designed to account for the applicable unsymmetrical loads, including those resulting from flight with the engines on one side of the plane of symmetry inoperative and the remaining engines at takeoff power.
(c) For airplanes with flaps or slats that are not subjected to slipstream conditions, the structure must be designed for the loads imposed when the wing flaps or slats on one side are carrying the most severe load occurring in the prescribed symmetrical conditions and those on the other side are carrying not more than 80 percent of that load.
(d) The interconnection must be designed for the loads resulting when interconnected flap or slat surfaces on one side of the plane of symmetry are jammed and immovable while the surfaces on the other side are free to move and the full power of the surface actuating system is applied.
A takeoff warning system must be installed and must meet the following requirements:
(a) The system must provide to the pilots an aural warning that is automatically activated during the initial portion of the takeoff roll if the airplane is in a configuration, including any of the following, that would not allow a safe takeoff:
(1) The wing flaps or leading edge devices are not within the approved range of takeoff positions.
(2) Wing spoilers (except lateral control spoilers meeting the requirements of § 25.671), speed brakes, or longitudinal trim devices are in a position that would not allow a safe takeoff.
(b) The warning required by paragraph (a) of this section must continue until—
(1) The configuration is changed to allow a safe takeoff;
(2) Action is taken by the pilot to terminate the takeoff roll;
(3) The airplane is rotated for takeoff; or
(4) The warning is manually deactivated by the pilot.
(c) The means used to activate the system must function properly throughout the ranges of takeoff weights, altitudes, and temperatures for which certification is requested.
(a) The landing gear system must be designed so that when it fails due to overloads during takeoff and landing, the failure mode is not likely to cause spillage of enough fuel to constitute a fire hazard. The overloads must be assumed to act in the upward and aft directions in combination with side loads acting inboard and outboard. In the absence of a more rational analysis, the side loads must be assumed to be up to 20 percent of the vertical load or 20 percent of the drag load, whichever is greater.
(b) The airplane must be designed to avoid any rupture leading to the spillage of enough fuel to constitute a fire hazard as a result of a wheels-up landing on a paved runway, under the following minor crash landing conditions:
(1) Impact at 5 feet-per-second vertical velocity, with the airplane under control, at Maximum Design Landing Weight—
(i) With the landing gear fully retracted; and
(ii) With any one or more landing gear legs not extended.
(2) Sliding on the ground, with—
(i) The landing gear fully retracted and with up to a 20° yaw angle; and
(ii) Any one or more landing gear legs not extended and with 0° yaw angle.
(c) For configurations where the engine nacelle is likely to come into contact with the ground, the engine pylon or engine mounting must be designed so that when it fails due to overloads (assuming the overloads to act predominantly in the upward direction and separately, predominantly in the aft direction), the failure mode is not likely to cause the spillage of enough fuel to constitute a fire hazard.
(a) The analytical representation of the landing gear dynamic characteristics that is used in determining the landing loads must be validated by energy absorption tests. A range of tests must be conducted to ensure that the analytical representation is valid for the design conditions specified in § 25.473.
(1) The configurations subjected to energy absorption tests at limit design conditions must include at least the design landing weight or the design takeoff weight, whichever produces the greater value of landing impact energy.
(2) The test attitude of the landing gear unit and the application of appropriate drag loads during the test must simulate the airplane landing conditions in a manner consistent with the development of rational or conservative limit loads.
(b) The landing gear may not fail in a test, demonstrating its reserve energy absorption capacity, simulating a descent velocity of 12 f.p.s. at design landing weight, assuming airplane lift not greater than airplane weight acting during the landing impact.
(c) In lieu of the tests prescribed in this section, changes in previously approved design weights and minor changes in design may be substantiated by analyses based on previous tests conducted on the same basic landing gear system that has similar energy absorption characteristics.
(a) General. For airplanes with retractable landing gear, the following apply:
(1) The landing gear retracting mechanism, wheel well doors, and supporting structure, must be designed for—
(i) The loads occurring in the flight conditions when the gear is in the retracted position,
(ii) The combination of friction loads, inertia loads, brake torque loads, air loads, and gyroscopic loads resulting from the wheels rotating at a peripheral speed equal to 1.23V
(iii) Any load factor up to those specified in § 25.345(a) for the wing-flaps extended condition.
(2) Unless there are other means to decelerate the airplane in flight at this speed, the landing gear, the retracting mechanism, and the airplane structure (including wheel well doors) must be designed to withstand the flight loads occurring with the landing gear in the extended position at any speed up to 0.67 V
(3) Landing gear doors, their operating mechanism, and their supporting structures must be designed for the yawing maneuvers prescribed for the airplane in addition to the conditions of airspeed and load factor prescribed in paragraphs (a)(1) and (2) of this section.
(b) Landing gear lock. There must be positive means to keep the landing gear extended in flight and on the ground. There must be positive means to keep the landing gear and doors in the correct retracted position in flight, unless it can be shown that lowering of the landing gear or doors, or flight with the landing gear or doors extended, at any speed, is not hazardous.
(c) Emergency operation. There must be an emergency means for extending the landing gear in the event of—
(1) Any reasonably probable failure in the normal retraction system; or
(2) The failure of any single source of hydraulic, electric, or equivalent energy supply.
(d) Operation test. The proper functioning of the retracting mechanism must be shown by operation tests.
(e) Position indicator and warning device. If a retractable landing gear is used, there must be a landing gear position indicator easily visible to the pilot or to the appropriate crew members (as well as necessary devices to actuate the indicator) to indicate without ambiguity that the retractable units and their associated doors are secured in the extended (or retracted) position. The means must be designed as follows:
(1) If switches are used, they must be located and coupled to the landing gear mechanical systems in a manner that prevents an erroneous indication of “down and locked” if the landing gear is not in a fully extended position, or of “up and locked” if the landing gear is not in the fully retracted position. The switches may be located where they are operated by the actual landing gear locking latch or device.
(2) The flightcrew must be given an aural warning that functions continuously, or is periodically repeated, if a landing is attempted when the landing gear is not locked down.
(3) The warning must be given in sufficient time to allow the landing gear to be locked down or a go-around to be made.
(4) There must not be a manual shut-off means readily available to the flightcrew for the warning required by paragraph (e)(2) of this section such that it could be operated instinctively, inadvertently, or by habitual reflexive action.
(5) The system used to generate the aural warning must be designed to minimize false or inappropriate alerts.
(6) Failures of systems used to inhibit the landing gear aural warning, that would prevent the warning system from operating, must be improbable.
(7) A flightcrew alert must be provided whenever the landing gear position is not consistent with the landing gear selector lever position.
(f) Protection of equipment on landing gear and in wheel wells. Equipment that is essential to the safe operation of the airplane and that is located on the landing gear and in wheel wells must be protected from the damaging effects of—
(1) A bursting tire;
(2) A loose tire tread, unless it is shown that a loose tire tread cannot cause damage.
(3) Possible wheel brake temperatures.
(a) Each main and nose wheel must be approved.
(b) The maximum static load rating of each wheel may not be less than the corresponding static ground reaction with—
(1) Design maximum weight; and
(2) Critical center of gravity.
(c) The maximum limit load rating of each wheel must equal or exceed the maximum radial limit load determined under the applicable ground load requirements of this part.
(d) Overpressure burst prevention. Means must be provided in each wheel to prevent wheel failure and tire burst that may result from excessive pressurization of the wheel and tire assembly.
(e) Braked wheels. Each braked wheel must meet the applicable requirements of § 25.735.
(a) When a landing gear axle is fitted with a single wheel and tire assembly, the wheel must be fitted with a suitable tire of proper fit with a speed rating approved by the Administrator that is not exceeded under critical conditions and with a load rating approved by the Administrator that is not exceeded under—
(1) The loads on the main wheel tire, corresponding to the most critical combination of airplane weight (up to maximum weight) and center of gravity position, and
(2) The loads corresponding to the ground reactions in paragraph (b) of this section, on the nose wheel tire, except as provided in paragraphs (b)(2) and (b)(3) of this section.
(b) The applicable ground reactions for nose wheel tires are as follows:
(1) The static ground reaction for the tire corresponding to the most critical combination of airplane weight (up to maximum ramp weight) and center of gravity position with a force of 1.0g acting downward at the center of gravity. This load may not exceed the load rating of the tire.
(2) The ground reaction of the tire corresponding to the most critical combination of airplane weight (up to maximum landing weight) and center of gravity position combined with forces of 1.0g downward and 0.31g forward acting at the center of gravity. The reactions in this case must be distributed to the nose and main wheels by the principles of statics with a drag reaction equal to 0.31 times the vertical load at each wheel with brakes capable of producing this ground reaction. This nose tire load may not exceed 1.5 times the load rating of the tire.
(3) The ground reaction of the tire corresponding to the most critical combination of airplane weight (up to maximum ramp weight) and center of gravity position combined with forces of 1.0g downward and 0.20g forward acting at the center of gravity. The reactions in this case must be distributed to the nose and main wheels by the principles of statics with a drag reaction equal to 0.20 times the vertical load at each wheel with brakes capable of producing this ground reaction. This nose tire load may not exceed 1.5 times the load rating of the tire.
(c) When a landing gear axle is fitted with more than one wheel and tire assembly, such as dual or dual-tandem, each wheel must be fitted with a suitable tire of proper fit with a speed rating approved by the Administrator that is not exceeded under critical conditions, and with a load rating approved by the Administrator that is not exceeded by—
(1) The loads on each main wheel tire, corresponding to the most critical combination of airplane weight (up to maximum weight) and center of gravity position, when multiplied by a factor of 1.07; and
(2) Loads specified in paragraphs (a)(2), (b)(1), (b)(2), and (b)(3) of this section on each nose wheel tire.
(d) Each tire installed on a retractable landing gear system must, at the maximum size of the tire type expected in service, have a clearance to surrounding structure and systems that is adequate to prevent unintended contact between the tire and any part of the structure or systems.
(e) For an airplane with a maximum certificated takeoff weight of more than 75,000 pounds, tires mounted on braked wheels must be inflated with dry nitrogen or other gases shown to be inert so that the gas mixture in the tire does not contain oxygen in excess of 5 percent by volume, unless it can be shown that the tire liner material will not produce a volatile gas when heated or that means are provided to prevent tire temperatures from reaching unsafe levels.
(a) Approval. Each assembly consisting of a wheel(s) and brake(s) must be approved.
(b) Brake system capability. The brake system, associated systems and components must be designed and constructed so that:
(1) If any electrical, pneumatic, hydraulic, or mechanical connecting or transmitting element fails, or if any single source of hydraulic or other brake operating energy supply is lost, it is possible to bring the airplane to rest with a braked roll stopping distance of not more than two times that obtained in determining the landing distance as prescribed in § 25.125.
(2) Fluid lost from a brake hydraulic system following a failure in, or in the vicinity of, the brakes is insufficient to cause or support a hazardous fire on the ground or in flight.
(c) Brake controls. The brake controls must be designed and constructed so that:
(1) Excessive control force is not required for their operation.
(2) If an automatic braking system is installed, means are provided to:
(i) Arm and disarm the system, and
(ii) Allow the pilot(s) to override the system by use of manual braking.
(d) Parking brake. The airplane must have a parking brake control that, when selected on, will, without further attention, prevent the airplane from rolling on a dry and level paved runway when the most adverse combination of maximum thrust on one engine and up to maximum ground idle thrust on any, or all, other engine(s) is applied. The control must be suitably located or be adequately protected to prevent inadvertent operation. There must be indication in the cockpit when the parking brake is not fully released.
(e) Antiskid system. If an antiskid system is installed:
(1) It must operate satisfactorily over the range of expected runway conditions, without external adjustment.
(2) It must, at all times, have priority over the automatic braking system, if installed.
(f) Kinetic energy capacity—(1) Design landing stop. The design landing stop is an operational landing stop at maximum landing weight. The design landing stop brake kinetic energy absorption requirement of each wheel, brake, and tire assembly must be determined. It must be substantiated by dynamometer testing that the wheel, brake and tire assembly is capable of absorbing not less than this level of kinetic energy throughout the defined wear range of the brake. The energy absorption rate derived from the airplane manufacturer's braking requirements must be achieved. The mean deceleration must not be less than 10 fps
(2) Maximum kinetic energy accelerate-stop. The maximum kinetic energy accelerate-stop is a rejected takeoff for the most critical combination of airplane takeoff weight and speed. The accelerate-stop brake kinetic energy absorption requirement of each wheel, brake, and tire assembly must be determined. It must be substantiated by dynamometer testing that the wheel, brake, and tire assembly is capable of absorbing not less than this level of kinetic energy throughout the defined wear range of the brake. The energy absorption rate derived from the airplane manufacturer's braking requirements must be achieved. The mean deceleration must not be less than 6 fps
(3) Most severe landing stop. The most severe landing stop is a stop at the most critical combination of airplane landing weight and speed. The most severe landing stop brake kinetic energy absorption requirement of each wheel, brake, and tire assembly must be determined. It must be substantiated by dynamometer testing that, at the declared fully worn limit(s) of the brake heat sink, the wheel, brake and tire assembly is capable of absorbing not less than this level of kinetic energy. The most severe landing stop need not be considered for extremely improbable failure conditions or if the maximum kinetic energy accelerate-stop energy is more severe.
(g) Brake condition after high kinetic energy dynamometer stop(s). Following the high kinetic energy stop demonstration(s) required by paragraph (f) of this section, with the parking brake promptly and fully applied for at least 3 minutes, it must be demonstrated that for at least 5 minutes from application of the parking brake, no condition occurs (or has occurred during the stop), including fire associated with the tire or wheel and brake assembly, that could prejudice the safe and complete evacuation of the airplane.
(h) Stored energy systems. An indication to the flightcrew of the usable stored energy must be provided if a stored energy system is used to show compliance with paragraph (b)(1) of this section. The available stored energy must be sufficient for:
(1) At least 6 full applications of the brakes when an antiskid system is not operating; and
(2) Bringing the airplane to a complete stop when an antiskid system is operating, under all runway surface conditions for which the airplane is certificated.
(i) Brake wear indicators. Means must be provided for each brake assembly to indicate when the heat sink is worn to the permissible limit. The means must be reliable and readily visible.
(j) Overtemperature burst prevention. Means must be provided in each braked wheel to prevent a wheel failure, a tire burst, or both, that may result from elevated brake temperatures. Additionally, all wheels must meet the requirements of § 25.731(d).
(k) Compatibility. Compatibility of the wheel and brake assemblies with the airplane and its systems must be substantiated.
Each ski must be approved. The maximum limit load rating of each ski must equal or exceed the maximum limit load determined under the applicable ground load requirements of this part.
Each main float must have—
(a) A buoyancy of 80 percent in excess of that required to support the maximum weight of the seaplane or amphibian in fresh water; and
(b) Not less than five watertight compartments approximately equal in volume.
Each main float must be approved and must meet the requirements of § 25.521.
(a) Each hull must have enough watertight compartments so that, with any two adjacent compartments flooded, the buoyancy of the hull and auxiliary floats (and wheel tires, if used) provides a margin of positive stability great enough to minimize the probability of capsizing in rough, fresh water.
(b) Bulkheads with watertight doors may be used for communication between compartments.
(a) Each pilot compartment and its equipment must allow the minimum flight crew (established under § 25.1523) to perform their duties without unreasonable concentration or fatigue.
(b) The primary controls listed in § 25.779(a), excluding cables and control rods, must be located with respect to the propellers so that no member of the minimum flight crew (established under § 25.1523), or part of the controls, lies in the region between the plane of rotation of any inboard propeller and the surface generated by a line passing through the center of the propeller hub making an angle of five degrees forward or aft of the plane of rotation of the propeller.
(c) If provision is made for a second pilot, the airplane must be controllable with equal safety from either pilot seat.
(d) The pilot compartment must be constructed so that, when flying in rain or snow, it will not leak in a manner that will distract the crew or harm the structure.
(e) Vibration and noise characteristics of cockpit equipment may not interfere with safe operation of the airplane.
For an airplane that has a lockable door installed between the pilot compartment and the passenger compartment:
(a) For airplanes with a maximum passenger seating configuration of more than 20 seats, the emergency exit configuration must be designed so that neither crewmembers nor passengers require use of the flightdeck door in order to reach the emergency exits provided for them; and
(b) Means must be provided to enable flight crewmembers to directly enter the passenger compartment from the pilot compartment if the cockpit door becomes jammed.
(c) There must be an emergency means to enable a flight attendant to enter the pilot compartment in the event that the flightcrew becomes incapacitated.
(a) Nonprecipitation conditions. For nonprecipitation conditions, the following apply:
(1) Each pilot compartment must be arranged to give the pilots a sufficiently extensive, clear, and undistorted view, to enable them to safely perform any maneuvers within the operating limitations of the airplane, including taxiing takeoff, approach, and landing.
(2) Each pilot compartment must be free of glare and reflection that could interfere with the normal duties of the minimum flight crew (established under § 25.1523). This must be shown in day and night flight tests under nonprecipitation conditions.
(b) Precipitation conditions. For precipitation conditions, the following apply:
(1) The airplane must have a means to maintain a clear portion of the windshield, during precipitation conditions, sufficient for both pilots to have a sufficiently extensive view along the flight path in normal flight attitudes of the airplane. This means must be designed to function, without continuous attention on the part of the crew, in—
(i) Heavy rain at speeds up to 1.5 V
(ii) The icing conditions specified in Appendix C of this part and the following icing conditions specified in Appendix O of this part, if certification for flight in icing conditions is sought:
(A) For airplanes certificated in accordance with § 25.1420(a)(1), the icing conditions that the airplane is certified to safely exit following detection.
(B) For airplanes certificated in accordance with § 25.1420(a)(2), the icing conditions that the airplane is certified to safely operate in and the icing conditions that the airplane is certified to safely exit following detection.
(C) For airplanes certificated in accordance with § 25.1420(a)(3) and for airplanes not subject to § 25.1420, all icing conditions.
(2) No single failure of the systems used to provide the view required by paragraph (b)(1) of this section must cause the loss of that view by both pilots in the specified precipitation conditions.
(3) The first pilot must have a window that—
(i) Is openable under the conditions prescribed in paragraph (b)(1) of this section when the cabin is not pressurized;
(ii) Provides the view specified in paragraph (b)(1) of this section; and
(iii) Provides sufficient protection from the elements against impairment of the pilot's vision.
(4) The openable window specified in paragraph (b)(3) of this section need not be provided if it is shown that an area of the transparent surface will remain clear sufficient for at least one pilot to land the airplane safely in the event of—
(i) Any system failure or combination of failures which is not extremely improbable, in accordance with § 25.1309, under the precipitation conditions specified in paragraph (b)(1) of this section.
(ii) An encounter with severe hail, birds, or insects.
(c) Internal windshield and window fogging. The airplane must have a means to prevent fogging of the internal portions of the windshield and window panels over an area which would provide the visibility specified in paragraph (a) of this section under all internal and external ambient conditions, including precipitation conditions, in which the airplane is intended to be operated.
(d) Fixed markers or other guides must be installed at each pilot station to enable the pilots to position themselves in their seats for an optimum combination of outside visibility and instrument scan. If lighted markers or guides are used they must comply with the requirements specified in § 25.1381.
(e) Vision systems with transparent displays. A vision system with a transparent display surface located in the pilot's outside field of view, such as a head up-display, head mounted display, or other equivalent display, must meet the following requirements in nonprecipitation and precipitation conditions:
(1) While the vision system display is in operation, it must compensate for interference with the pilot's outside field of view such that the combination of what is visible in the display and what remains visible through and around it, enables the pilot to perform the maneuvers and normal duties of paragraph (a) of this section.
(2) The pilot's view of the external scene may not be distorted by the transparent display surface or by the vision system imagery. When the vision system displays imagery or any symbology that is referenced to the imagery and outside scene topography, including attitude symbology, flight path vector, and flight path angle reference cue, that imagery and symbology must be aligned with, and scaled to, the external scene.
(3) The vision system must provide a means to allow the pilot using the display to immediately deactivate and reactivate the vision system imagery, on demand, without removing the pilot's hands from the primary flight controls or thrust controls.
(4) When the vision system is not in operation it may not restrict the pilot from performing the maneuvers specified in paragraph (a)(1) of this section or the pilot compartment from meeting the provisions of paragraph (a)(2) of this section.
(a) Internal panes must be made of nonsplintering material.
(b) Windshield panes directly in front of the pilots in the normal conduct of their duties, and the supporting structures for these panes, must withstand, without penetration, the impact of a four-pound bird when the velocity of the airplane (relative to the bird along the airplane's flight path) is equal to the value of V
(c) Unless it can be shown by analysis or tests that the probability of occurrence of a critical windshield fragmentation condition is of a low order, the airplane must have a means to minimize the danger to the pilots from flying windshield fragments due to bird impact. This must be shown for each transparent pane in the cockpit that—
(1) Appears in the front view of the airplane;
(2) Is inclined 15 degrees or more to the longitudinal axis of the airplane; and
(3) Has any part of the pane located where its fragmentation will constitute a hazard to the pilots.
(d) The design of windshields and windows in pressurized airplanes must be based on factors peculiar to high altitude operation, including the effects of continuous and cyclic pressurization loadings, the inherent characteristics of the material used, and the effects of temperatures and temperature differentials. The windshield and window panels must be capable of withstanding the maximum cabin pressure differential loads combined with critical aerodynamic pressure and temperature effects after any single failure in the installation or associated systems. It may be assumed that, after a single failure that is obvious to the flight crew (established under § 25.1523), the cabin pressure differential is reduced from the maximum, in accordance with appropriate operating limitations, to allow continued safe flight of the airplane with a cabin pressure altitude of not more than 15,000 feet.
(e) The windshield panels in front of the pilots must be arranged so that, assuming the loss of vision through any one panel, one or more panels remain available for use by a pilot seated at a pilot station to permit continued safe flight and landing.
(a) Each cockpit control must be located to provide convenient operation and to prevent confusion and inadvertent operation.
(b) The direction of movement of cockpit controls must meet the requirements of § 25.779. Wherever practicable, the sense of motion involved in the operation of other controls must correspond to the sense of the effect of the operation upon the airplane or upon the part operated. Controls of a variable nature using a rotary motion must move clockwise from the off position, through an increasing range, to the full on position.
(c) The controls must be located and arranged, with respect to the pilots' seats, so that there is full and unrestricted movement of each control without interference from the cockpit structure or the clothing of the minimum flight crew (established under § 25.1523) when any member of this flight crew, from 5′2″ to 6′3″ in height, is seated with the seat belt and shoulder harness (if provided) fastened.
(d) Identical powerplant controls for each engine must be located to prevent confusion as to the engines they control.
(e) Wing flap controls and other auxiliary lift device controls must be located on top of the pedestal, aft of the throttles, centrally or to the right of the pedestal centerline, and not less than 10 inches aft of the landing gear control.
(f) The landing gear control must be located forward of the throttles and must be operable by each pilot when seated with seat belt and shoulder harness (if provided) fastened.
(g) Control knobs must be shaped in accordance with § 25.781. In addition, the knobs must be of the same color, and this color must contrast with the color of control knobs for other purposes and the surrounding cockpit.
(h) If a flight engineer is required as part of the minimum flight crew (established under § 25.1523), the airplane must have a flight engineer station located and arranged so that the flight crewmembers can perform their functions efficiently and without interfering with each other.
Cockpit controls must be designed so that they operate in accordance with the following movement and actuation:
(a) Aerodynamic controls:
(1) Primary.
| Controls | Motion and effect |
|---|---|
| Aileron | Right (clockwise) for right wing down. |
| Elevator | Rearward for nose up. |
| Rudder | Right pedal forward for nose right. |
(2) Secondary.
| Controls | Motion and effect |
|---|---|
| Flaps (or auxiliary lift devices) | Forward for flaps up; rearward for flaps down. |
| Trim tabs (or equivalent) | Rotate to produce similar rotation of the airplane about an axis parallel to the axis of the control. |
(b) Powerplant and auxiliary controls:
(1) Powerplant.
| Controls | Motion and effect |
|---|---|
| Power or thrust | Forward to increase forward thrust and rearward to increase rearward thrust. |
| Propellers | Forward to increase rpm. |
| Mixture | Forward or upward for rich. |
| Carburetor air heat | Forward or upward for cold. |
| Supercharger | Forward or upward for low blower. For turbosuperchargers, forward, upward, or clockwise, to increase pressure. |
(2) Auxiliary.
| Controls | Motion and effect |
|---|---|
| Landing gear | Down to extend. |
Cockpit control knobs must conform to the general shapes (but not necessarily the exact sizes or specific proportions) in the following figure:
(a) General. This section applies to fuselage doors, which includes all doors, hatches, openable windows, access panels, covers, etc., on the exterior of the fuselage that do not require the use of tools to open or close. This also applies to each door or hatch through a pressure bulkhead, including any bulkhead that is specifically designed to function as a secondary bulkhead under the prescribed failure conditions of part 25. These doors must meet the requirements of this section, taking into account both pressurized and unpressurized flight, and must be designed as follows:
(1) Each door must have means to safeguard against opening in flight as a result of mechanical failure, or failure of any single structural element.
(2) Each door that could be a hazard if it unlatches must be designed so that unlatching during pressurized and unpressurized flight from the fully closed, latched, and locked condition is extremely improbable. This must be shown by safety analysis.
(3) Each element of each door operating system must be designed or, where impracticable, distinctively and permanently marked, to minimize the probability of incorrect assembly and adjustment that could result in a malfunction.
(4) All sources of power that could initiate unlocking or unlatching of any door must be automatically isolated from the latching and locking systems prior to flight and it must not be possible to restore power to the door during flight.
(5) Each removable bolt, screw, nut, pin, or other removable fastener must meet the locking requirements of § 25.607.
(6) Certain doors, as specified by § 25.807(h), must also meet the applicable requirements of §§ 25.809 through 25.812 for emergency exits.
(b) Opening by persons. There must be a means to safeguard each door against opening during flight due to inadvertent action by persons. In addition, design precautions must be taken to minimize the possibility for a person to open a door intentionally during flight. If these precautions include the use of auxiliary devices, those devices and their controlling systems must be designed so that—
(1) No single failure will prevent more than one exit from being opened; and
(2) Failures that would prevent opening of the exit after landing are improbable.
(c) Pressurization prevention means. There must be a provision to prevent pressurization of the airplane to an unsafe level if any door subject to pressurization is not fully closed, latched, and locked.
(1) The provision must be designed to function after any single failure, or after any combination of failures not shown to be extremely improbable.
(2) Doors that meet the conditions described in paragraph (h) of this section are not required to have a dedicated pressurization prevention means if, from every possible position of the door, it will remain open to the extent that it prevents pressurization or safely close and latch as pressurization takes place. This must also be shown with any single failure and malfunction, except that—
(i) With failures or malfunctions in the latching mechanism, it need not latch after closing; and
(ii) With jamming as a result of mechanical failure or blocking debris, the door need not close and latch if it can be shown that the pressurization loads on the jammed door or mechanism would not result in an unsafe condition.
(d) Latching and locking. The latching and locking mechanisms must be designed as follows:
(1) There must be a provision to latch each door.
(2) The latches and their operating mechanism must be designed so that, under all airplane flight and ground loading conditions, with the door latched, there is no force or torque tending to unlatch the latches. In addition, the latching system must include a means to secure the latches in the latched position. This means must be independent of the locking system.
(3) Each door subject to pressurization, and for which the initial opening movement is not inward, must—
(i) Have an individual lock for each latch;
(ii) Have the lock located as close as practicable to the latch; and
(iii) Be designed so that, during pressurized flight, no single failure in the locking system would prevent the locks from restraining the latches necessary to secure the door.
(4) Each door for which the initial opening movement is inward, and unlatching of the door could result in a hazard, must have a locking means to prevent the latches from becoming disengaged. The locking means must ensure sufficient latching to prevent opening of the door even with a single failure of the latching mechanism.
(5) It must not be possible to position the lock in the locked position if the latch and the latching mechanism are not in the latched position.
(6) It must not be possible to unlatch the latches with the locks in the locked position. Locks must be designed to withstand the limit loads resulting from—
(i) The maximum operator effort when the latches are operated manually;
(ii) The powered latch actuators, if installed; and
(iii) The relative motion between the latch and the structural counterpart.
(7) Each door for which unlatching would not result in a hazard is not required to have a locking mechanism meeting the requirements of paragraphs (d)(3) through (d)(6) of this section.
(e) Warning, caution, and advisory indications. Doors must be provided with the following indications:
(1) There must be a positive means to indicate at each door operator's station that all required operations to close, latch, and lock the door(s) have been completed.
(2) There must be a positive means clearly visible from each operator station for any door that could be a hazard if unlatched to indicate if the door is not fully closed, latched, and locked.
(3) There must be a visual means on the flight deck to signal the pilots if any door is not fully closed, latched, and locked. The means must be designed such that any failure or combination of failures that would result in an erroneous closed, latched, and locked indication is improbable for—
(i) Each door that is subject to pressurization and for which the initial opening movement is not inward; or
(ii) Each door that could be a hazard if unlatched.
(4) There must be an aural warning to the pilots prior to or during the initial portion of takeoff roll if any door is not fully closed, latched, and locked, and its opening would prevent a safe takeoff and return to landing.
(f) Visual inspection provision. Each door for which unlatching of the door could be a hazard must have a provision for direct visual inspection to determine, without ambiguity, if the door is fully closed, latched, and locked. The provision must be permanent and discernible under operational lighting conditions, or by means of a flashlight or equivalent light source.
(g) Certain maintenance doors, removable emergency exits, and access panels. Some doors not normally opened except for maintenance purposes or emergency evacuation and some access panels need not comply with certain paragraphs of this section as follows:
(1) Access panels that are not subject to cabin pressurization and would not be a hazard if open during flight need not comply with paragraphs (a) through (f) of this section, but must have a means to prevent inadvertent opening during flight.
(2) Inward-opening removable emergency exits that are not normally removed, except for maintenance purposes or emergency evacuation, and flight deck-openable windows need not comply with paragraphs (c) and (f) of this section.
(3) Maintenance doors that meet the conditions of paragraph (h) of this section, and for which a placard is provided limiting use to maintenance access, need not comply with paragraphs (c) and (f) of this section.
(h) Doors that are not a hazard. For the purposes of this section, a door is considered not to be a hazard in the unlatched condition during flight, provided it can be shown to meet all of the following conditions:
(1) Doors in pressurized compartments would remain in the fully closed position if not restrained by the latches when subject to a pressure greater than
(2) The door would remain inside the airplane or remain attached to the airplane if it opens either in pressurized or unpressurized portions of the flight. This determination must include the consideration of inadvertent and intentional opening by persons during either pressurized or unpressurized portions of the flight.
(3) The disengagement of the latches during flight would not allow depressurization of the cabin to an unsafe level. This safety assessment must include the physiological effects on the occupants.
(4) The open door during flight would not create aerodynamic interference that could preclude safe flight and landing.
(5) The airplane would meet the structural design requirements with the door open. This assessment must include the aeroelastic stability requirements of § 25.629, as well as the strength requirements of subpart C of this part.
(6) The unlatching or opening of the door must not preclude safe flight and landing as a result of interaction with other systems or structures.
(a) A seat (or berth for a nonambulant person) must be provided for each occupant who has reached his or her second birthday.
(b) Each seat, berth, safety belt, harness, and adjacent part of the airplane at each station designated as occupiable during takeoff and landing must be designed so that a person making proper use of these facilities will not suffer serious injury in an emergency landing as a result of the inertia forces specified in §§ 25.561 and 25.562.
(c) Each seat or berth must be approved.
(d) Each occupant of a seat that makes more than an 18-degree angle with the vertical plane containing the airplane centerline must be protected from head injury by a safety belt and an energy absorbing rest that will support the arms, shoulders, head, and spine, or by a safety belt and shoulder harness that will prevent the head from contacting any injurious object. Each occupant of any other seat must be protected from head injury by a safety belt and, as appropriate to the type, location, and angle of facing of each seat, by one or more of the following:
(1) A shoulder harness that will prevent the head from contacting any injurious object.
(2) The elimination of any injurious object within striking radius of the head.
(3) An energy absorbing rest that will support the arms, shoulders, head, and spine.
(e) Each berth must be designed so that the forward part has a padded end board, canvas diaphragm, or equivalent means, that can withstand the static load reaction of the occupant when subjected to the forward inertia force specified in § 25.561. Berths must be free from corners and protuberances likely to cause injury to a person occupying the berth during emergency conditions.
(f) Each seat or berth, and its supporting structure, and each safety belt or harness and its anchorage must be designed for an occupant weight of 170 pounds, considering the maximum load factors, inertia forces, and reactions among the occupant, seat, safety belt, and harness for each relevant flight and ground load condition (including the emergency landing conditions prescribed in § 25.561). In addition—
(1) The structural analysis and testing of the seats, berths, and their supporting structures may be determined by assuming that the critical load in the forward, sideward, downward, upward, and rearward directions (as determined from the prescribed flight, ground, and emergency landing conditions) acts separately or using selected combinations of loads if the required strength in each specified direction is substantiated. The forward load factor need not be applied to safety belts for berths.
(2) Each pilot seat must be designed for the reactions resulting from the application of the pilot forces prescribed in § 25.395.
(3) The inertia forces specified in § 25.561 must be multiplied by a factor of 1.33 (instead of the fitting factor prescribed in § 25.625) in determining the strength of the attachment of each seat to the structure and each belt or harness to the seat or structure.
(g) Each seat at a flight deck station must have a restraint system consisting of a combined safety belt and shoulder harness with a single-point release that permits the flight deck occupant, when seated with the restraint system fastened, to perform all of the occupant's necessary flight deck functions. There must be a means to secure each combined restraint system when not in use to prevent interference with the operation of the airplane and with rapid egress in an emergency.
(h) Each seat located in the passenger compartment and designated for use during takeoff and landing by a flight attendant required by the operating rules of this chapter must be:
(1) Near a required floor level emergency exit, except that another location is acceptable if the emergency egress of passengers would be enhanced with that location. A flight attendant seat must be located adjacent to each Type A or B emergency exit. Other flight attendant seats must be evenly distributed among the required floor- level emergency exits to the extent feasible.
(2) To the extent possible, without compromising proximity to a required floor level emergency exit, located to provide a direct view of the cabin area for which the flight attendant is responsible.
(3) Positioned so that the seat will not interfere with the use of a passageway or exit when the seat is not in use.
(4) Located to minimize the probability that occupants would suffer injury by being struck by items dislodged from service areas, stowage compartments, or service equipment.
(5) Either forward or rearward facing with an energy absorbing rest that is designed to support the arms, shoulders, head, and spine.
(6) Equipped with a restraint system consisting of a combined safety belt and shoulder harness unit with a single point release. There must be means to secure each restraint system when not in use to prevent interference with rapid egress in an emergency.
(i) Each safety belt must be equipped with a metal to metal latching device.
(j) If the seat backs do not provide a firm handhold, there must be a handgrip or rail along each aisle to enable persons to steady themselves while using the aisles in moderately rough air.
(k) Each projecting object that would injure persons seated or moving about the airplane in normal flight must be padded.
(l) Each forward observer's seat required by the operating rules must be shown to be suitable for use in conducting the necessary enroute inspection.
(a) Each compartment for the stowage of cargo, baggage, carry-on articles, and equipment (such as life rafts), and any other stowage compartment, must be designed for its placarded maximum weight of contents and for the critical load distribution at the appropriate maximum load factors corresponding to the specified flight and ground load conditions, and to those emergency landing conditions of § 25.561(b)(3) for which the breaking loose of the contents of such compartments in the specified direction could—
(1) Cause direct injury to occupants;
(2) Penetrate fuel tanks or lines or cause fire or explosion hazard by damage to adjacent systems; or
(3) Nullify any of the escape facilities provided for use after an emergency landing.
(b) There must be a means to prevent the contents in the compartments from becoming a hazard by shifting, under the loads specified in paragraph (a) of this section. For stowage compartments in the passenger and crew cabin, if the means used is a latched door, the design must take into consideration the wear and deterioration expected in service.
(c) If cargo compartment lamps are installed, each lamp must be installed so as to prevent contact between lamp bulb and cargo.
(a) Means must be provided to prevent each item of mass (that is part of the airplane type design) in a passenger or crew compartment or galley from becoming a hazard by shifting under the appropriate maximum load factors corresponding to the specified flight and ground load conditions, and to the emergency landing conditions of § 25.561(b).
(b) Each interphone restraint system must be designed so that when subjected to the load factors specified in § 25.561(b)(3), the interphone will remain in its stowed position.
(a) Regarding “No Smoking” signs and placards:
(1) There must be at least one placard, or lighted sign, stating if smoking is prohibited. The placard or lighted sign must be legible to each person seated in the cabin.
(2) Lighted “No Smoking” signs must either be operable by a member of the flightcrew or be illuminated continuously during airplane operations. Illuminated signs must be legible under all probable conditions of cabin illumination to each person seated in the cabin.
(b) Signs that notify when seat belts should be fastened and that are installed to comply with the operating rules of this chapter must be operable by a member of the flightcrew and, when illuminated, must be legible under all probable conditions of cabin illumination to each person seated in the cabin.
(c) A placard must be located on or adjacent to the door of each receptacle used for the disposal of flammable waste materials to indicate that use of the receptacle for disposal of cigarettes, etc., is prohibited.
(d) Lavatories must have “No Smoking” or “No Smoking in Lavatory” placards conspicuously located on or adjacent to each side of the entry door.
(e) Symbols that clearly express the intent of the sign or placard may be used in lieu of letters.
The floor surface of all areas which are likely to become wet in service must have slip resistant properties.
(a) Protection of flightcrew compartment. If a flightdeck door is required by operating rules:
(1) The bulkhead, door, and any other accessible boundary separating the flightcrew compartment from occupied areas must be designed to resist forcible intrusion by unauthorized persons and be capable of withstanding impacts of 300 joules (221.3 foot pounds).
(2) The bulkhead, door, and any other accessible boundary separating the flightcrew compartment from occupied areas must be designed to resist a constant 250 pound (1,113 Newtons) tensile load on accessible handholds, including the doorknob or handle.
(3) The bulkhead, door, and any other boundary separating the flightcrew compartment from any occupied areas must be designed to resist penetration by small arms fire and fragmentation devices to a level equivalent to level IIIa of the National Institute of Justice (NIJ) Standard 0101.04.
(4) If required by the operating rules of this chapter, an installed physical secondary barrier (IPSB) must be installed to resist intrusion into the flightdeck whenever the flightdeck door is opened. When deployed, the IPSB must:
(i) Resist a 250 pound (1113 Newtons) static load in the direction of the passenger cabin applied at the most critical locations on the IPSB;
(ii) Resist a 600 pound (2669 Newtons) static load in the direction of the flightdeck applied at the most critical locations on the IPSB;
(iii) Delay a person attempting to access the flightdeck by at least the time required for a crewmember to open and reclose the flightdeck door, but no less than 5 seconds;
(iv) Prevent a person from reaching through and touching the flightdeck door;
(v) Allow for necessary crewmember activities; and
(vi) Provide line-of-sight visibility between the flightdeck door and the cabin.
(b) Airplanes with a maximum certificated passenger seating capacity of more than 60 persons or a maximum certificated takeoff gross weight of over 100,000 pounds (45,359 Kilograms) must be designed to limit the effects of an explosive or incendiary device as follows:
(1) Flightdeck smoke protection. Means must be provided to limit entry of smoke, fumes, and noxious gases into the flightdeck.
(2) Passenger cabin smoke protection. Means must be provided to prevent passenger incapacitation in the cabin resulting from smoke, fumes, and noxious gases as represented by the initial combined volumetric concentrations of 0.59% carbon monoxide and 1.23% carbon dioxide.
(3) Cargo compartment fire suppression. An extinguishing agent must be capable of suppressing a fire. All cargo-compartment fire suppression systems must be designed to withstand the following effects, including support structure displacements or adjacent materials displacing against the distribution system:
(i) Impact or damage from a 0.5-inch diameter aluminum sphere traveling at 430 feet per second (131.1 meters per second);
(ii) A 15-pound per square-inch (103.4 kPa) pressure load if the projected surface area of the component is greater than 4 square feet. Any single dimension greater than 4 feet (1.22 meters) may be assumed to be 4 feet (1.22 meters) in length; and
(iii) A 6-inch (0.152 meters) displacement, except where limited by the fuselage contour, from a single point force applied anywhere along the distribution system where relative movement between the system and its attachment can occur.
(iv) Paragraphs (b)(3)(i) through (iii) of this section do not apply to components that are redundant and separated in accordance with paragraph (c)(2) of this section or are installed remotely from the cargo compartment.
(c) An airplane with a maximum certificated passenger seating capacity of more than 60 persons or a maximum certificated takeoff gross weight of over 100,000 pounds (45,359 Kilograms) must comply with the following:
(1) Least risk bomb location. An airplane must be designed with a designated location where a bomb or other explosive device could be placed to best protect flight-critical structures and systems from damage in the case of detonation.
(2) Survivability of systems. (i) Except where impracticable, redundant airplane systems necessary for continued safe flight and landing must be physically separated, at a minimum, by an amount equal to a sphere of diameter
(ii) Where compliance with paragraph (c)(2)(i) of this section is impracticable, other design precautions must be taken to maximize the survivability of those systems.
(3) Interior design to facilitate searches. Design features must be incorporated that will deter concealment or promote discovery of weapons, explosives, or other objects from a simple inspection in the following areas of the airplane cabin:
(i) Areas above the overhead bins must be designed to prevent objects from being hidden from view in a simple search from the aisle. Designs that prevent concealment of objects with volumes 20 cubic inches and greater satisfy this requirement.
(ii) Toilets must be designed to prevent the passage of solid objects greater than 2.0 inches in diameter.
(iii) Life preservers or their storage locations must be designed so that tampering is evident.
(d) Each chemical oxygen generator or its installation must be designed to be secure from deliberate manipulation by one of the following:
(1) By providing effective resistance to tampering,
(2) By providing an effective combination of resistance to tampering and active tamper-evident features,
(3) By installation in a location or manner whereby any attempt to access the generator would be immediately obvious, or
(4) By a combination of approaches specified in paragraphs (d)(1), (d)(2) and (d)(3) of this section that the Administrator finds provides a secure installation.
(e) Exceptions. Airplanes used solely to transport cargo only need to meet the requirements of paragraphs (b)(1), (b)(3), and (c)(2) of this section.
(f) Material Incorporated by Reference. You must use National Institute of Justice (NIJ) Standard 0101.04, Ballistic Resistance of Personal Body Armor, June 2001, Revision A, to establish ballistic resistance as required by paragraph (a)(3) of this section.
(1) The Director of the Federal Register approved the incorporation by reference of this document under 5 U.S.C. 552(a) and 1 CFR part 51.
(2) You may review copies of NIJ Standard 0101.04 at the:
(i) National Institute of Justice (NIJ), http://www.ojp.usdoj.gov/nij, telephone (202) 307-2942; or
(ii) National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) 741-6030, or go to http://www.archives.gov/federal-register/cfr/ibr-locations.html.
(3) You may obtain copies of NIJ Standard 0101.04 from the National Criminal Justice Reference Service, P.O. Box 6000, Rockville, MD 20849-6000, telephone (800) 851-3420.
(a) If certification with ditching provisions is requested, the airplane must meet the requirements of this section and §§ 25.807(e), 25.1411, and 25.1415(a).
(b) Each practicable design measure, compatible with the general characteristics of the airplane, must be taken to minimize the probability that in an emergency landing on water, the behavior of the airplane would cause immediate injury to the occupants or would make it impossible for them to escape.
(c) The probable behavior of the airplane in a water landing must be investigated by model tests or by comparison with airplanes of similar configuration for which the ditching characteristics are known. Scoops, flaps, projections, and any other factor likely to affect the hydrodynamic characteristics of the airplane, must be considered.
(d) It must be shown that, under reasonably probable water conditions, the flotation time and trim of the airplane will allow the occupants to leave the airplane and enter the liferafts required by § 25.1415. If compliance with this provision is shown by buoyancy and trim computations, appropriate allowances must be made for probable structural damage and leakage. If the airplane has fuel tanks (with fuel jettisoning provisions) that can reasonably be expected to withstand a ditching without leakage, the jettisonable volume of fuel may be considered as buoyancy volume.
(e) Unless the effects of the collapse of external doors and windows are accounted for in the investigation of the probable behavior of the airplane in a water landing (as prescribed in paragraphs (c) and (d) of this section), the external doors and windows must be designed to withstand the probable maximum local pressures.
(a) Each crew and passenger area must have emergency means to allow rapid evacuation in crash landings, with the landing gear extended as well as with the landing gear retracted, considering the possibility of the airplane being on fire.
(b) [Reserved]
(c) For airplanes having a seating capacity of more than 44 passengers, it must be shown that the maximum seating capacity, including the number of crewmembers required by the operating rules for which certification is requested, can be evacuated from the airplane to the ground under simulated emergency conditions within 90 seconds. Compliance with this requirement must be shown by actual demonstration using the test criteria outlined in appendix J of this part unless the Administrator finds that a combination of analysis and testing will provide data equivalent to that which would be obtained by actual demonstration.
(d)-(e) [Reserved]
(a) Type. For the purpose of this part, the types of exits are defined as follows:
(1) Type I. This type is a floor-level exit with a rectangular opening of not less than 24 inches wide by 48 inches high, with corner radii not greater than eight inches.
(2) Type II. This type is a rectangular opening of not less than 20 inches wide by 44 inches high, with corner radii not greater than seven inches. Type II exits must be floor-level exits unless located over the wing, in which case they must not have a step-up inside the airplane of more than 10 inches nor a step-down outside the airplane of more than 17 inches.
(3) Type III. This type is a rectangular opening of not less than 20 inches wide by 36 inches high with corner radii not greater than seven inches, and with a step-up inside the airplane of not more than 20 inches. If the exit is located over the wing, the step-down outside the airplane may not exceed 27 inches.
(4) Type IV. This type is a rectangular opening of not less than 19 inches wide by 26 inches high, with corner radii not greater than 6.3 inches, located over the wing, with a step-up inside the airplane of not more than 29 inches and a step-down outside the airplane of not more than 36 inches.
(5) Ventral. This type is an exit from the passenger compartment through the pressure shell and the bottom fuselage skin. The dimensions and physical configuration of this type of exit must allow at least the same rate of egress as a Type I exit with the airplane in the normal ground attitude, with landing gear extended.
(6) Tailcone. This type is an aft exit from the passenger compartment through the pressure shell and through an openable cone of the fuselage aft of the pressure shell. The means of opening the tailcone must be simple and obvious and must employ a single operation.
(7) Type A. This type is a floor-level exit with a rectangular opening of not less than 42 inches wide by 72 inches high, with corner radii not greater than seven inches.
(8) Type B. This type is a floor-level exit with a rectangular opening of not less than 32 inches wide by 72 inches high, with corner radii not greater than six inches.
(9) Type C. This type is a floor-level exit with a rectangular opening of not less than 30 inches wide by 48 inches high, with corner radii not greater than 10 inches.
(b) Step down distance. Step down distance, as used in this section, means the actual distance between the bottom of the required opening and a usable foot hold, extending out from the fuselage, that is large enough to be effective without searching by sight or feel.
(c) Over-sized exits. Openings larger than those specified in this section, whether or not of rectangular shape, may be used if the specified rectangular opening can be inscribed within the opening and the base of the inscribed rectangular opening meets the specified step-up and step-down heights.
(d) Asymmetry. Exits of an exit pair need not be diametrically opposite each other nor of the same size; however, the number of passenger seats permitted under paragraph (g) of this section is based on the smaller of the two exits.
(e) Uniformity. Exits must be distributed as uniformly as practical, taking into account passenger seat distribution.
(f) Location. (1) Each required passenger emergency exit must be accessible to the passengers and located where it will afford the most effective means of passenger evacuation.
(2) If only one floor-level exit per side is prescribed, and the airplane does not have a tailcone or ventral emergency exit, the floor-level exits must be in the rearward part of the passenger compartment unless another location affords a more effective means of passenger evacuation.
(3) If more than one floor-level exit per side is prescribed, and the airplane does not have a combination cargo and passenger configuration, at least one floor-level exit must be located in each side near each end of the cabin.
(4) For an airplane that is required to have more than one passenger emergency exit for each side of the fuselage, no passenger emergency exit shall be more than 60 feet from any adjacent passenger emergency exit on the same side of the same deck of the fuselage, as measured parallel to the airplane's longitudinal axis between the nearest exit edges.
(g) Type and number required. The maximum number of passenger seats permitted depends on the type and number of exits installed in each side of the fuselage. Except as further restricted in paragraphs (g)(1) through (g)(9) of this section, the maximum number of passenger seats permitted for each exit of a specific type installed in each side of the fuselage is as follows:
| Type A | 110 |
| Type B | 75 |
| Type C | 55 |
| Type I | 45 |
| Type II | 40 |
| Type III | 35 |
| Type IV | 9 |
(1) For a passenger seating configuration of 1 to 9 seats, there must be at least one Type IV or larger overwing exit in each side of the fuselage or, if overwing exits are not provided, at least one exit in each side that meets the minimum dimensions of a Type III exit.
(2) For a passenger seating configuration of more than 9 seats, each exit must be a Type III or larger exit.
(3) For a passenger seating configuration of 10 to 19 seats, there must be at least one Type III or larger exit in each side of the fuselage.
(4) For a passenger seating configuration of 20 to 40 seats, there must be at least two exits, one of which must be a Type II or larger exit, in each side of the fuselage.
(5) For a passenger seating configuration of 41 to 110 seats, there must be at least two exits, one of which must be a Type I or larger exit, in each side of the fuselage.
(6) For a passenger seating configuration of more than 110 seats, the emergency exits in each side of the fuselage must include at least two Type I or larger exits.
(7) The combined maximum number of passenger seats permitted for all Type III exits is 70, and the combined maximum number of passenger seats permitted for two Type III exits in each side of the fuselage that are separated by fewer than three passenger seat rows is 65.
(8) If a Type A, Type B, or Type C exit is installed, there must be at least two Type C or larger exits in each side of the fuselage.
(9) If a passenger ventral or tailcone exit is installed and that exit provides at least the same rate of egress as a Type III exit with the airplane in the most adverse exit opening condition that would result from the collapse of one or more legs of the landing gear, an increase in the passenger seating configuration is permitted as follows:
(i) For a ventral exit, 12 additional passenger seats.
(ii) For a tailcone exit incorporating a floor level opening of not less than 20 inches wide by 60 inches high, with corner radii not greater than seven inches, in the pressure shell and incorporating an approved assist means in accordance with § 25.810(a), 25 additional passenger seats.
(iii) For a tailcone exit incorporating an opening in the pressure shell which is at least equivalent to a Type III emergency exit with respect to dimensions, step-up and step-down distance, and with the top of the opening not less than 56 inches from the passenger compartment floor, 15 additional passenger seats.
(h) Other exits. The following exits also must meet the applicable emergency exit requirements of §§ 25.809 through 25.812, and must be readily accessible:
(1) Each emergency exit in the passenger compartment in excess of the minimum number of required emergency exits.
(2) Any other floor-level door or exit that is accessible from the passenger compartment and is as large or larger than a Type II exit, but less than 46 inches wide.
(3) Any other ventral or tail cone passenger exit.
(i) Ditching emergency exits for passengers. Whether or not ditching certification is requested, ditching emergency exits must be provided in accordance with the following requirements, unless the emergency exits required by paragraph (g) of this section already meet them:
(1) For airplanes that have a passenger seating configuration of nine or fewer seats, excluding pilot seats, one exit above the waterline in each side of the airplane, meeting at least the dimensions of a Type IV exit.
(2) For airplanes that have a passenger seating configuration of 10 of more seats, excluding pilot seats, one exit above the waterline in a side of the airplane, meeting at least the dimensions of a Type III exit for each unit (or part of a unit) of 35 passenger seats, but no less than two such exits in the passenger cabin, with one on each side of the airplane. The passenger seat/ exit ratio may be increased through the use of larger exits, or other means, provided it is shown that the evacuation capability during ditching has been improved accordingly.
(3) If it is impractical to locate side exits above the waterline, the side exits must be replaced by an equal number of readily accessible overhead hatches of not less than the dimensions of a Type III exit, except that for airplanes with a passenger configuration of 35 or fewer seats, excluding pilot seats, the two required Type III side exits need be replaced by only one overhead hatch.
(j) Flightcrew emergency exits. For airplanes in which the proximity of passenger emergency exits to the flightcrew area does not offer a convenient and readily accessible means of evacuation of the flightcrew, and for all airplanes having a passenger seating capacity greater than 20, flightcrew exits shall be located in the flightcrew area. Such exits shall be of sufficient size and so located as to permit rapid evacuation by the crew. One exit shall be provided on each side of the airplane; or, alternatively, a top hatch shall be provided. Each exit must encompass an unobstructed rectangular opening of at least 19 by 20 inches unless satisfactory exit utility can be demonstrated by a typical crewmember.
(a) Each emergency exit, including each flightcrew emergency exit, must be a moveable door or hatch in the external walls of the fuselage, allowing an unobstructed opening to the outside. In addition, each emergency exit must have means to permit viewing of the conditions outside the exit when the exit is closed. The viewing means may be on or adjacent to the exit provided no obstructions exist between the exit and the viewing means. Means must also be provided to permit viewing of the likely areas of evacuee ground contact. The likely areas of evacuee ground contact must be viewable during all lighting conditions with the landing gear extended as well as in all conditions of landing gear collapse.
(b) Each emergency exit must be openable from the inside and the outside except that sliding window emergency exits in the flight crew area need not be openable from the outside if other approved exits are convenient and readily accessible to the flight crew area. Each emergency exit must be capable of being opened, when there is no fuselage deformation—
(1) With the airplane in the normal ground attitude and in each of the attitudes corresponding to collapse of one or more legs of the landing gear; and
(2) Within 10 seconds measured from the time when the opening means is actuated to the time when the exit is fully opened.
(3) Even though persons may be crowded against the door on the inside of the airplane.
(c) The means of opening emergency exits must be simple and obvious; may not require exceptional effort; and must be arranged and marked so that it can be readily located and operated, even in darkness. Internal exit-opening means involving sequence operations (such as operation of two handles or latches, or the release of safety catches) may be used for flightcrew emergency exits if it can be reasonably established that these means are simple and obvious to crewmembers trained in their use.
(d) If a single power-boost or single power-operated system is the primary system for operating more than one exit in an emergency, each exit must be capable of meeting the requirements of paragraph (b) of this section in the event of failure of the primary system. Manual operation of the exit (after failure of the primary system) is acceptable.
(e) Each emergency exit must be shown by tests, or by a combination of analysis and tests, to meet the requirements of paragraphs (b) and (c) of this section.
(f) Each door must be located where persons using them will not be endangered by the propellers when appropriate operating procedures are used.
(g) There must be provisions to minimize the probability of jamming of the emergency exits resulting from fuselage deformation in a minor crash landing.
(h) When required by the operating rules for any large passenger-carrying turbojet-powered airplane, each ventral exit and tailcone exit must be—
(1) Designed and constructed so that it cannot be opened during flight; and
(2) Marked with a placard readable from a distance of 30 inches and installed at a conspicuous location near the means of opening the exit, stating that the exit has been designed and constructed so that it cannot be opened during flight.
(i) Each emergency exit must have a means to retain the exit in the open position, once the exit is opened in an emergency. The means must not require separate action to engage when the exit is opened, and must require positive action to disengage.
(a) Each non over-wing Type A, Type B or Type C exit, and any other non over-wing landplane emergency exit more than 6 feet from the ground with the airplane on the ground and the landing gear extended, must have an approved means to assist the occupants in descending to the ground.
(1) The assisting means for each passenger emergency exit must be a self-supporting slide or equivalent; and, in the case of Type A or Type B exits, it must be capable of carrying simultaneously two parallel lines of evacuees. In addition, the assisting means must be designed to meet the following requirements—
(i) It must be automatically deployed and deployment must begin during the interval between the time the exit opening means is actuated from inside the airplane and the time the exit is fully opened. However, each passenger emergency exit which is also a passenger entrance door or a service door must be provided with means to prevent deployment of the assisting means when it is opened from either the inside or the outside under nonemergency conditions for normal use.
(ii) Except for assisting means installed at Type C exits, it must be automatically erected within 6 seconds after deployment is begun. Assisting means installed at Type C exits must be automatically erected within 10 seconds from the time the opening means of the exit is actuated.
(iii) It must be of such length after full deployment that the lower end is self-supporting on the ground and provides safe evacuation of occupants to the ground after collapse of one or more legs of the landing gear.
(iv) It must have the capability, in 25-knot winds directed from the most critical angle, to deploy and, with the assistance of only one person, to remain usable after full deployment to evacuate occupants safely to the ground.
(v) For each system installation (mockup or airplane installed), five consecutive deployment and inflation tests must be conducted (per exit) without failure, and at least three tests of each such five-test series must be conducted using a single representative sample of the device. The sample devices must be deployed and inflated by the system's primary means after being subjected to the inertia forces specified in § 25.561(b). If any part of the system fails or does not function properly during the required tests, the cause of the failure or malfunction must be corrected by positive means and after that, the full series of five consecutive deployment and inflation tests must be conducted without failure.
(2) The assisting means for flightcrew emergency exits may be a rope or any other means demonstrated to be suitable for the purpose. If the assisting means is a rope, or an approved device equivalent to a rope, it must be—
(i) Attached to the fuselage structure at or above the top of the emergency exit opening, or, for a device at a pilot's emergency exit window, at another approved location if the stowed device, or its attachment, would reduce the pilot's view in flight;
(ii) Able (with its attachment) to withstand a 400-pound static load.
(b) Assist means from the cabin to the wing are required for each type A or Type B exit located above the wing and having a stepdown unless the exit without an assist-means can be shown to have a rate of passenger egress at least equal to that of the same type of non over-wing exit. If an assist means is required, it must be automatically deployed and automatically erected concurrent with the opening of the exit. In the case of assist means installed at Type C exits, it must be self-supporting within 10 seconds from the time the opening means of the exits is actuated. For all other exit types, it must be self-supporting 6 seconds after deployment is begun.
(c) An escape route must be established from each overwing emergency exit, and (except for flap surfaces suitable as slides) covered with a slip resistant surface. Except where a means for channeling the flow of evacuees is provided—
(1) The escape route from each Type A or Type B passenger emergency exit, or any common escape route from two Type III passenger emergency exits, must be at least 42 inches wide; that from any other passenger emergency exit must be at least 24 inches wide; and
(2) The escape route surface must have a reflectance of at least 80 percent, and must be defined by markings with a surface-to-marking contrast ratio of at least 5:1.
(d) Means must be provided to assist evacuees to reach the ground for all Type C exits located over the wing and, if the place on the airplane structure at which the escape route required in paragraph (c) of this section terminates is more than 6 feet from the ground with the airplane on the ground and the landing gear extended, for all other exit types.
(1) If the escape route is over the flap, the height of the terminal edge must be measured with the flap in the takeoff or landing position, whichever is higher from the ground.
(2) The assisting means must be usable and self-supporting with one or more landing gear legs collapsed and under a 25-knot wind directed from the most critical angle.
(3) The assisting means provided for each escape route leading from a Type A or B emergency exit must be capable of carrying simultaneously two parallel lines of evacuees; and, the assisting means leading from any other exit type must be capable of carrying as many parallel lines of evacuees as there are required escape routes.
(4) The assisting means provided for each escape route leading from a Type C exit must be automatically erected within 10 seconds from the time the opening means of the exit is actuated, and that provided for the escape route leading from any other exit type must be automatically erected within 10 seconds after actuation of the erection system.
(e) If an integral stair is installed in a passenger entry door that is qualified as a passenger emergency exit, the stair must be designed so that, under the following conditions, the effectiveness of passenger emergency egress will not be impaired:
(1) The door, integral stair, and operating mechanism have been subjected to the inertia forces specified in § 25.561(b)(3), acting separately relative to the surrounding structure.
(2) The airplane is in the normal ground attitude and in each of the attitudes corresponding to collapse of one or more legs of the landing gear.
(a) Each passenger emergency exit, its means of access, and its means of opening must be conspicuously marked.
(b) The identity and location of each passenger emergency exit must be recognizable from a distance equal to the width of the cabin.
(c) Means must be provided to assist the occupants in locating the exits in conditions of dense smoke.
(d) The location of each passenger emergency exit must be indicated by a sign visible to occupants approaching along the main passenger aisle (or aisles). There must be—
(1) A passenger emergency exit locator sign above the aisle (or aisles) near each passenger emergency exit, or at another overhead location if it is more practical because of low headroom, except that one sign may serve more than one exit if each exit can be seen readily from the sign;
(2) A passenger emergency exit marking sign next to each passenger emergency exit, except that one sign may serve two such exits if they both can be seen readily from the sign; and
(3) A sign on each bulkhead or divider that prevents fore and aft vision along the passenger cabin to indicate emergency exits beyond and obscured by the bulkhead or divider, except that if this is not possible the sign may be placed at another appropriate location.
(e) The location of the operating handle and instructions for opening exits from the inside of the airplane must be shown in the following manner:
(1) Each passenger emergency exit must have, on or near the exit, a marking that is readable from a distance of 30 inches.
(2) Each Type A, Type B, Type C or Type I passenger emergency exit operating handle must—
(i) Be self-illuminated with an initial brightness of at least 160 microlamberts; or
(ii) Be conspicuously located and well illuminated by the emergency lighting even in conditions of occupant crowding at the exit.
(3) [Reserved]
(4) Each Type A, Type B, Type C, Type I, or Type II passenger emergency exit with a locking mechanism released by rotary motion of the handle must be marked—
(i) With a red arrow, with a shaft at least three-fourths of an inch wide and a head twice the width of the shaft, extending along at least 70 degrees of arc at a radius approximately equal to three-fourths of the handle length.
(ii) So that the centerline of the exit handle is within ±1 inch of the projected point of the arrow when the handle has reached full travel and has released the locking mechanism, and
(iii) With the word “open” in red letters 1 inch high, placed horizontally near the head of the arrow.
(f) Each emergency exit that is required to be openable from the outside, and its means of opening, must be marked on the outside of the airplane. In addition, the following apply:
(1) The outside marking for each passenger emergency exit in the side of the fuselage must include a 2-inch colored band outlining the exit.
(2) Each outside marking including the band, must have color contrast to be readily distinguishable from the surrounding fuselage surface. The contrast must be such that if the reflectance of the darker color is 15 percent or less, the reflectance of the lighter color must be at least 45 percent. “Reflectance” is the ratio of the luminous flux reflected by a body to the luminous flux it receives. When the reflectance of the darker color is greater than 15 percent, at least a 30-percent difference between its reflectance and the reflectance of the lighter color must be provided.
(3) In the case of exists other than those in the side of the fuselage, such as ventral or tailcone exists, the external means of opening, including instructions if applicable, must be conspicuously marked in red, or bright chrome yellow if the background color is such that red is inconspicuous. When the opening means is located on only one side of the fuselage, a conspicuous marking to that effect must be provided on the other side.
(g) Each sign required by paragraph (d) of this section may use the word “exit” in its legend in place of the term “emergency exit”.
(a) An emergency lighting system, independent of the main lighting system, must be installed. However, the sources of general cabin illumination may be common to both the emergency and the main lighting systems if the power supply to the emergency lighting system is independent of the power supply to the main lighting system. The emergency lighting system must include:
(1) Illuminated emergency exit marking and locating signs, sources of general cabin illumination, interior lighting in emergency exit areas, and floor proximity escape path marking.
(2) Exterior emergency lighting.
(b) Emergency exit signs—
(1) For airplanes that have a passenger seating configuration, excluding pilot seats, of 10 seats or more must meet the following requirements:
(i) Each passenger emergency exit locator sign required by § 25.811(d)(1) and each passenger emergency exit marking sign required by § 25.811(d)(2) must have red letters at least 1
(ii) Each passenger emergency exit sign required by § 25.811(d)(3) must have red letters at least 1
(2) For airplanes that have a passenger seating configuration, excluding pilot seats, of nine seats or less, that are required by § 25.811(d)(1), (2), and (3) must have red letters at least 1 inch high on a white background at least 2 inches high. These signs may be internally electrically illuminated, or self-illuminated by other than electrical means, with an initial brightness of at least 160 microlamberts. The colors may be reversed in the case of a sign that is self-illuminated by other than electrical means.
(c) General illumination in the passenger cabin must be provided so that when measured along the centerline of main passenger aisle(s), and cross aisle(s) between main aisles, at seat arm-rest height and at 40-inch intervals, the average illumination is not less than 0.05 foot-candle and the illumination at each 40-inch interval is not less than 0.01 foot-candle. A main passenger aisle(s) is considered to extend along the fuselage from the most forward passenger emergency exit or cabin occupant seat, whichever is farther forward, to the most rearward passenger emergency exit or cabin occupant seat, whichever is farther aft.
(d) The floor of the passageway leading to each floor-level passenger emergency exit, between the main aisles and the exit openings, must be provided with illumination that is not less than 0.02 foot-candle measured along a line that is within 6 inches of and parallel to the floor and is centered on the passenger evacuation path.
(e) Floor proximity emergency escape path marking must provide emergency evacuation guidance for passengers when all sources of illumination more than 4 feet above the cabin aisle floor are totally obscured. In the dark of the night, the floor proximity emergency escape path marking must enable each passenger to—
(1) After leaving the passenger seat, visually identify the emergency escape path along the cabin aisle floor to the first exits or pair of exits forward and aft of the seat; and
(2) Readily identify each exit from the emergency escape path by reference only to markings and visual features not more than 4 feet above the cabin floor.
(f) Except for subsystems provided in accordance with paragraph (h) of this section that serve no more than one assist means, are independent of the airplane's main emergency lighting system, and are automatically activated when the assist means is erected, the emergency lighting system must be designed as follows.
(1) The lights must be operable manually from the flight crew station and from a point in the passenger compartment that is readily accessible to a normal flight attendant seat.
(2) There must be a flight crew warning light which illuminates when power is on in the airplane and the emergency lighting control device is not armed.
(3) The cockpit control device must have an “on,” “off,” and “armed” position so that when armed in the cockpit or turned on at either the cockpit or flight attendant station the lights will either light or remain lighted upon interruption (except an interruption caused by a transverse vertical separation of the fuselage during crash landing) of the airplane's normal electric power. There must be a means to safeguard against inadvertent operation of the control device from the “armed” or “on” positions.
(g) Exterior emergency lighting must be provided as follows:
(1) At each overwing emergency exit the illumination must be—
(i) Not less than 0.03 foot-candle (measured normal to the direction of the incident light) on a 2-square-foot area where an evacuee is likely to make his first step outside the cabin;
(ii) Not less than 0.05 foot-candle (measured normal to the direction of the incident light) for a minimum width of 42 inches for a Type A overwing emergency exit and two feet for all other overwing emergency exits along the 30 percent of the slip-resistant portion of the escape route required in § 25.810(c) that is farthest from the exit; and
(iii) Not less than 0.03 foot-candle on the ground surface with the landing gear extended (measured normal to the direction of the incident light) where an evacuee using the established escape route would normally make first contact with the ground.
(2) At each non-overwing emergency exit not required by § 25.810(a) to have descent assist means the illumination must be not less than 0.03 foot-candle (measured normal to the direction of the incident light) on the ground surface with the landing gear extended where an evacuee is likely to make first contact with the ground outside the cabin.
(h) The means required in §§ 25.810(a)(1) and (d) to assist the occupants in descending to the ground must be illuminated so that the erected assist means is visible from the airplane.
(1) If the assist means is illuminated by exterior emergency lighting, it must provide illumination of not less than 0.03 foot-candle (measured normal to the direction of the incident light) at the ground end of the erected assist means where an evacuee using the established escape route would normally make first contact with the ground, with the airplane in each of the attitudes corresponding to the collapse of one or more legs of the landing gear.
(2) If the emergency lighting subsystem illuminating the assist means serves no other assist means, is independent of the airplane's main emergency lighting system, and is automatically activated when the assist means is erected, the lighting provisions—
(i) May not be adversely affected by stowage; and
(ii) Must provide illumination of not less than 0.03 foot-candle (measured normal to the direction of incident light) at the ground and of the erected assist means where an evacuee would normally make first contact with the ground, with the airplane in each of the attitudes corresponding to the collapse of one or more legs of the landing gear.
(i) The energy supply to each emergency lighting unit must provide the required level of illumination for at least 10 minutes at the critical ambient conditions after emergency landing.
(j) If storage batteries are used as the energy supply for the emergency lighting system, they may be recharged from the airplane's main electric power system: Provided, That, the charging circuit is designed to preclude inadvertent battery discharge into charging circuit faults.
(k) Components of the emergency lighting system, including batteries, wiring relays, lamps, and switches must be capable of normal operation after having been subjected to the inertia forces listed in § 25.561(b).
(l) The emergency lighting system must be designed so that after any single transverse vertical separation of the fuselage during crash landing—
(1) Not more than 25 percent of all electrically illuminated emergency lights required by this section are rendered inoperative, in addition to the lights that are directly damaged by the separation;
(2) Each electrically illuminated exit sign required under § 25.811(d)(2) remains operative exclusive of those that are directly damaged by the separation; and
(3) At least one required exterior emergency light for each side of the airplane remains operative exclusive of those that are directly damaged by the separation.
Each required emergency exit must be accessible to the passengers and located where it will afford an effective means of evacuation. Emergency exit distribution must be as uniform as practical, taking passenger distribution into account; however, the size and location of exits on both sides of the cabin need not be symmetrical. If only one floor level exit per side is prescribed, and the airplane does not have a tailcone or ventral emergency exit, the floor level exit must be in the rearward part of the passenger compartment, unless another location affords a more effective means of passenger evacuation. Where more than one floor level exit per side is prescribed, at least one floor level exit per side must be located near each end of the cabin, except that this provision does not apply to combination cargo/passenger configurations. In addition—
(a) There must be a passageway leading from the nearest main aisle to each Type A, Type B, Type C, Type I, or Type II emergency exit and between individual passenger areas. Each passageway leading to a Type A or Type B exit must be unobstructed and at least 36 inches wide. Passageways between individual passenger areas and those leading to Type I, Type II, or Type C emergency exits must be unobstructed and at least 20 inches wide. Unless there are two or more main aisles, each Type A or B exit must be located so that there is passenger flow along the main aisle to that exit from both the forward and aft directions. If two or more main aisles are provided, there must be unobstructed cross-aisles at least 20 inches wide between main aisles. There must be—
(1) A cross-aisle which leads directly to each passageway between the nearest main aisle and a Type A or B exit; and
(2) A cross-aisle which leads to the immediate vicinity of each passageway between the nearest main aisle and a Type 1, Type II, or Type III exit; except that when two Type III exits are located within three passenger rows of each other, a single cross-aisle may be used if it leads to the vicinity between the passageways from the nearest main aisle to each exit.
(b) Adequate space to allow crewmember(s) to assist in the evacuation of passengers must be provided as follows:
(1) Each assist space must be a rectangle on the floor, of sufficient size to enable a crewmember, standing erect, to effectively assist evacuees. The assist space must not reduce the unobstructed width of the passageway below that required for the exit.
(2) For each Type A or B exit, assist space must be provided at each side of the exit regardless of whether an assist means is required by § 25.810(a).
(3) For each Type C, I or II exit installed in an airplane with seating for more than 80 passengers, an assist space must be provided at one side of the passageway regardless of whether an assist means is required by § 25.810(a).
(4) For each Type C, I or II exit, an assist space must be provided at one side of the passageway if an assist means is required by § 25.810(a).
(5) For any tailcone exit that qualifies for 25 additional passenger seats under the provisions of § 25.807(g)(9)(ii), an assist space must be provided, if an assist means is required by § 25.810(a).
(6) There must be a handle, or handles, at each assist space, located to enable the crewmember to steady himself or herself:
(i) While manually activating the assist means (where applicable) and,
(ii) While assisting passengers during an evacuation.
(c) The following must be provided for each Type III or Type IV exit—(1) There must be access from the nearest aisle to each exit. In addition, for each Type III exit in an airplane that has a passenger seating configuration of 60 or more—
(i) Except as provided in paragraph (c)(1)(ii), the access must be provided by an unobstructed passageway that is at least 10 inches in width for interior arrangements in which the adjacent seat rows on the exit side of the aisle contain no more than two seats, or 20 inches in width for interior arrangements in which those rows contain three seats. The width of the passageway must be measured with adjacent seats adjusted to their most adverse position. The centerline of the required passageway width must not be displaced more than 5 inches horizontally from that of the exit.
(ii) In lieu of one 10- or 20-inch passageway, there may be two passageways, between seat rows only, that must be at least 6 inches in width and lead to an unobstructed space adjacent to each exit. (Adjacent exits must not share a common passageway.) The width of the passageways must be measured with adjacent seats adjusted to their most adverse position. The unobstructed space adjacent to the exit must extend vertically from the floor to the ceiling (or bottom of sidewall stowage bins), inboard from the exit for a distance not less than the width of the narrowest passenger seat installed on the airplane, and from the forward edge of the forward passageway to the aft edge of the aft passageway. The exit opening must be totally within the fore and aft bounds of the unobstructed space.
(2) In addition to the access—
(i) For airplanes that have a passenger seating configuration of 20 or more, the projected opening of the exit provided must not be obstructed and there must be no interference in opening the exit by seats, berths, or other protrusions (including any seatback in the most adverse position) for a distance from that exit not less than the width of the narrowest passenger seat installed on the airplane.
(ii) For airplanes that have a passenger seating configuration of 19 or fewer, there may be minor obstructions in this region, if there are compensating factors to maintain the effectiveness of the exit.
(3) For each Type III exit, regardless of the passenger capacity of the airplane in which it is installed, there must be placards that—
(i) Are readable by all persons seated adjacent to and facing a passageway to the exit;
(ii) Accurately state or illustrate the proper method of opening the exit, including the use of handholds; and
(iii) If the exit is a removable hatch, state the weight of the hatch and indicate an appropriate location to place the hatch after removal.
(d) If it is necessary to pass through a passageway between passenger compartments to reach any required emergency exit from any seat in the passenger cabin, the passageway must be unobstructed. However, curtains may be used if they allow free entry through the passageway.
(e) No door may be installed between any passenger seat that is occupiable for takeoff and landing and any passenger emergency exit, such that the door crosses any egress path (including aisles, crossaisles and passageways).
(f) If it is necessary to pass through a doorway separating any crewmember seat (except those seats on the flightdeck), occupiable for takeoff and landing, from any emergency exit, the door must have a means to latch it in the open position. The latching means must be able to withstand the loads imposed upon it when the door is subjected to the ultimate inertia forces, relative to the surrounding structure, listed in § 25.561(b).
The passenger aisle width at any point between seats must equal or exceed the values in the following table:
| Passenger seating capacity | Minimum passenger aisle width (inches) | |
|---|---|---|
| Less than 25 in. from floor | 25 in. and more from floor | |
| 10 or less | 1 12 | 15 |
| 11 through 19 | 12 | 20 |
| 20 or more | 15 | 20 |
1 A narrower width not less than 9 inches may be approved when substantiated by tests found necessary by the Administrator.
On airplanes having only one passenger aisle, no more than three seats abreast may be placed on each side of the aisle in any one row.
For airplanes with a service compartment located below the main deck, which may be occupied during taxi or flight but not during takeoff or landing, the following apply:
(a) There must be at least two emergency evacuation routes, one at each end of each lower deck service compartment or two having sufficient separation within each compartment, which could be used by each occupant of the lower deck service compartment to rapidly evacuate to the main deck under normal and emergency lighting conditions. The routes must provide for the evacuation of incapacitated persons, with assistance. The use of the evacuation routes may not be dependent on any powered device. The routes must be designed to minimize the possibility of blockage which might result from fire, mechanical or structural failure, or persons standing on top of or against the escape routes. In the event the airplane's main power system or compartment main lighting system should fail, emergency illumination for each lower deck service compartment must be automatically provided.
(b) There must be a means for two-way voice communication between the flight deck and each lower deck service compartment, which remains available following loss of normal electrical power generating system.
(c) There must be an aural emergency alarm system, audible during normal and emergency conditions, to enable crewmembers on the flight deck and at each required floor level emergency exit to alert occupants of each lower deck service compartment of an emergency situation.
(d) There must be a means, readily detectable by occupants of each lower deck service compartment, that indicates when seat belts should be fastened.
(e) If a public address system is installed in the airplane, speakers must be provided in each lower deck service compartment.
(f) For each occupant permitted in a lower deck service compartment, there must be a forward or aft facing seat which meets the requirements of § 25.785(d), and must be able to withstand maximum flight loads when occupied.
(g) For each powered lift system installed between a lower deck service compartment and the main deck for the carriage of persons or equipment, or both, the system must meet the following requirements:
(1) Each lift control switch outside the lift, except emergency stop buttons, must be designed to prevent the activation of the life if the lift door, or the hatch required by paragraph (g)(3) of this section, or both are open.
(2) An emergency stop button, that when activated will immediately stop the lift, must be installed within the lift and at each entrance to the lift.
(3) There must be a hatch capable of being used for evacuating persons from the lift that is openable from inside and outside the lift without tools, with the lift in any position.
All lavatory doors must be designed to preclude anyone from becoming trapped inside the lavatory. If a locking mechanism is installed, it must be capable of being unlocked from the outside without the aid of special tools.
(a) Under normal operating conditions and in the event of any probable failure conditions of any system which would adversely affect the ventilating air, the ventilation system must be designed to provide a sufficient amount of uncontaminated air to enable the crewmembers to perform their duties without undue discomfort or fatigue and to provide reasonable passenger comfort. For normal operating conditions, the ventilation system must be designed to provide each occupant with an airflow containing at least 0.55 pounds of fresh air per minute.
(b) Crew and passenger compartment air must be free from harmful or hazardous concentrations of gases or vapors. In meeting this requirement, the following apply:
(1) Carbon monoxide concentrations in excess of 1 part in 20,000 parts of air are considered hazardous. For test purposes, any acceptable carbon monoxide detection method may be used.
(2) Carbon dioxide concentration during flight must be shown not to exceed 0.5 percent by volume (sea level equivalent) in compartments normally occupied by passengers or crewmembers.
(c) There must be provisions made to ensure that the conditions prescribed in paragraph (b) of this section are met after reasonably probable failures or malfunctioning of the ventilating, heating, pressurization, or other systems and equipment.
(d) If accumulation of hazardous quantities of smoke in the cockpit area is reasonably probable, smoke evacuation must be readily accomplished, starting with full pressurization and without depressurizing beyond safe limits.
(e) Except as provided in paragraph (f) of this section, means must be provided to enable the occupants of the following compartments and areas to control the temperature and quantity of ventilating air supplied to their compartment or area independently of the temperature and quantity of air supplied to other compartments and areas:
(1) The flight crew compartment.
(2) Crewmember compartments and areas other than the flight crew compartment unless the crewmember compartment or area is ventilated by air interchange with other compartments or areas under all operating conditions.
(f) Means to enable the flight crew to control the temperature and quantity of ventilating air supplied to the flight crew compartment independently of the temperature and quantity of ventilating air supplied to other compartments are not required if all of the following conditions are met:
(1) The total volume of the flight crew and passenger compartments is 800 cubic feet or less.
(2) The air inlets and passages for air to flow between flight crew and passenger compartments are arranged to provide compartment temperatures within 5 degrees F. of each other and adequate ventilation to occupants in both compartments.
(3) The temperature and ventilation controls are accessible to the flight crew.
(g) The exposure time at any given temperature must not exceed the values shown in the following graph after any improbable failure condition.
(a) The airplane cabin ozone concentration during flight must be shown not to exceed—
(1) 0.25 parts per million by volume, sea level equivalent, at any time above flight level 320; and
(2) 0.1 parts per million by volume, sea level equivalent, time-weighted average during any 3-hour interval above flight level 270.
(b) For the purpose of this section, “sea level equivalent” refers to conditions of 25 °C and 760 millimeters of mercury pressure.
(c) Compliance with this section must be shown by analysis or tests based on airplane operational procedures and performance limitations, that demonstrate that either—
(1) The airplane cannot be operated at an altitude which would result in cabin ozone concentrations exceeding the limits prescribed by paragraph (a) of this section; or
(2) The airplane ventilation system, including any ozone control equipment, will maintain cabin ozone concentrations at or below the limits prescribed by paragraph (a) of this section.
Combustion heaters must be approved.
(a) Except as provided in paragraph (c) of this section, pressurized cabins and compartments to be occupied must be equipped to provide a cabin pressure altitude of not more than 8,000 feet under normal operating conditions.
(1) If certification for operation above 25,000 feet is requested, the airplane must be designed so that occupants will not be exposed to cabin pressure altitudes in excess of 15,000 feet after any probable failure condition in the pressurization system except as provided in paragraph (c) of this section.
(2) The airplane must be designed so that occupants will not be exposed to a cabin pressure altitude that exceeds the following after decompression from any failure condition not shown to be extremely improbable:
(i) Twenty-five thousand (25,000) feet for more than 2 minutes; or
(ii) Forty thousand (40,000) feet for any duration.
(3) Fuselage structure, engine and system failures are to be considered in evaluating the cabin decompression.
(b) Pressurized cabins must have at least the following valves, controls, and indicators for controlling cabin pressure:
(1) Two pressure relief valves to automatically limit the positive pressure differential to a predetermined value at the maximum rate of flow delivered by the pressure source. The combined capacity of the relief valves must be large enough so that the failure of any one valve would not cause an appreciable rise in the pressure differential. The pressure differential is positive when the internal pressure is greater than the external.
(2) Two reverse pressure differential relief valves (or their equivalents) to automatically prevent a negative pressure differential that would damage the structure. One valve is enough, however, if it is of a design that reasonably precludes its malfunctioning.
(3) A means by which the pressure differential can be rapidly equalized.
(4) An automatic or manual regulator for controlling the intake or exhaust airflow, or both, for maintaining the required internal pressures and airflow rates.
(5) Instruments at the pilot or flight engineer station to show the pressure differential, the cabin pressure altitude, and the rate of change of the cabin pressure altitude.
(6) Warning indication to the flightcrew when the safe or preset pressure differential or cabin pressure altitude limit is exceeded. Appropriate warning markings on the cabin pressure differential indicator meet the warning requirement for pressure differential limits. An alert meets the warning requirement for cabin pressure altitude limits if it warns the flightcrew when the cabin pressure altitude exceeds 10,000 feet, except as provided in paragraph (d) of this section.
(7) A warning placard at the pilot or flight engineer station if the structure is not designed for pressure differentials up to the maximum relief valve setting in combination with landing loads.
(8) The pressure sensors necessary to meet the requirements of paragraphs (b)(5) and (b)(6) of this section and § 25.1447(c), must be located and the sensing system designed so that, in the event of loss of cabin pressure in any passenger or crew compartment (including upper and lower lobe galleys), the warning and automatic presentation devices, required by those provisions, will be actuated without any delay that would significantly increase the hazards resulting from decompression.
(c) When operating into or out of airports with elevations at or above 8,000 feet, the cabin pressure altitude in pressurized cabins and occupied compartments may be up to, or greater than, the airport elevation by 2,000 feet, provided—
(1) In the event of probable failure conditions of the cabin pressurization system, the cabin pressure altitude must not exceed 15,000 feet, or 2,000 feet above the airport elevation, whichever is higher; and
(2) The cabin pressurization system is designed to minimize the time in flight that occupants may be exposed to cabin pressure altitudes exceeding 8,000 feet.
(d) When operating into or out of airports with elevations at or above 8,000 feet, the cabin pressure high altitude warning alert may be provided at up to 15,000 feet, or 2,000 feet above the airplane's maximum takeoff and landing altitude, whichever is greater, provided:
(1) During landing, the change in cabin pressure high altitude warning alert may not occur before the start of descent into the high elevation airport and, following takeoff, the cabin pressure high altitude warning alert must be reset to 10,000 feet before beginning cruise operation;
(2) Indication is provided to the flightcrew that the cabin pressure high altitude warning alert has shifted above 10,000 feet cabin pressure altitude; and
(3) Either an alerting system is installed that notifies the flightcrew members on flight deck duty when to don oxygen in accordance with the applicable operating regulations, or a limitation is provided in the airplane flight manual that requires the pilot flying the airplane to don oxygen when the cabin pressure altitude warning has shifted above 10,000 feet, and requires other flightcrew members on flight deck duty to monitor the cabin pressure and utilize oxygen in accordance with the applicable operating regulations.
(a) Strength test. The complete pressurized cabin, including doors, windows, and valves, must be tested as a pressure vessel for the pressure differential specified in § 25.365(d).
(b) Functional tests. The following functional tests must be performed:
(1) Tests of the functioning and capacity of the positive and negative pressure differential valves, and of the emergency release valve, to stimulate the effects of closed regulator valves.
(2) Tests of the pressurization system to show proper functioning under each possible condition of pressure, temperature, and moisture, up to the maximum altitude for which certification is requested.
(3) Flight tests, to show the performance of the pressure supply, pressure and flow regulators, indicators, and warning signals, in steady and stepped climbs and descents at rates corresponding to the maximum attainable within the operating limitations of the airplane, up to the maximum altitude for which certification is requested.
(4) Tests of each door and emergency exit, to show that they operate properly after being subjected to the flight tests prescribed in paragraph (b)(3) of this section.
(a) Hand fire extinguishers. (1) The following minimum number of hand fire extinguishers must be conveniently located and evenly distributed in passenger compartments:
| Passenger capacity | No. of extinguishers |
|---|---|
| 7 through 30 | 1 |
| 31 through 60 | 2 |
| 61 through 200 | 3 |
| 201 through 300 | 4 |
| 301 through 400 | 5 |
| 401 through 500 | 6 |
| 501 through 600 | 7 |
| 601 through 700 | 8 |
(2) At least one hand fire extinguisher must be conveniently located in the pilot compartment.
(3) At least one readily accessible hand fire extinguisher must be available for use in each Class A or Class B cargo or baggage compartment and in each Class E or Class F cargo or baggage compartment that is accessible to crewmembers in flight.
(4) At least one hand fire extinguisher must be located in, or readily accessible for use in, each galley located above or below the passenger compartment.
(5) Each hand fire extinguisher must be approved.
(6) At least one of the required fire extinguishers located in the passenger compartment of an airplane with a passenger capacity of at least 31 and not more than 60, and at least two of the fire extinguishers located in the passenger compartment of an airplane with a passenger capacity of 61 or more must contain Halon 1211 (bromochlorodifluoromethane CBrC
(7) The quantity of extinguishing agent used in each extinguisher required by this section must be appropriate for the kinds of fires likely to occur where used.
(8) Each extinguisher intended for use in a personnel compartment must be designed to minimize the hazard of toxic gas concentration.
(b) Built-in fire extinguishers. If a built-in fire extinguisher is provided—
(1) Each built-in fire extinguishing system must be installed so that—
(i) No extinguishing agent likely to enter personnel compartments will be hazardous to the occupants; and
(ii) No discharge of the extinguisher can cause structural damage.
(2) The capacity of each required built-in fire extinguishing system must be adequate for any fire likely to occur in the compartment where used, considering the volume of the compartment and the ventilation rate. The capacity of each system is adequate if there is sufficient quantity of agent to extinguish the fire or suppress the fire anywhere baggage or cargo is placed within the cargo compartment for the duration required to land and evacuate the airplane.
For each compartment occupied by the crew or passengers, the following apply:
(a) Materials (including finishes or decorative surfaces applied to the materials) must meet the applicable test criteria prescribed in part I of appendix F of this part, or other approved equivalent methods, regardless of the passenger capacity of the airplane.
(b) [Reserved]
(c) In addition to meeting the requirements of paragraph (a) of this section, seat cushions, except those on flight crewmember seats, must meet the test requirements of part II of appendix F of this part, or other equivalent methods, regardless of the passenger capacity of the airplane.
(d) Except as provided in paragraph (e) of this section, the following interior components of airplanes with passenger capacities of 20 or more must also meet the test requirements of parts IV and V of appendix F of this part, or other approved equivalent method, in addition to the flammability requirements prescribed in paragraph (a) of this section:
(1) Interior ceiling and wall panels, other than lighting lenses and windows;
(2) Partitions, other than transparent panels needed to enhance cabin safety;
(3) Galley structure, including exposed surfaces of stowed carts and standard containers and the cavity walls that are exposed when a full complement of such carts or containers is not carried; and
(4) Large cabinets and cabin stowage compartments, other than underseat stowage compartments for stowing small items such as magazines and maps.
(e) The interiors of compartments, such as pilot compartments, galleys, lavatories, crew rest quarters, cabinets and stowage compartments, need not meet the standards of paragraph (d) of this section, provided the interiors of such compartments are isolated from the main passenger cabin by doors or equivalent means that would normally be closed during an emergency landing condition.
(f) Smoking is not allowed in lavatories. If smoking is allowed in any area occupied by the crew or passengers, an adequate number of self-contained, removable ashtrays must be provided in designated smoking sections for all seated occupants.
(g) Regardless of whether smoking is allowed in any other part of the airplane, lavatories must have self-contained, removable ashtrays located conspicuously on or near the entry side of each lavatory door, except that one ashtray may serve more than one lavatory door if the ashtray can be seen readily from the cabin side of each lavatory served.
(h) Each receptacle used for the disposal of flammable waste material must be fully enclosed, constructed of at least fire resistant materials, and must contain fires likely to occur in it under normal use. The capability of the receptacle to contain those fires under all probable conditions of wear, misalignment, and ventilation expected in service must be demonstrated by test.
For airplanes with a passenger capacity of 20 or more:
(a) Each lavatory must be equipped with a smoke detector system or equivalent that provides a warning light in the cockpit, or provides a warning light or audible warning in the passenger cabin that would be readily detected by a flight attendant; and
(b) Each lavatory must be equipped with a built-in fire extinguisher for each disposal receptacle for towels, paper, or waste, located within the lavatory. The extinguisher must be designed to discharge automatically into each disposal receptacle upon occurrence of a fire in that receptacle.
For each cargo or baggage compartment, the following apply:
(a) The compartment must meet one of the class requirements of § 25.857.
(b) Each of the following cargo or baggage compartments, as defined in § 25.857, must have a liner that is separate from, but may be attached to, the airplane structure:
(1) Any Class B through Class E cargo or baggage compartment, and
(2) Any Class F cargo or baggage compartment, unless other means of containing a fire and protecting critical systems and structure are provided.
(c) Ceiling and sidewall liner panels of Class C cargo or baggage compartments, and ceiling and sidewall liner panels in Class F cargo or baggage compartments, if installed to meet the requirements of paragraph (b)(2) of this section, must meet the test requirements of part III of appendix F of this part or other approved equivalent methods.
(d) All other materials used in the construction of the cargo or baggage compartment must meet the applicable test criteria prescribed in part I of appendix F of this part or other approved equivalent methods.
(e) No compartment may contain any controls, lines, equipment, or accessories whose damage or failure would affect safe operation, unless those items are protected so that—
(1) They cannot be damaged by the movement of cargo in the compartment, and
(2) Their breakage or failure will not create a fire hazard.
(f) There must be means to prevent cargo or baggage from interfering with the functioning of the fire protective features of the compartment.
(g) Sources of heat within the compartment must be shielded and insulated to prevent igniting the cargo or baggage.
(h) Flight tests must be conducted to show compliance with the provisions of § 25.857 concerning—
(1) Compartment accessibility,
(2) The entries of hazardous quantities of smoke or extinguishing agent into compartments occupied by the crew or passengers, and
(3) The dissipation of the extinguishing agent in all Class C compartments and, if applicable, in any Class F compartments.
(i) During the above tests, it must be shown that no inadvertent operation of smoke or fire detectors in any compartment would occur as a result of fire contained in any other compartment, either during or after extinguishment, unless the extinguishing system floods each such compartment simultaneously.
(j) Cargo or baggage compartment electrical wiring interconnection system components must meet the requirements of § 25.1721.
(a) Thermal/acoustic insulation material installed in the fuselage must meet the flame propagation test requirements of part VI of Appendix F to this part, or other approved equivalent test requirements. This requirement does not apply to “small parts,” as defined in part I of Appendix F of this part.
(b) For airplanes with a passenger capacity of 20 or greater, thermal/acoustic insulation materials (including the means of fastening the materials to the fuselage) installed in the lower half of the airplane fuselage must meet the flame penetration resistance test requirements of part VII of Appendix F to this part, or other approved equivalent test requirements. This requirement does not apply to thermal/acoustic insulation installations that the FAA finds would not contribute to fire penetration resistance.
(a) Class A; A Class A cargo or baggage compartment is one in which—
(1) The presence of a fire would be easily discovered by a crewmember while at his station; and
(2) Each part of the compartment is easily accessible in flight.
(b) Class B. A Class B cargo or baggage compartment is one in which—
(1) There is sufficient access in flight to enable a crewmember, standing at any one access point and without stepping into the compartment, to extinguish a fire occurring in any part of the compartment using a hand fire extinguisher;
(2) When the access provisions are being used, no hazardous quantity of smoke, flames, or extinguishing agent, will enter any compartment occupied by the crew or passengers;
(3) There is a separate approved smoke detector or fire detector system to give warning at the pilot or flight engineer station.
(c) Class C. A Class C cargo or baggage compartment is one not meeting the requirements for either a Class A or B compartment but in which—
(1) There is a separate approved smoke detector or fire detector system to give warning at the pilot or flight engineer station;
(2) There is an approved built-in fire extinguishing or suppression system controllable from the cockpit.
(3) There are means to exclude hazardous quantities of smoke, flames, or extinguishing agent, from any compartment occupied by the crew or passengers;
(4) There are means to control ventilation and drafts within the compartment so that the extinguishing agent used can control any fire that may start within the compartment.
(d) [Reserved]
(e) Class E. A Class E cargo compartment is one on airplanes used only for the carriage of cargo and in which—
(1) [Reserved]
(2) There is a separate approved smoke or fire detector system to give warning at the pilot or flight engineer station;
(3) There are means to shut off the ventilating airflow to, or within, the compartment, and the controls for these means are accessible to the flight crew in the crew compartment;
(4) There are means to exclude hazardous quantities of smoke, flames, or noxious gases, from the flight crew compartment; and
(5) The required crew emergency exits are accessible under any cargo loading condition.
(f) Class F. A Class F cargo or baggage compartment must be located on the main deck and is one in which—
(1) There is a separate approved smoke detector or fire detector system to give warning at the pilot or flight engineer station;
(2) There are means to extinguish or control a fire without requiring a crewmember to enter the compartment; and
(3) There are means to exclude hazardous quantities of smoke, flames, or extinguishing agent from any compartment occupied by the crew or passengers.
If certification with cargo or baggage compartment smoke or fire detection provisions is requested, the following must be met for each cargo or baggage compartment with those provisions:
(a) The detection system must provide a visual indication to the flight crew within one minute after the start of a fire.
(b) The system must be capable of detecting a fire at a temperature significantly below that at which the structural integrity of the airplane is substantially decreased.
(c) There must be means to allow the crew to check in flight, the functioning of each fire detector circuit.
(d) The effectiveness of the detection system must be shown for all approved operating configurations and conditions.
(a) Combustion heater fire zones. The following combustion heater fire zones must be protected from fire in accordance with the applicable provisions of §§ 25.1181 through 25.1191 and §§ 25.1195 through 25.1203;
(1) The region surrounding the heater, if this region contains any flammable fluid system components (excluding the heater fuel system), that could—
(i) Be damaged by heater malfunctioning; or
(ii) Allow flammable fluids or vapors to reach the heater in case of leakage.
(2) The region surrounding the heater, if the heater fuel system has fittings that, if they leaked, would allow fuel or vapors to enter this region.
(3) The part of the ventilating air passage that surrounds the combustion chamber. However, no fire extinguishment is required in cabin ventilating air passages.
(b) Ventilating air ducts. Each ventilating air duct passing through any fire zone must be fireproof. In addition—
(1) Unless isolation is provided by fireproof valves or by equally effective means, the ventilating air duct downstream of each heater must be fireproof for a distance great enough to ensure that any fire originating in the heater can be contained in the duct; and
(2) Each part of any ventilating duct passing through any region having a flammable fluid system must be constructed or isolated from that system so that the malfunctioning of any component of that system cannot introduce flammable fluids or vapors into the ventilating airstream.
(c) Combustion air ducts. Each combustion air duct must be fireproof for a distance great enough to prevent damage from backfiring or reverse flame propagation. In addition—
(1) No combustion air duct may have a common opening with the ventilating airstream unless flames from backfires or reverse burning cannot enter the ventilating airstream under any operating condition, including reverse flow or malfunctioning of the heater or its associated components; and
(2) No combustion air duct may restrict the prompt relief of any backfire that, if so restricted, could cause heater failure.
(d) Heater controls; general. Provision must be made to prevent the hazardous accumulation of water or ice on or in any heater control component, control system tubing, or safety control.
(e) Heater safety controls. For each combustion heater there must be the following safety control means:
(1) Means independent of the components provided for the normal continuous control of air temperature, airflow, and fuel flow must be provided, for each heater, to automatically shut off the ignition and fuel supply to that heater at a point remote from that heater when any of the following occurs:
(i) The heat exchanger temperature exceeds safe limits.
(ii) The ventilating air temperature exceeds safe limits.
(iii) The combustion airflow becomes inadequate for safe operation.
(iv) The ventilating airflow becomes inadequate for safe operation.
(2) The means of complying with paragraph (e)(1) of this section for any individual heater must—
(i) Be independent of components serving any other heater whose heat output is essential for safe operation; and
(ii) Keep the heater off until restarted by the crew.
(3) There must be means to warn the crew when any heater whose heat output is essential for safe operation has been shut off by the automatic means prescribed in paragraph (e)(1) of this section.
(f) Air intakes. Each combustion and ventilating air intake must be located so that no flammable fluids or vapors can enter the heater system under any operating condition—
(1) During normal operation; or
(2) As a result of the malfunctioning of any other component.
(g) Heater exhaust. Heater exhaust systems must meet the provisions of §§ 25.1121 and 25.1123. In addition, there must be provisions in the design of the heater exhaust system to safely expel the products of combustion to prevent the occurrence of—
(1) Fuel leakage from the exhaust to surrounding compartments;
(2) Exhaust gas impingement on surrounding equipment or structure;
(3) Ignition of flammable fluids by the exhaust, if the exhaust is in a compartment containing flammable fluid lines; and
(4) Restriction by the exhaust of the prompt relief of backfires that, if so restricted, could cause heater failure.
(h) Heater fuel systems. Each heater fuel system must meet each powerplant fuel system requirement affecting safe heater operation. Each heater fuel system component within the ventilating airstream must be protected by shrouds so that no leakage from those components can enter the ventilating airstream.
(i) Drains. There must be means to safely drain fuel that might accumulate within the combustion chamber or the heat exchanger. In addition—
(1) Each part of any drain that operates at high temperatures must be protected in the same manner as heater exhausts; and
(2) Each drain must be protected from hazardous ice accumulation under any operating condition.
(a) In each area where flammable fluids or vapors might escape by leakage of a fluid system, there must be means to minimize the probability of ignition of the fluids and vapors, and the resultant hazards if ignition does occur.
(b) Compliance with paragraph (a) of this section must be shown by analysis or tests, and the following factors must be considered:
(1) Possible sources and paths of fluid leakage, and means of detecting leakage.
(2) Flammability characteristics of fluids, including effects of any combustible or absorbing materials.
(3) Possible ignition sources, including electrical faults, overheating of equipment, and malfunctioning of protective devices.
(4) Means available for controlling or extinguishing a fire, such as stopping flow of fluids, shutting down equipment, fireproof containment, or use of extinguishing agents.
(5) Ability of airplane components that are critical to safety of flight to withstand fire and heat.
(c) If action by the flight crew is required to prevent or counteract a fluid fire (e.g., equipment shutdown or actuation of a fire extinguisher) quick acting means must be provided to alert the crew.
(d) Each area where flammable fluids or vapors might escape by leakage of a fluid system must be identified and defined.
Essential flight controls, engine mounts, and other flight structures located in designated fire zones or in adjacent areas which would be subjected to the effects of fire in the fire zone must be constructed of fireproof material or shielded so that they are capable of withstanding the effects of fire.
(a) Surfaces to the rear of the nacelles, within one nacelle diameter of the nacelle centerline, must be at least fire-resistant.
(b) Paragraph (a) of this section does not apply to tail surfaces to the rear of the nacelles that could not be readily affected by heat, flames, or sparks coming from a designated fire zone or engine compartment of any nacelle.
(a) Electrical system components:
(1) Components of the electrical system must meet the applicable fire and smoke protection requirements of §§ 25.831(c) and 25.863.
(2) Equipment that is located in designated fire zones and is used during emergency procedures must be at least fire resistant.
(3) EWIS components must meet the requirements of § 25.1713.
(b) Each vacuum air system line and fitting on the discharge side of the pump that might contain flammable vapors or fluids must meet the requirements of § 25.1183 if the line or fitting is in a designated fire zone. Other vacuum air systems components in designated fire zones must be at least fire resistant.
(c) Oxygen equipment and lines must—
(1) Not be located in any designated fire zone,
(2) Be protected from heat that may be generated in, or escape from, any designated fire zone, and
(3) Be installed so that escaping oxygen cannot cause ignition of grease, fluid, or vapor accumulations that are present in normal operation or as a result of failure or malfunction of any system.
There must be means for determining when the airplane is in a level position on the ground.
(a) Each part of the airplane near the propeller tips must be strong and stiff enough to withstand the effects of the induced vibration and of ice thrown from the propeller.
(b) No window may be near the propeller tips unless it can withstand the most severe ice impact likely to occur.
(a) Electrical bonding and protection against static electricity must be designed to minimize accumulation of electrostatic charge that would cause—
(1) Human injury from electrical shock,
(2) Ignition of flammable vapors, or
(3) Interference with installed electrical/electronic equipment.
(b) Compliance with paragraph (a) of this section may be shown by—
(1) Bonding the components properly to the airframe; or
(2) Incorporating other acceptable means to dissipate the static charge so as not to endanger the airplane, personnel, or operation of the installed electrical/electronic systems.
(a) For the purpose of this part, the airplane powerplant installation includes each component that—
(1) Is necessary for propulsion;
(2) Affects the control of the major propulsive units; or
(3) Affects the safety of the major propulsive units between normal inspections or overhauls.
(b) For each powerplant—
(1) The installation must comply with—
(i) The installation instructions provided under §§ 33.5 and 35.3 of this chapter; and
(ii) The applicable provisions of this subpart;
(2) The components of the installation must be constructed, arranged, and installed so as to ensure their continued safe operation between normal inspections or overhauls;
(3) The installation must be accessible for necessary inspections and maintenance; and
(4) The major components of the installation must be electrically bonded to the other parts of the airplane.
(c) For each powerplant and auxiliary power unit installation, the applicant must comply with the requirements of § 25.1309, except that the effects of the following failures need not comply with § 25.1309(b)—
(1) Engine case burn-through or rupture,
(2) Uncontained engine rotor failure, and
(3) Propeller debris release.
(d) Each auxiliary power unit installation must meet the applicable provisions of this subpart.
(a) Engine type certificate. (1) Each engine must have a type certificate and must meet the applicable requirements of part 34 of this chapter.
(2) Each turbine engine must comply with one of the following:
(i) Sections 33.76, 33.77 and 33.78 of this chapter in effect on December 13, 2000, or as subsequently amended; or
(ii) Sections 33.77 and 33.78 of this chapter in effect on April 30, 1998, or as subsequently amended before December 13, 2000; or
(iii) Comply with § 33.77 of this chapter in effect on October 31, 1974, or as subsequently amended prior to April 30, 1998, unless that engine's foreign object ingestion service history has resulted in an unsafe condition; or
(iv) Be shown to have a foreign object ingestion service history in similar installation locations which has not resulted in any unsafe condition.
§ 33.77 of this chapter in effect on October 31, 1974, was published in 14 CFR parts 1 to 59, Revised as of January 1, 1975. See 39 FR 35467, October 1, 1974.
(3) Each turbine engine must comply with one of the following paragraphs:
(i) Section 33.68 of this chapter in effect on January 5, 2015, or as subsequently amended; or
(ii) Section 33.68 of this chapter in effect on March 26, 1984, or as subsequently amended before January 5, 2015, unless that engine's ice accumulation service history has resulted in an unsafe condition; or
(iii) Section 33.68 of this chapter in effect on October 31, 1974, or as subsequently amended prior to February 23, 1984, unless that engine's ice accumulation service history has resulted in an unsafe condition; or
(iv) Be shown to have an ice accumulation service history in similar installation locations which has not resulted in any unsafe conditions.
(b) Engine isolation. The powerplants must be arranged and isolated from each other to allow operation, in at least one configuration, so that the failure or malfunction of any engine, or of any system that can affect the engine, will not—
(1) Prevent the continued safe operation of the remaining engines; or
(2) Require immediate action by any crewmember for continued safe operation.
(c) Control of engine rotation. There must be means for stopping the rotation of any engine individually in flight, except that, for turbine engine installations, the means for stopping the rotation of any engine need be provided only where continued rotation could jeopardize the safety of the airplane. Each component of the stopping system on the engine side of the firewall that might be exposed to fire must be at least fire-resistant. If hydraulic propeller feathering systems are used for this purpose, the feathering lines must be at least fire resistant under the operating conditions that may be expected to exist during feathering.
(d) Turbine engine installations. For turbine engine installations—
(1) Design precautions must be taken to minimize the hazards to the airplane in the event of an engine rotor failure or of a fire originating within the engine which burns through the engine case.
(2) The powerplant systems associated with engine control devices, systems, and instrumentation, must be designed to give reasonable assurance that those engine operating limitations that adversely affect turbine rotor structural integrity will not be exceeded in service.
(e) Restart capability. (1) Means to restart any engine in flight must be provided.
(2) An altitude and airspeed envelope must be established for in-flight engine restarting, and each engine must have a restart capability within that envelope.
(3) For turbine engine powered airplanes, if the minimum windmilling speed of the engines, following the inflight shutdown of all engines, is insufficient to provide the necessary electrical power for engine ignition, a power source independent of the engine-driven electrical power generating system must be provided to permit in-flight engine ignition for restarting.
(f) Auxiliary Power Unit. Each auxiliary power unit must be approved or meet the requirements of the category for its intended use.
Each applicant seeking approval for installation of an engine power control system that automatically resets the power or thrust on the operating engine(s) when any engine fails during the takeoff must comply with the requirements of appendix I of this part.
(a) Each propeller must have a type certificate.
(b) Engine power and propeller shaft rotational speed may not exceed the limits for which the propeller is certificated.
(c) The propeller blade pitch control system must meet the requirements of §§ 35.21, 35.23, 35.42 and 35.43 of this chapter.
(d) Design precautions must be taken to minimize the hazards to the airplane in the event a propeller blade fails or is released by a hub failure. The hazards which must be considered include damage to structure and vital systems due to impact of a failed or released blade and the unbalance created by such failure or release.
This section does not apply to fixed-pitch wood propellers of conventional design.
(a) The applicant must determine the magnitude of the propeller vibration stresses or loads, including any stress peaks and resonant conditions, throughout the operational envelope of the airplane by either:
(1) Measurement of stresses or loads through direct testing or analysis based on direct testing of the propeller on the airplane and engine installation for which approval is sought; or
(2) Comparison of the propeller to similar propellers installed on similar airplane installations for which these measurements have been made.
(b) The applicant must demonstrate by tests, analysis based on tests, or previous experience on similar designs that the propeller does not experience harmful effects of flutter throughout the operational envelope of the airplane.
(c) The applicant must perform an evaluation of the propeller to show that failure due to fatigue will be avoided throughout the operational life of the propeller using the fatigue and structural data obtained in accordance with part 35 of this chapter and the vibration data obtained from compliance with paragraph (a) of this section. For the purpose of this paragraph, the propeller includes the hub, blades, blade retention component and any other propeller component whose failure due to fatigue could be catastrophic to the airplane. This evaluation must include:
(1) The intended loading spectra including all reasonably foreseeable propeller vibration and cyclic load patterns, identified emergency conditions, allowable overspeeds and overtorques, and the effects of temperatures and humidity expected in service.
(2) The effects of airplane and propeller operating and airworthiness limitations.
Unless smaller clearances are substantiated, propeller clearances with the airplane at maximum weight, with the most adverse center of gravity, and with the propeller in the most adverse pitch position, may not be less than the following:
(a) Ground clearance. There must be a clearance of at least seven inches (for each airplane with nose wheel landing gear) or nine inches (for each airplane with tail wheel landing gear) between each propeller and the ground with the landing gear statically deflected and in the level takeoff, or taxiing attitude, whichever is most critical. In addition, there must be positive clearance between the propeller and the ground when in the level takeoff attitude with the critical tire(s) completely deflated and the corresponding landing gear strut bottomed.
(b) Water clearance. There must be a clearance of at least 18 inches between each propeller and the water, unless compliance with § 25.239(a) can be shown with a lesser clearance.
(c) Structural clearance. There must be—
(1) At least one inch radial clearance between the blade tips and the airplane structure, plus any additional radial clearance necessary to prevent harmful vibration;
(2) At least one-half inch longitudinal clearance between the propeller blades or cuffs and stationary parts of the airplane; and
(3) Positive clearance between other rotating parts of the propeller or spinner and stationary parts of the airplane.
(a) If certification for flight in icing is sought there must be a means to prevent or remove hazardous ice accumulations that could form in the icing conditions defined in Appendix C of this part and in the portions of Appendix O of this part for which the airplane is approved for flight on propellers or on accessories where ice accumulation would jeopardize engine performance.
(b) If combustible fluid is used for propeller deicing, §§ 25.1181 through 25.1185 and 25.1189 apply.
(a) For turbojet reversing systems—
(1) For each system intended for ground operation only, the applicant must show—
(i) The airplane is capable of continued safe flight and landing during and after any thrust reversal in flight; or
(ii) The system complies with § 25.1309(b) using the assumption the airplane would not be capable of continued safe flight and landing during and after an in-flight thrust reversal.
(2) Each system intended for inflight use must be designed so that no unsafe condition will result during normal operation of the system, or from any failure (or reasonably likely combination of failures) of the reversing system, under any anticipated condition of operation of the airplane including ground operation. Failure of structural elements need not be considered if the probability of this kind of failure is extremely remote.
(3) Each system must have means to prevent the engine from producing more than idle thrust when the reversing system malfunctions, except that it may produce any greater forward thrust that is shown to allow directional control to be maintained, with aerodynamic means alone, under the most critical reversing condition expected in operation.
(b) For propeller reversing systems—
(1) Each system intended for ground operation only must be designed so that no single failure (or reasonably likely combination of failures) or malfunction of the system will result in unwanted reverse thrust under any expected operating condition. Failure of structural elements need not be considered if this kind of failure is extremely remote.
(2) Compliance with this section may be shown by failure analysis or testing, or both, for propeller systems that allow propeller blades to move from the flight low-pitch position to a position that is substantially less than that at the normal flight low-pitch position. The analysis may include or be supported by the analysis made to show compliance with the requirements of § 35.21 of this chapter for the propeller and associated installation components.
Thrust reversers installed on turbojet engines must meet the requirements of § 33.97 of this chapter.
Turbopropeller power airplane propeller-drag limiting systems must be designed so that no single failure or malfunction of any of the systems during normal or emergency operation results in propeller drag in excess of that for which the airplane was designed under § 25.367. Failure of structural elements of the drag limiting systems need not be considered if the probability of this kind of failure is extremely remote.
(a) Turbine engine operating characteristics must be investigated in flight to determine that no adverse characteristics (such as stall, surge, or flameout) are present, to a hazardous degree, during normal and emergency operation within the range of operating limitations of the airplane and of the engine.
(b) [Reserved]
(c) The turbine engine air inlet system may not, as a result of air flow distortion during normal operation, cause vibration harmful to the engine.
For airplanes using variable inlet or exhaust system geometry, or both—
(a) The system comprised of the inlet, engine (including thrust augmentation systems, if incorporated), and exhaust must be shown to function properly under all operating conditions for which approval is sought, including all engine rotating speeds and power settings, and engine inlet and exhaust configurations;
(b) The dynamic effects of the operation of these (including consideration of probable malfunctions) upon the aerodynamic control of the airplane may not result in any condition that would require exceptional skill, alertness, or strength on the part of the pilot to avoid exceeding an operational or structural limitation of the airplane; and
(c) In showing compliance with paragraph (b) of this section, the pilot strength required may not exceed the limits set forth in § 25.143(d), subject to the conditions set forth in paragraphs (e) and (f) of § 25.143.
No hazardous malfunction of an engine, an auxiliary power unit approved for use in flight, or any component or system associated with the powerplant or auxiliary power unit may occur when the airplane is operated at the negative accelerations within the flight envelopes prescribed in § 25.333. This must be shown for the greatest duration expected for the acceleration.
(a) General. Each fluid injection system must provide a flow of fluid at the rate and pressure established for proper engine functioning under each intended operating condition. If the fluid can freeze, fluid freezing may not damage the airplane or adversely affect airplane performance.
(b) Fluid tanks. Each augmentation system fluid tank must meet the following requirements:
(1) Each tank must be able to withstand without failure the vibration, inertia, fluid, and structural loads that it may be subject to in operation.
(2) The tanks as mounted in the airplane must be able to withstand without failure or leakage an internal pressure 1.5 times the maximum operating pressure.
(3) If a vent is provided, the venting must be effective under all normal flight conditions.
(4) [Reserved]
(5) Each tank must have an expansion space of not less than 2 percent of the tank capacity. It must be impossible to fill the expansion space inadvertently with the airplane in the normal ground attitude.
(c) Augmentation system drains must be designed and located in accordance with § 25.1455 if—
(1) The augmentation system fluid is subject to freezing; and
(2) The fluid may be drained in flight or during ground operation.
(d) The augmentation liquid tank capacity available for the use of each engine must be large enough to allow operation of the airplane under the approved procedures for the use of liquid-augmented power. The computation of liquid consumption must be based on the maximum approved rate appropriate for the desired engine output and must include the effect of temperature on engine performance as well as any other factors that might vary the amount of liquid required.
(e) This section does not apply to fuel injection systems.
(a) Each fuel system must be constructed and arranged to ensure a flow of fuel at a rate and pressure established for proper engine and auxiliary power unit functioning under each likely operating condition, including any maneuver for which certification is requested and during which the engine or auxiliary power unit is permitted to be in operation.
(b) Each fuel system must be arranged so that any air which is introduced into the system will not result in—
(1) Power interruption for more than 20 seconds for reciprocating engines; or
(2) Flameout for turbine engines.
(c) Each fuel system for a turbine engine must be capable of sustained operation throughout its flow and pressure range with fuel initially saturated with water at 80 °F and having 0.75cc of free water per gallon added and cooled to the most critical condition for icing likely to be encountered in operation.
(d) Each fuel system for a turbine engine powered airplane must meet the applicable fuel venting requirements of part 34 of this chapter.
(a) Proper fuel system functioning under all probable operating conditions must be shown by analysis and those tests found necessary by the Administrator. Tests, if required, must be made using the airplane fuel system or a test article that reproduces the operating characteristics of the portion of the fuel system to be tested.
(b) The likely failure of any heat exchanger using fuel as one of its fluids may not result in a hazardous condition.
Each fuel system must meet the requirements of § 25.903(b) by—
(a) Allowing the supply of fuel to each engine through a system independent of each part of the system supplying fuel to any other engine; or
(b) Any other acceptable method.
(a) For purposes of this section—
(1) A critical lightning strike is a lightning strike that attaches to the airplane in a location that, when combined with the failure of any design feature or structure, could create an ignition source.
(2) A fuel system includes any component within either the fuel tank structure or the fuel tank systems, and any airplane structure or system components that penetrate, connect to, or are located within a fuel tank.
(b) The design and installation of a fuel system must prevent catastrophic fuel vapor ignition due to lightning and its effects, including:
(1) Direct lightning strikes to areas having a high probability of stroke attachment;
(2) Swept lightning strokes to areas where swept strokes are highly probable; and
(3) Lightning-induced or conducted electrical transients.
(c) To comply with paragraph (b) of this section, catastrophic fuel vapor ignition must be extremely improbable, taking into account flammability, critical lightning strikes, and failures within the fuel system.
(d) To protect design features that prevent catastrophic fuel vapor ignition caused by lightning, the type design must include critical design configuration control limitations (CDCCLs) identifying those features and providing information to protect them. To ensure the continued effectiveness of those design features, the type design must also include inspection and test procedures, intervals between repetitive inspections and tests, and mandatory replacement times for those design features used in demonstrating compliance to paragraph (b) of this section. The applicant must include the information required by this paragraph in the Airworthiness Limitations section of the Instructions for Continued Airworthiness required by § 25.1529.
(a) Each fuel system must provide at least 100 percent of the fuel flow required under each intended operating condition and maneuver. Compliance must be shown as follows:
(1) Fuel must be delivered to each engine at a pressure within the limits specified in the engine type certificate.
(2) The quantity of fuel in the tank may not exceed the amount established as the unusable fuel supply for that tank under the requirements of § 25.959 plus that necessary to show compliance with this section.
(3) Each main pump must be used that is necessary for each operating condition and attitude for which compliance with this section is shown, and the appropriate emergency pump must be substituted for each main pump so used.
(4) If there is a fuel flowmeter, it must be blocked and the fuel must flow through the meter or its bypass.
(b) If an engine can be supplied with fuel from more than one tank, the fuel system must—
(1) For each reciprocating engine, supply the full fuel pressure to that engine in not more than 20 seconds after switching to any other fuel tank containing usable fuel when engine malfunctioning becomes apparent due to the depletion of the fuel supply in any tank from which the engine can be fed; and
(2) For each turbine engine, in addition to having appropriate manual switching capability, be designed to prevent interruption of fuel flow to that engine, without attention by the flight crew, when any tank supplying fuel to that engine is depleted of usable fuel during normal operation, and any other tank, that normally supplies fuel to that engine alone, contains usable fuel.
If fuel can be pumped from one tank to another in flight, the fuel tank vents and the fuel transfer system must be designed so that no structural damage to the tanks can occur because of overfilling.
The unusable fuel quantity for each fuel tank and its fuel system components must be established at not less than the quantity at which the first evidence of engine malfunction occurs under the most adverse fuel feed condition for all intended operations and flight maneuvers involving fuel feeding from that tank. Fuel system component failures need not be considered.
(a) The fuel system must perform satisfactorily in hot weather operation. This must be shown by showing that the fuel system from the tank outlets to each engine is pressurized, under all intended operations, so as to prevent vapor formation, or must be shown by climbing from the altitude of the airport elected by the applicant to the maximum altitude established as an operating limitation under § 25.1527. If a climb test is elected, there may be no evidence of vapor lock or other malfunctioning during the climb test conducted under the following conditions:
(1) For reciprocating engine powered airplanes, the engines must operate at maximum continuous power, except that takeoff power must be used for the altitudes from 1,000 feet below the critical altitude through the critical altitude. The time interval during which takeoff power is used may not be less than the takeoff time limitation.
(2) For turbine engine powered airplanes, the engines must operate at takeoff power for the time interval selected for showing the takeoff flight path, and at maximum continuous power for the rest of the climb.
(3) The weight of the airplane must be the weight with full fuel tanks, minimum crew, and the ballast necessary to maintain the center of gravity within allowable limits.
(4) The climb airspeed may not exceed—
(i) For reciprocating engine powered airplanes, the maximum airspeed established for climbing from takeoff to the maximum operating altitude with the airplane in the following configuration:
(A) Landing gear retracted.
(B) Wing flaps in the most favorable position.
(C) Cowl flaps (or other means of controlling the engine cooling supply) in the position that provides adequate cooling in the hot-day condition.
(D) Engine operating within the maximum continuous power limitations.
(E) Maximum takeoff weight; and
(ii) For turbine engine powered airplanes, the maximum airspeed established for climbing from takeoff to the maximum operating altitude.
(5) The fuel temperature must be at least 110 °F.
(b) The test prescribed in paragraph (a) of this section may be performed in flight or on the ground under closely simulated flight conditions. If a flight test is performed in weather cold enough to interfere with the proper conduct of the test, the fuel tank surfaces, fuel lines, and other fuel system parts subject to cold air must be insulated to simulate, insofar as practicable, flight in hot weather.
(a) Each fuel tank must be able to withstand, without failure, the vibration, inertia, fluid, and structural loads that it may be subjected to in operation.
(b) Flexible fuel tank liners must be approved or must be shown to be suitable for the particular application.
(c) Integral fuel tanks must have facilities for interior inspection and repair.
(d) Fuel tanks must, so far as it is practicable, be designed, located, and installed so that no fuel is released in or near the fuselage, or near the engines, in quantities that would constitute a fire hazard in otherwise survivable emergency landing conditions, and—
(1) Fuel tanks must be able to resist rupture and retain fuel under ultimate hydrostatic design conditions in which the pressure P within the tank varies in accordance with the formula:
(2) For those parts of wing fuel tanks near the fuselage or near the engines, the greater of the fuel pressures resulting from paragraphs (d)(2)(i) or (d)(2)(ii) of this section must be used:
(i) The fuel pressures resulting from paragraph (d)(1) of this section, and
(ii) The lesser of the two following conditions:
(A) Fuel pressures resulting from the accelerations specified in § 25.561(b)(3) considering the fuel tank full of fuel at maximum fuel density. Fuel pressures based on the 9.0g forward acceleration may be calculated using the fuel static head equal to the streamwise local chord of the tank. For inboard and outboard conditions, an acceleration of 1.5g may be used in lieu of 3.0g as specified in § 25.561(b)(3).
(B) Fuel pressures resulting from the accelerations as specified in § 25.561(b)(3) considering a fuel volume beyond 85 percent of the maximum permissible volume in each tank using the static head associated with the 85 percent fuel level. A typical density of the appropriate fuel may be used. For inboard and outboard conditions, an acceleration of 1.5g may be used in lieu of 3.0g as specified in § 25.561(b)(3).
(3) Fuel tank internal barriers and baffles may be considered as solid boundaries if shown to be effective in limiting fuel flow.
(4) For each fuel tank and surrounding airframe structure, the effects of crushing and scraping actions with the ground must not cause the spillage of enough fuel, or generate temperatures that would constitute a fire hazard under the conditions specified in § 25.721(b).
(5) Fuel tank installations must be such that the tanks will not rupture as a result of the landing gear or an engine pylon or engine mount tearing away as specified in § 25.721(a) and (c).
(e) Fuel tank access covers must comply with the following criteria in order to avoid loss of hazardous quantities of fuel:
(1) All covers located in an area where experience or analysis indicates a strike is likely must be shown by analysis or tests to minimize penetration and deformation by tire fragments, low energy engine debris, or other likely debris.
(2) All covers must be fire resistant as defined in part 1 of this chapter.
(f) For pressurized fuel tanks, a means with fail-safe features must be provided to prevent the buildup of an excessive pressure difference between the inside and the outside of the tank.
(a) It must be shown by tests that the fuel tanks, as mounted in the airplane, can withstand, without failure or leakage, the more critical of the pressures resulting from the conditions specified in paragraphs (a)(1) and (2) of this section. In addition, it must be shown by either analysis or tests, that tank surfaces subjected to more critical pressures resulting from the condition of paragraphs (a)(3) and (4) of this section, are able to withstand the following pressures:
(1) An internal pressure of 3.5 psi.
(2) 125 percent of the maximum air pressure developed in the tank from ram effect.
(3) Fluid pressures developed during maximum limit accelerations, and deflections, of the airplane with a full tank.
(4) Fluid pressures developed during the most adverse combination of airplane roll and fuel load.
(b) Each metallic tank with large unsupported or unstiffened flat surfaces, whose failure or deformation could cause fuel leakage, must be able to withstand the following test, or its equivalent, without leakage or excessive deformation of the tank walls:
(1) Each complete tank assembly and its supports must be vibration tested while mounted to simulate the actual installation.
(2) Except as specified in paragraph (b)(4) of this section, the tank assembly must be vibrated for 25 hours at an amplitude of not less than
(3) The test frequency of vibration must be as follows:
(i) If no frequency of vibration resulting from any r.p.m. within the normal operating range of engine speeds is critical, the test frequency of vibration must be 2,000 cycles per minute.
(ii) If only one frequency of vibration resulting from any r.p.m. within the normal operating range of engine speeds is critical, that frequency of vibration must be the test frequency.
(iii) If more than one frequency of vibration resulting from any r.p.m. within the normal operating range of engine speeds is critical, the most critical of these frequencies must be the test frequency.
(4) Under paragraphs (b)(3)(ii) and (iii) of this section, the time of test must be adjusted to accomplish the same number of vibration cycles that would be accomplished in 25 hours at the frequency specified in paragraph (b)(3)(i) of this section.
(5) During the test, the tank assembly must be rocked at the rate of 16 to 20 complete cycles per minute, through an angle of 15° on both sides of the horizontal (30° total), about the most critical axis, for 25 hours. If motion about more than one axis is likely to be critical, the tank must be rocked about each critical axis for 12
(c) Except where satisfactory operating experience with a similar tank in a similar installation is shown, nonmetallic tanks must withstand the test specified in paragraph (b)(5) of this section, with fuel at a temperature of 110 °F. During this test, a representative specimen of the tank must be installed in a supporting structure simulating the installation in the airplane.
(d) For pressurized fuel tanks, it must be shown by analysis or tests that the fuel tanks can withstand the maximum pressure likely to occur on the ground or in flight.
(a) Each fuel tank must be supported so that tank loads (resulting from the weight of the fuel in the tanks) are not concentrated on unsupported tank surfaces. In addition—
(1) There must be pads, if necessary, to prevent chafing between the tank and its supports;
(2) Padding must be nonabsorbent or treated to prevent the absorption of fluids;
(3) If a flexible tank liner is used, it must be supported so that it is not required to withstand fluid loads; and
(4) Each interior surface of the tank compartment must be smooth and free of projections that could cause wear of the liner unless—
(i) Provisions are made for protection of the liner at these points; or
(ii) The construction of the liner itself provides that protection.
(b) Spaces adjacent to tank surfaces must be ventilated to avoid fume accumulation due to minor leakage. If the tank is in a sealed compartment, ventilation may be limited to drain holes large enough to prevent excessive pressure resulting from altitude changes.
(c) The location of each tank must meet the requirements of § 25.1185(a).
(d) No engine nacelle skin immediately behind a major air outlet from the engine compartment may act as the wall of an integral tank.
(e) Each fuel tank must be isolated from personnel compartments by a fumeproof and fuelproof enclosure.
Each fuel tank must have an expansion space of not less than 2 percent of the tank capacity. It must be impossible to fill the expansion space inadvertently with the airplane in the normal ground attitude. For pressure fueling systems, compliance with this section may be shown with the means provided to comply with § 25.979(b).
(a) Each fuel tank must have a sump with an effective capacity, in the normal ground attitude, of not less than the greater of 0.10 percent of the tank capacity or one-sixteenth of a gallon unless operating limitations are established to ensure that the accumulation of water in service will not exceed the sump capacity.
(b) Each fuel tank must allow drainage of any hazardous quantity of water from any part of the tank to its sump with the airplane in the ground attitude.
(c) Each fuel tank sump must have an accessible drain that—
(1) Allows complete drainage of the sump on the ground;
(2) Discharges clear of each part of the airplane; and
(3) Has manual or automatic means for positive locking in the closed position.
Each fuel tank filler connection must prevent the entrance of fuel into any part of the airplane other than the tank itself. In addition—
(a) [Reserved]
(b) Each recessed filler connection that can retain any appreciable quantity of fuel must have a drain that discharges clear of each part of the airplane;
(c) Each filler cap must provide a fuel-tight seal; and
(d) Each fuel filling point must have a provision for electrically bonding the airplane to ground fueling equipment.
(a) Fuel tank vents. Each fuel tank must be vented from the top part of the expansion space so that venting is effective under any normal flight condition. In addition—
(1) Each vent must be arranged to avoid stoppage by dirt or ice formation;
(2) The vent arrangement must prevent siphoning of fuel during normal operation;
(3) The venting capacity and vent pressure levels must maintain acceptable differences of pressure between the interior and exterior of the tank, during—
(i) Normal flight operation;
(ii) Maximum rate of ascent and descent; and
(iii) Refueling and defueling (where applicable);
(4) Airspaces of tanks with interconnected outlets must be interconnected;
(5) There may be no point in any vent line where moisture can accumulate with the airplane in the ground attitude or the level flight attitude, unless drainage is provided;
(6) No vent or drainage provision may end at any point—
(i) Where the discharge of fuel from the vent outlet would constitute a fire hazard; or
(ii) From which fumes could enter personnel compartments; and
(7) Each fuel tank vent system must prevent explosions, for a minimum of 2 minutes and 30 seconds, caused by propagation of flames from outside the tank through the fuel tank vents into fuel tank vapor spaces when any fuel tank vent is continuously exposed to flame.
(b) Carburetor vapor vents. Each carburetor with vapor elimination connections must have a vent line to lead vapors back to one of the fuel tanks. In addition—
(1) Each vent system must have means to avoid stoppage by ice; and
(2) If there is more than one fuel tank, and it is necessary to use the tanks in a definite sequence, each vapor vent return line must lead back to the fuel tank used for takeoff and landing.
(a) There must be a fuel strainer for the fuel tank outlet or for the booster pump. This strainer must—
(1) For reciprocating engine powered airplanes, have 8 to 16 meshes per inch; and
(2) For turbine engine powered airplanes, prevent the passage of any object that could restrict fuel flow or damage any fuel system component.
(b) [Reserved]
(c) The clear area of each fuel tank outlet strainer must be at least five times the area of the outlet line.
(d) The diameter of each strainer must be at least that of the fuel tank outlet.
(e) Each finger strainer must be accessible for inspection and cleaning.
For pressure fueling systems, the following apply:
(a) Each pressure fueling system fuel manifold connection must have means to prevent the escape of hazardous quantities of fuel from the system if the fuel entry valve fails.
(b) An automatic shutoff means must be provided to prevent the quantity of fuel in each tank from exceeding the maximum quantity approved for that tank. This means must—
(1) Allow checking for proper shutoff operation before each fueling of the tank; and
(2) Provide indication at each fueling station of failure of the shutoff means to stop the fuel flow at the maximum quantity approved for that tank.
(c) A means must be provided to prevent damage to the fuel system in the event of failure of the automatic shutoff means prescribed in paragraph (b) of this section.
(d) The airplane pressure fueling system (not including fuel tanks and fuel tank vents) must withstand an ultimate load that is 2.0 times the load arising from the maximum pressures, including surge, that is likely to occur during fueling. The maximum surge pressure must be established with any combination of tank valves being either intentionally or inadvertently closed.
(e) The airplane defueling system (not including fuel tanks and fuel tank vents) must withstand an ultimate load that is 2.0 times the load arising from the maximum permissible defueling pressure (positive or negative) at the airplane fueling connection.
(a) No ignition source may be present at each point in the fuel tank or fuel tank system where catastrophic failure could occur due to ignition of fuel or vapors. This must be shown by:
(1) Determining the highest temperature allowing a safe margin below the lowest expected autoignition temperature of the fuel in the fuel tanks.
(2) Demonstrating that no temperature at each place inside each fuel tank where fuel ignition is possible will exceed the temperature determined under paragraph (a)(1) of this section. This must be verified under all probable operating, failure, and malfunction conditions of each component whose operation, failure, or malfunction could increase the temperature inside the tank.
(3) Except for ignition sources due to lightning addressed by § 25.954, demonstrating that an ignition source could not result from each single failure, from each single failure in combination with each latent failure condition not shown to be extremely remote, and from all combinations of failures not shown to be extremely improbable, taking into account the effects of manufacturing variability, aging, wear, corrosion, and likely damage.
(b) Except as provided in paragraphs (b)(2) and (c) of this section, no fuel tank Fleet Average Flammability Exposure on an airplane may exceed three percent of the Flammability Exposure Evaluation Time (FEET) as defined in Appendix N of this part, or that of a fuel tank within the wing of the airplane model being evaluated, whichever is greater. If the wing is not a conventional unheated aluminum wing, the analysis must be based on an assumed Equivalent Conventional Unheated Aluminum Wing Tank.
(1) Fleet Average Flammability Exposure is determined in accordance with Appendix N of this part. The assessment must be done in accordance with the methods and procedures set forth in the Fuel Tank Flammability Assessment Method User's Manual, dated May 2008, document number DOT/FAA/AR-05/8 (incorporated by reference, see § 25.5).
(2) Any fuel tank other than a main fuel tank on an airplane must meet the flammability exposure criteria of Appendix M to this part if any portion of the tank is located within the fuselage contour.
(3) As used in this paragraph,
(i) Equivalent Conventional Unheated Aluminum Wing Tank is an integral tank in an unheated semi-monocoque aluminum wing of a subsonic airplane that is equivalent in aerodynamic performance, structural capability, fuel tank capacity and tank configuration to the designed wing.
(ii) Fleet Average Flammability Exposure is defined in Appendix N to this part and means the percentage of time each fuel tank ullage is flammable for a fleet of an airplane type operating over the range of flight lengths.
(iii) Main Fuel Tank means a fuel tank that feeds fuel directly into one or more engines and holds required fuel reserves continually throughout each flight.
(c) Paragraph (b) of this section does not apply to a fuel tank if means are provided to mitigate the effects of an ignition of fuel vapors within that fuel tank such that no damage caused by an ignition will prevent continued safe flight and landing.
(d) To protect design features that prevent catastrophic ignition sources within the fuel tank or fuel tank system according to paragraph (a) of this section, and to prevent increasing the flammability exposure of the tanks above that permitted in paragraph (b) of this section, the type design must include critical design configuration control limitations (CDCCLs) identifying those features and providing instructions on how to protect them. To ensure the continued effectiveness of those features, and prevent degradation of the performance and reliability of any means provided according to paragraphs (a), (b), or (c) of this section, the type design must also include necessary inspection and test procedures, intervals between repetitive inspections and tests, and mandatory replacement times for those features. The applicant must include information required by this paragraph in the Airworthiness Limitations section of the Instructions for Continued Airworthiness required by § 25.1529. The type design must also include visible means of identifying critical features of the design in areas of the airplane where foreseeable maintenance actions, repairs, or alterations may compromise the CDCCLs.
(a) Main pumps. Each fuel pump required for proper engine operation, or required to meet the fuel system requirements of this subpart (other than those in paragraph (b) of this section, is a main pump. For each main pump, provision must be made to allow the bypass of each positive displacement fuel pump other than a fuel injection pump (a pump that supplies the proper flow and pressure for fuel injection when the injection is not accomplished in a carburetor) approved as part of the engine.
(b) Emergency pumps. There must be emergency pumps or another main pump to feed each engine immediately after failure of any main pump (other than a fuel injection pump approved as part of the engine).
(a) Each fuel line must be installed and supported to prevent excessive vibration and to withstand loads due to fuel pressure and accelerated flight conditions.
(b) Each fuel line connected to components of the airplane between which relative motion could exist must have provisions for flexibility.
(c) Each flexible connection in fuel lines that may be under pressure and subjected to axial loading must use flexible hose assemblies.
(d) Flexible hose must be approved or must be shown to be suitable for the particular application.
(e) No flexible hose that might be adversely affected by exposure to high temperatures may be used where excessive temperatures will exist during operation or after engine shut-down.
(f) Each fuel line within the fuselage must be designed and installed to allow a reasonable degree of deformation and stretching without leakage.
Fuel system components in an engine nacelle or in the fuselage must be protected from damage that could result in spillage of enough fuel to constitute a fire hazard as a result of a wheels-up landing on a paved runway under each of the conditions prescribed in § 25.721(b).
In addition to the requirements of § 25.1189 for shutoff means, each fuel valve must—
(a) [Reserved]
(b) Be supported so that no loads resulting from their operation or from accelerated flight conditions are transmitted to the lines attached to the valve.
There must be a fuel strainer or filter between the fuel tank outlet and the inlet of either the fuel metering device or an engine driven positive displacement pump, whichever is nearer the fuel tank outlet. This fuel strainer or filter must—
(a) Be accessible for draining and cleaning and must incorporate a screen or element which is easily removable;
(b) Have a sediment trap and drain except that it need not have a drain if the strainer or filter is easily removable for drain purposes;
(c) Be mounted so that its weight is not supported by the connecting lines or by the inlet or outlet connections of the strainer or filter itself, unless adequate strength margins under all loading conditions are provided in the lines and connections; and
(d) Have the capacity (with respect to operating limitations established for the engine) to ensure that engine fuel system functioning is not impaired, with the fuel contaminated to a degree (with respect to particle size and density) that is greater than that established for the engine in Part 33 of this chapter.
(a) Drainage of the fuel system must be accomplished by the use of fuel strainer and fuel tank sump drains.
(b) Each drain required by paragraph (a) of this section must—
(1) Discharge clear of all parts of the airplane;
(2) Have manual or automatic means for positive locking in the closed position; and
(3) Have a drain valve—
(i) That is readily accessible and which can be easily opened and closed; and
(ii) That is either located or protected to prevent fuel spillage in the event of a landing with landing gear retracted.
(a) A fuel jettisoning system must be installed on each airplane unless it is shown that the airplane meets the climb requirements of §§ 25.119 and 25.121(d) at maximum takeoff weight, less the actual or computed weight of fuel necessary for a 15-minute flight comprised of a takeoff, go-around, and landing at the airport of departure with the airplane configuration, speed, power, and thrust the same as that used in meeting the applicable takeoff, approach, and landing climb performance requirements of this part.
(b) If a fuel jettisoning system is required it must be capable of jettisoning enough fuel within 15 minutes, starting with the weight given in paragraph (a) of this section, to enable the airplane to meet the climb requirements of §§ 25.119 and 25.121(d), assuming that the fuel is jettisoned under the conditions, except weight, found least favorable during the flight tests prescribed in paragraph (c) of this section.
(c) Fuel jettisoning must be demonstrated beginning at maximum takeoff weight with flaps and landing gear up and in—
(1) A power-off glide at 1.3 V
(2) A climb at the one-engine inoperative best rate-of-climb speed, with the critical engine inoperative and the remaining engines at maximum continuous power; and
(3) Level flight at 1.3 V
(d) During the flight tests prescribed in paragraph (c) of this section, it must be shown that—
(1) The fuel jettisoning system and its operation are free from fire hazard;
(2) The fuel discharges clear of any part of the airplane;
(3) Fuel or fumes do not enter any parts of the airplane; and
(4) The jettisoning operation does not adversely affect the controllability of the airplane.
(e) For reciprocating engine powered airplanes, means must be provided to prevent jettisoning the fuel in the tanks used for takeoff and landing below the level allowing 45 minutes flight at 75 percent maximum continuous power. However, if there is an auxiliary control independent of the main jettisoning control, the system may be designed to jettison the remaining fuel by means of the auxiliary jettisoning control.
(f) For turbine engine powered airplanes, means must be provided to prevent jettisoning the fuel in the tanks used for takeoff and landing below the level allowing climb from sea level to 10,000 feet and thereafter allowing 45 minutes cruise at a speed for maximum range. However, if there is an auxiliary control independent of the main jettisoning control, the system may be designed to jettison the remaining fuel by means of the auxiliary jettisoning control.
(g) The fuel jettisoning valve must be designed to allow flight personnel to close the valve during any part of the jettisoning operation.
(h) Unless it is shown that using any means (including flaps, slots, and slats) for changing the airflow across or around the wings does not adversely affect fuel jettisoning, there must be a placard, adjacent to the jettisoning control, to warn flight crewmembers against jettisoning fuel while the means that change the airflow are being used.
(i) The fuel jettisoning system must be designed so that any reasonably probable single malfunction in the system will not result in a hazardous condition due to unsymmetrical jettisoning of, or inability to jettison, fuel.
(a) Each engine must have an independent oil system that can supply it with an appropriate quantity of oil at a temperature not above that safe for continuous operation.
(b) The usable oil capacity may not be less than the product of the endurance of the airplane under critical operating conditions and the approved maximum allowable oil consumption of the engine under the same conditions, plus a suitable margin to ensure system circulation. Instead of a rational analysis of airplane range for the purpose of computing oil requirements for reciprocating engine powered airplanes, the following fuel/oil ratios may be used:
(1) For airplanes without a reserve oil or oil transfer system, a fuel/oil ratio of 30:1 by volume.
(2) For airplanes with either a reserve oil or oil transfer system, a fuel/oil ratio of 40:1 by volume.
(c) Fuel/oil ratios higher than those prescribed in paragraphs (b)(1) and (2) of this section may be used if substantiated by data on actual engine oil consumption.
(a) Installation. Each oil tank installation must meet the requirements of § 25.967.
(b) Expansion space. Oil tank expansion space must be provided as follows:
(1) Each oil tank used with a reciprocating engine must have an expansion space of not less than the greater of 10 percent of the tank capacity or 0.5 gallon, and each oil tank used with a turbine engine must have an expansion space of not less than 10 percent of the tank capacity.
(2) Each reserve oil tank not directly connected to any engine may have an expansion space of not less than two percent of the tank capacity.
(3) It must be impossible to fill the expansion space inadvertently with the airplane in the normal ground attitude.
(c) Filler connection. Each recessed oil tank filler connection that can retain any appreciable quantity of oil must have a drain that discharges clear of each part of the airplane. In addition, each oil tank filler cap must provide an oil-tight seal.
(d) Vent. Oil tanks must be vented as follows:
(1) Each oil tank must be vented from the top part of the expansion space so that venting is effective under any normal flight condition.
(2) Oil tank vents must be arranged so that condensed water vapor that might freeze and obstruct the line cannot accumulate at any point.
(e) Outlet. There must be means to prevent entrance into the tank itself, or into the tank outlet, of any object that might obstruct the flow of oil through the system. No oil tank outlet may be enclosed by any screen or guard that would reduce the flow of oil below a safe value at any operating temperature. There must be a shutoff valve at the outlet of each oil tank used with a turbine engine, unless the external portion of the oil system (including the oil tank supports) is fireproof.
(f) Flexible oil tank liners. Each flexible oil tank liner must be approved or must be shown to be suitable for the particular application.
Each oil tank must be designed and installed so that—
(a) It can withstand, without failure, each vibration, inertia, and fluid load that it may be subjected to in operation; and
(b) It meets the provisions of § 25.965, except—
(1) The test pressure—
(i) For pressurized tanks used with a turbine engine, may not be less than 5 p.s.i. plus the maximum operating pressure of the tank instead of the pressure specified in § 25.965(a); and
(ii) For all other tanks may not be less than 5 p.s.i. instead of the pressure specified in § 25.965(a); and
(2) The test fluid must be oil at 250 °F. instead of the fluid specified in § 25.965(c).
(a) Each oil line must meet the requirements of § 25.993 and each oil line and fitting in any designated fire zone must meet the requirements of § 25.1183.
(b) Breather lines must be arranged so that—
(1) Condensed water vapor that might freeze and obstruct the line cannot accumulate at any point;
(2) The breather discharge does not constitute a fire hazard if foaming occurs or causes emitted oil to strike the pilot's windshield; and
(3) The breather does not discharge into the engine air induction system.
(a) Each turbine engine installation must incorporate an oil strainer or filter through which all of the engine oil flows and which meets the following requirements:
(1) Each oil strainer or filter that has a bypass must be constructed and installed so that oil will flow at the normal rate through the rest of the system with the strainer or filter completely blocked.
(2) The oil strainer or filter must have the capacity (with respect to operating limitations established for the engine) to ensure that engine oil system functioning is not impaired when the oil is contaminated to a degree (with respect to particle size and density) that is greater than that established for the engine under Part 33 of this chapter.
(3) The oil strainer or filter, unless it is installed at an oil tank outlet, must incorporate an indicator that will indicate contamination before it reaches the capacity established in accordance with paragraph (a)(2) of this section.
(4) The bypass of a strainer or filter must be constructed and installed so that the release of collected contaminants is minimized by appropriate location of the bypass to ensure that collected contaminants are not in the bypass flow path.
(5) An oil strainer or filter that has no bypass, except one that is installed at an oil tank outlet, must have a means to connect it to the warning system required in § 25.1305(c)(7).
(b) Each oil strainer or filter in a powerplant installation using reciprocating engines must be constructed and installed so that oil will flow at the normal rate through the rest of the system with the strainer or filter element completely blocked.
A drain (or drains) must be provided to allow safe drainage of the oil system. Each drain must—
(a) Be accessible; and
(b) Have manual or automatic means for positive locking in the closed position.
(a) Each oil radiator must be able to withstand, without failure, any vibration, inertia, and oil pressure load to which it would be subjected in operation.
(b) Each oil radiator air duct must be located so that, in case of fire, flames coming from normal openings of the engine nacelle cannot impinge directly upon the radiator.
(a) Each oil shutoff must meet the requirements of § 25.1189.
(b) The closing of oil shutoff means may not prevent propeller feathering.
(c) Each oil valve must have positive stops or suitable index provisions in the “on” and “off” positions and must be supported so that no loads resulting from its operation or from accelerated flight conditions are transmitted to the lines attached to the valve.
(a) If the propeller feathering system depends on engine oil, there must be means to trap an amount of oil in the tank if the supply becomes depleted due to failure of any part of the lubricating system other than the tank itself.
(b) The amount of trapped oil must be enough to accomplish the feathering operation and must be available only to the feathering pump.
(c) The ability of the system to accomplish feathering with the trapped oil must be shown. This may be done on the ground using an auxiliary source of oil for lubricating the engine during operation.
(d) Provision must be made to prevent sludge or other foreign matter from affecting the safe operation of the propeller feathering system.
The powerplant and auxiliary power unit cooling provisions must be able to maintain the temperatures of powerplant components, engine fluids, and auxiliary power unit components and fluids within the temperature limits established for these components and fluids, under ground, water, and flight operating conditions, and after normal engine or auxiliary power unit shutdown, or both.
(a) General. Compliance with § 25.1041 must be shown by tests, under critical ground, water, and flight operating conditions. For these tests, the following apply:
(1) If the tests are conducted under conditions deviating from the maximum ambient atmospheric temperature, the recorded powerplant temperatures must be corrected under paragraphs (c) and (d) of this section.
(2) No corrected temperatures determined under paragraph (a)(1) of this section may exceed established limits.
(3) For reciprocating engines, the fuel used during the cooling tests must be the minimum grade approved for the engines, and the mixture settings must be those normally used in the flight stages for which the cooling tests are conducted. The test procedures must be as prescribed in § 25.1045.
(b) Maximum ambient atmospheric temperature. A maximum ambient atmospheric temperature corresponding to sea level conditions of at least 100 degrees F must be established. The assumed temperature lapse rate is 3.6 degrees F per thousand feet of altitude above sea level until a temperature of −69.7 degrees F is reached, above which altitude the temperature is considered constant at −69.7 degrees F. However, for winterization installations, the applicant may select a maximum ambient atmospheric temperature corresponding to sea level conditions of less than 100 degrees F.
(c) Correction factor (except cylinder barrels). Unless a more rational correction applies, temperatures of engine fluids and powerplant components (except cylinder barrels) for which temperature limits are established, must be corrected by adding to them the difference between the maximum ambient atmospheric temperature and the temperature of the ambient air at the time of the first occurrence of the maximum component or fluid temperature recorded during the cooling test.
(d) Correction factor for cylinder barrel temperatures. Unless a more rational correction applies, cylinder barrel temperatures must be corrected by adding to them 0.7 times the difference between the maximum ambient atmospheric temperature and the temperature of the ambient air at the time of the first occurrence of the maximum cylinder barrel temperature recorded during the cooling test.
(a) Compliance with § 25.1041 must be shown for the takeoff, climb, en route, and landing stages of flight that correspond to the applicable performance requirements. The cooling tests must be conducted with the airplane in the configuration, and operating under the conditions, that are critical relative to cooling during each stage of flight. For the cooling tests, a temperature is “stabilized” when its rate of change is less than two degrees F. per minute.
(b) Temperatures must be stabilized under the conditions from which entry is made into each stage of flight being investigated, unless the entry condition normally is not one during which component and the engine fluid temperatures would stabilize (in which case, operation through the full entry condition must be conducted before entry into the stage of flight being investigated in order to allow temperatures to reach their natural levels at the time of entry). The takeoff cooling test must be preceded by a period during which the powerplant component and engine fluid temperatures are stabilized with the engines at ground idle.
(c) Cooling tests for each stage of flight must be continued until—
(1) The component and engine fluid temperatures stabilize;
(2) The stage of flight is completed; or
(3) An operating limitation is reached.
(d) For reciprocating engine powered airplanes, it may be assumed, for cooling test purposes, that the takeoff stage of flight is complete when the airplane reaches an altitude of 1,500 feet above the takeoff surface or reaches a point in the takeoff where the transition from the takeoff to the en route configuration is completed and a speed is reached at which compliance with § 25.121(c) is shown, whichever point is at a higher altitude. The airplane must be in the following configuration:
(1) Landing gear retracted.
(2) Wing flaps in the most favorable position.
(3) Cowl flaps (or other means of controlling the engine cooling supply) in the position that provides adequate cooling in the hot-day condition.
(4) Critical engine inoperative and its propeller stopped.
(5) Remaining engines at the maximum continuous power available for the altitude.
(e) For hull seaplanes and amphibians, cooling must be shown during taxiing downwind for 10 minutes, at five knots above step speed.
(a) The air induction system for each engine and auxiliary power unit must supply—
(1) The air required by that engine and auxiliary power unit under each operating condition for which certification is requested; and
(2) The air for proper fuel metering and mixture distribution with the induction system valves in any position.
(b) Each reciprocating engine must have an alternate air source that prevents the entry of rain, ice, or any other foreign matter.
(c) Air intakes may not open within the cowling, unless—
(1) That part of the cowling is isolated from the engine accessory section by means of a fireproof diaphragm; or
(2) For reciprocating engines, there are means to prevent the emergence of backfire flames.
(d) For turbine engine powered airplanes and airplanes incorporating auxiliary power units—
(1) There must be means to prevent hazardous quantities of fuel leakage or overflow from drains, vents, or other components of flammable fluid systems from entering the engine or auxiliary power unit intake system; and
(2) The airplane must be designed to prevent water or slush on the runway, taxiway, or other airport operating surfaces from being directed into the engine or auxiliary power unit air inlet ducts in hazardous quantities, and the air inlet ducts must be located or protected so as to minimize the ingestion of foreign matter during takeoff, landing, and taxiing.
(e) If the engine induction system contains parts or components that could be damaged by foreign objects entering the air inlet, it must be shown by tests or, if appropriate, by analysis that the induction system design can withstand the foreign object ingestion test conditions of §§ 33.76, 33.77 and 33.78(a)(1) of this chapter without failure of parts or components that could create a hazard.
(a) Reciprocating engines. Each reciprocating engine air induction system must have means to prevent and eliminate icing. Unless this is done by other means, it must be shown that, in air free of visible moisture at a temperature of 30 F., each airplane with altitude engines using—
(1) Conventional venturi carburetors have a preheater that can provide a heat rise of 120 F. with the engine at 60 percent of maximum continuous power; or
(2) Carburetors tending to reduce the probability of ice formation has a preheater that can provide a heat rise of 100 °F. with the engine at 60 percent of maximum continuous power.
(b) Turbine engines. Except as provided in paragraph (b)(3) of this section, each engine, with all icing protection systems operating, must:
(1) Operate throughout its flight power range, including the minimum descent idling speeds, in the icing conditions defined in Appendices C and O of this part, and Appendix D of part 33 of this chapter, and in falling and blowing snow within the limitations established for the airplane for such operation, without the accumulation of ice on the engine, inlet system components, or airframe components that would do any of the following:
(i) Adversely affect installed engine operation or cause a sustained loss of power or thrust; or an unacceptable increase in gas path operating temperature; or an airframe/engine incompatibility; or
(ii) Result in unacceptable temporary power loss or engine damage; or
(iii) Cause a stall, surge, or flameout or loss of engine controllability (for example, rollback).
(2) Operate at ground idle speed for a minimum of 30 minutes on the ground in the following icing conditions shown in Table 1 of this section, unless replaced by similar test conditions that are more critical. These conditions must be demonstrated with the available air bleed for icing protection at its critical condition, without adverse effect, followed by an acceleration to takeoff power or thrust in accordance with the procedures defined in the airplane flight manual. During the idle operation, the engine may be run up periodically to a moderate power or thrust setting in a manner acceptable to the Administrator. Analysis may be used to show ambient temperatures below the tested temperature are less critical. The applicant must document the engine run-up procedure (including the maximum time interval between run-ups from idle, run-up power setting, and duration at power), the associated minimum ambient temperature, and the maximum time interval. These conditions must be used in the analysis that establishes the airplane operating limitations in accordance with § 25.1521.
(3) For the purposes of this section, the icing conditions defined in appendix O of this part, including the conditions specified in Condition 3 of Table 1 of this section, are not applicable to airplanes with a maximum takeoff weight equal to or greater than 60,000 pounds.
Table 1—Icing Conditions for Ground Tests
| Condition | Total air temperature | Water concentration (minimum) | Mean effective particle diameter | Demonstration |
|---|---|---|---|---|
| 1. Rime ice condition | 0 to 15 °F (18 to −9 °C) | Liquid—0.3 g/m 3 | 15-25 microns | By test, analysis or combination of the two. |
| 2. Glaze ice condition | 20 to 30 °F (−7 to −1 °C) | Liquid—0.3 g/m 3 | 15-25 microns | By test, analysis or combination of the two. |
| 3. Large drop condition | 15 to 30 °F (−9 to −1 °C) | Liquid—0.3 g/m 3 | 100 microns (minimum) | By test, analysis or combination of the two. |
(c) Supercharged reciprocating engines. For each engine having a supercharger to pressurize the air before it enters the carburetor, the heat rise in the air caused by that supercharging at any altitude may be utilized in determining compliance with paragraph (a) of this section if the heat rise utilized is that which will be available, automatically, for the applicable altitude and operating condition because of supercharging.
Each carburetor air preheater must be designed and constructed to—
(a) Ensure ventilation of the preheater when the engine is operated in cold air;
(b) Allow inspection of the exhaust manifold parts that it surrounds; and
(c) Allow inspection of critical parts of the preheater itself.
(a) Each induction system duct upstream of the first stage of the engine supercharger and of the auxiliary power unit compressor must have a drain to prevent the hazardous accumulation of fuel and moisture in the ground attitude. No drain may discharge where it might cause a fire hazard.
(b) Each induction system duct must be—
(1) Strong enough to prevent induction system failures resulting from normal backfire conditions; and
(2) Fire-resistant if it is in any fire zone for which a fire-extinguishing system is required, except that ducts for auxiliary power units must be fireproof within the auxiliary power unit fire zone.
(c) Each duct connected to components between which relative motion could exist must have means for flexibility.
(d) For turbine engine and auxiliary power unit bleed air duct systems, no hazard may result if a duct failure occurs at any point between the air duct source and the airplane unit served by the air.
(e) Each auxiliary power unit induction system duct must be fireproof for a sufficient distance upstream of the auxiliary power unit compartment to prevent hot gas reverse flow from burning through auxiliary power unit ducts and entering any other compartment or area of the airplane in which a hazard would be created resulting from the entry of hot gases. The materials used to form the remainder of the induction system duct and plenum chamber of the auxiliary power unit must be capable of resisting the maximum heat conditions likely to occur.
(f) Each auxiliary power unit induction system duct must be constructed of materials that will not absorb or trap hazardous quantities of flammable fluids that could be ignited in the event of a surge or reverse flow condition.
If induction system screens are used—
(a) Each screen must be upstream of the carburetor;
(b) No screen may be in any part of the induction system that is the only passage through which air can reach the engine, unless it can be deiced by heated air;
(c) No screen may be deiced by alcohol alone; and
(d) It must be impossible for fuel to strike any screen.
Each inter-cooler and after-cooler must be able to withstand any vibration, inertia, and air pressure load to which it would be subjected in operation.
For powerplant and auxiliary power unit installations the following apply:
(a) Each exhaust system must ensure safe disposal of exhaust gases without fire hazard or carbon monoxide contamination in any personnel compartment. For test purposes, any acceptable carbon monoxide detection method may be used to show the absence of carbon monoxide.
(b) Each exhaust system part with a surface hot enough to ignite flammable fluids or vapors must be located or shielded so that leakage from any system carrying flammable fluids or vapors will not result in a fire caused by impingement of the fluids or vapors on any part of the exhaust system including shields for the exhaust system.
(c) Each component that hot exhaust gases could strike, or that could be subjected to high temperatures from exhaust system parts, must be fireproof. All exhaust system components must be separated by fireproof shields from adjacent parts of the airplane that are outside the engine and auxiliary power unit compartments.
(d) No exhaust gases may discharge so as to cause a fire hazard with respect to any flammable fluid vent or drain.
(e) No exhaust gases may discharge where they will cause a glare seriously affecting pilot vision at night.
(f) Each exhaust system component must be ventilated to prevent points of excessively high temperature.
(g) Each exhaust shroud must be ventilated or insulated to avoid, during normal operation, a temperature high enough to ignite any flammable fluids or vapors external to the shroud.
For powerplant and auxiliary power unit installations, the following apply:
(a) Exhaust piping must be heat and corrosion resistant, and must have provisions to prevent failure due to expansion by operating temperatures.
(b) Piping must be supported to withstand any vibration and inertia loads to which it would be subjected in operation; and
(c) Piping connected to components between which relative motion could exist must have means for flexibility.
For reciprocating engine powered airplanes, the following apply:
(a) Each exhaust heat exchanger must be constructed and installed to withstand each vibration, inertia, and other load to which it would be subjected in operation. In addition—
(1) Each exchanger must be suitable for continued operation at high temperatures and resistant to corrosion from exhaust gases;
(2) There must be means for the inspection of the critical parts of each exchanger;
(3) Each exchanger must have cooling provisions wherever it is subject to contact with exhaust gases; and
(4) No exhaust heat exchanger or muff may have any stagnant areas or liquid traps that would increase the probability of ignition of flammable fluids or vapors that might be present in case of the failure or malfunction of components carrying flammable fluids.
(b) If an exhaust heat exchanger is used for heating ventilating air—
(1) There must be a secondary heat exchanger between the primary exhaust gas heat exchanger and the ventilating air system; or
(2) Other means must be used to preclude the harmful contamination of the ventilating air.
(a) Each exhaust driven turbo-supercharger must be approved or shown to be suitable for the particular application. It must be installed and supported to ensure safe operation between normal inspections and overhauls. In addition, there must be provisions for expansion and flexibility between exhaust conduits and the turbine.
(b) There must be provisions for lubricating the turbine and for cooling turbine parts where temperatures are critical.
(c) If the normal turbo-supercharger control system malfunctions, the turbine speed may not exceed its maximum allowable value. Except for the waste gate operating components, the components provided for meeting this requirement must be independent of the normal turbo-supercharger controls.
Each powerplant control must be located, arranged, and designed under §§ 25.777 through 25.781 and marked under § 25.1555. In addition, it must meet the following requirements:
(a) Each control must be located so that it cannot be inadvertently operated by persons entering, leaving, or moving normally in, the cockpit.
(b) Each flexible control must be approved or must be shown to be suitable for the particular application.
(c) Each control must have sufficient strength and rigidity to withstand operating loads without failure and without excessive deflection.
(d) Each control must be able to maintain any set position without constant attention by flight crewmembers and without creep due to control loads or vibration.
(e) The portion of each powerplant control located in a designated fire zone that is required to be operated in the event of fire must be at least fire resistant.
(f) For powerplant valve controls located in the flight deck there must be a means:
(1) For the flightcrew to select each intended position or function of the valve; and
(2) To indicate to the flightcrew:
(i) The selected position or function of the valve; and
(ii) When the valve has not responded as intended to the selected position or function.
Means must be provided on the flight deck for starting, stopping, and emergency shutdown of each installed auxiliary power unit.
(a) There must be a separate power or thrust control for each engine.
(b) Power and thrust controls must be arranged to allow—
(1) Separate control of each engine; and
(2) Simultaneous control of all engines.
(c) Each power and thrust control must provide a positive and immediately responsive means of controlling its engine.
(d) For each fluid injection (other than fuel) system and its controls not provided and approved as part of the engine, the applicant must show that the flow of the injection fluid is adequately controlled.
(e) If a power or thrust control incorporates a fuel shutoff feature, the control must have a means to prevent the inadvertent movement of the control into the shutoff position. The means must—
(1) Have a positive lock or stop at the idle position; and
(2) Require a separate and distinct operation to place the control in the shutoff position.
(a) Ignition switches must control each engine ignition circuit on each engine.
(b) There must be means to quickly shut off all ignition by the grouping of switches or by a master ignition control.
(c) Each group of ignition switches, except ignition switches for turbine engines for which continuous ignition is not required, and each master ignition control must have a means to prevent its inadvertent operation.
(a) If there are mixture controls, each engine must have a separate control. The controls must be grouped and arranged to allow—
(1) Separate control of each engine; and
(2) Simultaneous control of all engines.
(b) Each intermediate position of the mixture controls that corresponds to a normal operating setting must be identifiable by feel and sight.
(c) The mixture controls must be accessible to both pilots. However, if there is a separate flight engineer station with a control panel, the controls need be accessible only to the flight engineer.
(a) There must be a separate propeller speed and pitch control for each propeller.
(b) The controls must be grouped and arranged to allow—
(1) Separate control of each propeller; and
(2) Simultaneous control of all propellers.
(c) The controls must allow synchronization of all propellers.
(d) The propeller speed and pitch controls must be to the right of, and at least one inch below, the pilot's throttle controls.
(a) There must be a separate propeller feathering control for each propeller. The control must have means to prevent its inadvertent operation.
(b) If feathering is accomplished by movement of the propeller pitch or speed control lever, there must be means to prevent the inadvertent movement of this lever to the feathering position during normal operation.
Each control for reverse thrust and for propeller pitch settings below the flight regime must have means to prevent its inadvertent operation. The means must have a positive lock or stop at the flight idle position and must require a separate and distinct operation by the crew to displace the control from the flight regime (forward thrust regime for turbojet powered airplanes).
There must be a separate carburetor air temperature control for each engine.
Each supercharger control must be accessible to the pilots or, if there is a separate flight engineer station with a control panel, to the flight engineer.
Each fuel jettisoning system control must have guards to prevent inadvertent operation. No control may be near any fire extinguisher control or other control used to combat fire.
(a) Each engine mounted accessory must—
(1) Be approved for mounting on the engine involved;
(2) Use the provisions on the engine for mounting; and
(3) Be sealed to prevent contamination of the engine oil system and the accessory system.
(b) Electrical equipment subject to arcing or sparking must be installed to minimize the probability of contact with any flammable fluids or vapors that might be present in a free state.
(c) If continued rotation of an engine-driven cabin supercharger or of any remote accessory driven by the engine is hazardous if malfunctioning occurs, there must be means to prevent rotation without interfering with the continued operation of the engine.
(a) Each battery ignition system must be supplemented by a generator that is automatically available as an alternate source of electrical energy to allow continued engine operation if any battery becomes depleted.
(b) The capacity of batteries and generators must be large enough to meet the simultaneous demands of the engine ignition system and the greatest demands of any electrical system components that draw electrical energy from the same source.
(c) The design of the engine ignition system must account for—
(1) The condition of an inoperative generator;
(2) The condition of a completely depleted battery with the generator running at its normal operating speed; and
(3) The condition of a completely depleted battery with the generator operating at idling speed, if there is only one battery.
(d) Magneto ground wiring (for separate ignition circuits) that lies on the engine side of the fire wall, must be installed, located, or protected, to minimize the probability of simultaneous failure of two or more wires as a result of mechanical damage, electrical faults, or other cause.
(e) No ground wire for any engine may be routed through a fire zone of another engine unless each part of that wire within that zone is fireproof.
(f) Each ignition system must be independent of any electrical circuit, not used for assisting, controlling, or analyzing the operation of that system.
(g) There must be means to warn appropriate flight crewmembers if the malfunctioning of any part of the electrical system is causing the continuous discharge of any battery necessary for engine ignition.
(h) Each engine ignition system of a turbine powered airplane must be considered an essential electrical load.
For airplanes equipped with an accessory gearbox that is not certificated as part of an engine—
(a) The engine with gearbox and connecting transmissions and shafts attached must be subjected to the tests specified in § 33.49 or § 33.87 of this chapter, as applicable;
(b) The accessory gearbox must meet the requirements of §§ 33.25 and 33.53 or 33.91 of this chapter, as applicable; and
(c) Possible misalignments and torsional loadings of the gearbox, transmission, and shaft system, expected to result under normal operating conditions must be evaluated.
(a) Designated fire zones are—
(1) The engine power section;
(2) The engine accessory section;
(3) Except for reciprocating engines, any complete powerplant compartment in which no isolation is provided between the engine power section and the engine accessory section;
(4) Any auxiliary power unit compartment;
(5) Any fuel-burning heater and other combustion equipment installation described in § 25.859;
(6) The compressor and accessory sections of turbine engines; and
(7) Combustor, turbine, and tailpipe sections of turbine engine installations that contain lines or components carrying flammable fluids or gases.
(b) Each designated fire zone must meet the requirements of §§ 25.863, 25.865, 25.867, 25.869, and 25.1185 through 25.1203.
(a) Each nacelle area immediately behind the firewall, and each portion of any engine pod attaching structure containing flammable fluid lines, must meet each requirement of §§ 25.1103(b), 25.1165 (d) and (e), 25.1183, 25.1185(c), 25.1187, 25.1189, and 25.1195 through 25.1203, including those concerning designated fire zones. However, engine pod attaching structures need not contain fire detection or extinguishing means.
(b) For each area covered by paragraph (a) of this section that contains a retractable landing gear, compliance with that paragraph need only be shown with the landing gear retracted.
(a) Except as provided in paragraph (b) of this section, each line, fitting, and other component carrying flammable fluid in any area subject to engine fire conditions, and each component which conveys or contains flammable fluid in a designated fire zone must be fire resistant, except that flammable fluid tanks and supports in a designated fire zone must be fireproof or be enclosed by a fireproof shield unless damage by fire to any non-fireproof part will not cause leakage or spillage of flammable fluid. Components must be shielded or located to safeguard against the ignition of leaking flammable fluid. An integral oil sump of less than 25-quart capacity on a reciprocating engine need not be fireproof nor be enclosed by a fireproof shield.
(b) Paragraph (a) of this section does not apply to—
(1) Lines, fittings, and components which are already approved as part of a type certificated engine; and
(2) Vent and drain lines, and their fittings, whose failure will not result in, or add to, a fire hazard.
(c) All components, including ducts, within a designated fire zone must be fireproof if, when exposed to or damaged by fire, they could—
(1) Result in fire spreading to other regions of the airplane; or
(2) Cause unintentional operation of, or inability to operate, essential services or equipment.
(a) Except for the integral oil sumps specified in § 25.1183(a), no tank or reservoir that is a part of a system containing flammable fluids or gases may be in a designated fire zone unless the fluid contained, the design of the system, the materials used in the tank, the shut-off means, and all connections, lines, and control provide a degree of safety equal to that which would exist if the tank or reservoir were outside such a zone.
(b) There must be at least one-half inch of clear airspace between each tank or reservoir and each firewall or shroud isolating a designated fire zone.
(c) Absorbent materials close to flammable fluid system components that might leak must be covered or treated to prevent the absorption of hazardous quantities of fluids.
(a) There must be complete drainage of each part of each designated fire zone to minimize the hazards resulting from failure or malfunctioning of any component containing flammable fluids. The drainage means must be—
(1) Effective under conditions expected to prevail when drainage is needed; and
(2) Arranged so that no discharged fluid will cause an additional fire hazard.
(b) Each designated fire zone must be ventilated to prevent the accumulation of flammable vapors.
(c) No ventilation opening may be where it would allow the entry of flammable fluids, vapors, or flame from other zones.
(d) Each ventilation means must be arranged so that no discharged vapors will cause an additional fire hazard.
(e) Unless the extinguishing agent capacity and rate of discharge are based on maximum air flow through a zone, there must be means to allow the crew to shut off sources of forced ventilation to any fire zone except the engine power section of the nacelle and the combustion heater ventilating air ducts.
(a) Each engine installation and each fire zone specified in § 25.1181(a)(4) and (5) must have a means to shut off or otherwise prevent hazardous quantities of fuel, oil, deicer, and other flammable fluids, from flowing into, within, or through any designated fire zone, except that shutoff means are not required for—
(1) Lines, fittings, and components forming an integral part of an engine; and
(2) Oil systems for turbine engine installations in which all components of the system in a designated fire zone, including oil tanks, are fireproof or located in areas not subject to engine fire conditions.
(b) The closing of any fuel shutoff valve for any engine may not make fuel unavailable to the remaining engines.
(c) Operation of any shutoff may not interfere with the later emergency operation of other equipment, such as the means for feathering the propeller.
(d) Each flammable fluid shutoff means and control must be fireproof or must be located and protected so that any fire in a fire zone will not affect its operation.
(e) No hazardous quantity of flammable fluid may drain into any designated fire zone after shutoff.
(f) There must be means to guard against inadvertent operation of the shutoff means and to make it possible for the crew to reopen the shutoff means in flight after it has been closed.
(g) Each tank-to-engine shutoff valve must be located so that the operation of the valve will not be affected by powerplant or engine mount structural failure.
(h) Each shutoff valve must have a means to relieve excessive pressure accumulation unless a means for pressure relief is otherwise provided in the system.
(a) Each engine, auxiliary power unit, fuel-burning heater, other combustion equipment intended for operation in flight, and the combustion, turbine, and tailpipe sections of turbine engines, must be isolated from the rest of the airplane by firewalls, shrouds, or equivalent means.
(b) Each firewall and shroud must be—
(1) Fireproof;
(2) Constructed so that no hazardous quantity of air, fluid, or flame can pass from the compartment to other parts of the airplane;
(3) Constructed so that each opening is sealed with close fitting fireproof grommets, bushings, or firewall fittings; and
(4) Protected against corrosion.
For reciprocating engines, the engine power section and all portions of the exhaust system must be isolated from the engine accessory compartment by a diaphragm that complies with the firewall requirements of § 25.1191.
(a) Each cowling must be constructed and supported so that it can resist any vibration, inertia, and air load to which it may be subjected in operation.
(b) Cowling must meet the drainage and ventilation requirements of § 25.1187.
(c) On airplanes with a diaphragm isolating the engine power section from the engine accessory section, each part of the accessory section cowling subject to flame in case of fire in the engine power section of the powerplant must—
(1) Be fireproof; and
(2) Meet the requirements of § 25.1191.
(d) Each part of the cowling subject to high temperatures due to its nearness to exhaust system parts or exhaust gas impingement must be fireproof.
(e) Each airplane must—
(1) Be designed and constructed so that no fire originating in any fire zone can enter, either through openings or by burning through external skin, any other zone or region where it would create additional hazards;
(2) Meet paragraph (e)(1) of this section with the landing gear retracted (if applicable); and
(3) Have fireproof skin in areas subject to flame if a fire starts in the engine power or accessory sections.
(a) Except for combustor, turbine, and tail pipe sections of turbine engine installations that contain lines or components carrying flammable fluids or gases for which it is shown that a fire originating in these sections can be controlled, there must be a fire extinguisher system serving each designated fire zone.
(b) The fire extinguishing system, the quantity of the extinguishing agent, the rate of discharge, and the discharge distribution must be adequate to extinguish fires. It must be shown by either actual or simulated flights tests that under critical airflow conditions in flight the discharge of the extinguishing agent in each designated fire zone specified in paragraph (a) of this section will provide an agent concentration capable of extinguishing fires in that zone and of minimizing the probability of reignition. An individual “one-shot” system may be used for auxiliary power units, fuel burning heaters, and other combustion equipment. For each other designated fire zone, two discharges must be provided each of which produces adequate agent concentration.
(c) The fire extinguishing system for a nacelle must be able to simultaneously protect each zone of the nacelle for which protection is provided.
(a) Fire extinguishing agents must—
(1) Be capable of extinguishing flames emanating from any burning of fluids or other combustible materials in the area protected by the fire extinguishing system; and
(2) Have thermal stability over the temperature range likely to be experienced in the compartment in which they are stored.
(b) If any toxic extinguishing agent is used, provisions must be made to prevent harmful concentrations of fluid or fluid vapors (from leakage during normal operation of the airplane or as a result of discharging the fire extinguisher on the ground or in flight) from entering any personnel compartment, even though a defect may exist in the extinguishing system. This must be shown by test except for built-in carbon dioxide fuselage compartment fire extinguishing systems for which—
(1) Five pounds or less of carbon dioxide will be discharged, under established fire control procedures, into any fuselage compartment; or
(2) There is protective breathing equipment for each flight crewmember on flight deck duty.
(a) Each extinguishing agent container must have a pressure relief to prevent bursting of the container by excessive internal pressures.
(b) The discharge end of each discharge line from a pressure relief connection must be located so that discharge of the fire extinguishing agent would not damage the airplane. The line must also be located or protected to prevent clogging caused by ice or other foreign matter.
(c) There must be a means for each fire extinguishing agent container to indicate that the container has discharged or that the charging pressure is below the established minimum necessary for proper functioning.
(d) The temperature of each container must be maintained, under intended operating conditions, to prevent the pressure in the container from—
(1) Falling below that necessary to provide an adequate rate of discharge; or
(2) Rising high enough to cause premature discharge.
(e) If a pyrotechnic capsule is used to discharge the extinguishing agent, each container must be installed so that temperature conditions will not cause hazardous deterioration of the pyrotechnic capsule.
(a) No material in any fire extinguishing system may react chemically with any extinguishing agent so as to create a hazard.
(b) Each system component in an engine compartment must be fireproof.
(a) There must be approved, quick acting fire or overheat detectors in each designated fire zone, and in the combustion, turbine, and tailpipe sections of turbine engine installations, in numbers and locations ensuring prompt detection of fire in those zones.
(b) Each fire detector system must be constructed and installed so that—
(1) It will withstand the vibration, inertia, and other loads to which it may be subjected in operation;
(2) There is a means to warn the crew in the event that the sensor or associated wiring within a designated fire zone is severed at one point, unless the system continues to function as a satisfactory detection system after the severing; and
(3) There is a means to warn the crew in the event of a short circuit in the sensor or associated wiring within a designated fire zone, unless the system continues to function as a satisfactory detection system after the short circuit.
(c) No fire or overheat detector may be affected by any oil, water, other fluids or fumes that might be present.
(d) There must be means to allow the crew to check, in flight, the functioning of each fire or overheat detector electric circuit.
(e) Components of each fire or overheat detector system in a fire zone must be fire-resistant.
(f) No fire or overheat detector system component for any fire zone may pass through another fire zone, unless—
(1) It is protected against the possibility of false warnings resulting from fires in zones through which it passes; or
(2) Each zone involved is simultaneously protected by the same detector and extinguishing system.
(g) Each fire detector system must be constructed so that when it is in the configuration for installation it will not exceed the alarm activation time approved for the detectors using the response time criteria specified in the appropriate Technical Standard Order for the detector.
(h) EWIS for each fire or overheat detector system in a fire zone must meet the requirements of § 25.1731.
Unless otherwise specified, compliance with the requirements of §§ 25.1181 through 25.1203 must be shown by a full scale fire test or by one or more of the following methods:
(a) Tests of similar powerplant configurations;
(b) Tests of components;
(c) Service experience of aircraft with similar powerplant configurations;
(d) Analysis.
Each item of installed equipment must—
(a) Be of a kind and design appropriate to its intended function;
(b) Be labeled as to its identification, function, or operating limitations, or any applicable combination of these factors; and
(c) Be installed according to limitations specified for that equipment.
This section applies to installed systems and equipment intended for flightcrew members' use in operating the airplane from their normally seated positions on the flight deck. The applicant must show that these systems and installed equipment, individually and in combination with other such systems and equipment, are designed so that qualified flightcrew members trained in their use can safely perform all of the tasks associated with the systems' and equipment's intended functions. Such installed equipment and systems must meet the following requirements:
(a) Flight deck controls must be installed to allow accomplishment of all the tasks required to safely perform the equipment's intended function, and information must be provided to the flightcrew that is necessary to accomplish the defined tasks.
(b) Flight deck controls and information intended for the flightcrew's use must:
(1) Be provided in a clear and unambiguous manner at a resolution and precision appropriate to the task;
(2) Be accessible and usable by the flightcrew in a manner consistent with the urgency, frequency, and duration of their tasks; and
(3) Enable flightcrew awareness, if awareness is required for safe operation, of the effects on the airplane or systems resulting from flightcrew actions.
(c) Operationally-relevant behavior of the installed equipment must be:
(1) Predictable and unambiguous; and
(2) Designed to enable the flightcrew to intervene in a manner appropriate to the task.
(d) To the extent practicable, installed equipment must incorporate means to enable the flightcrew to manage errors resulting from the kinds of flightcrew interactions with the equipment that can be reasonably expected in service. This paragraph does not apply to any of the following:
(1) Skill-related errors associated with manual control of the airplane;
(2) Errors that result from decisions, actions, or omissions committed with malicious intent;
(3) Errors arising from a crewmember's reckless decisions, actions, or omissions reflecting a substantial disregard for safety; and
(4) Errors resulting from acts or threats of violence, including actions taken under duress.
(a) The following flight and navigation instruments must be installed so that the instrument is visible from each pilot station:
(1) A free air temperature indicator or an air-temperature indicator which provides indications that are convertible to free-air temperature.
(2) A clock displaying hours, minutes, and seconds with a sweep-second pointer or digital presentation.
(3) A direction indicator (nonstabilized magnetic compass).
(b) The following flight and navigation instruments must be installed at each pilot station:
(1) An airspeed indicator. If airspeed limitations vary with altitude, the indicator must have a maximum allowable airspeed indicator showing the variation of V
(2) An altimeter (sensitive).
(3) A rate-of-climb indicator (vertical speed).
(4) A gyroscopic rate-of-turn indicator combined with an integral slip-skid indicator (turn-and-bank indicator) except that only a slip-skid indicator is required on large airplanes with a third attitude instrument system useable through flight attitudes of 360° of pitch and roll and installed in accordance with § 121.305(k) of this title.
(5) A bank and pitch indicator (gyroscopically stabilized).
(6) A direction indicator (gyroscopically stabilized, magnetic or nonmagnetic).
(c) The following flight and navigation instruments are required as prescribed in this paragraph:
(1) A speed warning device is required for turbine engine powered airplanes and for airplanes with V
(2) A machmeter is required at each pilot station for airplanes with compressibility limitations not otherwise indicated to the pilot by the airspeed indicating system required under paragraph (b)(1) of this section.
The following are required powerplant instruments:
(a) For all airplanes. (1) A fuel pressure warning means for each engine, or a master warning means for all engines with provision for isolating the individual warning means from the master warning means.
(2) A fuel quantity indicator for each fuel tank.
(3) An oil quantity indicator for each oil tank.
(4) An oil pressure indicator for each independent pressure oil system of each engine.
(5) An oil pressure warning means for each engine, or a master warning means for all engines with provision for isolating the individual warning means from the master warning means.
(6) An oil temperature indicator for each engine.
(7) Fire-warning devices that provide visual and audible warning.
(8) An augmentation liquid quantity indicator (appropriate for the manner in which the liquid is to be used in operation) for each tank.
(b) For reciprocating engine-powered airplanes. In addition to the powerplant instruments required by paragraph (a) of this section, the following powerplant instruments are required:
(1) A carburetor air temperature indicator for each engine.
(2) A cylinder head temperature indicator for each air-cooled engine.
(3) A manifold pressure indicator for each engine.
(4) A fuel pressure indicator (to indicate the pressure at which the fuel is supplied) for each engine.
(5) A fuel flowmeter, or fuel mixture indicator, for each engine without an automatic altitude mixture control.
(6) A tachometer for each engine.
(7) A device that indicates, to the flight crew (during flight), any change in the power output, for each engine with—
(i) An automatic propeller feathering system, whose operation is initiated by a power output measuring system; or
(ii) A total engine piston displacement of 2,000 cubic inches or more.
(8) A means to indicate to the pilot when the propeller is in reverse pitch, for each reversing propeller.
(c) For turbine engine-powered airplanes. In addition to the powerplant instruments required by paragraph (a) of this section, the following powerplant instruments are required:
(1) A gas temperature indicator for each engine.
(2) A fuel flowmeter indicator for each engine.
(3) A tachometer (to indicate the speed of the rotors with established limiting speeds) for each engine.
(4) A means to indicate, to the flight crew, the operation of each engine starter that can be operated continuously but that is neither designed for continuous operation nor designed to prevent hazard if it failed.
(5) An indicator to indicate the functioning of the powerplant ice protection system for each engine.
(6) An indicator for the fuel strainer or filter required by § 25.997 to indicate the occurrence of contamination of the strainer or filter before it reaches the capacity established in accordance with § 25.997(d).
(7) A warning means for the oil strainer or filter required by § 25.1019, if it has no bypass, to warn the pilot of the occurrence of contamination of the strainer or filter screen before it reaches the capacity established in accordance with § 25.1019(a)(2).
(8) An indicator to indicate the proper functioning of any heater used to prevent ice clogging of fuel system components.
(d) For turbojet engine powered airplanes. In addition to the powerplant instruments required by paragraphs (a) and (c) of this section, the following powerplant instruments are required:
(1) An indicator to indicate thrust, or a parameter that is directly related to thrust, to the pilot. The indication must be based on the direct measurement of thrust or of parameters that are directly related to thrust. The indicator must indicate a change in thrust resulting from any engine malfunction, damage, or deterioration.
(2) A position indicating means to indicate to the flightcrew when the thrust reversing device—
(i) Is not in the selected position, and
(ii) Is in the reverse thrust position, for each engine using a thrust reversing device.
(3) An indicator to indicate rotor system unbalance.
(e) For turbopropeller-powered airplanes. In addition to the powerplant instruments required by paragraphs (a) and (c) of this section, the following powerplant instruments are required:
(1) A torque indicator for each engine.
(2) Position indicating means to indicate to the flight crew when the propeller blade angle is below the flight low pitch position, for each propeller.
(f) For airplanes equipped with fluid systems (other than fuel) for thrust or power augmentation, an approved means must be provided to indicate the proper functioning of that system to the flight crew.
The following is required miscellaneous equipment:
(a) [Reserved]
(b) Two or more independent sources of electrical energy.
(c) Electrical protective devices, as prescribed in this part.
(d) Two systems for two-way radio communications, with controls for each accessible from each pilot station, designed and installed so that failure of one system will not preclude operation of the other system. The use of a common antenna system is acceptable if adequate reliability is shown.
(e) Two systems for radio navigation, with controls for each accessible from each pilot station, designed and installed so that failure of one system will not preclude operation of the other system. The use of a common antenna system is acceptable if adequate reliability is shown.
The requirements of this section, except as identified below, apply to any equipment or system as installed on the airplane. Although this section does not apply to the performance and flight characteristic requirements of subpart B of this part, or to the structural requirements of subparts C and D of this part, it does apply to any system on which compliance with any of those requirements is dependent. Section 25.1309(b) does not apply to the flight control jam conditions addressed by § 25.671(c)(3); single failures in the brake system addressed by § 25.735(b)(1); the failure conditions addressed by §§ 25.810(a)(1)(v) and 25.812; uncontained engine rotor failure, engine case rupture, or engine case burn-through failures addressed by §§ 25.903(d)(1) and 25.1193 and part 33 of this chapter; and propeller debris release failures addressed by § 25.905(d) and part 35 of this chapter.
(a) The airplane's equipment and systems must be designed and installed so that:
(1) The equipment and systems required for type certification or by operating rules, or whose improper functioning would reduce safety, perform as intended under the airplane operating and environmental conditions; and
(2) Other equipment and systems, functioning normally or abnormally, do not adversely affect the safety of the airplane or its occupants or the proper functioning of the equipment and systems addressed by paragraph (a)(1) of this section.
(b) The airplane systems and associated components, evaluated separately and in relation to other systems, must be designed and installed so that they meet all of the following requirements:
(1) Each catastrophic failure condition—
(i) Must be extremely improbable; and
(ii) Must not result from a single failure.
(2) Each hazardous failure condition must be extremely remote.
(3) Each major failure condition must be remote.
(4) Each significant latent failure must be eliminated as far as practical, or, if not practical to eliminate, the latency of the significant latent failure must be minimized. However, the requirements of the previous sentence do not apply if the associated system meets the requirements of paragraphs (b)(1) and (b)(2) of this section, assuming the significant latent failure has occurred.
(5) For each catastrophic failure condition that results from two failures, either of which could be latent for more than one flight, the applicant must show that—
(i) It is impractical to provide additional fault tolerance; and
(ii) Given the occurrence of any single latent failure, the residual average probability of the catastrophic failure condition due to all subsequent active failures is remote; and
(iii) The sum of the probabilities of the latent failures that are combined with each active failure does not exceed 1/1000.
(c) The airplane and systems must provide information concerning unsafe system operating conditions to the flightcrew to enable them to take appropriate corrective action in a timely manner. Systems and controls, including information, indications, and annunciations, must be designed to minimize flightcrew errors that could create additional hazards.
(d) [Reserved]
(e) The applicant must establish certification maintenance requirements as necessary to prevent the development of the failure conditions described in paragraph (b) of this section. These requirements must be included in the Airworthiness Limitations section of the Instructions for Continued Airworthiness required by § 25.1529.
(a) Each installation whose functioning is required for type certification or under operating rules and that requires a power supply is an “essential load” on the power supply. The power sources and the system must be able to supply the following power loads in probable operating combinations and for probable durations:
(1) Loads connected to the system with the system functioning normally.
(2) Essential loads, after failure of any one prime mover, power converter, or energy storage device.
(3) Essential loads after failure of—
(i) Any one engine on two-engine airplanes; and
(ii) Any two engines on airplanes with three or more engines.
(4) Essential loads for which an alternate source of power is required, after any failure or malfunction in any one power supply system, distribution system, or other utilization system.
(b) In determining compliance with paragraphs (a)(2) and (3) of this section, the power loads may be assumed to be reduced under a monitoring procedure consistent with safety in the kinds of operation authorized. Loads not required in controlled flight need not be considered for the two-engine-inoperative condition on airplanes with three or more engines.
(a) Each electrical and electronic system that performs a function, for which failure would prevent the continued safe flight and landing of the airplane, must be designed and installed so that—
(1) The function is not adversely affected during and after the time the airplane is exposed to lightning; and
(2) The system automatically recovers normal operation of that function in a timely manner after the airplane is exposed to lightning.
(b) Each electrical and electronic system that performs a function, for which failure would reduce the capability of the airplane or the ability of the flightcrew to respond to an adverse operating condition, must be designed and installed so that the function recovers normal operation in a timely manner after the airplane is exposed to lightning.
(a) Except as provided in paragraph (d) of this section, each electrical and electronic system that performs a function whose failure would prevent the continued safe flight and landing of the airplane must be designed and installed so that—
(1) The function is not adversely affected during and after the time the airplane is exposed to HIRF environment I, as described in appendix L to this part;
(2) The system automatically recovers normal operation of that function, in a timely manner, after the airplane is exposed to HIRF environment I, as described in appendix L to this part, unless the system's recovery conflicts with other operational or functional requirements of the system; and
(3) The system is not adversely affected during and after the time the airplane is exposed to HIRF environment II, as described in appendix L to this part.
(b) Each electrical and electronic system that performs a function whose failure would significantly reduce the capability of the airplane or the ability of the flightcrew to respond to an adverse operating condition must be designed and installed so the system is not adversely affected when the equipment providing these functions is exposed to equipment HIRF test level 1 or 2, as described in appendix L to this part.
(c) Each electrical and electronic system that performs a function whose failure would reduce the capability of the airplane or the ability of the flightcrew to respond to an adverse operating condition must be designed and installed so the system is not adversely affected when the equipment providing the function is exposed to equipment HIRF test level 3, as described in appendix L to this part.
(d) Before December 1, 2012, an electrical or electronic system that performs a function whose failure would prevent the continued safe flight and landing of an airplane may be designed and installed without meeting the provisions of paragraph (a) provided—
(1) The system has previously been shown to comply with special conditions for HIRF, prescribed under § 21.16, issued before December 1, 2007;
(2) The HIRF immunity characteristics of the system have not changed since compliance with the special conditions was demonstrated; and
(3) The data used to demonstrate compliance with the special conditions is provided.
(a) Each flight, navigation, and powerplant instrument for use by any pilot must be plainly visible to him from his station with the minimum practicable deviation from his normal position and line of vision when he is looking forward along the flight path.
(b) The flight instruments required by § 25.1303 must be grouped on the instrument panel and centered as nearly as practicable about the vertical plane of the pilot's forward vision. In addition—
(1) The instrument that most effectively indicates attitude must be on the panel in the top center position;
(2) The instrument that most effectively indicates airspeed must be adjacent to and directly to the left of the instrument in the top center position:
(3) The instrument that most effectively indicates altitude must be adjacent to and directly to the right of the instrument in the top center position; and
(4) The instrument that most effectively indicates direction of flight must be adjacent to and directly below the instrument in the top center position.
(c) Required powerplant instruments must be closely grouped on the instrument panel. In addition—
(1) The location of identical powerplant instruments for the engines must prevent confusion as to which engine each instrument relates; and
(2) Powerplant instruments vital to the safe operation of the airplane must be plainly visible to the appropriate crewmembers.
(d) Instrument panel vibration may not damage or impair the accuracy of any instrument.
(e) If a visual indicator is provided to indicate malfunction of an instrument, it must be effective under all probable cockpit lighting conditions.
(a) Flightcrew alerts must:
(1) Provide the flightcrew with the information needed to:
(i) Identify non-normal operation or airplane system conditions, and
(ii) Determine the appropriate actions, if any.
(2) Be readily and easily detectable and intelligible by the flightcrew under all foreseeable operating conditions, including conditions where multiple alerts are provided.
(3) Be removed when the alerting condition no longer exists.
(b) Alerts must conform to the following prioritization hierarchy based on the urgency of flightcrew awareness and response.
(1) Warning: For conditions that require immediate flightcrew awareness and immediate flightcrew response.
(2) Caution: For conditions that require immediate flightcrew awareness and subsequent flightcrew response.
(3) Advisory: For conditions that require flightcrew awareness and may require subsequent flightcrew response.
(c) Warning and caution alerts must:
(1) Be prioritized within each category, when necessary.
(2) Provide timely attention-getting cues through at least two different senses by a combination of aural, visual, or tactile indications.
(3) Permit each occurrence of the attention-getting cues required by paragraph (c)(2) of this section to be acknowledged and suppressed, unless they are required to be continuous.
(d) The alert function must be designed to minimize the effects of false and nuisance alerts. In particular, it must be designed to:
(1) Prevent the presentation of an alert that is inappropriate or unnecessary.
(2) Provide a means to suppress an attention-getting component of an alert caused by a failure of the alerting function that interferes with the flightcrew's ability to safely operate the airplane. This means must not be readily available to the flightcrew so that it could be operated inadvertently or by habitual reflexive action. When an alert is suppressed, there must be a clear and unmistakable annunciation to the flightcrew that the alert has been suppressed.
(e) Visual alert indications must:
(1) Conform to the following color convention:
(i) Red for warning alert indications.
(ii) Amber or yellow for caution alert indications.
(iii) Any color except red or green for advisory alert indications.
(2) Use visual coding techniques, together with other alerting function elements on the flight deck, to distinguish between warning, caution, and advisory alert indications, if they are presented on monochromatic displays that are not capable of conforming to the color convention in paragraph (e)(1) of this section.
(f) Use of the colors red, amber, and yellow on the flight deck for functions other than flightcrew alerting must be limited and must not adversely affect flightcrew alerting.
For each airspeed indicating system, the following apply:
(a) Each airspeed indicating instrument must be approved and must be calibrated to indicate true airspeed (at sea level with a standard atmosphere) with a minimum practicable instrument calibration error when the corresponding pitot and static pressures are applied.
(b) Each system must be calibrated to determine the system error (that is, the relation between IAS and CAS) in flight and during the accelerated takeoff ground run. The ground run calibration must be determined—
(1) From 0.8 of the minimum value of V
(2) With the flaps and power settings corresponding to the values determined in the establishment of the takeoff path under § 25.111 assuming that the critical engine fails at the minimum value of V
(c) The airspeed error of the installation, excluding the airspeed indicator instrument calibration error, may not exceed three percent or five knots, whichever is greater, throughout the speed range, from—
(1) V
(2) 1.23 V
(d) From 1.23 V
(e) From V
(f) There must be no indication of airspeed that would cause undue difficulty to the pilot during the takeoff between the initiation of rotation and the achievement of a steady climbing condition.
(g) The effects of airspeed indicating system lag may not introduce significant takeoff indicated airspeed bias, or significant errors in takeoff or accelerate-stop distances.
(h) Each system must be arranged, so far as practicable, to prevent malfunction or serious error due to the entry of moisture, dirt, or other substances.
(i) Each system must have a heated pitot tube or an equivalent means of preventing malfunction in the heavy rain conditions defined in Table 1 of this section; mixed phase and ice crystal conditions as defined in part 33, Appendix D, of this chapter; the icing conditions defined in Appendix C of this part; and the following icing conditions specified in Appendix O of this part:
(1) For airplanes certificated in accordance with § 25.1420(a)(1), the icing conditions that the airplane is certified to safely exit following detection.
(2) For airplanes certificated in accordance with § 25.1420(a)(2), the icing conditions that the airplane is certified to safely operate in and the icing conditions that the airplane is certified to safely exit following detection.
(3) For airplanes certificated in accordance with § 25.1420(a)(3) and for airplanes not subject to § 25.1420, all icing conditions.
Table 1—Heavy Rain Conditions for Airspeed Indicating System Tests
| Altitude range | Liquid water content | Horizontal extent | Droplet MVD | ||
|---|---|---|---|---|---|
| (ft) | (m) | (g/m3) | (km) | (nmiles) | (µm) |
| 0 to 10 000 | 0 to 3000 | 1 | 100 | 50 | 1000 |
| 6 | 5 | 3 | 2000 | ||
| 15 | 1 | 0.5 | 2000 | ||
(j) Where duplicate airspeed indicators are required, their respective pitot tubes must be far enough apart to avoid damage to both tubes in a collision with a bird.
Each angle of attack system sensor must be heated or have an equivalent means of preventing malfunction in the heavy rain conditions defined in Table 1 of § 25.1323, the mixed phase and ice crystal conditions as defined in part 33, Appendix D, of this chapter, the icing conditions defined in Appendix C of this part, and the following icing conditions specified in Appendix O of this part:
(a) For airplanes certificated in accordance with § 25.1420(a)(1), the icing conditions that the airplane is certified to safely exit following detection.
(b) For airplanes certificated in accordance with § 25.1420(a)(2), the icing conditions that the airplane is certified to safely operate in and the icing conditions that the airplane is certified to safely exit following detection.
(c) For airplanes certificated in accordance with § 25.1420(a)(3) and for airplanes not subject to § 25.1420, all icing conditions.
(a) Each instrument with static air case connections must be vented to the outside atmosphere through an appropriate piping system.
(b) Each static port must be designed and located so that:
(1) The static pressure system performance is least affected by airflow variation, or by moisture or other foreign matter; and
(2) The correlation between air pressure in the static pressure system and true ambient atmospheric static pressure is not changed when the airplane is exposed to the icing conditions defined in Appendix C of this part, and the following icing conditions specified in Appendix O of this part:
(i) For airplanes certificated in accordance with § 25.1420(a)(1), the icing conditions that the airplane is certified to safely exit following detection.
(ii) For airplanes certificated in accordance with § 25.1420(a)(2), the icing conditions that the airplane is certified to safely operate in and the icing conditions that the airplane is certified to safely exit following detection.
(iii) For airplanes certificated in accordance with § 25.1420(a)(3) and for airplanes not subject to § 25.1420, all icing conditions.
(c) The design and installation of the static pressure system must be such that—
(1) Positive drainage of moisture is provided; chafing of the tubing and excessive distortion or restriction at bends in the tubing is avoided; and the materials used are durable, suitable for the purpose intended, and protected against corrosion; and
(2) It is airtight except for the port into the atmosphere. A proof test must be conducted to demonstrate the integrity of the static pressure system in the following manner:
(i) Unpressurized airplanes. Evacuate the static pressure system to a pressure differential of approximately 1 inch of mercury or to a reading on the altimeter, 1,000 feet above the airplane elevation at the time of the test. Without additional pumping for a period of 1 minute, the loss of indicated altitude must not exceed 100 feet on the altimeter.
(ii) Pressurized airplanes. Evacuate the static pressure system until a pressure differential equivalent to the maximum cabin pressure differential for which the airplane is type certificated is achieved. Without additional pumping for a period of 1 minute, the loss of indicated altitude must not exceed 2 percent of the equivalent altitude of the maximum cabin differential pressure or 100 feet, whichever is greater.
(d) Each pressure altimeter must be approved and must be calibrated to indicate pressure altitude in a standard atmosphere, with a minimum practicable calibration error when the corresponding static pressures are applied.
(e) Each system must be designed and installed so that the error in indicated pressure altitude, at sea level, with a standard atmosphere, excluding instrument calibration error, does not result in an error of more than ±30 feet per 100 knots speed for the appropriate configuration in the speed range between 1.23 V
(f) If an altimeter system is fitted with a device that provides corrections to the altimeter indication, the device must be designed and installed in such manner that it can be bypassed when it malfunctions, unless an alternate altimeter system is provided. Each correction device must be fitted with a means for indicating the occurrence of reasonably probable malfunctions, including power failure, to the flight crew. The indicating means must be effective for any cockpit lighting condition likely to occur.
(g) Except as provided in paragraph (h) of this section, if the static pressure system incorporates both a primary and an alternate static pressure source, the means for selecting one or the other source must be designed so that—
(1) When either source is selected, the other is blocked off; and
(2) Both sources cannot be blocked off simultaneously.
(h) For unpressurized airplanes, paragraph (g)(1) of this section does not apply if it can be demonstrated that the static pressure system calibration, when either static pressure source is selected, is not changed by the other static pressure source being open or blocked.
If a flight instrument pitot heating system is installed, an indication system must be provided to indicate to the flight crew when that pitot heating system is not operating. The indication system must comply with the following requirements:
(a) The indication provided must incorporate an amber light that is in clear view of a flight crewmember.
(b) The indication provided must be designed to alert the flight crew if either of the following conditions exist:
(1) The pitot heating system is switched “off”.
(2) The pitot heating system is switched “on” and any pitot tube heating element is inoperative.
(a) Each magnetic direction indicator must be installed so that its accuracy is not excessively affected by the airplane's vibration or magnetic fields.
(b) The compensated installation may not have a deviation, in level flight, greater than 10 degrees on any heading.
(a) Quick disengagement controls for the autopilot and autothrust functions must be provided for each pilot. The autopilot quick disengagement controls must be located on both control wheels (or equivalent). The autothrust quick disengagement controls must be located on the thrust control levers. Quick disengagement controls must be readily accessible to each pilot while operating the control wheel (or equivalent) and thrust control levers.
(b) The effects of a failure of the system to disengage the autopilot or autothrust functions when manually commanded by the pilot must be assessed in accordance with the requirements of § 25.1309.
(c) Engagement or switching of the flight guidance system, a mode, or a sensor may not cause a transient response of the airplane's flight path any greater than a minor transient, as defined in paragraph (n)(1) of this section.
(d) Under normal conditions, the disengagement of any automatic control function of a flight guidance system may not cause a transient response of the airplane's flight path any greater than a minor transient.
(e) Under rare normal and non-normal conditions, disengagement of any automatic control function of a flight guidance system may not result in a transient any greater than a significant transient, as defined in paragraph (n)(2) of this section.
(f) The function and direction of motion of each command reference control, such as heading select or vertical speed, must be plainly indicated on, or adjacent to, each control if necessary to prevent inappropriate use or confusion.
(g) Under any condition of flight appropriate to its use, the flight guidance system may not produce hazardous loads on the airplane, nor create hazardous deviations in the flight path. This applies to both fault-free operation and in the event of a malfunction, and assumes that the pilot begins corrective action within a reasonable period of time.
(h) When the flight guidance system is in use, a means must be provided to avoid excursions beyond an acceptable margin from the speed range of the normal flight envelope. If the airplane experiences an excursion outside this range, a means must be provided to prevent the flight guidance system from providing guidance or control to an unsafe speed.
(i) The flight guidance system functions, controls, indications, and alerts must be designed to minimize flightcrew errors and confusion concerning the behavior and operation of the flight guidance system. Means must be provided to indicate the current mode of operation, including any armed modes, transitions, and reversions. Selector switch position is not an acceptable means of indication. The controls and indications must be grouped and presented in a logical and consistent manner. The indications must be visible to each pilot under all expected lighting conditions.
(j) Following disengagement of the autopilot, a warning (visual and auditory) must be provided to each pilot and be timely and distinct from all other cockpit warnings.
(k) Following disengagement of the autothrust function, a caution must be provided to each pilot.
(l) The autopilot may not create a potential hazard when the flightcrew applies an override force to the flight controls.
(m) During autothrust operation, it must be possible for the flightcrew to move the thrust levers without requiring excessive force. The autothrust may not create a potential hazard when the flightcrew applies an override force to the thrust levers.
(n) For purposes of this section, a transient is a disturbance in the control or flight path of the airplane that is not consistent with response to flightcrew inputs or environmental conditions.
(1) A minor transient would not significantly reduce safety margins and would involve flightcrew actions that are well within their capabilities. A minor transient may involve a slight increase in flightcrew workload or some physical discomfort to passengers or cabin crew.
(2) A significant transient may lead to a significant reduction in safety margins, an increase in flightcrew workload, discomfort to the flightcrew, or physical distress to the passengers or cabin crew, possibly including non-fatal injuries. Significant transients do not require, in order to remain within or recover to the normal flight envelope, any of the following:
(i) Exceptional piloting skill, alertness, or strength.
(ii) Forces applied by the pilot which are greater than those specified in § 25.143(c).
(iii) Accelerations or attitudes in the airplane that might result in further hazard to secured or non-secured occupants.
(a) For each instrument required by § 25.1303(b) that uses a power supply, the following apply:
(1) Each instrument must have a visual means integral with, the instrument, to indicate when power adequate to sustain proper instrument performance is not being supplied. The power must be measured at or near the point where it enters the instruments. For electric instruments, the power is considered to be adequate when the voltage is within approved limits.
(2) Each instrument must, in the event of the failure of one power source, be supplied by another power source. This may be accomplished automatically or by manual means.
(3) If an instrument presenting navigation data receives information from sources external to that instrument and loss of that information would render the presented data unreliable, the instrument must incorporate a visual means to warn the crew, when such loss of information occurs, that the presented data should not be relied upon.
(b) As used in this section, “instrument” includes devices that are physically contained in one unit, and devices that are composed of two or more physically separate units or components connected together (such as a remote indicating gyroscopic direction indicator that includes a magnetic sensing element, a gyroscopic unit, an amplifier and an indicator connected together).
For systems that operate the instruments required by § 25.1303(b) which are located at each pilot's station—
(a) Means must be provided to connect the required instruments at the first pilot's station to operating systems which are independent of the operating systems at other flight crew stations, or other equipment;
(b) The equipment, systems, and installations must be designed so that one display of the information essential to the safety of flight which is provided by the instruments, including attitude, direction, airspeed, and altitude will remain available to the pilots, without additional crewmember action, after any single failure or combination of failures that is not shown to be extremely improbable; and
(c) Additional instruments, systems, or equipment may not be connected to the operating systems for the required instruments, unless provisions are made to ensure the continued normal functioning of the required instruments in the event of any malfunction of the additional instruments, systems, or equipment which is not shown to be extremely improbable.
(a) Instruments and instrument lines. (1) Each powerplant and auxiliary power unit instrument line must meet the requirements of §§ 25.993 and 25.1183.
(2) Each line carrying flammable fluids under pressure must—
(i) Have restricting orifices or other safety devices at the source of pressure to prevent the escape of excessive fluid if the line fails; and
(ii) Be installed and located so that the escape of fluids would not create a hazard.
(3) Each powerplant and auxiliary power unit instrument that utilizes flammable fluids must be installed and located so that the escape of fluid would not create a hazard.
(b) Fuel quantity indicator. There must be means to indicate to the flight crewmembers, the quantity, in gallons or equivalent units, of usable fuel in each tank during flight. In addition—
(1) Each fuel quantity indicator must be calibrated to read “zero” during level flight when the quantity of fuel remaining in the tank is equal to the unusable fuel supply determined under § 25.959;
(2) Tanks with interconnected outlets and airspaces may be treated as one tank and need not have separate indicators; and
(3) Each exposed sight gauge, used as a fuel quantity indicator, must be protected against damage.
(c) Fuel flowmeter system. If a fuel flowmeter system is installed, each metering component must have a means for bypassing the fuel supply if malfunction of that component severely restricts fuel flow.
(d) Oil quantity indicator. There must be a stick gauge or equivalent means to indicate the quantity of oil in each tank. If an oil transfer or reserve oil supply system is installed, there must be a means to indicate to the flight crew, in flight, the quantity of oil in each tank.
(e) Turbopropeller blade position indicator. Required turbopropeller blade position indicators must begin indicating before the blade moves more than eight degrees below the flight low pitch stop. The source of indication must directly sense the blade position.
(f) Fuel pressure indicator. There must be means to measure fuel pressure, in each system supplying reciprocating engines, at a point downstream of any fuel pump except fuel injection pumps. In addition—
(1) If necessary for the maintenance of proper fuel delivery pressure, there must be a connection to transmit the carburetor air intake static pressure to the proper pump relief valve connection; and
(2) If a connection is required under paragraph (f)(1) of this section, the gauge balance lines must be independently connected to the carburetor inlet pressure to avoid erroneous readings.
(a) Electrical system capacity. The required generating capacity, and number and kinds of power sources must—
(1) Be determined by an electrical load analysis; and
(2) Meet the requirements of § 25.1309.
(b) Generating system. The generating system includes electrical power sources, main power busses, transmission cables, and associated control, regulation, and protective devices. It must be designed so that—
(1) Power sources function properly when independent and when connected in combination;
(2) No failure or malfunction of any power source can create a hazard or impair the ability of remaining sources to supply essential loads;
(3) The system voltage and frequency (as applicable) at the terminals of all essential load equipment can be maintained within the limits for which the equipment is designed, during any probable operating condition; and
(4) System transients due to switching, fault clearing, or other causes do not make essential loads inoperative, and do not cause a smoke or fire hazard.
(5) There are means accessible, in flight, to appropriate crewmembers for the individual and collective disconnection of the electrical power sources from the system.
(6) There are means to indicate to appropriate crewmembers the generating system quantities essential for the safe operation of the system, such as the voltage and current supplied by each generator.
(c) External power. If provisions are made for connecting external power to the airplane, and that external power can be electrically connected to equipment other than that used for engine starting, means must be provided to ensure that no external power supply having a reverse polarity, or a reverse phase sequence, can supply power to the airplane's electrical system.
(d) Operation without normal electrical power. It must be shown by analysis, tests, or both, that the airplane can be operated safely in VFR conditions, for a period of not less than five minutes, with the normal electrical power (electrical power sources excluding the battery) inoperative, with critical type fuel (from the standpoint of flameout and restart capability), and with the airplane initially at the maximum certificated altitude. Parts of the electrical system may remain on if—
(1) A single malfunction, including a wire bundle or junction box fire, cannot result in loss of both the part turned off and the part turned on; and
(2) The parts turned on are electrically and mechanically isolated from the parts turned off.
(a) Electrical equipment and controls must be installed so that operation of any one unit or system of units will not adversely affect the simultaneous operation of any other electrical unit or system essential to safe operation. Any electrical interference likely to be present in the airplane must not result in hazardous effects on the airplane or its systems.
(b) Storage batteries must be designed and installed as follows:
(1) Safe cell temperatures and pressures must be maintained during any probable charging or discharging condition. No uncontrolled increase in cell temperature may result when the battery is recharged (after previous complete discharge)—
(i) At maximum regulated voltage or power;
(ii) During a flight of maximum duration; and
(iii) Under the most adverse cooling condition likely to occur in service.
(2) Compliance with paragraph (b)(1) of this section must be shown by test unless experience with similar batteries and installations has shown that maintaining safe cell temperatures and pressures presents no problem.
(3) No explosive or toxic gases emitted by any battery in normal operation, or as the result of any probable malfunction in the charging system or battery installation, may accumulate in hazardous quantities within the airplane.
(4) No corrosive fluids or gases that may escape from the battery may damage surrounding airplane structures or adjacent essential equipment.
(5) Each nickel cadmium battery installation must have provisions to prevent any hazardous effect on structure or essential systems that may be caused by the maximum amount of heat the battery can generate during a short circuit of the battery or of individual cells.
(6) Nickel cadmium battery installations must have—
(i) A system to control the charging rate of the battery automatically so as to prevent battery overheating;
(ii) A battery temperature sensing and over-temperature warning system with a means for disconnecting the battery from its charging source in the event of an over-temperature condition; or
(iii) A battery failure sensing and warning system with a means for disconnecting the battery from its charging source in the event of battery failure.
(c) Electrical bonding must provide an adequate electrical return path under both normal and fault conditions, on airplanes having grounded electrical systems.
(a) The distribution system includes the distribution busses, their associated feeders, and each control and protective device.
(b) [Reserved]
(c) If two independent sources of electrical power for particular equipment or systems are required by this chapter, in the event of the failure of one power source for such equipment or system, another power source (including its separate feeder) must be automatically provided or be manually selectable to maintain equipment or system operation.
(a) Automatic protective devices must be used to minimize distress to the electrical system and hazard to the airplane in the event of wiring faults or serious malfunction of the system or connected equipment.
(b) The protective and control devices in the generating system must be designed to de-energize and disconnect faulty power sources and power transmission equipment from their associated busses with sufficient rapidity to provide protection from hazardous over-voltage and other malfunctioning.
(c) Each resettable circuit protective device must be designed so that, when an overload or circuit fault exists, it will open the circuit irrespective of the position of the operating control.
(d) If the ability to reset a circuit breaker or replace a fuse is essential to safety in flight, that circuit breaker or fuse must be located and identified so that it can be readily reset or replaced in flight. Where fuses are used, there must be spare fuses for use in flight equal to at least 50% of the number of fuses of each rating required for complete circuit protection.
(e) Each circuit for essential loads must have individual circuit protection. However, individual protection for each circuit in an essential load system (such as each position light circuit in a system) is not required.
(f) For airplane systems for which the ability to remove or reset power during normal operations is necessary, the system must be designed so that circuit breakers are not the primary means to remove or reset system power unless specifically designed for use as a switch.
(g) Automatic reset circuit breakers may be used as integral protectors for electrical equipment (such as thermal cut-outs) if there is circuit protection to protect the cable to the equipment.
(a) Shock. The electrical system must be designed to minimize risk of electric shock to crew, passengers, and servicing personnel and to maintenance personnel using normal precautions.
(b) Burns. The temperature of any part that may be handled by a crewmember during normal operations must not cause dangerous inadvertent movement by the crewmember or injury to the crewmember.
A suitable electrical supply must be provided to those services required for emergency procedures after an emergency landing or ditching. The circuits for these services must be designed, protected, and installed so that the risk of the services being rendered ineffective under these emergency conditions is minimized.
(a) When laboratory tests of the electrical system are conducted—
(1) The tests must be performed on a mock-up using the same generating equipment used in the airplane;
(2) The equipment must simulate the electrical characteristics of the distribution wiring and connected loads to the extent necessary for valid test results; and
(3) Laboratory generator drives must simulate the actual prime movers on the airplane with respect to their reaction to generator loading, including loading due to faults.
(b) For each flight condition that cannot be simulated adequately in the laboratory or by ground tests on the airplane, flight tests must be made.
(a) An applicant must show that, in the event of a failure of the electrical supply or control system, the design and installation of domestic appliances meet the requirements of § 25.1309(b) and (c). Domestic appliances are items such as cooktops, ovens, coffee makers, water heaters, refrigerators, and toilet flush systems that are placed on the airplane to provide service amenities to passengers.
(b) Galleys and cooking appliances must be installed in a way that minimizes risk of overheat or fire.
(c) Domestic appliances, particularly those in galley areas, must be installed or protected so as to prevent damage or contamination of other equipment or systems from fluids or vapors which may be present during normal operation or as a result of spillage, if such damage or contamination could create a hazardous condition.
(d) Unless compliance with § 25.1309(b) is provided by the circuit protective device required by § 25.1357(a), electric motors and transformers, including those installed in domestic systems, must have a suitable thermal protection device to prevent overheating under normal operation and failure conditions, if overheating could create a smoke or fire hazard.
(a) The instrument lights must—
(1) Provide sufficient illumination to make each instrument, switch and other device necessary for safe operation easily readable unless sufficient illumination is available from another source; and
(2) Be installed so that—
(i) Their direct rays are shielded from the pilot's eyes; and
(ii) No objectionable reflections are visible to the pilot.
(b) Unless undimmed instrument lights are satisfactory under each expected flight condition, there must be a means to control the intensity of illumination.
(a) Each landing light must be approved, and must be installed so that—
(1) No objectionable glare is visible to the pilot;
(2) The pilot is not adversely affected by halation; and
(3) It provides enough light for night landing.
(b) Except when one switch is used for the lights of a multiple light installation at one location, there must be a separate switch for each light.
(c) There must be a means to indicate to the pilots when the landing lights are extended.
(a) General. Each part of each position light system must meet the applicable requirements of this section and each system as a whole must meet the requirements of §§ 25.1387 through 25.1397.
(b) Forward position lights. Forward position lights must consist of a red and a green light spaced laterally as far apart as practicable and installed forward on the airplane so that, with the airplane in the normal flying position, the red light is on the left side and the green light is on the right side. Each light must be approved.
(c) Rear position light. The rear position light must be a white light mounted as far aft as practicable on the tail or on each wing tip, and must be approved.
(d) Light covers and color filters. Each light cover or color filter must be at least flame resistant and may not change color or shape or lose any appreciable light transmission during normal use.
(a) Except as provided in paragraph (e) of this section, each forward and rear position light must, as installed, show unbroken light within the dihedral angles described in this section.
(b) Dihedral angle L (left) is formed by two intersecting vertical planes, the first parallel to the longitudinal axis of the airplane, and the other at 110 degrees to the left of the first, as viewed when looking forward along the longitudinal axis.
(c) Dihedral angle R (right) is formed by two intersecting vertical planes, the first parallel to the longitudinal axis of the airplane, and the other at 110 degrees to the right of the first, as viewed when looking forward along the longitudinal axis.
(d) Dihedral angle A (aft) is formed by two intersecting vertical planes making angles of 70 degrees to the right and to the left, respectively, to a vertical plane passing through the longitudinal axis, as viewed when looking aft along the longitudinal axis.
(e) If the rear position light, when mounted as far aft as practicable in accordance with § 25.1385(c), cannot show unbroken light within dihedral angle A (as defined in paragraph (d) of this section), a solid angle or angles of obstructed visibility totaling not more than 0.04 steradians is allowable within that dihedral angle, if such solid angle is within a cone whose apex is at the rear position light and whose elements make an angle of 30° with a vertical line passing through the rear position light.
(a) General. The intensities prescribed in this section must be provided by new equipment with light covers and color filters in place. Intensities must be determined with the light source operating at a steady value equal to the average luminous output of the source at the normal operating voltage of the airplane. The light distribution and intensity of each position light must meet the requirements of paragraph (b) of this section.
(b) Forward and rear position lights. The light distribution and intensities of forward and rear position lights must be expressed in terms of minimum intensities in the horizontal plane, minimum intensities in any vertical plane, and maximum intensities in overlapping beams, within dihedral angles L, R, and A, and must meet the following requirements:
(1) Intensities in the horizontal plane. Each intensity in the horizontal plane (the plane containing the longitudinal axis of the airplane and perpendicular to the plane of symmetry of the airplane) must equal or exceed the values in § 25.1391.
(2) Intensities in any vertical plane. Each intensity in any vertical plane (the plane perpendicular to the horizontal plane) must equal or exceed the appropriate value in § 25.1393, where I is the minimum intensity prescribed in § 25.1391 for the corresponding angles in the horizontal plane.
(3) Intensities in overlaps between adjacent signals. No intensity in any overlap between adjacent signals may exceed the values given in § 25.1395, except that higher intensities in overlaps may be used with main beam intensities substantially greater than the minima specified in §§ 25.1391 and 25.1393 if the overlap intensities in relation to the main beam intensities do not adversely affect signal clarity. When the peak intensity of the forward position lights is more than 100 candles, the maximum overlap intensities between them may exceed the values given in § 25.1395 if the overlap intensity in Area A is not more than 10 percent of peak position light intensity and the overlap intensity in Area B is not greater than 2.5 percent of peak position light intensity.
Each position light intensity must equal or exceed the applicable values in the following table:
| Dihedral angle (light included) | Angle from right or left of longitudinal axis, measured from dead ahead | Intensity (candles) |
|---|---|---|
| 0° to 10°
10° to 20° 20° to 110° | 40
30 5 | |
| A (rear white) | 110° to 180° | 20 |
Each position light intensity must equal or exceed the applicable values in the following table:
| Angle above or below the horizontal plane | Intensity, |
|---|---|
| 0° | 1.00 |
| 0° to 5° | 0.90 |
| 5° to 10° | 0.80 |
| 10° to 15° | 0.70 |
| 15° to 20° | 0.50 |
| 20° to 30° | 0.30 |
| 30° to 40° | 0.10 |
| 40° to 90° | 0.05 |
No position light intensity may exceed the applicable values in the following table, except as provided in § 25.1389(b)(3).
| Overlaps | Maximum intensity | |
|---|---|---|
| Area A (candles) | Area B (candles) | |
| Green in dihedral angle | 10 | 1 |
| Red in dihedral angle | 10 | 1 |
| Green in dihedral angle | 5 | 1 |
| Red in dihedral angle | 5 | 1 |
| Rear white in dihedral angle | 5 | 1 |
| Rear white in dihedral angle | 5 | 1 |
(a) Area A includes all directions in the adjacent dihedral angle that pass through the light source and intersect the common boundary plane at more than 10 degrees but less than 20 degrees; and
(b) Area B includes all directions in the adjacent dihedral angle that pass through the light source and intersect the common boundary plane at more than 20 degrees.
Each position light color must have the applicable International Commission on Illumination chromaticity coordinates as follows:
(a) Aviation red—
(b) Aviation green—
(c) Aviation white—
(a) Each riding (anchor) light required for a seaplane or amphibian must be installed so that it can—
(1) Show a white light for at least 2 nautical miles at night under clear atmospheric conditions; and
(2) Show the maximum unbroken light practicable when the airplane is moored or drifting on the water.
(b) Externally hung lights may be used.
(a) General. The airplane must have an anticollision light system that—
(1) Consists of one or more approved anticollision lights located so that their light will not impair the crew's vision or detract from the conspicuity of the position lights; and
(2) Meets the requirements of paragraphs (b) through (f) of this section.
(b) Field of coverage. The system must consist of enough lights to illuminate the vital areas around the airplane considering the physical configuration and flight characteristics of the airplane. The field of coverage must extend in each direction within at least 75 degrees above and 75 degrees below the horizontal plane of the airplane, except that a solid angle or angles of obstructed visibility totaling not more than 0.03 steradians is allowable within a solid angle equal to 0.15 steradians centered about the longitudinal axis in the rearward direction.
(c) Flashing characteristics. The arrangement of the system, that is, the number of light sources, beam width, speed of rotation, and other characteristics, must give an effective flash frequency of not less than 40, nor more than 100 cycles per minute. The effective flash frequency is the frequency at which the airplane's complete anticollision light system is observed from a distance, and applies to each sector of light including any overlaps that exist when the system consists of more than one light source. In overlaps, flash frequencies may exceed 100, but not 180 cycles per minute.
(d) Color. Each anticollision light must be either aviation red or aviation white and must meet the applicable requirements of § 25.1397.
(e) Light intensity. The minimum light intensities in all vertical planes, measured with the red filter (if used) and expressed in terms of “effective” intensities, must meet the requirements of paragraph (f) of this section. The following relation must be assumed:
(f) Minimum effective intensities for anticollision lights. Each anticollision light effective intensity must equal or exceed the applicable values in the following table.
| Angle above or below the horizontal plane | Effective intensity (candles) |
|---|---|
| 0° to 5° | 400 |
| 5° to 10° | 240 |
| 10° to 20° | 80 |
| 20° to 30° | 40 |
| 30° to 75° | 20 |
Unless operations at night in known or forecast icing conditions are prohibited by an operating limitation, a means must be provided for illuminating or otherwise determining the formation of ice on the parts of the wings that are critical from the standpoint of ice accumulation. Any illumination that is used must be of a type that will not cause glare or reflection that would handicap crewmembers in the performance of their duties.
(a) Accessibility. Required safety equipment to be used by the crew in an emergency must be readily accessible.
(b) Stowage provisions. Stowage provisions for required emergency equipment must be furnished and must—
(1) Be arranged so that the equipment is directly accessible and its location is obvious; and
(2) Protect the safety equipment from inadvertent damage.
(c) Emergency exit descent device. The stowage provisions for the emergency exit descent devices required by § 25.810(a) must be at each exit for which they are intended.
(d) Liferafts. (1) The stowage provisions for the liferafts described in § 25.1415 must accommodate enough rafts for the maximum number of occupants for which certification for ditching is requested.
(2) Liferafts must be stowed near exits through which the rafts can be launched during an unplanned ditching.
(3) Rafts automatically or remotely released outside the airplane must be attached to the airplane by means of the static line prescribed in § 25.1415.
(4) The stowage provisions for each portable liferaft must allow rapid detachment and removal of the raft for use at other than the intended exits.
(e) Long-range signaling device. The stowage provisions for the long-range signaling device required by § 25.1415 must be near an exit available during an unplanned ditching.
(f) Life preserver stowage provisions. The stowage provisions for life preservers described in § 25.1415 must accommodate one life preserver for each occupant for which certification for ditching is requested. Each life preserver must be within easy reach of each seated occupant.
(g) Life line stowage provisions. If certification for ditching under § 25.801 is requested, there must be provisions to store life lines. These provisions must—
(1) Allow one life line to be attached to each side of the fuselage; and
(2) Be arranged to allow the life lines to be used to enable the occupants to stay on the wing after ditching.
(a) Ditching equipment used in airplanes to be certificated for ditching under § 25.801, and required by the operating rules of this chapter, must meet the requirements of this section.
(b) Each liferaft and each life preserver must be approved. In addition—
(1) Unless excess rafts of enough capacity are provided, the buoyancy and seating capacity beyond the rated capacity of the rafts must accommodate all occupants of the airplane in the event of a loss of one raft of the largest rated capacity; and
(2) Each raft must have a trailing line, and must have a static line designed to hold the raft near the airplane but to release it if the airplane becomes totally submerged.
(c) Approved survival equipment must be attached to each liferaft.
(d) There must be an approved survival type emergency locator transmitter for use in one life raft.
(e) For airplanes not certificated for ditching under § 25.801 and not having approved life preservers, there must be an approved flotation means for each occupant. This means must be within easy reach of each seated occupant and must be readily removable from the airplane.
If the applicant seeks certification for flight in icing conditions, the airplane must be able to safely operate in the continuous maximum and intermittent maximum icing conditions of appendix C. To establish this—
(a) An analysis must be performed to establish that the ice protection for the various components of the airplane is adequate, taking into account the various airplane operational configurations; and
(b) To verify the ice protection analysis, to check for icing anomalies, and to demonstrate that the ice protection system and its components are effective, the airplane or its components must be flight tested in the various operational configurations, in measured natural atmospheric icing conditions and, as found necessary, by one or more of the following means:
(1) Laboratory dry air or simulated icing tests, or a combination of both, of the components or models of the components.
(2) Flight dry air tests of the ice protection system as a whole, or of its individual components.
(3) Flight tests of the airplane or its components in measured simulated icing conditions.
(c) Caution information, such as an amber caution light or equivalent, must be provided to alert the flightcrew when the anti-ice or de-ice system is not functioning normally.
(d) For turbine engine powered airplanes, the ice protection provisions of this section are considered to be applicable primarily to the airframe. For the powerplant installation, certain additional provisions of subpart E of this part may be found applicable.
(e) One of the following methods of icing detection and activation of the airframe ice protection system must be provided:
(1) A primary ice detection system that automatically activates or alerts the flightcrew to activate the airframe ice protection system;
(2) A definition of visual cues for recognition of the first sign of ice accretion on a specified surface combined with an advisory ice detection system that alerts the flightcrew to activate the airframe ice protection system; or
(3) Identification of conditions conducive to airframe icing as defined by an appropriate static or total air temperature and visible moisture for use by the flightcrew to activate the airframe ice protection system.
(f) Unless the applicant shows that the airframe ice protection system need not be operated during specific phases of flight, the requirements of paragraph (e) of this section are applicable to all phases of flight.
(g) After the initial activation of the airframe ice protection system—
(1) The ice protection system must be designed to operate continuously;
(2) The airplane must be equipped with a system that automatically cycles the ice protection system; or
(3) An ice detection system must be provided to alert the flightcrew each time the ice protection system must be cycled.
(h) Procedures for operation of the ice protection system, including activation and deactivation, must be established and documented in the Airplane Flight Manual.
(a) If certification for flight in icing conditions is sought, in addition to the requirements of § 25.1419, an airplane with a maximum takeoff weight less than 60,000 pounds or with reversible flight controls must be capable of operating in accordance with paragraphs (a)(1), (2), or (3), of this section.
(1) Operating safely after encountering the icing conditions defined in Appendix O of this part:
(i) The airplane must have a means to detect that it is operating in Appendix O icing conditions; and
(ii) Following detection of Appendix O icing conditions, the airplane must be capable of operating safely while exiting all icing conditions.
(2) Operating safely in a portion of the icing conditions defined in Appendix O of this part as selected by the applicant:
(i) The airplane must have a means to detect that it is operating in conditions that exceed the selected portion of Appendix O icing conditions; and
(ii) Following detection, the airplane must be capable of operating safely while exiting all icing conditions.
(3) Operating safely in the icing conditions defined in Appendix O of this part.
(b) To establish that the airplane can operate safely as required in paragraph (a) of this section, an applicant must show through analysis that the ice protection for the various components of the airplane is adequate, taking into account the various airplane operational configurations. To verify the analysis, one, or more as found necessary, of the following methods must be used:
(1) Laboratory dry air or simulated icing tests, or a combination of both, of the components or models of the components.
(2) Laboratory dry air or simulated icing tests, or a combination of both, of models of the airplane.
(3) Flight tests of the airplane or its components in simulated icing conditions, measured as necessary to support the analysis.
(4) Flight tests of the airplane with simulated ice shapes.
(5) Flight tests of the airplane in natural icing conditions, measured as necessary to support the analysis.
(c) For an airplane certified in accordance with paragraph (a)(2) or (3) of this section, the requirements of § 25.1419(e), (f), (g), and (h) must be met for the icing conditions defined in Appendix O of this part in which the airplane is certified to operate.
(d) For the purposes of this section, the following definitions apply:
(1) Reversible Flight Controls. Flight controls in the normal operating configuration that have force or motion originating at the airplane's control surface (for example, through aerodynamic loads, static imbalance, or trim or servo tab inputs) that is transmitted back to flight deck controls. This term refers to flight deck controls connected to the pitch, roll, or yaw control surfaces by direct mechanical linkages, cables, or push-pull rods in such a way that pilot effort produces motion or force about the hinge line.
(2) Simulated Icing Test. Testing conducted in simulated icing conditions, such as in an icing tunnel or behind an icing tanker.
(3) Simulated Ice Shape. Ice shape fabricated from wood, epoxy, or other materials by any construction technique.
If a megaphone is installed, a restraining means must be provided that is capable of restraining the megaphone when it is subjected to the ultimate inertia forces specified in § 25.561(b)(3).
A public address system required by this chapter must—
(a) Be powerable when the aircraft is in flight or stopped on the ground, after the shutdown or failure of all engines and auxiliary power units, or the disconnection or failure of all power sources dependent on their continued operation, for—
(1) A time duration of at least 10 minutes, including an aggregate time duration of at least 5 minutes of announcements made by flight and cabin crewmembers, considering all other loads which may remain powered by the same source when all other power sources are inoperative; and
(2) An additional time duration in its standby state appropriate or required for any other loads that are powered by the same source and that are essential to safety of flight or required during emergency conditions.
(b) Be capable of operation within 3 seconds from the time a microphone is removed from its stowage.
(c) Be intelligible at all passenger seats, lavatories, and flight attendant seats and work stations.
(d) Be designed so that no unused, unstowed microphone will render the system inoperative.
(e) Be capable of functioning independently of any required crewmember interphone system.
(f) Be accessible for immediate use from each of two flight crewmember stations in the pilot compartment.
(g) For each required floor-level passenger emergency exit which has an adjacent flight attendant seat, have a microphone which is readily accessible to the seated flight attendant, except that one microphone may serve more than one exit, provided the proximity of the exits allows unassisted verbal communication between seated flight attendants.
(a) In showing compliance with § 25.1309 (a) and (b) with respect to radio and electronic equipment and their installations, critical environmental conditions must be considered.
(b) Radio and electronic equipment must be supplied with power under the requirements of § 25.1355(c).
(c) Radio and electronic equipment, controls, and wiring must be installed so that operation of any one unit or system of units will not adversely affect the simultaneous operation of any other radio or electronic unit, or system of units, required by this chapter.
(d) Electronic equipment must be designed and installed such that it does not cause essential loads to become inoperative as a result of electrical power supply transients or transients from other causes.
There must be means, in addition to the normal pressure relief, to automatically relieve the pressure in the discharge lines from the vacuum air pump when the delivery temperature of the air becomes unsafe.
(a) Element design. Each element of the hydraulic system must be designed to:
(1) Withstand the proof pressure without permanent deformation that would prevent it from performing its intended functions, and the ultimate pressure without rupture. The proof and ultimate pressures are defined in terms of the design operating pressure (DOP) as follows:
| Element | Proof
(xDOP) | Ultimate
(xDOP) |
|---|---|---|
| 1. Tubes and fittings. | 1.5 | 3.0 |
| 2. Pressure vessels containing gas: | ||
| High pressure (e.g., accumulators) | 3.0 | 4.0 |
| Low pressure (e.g., reservoirs) | 1.5 | 3.0 |
| 3. Hoses | 2.0 | 4.0 |
| 4. All other elements | 1.5 | 2.0 |
(2) Withstand, without deformation that would prevent it from performing its intended function, the design operating pressure in combination with limit structural loads that may be imposed;
(3) Withstand, without rupture, the design operating pressure multiplied by a factor of 1.5 in combination with ultimate structural load that can reasonably occur simultaneously;
(4) Withstand the fatigue effects of all cyclic pressures, including transients, and associated externally induced loads, taking into account the consequences of element failure; and
(5) Perform as intended under all environmental conditions for which the airplane is certificated.
(b) System design. Each hydraulic system must:
(1) Have means located at a flightcrew station to indicate appropriate system parameters, if
(i) It performs a function necessary for continued safe flight and landing; or
(ii) In the event of hydraulic system malfunction, corrective action by the crew to ensure continued safe flight and landing is necessary;
(2) Have means to ensure that system pressures, including transient pressures and pressures from fluid volumetric changes in elements that are likely to remain closed long enough for such changes to occur, are within the design capabilities of each element, such that they meet the requirements defined in § 25.1435(a)(1) through (a)(5);
(3) Have means to minimize the release of harmful or hazardous concentrations of hydraulic fluid or vapors into the crew and passenger compartments during flight;
(4) Meet the applicable requirements of §§ 25.863, 25.1183, 25.1185, and 25.1189 if a flammable hydraulic fluid is used; and
(5) Be designed to use any suitable hydraulic fluid specified by the airplane manufacturer, which must be identified by appropriate markings as required by § 25.1541.
(c) Tests. Tests must be conducted on the hydraulic system(s), and/or subsystem(s) and elements, except that analysis may be used in place of or to supplement testing, where the analysis is shown to be reliable and appropriate. All internal and external influences must be taken into account to an extent necessary to evaluate their effects, and to assure reliable system and element functioning and integration. Failure or unacceptable deficiency of an element or system must be corrected and be sufficiently retested, where necessary.
(1) The system(s), subsystem(s), or element(s) must be subjected to performance, fatigue, and endurance tests representative of airplane ground and flight operations.
(2) The complete system must be tested to determine proper functional performance and relation to the other systems, including simulation of relevant failure conditions, and to support or validate element design.
(3) The complete hydraulic system(s) must be functionally tested on the airplane in normal operation over the range of motion of all associated user systems. The test must be conducted at the system relief pressure or 1.25 times the DOP if a system pressure relief device is not part of the system design. Clearances between hydraulic system elements and other systems or structural elements must remain adequate and there must be no detrimental effects.
(a) Pressurization system elements must be burst pressure tested to 2.0 times, and proof pressure tested to 1.5 times, the maximum normal operating pressure.
(b) Pneumatic system elements must be burst pressure tested to 3.0 times, and proof pressure tested to 1.5 times, the maximum normal operating pressure.
(c) An analysis, or a combination of analysis and test, may be substituted for any test required by paragraph (a) or (b) of this section if the Administrator finds it equivalent to the required test.
(a) Fixed (stationary, or built in) protective breathing equipment must be installed for the use of the flightcrew, and at least one portable protective breathing equipment shall be located at or near the flight deck for use by a flight crewmember. In addition, portable protective breathing equipment must be installed for the use of appropriate crewmembers for fighting fires in compartments accessible in flight other than the flight deck. This includes isolated compartments and upper and lower lobe galleys, in which crewmember occupancy is permitted during flight. Equipment must be installed for the maximum number of crewmembers expected to be in the area during any operation.
(b) For protective breathing equipment required by paragraph (a) of this section or by the applicable Operating Regulations:
(1) The equipment must be designed to protect the appropriate crewmember from smoke, carbon dioxide, and other harmful gases while on flight deck duty or while combating fires.
(2) The equipment must include—
(i) Masks covering the eyes, nose and mouth, or
(ii) Masks covering the nose and mouth, plus accessory equipment to cover the eyes.
(3) Equipment, including portable equipment, must allow communication with other crewmembers while in use. Equipment available at flightcrew assigned duty stations must also enable the flightcrew to use radio equipment.
(4) The part of the equipment protecting the eyes shall not cause any appreciable adverse effect on vision and must allow corrective glasses to be worn.
(5) The equipment must supply protective oxygen of 15 minutes duration per crewmember at a pressure altitude of 8,000 feet with a respiratory minute volume of 30 liters per minute BTPD. The equipment and system must be designed to prevent any inward leakage to the inside of the device and prevent any outward leakage causing significant increase in the oxygen content of the local ambient atmosphere. If a demand oxygen system is used, a supply of 300 liters of free oxygen at 70 °F. and 760 mm. Hg. pressure is considered to be of 15-minute duration at the prescribed altitude and minute volume. If a continuous flow open circuit protective breathing system is used, a flow rate of 60 liters per minute at 8,000 feet (45 liters per minute at sea level) and a supply of 600 liters of free oxygen at 70 °F. and 760 mm. Hg. pressure is considered to be of 15-minute duration at the prescribed altitude and minute volume. Continuous flow systems must not increase the ambient oxygen content of the local atmosphere above that of demand systems. BTPD refers to body temperature conditions (that is, 37 °C., at ambient pressure, dry).
(6) The equipment must meet the requirements of § 25.1441.
(a) If certification with supplemental oxygen equipment is requested, the equipment must meet the requirements of this section and §§ 25.1443 through 25.1453.
(b) The oxygen system must be free from hazards in itself, in its method of operation, and in its effect upon other components.
(c) There must be a means to allow the crew to readily determine, during flight, the quantity of oxygen available in each source of supply.
(d) The oxygen flow rate and the oxygen equipment for airplanes for which certification for operation above 40,000 feet is requested must be approved.
(a) If continuous flow equipment is installed for use by flight crewmembers, the minimum mass flow of supplemental oxygen required for each crewmember may not be less than the flow required to maintain, during inspiration, a mean tracheal oxygen partial pressure of 149 mm. Hg. when breathing 15 liters per minute, BTPS, and with a maximum tidal volume of 700 cc. with a constant time interval between respirations.
(b) If demand equipment is installed for use by flight crewmembers, the minimum mass flow of supplemental oxygen required for each crewmember may not be less than the flow required to maintain, during inspiration, a mean tracheal oxygen partial pressure of 122 mm. Hg., up to and including a cabin pressure altitude of 35,000 feet, and 95 percent oxygen between cabin pressure altitudes of 35,000 and 40,000 feet, when breathing 20 liters per minute BTPS. In addition, there must be means to allow the crew to use undiluted oxygen at their discretion.
(c) For passengers and cabin attendants, the minimum mass flow of supplemental oxygen required for each person at various cabin pressure altitudes may not be less than the flow required to maintain, during inspiration and while using the oxygen equipment (including masks) provided, the following mean tracheal oxygen partial pressures:
(1) At cabin pressure altitudes above 10,000 feet up to and including 18,500 feet, a mean tracheal oxygen partial pressure of 100 mm. Hg. when breathing 15 liters per minute, BTPS, and with a tidal volume of 700 cc. with a constant time interval between respirations.
(2) At cabin pressure altitudes above 18,500 feet up to and including 40,000 feet, a mean tracheal oxygen partial pressure of 83.8 mm. Hg. when breathing 30 liters per minute, BTPS, and with a tidal volume of 1,100 cc. with a constant time interval between respirations.
(d) If first-aid oxygen equipment is installed, the minimum mass flow of oxygen to each user may not be less than four liters per minute, STPD. However, there may be a means to decrease this flow to not less than two liters per minute, STPD, at any cabin altitude. The quantity of oxygen required is based upon an average flow rate of three liters per minute per person for whom first-aid oxygen is required.
(e) If portable oxygen equipment is installed for use by crewmembers, the minimum mass flow of supplemental oxygen is the same as specified in paragraph (a) or (b) of this section, whichever is applicable.
(a) When oxygen is supplied to both crew and passengers, the distribution system must be designed for either—
(1) A source of supply for the flight crew on duty and a separate source for the passengers and other crewmembers; or
(2) A common source of supply with means to separately reserve the minimum supply required by the flight crew on duty.
(b) Portable walk-around oxygen units of the continuous flow, diluter-demand, and straight demand kinds may be used to meet the crew or passenger breathing requirements.
If oxygen dispensing units are installed, the following apply:
(a) There must be an individual dispensing unit for each occupant for whom supplemental oxygen is to be supplied. Units must be designed to cover the nose and mouth and must be equipped with a suitable means to retain the unit in position on the face. Flight crew masks for supplemental oxygen must have provisions for the use of communication equipment.
(b) If certification for operation up to and including 25,000 feet is requested, an oxygen supply terminal and unit of oxygen dispensing equipment for the immediate use of oxygen by each crewmember must be within easy reach of that crewmember. For any other occupants, the supply terminals and dispensing equipment must be located to allow the use of oxygen as required by the operating rules in this chapter.
(c) If certification for operation above 25,000 feet is requested, there must be oxygen dispensing equipment meeting the following requirements:
(1) There must be an oxygen dispensing unit connected to oxygen supply terminals immediately available to each occupant wherever seated, and at least two oxygen dispensing units connected to oxygen terminals in each lavatory. The total number of dispensing units and outlets in the cabin must exceed the number of seats by at least 10 percent. The extra units must be as uniformly distributed throughout the cabin as practicable. Except as provided in paragraph (c)(5) of this section, if certification for operation above 30,000 feet is requested, the dispensing units providing the required oxygen flow must be automatically presented to the occupants before the cabin pressure altitude exceeds 15,000 feet. The crewmembers must be provided with a manual means of making the dispensing units immediately available in the event of failure of the automatic system.
(2) Each flight crewmember on flight deck duty must be provided with a quick-donning type oxygen dispensing unit connected to an oxygen supply terminal. This dispensing unit must be immediately available to the flight crewmember when seated at his station, and installed so that it:
(i) Can be placed on the face from its ready position, properly secured, sealed, and supplying oxygen upon demand, with one hand, within five seconds and without disturbing eyeglasses or causing delay in proceeding with emergency duties; and
(ii) Allows, while in place, the performance of normal communication functions.
(3) The oxygen dispensing equipment for the flight crewmembers must be:
(i) The diluter demand or pressure demand (pressure demand mask with a diluter demand pressure breathing regulator) type, or other approved oxygen equipment shown to provide the same degree of protection, for airplanes to be operated above 25,000 feet.
(ii) The pressure demand (pressure demand mask with a diluter demand pressure breathing regulator) type with mask-mounted regulator, or other approved oxygen equipment shown to provide the same degree of protection, for airplanes operated at altitudes where decompressions that are not extremely improbable may expose the flightcrew to cabin pressure altitudes in excess of 34,000 feet.
(4) Portable oxygen equipment must be immediately available for each cabin attendant. The portable oxygen equipment must have the oxygen dispensing unit connected to the portable oxygen supply.
(5) When operating into or out of airports with elevations above 13,000 feet, the dispensing units providing the required oxygen flow must be automatically presented to the occupants at cabin pressure altitudes no higher than 2,000 feet above the airplane's maximum takeoff and landing altitude.
There must be a means to allow the crew to determine whether oxygen is being delivered to the dispensing equipment.
(a) For the purpose of this section, a chemical oxygen generator is defined as a device which produces oxygen by chemical reaction.
(b) Each chemical oxygen generator must be designed and installed in accordance with the following requirements:
(1) Surface temperature developed by the generator during operation may not create a hazard to the airplane or to its occupants.
(2) Means must be provided to relieve any internal pressure that may be hazardous.
(3) Except as provided in SFAR 109, each chemical oxygen generator installation must meet the requirements of § 25.795(d).
(c) In addition to meeting the requirements in paragraph (b) of this section, each portable chemical oxygen generator that is capable of sustained operation by successive replacement of a generator element must be placarded to show—
(1) The rate of oxygen flow, in liters per minute;
(2) The duration of oxygen flow, in minutes, for the replaceable generator element; and
(3) A warning that the replaceable generator element may be hot, unless the element construction is such that the surface temperature cannot exceed 100 degrees F.
Oxygen pressure tanks, and lines between tanks and the shutoff means, must be—
(a) Protected from unsafe temperatures; and
(b) Located where the probability and hazards of rupture in a crash landing are minimized.
If fluids subject to freezing may be drained overboard in flight or during ground operation, the drains must be designed and located to prevent the formation of hazardous quantities of ice on the airplane as a result of the drainage.
(a) Each cockpit voice recorder required by the operating rules of this chapter must be approved and must be installed so that it will record the following:
(1) Voice communications transmitted from or received in the airplane by radio.
(2) Voice communications of flight crewmembers on the flight deck.
(3) Voice communications of flight crewmembers on the flight deck, using the airplane's interphone system.
(4) Voice or audio signals identifying navigation or approach aids introduced into a headset or speaker.
(5) Voice communications of flight crewmembers using the passenger loudspeaker system, if there is such a system and if the fourth channel is available in accordance with the requirements of paragraph (c)(4)(ii) of this section.
(6) If datalink communication equipment is installed, all datalink communications, using an approved data message set. Datalink messages must be recorded as the output signal from the communications unit that translates the signal into usable data.
(b) The recording requirements of paragraph (a)(2) of this section must be met by installing a cockpit-mounted area microphone, located in the best position for recording voice communications originating at the first and second pilot stations and voice communications of other crewmembers on the flight deck when directed to those stations. The microphone must be so located and, if necessary, the preamplifiers and filters of the recorder must be so adjusted or supplemented, that the intelligibility of the recorded communications is as high as practicable when recorded under flight cockpit noise conditions and played back. Repeated aural or visual playback of the record may be used in evaluating intelligibility.
(c) Each cockpit voice recorder must be installed so that the part of the communication or audio signals specified in paragraph (a) of this section obtained from each of the following sources is recorded on a separate channel:
(1) For the first channel, from each boom, mask, or hand-held microphone, headset, or speaker used at the first pilot station.
(2) For the second channel from each boom, mask, or hand-held microphone, headset, or speaker used at the second pilot station.
(3) For the third channel—from the cockpit-mounted area microphone.
(4) For the fourth channel, from—
(i) Each boom, mask, or hand-held microphone, headset, or speaker used at the station for the third and fourth crew members; or
(ii) If the stations specified in paragraph (c)(4)(i) of this section are not required or if the signal at such a station is picked up by another channel, each microphone on the flight deck that is used with the passenger loudspeaker system, if its signals are not picked up by another channel.
(5) As far as is practicable all sounds received by the microphone listed in paragraphs (c)(1), (2), and (4) of this section must be recorded without interruption irrespective of the position of the interphone-transmitter key switch. The design shall ensure that sidetone for the flight crew is produced only when the interphone, public address system, or radio transmitters are in use.
(d) Each cockpit voice recorder must be installed so that—
(1)(i) It receives its electrical power from the bus that provides the maximum reliability for operation of the cockpit voice recorder without jeopardizing service to essential or emergency loads.
(ii) It remains powered for as long as possible without jeopardizing emergency operation of the airplane.
(2) There is an automatic means to simultaneously stop the recorder and prevent each erasure feature from functioning, within 10 minutes after crash impact;
(3) There is an aural or visual means for preflight checking of the recorder for proper operation;
(4) Any single electrical failure external to the recorder does not disable both the cockpit voice recorder and the flight data recorder;
(5) It has an independent power source—
(i) That provides 10 ±1 minutes of electrical power to operate both the cockpit voice recorder and cockpit-mounted area microphone;
(ii) That is located as close as practicable to the cockpit voice recorder; and
(iii) To which the cockpit voice recorder and cockpit-mounted area microphone are switched automatically in the event that all other power to the cockpit voice recorder is interrupted either by normal shutdown or by any other loss of power to the electrical power bus; and
(6) It is in a separate container from the flight data recorder when both are required. If used to comply with only the cockpit voice recorder requirements, a combination unit may be installed.
(e) The recorder container must be located and mounted to minimize the probability of rupture of the container as a result of crash impact and consequent heat damage to the recorder from fire.
(1) Except as provided in paragraph (e)(2) of this section, the recorder container must be located as far aft as practicable, but need not be outside of the pressurized compartment, and may not be located where aft-mounted engines may crush the container during impact.
(2) If two separate combination digital flight data recorder and cockpit voice recorder units are installed instead of one cockpit voice recorder and one digital flight data recorder, the combination unit that is installed to comply with the cockpit voice recorder requirements may be located near the cockpit.
(f) If the cockpit voice recorder has a bulk erasure device, the installation must be designed to minimize the probability of inadvertent operation and actuation of the device during crash impact.
(g) Each recorder container must—
(1) Be either bright orange or bright yellow;
(2) Have reflective tape affixed to its external surface to facilitate its location under water; and
(3) Have an underwater locating device, when required by the operating rules of this chapter, on or adjacent to the container which is secured in such manner that they are not likely to be separated during crash impact.
(a) Each flight recorder required by the operating rules of this chapter must be installed so that—
(1) It is supplied with airspeed, altitude, and directional data obtained from sources that meet the accuracy requirements of §§ 25.1323, 25.1325, and 25.1327, as appropriate;
(2) The vertical acceleration sensor is rigidly attached, and located longitudinally either within the approved center of gravity limits of the airplane, or at a distance forward or aft of these limits that does not exceed 25 percent of the airplane's mean aerodynamic chord;
(3)(i) It receives its electrical power from the bus that provides the maximum reliability for operation of the flight data recorder without jeopardizing service to essential or emergency loads.
(ii) It remains powered for as long as possible without jeopardizing emergency operation of the airplane.
(4) There is an aural or visual means for preflight checking of the recorder for proper recording of data in the storage medium;
(5) Except for recorders powered solely by the engine-driven electrical generator system, there is an automatic means to simultaneously stop a recorder that has a data erasure feature and prevent each erasure feature from functioning, within 10 minutes after crash impact;
(6) There is a means to record data from which the time of each radio transmission either to or from ATC can be determined;
(7) Any single electrical failure external to the recorder does not disable both the cockpit voice recorder and the flight data recorder; and
(8) It is in a separate container from the cockpit voice recorder when both are required. If used to comply with only the flight data recorder requirements, a combination unit may be installed. If a combination unit is installed as a cockpit voice recorder to comply with § 25.1457(e)(2), a combination unit must be used to comply with this flight data recorder requirement.
(b) Each nonejectable record container must be located and mounted so as to minimize the probability of container rupture resulting from crash impact and subsequent damage to the record from fire. In meeting this requirement the record container must be located as far aft as practicable, but need not be aft of the pressurized compartment, and may not be where aft-mounted engines may crush the container upon impact.
(c) A correlation must be established between the flight recorder readings of airspeed, altitude, and heading and the corresponding readings (taking into account correction factors) of the first pilot's instruments. The correlation must cover the airspeed range over which the airplane is to be operated, the range of altitude to which the airplane is limited, and 360 degrees of heading. Correlation may be established on the ground as appropriate.
(d) Each recorder container must—
(1) Be either bright orange or bright yellow;
(2) Have reflective tape affixed to its external surface to facilitate its location under water; and
(3) Have an underwater locating device, when required by the operating rules of this chapter, on or adjacent to the container which is secured in such a manner that they are not likely to be separated during crash impact.
(e) Any novel or unique design or operational characteristics of the aircraft shall be evaluated to determine if any dedicated parameters must be recorded on flight recorders in addition to or in place of existing requirements.
(a) Equipment containing high energy rotors must meet paragraph (b), (c), or (d) of this section.
(b) High energy rotors contained in equipment must be able to withstand damage caused by malfunctions, vibration, abnormal speeds, and abnormal temperatures. In addition—
(1) Auxiliary rotor cases must be able to contain damage caused by the failure of high energy rotor blades; and
(2) Equipment control devices, systems, and instrumentation must reasonably ensure that no operating limitations affecting the integrity of high energy rotors will be exceeded in service.
(c) It must be shown by test that equipment containing high energy rotors can contain any failure of a high energy rotor that occurs at the highest speed obtainable with the normal speed control devices inoperative.
(d) Equipment containing high energy rotors must be located where rotor failure will neither endanger the occupants nor adversely affect continued safe flight.
(a) Each operating limitation specified in §§ 25.1503 through 25.1533 and other limitations and information necessary for safe operation must be established.
(b) The operating limitations and other information necessary for safe operation must be made available to the crewmembers as prescribed in §§ 25.1541 through 25.1587.
When airspeed limitations are a function of weight, weight distribution, altitude, or Mach number, limitations corresponding to each critical combination of these factors must be established.
The maximum operating limit speed (V
The maneuvering speed must be established so that it does not exceed the design maneuvering speed V
The established flap extended speed V
The minimum control speed V
(a) The established landing gear operating speed or speeds, V
(b) The established landing gear extended speed V
Any other limitation associated with speed must be established.
(a) A rough air speed, V
(b) At altitudes where V
(c) At altitudes where V
The airplane weight, center of gravity, and weight distribution limitations determined under §§ 25.23 through 25.27 must be established as operating limitations.
(a) General. The powerplant limitations prescribed in this section must be established so that they do not exceed the corresponding limits for which the engines or propellers are type certificated and do not exceed the values on which compliance with any other requirement of this part is based.
(b) Reciprocating engine installations. Operating limitations relating to the following must be established for reciprocating engine installations:
(1) Horsepower or torque, r.p.m., manifold pressure, and time at critical pressure altitude and sea level pressure altitude for—
(i) Maximum continuous power (relating to unsupercharged operation or to operation in each supercharger mode as applicable); and
(ii) Takeoff power (relating to unsupercharged operation or to operation in each supercharger mode as applicable).
(2) Fuel grade or specification.
(3) Cylinder head and oil temperatures.
(4) Any other parameter for which a limitation has been established as part of the engine type certificate except that a limitation need not be established for a parameter that cannot be exceeded during normal operation due to the design of the installation or to another established limitation.
(c) Turbine engine installations. Operating limitations relating to the following must be established for turbine engine installations:
(1) Horsepower, torque or thrust, r.p.m., gas temperature, and time for—
(i) Maximum continuous power or thrust (relating to augmented or unaugmented operation as applicable).
(ii) Takeoff power or thrust (relating to augmented or unaugmented operation as applicable).
(2) Fuel designation or specification.
(3) Maximum time interval between engine run-ups from idle, run-up power setting and duration at power for ground operation in icing conditions, as defined in § 25.1093(b)(2).
(4) Any other parameter for which a limitation has been established as part of the engine type certificate except that a limitation need not be established for a parameter that cannot be exceeded during normal operation due to the design of the installation or to another established limitation.
(d) Ambient temperature. An ambient temperature limitation (including limitations for winterization installations, if applicable) must be established as the maximum ambient atmospheric temperature established in accordance with § 25.1043(b).
If an auxiliary power unit is installed in the airplane, limitations established for the auxiliary power unit, including categories of operation, must be specified as operating limitations for the airplane.
The minimum flight crew must be established so that it is sufficient for safe operation, considering—
(a) The workload on individual crewmembers;
(b) The accessibility and ease of operation of necessary controls by the appropriate crewmember; and
(c) The kind of operation authorized under § 25.1525.
The kinds of operation to which the airplane is limited are established by the category in which it is eligible for certification and by the installed equipment.
The extremes of the ambient air temperature and operating altitude for which operation is allowed, as limited by flight, structural, powerplant, functional, or equipment characteristics, must be established.
The applicant must prepare Instructions for Continued Airworthiness in accordance with appendix H to this part that are acceptable to the Administrator. The instructions may be incomplete at type certification if a program exists to ensure their completion prior to delivery of the first airplane or issuance of a standard certificate of airworthiness, whichever occurs later.
Load factor limitations, not exceeding the positive limit load factors determined from the maneuvering diagram in § 25.333(b), must be established.
(a) Additional operating limitations must be established as follows:
(1) The maximum takeoff weights must be established as the weights at which compliance is shown with the applicable provisions of this part (including the takeoff climb provisions of § 25.121(a) through (c), for altitudes and ambient temperatures).
(2) The maximum landing weights must be established as the weights at which compliance is shown with the applicable provisions of this part (including the landing and approach climb provisions of §§ 25.119 and 25.121(d) for altitudes and ambient temperatures).
(3) The minimum takeoff distances must be established as the distances at which compliance is shown with the applicable provisions of this part (including the provisions of §§ 25.109 and 25.113, for weights, altitudes, temperatures, wind components, runway surface conditions (dry and wet), and runway gradients) for smooth, hard-surfaced runways. Additionally, at the option of the applicant, wet runway takeoff distances may be established for runway surfaces that have been grooved or treated with a porous friction course, and may be approved for use on runways where such surfaces have been designed constructed, and maintained in a manner acceptable to the Administrator.
(b) The extremes for variable factors (such as altitude, temperature, wind, and runway gradients) are those at which compliance with the applicable provisions of this part is shown.
(c) For airplanes certified in accordance with § 25.1420(a)(1) or (2), an operating limitation must be established to:
(1) Prohibit intentional flight, including takeoff and landing, into icing conditions defined in Appendix O of this part for which the airplane has not been certified to safely operate; and
(2) Require exiting all icing conditions if icing conditions defined in Appendix O of this part are encountered for which the airplane has not been certified to safely operate.
Except as provided in § 25.3, each applicant seeking ETOPS type design approval must comply with the provisions of Appendix K of this part.
(a) The airplane must contain—
(1) The specified markings and placards; and
(2) Any additional information, instrument markings, and placards required for the safe operation if there are unusual design, operating, or handling characteristics.
(b) Each marking and placard prescribed in paragraph (a) of this section—
(1) Must be displayed in a conspicuous place; and
(2) May not be easily erased, disfigured, or obscured.
For each instrument—
(a) When markings are on the cover glass of the instrument, there must be means to maintain the correct alignment of the glass cover with the face of the dial; and
(b) Each instrument marking must be clearly visible to the appropriate crewmember.
The airspeed limitations required by § 25.1583 (a) must be easily read and understood by the flight crew.
(a) A placard meeting the requirements of this section must be installed on, or near, the magnetic direction indicator.
(b) The placard must show the calibration of the instrument in level flight with the engines operating.
(c) The placard must state whether the calibration was made with radio receivers on or off.
(d) Each calibration reading must be in terms of magnetic heading in not more than 45 degree increments.
For each required powerplant and auxiliary power unit instrument, as appropriate to the type of instrument—
(a) Each maximum and, if applicable, minimum safe operating limit must be marked with a red radial or a red line;
(b) Each normal operating range must be marked with a green arc or green line, not extending beyond the maximum and minimum safe limits;
(c) Each takeoff and precautionary range must be marked with a yellow arc or a yellow line; and
(d) Each engine, auxiliary power unit, or propeller speed range that is restricted because of excessive vibration stresses must be marked with red arcs or red lines.
Each oil quantity indicating means must be marked to indicate the quantity of oil readily and accurately.
If the unusable fuel supply for any tank exceeds one gallon, or five percent of the tank capacity, whichever is greater, a red arc must be marked on its indicator extending from the calibrated zero reading to the lowest reading obtainable in level flight.
(a) Each cockpit control, other than primary flight controls and controls whose function is obvious, must be plainly marked as to its function and method of operation.
(b) Each aerodynamic control must be marked under the requirements of §§ 25.677 and 25.699.
(c) For powerplant fuel controls—
(1) Each fuel tank selector control must be marked to indicate the position corresponding to each tank and to each existing cross feed position;
(2) If safe operation requires the use of any tanks in a specific sequence, that sequence must be marked on, or adjacent to, the selector for those tanks; and
(3) Each valve control for each engine must be marked to indicate the position corresponding to each engine controlled.
(d) For accessory, auxiliary, and emergency controls—
(1) Each emergency control (including each fuel jettisoning and fluid shutoff must be colored red; and
(2) Each visual indicator required by § 25.729(e) must be marked so that the pilot can determine at any time when the wheels are locked in either extreme position, if retractable landing gear is used.
(a) Baggage and cargo compartments and ballast location. Each baggage and cargo compartment, and each ballast location must have a placard stating any limitations on contents, including weight, that are necessary under the loading requirements. However, underseat compartments designed for the storage of carry-on articles weighing not more than 20 pounds need not have a loading limitation placard.
(b) Powerplant fluid filler openings. The following apply:
(1) Fuel filler openings must be marked at or near the filler cover with—
(i) The word “fuel”;
(ii) For reciprocating engine powered airplanes, the minimum fuel grade;
(iii) For turbine engine powered airplanes, the permissible fuel designations; and
(iv) For pressure fueling systems, the maximum permissible fueling supply pressure and the maximum permissible defueling pressure.
(2) Oil filler openings must be marked at or near the filler cover with the word “oil”.
(3) Augmentation fluid filler openings must be marked at or near the filler cover to identify the required fluid.
(c) Emergency exit placards. Each emergency exit placard must meet the requirements of § 25.811.
(d) Doors. Each door that must be used in order to reach any required emergency exit must have a suitable placard stating that the door is to be latched in the open position during takeoff and landing.
(a) Each safety equipment control to be operated by the crew in emergency, such as controls for automatic liferaft releases, must be plainly marked as to its method of operation.
(b) Each location, such as a locker or compartment, that carries any fire extinguishing, signaling, or other life saving equipment must be marked accordingly.
(c) Stowage provisions for required emergency equipment must be conspicuously marked to identify the contents and facilitate the easy removal of the equipment.
(d) Each liferaft must have obviously marked operating instructions.
(e) Approved survival equipment must be marked for identification and method of operation.
A placard showing the maximum airspeeds for flap extension for the takeoff, approach, and landing positions must be installed in clear view of each pilot.
(a) Furnishing information. An Airplane Flight Manual must be furnished with each airplane, and it must contain the following:
(1) Information required by §§ 25.1583 through 25.1587.
(2) Other information that is necessary for safe operation because of design, operating, or handling characteristics.
(3) Any limitation, procedure, or other information established as a condition of compliance with the applicable noise standards of part 36 of this chapter.
(b) Approved information. Each part of the manual listed in §§ 25.1583 through 25.1587, that is appropriate to the airplane, must be furnished, verified, and approved, and must be segregated, identified, and clearly distinguished from each unapproved part of that manual.
(c) [Reserved]
(d) Each Airplane Flight Manual must include a table of contents if the complexity of the manual indicates a need for it.
(a) Airspeed limitations. The following airspeed limitations and any other airspeed limitations necessary for safe operation must be furnished:
(1) The maximum operating limit speed V
(2) If an airspeed limitation is based upon compressibility effects, a statement to this effect and information as to any symptoms, the probable behavior of the airplane, and the recommended recovery procedures.
(3) The maneuvering speed established under § 25.1507 and statements, as applicable to the particular design, explaining that:
(i) Full application of pitch, roll, or yaw controls should be confined to speeds below the maneuvering speed; and
(ii) Rapid and large alternating control inputs, especially in combination with large changes in pitch, roll, or yaw, and full control inputs in more than one axis at the same time, should be avoided as they may result in structural failures at any speed, including below the maneuvering speed.
(4) The flap extended speed V
(5) The landing gear operating speed or speeds, and a statement explaining the speeds as defined in § 25.1515(a).
(6) The landing gear extended speed V
(b) Powerplant limitations. The following information must be furnished:
(1) Limitations required by § 25.1521 and § 25.1522.
(2) Explanation of the limitations, when appropriate.
(3) Information necessary for marking the instruments required by §§ 25.1549 through 25.1553.
(c) Weight and loading distribution. The weight and center of gravity limitations established under § 25.1519 must be furnished in the Airplane Flight Manual. All of the following information, including the weight distribution limitations established under § 25.1519, must be presented either in the Airplane Flight Manual or in a separate weight and balance control and loading document that is incorporated by reference in the Airplane Flight Manual:
(1) The condition of the airplane and the items included in the empty weight as defined in accordance with § 25.29.
(2) Loading instructions necessary to ensure loading of the airplane within the weight and center of gravity limits, and to maintain the loading within these limits in flight.
(3) If certification for more than one center of gravity range is requested, the appropriate limitations, with regard to weight and loading procedures, for each separate center of gravity range.
(d) Flight crew. The number and functions of the minimum flight crew determined under § 25.1523 must be furnished.
(e) Kinds of operation. The kinds of operation approved under § 25.1525 must be furnished.
(f) Ambient air temperatures and operating altitudes. The extremes of the ambient air temperatures and operating altitudes established under § 25.1527 must be furnished.
(g) [Reserved]
(h) Additional operating limitations. The operating limitations established under § 25.1533 must be furnished.
(i) Maneuvering flight load factors. The positive maneuvering limit load factors for which the structure is proven, described in terms of accelerations, must be furnished.
(a) Operating procedures must be furnished for—
(1) Normal procedures peculiar to the particular type or model encountered in connection with routine operations;
(2) Non-normal procedures for malfunction cases and failure conditions involving the use of special systems or the alternative use of regular systems; and
(3) Emergency procedures for foreseeable but unusual situations in which immediate and precise action by the crew may be expected to substantially reduce the risk of catastrophe.
(b) Information or procedures not directly related to airworthiness or not under the control of the crew, must not be included, nor must any procedure that is accepted as basic airmanship.
(c) Information identifying each operating condition in which the fuel system independence prescribed in § 25.953 is necessary for safety must be furnished, together with instructions for placing the fuel system in a configuration used to show compliance with that section.
(d) The buffet onset envelopes, determined under § 25.251 must be furnished. The buffet onset envelopes presented may reflect the center of gravity at which the airplane is normally loaded during cruise if corrections for the effect of different center of gravity locations are furnished.
(e) Information must be furnished that indicates that when the fuel quantity indicator reads “zero” in level flight, any fuel remaining in the fuel tank cannot be used safely in flight.
(f) Information on the total quantity of usable fuel for each fuel tank must be furnished.
(a) Each Airplane Flight Manual must contain information to permit conversion of the indicated temperature to free air temperature if other than a free air temperature indicator is used to comply with the requirements of § 25.1303(a)(1).
(b) Each Airplane Flight Manual must contain the performance information computed under the applicable provisions of this part (including §§ 25.115, 25.123, and 25.125 for the weights, altitudes, temperatures, wind components, and runway gradients, as applicable) within the operational limits of the airplane, and must contain the following:
(1) In each case, the conditions of power, configuration, and speeds, and the procedures for handling the airplane and any system having a significant effect on the performance information.
(2) V
(3) The following performance information (determined by extrapolation and computed for the range of weights between the maximum landing weight and the maximum takeoff weight):
(i) Climb in the landing configuration.
(ii) Climb in the approach configuration.
(iii) Landing distance.
(4) Procedures established under § 25.101(f) and (g) that are related to the limitations and information required by § 25.1533 and by this paragraph (b) in the form of guidance material, including any relevant limitations or information.
(5) An explanation of significant or unusual flight or ground handling characteristics of the airplane.
(6) Corrections to indicated values of airspeed, altitude, and outside air temperature.
(7) An explanation of operational landing runway length factors included in the presentation of the landing distance, if appropriate.
(a) As used in this chapter, electrical wiring interconnection system (EWIS) means any wire, wiring device, or combination of these, including termination devices, installed in any area of the airplane for the purpose of transmitting electrical energy, including data and signals, between two or more intended termination points. This includes:
(1) Wires and cables.
(2) Bus bars.
(3) The termination point on electrical devices, including those on relays, interrupters, switches, contactors, terminal blocks and circuit breakers, and other circuit protection devices.
(4) Connectors, including feed-through connectors.
(5) Connector accessories.
(6) Electrical grounding and bonding devices and their associated connections.
(7) Electrical splices.
(8) Materials used to provide additional protection for wires, including wire insulation, wire sleeving, and conduits that have electrical termination for the purpose of bonding.
(9) Shields or braids.
(10) Clamps and other devices used to route and support the wire bundle.
(11) Cable tie devices.
(12) Labels or other means of identification.
(13) Pressure seals.
(14) EWIS components inside shelves, panels, racks, junction boxes, distribution panels, and back-planes of equipment racks, including, but not limited to, circuit board back-planes, wire integration units, and external wiring of equipment.
(b) Except for the equipment indicated in paragraph (a)(14) of this section, EWIS components inside the following equipment, and the external connectors that are part of that equipment, are excluded from the definition in paragraph (a) of this section:
(1) Electrical equipment or avionics that are qualified to environmental conditions and testing procedures when those conditions and procedures are—
(i) Appropriate for the intended function and operating environment, and
(ii) Acceptable to the FAA.
(2) Portable electrical devices that are not part of the type design of the airplane. This includes personal entertainment devices and laptop computers.
(3) Fiber optics.
(a) Each EWIS component installed in any area of the aircraft must:
(1) Be of a kind and design appropriate to its intended function.
(2) Be installed according to limitations specified for the EWIS components.
(3) Perform the function for which it was intended without degrading the airworthiness of the airplane.
(4) Be designed and installed in a way that will minimize mechanical strain.
(b) Selection of wires must take into account known characteristics of the wire in relation to each installation and application to minimize the risk of wire damage, including any arc tracking phenomena.
(c) The design and installation of the main power cables (including generator cables) in the fuselage must allow for a reasonable degree of deformation and stretching without failure.
(d) EWIS components located in areas of known moisture accumulation must be protected to minimize any hazardous effects due to moisture.
(a) EWIS associated with any system required for type certification or by operating rules must be considered an integral part of that system and must be considered in showing compliance with the applicable requirements for that system.
(b) For systems to which the following rules apply, the components of EWIS associated with those systems must be considered an integral part of that system or systems and must be considered in showing compliance with the applicable requirements for that system.
(1) § 25.773(b)(2) Pilot compartment view.
(2) § 25.981 Fuel tank ignition prevention.
(3) § 25.1165 Engine ignition systems.
(4) § 25.1310 Power source capacity and distribution.
(5) § 25.1316 System lightning protection.
(6) § 25.1331(a)(2) Instruments using a power supply.
(7) § 25.1351 General.
(8) § 25.1355 Distribution system.
(9) § 25.1360 Precautions against injury.
(10) § 25.1362 Electrical supplies for emergency conditions.
(11) § 25.1365 Electrical appliances, motors, and transformers.
(12) § 25.1431(c) and (d) Electronic equipment.
(a) Each EWIS must be designed and installed with adequate physical separation from other EWIS and airplane systems so that an EWIS component failure will not create a hazardous condition. Unless otherwise stated, for the purposes of this section, adequate physical separation must be achieved by separation distance or by a barrier that provides protection equivalent to that separation distance.
(b) Each EWIS must be designed and installed so that any electrical interference likely to be present in the airplane will not result in hazardous effects upon the airplane or its systems.
(c) Wires and cables carrying heavy current, and their associated EWIS components, must be designed and installed to ensure adequate physical separation and electrical isolation so that damage to circuits associated with essential functions will be minimized under fault conditions.
(d) Each EWIS associated with independent airplane power sources or power sources connected in combination must be designed and installed to ensure adequate physical separation and electrical isolation so that a fault in any one airplane power source EWIS will not adversely affect any other independent power sources. In addition:
(1) Airplane independent electrical power sources must not share a common ground terminating location.
(2) Airplane system static grounds must not share a common ground terminating location with any of the airplane's independent electrical power sources.
(e) Except to the extent necessary to provide electrical connection to the fuel systems components, the EWIS must be designed and installed with adequate physical separation from fuel lines and other fuel system components, so that:
(1) An EWIS component failure will not create a hazardous condition.
(2) Any fuel leakage onto EWIS components will not create a hazardous condition.
(f) Except to the extent necessary to provide electrical connection to the hydraulic systems components, EWIS must be designed and installed with adequate physical separation from hydraulic lines and other hydraulic system components, so that:
(1) An EWIS component failure will not create a hazardous condition.
(2) Any hydraulic fluid leakage onto EWIS components will not create a hazardous condition.
(g) Except to the extent necessary to provide electrical connection to the oxygen systems components, EWIS must be designed and installed with adequate physical separation from oxygen lines and other oxygen system components, so that an EWIS component failure will not create a hazardous condition.
(h) Except to the extent necessary to provide electrical connection to the water/waste systems components, EWIS must be designed and installed with adequate physical separation from water/waste lines and other water/waste system components, so that:
(1) An EWIS component failure will not create a hazardous condition.
(2) Any water/waste leakage onto EWIS components will not create a hazardous condition.
(i) EWIS must be designed and installed with adequate physical separation between the EWIS and flight or other mechanical control systems cables and associated system components, so that:
(1) Chafing, jamming, or other interference are prevented.
(2) An EWIS component failure will not create a hazardous condition.
(3) Failure of any flight or other mechanical control systems cables or systems components will not damage the EWIS and create a hazardous condition.
(j) EWIS must be designed and installed with adequate physical separation between the EWIS components and heated equipment, hot air ducts, and lines, so that:
(1) An EWIS component failure will not create a hazardous condition.
(2) Any hot air leakage or heat generated onto EWIS components will not create a hazardous condition.
(k) For systems for which redundancy is required, by certification rules, by operating rules, or as a result of the assessment required by § 25.1709, EWIS components associated with those systems must be designed and installed with adequate physical separation.
(l) Each EWIS must be designed and installed so there is adequate physical separation between it and other aircraft components and aircraft structure, and so that the EWIS is protected from sharp edges and corners, to minimize potential for abrasion/chafing, vibration damage, and other types of mechanical damage.
Each EWIS must be designed and installed so that:
(a) Each catastrophic failure condition—
(1) Is extremely improbable; and
(2) Does not result from a single failure.
(b) Each hazardous failure condition is extremely remote.
(a) EWIS components must be labeled or otherwise identified using a consistent method that facilitates identification of the EWIS component, its function, and its design limitations, if any.
(b) For systems for which redundancy is required, by certification rules, by operating rules, or as a result of the assessment required by § 25.1709, EWIS components associated with those systems must be specifically identified with component part number, function, and separation requirement for bundles.
(1) The identification must be placed along the wire, cable, or wire bundle at appropriate intervals and in areas of the airplane where it is readily visible to maintenance, repair, or alteration personnel.
(2) If an EWIS component cannot be marked physically, then other means of identification must be provided.
(c) The identifying markings required by paragraphs (a) and (b) of this section must remain legible throughout the expected service life of the EWIS component.
(d) The means used for identifying each EWIS component as required by this section must not have an adverse effect on the performance of that component throughout its expected service life.
(e) Identification for EWIS modifications to the type design must be consistent with the identification scheme of the original type design.
(a) All EWIS components must meet the applicable fire and smoke protection requirements of § 25.831(c) of this part.
(b) EWIS components that are located in designated fire zones and are used during emergency procedures must be fire resistant.
(c) Insulation on electrical wire and electrical cable, and materials used to provide additional protection for the wire and cable, installed in any area of the airplane, must be self-extinguishing when tested in accordance with the applicable portions of Appendix F, part I, of 14 CFR part 25.
(a) EWIS components used for electrical bonding and protection against static electricity must meet the requirements of § 25.899.
(b) On airplanes having grounded electrical systems, electrical bonding provided by EWIS components must provide an electrical return path capable of carrying both normal and fault currents without creating a shock hazard or damage to the EWIS components, other airplane system components, or airplane structure.
Electrical wires and cables must be designed and installed so they are compatible with the circuit protection devices required by § 25.1357, so that a fire or smoke hazard cannot be created under temporary or continuous fault conditions.
Access must be provided to allow inspection and replacement of any EWIS component as necessary for continued airworthiness.
(a) No cargo or baggage compartment may contain any EWIS whose damage or failure may affect safe operation, unless the EWIS is protected so that:
(1) It cannot be damaged by movement of cargo or baggage in the compartment.
(2) Its breakage or failure will not create a fire hazard.
(b) EWIS must be designed and installed to minimize damage and risk of damage to EWIS by movement of people in the airplane during all phases of flight, maintenance, and servicing.
(c) EWIS must be designed and installed to minimize damage and risk of damage to EWIS by items carried onto the aircraft by passengers or cabin crew.
EWIS components located in each area where flammable fluid or vapors might escape by leakage of a fluid system must be considered a potential ignition source and must meet the requirements of § 25.863.
(a) EWIS associated with any powerplant must be designed and installed so that the failure of an EWIS component will not prevent the continued safe operation of the remaining powerplants or require immediate action by any crewmember for continued safe operation, in accordance with the requirements of § 25.903(b).
(b) Design precautions must be taken to minimize hazards to the airplane due to EWIS damage in the event of a powerplant rotor failure or a fire originating within the powerplant that burns through the powerplant case, in accordance with the requirements of § 25.903(d)(1).
EWIS associated with each flammable fluid shutoff means and control must be fireproof or must be located and protected so that any fire in a fire zone will not affect operation of the flammable fluid shutoff means, in accordance with the requirements of § 25.1189.
The applicant must prepare Instructions for Continued Airworthiness applicable to EWIS in accordance with Appendix H sections H25.4 and H25.5 to this part that are approved by the FAA.
(a) EWIS that are part of each fire or overheat detector system in a fire zone must be fire-resistant.
(b) No EWIS component of any fire or overheat detector system for any fire zone may pass through another fire zone, unless:
(1) It is protected against the possibility of false warnings resulting from fires in zones through which it passes; or
(2) Each zone involved is simultaneously protected by the same detector and extinguishing system.
(c) EWIS that are part of each fire or overheat detector system in a fire zone must meet the requirements of § 25.1203.
EWIS associated with any installed fire protection system, including those required by §§ 25.854 and 25.858, must be considered an integral part of the system in showing compliance with the applicable requirements for that system.
The requirements of § 121.1500 of this chapter also apply to this part.
(a) Continuous maximum icing. The maximum continuous intensity of atmospheric icing conditions (continuous maximum icing) is defined by the variables of the cloud liquid water content, the mean effective diameter of the cloud droplets, the ambient air temperature, and the interrelationship of these three variables as shown in figure 1 of this appendix. The limiting icing envelope in terms of altitude and temperature is given in figure 2 of this appendix. The inter-relationship of cloud liquid water content with drop diameter and altitude is determined from figures 1 and 2. The cloud liquid water content for continuous maximum icing conditions of a horizontal extent, other than 17.4 nautical miles, is determined by the value of liquid water content of figure 1, multiplied by the appropriate factor from figure 3 of this appendix.
(b) Intermittent maximum icing. The intermittent maximum intensity of atmospheric icing conditions (intermittent maximum icing) is defined by the variables of the cloud liquid water content, the mean effective diameter of the cloud droplets, the ambient air temperature, and the interrelationship of these three variables as shown in figure 4 of this appendix. The limiting icing envelope in terms of altitude and temperature is given in figure 5 of this appendix. The inter-relationship of cloud liquid water content with drop diameter and altitude is determined from figures 4 and 5. The cloud liquid water content for intermittent maximum icing conditions of a horizontal extent, other than 2.6 nautical miles, is determined by the value of cloud liquid water content of figure 4 multiplied by the appropriate factor in figure 6 of this appendix.
(c) Takeoff maximum icing. The maximum intensity of atmospheric icing conditions for takeoff (takeoff maximum icing) is defined by the cloud liquid water content of 0.35 g/m3, the mean effective diameter of the cloud droplets of 20 microns, and the ambient air temperature at ground level of minus 9 degrees Celsius (−9 °C). The takeoff maximum icing conditions extend from ground level to a height of 1,500 feet above the level of the takeoff surface.
(a) Ice accretions—General. The most critical ice accretion in terms of airplane performance and handling qualities for each flight phase must be used to show compliance with the applicable airplane performance and handling requirements in icing conditions of subpart B of this part. Applicants must demonstrate that the full range of atmospheric icing conditions specified in part I of this appendix have been considered, including the mean effective drop diameter, liquid water content, and temperature appropriate to the flight conditions (for example, configuration, speed, angle-of-attack, and altitude). The ice accretions for each flight phase are defined as follows:
(1) Takeoff ice is the most critical ice accretion on unprotected surfaces and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, occurring between the end of the takeoff distance and 400 feet above the takeoff surface, assuming accretion starts at the end of the takeoff distance in the takeoff maximum icing conditions defined in part I of this Appendix.
(2) Final takeoff ice is the most critical ice accretion on unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, between 400 feet and either 1,500 feet above the takeoff surface, or the height at which the transition from the takeoff to the en route configuration is completed and V
(3) En route ice is the critical ice accretion on the unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, during the en route phase.
(4) Holding ice is the critical ice accretion on the unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, during the holding flight phase.
(5) Approach ice is the critical ice accretion on the unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation following exit from the holding flight phase and transition to the most critical approach configuration.
(6) Landing ice is the critical ice accretion on the unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation following exit from the approach flight phase and transition to the final landing configuration.
(b) In order to reduce the number of ice accretions to be considered when demonstrating compliance with the requirements of § 25.21(g), any of the ice accretions defined in paragraph (a) of this section may be used for any other flight phase if it is shown to be more critical than the specific ice accretion defined for that flight phase. Configuration differences and their effects on ice accretions must be taken into account.
(c) The ice accretion that has the most adverse effect on handling qualities may be used for airplane performance tests provided any difference in performance is conservatively taken into account.
(d) For both unprotected and protected parts, the ice accretion for the takeoff phase may be determined by calculation, assuming the takeoff maximum icing conditions defined in appendix C, and assuming that:
(1) Airfoils, control surfaces and, if applicable, propellers are free from frost, snow, or ice at the start of the takeoff;
(2) The ice accretion starts at the end of the takeoff distance.
(3) The critical ratio of thrust/power-to-weight;
(4) Failure of the critical engine occurs at V
(5) Crew activation of the ice protection system is in accordance with a normal operating procedure provided in the Airplane Flight Manual, except that after beginning the takeoff roll, it must be assumed that the crew takes no action to activate the ice protection system until the airplane is at least 400 feet above the takeoff surface.
(e) The ice accretion before the ice protection system has been activated and is performing its intended function is the critical ice accretion formed on the unprotected and normally protected surfaces before activation and effective operation of the ice protection system in continuous maximum atmospheric icing conditions. This ice accretion only applies in showing compliance to §§ 25.143(j) and 25.207(h), and 25.207(i).
Criteria for determining minimum flight crew. The following are considered by the Agency in determining the minimum flight crew under § 25.1523:
(a) Basic workload functions. The following basic workload functions are considered:
(1) Flight path control.
(2) Collision avoidance.
(3) Navigation.
(4) Communications.
(5) Operation and monitoring of aircraft engines and systems.
(6) Command decisions.
(b) Workload factors. The following workload factors are considered significant when analyzing and demonstrating workload for minimum flight crew determination:
(1) The accessibility, ease, and simplicity of operation of all necessary flight, power, and equipment controls, including emergency fuel shutoff valves, electrical controls, electronic controls, pressurization system controls, and engine controls.
(2) The accessibility and conspicuity of all necessary instruments and failure warning devices such as fire warning, electrical system malfunction, and other failure or caution indicators. The extent to which such instruments or devices direct the proper corrective action is also considered.
(3) The number, urgency, and complexity of operating procedures with particular consideration given to the specific fuel management schedule imposed by center of gravity, structural or other considerations of an airworthiness nature, and to the ability of each engine to operate at all times from a single tank or source which is automatically replenished if fuel is also stored in other tanks.
(4) The degree and duration of concentrated mental and physical effort involved in normal operation and in diagnosing and coping with malfunctions and emergencies.
(5) The extent of required monitoring of the fuel, hydraulic, pressurization, electrical, electronic, deicing, and other systems while en route.
(6) The actions requiring a crewmember to be unavailable at his assigned duty station, including: observation of systems, emergency operation of any control, and emergencies in any compartment.
(7) The degree of automation provided in the aircraft systems to afford (after failures or malfunctions) automatic crossover or isolation of difficulties to minimize the need for flight crew action to guard against loss of hydraulic or electric power to flight controls or to other essential systems.
(8) The communications and navigation workload.
(9) The possibility of increased workload associated with any emergency that may lead to other emergencies.
(10) Incapacitation of a flight crewmember whenever the applicable operating rule requires a minimum flight crew of at least two pilots.
(c) Kind of operation authorized. The determination of the kind of operation authorized requires consideration of the operating rules under which the airplane will be operated. Unless an applicant desires approval for a more limited kind of operation. It is assumed that each airplane certificated under this Part will operate under IFR conditions.
(a) Each applicant for an increase in the maximum certificated takeoff and landing weights of an airplane equipped with a type-certificated standby power rocket engine may obtain an increase as specified in paragraph (b) if—
(1) The installation of the rocket engine has been approved and it has been established by flight test that the rocket engine and its controls can be operated safely and reliably at the increase in maximum weight; and
(2) The Airplane Flight Manual, or the placard, markings or manuals required in place thereof, set forth in addition to any other operating limitations the Administrator may require, the increased weight approved under this regulation and a prohibition against the operation of the airplane at the approved increased weight when—
(i) The installed standby power rocket engines have been stored or installed in excess of the time limit established by the manufacturer of the rocket engine (usually stenciled on the engine casing); or
(ii) The rocket engine fuel has been expended or discharged.
(b) The currently approved maximum takeoff and landing weights at which an airplane is certificated without a standby power rocket engine installation may be increased by an amount that does not exceed any of the following:
(1) An amount equal in pounds to 0.014 IN, where I is the maximum usable impulse in pounds-seconds available from each standby power rocket engine and N is the number of rocket engines installed.
(2) An amount equal to 5 percent of the maximum certificated weight approved in accordance with the applicable airworthiness regulations without standby power rocket engines installed.
(3) An amount equal to the weight of the rocket engine installation.
(4) An amount that, together with the currently approved maximum weight, would equal the maximum structural weight established for the airplane without standby rocket engines installed.
The Administrator may grant performance credit for the use of standby power on transport category airplanes. However, the performance credit applies only to the maximum certificated takeoff and landing weights, the takeoff distance, and the takeoff paths, and may not exceed that found by the Administrator to result in an overall level of safety in the takeoff, approach, and landing regimes of flight equivalent to that prescribed in the regulations under which the airplane was originally certificated without standby power. For the purposes of this appendix, “standby power” is power or thrust, or both, obtained from rocket engines for a relatively short period and actuated only in cases of emergency. The following provisions apply:
(1) Takeoff; general. The takeoff data prescribed in paragraphs (2) and (3) of this appendix must be determined at all weights and altitudes, and at ambient temperatures if applicable, at which performance credit is to be applied.
(2) Takeoff path.
(a) The one-engine-inoperative takeoff path with standby power in use must be determined in accordance with the performance requirements of the applicable airworthiness regulations.
(b) The one-engine-inoperative takeoff path (excluding that part where the airplane is on or just above the takeoff surface) determined in accordance with paragraph (a) of this section must lie above the one-engine-inoperative takeoff path without standby power at the maximum takeoff weight at which all of the applicable air-worthiness requirements are met. For the purpose of this comparison, the flight path is considered to extend to at least a height of 400 feet above the takeoff surface.
(c) The takeoff path with all engines operating, but without the use of standby power, must reflect a conservatively greater overall level of performance than the one-engine-inoperative takeoff path established in accordance with paragraph (a) of this section. The margin must be established by the Administrator to insure safe day-to-day operations, but in no case may it be less than 15 percent. The all-engines-operating takeoff path must be determined by a procedure consistent with that established in complying with paragraph (a) of this section.
(d) For reciprocating-engine-powered airplanes, the takeoff path to be scheduled in the Airplane Flight Manual must represent the one-engine-operative takeoff path determined in accordance with paragraph (a) of this section and modified to reflect the procedure (see paragraph (6)) established by the applicant for flap retraction and attainment of the en route speed. The scheduled takeoff path must have a positive slope at all points of the airborne portion and at no point must it lie above the takeoff path specified in paragraph (a) of this section.
(3) Takeoff distance. The takeoff distance must be the horizontal distance along the one-engine-inoperative take off path determined in accordance with paragraph (2)(a) from the start of the takeoff to the point where the airplane attains a height of 50 feet above the takeoff surface for reciprocating-engine-powered airplanes and a height of 35 feet above the takeoff surface for turbine-powered airplanes.
(4) Maximum certificated takeoff weights. The maximum certificated takeoff weights must be determined at all altitudes, and at ambient temperatures, if applicable, at which performance credit is to be applied and may not exceed the weights established in compliance with paragraphs (a) and (b) of this section.
(a) The conditions of paragraphs (2)(b) through (d) must be met at the maximum certificated takeoff weight.
(b) Without the use of standby power, the airplane must meet all of the en route requirements of the applicable airworthiness regulations under which the airplane was originally certificated. In addition, turbine-powered airplanes without the use of standby power must meet the final takeoff climb requirements prescribed in the applicable airworthiness regulations.
(5) Maximum certificated landing weights.
(a) The maximum certificated landing weights (one-engine-inoperative approach and all-engine-operating landing climb) must be determined at all altitudes, and at ambient temperatures if applicable, at which performance credit is to be applied and must not exceed that established in compliance with paragraph (b) of this section.
(b) The flight path, with the engines operating at the power or thrust, or both, appropriate to the airplane configuration and with standby power in use, must lie above the flight path without standby power in use at the maximum weight at which all of the applicable airworthiness requirements are met. In addition, the flight paths must comply with subparagraphs (i) and (ii) of this paragraph.
(i) The flight paths must be established without changing the appropriate airplane configuration.
(ii) The flight paths must be carried out for a minimum height of 400 feet above the point where standby power is actuated.
(6) Airplane configuration, speed, and power and thrust; general. Any change in the airplane's configuration, speed, and power or thrust, or both, must be made in accordance with the procedures established by the applicant for the operation of the airplane in service and must comply with paragraphs (a) through (c) of this section. In addition, procedures must be established for the execution of balked landings and missed approaches.
(a) The Administrator must find that the procedure can be consistently executed in service by crews of average skill.
(b) The procedure may not involve methods or the use of devices which have not been proven to be safe and reliable.
(c) Allowances must be made for such time delays in the execution of the procedures as may be reasonably expected to occur during service.
(7) Installation and operation; standby power. The standby power unit and its installation must comply with paragraphs (a) and (b) of this section.
(a) The standby power unit and its installation must not adversely affect the safety of the airplane.
(b) The operation of the standby power unit and its control must have proven to be safe and reliable.
(a) Material test criteria—(1) Interior compartments occupied by crew or passengers. (i) Interior ceiling panels, interior wall panels, partitions, galley structure, large cabinet walls, structural flooring, and materials used in the construction of stowage compartments (other than underseat stowage compartments and compartments for stowing small items such as magazines and maps) must be self-extinguishing when tested vertically in accordance with the applicable portions of part I of this appendix. The average burn length may not exceed 6 inches and the average flame time after removal of the flame source may not exceed 15 seconds. Drippings from the test specimen may not continue to flame for more than an average of 3 seconds after falling.
(ii) Floor covering, textiles (including draperies and upholstery), seat cushions, padding, decorative and non-decorative coated fabrics, leather, trays and galley furnishings, electrical conduit, air ducting, joint and edge covering, liners of Class B and E cargo or baggage compartments, floor panels of Class B, C, E, or F cargo or baggage compartments, cargo covers and transparencies, molded and thermoformed parts, air ducting joints, and trim strips (decorative and chafing), that are constructed of materials not covered in paragraph (a)(1)(iv) below, must be self-extinguishing when tested vertically in accordance with the applicable portions of part I of this appendix or other approved equivalent means. The average burn length may not exceed 8 inches, and the average flame time after removal of the flame source may not exceed 15 seconds. Drippings from the test specimen may not continue to flame for more than an average of 5 seconds after falling.
(iii) Motion picture film must be safety film meeting the Standard Specifications for Safety Photographic Film PHI.25 (available from the American National Standards Institute, 1430 Broadway, New York, NY 10018). If the film travels through ducts, the ducts must meet the requirements of subparagraph (ii) of this paragraph.
(iv) Clear plastic windows and signs, parts constructed in whole or in part of elastomeric materials, edge lighted instrument assemblies consisting of two or more instruments in a common housing, seat belts, shoulder harnesses, and cargo and baggage tiedown equipment, including containers, bins, pallets, etc., used in passenger or crew compartments, may not have an average burn rate greater than 2.5 inches per minute when tested horizontally in accordance with the applicable portions of this appendix.
(v) Except for small parts (such as knobs, handles, rollers, fasteners, clips, grommets, rub strips, pulleys, and small electrical parts) that would not contribute significantly to the propagation of a fire and for electrical wire and cable insulation, materials in items not specified in paragraphs (a)(1)(i), (ii), (iii), or (iv) of part I of this appendix may not have a burn rate greater than 4.0 inches per minute when tested horizontally in accordance with the applicable portions of this appendix.
(2) Cargo and baggage compartments not occupied by crew or passengers.
(i) [Reserved]
(ii) A cargo or baggage compartment defined in § 25.857 as Class B or E must have a liner constructed of materials that meet the requirements of paragraph (a)(1)(ii) of part I of this appendix and separated from the airplane structure (except for attachments). In addition, such liners must be subjected to the 45 degree angle test. The flame may not penetrate (pass through) the material during application of the flame or subsequent to its removal. The average flame time after removal of the flame source may not exceed 15 seconds, and the average glow time may not exceed 10 seconds.
(iii) A cargo or baggage compartment defined in § 25.857 as Class B, C, E, or F must have floor panels constructed of materials which meet the requirements of paragraph (a)(1)(ii) of part I of this appendix and which are separated from the airplane structure (except for attachments). Such panels must be subjected to the 45 degree angle test. The flame may not penetrate (pass through) the material during application of the flame or subsequent to its removal. The average flame time after removal of the flame source may not exceed 15 seconds, and the average glow time may not exceed 10 seconds.
(iv) Insulation blankets and covers used to protect cargo must be constructed of materials that meet the requirements of paragraph (a)(1)(ii) of part I of this appendix. Tiedown equipment (including containers, bins, and pallets) used in each cargo and baggage compartment must be constructed of materials that meet the requirements of paragraph (a)(1)(v) of part I of this appendix.
(3) Electrical system components. Insulation on electrical wire or cable installed in any area of the fuselage must be self-extinguishing when subjected to the 60 degree test specified in part I of this appendix. The average burn length may not exceed 3 inches, and the average flame time after removal of the flame source may not exceed 30 seconds. Drippings from the test specimen may not continue to flame for more than an average of 3 seconds after falling.
(b) Test Procedures—(1) Conditioning. Specimens must be conditioned to 70 ±5 F., and at 50 percent ±5 percent relative humidity until moisture equilibrium is reached or for 24 hours. Each specimen must remain in the conditioning environment until it is subjected to the flame.
(2) Specimen configuration. Except for small parts and electrical wire and cable insulation, materials must be tested either as section cut from a fabricated part as installed in the airplane or as a specimen simulating a cut section, such as a specimen cut from a flat sheet of the material or a model of the fabricated part. The specimen may be cut from any location in a fabricated part; however, fabricated units, such as sandwich panels, may not be separated for test. Except as noted below, the specimen thickness must be no thicker than the minimum thickness to be qualified for use in the airplane. Test specimens of thick foam parts, such as seat cushions, must be
(3) Apparatus. Except as provided in subparagraph (7) of this paragraph, tests must be conducted in a draft-free cabinet in accordance with Federal Test Method Standard 191 Model 5903 (revised Method 5902) for the vertical test, or Method 5906 for horizontal test (available from the General Services Administration, Business Service Center, Region 3, Seventh & D Streets SW., Washington, DC 20407). Specimens which are too large for the cabinet must be tested in similar draft-free conditions.
(4) Vertical test. A minimum of three specimens must be tested and results averaged. For fabrics, the direction of weave corresponding to the most critical flammability conditions must be parallel to the longest dimension. Each specimen must be supported vertically. The specimen must be exposed to a Bunsen or Tirrill burner with a nominal
(5) Horizontal test. A minimum of three specimens must be tested and the results averaged. Each specimen must be supported horizontally. The exposed surface, when installed in the aircraft, must be face down for the test. The specimen must be exposed to a Bunsen or Tirrill burner with a nominal
(6) Forty-five degree test. A minimum of three specimens must be tested and the results averaged. The specimens must be supported at an angle of 45° to a horizontal surface. The exposed surface when installed in the aircraft must be face down for the test. The specimens must be exposed to a Bunsen or Tirrill burner with a nominal
(7) Sixty degree test. A minimum of three specimens of each wire specification (make and size) must be tested. The specimen of wire or cable (including insulation) must be placed at an angle of 60° with the horizontal in the cabinet specified in subparagraph (3) of this paragraph with the cabinet door open during the test, or must be placed within a chamber approximately 2 feet high by 1 foot by 1 foot, open at the top and at one vertical side (front), and which allows sufficient flow of air for complete combustion, but which is free from drafts. The specimen must be parallel to and approximately 6 inches from the front of the chamber. The lower end of the specimen must be held rigidly clamped. The upper end of the specimen must pass over a pulley or rod and must have an appropriate weight attached to it so that the specimen is held tautly throughout the flammability test. The test specimen span between lower clamp and upper pulley or rod must be 24 inches and must be marked 8 inches from the lower end to indicate the central point for flame application. A flame from a Bunsen or Tirrill burner must be applied for 30 seconds at the test mark. The burner must be mounted underneath the test mark on the specimen, perpendicular to the specimen and at an angle of 30° to the vertical plane of the specimen. The burner must have a nominal bore of
(8) Burn length. Burn length is the distance from the original edge to the farthest evidence of damage to the test specimen due to flame impingement, including areas of partial or complete consumption, charring, or embrittlement, but not including areas sooted, stained, warped, or discolored, nor areas where material has shrunk or melted away from the heat source.
(a) Criteria for Acceptance. Each seat cushion must meet the following criteria:
(1) At least three sets of seat bottom and seat back cushion specimens must be tested.
(2) If the cushion is constructed with a fire blocking material, the fire blocking material must completely enclose the cushion foam core material.
(3) Each specimen tested must be fabricated using the principal components (i.e., foam core, flotation material, fire blocking material, if used, and dress covering) and assembly processes (representative seams and closures) intended for use in the production articles. If a different material combination is used for the back cushion than for the bottom cushion, both material combinations must be tested as complete specimen sets, each set consisting of a back cushion specimen and a bottom cushion specimen. If a cushion, including outer dress covering, is demonstrated to meet the requirements of this appendix using the oil burner test, the dress covering of that cushion may be replaced with a similar dress covering provided the burn length of the replacement covering, as determined by the test specified in § 25.853(c), does not exceed the corresponding burn length of the dress covering used on the cushion subjected to the oil burner test.
(4) For at least two-thirds of the total number of specimen sets tested, the burn length from the burner must not reach the side of the cushion opposite the burner. The burn length must not exceed 17 inches. Burn length is the perpendicular distance from the inside edge of the seat frame closest to the burner to the farthest evidence of damage to the test specimen due to flame impingement, including areas of partial or complete consumption, charring, or embrittlement, but not including areas sooted, stained, warped, or discolored, or areas where material has shrunk or melted away from the heat source.
(5) The average percentage weight loss must not exceed 10 percent. Also, at least two-thirds of the total number of specimen sets tested must not exceed 10 percent weight loss. All droppings falling from the cushions and mounting stand are to be discarded before the after-test weight is determined. The percentage weight loss for a specimen set is the weight of the specimen set before testing less the weight of the specimen set after testing expressed as the percentage of the weight before testing.
(b) Test Conditions. Vertical air velocity should average 25 fpm±10 fpm at the top of the back seat cushion. Horizontal air velocity should be below 10 fpm just above the bottom seat cushion. Air velocities should be measured with the ventilation hood operating and the burner motor off.
(c) Test Specimens. (1) For each test, one set of cushion specimens representing a seat bottom and seat back cushion must be used.
(2) The seat bottom cushion specimen must be 18 ±
(3) The seat back cushion specimen must be 18 ±
(4) The specimens must be conditioned at 70 ±5 °F (21 ±2 °C) 55%±10% relative humidity for at least 24 hours before testing.
(d) Test Apparatus. The arrangement of the test apparatus is shown in Figures 1 through 5 and must include the components described in this section. Minor details of the apparatus may vary, depending on the model burner used.
(1) Specimen Mounting Stand. The mounting stand for the test specimens consists of steel angles, as shown in Figure 1. The length of the mounting stand legs is 12 ±
(2) Test Burner. The burner to be used in testing must—
(i) Be a modified gun type;
(ii) Have an 80-degree spray angle nozzle nominally rated for 2.25 gallons/hour at 100 psi;
(iii) Have a 12-inch (305 mm) burner cone installed at the end of the draft tube, with an opening 6 inches (152 mm) high and 11 inches (280 mm) wide, as shown in Figure 3; and
(iv) Have a burner fuel pressure regulator that is adjusted to deliver a nominal 2.0 gallon/hour of # 2 Grade kerosene or equivalent required for the test.
(3) Calorimeter.
(i) The calorimeter to be used in testing must be a (0-15.0 BTU/ft
(ii) Because crumbling of the insulating board with service can result in misalignment of the calorimeter, the calorimeter must be monitored and the mounting shimmed, as necessary, to ensure that the calorimeter face is flush with the exposed plane of the insulating board in a plane parallel to the exit of the test burner cone.
(4) Thermocouples. The seven thermocouples to be used for testing must be
(5) Apparatus Arrangement. The test burner must be mounted on a suitable stand to position the exit of the burner cone a distance of 4 ±
(6) Data Recording. A recording potentiometer or other suitable calibrated instrument with an appropriate range must be used to measure and record the outputs of the calorimeter and the thermocouples.
(7) Weight Scale. Weighing Device—A device must be used that with proper procedures may determine the before and after test weights of each set of seat cushion specimens within 0.02 pound (9 grams). A continuous weighing system is preferred.
(8) Timing Device. A stopwatch or other device (calibrated to ±1 second) must be used to measure the time of application of the burner flame and self-extinguishing time or test duration.
(e) Preparation of Apparatus. Before calibration, all equipment must be turned on and the burner fuel must be adjusted as specified in paragraph (d)(2).
(f) Calibration. To ensure the proper thermal output of the burner, the following test must be made:
(1) Place the calorimeter on the test stand as shown in Figure 4 at a distance of 4 ±
(2) Turn on the burner, allow it to run for 2 minutes for warmup, and adjust the burner air intake damper to produce a reading of 10.5 ±0.5 BTU/ft
(3) Replace the calorimeter with the thermocouple rake (Figure 5).
(4) Turn on the burner and ensure that the thermocouples are reading 1900 ±100 °F (1038 ±38 °C) to ensure steady state conditions have been achieved.
(5) If the calorimeter and thermocouples do not read within range, repeat steps in paragraphs 1 through 4 and adjust the burner air intake damper until the proper readings are obtained. The thermocouple rake and the calorimeter should be used frequently to maintain and record calibrated test parameters. Until the specific apparatus has demonstrated consistency, each test should be calibrated. After consistency has been confirmed, several tests may be conducted with the pre-test calibration before and a calibration check after the series.
(g) Test Procedure. The flammability of each set of specimens must be tested as follows:
(1) Record the weight of each set of seat bottom and seat back cushion specimens to be tested to the nearest 0.02 pound (9 grams).
(2) Mount the seat bottom and seat back cushion test specimens on the test stand as shown in Figure 2, securing the seat back cushion specimen to the test stand at the top.
(3) Swing the burner into position and ensure that the distance from the exit of the burner cone to the side of the seat bottom cushion specimen is 4 ±
(4) Swing the burner away from the test position. Turn on the burner and allow it to run for 2 minutes to provide adequate warmup of the burner cone and flame stabilization.
(5) To begin the test, swing the burner into the test position and simultaneously start the timing device.
(6) Expose the seat bottom cushion specimen to the burner flame for 2 minutes and then turn off the burner. Immediately swing the burner away from the test position. Terminate test 7 minutes after initiating cushion exposure to the flame by use of a gaseous extinguishing agent (i.e., Halon or CO
(7) Determine the weight of the remains of the seat cushion specimen set left on the mounting stand to the nearest 0.02 pound (9 grams) excluding all droppings.
(h) Test Report. With respect to all specimen sets tested for a particular seat cushion for which testing of compliance is performed, the following information must be recorded:
(1) An identification and description of the specimens being tested.
(2) The number of specimen sets tested.
(3) The initial weight and residual weight of each set, the calculated percentage weight loss of each set, and the calculated average percentage weight loss for the total number of sets tested.
(4) The burn length for each set tested.
(a) Criteria for Acceptance. (1) At least three specimens of cargo compartment sidewall or ceiling liner panels must be tested.
(2) Each specimen tested must simulate the cargo compartment sidewall or ceiling liner panel, including any design features, such as joints, lamp assemblies, etc., the failure of which would affect the capability of the liner to safely contain a fire.
(3) There must be no flame penetration of any specimen within 5 minutes after application of the flame source, and the peak temperature measured at 4 inches above the upper surface of the horizontal test sample must not exceed 400 °F.
(b) Summary of Method. This method provides a laboratory test procedure for measuring the capability of cargo compartment lining materials to resist flame penetration with a 2 gallon per hour (GPH) #2 Grade kerosene or equivalent burner fire source. Ceiling and sidewall liner panels may be tested individually provided a baffle is used to simulate the missing panel. Any specimen that passes the test as a ceiling liner panel may be used as a sidewall liner panel.
(c) Test Specimens. (1) The specimen to be tested must measure 16 ±
(2) The specimens must be conditioned at 70 °F.±5 °F. (21 °C. ±2 °C.) and 55%±5% humidity for at least 24 hours before testing.
(d) Test Apparatus. The arrangement of the test apparatus, which is shown in Figure 3 of Part II and Figures 1 through 3 of this part of appendix F, must include the components described in this section. Minor details of the apparatus may vary, depending on the model of the burner used.
(1) Specimen Mounting Stand. The mounting stand for the test specimens consists of steel angles as shown in Figure 1.
(2) Test Burner. The burner to be used in tesing must—
(i) Be a modified gun type.
(ii) Use a suitable nozzle and maintain fuel pressure to yield a 2 GPH fuel flow. For example: an 80 degree nozzle nominally rated at 2.25 GPH and operated at 85 pounds per square inch (PSI) gage to deliver 2.03 GPH.
(iii) Have a 12 inch (305 mm) burner extension installed at the end of the draft tube with an opening 6 inches (152 mm) high and 11 inches (280 mm) wide as shown in Figure 3 of Part II of this appendix.
(iv) Have a burner fuel pressure regulator that is adjusted to deliver a nominal 2.0 GPH of #2 Grade kerosene or equivalent.
(3) Calorimeter. (i) The calorimeter to be used in testing must be a total heat flux Foil Type Gardon Gage of an appropriate range (approximately 0 to 15.0 British thermal unit (BTU) per ft.
(ii) The insulating block must be monitored for deterioration and the mounting shimmed as necessary to ensure that the calorimeter face is parallel to the exit plane of the test burner cone.
(4) Thermocouples. The seven thermocouples to be used for testing must be
(5) Apparatus Arrangement. The test burner must be mounted on a suitable stand to position the exit of the burner cone a distance of 8 inches from the ceiling liner panel and 2 inches from the sidewall liner panel. The burner stand should have the capability of allowing the burner to be swung away from the test specimen during warm-up periods.
(6) Instrumentation. A recording potentiometer or other suitable instrument with an appropriate range must be used to measure and record the outputs of the calorimeter and the thermocouples.
(7) Timing Device. A stopwatch or other device must be used to measure the time of flame application and the time of flame penetration, if it occurs.
(e) Preparation of Apparatus. Before calibration, all equipment must be turned on and allowed to stabilize, and the burner fuel flow must be adjusted as specified in paragraph (d)(2).
(f) Calibration. To ensure the proper thermal output of the burner the following test must be made:
(1) Remove the burner extension from the end of the draft tube. Turn on the blower portion of the burner without turning the fuel or igniters on. Measure the air velocity using a hot wire anemometer in the center of the draft tube across the face of the opening. Adjust the damper such that the air velocity is in the range of 1550 to 1800 ft./min. If tabs are being used at the exit of the draft tube, they must be removed prior to this measurement. Reinstall the draft tube extension cone.
(2) Place the calorimeter on the test stand as shown in Figure 2 at a distance of 8 inches (203 mm) from the exit of the burner cone to simulate the position of the horizontal test specimen.
(3) Turn on the burner, allow it to run for 2 minutes for warm-up, and adjust the damper to produce a calorimeter reading of 8.0 ±0.5 BTU per ft.
(4) Replace the calorimeter with the thermocouple rake (see Figure 3).
(5) Turn on the burner and ensure that each of the seven thermocouples reads 1700 °F. ±100 °F. (927 °C. ±38 °C.) to ensure steady state conditions have been achieved. If the temperature is out of this range, repeat steps 2 through 5 until proper readings are obtained.
(6) Turn off the burner and remove the thermocouple rake.
(7) Repeat (1) to ensure that the burner is in the correct range.
(g) Test Procedure. (1) Mount a thermocouple of the same type as that used for calibration at a distance of 4 inches (102 mm) above the horizontal (ceiling) test specimen. The thermocouple should be centered over the burner cone.
(2) Mount the test specimen on the test stand shown in Figure 1 in either the horizontal or vertical position. Mount the insulating material in the other position.
(3) Position the burner so that flames will not impinge on the specimen, turn the burner on, and allow it to run for 2 minutes. Rotate the burner to apply the flame to the specimen and simultaneously start the timing device.
(4) Expose the test specimen to the flame for 5 minutes and then turn off the burner. The test may be terminated earlier if flame penetration is observed.
(5) When testing ceiling liner panels, record the peak temperature measured 4 inches above the sample.
(6) Record the time at which flame penetration occurs if applicable.
(h) Test Report. The test report must include the following:
(1) A complete description of the materials tested including type, manufacturer, thickness, and other appropriate data.
(2) Observations of the behavior of the test specimens during flame exposure such as delamination, resin ignition, smoke, ect., including the time of such occurrence.
(3) The time at which flame penetration occurs, if applicable, for each of the three specimens tested.
(4) Panel orientation (ceiling or sidewall).
(a) Summary of Method. Three or more specimens representing the completed aircraft component are tested. Each test specimen is injected into an environmental chamber through which a constant flow of air passes. The specimen's exposure is determined by a radiant heat source adjusted to produce, on the specimen, the desired total heat flux of 3.5 W/cm
(b) Apparatus. The Ohio State University (OSU) rate of heat release apparatus, as described below, is used. This is a modified version of the rate of heat release apparatus standardized by the American Society of Testing and Materials (ASTM), ASTM E-906.
(1) This apparatus is shown in Figures 1A and 1B of this part IV. All exterior surfaces of the apparatus, except the holding chamber, must be insulated with 1 inch (25 mm) thick, low density, high temperature, fiberglass board insulation. A gasketed door, through which the sample injection rod slides, must be used to form an airtight closure on the specimen hold chamber.
(2) Thermopile. The temperature difference between the air entering the environmental chamber and that leaving must be monitored by a thermopile having five hot, and five cold, 24-guage Chromel-Alumel junctions. The hot junctions must be spaced across the top of the exhaust stack, .38 inches (10 mm) below the top of the chimney. The thermocouples must have a .050 ±.010 inch (1.3 ±.3mm) diameter, ball-type, welded tip. One thermocouple must be located in the geometric center, with the other four located 1.18 inch (30 mm) from the center along the diagonal toward each of the corners (Figure 5 of this part IV). The cold junctions must be located in the pan below the lower air distribution plate (see paragraph (b)(4) of this part IV). Thermopile hot junctions must be cleared of soot deposits as needed to maintain the calibrated sensitivity.
(3) Radiation Source. A radiant heat source incorporating four Type LL silicon carbide elements, 20 inches (508 mm) long by .63 inch (16 mm) O.D., must be used, as shown in Figures 2A and 2B of this part IV. The heat source must have a nominal resistance of 1.4 ohms and be capable of generating a flux up to 100 kW/m
(4) Air Distribution System. The air entering the environmental chamber must be distributed by a .25 inch (6.3 mm) thick aluminum plate having eight No. 4 drill-holes, located 2 inches (51 mm) from sides on 4 inch (102 mm) centers, mounted at the base of the environmental chamber. A second plate of 18 guage stainless steel having 120, evenly spaced, No. 28 drill holes must be mounted 6 inches (152 mm) above the aluminum plate. A well-regulated air supply is required. The air-supply manifold at the base of the pyramidal section must have 48, evenly spaced, No. 26 drill holes located .38 inch (10 mm) from the inner edge of the manifold, resulting in an airflow split of approximately three to one within the apparatus.
(5) Exhaust Stack. An exhaust stack, 5.25 × 2.75 inches (133 × 70 mm) in cross section, and 10 inches (254 mm) long, fabricated from 28 guage stainless steel must be mounted on the outlet of the pyramidal section. A. 1.0 × 3.0 inch (25 × 76 mm) baffle plate of .018 ±.002 inch (.50 ±.05 mm) stainless steel must be centered inside the stack, perpendicular to the air flow, 3 inches (76 mm) above the base of the stack.
(6) Specimen Holders. (i) The specimen must be tested in a vertical orientation. The specimen holder (Figure 3 of this part IV) must incorporate a frame that touches the specimen (which is wrapped with aluminum foil as required by paragraph (d)(3) of this Part) along only the .25 inch (6 mm) perimeter. A “V” shaped spring is used to hold the assembly together. A detachable .50 × 50 × 5.91 inch (12 × 12 × 150 mm) drip pan and two .020 inch (.5 mm) stainless steel wires (as shown in Figure 3 of this part IV) must be used for testing materials prone to melting and dripping. The positioning of the spring and frame may be changed to accommodate different specimen thicknesses by inserting the retaining rod in different holes on the specimen holder.
(ii) Since the radiation shield described in ASTM E-906 is not used, a guide pin must be added to the injection mechanism. This fits into a slotted metal plate on the injection mechanism outside of the holding chamber. It can be used to provide accurate positioning of the specimen face after injection. The front surface of the specimen must be 3.9 inches (100 mm) from the closed radiation doors after injection.
(iii) The specimen holder clips onto the mounted bracket (Figure 3 of this part IV). The mounting bracket must be attached to the injection rod by three screws that pass through a wide-area washer welded onto a
(7) Calorimeter. A total-flux type calorimeter must be mounted in the center of a
(8) Pilot-Flame Positions. Pilot ignition of the specimen must be accomplished by simultaneously exposing the specimen to a lower pilot burner and an upper pilot burner, as described in paragraph (b)(8)(i) and (b)(8)(ii) or (b)(8)(iii) of this part IV, respectively. Since intermittent pilot flame extinguishment for more than 3 seconds would invalidate the test results, a spark ignitor may be installed to ensure that the lower pilot burner remains lighted.
(i) Lower Pilot Burner. The pilot-flame tubing must be .25 inch (6.3 mm) O.D., .03 inch (0.8mm) wall, stainless steel tubing. A mixture of 120 cm
(ii) Standard Three-Hole Upper Pilot Burner. The pilot burner must be a straight length of .25 inch (6.3 mm) O.D., .03 inch (0.8 mm) wall, stainless steel tubing that is 14 inches (360 mm) long. One end of the tubing must be closed, and three No. 40 drill holes must be drilled into the tubing, 2.38 inch (60 mm) apart, for gas ports, all radiating in the same direction. The first hole must be .19 inch (5 mm) from the closed end of the tubing. The tube must be positioned .75 inch (19 mm) above and .75 inch (19 mm) behind the exposed upper edge of the specimen. The middle hole must be in the vertical plane perpendicular to the exposed surface of the specimen which passes through its vertical centerline and must be pointed toward the radiation source. The gas supplied to the burner must be methane and must be adjusted to produce flame lengths of 1 inch (25 mm).
(iii) Optional Fourteen-Hole Upper Pilot Burner. This burner may be used in lieu of the standard three-hole burner described in paragraph (b)(8)(ii) of this part IV. The pilot burner must be a straight length of .25 inch (6.3 mm) O.D., .03 inch (0.8 mm) wall, stainless steel tubing that is 15.75 inches (400 mm) long. One end of the tubing must be closed, and 14 No. 59 drill holes must be drilled into the tubing, .50 inch (13 mm) apart, for gas ports, all radiating in the same direction. The first hole must be .50 inch (13 mm) from the closed end of the tubing. The tube must be positioned above the specimen holder so that the holes are placed above the specimen as shown in Figure 1B of this part IV. The fuel supplied to the burner must be methane mixed with air in a ratio of approximately 50/50 by volume. The total gas flow must be adjusted to produce flame lengths of 1 inch (25 mm). When the gas/air ratio and the flow rate are properly adjusted, approximately .25 inch (6 mm) of the flame length appears yellow in color.
(c) Calibration of Equipment—(1) Heat Release Rate. A calibration burner, as shown in Figure 4, must be placed over the end of the lower pilot flame tubing using a gas tight connection. The flow of gas to the pilot flame must be at least 99 percent methane and must be accurately metered. Prior to usage, the wet test meter must be properly leveled and filled with distilled water to the tip of the internal pointer while no gas is flowing. Ambient temperature and pressure of the water are based on the internal wet test meter temperature. A baseline flow rate of approximately 1 liter/min. must be set and increased to higher preset flows of 4, 6, 8, 6 and 4 liters/min. Immediately prior to recording methane flow rates, a flow rate of 8 liters/min. must be used for 2 minutes to precondition the chamber. This is not recorded as part of calibration. The rate must be determined by using a stopwatch to time a complete revolution of the wet test meter for both the baseline and higher flow, with the flow returned to baseline before changing to the next higher flow. The thermopile baseline voltage must be measured. The gas flow to the burner must be increased to the higher preset flow and allowed to burn for 2.0 minutes, and the thermopile voltage must be measured. The sequence must be repeated until all five values have been determined. The average of the five values must be used as the calibration factor. The procedure must be repeated if the percent relative standard deviation is greater than 5 percent. Calculations are shown in paragraph (f) of this part IV.
(2) Flux Uniformity. Uniformity of flux over the specimen must be checked periodically and after each heating element change to determine if it is within acceptable limits of plus or minus 5 percent.
(3) As noted in paragraph (b)(2) of this part IV, thermopile hot junctions must be cleared of soot deposits as needed to maintain the calibrated sensitivity.
(d) Preparation of Test Specimens. (1) The test specimens must be representative of the aircraft component in regard to materials and construction methods. The standard size for the test specimens is 5.91 ±.03 × 5.91 ±.03 inches (149 ±1 × 149 ±1 mm). The thickness of the specimen must be the same as that of the aircraft component it represents up to a maximum thickness of 1.75 inches (45 mm). Test specimens representing thicker components must be 1.75 inches (45 mm).
(2) Conditioning. Specimens must be conditioned as described in Part 1 of this appendix.
(3) Mounting. Each test specimen must be wrapped tightly on all sides of the specimen, except for the one surface that is exposed with a single layer of .001 inch (.025 mm) aluminum foil.
(e) Procedure. (1) The power supply to the radiant panel must be set to produce a radiant flux of 3.5 ±.05 W/cm
(2) After the pilot flames are lighted, their position must be checked as described in paragraph (b)(8) of this part IV.
(3) Air flow through the apparatus must be controlled by a circular plate orifice located in a 1.5 inch (38.1 mm) I.D. pipe with two pressure measuring points, located 1.5 inches (38 mm) upstream and .75 inches (19 mm) downstream of the orifice plate. The pipe must be connected to a manometer set at a pressure differential of 7.87 inches (200 mm) of Hg. (See Figure 1B of this part IV.) The total air flow to the equipment is approximately .04 m
(4) The specimen must be placed in the hold chamber with the radiation doors closed. The airtight outer door must be secured, and the recording devices must be started. The specimen must be retained in the hold chamber for 60 seconds, plus or minus 10 seconds, before injection. The thermopile “zero” value must be determined during the last 20 seconds of the hold period. The sample must not be injected before completion of the “zero” value determination.
(5) When the specimen is to be injected, the radiation doors must be opened. After the specimen is injected into the environmental chamber, the radiation doors must be closed behind the specimen.
(6) [Reserved]
(7) Injection of the specimen and closure of the inner door marks time zero. A record of the thermopile output with at least one data point per second must be made during the time the specimen is in the environmental chamber.
(8) The test duration is five minutes. The lower pilot burner and the upper pilot burner must remain lighted for the entire duration of the test, except that there may be intermittent flame extinguishment for periods that do not exceed 3 seconds. Furthermore, if the optional three-hole upper burner is used, at least two flamelets must remain lighted for the entire duration of the test, except that there may be intermittent flame extinguishment of all three flamelets for periods that do not exceed 3 seconds.
(9) A minimum of three specimens must be tested.
(f) Calculations. (1) The calibration factor is calculated as follows:
(2) Heat release rates may be calculated from the reading of the thermopile output voltage at any instant of time as:
(3) The integral of the heat release rate is the total heat release as a function of time and is calculated by multiplying the rate by the data sampling frequency in minutes and summing the time from zero to two minutes.
(g) Criteria. The total positive heat release over the first two minutes of exposure for each of the three or more samples tested must be averaged, and the peak heat release rate for each of the samples must be averaged. The average total heat release must not exceed 65 kilowatt-minutes per square meter, and the average peak heat release rate must not exceed 65 kilowatts per square meter.
(h) Report. The test report must include the following for each specimen tested:
(1) Description of the specimen.
(2) Radiant heat flux to the specimen, expressed in W/cm
(3) Data giving release rates of heat (in kW/m
(4) If melting, sagging, delaminating, or other behavior that affects the exposed surface area or the mode of burning occurs, these behaviors must be reported, together with the time at which such behaviors were observed.
(5) The peak heat release and the 2-minute integrated heat release rate must be reported.
(a) Summary of Method. The specimens must be constructed, conditioned, and tested in the flaming mode in accordance with American Society of Testing and Materials (ASTM) Standard Test Method ASTM F814-83.
(b) Acceptance Criteria. The specific optical smoke density (D
Use this test method to evaluate the flammability and flame propagation characteristics of thermal/acoustic insulation when exposed to both a radiant heat source and a flame.
(a) Definitions.
“Flame propagation” means the furthest distance of the propagation of visible flame towards the far end of the test specimen, measured from the midpoint of the ignition source flame. Measure this distance after initially applying the ignition source and before all flame on the test specimen is extinguished. The measurement is not a determination of burn length made after the test.
“Radiant heat source” means an electric or air propane panel.
“Thermal/acoustic insulation” means a material or system of materials used to provide thermal and/or acoustic protection. Examples include fiberglass or other batting material encapsulated by a film covering and foams.
“Zero point” means the point of application of the pilot burner to the test specimen.
(b) Test apparatus.
(1) Radiant panel test chamber. Conduct tests in a radiant panel test chamber (see figure 1 above). Place the test chamber under an exhaust hood to facilitate clearing the chamber of smoke after each test. The radiant panel test chamber must be an enclosure 55 inches (1397 mm) long by 19.5 (495 mm) deep by 28 (710 mm) to 30 inches (maximum) (762 mm) above the test specimen. Insulate the sides, ends, and top with a fibrous ceramic insulation, such as Kaowool M
(2) Radiant heat source. Mount the radiant heat energy source in a cast iron frame or equivalent. An electric panel must have six, 3-inch wide emitter strips. The emitter strips must be perpendicular to the length of the panel. The panel must have a radiation surface of 12
(i) Electric radiant panel. The radiant panel must be 3-phase and operate at 208 volts. A single-phase, 240 volt panel is also acceptable. Use a solid-state power controller and microprocessor-based controller to set the electric panel operating parameters.
(ii) Gas radiant panel. Use propane (liquid petroleum gas—2.1 UN 1075) for the radiant panel fuel. The panel fuel system must consist of a venturi-type aspirator for mixing gas and air at approximately atmospheric pressure. Provide suitable instrumentation for monitoring and controlling the flow of fuel and air to the panel. Include an air flow gauge, an air flow regulator, and a gas pressure gauge.
(iii) Radiant panel placement. Mount the panel in the chamber at 30° to the horizontal specimen plane, and 7
(3) Specimen holding system. (i) The sliding platform serves as the housing for test specimen placement. Brackets may be attached (via wing nuts) to the top lip of the platform in order to accommodate various thicknesses of test specimens. Place the test specimens on a sheet of Kaowool M
(ii) Attach a
(iii) Place the test specimen horizontally on the non-combustible board(s). Place a steel retaining/securing frame fabricated of mild steel, having a thickness of
(4) Pilot Burner. The pilot burner used to ignite the specimen must be a Bernzomatic
(5) Thermocouples. Install a 24 American Wire Gauge (AWG) Type K (Chromel-Alumel) thermocouple in the test chamber for temperature monitoring. Insert it into the chamber through a small hole drilled through the back of the chamber. Place the thermocouple so that it extends 11 inches (279 mm) out from the back of the chamber wall, 11
(6) Calorimeter. The calorimeter must be a one-inch cylindrical water-cooled, total heat flux density, foil type Gardon Gage that has a range of 0 to 5 BTU/ft
(7) Calorimeter calibration specification and procedure.
(i) Calorimeter specification.
(A) Foil diameter must be 0.25 ±0.005 inches (6.35 ±0.13 mm).
(B) Foil thickness must be 0.0005 ±0.0001 inches (0.013 ±0.0025 mm).
(C) Foil material must be thermocouple grade Constantan.
(D) Temperature measurement must be a Copper Constantan thermocouple.
(E) The copper center wire diameter must be 0.0005 inches (0.013 mm).
(F) The entire face of the calorimeter must be lightly coated with “Black Velvet” paint having an emissivity of 96 or greater.
(ii) Calorimeter calibration. (A) The calibration method must be by comparison to a like standardized transducer.
(B) The standardized transducer must meet the specifications given in paragraph VI(b)(6) of this appendix.
(C) Calibrate the standard transducer against a primary standard traceable to the National Institute of Standards and Technology (NIST).
(D) The method of transfer must be a heated graphite plate.
(E) The graphite plate must be electrically heated, have a clear surface area on each side of the plate of at least 2 by 2 inches (51 by 51 mm), and be
(F) Center the 2 transducers on opposite sides of the plates at equal distances from the plate.
(G) The distance of the calorimeter to the plate must be no less than 0.0625 inches (1.6 mm), nor greater than 0.375 inches (9.5 mm).
(H) The range used in calibration must be at least 0-3.5 BTUs/ft
(I) The recording device used must record the 2 transducers simultaneously or at least within
(8) Calorimeter fixture. With the sliding platform pulled out of the chamber, install the calorimeter holding frame and place a sheet of non-combustible material in the bottom of the sliding platform adjacent to the holding frame. This will prevent heat losses during calibration. The frame must be 13
(9) Instrumentation. Provide a calibrated recording device with an appropriate range or a computerized data acquisition system to measure and record the outputs of the calorimeter and the thermocouple. The data acquisition system must be capable of recording the calorimeter output every second during calibration.
(10) Timing device. Provide a stopwatch or other device, accurate to ±1 second/hour, to measure the time of application of the pilot burner flame.
(c) Test specimens. (1) Specimen preparation. Prepare and test a minimum of three test specimens. If an oriented film cover material is used, prepare and test both the warp and fill directions.
(2) Construction. Test specimens must include all materials used in construction of the insulation (including batting, film, scrim, tape etc.). Cut a piece of core material such as foam or fiberglass, and cut a piece of film cover material (if used) large enough to cover the core material. Heat sealing is the preferred method of preparing fiberglass samples, since they can be made without compressing the fiberglass (“box sample”). Cover materials that are not heat sealable may be stapled, sewn, or taped as long as the cover material is over-cut enough to be drawn down the sides without compressing the core material. The fastening means should be as continuous as possible along the length of the seams. The specimen thickness must be of the same thickness as installed in the airplane.
(3) Specimen Dimensions. To facilitate proper placement of specimens in the sliding platform housing, cut non-rigid core materials, such as fiberglass, 12
(d) Specimen conditioning. Condition the test specimens at 70 ±5 °F (21 ±2 °C) and 55% ±10% relative humidity, for a minimum of 24 hours prior to testing.
(e) Apparatus Calibration. (1) With the sliding platform out of the chamber, install the calorimeter holding frame. Push the platform back into the chamber and insert the calorimeter into the first hole (“zero” position). See figure 7. Close the bottom door located below the sliding platform. The distance from the centerline of the calorimeter to the radiant panel surface at this point must be 7.
(2) Ignite the panel. Adjust the fuel/air mixture to achieve 1.5 BTUs/ft
(3) After steady-state conditions have been reached, move the calorimeter 2 inches (51 mm) from the “zero” position (first hole) to position 1 and record the heat flux. Move the calorimeter to position 2 and record the heat flux. Allow enough time at each position for the calorimeter to stabilize. Table 1 depicts typical calibration values at the three positions.
Table 1—Calibration Table
| Position | BTU's/ft 2sec | Watts/cm 2 |
|---|---|---|
| “Zero” Position | 1.5 | 1.7 |
| Position 1 | 1.51-1.50-1.49 | 1.71-1.70-1.69 |
| Position 2 | 1.43-1.44 | 1.62-1.63 |
(4) Open the bottom door, remove the calorimeter and holder fixture. Use caution as the fixture is very hot.
(f) Test Procedure. (1) Ignite the pilot burner. Ensure that it is at least 2 inches (51 mm) above the top of the platform. The burner must not contact the specimen until the test begins.
(2) Place the test specimen in the sliding platform holder. Ensure that the test sample surface is level with the top of the platform. At “zero” point, the specimen surface must be 7
(3) Place the retaining/securing frame over the test specimen. It may be necessary (due to compression) to adjust the sample (up or down) in order to maintain the distance from the sample to the radiant panel (7
(4) Immediately push the sliding platform into the chamber and close the bottom door.
(5) Bring the pilot burner flame into contact with the center of the specimen at the “zero” point and simultaneously start the timer. The pilot burner must be at a 27° angle with the sample and be approximately
(6) Leave the burner in position for 15 seconds and then remove to a position at least 2 inches (51 mm) above the specimen.
(g) Report. (1) Identify and describe the test specimen.
(2) Report any shrinkage or melting of the test specimen.
(3) Report the flame propagation distance. If this distance is less than 2 inches, report this as a pass (no measurement required).
(4) Report the after-flame time.
(h) Requirements. (1) There must be no flame propagation beyond 2 inches (51 mm) to the left of the centerline of the pilot flame application.
(2) The flame time after removal of the pilot burner may not exceed 3 seconds on any specimen.
Use the following test method to evaluate the burnthrough resistance characteristics of aircraft thermal/acoustic insulation materials when exposed to a high intensity open flame.
(a) Definitions.
Burnthrough time means the time, in seconds, for the burner flame to penetrate the test specimen, and/or the time required for the heat flux to reach 2.0 Btu/ft
Insulation blanket specimen means one of two specimens positioned in either side of the test rig, at an angle of 30° with respect to vertical.
Specimen set means two insulation blanket specimens. Both specimens must represent the same production insulation blanket construction and materials, proportioned to correspond to the specimen size.
(b) Apparatus. (1) The arrangement of the test apparatus is shown in figures 1 and 2 and must include the capability of swinging the burner away from the test specimen during warm-up.
(2) Test burner. The test burner must be a modified gun-type such as the Park Model DPL 3400. Flame characteristics are highly dependent on actual burner setup. Parameters such as fuel pressure, nozzle depth, stator position, and intake airflow must be properly adjusted to achieve the correct flame output.
(i) Nozzle. A nozzle must maintain the fuel pressure to yield a nominal 6.0 gal/hr (0.378 L/min) fuel flow. A Monarch-manufactured 80° PL (hollow cone) nozzle nominally rated at 6.0 gal/hr at 100 lb/in
(ii) Fuel Rail. The fuel rail must be adjusted to position the fuel nozzle at a depth of 0.3125 inch (8 mm) from the end plane of the exit stator, which must be mounted in the end of the draft tube.
(iii) Internal Stator. The internal stator, located in the middle of the draft tube, must be positioned at a depth of 3.75 inches (95 mm) from the tip of the fuel nozzle. The stator must also be positioned such that the integral igniters are located at an angle midway between the 10 and 11 o'clock position, when viewed looking into the draft tube. Minor deviations to the igniter angle are acceptable if the temperature and heat flux requirements conform to the requirements of paragraph VII(e) of this appendix.
(iv) Blower Fan. The cylindrical blower fan used to pump air through the burner must measure 5.25 inches (133 mm) in diameter by 3.5 inches (89 mm) in width.
(v) Burner cone. Install a 12 + 0.125-inch (305 ±3 mm) burner extension cone at the end of the draft tube. The cone must have an opening 6 ±0.125-inch (152 ±3 mm) high and 11 ±0.125-inch (280 ±3 mm) wide (see figure 3).
(vi) Fuel. Use JP-8, Jet A, or their international equivalent, at a flow rate of 6.0 ±0.2 gal/hr (0.378 ±0.0126 L/min). If this fuel is unavailable, ASTM K2 fuel (Number 2 grade kerosene) or ASTM D2 fuel (Number 2 grade fuel oil or Number 2 diesel fuel) are acceptable if the nominal fuel flow rate, temperature, and heat flux measurements conform to the requirements of paragraph VII(e) of this appendix.
(vii) Fuel pressure regulator. Provide a fuel pressure regulator, adjusted to deliver a nominal 6.0 gal/hr (0.378 L/min) flow rate. An operating fuel pressure of 100 lb/in
(3) Calibration rig and equipment. (i) Construct individual calibration rigs to incorporate a calorimeter and thermocouple rake for the measurement of heat flux and temperature. Position the calibration rigs to allow movement of the burner from the test rig position to either the heat flux or temperature position with minimal difficulty.
(ii) Calorimeter. The calorimeter must be a total heat flux, foil type Gardon Gage of an appropriate range such as 0-20 Btu/ft
(iii) Calorimeter mounting. Mount the calorimeter in a 6- by 12- ±0.125 inch (152- by 305- ±3 mm) by 0.75 ±0.125 inch (19 mm ±3 mm) thick insulating block which is attached to the heat flux calibration rig during calibration (figure 4). Monitor the insulating block for deterioration and replace it when necessary. Adjust the mounting as necessary to ensure that the calorimeter face is parallel to the exit plane of the test burner cone.
(iv) Thermocouples. Provide seven
(v) Air velocity meter. Use a vane-type air velocity meter to calibrate the velocity of air entering the burner. An Omega Engineering Model HH30A is satisfactory. Use a suitable adapter to attach the measuring device to the inlet side of the burner to prevent air from entering the burner other than through the measuring device, which would produce erroneously low readings. Use a flexible duct, measuring 4 inches wide (102 mm) by 20 feet long (6.1 meters), to supply fresh air to the burner intake to prevent damage to the air velocity meter from ingested soot. An optional airbox permanently mounted to the burner intake area can effectively house the air velocity meter and provide a mounting port for the flexible intake duct.
(4) Test specimen mounting frame. Make the mounting frame for the test specimens of
(5) Backface calorimeters. Mount two total heat flux Gardon type calorimeters behind the insulation test specimens on the back side (cold) area of the test specimen mounting frame as shown in figure 6. Position the calorimeters along the same plane as the burner cone centerline, at a distance of 4 inches (102 mm) from the vertical centerline of the test frame.
(i) The calorimeters must be a total heat flux, foil type Gardon Gage of an appropriate range such as 0-5 Btu/ft
(6) Instrumentation. Provide a recording potentiometer or other suitable calibrated instrument with an appropriate range to measure and record the outputs of the calorimeter and the thermocouples.
(7) Timing device. Provide a stopwatch or other device, accurate to ±1%, to measure the time of application of the burner flame and burnthrough time.
(8) Test chamber. Perform tests in a suitable chamber to reduce or eliminate the possibility of test fluctuation due to air movement. The chamber must have a minimum floor area of 10 by 10 feet (305 by 305 cm).
(i) Ventilation hood. Provide the test chamber with an exhaust system capable of removing the products of combustion expelled during tests.
(c) Test Specimens. (1) Specimen preparation. Prepare a minimum of three specimen sets of the same construction and configuration for testing.
(2) Insulation blanket test specimen.
(i) For batt-type materials such as fiberglass, the constructed, finished blanket specimen assemblies must be 32 inches wide by 36 inches long (81.3 by 91.4 cm), exclusive of heat sealed film edges.
(ii) For rigid and other non-conforming types of insulation materials, the finished test specimens must fit into the test rig in such a manner as to replicate the actual in-service installation.
(3) Construction. Make each of the specimens tested using the principal components (i.e., insulation, fire barrier material if used, and moisture barrier film) and assembly processes (representative seams and closures).
(i) Fire barrier material. If the insulation blanket is constructed with a fire barrier material, place the fire barrier material in a manner reflective of the installed arrangement For example, if the material will be placed on the outboard side of the insulation material, inside the moisture film, place it the same way in the test specimen.
(ii) Insulation material. Blankets that utilize more than one variety of insulation (composition, density, etc.) must have specimen sets constructed that reflect the insulation combination used. If, however, several blanket types use similar insulation combinations, it is not necessary to test each combination if it is possible to bracket the various combinations.
(iii) Moisture barrier film. If a production blanket construction utilizes more than one type of moisture barrier film, perform separate tests on each combination. For example, if a polyimide film is used in conjunction with an insulation in order to enhance the burnthrough capabilities, also test the same insulation when used with a polyvinyl fluoride film.
(iv) Installation on test frame. Attach the blanket test specimens to the test frame using 12 steel spring type clamps as shown in figure 7. Use the clamps to hold the blankets in place in both of the outer vertical formers, as well as the center vertical former (4 clamps per former). The clamp surfaces should measure 1 inch by 2 inches (25 by 51 mm). Place the top and bottom clamps 6 inches (15.2 cm) from the top and bottom of the test frame, respectively. Place the middle clamps 8 inches (20.3 cm) from the top and bottom clamps.
(Note: For blanket materials that cannot be installed in accordance with figure 7 above, the blankets must be installed in a manner approved by the FAA.)
(v) Conditioning. Condition the specimens at 70° ±5 °F (21° ±2 °C) and 55% ±10% relative humidity for a minimum of 24 hours prior to testing.
(d) Preparation of apparatus. (1) Level and center the frame assembly to ensure alignment of the calorimeter and/or thermocouple rake with the burner cone.
(2) Turn on the ventilation hood for the test chamber. Do not turn on the burner blower. Measure the airflow of the test chamber using a vane anemometer or equivalent measuring device. The vertical air velocity just behind the top of the upper insulation blanket test specimen must be 100 ±50 ft/min (0.51 ±0.25 m/s). The horizontal air velocity at this point must be less than 50 ft/min (0.25 m/s).
(3) If a calibrated flow meter is not available, measure the fuel flow rate using a graduated cylinder of appropriate size. Turn on the burner motor/fuel pump, after insuring that the igniter system is turned off. Collect the fuel via a plastic or rubber tube into the graduated cylinder for a 2-minute period. Determine the flow rate in gallons per hour. The fuel flow rate must be 6.0 ±0.2 gallons per hour (0.378 ±0.0126 L/min).
(e) Calibration. (1) Position the burner in front of the calorimeter so that it is centered and the vertical plane of the burner cone exit is 4 ±0.125 inches (102 ±3 mm) from the calorimeter face. Ensure that the horizontal centerline of the burner cone is offset 1 inch below the horizontal centerline of the calorimeter (figure 8). Without disturbing the calorimeter position, rotate the burner in front of the thermocouple rake, such that the middle thermocouple (number 4 of 7) is centered on the burner cone.
Ensure that the horizontal centerline of the burner cone is also offset 1 inch below the horizontal centerline of the thermocouple tips. Re-check measurements by rotating the burner to each position to ensure proper alignment between the cone and the calorimeter and thermocouple rake. (Note: The test burner mounting system must incorporate “detents” that ensure proper centering of the burner cone with respect to both the calorimeter and the thermocouple rakes, so that rapid positioning of the burner can be achieved during the calibration procedure.)
(2) Position the air velocity meter in the adapter or airbox, making certain that no gaps exist where air could leak around the air velocity measuring device. Turn on the blower/motor while ensuring that the fuel solenoid and igniters are off. Adjust the air intake velocity to a level of 2150 ft/min, (10.92 m/s) then turn off the blower/motor. (Note: The Omega HH30 air velocity meter measures 2.625 inches in diameter. To calculate the intake airflow, multiply the cross-sectional area (0.03758 ft
(3) Rotate the burner from the test position to the warm-up position. Prior to lighting the burner, ensure that the calorimeter face is clean of soot deposits, and there is water running through the calorimeter. Examine and clean the burner cone of any evidence of buildup of products of combustion, soot, etc. Soot buildup inside the burner cone may affect the flame characteristics and cause calibration difficulties. Since the burner cone may distort with time, dimensions should be checked periodically.
(4) While the burner is still rotated to the warm-up position, turn on the blower/motor, igniters and fuel flow, and light the burner. Allow it to warm up for a period of 2 minutes. Move the burner into the calibration position and allow 1 minute for calorimeter stabilization, then record the heat flux once every second for a period of 30 seconds. Turn off burner, rotate out of position, and allow to cool. Calculate the average heat flux over this 30-second duration. The average heat flux should be 16.0 ±0.8 Btu/ft
(5) Position the burner in front of the thermocouple rake. After checking for proper alignment, rotate the burner to the warm-up position, turn on the blower/motor, igniters and fuel flow, and light the burner. Allow it to warm up for a period of 2 minutes. Move the burner into the calibration position and allow 1 minute for thermocouple stabilization, then record the temperature of each of the 7 thermocouples once every second for a period of 30 seconds. Turn off burner, rotate out of position, and allow to cool. Calculate the average temperature of each thermocouple over this 30-second period and record. The average temperature of each of the 7 thermocouples should be 1900 °F ±100 °F (1038 ±56 °C).
(6) If either the heat flux or the temperatures are not within the specified range, adjust the burner intake air velocity and repeat the procedures of paragraphs (4) and (5) above to obtain the proper values. Ensure that the inlet air velocity is within the range of 2150 ft/min ±50 ft/min (10.92 ±0.25 m/s).
(7) Calibrate prior to each test until consistency has been demonstrated. After consistency has been confirmed, several tests may be conducted with calibration conducted before and after a series of tests.
(f) Test procedure. (1) Secure the two insulation blanket test specimens to the test frame. The insulation blankets should be attached to the test rig center vertical former using four spring clamps positioned as shown in figure 7 (according to the criteria of paragraph paragraph (c)(3)(iv) of this part of this appendix).
(2) Ensure that the vertical plane of the burner cone is at a distance of 4 ±0.125 inch (102 ±3 mm) from the outer surface of the horizontal stringers of the test specimen frame, and that the burner and test frame are both situated at a 30° angle with respect to vertical.
(3) When ready to begin the test, direct the burner away from the test position to the warm-up position so that the flame will not impinge on the specimens prematurely. Turn on and light the burner and allow it to stabilize for 2 minutes.
(4) To begin the test, rotate the burner into the test position and simultaneously start the timing device.
(5) Expose the test specimens to the burner flame for 4 minutes and then turn off the burner. Immediately rotate the burner out of the test position.
(6) Determine (where applicable) the burnthrough time, or the point at which the heat flux exceeds 2.0 Btu/ft
(g) Report. (1) Identify and describe the specimen being tested.
(2) Report the number of insulation blanket specimens tested.
(3) Report the burnthrough time (if any), and the maximum heat flux on the back face of the insulation blanket test specimen, and the time at which the maximum occurred.
(h) Requirements. (1) Each of the two insulation blanket test specimens must not allow fire or flame penetration in less than 4 minutes.
(2) Each of the two insulation blanket test specimens must not allow more than 2.0 Btu/ft
(a) This appendix specifies requirements for preparation of Instructions for Continued Airworthiness as required by §§ 25.1529, 25.1729, and applicable provisions of parts 21 and 26 of this chapter.
(b) The Instructions for Continued Airworthiness for each airplane must include the Instructions for Continued Airworthiness for each engine and propeller (hereinafter designated “products”), for each appliance required by this chapter, and any required information relating to the interface of those appliances and products with the airplane. If Instructions for Continued Airworthiness are not supplied by the manufacturer of an appliance or product installed in the airplane, the Instructions for Continued Airworthiness for the airplane must include the information essential to the continued airworthiness of the airplane.
(c) The applicant must submit to the FAA a program to show how changes to the Instructions for Continued Airworthiness made by the applicant or by the manufacturers or products and appliances installed in the airplane will be distributed.
(a) The Instructions for Continued Airworthiness must be in the form of a manual or manuals as appropriate for the quantity of data to be provided.
(b) The format of the manual or manuals must provide for a practical arrangement.
The contents of the manual or manuals must be prepared in the English language. The Instructions for Continued Airworthiness must contain the following manuals or sections, as appropriate, and information:
(a) Airplane maintenance manual or section. (1) Introduction information that includes an explanation of the airplane's features and data to the extent necessary for maintenance or preventive maintenance.
(2) A description of the airplane and its systems and installations including its engines, propellers, and appliances.
(3) Basic control and operation information describing how the airplane components and systems are controlled and how they operate, including any special procedures and limitations that apply.
(4) Servicing information that covers details regarding servicing points, capacities of tanks, reservoirs, types of fluids to be used, pressures applicable to the various systems, location of access panels for inspection and servicing, locations of lubrication points, lubricants to be used, equipment required for servicing, tow instructions and limitations, mooring, jacking, and leveling information.
(b) Maintenance instructions. (1) Scheduling information for each part of the airplane and its engines, auxiliary power units, propellers, accessories, instruments, and equipment that provides the recommended periods at which they should be cleaned, inspected, adjusted, tested, and lubricated, and the degree of inspection, the applicable wear tolerances, and work recommended at these periods. However, the applicant may refer to an accessory, instrument, or equipment manufacturer as the source of this information if the applicant shows that the item has an exceptionally high degree of complexity requiring specialized maintenance techniques, test equipment, or expertise. The recommended overhaul periods and necessary cross references to the Airworthiness Limitations section of the manual must also be included. In addition, the applicant must include an inspection program that includes the frequency and extent of the inspections necessary to provide for the continued airworthiness of the airplane.
(2) Troubleshooting information describing probable malfunctions, how to recognize those malfunctions, and the remedial action for those malfunctions.
(3) Information describing the order and method of removing and replacing products and parts with any necessary precautions to be taken.
(4) Other general procedural instructions including procedures for system testing during ground running, symmetry checks, weighing and determining the center of gravity, lifting and shoring, and storage limitations.
(c) Diagrams of structural access plates and information needed to gain access for inspections when access plates are not provided.
(d) Details for the application of special inspection techniques including radiographic and ultrasonic testing where such processes are specified.
(e) Information needed to apply protective treatments to the structure after inspection.
(f) All data relative to structural fasteners such as identification, discard recommendations, and torque values.
(g) A list of special tools needed.
(a) The Instructions for Continued Airworthiness must contain a section titled Airworthiness Limitations that is segregated and clearly distinguishable from the rest of the document. This section must set forth—
(1) Each mandatory modification time, replacement time, structural inspection interval, and related structural inspection procedure approved under § 25.571.
(2) Each mandatory replacement time, inspection interval, related inspection procedure, and all critical design configuration control limitations approved under § 25.981 for the fuel tank system.
(3) Any mandatory replacement time of EWIS components as defined in section 25.1701.
(4) A limit of validity of the engineering data that supports the structural maintenance program (LOV), stated as a total number of accumulated flight cycles or flight hours or both, approved under § 25.571. Until the full-scale fatigue testing is completed and the FAA has approved the LOV, the number of cycles accumulated by the airplane cannot be greater than
(5) Each mandatory replacement time, inspection interval, and related inspection and test procedure, and each critical design configuration control limitation for each lightning protection feature approved under § 25.954.
(6) Each certification maintenance requirement established to comply with any of the applicable provisions of part 25.
(b) If the Instructions for Continued Airworthiness consist of multiple documents, the section required by this paragraph must be included in the principal manual. This section must contain a legible statement in a prominent location that reads: “The Airworthiness Limitations section is FAA-approved and specifies maintenance required under §§ 43.16 and 91.403 of the Federal Aviation Regulations, unless an alternative program has been FAA approved.”
H25.5 Electrical Wiring Interconnection System (EWIS) Instructions for Continued Airworthiness.
(a) The applicant must prepare Instructions for Continued Airworthiness (ICA) applicable to EWIS as defined by § 25.1701 that are approved by the FAA and include the following:
(1) Maintenance and inspection requirements for the EWIS developed with the use of an enhanced zonal analysis procedure that includes:
(i) Identification of each zone of the airplane.
(ii) Identification of each zone that contains EWIS.
(iii) Identification of each zone containing EWIS that also contains combustible materials.
(iv) Identification of each zone in which EWIS is in close proximity to both primary and back-up hydraulic, mechanical, or electrical flight controls and lines.
(v) Identification of—
(A) Tasks, and the intervals for performing those tasks, that will reduce the likelihood of ignition sources and accumulation of combustible material, and
(B) Procedures, and the intervals for performing those procedures, that will effectively clean the EWIS components of combustible material if there is not an effective task to reduce the likelihood of combustible material accumulation.
(vi) Instructions for protections and caution information that will minimize contamination and accidental damage to EWIS, as applicable, during performance of maintenance, alteration, or repairs.
(2) Acceptable EWIS maintenance practices in a standard format.
(3) Wire separation requirements as determined under § 25.1707.
(4) Information explaining the EWIS identification method and requirements for identifying any changes to EWIS under § 25.1711.
(5) Electrical load data and instructions for updating that data.
(b) The EWIS ICA developed in accordance with the requirements of H25.5(a)(1) must be in the form of a document appropriate for the information to be provided, and they must be easily recognizable as EWIS ICA. This document must either contain the required EWIS ICA or specifically reference other portions of the ICA that contain this information.
(a) This appendix specifies additional requirements for installation of an engine power control system that automatically resets thrust or power on operating engine(s) in the event of any one engine failure during takeoff.
(b) With the ATTCS and associated systems functioning normally as designed, all applicable requirements of Part 25, except as provided in this appendix, must be met without requiring any action by the crew to increase thrust or power.
(a) Automatic Takeoff Thrust Control System (ATTCS). An ATTCS is defined as the entire automatic system used on takeoff, including all devices, both mechanical and electrical, that sense engine failure, transmit signals, actuate fuel controls or power levers or increase engine power by other means on operating engines to achieve scheduled thrust or power increases, and furnish cockpit information on system operation.
(b) Critical Time Interval. When conducting an ATTCS takeoff, the critical time interval is between V
The applicant must comply with the performance and ATTCS reliability requirements as follows:
(a) An ATTCS failure or a combination of failures in the ATTCS during the critical time interval:
(1) Shall not prevent the insertion of the maximum approved takeoff thrust or power, or must be shown to be an improbable event.
(2) Shall not result in a significant loss or reduction in thrust or power, or must be shown to be an extremely improbable event.
(b) The concurrent existence of an ATTCS failure and an engine failure during the critical time interval must be shown to be extremely improbable.
(c) All applicable performance requirements of Part 25 must be met with an engine failure occurring at the most critical point during takeoff with the ATTCS system functioning.
The initial takeoff thrust or power setting on each engine at the beginning of the takeoff roll may not be less than any of the following:
(a) Ninety (90) percent of the thrust or power set by the ATTCS (the maximum takeoff thrust or power approved for the airplane under existing ambient conditions);
(b) That required to permit normal operation of all safety-related systems and equipment dependent upon engine thrust or power lever position; or
(c) That shown to be free of hazardous engine response characteristics when thrust or power is advanced from the initial takeoff thrust or power to the maximum approved takeoff thrust or power.
(a) In addition to the requirements of § 25.1141, no single failure or malfunction, or probable combination thereof, of the ATTCS, including associated systems, may cause the failure of any powerplant function necessary for safety.
(b) The ATTCS must be designed to:
(1) Apply thrust or power on the operating engine(s), following any one engine failure during takeoff, to achieve the maximum approved takeoff thrust or power without exceeding engine operating limits;
(2) Permit manual decrease or increase in thrust or power up to the maximum takeoff thrust or power approved for the airplane under existing conditions through the use of the power lever. For airplanes equipped with limiters that automatically prevent engine operating limits from being exceeded under existing ambient conditions, other means may be used to increase the thrust or power in the event of an ATTCS failure provided the means is located on or forward of the power levers; is easily identified and operated under all operating conditions by a single action of either pilot with the hand that is normally used to actuate the power levers; and meets the requirements of § 25.777 (a), (b), and (c);
(3) Provide a means to verify to the flightcrew before takeoff that the ATTCS is in a condition to operate; and
(4) Provide a means for the flightcrew to deactivate the automatic function. This means must be designed to prevent inadvertent deactivation.
In addition to the requirements of § 25.1305:
(a) A means must be provided to indicate when the ATTCS is in the armed or ready condition; and
(b) If the inherent flight characteristics of the airplane do not provide adequate warning that an engine has failed, a warning system that is independent of the ATTCS must be provided to give the pilot a clear warning of any engine failure during takeoff.
The following test criteria and procedures must be used for showing compliance with § 25.803:
(a) The emergency evacuation must be conducted with exterior ambient light levels of no greater than 0.3 foot-candles prior to the activation of the airplane emergency lighting system. The source(s) of the initial exterior ambient light level may remain active or illuminated during the actual demonstration. There must, however, be no increase in the exterior ambient light level except for that due to activation of the airplane emergency lighting system.
(b) The airplane must be in a normal attitude with landing gear extended.
(c) Unless the airplane is equipped with an off-wing descent means, stands or ramps may be used for descent from the wing to the ground. Safety equipment such as mats or inverted life rafts may be placed on the floor or ground to protect participants. No other equipment that is not part of the emergency evacuation equipment of the airplane may be used to aid the participants in reaching the ground.
(d) Except as provided in paragraph (a) of this appendix, only the airplane's emergency lighting system may provide illumination.
(e) All emergency equipment required for the planned operation of the airplane must be installed.
(f) Each internal door or curtain must be in the takeoff configuration.
(g) Each crewmember must be seated in the normally assigned seat for takeoff and must remain in the seat until receiving the signal for commencement of the demonstration. Each crewmember must be a person having knowledge of the operation of exits and emergency equipment and, if compliance with § 121.291 is also being demonstrated, each flight attendant must be a member of a regularly scheduled line crew.
(h) A representative passenger load of persons in normal health must be used as follows:
(1) At least 40 percent of the passenger load must be female.
(2) At least 35 percent of the passenger load must be over 50 years of age.
(3) At least 15 percent of the passenger load must be female and over 50 years of age.
(4) Three life-size dolls, not included as part of the total passenger load, must be carried by passengers to simulate live infants 2 years old or younger.
(5) Crewmembers, mechanics, and training personnel, who maintain or operate the airplane in the normal course of their duties, may not be used as passengers.
(i) No passenger may be assigned a specific seat except as the Administrator may require. Except as required by subparagraph (g) of this paragraph, no employee of the applicant may be seated next to an emergency exit.
(j) Seat belts and shoulder harnesses (as required) must be fastened.
(k) Before the start of the demonstration, approximately one-half of the total average amount of carry-on baggage, blankets, pillows, and other similar articles must be distributed at several locations in aisles and emergency exit access ways to create minor obstructions.
(l) No prior indication may be given to any crewmember or passenger of the particular exits to be used in the demonstration.
(m) The applicant may not practice, rehearse, or describe the demonstration for the participants nor may any participant have taken part in this type of demonstration within the preceding 6 months.
(n) Prior to entering the demonstration aircraft, the passengers may also be advised to follow directions of crewmembers but may not be instructed on the procedures to be followed in the demonstration, except with respect to safety procedures in place for the demonstration or which have to do with the demonstration site. Prior to the start of the demonstration, the pre-takeoff passenger briefing required by § 121.571 may be given. Flight attendants may assign demonstration subjects to assist persons from the bottom of a slide, consistent with their approved training program.
(o) The airplane must be configured to prevent disclosure of the active emergency exits to demonstration participants in the airplane until the start of the demonstration.
(p) Exits used in the demonstration must consist of one exit from each exit pair. The demonstration may be conducted with the escape slides, if provided, inflated and the exits open at the beginning of the demonstration. In this case, all exits must be configured such that the active exits are not disclosed to the occupants. If this method is used, the exit preparation time for each exit utilized must be accounted for, and exits that are not to be used in the demonstration must not be indicated before the demonstration has started. The exits to be used must be representative of all of the emergency exits on the airplane and must be designated by the applicant, subject to approval by the Administrator. At least one floor level exit must be used.
(q) Except as provided in paragraph (c) of this section, all evacuees must leave the airplane by a means provided as part of the airplane's equipment.
(r) The applicant's approved procedures must be fully utilized, except the flightcrew must take no active role in assisting others inside the cabin during the demonstration.
(s) The evacuation time period is completed when the last occupant has evacuated the airplane and is on the ground. Provided that the acceptance rate of the stand or ramp is no greater than the acceptance rate of the means available on the airplane for descent from the wing during an actual crash situation, evacuees using stands or ramps allowed by paragraph (c) of this appendix are considered to be on the ground when they are on the stand or ramp.
This appendix specifies airworthiness requirements for the approval of an airplane-engine combination for extended operations (ETOPS). For two-engine airplanes, the applicant must comply with sections K25.1 and K25.2 of this appendix. For airplanes with more than two engines, the applicant must comply with sections K25.1 and K25.3 of this appendix.
K25.1 Design requirements.
K25.1.1 Part 25 compliance.
The airplane-engine combination must comply with the requirements of part 25 considering the maximum flight time and the longest diversion time for which the applicant seeks approval.
K25.1.2 Human factors.
An applicant must consider crew workload, operational implications, and the crew's and passengers' physiological needs during continued operation with failure effects for the longest diversion time for which it seeks approval.
K25.1.3 Airplane systems.
(a) Operation in icing conditions.
(1) The airplane must be certificated for operation in icing conditions in accordance with § 25.1419.
(2) The airplane must be able to safely conduct an ETOPS diversion with the most critical ice accretion resulting from:
(i) Icing conditions encountered at an altitude that the airplane would have to fly following an engine failure or cabin decompression.
(ii) A 15-minute hold in the continuous maximum icing conditions specified in Appendix C of this part with a liquid water content factor of 1.0.
(iii) Ice accumulated during approach and landing in the icing conditions specified in Appendix C of this part.
(b) Electrical power supply. The airplane must be equipped with at least three independent sources of electrical power.
(c) Time limited systems. The applicant must define the system time capability of each ETOPS significant system that is time-limited.
K25.1.4 Propulsion systems.
(a) Fuel system design. Fuel necessary to complete an ETOPS flight (including a diversion for the longest time for which the applicant seeks approval) must be available to the operating engines at the pressure and fuel-flow required by § 25.955 under any airplane failure condition not shown to be extremely improbable. Types of failures that must be considered include, but are not limited to: crossfeed valve failures, automatic fuel management system failures, and normal electrical power generation failures.
(1) If the engine has been certified for limited operation with negative engine-fuel-pump-inlet pressures, the following requirements apply:
(i) Airplane demonstration-testing must cover worst case cruise and diversion conditions involving:
(A) Fuel grade and temperature.
(B) Thrust or power variations.
(C) Turbulence and negative G.
(D) Fuel system components degraded within their approved maintenance limits.
(ii) Unusable-fuel quantity in the suction feed configuration must be determined in accordance with § 25.959.
(2) For two-engine airplanes to be certificated for ETOPS beyond 180 minutes, one fuel boost pump in each main tank and at least one crossfeed valve, or other means for transferring fuel, must be powered by an independent electrical power source other than the three power sources required to comply with section K25.1.3(b) of this appendix. This requirement does not apply if the normal fuel boost pressure, crossfeed valve actuation, or fuel transfer capability is not provided by electrical power.
(3) An alert must be displayed to the flightcrew when the quantity of fuel available to the engines falls below the level required to fly to the destination. The alert must be given when there is enough fuel remaining to safely complete a diversion. This alert must account for abnormal fuel management or transfer between tanks, and possible loss of fuel. This paragraph does not apply to airplanes with a required flight engineer.
(b) APU design. If an APU is needed to comply with this appendix, the applicant must demonstrate that:
(1) The reliability of the APU is adequate to meet those requirements; and
(2) If it is necessary that the APU be able to start in flight, it is able to start at any altitude up to the maximum operating altitude of the airplane, or 45,000 feet, whichever is lower, and run for the remainder of any flight .
(c) Engine oil tank design. The engine oil tank filler cap must comply with § 33.71(c)(4) of this chapter.
K25.1.5 Engine-condition monitoring.
Procedures for engine-condition monitoring must be specified and validated in accordance with Part 33, Appendix A, paragraph A33.3(c) of this chapter.
K25.1.6 Configuration, maintenance, and procedures.
The applicant must list any configuration, operating and maintenance requirements, hardware life limits, MMEL constraints, and ETOPS approval in a CMP document.
K25.1.7 Airplane flight manual.
The airplane flight manual must contain the following information applicable to the ETOPS type design approval:
(a) Special limitations, including any limitation associated with operation of the airplane up to the maximum diversion time being approved.
(b) Required markings or placards.
(c) The airborne equipment required for extended operations and flightcrew operating procedures for this equipment.
(d) The system time capability for the following:
(1) The most limiting fire suppression system for Class C cargo or baggage compartments.
(2) The most limiting ETOPS significant system other than fire suppression systems for Class C cargo or baggage compartments.
(e) This statement: “The type-design reliability and performance of this airplane-engine combination has been evaluated under 14 CFR 25.1535 and found suitable for (identify maximum approved diversion time) extended operations (ETOPS) when the configuration, maintenance, and procedures standard contained in (identify the CMP document) are met. The actual maximum approved diversion time for this airplane may be less based on its most limiting system time capability. This finding does not constitute operational approval to conduct ETOPS.”
K25.2. Two-engine airplanes.
An applicant for ETOPS type design approval of a two-engine airplane must use one of the methods described in section K25.2.1, K25.2.2, or K25.2.3 of this appendix.
K25.2.1 Service experience method.
An applicant for ETOPS type design approval using the service experience method must comply with sections K25.2.1(a) and K25.2.1(b) of this appendix before conducting the assessments specified in sections K25.2.1(c) and K25.2.1(d) of this appendix, and the flight test specified in section K25.2.1(e) of this appendix.
(a) Service experience. The world fleet for the airplane-engine combination must accumulate a minimum of 250,000 engine-hours. The FAA may reduce this number of hours if the applicant identifies compensating factors that are acceptable to the FAA. The compensating factors may include experience on another airplane, but experience on the candidate airplane must make up a significant portion of the total service experience.
(b) In-flight shutdown (IFSD) rates. The demonstrated 12-month rolling average IFSD rate for the world fleet of the airplane-engine combination must be commensurate with the level of ETOPS approval being sought.
(1) For type design approval up to and including 120 minutes: An IFSD rate of 0.05 or less per 1,000 world-fleet engine-hours, unless otherwise approved by the FAA. Unless the IFSD rate is 0.02 or less per 1,000 world-fleet engine-hours, the applicant must provide a list of corrective actions in the CMP document specified in section K25.1.6 of this appendix, that, when taken, would result in an IFSD rate of 0.02 or less per 1,000 fleet engine-hours.
(2) For type design approval up to and including 180 minutes: An IFSD rate of 0.02 or less per 1,000 world-fleet engine-hours, unless otherwise approved by the FAA. If the airplane-engine combination does not meet this rate by compliance with an existing 120-minute CMP document, then new or additional CMP requirements that the applicant has demonstrated would achieve this IFSD rate must be added to the CMP document.
(3) For type design approval beyond 180 minutes: An IFSD rate of 0.01 or less per 1,000 fleet engine-hours unless otherwise approved by the FAA. If the airplane-engine combination does not meet this rate by compliance with an existing 120-minute or 180-minute CMP document, then new or additional CMP requirements that the applicant has demonstrated would achieve this IFSD rate must be added to the CMP document.
(c) Propulsion system assessment. (1) The applicant must conduct a propulsion system assessment based on the following data collected from the world-fleet of the airplane-engine combination:
(i) A list of all IFSD's, unplanned ground engine shutdowns, and occurrences (both ground and in-flight) when an engine was not shut down, but engine control or the desired thrust or power level was not achieved, including engine flameouts. Planned IFSD's performed during flight training need not be included. For each item, the applicant must provide—
(A) Each airplane and engine make, model, and serial number;
(B) Engine configuration, and major alteration history;
(C) Engine position;
(D) Circumstances leading up to the engine shutdown or occurrence;
(E) Phase of flight or ground operation;
(F) Weather and other environmental conditions; and
(G) Cause of engine shutdown or occurrence.
(ii) A history of unscheduled engine removal rates since introduction into service (using 6- and 12-month rolling averages), with a summary of the major causes for the removals.
(iii) A list of all propulsion system events (whether or not caused by maintenance or flightcrew error), including dispatch delays, cancellations, aborted takeoffs, turnbacks, diversions, and flights that continue to destination after the event.
(iv) The total number of engine hours and cycles, the number of hours for the engine with the highest number of hours, the number of cycles for the engine with the highest number of cycles, and the distribution of hours and cycles.
(v) The mean time between failures (MTBF) of propulsion system components that affect reliability.
(vi) A history of the IFSD rates since introduction into service using a 12-month rolling average.
(2) The cause or potential cause of each item listed in K25.2.1(c)(1)(i) must have a corrective action or actions that are shown to be effective in preventing future occurrences. Each corrective action must be identified in the CMP document specified in section K25.1.6. A corrective action is not required:
(i) For an item where the manufacturer is unable to determine a cause or potential cause.
(ii) For an event where it is technically unfeasible to develop a corrective action.
(iii) If the world-fleet IFSD rate—
(A) Is at or below 0.02 per 1,000 world-fleet engine-hours for approval up to and including 180-minute ETOPS; or
(B) Is at or below 0.01 per 1,000 world-fleet engine-hours for approval greater than 180-minute ETOPS.
(d) Airplane systems assessment. The applicant must conduct an airplane systems assessment. The applicant must show that the airplane systems comply with § 25.1309(b) using available in-service reliability data for ETOPS significant systems on the candidate airplane-engine combination. Each cause or potential cause of a relevant design, manufacturing, operational, and maintenance problem occurring in service must have a corrective action or actions that are shown to be effective in preventing future occurrences. Each corrective action must be identified in the CMP document specified in section K25.1.6 of this appendix. A corrective action is not required if the problem would not significantly impact the safety or reliability of the airplane system involved. A relevant problem is a problem with an ETOPS group 1 significant system that has or could result in, an IFSD or diversion. The applicant must include in this assessment relevant problems with similar or identical equipment installed on other types of airplanes to the extent such information is reasonably available.
(e) Airplane flight test. The applicant must conduct a flight test to validate the flightcrew's ability to safely conduct an ETOPS diversion with an inoperative engine and worst-case ETOPS Significant System failures and malfunctions that could occur in service. The flight test must validate the airplane's flying qualities and performance with the demonstrated failures and malfunctions.
K25.2.2 Early ETOPS method.
An applicant for ETOPS type design approval using the Early ETOPS method must comply with the following requirements:
(a) Assessment of relevant experience with airplanes previously certificated under part 25. The applicant must identify specific corrective actions taken on the candidate airplane to prevent relevant design, manufacturing, operational, and maintenance problems experienced on airplanes previously certificated under part 25 manufactured by the applicant. Specific corrective actions are not required if the nature of a problem is such that the problem would not significantly impact the safety or reliability of the airplane system involved. A relevant problem is a problem with an ETOPS group 1 significant system that has or could result in an IFSD or diversion. The applicant must include in this assessment relevant problems of supplier-provided ETOPS group 1 significant systems and similar or identical equipment used on airplanes built by other manufacturers to the extent such information is reasonably available.
(b) Propulsion system design. (1) The engine used in the applicant's airplane design must be approved as eligible for Early ETOPS in accordance with § 33.201 of this chapter.
(2) The applicant must design the propulsion system to preclude failures or malfunctions that could result in an IFSD. The applicant must show compliance with this requirement by analysis, test, in-service experience on other airplanes, or other means acceptable to the FAA. If analysis is used, the applicant must show that the propulsion system design will minimize failures and malfunctions with the objective of achieving the following IFSD rates:
(i) An IFSD rate of 0.02 or less per 1,000 world-fleet engine-hours for type design approval up to and including 180 minutes.
(ii) An IFSD rate of 0.01 or less per 1,000 world-fleet engine-hours for type design approval beyond 180 minutes.
(c) Maintenance and operational procedures. The applicant must validate all maintenance and operational procedures for ETOPS significant systems. The applicant must identify, track, and resolve any problems found during the validation in accordance with the problem tracking and resolution system specified in section K25.2.2(h) of this appendix.
(d) Propulsion system validation test. (1) The installed engine configuration for which approval is being sought must comply with § 33.201(c) of this chapter. The test engine must be configured with a complete airplane nacelle package, including engine-mounted equipment, except for any configuration differences necessary to accommodate test stand interfaces with the engine nacelle package. At the conclusion of the test, the propulsion system must be—
(i) Visually inspected according to the applicant's on-wing inspection recommendations and limits; and
(ii) Completely disassembled and the propulsion system hardware inspected to determine whether it meets the service limits specified in the Instructions for Continued Airworthiness submitted in compliance with § 25.1529.
(2) The applicant must identify, track, and resolve each cause or potential cause of IFSD, loss of thrust control, or other power loss encountered during this inspection in accordance with the problem tracking and resolution system specified in section K25.2.2 (h) of this appendix.
(e) New technology testing. Technology new to the applicant, including substantially new manufacturing techniques, must be tested to substantiate its suitability for the airplane design.
(f) APU validation test. If an APU is needed to comply with this appendix, one APU of the type to be certified with the airplane must be tested for 3,000 equivalent airplane operational cycles. Following completion of the test, the APU must be disassembled and inspected. The applicant must identify, track, and resolve each cause or potential cause of an inability to start or operate the APU in flight as intended in accordance with the problem tracking and resolution system specified in section K25.2.2(h) of this appendix.
(g) Airplane demonstration. For each airplane-engine combination to be approved for ETOPS, the applicant must flight test at least one airplane to demonstrate that the airplane, and its components and equipment are capable of functioning properly during ETOPS flights and diversions of the longest duration for which the applicant seeks approval. This flight testing may be performed in conjunction with, but may not substitute for the flight testing required by § 21.35(b)(2) of this chapter.
(1) The airplane demonstration flight test program must include:
(i) Flights simulating actual ETOPS, including flight at normal cruise altitude, step climbs, and, if applicable, APU operation.
(ii) Maximum duration flights with maximum duration diversions.
(iii) Maximum duration engine-inoperative diversions distributed among the engines installed on the airplanes used for the airplane demonstration flight test program. At least two one-engine-inoperative diversions must be conducted at maximum continuous thrust or power using the same engine.
(iv) Flights under non-normal conditions to demonstrate the flightcrew's ability to safely conduct an ETOPS diversion with worst-case ETOPS significant system failures or malfunctions that could occur in service.
(v) Diversions to airports that represent airports of the types used for ETOPS diversions.
(vi) Repeated exposure to humid and inclement weather on the ground followed by a long-duration flight at normal cruise altitude.
(2) The airplane demonstration flight test program must validate the adequacy of the airplane's flying qualities and performance, and the flightcrew's ability to safely conduct an ETOPS diversion under the conditions specified in section K25.2.2(g)(1) of this appendix.
(3) During the airplane demonstration flight test program, each test airplane must be operated and maintained using the applicant's recommended operating and maintenance procedures.
(4) At the completion of the airplane demonstration flight test program, each ETOPS significant system must undergo an on-wing inspection or test in accordance with the tasks defined in the proposed Instructions for Continued Airworthiness to establish its condition for continued safe operation. Each engine must also undergo a gas path inspection. These inspections must be conducted in a manner to identify abnormal conditions that could result in an IFSD or diversion. The applicant must identify, track and resolve any abnormal conditions in accordance with the problem tracking and resolution system specified in section K25.2.2(h) of this appendix.
(h) Problem tracking and resolution system. (1) The applicant must establish and maintain a problem tracking and resolution system. The system must:
(i) Contain a process for prompt reporting to the FAA office responsible for the design approval of each occurrence reportable under § 21.4(a)(6) encountered during the phases of airplane and engine development used to assess Early ETOPS eligibility.
(ii) Contain a process for notifying the FAA office responsible for the design approval of each proposed corrective action that the applicant determines necessary for each problem identified from the occurrences reported under section K25.2.2. (h)(1)(i) of this appendix. The timing of the notification must permit appropriate FAA review before taking the proposed corrective action.
(2) If the applicant is seeking ETOPS type design approval of a change to an airplane-engine combination previously approved for ETOPS, the problem tracking and resolution system need only address those problems specified in the following table, provided the applicant obtains prior authorization from the FAA:
| If the change does not require a new airplane type certificiate and . . . | Then the Problem Tracking and Resolution System must address . . . |
|---|---|
| (i) Requires a new engine type certificate | All problems applicable to the new engine installation, and for the remainder of the airplane, problems in changed systems only. |
| (ii) Does not require a new engine type certificate | Problems in changed systems only. |
(i) Acceptance criteria. The type and frequency of failures and malfunctions on ETOPS significant systems that occur during the airplane flight test program and the airplane demonstration flight test program specified in section K25.2.2(g) of this appendix must be consistent with the type and frequency of failures and malfunctions that would be expected to occur on currently certificated airplanes approved for ETOPS.
K25.2.3. Combined service experience and Early ETOPS method.
An applicant for ETOPS type design approval using the combined service experience and Early ETOPS method must comply with the following requirements.
(a) A service experience requirement of not less than 15,000 engine-hours for the world fleet of the candidate airplane-engine combination.
(b) The Early ETOPS requirements of K25.2.2, except for the airplane demonstration specified in section K25.2.2(g) of this appendix; and
(c) The flight test requirement of section K25.2.1(e) of this appendix.
K25.3. Airplanes with more than two engines.
An applicant for ETOPS type design approval of an airplane with more than two engines must use one of the methods described in section K25.3.1, K25.3.2, or K25.3.3 of this appendix.
K25.3.1 Service experience method.
An applicant for ETOPS type design approval using the service experience method must comply with section K25.3.1(a) of this appendix before conducting the airplane systems assessment specified in K25.3.1(b), and the flight test specified in section K25.3.1(c) of this appendix.
(a) Service experience. The world fleet for the airplane-engine combination must accumulate a minimum of 250,000 engine-hours. The FAA may reduce this number of hours if the applicant identifies compensating factors that are acceptable to the FAA. The compensating factors may include experience on another airplane, but experience on the candidate airplane must make up a significant portion of the total required service experience.
(b) Airplane systems assessment. The applicant must conduct an airplane systems assessment. The applicant must show that the airplane systems comply with the § 25.1309(b) using available in-service reliability data for ETOPS significant systems on the candidate airplane-engine combination. Each cause or potential cause of a relevant design, manufacturing, operational or maintenance problem occurring in service must have a corrective action or actions that are shown to be effective in preventing future occurrences. Each corrective action must be identified in the CMP document specified in section K25.1.6 of this appendix. A corrective action is not required if the problem would not significantly impact the safety or reliability of the airplane system involved. A relevant problem is a problem with an ETOPS group 1 significant system that has or could result in an IFSD or diversion. The applicant must include in this assessment relevant problems with similar or identical equipment installed on other types of airplanes to the extent such information is reasonably available.
(c) Airplane flight test. The applicant must conduct a flight test to validate the flightcrew's ability to safely conduct an ETOPS diversion with an inoperative engine and worst-case ETOPS significant system failures and malfunctions that could occur in service. The flight test must validate the airplane's flying qualities and performance with the demonstrated failures and malfunctions.
K25.3.2 Early ETOPS method.
An applicant for ETOPS type design approval using the Early ETOPS method must comply with the following requirements:
(a) Maintenance and operational procedures. The applicant must validate all maintenance and operational procedures for ETOPS significant systems. The applicant must identify, track and resolve any problems found during the validation in accordance with the problem tracking and resolution system specified in section K25.3.2(e) of this appendix.
(b) New technology testing. Technology new to the applicant, including substantially new manufacturing techniques, must be tested to substantiate its suitability for the airplane design.
(c) APU validation test. If an APU is needed to comply with this appendix, one APU of the type to be certified with the airplane must be tested for 3,000 equivalent airplane operational cycles. Following completion of the test, the APU must be disassembled and inspected. The applicant must identify, track, and resolve each cause or potential cause of an inability to start or operate the APU in flight as intended in accordance with the problem tracking and resolution system specified in section K25.3.2(e) of this appendix.
(d) Airplane demonstration. For each airplane-engine combination to be approved for ETOPS, the applicant must flight test at least one airplane to demonstrate that the airplane, and its components and equipment are capable of functioning properly during ETOPS flights and diversions of the longest duration for which the applicant seeks approval. This flight testing may be performed in conjunction with, but may not substitute for the flight testing required by § 21.35(b)(2).
(1) The airplane demonstration flight test program must include:
(i) Flights simulating actual ETOPS including flight at normal cruise altitude, step climbs, and, if applicable, APU operation.
(ii) Maximum duration flights with maximum duration diversions.
(iii) Maximum duration engine-inoperative diversions distributed among the engines installed on the airplanes used for the airplane demonstration flight test program. At least two one engine-inoperative diversions must be conducted at maximum continuous thrust or power using the same engine.
(iv) Flights under non-normal conditions to validate the flightcrew's ability to safely conduct an ETOPS diversion with worst-case ETOPS significant system failures or malfunctions that could occur in service.
(v) Diversions to airports that represent airports of the types used for ETOPS diversions.
(vi) Repeated exposure to humid and inclement weather on the ground followed by a long duration flight at normal cruise altitude.
(2) The airplane demonstration flight test program must validate the adequacy of the airplane's flying qualities and performance, and the flightcrew's ability to safely conduct an ETOPS diversion under the conditions specified in section K25.3.2(d)(1) of this appendix.
(3) During the airplane demonstration flight test program, each test airplane must be operated and maintained using the applicant's recommended operating and maintenance procedures.
(4) At the completion of the airplane demonstration, each ETOPS significant system must undergo an on-wing inspection or test in accordance with the tasks defined in the proposed Instructions for Continued Airworthiness to establish its condition for continued safe operation. Each engine must also undergo a gas path inspection. These inspections must be conducted in a manner to identify abnormal conditions that could result in an IFSD or diversion. The applicant must identify, track and resolve any abnormal conditions in accordance with the problem tracking and resolution system specified in section K25.3.2(e) of this appendix.
(e) Problem tracking and resolution system. (1) The applicant must establish and maintain a problem tracking and resolution system. The system must:
(i) Contain a process for prompt reporting to the FAA office responsible for the design approval of each occurrence reportable under § 21.4(a)(6) encountered during the phases of airplane and engine development used to assess Early ETOPS eligibility.
(ii) Contain a process for notifying the FAA office responsible for the design approval of each proposed corrective action that the applicant determines necessary for each problem identified from the occurrences reported under section K25.3.2(h)(1)(i) of this appendix. The timing of the notification must permit appropriate FAA review before taking the proposed corrective action.
(2) If the applicant is seeking ETOPS type design approval of a change to an airplane-engine combination previously approved for ETOPS, the problem tracking and resolution system need only address those problems specified in the following table, provided the applicant obtains prior authorization from the FAA:
| If the change does not require a new airplane type certificate and . . . | Then the Problem Tracking and Resolution System must address . . . |
|---|---|
| (i) Requires a new engine type certificate | All problems applicable to the new engine installation, and for the remainder of the airplane, problems in changed systems only. |
| (ii) Does not require a new engine type certificate | Problems in changed systems only. |
(f) Acceptance criteria. The type and frequency of failures and malfunctions on ETOPS significant systems that occur during the airplane flight test program and the airplane demonstration flight test program specified in section K25.3.2(d) of this appendix must be consistent with the type and frequency of failures and malfunctions that would be expected to occur on currently certificated airplanes approved for ETOPS.
K25.3.3 Combined service experience and Early ETOPS method.
An applicant for ETOPS type design approval using the Early ETOPS method must comply with the following requirements:
(a) A service experience requirement of less than 15,000 engine-hours for the world fleet of the candidate airplane-engine combination;
(b) The Early ETOPS requirements of section K25.3.2 of this appendix, except for the airplane demonstration specified in section K25.3.2(d) of this appendix; and
(c) The flight test requirement of section K25.3.1(c) of this appendix.
This appendix specifies the HIRF environments and equipment HIRF test levels for electrical and electronic systems under § 25.1317. The field strength values for the HIRF environments and equipment HIRF test levels are expressed in root-mean-square units measured during the peak of the modulation cycle.
(a) HIRF environment I is specified in the following table:
Table I.—HIRF Environment I
| Frequency | Field strength
(volts/meter) | |
|---|---|---|
| Peak | Average | |
| 10 kHz-2 MHz | 50 | 50 |
| 2 MHz-30 MHz | 100 | 100 |
| 30 MHz-100 MHz | 50 | 50 |
| 100 MHz-400 MHz | 100 | 100 |
| 400 MHz-700 MHz | 700 | 50 |
| 700 MHz-1 GHz | 700 | 100 |
| 1 GHz-2 GHz | 2,000 | 200 |
| 2 GHz-6 GHz | 3,000 | 200 |
| 6 GHz-8 GHz | 1,000 | 200 |
| 8 GHz-12 GHz | 3,000 | 300 |
| 12 GHz-18 GHz | 2,000 | 200 |
| 18 GHz-40 GHz | 600 | 200 |
In this table, the higher field strength applies at the frequency band edges.
(b) HIRF environment II is specified in the following table:
Table II.-HIRF Environment II
| Frequency | Field strength
(volts/meter) | |
|---|---|---|
| Peak | Average | |
| 10 kHz-500 kHz | 20 | 20 |
| 500 kHz-2 MHz | 30 | 30 |
| 2 MHz-30 MHz | 100 | 100 |
| 30 MHz-100 MHz | 10 | 10 |
| 100 MHz-200 MHz | 30 | 10 |
| 200 MHz-400 MHz | 10 | 10 |
| 400 MHz-1 GHz | 700 | 40 |
| 1 GHz-2 GHz | 1,300 | 160 |
| 2 GHz-4 GHz | 3,000 | 120 |
| 4 GHz-6 GHz | 3,000 | 160 |
| 6 GHz-8 GHz | 400 | 170 |
| 8 GHz-12 GHz | 1,230 | 230 |
| 12 GHz-18 GHz | 730 | 190 |
| 18 GHz-40 GHz | 600 | 150 |
In this table, the higher field strength applies at the frequency band edges.
(c) Equipment HIRF Test Level 1. (1) From 10 kilohertz (kHz) to 400 megahertz (MHz), use conducted susceptibility tests with continuous wave (CW) and 1 kHz square wave modulation with 90 percent depth or greater. The conducted susceptibility current must start at a minimum of 0.6 milliamperes (mA) at 10 kHz, increasing 20 decibels (dB) per frequency decade to a minimum of 30 mA at 500 kHz.
(2) From 500 kHz to 40 MHz, the conducted susceptibility current must be at least 30 mA.
(3) From 40 MHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 30 mA at 40 MHz, decreasing 20 dB per frequency decade to a minimum of 3 mA at 400 MHz.
(4) From 100 MHz to 400 MHz, use radiated susceptibility tests at a minimum of 20 volts per meter (V/m) peak with CW and 1 kHz square wave modulation with 90 percent depth or greater.
(5) From 400 MHz to 8 gigahertz (GHz), use radiated susceptibility tests at a minimum of 150 V/m peak with pulse modulation of 4 percent duty cycle with a 1 kHz pulse repetition frequency. This signal must be switched on and off at a rate of 1 Hz with a duty cycle of 50 percent.
(d) Equipment HIRF Test Level 2. Equipment HIRF test level 2 is HIRF environment II in table II of this appendix reduced by acceptable aircraft transfer function and attenuation curves. Testing must cover the frequency band of 10 kHz to 8 GHz.
(e) Equipment HIRF Test Level 3. (1) From 10 kHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 0.15 mA at 10 kHz, increasing 20 dB per frequency decade to a minimum of 7.5 mA at 500 kHz.
(2) From 500 kHz to 40 MHz, use conducted susceptibility tests at a minimum of 7.5 mA.
(3) From 40 MHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 7.5 mA at 40 MHz, decreasing 20 dB per frequency decade to a minimum of 0.75 mA at 400 MHz.
(4) From 100 MHz to 8 GHz, use radiated susceptibility tests at a minimum of 5 V/m.
M25.1 Fuel tank flammability exposure requirements.
(a) The Fleet Average Flammability Exposure of each fuel tank, as determined in accordance with Appendix N of this part, may not exceed 3 percent of the Flammability Exposure Evaluation Time (FEET), as defined in Appendix N of this part. As a portion of this 3 percent, if flammability reduction means (FRM) are used, each of the following time periods may not exceed 1.8 percent of the FEET:
(1) When any FRM is operational but the fuel tank is not inert and the tank is flammable; and
(2) When any FRM is inoperative and the tank is flammable.
(b) The Fleet Average Flammability Exposure, as defined in Appendix N of this part, of each fuel tank may not exceed 3 percent of the portion of the FEET occurring during either ground or takeoff/climb phases of flight during warm days. The analysis must consider the following conditions.
(1) The analysis must use the subset of those flights that begin with a sea level ground ambient temperature of 80 °F (standard day plus 21 °F atmosphere) or above, from the flammability exposure analysis done for overall performance.
(2) For the ground and takeoff/climb phases of flight, the average flammability exposure must be calculated by dividing the time during the specific flight phase the fuel tank is flammable by the total time of the specific flight phase.
(3) Compliance with this paragraph may be shown using only those flights for which the airplane is dispatched with the flammability reduction means operational.
M25.2 Showing compliance.
(a) The applicant must provide data from analysis, ground testing, and flight testing, or any combination of these, that:
(1) Validate the parameters used in the analysis required by paragraph M25.1 of this appendix;
(2) Substantiate that the FRM is effective at limiting flammability exposure in all compartments of each tank for which the FRM is used to show compliance with paragraph M25.1 of this appendix; and
(3) Describe the circumstances under which the FRM would not be operated during each phase of flight.
(b) The applicant must validate that the FRM meets the requirements of paragraph M25.1 of this appendix with any airplane or engine configuration affecting the performance of the FRM for which approval is sought.
M25.3 Reliability indications and maintenance access.
(a) Reliability indications must be provided to identify failures of the FRM that would otherwise be latent and whose identification is necessary to ensure the fuel tank with an FRM meets the fleet average flammability exposure requirements listed in paragraph M25.1 of this appendix, including when the FRM is inoperative.
(b) Sufficient accessibility to FRM reliability indications must be provided for maintenance personnel or the flightcrew.
(c) The access doors and panels to the fuel tanks with FRMs (including any tanks that communicate with a tank via a vent system), and to any other confined spaces or enclosed areas that could contain hazardous atmosphere under normal conditions or failure conditions, must be permanently stenciled, marked, or placarded to warn maintenance personnel of the possible presence of a potentially hazardous atmosphere.
M25.4 Airworthiness limitations and procedures.
(a) If FRM is used to comply with paragraph M25.1 of this appendix, Airworthiness Limitations must be identified for all maintenance or inspection tasks required to identify failures of components within the FRM that are needed to meet paragraph M25.1 of this appendix.
(b) Maintenance procedures must be developed to identify any hazards to be considered during maintenance of the FRM. These procedures must be included in the instructions for continued airworthiness (ICA).
M25.5 Reliability reporting.
The effects of airplane component failures on FRM reliability must be assessed on an on-going basis. The applicant/holder must do the following:
(a) Demonstrate effective means to ensure collection of FRM reliability data. The means must provide data affecting FRM reliability, such as component failures.
(b) Unless alternative reporting procedures are approved by the responsible Aircraft Certification Service office, as defined in part 26 of this subchapter, provide a report to the FAA every six months for the first five years after service introduction. After that period, continued reporting every six months may be replaced with other reliability tracking methods found acceptable to the FAA or eliminated if it is established that the reliability of the FRM meets, and will continue to meet, the exposure requirements of paragraph M25.1 of this appendix.
(c) Develop service instructions or revise the applicable airplane manual, according to a schedule approved by the responsible Aircraft Certification Service office, as defined in part 26 of this subchapter, to correct any failures of the FRM that occur in service that could increase any fuel tank's Fleet Average Flammability Exposure to more than that required by paragraph M25.1 of this appendix.
N25.1 General.
(a) This appendix specifies the requirements for conducting fuel tank fleet average flammability exposure analyses required to meet § 25.981(b) and Appendix M of this part. For fuel tanks installed in aluminum wings, a qualitative assessment is sufficient if it substantiates that the tank is a conventional unheated wing tank.
(b) This appendix defines parameters affecting fuel tank flammability that must be used in performing the analysis. These include parameters that affect all airplanes within the fleet, such as a statistical distribution of ambient temperature, fuel flash point, flight lengths, and airplane descent rate. Demonstration of compliance also requires application of factors specific to the airplane model being evaluated. Factors that need to be included are maximum range, cruise mach number, typical altitude where the airplane begins initial cruise phase of flight, fuel temperature during both ground and flight times, and the performance of a flammability reduction means (FRM) if installed.
(c) The following definitions, input variables, and data tables must be used in the program to determine fleet average flammability exposure for a specific airplane model.
N25.2 Definitions.
(a) Bulk Average Fuel Temperature means the average fuel temperature within the fuel tank or different sections of the tank if the tank is subdivided by baffles or compartments.
(b) Flammability Exposure Evaluation Time (FEET). The time from the start of preparing the airplane for flight, through the flight and landing, until all payload is unloaded, and all passengers and crew have disembarked. In the Monte Carlo program, the flight time is randomly selected from the Flight Length Distribution (Table 2), the pre-flight times are provided as a function of the flight time, and the post-flight time is a constant 30 minutes.
(c) Flammable. With respect to a fluid or gas, flammable means susceptible to igniting readily or to exploding (14 CFR Part 1, Definitions). A non-flammable ullage is one where the fuel-air vapor is too lean or too rich to burn or is inert as defined below. For the purposes of this appendix, a fuel tank that is not inert is considered flammable when the bulk average fuel temperature within the tank is within the flammable range for the fuel type being used. For any fuel tank that is subdivided into sections by baffles or compartments, the tank is considered flammable when the bulk average fuel temperature within any section of the tank, that is not inert, is within the flammable range for the fuel type being used.
(d) Flash Point. The flash point of a flammable fluid means the lowest temperature at which the application of a flame to a heated sample causes the vapor to ignite momentarily, or “flash.” Table 1 of this appendix provides the flash point for the standard fuel to be used in the analysis.
(e) Fleet average flammability exposure is the percentage of the flammability exposure evaluation time (FEET) each fuel tank ullage is flammable for a fleet of an airplane type operating over the range of flight lengths in a world-wide range of environmental conditions and fuel properties as defined in this appendix.
(f) Gaussian Distribution is another name for the normal distribution, a symmetrical frequency distribution having a precise mathematical formula relating the mean and standard deviation of the samples. Gaussian distributions yield bell-shaped frequency curves having a preponderance of values around the mean with progressively fewer observations as the curve extends outward.
(g) Hazardous atmosphere. An atmosphere that may expose maintenance personnel, passengers or flight crew to the risk of death, incapacitation, impairment of ability to self-rescue (that is, escape unaided from a confined space), injury, or acute illness.
(h) Inert. For the purpose of this appendix, the tank is considered inert when the bulk average oxygen concentration within each compartment of the tank is 12 percent or less from sea level up to 10,000 feet altitude, then linearly increasing from 12 percent at 10,000 feet to 14.5 percent at 40,000 feet altitude, and extrapolated linearly above that altitude.
(i) Inerting. A process where a noncombustible gas is introduced into the ullage of a fuel tank so that the ullage becomes non-flammable.
(j) Monte Carlo Analysis. The analytical method that is specified in this appendix as the compliance means for assessing the fleet average flammability exposure time for a fuel tank.
(k) Oxygen evolution occurs when oxygen dissolved in the fuel is released into the ullage as the pressure and temperature in the fuel tank are reduced.
(l) Standard deviation is a statistical measure of the dispersion or variation in a distribution, equal to the square root of the arithmetic mean of the squares of the deviations from the arithmetic means.
(m) Transport Effects. For purposes of this appendix, transport effects are the change in fuel vapor concentration in a fuel tank caused by low fuel conditions and fuel condensation and vaporization.
(n) Ullage. The volume within the fuel tank not occupied by liquid fuel.
N25.3 Fuel tank flammability exposure analysis.
(a) A flammability exposure analysis must be conducted for the fuel tank under evaluation to determine fleet average flammability exposure for the airplane and fuel types under evaluation. For fuel tanks that are subdivided by baffles or compartments, an analysis must be performed either for each section of the tank, or for the section of the tank having the highest flammability exposure. Consideration of transport effects is not allowed in the analysis. The analysis must be done in accordance with the methods and procedures set forth in the Fuel Tank Flammability Assessment Method User's Manual, dated May 2008, document number DOT/FAA/AR-05/8 (incorporated by reference, see § 25.5). The parameters specified in sections N25.3(b) and (c) of this appendix must be used in the fuel tank flammability exposure “Monte Carlo” analysis.
(b) The following parameters are defined in the Monte Carlo analysis and provided in paragraph N25.4 of this appendix:
(1) Cruise Ambient Temperature, as defined in this appendix.
(2) Ground Ambient Temperature, as defined in this appendix.
(3) Fuel Flash Point, as defined in this appendix.
(4) Flight Length Distribution, as defined in Table 2 of this appendix.
(5) Airplane Climb and Descent Profiles, as defined in the Fuel Tank Flammability Assessment Method User's Manual, dated May 2008, document number DOT/FAA/AR-05/8 (incorporated by reference in § 25.5).
(c) Parameters that are specific to the particular airplane model under evaluation that must be provided as inputs to the Monte Carlo analysis are:
(1) Airplane cruise altitude.
(2) Fuel tank quantities. If fuel quantity affects fuel tank flammability, inputs to the Monte Carlo analysis must be provided that represent the actual fuel quantity within the fuel tank or compartment of the fuel tank throughout each of the flights being evaluated. Input values for this data must be obtained from ground and flight test data or the approved FAA fuel management procedures.
(3) Airplane cruise mach number.
(4) Airplane maximum range.
(5) Fuel tank thermal characteristics. If fuel temperature affects fuel tank flammability, inputs to the Monte Carlo analysis must be provided that represent the actual bulk average fuel temperature within the fuel tank at each point in time throughout each of the flights being evaluated. For fuel tanks that are subdivided by baffles or compartments, bulk average fuel temperature inputs must be provided for each section of the tank. Input values for these data must be obtained from ground and flight test data or a thermal model of the tank that has been validated by ground and flight test data.
(6) Maximum airplane operating temperature limit, as defined by any limitations in the airplane flight manual.
(7) Airplane Utilization. The applicant must provide data supporting the number of flights per day and the number of hours per flight for the specific airplane model under evaluation. If there is no existing airplane fleet data to support the airplane being evaluated, the applicant must provide substantiation that the number of flights per day and the number of hours per flight for that airplane model is consistent with the existing fleet data they propose to use.
(d) Fuel Tank FRM Model. If FRM is used, an FAA approved Monte Carlo program must be used to show compliance with the flammability requirements of § 25.981 and Appendix M of this part. The program must determine the time periods during each flight phase when the fuel tank or compartment with the FRM would be flammable. The following factors must be considered in establishing these time periods:
(1) Any time periods throughout the flammability exposure evaluation time and under the full range of expected operating conditions, when the FRM is operating properly but fails to maintain a non-flammable fuel tank because of the effects of the fuel tank vent system or other causes,
(2) If dispatch with the system inoperative under the Master Minimum Equipment List (MMEL) is requested, the time period assumed in the reliability analysis (60 flight hours must be used for a 10-day MMEL dispatch limit unless an alternative period has been approved by the Administrator),
(3) Frequency and duration of time periods of FRM inoperability, substantiated by test or analysis acceptable to the FAA, caused by latent or known failures, including airplane system shut-downs and failures that could cause the FRM to shut down or become inoperative.
(4) Effects of failures of the FRM that could increase the flammability exposure of the fuel tank.
(5) If an FRM is used that is affected by oxygen concentrations in the fuel tank, the time periods when oxygen evolution from the fuel results in the fuel tank or compartment exceeding the inert level. The applicant must include any times when oxygen evolution from the fuel in the tank or compartment under evaluation would result in a flammable fuel tank. The oxygen evolution rate that must be used is defined in the Fuel Tank Flammability Assessment Method User's Manual, dated May 2008, document number DOT/FAA/AR-05/8 (incorporated by reference in § 25.5).
(6) If an inerting system FRM is used, the effects of any air that may enter the fuel tank following the last flight of the day due to changes in ambient temperature, as defined in Table 4, during a 12-hour overnight period.
(e) The applicant must submit to the responsible Aircraft Certification Service officefor approval the fuel tank flammability analysis, including the airplane-specific parameters identified under paragraph N25.3(c) of this appendix and any deviations from the parameters identified in paragraph N25.3(b) of this appendix that affect flammability exposure, substantiating data, and any airworthiness limitations and other conditions assumed in the analysis.
N25.4 Variables and data tables.
The following data must be used when conducting a flammability exposure analysis to determine the fleet average flammability exposure. Variables used to calculate fleet flammability exposure must include atmospheric ambient temperatures, flight length, flammability exposure evaluation time, fuel flash point, thermal characteristics of the fuel tank, overnight temperature drop, and oxygen evolution from the fuel into the ullage.
(a) Atmospheric Ambient Temperatures and Fuel Properties.
(1) In order to predict flammability exposure during a given flight, the variation of ground ambient temperatures, cruise ambient temperatures, and a method to compute the transition from ground to cruise and back again must be used. The variation of the ground and cruise ambient temperatures and the flash point of the fuel is defined by a Gaussian curve, given by the 50 percent value and a ±1-standard deviation value.
(2) Ambient Temperature: Under the program, the ground and cruise ambient temperatures are linked by a set of assumptions on the atmosphere. The temperature varies with altitude following the International Standard Atmosphere (ISA) rate of change from the ground ambient temperature until the cruise temperature for the flight is reached. Above this altitude, the ambient temperature is fixed at the cruise ambient temperature. This results in a variation in the upper atmospheric temperature. For cold days, an inversion is applied up to 10,000 feet, and then the ISA rate of change is used.
(3) Fuel properties:
(i) For Jet A fuel, the variation of flash point of the fuel is defined by a Gaussian curve, given by the 50 percent value and a ±1-standard deviation, as shown in Table 1 of this appendix.
(ii) The flammability envelope of the fuel that must be used for the flammability exposure analysis is a function of the flash point of the fuel selected by the Monte Carlo for a given flight. The flammability envelope for the fuel is defined by the upper flammability limit (UFL) and lower flammability limit (LFL) as follows:
(A) LFL at sea level = flash point temperature of the fuel at sea level minus 10 °F. LFL decreases from sea level value with increasing altitude at a rate of 1 °F per 808 feet.
(B) UFL at sea level = flash point temperature of the fuel at sea level plus 63.5 °F. UFL decreases from the sea level value with increasing altitude at a rate of 1 °F per 512 feet.
(4) For each flight analyzed, a separate random number must be generated for each of the three parameters (ground ambient temperature, cruise ambient temperature, and fuel flash point) using the Gaussian distribution defined in Table 1 of this appendix.
Table 1.—Gaussian Distribution for Ground Ambient Temperature, Cruise Ambient Temperature, and Fuel Flash Point
| Parameter | Temperature in deg F | ||
|---|---|---|---|
| Ground ambient temperature | Cruise ambient temperature | Fuel flash point (FP) | |
| Mean Temp | 59.95 | −70 | 120 |
| Neg 1 std dev | 20.14 | 8 | 8 |
| Pos 1 std dev | 17.28 | 8 | 8 |
(b) The Flight Length Distribution defined in Table 2 must be used in the Monte Carlo analysis.
Table 2.—Flight Length Distribution
| Flight length (NM) | Airplane maximum range—nautical miles (NM) | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| From | To | 1000 | 2000 | 3000 | 4000 | 5000 | 6000 | 7000 | 8000 | 9000 | 10000 |
| Distribution of flight lengths (percentage of total) | |||||||||||
| 0 | 200 | 11.7 | 7.5 | 6.2 | 5.5 | 4.7 | 4.0 | 3.4 | 3.0 | 2.6 | 2.3 |
| 200 | 400 | 27.3 | 19.9 | 17.0 | 15.2 | 13.2 | 11.4 | 9.7 | 8.5 | 7.5 | 6.7 |
| 400 | 600 | 46.3 | 40.0 | 35.7 | 32.6 | 28.5 | 24.9 | 21.2 | 18.7 | 16.4 | 14.8 |
| 600 | 800 | 10.3 | 11.6 | 11.0 | 10.2 | 9.1 | 8.0 | 6.9 | 6.1 | 5.4 | 4.8 |
| 800 | 1000 | 4.4 | 8.5 | 8.6 | 8.2 | 7.4 | 6.6 | 5.7 | 5.0 | 4.5 | 4.0 |
| 1000 | 1200 | 0.0 | 4.8 | 5.3 | 5.3 | 4.8 | 4.3 | 3.8 | 3.3 | 3.0 | 2.7 |
| 1200 | 1400 | 0.0 | 3.6 | 4.4 | 4.5 | 4.2 | 3.8 | 3.3 | 3.0 | 2.7 | 2.4 |
| 1400 | 1600 | 0.0 | 2.2 | 3.3 | 3.5 | 3.3 | 3.1 | 2.7 | 2.4 | 2.2 | 2.0 |
| 1600 | 1800 | 0.0 | 1.2 | 2.3 | 2.6 | 2.5 | 2.4 | 2.1 | 1.9 | 1.7 | 1.6 |
| 1800 | 2000 | 0.0 | 0.7 | 2.2 | 2.6 | 2.6 | 2.5 | 2.2 | 2.0 | 1.8 | 1.7 |
| 2000 | 2200 | 0.0 | 0.0 | 1.6 | 2.1 | 2.2 | 2.1 | 1.9 | 1.7 | 1.6 | 1.4 |
| 2200 | 2400 | 0.0 | 0.0 | 1.1 | 1.6 | 1.7 | 1.7 | 1.6 | 1.4 | 1.3 | 1.2 |
| 2400 | 2600 | 0.0 | 0.0 | 0.7 | 1.2 | 1.4 | 1.4 | 1.3 | 1.2 | 1.1 | 1.0 |
| 2600 | 2800 | 0.0 | 0.0 | 0.4 | 0.9 | 1.0 | 1.1 | 1.0 | 0.9 | 0.9 | 0.8 |
| 2800 | 3000 | 0.0 | 0.0 | 0.2 | 0.6 | 0.7 | 0.8 | 0.7 | 0.7 | 0.6 | 0.6 |
| 3000 | 3200 | 0.0 | 0.0 | 0.0 | 0.6 | 0.8 | 0.8 | 0.8 | 0.8 | 0.7 | 0.7 |
| 3200 | 3400 | 0.0 | 0.0 | 0.0 | 0.7 | 1.1 | 1.2 | 1.2 | 1.1 | 1.1 | 1.0 |
| 3400 | 3600 | 0.0 | 0.0 | 0.0 | 0.7 | 1.3 | 1.6 | 1.6 | 1.5 | 1.5 | 1.4 |
| 3600 | 3800 | 0.0 | 0.0 | 0.0 | 0.9 | 2.2 | 2.7 | 2.8 | 2.7 | 2.6 | 2.5 |
| 3800 | 4000 | 0.0 | 0.0 | 0.0 | 0.5 | 2.0 | 2.6 | 2.8 | 2.8 | 2.7 | 2.6 |
| 4000 | 4200 | 0.0 | 0.0 | 0.0 | 0.0 | 2.1 | 3.0 | 3.2 | 3.3 | 3.2 | 3.1 |
| 4200 | 4400 | 0.0 | 0.0 | 0.0 | 0.0 | 1.4 | 2.2 | 2.5 | 2.6 | 2.6 | 2.5 |
| 4400 | 4600 | 0.0 | 0.0 | 0.0 | 0.0 | 1.0 | 2.0 | 2.3 | 2.5 | 2.5 | 2.4 |
| 4600 | 4800 | 0.0 | 0.0 | 0.0 | 0.0 | 0.6 | 1.5 | 1.8 | 2.0 | 2.0 | 2.0 |
| 4800 | 5000 | 0.0 | 0.0 | 0.0 | 0.0 | 0.2 | 1.0 | 1.4 | 1.5 | 1.6 | 1.5 |
| 5000 | 5200 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.8 | 1.1 | 1.3 | 1.3 | 1.3 |
| 5200 | 5400 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.8 | 1.2 | 1.5 | 1.6 | 1.6 |
| 5400 | 5600 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.9 | 1.7 | 2.1 | 2.2 | 2.3 |
| 5600 | 5800 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.6 | 1.6 | 2.2 | 2.4 | 2.5 |
| 5800 | 6000 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.2 | 1.8 | 2.4 | 2.8 | 2.9 |
| 6000 | 6200 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 1.7 | 2.6 | 3.1 | 3.3 |
| 6200 | 6400 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 1.4 | 2.4 | 2.9 | 3.1 |
| 6400 | 6600 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.9 | 1.8 | 2.2 | 2.5 |
| 6600 | 6800 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.5 | 1.2 | 1.6 | 1.9 |
| 6800 | 7000 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.2 | 0.8 | 1.1 | 1.3 |
| 7000 | 7200 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.4 | 0.7 | 0.8 |
| 7200 | 7400 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.3 | 0.5 | 0.7 |
| 7400 | 7600 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.2 | 0.5 | 0.6 |
| 7600 | 7800 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.1 | 0.5 | 0.7 |
| 7800 | 8000 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.1 | 0.6 | 0.8 |
| 8000 | 8200 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.5 | 0.8 |
| 8200 | 8400 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.5 | 1.0 |
| 8400 | 8600 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.6 | 1.3 |
| 8600 | 8800 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.4 | 1.1 |
| 8800 | 9000 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.2 | 0.8 |
| 9000 | 9200 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.5 |
| 9200 | 9400 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.2 |
| 9400 | 9600 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.1 |
| 9600 | 9800 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.1 |
| 9800 | 10000 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.1 |
(c) Overnight Temperature Drop. For airplanes on which FRM is installed, the overnight temperature drop for this appendix is defined using:
(1) A temperature at the beginning of the overnight period that equals the landing temperature of the previous flight that is a random value based on a Gaussian distribution; and
(2) An overnight temperature drop that is a random value based on a Gaussian distribution.
(3) For any flight that will end with an overnight ground period (one flight per day out of an average number of flights per day, depending on utilization of the particular airplane model being evaluated), the landing outside air temperature (OAT) is to be chosen as a random value from the following Gaussian curve:
Table 3.—Landing Outside Air Temperature
| Parameter | Landing outside air temperature °F |
|---|---|
| Mean Temperature | 58.68 |
| negative 1 std dev | 20.55 |
| positive 1 std dev | 13.21 |
(4) The outside ambient air temperature (OAT) overnight temperature drop is to be chosen as a random value from the following Gaussian curve:
Table 4.—Outside Air Temperature (OAT) Drop
| Parameter | OAT drop
temperature °F |
|---|---|
| Mean Temp | 12.0 |
| 1 std dev | 6.0 |
(d) Number of Simulated Flights Required in Analysis. In order for the Monte Carlo analysis to be valid for showing compliance with the fleet average and warm day flammability exposure requirements, the applicant must run the analysis for a minimum number of flights to ensure that the fleet average and warm day flammability exposure for the fuel tank under evaluation meets the applicable flammability limits defined in Table 5 of this appendix.
Table 5.—Flammability Exposure Limit
| Minimum number of flights in Monte Carlo analysis | Maximum
acceptable Monte Carlo average fuel tank flammability exposure (percent) to meet 3 percent requirements | Maximum
acceptable Monte Carlo average fuel tank flammability exposure (percent) to meet 7 percent part 26 requirements |
|---|---|---|
| 10,000 | 2.91 | 6.79 |
| 100,000 | 2.98 | 6.96 |
| 1,000,000 | 3.00 | 7.00 |
This Appendix consists of two parts. Part I defines this Appendix as a description of supercooled large drop icing conditions in which the drop median volume diameter (MVD) is less than or greater than 40 µm, the maximum mean effective drop diameter (MED) of Appendix C of this part continuous maximum (stratiform clouds) icing conditions. For this Appendix, supercooled large drop icing conditions consist of freezing drizzle and freezing rain occurring in and/or below stratiform clouds. Part II defines ice accretions used to show compliance with the airplane performance and handling qualities requirements of subpart B of this part.
In this Appendix icing conditions are defined by the parameters of altitude, vertical and horizontal extent, temperature, liquid water content, and water mass distribution as a function of drop diameter distribution.
(a) Freezing Drizzle (Conditions with spectra maximum drop diameters from 100µm to 500 µm):
(1) Pressure altitude range: 0 to 22,000 feet MSL.
(2) Maximum vertical extent: 12,000 feet.
(3) Horizontal extent: Standard distance of 17.4 nautical miles.
(4) Total liquid water content.
Liquid water content (LWC) in grams per cubic meter (g/m
(5) Drop diameter distribution: Figure 2.
(6) Altitude and temperature envelope: Figure 3.
(b) Freezing Rain (Conditions with spectra maximum drop diameters greater than 500 µm):
(1) Pressure altitude range: 0 to 12,000 ft MSL.
(2) Maximum vertical extent: 7,000 ft.
(3) Horizontal extent: Standard distance of 17.4 nautical miles.
(4) Total liquid water content.
(5) Drop Diameter Distribution: Figure 5.
(6) Altitude and temperature envelope: Figure 6.
(c) Horizontal extent.
The liquid water content for freezing drizzle and freezing rain conditions for horizontal extents other than the standard 17.4 nautical miles can be determined by the value of the liquid water content determined from Figure 1 or Figure 4, multiplied by the factor provided in Figure 7, which is defined by the following equation:
(a) General. The most critical ice accretion in terms of airplane performance and handling qualities for each flight phase must be used to show compliance with the applicable airplane performance and handling qualities requirements for icing conditions contained in subpart B of this part. Applicants must demonstrate that the full range of atmospheric icing conditions specified in part I of this Appendix have been considered, including drop diameter distributions, liquid water content, and temperature appropriate to the flight conditions (for example, configuration, speed, angle of attack, and altitude).
(1) For an airplane certified in accordance with § 25.1420(a)(1), the ice accretions for each flight phase are defined in part II, paragraph (b) of this Appendix.
(2) For an airplane certified in accordance with § 25.1420(a)(2), the most critical ice accretion for each flight phase defined in part II, paragraphs (b) and (c) of this Appendix, must be used. For the ice accretions defined in part II, paragraph (c) of this Appendix, only the portion of part I of this Appendix in which the airplane is capable of operating safely must be considered.
(3) For an airplane certified in accordance with § 25.1420(a)(3), the ice accretions for each flight phase are defined in part II, paragraph (c) of this Appendix.
(b) Ice accretions for airplanes certified in accordance with § 25.1420(a)(1) or (2).
(1) En route ice is the en route ice as defined by part II, paragraph (c)(3), of this Appendix, for an airplane certified in accordance with § 25.1420(a)(2), or defined by part II, paragraph (a)(3), of Appendix C of this part, for an airplane certified in accordance with § 25.1420(a)(1), plus:
(i) Pre-detection ice as defined by part II, paragraph (b)(5), of this Appendix; and
(ii) The ice accumulated during the transit of one cloud with a horizontal extent of 17.4 nautical miles in the most critical of the icing conditions defined in part I of this Appendix and one cloud with a horizontal extent of 17.4 nautical miles in the continuous maximum icing conditions defined in Appendix C of this part.
(2) Holding ice is the holding ice defined by part II, paragraph (c)(4), of this Appendix, for an airplane certified in accordance with § 25.1420(a)(2), or defined by part II, paragraph (a)(4), of Appendix C of this part, for an airplane certified in accordance with § 25.1420(a)(1), plus:
(i) Pre-detection ice as defined by part II, paragraph (b)(5), of this Appendix; and
(ii) The ice accumulated during the transit of one cloud with a 17.4 nautical miles horizontal extent in the most critical of the icing conditions defined in part I of this Appendix and one cloud with a horizontal extent of 17.4 nautical miles in the continuous maximum icing conditions defined in Appendix C of this part.
(iii) Except the total exposure to holding ice conditions does not need to exceed 45 minutes.
(3) Approach ice is the more critical of the holding ice defined by part II, paragraph (b)(2), of this Appendix, or the ice calculated in the applicable paragraphs (b)(3)(i) or (ii) of part II, of this Appendix:
(i) For an airplane certified in accordance with § 25.1420(a)(2), the ice accumulated during descent from the maximum vertical extent of the icing conditions defined in part I of this Appendix to 2,000 feet above the landing surface in the cruise configuration, plus transition to the approach configuration, plus:
(A) Pre-detection ice, as defined by part II, paragraph (b)(5), of this Appendix; and
(B) The ice accumulated during the transit at 2,000 feet above the landing surface of one cloud with a horizontal extent of 17.4 nautical miles in the most critical of the icing conditions defined in part I of this Appendix and one cloud with a horizontal extent of 17.4 nautical miles in the continuous maximum icing conditions defined in Appendix C of this part.
(ii) For an airplane certified in accordance with § 25.1420(a)(1), the ice accumulated during descent from the maximum vertical extent of the maximum continuous icing conditions defined in part I of Appendix C to 2,000 feet above the landing surface in the cruise configuration, plus transition to the approach configuration, plus:
(A) Pre-detection ice, as defined by part II, paragraph (b)(5), of this Appendix; and
(B) The ice accumulated during the transit at 2,000 feet above the landing surface of one cloud with a horizontal extent of 17.4 nautical miles in the most critical of the icing conditions defined in part I of this Appendix and one cloud with a horizontal extent of 17.4 nautical miles in the continuous maximum icing conditions defined in Appendix C of this part.
(4) Landing ice is the more critical of the holding ice as defined by part II, paragraph (b)(2), of this Appendix, or the ice calculated in the applicable paragraphs (b)(4)(i) or (ii) of part II of this Appendix:
(i) For an airplane certified in accordance with § 25.1420(a)(2), the ice accretion defined by part II, paragraph (c)(5)(i), of this Appendix, plus a descent from 2,000 feet above the landing surface to a height of 200 feet above the landing surface with a transition to the landing configuration in the icing conditions defined in part I of this Appendix, plus:
(A) Pre-detection ice, as defined in part II, paragraph (b)(5), of this Appendix; and
(B) The ice accumulated during an exit maneuver, beginning with the minimum climb gradient required by § 25.119, from a height of 200 feet above the landing surface through one cloud with a horizontal extent of 17.4 nautical miles in the most critical of the icing conditions defined in part I of this Appendix and one cloud with a horizontal extent of 17.4 nautical miles in the continuous maximum icing conditions defined in Appendix C of this part.
(ii) For an airplane certified in accordance with § 25.1420(a)(1), the ice accumulated in the maximum continuous icing conditions defined in Appendix C of this part, during a descent from the maximum vertical extent of the icing conditions defined in Appendix C of this part, to 2,000 feet above the landing surface in the cruise configuration, plus transition to the approach configuration and flying for 15 minutes at 2,000 feet above the landing surface, plus a descent from 2,000 feet above the landing surface to a height of 200 feet above the landing surface with a transition to the landing configuration, plus:
(A) Pre-detection ice, as described by part II, paragraph (b)(5), of this Appendix; and
(B) The ice accumulated during an exit maneuver, beginning with the minimum climb gradient required by § 25.119, from a height of 200 feet above the landing surface through one cloud with a horizontal extent of 17.4 nautical miles in the most critical of the icing conditions defined in part I of this Appendix and one cloud with a horizontal extent of 17.4 nautical miles in the continuous maximum icing conditions defined in Appendix C of this part.
(5) Pre-detection ice is the ice accretion before detection of flight conditions in this Appendix that require exiting per § 25.1420(a)(1) and (2). It is the pre-existing ice accretion that may exist from operating in icing conditions in which the airplane is approved to operate prior to encountering the icing conditions requiring an exit, plus the ice accumulated during the time needed to detect the icing conditions, followed by two minutes of further ice accumulation to take into account the time for the flightcrew to take action to exit the icing conditions, including coordination with air traffic control.
(i) For an airplane certified in accordance with § 25.1420(a)(1), the pre-existing ice accretion must be based on the icing conditions defined in Appendix C of this part.
(ii) For an airplane certified in accordance with § 25.1420(a)(2), the pre-existing ice accretion must be based on the more critical of the icing conditions defined in Appendix C of this part, or the icing conditions defined in part I of this Appendix in which the airplane is capable of safely operating.
(c) Ice accretions for airplanes certified in accordance with §§ 25.1420(a)(2) or (3). For an airplane certified in accordance with § 25.1420(a)(2), only the portion of the icing conditions of part I of this Appendix in which the airplane is capable of operating safely must be considered.
(1) Takeoff ice is the most critical ice accretion on unprotected surfaces, and any ice accretion on the protected surfaces, occurring between the end of the takeoff distance and 400 feet above the takeoff surface, assuming accretion starts at the end of the takeoff distance in the icing conditions defined in part I of this Appendix.
(2) Final takeoff ice is the most critical ice accretion on unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, between 400 feet and either 1,500 feet above the takeoff surface, or the height at which the transition from the takeoff to the en route configuration is completed and V
(3) En route ice is the most critical ice accretion on the unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, during the en route flight phase in the icing conditions defined in part I of this Appendix.
(4) Holding ice is the most critical ice accretion on the unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, resulting from 45 minutes of flight within a cloud with a 17.4 nautical miles horizontal extent in the icing conditions defined in part I of this Appendix, during the holding phase of flight.
(5) Approach ice is the ice accretion on the unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, resulting from the more critical of the:
(i) Ice accumulated in the icing conditions defined in part I of this Appendix during a descent from the maximum vertical extent of the icing conditions defined in part I of this Appendix, to 2,000 feet above the landing surface in the cruise configuration, plus transition to the approach configuration and flying for 15 minutes at 2,000 feet above the landing surface; or
(ii) Holding ice as defined by part II, paragraph (c)(4), of this Appendix.
(6) Landing ice is the ice accretion on the unprotected surfaces, and any ice accretion on the protected surfaces appropriate to normal ice protection system operation, resulting from the more critical of the:
(i) Ice accretion defined by part II, paragraph (c)(5)(i), of this Appendix, plus ice accumulated in the icing conditions defined in part I of this Appendix during a descent from 2,000 feet above the landing surface to a height of 200 feet above the landing surface with a transition to the landing configuration, followed by a go-around at the minimum climb gradient required by § 25.119, from a height of 200 feet above the landing surface to 2,000 feet above the landing surface, flying for 15 minutes at 2,000 feet above the landing surface in the approach configuration, and a descent to the landing surface (touchdown) in the landing configuration; or
(ii) Holding ice as defined by part II, paragraph (c)(4), of this Appendix.
(7) For both unprotected and protected parts, the ice accretion for the takeoff phase must be determined for the icing conditions defined in part I of this Appendix, using the following assumptions:
(i) The airfoils, control surfaces, and, if applicable, propellers are free from frost, snow, or ice at the start of takeoff;
(ii) The ice accretion starts at the end of the takeoff distance;
(iii) The critical ratio of thrust/power-to-weight;
(iv) Failure of the critical engine occurs at V
(v) Crew activation of the ice protection system is in accordance with a normal operating procedure provided in the airplane flight manual, except that after beginning the takeoff roll, it must be assumed that the crew takes no action to activate the ice protection system until the airplane is at least 400 feet above the takeoff surface.
(d) The ice accretion before the ice protection system has been activated and is performing its intended function is the critical ice accretion formed on the unprotected and normally protected surfaces before activation and effective operation of the ice protection system in the icing conditions defined in part I of this Appendix. This ice accretion only applies in showing compliance to §§ 25.143(j) and 25.207(h).
(e) In order to reduce the number of ice accretions to be considered when demonstrating compliance with the requirements of § 25.21(g), any of the ice accretions defined in this Appendix may be used for any other flight phase if it is shown to be at least as critical as the specific ice accretion defined for that flight phase. Configuration differences and their effects on ice accretions must be taken into account.
(f) The ice accretion that has the most adverse effect on handling qualities may be used for airplane performance tests provided any difference in performance is conservatively taken into account.
(a) This part establishes requirements for support of the continued airworthiness of and safety improvements for transport category airplanes. These requirements may include performing assessments, developing design changes, developing revisions to Instructions for Continued Airworthiness (ICA), and making necessary documentation available to affected persons. Requirements of this part that establish standards for design changes and revisions to the ICA are considered airworthiness requirements.
(b) Except as provided in paragraph (c) of this section, this part applies to the following persons, as specified in each subpart of this part:
(1) Holders of type certificates and supplemental type certificates.
(2) Applicants for type certificates and supplemental type certificates and changes to those certificates (including service bulletins describing design changes).
(3) Persons seeking design approval for airplane repairs, alterations, or modifications that may affect airworthiness.
(4) Holders of type certificates and their licensees producing new airplanes.
(c) An applicant for approval of a design change is not required to comply with any applicable airworthiness requirement of this part if the applicant elects or is required to comply with a corresponding amendment to part 25 of this chapter that is adopted concurrently or after that airworthiness requirement.
(d) For the purposes of this part, the word “type certificate” does not include supplemental type certificates.
Table 1 of this section provides an overview of the applicability of this part. It provides guidance in identifying what sections apply to various types of entities. The specific applicability of each subpart and section is specified in the regulatory text.
Table 1—Applicability of Part 26 Rules
| Applicable sections | ||||
|---|---|---|---|---|
| Subpart B EAPAS/FTS | Subpart C widespread fatigue damage | Subpart D fuel tank
flammability | Subpart E damage
tolerance data | |
| Effective date of rule | December 10, 2007 | January 14, 2011 | December 26, 2008 | January 11, 2008 |
| Existing 1 TC Holders | 26.11 | 26.21 | 26.33 | 26.43, 26.45, 26.49 |
| Pending 1 TC Applicants | 26.11 | 26.21 | 26.37 | 26.43, 26.45 |
| Future 2 TC applicants | N/A | N/A | N/A | 26.43 |
| Existing 1 STC Holders | N/A | 26.21 | 26.35 | 26.47, 26.49 |
| Pending 1 STC/ATC applicants | 26.11 | 26.21 | 26.35 | 26.45, 26.47, 26.49 |
| Future 2 STC/ATC applicants | 26.11 | 26.21 | 26.35 | 26.45, 26.47, 26.49 |
| Manufacturers | N/A | N/A | 26.39 | N/A |
1 As of the effective date of the identified rule.
2 Application made after the effective date of the identified rule.
(a) Except as provided in paragraph (g) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of the original certification, or later increase in capacity, have—
(1) A maximum type-certificated passenger capacity of 30 or more or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) Holders of, and applicants for, type certificates, as identified in paragraph (d) of this section must develop Instructions for Continued Airworthiness (ICA) for the representative airplane's EWIS in accordance with part 25, Appendix H paragraphs H25.5(a)(1) and (b) of this subchapter in effect on December 10, 2007 for each affected type design, and submit those ICA for review and approval by the responsible Aircraft Certification Service office. For purposes of this section, the “representative airplane” is the configuration of each model series airplane that incorporates all variations of EWIS used in production on that series airplane, and all TC-holder-designed modifications mandated by airworthiness directive as of the effective date of this rule. Each person specified in paragraph (d) of this section must also review any fuel tank system ICA developed by that person to comply with SFAR 88 to ensure compatibility with the EWIS ICA, including minimizing redundant requirements.
(c) Applicants for amendments to type certificates and supplemental type certificates, as identified in paragraph (d) of this section, must:
(1) Evaluate whether the design change for which approval is sought necessitates a revision to the ICA required by paragraph (b) of this section to comply with the requirements of Appendix H, paragraphs H25.5(a)(1) and (b). If so, the applicant must develop and submit the necessary revisions for review and approval by the responsible Aircraft Certification Service office.
(2) Ensure that any revised EWIS ICA remain compatible with any fuel tank system ICA previously developed to comply with SFAR 88 and any redundant requirements between them are minimized.
(d) The following persons must comply with the requirements of paragraph (b) or (c) of this section, as applicable, before the dates specified.
(1) Holders of type certificates (TC): December 10, 2009.
(2) Applicants for TCs, and amendments to TCs (including service bulletins describing design changes), if the date of application was before December 10, 2007 and the certificate was issued on or after December 10, 2007: December 10, 2009 or the date the certificate is issued, whichever occurs later.
(3) Unless compliance with § 25.1729 of this subchapter is required or elected, applicants for amendments to TCs, if the application was filed on or after December 10, 2007: December 10, 2009, or the date of approval of the certificate, whichever occurs later.
(4) Applicants for supplemental type certificates (STC), including changes to existing STCs, if the date of application was before December 10, 2007 and the certificate was issued on or after December 10, 2007: June 7, 2010, or the date of approval of the certificate, whichever occurs later.
(5) Unless compliance with § 25.1729 of this subchapter is required or elected, applicants for STCs, including changes to existing STCs, if the application was filed on or after December 10, 2007, June 7, 2010, or the date of approval of the certificate, whichever occurs later.
(e) Each person identified in paragraphs (d)(1), (d)(2), and (d)(4) of this section must submit to the responsible Aircraft Certification Service office for approval a compliance plan by March 10, 2008. The compliance plan must include the following information:
(1) A proposed project schedule, identifying all major milestones, for meeting the compliance dates specified in paragraph (d) of this section.
(2) A proposed means of compliance with this section, identifying all required submissions, including all compliance items as mandated in part 25, Appendix H paragraphs H25.5(a)(1) and (b) of this subchapter in effect on December 10, 2007, and all data to be developed to substantiate compliance.
(3) A proposal for submitting a draft of all compliance items required by paragraph (e)(2) of this section for review by the responsible Aircraft Certification Service office not less than 60 days before the compliance time specified in paragraph (d) of this section.
(4) A proposal for how the approved ICA will be made available to affected persons.
(f) Each person specified in paragraph (e) must implement the compliance plan, or later approved revisions, as approved in compliance with paragraph (e) of this section.
(g) This section does not apply to the following airplane models:
(a) Applicability. Except as provided in paragraph (g) of this section, this section applies to transport category, turbine-powered airplanes with a maximum takeoff gross weight greater than 75,000 pounds and a type certificate issued after January 1, 1958, regardless of whether the maximum takeoff gross weight is a result of an original type certificate or a later design change. This section also applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, if a design change approval for which application is made after January 14, 2011 has the effect of reducing the maximum takeoff gross weight from greater than 75,000 pounds to 75,000 pounds or less.
(b) Limit of validity. Each person identified in paragraph (c) of this section must comply with the following requirements:
(1) Establish a limit of validity of the engineering data that supports the structural maintenance program (hereafter referred to as LOV) that corresponds to the period of time, stated as a number of total accumulated flight cycles or flight hours or both, during which it is demonstrated that widespread fatigue damage will not occur in the airplane. This demonstration must include an evaluation of airplane structural configurations and be supported by test evidence and analysis at a minimum and, if available, service experience, or service experience and teardown inspection results, of high-time airplanes of similar structural design, accounting for differences in operating conditions and procedures. The airplane structural configurations to be evaluated include—
(i) All model variations and derivatives approved under the type certificate; and
(ii) All structural modifications to and replacements for the airplane structural configurations specified in paragraph (b)(1)(i) of this section, mandated by airworthiness directives as of January 14, 2011.
(2) If the LOV depends on performance of maintenance actions for which service information has not been mandated by airworthiness directive as of January 14, 2011, submit the following to the responsible Aircraft Certification Service office:
(i) For those maintenance actions for which service information has been issued as of the applicable compliance date specified in paragraph (c) of this section, a list identifying each of those actions.
(ii) For those maintenance actions for which service information has not been issued as of the applicable compliance date specified in paragraph (c) of this section, a list identifying each of those actions and a binding schedule for providing in a timely manner the necessary service information for those actions. Once the responsible Aircraft Certification Service office approves this schedule, each person identified in paragraph (c) of this section must comply with that schedule.
(3) Unless previously accomplished, establish an Airworthiness Limitations section (ALS) for each airplane structural configuration evaluated under paragraph (b)(1) of this section.
(4) Incorporate the applicable LOV established under paragraph (b)(1) of this section into the ALS for each airplane structural configuration evaluated under paragraph (b)(1) and submit it to the responsible Aircraft Certification Service office for approval.
(c) Persons who must comply and compliance dates. The following persons must comply with the requirements of paragraph (b) of this section by the specified date.
(1) Holders of type certificates (TC) of airplane models identified in Table 1 of this section: No later than the applicable date identified in Table 1 of this section.
(2) Applicants for TCs, if the date of application was before January 14, 2011: No later than the latest of the following dates:
(i) January 14, 2016;
(ii) The date the certificate is issued; or
(iii) The date specified in the plan approved under § 25.571(b) for completion of the full-scale fatigue testing and demonstrating that widespread fatigue damage will not occur in the airplane structure.
(3) Applicants for amendments to TCs, with the exception of amendments to TCs specified in paragraphs (c)(6) or (c)(7) of this section, if the original TC was issued before January 14, 2011: No later than the latest of the following dates:
(i) January 14, 2016;
(ii) The date the amended certificate is issued; or
(iii) The date specified in the plan approved under § 25.571(b) for completion of the full-scale fatigue testing and demonstrating that widespread fatigue damage will not occur in the airplane structure.
(4) Applicants for amendments to TCs, with the exception of amendments to TCs specified in paragraphs (c)(6) or (c)(7) of this section, if the application for the original TC was made before January 14, 2011 but the TC was not issued before January 14, 2011: No later than the latest of the following dates:
(i) January 14, 2016;
(ii) The date the amended certificate is issued; or
(iii) The date specified in the plan approved under § 25.571(b) for completion of the full-scale fatigue testing and demonstrating that widespread fatigue damage will not occur in the airplane structure.
(5) Holders of either supplemental type certificates (STCs) or amendments to TCs that increase maximum takeoff gross weights from 75,000 pounds or less to greater than 75,000 pounds: No later than July 14, 2012.
(6) Applicants for either STCs or amendments to TCs that increase maximum takeoff gross weights from 75,000 pounds or less to greater than 75,000 pounds: No later than the latest of the following dates:
(i) July 14, 2012;
(ii) The date the certificate is issued; or
(iii) The date specified in the plan approved under § 25.571(b) for completion of the full-scale fatigue testing and demonstrating that widespread fatigue damage will not occur in the airplane structure.
(7) Applicants for either STCs or amendments to TCs that decrease maximum takeoff gross weights from greater than 75,000 pounds to 75,000 pounds or less, if the date of application was after January 14, 2011: No later than the latest of the following dates:
(i) July 14, 2012;
(ii) The date the certificate is issued; or
(iii) The date specified in the plan approved under § 25.571(b) for completion of the full-scale fatigue testing and demonstrating that widespread fatigue damage will not occur in the airplane structure.
(d) Compliance plan. Each person identified in paragraph (e) of this section must submit a compliance plan consisting of the following:
(1) A proposed project schedule, identifying all major milestones, for meeting the compliance dates specified in paragraph (c) of this section.
(2) A proposed means of compliance with paragraphs (b)(1) through (b)(4) of this section.
(3) A proposal for submitting a draft of all compliance items required by paragraph (b) of this section for review by the responsible Aircraft Certification Service office not less than 60 days before the compliance date specified in paragraph (c) of this section, as applicable.
(4) A proposal for how the LOV will be distributed.
(e) Compliance dates for compliance plans. The following persons must submit the compliance plan described in paragraph (d) of this section to the responsible Aircraft Certification Service office by the specified date.
(1) Holders of type certificates: No later than April 14, 2011.
(2) Applicants for TCs and amendments to TCs, with the exception of amendments to TCs specified in paragraphs (e)(4), (e)(5), or (e)(6) of this section, if the date of application was before January 14, 2011 but the TC or TC amendment was not issued before January 14, 2011: No later than April 14, 2011.
(3) Holders of either supplemental type certificates or amendments to TCs that increase maximum takeoff gross weights from 75,000 pounds or less to greater than 75,000 pounds: No later than April 14, 2011.
(4) Applicants for either STCs or amendments to TCs that increase maximum takeoff gross weights from 75,000 pounds or less to greater than 75,000 pounds, if the date of application was before January 14, 2011: No later than April 14, 2011.
(5) Applicants for either STCs or amendments to TCs that increase maximum takeoff gross weights from 75,000 pounds or less to greater than 75,000 pounds, if the date of application is on or after January 14, 2011: Within 90 days after the date of application.
(6) Applicants for either STCs or amendments to TCs that decrease maximum takeoff gross weights from greater than 75,000 pounds to 75,000 pounds or less, if the date of application is on or after January 14, 2011: Within 90 days after the date of application.
(f) Compliance plan implementation. Each affected person must implement the compliance plan as approved in compliance with paragraph (d) of this section.
(g) Exceptions. This section does not apply to the following airplane models:
(1) Bombardier BD-700.
(2) Bombardier CL-44.
(3) Gulfstream GV.
(4) Gulfstream GV-SP.
(5) British Aerospace, Aircraft Group, and Societe Nationale Industrielle Aerospatiale Concorde Type 1.
(6) British Aerospace (Commercial Aircraft) Ltd., Armstrong Whitworth Argosy A.W. 650 Series 101.
(7) British Aerospace Airbus, Ltd., BAC 1-11.
(8) BAE Systems (Operations) Ltd., BAe 146.
(9) BAE Systems (Operations) Ltd., Avro 146.
(10) Lockheed 300-50A01 (USAF C141A).
(11) Boeing 707.
(12) Boeing 720.
(13) deHavilland D.H. 106 Comet 4C.
(14) Ilyushin Aviation IL-96T.
(15) Bristol Aircraft Britannia 305.
(16) Avions Marcel Dassault-Breguet Aviation Mercure 100C.
(17) Airbus Caravelle.
(18) D & R Nevada, LLC, Convair Model 22.
(19) D & R Nevada, LLC, Convair Model 23M.
Table 1—Compliance Dates for Affected Airplanes
| Airplane model
(all existing 1 models) | Compliance date—
(months after January 14, 2011) |
|---|---|
| Airbus: | |
| A300 Series | 18 |
| A310 Series, A300-600 Series | 48 |
| A318 Series | 48 |
| A319 Series | 48 |
| A320 Series | 48 |
| A321 Series | 48 |
| A330-200, -200 Freighter, -300 Series | 48 |
| A340-200, -300, -500, -600 Series | 48 |
| A380-800 Series | 60 |
| Boeing: | |
| 717 | 48 |
| 727 (all series) | 18 |
| 737 (Classics): 737-100, -200, -200C, -300, -400, -500 | 18 |
| 737 (NG): 737-600, -700, -700C, -800, -900, -900ER | 48 |
| 747 (Classics): 747-100, -100B, -100B SUD, -200B, -200C, -200F, -300, 747SP, 747SR | 18 |
| 747-400: 747-400, -400D, -400F | 48 |
| 757 | 48 |
| 767 | 48 |
| 777-200, -300 | 48 |
| 777-200LR, 777-300ER, 777F | 60 |
| Bombardier: | |
| CL-600: 2D15 (Regional Jet Series 705), 2D24 (Regional Jet Series 900) | 60 |
| Embraer: | |
| ERJ 170 | 60 |
| ERJ 190 | 60 |
| Fokker: | |
| F.28 Mark 0070, Mark 0100 | 18 |
| Lockheed: | |
| L-1011 | 18 |
| 188 | 18 |
| 382 (all series) | 18 |
| McDonnell Douglas: | |
| DC-8, -8F | 18 |
| DC-9 | 18 |
| MD-80 (DC-9-81, -82, -83, -87, MD-88) | 18 |
| MD-90 | 48 |
| DC-10 | 18 |
| MD-10 | 48 |
| MD-11, -11F | 48 |
| All Other Airplane Models Listed on a Type Certificate as of January 14, 2011 | 60 |
1 Type certificated as of January 14, 2011.
(a) Applicability. Any person may apply to extend a limit of validity of the engineering data that supports the structural maintenance program (hereafter referred to as LOV) approved under § 25.571 of this subchapter, § 26.21, or this section. Extending an LOV is a major design change. The applicant must comply with the relevant provisions of subparts D or E of part 21 of this subchapter and paragraph (b) of this section.
(b) Extended limit of validity. Each person applying for an extended LOV must comply with the following requirements:
(1) Establish an extended LOV that corresponds to the period of time, stated as a number of total accumulated flight cycles or flight hours or both, during which it is demonstrated that widespread fatigue damage will not occur in the airplane. This demonstration must include an evaluation of airplane structural configurations and be supported by test evidence and analysis at a minimum and, if available, service experience, or service experience and teardown inspection results, of high-time airplanes of similar structural design, accounting for differences in operating conditions and procedures. The airplane structural configurations to be evaluated include—
(i) All model variations and derivatives approved under the type certificate for which approval for an extension is sought; and
(ii) All structural modifications to and replacements for the airplane structural configurations specified in paragraph (b)(1)(i) of this section, mandated by airworthiness directive, up to the date of approval of the extended LOV.
(2) Establish a revision or supplement, as applicable, to the Airworthiness Limitations section (ALS) of the Instructions for Continued Airworthiness required by § 25.1529 of this subchapter, and submit it to the responsible Aircraft Certification Service office for approval. The revised ALS or supplement to the ALS must include the applicable extended LOV established under paragraph (b)(1) of this section.
(3) Develop the maintenance actions determined by the WFD evaluation performed in paragraph (b)(1) of this section to be necessary to preclude WFD from occurring before the airplane reaches the proposed extended LOV. These maintenance actions must be documented as airworthiness limitation items in the ALS and submitted to the responsible Aircraft Certification Service office for approval.
For purposes of this subpart—
(a) Fleet Average Flammability Exposure has the meaning defined in Appendix N of part 25 of this chapter.
(b) Normally Emptied means a fuel tank other than a Main Fuel Tank. Main Fuel Tank is defined in 14 CFR 25.981(b).
(a) Applicability. This section applies to U.S. type certificated transport category, turbine-powered airplanes, other than those designed solely for all-cargo operations, for which the State of Manufacture issued the original certificate of airworthiness or export airworthiness approval on or after January 1, 1992, that, as a result of original type certification or later increase in capacity have:
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) Flammability Exposure Analysis. (1) General. Within 150 days after December 26, 2008, holders of type certificates must submit for approval to the responsible Aircraft Certification Service office a flammability exposure analysis of all fuel tanks defined in the type design, as well as all design variations approved under the type certificate that affect flammability exposure. This analysis must be conducted in accordance with Appendix N of part 25 of this chapter.
(2) Exception. This paragraph (b) does not apply to—
(i) Fuel tanks for which the type certificate holder has notified the FAA under paragraph (g) of this section that it will provide design changes and service instructions for Flammability Reduction Means or an Ignition Mitigation Means (IMM) meeting the requirements of paragraph (c) of this section.
(ii) Fuel tanks substantiated to be conventional unheated aluminum wing tanks.
(c) Design Changes. For fuel tanks with a Fleet Average Flammability Exposure exceeding 7 percent, one of the following design changes must be made.
(1) Flammability Reduction Means (FRM). A means must be provided to reduce the fuel tank flammability.
(i) Fuel tanks that are designed to be Normally Emptied must meet the flammability exposure criteria of Appendix M of part 25 of this chapter if any portion of the tank is located within the fuselage contour.
(ii) For all other fuel tanks, the FRM must meet all of the requirements of Appendix M of part 25 of this chapter, except, instead of complying with paragraph M25.1 of this appendix, the Fleet Average Flammability Exposure may not exceed 7 percent.
(2) Ignition Mitigation Means (IMM). A means must be provided to mitigate the effects of an ignition of fuel vapors within the fuel tank such that no damage caused by an ignition will prevent continued safe flight and landing.
(d) Service Instructions. No later than December 27, 2010, holders of type certificates required by paragraph (c) of this section to make design changes must meet the requirements specified in either paragraph (d)(1) or (d)(2) of this section. The required service instructions must identify each airplane subject to the applicability provisions of paragraph (a) of this section.
(1) FRM. The type certificate holder must submit for approval by the responsible Aircraft Certification Service office design changes and service instructions for installation of fuel tank flammability reduction means (FRM) meeting the criteria of paragraph (c) of this section.
(2) IMM. The type certificate holder must submit for approval by the responsible Aircraft Certification Service office design changes and service instructions for installation of fuel tank IMM that comply with 14 CFR 25.981(c) in effect on December 26, 2008.
(e) Instructions for Continued Airworthiness (ICA). No later than December 27, 2010, holders of type certificates required by paragraph (c) of this section to make design changes must submit for approval by the responsible Aircraft Certification Service office, critical design configuration control limitations (CDCCL), inspections, or other procedures to prevent increasing the flammability exposure of any tanks equipped with FRM above that permitted under paragraph (c)(1) of this section and to prevent degradation of the performance of any IMM provided under paragraph (c)(2) of this section. These CDCCL, inspections, and procedures must be included in the Airworthiness Limitations Section (ALS) of the ICA required by 14 CFR 25.1529 or paragraph (f) of this section. Unless shown to be impracticable, visible means to identify critical features of the design must be placed in areas of the airplane where foreseeable maintenance actions, repairs, or alterations may compromise the critical design configuration limitations. These visible means must also be identified as a CDCCL.
(f) Airworthiness Limitations. Unless previously accomplished, no later than December 27, 2010, holders of type certificates affected by this section must establish an ALS of the maintenance manual or ICA for each airplane configuration evaluated under paragraph (b)(1) of this section and submit it to the responsible Aircraft Certification Service office for approval. The ALS must include a section that contains the CDCCL, inspections, or other procedures developed under paragraph (e) of this section.
(g) Compliance Plan for Flammability Exposure Analysis. Within 90 days after December 26, 2008, each holder of a type certificate required to comply with paragraph (b) of this section must submit to the responsible Aircraft Certification Service office a compliance plan consisting of the following:
(1) A proposed project schedule for submitting the required analysis, or a determination that compliance with paragraph (b) of this section is not required because design changes and service instructions for FRM or IMM will be developed and made available as required by this section.
(2) A proposed means of compliance with paragraph (b) of this section, if applicable.
(h) Compliance Plan for Design Changes and Service Instructions. Within 210 days after December 26, 2008, each holder of a type certificate required to comply with paragraph (d) of this section must submit to the responsible Aircraft Certification Service office a compliance plan consisting of the following:
(1) A proposed project schedule, identifying all major milestones, for meeting the compliance dates specified in paragraphs (d), (e) and (f) of this section.
(2) A proposed means of compliance with paragraphs (d), (e) and (f) of this section.
(3) A proposal for submitting a draft of all compliance items required by paragraphs (d), (e) and (f) of this section for review by the responsible Aircraft Certification Service office not less than 60 days before the compliance times specified in those paragraphs.
(4) A proposal for how the approved service information and any necessary modification parts will be made available to affected persons.
(i) Each affected type certificate holder must implement the compliance plans, or later revisions, as approved under paragraph (g) and (h) of this section.
(a) Applicability. This section applies to holders and applicants for approvals of the following design changes to any airplane subject to 14 CFR 26.33(a):
(1) Any fuel tank designed to be Normally Emptied if the fuel tank installation was approved pursuant to a supplemental type certificate or a field approval before December 26, 2008;
(2) Any fuel tank designed to be Normally Emptied if an application for a supplemental type certificate or an amendment to a type certificate was made before December 26, 2008 and if the approval was not issued before December 26, 2008; and
(3) If an application for a supplemental type certificate or an amendment to a type certificate is made on or after December 26, 2008, any of the following design changes:
(i) Installation of a fuel tank designed to be Normally Emptied,
(ii) Changes to existing fuel tank capacity, or
(iii) Changes that may increase the flammability exposure of an existing fuel tank for which FRM or IMM is required by § 26.33(c).
(b) Flammability Exposure Analysis—(1) General. By the times specified in paragraphs (b)(1)(i) and (b)(1)(ii) of this section, each person subject to this section must submit for approval a flammability exposure analysis of the auxiliary fuel tanks or other affected fuel tanks, as defined in the type design, to the responsible Aircraft Certification Service office. This analysis must be conducted in accordance with Appendix N of part 25 of this chapter.
(i) Holders of supplemental type certificates and field approvals: Within 12 months of December 26, 2008,
(ii) Applicants for supplemental type certificates and for amendments to type certificates: Within 12 months after December 26, 2008, or before the certificate is issued, whichever occurs later.
(2) Exception. This paragraph does not apply to—
(i) Fuel tanks for which the type certificate holder, supplemental type certificate holder, or field approval holder has notified the FAA under paragraph (f) of this section that it will provide design changes and service instructions for an IMM meeting the requirements of § 25.981(c) in effect December 26, 2008; and
(ii) Fuel tanks substantiated to be conventional unheated aluminum wing tanks.
(c) Impact Assessment. By the times specified in paragraphs (c)(1) and (c)(2) of this section, each person subject to paragraph (a)(1) of this section holding an approval for installation of a Normally Emptied fuel tank on an airplane model listed in Table 1 of this section, and each person subject to paragraph (a)(3)(iii) of this section, must submit for approval to the responsible Aircraft Certification Service office an assessment of the fuel tank system, as modified by their design change. The assessment must identify any features of the design change that compromise any critical design configuration control limitation (CDCCL) applicable to any airplane on which the design change is eligible for installation.
(1) Holders of supplemental type certificates and field approvals: Before June 26, 2011.
(2) Applicants for supplemental type certificates and for amendments to type certificates: Before June 26, 2011 or before the certificate is issued, whichever occurs later.
Table 1
| 747 Series |
| 737 Series |
| 777 Series |
| 767 Series |
| 757 Series |
| A318, A319, A320, A321 Series |
| A300, A310 Series |
| A330, A340 Series |
(d) Design Changes and Service Instructions. By the times specified in paragraph (e) of this section, each person subject to this section must meet the requirements of paragraphs (d)(1) or (d)(2) of this section, as applicable.
(1) For holders and applicants subject to paragraph (a)(1) or (a)(3)(iii) of this section, if the assessment required by paragraph (c) of this section identifies any features of the design change that compromise any CDCCL applicable to any airplane on which the design change is eligible for installation, the holder or applicant must submit for approval by the responsible Aircraft Certification Service office design changes and service instructions for Flammability Impact Mitigation Means (FIMM) that would bring the design change into compliance with the CDCCL. Any fuel tank modified as required by this paragraph must also be evaluated as required by paragraph (b) of this section.
(2) Applicants subject to paragraph (a)(2), or (a)(3)(i) of this section must comply with the requirements of 14 CFR 25.981, in effect on December 26, 2008.
(3) Applicants subject to paragraph (a)(3)(ii) of this section must comply with the requirements of 14 CFR 26.33.
(e) Compliance Times for Design Changes and Service Instructions. The following persons subject to this section must comply with the requirements of paragraph (d) of this section at the specified times.
(1) Holders of supplemental type certificates and field approvals: Before December 26, 2012.
(2) Applicants for supplemental type certificates and for amendments to type certificates: Before December 26, 2012, or before the certificate is issued, whichever occurs later.
(f) Compliance Planning. By the applicable date specified in Table 2 of this section, each person subject to paragraph (a)(1) of this section must submit for approval by the responsible Aircraft Certification Service office compliance plans for the flammability exposure analysis required by paragraph (b) of this section, the impact assessment required by paragraph (c) of this section, and the design changes and service instructions required by paragraph (d) of this section. Each person's compliance plans must include the following:
(1) A proposed project schedule for submitting the required analysis or impact assessment.
(2) A proposed means of compliance with paragraph (d) of this section.
(3) For the requirements of paragraph (d) of this section, a proposal for submitting a draft of all design changes, if any are required, and Airworthiness Limitations (including CDCCLs) for review by the responsible Aircraft Certification Service office not less than 60 days before the compliance time specified in paragraph (e) of this section.
(4) For the requirements of paragraph (d) of this section, a proposal for how the approved service information and any necessary modification parts will be made available to affected persons.
Table 2—Compliance Planning Dates
| Flammability exposure analysis plan | Impact assessment plan | Design changes and service instructions plan | |
|---|---|---|---|
| STC and Field Approval Holders | March 26, 2009 | February 26, 2011 | August 26, 2011. |
(g) Each person subject to this section must implement the compliance plans, or later revisions, as approved under paragraph (f) of this section.
(a) Applicability. This section applies to any new type certificate for a transport category airplane, if the application was made before December 26, 2008, and if the certificate was not issued before December 26, 2008. This section applies only if the airplane would have—
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) If the application was made on or after June 6, 2001, the requirements of 14 CFR 25.981 in effect on December 26, 2008, apply.
(a) Applicability: This section applies to Boeing model airplanes specified in Table 1 of this section, including passenger and cargo versions of each model, when application is made for original certificates of airworthiness or export airworthiness approvals after December 27, 2010.
Table 1
| Model—Boeing |
|---|
| 747 Series |
| 737 Series |
| 777 Series |
| 767 Series |
(b) Any fuel tank meeting all of the criteria stated in paragraphs (b)(1), (b)(2) and (b)(3) of this section must have flammability reduction means (FRM) or ignition mitigation means (IMM) that meet the requirements of 14 CFR 25.981 in effect on December 26, 2008.
(1) The fuel tank is Normally Emptied.
(2) Any portion of the fuel tank is located within the fuselage contour.
(3) The fuel tank exceeds a Fleet Average Flammability Exposure of 7 percent.
(c) All other fuel tanks that exceed an Fleet Average Flammability Exposure of 7 percent must have an IMM that meets 14 CFR 25.981(d) in effect on December 26, 2008, or an FRM that meets all of the requirements of Appendix M to this part, except instead of complying with paragraph M25.1 of that appendix, the Fleet Average Flammability Exposure may not exceed 7 percent.
Affects (or Affected) means structure has been physically repaired, altered, or modified, or the structural loads acting on the structure have been increased or redistributed.
Baseline structure means structure that is designed under the original type certificate or amended type certificate for that airplane model.
Damage Tolerance Evaluation (DTE) means a process that leads to a determination of maintenance actions necessary to detect or preclude fatigue cracking that could contribute to a catastrophic failure. As applied to repairs and alterations, a DTE includes the evaluation both of the repair or alteration and of the fatigue critical structure affected by the repair or alteration.
Damage Tolerance Inspection (DTI) means the inspection developed as a result of a DTE. A DTI includes the areas to be inspected, the inspection method, the inspection procedures, including acceptance and rejection criteria, the threshold, and any repeat intervals associated with those inspections. The DTI may specify a time limit when a repair or alteration needs to be replaced or modified. If the DTE concludes that DT-based supplemental structural inspections are not necessary, the DTI contains a statement to that effect.
DT data mean DTE documentation and the DTI.
DTE documentation means data that identify the evaluated fatigue critical structure, the basic assumptions applied in a DTE, and the results of a DTE.
Fatigue critical structure means airplane structure that is susceptible to fatigue cracking that could contribute to a catastrophic failure, as determined in accordance with § 25.571 of this chapter. Fatigue critical structure includes structure, which, if repaired or altered, could be susceptible to fatigue cracking and contribute to a catastrophic failure. Such structure may be part of the baseline structure or part of an alteration.
Implementation schedule consists of documentation that establishes the timing for accomplishing the necessary actions for developing DT data for repairs and alterations, and for incorporating those data into an operator's continuing airworthiness maintenance program. The documentation must identify times when actions must be taken as specific numbers of airplane flight hours, flight cycles, or both.
Published repair data mean instructions for accomplishing repairs, which are published for general use in structural repair manuals and service bulletins (or equivalent types of documents).
(a) Applicability. Except as specified in paragraph (g) of this section, this section applies to transport category, turbine powered airplane models with a type certificate issued after January 1, 1958, that as a result of original type certification or later increase in capacity have—
(1) A maximum type certificated passenger seating capacity of 30 or more; or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) List of fatigue critical baseline structure. For airplanes specified in paragraph (a) of this section, the holder of or applicant for a type certificate must—
(1) Identify fatigue critical baseline structure for all airplane model variations and derivatives approved under the type certificate; and
(2) Develop and submit to the responsible Aircraft Certification Service office for review and approval, a list of the structure identified under paragraph (b)(1) of this section and, upon approval, make the list available to persons required to comply with § 26.47 and §§ 121.1109 and 129.109 of this chapter.
(c) Existing and future published repair data. For repair data published by a holder of a type certificate that is current as of January 11, 2008 and for all later published repair data, the holder of a type certificate must—
(1) Review the repair data and identify each repair specified in the data that affects fatigue critical baseline structure identified under paragraph (b)(1) of this section;
(2) Perform a DTE and develop the DTI for each repair identified under paragraph (c)(1) of this section, unless previously accomplished;
(3) Submit the DT data to the responsible Aircraft Certification Service office or its properly authorized designees for review and approval; and
(4) Upon approval, make the DTI available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(d) Future repair data not published. For repair data developed by a holder of a type certificate that are approved after January 11, 2008 and are not published, the type certificate holder must accomplish the following for repairs specified in the repair data that affect fatigue critical baseline structure:
(1) Perform a DTE and develop the DTI.
(2) Submit the DT data required in paragraph (d)(1) of this section for review and approval by the responsible Aircraft Certification Service office or its properly authorized designees.
(3) Upon approval, make the approved DTI available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(e) Repair evaluation guidelines. Except for airplane models whose type certificate is issued after January 11, 2008, holders of a type certificate for each airplane model subject to this section must—
(1) Develop repair evaluation guidelines for operators' use that include—
(i) A process for conducting surveys of affected airplanes that will enable identification and documentation of all existing repairs that affect fatigue critical baseline structure identified under paragraph (b)(1) of this section and § 26.45(b)(2);
(ii) A process that will enable operators to obtain the DTI for repairs identified under paragraph (e)(1)(i) of this section; and
(iii) An implementation schedule for repairs covered by the repair evaluation guidelines. The implementation schedule must identify times when actions must be taken as specific numbers of airplane flight hours, flight cycles, or both.
(2) Submit the repair evaluation guidelines to the responsible Aircraft Certification Service office for review and approval.
(3) Upon approval, make the guidelines available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(4) If the guidelines direct the operator to obtain assistance from the holder of a type certificate, make such assistance available in accordance with the implementation schedule.
(f) Compliance times. Holders of type certificates must submit the following to the responsible Aircraft Certification Service office or its properly authorized designees for review and approval by the specified compliance time:
(1) The identified list of fatigue critical baseline structure required by paragraph (b)(2) of this section must be submitted no later than 180 days after January 11, 2008 or before issuance of the type certificate, whichever occurs later.
(2) For published repair data that are current as of January 11, 2008, the DT data required by paragraph (c)(3) of this section must be submitted by June 30, 2009.
(3) For repair data published after January 11, 2008, the DT data required by paragraph (c)(3) of this section must be submitted before FAA approval of the repair data.
(4) For unpublished repair data developed after January 11, 2008, the DT data required by paragraph (d)(1) of this section must be submitted within 12 months of the airplane's return to service or in accordance with a schedule approved by the responsible Aircraft Certification Service office.
(5) The repair evaluation guidelines required by paragraph (e)(1) of this section must be submitted by December 30, 2009.
(g) Exceptions. The requirements of this section do not apply to the following transport category airplane models:
(1) Convair CV-240, 340, 440, if modified to include turbine engines.
(2) Vickers Armstrong Viscount, TCDS No. A-814.
(3) Douglas DC-3, if modified to include turbine engines, TCDS No. A-618.
(4) Bombardier CL-44, TCDS No. 1A20.
(5) Mitsubishi YS-11, TCDS No. A1PC.
(6) British Aerospace BAC 1-11, TCDS No. A5EU.
(7) Concorde, TCDS No. A45EU.
(8) deHavilland D.H. 106 Comet 4C, TCDS No. 7A10.
(9) deHavilland DHC-7, TCDS No. A20EA.
(10) VFW-Vereinigte Flugtechnische Werk VFW-614, TCDS No. A39EU.
(11) Illyushin Aviation IL 96T, TCDS No. A54NM.
(12) Bristol Aircraft Britannia 305, TCDS No. 7A2.
(13) Handley Page Herald Type 300, TCDS No. A21N.
(14) Avions Marcel Dassault—Breguet Aviation Mercure 100C, TCDS No. A40EU.
(15) Airbus Caravelle, TCDS No. 7A6.
(16) Lockheed L-300, TCDS No. A2S0.
(17) Boeing 707-100/-200, TCDS No. 4A21.
(18) Boeing 707-300/-400, TCDS No. 4A26.
(19) Boeing 720, TCDS No. 4A28.
(a) Applicability. This section applies to transport category airplanes subject to § 26.43.
(b) Fatigue critical alteration structure. For existing and future alteration data developed by the holder of a type certificate, the holder must—
(1) Review alteration data and identify all alterations that affect fatigue critical baseline structure identified under § 26.43(b)(1);
(2) For each alteration identified under paragraph (b)(1) of this section, identify any fatigue critical alteration structure;
(3) Develop and submit to the responsible Aircraft Certification Service office for review and approval a list of the structure identified under paragraph (b)(2) of this section; and
(4) Upon approval, make the list required in paragraph (b)(3) of this section available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(c) DT Data. For existing and future alteration data developed by the holder of a type certificate that affect fatigue critical baseline structure identified under § 26.43(b)(1), unless previously accomplished, the holder must—
(1) Perform a DTE and develop the DTI for the alteration and fatigue critical baseline structure that is affected by the alteration;
(2) Submit the DT data developed in accordance with paragraphs (c)(1) of this section to the responsible Aircraft Certification Service office or its properly authorized designees for review and approval; and
(3) Upon approval, make the DTI available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(d) DT Data for Repairs Made to Alterations. For existing and future repair data developed by a holder of a type certificate, the type certificate holder must—
(1) Review the repair data, and identify each repair that affects any fatigue critical alteration structure identified under paragraph (b)(2) of this section;
(2) For each repair identified under paragraph (d)(1) of this section, unless previously accomplished, perform a DTE and develop DTI;
(3) Submit the DT data developed in accordance with paragraph (d)(2) of this section to the responsible Aircraft Certification Service office or its properly authorized designees for review and approval; and
(4) Upon approval, make the DTI available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(e) Compliance times. Holders of type certificates must submit the following to the responsible Aircraft Certification Service office or its properly authorized designees for review and approval by the specified compliance time:
(1) The list of fatigue critical alteration structure identified under paragraph (b)(3) of this section must be submitted—
(i) No later than 360 days after January 11, 2008, for alteration data approved before January 11, 2008.
(ii) No later than 30 days after March 12, 2010 or before initial approval of the alteration data, whichever occurs later, for alteration data approved on or after January 11, 2008.
(2) For alteration data developed and approved before January 11, 2008, the DT data required by paragraph (c)(2) of this section must be submitted by June 30, 2009.
(3) For alteration data approved on or after January 11, 2008, DT data required by paragraph (c)(2) of this section must be submitted before initial approval of the alteration data.
(4) For repair data developed and approved before January 11, 2008, the DT data required by paragraph (d)(2) of this section must be submitted by June 30, 2009.
(5) For repair data developed and approved after January 11, 2008, the DT data required by paragraph (d)(2) of this section must be submitted within 12 months after initial approval of the repair data and before making the DT data available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(a) Applicability. This section applies to transport category airplanes subject to § 26.43.
(b) Fatigue critical alteration structure. For existing structural alteration data approved under a supplemental certificate, the holder of the supplemental certificate must—
(1) Review the alteration data and identify all alterations that affect fatigue critical baseline structure identified under § 26.43(b)(1);
(2) For each alteration identified under paragraph (b)(1) of this section, identify any fatigue critical alteration structure;
(3) Develop and submit to the responsible Aircraft Certification Service office for review and approval a list of the structure identified under paragraph (b)(2) of this section; and
(4) Upon approval, make the list required in paragraph (b)(3) of this section available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(c) DT Data. For existing and future alteration data developed by the holder of a supplemental type certificate that affect fatigue critical baseline structure identified under § 26.43(b)(1), unless previously accomplished, the holder of a supplemental type certificate must—
(1) Perform a DTE and develop the DTI for the alteration and fatigue critical baseline structure that is affected by the alteration;
(2) Submit the DT data developed in accordance with paragraphs (c)(1) of this section to the responsible Aircraft Certification Service office or its properly authorized designees for review and approval; and
(3) Upon approval, make the DTI available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(d) DT Data for Repairs Made to Alterations. For existing and future repair data developed by the holder of a supplemental holder of a supplemental type certificate, the holder of a supplemental type certificate must—
(1) Review the repair data, and identify each repair that affects any fatigue critical alteration structure identified under paragraph (b)(2) of this section;
(2) For each repair identified under paragraph (d)(1) of this section, unless previously accomplished, perform a DTE and develop DTI;
(3) Submit the DT data developed in accordance with paragraph (d)(2) of this section to the responsible Aircraft Certification Service office or its properly authorized designees for review and approval; and
(4) Upon approval, make the DTI available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(e) Compliance times. Holders of supplemental type certificates must submit the following to the responsible Aircraft Certification Service office or its properly authorized designees for review and approval by the specified compliance time:
(1) The list of fatigue critical alteration structure required by paragraph (b)(3) of this section must be submitted no later than 360 days after January 11, 2008.
(2) For alteration data developed and approved before January 11, 2008, the DT data required by paragraph (c)(2) of this section must be submitted by June 30, 2009.
(3) For alteration data developed after January 11, 2008, the DT data required by paragraph (c)(2) of this section must be submitted before approval of the alteration data and making it available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(4) For repair data developed and approved before January 11, 2008, the DT data required by paragraph (d)(2) of this section must be submitted by June 30, 2009.
(5) For repair data developed and approved after January 11, 2008, the DT data required by paragraph (d)(2) of this section, must be submitted within 12 months after initial approval of the repair data and before making the DT data available to persons required to comply with §§ 121.1109 and 129.109 of this chapter.
(a) Compliance plan. Except for applicants for type certificates and supplemental type certificates whose applications are submitted after January 11, 2008, each person identified in §§ 26.43, 26.45, and 26.47, must submit a compliance plan consisting of the following:
(1) A project schedule identifying all major milestones for meeting the compliance times specified in §§ 26.43(f), 26.45(e), and 26.47(e), as applicable.
(2) A proposed means of compliance with §§ 26.43, 26.45, and 26.47, as applicable.
(3) A plan for submitting a draft of all compliance items required by this subpart for review by the responsible Aircraft Certification Service office not less than 60 days before the applicable compliance date.
(b) Compliance dates for compliance plans. The following persons must submit the compliance plan described in paragraph (a) of this section to the responsible Aircraft Certification Service office for approval on the following schedule:
(1) For holders of type certificates, no later than 90 days after January 11, 2008.
(2) For holders of supplemental type certificates no later than 180 days after January 11, 2008.
(3) For applicants for changes to type certificates whose application are submitted before January 11, 2008, no later than 180 days after January 11, 2008.
(c) Compliance Plan Implementation. Each affected person must implement the compliance plan as approved in compliance with paragraph (a) of this section.
(a) This part prescribes airworthiness standards for the issue of type certificates, and changes to those certificates, for normal category rotorcraft with maximum weights of 7,000 pounds or less and nine or less passenger seats.
(b) Each person who applies under Part 21 for such a certificate or change must show compliance with the applicable requirements of this part.
(c) Multiengine rotorcraft may be type certified as Category A provided the requirements referenced in appendix C of this part are met.
(a) For each rotorcraft manufactured after September 16, 1992, each applicant must show that each occupant's seat is equipped with a safety belt and shoulder harness that meets the requirements of paragraphs (a), (b), and (c) of this section.
(1) Each occupant's seat must have a combined safety belt and shoulder harness with a single-point release. Each pilot's combined safety belt and shoulder harness must allow each pilot, when seated with safety belt and shoulder harness fastened, to perform all functions necessary for flight operations. There must be a means to secure belts and harnesses, when not in use, to prevent interference with the operation of the rotorcraft and with rapid egress in an emergency.
(2) Each occupant must be protected from serious head injury by a safety belt plus a shoulder harness that will prevent the head from contacting any injurious object.
(3) The safety belt and shoulder harness must meet the static and dynamic strength requirements, if applicable, specified by the rotorcraft type certification basis.
(4) For purposes of this section, the date of manufacture is either—
(i) The date the inspection acceptance records, or equivalent, reflect that the rotorcraft is complete and meets the FAA-Approved Type Design Data; or
(ii) The date the foreign civil airworthiness authority certifies that the rotorcraft is complete and issues an original standard airworthiness certificate, or equivalent, in that country.
(b) For rotorcraft with a certification basis established prior to October 18, 1999—
(1) The maximum passenger seat capacity may be increased to eight or nine provided the applicant shows compliance with all the airworthiness requirements of this part in effect on October 18, 1999.
(2) The maximum weight may be increased to greater than 6,000 pounds provided—
(i) The number of passenger seats is not increased above the maximum number certificated on October 18, 1999, or
(ii) The applicant shows compliance with all of the airworthiness requirements of this part in effect on October 18, 1999.
Each requirement of this subpart must be met at each appropriate combination of weight and center of gravity within the range of loading conditions for which certification is requested. This must be shown—
(a) By tests upon a rotorcraft of the type for which certification is requested, or by calculations based on, and equal in accuracy to, the results of testing; and
(b) By systematic investigation of each required combination of weight and center of gravity if compliance cannot be reasonably inferred from combinations investigated.
(a) Maximum weight. The maximum weight (the highest weight at which compliance with each applicable requirement of this part is shown) must be established so that it is—
(1) Not more than—
(i) The highest weight selected by the applicant;
(ii) The design maximum weight (the highest weight at which compliance with each applicable structural loading condition of this part is shown);
(iii) The highest weight at which compliance with each applicable flight requirement of this part is shown; or
(iv) The highest weight in which the provisions of §§ 27.87 or 27.143(c)(1), or combinations thereof, are demonstrated if the weights and operating conditions (altitude and temperature) prescribed by those requirements cannot be met; and
(2) Not less than the sum of—
(i) The empty weight determined under § 27.29; and
(ii) The weight of usable fuel appropriate to the intended operation with full payload;
(iii) The weight of full oil capacity; and
(iv) For each seat, an occupant weight of 170 pounds or any lower weight for which certification is requested.
(b) Minimum weight. The minimum weight (the lowest weight at which compliance with each applicable requirement of this part is shown) must be established so that it is—
(1) Not more than the sum of—
(i) The empty weight determined under § 27.29; and
(ii) The weight of the minimum crew necessary to operate the rotorcraft, assuming for each crewmember a weight no more than 170 pounds, or any lower weight selected by the applicant or included in the loading instructions; and
(2) Not less than—
(i) The lowest weight selected by the applicant;
(ii) The design minimum weight (the lowest weight at which compliance with each applicable structural loading condition of this part is shown); or
(iii) The lowest weight at which compliance with each applicable flight requirement of this part is shown.
(c) Total weight with jettisonable external load. A total weight for the rotorcraft with a jettisonable external load attached that is greater than the maximum weight established under paragraph (a) of this section may be established for any rotorcraft-load combination if—
(1) The rotorcraft-load combination does not include human external cargo,
(2) Structural component approval for external load operations under either § 27.865 or under equivalent operational standards is obtained,
(3) The portion of the total weight that is greater than the maximum weight established under paragraph (a) of this section is made up only of the weight of all or part of the jettisonable external load,
(4) Structural components of the rotorcraft are shown to comply with the applicable structural requirements of this part under the increased loads and stresses caused by the weight increase over that established under paragraph (a) of this section, and
(5) Operation of the rotorcraft at a total weight greater than the maximum certificated weight established under paragraph (a) of this section is limited by appropriate operating limitations under § 27.865(a) and (d) of this part.
The extreme forward and aft centers of gravity and, where critical, the extreme lateral centers of gravity must be established for each weight established under § 27.25. Such an extreme may not lie beyond—
(a) The extremes selected by the applicant;
(b) The extremes within which the structure is proven; or
(c) The extremes within which compliance with the applicable flight requirements is shown.
(a) The empty weight and corresponding center of gravity must be determined by weighing the rotorcraft without the crew and payload, but with—
(1) Fixed ballast;
(2) Unusable fuel; and
(3) Full operating fluids, including—
(i) Oil;
(ii) Hydraulic fluid; and
(iii) Other fluids required for normal operation of roto-craft systems, except water intended for injection in the engines.
(b) The condition of the rotorcraft at the time of determining empty weight must be one that is well defined and can be easily repeated, particularly with respect to the weights of fuel, oil, coolant, and installed equipment.
Removable ballast may be used in showing compliance with the flight requirements of this subpart.
(a) Main rotor speed limits. A range of main rotor speeds must be established that—
(1) With power on, provides adequate margin to accommodate the variations in rotor speed occurring in any appropriate maneuver, and is consistent with the kind of governor or synchronizer used; and
(2) With power off, allows each appropriate autorotative maneuver to be performed throughout the ranges of airspeed and weight for which certification is requested.
(b) Normal main rotor high pitch limits (power on). For rotocraft, except helicopters required to have a main rotor low speed warning under paragraph (e) of this section. It must be shown, with power on and without exceeding approved engine maximum limitations, that main rotor speeds substantially less than the minimum approved main rotor speed will not occur under any sustained flight condition. This must be met by—
(1) Appropriate setting of the main rotor high pitch stop;
(2) Inherent rotorcraft characteristics that make unsafe low main rotor speeds unlikely; or
(3) Adequate means to warn the pilot of unsafe main rotor speeds.
(c) Normal main rotor low pitch limits (power off). It must be shown, with power off, that—
(1) The normal main rotor low pitch limit provides sufficient rotor speed, in any autorotative condition, under the most critical combinations of weight and airspeed; and
(2) It is possible to prevent overspeeding of the rotor without exceptional piloting skill.
(d) Emergency high pitch. If the main rotor high pitch stop is set to meet paragraph (b)(1) of this section, and if that stop cannot be exceeded inadvertently, additional pitch may be made available for emergency use.
(e) Main rotor low speed warning for helicopters. For each single engine helicopter, and each multiengine helicopter that does not have an approved device that automatically increases power on the operating engines when one engine fails, there must be a main rotor low speed warning which meets the following requirements:
(1) The warning must be furnished to the pilot in all flight conditions, including power-on and power-off flight, when the speed of a main rotor approaches a value that can jeopardize safe flight.
(2) The warning may be furnished either through the inherent aerodynamic qualities of the helicopter or by a device.
(3) The warning must be clear and distinct under all conditions, and must be clearly distinguishable from all other warnings. A visual device that requires the attention of the crew within the cockpit is not acceptable by itself.
(4) If a warning device is used, the device must automatically deactivate and reset when the low-speed condition is corrected. If the device has an audible warning, it must also be equipped with a means for the pilot to manually silence the audible warning before the low-speed condition is corrected.
(a) Unless otherwise prescribed, the performance requirements of this subpart must be met for still air and a standard atmosphere.
(b) The performance must correspond to the engine power available under the particular ambient atmospheric conditions, the particular flight condition, and the relative humidity specified in paragraphs (d) or (e) of this section, as appropriate.
(c) The available power must correspond to engine power, not exceeding the approved power, less—
(1) Installation losses; and
(2) The power absorbed by the accessories and services appropriate to the particular ambient atmospheric conditions and the particular flight condition.
(d) For reciprocating engine-powered rotorcraft, the performance, as affected by engine power, must be based on a relative humidity of 80 percent in a standard atmosphere.
(e) For turbine engine-powered rotorcraft, the performance, as affected by engine power, must be based on a relative humidity of—
(1) 80 percent, at and below standard temperature; and
(2) 34 percent, at and above standard temperature plus 50 degrees F. Between these two temperatures, the relative humidity must vary linearly.
(f) For turbine-engine-powered rotorcraft, a means must be provided to permit the pilot to determine prior to takeoff that each engine is capable of developing the power necessary to achieve the applicable rotorcraft performance prescribed in this subpart.
(a) For helicopters—
(1) The hovering ceiling must be determined over the ranges of weight, altitude, and temperature for which certification is requested, with—
(i) Takeoff power;
(ii) The landing gear extended; and
(iii) The helicopter in-ground effect at a height consistent with normal takeoff procedures; and
(2) The hovering ceiling determined under paragraph (a)(1) of this section must be at least—
(i) For reciprocating engine powered helicopters, 4,000 feet at maximum weight with a standard atmosphere;
(ii) For turbine engine powered helicopters, 2,500 feet pressure altitude at maximum weight at a temperature of standard plus 22 °C (standard plus 40 °F).
(3) The out-of-ground effect hovering performance must be determined over the ranges of weight, altitude, and temperature for which certification is requested, using takeoff power.
(b) For rotorcraft other than helicopters, the steady rate of climb at the minimum operating speed must be determined over the ranges of weight, altitude, and temperature for which certification is requested, with—
(1) Takeoff power; and
(2) The landing gear extended.
The takeoff, with takeoff power and r.p.m. at the most critical center of gravity, and with weight from the maximum weight at sea level to the weight for which takeoff certification is requested for each altitude covered by this section—
(a) May not require exceptional piloting skill or exceptionally favorable conditions throughout the ranges of altitude from standard sea level conditions to the maximum altitude for which takeoff and landing certification is requested, and
(b) Must be made in such a manner that a landing can be made safely at any point along the flight path if an engine fails. This must be demonstrated up to the maximum altitude for which takeoff and landing certification is requested or 7,000 feet density altitude, whichever is less.
(a) For rotorcraft other than helicopters—
(1) The steady rate of climb, at V
(i) With maximum continuous power on each engine;
(ii) With the landing gear retracted; and
(iii) For the weights, altitudes, and temperatures for which certification is requested; and
(2) The climb gradient, at the rate of climb determined in accordance with paragraph (a)(1) of this section, must be either—
(i) At least 1:10 if the horizontal distance required to take off and climb over a 50-foot obstacle is determined for each weight, altitude, and temperature within the range for which certification is requested; or
(ii) At least 1:6 under standard sea level conditions.
(b) Each helicopter must meet the following requirements:
(1) V
(i) For standard sea level conditions;
(ii) At maximum weight; and
(iii) With maximum continuous power on each engine.
(2) The steady rate of climb must be determined—
(i) At the climb speed selected by the applicant at or below V
(ii) Within the range from sea level up to the maximum altitude for which certification is requested;
(iii) For the weights and temperatures that correspond to the altitude range set forth in paragraph (b)(2)(ii) of this section and for which certification is requested; and
(iv) With maximum continuous power on each engine.
For multiengine helicopters, the steady rate of climb (or descent), at V
(a) Maximum weight;
(b) The critical engine inoperative and the remaining engines at either—
(1) Maximum continuous power and, for helicopters for which certification for the use of 30-minute OEI power is requested, at 30-minute OEI power; or
(2) Continuous OEI power for helicopters for which certification for the use of continuous OEI power is requested.
For single-engine helicopters and multiengine helicopters that do not meet the Category A engine isolation requirements of Part 29 of this chapter, the minimum rate of descent airspeed and the best angle-of-glide airspeed must be determined in autorotation at—
(a) Maximum weight; and
(b) Rotor speed(s) selected by the applicant.
(a) The rotorcraft must be able to be landed with no excessive vertical acceleration, no tendency to bounce, nose over, ground loop, porpoise, or water loop, and without exceptional piloting skill or exceptionally favorable conditions, with—
(1) Approach or autorotation speeds appropriate to the type of rotorcraft and selected by the applicant;
(2) The approach and landing made with—
(i) Power off, for single engine rotorcraft and entered from steady state autorotation; or
(ii) One-engine inoperative (OEI) for multiengine rotorcraft, with each operating engine within approved operating limitations, and entered from an established OEI approach.
(b) Multiengine rotorcraft must be able to be landed safely after complete power failure under normal operating conditions.
(a) If there is any combination of height and forward velocity (including hover) under which a safe landing cannot be made under the applicable power failure condition in paragraph (b) of this section, a limiting height-velocity envelope must be established (including all pertinent information) for that condition, throughout the ranges of—
(1) Altitude, from standard sea level conditions to the maximum altitude capability of the rotorcraft, or 7000 feet density altitude, whichever is less; and
(2) Weight, from the maximum weight at sea level to the weight selected by the applicant for each altitude covered by paragraph (a)(1) of this section. For helicopters, the weight at altitudes above sea level may not be less than the maximum weight or the highest weight allowing hovering out-of-ground effect, whichever is lower.
(b) The applicable power failure conditions are—
(1) For single-engine helicopters, full autorotation;
(2) For multiengine helicopters, OEI (where engine isolation features ensure continued operation of the remaining engines), and the remaining engine(s) within approved limits and at the minimum installed specification power available for the most critical combination of approved ambient temperature and pressure altitude resulting in 7000 feet density altitude or the maximum altitude capability of the helicopter, whichever is less, and
(3) For other rotorcraft, conditions appropriate to the type.
The rotorcraft must—
(a) Except as specifically required in the applicable section, meet the flight characteristics requirements of this subpart—
(1) At the altitudes and temperatures expected in operation;
(2) Under any critical loading condition within the range of weights and centers of gravity for which certification is requested;
(3) For power-on operations, under any condition of speed, power, and rotor r.p.m. for which certification is requested; and
(4) For power-off operations, under any condition of speed and rotor r.p.m. for which certification is requested that is attainable with the controls rigged in accordance with the approved rigging instructions and tolerances;
(b) Be able to maintain any required flight condition and make a smooth transition from any flight condition to any other flight condition without exceptional piloting skill, alertness, or strength, and without danger of exceeding the limit load factor under any operating condition probable for the type, including—
(1) Sudden failure of one engine, for multiengine rotorcraft meeting Transport Category A engine isolation requirements of Part 29 of this chapter;
(2) Sudden, complete power failure for other rotorcraft; and
(3) Sudden, complete control system failures specified in § 27.695 of this part; and
(c) Have any additional characteristic required for night or instrument operation, if certification for those kinds of operation is requested. Requirements for helicopter instrument flight are contained in appendix B of this part.
(a) The rotorcraft must be safely controllable and maneuverable—
(1) During steady flight; and
(2) During any maneuver appropriate to the type, including—
(i) Takeoff;
(ii) Climb;
(iii) Level flight;
(iv) Turning flight;
(v) Autorotation;
(vi) Landing (power on and power off); and
(vii) Recovery to power-on flight from a balked autorotative approach.
(b) The margin of cyclic control must allow satisfactory roll and pitch control at V
(1) Critical weight;
(2) Critical center of gravity;
(3) Critical rotor r.p.m.; and
(4) Power off (except for helicopters demonstrating compliance with paragraph (f) of this section) and power on.
(c) Wind velocities from zero to at least 17 knots, from all azimuths, must be established in which the rotorcraft can be operated without loss of control on or near the ground in any maneuver appropriate to the type (such as crosswind takeoffs, sideward flight, and rearward flight)—
(1) With altitude, from standard sea level conditions to the maximum takeoff and landing altitude capability of the rotorcraft or 7000 feet density altitude, whichever is less; with—
(i) Critical Weight;
(ii) Critical center of gravity;
(iii) Critical rotor r.p.m.;
(2) For takeoff and landing altitudes above 7000 feet density altitude with—
(i) Weight selected by the applicant;
(ii) Critical center of gravity; and
(iii) Critical rotor r.p.m.
(d) Wind velocities from zero to at least 17 knots, from all azimuths, must be established in which the rotorcraft can be operated without loss of control out-of-ground-effect, with—
(1) Weight selected by the applicant;
(2) Critical center of gravity;
(3) Rotor r.p.m. selected by the applicant; and
(4) Altitude, from standard sea level conditions to the maximum takeoff and landing altitude capability of the rotorcraft.
(e) The rotorcraft, after (1) failure of one engine in the case of multiengine rotorcraft that meet Transport Category A engine isolation requirements, or (2) complete engine failure in the case of other rotorcraft, must be controllable over the range of speeds and altitudes for which certification is requested when such power failure occurs with maximum continuous power and critical weight. No corrective action time delay for any condition following power failure may be less than—
(i) For the cruise condition, one second, or normal pilot reaction time (whichever is greater); and
(ii) For any other condition, normal pilot reaction time.
(f) For helicopters for which a V
(1) The helicopter must be safely slowed to V
(2) At a speed of 1.1 V
(a) Longitudinal, lateral, directional, and collective controls may not exhibit excessive breakout force, friction, or preload.
(b) Control system forces and free play may not inhibit a smooth, direct rotorcraft response to control system input.
The trim control—
(a) Must trim any steady longitudinal, lateral, and collective control forces to zero in level flight at any appropriate speed; and
(b) May not introduce any undesirable discontinuities in control force gradients.
The rotorcraft must be able to be flown, without undue pilot fatigue or strain, in any normal maneuver for a period of time as long as that expected in normal operation. At least three landings and takeoffs must be made during this demonstration.
(a) The longitudinal control must be designed so that a rearward movement of the control is necessary to obtain an airspeed less than the trim speed, and a forward movement of the control is necessary to obtain an airspeed more than the trim speed.
(b) Throughout the full range of altitude for which certification is requested, with the throttle and collective pitch held constant during the maneuvers specified in § 27.175(a) through (d), the slope of the control position versus airspeed curve must be positive. However, in limited flight conditions or modes of operation determined by the Administrator to be acceptable, the slope of the control position versus airspeed curve may be neutral or negative if the rotorcraft possesses flight characteristics that allow the pilot to maintain airspeed within ±5 knots of the desired trim airspeed without exceptional piloting skill or alertness.
(a) Climb. Static longitudinal stability must be shown in the climb condition at speeds from Vy − 10 kt to Vy + 10 kt with—
(1) Critical weight;
(2) Critical center of gravity;
(3) Maximum continuous power;
(4) The landing gear retracted; and
(5) The rotorcraft trimmed at V
(b) Cruise. Static longitudinal stability must be shown in the cruise condition at speeds from 0.8 V
(1) Critical weight;
(2) Critical center of gravity;
(3) Power for level flight at 0.8 V
(4) The landing gear retracted; and
(5) The rotorcraft trimmed at 0.8 V
(c) V
(1) Critical weight;
(2) Critical center of gravity;
(3) Power required for level flight at V
(4) The landing gear retracted; and
(5) The rotorcraft trimmed at V
(d) Autorotation. Static longitudinal stability must be shown in autorotation at—
(1) Airspeeds from the minimum rate of descent airspeed−10 kt to the minimum rate of descent airspeed + 10 kt, with—
(i) Critical weight;
(ii) Critical center of gravity;
(iii) The landing gear extended; and
(iv) The rotorcraft trimmed at the minimum rate of descent airspeed.
(2) Airspeeds from best angle-of-glide airspeed−10 kt to the best angle-of-glide airspeed + 10 kt, with—
(i) Critical weight;
(ii) Critical center of gravity;
(iii) The landing gear retracted; and
(iv) The rotorcraft trimmed at the best angle-of-glide airspeed.
(a) The directional controls must operate in such a manner that the sense and direction of motion of the rotorcraft following control displacement are in the direction of the pedal motion with the throttle and collective controls held constant at the trim conditions specified in § 27.175(a), (b), and (c). Sideslip angles must increase with steadily increasing directional control deflection for sideslip angles up to the lesser of—
(1) ±25 degrees from trim at a speed of 15 knots less than the speed for minimum rate of descent varying linearly to ±10 degrees from trim at V
(2) The steady state sideslip angles established by § 27.351;
(3) A sideslip angle selected by the applicant, which corresponds to a sideforce of at least 0.1g; or
(4) The sideslip angle attained by maximum directional control input.
(b) Sufficient cues must accompany the sideslip to alert the pilot when the aircraft is approaching the sideslip limits.
(c) During the maneuver specified in paragraph (a) of this section, the sideslip angle versus directional control position curve may have a negative slope within a small range of angles around trim, provided the desired heading can be maintained without exceptional piloting skill or alertness.
The rotorcraft must have satisfactory ground and water handling characteristics, including freedom from uncontrollable tendencies in any condition expected in operation.
The rotorcraft must be designed to withstand the loads that would occur when the rotorcraft is taxied over the roughest ground that may reasonably be expected in normal operation.
If certification for water operation is requested, no spray characteristics during taxiing, takeoff, or landing may obscure the vision of the pilot or damage the rotors, propellers, or other parts of the rotorcraft.
The rotorcraft may have no dangerous tendency to oscillate on the ground with the rotor turning.
Each part of the rotorcraft must be free from excessive vibration under each appropriate speed and power condition.
(a) Strength requirements are specified in terms of limit loads (the maximum loads to be expected in service) and ultimate loads (limit loads multiplied by prescribed factors of safety). Unless otherwise provided, prescribed loads are limit loads.
(b) Unless otherwise provided, the specified air, ground, and water loads must be placed in equilibrium with inertia forces, considering each item of mass in the rotorcraft. These loads must be distributed to closely approximate or conservatively represent actual conditions.
(c) If deflections under load would significantly change the distribution of external or internal loads, this redistribution must be taken into account.
Unless otherwise provided, a factor of safety of 1.5 must be used. This factor applies to external and inertia loads unless its application to the resulting internal stresses is more conservative.
(a) The structure must be able to support limit loads without detrimental or permanent deformation. At any load up to limit loads, the deformation may not interfere with safe operation.
(b) The structure must be able to support ultimate loads without failure. This must be shown by—
(1) Applying ultimate loads to the structure in a static test for at least three seconds; or
(2) Dynamic tests simulating actual load application.
(a) Compliance with the strength and deformation requirements of this subpart must be shown for each critical loading condition accounting for the environment to which the structure will be exposed in operation. Structural analysis (static or fatigue) may be used only if the structure conforms to those structures for which experience has shown this method to be reliable. In other cases, substantiating load tests must be made.
(b) Proof of compliance with the strength requirements of this subpart must include—
(1) Dynamic and endurance tests of rotors, rotor drives, and rotor controls;
(2) Limit load tests of the control system, including control surfaces;
(3) Operation tests of the control system;
(4) Flight stress measurement tests;
(5) Landing gear drop tests; and
(6) Any additional test required for new or unusual design features.
The following values and limitations must be established to show compliance with the structural requirements of this subpart:
(a) The design maximum weight.
(b) The main rotor r.p.m. ranges power on and power off.
(c) The maximum forward speeds for each main rotor r.p.m. within the ranges determined under paragraph (b) of this section.
(d) The maximum rearward and sideward flight speeds.
(e) The center of gravity limits corresponding to the limitations determined under paragraphs (b), (c), and (d) of this section.
(f) The rotational speed ratios between each powerplant and each connected rotating component.
(g) The positive and negative limit maneuvering load factors.
(a) The flight load factor must be assumed to act normal to the longitudinal axis of the rotorcraft, and to be equal in magnitude and opposite in direction to the rotorcraft inertia load factor at the center of gravity.
(b) Compliance with the flight load requirements of this subpart must be shown—
(1) At each weight from the design minimum weight to the design maximum weight; and
(2) With any practical distribution of disposable load within the operating limitations in the Rotorcraft Flight Manual.
The rotorcraft must be designed for—
(a) A limit maneuvering load factor ranging from a positive limit of 3.5 to a negative limit of −1.0; or
(b) Any positive limit maneuvering load factor not less than 2.0 and any negative limit maneuvering load factor of not less than −0.5 for which—
(1) The probability of being exceeded is shown by analysis and flight tests to be extremely remote; and
(2) The selected values are appropriate to each weight condition between the design maximum and design minimum weights.
The loads resulting from the application of limit maneuvering load factors are assumed to act at the center of each rotor hub and at each auxiliary lifting surface, and to act in directions, and with distributions of load among the rotors and auxiliary lifting surfaces, so as to represent each critical maneuvering condition, including power-on and power-off flight with the maximum design rotor tip speed ratio. The rotor tip speed ratio is the ratio of the rotorcraft flight velocity component in the plane of the rotor disc to the rotational tip speed of the rotor blades, and is expressed as follows:
The rotorcraft must be designed to withstand, at each critical airspeed including hovering, the loads resulting from a vertical gust of 30 feet per second.
(a) Each rotorcraft must be designed for the loads resulting from the maneuvers specified in paragraphs (b) and (c) of this section with—
(1) Unbalanced aerodynamic moments about the center of gravity which the aircraft reacts to in a rational or conservative manner considering the principal masses furnishing the reacting inertia forces; and
(2) Maximum main rotor speed.
(b) To produce the load required in paragraph (a) of this section, in unaccelerated flight with zero yaw, at forward speeds from zero up to 0.6 V
(1) Displace the cockpit directional control suddenly to the maximum deflection limited by the control stops or by the maximum pilot force specified in § 27.397(a);
(2) Attain a resulting sideslip angle or 90°, whichever is less; and
(3) Return the directional control suddenly to neutral.
(c) To produce the load required in paragraph (a) of this section, in unaccelerated flight with zero yaw, at forward speeds from 0.6 V
(1) Displace the cockpit directional control suddenly to the maximum deflection limited by the control stops or by the maximum pilot force specified in § 27.397(a);
(2) Attain a resulting sideslip angle or 15°, whichever is less, at the lesser speed of V
(3) Vary the sideslip angles of paragraphs (b)(2) and (c)(2) of this section directly with speed; and
(4) Return the directional control suddenly to neutral.
(a) For turbine engines, the limit torque may not be less than the highest of—
(1) The mean torque for maximum continuous power multiplied by 1.25;
(2) The torque required by § 27.923;
(3) The torque required by § 27.927; or
(4) The torque imposed by sudden engine stoppage due to malfunction or structural failure (such as compressor jamming).
(b) For reciprocating engines, the limit torque may not be less than the mean torque for maximum continuous power multiplied by—
(1) 1.33, for engines with five or more cylinders; and
(2) Two, three, and four, for engines with four, three, and two cylinders, respectively.
Each auxiliary rotor, each fixed or movable stabilizing or control surface, and each system operating any flight control must meet the requirements of §§ 27.395, 27.397, 27.399, 27.411, and 27.427.
(a) The part of each control system from the pilot's controls to the control stops must be designed to withstand pilot forces of not less than—
(1) The forces specified in § 27.397; or
(2) If the system prevents the pilot from applying the limit pilot forces to the system, the maximum forces that the system allows the pilot to apply, but not less than 0.60 times the forces specified in § 27.397.
(b) Each primary control system, including its supporting structure, must be designed as follows:
(1) The system must withstand loads resulting from the limit pilot forces prescribed in § 27.397.
(2) Notwithstanding paragraph (b)(3) of this section, when power-operated actuator controls or power boost controls are used, the system must also withstand the loads resulting from the force output of each normally energized power device, including any single power boost or actuator system failure.
(3) If the system design or the normal operating loads are such that a part of the system cannot react to the limit pilot forces prescribed in § 27.397, that part of the system must be designed to withstand the maximum loads that can be obtained in normal operation. The minimum design loads must, in any case, provide a rugged system for service use, including consideration of fatigue, jamming, ground gusts, control inertia, and friction loads. In the absence of rational analysis, the design loads resulting from 0.60 of the specified limit pilot forces are acceptable minimum design loads.
(4) If operational loads may be exceeded through jamming, ground gusts, control inertia, or friction, the system must withstand the limit pilot forces specified in § 27.397, without yielding.
(a) Except as provided in paragraph (b) of this section, the limit pilot forces are as follows:
(1) For foot controls, 130 pounds.
(2) For stick controls, 100 pounds fore and aft, and 67 pounds laterally.
(b) For flap, tab, stabilizer, rotor brake, and landing gear operating controls, the follows apply (R = radius in inches):
(1) Crank, wheel, and lever controls, [1 + R]/3 × 50 pounds, but not less than 50 pounds nor more than 100 pounds for hand operated controls or 130 pounds for foot operated controls, applied at any angle within 20 degrees of the plane of motion of the control.
(2) Twist controls, 80R inch-pounds.
Each dual primary flight control system must be designed to withstand the loads that result when pilot forces of 0.75 times those obtained under § 27.395 are applied—
(a) In opposition; and
(b) In the same direction.
(a) It must be impossible for the tail rotor to contact the landing surface during a normal landing.
(b) If a tail rotor guard is required to show compliance with paragraph (a) of this section—
(1) Suitable design loads must be established for the guard; and
(2) The guard and its supporting structure must be designed to withstand those loads.
(a) Horizontal tail surfaces and their supporting structure must be designed for unsymmetrical loads arising from yawing and rotor wake effects in combination with the prescribed flight conditions.
(b) To meet the design criteria of paragraph (a) of this section, in the absence of more rational data, both of the following must be met:
(1) One hundred percent of the maximum loading from the symmetrical flight conditions acts on the surface on one side of the plane of symmetry, and no loading acts on the other side.
(2) Fifty percent of the maximum loading from the symmetrical flight conditions acts on the surface on each side of the plane of symmetry but in opposite directions.
(c) For empennage arrangements where the horizontal tail surfaces are supported by the vertical tail surfaces, the vertical tail surfaces and supporting structure must be designed for the combined vertical and horizontal surface loads resulting from each prescribed flight condition, considered separately. The flight conditions must be selected so the maximum design loads are obtained on each surface. In the absence of more rational data, the unsymmetrical horizontal tail surface loading distributions described in this section must be assumed.
(a) Loads and equilibrium. For limit ground loads—
(1) The limit ground loads obtained in the landing conditions in this part must be considered to be external loads that would occur in the rotorcraft structure if it were acting as a rigid body; and
(2) In each specified landing condition, the external loads must be placed in equilibrium with linear and angular inertia loads in a rational or conservative manner.
(b) Critical centers of gravity. The critical centers of gravity within the range for which certification is requested must be selected so that the maximum design loads are obtained in each landing gear element.
(a) For specified landing conditions, a design maximum weight must be used that is not less than the maximum weight. A rotor lift may be assumed to act through the center of gravity throughout the landing impact. This lift may not exceed two-thirds of the design maximum weight.
(b) Unless otherwise prescribed, for each specified landing condition, the rotorcraft must be designed for a limit load factor of not less than the limit inertia load factor substantiated under § 27.725.
Unless otherwise prescribed, for each specified landing condition, the tires must be assumed to be in their static position and the shock absorbers to be in their most critical position.
Sections 27.235, 27.479 through 27.485, and 27.493 apply to landing gear with two wheels aft, and one or more wheels forward, of the center of gravity.
(a) Attitudes. Under each of the loading conditions prescribed in paragraph (b) of this section, the rotorcraft is assumed to be in each of the following level landing attitudes:
(1) An attitude in which all wheels contact the ground simultaneously.
(2) An attitude in which the aft wheels contact the ground with the forward wheels just clear of the ground.
(b) Loading conditions. The rotorcraft must be designed for the following landing loading conditions:
(1) Vertical loads applied under § 27.471.
(2) The loads resulting from a combination of the loads applied under paragraph (b)(1) of this section with drag loads at each wheel of not less than 25 percent of the vertical load at that wheel.
(3) If there are two wheels forward, a distribution of the loads applied to those wheels under paragraphs (b)(1) and (2) of this section in a ratio of 40:60.
(c) Pitching moments. Pitching moments are assumed to be resisted by—
(1) In the case of the attitude in paragraph (a)(1) of this section, the forward landing gear; and
(2) In the case of the attitude in paragraph (a)(2) of this section, the angular inertia forces.
(a) The rotorcraft is assumed to be in the maximum nose-up attitude allowing ground clearance by each part of the rotorcraft.
(b) In this attitude, ground loads are assumed to act perpendicular to the ground.
For the one-wheel landing condition, the rotorcraft is assumed to be in the level attitude and to contact the ground on one aft wheel. In this attitude—
(a) The vertical load must be the same as that obtained on that side under § 27.479(b)(1); and
(b) The unbalanced external loads must be reacted by rotorcraft inertia.
(a) The rotorcraft is assumed to be in the level landing attitude, with—
(1) Side loads combined with one-half of the maximum ground reactions obtained in the level landing conditions of § 27.479 (b)(1); and
(2) The loads obtained under paragraph (a)(1) of this section applied—
(i) At the ground contact point; or
(ii) For full-swiveling gear, at the center of the axle.
(b) The rotorcraft must be designed to withstand, at ground contact—
(1) When only the aft wheels contact the ground, side loads of 0.8 times the vertical reaction acting inward on one side, and 0.6 times the vertical reaction acting outward on the other side, all combined with the vertical loads specified in paragraph (a) of this section; and
(2) When all wheels contact the ground simultaneously—
(i) For the aft wheels, the side loads specified in paragraph (b)(1) of this section; and
(ii) For the forward wheels, a side load of 0.8 times the vertical reaction combined with the vertical load specified in paragraph (a) of this section.
Under braked roll conditions with the shock absorbers in their static positions—
(a) The limit vertical load must be based on a load factor of at least—
(1) 1.33, for the attitude specified in § 27.479(a)(1); and
(2) 1.0 for the attitude specified in § 27.479(a)(2); and
(b) The structure must be designed to withstand at the ground contact point of each wheel with brakes, a drag load at least the lesser of—
(1) The vertical load multiplied by a coefficient of friction of 0.8; and
(2) The maximum value based on limiting brake torque.
(a) General. Rotorcraft with landing gear with two wheels forward, and one wheel aft, of the center of gravity must be designed for loading conditions as prescribed in this section.
(b) Level landing attitude with only the forward wheels contacting the ground. In this attitude—
(1) The vertical loads must be applied under §§ 27.471 through 27.475;
(2) The vertical load at each axle must be combined with a drag load at that axle of not less than 25 percent of that vertical load; and
(3) Unbalanced pitching moments are assumed to be resisted by angular inertia forces.
(c) Level landing attitude with all wheels contacting the ground simultaneously. In this attitude, the rotorcraft must be designed for landing loading conditions as prescribed in paragraph (b) of this section.
(d) Maximum nose-up attitude with only the rear wheel contacting the ground. The attitude for this condition must be the maximum nose-up attitude expected in normal operation, including autorotative landings. In this attitude—
(1) The appropriate ground loads specified in paragraphs (b)(1) and (2) of this section must be determined and applied, using a rational method to account for the moment arm between the rear wheel ground reaction and the rotorcraft center of gravity; or
(2) The probability of landing with initial contact on the rear wheel must be shown to be extremely remote.
(e) Level landing attitude with only one forward wheel contacting the ground. In this attitude, the rotorcraft must be designed for ground loads as specified in paragraphs (b)(1) and (3) of this section.
(f) Side loads in the level landing attitude. In the attitudes specified in paragraphs (b) and (c) of this section, the following apply:
(1) The side loads must be combined at each wheel with one-half of the maximum vertical ground reactions obtained for that wheel under paragraphs (b) and (c) of this section. In this condition, the side loads must be—
(i) For the forward wheels, 0.8 times the vertical reaction (on one side) acting inward, and 0.6 times the vertical reaction (on the other side) acting outward; and
(ii) For the rear wheel, 0.8 times the vertical reaction.
(2) The loads specified in paragraph (f)(1) of this section must be applied—
(i) At the ground contact point with the wheel in the trailing position (for non-full swiveling landing gear or for full swiveling landing gear with a lock, steering device, or shimmy damper to keep the wheel in the trailing position); or
(ii) At the center of the axle (for full swiveling landing gear without a lock, steering device, or shimmy damper).
(g) Braked roll conditions in the level landing attitude. In the attitudes specified in paragraphs (b) and (c) of this section, and with the shock absorbers in their static positions, the rotorcraft must be designed for braked roll loads as follows:
(1) The limit vertical load must be based on a limit vertical load factor of not less than—
(i) 1.0, for the attitude specified in paragraph (b) of this section; and
(ii) 1.33, for the attitude specified in paragraph (c) of this section.
(2) For each wheel with brakes, a drag load must be applied, at the ground contact point, of not less than the lesser of—
(i) 0.8 times the vertical load; and
(ii) The maximum based on limiting brake torque.
(h) Rear wheel turning loads in the static ground attitude. In the static ground attitude, and with the shock absorbers and tires in their static positions, the rotorcraft must be designed for rear wheel turning loads as follows:
(1) A vertical ground reaction equal to the static load on the rear wheel must be combined with an equal sideload.
(2) The load specified in paragraph (h)(1) of this section must be applied to the rear landing gear—
(i) Through the axle, if there is a swivel (the rear wheel being assumed to be swiveled 90 degrees to the longitudinal axis of the rotorcraft); or
(ii) At the ground contact point, if there is a lock, steering device or shimmy damper (the rear wheel being assumed to be in the trailing position).
(i) Taxiing condition. The rotorcraft and its landing gear must be designed for loads that would occur when the rotorcraft is taxied over the roughest ground that may reasonably be expected in normal operation.
(a) General. Rotorcraft with landing gear with skids must be designed for the loading conditions specified in this section. In showing compliance with this section, the following apply:
(1) The design maximum weight, center of gravity, and load factor must be determined under §§ 27.471 through 27.475.
(2) Structural yielding of elastic spring members under limit loads is acceptable.
(3) Design ultimate loads for elastic spring members need not exceed those obtained in a drop test of the gear with—
(i) A drop height of 1.5 times that specified in § 27.725; and
(ii) An assumed rotor lift of not more than 1.5 times that used in the limit drop tests prescribed in § 27.725.
(4) Compliance with paragraphs (b) through (e) of this section must be shown with—
(i) The gear in its most critically deflected position for the landing condition being considered; and
(ii) The ground reactions rationally distributed along the bottom of the skid tube.
(b) Vertical reactions in the level landing attitude. In the level attitude, and with the rotorcraft contacting the ground along the bottom of both skids, the vertical reactions must be applied as prescribed in paragraph (a) of this section.
(c) Drag reactions in the level landing attitude. In the level attitude, and with the rotorcraft contacting the ground along the bottom of both skids, the following apply:
(1) The vertical reactions must be combined with horizontal drag reactions of 50 percent of the vertical reaction applied at the ground.
(2) The resultant ground loads must equal the vertical load specified in paragraph (b) of this section.
(d) Sideloads in the level landing attitude. In the level attitude,and with the rotorcraft contacting the ground along the bottom of both skids, the following apply:
(1) The vertical ground reaction must be—
(i) Equal to the vertical loads obtained in the condition specified in paragraph (b) of this section; and
(ii) Divided equally among the skids.
(2) The vertical ground reactions must be combined with a horizontal sideload of 25 percent of their value.
(3) The total sideload must be applied equally between the skids and along the length of the skids.
(4) The unbalanced moments are assumed to be resisted by angular inertia.
(5) The skid gear must be investigated for—
(i) Inward acting sideloads; and
(ii) Outward acting sideloads.
(e) One-skid landing loads in the level attitude. In the level attitude, and with the rotorcraft contacting the ground along the bottom of one skid only, the following apply:
(1) The vertical load on the ground contact side must be the same as that obtained on that side in the condition specified in paragraph (b) of this section.
(2) The unbalanced moments are assumed to be resisted by angular inertia.
(f) Special conditions. In addition to the conditions specified in paragraphs (b) and (c) of this section, the rotorcraft must be designed for the following ground reactions:
(1) A ground reaction load acting up and aft at an angle of 45 degrees to the longitudinal axis of the rotorcraft. This load must be—
(i) Equal to 1.33 times the maximum weight;
(ii) Distributed symmetrically among the skids;
(iii) Concentrated at the forward end of the straight part of the skid tube; and
(iv) Applied only to the forward end of the skid tube and its attachment to the rotorcraft.
(2) With the rotorcraft in the level landing attitude, a vertical ground reaction load equal to one-half of the vertical load determined under paragraph (b) of this section. This load must be—
(i) Applied only to the skid tube and its attachment to the rotorcraft; and
(ii) Distributed equally over 33.3 percent of the length between the skid tube attachments and centrally located midway between the skid tube attachments.
If certification for ski operation is requested, the rotorcraft, with skis, must be designed to withstand the following loading conditions (where P is the maximum static weight on each ski with the rotorcraft at design maximum weight, and n is the limit load factor determined under § 27.473(b).
(a) Up-load conditions in which—
(1) A vertical load of Pn and a horizontal load of Pn/4 are simultaneously applied at the pedestal bearings; and
(2) A vertical load of 1.33 P is applied at the pedestal bearings.
(b) A side-load condition in which a side load of 0.35 Pn is applied at the pedestal bearings in a horizontal plane perpendicular to the centerline of the rotorcraft.
(c) A torque-load condition in which a torque load of 1.33 P (in foot pounds) is applied to the ski about the vertical axis through the centerline of the pedestal bearings.
If certification for float operation is requested, the rotorcraft, with floats, must be designed to withstand the following loading conditions (where the limit load factor is determined under § 27.473(b) or assumed to be equal to that determined for wheel landing gear):
(a) Up-load conditions in which—
(1) A load is applied so that, with the rotorcraft in the static level attitude, the resultant water reaction passes vertically through the center of gravity; and
(2) The vertical load prescribed in paragraph (a)(1) of this section is applied simultaneously with an aft component of 0.25 times the vertical component.
(b) A side-load condition in which—
(1) A vertical load of 0.75 times the total vertical load specified in paragraph (a)(1) of this section is divided equally among the floats; and
(2) For each float, the load share determined under paragraph (b)(1) of this section, combined with a total side load of 0.25 times the total vertical load specified in paragraph (b)(1) of this section, is applied to that float only.
(a) Each main rotor assembly (including rotor hubs and blades) must be designed as prescribed in this section.
(b) [Reserved]
(c) The main rotor structure must be designed to withstand the following loads prescribed in §§ 27.337 through 27.341:
(1) Critical flight loads.
(2) Limit loads occurring under normal conditions of autorotation. For this condition, the rotor r.p.m. must be selected to include the effects of altitude.
(d) The main rotor structure must be designed to withstand loads simulating—
(1) For the rotor blades, hubs, and flapping hinges, the impact force of each blade against its stop during ground operation; and
(2) Any other critical condition expected in normal operation.
(e) The main rotor structure must be designed to withstand the limit torque at any rotational speed, including zero. In addition:
(1) The limit torque need not be greater than the torque defined by a torque limiting device (where provided), and may not be less than the greater of—
(i) The maximum torque likely to be transmitted to the rotor structure in either direction; and
(ii) The limit engine torque specified in § 27.361.
(2) The limit torque must be distributed to the rotor blades in a rational manner.
(a) Each fuselage, landing gear, and rotor pylon structure must be designed as prescribed in this section. Resultant rotor forces may be represented as a single force applied at the rotor hub attachment point.
(b) Each structure must be designed to withstand—
(1) The critical loads prescribed in §§ 27.337 through 27.341;
(2) The applicable ground loads prescribed in §§ 27.235, 27.471 through 27.485, 27.493, 27.497, 27.501, 27.505, and 27.521; and
(3) The loads prescribed in § 27.547 (d)(2) and (e).
(c) Auxiliary rotor thrust, and the balancing air and inertia loads occurring under accelerated flight conditions, must be considered.
(d) Each engine mount and adjacent fuselage structure must be designed to withstand the loads occurring under accelerated flight and landing conditions, including engine torque.
(a) The rotorcraft, although it may be damaged in emergency landing conditions on land or water, must be designed as prescribed in this section to protect the occupants under those conditions.
(b) The structure must be designed to give each occupant every reasonable chance of escaping serious injury in a crash landing when—
(1) Proper use is made of seats, belts, and other safety design provisions;
(2) The wheels are retracted (where applicable); and
(3) Each occupant and each item of mass inside the cabin that could injure an occupant is restrained when subjected to the following ultimate inertial load factors relative to the surrounding structure:
(i) Upward—4g.
(ii) Forward—16g.
(iii) Sideward—8g.
(iv) Downward—20g, after intended displacement of the seat device.
(v) Rearward—1.5g.
(c) The supporting structure must be designed to restrain, under any ultimate inertial load up to those specified in this paragraph, any item of mass above and/or behind the crew and passenger compartment that could injure an occupant if it came loose in an emergency landing. Items of mass to be considered include, but are not limited to, rotors, transmissions, and engines. The items of mass must be restrained for the following ultimate inertial load factors:
(1) Upward—1.5g.
(2) Forward—12g.
(3) Sideward—6g.
(4) Downward—12g.
(5) Rearward—1.5g
(d) Any fuselage structure in the area of internal fuel tanks below the passenger floor level must be designed to resist the following ultimate inertial factors and loads and to protect the fuel tanks from rupture when those loads are applied to that area:
(i) Upward—1.5g.
(ii) Forward—4.0g.
(iii) Sideward—2.0g.
(iv) Downward—4.0g.
(a) The rotorcraft, although it may be damaged in an emergency crash landing, must be designed to reasonably protect each occupant when—
(1) The occupant properly uses the seats, safety belts, and shoulder harnesses provided in the design; and
(2) The occupant is exposed to the loads resulting from the conditions prescribed in this section.
(b) Each seat type design or other seating device approved for crew or passenger occupancy during takeoff and landing must successfully complete dynamic tests or be demonstrated by rational analysis based on dynamic tests of a similar type seat in accordance with the following criteria. The tests must be conducted with an occupant, simulated by a 170-pound anthropomorphic test dummy (ATD), as defined by 49 CFR 572, subpart B, or its equivalent, sitting in the normal upright position.
(1) A change in downward velocity of not less than 30 feet per second when the seat or other seating device is oriented in its nominal position with respect to the rotorcraft's reference system, the rotorcraft's longitudinal axis is canted upward 60° with respect to the impact velocity vector, and the rotorcraft's lateral axis is perpendicular to a vertical plane containing the impact velocity vector and the rotorcraft's longitudinal axis. Peak floor deceleration must occur in not more than 0.031 seconds after impact and must reach a minimum of 30g's.
(2) A change in forward velocity of not less than 42 feet per second when the seat or other seating device is oriented in its nominal position with respect to the rotorcraft's reference system, the rotorcraft's longitudinal axis is yawed 10° either right or left of the impact velocity vector (whichever would cause the greatest load on the shoulder harness), the rotorcraft's lateral axis is contained in a horizontal plane containing the impact velocity vector, and the rotorcraft's vertical axis is perpendicular to a horizontal plane containing the impact velocity vector. Peak floor deceleration must occur in not more than 0.071 seconds after impact and must reach a minimum of 18.4g's.
(3) Where floor rails or floor or sidewall attachment devices are used to attach the seating devices to the airframe structure for the conditions of this section, the rails or devices must be misaligned with respect to each other by at least 10° vertically (i.e., pitch out of parallel) and by at least a 10° lateral roll, with the directions optional, to account for possible floor warp.
(c) Compliance with the following must be shown:
(1) The seating device system must remain intact although it may experience separation intended as part of its design.
(2) The attachment between the seating device and the airframe structure must remain intact, although the structure may have exceeded its limit load.
(3) The ATD's shoulder harness strap or straps must remain on or in the immediate vicinity of the ATD's shoulder during the impact.
(4) The safety belt must remain on the ATD's pelvis during the impact.
(5) The ATD's head either does not contact any portion of the crew or passenger compartment, or if contact is made, the head impact does not exceed a head injury criteria (HIC) of 1,000 as determined by this equation.
(6) Loads in individual upper torso harness straps must not exceed 1,750 pounds. If dual straps are used for retaining the upper torso, the total harness strap loads must not exceed 2,000 pounds.
(7) The maximum compressive load measured between the pelvis and the lumbar column of the ATD must not exceed 1,500 pounds.
(d) An alternate approach that achieves an equivalent or greater level of occupant protection, as required by this section, must be substantiated on a rational basis.
If certification with ditching provisions is requested, structural strength for ditching must meet the requirements of this section and § 27.801(e).
(a) Forward speed landing conditions. The rotorcraft must initially contact the most critical wave for reasonably probable water conditions at forward velocities from zero up to 30 knots in likely pitch, roll, and yaw attitudes. The rotorcraft limit vertical descent velocity may not be less than 5 feet per second relative to the mean water surface. Rotor lift may be used to act through the center of gravity throughout the landing impact. This lift may not exceed two-thirds of the design maximum weight. A maximum forward velocity of less than 30 knots may be used in design if it can be demonstrated that the forward velocity selected would not be exceeded in a normal one-engine-out touchdown.
(b) Auxiliary or emergency float conditions—(1) Floats fixed or deployed before initial water contact. In addition to the landing loads in paragraph (a) of this section, each auxiliary or emergency float, of its support and attaching structure in the airframe or fuselage, must be designed for the load developed by a fully immersed float unless it can be shown that full immersion is unlikely. If full immersion is unlikely, the highest likely float buoyancy load must be applied. The highest likely buoyancy load must include consideration of a partially immersed float creating restoring moments to compensate the upsetting moments caused by side wind, unsymmetrical rotorcraft loading, water wave action, rotorcraft inertia, and probable structural damage and leakage considered under § 27.801(d). Maximum roll and pitch angles determined from compliance with § 27.801(d) may be used, if significant, to determine the extent of immersion of each float. If the floats are deployed in flight, appropriate air loads derived from the flight limitations with the floats deployed shall be used in substantiation of the floats and their attachment to the rotorcraft. For this purpose, the design airspeed for limit load is the float deployed airspeed operating limit multiplied by 1.11.
(2) Floats deployed after initial water contact. Each float must be designed for full or partial immersion perscribed in paragraph (b)(1) of this section. In addition, each float must be designed for combined vertical and drag loads using a relative limit speed of 20 knots between the rotorcraft and the water. The vertical load may not be less than the highest likely buoyancy load determined under paragraph (b)(1) of this section.
(a) General. Each portion of the flight structure (the flight structure includes rotors, rotor drive systems between the engines and the rotor hubs, controls, fuselage, landing gear, and their related primary attachments), the failure of which could be catastrophic, must be identified and must be evaluated under paragraph (b), (c), (d), or (e) of this section. The following apply to each fatigue evaluation:
(1) The procedure for the evaluation must be approved.
(2) The locations of probable failure must be determined.
(3) Inflight measurement must be included in determining the following:
(i) Loads or stresses in all critical conditions throughout the range of limitations in § 27.309, except that maneuvering load factors need not exceed the maximum values expected in operation.
(ii) The effect of altitude upon these loads or stresses.
(4) The loading spectra must be as severe as those expected in operation including, but not limited to, external cargo operations, if applicable, and ground-air-ground cycles. The loading spectra must be based on loads or stresses determined under paragraph (a)(3) of this section.
(b) Fatigue tolerance evaluation. It must be shown that the fatigue tolerance of the structure ensures that the probability of catastrophic fatigue failure is extremely remote without establishing replacement times, inspection intervals or other procedures under section A27.4 of appendix A.
(c) Replacement time evaluation. it must be shown that the probability of catastrophic fatigue failure is extremely remote within a replacement time furnished under section A27.4 of appendix A.
(d) Fail-safe evaluation. The following apply to fail-safe evaluation:
(1) It must be shown that all partial failures will become readily detectable under inspection procedures furnished under section A27.4 of appendix A.
(2) The interval between the time when any partial failure becomes readily detectable under paragraph (d)(1) of this section, and the time when any such failure is expected to reduce the remaining strength of the structure to limit or maximum attainable loads (whichever is less), must be determined.
(3) It must be shown that the interval determined under paragraph (d)(2) of this section is long enough, in relation to the inspection intervals and related procedures furnished under section A27.4 of appendix A, to provide a probability of detection great enough to ensure that the probability of catastrophic failure is extremely remote.
(e) Combination of replacement time and failsafe evaluations. A component may be evaluated under a combination of paragraphs (c) and (d) of this section. For such component it must be shown that the probability of catastrophic failure is extremely remote with an approved combination of replacement time, inspection intervals, and related procedures furnished under section A27.4 of appendix A.
(a) Each applicant must evaluate the composite rotorcraft structure under the damage tolerance standards of paragraph (d) of this section unless the applicant establishes that a damage tolerance evaluation is impractical within the limits of geometry, inspectability, and good design practice. If an applicant establishes that it is impractical within the limits of geometry, inspectability, and good design practice, the applicant must do a fatigue evaluation in accordance with paragraph (e) of this section.
(b) The methodology used to establish compliance with this section must be submitted to and approved by the Administrator.
(c) Definitions:
(1) Catastrophic failure is an event that could prevent continued safe flight and landing.
(2) Principal Structural Elements (PSEs) are structural elements that contribute significantly to the carrying of flight or ground loads, the failure of which could result in catastrophic failure of the rotorcraft.
(3) Threat Assessment is an assessment that specifies the locations, types, and sizes of damage, considering fatigue, environmental effects, intrinsic and discrete flaws, and impact or other accidental damage (including the discrete source of the accidental damage) that may occur during manufacture or operation.
(d) Damage Tolerance Evaluation:
(1) Each applicant must show that catastrophic failure due to static and fatigue loads, considering the intrinsic or discrete manufacturing defects or accidental damage, is avoided throughout the operational life or prescribed inspection intervals of the rotorcraft by performing damage tolerance evaluations of the strength of composite PSEs and other parts, detail design points, and fabrication techniques. Each applicant must account for the effects of material and process variability along with environmental conditions in the strength and fatigue evaluations. Each applicant must evaluate parts that include PSEs of the airframe, main and tail rotor drive systems, main and tail rotor blades and hubs, rotor controls, fixed and movable control surfaces, engine and transmission mountings, landing gear, other parts, detail design points, and fabrication techniques deemed critical by the FAA. Each damage tolerance evaluation must include:
(i) The identification of all PSEs;
(ii) In-flight and ground measurements for determining the loads or stresses for all PSEs for all critical conditions throughout the range of limits in § 27.309 (including altitude effects), except that maneuvering load factors need not exceed the maximum values expected in service;
(iii) The loading spectra as severe as those expected in service based on loads or stresses determined under paragraph (d)(1)(ii) of this section, including external load operations, if applicable, and other operations including high-torque events;
(iv) A threat assessment for all PSEs that specifies the locations, types, and sizes of damage, considering fatigue, environmental effects, intrinsic and discrete flaws, and impact or other accidental damage (including the discrete source of the accidental damage) that may occur during manufacture or operation; and
(v) An assessment of the residual strength and fatigue characteristics of all PSEs that supports the replacement times and inspection intervals established under paragraph (d)(2) of this section.
(2) Each applicant must establish replacement times, inspections, or other procedures for all PSEs to require the repair or replacement of damaged parts before a catastrophic failure. These replacement times, inspections, or other procedures must be included in the Airworthiness Limitations Section of the Instructions for Continued Airworthiness required by § 27.1529.
(i) Replacement times for PSEs must be determined by tests, or by analysis supported by tests, and must show that the structure is able to withstand the repeated loads of variable magnitude expected in-service. In establishing these replacement times, the following items must be considered:
(A) Damage identified in the threat assessment required by paragraph (d)(1)(iv) of this section;
(B) Maximum acceptable manufacturing defects and in-service damage (i.e., those that do not lower the residual strength below ultimate design loads and those that can be repaired to restore ultimate strength); and
(C) Ultimate load strength capability after applying repeated loads.
(ii) Inspection intervals for PSEs must be established to reveal any damage identified in the threat assessment required by paragraph (d)(1)(iv) of this section that may occur from fatigue or other in-service causes before such damage has grown to the extent that the component cannot sustain the required residual strength capability. In establishing these inspection intervals, the following items must be considered:
(A) The growth rate, including no-growth, of the damage under the repeated loads expected in-service determined by tests or analysis supported by tests;
(B) The required residual strength for the assumed damage established after considering the damage type, inspection interval, detectability of damage, and the techniques adopted for damage detection. The minimum required residual strength is limit load; and
(C) Whether the inspection will detect the damage growth before the minimum residual strength is reached and restored to ultimate load capability, or whether the component will require replacement.
(3) Each applicant must consider the effects of damage on stiffness, dynamic behavior, loads, and functional performance on all PSEs when substantiating the maximum assumed damage size and inspection interval.
(e) Fatigue Evaluation: If an applicant establishes that the damage tolerance evaluation described in paragraph (d) of this section is impractical within the limits of geometry, inspectability, or good design practice, the applicant must do a fatigue evaluation of the particular composite rotorcraft structure and:
(1) Identify all PSEs considered in the fatigue evaluation;
(2) Identify the types of damage for all PSEs considered in the fatigue evaluation;
(3) Establish supplemental procedures to minimize the risk of catastrophic failure associated with the damages identified in paragraph (d) of this section; and
(4) Include these supplemental procedures in the Airworthiness Limitations section of the Instructions for Continued Airworthiness required by § 27.1529.
(a) The rotorcraft may have no design features or details that experience has shown to be hazardous or unreliable.
(b) The suitability of each questionable design detail and part must be established by tests.
(a) Critical part. A critical part is a part, the failure of which could have a catastrophic effect upon the rotocraft, and for which critical characteristics have been identified which must be controlled to ensure the required level of integrity.
(b) If the type design includes critical parts, a critical parts list shall be established. Procedures shall be established to define the critical design characteristics, identify processes that affect those characteristics, and identify the design change and process change controls necessary for showing compliance with the quality assurance requirements of part 21 of this chapter.
The suitability and durability of materials used for parts, the failure of which could adversely affect safety, must—
(a) Be established on the basis of experience or tests;
(b) Meet approved specifications that ensure their having the strength and other properties assumed in the design data; and
(c) Take into account the effects of environmental conditions, such as temperature and humidity, expected in service.
(a) The methods of fabrication used must produce consistently sound structures. If a fabrication process (such as gluing, spot welding, or heat-treating) requires close control to reach this objective, the process must be performed according to an approved process specification.
(b) Each new aircraft fabrication method must be substantiated by a test program.
(a) Each removable bolt, screw, nut, pin, or other fastener whose loss could jeopardize the safe operation of the rotorcraft must incorporate two separate locking devices. The fastener and its locking devices may not be adversely affected by the environmental conditions associated with the particular installation.
(b) No self-locking nut may be used on any bolt subject to rotation in operation unless a nonfriction locking device is used in addition to the self-locking device.
Each part of the structure must—
(a) Be suitably protected against deterioration or loss of strength in service due to any cause, including—
(1) Weathering;
(2) Corrosion; and
(3) Abrasion; and
(b) Have provisions for ventilation and drainage where necessary to prevent the accumulation of corrosive, flammable, or noxious fluids.
(a) The rotorcraft must be protected against catastrophic effects from lightning.
(b) For metallic components, compliance with paragraph (a) of this section may be shown by—
(1) Electrically bonding the components properly to the airframe; or
(2) Designing the components so that a strike will not endanger the rotorcraft.
(c) For nonmetallic components, compliance with paragraph (a) of this section may be shown by—
(1) Designing the components to minimize the effect of a strike; or
(2) Incorporating acceptable means of diverting the resulting electrical current so as not to endanger the rotorcraft.
(d) The electrical bonding and protection against lightning and static electricity must—
(1) Minimize the accumulation of electrostatic charge;
(2) Minimize the risk of electric shock to crew, passengers, and service and maintenance personnel using normal precautions;
(3) Provide an electrical return path, under both normal and fault conditions, on rotorcraft having grounded electrical systems; and
(4) Reduce to an acceptable level the effects of static electricity on the functioning of essential electrical and electronic equipment.
There must be means to allow the close examination of each part that requires—
(a) Recurring inspection;
(b) Adjustment for proper alignment and functioning; or
(c) Lubrication.
(a) Material strength properties must be based on enough tests of material meeting specifications to establish design values on a statistical basis.
(b) Design values must be chosen to minimize the probability of structural failure due to material variability. Except as provided in paragraphs (d) and (e) of this section, compliance with this paragraph must be shown by selecting design values that assure material strength with the following probability—
(1) Where applied loads are eventually distributed through a single member within an assembly, the failure of which would result in loss of structural integrity of the component, 99 percent probability with 95 percent confidence; and
(2) For redundant structure, those in which the failure of individual elements would result in applied loads being safely distributed to other load-carrying members, 90 percent probability with 95 percent confidence.
(c) The strength, detail design, and fabrication of the structure must minimize the probability of disastrous fatigue failure, particularly at points of stress concentration.
(d) Design values may be those contained in the following publications (available from the Naval Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, Pennsylvania 19120) or other values approved by the Administrator:
(1) MIL-HDBK-5, “Metallic Materials and Elements for Flight Vehicle Structure”.
(2) MIL-HDBK-17, “Plastics for Flight Vehicles”.
(3) ANC-18, “Design of Wood Aircraft Structures”.
(4) MIL-HDBK-23, “Composite Construction for Flight Vehicles”.
(e) Other design values may be used if a selection of the material is made in which a specimen of each individual item is tested before use and it is determined that the actual strength properties of that particular item will equal or exceed those used in design.
(a) The special factors prescribed in §§ 27.621 through 27.625 apply to each part of the structure whose strength is—
(1) Uncertain;
(2) Likely to deteriorate in service before normal replacement; or
(3) Subject to appreciable variability due to—
(i) Uncertainties in manufacturing processes; or
(ii) Uncertainties in inspection methods.
(b) For each part to which §§ 27.621 through 27.625 apply, the factor of safety prescribed in § 27.303 must be multiplied by a special factor equal to—
(1) The applicable special factors prescribed in §§ 27.621 through 27.625; or
(2) Any other factor great enough to ensure that the probability of the part being understrength because of the uncertainties specified in paragraph (a) of this section is extremely remote.
(a) General. The factors, tests, and inspections specified in paragraphs (b) and (c) of this section must be applied in addition to those necessary to establish foundry quality control. The inspections must meet approved specifications. Paragraphs (c) and (d) of this section apply to structural castings except castings that are pressure tested as parts of hydraulic or other fluid systems and do not support structural loads.
(b) Bearing stresses and surfaces. The casting factors specified in paragraphs (c) and (d) of this section—
(1) Need not exceed 1.25 with respect to bearing stresses regardless of the method of inspection used; and
(2) Need not be used with respect to the bearing surfaces of a part whose bearing factor is larger than the applicable casting factor.
(c) Critical castings. For each casting whose failure would preclude continued safe flight and landing of the rotorcraft or result in serious injury to any occupant, the following apply:
(1) Each critical casting must—
(i) Have a casting factor of not less than 1.25; and
(ii) Receive 100 percent inspection by visual, radiographic, and magnetic particle (for ferromagnetic materials) or penetrant (for nonferromagnetic materials) inspection methods or approved equivalent inspection methods.
(2) For each critical casting with a casting factor less than 1.50, three sample castings must be static tested and shown to meet—
(i) The strength requirements of § 27.305 at an ultimate load corresponding to a casting factor of 1.25; and
(ii) The deformation requirements of § 27.305 at a load of 1.15 times the limit load.
(d) Noncritical castings. For each casting other than those specified in paragraph (c) of this section, the following apply:
(1) Except as provided in paragraphs (d)(2) and (3) of this section, the casting factors and corresponding inspections must meet the following table:
| Casting factor | Inspection |
|---|---|
| 2.0 or greater | 100 percent visual. |
| Less than 2.0, greater than 1.5 | 100 percent visual, and magnetic particle (ferromagnetic materials), penetrant (nonferromagnetic materials), or approved equivalent inspection methods. |
| 1.25 through 1.50 | 100 percent visual, and magnetic particle (ferromagnetic materials). penetrant (nonferromagnetic materials), and radiographic or approved equivalent inspection methods. |
(2) The percentage of castings inspected by nonvisual methods may be reduced below that specified in paragraph (d)(1) of this section when an approved quality control procedure is established.
(3) For castings procured to a specification that guarantees the mechanical properties of the material in the casting and provides for demonstration of these properties by test of coupons cut from the castings on a sampling basis—
(i) A casting factor of 1.0 may be used; and
(ii) The castings must be inspected as provided in paragraph (d)(1) of this section for casting factors of “1.25 through 1.50” and tested under paragraph (c)(2) of this section.
(a) Except as provided in paragraph (b) of this section, each part that has clearance (free fit), and that is subject to pounding or vibration, must have a bearing factor large enough to provide for the effects of normal relative motion.
(b) No bearing factor need be used on a part for which any larger special factor is prescribed.
For each fitting (part or terminal used to join one structural member to another) the following apply:
(a) For each fitting whose strength is not proven by limit and ultimate load tests in which actual stress conditions are simulated in the fitting and surrounding structures, a fitting factor of at least 1.15 must be applied to each part of—
(1) The fitting;
(2) The means of attachment; and
(3) The bearing on the joined members.
(b) No fitting factor need be used—
(1) For joints made under approved practices and based on comprehensive test data (such as continuous joints in metal plating, welded joints, and scarf joints in wood); and
(2) With respect to any bearing surface for which a larger special factor is used.
(c) For each integral fitting, the part must be treated as a fitting up to the point at which the section properties become typical of the member.
(d) Each seat, berth, litter, safety belt, and harness attachment to the structure must be shown by analysis, tests, or both, to be able to withstand the inertia forces prescribed in § 27.561(b)(3) multiplied by a fitting factor of 1.33.
Each aerodynamic surface of the rotorcraft must be free from flutter under each appropriate speed and power condition.
(a) For each rotor blade—
(1) There must be means for venting the internal pressure of the blade;
(2) Drainage holes must be provided for the blade; and
(3) The blade must be designed to prevent water from becoming trapped in it.
(b) Paragraphs (a)(1) and (2) of this section does not apply to sealed rotor blades capable of withstanding the maximum pressure differentials expected in service.
(a) The rotors and blades must be mass balanced as necessary to—
(1) Prevent excessive vibration; and
(2) Prevent flutter at any speed up to the maximum forward speed.
(b) The structural integrity of the mass balance installation must be substantiated.
There must be enough clearance between the rotor blades and other parts of the structure to prevent the blades from striking any part of the structure during any operating condition.
(a) The reliability of the means for preventing ground resonance must be shown either by analysis and tests, or reliable service experience, or by showing through analysis or tests that malfunction or failure of a single means will not cause ground resonance.
(b) The probable range of variations, during service, of the damping action of the ground resonance prevention means must be established and must be investigated during the test required by § 27.241.
(a) Each control and control system must operate with the ease, smoothness, and positiveness appropriate to its function.
(b) Each element of each flight control system must be designed, or distinctively and permanently marked, to minimize the probability of any incorrect assembly that could result in the malfunction of the system.
If the functioning of stability augmentation or other automatic or power-operated systems is necessary to show compliance with the flight characteristics requirements of this part, such systems must comply with § 27.671 of this part and the following:
(a) A warning which is clearly distinguishable to the pilot under expected flight conditions without requiring the pilot's attention must be provided for any failure in the stability augmentation system or in any other automatic or power-operated system which could result in an unsafe condition if the pilot is unaware of the failure. Warning systems must not activate the control systems.
(b) The design of the stability augmentation system or of any other automatic or power-operated system must allow initial counteraction of failures without requiring exceptional pilot skill or strength by overriding the failure by movement of the flight controls in the normal sense and deactivating the failed system.
(c) It must be shown that after any single failure of the stability augmentation system or any other automatic or power-operated system—
(1) The rotorcraft is safely controllable when the failure or malfunction occurs at any speed or altitude within the approved operating limitations;
(2) The controllability and maneuverability requirements of this part are met within a practical operational flight envelope (for example, speed, altitude, normal acceleration, and rotorcraft configurations) which is described in the Rotorcraft Flight Manual; and
(3) The trim and stability characteristics are not impaired below a level needed to permit continued safe flight and landing.
Primary flight controls are those used by the pilot for immediate control of pitch, roll, yaw, and vertical motion of the rotorcraft.
Each primary flight control system must provide for safe flight and landing and operate independently after a malfunction, failure, or jam of any auxiliary interconnected control.
(a) Each control system must have stops that positively limit the range of motion of the pilot's controls.
(b) Each stop must be located in the system so that the range of travel of its control is not appreciably affected by—
(1) Wear;
(2) Slackness; or
(3) Takeup adjustments.
(c) Each stop must be able to withstand the loads corresponding to the design conditions for the system.
(d) For each main rotor blade—
(1) Stops that are appropriate to the blade design must be provided to limit travel of the blade about its hinge points; and
(2) There must be means to keep the blade from hitting the droop stops during any operation other than starting and stopping the rotor.
If there is a device to lock the control system with the rotorcraft on the ground or water, there must be means to—
(a) Give unmistakable warning to the pilot when the lock is engaged; and
(b) Prevent the lock from engaging in flight.
(a) Compliance with the limit load requirements of this part must be shown by tests in which—
(1) The direction of the test loads produces the most severe loading in the control system; and
(2) Each fitting, pulley, and bracket used in attaching the system to the main structure is included.
(b) Compliance must be shown (by analyses or individual load tests) with the special factor requirements for control system joints subject to angular motion.
It must be shown by operation tests that, when the controls are operated from the pilot compartment with the control system loaded to correspond with loads specified for the system, the system is free from—
(a) Jamming;
(b) Excessive friction; and
(c) Excessive deflection.
(a) Each detail of each control system must be designed to prevent jamming, chafing, and interference from cargo, passengers, loose objects or the freezing of moisture.
(b) There must be means in the cockpit to prevent the entry of foreign objects into places where they would jam the system.
(c) There must be means to prevent the slapping of cables or tubes against other parts.
(d) Cable systems must be designed as follows:
(1) Cables, cable fittings, turnbuckles, splices, and pulleys must be of an acceptable kind.
(2) The design of the cable systems must prevent any hazardous change in cable tension throughout the range of travel under any operating conditions and temperature variations.
(3) No cable smaller than three thirty-seconds of an inch diameter may be used in any primary control system.
(4) Pulley kinds and sizes must correspond to the cables with which they are used. The pulley cable combinations and strength values which must be used are specified in Military Handbook MIL-HDBK-5C, Vol. 1 & Vol. 2, Metallic Materials and Elements for Flight Vehicle Structures, (Sept. 15, 1976, as amended through December 15, 1978). This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. section 552(a) and 1 CFR part 51. Copies may be obtained from the Naval Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, Pennsylvania, 19120. Copies may be inspected at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html
(5) Pulleys must have close fitting guards to prevent the cables from being displaced or fouled.
(6) Pulleys must lie close enough to the plane passing through the cable to prevent the cable from rubbing against the pulley flange.
(7) No fairlead may cause a change in cable direction of more than 3°.
(8) No clevis pin subject to load or motion and retained only by cotter pins may be used in the control system.
(9) Turnbuckles attached to parts having angular motion must be installed to prevent binding throughout the range of travel.
(10) There must be means for visual inspection at each fairlead, pulley, terminal, and turnbuckle.
(e) Control system joints subject to angular motion must incorporate the following special factors with respect to the ultimate bearing strength of the softest material used as a bearing:
(1) 3.33 for push-pull systems other than ball and roller bearing systems.
(2) 2.0 for cable systems.
(f) For control system joints, the manufacturer's static, non-Brinell rating of ball and roller bearings must not be exceeded.
(a) Each control system spring device whose failure could cause flutter or other unsafe characteristics must be reliable.
(b) Compliance with paragraph (a) of this section must be shown by tests simulating service conditions.
Each main rotor blade pitch control mechanism must allow rapid entry into autorotation after power failure.
(a) If a power boost or power-operated control system is used, an alternate system must be immediately available that allows continued safe flight and landing in the event of—
(1) Any single failure in the power portion of the system; or
(2) The failure of all engines.
(b) Each alternate system may be a duplicate power portion or a manually operated mechanical system. The power portion includes the power source (such as hydraulic pumps), and such items as valves, lines, and actuators.
(c) The failure of mechanical parts (such as piston rods and links), and the jamming of power cylinders, must be considered unless they are extremely improbable.
The landing inertia load factor and the reserve energy absorption capacity of the landing gear must be substantiated by the tests prescribed in §§ 27.725 and 27.727, respectively. These tests must be conducted on the complete rotorcraft or on units consisting of wheel, tire, and shock absorber in their proper relation.
The limit drop test must be conducted as follows:
(a) The drop height must be—
(1) 13 inches from the lowest point of the landing gear to the ground; or
(2) Any lesser height, not less than eight inches, resulting in a drop contact velocity equal to the greatest probable sinking speed likely to occur at ground contact in normal power-off landings.
(b) If considered, the rotor lift specified in § 27.473(a) must be introduced into the drop test by appropriate energy absorbing devices or by the use of an effective mass.
(c) Each landing gear unit must be tested in the attitude simulating the landing condition that is most critical from the standpoint of the energy to be absorbed by it.
(d) When an effective mass is used in showing compliance with paragraph (b) of this section, the following formula may be used instead of more rational computations:
(1) The static weight on the tailwheel with the rotorcraft resting on all wheels; or
(2) The vertical component of the ground reaction that would occur at the tailwheel, assuming that the mass of the rotorcraft acts at the center of gravity and exerts a force of lg downward with the rotorcraft in the maximum nose-up attitude considered in the nose-up landing conditions.
The reserve energy absorption drop test must be conducted as follows:
(a) The drop height must be 1.5 times that specified in § 27.725(a).
(b) Rotor lift, where considered in a manner similar to that prescribed in § 27.725(b), may not exceed 1.5 times the lift allowed under that paragraph.
(c) The landing gear must withstand this test without collapsing. Collapse of the landing gear occurs when a member of the nose, tail, or main gear will not support the rotorcraft in the proper attitude or allows the rotorcraft structure, other than the landing gear and external accessories, to impact the landing surface.
For rotorcraft with retractable landing gear, the following apply:
(a) Loads. The landing gear, retracting mechansim, wheel-well doors, and supporting structure must be designed for—
(1) The loads occurring in any maneuvering condition with the gear retracted;
(2) The combined friction, inertia, and air loads occurring during retraction and extension at any airspeed up to the design maximum landing gear operating speed; and
(3) The flight loads, including those in yawed flight, occurring with the gear extended at any airspeed up to the design maximum landing gear extended speed.
(b) Landing gear lock. A positive means must be provided to keep the gear extended.
(c) Emergency operation. When other than manual power is used to operate the gear, emergency means must be provided for extending the gear in the event of—
(1) Any reasonably probable failure in the normal retraction system; or
(2) The failure of any single source of hydraulic, electric, or equivalent energy.
(d) Operation tests. The proper functioning of the retracting mechanism must be shown by operation tests.
(e) Position indicator. There must be a means to indicate to the pilot when the gear is secured in the extreme positions.
(f) Control. The location and operation of the retraction control must meet the requirements of §§ 27.777 and 27.779.
(g) Landing gear warning. An aural or equally effective landing gear warning device must be provided that functions continuously when the rotorcraft is in a normal landing mode and the landing gear is not fully extended and locked. A manual shutoff capability must be provided for the warning device and the warning system must automatically reset when the rotorcraft is no longer in the landing mode.
(a) Each landing gear wheel must be approved.
(b) The maximum static load rating of each wheel may not be less than the corresponding static ground reaction with—
(1) Maximum weight; and
(2) Critical center of gravity.
(c) The maximum limit load rating of each wheel must equal or exceed the maximum radial limit load determined under the applicable ground load requirements of this part.
(a) Each landing gear wheel must have a tire—
(1) That is a proper fit on the rim of the wheel; and
(2) Of the proper rating.
(b) The maximum static load rating of each tire must equal or exceed the static ground reaction obtained at its wheel, assuming—
(1) The design maximum weight; and
(2) The most unfavorable center of gravity.
(c) Each tire installed on a retractable landing gear system must, at the maximum size of the tire type expected in service, have a clearance to surrounding structure and systems that is adequate to prevent contact between the tire and any part of the structure or systems.
For rotorcraft with wheel-type landing gear, a braking device must be installed that is—
(a) Controllable by the pilot;
(b) Usable during power-off landings; and
(c) Adequate to—
(1) Counteract any normal unbalanced torque when starting or stopping the rotor; and
(2) Hold the rotorcraft parked on a 10-degree slope on a dry, smooth pavement.
The maximum limit load rating of each ski must equal or exceed the maximum limit load determined under the applicable ground load requirements of this part.
(a) For main floats, the buoyancy necessary to support the maximum weight of the rotorcraft in fresh water must be exceeded by—
(1) 50 percent, for single floats; and
(2) 60 percent, for multiple floats.
(b) Each main float must have enough water-tight compartments so that, with any single main float compartment flooded, the main floats will provide a margin of positive stability great enough to minimize the probability of capsizing.
(a) Bag floats. Each bag float must be designed to withstand—
(1) The maximum pressure differential that might be developed at the maximum altitude for which certification with that float is requested; and
(2) The vertical loads prescribed in § 27.521(a), distributed along the length of the bag over three-quarters of its projected area.
(b) Rigid floats. Each rigid float must be able to withstand the vertical, horizontal, and side loads prescribed in § 27.521. These loads may be distributed along the length of the float.
For each rotorcraft, with a hull and auxiliary floats, that is to be approved for both taking off from and landing on water, the hull and auxiliary floats must have enough watertight compartments so that, with any single compartment flooded, the buoyancy of the hull and auxiliary floats (and wheel tires if used) provides a margin of positive stability great enough to minimize the probability of capsizing.
For each pilot compartment—
(a) The compartment and its equipment must allow each pilot to perform his duties without unreasonable concentration or fatigue;
(b) If there is provision for a second pilot, the rotorcraft must be controllable with equal safety from either pilot seat; and
(c) The vibration and noise characteristics of cockpit appurtenances may not interfere with safe operation.
(a) Each pilot compartment must be free from glare and reflections that could interfere with the pilot's view, and designed so that—
(1) Each pilot's view is sufficiently extensive, clear, and undistorted for safe operation; and
(2) Each pilot is protected from the elements so that moderate rain conditions do not unduly impair his view of the flight path in normal flight and while landing.
(b) If certification for night operation is requested, compliance with paragraph (a) of this section must be shown by ground or night flight tests.
(c) A vision system with a transparent display surface located in the pilot's outside field of view, such as a head up-display, head mounted display, or other equivalent display, must meet the following requirements:
(1) While the vision system display is in operation, it must compensate for interference with the pilot's outside field of view such that the combination of what is visible in the display and what remains visible through and around it, allows the pilot compartment to satisfy the requirements of paragraphs (a)(1) and (b) of this section.
(2) The pilot's view of the external scene may not be distorted by the transparent display surface or by the vision system imagery. When the vision system displays imagery or any symbology that is referenced to the imagery and outside scene topography, including attitude symbology, flight path vector, and flight path angle reference cue, that imagery and symbology must be aligned with, and scaled to, the external scene.
(3) The vision system must provide a means to allow the pilot using the display to immediately deactivate and reactivate the vision system imagery, on demand, without removing the pilot's hands from the primary flight and power controls, or their equivalent.
(4) When the vision system is not in operation it must permit the pilot compartment to satisfy the requirements of paragraphs (a)(1) and (b) of this section.
Windshields and windows must be made of material that will not break into dangerous fragments.
Cockpit controls must be—
(a) Located to provide convenient operation and to prevent confusion and inadvertent operation; and
(b) Located and arranged with respect to the pilots' seats so that there is full and unrestricted movement of each control without interference from the cockpit structure or the pilot's clothing when pilots from 5′2″ to 6′0″ in height are seated.
Cockpit controls must be designed so that they operate in accordance with the following movements and actuation:
(a) Flight controls, including the collective pitch control, must operate with a sense of motion which corresponds to the effect on the rotorcraft.
(b) Twist-grip engine power controls must be designed so that, for lefthand operation, the motion of the pilot's hand is clockwise to increase power when the hand is viewed from the edge containing the index finger. Other engine power controls, excluding the collective control, must operate with a forward motion to increase power.
(c) Normal landing gear controls must operate downward to extend the landing gear.
(a) Each closed cabin must have at least one adequate and easily accessible external door.
(b) Each external door must be located where persons using it will not be endangered by the rotors, propellers, engine intakes, and exhausts when appropriate operating procedures are used. If opening procedures are required, they must be marked inside, on or adjacent to the door opening device.
(a) Each seat, safety belt, harness, and adjacent part of the rotorcraft at each station designated for occupancy during takeoff and landing must be free of potentially injurious objects, sharp edges, protuberances, and hard surfaces and must be designed so that a person making proper use of these facilities will not suffer serious injury in an emergency landing as a result of the static inertial load factors specified in § 27.561(b) and dynamic conditions specified in § 27.562.
(b) Each occupant must be protected from serious head injury by a safety belt plus a shoulder harness that will prevent the head from contacting any injurious object except as provided for in § 27.562(c)(5). A shoulder harness (upper torso restraint), in combination with the safety belt, constitutes a torso restraint system as described in TSO-C114.
(c) Each occupant's seat must have a combined safety belt and shoulder harness with a single-point release. Each pilot's combined safety belt and shoulder harness must allow each pilot when seated with safety belt and shoulder harness fastened to perform all functions necessary for flight operations. There must be a means to secure belts and harnesses, when not in use, to prevent interference with the operation of the rotorcraft and with rapid egress in an emergency.
(d) If seat backs do not have a firm handhold, there must be hand grips or rails along each aisle to enable the occupants to steady themselves while using the aisle in moderately rough air.
(e) Each projecting object that could injure persons seated or moving about in the rotorcraft in normal flight must be padded.
(f) Each seat and its supporting structure must be designed for an occupant weight of at least 170 pounds considering the maximum load factors, inertial forces, and reactions between occupant, seat, and safety belt or harness corresponding with the applicable flight and ground load conditions, including the emergency landing conditions of § 27.561(b). In addition—
(1) Each pilot seat must be designed for the reactions resulting from the application of the pilot forces prescribed in § 27.397; and
(2) The inertial forces prescribed in § 27.561(b) must be multiplied by a factor of 1.33 in determining the strength of the attachment of—
(i) Each seat to the structure; and
(ii) Each safety belt or harness to the seat or structure.
(g) When the safety belt and shoulder harness are combined, the rated strength of the safety belt and shoulder harness may not be less than that corresponding to the inertial forces specified in § 27.561(b), considering the occupant weight of at least 170 pounds, considering the dimensional characteristics of the restraint system installation, and using a distribution of at least a 60-percent load to the safety belt and at least a 40-percent load to the shoulder harness. If the safety belt is capable of being used without the shoulder harness, the inertial forces specified must be met by the safety belt alone.
(h) When a headrest is used, the headrest and its supporting structure must be designed to resist the inertia forces specified in § 27.561, with a 1.33 fitting factor and a head weight of at least 13 pounds.
(i) Each seating device system includes the device such as the seat, the cushions, the occupant restraint system, and attachment devices.
(j) Each seating device system may use design features such as crushing or separation of certain parts of the seats to reduce occupant loads for the emergency landing dynamic conditions of § 27.562; otherwise, the system must remain intact and must not interfere with rapid evacuation of the rotorcraft.
(k) For the purposes of this section, a litter is defined as a device designed to carry a nonambulatory person, primarily in a recumbent position, into and on the rotorcraft. Each berth or litter must be designed to withstand the load reaction of an occupant weight of at least 170 pounds when the occupant is subjected to the forward inertial factors specified in § 27.561(b). A berth or litter installed within 15° or less of the longitudinal axis of the rotorcraft must be provided with a padded end-board, cloth diaphram, or equivalent means that can withstand the forward load reaction. A berth or litter oriented greater than 15° with the longitudinal axis of the rotorcraft must be equipped with appropriate restraints, such as straps or safety belts, to withstand the forward load reaction. In addition—
(1) The berth or litter must have a restraint system and must not have corners or other protuberances likely to cause serious injury to a person occupying it during emergency landing conditions; and
(2) The berth or litter attachment and the occupant restraint system attachments to the structure must be designed to withstand the critical loads resulting from flight and ground load conditions and from the conditions prescribed in § 27.561(b). The fitting factor required by § 27.625(d) shall be applied.
(a) Each cargo and baggage compartment must be designed for its placarded maximum weight of contents and for the critical load distributions at the appropriate maximum load factors corresponding to the specified flight and ground load conditions, except the emergency landing conditions of § 27.561.
(b) There must be means to prevent the contents of any compartment from becoming a hazard by shifting under the loads specified in paragraph (a) of this section.
(c) Under the emergency landing conditions of § 27.561, cargo and baggage compartments must—
(1) Be positioned so that if the contents break loose they are unlikely to cause injury to the occupants or restrict any of the escape facilities provided for use after an emergency landing; or
(2) Have sufficient strength to withstand the conditions specified in § 27.561 including the means of restraint, and their attachments, required by paragraph (b) of this section. Sufficient strength must be provided for the maximum authorized weight of cargo and baggage at the critical loading distribution.
(d) If cargo compartment lamps are installed, each lamp must be installed so as to prevent contact between lamp bulb and cargo.
(a) If certification with ditching provisions is requested, the rotorcraft must meet the requirements of this section and §§ 27.807(d), 27.1411 and 27.1415.
(b) Each practicable design measure, compatible with the general characteristics of the rotorcraft, must be taken to minimize the probability that in an emergency landing on water, the behavior of the rotorcraft would cause immediate injury to the occupants or would make it impossible for them to escape.
(c) The probable behavior of the rotorcraft in a water landing must be investigated by model tests or by comparison with rotorcraft of similar configuration for which the ditching characteristics are known. Scoops, flaps, projections, and any other factor likely to affect the hydrodynamic characteristics of the rotorcraft must be considered.
(d) It must be shown that, under reasonably probable water conditions, the flotation time and trim of the rotorcraft will allow the occupants to leave the rotorcraft and enter the life rafts required by § 27.1415. If compliance with this provision is shown by buoyancy and trim computations, appropriate allowances must be made for probable structural damage and leakage. If the rotorcraft has fuel tanks (with fuel jettisoning provisions) that can reasonably be expected to withstand a ditching without leakage, the jettisonable volume of fuel may be considered as buoyancy volume.
(e) Unless the effects of the collapse of external doors and windows are accounted for in the investigation of the probable behavior of the rotorcraft in a water landing (as prescribed in paragraphs (c) and (d) of this section), the external doors and windows must be designed to withstand the probable maximum local pressures.
(a) For rotorcraft with passenger emergency exits that are not convenient to the flight crew, there must be flight crew emergency exits, on both sides of the rotorcraft or as a top hatch in the flight crew area.
(b) Each flight crew emergency exit must be of sufficient size and must be located so as to allow rapid evacuation of the flight crew. This must be shown by test.
(c) Each flight crew emergency exit must not be obstructed by water or flotation devices after an emergency landing on water. This must be shown by test, demonstration, or analysis.
(a) Number and location. (1) There must be at least one emergency exit on each side of the cabin readily accessible to each passenger. One of these exits must be usable in any probable attitude that may result from a crash;
(2) Doors intended for normal use may also serve as emergency exits, provided that they meet the requirements of this section; and
(3) If emergency flotation devices are installed, there must be an emergency exit accessible to each passenger on each side of the cabin that is shown by test, demonstration, or analysis to;
(i) Be above the waterline; and
(ii) Open without interference from flotation devices, whether stowed or deployed.
(b) Type and operation. Each emergency exit prescribed by paragraph (a) of this section must—
(1) Consist of a movable window or panel, or additional external door, providing an unobstructed opening that will admit a 19-by 26-inch ellipse;
(2) Have simple and obvious methods of opening, from the inside and from the outside, which do not require exceptional effort;
(3) Be arranged and marked so as to be readily located and opened even in darkness; and
(4) Be reasonably protected from jamming by fuselage deformation.
(c) Tests. The proper functioning of each emergency exit must be shown by test.
(d) Ditching emergency exits for passengers. If certification with ditching provisions is requested, the markings required by paragraph (b)(3) of this section must be designed to remain visible if the rotorcraft is capsized and the cabin is submerged.
(a) The ventilating system for the pilot and passenger compartments must be designed to prevent the presence of excessive quantities of fuel fumes and carbon monoxide.
(b) The concentration of carbon monoxide may not exceed one part in 20,000 parts of air during forward flight or hovering in still air. If the concentration exceeds this value under other conditions, there must be suitable operating restrictions.
Each combustion heater must be approved.
For each compartment to be used by the crew or passengers—
(a) The materials must be at least flame-resistant;
(b) [Reserved]
(c) If smoking is to be prohibited, there must be a placard so stating, and if smoking is to be allowed—
(1) There must be an adequate number of self-contained, removable ashtrays; and
(2) Where the crew compartment is separated from the passenger compartment, there must be at least one illuminated sign (using either letters or symbols) notifying all passengers when smoking is prohibited. Signs which notify when smoking is prohibited must—
(i) When illuminated, be legible to each passenger seated in the passenger cabin under all probable lighting conditions; and
(ii) Be so constructed that the crew can turn the illumination on and off.
(a) Each cargo and baggage compartment must be constructed of, or lined with, materials that are at least—
(1) Flame resistant, in the case of compartments that are readily accessible to a crewmember in flight; and
(2) Fire resistant, in the case of other compartments.
(b) No compartment may contain any controls, wiring, lines, equipment, or accessories whose damage or failure would affect safe operation, unless those items are protected so that—
(1) They cannot be damaged by the movement of cargo in the compartment; and
(2) Their breakage or failure will not create a fire hazard.
(a) General. For each heating system that involves the passage of cabin air over, or close to, the exhaust manifold, there must be means to prevent carbon monoxide from entering any cabin or pilot compartment.
(b) Heat exchangers. Each heat exchanger must be—
(1) Of suitable materials;
(2) Adequately cooled under all conditions; and
(3) Easily disassembled for inspection.
(c) Combustion heater fire protection. Except for heaters which incorporate designs to prevent hazards in the event of fuel leakage in the heater fuel system, fire within the ventilating air passage, or any other heater malfunction, each heater zone must incorporate the fire protection features of the applicable requirements of §§ 27.1183, 27.1185, 27.1189, 27.1191, and be provided with—
(1) Approved, quick-acting fire detectors in numbers and locations ensuring prompt detection of fire in the heater region.
(2) Fire extinguisher systems that provide at least one adequate discharge to all areas of the heater region.
(3) Complete drainage of each part of each zone to minimize the hazards resulting from failure or malfunction of any component containing flammable fluids. The drainage means must be—
(i) Effective under conditions expected to prevail when drainage is needed; and
(ii) Arranged so that no discharged fluid will cause an additional fire hazard.
(4) Ventilation, arranged so that no discharged vapors will cause an additional fire hazard.
(d) Ventilating air ducts. Each ventilating air duct passing through any heater region must be fireproof.
(1) Unless isolation is provided by fireproof valves or by equally effective means, the ventilating air duct downstream of each heater must be fireproof for a distance great enough to ensure that any fire originating in the heater can be contained in the duct.
(2) Each part of any ventilating duct passing through any region having a flammable fluid system must be so constructed or isolated from that system that the malfunctioning of any component of that system cannot introduce flammable fluids or vapors into the ventilating airstream.
(e) Combustion air ducts. Each combustion air duct must be fireproof for a distance great enough to prevent damage from backfiring or reverse flame propagation.
(1) No combustion air duct may connect with the ventilating airstream unless flames from backfires or reverse burning cannot enter the ventilating airstream under any operating condition, including reverse flow or malfunction of the heater or its associated components.
(2) No combustion air duct may restrict the prompt relief of any backfire that, if so restricted, could cause heater failure.
(f) Heater control: General. There must be means to prevent the hazardous accumulation of water or ice on or in any heater control component, control system tubing, or safety control.
(g) Heater safety controls. For each combustion heater, safety control means must be provided as follows:
(1) Means independent of the components provided for the normal continuous control of air temperature, airflow, and fuel flow must be provided for each heater to automatically shut off the ignition and fuel supply of that heater at a point remote from that heater when any of the following occurs:
(i) The heat exchanger temperature exceeds safe limits.
(ii) The ventilating air temperature exceeds safe limits.
(iii) The combustion airflow becomes inadequate for safe operation.
(iv) The ventilating airflow becomes inadequate for safe operation.
(2) The means of complying with paragraph (g)(1) of this section for any individual heater must—
(i) Be independent of components serving any other heater, the heat output of which is essential for safe operation; and
(ii) Keep the heater off until restarted by the crew.
(3) There must be means to warn the crew when any heater, the heat output of which is essential for safe operation, has been shut off by the automatic means prescribed in paragraph (g)(1) of this section.
(h) Air intakes. Each combustion and ventilating air intake must be located so that no flammable fluids or vapors can enter the heater system—
(1) During normal operation; or
(2) As a result of the malfunction of any other component.
(i) Heater exhaust. Each heater exhaust system must meet the requirements of §§ 27.1121 and 27.1123.
(1) Each exhaust shroud must be sealed so that no flammable fluids or hazardous quantities of vapors can reach the exhaust system through joints.
(2) No exhaust system may restrict the prompt relief of any backfire that, if so restricted, could cause heater failure.
(j) Heater fuel systems. Each heater fuel system must meet the powerplant fuel system requirements affecting safe heater operation. Each heater fuel system component in the ventilating airstream must be protected by shrouds so that no leakage from those components can enter the ventilating airstream.
(k) Drains. There must be means for safe drainage of any fuel that might accumulate in the combustion chamber or the heat exchanger.
(1) Each part of any drain that operates at high temperatures must be protected in the same manner as heater exhausts.
(2) Each drain must be protected against hazardous ice accumulation under any operating condition.
Each part of the structure, controls, rotor mechanism, and other parts essential to a controlled landing that would be affected by powerplant fires must be fireproof or protected so they can perform their essential functions for at least 5 minutes under any foreseeable powerplant fire conditions.
(a) In each area where flammable fluids or vapors might escape by leakage of a fluid system, there must be means to minimize the probability of ignition of the fluids and vapors, and the resultant hazards if ignition does occur.
(b) Compliance with paragraph (a) of this section must be shown by analysis or tests, and the following factors must be considered:
(1) Possible sources and paths of fluid leakage, and means of detecting leakage.
(2) Flammability characteristics of fluids, including effects of any combustible or absorbing materials.
(3) Possible ignition sources, including electrical faults, overheating of equipment, and malfunctioning of protective devices.
(4) Means available for controlling or extinguishing a fire, such as stopping flow of fluids, shutting down equipment, fireproof containment, or use of extinguishing agents.
(5) Ability of rotorcraft components that are critical to safety of flight to withstand fire and heat.
(c) If action by the flight crew is required to prevent or counteract a fluid fire (e.g. equipment shutdown or actuation of a fire extinguisher) quick acting means must be provided to alert the crew.
(d) Each area where flammable fluids or vapors might escape by leakage of a fluid system must be identified and defined.
(a) It must be shown by analysis, test, or both, that the rotorcraft external load attaching means for rotorcraft-load combinations to be used for nonhuman external cargo applications can withstand a limit static load equal to 2.5, or some lower load factor approved under §§ 27.337 through 27.341, multiplied by the maximum external load for which authorization is requested. It must be shown by analysis, test, or both that the rotorcraft external load attaching means and corresponding personnel carrying device system for rotorcraft-load combinations to be used for human external cargo applications can withstand a limit static load equal to 3.5 or some lower load factor, not less than 2.5, approved under §§ 27.337 through 27.341, multiplied by the maximum external load for which authorization is requested. The load for any rotorcraft-load combination class, for any external cargo type, must be applied in the vertical direction. For jettisonable external loads of any applicable external cargo type, the load must also be applied in any direction making the maximum angle with the vertical that can be achieved in service but not less than 30°. However, the 30° angle may be reduced to a lesser angle if—
(1) An operating limitation is established limiting external load operations to such angles for which compliance with this paragraph has been shown; or
(2) It is shown that the lesser angle can not be exceeded in service.
(b) The external load attaching means, for jettisonable rotorcraft-load combinations, must include a quick-release system to enable the pilot to release the external load quickly during flight. The quick-release system must consist of a primary quick release subsystem and a backup quick release subsystem that are isolated from one another. The quick-release system, and the means by which it is controlled, must comply with the following:
(1) A control for the primary quick release subsystem must be installed either on one of the pilot's primary controls or in an equivalently accessible location and must be designed and located so that it may be operated by either the pilot or a crewmember without hazardously limiting the ability to control the rotorcraft during an emergency situation.
(2) A control for the backup quick release subsystem, readily accessible to either the pilot or another crewmember, must be provided.
(3) Both the primary and backup quick release subsystems must—
(i) Be reliable, durable, and function properly with all external loads up to and including the maximum external limit load for which authorization is requested.
(ii) Be protected against electromagnetic interference (EMI) from external and internal sources and against lightning to prevent inadvertent load release.
(A) The minimum level of protection required for jettisonable rotorcraft-load combinations used for nonhuman external cargo is a radio frequency field strength of 20 volts per meter.
(B) The minimum level of protection required for jettisonable rotorcraft-load combinations used for human external cargo is a radio frequency field strength of 200 volts per meter.
(iii) Be protected against any failure that could be induced by a failure mode of any other electrical or mechanical rotorcraft system.
(c) For rotorcraft-load combinations to be used for human external cargo applications, the rotorcraft must—
(1) For jettisonable external loads, have a quick-release system that meets the requirements of paragraph (b) of this section and that—
(i) Provides a dual actuation device for the primary quick release subsystem, and
(ii) Provides a separate dual actuation device for the backup quick release subsystem;
(2) Have a reliable, approved personnel carrying device system that has the structural capability and personnel safety features essential for external occupant safety;
(3) Have placards and markings at all appropriate locations that clearly state the essential system operating instructions and, for the personnel carrying device system, the ingress and egress instructions;
(4) Have equipment to allow direct intercommunication among required crewmembers and external occupants; and
(5) Have the appropriate limitations and procedures incorporated in the flight manual for conducting human external cargo operations.
(d) The critically configured jettisonable external loads must be shown by a combination of analysis, ground tests, and flight tests to be both transportable and releasable throughout the approved operational envelope without hazard to the rotorcraft during normal flight conditions. In addition, these external loads must be shown to be releasable without hazard to the rotorcraft during emergency flight conditions.
(e) A placard or marking must be installed next to the external-load attaching means clearly stating any operational limitations and the maximum authorized external load as demonstrated under § 27.25 and this section.
(f) The fatigue evaluation of § 27.571 of this part does not apply to rotorcraft-load combinations to be used for nonhuman external cargo except for the failure of critical structural elements that would result in a hazard to the rotorcraft. For rotorcraft-load combinations to be used for human external cargo, the fatigue evaluation of § 27.571 of this part applies to the entire quick release and personnel carrying device structural systems and their attachments.
There must be reference marks for leveling the rotorcraft on the ground.
Ballast provisions must be designed and constructed to prevent inadvertent shifting of ballast in flight.
(a) For the purpose of this part, the powerplant installation includes each part of the rotorcraft (other than the main and auxiliary rotor structures) that—
(1) Is necessary for propulsion;
(2) Affects the control of the major propulsive units; or
(3) Affects the safety of the major propulsive units between normal inspections or overhauls.
(b) For each powerplant installation—
(1) Each component of the installation must be constructed, arranged, and installed to ensure its continued safe operation between normal inspections or overhauls for the range of temperature and altitude for which approval is requested;
(2) Accessibility must be provided to allow any inspection and maintenance necessary for continued airworthiness;
(3) Electrical interconnections must be provided to prevent differences of potential between major components of the installation and the rest of the rotorcraft;
(4) Axial and radial expansion of turbine engines may not affect the safety of the installation; and
(5) Design precautions must be taken to minimize the possibility of incorrect assembly of components and equipment essential to safe operation of the rotorcraft, except where operation with the incorrect assembly can be shown to be extremely improbable.
(c) The installation must comply with—
(1) The installation instructions provided under § 33.5 of this chapter; and
(2) The applicable provisions of this subpart.
(a) Engine type certification. Each engine must have an approved type certificate. Reciprocating engines for use in helicopters must be qualified in accordance with § 33.49(d) of this chapter or be otherwise approved for the intended usage.
(b) Engine or drive system cooling fan blade protection. (1) If an engine or rotor drive system cooling fan is installed, there must be a means to protect the rotorcraft and allow a safe landing if a fan blade fails. This must be shown by showing that—
(i) The fan blades are contained in case of failure;
(ii) Each fan is located so that a failure will not jeopardize safety; or
(iii) Each fan blade can withstand an ultimate load of 1.5 times the centrifugal force resulting from operation limited by the following:
(A) For fans driven directly by the engine—
(1) The terminal engine r.p.m. under uncontrolled conditions; or
(2) An overspeed limiting device.
(B) For fans driven by the rotor drive system, the maximum rotor drive system rotational speed to be expected in service, including transients.
(2) Unless a fatigue evaluation under § 27.571 is conducted, it must be shown that cooling fan blades are not operating at resonant conditions within the operating limits of the rotorcraft.
(c) Turbine engine installation. For turbine engine installations, the powerplant systems associated with engine control devices, systems, and instrumentation must be designed to give reasonable assurance that those engine operating limitations that adversely affect turbine rotor structural integrity will not be exceeded in service.
(d) Restart capability. (1) A means to restart any engine in flight must be provided.
(2) Except for the in-flight shutdown of all engines, engine restart capability must be demonstrated throughout a flight envelope for the rotorcraft.
(3) Following the in-flight shutdown of all engines, in-flight engine restart capability must be provided.
(a) Each engine must be installed to prevent the harmful vibration of any part of the engine or rotorcraft.
(b) The addition of the rotor and the rotor drive system to the engine may not subject the principal rotating parts of the engine to excessive vibration stresses. This must be shown by a vibration investigation.
(c) No part of the rotor drive system may be subjected to excessive vibration stresses.
(a) Each rotor drive system must incorporate a unit for each engine to automatically disengage that engine from the main and auxiliary rotors if that engine fails.
(b) Each rotor drive system must be arranged so that each rotor necessary for control in autorotation will continue to be driven by the main rotors after disengagement of the engine from the main and auxiliary rotors.
(c) If a torque limiting device is used in the rotor drive system, it must be located so as to allow continued control of the rotorcraft when the device is operating.
(d) The rotor drive system includes any part necessary to transmit power from the engines to the rotor hubs. This includes gear boxes, shafting, universal joints, couplings, rotor brake assemblies, clutches, supporting bearings for shafting, any attendant accessory pads or drives, and any cooling fans that are a part of, attached to, or mounted on the rotor drive system.
If there is a means to control the rotation of the rotor drive system independently of the engine, any limitations on the use of that means must be specified, and the control for that means must be guarded to prevent inadvertent operation.
(a) Each part tested as prescribed in this section must be in a serviceable condition at the end of the tests. No intervening disassembly which might affect test results may be conducted.
(b) Each rotor drive system and control mechanism must be tested for not less than 100 hours. The test must be conducted on the rotorcraft, and the torque must be absorbed by the rotors to be installed, except that other ground or flight test facilities with other appropriate methods of torque absorption may be used if the conditions of support and vibration closely simulate the conditions that would exist during a test on the rotorcraft.
(c) A 60-hour part of the test prescribed in paragraph (b) of this section must be run at not less than maximum continuous torque and the maximum speed for use with maximum continuous torque. In this test, the main rotor controls must be set in the position that will give maximum longitudinal cyclic pitch change to simulate forward flight. The auxiliary rotor controls must be in the position for normal operation under the conditions of the test.
(d) A 30-hour or, for rotorcraft for which the use of either 30-minute OEI power or continuous OEI power is requested, a 25-hour part of the test prescribed in paragraph (b) of this section must be run at not less than 75 percent of maximum continuous torque and the minimum speed for use with 75 percent of maximum continuous torque. The main and auxiliary rotor controls must be in the position for normal operation under the conditions of the test.
(e) A 10-hour part of the test prescribed in paragraph (b) of this section must be run at not less than takeoff torque and the maximum speed for use with takeoff torque. The main and auxiliary rotor controls must be in the normal position for vertical ascent.
(1) For multiengine rotorcraft for which the use of 2
(i) Each run must consist of at least one period of 2
(ii) Each run must consist of at least one period for each engine in sequence, during which that engine simulates a power failure and the remaining engines are run at 2
(2) For multiengine turbine-powered rotorcraft for which the use of 30-second and 2-minute OEI power is requested, 10 runs must be conducted as follows:
(i) Immediately following a takeoff run of at least 5 minutes, each power source must simulate a failure, in turn, and apply the maximum torque and the maximum speed for use with 30-second OEI power to the remaining affected drive system power inputs for not less than 30 seconds, followed by application of the maximum torque and the maximum speed for use with 2-minute OEI power for not less than 2 minutes. At least one run sequence must be conducted from a simulated “flight idle” condition. When conducted on a bench test, the test sequence must be conducted following stabilization at takeoff power.
(ii) For the purpose of this paragraph, an affected power input includes all parts of the rotor drive system which can be adversely affected by the application of higher or asymmetric torque and speed prescribed by the test.
(iii) This test may be conducted on a representative bench test facility when engine limitations either preclude repeated use of this power or would result in premature engine removal during the test. The loads, the vibration frequency, and the methods of application to the affected rotor drive system components must be representative of rotorcraft conditions. Test components must be those used to show compliance with the remainder of this section.
(f) The parts of the test prescribed in paragraphs (c) and (d) of this section must be conducted in intervals of not less than 30 minutes and may be accomplished either on the ground or in flight. The part of the test prescribed in paragraph (e) of this section must be conducted in intervals of not less than five minutes.
(g) At intervals of not more than five hours during the tests prescribed in paragraphs (c), (d), and (e) of this section, the engine must be stopped rapidly enough to allow the engine and rotor drive to be automatically disengaged from the rotors.
(h) Under the operating conditions specified in paragraph (c) of this section, 500 complete cycles of lateral control, 500 complete cycles of longitudinal control of the main rotors, and 500 complete cycles of control of each auxiliary rotor must be accomplished. A “complete cycle” involves movement of the controls from the neutral position, through both extreme positions, and back to the neutral position, except that control movements need not produce loads or flapping motions exceeding the maximum loads or motions encountered in flight. The cycling may be accomplished during the testing prescribed in paragraph (c) of this section.
(i) At least 200 start-up clutch engagements must be accomplished—
(1) So that the shaft on the driven side of the clutch is accelerated; and
(2) Using a speed and method selected by the applicant.
(j) For multiengine rotorcraft for which the use of 30-minute OEI power is requested, five runs must be made at 30-minute OEI torque and the maximum speed for use with 30-minute OEI torque, in which each engine, in sequence, is made inoperative and the remaining engine(s) is run for a 30-minute period.
(k) For multiengine rotorcraft for which the use of continuous OEI power is requested, five runs must be made at continuous OEI torque and the maximum speed for use with continuous OEI torque, in which each engine, in sequence, is made inoperative and the remaining engine(s) is run for a 1-hour period.
(a) Any additional dynamic, endurance, and operational tests, and vibratory investigations necessary to determine that the rotor drive mechanism is safe, must be performed.
(b) If turbine engine torque output to the transmission can exceed the highest engine or transmission torque rating limit, and that output is not directly controlled by the pilot under normal operating conditions (such as where the primary engine power control is accomplished through the flight control), the following test must be made:
(1) Under conditions associated with all engines operating, make 200 applications, for 10 seconds each, or torque that is at least equal to the lesser of—
(i) The maximum torque used in meeting § 27.923 plus 10 percent; or
(ii) The maximum attainable torque output of the engines, assuming that torque limiting devices, if any, function properly.
(2) For multiengine rotorcraft under conditions associated with each engine, in turn, becoming inoperative, apply to the remaining transmission torque inputs the maximum torque attainable under probable operating conditions, assuming that torque limiting devices, if any, function properly. Each transmission input must be tested at this maximum torque for at least 15 minutes.
(3) The tests prescribed in this paragraph must be conducted on the rotorcraft at the maximum rotational speed intended for the power condition of the test and the torque must be absorbed by the rotors to be installed, except that other ground or flight test facilities with other appropriate methods of torque absorption may be used if the conditions of support and vibration closely simulate the conditions that would exist during a test on the rotorcraft.
(c) It must be shown by tests that the rotor drive system is capable of operating under autorotative conditions for 15 minutes after the loss of pressure in the rotor drive primary oil system.
(a) The critical speeds of any shafting must be determined by demonstration except that analytical methods may be used if reliable methods of analysis are available for the particular design.
(b) If any critical speed lies within, or close to, the operating ranges for idling, power on, and autorotative conditions, the stresses occurring at that speed must be within safe limits. This must be shown by tests.
(c) If analytical methods are used and show that no critical speed lies within the permissible operating ranges, the margins between the calculated critical speeds and the limits of the allowable operating ranges must be adequate to allow for possible variations between the computed and actual values.
Each universal joint, slip joint, and other shafting joints whose lubrication is necessary for operation must have provision for lubrication.
(a) Turbine engine operating characteristics must be investigated in flight to determine that no adverse characteristics (such as stall, surge, or flameout) are present, to a hazardous degree, during normal and emergency operation within the range of operating limitations of the rotorcraft and of the engine.
(b) The turbine engine air inlet system may not, as a result of airflow distortion during normal operation, cause vibration harmful to the engine.
(c) For governor-controlled engines, it must be shown that there exists no hazardous torsional instability of the drive system associated with critical combinations of power, rotational speed, and control displacement.
(a) Each fuel system must be constructed and arranged to ensure a flow of fuel at a rate and pressure established for proper engine functioning under any likely operating condition, including the maneuvers for which certification is requested.
(b) Each fuel system must be arranged so that—
(1) No fuel pump can draw fuel from more than one tank at a time; or
(2) There are means to prevent introducing air into the system.
(c) Each fuel system for a turbine engine must be capable of sustained operation throughout its flow and pressure range with fuel initially saturated with water at 80 °F. and having 0.75cc of free water per gallon added and cooled to the most critical condition for icing likely to be encountered in operation.
Unless other means acceptable to the Administrator are employed to minimize the hazard of fuel fires to occupants following an otherwise survivable impact (crash landing), the fuel systems must incorporate the design features of this section. These systems must be shown to be capable of sustaining the static and dynamic deceleration loads of this section, considered as ultimate loads acting alone, measured at the system component's center of gravity, without structural damage to system components, fuel tanks, or their attachments that would leak fuel to an ignition source.
(a) Drop test requirements. Each tank, or the most critical tank, must be drop-tested as follows:
(1) The drop height must be at least 50 feet.
(2) The drop impact surface must be nondeforming.
(3) The tank must be filled with water to 80 percent of the normal, full capacity.
(4) The tank must be enclosed in a surrounding structure representative of the installation unless it can be established that the surrounding structure is free of projections or other design features likely to contribute to rupture of the tank.
(5) The tank must drop freely and impact in a horizontal position ±10°.
(6) After the drop test, there must be no leakage.
(b) Fuel tank load factors. Except for fuel tanks located so that tank rupture with fuel release to either significant ignition sources, such as engines, heaters, and auxiliary power units, or occupants is extremely remote, each fuel tank must be designed and installed to retain its contents under the following ultimate inertial load factors, acting alone.
(1) For fuel tanks in the cabin:
(i) Upward—4g.
(ii) Forward—16g.
(iii) Sideward—8g.
(iv) Downward—20g.
(2) For fuel tanks located above or behind the crew or passenger compartment that, if loosened, could injure an occupant in an emergency landing:
(i) Upward—1.5g.
(ii) Forward—8g.
(iii) Sideward—2g.
(iv) Downward—4g.
(3) For fuel tanks in other areas:
(i) Upward—1.5g.
(ii) Forward—4g.
(iii) Sideward—2g.
(iv) Downward—4g.
(c) Fuel line self-sealing breakaway couplings. Self-sealing breakaway couplings must be installed unless hazardous relative motion of fuel system components to each other or to local rotorcraft structure is demonstrated to be extremely improbable or unless other means are provided. The couplings or equivalent devices must be installed at all fuel tank-to-fuel line connections, tank-to-tank interconnects, and at other points in the fuel system where local structural deformation could lead to the release of fuel.
(1) The design and construction of self-sealing breakaway couplings must incorporate the following design features:
(i) The load necessary to separate a breakaway coupling must be between 25 to 50 percent of the minimum ultimate failure load (ultimate strength) of the weakest component in the fluid-carrying line. The separation load must in no case be less than 300 pounds, regardless of the size of the fluid line.
(ii) A breakaway coupling must separate whenever its ultimate load (as defined in paragraph (c)(1)(i) of this section) is applied in the failure modes most likely to occur.
(iii) All breakaway couplings must incorporate design provisions to visually ascertain that the coupling is locked together (leak-free) and is open during normal installation and service.
(iv) All breakaway couplings must incorporate design provisions to prevent uncoupling or unintended closing due to operational shocks, vibrations, or accelerations.
(v) No breakaway coupling design may allow the release of fuel once the coupling has performed its intended function.
(2) All individual breakaway couplings, coupling fuel feed systems, or equivalent means must be designed, tested, installed, and maintained so that inadvertent fuel shutoff in flight is improbable in accordance with § 27.955(a) and must comply with the fatigue evaluation requirements of § 27.571 without leaking.
(3) Alternate, equivalent means to the use of breakaway couplings must not create a survivable impact-induced load on the fuel line to which it is installed greater than 25 to 50 percent of the ultimate load (strength) of the weakest component in the line and must comply with the fatigue requirements of § 27.571 without leaking.
(d) Frangible or deformable structural attachments. Unless hazardous relative motion of fuel tanks and fuel system components to local rotorcraft structure is demonstrated to be extremely improbable in an otherwise survivable impact, frangible or locally deformable attachments of fuel tanks and fuel system components to local rotorcraft structure must be used. The attachment of fuel tanks and fuel system components to local rotorcraft structure, whether frangible or locally deformable, must be designed such that its separation or relative local deformation will occur without rupture or local tear-out of the fuel tank or fuel system components that will cause fuel leakage. The ultimate strength of frangible or deformable attachments must be as follows:
(1) The load required to separate a frangible attachment from its support structure, or deform a locally deformable attachment relative to its support structure, must be between 25 and 50 percent of the minimum ultimate load (ultimate strength) of the weakest component in the attached system. In no case may the load be less than 300 pounds.
(2) A frangible or locally deformable attachment must separate or locally deform as intended whenever its ultimate load (as defined in paragraph (d)(1) of this section) is applied in the modes most likely to occur.
(3) All frangible or locally deformable attachments must comply with the fatigue requirements of § 27.571.
(e) Separation of fuel and ignition sources. To provide maximum crash resistance, fuel must be located as far as practicable from all occupiable areas and from all potential ignition sources.
(f) Other basic mechanical design criteria. Fuel tanks, fuel lines, electrical wires, and electrical devices must be designed, constructed, and installed, as far as practicable, to be crash resistant.
(g) Rigid or semirigid fuel tanks. Rigid or semirigid fuel tank or bladder walls must be impact and tear resistant.
(a) Each fuel system for multiengine rotorcraft must allow fuel to be supplied to each engine through a system independent of those parts of each system supplying fuel to other engines. However, separate fuel tanks need not be provided for each engine.
(b) If a single fuel tank is used on a multiengine rotorcraft, the following must be provided:
(1) Independent tank outlets for each engine, each incorporating a shutoff valve at the tank. This shutoff valve may also serve as the firewall shutoff valve required by § 27.995 if the line between the valve and the engine compartment does not contain a hazardous amount of fuel that can drain into the engine compartment.
(2) At least two vents arranged to minimize the probability of both vents becoming obstructed simultaneously.
(3) Filler caps designed to minimize the probability of incorrect installation or inflight loss.
(4) A fuel system in which those parts of the system from each tank outlet to any engine are independent of each part of each system supplying fuel to other engines.
The fuel system must be designed and arranged to prevent the ignition of fuel vapor within the system by—
(a) Direct lightning strikes to areas having a high probability of stroke attachment;
(b) Swept lightning strokes to areas where swept strokes are highly probable; or
(c) Corona and streamering at fuel vent outlets.
(a) General. The fuel system for each engine must be shown to provide the engine with at least 100 percent of the fuel required under each operating and maneuvering condition to be approved for the rotorcraft including, as applicable, the fuel required to operate the engine(s) under the test conditions required by § 27.927. Unless equivalent methods are used, compliance must be shown by test during which the following provisions are met except that combinations of conditions which are shown to be improbable need not be considered.
(1) The fuel pressure, corrected for critical accelerations, must be within the limits specified by the engine type certificate data sheet.
(2) The fuel level in the tank may not exceed that established as the unusable fuel supply for that tank under § 27.959, plus the minimum additional fuel necessary to conduct the test.
(3) The fuel head between the tank outlet and the engine inlet must be critical with respect to rotorcraft flight attitudes.
(4) The critical fuel pump (for pump-fed systems) is installed to produce (by actual or simulated failure) the critical restriction to fuel flow to be expected from pump failure.
(5) Critical values of engine rotation speed, electrical power, or other sources of fuel pump motive power must be applied.
(6) Critical values of fuel properties which adversely affect fuel flow must be applied.
(7) The fuel filter required by § 27.997 must be blocked to the degree necessary to simulate the accumulation of fuel contamination required to activate the indicator required by § 27.1305(q).
(b) Fuel transfer systems. If normal operation of the fuel system requires fuel to be transferred to an engine feed tank, the transfer must occur automatically via a system which has been shown to maintain the fuel level in the engine feed tank within acceptable limits during flight or surface operation of the rotorcraft.
(c) Multiple fuel tanks. If an engine can be supplied with fuel from more than one tank, the fuel systems must, in addition to having appropriate manual switching capability, be designed to prevent interruption of fuel flow to that engine, without attention by the flightcrew, when any tank supplying fuel to that engine is depleted of usable fuel during normal operation, and any other tank that normally supplies fuel to the engine alone contains usable fuel.
The unusable fuel supply for each tank must be established as not less than the quantity at which the first evidence of malfunction occurs under the most adverse fuel feed condition occurring under any intended operations and flight maneuvers involving that tank.
Each suction lift fuel system and other fuel systems with features conducive to vapor formation must be shown by test to operate satisfactorily (within certification limits) when using fuel at a temperature of 110 °F under critical operating conditions including, if applicable, the engine operating conditions defined by § 27.927 (b)(1) and (b)(2).
(a) Each fuel tank must be able to withstand, without failure, the vibration, inertia, fluid, and structural loads to which it may be subjected in operation.
(b) Each fuel tank of 10 gallons or greater capacity must have internal baffles, or must have external support to resist surging.
(c) Each fuel tank must be separated from the engine compartment by a firewall. At least one-half inch of clear airspace must be provided between the tank and the firewall.
(d) Spaces adjacent to the surfaces of fuel tanks must be ventilated so that fumes cannot accumulate in the tank compartment in case of leakage. If two or more tanks have interconnected outlets, they must be considered as one tank, and the airspaces in those tanks must be interconnected to prevent the flow of fuel from one tank to another as a result of a difference in pressure between those airspaces.
(e) The maximum exposed surface temperature of any component in the fuel tank must be less, by a safe margin as determined by the Administrator, than the lowest expected autoignition temperature of the fuel or fuel vapor in the tank. Compliance with this requirement must be shown under all operating conditions and under all failure or malfunction conditions of all components inside the tank.
(f) Each fuel tank installed in personnel compartments must be isolated by fume-proof and fuel-proof enclosures that are drained and vented to the exterior of the rotorcraft. The design and construction of the enclosures must provide necessary protection for the tank, must be crash resistant during a survivable impact in accordance with § 27.952, and must be adequate to withstand loads and abrasions to be expected in personnel compartments.
(g) Each flexible fuel tank bladder or liner must be approved or shown to be suitable for the particular application and must be puncture resistant. Puncture resistance must be shown by meeting the TSO-C80, paragraph 16.0, requirements using a minimum puncture force of 370 pounds.
(h) Each integral fuel tank must have provisions for inspection and repair of its interior.
(a) Each fuel tank must be able to withstand the applicable pressure tests in this section without failure or leakage. If practicable, test pressures may be applied in a manner simulating the pressure distribution in service.
(b) Each conventional metal tank, nonmetallic tank with walls that are not supported by the rotorcraft structure, and integral tank must be subjected to a pressure of 3.5 p.s.i. unless the pressure developed during maximum limit acceleration or emergency deceleration with a full tank exceeds this value, in which case a hydrostatic head, or equivalent test, must be applied to duplicate the acceleration loads as far as possible. However, the pressure need not exceed 3.5 p.s.i. on surfaces not exposed to the acceleration loading.
(c) Each nonmetallic tank with walls supported by the rotorcraft structure must be subjected to the following tests:
(1) A pressure test of at least 2.0 p.s.i. This test may be conducted on the tank alone in conjunction with the test specified in paragraph (c)(2) of this section.
(2) A pressure test, with the tank mounted in the rotorcraft structure, equal to the load developed by the reaction of the contents, with the tank full, during maximum limit acceleration or emergency deceleration. However, the pressure need not exceed 2.0 p.s.i. on surfaces not exposed to the acceleration loading.
(d) Each tank with large unsupported or unstiffened flat areas, or with other features whose failure or deformation could cause leakage, must be subjected to the following test or its equivalent:
(1) Each complete tank assembly and its support must be vibration tested while mounted to simulate the actual installation.
(2) The tank assembly must be vibrated for 25 hours while two-thirds full of any suitable fluid. The amplitude of vibration may not be less than one thirty-second of an inch, unless otherwise substantiated.
(3) The test frequency of vibration must be as follows:
(i) If no frequency of vibration resulting from any r.p.m. within the normal operating range of engine or rotor system speeds is critical, the test frequency of vibration, in number of cycles per minute must, unless a frequency based on a more rational calculation is used, be the number obtained by averaging the maximum and minimum power-on engine speeds (r.p.m.) for reciprocating engine powered rotorcraft or 2,000 c.p.m. for turbine engine powered rotorcraft.
(ii) If only one frequency of vibration resulting from any r.p.m. within the normal operating range of engine or rotor system speeds is critical, that frequency of vibration must be the test frequency.
(iii) If more than one frequency of vibration resulting from any r.p.m. within the normal operating range of engine or rotor system speeds is critical, the most critical of these frequencies must be the test frequency.
(4) Under paragraphs (d)(3)(ii) and (iii) of this section, the time of test must be adjusted to accomplish the same number of vibration cycles as would be accomplished in 25 hours at the frequency specified in paragraph (d)(3)(i) of this section.
(5) During the test, the tank assembly must be rocked at the rate of 16 to 20 complete cycles per minute through an angle of 15 degrees on both sides of the horizontal (30 degrees total), about the most critical axis, for 25 hours. If motion about more than one axis is likely to be critical, the tank must be rocked about each critical axis for 12
(a) Each fuel tank must be supported so that tank loads are not concentrated on unsupported tank surfaces. In addition—
(1) There must be pads, if necessary, to prevent chafing between each tank and its supports;
(2) The padding must be nonabsorbent or treated to prevent the absorption of fuel;
(3) If flexible tank liners are used, they must be supported so that it is not necessary for them to withstand fluid loads; and
(4) Each interior surface of tank compartments must be smooth and free of projections that could cause wear of the liner unless—
(i) There are means for protection of the liner at those points; or
(ii) The construction of the liner itself provides such protection.
(b) Any spaces adjacent to tank surfaces must be adequately ventilated to avoid accumulation of fuel or fumes in those spaces due to minor leakage. If the tank is in a sealed compartment, ventilation may be limited to drain holes that prevent clogging and excessive pressure resulting from altitude changes. If flexible tank liners are installed, the venting arrangement for the spaces between the liner and its container must maintain the proper relationship to tank vent pressures for any expected flight condition.
(c) The location of each tank must meet the requirements of § 27.1185 (a) and (c).
(d) No rotorcraft skin immediately adjacent to a major air outlet from the engine compartment may act as the wall of the integral tank.
Each fuel tank or each group of fuel tanks with interconnected vent systems must have an expansion space of not less than 2 percent of the tank capacity. It must be impossible to fill the fuel tank expansion space inadvertently with the rotorcraft in the normal ground attitude.
(a) Each fuel tank must have a drainable sump with an effective capacity in any ground attitude to be expected in service of 0.25 percent of the tank capacity or
(1) The fuel system has a sediment bowl or chamber that is accessible for preflight drainage and has a minimum capacity of 1 ounce for every 20 gallons of fuel tank capacity; and
(2) Each fuel tank drain is located so that in any ground attitude to be expected in service, water will drain from all parts of the tank to the sediment bowl or chamber.
(b) Each sump, sediment bowl, and sediment chamber drain required by this section must comply with the drain provisions of § 27.999(b).
(a) Each fuel tank filler connection must prevent the entrance of fuel into any part of the rotorcraft other than the tank itself during normal operations and must be crash resistant during a survivable impact in accordance with § 27.952(c). In addition—
(1) Each filler must be marked as prescribed in § 27.1557(c)(1);
(2) Each recessed filler connection that can retain any appreciable quantity of fuel must have a drain that discharges clear of the entire rotorcraft; and
(3) Each filler cap must provide a fuel-tight seal under the fluid pressure expected in normal operation and in a survivable impact.
(b) Each filler cap or filler cap cover must warn when the cap is not fully locked or seated on the filler connection.
(a) Each fuel tank must be vented from the top part of the expansion space so that venting is effective under all normal flight conditions. Each vent must minimize the probability of stoppage by dirt or ice.
(b) The venting system must be designed to minimize spillage of fuel through the vents to an ignition source in the event of a rollover during landing, ground operation, or a survivable impact.
(a) There must be a fuel stainer for the fuel tank outlet or for the booster pump. This strainer must—
(1) For reciprocating engine powered rotorcraft, have 8 to 16 meshes per inch; and
(2) For turbine engine powered rotorcraft, prevent the passage of any object that could restrict fuel flow or damage any fuel system component.
(b) The clear area of each fuel tank outlet strainer must be at least five times the area of the outlet line.
(c) The diameter of each strainer must be at least that of the fuel tank outlet.
(d) Each finger strainer must be accessible for inspection and cleaning.
Compliance with § 27.955 may not be jeopardized by failure of—
(a) Any one pump except pumps that are approved and installed as parts of a type certificated engine; or
(b) Any component required for pump operation except, for engine driven pumps, the engine served by that pump.
(a) Each fuel line must be installed and supported to prevent excessive vibration and to withstand loads due to fuel pressure and accelerated flight conditions.
(b) Each fuel line connected to components of the rotorcraft between which relative motion could exist must have provisions for flexibility.
(c) Flexible hose must be approved.
(d) Each flexible connection in fuel lines that may be under pressure or subjected to axial loading must use flexible hose assemblies.
(e) No flexible hose that might be adversely affected by high temperatures may be used where excessive temperatures will exist during operation or after engine shutdown.
(a) There must be a positive, quick-acting valve to shut off fuel to each engine individually.
(b) The control for this valve must be within easy reach of appropriate crewmembers.
(c) Where there is more than one source of fuel supply there must be means for independent feeding from each source.
(d) No shutoff valve may be on the engine side of any firewall.
There must be a fuel strainer or filter between the fuel tank outlet and the inlet of the first fuel system component which is susceptible to fuel contamination, including but not limited to the fuel metering device or an engine positive displacement pump, whichever is nearer the fuel tank outlet. This fuel strainer or filter must—
(a) Be accessible for draining and cleaning and must incorporate a screen or element which is easily removable;
(b) Have a sediment trap and drain except that it need not have a drain if the strainer or filter is easily removable for drain purposes;
(c) Be mounted so that its weight is not supported by the connecting lines or by the inlet or outlet connections of the strainer or filter itself, unless adequate strength margins under all loading conditions are provided in the lines and connections; and
(d) Provide a means to remove from the fuel any contaminant which would jeopardize the flow of fuel through rotorcraft or engine fuel system components required for proper rotorcraft fuel system or engine fuel system operation.
(a) There must be at least one accessible drain at the lowest point in each fuel system to completely drain the system with the rotorcraft in any ground attitude to be expected in service.
(b) Each drain required by paragraph (a) of this section must—
(1) Discharge clear of all parts of the rotorcraft;
(2) Have manual or automatic means to assure positive closure in the off position; and
(3) Have a drain valve—
(i) That is readily accessible and which can be easily opened and closed; and
(ii) That is either located or protected to prevent fuel spillage in the event of a landing with landing gear retracted.
(a) Each engine must have an independent oil system that can supply it with an appropriate quantity of oil at a temperature not above that safe for continuous operation.
(b) The usable oil capacity of each system may not be less than the product of the endurance of the rotorcraft under critical operating conditions and the maximum oil consumption of the engine under the same conditions, plus a suitable margin to ensure adequate circulation and cooling. Instead of a rational analysis of endurance and consumption, a usable oil capacity of one gallon for each 40 gallons of usable fuel may be used.
(c) The oil cooling provisions for each engine must be able to maintain the oil inlet temperature to that engine at or below the maximum established value. This must be shown by flight tests.
Each oil tank must be designed and installed so that—
(a) It can withstand, without failure, each vibration, inertia, fluid, and structural load expected in operation;
(b) [Reserved]
(c) Where used with a reciprocating engine, it has an expansion space of not less than the greater of 10 percent of the tank capacity or 0.5 gallon, and where used with a turbine engine, it has an expansion space of not less than 10 percent of the tank capacity.
(d) It is impossible to fill the tank expansion space inadvertently with the rotorcraft in the normal ground attitude;
(e) Adequate venting is provided; and
(f) There are means in the filler opening to prevent oil overflow from entering the oil tank compartment.
Each oil tank must be designed and installed so that it can withstand, without leakage, an internal pressure of 5 p.s.i., except that each pressurized oil tank used with a turbine engine must be designed and installed so that it can withstand, without leakage, an internal pressure of 5 p.s.i., plus the maximum operating pressure of the tank.
(a) Each oil line must be supported to prevent excessive vibration.
(b) Each oil line connected to components of the rotorcraft between which relative motion could exist must have provisions for flexibility.
(c) Flexible hose must be approved.
(d) Each oil line must have an inside diameter of not less than the inside diameter of the engine inlet or outlet. No line may have splices between connections.
(a) Each turbine engine installation must incorporate an oil strainer or filter through which all of the engine oil flows and which meets the following requirements:
(1) Each oil strainer or filter that has a bypass must be constructed and installed so that oil will flow at the normal rate through the rest of the system with the strainer or filter completely blocked.
(2) The oil strainer or filter must have the capacity (with respect to operating limitations established for the engine) to ensure that engine oil system functioning is not impaired when the oil is contaminated to a degree (with respect to particle size and density) that is greater than that established for the engine under Part 33 of this chapter.
(3) The oil strainer or filter, unless it is installed at an oil tank outlet, must incorporate a means to indicate contamination before it reaches the capacity established in accordance with paragraph (a)(2) of this section.
(4) The bypass of a strainer or filter must be constructed and installed so that the release of collected contaminants is minimized by appropriate location of the bypass to ensure that collected contaminants are not in the bypass flow path.
(5) An oil strainer or filter that has no bypass, except one that is installed at an oil tank outlet, must have a means to connect it to the warning system required in § 27.1305(r).
(b) Each oil strainer or filter in a powerplant installation using reciprocating engines must be constructed and installed so that oil will flow at the normal rate through the rest of the system with the strainer or filter element completely blocked.
A drain (or drains) must be provided to allow safe drainage of the oil system. Each drain must—
(a) Be accessible; and
(b) Have manual or automatic means for positive locking in the closed position.
(a) The lubrication system for components of the rotor drive system that require continuous lubrication must be sufficiently independent of the lubrication systems of the engine(s) to ensure lubrication during autorotation.
(b) Pressure lubrication systems for transmissions and gearboxes must comply with the engine oil system requirements of §§ 27.1013 (except paragraph (c)), 27.1015, 27.1017, 27.1021, and 27.1337(d).
(c) Each pressure lubrication system must have an oil strainer or filter through which all of the lubricant flows and must—
(1) Be designed to remove from the lubricant any contaminant which may damage transmission and drive system components or impede the flow of lubricant to a hazardous degree;
(2) Be equipped with a means to indicate collection of contaminants on the filter or strainer at or before opening of the bypass required by paragraph (c)(3) of this section; and
(3) Be equipped with a bypass constructed and installed so that—
(i) The lubricant will flow at the normal rate through the rest of the system with the strainer or filter completely blocked; and
(ii) The release of collected contaminants is minimized by appropriate location of the bypass to ensure that collected contaminants are not in the bypass flowpath.
(d) For each lubricant tank or sump outlet supplying lubrication to rotor drive systems and rotor drive system components, a screen must be provided to prevent entrance into the lubrication system of any object that might obstruct the flow of lubricant from the outlet to the filter required by paragraph (c) of this section. The requirements of paragraph (c) do not apply to screens installed at lubricant tank or sump outlets.
(e) Splash-type lubrication systems for rotor drive system gearboxes must comply with §§ 27.1021 and 27.1337(d).
(a) Each powerplant cooling system must be able to maintain the temperatures of powerplant components within the limits established for these components under critical surface (ground or water) and flight operating conditions for which certification is required and after normal shutdown. Powerplant components to be considered include but may not be limited to engines, rotor drive system components, auxiliary power units, and the cooling or lubricating fluids used with these components.
(b) Compliance with paragraph (a) of this section must be shown in tests conducted under the conditions prescribed in that paragraph.
(a) General. For the tests prescribed in § 27.1041(b), the following apply:
(1) If the tests are conducted under conditions deviating from the maximum ambient atmospheric temperature specified in paragraph (b) of this section, the recorded powerplant temperatures must be corrected under paragraphs (c) and (d) of this section unless a more rational correction method is applicable.
(2) No corrected temperature determined under paragraph (a)(1) of this section may exceed established limits.
(3) For reciprocating engines, the fuel used during the cooling tests must be of the minimum grade approved for the engines, and the mixture settings must be those normally used in the flight stages for which the cooling tests are conducted.
(4) The test procedures must be as prescribed in § 27.1045.
(b) Maximum ambient atmospheric temperature. A maximum ambient atmospheric temperature corresponding to sea level conditions of at least 100 degrees F. must be established. The assumed temperature lapse rate is 3.6 degrees F. per thousand feet of altitude above sea level until a temperature of −69.7 degrees F. is reached, above which altitude the temperature is considered constant at −69.7 degrees F. However, for winterization installations, the applicant may select a maximum ambient atmospheric temperature corresponding to sea level conditions of less than 100 degrees F.
(c) Correction factor (except cylinder barrels). Unless a more rational correction applies, temperatures of engine fluids and power-plant components (except cylinder barrels) for which temperature limits are established, must be corrected by adding to them the difference between the maximum ambient atmospheric temperature and the temperature of the ambient air at the time of the first occurrence of the maximum component or fluid temperature recorded during the cooling test.
(d) Correction factor for cylinder barrel temperatures. Cylinder barrel temperatures must be corrected by adding to them 0.7 times the difference between the maximum ambient atmospheric temperature and the temperature of the ambient air at the time of the first occurrence of the maximum cylinder barrel temperature recorded during the cooling test.
(a) General. For each stage of flight, the cooling tests must be conducted with the rotorcraft—
(1) In the configuration most critical for cooling; and
(2) Under the conditions most critical for cooling.
(b) Temperature stabilization. For the purpose of the cooling tests, a temperature is “stabilized” when its rate of change is less than two degrees F. per minute. The following component and engine fluid temperature stabilization rules apply:
(1) For each rotorcraft, and for each stage of flight—
(i) The temperatures must be stabilized under the conditions from which entry is made into the stage of flight being investigated; or
(ii) If the entry condition normally does not allow temperatures to stabilize, operation through the full entry condition must be conducted before entry into the stage of flight being investigated in order to allow the temperatures to attain their natural levels at the time of entry.
(2) For each helicopter during the takeoff stage of flight, the climb at takeoff power must be preceded by a period of hover during which the temperatures are stabilized.
(c) Duration of test. For each stage of flight the tests must be continued until—
(1) The temperatures stabilize or 5 minutes after the occurrence of the highest temperature recorded, as appropriate to the test condition;
(2) That stage of flight is completed; or
(3) An operating limitation is reached.
(a) The air induction system for each engine must supply the air required by that engine under the operating conditions and maneuvers for which certification is requested.
(b) Each cold air induction system opening must be outside the cowling if backfire flames can emerge.
(c) If fuel can accumulate in any air induction system, that system must have drains that discharge fuel—
(1) Clear of the rotorcraft; and
(2) Out of the path of exhaust flames.
(d) For turbine engine powered rotorcraft—
(1) There must be means to prevent hazardous quantities of fuel leakage or overflow from drains, vents, or other components of flammable fluid systems from entering the engine intake system; and
(2) The air inlet ducts must be located or protected so as to minimize the ingestion of foreign matter during takeoff, landing, and taxiing.
(a) Reciprocating engines. Each reciprocating engine air induction system must have means to prevent and eliminate icing. Unless this is done by other means, it must be shown that, in air free of visible moisture at a temperature of 30 degrees F., and with the engines at 75 percent of maximum continuous power—
(1) Each rotorcraft with sea level engines using conventional venturi carburetors has a preheater that can provide a heat rise of 90 degrees F.;
(2) Each rotorcraft with sea level engines using carburetors tending to prevent icing has a sheltered alternate source of air, and that the preheat supplied to the alternate air intake is not less than that provided by the engine cooling air downstream of the cylinders;
(3) Each rotorcraft with altitude engines using conventional venturi carburetors has a preheater capable of providing a heat rise of 120 degrees F.; and
(4) Each rotorcraft with altitude engines using carburetors tending to prevent icing has a preheater that can provide a heat rise of—
(i) 100 degrees F.; or
(ii) If a fluid deicing system is used, at least 40 degrees F.
(b) Turbine engine. (1) It must be shown that each turbine engine and its air inlet system can operate throughout the flight power range of the engine (including idling)—
(i) Without accumulating ice on engine or inlet system components that would adversely affect engine operation or cause a serious loss of power under the icing conditions specified in appendix C of Part 29 of this chapter; and
(ii) In snow, both falling and blowing, without adverse effect on engine operation, within the limitations established for the rotorcraft.
(2) Each turbine engine must idle for 30 minutes on the ground, with the air bleed available for engine icing protection at its critical condition, without adverse effect, in an atmosphere that is at a temperature between 15° and 30 °F (between −9° and −1 °C) and has a liquid water content not less than 0.3 gram per cubic meter in the form of drops having a mean effective diameter not less than 20 microns, followed by momentary operation at takeoff power or thrust. During the 30 minutes of idle operation, the engine may be run up periodically to a moderate power or thrust setting in a manner acceptable to the Administrator.
(c) Supercharged reciprocating engines. For each engine having superchargers to pressurize the air before it enters the carburetor, the heat rise in the air caused by that supercharging at any altitude may be utilized in determining compliance with paragraph (a) of this section if the heat rise utilized is that which will be available, automatically, for the applicable altitude and operating condition because of supercharging.
For each exhaust system—
(a) There must be means for thermal expansion of manifolds and pipes;
(b) There must be means to prevent local hot spots;
(c) Exhaust gases must discharge clear of the engine air intake, fuel system components, and drains;
(d) Each exhaust system part with a surface hot enough to ignite flammable fluids or vapors must be located or shielded so that leakage from any system carrying flammable fluids or vapors will not result in a fire caused by impingement of the fluids or vapors on any part of the exhaust system including shields for the exhaust system;
(e) Exhaust gases may not impair pilot vision at night due to glare;
(f) If significant traps exist, each turbine engine exhaust system must have drains discharging clear of the rotorcraft, in any normal ground and flight attitudes, to prevent fuel accumulation after the failure of an attempted engine start;
(g) Each exhaust heat exchanger must incorporate means to prevent blockage of the exhaust port after any internal heat exchanger failure.
(a) Exhaust piping must be heat and corrosion resistant, and must have provisions to prevent failure due to expansion by operating temperatures.
(b) Exhaust piping must be supported to withstand any vibration and inertia loads to which it would be subjected in operations.
(c) Exhaust piping connected to components between which relative motion could exist must have provisions for flexibility.
(a) Powerplant controls must be located and arranged under § 27.777 and marked under § 27.1555.
(b) Each flexible powerplant control must be approved.
(c) Each control must be able to maintain any set position without—
(1) Constant attention; or
(2) Tendency to creep due to control loads or vibration.
(d) Controls of powerplant valves required for safety must have—
(1) For manual valves, positive stops or in the case of fuel valves suitable index provisions, in the open and closed position; and
(2) For power-assisted valves, a means to indicate to the flight crew when the valve—
(i) Is in the fully open or fully closed position; or
(ii) Is moving between the fully open and fully closed position.
(e) For turbine engine powered rotorcraft, no single failure or malfunction, or probable combination thereof, in any powerplant control system may cause the failure of any powerplant function necessary for safety.
(a) There must be a separate power control for each engine.
(b) Power controls must be grouped and arranged to allow—
(1) Separate control of each engine; and
(2) Simultaneous control of all engines.
(c) Each power control must provide a positive and immediately responsive means of controlling its engine.
(d) If a power control incorporates a fuel shutoff feature, the control must have a means to prevent the inadvertent movement of the control into the shutoff position. The means must—
(1) Have a positive lock or stop at the idle position; and
(2) Require a separate and distinct operation to place the control in the shutoff position.
(e) For rotorcraft to be certificated for a 30-second OEI power rating, a means must be provided to automatically activate and control the 30-second OEI power and prevent any engine from exceeding the installed engine limits associated with the 30-second OEI power rating approved for the rotorcraft.
(a) There must be means to quickly shut off all ignition by the grouping of switches or by a master ignition control.
(b) Each group of ignition switches, except ignition switches for turbine engines for which continuous ignition is not required, and each master ignition control must have a means to prevent its inadvertent operation.
If there are mixture controls, each engine must have a separate control and the controls must be arranged to allow—
(a) Separate control of each engine; and
(b) Simultaneous control of all engines.
(a) It must be impossible to apply the rotor brake inadvertently in flight.
(b) There must be means to warn the crew if the rotor brake has not been completely released before takeoff.
(a) Each engine-mounted accessory must—
(1) Be approved for mounting on the engine involved;
(2) Use the provisions on the engine for mounting; and
(3) Be sealed in such a way as to prevent contamination of the engine oil system and the accessory system.
(b) Unless other means are provided, torque limiting means must be provided for accessory drives located on any component of the transmission and rotor drive system to prevent damage to these components from excessive accessory load.
(a) Except as provided in paragraph (b) of this section, each line, fitting, and other component carrying flammable fluid in any area subject to engine fire conditions must be fire resistant, except that flammable fluid tanks and supports which are part of and attached to the engine must be fireproof or be enclosed by a fireproof shield unless damage by fire to any non-fireproof part will not cause leakage or spillage of flammable fluid. Components must be shielded or located so as to safeguard against the ignition of leaking flammable fluid. An integral oil sump of less than 25-quart capacity on a reciprocating engine need not be fireproof nor be enclosed by a fireproof shield.
(b) Paragraph (a) does not apply to—
(1) Lines, fittings, and components which are already approved as part of a type certificated engine; and
(2) Vent and drain lines, and their fittings, whose failure will not result in, or add to, a fire hazard.
(c) Each flammable fluid drain and vent must discharge clear of the induction system air inlet.
(a) Each fuel tank must be isolated from the engines by a firewall or shroud.
(b) Each tank or reservoir, other than a fuel tank, that is part of a system containing flammable fluids or gases must be isolated from the engine by a firewall or shroud, unless the design of the system, the materials used in the tank and its supports, the shutoff means, and the connections, lines and controls provide a degree of safety equal to that which would exist if the tank or reservoir were isolated from the engines.
(c) There must be at least one-half inch of clear airspace between each tank and each firewall or shroud isolating that tank, unless equivalent means are used to prevent heat transfer from each engine compartment to the flammable fluid.
(d) Absorbent materials close to flammable fluid system components that might leak must be covered or treated to prevent the absorption of hazardous quantities of fluids.
Each compartment containing any part of the powerplant installation must have provision for ventilation and drainage of flammable fluids. The drainage means must be—
(a) Effective under conditions expected to prevail when drainage is needed, and
(b) Arranged so that no discharged fluid will cause an additional fire hazard.
(a) There must be means to shut off each line carrying flammable fluids into the engine compartment, except—
(1) Lines, fittings, and components forming an intergral part of an engine;
(2) For oil systems for which all components of the system, including oil tanks, are fireproof or located in areas not subject to engine fire conditions; and
(3) For reciprocating engine installations only, engine oil system lines in installation using engines of less than 500 cu. in. displacement.
(b) There must be means to guard against inadvertent operation of each shutoff, and to make it possible for the crew to reopen it in flight after it has been closed.
(c) Each shutoff valve and its control must be designed, located, and protected to function properly under any condition likely to result from an engine fire.
(a) Each engine, including the combustor, turbine, and tailpipe sections of turbine engines must be isolated by a firewall, shroud, or equivalent means, from personnel compartments, structures, controls, rotor mechanisms, and other parts that are—
(1) Essential to a controlled landing: and
(2) Not protected under § 27.861.
(b) Each auxiliary power unit and combustion heater, and any other combustion equipment to be used in flight, must be isolated from the rest of the rotorcraft by firewalls, shrouds, or equivalent means.
(c) In meeting paragraphs (a) and (b) of this section, account must be taken of the probable path of a fire as affected by the airflow in normal flight and in autorotation.
(d) Each firewall and shroud must be constructed so that no hazardous quantity of air, fluids, or flame can pass from any engine compartment to other parts of the rotorcraft.
(e) Each opening in the firewall or shroud must be sealed with close-fitting, fireproof grommets, bushings, or firewall fittings.
(f) Each firewall and shroud must be fireproof and protected against corrosion.
(a) Each cowling and engine compartment covering must be constructed and supported so that it can resist the vibration, inertia, and air loads to which it may be subjected in operation.
(b) There must be means for rapid and complete drainage of each part of the cowling or engine compartment in the normal ground and flight attitudes.
(c) No drain may discharge where it might cause a fire hazard.
(d) Each cowling and engine compartment covering must be at least fire resistant.
(e) Each part of the cowling or engine compartment covering subject to high temperatures due to its nearness to exhaust system parts or exhaust gas impingement must be fireproof.
(f) A means of retaining each openable or readily removable panel, cowling, or engine or rotor drive system covering must be provided to preclude hazardous damage to rotors or critical control components in the event of structural or mechanical failure of the normal retention means, unless such failure is extremely improbable.
All surfaces aft of, and near, powerplant compartments, other than tail surfaces not subject to heat, flames, or sparks emanating from a powerplant compartment, must be at least fire resistant.
Each turbine engine powered rotorcraft must have approved quick-acting fire detectors in numbers and locations insuring prompt detection of fire in the engine compartment which cannot be readily observed in flight by the pilot in the cockpit.
Each item of installed equipment must—
(a) Be of a kind and design appropriate to its intended function;
(b) Be labeled as to its identification, function, or operating limitations, or any applicable combination of these factors;
(c) Be installed according to limitations specified for that equipment; and
(d) Function properly when installed.
The following are the required flight and navigation instruments:
(a) An airspeed indicator.
(b) An altimeter.
(c) A magnetic direction indicator.
The following are the required powerplant instruments:
(a) A carburetor air temperature indicator, for each engine having a preheater that can provide a heat rise in excess of 60 °F.
(b) A cylinder head temperature indicator, for each—
(1) Air cooled engine;
(2) Rotorcraft with cooling shutters; and
(3) Rotorcraft for which compliance with § 27.1043 is shown in any condition other than the most critical flight condition with respect to cooling.
(c) A fuel pressure indicator, for each pump-fed engine.
(d) A fuel quantity indicator, for each fuel tank.
(e) A means to indicate manifold pressure for each altitude engine.
(f) An oil temperature warning device to indicate when the temperature exceeds a safe value in each main rotor drive gearbox (including any gearboxes essential to rotor phasing) having an oil system independent of the engine oil system.
(g) An oil pressure warning device to indicate when the pressure falls below a safe value in each pressure-lubricated main rotor drive gearbox (including any gearboxes essential to rotor phasing) having an oil system independent of the engine oil system.
(h) An oil pressure indicator for each engine.
(i) An oil quantity indicator for each oil tank.
(j) An oil temperature indicator for each engine.
(k) A means to indicate the r.p.m. of each engine and at least one tachometer, as applicable, for:
(1) The r.p.m. of the single main rotor;
(2) The common r.p.m. of any main rotors whose speeds cannot vary appreciably with respect to each other; or
(3) The r.p.m. of each main rotor whose speed can vary appreciably with respect to that of another main rotor.
(l) A low fuel warning device for each fuel tank which feeds an engine. This device must—
(1) Provide a warning to the flightcrew when approximately 10 minutes of usable fuel remains in the tank; and
(2) Be independent of the normal fuel quantity indicating system.
(m) Means to indicate to the flightcrew the failure of any fuel pump installed to show compliance with § 27.955.
(n) A means to indicate the gas temperature for each turbine engine.
(o) A means to enable the pilot to determine the torque of each turbine engine, if a torque limitation is established for that engine under § 27.1521(e).
(p) For each turbine engine, an indicator to indicate the functioning of the powerplant ice protection system.
(q) An indicator for the fuel filter required by § 27.997 to indicate the occurrence of contamination of the filter at the degree established by the applicant in compliance with § 27.955.
(r) For each turbine engine, a warning means for the oil strainer or filter required by § 27.1019, if it has no bypass, to warn the pilot of the occurrence of contamination of the strainer or filter before it reaches the capacity established in accordance with § 27.1019(a)(2).
(s) An indicator to indicate the functioning of any selectable or controllable heater used to prevent ice clogging of fuel system components.
(t) For rotorcraft for which a 30-second/2-minute OEI power rating is requested, a means must be provided to alert the pilot when the engine is at the 30-second and the 2-minute OEI power levels, when the event begins, and when the time interval expires.
(u) For each turbine engine utilizing 30-second/2-minute OEI power, a device or system must be provided for use by ground personnel which—
(1) Automatically records each usage and duration of power at the 30-second and 2-minute OEI levels;
(2) Permits retrieval of the recorded data;
(3) Can be reset only by ground maintenance personnel; and
(4) Has a means to verify proper operation of the system or device.
(v) Warning or caution devices to signal to the flight crew when ferromagnetic particles are detected by the chip detector required by § 27.1337(e).
The following is the required miscellaneous equipment:
(a) An approved seat for each occupant.
(b) An approved safety belt for each occupant.
(c) A master switch arrangement.
(d) An adequate source of electrical energy, where electrical energy is necessary for operation of the rotorcraft.
(e) Electrical protective devices.
The equipment, systems, and installations whose functioning is required by this subchapter must be designed and installed to ensure that they perform their intended functions under any foreseeable operating condition. For any item of equipment or system whose failure has not been specifically addressed by another requirement in this chapter, the following requirements also apply:
(a) The design of each item of equipment, system, and installation must be analyzed separately and in relation to other rotorcraft systems and installations to determine and identify any failure that would affect the capability of the rotorcraft or the ability of the crew to perform their duties in all operating conditions.
(b) Each item of equipment, system, and installation must be designed and installed so that:
(1) The occurrence of any catastrophic failure condition is extremely improbable;
(2) The occurrence of any major failure condition is no more than improbable; and
(3) For the occurrence of any other failure condition between major and catastrophic, the probability of the failure condition must be inversely proportional to its consequences.
(c) A means to alert the crew in the event of a failure must be provided when an unsafe system operating condition exists and to enable them to take corrective action. Systems, controls, and associated monitoring and crew alerting means must be designed to minimize crew errors that could create additional hazards.
(d) Compliance with the requirements of this section must be shown by analysis and, where necessary, by ground, flight, or simulator tests. The analysis must account for:
(1) Possible modes of failure, including malfunctions and misleading data and input from external sources;
(2) The effect of multiple failures and latent failures;
(3) The resulting effects on the rotorcraft and occupants, considering the stage of flight and operating conditions; and
(4) The crew alerting cues and the corrective action required.
(a) Each electrical and electronic system that performs a function, for which failure would prevent the continued safe flight and landing of the rotorcraft, must be designed and installed so that—
(1) The function is not adversely affected during and after the time the rotorcraft is exposed to lightning; and
(2) The system automatically recovers normal operation of that function in a timely manner after the rotorcraft is exposed to lightning.
(b) For rotorcraft approved for instrument flight rules operation, each electrical and electronic system that performs a function, for which failure would reduce the capability of the rotorcraft or the ability of the flightcrew to respond to an adverse operating condition, must be designed and installed so that the function recovers normal operation in a timely manner after the rotorcraft is exposed to lightning.
(a) Except as provided in paragraph (d) of this section, each electrical and electronic system that performs a function whose failure would prevent the continued safe flight and landing of the rotorcraft must be designed and installed so that—
(1) The function is not adversely affected during and after the time the rotorcraft is exposed to HIRF environment I, as described in appendix D to this part;
(2) The system automatically recovers normal operation of that function, in a timely manner, after the rotorcraft is exposed to HIRF environment I, as described in appendix D to this part, unless this conflicts with other operational or functional requirements of that system;
(3) The system is not adversely affected during and after the time the rotorcraft is exposed to HIRF environment II, as described in appendix D to this part; and
(4) Each function required during operation under visual flight rules is not adversely affected during and after the time the rotorcraft is exposed to HIRF environment III, as described in appendix D to this part.
(b) Each electrical and electronic system that performs a function whose failure would significantly reduce the capability of the rotorcraft or the ability of the flightcrew to respond to an adverse operating condition must be designed and installed so the system is not adversely affected when the equipment providing these functions is exposed to equipment HIRF test level 1 or 2, as described in appendix D to this part.
(c) Each electrical and electronic system that performs a function whose failure would reduce the capability of the rotorcraft or the ability of the flightcrew to respond to an adverse operating condition, must be designed and installed so the system is not adversely affected when the equipment providing these functions is exposed to equipment HIRF test level 3, as described in appendix D to this part.
(d) Before December 1, 2012, an electrical or electronic system that performs a function whose failure would prevent the continued safe flight and landing of a rotorcraft may be designed and installed without meeting the provisions of paragraph (a) provided—
(1) The system has previously been shown to comply with special conditions for HIRF, prescribed under § 21.16, issued before December 1, 2007;
(2) The HIRF immunity characteristics of the system have not changed since compliance with the special conditions was demonstrated; and
(3) The data used to demonstrate compliance with the special conditions is provided.
(a) Each flight, navigation, and powerplant instrument for use by any pilot must be easily visible to him.
(b) For each multiengine rotorcraft, identical powerplant instruments must be located so as to prevent confusion as to which engine each instrument relates.
(c) Instrument panel vibration may not damage, or impair the readability or accuracy of, any instrument.
(d) If a visual indicator is provided to indicate malfunction of an instrument, it must be effective under all probable cockpit lighting conditions.
If warning, caution or advisory lights are installed in the cockpit, they must, unless otherwise approved by the Administrator, be—
(a) Red, for warning lights (lights indicating a hazard which may require immediate corrective action):
(b) Amber, for caution lights (lights indicating the possible need for future corrective action);
(c) Green, for safe operation lights; and
(d) Any other color, including white, for lights not described in paragraphs (a) through (c) of this section, provided the color differs sufficiently from the colors prescribed in paragraphs (a) through (c) of this section to avoid possible confusion.
(a) Each airspeed indicating instrument must be calibrated to indicate true airspeed (at sea level with a standard atmosphere) with a minimum practicable instrument calibration error when the corresponding pitot and static pressures are applied.
(b) The airspeed indicating system must be calibrated in flight at forward speeds of 20 knots and over.
(c) At each forward speed above 80 percent of the climbout speed, the airspeed indicator must indicate true airspeed, at sea level with a standard atmosphere, to within an allowable installation error of not more than the greater of—
(1) ±3 percent of the calibrated airspeed; or
(2) Five knots.
(a) Each instrument with static air case connections must be vented so that the influence of rotorcraft speed, the opening and closing of windows, airflow variation, and moisture or other foreign matter does not seriously affect its accuracy.
(b) Each static pressure port must be designed and located in such manner that the correlation between air pressure in the static pressure system and true ambient atmospheric static pressure is not altered when the rotorcraft encounters icing conditions. An anti-icing means or an alternate source of static pressure may be used in showing compliance with this requirement. If the reading of the altimeter, when on the alternate static pressure system, differs from the reading of the altimeter when on the primary static system by more than 50 feet, a correction card must be provided for the alternate static system.
(c) Except as provided in paragraph (d) of this section, if the static pressure system incorporates both a primary and an alternate static pressure source, the means for selecting one or the other source must be designed so that—
(1) When either source is selected, the other is blocked off; and
(2) Both sources cannot be blocked off simultaneously.
(d) For unpressurized rotorcraft, paragraph (c)(1) of this section does not apply if it can be demonstrated that the static pressure system calibration, when either static pressure source is selected is not changed by the other static pressure source being open or blocked.
(a) Except as provided in paragraph (b) of this section—
(1) Each magnetic direction indicator must be installed so that its accuracy is not excessively affected by the rotorcraft's vibration or magnetic fields; and
(2) The compensated installation may not have a deviation, in level flight, greater than 10 degrees on any heading.
(b) A magnetic nonstabilized direction indicator may deviate more than 10 degrees due to the operation of electrically powered systems such as electrically heated windshields if either a magnetic stabilized direction indicator, which does not have a deviation in level flight greater than 10 degrees on any heading, or a gyroscopic direction indicator, is installed. Deviations of a magnetic nonstabilized direction indicator of more than 10 degrees must be placarded in accordance with § 27.1547(e).
For the purpose of this subpart, an automatic pilot and flight guidance system may consist of an autopilot, flight director, or a component that interacts with stability augmentation or trim.
(a) Each automatic pilot and flight guidance system must be designed so that it:
(1) Can be overpowered by one pilot to allow control of the rotorcraft;
(2) Provides a means to disengage the system, or any malfunctioning component of the system, by each pilot to prevent it from interfering with the control of the rotorcraft; and
(3) Provides a means to indicate to the flight crew its current mode of operation. Selector switch position is not acceptable as a means of indication.
(b) Unless there is automatic synchronization, each system must have a means to readily indicate to the pilot the alignment of the actuating device in relation to the control system it operates.
(c) Each manually operated control for the system's operation must be readily accessible to the pilots.
(d) The system must be designed so that, within the range of adjustment available to the pilot, it cannot produce hazardous loads on the rotorcraft, or create hazardous deviations in the flight path, under any flight condition appropriate to its use or in the event of a malfunction, assuming that corrective action begins within a reasonable period of time.
(e) If the automatic pilot and flight guidance system integrates signals from auxiliary controls or furnishes signals for operation of other equipment, there must be a means to prevent improper operation.
(f) If the automatic pilot system can be coupled to airborne navigation equipment, means must be provided to indicate to the pilots the current mode of operation. Selector switch position is not acceptable as a means of indication.
(a) Instruments and instrument lines. (1) Each powerplant instrument line must meet the requirements of §§ 27.- 961 and 27.993.
(2) Each line carrying flammable fluids under pressure must—
(i) Have restricting orifices or other safety devices at the source of pressure to prevent the escape of excessive fluid if the line fails; and
(ii) Be installed and located so that the escape of fluids would not create a hazard.
(3) Each powerplant instrument that utilizes flammable fluids must be installed and located so that the escape of fluid would not create a hazard.
(b) Fuel quantity indicator. Each fuel quantity indicator must be installed to clearly indicate to the flight crew the quantity of fuel in each tank in flight. In addition—
(1) Each fuel quantity indicator must be calibrated to read “zero” during level flight when the quantity of fuel remaining in the tank is equal to the unusable fuel supply determined under § 27.959;
(2) When two or more tanks are closely interconnected by a gravity feed system and vented, and when it is impossible to feed from each tank separately, at least one fuel quantity indicator must be installed; and
(3) Each exposed sight gauge used as a fuel quantity indicator must be protected against damage.
(c) Fuel flowmeter system. If a fuel flowmeter system is installed, each metering component must have a means for bypassing the fuel supply if malfunction of that component severely restricts fuel flow.
(d) Oil quantity indicator. There must be means to indicate the quantity of oil in each tank—
(1) On the ground (including during the filling of each tank); and
(2) In flight, if there is an oil transfer system or reserve oil supply system.
(e) Rotor drive system transmissions and gearboxes utilizing ferromagnetic materials must be equipped with chip detectors designed to indicate the presence of ferromagnetic particles resulting from damage or excessive wear. Chip detectors must—
(1) Be designed to provide a signal to the device required by § 27.1305(v) and be provided with a means to allow crewmembers to check, in flight, the function of each detector electrical circuit and signal.
(2) [Reserved]
(a) Electrical system capacity. Electrical equipment must be adequate for its intended use. In addition—
(1) Electric power sources, their transmission cables, and their associated control and protective devices must be able to furnish the required power at the proper voltage to each load circuit essential for safe operation; and
(2) Compliance with paragraph (a)(1) of this section must be shown by an electrical load analysis, or by electrical measurements that take into account the electrical loads applied to the electrical system, in probable combinations and for probable durations.
(b) Function. For each electrical system, the following apply:
(1) Each system, when installed, must be—
(i) Free from hazards in itself, in its method of operation, and in its effects on other parts of the rotorcraft; and
(ii) Protected from fuel, oil, water, other detrimental substances, and mechanical damage.
(2) Electric power sources must function properly when connected in combination or independently.
(3) No failure or malfunction of any source may impair the ability of any remaining source to supply load circuits essential for safe operation.
(4) Each electric power source control must allow the independent operation of each source.
(c) Generating system. There must be at least one generator if the system supplies power to load circuits essential for safe operation. In addition—
(1) Each generator must be able to deliver its continuous rated power;
(2) Generator voltage control equipment must be able to dependably regulate each generator output within rated limits;
(3) Each generator must have a reverse current cutout designed to disconnect the generator from the battery and from the other generators when enough reverse current exists to damage that generator; and
(4) Each generator must have an overvoltage control designed and installed to prevent damage to the electrical system, or to equipment supplied by the electrical system, that could result if that generator were to develop an overvoltage condition.
(d) Instruments. There must be means to indicate to appropriate crewmembers the electric power system quantities essential for safe operation of the system. In addition—
(1) For direct current systems, an ammeter that can be switched into each generator feeder may be used; and
(2) If there is only one generator, the ammeter may be in the battery feeder.
(e) External power. If provisions are made for connecting external power to the rotorcraft, and that external power can be electrically connected to equipment other than that used for engine starting, means must be provided to ensure that no external power supply having a reverse polarity, or a reverse phase sequence, can supply power to the rotorcraft's electrical system.
Energy storage systems must be designed and installed as follows:
(a) Energy storage systems must provide automatic protective features for any conditions that could prevent continued safe flight and landing.
(b) Energy storage systems must not emit any flammable, explosive, or toxic gases, smoke, or fluids that could accumulate in hazardous quantities within the rotorcraft.
(c) Corrosive fluids or gases that escape from the system must not damage surrounding structures, adjacent equipment, or systems necessary for continued safe flight and landing.
(d) The maximum amount of heat and pressure that can be generated during any operation or under any failure condition of the energy storage system or its individual components must not result in any hazardous effect on rotorcraft structure, equipment, or systems necessary for continued safe flight and landing.
(e) Energy storage system installations required for continued safe flight and landing of the rotorcraft must have monitoring features and a means to indicate to the pilot the status of all critical system parameters.
(a) Protective devices, such as fuses or circuit breakers, must be installed in each electrical circuit other than—
(1) The main circuits of starter motors; and
(2) Circuits in which no hazard is presented by their omission.
(b) A protective device for a circuit essential to flight safety may not be used to protect any other circuit.
(c) Each resettable circuit protective device (“trip free” device in which the tripping mechanism cannot be overridden by the operating control) must be designed so that—
(1) A manual operation is required to restore service after trippling; and
(2) If an overload or circuit fault exists, the device will open the circuit regardless of the position of the operating control.
(d) If the ability to reset a circuit breaker or replace a fuse is essential to safety in flight, that circuit breaker or fuse must be located and identified so that it can be readily reset or replaced in flight.
(e) If fuses are used, there must be one spare of each rating, or 50 percent spare fuses of each rating, whichever is greater.
(a) There must be a master switch arrangement to allow ready disconnection of each electric power source from the main bus. The point of disconnection must be adjacent to the sources controlled by the switch.
(b) Load circuits may be connected so that they remain energized after the switch is opened, if they are protected by circuit protective devices, rated at five amperes or less, adjacent to the electric power source.
(c) The master switch or its controls must be installed so that the switch is easily discernible and accessible to a crewmember in flight.
(a) Each electric connecting cable must be of adequate capacity.
(b) Each cable that would overheat in the event of circuit overload or fault must be at least flame resistant and may not emit dangerous quantities of toxic fumes.
(c) Insulation on electrical wire and cable installed in the rotorcraft must be self-extinguishing when tested in accordance with appendix F, part I(a)(3), of part 25 of this chapter.
Each switch must be—
(a) Able to carry its rated current;
(b) Accessible to the crew; and
(c) Labeled as to operation and the circuit controlled.
The instrument lights must—
(a) Make each instrument, switch, and other devices for which they are provided easily readable; and
(b) Be installed so that—
(1) Their direct rays are shielded from the pilot's eyes; and
(2) No objectionable reflections are visible to the pilot.
(a) Each required landing or hovering light must be approved.
(b) Each landing light must be installed so that—
(1) No objectionable glare is visible to the pilot;
(2) The pilot is not adversely affected by halation; and
(3) It provides enough light for night operation, including hovering and landing.
(c) At least one separate switch must be provided, as applicable—
(1) For each separately installed landing light; and
(2) For each group of landing lights installed at a common location.
(a) General. Each part of each position light system must meet the applicable requirements of this section, and each system as a whole must meet the requirements of §§ 27.1387 through 27.1397.
(b) Forward position lights. Forward position lights must consist of a red and a green light spaced laterally as far apart as practicable and installed forward on the rotorcraft so that, with the rotorcraft in the normal flying position, the red light is on the left side and the green light is on the right side. Each light must be approved.
(c) Rear position light. The rear position light must be a white light mounted as far aft as practicable, and must be approved.
(d) Circuit. The two forward position lights and the rear position light must make a single circuit.
(e) Light covers and color filters. Each light cover or color filter must be at least flame resistant and may not change color or shape or lose any appreciable light transmission during normal use.
(a) Except as provided in paragraph (e) of this section, each forward and rear position light must, as installed, show unbroken light within the dihedral angles described in this section.
(b) Dihedral angle L (left) is formed by two intersecting vertical planes, the first parallel to the longitudinal axis of the rotorcraft, and the other at 110 degrees to the left of the first, as viewed when looking forward along the longitudinal axis.
(c) Dihedral angle R (right) is formed by two intersecting vertical planes, the first parallel to the longitudinal axis of the rotorcraft, and the other at 110 degrees to the right of the first, as viewed when looking forward along the longitudinal axis.
(d) Dihedral angle A (aft) is formed by two intersecting vertical planes making angles of 70 degrees to the right and to the left, respectively, to a vertical plane passing through the longitudinal axis, as viewed when looking aft along the longitudinal axis.
(e) If the rear position light, when mounted as far aft as practicable in accordance with § 25.1385(c), cannot show unbroken light within dihedral angle A (as defined in paragraph (d) of this section), a solid angle or angles of obstructed visibility totaling not more than 0.04 steradians is allowable within that dihedral angle, if such solid angle is within a cone whose apex is at the rear position light and whose elements make an angle of 30° with a vertical line passing through the rear position light.
(a) General. the intensities prescribed in this section must be provided by new equipment with light covers and color filters in place. Intensities must be determined with the light source operating at a steady value equal to the average luminous output of the source at the normal operating voltage of the rotorcraft. The light distribution and intensity of each position light must meet the requirements of paragraph (b) of this section.
(b) Forward and rear position lights. The light distribution and intensities of forward and rear position lights must be expressed in terms of minimum intensities in the horizontal plane, minimum intensities in any vertical plane, and maximum intensities in overlapping beams, within dihedral angles L, R, and A, and must meet the following requirements:
(1) Intensities in the horizontal plane. Each intensity in the horizontal plane (the plane containing the longitudinal axis of the rotorcraft and perpendicular to the plane of symmetry of the rotorcraft) must equal or exceed the values in § 27.1391.
(2) Intensities in any vertical plane. Each intensity in any vertical plane (the plane perpendicular to the horizontal plane) must equal or exceed the appropriate value in § 27.1393, where I is the minimum intensity prescribed in § 27.1391 for the corresponding angles in the horizontal plane.
(3) Intensities in overlaps between adjacent signals. No intensity in any overlap between adjacent signals may exceed the values in § 27.1395, except that higher intensities in overlaps may be used with main beam intensities substantially greater than the minima specified in §§ 27.1391 and 27.1393, if the overlap intensities in relation to the main beam intensities do not adversely affect signal clarity. When the peak intensity of the forward position lights is greater than 100 candles, the maximum overlap intensities between them may exceed the values in § 27.1395 if the overlap intensity in Area A is not more than 10 percent of peak position light intensity and the overlap intensity in Area B is not more than 2.5 percent of peak position light intensity.
Each position light intensity must equal or exceed the applicable values in the following table:
| Dihedral angle (light included) | Angle from right or left of longitudinal axis, measured from dead ahead | Intensity (candles) |
|---|---|---|
| 10° to 10°
10° to 20° 20° to 110° | 40
30 5 | |
| 110° to 180° | 20 |
Each position light intensity must equal or exceed the applicable values in the following table:
| Angle above or below the horizontal plane | Intensity, |
|---|---|
| 0° | 1.00 |
| 0° to 5° | 0.90 |
| 5° to 10° | 0.80 |
| 10° to 15° | 0.70 |
| 15° to 20° | 0.50 |
| 20° to 30° | 0.30 |
| 30° to 40° | 0.10 |
| 40° to 90° | 0.05 |
No position light intensity may exceed the applicable values in the following table, except as provided in § 27.1389(b)(3).
| Overlaps | Maximum Intensity | |
|---|---|---|
| Area A (candles) | Area B (candles) | |
| Green in dihedral angle | 10 | 1 |
| Red in dihedral angle | 10 | 1 |
| Green in dihedral angle | 5 | 1 |
| Red in dihedral angle | 5 | 1 |
| Rear white in dihedral angle | 5 | 1 |
| Rear white in dihedral angle | 5 | 1 |
(a) Area A includes all directions in the adjacent dihedral angle that pass through the light source and intersect the common boundary plane at more than 10 degrees but less than 20 degrees, and
(b) Area B includes all directions in the adjacent dihedral angle that pass through the light source and intersect the common boundary plane at more than 20 degrees.
Each position light color must have the applicable International Commission on Illumination chromaticity coordinates as follows:
(a) Aviation red—
y is not greater than 0.335; and
z is not greater than 0.002.
(b) Aviation green—
x is not greater than 0.440−0.320y;
x is not greater than y−0.170; and
y is not less than 0.390−0.170x.
(c) Aviation white—
x is not less than 0.300 and not greater than 0.540;
y is not less than x−0.040” or y
y is not greater than x + 0.020 nor 0.636−0.400x;
Where y
(a) Each riding light required for water operation must be installed so that it can—
(1) Show a white light for at least two nautical miles at night under clear atmospheric conditions; and
(2) Show a maximum practicable unbroken light with the rotorcraft on the water.
(b) Externally hung lights may be used.
(a) General. If certification for night operation is requested, the rotorcraft must have an anticollision light system that—
(1) Consists of one or more approved anticollision lights located so that their emitted light will not impair the crew's vision or detract from the conspicuity of the position lights; and
(2) Meets the requirements of paragraphs (b) through (f) of this section.
(b) Field of coverage. The system must consist of enough lights to illuminate the vital areas around the rotorcraft, considering the physical configuration and flight characteristics of the rotorcraft. The field of coverage must extend in each direction within at least 30 degrees below the horizontal plane of the rotorcraft, except that there may be solid angles of obstructed visibility totaling not more than 0.5 steradians.
(c) Flashing characteristics. The arrangement of the system, that is, the number of light sources, beam width, speed of rotation, and other characteristics, must give an effective flash frequency of not less than 40, nor more than 100, cycles per minute. The effective flash frequency is the frequency at which the rotorcraft's complete anticollision light system is observed from a distance, and applies to each sector of light including any overlaps that exist when the system consists of more than one light source. In overlaps, flash frequencies may exceed 100, but not 180, cycles per minute.
(d) Color. Each anticollision light must be aviation red and must meet the applicable requirements of § 27.1397.
(e) Light intensity. The minimum light intensities in any vertical plane, measured with the red filter (if used) and expressed in terms of “effective” intensities, must meet the requirements of paragraph (f) of this section. The following relation must be assumed:
(f) Minimum effective intensities for anticollision light. Each anticollision light effective intensity must equal or exceed the applicable values in the following table:
| Angle above or below the horizontal plane | Effective intensity (candles) |
|---|---|
| 0° to 5° | 150 |
| 5° to 10° | 90 |
| 10° to 20° | 30 |
| 20° to 30° | 15 |
(a) Required safety equipment to be used by the crew in an emergency, such as flares and automatic liferaft releases, must be readily accessible.
(b) Stowage provisions for required safety equipment must be furnished and must—
(1) Be arranged so that the equipment is directly accessible and its location is obvious; and
(2) Protect the safety equipment from damage caused by being subjected to the inertia loads specified in § 27.561.
Each safety belt must be equipped with a metal to metal latching device.
(a) Emergency flotation and signaling equipment required by any operating rule in this chapter must meet the requirements of this section.
(b) Each raft and each life preserver must be approved and must be installed so that it is readily available to the crew and passengers. The storage provisions for life preservers must accommodate one life preserver for each occupant for which certification for ditching is requested.
(c) Each raft released automatically or by the pilot must be attached to the rotorcraft by a line to keep it alongside the rotorcraft. This line must be weak enough to break before submerging the empty raft to which it is attached.
(d) Each signaling device must be free from hazard in its operation and must be installed in an accessible location.
(a) To obtain certification for flight into icing conditions, compliance with this section must be shown.
(b) It must be demonstrated that the rotorcraft can be safely operated in the continuous maximum and intermittent maximum icing conditions determined under appendix C of Part 29 of this chapter within the rotorcraft altitude envelope. An analysis must be performed to establish, on the basis of the rotorcraft's operational needs, the adequacy of the ice protection system for the various components of the rotorcraft.
(c) In addition to the analysis and physical evaluation prescribed in paragraph (b) of this section, the effectiveness of the ice protection system and its components must be shown by flight tests of the rotorcraft or its components in measured natural atmospheric icing conditions and by one or more of the following tests as found necessary to determine the adequacy of the ice protection system:
(1) Laboratory dry air or simulated icing tests, or a combination of both, of the components or models of the components.
(2) Flight dry air tests of the ice protection system as a whole, or its individual components.
(3) Flight tests of the rotorcraft or its components in measured simulated icing conditions.
(d) The ice protection provisions of this section are considered to be applicable primarily to the airframe. Powerplant installation requirements are contained in Subpart E of this part.
(e) A means must be indentified or provided for determining the formation of ice on critical parts of the rotorcraft. Unless otherwise restricted, the means must be available for nighttime as well as daytime operation. The rotorcraft flight manual must describe the means of determining ice formation and must contain information necessary for safe operation of the rotorcraft in icing conditions.
(a) Design. Each hydraulic system and its elements must withstand, without yielding, any structural loads expected in addition to hydraulic loads.
(b) Tests. Each system must be substantiated by proof pressure tests. When proof tested, no part of any system may fail, malfunction, or experience a permanent set. The proof load of each system must be at least 1.5 times the maximum operating pressure of that system.
(c) Accumulators. No hydraulic accumulator or pressurized reservoir may be installed on the engine side of any firewall unless it is an integral part of an engine.
(a) Each cockpit voice recorder required by the operating rules of this chapter must be approved, and must be installed so that it will record the following:
(1) Voice communications transmitted from or received in the rotorcraft by radio.
(2) Voice communications of flight crewmembers on the flight deck.
(3) Voice communications of flight crewmembers on the flight deck, using the rotorcraft's interphone system.
(4) Voice or audio signals identifying navigation or approach aids introduced into a headset or speaker.
(5) Voice communications of flight crewmembers using the passenger loudspeaker system, if there is such a system, and if the fourth channel is available in accordance with the requirements of paragraph (c)(4)(ii) of this section.
(6) If datalink communication equipment is installed, all datalink communications, using an approved data message set. Datalink messages must be recorded as the output signal from the communications unit that translates the signal into usable data.
(b) The recording requirements of paragraph (a)(2) of this section may be met:
(1) By installing a cockpit-mounted area microphone located in the best position for recording voice communications originating at the first and second pilot stations and voice communications of other crewmembers on the flight deck when directed to those stations; or
(2) By installing a continually energized or voice-actuated lip microphone at the first and second pilot stations.
The microphone specified in this paragraph must be so located and, if necessary, the preamplifiers and filters of the recorder must be adjusted or supplemented so that the recorded communications are intelligible when recorded under flight cockpit noise conditions and played back. The level of intelligibility must be approved by the Administrator. Repeated aural or visual playback of the record may be used in evaluating intelligibility.
(c) Each cockpit voice recorder must be installed so that the part of the communication or audio signals specified in paragraph (a) of this section obtained from each of the following sources is recorded on a separate channel:
(1) For the first channel, from each microphone, headset, or speaker used at the first pilot station.
(2) For the second channel, from each microphone, headset, or speaker used at the second pilot station.
(3) For the third channel, from the cockpit-mounted area microphone, or the continually energized or voice-actuated lip microphone at the first and second pilot stations.
(4) For the fourth channel, from:
(i) Each microphone, headset, or speaker used at the stations for the third and fourth crewmembers; or
(ii) If the stations specified in paragraph (c)(4)(i) of this section are not required or if the signal at such a station is picked up by another channel, each microphone on the flight deck that is used with the passenger loudspeaker system if its signals are not picked up by another channel.
(iii) Each microphone on the flight deck that is used with the rotorcraft's loudspeaker system if its signals are not picked up by another channel.
(d) Each cockpit voice recorder must be installed so that:
(1)(i) It receives its electrical power from the bus that provides the maximum reliability for operation of the cockpit voice recorder without jeopardizing service to essential or emergency loads.
(ii) It remains powered for as long as possible without jeopardizing emergency operation of the rotorcraft.
(2) There is an automatic means to simultaneously stop the recorder and prevent each erasure feature from functioning, within 10 minutes after crash impact;
(3) There is an aural or visual means for preflight checking of the recorder for proper operation;
(4) Whether the cockpit voice recorder and digital flight data recorder are installed in separate boxes or in a combination unit, no single electrical failure external to the recorder may disable both the cockpit voice recorder and the digital flight data recorder; and
(5) It has an independent power source—
(i) That provides 10 ±1 minutes of electrical power to operate both the cockpit voice recorder and cockpit-mounted area microphone;
(ii) That is located as close as practicable to the cockpit voice recorder; and
(iii) To which the cockpit voice recorder and cockpit-mounted area microphone are switched automatically in the event that all other power to the cockpit voice recorder is interrupted either by normal shutdown or by any other loss of power to the electrical power bus.
(e) The record container must be located and mounted to minimize the probability of rupture of the container as a result of crash impact and consequent heat damage to the record from fire.
(f) If the cockpit voice recorder has a bulk erasure device, the installation must be designed to minimize the probability of inadvertent operation and actuation of the device during crash impact.
(g) Each recorder container must be either bright orange or bright yellow.
(h) When both a cockpit voice recorder and a flight data recorder are required by the operating rules, one combination unit may be installed, provided that all other requirements of this section and the requirements for flight data recorders under this part are met.
(a) Each flight recorder required by the operating rules of Subchapter G of this chapter must be installed so that:
(1) It is supplied with airspeed, altitude, and directional data obtained from sources that meet the accuracy requirements of §§ 27.1323, 27.1325, and 27.1327 of this part, as applicable;
(2) The vertical acceleration sensor is rigidly attached, and located longitudinally within the approved center of gravity limits of the rotorcraft;
(3)(i) It receives its electrical power from the bus that provides the maximum reliability for operation of the flight data recorder without jeopardizing service to essential or emergency loads.
(ii) It remains powered for as long as possible without jeopardizing emergency operation of the rotorcraft.
(4) There is an aural or visual means for preflight checking of the recorder for proper recording of data in the storage medium;
(5) Except for recorders powered solely by the engine-driven electrical generator system, there is an automatic means to simultaneously stop a recorder that has a data erasure feature and prevent each erasure feature from functioning, within 10 minutes after any crash impact; and
(6) Whether the cockpit voice recorder and digital flight data recorder are installed in separate boxes or in a combination unit, no single electrical failure external to the recorder may disable both the cockpit voice recorder and the digital flight data recorder.
(b) Each nonejectable recorder container must be located and mounted so as to minimize the probability of container rupture resulting from crash impact and subsequent damage to the record from fire.
(c) A correlation must be established between the flight recorder readings of airspeed, altitude, and heading and the corresponding readings (taking into account correction factors) of the first pilot's instruments. This correlation must cover the airspeed range over which the aircraft is to be operated, the range of altitude to which the aircraft is limited, and 360 degrees of heading. Correlation may be established on the ground as appropriate.
(d) Each recorder container must:
(1) Be either bright orange or bright yellow;
(2) Have a reflective tape affixed to its external surface to facilitate its location under water; and
(3) Have an underwater locating device, when required by the operating rules of this chapter, on or adjacent to the container which is secured in such a manner that they are not likely to be separated during crash impact.
(e) When both a cockpit voice recorder and a flight data recorder are required by the operating rules, one combination unit may be installed, provided that all other requirements of this section and the requirements for cockpit voice recorders under this part are met.
(a) Equipment containing high energy rotors must meet paragraph (b), (c), or (d) of this section.
(b) High energy rotors contained in equipment must be able to withstand damage caused by malfunctions, vibration, abnormal speeds, and abnormal temperatures. In addition—
(1) Auxiliary rotor cases must be able to contain damage caused by the failure of high energy rotor blades; and
(2) Equipment control devices, systems, and instrumentation must reasonably ensure that no operating limitations affecting the integrity of high energy rotors will be exceeded in service.
(c) It must be shown by test that equipment containing high energy rotors can contain any failure of a high energy rotor that occurs at the highest speed obtainable with the normal speed control devices inoperative.
(d) Equipment containing high energy rotors must be located where rotor failure will neither endanger the occupants nor adversely affect continued safe flight.
(a) Each operating limitation specified in §§ 27.1503 through 27.1525 and other limitations and information necessary for safe operation must be established.
(b) The operating limitations and other information necessary for safe operation must be made available to the crewmembers as prescribed in §§ 27.1541 through 27.1589.
(a) An operating speed range must be established.
(b) When airspeed limitations are a function of weight, weight distribution, altitude, rotor speed, power, or other factors, airspeed limitations corresponding with the critical combinations of these factors must be established.
(a) The never-exceed speed, V
(1) Not less than 40 knots (CAS); and
(2) Not more than the lesser of—
(i) 0.9 times the maximum forward speeds established under § 27.309;
(ii) 0.9 times the maximum speed shown under §§ 27.251 and 27.629; or
(iii) 0.9 times the maximum speed substantiated for advancing blade tip mach number effects.
(b) V
(1) No more than two of these variables (or no more than two instruments integrating more than one of these variables) are used at one time; and
(2) The ranges of these variables (or of the indications on instruments integrating more than one of these variables) are large enough to allow an operationally practical and safe variation of V
(c) For helicopters, a stabilized power-off V
(1) V
(i) § 27.65(b) for single engine helicopters; and
(ii) § 27.67 for multiengine helicopters.
(2) V
(i) A constant airspeed;
(ii) A constant amount less than power-on V
(iii) A constant airspeed for a portion of the altitude range for which certification is requested, and a constant amount less than power-on V
(a) Maximum power-off (autorotation). The maximum power-off rotor speed must be established so that it does not exceed 95 percent of the lesser of—
(1) The maximum design r.p.m. determined under § 27.309(b); and
(2) The maximum r.p.m. shown during the type tests.
(b) Minimum power off. The minimum power-off rotor speed must be established so that it is not less than 105 percent of the greater of—
(1) The minimum shown during the type tests; and
(2) The minimum determined by design substantiation.
(c) Minimum power on. The minimum power-on rotor speed must be established so that it is—
(1) Not less than the greater of—
(i) The minimum shown during the type tests; and
(ii) The minimum determined by design substantiation; and
(2) Not more than a value determined under § 27.33(a)(1) and (b)(1).
The weight and center of gravity limitations determined under §§ 27.25 and 27.27, respectively, must be established as operating limitations.
(a) General. The powerplant limitations prescribed in this section must be established so that they do not exceed the corresponding limits for which the engines are type certificated.
(b) Takeoff operation. The powerplant takeoff operation must be limited by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value shown during the type tests;
(2) The maximum allowable manifold pressure (for reciprocating engines);
(3) The time limit for the use of the power corresponding to the limitations established in paragraphs (b)(1) and (2) of this section;
(4) If the time limit in paragraph (b)(3) of this section exceeds two minutes, the maximum allowable cylinder head, coolant outlet, or oil temperatures;
(5) The gas temperature limits for turbine engines over the range of operating and atmospheric conditions for which certification is requested.
(c) Continuous operation. The continuous operation must be limited by—
(1) The maximum rotational speed which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value shown during the type tests;
(2) The minimum rotational speed shown under the rotor speed requirements in § 27.1509(c); and
(3) The gas temperature limits for turbine engines over the range of operating and atmospheric conditions for which certification is requested.
(d) Fuel grade or designation. The minimum fuel grade (for reciprocating engines), or fuel designation (for turbine engines), must be established so that it is not less than that required for the operation of the engines within the limitations in paragraphs (b) and (c) of this section.
(e) Turboshaft engine torque. For rotorcraft with main rotors driven by turboshaft engines, and that do not have a torque limiting device in the transmission system, the following apply:
(1) A limit engine torque must be established if the maximum torque that the engine can exert is greater than—
(i) The torque that the rotor drive system is designed to transmit; or
(ii) The torque that the main rotor assembly is designed to withstand in showing compliance with § 27.547(e).
(2) The limit engine torque established under paragraph (e)(1) of this section may not exceed either torque specified in paragraph (e)(1)(i) or (ii) of this section.
(f) Ambient temperature. For turbine engines, ambient temperature limitations (including limitations for winterization installations, if applicable) must be established as the maximum ambient atmospheric temperature at which compliance with the cooling provisions of §§ 27.1041 through 27.1045 is shown.
(g) Two and one-half-minute OEI power operation. Unless otherwise authorized, the use of 2
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum demonstrated during the type tests;
(2) The maximum allowable gas temperature; and
(3) The maximum allowable torque.
(h) Thirty-minute OEI power operation. Unless otherwise authorized, the use of 30-minute OEI power must be limited to multiengine, turbine-powered rotorcraft for not longer than 30 minutes after failure of an engine. The use of 30-minute OEI power must also be limited by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value demonstrated during the type tests;
(2) The maximum allowable gas temperature; and
(3) The maximum allowable torque.
(i) Continuous OEI power operation. Unless otherwise authorized, the use of continuous OEI power must be limited to multiengine, turbine-powered rotorcraft for continued flight after failure of an engine. The use of continuous OEI power must also be limited by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value demonstrated during the type tests;
(2) The maximum allowable gas temperature; and
(3) The maximum allowable torque.
(j) Rated 30-second OEI power operation. Rated 30-second OEI power is permitted only on multiengine, turbine-powered rotorcraft, also certificated for the use of rated 2-minute OEI power, and can only be used for continued operation of the remaining engine(s) after a failure or precautionary shutdown of an engine. It must be shown that following application of 30-second OEI power, any damage will be readily detectable by the applicable inspections and other related procedures furnished in accordance with Section A27.4 of appendix A of this part and Section A33.4 of appendix A of part 33. The use of 30-second OEI power must be limited to not more than 30 seconds for any period in which that power is used, and by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value demonstrated during the type tests;
(2) The maximum allowable gas temperature; and
(3) The maximum allowable torque.
(k) Rated 2-minute OEI power operation. Rated 2-minute OEI power is permitted only on multiengine, turbine-powered rotorcraft, also certificated for the use of rated 30-second OEI power, and can only be used for continued operation of the remaining engine(s) after a failure or precautionary shutdown of an engine. It must be shown that following application of 2-minute OEI power, any damage will be readily detectable by the applicable inspections and other related procedures furnished in accordance with Section A27.4 of appendix A of this part and Section A33.4 of appendix A of part 33. The use of 2-minute OEI power must be limited to not more than 2 minutes for any period in which that power is used, and by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value demonstrated during the type tests;
(2) The maximum allowable gas temperature; and
(3) The maximum allowable torque.
The minimum flight crew must be established so that it is sufficient for safe operation, considering—
(a) The workload on individual crewmembers;
(b) The accessibility and ease of operation of necessary controls by the appropriate crewmember; and
(c) The kinds of operation authorized under § 27.1525.
The kinds of operations (such as VFR, IFR, day, night, or icing) for which the rotorcraft is approved are established by demonstrated compliance with the applicable certification requirements and by the installed equipment.
The maximum altitude up to which operation is allowed, as limited by flight, structural, powerplant, functional, or equipment characteristics, must be established.
The applicant must prepare Instructions for Continued Airworthiness in accordance with appendix A to this part that are acceptable to the Administrator. The instructions may be incomplete at type certification if a program exists to ensure their completion prior to delivery of the first rotorcraft or issuance of a standard certificate of airworthiness, whichever occurs later.
(a) The rotorcraft must contain—
(1) The markings and placards specified in §§ 27.1545 through 27.1565, and
(2) Any additional information, instrument markings, and placards required for the safe operation of rotorcraft with unusual design, operating or handling characteristics.
(b) Each marking and placard prescribed in paragraph (a) of this section—
(1) Must be displayed in a conspicuous place; and
(2) May not be easily erased, disfigured, or obscured.
For each instrument—
(a) When markings are on the cover glass of the instrument, there must be means to maintain the correct alignment of the glass cover with the face of the dial; and
(b) Each arc and line must be wide enough, and located, to be clearly visible to the pilot.
(a) Each airspeed indicator must be marked as specified in paragraph (b) of this section, with the marks located at the corresponding indicated airspeeds.
(b) The following markings must be made:
(1) A red line—
(i) For rotorcraft other than helicopters, at V
(ii) For helicopters, at V
(iii) For helicopters, at V
(2) [Reserved]
(3) For the caution range, a yellow range.
(4) For the normal operating range, a green or unmarked range.
(a) A placard meeting the requirements of this section must be installed on or near the magnetic direction indicator.
(b) The placard must show the calibration of the instrument in level flight with the engines operating.
(c) The placard must state whether the calibration was made with radio receivers on or off.
(d) Each calibration reading must be in terms of magnetic heading in not more than 45 degree increments.
(e) If a magnetic nonstabilized direction indicator can have a deviation of more than 10 degrees caused by the operation of electrical equipment, the placard must state which electrical loads, or combination of loads, would cause a deviation of more than 10 degrees when turned on.
For each required powerplant instrument, as appropriate to the type of instrument—
(a) Each maximum and, if applicable, minimum safe operating limit must be marked with a red line;
(b) Each normal operating range must be marked as a green or unmarked range;
(c) Each takeoff and precautionary range must be marked with a yellow range or yellow line;
(d) Each engine or rotor range that is restricted because of excessive vibration stresses must be marked with red ranges or red lines; and
(e) Each OEI limit or approved operating range must be marked to be clearly differentiated from the markings of paragraphs (a) through (d) of this section except that no marking is normally required for the 30-second OEI limit.
Each oil quantity indicator must be marked with enough increments to indicate readily and accurately the quantity of oil.
If the unusable fuel supply for any tank exceeds one gallon, or five percent of the tank capacity, whichever is greater, a red arc must be marked on its indicator extending from the calibrated zero reading to the lowest reading obtainable in level flight.
(a) Each cockpit control, other than primary flight controls or control whose function is obvious, must be plainly marked as to its function and method of operation.
(b) For powerplant fuel controls—
(1) Each fuel tank selector control must be marked to indicate the position corresponding to each tank and to each existing cross feed position;
(2) If safe operation requires the use of any tanks in a specific sequence, that sequence must be marked on, or adjacent to, the selector for those tanks; and
(3) Each valve control for any engine of a multiengine rotorcraft must be marked to indicate the position corresponding to each engine controlled.
(c) Usable fuel capacity must be marked as follows:
(1) For fuel systems having no selector controls, the usable fuel capacity of the system must be indicated at the fuel quantity indicator unless it is:
(i) Provided by another system or equipment readily accessible to the pilot; and
(ii) Contained in the limitations section of the rotorcraft flight manual.
(2) For fuel systems having selector controls, the usable fuel capacity available at each selector control position must be indicated near the selector control.
(d) For accessory, auxiliary, and emergency controls—
(1) Each essential visual position indicator, such as those showing rotor pitch or landing gear position, must be marked so that each crewmember can determine at any time the position of the unit to which it relates; and
(2) Each emergency control must be red and must be marked as to method of operation.
(e) For rotorcraft incorporating retractable landing gear, the maximum landing gear operating speed must be displayed in clear view of the pilot.
(a) Baggage and cargo compartments, and ballast location. Each baggage and cargo compartment, and each ballast location must have a placard stating any limitations on contents, including weight, that are necessary under the loading requirements.
(b) Seats. If the maximum allowable weight to be carried in a seat is less than 170 pounds, a placard stating the lesser weight must be permanently attached to the seat structure.
(c) Fuel and oil filler openings. The following apply:
(1) Fuel filler openings must be marked at or near the filler cover with—
(i) The word “fuel”;
(ii) For reciprocating engine powered rotorcraft, the minimum fuel grade;
(iii) For turbine engine powered rotorcraft, the permissible fuel designations; and
(iv) For pressure fueling systems, the maximum permissible fueling supply pressure and the maximum permissible defueling pressure.
(2) Oil filler openings must be marked at or near the filler cover with the word “oil”.
(d) Emergency exit placards. Each placard and operating control for each emergency exit must be red. A placard must be near each emergency exit control and must clearly indicate the location of that exit and its method of operation.
There must be a placard in clear view of the pilot that specifies the kinds of operations (such as VFR, IFR, day, night, or icing) for which the rotorcraft is approved.
(a) Each safety equipment control to be operated by the crew in emergency, such as controls for automatic liferaft releases, must be plainly marked as to its method of operation.
(b) Each location, such as a locker or compartment, that carries any fire extinguishing, signaling, or other life saving equipment, must be so marked.
Each tail rotor must be marked so that its disc is conspicuous under normal daylight ground conditions.
(a) Furnishing information. A Rotorcraft Flight Manual must be furnished with each rotorcraft, and it must contain the following:
(1) Information required by §§ 27.1583 through 27.1589.
(2) Other information that is necessary for safe operation because of design, operating, or handling characteristics.
(b) Approved information. Each part of the manual listed in §§ 27.1583 through 27.1589, that is appropriate to the rotorcraft, must be furnished, verified, and approved, and must be segregated, identified, and clearly distinguished from each unapproved part of that manual.
(c) [Reserved]
(d) Table of contents. Each Rotorcraft Flight Manual must include a table of contents if the complexity of the manual indicates a need for it.
(a) Airspeed and rotor limitations. Information necessary for the marking of airspeed and rotor limitations on, or near, their respective indicators must be furnished. The significance of each limitation and of the color coding must be explained.
(b) Powerplant limitations. The following information must be furnished:
(1) Limitations required by § 27.1521.
(2) Explanation of the limitations, when appropriate.
(3) Information necessary for marking the instruments required by §§ 27.1549 through 27.1553.
(c) Weight and loading distribution. The weight and center of gravity limits required by §§ 27.25 and 27.27, respectively, must be furnished. If the variety of possible loading conditions warrants, instructions must be included to allow ready observance of the limitations.
(d) Flight crew. When a flight crew of more than one is required, the number and functions of the minimum flight crew determined under § 27.1523 must be furnished.
(e) Kinds of operation. Each kind of operation for which the rotorcraft and its equipment installations are approved must be listed.
(f) [Reserved]
(g) Altitude. The altitude established under § 27.1527 and an explanation of the limiting factors must be furnished.
(a) Parts of the manual containing operating procedures must have information concerning any normal and emergency procedures and other information necessary for safe operation, including takeoff and landing procedures and associated airspeeds. The manual must contain any pertinent information including—
(1) The kind of takeoff surface used in the tests and each appropriate climbout speed; and
(2) The kind of landing surface used in the tests and appropriate approach and glide airspeeds.
(b) For multiengine rotorcraft, information identifying each operating condition in which the fuel system independence prescribed in § 27.953 is necessary for safety must be furnished, together with instructions for placing the fuel system in a configuration used to show compliance with that section.
(c) For helicopters for which a V
(d) For each rotorcraft showing compliance with § 27.1353 (g)(2) or (g)(3), the operating procedures for disconnecting the battery from its charging source must be furnished.
(e) If the unusable fuel supply in any tank exceeds five percent of the tank capacity, or one gallon, whichever is greater, information must be furnished which indicates that when the fuel quantity indicator reads “zero” in level flight, any fuel remaining in the fuel tank cannot be used safely in flight.
(f) Information on the total quantity of usable fuel for each fuel tank must be furnished.
(g) The airspeeds and rotor speeds for minimum rate of descent and best glide angle as prescribed in § 27.71 must be provided.
(a) The Rotorcraft Flight Manual must contain the following information, determined in accordance with §§ 27.49 through 27.87 and 27.143(c) and (d):
(1) Enough information to determine the limiting height-velocity envelope.
(2) Information relative to—
(i) The steady rates of climb and descent, in-ground effect and out-of-ground effect hovering ceilings, together with the corresponding airspeeds and other pertinent information including the calculated effects of altitude and temperatures;
(ii) The maximum weight for each altitude and temperature condition at which the rotorcraft can safely hover in-ground effect and out-of-ground effect in winds of not less than 17 knots from all azimuths. These data must be clearly referenced to the appropriate hover charts. In addition, if there are other combinations of weight, altitude and temperature for which performance information is provided and at which the rotorcraft cannot land and take off safely with the maximum wind value, those portions of the operating envelope and the appropriate safe wind conditions must be stated in the Rotorcraft Flight Manual;
(iii) For reciprocating engine-powered rotorcraft, the maximum atmospheric temperature at which compliance with the cooling provisions of §§ 27.1041 through 27.1045 is shown; and
(iv) Glide distance as a function of altitude when autorotating at the speeds and conditions for minimum rate of descent and best glide as determined in § 27.71.
(b) The Rotorcraft Flight Manual must contain—
(1) In its performance information section any pertinent information concerning the takeoff weights and altitudes used in compliance with § 27.51; and
(2) The horizontal takeoff distance determined in accordance with § 27.65(a)(2)(i).
There must be loading instructions for each possible loading condition between the maximum and minimum weights determined under § 27.25 that can result in a center of gravity beyond any extreme prescribed in § 27.27, assuming any probable occupant weights.
(a) This appendix specifies requirements for the preparation of Instructions for Continued Airworthiness as required by § 27.1529.
(b) The Instructions for Continued Airworthiness for each rotorcraft must include the Instructions for Continued Airworthiness for each engine and rotor (hereinafter designated ‘products’), for each appliance required by this chapter, and any required information relating to the interface of those appliances and products with the rotorcraft. If Instructions for Continued Airworthiness are not supplied by the manufacturer of an appliance or product installed in the rotorcraft, the Instructions for Continued Airworthiness for the rotorcraft must include the information essential to the continued airworthiness of the rotorcraft.
(c) The applicant must submit to the FAA a program to show how changes to the Instructions for Continued Airworthiness made by the applicant or by the manufacturers of products and appliances installed in the rotorcraft will be distributed.
(a) The Instructions for Continued Airworthiness must be in the form of a manual or manuals as appropriate for the quantity of data to be provided.
(b) The format of the manual or manuals must provide for a practical arrangement.
The contents of the manual or manuals must be prepared in the English language. The Instructions for Continued Airworthiness must contain the following manuals or sections, as appropriate, and information:
(a) Rotorcraft maintenance manual or section. (1) Introduction information that includes an explanation of the rotorcraft's features and data to the extent necessary for maintenance or preventive maintenance.
(2) A description of the rotorcraft and its systems and installations including its engines, rotors, and appliances.
(3) Basic control and operation information describing how the rotorcraft components and systems are controlled and how they operate, including any special procedures and limitations that apply.
(4) Servicing information that covers details regarding servicing points, capacities of tanks, reservoirs, types of fluids to be used, pressures applicable to the various systems, location of access panels for inspection and servicing, locations of lubrication points, the lubricants to be used, equipment required for servicing, tow instructions and limitations, mooring, jacking, and leveling information.
(b) Maintenance instructions. (1) Scheduling information for each part of the rotorcraft and its engines, auxiliary power units, rotors, accessories, instruments and equipment that provides the recommended periods at which they should be cleaned, inspected, adjusted, tested, and lubricated, and the degree of inspection, the applicable wear tolerances, and work recommended at these periods. However, the applicant may refer to an accessory, instrument, or equipment manufacturer as the source of this information if the applicant shows the item has an exceptionally high degree of complexity requiring specialized maintenance techniques, test equipment, or expertise. The recommended overhaul periods and necessary cross references to the Airworthiness Limitations section of the manual must also be included. In addition, the applicant must include an inspection program that includes the frequency and extent of the inspections necessary to provide for the continued airworthiness of the rotorcraft.
(2) Troubleshooting information describing problem malfunctions, how to recognize those malfunctions, and the remedial action for those malfunctions.
(3) Information describing the order and method of removing and replacing products and parts with any necessary precautions to be taken.
(4) Other general procedural instructions including procedures for system testing during ground running, symmetry checks, weighing and determining the center of gravity, lifting and shoring, and storage limitations.
(c) Diagrams of structural access plates and information needed to gain access for inspections when access plates are not provided.
(d) Details for the application of special inspection techniques including radiographic and ultrasonic testing where such processes are specified.
(e) Information needed to apply protective treatments to the structure after inspection.
(f) All data relative to structural fasteners such as identification, discarded recommendations, and torque values.
(g) A list of special tools needed.
The Instructions for Continued Airworthiness must contain a section, titled Airworthiness Limitations that is segregated and clearly distinguishable from the rest of the document. This section must set forth each mandatory replacement time, structural inspection interval, and related structural inspection procedure required for type certification. If the Instructions for Continued Airworthiness consist of multiple documents, the section required by this paragraph must be included in the principal manual. This section must contain a legible statement in a prominent location that reads: “The Airworthiness Limitations section is FAA approved and specifies inspections and other maintenance required under §§ 43.16 and 91.403 of the Federal Aviation Regulations unless an alternative program has been FAA approved.”
I. General. A normal category helicopter may not be type certificated for operation under the instrument flight rules (IFR) of this chapter unless it meets the design and installation requirements contained in this appendix.
II. Definitions. (a) V
(b) V
(c) V
III. Trim. It must be possible to trim the cyclic, collective, and directional control forces to zero at all approved IFR airspeeds, power settings, and configurations appropriate to the type.
IV. Static longitudinal stability. (a) General. The helicopter must possess positive static longitudinal control force stability at critical combinations of weight and center of gravity at the conditions specified in paragraph IV (b) or (c) of this appendix, as appropriate. The stick force must vary with speed so that any substantial speed change results in a stick force clearly perceptible to the pilot. For single-pilot approval, the airspeed must return to within 10 percent of the trim speed when the control force is slowly released for each trim condition specified in paragraph IV(b) of the this appendix.
(b) For single-pilot approval:
(1) Climb. Stability must be shown in climb throughout the speed range 20 knots either side of trim with—
(i) The helicopter trimmed at V
(ii) Landing gear retracted (if retractable); and
(iii) Power required for limit climb rate (at least 1,000 fpm) at V
(2) Cruise. Stability must be shown throughout the speed range from 0.7 to 1.1 V
(i) The helicopter trimmed and power adjusted for level flight at 0.9 V
(ii) Landing gear retracted (if retractable).
(3) Slow cruise. Stability must be shown throughout the speed range from 0.9 V
(i) the helicopter trimmed and power adjusted for level flight at 1.1 V
(ii) Landing gear retracted (if retractable).
(4) Descent. Stability must be shown throughout the speed range 20 knots either side of trim with—
(i) The helicopter trimmed at 0.8 V
(ii) Power required for 1,000 fpm descent at trim speed; and
(iii) Landing gear extended and retracted, if applicable.
(5) Approach. Stability must be shown throughout the speed range from 0.7 times the minimum recommended approach speed to 20 knots above the maximum recommended approach speed with—
(i) The helicopter trimmed at the recommended approach speed or speeds;
(ii) Landing gear extended and retracted, if applicable; and
(iii) Power required to maintain a 3° glide path and power required to maintain the steepest approach gradient for which approval is requested.
(c) Helicopters approved for a minimum crew of two pilots must comply with the provisions of paragraphs IV(b)(2) and IV(b)(5) of this appendix.
V. Static Lateral Directional Stability. (a) Static directional stability must be positive throughout the approved ranges of airspeed, power, and vertical speed. In straight and steady sideslips up to ±10° from trim, directional control position must increase without discontinuity with the angle of sideslip, except for a small range of sideslip angles around trim. At greater angles up to the maximum sideslip angle appropriate to the type, increased directional control position must produce an increased angle of sideslip. It must be possible to maintain balanced flight without exceptional pilot skill or alertness.
(b) During sideslips up to ±10° from trim throughout the approved ranges of airspeed, power, and vertical speed, there must be no negative dihedral stability perceptible to the pilot through lateral control motion or force. Longitudinal cyclic movement with sideslip must not be excessive.
VI. Dynamic stability. (a) For single-pilot approval—
(1) Any oscillation having a period of less than 5 seconds must damp to
(2) Any oscillation having a period of 5 seconds or more but less than 10 seconds must damp to
(3) Any oscillation having a period of 10 seconds or more but less than 20 seconds must be damped.
(4) Any oscillation having a period of 20 seconds or more may not achieve double amplitude in less than 20 seconds.
(5) Any aperiodic response may not achieve double amplitude in less than 6 seconds.
(b) For helicopters approved with a minimum crew of two pilots—
(1) Any oscillation having a period of less than 5 seconds must damp to
(2) Any oscillation having a period of 5 seconds or more but less than 10 seconds must be damped.
(3) Any oscillation having a period of 10 seconds or more may not achieve double amplitude in less than 10 seconds.
VII. Stability Augmentation System (SAS).
(a) If a SAS is used, the reliability of the SAS must be related to the effects of its failure. Any SAS failure condition that would prevent continued safe flight and landing must be extremely improbable. It must be shown that, for any failure condition of the SAS that is not shown to be extremely improbable—
(1) The helicopter is safely controllable when the failure or malfunction occurs at any speed or altitude within the approved IFR operating limitations; and
(2) The overall flight characteristics of the helicopter allow for prolonged instrument flight without undue pilot effort. Additional unrelated probable failures affecting the control system must be considered. In addition—
(i) The controllability and maneuverability requirements in Subpart B of this part must be met throughout a practical flight envelope;
(ii) The flight control, trim, and dynamic stability characteristics must not be impaired below a level needed to allow continued safe flight and landing; and
(iii) The static longitudinal and static directional stability requirements of Subpart B must be met throughout a practical flight envelope.
(b) The SAS must be designed so that it cannot create a hazardous deviation in flight path or produce hazardous loads on the helicopter during normal operation or in the event of malfunction or failure, assuming corrective action begins within an appropriate period of time. Where multiple systems are installed, subsequent malfunction conditions must be considered in sequence unless their occurrence is shown to be improbable.
VIII. Equipment, systems, and installation. The basic equipment and installation must comply with §§ 29.1303, 29.1431, and 29.1433, with the following exceptions and additions:
(a) Flight and Navigation Instruments. (1) A magnetic gyro-stablized direction indicator instead of a gyroscopic direction indicator required by § 29.1303(h); and
(2) A standby attitude indicator which meets the requirements of §§ 29.1303(g)(1) through (7) instead of a rate-of-turn indicator required by § 29.1303(g). For two-pilot configurations, one pilot's primary indicator may be designated for this purpose. If standby batteries are provided, they may be charged from the aircraft electrical system if adequate isolation is incorporated.
(b) Miscellaneous requirements. (1) Instrument systems and other systems essential for IFR flight that could be adversely affected by icing must be adequately protected when exposed to the continuous and intermittent maximum icing conditions defined in appendix C of Part 29 of this chapter, whether or not the rotorcraft is certificated for operation in icing conditions.
(2) There must be means in the generating system to automatically de-energize and disconnect from the main bus any power source developing hazardous overvoltage.
(3) Each required flight instrument using a power supply (electric, vacuum, etc.) must have a visual means integral with the instrument to indicate the adequacy of the power being supplied.
(4) When multiple systems performing like functions are required, each system must be grouped, routed, and spaced so that physical separation between systems is provided to ensure that a single malfunction will not adversely affect more than one system.
(5) For systems that operate the required flight instruments at each pilot's station—
(i) For pneumatic systems, only the required flight instruments for the first pilot may be connected to that operating system;
(ii) Additional instruments, systems, or equipment may not be connected to an operating system for a second pilot unless provisions are made to ensure the continued normal functioning of the required instruments in the event of any malfunction of the additional instruments, systems, or equipment which is not shown to be extremely improbable;
(iii) The equipment, systems, and installations must be designed so that one display of the information essential to the safety of flight which is provided by the instruments will remain available to a pilot, without additional crewmember action, after any single failure or combination of failures that is not shown to be extremely improbable; and
(iv) For single-pilot configurations, instruments which require a static source must be provided with a means of selecting an alternate source and that source must be calibrated.
IX. Rotorcraft Flight Manual. A Rotorcraft Flight Manual or Rotorcraft Flight Manual IFR Supplement must be provided and must contain—
(a) Limitations. The approved IFR flight envelope, the IFR flightcrew composition, the revised kinds of operation, and the steepest IFR precision approach gradient for which the helicopter is approved;
(b) Procedures. Required information for proper operation of IFR systems and the recommended procedures in the event of stability augmentation or electrical system failures; and
(c) Performance. If V
X. Electrical and electronic system lightning protection. For regulations concerning lightning protection for electrical and electronic systems, see § 27.1316.
A small multiengine rotorcraft may not be type certificated for Category A operation unless it meets the design installation and performance requirements contained in this appendix in addition to the requirements of this part.
C27.2 Applicable part 29 sections. The following sections of part 29 of this chapter must be met in addition to the requirements of this part:
In complying with the paragraphs listed in paragraph C27.2 above, relevant material in the AC “Certification of Transport Category Rotorcraft” should be used.
This appendix specifies the HIRF environments and equipment HIRF test levels for electrical and electronic systems under § 27.1317. The field strength values for the HIRF environments and laboratory equipment HIRF test levels are expressed in root-mean-square units measured during the peak of the modulation cycle.
(a) HIRF environment I is specified in the following table:
Table I.—HIRF Environment I
| Frequency | Field strength
(volts/meter) | |
|---|---|---|
| Peak | Average | |
| 10 kHz-2 MHz | 50 | 50 |
| 2 MHz-30 MHz | 100 | 100 |
| 30 MHz-100 MHz | 50 | 50 |
| 100 MHz-400 MHz | 100 | 100 |
| 400 MHz-700 MHz | 700 | 50 |
| 700 MHz-1 GHz | 700 | 100 |
| 1 GHz-2 GHz | 2,000 | 200 |
| 2 GHz-6 GHz | 3,000 | 200 |
| 6 GHz-8 GHz | 1,000 | 200 |
| 8 GHz-12 GHz | 3,000 | 300 |
| 12 GHz-18 GHz | 2,000 | 200 |
| 18 GHz-40 GHz | 600 | 200 |
In this table, the higher field strength applies at the frequency band edges.
(b) HIRF environment II is specified in the following table:
Table II.—HIRF Environment II
| Frequency | Field strength
(volts/meter) | |
|---|---|---|
| Peak | Average | |
| 10 kHz-500 kHz | 20 | 20 |
| 500 kHz-2 MHz | 30 | 30 |
| 2 MHz-30 MHz | 100 | 100 |
| 30 MHz-100 MHz | 10 | 10 |
| 100 MHz-200 MHz | 30 | 10 |
| 200 MHz-400 MHz | 10 | 10 |
| 400 MHz-1 GHz | 700 | 40 |
| 1 GHz-2 GHz | 1,300 | 160 |
| 2 GHz-4 GHz | 3,000 | 120 |
| 4 GHz-6 GHz | 3,000 | 160 |
| 6 GHz-8 GHz | 400 | 170 |
| 8 GHz-12 GHz | 1,230 | 230 |
| 12 GHz-18 GHz | 730 | 190 |
| 18 GHz-40 GHz | 600 | 150 |
In this table, the higher field strength applies at the frequency band edges.
(c) HIRF environment III is specified in the following table:
Table III.—HIRF Environment III
| Frequency | Field strength
(volts/meter) | |
|---|---|---|
| Peak | Average | |
| 10 kHz-100 kHz | 150 | 150 |
| 100 kHz-400 MHz | 200 | 200 |
| 400 MHz-700 MHz | 730 | 200 |
| 700 MHz-1 GHz | 1,400 | 240 |
| 1 GHz-2 GHz | 5,000 | 250 |
| 2 GHz-4 GHz | 6,000 | 490 |
| 4 GHz-6 GHz | 7,200 | 400 |
| 6 GHz-8 GHz | 1,100 | 170 |
| 8 GHz-12 GHz | 5,000 | 330 |
| 12 GHz-18 GHz | 2,000 | 330 |
| 18 GHz-40 GHz | 1,000 | 420 |
In this table, the higher field strength applies at the frequency band edges.
(d) Equipment HIRF Test Level 1. (1) From 10 kilohertz (kHz) to 400 megahertz (MHz), use conducted susceptibility tests with continuous wave (CW) and 1 kHz square wave modulation with 90 percent depth or greater. The conducted susceptibility current must start at a minimum of 0.6 milliamperes (mA) at 10 kHz, increasing 20 decibels (dB) per frequency decade to a minimum of 30 mA at 500 kHz.
(2) From 500 kHz to 40 MHz, the conducted susceptibility current must be at least 30 mA.
(3) From 40 MHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 30 mA at 40 MHz, decreasing 20 dB per frequency decade to a minimum of 3 mA at 400 MHz.
(4) From 100 MHz to 400 MHz, use radiated susceptibility tests at a minimum of 20 volts per meter (V/m) peak with CW and 1 kHz square wave modulation with 90 percent depth or greater.
(5) From 400 MHz to 8 gigahertz (GHz), use radiated susceptibility tests at a minimum of 150 V/m peak with pulse modulation of 4 percent duty cycle with a 1 kHz pulse repetition frequency. This signal must be switched on and off at a rate of 1 Hz with a duty cycle of 50 percent.
(e) Equipment HIRF Test Level 2. Equipment HIRF test level 2 is HIRF environment II in table II of this appendix reduced by acceptable aircraft transfer function and attenuation curves. Testing must cover the frequency band of 10 kHz to 8 GHz.
(f) Equipment HIRF Test Level 3. (1) From 10 kHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 0.15 mA at 10 kHz, increasing 20 dB per frequency decade to a minimum of 7.5 mA at 500 kHz.
(2) From 500 kHz to 40 MHz, use conducted susceptibility tests at a minimum of 7.5 mA.
(3) From 40 MHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 7.5 mA at 40 MHz, decreasing 20 dB per frequency decade to a minimum of 0.75 mA at 400 MHz.
(4) From 100 MHz to 8 GHz, use radiated susceptibility tests at a minimum of 5 V/m.
(a) This part prescribes airworthiness standards for the issue of type certificates, and changes to those certificates, for transport category rotorcraft.
(b) Transport category rotorcraft must be certificated in accordance with either the Category A or Category B requirements of this part. A multiengine rotorcraft may be type certificated as both Category A and Category B with appropriate and different operating limitations for each category.
(c) Rotorcraft with a maximum weight greater than 20,000 pounds and 10 or more passenger seats must be type certificated as Category A rotorcraft.
(d) Rotorcraft with a maximum weight greater than 20,000 pounds and nine or less passenger seats may be type certificated as Category B rotorcraft provided the Category A requirements of Subparts C, D, E, and F of this part are met.
(e) Rotorcraft with a maximum weight of 20,000 pounds or less but with 10 or more passenger seats may be type certificated as Category B rotorcraft provided the Category A requirements of §§ 29.67(a)(2), 29.87, 29.1517, and subparts C, D, E, and F of this part are met.
(f) Rotorcraft with a maximum weight of 20,000 pounds or less and nine or less passenger seats may be type certificated as Category B rotorcraft.
(g) Each person who applies under Part 21 for a certificate or change described in paragraphs (a) through (f) of this section must show compliance with the applicable requirements of this part.
For each rotorcraft manufactured after September 16, 1992, each applicant must show that each occupant's seat is equipped with a safety belt and shoulder harness that meets the requirements of paragraphs (a), (b), and (c) of this section.
(a) Each occupant's seat must have a combined safety belt and shoulder harness with a single-point release. Each pilot's combined safety belt and shoulder harness must allow each pilot, when seated with safety belt and shoulder harness fastened, to perform all functions necessary for flight operations. There must be a means to secure belts and harnesses, when not in use, to prevent interference with the operation of the rotorcraft and with rapid egress in an emergency.
(b) Each occupant must be protected from serious head injury by a safety belt plus a shoulder harness that will prevent the head from contacting any injurious object.
(c) The safety belt and shoulder harness must meet the static and dynamic strength requirements, if applicable, specified by the rotorcraft type certification basis.
(d) For purposes of this section, the date of manufacture is either—
(1) The date the inspection acceptance records, or equivalent, reflect that the rotorcraft is complete and meets the FAA-Approved Type Design Data; or
(2) The date that the foreign civil airworthiness authority certifies the rotorcraft is complete and issues an original standard airworthiness certificate, or equivalent, in that country.
Each requirement of this subpart must be met at each appropriate combination of weight and center of gravity within the range of loading conditions for which certification is requested. This must be shown—
(a) By tests upon a rotorcraft of the type for which certification is requested, or by calculations based on, and equal in accuracy to, the results of testing; and
(b) By systematic investigation of each required combination of weight and center of gravity, if compliance cannot be reasonably inferred from combinations investigated.
(a) Maximum weight. The maximum weight (the highest weight at which compliance with each applicable requirement of this part is shown) or, at the option of the applicant, the highest weight for each altitude and for each practicably separable operating condition, such as takeoff, enroute operation, and landing, must be established so that it is not more than—
(1) The highest weight selected by the applicant;
(2) The design maximum weight (the highest weight at which compliance with each applicable structural loading condition of this part is shown); or
(3) The highest weight at which compliance with each applicable flight requirement of this part is shown.
(4) For Category B rotorcraft with 9 or less passenger seats, the maximum weight, altitude, and temperature at which the rotorcraft can safely operate near the ground with the maximum wind velocity determined under § 29.143(c) and may include other demonstrated wind velocities and azimuths. The operating envelopes must be stated in the Limitations section of the Rotorcraft Flight Manual.
(b) Minimum weight. The minimum weight (the lowest weight at which compliance with each applicable requirement of this part is shown) must be established so that it is not less than—
(1) The lowest weight selected by the applicant;
(2) The design minimum weight (the lowest weight at which compliance with each structural loading condition of this part is shown); or
(3) The lowest weight at which compliance with each applicable flight requirement of this part is shown.
(c) Total weight with jettisonable external load. A total weight for the rotorcraft with a jettisonable external load attached that is greater than the maximum weight established under paragraph (a) of this section may be established for any rotorcraft-load combination if—
(1) The rotorcraft-load combination does not include human external cargo,
(2) Structural component approval for external load operations under either § 29.865 or under equivalent operational standards is obtained,
(3) The portion of the total weight that is greater than the maximum weight established under paragraph (a) of this section is made up only of the weight of all or part of the jettisonable external load,
(4) Structural components of the rotorcraft are shown to comply with the applicable structural requirements of this part under the increased loads and stresses caused by the weight increase over that established under paragraph (a) of this section, and
(5) Operation of the rotorcraft at a total weight greater than the maximum certificated weight established under paragraph (a) of this section is limited by appropriate operating limitations under § 29.865 (a) and (d) of this part.
The extreme forward and aft centers of gravity and, where critical, the extreme lateral centers of gravity must be established for each weight established under § 29.25. Such an extreme may not lie beyond—
(a) The extremes selected by the applicant;
(b) The extremes within which the structure is proven; or
(c) The extremes within which compliance with the applicable flight requirements is shown.
(a) The empty weight and corresponding center of gravity must be determined by weighing the rotorcraft without the crew and payload, but with—
(1) Fixed ballast;
(2) Unusable fuel; and
(3) Full operating fluids, including—
(i) Oil;
(ii) Hydraulic fluid; and
(iii) Other fluids required for normal operation of rotorcraft systems, except water intended for injection in the engines.
(b) The condition of the rotorcraft at the time of determining empty weight must be one that is well defined and can be easily repeated, particularly with respect to the weights of fuel, oil, coolant, and installed equipment.
Removable ballast may be used in showing compliance with the flight requirements of this subpart.
(a) Main rotor speed limits. A range of main rotor speeds must be established that—
(1) With power on, provides adequate margin to accommodate the variations in rotor speed occurring in any appropriate maneuver, and is consistent with the kind of governor or synchronizer used; and
(2) With power off, allows each appropriate autorotative maneuver to be performed throughout the ranges of airspeed and weight for which certification is requested.
(b) Normal main rotor high pitch limit (power on). For rotorcraft, except helicopters required to have a main rotor low speed warning under paragraph (e) of this section, it must be shown, with power on and without exceeding approved engine maximum limitations, that main rotor speeds substantially less than the minimum approved main rotor speed will not occur under any sustained flight condition. This must be met by—
(1) Appropriate setting of the main rotor high pitch stop;
(2) Inherent rotorcraft characteristics that make unsafe low main rotor speeds unlikely; or
(3) Adequate means to warn the pilot of unsafe main rotor speeds.
(c) Normal main rotor low pitch limit (power off). It must be shown, with power off, that—
(1) The normal main rotor low pitch limit provides sufficient rotor speed, in any autorotative condition, under the most critical combinations of weight and airspeed; and
(2) It is possible to prevent overspeeding of the rotor without exceptional piloting skill.
(d) Emergency high pitch. If the main rotor high pitch stop is set to meet paragraph (b)(1) of this section, and if that stop cannot be exceeded inadvertently, additional pitch may be made available for emergency use.
(e) Main rotor low speed warning for helicopters. For each single engine helicopter, and each multiengine helicopter that does not have an approved device that automatically increases power on the operating engines when one engine fails, there must be a main rotor low speed warning which meets the following requirements:
(1) The warning must be furnished to the pilot in all flight conditions, including power-on and power-off flight, when the speed of a main rotor approaches a value that can jeopardize safe flight.
(2) The warning may be furnished either through the inherent aerodynamic qualities of the helicopter or by a device.
(3) The warning must be clear and distinct under all conditions, and must be clearly distinguishable from all other warnings. A visual device that requires the attention of the crew within the cockpit is not acceptable by itself.
(4) If a warning device is used, the device must automatically deactivate and reset when the low-speed condition is corrected. If the device has an audible warning, it must also be equipped with a means for the pilot to manually silence the audible warning before the low-speed condition is corrected.
(a) The performance prescribed in this subpart must be determined—
(1) With normal piloting skill and;
(2) Without exceptionally favorable conditions.
(b) Compliance with the performance requirements of this subpart must be shown—
(1) For still air at sea level with a standard atmosphere and;
(2) For the approved range of atmospheric variables.
(c) The available power must correspond to engine power, not exceeding the approved power, less—
(1) Installation losses; and
(2) The power absorbed by the accessories and services at the values for which certification is requested and approved.
(d) For reciprocating engine-powered rotorcraft, the performance, as affected by engine power, must be based on a relative humidity of 80 percent in a standard atmosphere.
(e) For turbine engine-powered rotorcraft, the performance, as affected by engine power, must be based on a relative humidity of—
(1) 80 percent, at and below standard temperature; and
(2) 34 percent, at and above standard temperature plus 50 °F.
(f) For turbine-engine-power rotorcraft, a means must be provided to permit the pilot to determine prior to takeoff that each engine is capable of developing the power necessary to achieve the applicable rotorcraft performance prescribed in this subpart.
(a) For each Category A helicopter, the hovering performance must be determined over the ranges of weight, altitude, and temperature for which takeoff data are scheduled—
(1) With not more than takeoff power;
(2) With the landing gear extended; and
(3) At a height consistent with the procedure used in establishing the takeoff, climbout, and rejected takeoff paths.
(b) For each Category B helicopter, the hovering performance must be determined over the ranges of weight, altitude, and temperature for which certification is requested, with—
(1) Takeoff power;
(2) The landing gear extended; and
(3) The helicopter in ground effect at a height consistent with normal takeoff procedures.
(c) For each helicopter, the out-of-ground effect hovering performance must be determined over the ranges of weight, altitude, and temperature for which certification is requested with takeoff power.
(d) For rotorcraft other than helicopters, the steady rate of climb at the minimum operating speed must be determined over the ranges of weight, altitude, and temperature for which certification is requested with—
(1) Takeoff power; and
(2) The landing gear extended.
(a) The takeoff data required by §§ 29.53, 29.55, 29.59, 29.60, 29.61, 29.62, 29.63, and 29.67 must be determined—
(1) At each weight, altitude, and temperature selected by the applicant; and
(2) With the operating engines within approved operating limitations.
(b) Takeoff data must—
(1) Be determined on a smooth, dry, hard surface; and
(2) Be corrected to assume a level takeoff surface.
(c) No takeoff made to determine the data required by this section may require exceptional piloting skill or alertness, or exceptionally favorable conditions.
The takeoff performance must be determined and scheduled so that, if one engine fails at any time after the start of takeoff, the rotorcraft can—
(a) Return to, and stop safely on, the takeoff area; or
(b) Continue the takeoff and climbout, and attain a configuration and airspeed allowing compliance with § 29.67(a)(2).
(a) The TDP is the first point from which a continued takeoff capability is assured under § 29.59 and is the last point in the takeoff path from which a rejected takeoff is assured within the distance determined under § 29.62.
(b) The TDP must be established in relation to the takeoff path using no more than two parameters; e.g., airspeed and height, to designate the TDP.
(c) Determination of the TDP must include the pilot recognition time interval following failure of the critical engine.
(a) The takeoff path extends from the point of commencement of the takeoff procedure to a point at which the rotorcraft is 1,000 feet above the takeoff surface and compliance with § 29.67(a)(2) is shown. In addition—
(1) The takeoff path must remain clear of the height-velocity envelope established in accordance with § 29.87;
(2) The rotorcraft must be flown to the engine failure point; at which point, the critical engine must be made inoperative and remain inoperative for the rest of the takeoff;
(3) After the critical engine is made inoperative, the rotorcraft must continue to the takeoff decision point, and then attain V
(4) Only primary controls may be used while attaining V
(5) After attaining V
(b) During the takeoff path determination made in accordance with paragraph (a) of this section and after attaining V
(c) During the continued takeoff, the rotorcraft shall not descend below 15 feet above the takeoff surface when the takeoff decision point is above 15 feet.
(d) From 200 feet above the takeoff surface, the rotorcraft takeoff path must be level or positive until a height 1,000 feet above the takeoff surface is attained with not less than the rate of climb required by § 29.67(a)(2). Any secondary or auxiliary control may be used after attaining 200 feet above the takeoff surface.
(e) Takeoff distance will be determined in accordance with § 29.61.
(a) The elevated heliport takeoff path extends from the point of commencement of the takeoff procedure to a point in the takeoff path at which the rotorcraft is 1,000 feet above the takeoff surface and compliance with § 29.67(a)(2) is shown. In addition—
(1) The requirements of § 29.59(a) must be met;
(2) While attaining V
(3) The vertical magnitude of any descent below the takeoff surface must be determined; and
(4) After attaining V
(b) The scheduled takeoff weight must be such that the climb requirements of § 29.67 (a)(1) and (a)(2) will be met.
(c) Takeoff distance will be determined in accordance with § 29.61.
(a) The normal takeoff distance is the horizontal distance along the takeoff path from the start of the takeoff to the point at which the rotorcraft attains and remains at least 35 feet above the takeoff surface, attains and maintains a speed of at least V
(b) For elevated heliports, the takeoff distance is the horizontal distance along the takeoff path from the start of the takeoff to the point at which the rotorcraft attains and maintains a speed of at least V
The rejected takeoff distance and procedures for each condition where takeoff is approved will be established with—
(a) The takeoff path requirements of §§ 29.59 and 29.60 being used up to the TDP where the critical engine failure is recognized and the rotorcraft is landed and brought to a complete stop on the takeoff surface;
(b) The remaining engines operating within approved limits;
(c) The landing gear remaining extended throughout the entire rejected takeoff; and
(d) The use of only the primary controls until the rotorcraft is on the ground. Secondary controls located on the primary control may not be used until the rotorcraft is on the ground. Means other than wheel brakes may be used to stop the rotorcraft if the means are safe and reliable and consistent results can be expected under normal operating conditions.
The horizontal distance required to take off and climb over a 50-foot obstacle must be established with the most unfavorable center of gravity. The takeoff may be begun in any manner if—
(a) The takeoff surface is defined;
(b) Adequate safeguards are maintained to ensure proper center of gravity and control positions; and
(c) A landing can be made safely at any point along the flight path if an engine fails.
Compliance with the requirements of §§ 29.65 and 29.67 must be shown at each weight, altitude, and temperature within the operational limits established for the rotorcraft and with the most unfavorable center of gravity for each configuration. Cowl flaps, or other means of controlling the engine-cooling air supply, will be in the position that provides adequate cooling at the temperatures and altitudes for which certification is requested.
(a) The steady rate of climb must be determined—
(1) With maximum continuous power;
(2) With the landing gear retracted; and
(3) At V
(b) For each Category B rotorcraft except helicopters, the rate of climb determined under paragraph (a) of this section must provide a steady climb gradient of at least 1:6 under standard sea level conditions.
(a) For Category A rotorcraft, in the critical takeoff configuration existing along the takeoff path, the following apply:
(1) The steady rate of climb without ground effect, 200 feet above the takeoff surface, must be at least 100 feet per minute for each weight, altitude, and temperature for which takeoff data are to be scheduled with—
(i) The critical engine inoperative and the remaining engines within approved operating limitations, except that for rotorcraft for which the use of 30-second/2-minute OEI power is requested, only the 2-minute OEI power may be used in showing compliance with this paragraph;
(ii) The landing gear extended; and
(iii) The takeoff safety speed selected by the applicant.
(2) The steady rate of climb without ground effect, 1000 feet above the takeoff surface, must be at least 150 feet per minute, for each weight, altitude, and temperature for which takeoff data are to be scheduled with—
(i) The critical engine inoperative and the remaining engines at maximum continuous power including continuous OEI power, if approved, or at 30-minute OEI power for rotorcraft for which certification for use of 30-minute OEI power is requested;
(ii) The landing gear retracted; and
(iii) The speed selected by the applicant.
(3) The steady rate of climb (or descent) in feet per minute, at each altitude and temperature at which the rotorcraft is expected to operate and at any weight within the range of weights for which certification is requested, must be determined with—
(i) The critical engine inoperative and the remaining engines at maximum continuous power including continuous OEI power, if approved, and at 30-minute OEI power for rotorcraft for which certification for the use of 30-minute OEI power is requested;
(ii) The landing gear retracted; and
(iii) The speed selected by the applicant.
(b) For multiengine Category B rotorcraft meeting the Category A engine isolation requirements, the steady rate of climb (or descent) must be determined at the speed for best rate of climb (or minimum rate of descent) at each altitude, temperature, and weight at which the rotorcraft is expected to operate, with the critical engine inoperative and the remaining engines at maximum continuous power including continuous OEI power, if approved, and at 30-minute OEI power for rotorcraft for which certification for the use of 30-minute OEI power is requested.
For each category B helicopter, except multiengine helicopters meeting the requirements of § 29.67(b) and the powerplant installation requirements of category A, the steady angle of glide must be determined in autorotation—
(a) At the forward speed for minimum rate of descent as selected by the applicant;
(b) At the forward speed for best glide angle;
(c) At maximum weight; and
(d) At the rotor speed or speeds selected by the applicant.
(a) For each rotorcraft—
(1) The corrected landing data must be determined for a smooth, dry, hard, and level surface;
(2) The approach and landing must not require exceptional piloting skill or exceptionally favorable conditions; and
(3) The landing must be made without excessive vertical acceleration or tendency to bounce, nose over, ground loop, porpoise, or water loop.
(b) The landing data required by §§ 29.77, 29.79, 29.81, 29.83, and 29.85 must be determined—
(1) At each weight, altitude, and temperature for which landing data are approved;
(2) With each operating engine within approved operating limitations; and
(3) With the most unfavorable center of gravity.
(a) The LDP is the last point in the approach and landing path from which a balked landing can be accomplished in accordance with § 29.85.
(b) Determination of the LDP must include the pilot recognition time interval following failure of the critical engine.
(a) For Category A rotorcraft—
(1) The landing performance must be determined and scheduled so that if the critical engine fails at any point in the approach path, the rotorcraft can either land and stop safely or climb out and attain a rotorcraft configuration and speed allowing compliance with the climb requirement of § 29.67(a)(2);
(2) The approach and landing paths must be established with the critical engine inoperative so that the transition between each stage can be made smoothly and safely;
(3) The approach and landing speeds must be selected by the applicant and must be appropriate to the type of rotorcraft; and
(4) The approach and landing path must be established to avoid the critical areas of the height-velocity envelope determined in accordance with § 29.87.
(b) It must be possible to make a safe landing on a prepared landing surface after complete power failure occurring during normal cruise.
The horizontal distance required to land and come to a complete stop (or to a speed of approximately 3 knots for water landings) from a point 50 ft above the landing surface must be determined from the approach and landing paths established in accordance with § 29.79.
(a) For each Category B rotorcraft, the horizontal distance required to land and come to a complete stop (or to a speed of approximately 3 knots for water landings) from a point 50 feet above the landing surface must be determined with—
(1) Speeds appropriate to the type of rotorcraft and chosen by the applicant to avoid the critical areas of the height-velocity envelope established under § 29.87; and
(2) The approach and landing made with power on and within approved limits.
(b) Each multiengined Category B rotorcraft that meets the powerplant installation requirements for Category A must meet the requirements of—
(1) Sections 29.79 and 29.81; or
(2) Paragraph (a) of this section.
(c) It must be possible to make a safe landing on a prepared landing surface if complete power failure occurs during normal cruise.
For Category A rotorcraft, the balked landing path with the critical engine inoperative must be established so that—
(a) The transition from each stage of the maneuver to the next stage can be made smoothly and safely;
(b) From the LDP on the approach path selected by the applicant, a safe climbout can be made at speeds allowing compliance with the climb requirements of § 29.67(a)(1) and (2); and
(c) The rotorcraft does not descend below 15 feet above the landing surface. For elevated heliport operations, descent may be below the level of the landing surface provided the deck edge clearance of § 29.60 is maintained and the descent (loss of height) below the landing surface is determined.
(a) If there is any combination of height and forward velocity (including hover) under which a safe landing cannot be made after failure of the critical engine and with the remaining engines (where applicable) operating within approved limits, a height-velocity envelope must be established for—
(1) All combinations of pressure altitude and ambient temperature for which takeoff and landing are approved; and
(2) Weight from the maximum weight (at sea level) to the highest weight approved for takeoff and landing at each altitude. For helicopters, this weight need not exceed the highest weight allowing hovering out-of-ground effect at each altitude.
(b) For single-engine or multiengine rotorcraft that do not meet the Category A engine isolation requirements, the height-velocity envelope for complete power failure must be established.
The rotorcraft must—
(a) Except as specifically required in the applicable section, meet the flight characteristics requirements of this subpart—
(1) At the approved operating altitudes and temperatures;
(2) Under any critical loading condition within the range of weights and centers of gravity for which certification is requested; and
(3) For power-on operations, under any condition of speed, power, and rotor r.p.m. for which certification is requested; and
(4) For power-off operations, under any condition of speed, and rotor r.p.m. for which certification is requested that is attainable with the controls rigged in accordance with the approved rigging instructions and tolerances;
(b) Be able to maintain any required flight condition and make a smooth transition from any flight condition to any other flight condition without exceptional piloting skill, alertness, or strength, and without danger of exceeding the limit load factor under any operating condition probable for the type, including—
(1) Sudden failure of one engine, for multiengine rotorcraft meeting Transport Category A engine isolation requirements;
(2) Sudden, complete power failure, for other rotorcraft; and
(3) Sudden, complete control system failures specified in § 29.695 of this part; and
(c) Have any additional characteristics required for night or instrument operation, if certification for those kinds of operation is requested. Requirements for helicopter instrument flight are contained in appendix B of this part.
(a) The rotorcraft must be safely controllable and maneuverable—
(1) During steady flight; and
(2) During any maneuver appropriate to the type, including—
(i) Takeoff;
(ii) Climb;
(iii) Level flight;
(iv) Turning flight;
(v) Autorotation; and
(vi) Landing (power on and power off).
(b) The margin of cyclic control must allow satisfactory roll and pitch control at V
(1) Critical weight;
(2) Critical center of gravity;
(3) Critical rotor r.p.m.; and
(4) Power off (except for helicopters demonstrating compliance with paragraph (f) of this section) and power on.
(c) Wind velocities from zero to at least 17 knots, from all azimuths, must be established in which the rotorcraft can be operated without loss of control on or near the ground in any maneuver appropriate to the type (such as crosswind takeoffs, sideward flight, and rearward flight), with—
(1) Critical weight;
(2) Critical center of gravity;
(3) Critical rotor r.p.m.; and
(4) Altitude, from standard sea level conditions to the maximum takeoff and landing altitude capability of the rotorcraft.
(d) Wind velocities from zero to at least 17 knots, from all azimuths, must be established in which the rotorcraft can be operated without loss of control out-of-ground effect, with—
(1) Weight selected by the applicant;
(2) Critical center of gravity;
(3) Rotor r.p.m. selected by the applicant; and
(4) Altitude, from standard sea level conditions to the maximum takeoff and landing altitude capability of the rotorcraft.
(e) The rotorcraft, after (1) failure of one engine, in the case of multiengine rotorcraft that meet Transport Category A engine isolation requirements, or (2) complete power failure in the case of other rotorcraft, must be controllable over the range of speeds and altitudes for which certification is requested when such power failure occurs with maximum continuous power and critical weight. No corrective action time delay for any condition following power failure may be less than—
(i) For the cruise condition, one second, or normal pilot reaction time (whichever is greater); and
(ii) For any other condition, normal pilot reaction time.
(f) For helicopters for which a V
(1) The helicopter must be safely slowed to V
(2) At a speed of 1.1 V
(a) Longitudinal, lateral, directional, and collective controls may not exhibit excessive breakout force, friction, or preload.
(b) Control system forces and free play may not inhibit a smooth, direct rotorcraft response to control system input.
The trim control—
(a) Must trim any steady longitudinal, lateral, and collective control forces to zero in level flight at any appropriate speed; and
(b) May not introduce any undesirable discontinuities in control force gradients.
The rotorcraft must be able to be flown, without undue pilot fatigue or strain, in any normal maneuver for a period of time as long as that expected in normal operation. At least three landings and takeoffs must be made during this demonstration.
(a) The longitudinal control must be designed so that a rearward movement of the control is necessary to obtain an airspeed less than the trim speed, and a forward movement of the control is necessary to obtain an airspeed more than the trim speed.
(b) Throughout the full range of altitude for which certification is requested, with the throttle and collective pitch held constant during the maneuvers specified in § 29.175(a) through (d), the slope of the control position versus airspeed curve must be positive. However, in limited flight conditions or modes of operation determined by the Administrator to be acceptable, the slope of the control position versus airspeed curve may be neutral or negative if the rotorcraft possesses flight characteristics that allow the pilot to maintain airspeed within ±5 knots of the desired trim airspeed without exceptional piloting skill or alertness.
(a) Climb. Static longitudinal stability must be shown in the climb condition at speeds from Vy − 10 kt to Vy + 10 kt with—
(1) Critical weight;
(2) Critical center of gravity;
(3) Maximum continuous power;
(4) The landing gear retracted; and
(5) The rotorcraft trimmed at Vy.
(b) Cruise. Static longitudinal stability must be shown in the cruise condition at speeds from 0.8 V
(1) Critical weight;
(2) Critical center of gravity;
(3) Power for level flight at 0.8 V
(4) The landing gear retracted; and
(5) The rotorcraft trimmed at 0.8 V
(c) V
(1) Critical weight;
(2) Critical center of gravity;
(3) Power required for level flight at V
(4) The landing gear retracted; and
(5) The rotorcraft trimmed at V
(d) Autorotation. Static longitudinal stability must be shown in autorotation at—
(1) Airspeeds from the minimum rate of descent airspeed − 10 kt to the minimum rate of descent airspeed + 10 kt, with—
(i) Critical weight;
(ii) Critical center of gravity;
(iii) The landing gear extended; and
(iv) The rotorcraft trimmed at the minimum rate of descent airspeed.
(2) Airspeeds from the best angle-of-glide airspeed − 10kt to the best angle-of-glide airspeed + 10kt, with—
(i) Critical weight;
(ii) Critical center of gravity;
(iii) The landing gear retracted; and
(iv) The rotorcraft trimmed at the best angle-of-glide airspeed.
(a) The directional controls must operate in such a manner that the sense and direction of motion of the rotorcraft following control displacement are in the direction of the pedal motion with throttle and collective controls held constant at the trim conditions specified in § 29.175(a), (b), (c), and (d). Sideslip angles must increase with steadily increasing directional control deflection for sideslip angles up to the lesser of—
(1) ±25 degrees from trim at a speed of 15 knots less than the speed for minimum rate of descent varying linearly to ±10 degrees from trim at V
(2) The steady-state sideslip angles established by § 29.351;
(3) A sideslip angle selected by the applicant, which corresponds to a sideforce of at least 0.1g; or
(4) The sideslip angle attained by maximum directional control input.
(b) Sufficient cues must accompany the sideslip to alert the pilot when approaching sideslip limits.
(c) During the maneuver specified in paragraph (a) of this section, the sideslip angle versus directional control position curve may have a negative slope within a small range of angles around trim, provided the desired heading can be maintained without exceptional piloting skill or alertness.
Any short-period oscillation occurring at any speed from V
The rotorcraft must have satisfactory ground and water handling characteristics, including freedom from uncontrollable tendencies in any condition expected in operation.
The rotorcraft must be designed to withstand the loads that would occur when the rotorcraft is taxied over the roughest ground that may reasonably be expected in normal operation.
If certification for water operation is requested, no spray characteristics during taxiing, takeoff, or landing may obscure the vision of the pilot or damage the rotors, propellers, or other parts of the rotorcraft.
The rotorcraft may have no dangerous tendency to oscillate on the ground with the rotor turning.
Each part of the rotorcraft must be free from excessive vibration under each appropriate speed and power condition.
(a) Strength requirements are specified in terms of limit loads (the maximum loads to be expected in service) and ultimate loads (limit loads multiplied by prescribed factors of safety). Unless otherwise provided, prescribed loads are limit loads.
(b) Unless otherwise provided, the specified air, ground, and water loads must be placed in equilibrium with inertia forces, considering each item of mass in the rotorcraft. These loads must be distributed to closely approximate or conservatively represent actual conditions.
(c) If deflections under load would significantly change the distribution of external or internal loads, this redistribution must be taken into account.
Unless otherwise provided, a factor of safety of 1.5 must be used. This factor applies to external and inertia loads unless its application to the resulting internal stresses is more conservative.
(a) The structure must be able to support limit loads without detrimental or permanent deformation. At any load up to limit loads, the deformation may not interfere with safe operation.
(b) The structure must be able to support ultimate loads without failure. This must be shown by—
(1) Applying ultimate loads to the structure in a static test for at least three seconds; or
(2) Dynamic tests simulating actual load application.
(a) Compliance with the strength and deformation requirements of this subpart must be shown for each critical loading condition accounting for the environment to which the structure will be exposed in operation. Structural analysis (static or fatigue) may be used only if the structure conforms to those structures for which experience has shown this method to be reliable. In other cases, substantiating load tests must be made.
(b) Proof of compliance with the strength requirements of this subpart must include—
(1) Dynamic and endurance tests of rotors, rotor drives, and rotor controls;
(2) Limit load tests of the control system, including control surfaces;
(3) Operation tests of the control system;
(4) Flight stress measurement tests;
(5) Landing gear drop tests; and
(6) Any additional tests required for new or unusual design features.
The following values and limitations must be established to show compliance with the structural requirements of this subpart:
(a) The design maximum and design minimum weights.
(b) The main rotor r.p.m. ranges, power on and power off.
(c) The maximum forward speeds for each main rotor r.p.m. within the ranges determined under paragraph (b) of this section.
(d) The maximum rearward and sideward flight speeds.
(e) The center of gravity limits corresponding to the limitations determined under paragraphs (b), (c), and (d) of this section.
(f) The rotational speed ratios between each powerplant and each connected rotating component.
(g) The positive and negative limit maneuvering load factors.
(a) The flight load factor must be assumed to act normal to the longitudinal axis of the rotorcraft, and to be equal in magnitude and opposite in direction to the rotorcraft inertia load factor at the center of gravity.
(b) Compliance with the flight load requirements of this subpart must be shown—
(1) At each weight from the design minimum weight to the design maximum weight; and
(2) With any practical distribution of disposable load within the operating limitations in the Rotorcraft Flight Manual.
The rotorcraft must be designed for—
(a) A limit maneuvering load factor ranging from a positive limit of 3.5 to a negative limit of −1.0; or
(b) Any positive limit maneuvering load factor not less than 2.0 and any negative limit maneuvering load factor of not less than −0.5 for which—
(1) The probability of being exceeded is shown by analysis and flight tests to be extremely remote; and
(2) The selected values are appropriate to each weight condition between the design maximum and design minimum weights.
The loads resulting from the application of limit maneuvering load factors are assumed to act at the center of each rotor hub and at each auxiliary lifting surface, and to act in directions and with distributions of load among the rotors and auxiliary lifting surfaces, so as to represent each critical maneuvering condition, including power-on and power-off flight with the maximum design rotor tip speed ratio. The rotor tip speed ratio is the ratio of the rotorcraft flight velocity component in the plane of the rotor disc to the rotational tip speed of the rotor blades, and is expressed as follows:
Each rotorcraft must be designed to withstand, at each critical airspeed including hovering, the loads resulting from vertical and horizontal gusts of 30 feet per second.
(a) Each rotorcraft must be designed for the loads resulting from the maneuvers specified in paragraphs (b) and (c) of this section, with—
(1) Unbalanced aerodynamic moments about the center of gravity which the aircraft reacts to in a rational or conservative manner considering the principal masses furnishing the reacting inertia forces; and
(2) Maximum main rotor speed.
(b) To produce the load required in paragraph (a) of this section, in unaccelerated flight with zero yaw, at forward speeds from zero up to 0.6 V
(1) Displace the cockpit directional control suddenly to the maximum deflection limited by the control stops or by the maximum pilot force specified in § 29.397(a);
(2) Attain a resulting sideslip angle or 90°, whichever is less; and
(3) Return the directional control suddenly to neutral.
(c) To produce the load required in paragraph (a) of the section, in unaccelerated flight with zero yaw, at forward speeds from 0.6 V
(1) Displace the cockpit directional control suddenly to the maximum deflection limited by the control stops or by the maximum pilot force specified in § 29.397(a);
(2) Attain a resulting sideslip angle or 15°, whichever is less, at the lesser speed of V
(3) Vary the sideslip angles of paragraphs (b)(2) and (c)(2) of this section directly with speed; and
(4) Return the directional control suddenly to neutral.
The limit engine torque may not be less than the following:
(a) For turbine engines, the highest of—
(1) The mean torque for maximum continuous power multiplied by 1.25;
(2) The torque required by § 29.923;
(3) The torque required by § 29.927; or
(4) The torque imposed by sudden engine stoppage due to malfunction or structural failure (such as compressor jamming).
(b) For reciprocating engines, the mean torque for maximum continuous power multiplied by—
(1) 1.33, for engines with five or more cylinders; and
(2) Two, three, and four, for engines with four, three, and two cylinders, respectively.
Each auxiliary rotor, each fixed or movable stabilizing or control surface, and each system operating any flight control must meet the requirements of §§ 29.395 through 29.399, 29.411, and 29.427.
(a) The reaction to the loads prescribed in § 29.397 must be provided by—
(1) The control stops only;
(2) The control locks only;
(3) The irreversible mechanism only (with the mechanism locked and with the control surface in the critical positions for the effective parts of the system within its limit of motion);
(4) The attachment of the control system to the rotor blade pitch control horn only (with the control in the critical positions for the affected parts of the system within the limits of its motion); and
(5) The attachment of the control system to the control surface horn (with the control in the critical positions for the affected parts of the system within the limits of its motion).
(b) Each primary control system, including its supporting structure, must be designed as follows:
(1) The system must withstand loads resulting from the limit pilot forces prescribed in § 29.397;
(2) Notwithstanding paragraph (b)(3) of this section, when power-operated actuator controls or power boost controls are used, the system must also withstand the loads resulting from the limit pilot forces prescribed in § 29.397 in conjunction with the forces output of each normally energized power device, including any single power boost or actuator system failure;
(3) If the system design or the normal operating loads are such that a part of the system cannot react to the limit pilot forces prescribed in § 29.397, that part of the system must be designed to withstand the maximum loads that can be obtained in normal operation. The minimum design loads must, in any case, provide a rugged system for service use, including consideration of fatigue, jamming, ground gusts, control inertia, and friction loads. In the absence of a rational analysis, the design loads resulting from 0.60 of the specified limit pilot forces are acceptable minimum design loads; and
(4) If operational loads may be exceeded through jamming, ground gusts, control inertia, or friction, the system must withstand the limit pilot forces specified in § 29.397, without yielding.
(a) Except as provided in paragraph (b) of this section, the limit pilot forces are as follows:
(1) For foot controls, 130 pounds.
(2) For stick controls, 100 pounds fore and aft, and 67 pounds laterally.
(b) For flap, tab, stabilizer, rotor brake, and landing gear operating controls, the following apply (R = radius in inches):
(1) Crank wheel, and lever controls, [1 + R]/3 × 50 pounds, but not less than 50 pounds nor more than 100 pounds for hand operated controls or 130 pounds for foot operated controls, applied at any angle within 20 degrees of the plane of motion of the control.
(2) Twist controls, 80R inch-pounds.
Each dual primary flight control system must be able to withstand the loads that result when pilot forces not less than 0.75 times those obtained under § 29.395 are applied—
(a) In opposition; and
(b) In the same direction.
(a) It must be impossible for the tail rotor to contact the landing surface during a normal landing.
(b) If a tail rotor guard is required to show compliance with paragraph (a) of this section—
(1) Suitable design loads must be established for the guard: and
(2) The guard and its supporting structure must be designed to withstand those loads.
(a) Horizontal tail surfaces and their supporting structure must be designed for unsymmetrical loads arising from yawing and rotor wake effects in combination with the prescribed flight conditions.
(b) To meet the design criteria of paragraph (a) of this section, in the absence of more rational data, both of the following must be met:
(1) One hundred percent of the maximum loading from the symmetrical flight conditions acts on the surface on one side of the plane of symmetry, and no loading acts on the other side.
(2) Fifty percent of the maximum loading from the symmetrical flight conditions acts on the surface on each side of the plane of symmetry, in opposite directions.
(c) For empennage arrangements where the horizontal tail surfaces are supported by the vertical tail surfaces, the vertical tail surfaces and supporting structure must be designed for the combined vertical and horizontal surface loads resulting from each prescribed flight condition, considered separately. The flight conditions must be selected so that the maximum design loads are obtained on each surface. In the absence of more rational data, the unsymmetrical horizontal tail surface loading distributions described in this section must be assumed.
(a) Loads and equilibrium. For limit ground loads—
(1) The limit ground loads obtained in the landing conditions in this part must be considered to be external loads that would occur in the rotorcraft structure if it were acting as a rigid body; and
(2) In each specified landing condition, the external loads must be placed in equilibrium with linear and angular inertia loads in a rational or conservative manner.
(b) Critical centers of gravity. The critical centers of gravity within the range for which certification is requested must be selected so that the maximum design loads are obtained in each landing gear element.
(a) For specified landing conditions, a design maximum weight must be used that is not less than the maximum weight. A rotor lift may be assumed to act through the center of gravity throughout the landing impact. This lift may not exceed two-thirds of the design maximum weight.
(b) Unless otherwise prescribed, for each specified landing condition, the rotorcraft must be designed for a limit load factor of not less than the limit inertia load factor substantiated under § 29.725.
(c) Triggering or actuating devices for additional or supplementary energy absorption may not fail under loads established in the tests prescribed in §§ 29.725 and 29.727, but the factor of safety prescribed in § 29.303 need not be used.
Unless otherwise prescribed, for each specified landing condition, the tires must be assumed to be in their static position and the shock absorbers to be in their most critical position.
Sections 29.235, 29.479 through 29.485, and 29.493 apply to landing gear with two wheels aft, and one or more wheels forward, of the center of gravity.
(a) Attitudes. Under each of the loading conditions prescribed in paragraph (b) of this section, the rotorcraft is assumed to be in each of the following level landing attitudes:
(1) An attitude in which each wheel contacts the ground simultaneously.
(2) An attitude in which the aft wheels contact the ground with the forward wheels just clear of the ground.
(b) Loading conditions. The rotorcraft must be designed for the following landing loading conditions:
(1) Vertical loads applied under § 29.471.
(2) The loads resulting from a combination of the loads applied under paragraph (b)(1) of this section with drag loads at each wheel of not less than 25 percent of the vertical load at that wheel.
(3) The vertical load at the instant of peak drag load combined with a drag component simulating the forces required to accelerate the wheel rolling assembly up to the specified ground speed, with—
(i) The ground speed for determination of the spin-up loads being at least 75 percent of the optimum forward flight speed for minimum rate of descent in autorotation; and
(ii) The loading conditions of paragraph (b) applied to the landing gear and its attaching structure only.
(4) If there are two wheels forward, a distribution of the loads applied to those wheels under paragraphs (b)(1) and (2) of this section in a ratio of 40:60.
(c) Pitching moments. Pitching moments are assumed to be resisted by—
(1) In the case of the attitude in paragraph (a)(1) of this section, the forward landing gear; and
(2) In the case of the attitude in paragraph (a)(2) of this section, the angular inertia forces.
(a) The rotorcraft is assumed to be in the maximum nose-up attitude allowing ground clearance by each part of the rotorcraft.
(b) In this attitude, ground loads are assumed to act perpendicular to the ground.
For the one-wheel landing condition, the rotorcraft is assumed to be in the level attitude and to contact the ground on one aft wheel. In this attitude—
(a) The vertical load must be the same as that obtained on that side under § 29.479(b)(1); and
(b) The unbalanced external loads must be reacted by rotorcraft inertia.
(a) The rotorcraft is assumed to be in the level landing attitude, with—
(1) Side loads combined with one-half of the maximum ground reactions obtained in the level landing conditions of § 29.479(b)(1); and
(2) The loads obtained under paragraph (a)(1) of this section applied—
(i) At the ground contact point; or
(ii) For full-swiveling gear, at the center of the axle.
(b) The rotorcraft must be designed to withstand, at ground contact—
(1) When only the aft wheels contact the ground, side loads of 0.8 times the vertical reaction acting inward on one side and 0.6 times the vertical reaction acting outward on the other side, all combined with the vertical loads specified in paragraph (a) of this section; and
(2) When the wheels contact the ground simultaneously—
(i) For the aft wheels, the side loads specified in paragraph (b)(1) of this section; and
(ii) For the forward wheels, a side load of 0.8 times the vertical reaction combined with the vertical load specified in paragraph (a) of this section.
Under braked roll conditions with the shock absorbers in their static positions—
(a) The limit vertical load must be based on a load factor of at least—
(1) 1.33, for the attitude specified in § 29.479(a)(1); and
(2) 1.0, for the attitude specified in § 29.479(a)(2); and
(b) The structure must be designed to withstand, at the ground contact point of each wheel with brakes, a drag load of at least the lesser of—
(1) The vertical load multiplied by a coefficient of friction of 0.8; and
(2) The maximum value based on limiting brake torque.
(a) General. Rotorcraft with landing gear with two wheels forward and one wheel aft of the center of gravity must be designed for loading conditions as prescribed in this section.
(b) Level landing attitude with only the forward wheels contacting the ground. In this attitude—
(1) The vertical loads must be applied under §§ 29.471 through 29.475;
(2) The vertical load at each axle must be combined with a drag load at that axle of not less than 25 percent of that vertical load; and
(3) Unbalanced pitching moments are assumed to be resisted by angular inertia forces.
(c) Level landing attitude with all wheels contacting the ground simultaneously. In this attitude, the rotorcraft must be designed for landing loading conditions as prescribed in paragraph (b) of this section.
(d) Maximum nose-up attitude with only the rear wheel contacting the ground. The attitude for this condition must be the maximum nose-up attitude expected in normal operation, including autorotative landings. In this attitude—
(1) The appropriate ground loads specified in paragraph (b)(1) and (2) of this section must be determined and applied, using a rational method to account for the moment arm between the rear wheel ground reaction and the rotorcraft center of gravity; or
(2) The probability of landing with initial contact on the rear wheel must be shown to be extremely remote.
(e) Level landing attitude with only one forward wheel contacting the ground. In this attitude, the rotorcraft must be designed for ground loads as specified in paragraph (b)(1) and (3) of this section.
(f) Side loads in the level landing attitude. In the attitudes specified in paragraphs (b) and (c) of this section, the following apply:
(1) The side loads must be combined at each wheel with one-half of the maximum vertical ground reactions obtained for that wheel under paragraphs (b) and (c) of this section. In this condition, the side loads must be—
(i) For the forward wheels, 0.8 times the vertical reaction (on one side) acting inward, and 0.6 times the vertical reaction (on the other side) acting outward; and
(ii) For the rear wheel, 0.8 times the vertical reaction.
(2) The loads specified in paragraph (f)(1) of this section must be applied—
(i) At the ground contact point with the wheel in the trailing position (for non-full swiveling landing gear or for full swiveling landing gear with a lock, steering device, or shimmy damper to keep the wheel in the trailing position); or
(ii) At the center of the axle (for full swiveling landing gear without a lock, steering device, or shimmy damper).
(g) Braked roll conditions in the level landing attitude. In the attitudes specified in paragraphs (b) and (c) of this section, and with the shock absorbers in their static positions, the rotorcraft must be designed for braked roll loads as follows:
(1) The limit vertical load must be based on a limit vertical load factor of not less than—
(i) 1.0, for the attitude specified in paragraph (b) of this section; and
(ii) 1.33, for the attitude specified in paragraph (c) of this section.
(2) For each wheel with brakes, a drag load must be applied, at the ground contact point, of not less than the lesser of—
(i) 0.8 times the vertical load; and
(ii) The maximum based on limiting brake torque.
(h) Rear wheel turning loads in the static ground attitude. In the static ground attitude, and with the shock absorbers and tires in their static positions, the rotorcraft must be designed for rear wheel turning loads as follows:
(1) A vertical ground reaction equal to the static load on the rear wheel must be combined with an equal side load.
(2) The load specified in paragraph (h)(1) of this section must be applied to the rear landing gear—
(i) Through the axle, if there is a swivel (the rear wheel being assumed to be swiveled 90 degrees to the longitudinal axis of the rotorcraft); or
(ii) At the ground contact point if there is a lock, steering device or shimmy damper (the rear wheel being assumed to be in the trailing position).
(i) Taxiing condition. The rotorcraft and its landing gear must be designed for the loads that would occur when the rotorcraft is taxied over the roughest ground that may reasonably be expected in normal operation.
(a) General. Rotorcraft with landing gear with skids must be designed for the loading conditions specified in this section. In showing compliance with this section, the following apply:
(1) The design maximum weight, center of gravity, and load factor must be determined under §§ 29.471 through 29.475.
(2) Structural yielding of elastic spring members under limit loads is acceptable.
(3) Design ultimate loads for elastic spring members need not exceed those obtained in a drop test of the gear with—
(i) A drop height of 1.5 times that specified in § 29.725; and
(ii) An assumed rotor lift of not more than 1.5 times that used in the limit drop tests prescribed in § 29.725.
(4) Compliance with paragraph (b) through (e) of this section must be shown with—
(i) The gear in its most critically deflected position for the landing condition being considered; and
(ii) The ground reactions rationally distributed along the bottom of the skid tube.
(b) Vertical reactions in the level landing attitude. In the level attitude, and with the rotorcraft contacting the ground along the bottom of both skids, the vertical reactions must be applied as prescribed in paragraph (a) of this section.
(c) Drag reactions in the level landing attitude. In the level attitude, and with the rotorcraft contacting the ground along the bottom of both skids, the following apply:
(1) The vertical reactions must be combined with horizontal drag reactions of 50 percent of the vertical reaction applied at the ground.
(2) The resultant ground loads must equal the vertical load specified in paragraph (b) of this section.
(d) Sideloads in the level landing attitude. In the level attitude, and with the rotorcraft contacting the ground along the bottom of both skids, the following apply:
(1) The vertical ground reaction must be—
(i) Equal to the vertical loads obtained in the condition specified in paragraph (b) of this section; and
(ii) Divided equally among the skids.
(2) The vertical ground reactions must be combined with a horizontal sideload of 25 percent of their value.
(3) The total sideload must be applied equally between skids and along the length of the skids.
(4) The unbalanced moments are assumed to be resisted by angular inertia.
(5) The skid gear must be investigated for—
(i) Inward acting sideloads; and
(ii) Outward acting sideloads.
(e) One-skid landing loads in the level attitude. In the level attitude, and with the rotorcraft contacting the ground along the bottom of one skid only, the following apply:
(1) The vertical load on the ground contact side must be the same as that obtained on that side in the condition specified in paragraph (b) of this section.
(2) The unbalanced moments are assumed to be resisted by angular inertia.
(f) Special conditions. In addition to the conditions specified in paragraphs (b) and (c) of this section, the rotorcraft must be designed for the following ground reactions:
(1) A ground reaction load acting up and aft at an angle of 45 degrees to the longitudinal axis of the rotorcraft. This load must be—
(i) Equal to 1.33 times the maximum weight;
(ii) Distributed symmetrically among the skids;
(iii) Concentrated at the forward end of the straight part of the skid tube; and
(iv) Applied only to the forward end of the skid tube and its attachment to the rotorcraft.
(2) With the rotorcraft in the level landing attitude, a vertical ground reaction load equal to one-half of the vertical load determined under paragraph (b) of this section. This load must be—
(i) Applied only to the skid tube and its attachment to the rotorcraft; and
(ii) Distributed equally over 33.3 percent of the length between the skid tube attachments and centrally located midway between the skid tube attachments.
If certification for ski operation is requested, the rotorcraft, with skis, must be designed to withstand the following loading conditions (where P is the maximum static weight on each ski with the rotorcraft at design maximum weight, and n is the limit load factor determined under § 29.473(b)):
(a) Up-load conditions in which—
(1) A vertical load of Pn and a horizontal load of Pn/4 are simultaneously applied at the pedestal bearings; and
(2) A vertical load of 1.33 P is applied at the pedestal bearings.
(b) A side load condition in which a side load of 0.35 Pn is applied at the pedestal bearings in a horizontal plane perpendicular to the centerline of the rotorcraft.
(c) A torque-load condition in which a torque load of 1.33 P (in foot-pounds) is applied to the ski about the vertical axis through the centerline of the pedestal bearings.
(a) In dual-wheel gear units, 60 percent of the total ground reaction for the gear unit must be applied to one wheel and 40 percent to the other.
(b) To provide for the case of one deflated tire, 60 percent of the specified load for the gear unit must be applied to either wheel except that the vertical ground reaction may not be less than the full static value.
(c) In determining the total load on a gear unit, the transverse shift in the load centroid, due to unsymmetrical load distribution on the wheels, may be neglected.
(a) General. For hull type rotorcraft, the structure must be designed to withstand the water loading set forth in paragraphs (b), (c), and (d) of this section considering the most severe wave heights and profiles for which approval is desired. The loads for the landing conditions of paragraphs (b) and (c) of this section must be developed and distributed along and among the hull and auxiliary floats, if used, in a rational and conservative manner, assuming a rotor lift not exceeding two-thirds of the rotorcraft weight to act throughout the landing impact.
(b) Vertical landing conditions. The rotorcraft must initially contact the most critical wave surface at zero forward speed in likely pitch and roll attitudes which result in critical design loadings. The vertical descent velocity may not be less than 6.5 feet per second relative to the mean water surface.
(c) Forward speed landing conditions. The rotorcraft must contact the most critical wave at forward velocities from zero up to 30 knots in likely pitch, roll, and yaw attitudes and with a vertical descent velocity of not less than 6.5 feet per second relative to the mean water surface. A maximum forward velocity of less than 30 knots may be used in design if it can be demonstrated that the forward velocity selected would not be exceeded in a normal one-engine-out landing.
(d) Auxiliary float immersion condition. In addition to the loads from the landing conditions, the auxiliary float, and its support and attaching structure in the hull, must be designed for the load developed by a fully immersed float unless it can be shown that full immersion of the float is unlikely, in which case the highest likely float buoyancy load must be applied that considers loading of the float immersed to create restoring moments compensating for upsetting moments caused by side wind, asymmetrical rotorcraft loading, water wave action, and rotorcraft inertia.
If certification for float operation (including float amphibian operation) is requested, the rotorcraft, with floats, must be designed to withstand the following loading conditions (where the limit load factor is determined under § 29.473(b) or assumed to be equal to that determined for wheel landing gear):
(a) Up-load conditions in which—
(1) A load is applied so that, with the rotorcraft in the static level attitude, the resultant water reaction passes vertically through the center of gravity; and
(2) The vertical load prescribed in paragraph (a)(1) of this section is applied simultaneously with an aft component of 0.25 times the vertical component
(b) A side load condition in which—
(1) A vertical load of 0.75 times the total vertical load specified in paragraph (a)(1) of this section is divided equally among the floats; and
(2) For each float, the load share determined under paragraph (b)(1) of this section, combined with a total side load of 0.25 times the total vertical load specified in paragraph (b)(1) of this section, is applied to that float only.
(a) A rotor is an assembly of rotating components, which includes the rotor hub, blades, blade dampers, the pitch control mechanisms, and all other parts that rotate with the assembly.
(b) Each rotor assembly must be designed as prescribed in this section and must function safely for the critical flight load and operating conditions. A design assessment must be performed, including a detailed failure analysis to identify all failures that will prevent continued safe flight or safe landing, and must identify the means to minimize the likelihood of their occurrence.
(c) The rotor structure must be designed to withstand the following loads prescribed in §§ 29.337 through 29.341 and 29.351:
(1) Critical flight loads.
(2) Limit loads occurring under normal conditions of autorotation.
(d) The rotor structure must be designed to withstand loads simulating—
(1) For the rotor blades, hubs, and flapping hinges, the impact force of each blade against its stop during ground operation; and
(2) Any other critical condition expected in normal operation.
(e) The rotor structure must be designed to withstand the limit torque at any rotational speed, including zero.
In addition:
(1) The limit torque need not be greater than the torque defined by a torque limiting device (where provided), and may not be less than the greater of—
(i) The maximum torque likely to be transmitted to the rotor structure, in either direction, by the rotor drive or by sudden application of the rotor brake; and
(ii) For the main rotor, the limit engine torque specified in § 29.361.
(2) The limit torque must be equally and rationally distributed to the rotor blades.
(a) Each fuselage and rotor pylon structure must be designed to withstand—
(1) The critical loads prescribed in §§ 29.337 through 29.341, and 29.351;
(2) The applicable ground loads prescribed in §§ 29.235, 29.471 through 29.485, 29.493, 29.497, 29.505, and 29.521; and
(3) The loads prescribed in § 29.547 (d)(1) and (e)(1)(i).
(b) Auxiliary rotor thrust, the torque reaction of each rotor drive system, and the balancing air and inertia loads occurring under accelerated flight conditions, must be considered.
(c) Each engine mount and adjacent fuselage structure must be designed to withstand the loads occurring under accelerated flight and landing conditions, including engine torque.
(d) [Reserved]
(e) If approval for the use of 2
Each auxiliary lifting surface must be designed to withstand—
(a) The critical flight loads in §§ 29.337 through 29.341, and 29.351;
(b) the applicable ground loads in §§ 29.235, 29.471 through 29.485, 29.493, 29.505, and 29.521; and
(c) Any other critical condition expected in normal operation.
(a) The rotorcraft, although it may be damaged in emergency landing conditions on land or water, must be designed as prescribed in this section to protect the occupants under those conditions.
(b) The structure must be designed to give each occupant every reasonable chance of escaping serious injury in a crash landing when—
(1) Proper use is made of seats, belts, and other safety design provisions;
(2) The wheels are retracted (where applicable); and
(3) Each occupant and each item of mass inside the cabin that could injure an occupant is restrained when subjected to the following ultimate inertial load factors relative to the surrounding structure:
(i) Upward—4g.
(ii) Forward—16g.
(iii) Sideward—8g.
(iv) Downward—20g, after the intended displacement of the seat device.
(v) Rearward—1.5g.
(c) The supporting structure must be designed to restrain under any ultimate inertial load factor up to those specified in this paragraph, any item of mass above and/or behind the crew and passenger compartment that could injure an occupant if it came loose in an emergency landing. Items of mass to be considered include, but are not limited to, rotors, transmission, and engines. The items of mass must be restrained for the following ultimate inertial load factors:
(1) Upward—1.5g.
(2) Forward—12g.
(3) Sideward—6g.
(4) Downward—12g.
(5) Rearward—1.5g.
(d) Any fuselage structure in the area of internal fuel tanks below the passenger floor level must be designed to resist the following ultimate inertial factors and loads, and to protect the fuel tanks from rupture, if rupture is likely when those loads are applied to that area:
(1) Upward—1.5g.
(2) Forward—4.0g.
(3) Sideward—2.0g.
(4) Downward—4.0g.
(a) The rotorcraft, although it may be damaged in a crash landing, must be designed to reasonably protect each occupant when—
(1) The occupant properly uses the seats, safety belts, and shoulder harnesses provided in the design; and
(2) The occupant is exposed to loads equivalent to those resulting from the conditions prescribed in this section.
(b) Each seat type design or other seating device approved for crew or passenger occupancy during takeoff and landing must successfully complete dynamic tests or be demonstrated by rational analysis based on dynamic tests of a similar type seat in accordance with the following criteria. The tests must be conducted with an occupant simulated by a 170-pound anthropomorphic test dummy (ATD), as defined by 49 CFR 572, Subpart B, or its equivalent, sitting in the normal upright position.
(1) A change in downward velocity of not less than 30 feet per second when the seat or other seating device is oriented in its nominal position with respect to the rotorcraft's reference system, the rotorcraft's longitudinal axis is canted upward 60° with respect to the impact velocity vector, and the rotorcraft's lateral axis is perpendicular to a vertical plane containing the impact velocity vector and the rotorcraft's longitudinal axis. Peak floor deceleration must occur in not more than 0.031 seconds after impact and must reach a minimum of 30g's.
(2) A change in forward velocity of not less than 42 feet per second when the seat or other seating device is oriented in its nominal position with respect to the rotorcraft's reference system, the rotorcraft's longitudinal axis is yawed 10° either right or left of the impact velocity vector (whichever would cause the greatest load on the shoulder harness), the rotorcraft's lateral axis is contained in a horizontal plane containing the impact velocity vector, and the rotorcraft's vertical axis is perpendicular to a horizontal plane containing the impact velocity vector. Peak floor deceleration must occur in not more than 0.071 seconds after impact and must reach a minimum of 18.4g's.
(3) Where floor rails or floor or sidewall attachment devices are used to attach the seating devices to the airframe structure for the conditions of this section, the rails or devices must be misaligned with respect to each other by at least 10° vertically (i.e., pitch out of parallel) and by at least a 10° lateral roll, with the directions optional, to account for possible floor warp.
(c) Compliance with the following must be shown:
(1) The seating device system must remain intact although it may experience separation intended as part of its design.
(2) The attachment between the seating device and the airframe structure must remain intact although the structure may have exceeded its limit load.
(3) The ATD's shoulder harness strap or straps must remain on or in the immediate vicinity of the ATD's shoulder during the impact.
(4) The safety belt must remain on the ATD's pelvis during the impact.
(5) The ATD's head either does not contact any portion of the crew or passenger compartment or, if contact is made, the head impact does not exceed a head injury criteria (HIC) of 1,000 as determined by this equation.
(6) Loads in individual shoulder harness straps must not exceed 1,750 pounds. If dual straps are used for retaining the upper torso, the total harness strap loads must not exceed 2,000 pounds.
(7) The maximum compressive load measured between the pelvis and the lumbar column of the ATD must not exceed 1,500 pounds.
(d) An alternate approach that achieves an equivalent or greater level of occupant protection, as required by this section, must be substantiated on a rational basis.
If certification with ditching provisions is requested, structural strength for ditching must meet the requirements of this section and § 29.801(e).
(a) Forward speed landing conditions. The rotorcraft must initially contact the most critical wave for reasonably probable water conditions at forward velocities from zero up to 30 knots in likely pitch, roll, and yaw attitudes. The rotorcraft limit vertical descent velocity may not be less than 5 feet per second relative to the mean water surface. Rotor lift may be used to act through the center of gravity throughout the landing impact. This lift may not exceed two-thirds of the design maximum weight. A maximum forward velocity of less than 30 knots may be used in design if it can be demonstrated that the forward velocity selected would not be exceeded in a normal one-engine-out touchdown.
(b) Auxiliary or emergency float conditions—(1) Floats fixed or deployed before initial water contact. In addition to the landing loads in paragraph (a) of this section, each auxiliary or emergency float, or its support and attaching structure in the airframe or fuselage, must be designed for the load developed by a fully immersed float unless it can be shown that full immersion is unlikely. If full immersion is unlikely, the highest likely float buoyancy load must be applied. The highest likely buoyancy load must include consideration of a partially immersed float creating restoring moments to compensate the upsetting moments caused by side wind, unsymmetrical rotorcraft loading, water wave action, rotorcraft inertia, and probable structural damage and leakage considered under § 29.801(d). Maximum roll and pitch angles determined from compliance with § 29.801(d) may be used, if significant, to determine the extent of immersion of each float. If the floats are deployed in flight, appropriate air loads derived from the flight limitations with the floats deployed shall be used in substantiation of the floats and their attachment to the rotorcraft. For this purpose, the design airspeed for limit load is the float deployed airspeed operating limit multiplied by 1.11.
(2) Floats deployed after initial water contact. Each float must be designed for full or partial immersion prescribed in paragraph (b)(1) of this section. In addition, each float must be designed for combined vertical and drag loads using a relative limit speed of 20 knots between the rotorcraft and the water. The vertical load may not be less than the highest likely buoyancy load determined under paragraph (b)(1) of this section.
(a) A fatigue tolerance evaluation of each principal structural element (PSE) must be performed, and appropriate inspections and retirement time or approved equivalent means must be established to avoid catastrophic failure during the operational life of the rotorcraft. The fatigue tolerance evaluation must consider the effects of both fatigue and the damage determined under paragraph (e)(4) of this section. Parts to be evaluated include PSEs of the rotors, rotor drive systems between the engines and rotor hubs, controls, fuselage, fixed and movable control surfaces, engine and transmission mountings, landing gear, and their related primary attachments.
(b) For the purposes of this section, the term—
(1) Catastrophic failure means an event that could prevent continued safe flight and landing.
(2) Principal structural element (PSE) means a structural element that contributes significantly to the carriage of flight or ground loads, and the fatigue failure of that structural element could result in catastrophic failure of the aircraft.
(c) The methodology used to establish compliance with this section must be submitted to and approved by the Administrator.
(d) Considering all rotorcraft structure, structural elements, and assemblies, each PSE must be identified.
(e) Each fatigue tolerance evaluation required by this section must include:
(1) In-flight measurements to determine the fatigue loads or stresses for the PSEs identified in paragraph (d) of this section in all critical conditions throughout the range of design limitations required by § 29.309 (including altitude effects), except that maneuvering load factors need not exceed the maximum values expected in operations.
(2) The loading spectra as severe as those expected in operations based on loads or stresses determined under paragraph (e)(1) of this section, including external load operations, if applicable, and other high frequency power-cycle operations.
(3) Takeoff, landing, and taxi loads when evaluating the landing gear and other affected PSEs.
(4) For each PSE identified in paragraph (d) of this section, a threat assessment which includes a determination of the probable locations, types, and sizes of damage, taking into account fatigue, environmental effects, intrinsic and discrete flaws, or accidental damage that may occur during manufacture or operation.
(5) A determination of the fatigue tolerance characteristics for the PSE with the damage identified in paragraph (e)(4) of this section that supports the inspection and retirement times, or other approved equivalent means.
(6) Analyses supported by test evidence and, if available, service experience.
(f) A residual strength determination is required that substantiates the maximum damage size assumed in the fatigue tolerance evaluation. In determining inspection intervals based on damage growth, the residual strength evaluation must show that the remaining structure, after damage growth, is able to withstand design limit loads without failure.
(g) The effect of damage on stiffness, dynamic behavior, loads, and functional performance must be considered.
(h) Based on the requirements of this section, inspections and retirement times or approved equivalent means must be established to avoid catastrophic failure. The inspections and retirement times or approved equivalent means must be included in the Airworthiness Limitations Section of the Instructions for Continued Airworthiness required by Section 29.1529 and Section A29.4 of Appendix A of this part.
(i) If inspections for any of the damage types identified in paragraph (e)(4) of this section cannot be established within the limitations of geometry, inspectability, or good design practice, then supplemental procedures, in conjunction with the PSE retirement time, must be established to minimize the risk of occurrence of these types of damage that could result in a catastrophic failure during the operational life of the rotorcraft.
(a) Each applicant must evaluate the composite rotorcraft structure under the damage tolerance standards of paragraph (d) of this section unless the applicant establishes that a damage tolerance evaluation is impractical within the limits of geometry, inspectability, and good design practice. If an applicant establishes that it is impractical within the limits of geometry, inspectability, and good design practice, the applicant must do a fatigue evaluation in accordance with paragraph (e) of this section.
(b) The methodology used to establish compliance with this section must be submitted to and approved by the Administrator.
(c) Definitions:
(1) Catastrophic failure is an event that could prevent continued safe flight and landing.
(2) Principal Structural Elements (PSEs) are structural elements that contribute significantly to the carrying of flight or ground loads, the failure of which could result in catastrophic failure of the rotorcraft.
(3) Threat Assessment is an assessment that specifies the locations, types, and sizes of damage, considering fatigue, environmental effects, intrinsic and discrete flaws, and impact or other accidental damage (including the discrete source of the accidental damage) that may occur during manufacture or operation.
(d) Damage Tolerance Evaluation:
(1) Each applicant must show that catastrophic failure due to static and fatigue loads, considering the intrinsic or discrete manufacturing defects or accidental damage, is avoided throughout the operational life or prescribed inspection intervals of the rotorcraft by performing damage tolerance evaluations of the strength of composite PSEs and other parts, detail design points, and fabrication techniques. Each applicant must account for the effects of material and process variability along with environmental conditions in the strength and fatigue evaluations. Each applicant must evaluate parts that include PSEs of the airframe, main and tail rotor drive systems, main and tail rotor blades and hubs, rotor controls, fixed and movable control surfaces, engine and transmission mountings, landing gear, other parts, detail design points, and fabrication techniques deemed critical by the FAA. Each damage tolerance evaluation must include:
(i) The identification of all PSEs;
(ii) In-flight and ground measurements for determining the loads or stresses for all PSEs for all critical conditions throughout the range of limits in § 29.309 (including altitude effects), except that maneuvering load factors need not exceed the maximum values expected in service;
(iii) The loading spectra as severe as those expected in service based on loads or stresses determined under paragraph (d)(1)(ii) of this section, including external load operations, if applicable, and other operations including high-torque events;
(iv) A threat assessment for all PSEs that specifies the locations, types, and sizes of damage, considering fatigue, environmental effects, intrinsic and discrete flaws, and impact or other accidental damage (including the discrete source of the accidental damage) that may occur during manufacture or operation; and
(v) An assessment of the residual strength and fatigue characteristics of all PSEs that supports the replacement times and inspection intervals established under paragraph (d)(2) of this section.
(2) Each applicant must establish replacement times, inspections, or other procedures for all PSEs to require the repair or replacement of damaged parts before a catastrophic failure. These replacement times, inspections, or other procedures must be included in the Airworthiness Limitations Section of the Instructions for Continued Airworthiness required by § 29.1529.
(i) Replacement times for PSEs must be determined by tests, or by analysis supported by tests, and must show that the structure is able to withstand the repeated loads of variable magnitude expected in-service. In establishing these replacement times, the following items must be considered:
(A) Damage identified in the threat assessment required by paragraph (d)(1)(iv) of this section;
(B) Maximum acceptable manufacturing defects and in-service damage (i.e., those that do not lower the residual strength below ultimate design loads and those that can be repaired to restore ultimate strength); and
(C) Ultimate load strength capability after applying repeated loads.
(ii) Inspection intervals for PSEs must be established to reveal any damage identified in the threat assessment required by paragraph (d)(1)(iv) of this section that may occur from fatigue or other in-service causes before such damage has grown to the extent that the component cannot sustain the required residual strength capability. In establishing these inspection intervals, the following items must be considered:
(A) The growth rate, including no-growth, of the damage under the repeated loads expected in-service determined by tests or analysis supported by tests;
(B) The required residual strength for the assumed damage established after considering the damage type, inspection interval, detectability of damage, and the techniques adopted for damage detection. The minimum required residual strength is limit load; and
(C) Whether the inspection will detect the damage growth before the minimum residual strength is reached and restored to ultimate load capability, or whether the component will require replacement.
(3) Each applicant must consider the effects of damage on stiffness, dynamic behavior, loads, and functional performance on all PSEs when substantiating the maximum assumed damage size and inspection interval.
(e) Fatigue Evaluation: If an applicant establishes that the damage tolerance evaluation described in paragraph (d) of this section is impractical within the limits of geometry, inspectability, or good design practice, the applicant must do a fatigue evaluation of the particular composite rotorcraft structure and:
(1) Identify all PSEs considered in the fatigue evaluation;
(2) Identify the types of damage for all PSEs considered in the fatigue evaluation;
(3) Establish supplemental procedures to minimize the risk of catastrophic failure associated with the damages identified in paragraph (d) of this section; and
(4) Include these supplemental procedures in the Airworthiness Limitations section of the Instructions for Continued Airworthiness required by § 29.1529.
(a) The rotorcraft may have no design features or details that experience has shown to be hazardous or unreliable.
(b) The suitability of each questionable design detail and part must be established by tests.
(a) Critical part. A critical part is a part, the failure of which could have a catastrophic effect upon the rotocraft, and for which critical characterists have been identified which must be controlled to ensure the required level of integrity.
(b) If the type design includes critical parts, a critical parts list shall be established. Procedures shall be established to define the critical design characteristics, identify processes that affect those characteristics, and identify the design change and process change controls necessary for showing compliance with the quality assurance requirements of part 21 of this chapter.
The suitability and durability of materials used for parts, the failure of which could adversely affect safety, must—
(a) Be established on the basis of experience or tests;
(b) Meet approved specifications that ensure their having the strength and other properties assumed in the design data; and
(c) Take into account the effects of environmental conditions, such as temperature and humidity, expected in service.
(a) The methods of fabrication used must produce consistently sound structures. If a fabrication process (such as gluing, spot welding, or heat-treating) requires close control to reach this objective, the process must be performed according to an approved process specification.
(b) Each new aircraft fabrication method must be substantiated by a test program.
(a) Each removable bolt, screw, nut, pin, or other fastener whose loss could jeopardize the safe operation of the rotorcraft must incorporate two separate locking devices. The fastener and its locking devices may not be adversely affected by the environmental conditions associated with the particular installation.
(b) No self-locking nut may be used on any bolt subject to rotation in operation unless a nonfriction locking device is used in addition to the self-locking device.
Each part of the structure must—
(a) Be suitably protected against deterioration or loss of strength in service due to any cause, including—
(1) Weathering;
(2) Corrosion; and
(3) Abrasion; and
(b) Have provisions for ventilation and drainage where necessary to prevent the accumulation of corrosive, flammable, or noxious fluids.
(a) The rotorcraft structure must be protected against catastrophic effects from lightning.
(b) For metallic components, compliance with paragraph (a) of this section may be shown by—
(1) Electrically bonding the components properly to the airframe; or
(2) Designing the components so that a strike will not endanger the rotorcraft.
(c) For nonmetallic components, compliance with paragraph (a) of this section may be shown by—
(1) Designing the components to minimize the effect of a strike; or
(2) Incorporating acceptable means of diverting the resulting electrical current to not endanger the rotorcraft.
(d) The electric bonding and protection against lightning and static electricity must—
(1) Minimize the accumulation of electrostatic charge;
(2) Minimize the risk of electric shock to crew, passengers, and service and maintenance personnel using normal precautions;
(3) Provide and electrical return path, under both normal and fault conditions, on rotorcraft having grounded electrical systems; and
(4) Reduce to an acceptable level the effects of static electricity on the functioning of essential electrical and electronic equipment.
There must be means to allow close examination of each part that requires—
(a) Recurring inspection;
(b) Adjustment for proper alignment and functioning; or
(c) Lubrication.
(a) Material strength properties must be based on enough tests of material meeting specifications to establish design values on a statistical basis.
(b) Design values must be chosen to minimize the probability of structural failure due to material variability. Except as provided in paragraphs (d) and (e) of this section, compliance with this paragraph must be shown by selecting design values that assure material strength with the following probability—
(1) Where applied loads are eventually distributed through a single member within an assembly, the failure of which would result in loss of structural integrity of the component, 99 percent probability with 95 percent confidence; and
(2) For redundant structures, those in which the failure of individual elements would result in applied loads being safely distributed to other load-carrying members, 90 percent probability with 95 percent confidence.
(c) The strength, detail design, and fabrication of the structure must minimize the probability of disastrous fatigue failure, particularly at points of stress concentration.
(d) Design values may be those contained in the following publications (available from the Naval Publications and Forms Center, 5801 Tabor Avenue, Philadelphia, PA 19120) or other values approved by the Administrator:
(1) MIL—HDBK-5, “Metallic Materials and Elements for Flight Vehicle Structure”.
(2) MIL—HDBK-17, “Plastics for Flight Vehicles”.
(3) ANC-18, “Design of Wood Aircraft Structures”.
(4) MIL—HDBK-23, “Composite Construction for Flight Vehicles”.
(e) Other design values may be used if a selection of the material is made in which a specimen of each individual item is tested before use and it is determined that the actual strength properties of that particular item will equal or exceed those used in design.
(a) The special factors prescribed in §§ 29.621 through 29.625 apply to each part of the structure whose strength is—
(1) Uncertain;
(2) Likely to deteriorate in service before normal replacement; or
(3) Subject to appreciable variability due to—
(i) Uncertainties in manufacturing processes; or
(ii) Uncertainties in inspection methods.
(b) For each part of the rotorcraft to which §§ 29.621 through 29.625 apply, the factor of safety prescribed in § 29.303 must be multiplied by a special factor equal to—
(1) The applicable special factors prescribed in §§ 29.621 through 29.625; or
(2) Any other factor great enough to ensure that the probability of the part being understrength because of the uncertainties specified in paragraph (a) of this section is extremely remote.
(a) General. The factors, tests, and inspections specified in paragraphs (b) and (c) of this section must be applied in addition to those necessary to establish foundry quality control. The inspections must meet approved specifications. Paragraphs (c) and (d) of this section apply to structural castings except castings that are pressure tested as parts of hydraulic or other fluid systems and do not support structural loads.
(b) Bearing stresses and surfaces. The casting factors specified in paragraphs (c) and (d) of this section—
(1) Need not exceed 1.25 with respect to bearing stresses regardless of the method of inspection used; and
(2) Need not be used with respect to the bearing surfaces of a part whose bearing factor is larger than the applicable casting factor.
(c) Critical castings. For each casting whose failure would preclude continued safe flight and landing of the rotorcraft or result in serious injury to any occupant, the following apply:
(1) Each critical casting must—
(i) Have a casting factor of not less than 1.25; and
(ii) Receive 100 percent inspection by visual, radiographic, and magnetic particle (for ferromagnetic materials) or penetrant (for nonferromagnetic materials) inspection methods or approved equivalent inspection methods.
(2) For each critical casting with a casting factor less than 1.50, three sample castings must be static tested and shown to meet—
(i) The strength requirements of § 29.305 at an ultimate load corresponding to a casting factor of 1.25; and
(ii) The deformation requirements of § 29.305 at a load of 1.15 times the limit load.
(d) Noncritical castings. For each casting other than those specified in paragraph (c) of this section, the following apply:
(1) Except as provided in paragraphs (d)(2) and (3) of this section, the casting factors and corresponding inspections must meet the following table:
| Casting factor | Inspection |
|---|---|
| 2.0 or greater | 100 percent visual. |
| Less than 2.0, greater than 1.5 | 100 percent visual, and magnetic particle (ferromagnetic materials), penetrant (nonferromagnetic materials), or approved equivalent inspection methods. |
| 1.25 through 1.50 | 100 percent visual, and magnetic particle (ferromagnetic materials), penetrant (nonferromagnetic materials), and radiographic or approved equivalent inspection methods. |
(2) The percentage of castings inspected by nonvisual methods may be reduced below that specified in paragraph (d)(1) of this section when an approved quality control procedure is established.
(3) For castings procured to a specification that guarantees the mechanical properties of the material in the casting and provides for demonstration of these properties by test of coupons cut from the castings on a sampling basis—
(i) A casting factor of 1.0 may be used; and
(ii) The castings must be inspected as provided in paragraph (d)(1) of this section for casting factors of “1.25 through 1.50” and tested under paragraph (c)(2) of this section.
(a) Except as provided in paragraph (b) of this section, each part that has clearance (free fit), and that is subject to pounding or vibration, must have a bearing factor large enough to provide for the effects of normal relative motion.
(b) No bearing factor need be used on a part for which any larger special factor is prescribed.
For each fitting (part or terminal used to join one structural member to another) the following apply:
(a) For each fitting whose strength is not proven by limit and ultimate load tests in which actual stress conditions are simulated in the fitting and surrounding structures, a fitting factor of at least 1.15 must be applied to each part of—
(1) The fitting;
(2) The means of attachment; and
(3) The bearing on the joined members.
(b) No fitting factor need be used—
(1) For joints made under approved practices and based on comprehensive test data (such as continuous joints in metal plating, welded joints, and scarf joints in wood); and
(2) With respect to any bearing surface for which a larger special factor is used.
(c) For each integral fitting, the part must be treated as a fitting up to the point at which the section properties become typical of the member.
(d) Each seat, berth, litter, safety belt, and harness attachment to the structure must be shown by analysis, tests, or both, to be able to withstand the inertia forces prescribed in § 29.561(b)(3) multiplied by a fitting factor of 1.33.
Each aerodynamic surface of the rotorcraft must be free from flutter and divergence under each appropriate speed and power condition.
The rotorcraft must be designed to ensure capability of continued safe flight and landing (for Category A) or safe landing (for Category B) after impact with a 2.2-lb (1.0 kg) bird when the velocity of the rotorcraft (relative to the bird along the flight path of the rotorcraft) is equal to V
(a) For each rotor blade—
(1) There must be means for venting the internal pressure of the blade;
(2) Drainage holes must be provided for the blade; and
(3) The blade must be designed to prevent water from becoming trapped in it.
(b) Paragraphs (a)(1) and (2) of this section does not apply to sealed rotor blades capable of withstanding the maximum pressure differentials expected in service.
(a) The rotor and blades must be mass balanced as necessary to—
(1) Prevent excessive vibration; and
(2) Prevent flutter at any speed up to the maximum forward speed.
(b) The structural integrity of the mass balance installation must be substantiated.
There must be enough clearance between the rotor blades and other parts of the structure to prevent the blades from striking any part of the structure during any operating condition.
(a) The reliability of the means for preventing ground resonance must be shown either by analysis and tests, or reliable service experience, or by showing through analysis or tests that malfunction or failure of a single means will not cause ground resonance.
(b) The probable range of variations, during service, of the damping action of the ground resonance prevention means must be established and must be investigated during the test required by § 29.241.
(a) Each control and control system must operate with the ease, smoothness, and positiveness appropriate to its function.
(b) Each element of each flight control system must be designed, or distinctively and permanently marked, to minimize the probability of any incorrect assembly that could result in the malfunction of the system.
(c) A means must be provided to allow full control movement of all primary flight controls prior to flight, or a means must be provided that will allow the pilot to determine that full control authority is available prior to flight.
If the functioning of stability augmentation or other automatic or power-operated system is necessary to show compliance with the flight characteristics requirements of this part, the system must comply with § 29.671 of this part and the following:
(a) A warning which is clearly distinguishable to the pilot under expected flight conditions without requiring the pilot's attention must be provided for any failure in the stability augmentation system or in any other automatic or power-operated system which could result in an unsafe condition if the pilot is unaware of the failure. Warning systems must not activate the control systems.
(b) The design of the stability augmentation system or of any other automatic or power-operated system must allow initial counteraction of failures without requiring exceptional pilot skill or strength, by overriding the failure by moving the flight controls in the normal sense, and by deactivating the failed system.
(c) It must be show that after any single failure of the stability augmentation system or any other automatic or power-operated system—
(1) The rotorcraft is safely controllable when the failure or malfunction occurs at any speed or altitude within the approved operating limitations;
(2) The controllability and maneuverability requirements of this part are met within a practical operational flight envelope (for example, speed, altitude, normal acceleration, and rotorcraft configurations) which is described in the Rotorcraft Flight Manual; and
(3) The trim and stability characteristics are not impaired below a level needed to allow continued safe flight and landing.
Primary flight controls are those used by the pilot for immediate control of pitch, roll, yaw, and vertical motion of the rotorcraft.
Each primary flight control system must provide for safe flight and landing and operate independently after a malfunction, failure, or jam of any auxiliary interconnected control.
(a) Each control system must have stops that positively limit the range of motionof the pilot's controls.
(b) Each stop must be located in the system so that the range of travel of its control is not appreciably affected by—
(1) Wear;
(2) Slackness; or
(3) Takeup adjustments.
(c) Each stop must be able to withstand the loads corresponding to the design conditions for the system.
(d) For each main rotor blade—
(1) Stops that are appropriate to the blade design must be provided to limit travel of the blade about its hinge points; and
(2) There must be means to keep the blade from hitting the droop stops during any operation other than starting and stopping the rotor.
If there is a device to lock the control system with the rotorcraft on the ground or water, there must be means to—
(a) Automatically disengage the lock when the pilot operates the controls in a normal manner, or limit the operation of the rotorcraft so as to give unmistakable warning to the pilot before takeoff; and
(b) Prevent the lock from engaging in flight.
(a) Compliance with the limit load requirements of this part must be shown by tests in which—
(1) The direction of the test loads produces the most severe loading in the control system; and
(2) Each fitting, pulley, and bracket used in attaching the system to the main structure is included;
(b) Compliance must be shown (by analyses or individual load tests) with the special factor requirements for control system joints subject to angular motion.
It must be shown by operation tests that, when the controls are operated from the pilot compartment with the control system loaded to correspond with loads specified for the system, the system is free from—
(a) Jamming;
(b) Excessive friction; and
(c) Excessive deflection.
(a) Each detail of each control system must be designed to prevent jamming, chafing, and interference from cargo, passengers, loose objects, or the freezing of moisture.
(b) There must be means in the cockpit to prevent the entry of foreign objects into places where they would jam the system.
(c) There must be means to prevent the slapping of cables or tubes against other parts.
(d) Cable systems must be designed as follows:
(1) Cables, cable fittings, turnbuckles, splices, and pulleys must be of an acceptable kind.
(2) The design of cable systems must prevent any hazardous change in cable tension throughout the range of travel under any operating conditions and temperature variations.
(3) No cable smaller than
(4) Pulley kinds and sizes must correspond to the cables with which they are used. The pulley-cable combinations and strength values specified in MIL-HDBK-5 must be used unless they are inapplicable.
(5) Pulleys must have close fitting guards to prevent the cables from being displaced or fouled.
(6) Pulleys must lie close enough to the plane passing through the cable to prevent the cable from rubbing against the pulley flange.
(7) No fairlead may cause a change in cable direction of more than three degrees.
(8) No clevis pin subject to load or motion and retained only by cotter pins may be used in the control system.
(9) Turnbuckles attached to parts having angular motion must be installed to prevent binding throughout the range of travel.
(10) There must be means for visual inspection at each fairlead, pulley, terminal, and turnbuckle.
(e) Control system joints subject to angular motion must incorporate the following special factors with respect to the ultimate bearing strength of the softest material used as a bearing:
(1) 3.33 for push-pull systems other than ball and roller bearing systems.
(2) 2.0 for cable systems.
(f) For control system joints, the manufacturer's static, non-Brinell rating of ball and roller bearings may not be exceeded.
(a) Each control system spring device whose failure could cause flutter or other unsafe characteristics must be reliable.
(b) Compliance with paragraph (a) of this section must be shown by tests simulating service conditions.
Each main rotor blade pitch control mechanism must allow rapid entry into autorotation after power failure.
(a) If a power boost or power-operated control system is used, an alternate system must be immediately available that allows continued safe flight and landing in the event of—
(1) Any single failure in the power portion of the system; or
(2) The failure of all engines.
(b) Each alternate system may be a duplicate power portion or a manually operated mechanical system. The power portion includes the power source (such as hydrualic pumps), and such items as valves, lines, and actuators.
(c) The failure of mechanical parts (such as piston rods and links), and the jamming of power cylinders, must be considered unless they are extremely improbable.
The landing inertia load factor and the reserve energy absorption capacity of the landing gear must be substantiated by the tests prescribed in §§ 29.725 and 29.727, respectively. These tests must be conducted on the complete rotorcraft or on units consisting of wheel, tire, and shock absorber in their proper relation.
The limit drop test must be conducted as follows:
(a) The drop height must be at least 8 inches.
(b) If considered, the rotor lift specified in § 29.473(a) must be introduced into the drop test by appropriate energy absorbing devices or by the use of an effective mass.
(c) Each landing gear unit must be tested in the attitude simulating the landing condition that is most critical from the standpoint of the energy to be absorbed by it.
(d) When an effective mass is used in showing compliance with paragraph (b) of this section, the following formulae may be used instead of more rational computations.
(1) The static weight on the tailwheel with the rotorcraft resting on all wheels; or
(2) The vertical component of the ground reaction that would occur at the tailwheel assuming that the mass of the rotorcraft acts at the center of gravity and exerts a force of 1g downward with the rotorcraft in the maximum nose-up attitude considered in the nose-up landing conditions.
The reserve energy absorption drop test must be conducted as follows:
(a) The drop height must be 1.5 times that specified in § 29.725(a).
(b) Rotor lift, where considered in a manner similar to that prescribed in § 29.725(b), may not exceed 1.5 times the lift allowed under that paragraph.
(c) The landing gear must withstand this test without collapsing. Collapse of the landing gear occurs when a member of the nose, tail, or main gear will not support the rotorcraft in the proper attitude or allows the rotorcraft structure, other than landing gear and external accessories, to impact the landing surface.
For rotorcraft with retractable landing gear, the following apply:
(a) Loads. The landing gear, retracting mechanism, wheel well doors, and supporting structure must be designed for—
(1) The loads occurring in any maneuvering condition with the gear retracted;
(2) The combined friction, inertia, and air loads occurring during retraction and extension at any airspeed up to the design maximum landing gear operating speed; and
(3) The flight loads, including those in yawed flight, occurring with the gear extended at any airspeed up to the design maximum landing gear extended speed.
(b) Landing gear lock. A positive means must be provided to keep the gear extended.
(c) Emergency operation. When other than manual power is used to operate the gear, emergency means must be provided for extending the gear in the event of—
(1) Any reasonably probable failure in the normal retraction system; or
(2) The failure of any single source of hydraulic, electric, or equivalent energy.
(d) Operation tests. The proper functioning of the retracting mechanism must be shown by operation tests.
(e) Position indicator. There must be means to indicate to the pilot when the gear is secured in the extreme positions.
(f) Control. The location and operation of the retraction control must meet the requirements of §§ 29.777 and 29.779.
(g) Landing gear warning. An aural or equally effective landing gear warning device must be provided that functions continuously when the rotorcraft is in a normal landing mode and the landing gear is not fully extended and locked. A manual shutoff capability must be provided for the warning device and the warning system must automatically reset when the rotorcraft is no longer in the landing mode.
(a) Each landing gear wheel must be approved.
(b) The maximum static load rating of each wheel may not be less than the corresponding static ground reaction with—
(1) Maximum weight; and
(2) Critical center of gravity.
(c) The maximum limit load rating of each wheel must equal or exceed the maximum radial limit load determined under the applicable ground load requirements of this part.
Each landing gear wheel must have a tire—
(a) That is a proper fit on the rim of the wheel; and
(b) Of a rating that is not exceeded under—
(1) The design maximum weight;
(2) A load on each main wheel tire equal to the static ground reaction corresponding to the critical center of gravity; and
(3) A load on nose wheel tires (to be compared with the dynamic rating established for those tires) equal to the reaction obtained at the nose wheel, assuming that the mass of the rotorcraft acts as the most critical center of gravity and exerts a force of 1.0 g downward and 0.25 g forward, the reactions being distributed to the nose and main wheels according to the principles of statics with the drag reaction at the ground applied only at wheels with brakes.
(c) Each tire installed on a retractable landing gear system must, at the maximum size of the tire type expected in service, have a clearance to surrounding structure and systems that is adequate to prevent contact between the tire and any part of the structure or systems.
For rotorcraft with wheel-type landing gear, a braking device must be installed that is—
(a) Controllable by the pilot;
(b) Usable during power-off landings; and
(c) Adequate to—
(1) Counteract any normal unbalanced torque when starting or stopping the rotor; and
(2) Hold the rotorcraft parked on a 10-degree slope on a dry, smooth pavement.
(a) The maximum limit load rating of each ski must equal or exceed the maximum limit load determined under the applicable ground load requirements of this part.
(b) There must be a stabilizing means to maintain the ski in an appropriate position during flight. This means must have enough strength to withstand the maximum aerodynamic and inertia loads on the ski.
(a) For main floats, the buoyancy necessary to support the maximum weight of the rotorcraft in fresh water must be exceeded by—
(1) 50 percent, for single floats; and
(2) 60 percent, for multiple floats.
(b) Each main float must have enough water-tight compartments so that, with any single main float compartment flooded, the mainfloats will provide a margin of positive stability great enough to minimize the probability of capsizing.
(a) Bag floats. Each bag float must be designed to withstand—
(1) The maximum pressure differential that might be developed at the maximum altitude for which certification with that float is requested; and
(2) The vertical loads prescribed in § 29.521(a), distributed along the length of the bag over three-quarters of its projected area.
(b) Rigid floats. Each rigid float must be able to withstand the vertical, horizontal, and side loads prescribed in § 29.521. An appropriate load distribution under critical conditions must be used.
Water-based and amphibian rotorcraft. The hull and auxiliary floats, if used, must have enough watertight compartments so that, with any single compartment of the hull or auxiliary floats flooded, the buoyancy of the hull and auxiliary floats, and wheel tires if used, provides a margin of positive water stability great enough to minimize the probability of capsizing the rotorcraft for the worst combination of wave heights and surface winds for which approval is desired.
The hull, and auxiliary floats if used, must withstand the water loads prescribed by § 29.519 with a rational and conservative distribution of local and distributed water pressures over the hull and float bottom.
For each pilot compartment—
(a) The compartment and its equipment must allow each pilot to perform his duties without unreasonable concentration or fatigue;
(b) If there is provision for a second pilot, the rotorcraft must be controllable with equal safety from either pilot position. Flight and powerplant controls must be designed to prevent confusion or inadvertent operation when the rotorcraft is piloted from either position;
(c) The vibration and noise characteristics of cockpit appurtenances may not interfere with safe operation;
(d) Inflight leakage of rain or snow that could distract the crew or harm the structure must be prevented.
(a) Nonprecipitation conditions. For nonprecipitation conditions, the following apply:
(1) Each pilot compartment must be arranged to give the pilots a sufficiently extensive, clear, and undistorted view for safe operation.
(2) Each pilot compartment must be free of glare and reflection that could interfere with the pilot's view. If certification for night operation is requested, this must be shown by ground or night flight tests.
(b) Precipitation conditions. For precipitation conditions, the following apply:
(1) Each pilot must have a sufficiently extensive view for safe operation—
(i) In heavy rain at forward speeds up to V
(ii) In the most severe icing condition for which certification is requested.
(2) The first pilot must have a window that—
(i) Is openable under the conditions prescribed in paragraph (b)(1) of this section; and
(ii) Provides the view prescribed in that paragraph.
(c) Vision systems with transparent displays. A vision system with a transparent display surface located in the pilot's outside field of view, such as a head up-display, head mounted display, or other equivalent display, must meet the following requirements in nonprecipitation and precipitation conditions:
(1) While the vision system display is in operation, it must compensate for interference with the pilot's outside field of view such that the combination of what is visible in the display and what remains visible through and around it, allows the pilot compartment to satisfy the requirements of paragraphs (a) and (b) of this section.
(2) The pilot's view of the external scene may not be distorted by the transparent display surface or by the vision system imagery. When the vision system displays imagery or any symbology that is referenced to the imagery and outside scene topography, including attitude symbology, flight path vector, and flight path angle reference cue, that imagery and symbology must be aligned with, and scaled to, the external scene.
(3) The vision system must provide a means to allow the pilot using the display to immediately deactivate and reactivate the vision system imagery, on demand, without removing the pilot's hands from the primary flight and power controls, or their equivalent.
(4) When the vision system is not in operation it must permit the pilot compartment to satisfy the requirements of paragraphs (a) and (b) of this section.
Windshields and windows must be made of material that will not break into dangerous fragments.
Cockpit controls must be—
(a) Located to provide convenient operation and to prevent confusion and inadvertent operation; and
(b) Located and arranged with respect to the pilot's seats so that there is full and unrestricted movement of each control without interference from the cockpit structure or the pilot's clothing when pilots from 5′2″ to 6′0″ in height are seated.
Cockpit controls must be designed so that they operate in accordance with the following movements and actuation:
(a) Flight controls, including the collective pitch control, must operate with a sense of motion which corresponds to the effect on the rotorcraft.
(b) Twist-grip engine power controls must be designed so that, for lefthand operation, the motion of the pilot's hand is clockwise to increase power when the hand is viewed from the edge containing the index finger. Other engine power controls, excluding the collective control, must operate with a forward motion to increase power.
(c) Normal landing gear controls must operate downward to extend the landing gear.
(a) Each closed cabin must have at least one adequate and easily accessible external door.
(b) Each external door must be located, and appropriate operating procedures must be established, to ensure that persons using the door will not be endangered by the rotors, propellers, engine intakes, and exhausts when the operating procedures are used.
(c) There must be means for locking crew and external passenger doors and for preventing their opening in flight inadvertently or as a result of mechanical failure. It must be possible to open external doors from inside and outside the cabin with the rotorcraft on the ground even though persons may be crowded against the door on the inside of the rotorcraft. The means of opening must be simple and obvious and so arranged and marked that it can be readily located and operated.
(d) There must be reasonable provisions to prevent the jamming of any external doors in a minor crash as a result of fuselage deformation under the following ultimate inertial forces except for cargo or service doors not suitable for use as an exit in an emergency:
(1) Upward—1.5g.
(2) Forward—4.0g.
(3) Sideward—2.0g.
(4) Downward—4.0g.
(e) There must be means for direct visual inspection of the locking mechanism by crewmembers to determine whether the external doors (including passenger, crew, service, and cargo doors) are fully locked. There must be visual means to signal to appropriate crewmembers when normally used external doors are closed and fully locked.
(f) For outward opening external doors usable for entrance or egress, there must be an auxiliary safety latching device to prevent the door from opening when the primary latching mechanism fails. If the door does not meet the requirements of paragraph (c) of this section with this device in place, suitable operating procedures must be established to prevent the use of the device during takeoff and landing.
(g) If an integral stair is installed in a passenger entry door that is qualified as a passenger emergency exit, the stair must be designed so that under the following conditions the effectiveness of passenger emergency egress will not be impaired:
(1) The door, integral stair, and operating mechanism have been subjected to the inertial forces specified in paragraph (d) of this section, acting separately relative to the surrounding structure.
(2) The rotorcraft is in the normal ground attitude and in each of the attitudes corresponding to collapse of one or more legs, or primary members, as applicable, of the landing gear.
(h) Nonjettisonable doors used as ditching emergency exits must have means to enable them to be secured in the open position and remain secure for emergency egress in sea state conditions prescribed for ditching.
(a) Each seat, safety belt, harness, and adjacent part of the rotorcraft at each station designated for occupancy during takeoff and landing must be free of potentially injurious objects, sharp edges, protuberances, and hard surfaces and must be designed so that a person making proper use of these facilities will not suffer serious injury in an emergency landing as a result of the inertial factors specified in § 29.561(b) and dynamic conditions specified in § 29.562.
(b) Each occupant must be protected from serious head injury by a safety belt plus a shoulder harness that will prevent the head from contacting any injurious object, except as provided for in § 29.562(c)(5). A shoulder harness (upper torso restraint), in combination with the safety belt, constitutes a torso restraint system as described in TSO-C114.
(c) Each occupant's seat must have a combined safety belt and shoulder harness with a single-point release. Each pilot's combined safety belt and shoulder harness must allow each pilot when seated with safety belt and shoulder harness fastened to perform all functions necessary for flight operations. There must be a means to secure belt and harness when not in use to prevent interference with the operation of the rotorcraft and with rapid egress in an emergency.
(d) If seat backs do not have a firm handhold, there must be hand grips or rails along each aisle to let the occupants steady themselves while using the aisle in moderately rough air.
(e) Each projecting object that would injure persons seated or moving about in the rotorcraft in normal flight must be padded.
(f) Each seat and its supporting structure must be designed for an occupant weight of at least 170 pounds, considering the maximum load factors, inertial forces, and reactions between the occupant, seat, and safety belt or harness corresponding with the applicable flight and ground-load conditions, including the emergency landing conditions of § 29.561(b). In addition—
(1) Each pilot seat must be designed for the reactions resulting from the application of the pilot forces prescribed in § 29.397; and
(2) The inertial forces prescribed in § 29.561(b) must be multiplied by a factor of 1.33 in determining the strength of the attachment of—
(i) Each seat to the structure; and
(ii) Each safety belt or harness to the seat or structure.
(g) When the safety belt and shoulder harness are combined, the rated strength of the safety belt and shoulder harness may not be less than that corresponding to the inertial forces specified in § 29.561(b), considering the occupant weight of at least 170 pounds, considering the dimensional characteristics of the restraint system installation, and using a distribution of at least a 60-percent load to the safety belt and at least a 40-percent load to the shoulder harness. If the safety belt is capable of being used without the shoulder harness, the inertial forces specified must be met by the safety belt alone.
(h) When a headrest is used, the headrest and its supporting structure must be designed to resist the inertia forces specified in § 29.561, with a 1.33 fitting factor and a head weight of at least 13 pounds.
(i) Each seating device system includes the device such as the seat, the cushions, the occupant restraint system and attachment devices.
(j) Each seating device system may use design features such as crushing or separation of certain parts of the seat in the design to reduce occupant loads for the emergency landing dynamic conditions of § 29.562; otherwise, the system must remain intact and must not interfere with rapid evacuation of the rotorcraft.
(k) For purposes of this section, a litter is defined as a device designed to carry a nonambulatory person, primarily in a recumbent position, into and on the rotorcraft. Each berth or litter must be designed to withstand the load reaction of an occupant weight of at least 170 pounds when the occupant is subjected to the forward inertial factors specified in § 29.561(b). A berth or litter installed within 15° or less of the longitudinal axis of the rotorcraft must be provided with a padded end-board, cloth diaphragm, or equivalent means that can withstand the forward load reaction. A berth or litter oriented greater than 15° with the longitudinal axis of the rotorcraft must be equipped with appropriate restraints, such as straps or safety belts, to withstand the forward reaction. In addition—
(1) The berth or litter must have a restraint system and must not have corners or other protuberances likely to cause serious injury to a person occupying it during emergency landing conditions; and
(2) The berth or litter attachment and the occupant restraint system attachments to the structure must be designed to withstand the critical loads resulting from flight and ground load conditions and from the conditions prescribed in § 29.561(b). The fitting factor required by § 29.625(d) shall be applied.
(a) Each cargo and baggage compartment must be designed for its placarded maximum weight of contents and for the critical load distributions at the appropriate maximum load factors corresponding to the specified flight and ground load conditions, except the emergency landing conditions of § 29.561.
(b) There must be means to prevent the contents of any compartment from becoming a hazard by shifting under the loads specified in paragraph (a) of this section.
(c) Under the emergency landing conditions of § 29.561, cargo and baggage compartments must—
(1) Be positioned so that if the contents break loose they are unlikely to cause injury to the occupants or restrict any of the escape facilities provided for use after an emergency landing; or
(2) Have sufficient strength to withstand the conditions specified in § 29.561, including the means of restraint and their attachments required by paragraph (b) of this section. Sufficient strength must be provided for the maximum authorized weight of cargo and baggage at the critical loading distribution.
(d) If cargo compartment lamps are installed, each lamp must be installed so as to prevent contact between lamp bulb and cargo.
(a) If certification with ditching provisions is requested, the rotorcraft must meet the requirements of this section and §§ 29.807(d), 29.1411 and 29.1415.
(b) Each practicable design measure, compatible with the general characteristics of the rotorcraft, must be taken to minimize the probability that in an emergency landing on water, the behavior of the rotorcraft would cause immediate injury to the occupants or would make it impossible for them to escape.
(c) The probable behavior of the rotorcraft in a water landing must be investigated by model tests or by comparison with rotorcraft of similar configuration for which the ditching characteristics are known. Scoops, flaps, projections, and any other factors likely to affect the hydrodynamic characteristics of the rotorcraft must be considered.
(d) It must be shown that, under reasonably probable water conditions, the flotation time and trim of the rotorcraft will allow the occupants to leave the rotorcraft and enter the liferafts required by § 29.1415. If compliance with this provision is shown by bouyancy and trim computations, appropriate allowances must be made for probable structural damage and leakage. If the rotorcraft has fuel tanks (with fuel jettisoning provisions) that can reasonably be expected to withstand a ditching without leakage, the jettisonable volume of fuel may be considered as bouyancy volume.
(e) Unless the effects of the collapse of external doors and windows are accounted for in the investigation of the probable behavior of the rotorcraft in a water landing (as prescribed in paragraphs (c) and (d) of this section), the external doors and windows must be designed to withstand the probable maximum local pressures.
(a) Each crew and passenger area must have means for rapid evacuation in a crash landing, with the landing gear (1) extended and (2) retracted, considering the possibility of fire.
(b) Passenger entrance, crew, and service doors may be considered as emergency exits if they meet the requirements of this section and of §§ 29.805 through 29.815.
(c) [Reserved]
(d) Except as provided in paragraph (e) of this section, the following categories of rotorcraft must be tested in accordance with the requirements of appendix D of this part to demonstrate that the maximum seating capacity, including the crewmembers required by the operating rules, can be evacuated from the rotorcraft to the ground within 90 seconds:
(1) Rotorcraft with a seating capacity of more than 44 passengers.
(2) Rotorcraft with all of the following:
(i) Ten or more passengers per passenger exit as determined under § 29.807(b).
(ii) No main aisle, as described in § 29.815, for each row of passenger seats.
(iii) Access to each passenger exit for each passenger by virtue of design features of seats, such as folding or break-over seat backs or folding seats.
(e) A combination of analysis and tests may be used to show that the rotorcraft is capable of being evacuated within 90 seconds under the conditions specified in § 29.803(d) if the Administrator finds that the combination of analysis and tests will provide data, with respect to the emergency evacuation capability of the rotorcraft, equivalent to that which would be obtained by actual demonstration.
(a) For rotorcraft with passenger emergency exits that are not convenient to the flight crew, there must be flight crew emergency exits, on both sides of the rotorcraft or as a top hatch, in the flight crew area.
(b) Each flight crew emergency exit must be of sufficient size and must be located so as to allow rapid evacuation of the flight crew. This must be shown by test.
(c) Each exit must not be obstructed by water or flotation devices after a ditching. This must be shown by test, demonstration, or analysis.
(a) Type. For the purpose of this part, the types of passenger emergency exit are as follows:
(1) Type I. This type must have a rectangular opening of not less than 24 inches wide by 48 inches high, with corner radii not greater than one-third the width of the exit, in the passenger area in the side of the fuselage at floor level and as far away as practicable from areas that might become potential fire hazards in a crash.
(2) Type II. This type is the same as Type I, except that the opening must be at least 20 inches wide by 44 inches high.
(3) Type III. This type is the same as Type I, except that—
(i) The opening must be at least 20 inches wide by 36 inches high; and
(ii) The exits need not be at floor level.
(4) Type IV. This type must have a rectangular opening of not less than 19 inches wide by 26 inches high, with corner radii not greater than one-third the width of the exit, in the side of the fuselage with a step-up inside the rotorcraft of not more than 29 inches.
(b) Passenger emergency exits; side-of-fuselage. Emergency exits must be accessible to the passengers and, except as provided in paragraph (d) of this section, must be provided in accordance with the following table:
| Passenger seating capacity | Emergency exits for each
side of the fuselage | |||
|---|---|---|---|---|
| Type I | Type II | Type III | Type IV | |
| 1 through 10 | 1 | |||
| 11 through 19 | 1 or | 2 | ||
| 20 through 39 | 1 | 1 | ||
| 40 through 59 | 1 | 1 | ||
| 60 through 79 | 1 | 1 or | 2 | |
(c) Passenger emergency exits; other than side-of-fuselage. In addition to the requirements of paragraph (b) of this section—
(1) There must be enough openings in the top, bottom, or ends of the fuselage to allow evacuation with the rotorcraft on its side; or
(2) The probability of the rotorcraft coming to rest on its side in a crash landing must be extremely remote.
(d) Ditching emergency exits for passengers. If certification with ditching provisions is requested, ditching emergency exits must be provided in accordance with the following requirements and must be proven by test, demonstration, or analysis unless the emergency exits required by paragraph (b) of this section already meet these requirements.
(1) For rotorcraft that have a passenger seating configuration, excluding pilots seats, of nine seats or less, one exit above the waterline in each side of the rotorcraft, meeting at least the dimensions of a Type IV exit.
(2) For rotorcraft that have a passenger seating configuration, excluding pilots seats, of 10 seats or more, one exit above the waterline in a side of the rotorcraft meeting at least the dimensions of a Type III exit, for each unit (or part of a unit) of 35 passenger seats, but no less than two such exits in the passenger cabin, with one on each side of the rotorcraft. However, where it has been shown through analysis, ditching demonstrations, or any other tests found necessary by the Administrator, that the evacuation capability of the rotorcraft during ditching is improved by the use of larger exits, or by other means, the passenger seat to exit ratio may be increased.
(3) Flotation devices, whether stowed or deployed, may not interfere with or obstruct the exits.
(e) Ramp exits. One Type I exit only, or one Type II exit only, that is required in the side of the fuselage under paragraph (b) of this section, may be installed instead in the ramp of floor ramp rotorcraft if—
(1) Its installation in the side of the fuselage is impractical; and
(2) Its installation in the ramp meets § 29.813.
(f) Tests. The proper functioning of each emergency exit must be shown by test.
(a) Each emergency exit must consist of a movable door or hatch in the external walls of the fuselage and must provide an unobstructed opening to the outside.
(b) Each emergency exit must be openable from the inside and from the outside.
(c) The means of opening each emergency exit must be simple and obvious and may not require exceptional effort.
(d) There must be means for locking each emergency exit and for preventing opening in flight inadvertently or as a result of mechanical failure.
(e) There must be means to minimize the probability of the jamming of any emergency exit in a minor crash landing as a result of fuselage deformation under the ultimate inertial forces in § 29.783(d).
(f) Except as provided in paragraph (h) of this section, each land-based rotorcraft emergency exit must have an approved slide as stated in paragraph (g) of this section, or its equivalent, to assist occupants in descending to the ground from each floor level exit and an approved rope, or its equivalent, for all other exits, if the exit threshold is more that 6 feet above the ground—
(1) With the rotorcraft on the ground and with the landing gear extended;
(2) With one or more legs or part of the landing gear collapsed, broken, or not extended; and
(3) With the rotorcraft resting on its side, if required by § 29.803(d).
(g) The slide for each passenger emergency exit must be a self-supporting slide or equivalent, and must be designed to meet the following requirements:
(1) It must be automatically deployed, and deployment must begin during the interval between the time the exit opening means is actuated from inside the rotorcraft and the time the exit is fully opened. However, each passenger emergency exit which is also a passenger entrance door or a service door must be provided with means to prevent deployment of the slide when the exit is opened from either the inside or the outside under nonemergency conditions for normal use.
(2) It must be automatically erected within 10 seconds after deployment is begun.
(3) It must be of such length after full deployment that the lower end is self-supporting on the ground and provides safe evacuation of occupants to the ground after collapse of one or more legs or part of the landing gear.
(4) It must have the capability, in 25-knot winds directed from the most critical angle, to deploy and, with the assistance of only one person, to remain usable after full deployment to evacuate occupants safely to the ground.
(5) Each slide installation must be qualified by five consecutive deployment and inflation tests conducted (per exit) without failure, and at least three tests of each such five-test series must be conducted using a single representative sample of the device. The sample devices must be deployed and inflated by the system's primary means after being subjected to the inertia forces specified in § 29.561(b). If any part of the system fails or does not function properly during the required tests, the cause of the failure or malfunction must be corrected by positive means and after that, the full series of five consecutive deployment and inflation tests must be conducted without failure.
(h) For rotorcraft having 30 or fewer passenger seats and having an exit threshold more than 6 feet above the ground, a rope or other assist means may be used in place of the slide specified in paragraph (f) of this section, provided an evacuation demonstration is accomplished as prescribed in § 29.803(d) or (e).
(i) If a rope, with its attachment, is used for compliance with paragraph (f), (g), or (h) of this section, it must—
(1) Withstand a 400-pound static load; and
(2) Attach to the fuselage structure at or above the top of the emergency exit opening, or at another approved location if the stowed rope would reduce the pilot's view in flight.
(a) Each passenger emergency exit, its means of access, and its means of opening must be conspicuously marked for the guidance of occupants using the exits in daylight or in the dark. Such markings must be designed to remain visible for rotorcraft equipped for overwater flights if the rotorcraft is capsized and the cabin is submerged.
(b) The identity and location of each passenger emergency exit must be recognizable from a distance equal to the width of the cabin.
(c) The location of each passenger emergency exit must be indicated by a sign visible to occupants approaching along the main passenger aisle. There must be a locating sign—
(1) Next to or above the aisle near each floor emergency exit, except that one sign may serve two exits if both exists can be seen readily from that sign; and
(2) On each bulkhead or divider that prevents fore and aft vision along the passenger cabin, to indicate emergency exits beyond and obscured by it, except that if this is not possible the sign may be placed at another appropriate location.
(d) Each passenger emergency exit marking and each locating sign must have white letters 1 inch high on a red background 2 inches high, be self or electrically illuminated, and have a minimum luminescence (brightness) of at least 160 microlamberts. The colors may be reversed if this will increase the emergency illumination of the passenger compartment.
(e) The location of each passenger emergency exit operating handle and instructions for opening must be shown—
(1) For each emergency exit, by a marking on or near the exit that is readable from a distance of 30 inches; and
(2) For each Type I or Type II emergency exit with a locking mechanism released by rotary motion of the handle, by—
(i) A red arrow, with a shaft at least three-fourths inch wide and a head twice the width of the shaft, extending along at least 70 degrees of arc at a radius approximately equal to three-fourths of the handle length; and
(ii) The word “open” in red letters 1 inch high, placed horizontally near the head of the arrow.
(f) Each emergency exit, and its means of opening, must be marked on the outside of the rotorcraft. In addition, the following apply:
(1) There must be a 2-inch colored band outlining each passenger emergency exit, except small rotorcraft with a maximum weight of 12,500 pounds or less may have a 2-inch colored band outlining each exit release lever or device of passenger emergency exits which are normally used doors.
(2) Each outside marking, including the band, must have color contrast to be readily distinguishable from the surrounding fuselage surface. The contrast must be such that, if the reflectance of the darker color is 15 percent or less, the reflectance of the lighter color must be at least 45 percent. “Reflectance” is the ratio of the luminous flux reflected by a body to the luminous flux it receives. When the reflectance of the darker color is greater than 15 percent, at least a 30 percent difference between its reflectance and the reflectance of the lighter color must be provided.
(g) Exits marked as such, though in excess of the required number of exits, must meet the requirements for emergency exits of the particular type. Emergency exits need only be marked with the word “Exit.”
For transport Category A rotorcraft, the following apply:
(a) A source of light with its power supply independent of the main lighting system must be installed to—
(1) Illuminate each passenger emergency exit marking and locating sign; and
(2) Provide enough general lighting in the passenger cabin so that the average illumination, when measured at 40-inch intervals at seat armrest height on the center line of the main passenger aisle, is at least 0.05 foot-candle.
(b) Exterior emergency lighting must be provided at each emergency exit. The illumination may not be less than 0.05 foot-candle (measured normal to the direction of incident light) for minimum width on the ground surface, with landing gear extended, equal to the width of the emergency exit where an evacuee is likely to make first contact with the ground outside the cabin. The exterior emergency lighting may be provided by either interior or exterior sources with light intensity measurements made with the emergency exits open.
(c) Each light required by paragraph (a) or (b) of this section must be operable manually from the cockpit station and from a point in the passenger compartment that is readily accessible. The cockpit control device must have an “on,” “off,” and “armed” position so that when turned on at the cockpit or passenger compartment station or when armed at the cockpit station, the emergency lights will either illuminate or remain illuminated upon interruption of the rotorcraft's normal electric power.
(d) Any means required to assist the occupants in descending to the ground must be illuminated so that the erected assist means is visible from the rotorcraft.
(1) The assist means must be provided with an illumination of not less than 0.03 foot-candle (measured normal to the direction of the incident light) at the ground end of the erected assist means where an evacuee using the established escape route would normally make first contact with the ground, with the rotorcraft in each of the attitudes corresponding to the collapse of one or more legs of the landing gear.
(2) If the emergency lighting subsystem illuminating the assist means is independent of the rotorcraft's main emergency lighting system, it—
(i) Must automatically be activated when the assist means is erected;
(ii) Must provide the illumination required by paragraph (d)(1); and
(iii) May not be adversely affected by stowage.
(e) The energy supply to each emergency lighting unit must provide the required level of illumination for at least 10 minutes at the critical ambient conditions after an emergency landing.
(f) If storage batteries are used as the energy supply for the emergency lighting system, they may be recharged from the rotorcraft's main electrical power system provided the charging circuit is designed to preclude inadvertent battery discharge into charging circuit faults.
(a) Each passageway between passenger compartments, and each passageway leading to Type I and Type II emergency exits, must be—
(1) Unobstructed; and
(2) At least 20 inches wide.
(b) For each emergency exit covered by § 29.809(f), there must be enough space adjacent to that exit to allow a crewmember to assist in the evacuation of passengers without reducing the unobstructed width of the passageway below that required for that exit.
(c) There must be access from each aisle to each Type III and Type IV exit, and
(1) For rotorcraft that have a passenger seating configuration, excluding pilot seats, of 20 or more, the projected opening of the exit provided must not be obstructed by seats, berths, or other protrusions (including seatbacks in any position) for a distance from that exit of not less than the width of the narrowest passenger seat installed on the rotorcraft;
(2) For rotorcraft that have a passenger seating configuration, excluding pilot seats, of 19 or less, there may be minor obstructions in the region described in paragraph (c)(1) of this section, if there are compensating factors to maintain the effectiveness of the exit.
The main passenger aisle width between seats must equal or exceed the values in the following table:
| Passenger seating capacity | Minimum main passenger aisle width | |
|---|---|---|
| Less than 25 inches from floor (inches) | 25 Inches and more from floor (inches) | |
| 10 or less | 12 | 15 |
| 11 through 19 | 12 | 20 |
| 20 or more | 15 | 20 |
1 A narrower width not less than 9 inches may be approved when substantiated by tests found necessary by the Administrator.
(a) Each passenger and crew compartment must be ventilated, and each crew compartment must have enough fresh air (but not less than 10 cu. ft. per minute per crewmember) to let crewmembers perform their duties without undue discomfort or fatigue.
(b) Crew and passenger compartment air must be free from harmful or hazardous concentrations of gases or vapors.
(c) The concentration of carbon monoxide may not exceed one part in 20,000 parts of air during forward flight. If the concentration exceeds this value under other conditions, there must be suitable operating restrictions.
(d) There must be means to ensure compliance with paragraphs (b) and (c) of this section under any reasonably probable failure of any ventilating, heating, or other system or equipment.
Each combustion heater must be approved.
(a) Hand fire extinguishers. For hand fire extinguishers the following apply:
(1) Each hand fire extinguisher must be approved.
(2) The kinds and quantities of each extinguishing agent used must be appropriate to the kinds of fires likely to occur where that agent is used.
(3) Each extinguisher for use in a personnel compartment must be designed to minimize the hazard of toxic gas concentrations.
(b) Built-in fire extinguishers. If a built-in fire extinguishing system is required—
(1) The capacity of each system, in relation to the volume of the compartment where used and the ventilation rate, must be adequate for any fire likely to occur in that compartment.
(2) Each system must be installed so that—
(i) No extinguishing agent likely to enter personnel compartments will be present in a quantity that is hazardous to the occupants; and
(ii) No discharge of the extinguisher can cause structural damage.
For each compartment to be used by the crew or passengers—
(a) The materials (including finishes or decorative surfaces applied to the materials) must meet the following test criteria as applicable:
(1) Interior ceiling panels, interior wall panels, partitions, galley structure, large cabinet walls, structural flooring, and materials used in the construction of stowage compartments (other than underseat stowage compartments and compartments for stowing small items such as magazines and maps) must be self-extinguishing when tested vertically in accordance with the applicable portions of appendix F of Part 25 of this chapter, or other approved equivalent methods. The average burn length may not exceed 6 inches and the average flame time after removal of the flame source may not exceed 15 seconds. Drippings from the test specimen may not continue to flame for more than an average of 3 seconds after falling.
(2) Floor covering, textiles (including draperies and upholstery), seat cushions, padding, decorative and nondecorative coated fabrics, leather, trays and galley furnishings, electrical conduit, thermal and acoustical insulation and insulation covering, air ducting, joint and edge covering, cargo compartment liners, insulation blankets, cargo covers, and transparencies, molded and thermoformed parts, air ducting joints, and trim strips (decorative and chafing) that are constructed of materials not covered in paragraph (a)(3) of this section, must be self extinguishing when tested vertically in accordance with the applicable portion of appendix F of Part 25 of this chapter, or other approved equivalent methods. The average burn length may not exceed 8 inches and the average flame time after removal of the flame source may not exceed 15 seconds. Drippings from the test specimen may not continue to flame for more than an average of 5 seconds after falling.
(3) Acrylic windows and signs, parts constructed in whole or in part of elastometric materials, edge lighted instrument assemblies consisting of two or more instruments in a common housing, seat belts, shoulder harnesses, and cargo and baggage tiedown equipment, including containers, bins, pallets, etc., used in passenger or crew compartments, may not have an average burn rate greater than 2.5 inches per minute when tested horizontally in accordance with the applicable portions of appendix F of Part 25 of this chapter, or other approved equivalent methods.
(4) Except for electrical wire and cable insulation, and for small parts (such as knobs, handles, rollers, fasteners, clips, grommets, rub strips, pulleys, and small electrical parts) that the Administrator finds would not contribute significantly to the propagation of a fire, materials in items not specified in paragraphs (a)(1), (a)(2), or (a)(3) of this section may not have a burn rate greater than 4 inches per minute when tested horizontally in accordance with the applicable portions of appendix F of Part 25 of this chapter, or other approved equivalent methods.
(b) In addition to meeting the requirements of paragraph (a)(2), seat cushions, except those on flight crewmember seats, must meet the test requirements of Part II of appendix F of Part 25 of this chapter, or equivalent.
(c) If smoking is to be prohibited, there must be a placard so stating, and if smoking is to be allowed—
(1) There must be an adequate number of self-contained, removable ashtrays; and
(2) Where the crew compartment is separated from the passenger compartment, there must be at least one illuminated sign (using either letters or symbols) notifying all passengers when smoking is prohibited. Signs which notify when smoking is prohibited must—
(i) When illuminated, be legible to each passenger seated in the passenger cabin under all probable lighting conditions; and
(ii) Be so constructed that the crew can turn the illumination on and off.
(d) Each receptacle for towels, paper, or waste must be at least fire-resistant and must have means for containing possible fires;
(e) There must be a hand fire extinguisher for the flight crewmembers; and
(f) At least the following number of hand fire extinguishers must be conveniently located in passenger compartments:
| Passenger capacity | Fire extinguishers |
|---|---|
| 7 through 30 | 1 |
| 31 through 60 | 2 |
| 61 or more | 3 |
(a) Each cargo and baggage compartment must be construced of or lined with materials in accordance with the following:
(1) For accessible and inaccessible compartments not occupied by passengers or crew, the material must be at least fire resistant.
(2) Materials must meet the requirements in § 29.853(a)(1), (a)(2), and (a)(3) for cargo or baggage compartments in which—
(i) The presence of a compartment fire would be easily discovered by a crewmember while at the crewmember's station;
(ii) Each part of the compartment is easily accessible in flight;
(iii) The compartment has a volume of 200 cubic feet or less; and
(iv) Notwithstanding § 29.1439(a), protective breathing equipment is not required.
(b) No compartment may contain any controls, wiring, lines, equipment, or accessories whose damage or failure would affect safe operation, unless those items are protected so that—
(1) They cannot be damaged by the movement of cargo in the compartment; and
(2) Their breakage or failure will not create a fire hazard.
(c) The design and sealing of inaccessible compartments must be adequate to contain compartment fires until a landing and safe evacuation can be made.
(d) Each cargo and baggage compartment that is not sealed so as to contain cargo compartment fires completely without endangering the safety of a rotorcraft or its occupants must be designed, or must have a device, to ensure detection of fires or smoke by a crewmember while at his station and to prevent the accumulation of harmful quantities of smoke, flame, extinguishing agents, and other noxious gases in any crew or passenger compartment. This must be shown in flight.
(e) For rotorcraft used for the carriage of cargo only, the cabin area may be considered a cargo compartment and, in addition to paragraphs (a) through (d) of this section, the following apply:
(1) There must be means to shut off the ventilating airflow to or within the compartment. Controls for this purpose must be accessible to the flight crew in the crew compartment.
(2) Required crew emergency exits must be accessible under all cargo loading conditions.
(3) Sources of heat within each compartment must be shielded and insulated to prevent igniting the cargo.
(a) Combustion heater fire zones. The following combustion heater fire zones must be protected against fire under the applicable provisions of §§ 29.1181 through 29.1191, and 29.1195 through 29.1203:
(1) The region surrounding any heater, if that region contains any flammable fluid system components (including the heater fuel system), that could—
(i) Be damaged by heater malfunctioning; or
(ii) Allow flammable fluids or vapors to reach the heater in case of leakage.
(2) Each part of any ventilating air passage that—
(i) Surrounds the combustion chamber; and
(ii) Would not contain (without damage to other rotorcraft components) any fire that may occur within the passage.
(b) Ventilating air ducts. Each ventilating air duct passing through any fire zone must be fireproof. In addition—
(1) Unless isolation is provided by fireproof valves or by equally effective means, the ventilating air duct downstream of each heater must be fireproof for a distance great enough to ensure that any fire originating in the heater can be contained in the duct; and
(2) Each part of any ventilating duct passing through any region having a flammable fluid system must be so constructed or isolated from that system that the malfunctioning of any component of that system cannot introduce flammable fluids or vapors into the ventilating airstream.
(c) Combustion air ducts. Each combustion air duct must be fireproof for a distance great enough to prevent damage from backfiring or reverse flame propagation. In addition—
(1) No combustion air duct may communicate with the ventilating airstream unless flames from backfires or reverse burning cannot enter the ventilating airstream under any operating condition, including reverse flow or malfunction of the heater or its associated components; and
(2) No combustion air duct may restrict the prompt relief of any backfire that, if so restricted, could cause heater failure.
(d) Heater controls; general. There must be means to prevent the hazardous accumulation of water or ice on or in any heater control component, control system tubing, or safety control.
(e) Heater safety controls. For each combustion heater, safety control means must be provided as follows:
(1) Means independent of the components provided for the normal continuous control of air temperature, airflow, and fuel flow must be provided, for each heater, to automatically shut off the ignition and fuel supply of that heater at a point remote from that heater when any of the following occurs:
(i) The heat exchanger temperature exceeds safe limits.
(ii) The ventilating air temperature exceeds safe limits.
(iii) The combustion airflow becomes inadequate for safe operation.
(iv) The ventilating airflow becomes inadequate for safe operation.
(2) The means of complying with paragraph (e)(1) of this section for any individual heater must—
(i) Be independent of components serving any other heater whose heat output is essential for safe operation; and
(ii) Keep the heater off until restarted by the crew.
(3) There must be means to warn the crew when any heater whose heat output is essential for safe operation has been shut off by the automatic means prescribed in paragraph (e)(1) of this section.
(f) Air intakes. Each combustion and ventilating air intake must be where no flammable fluids or vapors can enter the heater system under any operating condition—
(1) During normal operation; or
(2) As a result of the malfunction of any other component.
(g) Heater exhaust. Each heater exhaust system must meet the requirements of §§ 29.1121 and 29.1123. In addition—
(1) Each exhaust shroud must be sealed so that no flammable fluids or hazardous quantities of vapors can reach the exhaust systems through joints; and
(2) No exhaust system may restrict the prompt relief of any backfire that, if so restricted, could cause heater failure.
(h) Heater fuel systems. Each heater fuel system must meet the powerplant fuel system requirements affecting safe heater operation. Each heater fuel system component in the ventilating airstream must be protected by shrouds so that no leakage from those components can enter the ventilating airstream.
(i) Drains. There must be means for safe drainage of any fuel that might accumulate in the combustion chamber or the heat exchanger. In addition—
(1) Each part of any drain that operates at high temperatures must be protected in the same manner as heater exhausts; and
(2) Each drain must be protected against hazardous ice accumulation under any operating condition.
Each part of the structure, controls, and the rotor mechanism, and other parts essential to controlled landing and (for category A) flight that would be affected by powerplant fires must be isolated under § 29.1191, or must be—
(a) For category A rotorcraft, fireproof; and
(b) For Category B rotorcraft, fireproof or protected so that they can perform their essential functions for at least 5 minutes under any foreseeable powerplant fire conditions.
(a) In each area where flammable fluids or vapors might escape by leakage of a fluid system, there must be means to minimize the probability of ignition of the fluids and vapors, and the resultant hazards if ignition does occur.
(b) Compliance with paragraph (a) of this section must be shown by analysis or tests, and the following factors must be considered:
(1) Possible sources and paths of fluid leakage, and means of detecting leakage.
(2) Flammability characteristics of fluids, including effects of any combustible or absorbing materials.
(3) Possible ignition sources, including electrical faults, overheating of equipment, and malfunctioning of protective devices.
(4) Means available for controlling or extinguishing a fire, such as stopping flow of fluids, shutting down equipment, fireproof containment, or use of extinguishing agents.
(5) Ability of rotorcraft components that are critical to safety of flight to withstand fire and heat.
(c) If action by the flight crew is required to prevent or counteract a fluid fire (e.g. equipment shutdown or actuation of a fire extinguisher), quick acting means must be provided to alert the crew.
(d) Each area where flammable fluids or vapors might escape by leakage of a fluid system must be identified and defined.
(a) It must be shown by analysis, test, or both, that the rotorcraft external load attaching means for rotorcraft-load combinations to be used for nonhuman external cargo applications can withstand a limit static load equal to 2.5, or some lower load factor approved under §§ 29.337 through 29.341, multiplied by the maximum external load for which authorization is requested. It must be shown by analysis, test, or both that the rotorcraft external load attaching means and corresponding personnel carrying device system for rotorcraft-load combinations to be used for human external cargo applications can withstand a limit static load equal to 3.5 or some lower load factor, not less than 2.5, approved under §§ 29.337 through 29.341, multiplied by the maximum external load for which authorization is requested. The load for any rotorcraft-load combination class, for any external cargo type, must be applied in the vertical direction. For jettisonable external loads of any applicable external cargo type, the load must also be applied in any direction making the maximum angle with the vertical that can be achieved in service but not less than 30°. However, the 30° angle may be reduced to a lesser angle if—
(1) An operating limitation is established limiting external load operations to such angles for which compliance with this paragraph has been shown; or
(2) It is shown that the lesser angle can not be exceeded in service.
(b) The external load attaching means, for jettisonable rotorcraft-load combinations, must include a quick-release system to enable the pilot to release the external load quickly during flight. The quick-release system must consist of a primary quick release subsystem and a backup quick release subsystem that are isolated from one another. The quick release system, and the means by which it is controlled, must comply with the following:
(1) A control for the primary quick release subsystem must be installed either on one of the pilot's primary controls or in an equivalently accessible location and must be designed and located so that it may be operated by either the pilot or a crewmember without hazardously limiting the ability to control the rotorcraft during an emergency situation.
(2) A control for the backup quick release subsystem, readily accessible to either the pilot or another crewmember, must be provided.
(3) Both the primary and backup quick release subsystems must—
(i) Be reliable, durable, and function properly with all external loads up to and including the maximum external limit load for which authorization is requested.
(ii) Be protected against electromagnetic interference (EMI) from external and internal sources and against lightning to prevent inadvertent load release.
(A) The minimum level of protection required for jettisonable rotorcraft-load combinations used for nonhuman external cargo is a radio frequency field strength of 20 volts per meter.
(B) The minimum level of protection required for jettisonable rotorcraft-load combinations used for human external cargo is a radio frequency field strength of 200 volts per meter.
(iii) Be protected against any failure that could be induced by a failure mode of any other electrical or mechanical rotorcraft system.
(c) For rotorcraft-load combinations to be used for human external cargo applications, the rotorcraft must—
(1) For jettisonable external loads, have a quick-release system that meets the requirements of paragraph (b) of this section and that—
(i) Provides a dual actuation device for the primary quick release subsystem, and
(ii) Provides a separate dual actuation device for the backup quick release subsystem;
(2) Have a reliable, approved personnel carrying device system that has the structural capability and personnel safety features essential for external occupant safety;
(3) Have placards and markings at all appropriate locations that clearly state the essential system operating instructions and, for the personnel carrying device system, ingress and egress instructions;
(4) Have equipment to allow direct intercommunication among required crewmembers and external occupants;
(5) Have the appropriate limitations and procedures incorporated in the flight manual for conducting human external cargo operations; and
(6) For human external cargo applications requiring use of Category A rotorcraft, have one-engine-inoperative hover performance data and procedures in the flight manual for the weights, altitudes, and temperatures for which external load approval is requested.
(d) The critically configured jettisonable external loads must be shown by a combination of analysis, ground tests, and flight tests to be both transportable and releasable throughout the approved operational envelope without hazard to the rotorcraft during normal flight conditions. In addition, these external loads—must be shown to be releasable without hazard to the rotorcraft during emergency flight conditions.
(e) A placard or marking must be installed next to the external-load attaching means clearly stating any operational limitations and the maximum authorized external load as demonstrated under § 29.25 and this section.
(f) The fatigue evaluation of § 29.571 of this part does not apply to rotorcraft-load combinations to be used for nonhuman external cargo except for the failure of critical structural elements that would result in a hazard to the rotorcraft. For rotorcraft-load combinations to be used for human external cargo, the fatigue evaluation of § 29.571 of this part applies to the entire quick release and personnel carrying device structural systems and their attachments.
There must be reference marks for leveling the rotorcraft on the ground.
Ballast provisions must be designed and constructed to prevent inadvertent shifting of ballast in flight.
(a) For the purpose of this part, the powerplant installation includes each part of the rotorcraft (other than the main and auxiliary rotor structures) that—
(1) Is necessary for propulsion;
(2) Affects the control of the major propulsive units; or
(3) Affects the safety of the major propulsive units between normal inspections or overhauls.
(b) For each powerplant installation—
(1) The installation must comply with—
(i) The installation instructions provided under § 33.5 of this chapter; and
(ii) The applicable provisions of this subpart.
(2) Each component of the installation must be constructed, arranged, and installed to ensure its continued safe operation between normal inspections or overhauls for the range of temperature and altitude for which approval is requested.
(3) Accessibility must be provided to allow any inspection and maintenance necessary for continued airworthiness; and
(4) Electrical interconnections must be provided to prevent differences of potential between major components of the installation and the rest of the rotorcraft.
(5) Axial and radial expansion of turbine engines may not affect the safety of the installation.
(6) Design precautions must be taken to minimize the possibility of incorrect assembly of components and equipment essential to safe operation of the rotorcraft, except where operation with the incorrect assembly can be shown to be extremely improbable.
(c) For each powerplant and auxiliary power unit installation, it must be established that no single failure or malfunction or probable combination of failures will jeopardize the safe operation of the rotorcraft except that the failure of structural elements need not be considered if the probability of any such failure is extremely remote.
(d) Each auxiliary power unit installation must meet the applicable provisions of this subpart.
(a) Engine type certification. Each engine must have an approved type certificate. Reciprocating engines for use in helicopters must be qualified in accordance with § 33.49(d) of this chapter or be otherwise approved for the intended usage.
(b) Category A; engine isolation. For each category A rotorcraft, the powerplants must be arranged and isolated from each other to allow operation, in at least one configuration, so that the failure or malfunction of any engine, or the failure of any system that can affect any engine, will not—
(1) Prevent the continued safe operation of the remaining engines; or
(2) Require immediate action, other than normal pilot action with primary flight controls, by any crewmember to maintain safe operation.
(c) Category A; control of engine rotation. For each Category A rotorcraft, there must be a means for stopping the rotation of any engine individually in flight, except that, for turbine engine installations, the means for stopping the engine need be provided only where necessary for safety. In addition—
(1) Each component of the engine stopping system that is located on the engine side of the firewall, and that might be exposed to fire, must be at least fire resistant; or
(2) Duplicate means must be available for stopping the engine and the controls must be where all are not likely to be damaged at the same time in case of fire.
(d) Turbine engine installation. For turbine engine installations—
(1) Design precautions must be taken to minimize the hazards to the rotorcraft in the event of an engine rotor failure; and
(2) The powerplant systems associated with engine control devices, systems, and instrumentation must be designed to give reasonable assurance that those engine operating limitations that adversely affect engine rotor structural integrity will not be exceeded in service.
(e) Restart capability. (1) A means to restart any engine in flight must be provided.
(2) Except for the in-flight shutdown of all engines, engine restart capability must be demonstrated throughout a flight envelope for the rotorcraft.
(3) Following the in-flight shutdown of all engines, in-flight engine restart capability must be provided.
(a) Each engine must be installed to prevent the harmful vibration of any part of the engine or rotorcraft.
(b) The addition of the rotor and the rotor drive system to the engine may not subject the principal rotating parts of the engine to excessive vibration stresses. This must be shown by a vibration investigation.
For cooling fans that are a part of a powerplant installation the following apply:
(a) Category A. For cooling fans installed in Category A rotorcraft, it must be shown that a fan blade failure will not prevent continued safe flight either because of damage caused by the failed blade or loss of cooling air.
(b) Category B. For cooling fans installed in category B rotorcraft, there must be means to protect the rotorcraft and allow a safe landing if a fan blade fails. It must be shown that—
(1) The fan blade would be contained in the case of a failure;
(2) Each fan is located so that a fan blade failure will not jeopardize safety; or
(3) Each fan blade can withstand an ultimate load of 1.5 times the centrifugal force expected in service, limited by either—
(i) The highest rotational speeds achievable under uncontrolled conditions; or
(ii) An overspeed limiting device.
(c) Fatigue evaluation. Unless a fatigue evaluation under § 29.571 is conducted, it must be shown that cooling fan blades are not operating at resonant conditions within the operating limits of the rotorcraft.
(a) General. The rotor drive system includes any part necessary to transmit power from the engines to the rotor hubs. This includes gear boxes, shafting, universal joints, couplings, rotor brake assemblies, clutches, supporting bearings for shafting, any attendant accessory pads or drives, and any cooling fans that are a part of, attached to, or mounted on the rotor drive system.
(b) Design assessment. A design assessment must be performed to ensure that the rotor drive system functions safely over the full range of conditions for which certification is sought. The design assessment must include a detailed failure analysis to identify all failures that will prevent continued safe flight or safe landing and must identify the means to minimize the likelihood of their occurrence.
(c) Arrangement. Rotor drive systems must be arranged as follows:
(1) Each rotor drive system of multiengine rotorcraft must be arranged so that each rotor necessary for operation and control will continue to be driven by the remaining engines if any engine fails.
(2) For single-engine rotorcraft, each rotor drive system must be so arranged that each rotor necessary for control in autorotation will continue to be driven by the main rotors after disengagement of the engine from the main and auxiliary rotors.
(3) Each rotor drive system must incorporate a unit for each engine to automatically disengage that engine from the main and auxiliary rotors if that engine fails.
(4) If a torque limiting device is used in the rotor drive system, it must be located so as to allow continued control of the rotorcraft when the device is operating.
(5) If the rotors must be phased for intermeshing, each system must provide constant and positive phase relationship under any operating condition.
(6) If a rotor dephasing device is incorporated, there must be means to keep the rotors locked in proper phase before operation.
If there is a means to control the rotation of the rotor drive system independently of the engine, any limitations on the use of that means must be specified, and the control for that means must be guarded to prevent inadvertent operation.
(a) Endurance tests, general. Each rotor drive system and rotor control mechanism must be tested, as prescribed in paragraphs (b) through (n) and (p) of this section, for at least 200 hours plus the time required to meet the requirements of paragraphs (b)(2), (b)(3), and (k) of this section. These tests must be conducted as follows:
(1) Ten-hour test cycles must be used, except that the test cycle must be extended to include the OEI test of paragraphs (b)(2) and (k), of this section if OEI ratings are requested.
(2) The tests must be conducted on the rotorcraft.
(3) The test torque and rotational speed must be—
(i) Determined by the powerplant limitations; and
(ii) Absorbed by the rotors to be approved for the rotorcraft.
(b) Endurance tests; takeoff run. The takeoff run must be conducted as follows:
(1) Except as prescribed in paragraphs (b)(2) and (b)(3) of this section, the takeoff torque run must consist of 1 hour of alternate runs of 5 minutes at takeoff torque and the maximum speed for use with takeoff torque, and 5 minutes at as low an engine idle speed as practicable. The engine must be declutched from the rotor drive system, and the rotor brake, if furnished and so intended, must be applied during the first minute of the idle run. During the remaining 4 minutes of the idle run, the clutch must be engaged so that the engine drives the rotors at the minimum practical r.p.m. The engine and the rotor drive system must be accelerated at the maximum rate. When declutching the engine, it must be decelerated rapidly enough to allow the operation of the overrunning clutch.
(2) For helicopters for which the use of a 2
(i) Each run must consist of at least one period of 2
(ii) Each run must consist of at least one period, for each engine in sequence, during which that engine simulates a power failure and the remaining engines are run at the 2
(3) For multiengine, turbine-powered rotorcraft for which the use of 30-second/2-minute OEI power is requested, the takeoff run must be conducted as prescribed in paragraph (b)(1) of this section except for the following:
(i) Immediately following any one 5-minute power-on run required by paragraph (b)(1) of this section, simulate a failure for each power source in turn, and apply the maximum torque and the maximum speed for use with 30-second OEI power to the remaining affected drive system power inputs for not less than 30 seconds. Each application of 30-second OEI power must be followed by two applications of the maximum torque and the maximum speed for use with the 2 minute OEI power for not less than 2 minutes each; the second application must follow a period at stabilized continuous or 30 minute OEI power (whichever is requested by the applicant). At least one run sequence must be conducted from a simulated “flight idle” condition. When conducted on a bench test, the test sequence must be conducted following stabilization at take-off power.
(ii) For the purpose of this paragraph, an affected power input includes all parts of the rotor drive system which can be adversely affected by the application of higher or asymmetric torque and speed prescribed by the test.
(iii) This test may be conducted on a representative bench test facility when engine limitations either preclude repeated use of this power or would result in premature engine removals during the test. The loads, the vibration frequency, and the methods of application to the affected rotor drive system components must be representative of rotorcraft conditions. Test components must be those used to show compliance with the remainder of this section.
(c) Endurance tests; maximum continuous run. Three hours of continuous operation at maximum continuous torque and the maximum speed for use with maximum continuous torque must be conducted as follows:
(1) The main rotor controls must be operated at a minimum of 15 times each hour through the main rotor pitch positions of maximum vertical thrust, maximum forward thrust component, maximum aft thrust component, maximum left thrust component, and maximum right thrust component, except that the control movements need not produce loads or blade flapping motion exceeding the maximum loads of motions encountered in flight.
(2) The directional controls must be operated at a minimum of 15 times each hour through the control extremes of maximum right turning torque, neutral torque as required by the power applied to the main rotor, and maximum left turning torque.
(3) Each maximum control position must be held for at least 10 seconds, and the rate of change of control position must be at least as rapid as that for normal operation.
(d) Endurance tests; 90 percent of maximum continuous run. One hour of continuous operation at 90 percent of maximum continuous torque and the maximum speed for use with 90 percent of maximum continuous torque must be conducted.
(e) Endurance tests; 80 percent of maximum continuous run. One hour of continuous operation at 80 percent of maximum continuous torque and the minimum speed for use with 80 percent of maximum continuous torque must be conducted.
(f) Endurance tests; 60 percent of maximum continuous run. Two hours or, for helicopters for which the use of either 30-minute OEI power or continuous OEI power is requested, 1 hour of continuous operation at 60 percent of maximum continuous torque and the minimum speed for use with 60 percent of maximum continuous torque must be conducted.
(g) Endurance tests; engine malfunctioning run. It must be determined whether malfunctioning of components, such as the engine fuel or ignition systems, or whether unequal engine power can cause dynamic conditions detrimental to the drive system. If so, a suitable number of hours of operation must be accomplished under those conditions, 1 hour of which must be included in each cycle, and the remaining hours of which must be accomplished at the end of the 20 cycles. If no detrimental condition results, an additional hour of operation in compliance with paragraph (b) of this section must be conducted in accordance with the run schedule of paragraph (b)(1) of this section without consideration of paragraph (b)(2) of this section.
(h) Endurance tests; overspeed run. One hour of continuous operation must be conducted at maximum continuous torque and the maximum power-on overspeed expected in service, assuming that speed and torque limiting devices, if any, function properly.
(i) Endurance tests; rotor control positions. When the rotor controls are not being cycled during the tie-down tests, the rotor must be operated, using the procedures prescribed in paragraph (c) of this section, to produce each of the maximum thrust positions for the following percentages of test time (except that the control positions need not produce loads or blade flapping motion exceeding the maximum loads or motions encountered in flight):
(1) For full vertical thrust, 20 percent.
(2) For the forward thrust component, 50 percent.
(3) For the right thrust component, 10 percent.
(4) For the left thrust component, 10 percent.
(5) For the aft thrust component, 10 percent.
(j) Endurance tests, clutch and brake engagements. A total of at least 400 clutch and brake engagements, including the engagements of paragraph (b) of this section, must be made during the takeoff torque runs and, if necessary, at each change of torque and speed throughout the test. In each clutch engagement, the shaft on the driven side of the clutch must be accelerated from rest. The clutch engagements must be accomplished at the speed and by the method prescribed by the applicant. During deceleration after each clutch engagement, the engines must be stopped rapidly enough to allow the engines to be automatically disengaged from the rotors and rotor drives. If a rotor brake is installed for stopping the rotor, the clutch, during brake engagements, must be disengaged above 40 percent of maximum continuous rotor speed and the rotors allowed to decelerate to 40 percent of maximum continuous rotor speed, at which time the rotor brake must be applied. If the clutch design does not allow stopping the rotors with the engine running, or if no clutch is provided, the engine must be stopped before each application of the rotor brake, and then immediately be started after the rotors stop.
(k) Endurance tests; OEI power run—(1) 30-minute OEI power run. For rotorcraft for which the use of 30-minute OEI power is requested, a run at 30-minute OEI torque and the maximum speed for use with 30-minute OEI torque must be conducted as follows: For each engine, in sequence, that engine must be inoperative and the remaining engines must be run for a 30-minute period.
(2) Continuous OEI power run. For rotorcraft for which the use of continuous OEI power is requested, a run at continuous OEI torque and the maximum speed for use with continuous OEI torque must be conducted as follows: For each engine, in sequence, that engine must be inoperative and the remaining engines must be run for 1 hour.
(3) The number of periods prescribed in paragraph (k)(1) or (k)(2) of this section may not be less than the number of engines, nor may it be less than two.
(l) [Reserved]
(m) Any components that are affected by maneuvering and gust loads must be investigated for the same flight conditions as are the main rotors, and their service lives must be determined by fatigue tests or by other acceptable methods. In addition, a level of safety equal to that of the main rotors must be provided for—
(1) Each component in the rotor drive system whose failure would cause an uncontrolled landing;
(2) Each component essential to the phasing of rotors on multirotor rotorcraft, or that furnishes a driving link for the essential control of rotors in autorotation; and
(3) Each component common to two or more engines on multiengine rotorcraft.
(n) Special tests. Each rotor drive system designed to operate at two or more gear ratios must be subjected to special testing for durations necessary to substantiate the safety of the rotor drive system.
(o) Each part tested as prescribed in this section must be in a serviceable condition at the end of the tests. No intervening disassembly which might affect test results may be conducted.
(p) Endurance tests; operating lubricants. To be approved for use in rotor drive and control systems, lubricants must meet the specifications of lubricants used during the tests prescribed by this section. Additional or alternate lubricants may be qualified by equivalent testing or by comparative analysis of lubricant specifications and rotor drive and control system characteristics. In addition—
(1) At least three 10-hour cycles required by this section must be conducted with transmission and gearbox lubricant temperatures, at the location prescribed for measurement, not lower than the maximum operating temperature for which approval is requested;
(2) For pressure lubricated systems, at least three 10-hour cycles required by this section must be conducted with the lubricant pressure, at the location prescribed for measurement, not higher than the minimum operating pressure for which approval is requested; and
(3) The test conditions of paragraphs (p)(1) and (p)(2) of this section must be applied simultaneously and must be extended to include operation at any one-engine-inoperative rating for which approval is requested.
(a) Any additional dynamic, endurance, and operational tests, and vibratory investigations necessary to determine that the rotor drive mechanism is safe, must be performed.
(b) If turbine engine torque output to the transmission can exceed the highest engine or transmission torque limit, and that output is not directly controlled by the pilot under normal operating conditions (such as where the primary engine power control is accomplished through the flight control), the following test must be made:
(1) Under conditions associated with all engines operating, make 200 applications, for 10 seconds each, of torque that is at least equal to the lesser of—
(i) The maximum torque used in meeting § 29.923 plus 10 percent; or
(ii) The maximum torque attainable under probable operating conditions, assuming that torque limiting devices, if any, function properly.
(2) For multiengine rotorcraft under conditions associated with each engine, in turn, becoming inoperative, apply to the remaining transmission torque inputs the maximum torque attainable under probable operating conditions, assuming that torque limiting devices, if any, function properly. Each transmission input must be tested at this maximum torque for at least fifteen minutes.
(c) Lubrication system failure. For lubrication systems required for proper operation of rotor drive systems, the following apply:
(1) Category A. Unless such failures are extremely remote, it must be shown by test that any failure which results in loss of lubricant in any normal use lubrication system will not prevent continued safe operation, although not necessarily without damage, at a torque and rotational speed prescribed by the applicant for continued flight, for at least 30 minutes after perception by the flightcrew of the lubrication system failure or loss of lubricant.
(2) Category B. The requirements of Category A apply except that the rotor drive system need only be capable of operating under autorotative conditions for at least 15 minutes.
(d) Overspeed test. The rotor drive system must be subjected to 50 overspeed runs, each 30 ±3 seconds in duration, at not less than either the higher of the rotational speed to be expected from an engine control device failure or 105 percent of the maximum rotational speed, including transients, to be expected in service. If speed and torque limiting devices are installed, are independent of the normal engine control, and are shown to be reliable, their rotational speed limits need not be exceeded. These runs must be conducted as follows:
(1) Overspeed runs must be alternated with stabilizing runs of from 1 to 5 minutes duration each at 60 to 80 percent of maximum continuous speed.
(2) Acceleration and deceleration must be accomplished in a period not longer than 10 seconds (except where maximum engine acceleration rate will require more than 10 seconds), and the time for changing speeds may not be deducted from the specified time for the overspeed runs.
(3) Overspeed runs must be made with the rotors in the flattest pitch for smooth operation.
(e) The tests prescribed in paragraphs (b) and (d) of this section must be conducted on the rotorcraft and the torque must be absorbed by the rotors to be installed, except that other ground or flight test facilities with other appropriate methods of torque absorption may be used if the conditions of support and vibration closely simulate the conditions that would exist during a test on the rotorcraft.
(f) Each test prescribed by this section must be conducted without intervening disassembly and, except for the lubrication system failure test required by paragraph (c) of this section, each part tested must be in a serviceable condition at the conclusion of the test.
(a) The critical speeds of any shafting must be determined by demonstration except that analytical methods may be used if reliable methods of analysis are available for the particular design.
(b) If any critical speed lies within, or close to, the operating ranges for idling, power-on, and autorotative conditions, the stresses occurring at that speed must be within safe limits. This must be shown by tests.
(c) If analytical methods are used and show that no critical speed lies within the permissible operating ranges, the margins between the calculated critical speeds and the limits of the allowable operating ranges must be adequate to allow for possible variations between the computed and actual values.
Each universal joint, slip joint, and other shafting joints whose lubrication is necessary for operation must have provision for lubrication.
(a) Turbine engine operating characteristics must be investigated in flight to determine that no adverse characteristics (such as stall, surge, of flameout) are present, to a hazardous degree, during normal and emergency operation within the range of operating limitations of the rotorcraft and of the engine.
(b) The turbine engine air inlet system may not, as a result of airflow distortion during normal operation, cause vibration harmful to the engine.
(c) For governor-controlled engines, it must be shown that there exists no hazardous torsional instability of the drive system associated with critical combinations of power, rotational speed, and control displacement.
(a) Each fuel system must be constructed and arranged to ensure a flow of fuel at a rate and pressure established for proper engine and auxiliary power unit functioning under any likely operating conditions, including the maneuvers for which certification is requested and during which the engine or auxiliary power unit is permitted to be in operation.
(b) Each fuel system must be arranged so that—
(1) No engine or fuel pump can draw fuel from more than one tank at a time; or
(2) There are means to prevent introducing air into the system.
(c) Each fuel system for a turbine engine must be capable of sustained operation throughout its flow and pressure range with fuel initially saturated with water at 80 degrees F. and having 0.75cc of free water per gallon added and cooled to the most critical condition for icing likely to be encountered in operation.
Unless other means acceptable to the Administrator are employed to minimize the hazard of fuel fires to occupants following an otherwise survivable impact (crash landing), the fuel systems must incorporate the design features of this section. These systems must be shown to be capable of sustaining the static and dynamic deceleration loads of this section, considered as ultimate loads acting alone, measured at the system component's center of gravity without structural damage to the system components, fuel tanks, or their attachments that would leak fuel to an ignition source.
(a) Drop test requirements. Each tank, or the most critical tank, must be drop-tested as follows:
(1) The drop height must be at least 50 feet.
(2) The drop impact surface must be nondeforming.
(3) The tanks must be filled with water to 80 percent of the normal, full capacity.
(4) The tank must be enclosed in a surrounding structure representative of the installation unless it can be established that the surrounding structure is free of projections or other design features likely to contribute to upture of the tank.
(5) The tank must drop freely and impact in a horizontal position ±10°.
(6) After the drop test, there must be no leakage.
(b) Fuel tank load factors. Except for fuel tanks located so that tank rupture with fuel release to either significant ignition sources, such as engines, heaters, and auxiliary power units, or occupants is extremely remote, each fuel tank must be designed and installed to retain its contents under the following ultimate inertial load factors, acting alone.
(1) For fuel tanks in the cabin:
(i) Upward—4g.
(ii) Forward—16g.
(iii) Sideward—8g.
(iv) Downward—20g.
(2) For fuel tanks located above or behind the crew or passenger compartment that, if loosened, could injure an occupant in an emergency landing:
(i) Upward—1.5g.
(ii) Forward—8g.
(iii) Sideward—2g.
(iv) Downward—4g.
(3) For fuel tanks in other areas:
(i) Upward—1.5g.
(ii) Forward—4g.
(iii) Sideward—2g.
(iv) Downward—4g.
(c) Fuel line self-sealing breakaway couplings. Self-sealing breakaway couplings must be installed unless hazardous relative motion of fuel system components to each other or to local rotorcraft structure is demonstrated to be extremely improbable or unless other means are provided. The couplings or equivalent devices must be installed at all fuel tank-to-fuel line connections, tank-to-tank interconnects, and at other points in the fuel system where local structural deformation could lead to the release of fuel.
(1) The design and construction of self-sealing breakaway couplings must incorporate the following design features:
(i) The load necessary to separate a breakaway coupling must be between 25 to 50 percent of the minimum ultimate failure load (ultimate strength) of the weakest component in the fluid-carrying line. The separation load must in no case be less than 300 pounds, regardless of the size of the fluid line.
(ii) A breakaway coupling must separate whenever its ultimate load (as defined in paragraph (c)(1)(i) of this section) is applied in the failure modes most likely to occur.
(iii) All breakaway couplings must incorporate design provisions to visually ascertain that the coupling is locked together (leak-free) and is open during normal installation and service.
(iv) All breakaway couplings must incorporate design provisions to prevent uncoupling or unintended closing due to operational shocks, vibrations, or accelerations.
(v) No breakaway coupling design may allow the release of fuel once the coupling has performed its intended function.
(2) All individual breakaway couplings, coupling fuel feed systems, or equivalent means must be designed, tested, installed, and maintained so inadvertent fuel shutoff in flight is improbable in accordance with § 29.955(a) and must comply with the fatigue evaluation requirements of § 29.571 without leaking.
(3) Alternate, equivalent means to the use of breakaway couplings must not create a survivable impact-induced load on the fuel line to which it is installed greater than 25 to 50 percent of the ultimate load (strength) of the weakest component in the line and must comply with the fatigue requirements of § 29.571 without leaking.
(d) Frangible or deformable structural attachments. Unless hazardous relative motion of fuel tanks and fuel system components to local rotorcraft structure is demonstrated to be extremely improbable in an otherwise survivable impact, frangible or locally deformable attachments of fuel tanks and fuel system components to local rotorcraft structure must be used. The attachment of fuel tanks and fuel system components to local rotorcraft structure, whether frangible or locally deformable, must be designed such that its separation or relative local deformation will occur without rupture or local tear-out of the fuel tank or fuel system component that will cause fuel leakage. The ultimate strength of frangible or deformable attachments must be as follows:
(1) The load required to separate a frangible attachment from its support structure, or deform a locally deformable attachment relative to its support structure, must be between 25 and 50 percent of the minimum ultimate load (ultimate strength) of the weakest component in the attached system. In no case may the load be less than 300 pounds.
(2) A frangible or locally deformable attachment must separate or locally deform as intended whenever its ultimate load (as defined in paragraph (d)(1) of this section) is applied in the modes most likely to occur.
(3) All frangible or locally deformable attachments must comply with the fatigue requirements of § 29.571.
(e) Separation of fuel and ignition sources. To provide maximum crash resistance, fuel must be located as far as practicable from all occupiable areas and from all potential ignition sources.
(f) Other basic mechanical design criteria. Fuel tanks, fuel lines, electrical wires, and electrical devices must be designed, constructed, and installed, as far as practicable, to be crash resistant.
(g) Rigid or semirigid fuel tanks. Rigid or semirigid fuel tank or bladder walls must be impact and tear resistant.
(a) For category A rotorcraft—
(1) The fuel system must meet the requirements of § 29.903(b); and
(2) Unless other provisions are made to meet paragraph (a)(1) of this section, the fuel system must allow fuel to be supplied to each engine through a system independent of those parts of each system supplying fuel to other engines.
(b) Each fuel system for a multiengine category B rotorcraft must meet the requirements of paragraph (a)(2) of this section. However, separate fuel tanks need not be provided for each engine.
The fuel system must be designed and arranged to prevent the ignition of fuel vapor within the system by—
(a) Direct lightning strikes to areas having a high probability of stroke attachment;
(b) Swept lightning strokes to areas where swept strokes are highly probable; and
(c) Corona and streamering at fuel vent outlets.
(a) General. The fuel system for each engine must provide the engine with at least 100 percent of the fuel required under all operating and maneuvering conditions to be approved for the rotorcraft, including, as applicable, the fuel required to operate the engines under the test conditions required by § 29.927. Unless equivalent methods are used, compliance must be shown by test during which the following provisions are met, except that combinations of conditions which are shown to be improbable need not be considered.
(1) The fuel pressure, corrected for accelerations (load factors), must be within the limits specified by the engine type certificate data sheet.
(2) The fuel level in the tank may not exceed that established as the unusable fuel supply for that tank under § 29.959, plus that necessary to conduct the test.
(3) The fuel head between the tank and the engine must be critical with respect to rotorcraft flight attitudes.
(4) The fuel flow transmitter, if installed, and the critical fuel pump (for pump-fed systems) must be installed to produce (by actual or simulated failure) the critical restriction to fuel flow to be expected from component failure.
(5) Critical values of engine rotational speed, electrical power, or other sources of fuel pump motive power must be applied.
(6) Critical values of fuel properties which adversely affect fuel flow are applied during demonstrations of fuel flow capability.
(7) The fuel filter required by § 29.997 is blocked to the degree necessary to simulate the accumulation of fuel contamination required to activate the indicator required by § 29.1305(a)(18).
(b) Fuel transfer system. If normal operation of the fuel system requires fuel to be transferred to another tank, the transfer must occur automatically via a system which has been shown to maintain the fuel level in the receiving tank within acceptable limits during flight or surface operation of the rotorcraft.
(c) Multiple fuel tanks. If an engine can be supplied with fuel from more than one tank, the fuel system, in addition to having appropriate manual switching capability, must be designed to prevent interruption of fuel flow to that engine, without attention by the flightcrew, when any tank supplying fuel to that engine is depleted of usable fuel during normal operation and any other tank that normally supplies fuel to that engine alone contains usable fuel.
(a) Where tank outlets are interconnected and allow fuel to flow between them due to gravity or flight accelerations, it must be impossible for fuel to flow between tanks in quantities great enough to cause overflow from the tank vent in any sustained flight condition.
(b) If fuel can be pumped from one tank to another in flight—
(1) The design of the vents and the fuel transfer system must prevent structural damage to tanks from overfilling; and
(2) There must be means to warn the crew before overflow through the vents occurs.
The unusable fuel supply for each tank must be established as not less than the quantity at which the first evidence of malfunction occurs under the most adverse fuel feed condition occurring under any intended operations and flight maneuvers involving that tank.
Each suction lift fuel system and other fuel systems conducive to vapor formation must be shown to operate satisfactorily (within certification limits) when using fuel at the most critical temperature for vapor formation under critical operating conditions including, if applicable, the engine operating conditions defined by § 29.927(b)(1) and (b)(2).
(a) Each fuel tank must be able to withstand, without failure, the vibration, inertia, fluid, and structural loads to which it may be subjected in operation.
(b) Each flexible fuel tank bladder or liner must be approved or shown to be suitable for the particular application and must be puncture resistant. Puncture resistance must be shown by meeting the TSO-C80, paragraph 16.0, requirements using a minimum puncture force of 370 pounds.
(c) Each integral fuel tank must have facilities for inspection and repair of its interior.
(d) The maximum exposed surface temperature of all components in the fuel tank must be less by a safe margin than the lowest expected autoignition temperature of the fuel or fuel vapor in the tank. Compliance with this requirement must be shown under all operating conditions and under all normal or malfunction conditions of all components inside the tank.
(e) Each fuel tank installed in personnel compartments must be isolated by fume-proof and fuel-proof enclosures that are drained and vented to the exterior of the rotorcraft. The design and construction of the enclosures must provide necessary protection for the tank, must be crash resistant during a survivable impact in accordance with § 29.952, and must be adequate to withstand loads and abrasions to be expected in personnel compartments.
(a) Each fuel tank must be able to withstand the applicable pressure tests in this section without failure or leakage. If practicable, test pressures may be applied in a manner simulating the pressure distribution in service.
(b) Each conventional metal tank, each nonmetallic tank with walls that are not supported by the rotorcraft structure, and each integral tank must be subjected to a pressure of 3.5 p.s.i. unless the pressure developed during maximum limit acceleration or emergency deceleration with a full tank exceeds this value, in which case a hydrostatic head, or equivalent test, must be applied to duplicate the acceleration loads as far as possible. However, the pressure need not exceed 3.5 p.s.i. on surfaces not exposed to the acceleration loading.
(c) Each nonmetallic tank with walls supported by the rotorcraft structure must be subjected to the following tests:
(1) A pressure test of at least 2.0 p.s.i. This test may be conducted on the tank alone in conjunction with the test specified in paragraph (c)(2) of this section.
(2) A pressure test, with the tank mounted in the rotorcraft structure, equal to the load developed by the reaction of the contents, with the tank full, during maximum limit acceleration or emergency deceleration. However, the pressure need not exceed 2.0 p.s.i. on surfaces faces not exposed to the acceleration loading.
(d) Each tank with large unsupported or unstiffened flat areas, or with other features whose failure or deformation could cause leakage, must be subjected to the following test or its equivalent:
(1) Each complete tank assembly and its supports must be vibration tested while mounted to simulate the actual installation.
(2) The tank assembly must be vibrated for 25 hours while two-thirds full of any suitable fluid. The amplitude of vibration may not be less than one thirty-second of an inch, unless otherwise substantiated.
(3) The test frequency of vibration must be as follows:
(i) If no frequency of vibration resulting from any r.p.m. within the normal operating range of engine or rotor system speeds is critical, the test frequency of vibration, in number of cycles per minute, must, unless a frequency based on a more rational analysis is used, be the number obtained by averaging the maximum and minimum power-on engine speeds (r.p.m.) for reciprocating engine powered rotorcraft or 2,000 c.p.m. for turbine engine powered rotorcraft.
(ii) If only one frequency of vibration resulting from any r.p.m. within the normal operating range of engine or rotor system speeds is critical, that frequency of vibration must be the test frequency.
(iii) If more than one frequency of vibration resulting from any r.p.m. within the normal operating range of engine or rotor system speeds is critical, the most critical of these frequencies must be the test frequency.
(4) Under paragraph (d)(3)(ii) and (iii), the time of test must be adjusted to accomplish the same number of vibration cycles as would be accomplished in 25 hours at the frequency specified in paragraph (d)(3)(i) of this section.
(5) During the test, the tank assembly must be rocked at the rate of 16 to 20 complete cycles per minute through an angle of 15 degrees on both sides of the horizontal (30 degrees total), about the most critical axis, for 25 hours. If motion about more than one axis is likely to be critical, the tank must be rocked about each critical axis for 12
(a) Each fuel tank must be supported so that tank loads are not concentrated on unsupported tank surfaces. In addition—
(1) There must be pads, if necessary, to prevent chafing between each tank and its supports;
(2) The padding must be nonabsorbent or treated to prevent the absorption of fuel;
(3) If flexible tank liners are used, they must be supported so that they are not required to withstand fluid loads; and
(4) Each interior surface of tank compartments must be smooth and free of projections that could cause wear of the liner, unless—
(i) There are means for protection of the liner at those points; or
(ii) The construction of the liner itself provides such protection.
(b) Any spaces adjacent to tank surfaces must be adequately ventilated to avoid accumulation of fuel or fumes in those spaces due to minor leakage. If the tank is in a sealed compartment, ventilation may be limited to drain holes that prevent clogging and that prevent excessive pressure resulting from altitude changes. If flexible tank liners are installed, the venting arrangement for the spaces between the liner and its container must maintain the proper relationship to tank vent pressures for any expected flight condition.
(c) The location of each tank must meet the requirements of § 29.1185(b) and (c).
(d) No rotorcraft skin immediately adjacent to a major air outlet from the engine compartment may act as the wall of an integral tank.
Each fuel tank or each group of fuel tanks with interconnected vent systems must have an expansion space of not less than 2 percent of the combined tank capacity. It must be impossible to fill the fuel tank expansion space inadvertently with the rotorcraft in the normal ground attitude.
(a) Each fuel tank must have a sump with a capacity of not less than the greater of—
(1) 0.10 per cent of the tank capacity; or
(2)
(b) The capacity prescribed in paragraph (a) of this section must be effective with the rotorcraft in any normal attitude, and must be located so that the sump contents cannot escape through the tank outlet opening.
(c) Each fuel tank must allow drainage of hazardous quantities of water from each part of the tank to the sump with the rotorcraft in any ground attitude to be expected in service.
(d) Each fuel tank sump must have a drain that allows complete drainage of the sump on the ground.
(a) Each fuel tank filler connection must prevent the entrance of fuel into any part of the rotorcraft other than the tank itself during normal operations and must be crash resistant during a survivable impact in accordance with § 29.952(c). In addition—
(1) Each filler must be marked as prescribed in § 29.1557(c)(1);
(2) Each recessed filler connection that can retain any appreciable quantity of fuel must have a drain that discharges clear of the entire rotorcraft; and
(3) Each filler cap must provide a fuel-tight seal under the fluid pressure expected in normal operation and in a survivable impact.
(b) Each filler cap or filler cap cover must warn when the cap is not fully locked or seated on the filler connection.
(a) Fuel tank vents. Each fuel tank must be vented from the top part of the expansion space so that venting is effective under normal flight conditions. In addition—
(1) The vents must be arranged to avoid stoppage by dirt or ice formation;
(2) The vent arrangement must prevent siphoning of fuel during normal operation;
(3) The venting capacity and vent pressure levels must maintain acceptable differences of pressure between the interior and exterior of the tank, during—
(i) Normal flight operation;
(ii) Maximum rate of ascent and descent; and
(iii) Refueling and defueling (where applicable);
(4) Airspaces of tanks with interconnected outlets must be interconnected;
(5) There may be no point in any vent line where moisture can accumulate with the rotorcraft in the ground attitude or the level flight attitude, unless drainage is provided;
(6) No vent or drainage provision may end at any point—
(i) Where the discharge of fuel from the vent outlet would constitute a fire hazard; or
(ii) From which fumes could enter personnel compartments; and
(7) The venting system must be designed to minimize spillage of fuel through the vents to an ignition source in the event of a rollover during landing, ground operations, or a survivable impact.
(b) Carburetor vapor vents. Each carburetor with vapor elimination connections must have a vent line to lead vapors back to one of the fuel tanks. In addition—
(1) Each vent system must have means to avoid stoppage by ice; and
(2) If there is more than one fuel tank, and it is necessary to use the tanks in a definite sequence, each vapor vent return line must lead back to the fuel tank used for takeoff and landing.
(a) There must be a fuel strainer for the fuel tank outlet or for the booster pump. This strainer must—
(1) For reciprocating engine powered rotorcraft, have 8 to 16 meshes per inch; and
(2) For turbine engine powered rotorcraft, prevent the passage of any object that could restrict fuel flow or damage any fuel system component.
(b) The clear area of each fuel tank outlet strainer must be at least five times the area of the outlet line.
(c) The diameter of each strainer must be at least that of the fuel tank outlet.
(d) Each finger strainer must be accessible for inspection and cleaning.
(a) Each fueling connection below the fuel level in each tank must have means to prevent the escape of hazardous quantities of fuel from that tank in case of malfunction of the fuel entry valve.
(b) For systems intended for pressure refueling, a means in addition to the normal means for limiting the tank content must be installed to prevent damage to the tank in case of failure of the normal means.
(c) The rotorcraft pressure fueling system (not fuel tanks and fuel tank vents) must withstand an ultimate load that is 2.0 times the load arising from the maximum pressure, including surge, that is likely to occur during fueling. The maximum surge pressure must be established with any combination of tank valves being either intentionally or inadvertently closed.
(d) The rotorcraft defueling system (not including fuel tanks and fuel tank vents) must withstand an ultimate load that is 2.0 times the load arising from the maximum permissible defueling pressure (positive or negative) at the rotorcraft fueling connection.
(a) Compliance with § 29.955 must not be jeopardized by failure of—
(1) Any one pump except pumps that are approved and installed as parts of a type certificated engine; or
(2) Any component required for pump operation except the engine served by that pump.
(b) The following fuel pump installation requirements apply:
(1) When necessary to maintain the proper fuel pressure—
(i) A connection must be provided to transmit the carburetor air intake static pressure to the proper fuel pump relief valve connection; and
(ii) The gauge balance lines must be independently connected to the carburetor inlet pressure to avoid incorrect fuel pressure readings.
(2) The installation of fuel pumps having seals or diaphragms that may leak must have means for draining leaking fuel.
(3) Each drain line must discharge where it will not create a fire hazard.
(a) Each fuel line must be installed and supported to prevent excessive vibration and to withstand loads due to fuel pressure, valve actuation, and accelerated flight conditions.
(b) Each fuel line connected to components of the rotorcraft between which relative motion could exist must have provisions for flexibility.
(c) Each flexible connection in fuel lines that may be under pressure or subjected to axial loading must use flexible hose assemblies.
(d) Flexible hose must be approved.
(e) No flexible hose that might be adversely affected by high temperatures may be used where excessive temperatures will exist during operation or after engine shutdown.
In addition to meeting the requirements of § 29.1189, each fuel valve must—
(a) [Reserved]
(b) Be supported so that no loads resulting from their operation or from accelerated flight conditions are transmitted to the lines attached to the valve.
There must be a fuel strainer or filter between the fuel tank outlet and the inlet of the first fuel system component which is susceptible to fuel contamination, including but not limited to the fuel metering device or an engine positive displacement pump, whichever is nearer the fuel tank outlet. This fuel strainer or filter must—
(a) Be accessible for draining and cleaning and must incorporate a screen or element which is easily removable;
(b) Have a sediment trap and drain, except that it need not have a drain if the strainer or filter is easily removable for drain purposes;
(c) Be mounted so that its weight is not supported by the connecting lines or by the inlet or outlet connections of the strainer or filter inself, unless adequate strengh margins under all loading conditions are provided in the lines and connections; and
(d) Provide a means to remove from the fuel any contaminant which would jeopardize the flow of fuel through rotorcraft or engine fuel system components required for proper rotorcraft or engine fuel system operation.
(a) There must be at least one accessible drain at the lowest point in each fuel system to completely drain the system with the rotorcraft in any ground attitude to be expected in service.
(b) Each drain required by paragraph (a) of this section including the drains prescribed in § 29.971 must—
(1) Discharge clear of all parts of the rotorcraft;
(2) Have manual or automatic means to ensure positive closure in the off position; and
(3) Have a drain valve—
(i) That is readily accessible and which can be easily opened and closed; and
(ii) That is either located or protected to prevent fuel spillage in the event of a landing with landing gear retracted.
If a fuel jettisoning system is installed, the following apply:
(a) Fuel jettisoning must be safe during all flight regimes for which jettisoning is to be authorized.
(b) In showing compliance with paragraph (a) of this section, it must be shown that—
(1) The fuel jettisoning system and its operation are free from fire hazard;
(2) No hazard results from fuel or fuel vapors which impinge on any part of the rotorcraft during fuel jettisoning; and
(3) Controllability of the rotorcraft remains satisfactory throughout the fuel jettisoning operation.
(c) Means must be provided to automatically prevent jettisoning fuel below the level required for an all-engine climb at maximum continuous power from sea level to 5,000 feet altitude and cruise thereafter for 30 minutes at maximum range engine power.
(d) The controls for any fuel jettisoning system must be designed to allow flight personnel (minimum crew) to safely interrupt fuel jettisoning during any part of the jettisoning operation.
(e) The fuel jettisoning system must be designed to comply with the powerplant installation requirements of § 29.901(c).
(f) An auxiliary fuel jettisoning system which meets the requirements of paragraphs (a), (b), (d), and (e) of this section may be installed to jettison additional fuel provided it has separate and independent controls.
(a) Each engine must have an independent oil system that can supply it with an appropriate quantity of oil at a temperature not above that safe for continuous operation.
(b) The usable oil capacity of each system may not be less than the product of the endurance of the rotorcraft under critical operating conditions and the maximum allowable oil consumption of the engine under the same conditions, plus a suitable margin to ensure adequate circulation and cooling. Instead of a rational analysis of endurance and consumption, a usable oil capacity of one gallon for each 40 gallons of usable fuel may be used for reciprocating engine installations.
(c) Oil-fuel ratios lower than those prescribed in paragraph (c) of this section may be used if they are substantiated by data on the oil consumption of the engine.
(d) The ability of the engine and oil cooling provisions to maintain the oil temperature at or below the maximum established value must be shown under the applicable requirements of §§ 29.1041 through 29.1049.
(a) Installation. Each oil tank installation must meet the requirements of § 29.967.
(b) Expansion space. Oil tank expansion space must be provided so that—
(1) Each oil tank used with a reciprocating engine has an expansion space of not less than the greater of 10 percent of the tank capacity or 0.5 gallon, and each oil tank used with a turbine engine has an expansion space of not less than 10 percent of the tank capacity;
(2) Each reserve oil tank not directly connected to any engine has an expansion space of not less than two percent of the tank capacity; and
(3) It is impossible to fill the expansion space inadvertently with the rotorcraft in the normal ground attitude.
(c) Filler connections. Each recessed oil tank filler connection that can retain any appreciable quantity of oil must have a drain that discharges clear of the entire rotorcraft. In addition—
(1) Each oil tank filler cap must provide an oil-tight seal under the pressure expected in operation;
(2) For category A rotorcraft, each oil tank filler cap or filler cap cover must incorporate features that provide a warning when caps are not fully locked or seated on the filler connection; and
(3) Each oil filler must be marked under § 29.1557(c)(2).
(d) Vent. Oil tanks must be vented as follows:
(1) Each oil tank must be vented from the top part of the expansion space to that venting is effective under all normal flight conditions.
(2) Oil tank vents must be arranged so that condensed water vapor that might freeze and obstruct the line cannot accumulate at any point;
(e) Outlet. There must be means to prevent entrance into the tank itself, or into the tank outlet, of any object that might obstruct the flow of oil through the system. No oil tank outlet may be enclosed by a screen or guard that would reduce the flow of oil below a safe value at any operating temperature. There must be a shutoff valve at the outlet of each oil tank used with a turbine engine unless the external portion of the oil system (including oil tank supports) is fireproof.
(f) Flexible liners. Each flexible oil tank liner must be approved or shown to be suitable for the particular installation.
Each oil tank must be designed and installed so that—
(a) It can withstand, without failure, any vibration, inertia, and fluid loads to which it may be subjected in operation; and
(b) It meets the requirements of § 29.965, except that instead of the pressure specified in § 29.965(b)—
(1) For pressurized tanks used with a turbine engine, the test pressure may not be less than 5 p.s.i. plus the maximum operating pressure of the tank; and
(2) For all other tanks, the test pressure may not be less than 5 p.s.i.
(a) Each oil line must meet the requirements of § 29.993.
(b) Breather lines must be arranged so that—
(1) Condensed water vapor that might freeze and obstruct the line cannot accumulate at any point;
(2) The breather discharge will not constitute a fire hazard if foaming occurs, or cause emitted oil to strike the pilot's windshield; and
(3) The breather does not discharge into the engine air induction system.
(a) Each turbine engine installation must incorporate an oil strainer or filter through which all of the engine oil flows and which meets the following requirements:
(1) Each oil strainer or filter that has a bypass must be constructed and installed so that oil will flow at the normal rate through the rest of the system with the strainer or filter completely blocked.
(2) The oil strainer or filter must have the capacity (with respect to operating limitations established for the engine) to ensure that engine oil system functioning is not impaired when the oil is contaminated to a degree (with respect to particle size and density) that is greater than that established for the engine under Part 33 of this chapter.
(3) The oil strainer or filter, unless it is installed at an oil tank outlet, must incorporate a means to indicate contamination before it reaches the capacity established in accordance with paragraph (a)(2) of this section.
(4) The bypass of a strainer or filter must be constructed and installed so that the release of collected contaminants is minimized by appropriate location of the bypass to ensure that collected contaminants are not in the bypass flow path.
(5) An oil strainer or filter that has no bypass, except one that is installed at an oil tank outlet, must have a means to connect it to the warning system required in § 29.1305(a)(19).
(b) Each oil strainer or filter in a powerplant installation using reciprocating engines must be constructed and installed so that oil will flow at the normal rate through the rest of the system with the strainer or filter element completely blocked.
A drain (or drains) must be provided to allow safe drainage of the oil system. Each drain must—
(a) Be accessible; and
(b) Have manual or automatic means for positive locking in the closed position.
(a) Each oil radiator must be able to withstand any vibration, inertia, and oil pressure loads to which it would be subjected in operation.
(b) Each oil radiator air duct must be located, or equipped, so that, in case of fire, and with the airflow as it would be with and without the engine operating, flames cannot directly strike the radiator.
(a) Each oil shutoff must meet the requirements of § 29.1189.
(b) The closing of oil shutoffs may not prevent autorotation.
(c) Each oil valve must have positive stops or suitable index provisions in the “on” and “off” positions and must be supported so that no loads resulting from its operation or from accelerated flight conditions are transmitted to the lines attached to the valve.
(a) The oil system for components of the rotor drive system that require continuous lubrication must be sufficiently independent of the lubrication systems of the engine(s) to ensure—
(1) Operation with any engine inoperative; and
(2) Safe autorotation.
(b) Pressure lubrication systems for transmissions and gearboxes must comply with the requirements of §§ 29.1013, paragraphs (c), (d), and (f) only, 29.1015, 29.1017, 29.1021, 29.1023, and 29.1337(d). In addition, the system must have—
(1) An oil strainer or filter through which all the lubricant flows, and must—
(i) Be designed to remove from the lubricant any contaminant which may damage transmission and drive system components or impede the flow of lubricant to a hazardous degree; and
(ii) Be equipped with a bypass constructed and installed so that—
(A) The lubricant will flow at the normal rate through the rest of the system with the strainer or filter completely blocked; and
(B) The release of collected contaminants is minimized by appropriate location of the bypass to ensure that collected contaminants are not in the bypass flowpath;
(iii) Be equipped with a means to indicate collection of contaminants on the filter or strainer at or before opening of the bypass;
(2) For each lubricant tank or sump outlet supplying lubrication to rotor drive systems and rotor drive system components, a screen to prevent entrance into the lubrication system of any object that might obstruct the flow of lubricant from the outlet to the filter required by paragraph (b)(1) of this section. The requirements of paragraph (b)(1) of this section do not apply to screens installed at lubricant tank or sump outlets.
(c) Splash type lubrication systems for rotor drive system gearboxes must comply with §§ 29.1021 and 29.1337(d).
(a) The powerplant and auxiliary power unit cooling provisions must be able to maintain the temperatures of powerplant components, engine fluids, and auxiliary power unit components and fluids within the temperature limits established for these components and fluids, under ground, water, and flight operating conditions for which certification is requested, and after normal engine or auxiliary power unit shutdown, or both.
(b) There must be cooling provisions to maintain the fluid temperatures in any power transmission within safe values under any critical surface (ground or water) and flight operating conditions.
(c) Except for ground-use-only auxiliary power units, compliance with paragraphs (a) and (b) of this section must be shown by flight tests in which the temperatures of selected powerplant component and auxiliary power unit component, engine, and transmission fluids are obtained under the conditions prescribed in those paragraphs.
(a) General. For the tests prescribed in § 29.1041(c), the following apply:
(1) If the tests are conducted under conditions deviating from the maximum ambient atmospheric temperature specified in paragraph (b) of this section, the recorded powerplant temperatures must be corrected under paragraphs (c) and (d) of this section, unless a more rational correction method is applicable.
(2) No corrected temperature determined under paragraph (a)(1) of this section may exceed established limits.
(3) The fuel used during the cooling tests must be of the minimum grade approved for the engines, and the mixture settings must be those used in normal operation.
(4) The test procedures must be as prescribed in §§ 29.1045 through 29.1049.
(5) For the purposes of the cooling tests, a temperature is “stabilized” when its rate of change is less than 2 °F per minute.
(b) Maximum ambient atmospheric temperature. A maximum ambient atmospheric temperature corresponding to sea level conditions of at least 100 degrees F. must be established. The assumed temperature lapse rate is 3.6 degrees F. per thousand feet of altitude above sea level until a temperature of −69.7 degrees F. is reached, above which altitude the temperature is considered constant at −69.7 degrees F. However, for winterization installations, the applicant may select a maximum ambient atmospheric temperature corresponding to sea level conditions of less than 100 degrees F.
(c) Correction factor (except cylinder barrels). Unless a more rational correction applies, temperatures of engine fluids and powerplant components (except cylinder barrels) for which temperature limits are established, must be corrected by adding to them the difference between the maximum ambient atmospheric temperature and the temperature of the ambient air at the time of the first occurrence of the maximum component or fluid temperature recorded during the cooling test.
(d) Correction factor for cylinder barrel temperatures. Cylinder barrel temperatures must be corrected by adding to them 0.7 times the difference between the maximum ambient atmospheric temperature and the temperature of the ambient air at the time of the first occurrence of the maximum cylinder barrel temperature recorded during the cooling test.
(a) Climb cooling tests must be conducted under this section for—
(1) Category A rotorcraft; and
(2) Multiengine category B rotorcraft for which certification is requested under the category A powerplant installation requirements, and under the requirements of § 29.861(a) at the steady rate of climb or descent established under § 29.67(b).
(b) The climb or descent cooling tests must be conducted with the engine inoperative that produces the most adverse cooling conditions for the remaining engines and powerplant components.
(c) Each operating engine must—
(1) For helicopters for which the use of 30-minute OEI power is requested, be at 30-minute OEI power for 30 minutes, and then at maximum continuous power (or at full throttle when above the critical altitude);
(2) For helicopters for which the use of continuous OEI power is requested, be at continuous OEI power (or at full throttle when above the critical altitude); and
(3) For other rotorcraft, be at maximum continuous power (or at full throttle when above the critical altitude).
(d) After temperatures have stabilized in flight, the climb must be—
(1) Begun from an altitude not greater than the lower of—
(i) 1,000 feet below the engine critcal altitude; and
(ii) 1,000 feet below the maximum altitude at which the rate of climb is 150 f.p.m; and
(2) Continued for at least five minutes after the occurrence of the highest temperature recorded, or until the rotorcraft reaches the maximum altitude for which certification is requested.
(e) For category B rotorcraft without a positive rate of climb, the descent must begin at the all-engine-critical altitude and end at the higher of—
(1) The maximum altitude at which level flight can be maintained with one engine operative; and
(2) Sea level.
(f) The climb or descent must be conducted at an airspeed representing a normal operational practice for the configuration being tested. However, if the cooling provisions are sensitive to rotorcraft speed, the most critical airspeed must be used, but need not exceed the speeds established under § 29.67(a)(2) or § 29.67(b). The climb cooling test may be conducted in conjunction with the takeoff cooling test of § 29.1047.
(a) Category A. For each category A rotorcraft, cooling must be shown during takeoff and subsequent climb as follows:
(1) Each temperature must be stabilized while hovering in ground effect with—
(i) The power necessary for hovering;
(ii) The appropriate cowl flap and shutter settings; and
(iii) The maximum weight.
(2) After the temperatures have stabilized, a climb must be started at the lowest practicable altitude and must be conducted with one engine inoperative.
(3) The operating engines must be at the greatest power for which approval is sought (or at full throttle when above the critical altitude) for the same period as this power is used in determining the takeoff climbout path under § 29.59.
(4) At the end of the time interval prescribed in paragraph (b)(3) of this section, the power must be changed to that used in meeting § 29.67(a)(2) and the climb must be continued for—
(i) Thirty minutes, if 30-minute OEI power is used; or
(ii) At least 5 minutes after the occurrence of the highest temperature recorded, if continuous OEI power or maximum continuous power is used.
(5) The speeds must be those used in determining the takeoff flight path under § 29.59.
(b) Category B. For each category B rotorcraft, cooling must be shown during takeoff and subsequent climb as follows:
(1) Each temperature must be stabilized while hovering in ground effect with—
(i) The power necessary for hovering;
(ii) The appropriate cowl flap and shutter settings; and
(iii) The maximum weight.
(2) After the temperatures have stabilized, a climb must be started at the lowest practicable altitude with takeoff power.
(3) Takeoff power must be used for the same time interval as takeoff power is used in determining the takeoff flight path under § 29.63.
(4) At the end of the time interval prescribed in paragraph (a)(3) of this section, the power must be reduced to maximum continuous power and the climb must be continued for at least five minutes after the occurance of the highest temperature recorded.
(5) The cooling test must be conducted at an airspeed corresponding to normal operating practice for the configuration being tested. However, if the cooling provisions are sensitive to rotorcraft speed, the most critical airspeed must be used, but need not exceed the speed for best rate of climb with maximum continuous power.
The hovering cooling provisions must be shown—
(a) At maximum weight or at the greatest weight at which the rotorcraft can hover (if less), at sea level, with the power required to hover but not more than maximum continuous power, in the ground effect in still air, until at least five minutes after the occurrence of the highest temperature recorded; and
(b) With maximum continuous power, maximum weight, and at the altitude resulting in zero rate of climb for this configuration, until at least five minutes after the occurrence of the highest temperature recorded.
(a) The air induction system for each engine and auxiliary power unit must supply the air required by that engine and auxiliary power unit under the operating conditions for which certification is requested.
(b) Each engine and auxiliary power unit air induction system must provide air for proper fuel metering and mixture distribution with the induction system valves in any position.
(c) No air intake may open within the engine accessory section or within other areas of any powerplant compartment where emergence of backfire flame would constitute a fire hazard.
(d) Each reciprocating engine must have an alternate air source.
(e) Each alternate air intake must be located to prevent the entrance of rain, ice, or other foreign matter.
(f) For turbine engine powered rotorcraft and rotorcraft incorporating auxiliary power units—
(1) There must be means to prevent hazardous quantities of fuel leakage or overflow from drains, vents, or other components of flammable fluid systems from entering the engine or auxiliary power unit intake system; and
(2) The air inlet ducts must be located or protected so as to minimize the ingestion of foreign matter during takeoff, landing, and taxiing.
(a) Reciprocating engines. Each reciprocating engine air induction system must have means to prevent and eliminate icing. Unless this is done by other means, it must be shown that, in air free of visible moisture at a temperature of 30 °F., and with the engines at 60 percent of maximum continuous power—
(1) Each rotorcraft with sea level engines using conventional venturi carburetors has a preheater that can provide a heat rise of 90 °F.;
(2) Each rotorcraft with sea level engines using carburetors tending to prevent icing has a preheater that can provide a heat rise of 70 °F.;
(3) Each rotorcraft with altitude engines using conventional venturi carburetors has a preheater that can provide a heat rise of 120 °F.; and
(4) Each rotorcraft with altitude engines using carburetors tending to prevent icing has a preheater that can provide a heat rise of 100 °F.
(b) Turbine engines. (1) It must be shown that each turbine engine and its air inlet system can operate throughout the flight power range of the engine (including idling)—
(i) Without accumulating ice on engine or inlet system components that would adversely affect engine operation or cause a serious loss of power under the icing conditions specified in appendix C of this Part; and
(ii) In snow, both falling and blowing, without adverse effect on engine operation, within the limitations established for the rotorcraft.
(2) Each turbine engine must idle for 30 minutes on the ground, with the air bleed available for engine icing protection at its critical condition, without adverse effect, in an atmosphere that is at a temperature between 15° and 30 °F (between −9° and −1 °C) and has a liquid water content not less than 0.3 grams per cubic meter in the form of drops having a mean effective diameter not less than 20 microns, followed by momentary operation at takeoff power or thrust. During the 30 minutes of idle operation, the engine may be run up periodically to a moderate power or thrust setting in a manner acceptable to the Administrator.
(c) Supercharged reciprocating engines. For each engine having a supercharger to pressurize the air before it enters the carburetor, the heat rise in the air caused by that supercharging at any altitude may be utilized in determining compliance with paragraph (a) of this section if the heat rise utilized is that which will be available, automatically, for the applicable altitude and operation condition because of supercharging.
Each carburetor air preheater must be designed and constructed to—
(a) Ensure ventilation of the preheater when the engine is operated in cold air;
(b) Allow inspection of the exhaust manifold parts that it surrounds; and
(c) Allow inspection of critical parts of the preheater itself.
(a) Each induction system duct upstream of the first stage of the engine supercharger and of the auxiliary power unit compressor must have a drain to prevent the hazardous accumulation of fuel and moisture in the ground attitude. No drain may discharge where it might cause a fire hazard.
(b) Each duct must be strong enough to prevent induction system failure from normal backfire conditions.
(c) Each duct connected to components between which relative motion could exist must have means for flexibility.
(d) Each duct within any fire zone for which a fire-extinguishing system is required must be at least—
(1) Fireproof, if it passes through any firewall; or
(2) Fire resistant, for other ducts, except that ducts for auxiliary power units must be fireproof within the auxiliary power unit fire zone.
(e) Each auxiliary power unit induction system duct must be fireproof for a sufficient distance upstream of the auxiliary power unit compartment to prevent hot gas reverse flow from burning through auxiliary power unit ducts and entering any other compartment or area of the rotorcraft in which a hazard would be created resulting from the entry of hot gases. The materials used to form the remainder of the induction system duct and plenum chamber of the auxiliary power unit must be capable of resisting the maximum heat conditions likely to occur.
(f) Each auxiliary power unit induction system duct must be constructed of materials that will not absorb or trap hazardous quantities of flammable fluids that could be ignited in the event of a surge or reverse flow condition.
If induction system screens are used—
(a) Each screen must be upstream of the carburetor;
(b) No screen may be in any part of the induction system that is the only passage through which air can reach the engine, unless it can be deiced by heated air;
(c) No screen may be deiced by alcohol alone; and
(d) It must be impossible for fuel to strike any screen.
Each inter-cooler and after-cooler must be able to withstand the vibration, inertia, and air pressure loads to which it would be subjected in operation.
It must be shown under § 29.1043 that each installation using two-stage superchargers has means to maintain the air temperature, at the carburetor inlet, at or below the maximum established value.
For powerplant and auxiliary power unit installations the following apply:
(a) Each exhaust system must ensure safe disposal of exhaust gases without fire hazard or carbon monoxide contamination in any personnel compartment.
(b) Each exhaust system part with a surface hot enough to ignite flammable fluids or vapors must be located or shielded so that leakage from any system carrying flammable fluids or vapors will not result in a fire caused by impingement of the fluids or vapors on any part of the exhaust system including shields for the exhaust system.
(c) Each component upon which hot exhaust gases could impinge, or that could be subjected to high temperatures from exhaust system parts, must be fireproof. Each exhaust system component must be separated by a fireproof shield from adjacent parts of the rotorcraft that are outside the engine and auxiliary power unit compartments.
(d) No exhaust gases may discharge so as to cause a fire hazard with respect to any flammable fluid vent or drain.
(e) No exhaust gases may discharge where they will cause a glare seriously affecting pilot vision at night.
(f) Each exhaust system component must be ventilated to prevent points of excessively high temperature.
(g) Each exhaust shroud must be ventilated or insulated to avoid, during normal operation, a temperature high enough to ignite any flammable fluids or vapors outside the shroud.
(h) If significant traps exist, each turbine engine exhaust system must have drains discharging clear of the rotorcraft, in any normal ground and flight attitudes, to prevent fuel accumulation after the failure of an attempted engine start.
(a) Exhaust piping must be heat and corrosion resistant, and must have provisions to prevent failure due to expansion by operating temperatures.
(b) Exhaust piping must be supported to withstand any vibration and inertia loads to which it would be subjected in operation.
(c) Exhaust piping connected to components between which relative motion could exist must have provisions for flexibility.
For reciprocating engine powered rotorcraft the following apply:
(a) Each exhaust heat exchanger must be constructed and installed to withstand the vibration, inertia, and other loads to which it would be subjected in operation. In addition—
(1) Each exchanger must be suitable for continued operation at high temperatures and resistant to corrosion from exhaust gases;
(2) There must be means for inspecting the critical parts of each exchanger;
(3) Each exchanger must have cooling provisions wherever it is subject to contact with exhaust gases; and
(4) No exhaust heat exchanger or muff may have stagnant areas or liquid traps that would increase the probability of ignition of flammable fluids or vapors that might be present in case of the failure or malfunction of components carrying flammable fluids.
(b) If an exhaust heat exchanger is used for heating ventilating air used by personnel—
(1) There must be a secondary heat exchanger between the primary exhaust gas heat exchanger and the ventilating air system; or
(2) Other means must be used to prevent harmful contamination of the ventilating air.
(a) Powerplant controls must be located and arranged under § 29.777 and marked under § 29.1555.
(b) Each control must be located so that it cannot be inadvertently operated by persons entering, leaving, or moving normally in the cockpit.
(c) Each flexible powerplant control must be approved.
(d) Each control must be able to maintain any set position without—
(1) Constant attention; or
(2) Tendency to creep due to control loads or vibration.
(e) Each control must be able to withstand operating loads without excessive deflection.
(f) Controls of powerplant valves required for safety must have—
(1) For manual valves, positive stops or in the case of fuel valves suitable index provisions, in the open and closed position; and
(2) For power-assisted valves, a means to indicate to the flight crew when the valve—
(i) Is in the fully open or fully closed position; or
(ii) Is moving between the fully open and fully closed position.
Means must be provided on the flight deck for starting, stopping, and emergency shutdown of each installed auxiliary power unit.
(a) There must be a separate power control for each engine.
(b) Power controls must be arranged to allow ready synchronization of all engines by—
(1) Separate control of each engine; and
(2) Simultaneous control of all engines.
(c) Each power control must provide a positive and immediately responsive means of controlling its engine.
(d) Each fluid injection control other than fuel system control must be in the corresponding power control. However, the injection system pump may have a separate control.
(e) If a power control incorporates a fuel shutoff feature, the control must have a means to prevent the inadvertent movement of the control into the shutoff position. The means must—
(1) Have a positive lock or stop at the idle position; and
(2) Require a separate and distinct operation to place the control in the shutoff position.
(f) For rotorcraft to be certificated for a 30-second OEI power rating, a means must be provided to automatically activate and control the 30-second OEI power and prevent any engine from exceeding the installed engine limits associated with the 30-second OEI power rating approved for the rotorcraft.
(a) Ignition switches must control each ignition circuit on each engine.
(b) There must be means to quickly shut off all ignition by the grouping of switches or by a master ignition control.
(c) Each group of ignition switches, except ignition switches for turbine engines for which continuous ignition is not required, and each master ignition control must have a means to prevent its inadvertent operation.
(a) If there are mixture controls, each engine must have a separate control, and the controls must be arranged to allow—
(1) Separate control of each engine; and
(2) Simultaneous control of all engines.
(b) Each intermediate position of the mixture controls that corresponds to a normal operating setting must be identifiable by feel and sight.
(a) It must be impossible to apply the rotor brake inadvertently in flight.
(b) There must be means to warn the crew if the rotor brake has not been completely released before takeoff.
There must be a separate carburetor air temperature control for each engine.
Each supercharger control must be accessible to—
(a) The pilots; or
(b) (If there is a separate flight engineer station with a control panel) the flight engineer.
(a) Each engine mounted accessory must—
(1) Be approved for mounting on the engine involved;
(2) Use the provisions on the engine for mounting; and
(3) Be sealed in such a way as to prevent contamination of the engine oil system and the accessory system.
(b) Electrical equipment subject to arcing or sparking must be installed, to minimize the probability of igniting flammable fluids or vapors.
(c) If continued rotation of an engine-driven cabin supercharger or any remote accessory driven by the engine will be a hazard if they malfunction, there must be means to prevent their hazardous rotation without interfering with the continued operation of the engine.
(d) Unless other means are provided, torque limiting means must be provided for accessory drives located on any component of the transmission and rotor drive system to prevent damage to these components from excessive accessory load.
(a) Each battery ignition system must be supplemented with a generator that is automatically available as an alternate source of electrical energy to allow continued engine operation if any battery becomes depleted.
(b) The capacity of batteries and generators must be large enough to meet the simultaneous demands of the engine ignition system and the greatest demands of any electrical system components that draw from the same source.
(c) The design of the engine ignition system must account for—
(1) The condition of an inoperative generator;
(2) The condition of a completely depleted battery with the generator running at its normal operating speed; and
(3) The condition of a completely depleted battery with the generator operating at idling speed, if there is only one battery.
(d) Magneto ground wiring (for separate ignition circuits) that lies on the engine side of any firewall must be installed, located, or protected, to minimize the probability of the simultaneous failure of two or more wires as a result of mechanical damage, electrical fault, or other cause.
(e) No ground wire for any engine may be routed through a fire zone of another engine unless each part of that wire within that zone is fireproof.
(f) Each ignition system must be independent of any electrical circuit that is not used for assisting, controlling, or analyzing the operation of that system.
(g) There must be means to warn appropriate crewmembers if the malfunctioning of any part of the electrical system is causing the continuous discharge of any battery necessary for engine ignition.
(a) Designated fire zones are—
(1) The engine power section of reciprocating engines;
(2) The engine accessory section of reciprocating engines;
(3) Any complete powerplant compartment in which there is no isolation between the engine power section and the engine accessory section, for reciprocating engines;
(4) Any auxiliary power unit compartment;
(5) Any fuel-burning heater and other combustion equipment installation described in § 29.859;
(6) The compressor and accessory sections of turbine engines; and
(7) The combustor, turbine, and tailpipe sections of turbine engine installations except sections that do not contain lines and components carrying flammable fluids or gases and are isolated from the designated fire zone prescribed in paragraph (a)(6) of this section by a firewall that meets § 29.1191.
(b) Each designated fire zone must meet the requirements of §§ 29.1183 through 29.1203.
(a) Except as provided in paragraph (b) of this section, each line, fitting, and other component carrying flammable fluid in any area subject to engine fire conditions and each component which conveys or contains flammable fluid in a designated fire zone must be fire resistant, except that flammable fluid tanks and supports in a designated fire zone must be fireproof or be enclosed by a fireproof shield unless damage by fire to any non-fireproof part will not cause leakage or spillage of flammable fluid. Components must be shielded or located so as to safeguard against the ignition of leaking flammable fluid. An integral oil sump of less than 25-quart capacity on a reciprocating engine need not be fireproof nor be enclosed by a fireproof shield.
(b) Paragraph (a) of this section does not apply to—
(1) Lines, fittings, and components which are already approved as part of a type certificated engine; and
(2) Vent and drain lines, and their fittings, whose failure will not result in or add to, a fire hazard.
(a) No tank or reservoir that is part of a system containing flammable fluids or gases may be in a designated fire zone unless the fluid contained, the design of the system, the materials used in the tank and its supports, the shutoff means, and the connections, lines, and controls provide a degree of safety equal to that which would exist if the tank or reservoir were outside such a zone.
(b) Each fuel tank must be isolated from the engines by a firewall or shroud.
(c) There must be at least one-half inch of clear airspace between each tank or reservoir and each firewall or shroud isolating a designated fire zone, unless equivalent means are used to prevent heat transfer from the fire zone to the flammable fluid.
(d) Absorbent material close to flammable fluid system components that might leak must be covered or treated to prevent the absorption of hazardous quantities of fluids.
(a) There must be complete drainage of each part of each designated fire zone to minimize the hazards resulting from failure or malfunction of any component containing flammable fluids. The drainage means must be—
(1) Effective under conditions expected to prevail when drainage is needed; and
(2) Arranged so that no discharged fluid will cause an additional fire hazard.
(b) Each designated fire zone must be ventilated to prevent the accumulation of flammable vapors.
(c) No ventilation opening may be where it would allow the entry of flammable fluids, vapors, or flame from other zones.
(d) Ventilation means must be arranged so that no discharged vapors will cause an additional fire hazard.
(e) For category A rotorcraft, there must be means to allow the crew to shut off the sources of forced ventilation in any fire zone (other than the engine power section of the powerplant compartment) unless the amount of extinguishing agent and the rate of discharge are based on the maximum airflow through that zone.
(a) There must be means to shut off or otherwise prevent hazardous quantities of fuel, oil, de-icing fluid, and other flammable fluids from flowing into, within, or through any designated fire zone, except that this means need not be provided—
(1) For lines, fittings, and components forming an integral part of an engine;
(2) For oil systems for turbine engine installations in which all components of the system, including oil tanks, are fireproof or located in areas not subject to engine fire conditions; or
(3) For engine oil systems in category B rotorcraft using reciprocating engines of less than 500 cubic inches displacement.
(b) The closing of any fuel shutoff valve for any engine may not make fuel unavailable to the remaining engines.
(c) For category A rotorcraft, no hazardous quantity of flammable fluid may drain into any designated fire zone after shutoff has been accomplished, nor may the closing of any fuel shutoff valve for an engine make fuel unavailable to the remaining engines.
(d) The operation of any shutoff may not interfere with the later emergency operation of any other equipment, such as the means for declutching the engine from the rotor drive.
(e) Each shutoff valve and its control must be designed, located, and protected to function properly under any condition likely to result from fire in a designated fire zone.
(f) Except for ground-use-only auxiliary power unit installations, there must be means to prevent inadvertent operation of each shutoff and to make it possible to reopen it in flight after it has been closed.
(a) Each engine, including the combustor, turbine, and tailpipe sections of turbine engine installations, must be isolated by a firewall, shroud, or equivalent means, from personnel compartments, structures, controls, rotor mechanisms, and other parts that are—
(1) Essential to controlled flight and landing; and
(2) Not protected under § 29.861.
(b) Each auxiliary power unit, combustion heater, and other combustion equipment to be used in flight, must be isolated from the rest of the rotorcraft by firewalls, shrouds, or equivalent means.
(c) Each firewall or shroud must be constructed so that no hazardous quantity of air, fluid, or flame can pass from any engine compartment to other parts of the rotorcraft.
(d) Each opening in the firewall or shroud must be sealed with close-fitting fireproof grommets, bushings, or firewall fittings.
(e) Each firewall and shroud must be fireproof and protected against corrosion.
(f) In meeting this section, account must be taken of the probable path of a fire as affected by the airflow in normal flight and in autorotation.
(a) Each cowling and engine compartment covering must be constructed and supported so that it can resist the vibration, inertia, and air loads to which it may be subjected in operation.
(b) Cowling must meet the drainage and ventilation requirements of § 29.1187.
(c) On rotorcraft with a diaphragm isolating the engine power section from the engine accessory section, each part of the accessory section cowling subject to flame in case of fire in the engine power section of the powerplant must—
(1) Be fireproof; and
(2) Meet the requirements of § 29.1191.
(d) Each part of the cowling or engine compartment covering subject to high temperatures due to its nearness to exhaust system parts or exhaust gas impingement must be fireproof.
(e) Each rotorcraft must—
(1) Be designated and constructed so that no fire originating in any fire zone can enter, either through openings or by burning through external skin, any other zone or region where it would create additional hazards;
(2) Meet the requirements of paragraph (e)(1) of this section with the landing gear retracted (if applicable); and
(3) Have fireproof skin in areas subject to flame if a fire starts in or burns out of any designated fire zone.
(f) A means of retention for each openable or readily removable panel, cowling, or engine or rotor drive system covering must be provided to preclude hazardous damage to rotors or critical control components in the event of—
(1) Structural or mechanical failure of the normal retention means, unless such failure is extremely improbable; or
(2) Fire in a fire zone, if such fire could adversely affect the normal means of retention.
All surfaces aft of, and near, engine compartments and designated fire zones, other than tail surfaces not subject to heat, flames, or sparks emanating from a designated fire zone or engine compartment, must be at least fire resistant.
(a) Each turbine engine powered rotorcraft and Category A reciprocating engine powered rotorcraft, and each Category B reciprocating engine powered rotorcraft with engines of more than 1,500 cubic inches must have a fire extinguishing system for the designated fire zones. The fire extinguishing system for a powerplant must be able to simultaneously protect all zones of the powerplant compartment for which protection is provided.
(b) For multiengine powered rotorcraft, the fire extinguishing system, the quantity of extinguishing agent, and the rate of discharge must—
(1) For each auxiliary power unit and combustion equipment, provide at least one adequate discharge; and
(2) For each other designated fire zone, provide two adequate discharges.
(c) For single engine rotorcraft, the quantity of extinguishing agent and the rate of discharge must provide at least one adequate discharge for the engine compartment.
(d) It must be shown by either actual or simulated flight tests that under critical airflow conditions in flight the discharge of the extinguishing agent in each designated fire zone will provide an agent concentration capable of extinguishing fires in that zone and of minimizing the probability of reignition.
(a) Fire extinguishing agents must—
(1) Be capable of extinguishing flames emanating from any burning of fluids or other combustible materials in the area protected by the fire extinguishing system; and
(2) Have thermal stability over the temperature range likely to be experienced in the compartment in which they are stored.
(b) If any toxic extinguishing agent is used, it must be shown by test that entry of harmful concentrations of fluid or fluid vapors into any personnel compartment (due to leakage during normal operation of the rotorcraft, or discharge on the ground or in flight) is prevented, even though a defect may exist in the extinguishing system.
(a) Each extinguishing agent container must have a pressure relief to prevent bursting of the container by excessive internal pressures.
(b) The discharge end of each discharge line from a pressure relief connection must be located so that discharge of the fire extinguishing agent would not damage the rotorcraft. The line must also be located or protected to prevent clogging caused by ice or other foreign matter.
(c) There must be a means for each fire extinguishing agent container to indicate that the container has discharged or that the charging pressure is below the established minimum necessary for proper functioning.
(d) The temperature of each container must be maintained, under intended operating conditions, to prevent the pressure in the container from—
(1) Falling below that necessary to provide an adequate rate of discharge; or
(2) Rising high enough to cause premature discharge.
(a) No materials in any fire extinguishing system may react chemically with any extinguishing agent so as to create a hazard.
(b) Each system component in an engine compartment must be fireproof.
(a) For each turbine engine powered rotorcraft and Category A reciprocating engine powered rotorcraft, and for each Category B reciprocating engine powered rotorcraft with engines of more than 900 cubic inches displacement, there must be approved, quick-acting fire detectors in designated fire zones and in the combustor, turbine, and tailpipe sections of turbine installations (whether or not such sections are designated fire zones) in numbers and locations ensuring prompt detection of fire in those zones.
(b) Each fire detector must be constructed and installed to withstand any vibration, inertia, and other loads to which it would be subjected in operation.
(c) No fire detector may be affected by any oil, water, other fluids, or fumes that might be present.
(d) There must be means to allow crewmembers to check, in flight, the functioning of each fire detector system electrical circuit.
(e) The writing and other components of each fire detector system in an engine compartment must be at least fire resistant.
(f) No fire detector system component for any fire zone may pass through another fire zone, unless—
(1) It is protected against the possibility of false warnings resulting from fires in zones through which it passes; or
(2) The zones involved are simultaneously protected by the same detector and extinguishing systems.
Each item of installed equipment must—
(a) Be of a kind and design appropriate to its intended function;
(b) Be labeled as to its identification, function, or operating limitations, or any applicable combination of these factors;
(c) Be installed according to limitations specified for that equipment; and
(d) Function properly when installed.
The following are required flight and navigational instruments:
(a) An airspeed indicator. For Category A rotorcraft with V
(b) A sensitive altimeter.
(c) A magnetic direction indicator.
(d) A clock displaying hours, minutes, and seconds with a sweep-second pointer or digital presentation.
(e) A free-air temperature indicator.
(f) A non-tumbling gyroscopic bank and pitch indicator.
(g) A gyroscopic rate-of-turn indicator combined with an integral slip-skid indicator (turn-and-bank indicator) except that only a slip-skid indicator is required on rotorcraft with a third attitude instrument system that—
(1) Is usable through flight attitudes of ±80 degrees of pitch and ±120 degrees of roll;
(2) Is powered from a source independent of the electrical generating system;
(3) Continues reliable operation for a minimum of 30 minutes after total failure of the electrical generating system;
(4) Operates independently of any other attitude indicating system;
(5) Is operative without selection after total failure of the electrical generating system;
(6) Is located on the instrument panel in a position acceptable to the Administrator that will make it plainly visible to and useable by any pilot at his station; and
(7) Is appropriately lighted during all phases of operation.
(h) A gyroscopic direction indicator.
(i) A rate-of-climb (vertical speed) indicator.
(j) For Category A rotorcraft, a speed warning device when V
The following are required powerplant instruments:
(a) For each rotorcraft—
(1) A carburetor air temperature indicator for each reciprocating engine;
(2) A cylinder head temperature indicator for each air-cooled reciprocating engine, and a coolant temperature indicator for each liquid-cooled reciprocating engine;
(3) A fuel quantity indicator for each fuel tank;
(4) A low fuel warning device for each fuel tank which feeds an engine. This device must—
(i) Provide a warning to the crew when approximately 10 minutes of usable fuel remains in the tank; and
(ii) Be independent of the normal fuel quantity indicating system.
(5) A means to indicate manifold pressure for each altitude engine;
(6) An oil pressure indicator for each pressure-lubricated gearbox.
(7) An oil pressure warning device for each pressure-lubricated gearbox to indicate when the oil pressure falls below a safe value;
(8) An oil quantity indicator for each oil tank and each rotor drive gearbox, if lubricant is self-contained;
(9) An oil temperature indicator for each engine;
(10) An oil temperature warning device to indicate unsafe oil temperatures in each main rotor drive gearbox, including gearboxes necessary for rotor phasing;
(11) A means to indicate the gas temperature for each turbine engine;
(12) A means to indicate the gas producer speed for each turbine engine;
(13) A tachometer for each engine that, if combined with the applicable instrument required by paragraph (a)(14) of this section, indicates rotor r.p.m. during autorotation.
(14) At least one tachometer to indicate, as applicable—
(i) The r.p.m. of the single main rotor;
(ii) The common r.p.m. of any main rotors whose speeds cannot vary appreciably with respect to each other; and
(iii) The r.p.m. of each main rotor whose speed can vary appreciably with respect to that of another main rotor;
(15) A free power turbine tachometer for each turbine engine;
(16) A means, for each turbine engine, to indicate power for that engine;
(17) For each turbine engine, an indicator to indicate the functioning of the powerplant ice protection system;
(18) An indicator for the filter required by § 29.997 to indicate the occurrence of contamination of the filter to the degree established in compliance with § 29.955;
(19) For each turbine engine, a warning means for the oil strainer or filter required by § 29.1019, if it has no bypass, to warn the pilot of the occurrence of contamination of the strainer or filter before it reaches the capacity established in accordance with § 29.1019(a)(2);
(20) An indicator to indicate the functioning of any selectable or controllable heater used to prevent ice clogging of fuel system components;
(21) An individual fuel pressure indicator for each engine, unless the fuel system which supplies that engine does not employ any pumps, filters, or other components subject to degradation or failure which may adversely affect fuel pressure at the engine;
(22) A means to indicate to the flightcrew the failure of any fuel pump installed to show compliance with § 29.955;
(23) Warning or caution devices to signal to the flightcrew when ferromagnetic particles are detected by the chip detector required by § 29.1337(e); and
(24) For auxiliary power units, an individual indicator, warning or caution device, or other means to advise the flightcrew that limits are being exceeded, if exceeding these limits can be hazardous, for—
(i) Gas temperature;
(ii) Oil pressure; and
(iii) Rotor speed.
(25) For rotorcraft for which a 30-second/2-minute OEI power rating is requested, a means must be provided to alert the pilot when the engine is at the 30-second and 2-minute OEI power levels, when the event begins, and when the time interval expires.
(26) For each turbine engine utilizing 30-second/2-minute OEI power, a device or system must be provided for use by ground personnel which—
(i) Automatically records each usage and duration of power at the 30-second and 2-minute OEI levels;
(ii) Permits retrieval of the recorded data;
(iii) Can be reset only by ground maintenance personnel; and
(iv) Has a means to verify proper operation of the system or device.
(b) For category A rotorcraft—
(1) An individual oil pressure indicator for each engine, and either an independent warning device for each engine or a master warning device for the engines with means for isolating the individual warning circuit from the master warning device;
(2) An independent fuel pressure warning device for each engine or a master warning device for all engines with provision for isolating the individual warning device from the master warning device; and
(3) Fire warning indicators.
(4) For each Category A rotorcraft for which OEI Training Mode is requested, a means must be provided to indicate to the pilot the simulation of an engine failure, the annunciation of that simulation, and a representation of the OEI power being provided.
(c) For category B rotorcraft—
(1) An individual oil pressure indicator for each engine; and
(2) Fire warning indicators, when fire detection is required.
The following is required miscellaneous equipment:
(a) An approved seat for each occupant.
(b) A master switch arrangement for electrical circuits other than ignition.
(c) Hand fire extinguishers.
(d) A windshield wiper or equivalent device for each pilot station.
(e) A two-way radio communication system.
The equipment, systems, and installations whose functioning is required by this subchapter must be designed and installed to ensure that they perform their intended functions under any foreseeable operating condition. For any item of equipment or system whose failure has not been specifically addressed by another requirement in this chapter, the following requirements also apply:
(a) The design of each item of equipment, system, and installation must be analyzed separately and in relation to other rotorcraft systems and installations to determine and identify any failure that would affect the capability of the rotorcraft or the ability of the crew to perform their duties in all operating conditions.
(b) Each item of equipment, system, and installation must be designed and installed so that:
(1) The occurrence of any catastrophic failure condition is extremely improbable;
(2) The occurrence of any major failure condition is no more than improbable; and
(3) For the occurrence of any other failure condition in between major and catastrophic, the probability of the failure condition must be inversely proportional to its consequences.
(c) A means to alert the crew in the event of a failure must be provided when an unsafe system operating condition exists and to enable them to take corrective action. Systems, controls, and associated monitoring and crew alerting means must be designed to minimize crew errors that could create additional hazards.
(d) Compliance with the requirements of this section must be shown by analysis and, where necessary, by ground, flight, or simulator tests. The analysis must account for:
(1) Possible modes of failure, including malfunctions and misleading data and input from external sources;
(2) The effect of multiple failures and latent failures;
(3) The resulting effects on the rotorcraft and occupants, considering the stage of flight and operating conditions; and
(4) The crew alerting cues and the corrective action required.
(a) Each electrical and electronic system that performs a function, for which failure would prevent the continued safe flight and landing of the rotorcraft, must be designed and installed so that—
(1) The function is not adversely affected during and after the time the rotorcraft is exposed to lightning; and
(2) The system automatically recovers normal operation of that function in a timely manner after the rotorcraft is exposed to lightning.
(b) Each electrical and electronic system that performs a function, for which failure would reduce the capability of the rotorcraft or the ability of the flightcrew to respond to an adverse operating condition, must be designed and installed so that the function recovers normal operation in a timely manner after the rotorcraft is exposed to lightning.
(a) Except as provided in paragraph (d) of this section, each electrical and electronic system that performs a function whose failure would prevent the continued safe flight and landing of the rotorcraft must be designed and installed so that—
(1) The function is not adversely affected during and after the time the rotorcraft is exposed to HIRF environment I, as described in appendix E to this part;
(2) The system automatically recovers normal operation of that function, in a timely manner, after the rotorcraft is exposed to HIRF environment I, as described in appendix E to this part, unless this conflicts with other operational or functional requirements of that system;
(3) The system is not adversely affected during and after the time the rotorcraft is exposed to HIRF environment II, as described in appendix E to this part; and
(4) Each function required during operation under visual flight rules is not adversely affected during and after the time the rotorcraft is exposed to HIRF environment III, as described in appendix E to this part.
(b) Each electrical and electronic system that performs a function whose failure would significantly reduce the capability of the rotorcraft or the ability of the flightcrew to respond to an adverse operating condition must be designed and installed so the system is not adversely affected when the equipment providing these functions is exposed to equipment HIRF test level 1 or 2, as described in appendix E to this part.
(c) Each electrical and electronic system that performs such a function whose failure would reduce the capability of the rotorcraft or the ability of the flightcrew to respond to an adverse operating condition must be designed and installed so the system is not adversely affected when the equipment providing these functions is exposed to equipment HIRF test level 3, as described in appendix E to this part.
(d) Before December 1, 2012, an electrical or electronic system that performs a function whose failure would prevent the continued safe flight and landing of a rotorcraft may be designed and installed without meeting the provisions of paragraph (a) provided—
(1) The system has previously been shown to comply with special conditions for HIRF, prescribed under § 21.16, issued before December 1, 2007;
(2) The HIRF immunity characteristics of the system have not changed since compliance with the special conditions was demonstrated; and
(3) The data used to demonstrate compliance with the special conditions is provided.
(a) Each flight, navigation, and powerplant instrument for use by any pilot must be easily visible to him from his station with the minimum practicable deviation from his normal position and line of vision when he is looking forward along the flight path.
(b) Each instrument necessary for safe operation, including the airspeed indicator, gyroscopic direction indicator, gyroscopic bank-and-pitch indicator, slip-skid indicator, altimeter, rate-of-climb indicator, rotor tachometers, and the indicator most representative of engine power, must be grouped and centered as nearly as practicable about the vertical plane of the pilot's forward vision. In addition, for rotorcraft approved for IFR flight—
(1) The instrument that most effectively indicates attitude must be on the panel in the top center position;
(2) The instrument that most effectively indicates direction of flight must be adjacent to and directly below the attitude instrument;
(3) The instrument that most effectively indicates airspeed must be adjacent to and to the left of the attitude instrument; and
(4) The instrument that most effectively indicates altitude or is most frequently utilized in control of altitude must be adjacent to and to the right of the attitude instrument.
(c) Other required powerplant instruments must be closely grouped on the instrument panel.
(d) Identical powerplant instruments for the engines must be located so as to prevent any confusion as to which engine each instrument relates.
(e) Each powerplant instrument vital to safe operation must be plainly visible to appropriate crewmembers.
(f) Instrument panel vibration may not damage, or impair the readability or accuracy of, any instrument.
(g) If a visual indicator is provided to indicate malfunction of an instrument, it must be effective under all probable cockpit lighting conditions.
If warning, caution or advisory lights are installed in the cockpit they must, unless otherwise approved by the Administrator, be—
(a) Red, for warning lights (lights indicating a hazard which may require immediate corrective action);
(b) Amber, for caution lights (lights indicating the possible need for future corrective action);
(c) Green, for safe operation lights; and
(d) Any other color, including white, for lights not described in paragraphs (a) through (c) of this section, provided the color differs sufficiently from the colors prescribed in paragraphs (a) through (c) of this section to avoid possible confusion.
For each airspeed indicating system, the following apply:
(a) Each airspeed indicating instrument must be calibrated to indicate true airspeed (at sea level with a standard atmosphere) with a minimum practicable instrument calibration error when the corresponding pitot and static pressures are applied.
(b) Each system must be calibrated to determine system error excluding airspeed instrument error. This calibration must be determined—
(1) In level flight at speeds of 20 knots and greater, and over an appropriate range of speeds for flight conditions of climb and autorotation; and
(2) During takeoff, with repeatable and readable indications that ensure—
(i) Consistent realization of the field lengths specified in the Rotorcraft Flight Manual; and
(ii) Avoidance of the critical areas of the height-velocity envelope as established under § 29.87.
(c) For Category A rotorcraft—
(1) The indication must allow consistent definition of the takeoff decision point; and
(2) The system error, excluding the airspeed instrument calibration error, may not exceed—
(i) Three percent or 5 knots, whichever is greater, in level flight at speeds above 80 percent of takeoff safety speed; and
(ii) Ten knots in climb at speeds from 10 knots below takeoff safety speed to 10 knots above V
(d) For Category B rotorcraft, the system error, excluding the airspeed instrument calibration error, may not exceed 3 percent or 5 knots, whichever is greater, in level flight at speeds above 80 percent of the climbout speed attained at 50 feet when complying with § 29.63.
(e) Each system must be arranged, so far as practicable, to prevent malfunction or serious error due to the entry of moisture, dirt, or other substances.
(f) Each system must have a heated pitot tube or an equivalent means of preventing malfunction due to icing.
(a) Each instrument with static air case connections must be vented to the outside atmosphere through an appropriate piping system.
(b) Each vent must be located where its orifices are least affected by airflow variation, moisture, or foreign matter.
(c) Each static pressure port must be designed and located in such manner that the correlation between air pressure in the static pressure system and true ambient atmospheric static pressure is not altered when the rotorcraft encounters icing conditions. An anti-icing means or an alternate source of static pressure may be used in showing compliance with this requirement. If the reading of the altimeter, when on the alternate static pressure system, differs from the reading of altimeter when on the primary static system by more than 50 feet, a correction card must be provided for the alternate static system.
(d) Except for the vent into the atmosphere, each system must be airtight.
(e) Each pressure altimeter must be approved and calibrated to indicate pressure altitude in a standard atmosphere with a minimum practicable calibration error when the corresponding static pressures are applied.
(f) Each system must be designed and installed so that an error in indicated pressure altitude, at sea level, with a standard atmosphere, excluding instrument calibration error, does not result in an error of more than ±30 feet per 100 knots speed. However, the error need not be less than ±30 feet.
(g) Except as provided in paragraph (h) of this section, if the static pressure system incorporates both a primary and an alternate static pressure source, the means for selecting one or the other source must be designed so that—
(1) When either source is selected, the other is blocked off; and
(2) Both sources cannot be blocked off simultaneously.
(h) For unpressurized rotorcraft, paragraph (g)(1) of this section does not apply if it can be demonstrated that the static pressure system calibration, when either static pressure source is selected, is not changed by the other static pressure source being open or blocked.
(a) Each magnetic direction indicator must be installed so that its accuracy is not excessively affected by the rotorcraft's vibration or magnetic fields.
(b) The compensated installation may not have a deviation, in level flight, greater than 10 degrees on any heading.
For the purpose of this subpart, an automatic pilot and flight guidance system may consist of an autopilot, flight director, or a component that interacts with stability augmentation or trim.
(a) Each automatic pilot and flight guidance system must be designed so that it:
(1) Can be overpowered by one pilot to allow control of the rotorcraft;
(2) Provides a means to disengage the system, or any malfunctioning component of the system, by each pilot to prevent it from interfering with the control of the rotorcraft; and
(3) Provides a means to indicate to the flight crew its current mode of operation. Selector switch position is not acceptable as a means of indication.
(b) Unless there is automatic synchronization, each system must have a means to readily indicate to the pilot the alignment of the actuating device in relation to the control system it operates.
(c) Each manually operated control for the system's operation must be readily accessible to the pilots.
(d) The system must be designed so that, within the range of adjustment available to the pilot, it cannot produce hazardous loads on the rotorcraft, or create hazardous deviations in the flight path, under any flight condition appropriate to its use or in the event of a malfunction, assuming that corrective action begins within a reasonable period of time.
(e) If the automatic pilot and flight guidance system integrates signals from auxiliary controls or furnishes signals for operation of other equipment, there must be a means to prevent improper operation.
(f) If the automatic pilot system can be coupled to airborne navigation equipment, means must be provided to indicate to the pilots the current mode of operation. Selector switch position is not acceptable as a means of indication.
For category A rotorcraft—
(a) Each required flight instrument using a power supply must have—
(1) Two independent sources of power;
(2) A means of selecting either power source; and
(3) A visual means integral with each instrument to indicate when the power adequate to sustain proper instrument performance is not being supplied. The power must be measured at or near the point where it enters the instrument. For electrical instruments, the power is considered to be adequate when the voltage is within the approved limits; and
(b) The installation and power supply system must be such that failure of any flight instrument connected to one source, or of the energy supply from one source, or a fault in any part of the power distribution system does not interfere with the proper supply of energy from any other source.
For systems that operate the required flight instruments which are located at each pilot's station, the following apply:
(a) For pneumatic systems, only the required flight instruments for the first pilot may be connected to that operating system.
(b) The equipment, systems, and installations must be designed so that one display of the information essential to the safety of flight which is provided by the flight instruments remains available to a pilot, without additional crewmember action, after any single failure or combination of failures that are not shown to be extremely improbable.
(c) Additional instruments, systems, or equipment may not be connected to the operating system for a second pilot unless provisions are made to ensure the continued normal functioning of the required flight instruments in the event of any malfunction of the additional instruments, systems, or equipment which is not shown to be extremely improbable.
(a) Instruments and instrument lines. (1) Each powerplant and auxiliary power unit instrument line must meet the requirements of §§ 29.993 and 29.1183.
(2) Each line carrying flammable fluids under pressure must—
(i) Have restricting orifices or other safety devices at the source of pressure to prevent the escape of excessive fluid if the line fails; and
(ii) Be installed and located so that the escape of fluids would not create a hazard.
(3) Each powerplant and auxiliary power unit instrument that utilizes flammable fluids must be installed and located so that the escape of fluid would not create a hazard.
(b) Fuel quantity indicator. There must be means to indicate to the flight crew members the quantity, in gallons or equivalent units, of usable fuel in each tank during flight. In addition—
(1) Each fuel quantity indicator must be calibrated to read “zero” during level flight when the quantity of fuel remaining in the tank is equal to the unusable fuel supply determined under § 29.959;
(2) When two or more tanks are closely interconnected by a gravity feed system and vented, and when it is impossible to feed from each tank separately, at least one fuel quantity indicator must be installed;
(3) Tanks with interconnected outlets and airspaces may be treated as one tank and need not have separate indicators; and
(4) Each exposed sight gauge used as a fuel quantity indicator must be protected against damage.
(c) Fuel flowmeter system. If a fuel flowmeter system is installed, each metering component must have a means for bypassing the fuel supply if malfunction of that component severely restricts fuel flow.
(d) Oil quantity indicator. There must be a stick gauge or equivalent means to indicate the quantity of oil—
(1) In each tank; and
(2) In each transmission gearbox.
(e) Rotor drive system transmissions and gearboxes utilizing ferromagnetic materials must be equipped with chip detectors designed to indicate the presence of ferromagnetic particles resulting from damage or excessive wear within the transmission or gearbox. Each chip detector must—
(1) Be designed to provide a signal to the indicator required by § 29.1305(a)(22); and
(2) Be provided with a means to allow crewmembers to check, in flight, the function of each detector electrical circuit and signal.
(a) Electrical system capacity. The required generating capacity and the number and kind of power sources must—
(1) Be determined by an electrical load analysis; and
(2) Meet the requirements of § 29.1309.
(b) Generating system. The generating system includes electrical power sources, main power busses, transmission cables, and associated control, regulation, and protective devices. It must be designed so that—
(1) Power sources function properly when independent and when connected in combination;
(2) No failure or malfunction of any power source can create a hazard or impair the ability of remaining sources to supply essential loads;
(3) The system voltage and frequency (as applicable) at the terminals of essential load equipment can be maintained within the limits for which the equipment is designed, during any probable operating condition;
(4) System transients due to switching, fault clearing, or other causes do not make essential loads inoperative, and do not cause a smoke or fire hazard;
(5) There are means accessible in flight to appropriate crewmembers for the individual and collective disconnection of the electrical power sources from the main bus; and
(6) There are means to indicate to appropriate crewmembers the generating system quantities essential for the safe operation of the system, such as the voltage and current supplied by each generator.
(c) External power. If provisions are made for connecting external power to the rotorcraft, and that external power can be electrically connected to equipment other than that used for engine starting, means must be provided to ensure that no external power supply having a reverse polarity, or a reverse phase sequence, can supply power to the rotorcraft's electrical system.
(d) Operation with the normal electrical power generating system inoperative.
(1) It must be shown by analysis, tests, or both, that the rotorcraft can be operated safely in VFR conditions for a period of not less than 5 minutes, with the normal electrical power generating system (electrical power sources excluding the battery) inoperative, with critical type fuel (from the standpoint of flameout and restart capability), and with the rotorcraft initially at the maximum certificated altitude. Parts of the electrical system may remain on if—
(i) A single malfunction, including a wire bundle or junction box fire, cannot result in loss of the part turned off and the part turned on;
(ii) The parts turned on are electrically and mechanically isolated from the parts turned off; and
(2) Additional requirements for Category A Rotorcraft.
(i) Unless it can be shown that the loss of the normal electrical power generating system is extremely improbable, an emergency electrical power system, independent of the normal electrical power generating system, must be provided, with sufficient capacity to power all systems necessary for continued safe flight and landing.
(ii) Failures, including junction box, control panel, or wire bundle fires, which would result in the loss of the normal and emergency systems, must be shown to be extremely improbable.
(iii) Systems necessary for immediate safety must continue to operate following the loss of the normal electrical power generating system, without the need for flight crew action.
(e) Electrical equipment, controls, and wiring must be installed so that operation of any one unit or system of units will not adversely affect the simultaneous operation of any other electrical unit or system essential to safe operation.
(f) Cables must be grouped, routed, and spaced so that damage to essential circuits will be minimized if there are faults in heavy current-carrying cables.
Energy storage systems must be designed and installed as follows:
(a) Energy storage systems must provide automatic protective features for any conditions that could prevent continued safe flight and landing.
(b) Energy storage systems must not emit any flammable, explosive, or toxic gases, smoke, or fluids that could accumulate in hazardous quantities within the rotorcraft.
(c) Corrosive fluids or gases that escape from the system must not damage surrounding structures, adjacent equipment, or systems necessary for continued safe flight and landing.
(d) The maximum amount of heat and pressure that can be generated during any operation or under any failure condition of the energy storage system or its individual components must not result in any hazardous effect on rotorcraft structure, equipment, or systems necessary for continued safe flight and landing.
(e) Energy storage system installations required for continued safe flight and landing of the rotorcraft must have monitoring features and a means to indicate to the pilot the status of all critical system parameters.
(a) The distribution system includes the distribution busses, their associated feeders, and each control and protective device.
(b) If two independent sources of electrical power for particular equipment or systems are required by this chapter, in the event of the failure of one power source for such equipment or system, another power source (including its separate feeder) must be provided automatically or be manually selectable to maintain equipment or system operation.
(a) Automatic protective devices must be used to minimize distress to the electrical system and hazard to the rotorcraft system and hazard to the rotorcraft in the event of wiring faults or serious malfunction of the system or connected equipment.
(b) The protective and control devices in the generating system must be designed to de-energize and disconnect faulty power sources and power transmission equipment from their associated buses with sufficient rapidity to provide protection from hazardous overvoltage and other malfunctioning.
(c) Each resettable circuit protective device must be designed so that, when an overload or circuit fault exists, it will open the circuit regardless of the position of the operating control.
(d) If the ability to reset a circuit breaker or replace a fuse is essential to safety in flight, that circuit breaker or fuse must be located and identified so that it can be readily reset or replaced in flight.
(e) Each essential load must have individual circuit protection. However, individual protection for each circuit in an essential load system (such as each position light circuit in a system) is not required.
(f) If fuses are used, there must be spare fuses for use in flight equal to at least 50 percent of the number of fuses of each rating required for complete circuit protection.
(g) Automatic reset circuit breakers may be used as integral protectors for electrical equipment provided there is circuit protection for the cable supplying power to the equipment.
(a) Components of the electrical system must meet the applicable fire and smoke protection provisions of §§ 29.831 and 29.863.
(b) Electrical cables, terminals, and equipment, in designated fire zones, and that are used in emergency procedures, must be at least fire resistant.
(c) Insulation on electrical wire and cable installed in the rotorcraft must be self-extinguishing when tested in accordance with Appendix F, Part I(a)(3), of part 25 of this chapter.
(a) When laboratory tests of the electrical system are conducted—
(1) The tests must be performed on a mock-up using the same generating equipment used in the rotorcraft;
(2) The equipment must simulate the electrical characteristics of the distribution wiring and connected loads to the extent necessary for valid test results; and
(3) Laboratory generator drives must simulate the prime movers on the rotorcraft with respect to their reaction to generator loading, including loading due to faults.
(b) For each flight condition that cannot be simulated adequately in the laboratory or by ground tests on the rotorcraft, flight tests must be made.
The instrument lights must—
(a) Make each instrument, switch, and other device for which they are provided easily readable; and
(b) Be installed so that—
(1) Their direct rays are shielded from the pilot's eyes; and
(2) No objectionable reflections are visible to the pilot.
(a) Each required landing or hovering light must be approved.
(b) Each landing light must be installed so that—
(1) No objectionable glare is visible to the pilot;
(2) The pilot is not adversely affected by halation; and
(3) It provides enough light for night operation, including hovering and landing.
(c) At least one separate switch must be provided, as applicable—
(1) For each separately installed landing light; and
(2) For each group of landing lights installed at a common location.
(a) General. Each part of each position light system must meet the applicable requirements of this section and each system as a whole must meet the requirements of §§ 29.1387 through 29.1397.
(b) Forward position lights. Forward position lights must consist of a red and a green light spaced laterally as far apart as practicable and installed forward on the rotorcraft so that, with the rotorcraft in the normal flying position, the red light is on the left side, and the green light is on the right side. Each light must be approved.
(c) Rear position light. The rear position light must be a white light mounted as far aft as practicable, and must be approved.
(d) Circuit. The two forward position lights and the rear position light must make a single circuit.
(e) Light covers and color filters. Each light cover or color filter must be at least flame resistant and may not change color or shape or lose any appreciable light transmission during normal use.
(a) Except as provided in paragraph (e) of this section, each forward and rear position light must, as installed, show unbroken light within the dihedral angles described in this section.
(b) Dihedral angle L (left) is formed by two intersecting vertical planes, the first parallel to the longitudinal axis of the rotorcraft, and the other at 110 degrees to the left of the first, as viewed when looking forward along the longitudinal axis.
(c) Dihedral angle R (right) is formed by two intersecting vertical planes, the first parallel to the longitudinal axis of the rotorcraft, and the other at 110 degrees to the right of the first, as viewed when looking forward along the longitudinal axis.
(d) Dihedral angle A (aft) is formed by two intersecting vertical planes making angles of 70 degrees to the right and to the left, respectively, to a vertical plane passing through the longitudinal axis, as viewed when looking aft along the longitudinal axis.
(e) If the rear position light, when mounted as far aft as practicable in accordance with § 29.1385(c), cannot show unbroken light within dihedral angle A (as defined in paragraph (d) of this section), a solid angle or angles of obstructed visibility totaling not more than 0.04 steradians is allowable within that dihedral angle, if such solid angle is within a cone whose apex is at the rear position light and whose elements make an angle of 30° with a vertical line passing through the rear position light.
(a) General. The intensities prescribed in this section must be provided by new equipment with light covers and color filters in place. Intensities must be determined with the light source operating at a steady value equal to the average luminous output of the source at the normal operating voltage of the rotorcraft. The light distribution and intensity of each position light must meet the requirements of paragraph (b) of this section.
(b) Forward and rear position lights. The light distribution and intensities of forward and rear position lights must be expressed in terms of minimum intensities in the horizontal plane, minimum intensities in any vertical plane, and maximum intensities in overlapping beams, within dihedral angles, L, R, and A, and must meet the following requirements:
(1) Intensities in the horizontal plane. Each intensity in the horizontal plane (the plane containing the longitudinal axis of the rotorcraft and perpendicular to the plane of symmetry of the rotorcraft), must equal or exceed the values in § 29.1391.
(2) Intensities in any vertical plane. Each intensity in any vertical plane (the plane perpendicular to the horizontal plane) must equal or exceed the appropriate value in § 29.1393 where I is the minimum intensity prescribed in § 29.1391 for the corresponding angles in the horizontal plane.
(3) Intensities in overlaps between adjacent signals. No intensity in any overlap between adjacent signals may exceed the values in § 29.1395, except that higher intensities in overlaps may be used with the use of main beam intensities substantially greater than the minima specified in §§ 29.1391 and 29.1393 if the overlap intensities in relation to the main beam intensities do not adversely affect signal clarity.
Each position light intensity must equal or exceed the applicable values in the following table:
| Dihedral angle (light included) | Angle from right or left of longitudinal axis, measured from dead ahead | Intensity (candles) |
|---|---|---|
| 0° to 10°
10° to 20° 20° to 110° | 40
30 5 | |
| 110° to 180° | 20 |
Each position light intensity must equal or exceed the applicable values in the following table:
| Angle above or below the horizontal plane | Intensity, |
|---|---|
| 0° | 1.00 |
| 0° to 5° | .90 |
| 5° to 10° | .80 |
| 10° to 15° | .70 |
| 15° to 20° | .50 |
| 20° to 30° | .30 |
| 30° to 40° | .10 |
| 40° to 90° | .05 |
No position light intensity may exceed the applicable values in the following table, except as provided in § 29.1389(b)(3).
| Overlaps | Maximum intensity | |
|---|---|---|
| Area A (candles) | Area B (candles) | |
| Green in dihedral angle | 10 | 1 |
| Red in dihedral angle | 10 | 1 |
| Green in dihedral angle | 5 | 1 |
| Red in dihedral angle | 5 | 1 |
| Rear white in dihedral angle | 5 | 1 |
| Rear white in dihedral angle | 5 | 1 |
(a) Area A includes all directions in the adjacent dihedral angle that pass through the light source and intersect the common boundary plane at more than 10 degrees but less than 20 degrees; and
(b) Area B includes all directions in the adjacent dihedral angle that pass through the light source and intersect the common boundary plane at more than 20 degrees.
Each position light color must have the applicable International Commission on Illumination chromaticity coordinates as follows:
(a) Aviation red—
y is not greater than 0.335; and
z is not greater than 0.002.
(b) Aviation green—
x is not greater than 0.440−0.320y;
x is not greater than y−0.170; and
y is not less than 0.390−0.170x.
(c) Aviation white—
x is not less than 0.300 and not greater than 0.540;
y is not less than x−0.040 or y
y is not greater than x + 0.020 nor 0.636−0.400x;
Where Y
(a) Each riding light required for water operation must be installed so that it can—
(1) Show a white light for at least two miles at night under clear atmospheric conditions; and
(2) Show a maximum practicable unbroken light with the rotorcraft on the water.
(b) Externally hung lights may be used.
(a) General. If certification for night operation is requested, the rotorcraft must have an anticollision light system that—
(1) Consists of one or more approved anticollision lights located so that their emitted light will not impair the crew's vision or detract from the conspicuity of the position lights; and
(2) Meets the requirements of paragraphs (b) through (f) of this section.
(b) Field of coverage. The system must consist of enough lights to illuminate the vital areas around the rotorcraft, considering the physical configuration and flight characteristics of the rotorcraft. The field of coverage must extend in each direction within at least 30 degrees above and 30 degrees below the horizontal plane of the rotorcraft, except that there may be solid angles of obstructed visibility totaling not more than 0.5 steradians.
(c) Flashing characteristics. The arrangement of the system, that is, the number of light sources, beam width, speed of rotation, and other characteristics, must give an effective flash frequency of not less than 40, nor more than 100, cycles per minute. The effective flash frequency is the frequency at which the rotorcraft's complete anticollision light system is observed from a distance, and applies to each sector of light including any overlaps that exist when the system consists of more than one light source. In overlaps, flash frequencies may exceed 100, but not 180, cycles per minute.
(d) Color. Each anticollision light must be aviation red and must meet the applicable requirements of § 29.1397.
(e) Light intensity. The minimum light intensities in any vertical plane, measured with the red filter (if used) and expressed in terms of “effective” intensities must meet the requirements of paragraph (f) of this section. The following relation must be assumed:
(f) Minimum effective intensities for anticollision light. Each anticollision light effective intensity must equal or exceed the applicable values in the following table:
| Angle above or below the horizontal plane | Effective intensity (candles) |
|---|---|
| 0° to 5° | 150 |
| 5° to 10° | 90 |
| 10° to 20° | 30 |
| 20° to 30° | 15 |
(a) Accessibility. Required safety equipment to be used by the crew in an emergency, such as automatic liferaft releases, must be readily accessible.
(b) Stowage provisions. Stowage provisions for required emergency equipment must be furnished and must—
(1) Be arranged so that the equipment is directly accessible and its location is obvious; and
(2) Protect the safety equipment from inadvertent damage.
(c) Emergency exit descent device. The stowage provisions for the emergency exit descent device required by § 29.809(f) must be at the exits for which they are intended.
(d) Liferafts. Liferafts must be stowed near exits through which the rafts can be launched during an unplanned ditching. Rafts automatically or remotely released outside the rotorcraft must be attached to the rotorcraft by the static line prescribed in § 29.1415.
(e) Long-range signaling device. The stowage provisions for the long-range signaling device required by § 29.1415 must be near an exit available during an unplanned ditching.
(f) Life preservers. Each life preserver must be within easy reach of each occupant while seated.
(a) If there are means to indicate to the passengers when safety belts should be fastened, they must be installed to be operated from either pilot seat.
(b) Each safety belt must be equipped with a metal to metal latching device.
(a) Emergency flotation and signaling equipment required by any operating rule of this chapter must meet the requirements of this section.
(b) Each liferaft and each life preserver must be approved. In addition—
(1) Provide not less than two rafts, of an approximately equal rated capacity and buoyancy to accommodate the occupants of the rotorcraft; and
(2) Each raft must have a trailing line, and must have a static line designed to hold the raft near the rotorcraft but to release it if the rotorcraft becomes totally submerged.
(c) Approved survival equipment must be attached to each liferaft.
(d) There must be an approved survival type emergency locator transmitter for use in one life raft.
(a) To obtain certification for flight into icing conditions, compliance with this section must be shown.
(b) It must be demonstrated that the rotorcraft can be safely operated in the continuous maximum and intermittent maximum icing conditions determined under appendix C of this part within the rotorcraft altitude envelope. An analysis must be performed to establish, on the basis of the rotorcraft's operational needs, the adequacy of the ice protection system for the various components of the rotorcraft.
(c) In addition to the analysis and physical evaluation prescribed in paragraph (b) of this section, the effectiveness of the ice protection system and its components must be shown by flight tests of the rotorcraft or its components in measured natural atmospheric icing conditions and by one or more of the following tests as found necessary to determine the adequacy of the ice protection system:
(1) Laboratory dry air or simulated icing tests, or a combination of both, of the components or models of the components.
(2) Flight dry air tests of the ice protection system as a whole, or its individual components.
(3) Flight tests of the rotorcraft or its components in measured simulated icing conditions.
(d) The ice protection provisions of this section are considered to be applicable primarily to the airframe. Powerplant installation requirements are contained in Subpart E of this part.
(e) A means must be identified or provided for determining the formation of ice on critical parts of the rotorcraft. Unless otherwise restricted, the means must be available for nighttime as well as daytime operation. The rotorcraft flight manual must describe the means of determining ice formation and must contain information necessary for safe operation of the rotorcraft in icing conditions.
(a) Radio communication and navigation equipment installations must be free from hazards in themselves, in their method of operation, and in their effects on other components, under any critical environmental conditions.
(b) Radio communication and navigation equipment, controls, and wiring must be installed so that operation of any one unit or system of units will not adversely affect the simultaneous operation of any other radio or electronic unit, or system of units, required by this chapter.
(a) There must be means, in addition to the normal pressure relief, to automatically relieve the pressure in the discharge lines from the vacuum air pump when the delivery temperature of the air becomes unsafe.
(b) Each vacuum air system line and fitting on the discharge side of the pump that might contain flammable vapors or fluids must meet the requirements of § 29.1183 if they are in a designated fire zone.
(c) Other vacuum air system components in designated fire zones must be at least fire resistant.
(a) Design. Each hydraulic system must be designed as follows:
(1) Each element of the hydraulic system must be designed to withstand, without detrimental, permanent deformation, any structural loads that may be imposed simultaneously with the maximum operating hydraulic loads.
(2) Each element of the hydraulic system must be designed to withstand pressures sufficiently greater than those prescribed in paragraph (b) of this section to show that the system will not rupture under service conditions.
(3) There must be means to indicate the pressure in each main hydraulic power system.
(4) There must be means to ensure that no pressure in any part of the system will exceed a safe limit above the maximum operating pressure of the system, and to prevent excessive pressures resulting from any fluid volumetric change in lines likely to remain closed long enough for such a change to take place. The possibility of detrimental transient (surge) pressures during operation must be considered.
(5) Each hydraulic line, fitting, and component must be installed and supported to prevent excessive vibration and to withstand inertia loads. Each element of the installation must be protected from abrasion, corrosion, and mechanical damage.
(6) Means for providing flexibility must be used to connect points, in a hydraulic fluid line, between which relative motion or differential vibration exists.
(b) Tests. Each element of the system must be tested to a proof pressure of 1.5 times the maximum pressure to which that element will be subjected in normal operation, without failure, malfunction, or detrimental deformation of any part of the system.
(c) Fire protection. Each hydraulic system using flammable hydraulic fluid must meet the applicable requirements of §§ 29.861, 29.1183, 29.1185, and 29.1189.
(a) If one or more cargo or baggage compartments are to be accessible in flight, protective breathing equipment must be available for an appropriate crewmember.
(b) For protective breathing equipment required by paragraph (a) of this section or by any operating rule of this chapter—
(1) That equipment must be designed to protect the crew from smoke, carbon dioxide, and other harmful gases while on flight deck duty;
(2) That equipment must include—
(i) Masks covering the eyes, nose, and mouth; or
(ii) Masks covering the nose and mouth, plus accessory equipment to protect the eyes; and
(3) That equipment must supply protective oxygen of 10 minutes duration per crewmember at a pressure altitude of 8,000 feet with a respiratory minute volume of 30 liters per minute BTPD.
(a) Each cockpit voice recorder required by the operating rules of this chapter must be approved, and must be installed so that it will record the following:
(1) Voice communications transmitted from or received in the rotorcraft by radio.
(2) Voice communications of flight crewmembers on the flight deck.
(3) Voice communications of flight crewmembers on the flight deck, using the rotorcraft's interphone system.
(4) Voice or audio signals identifying navigation or approach aids introduced into a headset or speaker.
(5) Voice communications of flight crewmembers using the passenger loudspeaker system, if there is such a system, and if the fourth channel is available in accordance with the requirements of paragraph (c)(4)(ii) of this section.
(6) If datalink communication equipment is installed, all datalink communications, using an approved data message set. Datalink messages must be recorded as the output signal from the communications unit that translates the signal into usable data.
(b) The recording requirements of paragraph (a)(2) of this section may be met—
(1) By installing a cockpit-mounted area microphone, located in the best position for recording voice communications originating at the first and second pilot stations and voice communications of other crewmembers on the flight deck when directed to those stations; or
(2) By installing a continually energized or voice-actuated lip microphone at the first and second pilot stations.
(c) Each cockpit voice recorder must be installed so that the part of the communication or audio signals specified in paragraph (a) of this section obtained from each of the following sources is recorded on a separate channel:
(1) For the first channel, from each microphone, headset, or speaker used at the first pilot station.
(2) For the second channel, from each microphone, headset, or speaker used at the second pilot station.
(3) For the third channel, from the cockpit-mounted area microphone, or the continually energized or voice-actuated lip microphones at the first and second pilot stations.
(4) For the fourth channel, from—
(i) Each microphone, headset, or speaker used at the stations for the third and fourth crewmembers; or
(ii) If the stations specified in paragraph (c)(4)(i) of this section are not required or if the signal at such a station is picked up by another channel, each microphone on the flight deck that is used with the passenger loudspeaker system if its signals are not picked up by another channel.
(iii) Each microphone on the flight deck that is used with the rotorcraft's loudspeaker system if its signals are not picked up by another channel.
(d) Each cockpit voice recorder must be installed so that—
(1)(i) It receives its electrical power from the bus that provides the maximum reliability for operation of the cockpit voice recorder without jeopardizing service to essential or emergency loads.
(ii) It remains powered for as long as possible without jeopardizing emergency operation of the rotorcraft.
(2) There is an automatic means to simultaneously stop the recorder and prevent each erasure feature from functioning, within 10 minutes after crash impact;
(3) There is an aural or visual means for preflight checking of the recorder for proper operation;
(4) Whether the cockpit voice recorder and digital flight data recorder are installed in separate boxes or in a combination unit, no single electrical failure external to the recorder may disable both the cockpit voice recorder and the digital flight data recorder; and
(5) It has an independent power source—
(i) That provides 10 ±1 minutes of electrical power to operate both the cockpit voice recorder and cockpit-mounted area microphone;
(ii) That is located as close as practicable to the cockpit voice recorder; and
(iii) To which the cockpit voice recorder and cockpit-mounted area microphone are switched automatically in the event that all other power to the cockpit voice recorder is interrupted either by normal shutdown or by any other loss of power to the electrical power bus.
(e) The record container must be located and mounted to minimize the probability of rupture of the container as a result of crash impact and consequent heat damage to the record from fire.
(f) If the cockpit voice recorder has a bulk erasure device, the installation must be designed to minimize the probability of inadvertent operation and actuation of the device during crash impact.
(g) Each recorder container must be either bright orange or bright yellow.
(h) When both a cockpit voice recorder and a flight data recorder are required by the operating rules, one combination unit may be installed, provided that all other requirements of this section and the requirements for flight data recorders under this part are met.
(a) Each flight recorder required by the operating rules of Subchapter G of this chapter must be installed so that:
(1) It is supplied with airspeed, altitude, and directional data obtained from sources that meet the accuracy requirements of §§ 29.1323, 29.1325, and 29.1327 of this part, as applicable;
(2) The vertical acceleration sensor is rigidly attached, and located longitudinally within the approved center of gravity limits of the rotorcraft;
(3)(i) It receives its electrical power from the bus that provides the maximum reliability for operation of the flight data recorder without jeopardizing service to essential or emergency loads.
(ii) It remains powered for as long as possible without jeopardizing emergency operation of the rotorcraft.
(4) There is an aural or visual means for perflight checking of the recorder for proper recording of data in the storage medium;
(5) Except for recorders powered solely by the engine-drive electrical generator system, there is an automatic means to simultaneously stop a recorder that has a data erasure feature and prevent each erasure feature from functioning, within 10 minutes after any crash impact; and
(6) Whether the cockpit voice recorder and digital flight data recorder are installed in separate boxes or in a combination unit, no single electrical failure external to the recorder may disable both the cockpit voice recorder and the digital flight data recorder.
(b) Each nonejectable recorder container must be located and mounted so as to minimize the probability of container rupture resulting from crash impact and subsequent damage to the record from fire.
(c) A correlation must be established between the flight recorder readings of airspeed, altitude, and heading and the corresponding readings (taking into account correction factors) of the first pilot's instruments. This correlation must cover the airspeed range over which the aircraft is to be operated, the range of altitude to which the aircraft is limited, and 360 degrees of heading. Correlation may be established on the ground as appropriate.
(d) Each recorder container must:
(1) Be either bright orange or bright yellow;
(2) Have a reflective tape affixed to its external surface to facilitate its location under water; and
(3) Have an underwater locating device, when required by the operating rules of this chapter, on or adjacent to the container which is secured in such a manner that it is not likely to be separated during crash impact.
(e) When both a cockpit voice recorder and a flight data recorder are required by the operating rules, one combination unit may be installed, provided that all other requirements of this section and the requirements for cockpit voice recorders under this part are met.
(a) Equipment containing high energy rotors must meet paragraph (b), (c), or (d) of this section.
(b) High energy rotors contained in equipment must be able to withstand damage caused by malfunctions, vibration, abnormal speeds, and abnormal temperatures. In addition—
(1) Auxiliary rotor cases must be able to contain damage caused by the failure of high energy rotor blades; and
(2) Equipment control devices, systems, and instrumentation must reasonably ensure that no operating limitations affecting the integrity of high energy rotors will be exceeded in service.
(c) It must be shown by test that equipment containing high energy rotors can contain any failure of a high energy rotor that occurs at the highest speed obtainable with the normal speed control devices inoperative.
(d) Equipment containing high energy rotors must be located where rotor failure will neither endanger the occupants nor adversely affect continued safe flight.
(a) Each operating limitation specified in §§ 29.1503 through 29.1525 and other limitations and information necessary for safe operation must be established.
(b) The operating limitations and other information necessary for safe operation must be made available to the crewmembers as prescribed in §§ 29.1541 through 29.1589.
(a) An operating speed range must be established.
(b) When airspeed limitations are a function of weight, weight distribution, altitude, rotor speed, power, or other factors, airspeed limitations corresponding with the critical combinations of these factors must be established.
(a) The never-exceed speed, V
(1) Not less than 40 knots (CAS); and
(2) Not more than the lesser of—
(i) 0.9 times the maximum forward speeds established under § 29.309;
(ii) 0.9 times the maximum speed shown under §§ 29.251 and 29.629; or
(iii) 0.9 times the maximum speed substantiated for advancing blade tip mach number effects under critical altitude conditions.
(b) V
(1) No more than two of these variables (or no more than two instruments integrating more than one of these variables) are used at one time; and
(2) The ranges of these variables (or of the indications on instruments integrating more than one of these variables) are large enough to allow an operationally practical and safe variation of V
(c) For helicopters, a stabilized power-off V
(1) V
(i) § 29.67(a)(3) for Category A helicopters;
(ii) § 29.65(a) for Category B helicopters, except multi-engine helicopters meeting the requirements of § 29.67(b); and
(iii) § 29.67(b) for multi-engine Category B helicopters meeting the requirements of § 29.67(b).
(2) V
(i) A constant airspeed;
(ii) A constant amount less than power-on V
(iii) A constant airspeed for a portion of the altitude range for which certification is requested, and a constant amount less than power-on V
(a) Maximum power-off (autorotation). The maximum power-off rotor speed must be established so that it does not exceed 95 percent of the lesser of—
(1) The maximum design r.p.m. determined under § 29.309(b); and
(2) The maximum r.p.m. shown during the type tests.
(b) Minimum power-off. The minimum power-off rotor speed must be established so that it is not less than 105 percent of the greater of—
(1) The minimum shown during the type tests; and
(2) The minimum determined by design substantiation.
(c) Minimum power-on. The minimum power-on rotor speed must be established so that it is—
(1) Not less than the greater of—
(i) The minimum shown during the type tests; and
(ii) The minimum determined by design substantiation; and
(2) Not more than a value determined under § 29.33 (a)(1) and (c)(1).
For Category A rotorcraft, if a range of heights exists at any speed, including zero, within which it is not possible to make a safe landing following power failure, the range of heights and its variation with forward speed must be established, together with any other pertinent information, such as the kind of landing surface.
The weight and center of gravity limitations determined under §§ 29.25 and 29.27, respectively, must be established as operating limitations.
(a) General. The powerplant limitations prescribed in this section must be established so that they do not exceed the corresponding limits for which the engines are type certificated.
(b) Takeoff operation. The powerplant takeoff operation must be limited by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value shown during the type tests;
(2) The maximum allowable manifold pressure (for reciprocating engines);
(3) The maximum allowable turbine inlet or turbine outlet gas temperature (for turbine engines);
(4) The maximum allowable power or torque for each engine, considering the power input limitations of the transmission with all engines operating;
(5) The maximum allowable power or torque for each engine considering the power input limitations of the transmission with one engine inoperative;
(6) The time limit for the use of the power corresponding to the limitations established in paragraphs (b)(1) through (5) of this section; and
(7) If the time limit established in paragraph (b)(6) of this section exceeds 2 minutes—
(i) The maximum allowable cylinder head or coolant outlet temperature (for reciprocating engines); and
(ii) The maximum allowable engine and transmission oil temperatures.
(c) Continuous operation. The continuous operation must be limited by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value shown during the type tests;
(2) The minimum rotational speed shown under the rotor speed requirements in § 29.1509(c).
(3) The maximum allowable manifold pressure (for reciprocating engines);
(4) The maximum allowable turbine inlet or turbine outlet gas temperature (for turbine engines);
(5) The maximum allowable power or torque for each engine, considering the power input limitations of the transmission with all engines operating;
(6) The maximum allowable power or torque for each engine, considering the power input limitations of the transmission with one engine inoperative; and
(7) The maximum allowable temperatures for—
(i) The cylinder head or coolant outlet (for reciprocating engines);
(ii) The engine oil; and
(iii) The transmission oil.
(d) Fuel grade or designation. The minimum fuel grade (for reciprocating engines) or fuel designation (for turbine engines) must be established so that it is not less than that required for the operation of the engines within the limitations in paragraphs (b) and (c) of this section.
(e) Ambient temperature. Ambient temperature limitations (including limitations for winterization installations if applicable) must be established as the maximum ambient atmospheric temperature at which compliance with the cooling provisions of §§ 29.1041 through 29.1049 is shown.
(f) Two and one-half minute OEI power operation. Unless otherwise authorized, the use of 2
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value shown during the type tests;
(2) The maximum allowable gas temperature;
(3) The maximum allowable torque; and
(4) The maximum allowable oil temperature.
(g) Thirty-minute OEI power operation. Unless otherwise authorized, the use of 30-minute OEI power must be limited to multiengine, turbine-powered rotorcraft for not longer than 30 minutes after failure of an engine. The use of 30-minute OEI power must also be limited by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value shown during the type tests;
(2) The maximum allowable gas temperature;
(3) The maximum allowable torque; and
(4) The maximum allowable oil temperature.
(h) Continuous OEI power operation. Unless otherwise authorized, the use of continuous OEI power must be limited to multiengine, turbine-powered rotorcraft for continued flight after failure of an engine. The use of continuous OEI power must also be limited by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value shown during the type tests.
(2) The maximum allowable gas temperature;
(3) The maximum allowable torque; and
(4) The maximum allowable oil temperature.
(i) Rated 30-second OEI power operation. Rated 30-second OEI power is permitted only on multiengine, turbine-powered rotorcraft, also certificated for the use of rated 2-minute OEI power, and can only be used for continued operation of the remaining engine(s) after a failure or precautionary shutdown of an engine. It must be shown that following application of 30-second OEI power, any damage will be readily detectable by the applicable inspections and other related procedures furnished in accordance with Section A29.4 of appendix A of this part and Section A33.4 of appendix A of part 33. The use of 30-second OEI power must be limited to not more than 30 seconds for any period in which that power is used, and by—
(1) The maximum rotational speed which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value demonstrated during the type tests;
(2) The maximum allowable gas temperature; and
(3) The maximum allowable torque.
(j) Rated 2-minute OEI power operation. Rated 2-minute OEI power is permitted only on multiengine, turbine-powered rotorcraft, also certificated for the use of rated 30-second OEI power, and can only be used for continued operation of the remaining engine(s) after a failure or precautionary shutdown of an engine. It must be shown that following application of 2-minute OEI power, any damage will be readily detectable by the applicable inspections and other related procedures furnished in accordance with Section A29.4 of appendix a of this part and Section A33.4 of appendix A of part 33. The use of 2-minute OEI power must be limited to not more than 2 minutes for any period in which that power is used, and by—
(1) The maximum rotational speed, which may not be greater than—
(i) The maximum value determined by the rotor design; or
(ii) The maximum value demonstrated during the type tests;
(2) The maximum allowable gas temperature; and
(3) The maximum allowable torque.
If an auxiliary power unit that meets the requirements of TSO-C77 is installed in the rotorcraft, the limitations established for that auxiliary power unit under the TSO including the categories of operation must be specified as operating limitations for the rotorcraft.
The minimum flight crew must be established so that it is sufficient for safe operation, considering—
(a) The workload on individual crewmembers;
(b) The accessibility and ease of operation of necessary controls by the appropriate crewmember; and
(c) The kinds of operation authorized under § 29.1525.
The kinds of operations (such as VFR, IFR, day, night, or icing) for which the rotorcraft is approved are established by demonstrated compliance with the applicable certification requirements and by the installed equipment.
The maximum altitude up to which operation is allowed, as limited by flight, structural, powerplant, functional, or equipment characteristics, must be established.
The applicant must prepare Instructions for Continued Airworthiness in accordance with appendix A to this part that are acceptable to the Administrator. The instructions may be incomplete at type certification if a program exists to ensure their completion prior to delivery of the first rotorcraft or issuance of a standard certificate of airworthiness, whichever occurs later.
(a) The rotorcraft must contain—
(1) The markings and placards specified in §§ 29.1545 through 29.1565; and
(2) Any additional information, instrument markings, and placards required for the safe operation of the rotorcraft if it has unusual design, operating or handling characteristics.
(b) Each marking and placard prescribed in paragraph (a) of this section—
(1) Must be displayed in a conspicuous place; and
(2) May not be easily erased, disfigured, or obscured.
For each instrument—
(a) When markings are on the cover glass of the instrument there must be means to maintain the correct alignment of the glass cover with the face of the dial; and
(b) Each arc and line must be wide enough, and located to be clearly visible to the pilot.
(a) Each airspeed indicator must be marked as specified in paragraph (b) of this section, with the marks located at the corresponding indicated airspeeds.
(b) The following markings must be made:
(1) A red line:
(i) For rotorcraft other than helicopters, at V
(ii) For helicopters, at V
(iii) For helicopters, at V
(2) [Reserved]
(3) For the caution range, a yellow range.
(4) For the normal operating range, a green or unmarked range.
(a) A placard meeting the requirements of this section must be installed on or near the magnetic direction indicator.
(b) The placard must show the calibration of the instrument in level flight with the engines operating.
(c) The placard must state whether the calibration was made with radio receivers on or off.
(d) Each calibration reading must be in terms of magnetic heading in not more than 45 degree increments.
For each required powerplant instrument, as appropriate to the type of instruments—
(a) Each maximum and, if applicable, minimum safe operating limit must be marked with a red line;
(b) Each normal operating range must be marked as a green or unmarked range;
(c) Each takeoff and precautionary range must be marked with a yellow range or yellow line;
(d) Each engine or rotor range that is restricted because of excessive vibration stresses must be marked with red ranges or red lines; and
(e) Each OEI limit or approved operating range must be marked to be clearly differentiated from the markings of paragraphs (a) through (d) of this section except that no marking is normally required for the 30-second OEI limit.
Each oil quantity indicator must be marked with enough increments to indicate readily and accurately the quantity of oil.
If the unusable fuel supply for any tank exceeds one gallon, or five percent of the tank capacity, whichever is greater, a red arc must be marked on its indicator extending from the calibrated zero reading to the lowest reading obtainable in level flight.
(a) Each cockpit control, other than primary flight controls or control whose function is obvious, must be plainly marked as to its function and method of operation.
(b) For powerplant fuel controls—
(1) Each fuel tank selector valve control must be marked to indicate the position corresponding to each tank and to each existing cross feed position;
(2) If safe operation requires the use of any tanks in a specific sequence, that sequence must be marked on, or adjacent to, the selector for those tanks; and
(3) Each valve control for any engine of a multiengine rotorcraft must be marked to indicate the position corresponding to each engine controlled.
(c) Usable fuel capacity must be marked as follows:
(1) For fuel systems having no selector controls, the usable fuel capacity of the system must be indicated at the fuel quantity indicator unless it is:
(i) Provided by another system or equipment readily accessible to the pilot; and
(ii) Contained in the limitations section of the rotorcraft flight manual.
(2) For fuel systems having selector controls, the usable fuel capacity available at each selector control position must be indicated near the selector control.
(d) For accessory, auxiliary, and emergency controls—
(1) Each essential visual position indicator, such as those showing rotor pitch or landing gear position, must be marked so that each crewmember can determine at any time the position of the unit to which it relates; and
(2) Each emergency control must be red and must be marked as to method of operation.
(e) For rotorcraft incorporating retractable landing gear, the maximum landing gear operating speed must be displayed in clear view of the pilot.
(a) Baggage and cargo compartments, and ballast location. Each baggage and cargo compartment, and each ballast location must have a placard stating any limitations on contents, including weight, that are necessary under the loading requirements.
(b) Seats. If the maximum allowable weight to be carried in a seat is less than 170 pounds, a placard stating the lesser weight must be permanently attached to the seat structure.
(c) Fuel and oil filler openings. The following apply:
(1) Fuel filler openings must be marked at or near the filler cover with—
(i) The word “fuel”;
(ii) For reciprocating engine powered rotorcraft, the minimum fuel grade;
(iii) For turbine-engine-powered rotorcraft, the permissible fuel designations, except that if impractical, this information may be included in the rotorcraft flight manual, and the fuel filler may be marked with an appropriate reference to the flight manual; and
(iv) For pressure fueling systems, the maximum permissible fueling supply pressure and the maximum permissible defueling pressure.
(2) Oil filler openings must be marked at or near the filler cover with the word “oil”.
(d) Emergency exit placards. Each placard and operating control for each emergency exit must differ in color from the surrounding fuselage surface as prescribed in § 29.811(f)(2). A placard must be near each emergency exit control and must clearly indicate the location of that exit and its method of operation.
There must be a placard in clear view of the pilot that specifies the kinds of operations (VFR, IFR, day, night, or icing) for which the rotorcraft is approved.
(a) Each safety equipment control to be operated by the crew in emergency, such as controls for automatic liferaft releases, must be plainly marked as to its method of operation.
(b) Each location, such as a locker or compartment, that carries any fire extinguishing, signaling, or other life saving equipment, must be so marked.
(c) Stowage provisions for required emergency equipment must be conspicuously marked to identify the contents and facilitate removal of the equipment.
(d) Each liferaft must have obviously marked operating instructions.
(e) Approved survival equipment must be marked for identification and method of operation.
Each tail rotor must be marked so that its disc is conspicuous under normal daylight ground conditions.
(a) Furnishing information. A Rotorcraft Flight Manual must be furnished with each rotorcraft, and it must contain the following:
(1) Information required by §§ 29.1583 through 29.1589.
(2) Other information that is necessary for safe operation because of design, operating, or handling characteristics.
(b) Approved information. Each part of the manual listed in §§ 29.1583 through 29.1589 that is appropriate to the rotorcraft, must be furnished, verified, and approved, and must be segregated, indentified, and clearly distinguished from each unapproved part of that manual.
(c) [Reserved]
(d) Table of contents. Each Rotorcraft Flight Manual must include a table of contents if the complexity of the manual indicates a need for it.
(a) Airspeed and rotor limitations. Information necessary for the marking of airspeed and rotor limitations on or near their respective indicators must be furnished. The significance of each limitation and of the color coding must be explained.
(b) Powerplant limitations. The following information must be furnished:
(1) Limitations required by § 29.1521.
(2) Explanation of the limitations, when appropriate.
(3) Information necessary for marking the instruments required by §§ 29.1549 through 29.1553.
(c) Weight and loading distribution. The weight and center of gravity limits required by §§ 29.25 and 29.27, respectively, must be furnished. If the variety of possible loading conditions warrants, instructions must be included to allow ready observance of the limitations.
(d) Flight crew. When a flight crew of more than one is required, the number and functions of the minimum flight crew determined under § 29.1523 must be furnished.
(e) Kinds of operation. Each kind of operation for which the rotorcraft and its equipment installations are approved must be listed.
(f) Limiting heights. Enough information must be furnished to allow compliance with § 29.1517.
(g) Maximum allowable wind. For Category A rotorcraft, the maximum allowable wind for safe operation near the ground must be furnished.
(h) Altitude. The altitude established under § 29.1527 and an explanation of the limiting factors must be furnished.
(i) Ambient temperature. Maximum and minimum ambient temperature limitations must be furnished.
(a) The parts of the manual containing operating procedures must have information concerning any normal and emergency procedures, and other information necessary for safe operation, including the applicable procedures, such as those involving minimum speeds, to be followed if an engine fails.
(b) For multiengine rotorcraft, information identifying each operating condition in which the fuel system independence prescribed in § 29.953 is necessary for safety must be furnished, together with instructions for placing the fuel system in a configuration used to show compliance with that section.
(c) For helicopters for which a V
(d) For each rotorcraft showing compliance with § 29.1353 (c)(6)(ii) or (c)(6)(iii), the operating procedures for disconnecting the battery from its charging source must be furnished.
(e) If the unusable fuel supply in any tank exceeds 5 percent of the tank capacity, or 1 gallon, whichever is greater, information must be furnished which indicates that when the fuel quantity indicator reads “zero” in level flight, any fuel remaining in the fuel tank cannot be used safely in flight.
(f) Information on the total quantity of usable fuel for each fuel tank must be furnished.
(g) For Category B rotorcraft, the airspeeds and corresponding rotor speeds for minimum rate of descent and best glide angle as prescribed in § 29.71 must be provided.
Flight manual performance information which exceeds any operating limitation may be shown only to the extent necessary for presentation clarity or to determine the effects of approved optional equipment or procedures. When data beyond operating limits are shown, the limits must be clearly indicated. The following must be provided:
(a) Category A. For each category A rotorcraft, the Rotorcraft Flight Manual must contain a summary of the performance data, including data necessary for the application of any operating rule of this chapter, together with descriptions of the conditions, such as airspeeds, under which this data was determined, and must contain—
(1) The indicated airspeeds corresponding with those determined for takeoff, and the procedures to be followed if the critical engine fails during takeoff;
(2) The airspeed calibrations;
(3) The techniques, associated airspeeds, and rates of descent for autorotative landings;
(4) The rejected takeoff distance determined under § 29.62 and the takeoff distance determined under § 29.61;
(5) The landing data determined under § 29.81 and § 29.85;
(6) The steady gradient of climb for each weight, altitude, and temperature for which takeoff data are to be scheduled, along the takeoff path determined in the flight conditions required in § 29.67(a)(1) and (a)(2):
(i) In the flight conditions required in § 29.67(a)(1) between the end of the takeoff distance and the point at which the rotorcraft is 200 feet above the takeoff surface (or 200 feet above the lowest point of the takeoff profile for elevated heliports);
(ii) In the flight conditions required in § 29.67(a)(2) between the points at which the rotorcraft is 200 and 1000 feet above the takeoff surface (or 200 and 1000 feet above the lowest point of the takeoff profile for elevated heliports); and
(7) Out-of-ground effect hover performance determined under § 29.49 and the maximum weight for each altitude and temperature condition at which the rotorcraft can safely hover out-of-ground effect in winds of not less than 17 knots from all azimuths. These data must be clearly referenced to the appropriate hover charts.
(b) Category B. For each category B rotorcraft, the Rotorcraft Flight Manual must contain—
(1) The takeoff distance and the climbout speed together with the pertinent information defining the flight path with respect to autorotative landing if an engine fails, including the calculated effects of altitude and temperature;
(2) The steady rates of climb and in-ground-effect hovering ceiling, together with the corresponding airspeeds and other pertinent information, including the calculated effects of altitude and temperature;
(3) The landing distance, appropriate airspeed, and type of landing surface, together with all pertinent information that might affect this distance, including the effects of weight, altitude, and temperature;
(4) The maximum safe wind for operation near the ground;
(5) The airspeed calibrations;
(6) The height-velocity envelope except for rotorcraft incorporating this as an operating limitation;
(7) Glide distance as a function of altitude when autorotating at the speeds and conditions for minimum rate of descent and best glide angle, as determined in § 29.71;
(8) Out-of-ground effect hover performance determined under § 29.49 and the maximum safe wind demonstrated under the ambient conditions for data presented. In addition, the maximum weight for each altitude and temperature condition at which the rotorcraft can safely hover out-of-ground-effect in winds of not less than 17 knots from all azimuths. These data must be clearly referenced to the appropriate hover charts; and
(9) Any additional performance data necessary for the application of any operating rule in this chapter.
There must be loading instructions for each possible loading condition between the maximum and minimum weights determined under § 29.25 that can result in a center of gravity beyond any extreme prescribed in § 29.27, assuming any probable occupant weights.
(a) This appendix specifies requirements for the preparation of Instructions for Continued Airworthiness as required by § 29.1529.
(b) The Instructions for Continued Airworthiness for each rotorcraft must include the Instructions for Continued Airworthiness for each engine and rotor (hereinafter designated “products”), for each appliance required by this chapter, and any required information relating to the interface of those appliances and products with the rotorcraft. If Instructions for Continued Airworthiness are not supplied by the manufacturer of an appliance or product installed in the rotorcraft, the Instructions for Continued Airworthiness for the rotorcraft must include the information essential to the continued airworthiness of the rotorcraft.
(c) The applicant must submit to the FAA a program to show how changes to the Instructions for Continued Airworthiness made by the applicant or by the manufacturers of products and appliances installed in the rotorcraft will be distributed.
(a) The Instructions for Continued Airworthiness must be in the form of a manual or manuals as appropriate for the quantity of data to be provided.
(b) The format of the manual or manuals must provide for a practical arrangement.
The contents of the manual or manuals must be prepared in the English language. The Instructions for Continued Airworthiness must contain the following manuals or sections, as appropriate, and information:
(a) Rotorcraft maintenance manual or section. (1) Introduction information that includes an explanation of the rotorcraft's features and data to the extent necessary for maintenance or preventive maintenance.
(2) A description of the rotorcraft and its systems and installations including its engines, rotors, and appliances.
(3) Basic control and operation information describing how the rotorcraft components and systems are controlled and how they operate, including any special procedures and limitations that apply.
(4) Servicing information that covers details regarding servicing points, capacities of tanks, reservoirs, types of fluids to be used, pressures applicable to the various systems, location of access panels for inspection and servicing, locations of lubrication points, the lubricants to be used, equipment required for servicing, tow instructions and limitations, mooring, jacking, and leveling information.
(b) Maintenance Instructions. (1) Scheduling information for each part of the rotorcraft and its engines, auxiliary power units, rotors, accessories, instruments, and equipment that provides the recommended periods at which they should be cleaned, inspected, adjusted, tested, and lubricated, and the degree of inspection, the applicable wear tolerances, and work recommended at these periods. However, the applicant may refer to an accessory, instrument, or equipment manufacturer as the source of this information if the applicant shows that the item has an exceptionally high degree of complexity requiring specialized maintenance techniques, test equipment, or expertise. The recommended overhaul periods and necessary cross references to the Airworthiness Limitations section of the manual must also be included. In addition, the applicant must include an inspection program that includes the frequency and extent of the inspections necessary to provide for the continued airworthiness of the rotorcraft.
(2) Troubleshooting information describing probable malfunctions, how to recognize those malfunctions, and the remedial action for those malfunctions.
(3) Information describing the order and method of removing and replacing products and parts with any necessary precautions to be taken.
(4) Other general procedural instructions including procedures for system testing during ground running, symmetry checks, weighing and determining the center of gravity, lifting and shoring, and storage limitations.
(c) Diagrams of structural access plates and information needed to gain access for inspections when access plates are not provided.
(d) Details for the application of special inspection techniques including radiographic and ultrasonic testing where such processes are specified.
(e) Information needed to apply protective treatments to the structure after inspection.
(f) All data relative to structural fasteners such as identification, discard recommendations, and torque values.
(g) A list of special tools needed.
The Instructions for Continued Airworthiness must contain a section titled Airworthiness Limitations that is segregated and clearly distinguishable from the rest of the document. This section must set forth each mandatory replacement time, structural inspection interval, and related structural inspection procedure required for type certification. If the Instructions for Continued Airworthiness consist of multiple documents, the section required by this paragraph must be included in the principal manual. This section must contain a legible statement in a prominent location that reads: “The Airworthiness Limitations section is FAA approved and specifies maintenance required under §§ 43.16 and 91.403 of the Federal Aviation Regulations unless an alternative program has been FAA approved.”
I. General. A transport category helicopter may not be type certificated for operation under the instrument flight rules (IFR) of this chapter unless it meets the design and installation requirements contained in this appendix.
II. Definitions. (a) V
(b) V
(c) V
III. Trim. It must be possible to trim the cyclic, collective, and directional control forces to zero at all approved IFR airspeeds, power settings, and configurations appropriate to the type.
IV. Static longitudinal stability. (a) General. The helicopter must possess positive static longitudinal control force stability at critical combinations of weight and center of gravity at the conditions specified in paragraphs IV (b) through (f) of this appendix. The stick force must vary with speed so that any substantial speed change results in a stick force clearly perceptible to the pilot. The airspeed must return to within 10 percent of the trim speed when the control force is slowly released for each trim condition specified in paragraphs IV (b) through (f) of this appendix.
(b) Climb. Stability must be shown in climb thoughout the speed range 20 knots either side of trim with—
(1) The helicopter trimmed at V
(2) Landing gear retracted (if retractable); and
(3) Power required for limit climb rate (at least 1,000 fpm) at V
(c) Cruise. Stability must be shown throughout the speed range from 0.7 to 1.1 V
(1) The helicopter trimmed and power adjusted for level flight at 0.9 V
(2) Landing gear retracted (if retractable).
(d) Slow cruise. Stability must be shown throughout the speed range from 0.9 V
(1) The helicopter trimmed and power adjusted for level flight at 1.1 V
(2) Landing gear retracted (if retractable).
(e) Descent. Stability must be shown throughout the speed range 20 knots either side of trim with—
(1) The helicopter trimmed at 0.8 V
(2) Power required for 1,000 fpm descent at trim speed; and
(3) Landing gear extended and retracted, if applicable.
(f) Approach. Stability must be shown throughout the speed range from 0.7 times the minimum recommended approach speed to 20 knots above the maximum recommended approach speed with—
(1) The helicopter trimmed at the recommended approach speed or speeds;
(2) Landing gear extended and retracted, if applicable; and
(3) Power required to maintain a 3° glide path and power required to maintain the steepest approach gradient for which approval is requested.
V. Static Lateral Directional Stability
(a) Static directional stability must be positive throughout the approved ranges of airspeed, power, and vertical speed. In straight and steady sideslips up to ±10° from trim, directional control position must increase without discontinuity with the angle of sideslip, except for a small range of sideslip angles around trim. At greater angles up to the maximum sideslip angle appropriate to the type, increased directional control position must produce an increased angle of sideslip. It must be possible to maintain balanced flight without exceptional pilot skill or alertness.
(b) During sideslips up to ±10° from trim throughout the approved ranges of airspeed, power, and vertical speed there must be no negative dihedral stability perceptible to the pilot through lateral control motion or force. Longitudinal cyclic movement with sideslip must not be excessive.
VI. Dynamic stability. (a) Any oscillation having a period of less than 5 seconds must damp to
(b) Any oscillation having a period of 5 seconds or more but less than 10 seconds must damp to
(c) Any oscillation having a period of 10 seconds or more but less than 20 seconds must be damped.
(d) Any oscillation having a period of 20 seconds or more may not achieve double amplitude in less than 20 seconds.
(e) Any aperiodic response may not achieve double amplitude in less than 9 seconds.
VII. Stability Augmentation System (SAS)
(a) If a SAS is used, the reliability of the SAS must be related to the effects of its failure. Any SAS failure condition that would prevent continued safe flight and landing must be extremely improbable. It must be shown that, for any failure condition of the SAS that is not shown to be extremely improbable—
(1) The helicopter is safely controllable when the failure or malfunction occurs at any speed or altitude within the approved IFR operating limitations; and
(2) The overall flight characteristics of the helicopter allow for prolonged instrument flight without undue pilot effort. Additional unrelated probable failures affecting the control system must be considered. In addition—
(i) The controllability and maneuverability requirements in Subpart B must be met throughout a practical flight envelope;
(ii) The flight control, trim, and dynamic stability characteristics must not be impaired below a level needed to allow continued safe flight and landing;
(iii) For Category A helicopters, the dynamic stability requirements of Subpart B must also be met throughout a practical flight envelope; and
(iv) The static longitudinal and static directional stability requirements of Subpart B must be met throughout a practical flight envelope.
(b) The SAS must be designed so that it cannot create a hazardous deviation in flight path or produce hazardous loads on the helicopter during normal operation or in the event of malfunction or failure, assuming corrective action begins within an appropriate period of time. Where multiple systems are installed, subsequent malfunction conditions must be considered in sequence unless their occurrence is shown to be improbable.
VIII. Equipment, systems, and installation. The basic equipment and installation must comply with §§ 29.1303, 29.1431, and 29.1433, with the following exceptions and additions:
(a) Flight and navigation instruments. (1) A magnetic gyro-stabilized direction indicator instead of the gyroscopic direction indicator required by § 29.1303(h); and
(2) A standby attitude indicator which meets the requirements of §§ 29.1303(g)(1) through (7), instead of a rate-of-turn indicator required by § 29.1303(g). If standby batteries are provided, they may be charged from the aircraft electrical system if adequate isolation is incorporated. The system must be designed so that the standby batteries may not be used for engine starting.
(b) Miscellaneous requirements. (1) Instrument systems and other systems essential for IFR flight that could be adversely affected by icing must be provided with adequate ice protection whether or not the rotorcraft is certificated for operation in icing conditions.
(2) There must be means in the generating system to automatically de-energize and disconnect from the main bus any power source developing hazardous overvoltage.
(3) Each required flight instrument using a power supply (electric, vacuum, etc.) must have a visual means integral with the instrument to indicate the adequacy of the power being supplied.
(4) When multiple systems performing like functions are required, each system must be grouped, routed, and spaced so that physical separation between systems is provided to ensure that a single malfunction will not adversely affect more than one system.
(5) For systems that operate the required flight instruments at each pilot's station—
(i) For pneumatic systems, only the required flight instruments for the first pilot may be connected to that operating system;
(ii) Additional instruments, systems, or equipment may not be connected to an operating system for a second pilot unless provisions are made to ensure the continued normal functioning of the required instruments in the event of any malfunction of the additional instruments, systems, or equipment which is not shown to be extremely improbable;
(iii) The equipment, systems, and installations must be designed so that one display of the information essential to the safety of flight which is provided by the instruments will remain available to a pilot, without additional crew-member action, after any single failure or combination of failures that is not shown to be extremely improbable; and
(iv) For single-pilot configurations, instruments which require a static source must be provided with a means of selecting an alternate source and that source must be calibrated.
(6) In determining compliance with the requirements of § 29.1351(d)(2), the supply of electrical power to all systems necessary for flight under IFR must be included in the evaluation.
(c) Thunderstorm lights. In addition to the instrument lights required by § 29.1381(a), thunderstorm lights which provide high intensity white flood lighting to the basic flight instruments must be provided. The thunderstorm lights must be installed to meet the requirements of § 29.1381(b).
IX. Rotorcraft Flight Manual. A Rotorcraft Flight Manual or Rotorcraft Flight Manual IFR Supplement must be provided and must contain—
(a) Limitations. The approved IFR flight envelope, the IFR flightcrew composition, the revised kinds of operation, and the steepest IFR precision approach gradient for which the helicopter is approved;
(b) Procedures. Required information for proper operation of IFR systems and the recommended procedures in the event of stability augmentation or electrical system failures; and
(c) Performance. If V
(a) Continuous maximum icing. The maximum continuous intensity of atmospheric icing conditions (continuous maximum icing) is defined by the variables of the cloud liquid water content, the mean effective diameter of the cloud droplets, the ambient air temperature, and the interrelationship of these three variables as shown in Figure 1 of this appendix. The limiting icing envelope in terms of altitude and temperature is given in Figure 2 of this appendix. The interrelationship of cloud liquid water content with drop diameter and altitude is determined from Figures 1 and 2. The cloud liquid water content for continuous maximum icing conditions of a horizontal extent, other than 17.4 nautical miles, is determined by the value of liquid water content of Figure 1, multiplied by the appropriate factor from Figure 3 of this appendix.
(b) Intermittent maximum icing. The intermittent maximum intensity of atmospheric icing conditions (intermittent maximum icing) is defined by the variables of the cloud liquid water content, the mean effective diameter of the cloud droplets, the ambient air temperature, and the interrelationship of these three variables as shown in Figure 4 of this appendix. The limiting icing envelope in terms of altitude and temperature is given in Figure 5 of this appendix. The interrelationship of cloud liquid water content with drop diameter and altitude is determined from Figures 4 and 5. The cloud liquid water content for intermittent maximum icing conditions of a horizontal extent, other than 2.6 nautical miles, is determined by the value of cloud liquid water content of Figure 4 multiplied by the appropriate factor in Figure 6 of this appendix.
(a) The demonstration must be conducted either during the dark of the night or during daylight with the dark of night simulated. If the demonstration is conducted indoors during daylight hours, it must be conducted inside a darkened hangar having doors and windows covered. In addition, the doors and windows of the rotorcraft must be covered if the hangar illumination exceeds that of a moonless night. Illumination on the floor or ground may be used, but it must be kept low and shielded against shining into the rotorcraft's windows or doors.
(b) The rotorcraft must be in a normal attitude with landing gear extended.
(c) Safety equipment such as mats or inverted liferafts may be placed on the floor or ground to protect participants. No other equipment that is not part of the rotorcraft's emergency evacuation equipment may be used to aid the participants in reaching the ground.
(d) Except as provided in paragraph (a) of this appendix, only the rotorcraft's emergency lighting system may provide illumination.
(e) All emergency equipment required for the planned operation of the rotorcraft must be installed.
(f) Each external door and exit and each internal door or curtain must be in the takeoff configuration.
(g) Each crewmember must be seated in the normally assigned seat for takeoff and must remain in that seat until receiving the signal for commencement of the demonstration. For compliance with this section, each crewmember must be—
(1) A member of a regularly scheduled line crew; or
(2) A person having knowledge of the operation of exits and emergency equipment.
(h) A representative passenger load of persons in normal health must be used as follows:
(1) At least 25 percent must be over 50 years of age, with at least 40 percent of these being females.
(2) The remaining, 75 percent or less, must be 50 years of age or younger, with at least 30 percent of these being females.
(3) Three life-size dolls, not included as part of the total passenger load, must be carried by passengers to simulate live infants 2 years old or younger, except for a total passenger load of fewer than 44 but more than 19, one doll must be carried. A doll is not required for a 19 or fewer passenger load.
(4) Crewmembers, mechanics, and training personnel who maintain or operate the rotorcraft in the normal course of their duties may not be used as passengers.
(i) No passenger may be assigned a specific seat except as the Administrator may require. Except as required by paragraph (1) of this appendix, no employee of the applicant may be seated next to an emergency exit, except as allowed by the Administrator.
(j) Seat belts and shoulder harnesses (as required) must be fastened.
(k) Before the start of the demonstration, approximately one-half of the total average amount of carry-on baggage, blankets, pillows, and other similar articles must be distributed at several locations in the aisles and emergency exit access ways to create minor obstructions.
(l) No prior indication may be given to any crewmember or passenger of the particular exits to be used in the demonstration.
(m) The applicant may not practice, rehearse, or describe the demonstration for the participants nor may any participant have taken part in this type of demonstration within the preceding 6 months.
(n) A pretakeoff passenger briefing may be given. The passengers may also be advised to follow directions of crewmembers, but not be instructed on the procedures to be followed in the demonstration.
(o) If safety equipment, as allowed by paragraph (c) of this appendix, is provided, either all passenger and cockpit windows must be blacked out or all emergency exits must have safety equipment to prevent disclosure of the available emergency exits.
(p) Not more than 50 percent of the emergency exits in the sides of the fuselage of a rotorcraft that meet all of the requirements applicable to the required emergency exits for that rotorcraft may be used for demonstration. Exits that are not to be used for the demonstration must have the exit handle deactivated or must be indicated by red lights, red tape, or other acceptable means placed outside the exits to indicate fire or other reasons why they are unusable. The exits to be used must be representative of all the emergency exits on the rotorcraft and must be designated by the applicant, subject to approval by the Administrator. If installed, at least one floor level exit (Type I; § 29.807(a)(1)) must be used as required by § 29.807(c).
(q) All evacuees must leave the rotorcraft by a means provided as part of the rotorcraft's equipment.
(r) Approved procedures must be fully utilized during the demonstration.
(s) The evacuation time period is completed when the last occupant has evacuated the rotorcraft and is on the ground.
This appendix specifies the HIRF environments and equipment HIRF test levels for electrical and electronic systems under § 29.1317. The field strength values for the HIRF environments and laboratory equipment HIRF test levels are expressed in root-mean-square units measured during the peak of the modulation cycle.
(a) HIRF environment I is specified in the following table:
Table I.—HIRF Environment I
| Frequency | Field strength
(volts/meter) | |
|---|---|---|
| Peak | Average | |
| 10 kHz-2 MHz | 50 | 50 |
| 2 MHz-30 MHz | 100 | 100 |
| 30 MHz-100 MHz | 50 | 50 |
| 100 MHz-400 MHz | 100 | 100 |
| 400 MHz-700 MHz | 700 | 50 |
| 700 MHz-1 GHz | 700 | 100 |
| 1 GHz-2 GHz | 2,000 | 200 |
| 2 GHz-6 GHz | 3,000 | 200 |
| 6 GHz-8 GHz | 1,000 | 200 |
| 8 GHz-12 GHz | 3,000 | 300 |
| 12 GHz-18 GHz | 2,000 | 200 |
| 18 GHz-40 GHz | 600 | 200 |
In this table, the higher field strength applies at the frequency band edges.
(b) HIRF environment II is specified in the following table:
Table II.—HIRF Environment II
| Frequency | Field strength
(volts/meter) | |
|---|---|---|
| Peak | Average | |
| 10 kHz-500 kHz | 20 | 20 |
| 500 kHz-2 MHz | 30 | 30 |
| 2 MHz-30 MHz | 100 | 100 |
| 30 MHz-100 MHz | 10 | 10 |
| 100 MHz-200 MHz | 30 | 10 |
| 200 MHz-400 MHz | 10 | 10 |
| 400 MHz-1 GHz | 700 | 40 |
| 1 GHz-2 GHz | 1,300 | 160 |
| 2 GHz-4 GHz | 3,000 | 120 |
| 4 GHz-6 GHz | 3,000 | 160 |
| 6 GHz-8 GHz | 400 | 170 |
| 8 GHz-12 GHz | 1,230 | 230 |
| 12 GHz-18 GHz | 730 | 190 |
| 18 GHz-40 GHz | 600 | 150 |
In this table, the higher field strength applies at the frequency band edges.
(c) HIRF environment III is specified in the following table:
Table III.—HIRF Environment III
| Frequency | Field strength
(volts/meter) | |
|---|---|---|
| Peak | Average | |
| 10 kHz-100 kHz | 150 | 150 |
| 100 kHz-400 MHz | 200 | 200 |
| 400 MHz-700 MHz | 730 | 200 |
| 700 MHz-1 GHz | 1,400 | 240 |
| 1 GHz-2 GHz | 5,000 | 250 |
| 2 GHz-4 GHz | 6,000 | 490 |
| 4 GHz-6 GHz | 7,200 | 400 |
| 6 GHz-8 GHz | 1,100 | 170 |
| 8 GHz-12 GHz | 5,000 | 330 |
| 12 GHz-18 GHz | 2,000 | 330 |
| 18 GHz-40 GHz | 1,000 | 420 |
In this table, the higher field strength applies at the frequency band edges.
(d) Equipment HIRF Test Level 1. (1) From 10 kilohertz (kHz) to 400 megahertz (MHz), use conducted susceptibility tests with continuous wave (CW) and 1 kHz square wave modulation with 90 percent depth or greater. The conducted susceptibility current must start at a minimum of 0.6 milliamperes (mA) at 10 kHz, increasing 20 decibel (dB) per frequency decade to a minimum of 30 mA at 500 kHz.
(2) From 500 kHz to 40 MHz, the conducted susceptibility current must be at least 30 mA.
(3) From 40 MHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 30 mA at 40 MHz, decreasing 20 dB per frequency decade to a minimum of 3 mA at 400 MHz.
(4) From 100 MHz to 400 MHz, use radiated susceptibility tests at a minimum of 20 volts per meter (V/m) peak with CW and 1 kHz square wave modulation with 90 percent depth or greater.
(5) From 400 MHz to 8 gigahertz (GHz), use radiated susceptibility tests at a minimum of 150 V/m peak with pulse modulation of 4 percent duty cycle with a 1 kHz pulse repetition frequency. This signal must be switched on and off at a rate of 1 Hz with a duty cycle of 50 percent.
(e) Equipment HIRF Test Level 2. Equipment HIRF test level 2 is HIRF environment II in table II of this appendix reduced by acceptable aircraft transfer function and attenuation curves. Testing must cover the frequency band of 10 kHz to 8 GHz.
(f) Equipment HIRF Test Level 3. (1) From 10 kHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 0.15 mA at 10 kHz, increasing 20 dB per frequency decade to a minimum of 7.5 mA at 500 kHz.
(2) From 500 kHz to 40 MHz, use conducted susceptibility tests at a minimum of 7.5 mA.
(3) From 40 MHz to 400 MHz, use conducted susceptibility tests, starting at a minimum of 7.5 mA at 40 MHz, decreasing 20 dB per frequency decade to a minimum of 0.75 mA at 400 MHz.
(4) From 100 MHz to 8 GHz, use radiated susceptibility tests at a minimum of 5 V/m.
(a) This part prescribes airworthiness standards for the issue of type certificates and changes to those certificates, for manned free balloons.
(b) Each person who applies under Part 21 for such a certificate or change must show compliance with the applicable requirements of this part.
(c) For purposes of this part—
(1) A captive gas balloon is a balloon that derives its lift from a captive lighter-than-air gas;
(2) A hot air balloon is a balloon that derives its lift from heated air;
(3) The envelope is the enclosure in which the lifting means is contained;
(4) The basket is the container, suspended beneath the envelope, for the balloon occupants;
(5) The trapeze is a harness or is a seat consisting of a horizontal bar or platform suspended beneath the envelope for the balloon occupants; and
(6) The design maximum weight is the maximum total weight of the balloon, less the lifting gas or air.
(a) Each requirement of this subpart must be met at each weight within the range of loading conditions for which certification is requested. This must be shown by—
(1) Tests upon a balloon of the type for which certification is requested or by calculations based on, and equal in accuracy to, the results of testing; and
(2) Systematic investigation of each weight if compliance cannot be reasonably inferred from the weights investigated.
(b) Except as provided in § 31.17(b), allowable weight tolerances during flight testing are + 5 percent and −10 percent.
(a) The range of weights over which the balloon may be safely operated must be established.
(b) Maximum weight. The maximum weight is the highest weight at which compliance with each applicable requirement of this part is shown. The maximum weight must be established so that it is not more than—
(1) The highest weight selected by the applicant;
(2) The design maximum weight which is the highest weight at which compliance with each applicable structural loading condition of this part is shown; or
(3) The highest weight at which compliance with each applicable flight requirement of this part is shown.
(c) The information established under paragraphs (a) and (b) of this section must be made available to the pilot in accordance with § 31.81.
The empty weight must be determined by weighing the balloon with installed equipment but without lifting gas or heater fuel.
(a) Each balloon must be capable of climbing at least 300 feet in the first minute after takeoff with a steady rate of climb. Compliance with the requirements of this section must be shown at each altitude and ambient temperature for which approval is sought.
(b) Compliance with the requirements of paragraph (a) of this section must be shown at the maximum weight with a weight tolerance of + 5 percent.
(a) The following must be determined for the most critical uncontrolled descent that can result from any single failure of the heater assembly, fuel cell system, gas value system, or maneuvering vent system, or from any single tear in the balloon envelope between tear stoppers:
(1) The maximum vertical velocity attained.
(2) The altitude loss from the point of failure to the point at which maximum vertical velocity is attained.
(3) The altitude required to achieve level flight after corrective action is inititated, with the balloon descending at the maximum vertical velocity determined in paragraph (a)(1) of this section.
(b) Procedures must be established for landing at the maximum vertical velocity determined in paragraph (a)(1) of this section and for arresting that descent rate in accordance with paragraph (a)(3) of this section.
The applicant must show that the balloon is safely controllable and maneuverable during takeoff, ascent, descent, and landing without requiring exceptional piloting skill.
Strength requirements are specified in terms of limit loads, that are the maximum load to be expected in service, and ultimate loads, that are limit loads multiplied by prescribed factors of safety. Unless otherwise specified, all prescribed loads are limit loads.
In determining limit load, the limit flight load factor must be at least 1.4.
(a) Except as specified in paragraphs (b) and (c) of this section, the factor of safety is 1.5.
(b) A factor of safety of at least five must be used in envelope design. A reduced factor of safety of at least two may be used if it is shown that the selected factor will preclude failure due to creep or instantaneous rupture from lack of rip stoppers. The selected factor must be applied to the more critical of the maximum operating pressure or envelope stress.
(c) A factor of safety of at least five must be used in the design of all fibrous or non-metallic parts of the rigging and related attachments of the envelope to basket, trapeze, or other means provided for carrying occupants. The primary attachments of the envelope to the basket, trapeze, or other means provided for carrying occupants must be designed so that failure is extremely remote or so that any single failure will not jeopardize safety of flight.
(d) In applying factors of safety, the effect of temperature, and other operating characteristics, or both, that may affect strength of the balloon must be accounted for.
(e) For design purposes, an occupant weight of at least 170 pounds must be assumed.
(a) The structure must be able to support limit loads without detrimental effect.
(b) The structure must be substantiated by test to be able to withstand the ultimate loads for at least three seconds without failure. For the envelope, a test of a representative part is acceptable, if the part tested is large enough to include critical seams, joints, and load attachment points and members.
(c) An ultimate free-fall drop test must be made of the basket, trapeze, or other place provided for occupants. The test must be made at design maximum weight on a horizontal surface, with the basket, trapeze, or other means provided for carrying occupants, striking the surface at angles of 0, 15, and 30 degrees. The weight may be distributed to simulate actual conditions. There must be no distortion or failure that is likely to cause serious injury to the occupants. A drop test height of 36 inches, or a drop test height that produces, upon impact, a velocity equal to the maximum vertical velocity determined in accordance with § 31.19, whichever is higher, must be used.
The suitability of each design detail or part that bears on safety must be established by tests or analysis.
(a) The suitability and durability of all materials must be established on the basis of experience or tests. Materials must conform to approved specifications that will ensure that they have the strength and other properties assumed in the design data.
(b) Material strength properties must be based on enough tests of material conforming to specifications so as to establish design values on a statistical basis.
The methods of fabrication used must produce a consistently sound structure. If a fabrication process requires close control to reach this objective, the process must be performed in accordance with an approved process specification.
Only approved bolts, pins, screws, and rivets may be used in the structure. Approved locking devices or methods must be used for all these bolts, pins, and screws, unless the installation is shown to be free from vibration. Self-locking nuts may not be used on bolts that are subject to rotation in service.
Each part of the balloon must be suitably protected against deterioration or loss of strength in service due to weathering, corrosion, or other causes.
There must be a means to allow close examination of each part that require repeated inspection and adjustment.
(a) A fitting factor of at least 1.15 must be used in the analysis of each fitting the strength of which is not proven by limit and ultimate load tests in which the actual stress conditions are simulated in the fitting and surrounding structure. This factor applies to all parts of the fitting, the means of attachment, and the bearing on the members joined.
(b) Each part with an integral fitting must be treated as a fitting up to the point where the section properties become typical of the member.
(c) The fitting factor need not be used if the joint design is made in accordance with approved practices and is based on comprehensive test data.
If fuel cells are used, the fuel cells, their attachments, and related supporting structure must be shown by tests to be capable of withstanding, without detrimental distortion or failure, any inertia loads to which the installation may be subjected, including the drop tests prescribed in § 31.27(c). In the tests, the fuel cells must be loaded to the weight and pressure equivalent to the full fuel quantity condition.
For pressurized fuel systems, each element and its connecting fittings and lines must be tested to an ultimate pressure of at least twice the maximum pressure to which the system will be subjected in normal operation. No part of the system may fail or malfunction during the test. The test configuration must be representative of the normal fuel system installation and balloon configuration.
(a) If a burner is used to provide the lifting means, the system must be designed and installed so as not to create a fire hazard.
(b) There must be shielding to protect parts adjacent to the burner flame, and the occupants, from heat effects.
(c) There must be controls, instruments, or other equipment essential to the safe control and operation of the heater. They must be shown to be able to perform their intended functions during normal and emergency operation.
(d) The burner system (including the burner unit, controls, fuel lines, fuel cells, regulators, control valves, and other related elements) must be substantiated by an endurance test of at least 40 hours. Each element of the system must be installed and tested to simulate actual balloon installation and use.
(1) The test program for the main blast valve operation of the burner must include:
(i) Five hours at the maximum fuel pressure for which approval is sought, with a burn time for each one minute cycle of three to ten seconds. The burn time must be established so that each burner is subjected to the maximum thermal shock for temperature affected elements;
(ii) Seven and one-half hours at an intermediate fuel pressure, with a burn time for each one minute cycle of three to ten seconds. An intermediate fuel pressure is 40 to 60 percent of the range between the maximum fuel pressure referenced in paragraph (d)(1)(i) of this section and minimum fuel pressure referenced in paragraph (d)(1)(iii);
(iii) Six hours and fifteen minutes at the minimum fuel pressure for which approval is sought, with a burn time for each one minute cycle of three to ten seconds;
(iv) Fifteen minutes of operation on vapor, with a burn time for each one minute cycle of at least 30 seconds; and
(v) Fifteen hours of normal flight operation.
(2) The test program for the secondary or backup operation of the burner must include six hours of operation with a burn time for each five minute cycle of one minute at an intermediate fuel pressure.
(e) The test must also include at least three flameouts and restarts.
(f) Each element of the system must be serviceable at the end of the test.
(a) Each control must operate easily, smoothly, and positively enough to allow proper performance of its functions. Controls must be arranged and identified to provide for convenience of operation and to prevent the possibility of confusion and subsequent inadvertent operation.
(b) Each control system and operating device must be designed and installed in a manner that will prevent jamming, chafing, or interference from passengers, cargo, or loose objects. Precaution must be taken to prevent foreign objects from jamming the controls. The elements of the control system must have design features or must be distinctly and permanently marked to minimize the possibility of incorrect assembly that could result in malfunctioning of the control system.
(c) Each balloon using a captive gas as the lifting means must have an automatic valve or appendix that is able to release gas automatically at the rate of at least three percent of the total volume per minute when the balloon is at its maximum operating pressure.
(d) Each hot air balloon must have a means to allow the controlled release of hot air during flight.
(e) Each hot air balloon must have a means to indicate the maximum envelope skin temperatures occurring during operation. The indicator must be readily visible to the pilot and marked to indicate the limiting safe temperature of the envelope material. If the markings are on the cover glass of the instrument, there must be provisions to maintain the correct alignment of the glass cover with the face of the dial.
Each captive gas balloon must have a means for the safe storage and controlled release of ballast. The ballast must consist of material that, if released during flight, is not hazardous to persons on the ground.
If a drag rope is used, the end that is released overboard must be stiffened to preclude the probability of the rope becoming entangled with trees, wires, or other objects on the ground.
There must be a means to allow emergency deflation of the envelope so as to allow a safe emergency landing. If a system other than a manual system is used, the reliability of the system used must be substantiated.
(a) If a rip cord is used for emergency deflation, it must be designed and installed to preclude entanglement.
(b) The force required to operate the rip cord may not be less than 25, or more than 75, pounds.
(c) The end of the rip cord to be operated by the pilot must be colored red.
(d) The rip cord must be long enough to allow an increase of at least 10 percent in the vertical dimension of the envelope.
(a) The trapeze, basket, or other means provided for carrying occupants may not rotate independently of the envelope.
(b) Each projecting object on the trapeze, basket, or other means provided for carrying occupants, that could cause injury to the occupants, must be padded.
Unless shown not to be necessary for safety, there must be appropriate bonding means in the design of each balloon using flammable gas as a lifting means to ensure that the effects of static discharges will not create a hazard.
(a) There must be a safety belt, harness, or other restraining means for each occupant, unless the Administrator finds it unnecessary. If installed, the belt, harness, or other restraining means and its supporting structure must meet the strength requirements of subpart C of this part.
(b) This section does not apply to balloons that incorporate a basket or gondola.
(a) If position lights are installed, there must be one steady aviation white position light and one flashing aviation red (or flashing aviation white) position light with an effective flash frequency of at least 40, but not more than 100, cycles per minute.
(b) Each light must provide 360° horizontal coverage at the intensities prescribed in this paragraph. The following light intensities must be determined with the light source operating at a steady state and with all light covers and color filters in place and at the manufacturer's rated minimum voltage. For the flashing aviation red light, the measured values must be adjusted to correspond to a red filter temperature of at least 130 °F:
(1) The intensities in the horizontal plane passing through the light unit must equal or exceed the following values:
| Position light | Minimum intensity (candles) |
|---|---|
| Steady white | 20 |
| Flashing red or white | 40 |
(2) The intensities in vertical planes must equal or exceed the following values. An intensity of one unit corresponds to the applicable horizontal plane intensity specified in paragraph (b)(1) of this section.
| Angles above and below the horizontal in any vertical plane (degrees) | Minimum intensity (units) |
|---|---|
| 0 | 1.00 |
| 0 to 5 | 0.90 |
| 5 to 10 | 0.80 |
| 10 to 15 | 0.70 |
| 15 to 20 | 0.50 |
| 20 to 30 | 0.30 |
| 30 to 40 | 0.10 |
| 40 to 60 | 0.05 |
(c) The steady white light must be located not more than 20 feet below the basket, trapeze, or other means for carrying occupants. The flashing red or white light must be located not less than 7, nor more than 10, feet below the steady white light.
(d) There must be a means to retract and store the lights.
(e) Each position light color must have the applicable International Commission on Illumination chromaticity coordinates as follows:
(1) Aviation red—
(2) Aviation white—
(a) Each item of installed equipment must—
(1) Be of a kind and design appropriate to its intended function;
(2) Be permanently and legibly marked or, if the item is too small to mark, tagged as to its identification, function, or operating limitations, or any applicable combination of those factors;
(3) Be installed according to limitations specified for that equipment; and
(4) Function properly when installed.
(b) No item of installed equipment, when performing its function, may affect the function of any other equipment so as to create an unsafe condition.
(c) The equipment, systems, and installations must be designed to prevent hazards to the balloon in the event of a probable malfunction or failure.
(a) The following information must be established:
(1) Each operating limitation, including the maximum weight determined under § 31.14.
(2) The normal and emergency procedures.
(3) Other information necessary for safe operation, including—
(i) The empty weight determined under § 31.16;
(ii) The rate of climb determined under § 31.17, and the procedures and conditions used to determine performance;
(iii) The maximum vertical velocity, the altitude drop required to attain that velocity, and altitude drop required to recover from a descent at that velocity, determined under § 31.19, and the procedures and conditions used to determine performance; and
(iv) Pertinent information peculiar to the balloon's operating characteristics.
(b) The information established in compliance with paragraph (a) of this section must be furnished by means of—
(1) A Balloon Flight Manual; or
(2) A placard on the balloon that is clearly visible to the pilot.
The applicant must prepare Instructions for Continued Airworthiness in accordance with appendix A to this part that are acceptable to the Administrator. The instructions may be incomplete at type certification if a program exists to ensure their completion prior to delivery of the first balloon or issuance of a standard certificate of airworthiness, whichever occurs later.
The exterior surface of the envelope must be of a contrasting color or colors so that it will be conspicuous during operation. However, multicolored banners or streamers are acceptable if it can be shown that they are large enough, and there are enough of them of contrasting color, to make the balloon conspicuous during flight.
In addition to any equipment required by this subchapter for a specific kind of operation, the following equipment is required:
(a) For all balloons:
(1) [Reserved]
(2) An altimeter.
(3) A rate of climb indicator.
(b) For hot air balloons:
(1) A fuel quantity gauge. If fuel cells are used, means must be incorporated to indicate to the crew the quantity of fuel in each cell during flight. The means must be calibrated in appropriate units or in percent of fuel cell capacity.
(2) An envelope temperature indicator.
(c) For captive gas balloons, a compass.
(a) This appendix specifies requirements for the preparation of Instructions for Continued Airworthiness as required by § 31.82.
(b) The Instructions for Continued Airworthiness for each balloon must include the Instructions for Continued Airworthiness for all balloon parts required by this chapter and any required information relating to the interface of those parts with the balloon. If Instructions for Continued Airworthiness are not supplied by the part manufacturer for a balloon part, the Instructions for Continued Airworthiness for the balloon must include the information essential to the continued airworthiness of the balloon.
(c) The applicant must submit to the FAA a program to show how changes to the Instructions for Continued Airworthiness made by the applicant or by the manufacturers of balloon parts will be distributed.
(a) The Instructions for Continued Airworthiness must be in the form of a manual or manuals as appropriate for the quantity of data to be provided.
(b) The format of the manual or manuals must provide for a practical arrangement.
The contents of the manual or manuals must be prepared in the English language. The Instructions for Continued Airworthiness must contain the following information:
(a) Introduction information that includes an explanation of the balloon's features and data to the extent necessary for maintenance or preventive maintenance.
(b) A description of the balloon and its systems and installations.
(c) Basic control and operation information for the balloon and its components and systems.
(d) Servicing information that covers details regarding servicing of balloon components, including burner nozzles, fuel tanks, and valves during operations.
(e) Maintenance information for each part of the balloon and its envelope, controls, rigging, basket structure, fuel systems, instruments, and heater assembly that provides the recommended periods at which they should be cleaned, adjusted, tested, and lubricated, the applicable wear tolerances, and the degree of work recommended at these periods. However, the applicant may refer to an accessory, instrument, or equipment manufacturer as the source of this information if the applicant shows that the item has an exceptionally high degree of complexity requiring specialized maintenance techniques, test equipment, or expertise. The recommended overhaul periods and necessary cross references to the Airworthiness Limitations section of the manual must also be included. In addition, the applicant must include an inspection program that includes the frequency and extent of the inspections necessary to provide for the continued airworthiness of the balloon.
(f) Troubleshooting information describing probable malfunctions, how to recognize those malfunctions, and the remedial action for those malfunctions.
(g) Details of what, and how, to inspect after a hard landing.
(h) Instructions for storage preparation including any storage limits.
(i) Instructions for repair on the balloon envelope and its basket or trapeze.
The Instructions for Continued Airworthiness must contain a section titled Airworthiness Limitations that is segregated and clearly distinguishable from the rest of the document. This section must set forth each mandatory replacement time, structural inspection interval, and related structural inspection procedure, including envelope structural integrity, required for type certification. If the Instructions for Continued Airworthiness consist of multiple documents, the section required by this paragraph must be included in the principal manual. This section must contain a legible statement in a prominent location that reads: “The Airworthiness Limitations section is FAA approved and specifies maintenance required under §§ 43.16 and 91.403 of the Federal Aviation Regulations.”
For miscellaneous amendments to cross references in this Part 33, see Amdt. 33-2, 31 FR 9211, July 6, 1966.
(a) This part prescribes airworthiness standards for the issue of type certificates and changes to those certificates, for aircraft engines.
(b) Each person who applies under part 21 for such a certificate or change must show compliance with the applicable requirements of this part and the applicable requirements of part 34 of this chapter.
Each applicant must show that the aircraft engine concerned meets the applicable requirements of this part.
The applicant must prepare Instructions for Continued Airworthiness in accordance with appendix A to this part that are acceptable to the Administrator. The instructions may be incomplete at type certification if a program exists to ensure their completion prior to delivery of the first aircraft with the engine installed, or upon issuance of a standard certificate of airworthiness for the aircraft with the engine installed, whichever occurs later.
Each applicant must prepare and make available to the Administrator prior to the issuance of the type certificate, and to the owner at the time of delivery of the engine, approved instructions for installing and operating the engine. The instructions must include at least the following:
(a) Installation instructions. (1) The location of engine mounting attachments, the method of attaching the engine to the aircraft, and the maximum allowable load for the mounting attachments and related structure.
(2) The location and description of engine connections to be attached to accessories, pipes, wires, cables, ducts, and cowling.
(3) An outline drawing of the engine including overall dimensions.
(4) A definition of the physical and functional interfaces with the aircraft and aircraft equipment, including the propeller when applicable.
(5) Where an engine system relies on components that are not part of the engine type design, the interface conditions and reliability requirements for those components upon which engine type certification is based must be specified in the engine installation instructions directly or by reference to appropriate documentation.
(6) A list of the instruments necessary for control of the engine, including the overall limits of accuracy and transient response required of such instruments for control of the operation of the engine, must also be stated so that the suitability of the instruments as installed may be assessed.
(b) Operation instructions. (1) The operating limitations established by the Administrator.
(2) The power or thrust ratings and procedures for correcting for nonstandard atmosphere.
(3) The recommended procedures, under normal and extreme ambient conditions for—
(i) Starting;
(ii) Operating on the ground; and
(iii) Operating during flight.
(4) For rotorcraft engines having one or more OEI ratings, applicants must provide data on engine performance characteristics and variability to enable the aircraft manufacturer to establish aircraft power assurance procedures.
(5) A description of the primary and all alternate modes, and any back-up system, together with any associated limitations, of the engine control system and its interface with the aircraft systems, including the propeller when applicable.
(c) Safety analysis assumptions. The assumptions of the safety analysis as described in § 33.75(d) with respect to the reliability of safety devices, instrumentation, early warning devices, maintenance checks, and similar equipment or procedures that are outside the control of the engine manufacturer.
(a) Engine ratings and operating limitations are established by the Administrator and included in the engine certificate data sheet specified in § 21.41 of this chapter, including ratings and limitations based on the operating conditions and information specified in this section, as applicable, and any other information found necessary for safe operation of the engine.
(b) For reciprocating engines, ratings and operating limitations are established relating to the following:
(1) Horsepower or torque, r.p.m., manifold pressure, and time at critical pressure altitude and sea level pressure altitude for—
(i) Rated maximum continuous power (relating to unsupercharged operation or to operation in each supercharger mode as applicable); and
(ii) Rated takeoff power (relating to unsupercharged operation or to operation in each supercharger mode as applicable).
(2) Fuel grade or specification.
(3) Oil grade or specification.
(4) Temperature of the—
(i) Cylinder;
(ii) Oil at the oil inlet; and
(iii) Turbosupercharger turbine wheel inlet gas.
(5) Pressure of—
(i) Fuel at the fuel inlet; and
(ii) Oil at the main oil gallery.
(6) Accessory drive torque and overhang moment.
(7) Component life.
(8) Turbosupercharger turbine wheel r.p.m.
(c) For turbine engines, ratings and operating limitations are established relating to the following:
(1) Horsepower, torque, or thrust, r.p.m., gas temperature, and time for—
(i) Rated maximum continuous power or thrust (augmented);
(ii) Rated maximum continuous power or thrust (unaugmented);
(iii) Rated takeoff power or thrust (augmented);
(iv) Rated takeoff power or thrust (unaugmented);
(v) Rated 30-minute OEI power;
(vi) Rated 2
(vii) Rated continuous OEI power; and
(viii) Rated 2-minute OEI Power;
(ix) Rated 30-second OEI power; and
(x) Auxiliary power unit (APU) mode of operation.
(2) Fuel designation or specification.
(3) Oil grade or specification.
(4) Hydraulic fluid specification.
(5) Temperature of—
(i) Oil at a location specified by the applicant;
(ii) Induction air at the inlet face of a supersonic engine, including steady state operation and transient over-temperature and time allowed;
(iii) Hydraulic fluid of a supersonic engine;
(iv) Fuel at a location specified by the applicant; and
(v) External surfaces of the engine, if specified by the applicant.
(6) Pressure of—
(i) Fuel at the fuel inlet;
(ii) Oil at a location specified by the applicant;
(iii) Induction air at the inlet face of a supersonic engine, including steady state operation and transient overpressure and time allowed; and
(iv) Hydraulic fluid.
(7) Accessory drive torque and overhang moment.
(8) Component life.
(9) Fuel filtration.
(10) Oil filtration.
(11) Bleed air.
(12) The number of start-stop stress cycles approved for each rotor disc and spacer.
(13) Inlet air distortion at the engine inlet.
(14) Transient rotor shaft overspeed r.p.m., and number of overspeed occurrences.
(15) Transient gas overtemperature, and number of overtemperature occurrences.
(16) Transient engine overtorque, and number of overtorque occurrences.
(17) Maximum engine overtorque for turbopropeller and turboshaft engines incorporating free power turbines.
(18) For engines to be used in supersonic aircraft, engine rotor windmilling rotational r.p.m.
(d) In determining the engine performance and operating limitations, the overall limits of accuracy of the engine control system and of the necessary instrumentation as defined in § 33.5(a)(6) must be taken into account.
(a) Requested engine power and thrust ratings must be selected by the applicant.
(b) Each selected rating must be for the lowest power or thrust that all engines of the same type may be expected to produce under the conditions used to determine that rating.
This subpart prescribes the general design and construction requirements for reciprocating and turbine aircraft engines.
The suitability and durability of materials used in the engine must—
(a) Be established on the basis of experience or tests; and
(b) Conform to approved specifications (such as industry or military specifications) that ensure their having the strength and other properties assumed in the design data.
(a) The design and construction of the engine and the materials used must minimize the probability of the occurrence and spread of fire during normal operation and failure conditions, and must minimize the effect of such a fire. In addition, the design and construction of turbine engines must minimize the probability of the occurrence of an internal fire that could result in structural failure or other hazardous effects.
(b) Except as provided in paragraph (c) of this section, each external line, fitting, and other component, which contains or conveys flammable fluid during normal engine operation, must be fire resistant or fireproof, as determined by the Administrator. Components must be shielded or located to safeguard against the ignition of leaking flammable fluid.
(c) A tank, which contains flammable fluids and any associated shut-off means and supports, which are part of and attached to the engine, must be fireproof either by construction or by protection unless damage by fire will not cause leakage or spillage of a hazardous quantity of flammable fluid. For a reciprocating engine having an integral oil sump of less than 23.7 liters capacity, the oil sump need not be fireproof or enclosed by a fireproof shield.
(d) An engine component designed, constructed, and installed to act as a firewall must be:
(1) Fireproof;
(2) Constructed so that no hazardous quantity of air, fluid or flame can pass around or through the firewall; and,
(3) Protected against corrosion;
(e) In addition to the requirements of paragraphs (a) and (b) of this section, engine control system components that are located in a designated fire zone must be fire resistant or fireproof, as determined by the Administrator.
(f) Unintentional accumulation of hazardous quantities of flammable fluid within the engine must be prevented by draining and venting.
(g) Any components, modules, or equipment, which are susceptible to or are potential sources of static discharges or electrical fault currents must be designed and constructed to be properly grounded to the engine reference, to minimize the risk of ignition in external areas where flammable fluids or vapors could be present.
(a) Engine design and construction must minimize the development of an unsafe condition of the engine between overhaul periods. The design of the compressor and turbine rotor cases must provide for the containment of damage from rotor blade failure. Energy levels and trajectories of fragments resulting from rotor blade failure that lie outside the compressor and turbine rotor cases must be defined.
(b) Each component of the propeller blade pitch control system which is a part of the engine type design must meet the requirements of §§ 35.21, 35.23, 35.42 and 35.43 of this chapter.
Engine design and construction must provide the necessary cooling under conditions in which the airplane is expected to operate.
(a) The maximum allowable limit and ultimate loads for engine mounting attachments and related engine structure must be specified.
(b) The engine mounting attachments and related engine structure must be able to withstand—
(1) The specified limit loads without permanent deformation; and
(2) The specified ultimate loads without failure, but may exhibit permanent deformation.
The engine must operate properly with the accessory drive and mounting attachments loaded. Each engine accessory drive and mounting attachment must include provisions for sealing to prevent contamination of, or unacceptable leakage from, the engine interior. A drive and mounting attachment requiring lubrication for external drive splines, or coupling by engine oil, must include provisions for sealing to prevent unacceptable loss of oil and to prevent contamination from sources outside the chamber enclosing the drive connection. The design of the engine must allow for the examination, adjustment, or removal of each accessory required for engine operation.
(a) For each fan, compressor, turbine, and turbosupercharger rotor, the applicant must establish by test, analysis, or a combination of both, that each rotor will not burst when operated in the engine for 5 minutes at whichever of the conditions defined in paragraph (b) of this section is the most critical with respect to the integrity of such a rotor.
(1) Test rotors used to demonstrate compliance with this section that do not have the most adverse combination of material properties and dimensional tolerances must be tested at conditions which have been adjusted to ensure the minimum specification rotor possesses the required overspeed capability. This can be accomplished by increasing test speed, temperature, and/or loads.
(2) When an engine test is being used to demonstrate compliance with the overspeed conditions listed in paragraph (b)(3) or (b)(4) of this section and the failure of a component or system is sudden and transient, it may not be possible to operate the engine for 5 minutes after the failure. Under these circumstances, the actual overspeed duration is acceptable if the required maximum overspeed is achieved.
(b) When determining the maximum overspeed condition applicable to each rotor in order to comply with paragraphs (a) and (c) of this section, the applicant must evaluate the following rotor speeds taking into consideration the part's operating temperatures and temperature gradients throughout the engine's operating envelope:
(1) 120 percent of the maximum permissible rotor speed associated with any of the engine ratings except one-engine-inoperative (OEI) ratings of less than 2
(2) 115 percent of the maximum permissible rotor speed associated with any OEI ratings of less than 2
(3) 105 percent of the highest rotor speed that would result from either:
(i) The failure of the component or system which, in a representative installation of the engine, is the most critical with respect to overspeed when operating at any rating condition except OEI ratings of less than 2
(ii) The failure of any component or system in a representative installation of the engine, in combination with any other failure of a component or system that would not normally be detected during a routine pre-flight check or during normal flight operation, that is the most critical with respect to overspeed, except as provided by paragraph (c) of this section, when operating at any rating condition except OEI ratings of less than 2
(4) 100 percent of the highest rotor speed that would result from the failure of the component or system which, in a representative installation of the engine, is the most critical with respect to overspeed when operating at any OEI rating of less than 2
(c) The highest overspeed that results from a complete loss of load on a turbine rotor, except as provided by paragraph (f) of this section, must be included in the overspeed conditions considered by paragraphs (b)(3)(i), (b)(3)(ii), and (b)(4) of this section, regardless of whether that overspeed results from a failure within the engine or external to the engine. The overspeed resulting from any other single failure must be considered when selecting the most limiting overspeed conditions applicable to each rotor. Overspeeds resulting from combinations of failures must also be considered unless the applicant can show that the probability of occurrence is not greater than extremely remote (probability range of 10
(d) In addition, the applicant must demonstrate that each fan, compressor, turbine, and turbosupercharger rotor complies with paragraphs (d)(1) and (d)(2) of this section for the maximum overspeed achieved when subjected to the conditions specified in paragraphs (b)(3) and (b)(4) of this section. The applicant must use the approach in paragraph (a) of this section which specifies the required test conditions.
(1) Rotor Growth must not cause the engine to:
(i) Catch fire,
(ii) Release high-energy debris through the engine casing or result in a hazardous failure of the engine casing,
(iii) Generate loads greater than those ultimate loads specified in § 33.23(a), or
(iv) Lose the capability of being shut down.
(2) Following an overspeed event and after continued operation, the rotor may not exhibit conditions such as cracking or distortion which preclude continued safe operation.
(e) The design and functioning of engine control systems, instruments, and other methods not covered under § 33.28 must ensure that the engine operating limitations that affect turbine, compressor, fan, and turbosupercharger rotor structural integrity will not be exceeded in service.
(f) Failure of a shaft section may be excluded from consideration in determining the highest overspeed that would result from a complete loss of load on a turbine rotor if the applicant:
(1) Identifies the shaft as an engine life-limited-part and complies with § 33.70.
(2) Uses material and design features that are well understood and that can be analyzed by well-established and validated stress analysis techniques.
(3) Determines, based on an assessment of the environment surrounding the shaft section, that environmental influences are unlikely to cause a shaft failure. This assessment must include complexity of design, corrosion, wear, vibration, fire, contact with adjacent components or structure, overheating, and secondary effects from other failures or combination of failures.
(4) Identifies and declares, in accordance with § 33.5, any assumptions regarding the engine installation in making the assessment described above in paragraph (f)(3) of this section.
(5) Assesses, and considers as appropriate, experience with shaft sections of similar design.
(6) Does not exclude the entire shaft.
(g) If analysis is used to meet the overspeed requirements, then the analytical tool must be validated to prior overspeed test results of a similar rotor. The tool must be validated for each material. The rotor being certified must not exceed the boundaries of the rotors being used to validate the analytical tool in terms of geometric shape, operating stress, and temperature. Validation includes the ability to accurately predict rotor dimensional growth and the burst speed. The predictions must also show that the rotor being certified does not have lower burst and growth margins than rotors used to validate the tool.
(a) Applicability. These requirements are applicable to any system or device that is part of engine type design, that controls, limits, or monitors engine operation, and is necessary for the continued airworthiness of the engine.
(b) Validation—(1) Functional aspects. The applicant must substantiate by tests, analysis, or a combination thereof, that the engine control system performs the intended functions in a manner which:
(i) Enables selected values of relevant control parameters to be maintained and the engine kept within the approved operating limits over changing atmospheric conditions in the declared flight envelope;
(ii) Complies with the operability requirements of §§ 33.51, 33.65 and 33.73, as appropriate, under all likely system inputs and allowable engine power or thrust demands, unless it can be demonstrated that failure of the control function results in a non-dispatchable condition in the intended application;
(iii) Allows modulation of engine power or thrust with adequate sensitivity over the declared range of engine operating conditions; and
(iv) Does not create unacceptable power or thrust oscillations.
(2) Environmental limits. The applicant must demonstrate, when complying with §§ 33.53 or 33.91, that the engine control system functionality will not be adversely affected by declared environmental conditions, including electromagnetic interference (EMI), High Intensity Radiated Fields (HIRF), and lightning. The limits to which the system has been qualified must be documented in the engine installation instructions.
(c) Control transitions. (1) The applicant must demonstrate that, when fault or failure results in a change from one control mode to another, from one channel to another, or from the primary system to the back-up system, the change occurs so that:
(i) The engine does not exceed any of its operating limitations;
(ii) The engine does not surge, stall, or experience unacceptable thrust or power changes or oscillations or other unacceptable characteristics; and
(iii) There is a means to alert the flight crew if the crew is required to initiate, respond to, or be aware of the control mode change. The means to alert the crew must be described in the engine installation instructions, and the crew action must be described in the engine operating instructions;
(2) The magnitude of any change in thrust or power and the associated transition time must be identified and described in the engine installation instructions and the engine operating instructions.
(d) Engine control system failures. The applicant must design and construct the engine control system so that:
(1) The rate for Loss of Thrust (or Power) Control (LOTC/LOPC) events, consistent with the safety objective associated with the intended application can be achieved;
(2) In the full-up configuration, the system is single fault tolerant, as determined by the Administrator, for electrical or electronic failures with respect to LOTC/LOPC events;
(3) Single failures of engine control system components do not result in a hazardous engine effect; and
(4) Foreseeable failures or malfunctions leading to local events in the intended aircraft installation, such as fire, overheat, or failures leading to damage to engine control system components, do not result in a hazardous engine effect due to engine control system failures or malfunctions.
(e) System safety assessment. When complying with this section and § 33.75, the applicant must complete a System Safety Assessment for the engine control system. This assessment must identify faults or failures that result in a change in thrust or power, transmission of erroneous data, or an effect on engine operability producing a surge or stall together with the predicted frequency of occurrence of these faults or failures.
(f) Protection systems. (1) The design and functioning of engine control devices and systems, together with engine instruments and operating and maintenance instructions, must provide reasonable assurance that those engine operating limitations that affect turbine, compressor, fan, and turbosupercharger rotor structural integrity will not be exceeded in service.
(2) When electronic overspeed protection systems are provided, the design must include a means for testing, at least once per engine start/stop cycle, to establish the availability of the protection function. The means must be such that a complete test of the system can be achieved in the minimum number of cycles. If the test is not fully automatic, the requirement for a manual test must be contained in the engine instructions for operation.
(3) When overspeed protection is provided through hydromechanical or mechanical means, the applicant must demonstrate by test or other acceptable means that the overspeed function remains available between inspection and maintenance periods.
(g) Software. The applicant must design, implement, and verify all associated software to minimize the existence of errors by using a method, approved by the FAA, consistent with the criticality of the performed functions.
(h) Aircraft-supplied data. Single failures leading to loss, interruption or corruption of aircraft-supplied data (other than thrust or power command signals from the aircraft), or data shared between engines must:
(1) Not result in a hazardous engine effect for any engine; and
(2) Be detected and accommodated. The accommodation strategy must not result in an unacceptable change in thrust or power or an unacceptable change in engine operating and starting characteristics. The applicant must evaluate and document in the engine installation instructions the effects of these failures on engine power or thrust, engine operability, and starting characteristics throughout the flight envelope.
(i) Aircraft-supplied electrical power. (1) The applicant must design the engine control system so that the loss, malfunction, or interruption of electrical power supplied from the aircraft to the engine control system will not result in any of the following:
(i) A hazardous engine effect, or
(ii) The unacceptable transmission of erroneous data.
(2) When an engine dedicated power source is required for compliance with paragraph (i)(1) of this section, its capacity should provide sufficient margin to account for engine operation below idle where the engine control system is designed and expected to recover engine operation automatically.
(3) The applicant must identify and declare the need for, and the characteristics of, any electrical power supplied from the aircraft to the engine control system for starting and operating the engine, including transient and steady state voltage limits, in the engine instructions for installation.
(4) Low voltage transients outside the power supply voltage limitations declared in paragraph (i)(3) of this section must meet the requirements of paragraph (i)(1) of this section. The engine control system must be capable of resuming normal operation when aircraft-supplied power returns to within the declared limits.
(j) Air pressure signal. The applicant must consider the effects of blockage or leakage of the signal lines on the engine control system as part of the System Safety Assessment of paragraph (e) of this section and must adopt the appropriate design precautions.
(k) Automatic availability and control of engine power for 30-second OEI rating. Rotorcraft engines having a 30-second OEI rating must incorporate a means, or a provision for a means, for automatic availability and automatic control of the 30-second OEI power within its operating limitations.
(l) Engine shut down means. Means must be provided for shutting down the engine rapidly.
(m) Programmable logic devices. The development of programmable logic devices using digital logic or other complex design technologies must provide a level of assurance for the encoded logic commensurate with the hazard associated with the failure or malfunction of the systems in which the devices are located. The applicant must provide evidence that the development of these devices has been done by using a method, approved by the FAA, that is consistent with the criticality of the performed function.
(a) Unless it is constructed to prevent its connection to an incorrect instrument, each connection provided for powerplant instruments required by aircraft airworthiness regulations or necessary to insure operation of the engine in compliance with any engine limitation must be marked to identify it with its corresponding instrument.
(b) A connection must be provided on each turbojet engine for an indicator system to indicate rotor system unbalance.
(c) Each rotorcraft turbine engine having a 30-second OEI rating and a 2-minute OEI rating must have a means or a provision for a means to:
(1) Alert the pilot when the engine is at the 30-second OEI and the 2-minute OEI power levels, when the event begins, and when the time interval expires;
(2) Automatically record each usage and duration of power at the 30-second OEI and 2-minute OEI levels;
(3) Alert maintenance personnel in a positive manner that the engine has been operated at either or both of the 30-second and 2-minute OEI power levels, and permit retrieval of the recorded data; and
(4) Enable routine verification of the proper operation of the above means.
(d) The means, or the provision for a means, of paragraphs (c)(2) and (c)(3) of this section must not be capable of being reset in flight.
(e) The applicant must make provision for the installation of instrumentation necessary to ensure operation in compliance with engine operating limitations. Where, in presenting the safety analysis, or complying with any other requirement, dependence is placed on instrumentation that is not otherwise mandatory in the assumed aircraft installation, then the applicant must specify this instrumentation in the engine installation instructions and declare it mandatory in the engine approval documentation.
(f) As part of the System Safety Assessment of § 33.28(e), the applicant must assess the possibility and subsequent effect of incorrect fit of instruments, sensors, or connectors. Where necessary, the applicant must take design precautions to prevent incorrect configuration of the system.
(g) The sensors, together with associated wiring and signal conditioning, must be segregated, electrically and physically, to the extent necessary to ensure that the probability of a fault propagating from instrumentation and monitoring functions to control functions, or vice versa, is consistent with the failure effect of the fault.
(h) The applicant must provide instrumentation enabling the flight crew to monitor the functioning of the turbine cooling system unless appropriate inspections are published in the relevant manuals and evidence shows that:
(1) Other existing instrumentation provides adequate warning of failure or impending failure;
(2) Failure of the cooling system would not lead to hazardous engine effects before detection; or
(3) The probability of failure of the cooling system is extremely remote.
This subpart prescribes additional design and construction requirements for reciprocating aircraft engines.
The engine must be designed and constructed to function throughout its normal operating range of crankshaft rotational speeds and engine powers without inducing excessive stress in any of the engine parts because of vibration and without imparting excessive vibration forces to the aircraft structure.
Each turbocharger case must be designed and constructed to be able to contain fragments of a compressor or turbine that fails at the highest speed that is obtainable with normal speed control devices inoperative.
(a) The fuel system of the engine must be designed and constructed to supply an appropriate mixture of fuel to the cylinders throughout the complete operating range of the engine under all flight and atmospheric conditions.
(b) The intake passages of the engine through which air or fuel in combination with air passes for combustion purposes must be designed and constructed to minimize the danger of ice accretion in those passages. The engine must be designed and constructed to permit the use of a means for ice prevention.
(c) The type and degree of fuel filtering necessary for protection of the engine fuel system against foreign particles in the fuel must be specified. The applicant must show that foreign particles passing through the prescribed filtering means will not critically impair engine fuel system functioning.
(d) Each passage in the induction system that conducts a mixture of fuel and air must be self-draining, to prevent a liquid lock in the cylinders, in all attitudes that the applicant establishes as those the engine can have when the aircraft in which it is installed is in the static ground attitude.
(e) If provided as part of the engine, the applicant must show for each fluid injection (other than fuel) system and its controls that the flow of the injected fluid is adequately controlled.
Each spark ignition engine must have a dual ignition system with at least two spark plugs for each cylinder and two separate electric circuits with separate sources of electrical energy, or have an ignition system of equivalent in-flight reliability.
(a) The lubrication system of the engine must be designed and constructed so that it will function properly in all flight attitudes and atmospheric conditions in which the airplane is expected to operate. In wet sump engines, this requirement must be met when only one-half of the maximum lubricant supply is in the engine.
(b) The lubrication system of the engine must be designed and constructed to allow installing a means of cooling the lubricant.
(c) The crankcase must be vented to the atmosphere to preclude leakage of oil from excessive pressure in the crankcase.
This subpart prescribes the block tests and inspections for reciprocating aircraft engines.
Before each endurance test required by this subpart, the adjustment setting and functioning characteristic of each component having an adjustment setting and a functioning characteristic that can be established independent of installation on the engine must be established and recorded.
(a) Each engine must undergo a vibration survey to establish the torsional and bending vibration characteristics of the crankshaft and the propeller shaft or other output shaft, over the range of crankshaft speed and engine power, under steady state and transient conditions, from idling speed to either 110 percent of the desired maximum continuous speed rating or 103 percent of the maximum desired takeoff speed rating, whichever is higher. The survey must be conducted using, for airplane engines, the same configuration of the propeller type which is used for the endurance test, and using, for other engines, the same configuration of the loading device type which is used for the endurance test.
(b) The torsional and bending vibration stresses of the crankshaft and the propeller shaft or other output shaft may not exceed the endurance limit stress of the material from which the shaft is made. If the maximum stress in the shaft cannot be shown to be below the endurance limit by measurement, the vibration frequency and amplitude must be measured. The peak amplitude must be shown to produce a stress below the endurance limit; if not, the engine must be run at the condition producing the peak amplitude until, for steel shafts, 10 million stress reversals have been sustained without fatigue failure and, for other shafts, until it is shown that fatigue will not occur within the endurance limit stress of the material.
(c) Each accessory drive and mounting attachment must be loaded, with the loads imposed by each accessory used only for an aircraft service being the limit load specified by the applicant for the drive or attachment point.
(d) The vibration survey described in paragraph (a) of this section must be repeated with that cylinder not firing which has the most adverse vibration effect, in order to establish the conditions under which the engine can be operated safely in that abnormal state. However, for this vibration survey, the engine speed range need only extend from idle to the maximum desired takeoff speed, and compliance with paragraph (b) of this section need not be shown.
(a) Each engine must be subjected to the calibration tests necessary to establish its power characteristics and the conditions for the endurance test specified in § 33.49. The results of the power characteristics calibration tests form the basis for establishing the characteristics of the engine over its entire operating range of crankshaft rotational speeds, manifold pressures, fuel/air mixture settings, and altitudes. Power ratings are based upon standard atmospheric conditions with only those accessories installed which are essential for engine functioning.
(b) A power check at sea level conditions must be accomplished on the endurance test engine after the endurance test. Any change in power characteristics which occurs during the endurance test must be determined. Measurements taken during the final portion of the endurance test may be used in showing compliance with the requirements of this paragraph.
Each engine must be tested to establish that the engine can function without detonation throughout its range of intended conditions of operation.
(a) General. Each engine must be subjected to an endurance test that includes a total of 150 hours of operation (except as provided in paragraph (e)(1)(iii) of this section) and, depending upon the type and contemplated use of the engine, consists of one of the series of runs specified in paragraphs (b) through (e) of this section, as applicable. The runs must be made in the order found appropriate by the Administrator for the particular engine being tested. During the endurance test the engine power and the crankshaft rotational speed must be kept within ±3 percent of the rated values. During the runs at rated takeoff power and for at least 35 hours at rated maximum continuous power, one cylinder must be operated at not less than the limiting temperature, the other cylinders must be operated at a temperature not lower than 50 degrees F. below the limiting temperature, and the oil inlet temperature must be maintained within ±10 degrees F. of the limiting temperature. An engine that is equipped with a propeller shaft must be fitted for the endurance test with a propeller that thrust-loads the engine to the maximum thrust which the engine is designed to resist at each applicable operating condition specified in this section. Each accessory drive and mounting attachment must be loaded. During operation at rated takeoff power and rated maximum continuous power, the load imposed by each accessory used only for an aircraft service must be the limit load specified by the applicant for the engine drive or attachment point.
(b) Unsupercharged engines and engines incorporating a gear-driven single-speed supercharger. For engines not incorporating a supercharger and for engines incorporating a gear-driven single-speed supercharger the applicant must conduct the following runs:
(1) A 30-hour run consisting of alternate periods of 5 minutes at rated takeoff power with takeoff speed, and 5 minutes at maximum best economy cruising power or maximum recommended cruising power.
(2) A 20-hour run consisting of alternate periods of 1
(3) A 20-hour run consisting of alternate periods of 1
(4) A 20-hour run consisting of alternate periods of 1
(5) A 20-hour run consisting of alternate periods of 1
(6) A 20-hour run consisting of alternate periods of 1
(7) A 20-hour run consisting of alternate periods of 2
(c) Engines incorporating a gear-driven two-speed supercharger. For engines incorporating a gear-driven two-speed supercharger the applicant must conduct the following runs:
(1) A 30-hour run consisting of alternate periods in the lower gear ratio of 5 minutes at rated takeoff power with takeoff speed, and 5 minutes at maximum best economy cruising power or at maximum recommended cruising power. If a takeoff power rating is desired in the higher gear ratio, 15 hours of the 30-hour run must be made in the higher gear ratio in alternate periods of 5 minutes at the observed horsepower obtainable with the takeoff critical altitude manifold pressure and takeoff speed, and 5 minutes at 70 percent high ratio rated maximum continuous power and 89 percent high ratio maximum continuous speed.
(2) A 15-hour run consisting of alternate periods in the lower gear ratio of 1 hour at rated maximum continuous power with maximum continuous speed, and
(3) A 15-hour run consisting of alternate periods in the lower gear ratio of 1 hour at rated maximum continuous power with maximum continuous speed, and
(4) A 30-hour run in the higher gear ratio at rated maximum continuous power with maximum continuous speed.
(5) A 5-hour run consisting of alternate periods of 5 minutes in each of the supercharger gear ratios. The first 5 minutes of the test must be made at maximum continuous speed in the higher gear ratio and the observed horsepower obtainable with 90 percent of maximum continuous manifold pressure in the higher gear ratio under sea level conditions. The condition for operation for the alternate 5 minutes in the lower gear ratio must be that obtained by shifting to the lower gear ratio at constant speed.
(6) A 10-hour run consisting of alternate periods in the lower gear ratio of 1 hour at rated maximum continuous power with maximum continuous speed, and 1 hour at 65 percent rated maximum continuous power and 87 percent maximum continuous speed.
(7) A 10-hour run consisting of alternate periods in the lower gear ratio of 1 hour at rated maximum continuous power with maximum continuous speed, and 1 hour at 60 percent rated maximum continuous power and 84.5 percent maximum continuous speed.
(8) A 10-hour run consisting of alternate periods in the lower gear ratio of 1 hour at rated maximum continuous power with maximum continuous speed, and 1 hour at 50 percent rated maximum continuous power and 79.5 percent maximum continuous speed.
(9) A 20-hour run consisting of alternate periods in the lower gear ratio of 2 hours at rated maximum continuous power with maximum continuous speed, and 2 hours at maximum best economy cruising power and speed or at maximum recommended cruising power.
(10) A 5-hour run in the lower gear ratio at maximum best economy cruising power and speed or at maximum recommended cruising power and speed.
(d) Helicopter engines. To be eligible for use on a helicopter each engine must either comply with paragraphs (a) through (j) of § 29.923 of this chapter, or must undergo the following series of runs:
(1) A 35-hour run consisting of alternate periods of 30 minutes each at rated takeoff power with takeoff speed, and at rated maximum continuous power with maximum continuous speed.
(2) A 25-hour run consisting of alternate periods of 2
(3) A 25-hour run consisting of alternate periods of 2
(4) A 25-hour run consisting of alternate periods of 2
(5) A 25-hour run consisting of alternate periods of 2
(6) A 15-hour run at 105 percent rated maximum continuous power with 105 percent maximum continuous speed or at full throttle and corresponding speed at standard sea level carburetor entrance pressure, if 105 percent of the rated maximum continuous power is not exceeded.
(e) Turbosupercharged engines. For engines incorporating a turbosupercharger the following apply except that altitude testing may be simulated provided the applicant shows that the engine and supercharger are being subjected to mechanical loads and operating temperatures no less severe than if run at actual altitude conditions:
(1) For engines used in airplanes the applicant must conduct the runs specified in paragraph (b) of this section, except—
(i) The entire run specified in paragraph (b)(1) of this section must be made at sea level altitude pressure;
(ii) The portions of the runs specified in paragraphs (b)(2) through (7) of this section at rated maximum continuous power must be made at critical altitude pressure, and the portions of the runs at other power must be made at 8,000 feet altitude pressure; and
(iii) The turbosupercharger used during the 150-hour endurance test must be run on the bench for an additional 50 hours at the limiting turbine wheel inlet gas temperature and rotational speed for rated maximum continuous power operation unless the limiting temperature and speed are maintained during 50 hours of the rated maximum continuous power operation.
(2) For engines used in helicopters the applicant must conduct the runs specified in paragraph (d) of this section, except—
(i) The entire run specified in paragraph (d)(1) of this section must be made at critical altitude pressure;
(ii) The portions of the runs specified in paragraphs (d)(2) and (3) of this section at rated maximum continuous power must be made at critical altitude pressure and the portions of the runs at other power must be made at 8,000 feet altitude pressure;
(iii) The entire run specified in paragraph (d)(4) of this section must be made at 8,000 feet altitude pressure;
(iv) The portion of the runs specified in paragraph (d)(5) of this section at 80 percent of rated maximum continuous power must be made at 8,000 feet altitude pressure and the portions of the runs at other power must be made at critical altitude pressure;
(v) The entire run specified in paragraph (d)(6) of this section must be made at critical altitude pressure; and
(vi) The turbosupercharger used during the endurance test must be run on the bench for 50 hours at the limiting turbine wheel inlet gas temperature and rotational speed for rated maximum continuous power operation unless the limiting temperature and speed are maintained during 50 hours of the rated maximum continuous power operation.
The operation test must include the testing found necessary by the Administrator to demonstrate backfire characteristics, starting, idling, acceleration, overspeeding, functioning of propeller and ignition, and any other operational characteristic of the engine. If the engine incorporates a multispeed supercharger drive, the design and construction must allow the supercharger to be shifted from operation at the lower speed ratio to the higher and the power appropriate to the manifold pressure and speed settings for rated maximum continuous power at the higher supercharger speed ratio must be obtainable within five seconds.
(a) For those systems and components that cannot be adequately substantiated in accordance with endurance testing of § 33.49, the applicant must conduct additional tests to demonstrate that systems or components are able to perform the intended functions in all declared environmental and operating conditions.
(b) Temperature limits must be established for each component that requires temperature controlling provisions in the aircraft installation to assure satisfactory functioning, reliability, and durability.
After completing the endurance test—
(a) Each engine must be completely disassembled;
(b) Each component having an adjustment setting and a functioning characteristic that can be established independent of installation on the engine must retain each setting and functioning characteristic within the limits that were established and recorded at the beginning of the test; and
(c) Each engine component must conform to the type design and be eligible for incorporation into an engine for continued operation, in accordance with information submitted in compliance with § 33.4.
(a) The applicant may, in conducting the block tests, use separate engines of identical design and construction in the vibration, calibration, detonation, endurance, and operation tests, except that, if a separate engine is used for the endurance test it must be subjected to a calibration check before starting the endurance test.
(b) The applicant may service and make minor repairs to the engine during the block tests in accordance with the service and maintenance instructions submitted in compliance with § 33.4. If the frequency of the service is excessive, or the number of stops due to engine malfunction is excessive, or a major repair, or replacement of a part is found necessary during the block tests or as the result of findings from the teardown inspection, the engine or its parts may be subjected to any additional test the Administrator finds necessary.
(c) Each applicant must furnish all testing facilities, including equipment and competent personnel, to conduct the block tests.
This subpart prescribes additional design and construction requirements for turbine aircraft engines.
A stress analysis must be performed on each turbine engine showing the design safety margin of each turbine engine rotor, spacer, and rotor shaft.
Each engine must be designed and constructed to function throughout its declared flight envelope and operating range of rotational speeds and power/thrust, without inducing excessive stress in any engine part because of vibration and without imparting excessive vibration forces to the aircraft structure.
(a) Strength. The applicant must establish by test, validated analysis, or a combination of both, that all static parts subject to significant gas or liquid pressure loads for a stabilized period of one minute will not:
(1) Exhibit permanent distortion beyond serviceable limits or exhibit leakage that could create a hazardous condition when subjected to the greater of the following pressures:
(i) 1.1 times the maximum working pressure;
(ii) 1.33 times the normal working pressure; or
(iii) 35 kPa (5 p.s.i.) above the normal working pressure.
(2) Exhibit fracture or burst when subjected to the greater of the following pressures:
(i) 1.15 times the maximum possible pressure;
(ii) 1.5 times the maximum working pressure; or
(iii) 35 kPa (5 p.s.i.) above the maximum possible pressure.
(b) Compliance with this section must take into account:
(1) The operating temperature of the part;
(2) Any other significant static loads in addition to pressure loads;
(3) Minimum properties representative of both the material and the processes used in the construction of the part; and
(4) Any adverse geometry conditions allowed by the type design.
When the engine is operated in accordance with operating instructions required by § 33.5(b), starting, a change of power or thrust, power or thrust augmentation, limiting inlet air distortion, or inlet air temperature may not cause surge or stall to the extent that flameout, structural failure, overtemperature, or failure of the engine to recover power or thrust will occur at any point in the operating envelope.
The engine must supply bleed air without adverse effect on the engine, excluding reduced thrust or power output, at all conditions up to the discharge flow conditions established as a limitation under § 33.7(c)(11). If bleed air used for engine anti-icing can be controlled, provision must be made for a means to indicate the functioning of the engine ice protection system.
(a) With fuel supplied to the engine at the flow and pressure specified by the applicant, the engine must function properly under each operating condition required by this part. Each fuel control adjusting means that may not be manipulated while the fuel control device is mounted on the engine must be secured by a locking device and sealed, or otherwise be inaccessible. All other fuel control adjusting means must be accessible and marked to indicate the function of the adjustment unless the function is obvious.
(b) There must be a fuel strainer or filter between the engine fuel inlet opening and the inlet of either the fuel metering device or the engine-driven positive displacement pump whichever is nearer the engine fuel inlet. In addition, the following provisions apply to each strainer or filter required by this paragraph (b):
(1) It must be accessible for draining and cleaning and must incorporate a screen or element that is easily removable.
(2) It must have a sediment trap and drain except that it need not have a drain if the strainer or filter is easily removable for drain purposes.
(3) It must be mounted so that its weight is not supported by the connecting lines or by the inlet or outlet connections of the strainer or filter, unless adequate strength margins under all loading conditions are provided in the lines and connections.
(4) It must have the type and degree of fuel filtering specified as necessary for protection of the engine fuel system against foreign particles in the fuel. The applicant must show:
(i) That foreign particles passing through the specified filtering means do not impair the engine fuel system functioning; and
(ii) That the fuel system is capable of sustained operation throughout its flow and pressure range with the fuel initially saturated with water at 80 °F (27 °C) and having 0.025 fluid ounces per gallon (0.20 milliliters per liter) of free water added and cooled to the most critical condition for icing likely to be encountered in operation. However, this requirement may be met by demonstrating the effectiveness of specified approved fuel anti-icing additives, or that the fuel system incorporates a fuel heater which maintains the fuel temperature at the fuel strainer or fuel inlet above 32 °F (0 °C) under the most critical conditions.
(5) The applicant must demonstrate that the filtering means has the capacity (with respect to engine operating limitations) to ensure that the engine will continue to operate within approved limits, with fuel contaminated to the maximum degree of particle size and density likely to be encountered in service. Operation under these conditions must be demonstrated for a period acceptable to the Administrator, beginning when indication of impending filter blockage is first given by either:
(i) Existing engine instrumentation; or
(ii) Additional means incorporated into the engine fuel system.
(6) Any strainer or filter bypass must be designed and constructed so that the release of collected contaminants is minimized by appropriate location of the bypass to ensure that collected contaminants are not in the bypass flow path.
(c) If provided as part of the engine, the applicant must show for each fluid injection (other than fuel) system and its controls that the flow of the injected fluid is adequately controlled.
Each engine, with all icing protection systems operating, must:
(a) Operate throughout its flight power range, including the minimum descent idle rotor speeds achievable in flight, in the icing conditions defined for turbojet, turbofan, and turboprop engines in Appendices C and O of part 25 of this chapter, and Appendix D of this part, and for turboshaft engines in Appendix C of part 29 of this chapter, without the accumulation of ice on the engine components that:
(1) Adversely affects engine operation or that causes an unacceptable permanent loss of power or thrust or unacceptable increase in engine operating temperature; or
(2) Results in unacceptable temporary power loss or engine damage; or
(3) Causes a stall, surge, or flameout or loss of engine controllability. The applicant must account for in-flight ram effects in any critical point analysis or test demonstration of these flight conditions.
(b) Operate throughout its flight power range, including minimum descent idle rotor speeds achievable in flight, in the icing conditions defined for turbojet, turbofan, and turboprop engines in Appendices C and O of part 25 of this chapter, and for turboshaft engines in Appendix C of part 29 of this chapter. In addition:
(1) It must be shown through Critical Point Analysis (CPA) that the complete ice envelope has been analyzed, and that the most critical points must be demonstrated by engine test, analysis, or a combination of the two to operate acceptably. Extended flight in critical flight conditions such as hold, descent, approach, climb, and cruise, must be addressed, for the ice conditions defined in these appendices.
(2) It must be shown by engine test, analysis, or a combination of the two that the engine can operate acceptably for the following durations:
(i) At engine powers that can sustain level flight: A duration that achieves repetitive, stabilized operation for turbojet, turbofan, and turboprop engines in the icing conditions defined in Appendices C and O of part 25 of this chapter, and for turboshaft engines in the icing conditions defined in Appendix C of part 29 of this chapter.
(ii) At engine power below that which can sustain level flight:
(A) Demonstration in altitude flight simulation test facility: A duration of 10 minutes consistent with a simulated flight descent of 10,000 ft (3 km) in altitude while operating in Continuous Maximum icing conditions defined in Appendix C of part 25 of this chapter for turbojet, turbofan, and turboprop engines, and for turboshaft engines in the icing conditions defined in Appendix C of part 29 of this chapter, plus 40 percent liquid water content margin, at the critical level of airspeed and air temperature; or
(B) Demonstration in ground test facility: A duration of 3 cycles of alternating icing exposure corresponding to the liquid water content levels and standard cloud lengths starting in Intermittent Maximum and then in Continuous Maximum icing conditions defined in Appendix C of part 25 of this chapter for turbojet, turbofan, and turboprop engines, and for turboshaft engines in the icing conditions defined in Appendix C of part 29 of this chapter, at the critical level of air temperature.
(c) In addition to complying with paragraph (b) of this section, the following conditions shown in Table 1 of this section unless replaced by similar CPA test conditions that are more critical or produce an equivalent level of severity, must be demonstrated by an engine test:
Table 1—Conditions That Must Be Demonstrated by an Engine Test
| Condition | Total air temperature | Supercooled water
concentrations (minimum) | Median volume drop diameter | Duration |
|---|---|---|---|---|
| 1. Glaze ice conditions | 21 to 25 °F (−6 to −4 °C) | 2 g/m 3 | 25 to 35 microns | (a) 10-minutes for power below sustainable level flight (idle descent). |
| (b) Must show repetitive, stabilized operation for higher powers (50%, 75%, 100%MC). | ||||
| 2. Rime ice conditions | −10 to 0 °F (−23 to −18 °C) | 1 g/m 3 | 15 to 25 microns | (a) 10-minutes for power below sustainable level flight (idle descent). |
| (b) Must show repetitive, stabilized operation for higher powers (50%, 75%, 100%MC). | ||||
| 3. Glaze ice holding conditions
(Turbojet, turbofan, and turboprop only) | Turbojet and Turbofan, only: 10 to 18 °F (−12 to −8 °C) | Alternating cycle: First 1.7 g/m 3 (1 minute), Then 0.3 g/m 3 (6 minute) | 20 to 30 microns | Must show repetitive, stabilized operation (or 45 minutes max). |
| Turboprop, only: 2 to 10 °F (−17 to −12 °C) | ||||
| 4. Rime ice holding conditions
(Turbojet, turbofan, and turboprop only) | Turbojet and Turbofan, only: −10 to 0 °F (−23 to −18 °C) | 0.25 g/m 3 | 20 to 30 microns | Must show repetitive, stabilized operation (or 45 minutes max). |
| Turboprop, only: 2 to 10 °F (−17 to −12 °C) |
(d) Operate at ground idle speed for a minimum of 30 minutes at each of the following icing conditions shown in Table 2 of this section with the available air bleed for icing protection at its critical condition, without adverse effect, followed by acceleration to takeoff power or thrust. During the idle operation, the engine may be run up periodically to a moderate power or thrust setting in a manner acceptable to the Administrator. Analysis may be used to show ambient temperatures below the tested temperature are less critical. The applicant must document any demonstrated run ups and minimum ambient temperature capability in the engine operating manual as mandatory in icing conditions. The applicant must demonstrate, with consideration of expected airport elevations, the following:
Table 2—Demonstration Methods for Specific Icing Conditions
| Condition | Total air temperature | Supercooled water concentrations
(minimum) | Mean effective particle diameter | Demonstration |
|---|---|---|---|---|
| 1. Rime ice condition | 0 to 15 °F (−18 to −9 °C) | Liquid—0.3 g/m 3 | 15-25 microns | By engine test. |
| 2. Glaze ice condition | 20 to 30 °F (−7 to −1 °C) | Liquid—0.3 g/m 3 | 15-25 microns | By engine test. |
| 3. Snow ice condition | 26 to 32 °F (−3 to 0 °C) | Ice—0.9 g/m 3 | 100 microns
(minimum) | By test, analysis or combination of the two. |
| 4. Large drop glaze ice condition (Turbojet, turbofan, and turboprop only) | 15 to 30 °F (-9 to -1 °C) | Liquid—0.3 g/m 3 | 100 microns (minimum) | By test, analysis or combination of the two. |
(e) Demonstrate by test, analysis, or combination of the two, acceptable operation for turbojet, turbofan, and turboprop engines in mixed phase and ice crystal icing conditions throughout Appendix D of this part, icing envelope throughout its flight power range, including minimum descent idling speeds.
Each engine must be equipped with an ignition system for starting the engine on the ground and in flight. An electric ignition system must have at least two igniters and two separate secondary electric circuits, except that only one igniter is required for fuel burning augmentation systems.
By a procedure approved by the FAA, operating limitations must be established which specify the maximum allowable number of flight cycles for each engine life-limited part. Engine life-limited parts are rotor and major static structural parts whose primary failure is likely to result in a hazardous engine effect. Typically, engine life-limited parts include, but are not limited to disks, spacers, hubs, shafts, high-pressure casings, and non-redundant mount components. For the purposes of this section, a hazardous engine effect is any of the conditions listed in § 33.75 of this part. The applicant will establish the integrity of each engine life-limited part by:
(a) An engineering plan that contains the steps required to ensure each engine life-limited part is withdrawn from service at an approved life before hazardous engine effects can occur. These steps include validated analysis, test, or service experience which ensures that the combination of loads, material properties, environmental influences and operating conditions, including the effects of other engine parts influencing these parameters, are sufficiently well known and predictable so that the operating limitations can be established and maintained for each engine life-limited part. Applicants must perform appropriate damage tolerance assessments to address the potential for failure from material, manufacturing, and service induced anomalies within the approved life of the part. Applicants must publish a list of the life-limited engine parts and the approved life for each part in the Airworthiness Limitations Section of the Instructions for Continued Airworthiness as required by § 33.4 of this part.
(b) A manufacturing plan that identifies the specific manufacturing constraints necessary to consistently produce each engine life-limited part with the attributes required by the engineering plan.
(c) A service management plan that defines in-service processes for maintenance and the limitations to repair for each engine life-limited part that will maintain attributes consistent with those required by the engineering plan. These processes and limitations will become part of the Instructions for Continued Airworthiness.
(a) General. Each lubrication system must function properly in the flight attitudes and atmospheric conditions in which an aircraft is expected to operate.
(b) Oil strainer or filter. There must be an oil strainer or filter through which all of the engine oil flows. In addition:
(1) Each strainer or filter required by this paragraph that has a bypass must be constructed and installed so that oil will flow at the normal rate through the rest of the system with the strainer or filter element completely blocked.
(2) The type and degree of filtering necessary for protection of the engine oil system against foreign particles in the oil must be specified. The applicant must demonstrate that foreign particles passing through the specified filtering means do not impair engine oil system functioning.
(3) Each strainer or filter required by this paragraph must have the capacity (with respect to operating limitations established for the engine) to ensure that engine oil system functioning is not impaired with the oil contaminated to a degree (with respect to particle size and density) that is greater than that established for the engine in paragraph (b)(2) of this section.
(4) For each strainer or filter required by this paragraph, except the strainer or filter at the oil tank outlet, there must be means to indicate contamination before it reaches the capacity established in accordance with paragraph (b)(3) of this section.
(5) Any filter bypass must be designed and constructed so that the release of collected contaminants is minimized by appropriate location of the bypass to ensure that the collected contaminants are not in the bypass flow path.
(6) Each strainer or filter required by this paragraph that has no bypass, except the strainer or filter at an oil tank outlet or for a scavenge pump, must have provisions for connection with a warning means to warn the pilot of the occurance of contamination of the screen before it reaches the capacity established in accordance with paragraph (b)(3) of this section.
(7) Each strainer or filter required by this paragraph must be accessible for draining and cleaning.
(c) Oil tanks. (1) Each oil tank must have an expansion space of not less than 10 percent of the tank capacity.
(2) It must be impossible to inadvertently fill the oil tank expansion space.
(3) Each recessed oil tank filler connection that can retain any appreciable quantity of oil must have provision for fitting a drain.
(4) Each oil tank cap must provide an oil-tight seal. For an applicant seeking eligibility for an engine to be installed on an airplane approved for ETOPS, the oil tank must be designed to prevent a hazardous loss of oil due to an incorrectly installed oil tank cap.
(5) Each oil tank filler must be marked with the word “oil.”
(6) Each oil tank must be vented from the top part of the expansion space, with the vent so arranged that condensed water vapor that might freeze and obstruct the line cannot accumulate at any point.
(7) There must be means to prevent entrance into the oil tank or into any oil tank outlet, of any object that might obstruct the flow of oil through the system.
(8) There must be a shutoff valve at the outlet of each oil tank, unless the external portion of the oil system (including oil tank supports) is fireproof.
(9) Each unpressurized oil tank may not leak when subjected to a maximum operating temperature and an internal pressure of 5 p.s.i., and each pressurized oil tank must meet the requirements of § 33.64.
(10) Leaked or spilled oil may not accumulate between the tank and the remainder of the engine.
(11) Each oil tank must have an oil quantity indicator or provisions for one.
(12) If the propeller feathering system depends on engine oil—
(i) There must be means to trap an amount of oil in the tank if the supply becomes depleted due to failure of any part of the lubricating system other than the tank itself;
(ii) The amount of trapped oil must be enough to accomplish the feathering opeation and must be available only to the feathering pump; and
(iii) Provision must be made to prevent sludge or other foreign matter from affecting the safe operation of the propeller feathering system.
(d) Oil drains. A drain (or drains) must be provided to allow safe drainage of the oil system. Each drain must—
(1) Be accessible; and
(2) Have manual or automatic means for positive locking in the closed position.
(e) Oil radiators. Each oil radiator must withstand, without failure, any vibration, inertia, and oil pressure load to which it is subjected during the block tests.
Each hydraulic actuating system must function properly under all conditions in which the engine is expected to operate. Each filter or screen must be accessible for servicing and each tank must meet the design criteria of § 33.71.
The design and construction of the engine must enable an increase—
(a) From minimum to rated takeoff power or thrust with the maximum bleed air and power extraction to be permitted in an aircraft, without overtemperature, surge, stall, or other detrimental factors occurring to the engine whenever the power control lever is moved from the minimum to the maximum position in not more than 1 second, except that the Administrator may allow additional time increments for different regimes of control operation requiring control scheduling; and
(b) From the fixed minimum flight idle power lever position when provided, or if not provided, from not more than 15 percent of the rated takeoff power or thrust available to 95 percent rated takeoff power or thrust in not over 5 seconds. The 5-second power or thrust response must occur from a stabilized static condition using only the bleed air and accessories loads necessary to run the engine. This takeoff rating is specified by the applicant and need not include thrust augmentation.
If any of the engine main rotating systems continue to rotate after the engine is shutdown for any reason while in flight, and if means to prevent that continued rotation are not provided, then any continued rotation during the maximum period of flight, and in the flight conditions expected to occur with that engine inoperative, may not result in any condition described in § 33.75(g)(2)(i) through (vi) of this part.
(a) (1) The applicant must analyze the engine, including the control system, to assess the likely consequences of all failures that can reasonably be expected to occur. This analysis will take into account, if applicable:
(i) Aircraft-level devices and procedures assumed to be associated with a typical installation. Such assumptions must be stated in the analysis.
(ii) Consequential secondary failures and latent failures.
(iii) Multiple failures referred to in paragraph (d) of this section or that result in the hazardous engine effects defined in paragraph (g)(2) of this section.
(2) The applicant must summarize those failures that could result in major engine effects or hazardous engine effects, as defined in paragraph (g) of this section, and estimate the probability of occurrence of those effects. Any engine part the failure of which could reasonably result in a hazardous engine effect must be clearly identified in this summary.
(3) The applicant must show that hazardous engine effects are predicted to occur at a rate not in excess of that defined as extremely remote (probability range of 10
(4) The applicant must show that major engine effects are predicted to occur at a rate not in excess of that defined as remote (probability range of 10
(b) The FAA may require that any assumption as to the effects of failures and likely combination of failures be verified by test.
(c) The primary failure of certain single elements cannot be sensibly estimated in numerical terms. If the failure of such elements is likely to result in hazardous engine effects, then compliance may be shown by reliance on the prescribed integrity requirements of §§ 33.15, 33.27, and 33.70 as applicable. These instances must be stated in the safety analysis.
(d) If reliance is placed on a safety system to prevent a failure from progressing to hazardous engine effects, the possibility of a safety system failure in combination with a basic engine failure must be included in the analysis. Such a safety system may include safety devices, instrumentation, early warning devices, maintenance checks, and other similar equipment or procedures. If items of a safety system are outside the control of the engine manufacturer, the assumptions of the safety analysis with respect to the reliability of these parts must be clearly stated in the analysis and identified in the installation instructions under § 33.5 of this part.
(e) If the safety analysis depends on one or more of the following items, those items must be identified in the analysis and appropriately substantiated.
(1) Maintenance actions being carried out at stated intervals. This includes the verification of the serviceability of items that could fail in a latent manner. When necessary to prevent hazardous engine effects, these maintenance actions and intervals must be published in the instructions for continued airworthiness required under § 33.4 of this part. Additionally, if errors in maintenance of the engine, including the control system, could lead to hazardous engine effects, the appropriate procedures must be included in the relevant engine manuals.
(2) Verification of the satisfactory functioning of safety or other devices at pre-flight or other stated periods. The details of this satisfactory functioning must be published in the appropriate manual.
(3) The provisions of specific instrumentation not otherwise required.
(4) Flight crew actions to be specified in the operating instructions established under § 33.5.
(f) If applicable, the safety analysis must also include, but not be limited to, investigation of the following:
(1) Indicating equipment;
(2) Manual and automatic controls;
(3) Compressor bleed systems;
(4) Refrigerant injection systems;
(5) Gas temperature control systems;
(6) Engine speed, power, or thrust governors and fuel control systems;
(7) Engine overspeed, overtemperature, or topping limiters;
(8) Propeller control systems; and
(9) Engine or propeller thrust reversal systems.
(g) Unless otherwise approved by the FAA and stated in the safety analysis, for compliance with part 33, the following failure definitions apply to the engine:
(1) An engine failure in which the only consequence is partial or complete loss of thrust or power (and associated engine services) from the engine will be regarded as a minor engine effect.
(2) The following effects will be regarded as hazardous engine effects:
(i) Non-containment of high-energy debris;
(ii) Concentration of toxic products in the engine bleed air intended for the cabin sufficient to incapacitate crew or passengers;
(iii) Significant thrust in the opposite direction to that commanded by the pilot;
(iv) Uncontrolled fire;
(v) Failure of the engine mount system leading to inadvertent engine separation;
(vi) Release of the propeller by the engine, if applicable; and
(vii) Complete inability to shut the engine down.
(3) An effect whose severity falls between those effects covered in paragraphs (g)(1) and (g)(2) of this section will be regarded as a major engine effect.
(a) General. Compliance with paragraphs (b) through (e) of this section shall be in accordance with the following:
(1) Except as specified in paragraphs (d) and (e) of this section, all ingestion tests must be conducted with the engine stabilized at no less than 100 percent takeoff power or thrust, for test day ambient conditions prior to the ingestion. In addition, the demonstration of compliance must account for engine operation at sea level takeoff conditions on the hottest day that a minimum engine can achieve maximum rated takeoff thrust or power.
(2) The engine inlet throat area as used in this section to determine the bird quantity and weights will be established by the applicant and identified as a limitation in the installation instructions required under § 33.5.
(3) The impact to the front of the engine from the large single bird, the single largest medium bird which can enter the inlet, and the large flocking bird must be evaluated. Applicants must show that the associated components when struck under the conditions prescribed in paragraphs (b), (c) or (d) of this section, as applicable, will not affect the engine to the extent that the engine cannot comply with the requirements of paragraphs (b)(3), (c)(6) and (d)(4) of this section.
(4) For an engine that incorporates an inlet protection device, compliance with this section shall be established with the device functioning. The engine approval will be endorsed to show that compliance with the requirements has been established with the device functioning.
(5) Objects that are accepted by the Administrator may be substituted for birds when conducting the bird ingestion tests required by paragraphs (b) through (e) of this section.
(6) If compliance with the requirements of this section is not established, the engine type certification documentation will show that the engine shall be limited to aircraft installations in which it is shown that a bird cannot strike the engine, or be ingested into the engine, or adversely restrict airflow into the engine.
(b) Large single bird. Compliance with the large bird ingestion requirements shall be in accordance with the following:
(1) The large bird ingestion test shall be conducted using one bird of a weight determined from Table 1 aimed at the most critical exposed location on the first stage rotor blades and ingested at a bird speed of 200-knots for engines to be installed on airplanes, or the maximum airspeed for normal rotorcraft flight operations for engines to be installed on rotorcraft.
(2) Power lever movement is not permitted within 15 seconds following ingestion of the large bird.
(3) Ingestion of a single large bird tested under the conditions prescribed in this section may not result in any condition described in § 33.75(g)(2) of this part.
(4) Compliance with the large bird ingestion requirements of this paragraph may be shown by demonstrating that the requirements of § 33.94(a) constitute a more severe demonstration of blade containment and rotor unbalance than the requirements of this paragraph.
Table 1 to § 33.76—Large Bird Weight Requirements
| Engine Inlet Throat Area (A)—Square-meters (square-inches) | Bird weight kg. (lb.) |
|---|---|
| 1.35 (2,092)>A | 1.85 (4.07) minimum, unless a smaller bird is determined to be a more severe demonstration. |
| 1.35 (2,092)≤A<3.90 (6,045) | 2.75 (6.05) |
| 3.90 (6,045)≤A | 3.65 (8.03) |
(c) Small and medium flocking bird. Compliance with the small and medium bird ingestion requirements shall be in accordance with the following:
(1) Analysis or component test, or both, acceptable to the Administrator, shall be conducted to determine the critical ingestion parameters affecting power loss and damage. Critical ingestion parameters shall include, but are not limited to, the effects of bird speed, critical target location, and first stage rotor speed. The critical bird ingestion speed should reflect the most critical condition within the range of airspeeds used for normal flight operations up to 1,500 feet above ground level, but not less than V
(2) Medium bird engine tests shall be conducted so as to simulate a flock encounter, and will use the bird weights and quantities specified in Table 2. When only one bird is specified, that bird will be aimed at the engine core primary flow path; the other critical locations on the engine face area must be addressed, as necessary, by appropriate tests or analysis, or both. When two or more birds are specified in Table 2, the largest of those birds must be aimed at the engine core primary flow path, and a second bird must be aimed at the most critical exposed location on the first stage rotor blades. Any remaining birds must be evenly distributed over the engine face area.
(3) In addition, except for rotorcraft engines, it must also be substantiated by appropriate tests or analysis or both, that when the full fan assembly is subjected to the ingestion of the quantity and weights of bird from Table 3, aimed at the fan assembly's most critical location outboard of the primary core flowpath, and in accordance with the applicable test conditions of this paragraph, that the engine can comply with the acceptance criteria of this paragraph.
(4) A small bird ingestion test is not required if the prescribed number of medium birds pass into the engine rotor blades during the medium bird test.
(5) Small bird ingestion tests shall be conducted so as to simulate a flock encounter using one 85 gram (0.187 lb.) bird for each 0.032 square-meter (49.6 square-inches) of inlet area, or fraction thereof, up to a maximum of 16 birds. The birds will be aimed so as to account for any critical exposed locations on the first stage rotor blades, with any remaining birds evenly distributed over the engine face area.
(6) Ingestion of small and medium birds tested under the conditions prescribed in this paragraph may not cause any of the following:
(i) More than a sustained 25-percent power or thrust loss;
(ii) The engine to be shut down during the required run-on demonstration prescribed in paragraphs (c)(7) or (c)(8) of this section;
(iii) The conditions defined in paragraph (b)(3) of this section.
(iv) Unacceptable deterioration of engine handling characteristics.
(7) Except for rotorcraft engines, the following test schedule shall be used:
(i) Ingestion so as to simulate a flock encounter, with approximately 1 second elapsed time from the moment of the first bird ingestion to the last.
(ii) Followed by 2 minutes without power lever movement after the ingestion.
(iii) Followed by 3 minutes at 75-percent of the test condition.
(iv) Followed by 6 minutes at 60-percent of the test condition.
(v) Followed by 6 minutes at 40-percent of the test condition.
(vi) Followed by 1 minute at approach idle.
(vii) Followed by 2 minutes at 75-percent of the test condition.
(viii) Followed by stabilizing at idle and engine shut down.
(ix) The durations specified are times at the defined conditions with the power being changed between each condition in less than 10 seconds.
(8) For rotorcraft engines, the following test schedule shall be used:
(i) Ingestion so as to simulate a flock encounter within approximately 1 second elapsed time between the first ingestion and the last.
(ii) Followed by 3 minutes at 75-percent of the test condition.
(iii) Followed by 90 seconds at descent flight idle.
(iv) Followed by 30 seconds at 75-percent of the test condition.
(v) Followed by stabilizing at idle and engine shut down.
(vi) The durations specified are times at the defined conditions with the power being changed between each condition in less than 10 seconds.
(9) Engines intended for use in multi-engine rotorcraft are not required to comply with the medium bird ingestion portion of this section, providing that the appropriate type certificate documentation is so endorsed.
(10) If any engine operating limit(s) is exceeded during the initial 2 minutes without power lever movement, as provided by paragraph (c)(7)(ii) of this section, then it shall be established that the limit exceedence will not result in an unsafe condition.
Table 2 to § 33.76—Medium Flocking Bird Weight and Quantity Requirements
| Engine Inlet Throat Area (A)—
Square-meters (square-inches) | Bird quantity | Bird weight kg. (lb.) |
|---|---|---|
| 0.05 (77.5)>A | none | |
| 0.05 (77.5)≤A <0.10 (155) | 1 | 0.35 (0.77) |
| 0.10 (155)≤A <0.20 (310) | 1 | 0.45 (0.99) |
| 0.20 (310)≤A <0.40 (620) | 2 | 0.45 (0.99) |
| 0.40 (620)≤A <0.60 (930) | 2 | 0.70 (1.54) |
| 0.60 (930)≤A <1.00 (1,550) | 3 | 0.70 (1.54) |
| 1.00 (1,550)≤A <1.35 (2,092) | 4 | 0.70 (1.54) |
| 1.35 (2,092)≤A <1.70 (2,635) | 1 | 1.15 (2.53) |
| plus 3 | 0.70 (1.54) | |
| 1.70 (2,635)≤A <2.10 (3,255) | 1 | 1.15 (2.53) |
| plus 4 | 0.70 (1.54) | |
| 2.10 (3,255)≤A <2.50 (3,875) | 1 | 1.15 (2.53) |
| plus 5 | 0.70 (1.54) | |
| 2.50 (3,875)≤A <3.90 (6045) | 1 | 1.15 (2.53) |
| plus 6 | 0.70 (1.54) | |
| 3.90 (6045)≤A <4.50 (6975) | 3 | 1.15 (2.53) |
| 4.50 (6975)≤A | 4 | 1.15 (2.53) |
Table 3 to § 33.76—Additional Integrity Assessment
| Engine Inlet Throat Area (A)—
square-meters (square-inches) | Bird quantity | Bird weight kg. (lb.) |
|---|---|---|
| 1.35 (2,092)>A | none | |
| 1.35 (2,092)≤A <2.90 (4,495) | 1 | 1.15 (2.53) |
| 2.90 (4,495)≤A <3.90 (6,045) | 2 | 1.15 (2.53) |
| 3.90 (6,045)≤A | 1 | 1.15 (2.53) |
| plus 6 | 0.70 (1.54) |
(d) Large flocking bird. An engine test will be performed as follows:
(1) Large flocking bird engine tests will be performed using the bird mass and weights in Table 4, and ingested at a bird speed of 200 knots.
(2) Prior to the ingestion, the engine must be stabilized at no less than the mechanical rotor speed of the first exposed stage or stages that, on a standard day, would produce 90 percent of the sea level static maximum rated takeoff power or thrust.
(3) The bird must be targeted on the first exposed rotating stage or stages at a blade airfoil height of not less than 50 percent measured at the leading edge.
(4) Ingestion of a large flocking bird under the conditions prescribed in this paragraph must not cause any of the following:
(i) A sustained reduction of power or thrust to less than 50 percent of maximum rated takeoff power or thrust during the run-on segment specified under paragraph (d)(5)(i) of this section.
(ii) Engine shutdown during the required run-on demonstration specified in paragraph (d)(5) of this section.
(iii) The conditions specified in paragraph (b)(3) of this section.
(5) The following test schedule must be used:
(i) Ingestion followed by 1 minute without power lever movement.
(ii) Followed by 13 minutes at not less than 50 percent of maximum rated takeoff power or thrust.
(iii) Followed by 2 minutes between 30 and 35 percent of maximum rated takeoff power or thrust.
(iv) Followed by 1 minute with power or thrust increased from that set in paragraph (d)(5)(iii) of this section, by between 5 and 10 percent of maximum rated takeoff power or thrust.
(v) Followed by 2 minutes with power or thrust reduced from that set in paragraph (d)(5)(iv) of this section, by between 5 and 10 percent of maximum rated takeoff power or thrust.
(vi) Followed by a minimum of 1 minute at ground idle then engine shutdown. The durations specified are times at the defined conditions. Power lever movement between each condition will be 10 seconds or less, except that power lever movements allowed within paragraph (d)(5)(ii) of this section are not limited, and for setting power under paragraph (d)(5)(iii) of this section will be 30 seconds or less.
(6) Compliance with the large flocking bird ingestion requirements of this paragraph (d) may also be demonstrated by:
(i) Incorporating the requirements of paragraph (d)(4) and (d)(5) of this section, into the large single bird test demonstration specified in paragraph (b)(1) of this section; or
(ii) Use of an engine subassembly test at the ingestion conditions specified in paragraph (b)(1) of this section if:
(A) All components critical to complying with the requirements of paragraph (d) of this section are included in the subassembly test;
(B) The components of paragraph (d)(6)(ii)(A) of this section are installed in a representative engine for a run-on demonstration in accordance with paragraphs (d)(4) and (d)(5) of this section; except that section (d)(5)(i) is deleted and section (d)(5)(ii) must be 14 minutes in duration after the engine is started and stabilized; and
(C) The dynamic effects that would have been experienced during a full engine ingestion test can be shown to be negligible with respect to meeting the requirements of paragraphs (d)(4) and (d)(5) of this section.
(7) Applicants must show that an unsafe condition will not result if any engine operating limit is exceeded during the run-on period.
Table 4 to § 33.76—Large Flocking Bird Mass and Weight
| Engine inlet throat area
(square meters/square inches) | Bird quantity | Bird mass and weight
(kg (lbs)) |
|---|---|---|
| A <2.50 (3875) | none | |
| 2.50 (3875) ≤A <3.50 (5425) | 1 | 1.85 (4.08) |
| 3.50 (5425) ≤A <3.90 (6045) | 1 | 2.10 (4.63) |
| 3.90 (6045) ≤A | 1 | 2.50 (5.51) |
(e) Core flocking bird test. Except as provided in paragraph (e)(4) of this section, for turbofan engines, an engine test must be performed in accordance with either paragraph (e)(1) or (2) of this section. The test specified in paragraph (e)(2) must be conducted if testing or validated analysis shows that no bird material will be ingested into the engine core during the test under the conditions specified in paragraph (e)(1).
(1) Climb flocking bird test. (i) Test requirements are as follows:
(A) Before ingestion, the engine must be stabilized at the mechanical rotor speed of the first exposed stage or stages that produce the lowest expected power or thrust required during climb through 3,000 feet above mean sea level (MSL) at standard day conditions.
(B) The climb flocking bird test shall be conducted using one bird of the highest weight specified in table 2 to this section for the engine inlet area.
(C) Ingestion must be at 261-knots true airspeed.
(D) The bird must be aimed at the first exposed rotating stage or stages, at the blade airfoil height, as measured at the leading edge that will result in maximum bird material ingestion into the engine core.
(ii) Ingestion of a flocking bird into the engine core under the conditions prescribed in paragraph (e)(1)(i) of this section must not cause any of the following:
(A) Sustained power or thrust reduction to less than 50 percent maximum rated takeoff power or thrust during the run-on segment specified under paragraph (e)(1)(iii)(B) of this section, that cannot be restored only by movement of the power lever.
(B) Sustained power or thrust reduction to less than flight idle power or thrust during the run-on segment specified under paragraph (e)(1)(iii)(B) of this section.
(C) Engine shutdown during the required run-on demonstration specified in paragraph (e)(1)(iii) of this section.
(D) Any condition specified in § 33.75(g)(2).
(iii) The following test schedule must be used (power lever movement between conditions must occur within 10 seconds or less, unless otherwise noted):
(A) Ingestion.
(B) Followed by 1 minute without power lever movement.
(C) Followed by power lever movement to increase power or thrust to not less than 50 percent maximum rated takeoff power or thrust, if the initial bird ingestion resulted in a reduction in power or thrust below that level.
(D) Followed by 13 minutes at not less than 50 percent maximum rated takeoff power or thrust. Power lever movement in this condition is unlimited.
(E) Followed by 2 minutes at 30-35 percent maximum rated takeoff power or thrust.
(F) Followed by 1 minute with power or thrust increased from that set in paragraph (e)(1)(iii)(E) of this section, by 5-10 percent maximum rated takeoff power or thrust.
(G) Followed by 2 minutes with power or thrust reduced from that set in paragraph (e)(1)(iii)(F) of this section, by 5-10 percent maximum rated takeoff power or thrust.
(H) Followed by 1 minute minimum at ground idle.
(I) Followed by engine shutdown.
(2) Approach flocking bird test. (i) Test requirements are as follows:
(A) Before ingestion, the engine must be stabilized at the mechanical rotor speed of the first exposed stage or stages that produce approach idle thrust when descending through 3,000 feet MSL at standard day conditions.
(B) The approach flocking bird test shall be conducted using one bird of the highest weight specified in table 2 to this section for the engine inlet area.
(C) Ingestion must be at 209-knots true airspeed.
(D) The bird must be aimed at the first exposed rotating stage or stages, at the blade airfoil height measured at the leading edge that will result in maximum bird material ingestion into the engine core.
(ii) Ingestion of a flocking bird into the engine core under the conditions prescribed in paragraph (e)(2)(i) of this section may not cause any of the following:
(A) Power or thrust reduction to less than flight idle power or thrust during the run-on segment specified under paragraph (e)(2)(iii)(B) of this section.
(B) Engine shutdown during the required run-on demonstration specified in paragraph (e)(2)(iii) of this section.
(C) Any condition specified in § 33.75(g)(2).
(iii) The following test schedule must be used (power lever movement between conditions must occur within 10 seconds or less, unless otherwise noted):
(A) Ingestion.
(B) Followed by 1 minute without power lever movement.
(C) Followed by 2 minutes at 30-35 percent maximum rated takeoff power or thrust. Power lever movement in this condition is unlimited.
(D) Followed by 1 minute with power or thrust increased from that set in paragraph (e)(2)(iii)(C) of this section, by 5-10 percent maximum rated takeoff power or thrust.
(E) Followed by 2 minutes with power or thrust reduced from that set in paragraph (e)(2)(iii)(D) of this section, by 5-10 percent maximum rated takeoff power or thrust.
(F) Followed by 1 minute minimum at ground idle.
(G) Followed by engine shutdown.
(H) Power lever movement between each condition must be 10 seconds or less, except that any power lever movements are allowed within the time period of paragraph (e)(2)(iii)(C) of this section.
(3) Results of exceeding engine-operating limits. Applicants must show that an unsafe condition will not result if any engine-operating limit is exceeded during the run-on period.
(4) Combining tests. The climb flocking bird test of paragraph (e)(1) of this section may be combined with the medium flocking bird test of paragraph (c) of this section, if the climb first stage rotor speed calculated in paragraph (e)(1) of this section is within 3 percent of the first stage rotor speed required by paragraph (c)(1) of this section. As used in this paragraph (e)(4), “combined” means that, instead of separately conducting the tests specified in paragraphs (c) and (e)(1) of this section, the test conducted under paragraph (c) of this section satisfies the requirements of paragraph (e) of this section if the bird aimed at the core of the engine meets the bird ingestion speed criteria of paragraph (e)(1)(i)(C) of this section.
(a) Compliance with the requirements of this section must be demonstrated by engine ice ingestion test or by validated analysis showing equivalence of other means for demonstrating soft body damage tolerance.
(b) [Reserved]
(c) Ingestion of ice under the conditions of this section may not—
(1) Cause an immediate or ultimate unacceptable sustained power or thrust loss; or
(2) Require the engine to be shutdown.
(d) For an engine that incorporates a protection device, compliance with this section need not be demonstrated with respect to ice formed forward of the protection device if it is shown that—
(1) Such ice is of a size that will not pass through the protective device;
(2) The protective device will withstand the impact of the ice; and
(3) The ice stopped by the protective device will not obstruct the flow of induction air into the engine with a resultant sustained reduction in power or thrust greater than those values defined by paragraph (c) of this section.
(e) Compliance with the requirements of this section must be demonstrated by engine ice ingestion test under the following ingestion conditions or by validated analysis showing equivalence of other means for demonstrating soft body damage tolerance.
(1) The minimum ice quantity and dimensions will be established by the engine size as defined in Table 1 of this section.
(2) The ingested ice dimensions are determined by linear interpolation between table values, and are based on the actual engine's inlet hilite area.
(3) The ingestion velocity will simulate ice from the inlet being sucked into the engine.
(4) Engine operation will be at the maximum cruise power or thrust unless lower power is more critical.
Table 1—Minimum Ice Slab Dimensions Based on Engine Inlet Size
| Engine Inlet Hilite area
(sq. inch) | Thickness
(inch) | Width
(inch) | Length
(inch) |
|---|---|---|---|
| 0 | 0.25 | 0 | 3.6 |
| 80 | 0.25 | 6 | 3.6 |
| 300 | 0.25 | 12 | 3.6 |
| 700 | 0.25 | 12 | 4.8 |
| 2800 | 0.35 | 12 | 8.5 |
| 5000 | 0.43 | 12 | 11.0 |
| 7000 | 0.50 | 12 | 12.7 |
| 7900 | 0.50 | 12 | 13.4 |
| 9500 | 0.50 | 12 | 14.6 |
| 11300 | 0.50 | 12 | 15.9 |
| 13300 | 0.50 | 12 | 17.1 |
| 16500 | 0.5 | 12 | 18.9 |
| 20000 | 0.5 | 12 | 20.0 |
(a) All engines. (1) The ingestion of large hailstones (0.8 to 0.9 specific gravity) at the maximum true air speed, up to 15,000 feet (4,500 meters), associated with a representative aircraft operating in rough air, with the engine at maximum continuous power, may not cause unacceptable mechanical damage or unacceptable power or thrust loss after the ingestion, or require the engine to be shut down. One-half the number of hailstones shall be aimed randomly over the inlet face area and the other half aimed at the critical inlet face area. The hailstones shall be ingested in a rapid sequence to simulate a hailstone encounter and the number and size of the hailstones shall be determined as follows:
(i) One 1-inch (25 millimeters) diameter hailstone for engines with inlet areas of not more than 100 square inches (0.0645 square meters).
(ii) One 1-inch (25 millimeters) diameter and one 2-inch (50 millimeters) diameter hailstone for each 150 square inches (0.0968 square meters) of inlet area, or fraction thereof, for engines with inlet areas of more than 100 square inches (0.0645 square meters).
(2) In addition to complying with paragraph (a)(1) of this section and except as provided in paragraph (b) of this section, it must be shown that each engine is capable of acceptable operation throughout its specified operating envelope when subjected to sudden encounters with the certification standard concentrations of rain and hail, as defined in appendix B to this part. Acceptable engine operation precludes flameout, run down, continued or non-recoverable surge or stall, or loss of acceleration and deceleration capability, during any three minute continuous period in rain and during any 30 second continuous period in hail. It must also be shown after the ingestion that there is no unacceptable mechanical damage, unacceptable power or thrust loss, or other adverse engine anomalies.
(b) Engines for rotorcraft. As an alternative to the requirements specified in paragraph (a)(2) of this section, for rotorcraft turbine engines only, it must be shown that each engine is capable of acceptable operation during and after the ingestion of rain with an overall ratio of water droplet flow to airflow, by weight, with a uniform distribution at the inlet plane, of at least four percent. Acceptable engine operation precludes flameout, run down, continued or non-recoverable surge or stall, or loss of acceleration and deceleration capability. It must also be shown after the ingestion that there is no unacceptable mechanical damage, unacceptable power loss, or other adverse engine anomalies. The rain ingestion must occur under the following static ground level conditions:
(1) A normal stabilization period at take-off power without rain ingestion, followed immediately by the suddenly commencing ingestion of rain for three minutes at takeoff power, then
(2) Continuation of the rain ingestion during subsequent rapid deceleration to minimum idle, then
(3) Continuation of the rain ingestion during three minutes at minimum idle power to be certified for flight operation, then
(4) Continuation of the rain ingestion during subsequent rapid acceleration to takeoff power.
(c) Engines for supersonic airplanes. In addition to complying with paragraphs (a)(1) and (a)(2) of this section, a separate test for supersonic airplane engines only, shall be conducted with three hailstones ingested at supersonic cruise velocity. These hailstones shall be aimed at the engine's critical face area, and their ingestion must not cause unacceptable mechanical damage or unacceptable power or thrust loss after the ingestion or require the engine to be shut down. The size of these hailstones shall be determined from the linear variation in diameter from 1-inch (25 millimeters) at 35,000 feet (10,500 meters) to
(d) For an engine that incorporates or requires the use of a protection device, demonstration of the rain and hail ingestion capabilities of the engine, as required in paragraphs (a), (b), and (c) of this section, may be waived wholly or in part by the Administrator if the applicant shows that:
(1) The subject rain and hail constituents are of a size that will not pass through the protection device;
(2) The protection device will withstand the impact of the subject rain and hail constituents; and
(3) The subject of rain and hail constituents, stopped by the protection device, will not obstruct the flow of induction air into the engine, resulting in damage, power or thrust loss, or other adverse engine anomalies in excess of what would be accepted in paragraphs (a), (b), and (c) of this section.
Each fuel burning thrust augmentor, including the nozzle, must—
(a) Provide cutoff of the fuel burning thrust augmentor;
(b) Permit on-off cycling;
(c) Be controllable within the intended range of operation;
(d) Upon a failure or malfunction of augmentor combustion, not cause the engine to lose thrust other than that provided by the augmentor; and
(e) Have controls that function compatibly with the other engine controls and automatically shut off augmentor fuel flow if the engine rotor speed drops below the minimum rotational speed at which the augmentor is intended to function.
This subpart prescribes the block tests and inspections for turbine engines.
Before each endurance test required by this subpart, the adjustment setting and functioning characteristic of each component having an adjustment setting and a functioning characteristic that can be established independent of installation on the engine must be established and recorded.
(a) Each engine must undergo vibration surveys to establish that the vibration characteristics of those components that may be subject to mechanically or aerodynamically induced vibratory excitations are acceptable throughout the declared flight envelope. The engine surveys shall be based upon an appropriate combination of experience, analysis, and component test and shall address, as a minimum, blades, vanes, rotor discs, spacers, and rotor shafts.
(b) The surveys shall cover the ranges of power or thrust, and both the physical and corrected rotational speeds for each rotor system, corresponding to operations throughout the range of ambient conditions in the declared flight envelope, from the minimum rotational speed up to 103 percent of the maximum physical and corrected rotational speed permitted for rating periods of two minutes or longer, and up to 100 percent of all other permitted physical and corrected rotational speeds, including those that are overspeeds. If there is any indication of a stress peak arising at the highest of those required physical or corrected rotational speeds, the surveys shall be extended sufficiently to reveal the maximum stress values present, except that the extension need not cover more than a further 2 percentage points increase beyond those speeds.
(c) Evaluations shall be made of the following:
(1) The effects on vibration characteristics of operating with scheduled changes (including tolerances) to variable vane angles, compressor bleeds, accessory loading, the most adverse inlet air flow distortion pattern declared by the manufacturer, and the most adverse conditions in the exhaust duct(s); and
(2) The aerodynamic and aeromechanical factors which might induce or influence flutter in those systems susceptible to that form of vibration.
(d) Except as provided by paragraph (e) of this section, the vibration stresses associated with the vibration characteristics determined under this section, when combined with the appropriate steady stresses, must be less than the endurance limits of the materials concerned, after making due allowances for operating conditions for the permitted variations in properties of the materials. The suitability of these stress margins must be justified for each part evaluated. If it is determined that certain operating conditions, or ranges, need to be limited, operating and installation limitations shall be established.
(e) The effects on vibration characteristics of excitation forces caused by fault conditions (such as, but not limited to, out-of balance, local blockage or enlargement of stator vane passages, fuel nozzle blockage, incorrectly schedule compressor variables, etc.) shall be evaluated by test or analysis, or by reference to previous experience and shall be shown not to create a hazardous condition.
(f) Compliance with this section shall be substantiated for each specific installation configuration that can affect the vibration characteristics of the engine. If these vibration effects cannot be fully investigated during engine certification, the methods by which they can be evaluated and methods by which compliance can be shown shall be substantiated and defined in the installation instructions required by § 33.5.
(a) If approval of a maximum engine overtorque is sought for an engine incorporating a free power turbine, compliance with this section must be demonstrated by testing.
(1) The test may be run as part of the endurance test requirement of § 33.87. Alternatively, tests may be performed on a complete engine or equivalent testing on individual groups of components.
(2) Upon conclusion of tests conducted to show compliance with this section, each engine part or individual groups of components must meet the requirements of § 33.93(a)(1) and (a)(2).
(b) The test conditions must be as follows:
(1) A total of 15 minutes run at the maximum engine overtorque to be approved. This may be done in separate runs, each being of at least 2
(2) A power turbine rotational speed equal to the highest speed at which the maximum overtorque can occur in service. The test speed may not be more than the limit speed of take-off or OEI ratings longer than 2 minutes.
(3) For engines incorporating a reduction gearbox, a gearbox oil temperature equal to the maximum temperature when the maximum engine overtorque could occur in service; and for all other engines, an oil temperature within the normal operating range.
(4) A turbine entry gas temperature equal to the maximum steady state temperature approved for use during periods longer than 20 seconds when operating at conditions not associated with 30-second or 2 minutes OEI ratings. The requirement to run the test at the maximum approved steady state temperature may be waived by the FAA if the applicant can demonstrate that other testing provides substantiation of the temperature effects when considered in combination with the other parameters identified in paragraphs (b)(1), (b)(2) and (b)(3) of this section.
(a) Each engine must be subjected to those calibration tests necessary to establish its power characteristics and the conditions for the endurance test specified § 33.87. The results of the power characteristics calibration tests form the basis for establishing the characteristics of the engine over its entire operating range of speeds, pressures, temperatures, and altitudes. Power ratings are based upon standard atmospheric conditions with no airbleed for aircraft services and with only those accessories installed which are essential for engine functioning.
(b) A power check at sea level conditions must be accomplished on the endurance test engine after the endurance test and any change in power characteristics which occurs during the endurance test must be determined. Measurements taken during the final portion of the endurance test may be used in showing compliance with the requirements of this paragraph.
(c) In showing compliance with this section, each condition must stabilize before measurements are taken, except as permitted by paragraph (d) of this section.
(d) In the case of engines having 30-second OEI, and 2-minute OEI ratings, measurements taken during the applicable endurance test prescribed in § 33.87(f) (1) through (8) may be used in showing compliance with the requirements of this section for these OEI ratings.
(a) General. Each engine must be subjected to an endurance test that includes a total of at least 150 hours of operation and, depending upon the type and contemplated use of the engine, consists of one of the series of runs specified in paragraphs (b) through (g) of this section, as applicable. For engines tested under paragraphs (b), (c), (d), (e) or (g) of this section, the prescribed 6-hour test sequence must be conducted 25 times to complete the required 150 hours of operation. Engines for which the 30-second OEI and 2-minute OEI ratings are desired must be further tested under paragraph (f) of this section. The following test requirements apply:
(1) The runs must be made in the order found appropriate by the FAA for the particular engine being tested.
(2) Any automatic engine control that is part of the engine must control the engine during the endurance test except for operations where automatic control is normally overridden by manual control or where manual control is otherwise specified for a particular test run.
(3) Except as provided in paragraph (a)(5) of this section, power or thrust, gas temperature, rotor shaft rotational speed, and, if limited, temperature of external surfaces of the engine must be at least 100 percent of the value associated with the particular engine operation being tested. More than one test may be run if all parameters cannot be held at the 100 percent level simultaneously.
(4) The runs must be made using fuel, lubricants and hydraulic fluid which conform to the specifications specified in complying with § 33.7(c).
(5) Maximum air bleed for engine and aircraft services must be used during at least one-fifth of the runs, except for the test required under paragraph (f) of this section, provided the validity of the test is not compromised. However, for these runs, the power or thrust or the rotor shaft rotational speed may be less than 100 percent of the value associated with the particular operation being tested if the FAA finds that the validity of the endurance test is not compromised.
(6) Each accessory drive and mounting attachment must be loaded in accordance with paragraphs (a)(6)(i) and (ii) of this section, except as permitted by paragraph (a)(6)(iii) of this section for the test required under paragraph (f) of this section.
(i) The load imposed by each accessory used only for aircraft service must be the limit load specified by the applicant for the engine drive and attachment point during rated maximum continuous power or thrust and higher output.
(ii) The endurance test of any accessory drive and mounting attachment under load may be accomplished on a separate rig if the validity of the test is confirmed by an approved analysis.
(iii) The applicant is not required to load the accessory drives and mounting attachments when running the tests under paragraphs (f)(1) through (f)(8) of this section if the applicant can substantiate that there is no significant effect on the durability of any accessory drive or engine component. However, the applicant must add the equivalent engine output power extraction from the power turbine rotor assembly to the engine shaft output.
(7) During the runs at any rated power or thrust the gas temperature and the oil inlet temperature must be maintained at the limiting temperature except where the test periods are not longer than 5 minutes and do not allow stabilization. At least one run must be made with fuel, oil, and hydraulic fluid at the minimum pressure limit and at least one run must be made with fuel, oil, and hydraulic fluid at the maximum pressure limit with fluid temperature reduced as necessary to allow maximum pressure to be attained.
(8) If the number of occurrences of either transient rotor shaft overspeed, transient gas overtemperature or transient engine overtorque is limited, that number of the accelerations required by paragraphs (b) through (g) of this section must be made at the limiting overspeed, overtemperature or overtorque. If the number of occurrences is not limited, half the required accelerations must be made at the limiting overspeed, overtemperature or overtorque.
(9) For each engine type certificated for use on supersonic aircraft the following additional test requirements apply:
(i) To change the thrust setting, the power control lever must be moved from the initial position to the final position in not more than one second except for movements into the fuel burning thrust augmentor augmentation position if additional time to confirm ignition is necessary.
(ii) During the runs at any rated augmented thrust the hydraulic fluid temperature must be maintained at the limiting temperature except where the test periods are not long enough to allow stabilization.
(iii) During the simulated supersonic runs the fuel temperature and induction air temperature may not be less than the limiting temperature.
(iv) The endurance test must be conducted with the fuel burning thrust augmentor installed, with the primary and secondary exhaust nozzles installed, and with the variable area exhaust nozzles operated during each run according to the methods specified in complying with § 33.5(b).
(v) During the runs at thrust settings for maximum continuous thrust and percentages thereof, the engine must be operated with the inlet air distortion at the limit for those thrust settings.
(b) Engines other than certain rotorcraft engines. For each engine except a rotorcraft engine for which a rating is desired under paragraph (c), (d), or (e) of this section, the applicant must conduct the following runs:
(1) Takeoff and idling. One hour of alternate five-minute periods at rated takeoff power or thrust and at idling power or thrust. The developed powers or thrusts at takeoff and idling conditions and their corresponding rotor speed and gas temperature conditions must be as established by the power control in accordance with the schedule established by the applicant. The applicant may, during any one period, manually control the rotor speed, power, or thrust while taking data to check performance. For engines with augmented takeoff power ratings that involve increases in turbine inlet temperature, rotor speed, or shaft power, this period of running at takeoff must be at the augmented rating. For engines with augmented takeoff power ratings that do not materially increase operating severity, the amount of running conducted at the augmented rating is determined by the FAA. In changing the power setting after each period, the power-control lever must be moved in the manner prescribed in paragraph (b)(5) of this section.
(2) Rated maximum continuous and takeoff power or thrust. Thirty minutes at—
(i) Rated maximum continuous power or thrust during fifteen of the twenty-five 6-hour endurance test cycles; and
(ii) Rated takeoff power or thrust during ten of the twenty-five 6-hour endurance test cycles.
(3) Rated maximum continuous power or thrust. One hour and 30 minutes at rated maximum continuous power or thrust.
(4) Incremental cruise power or thrust. Two hours and 30 minutes at the successive power lever positions corresponding to at least 15 approximately equal speed and time increments between maximum continuous engine rotational speed and ground or minimum idle rotational speed. For engines operating at constant speed, the thrust and power may be varied in place of speed. If there is significant peak vibration anywhere between ground idle and maximum continuous conditions, the number of increments chosen may be changed to increase the amount of running made while subject to the peak vibrations up to not more than 50 percent of the total time spent in incremental running.
(5) Acceleration and deceleration runs. 30 minutes of accelerations and decelerations, consisting of six cycles from idling power or thrust to rated takeoff power or thrust and maintained at the takeoff power lever position for 30 seconds and at the idling power lever position for approximately four and one-half minutes. In complying with this paragraph, the power-control lever must be moved from one extreme position to the other in not more than one second, except that, if different regimes of control operations are incorporated necessitating scheduling of the power-control lever motion in going from one extreme position to the other, a longer period of time is acceptable, but not more than two seconds.
(6) Starts. One hundred starts must be made, of which 25 starts must be preceded by at least a two-hour engine shutdown. There must be at least 10 false engine starts, pausing for the applicant's specified minimum fuel drainage time, before attempting a normal start. There must be at least 10 normal restarts with not longer than 15 minutes since engine shutdown. The remaining starts may be made after completing the 150 hours of endurance testing.
(c) Rotorcraft engines for which a 30-minute OEI power rating is desired. For each rotorcraft engine for which a 30-minute OEI power rating is desired, the applicant must conduct the following series of tests:
(1) Takeoff and idling. One hour of alternate 5-minute periods at rated takeoff power and at idling power. The developed powers at takeoff and idling conditions and their corresponding rotor speed and gas temperature conditions must be as established by the power control in accordance with the schedule established by the applicant. During any one period, the rotor speed and power may be controlled manually while taking data to check performance. For engines with augmented takeoff power ratings that involve increases in turbine inlet temperature, rotor speed, or shaft power, this period of running at rated takeoff power must be at the augmented power rating. In changing the power setting after each period, the power control lever must be moved in the manner prescribed in paragraph (c)(6) of this section.
(2) Rated maximum continuous and takeoff power. Thirty minutes at—
(i) Rated maximum continuous power during fifteen of the twenty-five 6-hour endurance test cycles; and
(ii) Rated takeoff power during ten of the twenty-five 6-hour endurance test cycles.
(3) Rated maximum continuous power. One hour at rated maximum continuous power.
(4) Rated 30-minute OEI power. Thirty minutes at rated 30-minute OEI power.
(5) Incremental cruise power. Two hours and 30 minutes at the successive power lever positions corresponding with not less than 15 approximately equal speed and time increments between maximum continuous engine rotational speed and ground or minimum idle rotational speed. For engines operating at constant speed, power may be varied in place of speed. If there are significant peak vibrations anywhere between ground idle and maximum continuous conditions, the number of increments chosen must be changed to increase the amount of running conducted while subject to peak vibrations up to not more than 50 percent of the total time spent in incremental running.
(6) Acceleration and deceleration runs. Thirty minutes of accelerations and decelerations, consisting of six cycles from idling power to rated takeoff power and maintained at the takeoff power lever position for 30 seconds and at the idling power lever position for approximately 4
(7) Starts. One hundred starts, of which 25 starts must be preceded by at least a two-hour engine shutdown. There must be at least 10 false engine starts, pausing for the applicant's specified minimum fuel drainage time, before attempting a normal start. There must be at least 10 normal restarts not more than 15 minutes after engine shutdown. The remaining starts may be made after completing the 150 hours of endurance testing.
(d) Rotorcraft engines for which a continuous OEI rating is desired. For each rotorcraft engine for which a continuous OEI power rating is desired, the applicant must conduct the following series of tests:
(1) Takeoff and idling. One hour of alternate 5-minute periods at rated takeoff power and at idling power. The developed powers at takeoff and idling conditions and their corresponding rotor speed and gas temperature conditions must be as established by the power control in accordance with the schedule established by the applicant. During any one period the rotor speed and power may be controlled manually while taking data to check performance. For engines with augmented takeoff power ratings that involve increases in turbine inlet temperature, rotor speed, or shaft power, this period of running at rated takeoff power must be at the augmented power rating. In changing the power setting after each period, the power control lever must be moved in the manner prescribed in paragraph (d)(6) of this section.
(2) Rated maximum continuous and takeoff power. Thirty minutes at—
(i) Rated maximum continuous power during fifteen of the twenty-five 6-hour endurance test cycles; and
(ii) Rated takeoff power during ten of the twenty-five 6-hour endurance test cycles.
(3) Rated continuous OEI power. One hour at rated continuous OEI power.
(4) Rated maximum continuous power. One hour at rated maximum continuous power.
(5) Incremental cruise power. Two hours at the successive power lever positions corresponding with not less than 12 approximately equal speed and time increments between maximum continuous engine rotational speed and ground or minimum idle rotational speed. For engines operating at constant speed, power may be varied in place of speed. If there are significant peak vibrations anywhere between ground idle and maximum continuous conditions, the number of increments chosen must be changed to increase the amount of running conducted while being subjected to the peak vibrations up to not more than 50 percent of the total time spent in incremental running.
(6) Acceleration and deceleration runs. Thirty minutes of accelerations and decelerations, consisting of six cycles from idling power to rated takeoff power and maintained at the takeoff power lever position for 30 seconds and at the idling power lever position for approximately 4
(7) Starts. One hundred starts, of which 25 starts must be preceded by at least a 2-hour engine shutdown. There must be at least 10 false engine starts, pausing for the applicant's specified minimum fuel drainage time, before attempting a normal start. There must be at least 10 normal restarts with not longer than 15 minutes since engine shutdown. The remaining starts may be made after completing the 150 hours of endurance testing.
(e) Rotorcraft engines for which a 2
(1) Takeoff, 2
(2) The tests required in paragraphs (b)(2) through (b)(6), or (c)(2) through (c)(7), or (d)(2) through (d)(7) of this section, as applicable, except that in one of the 6-hour test sequences, the last 5 minutes of the 30 minutes at takeoff power test period of paragraph (b)(2) of this section, or of the 30 minutes at 30-minute OEI power test period of paragraph (c)(4) of this section, or of the l hour at continuous OEI power test period of paragraph (d)(3) of this section, must be run at 2
(f) Rotorcraft Engines for which 30-second OEI and 2-minute OEI ratings are desired. For each rotorcraft engine for which 30-second OEI and 2-minute OEI power ratings are desired, and following completion of the tests under paragraphs (b), (c), (d), or (e) of this section, the applicant may disassemble the tested engine to the extent necessary to show compliance with the requirements of § 33.93(a). The tested engine must then be reassembled using the same parts used during the test runs of paragraphs (b), (c), (d), or (e) of this section, except those parts described as consumables in the Instructions for Continued Airworthiness. Additionally, the tests required in paragraphs (f)(1) through (f)(8) of this section must be run continuously. If a stop occurs during these tests, the interrupted sequence must be repeated unless the applicant shows that the severity of the test would not be reduced if it were continued. The applicant must conduct the following test sequence four times, for a total time of not less than 120 minutes:
(1) Takeoff power. Three minutes at rated takeoff power.
(2) 30-second OEI power. Thirty seconds at rated 30-second OEI power.
(3) 2-minute OEI power. Two minutes at rated 2-minute OEI power.
(4) 30-minute OEI power, continuous OEI power, or maximum continuous power. Five minutes at whichever is the greatest of rated 30-minute OEI power, rated continuous OEI power, or rated maximum continuous power, except that, during the first test sequence, this period shall be 65 minutes. However, where the greatest rated power is 30-minute OEI power, that sixty-five minute period shall consist of 30 minutes at 30-minute OEI power followed by 35 minutes at whichever is the greater of continuous OEI power or maximum continuous power.
(5) 50 percent takeoff power. One minute at 50 percent takeoff power.
(6) 30-second OEI power. Thirty seconds at rated 30-second OEI power.
(7) 2-minute OEI power. Two minutes at rated 2-minute OEI power.
(8) Idle. One minute at flight idle.
(g) Supersonic aircraft engines. For each engine type certificated for use on supersonic aircraft the applicant must conduct the following:
(1) Subsonic test under sea level ambient atmospheric conditions. Thirty runs of one hour each must be made, consisting of—
(i) Two periods of 5 minutes at rated takeoff augmented thrust each followed by 5 minutes at idle thrust;
(ii) One period of 5 minutes at rated takeoff thrust followed by 5 minutes at not more than 15 percent of rated takeoff thrust;
(iii) One period of 10 minutes at rated takeoff augmented thrust followed by 2 minutes at idle thrust, except that if rated maximum continuous augmented thrust is lower than rated takeoff augmented thrust, 5 of the 10-minute periods must be at rated maximum continuous augmented thrust; and
(iv) Six periods of 1 minute at rated takeoff augmented thrust each followed by 2 minutes, including acceleration and deceleration time, at idle thrust.
(2) Simulated supersonic test. Each run of the simulated supersonic test must be preceded by changing the inlet air temperature and pressure from that attained at subsonic condition to the temperature and pressure attained at supersonic velocity, and must be followed by a return to the temperature attained at subsonic condition. Thirty runs of 4 hours each must be made, consisting of—
(i) One period of 30 minutes at the thrust obtained with the power control lever set at the position for rated maximum continuous augmented thrust followed by 10 minutes at the thrust obtained with the power control lever set at the position for 90 percent of rated maximum continuous augmented thrust. The end of this period in the first five runs must be made with the induction air temperature at the limiting condition of transient overtemperature, but need not be repeated during the periods specified in paragraphs (g)(2)(ii) through (iv) of this section;
(ii) One period repeating the run specified in paragraph (g)(2)(i) of this section, except that it must be followed by 10 minutes at the thrust obtained with the power control lever set at the position for 80 percent of rated maximum continuous augmented thrust;
(iii) One period repeating the run specified in paragraph (g)(2)(i) of this section, except that it must be followed by 10 minutes at the thrust obtained with the power control lever set at the position for 60 percent of rated maximum continuous augmented thrust and then 10 minutes at not more than 15 percent of rated takeoff thrust;
(iv) One period repeating the runs specified in paragraphs (g)(2)(i) and (ii) of this section; and
(v) One period of 30 minutes with 25 of the runs made at the thrust obtained with the power control lever set at the position for rated maximum continuous augmented thrust, each followed by idle thrust and with the remaining 5 runs at the thrust obtained with the power control lever set at the position for rated maximum continuous augmented thrust for 25 minutes each, followed by subsonic operation at not more than 15 percent or rated takeoff thrust and accelerated to rated takeoff thrust for 5 minutes using hot fuel.
(3) Starts. One hundred starts must be made, of which 25 starts must be preceded by an engine shutdown of at least 2 hours. There must be at least 10 false engine starts, pausing for the applicant's specified minimum fuel drainage time before attempting a normal start. At least 10 starts must be normal restarts, each made no later than 15 minutes after engine shutdown. The starts may be made at any time, including the period of endurance testing.
(a) Each engine must run for 5 minutes at maximum permissible rpm with the gas temperature at least 75 °F (42 °C) higher than the maximum rating's steady-state operating limit, excluding maximum values of rpm and gas temperature associated with the 30-second OEI and 2-minute OEI ratings. Following this run, the turbine assembly must be within serviceable limits.
(b) In addition to the test requirements in paragraph (a) of this section, each engine for which 30-second OEI and 2-minute OEI ratings are desired, that incorporates a means for automatic temperature control within its operating limitations in accordance with § 33.28(k), must run for a period of 4 minutes at the maximum power-on rpm with the gas temperature at least 35 °F (19 °C) higher than the maximum operating limit at 30-second OEI rating. Following this run, the turbine assembly may exhibit distress beyond the limits for an overtemperature condition provided the engine is shown by analysis or test, as found necessary by the FAA, to maintain the integrity of the turbine assembly.
(c) A separate test vehicle may be used for each test condition.
(a) The operation test must include testing found necessary by the Administrator to demonstrate—
(1) Starting, idling, acceleration, overspeeding, ignition, functioning of the propeller (if the engine is designated to operate with a propeller);
(2) Compliance with the engine response requirements of § 33.73; and
(3) The minimum power or thrust response time to 95 percent rated takeoff power or thrust, from power lever positions representative of minimum idle and of minimum flight idle, starting from stabilized idle operation, under the following engine load conditions:
(i) No bleed air and power extraction for aircraft use.
(ii) Maximum allowable bleed air and power extraction for aircraft use.
(iii) An intermediate value for bleed air and power extraction representative of that which might be used as a maximum for aircraft during approach to a landing.
(4) If testing facilities are not available, the determination of power extraction required in paragraph (a)(3)(ii) and (iii) of this section may be accomplished through appropriate analytical means.
(b) The operation test must include all testing found necessary by the Administrator to demonstrate that the engine has safe operating characteristics throughout its specified operating envelope.
Each applicant, except an applicant for an engine being type certificated through amendment of an existing type certificate or through supplemental type certification procedures, must complete one of the following tests on an engine that substantially conforms to the type design to establish when the initial maintenance inspection is required:
(a) An approved engine test that simulates the conditions in which the engine is expected to operate in service, including typical start-stop cycles.
(b) An approved engine test conducted in accordance with § 33.201 (c) through (f).
(a) For those systems or components that cannot be adequately substantiated in accordance with endurance testing of § 33.87, the applicant must conduct additional tests to demonstrate that the systems or components are able to perform the intended functions in all declared environmental and operating conditions.
(b) Temperature limits must be established for those components that require temperature controlling provisions in the aircraft installation to assure satisfactory functioning, reliability, and durability.
(c) Each unpressurized hydraulic fluid tank may not fail or leak when subjected to a maximum operating temperature and an internal pressure of 5 p.s.i., and each pressurized hydraulic fluid tank must meet the requirements of § 33.64.
(d) For an engine type certificated for use in supersonic aircraft, the systems, safety devices, and external components that may fail because of operation at maximum and minimum operating temperatures must be identified and tested at maximum and minimum operating temperatures and while temperature and other operating conditions are cycled between maximum and minimum operating values.
If continued rotation is prevented by a means to lock the rotor(s), the engine must be subjected to a test that includes 25 operations of this means under the following conditions:
(a) The engine must be shut down from rated maximum continuous thrust or power; and
(b) The means for stopping and locking the rotor(s) must be operated as specified in the engine operating instructions while being subjected to the maximum torque that could result from continued flight in this condition; and
(c) Following rotor locking, the rotor(s) must be held stationary under these conditions for five minutes for each of the 25 operations.
(a) After completing the endurance testing of § 33.87 (b), (c), (d), (e), or (g) of this part, each engine must be completely disassembled, and
(1) Each component having an adjustment setting and a functioning characteristic that can be established independent of installation on the engine must retain each setting and functioning characteristic within the limits that were established and recorded at the beginning of the test; and
(2) Each engine part must conform to the type design and be eligible for incorporation into an engine for continued operation, in accordance with information submitted in compliance with § 33.4.
(b) After completing the endurance testing of § 33.87(f), each engine must be completely disassembled, and
(1) Each component having an adjustment setting and a functioning characteristic that can be established independent of installation on the engine must retain each setting and functioning characteristic within the limits that were established and recorded at the beginning of the test; and
(2) Each engine may exhibit deterioration in excess of that permitted in paragraph (a)(2) of this section, including some engine parts or components that may be unsuitable for further use. The applicant must show by inspection, analysis, test, or by any combination thereof as found necessary by the FAA, that structural integrity of the engine is maintained; or
(c) In lieu of compliance with paragraph (b) of this section, each engine for which the 30-second OEI and 2-minute OEI ratings are desired, may be subjected to the endurance testing of §§ 33.87 (b), (c), (d), or (e) of this part, and followed by the testing of § 33.87(f) without intervening disassembly and inspection. However, the engine must comply with paragraph (a) of this section after completing the endurance testing of § 33.87(f).
(a) Except as provided in paragraph (b) of this section, it must be demonstrated by engine tests that the engine is capable of containing damage without catching fire and without failure of its mounting attachments when operated for at least 15 seconds, unless the resulting engine damage induces a self shutdown, after each of the following events:
(1) Failure of the most critical compressor or fan blade while operating at maximum permissible r.p.m. The blade failure must occur at the outermost retention groove or, for integrally-bladed rotor discs, at least 80 percent of the blade must fail.
(2) Failure of the most critical turbine blade while operating at maximum permissible r.p.m. The blade failure must occur at the outermost retention groove or, for integrally-bladed rotor discs, at least 80 percent of the blade must fail. The most critical turbine blade must be determined by considering turbine blade weight and the strength of the adjacent turbine case at case temperatures and pressures associated with operation at maximum permissible r.p.m.
(b) Analysis based on rig testing, component testing, or service experience may be substitute for one of the engine tests prescribed in paragraphs (a)(1) and (a)(2) of this section if—
(1) That test, of the two prescribed, produces the least rotor unbalance; and
(2) The analysis is shown to be equivalent to the test.
If the engine is designed to operate with a propeller, the following tests must be made with a representative propeller installed by either including the tests in the endurance run or otherwise performing them in a manner acceptable to the Administrator:
(a) Feathering operation: 25 cycles.
(b) Negative torque and thrust system operation: 25 cycles from rated maximum continuous power.
(c) Automatic decoupler operation: 25 cycles from rated maximum continuous power (if repeated decoupling and recoupling in service is the intended function of the device).
(d) Reverse thrust operation: 175 cycles from the flight-idle position to full reverse and 25 cycles at rated maximum continuous power from full forward to full reverse thrust. At the end of each cycle the propeller must be operated in reverse pitch for a period of 30 seconds at the maximum rotational speed and power specified by the applicant for reverse pitch operation.
If the engine is designed with a propeller brake which will allow the propeller to be brought to a stop while the gas generator portion of the engine remains in operation, and remain stopped during operation of the engine as an auxiliary power unit (“APU mode”), in addition to the requirements of § 33.87, the applicant must conduct the following tests:
(a) Ground locking: A total of 45 hours with the propeller brake engaged in a manner which clearly demonstrates its ability to function without adverse effects on the complete engine while the engine is operating in the APU mode under the maximum conditions of engine speed, torque, temperature, air bleed, and power extraction as specified by the applicant.
(b) Dynamic braking: A total of 400 application-release cycles of brake engagements must be made in a manner which clearly demonstrates its ability to function without adverse effects on the complete engine under the maximum conditions of engine acceleration/deceleration rate, speed, torque, and temperature as specified by the applicant. The propeller must be stopped prior to brake release.
(c) One hundred engine starts and stops with the propeller brake engaged.
(d) The tests required by paragraphs (a), (b), and (c) of this section must be performed on the same engine, but this engine need not be the same engine used for the tests required by § 33.87.
(e) The tests required by paragraphs (a), (b), and (c) of this section must be followed by engine disassembly to the extent necessary to show compliance with the requirements of § 33.93(a) and § 33.93(b).
(a) If the engine incorporates a reverser, the endurance, calibration, operation, and vibration tests prescribed in this subpart must be run with the reverser installed. In complying with this section, the power control lever must be moved from one extreme position to the other in not more than one second except, if regimes of control operations are incorporated necessitating scheduling of the power-control lever motion in going from one extreme position to the other, a longer period of time is acceptable but not more than three seconds. In addition, the test prescribed in paragraph (b) of this section must be made. This test may be scheduled as part of the endurance run.
(b) 175 reversals must be made from flight-idle forward thrust to maximum reverse thrust and 25 reversals must be made from rated takeoff thrust to maximum reverse thrust. After each reversal the reverser must be operated at full reverse thrust for a period of one minute, except that, in the case of a reverser intended for use only as a braking means on the ground, the reverser need only be operated at full reverse thrust for 30 seconds.
(a) Each applicant may, in making a block test, use separate engines of identical design and construction in the vibration, calibration, endurance, and operation tests, except that, if a separate engine is used for the endurance test it must be subjected to a calibration check before starting the endurance test.
(b) Each applicant may service and make minor repairs to the engine during the block tests in accordance with the service and maintenance instructions submitted in compliance with § 33.4. If the frequency of the service is excessive, or the number of stops due to engine malfunction is excessive, or a major repair, or replacement of a part is found necessary during the block tests or as the result of findings from the teardown inspection, the engine or its parts must be subjected to any additional tests the Administrator finds necessary.
(c) Each applicant must furnish all testing facilities, including equipment and competent personnel, to conduct the block tests.
An applicant seeking type design approval for an engine to be installed on a two-engine airplane approved for ETOPS without the service experience specified in part 25, appendix K, K25.2.1 of this chapter, must comply with the following:
(a) The engine must be designed using a design quality process acceptable to the FAA, that ensures the design features of the engine minimize the occurrence of failures, malfunctions, defects, and maintenance errors that could result in an IFSD, loss of thrust control, or other power loss.
(b) The design features of the engine must address problems shown to result in an IFSD, loss of thrust control, or other power loss in the applicant's other relevant type designs approved within the past 10 years, to the extent that adequate service data is available within that 10-year period. An applicant without adequate service data must show experience with and knowledge of problem mitigating design practices equivalent to that gained from actual service experience in a manner acceptable to the FAA.
(c) Except as specified in paragraph (f) of this section, the applicant must conduct a simulated ETOPS mission cyclic endurance test in accordance with an approved test plan on an engine that substantially conforms to the type design. The test must:
(1) Include a minimum of 3,000 representative service start-stop mission cycles and three simulated diversion cycles at maximum continuous thrust or power for the maximum diversion time for which ETOPS eligibility is sought. Each start-stop mission cycle must include the use of take-off, climb, cruise, descent, approach, and landing thrust or power and the use of thrust reverse (if applicable). The diversions must be evenly distributed over the duration of the test. The last diversion must be conducted within 100 cycles of the completion of the test.
(2) Be performed with the high speed and low speed main engine rotors independently unbalanced to obtain a minimum of 90 percent of the recommended field service maintenance vibration levels. For engines with three main engine rotors, the intermediate speed rotor must be independently unbalanced to obtain a minimum of 90 percent of the recommended production acceptance vibration level. The required peak vibration levels must be verified during a slow acceleration and deceleration run of the test engine covering the main engine rotor operating speed ranges.
(3) Include a minimum of three million vibration cycles for each 60 rpm incremental step of the typical high-speed rotor start-stop mission cycle. The test may be conducted using any rotor speed step increment from 60 to 200 rpm provided the test encompasses the typical service start-stop cycle speed range. For incremental steps greater than 60 rpm, the minimum number of vibration cycles must be linearly increased up to ten million cycles for a 200 rpm incremental step.
(4) Include a minimum of 300,000 vibration cycles for each 60 rpm incremental step of the high-speed rotor approved operational speed range between minimum flight idle and cruise power not covered by paragraph (c)(3) of this section. The test may be conducted using any rotor speed step increment from 60 to 200 rpm provided the test encompasses the applicable speed range. For incremental steps greater than 60 rpm the minimum number of vibration cycles must be linearly increased up to 1 million for a 200 rpm incremental step.
(5) Include vibration surveys at periodic intervals throughout the test. The equivalent value of the peak vibration level observed during the surveys must meet the minimum vibration requirement of § 33.201(c)(2).
(d) Prior to the test required by paragraph (c) of this section, the engine must be subjected to a calibration test to document power and thrust characteristics.
(e) At the conclusion of the testing required by paragraph (c) of this section, the engine must:
(1) Be subjected to a calibration test at sea-level conditions. Any change in power or thrust characteristics must be within approved limits.
(2) Be visually inspected in accordance with the on-wing inspection recommendations and limits contained in the Instructions for Continued Airworthiness submitted in compliance with § 33.4.
(3) Be completely disassembled and inspected—
(i) In accordance with the applicable inspection recommendations and limits contained in the Instructions for Continued Airworthiness submitted in compliance with § 33.4;
(ii) With consideration of the causes of IFSD, loss of thrust control, or other power loss identified by paragraph (b) of this section; and
(iii) In a manner to identify wear or distress conditions that could result in an IFSD, loss of thrust control, or other power loss not specifically identified by paragraph (b) of this section or addressed within the Instructions for Continued Airworthiness.
(4) Not show wear or distress to the extent that could result in an IFSD, loss of thrust control, or other power loss within a period of operation before the component, assembly, or system would likely have been inspected or functionally tested for integrity while in service. Such wear or distress must have corrective action implemented through a design change, a change to maintenance instructions, or operational procedures before ETOPS eligibility is granted. The type and frequency of wear and distress that occurs during the engine test must be consistent with the type and frequency of wear and distress that would be expected to occur on ETOPS eligible engines.
(f) An alternative mission cycle endurance test that provides an equivalent demonstration of the unbalance and vibration specified in paragraph (c) of this section may be used when approved by the FAA.
(g) For an applicant using the simulated ETOPS mission cyclic endurance test to comply with § 33.90, the test may be interrupted so that the engine may be inspected by an on-wing or other method, using criteria acceptable to the FAA, after completion of the test cycles required to comply with § 33.90(a). Following the inspection, the ETOPS test must be resumed to complete the requirements of this section.
(a) This appendix specifies requirements for the preparation of Instructions for Continued Airworthiness as required by § 33.4.
(b) The Instructions for Continued Airworthiness for each engine must include the Instructions for Continued Airworthiness for all engine parts. If Instructions for Continued Airworthiness are not supplied by the engine part manufacturer for an engine part, the Instructions for Continued Airworthiness for the engine must include the information essential to the continued airworthiness of the engine.
(c) The applicant must submit to the FAA a program to show how changes to the Instructions for Continued Airworthiness made by the applicant or by the manufacturers of engine parts will be distributed.
(a) The Instructions for Continued Airworthiness must be in the form of a manual or manuals as appropriate for the quantity of data to be provided.
(b) The format of the manual or manuals must provide for a practical arrangement.
The contents of the manual or manuals must be prepared in the English language. The Instructions for Continued Airworthiness must contain the following manuals or sections, as appropriate, and information:
(a) Engine Maintenance Manual or Section. (1) Introduction information that includes an explanation of the engine's features and data to the extent necessary for maintenance or preventive maintenance.
(2) A detailed description of the engine and its components, systems, and installations.
(3) Installation instructions, including proper procedures for uncrating, deinhibiting, acceptance checking, lifting, and attaching accessories, with any necessary checks.
(4) Basic control and operating information describing how the engine components, systems, and installations operate, and information describing the methods of starting, running, testing, and stopping the engine and its parts including any special procedures and limitations that apply.
(5) Servicing information that covers details regarding servicing points, capacities of tanks, reservoirs, types of fluids to be used, pressures applicable to the various systems, locations of lubrication points, lubricants to be used, and equipment required for servicing.
(6) Scheduling information for each part of the engine that provides the recommended periods at which it should be cleaned, inspected, adjusted, tested, and lubricated, and the degree of inspection the applicable wear tolerances, and work recommended at these periods. However, the applicant may refer to an accessory, instrument, or equipment manufacturer as the source of this information if the applicant shows that the item has an exceptionally high degree of complexity requiring specialized maintenance techniques, test equipment, or expertise. The recommended overhaul periods and necessary cross references to the Airworthiness Limitations section of the manual must also be included. In addition, the applicant must include an inspection program that includes the frequency and extent of the inspections necessary to provide for the continued airworthiness of the engine.
(7) Troubleshooting information describing probable malfunctions, how to recognize those malfunctions, and the remedial action for those malfunctions.
(8) Information describing the order and method of removing the engine and its parts and replacing parts, with any necessary precautions to be taken. Instructions for proper ground handling, crating, and shipping must also be included.
(9) A list of the tools and equipment necessary for maintenance and directions as to their method of use.
(b) Engine Overhaul Manual or Section. (1) Disassembly information including the order and method of disassembly for overhaul.
(2) Cleaning and inspection instructions that cover the materials and apparatus to be used and methods and precautions to be taken during overhaul. Methods of overhaul inspection must also be included.
(3) Details of all fits and clearances relevant to overhaul.
(4) Details of repair methods for worn or otherwise substandard parts and components along with the information necessary to determine when replacement is necessary.
(5) The order and method of assembly at overhaul.
(6) Instructions for testing after overhaul.
(7) Instructions for storage preparation, including any storage limits.
(8) A list of tools needed for overhaul.
(c) ETOPS Requirements. For an applicant seeking eligibility for an engine to be installed on an airplane approved for ETOPS, the Instructions for Continued Airworthiness must include procedures for engine condition monitoring. The engine condition monitoring procedures must be able to determine prior to flight, whether an engine is capable of providing, within approved engine operating limits, maximum continuous power or thrust, bleed air, and power extraction required for a relevant engine inoperative diversion. For an engine to be installed on a two-engine airplane approved for ETOPS, the engine condition monitoring procedures must be validated before ETOPS eligibility is granted.
The Instructions for Continued Airworthiness must contain a section titled Airworthiness Limitations that is segregated and clearly distinguishable from the rest of the manual.
(a) For all engines:
(1) The Airworthiness Limitations section must set forth each mandatory replacement time, inspection interval, and related procedure required for type certification. If the Instructions for Continued Airworthiness consist of multiple documents, the section required under this paragraph must be included in the principal manual.
(2) This section must contain a legible statement in a prominent location that reads: “The Airworthiness Limitations section is FAA approved and specifies maintenance required under §§ 43.16 and 91.403 of Title 14 of the Code of Federal Regulations unless an alternative program has been FAA approved.”
(b) For rotorcraft engines having 30-second OEI and 2-minute OEI ratings:
(1) The Airworthiness Limitations section must also prescribe the mandatory post-flight inspections and maintenance actions associated with any use of either 30-second OEI or 2-minute OEI ratings.
(2) The applicant must validate the adequacy of the inspections and maintenance actions required under paragraph (b)(1) of this section A33.4.
(3) The applicant must establish an in-service engine evaluation program to ensure the continued adequacy of the instructions for mandatory post-flight inspections and maintenance actions prescribed under paragraph (b)(1) of this section A33.4 and of the data for § 33.5(b)(4) pertaining to power availability. The program must include service engine tests or equivalent service engine test experience on engines of similar design and evaluations of service usage of the 30-second OEI or 2-minute OEI ratings.
Figure B1, Table B1, Table B2, Table B3, and Table B4 specify the atmospheric concentrations and size distributions of rain and hail for establishing certification, in accordance with the requirements of § 33.78(a)(2). In conducting tests, normally by spraying liquid water to simulate rain conditions and by delivering hail fabricated from ice to simulate hail conditions, the use of water droplets and hail having shapes, sizes and distributions of sizes other than those defined in this appendix B, or the use of a single size or shape for each water droplet or hail, can be accepted, provided that applicant shows that the substitution does not reduce the severity of the test.
Table B1—Certification Standard Atmospheric Rain Concentrations
| Altitude (feet) | Rain water content (RWC)
(grams water/meter 3 air) |
|---|---|
| 0 | 20.0 |
| 20,000 | 20.0 |
| 26,300 | 15.2 |
| 32,700 | 10.8 |
| 39,300 | 7.7 |
| 46,000 | 5.2 |
RWC values at other altitudes may be determined by linear interpolation.
Table B2—Certification Standard Atmospheric Hail Concentrations
| Altitude (feet) | Hail water content (HWC)
(grams water/meter 3 air) |
|---|---|
| 0 | 6.0 |
| 7,300 | 8.9 |
| 8,500 | 9.4 |
| 10,000 | 9.9 |
| 12,000 | 10.0 |
| 15,000 | 10.0 |
| 16,000 | 8.9 |
| 17,700 | 7.8 |
| 19,300 | 6.6 |
| 21,500 | 5.6 |
| 24,300 | 4.4 |
| 29,000 | 3.3 |
| 46,000 | 0.2 |
HWC values at other altitudes may be determined by linear interpolation. The hail threat below 7,300 feet and above 29,000 feet is based on linearly extrapolated data.
Table B3—Certification Standard Atmospheric Rain Droplet Size Distribution
| Rain droplet diameter (mm) | Contribution total RWC (%) |
|---|---|
| 0-0.49 | 0 |
| 0.50-0.99 | 2.25 |
| 1.00-1.49 | 8.75 |
| 1.50-1.99 | 16.25 |
| 2.00-2.49 | 19.00 |
| 2.50-2.99 | 17.75 |
| 3.00-3.49 | 13.50 |
| 3.50-3.99 | 9.50 |
| 4.00-4.49 | 6.00 |
| 4.50-4.99 | 3.00 |
| 5.00-5.49 | 2.00 |
| 5.50-5.99 | 1.25 |
| 6.00-6.49 | 0.50 |
| 6.50-7.00 | 0.25 |
| Total | 100.00 |
Median diameter of rain droplets in 2.66 mm
Table B4—Certification Standard Atmospheric Hail Size Distribution
| Hail diameter (mm) | Contribution total HWC (%) |
|---|---|
| 0-4.9 | 0 |
| 5.0-9.9 | 17.00 |
| 10.0-14.9 | 25.00 |
| 15.0-19.9 | 22.50 |
| 20.0-24.9 | 16.00 |
| 25.0-29.9 | 9.75 |
| 30.0-34.9 | 4.75 |
| 35.0-39.9 | 2.50 |
| 40.0-44.9 | 1.50 |
| 45.0-49.9 | 0.75 |
| 50.0-55.0 | 0.25 |
| Total | 100.00 |
Median diameter of hail is 16 mm
The ice crystal icing envelope is depicted in Figure D1 of this Appendix.
Within the envelope, total water content (TWC) in g/m
Ice crystal size median mass dimension (MMD) range is 50-200 microns (equivalent spherical size) based upon measurements near convective storm cores.
The TWC can be treated as completely glaciated (ice crystal) except as noted in the Table 1 of this Appendix.
Table 1—Supercooled Liquid Portion of TWC
| Temperature range—deg C | Horizontal cloud length—nautical miles | LWC—
g/m 3 |
|---|---|---|
| 0 to −20 | ≤50 | ≤1.0 |
| 0 to −20 | Indefinite | ≤0.5 |
| < −20 | 0 |
The TWC levels displayed in Figure D2 of this Appendix represent TWC values for a standard exposure distance (horizontal cloud length) of 17.4 nautical miles that must be adjusted with length of icing exposure.
As used in this part, all terms not defined herein shall have the meaning given them in the Clean Air Act, as amended (42 U.S.C. 7401 et. seq.):
Act means the Clean Air Act, as amended (42 U.S.C. 7401 et. seq.).
Administrator means the Administrator of the Federal Aviation Administration or any person to whom he has delegated his authority in the matter concerned.
Administrator of the EPA means the Administrator of the Environmental Protection Agency and any other officer or employee of the Environmental Protection Agency to whom the authority involved may be delegated.
Aircraft as used in this part means any airplane as defined in 14 CFR part 1 for which a U.S. standard airworthiness certificate or equivalent foreign airworthiness certificate is issued.
Aircraft engine means a propulsion engine which is installed in, or which is manufactured for installation in, an aircraft.
Aircraft gas turbine engine means a turboprop, turbofan, or turbojet aircraft engine.
Characteristic level has the meaning given in Appendix 6 of ICAO Annex 16 as of July 2008 (incorporated by reference, see § 34.4). The characteristic level is a calculated emission level for each pollutant based on a statistical assessment of measured emissions from multiple tests.
Class TP means all aircraft turboprop engines.
Class TF means all turbofan or turbojet aircraft engines or aircraft engines designed for applications that otherwise would have been fulfilled by turbojet and turbofan engines except engines of class T3, T8, and TSS.
Class T3 means all aircraft gas turbine engines of the JT3D model family.
Class T8 means all aircraft gas turbine engines of the JT8D model family.
Class TSS means all aircraft gas turbine engines employed for propulsion of aircraft designed to operate at supersonic flight speeds.
Commercial aircraft engine means any aircraft engine used or intended for use by an “air carrier” (including those engaged in “intrastate air transportation”) or a “commercial operator” (including those engaged in “intrastate air transportation”) as these terms are defined in Title 49 of the United States Code and Title 14 of the Code of Federal Regulations.
Commercial aircraft gas turbine engine means a turboprop, turbofan, or turbojet commercial aircraft engine.
Date of manufacture of an engine is the date the inspection acceptance records reflect that the engine is complete and meets the FAA approved type design.
Derivative engine for emissions certification purposes means an engine that is similar in design to an engine that has demonstrated compliance with the applicable exhaust emission standards of this part, as determined by the FAA, and has a U.S. type certificate issued in accordance with part 33 of this chapter.
Emission measurement system means all of the equipment necessary to transport the emission sample and measure the level of emissions. This includes the sample system and the instrumentation system.
Engine model means all commercial aircraft turbine engines which are of the same general series, displacement, and design characteristics and are approved under the same type certificate.
Excepted, as used in § 34.9, means an engine that may be produced and sold that does not meet otherwise applicable standards. Excepted engines must conform to regulatory conditions specified for an exception in § 34.9. Excepted engines are subject to the standards of this part even though they are not required to comply with the otherwise applicable requirements. Engines excepted with respect to certain standards must comply with other standards from which they are not specifically excepted.
Exempt means an engine that does not meet certain applicable standards but may be produced and sold under the terms allowed by a grant of exemption issued pursuant to § 34.7 of this part and part 11 of this chapter. Exempted engines must conform to regulatory conditions specified in the exemption as well as other applicable regulations. Exempted engines are subject to the standards of this part even though they are not required to comply with the otherwise applicable requirements. Engines exempted with respect to certain standards must comply with other standards as a condition of the exemption.
Exhaust emissions means substances emitted into the atmosphere from the exhaust discharge nozzle of an aircraft or aircraft engine.
In-use aircraft gas turbine engine means an aircraft gas turbine engine which is in service.
Introduction date means the date of manufacture of the first individual production engine of a given engine model or engine type certificate family to be certificated. Neither test engines nor engines not placed into service affect this date.
New aircraft turbine engine means an aircraft gas turbine engine which has never been in service.
Non-volatile particulate matter (nvPM) means emitted particles that remain at the exhaust nozzle exit plane of a gas turbine engine, and that did not volatilize after being heated to a temperature of at least 350 °C.
Power setting means the power or thrust output of an engine in terms of kilonewtons thrust for turbojet and turbofan engines or shaft power in terms of kilowatts for turboprop engines.
Rated output (rO) means the maximum power/thrust available for takeoff at standard day conditions as approved for the engine by the Federal Aviation Administration, including reheat contribution where applicable, but excluding any contribution due to water injection, expressed in kilowatts or kilonewtons (as applicable), rounded to at least three significant figures.
Rated pressure ratio (rPR) means the ratio between the combustor inlet pressure and the engine inlet pressure achieved by an engine operation at rated output, rounded to at least three significant figures.
Reference day conditions means the reference ambient conditions to which the measured smoke, nvPM, and gaseous emissions must be corrected. The reference day conditions are as follows:
Sample system means the system which provides for the transportation of the gaseous emission sample from the sample probe to the inlet of the instrumentation system.
Shaft power means only the measured shaft power output of a turboprop engine.
Smoke means the matter in exhaust emissions which obscures the transmission of light.
Smoke number (SN) means the dimensionless term quantifying smoke emissions.
Standard day conditions means the following ambient conditions: temperature = 15 °C, specific humidity = 0.00634 kg H
Taxi/idle (in) means those aircraft operations involving taxi and idle between the time of landing roll-out and final shutdown of all propulsion engines.
Taxi/idle (out) means those aircraft operations involving taxi and idle between the time of initial starting of the propulsion engine(s) used for the taxi and the turn onto the duty runway.
Tier, as used in this part, is a designation related to the NO
The abbreviations used in this part have the following meanings in both upper and lower case:
(a) This part provides for the approval or acceptance by the Administrator or the Administrator of the EPA of testing and sampling methods, analytical techniques, and related equipment not identical to those specified in this part. Before either approves or accepts any such alternate, equivalent, or otherwise nonidentical procedures or equipment, the Administrator or the Administrator of the EPA shall consult with the other in determining whether or not the action requires rulemaking under sections 231 and 232 of the Clean Air Act, as amended, consistent with the responsibilities of the Administrator of the EPA and the Secretary of Transportation under sections 231 and 232 of the Clean Air Act.
(b) Under section 232 of the Act, the Secretary of Transportation issues regulations to ensure compliance with 40 CFR part 1031. This authority has been delegated to the Administrator of the FAA in accordance with 49 CFR 1.47.
(c) This part applies to civil airplanes that are powered by aircraft gas turbine engines of the classes specified herein and that have U.S. standard airworthiness certificates.
(d) Pursuant to the definition of “aircraft” in 40 CFR 1031.205, this regulation applies to civil airplanes that are powered by aircraft gas turbine engines of the classes specified herein and that have foreign airworthiness certificates that are equivalent to U.S. standard airworthiness certificates. This regulation applies only to those foreign civil airplanes that, if registered in the United States, would be required by applicable regulations to have a U.S. standard airworthiness certificate in order to conduct the operations intended for the airplane. Pursuant to 40 CFR 1031.5, this regulation does not apply where it would be inconsistent with an obligation assumed by the United States to a foreign country in a treaty, convention, or agreement.
(e) Reference in this regulation to 40 CFR part 1031 refers to title 40 of the Code of Federal Regulations, chapter I—Environmental Protection Agency, part 1031, Control of Air Pollution from Aircraft and Aircraft Engines (40 CFR part 1031).
(f) This part contains regulations that implement compliance with certain standards contained in 40 CFR part 1031. If EPA takes any action, including the issuance of an exemption or issuance of a revised or alternate procedure, test method, or other regulation, the effect of which is to relax or delay the effective date of any provision of 40 CFR part 1031 that is made applicable to an aircraft under this part, the Administrator of FAA will grant a general administrative waiver of the more stringent requirements until this part is amended to reflect the requirements relaxed by EPA.
(g) Unless otherwise stated, all terminology and abbreviations in this part that are defined in 40 CFR part 1031 have the meaning specified in that part, and all terms in 40 CFR part 1031 that are not defined in that part but that are used in this part have the meaning given them in the Clean Air Act, Public Law 91-604, as amended.
(h) All interpretations of 40 CFR part 1031 that are promulgated by the EPA also apply to this part.
(i) If the EPA, under 40 CFR part 1031, approves or accepts any testing and sampling procedures or methods, analytical techniques, or related equipment not identical to those specified in that part, this part requires an applicant to show that such alternate, equivalent, or otherwise non-identical procedures have been complied with, and that such alternate equipment was used to show compliance, unless the applicant elects to comply with those procedures, methods, techniques, and equipment specified in 40 CFR part 1031.
(j) If the EPA, under 40 CFR 1031, prescribes special test procedures for any aircraft or aircraft engine that is not susceptible to satisfactory testing using the procedures in 40 CFR part 1031, the applicant must demonstrate to the FAA Administrator that they are in compliance with those special test procedures.
(k) Wherever 40 CFR part 1031 requires agreement, acceptance, or approval by the Administrator of the EPA, this part requires a showing that such agreement or approval has been obtained.
(l) Pursuant to 42 U.S.C. 7573, no state or political subdivision thereof may adopt or attempt to enforce any standard respecting emissions of any air pollutant from any aircraft or engine thereof unless that standard is identical to a standard made applicable to the aircraft by the terms of this part.
(m) If EPA, by regulation or exemption, relaxes a provision of 40 CFR part 1031 that is implemented in this part, no state or political subdivision thereof may adopt or attempt to enforce the terms of this part that are superseded by the relaxed requirement.
(n) If any provision of this part is rendered inapplicable to a foreign aircraft as provided in 40 CFR 1031.5 (international agreements), and paragraph (d) of this section, that provision may not be adopted or enforced against that foreign aircraft by a state or political subdivision thereof.
(o) For exhaust emissions requirements of this part that apply beginning February 1, 1974, January 1, 1976, January 1, 1978, January 1, 1984, and August 9, 1985, continued compliance with those requirements is shown for engines for which the type design has been shown to meet those requirements, if the engine is maintained in accordance with applicable maintenance requirements of 14 CFR chapter I. All methods of demonstrating compliance and all model designations previously found acceptable to the Administrator shall be deemed to continue to be an acceptable demonstration of compliance with the specific standards for which they were approved.
(p) Each applicant must allow the Administrator to make, or witness, any test necessary to determine compliance with the applicable provisions of this part.
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51). All approved material is available for inspection at the FAA and at the National Archives and Records Administration (NARA). Contact the FAA Office of Rulemaking (ARM), 800 Independence Avenue SW, Washington, DC 20590 (telephone 202-267-9677) For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations or email fr.inspection@nara.gov.
(a) The material may be obtained from the following source: International Civil Aviation Organization (ICAO): Document Sales Unit, 999 University Street, Montreal, Quebec H3C 5H7, Canada, phone + 1 514-954-8022, or www.icao.int.
(1) Annex 16 to the Convention on International Civil Aviation: Environmental Protection, Volume II—Aircraft Engine Emissions, Third Edition, July 2008 (ICAO Annex 16); in §§ 34.1 and 34.60.
(2) Annex 16 to the Convention on International Civil Aviation: Environmental Protection, Volume II—Aircraft Engine Emissions, Fourth Edition, July 2017 (ICAO Annex 16, Volume II), in §§ 34.71 and 34.73.
(b) [Reserved]
The Administrator or the Administrator of the EPA may, upon written application by a manufacturer or operator of aircraft or aircraft engines, approve test procedures for any aircraft or aircraft engine that is not susceptible to satisfactory testing by the procedures set forth herein. Prior to taking action on any such application, the Administrator or the Administrator of the EPA shall consult with the other.
(a) The provisions of this part will be revised if at any time the Administrator determines that an emission standard cannot be met within the specified time without creating a safety hazard.
(b) Consistent with 40 CFR part 1031, if the FAA Administrator determines that any emission control regulation in this part cannot be safely applied to an aircraft, that provision may not be adopted or enforced against that aircraft by any state or political subdivision thereof.
Notwithstanding part 11 of the Federal Aviation Regulations (14 CFR part 11), all petitions for rulemaking involving either the substance of an emission standard or test procedure prescribed by the EPA that is incorporated in this FAR, or the compliance date for such standard or procedure, must be submitted to the EPA. Information copies of such petitions are invited by the FAA. Petitions for rulemaking or exemption involving provisions of this FAR that do not affect the substance or the compliance date of an emission standard or test procedure that is prescribed by the EPA, and petitions for exemptions under the provisions for which the EPA has specifically granted exemption authority to the Secretary of Transportation are subject to part 11 of the Federal Aviation Regulations (14 CFR part 11). Petitions for rulemaking or exemptions involving these FARs must be submitted to the FAA.
(a) Exemptions based on flights for short durations at infrequent intervals. The emission standards of this part do not apply to engines which power aircraft operated in the United States for short durations at infrequent intervals. Such operations are limited to:
(1) Flights of an aircraft for the purpose of export to a foreign country, including any flights essential to demonstrate the integrity of an aircraft prior to a flight to a point outside the United States.
(2) Flights to a base where repairs, alterations or maintenance are to be performed, or to a point of storage, or for the purpose of returning an aircraft to service.
(3) Official visits by representatives of foreign governments.
(4) Other flights the Administrator determines, after consultation with the Administrator of the EPA, to be for short durations at infrequent intervals. A request for such a determination shall be made before the flight takes place.
(b) Exemptions for very low production engine models. The emissions standards of this part do not apply to engines of very low production after the date of applicability. For the purpose of this part, “very low production” is limited to a maximum total production for United States civil aviation applications of no more than 200 units covered by the same type certificate after January 1, 1984. Engines manufactured under this provision must be reported to the FAA by serial number on or before the date of manufacture and exemptions granted under this provision are not transferable to any other engine. This exemption is limited to the requirements of § 34.21 only.
(c) Exemptions for new engines in other categories. The emissions standards of this part do not apply to engines for which the Administrator determines, with the concurrence of the Administrator of the EPA, that application of any standard under § 34.21 is not justified, based upon consideration of—
(1) Adverse economic impact on the manufacturer;
(2) Adverse economic impact on the aircraft and airline industries at large;
(3) Equity in administering the standards among all economically competing parties;
(4) Public health and welfare effects; and
(5) Other factors which the Administrator, after consultation with the Administrator of the EPA, may deem relevant to the case in question.
(d) Applicants seeking exemption from other emissions standards of this part and 40 CFR 1031.15. Applicants must request exemption from both the FAA and the EPA, even where the underlying regulatory requirements are the same. The FAA and EPA will jointly consider such exemption requests, and will assure consistency in the respective agency determinations.
(e) Applications for exemption from this part shall be submitted in duplicate to the Administrator in accordance with the procedures established by the Administrator in part 11.
(f) The Administrator shall publish in the
(g) No state or political subdivision thereof may attempt to enforce a standard respecting emissions from an aircraft or engine if such aircraft or engine has been exempted from such standard under this part.
(a) Spare engines. Certain engines that meet the following description are excepted:
(1) This exception allows production of an engine for installation on an in-service aircraft. A spare engine may not be installed on a new aircraft.
(2) Each spare engine must be identical to a sub-model previously certificated to meet all applicable requirements.
(3) A spare engine may be used only when the emissions of the spare do not exceed the certification requirements of the original engine, for all regulated pollutants.
(4) No separate approval is required to produce spare engines.
(5) The record for each engine excepted under this paragraph (c) must indicate that the engine was produced as an excepted spare engine.
(6) Engines produced under this exception must be labeled “EXCEPTED SPARE” in accordance with § 45.13 of this chapter.
(b) On and after July 18, 2012, and before August 31, 2013, a manufacturer may produce up to six Tier 4 compliant engines that meet the NO
(a) The provisions of this subpart are applicable to all new aircraft gas turbine engines of classes T3, T8, TSS, and TF equal to or greater than 36 kN (8,090 lb) rated output, manufactured on or after January 1, 1974, and to all in-use aircraft gas turbine engines of classes T3, T8, TSS, and TF equal to or greater than 36 kN (8,090 lb) rated output manufactured after February 1, 1974.
(b) The provisions of this subpart are also applicable to all new aircraft gas turbine engines of class TF less than 36 kN (8,090 lb) rated output and class TP manufactured on or after January 1, 1975, and to all in-use aircraft gas turbine engines of class TF less than 36 kN (8,090 lb) rated output and class TP manufactured after January 1, 1975.
(a) No liquid fuel venting emissions shall be discharged into the atmosphere from any new or in-use aircraft gas turbine engine subject to the subpart. This paragraph is directed at the elimination of intentional discharge to the atmosphere of fuel drained from fuel nozzle manifolds after engines are shut down and does not apply to normal fuel seepage from shaft seals, joints, and fittings.
(b) Conformity with the standard set forth in paragraph (a) of this section shall be determined by inspection of the method designed to eliminate these emissions.
(c) As applied to an airframe or an engine, any manufacturer or operator may show compliance with the liquid fuel venting and emissions requirements of this section that were effective beginning February 1, 1974 or January 1, 1975, by any means that prevents the intentional discharge of fuel from fuel nozzle manifolds after the engines are shut down. Acceptable means of compliance include one of the following:
(1) Incorporation of an FAA-approved system that recirculates the fuel back into the fuel system.
(2) Capping or securing the pressurization and drain valve.
(3) Manually draining the fuel from a holding tank into a container.
The provisions of this subpart are applicable to all aircraft gas turbine engines of the classes specified beginning on the dates specified in § 34.21.
(a) Exhaust emissions of smoke from each new aircraft gas turbine engine of class T8 manufactured on or after February 1, 1974, shall not exceed a smoke number (SN) of 30.
(b) Exhaust emissions of smoke from each new aircraft gas turbine engine of class TF and of rated output of 129 kN (29,000 lb) thrust or greater, manufactured on or after January 1, 1976, shall not exceed
(c) Exhaust emission of smoke from each new aircraft gas turbine engine of class T3 manufactured on or after January 1, 1978, shall not exceed a smoke number (SN) of 25.
(d) Gaseous exhaust emissions from each new aircraft gas turbine engine shall not exceed:
(1) For Classes TF, T3, T8 engines greater than 26.7 kN (6,000 lb) rated output:
(i) Engines manufactured on or after January 1, 1984:
(ii) Engines manufactured on or after July 7, 1997:
(iii) Engines of a type or model of which the date of manufacture of the first individual production model was on or before December 31, 1995, and for which the date of manufacture of the individual engine was on or before December 31, 1999 (Tier 2):
(iv) Engines of a type or model of which the date of manufacture of the first individual production model was after December 31, 1995, or for which the date of manufacture of the individual engine was after December 31, 1999 (Tier 2):
(v) The emission standards prescribed in paragraphs (d)(1)(iii) and (iv) of this section apply as prescribed beginning July 7, 1997.
(vi) The emission standards of this paragraph apply as prescribed after December 18, 2005. For engines of a type or model of which the first individual production model was manufactured after December 31, 2003 (Tier 4):
(A) That have a rated pressure ratio of 30 or less and a maximum rated output greater than 89 kN:
(B) That have a rated pressure ratio of 30 or less and a maximum rated output greater than 26.7 kN but not greater than 89 kN:
(C) That have a rated pressure ratio greater than 30 but less than 62.5, and a maximum rated output greater than 89 kN:
(D) That have a rated pressure ratio greater than 30 but less than 62.5, and a maximum rated output greater than 26.7 kN but not greater than 89 kN:
(E) That have a rated pressure ratio of 62.5 or more:
(2) For Class TSS Engines manufactured on or after January 1, 1984:
(e) Smoke exhaust emissions from each gas turbine engine shall not exceed:
(1)(A) For Class TF of rated output less than 26.7 kN (6,000 lbf) manufactured on or after August 9, 1985, and before July 18, 2012:
(B) For Classes TF, T3, and T8 of rated output less than 26.7 kN (6,000 lbf) manufactured on or after July 18, 2012, and before January 1, 2023:
(C) For Classes TF, T3, and T8 of rated output of 26.7 kN (6,000 lbf) or less manufactured on or after January 1, 2023:
(2) For Classes T3, T8, TSS, and TF of rated output greater than or equal to-26.7 kN (6,000 lbf) manufactured on or after January 1, 1984, and before January 1, 2023:
(3) For Class TP of rated output equal to or greater than 1,000 kW manufactured on or after January 1, 1984:
(4) For Class TSS manufactured on or after January 1, 2023:
(f) The standards set forth in paragraphs (a), (b), (c), (d), and (e) of this section refer to a composite gaseous emission sample representing the operation cycles and exhaust smoke emission emitted during operation of the engine as specified in the applicable sections of subpart G of this part, and measured and calculated in accordance with the procedures set forth in subpart G.
(g) Where a gaseous emission standard is specified by a formula, calculate and round the standard to three significant figures or to the nearest 0.1 g/kN (for standards at or above 100 g/kN). Where a smoke standard is specified by a formula, calculate and round the standard to the nearest 0.1 SN. Engines comply with an applicable standard if the testing results show that the engine type certificate family's characteristic level does not exceed the numerical level of that standard, as described in § 34.60.
The standards of this section apply to aircraft engines manufactured on and after July 18, 2012, unless otherwise exempted or excepted. Where a gaseous emission standard is specified by a formula, calculate and round the standard to three significant figures or to the nearest 0.1 g/kN (for standards at or above 100 g/kN). Where a smoke standard is specified by a formula, calculate and round the standard to the nearest 0.1 SN. Engines comply with an applicable standard if the testing results show that the engine type certificate family's characteristic level does not exceed the numerical level of that standard, as described in § 34.60.
(a) Gaseous exhaust emissions from each new aircraft gas turbine engine shall not exceed:
(1) [Reserved]
(2) Except as provided in §§ 34.9(b) and 34.21(c), for Classes TF, T3 and T8 engines manufactured on and after July 18, 2012, and for which the first individual production model was manufactured on or before December 31, 2013 (Tier 6):
Tier 6 Oxides of Nitrogen Emission Standards for Subsonic Engines
| Class | Rated pressure ratio—rPR | Rated output rO
(kN) | NO (g/kN) |
|---|---|---|---|
| TF, T3, T8 | rPR ≤ 30 | 26.7 < rO ≤ 89.0 | 38.5486 + 1.6823 (rPR) − 0.2453 (rO) − (0.00308 (rPR) (rO)). |
| rO > 89.0 | 16.72 + 1.4080 (rPR). | ||
| 30 < rPR < 82.6 | 26.7 < rO ≤ 89.0 | 46.1600 + 1.4286 (rPR) − 0.5303 (rO) + (0.00642 (rPR) (rO)). | |
| rO > 89.0 | −1.04 + 2.0 (rPR). | ||
| rPR ≥ 82.6 | rO | 32 + 1.6 (rPR). |
(3) Engines exempted from paragraph (a)(2) of this section produced on or before December 31, 2016 must be labeled “EXEMPT NEW” in accordance with § 45.13 of this chapter. No exemptions to the requirements of paragraph (a)(2) of this section will be granted after December 31, 2016.
(4) For Class TSS Engines manufactured on and after July 18, 2012:
Gaseous Emission Standards for Supersonic Engines
| Class | Rated output
rO 1 (kN) | NO (g/kN) | CO
(g/kN) |
|---|---|---|---|
| TSS | All | 36 + 2.42 (rPR) | 4,550 (rPR) |
1 rO is the rated output with afterburning applied.
(b) Gaseous exhaust emissions from each new aircraft gas turbine engine shall not exceed:
(1) For Classes TF, T3 and T8 engines of a type or model of which the first individual production model was manufactured after December 31, 2013 (Tier 8):
Tier 8 Oxides of Nitrogen Emission Standards for Subsonic Engines
| Class | Rated pressure ratio—rPR | Rated output rO
(kN) | NO (g/kN) |
|---|---|---|---|
| TF, T3, T8 | rPR ≤ 30 | 26.7 < rO ≤ 89.0 | 40.052 + 1.5681 (rPR) − 0.3615 (rO) − (0.0018 (rPR) (rO)). |
| rO > 89.0 | 7.88 + 1.4080 (rPR). | ||
| 30 < rPR < 104.7 | 26.7 < rO ≤ 89.0 | 41.9435 + 1.505 (rPR) − 0.5823 (rO) + (0.005562 (rPR) (rO)). | |
| rO > 89.0 | −9.88 + 2.0 (rPR). | ||
| rPR ≥ 104.7 | rO ≥ 26.7 | 32 + 1.6 (rPR). |
(c) Engines (including engines that are determined to be derivative engines for the purposes of emission certification) type certificated with characteristic levels at or below the NO
The standards of this section apply to an aircraft engine of Class TF, T3, or T8 with a rated output greater than 26.7 kN that is manufactured after January 1, 2023. Where a maximum nvPM
(a) Except as provided in paragraph (b) or (c) of this section;
(1) The characteristic level for the maximum nvPM
(2) The characteristic level for nvPM mass expressed in [mg/kN] and for nvPM number expressed in [particles/kN] must not exceed the following:
Table 1 to Paragraph (
| Class | Rated output
(rO) (kN) | nvPM (mg/kN) | nvPM (particles/kN) |
|---|---|---|---|
| TF, T3, T8 | 26.7 < rO ≤ 200 | 4646.9 − 21.497 (rO) | 2.669 × 10 16 − 1.126 × 10 14 (rO). |
| rO > 200 | 347.5 | 4.170 × 10 15. |
(b) For a change in type design by the type design holder, when the application for an amended type certificate is filed after January 1, 2023:
(1) If the engine qualifies as a derivative engine in accordance with § 34.48 of this part, no testing is required for the engine to use the same nvPM certificated parameters (nvPM
(2) If the engine does not qualify as a derivative engine in accordance with § 34.48 of this part, the applicant must demonstrate compliance with each requirement in paragraph (a) of this section.
(c) For issuance of an original type certificate when an application for type certification is filed after January 1, 2023, the applicant must demonstrate that the engine does not exceed:
(1) For maximum nvPM
(2) For the characteristic level for nvPM
Table 2 to Paragraph (
| Class | Rated output
(rO) (kN) | nvPM (mg/kN) | nvPM (particles/kN) |
|---|---|---|---|
| TF, T3, T8 | 26.7 < rO ≤ 150 | 1251.1 − 6.914 (rO) | 1.490 × 10 16 − 8.080 × 10 13 (rO). |
| rO > 150 | 214.0 | 2.780 × 10 15. |
(d) For engines type certificated after January 1, 2023 and prior to May 24, 2024, compliance with this part must be demonstrated no later than August 22, 2024.
The provisions of this subpart are applicable to all in-use aircraft gas turbine engines certificated for operation within the United States of the classes specified, beginning on the dates specified in § 34.31.
(a) Exhaust emissions of smoke from each in-use aircraft gas turbine engine of Class T8, beginning February 1, 1974, shall not exceed a smoke number (SN) of 30.
(b) Exhaust emissions of smoke from each in-use aircraft gas turbine engine of Class TF and of rated output of 129 kN (29,000 lb) thrust or greater, beginning January l, 1976, shall not exceed
(c) The standards set forth in paragraphs (a) and (b) of this section refer to exhaust smoke emission emitted during operation of the engine as specified in the applicable sections of subpart G of this part, and measured and calculated in accordance with the procedures set forth in subpart G.
(a) General. A type certificate holder may request from the FAA a determination that an engine configuration is considered a derivative engine for emissions certification purposes (all gaseous emissions and either nvPM or smoke number as applicable). To be considered a derivative engine for emissions certification purposes under this part, the configuration must have been derived from the original engine that was certificated to the requirements of part 33 of this chapter and one of the following:
(1) The FAA has determined that a safety issue exists that requires an engine modification.
(2) Emissions from the derivative engines are determined to be similar. In general, this means the emissions must meet the criteria specified in paragraph (b) of this section. The FAA may amend the criteria of paragraph (b) in unusual circumstances, for individual cases, consistent with good engineering judgment.
(3) All of the regulated emissions from the derivative engine are lower than the original engine.
(b) Emission similarity (1) The type certificate holder must demonstrate that the proposed derivative engine model's emissions meet the applicable standards and differ from the original model's emission rates within the following ranges and values:
(i) ±3.0 g/kN for NO
(ii) ±1.0 g/kN for HC.
(iii) ±5.0 g/kN for CO.
(iv) ±2.0 SN for smoke (where applicable).
(v) The following values apply for maximum nvPM
(A) maximum nvPM
(1) ±200 µg/m3 if the characteristic level of maximum nvPM
(2) ±20% of the characteristic level if the characteristic level for maximum nvPM
(B) nvPM
(1) 80 mg/kN if the characteristic level for nvPM
(2) ±20% of the characteristic level if the characteristic level for nvPM
(C) nvPM
(1) 4 × 10
(2) ±20% of the characteristic level if the characteristic level for nvPM
(2) If the characteristic level of the original certificated engine model (or any other sub-models within the emission type certificate family tested for certification) before modification is at or above 95% of the applicable standard for any pollutant, an applicant must measure the proposed derivative engine model's emissions for all pollutants to demonstrate that the derivative engine's resulting characteristic levels will not exceed the applicable emission standards. If the characteristic levels of the originally certificated engine model (and all other sub-models within the emission type certificate family tested for certification) are below 95% of the applicable standard for each pollutant, the applicant may use engineering analysis consistent with good engineering judgment to demonstrate that the derivative engine will not exceed the applicable emission standards. The engineering analysis must address all modifications from the original engine, including those approved for previous derivative engines.
(3) In unusual circumstances and consistent with good engineering judgement, the FAA may adjust the ranges specified in paragraph (b)(1) of this section to evaluate a proposed derivative engine.
(c) Continued production allowance. Derivative engines for emissions certification purposes may continue to be produced after the applicability date for new emissions standards when the engines conform to the specifications of this section.
(d) Non-derivative engines. If the FAA determines that an engine model does not meet the requirements for a derivative engine for emissions certification purposes, the type certificate holder is required to demonstrate that the engine complies with the emissions standards applicable to a new engine type.
(a) Use the equipment and procedures specified in Appendix 3, Appendix 5, and Appendix 6 of ICAO Annex 16, as applicable, to demonstrate whether engines meet the applicable gaseous emission standards specified in subpart C of this part. Measure the emissions of all regulated gaseous pollutants. Use the equipment and procedures specified in Appendix 2 and Appendix 6 of ICAO Annex 16 to determine whether engines meet the applicable smoke standard specified in subpart C of this part. The compliance demonstration consists of establishing a mean value from testing the specified number of engines, then calculating a “characteristic level” by applying a set of statistical factors that take into account the number of engines tested. Round each characteristic level to the same number of decimal places as the corresponding emission standard. For turboprop engines, use the procedures specified for turbofan engines, consistent with good engineering judgment.
(b) Use a test fuel that meets the specifications described in Appendix 4 of ICAO Annex 16. The test fuel must not have additives whose purpose is to suppress smoke, such as organometallic compounds.
(c) Prepare test engines by including accessories that are available with production engines if they can reasonably be expected to influence emissions. The test engine may not extract shaft power or bleed service air to provide power to auxiliary gearbox-mounted components required to drive aircraft systems.
(d) Test engines must reach a steady operating temperature before the start of emission measurements.
(e) In consultation with the EPA, the FAA may approve alternative procedures for measuring emissions, including testing and sampling methods, analytical techniques, and equipment specifications that differ from those specified in this part. Manufacturers and operators may request approval of alternative procedures by written request with supporting justification to the FAA and to the Designated EPA Program Officer. To be approved, one of the following conditions must be met:
(1) The engine cannot be tested using the specified procedures; or
(2) The alternative procedure is shown to be equivalent to, or more accurate or precise than, the specified procedure.
(f) The following landing and takeoff (LTO) cycles apply for emissions testing and for calculating weighted LTO values:
LTO Test Cycles and Time in Mode
| Mode | Class | |||||
|---|---|---|---|---|---|---|
| TP | TF, T3, T8 | TSS | ||||
| TIM (min) | % of rO | TIM (min) | % of rO | TIM (min) | % of rO | |
| Taxi/idle | 26.0 | 7 | 26.0 | 7 | 26.0 | 5.8 |
| Takeoff | 0.5 | 100 | 0.7 | 100 | 1.2 | 100 |
| Climbout | 2.5 | 90 | 2.2 | 85 | 2.0 | 65 |
| Descent | NA | NA | NA | NA | 1.2 | 15 |
| Approach | 4.5 | 30 | 4.0 | 30 | 2.3 | 34 |
(g) Engines comply with an applicable standard if the testing results show that the engine type certificate family's characteristic level does not exceed the numerical level of that standard, as described in the applicable appendix of Annex 16.
(h) The system and procedure for sampling and measurement of gaseous emissions shall be as specified by in Appendices 2, 3, 4, 5 and 6 to the International Civil Aviation Organization (ICAO) Annex 16, Environmental Protection, Volume II, Aircraft Engine Emissions, Third Edition, July 2008 (incorporated by reference, see § 34.4).
For each Class TF, T3, or T8 engine manufactured after January 1, 2023, that has a rated output greater than 26.7 kN, the test procedures for measuring each required nvPM parameter are as follows:
(a) Measure the emissions of all nvPM parameters required in this part, as applicable.
(b) Collect data from at least three engine tests, with each test conducted at the reference LTO time/thrust combinations shown in paragraph (h) of this section.
(c) For the engines referenced in paragraph (b) of this section, all emissions certification tests may be conducted on one or more engines of the same type design.
(d) Use a test fuel that meets the specifications described in Appendix 4 of ICAO Annex 16, Volume II (incorporated by reference, see § 34.4). The test fuel must not have any additive whose purpose is to suppress nvPM emissions.
(e) (1) When conducting test measurements in accordance with paragraphs (a) through (c) of this section, use the equipment and procedures specified in Appendix 1, Appendix 4, Appendix 6, and Appendix 7 of ICAO Annex 16, Volume II (incorporated by reference, see § 34.4), when demonstrating whether an engine meets the applicable nvPM limit specified in § 34.25 of this part.
(2) An applicant that seeks to use a procedure or equipment that differs from any specified in this part must request FAA approval in writing with supporting justification before the alternative procedure or equipment may be used to demonstrate compliance. The FAA will consult with the EPA on any such request. The FAA may approve the requested alternative for measuring nvPM, including testing and sampling methods, analytical techniques, and equipment specifications. Each request must meet one of the following conditions:
(i) The engine cannot be tested using a specified procedure; or
(ii) The alternative procedure is shown to be equivalent to, or more accurate or precise than, the specified procedure.
(f) Any engine accessory included in a type design that may reasonably be expected to influence either nvPM emissions or measurements must be installed on the engine before testing. The test engine must not extract shaft power or bleed service air to provide power to auxiliary gearbox-mounted components necessary to drive aircraft systems;
(g) For each percentage of rated output thrust level prescribed in paragraph (h) of this section, a test engine must reach and maintain a steady operating condition before any nvPM emission measurement is made;
(h) The following landing and takeoff (LTO) cycles apply for nvPM emissions testing and for calculating weighted LTO values:
Table 1 to Paragraph (
| Mode | Class
TF, T3, T8 | |
|---|---|---|
| TIM (min) | % of rO | |
| Taxi/idle | 26.0 | 7 |
| Takeoff | 0.7 | 100 |
| Climbout | 2.2 | 85 |
| Descent | NA | NA |
| Approach | 4.0 | 30 |
(i) An engine complies with an applicable limit if the test results show that the engine type certificate family's characteristic level does not exceed any limit for maximum nvPM
(j) All measurements collected during engine tests required in paragraph (b) of this section must be used in the calculation of nvPM. Before any calculations are made, the FAA must approve the exclusion of any measurements that the applicant seeks to exclude, including any justification for such exclusions.
(k) The system and procedure for sampling and measurement of gaseous emissions shall be as specified by Appendices 1, 4, 6, and 7 of ICAO Annex 16, Volume II (incorporated by reference, see § 34.4).
(a) Each compliance demonstration by an applicant requires:
(1) Establishing a mean value from tests conducted on one or more engines;
(2) Calculating a “characteristic level” by applying a set of statistical factors that take into account the number of engines tested in accordance with § 34.71(b) of this part; and
(3) Rounding each characteristic level to the same number of decimal places as the corresponding emission limit.
(b) In demonstrating compliance with this subpart, an applicant must use the nvPM measurements collected in accordance with § 34.71 as follows:
(1) An engine complies with an applicable standard when the engine type certificate family's characteristic level does not exceed any nvPM limit described in § 34.25 of this part; and
(2) A compliance demonstration consists of:
(i) Determining the maximum nvPM
(ii) Correcting each data point to standard temperature and pressure conditions;
(iii) Applying the appropriate statistical factor shown in Table 6-1 of Appendix 6 of ICAO Annex 16, Volume II (incorporated by reference, see § 34.4) to account for the number of engines tested; and
(iv) Rounding each characteristic level to the same number of decimal places as the corresponding nvPM limit in § 34.25 of this part.
(c) (1) In determining maximum nvPM
(i) Method 1—
(A) Average the individual data points measured at each thrust setting to develop one dataset of nvPM mass concentration for each engine tested, creating an average dataset for each engine; and
(B) Use the averages generated in paragraph (c)(1) of this section to develop a single curve fit to determine the overall maximum nvPM
(ii) Method 2—
(A) Measure individual data points of nvPM
(B) Determine the maximum nvPM
(C) If more than one engine is physically tested, average the nvPM
(iii) Method 3—
(A) Develop a curve fit of nvPM
(B) From each curve fit developed in paragraph (c)(1) of this section, use the resultant curve fit equation to solve for each maximum;
(C) Average the maximum values for each engine physically tested; and
(D) Average the maximum values determined in paragraph (c)(1)(iii)(C) of this section to determine the overall average maximum nvPM
(2) Using the data measured in § 34.71(b) of this part, determine the nvPM characteristic levels for nvPM
(i) Average all nvPM
(ii) Multiply the averaged measurement from paragraph (a)(2)(i) of this section by the appropriate time in mode (TIM) as shown in § 34.71(h);
(iii) Sum the products from paragraph (a)(2)(ii) of this section to determine the LTO values for nvPM
(iv) Divide the result of paragraph (a)(2)(iii) of this section by the characteristic level factor, shown in Table A6-1 of Appendix 6 of ICAO Annex 16, Volume II (incorporated by reference, see § 34.4), for the number of engines physically tested to determine the nvPM
(d) The data used to determine the regressed curves must meet a 90% confidence interval, CI
(e) The following information must be reported to the FAA substantiating compliance with nvPM limits of § 34.25 of this part:
(1) The values of nvPM emissions measured and computed in accordance with the procedures and calculated as required by this subpart in § 34.71 of this part and paragraphs (a) through (d) of this section;
(2) For each engine tested:
(i) Engine model, series, and serial number;
(ii) Rated thrust (kN);
(iii) Overall pressure ratio;
(iv) The methods of data acquisition; and
(v) The method of data analysis chosen by the applicant under paragraphs (a) through (d) of this section.
(3) Demonstration that the fuel used for each test is in compliance with the fuel specification listed in Appendix 4 of ICAO Annex 16, Volume II (incorporated by reference, see § 34.4). For the fuel used for nvPM emissions certification, include the following fuel characteristics:
(i) Hydrogen/carbon ratio;
(ii) Net heat of combustion (MJ/kg);
(iii) Hydrogen content (mass per cent);
(iv) Total aromatics content (volume per cent);
(v) Naphthalene content (volume per cent); and
(vi) Sulfur content (ppm by mass).
(4) For each engine tested for certification purposes, the following values measured and computed in accordance with the procedures of § 34.71 of this part:
(i) Fuel flow (kg/s) at each thrust setting of the LTO cycle;
(ii) nvPM EI
(iii) nvPM mass emission rate [nvPM EI
(iv) nvPM EI
(v) nvPM number emission rate [nvPM EI
(vi) Total gross emissions of nvPM mass measured over the LTO cycle in mg;
(vii) Total gross emissions of nvPM number measured over the LTO cycle in particles;
(viii) LTO nvPM
(ix) LTO nvPM
(x) Maximum nvPM
(5) For each engine tested for certification purposes, the characteristic levels for the maximum nvPM
(a) This part prescribes airworthiness standards for the issue of type certificates and changes to those certificates, for propellers.
(b) Each person who applies under part 21 for such a certificate or change must show compliance with the applicable requirements of this part.
(c) An applicant is eligible for a propeller type certificate and changes to those certificates after demonstrating compliance with subparts A, B, and C of this part. However, the propeller may not be installed on an airplane unless the applicant has shown compliance with either § 23.2400(c) or § 25.907 of this chapter, as applicable, or compliance is not required for installation on that airplane.
(d) For the purposes of this part, the propeller consists of those components listed in the propeller type design, and the propeller system consists of the propeller and all the components necessary for its functioning, but not necessarily included in the propeller type design.
The applicant must provide a list of all the components, including references to the relevant drawings and software design data, that define the type design of the propeller to be approved under § 21.31 of this chapter.
The applicant must provide instructions that are approved by the Administrator. Those approved instructions must contain:
(a) Instructions for installing the propeller, which:
(1) Include a description of the operational modes of the propeller control system and functional interface of the control system with the airplane and engine systems;
(2) Specify the physical and functional interfaces with the airplane, airplane equipment and engine;
(3) Define the limiting conditions on the interfaces from paragraph (a)(2) of this section;
(4) List the limitations established under § 35.5;
(5) Define the hydraulic fluids approved for use with the propeller, including grade and specification, related operating pressure, and filtration levels; and
(6) State the assumptions made to comply with the requirements of this part.
(b) Instructions for operating the propeller which must specify all procedures necessary for operating the propeller within the limitations of the propeller type design.
The applicant must prepare Instructions for Continued Airworthiness in accordance with appendix A to this part that are acceptable to the Administrator. The instructions may be incomplete at type certification if a program exists to ensure their completion prior to delivery of the first aircraft with the propeller installed, or upon issuance of a standard certificate of airworthiness for an aircraft with the propeller installed, whichever occurs later.
(a) Propeller ratings and operating limitations must:
(1) Be established by the applicant and approved by the Administrator.
(2) Be included directly or by reference in the propeller type certificate data sheet, as specified in § 21.41 of this chapter.
(3) Be based on the operating conditions demonstrated during the tests required by this part as well as any other information the Administrator requires as necessary for the safe operation of the propeller.
(b) Propeller ratings and operating limitations must be established for the following, as applicable:
(1) Power and rotational speed:
(i) For takeoff.
(ii) For maximum continuous.
(iii) If requested by the applicant, other ratings may also be established.
(2) Overspeed and overtorque limits.
(a) The propeller may not have features or characteristics, revealed by any test or analysis or known to the applicant, that make it unsafe for the uses for which certification is requested.
(b) If a failure occurs during a certification test, the applicant must determine the cause and assess the effect on the airworthiness of the propeller. The applicant must make changes to the design and conduct additional tests that the Administrator finds necessary to establish the airworthiness of the propeller.
(a)(1) The applicant must analyze the propeller system to assess the likely consequences of all failures that can reasonably be expected to occur. This analysis will take into account, if applicable:
(i) The propeller system in a typical installation. When the analysis depends on representative components, assumed interfaces, or assumed installed conditions, the assumptions must be stated in the analysis.
(ii) Consequential secondary failures and dormant failures.
(iii) Multiple failures referred to in paragraph (d) of this section, or that result in the hazardous propeller effects defined in paragraph (g)(1) of this section.
(2) The applicant must summarize those failures that could result in major propeller effects or hazardous propeller effects defined in paragraph (g) of this section, and estimate the probability of occurrence of those effects.
(3) The applicant must show that hazardous propeller effects are not predicted to occur at a rate in excess of that defined as extremely remote (probability of 10
(b) If significant doubt exists as to the effects of failures or likely combination of failures, the Administrator may require assumptions used in the analysis to be verified by test.
(c) The primary failures of certain single propeller elements (for example, blades) cannot be sensibly estimated in numerical terms. If the failure of such elements is likely to result in hazardous propeller effects, those elements must be identified as propeller critical parts. For propeller critical parts, applicants must meet the prescribed integrity specifications of § 35.16. These instances must be stated in the safety analysis.
(d) If reliance is placed on a safety system to prevent a failure progressing to hazardous propeller effects, the possibility of a safety system failure in combination with a basic propeller failure must be included in the analysis. Such a safety system may include safety devices, instrumentation, early warning devices, maintenance checks, and other similar equipment or procedures. If items of the safety system are outside the control of the propeller manufacturer, the assumptions of the safety analysis with respect to the reliability of these parts must be clearly stated in the analysis and identified in the propeller installation and operation instructions required under § 35.3.
(e) If the safety analysis depends on one or more of the following items, those items must be identified in the analysis and appropriately substantiated.
(1) Maintenance actions being carried out at stated intervals. This includes verifying that items that could fail in a latent manner are functioning properly. When necessary to prevent hazardous propeller effects, these maintenance actions and intervals must be published in the instructions for continued airworthiness required under § 35.4. Additionally, if errors in maintenance of the propeller system could lead to hazardous propeller effects, the appropriate maintenance procedures must be included in the relevant propeller manuals.
(2) Verification of the satisfactory functioning of safety or other devices at pre-flight or other stated periods. The details of this satisfactory functioning must be published in the appropriate manual.
(3) The provision of specific instrumentation not otherwise required. Such instrumentation must be published in the appropriate documentation.
(4) A fatigue assessment.
(f) If applicable, the safety analysis must include, but not be limited to, assessment of indicating equipment, manual and automatic controls, governors and propeller control systems, synchrophasers, synchronizers, and propeller thrust reversal systems.
(g) Unless otherwise approved by the Administrator and stated in the safety analysis, the following failure definitions apply to compliance with this part.
(1) The following are regarded as hazardous propeller effects:
(i) The development of excessive drag.
(ii) A significant thrust in the opposite direction to that commanded by the pilot.
(iii) The release of the propeller or any major portion of the propeller.
(iv) A failure that results in excessive unbalance.
(2) The following are regarded as major propeller effects for variable pitch propellers:
(i) An inability to feather the propeller for feathering propellers.
(ii) An inability to change propeller pitch when commanded.
(iii) A significant uncommanded change in pitch.
(iv) A significant uncontrollable torque or speed fluctuation.
The integrity of each propeller critical part identified by the safety analysis required by § 35.15 must be established by:
(a) A defined engineering process for ensuring the integrity of the propeller critical part throughout its service life,
(b) A defined manufacturing process that identifies the requirements to consistently produce the propeller critical part as required by the engineering process, and
(c) A defined service management process that identifies the continued airworthiness requirements of the propeller critical part as required by the engineering process.
(a) The suitability and durability of materials used in the propeller must:
(1) Be established on the basis of experience, tests, or both.
(2) Account for environmental conditions expected in service.
(b) All materials and manufacturing methods must conform to specifications acceptable to the Administrator.
(c) The design values of properties of materials must be suitably related to the most adverse properties stated in the material specification for applicable conditions expected in service.
Each part of the propeller must be designed and constructed to minimize the development of any unsafe condition of the propeller between overhaul periods.
(a) No single failure or malfunction in the propeller system will result in unintended travel of the propeller blades to a position below the in-flight low-pitch position. The extent of any intended travel below the in-flight low-pitch position must be documented by the applicant in the appropriate manuals. Failure of structural elements need not be considered if the occurrence of such a failure is shown to be extremely remote under § 35.15.
(b) For propellers incorporating a method to select blade pitch below the in-flight low pitch position, provisions must be made to sense and indicate to the flight crew that the propeller blades are below that position by an amount defined in the installation manual. The method for sensing and indicating the propeller blade pitch position must be such that its failure does not affect the control of the propeller.
(a) Feathering propellers are intended to feather from all flight conditions, taking into account expected wear and leakage. Any feathering and unfeathering limitations must be documented in the appropriate manuals.
(b) Propeller pitch control systems that use engine oil to feather must incorporate a method to allow the propeller to feather if the engine oil system fails.
(c) Feathering propellers must be designed to be capable of unfeathering after the propeller system has stabilized to the minimum declared outside air temperature.
The requirements of this section apply to any system or component that controls, limits or monitors propeller functions.
(a) The propeller control system must be designed, constructed and validated to show that:
(1) The propeller control system, operating in normal and alternative operating modes and in transition between operating modes, performs the functions defined by the applicant throughout the declared operating conditions and flight envelope.
(2) The propeller control system functionality is not adversely affected by the declared environmental conditions, including temperature, electromagnetic interference (EMI), high intensity radiated fields (HIRF) and lightning. The environmental limits to which the system has been satisfactorily validated must be documented in the appropriate propeller manuals.
(3) A method is provided to indicate that an operating mode change has occurred if flight crew action is required. In such an event, operating instructions must be provided in the appropriate manuals.
(b) The propeller control system must be designed and constructed so that, in addition to compliance with § 35.15:
(1) No single failure or malfunction of electrical or electronic components in the control system results in a hazardous propeller effect.
(2) Failures or malfunctions directly affecting the propeller control system in a typical airplane, such as structural failures of attachments to the control, fire, or overheat, do not lead to a hazardous propeller effect.
(3) The loss of normal propeller pitch control does not cause a hazardous propeller effect under the intended operating conditions.
(4) The failure or corruption of data or signals shared across propellers does not cause a hazardous propeller effect.
(c) Electronic propeller control system imbedded software must be designed and implemented by a method approved by the Administrator that is consistent with the criticality of the performed functions and that minimizes the existence of software errors.
(d) The propeller control system must be designed and constructed so that the failure or corruption of airplane-supplied data does not result in hazardous propeller effects.
(e) The propeller control system must be designed and constructed so that the loss, interruption or abnormal characteristic of airplane-supplied electrical power does not result in hazardous propeller effects. The power quality requirements must be described in the appropriate manuals.
The maximum stresses developed in the propeller may not exceed values acceptable to the Administrator considering the particular form of construction and the most severe operating conditions.
(a) Each applicant must furnish test article(s) and suitable testing facilities, including equipment and competent personnel, and conduct the required tests in accordance with part 21 of this chapter.
(b) All automatic controls and safety systems must be in operation unless it is accepted by the Administrator as impossible or not required because of the nature of the test. If needed for substantiation, the applicant may test a different propeller configuration if this does not constitute a less severe test.
(c) Any systems or components that cannot be adequately substantiated by the applicant to the requirements of this part are required to undergo additional tests or analysis to demonstrate that the systems or components are able to perform their intended functions in all declared environmental and operating conditions.
(a) Before and after conducting the tests prescribed in this part, the test article must be subjected to an inspection, and a record must be made of all the relevant parameters, calibrations and settings.
(b) During all tests, only servicing and minor repairs are permitted. If major repairs or part replacement is required, the Administrator must approve the repair or part replacement prior to implementation and may require additional testing. Any unscheduled repair or action on the test article must be recorded and reported.
The applicant must demonstrate that a propeller complies with paragraphs (a), (b) and (c) of this section without evidence of failure, malfunction, or permanent deformation that would result in a major or hazardous propeller effect. When the propeller could be sensitive to environmental degradation in service, this must be considered. This section does not apply to fixed-pitch wood or fixed-pitch metal propellers of conventional design.
(a) The hub, blade retention system, and counterweights must be tested for a period of one hour to a load equivalent to twice the maximum centrifugal load to which the propeller would be subjected during operation at the maximum rated rotational speed.
(b) Blade features associated with transitions to the retention system (for example, a composite blade bonded to a metallic retention) must be tested either during the test of paragraph (a) of this section or in a separate component test for a period of one hour to a load equivalent to twice the maximum centrifugal load to which the propeller would be subjected during operation at the maximum rated rotational speed.
(c) Components used with or attached to the propeller (for example, spinners, de-icing equipment, and blade erosion shields) must be subjected to a load equivalent to 159 percent of the maximum centrifugal load to which the component would be subjected during operation at the maximum rated rotational speed. This must be performed by either:
(1) Testing at the required load for a period of 30 minutes; or
(2) Analysis based on test.
The applicant must demonstrate, by tests or analysis based on tests or experience on similar designs, that the propeller can withstand the impact of a 4-pound bird at the critical location(s) and critical flight condition(s) of a typical installation without causing a major or hazardous propeller effect. This section does not apply to fixed-pitch wood propellers of conventional design.
This section does not apply to fixed-pitch wood propellers of conventional design.
(a) Fatigue limits must be established by tests, or analysis based on tests, for propeller:
(1) Hubs.
(2) Blades.
(3) Blade retention components.
(4) Components which are affected by fatigue loads and which are shown under § 35.15 to have a fatigue failure mode leading to hazardous propeller effects.
(b) The fatigue limits must take into account:
(1) All known and reasonably foreseeable vibration and cyclic load patterns that are expected in service; and
(2) Expected service deterioration, variations in material properties, manufacturing variations, and environmental effects.
(c) A fatigue evaluation of the propeller must be conducted to show that hazardous propeller effects due to fatigue will be avoided throughout the intended operational life of the propeller on either:
(1) The intended airplane by complying with § 23.2400(c) or § 25.907 of this chapter, as applicable; or
(2) A typical airplane.
The applicant must demonstrate, by tests, analysis based on tests, or experience on similar designs, that the propeller can withstand a lightning strike without causing a major or hazardous propeller effect. The limit to which the propeller has been qualified must be documented in the appropriate manuals. This section does not apply to fixed-pitch wood propellers of conventional design.
Endurance tests on the propeller system must be made on a representative engine in accordance with paragraph (a) or (b) of this section, as applicable, without evidence of failure or malfunction.
(a) Fixed-pitch and ground adjustable-pitch propellers must be subjected to one of the following tests:
(1) A 50-hour flight test in level flight or in climb. The propeller must be operated at takeoff power and rated rotational speed during at least five hours of this flight test, and at not less than 90 percent of the rated rotational speed for the remainder of the 50 hours.
(2) A 50-hour ground test at takeoff power and rated rotational speed.
(b) Variable-pitch propellers must be subjected to one of the following tests:
(1) A 110-hour endurance test that must include the following conditions:
(i) Five hours at takeoff power and rotational speed and thirty 10-minute cycles composed of:
(A) Acceleration from idle,
(B) Five minutes at takeoff power and rotational speed,
(C) Deceleration, and
(D) Five minutes at idle.
(ii) Fifty hours at maximum continuous power and rotational speed,
(iii) Fifty hours, consisting of ten 5-hour cycles composed of:
(A) Five accelerations and decelerations between idle and takeoff power and rotational speed,
(B) Four and one half hours at approximately even incremental conditions from idle up to, but not including, maximum continuous power and rotational speed, and
(C) Thirty minutes at idle.
(2) The operation of the propeller throughout the engine endurance tests prescribed in part 33 of this chapter.
(c) An analysis based on tests of propellers of similar design may be used in place of the tests of paragraphs (a) and (b) of this section.
The variable-pitch propeller system must be subjected to the applicable functional tests of this section. The same propeller system used in the endurance test (§ 35.39) must be used in the functional tests and must be driven by a representative engine on a test stand or on an airplane. The propeller must complete these tests without evidence of failure or malfunction. This test may be combined with the endurance test for accumulation of cycles.
(a) Manually-controllable propellers. Five hundred representative flight cycles must be made across the range of pitch and rotational speed.
(b) Governing propellers. Fifteen hundred complete cycles must be made across the range of pitch and rotational speed.
(c) Feathering propellers. Fifty cycles of feather and unfeather operation must be made.
(d) Reversible-pitch propellers. Two hundred complete cycles of control must be made from lowest normal pitch to maximum reverse pitch. During each cycle, the propeller must run for 30 seconds at the maximum power and rotational speed selected by the applicant for maximum reverse pitch.
(e) An analysis based on tests of propellers of similar design may be used in place of the tests of this section.
(a) When the applicant seeks approval of a transient maximum propeller overspeed, the applicant must demonstrate that the propeller is capable of further operation without maintenance action at the maximum propeller overspeed condition. This may be accomplished by:
(1) Performance of 20 runs, each of 30 seconds duration, at the maximum propeller overspeed condition; or
(2) Analysis based on test or service experience.
(b) When the applicant seeks approval of a transient maximum propeller overtorque, the applicant must demonstrate that the propeller is capable of further operation without maintenance action at the maximum propeller overtorque condition. This may be accomplished by:
(1) Performance of 20 runs, each of 30 seconds duration, at the maximum propeller overtorque condition; or
(2) Analysis based on test or service experience.
The applicant must demonstrate by tests, analysis based on tests, or service experience on similar components, that each propeller blade pitch control system component, including governors, pitch change assemblies, pitch locks, mechanical stops, and feathering system components, can withstand cyclic operation that simulates the normal load and pitch change travel to which the component would be subjected during the initially declared overhaul period or during a minimum of 1,000 hours of typical operation in service.
Applicants must show by test, validated analysis, or both, that propeller components that contain hydraulic pressure and whose structural failure or leakage from a structural failure could cause a hazardous propeller effect demonstrate structural integrity by:
(a) A proof pressure test to 1.5 times the maximum operating pressure for one minute without permanent deformation or leakage that would prevent performance of the intended function.
(b) A burst pressure test to 2.0 times the maximum operating pressure for one minute without failure. Leakage is permitted and seals may be excluded from the test.
(a) This appendix specifies requirements for the preparation of Instructions for Continued Airworthiness as required by § 35.4.
(b) The Instructions for Continued Airworthiness for each propeller must include the Instructions for Continued Airworthiness for all propeller parts. If Instructions for Continued Airworthiness are not supplied by the propeller part manufacturer for a propeller part, the Instructions for Continued Airworthiness for the propeller must include the information essential to the continued airworthiness of the propeller.
(c) The applicant must submit to the FAA a program to show how changes to the Instructions for Continued Airworthiness made by the applicant or by the manufacturers of propeller parts will be distributed.
(a) The Instructions for Continued Airworthiness must be in the form of a manual or manuals as appropriate for the quantity of data to be provided.
(b) The format of the manual or manuals must provide for a practical arrangement.
The contents of the manual must be prepared in the English language. The Instructions for Continued Airworthiness must contain the following sections and information:
(a) Propeller Maintenance Section. (1) Introduction information that includes an explanation of the propeller's features and data to the extent necessary for maintenance or preventive maintenance.
(2) A detailed description of the propeller and its systems and installations.
(3) Basic control and operation information describing how the propeller components and systems are controlled and how they operate, including any special procedures that apply.
(4) Instructions for uncrating, acceptance checking, lifting, and installing the propeller.
(5) Instructions for propeller operational checks.
(6) Scheduling information for each part of the propeller that provides the recommended periods at which it should be cleaned, adjusted, and tested, the applicable wear tolerances, and the degree of work recommended at these periods. However, the applicant may refer to an accessory, instrument, or equipment manufacturer as the source of this information if it shows that the item has an exceptionally high degree of complexity requiring specialized maintenance techniques, test equipment, or expertise. The recommended overhaul periods and necessary cross-references to the Airworthiness Limitations section of the manual must also be included. In addition, the applicant must include an inspection program that includes the frequency and extent of the inspections necessary to provide for the continued airworthiness of the propeller.
(7) Troubleshooting information describing probable malfunctions, how to recognize those malfunctions, and the remedial action for those malfunctions.
(8) Information describing the order and method of removing and replacing propeller parts with any necessary precautions to be taken.
(9) A list of the special tools needed for maintenance other than for overhauls.
(b) Propeller Overhaul Section. (1) Disassembly information including the order and method of disassembly for overhaul.
(2) Cleaning and inspection instructions that cover the materials and apparatus to be used and methods and precautions to be taken during overhaul. Methods of overhaul inspection must also be included.
(3) Details of all fits and clearances relevant to overhaul.
(4) Details of repair methods for worn or otherwise substandard parts and components along with information necessary to determine when replacement is necessary.
(5) The order and method of assembly at overhaul.
(6) Instructions for testing after overhaul.
(7) Instructions for storage preparation including any storage limits.
(8) A list of tools needed for overhaul.
The Instructions for Continued Airworthiness must contain a section titled Airworthiness Limitations that is segregated and clearly distinguishable from the rest of the document. This section must set forth each mandatory replacement time, inspection interval, and related procedure required for type certification. This section must contain a legible statement in a prominent location that reads: “The Airworthiness Limitations section is FAA approved and specifies maintenance required under §§ 43.16 and 91.403 of the Federal Aviation Regulations unless an alternative program has been FAA approved.”
(a) This part prescribes noise standards for the issue of the following certificates:
(1) Type certificates, and changes to those certificates, and standard airworthiness certificates, for subsonic transport category large airplanes, and for subsonic jet airplanes regardless of category.
(2) Type certificates and changes to those certificates, standard airworthiness certificates, and restricted category airworthiness certificates, for propeller-driven, small airplanes, and for propeller-driven, commuter category airplanes except those airplanes that are designed for “agricultural aircraft operations” (as defined in § 137.3 of this chapter, as effective on January 1, 1966) or for dispersing fire fighting materials to which § 36.1583 of this part does not apply.
(3) A type certificate and changes to that certificate, and standard airworthiness certificates, for Concorde airplanes.
(4) Type certificates, and changes to those certificates, for helicopters except those helicopters that are designated exclusively for “agricultural aircraft operations” (as defined in § 137.3 of this chapter, as effective on January 1, 1966), for dispensing fire fighting materials, or for carrying external loads (as defined in § 133.1(b) of this chapter, as effective on December 20, 1976).
(5) Type certificates, changes to those certificates, and standard airworthiness certificates, for tiltrotors.
(b) Each person who applies under Part 21 of this chapter for a type of airworthiness certificate specified in this part must show compliance with the applicable requirements of this part, in addition to the applicable airworthiness requirements of this chapter.
(c) Each person who applies under Part 21 of this chapter for approval of an acoustical change described in § 21.93(b) of this chapter must show that the aircraft complies with the applicable provisions of §§ 36.7, 36.9, 36.11 or 36.13 of this part in addition to the applicable airworthiness requirements of this chapter.
(d) Each person who applies for the original issue of a standard airworthiness certificate for a transport category large airplane or for a jet airplane under § 21.183 must, regardless of date of application, show compliance with the following provisions of this part (including appendix B):
(1) The provisions of this part in effect on December 1, 1969, for subsonic airplanes that have not had any flight time before—
(i) December 1, 1973, for airplanes with maximum weights greater than 75,000 pounds, except for airplanes that are powered by Pratt & Whitney Turbo Wasp JT3D series engines;
(ii) December 31, 1974, for airplanes with maximum weights greater than 75,000 pounds and that are powered by Pratt & Whitney Turbo Wasp JT3D series engines; and
(iii) December 31, 1974, for airplanes with maximum weights of 75,000 pounds and less.
(2) The provisions of this part in effect on October 13, 1977, including the stage 2 noise limits, for Concorde airplanes that have not had flight time before January 1, 1980.
(e) Each person who applies for the original issue of a standard airworthiness certificate under § 21.183, or for the original issue of a restricted category airworthiness certificate under § 21.185, for propeller-driven, commuter category airplanes for a propeller driven small airplane that has not had any flight time before January 1, 1980, must show compliance with the applicable provisions of this part.
(f) For the purpose of showing compliance with this part for transport category large airplanes and jet airplanes regardless of category, the following terms have the following meanings:
(1) A “Stage 1 noise level” means a flyover, lateral or approach noise level greater than the Stage 2 noise limits prescribed in section B36.5(b) of appendix B of this part.
(2) A “Stage 1 airplane” means an airplane that has not been shown under this part to comply with the flyover, lateral, and approach noise levels required for Stage 2 or Stage 3 airplanes.
(3) A “Stage 2 noise level” means a noise level at or below the Stage 2 noise limits prescribed in section B36.5(b) of appendix B of this part but higher than the Stage 3 noise limits prescribed in section B36.5(c) of appendix B of this part.
(4) A “Stage 2 airplane” means an airplane that has been shown under this part to comply with Stage 2 noise levels prescribed in section B36.5(b) of appendix B of this part (including use of the applicable tradeoff provisions specified in section B36.6) and that does not comply with the requirements for a Stage 3 airplane.
(5) A “Stage 3 noise level” means a noise level at or below the Stage 3 noise limits prescribed in section B36.5(c) of appendix B of this part.
(6) A “Stage 3 airplane” means an airplane that has been shown under this part to comply with Stage 3 noise levels prescribed in section B36.5(c) of appendix B of this part (including use of the applicable tradeoff provisions specified in section B36.6).
(7) A “subsonic airplane” means an airplane for which the maximum operating limit speed, M
(8) A “supersonic airplane” means an airplane for which the maximum operating limit speed, M
(9) A “Stage 4 noise level” means a noise level at or below the Stage 4 noise limit prescribed in section B36.5(d) of appendix B of this part.
(10) A “Stage 4 airplane” means an airplane that has been shown under this part not to exceed the Stage 4 noise limit prescribed in section B36.5(d) of appendix B of this part.
(11) A “Chapter 4 noise level” means a noise level at or below the maximum noise level prescribed in Chapter 4, Paragraph 4.4, Maximum Noise Levels, of the International Civil Aviation Organization (ICAO) Annex 16, Volume I, Amendment 7, effective March 21, 2002. [Incorporated by reference, see § 36.6].
(12) A “Stage 5 noise level” means a noise level at or below the Stage 5 noise limit prescribed in section B36.5(e) of appendix B to this part.
(13) A “Stage 5 airplane” means an airplane that has been shown under this part not to exceed the Stage 5 noise limit prescribed in section B36.5(e) of appendix B to this part.
(14) A “Chapter 14 noise level” means a noise level at or below the Chapter 14 maximum noise level prescribed in Chapter 14 of the ICAO Annex 16, Volume 1, Seventh Edition, Amendment 11-B (Incorporated by reference, see § 36.6).
(g) For the purpose of showing compliance with this part for transport category large airplanes and jet airplanes regardless of category, each airplane may not be identified as complying with more than one stage or configuration simultaneously.
(h) For the purpose of showing compliance with this part, for helicopters in the primary, normal, transport, and restricted categories, the following terms have the specified meanings:
(1) Stage 1 noise level means a takeoff, flyover, or approach noise level greater than the Stage 2 noise limits prescribed in section H36.305 of appendix H of this part, or a flyover noise level greater than the Stage 2 noise limits prescribed in section J36.305 of appendix J of this part.
(2) Stage 1 helicopter means a helicopter that has not been shown under this part to comply with the takeoff, flyover, and approach noise levels required for Stage 2 helicopters as prescribed in section H36.305 of appendix H of this part, or a helicopter that has not been shown under this part to comply with the flyover noise level required for Stage 2 helicopters as prescribed in section J36.305 of appendix J of this part.
(3) Stage 2 noise level means a takeoff, flyover, or approach noise level at or below the Stage 2 noise limits prescribed in section H36.305 of appendix H of this part, or a flyover noise level at or below the Stage 2 limit prescribed in section J36.305 of appendix J of this part.
(4) Stage 2 helicopter means a helicopter that has been shown under this part to comply with Stage 2 noise limits (including applicable tradeoffs) prescribed in section H36.305 of appendix H of this part, or a helicopter that has been shown under this part to comply with the Stage 2 noise limit prescribed in section J36.305 of appendix J of this part.
(5) A “Stage 3 noise level” means a takeoff, flyover, or approach noise level at or below the Stage 3 noise limits prescribed in section H36.305 of appendix H of this part, or a flyover noise level at or below the Stage 3 noise limit prescribed in section J36.305 of appendix J of this part.
(6) A “Stage 3 helicopter” means a helicopter that has been shown under this part to comply with the Stage 3 noise limits (including applicable tradeoffs) prescribed in section H36.305 of appendix H of this part, or a helicopter that has been shown under this part to comply with the Stage 3 noise limit prescribed in section J36.305 of appendix J of this part.
(7) Maximum normal operating RPM means the highest rotor speed corresponding to the airworthiness limit imposed by the manufacturer and approved by the FAA. Where a tolerance on the highest rotor speed is specified, the maximum normal operating rotor speed is the highest rotor speed for which that tolerance is given. If the rotor speed is automatically linked with flight condition, the maximum normal operating rotor speed corresponding with the reference flight condition must be used during the noise certification procedure. If rotor speed can be changed by pilot action, the highest normal operating rotor speed specified in the flight manual limitation section for reference conditions must be used during the noise certification procedure.
(i) For the purpose of showing compliance with this part for tiltrotors, the following terms have the specified meanings:
Airplane mode means a configuration with nacelles on the down stops (axis aligned horizontally) and rotor speed set to cruise revolutions per minute (RPM).
Airplane mode RPM means the lower range of rotor rotational speed in RPM defined for the airplane mode cruise flight condition.
Fixed operation points mean designated nacelle angle positions selected for airworthiness reference. These are default positions used to refer to normal nacelle positioning operation of the aircraft. The nacelle angle is controlled by a self-centering switch. When the nacelle angle is 0 degrees (airplane mode) and the pilot moves the nacelle switch upwards, the nacelles are programmed to automatically turn to the first default position (for example, 60 degrees) where they will stop. A second upward move of the switch will tilt the nacelle to the second default position (for example, 75 degrees). Above the last default position, the nacelle angle can be set to any angle up to approximately 95 degrees by moving the switch in the up or down direction. The number and position of the fixed operation points may vary on different tiltrotor configurations.
Nacelle angle is defined as the angle between the rotor shaft centerline and the longitudinal axis of the aircraft fuselage.
Tiltrotor means a class of aircraft capable of vertical take-off and landing, within the powered-lift category, with rotors mounted at or near the wing tips that vary in pitch from near vertical to near horizontal configuration relative to the wing and fuselage.
Vertical takeoff and landing (VTOL) mode means the aircraft state or configuration having the rotors orientated with the axis of rotation in a vertical manner (i.e., nacelle angle of approximately 90 degrees) for vertical takeoff and landing operations.
V
VTOL/Conversion mode is all approved nacelle positions where the design operating rotor speed is used for hover operations.
VTOL mode RPM means highest range of RPM that occur for takeoff, approach, hover, and conversion conditions.
(a) Section 21.17 of this chapter notwithstanding, each person who applies for a type certificate for an aircraft covered by this part, must show that the aircraft meets the applicable requirements of this part that are effective on the date of application for that type certificate. When the time interval between the date of application for the type certificate and the issuance of the type certificate exceeds 5 years, the applicant must show that the aircraft meets the applicable requirements of this part that were effective on a date, to be selected by the applicant, not earlier than 5 years before the issue of the type certificate.
(b) Section 21.101(a) of this chapter notwithstanding, each person who applies for an acoustical change to a type design specified in § 21.93(b) of this chapter must show compliance with the applicable requirements of this part that are effective on the date of application for the change in type design. When the time interval between the date of application for the change in type design and the issuance of the amended or supplemental type certificate exceeds 5 years, the applicant must show that the aircraft meets the applicable requirements of this part that were effective on a date, to be selected by the applicant, not earlier than 5 years before the issue of the amended or supplemental type certificate.
(c) If an applicant elects to comply with a standard in this part that was effective after the filing of the application for a type certificate or change to a type design, the election:
(1) Must be approved by the FAA;
(2) Must include standards adopted between the date of application and the date of the election;
(3) May include other standards adopted after the standard elected by the applicant as determined by the FAA.
It must be shown that the aircraft meets the airworthiness regulations constituting the type certification basis of the aircraft under all conditions in which compliance with this part is shown, and that all procedures used in complying with this part, and all procedures and information for the flight crew developed under this part, are consistent with the airworthiness regulations constituting the type certification basis of the aircraft.
Pursuant to 49 U.S.C. 44715, the noise levels in this part have been determined to be as low as is economically reasonable, technologically practicable, and appropriate to the type of aircraft to which they apply. No determination is made, under this part, that these noise levels are or should be acceptable or unacceptable for operation at, into, or out of, any airport.
(a) Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at the locations in this paragraph (a) and may be obtained from the sources detailed in paragraphs (a)(1) through (12) of this section.
(1) The U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590.
(2) Federal Aviation Administration New England Regional Headquarters, 12 New England Executive Park, Burlington, MA 01801.
(3) Federal Aviation Administration Eastern Region Headquarters, Federal Building, John F. Kennedy International Airport, Jamaica, NY 11430.
(4) Federal Aviation Administration Southern Region Headquarters, 1701 Columbia Avenue, College Park, GA 30337.
(5) Federal Aviation Administration Great Lakes Region Headquarters, O'Hare Lake Office Center, 2300 East Devon Avenue, Des Plaines, IL 60018.
(6) Federal Aviation Administration Central Region Headquarters, Federal Building, 601 East 12th Street, Kansas City, MO 64106.
(7) Federal Aviation Administration Southwest Region Headquarters, 2601 Meacham Boulevard, Fort Worth, TX 76137.
(8) Federal Aviation Administration Northwest Mountain Region Headquarters, 1601 Lind Avenue SW, Renton, WA 98055.
(9) Federal Aviation Administration Western Pacific Region Headquarters, 15000 Aviation Boulevard, Hawthorne, CA 92007.
(10) Federal Aviation Administration Alaskan Region Headquarters, 222 West 7th Avenue, #14, Anchorage, AK 99513.
(11) Federal Aviation Administration European Office Headquarters, 15 Rue de la Loi, Third Floor, B-1040, Brussels, Belgium.
(12) The National Archives and Records Administration (NARA). For information on the availability of this information at NARA, call 202-741-6030 or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(b) International Civil Aviation Organization (ICAO), Document Sales Unit, 999 University Street, Montreal, Quebec, H3C 5H7, Canada. http://www.icao.int/publications/Pages/default.aspx.
(1) International Standards and Recommended Practices, Annex 16 to the Convention on International Civil Aviation, Environmental Protection, Volume I, Aircraft Noise, Third Edition, July 1993, Amendment 7 effective March 21, 2002, IBR approved for § 36.1(f), and appendices A and B to part 36.
(2) International Standards and Recommended Practices, Annex 16 to the Convention on International Civil Aviation, Environmental Protection, Volume I, Aircraft Noise, Seventh Edition, July 2014, Amendment 11-B, applicable January 1, 2015, IBR approved for § 36.1(f) and appendices A and B to part 36.
(c) International Electrotechnical Commission (IEC) 3 Rue de Varembe, Case Postale 131, 1211 Geneva 20, Switzerland, http://www.iec.ch/standardsdev/publications/?ref=menu.
(1) Publication No. 179, Precision Level Sound Meters, (IEC 179) 1973, IBR approved for appendix F to part 36.
(2) Publication No. 561, Electro-acoustical Measuring Equipment for Aircraft Noise Certification, first edition, 1976, (IEC 561), IBR approved for appendices G and J to part 36.
(3) Publication No. 651, Sound Level Meters, first edition, 1979, (IEC 651), IBR approved for appendices G and J to part 36.
(4) Publication No. 804, Integrating-averaging Sound Level Meters, first edition, 1985, (IEC 804), IBR approved for appendix J to part 36.
(5) Publication No. 61094-3, Measurement Microphones—Part 3: Primary Method for Free-Field Calibration of Laboratory Standard Microphones by the Reciprocity Technique, edition 1.0, 1995 (IEC 61094-3) IBR approved for appendix A to part 36.
(6) Publication No. 61094-4, Measurement Microphones—Part 4: Specifications for Working Standard Microphones, edition 1.0, 1995, (IEC 61094-4) IBR approved for appendix A to part 36.
(7) Publication No. 61260, Electroacoustics-Octave-Band and Fractional-Octave-Band Filters, edition 1.0, 1995, (IEC 61260), IBR approved for appendix A to part 36.
(8) Publication No, 60942, Electroacoustics-Sound Calibrators, edition 2.0, 1997, (IEC 60942) IBR approved for appendix A to part 36.
(d) Society of Automotive Engineers, Inc. (SAE), 400 Commonwealth Drive, Warrentown, PA 15096, http://www.sae.org/pubs/.
(1) ARP 866A, Standard Values at Atmospheric Absorption as a Function of Temperature and Humidity for use in Evaluating Aircraft Flyover Noise, March 15, 1975, IBR approved for appendix H to part 36.
(2) [Reserved]
(a) Applicability. This section applies to all transport category large airplanes and jet airplanes for which an acoustical change approval is applied for under § 21.93(b) of this chapter.
(b) General requirements. Except as otherwise specifically provided, for each airplane covered by this section, the acoustical change approval requirements are as follows:
(1) In showing compliance, noise levels must be measured and evaluated in accordance with the applicable procedures and conditions prescribed in Appendix A of this part.
(2) Compliance with the noise limits prescribed in section B36.5 of appendix B must be shown in accordance with the applicable provisions of sections B36.7 and B36.8 of appendix B of this part.
(c) Stage 1 airplanes. For each Stage 1 airplane prior to the change in type design, in addition to the provisions of paragraph (b) of this section, the following apply:
(1) If an airplane is a Stage 1 airplane prior to the change in type design, it may not, after the change in type design, exceed the noise levels created prior to the change in type design. The tradeoff provisions of section B36.6 of appendix B of this part may not be used to increase the Stage 1 noise levels, unless the aircraft qualifies as a Stage 2 airplane.
(2) In addition, for an airplane for which application is made after September 17, 1971—
(i) There may be no reduction in power or thrust below the highest airworthiness approved power or thrust, during the tests conducted before and after the change in type design; and
(ii) During the flyover and lateral noise tests conducted before the change in type design, the quietest airworthiness approved configuration available for the highest approved takeoff weight must be used.
(d) Stage 2 airplanes. If an airplane is a Stage 2 airplane prior to the change in type design, the following apply, in addition to the provisions of paragraph (b) of this section:
(1) Airplanes with high bypass ratio jet engines. For an airplane that has jet engines with a bypass ratio of 2 or more before a change in type design—
(i) The airplane, after the change in type design, may not exceed either (A) each Stage 3 noise limit by more than 3 EPNdB, or (B) each Stage 2 noise limit, whichever is lower:
(ii) The tradeoff provisions of section B36.6 of appendix B of this part may be used in determining compliance under this paragraph with respect to the Stage 2 noise limit or to the Stage 3 plus 3 EPNdB noise limits, as applicable; and
(iii) During the flyover and lateral noise test conducted before the change in type design, the quietest airworthiness approved configuration available for the highest approved takeoff weight must be used.
(2) Airplanes that do not have high bypass ratio jet engines. For an airplane that does not have jet engines with a bypass ratio of 2 or more before a change in type design—
(i) The airplane may not be a Stage 1 airplane after the change in type design; and
(ii) During the flyover and lateral noise tests conducted before the change in type design, the quietest airworthiness approved configuration available for the highest approved takeoff weight must be used.
(e) Stage 3 airplanes. If an airplane is a Stage 3 airplane prior to the change in type design, the following apply, in addition to the provisions of paragraph (b) of this section:
(1) If compliance with Stage 3 noise levels is not required before the change in type design, the airplane must—
(i) Be a Stage 2 airplane after the change in type design and compliance must be shown under the provisions of paragraph (d)(1) or (d)(2) of this section, as appropriate; or
(ii) Remain a Stage 3 airplane after the change in type design. Compliance must be shown under the provisions of paragraph (e)(2) of this section.
(2) If compliance with Stage 3 noise levels is required before the change in type design, the airplane must be a Stage 3 airplane after the change in type design.
(3) Applications on or after [August 14, 1989.] The airplane must remain a Stage 3 airplane after the change in type design.
(4) If an airplane is a Stage 3 airplane prior to a change in type design, and becomes a Stage 4 after the change in type design, the airplane must remain a Stage 4 airplane.
(5) If an airplane is a Stage 3 airplane prior to a change in type design, and becomes a Stage 5 airplane after the change in type design, the airplane must remain a Stage 5 airplane.
(f) Stage 4 airplanes. (1) If an airplane is a Stage 4 airplane prior to a change in type design, the airplane must remain a Stage 4 airplane after the change in type design.
(2) If an airplane is a Stage 4 airplane prior to a change in type design, and becomes a Stage 5 airplane after the change in type design, the airplane must remain a Stage 5 airplane.
(g) Stage 5 airplanes. If an airplane is a Stage 5 airplane prior to a change in type design, the airplane must remain a Stage 5 airplane after the change in type design.
For propeller-driven small airplanes in the primary, normal, utility, acrobatic, transport, and restricted categories and for propeller-driven, commuter category airplanes for which an acoustical change approval is applied for under § 21.93(b) of this chapter after January 1, 1975, the following apply:
(a) If the airplane was type certificated under this part prior to a change in type design, it may not subsequently exceed the noise limits specified in § 36.501 of this part.
(b) If the airplane was not type certificated under this part prior to a change in type design, it may not exceed the higher of the two following values:
(1) The noise limit specified in § 36.501 of this part, or
(2) The noise level created prior to the change in type design, measured and corrected as prescribed in § 36.501 of this part.
This section applies to all helicopters in the primary, normal, transport, and restricted categories for which an acoustical change approval is applied for under § 21.93(b) of this chapter on or after March 6, 1986. Compliance with the requirements of this section must be demonstrated under appendix H of this part, or, for helicopters having a maximum certificated takeoff weight of not more than 7,000 pounds, compliance with this section may be demonstrated under appendix J of this part.
(a) General requirements. Except as otherwise provided, for helicopters covered by this section, the acoustical change approval requirements are as follows:
(1) In showing compliance with the requirements of appendix H of this part, noise levels must be measured, evaluated, and calculated in accordance with the applicable procedures and conditions prescribed in parts B and C of appendix H of this part. For helicopters having a maximum certificated takeoff weight of not more than 7,000 pounds that alternatively demonstrate compliance under appendix J of this part, the flyover noise level prescribed in appendix J of this part must be measured, evaluated, and calculated in accordance with the applicable procedures and conditions prescribed in parts B and C of appendix J of this part.
(2) Compliance with the noise limits prescribed in section H36.305 of appendix H of this part must be shown in accordance with the applicable provisions of part D of appendix H of this part. For those helicopters that demonstrate compliance with the requirements of appendix J of this part, compliance with the noise levels prescribed in section J36.305 of appendix J of this part must be shown in accordance with the applicable provisions of part D of appendix J of this part.
(b) Stage 1 helicopters. Except as provided in § 36.805(c), for each Stage 1 helicopter prior to a change in type design, the helicopter noise levels may not, after a change in type design, exceed the noise levels specified in section H36.305(a)(1) of appendix H of this part where the demonstration of compliance is under appendix H of this part. The tradeoff provisions under section H36.305(b) of appendix H of this part may not be used to increase any Stage 1 noise level beyond these limits. If an applicant chooses to demonstrate compliance under appendix J of this part, for each Stage 1 helicopter prior to a change in type design, the helicopter noise levels may not, after a change in type design, exceed the Stage 2 noise levels specified in section J36.305(a) of appendix J of this part.
(c) Stage 2 helicopters. For each helicopter that is Stage 2 prior to a change in type design, after a change in type design the helicopter must either:
(1) Remain a Stage 2 helicopter; or
(2) Comply with Stage 3 requirements and remain a Stage 3 helicopter thereafter.
(d) Stage 3 helicopters. For a helicopter that is a Stage 3 helicopter prior to a change in type design, the helicopter must remain a Stage 3 helicopter after a change in type design.
The following requirements apply to tiltrotors in any category for which an acoustical change approval is applied for under § 21.93(b) of this chapter on or after March 11, 2013:
(a) In showing compliance with Appendix K of this part, noise levels must be measured, evaluated, and calculated in accordance with the applicable procedures and conditions prescribed in Appendix K of this part.
(b) Compliance with the noise limits prescribed in section K4 (Noise Limits) of Appendix K of this part must be shown in accordance with the applicable provisions of sections K2 (Noise Evaluation Measure), K3 (Noise Measurement Reference Points), K6 (Noise Certification Reference Procedures), and K7 (Test Procedures) of Appendix K of this part.
(c) After a change in type design, tiltrotor noise levels may not exceed the limits specified in § 36.1103.
For transport category large airplanes and jet airplanes, the noise generated by the airplane must be measured and evaluated under appendix A of this part or under an approved equivalent procedure.
(a) For subsonic transport category large airplanes and subsonic jet airplanes compliance with this section must be shown with noise levels measured and evaluated as prescribed in appendix A of this part, and demonstrated at the measuring points, and in accordance with the test procedures under section B36.8 (or an approved equivalent procedure), stated under appendix B of this part.
(b) Type certification applications between November 5, 1975 and December 31, 2005. If application is made on or after November 5, 1975, and before January 1, 2006, it must be shown that the noise levels of the airplane are no greater than the Stage 3 noise limit prescribed in section B36.5(c) of appendix B of this part.
(c) Type certification applications between January 1, 2006, and the date specified in paragraph (d) or (e) of this section, as applicable for airplane weight. If application is made on or after January 1, 2006, and before the date specified in paragraph (d) or (e) of this section (as applicable for airplane weight), it must be shown that the noise levels of the airplane are no greater than the Stage 4 noise limit prescribed in section B36.5(d) of appendix B of this part. If an applicant chose to voluntarily certificate an airplane to Stage 4 prior to January 2006, then the requirements of § 36.7(f) apply to that airplane.
(d) For airplanes with a maximum certificated takeoff weight of 121,254 pounds (55,000 kg) or more, type certification applications on or after December 31, 2017. If application is made on or after December 31, 2017, it must be shown that the noise levels of the airplane are no greater than the Stage 5 noise limit prescribed in section B36.5(e) of appendix B of this part. Prior to December 31, 2017, an applicant may seek voluntary certification to Stage 5. If Stage 5 certification is chosen, the requirements of § 36.7(g) will apply.
(e) For airplanes with a maximum certificated take-off weight of less than 121,254 pounds (55,000 kg), type certification applications on or after December 31, 2020. If application is made on or after December 31, 2020, it must be shown that the noise levels of the airplane are no greater than the Stage 5 noise limit prescribed in section B36.5(e) of appendix B of this part. Prior to December 31, 2020, an applicant may seek voluntary certification to Stage 5. If Stage 5 certification is chosen, the requirements of § 36.7(g) will apply.
For each airplane that meets the requirements for Stage 4 certification, the Airplane Flight Manual or operations manual must include the following statement: “The following noise levels comply with part 36, Appendix B, Stage 4 maximum noise level requirements and were obtained by analysis of approved data from noise tests conducted under the provisions of part 36, Amendment 36 (insert part 36 amendment to which the airplane was certificated). The noise measurement and evaluation procedures used to obtain these noise levels are considered by the FAA to be equivalent to the Chapter 4 noise level required by the International Civil Aviation Organization (ICAO) in Annex 16, Volume I, Appendix 2, Amendment 7, effective March 21, 2002.”.
For each airplane that meets the requirements for Stage 5 certification, the Airplane Flight Manual or operations manual must include the following statement: “The following noise levels comply with part 36, appendix B, Stage 5 maximum noise level requirements and were obtained by analysis of approved data from noise tests conducted under the provisions of part 36, Amendment [insert part 36 amendment number to which the airplane was certificated]. The noise measurement and evaluation procedures used to obtain these noise levels are considered by the FAA to be equivalent to the Chapter 14 noise levels required by the International Civil Aviation Organization (ICAO) in Annex 16, Volume 1, Aircraft Noise, Seventh Edition, July 2014, Amendment 11-B, applicable January 1, 2015.”
(a) General. For the Concorde airplane, compliance with this subpart must be shown with noise levels measured and evaluated as prescribed in Subpart B of this part, and demonstrated at the measuring points prescribed in appendix B of this part.
(b) Noise limits. It must be shown, in accordance with the provisions of this part in effect on October 13, 1977, that the noise levels of the airplane are reduced to the lowest levels that are economically reasonable, technologically practicable, and appropriate for the Concorde type design.
(a) Compliance with this subpart must be shown for—
(1) Propeller driven small airplanes for which application for the issuance of a new, amended, or supplemental type certificate in the normal, utility, acrobatic, transport, or restricted category is made on or after October 10, 1973; and propeller-driven, commuter category airplanes for which application for the issuance of a type certificate in the commuter category is made on or after January 15, 1987.
(2) Propeller driven small airplanes and propeller-driven, commuter category airplanes for which application is made for the original issuance of a standard airworthiness certificate or restricted category airworthiness certificate, and that have not had any flight time before January 1, 1980 (regardless of date of application).
(3) Airplanes in the primary category:
(i) Except as provided in paragraph (a)(3)(ii) of this section, for an airplane for which application for a type certificate in the primary category is made, and that was not previously certificated under appendix F of this part, compliance with appendix G of this part must be shown.
(ii) For an airplane in the normal, utility or acrobatic category that (A) has a type certificate issued under this chapter, (B) has a standard airworthiness certificate issued under this chapter, (C) has not undergone an acoustical change from its type design, (D) has not previously been certificated under appendix F or G of this part, and (E) for which application for conversion to the primary category is made, no further showing of compliance with this part is required.
(b) For aircraft covered by this subpart for which certification tests are completed before December 22, 1988, compliance must be shown with noise levels as measured and prescribed in Parts B and C of appendix F, or under approved equivalent procedures. It must be shown that the noise level of the airplane is no greater than the applicable limit set in Part D of appendix F.
(c) For aircraft covered by this subpart for which certification tests are not completed before December 22, 1988, compliance must be shown with noise levels as measured and prescribed in Parts B and C of appendix G, or under approved equivalent procedures. It must be shown that the noise level of the airplane is no greater than the applicable limits set in Part D of appendix G.
For primary, normal, transport, or restricted category helicopters for which certification is sought under appendix H of this part, the noise generated by the helicopter must be measured at the noise measuring points and under the test conditions prescribed in part B of appendix H of this part, or under an FAA-approved equivalent procedure. For those primary, normal, transport, and restricted category helicopters having a maximum certificated takeoff weight of not more than 7,000 pounds for which compliance with appendix J of this part is demonstrated, the noise generated by the helicopter must be measured at the noise measuring point and under the test conditions prescribed in part B of appendix J of this part, or an FAA-approved equivalent procedure.
The noise measurement data required under § 36.801 and obtained under appendix H of this part must be corrected to the reference conditions contained in part A of appendix H of this part, and evaluated under the procedures of part C of appendix H of this part, or an FAA-approved equivalent procedure. The noise measurement data required under § 36.801 and obtained under appendix J of this part must be corrected to the reference conditions contained in part A of appendix J of this part, and evaluated under the procedures of part C of appendix J of this part, or an FAA-approved equivalent procedure.
(a) Compliance with the noise levels prescribed under part D of appendix H of this part, or under part D of appendix J of this part, must be shown for helicopters for which application for issuance of a type certificate in the primary, normal, transport, or restricted category is made on or after March 6, 1986.
(b) For helicopters covered by this section, except as provided in paragraph (c) or (d)(2) of this section, it must be shown either:
(1) When an application for issuance of a type certificate in the primary, normal, transport, or restricted category is made on and after March 6, 1986 and before May 5, 2014, that the noise levels of the helicopter are no greater than the Stage 2 noise limits prescribed in either section H36.305 of appendix H of this part or section J36.305 of appendix J of this part, as applicable; or
(2) When an application for issuance of a type certificate in the primary, normal, transport, or restricted category is made on or after May 5, 2014, that the noise levels of the helicopter are no greater than the Stage 3 noise limits prescribed in either section H36.305 of appendix H of this part, or section J36.305 of appendix J of this part, as applicable.
(c) For helicopters for which application for issuance of an original type certificate in the primary, normal, transport, or restricted category is made on or after March 6, 1986, and which the FAA finds to be the first civil version of a helicopter that was designed and constructed for, and accepted for operational use by, an Armed Force of the United States or the U.S. Coast Guard on or before March 6, 1986, it must be shown that the noise levels of the helicopter are no greater than the noise limits for a change in type design as specified in section H36.305(a)(1)(ii) of appendix H of this part for compliance demonstrated under appendix H of this part, or as specified in section J36.305 of appendix J of this part for compliance demonstrated under appendix J of this part. Subsequent civil versions of any such helicopter must meet the Stage 2 requirements.
(d) Helicopters in the primary category:
(1) Except as provided in paragraph (d)(2) of this section, for a helicopter for which application for a type certificate in the primary category is made, and that was not previously certificated under appendix H of this part, compliance with appendix H of this part must be shown.
(2) For a helicopter that:
(i) Has a normal or transport type certificate issued under this chapter,
(ii) Has a standard airworthiness certificate issued under this chapter,
(iii) Has not undergone an acoustical change from its type design,
(iv) Has not previously been certificated under appendix H of this part, and
(v) For which application for conversion to the primary category is made, no further showing of compliance with this part is required.
For tiltrotors, the noise generated must be measured and evaluated under Appendix K of this part, or under an approved equivalent procedure.
(a) Compliance with the maximum noise levels prescribed in Appendix K of this part must be shown for a tiltrotor for which the application for the issuance of a type certificate is made on or after March 11, 2013.
(b) To demonstrate compliance with this part, noise levels may not exceed the noise limits listed in Appendix K, Section K4, Noise Limits of this part. Appendix K of this part (or an approved equivalent procedure) must also be used to evaluate and demonstrate compliance with the approved test procedures, and at the applicable noise measurement points.
(a) All procedures, weights, configurations, and other information or data employed for obtaining the certified noise levels prescribed by this part, including equivalent procedures used for flight, testing, and analysis, must be developed and approved. Noise levels achieved during type certification must be included in the approved airplane (rotorcraft) flight manual.
(b) Where supplemental test data are approved for modification or extension of an existing flight data base, such as acoustic data from engine static tests used in the certification of acoustical changes, the test procedures, physical configuration, and other information and procedures that are employed for obtaining the supplemental data must be developed and approved.
(a) If an Airplane Flight Manual or Rotorcraft Flight Manual is approved, the approved portion of the Airplane Flight Manual or Rotorcraft Flight Manual must contain the following information, in addition to that specified under § 36.1583 of this part. If an Airplane Flight Manual or Rotorcraft Flight Manual is not approved, the procedures and information must be furnished in any combination of approved manual material, markings, and placards.
(1) For transport category large airplanes and jet airplanes, the noise level information must be one value for each flyover, lateral, and approach as defined and required by appendix B of this part, along with the maximum takeoff weight, maximum landing weight, and configuration.
(2) For propeller driven small airplanes, the noise level information must be one value for takeoff as defined and required by appendix G of this part, along with the maximum takeoff weight and configuration.
(3) For rotorcraft, the noise level information must be one value for each takeoff, flyover, and approach as defined and required by appendix H of this part, or one value for flyover as defined and required by appendix J of this part, at the maximum takeoff weight and configuration.
(b) If supplemental operational noise level information is included in the approved portion of the Airplane Flight Manual, it must be segregated, identified as information in addition to the certificated noise levels, and clearly distinguished from the information required under § 36.1581(a).
(c) The following statement must be furnished near the listed noise levels:
(d) For transport category large airplanes and jet airplanes, for which the weight used in meeting the takeoff or landing noise requirements of this part is less than the maximum weight established under the applicable airworthiness requirements, those lesser weights must be furnished, as operating limitations in the operating limitations section of the Airplane Flight Manual. Further, the maximum takeoff weight must not exceed the takeoff weight that is most critical from a takeoff noise standpoint.
(e) For propeller driven small airplanes and for propeller-driven, commuter category airplanes for which the weight used in meeting the flyover noise requirements of this part is less than the maximum weight by an amount exceeding the amount of fuel needed to conduct the test, that lesser weight must be furnished, as an operating limitation, in the operating limitations section of an approved Airplane Flight Manual, in approved manual material, or on an approved placard.
(f) For primary, normal, transport, and restricted category helicopters, if the weight used in meeting the takeoff, flyover, or approach noise requirements of appendix H of this part, or the weight used in meeting the flyover noise requirement of appendix J of this part, is less than the certificated maximum takeoff weight established under either § 27.25(a) or § 29.25(a) of this chapter, that lesser weight must be furnished as an operating limitation in the operating limitations section of the Rotorcraft Flight Manual, in FAA-approved manual material, or on an FAA-approved placard.
(g) Except as provided in paragraphs (d), (e), and (f) of this section, no operating limitations are furnished under this part.
(a) This section applies to propeller-driven, small airplanes that—
(1) Are designed for “agricultural aircraft operations” (as defined in § 137.3 of this chapter, effective on January 1, 1966) or for dispensing fire fighting materials; and
(2) Have not been shown to comply with the noise levels prescribed under appendix F of this part—
(i) For which application is made for the original issue of a standard airworthiness certificate and that do not have any flight time before January 1, 1980; or
(ii) For which application is made for an acoustical change approval, for airplanes which have a standard airworthiness certificate after the change in the type design, and that do not have any flight time in the changed configuration before January 1, 1980.
(b) For airplanes covered by this section an operating limitation reading as follows must be furnished in the manner prescribed in § 36.1581:
Noise abatement: This airplane has not been shown to comply with the noise limits in FAR Part 36 and must be operated in accordance with the noise operating limitation prescribed under FAR § 91.815.
A36.1.1 This appendix prescribes the conditions under which airplane noise certification tests must be conducted and states the measurement procedures that must be used to measure airplane noise. The procedures that must be used to determine the noise evaluation quantity designated as effective perceived noise level, EPNL, under §§ 36.101 and 36.803 are also stated.
A36.1.2 The instructions and procedures given are intended to ensure uniformity during compliance tests and to permit comparison between tests of various types of airplanes conducted in various geographical locations.
A36.1.3 A complete list of symbols and units, the mathematical formulation of perceived noisiness, a procedure for determining atmospheric attenuation of sound, and detailed procedures for correcting noise levels from non-reference to reference conditions are included in this appendix.
A36.1.4 For Stage 4 airplanes, an acceptable alternative for noise measurement and evaluation is Appendix 2 to ICAO Annex 16, Volume I, Amendment 7 (incorporated by reference, see § 36.6).
A36.1.5 For Stage 5 airplanes, an acceptable alternative for noise measurement and evaluation is Appendix 2 to ICAO Annex 16, Volume 1, Amendment 11-B (incorporated by reference, see § 36.6).
A36.2.1 General.
A36.2.1.1 This section prescribes the conditions under which noise certification must be conducted and the measurement procedures that must be used.
Many noise certifications involve only minor changes to the airplane type design. The resulting changes in noise can often be established reliably without resorting to a complete test as outlined in this appendix. For this reason, the FAA permits the use of approved equivalent procedures. There are also equivalent procedures that may be used in full certification tests, in the interest of reducing costs and providing reliable results. Guidance material on the use of equivalent procedures in the noise certification of subsonic jet and propeller-driven large airplanes is provided in the current advisory circular for this part.
A36.2.2 Test environment.
A36.2.2.1 Locations for measuring noise from an airplane in flight must be surrounded by relatively flat terrain having no excessive sound absorption characteristics such as might be caused by thick, matted, or tall grass, shrubs, or wooded areas. No obstructions that significantly influence the sound field from the airplane must exist within a conical space above the point on the ground vertically below the microphone, the cone being defined by an axis normal to the ground and by a half-angle 80° from this axis.
Those people carrying out the measurements could themselves constitute such obstruction.
A36.2.2.2 The tests must be carried out under the following atmospheric conditions.
(a) No precipitation;
(b) Ambient air temperature not above 95 °F (35 °C) and not below 14 °F (−10 °C), and relative humidity not above 95% and not below 20% over the whole noise path between a point 33 ft (10 m) above the ground and the airplane;
Care should be taken to ensure that the noise measuring, airplane flight path tracking, and meteorological instrumentation are also operated within their specific environmental limitations.
(c) Relative humidity and ambient temperature over the whole noise path between a point 33 ft (10 m) above the ground and the airplane such that the sound attenuation in the one-third octave band centered on 8 kHz will not be more than 12 dB/100 m unless:
(1) The dew point and dry bulb temperatures are measured with a device which is accurate to ±0.9 °F (±0.5 °C) and used to obtain relative humidity; in addition layered sections of the atmosphere are used as described in section A36.2.2.3 to compute equivalent weighted sound attenuations in each one-third octave band; or
(2) The peak noy values at the time of PNLT, after adjustment to reference conditions, occur at frequencies less than or equal to 400 Hz.;
(d) If the atmospheric absorption coefficients vary over the PNLTM sound propagation path by more than ±1.6 dB/1000 ft (±0.5 dB/100m) in the 3150Hz one-third octave band from the value of the absorption coefficient derived from the meteorological measurement obtained at 33 ft (10 m) above the surface, “layered” sections of the atmosphere must be used as described in section A36.2.2.3 to compute equivalent weighted sound attenuations in each one-third octave band; the FAA will determine whether a sufficient number of layered sections have been used. For each measurement, where multiple layering is not required, equivalent sound attenuations in each one-third octave band must be determined by averaging the atmospheric absorption coefficients for each such band at 33 ft (10 m) above ground level, and at the flight level of the airplane at the time of PNLTM, for each measurement;
(e) Average wind velocity 33 ft (10 m) above ground may not exceed 12 knots and the crosswind velocity for the airplane may not exceed 7 knots. The average wind velocity must be determined using a 30-second averaging period spanning the 10 dB-down time interval. Maximum wind velocity 33 ft (10 m) above ground is not to exceed 15 knots and the crosswind velocity is not to exceed 10 knots during the 10 dB-down time interval;
(f) No anomalous meteorological or wind conditions that would significantly affect the measured noise levels when the noise is recorded at the measuring points specified by the FAA; and
(g) Meteorological measurements must be obtained within 30 minutes of each noise test measurement; meteorological data must be interpolated to actual times of each noise measurement.
A36.2.2.3 When a multiple layering calculation is required by section A36.2.2.2(c) or A36.2.2.2(d) the atmosphere between the airplane and 33 ft (10 m) above the ground must be divided into layers of equal depth. The depth of the layers must be set to not more than the depth of the narrowest layer across which the variation in the atmospheric absorption coefficient of the 3150 Hz one-third octave band is not greater than ±1.6 dB/1000 ft (±0.5 dB/100m), with a minimum layer depth of 100 ft (30 m). This requirement must be met for the propagation path at PNLTM. The mean of the values of the atmospheric absorption coefficients at the top and bottom of each layer may be used to characterize the absorption properties of each layer.
A36.2.2.4 The airport control tower or another facility must be aproved by the FAA for use as the central location at which measurements of atmospheric parameters are representative of those conditions existing over the geographical area in which noise measurements are made.
A36.2.3 Flight path measurement.
A36.2.3.1 The airplane height and lateral position relative to the flight track must be determined by a method independent of normal flight instrumentation such as radar tracking, theodolite triangulation, or photographic scaling techniques, to be approved by the FAA.
A36.2.3.2 The airplane position along the flight path must be related to the noise recorded at the noise measurement locations by means of synchronizing signals over a distance sufficient to assure adequate data during the period that the noise is within 10 dB of the maximum value of PNLT.
A36.2.3.3 Position and performance data required to make the adjustments referred to in section A36.9 of this appendix must be automatically recorded at an approved sampling rate. Measuring equipment must be approved by the FAA.
A36.3.1 Definitions.
For the purposes of section A36.3 the following definitions apply:
A36.3.1.1 Measurement system means the combination of instruments used for the measurement of sound pressure levels, including a sound calibrator, windscreen, microphone system, signal recording and conditioning devices, and one-third octave band analysis system.
Practical installations may include a number of microphone systems, the outputs from which are recorded simultaneously by a multi-channel recording/analysis device via signal conditioners, as appropriate. For the purpose of this section, each complete measurement channel is considered to be a measurement system to which the requirements apply accordingly.
A36.3.1.2 Microphone system means the components of the measurement system which produce an electrical output signal in response to a sound pressure input signal, and which generally include a microphone, a preamplifier, extension cables, and other devices as necessary.
A36.3.1.3 Sound incidence angle means in degrees, an angle between the principal axis of the microphone, as defined in IEC 61094-3 and IEC 61094-4, as amended and a line from the sound source to the center of the diaphragm of the microphone (incorporated by reference, see § 36.6).
When the sound incidence angle is 0°, the sound is said to be received at the microphone at “normal (perpendicular) incidence;” when the sound incidence angle is 90°, the sound is said to be received at “grazing incidence.”
A36.3.1.4 Reference direction means, in degrees, the direction of sound incidence specified by the manufacturer of the microphone, relative to a sound incidence angle of 0°, for which the free-field sensitivity level of the microphone system is within specified tolerance limits.
A36.3.1.5 Free-field sensitivity of a microphone system means, in volts per Pascal, for a sinusoidal plane progressive sound wave of specified frequency, at a specified sound incidence angle, the quotient of the root mean square voltage at the output of a microphone system and the root mean square sound pressure that would exist at the position of the microphone in its absence.
A36.3.1.6 Free-field sensitivity level of a microphone system means, in decibels, twenty times the logarithm to the base ten of the ratio of the free-field sensitivity of a microphone system and the reference sensitivity of one volt per Pascal.
The free-field sensitivity level of a microphone system may be determined by subtracting the sound pressure level (in decibels re 20 µPa) of the sound incident on the microphone from the voltage level (in decibels re 1 V) at the output of the microphone system, and adding 93.98 dB to the result.
A36.3.1.7 Time-average band sound pressure level means in decibels, ten times the logarithm to the base ten, of the ratio of the time mean square of the instantaneous sound pressure during a stated time interval and in a specified one-third octave band, to the square of the reference sound pressure of 20 µPa.
A36.3.1.8 Level range means, in decibels, an operating range determined by the setting of the controls that are provided in a measurement system for the recording and one-third octave band analysis of a sound pressure signal. The upper boundary associated with any particular level range must be rounded to the nearest decibel.
A36.3.1.9 Calibration sound pressure level means, in decibels, the sound pressure level produced, under reference environmental conditions, in the cavity of the coupler of the sound calibrator that is used to determine the overall acoustical sensitivity of a measurement system.
A36.3.1.10 Reference level range means, in decibels, the level range for determining the acoustical sensitivity of the measurement system and containing the calibration sound pressure level.
A36.3.1.11 Calibration check frequency means, in hertz, the nominal frequency of the sinusoidal sound pressure signal produced by the sound calibrator.
A36.3.1.12 Level difference means, in decibels, for any nominal one-third octave midband frequency, the output signal level measured on any level range minus the level of the corresponding electrical input signal.
A36.3.1.13 Reference level difference means, in decibels, for a stated frequency, the level difference measured on a level range for an electrical input signal corresponding to the calibration sound pressure level, adjusted as appropriate, for the level range.
A36.3.1.14 Level non-linearity means, in decibels, the level difference measured on any level range, at a stated one-third octave nominal midband frequency, minus the corresponding reference level difference, all input and output signals being relative to the same reference quantity.
A36.3.1.15 Linear operating range means, in decibels, for a stated level range and frequency, the range of levels of steady sinusoidal electrical signals applied to the input of the entire measurement system, exclusive of the microphone but including the microphone preamplifier and any other signal-conditioning elements that are considered to be part of the microphone system, extending from a lower to an upper boundary, over which the level non-linearity is within specified tolerance limits.
Microphone extension cables as configured in the field need not be included for the linear operating range determination.
A36.3.1.16 Windscreen insertion loss means, in decibels, at a stated nominal one-third octave midband frequency, and for a stated sound incidence angle on the inserted microphone, the indicated sound pressure level without the windscreen installed around the microphone minus the sound pressure level with the windscreen installed.
A36.3.2 Reference environmental conditions.
A36.3.2.1 The reference environmental conditions for specifying the performance of a measurement system are:
(a) Air temperature 73.4 °F (23 °C);
(b) Static air pressure 101.325 kPa; and
(c) Relative humidity 50%.
A36.3.3. General.
Measurements of aircraft noise that are made using instruments that conform to the specifications of this section will yield one-third octave band sound pressure levels as a function of time. These one-third octave band levels are to be used for the calculation of effective perceived noise level as described in section A36.4.
A36.3.3.1 The measurement system must consist of equipment approved by the FAA and equivalent to the following:
(a) A windscreen (See A36.3.4.);
(b) A microphone system (See A36.3.5):
(c) A recording and reproducing system to store the measured aircraft noise signals for subsequent analysis (see A36.3.6);
(d) A one-third octave band analysis system (see A36.3.7); and
(e) Calibration systems to maintain the acoustical sensitivity of the above systems within specified tolerance limits (see A36.3.8).
A36.3.3.2. For any component of the measurement system that converts an analog signal to digital form, such conversion must be performed so that the levels of any possible aliases or artifacts of the digitization process will be less than the upper boundary of the linear operating range by at least 50 dB at any frequency less than 12.5 kHz. The sampling rate must be at least 28 kHz. An anti-aliasing filter must be included before the digitization process.
A36.3.4 Windscreen.
A36.3.4.1 In the absence of wind and for sinusoidal sounds at grazing incidence, the insertion loss caused by the windscreen of a stated type installed around the microphone must not exceed ±1.5 dB at nominal one-third octave midband frequencies from 50 Hz to 10 kHz inclusive.
A36.3.5 Microphone system.
A36.3.5.1 The microphone system must meet the specifications in sections A36.3.5.2 to A36.3.5.4. Various microphone systems may be approved by the FAA on the basis of demonstrated equivalent overall electroacoustical performance. Where two or more microphone systems of the same type are used, demonstration that at least one system conforms to the specifications in full is sufficient to demonstrate conformance.
An applicant must still calibrate and check each system as required in section A36.3.9.
A36.3.5.2 The microphone must be mounted with the sensing element 4 ft (1.2 m) above the local ground surface and must be oriented for grazing incidence, i.e., with the sensing element substantially in the plane defined by the predicted reference flight path of the aircraft and the measuring station. The microphone mounting arrangement must minimize the interference of the supports with the sound to be measured. Figure A36-1 illustrates sound incidence angles on a microphone.
A36.3.5.3 The free-field sensitivity level of the microphone and preamplifier in the reference direction, at frequencies over at least the range of one-third-octave nominal midband frequencies from 50 Hz to 5 kHz inclusive, must be within ±1.0 dB of that at the calibration check frequency, and within ±2.0 dB for nominal midband frequencies of 6.3 kHz, 8 kHz and 10 kHz.
A36.3.5.4 For sinusoidal sound waves at each one-third octave nominal midband frequency over the range from 50 Hz to 10 kHz inclusive, the free-field sensitivity levels of the microphone system at sound incidence angles of 30°, 60°, 90°, 120° and 150°, must not differ from the free-field sensitivity level at a sound incidence angle of 0° (“normal incidence”) by more than the values shown in Table A36-1. The free-field sensitivity level differences at sound incidence angles between any two adjacent sound incidence angles in Table A36-1 must not exceed the tolerance limit for the greater angle.
A36.3.6 Recording and reproducing systems.
A36.3.6.1 A recording and reproducing system, such as a digital or analog magnetic tape recorder, a computer-based system or other permanent data storage device, must be used to store sound pressure signals for subsequent analysis. The sound produced by the aircraft must be recorded in such a way that a record of the complete acoustical signal is retained. The recording and reproducing systems must meet the specifications in sections A36.3.6.2 to A36.3.6.9 at the recording speeds and/or data sampling rates used for the noise certification tests. Conformance must be demonstrated for the frequency bandwidths and recording channels selected for the tests.
A36.3.6.2 The recording and reproducing systems must be calibrated as described in section A36.3.9.
(a) For aircraft noise signals for which the high frequency spectral levels decrease rapidly with increasing frequency, appropriate pre-emphasis and complementary de-emphasis networks may be included in the measurement system. If pre-emphasis is included, over the range of nominal one-third octave midband frequencies from 800 Hz to 10 kHz inclusive, the electrical gain provided by the pre-emphasis network must not exceed 20 dB relative to the gain at 800 Hz.
A36.3.6.3 For steady sinusoidal electrical signals applied to the input of the entire measurement system including all parts of the microphone system except the microphone at a selected signal level within 5 dB of that corresponding to the calibration sound pressure level on the reference level range, the time-average signal level indicated by the readout device at any one-third octave nominal midband frequency from 50 Hz to 10 kHz inclusive must be within ±1.5 dB of that at the calibration check frequency. The frequency response of a measurement system, which includes components that convert analog signals to digital form, must be within ±0.3 dB of the response at 10 kHz over the frequency range from 10 kHz to 11.2 kHz.
Microphone extension cables as configured in the field need not be included for the frequency response determination. This allowance does not eliminate the requirement of including microphone extension cables when performing the pink noise recording in section A36.3.9.5.
A36.3.6.4 For analog tape recordings, the amplitude fluctuations of a 1 kHz sinusoidal signal recorded within 5 dB of the level corresponding to the calibration sound pressure level must not vary by more than ±0.5 dB throughout any reel of the type of magnetic tape used. Conformance to this requirement must be demonstrated using a device that has time-averaging properties equivalent to those of the spectrum analyzer.
A36.3.6.5 For all appropriate level ranges and for steady sinusoidal electrical signals applied to the input of the measurement system, including all parts of the microphone system except the microphone, at one-third-octave nominal midband frequencies of 50 Hz, 1 kHz and 10 kHz, and the calibration check frequency, if it is not one of these frequencies, the level non-linearity must not exceed ±0.5 dB for a linear operating range of at least 50 dB below the upper boundary of the level range.
Level linearity of measurement system components may be tested according to the methods described in IEC 61265 as amended.
Microphone extension cables configured in the field need not be included for the level linearity determination.
A36.3.6.6 On the reference level range, the level corresonding to the calibration sound pressure level must be at least 5 dB, but no more than 30 dB less than the upper boundary of the level range.
A36.3.6.7 The linear operating ranges on adjacent level ranges must overlap by at least 50 dB minus the change in attenuation introduced by a change in the level range controls.
It is possible for a measurement system to have level range controls that permit attenuation changes of either 10 dB or 1 dB, for example. With 10 dB steps, the minimum overlap required would be 40 dB, and with 1 dB steps the minimum overlap would be 49 dB.
A36.3.6.8 An overload indicator must be included in the recording and reproducing systems so that an overload indication will occur during an overload condition on any relevant level range.
A36.3.6.9 Attenuators included in the measurement system to permit range changes must operate in known intervals of decibel steps.
A36.3.7 Analysis systems.
A36.3.7.1 The analysis system must conform to the specifications in sections A36.3.7.2 to A36.3.7.7 for the frequency bandwidths, channel configurations and gain settings used for analysis.
A36.3.7.2 The output of the analysis system must consist of one-third octave band sound pressure levels as a function of time, obtained by processing the noise signals (preferably recorded) through an analysis system with the following characteristics:
(a) A set of 24 one-third octave band filters, or their equivalent, having nominal midband frequencies from 50 Hz to 10 kHz inclusive;
(b) Response and averaging properties in which, in principle, the output from any one-third octave filter band is squared, averaged and displayed or stored as time-averaged sound pressure levels;
(c) The interval between successive sound pressure level samples must be 500 ms ±5 milliseconds(ms) for spectral analysis with or without slow time-weighting, as defined in section A36.3.7.4;
(d) For those analysis systems that do not process the sound pressure signals during the period of time required for readout and/or resetting of the analyzer, the loss of data must not exceed a duration of 5 ms; and
(e) The analysis system must operate in real time from 50 Hz through at least 12 kHz inclusive. This requirement applies to all operating channels of a multi-channel spectral analysis system.
A36.3.7.3 The minimum standard for the one-third octave band analysis system is the class 2 electrical performance requirements of IEC 61260 as amended, over the range of one-third octave nominal midband frequencies from 50 Hz through 10 kHz inclusive (incorporated by reference, see § 36.6).
IEC 61260 specifies procedures for testing of one-third octave band analysis systems for relative attenuation, anti-aliasing filters, real time operation, level linearity, and filter integrated response (effective bandwidth).
A36.3.7.4 When slow time averaging is performed in the analyzer, the response of the one-third octave band analysis system to a sudden onset or interruption of a constant sinusoidal signal at the respective one-third octave nominal midband frequency, must be measured at sampling instants 0.5, 1, 1.5 and 2 seconds(s) after the onset and 0.5 and 1s after interruption. The rising response must be −4 ±1 dB at 0.5s, −1.75 ±0.75 dB at 1s, −1 ±0.5 dB at 1.5s and −0.5 ±0.5 dB at 2s relative to the steady-state level. The falling response must be such that the sum of the output signal levels, relative to the initial steady-state level, and the corresponding rising response reading is −6.5 ±1 dB, at both 0.5 and 1s. At subsequent times the sum of the rising and falling responses must be −7.5 dB or less. This equates to an exponential averaging process (slow time-weighting) with a nominal 1s time constant (i.e., 2s averaging time).
A36.3.7.5 When the one-third octave band sound pressure levels are determined from the output of the analyzer without slow time-weighting, slow time-weighting must be simulated in the subsequent processing. Simulated slow time-weighted sound pressure levels can be obtained using a continuous exponential averaging process by the following equation:
The sum of the weighting factors is 1.0 in the two equations. Sound pressure levels calculated by means of either equation are valid for the sixth and subsequent 0.5s data samples, or for times greater than 2.5s after initiation of data analysis.
The coefficients in the two equations were calculated for use in determining equivalent slow time-weighted sound pressure levels from samples of 0.5s time average sound pressure levels. The equations do not work with data samples where the averaging time differs from 0.5s.
A36.3.7.6 The instant in time by which a slow time-weighted sound pressure level is characterized must be 0.75s earlier than the actual readout time.
The definition of this instant in time is needed to correlate the recorded noise with the aircraft position when the noise was emitted and takes into account the averaging period of the slow time-weighting. For each 0.5 second data record this instant in time may also be identified as 1.25 seconds after the start of the associated 2 second averaging period.
A36.3.7.7 The resolution of the sound pressure levels, both displayed and stored, must be 0.1 dB or finer.
A36.3.8 Calibration systems.
A36.3.8.1 The acoustical sensitivity of the measurement system must be determined using a sound calibrator generating a known sound pressure level at a known frequency. The minimum standard for the sound calibrator is the class 1L requirements of IEC 60942 as amended (incorporated by reference, see § 36.6).
A36.3.9 Calibration and checking of system.
A36.3.9.1 Calibration and checking of the measurement system and its constituent components must be carried out to the satisfaction of the FAA by the methods specified in sections A36.3.9.2 through A36.3.9.10. The calibration adjustments, including those for environmental effects on sound calibrator output level, must be reported to the FAA and applied to the measured one-third-octave sound pressure levels determined from the output of the analyzer. Data collected during an overload indication are invalid and may not be used. If the overload condition occurred during recording, the associated test data are invalid, whereas if the overload occurred during analysis, the analysis must be repeated with reduced sensitivity to eliminate the overload.
A36.3.9.2 The free-field frequency response of the microphone system may be determined by use of an electrostatic actuator in combination with manufacturer's data or by tests in an anechoic free-field facility. The correction for frequency response must be determined within 90 days of each test series. The correction for non-uniform frequency response of the microphone system must be reported to the FAA and applied to the measured one-third octave band sound pressure levels determined from the output of the analyzer.
A36.3.9.3 When the angles of incidence of sound emitted from the aircraft are within ±30° of grazing incidence at the microphone (see Figure A36-1), a single set of free-field corrections based on grazing incidence is considered sufficient for correction of directional response effects. For other cases, the angle of incidence for each 0.5 second sample must be determined and applied for the correction of incidence effects.
A36.3.9.4 For analog magnetic tape recorders, each reel of magnetic tape must carry at least 30 seconds of pink random or pseudo-random noise at its beginning and end. Data obtained from analog tape-recorded signals will be accepted as reliable only if level differences in the 10 kHz one-third-octave-band are not more than 0.75 dB for the signals recorded at the beginning and end.
A36.3.9.5 The frequency response of the entire measurement system while deployed in the field during the test series, exclusive of the microphone, must be determined at a level within 5 dB of the level corresponding to the calibration sound pressure level on the level range used during the tests for each one-third octave nominal midband frequency from 50 Hz to 10 kHz inclusive, utilizing pink random or pseudo-random noise. Within six months of each test series the output of the noise generator must be determined by a method traceable to the U.S. National Institute of Standards and Technology or to an equivalent national standards laboratory as determined by the FAA. Changes in the relative output from the previous calibration at each one-third octave band may not exceed 0.2 dB. The correction for frequency response must be reported to the FAA and applied to the measured one-third octave sound pressure levels determined from the output of the analyzer.
A36.3.9.6 The performance of switched attenuators in the equipment used during noise certification measurements and calibration must be checked within six months of each test series to ensure that the maximum error does not exceed 0.1 dB.
A36.3.9.7 The sound pressure level produced in the cavity of the coupler of the sound calibrator must be calculated for the test environmental conditions using the manufacturer's supplied information on the influence of atmospheric air pressure and temperature. This sound pressure level is used to establish the acoustical sensitivity of the measurement system. Within six months of each test series the output of the sound calibrator must be determined by a method traceable to the U.S. National Institute of Standards and Technology or to an equivalent national standards laboratory as determined by the FAA. Changes in output from the previous calibration must not exceed 0.2 dB.
A36.3.9.8 Sufficient sound pressure level calibrations must be made during each test day to ensure that the acoustical sensitivity of the measurement system is known at the prevailing environmental conditions corresponding with each test series. The difference between the acoustical sensitivity levels recorded immediately before and immediately after each test series on each day may not exceed 0.5 dB. The 0.5 dB limit applies after any atmospheric pressure corrections have been determined for the calibrator output level. The arithmetic mean of the before and after measurements must be used to represent the acoustical sensitivity level of the measurement system for that test series. The calibration corrections must be reported to the FAA and applied to the measured one-third octave band sound pressure levels determined from the output of the analyzer.
A36.3.9.9 Each recording medium, such as a reel, cartridge, cassette, or diskette, must carry a sound pressure level calibration of at least 10 seconds duration at its beginning and end.
A36.3.9.10 The free-field insertion loss of the windscreen for each one-third octave nominal midband frequency from 50 Hz to 10 kHz inclusive must be determined with sinusoidal sound signals at the incidence angles determined to be applicable for correction of directional response effects per section A36.3.9.3. The interval between angles tested must not exceed 30 degrees. For a windscreen that is undamaged and uncontaminated, the insertion loss may be taken from manufacturer's data. Alternatively, within six months of each test series the insertion loss of the windscreen may be determined by a method traceable to the U.S. National Institute of Standards and Technology or an equivalent national standards laboratory as determined by the FAA. Changes in the insertion loss from the previous calibration at each one-third-octave frequency band must not exceed 0.4 dB. The correction for the free-field insertion loss of the windscreen must be reported to the FAA and applied to the measured one-third octave sound pressure levels determined from the output of the analyzer.
A36.3.10 Adjustments for ambient noise.
A36.3.10.1 Ambient noise, including both an acoustical background and electrical noise of the measurement system, must be recorded for at least 10 seconds at the measurement points with the system gain set at the levels used for the aircraft noise measurements. Ambient noise must be representative of the acoustical background that exists during the flyover test run. The recorded aircraft noise data is acceptable only if the ambient noise levels, when analyzed in the same way, and quoted in PNL (see A36.4.1.3 (a)), are at least 20 dB below the maximum PNL of the aircraft.
A36.3.10.2 Aircraft sound pressure levels within the 10 dB-down points (see A36.4.5.1) must exceed the mean ambient noise levels determined in section A36.3.10.1 by at least 3 dB in each one-third octave band, or must be adjusted using a method approved by the FAA; one method is described in the current advisory circular for this part.
A36.4.1 General.
A36.4.1.1 The basic element for noise certification criteria is the noise evaluation measure known as effective perceived noise level, EPNL, in units of EPNdB, which is a single number evaluator of the subjective effects of airplane noise on human beings. EPNL consists of instantaneous perceived noise level, PNL, corrected for spectral irregularities, and for duration. The spectral irregularity correction, called “tone correction factor”, is made at each time increment for only the maximum tone.
A36.4.1.2 Three basic physical properties of sound pressure must be measured: level, frequency distribution, and time variation. To determine EPNL, the instantaneous sound pressure level in each of the 24 one-third octave bands is required for each 0.5 second increment of time during the airplane noise measurement.
A36.4.1.3 The calculation procedure that uses physical measurements of noise to derive the EPNL evaluation measure of subjective response consists of the following five steps:
(a) The 24 one-third octave bands of sound pressure level are converted to perceived noisiness (noy) using the method described in section A36.4.2.1 (a). The noy values are combined and then converted to instantaneous perceived noise levels, PNL(k).
(b) A tone correction factor C(k) is calculated for each spectrum to account for the subjective response to the presence of spectral irregularities.
(c) The tone correction factor is added to the perceived noise level to obtain tone-corrected perceived noise levels PNLT(k), at each one-half second increment:
(d) A duration correction factor, D, is computed by integration under the curve of tone-corrected perceived noise level versus time.
(e) Effective perceived noise level, EPNL, is determined by the algebraic sum of the maximum tone-corrected perceived noise level and the duration correction factor:
A36.4.2 Perceived noise level.
A36.4.2.1 Instantaneous perceived noise levels, PNL(k), must be calculated from instantaneous one-third octave band sound pressure levels, SPL(i, k) as follows:
(a) Step 1: For each one-third octave band from 50 through 10,000 Hz, convert SPL(i, k) to perceived noisiness n(i, k), by using the mathematical formulation of the noy table given in section A36.4.7.
(b) Step 2: Combine the perceived noisiness values, n(i, k), determined in step 1 by using the following formula:
(c) Step 3: Convert the total perceived noisiness, N(k), determined in Step 2 into perceived noise level, PNL(k), using the following formula:
PNL(k) is plotted in the current advisory circular for this part.
A36.4.3 Correction for spectral irregularities.
A36.4.3.1 Noise having pronounced spectral irregularities (for example, the maximum discrete frequency components or tones) must be adjusted by the correction factor C(k) calculated as follows:
(a) Step 1: After applying the corrections specified under section A36.3.9, start with the sound pressure level in the 80 Hz one-third octave band (band number 3), calculate the changes in sound pressure level (or “slopes”) in the remainder of the one-third octave bands as follows:
(b) Step 2: Encircle the value of the slope, s(i, k), where the absolute value of the change in slope is greater than five; that is where:
(c) Step 3:
(1) If the encircled value of the slope s(i, k) is positive and algebraically greater than the slope s(i−1, k) encircle SPL(i, k).
(2) If the encircled value of the slope s(i, k) is zero or negative and the slope s(i−1, k) is positive, encircle SPL(i−1, k).
(3) For all other cases, no sound pressure level value is to be encircled.
(d) Step 4: Compute new adjusted sound pressure levels SPL′(i, k) as follows:
(1) For non-encircled sound pressure levels, set the new sound pressure levels equal to the original sound pressure levels, SPL′(i, k) = SPL(i, k).
(2) For encircled sound pressure levels in bands 1 through 23 inclusive, set the new sound pressure level equal to the arithmetic average of the preceding and following sound pressure levels as shown below:
(3) If the sound pressure level in the highest frequency band (i = 24) is encircled, set the new sound pressure level in that band equal to:
(e) Step 5: Recompute new slope s′(i, k), including one for an imaginary 25th band, as follows:
(f) Step 6: For i, from 3 through 23, compute the arithmetic average of the three adjacent slopes as follows:
(g) Step 7: Compute final one-third octave-band sound pressure levels, SPL′ (i,k), by beginning with band number 3 and proceeding to band number 24 as follows:
SPL′(3,k) = SPL(3,k)
SPL′(4,k) = SPL′(3,k) + s
•
•
SPL′(i,k) = SPL′(i−1,k) + s
•
•
SPL′(24,k) = SPL′(23,k) + s
(h) Setp 8: Calculate the differences, F (i,k), between the original sound pressure level and the final background sound pressure level as follows:
(i) Step 9: For each of the relevant one-third octave bands (3 through 24), determine tone correction factors from the sound pressure level differences F (i, k) and Table A36-2.
(j) Step 10: Designate the largest of the tone correction factors, determined in Step 9, as C(k). (An example of the tone correction procedure is given in the current advisory circular for this part). Tone-corrected perceived noise levels PNLT(k) must be determined by adding the C(k) values to corresponding PNL(k) values, that is:
A36.4.3.2 The tone correction procedure will underestimate EPNL if an important tone is of a frequency such that it is recorded in two adjacent one-third octave bands. An applicant must demonstrate that either:
(a) No important tones are recorded in two adjacent one-third octave bands; or
(b) That if an important tone has occurred, the tone correction has been adjusted to the value it would have had if the tone had been recorded fully in a single one-third octave band.
A36.4.4 Maximum tone-corrected perceived noise level
A36.4.4.1 The maximum tone-corrected perceived noise level, PNLTM, must be the maximum calculated value of the tone-corrected perceived noise level PNLT(k). It must be calculated using the procedure of section A36.4.3. To obtain a satisfactory noise time history, measurements must be made at 0.5 second time intervals.
Figure A36-2 is an example of a flyover noise time history where the maximum value is clearly indicated.
In the absence of a tone correction factor, PNLTM would equal PNLM.
A36.4.4.2 After the value of PNLTM is obtained, the frequency band for the largest tone correction factor is identified for the two preceding and two succeeding 500 ms data samples. This is performed in order to identity the possibility of tone suppression at PNLTM by one-third octave band sharing of that tone. If the value of the tone correction factor C(k) for PNLTM is less than the average value of C(k) for the five consecutive time intervals, the average value of C(k) must be used to compute a new value for PNLTM.
A36.4.5 Duration correction.
A36.4.5.1 The duration correction factor D determined by the integration technique is defined by the expression:
A36.4.5.2 Since PNLT is calculated from measured values of sound pressure level (SPL), there is no obvious equation for PNLT as a function of time. Consequently, the equation is to be rewritten with a summation sign instead of an integral sign as follows:
A36.4.5.3 To obtain a satisfactory history of the perceived noise level use one of the following:
(a) Half-Second time intervals for Δt; or
(b) A shorter time interval with approved limits and constants.
A36.4.5.4 The following values for T and Δt must be used in calculating D in the equation given in section A36.4.5.2:
A36.4.5.5 If in using the procedures given in section A36.4.5.2, the limits of PNLTM-10 fall between the calculated PNLT(k) values (the usual case), the PNLT(k) values defining the limits of the duration interval must be chosen from the PNLT(k) values closest to PNLTM-10. For those cases with more than one peak value of PNLT(k), the applicable limits must be chosen to yield the largest possible value for the duration time.
A36.4.6 Effective perceived noise level.
The total subjective effect of an airplane noise event, designated effective perceived noise level, EPNL, is equal to the algebraic sum of the maximum value of the tone-corrected perceived noise level, PNLTM, and the duration correction D. That is:
A36.4.7 Mathematical formulation of noy tables.
A36.4.7.1 The relationship between sound pressure level (SPL) and the logarithm of perceived noisiness is illustrated in Figure A36-3 and Table A36-3.
A36.4.7.2 The bases of the mathematical formulation are:
(a) The slopes (M(b), M(c), M(d) and M(e)) of the straight lines;
(b) The intercepts (SPL(b) and SPL(c)) of the lines on the SPL axis; and
(c) The coordinates of the discontinuities, SPL(a) and log n(a); SPL(d) and log n = −1.0; and SPL(e) and log n = log (0.3).
A36.4.7.3 Calculate noy values using the following equations:
(a)
(b)
(c)
(d)
A36.4.7.4 Table A36-3 lists the values of the constants necessary to calculate perceived noisiness as a function of sound pressure level.
A36.5.1 General.
A36.5.1.1 Data representing physical measurements and data used to make corrections to physical measurements must be recorded in an approved permanent form and appended to the record.
A36.5.1.2 All corrections must be reported to and approved by the FAA, including corrections to measurements for equipment response deviations.
A36.5.1.3 Applicants may be required to submit estimates of the individual errors inherent in each of the operations employed in obtaining the final data.
A36.5.2 Data reporting.
An applicant is required to submit a noise certification compliance report that includes the following.
A36.5.2.1 The applicant must present measured and corrected sound pressure levels in one-third octave band levels that are obtained with equipment conforming to the standards described in section A36.3 of this appendix.
A36.5.2.2 The applicant must report the make and model of equipment used for measurement and analysis of all acoustic performance and meteorological data.
A36.5.2.3 The applicant must report the following atmospheric environmental data, as measured immediately before, after, or during each test at the observation points prescribed in section A36.2 of this appendix.
(a) Air temperature and relative humidity;
(b) Maximum, minimum and average wind velocities; and
(c) Atmospheric pressure.
A36.5.2.4 The applicant must report conditions of local topography, ground cover, and events that might interfere with sound recordings.
A36.5.2.5 The applicant must report the following:
(a) Type, model and serial numbers (if any) of airplane, engine(s), or propeller(s) (as applicable);
(b) Gross dimensions of airplane and location of engines;
(c) Airplane gross weight for each test run and center of gravity range for each series of test runs;
(d) Airplane configuration such as flap, airbrakes and landing gear positions for each test run;
(e) Whether auxiliary power units (APU), when fitted, are operating for each test run;
(f) Status of pneumatic engine bleeds and engine power take-offs for each test run;
(g) Indicated airspeed in knots or kilometers per hour for each test run;
(h) Engine performance data:
(1) For jet airplanes: engine performance in terms of net thrust, engine pressure ratios, jet exhaust temperatures and fan or compressor shaft rotational speeds as determined from airplane instruments and manufacturer's data for each test run;
(2) For propeller-driven airplanes: engine performance in terms of brake horsepower and residual thrust; or equivalent shaft horsepower; or engine torque and propeller rotational speed; as determined from airplane instruments and manufacturer's data for each test run;
(i) Airplane flight path and ground speed during each test run; and
(j) The applicant must report whether the airplane has any modifications or non-standard equipment likely to affect the noise characteristics of the airplane. The FAA must approve any such modifications or non-standard equipment.
A36.5.3 Reporting of noise certification reference conditions.
A36.5.3.1 Airplane position and performance data and the noise measurements must be corrected to the noise certification reference conditions specified in the relevant sections of appendix B of this part. The applicant must report these conditions, including reference parameters, procedures and configurations.
A36.5.4 Validity of results.
A36.5.4.1 Three average reference EPNL values and their 90 percent confidence limits must be produced from the test results and reported, each such value being the arithmetical average of the adjusted acoustical measurements for all valid test runs at each measurement point (flyover, lateral, or approach). If more than one acoustic measurement system is used at any single measurement location, the resulting data for each test run must be averaged as a single measurement. The calculation must be performed by:
(a) Computing the arithmetic average for each flight phase using the values from each microphone point; and
(b) Computing the overall arithmetic average for each reference condition (flyover, lateral or approach) using the values in paragraph (a) of this section and the related 90 percent confidence limits.
A36.5.4.2 For each of the three certification measuring points, the minimum sample size is six. The sample size must be large enough to establish statistically for each of the three average noise certification levels a 90 percent confidence limit not exceeding ±1.5 EPNdB. No test result may be omitted from the averaging process unless approved by the FAA.
Permitted methods for calculating the 90 percent confidence interval are shown in the current advisory circular for this part.
A36.5.4.3 The average EPNL figures obtained by the process described in section A36.5.4.1 must be those by which the noise performance of the airplane is assessed against the noise certification criteria.
| Symbol | Unit | Meaning |
|---|---|---|
| antilog | Antilogarithm to the base 10. | |
| C(k) | dB | |
| d | s | |
| D | dB | |
| EPNL | EPNdB | |
| EPNL | EPNdB | Effective perceived noise level adjusted for reference conditions. |
| f(i) | Hz | |
| F (i, k) | dB | |
| h | dB | |
| H | Percent | |
| i | ||
| k | ||
| Log | Logarithm to the base 10. | |
| log n(a) | ||
| M(b), M(c), etc | ||
| n | noy | The perceived noisiness at any instant of time that occurs in a specified frequency range. |
| n(i,k) | noy | The perceived noisiness at the k-th instant of time that occurs in the i-th one-third octave band. |
| n(k) | noy | |
| N(k) | noy | |
| p(b), p(c), etc | ||
| PNL | PNdB | The perceived noise level at any instant of time. (The unit PNdB is used instead of the unit dB). |
| PNL(k) | PNdB | The perceived noise level calculated from the 24 values of SPL (i, k), at the k-th increment of time. (The unit PNdB is used instead of the unit dB). |
| PNLM | PNdB | |
| PNLT | TPNdB | |
| PNLT(k) | TPNdB | The tone-corrected perceived noise level that occurs at the k-th increment of time. PNLT(k) is obtained by adjusting the value of PNL(k) for the spectral irregularities that occur at the k-th increment of time. (The unit TPNdB is used instead of the unit dB). |
| PNLTM | TPNdB | |
| PNLT | TPNdB | Tone-corrected perceived noise level adjusted for reference conditions. |
| s (i, k) | dB | |
| Δs (i, k) | dB | Change in slope of sound pressure level. |
| s′ (i, k) | dB | Adjusted slope of sound pressure level. The change in level between adjacent adjusted one-third octave band sound pressure levels at the i-th band for the k-th instant of time. |
| dB | Average slope of sound pressure level. | |
| SPL | dB re
20 µPa | |
| SPL(a) | dB re
20 µPa | |
| SPL(b)
SPL (c) | dB re
20 µPa | |
| SPL (i, k) | dB re
20 µPa | The sound pressure level at the k-th instant of time that occurs in the i-th one-third octave band. |
| SPL′ (i, k) | dB re
20 µPa | |
| SPL(i) | dB re
20 µPa | |
| SPL(i) | dB re
20 µPa | |
| SPL′ (i, k) | dB re
20 µPa | |
| t | s | |
| t(1), t(2) | s | |
| Δt | s | |
| T | s | |
| t(°F) (°C) | °F, °C | |
| α(i) | dB/1000ft db/100m | |
| α(i) | dB/1000ft db/100m | |
| A | Degrees | First constant climb angle (Gear up, speed of at least V |
| A | Degrees | Second constant climb angle (Gear up, speed of at least V |
| δ
ε | Degrees | |
| η | Degrees | Approach angle. |
| η | Degrees | Reference approach angle. |
| θ | Degrees | |
| ψ | Degrees | |
| μ | Engine noise emission parameter. | |
| μ | Reference engine noise emission parameter. | |
| Δ | EPNdB | |
| Δ | EPNdB | |
| Δ | EPNdB |
A36.7.1 The atmospheric attenuation of sound must be determined in accordance with the procedure presented in section A36.7.2.
A36.7.2 The relationship between sound attenuation, frequency, temperature, and humidity is expressed by the following equations.
A36.7.2(a) For calculations using the English System of Units:
A36.7.2(b) For calculations using the International System of Units (SI):
A36.7.3 The values listed in table A36-4 are to be used when calculating the equations listed in section A36.7.2. A term of quadratic interpolation is to be used where necessary.
A36.9.1 When certification test conditions are not identical to reference conditions, appropriate adjustments must be made to the measured noise data using the methods described in this section.
A36.9.1.1 Adjustments to the measured noise values must be made using one of the methods described in sections A36.9.3 and A36.9.4 for differences in the following:
(a) Attenuation of the noise along its path as affected by “inverse square” and atmospheric attenuation
(b) Duration of the noise as affected by the distance and the speed of the airplane relative to the measuring point
(c) Source noise emitted by the engine as affected by the differences between test and reference engine operating conditions
(d) Airplane/engine source noise as affected by differences between test and reference airspeeds. In addition to the effect on duration, the effects of airspeed on component noise sources must be accounted for as follows: for conventional airplane configurations, when differences between test and reference airspeeds exceed 15 knots (28 km/h) true airspeed, test data and/or analysis approved by the FAA must be used to quantify the effects of the airspeed adjustment on resulting certification noise levels.
A36.9.1.2 The “integrated” method of adjustment, described in section A36.9.4, must be used on takeoff or approach under the following conditions:
(a) When the amount of the adjustment (using the “simplified” method) is greater than 8 dB on flyover, or 4 dB on approach; or
(b) When the resulting final EPNL value on flyover or approach (using the simplified method) is within 1 dB of the limiting noise levels as prescribed in section B36.5 of this part.
A36.9.2 Flight profiles.
As described below, flight profiles for both test and reference conditions are defined by their geometry relative to the ground, together with the associated airplane speed relative to the ground, and the associated engine control parameter(s) used for determining the noise emission of the airplane.
A36.9.2.1 Takeoff Profile.
Figure A36-4 illustrates a typical takeoff profile.
(a) The airplane begins the takeoff roll at point A, lifts off at point B and begins its first climb at a constant angle at point C. Where thrust or power (as appropriate) cut-back is used, it is started at point D and completed at point E. From here, the airplane begins a second climb at a constant angle up to point F, the end of the noise certification takeoff flight path.
(b) Position K
(c) The distance AF is the distance over which the airplane position is measured and synchronized with the noise measurements, as required by section A36.2.3.2 of this part.
A36.9.2.2 Approach Profile.
Figure A36-5 illustrates a typical approach profile.
(a) The airplane begins its noise certification approach flight path at point G and touches down on the runway at point J, at a distance OJ from the runway threshold.
(b) Position K
(c) The distance GI is the distance over which the airplane position is measured and synchronized with the noise measurements, as required by section A36.2.3.2 of this part.
A36.9.3 Simplified method of adjustment.
A36.9.3.1 General. As described below, the simplified adjustment method consists of applying adjustments (to the EPNL, which is calculated from the measured data) for the differences between measured and reference conditions at the moment of PNLTM.
A36.9.3.2 Adjustments to PNL and PNLT.
(a) The portions of the test flight path and the reference flight path described below, and illustrated in Figure A36-6, include the noise time history that is relevant to the calculation of flyover and approach EPNL. In figure A36-6:
(1) XY represents the portion of the measured flight path that includes the noise time history relevant to the calculation of flyover and approach EPNL; X
(2) Q represents the airplane's position on the measured flight path at which the noise was emitted and observed as PNLTM at the noise measuring station K. Q
(b) The portions of the test flight path and the reference flight path described in paragraph (b)(1) and (2), and illustrated in Figure A36-7(a) and (b), include the noise time history that is relevant to the calculation of lateral EPNL.
(1) In figure A36-7(a), XY represents the portion of the measured flight path that includes the noise time history that is relevant to the calculation of lateral EPNL; in figure A36-7(b), X
(2) Q represents the airplane position on the measured flight path at which the noise was emitted and observed as PNLTM at the noise measuring station K. Q
(i) Form the same angle θ with their respective flight paths; and
(ii) Form the same angle ψ with the ground.
For the lateral noise measurement, sound propagation is affected not only by inverse square and atmospheric attenuation, but also by ground absorption and reflection effects which depend mainly on the angle ψ.
A36.9.3.2.1 The one-third octave band levels SPL(i) comprising PNL (the PNL at the moment of PNLTM observed at K) must be adjusted to reference levels SPL(i)
A36.9.3.2.1(a) For calculations using the English System of Units:
In this expression,
(1) The term 0.001[α(i)−α(i)
(2) The term 0.001α(i)
(3) The term 20 log(QK/Q
(4) QK and Q
A36.9.3.2.1(b) For calculations using the International System of Units:
(1) The term 0.01[α(i) − α(i)
(2) The term 0.01α(i)
(3) The term 20 log(QK/Q
(4) QK and Q
A36.9.3.2.1.1 PNLT Correction.
(a) Convert the corrected values, SPL(i)
(b) Calculate the correction term Δ
A36.9.3.2.1.2 Add Δ
A36.9.3.2.2 If, during a test flight, several peak values of PNLT that are within 2 dB of PNLTM are observed, the procedure defined in section A36.9.3.2.1 must be applied at each peak, and the adjustment term, calculated according to section A36.9.3.2.1, must be added to each peak to give corresponding adjusted peak values of PNLT. If these peak values exceed the value at the moment of PNLTM, the maximum value of such exceedance must be added as a further adjustment to the EPNL calculated from the measured data.
A36.9.3.3 Adjustments to duration correction.
A36.9.3.3.1 Whenever the measured flight paths and/or the ground velocities of the test conditions differ from the reference flight paths and/or the ground velocities of the reference conditions, duration adjustments must be applied to the EPNL values calculated from the measured data. The adjustments must be calculated as described below.
A36.9.3.3.2 For the flight path shown in Figure A36-6, the adjustment term is calculated as follows:
(a) Add Δ
A36.9.3.4 Source noise adjustments.
A36.9.3.4.1 To account for differences between the parameters affecting engine noise as measured in the certification flight tests, and those calculated or specified in the reference conditions, the source noise adjustment must be calculated and applied. The adjustment is determined from the manufacturer's data approved by the FAA. Typical data used for this adjustment are illustrated in Figure A36-8 that shows a curve of EPNL versus the engine control parameter μ, with the EPNL data being corrected to all the other relevant reference conditions (airplane mass, speed and altitude, air temperature) and for the difference in noise between the test engine and the average engine (as defined in section B36.7(b)(7)). A sufficient number of data points over a range of values of μ
A36.9.3.4.2 Calculate adjustment term Δ
A36.9.3.5 Symmetry adjustments.
A36.9.3.5.1 A symmetry adjustment to each lateral noise value (determined at the section B36.4(b) measurement points), is to be made as follows:
(a) If the symmetrical measurement point is opposite the point where the highest noise level is obtained on the main lateral measurement line, the certification noise level is the arithmetic mean of the noise levels measured at these two points (see Figure A36-9(a));
(b) If the condition described in paragraph (a) of this section is not met, then it is assumed that the variation of noise with the altitude of the airplane is the same on both sides; there is a constant difference between the lines of noise versus altitude on both sides (see figure A36-9(b)). The certification noise level is the maximum value of the mean between these lines.
A36.9.4 Integrated method of adjustment
A36.9.4.1 General. As described in this section, the integrated adjustment method consists of recomputing under reference conditions points on the PNLT time history corresponding to measured points obtained during the tests, and computing EPNL directly for the new time history obtained in this way. The main principles are described in sections A36.9.4.2 through A36.9.4.4.1.
A36.9.4.2 PNLT computations.
(a) The portions of the test flight path and the reference flight path described in paragraph (a)(1) and (2), and illustrated in Figure A36-10, include the noise time history that is relevant to the calculation of flyover and approach EPNL. In figure A36-10:
(1) XY represents the portion of the measured flight path that includes the noise time history relevant to the calculation of flyover and approach EPNL; X
(2) The points Q
(b) The portions of the test flight path and the reference flight path described in paragraph (b)(1) and (2), and illustrated in Figure A36-11(a) and (b), include the noise time history that is relevant to the calculation of lateral EPNL.
(1) In figure A36-11(a) XY represents the portion of the measured flight path that includes the noise time history that is relevant to the calculation of lateral EPNL; in figure A36-11(b), X
(2) The points Q
Q
(i) Q
(ii) The differences between the angles
For the lateral noise measurement, sound propagation is affected not only by “inverse square” and atmospheric attenuation, but also by ground absorption and reflection effects which depend mainly on the angle.
A36.9.4.2.1 In paragraphs A36.9.4.2(a)(2) and (b)(2) the time t
(1) The time taken for the airplane to travel the distance Q
(2) The time taken for sound to travel the distance Q
For the flight paths described in paragraphs A36.9.4.2(a) and (b), the use of thrust or power cut-back will result in test and reference flight paths at full thrust or power and at cut-back thrust or power. Where the transient region between these thrust or power levels affects the final result, an interpolation must be made between them by an approved method such as that given in the current advisory circular for this part.
A36.9.4.2.2 The measured values of SPL(i)
A36.9.4.2.3 For each value of PNL
A36.9.4.3 Duration correction.
A36.9.4.3.1 The values of PNLT
A36.9.4.4 Source Noise Adjustment.
A36.9.4.4.1 A source noise adjustment, Δ
A36.9.5 Flight Path Identification Positions
| Position | Description |
|---|---|
| A | Start of Takeoff roll. |
| B | Lift-off. |
| C | Start of first constant climb. |
| D | Start of thrust reduction. |
| E | Start of second constant climb. |
| F | End of noise certification Takeoff flight path. |
| G | Start of noise certification Approach flight path. |
| H | Position on Approach path directly above noise measuring station. |
| I | Start of level-off. |
| J | Touchdown. |
| K | Noise measurement point. |
| K | Reference measurement point. |
| K | Flyover noise measurement point. |
| K | Lateral noise measurement point. |
| K | Approach noise measurement point. |
| M | End of noise certification Takeoff flight track. |
| O | Threshold of Approach end of runway. |
| P | Start of noise certification Approach flight track. |
| Q | Position on measured Takeoff flight path corresponding to apparent PNLTM at station K See section A36.9.3.2. |
| Q | Position on corrected Takeoff flight path corresponding to PNLTM at station K. See section A36.9.3.2. |
| V | Airplane test speed. |
| V | Airplane reference speed. |
A36.9.6 Flight Path Distances
| Distance | Unit | Meaning |
|---|---|---|
| AB | Feet (meters) | Length of takeoff roll. The distance along the runway between the start of takeoff roll and lift off. |
| AK | Feet (meters) | Takeoff measurement distance. The distance from the start of roll to the takeoff noise measurement station along the extended center line of the runway. |
| AM | Feet (meters) | Takeoff flight track distance. The distance from the start of roll to the takeoff flight track position along the extended center line of the runway after which the position of the airplane need no longer be recorded. |
| QK | Feet (meters) | Measured noise path. The distance from the measured airplane position Q to station K. |
| Q | Feet (meters) | Reference noise path. The distance from the reference airplane position Q |
| K | Feet (meters) | Airplane approach height. The height of the airplane above the approach measuring station. |
| OK | Feet (meters) | Approach measurement distance. The distance from the runway threshold to the approach measurement station along the extended center line of the runway. |
| OP | Feet (meters) | Approach flight track distance. The distance from the runway threshold to the approach flight track position along the extended center line of the runway after which the position of the airplane need no longer be recorded. |
(a) The procedures of Appendix A of this part, or approved equivalent procedures, must be used to determine noise levels of an airplane. These noise levels must be used to show compliance with the requirements of this appendix.
(b) For Stage 4 airplanes, an acceptable alternative to paragraph (a) of this section for noise measurement and evaluation is Appendix 2 to ICAO Annex 16, Volume I, Amendment 7 (Incorporated by reference, see § 36.6).
(c) For Stage 5 airplanes, an acceptable alternative to paragraph (a) of this section for noise measurement and evaluation is Appendix 2 to ICAO Annex 16, Volume 1, Amendment 11-B (Incorporated by reference, see § 36.6).
The noise evaluation metric is the effective perceived noise level expressed in EPNdB, as calculated using the procedures of appendix A of this part.
When tested using the procedures of this part, except as provided in section B36.6, an airplane may not exceed the noise levels specified in section B36.5 at the following points on level terrain:
(a) Lateral full-power reference noise measurement point:
(1) For jet airplanes: The point on a line parallel to and 1,476 feet (450 m) from the runway centerline, or extended centerline, where the noise level after lift-off is at a maximum during takeoff. For the purpose of showing compliance with Stage 1 or Stage 2 noise limits for an airplane powered by more than three jet engines, the distance from the runway centerline must be 0.35 nautical miles (648 m). For jet airplanes, when approved by the FAA, the maximum lateral noise at takeoff thrust may be assumed to occur at the point (or its approved equivalent) along the extended centerline of the runway where the airplane reaches 985 feet (300 meters) altitude above ground level. A height of 1427 feet (435 meters) may be assumed for Stage 1 or Stage 2 four engine airplanes. The altitude of the airplane as it passes the noise measurement points must be within + 328 to −164 feet (+100 to −50 meters) of the target altitude. For airplanes powered by other than jet engines, the altitude for maximum lateral noise must be determined experimentally.
(2) For propeller-driven airplanes: The point on the extended centerline of the runway above which the airplane, at full takeoff power, reaches a height of 2,133 feet (650 meters). For tests conducted before August 7, 2002, an applicant may use the measurement point specified in section B36.3(a)(1) as an alternative.
(b) Flyover reference noise measurement point: The point on the extended centerline of the runway that is 21,325 feet (6,500 m) from the start of the takeoff roll;
(c) Approach reference noise measurement point: The point on the extended centerline of the runway that is 6,562 feet (2,000 m) from the runway threshold. On level ground, this corresponds to a position that is 394 feet (120 m) vertically below the 3° descent path, which originates at a point on the runway 984 feet (300 m) beyond the threshold.
(a) If the test noise measurement points are not located at the reference noise measurement points, any corrections for the difference in position are to be made using the same adjustment procedures as for the differences between test and reference flight paths.
(b) The applicant must use a sufficient number of lateral test noise measurement points to demonstrate to the FAA that the maximum noise level on the appropriate lateral line has been determined. For jet airplanes, simultaneous measurements must be made at one test noise measurement point at its symmetrical point on the other side of the runway. Propeller-driven airplanes have an inherent asymmetry in lateral noise. Therefore, simultaneous measurements must be made at each and every test noise measurement point at its symmetrical position on the opposite side of the runway. The measurement points are considered to be symmetrical if they are longitudinally within 33 feet (±10 meters) of each other.
Except as provided in section B36.6 of this appendix, maximum noise levels, when determined in accordance with the noise evaluation methods of appendix A of this part, may not exceed the following:
(a) For acoustical changes to Stage 1 airplanes, regardless of the number of engines, the noise levels prescribed under § 36.7(c) of this part.
(b) For any Stage 2 airplane regardless of the number of engines:
(1) Flyover: 108 EPNdB for maximum weight of 600,000 pounds or more; for each halving of maximum weight (from 600,000 pounds), reduce the limit by 5 EPNdB; the limit is 93 EPNdB for a maximum weight of 75,000 pounds or less.
(2) Lateral and approach: 108 EPNdB for maximum weight of 600,000 pounds or more; for each halving of maximum weight (from 600,000 pounds), reduce the limit by 2 EPNdB; the limit is 102 EPNdB for a maximum weight of 75,000 pounds or less.
(c) For any Stage 3 airplane:
(1) Flyover.
(i) For airplanes with more than 3 engines: 106 EPNdB for maximum weight of 850,000 pounds or more; for each halving of maximum weight (from 850,000 pounds), reduce the limit by 4 EPNdB; the limit is 89 EPNdB for a maximum weight of 44,673 pounds or less;
(ii) For airplanes with 3 engines: 104 EPNdB for maximum weight of 850,000 pounds or more; for each halving of maximum weight (from 850,000 pounds), reduce the limit by 4 EPNdB; the limit is 89 EPNdB for a maximum weight of 63,177 pounds or less; and
(iii) For airplanes with fewer than 3 engines: 101 EPNdB for maximum weight of 850,000 pounds or more; for each halving of maximum weight (from 850,000 pounds), reduce the limit by 4 EPNdB; the limit is 89 EPNdB for a maximum weight of 106,250 pounds or less.
(2) Lateral, regardless of the number of engines: 103 EPNdB for maximum weight of 882,000 pounds or more; for each halving of maximum weight (from 882,000 pounds), reduce the limit by 2.56 EPNdB; the limit is 94 EPNdB for a maximum weight of 77,200 pounds or less.
(3) Approach, regardless of the number of engines: 105 EPNdB for maximum weight of 617,300 pounds or more; for each halving of maximum weight (from 617,300 pounds), reduce the limit by 2.33 EPNdB; the limit is 98 EPNdB for a maximum weight of 77,200 pounds or less.
(d) For any Stage 4 airplane, the flyover, lateral, and approach maximum noise levels are prescribed in Chapter 4, Paragraph 4.4, Maximum Noise Levels, and Chapter 3, Paragraph 3.4, Maximum Noise Levels, of the International Civil Aviation Organization (ICAO) Annex 16, Environmental Protection, Volume I, Aircraft Noise, Third Edition, July 1993, Amendment 7, effective March 21, 2002. [Incorporated by reference, see § 36.6].
(e) For any Stage 5 airplane, the flyover, lateral, and approach maximum noise levels are prescribed in Chapter 14, Paragraph 14.4, Maximum Noise Levels of ICAO Annex 16, Volume I, Amendment 11-B (Incorporated by reference, see § 36.6).
Except when prohibited by sections 36.7(c)(1) and 36.7(d)(1)(ii), if the maximum noise levels are exceeded at any one or two measurement points, the following conditions must be met:
(a) The sum of the exceedance(s) may not be greater than 3 EPNdB;
(b) Any exceedance at any single point may not be greater than 2 EPNdB, and
(c) Any exceedance(s) must be offset by a corresponding amount at another point or points.
(a) General conditions:
(1) All reference procedures must meet the requirements of section 36.3 of this part.
(2) Calculations of airplane performance and flight path must be made using the reference procedures and must be approved by the FAA.
(3) Applicants must use the takeoff and approach reference procedures prescribed in paragraphs (b) and (c) of this section.
(4) [Reserved]
(5) The reference procedures must be determined for the following reference conditions. The reference atmosphere is homogeneous in terms of temperature and relative humidity when used for the calculation of atmospheric absorption coefficients.
(i) Sea level atmospheric pressure of 2116 pounds per square foot (psf) (1013.25 hPa);
(ii) Ambient sea-level air temperature of 77 °F (25 °C, i.e., ISA + 10 °C);
(iii) Relative humidity of 70 per cent;
(iv) Zero wind.
(v) In defining the reference takeoff flight path(s) for the takeoff and lateral noise measurements, the runway gradient is zero.
(b) Takeoff reference procedure:
The takeoff reference flight path is to be calculated using the following:
(1) Average engine takeoff thrust or power must be used from the start of takeoff to the point where at least the following height above runway level is reached. The takeoff thrust/power used must be the maximum available for normal operations given in the performance section of the airplane flight manual under the reference atmospheric conditions given in section B36.7(a)(5).
(i) For Stage 1 airplanes and for Stage 2 airplanes that do not have jet engines with a bypass ratio of 2 or more, the following apply:
(A): For airplanes with more than three jet engines—700 feet (214 meters).
(B): For all other airplanes—1,000 feet (305 meters).
(ii) For Stage 2 airplanes that have jet engines with a bypass ratio of 2 or more and for Stage 3 airplanes, the following apply:
(A): For airplanes with more than three engines—689 feet (210 meters).
(B): For airplanes with three engines—853 feet (260 meters).
(C): For airplanes with fewer than three engines—984 feet (300 meters).
(2) Upon reaching the height specified in paragraph (b)(1) of this section, airplane thrust or power must not be reduced below that required to maintain either of the following, whichever is greater:
(i) A climb gradient of 4 per cent; or
(ii) In the case of multi-engine airplanes, level flight with one engine inoperative.
(3) For the purpose of determining the lateral noise level, the reference flight path must be calculated using full takeoff power throughout the test run without a reduction in thrust or power. For tests conducted before August 7, 2002, a single reference flight path that includes thrust cutback in accordance with paragraph (b)(2) of this section, is an acceptable alternative in determining the lateral noise level.
(4) The takeoff reference speed is the all-engine operating takeoff climb speed selected by the applicant for use in normal operation; this speed must be at least V2 + 10kt (V2 + 19km/h) but may not be greater than V2 + 20kt (V2 + 37km/h). This speed must be attained as soon as practicable after lift-off and be maintained throughout the takeoff noise certification test. For Concorde airplanes, the test day speeds and the acoustic day reference speed are the minimum approved value of V2 + 35 knots, or the all-engines-operating speed at 35 feet, whichever speed is greater as determined under the regulations constituting the type certification basis of the airplane; this reference speed may not exceed 250 knots. For all airplanes, noise values measured at the test day speeds must be corrected to the acoustic day reference speed.
(5) The takeoff configuration selected by the applicant must be maintained constantly throughout the takeoff reference procedure, except that the landing gear may be retracted. Configuration means the center of gravity position, and the status of the airplane systems that can affect airplane performance or noise. Examples include, the position of lift augmentation devices, whether the APU is operating, and whether air bleeds and engine power take-offs are operating;
(6) The weight of the airplane at the brake release must be the maximum takeoff weight at which the noise certification is requested, which may result in an operating limitation as specified in § 36.1581(d); and
(7) The average engine is defined as the average of all the certification compliant engines used during the airplane flight tests, up to and during certification, when operating within the limitations and according to the procedures given in the Flight Manual. This will determine the relationship of thrust/power to control parameters (e.g., N
(c) Approach reference procedure:
The approach reference flight path must be calculated using the following:
(1) The airplane is stabilized and following a 3° glide path;
(2) For subsonic airplanes, a steady approach speed of V
(3) The constant approach configuration used in the airworthiness certification tests, but with the landing gear down, must be maintained throughout the approach reference procedure;
(4) The weight of the airplane at touchdown must be the maximum landing weight permitted in the approach configuration defined in paragraph (c)(3) of this section at which noise certification is requested, except as provided in § 36.1581(d) of this part; and
(5) The most critical configuration must be used; this configuration is defined as that which produces the highest noise level with normal deployment of aerodynamic control surfaces including lift and drag producing devices, at the weight at which certification is requested. This configuration includes all those items listed in section A36.5.2.5 of appendix A of this part that contribute to the noisiest continuous state at the maximum landing weight in normal operation.
(a) All test procedures must be approved by the FAA.
(b) The test procedures and noise measurements must be conducted and processed in an approved manner to yield the noise evaluation metric EPNL, in units of EPNdB, as described in appendix A of this part.
(c) Acoustic data must be adjusted to the reference conditions specified in this appendix using the methods described in appendix A of this part. Adjustments for speed and thrust must be made as described in section A36.9 of this part.
(d) If the airplane's weight during the test is different from the weight at which noise certification is requested, the required EPNL adjustment may not exceed 2 EPNdB for each takeoff and 1 EPNdB for each approach. Data approved by the FAA must be used to determine the variation of EPNL with weight for both takeoff and approach test conditions. The necessary EPNL adjustment for variations in approach flight path from the reference flight path must not exceed 2 EPNdB.
(e) For approach, a steady glide path angle of 3° ±0.5° is acceptable.
(f) If equivalent test procedures different from the reference procedures are used, the test procedures and all methods for adjusting the results to the reference procedures must be approved by the FAA. The adjustments may not exceed 16 EPNdB on takeoff and 8 EPNdB on approach. If the adjustment is more than 8 EPNdB on takeoff, or more than 4 EPNdB on approach, the resulting numbers must be more than 2 EPNdB below the limit noise levels specified in section B36.5.
(g) During takeoff, lateral, and approach tests, the airplane variation in instantaneous indicated airspeed must be maintained within ±3% of the average airspeed between the 10 dB-down points. This airspeed is determined by the pilot's airspeed indicator. However, if the instantaneous indicated airspeed exceeds ±3 kt (±5.5 km/h) of the average airspeed over the 10 dB-down points, and is determined by the FAA representative on the flight deck to be due to atmospheric turbulence, then the flight so affected must be rejected for noise certification purposes.
Guidance material on the use of equivalent procedures is provided in the current advisory circular for this part.
Section F36.1 Scope. This appendix prescribes noise level limits and procedures for measuring and correcting noise data for the propeller driven small airplanes specified in §§ 36.1 and 36.501(b).
(a) The test area must be relatively flat terrain having no excessive sound absorption characteristics such as those caused by thick, matted, or tall grass, by shrubs, or by wooded areas. No obstructions which significantly influence the sound field from the airplane may exist within a conical space above the measurement position, the cone being defined by an axis normal to the ground and by a half-angle 75 degrees from this axis.
(b) The tests must be carried out under the following conditions:
(1) There may be no precipitation.
(2) Relative humidity may not be higher than 90 percent or lower than 30 percent.
(3) Ambient temperature may not be above 86 degrees F. or below 41 degrees F. at 33′ above ground. If the measurement site is within 1 n.m. of an airport thermometer the airport reported temperature may be used.
(4) Reported wind may not be above 10 knots at 33′ above ground. If wind velocities of more than 4 knots are reported, the flight direction must be aligned to within ±15 degrees of wind direction and flights with tail wind and head wind must be made in equal numbers. If the measurement site is within 1 n.m. of an airport anemometer, the airport reported wind may be used.
(5) There may be no temperature inversion or anomalous wind conditions that would significantly alter the noise level of the airplane when the noise is recorded at the required measuring point.
(6) The flight test procedures, measuring equipment, and noise measurement procedures must be approved by the FAA.
(7) Sound pressure level data for noise evaluation purposes must be obtained with acoustical equipment that complies with section F36.103 of this appendix.
Sec. F36.103 Acoustical measurement system. The acoustical measurement system must consist of approved equipment equivalent to the following:
(a) A microphone system with frequency response compatible with measurement and analysis system accuracy as prescribed in section F36.105 of this appendix.
(b) Tripods or similar microphone mountings that minimize interference with the sound being measured.
(c) Recording and reproducing equipment characteristics, frequency response, and dynamic range compatible with the response and accuracy requirements of section F36.105 of this appendix.
(d) Acoustic calibrators using sine wave or broadband noise of known sound pressure level. If broadband noise is used, the signal must be described in terms of its average and maximum root-mean-square (rms) value for nonoverload signal level.
(a) The noise produced by the airplane must be recorded. A magnetic tape recorder is acceptable.
(b) The characteristics of the system must comply with the recommendations in IEC 179 (incorporated by reference, see § 36.6).
(c) The response of the complete system to a sensibly plane progressive sinusoidal wave of constant amplitude must lie within the tolerance limits specified in IEC Publication No. 179, dated 1973, over the frequency range 45 to 11,200 Hz.
(d) If limitations of the dynamic range of the equipment make it necessary, high frequency pre-emphasis must be added to the recording channel with the converse de-emphasis on playback. The pre-emphasis must be applied such that the instantaneous recorded sound pressure level of the noise signal between 800 and 11,200 Hz does not vary more than 20 dB between the maximum and minimum one-third octave bands.
(e) If requested by the Administrator, the recorded noise signal must be read through an “A” filter with dynamic characteristics designated “slow,” as defined in IEC Publication No. 179, dated 1973. The output signal from the filter must be fed to a rectifying circuit with square law rectification, integrated with time constants for charge and discharge of about 1 second or 800 milliseconds.
(f) The equipment must be acoustically calibrated using facilities for acoustic freefield calibration and if analysis of the tape recording is requested by the Administrator, the analysis equipment shall be electronically calibrated by a method approved by the FAA.
(g) A windscreen must be employed with microphone during all measurements of aircraft noise when the wind speed is in excess of 6 knots.
(a) The microphones must be oriented in a known direction so that the maximum sound received arrives as nearly as possible in the direction for which the microphones are calibrated. The microphone sensing elements must be approximately 4′ above ground.
(b) Immediately prior to and after each test; a recorded acoustic calibration of the system must be made in the field with an acoustic calibrator for the two purposes of checking system sensitivity and providing an acoustic reference level for the analysis of the sound level data.
(c) The ambient noise, including both acoustical background and electrical noise of the measurement systems, must be recorded and determined in the test area with the system gain set at levels that will be used for aircraft noise measurements. If aircraft sound pressure levels do not exceed the background sound pressure levels by at least 10 dB(A), approved corrections for the contribution of background sound pressure level to the observed sound pressure level must be applied.
(a) Data representing physical measurements or corrections to measured data must be recorded in permanent form and appended to the record except that corrections to measurements for normal equipment response deviations need not be reported. All other corrections must be approved. Estimates must be made of the individual errors inherent in each of the operations employed in obtaining the final data.
(b) Measured and corrected sound pressure levels obtained with equipment conforming to the specifications described in section F36.105 of this appendix must be reported.
(c) The type of equipment used for measurement and analysis of all acoustic, airplane performance, and meteorological data must be reported.
(d) The following atmospheric data, measured immediately before, after, or during each test at the observation points prescribed in section F36.101 of this appendix must be reported:
(1) Air temperature and relative humidity.
(2) Maximum, minimum, and average wind velocities.
(e) Comments on local topography, ground cover, and events that might interfere with sound recordings must be reported.
(f) The following airplane information must be reported:
(1) Type, model and serial numbers (if any) of airplanes, engines, and propellers.
(2) Any modifications or nonstandard equipment likely to affect the noise characteristics of the airplane.
(3) Maximum certificated takeoff weights.
(4) Airspeed in knots for each overflight of the measuring point.
(5) Engine performance in terms of revolutions per minute and other relevant parameters for each overflight.
(6) Aircraft height in feet determined by a calibrated altimeter in the aircraft, approved photographic techniques, or approved tracking facilities.
(g) Aircraft speed and position and engine performance parameters must be recorded at an approved sampling rate sufficient to ensure compliance with the test procedures and conditions of this appendix.
(a) Tests to demonstrate compliance with the noise level requirements of this appendix must include at least six level flights over the measuring station at a height of 1,000′ ±30′ and ±10 degrees from the zenith when passing overhead.
(b) Each test over flight must be conducted:
(1) At not less than the highest power in the normal operating range provided in an Airplane Flight Manual, or in any combination of approved manual material, approved placard, or approved instrument markings; and
(2) At stabilized speed with propellers synchronized and with the airplane in cruise configuration, except that if the speed at the power setting prescribed in this paragraph would exceed the maximum speed authorized in level flight, accelerated flight is acceptable.
(a) Noise data obtained when the temperature is outside the range of 68 degrees F. ±9 degrees F., or the relative humidity is below 40 percent, must be corrected to 77 degrees F. and 70 percent relative humidity by a method approved by the FAA.
(b) The performance correction prescribed in paragraph (c) of this section must be used. It must be determined by the method described in this appendix, and must be added algebraically to the measured value. It is limited to 5dB(A).
(c) The performance correction must be computed by using the following formula:
(d) When takeoff distance to 50′ is not listed as approved performance information, the figures of 2000 for single-engine airplanes and 1600′ for multi-engine airplanes must be used.
(a) The test results must produce an average dB(A) and its 90 percent confidence limits, the noise level being the arithmetic average of the corrected acoustical measurements for all valid test runs over the measuring point.
(b) The samples must be large enough to establish statistically a 90 pecent confidence limit not to exceed ±1.5 dB(A). No test result may be omitted from the averaging process, unless omission is approved by the FAA.
(a) Compliance with this section must be shown with noise data measured and corrected as prescribed in Parts B and C of this appendix.
(b) For airplanes for which application for a type certificate is made on or after October 10, 1973, the noise level must not exceed 68 dB(A) up to and including aircraft weights of 1,320 pounds (600 kg.). For weights greater than 1,320 pounds up to and including 3,630 pounds (1.650 kg.) the limit increases at the rate of 1 dB/165 pounds (1 dB/75 kg.) to 82 dB(A) at 3,630 pounds, after which it is constant at 82 dB(A). However, airplanes produced under type certificates covered by this paragraph must also meet paragraph (d) of this section for the original issuance of standard airworthiness certificates or restricted category airworthiness certificates if those airplanes have not had flight time before the date specified in that paragraph.
(c) For airplanes for which application for a type certificate is made on or after January 1, 1975, the noise levels may not exceed the noise limit curve prescribed in paragraph (b) of this section, except that 80 dB(A) may not be exceeded.
(d) For airplanes for which application is made for a standard airworthiness certificate or for a restricted category airworthiness certificate, and that have not had any flight time before January 1, 1980, the requirements of paragraph (c) of this section apply, regardless of date of application, to the original issuance of the certificate for that airplane.
Section G36.1 Scope. This appendix prescribes limiting noise levels and procedures for measuring noise and adjusting these data to standard conditions, for propeller driven small airplanes and propeller-driven, commuter category airplanes specified in §§ 36.1 and 36.501(c).
(a) The test area must be relatively flat terrain having no excessive sound absorption characteristics such as those caused by thick, matted, or tall grass, by shrubs, or by wooded areas. No obstructions which significantly influence the sound field from the airplane may exist within a conical space above the measurement position, the cone being defined by an axis normal to the ground and by a half-angle 75 degrees from the normal ground axis.
(b) The tests must be carried out under the following conditions:
(1) No precipitation;
(2) Ambient air temperature between 36 and 95 degrees F (2.2 and 35 degrees C);
(3) Relative humidity between 20 percent and 95 percent, inclusively;
(4) Wind speed may not exceed 10 knots (19 km/h) and cross wind may not exceed 5 knots (9 km/h), using a 30-second average;
(5) No temperature inversion or anomalous wind condition that would significantly alter the noise level of the airplane when the nose is recorded at the required measuring point, and
(6) The meteorological measurements must be made between 4 ft. (1.2 m) and 33 ft. (10 m) above ground level. If the measurement site is within 1 n.m. of an airport meteorological station, measurements from that station may be used.
(c) The flight test procedures, measuring equipment, and noise measurement procedures must be approved by the FAA.
(d) Sound pressure level data for noise evaluation purposes must be obtained with acoustical equipment that complies with section G36.103 of this appendix.
The acoustical measurement system must consist of approved equipment with the following characteristics: (a) A microphone system with frequency response compatible with measurement and analysis system accuracy as prescribed in section G36.105 of this appendix.
(b) Tripods or similar microphone mountings that minimize interference with the sound being measured.
(c) Recording and reproducing equipment characteristics, frequency response, and dynamic range compatible with the response and accuracy requirements of section G36.105 of this appendix.
(d) Acoustic calibrators using sine wave or broadband noise of known sound pressure level. If broadband noise is used, the signal must be described in terms of its average and maximum root-mean-square (rms) value for non-overload signal level.
(a) The noise produced by the airplane must be recorded. A magnetic tape recorder, graphic level recorder, or sound level meter is acceptable when approved by the regional certificating authority.
(b) The characteristics of the complete system must comply with the requirements in IEC 651 and IEC 561 (incorporated by reference, see § 36.6). Sound level meters must comply with the requirements for Type 1 sound level meters as specified in IEC 651.
(c) The response of the complete system to a sensibly plane progressive sinusoidal wave of constant amplitude must be within the tolerance limits specified in IEC 651, over the frequency range 45 to 11,200 Hz.
(d) If equipment dynamic range limitations make it necessary, high frequency pre-emphasis must be added to the recording channel with the converse de-emphasis on playback. The pre-emphasis must be applied such that the instantaneous recorded sound pressure level of the noise signal between 800 and 11,200 Hz does not vary more than 20 dB between the maximum and minimum one-third octave bands.
(e) The output noise signal must be read through an “A” filter with dynamic characteristics designated “slow” as defined in IEC 651. A graphic recorder, sound level meter, or digital equipment may be used.
(f) The equipment must be acoustically calibrated using facilities for acoustic free-field calibration and if analysis of the tape recording is requested by the Administrator, the analysis equipment shall be electronically calibrated by a method approved by the FAA. Calibrations shall be performed, as appropriate, in accordance with paragraphs A36.3.8 and A36.3.9 of appendix A of this part.
(g) A windscreen must be employed with the microphone during all measurements of aircraft noise when the wind speed is in excess of 5 knots (9 km/hr).
(a) The microphone must be a pressure type, 12.7 mm in diameter, with a protective grid, mounted in an inverted position such that the microphone diaphragm is 7 mm above and parallel to a white-painted metal circular plate. This white-painted metal plate shall be 40 cm in diameter and at least 2.5 mm thick. The plate shall be placed horizontally and flush with the surrounding ground surface with no cavities below the plate. The microphone must be located three-quarters of the distance from the center to the back edge of the plate along a radius normal to the line of flight of the test airplane.
(b) Immediately prior to and after each test, a recorded acoustic calibration of the system must be made in the field with an acoustic calibrator for the purposes of checking system sensitivity and providing an acoustic reference level for the analysis of the sound level data. If a tape recorder or graphic level recorder is used, the frequency response of the electrical system must be determined at a level within 10 dB of the full-scale reading used during the test, utilizing pink or pseudorandom noise.
(c) The ambient noise, including both acoustic background and electrical systems noise, must be recorded and determined in the test area with the system gain set at levels which will be used for aircraft noise measurements. If aircraft sound pressure levels do not exceed the background sound pressure levels by at least 10 dB(A), a takeoff measurement point nearer to the start of the takeoff roll must be used and the results must be adjusted to the reference measurement point by an approved method.
(a) Data representing physical measurements and adjustments to measured data must be recorded in permanent form and appended to the record, except that corrections to measurements for normal equipment response deviations need not be reported. All other adjustments must be approved. Estimates must be made of the individual errors inherent in each of the operations employed in obtaining the final data.
(b) Measured and corrected sound pressure levels obtained with equipment conforming to the specifications in section G36.105 of this appendix must be reported.
(c) The type of equipment used for measurement and analysis of all acoustical, airplane performance, and meteorological data must be reported.
(d) The following atmospheric data, measured immediately before, after, or during each test at the observation points prescribed in section G36.101 of this appendix must be reported:
(1) Ambient temperature and relative humidity.
(2) Maximum and average wind speeds and directions for each run.
(e) Comments on local topography, ground cover, and events that might interfere with sound recordings must be reported.
(f) The aircraft position relative to the takeoff reference flight path must be determined by an approved method independent of normal flight instrumentation, such as radar tracking, theodolite triangulation, or photographic scaling techniques.
(g) The following airplane information must be reported:
(1) Type, model, and serial numbers (if any) of airplanes, engines, and propellers;
(2) Any modifications or nonstandard equipment likely to affect the noise characteristics of the airplane;
(3) Maximum certificated takeoff weight;
(4) For each test flight, airspeed and ambient temperature at the flyover altitude over the measuring site determined by properly calibrated instruments;
(5) For each test flight, engine performance parameters, such as manifold pressure or power, propeller speed (rpm) and other relevant parameters. Each parameter must be determined by properly calibrated instruments. For instance, propeller RPM must be validated by an independent device accurate to within ±1 percent, when the airplane is equipped with a mechanical tachometer.
(6) Airspeed, position, and performance data necessary to make the corrections required in section G36.201 of this appendix must be recorded by an approved method when the airplane is directly over the measuring site.
(a) The noise measurement point is on the extended centerline of the runway at a distance of 8200 ft (2500 m) from the start of takeoff roll. The aircraft must pass over the measurement point within ±10 degrees from the vertical and within 20% of the reference altitude. The flight test program shall be initiated at the maximum approved takeoff weight and the weight shall be adjusted back to this maximum weight after each hour of flight time. Each flight test must be conducted at the speed for the best rate of climb (V
(b) The takeoff reference flight path must be calculated for the following atmospheric conditions:
(1) Sea level atmospheric pressure of 1013.25 mb (013.25 hPa);
(2) Ambient air temperature of 59 °F (15 °C);
(3) Relative humidity of 70 percent; and
(4) Zero wind.
(c) The takeoff reference flight path must be calculated assuming the following two segments:
(1) First segment.
(i) Takeoff power must be used from the brake release point to the point at which the height of 50 ft (15m) above the runway is reached.
(ii) A constant takeoff configuration selected by the applicant must be maintained through this segment.
(iii) The maximum weight of the airplane at brake-release must be the maximum for which noise certification is requested.
(iv) The length of this first segment must correspond to the airworthiness approved value for a takeoff on a level paved runway (or the corresponding value for seaplanes).
(2) Second segment.
(i) The beginning of the second segment corresponds to the end of the first segment.
(ii) The airplane must be in the climb configuration with landing gear up, if retractable, and flap setting corresponding to normal climb position throughout this second segment.
(iii) The airplane speed must be the speed for the best rate of climb (V
(iv) For airplanes equipped with fixed pitch propellers, takeoff power must be maintained throughout the second segment. For airplanes equipped with variable pitch or constant speed propellers, takeoff power and rpm must be maintained throughout the second segment. If airworthiness limitations do not allow the application of takeoff power and rpm up to the reference point, then takeoff power and rpm must be maintained for as long as is permitted by such limitations; thereafter, maximum continuous power and rpm must be maintained. Maximum time allowed at takeoff power under the airworthiness standards must be used in the second segment. The reference height must be calculated assuming climb gradients appropriate to each power setting used.
(a) These corrections account for the effects of:
(1) Differences in atmospheric absorption of sound between meteorological test conditions and reference conditions.
(2) Differences in the noise path length between the actual airplane flight path and the reference flight path.
(3) The change in the helical tip Mach number between test and reference conditions.
(4) The change in the engine power between test and reference conditions.
(b) Atmospheric absorption correction is required for noise data obtained when the test conditions are outside those specified in Figure G1. Noise data outside the applicable range must be corrected to 59 F and 70 percent relative humidity by an FAA approved method.
(c) No corrections for helical tip Mach number variation need to be made if the propeller helical tip Mach number is:
(1) At or below 0.70 and the test helical tip Mach number is within 0.014 of the reference helical tip Mach number.
(2) Above 0.70 and at or below 0.80 and the test helical tip Mach number is within 0.007 of the reference helical tip Mach number.
(3) Above 0.80 and the test helical tip Mach number is within 0.005 of the reference helical tip Mach number. For mechanical tachometers, if the helical tip Mach number is above 0.8 and the test helical tip Mach number is within 0.008 of the reference helical tip Mach number.
(d) When the test conditions are outside those specified, corrections must be applied by an approved procedure or by the following simplified procedure:
(1) Measured sound levels must be corrected from test day meteorological conditions to reference conditions by adding an increment equal to
(2) Measured sound levels in decibels must be corrected for height by algebraically adding an increment equal to Delta (1). When test day conditions are within those specified in figure G1:
Delta (1) = 22 log (H
When test day conditions are outside those specified in figure G1:
Delta (1) = 20 log (H
(3) Measured sound levels in decibels must be corrected for helical tip Mach number by algebraically adding an increment equal to:
Delta (2) = k log (M
(4) Measured sound levels in decibels must be corrected for engine power by algebraically adding an increment equal to
(a) The measuring point must be overflown at least six times. The test results must produce an average noise level (L
(b) The samples must be large enough to establish statistically a 90 percent confidence limit not exceeding ±1.5 dB(A). No test results may be omitted from the averaging process unless omission is approved by the FAA.
(a) Compliance with this section must be shown with noise data measured and corrected as prescribed in Parts B and C of this appendix.
(b) For single-engine airplanes for which the original type certification application is received before February 3, 2006 and multi-engine airplanes, the noise level must not exceed 76 dB(A) up to and including aircraft weights of 1,320 pounds (600 kg). For aircraft weights greater than 1,320 pounds, the limit increases from that point with the logarithm of airplane weight at the rate of 9.83 dB (A) per doubling of weight, until the limit of 88 dB (A) is reached, after which the limit is constant up to and including 19,000 pounds (8,618 kg). Figure G2 shows noise level limits vs airplane weight.
(c) For single-engine airplanes for which the original type certification application is received on or after February 3, 2006, the noise level must not exceed 70dB(A) for aircraft having a maximum certificated takeoff weight of 1,257 pounds (570 kg) or less. For aircraft weights greater than 1,257 pounds, the noise limit increases from that point with the logarithm of airplane weight at the rate of 10.75dB(A) per doubling of weight, until the limit of 85dB(A) is reached, after which the limit is constant up to and including 19,000 pounds (8,618 kg). Figure G2 depicts noise level limits for airplane weights for single-engine airplanes.
Section H36.1 General. This appendix prescribes noise requirements for helicopters specified under § 36.1, including:
(a) The conditions under which helicopter noise certification tests under Part H must be conducted and the measurement procedures that must be used under § 36.801 to measure helicopter noise during each test;
(b) The procedures which must be used under § 36.803 to correct the measured data to the reference conditions and to calculate the noise evaluation quantity designated as Effective Perceived Noise Level (EPNL); and
(c) The noise limits for which compliance must be shown under § 36.805.
(a) Meteorological conditions. Aircraft position, performance data and noise measurements must be corrected to the following noise certification reference atmospheric conditions which shall be assumed to exist from the surface to the aircraft altitude:
(1) Sea level pressure of 2,116 psf (1,013.25 hPa).
(2) Ambient temperature of 77 degrees F (25 degrees C).
(3) Relative humidity of 70 percent.
(4) Zero wind.
(b) Reference test site. The reference test site is flat and without line-of-sight obstructions across the flight path that encompasses the 10 dB down points.
(c) Takeoff reference profile. (1) Figure H1 illustrates a typical takeoff profile, including reference conditions.
(2) The reference flight path is defined as a straight line segment inclined from the starting point (1,640 feet (500 meters) from the center microphone location and 65 feet (20 meters) above ground level) at a constant climb angle β defined by the certificated best rate of climb and V
(d) Level flyover reference profile. The beginning of the level flyover reference profile is represented by helicopter position D
(e) For noise certification purposes, V
(f) Approach reference profile. (1) Figure H3 illustrates approach profile, including reference conditions.
(i) The beginning of the approach profile is represented by helicopter position E. The position of the helicopter is recorded for a sufficient distance (EK) to ensure recording of the entire interval during which the measured helicopter noise level is within 10 dB of Maximum Tone Corrected Perceived Noise Level (PNLTM). The reference flight path, E
(ii) The test approach profile is defined by the approach angle η passing directly over the station A at a height of AH, to position K, which terminates the approach noise certification profile. The test approach angle η must be between 5.5° and 6.5°.
(2) The helicopter approaches position H along a constant 6° approach slope throughout the 10 dB down time period. The helicopter crosses position E and proceeds along the approach slope crossing over station A until it reaches position K.
Section H36.5 Symbols and units. The following symbols and units as used in this appendix for helicopter noise certification have the following meanings.
Flight Profile Identification—Positions
| Position | Description |
|---|---|
| A | Location of the noise measuring point at the flight-track noise measuring station vertically below the reference (takeoff, flyover, or approach) flight path. |
| C | Start of noise certification takeoff flight path. |
| C | Start of noise certification reference takeoff flight path. |
| D | Start of noise certification flyover flight path. |
| D | Start of noise certification reference flyover path. |
| E | Start of noise certification approach flight path. |
| E | Start of noise certification reference approach flight path. |
| F | Position on takeoff flight path directly above noise measuring station A. |
| F | Position on reference takeoff path directly above noise measuring Station A. |
| G | Position on flyover flight path directly above noise measuring station A. |
| G | Position on reference flyover path directly above noise measuring Station A. |
| H | Position on approach flight path directly above noise measuring station A. |
| H | Position on reference path directly above noise measuring Station A. |
| I | End of noise type certification takeoff flight path. |
| I | End of noise type certification reference takeoff flight path. |
| J | End of noise type certification flyover flight path. |
| J | End of noise type certification reference flyover flight path. |
| K | End of noise certification approach type flight path. |
| K | End of noise type certification reference approach flight path. |
| L | Position on measured takeoff flight path corresponding to PNLTM at station A. |
| L | Position on reference takeoff flight path corresponding to PNLTM of station A. |
| M | Position on measured flyover flight path corresponding to PNLTM of station A. |
| M | Position on reference flyover flight path corresponding to PNLTM of station A. |
| N | Position on measured approach flight path corresponding to PNLTM at station A. |
| N | Position on reference approach flight path corresponding to PNLTM at station A. |
| S | Sideline noise measuring station (note: a subscript denotes the aircraft orientation relative to the direction of flight). |
Flight Profile Distances
| Distance | Unit | Meaning |
|---|---|---|
| AF | Feet | |
| AG | Feet | |
| AH | Feet | |
| AL | Feet | |
| AL | Feet | |
| AM | Feet | |
| AM | Feet | |
| AN | Feet | |
| AN | Feet | |
| CI | Feet | |
| DJ | Feet | |
| EK | Feet |
(a) General. This section prescribes the conditions under which aircraft noise certification tests must be conducted and the measurement procedures that must be used to measure helicopter noise during each test.
(b) Test site requirements. (1) Tests to show compliance with established helicopter noise certification levels must consist of a series of takeoffs, level flyovers, and approaches during which measurement must be taken at noise measuring stations located at the measuring points prescribed in this section.
(2) Each takeoff test, flyover test, and approach test includes simultaneous measurements at the flight-track noise measuring station vertically below the reference flight path and at two sideline noise measuring stations, one on each side of the reference flight track 492 feet (150m) from, and on a line perpendicular to, the flight track of the noise measuring station.
(3) The difference between the elevation of either sideline noise measuring station may not differ from the flight-track noise measuring station by more than 20 feet.
(4) Each noise measuring station must be surrounded by terrain having no excessive sound absorption characteristics, such as might be caused by thick, matted, or tall grass, shrubs, or wooded areas.
(5) During the period when the takeoff, flyover, or approach noise/time record indicates the noise measurement is within 10 dB of PNLTM, no obstruction that significantly influences the sound field from the aircraft may exist—
(i) For any flight-track or sideline noise measuring station, within a conical space above the measuring position (the point on the ground vertically below the microphone), the cone being defined by an axis normal to the ground and by half-angle 80° from this axis; and
(ii) For any sideline noise measuring station, above the line of sight between the microphone and the helicopter.
(6) If a takeoff or flyover test series is conducted at weights other than the maximum takeoff weight for which noise certification is requested, the following additional requirements apply:
(i) At least one takeoff test and one flyover test must be conducted at, or above, the maximum certification weight.
(ii) Each test weight must be within + 5 percent or −10 percent of the maximum certification weight.
(7) Each approach test must be conducted with the aircraft stabilized and following a 6.0 degree ±0.5 degree approach angle and must meet the requirements of section H36.107 of this part.
(8) If an approach test series is conducted at weights other than the maximum landing weight for which certification is requested, the following additional requirements apply:
(i) At least one approach test must be conducted at a weight at, or above, the maximum landing weight.
(ii) Each test weight must be between + 5 percent and −10 percent of the maximum certification weight.
(c) Weather restrictions. The tests must be conducted under the following atmospheric conditions:
(1) No rain or other precipitation.
(2) Ambient air temperature between 14 °F and 95 °F (−10 °C and 35 °C), inclusively, at a point 33 feet (10 meters) above the ground at the noise measuring station and at the aircraft. The temperature and relative humidity measured at a point 33 feet (10 meters) above the ground at the noise measuring station must be used to adjust for propagation path absorption.
(3) Relative humidity and ambient temperature at a point 33 feet (10 meters) above the ground at the noise measuring station and at the aircraft, is such that the sound attenuation in the one-third octave band centered at 8 kHz is not greater than 12 dB/100 meters and the relative humidity is between 20 percent and 95 percent, inclusively.
(4) Wind velocity as measured at 10 meters above ground does not exceed 10 knots (19 km/h) and the crosswind component does not exceed 5 knots (9 km/h). The wind shall be determined using a continuous thirty-second averaging period spanning the 10dB down time interval.
(5) No anomalous meteorological conditions (including turbulence) that will significantly affect the noise level of the aircraft when the noise is recorded at each noise measuring station.
(6) The wind velocity, temperature, and relative humidity measurements required under the appendix must be measured in the vicinity of noise measuring stations 10 meters above the ground. The location of the meteorological measurements must be approved by the FAA as representative of those atmospheric conditions existing near the surface over the geographical area which aircraft noise measurements are made. In some cases, a fixed meteorological station (such as those found at airports or other facilities) may meet this requirement.
(7) Temperature and relative humidity measurements must be obtained within 30 minutes of each noise test.
(d) Aircraft testing procedures. (1) The aircraft testing procedures and noise measurements must be conducted and processed in a manner that yields the noise evaluation measure designated as Effective Perceived Noise Level (EPNL) in units of EPNdB, as prescribed in Appendix A of this part.
(2) The helicopter height and lateral position relative to the reference flight track (which passes through the flight track noise measuring station) must be determined using an FAA-approved method. The equipment used to make the determination must be independent of normal flight instrumentation. Applicable independent systems are radar tracking, theodolite triangulation, laser trajectography, photo scaling, or differential global positioning system.
(3) The helicopter position along the flight path must be related to the noise recorded at the noise measuring stations by means of synchronized signals recorded at an approved sampling rate. The helicopter position must be recorded relative to the reference flight track during the entire time interval in which the recorded signal is within 10 dB of PNLTM. Measuring and sampling equipment must be approved by the FAA before testing.
(4) Aircraft performance data sufficient to make the corrections required under section H36.205 of this appendix must be recorded at an FAA-approved sampling rate using FAA-approved equipment.
(a) This section, in addition to the applicable requirements of sections H36.101 and H36.205(b) of this appendix, applies to all takeoff noise tests conducted under this appendix to show compliance with Part 36.
(b) A test series must consist of at least six flights over the flight-track noise measuring station (with simultaneous measurements at all three noise measuring stations) as follows:
(1) An airspeed of either V
(2) The horizontal portion of each test flight must be conducted at an altitude of 65 feet (20 meters) above the ground level at the flight-track noise measuring station.
(3) Upon reaching a point 1,640 feet (500 meters) from the noise measuring station, the helicopter must be stabilized at the maximum takeoff power that corresponds to minimum installed engine(s) specification power available for the reference ambient conditions or gearbox torque limit, whichever is lower.
(4) The helicopter must be maintained throughout the 10 dB-down time interval at the best rate of climb speed V
(5) The average rotor speed must not vary from the maximum normal operating rotor RPM by more than ±1.0 percent during the 10 dB-down time interval.
(6) The helicopter must stay within ±10° or ±65 feet (±20 meters), whichever is greater, from the vertical above the reference track throughout the 10dB-down time interval.
(7) A constant takeoff configuration selected by the applicant must be maintained throughout the takeoff reference procedure with the landing gear position consistent with the airworthiness certification tests for establishing best rate-of-climb speed, V
(a) This section, in addition to the applicable requirements of sections H36.101 and H36.205(c) of this appendix, applies to all flyover noise tests conducted under this appendix to show compliance with Part 36.
(b) A test series consists of at least six flights. The number of level flights made with a headwind component must be equal to the number of level flights made with a tailwind component with simultaneous measurements at all three noise measuring stations—
(1) In level flight cruise configuration;
(2) At a height of 492 feet ±30 feet (150 ±9 meters) above the ground level at the flight-track noise measuring station; and
(3) The helicopter must fly within ±10° or ±65 feet (±20 meters), whichever is greater, from the vertical above the reference track throughout the 10 dB-down time interval.
(c) Each flyover noise test must be conducted—
(1) At a speed of 0.9V
(2) At average rotor speed, which must not vary from the maximum normal operating rotor RPM by more than ±1.0 percent during the 10 dB-down time interval.
(3) With the power stabilized during the period when the measured helicopter noise level is within 10 dB of PNLTM.
(d) The airspeed shall not vary from the reference airspeed by more than ±5 knots (9 km/hr).
(a) This section, in addition to the requirements of sections H36.101 and H36.205(d) of this appendix, applies to all approach tests conducted under this appendix to show compliance with Part 36.
(b) A test series must consist of at least six flights over the flight-track noise measuring station (with simultaneous measurements at the three noise measuring stations)—
(1) On an approach slope of 6° ±0.5°;
(2) At a height of 394 ±33 feet (120 ±10 meters)
(3) The helicopter must fly within ±10° or ±65 feet (±20 meters) lateral deviation tolerance, whichever is greater, from the vertical above the reference track throughout the 10 dB-down time interval;
(4) At stabilized airspeed equal to the certificated best rate of climb V
(5) At average rotor speed, which may not vary from the maximum normal operating rotor RPM by more than ±1.0 percent during the 10 dB-down time interval; and
(6) The constant approach configuration used in airworthiness certification tests, with the landing gear extended, must be maintained throughout the approach reference procedure.
(c) The airspeed shall not vary from the reference airspeed by more than ±5 knots (±9 km/hr).
The measurement system and the measurement, calibration and general analysis procedures to be used are provided in Appendix A, section A36.3 of this part.
(a) General. Data representing physical measurements, and corrections to measured data, including corrections to measurements for equipment response deviations, must be recorded in permanent form and appended to the record. Each correction must be reported and is subject to FAA approval. An estimate must be made of each individual error inherent in each of the operations employed in obtaining the final data.
(b) Data reporting. (1) Measured and corrected sound pressure levels must be presented in one-third octave band levels obtained with equipment conforming to the standards prescribed in section H36.109 of this appendix.
(2) The type of equipment used for measurement and analysis of all acoustic, aircraft performance, and meteorological data must be reported.
(3) The atmospheric environmental data required to demonstrate compliance with this appendix, measured throughout the test period, must be reported.
(4) Conditions of local topography, ground cover, or events which may interfere with sound recording must be reported.
(5) The following aircraft information must be reported:
(i) Type, model, and serial numbers, if any, of aircraft engines and rotors.
(ii) Gross dimensions of aircraft and location of engines.
(iii) Aircraft gross weight for each test run.
(iv) Aircraft configuration, including landing gear positions.
(v) Airspeed in knots.
(vi) Helicopter engine performance as determined from aircraft instruments and manufacturer's data.
(vii) Aircraft flight path, above ground level in feet, determined by an FAA approved method which is independent of normal flight instrumentation, such as radar tracking, theodolite triangulation, laser trajectography, or photographic scaling techniques.
(6) Aircraft speed, and position, and engine performance parameters must be recorded at an approved sampling rate sufficient to correct to the noise certification reference test conditions prescribed in section H36.3 of this appendix. Lateral position relative to the reference flight-track must be reported.
(c) Data corrections. (1) Aircraft position, performance data and noise measurement must be corrected to the noise certification reference conditions as prescribed in sections H36.3 and H36.205 of this appendix.
(2) The measured flight path must be corrected by an amount equal to the difference between the applicant's predicted flight path for the certification reference conditions and the measured flight path at the test conditions. Necessary corrections relating to helicopter flight path or performance may be derived from FAA-approved data for the difference between measured and reference conditions, together with appropriate allowances for sound attenuation with distance. The Effective Perceived Noise Level (EPNL) correction may not exceed 2.0 EPNdB except for takeoff flight condition, where the correction may not exceed 4.0 EPNdB, of which the arithmetic sum of Δ
(i) The helicopter not passing vertically above the measuring station.
(ii) Any difference between the reference flight track and the actual test flight track; and
(iii) Detailed correction requirements prescribed in section H36.205 of this appendix.
(3) Helicopter sound pressure levels within the 10 dB-down time interval must exceed the mean background sound pressure levels determined under section B36.3.9.11 by at least 3 dB in each one-third octave band, or must be corrected under an FAA-approved method.
(d) Validity of results. (1) The test results must produce three average EPNL values within the 90 percent confidence limits, each value consisting of the arithmetic average of the corrected noise measurements for all valid test runs at the takeoff, level flyovers, and approach conditions. The 90 percent confidence limit applies separately to takeoff, flyover, and approach.
(2) The minimum sample size acceptable for each takeoff, approach, and flyover certification measurements is six. The number of samples must be large enough to establish statistically for each of the three average noise certification levels a 90 percent confidence limit which does not exceed ±1.5 EPNdB. No test result may be omitted from the averaging process, unless otherwise specified by the FAA.
(3) To comply with this appendix, a minimum of six takeoffs, six approaches, and six level flyovers is required. To be counted toward this requirement, each flight event must be validly recorded at all three noise measuring stations.
(4) The approved values of V
(a) The values of the one-third octave band spectra measured during helicopter noise certification tests under this appendix must conform, or be corrected, to the reference conditions prescribed in section H36.3(a). Each correction must account for any differences in the atmospheric attenuation of sound between the test-day conditions and the reference-day conditions along the sound propagation path between the aircraft and the microphone. Unless the meteorological conditions are within the test window prescribed in this appendix, the test data are not acceptable.
(b) Attenuation rates. The procedure for determining the atmospheric attenuation rates of sound with distance for each one-third octave bands must be determined in accordance with SAE ARP 866A (Incorporated by reference, see § 36.6). The atmospheric attenuation equations are provided in both the International and English systems of units in section A36.7 of appendix A to this part.
(c) Correction for atmospheric attenuation. (1) EPNL values calculated for measured data must be corrected whenever—
(i) The ambient atmospheric conditions of temperature and relative humidity do not conform to the reference conditions, 77 °F and 70%, respectively, or
(ii) The measured flight paths do not conform to the reference flight paths.
(iii) The temperature and relative humidity measured at 33 feet (10 meters) above the ground must be used to adjust for propagation path absorption.
(2) The mean attenuation rate over the complete sound propagation path from the aircraft to the microphone must be computed for each one-third octave band from 50 Hz to 10,000 Hz. These rates must be used in computing the corrections required in section H36.111(d) of this appendix.
(a) Effective Perceived Noise Level (EPNL), in units of effective perceived noise decibels (EPNdB), shall be used for evaluating noise level values under § 36.803 of this part. Except as provided in paragraph (b) of this section, the procedures in appendix A of Part 36 must be used for computing EPNL. appendix A includes requirements governing determination of noise values, including calculations of:
(1) Perceived noise levels;
(2) Corrections for spectral irregularities;
(3) Tone corrections;
(4) Duration corrections;
(5) Effective perceived noise levels; and
(6) Mathematical formulation of noy tables.
(b) Notwithstanding the provisions of section A36.4.3.1(a), for helicopter noise certification, corrections for spectral irregularities shall start with the corrected sound pressure level in the 50 Hz one-third octave band.
(a) To demonstrate compliance with the noise level limits of section H36.305, the noise values measured simultaneously at the three noise measuring points must be arithmetically averaged to obtain a single EPNdB value for each flight.
(b) The calculated noise level for each noise test series, i.e., takeoff, flyover, or approach must be the numerical average of at least six separate flight EPNdB values. The 90 percent confidence limit for all valid test runs under section H36.111(d) of this appendix applies separately to the EPNdB values for each noise test series.
(a) General. If the test conditions do not conform to those prescribed as noise certification reference conditions under section H36.305 of this appendix, the following correction procedure shall apply:
(1) If there is any difference between measured test and reference conditions, an appropriate correction must be made to the EPNL calculated from the measured noise data. Conditions that can result in a different value include:
(i) Atmospheric absorption of sound under measured test conditions that are different from the reference test conditions; or
(ii) Measured flight path that is different from the reference flight path.
(2) The following correction procedures may produce one or more possible correction values which must be added algebraically to the calculated EPNL to bring it to reference conditions:
(i) The flight profiles must be determined for both reference and test conditions. The procedures require noise and flight path recording with a synchronized time signal from which the test profile can be delineated, including the aircraft position for which PNLTM is observed at the noise measuring station. For takeoff, the flight profile corrected to reference conditions may be derived from FAA approved manufacturer's data.
(ii) The sound propagation paths to the microphone from the aircraft position corresponding to PNLTM must be determined for both the test and reference profiles. The SPL values in the spectrum of PNLTM must then be corrected for the effects of—
(A) Change in atmospheric sound absorption;
(B) Atmospheric sound absorption on the linear difference between the two sound path lengths; and
(C) Inverse square law on the difference in sound propagation path length. The corrected values of SPL must then be converted to a reference condition PNLTM value from which PNLTM must be subtracted. The resulting difference represents the correction which must be added algebraically to the EPNL calculated from the measured data.
(iii) As observed at the noise measuring station, the measured PNLTM distance is different from the reference PNLTM distance and therefore the ratio must be calculated and used to determine a noise duration correction factor. Effective perceived noise level, EPNL, is determined by the algebraic sum of the maximum tone corrected perceived noise level (PNLTM) and the duration correction factor.
(iv) For aircraft flyover, alternative source noise corrections require FAA approval and must be determined and adjusted to account for noise level changes caused by the differences between measured test conditions and reference conditions.
(b) Takeoff profiles. (1) Figure H1 illustrates a typical takeoff profile, including reference conditions.
(i) The reference takeoff flight path is described in section H36.3(c).
(ii) The test parameters are functions of the helicopter's performance and weight and the atmospheric conditions of temperature, pressure, wind velocity and direction.
(2) For the actual takeoff, the helicopter approaches position C in level flight at 65 feet (20 meters) above ground level at the flight track noise measuring station and at either V
(3) Figure H1 illustrates the significant geometrical relationships influencing sound propagation. Position L represents the helicopter location on the measured takeoff path from which PNLTM is observed at station A, and L
(c) Level flyover profiles. (1) The noise type certification level flyover profile is shown in Figure H2. Airspeed must be stabilized within ±5 knots of the reference airspeed determined using the procedures in section H36.3(d). The number of level flights made with a headwind component must be equal to the number of level flights made with a tailwind component.
(2) Figure H2 illustrates comparative flyover profiles when test conditions do not conform to prescribed reference conditions. The position of the helicopter shall be recorded for a distance (DJ) sufficient to ensure recording of the entire interval during which the measured helicopter noise level is within 10 dB of PNLTM, as required. The flyover profile is defined by the height AG which is a function of the operating conditions controlled by the pilot. Position M represents the helicopter location on the measured flyover flight path for which PNLTM is observed at station A, and M
(d) Approach profiles. (1) Figure H3 illustrates a typical approach profile, including reference conditions.
(2) The helicopter approaches position H along a 6° (±0.5°) average approach slope throughout the 10dB-down time interval. Deviation from the 6° average approach slope must be approved by the FAA before testing.
(3) Figure H3 illustrates portions of the measured and reference approach flight paths including the significant geometrical relationships influencing sound propagation. The measured approach path is represented by segment EK with an approach allowable angle θ. Reference positions, E
(e) Correction of noise at source during level flyover. (1) For level overflight, if any combination of the following three factors, airspeed deviations from reference, rotor speed deviations from reference, and temperature deviations from reference, results in a noise correlating parameter whose value deviates from the reference value of this parameter, then source noise adjustments must be determined from the manufacturer's data that is approved by the FAA.
(2) Off-reference tip Mach number adjustments must be based upon a sensitivity curve of PNLTM versus advancing blade tip Mach number, deduced from overflights performed at different airspeeds surrounding the reference airspeed. If the test aircraft is unable to attain the reference value, then an extrapolation of the sensitivity curve is permitted if data cover at least a range of 0.03 Mach units. The advancing blade tip Mach number must be computed using true airspeed, onboard outside air temperature, and rotor speed. A separate PNLTM versus advancing blade tip Mach number function must be derived for each of the three certification microphone locations, i.e., centerline, sideline left, and sideline right. Sideline left and right are defined relative to the direction of flight for each run. PNLTM adjustments are to be applied to each microphone datum using the appropriate PNLTM function.
(f) PNLT corrections. If the measured ambient atmospheric conditions of temperature and relative humidity differ from those prescribed as reference conditions under this appendix (77 degrees F and 70 percent, respectively), corrections to the EPNL values must be calculated from the measured data under paragraph (a) of this section as follows:
(1) Takeoff flight path. For the takeoff flight path shown in Figure H1, the spectrum of PNLTM observed at station A for the aircraft at position L is decomposed into its individual SPL(i) values.
(i) Step 1. A set of corrected values are then computed as follows:
(ii) Step 2. The corrected values of the SPL(i)
(2) Level flyover flight path. (i) The procedure described in paragraph (f)(1) of this section for takeoff paths is also used for the level flyover paths, with the values of SPL(i)
(ii) The remainder of the procedure is the same for the flyover condition as that prescribed in the paragraph (f)(1)(ii) of this section regarding takeoff flight path.
(3) Approach flight path. (i) The procedure described in paragraph (f)(1) of this section for takeoff paths is also used for the approach paths, with the values of SPL(i)
(ii) The remainder of the procedure is the same for the approach condition as that prescribed in the paragraph (f)(1)(ii) of this section regarding takeoff flight path.
(4) Sideline microphones. (i) The procedure prescribed in paragraph (f)(1) of this section for takeoff paths is also used for the propagation to the sideline locations, with the values of SPL(i)
(ii) The remainder of the procedure is the same for the sideline paths as that prescribed in the paragraph (f)(1)(ii) of this section regarding takeoff flight paths.
(g) Duration corrections. (1) If the measured takeoff and approach flight paths do not conform to those prescribed as the corrected and reference flight paths, respectively, under section A36.5(d)(2) it will be necessary to apply duration corrections to the EPNL values calculated from the measured data. Such corrections must be calculated as follows:
(i) Takeoff flight path. For the takeoff path shown in Figure H1, the correction term is calculated using the formula—
(ii) Level flyover flight paths. For the level flyover flight path, the correction term is calculated using the formula—
(iii) Approach flight path. For the approach path shown in Figure H3, the correction term is calculated using the formula—
(iv) Sideline microphones. For the sideline flight path, the correction term is calculated using the formula—
(2) The adjustment procedure described in this section shall apply to the sideline microphones in the take-off, overflight, and approach cases. Although the noise emission is strongly dependent on the directivity pattern, variable from one helicopter type to another, the propagation angle θ shall be the same for test and reference flight paths. The elevation angle ψ shall not be constrained but must be determined and reported. The certification authority shall specify the acceptable limitations on ψ. Corrections to data obtained when these limits are exceeded shall be applied using FAA approved procedures.
Compliance with this part of this appendix must be shown with noise levels measured, evaluated, and calculated as prescribed under Parts B and C of this appendix.
(a) Limits. For compliance with this appendix, the applicant must show by flight test that the calculated noise levels of the helicopter, at the measuring points described in section H36.305(a) of this appendix, do not exceed the following, (with appropriate interpolation between weights):
(1) Stage 1 noise limits for acoustical changes for helicopters are as follows:
(i) For takeoff, flyover, and approach calculated noise levels, the noise levels of each Stage 1 helicopter that exceed the Stage 2 noise limits plus 2 EPNdB may not, after a change in type design, exceed the noise levels created prior to the change in type design.
(ii) For takeoff, flyover, and approach calculated noise levels, the noise levels of each Stage 1 helicopter that do not exceed the Stage 2 noise limits plus 2 EPNdB may not, after the change in type design, exceed the Stage 2 noise limits plus 2 EPNdB.
(2) Stage 2 noise limits are as follows:
(i) For takeoff calculated noise levels—109 EPNdB for maximum takeoff weights of 176,370 pounds (80,000 kg) or more, reduced by 3.01 EPNdB per halving of the weight down to 89 EPNdB, after which the limit is constant.
(ii) For flyover calculated noise levels—108 EPNdB for maximum weights of 176,370 pounds (80,000 kg) or more, reduced by 3.01 EPNdB per halving of the weight down to 88 EPNdB, after which the limit is constant.
(iii) For approach calculated noise levels—110 EPNdB for maximum weights of 176,370 pounds (80,000 kg) or more, reduced by 3.01 EPNdB per halving of the weight down to 90 EPNdB, after which the limit is constant.
(3) Stage 3 noise limits are as follows:
(i) For takeoff—For a helicopter having a maximum certificated takeoff weight of 176,370 pounds (80,000 kg) or more, the noise limit is 106 EPNdB, which decreases linearly with the logarithm of the helicopter weight (mass) at a rate of 3.0 EPNdB per halving of the weight (mass) down to 86 EPNdB, after which the limit is constant.
(ii) For flyover—For a helicopter having a maximum certificated takeoff weight of 176,370 pounds (80,000 kg) or more, the noise limit is 104 EPNdB, which decreases linearly with the logarithm of the helicopter weight (mass) at a rate of 3.0 EPNdB per halving of the weight (mass) down to 84 EPNdB, after which the limit is constant.
(iii) For approach—For a helicopter having a maximum certificated takeoff weight of 176,370 pounds (80,000 kg) or more, the noise limit is 109 EPNdB, which decreases linearly with the logarithm of the helicopter weight (mass) at a rate of 3.0 EPNdB per halving of the weight (mass) down to 89 EPNdB, after which the limit is constant.
(b) Tradeoffs. Except to the extent limited under § 36.11(b) of this part, the noise limits prescribed in paragraph (a) of this section may be exceeded by one or two of the takeoff, flyover, or approach calculated noise levels determined under section H36.203 of this appendix if
(1) The sum of the exceedances is not greater than 4 EPNdB;
(2) No exceedance is greater than 3 EPNdB; and
(3) The exceedances are completely offset by reduction in the other required calculated noise levels.
This appendix prescribes the alternative noise certification requirements identified under § 36.1 of this part and subpart H of this part for helicopters in the primary, normal, transport, and restricted categories having maximum certificated takeoff weight of not more than 7,000 pounds including:
(a) The conditions under which an alternative noise certification test under subpart H of this part must be conducted and the alternative measurement procedure that must be used under § 36.801 of this part to measure the helicopter noise during the test;
(b) The alternative procedures which must be used under § 36.803 of this part to correct the measured data to the reference conditions and to calculate the noise evaluation quantity designated as Sound Exposure Level (SEL); and
(c) The noise limits for which compliance must be shown under § 36.805 of this part.
(a) Meteorological conditions. The following are the noise certification reference atmospheric conditions which shall be assumed to exist from the surface to the helicopter altitude:
(1) Sea level pressure of 2116 pounds per square foot (76 centimeters mercury);
(2) Ambient temperature of 77 degrees Fahrenheit (25 degrees Celsius);
(3) Relative humidity of 70 percent; and
(4) Zero wind.
(b) Reference test site. The reference test site is flat and without line-of-sight obstructions across the flight path that encompasses the 10 dB down points of the A-weighted time history.
(c) Level flyover reference profile. The reference flyover profile is a level flight, 492 feet (150 meters) above ground level as measured at the noise measuring station. The reference flyover profile has a linear flight track and passes directly over the noise monitoring station. Airspeed is stabilized at 0.9V
(1) For noise certification purposes, V
(2) V
(d) The weight of the helicopter shall be the maximum takeoff weight at which noise certification is requested.
(a) General. This section prescribes the conditions under which helicopter noise certification tests must be conducted and the measurement procedures that must be used to measure helicopter noise during each test.
(b) Test site requirements. (1) The noise measuring station must be surrounded by terrain having no excessive sound absorption characteristics, such as might be caused by thick, matted, or tall grass, shrubs, or wooded areas.
(2) During the period when the flyover noise measurement is within 10 dB of the maximum A-weighted sound level, no obstruction that significantly influences the sound field from the helicopter may exist within a conical space above the noise measuring position (the point on the ground vertically below the microphone), the cone is defined by an axis normal to the ground and by half-angle 80 degrees from this axis.
(c) Weather restrictions. The test must be conducted under the following atmospheric conditions:
(1) No rain or other precipitation;
(2) Ambient air temperature between 36 degrees and 95 degrees Fahrenheit (2 degrees and 35 degrees Celsius), inclusively, and relative humidity between 20 percent and 95 percent inclusively, except that testing may not take place where combinations of temperature and relative humidity result in a rate of atmospheric attenuation greater than 10 dB per 100 meters (30.5 dB per 1000 ft) in the one-third octave band centered at 8 kiloHertz.
(3) Wind velocity that does not exceed 10 knots (19 km/h) and a crosswind component that does not exceed 5 knots (9 km/h). The wind shall be determined using a continuous averaging process of no greater than 30 seconds;
(4) Measurements of ambient temperature, relative humidity, wind speed, and wind direction must be made between 4 feet (1.2 meters) and 33 feet (10 meters) above the ground. Unless otherwise approved by the FAA, ambient temperature and relative humidity must be measured at the same height above the ground.
(5) No anomalous wind conditions (including turbulence) or other anomalous meteorological conditions that will significantly affect the noise level of the helicopter when the noise is recorded at the noise measuring station; and
(6) If the measurement site is within 6560 feet (2,000 meters) of a fixed meteorological station (such as those found at airports or other facilities) the weather measurements reported for temperature, relative humidity and wind velocity may be used, if approved by the FAA.
(d) Helicopter testing procedures. (1) The helicopter testing procedures and noise measurements must be conducted and processed in a manner which yields the noise evaluation measure designated Sound Exposure Level (SEL) as defined in section J36.109(b) of this appendix.
(2) The helicopter height relative to the noise measurement point sufficient to make corrections required under section J36.205 of this appendix must be determined by an FAA-approved method that is independent of normal flight instrumentation, such as radar tracking, theodolite triangulation, laser trajectography, or photographic scaling techniques.
(3) If an applicant demonstrates that the design characteristics of the helicopter would prevent flight from being conducted in accordance with the reference test conditions prescribed under section J36.3 of this appendix, then with FAA approval, the reference test conditions used under this appendix may vary from the standard reference test conditions, but only to the extent demanded by those design characteristics which make compliance with the reference test conditions impossible.
(a) This section prescribes the flight test conditions and allowable random deviations for flyover noise tests conducted under this appendix.
(b) A test series must consist of at least six flights. The number of level flights made with a headwind component must be equal to the number of level flights made with a tailwind component over the noise measurement station:
(1) In level flight and in cruise configuration;
(2) At a height of 492 feet ±50 feet (150 ±15 meters) above the ground level at the noise measuring station; and
(3) Within ±10 degrees from the zenith.
(c) Each flyover noise test must be conducted:
(1) At the reference airspeed specified in section J36.3(c) of this appendix, with such airspeed adjusted as necessary to produce the same advancing blade tip Mach number as associated with the reference conditions;
(i) Advancing blade tip Mach number (M
(ii) The airspeed shall not vary from the adjusted reference airspeed by more than ±3 knots (±5 km/hr) or an equivalent FAA-approved variation from the reference advancing blade tip Mach number. The adjusted reference airspeed shall be maintained throughout the measured portion of the flyover.
(2) At rotor speed stabilized at the power on maximum normal operating rotor RPM (±1 percent); and
(3) With the power stabilized during the period when the measured helicopter noise level is within 10 dB of the maximum A-weighted sound level (L
(d) The helicopter test weight for each flyover test must be within plus 5 percent or minus 10 percent of the maximum takeoff weight for which certification under this part is requested.
(e) The requirements of paragraph (b)(2) of this section notwithstanding, flyovers at an FAA-approved lower height may be used and the results adjusted to the reference measurement point by an FAA-approved method if the ambient noise in the test area, measured in accordance with the requirements prescribed in section J36.109 of this appendix, is found to be within 15 dB(A) of the maximum A-weighted helicopter noise level (L
(a) General. (1) The helicopter noise measured under this appendix for noise certification purposes must be obtained with FAA-approved acoustical equipment and measurement practices.
(2) Paragraph (b) of this section identifies and prescribes the specifications for the noise evaluation measurements required under this appendix. Paragraphs (c) and (d) of this section prescribe the required acoustical equipment specifications. Paragraphs (e) and (f) of this section prescribe the calibration and measurement procedures required under this appendix.
(b) Noise unit definition. (1) The value of sound exposure level (SEL, or as denoted by symbol, L
(2) This unit is defined by the expression:
(3) The integral equation of paragraph (b)(2) of this section can also be expressed as:
(4) The integration time (t
(5) The SEL may be approximated by the following expression:
(c) Measurement system. The acoustical measurement system must consist of FAA-approved equipment equivalent to the following:
(1) A microphone system with frequency response that is compatible with the measurement and analysis system accuracy prescribed in paragraph (d) of this section;
(2) Tripods or similar microphone mountings that minimize interference with the sound energy being measured;
(3) Recording and reproducing equipment with characteristics, frequency response, and dynamic range that are compatible with the response and accuracy requirements of paragraph (d) of this section; and
(4) The calibration and checking of measurement systems must use the procedures described in Section A36.3.9.
(d) Sensing, recording, and reproducing equipment. (1) The noise levels measured from helicopter flyovers under this appendix may be determined directly by an integrating sound level meter, or the A-weighted sound level time history may be written onto a graphic level recorder set at “slow” response from which the SEL value may be determined. With the approval of the FAA, the noise signal may be tape recorded for subsequent analysis.
(i) The SEL values from each flyover test may be directly determined from an integrating sound level meter complying with the standards of IEC 804 (Incorporated by reference, see § 36.6) for a Type 1 instrument set at “slow” response.
(ii) The acoustic signal from the helicopter, along with the calibration signals specified under paragraph (e) of this section and the background noise signal required under paragraph (f) of this section, may be recorded on a magnetic tape recorder for subsequent analysis for an integrating sound level meter identified in paragraph (d)(1)(i) of this section. The record/playback system (including the audio tape) of the tape recorder must conform to the requirements prescribed in section A36.3.6 of appendix A to this part. The tape recorder shall comply with the specifications of IEC 561 (Incorporated by reference, see § 36.6).
(iii) The characteristics of the complete system shall comply with the recommendations given in IEC 651 (Incorporated by reference, see § 36.6) with regard to the specifications concerning microphone, amplifier, and indicating instrument characteristics.
(iv) The response of the complete system to a sensibly plane progressive wave of constant amplitude shall lie within the tolerance limits specified in Table IV and Table V for Type 1 instruments in IEC 651 for weighting curve “A” over the frequency range of 45 Hz to 11500 Hz.
(2) [Reserved]
(v) A windscreen must be used with the microphone during each measurement of the helicopter flyover noise. Correction for any insertion loss produced by the windscreen, as a function of the frequency of the acoustic calibration required under paragraph (e) of this section, must be applied to the measured data and any correction applied must be reported.
(e) Calibrations. (1) If the helicopter acoustic signal is tape recorded for subsequent analysis, the measuring system and components of the recording system must be calibrated as prescribed under section A36.3.6 of appendix A of this part.
(2) If the helicopter acoustic signal is directly measured by an integrating sound level meter:
(i) The overall sensitivity of the measuring system shall be checked before and after the series of flyover tests and at intervals (not exceeding one-hour duration) during the flyover tests using an acoustic calibrator using sine wave noise generating a known sound pressure level at a known frequency.
(ii) The performance of equipment in the system will be considered satisfactory if, during each day's testing, the variation in the calibration value does not exceed 0.5 dB. The SEL data collected during the flyover tests shall be adjusted to account for any variation in the calibration value.
(iii) A performance calibration analysis of each piece of calibration equipment, including acoustic calibrators, reference microphones, and voltage insertion devices, must have been made during the six calendar months proceeding the beginning of the helicopter flyover series. Each calibration shall be traceable to the National Institute of Standards and Technology.
(f) Noise measurement procedures. (1) The microphone shall be of the pressure-sensitive capacitive type designed for nearly uniform grazing incidence response. The microphone shall be mounted with the center of the sensing element 4 feet (1.2 meters) above the local ground surface and shall be oriented for grazing incidence such that the sensing element, the diaphragm, is substantially in the plane defined by the nominal flight path of the helicopter and the noise measurement station.
(2) If a tape recorder is used, the frequency response of the electrical system must be determined at a level within 10 dB of the full-scale reading used during the test, utilizing pink or pseudorandom noise.
(3) The ambient noise, including both acoustical background and electrical noise of the measurement systems shall be determined in the test area and the system gain set at levels which will be used for helicopter noise measurements. If helicopter sound levels do not exceed the background sound levels by at least 15 dB(A), flyovers at an FAA-approved lower height may be used and the results adjusted to the reference measurement point by an FAA-approved method.
(4) If an integrating sound level meter is used to measure the helicopter noise, the instrument operator shall monitor the continuous A-weighted (slow response) noise levels throughout each flyover to ensure that the SEL integration process includes, at minimum, all of the noise signal between the maximum A-weighted sound level (L
(a) General. Data representing physical measurements, and corrections to measured data, including corrections to measurements for equipment response deviations, must be recorded in permanent form and appended to the record. Each correction is subject to FAA approval.
(b) Data reporting. After the completion of the test the following data must be included in the test report furnished to the FAA:
(1) Measured and corrected sound levels obtained with equipment conforming to the standards prescribed in section J36.109 of this appendix;
(2) The type of equipment used for measurement and analysis of all acoustic, aircraft performance and flight path, and meteorological data;
(3) The atmospheric environmental data required to demonstrate compliance with this appendix, measured throughout the test period;
(4) Conditions of local topography, ground cover, or events which may interfere with the sound recording;
(5) The following helicopter information:
(i) Type, model, and serial numbers, if any, of helicopter, engine(s) and rotor(s);
(ii) Gross dimensions of helicopter, location of engines, rotors, type of antitorque system, number of blades for each rotor, and reference operating conditions for each engine and rotor;
(iii) Any modifications of non-standard equipment likely to affect the noise characteristics of the helicopter;
(iv) Maximum takeoff weight for which certification under this appendix is requested;
(v) Aircraft configuration, including landing gear positions;
(vi) V
(vii) Aircraft gross weight for each test run;
(viii) Indicated and true airspeed for each test run;
(ix) Ground speed, if measured, for each run;
(x) Helicopter engine performance as determined from aircraft instruments and manufacturer's data; and
(xi) Aircraft flight path above ground level, referenced to the elevation of the noise measurement station, in feet, determined by an FAA-approved method which is independent of normal flight instrumentation, such as radar tracking, theodolite triangulation, laser trajectography, or photoscaling techniques; and
(6) Helicopter position and performance data required to make the adjustments prescribed under section J36.205 of this appendix and to demonstrate compliance with the performance and position restrictions prescribed under section J36.105 of this appendix must be recorded at an FAA-approved sampling rate.
The noise evaluation measure shall be the sound exposure level (SEL) in units of dB(A) as prescribed under section J36.109(b) of this appendix. The SEL value for each flyover may be directly determined by use of an integrating sound level meter. Specifications for the integrating sound level meter and requirements governing the use of such instrumentation are prescribed under section J36.109 of this appendix.
(a) To demonstrate compliance with the noise level limits specified under section J36.305 of this appendix, the SEL noise levels from each valid flyover, corrected as necessary to reference conditions under section J36.205 of this appendix, must be arithmetically averaged to obtain a single SEL dB(A) mean value for the flyover series. No individual flyover run may be omitted from the averaging process, unless otherwise specified or approved by the FAA.
(b) The minimum sample size acceptable for the helicopter flyover certification measurements is six. The number of samples must be large enough to establish statistically a 90 percent confidence limit that does not exceed ±1.5 dB(A).
(c) All data used and calculations performed under this section, including the calculated 90 percent confidence limits, must be documented and provided under the reporting requirements of section J36.111 of this appendix.
(a) When certification test conditions measured under part B of this appendix differ from the reference test conditions prescribed under section J36.3 of this appendix, appropriate adjustments shall be made to the measured noise data in accordance with the methods set out in paragraphs (b) and (c) of this section. At minimum, appropriate adjustments shall be made for off-reference altitude and for the difference between reference airspeed and adjusted reference airspeed.
(b) The adjustment for off-reference altitude may be approximated from:
(c) The adjustment for the difference between reference airspeed and adjusted reference airspeed is calculated from:
(d) No correction for source noise during the flyover other than the variation of source noise accounted for by the adjustment of the reference airspeed prescribed for under section J36.105(c) of this appendix need be applied.
(e) No correction for the difference between the reference ground speed and the actual ground speed need be applied.
(f) No correction for off-reference atmospheric attenuation need be applied.
(g) The SEL adjustments must be less than 2.0 dB(A) for differences between test and reference flight procedures prescribed under section J36.105 of this appendix unless a larger adjustment value is approved by the FAA.
(h) All data used and calculations performed under this section must be documented and provided under the reporting requirements specified under section J36.111 of this appendix.
Compliance with this part of this appendix must be shown with noise levels measured, evaluated, and calculated as prescribed under parts B and C of this appendix.
For compliance with this appendix, the calculated noise levels of the helicopter, at the measuring point described in section J36.101 of this appendix, must be shown to not exceed the following (with appropriate interpolation between weights):
(a) For primary, normal, transport, and restricted category helicopters having a maximum certificated takeoff weight of not more than 7,000 pounds that are noise tested under this appendix:
(1) Stage 2 noise limit is constant at 82 decibels SEL for helicopters up to 1,737 pounds (787 kg) maximum certificated takeoff weight (mass) and increases linearly with the logarithm of the helicopter weight at a rate of 3.0 decibels SEL per the doubling of weight thereafter. The limit may be calculated by the equation:
(2) Stage 3 noise limit is constant at 82 decibels SEL for helicopters up to 3,125 pounds (1,417 kg) maximum certificated takeoff weight (mass) and increases linearly with the logarithm of the helicopter weight at a rate of 3.0 decibels SEL per the doubling of weight thereafter. The limit may be calculated using the equation:
(b) The procedures required in this amendment shall be done in accordance with the International Electrotechnical Commission IEC Publication No. 804, entitled “Integrating-averaging Sound Level Meters,” First Edition, dated 1985. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from the Bureau Central de la Commission Electrotechnique Internationale, 1, rue de Varembe, Geneva, Switzerland or the American National Standard Institute, 1430 Broadway, New York City, New York 10018, or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
This appendix prescribes noise limits and procedures for measuring noise and adjusting the data to standard conditions for tiltrotors as specified in § 36.1 of this part.
The noise evaluation measure is the effective perceived noise level in EPNdB, to be calculated in accordance with section A36.4 of Appendix A to this part, except corrections for spectral irregularities must be determined using the 50 Hz sound pressure level found in section H36.201 of Appendix H to this part.
The following noise reference points must be used when demonstrating tiltrotor compliance with section K6 (Noise Certification Reference Procedures) and section K7 (Test Procedures) of this appendix:
(a) Takeoff reference noise measurement points—
As shown in Figure K1 below:
(1) The centerline noise measurement flight path reference point, designated A, is located on the ground vertically below the reference takeoff flight path. The measurement point is located 1,640 feet (500 m) in the horizontal direction of flight from the point Cr where transition to climbing flight is initiated, as described in section K6.2 of this appendix;
(2) Two sideline noise measurement points, designated as S(starboard) and S(port), are located on the ground perpendicular to and symmetrically stationed at 492 feet (150 m) on each side of the takeoff reference flight path. The measurement points bisect the centerline flight path reference point A.
(b) Flyover reference noise measurement points—
As shown in Figure K2 below:
(1) The centerline noise measurement flight path reference point, designated A, is located on the ground 492 feet (150 m) vertically below the reference flyover flight path. The measurement point is defined by the flyover reference procedure in section K6.3 of this appendix;
(2) Two sideline noise measurement points, designated as S
(c) Approach reference noise measurement points—
As shown in Figure K3 below:
(1) The centerline noise measurement flight path reference point, designated A, is located on the ground 394 feet (120 m) vertically below the reference approach flight path. The measurement point is defined by the approach reference procedure in section K6.4 of this appendix. On level ground, the measurement point corresponds to a position 3,740 feet (1,140 m) from the intersection of the 6.0 degree approach path with the ground plane;
(2) Two sideline noise measurement points, designated as S(starboard) and S(port), are located on the ground perpendicular to and symmetrically stationed at 492 feet (150 m) on each side of the approach reference flight path. The measurement points bisect the centerline flight path reference point A.
For a tiltrotor, the maximum noise levels, as determined in accordance with the noise evaluation in EPNdB and calculation method described in section H36.201 of Appendix H of this part, must not exceed the noise limits as follows:
(a) At the takeoff flight path reference point: For a tiltrotor having a maximum certificated takeoff weight (mass) of 176,370 pounds (80,000 kg) or more, in VTOL/Conversion mode, 109 EPNdB, decreasing linearly with the logarithm of the tiltrotor weight (mass) at a rate of 3.0 EPNdB per halving of weight (mass) down to 89 EPNdB, after which the limit is constant. Figure K4 illustrates the takeoff noise limit as a solid line.
(b) At the Flyover path reference point: For a tiltrotor having a maximum certificated takeoff weight (mass) of 176,370 pounds (80,000 kg) or more, in VTOL/Conversion mode, 108 EPNdB, decreasing linearly with the logarithm of the tiltrotor weight (mass) at a rate of 3.0 EPNdB per halving of weight (mass) down to 88 EPNdB, after which the limit is constant. Figure K4 illustrates the flyover noise limit as a dashed line.
(c) At the approach flight path reference point: For a tiltrotor having a maximum certificated takeoff weight (mass) of 176,370 pounds (80,000 kg) or more, in VTOL/Conversion mode, 110 EPNdB, decreasing linearly with the logarithm of the tiltrotors weight (mass) at a rate of 3.0 EPNdB per halving of weight (mass) down to 90 EPNdB, after which the limit is constant. Figure K4 illustrates the approach noise limit as a dash-dot line.
If the noise evaluation measurement exceeds the noise limits described in K4 of this appendix at one or two measurement points:
(a) The sum of excesses must not be greater than 4 EPNdB;
(b) The excess at any single point must not be greater than 3 EPNdB; and
(c) Any excess must be offset by the remaining noise margin at the other point or points.
K6.1 General Conditions
(a)-(b) [Reserved]
(c) The takeoff, flyover and approach reference procedures must be established in accordance with sections K6.2, K6.3 and K6.4 of this appendix, except as specified in section K6.1(d) of this appendix.
(d) If the design characteristics of the tiltrotor prevent test flights from being conducted in accordance with section K6.2, K6.3 or K6.4 of this appendix, the applicant must revise the test procedures and resubmit the procedures for approval.
(e) The following reference atmospheric conditions must be used to establish the reference procedures:
(1) Sea level atmospheric pressure of 2,116 pounds per square foot (1,013.25 hPa);
(2) Ambient air temperature of 77 °Fahrenheit (25 °Celsius, i.e. ISA + 10 °C);
(3) Relative humidity of 70 percent; and
(4) Zero wind.
(f) For tests conducted in accordance with sections K6.2, K6.3, and K6.4 of this appendix, use the maximum normal operating RPM corresponding to the airworthiness limit imposed by the manufacturer. For configurations for which the rotor speed automatically links with the flight condition, use the maximum normal operating rotor speed corresponding with the reference flight condition. For configurations for which the rotor speed can change by pilot action, use the highest normal rotor speed specified in the flight manual limitation section for the reference conditions.
K6.2 Takeoff Reference Procedure. The takeoff reference flight procedure is as follows:
(a) A constant takeoff configuration must be maintained, including the nacelle angle selected by the applicant;
(b) The tiltrotor power must be stabilized at the maximum takeoff power corresponding to the minimum installed engine(s) specification power available for the reference ambient conditions or gearbox torque limit, whichever is lower. The tiltrotor power must also be stabilized along a path starting from a point located 1,640 feet (500 m) before the flight path reference point, at 65 ft (20 m) above ground level;
(c) The nacelle angle and the corresponding best rate of climb speed, or the lowest approved speed for the climb after takeoff, whichever is the greater, must be maintained throughout the takeoff reference procedure;
(d) The rotor speed must be stabilized at the maximum normal operating RPM certificated for takeoff;
(e) The weight (mass) of the tiltrotors must be the maximum takeoff weight (mass) as requested for noise certification; and
(f) The reference takeoff flight profile is a straight line segment inclined from the starting point 1,640 feet (500 m) before to the center noise measurement point and 65 ft (20 m) above ground level at an angle defined by best rate of climb and the speed corresponding to the selected nacelle angle and for minimum specification engine performance.
K6.3 Flyover Reference Procedure. The flyover reference flight procedure is as follows:
(a) The tiltrotor must be stabilized for level flight along the centerline flyover flight path and over the noise measurement reference point at an altitude of 492 ft (150 m) above ground level;
(b) A constant flyover configuration selected by the applicant must be maintained;
(c) The weight (mass) of the tiltrotor must be the maximum takeoff weight (mass) as requested for noise certification;
(d) In the VTOL/Conversion mode:
(1) The nacelle angle must be at the authorized fixed operation point that is closest to the shallow nacelle angle certificated for zero airspeed;
(2) The airspeed must be 0.9V
(3) The rotor speed must be stabilized at the maximum normal operating RPM certificated for level flight.
K6.4 Approach Reference Procedure. The approach reference procedure is as follows:
(a) The tiltrotor must be stabilized to follow a 6.0 degree approach path;
(b) An approved airworthiness configuration in which maximum noise occurs must be maintained;
(1) An airspeed equal to the best rate of climb speed corresponding to the nacelle angle, or the lowest approved airspeed for the approach, whichever is greater, must be stabilized and maintained; and
(2) The tiltrotor power during the approach must be stabilized over the flight path reference point, and continue as if landing;
(c) The rotor speed must be stabilized at the maximum normal operating RPM certificated for approach;
(d) The constant approach configuration used in airworthiness certification tests, with the landing gear extended, must be maintained; and
(e) The weight (mass) of the tiltrotor at landing must be the maximum landing weight (mass) as requested for noise certification.
K7.1 [Reserved]
K7.2 The test procedures and noise measurements must be conducted and processed to yield the noise evaluation measure designated in section K2 of this appendix.
K7.3 If either the test conditions or test procedures do not comply to the applicable noise certification reference conditions or procedures prescribed by this part, the applicant must apply the correction methods described in section H36.205 of Appendix H of this part to the acoustic test data measured.
K7.4 Adjustments for differences between test and reference flight procedures must not exceed:
(a) For takeoff: 4.0 EPNdB, of which the arithmetic sum of delta 1 and the term −7.5 log (QK/QrKr) from delta 2 must not in total exceed 2.0 EPNdB;
(b) For flyover or approach: 2.0 EPNdB.
K7.5 The average rotor RPM must not vary from the normal maximum operating RPM by more than ±1.0 percent throughout the 10 dB-down time interval.
K7.6 The tiltrotor airspeed must not vary from the reference airspeed appropriate to the flight demonstration by more than ±5 kts (±9 km/h) throughout the 10 dB-down time interval.
K7.7 The number of level flyovers made with a head wind component must be equal to the number of level flyovers made with a tail wind component.
K7.8 The tiltrotor must operate between ±10 degrees from the vertical or between ±65 feet (±20 m) lateral deviation tolerance, whichever is greater, above the reference track and throughout the 10 dB-down time interval.
K7.9 The tiltrotor altitude must not vary during each flyover by more than ±30 ft (±9 m) from the reference altitude throughout the 10 dB-down time interval.
K7.10 During the approach procedure, the tiltrotor must establish a stabilized constant speed approach and fly between approach angles of 5.5 degrees and 6.5 degrees throughout the 10 dB-down time interval.
K7.11 During all test procedures, the tiltrotor weight (mass) must not be less than 90 percent and not more than 105 percent of the maximum certificated weight (mass). For each of the test procedures, complete at least one test at or above this maximum certificated weight (mass).
K7.12 A tiltrotor capable of carrying external loads or external equipment must be noise certificated without such loads or equipment fitted
K7.13 The value of V
(a) Except as provided in paragraph (c) of this section, an airplane that is subject to the requirements of 40 CFR part 1030 may not exceed the fuel efficiency limits of this part when original type certification under this title is sought. This part applies to the following airplanes:
(1) A subsonic jet airplane that has—
(i) Either—
(A) A type-certificated maximum passenger seating capacity of 20 seats or more;
(B) A maximum takeoff mass (MTOM) greater than 5,700 kg; and
(C) An application for original type certification that is submitted on or after January 11, 2021;
(ii) Or—
(A) A type-certificated maximum passenger seating capacity of 19 seats or fewer;
(B) A MTOM greater than 60,000 kg; and
(C) An application for original type certification that is submitted on or after January 11, 2021.
(2) A subsonic jet airplane that has—
(i) A type-certificated maximum passenger seating capacity of 19 seats or fewer;
(ii) A MTOM greater than 5,700 kg, but not greater than 60,000 kg; and
(iii) An application for original type certification that is submitted on or after January 1, 2023.
(3) A propeller-driven airplane that has—
(i) A MTOM greater than 8,618 kg; and
(ii) An application for original type certification that is submitted on or after January 11, 2021.
(4) A subsonic jet airplane—
(i) That is a modified version of an airplane whose type design was not certificated under this part;
(ii) That has a MTOM greater than 5,700 kg;
(iii) For which an application by the type certificate holder for a type design change is submitted on or after January 1, 2023; and
(iv) For which the first certificate of airworthiness is issued with the modified type design.
(5) A propeller-driven airplane—
(i) That is a modified version of an airplane whose type design was not certificated under this part;
(ii) That has a MTOM greater than 8,618 kg;
(iii) For which an application by the type certificate holder for a type design change is submitted on or after January 1, 2023; and
(iv) For which the first certificate of airworthiness is issued with the modified type design.
(6) A subsonic jet airplane that has—
(i) A MTOM greater than 5,700 kg; and
(ii) Its first certificate of airworthiness issued on or after January 1, 2028.
(7) A propeller-driven airplane that has—
(i) A MTOM greater than 8,618 kg; and
(ii) Its first certificate of airworthiness issued on or after January 1, 2028.
(b) The requirements of this part apply to an airplane for which an application for a change in type design is submitted that includes a modification that meets the change criteria of § 38.19. A modified airplane may not exceed the applicable fuel efficiency limit of this part when certification under this chapter is sought. A modified airplane is subject to the same fuel efficiency limit of § 38.17 as the airplane was certificated to prior to modification.
(c) The requirements of this part do not apply to:
(1) Subsonic jet airplanes having a MTOM at or below 5,700 kg.
(2) Propeller-driven airplanes having a MTOM at or below 8,618 kg.
(3) Amphibious airplanes.
(4) Airplanes initially designed, or modified and used, for specialized operations. These airplane designs may include characteristics or configurations necessary to conduct specialized operations that the FAA and the United States Environmental Protection Agency (EPA) have determined may cause a significant increase in the fuel efficiency metric value.
(5) Airplanes designed with a reference geometric factor of zero.
(6) Airplanes designed for, or modified and used for, firefighting.
(7) Airplanes powered by reciprocating engines.
For the purpose of showing compliance with this part, the following terms have the specified meanings:
Amphibious airplane means an airplane that is capable of takeoff and landing on both land and water. Such an airplane uses its hull or floats attached to the landing gear for takeoff and landing on water, and either extendable or fixed landing gear for takeoff and landing on land.
ICAO Annex 16, Volume III means Volume III of Annex 16 to the Convention on International Civil Aviation.
Maximum takeoff mass (MTOM) is the maximum certified takeoff mass, expressed in kilograms, for an airplane type design.
Performance model is an analytical tool (or a method) validated using corrected flight test data that can be used to determine the specific air range values for calculating the fuel efficiency metric value.
Reference geometric factor (RGF) is a non-dimensional number derived from a two-dimensional projection of the fuselage.
Specific air range (SAR) is the distance an airplane travels per unit of fuel consumed. Specific air range is expressed in kilometers per kilogram of fuel.
Subsonic means an airplane that has not been certificated under this title to exceed Mach 1 in normal operation.
Type certificated maximum passenger seating capacity means the maximum number of passenger seats that may be installed on an airplane as listed on its type certificate data sheet, regardless of the actual number of seats installed on an individual airplane.
Unless otherwise approved by the FAA, an airplane used to demonstrate compliance with this part must meet all of the airworthiness requirements of this chapter required to establish the type certification basis of the airplane, for any condition under which compliance with this part is being demonstrated. Any procedure used to demonstrate compliance, and any flight crew information developed for demonstrating compliance with this part, must be consistent with the airworthiness requirements of this chapter that constitute the type certification basis of the airplane.
A petition for exemption from any requirement of this part must be submitted to the Administrator in accordance with and meet the requirements of part 11 of this chapter. The FAA will consult with the EPA on each exemption petition before taking action.
The ICAO Doc 7488/3, Manual of the ICAO Standard Atmosphere (extended to 80 kilometres (262 500 feet)) (1993), referenced in sections A38.2.1.3.1, A38.5.2.2.1.9, and A38.5.2.2.1.10 of appendix A to this part, is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at the FAA and at the National Archives and Records Administration (NARA). Contact FAA at: Office of Rulemaking (ARM-1), 800 Independence Avenue SW, Washington, DC 20590 (telephone 202-267-9677). For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email fr.inspection@nara.gov. The ICAO Doc 7488/3 is available for purchase from the ICAO Store at 999 Robert-Bourassa Boulevard Montréal (Quebec) Canada H3C 5H7, (https://store.icao.int/).
In accordance with certain provisions of the Clean Air Act Amendments of 1970 (CAA) (42 U.S.C. 7571 et seq.), the United States Environmental Protection Agency (EPA) is authorized to set standards for aircraft engine emissions in the United States, while the FAA is authorized to ensure compliance with those standards under a delegation from the Secretary of Transportation (49 CFR 1.83). The fuel efficiency limits in § 38.17 are intended to be the same as that promulgated by the EPA in 40 CFR part 1030. Accordingly, if the EPA changes any regulation in 40 CFR part 1030 that corresponds with a regulation in this part, a certification applicant may request a waiver of those provisions as they appear in this part in order to comply with part 1030. In addition, unless otherwise specified in this part, all terminology and abbreviations in this part that are defined in 40 CFR part 1030 have the meaning specified in part 1030.
For each airplane subject to this part, or to determine whether a modification makes an airplane subject to this part under the change criteria of § 38.19, a fuel efficiency metric value must be calculated, using the following equation, rounded to three decimal places:
(a) For each airplane subject to this part, the SAR of an airplane must be determined by either:
(1) Direct flight test measurements; or
(2) Using a performance model that is:
(i) Validated by actual SAR flight test data; and
(ii) Approved by the FAA before any SAR calculations are submitted.
(b) For the airplane model, establish a 1/SAR value at each of the following reference airplane masses:
(1) High gross mass: 92 percent MTOM.
(2) Low gross mass: (0.45 * MTOM) + (0.63 * (MTOM^0.924)).
(3) Mid gross mass: simple arithmetic average of high gross mass and low gross mass.
(c) To obtain (1/SAR)
(d) All determinations made under this section must be made in accordance with the procedures applicable to SAR as described in appendix A to this part.
For each airplane subject to this part, determine the airplane's non-dimensional RGF for the fuselage size of each airplane model, calculated as follows:
(a) For an airplane with a single deck, determine the area of a surface (expressed in m^2) bounded by the maximum width of the fuselage outer mold line projected to a flat plane parallel with the main deck floor and the forward and aft pressure bulkheads except for the crew flight deck zone.
(b) For an airplane with more than one deck, determine the sum of the areas (expressed in m^2) as follows:
(1) The maximum width of the fuselage outer mold line, projected to a flat plane parallel with the main deck floor by the forward and aft pressure bulkheads except for any crew flight deck zone.
(2) The maximum width of the fuselage outer mold line at or above each other deck floor, projected to a flat plane parallel with the additional deck floor by the forward and aft pressure bulkheads except for any crew flight deck zone.
(c) Determine the non-dimensional RGF by dividing the area defined in paragraph (a) or (b) of this section by 1 m^2.
(d) All measurements and calculations used to determine the RGF of an airplane must be made in accordance with the procedures for determining RGF in section A38.3 of appendix A to this part.
(a) The fuel efficiency limits in this section are expressed as maximum permitted fuel efficiency metric values, as calculated under § 38.11.
(b) The fuel efficiency metric value of an airplane subject to this part may not exceed the following, rounded to three decimal places:
(a) For an airplane that has been shown to comply with § 38.17, any subsequent version of that airplane must demonstrate compliance with § 38.17 if the subsequent version incorporates a modification that either increases:
(1) The maximum takeoff mass; or
(2) The fuel efficiency metric value by a percentage that is more than the following calculated thresholds.
(i) For airplanes with a MTOM greater than or equal to 5,700 kg, the threshold decreases linearly from 1.35 percent for an airplane with a MTOM of 5,700 kg to 0.75 percent for an airplane with a MTOM of 60,000 kg.
(ii) For airplanes with a MTOM greater than or equal to 60,000 kg, the threshold decreases linearly from 0.75 percent for an airplane with a MTOM of 60,000 kg to 0.70 percent for airplanes with a MTOM of 600,000 kg.
(iii) For airplanes with a MTOM greater than or equal to 600,000 kg, the threshold is 0.70 percent.
(b) For an airplane that has been shown to comply with § 38.17, and for any subsequent version of that airplane that incorporates modifications that do not increase the MTOM or the fuel efficiency metric value in excess of the levels shown in paragraph (a) of this section, the fuel efficiency metric value of the modified airplane may be reported to be the same as the value prior to modification.
(c) For an airplane that meets the criteria of § 38.1(a)(4) or (5), on or after January 1, 2023, and before January 1, 2028, the airplane must demonstrate compliance with § 38.17 if it incorporates any modification that increases the fuel efficiency metric value of the airplane prior to modification by more than 1.5 percent.
All procedures, weights, configurations, and other information or data that are used to establish a fuel efficiency level required by this part or in any appendix to this part (including any equivalent procedures) must be approved by the FAA prior to use in certification tests intended to demonstrate compliance with this part.
(a) Information in manuals. The following information must be included in any FAA-approved section of a FAA-approved Airplane Flight Manual or combination of approved manual material:
(1) Fuel efficiency level established as required by this part; and
(2) Maximum takeoff mass at which fuel efficiency level was established.
(b) Limitation. If the fuel efficiency of an airplane is established at a weight (mass) that is less than the maximum certificated takeoff weight (mass) used to establish the airworthiness of the airplane under this chapter, the lower weight (mass) becomes an operating limitation of the airplane and that limitation must be included in the limitations section of any FAA-approved manual.
A38.1.1 This appendix describes the processes and procedures for determining the fuel efficiency metric value for an airplane subject to this part.
A38.1.2.1 SAR may be determined by either—
A38.1.2.1.1 Direct flight test measurement at the SAR test points, including any corrections of test data to reference specifications; or
A38.1.2.1.2 Use of a performance model.
A38.1.2.2 For any determination made under section A38.1.2.1.1 of this appendix, the SAR flight test data must have been acquired in accordance with the procedures defined in this appendix and approved by the FAA.
A38.1.2.3 For any determination made under section A38.1.2.1.2 of this appendix, the performance model must:
A38.1.2.3.1 Be verified that the model produces the values that are the same as FAA-approved SAR flight test data;
A38.1.2.3.2 Include a detailed description of any test and analysis method and any algorithm used so as to allow evaluation by the FAA; and
A38.1.2.3.3 Be approved by the FAA before use.
A38.2.1 The following reference specifications must be established when determining SAR values for an airplane. No reference specification may exceed any airworthiness limit approved for the airplane under this chapter. See section A38.5 of this appendix for further information.
A38.2.1.1 Reference specifications at the airplane level:
A38.2.1.1.1 Airplane at the reference masses listed in § 38.13(b);
A38.2.1.1.2 A combination of altitude and airspeed selected by the applicant;
A38.2.1.1.3 Airplane in steady, unaccelerated, straight and level flight;
A38.2.1.1.4 Airplane in longitudinal and lateral trim;
A38.2.1.1.5 Airplane gravitational acceleration when travelling in the direction of true North in still air at the reference altitude and a geodetic latitude of 45.5 degrees, based on g
A38.2.1.1.6 A reference airplane center of gravity (CG) position selected by the applicant to be representative of the mid-CG point relevant to design cruise performance at each of the three reference airplane masses; and
A38.2.1.1.7 A wing structural loading condition defined by the applicant that is representative of operations conducted in accordance with the airplane's maximum payload capability.
A38.2.1.2 Reference specifications at the engine level:
A38.2.1.2.1 Electrical and mechanical power extraction and bleed flow relevant to design cruise performance, as selected by the applicant;
Note 1 to A38.2.1.2.1—Power extraction and bleed flow attributable to the use of optional equipment such as passenger entertainment systems need not be included.
A38.2.1.2.2 Engine stability bleeds operating according to the manufacturer's normal schedule for the engine; and
A38.2.1.2.3 Engines with at least 15 cycles or 50 engine flight hours.
A38.2.1.3 Other reference specifications:
A38.2.1.3.1 ICAO standard day atmosphere (Doc 7488/3, 3rd edition 1993, titled “Manual of the ICAO Standard Atmosphere (extended to 80 kilometres (262 500 feet))”) (incorporated by reference, see § 38.7); and
A38.2.1.3.2 Fuel lower heating value equal to 43.217 MJ/kg (18,−580 BTU/lb).
A38.2.2 If any test conditions are not the same as the reference specifications of this appendix, the test conditions must be corrected to the reference specifications as described in section A38.5 of this appendix.
A38.3.1 This section provides additional information for determining the RGF, as required by § 38.15.
A38.3.2 The area that defines RGF includes all pressurized space on a single or multiple decks including aisles, assist spaces, passageways, stairwells and areas that can accommodate cargo or auxiliary fuel containers. It does not include permanent integrated fuel tanks within the cabin, or any unpressurized fairings, crew rest or work areas, or cargo areas that are not on the main or upper deck (e.g., `loft' or under floor areas). RGF does not include the flight deck crew zone.
A38.3.3 The aft boundary to be used for calculating RGF is the aft pressure bulkhead. The forward boundary is the forward pressure bulkhead, not including the flight deck crew zone.
A38.3.4 Areas that are accessible to both crew and passengers are not considered part of the flight deck crew zone. For an airplane that has a flight deck door, the aft boundary of the flight deck crew zone is the plane of the flight deck door. For an airplane that has no flight deck door or has optional interior configurations that include different locations of the flight deck door, the aft boundary is determined by the configuration that provides the smallest available flight deck crew zone. For airplanes certificated for single-pilot operation, the flight deck crew zone is measured as half the width of the flight deck.
A38.3.5 Figures A38-1 and A38-2 of this appendix provide a notional view of the RGF boundary conditions.
A38.4.1 Certification Test Specifications. This section prescribes the specifications under which an applicant must conduct SAR certification tests.
A38.4.2 Flight Test Procedures
A38.4.2.1 Before a Test Flight. The test flight procedures must include the following elements and must be approved by the FAA before any test flight is conducted:
A38.4.2.1.1 Airplane conformity. The test airplane must conform to the critical configuration of the type design for which certification is sought.
A38.4.2.1.2 Airplane weight. The test airplane must be weighed. Any change in mass after the weighing and prior to the test flight must be accounted for.
A38.4.2.1.3 Fuel. The fuel used for each flight test must meet the specification defined in either ASTM D1655-15 (titled “Standard Specification for Aviation Turbine Fuels”), UK MoD Defense Standard 91-91, Issue 7, Amendment 3 (titled “Turbine Fuel, Kerosene Type, Jet A-1, NATO Code F-35; Join Services Designation; AVTUR”), or as approved by FAA.
A38.4.2.1.4 Fuel lower heating value. The lower heating value of the fuel used on a test flight must be determined from a sample of fuel used for the test flight. The lower heating value of the fuel sample must be used to correct measured data to reference specifications. The determination of lower heating value and the correction to reference specifications are subject to approval by the FAA.
A38.4.2.1.4.1 The fuel lower heating value may be determined in accordance with ASTM D4809-13 “Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method)”, or as approved by the FAA.
A38.4.2.1.4.2 The fuel sample may be representative of the fuel used for each flight test and should not have errors or variations due to fuel being uplifted from multiple sources, fuel tank selection, or fuel layering in a tank.
A38.4.2.1.5 Fuel specific gravity and viscosity. When volumetric fuel flow meters are used, the specific gravity and viscosity of the fuel used on a test flight must be determined from a sample of fuel used for the test flight.
A38.4.2.1.5.1 The fuel specific gravity may be determined in accordance with ASTM D4052-11 “Standard Test Method for Density, Relative Density, and API Gravity of Liquids”, or as approved by FAA.
A38.4.2.1.5.2 The fuel kinematic viscosity may be determined in accordance with ASTM D445-15 (titled “Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (and Calculation of Dynamic Viscosity)”), or as approved by FAA.
A38.4.2.2 Flight Test Procedures and Test Condition Stability. An applicant must conduct each flight test in accordance with the flight test procedures and the stability conditions as follows:
A38.4.2.2.1 Flight Test Procedure. The following procedures must be maintained during each flight used to gather data for determining SAR values:
A38.4.2.2.1.1 To the extent that is practicable, the airplane is flown at constant pressure altitude and constant heading along isobars;
A38.4.2.2.1.2 The engine thrust/power setting is stable for unaccelerated level flight;
A38.4.2.2.1.3 The airplane is flown as close as practicable to the reference specifications to minimize the magnitude of any correction;
A38.4.2.2.1.4 Changes in trim or engine power/thrust settings, engine stability and handling bleeds, or electrical and mechanical power extraction (including bleed flow) are avoided or minimized as practicable; and
A38.4.2.2.1.5 There is no unnecessary movement of on-board personnel.
A38.4.2.2.2 Test Condition Stability. To obtain a valid SAR measurement, the following conditions must be maintained during each test flight, including the indicated tolerances for at least 1 minute while SAR data is acquired:
A38.4.2.2.2.1 Mach number within ±0.005;
A38.4.2.2.2.2 Ambient temperature within ±1 °C;
A38.4.2.2.2.3 Heading within ±3 degrees;
A38.4.2.2.2.4 Track within ±3 degrees;
A38.4.2.2.2.5 Drift angle less than 3 degrees;
A38.4.2.2.2.6 Ground speed within ±3.7 km/h (±2 kt);
A38.4.2.2.2.7 Difference in ground speed at the beginning of the SAR measurement from the ground speed at the end of the SAR measurement within ±2.8 km/h/min (±1.5 kt/min); and
A38.4.2.2.2.8 Pressure altitude within ±23 m (±75 ft).
A38.4.2.2.3 Alternatives to the stable test condition criteria of section A38.4.2.2.2 of this appendix may be used provided that stability is sufficiently demonstrated to the FAA.
A38.4.2.2.4 Data obtained at test points that do not meet the stability criteria of section A38.4.2.2.2 may be acceptable as an equivalent procedure, subject to FAA approval.
A38.4.2.2.5 SAR measurements at the test points must be separated by either:
A38.4.2.2.5.1 Two minutes; or
A38.4.2.2.5.2 An exceedance of one or more of the stability criteria limits described in A38.4.2.2.2.
A38.4.2.3 Verification of Airplane Mass at Test Conditions
A38.4.2.3.1 The procedure for determining the mass of the airplane at each test condition must be approved by the FAA.
A38.4.2.3.2 The mass of the airplane during a flight test is determined by subtracting the fuel used from the mass of the airplane at the start of the test flight. The accuracy of the determination of the fuel used must be verified by:
A38.4.2.3.2.1 Weighing the test airplane on calibrated scales before and after the SAR test flight;
A38.4.2.3.2.2 Weighing the test airplane before and after another test flight that included a cruise segment, provided that flight occurs within one week or 50 flight hours (at the option of the applicant) of the SAR test flight and using the same, unaltered fuel flow meters; or
A38.4.2.3.2.3 Other methods as approved by the FAA.
A38.5.1 Measurement System
A38.5.1.1 The following parameters must be recorded at a minimum sampling rate of 1 Hertz (cycle per second):
A38.5.1.1.1 Airspeed;
A38.5.1.1.2 Ground speed;
A38.5.1.1.3 True airspeed;
A38.5.1.1.4 Fuel flow;
A38.5.1.1.5 Engine power setting;
A38.5.1.1.6 Pressure altitude;
A38.5.1.1.7 Temperature;
A38.5.1.1.8 Heading;
A38.5.1.1.9 Track; and
A38.5.1.1.10 Fuel used (for the determination of gross mass and CG position).
A38.5.1.2 The following parameters must be recorded:
A38.5.1.2.1 Latitude;
A38.5.1.2.2 Engine bleed positions and power off-takes; and
A38.5.1.2.3 Power extraction (electrical and mechanical load).
A38.5.1.3 The value of each parameter used for the determination of SAR (except for ground speed) is the simple arithmetic average of the measured values for that parameter obtained throughout the stable test condition described in section A38.4.2.2.2 of this appendix.
A38.5.1.4 For ground speed, the value is the rate of change of ground speed during the SAR test measurement. The rate of change of ground speed during the SAR measurement must be used to evaluate and correct any acceleration or deceleration that might occur during the SAR measurement.
A38.5.1.5 Each measurement device must have sufficient resolution to determine that the stability of a parameter defined in section A38.4.2.2.2 of this appendix is maintained during SAR measurement.
A38.5.1.6 The SAR measurement system consists of the combined instruments and devices, and any associated procedures, used to acquire the following parameters necessary to determine SAR:
A38.5.1.6.1 Fuel flow;
A38.5.1.6.2 Mach number;
A38.5.1.6.3 Altitude;
A38.5.1.6.4 Airplane mass;
A38.5.1.6.5 Ground speed;
A38.5.1.6.6 Outside air temperature;
A38.5.1.6.7 Fuel lower heating value; and
A38.5.1.6.8 CG.
A38.5.1.7 The SAR value is affected by the accuracy of each element that comprises the SAR measurement system. The cumulative error associated with the SAR measurement system is defined as the root sum of squares (RSS) of the individual accuracies.
A38.5.1.8 If the absolute value of the cumulative error of the overall SAR measurement system is greater than 1.5 percent, a penalty equal to the amount that the RSS value exceeds 1.5 percent must be applied to the SAR value that has been corrected to reference specifications (see section A38.5.2 of this appendix). If the absolute value of the cumulative error of the overall SAR measurement system is less than or equal to 1.5 percent, no penalty will be applied.
A38.5.2 Calculation of Specific Air Range from Measured Data
A38.5.2.1 Calculating SAR. SAR must be calculated using the following equation:
A38.5.2.2 Correcting Measured SAR Values to Reference Specifications
A38.5.2.2.1 The measured SAR values must be corrected to the reference specifications listed in A38.2 of this appendix. Unless otherwise approved by the FAA, corrections to reference specifications must be applied for each of the following measured parameters:
A38.5.2.2.1.1 Acceleration/deceleration (energy). Drag determination is based on an assumption of steady, unaccelerated flight. Acceleration or deceleration occurring during a test condition affects the assessed drag level. The reference specification is in section A38.2.1.1.3 of this appendix.
A38.5.2.2.1.2 Aeroelastics. Wing aeroelasticity may cause a variation in drag as a function of airplane wing mass distribution. Airplane wing mass distribution will be affected by the fuel load distribution in the wings and the presence of any external stores. The reference specification is in section A38.2.1.1.7 of this appendix.
A38.5.2.2.1.3 Altitude. The altitude at which the airplane is flown affects the fuel flow. The reference specification is in section A38.2.1.1.2 of this appendix.
A38.5.2.2.1.4 Apparent gravity. Acceleration, caused by the local effect of gravity, and inertia, affect the test weight of the airplane. The apparent gravity at the test conditions varies with latitude, altitude, ground speed, and direction of motion relative to the Earth's axis. The reference gravitational acceleration is the gravitational acceleration for the airplane travelling in the direction of true North in still air at the reference altitude, a geodetic latitude of 45.5 degrees, and based on g
A38.5.2.2.1.5 CG position. The position of the airplane CG affects the drag due to longitudinal trim. The reference specification is in section A38.2.1.1.6 of this appendix.
A38.5.2.2.1.6 Electrical and mechanical power extraction and bleed flow. Electrical and mechanical power extraction, and bleed flow affect the fuel flow. The reference specifications are in sections A38.2.1.2.1 and A38.2.1.2.2 of this appendix.
A38.5.2.2.1.7 Engine deterioration level. The requirement in section A38.2.1.2.3 of this appendix addresses the minimum deterioration of an engine that is used to determine SAR. Since engine deterioration is rapid when an engine is new, when used for SAR determination:
A38.5.2.2.1.7.1 Subject to FAA approval, an engine having less deterioration than the reference deterioration level in section A38.2.1.2.3 of this appendix must correct the fuel flow to the reference deterioration using an approved method.
A38.5.2.2.1.7.2 An engine with greater deterioration than the reference deterioration level in section A38.2.1.2.3 of this appendix may be used, and no correction is permitted.
A38.5.2.2.1.8 Fuel lower heating value. The fuel lower heating value defines the energy content of the fuel. The lower heating value directly affects the fuel flow at a given test condition. The reference specification is in section A38.2.1.3.2 of this appendix.
A38.5.2.2.1.9 Reynolds number. The Reynolds number affects airplane drag. For a given test condition the Reynolds number is a function of the density and viscosity of air at the test altitude and temperature. The reference Reynolds number is derived from the density and viscosity of air from the ICAO standard atmosphere at the reference altitude (see sections A38.2.1.1.2 and A38.2.1.3.1 of this appendix, incorporated by reference see § 38.7).
A38.5.2.2.1.10 Temperature. The ambient temperature affects the fuel flow. The reference temperature is the standard day temperature from the ICAO standard atmosphere at the reference altitude (see section A38.2.1.3.1 of this appendix, incorporated by reference see § 38.7).
Note 2 to A38.5.2.2.1.10—Post-flight data analysis includes the correction of measured data for data acquisition hardware response characteristics (e.g., system latency, lag, offset, buffering, etc.).
A38.5.2.2.2 Correction methods are subject to the approval of the FAA.
A38.5.2.3 Using Specific Air Range to Determine the Fuel Efficiency Metric Value
A38.5.2.3.1 Calculate the SAR values for each of the three reference masses as described in § 38.13, including any corrections to reference specifications, as required under this part. The final SAR value for each reference mass is the simple arithmetic average of all valid test points at the appropriate gross mass, or derived from a validated performance model. No data acquired from a valid test point may be omitted unless approved by the FAA.
A38.5.2.3.2 When an FAA-approved performance model is used, extrapolations to aircraft masses other than those tested may be approved when such extrapolations are consistent with accepted airworthiness practices. Since a performance model must be based on data covering an adequate range of lift coefficient, Mach number, and thrust specific fuel consumption, no extrapolation of those parameters is permitted.
A38.5.3 Validity of Results
A38.5.3.1 A 90 percent confidence interval must be calculated for each of the SAR values at the three reference masses.
A38.5.3.2 If the 90 percent confidence interval of the SAR value at any of the three reference airplane masses—
A38.5.3.2.1 Is less than or equal to ±1.5 percent, the SAR value may be used.
A38.5.3.2.2 Exceeds ±1.5 percent, a penalty equal to the amount that the 90 percent confidence interval exceeds ±1.5 percent must be applied to the SAR value, as approved by the FAA.
A38.5.3.3 If clustered data is acquired separately for each of the three gross mass reference points, the minimum sample size acceptable for each of the three gross mass SAR values is six.
A38.5.3.4 If SAR data is collected over a range of masses, the minimum sample size is 12 and the 90 percent confidence interval is calculated for the mean regression line through the data.
The following information must be provided to the FAA in the certification reports for each airplane type and model for which fuel efficiency certification under this part is sought.
A38.6.1 General Information
A38.6.1.1 Designation of the airplane type and model:
A38.6.1.2 Configuration of the airplane, including CG range, number and type designation of engines and, if fitted, propellers, and any modifications or non-standard equipment expected to affect the fuel efficiency characteristics;
A38.6.1.3 MTOM used for certification under this part;
A38.6.1.4 All dimensions needed for calculation of RGF; and
A38.6.1.5 Serial number of each airplane used to establish fuel efficiency certification in accordance with this part.
A38.6.2 Reference Specifications. The reference specifications used to determine any SAR value as described in section A38.2 of this appendix.
A38.6.3 Test Data. The following measured test data, including any corrections for instrumentation characteristics, must be provided for each of the test measurement points used to calculate the SAR values for each of the reference masses defined in § 38.13(b):
A38.6.3.1 Airspeed, ground speed and true airspeed;
A38.6.3.2 Fuel flow;
A38.6.3.3 Pressure altitude;
A38.6.3.4 Static air temperature;
A38.6.3.5 Airplane gross mass and CG for each test point;
A38.6.3.6 Levels of electrical and mechanical power extraction and bleed flow;
A38.6.3.7 Engine performance;
A38.6.3.7.1 For jet airplanes, engine power setting; or
A38.6.3.7.2 For propeller-driven airplanes, shaft horsepower or engine torque, and propeller rotational speed;
A38.6.3.8 Fuel lower heating value;
A38.6.3.9 When volumetric fuel flow meters are used, fuel specific gravity and kinematic viscosity (see section A38.4.2.1.5. of this appendix);
A38.6.3.10 The cumulative error (RSS) of the overall measurement system (see section A38.5.1.7 of this appendix);
A38.6.3.11 Heading, track and latitude;
A38.6.3.12 Stability criteria (see section A38.4.2.2.2 of this appendix); and
A38.6.3.13 Description of the instruments and devices used to acquire the data needed for the determination of SAR, and the individual accuracies of the equipment relevant to their effect on SAR (see sections A38.5.1.6 and A38.5.1.7 of this appendix).
A38.6.4 Calculations and Corrections of SAR Test Data to Reference Specifications. The measured SAR test data, all corrections of the measured data to the reference specifications, and the SAR values calculated from the corrected data must be provided for each of the test measurement points.
A38.6.5 Calculated Values. The following values must be provided for each airplane used to establish fuel efficiency certification in accordance with this part:
A38.6.5.1 SAR (km/kg) for each reference airplane mass and the associated 90 percent confidence interval;
A38.6.5.2 Average of the 1/SAR values;
A38.6.5.3 RGF; and
A38.6.5.4 Fuel efficiency metric value.
The regulations in this part provide a legal framework for FAA's system of Airworthiness Directives.
FAA's airworthiness directives are legally enforceable rules that apply to the following products: aircraft, aircraft engines, propellers, and appliances.
FAA issues an airworthiness directive addressing a product when we find that:
(a) An unsafe condition exists in the product; and
(b) The condition is likely to exist or develop in other products of the same type design.
Anyone who operates a product that does not meet the requirements of an applicable airworthiness directive is in violation of this section.
If the requirements of an airworthiness directive have not been met, you violate § 39.7 each time you operate the aircraft or use the product.
Airworthiness directives specify inspections you must carry out, conditions and limitations you must comply with, and any actions you must take to resolve an unsafe condition.
Yes, airworthiness directives are part of the Code of Federal Regulations, but they are not codified in the annual edition. FAA publishes airworthiness directives in full in the
Yes, an airworthiness directive applies to each product identified in the airworthiness directive, even if an individual product has been changed by modifying, altering, or repairing it in the area addressed by the airworthiness directive.
If a change in a product affects your ability to accomplish the actions required by the airworthiness directive in any way, you must request FAA approval of an alternative method of compliance. Unless you can show the change eliminated the unsafe condition, your request should include the specific actions that you propose to address the unsafe condition. Submit your request in the manner described in § 39.19.
Yes, anyone may propose to FAA an alternative method of compliance or a change in the compliance time, if the proposal provides an acceptable level of safety. Unless FAA authorizes otherwise, send your proposal to your principal inspector. Include the specific actions you are proposing to address the unsafe condition. The principal inspector may add comments and will send your request to the manager of the office identified in the airworthiness directive (manager). You may send a copy to the manager at the same time you send it to the principal inspector. If you do not have a principal inspector send your proposal directly to the manager. You may use the alternative you propose only if the manager approves it.
Each airworthiness directive identifies the office responsible for approving alternative methods of compliance. That office can provide information about alternatives it has already approved.
Yes, the operations specifications giving some operators authority to operate include a provision that allow them to fly their aircraft to a repair facility to do the work required by an airworthiness directive. If you do not have this authority, the local Flight Standards District Office of FAA may issue you a special flight permit unless the airworthiness directive states otherwise. To ensure aviation safety, FAA may add special requirements for operating your aircraft to a place where the repairs or modifications can be accomplished. FAA may also decline to issue a special flight permit in particular cases if we determine you cannot move the aircraft safely.
Apply to FAA for a special flight permit following the procedures in 14 CFR 21.199.
In some cases an airworthiness directive incorporates by reference a manufacturer's service document. In these cases, the service document becomes part of the airworthiness directive. In some cases the directions in the service document may be modified by the airworthiness directive. If there is a conflict between the service document and the airworthiness directive, you must follow the requirements of the airworthiness directive.
(a) Except as provided in paragraphs (b) and (d) of this section, this part prescribes rules governing the maintenance, preventive maintenance, rebuilding, and alteration of any—
(1) Aircraft having a U.S. airworthiness certificate;
(2) Foreign-registered civil aircraft used in common carriage or carriage of mail under the provisions of Part 121 or 135 of this chapter; and
(3) Airframe, aircraft engines, propellers, appliances, and component parts of such aircraft.
(b) This part does not apply to—
(1) Any aircraft for which the FAA has issued an experimental airworthiness certificate, unless the FAA has previously issued a different kind of airworthiness certificate for that aircraft;
(2) Any aircraft for which the FAA has issued an experimental airworthiness certificate under the provisions of § 21.191(i)(3) or (l) of this chapter, and the aircraft was previously issued a special airworthiness certificate in the light-sport category under the provisions of § 21.190 of this chapter; or
(3) Any aircraft that is operated under part 107 of this chapter, except as described in § 107.140(d).
(c) This part applies to all life-limited parts that are removed from a type certificated product, segregated, or controlled as provided in § 43.10.
(d) This part applies to any aircraft issued a special airworthiness certificate in the light-sport category except:
(1) The repair or alteration form specified in §§ 43.5(b) and 43.9(d) is not required to be completed for products not produced under an FAA approval;
(2) Major repairs and major alterations for products not produced under an FAA approval are not required to be recorded in accordance with appendix B of this part; and
(3) The listing of major alterations and major repairs specified in paragraphs (a) and (b) of appendix A of this part is not applicable to products not produced under an FAA approval.
(e) Additional applicability of maintenance provisions for powered-lift is set forth in part 194 of this chapter.
(a) No person may describe in any required maintenance entry or form an aircraft, airframe, aircraft engine, propeller, appliance, or component part as being overhauled unless—
(1) Using methods, techniques, and practices acceptable to the Administrator, it has been disassembled, cleaned, inspected, repaired as necessary, and reassembled; and
(2) It has been tested in accordance with approved standards and technical data, or in accordance with current standards and technical data acceptable to the Administrator, which have been developed and documented by the holder of the type certificate, supplemental type certificate, or a material, part, process, or appliance approval under part 21 of this chapter.
(b) No person may describe in any required maintenance entry or form an aircraft, airframe, aircraft engine, propeller, appliance, or component part as being rebuilt unless it has been disassembled, cleaned, inspected, repaired as necessary, reassembled, and tested to the same tolerances and limits as a new item, using either new parts or used parts that either conform to new part tolerances and limits or to approved oversized or undersized dimensions.
(a) Except as provided in this section and § 43.17, no person may maintain, rebuild, alter, or perform preventive maintenance on an aircraft, airframe, aircraft engine, propeller, appliance, or component part to which this part applies. Those items, the performance of which is a major alteration, a major repair, or preventive maintenance, are listed in appendix A.
(b) The holder of a mechanic certificate may perform maintenance, preventive maintenance, and alterations as provided in Part 65 of this chapter.
(c) The holder of a repairman certificate may perform maintenance, preventive maintenance, and alterations as provided in part 65 of this chapter.
(d) A person working under the supervision of a holder of a mechanic or repairman certificate may perform the maintenance, preventive maintenance, and alterations that his supervisor is authorized to perform, if the supervisor personally observes the work being done to the extent necessary to ensure that it is being done properly and if the supervisor is readily available, in person, for consultation. However, this paragraph does not authorize the performance of any inspection required by Part 91 or Part 125 of this chapter or any inspection performed after a major repair or alteration.
(e) The holder of a repair station certificate may perform maintenance, preventive maintenance, and alterations as provided in Part 145 of this chapter.
(f) The holder of an air carrier operating certificate or an operating certificate issued under Part 121 or 135, may perform maintenance, preventive maintenance, and alterations as provided in Part 121 or 135.
(g) Except for holders of a sport pilot certificate, the holder of a pilot certificate issued under part 61 may perform preventive maintenance on any aircraft owned or operated by that pilot which is not used under part 121, 129, or 135 of this chapter. The holder of a sport pilot certificate may perform preventive maintenance on an aircraft owned or operated by that pilot and issued a special airworthiness certificate in the light-sport category.
(h) Notwithstanding the provisions of paragraph (g) of this section, the Administrator may approve a certificate holder under Part 135 of this chapter, operating rotorcraft in a remote area, to allow a pilot to perform specific preventive maintenance items provided—
(1) The items of preventive maintenance are a result of a known or suspected mechanical difficulty or malfunction that occurred en route to or in a remote area;
(2) The pilot has satisfactorily completed an approved training program and is authorized in writing by the certificate holder for each item of preventive maintenance that the pilot is authorized to perform;
(3) There is no certificated mechanic available to perform preventive maintenance;
(4) The certificate holder has procedures to evaluate the accomplishment of a preventive maintenance item that requires a decision concerning the airworthiness of the rotorcraft; and
(5) The items of preventive maintenance authorized by this section are those listed in paragraph (c) of appendix A of this part.
(i) Notwithstanding the provisions of paragraph (g) of this section, in accordance with an approval issued to the holder of a certificate issued under part 135 of this chapter, a pilot of an aircraft type-certificated for 9 or fewer passenger seats, excluding any pilot seat, may perform the removal and reinstallation of approved aircraft cabin seats, approved cabin-mounted stretchers, and when no tools are required, approved cabin-mounted medical oxygen bottles, provided—
(1) The pilot has satisfactorily completed an approved training program and is authorized in writing by the certificate holder to perform each task; and
(2) The certificate holder has written procedures available to the pilot to evaluate the accomplishment of the task.
(j) A manufacturer may—
(1) Rebuild or alter any aircraft, aircraft engine, propeller, or appliance manufactured by him under a type or production certificate;
(2) Rebuild or alter any appliance or part of aircraft, aircraft engines, propellers, or appliances manufactured by him under a Technical Standard Order Authorization, an FAA-Parts Manufacturer Approval, or Product and Process Specification issued by the Administrator; and
(3) Perform any inspection required by part 91 or part 125 of this chapter on aircraft it manufactured under a type certificate, or currently manufactures under a production certificate.
(k) Updates of databases in installed avionics meeting the conditions of this paragraph are not considered maintenance and may be performed by pilots provided:
(1) The database upload is:
(i) Initiated from the flight deck;
(ii) Performed without disassembling the avionics unit; and
(iii) Performed without the use of tools and/or special equipment.
(2) The pilot must comply with the certificate holder's procedures or the manufacturer's instructions.
(3) The holder of operating certificates must make available written procedures consistent with manufacturer's instructions to the pilot that describe how to:
(i) Perform the database update; and
(ii) Determine the status of the data upload.
No person may approve for return to service any aircraft, airframe, aircraft engine, propeller, or appliance, that has undergone maintenance, preventive maintenance, rebuilding, or alteration unless—
(a) The maintenance record entry required by § 43.9 or § 43.11, as appropriate, has been made;
(b) The repair or alteration form authorized by or furnished by the Administrator has been executed in a manner prescribed by the Administrator; and
(c) If a repair or an alteration results in any change in the aircraft operating limitations or flight data contained in the approved aircraft flight manual, those operating limitations or flight data are appropriately revised and set forth as prescribed in § 91.9 of this chapter.
(a) Except as provided in this section and § 43.17, no person, other than the Administrator, may approve an aircraft, airframe, aircraft engine, propeller, appliance, or component part for return to service after it has undergone maintenance, preventive maintenance, rebuilding, or alteration.
(b) The holder of a mechanic certificate or an inspection authorization may approve an aircraft, airframe, aircraft engine, propeller, appliance, or component part for return to service as provided in Part 65 of this chapter.
(c) The holder of a repair station certificate may approve an aircraft, airframe, aircraft engine, propeller, appliance, or component part for return to service as provided in Part 145 of this chapter.
(d) A manufacturer may approve for return to service any aircraft, airframe, aircraft engine, propeller, appliance, or component part which that manufacturer has worked on under § 43.3(j). However, except for minor alterations, the work must have been done in accordance with technical data approved by the Administrator.
(e) The holder of an air carrier operating certificate or an operating certificate issued under Part 121 or 135, may approve an aircraft, airframe, aircraft engine, propeller, appliance, or component part for return to service as provided in Part 121 or 135 of this chapter, as applicable.
(f) A person holding at least a private pilot certificate may approve an aircraft for return to service after performing preventive maintenance under the provisions of § 43.3(g).
(g) The holder of a repairman certificate (light-sport aircraft) with a maintenance rating may approve an aircraft issued a special airworthiness certificate in light-sport category for return to service, as provided in part 65 of this chapter.
(h) The holder of at least a sport pilot certificate may approve an aircraft owned or operated by that pilot and issued a special airworthiness certificate in the light-sport category for return to service after performing preventive maintenance under the provisions of § 43.3(g).
(a) Maintenance record entries. Except as provided in paragraphs (b) and (c) of this section, each person who maintains, performs preventive maintenance, rebuilds, or alters an aircraft, airframe, aircraft engine, propeller, appliance, or component part shall make an entry in the maintenance record of that equipment containing the following information:
(1) A description (or reference to data acceptable to the Administrator) of work performed.
(2) The date of completion of the work performed.
(3) The name of the person performing the work if other than the person specified in paragraph (a)(4) of this section.
(4) If the work performed on the aircraft, airframe, aircraft engine, propeller, appliance, or component part has been performed satisfactorily, the signature, certificate number, and kind of certificate held by the person approving the work. The signature constitutes the approval for return to service only for the work performed.
(b) Each holder of an air carrier operating certificate or an operating certificate issued under Part 121 or 135, that is required by its approved operations specifications to provide for a continuous airworthiness maintenance program, shall make a record of the maintenance, preventive maintenance, rebuilding, and alteration, on aircraft, airframes, aircraft engines, propellers, appliances, or component parts which it operates in accordance with the applicable provisions of Part 121 or 135 of this chapter, as appropriate.
(c) This section does not apply to persons performing inspections in accordance with Part 91, 125, § 135.411(a)(1), or § 135.419 of this chapter.
(d) In addition to the entry required by paragraph (a) of this section, major repairs and major alterations shall be entered on a form, and the form disposed of, in the manner prescribed in appendix B, by the person performing the work.
(a) Definitions used in this section. For the purposes of this section the following definitions apply.
Life-limited part means any part for which a mandatory replacement limit is specified in the type design, the Instructions for Continued Airworthiness, or the maintenance manual.
Life status means the accumulated cycles, hours, or any other mandatory replacement limit of a life-limited part.
(b) Temporary removal of parts from type-certificated products. When a life-limited part is temporarily removed and reinstalled for the purpose of performing maintenance, no disposition under paragraph (c) of this section is required if—
(1) The life status of the part has not changed;
(2) The removal and reinstallation is performed on the same serial numbered product; and
(3) That product does not accumulate time in service while the part is removed.
(c) Disposition of parts removed from type-certificated products. Except as provided in paragraph (b) of this section, after April 15, 2002 each person who removes a life-limited part from a type-certificated product must ensure that the part is controlled using one of the methods in this paragraph. The method must deter the installation of the part after it has reached its life limit. Acceptable methods include:
(1) Record keeping system. The part may be controlled using a record keeping system that substantiates the part number, serial number, and current life status of the part. Each time the part is removed from a type certificated product, the record must be updated with the current life status. This system may include electronic, paper, or other means of record keeping.
(2) Tag or record attached to part. A tag or other record may be attached to the part. The tag or record must include the part number, serial number, and current life status of the part. Each time the part is removed from a type certificated product, either a new tag or record must be created, or the existing tag or record must be updated with the current life status.
(3) Non-permanent marking. The part may be legibly marked using a non-permanent method showing its current life status. The life status must be updated each time the part is removed from a type certificated product, or if the mark is removed, another method in this section may be used. The mark must be accomplished in accordance with the instructions under § 45.16 of this chapter in order to maintain the integrity of the part.
(4) Permanent marking. The part may be legibly marked using a permanent method showing its current life status. The life status must be updated each time the part is removed from a type certificated product. Unless the part is permanently removed from use on type certificated products, this permanent mark must be accomplished in accordance with the instructions under § 45.16 of this chapter in order to maintain the integrity of the part.
(5) Segregation. The part may be segregated using methods that deter its installation on a type-certificated product. These methods must include, at least—
(i) Maintaining a record of the part number, serial number, and current life status, and
(ii) Ensuring the part is physically stored separately from parts that are currently eligible for installation.
(6) Mutilation. The part may be mutilated to deter its installation in a type certificated product. The mutilation must render the part beyond repair and incapable of being reworked to appear to be airworthy.
(7) Other methods. Any other method approved or accepted by the FAA.
(d) Transfer of life-limited parts. Each person who removes a life-limited part from a type certificated product and later sells or otherwise transfers that part must transfer with the part the mark, tag, or other record used to comply with this section, unless the part is mutilated before it is sold or transferred.
(a) Maintenance record entries. The person approving or disapproving for return to service an aircraft, airframe, aircraft engine, propeller, appliance, or component part after any inspection performed in accordance with part 91, 125, § 135.411(a)(1), or § 135.419 shall make an entry in the maintenance record of that equipment containing the following information:
(1) The type of inspection and a brief description of the extent of the inspection.
(2) The date of the inspection and aircraft total time in service.
(3) The signature, the certificate number, and kind of certificate held by the person approving or disapproving for return to service the aircraft, airframe, aircraft engine, propeller, appliance, component part, or portions thereof.
(4) Except for progressive inspections, if the aircraft is found to be airworthy and approved for return to service, the following or a similarly worded statement—“I certify that this aircraft has been inspected in accordance with (insert type) inspection and was determined to be in airworthy condition.”
(5) Except for progressive inspections, if the aircraft is not approved for return to service because of needed maintenance, noncompliance with applicable specifications, airworthiness directives, or other approved data, the following or a similarly worded statement—“I certify that this aircraft has been inspected in accordance with (insert type) inspection and a list of discrepancies and unairworthy items dated (date) has been provided for the aircraft owner or operator.”
(6) For progressive inspections, the following or a similarly worded statement—“I certify that in accordance with a progressive inspection program, a routine inspection of (identify whether aircraft or components) and a detailed inspection of (identify components) were performed and the (aircraft or components) are (approved or disapproved) for return to service.” If disapproved, the entry will further state “and a list of discrepancies and unairworthy items dated (date) has been provided to the aircraft owner or operator.”
(7) If an inspection is conducted under an inspection program provided for in part 91, 125, or § 135.411(a)(1), the entry must identify the inspection program, that part of the inspection program accomplished, and contain a statement that the inspection was performed in accordance with the inspections and procedures for that particular program.
(b) Listing of discrepancies and placards. If the person performing any inspection required by part 91 or 125 or § 135.411(a)(1) of this chapter finds that the aircraft is unairworthy or does not meet the applicable type certificate data, airworthiness directives, or other approved data upon which its airworthiness depends, that persons must give the owner or lessee a signed and dated list of those discrepancies. For those items permitted to be inoperative under § 91.213(d)(2) of this chapter, that person shall place a placard, that meets the aircraft's airworthiness certification regulations, on each inoperative instrument and the cockpit control of each item of inoperative equipment, marking it “Inoperative,” and shall add the items to the signed and dated list of discrepancies given to the owner or lessee.
(a) Each person performing maintenance, alteration, or preventive maintenance on an aircraft, engine, propeller, or appliance shall use the methods, techniques, and practices prescribed in the current manufacturer's maintenance manual or Instructions for Continued Airworthiness prepared by its manufacturer, or other methods, techniques, and practices acceptable to the Administrator, except as noted in § 43.16. That person shall use the tools, equipment, and test apparatus necessary to assure completion of the work in accordance with accepted industry practices. If special equipment or test apparatus is recommended by the manufacturer involved, that person must use that equipment or apparatus or its equivalent acceptable to the Administrator.
(b) Each person maintaining or altering, or performing preventive maintenance, shall do that work in such a manner and use materials of such a quality, that the condition of the aircraft, airframe, aircraft engine, propeller, or appliance worked on will be at least equal to its original or properly altered condition (with regard to aerodynamic function, structural strength, resistance to vibration and deterioration, and other qualities affecting airworthiness).
(c) Unless otherwise notified by the Administrator, the methods, techniques, and practices contained in the maintenance manual or the maintenance part of the manual of the holder of an air carrier operating certificate or an operating certificate under part 121 or 135 of this chapter and operators under part 129 of this chapter holding operations specifications (that is required by its operating specifications to provide a continuous airworthiness maintenance and inspection program) constitute acceptable means of compliance with this section.
(a) General. Each person performing an inspection required by part 91, 125, or 135 of this chapter, shall—
(1) Perform the inspection so as to determine whether the aircraft, or portion(s) thereof under inspection, meets all applicable airworthiness requirements; and
(2) If the inspection is one provided for in part 125, 135, or § 91.409(e) of this chapter, perform the inspection in accordance with the instructions and procedures set forth in the inspection program for the aircraft being inspected.
(b) Rotorcraft. Each person performing an inspection required by Part 91 on a rotorcraft shall inspect the following systems in accordance with the maintenance manual or Instructions for Continued Airworthiness of the manufacturer concerned:
(1) The drive shafts or similar systems.
(2) The main rotor transmission gear box for obvious defects.
(3) The main rotor and center section (or the equivalent area).
(4) The auxiliary rotor on helicopters.
(c) Annual and 100-hour inspections. (1) Each person performing an annual or 100-hour inspection shall use a checklist while performing the inspection. The checklist may be of the person's own design, one provided by the manufacturer of the equipment being inspected or one obtained from another source. This checklist must include the scope and detail of the items contained in appendix D to this part and paragraph (b) of this section.
(2) Each person approving a reciprocating-engine-powered aircraft for return to service after an annual or 100-hour inspection shall, before that approval, run the aircraft engine or engines to determine satisfactory performance in accordance with the manufacturer's recommendations of—
(i) Power output (static and idle r.p.m.);
(ii) Magnetos;
(iii) Fuel and oil pressure; and
(iv) Cylinder and oil temperature.
(3) Each person approving a turbine-engine-powered aircraft for return to service after an annual, 100-hour, or progressive inspection shall, before that approval, run the aircraft engine or engines to determine satisfactory performance in accordance with the manufacturer's recommendations.
(d) Progressive inspection. (1) Each person performing a progressive inspection shall, at the start of a progressive inspection system, inspect the aircraft completely. After this initial inspection, routine and detailed inspections must be conducted as prescribed in the progressive inspection schedule. Routine inspections consist of visual examination or check of the appliances, the aircraft, and its components and systems, insofar as practicable without disassembly. Detailed inspections consist of a thorough examination of the appliances, the aircraft, and its components and systems, with such disassembly as is necessary. For the purposes of this subparagraph, the overhaul of a component or system is considered to be a detailed inspection.
(2) If the aircraft is away from the station where inspections are normally conducted, an appropriately rated mechanic, a certificated repair station, or the manufacturer of the aircraft may perform inspections in accordance with the procedures and using the forms of the person who would otherwise perform the inspection.
Each person performing an inspection or other maintenance specified in an Airworthiness Limitations section of a manufacturer's maintenance manual or Instructions for Continued Airworthiness shall perform the inspection or other maintenance in accordance with that section, or in accordance with operations specifications approved by the Administrator under part 121 or 135, or an inspection program approved under § 91.409(e).
(a) Definitions. For purposes of this section:
Aeronautical product means any civil aircraft or airframe, aircraft engine, propeller, appliance, component, or part to be installed thereon.
Canadian aeronautical product means any aeronautical product under airworthiness regulation by Transport Canada Civil Aviation.
U.S. aeronautical product means any aeronautical product under airworthiness regulation by the FAA.
(b) Applicability. This section does not apply to any U.S. aeronautical products maintained or altered under any bilateral agreement made between Canada and any country other than the United States.
(c) Authorized persons. (1) A person holding a valid Transport Canada Civil Aviation Maintenance Engineer license and appropriate ratings may, with respect to a U.S.-registered aircraft located in Canada, perform maintenance, preventive maintenance, and alterations in accordance with the requirements of paragraph (d) of this section and approve the affected aircraft for return to service in accordance with the requirements of paragraph (e) of this section.
(2) A Transport Canada Civil Aviation Approved Maintenance Organization (AMO) holding appropriate ratings may, with respect to a U.S.-registered aircraft or other U.S. aeronautical products located in Canada, perform maintenance, preventive maintenance, and alterations in accordance with the requirements of paragraph (d) of this section and approve the affected products for return to service in accordance with the requirements of paragraph (e) of this section.
(d) Performance requirements. A person authorized in paragraph (c) of this section may perform maintenance (including any inspection required by Sec. 91.409 of this chapter, except an annual inspection), preventive maintenance, and alterations, provided—
(1) The person performing the work is authorized by Transport Canada Civil Aviation to perform the same type of work with respect to Canadian aeronautical products;
(2) The maintenance, preventive maintenance, or alteration is performed in accordance with a Bilateral Aviation Safety Agreement between the United States and Canada and associated Maintenance Implementation Procedures that provide a level of safety equivalent to that provided by the provisions of this chapter;
(3) The maintenance, preventive maintenance, or alteration is performed such that the affected product complies with the applicable requirements of part 36 of this chapter; and
(4) The maintenance, preventive maintenance, or alteration is recorded in accordance with a Bilateral Aviation Safety Agreement between the United States and Canada and associated Maintenance Implementation Procedures that provide a level of safety equivalent to that provided by the provisions of this chapter.
(e) Approval requirements. (1) To return an affected product to service, a person authorized in paragraph (c) of this section must approve (certify) maintenance, preventive maintenance, and alterations performed under this section, except that an Aircraft Maintenance Engineer may not approve a major repair or major alteration.
(2) An AMO whose system of quality control for the maintenance, preventive maintenance, alteration, and inspection of aeronautical products has been approved by Transport Canada Civil Aviation, or an authorized employee performing work for such an AMO, may approve (certify) a major repair or major alteration performed under this section if the work was performed in accordance with technical data approved by the FAA.
(f) No person may operate in air commerce an aircraft, airframe, aircraft engine, propeller, or appliance on which maintenance, preventive maintenance, or alteration has been performed under this section unless it has been approved for return to service by a person authorized in this section.
(a) Major alterations—(1) Airframe major alterations. Alterations of the following parts and alterations of the following types, when not listed in the aircraft specifications issued by the FAA, are airframe major alterations:
(i) Wings.
(ii) Tail surfaces.
(iii) Fuselage.
(iv) Engine mounts.
(v) Control system.
(vi) Landing gear.
(vii) Hull or floats.
(viii) Elements of an airframe including spars, ribs, fittings, shock absorbers, bracing, cowling, fairings, and balance weights.
(ix) Hydraulic and electrical actuating system of components.
(x) Rotor blades.
(xi) Changes to the empty weight or empty balance which result in an increase in the maximum certificated weight or center of gravity limits of the aircraft.
(xii) Changes to the basic design of the fuel, oil, cooling, heating, cabin pressurization, electrical, hydraulic, de-icing, or exhaust systems.
(xiii) Changes to the wing or to fixed or movable control surfaces which affect flutter and vibration characteristics.
(2) Powerplant major alterations. The following alterations of a powerplant when not listed in the engine specifications issued by the FAA, are powerplant major alterations.
(i) Conversion of an aircraft engine from one approved model to another, involving any changes in compression ratio, propeller reduction gear, impeller gear ratios or the substitution of major engine parts which requires extensive rework and testing of the engine.
(ii) Changes to the engine by replacing aircraft engine structural parts with parts not supplied by the original manufacturer or parts not specifically approved by the Administrator.
(iii) Installation of an accessory which is not approved for the engine.
(iv) Removal of accessories that are listed as required equipment on the aircraft or engine specification.
(v) Installation of structural parts other than the type of parts approved for the installation.
(vi) Conversions of any sort for the purpose of using fuel of a rating or grade other than that listed in the engine specifications.
(3) Propeller major alterations. The following alterations of a propeller when not authorized in the propeller specifications issued by the FAA are propeller major alterations:
(i) Changes in blade design.
(ii) Changes in hub design.
(iii) Changes in the governor or control design.
(iv) Installation of a propeller governor or feathering system.
(v) Installation of propeller de-icing system.
(vi) Installation of parts not approved for the propeller.
(4) Appliance major alterations. Alterations of the basic design not made in accordance with recommendations of the appliance manufacturer or in accordance with an FAA Airworthiness Directive are appliance major alterations. In addition, changes in the basic design of radio communication and navigation equipment approved under type certification or a Technical Standard Order that have an effect on frequency stability, noise level, sensitivity, selectivity, distortion, spurious radiation, AVC characteristics, or ability to meet environmental test conditions and other changes that have an effect on the performance of the equipment are also major alterations.
(b) Major repairs—(1) Airframe major repairs. Repairs to the following parts of an airframe and repairs of the following types, involving the strengthening, reinforcing, splicing, and manufacturing of primary structural members or their replacement, when replacement is by fabrication such as riveting or welding, are airframe major repairs.
(i) Box beams.
(ii) Monocoque or semimonocoque wings or control surfaces.
(iii) Wing stringers or chord members.
(iv) Spars.
(v) Spar flanges.
(vi) Members of truss-type beams.
(vii) Thin sheet webs of beams.
(viii) Keel and chine members of boat hulls or floats.
(ix) Corrugated sheet compression members which act as flange material of wings or tail surfaces.
(x) Wing main ribs and compression members.
(xi) Wing or tail surface brace struts.
(xii) Engine mounts.
(xiii) Fuselage longerons.
(xiv) Members of the side truss, horizontal truss, or bulkheads.
(xv) Main seat support braces and brackets.
(xvi) Landing gear brace struts.
(xvii) Axles.
(xviii) Wheels.
(xix) Skis, and ski pedestals.
(xx) Parts of the control system such as control columns, pedals, shafts, brackets, or horns.
(xxi) Repairs involving the substitution of material.
(xxii) The repair of damaged areas in metal or plywood stressed covering exceeding six inches in any direction.
(xxiii) The repair of portions of skin sheets by making additional seams.
(xxiv) The splicing of skin sheets.
(xxv) The repair of three or more adjacent wing or control surface ribs or the leading edge of wings and control surfaces, between such adjacent ribs.
(xxvi) Repair of fabric covering involving an area greater than that required to repair two adjacent ribs.
(xxvii) Replacement of fabric on fabric covered parts such as wings, fuselages, stabilizers, and control surfaces.
(xxviii) Repairing, including rebottoming, of removable or integral fuel tanks and oil tanks.
(2) Powerplant major repairs. Repairs of the following parts of an engine and repairs of the following types, are powerplant major repairs:
(i) Separation or disassembly of a crankcase or crankshaft of a reciprocating engine equipped with an integral supercharger.
(ii) Separation or disassembly of a crankcase or crankshaft of a reciprocating engine equipped with other than spur-type propeller reduction gearing.
(iii) Special repairs to structural engine parts by welding, plating, metalizing, or other methods.
(3) Propeller major repairs. Repairs of the following types to a propeller are propeller major repairs:
(i) Any repairs to, or straightening of steel blades.
(ii) Repairing or machining of steel hubs.
(iii) Shortening of blades.
(iv) Retipping of wood propellers.
(v) Replacement of outer laminations on fixed pitch wood propellers.
(vi) Repairing elongated bolt holes in the hub of fixed pitch wood propellers.
(vii) Inlay work on wood blades.
(viii) Repairs to composition blades.
(ix) Replacement of tip fabric.
(x) Replacement of plastic covering.
(xi) Repair of propeller governors.
(xii) Overhaul of controllable pitch propellers.
(xiii) Repairs to deep dents, cuts, scars, nicks, etc., and straightening of aluminum blades.
(xiv) The repair or replacement of internal elements of blades.
(4) Appliance major repairs. Repairs of the following types to appliances are appliance major repairs:
(i) Calibration and repair of instruments.
(ii) Calibration of radio equipment.
(iii) Rewinding the field coil of an electrical accessory.
(iv) Complete disassembly of complex hydraulic power valves.
(v) Overhaul of pressure type carburetors, and pressure type fuel, oil and hydraulic pumps.
(c) Preventive maintenance. Preventive maintenance is limited to the following work, provided it does not involve complex assembly operations:
(1) Removal, installation, and repair of landing gear tires.
(2) Replacing elastic shock absorber cords on landing gear.
(3) Servicing landing gear shock struts by adding oil, air, or both.
(4) Servicing landing gear wheel bearings, such as cleaning and greasing.
(5) Replacing defective safety wiring or cotter keys.
(6) Lubrication not requiring disassembly other than removal of nonstructural items such as cover plates, cowlings, and fairings.
(7) Making simple fabric patches not requiring rib stitching or the removal of structural parts or control surfaces. In the case of balloons, the making of small fabric repairs to envelopes (as defined in, and in accordance with, the balloon manufacturers' instructions) not requiring load tape repair or replacement.
(8) Replenishing hydraulic fluid in the hydraulic reservoir.
(9) Refinishing decorative coating of fuselage, balloon baskets, wings tail group surfaces (excluding balanced control surfaces), fairings, cowlings, landing gear, cabin, or cockpit interior when removal or disassembly of any primary structure or operating system is not required.
(10) Applying preservative or protective material to components where no disassembly of any primary structure or operating system is involved and where such coating is not prohibited or is not contrary to good practices.
(11) Repairing upholstery and decorative furnishings of the cabin, cockpit, or balloon basket interior when the repairing does not require disassembly of any primary structure or operating system or interfere with an operating system or affect the primary structure of the aircraft.
(12) Making small simple repairs to fairings, nonstructural cover plates, cowlings, and small patches and reinforcements not changing the contour so as to interfere with proper air flow.
(13) Replacing side windows where that work does not interfere with the structure or any operating system such as controls, electrical equipment, etc.
(14) Replacing safety belts.
(15) Replacing seats or seat parts with replacement parts approved for the aircraft, not involving disassembly of any primary structure or operating system.
(16) Trouble shooting and repairing broken circuits in landing light wiring circuits.
(17) Replacing bulbs, reflectors, and lenses of position and landing lights.
(18) Replacing wheels and skis where no weight and balance computation is involved.
(19) Replacing any cowling not requiring removal of the propeller or disconnection of flight controls.
(20) Replacing or cleaning spark plugs and setting of spark plug gap clearance.
(21) Replacing any hose connection except hydraulic connections.
(22) Replacing prefabricated fuel lines.
(23) Cleaning or replacing fuel and oil strainers or filter elements.
(24) Replacing and servicing batteries.
(25) Cleaning of balloon burner pilot and main nozzles in accordance with the balloon manufacturer's instructions.
(26) Replacement or adjustment of nonstructural standard fasteners incidental to operations.
(27) The interchange of balloon baskets and burners on envelopes when the basket or burner is designated as interchangeable in the balloon type certificate data and the baskets and burners are specifically designed for quick removal and installation.
(28) The installations of anti-misfueling devices to reduce the diameter of fuel tank filler openings provided the specific device has been made a part of the aircraft type certificiate data by the aircraft manufacturer, the aircraft manufacturer has provided FAA-approved instructions for installation of the specific device, and installation does not involve the disassembly of the existing tank filler opening.
(29) Removing, checking, and replacing magnetic chip detectors.
(30) The inspection and maintenance tasks prescribed and specifically identified as preventive maintenance in a primary category aircraft type certificate or supplemental type certificate holder's approved special inspection and preventive maintenance program when accomplished on a primary category aircraft provided:
(i) They are performed by the holder of at least a private pilot certificate issued under part 61 of this chapter who is the registered owner (including co-owners) of the affected aircraft and who holds a certificate of competency for the affected aircraft (1) issued by the holder of the production certificate for that primary category aircraft that has a special training program approved under § 21.24 of this subchapter; or (2) issued by another entity that has a course approved by the Administrator; and
(ii) The inspections and maintenance tasks are performed in accordance with instructions contained by the special inspection and preventive maintenance program approved as part of the aircraft's type design or supplemental type design.
(31) Removing and replacing self-contained, front instrument panel-mounted navigation and communication devices that employ tray-mounted connectors that connect the unit when the unit is installed into the instrument panel, (excluding automatic flight control systems, transponders, and microwave frequency distance measuring equipment (DME)). The approved unit must be designed to be readily and repeatedly removed and replaced, and pertinent instructions must be provided. Prior to the unit's intended use, and operational check must be performed in accordance with the applicable sections of part 91 of this chapter.
(a) Except as provided in paragraphs (b), (c), and (d) of this appendix, each person performing a major repair or major alteration shall—
(1) Execute FAA Form 337 at least in duplicate;
(2) Give a signed copy of that form to the aircraft owner; and
(3) Forward a copy of that form to the FAA Aircraft Registration Branch in Oklahoma City, Oklahoma, within 48 hours after the aircraft, airframe, aircraft engine, propeller, or appliance is approved for return to service.
(b) For major repairs made in accordance with a manual or specifications acceptable to the Administrator, a certificated repair station may, in place of the requirements of paragraph (a)—
(1) Use the customer's work order upon which the repair is recorded;
(2) Give the aircraft owner a signed copy of the work order and retain a duplicate copy for at least two years from the date of approval for return to service of the aircraft, airframe, aircraft engine, propeller, or appliance;
(3) Give the aircraft owner a maintenance release signed by an authorized representative of the repair station and incorporating the following information:
(i) Identity of the aircraft, airframe, aircraft engine, propeller or appliance.
(ii) If an aircraft, the make, model, serial number, nationality and registration marks, and location of the repaired area.
(iii) If an airframe, aircraft engine, propeller, or appliance, give the manufacturer's name, name of the part, model, and serial numbers (if any); and
(4) Include the following or a similarly worded statement—
“The aircraft, airframe, aircraft engine, propeller, or appliance identified above was repaired and inspected in accordance with current Regulations of the Federal Aviation Agency and is approved for return to service.
Pertinent details of the repair are on file at this repair station under Order No. ___,
(c) Except as provided in paragraph (d) of this appendix, for a major repair or major alteration made by a person authorized in § 43.17, the person who performs the major repair or major alteration and the person authorized by § 43.17 to approve that work shall execute an FAA Form 337 at least in duplicate. A completed copy of that form shall be—
(1) Given to the aircraft owner; and
(2) Forwarded to the Federal Aviation Administration, Aircraft Registration Branch, Post Office Box 25504, Oklahoma City, OK 73125, within 48 hours after the work is inspected.
(d) For extended-range fuel tanks installed within the passenger compartment or a baggage compartment, the person who performs the work and the person authorized to approve the work by § 43.7 shall execute an FAA Form 337 in at least triplicate. A completed copy of that form shall be—
(1) Placed on board the aircraft as specified in § 91.417 of this chapter;
(2) Given to the aircraft owner; and
(3) Forwarded to the Federal Aviation Administration, Aircraft Registration Branch, , Post Office Box 25724, Oklahoma City, OK 73125, within 48 hours after the work is inspected.
(a) Each person performing an annual or 100-hour inspection shall, before that inspection, remove or open all necessary inspection plates, access doors, fairing, and cowling. He shall thoroughly clean the aircraft and aircraft engine.
(b) Each person performing an annual or 100-hour inspection shall inspect (where applicable) the following components of the fuselage and hull group:
(1) Fabric and skin—for deterioration, distortion, other evidence of failure, and defective or insecure attachment of fittings.
(2) Systems and components—for improper installation, apparent defects, and unsatisfactory operation.
(3) Envelope, gas bags, ballast tanks, and related parts—for poor condition.
(c) Each person performing an annual or 100-hour inspection shall inspect (where applicable) the following components of the cabin and cockpit group:
(1) Generally—for uncleanliness and loose equipment that might foul the controls.
(2) Seats and safety belts—for poor condition and apparent defects.
(3) Windows and windshields—for deterioration and breakage.
(4) Instruments—for poor condition, mounting, marking, and (where practicable) improper operation.
(5) Flight and engine controls—for improper installation and improper operation.
(6) Batteries—for improper installation and improper charge.
(7) All systems—for improper installation, poor general condition, apparent and obvious defects, and insecurity of attachment.
(d) Each person performing an annual or 100-hour inspection shall inspect (where applicable) components of the engine and nacelle group as follows:
(1) Engine section—for visual evidence of excessive oil, fuel, or hydraulic leaks, and sources of such leaks.
(2) Studs and nuts—for improper torquing and obvious defects.
(3) Internal engine—for cylinder compression and for metal particles or foreign matter on screens and sump drain plugs. If there is weak cylinder compression, for improper internal condition and improper internal tolerances.
(4) Engine mount—for cracks, looseness of mounting, and looseness of engine to mount.
(5) Flexible vibration dampeners—for poor condition and deterioration.
(6) Engine controls—for defects, improper travel, and improper safetying.
(7) Lines, hoses, and clamps—for leaks, improper condition and looseness.
(8) Exhaust stacks—for cracks, defects, and improper attachment.
(9) Accessories—for apparent defects in security of mounting.
(10) All systems—for improper installation, poor general condition, defects, and insecure attachment.
(11) Cowling—for cracks, and defects.
(e) Each person performing an annual or 100-hour inspection shall inspect (where applicable) the following components of the landing gear group:
(1) All units—for poor condition and insecurity of attachment.
(2) Shock absorbing devices—for improper oleo fluid level.
(3) Linkages, trusses, and members—for undue or excessive wear fatigue, and distortion.
(4) Retracting and locking mechanism—for improper operation.
(5) Hydraulic lines—for leakage.
(6) Electrical system—for chafing and improper operation of switches.
(7) Wheels—for cracks, defects, and condition of bearings.
(8) Tires—for wear and cuts.
(9) Brakes—for improper adjustment.
(10) Floats and skis—for insecure attachment and obvious or apparent defects.
(f) Each person performing an annual or 100-hour inspection shall inspect (where applicable) all components of the wing and center section assembly for poor general condition, fabric or skin deterioration, distortion, evidence of failure, and insecurity of attachment.
(g) Each person performing an annual or 100-hour inspection shall inspect (where applicable) all components and systems that make up the complete empennage assembly for poor general condition, fabric or skin deterioration, distortion, evidence of failure, insecure attachment, improper component installation, and improper component operation.
(h) Each person performing an annual or 100-hour inspection shall inspect (where applicable) the following components of the propeller group:
(1) Propeller assembly—for cracks, nicks, binds, and oil leakage.
(2) Bolts—for improper torquing and lack of safetying.
(3) Anti-icing devices—for improper operations and obvious defects.
(4) Control mechanisms—for improper operation, insecure mounting, and restricted travel.
(i) Each person performing an annual or 100-hour inspection shall inspect (where applicable) the following components of the radio group:
(1) Radio and electronic equipment—for improper installation and insecure mounting.
(2) Wiring and conduits—for improper routing, insecure mounting, and obvious defects.
(3) Bonding and shielding—for improper installation and poor condition.
(4) Antenna including trailing antenna—for poor condition, insecure mounting, and improper operation.
(j) Each person performing an annual or 100-hour inspection shall inspect (where applicable) each installed miscellaneous item that is not otherwise covered by this listing for improper installation and improper operation.
Each person performing the altimeter system tests and inspections required by § 91.411 of this chapter must comply with the following:
(a) Static pressure system:
(1) Ensure freedom from entrapped moisture and restrictions.
(2) Perform a proof test to demonstrate the integrity of the static pressure system in a manner acceptable to the Administrator. For airplanes certificated under part 25 of this chapter, determine that leakage is within the tolerances established by § 25.1325.
(3) Determine that the static port heater, if installed, is operative.
(4) Ensure that no alterations or deformations of the airframe surface have been made that would affect the relationship between air pressure in the static pressure system and true ambient static air pressure for any flight condition.
(b) Altimeter:
(1) Test by an appropriately rated repair facility in accordance with the following subparagraphs. Unless otherwise specified, each test for performance may be conducted with the instrument subjected to vibration. When tests are conducted with the temperature substantially different from ambient temperature of approximately 25 degrees C., allowance shall be made for the variation from the specified condition.
(i) Scale error. With the barometric pressure scale at 29.92 inches of mercury, the altimeter shall be subjected successively to pressures corresponding to the altitude specified in Table I up to the maximum normally expected operating altitude of the airplane in which the altimeter is to be installed. The reduction in pressure shall be made at a rate not in excess of 20,000 feet per minute to within approximately 2,000 feet of the test point. The test point shall be approached at a rate compatible with the test equipment. The altimeter shall be kept at the pressure corresponding to each test point for at least 1 minute, but not more than 10 minutes, before a reading is taken. The error at all test points must not exceed the tolerances specified in Table I.
(ii) Hysteresis. The hysteresis test shall begin not more than 15 minutes after the altimeter's initial exposure to the pressure corresponding to the upper limit of the scale error test prescribed in subparagraph (i); and while the altimeter is at this pressure, the hysteresis test shall commence. Pressure shall be increased at a rate simulating a descent in altitude at the rate of 5,000 to 20,000 feet per minute until within 3,000 feet of the first test point (50 percent of maximum altitude). The test point shall then be approached at a rate of approximately 3,000 feet per minute. The altimeter shall be kept at this pressure for at least 5 minutes, but not more than 15 minutes, before the test reading is taken. After the reading has been taken, the pressure shall be increased further, in the same manner as before, until the pressure corresponding to the second test point (40 percent of maximum altitude) is reached. The altimeter shall be kept at this pressure for at least 1 minute, but not more than 10 minutes, before the test reading is taken. After the reading has been taken, the pressure shall be increased further, in the same manner as before, until atmospheric pressure is reached. The reading of the altimeter at either of the two test points shall not differ by more than the tolerance specified in Table II from the reading of the altimeter for the corresponding altitude recorded during the scale error test prescribed in paragraph (b)(i).
(iii) After effect. Not more than 5 minutes after the completion of the hysteresis test prescribed in paragraph (b)(ii), the reading of the altimeter (corrected for any change in atmospheric pressure) shall not differ from the original atmospheric pressure reading by more than the tolerance specified in Table II.
(iv) Friction. The altimeter shall be subjected to a steady rate of decrease of pressure approximating 750 feet per minute. At each altitude listed in Table III, the change in reading of the pointers after vibration shall not exceed the corresponding tolerance listed in Table III.
(v) Case leak. The leakage of the altimeter case, when the pressure within it corresponds to an altitude of 18,000 feet, shall not change the altimeter reading by more than the tolerance shown in Table II during an interval of 1 minute.
(vi) Barometric scale error. At constant atmospheric pressure, the barometric pressure scale shall be set at each of the pressures (falling within its range of adjustment) that are listed in Table IV, and shall cause the pointer to indicate the equivalent altitude difference shown in Table IV with a tolerance of 25 feet.
(2) Altimeters which are the air data computer type with associated computing systems, or which incorporate air data correction internally, may be tested in a manner and to specifications developed by the manufacturer which are acceptable to the Administrator.
(c) Automatic Pressure Altitude Reporting Equipment and ATC Transponder System Integration Test. The test must be conducted by an appropriately rated person under the conditions specified in paragraph (a). Measure the automatic pressure altitude at the output of the installed ATC transponder when interrogated on Mode C at a sufficient number of test points to ensure that the altitude reporting equipment, altimeters, and ATC transponders perform their intended functions as installed in the aircraft. The difference between the automatic reporting output and the altitude displayed at the altimeter shall not exceed 125 feet.
(d) Records: Comply with the provisions of § 43.9 of this chapter as to content, form, and disposition of the records. The person performing the altimeter tests shall record on the altimeter the date and maximum altitude to which the altimeter has been tested and the persons approving the airplane for return to service shall enter that data in the airplane log or other permanent record.
Table I
| Altitude | Equivalent pressure (inches of mercury) | Tolerance ±(feet) |
|---|---|---|
| −1,000 | 31.018 | 20 |
| 0 | 29.921 | 20 |
| 500 | 29.385 | 20 |
| 1,000 | 28.856 | 20 |
| 1,500 | 28.335 | 25 |
| 2,000 | 27.821 | 30 |
| 3,000 | 26.817 | 30 |
| 4,000 | 25.842 | 35 |
| 6,000 | 23.978 | 40 |
| 8,000 | 22.225 | 60 |
| 10,000 | 20.577 | 80 |
| 12,000 | 19.029 | 90 |
| 14,000 | 17.577 | 100 |
| 16,000 | 16.216 | 110 |
| 18,000 | 14.942 | 120 |
| 20,000 | 13.750 | 130 |
| 22,000 | 12.636 | 140 |
| 25,000 | 11.104 | 155 |
| 30,000 | 8.885 | 180 |
| 35,000 | 7.041 | 205 |
| 40,000 | 5.538 | 230 |
| 45,000 | 4.355 | 255 |
| 50,000 | 3.425 | 280 |
Table II—Test Tolerances
| Test | Tolerance (feet) |
|---|---|
| Case Leak Test | ±100 |
| Hysteresis Test: | |
| First Test Point (50 percent of maximum altitude) | 75 |
| Second Test Point (40 percent of maximum altitude) | 75 |
| After Effect Test | 30 |
Table III—Friction
| Altitude (feet) | Tolerance (feet) |
|---|---|
| 1,000 | ±70 |
| 2,000 | 70 |
| 3,000 | 70 |
| 5,000 | 70 |
| 10,000 | 80 |
| 15,000 | 90 |
| 20,000 | 100 |
| 25,000 | 120 |
| 30,000 | 140 |
| 35,000 | 160 |
| 40,000 | 180 |
| 50,000 | 250 |
Table IV—Pressure-Altitude Difference
| Pressure (inches of Hg) | Altitude difference (feet) |
|---|---|
| 28.10 | −1,727 |
| 28.50 | −1,340 |
| 29.00 | −863 |
| 29.50 | −392 |
| 29.92 | 0 |
| 30.50 | + 531 |
| 30.90 | + 893 |
| 30.99 | + 974 |
The ATC transponder tests required by § 91.413 of this chapter may be conducted using a bench check or portable test equipment and must meet the requirements prescribed in paragraphs (a) through (j) of this appendix. If portable test equipment with appropriate coupling to the aircraft antenna system is used, operate the test equipment for ATCRBS transponders at a nominal rate of 235 interrogations per second to avoid possible ATCRBS interference. Operate the test equipment at a nominal rate of 50 Mode S interrogations per second for Mode S. An additional 3 dB loss is allowed to compensate for antenna coupling errors during receiver sensitivity measurements conducted in accordance with paragraph (c)(1) when using portable test equipment.
(a) Radio Reply Frequency:
(1) For all classes of ATCRBS transponders, interrogate the transponder and verify that the reply frequency is 1090 ±3 Megahertz (MHz).
(2) For classes 1B, 2B, and 3B Mode S transponders, interrogate the transponder and verify that the reply frequency is 1090 ±3 MHz.
(3) For classes 1B, 2B, and 3B Mode S transponders that incorporate the optional 1090 ±1 MHz reply frequency, interrogate the transponder and verify that the reply frequency is correct.
(4) For classes 1A, 2A, 3A, and 4 Mode S transponders, interrogate the transponder and verify that the reply frequency is 1090 ±1 MHz.
(b) Suppression: When Classes 1B and 2B ATCRBS Transponders, or Classes 1B, 2B, and 3B Mode S transponders are interrogated Mode 3/A at an interrogation rate between 230 and 1,000 interrogations per second; or when Classes 1A and 2A ATCRBS Transponders, or Classes 1B, 2A, 3A, and 4 Mode S transponders are interrogated at a rate between 230 and 1,200 Mode 3/A interrogations per second:
(1) Verify that the transponder does not respond to more than 1 percent of ATCRBS interrogations when the amplitude of P
(2) Verify that the transponder replies to at least 90 percent of ATCRBS interrogations when the amplitude of the P
(c) Receiver Sensitivity:
(1) Verify that for any class of ATCRBS Transponder, the receiver minimum triggering level (MTL) of the system is −73 ±4 dbm, or that for any class of Mode S transponder the receiver MTL for Mode S format (P6 type) interrogations is −74 ±3 dbm by use of a test set either:
(i) Connected to the antenna end of the transmission line;
(ii) Connected to the antenna terminal of the transponder with a correction for transmission line loss; or
(iii) Utilized radiated signal.
(2) Verify that the difference in Mode 3/A and Mode C receiver sensitivity does not exceed 1 db for either any class of ATCRBS transponder or any class of Mode S transponder.
(d) Radio Frequency (RF) Peak Output Power:
(1) Verify that the transponder RF output power is within specifications for the class of transponder. Use the same conditions as described in (c)(1)(i), (ii), and (iii) above.
(i) For Class 1A and 2A ATCRBS transponders, verify that the minimum RF peak output power is at least 21.0 dbw (125 watts).
(ii) For Class 1B and 2B ATCRBS Transponders, verify that the minimum RF peak output power is at least 18.5 dbw (70 watts).
(iii) For Class 1A, 2A, 3A, and 4 and those Class 1B, 2B, and 3B Mode S transponders that include the optional high RF peak output power, verify that the minimum RF peak output power is at least 21.0 dbw (125 watts).
(iv) For Classes 1B, 2B, and 3B Mode S transponders, verify that the minimum RF peak output power is at least 18.5 dbw (70 watts).
(v) For any class of ATCRBS or any class of Mode S transponders, verify that the maximum RF peak output power does not exceed 27.0 dbw (500 watts).
The tests in (e) through (j) apply only to Mode S transponders.
(e) Mode S Diversity Transmission Channel Isolation: For any class of Mode S transponder that incorporates diversity operation, verify that the RF peak output power transmitted from the selected antenna exceeds the power transmitted from the nonselected antenna by at least 20 db.
(f) Mode S Address: Interrogate the Mode S transponder and verify that it replies only to its assigned address. Use the correct address and at least two incorrect addresses. The interrogations should be made at a nominal rate of 50 interrogations per second.
(g) Mode S Formats: Interrogate the Mode S transponder with uplink formats (UF) for which it is equipped and verify that the replies are made in the correct format. Use the surveillance formats UF = 4 and 5. Verify that the altitude reported in the replies to UF = 4 are the same as that reported in a valid ATCRBS Mode C reply. Verify that the identity reported in the replies to UF = 5 are the same as that reported in a valid ATCRBS Mode 3/A reply. If the transponder is so equipped, use the communication formats UF = 20, 21, and 24.
(h) Mode S All-Call Interrogations: Interrogate the Mode S transponder with the Mode S-only all-call format UF = 11 and verify that the correct address and capability are reported in the replies (downlink format DF = 11).
(i) ATCRBS-Only All-Call Interrogation: Interrogate the Mode S transponder with the ATCRBS-only all-call interrogation (0.8 microsecond P
(j) Squitter: Verify that the Mode S transponder generates a correct acquisition squitter approximately once per second.
(k) Records: Comply with the provisions of § 43.9 of this chapter as to content, form, and disposition of the records.
This part prescribes the requirements for—
(a) Marking products and articles manufactured under—
(1) A type certificate;
(2) A production approval as defined under part 21 of this chapter; and
(3) The provisions of an agreement between the United States and another country or jurisdiction for the acceptance of products and articles; and
(b) Nationality and registration marking of aircraft registered in the United States in accordance with part 47.
No person may mark a product or article in accordance with this subpart unless—
(a) That person produced the product or article —
(1) Under part 21, subpart F, G, K, or O of this chapter; or
(2) For export to the United States under the provisions of an agreement between the United States and another country or jurisdiction for the acceptance of products and articles; and
(b) That product or article conforms to its approved design, and is in a condition for safe operation; and, for a TSO article; that TSO article meets the applicable performance standards.
(a) Aircraft. A manufacturer of aircraft covered under § 21.182 of this chapter must mark each aircraft by attaching a fireproof identification plate that—
(1) Includes the information specified in § 45.13 using an approved method of fireproof marking;
(2) Must be secured in such a manner that it will not likely be defaced or removed during normal service, or lost or destroyed in an accident; and
(3) Except as provided in paragraphs (d) through (h) of this section, must be secured to the aircraft fuselage exterior so that it is legible to a person on the ground, and must be either adjacent to and aft of the rear-most entrance door or on the fuselage surface near the tail surfaces.
(b) Aircraft engines. A manufacturer of an aircraft engine produced under a type certificate or production certificate must mark each engine by attaching a fireproof identification plate. Such plate—
(1) Must include the information specified in § 45.13 using an approved method of fireproof marking;
(2) Must be affixed to the engine at an accessible location; and
(3) Must be secured in such a manner that it will not likely be defaced or removed during normal service, or lost or destroyed in an accident.
(c) Propellers and propeller blades and hubs. Each person who produces a propeller, propeller blade, or propeller hub under a type certificate or production certificate must mark each product or part. Except for a fixed-pitch wooden propeller, the marking must be accomplished using an approved fireproof method. The marking must—
(1) Be placed on a non-critical surface;
(2) Contain the information specified in § 45.13;
(3) Not likely be defaced or removed during normal service; and
(4) Not likely be lost or destroyed in an accident.
(d) Manned free balloons. A manufacturer of manned free balloons must mark each balloon by attaching the identification plate described in paragraph (a) of this section. The plate must be secured to the balloon envelope and must be located, if practicable, where it is legible to the operator when the balloon is inflated. In addition, the basket and heater assembly must be permanently and legibly marked with the manufacturer's name, part number (or equivalent), and serial number (or equivalent).
(e) Aircraft manufactured before March 7, 1988. The owner or operator of an aircraft manufactured before March 7, 1988 must mark the aircraft by attaching the identification plate required by paragraph (a) of this section. The plate must be secured at an accessible exterior or interior location near an entrance, if the model designation and builder's serial number are also displayed on the exterior of the aircraft fuselage. The model designation and builder's serial number must be—
(1) Legible to a person on the ground,
(2) Located either adjacent to and aft of the rear-most entrance door or on the fuselage near the tail surfaces, and
(3) Displayed in such a manner that they are not likely to be defaced or removed during normal service.
(f) For powered parachutes and weight-shift-control aircraft, the identification plate required by paragraph (a) of this section must be secured to the exterior of the aircraft fuselage so that it is legible to a person on the ground.
(g) The identification plate described in paragraph (a) of this section may be secured to the aircraft at an accessible location near an entrance for—
(1) Aircraft produced for—
(i) Operations under part 121 of this chapter,
(ii) Commuter operations (as defined in § 110.2 of this chapter), or
(iii) Export.
(2) Aircraft operating under part 121 of this chapter and under an FAA-approved continuous airworthiness maintenance program; or
(3) Aircraft operating in commuter air carrier operations (as defined in § 110.2 of this chapter) under an FAA-approved continuous airworthiness maintenance program.
(h) Gliders. Paragraphs (a)(3) and (e) of this section do not apply to gliders.
(a) The identification required by § 45.11 (a) through (c) must include the following information:
(1) Builder's name.
(2) Model designation.
(3) Builder's serial number.
(4) Type certificate number, if any.
(5) Production certificate number, if any.
(6) For aircraft engines, the established rating.
(7) On or after January 1, 1984, for aircraft engines specified in part 34 of this chapter, the date of manufacture as defined in § 34.1 of this chapter, and a designation, approved by the FAA, that indicates compliance with the applicable exhaust emission provisions of part 34 of this chapter and 40 CFR part 87. Approved designations include COMPLY, EXEMPT, and NON-US, as appropriate. After December 31, 2012, approved designations also include EXEMPT NEW, and EXCEPTED SPARE, as appropriate.
(i) The designation COMPLY indicates that the engine is in compliance with all of the applicable exhaust emissions provisions of part 34. For any engine with a rated thrust in excess of 26.7 kilonewtons (6000 pounds) which is not used or intended for use in commercial operations and which is in compliance with the applicable provisions of part 34, but does not comply with the hydrocarbon emissions standard of § 34.21(d), the statement “May not be used as a commercial aircraft engine” must be noted in the permanent powerplant record that accompanies the engine at the time of manufacture of the engine.
(ii) The designation EXEMPT indicates that the engine has been granted an exemption pursuant to the applicable provision of § 34.7 (a)(1), (a)(4), (b), (c), or (d), and an indication of the type of exemption and the reason for the grant must be noted in the permanent powerplant record that accompanies the engine from the time of manufacture of the engine.
(iii) The designation NON-US indicates that the engine has been granted an exemption pursuant to § 34.7(a)(1), and the notation “This aircraft may not be operated within the United States”, or an equivalent notation approved by the FAA, must be inserted in the aircraft logbook, or alternate equivalent document, at the time of installation of the engine.
(iv) The designation EXEMPT NEW indicates that the engine has been granted an exemption pursuant to the applicable provision of § 34.7(h) of this chapter; the designation must be noted in the permanent powerplant record that accompanies the engine from the time of its manufacture.
(v) The designation EXCEPTED SPARE indicates that the engine has been excepted pursuant to the applicable provision of § 34.9(b) of this chapter; the designation must be noted in the permanent powerplant record that accompanies the engine from the time of its manufacture.
(8) Any other information the FAA finds appropriate.
(b) Except as provided in paragraph (d)(1) of this section, no person may remove, change, or place identification information required by paragraph (a) of this section, on any aircraft, aircraft engine, propeller, propeller blade, or propeller hub, without the approval of the FAA.
(c) Except as provided in paragraph (d)(2) of this section, no person may remove or install any identification plate required by § 45.11, without the approval of the FAA.
(d) Persons performing work under the provisions of Part 43 of this chapter may, in accordance with methods, techniques, and practices acceptable to the FAA—
(1) Remove, change, or place the identification information required by paragraph (a) of this section on any aircraft, aircraft engine, propeller, propeller blade, or propeller hub; or
(2) Remove an identification plate required by § 45.11 when necessary during maintenance operations.
(e) No person may install an identification plate removed in accordance with paragraph (d)(2) of this section on any aircraft, aircraft engine, propeller, propeller blade, or propeller hub other than the one from which it was removed.
(a) PMA articles. The manufacturer of a PMA article must permanently and legibly mark—
(1) Each PMA article, with the PMA holder's name, trademark, symbol, or other FAA approved identification and part number; and
(2) The letters “FAA-PMA”.
(b) TSO articles. The manufacturer of a TSO article must permanently and legibly mark —
(1) Each TSO article with the TSO holder's name, trademark, symbol, or other FAA approved identification and part number; and
(2) Each TSO article, unless otherwise specified in the applicable TSO, with the TSO number and letter of designation, all markings specifically required by the applicable TSO, and the serial number or the date of manufacture of the article or both.
(c) Critical parts. Each person who manufactures a part for which a replacement time, inspection interval, or related procedure is specified in the Airworthiness Limitations section of a manufacturer's maintenance manual or Instructions for Continued Airworthiness must permanently and legibly mark that part with a serial number (or equivalent) unique to that part in addition to the other applicable requirements of this section.
(d) If the FAA finds a part or article is too small or otherwise impractical to mark with any of the information required by this part, the manufacturer must attach that information to the part or its container.
When requested by a person required to comply with § 43.10 of this chapter, the holder of a type certificate or design approval for a life-limited part must provide marking instructions, or must state that the part cannot be practicably marked without compromising its integrity.
(a) Except as provided in § 45.22, no person may operate a U.S.-registered aircraft unless that aircraft displays nationality and registration marks in accordance with the requirements of this section and §§ 45.23 through 45.33.
(b) Unless otherwise authorized by the FAA, no person may place on any aircraft a design, mark, or symbol that modifies or confuses the nationality and registration marks.
(c) Aircraft nationality and registration marks must—
(1) Except as provided in paragraph (d) of this section, be painted on the aircraft or affixed by any other means insuring a similar degree of permanence;
(2) Have no ornamentation;
(3) Contrast in color with the background; and
(4) Be legible.
(d) The aircraft nationality and registration marks may be affixed to an aircraft with readily removable material if—
(1) It is intended for immediate delivery to a foreign purchaser;
(2) It is bearing a temporary registration number; or
(3) It is marked temporarily to meet the requirements of § 45.22(c)(1) or § 45.29(h) of this part, or both.
(a) When display of aircraft nationality and registration marks in accordance with §§ 45.21 and 45.23 through 45.33 would be inconsistent with exhibition of that aircraft, a U.S.-registered aircraft may be operated without displaying those marks anywhere on the aircraft if:
(1) It is operated for the purpose of exhibition, including a motion picture or television production, or an airshow;
(2) Except for practice and test fights necessary for exhibition purposes, it is operated only at the location of the exhibition, between the exhibition locations, and between those locations and the base of operations of the aircraft; and
(3) For each flight in the United States:
(i) It is operated with the prior approval of the responsible Flight Standards office, in the case of a flight within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for the takeoff airport, or within 4.4 nautical miles of that airport if it is within Class G airspace; or
(ii) It is operated under a flight plan filed under either § 91.153 or § 91.169 of this chapter describing the marks it displays, in the case of any other flight.
(b) A small U.S.-registered aircraft built at least 30 years ago or a U.S.-registered aircraft for which an experimental certificate has been issued under § 21.191(d) or 21.191(g) for operation as an exhibition aircraft or as an amateur-built aircraft and which has the same external configuration as an aircraft built at least 30 years ago may be operated without displaying marks in accordance with §§ 45.21 and 45.23 through 45.33 if:
(1) It displays in accordance with § 45.21(c) marks at least 2 inches high on each side of the fuselage or vertical tail surface consisting of the Roman capital letter “N” followed by:
(i) The U.S. registration number of the aircraft; or
(ii) The symbol appropriate to the airworthiness certificate of the aircraft (“C”, standard; “R”, restricted; “L”, limited; or “X”, experimental) followed by the U.S. registration number of the aircraft; and
(2) It displays no other mark that begins with the letter “N” anywhere on the aircraft, unless it is the same mark that is displayed under paragraph (b)(1) of this section.
(c) No person may operate an aircraft under paragraph (a) or (b) of this section—
(1) In an ADIZ or DEWIZ described in Part 99 of this chapter unless it temporarily bears marks in accordance with §§ 45.21 and 45.23 through 45.33;
(2) In a foreign country unless that country consents to that operation; or
(3) In any operation conducted under Part 121, 133, 135, or 137 of this chapter.
(d) If, due to the configuration of an aircraft, it is impossible for a person to mark it in accordance with §§ 45.21 and 45.23 through 45.33, he may apply to the FAA for a different marking procedure.
(a) Each operator of an aircraft must display on that aircraft marks consisting of the Roman capital letter “N” (denoting United States registration) followed by the registration number of the aircraft. Each suffix letter used in the marks displayed must also be a Roman capital letter.
(b) Except for unmanned aircraft, when marks include only the Roman capital letter “N” and the registration number is displayed on limited, restricted, experimental, or provisionally certificated aircraft, the operator must also display on that aircraft near each entrance to the cabin, cockpit, or pilot station, in letters not less than 2 inches nor more than 6 inches high, the words “limited,” “restricted,” “experimental,” or “provisional,” as applicable.
(a) The operator of a fixed-wing aircraft must display the required marks on either the vertical tail surfaces or the sides of the fuselage, except as provided in § 45.29(f).
(b) The marks required by paragraph (a) of this section must be displayed as follows:
(1) If displayed on the vertical tail surfaces, horizontally on both surfaces, horizontally on both surfaces of a single vertical tail or on the outer surfaces of a multivertical tail. However, on aircraft on which marks at least 3 inches high may be displayed in accordance with § 45.29(b)(1), the marks may be displayed vertically on the vertical tail surfaces.
(2) If displayed on the fuselage surfaces, horizontally on both sides of the fuselage between the trailing edge of the wing and the leading edge of the horizontal stabilizer. However, if engine pods or other appurtenances are located in this area and are an integral part of the fuselage side surfaces, the operator may place the marks on those pods or appurtenances.
(a) Rotorcraft. Each operator of a rotorcraft must display on that rotorcraft horizontally on both surfaces of the cabin, fuselage, boom, or tail the marks required by § 45.23.
(b) Airships. Each operator of an airship must display on that airship the marks required by § 45.23, horizontally on—
(1) The upper surface of the right horizontal stabilizer and on the under surface of the left horizontal stabilizer with the top of the marks toward the leading edge of each stabilizer; and
(2) Each side of the bottom half of the vertical stabilizer.
(c) Spherical balloons. Each operator of a spherical balloon must display the marks required by § 45.23 in two places diametrically opposite and near the maximum horizontal circumference of that balloon.
(d) Nonspherical balloons. Each operator of a nonspherical balloon must display the marks required by § 45.23 on each side of the balloon near its maximum cross section and immediately above either the rigging band or the points of attachment of the basket or cabin suspension cables.
(e) Powered parachutes and weight-shift-control aircraft. Each operator of a powered parachute or a weight-shift-control aircraft must display the marks required by §§ 45.23 and 45.29(b)(2) of this part. The marks must be displayed in two diametrically opposite positions on the fuselage, a structural member, or a component of the aircraft and must be visible from the side of the aircraft.
(a) Except as provided in paragraph (f) of this section, each operator of an aircraft must display marks on the aircraft meeting the size requirements of this section.
(b) Height. Except as provided in paragraph (h) of this part, the nationality and registration marks must be of equal height and on—
(1) Fixed-wing aircraft, must be at least 12 inches high, except that:
(i) An aircraft displaying marks at least 2 inches high before November 1, 1981 and an aircraft manufactured after November 2, 1981, but before January 1, 1983, may display those marks until the aircraft is repainted or the marks are repainted, restored, or changed;
(ii) Marks at least 3 inches high may be displayed on a glider;
(iii) Marks at least 3 inches high may be displayed on an aircraft for which the FAA has issued an experimental airworthiness certificate under § 21.191(d), (g), (i), (k), or (l) of this chapter to operate as an exhibition aircraft, an amateur-built aircraft, or a former or kit-built light-sport category aircraft when the maximum cruising speed of the aircraft does not exceed 180 knots CAS; and
(iv) Marks may be displayed on an exhibition, antique, or other aircraft in accordance with § 45.22.
(2) Airships, spherical balloons, nonspherical balloons, powered parachutes, and weight-shift-control aircraft must be at least 3 inches high; and
(3) Rotorcraft, must be at least 12 inches high, except that rotorcraft displaying before April 18, 1983, marks required by § 45.29(b)(3) in effect on April 17, 1983, and rotorcraft manufactured on or after April 18, 1983, but before December 31, 1983, may display those marks until the aircraft is repainted or the marks are repainted, restored, or changed.
(c) Width. Characters must be two-thirds as wide as they are high, except the number “1”, which must be one-sixth as wide as it is high, and the letters “M” and “W” which may be as wide as they are high.
(d) Thickness. Characters must be formed by solid lines one-sixth as thick as the character is high.
(e) Spacing. The space between each character may not be less than one-fourth of the character width.
(f) If either one of the surfaces authorized for displaying required marks under § 45.25 is large enough for display of marks meeting the size requirements of this section and the other is not, full size marks must be placed on the larger surface. If neither surface is large enough for full-size marks, marks as large as practicable must be displayed on the larger of the two surfaces. If no surface authorized to be marked by § 45.27 is large enough for full-size marks, marks as large as practicable must be placed on the largest of the authorized surfaces. However, powered parachutes and weight-shift-control aircraft must display marks at least 3 inches high.
(g) Uniformity. The marks required by this part for fixed-wing aircraft must have the same height, width, thickness, and spacing on both sides of the aircraft.
(h) After March 7, 1988, each operator of an aircraft penetrating an ADIZ or DEWIZ must display on that aircraft temporary or permanent nationality and registration marks at least 12 inches high.
A person who manufactures an aircraft in the United States for delivery outside thereof may display on that aircraft any marks required by the State of registry of the aircraft. However, no person may operate an aircraft so marked within the United States, except for test and demonstration flights for a limited period of time, or while in necessary transit to the purchaser.
When an aircraft that is registered in the United States is sold, the holder of the Certificate of Aircraft Registration must remove, before its delivery to the purchaser, all United States marks from the aircraft, unless the purchaser is—
(a) A citizen of the United States;
(b) An individual citizen of a foreign country who is lawfully admitted for permanent residence in the United States; or
(c) When the aircraft is to be based and primarily used in the United States, a corporation (other than a corporation which is a citizen of the United States) lawfully organized and doing business under the laws of the United States or any State thereof.
This part prescribes the requirements for registering aircraft under 49 U.S.C. 44101-44104. Subpart B applies to each applicant for, and holder of, a Certificate of Aircraft Registration. Subpart C applies to each applicant for, and holder of, a Dealer's Aircraft Registration Certificate. This part applies to the issuance by the FAA of such certificates, whether by mail, electronic, or other means.
The following are definitions of terms used in this part:
Citizen of the United States or U.S. citizen means one of the following:
(1) An individual who is a citizen of the United States or one of its possessions.
(2) A partnership each of whose partners is an individual who is a citizen of the United States.
(3) A corporation or association organized under the laws of the United States or a State, the District of Columbia, or a territory or possession of the United States, of which the president and at least two-thirds of the board of directors and other managing officers are citizens of the United States, which is under the actual control of citizens of the United States, and in which at least 75 percent of the voting interest is owned or controlled by persons that are citizens of the United States.
Registry means the FAA, Civil Aviation Registry, Aircraft Registration Branch.
Resident alien means an individual citizen of a foreign country lawfully admitted for permanent residence in the United States as an immigrant in conformity with the regulations of the Department of Homeland Security (8 CFR Chapter 1).
(a) An aircraft may be registered under 49 U.S.C. 44103 only when the aircraft is not registered under the laws of a foreign country and is—
(1) Owned by a citizen of the United States;
(2) Owned by an individual citizen of a foreign country lawfully admitted for permanent residence in the United States;
(3) Owned by a corporation not a citizen of the United States when the corporation is organized and doing business under the laws of the United States or a State within the United States, and the aircraft is based and primarily used in the United States; or
(4) An aircraft of—
(i) The United States Government; or
(ii) A State, the District of Columbia, a territory or possession of the United States, or a political subdivision of a State, territory, or possession.
(b) No person may operate an aircraft that is eligible for registration under 49 U.S.C. 44101-44104, unless the aircraft—
(1) Has been registered by its owner;
(2) Is carrying aboard the temporary authorization required by § 47.31(c); or
(3) Is an aircraft of the Armed Forces of the United States.
(c) Governmental units are those named in paragraph (a) of this section and Puerto Rico.
(a) A person who wishes to register an aircraft in the United States must submit an Aircraft Registration Application, AC Form 8050-1 under this part.
(b) An aircraft may be registered only by and in the legal name of its owner.
(c) 49 U.S.C. 44103(c) provides that registration is not evidence of ownership of aircraft in any proceeding in which ownership by a particular person is in issue. The FAA does not issue any certificate of ownership or endorse any information with respect to ownership on a Certificate of Aircraft Registration. The FAA issues a Certificate of Aircraft Registration to the person who appears to be the owner on the basis of the evidence of ownership submitted pursuant to § 47.11 with the Aircraft Registration Application, or recorded at the Registry.
(d) In this part, “owner” includes a buyer in possession, a bailee, or a lessee of an aircraft under a contract of conditional sale, and the assignee of that person.
(a) U.S. citizens. An applicant for aircraft registration under this part who is a U.S. citizen must certify to this in the Aircraft Registration Application, AC Form 8050-1.
(b) Resident aliens. An applicant for aircraft registration under 49 U.S.C. 44102 who is a resident alien must furnish a representation of permanent residence and the applicant's alien registration number issued by the Department of Homeland Security.
(c) Trustees. An applicant for aircraft registration under 49 U.S.C. 44102 that holds legal title to an aircraft in trust must comply with the following requirements:
(1) Each trustee must be either a U.S. citizen or a resident alien.
(2) The applicant must submit with the Aircraft Registration Application—
(i) A copy of each document legally affecting a relationship under the trust;
(ii) If each beneficiary under the trust, including each person whose security interest in the aircraft is incorporated in the trust, is either a U.S. citizen or a resident alien, an affidavit by the applicant to that effect; and
(iii) If any beneficiary under the trust, including any person whose security interest in the aircraft is incorporated in the trust, is not a U.S. citizen or resident alien, an affidavit from each trustee stating that the trustee is not aware of any reason, situation, or relationship (involving beneficiaries or other persons who are not U.S. citizens or resident aliens) as a result of which those persons together would have more than 25 percent of the aggregate power to influence or limit the exercise of the trustee's authority.
(3) If persons who are neither U.S. citizens nor resident aliens have the power to direct or remove a trustee, either directly or indirectly through the control of another person, the trust instrument must provide that those persons together may not have more than 25 percent of the aggregate power to direct or remove a trustee. Nothing in this paragraph prevents those persons from having more than 25 percent of the beneficial interest in the trust.
(d) Partnerships. A partnership may apply for a Certificate of Aircraft Registration under 49 U.S.C. 44102 only if each partner, whether a general or limited partner, is an individual who is a citizen of the United States. Nothing in this section makes ineligible for registration an aircraft that is not owned as a partnership asset but is co-owned by—
(1) Resident aliens; or
(2) One or more resident aliens and one or more U.S. citizens.
(a) If a voting trust is used to qualify a domestic corporation as a U.S. citizen, the corporate applicant must submit to the Registry—
(1) A true copy of the fully executed voting trust agreement, which must identify each voting interest of the applicant, and which must be binding upon each voting trustee, the applicant corporation, all foreign stockholders, and each other party to the transaction; and
(2) An affidavit executed by each person designated as voting trustee in the voting trust agreement, in which each affiant represents—
(i) That each voting trustee is a citizen of the United States within the meaning of 49 U.S.C. 40102(a)(15).
(ii) That each voting trustee is not a past, present, or prospective director, officer, employee, attorney, or agent of any other party to the trust agreement;
(iii) That each voting trustee is not a present or prospective beneficiary, creditor, debtor, supplier or contractor of any other party to the trust agreement;
(iv) That each voting trustee is not aware of any reason, situation, or relationship under which any other party to the agreement might influence the exercise of the voting trustee's totally independent judgment under the voting trust agreement.
(b) Each voting trust agreement submitted under paragraph (a)(1) of this section must provide for the succession of a voting trustee in the event of death, disability, resignation, termination of citizenship, or any other event leading to the replacement of any voting trustee. Upon succession, the replacement voting trustee shall immediately submit to the Registry the affidavit required by paragraph (a)(2) of this section.
(c) If the voting trust terminates or is modified, and the result is less than 75 percent control of the voting interest in the corporation by citizens of the United States, a loss of citizenship of the holder of the Certificate of Aircraft Registration occurs, and § 47.41(a)(3) of this part applies.
(d) A voting trust agreement may not empower a trustee to act through a proxy.
(a) Each corporation applying for registration of an aircraft under 49 U.S.C. 44102 must submit to the Registry with the Aircraft Registration Application, AC Form 8050-1—
(1) A certified copy of its certificate of incorporation;
(2) A certification that it is lawfully qualified to do business in one or more States;
(3) A certification that the aircraft will be based and primarily used in the United States; and
(4) The location where the records required by paragraph (e) of this section will be maintained.
(b) For the purposes of registration, an aircraft is based and primarily used in the United States if the flight hours accumulated within the United States amount to at least 60 percent of the total flight hours of the aircraft during the period consisting in the remainder of the registration month and the succeeding 6 calendar months and each 6 calendar month period thereafter.
(c) For the purpose of this section, only those flight hours accumulated during non-stop (except for stops in emergencies or for purposes of refueling) flight between two points in the United States, even if the aircraft is outside of the United States during part of the flight, are considered flight hours accumulated within the United States.
(d) In determining compliance with this section, any periods during which the aircraft is not validly registered in the United States are disregarded.
(e) The corporation that registers an aircraft pursuant to 49 U.S.C. 44102 shall maintain, and make available for inspection by the FAA upon request, records containing the total flight hours in the United States of the aircraft for three calendar years after the year in which the flight hours were accumulated.
(f) The corporation that registers an aircraft pursuant to 49 U.S.C. 44102 shall send to the Registry, at the end of each period of time described in paragraphs (b)(1) and (2) of this section, either—
(1) A signed report containing—
(i) The total time in service of the airframe as provided in § 91.417(a)(2)(i), accumulated during that period; and
(ii) The total flight hours in the United States of the aircraft accumulated during that period; or
(2) A signed statement that the total flight hours of the aircraft, while registered in the United States during that period, have been exclusively within the United States.
Except as provided in §§ 47.33 and 47.35, each person that submits an Aircraft Registration Application, AC Form 8050-1 under this part must also submit the required evidence of ownership, recordable under §§ 49.13 and 49.17 of this chapter, as follows:
(a) The buyer in possession, the bailee, or the lessee of an aircraft under a contract of conditional sale must submit the contract. The assignee under a contract of conditional sale must submit both the contract (unless it is already recorded at the Registry), and his assignment from the original buyer, bailee, lessee, or prior assignee.
(b) The repossessor of an aircraft must submit—
(1) A Certificate of Repossession of Encumbered Aircraft, FAA Form 8050-4, or its equivalent, signed by the applicant and stating that the aircraft was repossessed or otherwise seized under the security agreement involved and applicable local law;
(2) The security agreement (unless it is already recorded at the Registry), or a copy thereof certified as true under § 49.21 of this chapter; and
(3) When repossession was through foreclosure proceedings resulting in sale, a bill of sale signed by the sheriff, auctioneer, or other authorized person who conducted the sale, and stating that the sale was made under applicable local law.
(c) The buyer of an aircraft at a judicial sale, or at a sale to satisfy a lien or charge, must submit a bill of sale signed by the sheriff, auctioneer, or other authorized person who conducted the sale, and stating that the sale was made under applicable local law.
(d) The owner of an aircraft, the title to which has been in controversy and has been determined by a court, must submit a certified copy of the decision of the court.
(e) The executor or administrator of the estate of the deceased former owner of an aircraft must submit a certified copy of the letters testamentary or letters of administration appointing him executor or administrator. The Certificate of Aircraft Registration is issued to the applicant as executor or administrator.
(f) The buyer of an aircraft from the estate of a deceased former owner must submit both a bill of sale, signed for the estate by the executor or administrator, and a certified copy of the letters testamentary or letters of administration. When no executor or administrator has been or is to be appointed, the applicant must submit both a bill of sale, signed by the heir-at-law of the deceased former owner, and an affidavit of the heir-at-law stating that no application for appointment of an executor or administrator has been made, that so far as he can determine none will be made, and that he is the person entitled to, or having the right to dispose of, the aircraft under applicable local law.
(g) The guardian of another person's property that includes an aircraft must submit a certified copy of the order of the court appointing him guardian. The Certificate of Aircraft Registration is issued to the applicant as guardian.
(h) The trustee of property that includes an aircraft, as described in § 47.7(c), must submit either a certified copy of the order of the court appointing the trustee, or a complete and true copy of the instrument creating the trust. If there is more than one trustee, each trustee must sign the Aircraft Registration Application. The Certificate of Aircraft Registration is issued to a single applicant as trustee, or to several trustees jointly as co-trustees.
(a) Each person signing an Aircraft Registration Application, AC Form 8050-1, or a document submitted as supporting evidence under this part, must sign in ink or by other means acceptable to the FAA. If signed in ink, the Aircraft Registration Application must also have the typed or legibly printed name of each signer in the signature block.
(b) When one or more persons doing business under a trade name submits an Aircraft Registration Application, a document submitted as supporting evidence under this part, or a request for cancellation of a Certificate of Aircraft Registration, the application, document, or request must be signed by, or on behalf of, each person who shares title to the aircraft.
(c) When an agent submits an Aircraft Registration Application, a document submitted as supporting evidence under this part, or a request for cancellation of a Certificate of Aircraft Registration, on behalf of the owner, that agent must—
(1) State the name of the owner on the application, document, or request;
(2) Sign as agent or attorney-in-fact on the application, document, or request; and
(3) Submit a signed power of attorney, or a true copy thereof certified under § 49.21 of this chapter, with the application, document, or request.
(d) When a corporation submits an Aircraft Registration Application, a document submitted as supporting evidence under this part, or a request for cancellation of a Certificate of Aircraft Registration, it must—
(1) Have an authorized person sign, by means acceptable to the FAA, the application, document, or request;
(2) Show the title of the signer's office on the application, document, or request; and
(3) Submit a copy of the authorization from the board of directors to sign for the corporation, certified as true under § 49.21 of this chapter by a corporate officer or other person in a managerial position therein, with the application, document, or request, unless—
(i) The signer of the application, document, or request is a corporate officer or other person in a managerial position in the corporation and the title of his office is stated in connection with his signature; or
(ii) A valid authorization to sign is on file at the Registry.
(4) The provisions of paragraph (d)(3) of this section do not apply to an irrevocable deregistration and export request authorization when an irrevocable deregistration and export request authorization under the Cape Town Treaty is signed by a corporate officer and is filed with the Registry.
(e) When a partnership submits an Aircraft Registration Application, a document submitted as supporting evidence under this part, or a request for cancellation of a Certificate of Aircraft Registration, it must—
(1) State the full name of the partnership on the application, document, or request;
(2) State the name of each general partner on the application, document, or request; and
(3) Have a general partner sign the application, document, or request.
(f) When co-owners, who are not engaged in business as partners, submit an Aircraft Registration Application, a document submitted as supporting evidence under this part, or a request for cancellation of a Certificate of Aircraft Registration, each person who shares title to the aircraft under the arrangement must sign the application, document, or request.
(g) A power of attorney or other evidence of a person's authority to sign for another, submitted under this part, is valid for the purposes of this section, unless sooner revoked, until—
(1) Its expiration date stated therein; or
(2) If an expiration date is not stated therein, for not more than 3 years after the date—
(i) It is signed; or
(ii) The grantor (a corporate officer or other person in a managerial position therein, where the grantor is a corporation) certifies in writing that the authority to sign shown by the power of attorney or other evidence is still in effect.
(a) The unmanned aircraft serial number provided as part of any application for aircraft registration of any standard remote identification unmanned aircraft must be the serial number issued by the manufacturer of the unmanned aircraft in accordance with the design and production requirements of part 89 of this chapter. The serial number provided in this application must not be listed on more than one Certificate of Aircraft Registration at the same time.
(b) The unmanned aircraft serial number provided as part of any application for registration of any unmanned aircraft with a remote identification broadcast module must be the serial number issued by the manufacturer of the remote identification broadcast module in accordance with the design and production requirements of part 89 of this chapter. The serial number provided in this application must not be listed on more than one Certificate of Aircraft Registration at the same time.
(a) Number required. An applicant for aircraft registration must place a U.S. registration number (registration mark) on the Aircraft Registration Application, AC Form 8050-1, and on any evidence submitted with the application. There is no charge for the assignment of numbers provided in this paragraph. This paragraph does not apply to an aircraft manufacturer who applies for a group of U.S. registration numbers under paragraph (c) of this section; a person who applies for a special registration number under paragraphs (d) through (f) of this section; or a holder of a Dealer's Aircraft Registration Certificate who applies for a temporary registration number under § 47.16.
(1) Aircraft not previously registered anywhere. The applicant must obtain the U.S. registration number from the Registry by request in writing describing the aircraft by make, type, model, and serial number (or, if it is amateur-built, as provided in § 47.33(b)) and stating that the aircraft has not previously been registered anywhere. If the aircraft was brought into the United States from a foreign country, the applicant must submit evidence that the aircraft has never been registered in a foreign country.
(2) Aircraft last previously registered in the United States. Unless the applicant applies for a different number under paragraphs (d) through (f) of this section, the applicant must place the U.S. registration number that is already assigned to the aircraft on the Aircraft Registration Application, and the supporting evidence. If there is no number assigned, the applicant must obtain a U.S. registration number from the Registry by making a written request that describes the aircraft by make, model, and serial number.
(3) Aircraft last previously registered in a foreign country. Whether or not the foreign registration has ended, the applicant must obtain a U.S. registration number from the Registry for an aircraft last previously registered in a foreign country, by request in writing describing the aircraft by make, model, and serial number, accompanied by—
(i) Evidence of termination of foreign registration in accordance with § 47.37(b) or the applicant's affidavit showing that foreign registration has ended; or
(ii) If foreign registration has not ended, the applicant's affidavit stating that the number will not be placed on the aircraft until foreign registration has ended.
(4) Duration of a U.S. registration number assignment. Authority to use the registration number obtained under paragraph (a)(1), (2), or (3) of this section expires 90 days after the date it is issued unless the applicant submits an Aircraft Registration Application and complies with § 47.33 or § 47.37, as applicable, within that period of time. However, the applicant may obtain an extension of this 90-day period from the Registry if the applicant shows that the delay in complying with that section is due to circumstances beyond the applicant's control.
(b) A U.S. registration number may not exceed five symbols in addition to the prefix letter “N”. These symbols may be all numbers (N10000), one to four numbers and one suffix letter (N 1000A), or one to three numbers and two suffix letters (N 100AB). The letters “I” and “O” may not be used. The first zero in a number must always be preceded by at least one of the numbers 1 through 9.
(c) An aircraft manufacturer may apply to the Registry for enough U.S. registration numbers to supply estimated production for the next 18 months. There is no charge for this allocation of numbers.
(d) Any available, unassigned U.S. registration number may be assigned as a special registration number. An applicant who wants a special registration number or wants to change the registration number of his aircraft may apply for it to the Registry. The fee required by § 47.17 must accompany the application.
(e) [Reserved]
(f) The Registry authorizes a special registration number change on the Assignment of Special Registration Numbers, AC Form 8050-64. The authorization expires one year from the date the Registry issues an Assignment of Special Registration Numbers unless the special registration number is permanently placed on the aircraft. Within five days after the special registration number is placed on the aircraft, the owner must complete and sign the Assignment of Special Registration Numbers, state the date the number was placed on the aircraft, and return the original form to the Registry. The duplicate of the Assignment of Special Registration Numbers and the present Certificate of Aircraft Registration must be carried in the aircraft as temporary authority to operate it. This temporary authority is valid until the date the owner receives the revised Certificate of Aircraft Registration showing the new registration number, but in no case is it valid for more than 120 days from the date the number is placed on the aircraft.
(g) [Reserved]
(h) A special registration number may be reserved for no more than 1 year. If a person wishes to renew his reservation from year to year, he must apply to the Registry for renewal and submit the fee required by § 47.17 for a special registration number.
(i) When aircraft registration has ended, as described in § 47.41(a), the assignment of a registration number to an aircraft is no longer authorized for use except as provided in § 47.31(c) and will be cancelled:
(1) Following the expiration date shown on the Certificate of Aircraft Registration for any aircraft whose registration has not been renewed under § 47.40(c);
(2) Following the expiration date shown on the Dealer's Aircraft Registration Certificate, for any aircraft registered under Subpart C of this part, when the certificate has not been renewed, and the owner has not applied for registration in accordance with § 47.31; or
(3) When ownership has transferred—
(i) Six months after first receipt of notice of aircraft sale or evidence of ownership from the last registered owner or successive owners, and an Aircraft Registration Application has not been received.
(ii) Six months after evidence of ownership authorized under § 47.67 has been submitted, and the applicant has not met the requirements of this part.
(iii) Twelve months after a new owner has submitted evidence of ownership and an Aircraft Registration Application under § 47.31, and the applicant or a successive applicant has not met the requirements of this part.
(j) At the time an assignment of registration number is cancelled, the number may be reserved for one year in the name of the last owner of record if a request has been submitted with the fee required by § 47.17. If the request for reservation and fee are not submitted prior to cancellation, the registration number is unavailable for assignment for a period of five years.
(a) Temporary registration numbers are issued by the FAA to manufacturers, distributors, and dealers who are holders of Dealer's Aircraft Registration Certificates for temporary display on aircraft during flight allowed under Subpart C of this part.
(b) The holder of a Dealer's Aircraft Registration Certificate may apply to the Registry for as many temporary registration numbers as are necessary for his business. The application must be in writing and include—
(1) Sufficient information to justify the need for the temporary registration numbers requested; and
(2) The number of each Dealer's Aircraft Registration Certificate held by the applicant.
(c) The use of temporary registration numbers is subject to the following conditions:
(1) The numbers may be used and reused—
(i) Only in connection with the holder's Dealer's Aircraft Registration Certificate;
(ii) Within the limitations of § 47.69 where applicable, including the requirements of § 47.67; and
(iii) On aircraft not registered under Subpart B of this part or in a foreign country, and not displaying any other identification markings.
(2) A temporary registration number may not be used on more than one aircraft in flight at the same time.
(3) Temporary registration numbers may not be used to fly aircraft into the United States for the purpose of importation.
(d) The assignment of any temporary registration number to any person lapses upon the expiration of all of his Dealer's Aircraft Registration Certificates. When a temporary registration number is used on a flight outside the United States for delivery purposes, the holder shall record the assignment of that number to the aircraft and shall keep that record for at least 1 year after the removal of the number from that aircraft. Whenever the owner of an aircraft bearing a temporary registration number applies for an airworthiness certificate under Part 21 of this chapter he shall furnish that number in the application. The temporary registration number must be removed from the aircraft not later than the date on which either title or possession passes to another person.
(a) The fees for applications under this part are as follows:
| (1) Certificate of Aircraft Registration (each aircraft) | $5.00 |
| (2) Dealer's Aircraft Registration Certificate | 10.00 |
| (3) Additional Dealer's Aircraft Registration Certificate (issued to same dealer) | 2.00 |
| (4) Special registration number (each number) | 10.00 |
| (5) To change, reassign, or reserve a registration number | 10.00 |
| (6) Replacement Certificate of Aircraft Registration | 2.00 |
| (7) Renewal Certificate of Aircraft Registration | 5.00 |
(b) Each application must be accompanied by the proper fee, that may be paid by check or money order to the Federal Aviation Administration.
Each application, submission, request, notification, or other communication sent to the Administrator under this part must be delivered to the Registry by a means and in a form acceptable to the Administrator, to include electronic or digital forms and means compatible with systems of the Registry.
(a) Each applicant for a Certificate of Aircraft Registration must submit the following to the Registry—
(1) An Aircraft Registration Application, AC Form 8050-1, signed by the applicant in the manner prescribed by § 47.13;
(2) The Aircraft Bill of Sale, AC Form 8050-2, or other evidence of ownership authorized by § 47.33, § 47.35, or § 47.37 (unless already recorded at the Registry); and
(3) The fee required by § 47.17.
(b) The FAA rejects an application when—
(1) Any form is not completed;
(2) The name and signature of the applicant are not the same throughout; or
(3) The applicant does not provide a legibly printed or typed name with the signature in the signature block.
(c) After compliance with paragraph (a) of this section, the applicant for registration of an aircraft last previously registered in the United States must carry the second copy of the Aircraft Registration Application in the aircraft as temporary authority to operate without registration.
(1) This temporary authority is valid for operation within the United States until the date the applicant receives the Certificate of Aircraft Registration or until the date the FAA denies the application, or as provided by paragraph (c)(2) of this section.
(2) This temporary authority is not available in connection with any Aircraft Registration Application received when 12 months have passed since the receipt of the first application following transfer of ownership by the last registered owner.
(3) If there is no registration number assigned at the time application for registration is made, the second copy of the Aircraft Registration Application may not be used as temporary authority to operate the aircraft.
(a) A person who is the owner of an aircraft that has not been registered under 49 U.S.C. 44101-44104, under other law of the United States, or under foreign law, may register it under this part if he—
(1) Complies with §§ 47.3, 47.7, 47.8, 47.9, 47.11, 47.13, 47.15, and 47.17, as applicable; and
(2) Submits with his Aircraft Registration Application, AC Form 8050-1, an Aircraft Bill of Sale, AC Form 8050-2, signed by the seller, an equivalent bill of sale, or other evidence of ownership authorized by § 47.11.
(b) If, for good reason, the applicant cannot produce the evidence of ownership required by paragraph (a) of this section, he must submit other evidence that is satisfactory to the FAA. This other evidence may be an affidavit stating why he cannot produce the required evidence, accompanied by whatever further evidence is available to prove the transaction.
(c) The owner of an amateur-built aircraft who applies for registration under paragraphs (a) and (b) of this section must describe the aircraft by class (airplane, rotorcraft, glider, or balloon), serial number, number of seats, type of engine installed, (reciprocating, turbopropeller, turbojet, or other), number of engines installed, and make, model, and serial number of each engine installed; and must state whether the aircraft is built for land or water operation. Also, he must submit as evidence of ownership an affidavit giving the U.S. registration number, and stating that the aircraft was built from parts and that he is the owner. If he built the aircraft from a kit, the applicant must also submit a bill of sale from the manufacturer of the kit.
(d) The owner, other than the holder of the type certificate, of an aircraft that he assembles from parts to conform to the approved type design, must describe the aircraft and engine in the manner required by paragraph (c) of this section, and also submit evidence of ownership satisfactory to the FAA, such as bills of sale, for all major components of the aircraft.
(a) A person who is the owner of an aircraft last previously registered under 49 U.S.C. Sections 44101-44104, or under other law of the United States, may register it under this part if he complies with §§ 47.3, 47.7, 47.8, 47.9, 47.11, 47.13, 47.15, and 47.17, as applicable and submits with his Aircraft Registration Application, AC Form 8050-1 an Aircraft Bill of Sale, AC Form 8050-2, signed by the seller or an equivalent conveyance, or other evidence of ownership authorized by § 47.11.
(1) If the applicant bought the aircraft from the last registered owner, the conveyance must be from that owner to the applicant.
(2) If the applicant did not buy the aircraft from the last registered owner, he must submit conveyances or other instruments showing consecutive transactions from the last registered owner through each intervening owner to the applicant.
(b) If, for good reason, the applicant cannot produce the evidence of ownership required by paragraph (a) of this section, he must submit other evidence that is satisfactory to the FAA. This other evidence may be an affidavit stating why he cannot produce the required evidence, accompanied by whatever further evidence is available to prove the transaction.
(a) A person who is the owner of an aircraft last previously registered under the law of a foreign country may register it under this part if the owner—
(1) Complies with §§ 47.3, 47.7, 47.8, 47.9, 47.11, 47.13, 47.15, and 47.17, as applicable;
(2) Submits with his Aircraft Registration Application, AC Form 8050-1 a bill of sale from the foreign seller or other evidence satisfactory to the FAA that he owns the aircraft; and
(3) Submits evidence satisfactory to the FAA that—
(i) If the country in which the aircraft was registered has not ratified the Convention on the International Recognition of Rights in Aircraft (4 U.S.T. 1830), (the Geneva Convention), or the Convention on International Interests in Mobile Equipment, as modified by the Protocol to the Convention on International Interests in Mobile Equipment on Matters Specific to Aircraft Equipment (the Cape Town Treaty), the foreign registration has ended or is invalid; or
(ii) If that country has ratified the Geneva Convention, but has not ratified the Cape Town Treaty, the foreign registration has ended or is invalid, and each holder of a recorded right against the aircraft has been satisfied or has consented to the transfer, or ownership in the country of export has been ended by a sale in execution under the terms of the Geneva Convention; or
(iii) If that country has ratified the Cape Town Treaty and the aircraft is subject to the Treaty, that the foreign registration has ended or is invalid, and that all interests ranking in priority have been discharged or that the holders of such interests have consented to the deregistration and export of the aircraft.
(iv) Nothing under (a)(3)(iii) affects rights established prior to the Treaty entering into force with respect to the country in which the aircraft was registered.
(b) For the purposes of paragraph (a)(3) of this section, satisfactory evidence of termination of the foreign registration may be—
(1) A statement, by the official having jurisdiction over the national aircraft registry of the foreign country, that the registration has ended or is invalid, and showing the official's name and title and describing the aircraft by make, model, and serial number; or
(2) A final judgment or decree of a court of competent jurisdiction of the foreign country, determining that, under the laws of that country, the registration has become invalid.
An aircraft is registered on the date the Registry determines that the submissions meet the requirements of this part. The effective date of registration is shown as the date of issue on the Certificate of Aircraft Registration.
(a) Initial Registration. A Certificate of Aircraft Registration issued in accordance with § 47.31 expires seven years after the last day of the month in which it is issued.
(b) Renewal. Each holder of a Certificate of Aircraft Registration containing an expiration date may apply for renewal of a Certificate of Aircraft Registration by submitting an Aircraft Registration Renewal Application, AC Form 8050-1B, and the fee required by § 47.17 during the six months preceding the expiration date for the Certificate of Aircraft Registration.
(c) Inaccurate Information. The Administrator may require the owner of a registered aircraft to submit a complete Aircraft Registration Application, AC Form 8050-1, and fee prior to the expiration date if the Administrator finds that the Certificate of Aircraft Registration contains inaccurate information.
(a) Each Certificate of Aircraft Registration issued by the FAA under this subpart is effective, unless registration has ended by reason of having been revoked, canceled, expired, or the ownership is transferred, until the date upon which one of the following events occurs:
(1) Subject to the Convention on the International Recognition of Rights in Aircraft when applicable, the aircraft is registered under the laws of a foreign country.
(2) The aircraft is totally destroyed or scrapped.
(3) The holder of the certificate loses his U.S. citizenship.
(4) 30 days have elapsed since the death of the holder of the certificate.
(5) The owner, if an individual who is not a citizen of the United States, loses status as a resident alien, unless that person becomes a citizen of the United States at the same time.
(6) If the owner is a corporation other than a corporation which is a citizen of the United States—
(i) The corporation ceases to be lawfully organized and doing business under the laws of the United States or any State thereof; or
(ii) A period described in § 47.9(b) ends and the aircraft was not based and primarily used in the United States during that period.
(7) If the trustee in whose name the aircraft is registered—
(i) Loses U.S. citizenship;
(ii) Loses status as a resident alien and does not become a citizen of the United States at the same time; or
(iii) In any manner ceases to act as trustee and is not immediately replaced by another who meets the requirements of § 47.7(c).
(b) The FAA must be given notice of, and the reason(s) for, any change in status of the registered aircraft or registered owner specified under paragraph (a) of this section. In the case of an electronically issued Certificate of Aircraft Registration, notice must be provided by email or other means acceptable to the Administrator, and, in the case of a certificate issued in paper form, the certificate, with the reverse side completed, must be returned to the Registry—
(1) Within 21 days in the case of registration under the laws of a foreign country, by the person who was the owner of the aircraft before foreign registration;
(2) Within 60 days after the death of the holder of the certificate, by the administrator or executor of his estate, or by his heir-at-law if no administrator or executor has been or is to be appointed; or
(3) Within 21 days of the termination of the registration, by the holder of the Certificate of Aircraft Registration in all other cases mentioned in paragraph (a) of this section, except in the case of expired certificates, the holder must destroy the expired certificate, if in paper or printed form.
(4) If the certificate is not available for return, as directed in paragraph (b) of this section, a statement describing the aircraft and stating the reason the certificate is not available must be submitted to the Registry within the time required by paragraph (b) of this section.
(a) The registration of an aircraft is invalid if, at the time it is made—
(1) The aircraft is registered in a foreign country;
(2) The applicant is not the owner;
(3) The applicant is not qualified to submit an application under this part; or
(4) The interest of the applicant in the aircraft was created by a transaction that was not entered into in good faith, but rather was made to avoid (with or without the owner's knowledge) compliance with 49 U.S.C. 44101-44104.
(b) If the registration of an aircraft is invalid under paragraph (a) of this section, the holder of the invalid Certificate of Aircraft Registration, if issued in paper form, must return it as soon as possible to the Registry.
Within 30 days after any change in a registered owner's mailing address, the registered owner must notify the Registry in writing of the change of address. If a post office box or mailing drop is used for mailing purposes, the registered owner also must provide that owner's physical address or location. Upon acceptance, the Registry will issue, without charge, a revised Certificate of Aircraft Registration reflecting the new mailing address. When a post office box or mailing drop is used for mailing purposes, and the registered owner's physical address or location changes, the registered owner must notify the Registry in writing of the new address or location within 30 days.
(a) The holder of a Certificate of Aircraft Registration or the holder of an irrevocable deregistration and export request authorization recognized under the Cape Town Treaty and filed with the FAA who wishes to cancel the Certificate of Aircraft Registration for the purpose of export must submit to the Registry—
(1) A written request for cancellation of the Certificate of Aircraft Registration describing the aircraft by make, model, and serial number, and stating the U.S. registration number and the country to which the aircraft will be exported;
(2)(i) For an aircraft not subject to the Cape Town Treaty, evidence satisfactory to the FAA that each holder of a recorded right has been satisfied or has consented to the transfer; or
(ii) For an aircraft subject to the Cape Town Treaty, evidence satisfactory to the FAA that each holder of a recorded right established prior to the date the Treaty entered into force with respect to the United States has been satisfied or has consented to the transfer; and
(3) A written certification that all registered interests ranking in priority to that of the requestor have been discharged or that the holders of such interests have consented to the cancellation for export purposes.
(b) If the aircraft is subject to the Cape Town Treaty and an irrevocable deregistration and export request authorization has been filed with the Registry, the Registry will honor a request for cancellation only if an authorized party makes the request.
(c) The Registry notifies the country to which the aircraft is to be exported of the cancellation.
(a) If the original Certificate of Aircraft Registration is lost, stolen, or mutilated, the registered owner may submit to the Registry a written request that states the reason a replacement certificate is needed and the fee required by § 47.17. The Registry will send a replacement certificate to the registered owner by email or other electronic or digital means, or, if such means are unavailable, to the registered owner's mailing address or to another mailing address if requested in writing by the registered owner.
(b) The registered owner may request a temporary Certificate of Aircraft Registration pending receipt of a replacement certificate. The Registry issues a temporary Certificate of Aircraft Registration that must be carried in the aircraft until receipt of the replacement certificate.
(a) The FAA issues a Dealer's Aircraft Registration Certificate to U.S. manufacturers and dealers to—
(1) Allow manufacturers to make any required flight tests of aircraft.
(2) Facilitate operating, demonstrating, and merchandising aircraft by the manufacturer or dealer without the burden of obtaining a Certificate of Aircraft Registration, AC Form 8050-3, for each aircraft with each transfer of ownership, under subpart B of this part.
(b) A Dealer's Aircraft Registration Certificate is an alternative for the Certificate of Aircraft Registration issued under subpart B of this part. A dealer may, under this subpart, obtain one or more Dealer's Aircraft Registration Certificates in addition to his original certificate, and he may use a Dealer's Aircraft Registration Certificate for any aircraft he owns.
(c) If a Dealer's Aircraft Registration Certificate for an aircraft registered under this subpart expires in accordance with § 47.71, the aircraft owner must submit an application for aircraft registration in accordance with § 47.31 or the assignment of registration number will be canceled in accordance with § 47.15(i)(2).
A manufacturer or dealer that wishes to obtain a Dealer's Aircraft Registration Certificate must submit—
(a) A Dealer's Aircraft Registration Certificate Application, AC Form 8050-5; and
(b) The fee required by § 47.17.
To be eligible for a Dealer's Aircraft Registration Certificate, the applicant must have an established place of business in the United States, must be substantially engaged in manufacturing or selling aircraft, and must be a citizen of the United States, as defined by 49 U.S.C. 40102 (a)(15).
Before using a Dealer's Aircraft Registration Certificate for operating the aircraft, the holder of the certificate (other than a manufacturer) must send to the Registry evidence of ownership under § 47.11. An Aircraft Bill of Sale, AC Form 8050-2, or its equivalent, may be used as evidence of ownership. There is no recording fee.
A Dealer's Aircraft Registration Certificate is valid only in connection with use of aircraft—
(a) By the owner of the aircraft to whom it was issued, his agent or employee, or a prospective buyer, and in the case of a dealer other than a manufacturer, only after he has complied with § 47.67;
(b) Within the United States, except when used to deliver to a foreign purchaser an aircraft displaying a temporary registration number and carrying an airworthiness certificate on which that number is written;
(c) While a certificate is carried within the aircraft; and
(d) On a flight that is—
(1) For required flight testing of aircraft; or
(2) Necessary for, or incident to, sale of the aircraft.
(a) A Dealer's Aircraft Registration Certificate expires 1 year after the date it is issued. Each additional certificate expires on the date the original certificate expires.
(b) The holder of a Dealer's Aircraft Registration Certificate must immediately notify the Registry of any of the following—
(1) A change of name;
(2) A change of address;
(3) A change that affects status as a citizen of the United States; or
(4) The discontinuance of business.
(a) This part provides registration and identification requirements for small unmanned aircraft that are part of a small unmanned aircraft system as defined in § 1.1 of this chapter.
(b) Small unmanned aircraft eligible for registration in the United States must be registered and identified in accordance with either:
(1) The registration and identification requirements in this part; or
(2) The registration requirements in part 47 and the identification and registration marking requirements in subparts A and C of part 45.
(c) Small unmanned aircraft intended to be operated outside of the territorial airspace of the United States, or registered through a trust or voting trust, must be registered in accordance with subparts A and B of part 47 and satisfy the identification and registration marking requirements of subparts A and C of part 45.
For purposes of this part, the following definitions apply:
Citizen of the United States or U.S. citizen means one of the following:
(1) An individual who is a citizen of the United States or one of its possessions.
(2) A partnership each of whose partners is an individual who is a citizen of the United States.
(3) A corporation or association organized under the laws of the United States or a State, the District of Columbia, or a territory or possession of the United States, of which the president and at least two-thirds of the board of directors and other managing officers are citizens of the United States, which is under the actual control of citizens of the United States, and in which at least 75 percent of the voting interest is owned or controlled by persons that are citizens of the United States.
Registry means the FAA, Civil Aviation Registry, Aircraft Registration Branch.
Resident alien means an individual citizen of a foreign country lawfully admitted for permanent residence in the United States as an immigrant in conformity with the regulations of the Department of Homeland Security (8 CFR Chapter 1).
No person may operate a small unmanned aircraft that is eligible for registration under 49 U.S.C. 44101-44103 unless one of the following criteria has been satisfied:
(a) The owner has registered and marked the aircraft in accordance with this part;
(b) The aircraft is operated exclusively in compliance with 49 U.S.C. 44809 and weighs 0.55 pounds or less on takeoff, including everything that is on board or otherwise attached to the aircraft; or
(c) The aircraft is an aircraft of the Armed Forces of the United States.
A small unmanned aircraft may be registered under 49 U.S.C. 44103 and under this part only when the aircraft is not registered under the laws of a foreign country and is—
(a) Owned by a U.S. citizen;
(b) Owned by an individual citizen of a foreign country lawfully admitted for permanent residence in the United States;
(c) Owned by a corporation not a citizen of the United States when the corporation is organized and doing business under the laws of the United States or a State within the United States, and the aircraft is based and primarily used in the United States; or
(d) An aircraft of—
(1) The United States Government; or
(2) A State, the District of Columbia, a territory or possession of the United States, or a political subdivision of a State, territory, or possession.
(a) To register a small unmanned aircraft in the United States under this part, a person must provide the information required by § 48.110 to the Registry in a form and manner prescribed by the Administrator. Upon submission of this information, the FAA issues a Certificate of Aircraft Registration to that person.
(b) A small unmanned aircraft must be registered by its owner using the legal name of its owner, unless the owner is less than 13 years of age. If the owner is less than 13 years of age, then the small unmanned aircraft must be registered by a person who is at least 13 years of age.
(c) In accordance with 49 U.S.C. 44103(c), registration is not evidence of aircraft ownership in any proceeding in which ownership of an unmanned aircraft by a particular person is in issue.
(d) In this part, “owner” includes a buyer in possession, a bailee, a lessee of a small unmanned aircraft under a contract of conditional sale, and the assignee of that person.
(a) The fee for issuing or renewing a Certificate of Aircraft Registration as described in § 48.100 is $5.00 per aircraft.
(b) The fee for issuing or renewing a Certificate of Aircraft Registration as described in § 48.105 is $5.00 per certificate.
(c) Each application for and renewal of a Certificate of Aircraft Registration must be accompanied by the fee described in paragraphs (a) and (b), as applicable, paid to the Federal Aviation Administration through the web-based aircraft registration system, or in another manner if prescribed by the Administrator.
(a) Certificate of Aircraft Registration. A Certificate of Aircraft Registration issued in accordance with § 48.110 to a small unmanned aircraft used for any purpose other than operating exclusively in compliance with 49 U.S.C. 44809 constitutes registration for the small unmanned aircraft identified on the application.
(b) Effective date of registration. An aircraft is registered when the applicant receives a Certificate of Aircraft Registration for the specific aircraft. The effective date of registration is shown by the date of issue on the Certificate of Aircraft Registration issued for the aircraft.
(c) Registration renewal. A Certificate of Aircraft registration issued under this part expires 3 years after the date of issue unless it is renewed.
(1) The holder of a Certificate of Aircraft Registration must renew the Certificate by verifying, in a form and manner prescribed by the Administrator, that the information provided in accordance with § 48.110 is accurate and if it is not, provide updated information. The verification may take place at any time within the six months preceding the month in which the Certificate of Aircraft registration expires.
(2) A certificate issued under this paragraph expires three years from the expiration date of the previous certificate.
(d) Other events affecting effectiveness of Certificate. Each Certificate of Aircraft Registration issued by the FAA under this subpart is effective, unless registration has ended by reason of having been revoked, canceled, expired, or the ownership is transferred, until the date upon which one of the following events occurs:
(1) Subject to the Convention on the International Recognition of Rights in Aircraft when applicable, the aircraft is registered under the laws of a foreign country.
(2) The small unmanned aircraft is totally destroyed or scrapped.
(3) The holder of the Certificate of Aircraft Registration loses U.S. citizenship.
(4) Thirty days have elapsed since the death of the holder of the Certificate of Aircraft Registration.
(5) The owner, if an individual who is not a citizen of the United States, loses status as a resident alien, unless that person becomes a citizen of the United States at the same time.
(6) The owner is a corporation other than a corporation which is a citizen of the United States and one of the following events occurs:
(i) The corporation ceases to be lawfully organized and doing business under the laws of the United States or any State thereof; or
(ii) The aircraft was not operated exclusively within the United States during the period of registration under this part.
(a) Certificate of Aircraft Registration. A Certificate of Aircraft Registration issued in accordance with § 48.110 for small unmanned aircraft to be operated exclusively in compliance with 49 U.S.C. 44809 constitutes registration for all the small unmanned aircraft used exclusively for operations in compliance with 49 U.S.C. 44809 owned by the individual identified on the application.
(b) Effective date of registration. An aircraft is registered when the applicant receives a Certificate of Aircraft Registration. The effective date of registration is shown by the date of issue on the Certificate of Aircraft Registration issued under this part.
(c) Registration renewal. A Certificate of Aircraft registration issued under this part expires 3 years after the date of issue unless it is renewed.
(1) The holder of a Certificate of Aircraft Registration must renew the Certificate by verifying, in a form and manner prescribed by the Administrator, that the information provided in accordance with § 48.110 is accurate and if it is not, provide updated information. The verification may take place at any time within the six months preceding the month in which the Certificate of Aircraft registration expires.
(2) A certificate issued under this paragraph expires three years from the expiration date of the previous certificate.
(d) Other events affecting effectiveness of Certificate. Each Certificate of Aircraft Registration issued by the FAA under this part is effective, unless registration has ended by reason of having been revoked, canceled or expired, or until the date upon which one of the following events occurs:
(1) The holder of the Certificate of Aircraft Registration loses U.S. citizenship.
(2) Thirty days have elapsed since the death of the holder of the Certificate of Aircraft Registration.
(3) The owner, if an individual who is not a citizen of the United States, loses status as a resident alien, unless that person becomes a citizen of the United States at the same time.
(a) Required information. Each applicant for a Certificate of Aircraft Registration issued under this part must submit all of the following information to the Registry:
(1) Applicant's name and, for an applicant other than an individual, the name of the authorized representative applying for a Certificate of Aircraft Registration.
(2) Applicant's physical address and, for an applicant other than an individual, the physical address of the authorized representative. If the applicant or authorized representative cannot receive mail at a physical address, then provide a mailing address.
(3) Applicant's email address or, for applicants other than individuals, the email address of the authorized representative.
(4) Applicant's telephone number(s) and, for an applicant other than an individual, the telephone number(s) of the authorized representative.
(5) The aircraft manufacturer and model name.
(6) For any standard remote identification unmanned aircraft, the serial number issued by the manufacturer of the unmanned aircraft in accordance with the design and production requirements of part 89 of this chapter. The serial number provided in this application must not be listed on more than one Certificate of Aircraft Registration at the same time.
(7) For any unmanned aircraft equipped with a remote identification broadcast module, the serial number issued by the manufacturer of the remote identification broadcast module in accordance with the design and production requirements of part 89 of this chapter. An applicant may submit the serial number of more than one remote identification broadcast module as part of the application for aircraft registration under § 48.105. The serial number of a remote identification broadcast module provided in this application must not be listed on more than one Certificate of Aircraft Registration at the same time.
(8) Other information as required by the Administrator.
(b) Provision of information. The information identified in paragraph (a) of this section must be submitted to the Registry through the web-based small unmanned aircraft registration system in a form and manner prescribed by the Administrator.
(c) Issuance of Certificate of Aircraft Registration. The FAA will issue a Certificate of Aircraft Registration upon completion of the application requirements provided in paragraph (a) of this section.
(a) The holder of a Certificate of Aircraft Registration must ensure that the information provided under § 48.110 remains accurate.
(b) The holder of a Certificate of Aircraft Registration must update the information using the web-based small unmanned aircraft registration system within 14 calendar days of the following:
(1) A change in the information provided under § 48.110.
(2) When aircraft registration requires cancellation for any reason including sale or transfer, destruction, or export.
The registration of a small unmanned aircraft is invalid if, at the time it is made—
(a) The aircraft is registered in a foreign country;
(b) The applicant is not the owner, except when the applicant registers on behalf of an owner who is under 13 years of age;
(c) The applicant is not eligible to submit an application under this part; or
(d) The interest of the applicant in the aircraft was created by a transaction that was not entered into in good faith, but rather was made to avoid (with or without the owner's knowledge) compliance with 49 U.S.C. 44101-44103.
Except for corporations eligible to register under § 48.20(c), the FAA will issue a recognition of ownership to persons required to comply with the provisions of this part pursuant to an authorization to operate issued under part 375 of this title. The recognition of ownership does not have the effect of U.S. aircraft registration.
(a) No person may operate a small unmanned aircraft registered in accordance with this part unless the aircraft displays a unique identifier in accordance with the requirements of § 48.205 of this subpart.
(b) A unique identifier is one of the following:
(1) The registration number issued to an individual or the registration number issued to the aircraft by the Registry upon completion of the registration process provided by this part; or
(2) If authorized by the Administrator, the small unmanned aircraft serial number provided with the application for Certificate of Aircraft Registration under § 48.110(a).
(a) The unique identifier must be maintained in a condition that is legible.
(b) The unique identifier must be affixed to the small unmanned aircraft by any means necessary to ensure that it will remain affixed for the duration of each operation.
(c) The unique identifier must be legibly displayed on an external surface of the small unmanned aircraft.
(a) This part applies to the recording of certain conveyances affecting title to, or any interest in—
(1) Any aircraft registered under 49 U.S.C. 44101-44104;
(2) Any specifically identified aircraft engine of 550 or more rated takeoff horsepower, or the equivalent of that horsepower;
(3) Any specifically identified aircraft propeller able to absorb 750 or more rated takeoff shaft horsepower; and
(4) Any aircraft engine, propeller, or appliance maintained by or for an air carrier certificated under 49 U.S.C. 44705, for installation or use in an aircraft, aircraft engine, or propeller, or any spare part, maintained at a designated location or locations by or for such an air carrier.
(b) Subpart B of this part governs, where applicable by its terms, conveyances subject to this part.
To be eligible for recording, a conveyance must be delivered to the Registry by a means and in a form acceptable to the Administrator, to include electronic or digital forms and means compatible with systems of the Registry.
(a) Each signature on a conveyance must be signed in a manner acceptable to the Administrator.
(b) Paragraphs (b) through (f) of § 47.13 of this chapter apply to a conveyance made by, or on behalf of, one or more persons doing business under a trade name, or by an agent, corporation, partnership, coowner, or unincorporated association.
(c) No conveyance or other instrument need be acknowledged, as provided in 49 U.S.C. 44107(c), in order to be recorded under this part. The law of the place of delivery of the conveyance determines when a conveyance or other instrument must be acknowledged in order to be valid for the purposes of that place.
(d) A power of attorney or other evidence of a person's authority to sign for another, submitted under this part, is valid for the purposes of this section, unless sooner revoked, until—
(1) Its expiration date stated therein; or
(2) If an expiration date is not stated thereon, for not more than 3 years after the date—
(i) It is signed; or
(ii) The grantor (a corporate officer or other person in a managerial position therein, where the grantor is a corporation) certifies in writing that the authority to sign shown by the power of attorney or other evidence is still in effect.
(a) The fees charged for recording conveyances under this part are as follows:
| (1) Conveyance of aircraft— | |
| For each aircraft listed therein | $5.00 |
| (2) Conveyance, made for security purposes, of a specifically identified aircraft engine or propeller, or any assignment or amendment thereof, or supplement thereto, recorded under Subpart D— | |
| For each engine or propeller | 5.00 |
| (3) Conveyance, made for security purposes, of aircraft engines, propellers, appliances, or spare parts, maintained at a designated location or locations, or any assignment or amendment thereof, or supplement thereto, recorded under Subpart E— | |
| For the group of items at each location | 5.00 |
(b) There is no fee for recording a bill of sale that accompanies an application for aircraft registration and the proper fee under Part 47 of this chapter.
(c) Each conveyance must be accompanied by the proper fee, that may be paid by check or money order to the Federal Aviation Administration.
(a)(1) Each instrument recorded under this part is a “conveyance” within the following definition in 49 U.S.C. 40102(a)(19):
“Conveyance” means an instrument, including a conditional sales contract, affecting title to, or an interest in, property.
(2) A notice of Federal tax lien is not recordable under this part, since it is required to be filed elsewhere by the Internal Revenue Code (26 U.S.C. 6321, 6323; 26 CFR 301.6321-1, 301.6323-1).
(b) The kinds of conveyance recordable under this part include those used as evidence of ownership under § 47.11 of this chapter.
(c) The validity of any instrument, eligible for recording under this part, is governed by the laws of the State, possession, Puerto Rico, or District of Columbia, as the case may be, in which the instrument was delivered, regardless of the location or place of delivery of the property affected by the instrument. If the place where an instrument is intended to be delivered is stated in the instrument, it is presumed that the instrument was delivered at that place. The recording of a conveyance is not a decision of the FAA that the instrument does, in fact, affect title to, or an interest in, the aircraft or other property it covers.
(d) The following rules apply to conveyances executed for security purposes and assignments thereof:
(1) A security agreement must be signed by the debtor. If the debtor is not the registered owner of the aircraft, the security agreement must be accompanied by the debtor's Application for Aircraft Registration and evidence of ownership, as prescribed in Part 47 of this chapter, unless the debtor—
(i) Holds a Dealer's Aircraft Registration Certificate and submits evidence of ownership as provided in § 47.67 of this chapter (if applicable);
(ii) Was the owner of the aircraft on the date the security agreement was signed, as shown by documents recorded at the FAA Aircraft Registry; or
(iii) Is the vendor, bailor, or lessor under a contract of conditional sale.
(2) The name of a cosigner may not appear in the security agreement as a debtor or owner. If a person other than the registered owner signs the security agreement, that person must show the capacity in which that person signs, such as “cosigner” or “guarantor”.
(3) An assignment of an interest in a security agreement must be signed by the assignor and, unless it is attached to and is a part of the originating agreement, must describe the agreement in sufficient detail to identify it, including its date, the names of the parties, the date of FAA recording, and the recorded conveyance number.
(4) An amendment of, or a supplement to, a conveyance executed for security purposes that has been recorded by the FAA must meet the requirements for recording the original conveyance and must describe the original conveyance in sufficient detail to identify it, including its date, the names of the parties, the date of FAA recording, and the recorded conveyance number.
(5) Immediately after a debt secured by a conveyance given for security purposes has been satisfied, or any of the encumbered aircraft have been released from the conveyance, the holder shall execute a release on AC Form 8050-41, Part II—Release, provided to him by the FAA when the conveyance was recorded by the FAA, or its equivalent, and shall send it to the FAA Aircraft Registry for recording. If the debt is secured by more than one aircraft and all of the collateral is released, the collateral need not be described in detail in the release. However, the original conveyance must be clearly described in enough detail to identify it, including its date, the names of the parties, the date of FAA recording, and the recorded conveyance number.
(6) A contract of conditional sale, as defined in 49 U.S.C. 40102(a)(18), must be signed by all parties to the contract.
A conveyance is filed for recordation upon the date and at the time it is received by the FAA Aircraft Registry.
A person submitting a conveyance for recording may submit a true copy in lieu of the original, except where an original is specifically required. The true copy must be in a form and manner acceptable to the Administrator, to which is attached a certificate, or other acceptable attestation, of the person submitting the conveyance stating that the copy has been compared with the original and that it is a true copy.
This subpart applies to the recording of the following kinds of conveyances:
(a) A bill of sale, contract of conditional sale, assignment of an interest under a contract of conditional sale, mortgage, assignment of mortgage, lease, equipment trust, notice of tax lien or of other lien, or other instrument affecting title to, or any interest in, aircraft.
(b) A release, cancellation, discharge, or satisfaction of a conveyance named in paragraph (a) of this section.
A conveyance is eligible for recording under this subpart only if, in addition to the requirements of §§ 49.11, 49.13, and 49.17, the following requirements are met:
(a) It is in a form prescribed by, or acceptable to, the Administrator for that kind of conveyance;
(b) It describes the aircraft by make and model, manufacturer's serial number, and United States registration number, or other detail that makes identification possible;
(c) It is a true copy of an original document, certified under § 49.21, or an original document or a duplicate original document;
(d) It affects aircraft registered under 49 U.S.C. 44101-44104; and
(e) It is accompanied by the recording fee required by § 49.15, but there is no fee for recording a conveyance named in § 49.31(b).
If the seller of an aircraft is not shown on the records of the FAA as the owner of the aircraft, a conveyance, including a contract of conditional sale, submitted for recording under this subpart must be accompanied by bills of sale or similar documents showing consecutive transfers from the last registered owner, through each intervening owner, to the seller.
The right to a charge arising out of a claim for compensation for salvage of an aircraft or for extraordinary expenses indispensable for preserving the aircraft in operations terminated in a foreign country that is a party to the Convention on the International Recognition of Rights in Aircraft (4 U.S.T. 1830) may be noted on the FAA record by filing notice thereof with the FAA Aircraft Registry within three months after the date of termination of the salvage or preservation operations.
This subpart applies to the recording of the following kinds of conveyances:
(a) Any lease, a notice of tax lien or other lien (except a notice of Federal tax lien referred to in § 49.17(a)), and any mortgage, equipment trust, contract of conditional sale, or other instrument executed for security purposes, which affects title to, or any interest in, any specifically identified aircraft engine of 550 or more rated takeoff horsepower, or the equivalent of that horsepower, or a specifically identified aircraft propeller capable of absorbing 750 or more rated takeoff shaft horsepower.
(b) An assignment or amendment of, or supplement to, an instrument named in paragraph (a) of this section.
(c) A release, cancellation, discharge, or satisfaction of a conveyance named in paragraph (a) or (b) of this section.
A conveyance is eligible for recording under this subpart only if, in addition to the requirements of §§ 49.11, 49.13, and 49.17, the following requirements are met:
(a) It affects and describes an aircraft engine or propeller to which this subpart applies, specifically identified by make, model, horsepower, and manufacturer's serial number; and
(b) It is accompanied by the recording fee required by § 49.15, but there is no fee for recording a conveyance named in § 49.41(c).
(a) A release, cancellation, discharge, or satisfaction of an encumbrance created by an instrument recorded under this subpart must be in a form equivalent to AC Form 8050-41 and contain a description of the encumbrance, the recording information furnished to the holder at the time of recording, and the collateral released.
(b) If more than one engine or propeller, or both, are listed in an instrument, recorded under this subpart, that created an encumbrance thereon and all of them are released, they need not be listed by serial number, but the release, cancellation, discharge, or satisfaction must state that all of the encumbered engines or propellers are released. The original recorded document must be clearly identified by the names of the parties, the date of FAA recording, and the document date.
This subpart applies to the recording of the following kinds of conveyances:
(a) Any lease, a notice of tax lien or other lien (except a notice of Federal tax lien referred to in § 49.17 (a), and any mortgage, equipment trust, contract of conditional sale, or other instrument executed for security purposes, which affects title to, or any interest in, any aircraft engine, propeller, or appliance maintained by or on behalf of an air carrier certificated under 49 U.S.C. 44705 for installation or use in aircraft, aircraft engines, or propellers, or any spare parts, maintained at a designated location or locations by or on behalf of such an air carrier.
(b) An assignment or amendment of, or supplement to, an instrument named in paragraph (a) of this section.
(c) A release, cancellation, discharge, or satisfaction of a conveyance named in paragraph (a) or (b) of this section.
(a) A conveyance is eligible for recording under this subpart only if, in addition to the requirements of §§ 49.11, 49.13, and 49.17, the following requirements are met:
(1) It affects any aircraft engine, propeller, appliance, or spare part, maintained by or on behalf of an air carrier certificated under 49 U.S.C. 44705;
(2) It contains or is accompanied by a statement by the air carrier certificated under that section;
(3) It specifically describes the location or locations of each aircraft engine, propeller, appliance, or spare part covered by it; and
(4) It is accompanied by the recording fee required by § 49.15, but there is no fee for recording a conveyance named in § 49.51(c).
(b) The conveyance need only describe generally, by type, the engines, propellers, appliances, or spare parts covered by it.
(a) A release, cancellation, discharge, or satisfaction of an encumbrance on all of the collateral listed in an instrument recorded under this subpart, or on all of the collateral at a particular location, must be in a form equivalent to AC Form 8050-41, signed by the holder of all of the collateral at the particular location, and contain a description of the encumbrance, the recording information furnished to the holder at the time of recording, and the location of the released collateral.
(b) If the encumbrance on collateral at all of the locations listed in an instrument recorded under this subpart is released, canceled, discharged, or satisfied, the locations need not be listed. However, the document must state that all of the collateral at all of the locations listed in the encumbrance has been so released, canceled, discharged, or satisfied. The original recorded document must be clearly identified by the names of the parties, the date of recording by the FAA, and the document number.
The FAA Civil Aviation Registry is designated under Section 3 of the Cape Town Treaty Implementation Act of 2004, as the entry point for authorizing the transmission of information to the International Registry affecting United States civil aircraft, aircraft assigned a U.S. registration number and engines with a rated shaft horsepower of 550 or the equivalent thereof. This subpart applies to the transmission of information to the International Registry; the filing of the Entry Point filing form, AC Form 8050-135; and the filing of documents eligible for recording under subparts C and D of part 49.
(a) To send information to the International Registry with respect to a civil aircraft of the United States, an aircraft for which a U.S. identification number has been assigned, or an aircraft engine, a person requesting a unique authorization code from the FAA Aircraft Registry must comply with the following:
(1) File a completed AC Form 8050-135 with the FAA Aircraft Registry; and
(2) For civil aircraft of the United States, file with the FAA Aircraft Registry any documents representing the transaction that meet the requirements of subpart C of this part; or
(3) For aircraft engines, file with the FAA Aircraft Registry any documents representing the transaction that meet the requirements of subpart D of this part.
(b) Nothing in this section requires transmittal of information relating to aircraft engines to the International Registry through the FAA Aircraft Registry.
(a) This part prescribes the rules governing the initial and continuing qualification and use of all aircraft flight simulation training devices (FSTD) used for meeting training, evaluation, or flight experience requirements of this chapter for flight crewmember certification or qualification. Additional requirements for FSTD representing powered-lift are set forth in part 194 of this chapter.
(b) The rules of this part apply to each person using or applying to use an FSTD to meet any requirement of this chapter.
(c) The requirements of § 60.33 regarding falsification of applications, records, or reports also apply to each person who uses an FSTD for training, evaluation, or obtaining flight experience required for flight crewmember certification or qualification under this chapter.
(a) The rules of this part that are directed to a sponsor of an FSTD also apply to any person who uses or causes the use of an FSTD when—
(1) That person knows that the FSTD does not have an FAA-approved sponsor; and
(2) The use of the FSTD by that person is nonetheless claimed for purposes of meeting any requirement of this chapter or that person knows or should have known that the person's acts or omissions would cause another person to mistakenly credit use of the FSTD for purposes of meeting any requirement of this chapter.
(b) A situation in which paragraph (a) of this section would not apply to a person would be when each of the following conditions are met:
(1) The person sold or leased the FSTD and merely represented to the purchaser or lessee that the FSTD is in a condition in which it should be able to obtain FAA approval and qualification under this part;
(2) The person does not falsely claim to be the FAA-approved sponsor for the FSTD;
(3) The person does not falsely make representations that someone else is the FAA-approved sponsor of the FSTD at a time when that other person is not the FAA-approved sponsor of the FSTD; and
(4) The person's acts or omissions do not cause another person to detrimentally rely on such acts or omissions for the mistaken conclusion that the FSTD is FAA-approved and qualified under this part at the time the FSTD is sold or leased.
In addition to the definitions in part 1 of this chapter, other terms and definitions applicable to this part are found in appendix F of this part.
The Qualification Performance Standards (QPS) are published in appendices to this part as follows:
(a) Appendix A contains the QPS for Airplane Flight Simulators.
(b) Appendix B contains the QPS for Airplane Flight Training Devices.
(c) Appendix C contains the QPS for Helicopter Flight Simulators.
(d) Appendix D contains the QPS for Helicopter Flight Training Devices.
(e) Appendix E contains the QPS for Quality Management Systems for FSTDs.
(f) Appendix F contains the QPS for Definitions and Abbreviations for FSTDs.
(a) After May 30, 2010, no sponsor may use or allow the use of or offer the use of an FSTD for flight crewmember training or evaluation or for obtaining flight experience to meet any requirement of this chapter unless the sponsor has established and follows a quality management system (QMS), currently approved by the responsible Flight Standards office, for the continuing surveillance and analysis of the sponsor's performance and effectiveness in providing a satisfactory FSTD for use on a regular basis as described in QPS appendix E of this part.
(b) The QMS program must provide a process for identifying deficiencies in the program and for documenting how the program will be changed to address these deficiencies.
(c) Whenever the responsible Flight Standards office finds that the QMS program does not adequately address the procedures necessary to meet the requirements of this part, the sponsor must, after notification by the responsible Flight Standards office, change the program so the procedures meet the requirements of this part. Each such change must be approved by the responsible Flight Standards office prior to implementation.
(d) Within 30 days after the sponsor receives a notice described in paragraph (c) of this section, the sponsor may file a petition with the Executive Director of Flight Standards Service (the Executive Director) for reconsideration of the responsible Flight Standards office finding. The sponsor must address its petition to the Executive Director, Flight Standards Service, Federal Aviation Administration, 800 Independence Ave., SW., Washington, DC 20591. The filing of such a petition to reconsider stays the notice pending a decision by the Executive Director. However, if the Executive Director finds that there is a situation that requires immediate action in the interest of safety in air commerce, he may, upon a statement of the reasons, require a change effective without stay.
(a) A person is eligible to apply to be a sponsor of an FSTD if the following conditions are met:
(1) The person holds, or is an applicant for, a certificate under part 119, 141, or 142 of this chapter; or holds, or is an applicant for, an approved flight engineer course in accordance with part 63 of this chapter.
(2) The FSTD will be used, or will be offered for use, in the sponsor's FAA-approved flight training program for the aircraft being simulated as evidenced in a request for evaluation submitted to the responsible Flight Standards office.
(b) A person is a sponsor if the following conditions are met:
(1) The person is a certificate holder under part 119, 141, or 142 of this chapter or has an approved flight engineer course in accordance with part 63 of this chapter.
(2) The person has—
(i) Operations specifications authorizing the use of the specific aircraft or set of aircraft and has an FAA-approved training program under which at least one FSTD, simulating the aircraft or set of aircraft and for which the person is the sponsor, is used by the sponsor as described in paragraphs (b)(5) or (b)(6) of this section; or
(ii) Training specifications or an FAA-approved course of training under which at least one FSTD, simulating that aircraft or set of aircraft and for which the person is the sponsor, is used by the sponsor as described in paragraphs (b)(5) or (b)(6) of this section.
(3) The person has a quality management system currently approved by the responsible Flight Standards office in accordance with § 60.5.
(4) The responsible Flight Standards office has accepted the person as the sponsor of the FSTD and that acceptance has not been withdrawn by the FAA.
(5) At least one FSTD (as referenced in paragraph (b)(2)(i) or (b)(2)(ii) of this section) that is initially qualified on or after May 30, 2008, is used within the sponsor's FAA-approved flight training program for the aircraft or set of aircraft at least once within the 12-month period following the initial/upgrade evaluation, and at least once within each subsequent 12-month period thereafter.
(6) At least one FSTD (as referenced in paragraph (b)(2)(i) or (b)(2)(ii) of this section) that was qualified before May 30, 2008, is used within the sponsor's FAA-approved flight training program for the aircraft or set of aircraft at least once within the 12-month period following the first continuing qualification evaluation conducted by the responsible Flight Standards office after May 30, 2008 and at least once within each subsequent 12-month period thereafter.
(c) If the use requirements of paragraphs (b)(2) and either (b)(5) or (b)(6) of this section are not met, the person will forfeit the right to sponsor that FSTD and that person will not be eligible to apply to sponsor that FSTD for at least 12 calendar months following the expiration of the qualification status.
(d) In addition to the FSTD described in paragraph (b) of this section, an FSTD sponsor may sponsor any number of other FSTDs regardless of specific aircraft or set of aircraft provided either—
(1) During the preceding 12-month period, all of the other FSTDs are used within the sponsor's or another certificate holder's FAA-approved flight training program for the aircraft or set of aircraft simulated; or
(2) The sponsor obtains a written statement at least annually from a qualified pilot who has flown the aircraft or set of aircraft (as appropriate) during the preceding 12-month period stating that the subject FSTD's performance and handling qualities, within the normal operating envelope, represent the aircraft or set of aircraft described in the FAA Type Certificate and the type data sheet, if appropriate. The sponsor must retain the two most current written statements for review by the responsible Flight Standards office.
(a) The sponsor must allow the responsible Flight Standards office upon request to inspect the FSTD as soon as practicable. This inspection may include all records and documents relating to the FSTD, to determine its compliance with this part.
(b) The sponsor must do the following for each FSTD:
(1) Establish a mechanism to receive written comments regarding the FSTD and its operation in accordance with the QPS appendix E of this part.
(2) Post in or adjacent to the FSTD the Statement of Qualification issued by the responsible Flight Standards office. An electronic copy of the Statement of Qualification that may be accessed by an appropriate terminal or display in or adjacent to the FSTD is satisfactory.
(c) Each sponsor of an FSTD must identify to the responsible Flight Standards office by name, one individual to be the management representative (MR).
(1) One person may serve as an MR for more than one FSTD, but one FSTD must not have more than one person serving in this capacity.
(2) Each MR must be an employee of the sponsor with the responsibility and authority to—
(i) Monitor the on-going qualification of assigned FSTDs to ensure that all matters regarding FSTD qualification are being carried out as provided for in this part;
(ii) Ensure that the QMS is properly established, implemented, and maintained by overseeing the structure (and modifying where necessary) of the QMS policies, practices, and procedures; and
(iii) Regularly brief sponsor's management on the status of the on-going FSTD qualification program and the effectiveness and efficiency of the QMS.
(3) The MR serves as the primary contact point for all matters between the sponsor and the responsible Flight Standards office regarding the qualification of that FSTD as provided for in this part.
(4) The MR may delegate the duties described in paragraph (c)(2) and (c)(3) of this section to an individual at each of the sponsor's locations.
No person may use or allow the use of or offer the use of an FSTD for flight crewmember training or evaluation or for obtaining flight experience to meet any of the requirements under this chapter unless, in accordance with the QPS for the specific device, the FSTD meets all of the following:
(a) Has a single sponsor who is qualified under § 60.7. The sponsor may arrange with another person for services of document preparation and presentation, as well as FSTD inspection, maintenance, repair, and servicing; however, the sponsor remains responsible for ensuring that these functions are conducted in a manner and with a result of continually meeting the requirements of this part.
(b) Is qualified as described in the Statement of Qualification.
(c) Remains qualified, through satisfactory inspection, continuing qualification evaluations, appropriate maintenance, and use requirements in accordance with this part and the applicable QPS.
(d) Functions during day-to-day training, evaluation, or flight experience activities with the software and hardware that was evaluated as satisfactory by the responsible Flight Standards office and, if modified, modified only in accordance with the provisions of this part. However, this section does not apply to routine software or hardware changes that do not fall under the requirements of § 60.23.
(e) Is operated in accordance with the provisions and limitations of § 60.25.
(a) Except as provided in paragraph (b) and (c) of this section, for the purposes of validating FSTD performance and handling qualities during evaluation for qualification, the data made available to the responsible Flight Standards office (the validation data package) must include the aircraft manufacturer's flight test data and all relevant data developed after the type certificate was issued (e.g., data developed in response to an airworthiness directive) if such data results from a change in performance, handling qualities, functions, or other characteristics of the aircraft that must be considered for flight crewmember training, evaluation, or for meeting experience requirements of this chapter.
(b) The validation data package may contain flight test data from a source in addition to or independent of the aircraft manufacturer's data in support of an FSTD qualification, but only if this data is gathered and developed by that source in accordance with flight test methods, including a flight test plan, as described in the applicable QPS.
(c) The validation data package may also contain predicted data, engineering simulation data, data from pilot owner or pilot operating manuals, or data from public domain sources, provided this data is acceptable to the responsible Flight Standards office. If found acceptable the data may then be used in particular applications for FSTD qualification.
(d) Data or other material or elements must be submitted in a form and manner acceptable to the responsible Flight Standards office.
(e) The responsible Flight Standards office may require additional objective data, which may include flight testing if necessary, if the validation data package does not support FSTD qualification requirements as described in this part and the applicable QPS appendix.
(f) When an FSTD sponsor learns, or is advised by an aircraft manufacturer or other data provider, that an addition to, an amendment to, or a revision of data that may relate to FSTD performance or handling characteristics is available, the sponsor must notify the responsible Flight Standards office as described in the applicable QPS.
When notified by the responsible Flight Standards office, the sponsor must make available all special equipment and qualified personnel needed to accomplish or assist in the accomplishment of tests during initial qualification, continuing qualification, or special evaluations.
(a) For each FSTD, the sponsor must submit a request to the responsible Flight Standards office to evaluate the FSTD for initial qualification at a specific level and simultaneously request the Training Program Approval Authority (TPAA) forward a concurring letter to the responsible Flight Standards office. The request must be submitted in the form and manner described in the applicable QPS.
(b) The management representative described in § 60.9(c) must sign a statement (electronic signature is acceptable for electronic transmissions) after confirming the following:
(1) The performance and handling qualities of the FSTD represent those of the aircraft or set of aircraft within the normal operating envelope. This determination must be made by a pilot(s) meeting the requirements of paragraph (d) of this section after having flown all of the Operations Tasks listed in the applicable QPS appendix relevant to the qualification level of the FSTD. Exceptions, if any, must be noted. The name of the person(s) making this determination must be available to the responsible Flight Standards office upon request.
(2) The FSTD systems and sub-systems (including the simulated aircraft systems) functionally represent those in the aircraft or set of aircraft. This determination must be made by the pilot(s) described in paragraph (b)(1) of this section, or by a person(s) trained on simulator systems/sub-systems and trained on the operation of the simulated aircraft systems, after having exercised the operation of the FSTD and the pertinent functions available through the Instructor Operating Station(s). Exceptions, if any, must be noted. The name of the person(s) making this determination must be available to the responsible Flight Standards office upon request.
(3) The cockpit represents the configuration of the specific type; or aircraft make, model, and series aircraft being simulated, as appropriate. This determination must be made by the pilot(s) described in paragraph (b)(1) of this section, or by a person(s) trained on the configuration and operation of the aircraft simulated. Exceptions, if any, must be noted. The name of the person(s) making this determination must be available to the responsible Flight Standards office upon request.
(c) Except for those FSTDs previously qualified and described in § 60.17, each FSTD evaluated for initial qualification must meet the standard that is in effect at the time of the evaluation. However—
(1) If the FAA publishes a change to the existing standard or publishes a new standard for the evaluation for initial qualification, a sponsor may request that the responsible Flight Standards office apply the standard that was in effect when an FSTD was ordered for delivery if the sponsor—
(i) Within 30 days of the publication of the change to the existing standard or publication of the new standard, notifies the responsible Flight Standards office that an FSTD has been ordered;
(ii) Within 90 days of the responsible Flight Standards office notification described in paragraph (c)(1)(i) of this section, requests that the standard in effect at the time the order was placed be used for the evaluation for initial qualification; and
(iii) The evaluation is conducted within 24 months following the publication of the change to the existing standard or publication of the new standard.
(2) This notification must include a description of the FSTD; the anticipated qualification level of the FSTD; the make, model, and series of aircraft simulated; and any other pertinent information.
(3) Any tests, tolerances, or other requirements that are current at the time of the evaluation may be used during the initial evaluation, at the request of the sponsor, if the sponsor provides acceptable updates to the required qualification test guide.
(4) The standards used for the evaluation for initial qualification will be used for all subsequent evaluations of the FSTD.
(5) An FSTD sponsor or FSTD manufacturer may submit a request to the Administrator for approval of a deviation from the QPS requirements as defined in Appendix A through Appendix D of this part.
(i) Requests for deviation must be submitted in a form and manner acceptable to the Administrator and must provide sufficient justification that the deviation meets or exceeds the testing requirements and tolerances as specified in the part 60 QPS or will otherwise not adversely affect the fidelity and capability of the FSTDs evaluated and qualified under the deviation.
(ii) The Administrator may consider deviation from the minimum requirements tables, the objective testing tables, the functions and subjective testing tables, and other supporting tables and requirements in the part 60 QPS.
(iii) Deviations may be issued to an FSTD manufacturer for the initial qualification of multiple FSTDs, subject to terms and limitations as determined by Administrator. Approved deviations will become a part of the permanent qualification basis of the individual FSTD and will be noted in the FSTD's Statement of Qualification.
(iv) If the FAA publishes a change to the existing part 60 standards as described in paragraph (c)(1) of this section or issues an FSTD Directive as described in § 60.23(b), which conflicts with or supersedes an approved deviation, the Administrator may terminate or revise a grant of deviation authority issued under this paragraph.
(d) The pilot(s) who contributes to the confirmation statement required by paragraph (b) of this section must—
(1) Be designated by the sponsor; and
(2) Be qualified in—
(i) The aircraft or set of aircraft being simulated; or
(ii) For aircraft not yet issued a type certificate, or aircraft not previously operated by the sponsor or not having previous FAA-approved training programs conducted by the sponsor, an aircraft similar in size and configuration.
(e) The subjective tests that form the basis for the statements described in paragraph (b) of this section and the objective tests referenced in paragraph (f) of this section must be accomplished at the sponsor's training facility or other sponsor designated location where training will take place, except as provided for in the applicable QPS.
(f) The person seeking to qualify the FSTD must provide the responsible Flight Standards office access to the FSTD for the length of time necessary for the responsible Flight Standards office to complete the required evaluation of the FSTD for initial qualification, which includes the conduct and evaluation of objective and subjective tests, including general FSTD requirements, as described in the applicable QPS, to determine that the FSTD meets the standards in that QPS.
(g) When the FSTD passes an evaluation for initial qualification, the responsible Flight Standards office issues a Statement of Qualification that includes all of the following:
(1) Identification of the sponsor.
(2) Identification of the make, model, and series of the aircraft or set of aircraft being simulated.
(3) Identification of the configuration of the aircraft or set of aircraft being simulated (e.g., engine model or models, flight instruments, or navigation or other systems).
(4) A statement that the FSTD is qualified as either a full flight simulator or a flight training device.
(5) Identification of the qualification level of the FSTD.
(6) A statement that (with the exception of the noted exclusions for which the FSTD has not been subjectively tested by the sponsor or the responsible Flight Standards office and for which qualification is not sought) the qualification of the FSTD includes the tasks set out in the applicable QPS appendix relevant to the qualification level of the FSTD.
(7) A statement referencing any deviations that have been granted and included in the permanent qualification basis of the FSTD.
(h) After the responsible Flight Standards office completes the evaluation for initial qualification, the sponsor must update the Qualification Test Guide (QTG), with the results of the FAA-witnessed tests together with the results of all the objective tests described in the applicable QPS.
(i) Upon issuance of the Statement of Qualification the updated QTG becomes the Master Qualification Test Guide (MQTG). The MQTG must be made available to the responsible Flight Standards office upon request.
(a) A currently qualified FSTD is required to undergo an additional qualification process if a user intends to use the FSTD for meeting training, evaluation, or flight experience requirements of this chapter beyond the qualification issued for that FSTD. This process consists of the following:
(1) The sponsor:
(i) Must submit to the responsible Flight Standards office all modifications to the MQTG that are required to support the additional qualification.
(ii) Must describe to the responsible Flight Standards office all modifications to the FSTD that are required to support the additional qualification.
(iii) Must submit to the responsible Flight Standards office a confirmation statement as described in § 60.15(c) that a pilot, designated by the sponsor in accordance with § 60.15(d), has subjectively evaluated the FSTD in those areas not previously evaluated.
(2) The FSTD must successfully pass an evaluation—
(i) Consisting of all the elements of an initial evaluation for qualification in those circumstances where the responsible Flight Standards office has determined that all the elements of an initial evaluation for qualification is necessary; or
(ii) Consisting of those elements of an initial evaluation for qualification designated as necessary by the responsible Flight Standards office.
(b) In making the determinations described in paragraph (a)(2) of this section, the responsible Flight Standards office considers factors including the existing qualification of the FSTD, any modifications to the FSTD hardware or software that are involved, and any additions or modifications to the MQTG.
(c) The FSTD is qualified for the additional uses when the responsible Flight Standards office issues an amended Statement of Qualification in accordance with § 60.15(h).
(d) The sponsor may not modify the FSTD except as described in § 60.23.
(a) Unless otherwise specified by an FSTD Directive, further referenced in the applicable QPS, or as specified in paragraph (e) of this section, an FSTD qualified before May 31, 2016 will retain its qualification basis as long as it continues to meet the standards, including the objective test results recorded in the MQTG and subjective tests, under which it was originally evaluated, regardless of sponsor. The sponsor of such an FSTD must comply with the other applicable provisions of this part.
(b) For each FSTD qualified before May 30, 2008, no sponsor may use or allow the use of or offer the use of such an FSTD after May 30, 2014 for flight crewmember training, evaluation or flight experience to meet any of the requirements of this chapter, unless that FSTD has been issued a Statement of Qualification, including the Configuration List and the List of Qualified Tasks in accordance with the procedures set out in the applicable QPS.
(c) If the FSTD qualification is lost under § 60.27 and—
(i) Restored under § 60.27 in less than (2) years, then the qualification basis (in terms of objective tests and subjective tests) for the re-qualification will be those against which the FSTD was originally evaluated and qualified.
(ii) Not restored under § 60.27 for two (2) years or more, then the qualification basis (in terms of objective tests and subjective tests) for the re-qualification will be those standards in effect and current at the time of re-qualification application.
(d) Except as provided in paragraph (e) of this section, any change in FSTD qualification level initiated on or after May 30, 2008 requires an evaluation for initial qualification in accordance with this part.
(e) A sponsor may request that an FSTD be permanently downgraded. In such a case, the responsible Flight Standards office may downgrade a qualified FSTD without requiring and without conducting an initial evaluation for the new qualification level. Subsequent continuing qualification evaluations will use the existing MQTG, modified as necessary to reflect the new qualification level.
(f) When the sponsor has appropriate validation data available and receives approval from the responsible Flight Standards office, the sponsor may adopt tests and associated tolerances described in the current qualification standards as the tests and tolerances applicable for the continuing qualification of a previously qualified FSTD. The updated test(s) and tolerance(s) must be made a permanent part of the MQTG.
(a) Inspection. No sponsor may use or allow the use of or offer the use of an FSTD for flight crewmember training, evaluation, or flight experience to meet any of the requirements of this chapter unless the sponsor does the following:
(1) Accomplishes all appropriate objective tests each year as specified in the applicable QPS.
(2) Completes a functional preflight check within the preceding 24 hours.
(b) Continuing qualification evaluation. (1) This evaluation consists of objective tests, and subjective tests, including general FSTD requirements, as described in the applicable QPS or as may be amended by an FSTD Directive.
(2) The sponsor must contact the responsible Flight Standards office to schedule the FSTD for continuing qualification evaluations not later than 60 days before the evaluation is due.
(3) The sponsor must provide the responsible Flight Standards office responsible Flight Standards office access to the objective test results in the MQTG and access to the FSTD for the length of time necessary for the responsible Flight Standards office to complete the required continuing qualification evaluations.
(4) The frequency of the responsible Flight Standards office-conducted continuing qualification evaluations for each FSTD will be established by the responsible Flight Standards office and specified in the Statement of Qualification.
(5) Continuing qualification evaluations conducted in the 3 calendar months before or after the calendar month in which these continuing qualification evaluations are required will be considered to have been conducted in the calendar month in which they were required.
(6) No sponsor may use or allow the use of or offer the use of an FSTD for flight crewmember training or evaluation or for obtaining flight experience for the flight crewmember to meet any requirement of this chapter unless the FSTD has passed a responsible Flight Standards office-conducted continuing qualification evaluation within the time frame specified in the Statement of Qualification or within the grace period as described in paragraph (b)(5) of this section.
(c) Maintenance. The sponsor is responsible for continuing corrective and preventive maintenance on the FSTD to ensure that it continues to meet the requirements of this part and the applicable QPS appendix. No sponsor may use or allow the use of or offer the use of an FSTD for flight crewmember training, evaluation, or flight experience to meet any of the requirements of this chapter unless the sponsor does the following:
(1) Maintains a discrepancy log.
(2) Ensures that, when a discrepancy is discovered, the following requirements are met:
(i) A description of each discrepancy is entered in the log and remains in the log until the discrepancy is corrected as specified in § 60.25(b).
(ii) A description of the corrective action taken for each discrepancy, the identity of the individual taking the action, and the date that action is taken is entered in the log.
(iii) The discrepancy log is kept in a form and manner acceptable to the Administrator and is kept in or adjacent to the FSTD. An electronic log that may be accessed by an appropriate terminal or display in or adjacent to the FSTD is satisfactory.
Each instructor, check airman, or representative of the Administrator conducting training, evaluation, or flight experience, and each person conducting the preflight inspection who discovers a discrepancy, including any missing, malfunctioning, or inoperative components in the FSTD, must write or cause to be written a description of that discrepancy into the discrepancy log at the end of the FSTD preflight or FSTD use session.
(a) A sponsor may apply for and the responsible Flight Standards office may issue an interim qualification level for an FSTD for a new type or model of aircraft, even though the aircraft manufacturer's aircraft data package is preliminary, if the sponsor provides the following to the satisfaction of the responsible Flight Standards office—
(1) The aircraft manufacturer's data, which consists of at least predicted data, validated by a limited set of flight test data;
(2) The aircraft manufacturer's description of the prediction methodology used to develop the predicted data; and
(3) The QTG test results.
(b) An FSTD that has been issued interim qualification is deemed to have been issued initial qualification unless the responsible Flight Standards office rescinds the qualification. Interim qualification terminates two years after its issuance, unless the responsible Flight Standards office determines that specific conditions warrant otherwise.
(c) Within twelve months of the release of the final aircraft data package by the aircraft manufacturer, but no later than two years after the issuance of the interim qualification status, the sponsor must apply for initial qualification in accordance with § 60.15 based on the final aircraft data package approved by the aircraft manufacturer, unless the responsible Flight Standards office determines that specific conditions warrant otherwise.
(d) An FSTD with interim qualification may be modified only in accordance with § 60.23.
(a) Description of a modification. For the purposes of this part, an FSTD is said to have been modified when:
(1) Equipment or devices intended to simulate aircraft appliances are added to or removed from FSTD, which change the Statement of Qualification or the MQTG; or
(2) Changes are made to either software or hardware that are intended to impact flight or ground dynamics; changes are made that impact performance or handling characteristics of the FSTD (including motion, visual, control loading, or sound systems for those FSTD levels requiring sound tests and measurements); or changes are made to the MQTG. Changes to the MQTG which do not affect required objective testing results or validation data approved during the initial evaluation of the FSTD are not considered modifications under this section.
(b) FSTD Directive. When the FAA determines that FSTD modification is necessary for safety of flight reasons, the sponsor of each affected FSTD must ensure that the FSTD is modified according to the FSTD Directive regardless of the original qualification standards applicable to any specific FSTD.
(c) Using the modified FSTD. The sponsor may not use, or allow the use of, or offer the use of, the FSTD with the proposed modification for flight crewmember training or evaluation or for obtaining flight experience for the flight crewmember to meet any requirement of this chapter unless:
(1) The sponsor has notified the responsible Flight Standards office and the TPAA of their intent to incorporate the proposed modification, and one of the following has occurred;
(i) Twenty-one days have passed since the sponsor notified the responsible Flight Standards office and the TPAA of the proposed modification and the sponsor has not received any response from either the responsible Flight Standards office or the TPAA;
(ii) Twenty-one days have passed since the sponsor notified the responsible Flight Standards office and the TPAA of the proposed modification and one has approved the proposed modification and the other has not responded;
(iii) Fewer than twenty-one days have passed since the sponsor notified the responsible Flight Standards office and the TPAA of the proposed modification and the responsible Flight Standards office and TPAA both approve the proposed modification;
(iv) The sponsor has successfully completed any evaluation the responsible Flight Standards office may require in accordance with the standards for an evaluation for initial qualification or any part thereof before the modified FSTD is placed in service.
(2) The notification is submitted with the content as, and in a form and manner as, specified in the applicable QPS.
(d) User notification. When a modification is made to an FSTD that affects the Statement of Qualification, the sponsor must post an addendum to the Statement of Qualification until such time as a permanent, updated statement is posted.
(e) MQTG update. The MQTG must be updated with current objective test results in accordance with § 60.15(h) and (i) and appropriate objective data in accordance with § 60.13, each time an FSTD is modified and an objective test or other MQTG section is affected by the modification. If an FSTD Directive is the cause of this update, the direction to make the modification and the record of the modification completion must be filed in the MQTG.
(a) No person may knowingly use or allow the use of or misrepresent the capability of an FSTD for any maneuver, procedure, or task that is to be accomplished to meet training, evaluation, or flight experience requirements of this chapter for flight crewmember certification or qualification when there is a missing, malfunctioning, or inoperative (MMI) component that is required to be present and correctly operate for the satisfactory completion of that maneuver, procedure, or task.
(b) Each MMI component as described in paragraph (a) of this section, or any MMI component installed and required to operate correctly to meet the current Statement of Qualification, must be repaired or replaced within 30 calendar days, unless otherwise required or authorized by the responsible Flight Standards office.
(c) A list of the current MMI components must be readily available in or adjacent to the FSTD for review by users of the device. Electronic access to this list via an appropriate terminal or display in or adjacent to the FSTD is satisfactory. The discrepancy log may be used to satisfy this requirement provided each currently MMI component is listed in the discrepancy log.
(a) An FSTD qualification is automatically lost when any of the following occurs:
(1) The FSTD is not used in the sponsor's FAA-approved flight training program in accordance with § 60.7(b)(5) or (b)(6) and the sponsor does not obtain and maintain the written statement as described in § 60.7(d)(2).
(2) The FSTD is not inspected in accordance with § 60.19.
(3) The FSTD is physically moved from one location and installed in a different location, regardless of distance.
(4) The MQTG is missing or otherwise not available and a replacement is not made within 30 days.
(b) If FSTD qualification is lost under paragraph (a) of this section, qualification is restored when either of the following provisions is met:
(1) The FSTD successfully passes an evaluation:
(i) For initial qualification, in accordance with §§ 60.15 and 60.17(c) in those circumstances where the responsible Flight Standards office has determined that a full evaluation for initial qualification is necessary; or
(ii) For those elements of an evaluation for initial qualification, in accordance with §§ 60.15 and 60.17(c), as determined to be necessary by the responsible Flight Standards office.
(2) The responsible Flight Standards office advises the sponsor that an evaluation is not necessary.
(c) In making the determinations described in paragraph (b) of this section, the responsible Flight Standards office considers factors including the number of continuing qualification evaluations missed, the number of sponsor-conducted quarterly inspections missed, and the care that had been taken of the device since the last evaluation.
(a) Except as provided in paragraph (c) of this section, when the responsible Flight Standards office determines that the FSTD no longer meets qualification standards, the following procedure applies:
(1) The responsible Flight Standards office notifies the sponsor in writing that the FSTD no longer meets some or all of its qualification standards.
(2) The responsible Flight Standards office sets a reasonable period (but not less than 7 days) within which the sponsor may submit written information, views, and arguments on the FSTD qualification.
(3) After considering all material presented, the responsible Flight Standards office notifies the sponsor about the determination with regard to the qualification of the FSTD.
(4) When the responsible Flight Standards office notifies the sponsor that some or all of the FSTD is no longer qualified, the action described in the notification becomes effective not less than 30 days after the sponsor receives that notice unless—
(i) The responsible Flight Standards office finds under paragraph (c) of this section that there is an emergency requiring immediate action with respect to safety in air commerce; or
(ii) The sponsor petitions the Executive Director of Flight Standards Service for reconsideration of the responsible Flight Standards office finding under paragraph (b) of this section.
(b) When a sponsor seeks reconsideration of a decision from the responsible Flight Standards office concerning the FSTD qualification, the following procedure applies:
(1) The sponsor must petition for reconsideration of that decision within 30 days of the date that the sponsor receives a notice that some or all of the FSTD is no longer qualified.
(2) The sponsor must address its petition to the Executive Director, Flight Standards Service, Federal Aviation Administration, 800 Independence Ave., SW., Washington, DC 20591.
(3) A petition for reconsideration, if filed within the 30-day period, suspends the effectiveness of the determination by the responsible Flight Standards office that the FSTD is no longer qualified unless the responsible Flight Standards office has found, under paragraph (c) of this section, that an emergency exists requiring immediate action with respect to safety in air commerce.
(c) If the responsible Flight Standards office find that an emergency exists requiring immediate action with respect to safety in air commerce that makes the procedures set out in this section impracticable or contrary to the public interest:
(1) The responsible Flight Standards office withdraws qualification of some or all of the FSTD and makes the withdrawal of qualification effective on the day the sponsor receives notice of it.
(2) In the notice to the sponsor, the responsible Flight Standards office articulates the reasons for its finding that an emergency exists requiring immediate action with respect to safety in air transportation or air commerce or that makes it impracticable or contrary to the public interest to stay the effectiveness of the finding.
(d) FSTD qualification lost under paragraph (a) or (c) of this section may be restored when either of the following provisions are met:
(1) The FSTD successfully passes an evaluation for initial qualification, in accordance with §§ 60.15 and 60.17(c) in those circumstances where the responsible Flight Standards office has determined that a full evaluation for initial qualification is necessary; or
(2) The FSTD successfully passes an evaluation for those elements of an initial qualification evaluation, in accordance with §§ 60.15 and 60.17(c), as determined to be necessary by the responsible Flight Standards office.
(e) In making the determinations described in paragraph (d) of this section, the responsible Flight Standards office considers factors including the reason for the loss of qualification, any repairs or replacements that may have to have been completed, the number of continuing qualification evaluations missed, the number of sponsor-conducted quarterly inspections missed, and the care that had been taken of the device since the loss of qualification.
(a) The FSTD sponsor must maintain the following records for each FSTD it sponsors:
(1) The MQTG and each amendment thereto.
(2) A record of all FSTD modifications affected under § 60.23 since the issuance of the original Statement of Qualification.
(3) A copy of all of the following:
(i) Results of the qualification evaluations (initial and each upgrade) since the issuance of the original Statement of Qualification.
(ii) Results of the objective tests conducted in accordance with § 60.19(a) for a period of 2 years.
(iii) Results of the previous three continuing qualification evaluations, or the continuing qualification evaluations from the previous 2 years, whichever covers a longer period.
(iv) Comments obtained in accordance with § 60.9(b) for a period of at least 90 days.
(4) A record of all discrepancies entered in the discrepancy log over the previous 2 years, including the following:
(i) A list of the components or equipment that were or are missing, malfunctioning, or inoperative.
(ii) The action taken to correct the discrepancy.
(iii) The date the corrective action was taken.
(iv) The identity of the person determining that the discrepancy has been corrected.
(b) The records specified in this section must be maintained in plain language form or in coded form if the coded form provides for the preservation and retrieval of information in a manner acceptable to the responsible Flight Standards office.
(a) No device will be eligible for initial or upgrade qualification to a FFS at Level C or Level D under this part unless it includes the equipment and appliances installed and operating to the extent necessary for the issuance of an airman certificate or rating.
(b) No device will be eligible for initial or upgrade qualification to a FFS at Level A or Level B under this part unless it includes the equipment and appliances installed and operating to the extent necessary for the training, testing, and/or checking that comprise the simulation portion of the requirements for issuance of an airman certificate or rating.
(a) The evaluation and qualification of an FSTD by a contracting State to the Convention on International Civil Aviation for the sponsor of an FSTD located in that contracting State may be used as the basis for issuing a U.S. statement of qualification (see applicable QPS, attachment 4, figure 4) by the responsible Flight Standards office to the sponsor of that FSTD in accordance with—
(1) A BASA between the United States and the Contracting State that issued the original qualification; and
(2) A Simulator Implementation Procedure (SIP) established under the BASA.
(b) The SIP must contain any conditions and limitations on validation and issuance of such qualification by the U.S.
This appendix establishes the standards for Airplane FFS evaluation and qualification. The Flight Standards Service is responsible for the development, application, and implementation of the standards contained within this appendix. The procedures and criteria specified in this appendix will be used by the responsible Flight Standards office, when conducting airplane FFS evaluations.
a. This appendix contains background information as well as regulatory and informative material as described later in this section. To assist the reader in determining what areas are required and what areas are permissive, the text in this appendix is divided into two sections: “QPS Requirements” and “Information.” The QPS Requirements sections contain details regarding compliance with the part 60 rule language. These details are regulatory, but are found only in this appendix. The Information sections contain material that is advisory in nature, and designed to give the user general information about the regulation.
b. [Reserved]
c. The responsible Flight Standards office encourages the use of electronic media for all communication, including any record, report, request, test, or statement required by this appendix. The electronic media used must have adequate security provisions and be acceptable to the responsible Flight Standards office.
d. Related Reading References.
(1) 14 CFR part 60.
(2) 14 CFR part 61.
(3) 14 CFR part 63.
(4) 14 CFR part 119.
(5) 14 CFR part 121.
(6) 14 CFR part 125.
(7) 14 CFR part 135.
(8) 14 CFR part 141.
(9) 14 CFR part 142.
(10) AC 120-28, as amended, Criteria for Approval of Category III Landing Weather Minima.
(11) AC 120-29, as amended, Criteria for Approving Category I and Category II Landing Minima for part 121 operators.
(12) AC 120-35, as amended, Flightcrew Member, Line Operational Simulations: Line-Oriented Flight Training, Special Purpose Operational Training, Line Operational Evaluation.
(13) AC 120-40, as amended, Airplane Simulator Qualification.
(14) AC 120-41, as amended, Criteria for Operational Approval of Airborne Wind Shear Alerting and Flight Guidance Systems.
(15) AC 120-57, as amended, Surface Movement Guidance and Control System (SMGCS).
(16) AC 150/5300-13, as amended, Airport Design.
(17) AC 150/5340-1, as amended, Standards for Airport Markings.
(18) AC 150/5340-4, as amended, Installation Details for Runway Centerline Touchdown Zone Lighting Systems.
(19) AC 150/5340-19, as amended, Taxiway Centerline Lighting System.
(20) AC 150/5340-24, as amended, Runway and Taxiway Edge Lighting System.
(21) AC 150/5345-28, as amended, Precision Approach Path Indicator (PAPI) Systems.
(22) International Air Transport Association document, “Flight Simulation Training Device Design and Performance Data Requirements,” as amended.
(23) AC 25-7, as amended, Flight Test Guide for Certification of Transport Category Airplanes.
(24) AC 23-8, as amended, Flight Test Guide for Certification of Part 23 Airplanes.
(25) International Civil Aviation Organization (ICAO) Manual of Criteria for the Qualification of Flight Simulation Training Devices, as amended.
(26) Aeroplane Flight Simulation Training Device Evaluation Handbook, Volume I, as amended and Volume II, as amended, The Royal Aeronautical Society, London, UK.
(27) FAA Airman Certification Standards and Practical Test Standards for Airline Transport Pilot, Type Ratings, Commercial Pilot, and Instrument Ratings
(28) The FAA Aeronautical Information Manual (AIM). An electronic version of the AIM is on the Internet at http://www.faa.gov/atpubs.
(29) Aeronautical Radio, Inc. (ARINC) document number 436, titled Guidelines For Electronic Qualification Test Guide (as amended).
(30) Aeronautical Radio, Inc. (ARINC) document 610, Guidance for Design and Integration of Aircraft Avionics Equipment in Simulators (as amended).
No additional regulatory or informational material applies to § 60.1, Applicability, or to § 60.2, Applicability of sponsor rules to persons who are not sponsors and who are engaged in certain unauthorized activities.
See Appendix F of this part for a list of definitions and abbreviations from part 1 and part 60, including the appropriate appendices of part 60.
No additional regulatory or informational material applies to § 60.4, Qualification Performance Standards.
See Appendix E of this part for additional regulatory and informational material regarding Quality Management Systems.
a. The intent of the language in § 60.7(b) is to have a specific FFS, identified by the sponsor, used at least once in an FAA-approved flight training program for the airplane simulated during the 12-month period described. The identification of the specific FFS may change from one 12-month period to the next 12-month period as long as the sponsor sponsors and uses at least one FFS at least once during the prescribed period. No minimum number of hours or minimum FFS periods are required.
b. The following examples describe acceptable operational practices:
(1) Example One.
(a) A sponsor is sponsoring a single, specific FFS for its own use, in its own facility or elsewhere—this single FFS forms the basis for the sponsorship. The sponsor uses that FFS at least once in each 12-month period in the sponsor's FAA-approved flight training program for the airplane simulated. This 12-month period is established according to the following schedule:
(i) If the FFS was qualified prior to May 30, 2008, the 12-month period begins on the date of the first continuing qualification evaluation conducted in accordance with § 60.19 after May 30, 2008, and continues for each subsequent 12-month period;
(ii) A device qualified on or after May 30, 2008, will be required to undergo an initial or upgrade evaluation in accordance with § 60.15. Once the initial or upgrade evaluation is complete, the first continuing qualification evaluation will be conducted within 6 months. The 12-month continuing qualification evaluation cycle begins on that date and continues for each subsequent 12-month period.
(b) There is no minimum number of hours of FFS use required.
(c) The identification of the specific FFS may change from one 12-month period to the next 12-month period as long as the sponsor sponsors and uses at least one FFS at least once during the prescribed period.
(2) Example Two.
(a) A sponsor sponsors an additional number of FFSs, in its facility or elsewhere. Each additionally sponsored FFS must be—
(i) Used by the sponsor in the sponsor's FAA-approved flight training program for the airplane simulated (as described in § 60.7(d)(1));
OR
(ii) Used by another FAA certificate holder in that other certificate holder's FAA-approved flight training program for the airplane simulated (as described in § 60.7(d)(1)). This 12-month period is established in the same manner as in example one;
OR
(iii) Provided a statement each year from a qualified pilot (after having flown the airplane, not the subject FFS or another FFS, during the preceding 12-month period), stating that the subject FFS's performance and handling qualities represent the airplane (as described in § 60.7(d)(2)). This statement is provided at least once in each 12-month period established in the same manner as in example one.
(b) No minimum number of hours of FFS use is required.
(3) Example Three.
(a) A sponsor in New York (in this example, a Part 142 certificate holder) establishes “satellite” training centers in Chicago and Moscow.
(b) The satellite function means that the Chicago and Moscow centers must operate under the New York center's certificate (in accordance with all of the New York center's practices, procedures, and policies; e.g., instructor and/or technician training/checking requirements, record keeping, QMS program).
(c) All of the FFSs in the Chicago and Moscow centers could be dry-leased (i.e., the certificate holder does not have and use FAA-approved flight training programs for the FFSs in the Chicago and Moscow centers) because—
(i) Each FFS in the Chicago center and each FFS in the Moscow center is used at least once each 12-month period by another FAA certificate holder in that other certificate holder's FAA-approved flight training program for the airplane (as described in § 60.7(d)(1));
OR
(ii) A statement is obtained from a qualified pilot (having flown the airplane, not the subject FFS or another FFS, during the preceding 12-month period) stating that the performance and handling qualities of each FFS in the Chicago and Moscow centers represents the airplane (as described in § 60.7(d)(2)).
The phrase “as soon as practicable” in § 60.9(a) means without unnecessarily disrupting or delaying beyond a reasonable time the training, evaluation, or experience being conducted in the FFS.
No additional regulatory or informational material applies to § 60.11, Simulator Use.
a. Flight test data used to validate FFS performance and handling qualities must have been gathered in accordance with a flight test program containing the following:
(1) A flight test plan consisting of:
(a) The maneuvers and procedures required for aircraft certification and simulation programming and validation.
(b) For each maneuver or procedure—
(i) The procedures and control input the flight test pilot and/or engineer used.
(ii) The atmospheric and environmental conditions.
(iii) The initial flight conditions.
(iv) The airplane configuration, including weight and center of gravity.
(v) The data to be gathered.
(vi) All other information necessary to recreate the flight test conditions in the FFS.
(2) Appropriately qualified flight test personnel.
(3) An understanding of the accuracy of the data to be gathered using appropriate alternative data sources, procedures, and instrumentation that is traceable to a recognized standard as described in Attachment 2, Table A2E of this appendix.
(4) Appropriate and sufficient data acquisition equipment or system(s), including appropriate data reduction and analysis methods and techniques, as would be acceptable to the FAA's Aircraft Certification Service.
b. The data, regardless of source, must be presented as follows:
(1) In a format that supports the FFS validation process.
(2) In a manner that is clearly readable and annotated correctly and completely.
(3) With resolution sufficient to determine compliance with the tolerances set forth in Attachment 2, Table A2A of this appendix.
(4) With any necessary instructions or other details provided, such as yaw damper or throttle position.
(5) Without alteration, adjustments, or bias. Data may be corrected to address known data calibration errors provided that an explanation of the methods used to correct the errors appears in the QTG. The corrected data may be re-scaled, digitized, or otherwise manipulated to fit the desired presentation.
c. After completion of any additional flight test, a flight test report must be submitted in support of the validation data. The report must contain sufficient data and rationale to support qualification of the FFS at the level requested.
d. As required by § 60.13(f), the sponsor must notify the responsible Flight Standards office when it becomes aware that an addition to, an amendment to, or a revision of data that may relate to FFS performance or handling characteristics is available. The data referred to in this paragraph is data used to validate the performance, handling qualities, or other characteristics of the aircraft, including data related to any relevant changes occurring after the type certificate was issued. The sponsor must—
(1) Within 10 calendar days, notify the responsible Flight Standards office of the existence of this data; and
(2) Within 45 calendar days, notify the responsible Flight Standards office of—
(a) The schedule to incorporate this data into the FFS; or
(b) The reason for not incorporating this data into the FFS.
e. In those cases where the objective test results authorize a “snapshot test” or a “series of snapshot tests” results in lieu of a time-history result, the sponsor or other data provider must ensure that a steady state condition exists at the instant of time captured by the “snapshot.” The steady state condition must exist from 4 seconds prior to, through 1 second following, the instant of time captured by the snapshot.
f. The FFS sponsor is encouraged to maintain a liaison with the manufacturer of the aircraft being simulated (or with the holder of the aircraft type certificate for the aircraft being simulated if the manufacturer is no longer in business), and, if appropriate, with the person having supplied the aircraft data package for the FFS in order to facilitate the notification required by § 60.13(f).
g. It is the intent of the responsible Flight Standards office that for new aircraft entering service, at a point well in advance of preparation of the Qualification Test Guide (QTG), the sponsor should submit to the responsible Flight Standards office for approval, a descriptive document (see Table A2C, Sample Validation Data Roadmap for Airplanes) containing the plan for acquiring the validation data, including data sources. This document should clearly identify sources of data for all required tests, a description of the validity of these data for a specific engine type and thrust rating configuration, and the revision levels of all avionics affecting the performance or flying qualities of the aircraft. Additionally, this document should provide other information, such as the rationale or explanation for cases where data or data parameters are missing, instances where engineering simulation data are used or where flight test methods require further explanations. It should also provide a brief narrative describing the cause and effect of any deviation from data requirements. The aircraft manufacturer may provide this document.
h. There is no requirement for any flight test data supplier to submit a flight test plan or program prior to gathering flight test data. However, the responsible Flight Standards office notes that inexperienced data gatherers often provide data that is irrelevant, improperly marked, or lacking adequate justification for selection. Other problems include inadequate information regarding initial conditions or test maneuvers. The responsible Flight Standards office has been forced to refuse these data submissions as validation data for an FFS evaluation. It is for this reason that the responsible Flight Standards office recommends that any data supplier not previously experienced in this area review the data necessary for programming and for validating the performance of the FFS, and discuss the flight test plan anticipated for acquiring such data with the responsible Flight Standards office well in advance of commencing the flight tests.
i. The responsible Flight Standards office will consider, on a case-by-case basis, whether to approve supplemental validation data derived from flight data recording systems, such as a Quick Access Recorder or Flight Data Recorder.
a. In the event that the responsible Flight Standards office determines that special equipment or specifically qualified persons will be required to conduct an evaluation, the responsible Flight Standards office will make every attempt to notify the sponsor at least one (1) week, but in no case less than 72 hours, in advance of the evaluation. Examples of special equipment include spot photometers, flight control measurement devices, and sound analyzers. Examples of specially qualified personnel include individuals specifically qualified to install or use any special equipment when its use is required.
b. Examples of a special evaluation include an evaluation conducted after an FFS is moved, at the request of the TPAA, or as a result of comments received from users of the FFS that raise questions about the continued qualification or use of the FFS.
a. In order to be qualified at a particular qualification level, the FFS must:
(1) Meet the general requirements listed in Attachment 1 of this appendix;
(2) Meet the objective testing requirements listed in Attachment 2 of this appendix; and
(3) Satisfactorily accomplish the subjective tests listed in Attachment 3 of this appendix.
b. The request described in § 60.15(a) must include all of the following:
(1) A statement that the FFS meets all of the applicable provisions of this part and all applicable provisions of the QPS.
(2) Unless otherwise authorized through prior coordination with the responsible Flight Standards office, a confirmation that the sponsor will forward to the responsible Flight Standards office the statement described in § 60.15(b) in such time as to be received no later than 5 business days prior to the scheduled evaluation and may be forwarded to the responsible Flight Standards office via traditional or electronic means.
(3) A QTG, acceptable to the responsible Flight Standards office, that includes all of the following:
(a) Objective data obtained from traditional aircraft testing or another approved source.
(b) Correlating objective test results obtained from the performance of the FFS as prescribed in the appropriate QPS.
(c) The result of FFS subjective tests prescribed in the appropriate QPS.
(d) A description of the equipment necessary to perform the evaluation for initial qualification and the continuing qualification evaluations.
c. The QTG described in paragraph (a)(3) of this section, must provide the documented proof of compliance with the simulator objective tests in Attachment 2, Table A2A of this appendix.
d. The QTG is prepared and submitted by the sponsor, or the sponsor's agent on behalf of the sponsor, to the responsible Flight Standards office for review and approval, and must include, for each objective test:
(1) Parameters, tolerances, and flight conditions;
(2) Pertinent and complete instructions for the conduct of automatic and manual tests;
(3) A means of comparing the FFS test results to the objective data;
(4) Any other information as necessary, to assist in the evaluation of the test results;
(5) Other information appropriate to the qualification level of the FFS.
e. The QTG described in paragraphs (a)(3) and (b) of this section, must include the following:
(1) A QTG cover page with sponsor and FAA approval signature blocks (see Attachment 4, Figure A4C, of this appendix for a sample QTG cover page).
(2) [Reserved]
(3) An FFS information page that provides the information listed in this paragraph (see Attachment 4, Figure A4B, of this appendix for a sample FFS information page). For convertible FFSs, the sponsor must submit a separate page for each configuration of the FFS.
(a) The sponsor's FFS identification number or code.
(b) The airplane model and series being simulated.
(c) The aerodynamic data revision number or reference.
(d) The source of the basic aerodynamic model and the aerodynamic coefficient data used to modify the basic model.
(e) The engine model(s) and its data revision number or reference.
(f) The flight control data revision number or reference.
(g) The flight management system identification and revision level.
(h) The FFS model and manufacturer.
(i) The date of FFS manufacture.
(j) The FFS computer identification.
(k) The visual system model and manufacturer, including display type.
(l) The motion system type and manufacturer, including degrees of freedom.
(4) A Table of Contents.
(5) A log of revisions and a list of effective pages.
(6) A list of all relevant data references.
(7) A glossary of terms and symbols used (including sign conventions and units).
(8) Statements of Compliance and Capability (SOCs) with certain requirements.
(9) Recording procedures or equipment required to accomplish the objective tests.
(10) The following information for each objective test designated in Attachment 2, Table A2A, of this appendix as applicable to the qualification level sought:
(a) Name of the test.
(b) Objective of the test.
(c) Initial conditions.
(d) Manual test procedures.
(e) Automatic test procedures (if applicable).
(f) Method for evaluating FFS objective test results.
(g) List of all relevant parameters driven or constrained during the automatically conducted test(s).
(h) List of all relevant parameters driven or constrained during the manually conducted test(s).
(i) Tolerances for relevant parameters.
(j) Source of Validation Data (document and page number).
(k) Copy of the Validation Data (if located in a separate binder, a cross reference for the identification and page number for pertinent data location must be provided).
(l) Simulator Objective Test Results as obtained by the sponsor. Each test result must reflect the date completed and must be clearly labeled as a product of the device being tested.
f. A convertible FFS is addressed as a separate FFS for each model and series airplane to which it will be converted and for the FAA qualification level sought. If a sponsor seeks qualification for two or more models of an airplane type using a convertible FFS, the sponsor must submit a QTG for each airplane model, or a QTG for the first airplane model and a supplement to that QTG for each additional airplane model. The responsible Flight Standards office will conduct evaluations for each airplane model.
g. Form and manner of presentation of objective test results in the QTG:
(1) The sponsor's FFS test results must be recorded in a manner acceptable to the responsible Flight Standards office, that allows easy comparison of the FFS test results to the validation data (e.g., use of a multi-channel recorder, line printer, cross plotting, overlays, transparencies).
(2) FFS results must be labeled using terminology common to airplane parameters as opposed to computer software identifications.
(3) Validation data documents included in a QTG may be photographically reduced only if such reduction will not alter the graphic scaling or cause difficulties in scale interpretation or resolution.
(4) Scaling on graphical presentations must provide the resolution necessary to evaluate the parameters shown in Attachment 2, Table A2A of this appendix.
(5) Tests involving time histories, data sheets (or transparencies thereof) and FFS test results must be clearly marked with appropriate reference points to ensure an accurate comparison between the FFS and the airplane with respect to time. Time histories recorded via a line printer are to be clearly identified for cross plotting on the airplane data. Over-plots must not obscure the reference data.
h. The sponsor may elect to complete the QTG objective and subjective tests at the manufacturer's facility or at the sponsor's training facility (or other sponsor designated location where training will take place). If the tests are conducted at the manufacturer's facility, the sponsor must repeat at least one-third of the tests at the sponsor's training facility in order to substantiate FFS performance. The QTG must be clearly annotated to indicate when and where each test was accomplished. Tests conducted at the manufacturer's facility and at the sponsor's designated training facility must be conducted after the FFS is assembled with systems and sub-systems functional and operating in an interactive manner. The test results must be submitted to the responsible Flight Standards office.
i. The sponsor must maintain a copy of the MQTG at the FFS location.
j. All FFSs for which the initial qualification is conducted after May 30, 2014, must have an electronic MQTG (eMQTG) including all objective data obtained from airplane testing, or another approved source (reformatted or digitized), together with correlating objective test results obtained from the performance of the FFS (reformatted or digitized) as prescribed in this appendix. The eMQTG must also contain the general FFS performance or demonstration results (reformatted or digitized) prescribed in this appendix, and a description of the equipment necessary to perform the initial qualification evaluation and the continuing qualification evaluations. The eMQTG must include the original validation data used to validate FFS performance and handling qualities in either the original digitized format from the data supplier or an electronic scan of the original time-history plots that were provided by the data supplier. A copy of the eMQTG must be provided to the responsible Flight Standards office.
k. All other FFSs not covered in subparagraph “j” must have an electronic copy of the MQTG by May 30, 2014. An electronic copy of the MQTG must be provided to the responsible Flight Standards office. This may be provided by an electronic scan presented in a Portable Document File (PDF), or similar format acceptable to the responsible Flight Standards office.
l. During the initial (or upgrade) qualification evaluation conducted by the responsible Flight Standards office, the sponsor must also provide a person who is a user of the device (e.g., a qualified pilot or instructor pilot with flight time experience in that aircraft) and knowledgeable about the operation of the aircraft and the operation of the FFS.
m. Only those FFSs that are sponsored by a certificate holder as defined in Appendix F of this part will be evaluated by the responsible Flight Standards office. However, other FFS evaluations may be conducted on a case-by-case basis as the Administrator deems appropriate, but only in accordance with applicable agreements.
n. The responsible Flight Standards office will conduct an evaluation for each configuration, and each FFS must be evaluated as completely as possible. To ensure a thorough and uniform evaluation, each FFS is subjected to the general simulator requirements in Attachment 1 of this appendix, the objective tests listed in Attachment 2 of this appendix, and the subjective tests listed in Attachment 3 of this appendix. The evaluations described herein will include, but not necessarily be limited to the following:
(1) Airplane responses, including longitudinal and lateral-directional control responses (see Attachment 2 of this appendix);
(2) Performance in authorized portions of the simulated airplane's operating envelope, to include tasks evaluated by the responsible Flight Standards office in the areas of surface operations, takeoff, climb, cruise, descent, approach, and landing as well as abnormal and emergency operations (see Attachment 2 of this appendix);
(3) Control checks (see Attachment 1 and Attachment 2 of this appendix);
(4) Flight deck configuration (see Attachment 1 of this appendix);
(5) Pilot, flight engineer, and instructor station functions checks (see Attachment 1 and Attachment 3 of this appendix);
(6) Airplane systems and sub-systems (as appropriate) as compared to the airplane simulated (see Attachment 1 and Attachment 3 of this appendix);
(7) FFS systems and sub-systems, including force cueing (motion), visual, and aural (sound) systems, as appropriate (see Attachment 1 and Attachment 2 of this appendix); and
(8) Certain additional requirements, depending upon the qualification level sought, including equipment or circumstances that may become hazardous to the occupants. The sponsor may be subject to Occupational Safety and Health Administration requirements.
o. The responsible Flight Standards office administers the objective and subjective tests, which includes an examination of functions. The tests include a qualitative assessment of the FFS by a pilot from the responsible Flight Standards office. The evaluation team leader may assign other qualified personnel to assist in accomplishing the functions examination and/or the objective and subjective tests performed during an evaluation when required.
(1) Objective tests provide a basis for measuring and evaluating FFS performance and determining compliance with the requirements of this part.
(2) Subjective tests provide a basis for:
(a) Evaluating the capability of the FFS to perform over a typical utilization period;
(b) Determining that the FFS satisfactorily simulates each required task;
(c) Verifying correct operation of the FFS controls, instruments, and systems; and
(d) Demonstrating compliance with the requirements of this part.
p. The tolerances for the test parameters listed in Attachment 2 of this appendix reflect the range of tolerances acceptable to the responsible Flight Standards office for FFS validation and are not to be confused with design tolerances specified for FFS manufacture. In making decisions regarding tests and test results, the responsible Flight Standards office relies on the use of operational and engineering judgment in the application of data (including consideration of the way in which the flight test was flown and the way the data was gathered and applied), data presentations, and the applicable tolerances for each test.
q. In addition to the scheduled continuing qualification evaluation, each FFS is subject to evaluations conducted by the responsible Flight Standards office at any time without prior notification to the sponsor. Such evaluations would be accomplished in a normal manner (i.e., requiring exclusive use of the FFS for the conduct of objective and subjective tests and an examination of functions) if the FFS is not being used for flight crewmember training, testing, or checking. However, if the FFS were being used, the evaluation would be conducted in a non-exclusive manner. This non-exclusive evaluation will be conducted by the FFS evaluator accompanying the check airman, instructor, Aircrew Program Designee (APD), or FAA inspector aboard the FFS along with the student(s) and observing the operation of the FFS during the training, testing, or checking activities.
r. Problems with objective test results are handled as follows:
(1) If a problem with an objective test result is detected by the evaluation team during an evaluation, the test may be repeated or the QTG may be amended.
(2) If it is determined that the results of an objective test do not support the level requested but do support a lower level, the responsible Flight Standards office may qualify the FFS at that lower level. For example, if a Level D evaluation is requested and the FFS fails to meet sound test tolerances, it could be qualified at Level C.
s. After an FFS is successfully evaluated, the responsible Flight Standards office issues a Statement of Qualification (SOQ) to the sponsor. The responsible Flight Standards office recommends the FFS to the TPAA, who will approve the FFS for use in a flight training program. The SOQ will be issued at the satisfactory conclusion of the initial or continuing qualification evaluation and will list the tasks for which the FFS is qualified, referencing the tasks described in Table A1B in Attachment 1 of this appendix. However, it is the sponsor's responsibility to obtain TPAA approval prior to using the FFS in an FAA-approved flight training program.
t. Under normal circumstances, the responsible Flight Standards office establishes a date for the initial or upgrade evaluation within ten (10) working days after determining that a complete QTG is acceptable. Unusual circumstances may warrant establishing an evaluation date before this determination is made. A sponsor may schedule an evaluation date as early as 6 months in advance. However, there may be a delay of 45 days or more in rescheduling and completing the evaluation if the sponsor is unable to meet the scheduled date. See Attachment 4 of this appendix, Figure A4A, Sample Request for Initial, Upgrade, or Reinstatement Evaluation.
u. The numbering system used for objective test results in the QTG should closely follow the numbering system set out in Attachment 2 of this appendix, FFS Objective Tests, Table A2A.
v. Contact the responsible Flight Standards office for additional information regarding the preferred qualifications of pilots used to meet the requirements of § 60.15(d).
w. Examples of the exclusions for which the FFS might not have been subjectively tested by the sponsor or the responsible Flight Standards office and for which qualification might not be sought or granted, as described in § 60.15(g)(6), include windshear training and circling approaches.
No additional regulatory or informational material applies to § 60.16, Additional Qualifications for a Currently Qualified FFS.
a. In instances where a sponsor plans to remove an FFS from active status for a period of less than two years, the following procedures apply:
(1) The responsible Flight Standards office must be notified in writing and the notification must include an estimate of the period that the FFS will be inactive;
(2) Continuing Qualification evaluations will not be scheduled during the inactive period;
(3) The responsible Flight Standards office will remove the FFS from the list of qualified FSTDs on a mutually established date not later than the date on which the first missed continuing qualification evaluation would have been scheduled;
(4) Before the FFS is restored to qualified status, it must be evaluated by the responsible Flight Standards office. The evaluation content and the time required to accomplish the evaluation is based on the number of continuing qualification evaluations and sponsor-conducted quarterly inspections missed during the period of inactivity.
(5) The sponsor must notify the responsible Flight Standards office of any changes to the original scheduled time out of service;
b. Simulators qualified prior to May 31, 2016, are not required to meet the general simulation requirements, the objective test requirements or the subjective test requirements of attachments 1, 2, and 3 of this appendix as long as the simulator continues to meet the test requirements contained in the MQTG developed under the original qualification basis.
c. After May 30, 2009, each visual scene or airport model beyond the minimum required for the FFS qualification level that is installed in and available for use in a qualified FFS must meet the requirements described in attachment 3 of this appendix.
d. Simulators qualified prior to May 31, 2016, may be updated. If an evaluation is deemed appropriate or necessary by the responsible Flight Standards office after such an update, the evaluation will not require an evaluation to standards beyond those against which the simulator was originally qualified.
e. Other certificate holders or persons desiring to use an FFS may contract with FFS sponsors to use FFSs previously qualified at a particular level for an airplane type and approved for use within an FAA-approved flight training program. Such FFSs are not required to undergo an additional qualification process, except as described in § 60.16.
f. Each FFS user must obtain approval from the appropriate TPAA to use any FFS in an FAA-approved flight training program.
g. The intent of the requirement listed in § 60.17(b), for each FFS to have a SOQ within 6 years, is to have the availability of that statement (including the configuration list and the limitations to authorizations) to provide a complete picture of the FFS inventory regulated by the FAA. The issuance of the statement will not require any additional evaluation or require any adjustment to the evaluation basis for the FFS.
h. Downgrading of an FFS is a permanent change in qualification level and will necessitate the issuance of a revised SOQ to reflect the revised qualification level, as appropriate. If a temporary restriction is placed on an FFS because of a missing, malfunctioning, or inoperative component or on-going repairs, the restriction is not a permanent change in qualification level. Instead, the restriction is temporary and is removed when the reason for the restriction has been resolved.
i. The responsible Flight Standards office will determine the evaluation criteria for an FFS that has been removed from active status. The criteria will be based on the number of continuing qualification evaluations and quarterly inspections missed during the period of inactivity. For example, if the FFS were out of service for a 1 year period, it would be necessary to complete the entire QTG, since all of the quarterly evaluations would have been missed. The responsible Flight Standards office will also consider how the FFS was stored, whether parts were removed from the FFS and whether the FFS was disassembled.
j. The FFS will normally be requalified using the FAA-approved MQTG and the criteria that was in effect prior to its removal from qualification. However, inactive periods of 2 years or more will require requalification under the standards in effect and current at the time of requalification.
a. The sponsor must conduct a minimum of four evenly spaced inspections throughout the year. The objective test sequence and content of each inspection must be developed by the sponsor and must be acceptable to the responsible Flight Standards office.
b. The description of the functional preflight check must be contained in the sponsor's QMS.
c. Record “functional preflight” in the FFS discrepancy log book or other acceptable location, including any item found to be missing, malfunctioning, or inoperative.
d. During the continuing qualification evaluation conducted by the responsible Flight Standards office, the sponsor must also provide a person knowledgeable about the operation of the aircraft and the operation of the FFS.
e. The responsible Flight Standards office will conduct continuing qualification evaluations every 12 months unless:
(1) The responsible Flight Standards office becomes aware of discrepancies or performance problems with the device that warrants more frequent evaluations; or
(2) The sponsor implements a QMS that justifies less frequent evaluations. However, in no case shall the frequency of a continuing qualification evaluation exceed 36 months.
f. The sponsor's test sequence and the content of each quarterly inspection required in § 60.19(a)(1) should include a balance and a mix from the objective test requirement areas listed as follows:
(1) Performance.
(2) Handling qualities.
(3) Motion system (where appropriate).
(4) Visual system (where appropriate).
(5) Sound system (where appropriate).
(6) Other FFS systems.
g. If the evaluator plans to accomplish specific tests during a normal continuing qualification evaluation that requires the use of special equipment or technicians, the sponsor will be notified as far in advance of the evaluation as practical; but not less than 72 hours. Examples of such tests include latencies, control dynamics, sounds and vibrations, motion, and/or some visual system tests.
h. The continuing qualification evaluations, described in § 60.19(b), will normally require 4 hours of FFS time. However, flexibility is necessary to address abnormal situations or situations involving aircraft with additional levels of complexity (e.g., computer controlled aircraft). The sponsor should anticipate that some tests may require additional time. The continuing qualification evaluations will consist of the following:
(1) Review of the results of the quarterly inspections conducted by the sponsor since the last scheduled continuing qualification evaluation.
(2) A selection of approximately 8 to 15 objective tests from the MQTG that provide an adequate opportunity to evaluate the performance of the FFS. The tests chosen will be performed either automatically or manually and should be able to be conducted within approximately one-third (
(3) A subjective evaluation of the FFS to perform a representative sampling of the tasks set out in attachment 3 of this appendix. This portion of the evaluation should take approximately two-thirds (
(4) An examination of the functions of the FFS may include the motion system, visual system, sound system, instructor operating station, and the normal functions and simulated malfunctions of the airplane systems. This examination is normally accomplished simultaneously with the subjective evaluation requirements.
No additional regulatory or informational material applies to § 60.20. Logging FFS Discrepancies.
No additional regulatory or informational material applies to § 60.21, Interim Qualification of FFSs for New Airplane Types or Models.
a. The notification described in § 60.23(c)(2) must include a complete description of the planned modification, with a description of the operational and engineering effect the proposed modification will have on the operation of the FFS and the results that are expected with the modification incorporated.
b. Prior to using the modified FFS:
(1) All the applicable objective tests completed with the modification incorporated, including any necessary updates to the MQTG (e.g., accomplishment of FSTD Directives) must be acceptable to the responsible Flight Standards office; and
(2) The sponsor must provide the responsible Flight Standards office with a statement signed by the MR that the factors listed in § 60.15(b) are addressed by the appropriate personnel as described in that section.
FSTD Directives are considered modifications of an FFS. See Attachment 4 of this appendix for a sample index of effective FSTD Directives. See Attachment 6 of this appendix for a list of all effective FSTD Directives applicable to Airplane FFSs.
a. The sponsor's responsibility with respect to § 60.25(a) is satisfied when the sponsor fairly and accurately advises the user of the current status of an FFS, including any missing, malfunctioning, or inoperative (MMI) component(s).
b. It is the responsibility of the instructor, check airman, or representative of the administrator conducting training, testing, or checking to exercise reasonable and prudent judgment to determine if any MMI component is necessary for the satisfactory completion of a specific maneuver, procedure, or task.
c. If the 29th or 30th day of the 30-day period described in § 60.25(b) is on a Saturday, a Sunday, or a holiday, the FAA will extend the deadline until the next business day.
d. In accordance with the authorization described in § 60.25(b), the sponsor may develop a discrepancy prioritizing system to accomplish repairs based on the level of impact on the capability of the FFS. Repairs having a larger impact on FFS capability to provide the required training, evaluation, or flight experience will have a higher priority for repair or replacement.
If the sponsor provides a plan for how the FFS will be maintained during its out-of-service period (e.g., periodic exercise of mechanical, hydraulic, and electrical systems; routine replacement of hydraulic fluid; control of the environmental factors in which the FFS is to be maintained) there is a greater likelihood that the responsible Flight Standards office will be able to determine the amount of testing required for requalification.
If the sponsor provides a plan for how the FFS will be maintained during its out-of-service period (e.g., periodic exercise of mechanical, hydraulic, and electrical systems; routine replacement of hydraulic fluid; control of the environmental factors in which the FFS is to be maintained) there is a greater likelihood that the responsible Flight Standards office will be able to determine the amount of testing required for requalification.
a. FFS modifications can include hardware or software changes. For FFS modifications involving software programming changes, the record required by § 60.31(a)(2) must consist of the name of the aircraft system software, aerodynamic model, or engine model change, the date of the change, a summary of the change, and the reason for the change.
b. If a coded form for record keeping is used, it must provide for the preservation and retrieval of information with appropriate security or controls to prevent the inappropriate alteration of such records after the fact.
No additional regulatory or informational material applies to § 60.35, Specific FFS Compliance Requirements.
No additional regulatory or informational material applies to § 60.37, FFS Qualification on the Basis of a Bilateral Aviation Safety Agreement (BASA).
a. Certain requirements included in this appendix must be supported with an SOC as defined in Appendix F, which may include objective and subjective tests. The requirements for SOCs are indicated in the “General Simulator Requirements” column in Table A1A of this appendix.
b. Table A1A describes the requirements for the indicated level of FFS. Many devices include operational systems or functions that exceed the requirements outlined in this section. However, all systems will be tested and evaluated in accordance with this appendix to ensure proper operation.
a. This attachment describes the general simulator requirements for qualifying an airplane FFS. The sponsor should also consult the objective tests in Attachment 2 of this appendix and the examination of functions and subjective tests listed in Attachment 3 of this appendix to determine the complete requirements for a specific level simulator.
b. The material contained in this attachment is divided into the following categories:
(1) General flight deck configuration.
(2) Simulator programming.
(3) Equipment operation.
(4) Equipment and facilities for instructor/evaluator functions.
(5) Motion system.
(6) Visual system.
(7) Sound system.
c. Table A1A provides the standards for the General Simulator Requirements.
d. Table A1B provides the tasks that the sponsor will examine to determine whether the FFS satisfactorily meets the requirements for flight crew training, testing, and experience, and provides the tasks for which the simulator may be qualified.
e. Table A1C provides the functions that an instructor/check airman must be able to control in the simulator.
f. It is not required that all of the tasks that appear on the List of Qualified Tasks (part of the SOQ) be accomplished during the initial or continuing qualification evaluation.
Table A1B—Table of Tasks vs. Simulator Level
| QPS requirements | Information | |||||
|---|---|---|---|---|---|---|
| Entry No. | Subjective requirements
In order to be qualified at the simulator qualification level indicated, the simulator must be able to perform at least the tasks associated with that level of qualification. | Simulator levels | Notes | |||
| A | B | C | D | |||
| 1.a. | Preflight Inspection (flight deck only) | X | X | X | X | |
| 1.b. | Engine Start | X | X | X | X | |
| 1.c. | Taxiing | R | X | X | ||
| 1.d. | Pre-takeoff Checks | X | X | X | X | |
| 2.a. | Normal and Crosswind Takeoff | R | X | X | ||
| 2.b. | Instrument Takeoff | X | X | X | X | |
| 2.c. | Engine Failure During Takeoff | A | X | X | X | |
| 2.d. | Rejected Takeoff | X | X | X | X | |
| 2.e. | Departure Procedure | X | X | X | X | |
| 3.a. | Steep Turns | X | X | X | X | |
| 3.b. High Angle of Attack Maneuvers | ||||||
| 3.b.1 | Approaches to Stall | X | X | X | X | |
| 3.b.2 | Full Stall | X | X | Stall maneuvers at angles of attack above the activation of the stall warning system. | ||
| Required only for FSTDs qualified to conduct full stall training tasks as indicated on the Statement of Qualification. | ||||||
| 3.c. | Engine Failure—Multiengine Airplane | X | X | X | X | |
| 3.d. | Engine Failure—Single-Engine Airplane | X | X | X | X | |
| 3.e. | Specific Flight Characteristics incorporated into the user's FAA approved flight training program | A | A | A | A | |
| 3.f. | Recovery From Unusual Attitudes | X | X | X | X | Within the normal flight envelope supported by applicable simulation validation data. |
| 3.g. | Upset Prevention and Recovery Training (UPRT) | X | X | Upset recovery or unusual attitude training maneuvers within the FSTD's validation envelope that are intended to exceed pitch attitudes greater than 25 degrees nose up; pitch attitudes greater than 10 degrees nose down, and bank angles greater than 45 degrees. | ||
| 4.a. | Standard Terminal Arrival/Flight Management System Arrivals Procedures | X | X | X | X | |
| 4.b. | Holding | X | X | X | X | |
| 4.c. | Precision Instrument | |||||
| 4.c.1. | All Engines Operating | X | X | X | X | e.g., Autopilot, Manual (Flt. Dir. Assisted), Manual (Raw Data). |
| 4.c.2. | One Engine Inoperative | X | X | X | X | e.g., Manual (Flt. Dir. Assisted), Manual (Raw Data). |
| 4.d. | Non-Precision Instrument Approach | X | X | X | X | e.g., NDB, VOR, VOR/DME, VOR/TAC, RNAV, LOC, LOC/BC, ADF, and SDF. |
| 4.e. | Circling Approach | X | X | X | X | Specific authorization required. |
| 4.f. | Missed Approach | |||||
| 4.f.1. | Normal | X | X | X | X | |
| 4.f.2. | One Engine Inoperative | X | X | X | X | |
| 5.a. | Normal and Crosswind Approaches and Landings | R | X | X | ||
| 5.b. | Landing From a Precision/Non-Precision Approach | R | X | X | ||
| 5.c. | Approach and Landing with (Simulated) Engine Failure—Multiengine Airplane | R | X | X | ||
| 5.d. | Landing From Circling Approach | R | X | X | ||
| 5.e. | Rejected Landing | X | X | X | X | |
| 5.f. | Landing From a No Flap or a Nonstandard Flap Configuration Approach | R | X | X | ||
| 6.a. | Engine (including shutdown and restart) | X | X | X | X | |
| 6.b. | Fuel System | X | X | X | X | |
| 6.c. | Electrical System | X | X | X | X | |
| 6.d. | Hydraulic System | X | X | X | X | |
| 6.e. | Environmental and Pressurization Systems | X | X | X | X | |
| 6.f. | Fire Detection and Extinguisher Systems | X | X | X | X | |
| 6.g. | Navigation and Avionics Systems | X | X | X | X | |
| 6.h. | Automatic Flight Control System, Electronic Flight Instrument System, and Related Subsystems | X | X | X | X | |
| 6.i. | Flight Control Systems | X | X | X | X | |
| 6.j. | Anti-ice and Deice Systems | X | X | X | X | |
| 6.k. | Aircraft and Personal Emergency Equipment | X | X | X | X | |
| 7.a. | Emergency Descent (Max. Rate) | X | X | X | X | |
| 7.b. | Inflight Fire and Smoke Removal | X | X | X | X | |
| 7.c. | Rapid Decompression | X | X | X | X | |
| 7.d. | Emergency Evacuation | X | X | X | X | |
| 8.a. | After-Landing Procedures | X | X | X | X | |
| 8.b. | Parking and Securing | X | X | X | X | |
“A”—indicates that the system, task, or procedure may be examined if the appropriate aircraft system or control is simulated in the FSTD and is working properly.
“R”—indicates that the simulator may be qualified for this task for continuing qualification training.
“X”—indicates that the simulator must be able to perform this task for this level of qualification.
Table A1C—Table of Simulator System Tasks
| QPS requirements | Information | |||||
|---|---|---|---|---|---|---|
| Entry No. | Subjective requirements
In order to be qualified at the simulator qualification level indicated, the simulator must be able to perform at least the tasks associated with that level of qualification. | Simulator levels | Notes | |||
| A | B | C | D | |||
| 1.a. | Power switch(es) | X | X | X | X | |
| 1.b. | Airplane conditions | X | X | X | X | e.g., GW, CG, Fuel loading and Systems. |
| 1.c. | Airports/Runways | X | X | X | X | e.g., Selection, Surface, Presets, Lighting controls. |
| 1.d. | Environmental controls | X | X | X | X | e.g., Clouds, Visibility, RVR, Temp, Wind, Ice, Snow, Rain, and Windshear. |
| 1.e. | Airplane system malfunctions (Insertion/deletion) | X | X | X | X | |
| 1.f. | Locks, Freezes, and Repositioning | X | X | X | X | |
| 2.a. | On/off/adjustment | X | X | X | X | |
| 3.a. | On/off/emergency stop | X | X | X | X | |
| 4.a. | Position/Adjustment/Positive restraint system | X | X | X | X | |
Table of Contents
| Paragraph No. | Title |
|---|---|
| 1. | Introduction. |
| 2. | Test Requirements. |
| Table A2A, Objective Tests. | |
| 3. | General. |
| 4. | Control Dynamics. |
| 5. | Ground Effect. |
| 6. | Motion System. |
| 7. | Sound System. |
| 8. | Additional Information About Flight Simulator Qualification for New or Derivative Airplanes. |
| 9. | Engineering Simulator—Validation Data. |
| 10. | [Reserved] |
| 11. | Validation Test Tolerances. |
| 12. | Validation Data Roadmap. |
| 13. | Acceptance Guidelines for Alternative Engines Data. |
| 14. | Acceptance Guidelines for Alternative Avionics (Flight-Related Computers and Controllers). |
| 15. | Transport Delay Testing. |
| 16. | Continuing Qualification Evaluations—Validation Test Data Presentation. |
| 17. | Alternative Data Sources, Procedures, and Instrumentation: Level A and Level B Simulators Only. |
a. For the purposes of this attachment, the flight conditions specified in the Flight Conditions Column of Table A2A of this appendix, are defined as follows:
(1) Ground—on ground, independent of airplane configuration;
(2) Take-off—gear down with flaps/slats in any certified takeoff position;
(3) First segment climb—gear down with flaps/slats in any certified takeoff position (normally not above 50 ft AGL);
(4) Second segment climb—gear up with flaps/slats in any certified takeoff position (normally between 50 ft and 400 ft AGL);
(5) Clean—flaps/slats retracted and gear up;
(6) Cruise—clean configuration at cruise altitude and airspeed;
(7) Approach—gear up or down with flaps/slats at any normal approach position as recommended by the airplane manufacturer; and
(8) Landing—gear down with flaps/slats in any certified landing position.
b. The format for numbering the objective tests in Appendix A, Attachment 2, Table A2A, and the objective tests in Appendix B, Attachment 2, Table B2A, is identical. However, each test required for FFSs is not necessarily required for FTDs. Also, each test required for FTDs is not necessarily required for FFSs. Therefore, when a test number (or series of numbers) is not required, the term “Reserved” is used in the table at that location. Following this numbering format provides a degree of commonality between the two tables and substantially reduces the potential for confusion when referring to objective test numbers for either FFSs or FTDs.
c. The reader is encouraged to review the Airplane Flight Simulator Evaluation Handbook, Volumes I and II, published by the Royal Aeronautical Society, London, UK, and AC 25-7, as amended, Flight Test Guide for Certification of Transport Category Airplanes, and AC 23-8, as amended, Flight Test Guide for Certification of Part 23 Airplanes, for references and examples regarding flight testing requirements and techniques.
d. If relevant winds are present in the objective data, the wind vector should be clearly noted as part of the data presentation, expressed in conventional terminology, and related to the runway being used for the test.
a. The ground and flight tests required for qualification are listed in Table A2A, FFS Objective Tests. Computer generated simulator test results must be provided for each test except where an alternative test is specifically authorized by the responsible Flight Standards office. If a flight condition or operating condition is required for the test but does not apply to the airplane being simulated or to the qualification level sought, it may be disregarded (e.g., an engine out missed approach for a single-engine airplane or a maneuver using reverse thrust for an airplane without reverse thrust capability). Each test result is compared against the validation data described in § 60.13 and in this appendix. Although use of a driver program designed to automatically accomplish the tests is encouraged for all simulators and required for Level C and Level D simulators, it must be possible to conduct each test manually while recording all appropriate parameters. The results must be produced on an appropriate recording device acceptable to the responsible Flight Standards office and must include simulator number, date, time, conditions, tolerances, and appropriate dependent variables portrayed in comparison to the validation data. Time histories are required unless otherwise indicated in Table A2A. All results must be labeled using the tolerances and units given.
b. Table A2A in this attachment sets out the test results required, including the parameters, tolerances, and flight conditions for simulator validation. Tolerances are provided for the listed tests because mathematical modeling and acquisition and development of reference data are often inexact. All tolerances listed in the following tables are applied to simulator performance. When two tolerance values are given for a parameter, the less restrictive may be used unless otherwise indicated. In those cases where a tolerance is expressed only as a percentage, the tolerance percentage applies to the maximum value of that parameter within its normal operating range as measured from the neutral or zero position unless otherwise indicated.
c. Certain tests included in this attachment must be supported with an SOC. In Table A2A, requirements for SOCs are indicated in the “Test Details” column.
d. When operational or engineering judgment is used in making assessments for flight test data applications for simulator validity, such judgment must not be limited to a single parameter. For example, data that exhibit rapid variations of the measured parameters may require interpolations or a “best fit” data selection. All relevant parameters related to a given maneuver or flight condition must be provided to allow overall interpretation. When it is difficult or impossible to match simulator to airplane data throughout a time history, differences must be justified by providing a comparison of other related variables for the condition being assessed.
e. It is not acceptable to program the FFS so that the mathematical modeling is correct only at the validation test points. Unless otherwise noted, simulator tests must represent airplane performance and handling qualities at operating weights and centers of gravity (CG) typical of normal operation. Simulator tests at extreme weight or CG conditions may be acceptable where required for concurrent aircraft certification testing. Tests of handling qualities must include validation of augmentation devices.
f. When comparing the parameters listed to those of the airplane, sufficient data must also be provided to verify the correct flight condition and airplane configuration changes. For example, to show that control force is within the parameters for a static stability test, data to show the correct airspeed, power, thrust or torque, airplane configuration, altitude, and other appropriate datum identification parameters must also be given. If comparing short period dynamics, normal acceleration may be used to establish a match to the airplane, but airspeed, altitude, control input, airplane configuration, and other appropriate data must also be given. If comparing landing gear change dynamics, pitch, airspeed, and altitude may be used to establish a match to the airplane, but landing gear position must also be provided. All airspeed values must be properly annotated (e.g., indicated versus calibrated). In addition, the same variables must be used for comparison (e.g., compare inches to inches rather than inches to centimeters).
g. The QTG provided by the sponsor must clearly describe how the simulator will be set up and operated for each test. Each simulator subsystem may be tested independently, but overall integrated testing of the simulator must be accomplished to assure that the total simulator system meets the prescribed standards. A manual test procedure with explicit and detailed steps for completing each test must also be provided.
h. For previously qualified simulators, the tests and tolerances of this attachment may be used in subsequent continuing qualification evaluations for any given test if the sponsor has submitted a proposed MQTG revision to the responsible Flight Standards office and has received responsible Flight Standards office approval.
i. Simulators are evaluated and qualified with an engine model simulating the airplane data supplier's flight test engine. For qualification of alternative engine models (either variations of the flight test engines or other manufacturer's engines) additional tests with the alternative engine models may be required. This attachment contains guidelines for alternative engines.
j. For testing Computer Controlled Aircraft (CCA) simulators, or other highly augmented airplane simulators, flight test data is required for the Normal (N) and/or Non-normal (NN) control states, as indicated in this attachment. Where test results are independent of control state, Normal or Non-normal control data may be used. All tests in Table A2A require test results in the Normal control state unless specifically noted otherwise in the Test Details section following the CCA designation. The responsible Flight Standards office will determine what tests are appropriate for airplane simulation data. When making this determination, the responsible Flight Standards office may require other levels of control state degradation for specific airplane tests. Where Non-normal control states are required, test data must be provided for one or more Non-normal control states, and must include the least augmented state. Where applicable, flight test data must record Normal and Non-normal states for:
(1) Pilot controller deflections or electronically generated inputs, including location of input; and
(2) Flight control surface positions unless test results are not affected by, or are independent of, surface positions.
k. Tests of handling qualities must include validation of augmentation devices. FFSs for highly augmented airplanes will be validated both in the unaugmented configuration (or failure state with the maximum permitted degradation in handling qualities) and the augmented configuration. Where various levels of handling qualities result from failure states, validation of the effect of the failure is necessary. Requirements for testing will be mutually agreed to between the sponsor and the responsible Flight Standards office on a case-by-case basis.
l. Some tests will not be required for airplanes using airplane hardware in the simulator flight deck (e.g., “side stick controller”). These exceptions are noted in Section 2 “Handling Qualities” in Table A2A of this attachment. However, in these cases, the sponsor must provide a statement that the airplane hardware meets the appropriate manufacturer's specifications and the sponsor must have supporting information to that fact available for responsible Flight Standards office review.
m. For objective test purposes, see Appendix F of this part for the definitions of “Near maximum,” “Light,” and “Medium” gross weight.
n. In those cases where the objective test results authorize a “snapshot test” or a “series of snapshot tests” results in lieu of a time-history result, the sponsor or other data provider must ensure that a steady state condition exists at the instant of time captured by the “snapshot.” The steady state condition should exist from 4 seconds prior to, through 1 second following, the instant of time captured by the snap shot.
o. For references on basic operating weight, see AC 120-27, “Aircraft Weight and Balance;” and FAA-H-8083-1, “Aircraft Weight and Balance Handbook.”
a. If relevant winds are present in the objective data, the wind vector should be clearly noted as part of the data presentation, expressed in conventional terminology, and related to the runway being used for test near the ground.
b. The reader is encouraged to review the Airplane Flight Simulator Evaluation Handbook, Volumes I and II, published by the Royal Aeronautical Society, London, UK, and AC 25-7, as amended, Flight Test Guide for Certification of Transport Category Airplanes, and AC 23-8, as amended, Flight Test Guide for Certification of Part 23 Airplanes, for references and examples regarding flight testing requirements and techniques.
a. General. The characteristics of an airplane flight control system have a major effect on handling qualities. A significant consideration in pilot acceptability of an airplane is the “feel” provided through the flight controls. Considerable effort is expended on airplane feel system design so that pilots will be comfortable and will consider the airplane desirable to fly. In order for an FFS to be representative, it should “feel” like the airplane being simulated. Compliance with this requirement is determined by comparing a recording of the control feel dynamics of the FFS to actual airplane measurements in the takeoff, cruise and landing configurations.
(1) Recordings such as free response to an impulse or step function are classically used to estimate the dynamic properties of electromechanical systems. In any case, it is only possible to estimate the dynamic properties as a result of being able to estimate true inputs and responses. Therefore, it is imperative that the best possible data be collected since close matching of the FFS control loading system to the airplane system is essential. The required dynamic control tests are described in Table A2A of this attachment.
(2) For initial and upgrade evaluations, the QPS requires that control dynamics characteristics be measured and recorded directly from the flight controls (Handling Qualities—Table A2A). This procedure is usually accomplished by measuring the free response of the controls using a step or impulse input to excite the system. The procedure should be accomplished in the takeoff, cruise and landing flight conditions and configurations.
(3) For airplanes with irreversible control systems, measurements may be obtained on the ground if proper pitot-static inputs are provided to represent airspeeds typical of those encountered in flight. Likewise, it may be shown that for some airplanes, takeoff, cruise, and landing configurations have like effects. Thus, one may suffice for another. In either case, engineering validation or airplane manufacturer rationale should be submitted as justification for ground tests or for eliminating a configuration. For FFSs requiring static and dynamic tests at the controls, special test fixtures will not be required during initial and upgrade evaluations if the QTG shows both test fixture results and the results of an alternate approach (e.g., computer plots that were produced concurrently and show satisfactory agreement). Repeat of the alternate method during the initial evaluation satisfies this test requirement.
b. Control Dynamics Evaluation. The dynamic properties of control systems are often stated in terms of frequency, damping and a number of other classical measurements. In order to establish a consistent means of validating test results for FFS control loading, criteria are needed that will clearly define the measurement interpretation and the applied tolerances. Criteria are needed for underdamped, critically damped and overdamped systems. In the case of an underdamped system with very light damping, the system may be quantified in terms of frequency and damping. In critically damped or overdamped systems, the frequency and damping are not readily measured from a response time history. Therefore, the following suggested measurements may be used:
(1) For Level C and D simulators. Tests to verify that control feel dynamics represent the airplane should show that the dynamic damping cycles (free response of the controls) match those of the airplane within specified tolerances. The Flight Standards Service recognizes that several different testing methods may be used to verify the control feel dynamic response. The responsible Flight Standards office will consider the merits of testing methods based on reliability and consistency. One acceptable method of evaluating the response and the tolerance to be applied is described below for the underdamped and critically damped cases. A sponsor using this method to comply with the QPS requirements should perform the tests as follows:
(a) Underdamped response. Two measurements are required for the period, the time to first zero crossing (in case a rate limit is present) and the subsequent frequency of oscillation. It is necessary to measure cycles on an individual basis in case there are non-uniform periods in the response. Each period will be independently compared to the respective period of the airplane control system and, consequently, will enjoy the full tolerance specified for that period. The damping tolerance will be applied to overshoots on an individual basis. Care should be taken when applying the tolerance to small overshoots since the significance of such overshoots becomes questionable. Only those overshoots larger than 5 per cent of the total initial displacement should be considered. The residual band, labeled T(A
(b) Critically damped and overdamped response. Due to the nature of critically damped and overdamped responses (no overshoots), the time to reach 90 percent of the steady state (neutral point) value should be the same as the airplane within ±10 percent. Figure A2B illustrates the procedure.
(c) Special considerations. Control systems that exhibit characteristics other than classical overdamped or underdamped responses should meet specified tolerances. In addition, special consideration should be given to ensure that significant trends are maintained.
(2) Tolerances.
(a) The following table summarizes the tolerances, T, for underdamped systems, and “n” is the sequential period of a full cycle of oscillation. See Figure A2A of this attachment for an illustration of the referenced measurements.
| T(P | ±10% of P |
| T(P | ±20% of P |
| T(P | ±30% of P |
| T(P | ±10(n + 1)% of P |
| T(A | ±10% of A |
| T(A | ±5% of A |
Significant overshoots, First overshoot and ±1 subsequent overshoots.
(b) The following tolerance applies to critically damped and overdamped systems only. See Figure A2B for an illustration of the reference measurements:
| T(P | ±10% of P |
c. Alternative method for control dynamics evaluation.
(1) An alternative means for validating control dynamics for aircraft with hydraulically powered flight controls and artificial feel systems is by the measurement of control force and rate of movement. For each axis of pitch, roll, and yaw, the control must be forced to its maximum extreme position for the following distinct rates. These tests are conducted under normal flight and ground conditions.
(a) Static test—Slowly move the control so that a full sweep is achieved within 95 to 105 seconds. A full sweep is defined as movement of the controller from neutral to the stop, usually aft or right stop, then to the opposite stop, then to the neutral position.
(b) Slow dynamic test—Achieve a full sweep within 8-12 seconds.
(c) Fast dynamic test—Achieve a full sweep within 3-5 seconds.
Dynamic sweeps may be limited to forces not exceeding 100 lbs. (44.5 daN).
(d) Tolerances
(i) Static test; see Table A2A, FFS Objective Tests, Entries 2.a.1., 2.a.2., and 2.a.3.
(ii) Dynamic test—±2 lbs (0.9 daN) or ±10% on dynamic increment above static test.
d. The FAA is open to alternative means such as the one described above. The alternatives should be justified and appropriate to the application. For example, the method described here may not apply to all manufacturers' systems and certainly not to aircraft with reversible control systems. Each case is considered on its own merit on an ad hoc basis. If the FAA finds that alternative methods do not result in satisfactory performance, more conventionally accepted methods will have to be used.
a. For an FFS to be used for take-off and landing (not applicable to Level A simulators in that the landing maneuver may not be credited in a Level A simulator) it should reproduce the aerodynamic changes that occur in ground effect. The parameters chosen for FFS validation should indicate these changes.
(1) A dedicated test should be provided that will validate the aerodynamic ground effect characteristics.
(2) The organization performing the flight tests may select appropriate test methods and procedures to validate ground effect. However, the flight tests should be performed with enough duration near the ground to sufficiently validate the ground-effect model.
b. The responsible Flight Standards office will consider the merits of testing methods based on reliability and consistency. Acceptable methods of validating ground effect are described below. If other methods are proposed, rationale should be provided to conclude that the tests performed validate the ground-effect model. A sponsor using the methods described below to comply with the QPS requirements should perform the tests as follows:
(1) Level fly-bys. The level fly-bys should be conducted at a minimum of three altitudes within the ground effect, including one at no more than 10% of the wingspan above the ground, one each at approximately 30% and 50% of the wingspan where height refers to main gear tire above the ground. In addition, one level-flight trim condition should be conducted out of ground effect (e.g., at 150% of wingspan).
(2) Shallow approach landing. The shallow approach landing should be performed at a glide slope of approximately one degree with negligible pilot activity until flare.
c. The lateral-directional characteristics are also altered by ground effect. For example, because of changes in lift, roll damping is affected. The change in roll damping will affect other dynamic modes usually evaluated for FFS validation. In fact, Dutch roll dynamics, spiral stability, and roll-rate for a given lateral control input are altered by ground effect. Steady heading sideslips will also be affected. These effects should be accounted for in the FFS modeling. Several tests such as crosswind landing, one engine inoperative landing, and engine failure on take-off serve to validate lateral-directional ground effect since portions of these tests are accomplished as the aircraft is descending through heights above the runway at which ground effect is an important factor.
a. General.
(1) Pilots use continuous information signals to regulate the state of the airplane. In concert with the instruments and outside-world visual information, whole-body motion feedback is essential in assisting the pilot to control the airplane dynamics, particularly in the presence of external disturbances. The motion system should meet basic objective performance criteria, and should be subjectively tuned at the pilot's seat position to represent the linear and angular accelerations of the airplane during a prescribed minimum set of maneuvers and conditions. The response of the motion cueing system should also be repeatable.
(2) The Motion System tests in Section 3 of Table A2A are intended to qualify the FFS motion cueing system from a mechanical performance standpoint. Additionally, the list of motion effects provides a representative sample of dynamic conditions that should be present in the flight simulator. An additional list of representative, training-critical maneuvers, selected from Section 1 (Performance tests), and Section 2 (Handling Qualities tests), in Table A2A, that should be recorded during initial qualification (but without tolerance) to indicate the flight simulator motion cueing performance signature have been identified (reference Section 3.e). These tests are intended to help improve the overall standard of FFS motion cueing.
b. Motion System Checks. The intent of test 3a, Frequency Response, and test 3b, Turn-Around Check, as described in the Table of Objective Tests, are to demonstrate the performance of the motion system hardware, and to check the integrity of the motion set-up with regard to calibration and wear. These tests are independent of the motion cueing software and should be considered robotic tests.
c. Motion System Repeatability. The intent of this test is to ensure that the motion system software and motion system hardware have not degraded or changed over time. This diagnostic test should be completed during continuing qualification checks in lieu of the robotic tests. This will allow an improved ability to determine changes in the software or determine degradation in the hardware. The following information delineates the methodology that should be used for this test.
(1) Input: The inputs should be such that rotational accelerations, rotational rates, and linear accelerations are inserted before the transfer from airplane center of gravity to pilot reference point with a minimum amplitude of 5 deg/sec/sec, 10 deg/sec and 0.3 g, respectively, to provide adequate analysis of the output.
(2) Recommended output:
(a) Actual platform linear accelerations; the output will comprise accelerations due to both the linear and rotational motion acceleration;
(b) Motion actuators position.
d. Objective Motion Cueing Test—Frequency Domain
(1) Background. This test quantifies the response of the motion cueing system from the output of the flight model to the motion platform response. Other motion tests, such as the motion system frequency response, concentrate on the mechanical performance of the motion system hardware alone. The intent of this test is to provide quantitative frequency response records of the entire motion system for specified degree-of-freedom transfer relationships over a range of frequencies. This range should be representative of the manual control range for that particular aircraft type and the simulator as set up during qualification. The measurements of this test should include the combined influence of the motion cueing algorithm, the motion platform dynamics, and the transport delay associated with the motion cueing and control system implementation. Specified frequency responses describing the ability of the FSTD to reproduce aircraft translations and rotations, as well as the cross-coupling relations, are required as part of these measurements. When simulating forward aircraft acceleration, the simulator is accelerated momentarily in the forward direction to provide the onset cueing. This is considered the direct transfer relation. The simulator is simultaneously tilted nose-up due to the low-pass filter in order to generate a sustained specific force. The tilt associated with the generation of the sustained specific force, and the angular rates and angular accelerations associated with the initiation of the sustained specific force, are considered cross-coupling relations. The specific force is required for the perception of the aircraft sustained specific force, while the angular rates and accelerations do not occur in the aircraft and should be minimized.
(2) Frequency response test. This test requires the frequency response to be measured for the motion cueing system. Reference sinusoidal signals are inserted at the pilot reference position prior to the motion cueing computations. The response of the motion platform in the corresponding degree-of-freedom (the direct transfer relations), as well as the motions resulting from cross-coupling (the cross-coupling relations), are recorded. These are the tests that are important to pilot motion cueing and are general tests applicable to all types of airplanes.
(3) This test is only required to be run once for the initial qualification of the FSTD and will not be required for continuing qualification purposes. The FAA will accept test results provided by the FSTD manufacturer as part of a Statement of Compliance confirming that the objective motion cueing tests were used to assist in the tuning of the FSTD's motion cueing algorithms.
e. Motion Vibrations.
(1) Presentation of results. The characteristic motion vibrations may be used to verify that the flight simulator can reproduce the frequency content of the airplane when flown in specific conditions. The test results should be presented as a Power Spectral Density (PSD) plot with frequencies on the horizontal axis and amplitude on the vertical axis. The airplane data and flight simulator data should be presented in the same format with the same scaling. The algorithms used for generating the flight simulator data should be the same as those used for the airplane data. If they are not the same then the algorithms used for the flight simulator data should be proven to be sufficiently comparable. As a minimum, the results along the dominant axes should be presented and a rationale for not presenting the other axes should be provided.
(2) Interpretation of results. The overall trend of the PSD plot should be considered while focusing on the dominant frequencies. Less emphasis should be placed on the differences at the high frequency and low amplitude portions of the PSD plot. During the analysis, certain structural components of the flight simulator have resonant frequencies that are filtered and may not appear in the PSD plot. If filtering is required, the notch filter bandwidth should be limited to 1 Hz to ensure that the buffet feel is not adversely affected. In addition, a rationale should be provided to explain that the characteristic motion vibration is not being adversely affected by the filtering. The amplitude should match airplane data as described below. However, if the PSD plot was altered for subjective reasons, a rationale should be provided to justify the change. If the plot is on a logarithmic scale, it may be difficult to interpret the amplitude of the buffet in terms of acceleration. For example, a 1 × 10
In the example, “g-rms
a. General. The total sound environment in the airplane is very complex, and changes with atmospheric conditions, airplane configuration, airspeed, altitude, and power settings. Flight deck sounds are an important component of the flight deck operational environment and provide valuable information to the flight crew. These aural cues can either assist the crew (as an indication of an abnormal situation), or hinder the crew (as a distraction or nuisance). For effective training, the flight simulator should provide flight deck sounds that are perceptible to the pilot during normal and abnormal operations, and comparable to those of the airplane. The flight simulator operator should carefully evaluate background noises in the location where the device will be installed. To demonstrate compliance with the sound requirements, the objective or validation tests in this attachment were selected to provide a representative sample of normal static conditions typically experienced by a pilot.
b. Alternate propulsion. For FFS with multiple propulsion configurations, any condition listed in Table A2A of this attachment should be presented for evaluation as part of the QTG if identified by the airplane manufacturer or other data supplier as significantly different due to a change in propulsion system (engine or propeller).
c. Data and Data Collection System.
(1) Information provided to the flight simulator manufacturer should be presented in the format suggested by the International Air Transport Association (IATA) “Flight Simulator Design and Performance Data Requirements,” as amended. This information should contain calibration and frequency response data.
(2) The system used to perform the tests listed in Table A2A should comply with the following standards:
(a) The specifications for octave, half octave, and third octave band filter sets may be found in American National Standards Institute (ANSI) S1.11-1986;
(b) Measurement microphones should be type WS2 or better, as described in International Electrotechnical Commission (IEC) 1094-4-1995.
(3) Headsets. If headsets are used during normal operation of the airplane they should also be used during the flight simulator evaluation.
(4) Playback equipment. Playback equipment and recordings of the QTG conditions should be provided during initial evaluations.
(5) Background noise.
(a) Background noise is the noise in the flight simulator that is not associated with the airplane, but is caused by the flight simulator's cooling and hydraulic systems and extraneous noise from other locations in the building. Background noise can seriously impact the correct simulation of airplane sounds and should be kept below the airplane sounds. In some cases, the sound level of the simulation can be increased to compensate for the background noise. However, this approach is limited by the specified tolerances and by the subjective acceptability of the sound environment to the evaluation pilot.
(b) The acceptability of the background noise levels is dependent upon the normal sound levels in the airplane being represented. Background noise levels that fall below the lines defined by the following points, may be acceptable:
(i) 70 dB @ 50 Hz;
(ii) 55 dB @ 1000 Hz;
(iii) 30 dB @ 16 kHz
(
(6) Validation testing. Deficiencies in airplane recordings should be considered when applying the specified tolerances to ensure that the simulation is representative of the airplane. Examples of typical deficiencies are:
(a) Variation of data between tail numbers;
(b) Frequency response of microphones;
(c) Repeatability of the measurements.
Table A2B—Example of Continuing Qualification Frequency Response Test Tolerance
| Band center
frequency | Initial results
(dBSPL) | Continuing qualification results
(dBSPL) | Absolute
difference |
|---|---|---|---|
| 50 | 75.0 | 73.8 | 1.2 |
| 63 | 75.9 | 75.6 | 0.3 |
| 80 | 77.1 | 76.5 | 0.6 |
| 100 | 78.0 | 78.3 | 0.3 |
| 125 | 81.9 | 81.3 | 0.6 |
| 160 | 79.8 | 80.1 | 0.3 |
| 200 | 83.1 | 84.9 | 1.8 |
| 250 | 78.6 | 78.9 | 0.3 |
| 315 | 79.5 | 78.3 | 1.2 |
| 400 | 80.1 | 79.5 | 0.6 |
| 500 | 80.7 | 79.8 | 0.9 |
| 630 | 81.9 | 80.4 | 1.5 |
| 800 | 73.2 | 74.1 | 0.9 |
| 1000 | 79.2 | 80.1 | 0.9 |
| 1250 | 80.7 | 82.8 | 2.1 |
| 1600 | 81.6 | 78.6 | 3.0 |
| 2000 | 76.2 | 74.4 | 1.8 |
| 2500 | 79.5 | 80.7 | 1.2 |
| 3150 | 80.1 | 77.1 | 3.0 |
| 4000 | 78.9 | 78.6 | 0.3 |
| 5000 | 80.1 | 77.1 | 3.0 |
| 6300 | 80.7 | 80.4 | 0.3 |
| 8000 | 84.3 | 85.5 | 1.2 |
| 10000 | 81.3 | 79.8 | 1.5 |
| 12500 | 80.7 | 80.1 | 0.6 |
| 16000 | 71.1 | 71.1 | 0.0 |
| Average | 1.1 |
a. Typically, an airplane manufacturer's approved final data for performance, handling qualities, systems or avionics is not available until well after a new or derivative airplane has entered service. However, flight crew training and certification often begins several months prior to the entry of the first airplane into service. Consequently, it may be necessary to use preliminary data provided by the airplane manufacturer for interim qualification of flight simulators.
b. In these cases, the responsible Flight Standards office may accept certain partially validated preliminary airplane and systems data, and early release (“red label”) avionics data in order to permit the necessary program schedule for training, certification, and service introduction.
c. Simulator sponsors seeking qualification based on preliminary data should consult the responsible Flight Standards office to make special arrangements for using preliminary data for flight simulator qualification. The sponsor should also consult the airplane and flight simulator manufacturers to develop a data plan and flight simulator qualification plan.
d. The procedure to be followed to gain the responsible Flight Standards office acceptance of preliminary data will vary from case to case and between airplane manufacturers. Each airplane manufacturer's new airplane development and test program is designed to suit the needs of the particular project and may not contain the same events or sequence of events as another manufacturer's program, or even the same manufacturer's program for a different airplane. Therefore, there cannot be a prescribed invariable procedure for acceptance of preliminary data, but instead there should be a statement describing the final sequence of events, data sources, and validation procedures agreed by the simulator sponsor, the airplane manufacturer, the flight simulator manufacturer, and the responsible Flight Standards office.
A description of airplane manufacturer-provided data needed for flight simulator modeling and validation is to be found in the IATA Document “Flight Simulator Design and Performance Data Requirements,” as amended.
e. The preliminary data should be the manufacturer's best representation of the airplane, with assurance that the final data will not significantly deviate from the preliminary estimates. Data derived from these predictive or preliminary techniques should be validated against available sources including, at least, the following:
(1) Manufacturer's engineering report. The report should explain the predictive method used and illustrate past success of the method on similar projects. For example, the manufacturer could show the application of the method to an earlier airplane model or predict the characteristics of an earlier model and compare the results to final data for that model.
(2) Early flight test results. This data is often derived from airplane certification tests, and should be used to maximum advantage for early flight simulator validation. Certain critical tests that would normally be done early in the airplane certification program should be included to validate essential pilot training and certification maneuvers. These include cases where a pilot is expected to cope with an airplane failure mode or an engine failure. Flight test data that will be available early in the flight test program will depend on the airplane manufacturer's flight test program design and may not be the same in each case. The flight test program of the airplane manufacturer should include provisions for generation of very early flight test results for flight simulator validation.
f. The use of preliminary data is not indefinite. The airplane manufacturer's final data should be available within 12 months after the airplane's first entry into service or as agreed by the responsible Flight Standards office, the simulator sponsor, and the airplane manufacturer. When applying for interim qualification using preliminary data, the simulator sponsor and the responsible Flight Standards office should agree on the update program. This includes specifying that the final data update will be installed in the flight simulator within a period of 12 months following the final data release, unless special conditions exist and a different schedule is acceptable. The flight simulator performance and handling validation would then be based on data derived from flight tests or from other approved sources. Initial airplane systems data should be updated after engineering tests. Final airplane systems data should also be used for flight simulator programming and validation.
g. Flight simulator avionics should stay essentially in step with airplane avionics (hardware and software) updates. The permitted time lapse between airplane and flight simulator updates should be minimal. It may depend on the magnitude of the update and whether the QTG and pilot training and certification are affected. Differences in airplane and flight simulator avionics versions and the resulting effects on flight simulator qualification should be agreed between the simulator sponsor and the responsible Flight Standards office. Consultation with the flight simulator manufacturer is desirable throughout the qualification process.
h. The following describes an example of the design data and sources that might be used in the development of an interim qualification plan.
(1) The plan should consist of the development of a QTG based upon a mix of flight test and engineering simulation data. For data collected from specific airplane flight tests or other flights, the required design model or data changes necessary to support an acceptable Proof of Match (POM) should be generated by the airplane manufacturer.
(2) For proper validation of the two sets of data, the airplane manufacturer should compare their simulation model responses against the flight test data, when driven by the same control inputs and subjected to the same atmospheric conditions as recorded in the flight test. The model responses should result from a simulation where the following systems are run in an integrated fashion and are consistent with the design data released to the flight simulator manufacturer:
(a) Propulsion;
(b) Aerodynamics;
(c) Mass properties;
(d) Flight controls;
(e) Stability augmentation; and
(f) Brakes/landing gear.
i. A qualified test pilot should be used to assess handling qualities and performance evaluations for the qualification of flight simulators of new airplane types.
a. When a fully validated simulation (i.e., validated with flight test results) is modified due to changes to the simulated airplane configuration, the airplane manufacturer or other acceptable data supplier must coordinate with the responsible Flight Standards office if they propose to supply validation data from an “audited” engineering simulator/simulation to selectively supplement flight test data. The responsible Flight Standards office must be provided an opportunity to audit the engineering simulation or the engineering simulator used to generate the validation data. Validation data from an audited engineering simulation may be used for changes that are incremental in nature. Manufacturers or other data suppliers must be able to demonstrate that the predicted changes in aircraft performance are based on acceptable aeronautical principles with proven success history and valid outcomes. This must include comparisons of predicted and flight test validated data.
b. Airplane manufacturers or other acceptable data suppliers seeking to use an engineering simulator for simulation validation data as an alternative to flight-test derived validation data, must contact the responsible Flight Standards office and provide the following:
(1) A description of the proposed aircraft changes, a description of the proposed simulation model changes, and the use of an integral configuration management process, including a description of the actual simulation model modifications that includes a step-by-step description leading from the original model(s) to the current model(s).
(2) A schedule for review by the responsible Flight Standards office of the proposed plan and the subsequent validation data to establish acceptability of the proposal.
(3) Validation data from an audited engineering simulator/simulation to supplement specific segments of the flight test data.
c. To be qualified to supply engineering simulator validation data, for aerodynamic, engine, flight control, or ground handling models, an airplane manufacturer or other acceptable data supplier must:
(1) Be able to verify their ability able to:
(a) Develop and implement high fidelity simulation models; and
(b) Predict the handling and performance characteristics of an airplane with sufficient accuracy to avoid additional flight test activities for those handling and performance characteristics.
(2) Have an engineering simulator that:
(a) Is a physical entity, complete with a flight deck representative of the simulated class of airplane;
(b) Has controls sufficient for manual flight;
(c) Has models that run in an integrated manner;
(d) Has fully flight-test validated simulation models as the original or baseline simulation models;
(e) Has an out-of-the-flight deck visual system;
(f) Has actual avionics boxes interchangeable with the equivalent software simulations to support validation of released software;
(g) Uses the same models as released to the training community (which are also used to produce stand-alone proof-of-match and checkout documents);
(h) Is used to support airplane development and certification; and
(i) Has been found to be a high fidelity representation of the airplane by the manufacturer's pilots (or other acceptable data supplier), certificate holders, and the responsible Flight Standards office.
(3) Use the engineering simulator/simulation to produce a representative set of integrated proof-of-match cases.
(4) Use a configuration control system covering hardware and software for the operating components of the engineering simulator/simulation.
(5) Demonstrate that the predicted effects of the change(s) are within the provisions of sub-paragraph “a” of this section, and confirm that additional flight test data are not required.
d. Additional Requirements for Validation Data
(1) When used to provide validation data, an engineering simulator must meet the simulator standards currently applicable to training simulators except for the data package.
(2) The data package used must be:
(a) Comprised of the engineering predictions derived from the airplane design, development, or certification process;
(b) Based on acceptable aeronautical principles with proven success history and valid outcomes for aerodynamics, engine operations, avionics operations, flight control applications, or ground handling;
(c) Verified with existing flight-test data; and
(d) Applicable to the configuration of a production airplane, as opposed to a flight-test airplane.
(3) Where engineering simulator data are used as part of a QTG, an essential match must exist between the training simulator and the validation data.
(4) Training flight simulator(s) using these baseline and modified simulation models must be qualified to at least internationally recognized standards, such as contained in the ICAO Document 9625, the “Manual of Criteria for the Qualification of Flight Simulators.”
a. Non-Flight-Test Tolerances
(1) If engineering simulator data or other non-flight-test data are used as an allowable form of reference validation data for the objective tests listed in Table A2A of this attachment, the data provider must supply a well-documented mathematical model and testing procedure that enables a replication of the engineering simulation results within 40% of the corresponding flight test tolerances.
b. Background
(1) The tolerances listed in Table A2A of this attachment are designed to measure the quality of the match using flight-test data as a reference.
(2) Good engineering judgment should be applied to all tolerances in any test. A test is failed when the results clearly fall outside of the prescribed tolerance(s).
(3) Engineering simulator data are acceptable because the same simulation models used to produce the reference data are also used to test the flight training simulator (i.e., the two sets of results should be “essentially” similar).
(4) The results from the two sources may differ for the following reasons:
(a) Hardware (avionics units and flight controls);
(b) Iteration rates;
(c) Execution order;
(d) Integration methods;
(e) Processor architecture;
(f) Digital drift, including:
(i) Interpolation methods;
(ii) Data handling differences; and
(iii) Auto-test trim tolerances.
(5) The tolerance limit between the reference data and the flight simulator results is generally 40 percent of the corresponding `flight-test' tolerances. However, there may be cases where the simulator models used are of higher fidelity, or the manner in which they are cascaded in the integrated testing loop have the effect of a higher fidelity, than those supplied by the data provider. Under these circumstances, it is possible that an error greater than 40 percent may be generated. An error greater than 40 percent may be acceptable if simulator sponsor can provide an adequate explanation.
(6) Guidelines are needed for the application of tolerances to engineering-simulator-generated validation data because:
(a) Flight-test data are often not available due to technical reasons;
(b) Alternative technical solutions are being advanced; and
(c) High costs.
a. Airplane manufacturers or other data suppliers should supply a validation data roadmap (VDR) document as part of the data package. A VDR document contains guidance material from the airplane validation data supplier recommending the best possible sources of data to be used as validation data in the QTG. A VDR is of special value when requesting interim qualification, qualification of simulators for airplanes certificated prior to 1992, and qualification of alternate engine or avionics fits. A sponsor seeking to have a device qualified in accordance with the standards contained in this QPS appendix should submit a VDR to the responsible Flight Standards office as early as possible in the planning stages. The responsible Flight Standards office is the final authority to approve the data to be used as validation material for the QTG.
b. The VDR should identify (in matrix format) sources of data for all required tests. It should also provide guidance regarding the validity of these data for a specific engine type, thrust rating configuration, and the revision levels of all avionics affecting airplane handling qualities and performance. The VDR should include rationale or explanation in cases where data or parameters are missing, engineering simulation data are to be used, flight test methods require explanation, or there is any deviation from data requirements. Additionally, the document should refer to other appropriate sources of validation data (e.g., sound and vibration data documents).
c. The Sample Validation Data Roadmap (VDR) for airplanes, shown in Table A2C, depicts a generic roadmap matrix identifying sources of validation data for an abbreviated list of tests. This document is merely a sample and does not provide actual data. A complete matrix should address all test conditions and provide actual data and data sources.
d. Two examples of rationale pages are presented in Appendix F of the IATA “Flight Simulator Design and Performance Data Requirements.” These illustrate the type of airplane and avionics configuration information and descriptive engineering rationale used to describe data anomalies or provide an acceptable basis for using alternative data for QTG validation requirements.
(1) For a new airplane type, the majority of flight validation data are collected on the first airplane configuration with a “baseline” engine type. These data are then used to validate all flight simulators representing that airplane type.
(2) Additional flight test validation data may be needed for flight simulators representing an airplane with engines of a different type than the baseline, or for engines with thrust rating that is different from previously validated configurations.
(3) When a flight simulator with alternate engines is to be qualified, the QTG should contain tests against flight test validation data for selected cases where engine differences are expected to be significant.
(1) The following guidelines apply to flight simulators representing airplanes with alternate engine applications or with more than one engine type or thrust rating.
(2) Validation tests can be segmented into two groups, those that are dependent on engine type or thrust rating and those that are not.
(3) For tests that are independent of engine type or thrust rating, the QTG can be based on validation data from any engine application. Tests in this category should be designated as independent of engine type or thrust rating.
(4) For tests that are affected by engine type, the QTG should contain selected engine-specific flight test data sufficient to validate that particular airplane-engine configuration. These effects may be due to engine dynamic characteristics, thrust levels or engine-related airplane configuration changes. This category is primarily characterized by variations between different engine manufacturers' products, but also includes differences due to significant engine design changes from a previously flight-validated configuration within a single engine type. See Table A2D, Alternate Engine Validation Flight Tests in this section for a list of acceptable tests.
(5) Alternate engine validation data should be based on flight test data, except as noted in sub-paragraphs 13.c.(1) and (2), or where other data are specifically allowed (e.g., engineering simulator/simulation data). If certification of the flight characteristics of the airplane with a new thrust rating (regardless of percentage change) does require certification flight testing with a comprehensive stability and control flight instrumentation package, then the conditions described in Table A2D in this section should be obtained from flight testing and presented in the QTG. Flight test data, other than throttle calibration data, are not required if the new thrust rating is certified on the airplane without need for a comprehensive stability and control flight instrumentation package.
(6) As a supplement to the engine-specific flight tests listed in Table A2D and baseline engine-independent tests, additional engine-specific engineering validation data should be provided in the QTG, as appropriate, to facilitate running the entire QTG with the alternate engine configuration. The sponsor and the responsible Flight Standards office should agree in advance on the specific validation tests to be supported by engineering simulation data.
(7) A matrix or VDR should be provided with the QTG indicating the appropriate validation data source for each test.
(8) The flight test conditions in Table A2D are appropriate and should be sufficient to validate implementation of alternate engines in a flight simulator.
(1) The QTG must contain selected engine-specific flight test data sufficient to validate the alternative thrust level when:
(a) the engine type is the same, but the thrust rating exceeds that of a previously flight-test validated configuration by five percent (5%) or more; or
(b) the engine type is the same, but the thrust rating is less than the lowest previously flight-test validated rating by fifteen percent (15%) or more. See Table A2D for a list of acceptable tests.
(2) Flight test data is not required if the thrust increase is greater than 5%, but flight tests have confirmed that the thrust increase does not change the airplane's flight characteristics.
(3) Throttle calibration data (i.e., commanded power setting parameter versus throttle position) must be provided to validate all alternate engine types and engine thrust ratings that are higher or lower than a previously validated engine. Data from a test airplane or engineering test bench with the correct engine controller (both hardware and software) are required.
Table A2D—Alternative Engine Validation Flight Tests
| Entry No. | Test description | Alternative
engine type | Alternative
thrust rating 2 | |
|---|---|---|---|---|
| 1.b.1., 1.b.4. | Normal take-off/ground acceleration time and distance | X | X | |
| 1.b.2. | V | X | X | |
| 1.b.5.
1.b.8. | Engine-out take-off
Dynamic engine failure after take-off. | Either test may be performed |
X | |
| 1.b.7. | Rejected take-off if performed for airplane certification | X | ||
| 1.d.1. | Cruise performance | X | ||
| 1.f.1., 1.f.2. | Engine acceleration and deceleration | X | X | |
| 2.a.7. | Throttle calibration 1 | X | X | |
| 2.c.1. | Power change dynamics (acceleration) | X | X | |
| 2.d.1. | V | X | X | |
| 2.d.5. | Engine inoperative trim | X | X | |
| 2.e.1. | Normal landing | X | ||
1 Must be provided for all changes in engine type or thrust rating; see paragraph 13.c.(3).
2 See paragraphs 13.c.(1) through 13.c.(3), for a definition of applicable thrust ratings.
(1) For a new airplane type, the majority of flight validation data are collected on the first airplane configuration with a “baseline” flight-related avionics ship-set; (see subparagraph b.(2) of this section). These data are then used to validate all flight simulators representing that airplane type.
(2) Additional validation data may be required for flight simulators representing an airplane with avionics of a different hardware design than the baseline, or a different software revision than previously validated configurations.
(3) When a flight simulator with additional or alternate avionics configurations is to be qualified, the QTG should contain tests against validation data for selected cases where avionics differences are expected to be significant.
(1) The following guidelines apply to flight simulators representing airplanes with a revised avionics configuration, or more than one avionics configuration.
(2) The baseline validation data should be based on flight test data, except where other data are specifically allowed (e.g., engineering flight simulator data).
(3) The airplane avionics can be segmented into two groups, systems or components whose functional behavior contributes to the aircraft response presented in the QTG results, and systems that do not. The following avionics are examples of contributory systems for which hardware design changes or software revisions may lead to significant differences in the aircraft response relative to the baseline avionics configuration: Flight control computers and controllers for engines, autopilot, braking system, nosewheel steering system, and high lift system. Related avionics such as stall warning and augmentation systems should also be considered.
(4) The acceptability of validation data used in the QTG for an alternative avionics fit should be determined as follows:
(a) For changes to an avionics system or component that do not affect QTG validation test response, the QTG test can be based on validation data from the previously validated avionics configuration.
(b) For an avionics change to a contributory system, where a specific test is not affected by the change (e.g., the avionics change is a Built In Test Equipment (BITE) update or a modification in a different flight phase), the QTG test can be based on validation data from the previously-validated avionics configuration. The QTG should include authoritative justification (e.g., from the airplane manufacturer or system supplier) that this avionics change does not affect the test.
(c) For an avionics change to a contributory system, the QTG may be based on validation data from the previously-validated avionics configuration if no new functionality is added and the impact of the avionics change on the airplane response is small and based on acceptable aeronautical principles with proven success history and valid outcomes. This should be supplemented with avionics-specific validation data from the airplane manufacturer's engineering simulation, generated with the revised avionics configuration. The QTG should also include an explanation of the nature of the change and its effect on the airplane response.
(d) For an avionics change to a contributory system that significantly affects some tests in the QTG or where new functionality is added, the QTG should be based on validation data from the previously validated avionics configuration and supplemental avionics-specific flight test data sufficient to validate the alternate avionics revision. Additional flight test validation data may not be needed if the avionics changes were certified without the need for testing with a comprehensive flight instrumentation package. The airplane manufacturer should coordinate flight simulator data requirements, in advance with the responsible Flight Standards office.
(5) A matrix or “roadmap” should be provided with the QTG indicating the appropriate validation data source for each test. The roadmap should include identification of the revision state of those contributory avionics systems that could affect specific test responses if changed.
a. This paragraph explains how to determine the introduced transport delay through the flight simulator system so that it does not exceed a specific time delay. The transport delay should be measured from control inputs through the interface, through each of the host computer modules and back through the interface to motion, flight instrument, and visual systems. The transport delay should not exceed the maximum allowable interval.
b. Four specific examples of transport delay are:
(1) Simulation of classic non-computer controlled aircraft;
(2) Simulation of computer controlled aircraft using real airplane black boxes;
(3) Simulation of computer controlled aircraft using software emulation of airplane boxes;
(4) Simulation using software avionics or re-hosted instruments.
c. Figure A2C illustrates the total transport delay for a non-computer-controlled airplane or the classic transport delay test. Since there are no airplane-induced delays for this case, the total transport delay is equivalent to the introduced delay.
d. Figure A2D illustrates the transport delay testing method using the real airplane controller system.
e. To obtain the induced transport delay for the motion, instrument and visual signal, the delay induced by the airplane controller should be subtracted from the total transport delay. This difference represents the introduced delay and should not exceed the standards prescribed in Table A1A.
f. Introduced transport delay is measured from the flight deck control input to the reaction of the instruments and motion and visual systems (See Figure A2C).
g. The control input may also be introduced after the airplane controller system and the introduced transport delay measured directly from the control input to the reaction of the instruments, and simulator motion and visual systems (See Figure A2D).
h. Figure A2E illustrates the transport delay testing method used on a flight simulator that uses a software emulated airplane controller system.
i. It is not possible to measure the introduced transport delay using the simulated airplane controller system architecture for the pitch, roll and yaw axes. Therefore, the signal should be measured directly from the pilot controller. The flight simulator manufacturer should measure the total transport delay and subtract the inherent delay of the actual airplane components because the real airplane controller system has an inherent delay provided by the airplane manufacturer. The flight simulator manufacturer should ensure that the introduced delay does not exceed the standards prescribed in Table A1A.
j. Special measurements for instrument signals for flight simulators using a real airplane instrument display system instead of a simulated or re-hosted display. For flight instrument systems, the total transport delay should be measured and the inherent delay of the actual airplane components subtracted to ensure that the introduced delay does not exceed the standards prescribed in Table A1A.
(1) Figure A2FA illustrates the transport delay procedure without airplane display simulation. The introduced delay consists of the delay between the control movement and the instrument change on the data bus.
(2) Figure A2FB illustrates the modified testing method required to measure introduced delay due to software avionics or re-hosted instruments. The total simulated instrument transport delay is measured and the airplane delay should be subtracted from this total. This difference represents the introduced delay and should not exceed the standards prescribed in Table A1A. The inherent delay of the airplane between the data bus and the displays is indicated in figure A2FA. The display manufacturer should provide this delay time.
k. Recorded signals. The signals recorded to conduct the transport delay calculations should be explained on a schematic block diagram. The flight simulator manufacturer should also provide an explanation of why each signal was selected and how they relate to the above descriptions.
l. Interpretation of results. Flight simulator results vary over time from test to test due to “sampling uncertainty.” All flight simulators run at a specific rate where all modules are executed sequentially in the host computer. The flight controls input can occur at any time in the iteration, but these data will not be processed before the start of the new iteration. For example, a flight simulator running at 60 Hz may have a difference of as much as 16.67 msec between test results. This does not mean that the test has failed. Instead, the difference is attributed to variations in input processing. In some conditions, the host simulator and the visual system do not run at the same iteration rate, so the output of the host computer to the visual system will not always be synchronized.
m. The transport delay test should account for both daylight and night modes of operation of the visual system. In both cases, the tolerances prescribed in Table A1A must be met and the motion response should occur before the end of the first video scan containing new information.
(1) The MQTG is created during the initial evaluation of a flight simulator. This is the master document, as amended, to which flight simulator continuing qualification evaluation test results are compared.
(2) The currently accepted method of presenting continuing qualification evaluation test results is to provide flight simulator results over-plotted with reference data. Test results are carefully reviewed to determine if the test is within the specified tolerances. This can be a time consuming process, particularly when reference data exhibits rapid variations or an apparent anomaly requiring engineering judgment in the application of the tolerances. In these cases, the solution is to compare the results to the MQTG. The continuing qualification results are compared to the results in the MQTG for acceptance. The flight simulator operator and the responsible Flight Standards office should look for any change in the flight simulator performance since initial qualification.
(1) Flight simulator operators are encouraged to over-plot continuing qualification validation test results with MQTG flight simulator results recorded during the initial evaluation and as amended. Any change in a validation test will be readily apparent. In addition to plotting continuing qualification validation test and MQTG results, operators may elect to plot reference data as well.
(2) There are no suggested tolerances between flight simulator continuing qualification and MQTG validation test results. Investigation of any discrepancy between the MQTG and continuing qualification flight simulator performance is left to the discretion of the flight simulator operator and the responsible Flight Standards office.
(3) Differences between the two sets of results, other than variations attributable to repeatability issues that cannot be explained, should be investigated.
(4) The flight simulator should retain the ability to over-plot both automatic and manual validation test results with reference data.
a. Sponsors are not required to use the alternative data sources, procedures, and instrumentation. However, a sponsor may choose to use one or more of the alternative sources, procedures, and instrumentation described in Table A2E.
b. It has become standard practice for experienced simulator manufacturers to use modeling techniques to establish data bases for new simulator configurations while awaiting the availability of actual flight test data. The data generated from the aerodynamic modeling techniques is then compared to the flight test data when it becomes available. The results of such comparisons have become increasingly consistent, indicating that these techniques, applied with the appropriate experience, are dependable and accurate for the development of aerodynamic models for use in Level A and Level B simulators.
c. Based on this history of successful comparisons, the responsible Flight Standards office has concluded that those who are experienced in the development of aerodynamic models may use modeling techniques to alter the method for acquiring flight test data for Level A or Level B simulators.
d. The information in Table A2E (Alternative Data Sources, Procedures, and Instrumentation) is presented to describe an acceptable alternative to data sources for simulator modeling and validation and an acceptable alternative to the procedures and instrumentation traditionally used to gather such modeling and validation data.
(1) Alternative data sources that may be used for part or all of a data requirement are the Airplane Maintenance Manual, the Airplane Flight Manual (AFM), Airplane Design Data, the Type Inspection Report (TIR), Certification Data or acceptable supplemental flight test data.
(2) The sponsor should coordinate with the responsible Flight Standards office prior to using alternative data sources in a flight test or data gathering effort.
e. The responsible Flight Standards office position regarding the use of these alternative data sources, procedures, and instrumentation is based on the following presumptions:
(1) Data gathered through the alternative means does not require angle of attack (AOA) measurements or control surface position measurements for any flight test. However, AOA can be sufficiently derived if the flight test program ensures the collection of acceptable level, unaccelerated, trimmed flight data. All of the simulator time history tests that begin in level, unaccelerated, and trimmed flight, including the three basic trim tests and “fly-by” trims, can be a successful validation of angle of attack by comparison with flight test pitch angle. (Note: Due to the criticality of angle of attack in the development of the ground effects model, particularly critical for normal landings and landings involving cross-control input applicable to Level B simulators, stable “fly-by” trim data will be the acceptable norm for normal and cross-control input landing objective data for these applications.)
(2) The use of a rigorously defined and fully mature simulation controls system model that includes accurate gearing and cable stretch characteristics (where applicable), determined from actual aircraft measurements. Such a model does not require control surface position measurements in the flight test objective data in these limited applications.
f. The sponsor is urged to contact the responsible Flight Standards office for clarification of any issue regarding airplanes with reversible control systems. Table A2E is not applicable to Computer Controlled Aircraft FFSs.
g. Utilization of these alternate data sources, procedures, and instrumentation (Table A2E) does not relieve the sponsor from compliance with the balance of the information contained in this document relative to Level A or Level B FFSs.
h. The term “inertial measurement system” is used in the following table to include the use of a functional global positioning system (GPS).
i. Synchronized video for the use of alternative data sources, procedures, and instrumentation should have:
(1) Sufficient resolution to allow magnification of the display to make appropriate measurement and comparisons; and
(2) Sufficient size and incremental marking to allow similar measurement and comparison. The detail provided by the video should provide sufficient clarity and accuracy to measure the necessary parameter(s) to at least
Table A2E—Alternative Data Sources, Procedures, and Instrumentation
| QPS REQUIREMENTS
The standards in this table are required if the data gathering methods described in paragraph 9 of Appendix A are not used. | Information | |||
|---|---|---|---|---|
| Table of objective tests | Sim level | Alternative data sources, procedures, and
instrumentation | Notes | |
| Test entry number and title | A | B | ||
| 1.a.1. Performance. Taxi. Minimum Radius turn | X | X | TIR, AFM, or Design data may be used | |
| 1.a.2. Performance. Taxi Rate of Turn vs. Nosewheel Steering Angle | X | Data may be acquired by using a constant tiller position, measured with a protractor or full rudder pedal application for steady state turn, and synchronized video of heading indicator. If less than full rudder pedal is used, pedal position must be recorded. | A single procedure may not be adequate for all airplane steering systems, therefore appropriate measurement procedures must be devised and proposed for the responsible Flight Standards office concurrence. | |
| 1.b.1. Performance. Takeoff. Ground Acceleration Time and Distance | X | X | Preliminary certification data may be used. Data may be acquired by using a stop watch, calibrated airspeed, and runway markers during a takeoff with power set before brake release. Power settings may be hand recorded. If an inertial measurement system is installed, speed and distance may be derived from acceleration measurements | |
| 1.b.2. Performance. Takeoff. Minimum Control Speed—ground (V | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | Rapid throttle reductions at speeds near V |
| 1.b.3. Performance. Takeoff. Minimum Unstick Speed (V | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and the force/position measurements of flight deck controls | |
| 1.b.4. Performance. Takeoff. Normal Takeoff | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls. AOA can be calculated from pitch attitude and flight path | |
| 1.b.5. Performance. Takeoff. Critical Engine Failure during Takeoff | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | Record airplane dynamic response to engine failure and control inputs required to correct flight path. |
| 1.b.6. Performance. Takeoff. Crosswind Takeoff | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | The “1:7 law” to 100 feet (30 meters) is an acceptable wind profile. |
| 1.b.7. Performance. Takeoff. Rejected Takeoff | X | X | Data may be acquired with a synchronized video of calibrated airplane instruments, thrust lever position, engine parameters, and distance (e.g., runway markers). A stop watch is required. | |
| 1.c. 1. Performance. Climb. Normal Climb all engines operating. | X | X | Data may be acquired with a synchronized video of calibrated airplane instruments and engine power throughout the climb range | |
| 1.c.2. Performance. Climb. One engine Inoperative Climb | X | X | Data may be acquired with a synchronized video of calibrated airplane instruments and engine power throughout the climb range | |
| 1.c.4. Performance. Climb. One Engine Inoperative Approach Climb (if operations in icing conditions are authorized) | X | X | Data may be acquired with a synchronized video of calibrated airplane instruments and engine power throughout the climb range | |
| 1.d.1. Cruise/Descent. Level flight acceleration. | X | X | Data may be acquired with a synchronized video of calibrated airplane instruments, thrust lever position, engine parameters, and elapsed time | |
| 1.d.2. Cruise/Descent. Level flight deceleration. | X | X | Data may be acquired with a synchronized video of calibrated airplane instruments, thrust lever position, engine parameters, and elapsed time | |
| 1.d.4. Cruise/Descent. Idle descent | X | X | Data may be acquired with a synchronized video of calibrated airplane instruments, thrust lever position, engine parameters, and elapsed time | |
| 1.d.5. Cruise/Descent. Emergency Descent | X | X | Data may be acquired with a synchronized video of calibrated airplane instruments, thrust lever position, engine parameters, and elapsed time | |
| 1.e.1. Performance. Stopping. Deceleration time and distance, using manual application of wheel brakes and no reverse thrust on a dry runway | X | X | Data may be acquired during landing tests using a stop watch, runway markers, and a synchronized video of calibrated airplane instruments, thrust lever position and the pertinent parameters of engine power | |
| 1.e.2. Performance. Ground. Deceleration Time and Distance, using reverse thrust and no wheel brakes | X | X | Data may be acquired during landing tests using a stop watch, runway markers, and a synchronized video of calibrated airplane instruments, thrust lever position and pertinent parameters of engine power | |
| 1.f.1. Performance. Engines. Acceleration | X | X | Data may be acquired with a synchronized video recording of engine instruments and throttle position | |
| 1.f.2. Performance. Engines. Deceleration | X | X | Data may be acquired with a synchronized video recording of engine instruments and throttle position | |
| X | X | Surface position data may be acquired from flight data recorder (FDR) sensor or, if no FDR sensor, at selected, significant column positions (encompassing significant column position data points), acceptable to the responsible Flight Standards office, using a control surface protractor on the ground. Force data may be acquired by using a hand held force gauge at the same column position data points. | For airplanes with reversible control systems, surface position data acquisition should be accomplished with winds less than 5 kts. | |
| X | X | Surface position data may be acquired from flight data recorder (FDR) sensor or, if no FDR sensor, at selected, significant wheel positions (encompassing significant wheel position data points), acceptable to the responsible Flight Standards office, using a control surface protractor on the ground. Force data may be acquired by using a hand held force gauge at the same wheel position data points. | For airplanes with reversible control systems, surface position data acquisition should be accomplished with winds less than 5 kts. | |
| X | X | Surface position data may be acquired from flight data recorder (FDR) sensor or, if no FDR sensor, at selected, significant rudder pedal positions (encompassing significant rudder pedal position data points), acceptable to the responsible Flight Standards office, using a control surface protractor on the ground. Force data may be acquired by using a hand held force gauge at the same rudder pedal position data points. | For airplanes with reversible control systems, surface position data acquisition should be accomplished with winds less than 5 kts. | |
| 2.a.4. Handling Qualities. Static Control Checks. Nosewheel Steering Controller Force and Position | X | X | Breakout data may be acquired with a hand held force gauge. The remainder of the force to the stops may be calculated if the force gauge and a protractor are used to measure force after breakout for at least 25% of the total displacement capability | |
| 2.a.5. Handling Qualities. Static Control Checks. Rudder Pedal Steering Calibration | X | X | Data may be acquired through the use of force pads on the rudder pedals and a pedal position measurement device, together with design data for nosewheel position | |
| 2.a.6. Handling Qualities. Static Control Checks. Pitch Trim Indicator vs. Surface Position Calibration | X | X | Data may be acquired through calculations | |
| 2.a.7. Handling qualities. Static control tests. Pitch trim rate | X | X | Data may be acquired by using a synchronized video of pitch trim indication and elapsed time through range of trim indication | |
| 2.a.8. Handling Qualities. Static Control tests. Alignment of Flight deck Throttle Lever Angle vs. Selected engine parameter | X | X | Data may be acquired through the use of a temporary throttle quadrant scale to document throttle position. Use a synchronized video to record steady state instrument readings or hand-record steady state engine performance readings | |
| 2.a.9. Handling qualities. Static control tests. Brake pedal position vs. force and brake system pressure calibration | X | X | Use of design or predicted data is acceptable. Data may be acquired by measuring deflection at “zero” and “maximum” and calculating deflections between the extremes using the airplane design data curve | |
| 2.c.1. Handling qualities. Longitudinal control tests. Power change dynamics | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and throttle position | |
| 2.c.2. Handling qualities. Longitudinal control tests. Flap/slat change dynamics | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and flap/slat position | |
| 2.c.3. Handling qualities. Longitudinal control tests. Spoiler/speedbrake change dynamics | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and spoiler/speedbrake position | |
| 2.c.4. Handling qualities. Longitudinal control tests. Gear change dynamics | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and gear position | |
| 2.c.5. Handling qualities. Longitudinal control tests. Longitudinal trim | X | X | Data may be acquired through use of an inertial measurement system and a synchronized video of flight deck controls position (previously calibrated to show related surface position) and the engine instrument readings | |
| 2.c.6. Handling qualities. Longitudinal control tests. Longitudinal maneuvering stability (stick force/g) | X | X | Data may be acquired through the use of an inertial measurement system and a synchronized video of calibrated airplane instruments; a temporary, high resolution bank angle scale affixed to the attitude indicator; and a wheel and column force measurement indication | |
| 2.c.7. Handling qualities. Longitudinal control tests. Longitudinal static stability | X | X | Data may be acquired through the use of a synchronized video of airplane flight instruments and a hand held force gauge | |
| 2.c.8. Handling qualities. Longitudinal control tests. Stall characteristics | X | X | Data may be acquired through a synchronized video recording of a stop watch and calibrated airplane airspeed indicator. Hand-record the flight conditions and airplane configuration | Airspeeds may be cross checked with those in the TIR and AFM. |
| 2.c.9. Handling qualities. Longitudinal control tests. Phugoid dynamics | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | |
| 2.c.10. Handling qualities. Longitudinal control tests. Short period dynamics | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | ||
| 2.d.1. Handling qualities. Lateral directional tests. Minimum control speed, air (V | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | |
| 2.d.2. Handling qualities. Lateral directional tests. Roll response (rate) | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck lateral controls | May be combined with step input of flight deck roll controller test, 2.d.3. |
| 2.d.3. Handling qualities. Lateral directional tests. Roll response to flight deck roll controller step input | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck lateral controls | |
| 2.d.4. Handling qualities. Lateral directional tests. Spiral stability | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments; force/position measurements of flight deck controls; and a stop watch | |
| 2.d.5. Handling qualities. Lateral directional tests. Engine inoperative trim | X | X | Data may be hand recorded in-flight using high resolution scales affixed to trim controls that have been calibrated on the ground using protractors on the control/trim surfaces with winds less than 5 kts.OR Data may be acquired during second segment climb (with proper pilot control input for an engine-out condition) by using a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | Trimming during second segment climb is not a certification task and should not be conducted until a safe altitude is reached. |
| 2.d.6. Handling qualities. Lateral directional tests. Rudder response | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of rudder pedals | |
| 2.d.7. Handling qualities. Lateral directional tests. Dutch roll, (yaw damper OFF) | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | |
| 2.d.8. Handling qualities. Lateral directional tests. Steady state sideslip | X | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls
Ground track and wind corrected heading may be used for sideslip angle. | |
| 2.e.1. Handling qualities. Landings. Normal landing | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | ||
| 2.e.3. Handling qualities. Landings. Crosswind landing | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | ||
| 2.e.4. Handling qualities. Landings. One engine inoperative landing | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and the force/position measurements of flight deck controls. Normal and lateral accelerations may be recorded in lieu of AOA and sideslip | ||
| 2.e.5. Handling qualities. Landings. Autopilot landing (if applicable) | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls.Normal and lateral accelerations may be recorded in lieu of AOA and sideslip | ||
| 2.e.6. Handling qualities. Landings. All engines operating, autopilot, go around | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls. Normal and lateral accelerations may be recorded in lieu of AOA and sideslip | ||
| 2.e.7. Handling qualities. Landings. One engine inoperative go around | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls. Normal and lateral accelerations may be recorded in lieu of AOA and sideslip | ||
| 2.e.8. Handling qualities. Landings. Directional control (rudder effectiveness with symmetric thrust) | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls. Normal and lateral accelerations may be recorded in lieu of AOA and sideslip | ||
| 2.e.9. Handling qualities. Landings. Directional control (rudder effectiveness with asymmetric reverse thrust) | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls. Normal and lateral accelerations may be recorded in lieu of AOA and sideslip | ||
| 2.f. Handling qualities. Ground effect. Test to demonstrate ground effect | X | Data may be acquired by using calibrated airplane instruments, an inertial measurement system, and a synchronized video of calibrated airplane instruments and force/position measurements of flight deck controls | ||
a. Except for special use airport models, described as Class III, all airport models required by this part must be representations of real-world, operational airports or representations of fictional airports and must meet the requirements set out in Tables A3B or A3C of this attachment, as appropriate.
b. If fictional airports are used, the sponsor must ensure that navigational aids and all appropriate maps, charts, and other navigational reference material for the fictional airports (and surrounding areas as necessary) are compatible, complete, and accurate with respect to the visual presentation of the airport model of this fictional airport. An SOC must be submitted that addresses navigation aid installation and performance and other criteria (including obstruction clearance protection) for all instrument approaches to the fictional airports that are available in the simulator. The SOC must reference and account for information in the terminal instrument procedures manual and the construction and availability of the required maps, charts, and other navigational material. This material must be clearly marked “for training purposes only.”
c. When the simulator is being used by an instructor or evaluator for purposes of training, checking, or testing under this chapter, only airport models classified as Class I, Class II, or Class III may be used by the instructor or evaluator. Detailed descriptions/definitions of these classifications are found in Appendix F of this part.
d. When a person sponsors an FFS maintained by a person other than a U.S. certificate holder, the sponsor is accountable for that FFS originally meeting, and continuing to meet, the criteria under which it was originally qualified and the appropriate Part 60 criteria, including the airport models that may be used by instructors or evaluators for purposes of training, checking, or testing under this chapter.
e. Neither Class II nor Class III airport visual models are required to appear on the SOQ, and the method used for keeping instructors and evaluators apprised of the airport models that meet Class II or Class III requirements on any given simulator is at the option of the sponsor, but the method used must be available for review by the TPAA.
f. When an airport model represents a real world airport and a permanent change is made to that real world airport (e.g., a new runway, an extended taxiway, a new lighting system, a runway closure) without a written extension grant from the responsible Flight Standards office (described in paragraph 1.g. of this section), an update to that airport model must be made in accordance with the following time limits:
(1) For a new airport runway, a runway extension, a new airport taxiway, a taxiway extension, or a runway/taxiway closure—within 90 days of the opening for use of the new airport runway, runway extension, new airport taxiway, or taxiway extension; or within 90 days of the closure of the runway or taxiway.
(2) For a new or modified approach light system—within 45 days of the activation of the new or modified approach light system.
(3) For other facility or structural changes on the airport (e.g., new terminal, relocation of Air Traffic Control Tower)—within 180 days of the opening of the new or changed facility or structure.
g. If a sponsor desires an extension to the time limit for an update to a visual scene or airport model or has an objection to what must be updated in the specific airport model requirement, the sponsor must provide a written extension request to the responsible Flight Standards office stating the reason for the update delay and a proposed completion date, or explain why the update is not necessary (i.e., why the identified airport change will not have an impact on flight training, testing, or checking). A copy of this request or objection must also be sent to the POI/TCPM. The responsible Flight Standards office will send the official response to the sponsor and a copy to the POI/TCPM. If there is an objection, after consultation with the appropriate POI/TCPM regarding the training, testing, or checking impact, the responsible Flight Standards office will send the official response to the sponsor and a copy to the POI/TCPM.
a. The subjective tests provide a basis for evaluating the capability of the simulator to perform over a typical utilization period; determining that the simulator accurately simulates each required maneuver, procedure, or task; and verifying correct operation of the simulator controls, instruments, and systems. The items listed in the following Tables are for simulator evaluation purposes only. They may not be used to limit or exceed the authorizations for use of a given level of simulator, as described on the SOQ, or as approved by the TPAA.
b. The tests in Table A3A, Operations Tasks, in this attachment, address pilot functions, including maneuvers and procedures (called flight tasks), and are divided by flight phases. The performance of these tasks by the responsible Flight Standards office includes an operational examination of the visual system and special effects. There are flight tasks included to address some features of advanced technology airplanes and innovative training programs. For example, “high angle-of-attack maneuvering” is included to provide a required alternative to “approach to stalls” for airplanes employing flight envelope protection functions.
c. The tests in Table A3A, Operations Tasks, and Table A3G, Instructor Operating Station of this attachment, address the overall function and control of the simulator including the various simulated environmental conditions; simulated airplane system operations (normal, abnormal, and emergency); visual system displays; and special effects necessary to meet flight crew training, evaluation, or flight experience requirements.
d. All simulated airplane systems functions will be assessed for normal and, where appropriate, alternate operations. Normal, abnormal, and emergency operations associated with a flight phase will be assessed during the evaluation of flight tasks or events within that flight phase. Simulated airplane systems are listed separately under “Any Flight Phase” to ensure appropriate attention to systems checks. Operational navigation systems (including inertial navigation systems, global positioning systems, or other long-range systems) and the associated electronic display systems will be evaluated if installed. The pilot will include in his report to the TPAA, the effect of the system operation and any system limitation.
e. Simulators demonstrating a satisfactory circling approach will be qualified for the circling approach maneuver and may be approved for such use by the TPAA in the sponsor's FAA-approved flight training program. To be considered satisfactory, the circling approach will be flown at maximum gross weight for landing, with minimum visibility for the airplane approach category, and must allow proper alignment with a landing runway at least 90° different from the instrument approach course while allowing the pilot to keep an identifiable portion of the airport in sight throughout the maneuver (reference—14 CFR 91.175(e)).
f. At the request of the TPAA, the responsible Flight Standards office may assess a device to determine if it is capable of simulating certain training activities in a sponsor's training program, such as a portion of a Line Oriented Flight Training (LOFT) scenario. Unless directly related to a requirement for the qualification level, the results of such an evaluation would not affect the qualification level of the simulator. However, if the responsible Flight Standards office determines that the simulator does not accurately simulate that training activity, the simulator would not be approved for that training activity.
g. The FAA intends to allow the use of Class III airport models when the sponsor provides the TPAA (or other regulatory authority) an appropriate analysis of the skills, knowledge, and abilities (SKAs) necessary for competent performance of the tasks in which this particular media element is used. The analysis should describe the ability of the FFS/visual media to provide an adequate environment in which the required SKAs are satisfactorily performed and learned. The analysis should also include the specific media element, such as the airport model.
h. The TPAA may accept Class III airport models without individual observation provided the sponsor provides the TPAA with an acceptable description of the process for determining the acceptability of a specific airport model, outlines the conditions under which such an airport model may be used, and adequately describes what restrictions will be applied to each resulting airport or landing area model. Examples of situations that may warrant Class_III model designation by the TPAA include the following:
(a) Training, testing, or checking on very low visibility operations, including SMGCS operations.
(b) Instrument operations training (including instrument takeoff, departure, arrival, approach, and missed approach training, testing, or checking) using—
(i) A specific model that has been geographically “moved” to a different location and aligned with an instrument procedure for another airport.
(ii) A model that does not match changes made at the real-world airport (or landing area for helicopters) being modeled.
(iii) A model generated with an “off-board” or an “on-board” model development tool (by providing proper latitude/longitude reference; correct runway or landing area orientation, length, width, marking, and lighting information; and appropriate adjacent taxiway location) to generate a facsimile of a real world airport or landing area.
i. Previously qualified simulators with certain early generation Computer Generated Image (CGI) visual systems, are limited by the capability of the Image Generator or the display system used. These systems are:
(1) Early CGI visual systems that are excepted from the requirement of including runway numbers as a part of the specific runway marking requirements are:
(a) Link NVS and DNVS.
(b) Novoview 2500 and 6000.
(c) FlightSafety VITAL series up to, and including, VITAL III, but not beyond.
(d) Redifusion SP1, SP1T, and SP2.
(2) Early CGI visual systems are excepted from the requirement of including runway numbers unless the runways are used for LOFT training sessions. These LOFT airport models require runway numbers but only for the specific runway end (one direction) used in the LOFT session. The systems required to display runway numbers only for LOFT scenes are:
(a) FlightSafety VITAL IV.
(b) Redifusion SP3 and SP3T.
(c) Link-Miles Image II.
(3) The following list of previously qualified CGI and display systems are incapable of generating blue lights. These systems are not required to have accurate taxi-way edge lighting:
(a) Redifusion SP1.
(b) FlightSafety Vital IV.
(c) Link-Miles Image II and Image IIT
(d) XKD displays (even though the XKD image generator is capable of generating blue colored lights, the display cannot accommodate that color).
Table A3C—Functions and Subjective Tests
| QPS requirements | |||||
|---|---|---|---|---|---|
| Entry No. | Additional airport models beyond minimum required for qualification—Class II airport models | Simulator level | |||
| A | B | C | D | ||
| This table specifies the minimum airport model content and functionality necessary to add airport models to a simulator's model library, beyond those necessary for qualification at the stated level, without the necessity of further involvement of the responsible Flight Standards office or TPAA. | |||||
| 1. | Airport model management. The following is the minimum airport model management requirements for simulators at Levels A, B, C, and D. | ||||
| 1.a. | The direction of strobe lights, approach lights, runway edge lights, visual landing aids, runway centerline lights, threshold lights, and touchdown zone lights on the “in-use” runway must be replicated | X | X | X | X |
| 2. | Visual feature recognition. The following are the minimum distances at which runway features must be visible for simulators at Levels A, B, C, and D. Distances are measured from runway threshold to an airplane aligned with the runway on an extended 3° glide-slope in simulated meteorological conditions that recreate the minimum distances for visibility. For circling approaches, all requirements of this section apply to the runway used for the initial approach and to the runway of intended landing. | ||||
| 2.a. | Runway definition, strobe lights, approach lights, and runway edge white lights from 5 sm (8 km) from the runway threshold | X | X | X | X |
| 2.b. | Visual Approach Aid lights (VASI or PAPI) from 5 sm (8 km) from the runway threshold | X | X | ||
| 2.c. | Visual Approach Aid lights (VASI or PAPI) from 3 sm (5 km) from the runway threshold | X | X | ||
| 2.d. | Runway centerline lights and taxiway definition from 3 sm (5 km) from the runway threshold | X | X | X | X |
| 2.e. | Threshold lights and touchdown zone lights from 2 sm (3 km) from the runway threshold | X | X | X | X |
| 2.f. | Runway markings within range of landing lights for night scenes and as required by the surface resolution requirements on day scenes | X | X | X | X |
| 2.g. | For circling approaches, the runway of intended landing and associated lighting must fade into view in a non-distracting manner | X | X | X | X |
| 3. | Airport model content. The following prescribes the minimum requirements for what must be provided in an airport model and identifies other aspects of the airport environment that must correspond with that model for simulators at Levels A, B, C, and D. The detail must be developed using airport pictures, construction drawings and maps, or other similar data, or developed in accordance with published regulatory material; however, this does not require that airport models contain details that are beyond the designed capability of the currently qualified visual system. For circling approaches, all requirements of this section apply to the runway used for the initial approach and to the runway of intended landing. Only one “primary” taxi route from parking to the runway end will be required for each “in-use” runway. | ||||
| 3.a. | The surface and markings for each “in-use” runway: | ||||
| 3.a.1. | Threshold markings | X | X | X | X |
| 3.a.2. | Runway numbers | X | X | X | X |
| 3.a.3. | Touchdown zone markings | X | X | X | X |
| 3.a.4. | Fixed distance markings | X | X | X | X |
| 3.a.5. | Edge markings | X | X | X | X |
| 3.a.6. | Centerline stripes | X | X | X | X |
| 3.b. | The lighting for each “in-use” runway | ||||
| 3.b.1. | Threshold lights | X | X | X | X |
| 3.b.2. | Edge lights | X | X | X | X |
| 3.b.3. | End lights | X | X | X | X |
| 3.b.4. | Centerline lights | X | X | X | X |
| 3.b.5. | Touchdown zone lights, if appropriate | X | X | X | X |
| 3.b.6. | Leadoff lights, if appropriate | X | X | X | X |
| 3.b.7. | Appropriate visual landing aid(s) for that runway | X | X | X | X |
| 3.b.8. | Appropriate approach lighting system for that runway | X | X | X | X |
| 3.c. | The taxiway surface and markings associated with each “in-use” runway: | ||||
| 3.c.1. | Edge | X | X | X | X |
| 3.c.2. | Centerline | X | X | X | X |
| 3.c.3. | Runway hold lines | X | X | X | X |
| 3.c.4. | ILS critical area markings | X | X | X | X |
| 3.d. | The taxiway lighting associated with each “in-use” runway: | ||||
| 3.d.1. | Edge | X | X | ||
| 3.d.2. | Centerline | X | X | X | X |
| 3.d.3. | Runway hold and ILS critical area lights | X | X | X | X |
| Required model correlation with other aspects of the airport environment simulation The following are the minimum model correlation tests that must be conducted for simulators at Levels A, B, C, and D. | |||||
| 4.a. | The airport model must be properly aligned with the navigational aids that are associated with operations at the “in-use” runway | X | X | X | X |
| 4.b. | Slopes in runways, taxiways, and ramp areas, if depicted in the visual scene, must not cause distracting or unrealistic effects | X | X | X | X |
| 5. | Correlation with airplane and associated equipment. The following are the minimum correlation comparisons that must be made for simulators at Levels A, B, C, and D. | ||||
| 5.a. | Visual system compatibility with aerodynamic programming | X | X | X | X |
| 5.b. | Accurate portrayal of environment relating to flight simulator attitudes | X | X | X | X |
| 5.c. | Visual cues to assess sink rate and depth perception during landings | X | X | X | |
| 5.d. | Visual effects for each visible, own-ship, airplane external light(s) | X | X | X | |
| 6. | Scene quality. The following are the minimum scene quality tests that must be conducted for simulators at Levels A, B, C, and D. | ||||
| 6.a. | Surfaces and textural cues must be free of apparent and distracting quantization (aliasing) | X | X | ||
| 6.b. | Correct color and realistic textural cues | X | X | ||
| 6.c. | Light points free from distracting jitter, smearing or streaking | X | X | X | X |
| 7. | Instructor controls of the following: The following are the minimum instructor controls that must be available in simulators at Levels A, B, C, and D. | ||||
| 7.a. | Environmental effects, e.g., cloud base (if used), cloud effects, cloud density, visibility in statute miles/kilometers and RVR in feet/meters | X | X | X | X |
| 7.b. | Airport selection | X | X | X | X |
| 7.c. | Airport lighting including variable intensity | X | X | X | X |
| 7.d. | Dynamic effects including ground and flight traffic | X | X | ||
| 8. | Sponsors are not required to provide every detail of a runway, but the detail that is provided must be correct within the capabilities of the system | X | X | X | X |
Table A3E—Functions and Subjective Tests
| QPS Requirements | |||||
|---|---|---|---|---|---|
| Entry No. | Sound system | Simulator level | |||
| A | B | C | D | ||
| The following checks are performed during a normal flight profile with motion system ON. | |||||
| 1. | Precipitation | X | X | ||
| 2. | Rain removal equipment. | X | X | ||
| 3. | Significant airplane noises perceptible to the pilot during normal operations | X | X | ||
| 4. | Abnormal operations for which there are associated sound cues including, engine malfunctions, landing gear/tire malfunctions, tail and engine pod strike and pressurization malfunction | X | X | ||
| 5. | Sound of a crash when the flight simulator is landed in excess of limitations | X | X | ||
Table A3G—Functions and Subjective Tests
| QPS Requirements | |||||
|---|---|---|---|---|---|
| Entry No. | Special effects | Simulator level | |||
| A | B | C | D | ||
| Functions in this table are subject to evaluation only if appropriate for the airplane and/or the system is installed on the specific simulator. | |||||
| 1. | Simulator Power Switch(es) | X | X | X | X |
| 2. | Airplane conditions | ||||
| 2.a. | Gross weight, center of gravity, fuel loading and allocation | X | X | X | X |
| 2.b. | Airplane systems status | X | X | X | X |
| 2.c. | Ground crew functions (e.g., ext. power, push back) | X | X | X | X |
| 3. | Airports | ||||
| 3.a. | Number and selection | X | X | X | X |
| 3.b. | Runway selection | X | X | X | X |
| 3.c. | Runway surface condition (e.g., rough, smooth, icy, wet) | X | X | ||
| 3.d. | Preset positions (e.g., ramp, gate, #1 for takeoff, takeoff position, over FAF) | X | X | X | X |
| 3.e. | Lighting controls | X | X | X | X |
| 4. | Environmental controls | ||||
| 4.a | Visibility (statute miles (kilometers)) | X | X | X | X |
| 4.b. | Runway visual range (in feet (meters)) | X | X | X | X |
| 4.c. | Temperature | X | X | X | X |
| 4.d. | Climate conditions (e.g., ice, snow, rain) | X | X | X | X |
| 4.e. | Wind speed and direction | X | X | X | X |
| 4.f. | Windshear | X | X | ||
| 4.g. | Clouds (base and tops) | X | X | X | X |
| 5. | Airplane system malfunctions (Inserting and deleting malfunctions into the simulator) | X | X | X | X |
| 6. | Locks, Freezes, and Repositioning | ||||
| 6.a. | Problem (all) freeze/release | X | X | X | X |
| 6.b. | Position (geographic) freeze/release | X | X | X | X |
| 6.c. | Repositioning (locations, freezes, and releases) | X | X | X | X |
| 6.d. | Ground speed control | X | X | X | X |
| 7. | Remote IOS | X | X | X | X |
| 8. | Sound Controls. On/off/adjustment | X | X | X | X |
| 9. | Motion/Control Loading System | ||||
| 9.a. | On/off/emergency stop | X | X | X | X |
| 10. | Observer Seats/Stations. Position/Adjustment/Positive restraint system | X | X | X | X |
a. The following is an example test schedule for an Initial/Upgrade evaluation that covers the majority of the requirements set out in the Functions and Subjective test requirements. It is not intended that the schedule be followed line by line, rather, the example should be used as a guide for preparing a schedule that is tailored to the airplane, sponsor, and training task.
b. Functions and subjective tests should be planned. This information has been organized as a reference document with the considerations, methods, and evaluation notes for each individual aspect of the simulator task presented as an individual item. In this way the evaluator can design his or her own test plan, using the appropriate sections to provide guidance on method and evaluation criteria. Two aspects should be present in any test plan structure:
(1) An evaluation of the simulator to determine that it replicates the aircraft and performs reliably for an uninterrupted period equivalent to the length of a typical training session.
(2) The simulator should be capable of operating reliably after the use of training device functions such as repositions or malfunctions.
c. A detailed understanding of the training task will naturally lead to a list of objectives that the simulator should meet. This list will form the basis of the test plan. Additionally, once the test plan has been formulated, the initial conditions and the evaluation criteria should be established. The evaluator should consider all factors that may have an influence on the characteristics observed during particular training tasks in order to make the test plan successful.
(1) Airport.
(2) QNH.
(3) Temperature.
(4) Wind/Crosswind.
(5) Zero Fuel Weight /Fuel/Gross Weight /Center of Gravity.
(1) Documentation of Simulator.
(a) Simulator Acceptance Test Manuals.
(b) Simulator Approval Test Guide.
(c) Technical Logbook Open Item List.
(d) Daily Functional Pre-flight Check.
(2) Documentation of User/Carrier Flight Logs.
(a) Simulator Operating/Instructor Manual.
(b) Difference List (Aircraft/Simulator).
(c) Flight Crew Operating Manuals.
(d) Performance Data for Different Fields.
(e) Crew Training Manual.
(f) Normal/Abnormal/Emergency Checklists.
(3) Simulator External Checks.
(a) Appearance and Cleanliness.
(b) Stairway/Access Bridge.
(c) Emergency Rope Ladders.
(d) “Motion On”/“Flight in Progress” Lights.
(4) Simulator Internal Checks.
(a) Cleaning/Disinfecting Towels (for cleaning oxygen masks).
(b) Flight deck Layout (compare with difference list).
(5) Equipment.
(a) Quick Donning Oxygen Masks.
(b) Head Sets.
(c) Smoke Goggles.
(d) Sun Visors.
(e) Escape Rope.
(f) Chart Holders.
(g) Flashlights.
(h) Fire Extinguisher (inspection date).
(i) Crash Axe.
(j) Gear Pins.
(1) Batteries and Static Inverter.
(2) APU Start with Battery.
(3) APU Shutdown using Fire Handle.
(4) External Power Connection.
(5) APU Start with External Power.
(6) Abnormal APU Start/Operation.
(1) Flight deck Preparation Checks.
(2) FMC Programming.
(3) Communications and Navigational Aids Checks.
(1) Before Start Checks.
(2) Battery start with Ground Air Supply Unit.
(3) Engine Crossbleed Start.
(4) Normal Engine Start.
(5) Abnormal Engine Starts.
(6) Engine Idle Readings.
(7) After Start Checks.
(1) Pushback/Powerback.
(2) Taxi Checks.
(3) Ground Handling Check:
(a) Power required to initiate ground roll.
(b) Thrust response.
(c) Nosewheel and Pedal Steering.
(d) Nosewheel Scuffing.
(e) Perform 180 degree turns.
(f) Brakes Response and Differential Braking using Normal, Alternate and Emergency.
(g) Brake Systems.
(h) Eye height and fore/aft position.
(4) Runway Roughness.
g. Visual Scene—Ground Assessment. Select 3 different airport models and perform the following checks with Day, Dusk and Night selected, as appropriate:
(1) Visual Controls.
(a) Daylight, Dusk, Night Scene Controls.
(b) Flight deck “Daylight” ambient lighting.
(c) Environment Light Controls.
(d) Runway Light Controls.
(e) Taxiway Light Controls.
(2) Airport Model Content.
(a) Ramp area for buildings, gates, airbridges, maintenance ground equipment, parked aircraft.
(b) Daylight shadows, night time light pools.
(c) Taxiways for correct markings, taxiway/runway, marker boards, CAT I and II/III hold points, taxiway shape/grass areas, taxiway light (positions and colors).
(d) Runways for correct markings, lead-off lights, boards, runway slope, runway light positions, and colors, directionality of runway lights.
(e) Airport environment for correct terrain and significant features.
(f) Visual scene quantization (aliasing), color, and occulting levels.
(3) Ground Traffic Selection.
(4) Environment Effects.
(a) Low cloud scene.
(i) Rain:
(A) Runway surface scene.
(B) Windshield wiper—operation and sound.
(ii) Hail:
(A) Runway surface scene.
(B) Windshield wiper—operation and sound.
(b) Lightning/thunder.
(c) Snow/ice runway surface scene.
(d) Fog.
h. Takeoff. Select one or several of the following test cases:
(1) T/O Configuration Warnings.
(2) Engine Takeoff Readings.
(3) Rejected Takeoff (Dry/Wet/Icy Runway) and check the following:
(a) Autobrake function.
(b) Anti-skid operation.
(c) Motion/visual effects during deceleration.
(d) Record stopping distance (use runway plot or runway lights remaining).
Continue taxiing along the runway while applying brakes and check the following:
(e) Center line lights alternating red/white for 2000 feet/600 meters.
(f) Center line lights all red for 1000 feet/300 meters.
(g) Runway end, red stop bars.
(h) Braking fade effect.
(i) Brake temperature indications.
(4) Engine Failure between VI and V2.
(5) Normal Takeoff:
(a) During ground roll check the following:
(i) Runway rumble.
(ii) Acceleration cues.
(iii) Groundspeed effects.
(iv) Engine sounds.
(v) Nosewheel and rudder pedal steering.
(b) During and after rotation, check the following:
(i) Rotation characteristics.
(ii) Column force during rotation.
(iii) Gear uplock sounds/bumps.
(iv) Effect of slat/flap retraction during climbout.
(6) Crosswind Takeoff (check the following):
(a) Tendency to turn into or out of the wind.
(b) Tendency to lift upwind wing as airspeed increases.
(7) Windshear during Takeoff (check the following):
(a) Controllable during windshear encounter.
(b) Performance adequate when using correct techniques.
(c) Windshear Indications satisfactory.
(d) Motion cues satisfactory (particularly turbulence).
(8) Normal Takeoff with Control Malfunction.
(9) Low Visibility T/O (check the following):
(a) Visual cues.
(b) Flying by reference to instruments.
(c) SID Guidance on LNAV.
i. Climb Performance. Select one or several of the following test cases:
(1) Normal Climb—Climb while maintaining recommended speed profile and note fuel, distance and time.
(2) Single Engine Climb—Trim aircraft in a zero wheel climb at V2.
Up to 5° bank towards the operating engine(s) is permissible. Climb for 3 minutes and note fuel, distance, and time. Increase speed toward en route climb speed and retract flaps. Climb for 3 minutes and note fuel, distance, and time.
j. Systems Operation During Climb.
Check normal operation and malfunctions as appropriate for the following systems:
(1) Air conditioning/Pressurization/Ventilation.
(2) Autoflight.
(3) Communications.
(4) Electrical.
(5) Fuel.
(6) Icing Systems.
(7) Indicating and Recording Systems.
(8) Navigation/FMS.
(9) Pneumatics.
k. Cruise Checks. Select one or several of the following test cases:
(1) Cruise Performance.
(2) High Speed/High Altitude Handling (check the following):
(a) Overspeed warning.
(b) High Speed buffet.
(c) Aircraft control satisfactory.
(d) Envelope limiting functions on Computer Controlled Aircraft.
Reduce airspeed to below level flight buffet onset speed, start a turn, and check the following:
(e) High Speed buffet increases with G loading.
Reduce throttles to idle and start descent, deploy the speedbrake, and check the following:
(f) Speedbrake indications.
(g) Symmetrical deployment.
(h) Airframe buffet.
(i) Aircraft response hands off.
(3) Yaw Damper Operation. Switch off yaw dampers and autopilot. Initiate a Dutch roll and check the following:
(a) Aircraft dynamics.
(b) Simulator motion effects.
Switch on yaw dampers, re-initiate a Dutch roll and check the following:
(c) Damped aircraft dynamics.
(4) APU Operation.
(5) Engine Gravity Feed.
(6) Engine Shutdown and Driftdown Check: FMC operation Aircraft performance.
(7) Engine Relight.
l. Descent. Select one of the following test cases:
(1) Normal Descent. Descend while maintaining recommended speed profile and note fuel, distance and time.
(2) Cabin Depressurization/Emergency Descent.
m. Medium Altitude Checks. Select one or several of the following test cases:
(1) High Angle of Attack/Stall. Trim the aircraft at 1.4 Vs, establish 1 kt/sec
(a) System displays/operation satisfactory.
(b) Handling characteristics satisfactory.
(c) Stall and Stick shaker speed.
(d) Buffet characteristics and onset speed.
(e) Envelope limiting functions on Computer Controlled Aircraft.
Recover to straight and level flight and check the following:
(f) Handling characteristics satisfactory.
(2) Turning Flight. Roll aircraft to left, establish a 30° to 45° bank angle, and check the following:
(a) Stick force required, satisfactory.
(b) Wheel requirement to maintain bank angle.
(c) Slip ball response, satisfactory.
(d) Time to turn 180°.
Roll aircraft from 45° bank one way to 45° bank the opposite direction while maintaining altitude and airspeed—check the following:
(e) Controllability during maneuver.
(3) Degraded flight controls.
(4) Holding Procedure (check the following:)
(a) FMC operation.
(b) Autopilot auto thrust performance.
(5) Storm Selection (check the following:)
(a) Weather radar controls.
(b) Weather radar operation.
(c) Visual scene corresponds with WXR pattern.
(Fly through storm center, and check the following:)
(d) Aircraft enters cloud.
(e) Aircraft encounters representative turbulence.
(f) Rain/hail sound effects evident.
As aircraft leaves storm area, check the following:
(g) Storm effects disappear.
(6) TCAS (check the following:)
(a) Traffic appears on visual display.
(b) Traffic appears on TCAS display(s).
As conflicting traffic approaches, take relevant avoiding action, and check the following:
(c) Visual and TCAS system displays.
n. Approach and Landing. Select one or several of the following test cases while monitoring flight control and hydraulic systems for normal operation and with malfunctions selected:
(1) Flaps/Gear Normal Operation. Check the following:
(a) Time for extension/retraction.
(b) Buffet characteristics.
(2) Normal Visual Approach and Landing.
Fly a normal visual approach and landing—check the following:
(a) Aircraft handling.
(b) Spoiler operation.
(c) Reverse thrust operation.
(d) Directional control on the ground.
(e) Touchdown cues for main and nosewheel.
(f) Visual cues.
(g) Motion cues.
(h) Sound cues.
(i) Brake and anti-skid operation.
(3) Flaps/Gear Abnormal Operation or with hydraulic malfunctions.
(4) Abnormal Wing Flaps/Slats Landing.
(5) Manual Landing with Control Malfunction.
(a) Aircraft handling.
(b) Radio aids and instruments.
(c) Airport model content and cues.
(d) Motion cues.
(e) Sound cues.
(6) Non-precision Approach—All Engines Operating.
(a) Aircraft handling.
(b) Radio Aids and instruments.
(c) Airport model content and cues.
(d) Motion cues.
(e) Sound cues.
(7) Circling Approach.
(a) Aircraft handling.
(c) Radio Aids and instruments.
(d) Airport model content and cues.
(e) Motion cues.
(f) Sound cues.
(8) Non-precision Approach—One Engine Inoperative.
(a) Aircraft handling.
(b) Radio Aids and instruments.
(c) Airport model content and cues.
(d) Motion cues.
(e) Sound cues.
(9) One Engine Inoperative Go-around.
(a) Aircraft handling.
(b) Radio Aids and instruments.
(c) Airport model content and cues.
(d) Motion cues.
(e) Sound cues.
(10) CAT I Approach and Landing with raw-data ILS.
(a) Aircraft handling.
(b) Radio Aids and instruments.
(c) Airport model content and cues.
(d) Motion cues.
(e) Sound cues.
(11) CAT I Approach and Landing with Limiting Crosswind.
(a) Aircraft handling.
(b) Radio Aids and instruments.
(c) Airport model content and cues.
(d) Motion cues.
(e) Sound cues.
(12) CAT I Approach with Windshear. Check the following:
(a) Controllable during windshear encounter.
(b) Performance adequate when using correct techniques.
(c) Windshear indications/warnings.
(d) Motion cues (particularly turbulence).
(13) CAT II Approach and Automatic Go-Around.
(14) CAT III Approach and Landing—System Malfunctions.
(15) CAT III Approach and Landing—1 Engine Inoperative.
(16) GPWS evaluation.
o. Visual Scene—In-Flight Assessment.
Select three (3) different visual models and perform the following checks with “day,” “dusk,” and “night” (as appropriate) selected. Reposition the aircraft at or below 2000 feet within 10 nm of the airfield. Fly the aircraft around the airport environment and assess control of the visual system and evaluate the Airport model content as described below:
(1) Visual Controls.
(a) Daylight, Dusk, Night Scene Controls.
(b) Environment Light Controls.
(c) Runway Light Controls.
(d) Taxiway Light Controls.
(e) Approach Light Controls.
(2) Airport model Content.
(a) Airport environment for correct terrain and significant features.
(b) Runways for correct markings, runway slope, directionality of runway lights.
(c) Visual scene for quantization (aliasing), color, and occulting.
Reposition the aircraft to a long, final approach for an “ILS runway.” Select flight freeze when the aircraft is 5-statute miles (sm)/8-kilometers (km) out and on the glide slope. Check the following:
(3) Airport model content.
(a) Airfield features.
(b) Approach lights.
(c) Runway definition.
(d) Runway definition.
(e) Runway edge lights and VASI lights.
(f) Strobe lights.
Release flight freeze. Continue flying the approach with NP engaged. Select flight freeze when aircraft is 3 sm/5 km out and on the glide slope. Check the following:
(4) Airport model Content.
(a) Runway centerline light.
(b) Taxiway definition and lights.
Release flight freeze and continue flying the approach with A/P engaged. Select flight freeze when aircraft is 2 sm/3 km out and on the glide slope. Check the following:
(5) Airport model content.
(a) Runway threshold lights.
(b) Touchdown zone lights.
At 200 ft radio altitude and still on glide slope, select Flight Freeze. Check the following:
(6) Airport model content.
(a) Runway markings.
Set the weather to Category I conditions and check the following:
(7) Airport model content.
(a) Visual ground segment.
Set the weather to Category II conditions, release Flight Freeze, re-select Flight Freeze at 100 feet radio altitude, and check the following:
(8) Airport model content.
(a) Visual ground segment.
Select night/dusk (twilight) conditions and check the following:
(9) Airport model content.
(a) Runway markings visible within landing light lobes.
Set the weather to Category III conditions, release Flight Freeze, re-select Flight Freeze at 50 feet radio altitude and check the following:
(10) Airport model content.
(a) Visual ground segment.
Set WX to a typical “missed approach? weather condition, release Flight Freeze, re-select Flight Freeze at 15 feet radio altitude, and check the following:
(11) Airport model content.
(a) Visual ground segment.
When on the ground, stop the aircraft. Set 0 feet RVR, ensure strobe/beacon tights are switched on and check the following:
(12) Airport model content.
(a) Visual effect of strobe and beacon.
Reposition to final approach, set weather to “Clear,” continue approach for an automatic landing, and check the following:
(13) Airport model content.
(a) Visual cues during flare to assess sink rate.
(b) Visual cues during flare to assess Depth perception.
(c) Flight deck height above ground.
After Landing Operations.
(1) After Landing Checks.
(2) Taxi back to gate. Check the following:
(a) Visual model satisfactory.
(b) Parking brake operation satisfactory.
(3) Shutdown Checks.
q. Crash Function.
(1) Gear-up Crash.
(2) Excessive rate of descent Crash.
(3) Excessive bank angle Crash.
This attachment applies to all simulators, regardless of qualification level, that are used to satisfy the training requirements of an FAA-approved low-altitude windshear flight training program, or any FAA-approved training program that addresses windshear encounters.
a. The sponsor must submit an SOC confirming that the aerodynamic model is based on flight test data supplied by the airplane manufacturer or other approved data provider. The SOC must also confirm that any change to environmental wind parameters, including variances in those parameters for windshear conditions, once inserted for computation, result in the correct simulated performance. This statement must also include examples of environmental wind parameters currently evaluated in the simulator (such as crosswind takeoffs, crosswind approaches, and crosswind landings).
b. For simulators without windshear warning, caution, or guidance hardware in the original equipment, the SOC must also state that the simulation of the added hardware and/or software, including associated flight deck displays and annunciations, replicates the system(s) installed in the airplane. The statement must be accompanied by a block diagram depicting the input and output signal flow, and comparing the signal flow to the equipment installed in the airplane.
The windshear models installed in the simulator software used for the qualification evaluation must do the following:
a. Provide cues necessary for recognizing windshear onset and potential performance degradation requiring a pilot to initiate recovery procedures. The cues must include all of the following, as appropriate for the portion of the flight envelope:
(1) Rapid airspeed change of at least ±15 knots (kts).
(2) Stagnation of airspeed during the takeoff roll.
(3) Rapid vertical speed change of at least ±500 feet per minute (fpm).
(4) Rapid pitch change of at least ±5°.
b. Be adjustable in intensity (or other parameter to achieve an intensity effect) to at least two (2) levels so that upon encountering the windshear the pilot may identify its presence and apply the recommended procedures for escape from such a windshear.
(1) If the intensity is lesser, the performance capability of the simulated airplane in the windshear permits the pilot to maintain a satisfactory flightpath; and
(2) If the intensity is greater, the performance capability of the simulated airplane in the windshear does not permit the pilot to maintain a satisfactory flightpath (crash). Note: The means used to accomplish the “nonsurvivable” scenario of paragraph 3.b.(2) of this attachment, that involve operational elements of the simulated airplane, must reflect the dispatch limitations of the airplane.
c. Be available for use in the FAA-approved windshear flight training program.
a. The sponsor must identify one survivable takeoff windshear training model and one survivable approach windshear training model. The wind components of the survivable models must be presented in graphical format so that all components of the windshear are shown, including initiation point, variance in magnitude, and time or distance correlations. The simulator must be operated at the same gross weight, airplane configuration, and initial airspeed during the takeoff demonstration (through calm air and through the first selected survivable windshear), and at the same gross weight, airplane configuration, and initial airspeed during the approach demonstration (through calm air and through the second selected survivable windshear).
b. In each of these four situations, at an “initiation point” (i.e., where windshear onset is or should be recognized), the recommended procedures for windshear recovery are applied and the results are recorded as specified in paragraph 5 of this attachment.
c. These recordings are made without inserting programmed random turbulence. Turbulence that results from the windshear model is to be expected, and no attempt may be made to neutralize turbulence from this source.
d. The definition of the models and the results of the demonstrations of all four?(4) cases described in paragraph 4.a of this attachment, must be made a part of the MQTG.
a. In each of the four MQTG cases, an electronic recording (time history) must be made of the following parameters:
(1) Indicated or calibrated airspeed.
(2) Indicated vertical speed.
(3) Pitch attitude.
(4) Indicated or radio altitude.
(5) Angle of attack.
(6) Elevator position.
(7) Engine data (thrust, N1, or throttle position).
(8) Wind magnitudes (simple windshear model assumed).
b. These recordings must be initiated at least 10 seconds prior to the initiation point, and continued until recovery is complete or ground contact is made.
All windshear warning, caution, or guidance hardware installed in the simulator must operate as it operates in the airplane. For example, if a rapidly changing wind speed and/or direction would have caused a windshear warning in the airplane, the simulator must respond equivalently without instructor/evaluator intervention.
a. All QTG material must be forwarded to the responsible Flight Standards office.
b. A simulator windshear evaluation will be scheduled in accordance with normal procedures. Continuing qualification evaluation schedules will be used to the maximum extent possible.
c. During the on-site evaluation, the evaluator will ask the operator to run the performance tests and record the results. The results of these on-site tests will be compared to those results previously approved and placed in the QTG or MQTG, as appropriate.
d. QTGs for new (or MQTGs for upgraded) simulators must contain or reference the information described in paragraphs 2, 3, 4, and 5 of this attachment.
The responsible Flight Standards office will fly the simulator in at least two of the available windshear scenarios to subjectively evaluate simulator performance as it encounters the programmed windshear conditions.
a. One scenario will include parameters that enable the pilot to maintain a satisfactory flightpath.
b. One scenario will include parameters that will not enable the pilot to maintain a satisfactory flightpath (crash).
c. Other scenarios may be examined at the responsible Flight Standards office's discretion.
The addition of windshear programming to a simulator in order to comply with the qualification for required windshear training does not change the original qualification basis of the simulator.
For the purposes of demonstration repeatability, it is recommended that the simulator be flown by means of the simulator's autodrive function (for those simulators that have autodrive capability) during the demonstrations.
FSTD Directive 1. Applicable to all Full Flight Simulators (FFS), regardless of the original qualification basis and qualification date (original or upgrade), having Class II or Class III airport models available.
Agency: Federal Aviation Administration (FAA), DOT.
Action: This is a retroactive requirement to have all Class II or Class III airport models meet current requirements.
Summary: Notwithstanding the authorization listed in paragraph 13b in Appendices A and C of this part, this FSTD Directive requires each certificate holder to ensure that by May 30, 2009, except for the airport model(s) used to qualify the simulator at the designated level, each airport model used by the certificate holder's instructors or evaluators for training, checking, or testing under this chapter in an FFS, meets the definition of a Class II or Class III airport model as defined in 14CFR part 60. The completion of this requirement will not require a report, and the method used for keeping instructors and evaluators apprised of the airport models that meet Class II or Class III requirements on any given simulator is at the option of the certificate holder whose employees are using the FFS, but the method used must be available for review by the TPAA for that certificate holder.
Dates: FSTD Directive 1 becomes effective on May 30, 2008.
1. Part 60 requires that each FSTD be:
a. Sponsored by a person holding or applying for an FAA operating certificate under Part 119, Part 141, or Part 142, or holding or applying for an FAA-approved training program under Part 63, Appendix C, for flight engineers, and
b. Evaluated and issued an SOQ for a specific FSTD level.
2. FFSs also require the installation of a visual system that is capable of providing an out-of-the-flight-deck view of airport models. However, historically these airport models were not routinely evaluated or required to meet any standardized criteria. This has led to qualified simulators containing airport models being used to meet FAA-approved training, testing, or checking requirements with potentially incorrect or inappropriate visual references.
3. To prevent this from occurring in the future, by May 30, 2009, except for the airport model(s) used to qualify the simulator at the designated level, each certificate holder must assure that each airport model used for training, testing, or checking under this chapter in a qualified FFS meets the definition of a Class II or Class III airport model as defined in Appendix F of this part.
4. These references describe the requirements for visual scene management and the minimum distances from which runway or landing area features must be visible for all levels of simulator. The airport model must provide, for each “in-use runway” or “in-use landing area,” runway or landing area surface and markings, runway or landing area lighting, taxiway surface and markings, and taxiway lighting. Additional requirements include correlation of the v airport models with other aspects of the airport environment, correlation of the aircraft and associated equipment, scene quality assessment features, and the control of these models the instructor must be able to exercise.
5. For circling approaches, all requirements of this section apply to the runway used for the initial approach and to the runway of intended landing.
6. The details in these models must be developed using airport pictures, construction drawings and maps, or other similar data, or developed in accordance with published regulatory material. However, this FSTD DIRECTIVE 1 does not require that airport models contain details that are beyond the initially designed capability of the visual system, as currently qualified. The recognized limitations to visual systems are as follows:
a. Visual systems not required to have runway numbers as a part of the specific runway marking requirements are:
(1) Link NVS and DNVS.
(2) Novoview 2500 and 6000.
(3) FlightSafety VITAL series up to, and including, VITAL III, but not beyond.
(4) Redifusion SP1, SP1T, and SP2.
b. Visual systems required to display runway numbers only for LOFT scenes are:
(1) FlightSafety VITAL IV.
(2) Redifusion SP3 and SP3T.
(3) Link-Miles Image II.
c. Visual systems not required to have accurate taxiway edge lighting are:
(1) Redifusion SP1.
(2) FlightSafety Vital IV.
(3) Link-Miles Image II and Image IIT
(4) XKD displays (even though the XKD image generator is capable of generating blue colored lights, the display cannot accommodate that color).
7. A copy of this Directive must be filed in the MQTG in the designated FSTD Directive Section, and its inclusion must be annotated on the Index of Effective FSTD Directives chart. See Attachment 4, Appendices A through D for a sample MQTG Index of Effective FSTD Directives chart.
FSTD Directive 2. Applicable to all airplane Full Flight Simulators (FFS), regardless of the original qualification basis and qualification date (original or upgrade), used to conduct full stall training, upset recovery training, airborne icing training, and other flight training tasks as described in this Directive.
Agency: Federal Aviation Administration (FAA), DOT.
Action: This is a retroactive requirement for any FSTD being used to obtain training, testing, or checking credit in an FAA approved flight training program for the specific training maneuvers as defined in this Directive.
Summary: Notwithstanding the authorization listed in paragraph 13b in Appendix A of this Part, this FSTD Directive requires that each FSTD sponsor conduct additional subjective and objective testing, conduct required modifications, and apply for additional FSTD qualification under § 60.16 to support continued qualification of the following flight training tasks where training, testing, or checking credit is being sought in a selected FSTD being used in an FAA approved flight training program:
Dates: FSTD Directive No. 2 becomes effective on May 31, 2016.
1. Part 60 requires that each FSTD be:
a. Sponsored by a person holding or applying for an FAA operating certificate under Part 119, Part 141, or Part 142, or holding or applying for an FAA-approved training program under Part 63, Appendix C, for flight engineers, and
b. Evaluated and issued a Statement of Qualification (SOQ) for a specific FSTD level.
2. The evaluation criteria contained in this Directive is intended to address specific training tasks that require additional evaluation to ensure adequate FSTD fidelity.
3. The requirements described in this Directive define additional qualification criteria for specific training tasks that are applicable only to those FSTDs that will be utilized to obtain training, testing, or checking credit in an FAA approved flight training program. In order to obtain additional qualification for the tasks described in this Directive, FSTD sponsors must request additional qualification in accordance with § 60.16 and the requirements of this Directive. FSTDs that are found to meet the requirements of this Directive will have their Statement of Qualification (SOQ) amended to reflect the additional training tasks that the FSTD has been qualified to conduct. The additional qualification requirements as defined in this Directive are divided into the following training tasks:
4. A copy of this Directive (along with all required Statements of Compliance and objective test results) must be filed in the MQTG in the designated FSTD Directive Section, and its inclusion must be annotated on the Index of Effective FSTD Directives chart. See Attachment 4, Appendix A for a sample MQTG Index of Effective FSTD Directives chart.
1. This section applies to previously qualified Level C and Level D FSTDs being used to obtain credit for stall training maneuvers beyond the first indication of a stall (such as stall warning system activation, stick shaker, etc.) in an FAA approved training program.
2. The evaluation requirements in this Directive are intended to validate FSTD fidelity at angles of attack sufficient to identify the stall, to demonstrate aircraft performance degradation in the stall, and to demonstrate recovery techniques from a fully stalled flight condition.
3. After March 12, 2019, any FSTD being used to obtain credit for full stall training maneuvers in an FAA approved training program must be evaluated and issued additional qualification in accordance with this Directive and the following sections of Appendix A of this Part:
4. For FSTDs initially qualified before May 31, 2016, including FSTDs that are initially qualified under the grace period conditions as defined in § 60.15(c):
5. Where qualification is being sought to conduct full stall training tasks in accordance with this Directive, the FSTD Sponsor must conduct the required evaluations and modifications as prescribed in this Directive and report compliance to the responsible Flight Standards office in accordance with § 60.23 using the standardized FSTD Sponsor Notification Form. At a minimum, this form must be accompanied with the following information:
6. The responsible Flight Standards office will review each submission to determine if the requirements of this Directive have been met and respond to the FSTD Sponsor as described in § 60.23(c). Additional responsible Flight Standards office conducted FSTD evaluations may be required before the modified FSTD is placed into service. This response, along with any noted restrictions, will serve as interim qualification for full stall training tasks until such time that a permanent change is made to the Statement of Qualification (SOQ) at the FSTD's next scheduled evaluation.
1. This section applies to previously qualified FSTDs being used to obtain training, testing, or checking credits for upset prevention and recovery training tasks (UPRT) as defined in Appendix A, Table A1A, Section 2.n. of this part. Additionally, FSTDs being used for unusual attitude training maneuvers that are intended to exceed the parameters of an aircraft upset must also be evaluated and qualified for UPRT under this section. These parameters include pitch attitudes greater than 25 degrees nose up; pitch attitudes greater than 10 degrees nose down, and bank angles greater than 45 degrees.
2. The requirements contained in this section are intended to define minimum standards for evaluating an FSTD for use in upset prevention and recovery training maneuvers that may exceed an aircraft's normal flight envelope. These standards include the evaluation of qualified training maneuvers against the FSTD's validation envelope and providing the instructor with minimum feedback tools for the purpose of determining if a training maneuver is conducted within FSTD validation limits and the aircraft's operating limits.
3. This Directive contains additional subjective testing that exceeds the evaluation requirements of previously qualified FSTDs. Where aerodynamic modeling data or validation data is not available or insufficient to meet the requirements of this Directive, the responsible Flight Standards office may limit additional qualification to certain upset prevention and recovery maneuvers where adequate data exists.
4. After March 12, 2019, any FSTD being used to obtain training, testing, or checking credit for upset prevention and recovery training tasks in an FAA approved flight training program must be evaluated and issued additional qualification in accordance with this Directive and the following sections of Appendix A of this part:
5. Where qualification is being sought to conduct upset prevention and recovery training tasks in accordance with this Directive, the FSTD Sponsor must conduct the required evaluations and modifications as prescribed in this Directive and report compliance to the responsible Flight Standards office in accordance with § 60.23 using the standardized FSTD Sponsor Notification Form. At a minimum, this form must be accompanied with the following information:
6. The responsible Flight Standards office will review each submission to determine if the requirements of this Directive have been met and respond to the FSTD Sponsor as described in § 60.23(c). Additional responsible Flight Standards office conducted FSTD evaluations may be required before the modified FSTD is placed into service. This response, along with any noted restrictions, will serve as an interim qualification for upset prevention and recovery training tasks until such time that a permanent change is made to the Statement of Qualification (SOQ) at the FSTD's next scheduled evaluation.
1. This section applies to previously qualified Level C and Level D FSTDs being used to obtain training, testing, or checking credits in maneuvers that demonstrate the effects of engine and airframe ice accretion.
2. The requirements in this section are intended to supersede and improve upon existing Level C and Level D FSTD evaluation requirements on the effects of engine and airframe icing. The requirements define a minimum level of fidelity required to adequately simulate the aircraft specific aerodynamic characteristics of an in-flight encounter with engine and airframe ice accretion as necessary to accomplish training objectives.
3. This Directive contains additional subjective testing that exceeds the evaluation requirements of previously qualified FSTDs. Where aerodynamic modeling data is not available or insufficient to meet the requirements of this Directive, the responsible Flight Standards office may limit qualified engine and airframe icing maneuvers where sufficient aerodynamic modeling data exists.
4. After March 12, 2019, any FSTD being used to conduct training tasks that demonstrate the effects of engine and airframe icing must be evaluated and issued additional qualification in accordance with this Directive and the following sections of Appendix A of this part:
5. Where continued qualification is being sought to conduct engine and airframe icing training tasks in accordance with this Directive, the FSTD Sponsor must conduct the required evaluations and modifications as prescribed in this Directive and report compliance to the responsible Flight Standards office in accordance with § 60.23 using the standardized FSTD Sponsor Notification Form. At a minimum, this form must be accompanied with the following information:
6. The responsible Flight Standards office will review each submission to determine if the requirements of this Directive have been met and respond to the FSTD Sponsor as described in § 60.23(c). Additional responsible Flight Standards office conducted FSTD evaluations may be required before the modified FSTD is placed into service. This response, along with any noted restrictions, will serve as an interim update to the FSTD's Statement of Qualification (SOQ) until such time that a permanent change is made to the SOQ at the FSTD's next scheduled evaluation.
1. This section applies to previously qualified FSTDs that will be used to obtain training, testing, or checking credits in takeoff and landing tasks in gusting crosswinds as part of an FAA approved training program. The requirements of this Directive are applicable only to those Level B and higher FSTDs that are qualified to conduct takeoff and landing training tasks.
2. The requirements in this section introduce new minimum simulator requirements for gusting crosswinds during takeoff and landing training tasks as well as additional subjective testing that exceeds the evaluation requirements of previously qualified FSTDs.
3. After March 12, 2019, any FSTD that is used to conduct gusting crosswind takeoff and landing training tasks must be evaluated and issued additional qualification in accordance with this Directive and the following sections of Appendix A of this part:
4. Where qualification is being sought to conduct gusting crosswind training tasks in accordance with this Directive, the FSTD Sponsor must conduct the required evaluations and modifications as prescribed in this Directive and report compliance to the responsible Flight Standards office in accordance with § 60.23 using the standardized FSTD Sponsor Notification Form. At a minimum, this form must be accompanied with the following information:
5. The responsible Flight Standards office will review each submission to determine if the requirements of this Directive have been met and respond to the FSTD Sponsor as described in § 60.23(c). Additional responsible Flight Standards office conducted FSTD evaluations may be required before the modified FSTD is placed into service. This response, along with any noted restrictions, will serve as an interim qualification for gusting crosswind training tasks until such time that a permanent change is made to the Statement of Qualification (SOQ) at the FSTD's next scheduled evaluation.
1. This section applies to previously qualified FSTDs that will be used to obtain training, testing, or checking credits in bounced landing recovery as part of an FAA approved training program. The requirements of this Directive are applicable only to those Level B and higher FSTDs that are qualified to conduct takeoff and landing training tasks.
2. The evaluation requirements in this section are intended to introduce new evaluation requirements for bounced landing recovery training tasks and contains additional subjective testing that exceeds the evaluation requirements of previously qualified FSTDs.
3. After March 12, 2019, any FSTD that is used to conduct bounced landing training tasks must be evaluated and issued additional qualification in accordance with this Directive and the following sections of Appendix A of this Part:
4. Where qualification is being sought to conduct bounced landing training tasks in accordance with this Directive, the FSTD Sponsor must conduct the required evaluations and modifications as prescribed in this Directive and report compliance to the responsible Flight Standards office in accordance with § 60.23 using the standardized FSTD Sponsor Notification Form. At a minimum, this form must be accompanied with the following information:
5. The responsible Flight Standards office will review each submission to determine if the requirements of this Directive have been met and respond to the FSTD Sponsor as described in § 60.23(c). Additional responsible Flight Standards office conducted FSTD evaluations may be required before the modified FSTD is placed into service. This response, along with any noted restrictions, will serve as an interim qualification for bounced landing recovery training tasks until such time that a permanent change is made to the Statement of Qualification (SOQ) at the FSTD's next scheduled evaluation.
1. Applicability: This attachment applies to all simulators that are used to satisfy training requirements for stall maneuvers that are conducted at angles of attack beyond the activation of the stall warning system. This attachment is not applicable for those FSTDs that are only qualified for approach to stall maneuvers where recovery is initiated at the first indication of the stall. The material in this section is intended to supplement the general requirements, objective testing requirements, and subjective testing requirements contained within Tables A1A, A2A, and A3A, respectively.
2. General Requirements: The requirements for high angle of attack modeling are intended to evaluate the recognition cues and performance and handling qualities of a developing stall through the stall identification angle-of-attack and recovery. Strict time-history-based evaluations against flight test data may not adequately validate the aerodynamic model in an unsteady and potentially unstable flight regime, such as stalled flight. As a result, the objective testing requirements defined in Table A2A do not prescribe strict tolerances on any parameter at angles of attack beyond the stall identification angle of attack. In lieu of mandating such objective tolerances, a Statement of Compliance (SOC) will be required to define the source data and methods used to develop the stall aerodynamic model.
3. Fidelity Requirements: The requirements defined for the evaluation of full stall training maneuvers are intended to provide the following levels of fidelity:
4. Statement of Compliance (Aerodynamic Model): At a minimum, the following must be addressed in the SOC:
5. Statement of Compliance (Subject Matter Expert Pilot Evaluation): The sponsor must provide an SOC that confirms the FSTD has been subjectively evaluated by a subject matter expert (SME) pilot who is knowledgeable of the aircraft's stall characteristics. In order to qualify as an acceptable SME to evaluate the FSTD's stall characteristics, the SME must meet the following requirements:
An FSTD sponsor may submit a request to the Administrator for approval of a deviation from the SME pilot experience requirements in this paragraph. This request for deviation must include the following information:
1. Applicability: This attachment applies to all simulators that are used to satisfy training requirements for upset prevention and recovery training (UPRT) maneuvers. For the purposes of this attachment (as defined in the Airplane Upset Recovery Training Aid), an aircraft upset is generally defined as an airplane unintentionally exceeding the following parameters normally experienced in line operations or training:
2. General Requirements: The general requirement for UPRT qualification in Table A1A defines three basic elements required for qualifying an FSTD for UPRT maneuvers:
3. FSTD Validation Envelope: For the purposes of this attachment, the term “flight envelope” refers to the entire domain in which the FSTD is capable of being flown with a degree of confidence that the FSTD responds similarly to the airplane. This envelope can be further divided into three subdivisions (see Appendix 3-D of the Airplane Upset Recovery Training Aid):
4. Instructor Feedback Mechanism: For the instructor/evaluator to provide feedback to the student during UPRT maneuver training, additional information must be accessible that indicates the fidelity of the simulation, the magnitude of trainee's flight control inputs, and aircraft operational limits that could potentially affect the successful completion of the maneuver(s). At a minimum, the following must be available to the instructor/evaluator:
An example FSTD “alpha/beta” envelope display and IOS feedback mechanism are shown below in Figure 1 and Figure 2. The following examples are provided as guidance material on one possible method to display the required UPRT feedback parameters on an IOS display. FSTD sponsors may develop other methods and feedback mechanisms that provide the required parameters and support the training program objectives.
1. Applicability: This section applies to all FSTDs that are used to satisfy training requirements for engine and airframe icing. New general requirements and objective requirements for simulator qualification have been developed to define aircraft specific icing models that support training objectives for the recognition and recovery from an in-flight ice accretion event.
2. General Requirements: The qualification of engine and airframe icing consists of the following elements that must be considered when developing ice accretion models for use in training:
a. Ice accretion models must be developed to account for training the specific skills required for recognition of ice accumulation and execution of the required response.
b. Ice accretion models must be developed in a manner to contain aircraft specific recognition cues as determined with aircraft OEM supplied data or other suitable analytical methods.
c. At least one qualified ice accretion model must be objectively tested to demonstrate that the model has been implemented correctly and generates the correct cues as necessary for training.
3. Statement of Compliance: The SOC as described in Table A1A, Section 2.j. must contain the following information to support FSTD qualification of aircraft specific ice accretion models:
a. A description of expected aircraft specific recognition cues and degradation effects due to a typical in-flight icing encounter. Typical cues may include loss of lift, decrease in stall angle of attack, changes in pitching moment, decrease in control effectiveness, and changes in control forces in addition to any overall increase in drag. This description must be based upon relevant source data, such as aircraft OEM supplied data, accident/incident data, or other acceptable data sources. Where a particular airframe has demonstrated vulnerabilities to a specific type of ice accretion (due to accident/incident history) which requires specific training (such as supercooled large-droplet icing or tailplane icing), ice accretion models must be developed that address the training requirements.
b. A description of the data sources utilized to develop the qualified ice accretion models. Acceptable data sources may be, but are not limited to, flight test data, aircraft certification data, aircraft OEM engineering simulation data, or other analytical methods based upon established engineering principles.
4. Objective Demonstration Testing: The purpose of the objective demonstration test is to demonstrate that the ice accretion models as described in the Statement of Compliance have been implemented correctly and demonstrate the proper cues and effects as defined in the approved data sources. At least one ice accretion model must be selected for testing and included in the Master Qualification Test Guide (MQTG). Two tests are required to demonstrate engine and airframe icing effects. One test will demonstrate the FSTDs baseline performance without icing, and the second test will demonstrate the aerodynamic effects of ice accretion relative to the baseline test.
a. Recorded Parameters: In each of the two required MQTG cases, a time history recording must be made of the following parameters:
b. Demonstration maneuver: The FSTD sponsor must select an ice accretion model as identified in the SOC for testing. The selected maneuver must demonstrate the effects of ice accretion at high angles of attack from a trimmed condition through approach to stall and “full” stall as compared to a baseline (no ice buildup) test. The ice accretion models must demonstrate the cues necessary to recognize the onset of ice accretion on the airframe, lifting surfaces, and engines and provide representative degradation in performance and handling qualities to the extent that a recovery can be executed. Typical recognition cues that may be present depending upon the simulated aircraft include:
This appendix establishes the standards for Airplane FTD evaluation and qualification at Level 4, Level 5, Level 6, or Level 7. The Flight Standards Service, is responsible for the development, application, and implementation of the standards contained within this appendix. The procedures and criteria specified in this appendix will be used by the responsible Flight Standards office when conducting airplane FTD evaluations.
a. This appendix contains background information as well as regulatory and informative material as described later in this section. To assist the reader in determining what areas are required and what areas are permissive, the text in this appendix is divided into two sections: “QPS Requirements” and “Information.” The QPS Requirements sections contain details regarding compliance with the part 60 rule language. These details are regulatory, but are found only in this appendix. The Information sections contain material that is advisory in nature, and designed to give the user general information about the regulation.
b. [Reserved]
c. The responsible Flight Standards office encourages the use of electronic media for all communication, including any record, report, request, test, or statement required by this appendix. The electronic media used must have adequate security provisions and be acceptable to the responsible Flight Standards office.
d. Related Reading References.
(1) 14 CFR part 60.
(2) 14 CFR part 61.
(3) 14 CFR part 63.
(4) 14 CFR part 119.
(5) 14 CFR part 121.
(6) 14 CFR part 125.
(7) 14 CFR part 135.
(8) 14 CFR part 141.
(9) 14 CFR part 142.
(10) AC 120-28, as amended, Criteria for Approval of Category III Landing Weather Minima.
(11) AC 120-29, as amended, Criteria for Approving Category I and Category II Landing Minima for part 121 operators.
(12) AC 120-35, as amended, Flightcrew Member Line Operational Simulations: Line-Oriented Flight Training, Special Purpose Operational Training, Line Operational Evaluation.
(13) AC 120-41, as amended, Criteria for Operational Approval of Airborne Wind Shear Alerting and Flight Guidance Systems.
(14) AC 120-45, as amended, Airplane Flight Training Device Qualification.
(14) AC 120-57, as amended, Surface Movement Guidance and Control System (SMGCS).
(15) AC 150/5300-13, as amended, Airport Design.
(16) AC 150/5340-1, as amended, Standards for Airport Markings.
(17) AC 150/5340-4, as amended, Installation Details for Runway Centerline Touchdown Zone Lighting Systems.
(18) AC 150/5340-19, as amended, Taxiway Centerline Lighting System.
(19) AC 150/5340-24, as amended, Runway and Taxiway Edge Lighting System.
(20) AC 150/5345-28, as amended, Precision Approach Path Indicator (PAPI) Systems.
(21) International Air Transport Association document, “Flight Simulation Training Device Design and Performance Data Requirements,” as amended.
(22) AC 25-7, as amended, Flight Test Guide for Certification of Transport Category Airplanes.
(23) AC 23-8A, as amended, Flight Test Guide for Certification of Part 23 Airplanes.
(24) International Civil Aviation Organization (ICAO) Manual of Criteria for the Qualification of Flight Simulation Training Devices, as amended.
(25) Aeroplane Flight Simulation Training Device Evaluation Handbook, Volume I, as amended and Volume II, as amended, The Royal Aeronautical Society, London, UK.
(26) FAA Airman Certification Standards and Practical Test Standards for Airline Transport Pilot, Type Ratings, Commercial Pilot, and Instrument Ratings.
(27) The FAA Aeronautical Information Manual (AIM). An electronic version of the AIM is on the Internet at http://www.faa.gov/atpubs.
(28) Aeronautical Radio, Inc. (ARINC) document number 436, titled Guidelines For Electronic Qualification Test Guide (as amended).
(29) Aeronautical Radio, Inc. (ARINC) document 610, Guidance for Design and Integration of Aircraft Avionics Equipment in Simulators (as amended).
No additional regulatory or informational material applies to § 60.1, Applicability, or to § 60.2, Applicability of sponsor rules to person who are not sponsors and who are engaged in certain unauthorized activities.
See appendix F of this part for a list of definitions and abbreviations from part 1, part 60, and the QPS appendices of part 60.
No additional regulatory or informational material applies to § 60.4, Qualification Performance Standards.
Additional regulatory material and informational material regarding Quality Management Systems for FTDs may be found in appendix E of this part.
a. The intent of the language in § 60.7(b) is to have a specific FTD, identified by the sponsor, used at least once in an FAA-approved flight training program for the airplane simulated during the 12-month period described. The identification of the specific FTD may change from one 12-month period to the next 12-month period as long as that sponsor sponsors and uses at least one FTD at least once during the prescribed period. There is no minimum number of hours or minimum FTD periods required.
b. The following examples describe acceptable operational practices:
(1) Example One.
(a) A sponsor is sponsoring a single, specific FTD for its own use, in its own facility or elsewhere— this single FTD forms the basis for the sponsorship. The sponsor uses that FTD at least once in each 12-month period in that sponsor's FAA-approved flight training program for the airplane simulated. This 12-month period is established according to the following schedule:
(i) If the FTD was qualified prior to May 30, 2008, the 12-month period begins on the date of the first continuing qualification evaluation conducted in accordance with § 60.19 after May 30, 2008, and continues for each subsequent 12-month period;
(ii) A device qualified on or after May 30, 2008, will be required to undergo an initial or upgrade evaluation in accordance with § 60.15. Once the initial or upgrade evaluation is complete, the first continuing qualification evaluation will be conducted within 6 months. The 12 month continuing qualification evaluation cycle begins on that date and continues for each subsequent 12-month period.
(b) There is no minimum number of hours of FTD use required.
(c) The identification of the specific FTD may change from one 12-month period to the next 12-month period as long as that sponsor sponsors and uses at least one FTD at least once during the prescribed period.
(2) Example Two.
(a) A sponsor sponsors an additional number of FTDs, in its facility or elsewhere. Each additionally sponsored FTD must be—
(i) Used by the sponsor in the sponsor's FAA-approved flight training program for the airplane simulated (as described in § 60.7(d)(1)); or
(ii) Used by another FAA certificate holder in that other certificate holder's FAA-approved flight training program for the airplane simulated (as described in § 60.7(d)(1)). This 12-month period is established in the same manner as in example one; or
(iii) Provided a statement each year from a qualified pilot, (after having flown the airplane, not the subject FTD or another FTD, during the preceding 12-month period) stating that the subject FTD's performance and handling qualities represent the airplane (as described in § 60.7(d)(2)). This statement is provided at least once in each 12-month period established in the same manner as in example one.
(b) There is no minimum number of hours of FTD use required.
(3) Example Three.
(a) A sponsor in New York (in this example, a Part 142 certificate holder) establishes “satellite” training centers in Chicago and Moscow.
(b) The satellite function means that the Chicago and Moscow centers must operate under the New York center's certificate (in accordance with all of the New York center's practices, procedures, and policies; e.g., instructor and/or technician training/checking requirements, record keeping, QMS program).
(c) All of the FTDs in the Chicago and Moscow centers could be dry-leased (i.e., the certificate holder does not have and use FAA-approved flight training programs for the FTDs in the Chicago and Moscow centers) because—
(i) Each FTD in the Chicago center and each FTD in the Moscow center is used at least once each 12-month period by another FAA certificate holder in that other certificate holder's FAA-approved flight training program for the airplane (as described in § 60.7(d)(1)); or
(ii) A statement is obtained from a qualified pilot (having flown the airplane, not the subject FTD or another FTD during the preceding 12-month period) stating that the performance and handling qualities of each FTD in the Chicago and Moscow centers represents the airplane (as described in § 60.7(d)(2)).
The phrase “as soon as practicable” in § 60.9(a) means without unnecessarily disrupting or delaying beyond a reasonable time the training, evaluation, or experience being conducted in the FTD.
No additional regulatory or informational material applies to § 60.11, FTD use.
9. FTD Objective Data Requirements (§ 60.13)
a. Flight test data used to validate FTD performance and handling qualities must have been gathered in accordance with a flight test program containing the following:
(1) A flight test plan consisting of:
(a) The maneuvers and procedures required for aircraft certification and simulation programming and validation.
(b) For each maneuver or procedure—
(i) The procedures and control input the flight test pilot and/or engineer used.
(ii) The atmospheric and environmental conditions.
(iii) The initial flight conditions.
(iv) The airplane configuration, including weight and center of gravity.
(v) The data to be gathered.
(vi) All other information necessary to recreate the flight test conditions in the FTD.
(2) Appropriately qualified flight test personnel.
(3) An understanding of the accuracy of the data to be gathered using appropriate alternative data sources, procedures, and instrumentation that is traceable to a recognized standard as described in Attachment 2, Table B2F of this appendix.
(4) Appropriate and sufficient data acquisition equipment or system(s), including appropriate data reduction and analysis methods and techniques, acceptable to the FAA's Aircraft Certification Service.
b. The data, regardless of source, must be presented:
(1) In a format that supports the FTD validation process;
(2) In a manner that is clearly readable and annotated correctly and completely;
(3) With resolution sufficient to determine compliance with the tolerances set forth in Attachment 2, Table B2A, Appendix B;
(4) With any necessary guidance information provided; and
(5) Without alteration, adjustments, or bias. Data may be corrected to address known data calibration errors provided that an explanation of the methods used to correct the errors appears in the QTG. The corrected data may be re-scaled, digitized, or otherwise manipulated to fit the desired presentation.
c. After completion of any additional flight test, a flight test report must be submitted in support of the validation data. The report must contain sufficient data and rationale to support qualification of the FTD at the level requested.
d. As required by § 60.13(f), the sponsor must notify the responsible Flight Standards office when it becomes aware that an addition to or a revision of the flight related data or airplane systems related data is available if this data is used to program and operate a qualified FTD. The data referred to in this sub-section are those data that are used to validate the performance, handling qualities, or other characteristics of the aircraft, including data related to any relevant changes occurring after the type certification is issued. The sponsor must—
(1) Within 10 calendar days, notify the responsible Flight Standards office of the existence of this data; and
(2) Within 45 calendar days, notify the responsible Flight Standards office of—
(i) The schedule to incorporate this data into the FTD; or
(ii) The reason for not incorporating this data into the FTD.
e. In those cases where the objective test results authorize a “snapshot test” or a “series of snapshot test results” in lieu of a time-history result, the sponsor or other data provider must ensure that a steady state condition exists at the instant of time captured by the “snapshot.” The steady state condition must exist from 4 seconds prior to, through 1 second following, the instant of time captured by the snap shot.
f. The FTD sponsor is encouraged to maintain a liaison with the manufacturer of the aircraft being simulated (or with the holder of the aircraft type certificate for the aircraft being simulated if the manufacturer is no longer in business), and if appropriate, with the person having supplied the aircraft data package for the FTD in order to facilitate the notification described in this paragraph.
g. It is the intent of the responsible Flight Standards office that for new aircraft entering service, at a point well in advance of preparation of the QTG, the sponsor should submit to the responsible Flight Standards office for approval, a descriptive document (see Appendix A, Table A2C, Sample Validation Data Roadmap for Airplanes) containing the plan for acquiring the validation data, including data sources. This document should clearly identify sources of data for all required tests, a description of the validity of these data for a specific engine type and thrust rating configuration, and the revision levels of all avionics affecting the performance or flying qualities of the aircraft. Additionally, this document should provide other information such as the rationale or explanation for cases where data or data parameters are missing, instances where engineering simulation data are used, or where flight test methods require further explanations. It should also provide a brief narrative describing the cause and effect of any deviation from data requirements. The aircraft manufacturer may provide this document.
h. There is no requirement for any flight test data supplier to submit a flight test plan or program prior to gathering flight test data. However, the responsible Flight Standards office notes that inexperienced data gatherers often provide data that is irrelevant, improperly marked, or lacking adequate justification for selection. Other problems include inadequate information regarding initial conditions or test maneuvers. The responsible Flight Standards office has been forced to refuse these data submissions as validation data for an FTD evaluation. It is for this reason that the responsible Flight Standards office recommends that any data supplier not previously experienced in this area review the data necessary for programming and for validating the performance of the FTD and discuss the flight test plan anticipated for acquiring such data with the responsible Flight Standards office well in advance of commencing the flight tests.
i. The responsible Flight Standards office will consider, on a case-by-case basis, whether to approve supplemental validation data derived from flight data recording systems such as a Quick Access Recorder or Flight Data Recorder.
a. In the event that the responsible Flight Standards office determines that special equipment or specifically qualified persons will be required to conduct an evaluation, the responsible Flight Standards office will make every attempt to notify the sponsor at least one (1) week, but in no case less than 72 hours, in advance of the evaluation. Examples of special equipment include flight control measurement devices, accelerometers, or oscilloscopes. Examples of specially qualified personnel include individuals specifically qualified to install or use any special equipment when its use is required.
b. Examples of a special evaluation include an evaluation conducted after: An FTD is moved; at the request of the TPAA; or as a result of comments received from users of the FTD that raise questions about the continued qualification or use of the FTD.
a. In order to be qualified at a particular qualification level, the FTD must:
(1) Meet the general requirements listed in Attachment 1 of this appendix;
(2) Meet the objective testing requirements listed in Attachment 2 of this appendix (Level 4 FTDs do not require objective tests); and
(3) Satisfactorily accomplish the subjective tests listed in Attachment 3 of this appendix.
b. The request described in § 60.15(a) must include all of the following:
(1) A statement that the FTD meets all of the applicable provisions of this part and all applicable provisions of the QPS.
(2) Unless otherwise authorized through prior coordination with the responsible Flight Standards office, a confirmation that the sponsor will forward to the responsible Flight Standards office the statement described in § 60.15(b) in such time as to be received no later than 5 business days prior to the scheduled evaluation and may be forwarded to the responsible Flight Standards office via traditional or electronic means.
(3) Except for a Level 4 FTD, a QTG, acceptable to the responsible Flight Standards office, that includes all of the following:
(a) Objective data obtained from aircraft testing or another approved source.
(b) Correlating objective test results obtained from the performance of the FTD as prescribed in the appropriate QPS.
(c) The result of FTD subjective tests prescribed in the appropriate QPS.
(d) A description of the equipment necessary to perform the evaluation for initial qualification and the continuing qualification evaluations.
c. The QTG described in paragraph a(3) of this section, must provide the documented proof of compliance with the FTD objective tests in Attachment 2, Table B2A of this appendix.
d. The QTG is prepared and submitted by the sponsor, or the sponsor?s agent on behalf of the sponsor, to the responsible Flight Standards office for review and approval, and must include, for each objective test:
(1) Parameters, tolerances, and flight conditions;
(2) Pertinent and complete instructions for conducting automatic and manual tests;
(3) A means of comparing the FTD test results to the objective data;
(4) Any other information as necessary to assist in the evaluation of the test results;
(5) Other information appropriate to the qualification level of the FTD.
e. The QTG described in paragraphs (a)(3) and (b) of this section, must include the following:
(1) A QTG cover page with sponsor and FAA approval signature blocks (see Attachment 4, Figure B4C, of this appendix, for a sample QTG cover page).
(2) [Reserved]
(3) An FTD information page that provides the information listed in this paragraph, if applicable (see Attachment 4, Figure B4B, of this appendix, for a sample FTD information page). For convertible FTDs, the sponsor must submit a separate page for each configuration of the FTD.
(a) The sponsor's FTD identification number or code.
(b) The airplane model and series being simulated.
(c) The aerodynamic data revision number or reference.
(d) The source of the basic aerodynamic model and the aerodynamic coefficient data used to modify the basic model.
(e) The engine model(s) and its data revision number or reference.
(f) The flight control data revision number or reference.
(g) The flight management system identification and revision level.
(h) The FTD model and manufacturer.
(i) The date of FTD manufacture.
(j) The FTD computer identification.
(k) The visual system model and manufacturer, including display type.
(l) The motion system type and manufacturer, including degrees of freedom.
(4) A Table of Contents.
(5) A log of revisions and a list of effective pages.
(6) List of all relevant data references.
(7) A glossary of terms and symbols used (including sign conventions and units).
(8) Statements of compliance and capability (SOCs) with certain requirements.
(9) Recording procedures or equipment required to accomplish the objective tests.
(10) The following information for each objective test designated in Attachment 2 of this appendix, as applicable to the qualification level sought:
(a) Name of the test.
(b) Objective of the test.
(c) Initial conditions.
(d) Manual test procedures.
(e) Automatic test procedures (if applicable).
(f) Method for evaluating FTD objective test results.
(g) List of all relevant parameters driven or constrained during the automatic test(s).
(h) List of all relevant parameters driven or constrained during the manual test(s).
(i) Tolerances for relevant parameters.
(j) Source of Validation Data (document and page number).
(k) Copy of the Validation Data (if located in a separate binder, a cross reference for the identification and page number for pertinent data location must be provided).
(l) FTD Objective Test Results as obtained by the sponsor. Each test result must reflect the date completed and must be clearly labeled as a product of the device being tested.
f. A convertible FTD is addressed as a separate FTD for each model and series airplane to which it will be converted and for the FAA qualification level sought. The responsible Flight Standards office will conduct an evaluation for each configuration. If a sponsor seeks qualification for two or more models of an airplane type using a convertible FTD, the sponsor must provide a QTG for each airplane model, or a QTG for the first airplane model and a supplement to that QTG for each additional airplane model. The responsible Flight Standards office will conduct evaluations for each airplane model.
g. The form and manner of presentation of objective test results in the QTG must include the following:
(1) The sponsor's FTD test results must be recorded in a manner acceptable to the responsible Flight Standards office, that allows easy comparison of the FTD test results to the validation data (e.g., use of a multi-channel recorder, line printer, cross plotting, overlays, transparencies).
(2) FTD results must be labeled using terminology common to airplane parameters as opposed to computer software identifications.
(3) Validation data documents included in a QTG may be photographically reduced only if such reduction will not alter the graphic scaling or cause difficulties in scale interpretation or resolution.
(4) Scaling on graphical presentations must provide the resolution necessary to evaluate the parameters shown in Attachment 2, Table B2A of this appendix.
(5) Tests involving time histories, data sheets (or transparencies thereof) and FTD test results must be clearly marked with appropriate reference points to ensure an accurate comparison between FTD and airplane with respect to time. Time histories recorded via a line printer are to be clearly identified for cross-plotting on the airplane data. Over-plots may not obscure the reference data.
h. The sponsor may elect to complete the QTG objective and subjective tests at the manufacturer's facility or at the sponsor's training facility (or other sponsor designated location where training will take place). If the tests are conducted at the manufacturer's facility, the sponsor must repeat at least one-third of the tests at the sponsor's training facility in order to substantiate FTD performance. The QTG must be clearly annotated to indicate when and where each test was accomplished. Tests conducted at the manufacturer's facility and at the sponsor's designated training facility must be conducted after the FTD is assembled with systems and sub-systems functional and operating in an interactive manner. The test results must be submitted to the responsible Flight Standards office.
i. The sponsor must maintain a copy of the MQTG at the FTD location.
j. All FTDs for which the initial qualification is conducted after May 30, 2014, must have an electronic MQTG (eMQTG) including all objective data obtained from airplane testing, or another approved source (reformatted or digitized), together with correlating objective test results obtained from the performance of the FTD (reformatted or digitized) as prescribed in this appendix. The eMQTG must also contain the general FTD performance or demonstration results (reformatted or digitized) prescribed in this appendix, and a description of the equipment necessary to perform the initial qualification evaluation and the continuing qualification evaluations. The eMQTG must include the original validation data used to validate FTD performance and handling qualities in either the original digitized format from the data supplier or an electronic scan of the original time-history plots that were provided by the data supplier. A copy of the eMQTG must be provided to the responsible Flight Standards office.
k. All other FTDs (not covered in subparagraph “j”) must have an electronic copy of the MQTG by and after May 30, 2014. An electronic copy of the copy of the MQTG must be provided to the responsible Flight Standards office. This may be provided by an electronic scan presented in a Portable Document File (PDF), or similar format acceptable to the responsible Flight Standards office.
l. During the initial (or upgrade) qualification evaluation conducted by the responsible Flight Standards office, the sponsor must also provide a person knowledgeable about the operation of the aircraft and the operation of the FTD.
m. Only those FTDs that are sponsored by a certificate holder as defined in Appendix F will be evaluated by the responsible Flight Standards office. However, other FTD evaluations may be conducted on a case-by-case basis as the Administrator deems appropriate, but only in accordance with applicable agreements.
n. The responsible Flight Standards office will conduct an evaluation for each configuration, and each FTD must be evaluated as completely as possible. To ensure a thorough and uniform evaluation, each FTD is subjected to the general FTD requirements in Attachment 1 of this appendix, the objective tests listed in Attachment 2 of this appendix, and the subjective tests listed in Attachment 3 of this appendix. The evaluations described herein will include, but not necessarily be limited to the following:
(1) Airplane responses, including longitudinal and lateral-directional control responses (see Attachment 2 of this appendix);
(2) Performance in authorized portions of the simulated airplane's operating envelope, to include tasks evaluated by the responsible Flight Standards office in the areas of surface operations, takeoff, climb, cruise, descent, approach and landing, as well as abnormal and emergency operations (see Attachment 2 of this appendix);
(3) Control checks (see Attachment 1 and Attachment 2 of this appendix);
(4) Flight deck configuration (see Attachment 1 of this appendix);
(5) Pilot, flight engineer, and instructor station functions checks (see Attachment 1 and Attachment 3 of this appendix);
(6) Airplane systems and sub-systems (as appropriate) as compared to the airplane simulated (see Attachment 1 and Attachment 3 of this appendix);
(7) FTD systems and sub-systems, including force cueing (motion), visual, and aural (sound) systems, as appropriate (see Attachment 1 and Attachment 2 of this appendix); and
(8) Certain additional requirements, depending upon the qualification level sought, including equipment or circumstances that may become hazardous to the occupants. The sponsor may be subject to Occupational Safety and Health Administration requirements.
o. The responsible Flight Standards office administers the objective and subjective tests, which includes an examination of functions. The tests include a qualitative assessment of the FTD by a pilot from the responsible Flight Standards office. The evaluation team leader may assign other qualified personnel to assist in accomplishing the functions examination and/or the objective and subjective tests performed during an evaluation when required.
(1) Objective tests provide a basis for measuring and evaluating FTD performance and determining compliance with the requirements of this part.
(2) Subjective tests provide a basis for:
(a) Evaluating the capability of the FTD to perform over a typical utilization period;
(b) Determining that the FTD satisfactorily simulates each required task;
(c) Verifying correct operation of the FTD controls, instruments, and systems; and
(d) Demonstrating compliance with the requirements of this part.
p. The tolerances for the test parameters listed in Attachment 2 of this appendix reflect the range of tolerances acceptable to the responsible Flight Standards office for FTD validation and are not to be confused with design tolerances specified for FTD manufacture. In making decisions regarding tests and test results, the responsible Flight Standards office relies on the use of operational and engineering judgment in the application of data (including consideration of the way in which the flight test was flown and way the data was gathered and applied), data presentations, and the applicable tolerances for each test.
q. In addition to the scheduled continuing qualification evaluation, each FTD is subject to evaluations conducted by the responsible Flight Standards office at any time without prior notification to the sponsor. Such evaluations would be accomplished in a normal manner (i.e., requiring exclusive use of the FTD for the conduct of objective and subjective tests and an examination of functions) if the FTD is not being used for flight crewmember training, testing, or checking. However, if the FTD were being used, the evaluation would be conducted in a non-exclusive manner. This non-exclusive evaluation will be conducted by the FTD evaluator accompanying the check airman, instructor, Aircrew Program Designee (APD), or FAA inspector aboard the FTD along with the student(s) and observing the operation of the FTD during the training, testing, or checking activities.
r. Problems with objective test results are handled as follows:
(1) If a problem with an objective test result is detected by the evaluation team during an evaluation, the test may be repeated or the QTG may be amended.
(2) If it is determined that the results of an objective test do not support the qualification level requested but do support a lower level, the responsible Flight Standards office may qualify the FTD at a lower level. For example, if a Level 6 evaluation is requested, but the FTD fails to meet the spiral stability test tolerances, it could be qualified at Level 5.
s. After an FTD is successfully evaluated, the responsible Flight Standards office issues an SOQ to the sponsor, the responsible Flight Standards office recommends the FTD to the TPAA, who will approve the FTD for use in a flight training program. The SOQ will be issued at the satisfactory conclusion of the initial or continuing qualification evaluation and will list the tasks for which the FTD is qualified, referencing the tasks described in Table B1B in Attachment 1 of this appendix. However, it is the sponsor's responsibility to obtain TPAA approval prior to using the FTD in an FAA-approved flight training program.
t. Under normal circumstances, the responsible Flight Standards office establishes a date for the initial or upgrade evaluation within ten (10) working days after determining that a complete QTG is acceptable. Unusual circumstances may warrant establishing an evaluation date before this determination is made. A sponsor may schedule an evaluation date as early as 6 months in advance. However, there may be a delay of 45 days or more in rescheduling and completing the evaluation if the sponsor is unable to meet the scheduled date. See Attachment 4, Figure B4A, Sample Request for Initial, Upgrade, or Reinstatement Evaluation, of this appendix.
u. The numbering system used for objective test results in the QTG should closely follow the numbering system set out in Attachment 2, FTD Objective Tests, Table B2A, of this appendix.
v. Contact the responsible Flight Standards office for additional information regarding the preferred qualifications of pilots used to meet the requirements of § 60.15(d).
w. Examples of the exclusions for which the FTD might not have been subjectively tested by the sponsor or the responsible Flight Standards office and for which qualification might not be sought or granted, as described in § 60.15(g)(6), include engine out maneuvers or circling approaches.
No additional regulatory or informational material applies to § 60.16, Additional Qualifications for a Currently Qualified FTD.
a. In instances where a sponsor plans to remove an FTD from active status for a period of less than two years, the following procedures apply:
(1) The responsible Flight Standards office must be notified in writing and the notification must include an estimate of the period that the FTD will be inactive;
(2) Continuing Qualification evaluations will not be scheduled during the inactive period;
(3) The responsible Flight Standards office will remove the FTD from the list of qualified FTDs on a mutually established date not later than the date on which the first missed continuing qualification evaluation would have been scheduled;
(4) Before the FTD is restored to qualified status, it must be evaluated by the responsible Flight Standards office. The evaluation content and the time required to accomplish the evaluation is based on the number of continuing qualification evaluations and sponsor-conducted quarterly inspections missed during the period of inactivity.
(5) The sponsor must notify the responsible Flight Standards office of any changes to the original scheduled time out of service;
b. FTDs qualified prior to May 31, 2016, and replacement FTD systems, are not required to meet the general FTD requirements, the objective test requirements, and the subjective test requirements of Attachments 1, 2, and 3 of this appendix as long as the FTD continues to meet the test requirements contained in the MQTG developed under the original qualification basis.
c. [Reserved]
d. FTDs qualified prior to May 31, 2016, may be updated. If an evaluation is deemed appropriate or necessary by the responsible Flight Standards office after such an update, the evaluation will not require an evaluation to standards beyond those against which the FTD was originally qualified.
e. Other certificate holders or persons desiring to use an FTD may contract with FTD sponsors to use FTDs previously qualified at a particular level for an airplane type and approved for use within an FAA-approved flight training program. Such FTDs are not required to undergo an additional qualification process, except as described in § 60.16.
f. Each FTD user must obtain approval from the appropriate TPAA to use any FTD in an FAA-approved flight training program.
g. The intent of the requirement listed in § 60.17(b), for each FTD to have an SOQ within 6 years, is to have the availability of that statement (including the configuration list and the limitations to authorizations) to provide a complete picture of the FTD inventory regulated by the FAA. The issuance of the statement will not require any additional evaluation or require any adjustment to the evaluation basis for the FTD.
h. Downgrading of an FTD is a permanent change in qualification level and will necessitate the issuance of a revised SOQ to reflect the revised qualification level, as appropriate. If a temporary restriction is placed on an FTD because of a missing, malfunctioning, or inoperative component or on-going repairs, the restriction is not a permanent change in qualification level. Instead, the restriction is temporary and is removed when the reason for the restriction has been resolved.
i. The responsible Flight Standards office will determine the evaluation criteria for an FTD that has been removed from active status for a prolonged period. The criteria will be based on the number of continuing qualification evaluations and quarterly inspections missed during the period of inactivity. For example, if the FTD were out of service for a 1 year period, it would be necessary to complete the entire QTG, since all of the quarterly evaluations would have been missed. The responsible Flight Standards office will also consider how the FTD was stored, whether parts were removed from the FTD and whether the FTD was disassembled.
j. The FTD will normally be requalified using the FAA-approved MQTG and the criteria that was in effect prior to its removal from qualification. However, inactive periods of 2 years or more will require re-qualification under the standards in effect and current at the time of requalification.
a. The sponsor must conduct a minimum of four evenly spaced inspections throughout the year. The objective test sequence and content of each inspection in this sequence must be developed by the sponsor and must be acceptable to the responsible Flight Standards office.
b. The description of the functional preflight check must be contained in the sponsor's QMS.
c. Record “functional preflight” in the FTD discrepancy log book or other acceptable location, including any item found to be missing, malfunctioning, or inoperative.
d. During the continuing qualification evaluation conducted by the responsible Flight Standards office, the sponsor must also provide a person knowledgeable about the operation of the aircraft and the operation of the FTD.
e. The sponsor's test sequence and the content of each quarterly inspection required in § 60.19(a)(1) should include a balance and a mix from the objective test requirement areas listed as follows:
(1) Performance.
(2) Handling qualities.
(3) Motion system (where appropriate).
(4) Visual system (where appropriate).
(5) Sound system (where appropriate).
(6) Other FTD systems.
f. If the evaluator plans to accomplish specific tests during a normal continuing qualification evaluation that requires the use of special equipment or technicians, the sponsor will be notified as far in advance of the evaluation as practical; but not less than 72 hours. Examples of such tests include latencies, control sweeps, or motion or visual system tests.
g. The continuing qualification evaluations described in § 60.19(b) will normally require 4 hours of FTD time. However, flexibility is necessary to address abnormal situations or situations involving aircraft with additional levels of complexity (e.g., computer controlled aircraft). The sponsor should anticipate that some tests may require additional time. The continuing qualification evaluations will consist of the following:
(1) Review of the results of the quarterly inspections conducted by the sponsor since the last scheduled continuing qualification evaluation.
(2) A selection of approximately 8 to 15 objective tests from the MQTG that provide an adequate opportunity to evaluate the performance of the FTD. The tests chosen will be performed either automatically or manually and should be able to be conducted within approximately one-third (1/3) of the allotted FTD time.
(3) A subjective evaluation of the FTD to perform a representative sampling of the tasks set out in attachment 3 of this appendix. This portion of the evaluation should take approximately two-thirds (2/3) of the allotted FTD time.
(4) An examination of the functions of the FTD may include the motion system, visual system, sound system as applicable, instructor operating station, and the normal functions and simulated malfunctions of the airplane systems. This examination is normally accomplished simultaneously with the subjective evaluation requirements.
h. The requirement established in § 60.19(b)(4) regarding the frequency of responsible Flight Standards office-conducted continuing qualification evaluations for each FTD is typically 12 months. However, the establishment and satisfactory implementation of an approved QMS for a sponsor will provide a basis for adjusting the frequency of evaluations to exceed 12-month intervals.
No additional regulatory or informational material applies to § 60.20. Logging FTD Discrepancies.
No additional regulatory or informational material applies to § 60.21, Interim Qualification of FTDs for New Airplane Types or Models.
a. The notification described in § 60.23(c)(2) must include a complete description of the planned modification, with a description of the operational and engineering effect the proposed modification will have on the operation of the FTD and the results that are expected with the modification incorporated.
b. Prior to using the modified FTD:
(1) All the applicable objective tests completed with the modification incorporated, including any necessary updates to the MQTG (e.g., accomplishment of FSTD Directives) must be acceptable to the responsible Flight Standards office; and
(2) The sponsor must provide the responsible Flight Standards office with a statement signed by the MR that the factors listed in § 60.15(b) are addressed by the appropriate personnel as described in that section.
c. FSTD Directives are considered modification of an FTD. See Attachment 4 of this appendix for a sample index of effective FSTD Directives.
a. The sponsor's responsibility with respect to § 60.25(a) is satisfied when the sponsor fairly and accurately advises the user of the current status of an FTD, including any missing, malfunctioning, or inoperative (MMI) component(s).
b. It is the responsibility of the instructor, check airman, or representative of the administrator conducting training, testing, or checking to exercise reasonable and prudent judgment to determine if any MMI component is necessary for the satisfactory completion of a specific maneuver, procedure, or task.
c. If the 29th or 30th day of the 30-day period described in 60.25(b) is on a Saturday, a Sunday, or a holiday, the FAA will extend the deadline until the next business day.
d. In accordance with the authorization described in § 60.25(b), the sponsor may develop a discrepancy prioritizing system to accomplish repairs based on the level of impact on the capability of the FTD. Repairs having a larger impact on the FTD's ability to provide the required training, evaluation, or flight experience will have a higher priority for repair or replacement.
If the sponsor provides a plan for how the FTD will be maintained during its out-of-service period (e.g., periodic exercise of mechanical, hydraulic, and electrical systems; routine replacement of hydraulic fluid; control of the environmental factors in which the FTD is to be maintained) there is a greater likelihood that the responsible Flight Standards office will be able to determine the amount of testing that required for requalification.
If the sponsor provides a plan for how the FTD will be maintained during its out-of-service period (e.g., periodic exercise of mechanical, hydraulic, and electrical systems; routine replacement of hydraulic fluid; control of the environmental factors in which the FTD is to be maintained) there is a greater likelihood that the responsible Flight Standards office will be able to determine the amount of testing that required for requalification.
a. FTD modifications can include hardware or software changes. For FTD modifications involving software programming changes, the record required by § 60.31(a)(2) must consist of the name of the aircraft system software, aerodynamic model, or engine model change, the date of the change, a summary of the change, and the reason for the change.
b. If a coded form for record keeping is used, it must provide for the preservation and retrieval of information with appropriate security or controls to prevent the inappropriate alteration of such records after the fact.
a. The following is a general description of each level of FTD. Detailed standards and tests for the various levels of FTDs are fully defined in Attachments 1 through 3 of this appendix.
(1) Level 4. A device that may have an open airplane-specific flight deck area, or an enclosed airplane-specific flight deck and at least one operating system. Air/ground logic is required (no aerodynamic programming required). All displays may be flat/LCD panel representations or actual representations of displays in the aircraft. All controls, switches, and knobs may be touch sensitive activation (not capable of manual manipulation of the flight controls) or may physically replicate the aircraft in control operation.
(2) Level 5. A device that may have an open airplane-specific flight deck area, or an enclosed airplane-specific flight deck; generic aerodynamic programming; at least one operating system; and control loading that is representative of the simulated airplane only at an approach speed and configuration. All displays may be flat/LCD panel representations or actual representations of displays in the aircraft. Primary and secondary flight controls (e.g., rudder, aileron, elevator, flaps, spoilers/speed brakes, engine controls, landing gear, nosewheel steering, trim, brakes) must be physical controls. All other controls, switches, and knobs may be touch sensitive activation.
(3) Level 6. A device that has an enclosed airplane-specific flight deck; airplane-specific aerodynamic programming; all applicable airplane systems operating; control loading that is representative of the simulated airplane throughout its ground and flight envelope; and significant sound representation. All displays may be flat/LCD panel representations or actual representations of displays in the aircraft, but all controls, switches, and knobs must physically replicate the aircraft in control operation.
(4) Level 7. A Level 7 device is one that has an enclosed airplane-specific flight deck and aerodynamic program with all applicable airplane systems operating and control loading that is representative of the simulated airplane throughout its ground and flight envelope and significant sound representation. All displays may be flat/LCD panel representations or actual representations of displays in the aircraft, but all controls, switches, and knobs must physically replicate the aircraft in control operation. It also has a visual system that provides an out-of-the-flight deck view, providing cross-flight deck viewing (for both pilots simultaneously) of a field-of-view of at least 180° horizontally and 40° vertically.
No additional regulatory or informational material applies to § 60.37, FTD Qualification on the Basis of a Bilateral Aviation Safety Agreement (BASA).
a. Certain requirements included in this appendix must be supported with an SOC as defined in Appendix F, which may include objective and subjective tests. The requirements for SOCs are indicated in the “General FTD Requirements” column in Table B1A of this appendix.
b. Table B1A describes the requirements for the indicated level of FTD. Many devices include operational systems or functions that exceed the requirements outlined in this section. In any event, all systems will be tested and evaluated in accordance with this appendix to ensure proper operation.
a. This attachment describes the general requirements for qualifying Level 4 through Level 6 FTDs. The sponsor should also consult the objectives tests in Attachment 2 of this appendix and the examination of functions and subjective tests listed in Attachment 3 of this appendix to determine the complete requirements for a specific level FTD.
b. The material contained in this attachment is divided into the following categories:
(1) General Flight deck Configuration.
(2) Programming.
(3) Equipment Operation.
(4) Equipment and facilities for instructor/evaluator functions.
(5) Motion System.
(6) Visual System.
(7) Sound System.
c. Table B1A provides the standards for the General FTD Requirements.
d. Table B1B provides the tasks that the sponsor will examine to determine whether the FTD satisfactorily meets the requirements for flight crew training, testing, and experience, and provides the tasks for which the simulator may be qualified.
e. Table B1C provides the functions that an instructor/check airman must be able to control in the simulator.
f. It is not required that all of the tasks that appear on the List of Qualified Tasks (part of the SOQ) be accomplished during the initial or continuing qualification evaluation.
Table B1C—Table of FTD System Tasks QPS requirements
| QPS Requirements | Information | ||||
|---|---|---|---|---|---|
| Entry No. | Subjective Requirements
In order to be qualified at the FTD qualification level indicated, the FTD must be able to perform at least the tasks associated with that level of qualification. | FTD level | Notes | ||
| 4 | 5 | 6 | |||
| 1.a. | Power switch(es) | X | X | X | |
| 1.b. | Airplane conditions | A | X | X | e.g., GW, CG, Fuel loading, Systems, Ground Crew. |
| 1.c. | Airports/Runways | X | X | X | e.g., Selection and Presets; Surface and Lighting controls if equipped with a visual system. |
| 1.d. | Environmental controls | X | X | X | e.g., Temp, Wind. |
| 1.e. | Airplane system malfunctions (Insertion/deletion) | A | X | X | |
| 1.f. | Locks, Freezes, and Repositioning | X | X | X | |
| 1.g. | Sound Controls. (On/off/adjustment) | X | X | X | |
| 1.h. | Motion/Control Loading System, as appropriate. On/off/emergency stop | A | A | A | |
| 2.a. | Position/Adjustment/Positive restraint system | X | X | X | |
a. For the purposes of this attachment, the flight conditions specified in the Flight Conditions Column of Table B2A, are defined as follows:
(1) Ground—on ground, independent of airplane configuration;
(2) Take-off—gear down with flaps/slats in any certified takeoff position;
(3) First segment climb—gear down with flaps/slats in any certified takeoff position (normally not above 50 ft AGL);
(4) Second segment climb—gear up with flaps/slats in any certified takeoff position (normally between 50 ft and 400 ft AGL);
(5) Clean—flaps/slats retracted and gear up;
(6) Cruise—clean configuration at cruise altitude and airspeed;
(7) Approach—gear up or down with flaps/slats at any normal approach position as recommended by the airplane manufacturer; and
(8) Landing—gear down with flaps/slats in any certified landing position.
b. The format for numbering the objective tests in Appendix A, Attachment 2, Table A2A, and the objective tests in Appendix B, Attachment 2, Table B2A, is identical. However, each test required for FFSs is not necessarily required for FTDs. Also, each test required for FTDs is not necessarily required for FFSs. Therefore, when a test number (or series of numbers) is not required, the term “Reserved” is used in the table at that location. Following this numbering format provides a degree of commonality between the two tables and substantially reduces the potential for confusion when referring to objective test numbers for either FFSs or FTDs.
c. The reader is encouraged to review the Airplane Flight Simulator Evaluation Handbook, Volumes I and II, published by the Royal Aeronautical Society, London, UK, and FAA AC 25-7, as amended, Flight Test Guide for Certification of Transport Category Airplanes, and AC 23-8, as amended, Flight Test Guide for Certification of Part 23 Airplanes, for references and examples regarding flight testing requirements and techniques.
d. If relevant winds are present in the objective data, the wind vector should be clearly noted as part of the data presentation, expressed in conventional terminology, and related to the runway being used for the test.
e. A Level 4 FTD does not require objective tests and therefore, Level 4 is not addressed in the following table.
a. The ground and flight tests required for qualification are listed in Table B2A Objective Tests. Computer generated FTD test results must be provided for each test except where an alternate test is specifically authorized by the responsible Flight Standards office. If a flight condition or operating condition is required for the test but does not apply to the airplane being simulated or to the qualification level sought, it may be disregarded (e.g., an engine out missed approach for a single-engine airplane; a maneuver using reverse thrust for an airplane without reverse thrust capability). Each test result is compared against the validation data described in § 60.13, and in Appendix B. The results must be produced on an appropriate recording device acceptable to the responsible Flight Standards office and must include FTD number, date, time, conditions, tolerances, and appropriate dependent variables portrayed in comparison to the validation data. Time histories are required unless otherwise indicated in Table B2A. All results must be labeled using the tolerances and units given.
b. Table B2A in this attachment sets out the test results required, including the parameters, tolerances, and flight conditions for FTD validation. Tolerances are provided for the listed tests because mathematical modeling and acquisition and development of reference data are often inexact. All tolerances listed in the following tables are applied to FTD performance. When two tolerance values are given for a parameter, the less restrictive may be used unless otherwise indicated. In those cases where a tolerance is expressed only as a percentage, the tolerance percentage applies to the maximum value of that parameter within its normal operating range as measured from the neutral or zero position unless otherwise indicated.
c. Certain tests included in this attachment must be supported with a SOC. In Table B2A, requirements for SOCs are indicated in the “Test Details” column.
d. When operational or engineering judgment is used in making assessments for flight test data applications for FTD validity, such judgment may not be limited to a single parameter. For example, data that exhibit rapid variations of the measured parameters may require interpolations or a “best fit” data section. All relevant parameters related to a given maneuver or flight condition must be provided to allow overall interpretation. When it is difficult or impossible to match FTD to airplane data throughout a time history, differences must be justified by providing a comparison of other related variables for the condition being assessed.
e. It is not acceptable to program the FTD so that the mathematical modeling is correct only at the validation test points. Unless otherwise noted, FTD tests must represent airplane performance and handling qualities at operating weights and centers of gravity (CG) typical of normal operation. FTD tests at extreme weight or CG conditions may be acceptable where required for concurrent aircraft certification testing. Tests of handling qualities must include validation of augmentation devices.
f. When comparing the parameters listed to those of the airplane, sufficient data must also be provided to verify the correct flight condition and airplane configuration changes. For example, to show that control force is within the parameters for a static stability test, data to show the correct airspeed, power, thrust or torque, airplane configuration, altitude, and other appropriate datum identification parameters must also be given. If comparing short period dynamics, normal acceleration may be used to establish a match to the airplane, but airspeed, altitude, control input, airplane configuration, and other appropriate data must also be given. If comparing landing gear change dynamics, pitch, airspeed, and altitude may be used to establish a match to the airplane, but landing gear position must also be provided. All airspeed values must be properly annotated (e.g., indicated versus calibrated). In addition, the same variables must be used for comparison (e.g., compare inches to inches rather than inches to centimeters).
g. The QTG provided by the sponsor must clearly describe how the FTD will be set up and operated for each test. Each FTD subsystem may be tested independently, but overall integrated testing of the FTD must be accomplished to assure that the total FTD system meets the prescribed standards. A manual test procedure with explicit and detailed steps for completing each test must also be provided.
h. For previously qualified FTDs, the tests and tolerances of this attachment may be used in subsequent continuing qualification evaluations for any given test if the sponsor has submitted a proposed MQTG revision to the responsible Flight Standards office and has received responsible Flight Standards office approval.
i. FTDs are evaluated and qualified with an engine model simulating the airplane data supplier's flight test engine. For qualification of alternative engine models (either variations of the flight test engines or other manufacturer's engines) additional tests with the alternative engine models may be required. This attachment contains guidelines for alternative engines.
j. Testing Computer Controlled Aircraft (CCA) simulators, or other highly augmented airplane simulators, flight test data is required for the Normal (N) and/or Non-normal (NN) control states, as indicated in this attachment. Where test results are independent of control state, Normal or Non-normal control data may be used. All tests in Table B2A require test results in the Normal control state unless specifically noted otherwise in the Test Details section following the CCA designation. The responsible Flight Standards office will determine what tests are appropriate for airplane simulation data. When making this determination, the responsible Flight Standards office may require other levels of control state degradation for specific airplane tests. Where Non-normal control states are required, test data must be provided for one or more Non-normal control states, and must include the least augmented state. Where applicable, flight test data must record Normal and Non-normal states for:
(1) Pilot controller deflections or electronically generated inputs, including location of input; and
(2) Flight control surface positions unless test results are not affected by, or are independent of, surface positions.
k. Tests of handling qualities must include validation of augmentation devices. FTDs for highly augmented airplanes will be validated both in the unaugmented configuration (or failure state with the maximum permitted degradation in handling qualities) and the augmented configuration. Where various levels of handling qualities result from failure states, validation of the effect of the failure is necessary. Requirements for testing will be mutually agreed to between the sponsor and the responsible Flight Standards office on a case-by-case basis.
l. Some tests will not be required for airplanes using airplane hardware in the FTD flight deck (e.g., “side stick controller”). These exceptions are noted in Section 2 “Handling Qualities” in Table B2A of this attachment. However, in these cases, the sponsor must provide a statement that the airplane hardware meets the appropriate manufacturer's specifications and the sponsor must have supporting information to that fact available for responsible Flight Standards office review.
m. For objective test purposes, see Appendix F of this part for the definitions of “Near maximum,” “Light,” and “Medium” gross weight.
n. In those cases where the objective test results authorize a “snapshot test” or a “series of snapshot test results” in lieu of a time-history result, the sponsor or other data provider must ensure that a steady state condition exists at the instant of time captured by the “snapshot.” The steady state condition must exist from 4 seconds prior to, through 1 second following, the instant of time captured by the snap shot.
o. Refer to AC 120-27, “Aircraft Weight and Balance” and FAA-H-8083-1, “Aircraft Weight and Balance Handbook” for more information.
• Control Dynamics, paragraph 4.
• Motion System, paragraph 6.
• Sound System, paragraph 7.
• Engineering Simulator Validation Data, paragraph 9.
• Validation Test Tolerances, paragraph 11.
• Validation Data Road Map, paragraph 12.
• Acceptance Guidelines for Alternative Engines Data, paragraph 13.
• Acceptance Guidelines for Alternative Avionics, paragraph 14.
• Transport Delay Testing, paragraph 15.
• Continuing Qualification Evaluation Validation Data Presentation, paragraph 16.
a. This paragraph (including the following tables) is relevant only to FTD Level 5. It is provided because this level is required to simulate the performance and handling characteristics of a set of airplanes with similar characteristics, such as normal airspeed/altitude operating envelope and the same number and type of propulsion systems (engines).
b. Tables B2B through B2E reflect FTD performance standards that are acceptable to the FAA. A sponsor must demonstrate that a device performs within these parameters, as applicable. If a device does not meet the established performance parameters for some or for all of the applicable tests listed in Tables B2B through B2E, the sponsor may use FAA accepted flight test data for comparison purposes for those tests.
c. Sponsors using the data from Tables B2B through B2E must comply with the following:
(1) Submit a complete QTG, including results from all of the objective tests appropriate for the level of qualification sought as set out in Table B2A. The QTG must highlight those results that demonstrate the performance of the FTD is within the allowable performance ranges indicated in Tables B2B through B2E, as appropriate.
(2) The QTG test results must include all relevant information concerning the conditions under which the test was conducted; e.g., gross weight, center of gravity, airspeed, power setting, altitude (climbing, descending, or level), temperature, configuration, and any other parameter that impacts the conduct of the test.
(3) The test results become the validation data against which the initial and all subsequent continuing qualification evaluations are compared. These subsequent evaluations will use the tolerances listed in Table B2A.
(4) Subjective testing of the device must be performed to determine that the device performs and handles like an airplane within the appropriate set of airplanes.
d. The reader is encouraged to consult the Airplane Flight Simulator Evaluation Handbook, Volumes I and II, published by the Royal Aeronautical Society, London, UK, and AC 25-7, Flight Test Guide for Certification of Transport Category Airplanes, and AC 23-8A, Flight Test Guide for Certification of Part 23 Airplanes, as amended, for references and examples regarding flight testing requirements and techniques.
a. Sponsors are not required to use the alternative data sources, procedures, and instrumentation. However, a sponsor may choose to use one or more of the alternative sources, procedures, and instrumentation described in Table B2F.
b. It has become standard practice for experienced FTD manufacturers to use such techniques as a means of establishing data bases for new FTD configurations while awaiting the availability of actual flight test data; and then comparing this new data with the newly available flight test data. The results of such comparisons have, as reported by some recognized and experienced simulation experts, become increasingly consistent and indicate that these techniques, applied with appropriate experience, are becoming dependably accurate for the development of aerodynamic models for use in Level 6 FTDs.
c. In reviewing this history, the responsible Flight Standards office has concluded that, with proper care, those who are experienced in the development of aerodynamic models for FTD application can successfully use these modeling techniques to acceptably alter the method by which flight test data may be acquired and, when applied to Level 6 FTDs, does not compromise the quality of that simulation.
d. The information in the table that follows (Table of Alternative Data Sources, Procedures, and Information: Level 6 FTD Only) is presented to describe an acceptable alternative to data sources for Level 6 FTD modeling and validation, and an acceptable alternative to the procedures and instrumentation found in the flight test methods traditionally accepted for gathering modeling and validation data.
(1) Alternative data sources that may be used for part or all of a data requirement are the Airplane Maintenance Manual, the Airplane Flight Manual (AFM), Airplane Design Data, the Type Inspection Report (TIR), Certification Data or acceptable supplemental flight test data.
(2) The responsible Flight Standards office recommends that use of the alternative instrumentation noted in Table B2F be coordinated with the responsible Flight Standards office prior to employment in a flight test or data gathering effort.
e. The responsible Flight Standards office position regarding the use of these alternative data sources, procedures, and instrumentation is based on three primary preconditions and presumptions regarding the objective data and FTD aerodynamic program modeling.
(1) Data gathered through the alternative means does not require angle of attack (AOA) measurements or control surface position measurements for any flight test. AOA can be sufficiently derived if the flight test program insures the collection of acceptable level, unaccelerated, trimmed flight data. Angle of attack may be validated by conducting the three basic “fly-by” trim tests. The FTD time history tests should begin in level, unaccelerated, and trimmed flight, and the results should be compared with the flight test pitch angle.
(2) A simulation controls system model should be rigorously defined and fully mature. It should also include accurate gearing and cable stretch characteristics (where applicable) that are determined from actual aircraft measurements. Such a model does not require control surface position measurements in the flight test objective data for Level 6 FTD applications.
f. Table B2F is not applicable to Computer Controlled Aircraft FTDs.
g. Utilization of these alternate data sources, procedures, and instrumentation does not relieve the sponsor from compliance with the balance of the information contained in this document relative to Level 6 FTDs.
h. The term “inertial measurement system” allows the use of a functional global positioning system (GPS).
Table B2F—Alternative Data Sources, Procedures, and Instrumentation Level 6 FTD
| QPS Requirements
The standards in this table are required if the data gathering methods described in paragraph 9 of Appendix B are not used. | Information
| |
|---|---|---|
| Objective test reference number and title | Alternative data sources, procedures, and instrumentation | Notes |
| 1.b.1.
Performance. Takeoff. Ground acceleration time. | Data may be acquired through a synchronized video recording of a stop watch and the calibrated airplane airspeed indicator. Hand-record the flight conditions and airplane configuration | This test is required only if RTO is sought. |
| 1.b.7.
Performance. Takeoff. Rejected takeoff. | Data may be acquired through a synchronized video recording of a stop watch and the calibrated airplane airspeed indicator. Hand-record the flight conditions and airplane configuration | This test is required only if RTO is sought. |
| 1.c.1.
Performance. Climb. Normal climb all engines operating. | Data may be acquired with a synchronized video of calibrated airplane instruments and engine power throughout the climb range | |
| 1.f.1.
Performance. Engines. Acceleration | Data may be acquired with a synchronized video recording of engine instruments and throttle position | |
| 1.f.2.
Performance. Engines. Deceleration | Data may be acquired with a synchronized video recording of engine instruments and throttle position | |
| Surface position data may be acquired from flight data recorder (FDR) sensor or, if no FDR sensor, at selected, significant column positions (encompassing significant column position data points), acceptable to the responsible Flight Standards office, using a control surface protractor on the ground. Force data may be acquired by using a hand held force gauge at the same column position data points. | For airplanes with reversible control systems, surface position data acquisition should be accomplished with winds less than 5 kts. | |
| Surface position data may be acquired from flight data recorder (FDR) sensor or, if no FDR sensor, at selected, significant wheel positions (encompassing significant wheel position data points), acceptable to the responsible Flight Standards office, using a control surface protractor on the ground. Force data may be acquired by using a hand held force gauge at the same wheel position data points. | For airplanes with reversible control systems, surface position data acquisition should be accomplished with winds less than 5 kts. | |
| Surface position data may be acquired from flight data recorder (FDR) sensor or, if no FDR sensor, at selected, significant rudder pedal positions (encompassing significant rudder pedal position data points), acceptable to the responsible Flight Standards office, using a control surface protractor on the ground. Force data may be acquired by using a hand held force gauge at the same rudder pedal position data points. | For airplanes with reversible control systems, surface position data acquisition should be accomplished with winds less than 5 kts. | |
| 2.a.4.
Handling qualities. Static control tests. Nosewheel steering force. | Breakout data may be acquired with a hand held force gauge. The remainder of the force to the stops may be calculated if the force gauge and a protractor are used to measure force after breakout for at least 25% of the total displacement capability | |
| 2.a.5.
Handling qualities. Static control tests. Rudder pedal steering calibration. | Data may be acquired through the use of force pads on the rudder pedals and a pedal position measurement device, together with design data for nosewheel position | |
| 2.a.6.
Handling qualities. Static control tests. Pitch trim indicator vs. surface position calibration. | Data may be acquired through calculations | |
| 2.a.8.
Handling qualities. Static control tests. Alignment of power lever angle vs. selected engine parameter (e.g., EPR, N | Data may be acquired through the use of a temporary throttle quadrant scale to document throttle position. Use a synchronized video to record steady state instrument readings or hand-record steady state engine performance readings | |
| 2.a.9.
Handling qualities. Static control tests. Brake pedal position vs. force. | Use of design or predicted data is acceptable. Data may be acquired by measuring deflection at “zero” and at “maximum.” | |
| 2.c.1.
Handling qualities. Longitudinal control tests. Power change force. | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments, throttle position, and the force/position measurements of flight deck controls | Power change dynamics test is acceptable using the same data acquisition methodology. |
| 2.c.2.
Handling qualities. Longitudinal control tests. Flap/slat change force. | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated airplane instruments, flap/slat position, and the force/position measurements of flight deck controls | Flap/slat change dynamics test is acceptable using the same data acquisition methodology. |
| 2.c.4.
Handling qualities. Longitudinal control tests. Gear change force. | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments, gear position, and the force/position measurements of flight deck controls | Gear change dynamics test is acceptable using the same data acquisition methodology. |
| 2.c.5.
Handling qualities. Longitudinal control tests. Longitudinal trim. | Data may be acquired through use of an inertial measurement system and a synchronized video of flight deck controls position (previously calibrated to show related surface position) and engine instrument readings | |
| 2.c.6.
Handling qualities. Longitudinal control tests. Longitudinal maneuvering stability (stick force/g). | Data may be acquired through the use of an inertial measurement system and a synchronized video of the calibrated airplane instruments; a temporary, high resolution bank angle scale affixed to the attitude indicator; and a wheel and column force measurement indication | |
| 2.c.7.
Handling qualities. Longitudinal control tests. Longitudinal static stability | Data may be acquired through the use of a synchronized video of the airplane flight instruments and a hand held force gauge | |
| 2.c.8.
Handling qualities. Longitudinal control tests. Stall Warning (activation of stall warning device). | Data may be acquired through a synchronized video recording of a stop watch and the calibrated airplane airspeed indicator. Hand-record the flight conditions and airplane configuration | Airspeeds may be cross checked with those in the TIR and AFM. |
| 2.c.9.a.
Handling qualities. Longitudinal control tests. Phugoid dynamics. | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments and the force/position measurements of flight deck controls | |
| 2.c.10.
Handling qualities. Longitudinal control tests. Short period dynamics. | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments and the force/position measurements of flight deck controls | |
| 2.c.11.
Handling qualities. Longitudinal control tests. Gear and flap/slat operating times. | May use design data, production flight test schedule, or maintenance specification, together with an SOC | |
| 2.d.2.
Handling qualities. Lateral directional tests. Roll response (rate). | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments and the force/position measurements of flight deck lateral controls | |
| 2.d.3.
Handling qualities. Lateral directional tests. (a) Roll overshoot. OR (b) Roll response to flight deck roll controller step input. | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments and the force/position measurements of flight deck lateral controls | |
| 2.d.4.
Handling qualities. Lateral directional tests. Spiral stability. | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments; the force/position measurements of flight deck controls; and a stop watch | |
| 2.d.6.a.
Handling qualities. Lateral directional tests. Rudder response. | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments; the force/position measurements of rudder pedals | |
| 2.d.7.
Handling qualities. Lateral directional tests. Dutch roll, (yaw damper OFF). | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments and the force/position measurements of flight deck controls | |
| 2.d.8.
Handling qualities. Lateral directional tests. Steady state sideslip. | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated airplane instruments and the force/position measurements of flight deck controls | |
a. The subjective tests provide a basis for evaluating the capability of the FTD to perform over a typical utilization period. The items listed in the Table of Functions and Subjective Tests are used to determine whether the FTD competently simulates each required maneuver, procedure, or task; and verifying correct operation of the FTD controls, instruments, and systems. The tasks do not limit or exceed the authorizations for use of a given level of FTD as described on the SOQ or as approved by the TPAA. All items in the following paragraphs are subject to examination.
b. All simulated airplane systems functions will be assessed for normal and, where appropriate, alternate operations. Simulated airplane systems are listed separately under “Any Flight Phase” to ensure appropriate attention to systems checks. Operational navigation systems (including inertial navigation systems, global positioning systems, or other long-range systems) and the associated electronic display systems will be evaluated if installed. The pilot will include in his report to the TPAA, the effect of the system operation and any system limitation.
c. At the request of the TPAA, the Pilot may assess the FTD for a special aspect of a sponsor's training program during the functions and subjective portion of an evaluation. Such an assessment may include a portion of a specific operation (e.g., a Line Oriented Flight Training (LOFT) scenario) or special emphasis items in the sponsor's training program. Unless directly related to a requirement for the qualification level, the results of such an evaluation would not affect the qualification of the FTD.
Table B3A—Table of Functions and Subjective Tests Level 6 FTD
| QPS requirements | |
|---|---|
| Entry No. | Operations tasks |
| Tasks in this table are subject to evaluation if appropriate for the airplane system or systems simulated as indicated in the SOQ Configuration List as defined in Appendix B, Attachment 2 of this part. | |
| Accomplish a functions check of all installed switches, indicators, systems, and equipment at all crewmembers' and instructors' stations, and determine that the flight deck (or flight deck area) design and functions replicate the appropriate airplane. | |
| 2.a. | Engine start: |
| 2.a.1. | Normal start. |
| 2.a.2. | Alternative procedures start. |
| 2.a.3. | Abnormal procedures start/shut down. |
| 2.b. | Pushback/Powerback (powerback requires visual system). |
| 3.a. | Instrument takeoff: |
| 3.a.1. | Engine checks (e.g., engine parameter relationships, propeller/mixture controls). |
| 3.a.2. | Acceleration characteristics. |
| 3.a.3. | Nosewheel/rudder steering. |
| 3.a.4. | Landing gear, wing flap, leading edge device operation. |
| 3.b. | Rejected takeoff: |
| 3.b.1. | Deceleration characteristics. |
| 3.b.2. | Brakes/engine reverser/ground spoiler operation. |
| 3.b.3. | Nosewheel/rudder steering. |
| 4.a. | Normal climb. |
| 4.b. | Cruise: |
| 4.b.1. | Demonstration of performance characteristics (speed vs. power). |
| 4.b.2. | Normal turns. |
| 4.b.3. | Demonstration of high altitude handling. |
| 4.b.4. | Demonstration of high airspeed handling/overspeed warning. |
| 4.b.5. | Demonstration of Mach effects on control and trim. |
| 4.b.6. | Steep turns. |
| 4.b.7. | In-Flight engine shutdown (procedures only). |
| 4.b.8. | In-Flight engine restart (procedures only). |
| 4.b.9. | Specific flight characteristics. |
| 4.b.10. | Response to loss of flight control power. |
| 4.b.11. | Response to other flight control system failure modes. |
| 4.b.12. | Operations during icing conditions. |
| 4.b.13. | Effects of airframe/engine icing. |
| 4.c. | Other flight phase: |
| 4.c.1. | Approach to stalls in the following configurations: |
| 4.c.1.a. | Cruise. |
| 4.c.1.b. | Takeoff or approach. |
| 4.c.1.c. | Landing. |
| 4.c.2. | High angle of attack maneuvers in the following configurations: |
| 4.c.2.a. | Cruise. |
| 4.c.2.b. | Takeoff or approach. |
| 4.c.2.c. | Landing. |
| 4.c.3. | Slow flight. |
| 4.c.4. | Holding. |
| 5.a. | Non-precision Instrument Approaches: |
| 5.a.1. | With use of autopilot and autothrottle, as applicable. |
| 5.a.2. | Without use of autopilot and autothrottle, as applicable. |
| 5.a.3. | With 10 knot tail wind. |
| 5.a.4. | With 10 knot crosswind. |
| 5.b. | Precision Instrument Approaches: |
| 5.b.1. | With use of autopilot, autothrottle, and autoland, as applicable. |
| 5.b.2. | Without use of autopilot, autothrottle, and autoland, as applicable. |
| 5.b.3. | With 10 knot tail wind. |
| 5.b.4. | With 10 knot crosswind. |
| 6.a. | Manually controlled. |
| 6.b. | Automatically controlled (if applicable). |
| 7.a. | Normal system operation (installed systems). |
| 7.b. | Abnormal/Emergency system operation (installed systems). |
| 7.c. | Flap operation. |
| 7.d. | Landing gear operation. |
| 7.e. | Engine Shutdown and Parking. |
| 7.e.1. | Systems operation. |
| 7.e.2. | Parking brake operation. |
| 8.a. | Power Switch(es). |
| 8.b. | Airplane conditions. |
| 8.b.1. | Gross weight, center of gravity, and fuel loading and allocation. |
| 8.b.2. | Airplane systems status. |
| 8.b.3. | Ground crew functions (e.g., external power, push back). |
| 8.c. | Airports. |
| 8.c.1. | Selection. |
| 8.c.2. | Runway selection. |
| 8.c.3. | Preset positions (e.g., ramp, over FAF). |
| 8.d. | Environmental controls. |
| 8.d.1. | Temperature. |
| 8.d.2. | Climate conditions (e.g., ice, rain). |
| 8.d.3. | Wind speed and direction. |
| 8.e. | Airplane system malfunctions. |
| 8.e.1. | Insertion/deletion. |
| 8.e.2. | Problem clear. |
| 8.f. | Locks, Freezes, and Repositioning. |
| 8.f.1. | Problem (all) freeze/release. |
| 8.f.2. | Position (geographic) freeze/release. |
| 8.f.3. | Repositioning (locations, freezes, and releases). |
| 8.f.4. | Ground speed control. |
| 8.f.5. | Remote IOS, if installed. |
| 11.a. | Position. |
| 11.b. | Adjustments. |
Table B3B—Table of Functions and Subjective Tests Level 5 FTD
| QPS requirements | |
|---|---|
| Entry No. | Operations tasks
Tasks in this table are subject to evaluation if appropriate for the airplane system or systems simulated as indicated in the SOQ Configuration List as defined in Appendix B, Attachment 2 of this part. |
| Accomplish a functions check of all installed switches, indicators, systems, and equipment at all crewmembers' and instructors' stations, and determine that the flight deck (or flight deck area) design and functions replicate the appropriate airplane. | |
| 2.a. | Engine start (if installed): |
| 2.a.1. | Normal start. |
| 2.a.2. | Alternative procedures start. |
| 2.a.3. | Abnormal/Emergency procedures start/shut down. |
| 3.a. | Normal climb. |
| 3.b. | Cruise: |
| 3.b.1. | Performance characteristics (speed vs. power). |
| 3.b.2. | Normal turns. |
| 3.c. | Normal descent. |
| 4.a. | Coupled instrument approach maneuvers (as applicable for the systems installed). |
| 5.a. | Normal system operation (Installed systems). |
| 5.b. | Abnormal/Emergency system operation (Installed systems). |
| 5.c. | Flap operation. |
| 5.d. | Landing gear operation |
| 5.e. | Engine Shutdown and Parking (if installed). |
| 5.e.1. | Systems operation. |
| 5.e.2. | Parking brake operation. |
| 6.a. | Power Switch(es). |
| 6.b. | Preset positions—ground, air. |
| 6.c. | Airplane system malfunctions (Installed systems). |
| 6.c.1. | Insertion/deletion. |
| 6.c.2. | Problem clear. |
This appendix establishes the standards for Helicopter FFS evaluation and qualification. The Flight Standards Service is responsible for the development, application, and implementation of the standards contained within this appendix. The procedures and criteria specified in this appendix will be used by the responsible Flight Standards office when conducting helicopter FFS evaluations.
a. This appendix contains background information as well as regulatory and informative material as described later in this section. To assist the reader in determining what areas are required and what areas are permissive, the text in this appendix is divided into two sections: “QPS Requirements” and “Information.” The QPS Requirements sections contain details regarding compliance with the part 60 rule language. These details are regulatory, but are found only in this appendix. The Information sections contain material that is advisory in nature, and designed to give the user general information about the regulation.
b. [Reserved]
c. The responsible Flight Standards office encourages the use of electronic media for all communication, including any record, report, request, test, or statement required by this appendix. The electronic media used must have adequate security provisions and be acceptable to the responsible Flight Standards office.
d. Related Reading References.
(1) 14 CFR part 60.
(2) 14 CFR part 61.
(3) 14 CFR part 63.
(4) 14 CFR part 119.
(5) 14 CFR part 121.
(6) 14 CFR part 125.
(7) 14 CFR part 135.
(8) 14 CFR part 141.
(9) 14 CFR part 142.
(10) AC 120-35, as amended, Flightcrew Member Line Operational Simulations: Line-Oriented Flight Training, Special Purpose Operational Training, Line Operational Evaluation.
(11) AC 120-57, as amended, Surface Movement Guidance and Control System (SMGCS).
(12) AC 120-63, as amended, Helicopter Simulator Qualification.
(13) AC 150/5300-13, as amended, Airport Design.
(14) AC 150/5340-1, as amended, Standards for Airport Markings.
(15) AC 150/5340-4, as amended, Installation Details for Runway Centerline Touchdown Zone Lighting Systems.
(16) AC 150/5340-19, as amended, Taxiway Centerline Lighting System.
(17) AC 150/5340-24, as amended, Runway and Taxiway Edge Lighting System.
(18) AC 150/5345-28, as amended, Precision Approach Path Indicator (PAPI) Systems
(19) AC 150/5390-2, as amended, Heliport Design
(20) International Air Transport Association document, “Flight Simulator Design and Performance Data Requirements,” as amended.
(21) AC 29-2, as amended, Flight Test Guide for Certification of Transport Category Rotorcraft.
(22) AC 27-1, as amended, Flight Test Guide for Certification of Normal Category Rotorcraft.
(23) International Civil Aviation Organization (ICAO) Manual of Criteria for the Qualification of Flight Simulators, as amended.
(24) Airplane Flight Simulator Evaluation Handbook, Volume I, as amended and Volume II, as amended, The Royal Aeronautical Society, London, UK.
(25) FAA Airman Certification Standards and Practical Test Standards for Airline Transport Pilot, Type Ratings, Commercial Pilot, and Instrument Ratings.
(26) The FAA Aeronautical Information Manual (AIM). An electronic version of the AIM is on the Internet at http://www.faa.gov/atpubs.
(27) Aeronautical Radio, Inc. (ARINC) document number 436, titled Guidelines For Electronic Qualification Test Guide (as amended).
(28) Aeronautical Radio, Inc. (ARINC) document 610, Guidance for Design and Integration of Aircraft Avionics Equipment in Simulators (as amended).
No additional regulatory or informational material applies to § 60.1, Applicability, or to § 60.2, Applicability of sponsor rules to person who are not sponsors and who are engaged in certain unauthorized activities.
See Appendix F of this part for a list of definitions and abbreviations from part 1 and part 60, including the appropriate appendices of part 60.
No additional regulatory or informational material applies to § 60.4, Qualification Performance Standards.
See Appendix E of this part for additional regulatory and informational material regarding Quality Management Systems.
a. The intent of the language in § 60.7(b) is to have a specific FFS, identified by the sponsor, used at least once in an FAA-approved flight training program for the helicopter simulated during the 12-month period described. The identification of the specific FFS may change from one 12-month period to the next 12-month period as long as that sponsor sponsors and uses at least one FFS at least once during the prescribed period. There is no minimum number of hours or minimum FFS periods required.
b. The following examples describe acceptable operational practices:
(1) Example One.
(a) A sponsor is sponsoring a single, specific FFS for its own use, in its own facility or elsewhere—this single FFS forms the basis for the sponsorship. The sponsor uses that FFS at least once in each 12-month period in that sponsor's FAA-approved flight training program for the helicopter simulated. This 12-month period is established according to the following schedule:
(i) If the FFS was qualified prior to May 30, 2008, the 12-month period begins on the date of the first continuing qualification evaluation conducted in accordance with § 60.19 after May 30, 2008, and continues for each subsequent 12-month period;
(ii) A device qualified on or after May 30, 2008, will be required to undergo an initial or upgrade evaluation in accordance with § 60.15. Once the initial or upgrade evaluation is complete, the first continuing qualification evaluation will be conducted within 6 months. The 12 month continuing qualification evaluation cycle begins on that date and continues for each subsequent 12-month period.
(b) There is no minimum number of hours of FFS use required.
(c) The identification of the specific FFS may change from one 12-month period to the next 12-month period as long as that sponsor sponsors and uses at least one FFS at least once during the prescribed period.
(2) Example Two.
(a) A sponsor sponsors an additional number of FFSs, in its facility or elsewhere. Each additionally sponsored FFS must be—
(i) Used by the sponsor in the sponsor's FAA-approved flight training program for the helicopter simulated (as described in § 60.7(d)(1)); or
(ii) Used by another FAA certificate holder in that other certificate holder's FAA-approved flight training program for the helicopter simulated (as described in § 60.7(d)(1)). This 12-month period is established in the same manner as in example one; or
(iii) Provided a statement each year from a qualified pilot, (after having flown the helicopter, not the subject FFS or another FFS, during the preceding 12-month period) stating that the subject FFS's performance and handling qualities represent the helicopter (as described in § 60.7(d)(2)). This statement is provided at least once in each 12-month period established in the same manner as in example one.
(b) There is no minimum number of hours of FFS use required.
(3) Example Three.
(a) A sponsor in New York (in this example, a Part 142 certificate holder) establishes “satellite” training centers in Chicago and Moscow.
(b) The satellite function means that the Chicago and Moscow centers must operate under the New York center's certificate (in accordance with all of the New York center's practices, procedures, and policies; e.g., instructor and/or technician training/checking requirements, record keeping, QMS program).
(c) All of the FFSs in the Chicago and Moscow centers could be dry-leased (i.e., the certificate holder does not have and use FAA-approved flight training programs for the FFSs in the Chicago and Moscow centers) because—
(i) Each FFS in the Chicago center and each FFS in the Moscow center is used at least once each 12-month period by another FAA certificate holder in that other certificate holder's FAA-approved flight training program for the helicopter (as described in § 60.7(d)(1)); OR
(ii) A statement is obtained from a qualified pilot (having flown the helicopter, not the subject FFS or another FFS during the preceding 12-month period) stating that the performance and handling qualities of each FFS in the Chicago and Moscow centers represents the helicopter (as described in § 60.7(d)(2)).
7. Additional Responsibilities of the Sponsor (§ 60.9).
The phrase “as soon as practicable” in § 60.9(a) means without unnecessarily disrupting or delaying beyond a reasonable time the training, evaluation, or experience being conducted in the FFS.
No additional regulatory or informational material applies to § 60.11, FFS Use.
a. Flight test data used to validate FFS performance and handling qualities must have been gathered in accordance with a flight test program containing the following:
(1) A flight test plan consisting of:
(a) The maneuvers and procedures required for aircraft certification and simulation programming and validation
(b) For each maneuver or procedure—
(i) The procedures and control input the flight test pilot and/or engineer used.
(ii) The atmospheric and environmental conditions.
(iii) The initial flight conditions.
(iv) The helicopter configuration, including weight and center of gravity.
(v) The data to be gathered.
(vi) All other information necessary to recreate the flight test conditions in the FFS.
(2) Appropriately qualified flight test personnel.
(3) An understanding of the accuracy of the data to be gathered using appropriate alternative data sources, procedures, and instrumentation that is traceable to a recognized standard as described in Attachment 2, Table C2D of this appendix.
(4) Appropriate and sufficient data acquisition equipment or system(s), including appropriate data reduction and analysis methods and techniques, acceptable to the FAA's Aircraft Certification Service.
b. The data, regardless of source, must be presented:
(1) In a format that supports the FFS validation process;
(2) In a manner that is clearly readable and annotated correctly and completely;
(3) With resolution sufficient to determine compliance with the tolerances set forth in Attachment 2, Table C2A of this appendix.
(4) With any necessary instructions or other details provided, such as Stability Augmentation System (SAS) or throttle position; and
(5) Without alteration, adjustments, or bias. Data may be corrected to address known data calibration errors provided that an explanation of the methods used to correct the errors appears in the QTG. The corrected data may be re-scaled, digitized, or otherwise manipulated to fit the desired presentation.
c. After completion of any additional flight test, a flight test report must be submitted in support of the validation data. The report must contain sufficient data and rationale to support qualification of the FFS at the level requested.
d. As required by § 60.13(f), the sponsor must notify the responsible Flight Standards office when it becomes aware that an addition to, an amendment to, or a revision of data that may relate to FFS performance or handling characteristics is available. The data referred to in this paragraph is data used to validate the performance, handling qualities, or other characteristics of the aircraft, including data related to any relevant changes occurring after the type certificate was issued. The sponsor must—
(1) Within 10 calendar days, notify the responsible Flight Standards office of the existence of this data; and
(2) Within 45 calendar days, notify the responsible Flight Standards office of—
(a) The schedule to incorporate this data into the FFS; or
(b) The reason for not incorporating this data into the FFS.
e. In those cases where the objective test results authorize a “snapshot test” or a “series of snapshot test results” in lieu of a time-history result, the sponsor or other data provider must ensure that a steady state condition exists at the instant of time captured by the “snapshot.” The steady state condition must exist from 4 seconds prior to, through 1 second following, the instant of time captured by the snap shot.
f. The FFS sponsor is encouraged to maintain a liaison with the manufacturer of the aircraft being simulated (or with the holder of the aircraft type certificate for the aircraft being simulated if the manufacturer is no longer in business), and, if appropriate, with the person who supplied the aircraft data package for the FFS in order to facilitate the notification required by § 60.13(f).
g. It is the intent of the responsible Flight Standards office that for new aircraft entering service, at a point well in advance of preparation of the QTG, the sponsor should submit to the responsible Flight Standards office for approval, a descriptive document (see Table C2D, Sample Validation Data Roadmap for Helicopters) containing the plan for acquiring the validation data, including data sources. This document should clearly identify sources of data for all required tests, a description of the validity of these data for a specific engine type and thrust rating configuration, and the revision levels of all avionics affecting the performance or flying qualities of the aircraft. Additionally, this document should provide other information, such as the rationale or explanation for cases where data or data parameters are missing, instances where engineering simulation data are used or where flight test methods require further explanations. It should also provide a brief narrative describing the cause and effect of any deviation from data requirements. The aircraft manufacturer may provide this document.
h. There is no requirement for any flight test data supplier to submit a flight test plan or program prior to gathering flight test data. However, the responsible Flight Standards office notes that inexperienced data gatherers often provide data that is irrelevant, improperly marked, or lacking adequate justification for selection. Other problems include inadequate information regarding initial conditions or test maneuvers. The responsible Flight Standards office has been forced to refuse these data submissions as validation data for an FFS evaluation. It is for this reason that the responsible Flight Standards office recommends that any data supplier not previously experienced in this area review the data necessary for programming and for validating the performance of the FFS, and discuss the flight test plan anticipated for acquiring such data with the responsible Flight Standards office well in advance of commencing the flight tests.
i. The responsible Flight Standards office will consider, on a case-by-case basis, whether to approve supplemental validation data derived from flight data recording systems such as a Quick Access Recorder or Flight Data Recorder.
a. In the event that the responsible Flight Standards office determines that special equipment or specifically qualified persons will be required to conduct an evaluation, the responsible Flight Standards office will make every attempt to notify the sponsor at least one (1) week, but in no case less than 72 hours, in advance of the evaluation. Examples of special equipment include spot photometers, flight control measurement devices, and sound analyzers. Examples of specially qualified personnel include individuals specifically qualified to install or use any special equipment when its use is required.
b. Examples of a special evaluation include an evaluation conducted after an FFS is moved, at the request of the TPAA, or as a result of comments received from users of the FFS that raise questions about the continued qualification or use of the FFS.
a. In order to be qualified at a particular qualification level, the FFS must:
(1) Meet the general requirements listed in Attachment 1 of this appendix;
(2) Meet the objective testing requirements listed in Attachment 2 of this appendix; and
(3) Satisfactorily accomplish the subjective tests listed in Attachment 3 of this appendix.
b. The request described in § 60.15(a) must include all of the following:
(1) A statement that the FFS meets all of the applicable provisions of this part and all applicable provisions of the QPS.
(2) A confirmation that the sponsor will forward to the responsible Flight Standards office the statement described in § 60.15(b) in such time as to be received no later than 5 business days prior to the scheduled evaluation and may be forwarded to the responsible Flight Standards office via traditional or electronic means.
(3) A QTG, acceptable to the responsible Flight Standards office, that includes all of the following:
(a) Objective data obtained from aircraft testing or another approved source.
(b) Correlating objective test results obtained from the performance of the FFS as prescribed in the appropriate QPS.
(c) The result of FFS subjective tests prescribed in the appropriate QPS.
(d) A description of the equipment necessary to perform the evaluation for initial qualification and the continuing qualification evaluations.
c. The QTG described in paragraph (a)(3) of this section, must provide the documented proof of compliance with the simulator objective tests in Attachment 2, Table C2A of this appendix.
d. The QTG is prepared and submitted by the sponsor, or the sponsor's agent on behalf of the sponsor, to the responsible Flight Standards office for review and approval, and must include, for each objective test:
(1) Parameters, tolerances, and flight conditions.
(2) Pertinent and complete instructions for the conduct of automatic and manual tests.
(3) A means of comparing the FFS test results to the objective data.
(4) Any other information as necessary, to assist in the evaluation of the test results.
(5) Other information appropriate to the qualification level of the FFS.
e. The QTG described in paragraphs (a)(3) and (b) of this section, must include the following:
(1) A QTG cover page with sponsor and FAA approval signature blocks (see Attachment 4, Figure C4C, of this appendix, for a sample QTG cover page).
(2) A continuing qualification evaluation schedule requirements page. This page will be used by the responsible Flight Standards office to establish and record the frequency with which continuing qualification evaluations must be conducted and any subsequent changes that may be determined by the responsible Flight Standards office in accordance with § 60.19. See Attachment 4 of this appendix, Figure C4G, for a sample Continuing Qualification Evaluation Requirements page.
(3) An FFS information page that provides the information listed in this paragraph (see Attachment 4, Figure C4B, of this appendix for a sample FFS information page). For convertible FFSs, the sponsor must submit a separate page for each configuration of the FFS.
(a) The sponsor's FFS identification number or code.
(b) The helicopter model and series being simulated.
(c) The aerodynamic data revision number or reference.
(d) The source of the basic aerodynamic model and the aerodynamic coefficient data used to modify the basic model.
(e) The engine model(s) and its data revision number or reference.
(f) The flight control data revision number or reference.
(g) The flight management system identification and revision level.
(h) The FFS model and manufacturer.
(i) The date of FFS manufacture.
(j) The FFS computer identification.
(k) The visual system model and manufacturer, including display type.
(l) The motion system type and manufacturer, including degrees of freedom.
(4) A Table of Contents.
(5) A log of revisions and a list of effective pages.
(6) List of all relevant data references.
(7) A glossary of terms and symbols used (including sign conventions and units).
(8) Statements of compliance and capability (SOCs) with certain requirements.
(9) Recording procedures or equipment required to accomplish the objective tests.
(10) The following information for each objective test designated in Attachment 2 of this appendix, Table C2A, as applicable to the qualification level sought:
(a) Name of the test.
(b) Objective of the test.
(c) Initial conditions.
(d) Manual test procedures.
(e) Automatic test procedures (if applicable).
(f) Method for evaluating FFS objective test results.
(g) List of all relevant parameters driven or constrained during the automatically conducted test(s).
(h) List of all relevant parameters driven or constrained during the manually conducted test(s).
(i) Tolerances for relevant parameters.
(j) Source of Validation Data (document and page number).
(k) Copy of the Validation Data (if located in a separate binder, a cross reference for the identification and page number for pertinent data location must be provided).
(l) Simulator Objective Test Results as obtained by the sponsor. Each test result must reflect the date completed and must be clearly labeled as a product of the device being tested.
f. A convertible FFS is addressed as a separate FFS for each model and series helicopter to which it will be converted and for the FAA qualification level sought. If a sponsor seeks qualification for two or more models of a helicopter type using a convertible FFS, the sponsor must submit a QTG for each helicopter model, or a QTG for the first helicopter model and a supplement to that QTG for each additional helicopter model. The responsible Flight Standards office will conduct evaluations for each helicopter model.
g. Form and manner of presentation of objective test results in the QTG:
(1) The sponsor's FFS test results must be recorded in a manner acceptable to the responsible Flight Standards office, that allows easy comparison of the FFS test results to the validation data (e.g., use of a multi-channel recorder, line printer, cross plotting, overlays, transparencies).
(2) FFS results must be labeled using terminology common to helicopter parameters as opposed to computer software identifications.
(3) Validation data documents included in a QTG may be photographically reduced only if such reduction will not alter the graphic scaling or cause difficulties in scale interpretation or resolution.
(4) Scaling on graphical presentations must provide the resolution necessary to evaluate the parameters shown in Attachment 2, Table C2A of this appendix.
(5) Tests involving time histories, data sheets (or transparencies thereof) and FFS test results must be clearly marked with appropriate reference points to ensure an accurate comparison between the FFS and the helicopter with respect to time. Time histories recorded via a line printer are to be clearly identified for cross plotting on the helicopter data. Over-plots must not obscure the reference data.
h. The sponsor may elect to complete the QTG objective and subjective tests at the manufacturer's facility or at the sponsor's training facility. If the tests are conducted at the manufacturer's facility, the sponsor must repeat at least one-third of the tests at the sponsor's training facility in order to substantiate FFS performance. The QTG must be clearly annotated to indicate when and where each test was accomplished. Tests conducted at the manufacturer's facility and at the sponsor's training facility must be conducted after the FFS is assembled with systems and sub-systems functional and operating in an interactive manner. The test results must be submitted to the responsible Flight Standards office.
i. The sponsor must maintain a copy of the MQTG at the FFS location.
j. All FFSs for which the initial qualification is conducted after May 30, 2014, must have an electronic MQTG (eMQTG) including all objective data obtained from helicopter testing, or another approved source (reformatted or digitized), together with correlating objective test results obtained from the performance of the FFS (reformatted or digitized) as prescribed in this appendix. The eMQTG must also contain the general FFS performance or demonstration results (reformatted or digitized) prescribed in this appendix, and a description of the equipment necessary to perform the initial qualification evaluation and the continuing qualification evaluations. The eMQTG must include the original validation data used to validate FFS performance and handling qualities in either the original digitized format from the data supplier or an electronic scan of the original time-history plots that were provided by the data supplier. A copy of the eMQTG must be provided to the responsible Flight Standards office.
k. All other FFSs not covered in subparagraph “j” must have an electronic copy of the MQTG by May 30, 2014. An electronic copy of the MQTG must be provided to the responsible Flight Standards office. This may be provided by an electronic scan presented in a Portable Document File (PDF), or similar format acceptable to the responsible Flight Standards office.
l. During the initial (or upgrade) qualification evaluation conducted by the responsible Flight Standards office, the sponsor must also provide a person who is a user of the device (e.g., a qualified pilot or instructor pilot with flight time experience in that aircraft) and knowledgeable about the operation of the aircraft and the operation of the FFS.
m. Only those FFSs that are sponsored by a certificate holder as defined in Appendix F of this part will be evaluated by the responsible Flight Standards office. However, other FFS evaluations may be conducted on a case-by-case basis as the Administrator deems appropriate, but only in accordance with applicable agreements.
n. The responsible Flight Standards office will conduct an evaluation for each configuration, and each FFS must be evaluated as completely as possible. To ensure a thorough and uniform evaluation, each FFS is subjected to the general simulator requirements in Attachment 1 of this appendix, the objective tests listed in Attachment 2 of this appendix, and the subjective tests listed in Attachment 3 of this appendix. The evaluations described herein will include, but not necessarily be limited to the following:
(1) Helicopter responses, including longitudinal and lateral-directional control responses (see Attachment 2 of this appendix).
(2) Performance in authorized portions of the simulated helicopter's operating envelope, to include tasks evaluated by the responsible Flight Standards office in the areas of surface operations, takeoff, climb, cruise, descent, approach, and landing as well as abnormal and emergency operations (see Attachment 2 of this appendix).
(3) Control checks (see Attachment 1 and Attachment 2 of this appendix).
(4) Flight deck configuration (see Attachment 1 of this appendix).
(5) Pilot, flight engineer, and instructor station functions checks (see Attachment 1 and Attachment 3 of this appendix).
(6) Helicopter systems and sub-systems (as appropriate) as compared to the helicopter simulated (see Attachment 1 and Attachment 3 of this appendix).
(7) FFS systems and sub-systems, including force cueing (motion), visual, and aural (sound) systems, as appropriate (see Attachment 1 and Attachment 2 of this appendix).
(8) Certain additional requirements, depending upon the qualification level sought, including equipment or circumstances that may become hazardous to the occupants. The sponsor may be subject to Occupational Safety and Health Administration requirements.
o. The responsible Flight Standards office administers the objective and subjective tests, which includes an examination of functions. The tests include a qualitative assessment of the FFS by a pilot from the responsible Flight Standards office. The evaluation team leader may assign other qualified personnel to assist in accomplishing the functions examination and/or the objective and subjective tests performed during an evaluation when required.
(1) Objective tests provide a basis for measuring and evaluating FFS performance and determining compliance with the requirements of this part.
(2) Subjective tests provide a basis for:
(a) Evaluating the capability of the FFS to perform over a typical utilization period;
(b) Determining that the FFS satisfactorily simulates each required task;
(c) Verifying correct operation of the FFS controls, instruments, and systems; and
(d) Demonstrating compliance with the requirements of this part.
p. The tolerances for the test parameters listed in Attachment 2 of this appendix reflect the range of tolerances acceptable to the responsible Flight Standards office for FFS validation and are not to be confused with design tolerances specified for FFS manufacture. In making decisions regarding tests and test results, the responsible Flight Standards office relies on the use of operational and engineering judgment in the application of data (including consideration of the way in which the flight test was flown and way the data was gathered and applied), data presentations, and the applicable tolerances for each test.
q. In addition to the scheduled continuing qualification evaluation, each FFS is subject to evaluations conducted by the responsible Flight Standards office at any time without prior notification to the sponsor. Such evaluations would be accomplished in a normal manner (i.e., requiring exclusive use of the FFS for the conduct of objective and subjective tests and an examination of functions) if the FFS is not being used for flight crewmember training, testing, or checking. However, if the FFS were being used, the evaluation would be conducted in a non-exclusive manner. This non-exclusive evaluation will be conducted by the FFS evaluator accompanying the check airman, instructor, Aircrew Program Designee (APD), or FAA inspector aboard the FFS along with the student(s) and observing the operation of the FFS during the training, testing, or checking activities.
r. Problems with objective test results are handled as follows:
(1) If a problem with an objective test result is detected by the evaluation team during an evaluation, the test may be repeated or the QTG may be amended.
(2) If it is determined that the results of an objective test do not support the level requested but do support a lower level, the responsible Flight Standards office may qualify the FFS at that lower level. For example, if a Level D evaluation is requested and the FFS fails to meet sound test tolerances, it could be qualified at Level C.
s. After an FFS is successfully evaluated, the responsible Flight Standards office issues a certificate of qualification (COQ) to the sponsor. The responsible Flight Standards office recommends the FFS to the TPAA, who will approve the FFS for use in a flight training program. The COQ will be issued at the satisfactory conclusion of the initial or continuing qualification evaluation and will list the tasks for which the FFS is qualified, referencing the tasks described in Table C1B in Attachment 1 of this appendix. However, it is the sponsor's responsibility to obtain TPAA approval prior to using the FFS in an FAA-approved flight training program.
t. Under normal circumstances, the responsible Flight Standards office establishes a date for the initial or upgrade evaluation within ten (10) working days after determining that a complete QTG is acceptable. Unusual circumstances may warrant establishing an evaluation date before this determination is made. A sponsor may schedule an evaluation date as early as 6 months in advance. However, there may be a delay of 45 days or more in rescheduling and completing the evaluation if the sponsor is unable to meet the scheduled date. See Attachment 4, of this appendix, Figure C4A, Sample Request for Initial, Upgrade, or Reinstatement Evaluation.
u. The numbering system used for objective test results in the QTG should closely follow the numbering system set out in Attachment 2, FFS Objective Tests, Table C2A of this appendix.
v. Contact the responsible Flight Standards office for additional information regarding the preferred qualifications of pilots used to meet the requirements of § 60.15(d).
w. Examples of the exclusions for which the FFS might not have been subjectively tested by the sponsor or the responsible Flight Standards office and for which qualification might not be sought or granted, as described in § 60.15(g)(6), include takeoffs and landing from slopes and pinnacles.
No additional regulatory or informational material applies to § 60.16, Additional Qualifications for a Currently Qualified FFS.
a. In instances where a sponsor plans to remove an FFS from active status for a period of less than two years, the following procedures apply:
(1) The responsible Flight Standards office must be notified in writing and the notification must include an estimate of the period that the FFS will be inactive.
(2) Continuing Qualification evaluations will not be scheduled during the inactive period.
(3) The responsible Flight Standards office will remove the FFS from the list of qualified FSTDs on a mutually established date not later than the date on which the first missed continuing qualification evaluation would have been scheduled.
(4) Before the FFS is restored to qualified status, it must be evaluated by the responsible Flight Standards office. The evaluation content and the time required to accomplish the evaluation is based on the number of continuing qualification evaluations and sponsor-conducted quarterly inspections missed during the period of inactivity.
(5) The sponsor must notify the responsible Flight Standards office of any changes to the original scheduled time out of service.
b. Simulators qualified prior to May 30, 2008, are not required to meet the general simulation requirements, the objective test requirements, and the subjective test requirements of attachments 1, 2, and 3, of this appendix as long as the simulator continues to meet the test requirements contained in the MQTG developed under the original qualification basis.
c. After May 30, 2009, each visual scene or airport model beyond the minimum required for the FFS qualification level that is installed in and available for use in a qualified FFS must meet the requirements described in Attachment 3 of this appendix.
d. Simulators qualified prior to May 30, 2008, may be updated. If an evaluation is deemed appropriate or necessary by the responsible Flight Standards office after such an update, the evaluation will not require an evaluation to standards beyond those against which the simulator was originally qualified.
e. Other certificate holders or persons desiring to use an FFS may contract with FFS sponsors to use FFSs previously qualified at a particular level for a helicopter type and approved for use within an FAA-approved flight training program. Such FFSs are not required to undergo an additional qualification process, except as described in § 60.16.
f. Each FFS user must obtain approval from the appropriate TPAA to use any FFS in an FAA-approved flight training program.
g. The intent of the requirement listed in § 60.17(b), for each FFS to have an SOQ within 6 years, is to have the availability of that statement (including the configuration list and the limitations to authorizations) to provide a complete picture of the FFS inventory regulated by the FAA. The issuance of the statement will not require any additional evaluation or require any adjustment to the evaluation basis for the FFS.
h. Downgrading of an FFS is a permanent change in qualification level and will necessitate the issuance of a revised SOQ to reflect the revised qualification level, as appropriate. If a temporary restriction is placed on an FFS because of a missing, malfunctioning, or inoperative component or on-going repairs, the restriction is not a permanent change in qualification level. Instead, the restriction is temporary and is removed when the reason for the restriction has been resolved.
i. The responsible Flight Standards office will determine the evaluation criteria for an FFS that has been removed from active status. The criteria will be based on the number of continuing qualification evaluations and quarterly inspections missed during the period of inactivity. For example, if the FFS were out of service for a 1 year period, it would be necessary to complete the entire QTG, since all of the quarterly evaluations would have been missed. The responsible Flight Standards office will also consider how the FFS was stored, whether parts were removed from the FFS and whether the FFS was disassembled.
j. The FFS will normally be requalified using the FAA-approved MQTG and the criteria that was in effect prior to its removal from qualification. However, inactive periods of 2 years or more will require requalification under the standards in effect and current at the time of requalification.
a. The sponsor must conduct a minimum of four evenly spaced inspections throughout the year. The objective test sequence and content of each inspection must be developed by the sponsor and must be acceptable to the responsible Flight Standards office.
b. The description of the functional preflight check must be contained in the sponsor's QMS.
c. Record “functional preflight” in the FFS discrepancy log book or other acceptable location, including any item found to be missing, malfunctioning, or inoperative.
d. During the continuing qualification evaluation conducted by the responsible Flight Standards office, the sponsor must also provide a person knowledgeable about the operation of the aircraft and the operation of the FFS.
e. The responsible Flight Standards office will conduct continuing qualification evaluations every 12 months unless:
(1) The responsible Flight Standards office becomes aware of discrepancies or performance problems with the device that warrants more frequent evaluations; or
(2) The sponsor implements a QMS that justifies less frequent evaluations. However, in no case shall the frequency of a continuing qualification evaluation exceed 36 months.
f. The sponsor's test sequence and the content of each quarterly inspection required in § 60.19(a)(1) should include a balance and a mix from the objective test requirement areas listed as follows:
(1) Performance.
(2) Handling qualities.
(3) Motion system (where appropriate).
(4) Visual system (where appropriate).
(5) Sound system (where appropriate).
(6) Other FFS systems.
g. If the evaluator plans to accomplish specific tests during a normal continuing qualification evaluation that requires the use of special equipment or technicians, the sponsor will be notified as far in advance of the evaluation as practical; but not less than 72 hours. Examples of such tests include latencies, control dynamics, sounds and vibrations, motion, and/or some visual system tests.
h. The continuing qualification evaluations, described in § 60.19(b), will normally require 4 hours of FFS time. However, flexibility is necessary to address abnormal situations or situations involving aircraft with additional levels of complexity (e.g., computer controlled aircraft). The sponsor should anticipate that some tests may require additional time. The continuing qualification evaluations will consist of the following:
(1) Review of the results of the quarterly inspections conducted by the sponsor since the last scheduled continuing qualification evaluation.
(2) A selection of approximately 8 to 15 objective tests from the MQTG that provide an adequate opportunity to evaluate the performance of the FFS. The tests chosen will be performed either automatically or manually and should be able to be conducted within approximately one-third (1/3) of the allotted FFS time.
(3) A subjective evaluation of the FFS to perform a representative sampling of the tasks set out in attachment 3 of this appendix. This portion of the evaluation should take approximately two-thirds (2/3) of the allotted FFS time.
(4) An examination of the functions of the FFS may include the motion system, visual system, sound system, instructor operating station, and the normal functions and simulated malfunctions of the simulated helicopter systems. This examination is normally accomplished simultaneously with the subjective evaluation requirements.
No additional regulatory or informational material applies to § 60.20. Logging FFS Discrepancies.
No additional regulatory or informational material applies to § 60.21, Interim Qualification of FFSs for New Helicopter Types or Models.
a. The notification described in § 60.23(c)(2) must include a complete description of the planned modification, with a description of the operational and engineering effect the proposed modification will have on the operation of the FFS and the results that are expected with the modification incorporated.
b. Prior to using the modified FFS:
(1) All the applicable objective tests completed with the modification incorporated, including any necessary updates to the MQTG (e.g., accomplishment of FSTD Directives) must be acceptable to the responsible Flight Standards office; and
(2) The sponsor must provide the responsible Flight Standards office with a statement signed by the MR that the factors listed in § 60.15(b) are addressed by the appropriate personnel as described in that section.
(3) FSTD Directives are considered modifications of an FFS. See Attachment 4 of this appendix for a sample index of effective FSTD Directives. See Attachment 6 of this appendix for a list of all effective FSTD Directives applicable to Helicopter FFSs.
a. The sponsor's responsibility with respect to § 60.25(a) is satisfied when the sponsor fairly and accurately advises the user of the current status of an FFS, including any missing, malfunctioning, or inoperative (MMI) component(s).
b. It is the responsibility of the instructor, check airman, or representative of the administrator conducting training, testing, or checking to exercise reasonable and prudent judgment to determine if any MMI component is necessary for the satisfactory completion of a specific maneuver, procedure, or task.
c. If the 29th or 30th day of the 30-day period described in § 60.25(b) is on a Saturday, a Sunday, or a holiday, the FAA will extend the deadline until the next business day.
d. In accordance with the authorization described in § 60.25(b), the sponsor may develop a discrepancy prioritizing system to accomplish repairs based on the level of impact on the capability of the FFS. Repairs having a larger impact on FFS capability to provide the required training, evaluation, or flight experience will have a higher priority for repair or replacement.
If the sponsor provides a plan for how the FFS will be maintained during its out-of-service period (e.g., periodic exercise of mechanical, hydraulic, and electrical systems; routine replacement of hydraulic fluid; control of the environmental factors in which the FFS is to be maintained) there is a greater likelihood that the responsible Flight Standards office will be able to determine the amount of testing required for requalification.
If the sponsor provides a plan for how the FFS will be maintained during its out-of-service period (e.g., periodic exercise of mechanical, hydraulic, and electrical systems; routine replacement of hydraulic fluid; control of the environmental factors in which the FFS is to be maintained) there is a greater likelihood that the responsible Flight Standards office will be able to determine the amount of testing required for requalification.
a. FFS modifications can include hardware or software changes. For FFS modifications involving software programming changes, the record required by § 60.31(a)(2) must consist of the name of the aircraft system software, aerodynamic model, or engine model change, the date of the change, a summary of the change, and the reason for the change.
b. If a coded form for record keeping is used, it must provide for the preservation and retrieval of information with appropriate security or controls to prevent the inappropriate alteration of such records after the fact.
No additional regulatory or informational material applies to § 60.37, FFS Qualification on the Basis of a Bilateral Aviation Safety Agreement (BASA).
a. Certain requirements included in this appendix must be supported with an SOC as defined in Appendix F of this part, which may include objective and subjective tests. The requirements for SOCs are indicated in the “General Simulator Requirements” column in Table C1A of this appendix.
b. Table C1A describes the requirements for the indicated level of FFS. Many devices include operational systems or functions that exceed the requirements outlined in this section. However, all systems will be tested and evaluated in accordance with this appendix to ensure proper operation.
a. This attachment describes the general simulator requirements for qualifying a helicopter FFS. The sponsor should also consult the objective tests in Attachment 2 of this appendix and the examination of functions and subjective tests listed in Attachment 3 of this appendix to determine the complete requirements for a specific level simulator.
b. The material contained in this attachment is divided into the following categories:
(1) General flight deck configuration.
(2) Simulator programming.
(3) Equipment operation.
(4) Equipment and facilities for instructor/evaluator functions.
(5) Motion system.
(6) Visual system.
(7) Sound system.
c. Table C1A provides the standards for the General Simulator Requirements.
d. Table C1B provides the tasks that the sponsor will examine to determine whether the FFS satisfactorily meets the requirements for flight crew training, testing, and experience, and provides the tasks for which the simulator may be qualified.
e. Table C1C provides the functions that an instructor/check airman must be able to control in the simulator.
f. It is not required that all of the tasks that appear on the List of Qualified Tasks (part of the SOQ) be accomplished during the initial or continuing qualification evaluation.
g. Table C1A addresses only Levels B, C, and D helicopter simulators because there are no Level A Helicopter simulators.
Table C1A—Minimum Simulator Requirements
| Entry No. | QPS requirements | Simulator levels | Information | ||
|---|---|---|---|---|---|
| General simulator requirements | B | C | D | Notes | |
| 1.a. | The simulator must have a flight deck that is a replica of the helicopter being simulated
The simulator must have controls, equipment, observable flight deck indicators, circuit breakers, and bulkheads properly located, functionally accurate and replicating the helicopter. The direction of movement of controls and switches must be identical to that in the helicopter. Pilot seats must afford the capability for the occupant to be able to achieve the design “eye position” established for the helicopter being simulated. Equipment for the operation of the flight deck windows must be included, but the actual windows need not be operable. Fire axes, extinguishers, and spare light bulbs must be available in the FFS but may be relocated to a suitable location as near as practical to the original position. Fire axes, landing gear pins, and any similar purpose instruments need only be represented in silhouette | X | X | X | For simulator purposes, the flight deck consists of all that space forward of a cross section of the fuselage at the most extreme aft setting of the pilots' seats including additional, required flight crewmember duty stations and those required bulkheads aft of the pilot seats. For clarification, bulkheads containing only items such as landing gear pin storage compartments, fire axes and extinguishers, spare light bulbs, and aircraft documents pouches are not considered essential and may be omitted. |
| 1.b. | Those circuit breakers that affect procedures or result in observable flight deck indications must be properly located and functionally accurate | X | X | X | |
| 2.a. | A flight dynamics model that accounts for various combinations of air speed and power normally encountered in flight must correspond to actual flight conditions, including the effect of change in helicopter attitude, aerodynamic and propulsive forces and moments, altitude, temperature, mass, center of gravity location, and configuration
An SOC is required | X | X | X | |
| 2.b. | The simulator must have the computer capacity, accuracy, resolution, and dynamic response needed to meet the qualification level sought
An SOC is required | X | X | X | |
| 2.c. | Ground handling (where appropriate) and aerodynamic programming must include the following: | ||||
| 2.c.1. | Ground effect
Level B does not require hover programming An SOC is required | X | X | X | Applicable areas include flare and touch down from a running landing as well as for in-ground-effect (IGE) hover. A reasonable simulation of ground effect includes modeling of lift, drag, pitching moment, trim, and power while in ground effect. |
| 2.c.2. | Ground reaction
Level B does not require hover programming An SOC is required | X | X | X | Reaction of the helicopter upon contact with the landing surface during landing (e.g., strut deflection, tire or skid friction, side forces) may differ with changes in gross weight, airspeed, rate of descent on touchdown, and slide slip. |
| 2.d. | The simulator must provide for manual and automatic testing of simulator hardware and software programming to determine compliance with simulator objective tests as prescribed in Attachment 2 of this appendix
An SOC is required | X | X | This may include an automated system, which could be used for conducting at least a portion of the QTG tests. Automatic “flagging” of out-of-tolerance situations is encouraged. | |
| 2.e. | The relative responses of the motion system, visual system, and flight deck instruments must be measured by latency tests or transport delay tests. Motion onset must occur before the end of the scan of that video field. Instrument response may not occur prior to motion onset. Test results must be within the following limits: | The intent is to verify that the simulator provides instrument, motion, and visual cues that are like the helicopter responses within the stated time delays. It is preferable motion onset occur before the start of the visual scene change (the start of the scan of the first video field containing different information). For helicopter response, acceleration in the appropriate corresponding rotational axis is preferred. | |||
| 2.e.1. | Response must be within 150 milliseconds of the helicopter response | X | |||
| 2.e.2. | Response must be within 100 milliseconds of the helicopter response | X | X | ||
| 2.f. | The simulator must simulate brake and tire failure dynamics (including antiskid failure, if appropriate)
An SOC is required. | X | X | The simulator should represent the motion (in the appropriate axes) and the directional control characteristics of the helicopter when experiencing simulated brake or tire failures. | |
| 2.g. | The aerodynamic modeling in the simulator must include:
(1) Ground effect, (2) Effects of airframe and rotor icing (if applicable), (3) Aerodynamic interference effects between the rotor wake and fuselage, (4) Influence of the rotor on control and stabilization systems, (5) Representations of settling with power, and (6) Retreating blade stall. An SOC is required. | X | X | See Attachment 2 of this appendix for further information on ground effect. | |
| 2.h. | The simulator must provide for realistic mass properties, including gross weight, center of gravity, and moments of inertia as a function of payload and fuel loading
An SOC is required. | X | X | X | |
| 3.a. | All relevant instrument indications involved in the simulation of the helicopter must automatically respond to control movement or external disturbances to the simulated helicopter; e.g., turbulence or windshear. Numerical values must be presented in the appropriate units | X | X | X | |
| 3.b. | Communications, navigation, caution, and warning equipment must be installed and operate within the tolerances applicable for the helicopter being simulated | X | X | X | See Attachment 3 of this appendix for further information regarding long-range navigation equipment. |
| 3.c. | Simulated helicopter systems must operate as the helicopter systems operate under normal, abnormal, and emergency operating conditions on the ground and in flight | X | X | X | |
| 3.d. | The simulator must provide pilot controls with control forces and control travel that correspond to the simulated helicopter. The simulator must also react in the same manner as the helicopter under the same flight conditions | X | X | X | |
| 3.e. | Simulator control feel dynamics must replicate the helicopter simulated. This must be determined by comparing a recording of the control feel dynamics of the simulator to helicopter measurements. For initial and upgrade evaluations, the control dynamic characteristics must be measured and recorded directly from the flight deck controls, and must be accomplished in takeoff, cruise, and landing conditions and configurations | X | X | ||
| In addition to the flight crewmember stations, the simulator must have at least two suitable seats for the instructor/check airman and FAA inspector. These seats must provide adequate vision to the pilot's panel and forward windows. All seats other than flight crew seats need not represent those found in the helicopter but must be adequately secured to the floor and equipped with similar positive restraint devices | X | X | X | The responsible Flight Standards office will consider alternatives to this standard for additional seats based on unique flight deck configurations. | |
| 4.b. | The simulator must have controls that enable the instructor/evaluator to control all required system variables and insert all abnormal or emergency conditions into the simulated helicopter systems as described in the sponsor's FAA-approved training program, or as described in the relevant operating manual as appropriate | X | X | X | |
| 4.c. | The simulator must have instructor controls for all environmental effects expected to be available at the IOS; e.g., clouds, visibility, icing, precipitation, temperature, storm cells, and wind speed and direction | X | X | X | |
| 4.d. | The simulator must provide the instructor or evaluator the ability to present ground and air hazards | X | X | For example, another aircraft crossing the active runway and converging airborne traffic. | |
| 4.e. | The simulator must provide the instructor or evaluator the ability to present the effect of re-circulating dust, water vapor, or snow conditions that develop as a result of rotor downwash | X | X | This is a selectable condition that is not required for all operations on or near the surface. | |
| 5.a. | The simulator must have motion (force) cues perceptible to the pilot that are representative of the motion in a helicopter | X | X | X | For example, touchdown cues should be a function of the rate of descent (RoD) of the simulated helicopter. |
| 5.b. | The simulator must have a motion (force cueing) system with a minimum of three degrees of freedom (at least pitch, roll, and heave)
An SOC is required. | X | |||
| 5.c. | The simulator must have a motion (force cueing) system that produces cues at least equivalent to those of a six-degrees-of-freedom, synergistic platform motion system (i.e., pitch, roll, yaw, heave, sway, and surge)
An SOC is required. | X | X | ||
| 5.d. | The simulator must provide for the recording of the motion system response time
An SOC is required. | X | X | X | |
| 5.e. | The simulator must provide motion effects programming to include the following: | ||||
| (1) Runway rumble, oleo deflections, effects of ground speed, uneven runway, characteristics. | X | X | X | ||
| (2) Buffets due to transverse flow effects. | |||||
| (3) Buffet during extension and retraction of landing gear. | |||||
| (4) Buffet due to retreating blade stall. | |||||
| (5) Buffet due to vortex ring (settling with power). | |||||
| (6) Representative cues resulting from touchdown. | |||||
| (7) High speed rotor vibrations. | |||||
| (8) Tire failure dynamics | X | X | |||
| (9) Engine malfunction and engine damage | |||||
| (10) Airframe ground strike | |||||
| (11) Motion vibrations that result from atmospheric disturbances | X | For air turbulence, general purpose disturbance models are acceptable if, when used, they produce test results that approximate demonstrable flight test data. | |||
| 5.f. | The simulator must provide characteristic motion vibrations that result from operation of the helicopter (for example, retreating blade stall, extended landing gear, settling with power) in so far as vibration marks an event or helicopter state, which can be sensed in the flight deck | X | The simulator should be programmed and instrumented in such a manner that the characteristic buffet modes can be measured and compared to helicopter data. | ||
| Additional horizontal field-of-view capability may be added at the sponsor's discretion provided the minimum field-of-view is retained. | |||||
| 6.a. | The simulator must have a visual system providing an out-of-the-flight deck view | X | X | X | |
| 6.b. | The simulator must provide a continuous field-of-view of at least 75° horizontally and 30° vertically per pilot seat. Both pilot seat visual systems must be operable simultaneously. The minimum horizontal field-of-view coverage must be plus and minus one-half (
An SOC is required. | X | |||
| 6.c. | The simulator must provide a continuous visual field-of-view of at least 146° horizontally and 36° vertically per pilot seat. Both pilot seat visual systems must be operable simultaneously. Horizontal field-of-view is centered on the zero degree azimuth line relative to the aircraft fuselage. The minimum horizontal field-of-view coverage must be plus and minus one-half (
An SOC is required. | X | Optimization of the vertical field-of-view may be considered with respect to the specific helicopter flight deck cut-off angle. The sponsor may request the responsible Flight Standards office to evaluate the FFS for specific authorization(s) for the following:
(1) Specific areas within the database needing higher resolution to support landings, take-offs and ground cushion exercises and training away from a heliport, including elevated heliport, helidecks and confined areas. (2) For cross-country flights, sufficient scene details to allow for ground to map navigation over a sector length equal to 30 minutes at an average cruise speed. (3) For offshore airborne radar approaches (ARA), harmonized visual/radar representations of installations. | ||
| 6.d. | The simulator must provide a continuous visual field-of-view of at least 176° horizontally and 56° vertically per pilot seat. Both pilot seat visual systems must be operable simultaneously. Horizontal field-of-view is centered on the zero degree azimuth line relative to the aircraft fuselage. The minimum horizontal field-of-view coverage must be plus and minus one-half (
An SOC is required. | X | Optimization of the vertical field-of-view may be considered with respect to the specific helicopter flight deck cut-off angle.
The sponsor may request the responsible Flight Standards office to evaluate the FFS for specific authorization(s) for the following: (1) Specific areas within the database needing higher resolution to support landings, take-offs and ground cushion exercises and training away from a heliport, including elevated heliport, helidecks and confined areas. (2) For cross-country flights, sufficient scene details to allow for ground to map navigation over a sector length equal to 30 minutes at an average cruise speed. (3) For offshore airborne radar approaches (ARA), harmonized visual/radar representations of installations. | ||
| 6.e. | The visual system must be free from optical discontinuities and artifacts that create non-realistic cues | X | X | X | Nonrealistic cues might include image “swimming” and image “roll-off,” that may lead a pilot to make incorrect assessments of speed, acceleration and/or situational awareness. |
| 6.f. | The simulator must have operational landing lights for night scenes.Where used, dusk (or twilight) scenes require operational landing lights. | X | X | X | |
| 6.g. | The simulator must have instructor controls for the following:
(1) Visibility in statute miles (kilometers) and runway visual range (RVR) in ft. (meters). (2) Airport or landing area selection (3) Airport or landing area lighting | X | X | X | |
| 6.h. | Each airport scene displayed must include the following:
(1) Airport runways and taxiways (2) Runway definition (a) Runway surface and markings (b) Lighting for the runway in use, including runway threshold, edge, centerline, touchdown zone, VASI (or PAPI), and approach lighting of appropriate colors, as appropriate (c) Taxiway lights | X | X | X | |
| 6.i. | The simulator must provide visual system compatibility with dynamic response programming | X | X | X | |
| 6.j. | The simulator must show that the segment of the ground visible from the simulator flight deck is the same as from the helicopter flight deck (within established tolerances) when at the correct airspeed and altitude above the touchdown zone | X | X | X | This will show the modeling accuracy of the scene with respect to a predetermined position from the end of the runway “in use.” |
| 6.k. | The simulator must provide visual cues necessary to assess rate of change of height, height AGL, and translational displacement and rates during takeoffs and landings | X | |||
| 6.l. | The simulator must provide visual cues necessary to assess rate of change of height, height AGL, as well as translational displacement and rates during takeoff, low altitude/low airspeed maneuvering, hover, and landing | X | X | ||
| 6.m. | The simulator must provide for accurate portrayal of the visual environment relating to the simulator attitude | X | X | X | Visual attitude vs. simulator attitude is a comparison of pitch and roll of the horizon as displayed in the visual scene compared to the display on the attitude indicator. |
| 6.n | The simulator must provide for quick confirmation of visual system color, RVR, focus, and intensity
An SOC is required. | X | X | ||
| 6.o. | The simulator must be capable of producing at least 10 levels of occulting | X | X | ||
| 6.p. | Night Visual Scenes. The simulator must provide night visual scenes with sufficient scene content to recognize the airport, the terrain, and major landmarks around the airport. The scene content must allow a pilot to successfully accomplish a visual landing. Night scenes, as a minimum, must provide presentations of sufficient surfaces with appropriate textural cues that include self-illuminated objects such as road networks, ramp lighting, and airport signage, to conduct a visual approach, a landing, and airport movement (taxi). Scenes must include a definable horizon and typical terrain characteristics such as fields, roads and bodies of water and surfaces illuminated by helicopter landing lights | X | X | X | |
| 6.q. | Dusk (Twilight) Visual Scenes. The simulator must provide dusk (or twilight) visual scenes with sufficient scene content to recognize the airport, the terrain, and major landmarks around the airport. The scene content must allow a pilot to successfully accomplish a visual landing. Dusk (or twilight) scenes, as a minimum, must provide full color presentations of reduced ambient intensity, sufficient surfaces with appropriate textural cues that include self-illuminated objects such as road networks, ramp lighting and airport signage, to conduct a visual approach, landing and airport movement (taxi). Scenes must include a definable horizon and typical terrain characteristics such as fields, roads and bodies of water and surfaces illuminated by representative aircraft lighting (e.g., landing lights). If provided, directional horizon lighting must have correct orientation and be consistent with surface shading effects. Total scene content must be comparable in detail to that produced by 10,000 visible textured surfaces and 15,000 visible lights with sufficient system capacity to display 16 simultaneously moving objects
An SOC is required. | X | X | ||
| 6.r. | Daylight Visual Scenes. The simulator must have daylight visual scenes with sufficient scene content to recognize the airport, the terrain, and major landmarks around the airport. The scene content must allow a pilot to successfully accomplish a visual landing. No ambient lighting may “washout” the displayed visual scene. Total scene content must be comparable in detail to that produced by 10,000 visible textured surfaces and 6,000 visible lights with sufficient system capacity to display 16 simultaneously moving objects. The visual display must be free of apparent and distracting quantization and other distracting visual effects while the simulator is in motion
An SOC is required. | X | X | ||
| 6.s | The simulator must provide operational visual scenes that portray physical relationships known to cause landing illusions to pilots | X | X | For example: short runways, landing approaches over water, uphill or downhill runways, rising terrain on the approach path, unique topographic features. | |
| 6.t. | The simulator must provide special weather representations of light, medium, and heavy precipitation near a thunderstorm on takeoff and during approach and landing. Representations need only be presented at and below an altitude of 2,000 ft. (610 m) above the airport surface and within 10 miles (16 km) of the airport | X | X | ||
| The simulator must present visual scenes of wet and snow-covered runways, including runway lighting reflections for wet conditions, and partially obscured lights for snow conditions | X | X | The responsible Flight Standards office will consider suitable alternative effects. | ||
| 6.v. | The simulator must present realistic color and directionality of all airport lighting | X | X | ||
| 7.a. | The simulator must provide flight deck sounds that result from pilot actions that correspond to those that occur in the helicopter | X | X | X | |
| 7.b. | Volume control, if installed, must have an indication of the sound level setting | X | X | X | |
| 7.c. | The simulator must accurately simulate the sound of precipitation, windshield wipers, and other significant helicopter noises perceptible to the pilot during normal and abnormal operations, and include the sound of a crash (when the simulator is landed in an unusual attitude or in excess of the structural gear limitations); normal engine sounds; and the sounds of gear extension and retraction
An SOC is required. | X | X | ||
| 7.d. | The simulator must provide realistic amplitude and frequency of flight deck noises and sounds. Simulator performance must be recorded, compared to amplitude and frequency of the same sounds recorded in the helicopter, and made a part of the QTG | X | |||
Table C1B—Table of Tasks vs. Simulator Level
| QPS requirements | Information | ||||
|---|---|---|---|---|---|
| Entry No. | Subjective requirements
The simulator must be able to perform the tasks associated with that level of qualification. | Simulator levels | Notes | ||
| B | C | D | |||
| 1.a. | Preflight Inspection (Flight deck Only) switches, indicators, systems, and equipment | X | X | X | |
| 1.b. | APU/Engine start and run-up | ||||
| 1.b.1. | Normal start procedures | X | X | X | |
| 1.b.2. | Alternate start procedures | X | X | X | |
| 1.b.3. | Abnormal starts and shutdowns (hot start, hung start) | X | X | X | |
| 1.c. | Taxiing—Ground | X | X | X | |
| 1.d. | Taxiing—Hover | X | X | X | |
| 1.e. | Pre-takeoff Checks | X | X | X | |
| 2.a. | Normal takeoff | ||||
| 2.a.1. | From ground | X | X | X | |
| 2.a.2. | From hover | X | X | ||
| 2.a.3. | Running | X | X | X | |
| 2.b. | Instrument | X | X | X | |
| 2.c. | Powerplant Failure During Takeoff | X | X | X | |
| 2.d. | Rejected Takeoff | X | X | X | |
| 2.e. | Instrument Departure | X | X | X | |
| 3.a. | Normal | X | X | X | |
| 3.b. | Obstacle clearance | X | X | X | |
| 3.c. | Vertical | X | X | X | |
| 3.d. | One engine inoperative | X | X | X | |
| 4.a. | Turns (timed, normal, steep) | X | X | X | |
| 4.b. | Powerplant Failure—Multiengine Helicopters | X | X | X | |
| 4.c. | Powerplant Failure—Single-Engine Helicopters | X | X | X | |
| 4.d. | Recovery From Unusual Attitudes | X | X | X | |
| 4.e. | Settling with Power | X | X | X | |
| 4.f. | Specific Flight Characteristics incorporated into the user's FAA approved flight training program | A | A | A | |
| 5.a. | Instrument Arrival | X | X | X | |
| 5.b. | Holding | X | X | X | |
| 5.c. | Precision Instrument Approach | ||||
| 5.c.1. | Normal—All engines operating | X | X | X | |
| 5.c.2. | Manually controlled—One or more engines inoperative | X | X | X | |
| 5.d. | Non-precision Instrument Approach | X | X | X | |
| 5.e. | Missed Approach | ||||
| 5.e.1. | All engines operating | X | X | X | |
| 5.e.2. | One or more engines inoperative | X | X | X | |
| 5.e.3. | Stability augmentation system failure | X | X | X | |
| 6.a. | Visual Approaches (normal, steep, shallow) | X | X | X | |
| 6.b. | Landings | ||||
| 6.b.1. | Normal/crosswind | ||||
| 6.b.1.a. | Running | X | X | X | |
| 6.b.1.b. | From Hover | X | X | ||
| 6.b.2. | One or more engines inoperative | X | X | X | |
| 6.b.3. | Rejected Landing | X | X | X | |
| 7.a. | Powerplant | X | X | X | |
| 7.b. | Fuel System | X | X | X | |
| 7.c. | Electrical System | X | X | X | |
| 7.d. | Hydraulic System | X | X | X | |
| 7.e. | Environmental System(s) | X | X | X | |
| 7.f. | Fire Detection and Extinguisher Systems | X | X | X | |
| 7.g. | Navigation and Aviation Systems | X | X | X | |
| 7.h. | Automatic Flight Control System, Electronic Flight Instrument System, and Related Subsystems | X | X | X | |
| 7.i. | Flight Control Systems | X | X | X | |
| 7.j. | Anti-ice and Deice Systems | X | X | X | |
| 7.k. | Aircraft and Personal Emergency Equipment | X | X | X | |
| 7.l. | Special Missions tasks (e.g., Night Vision goggles, Forward Looking Infrared System, External Loads and as listed on the SOQ) | A | A | X | |
| 8.a. | Emergency Descent | X | X | X | |
| 8.b. | Inflight Fire and Smoke Removal | X | X | X | |
| 8.c. | Emergency Evacuation | X | X | X | |
| 8.d. | Ditching | X | X | X | |
| 8.e. | Autorotative Landing | X | X | X | |
| 8.f. | Retreating blade stall recovery | X | X | X | |
| 8.g. | Mast bumping | X | X | X | |
| 8.h. | Loss of tail rotor effectiveness | X | X | X | |
| 8.i. | Vortex recovery | X | X | X | |
| 9.a | After-Landing Procedures | X | X | X | |
| 9.b. | Parking and Securing | ||||
| 9.b.1. | Rotor brake operation | X | X | X | |
| 9.b.2. | Abnormal/emergency procedures | X | X | X | |
Table C1C—Table of Tasks vs. Simulator Level
| QPS requirements | Information | ||||
|---|---|---|---|---|---|
| Entry No. | Subjective requirements
The simulator must be able to perform the tasks associated with that level of qualification. | Simulator levels | Notes | ||
| B | C | D | |||
| 1.a. | Power switch(es) | X | X | X | |
| 1.b. | Helicopter conditions | X | X | X | e.g., GW, CG, Fuel loading, Systems, Ground Crew. |
| 1.c. | Airports/Heliports/Helicopter Landing Areas | X | X | X | e.g., Selection, Surface, Presets, Lighting controls |
| 1.d. | Environmental controls. | X | X | X | e.g., Clouds, Visibility, RVR, Temp, Wind, Ice, Snow, Rain, and Windshear. |
| 1.e. | Helicopter system malfunctions (Insertion/deletion) | X | X | X | |
| 1.f. | Locks, Freezes, and Repositioning | X | X | X | |
| 2.a. | On/off/adjustment | X | X | X | |
| 3.a. | On/off/emergency stop | X | X | X | |
| 4.a. | Position/Adjustment/Positive restraint system | X | X | X | |
Table of Contents
| Paragraph No. | Title |
|---|---|
| 1. | Introduction. |
| 2. | Test Requirements. |
| Table C2A, Objective Tests. | |
| 3. | General. |
| 4. | Control Dynamics. |
| 5. | [Reserved] |
| 6. | Motion System. |
| 7. | Sound System. |
| 8. | Additional Information About Flight Simulator Qualification for New or Derivative Helicopters. |
| 9. | Engineering Simulator—Validation Data. |
| 10. | [Reserved] |
| 11. | Validation Test Tolerances. |
| 12. | Validation Data Roadmap. |
| 13. | Acceptance Guidelines for Alternative Engines Data. |
| 14. | Acceptance Guidelines for Alternative Avionics (Flight-Related Computers and Controllers). |
| 15. | Transport Delay Testing. |
| 16. | Continuing Qualification Evaluations—Validation Test Data Presentation. |
| 17. | Alternative Data Sources, Procedures, and Instrumentation: Level A and Level B Simulators Only. |
a. If relevant winds are present in the objective data, the wind vector (magnitude and direction) should be clearly noted as part of the data presentation, expressed in conventional terminology, and related to the runway being used for the test.
b. The responsible Flight Standards office will not evaluate any simulator unless the required SOC indicates that the motion system is designed and manufactured to safely operate within the simulator's maximum excursion, acceleration, and velocity capabilities (see Motion System in the following table).
c. Table C2A addresses helicopter simulators at Levels B, C, and D because there are no Level A Helicopter simulators.
a. The ground and flight tests required for qualification are listed in Table of C2A, FFS Objective Tests. Computer-generated simulator test results must be provided for each test except where an alternative test is specifically authorized by the responsible Flight Standards office. If a flight condition or operating condition is required for the test but does not apply to the helicopter being simulated or to the qualification level sought, it may be disregarded (e.g., an engine out missed approach for a single-engine helicopter, or a hover test for a Level B simulator). Each test result is compared against the validation data described in § 60.13 and in this appendix. Although use of a driver program designed to automatically accomplish the tests is encouraged for all simulators and required for Level C and Level D simulators, each test must be able to be accomplished manually while recording all appropriate parameters. The results must be produced on an appropriate recording device acceptable to the responsible Flight Standards office and must include simulator number, date, time, conditions, tolerances, and appropriate dependent variables portrayed in comparison to the validation data. Time histories are required unless otherwise indicated in Table C2A. All results must be labeled using the tolerances and units given.
b. Table C2A sets out the test results required, including the parameters, tolerances, and flight conditions for simulator validation. Tolerances are provided for the listed tests because mathematical modeling and acquisition/development of reference data are often inexact. All tolerances listed in the following tables are applied to simulator performance. When two tolerance values are given for a parameter, the less restrictive value may be used unless otherwise indicated. In those cases where a tolerance is expressed only as a percentage, the tolerance percentage applies to the maximum value of that parameter within its normal operating range as measured from the neutral or zero position unless otherwise indicated.
c. Certain tests included in this attachment must be supported with an SOC. In Table C2A, requirements for SOCs are indicated in the “Test Details” column.
d. When operational or engineering judgment is used in making assessments for flight test data applications for simulator validity, such judgment may not be limited to a single parameter. For example, data that exhibit rapid variations of the measured parameters may require interpolations or a “best fit” data selection. All relevant parameters related to a given maneuver or flight condition must be provided to allow overall interpretation. When it is difficult or impossible to match simulator to helicopter data throughout a time history, differences must be justified by providing a comparison of other related variables for the condition being assessed.
e. The FFS may not be programmed so that the mathematical modeling is correct only at the validation test points. Unless noted otherwise, simulator tests must represent helicopter performance and handling qualities at operating weights and centers of gravity (CG) typical of normal operation. If a test is supported by helicopter data at one extreme weight or CG, another test supported by helicopter data at mid-conditions or as close as possible to the other extreme must be included. Certain tests that are relevant only at one extreme CG or weight condition need not be repeated at the other extreme. Tests of handling qualities must include validation of augmentation devices.
f. When comparing the parameters listed to those of the helicopter, sufficient data must also be provided to verify the correct flight condition and helicopter configuration changes. For example, to show that control force is within ±0.5 pound (0.22 daN) in a static stability test, data to show the correct airspeed, power, thrust or torque, helicopter configuration, altitude, and other appropriate datum identification parameters must also be given. If comparing short period dynamics, normal acceleration may be used to establish a match to the helicopter, but airspeed, altitude, control input, helicopter configuration, and other appropriate data must also be given. All airspeed values must be properly annotated (e.g., indicated versus calibrated). In addition, the same variables must be used for comparison (e.g., compare inches to inches rather than inches to centimeters).
g. The QTG provided by the sponsor must clearly describe how the simulator will be set up and operated for each test. Each simulator subsystem may be tested independently, but overall integrated testing of the simulator must be accomplished to assure that the total simulator system meets the prescribed standards. A manual test procedure with explicit and detailed steps for completing each test must also be provided.
h. For previously qualified simulators, the tests and tolerances of this attachment may be used in subsequent continuing qualification evaluations for any given test if the sponsor has submitted a proposed MQTG revision to the responsible Flight Standards office and has received responsible Flight Standards office approval.
i. Motion System Tests:
(a) The minimum excursions, accelerations, and velocities for pitch, roll, and yaw must be measurable about a single, common reference point and must be achieved by driving one degree of freedom at a time.
(b) The minimum excursions, accelerations, and velocities for heave, sway, and surge may be measured about different, identifiable reference points and must be achieved by driving one degree of freedom at a time.
j. Tests of handling qualities must include validation of augmentation devices. FFSs for highly augmented helicopters will be validated both in the unaugmented configuration (or failure state with the maximum permitted degradation in handling qualities) and the augmented configuration. Where various levels of handling qualities result from failure states, validation of the effect of the failure is necessary. For those performance and static handling qualities tests where the primary concern is control position in the unaugmented configuration, unaugmented data are not required if the design of the system precludes any affect on control position. In those instances where the unaugmented helicopter response is divergent and non-repeatable, it may not be feasible to meet the specified tolerances. Alternative requirements for testing will be mutually agreed upon by the sponsor and the responsible Flight Standards office on a case-by-case basis.
k. Some tests will not be required for helicopters using helicopter hardware in the simulator flight deck (e.g., “helicopter modular controller”). These exceptions are noted in Table C2A of this attachment. However, in these cases, the sponsor must provide a statement that the helicopter hardware meets the appropriate manufacturer's specifications and the sponsor must have supporting information to that fact available for responsible Flight Standards office review.
l. In cases where light-class helicopters are being simulated, prior coordination with the responsible Flight Standards office on acceptable weight ranges is required. The terms “light”, “medium”, and “near maximum”, as defined in Appendix F of this part, may not be appropriate for the simulation of light-class helicopters.
m. In those cases where the objective test results authorize a “snapshot test” or a “series of snapshot test results” in lieu of a time-history result, the sponsor or other data provider must ensure that a steady state condition exists at the instant of time captured by the “snapshot”. The steady state condition must exist from 4 seconds prior to, through 1 second following, the instant of time captured by the snap shot.
n. For references on basic operating weight, see AC 120-27, Aircraft Weight and Balance; and FAA-H-8083-1, Aircraft Weight and Balance Handbook.
Table C2A—Full Flight Simulator (FFS) Objective Tests
| QPS requirements | Information | |||||||
|---|---|---|---|---|---|---|---|---|
| Test | Tolerance(s) | Flight condition | Test details | Simulator level | Notes | |||
| Entry No. | Title | B | C | D | ||||
| 1.a. | Engine Assessment | |||||||
| 1.a.1. | Start Operations | |||||||
| 1.a.1.a | Engine start and acceleration (transient) | Light Off Time—±10% or ±1 sec., Torque—±5%, Rotor Speed—±3%, Fuel Flow—±10%, Gas Generator Speed—±5%, Power Turbine Speed—±5%, Gas Turbine Temp.—±30 °C | Ground with the Rotor Brake Used and Not Used, if applicable. | Record each engine start from the initiation of the start sequence to steady state idle and from steady state idle to operating RPM. | X | X | X | |
| 1.a.1.b. | Steady State Idle and Operating RPM conditions | Torque—±3%, Rotor Speed—±1.5%, Fuel Flow—±5%, Gas Generator Speed—±2%, Power Turbine Speed—±2%, Turbine Gas Temp.—±20 °C | Ground | Record both steady state idle and operating RPM conditions. May be a series of snapshot tests. | X | X | X | |
| 1.a.2. | Power Turbine Speed Trim | ±10% of total change of power turbine speed, or ±0.5% change of rotor speed. | Ground | Record engine response to trim system actuation in both directions. | X | X | X | |
| 1.a.3. | Engine and Rotor Speed Governing | Torque—±5%, Rotor Speed—1.5% | Climb and descent | Record results using a step input to the collective. May be conducted concurrently with climb and descent performance tests. | X | X | X | |
| 1.b. | Surface Operations | |||||||
| 1.b.1. | Minimum Radius Turn | ±3 ft. (0.9m) or 20% of helicopter turn radius. | Ground | If brakes are used, brake pedal position and brake system pressure must be matched to the helicopter flight test value. | X | X | X | |
| 1.b.2. | Rate of Turn vs. Pedal Deflection, Brake Application, or Nosewheel Angle, as applicable | ±10% or ±2°/sec. Turn Rate. | Ground Takeoff | If brakes are used, brake pedal position and brake system pressure must be matched to the helicopter flight test value. | X | X | X | |
| 1.b.3. | Taxi | Pitch Angle—±1.5°, Torque—±3%, Longitudinal Control Position—±5%, Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5% | Ground | Record results for control position and pitch attitude during ground taxi for a specific ground speed, wind speed and direction, and density altitude. | X | X | X | |
| 1.b.4. | Brake Effectiveness | ±10% of time and distance. | Ground | X | X | X | ||
| 1.c. | Takeoff
When the speed range for the following tests is less than 40 knots, the applicable airspeed tolerance may be applied to either airspeed or ground speed, as appropriate. | |||||||
| 1.c.1. | All Engines | Airspeed—±3 kt, Altitude—±20 ft (6.1m), Torque—±3%, Rotor Speed—±1.5%, Vertical Velocity—±100 fpm (0.50m/sec) or 10%, Pitch Attitude—±1.5°, Bank Attitude—±2°, Heading—±2°, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10% | Ground/Takeoff and Initial Segment of Climb. | Record results of takeoff flight path as appropriate to helicopter model simulated (running takeoff for Level B, takeoff from a hover for Level C and D). For Level B, the criteria apply only to those segments at airspeeds above effective translational lift. Results must be recorded from the initiation of the takeoff to at least 200 ft (61m) AGL. | X | X | X | |
| 1.c.2. | One Engine Inoperative continued takeoff. | Airspeed—±3 kt, Altitude—±20 ft (6.1m), Torque—±3%, Rotor Speed—±1.5%, Vertical Velocity—±100 fpm (0.50m/sec) or 10%, Pitch Attitude—±1.5°, Bank Attitude—±2°, Heading—±2°, Longitudinal Control Position—±10% Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10% | Ground/Takeoff; and Initial Segment of Climb. | Record takeoff flight path as appropriate to helicopter model simulated. Results must be recorded from the initiation of the takeoff to at least 200 ft (61m) AGL. | X | X | X | Because several kinds of takeoff procedures can be performed, the specific type of takeoff profile should be recorded to ensure the proper takeoff profile comparison test is used. |
| 1.c.3. | One Engine inoperative, rejected take off. | Airspeed—±3 kt, Altitude—±20 ft (6.1m), Torque—±3%, Rotor Speed—±1.5%, Pitch Attitude—±1.5°, Roll angle—±1.5°, Heading—±2°, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10%, Distance—±7.5% or ±30m (100ft). | Ground, Takeoff | Time history from the take off point to touch down. Test conditions near limiting performance. | X | X | ||
| 1.d. | Hover | |||||||
| Performance | Torque—±3%, Pitch Attitude—±1.5°, Bank Attitude—±1.5°, Longitudinal Control Position—±5%, Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5%. | In Ground Effect (IGE); and Out of Ground Effect (OGE). | Record results for light and heavy gross weights. May be a series of snapshot tests. | X | X | |||
| 1.e. | Vertical Climb | |||||||
| Performance | Vertical Velocity—±100 fpm (0.50 m/sec) or ±10%, Directional Control Position—±5%, Collective Control Position—±5%. | From OGE Hover | Record results for light and heavy gross weights. May be a series of snapshot tests. | X | X | |||
| 1.f. | Level Flight | |||||||
| Performance and Trimmed Flight Control Positions. | Torque—±3%, Pitch Attitude—±1.5°, Sideslip Angle—±2°, Longitudinal Control Position—±5%, Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5%. | Cruise (Augmentation On and Off). | Record results for two gross weight and CG combinations with varying trim speeds throughout the airspeed envelope. May be a series of snapshot tests. | X | X | X | This test validates performance at speeds above maximum endurance airspeed. | |
| 1.g. | Climb | |||||||
| Performance and Trimmed Flight Control Positions. | Vertical Velocity—±100 fpm (6.1m/sec) or ±10%, Pitch Attitude—±1.5°, Sideslip Angle—±2°, Longitudinal Control Position—±5%, Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5%. | All engines operating; One engine inoperative; Augmentation System(s) On and Off. | Record results for two gross weight and CG combinations. The data presented must be for normal climb power conditions. May be a series of snapshot tests. | X | X | X | ||
| 1.h. | Descent | |||||||
| 1.h.1. | Descent Performance and Trimmed Flight Control Positions. | Torque—±3%, Pitch Attitude—±1.5°, Sideslip Angle—±2°, Longitudinal Control Position—±5%, Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5%. | At or near 1,000 fpm (5 m/sec) rate of descent (RoD) at normal approach speed. Augmentation System(s) On and Off. | Results must be recorded for two gross weight and CG combinations. May be a series of snapshot tests. | X | X | X | |
| 1.h.2. | Autorotation Performance and Trimmed Flight Control Positions. | Pitch Attitude—±1.5°, Sideslip Angle—±2°, Longitudinal Control Position—±5%, Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5%, Vertical Velocity—±100 fpm or 10%, Rotor Speed—±1.5%. | Steady descents. Augmentation System(s) On and Off. | Record results for two gross weight conditions. Data must be recorded for normal operating RPM. (Rotor speed tolerance applies only if collective control position is full down.) Data must be recorded for speeds from 50 kts, ±5 kts, through at least maximum glide distance airspeed, or maximum allowable autorotation airspeed, whichever is slower. May be a series of snapshot tests. | X | X | X | |
| 1.i. | Autorotation | |||||||
| Entry | Rotor Speed—±3%, Pitch Attitude—±2°, Roll Attitude—±3°, Yaw Attitude—±5°, Airspeed—±5 kts., Vertical Velocity—±200 fpm (1.00 m/sec) or 10%. | Cruise or Climb | Record results of a rapid throttle reduction to idle. If the cruise condition is selected, comparison must be made for the maximum range airspeed. If the climb condition is selected, comparison must be made for the maximum rate of climb airspeed at or near maximum continuous power. | X | X | |||
| 1.j. | Landing
When the speed range for tests 1.j.1., 1.j.2., or 1.j.3. is less than 40 knots, the applicable airspeed tolerance may be applied to either airspeed or ground speed, as appropriate. | |||||||
| 1.j.1. | All Engines | Airspeed—±3 kts., Altitude—±20 ft. (6.1m), Torque—±3%, Rotor Speed—±1.5%, Pitch Attitude—±1.5°, Bank Attitude—±1.5°, Heading—±2°, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10%. | Approach | Record results of the approach and landing profile as appropriate to the helicopter model simulated (running landing for Level B, or approach to a hover for Level C and D). For Level B, the criteria apply only to those segments at airspeeds above effective translational lift. | X | X | X | |
| 1.j.2. | One Engine Inoperative. | Airspeed—±3 kts., Altitude—±20 ft. (6.1m), Torque—±3%, Rotor Speed—±1.5%, Pitch Attitude—±1.5°, Bank Attitude—±1.5°, Heading—±2°, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10%. | Approach | Record results for both Category A and Category B approaches and landing as appropriate to helicopter model simulated. For Level B, the criteria apply only to those segments at airspeeds above effective translational lift. | X | X | X | |
| 1.j.3. | Balked Landing | Airspeed—±3 kts, Altitude—±20 ft. (6.1m), Torque—±3%, Rotor Speed—±1.5%, Pitch Attitude—±1.5°, Bank Attitude—±1.5°, Heading—±2°, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10%. | Approach | Record the results for the maneuver initiated from a stabilized approach at the landing decision point (LDP). | X | X | X | |
| 1.j.4. | Autorotational Landing | Torque—±3%, Rotor Speed—±3%, Vertical Velocity—±100 fpm (0.50m/sec) or 10%, Pitch Attitude—±2º, Bank Attitude—±2º, Heading—±5º, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10% | Landing | Record the results of an autorotational deceleration and landing from a stabilized autorotational descent, to touch down
If flight test data containing all required parameters for a complete power-off landing is not available from the aircraft manufacturer for this test and other qualified flight test personnel are not available to acquire this data, the sponsor may coordinate with the responsible Flight Standards office to determine if it is appropriate to accept alternative testing means | X | X | Alternative approaches for acquiring this data may be acceptable, depending on the aircraft as well as the personnel and the data recording, reduction, and interpretation facilities to be used, are: (1) a simulated autorotational flare and reduction of rate of descent (ROD) at altitude; or (2) a power-on termination following an autorotational approach and flare. | |
| 2.a. | Control System Mechanical Characteristics | |||||||
| For simulators requiring Static or Dynamic tests at the controls ( | Contact the responsible Flight Standards office for clarification of any issue regarding helicopters with reversible controls or where the required validation data is not attainable. | |||||||
| 2.a.1. | Cyclic | Breakout—±0.25 lbs. (0.112 daN) or 25%; Force—±1.0 lb. (0.224 daN) or 10%. | Ground; Static conditions with the hydraulic system (if applicable) pressurized; supplemental hydraulic pressurization system may be used. Trim On and Off. Friction Off Augmentation (if applicable) On and Off. | Record results for an uninterrupted control sweep to the stops. (This test does not apply if aircraft hardware modular controllers are used.) | X | X | X | Flight Test Data for this test does not require the rotor to be engaged/turning. The phrase “if applicable” regarding stability augmentation systems means if an augmentation system is available and if this system may be operational on the ground under static conditions as described here. |
| 2.a.2. | Collective/Pedals | Breakout—±0.5 lb. (0.224 daN) or 25%; Force—±1.0 lb. (0.224 daN) or 10%. | Ground; Static conditions with the hydraulic system (if applicable) pressurized; supplemental hydraulic pressurization system may be used. Trim On and Off. Friction Off. Augmentation (if applicable) On and Off. | Record results for an uninterrupted control sweep to the stops. | X | X | X | Flight Test Data for this test does not require the rotor to be engaged/turning. The phrase “if applicable” regarding stability augmentation system means if a stability augmentation system is available and if this system may be operational on the ground under static conditions as described here. |
| 2.a.3. | Brake Pedal Force vs. Position. | ±5 lbs. (2.224 daN) or 10%. | Ground; Static conditions. | X | X | X | ||
| 2.a.4. | Trim System Rate (all applicable systems) | Rate—±10%. | Ground; Static conditions. Trim On, Friction Off. | The tolerance applies to the recorded value of the trim rate. | X | X | X | |
| 2.a.5. | Control Dynamics (all axes) | ±10% of time for first zero crossing and ±10 (N + 1)% of period thereafter, ±10% of amplitude of first overshoot, 20% of amplitude of 2nd and subsequent overshoots greater than 5% of initial displacement, ±1 overshoot. | Hover/Cruise, Trim On, Friction Off. | Results must be recorded for a normal control displacement in both directions in each axis. | X | X | Typically, control displacement of 25% to 50% is necessary for proper excitation. Control Dynamics for irreversible control systems may be evaluated in a ground/static condition. Additional information on control dynamics is found later in this attachment. “N” is the sequential period of a full cycle of oscillation. | |
| 2.a.6. | Control System Freeplay | ±0.10 inches (±2.5 mm). | Ground; Static conditions; with the hydraulic system (if applicable) pressurized; supplemental hydraulic pressurization system may be used. | Record and compare results for all controls. | X | X | X | Flight Test Data for this test does not require the rotor to be engaged/turning. |
| 2.b. | Low Airspeed Handling Qualities | |||||||
| 2.b.1. | Trimmed Flight Control Positions. | Torque—±3%, Pitch Attitude—±1.5°, Bank Attitude—±2°, Longitudinal Control Position—±5%. Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5%. | Translational Flight IGE—Sideward, rearward, and forward flight. Augmentation On and Off. | Record results for several airspeed increments to the translational airspeed limits and for 45 kts. forward airspeed. May be a series of snapshot tests. | X | X | ||
| 2.b.2. | Critical Azimuth | Torque—±3%, Pitch Attitude—±1.5°, Bank Attitude—±2°, Longitudinal Control Position—±5%, Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5%. | Stationary Hover. Augmentation On and Off. | Record results for three relative wind directions (including the most critical case) in the critical quadrant. May be a series of snapshot tests. | X | X | ||
| 2.b.3. | Control Response | |||||||
| 2.b.3.a. | Longitudinal | Pitch Rate—±10% or ±2°/sec., Pitch Attitude Change—±10% or 1.5°. | Hover Augmentation On and Off. | Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases. | X | X | This is a “short time” test conducted in a hover, in ground effect, without entering translational flight, to provide better visual reference. | |
| 2.b.3.b. | Lateral | Roll Rate—±10% or ±3°/sec., Roll Attitude Change—±10% or ±3°. | Hover Augmentation On and Off. | Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases. | X | X | This is a “short time” test conducted in a hover, in ground effect, without entering translational flight, to provide better visual reference. | |
| 2.b.3.c. | Directional | Yaw Rate—±10% or ±2°/sec., Heading Change—±10% or ±2°. | Hover Augmentation On and Off. | Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases. | X | X | This is a “short time” test conducted in a hover, in ground effect, without entering translational flight, to provide better visual reference. | |
| 2.b.3.d. | Vertical | Normal Acceleration—±0.1 g. | Hover Augmentation On and Off. | Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases. | X | X | ||
| 2.c. | Longitudinal Handling Qualities | |||||||
| 2.c.1. | Control Response | Pitch Rate—±10% or ±2°/sec., Pitch Attitude Change—±10% or ±1.5°. | Cruise Augmentation On and Off. | Results must be recorded for two cruise airspeeds to include minimum power required speed. Record data for a step control input. The Off-axis response must show correct trend for unaugmented cases. | X | X | X | |
| 2.c.2. | Static Stability | Longitudinal Control Position: ±10% of change from trim or ±0.25 in. (6.3 mm) or Longitudinal Control Force : ±0.5 lb. (0.223 daN) or ±10%. | Cruise or Climb. Autorotation. Augmentation On and Off. | Record results for a minimum of two speeds on each side of the trim speed. May be a series of snapshot tests. | X | X | X | |
| 2.c.3. | Dynamic Stability | |||||||
| 2.c.3.a. | Long-Term Response. | ±10% of calculated period, ±10% of time to
| Cruise Augmentation On and Off. | For periodic responses, record results for three full cycles (6 overshoots after input completed) or that sufficient to determine time to
The test may be terminated prior to 20 sec. if the test pilot determines that the results are becoming uncontrollably divergent. | X | X | X | The response may be unrepeatable throughout the stated time for certain helicopters. In these cases, the test should show at least that a divergence is identifiable. For example: Displacing the cyclic for a given time normally excites this test or until a given pitch attitude is achieved and then return the cyclic to the original position. For non-periodic responses, results should show the same convergent or divergent character as the flight test data. |
| 2.c.3.b. | Short-Term Response. | ±1.5° Pitch or ±2°/sec. Pitch Rate. ±0.1 g Normal Acceleration. | Cruise or Climb. Augmentation On and Off. | Record results for at least two airspeeds. | X | X | X | A control doublet inserted at the natural frequency of the aircraft normally excites this test. However, while input doublets are preferred over pulse inputs for Augmentation-Off tests, for Augmentation-On tests, when the short-term response exhibits 1st-order or deadbeat characteristics, longitudinal pulse inputs may produce a more coherent response. |
| 2.c.4. | Maneuvering Stability. | Longitudinal Control Position—±10% of change from trim or ±0.25 in. (6.3 mm) or Longitudinal Control Forces—±0.5 lb. (0.223 daN) or ±10%. | Cruise or Climb. Augmentation On and Off. | Record results for at least two airspeeds at 30°-45° roll angle. The force may be shown as a cross plot for irreversible systems. May be a series of snapshot tests. | X | X | X | |
| 2.d. | Lateral and Directional Handling Qualities | |||||||
| 2.d.1. | Control Response | |||||||
| 2.d.1.a | Lateral | Roll Rate—±10% or ±3°/sec., Roll Attitude Change—±10% or ±3°. | Cruise Augmentation On and Off. | Record results for at least two airspeeds, including the speed at or near the minimum power required airspeed.
Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases | X | X | X | |
| 2.d.1.b. | Directional | Yaw Rate—±10% or ±2°/sec., Yaw Attitude Change—±10% or ±2°. | Cruise Augmentation On and Off. | Record data for at least two airspeeds, including the speed at or near the minimum power required airspeed.
Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases. | X | X | X | |
| 2.d.2. | Directional Static Stability. | Lateral Control Position—±10% of change from trim or ±0.25 in. (6.3 mm) or Lateral Control Force—±0.5 lb. (0.223 daN) or 10%, Roll Attitude—±1.5, Directional Control Position—±10% of change from trim or ±0.25 in. (6.3 mm) or Directional Control Force—±1 lb. (0.448 daN) or 10%, Longitudinal Control Position—±10% of change from trim or ±0.25 in. (6.3 mm), Vertical Velocity—±100 fpm (0.50m/sec) or 10%. | Cruise; or Climb (may use Descent instead of Climb if desired), Augmentation On and Off. | Record results for at least two sideslip angles on either side of the trim point. The force may be shown as a cross plot for irreversible systems. May be a series of snapshot tests. | X | X | X | This is a steady heading sideslip test at a fixed collective position. |
| 2.d.3. | Dynamic Lateral and Directional Stability | |||||||
| 2.d.3.a. | Lateral-Directional Oscillations. | ±0.5 sec. or ±10% of period, ±10% of time to
| Cruise or Climb. Augmentation On and Off. | Record results for at least two airspeeds. The test must be initiated with a cyclic or a pedal doublet input. Record results for six full cycles (12 overshoots after input completed) or that sufficient to determine time to
| X | X | X | |
| 2.d.3.b. | Spiral Stability. | ±2° or ±10% roll angle. | Cruise or Climb. Augmentation On and Off. | Record the results of a release from pedal only or cyclic only turns for 20 sec. Results must be recorded from turns in both directions. Terminate check at zero roll angle or when the test pilot determines that the attitude is becoming uncontrollably divergent. | X | X | X | |
| 2.d.3.c. | Adverse/Proverse Yaw. | Correct Trend, ±2° transient sideslip angle. | Cruise or Climb. Augmentation On and Off. | Record the time history of initial entry into cyclic only turns, using only a moderate rate for cyclic input. Results must be recorded for turns in both directions. | X | X | X | |
| 3.a. | Frequency response | |||||||
| Based on Simulator Capability. | N/A | Required as part of the MQTG. The test must demonstrate frequency response of the motion system as specified by the applicant for flight simulator qualification. | X | X | X | |||
| 3.b. | Leg Balance | |||||||
| Leg Balance | Based on Simulator Capability. | N/A | Required as part of the MQTG. The test must demonstrate motion system leg balance as specified by the applicant for flight simulator qualification. | X | X | X | ||
| 3.c. | Turn Around | |||||||
| Turn Around | Based on Simulator Capability. | N/A | Required as part of the MQTG. The test must demonstrate a smooth turn-around (shift to opposite direction of movement) of the motion system as specified by the applicant for flight simulator qualification. | X | X | X | ||
| 3.d. | Motion system repeatability | |||||||
| With the same input signal, the test results must be repeatable to within ±0.05g actual platform linear acceleration in each axis. | Accomplished in both the “ground” mode and in the “flight” mode of the motion system operation. | Required as part of the MQTG. The test is accomplished by injecting a motion signal to generate movement of the platform. The input must be such that the rotational accelerations, rotational rates, and linear accelerations are inserted before the transfer from helicopter center of gravity to the pilot reference point with a minimum amplitude of 5°/sec/sec, 10°/sec and 0.3g, respectively. | X | X | X | See Paragraph 6.c. in this attachment for additional information. Note: if there is no difference in the model for “ground” and “flight” operation of the motion system, this should be described in an SOC and will not require tests in both modes. | ||
| 3.e. | Motion cueing performance signature | |||||||
| Required as part of MQTG. These tests must be run with the motion buffet mode disabled. | See paragraph 6.d., of this attachment, Motion cueing performance signature. | |||||||
| 3.e.1. | Takeoff (all engines). | As specified by the sponsor for flight simulator qualification. | Ground | Pitch attitude due to initial climb must dominate over cab tilt due to longitudinal acceleration. | X | X | X | Associated to test number 1.c.1. |
| 3.e.2. | Hover performance (IGE and OGE). | As specified by the sponsor for flight simulator qualification. | Ground | X | X | Associated to test number 1.d. | ||
| 3.e.3. | Autorotation (entry). | As specified by the sponsor for flight simulator qualification. | Flight | X | X | Associated to test number 1.i. | ||
| 3.e.4. | Landing (all engines). | As specified by the sponsor for flight simulator qualification. | Flight | X | X | X | Associated to test number 1.j.1. | |
| 3.e.5. | Autorotation (landing). | As specified by the sponsor for flight simulator qualification. | Flight | X | X | Associated to test number 1.j.4. | ||
| 3.e.6. | Control Response | |||||||
| 3.e.6.a. | Longitudinal | As specified by the sponsor for flight simulator qualification. | Flight | X | X | X | Associated to test number 2.c.1. | |
| 3.e.6.b. | Lateral. | As specified by the sponsor for flight simulator qualification. | Ground | X | X | X | Associated to test number 2.d.1.a. | |
| 3.e.6.c. | Directional | As specified by the sponsor for flight simulator qualification. | X | X | X | Associated to test number 2.d.1.c. | ||
| 3.f. | Characteristic Motion (Vibration) Cues—For all of the following tests, the simulator test results must exhibit the overall appearance and trends of the helicopter data, with at least three (3) of the predominant frequency “spikes” being present within ±2 Hz. | Characteristic motion cues may be separate from the “main” motion system. | ||||||
| 3.f.1. | Vibrations—to include 1/Rev and n/Rev vibrations (where “n” is the number of main rotor blades). | + 3db to −6db or ±10% of nominal vibration level in flight cruise and correct trend (see comment). | (a) On ground (idle);
(b) In flight | Characteristic vibrations include those that result from operation of the helicopter (for example, high airspeed, retreating blade stall, extended landing gear, vortex ring or settling with power) in so far as vibration marks an event or helicopter state, which can be sensed in the flight deck.
[See Table C1A, table entries 5.e. and 5.f.] | X | Correct trend refers to a comparison of vibration amplitudes between different maneuvers; e.g., if the 1/rev vibration amplitude in the helicopter is higher during steady state turns than in level flight this increasing trend should be demonstrated in the simulator. Additional examples of vibrations may include:
(a) Low & High speed transition to and from hover; (b) Level flight; (c) Climb and descent (including vertical climb; (d) Auto-rotation; (e) Steady Turns. | ||
| 3.f.2. | Buffet—Test against recorded results for characteristic buffet motion that can be sensed in the flight deck. | + 3db to −6db or ±10% of nominal vibration level in flight cruise and correct trend (see comment). | On ground and in flight. | Characteristic buffets include those that result from operation of the helicopter (for example, high airspeed, retreating blade stall, extended landing gear, vortex ring or settling with power) in so far as a buffet marks an event or helicopter state, which can be sensed in the flight deck.
[See Table C1A, table entries 5.e. and 5.f.] | X | The recorded test results for characteristic buffets should allow the checking of relative amplitude for different frequencies.
For atmospheric disturbance, general purpose models are acceptable which approximate demonstrable flight test data. | ||
| 4.a. | Visual System Response Time: (Choose either test 4.a.1. or 4.a.2. to satisfy test 4.a., Visual System Response Time Test. This test is also sufficient for motion system response timing and flight deck instrument response timing.) | |||||||
| 4.a.1. | Latency | |||||||
| 150 ms (or less) after helicopter response. | Takeoff, climb, and descent. | One test is required in each axis (pitch, roll and yaw) for each of the three conditions (take-off, cruise, and approach or landing). | X | |||||
| 100 ms (or less) after helicopter response. | Climb, cruise, descent, and hover. | One test is required in each axis (pitch, roll and yaw) for each of the three conditions (take-off, cruise, and approach or landing). | X | X | ||||
| 4.a.2. | Transport Delay | |||||||
| If Transport Delay is the chosen method to demonstrate relative responses, the sponsor and the responsible Flight Standards office will use the latency values to ensure proper simulator response when reviewing those existing tests where latency can be identified ( | ||||||||
| 4.b. | Field-of-view | |||||||
| 4.b.1. | Continuous field-of-view. | The simulator must provide a continuous field-of-view of at least 75° horizontally and 30° vertically per pilot seat or the number of degrees necessary to meet the visual ground segment requirement, whichever is greater. Both pilot seat visual systems must be operable simultaneously. Wide-angle systems providing cross-flight deck viewing (for both pilots simultaneously) must provide a minimum field-of-view of at least 146° horizontally and 36° vertically. Any geometric error between the Image Generator eye point and the pilot eye point must be 8° or less. | N/A | An SOC is required and must explain the geometry of the installation.
Additional horizontal field-of-view capability may be added at the sponsor's discretion provided the minimum field-of-view is retained. | X | Horizontal field-of-view is centered on the zero degree azimuth line relative to the aircraft fuselage. Field-of-view may be measured using a visual test pattern filling the entire visual scene (all channels) with a matrix of black and white 5° squares. | ||
| 4.b.2. | Continuous field-of-view. | The simulator must provide a continuous field-of-view of at least 146° horizontally and 36° vertically or the number of degrees necessary to meet the visual ground segment requirement, whichever is greater. The minimum horizontal field-of-view coverage must be plus and minus one-half (
| N/A | An SOC is required and must explain the geometry of the installation.
Horizontal field-of-view of at least 146° (including not less than 73° measured either side of the center of the design eye point). Additional horizontal field-of-view capability may be added at the sponsor's discretion provided the minimum field-of-view is retained. Vertical field-of-view of at least 36° measured from the pilot's and co-pilot's eye point. | X | Horizontal field-of-view is centered on the zero degree azimuth line relative to the aircraft fuselage. Field-of-view may be measured using a visual test pattern filling the entire visual scene (all channels) with a matrix of black and white 5° squares. | ||
| 4.b.3. | Continuous field-of-view. | Continuous field-of-view of at least 176° horizontal and 56° vertical field-of-view for each pilot simultaneously. Any geometric error between the Image Generator eye point and the pilot eye point must be 8° or less. | N/A | An SOC is required and must explain the geometry of the installation.
Horizontal field-of-view is centered on the zero degree azimuth line relative to the aircraft fuselage. Horizontal field-of-view must be at least 176° (including not less than 88° either side of the center of the design eye point). Additional horizontal field-of-view capability may be added at the sponsor's discretion provided the minimum field-of-view is retained. Vertical field-of-view must not be less than a total of 56° measured from the pilot's and co-pilot's eye point | X | The horizontal field-of-view is traditionally described as a 180° field-of-view. However, the field-of-view is technically no less than 176°. Field-of-view may be measured using a visual test pattern filling the entire visual scene (all channels) with a matrix of black and white 5° squares. | ||
| 4.c. | Surface contrast ratio. | Not less than 5:1. | N/A | The ratio is calculated by dividing the brightness level of the center, bright square (providing at least 2 foot-lamberts or 7 cd/m 2) by the brightness level of any adjacent dark square. | X | Measurements may be made using a 1° spot photometer and a raster drawn test pattern filling the entire visual scene (all channels) with a test pattern of black and white squares, 5 per square, with a white square in the center of each channel. During contrast ratio testing, simulator aft-cab and flight deck ambient light levels should be zero. | ||
| 4.d. | Highlight brightness. | Not less than six (6) foot-lamberts (20 cd/m 2). | N/A | Measure the brightness of the center, white square while superimposing a highlight on that white square. The use of calligraphic capabilities to enhance the raster brightness is acceptable; however, measuring light points is not acceptable. | X | Measurements may be made using a 1° spot photometer and a raster drawn test pattern filling the entire visual scene (all channels) with a test pattern of black and white squares, 5 per square, with a white square in the center of each channel. | ||
| 4.e. | Surface resolution. | Not greater than two (2) arc minutes. | N/A | An SOC is required and must include the appropriate calculations and an explanation of those calculations. Level B requires surface resolution not greater than three (3) arc minutes. | X | X | When the eye is positioned on a 3° glide slope at the slant range distances indicated with white runway markings on a black runway surface, the eye will subtend two (2) arc minutes: (1) A slant range of 6,876 ft with stripes 150 ft long and 16 ft wide, spaced 4 ft apart. (2) For Configuration A, a slant range of 5,157 feet with stripes 150 ft long and 12 ft wide, spaced 3 ft apart. (3) For Configuration B, a slant range of 9,884 feet, with stripes 150 ft long and 5.75 ft wide, spaced 5.75 ft apart. | |
| 4.f. | Light point size | Not greater than five (5) arc minutes. | N/A | An SOC is required and must include the relevant calculations and an explanation of those calculations. | X | X | Light point size may be measured using a test pattern consisting of a centrally located single row of light points reduced in length until modulation is just discernible in each visual channel. A row of 48 lights will form a 4° angle or less. | |
| 4.g. | Light point contrast ratio. | A 1° spot photometer may be used to measure a square of at least 1° filled with light points (where light point modulation is just discernible) and compare the results to the measured adjacent background. During contrast ratio testing, simulator aft-cab and flight deck ambient light levels should be zero. | ||||||
| 4.g.1. | Not less than 10:1 | N/A | An SOC is required and must include the relevant calculations. | X | ||||
| 4.g.2. | Not less than 25:1 | N/A | An SOC is required and must include the relevant calculations. | X | X | |||
| 4.h. | Visual ground segment | |||||||
| The visible segment in the simulator must be ±20% of the segment computed to be visible from the helicopter flight deck. This tolerance may be applied at the far end of the displayed segment. However, lights and ground objects computed to be visible from the helicopter flight deck at the near end of the visible segment must be visible in the simulator. | Landing configuration, with the aircraft trimmed for the appropriate airspeed, where the MLG are at 100 ft (30 m) above the plane of the touchdown zone, on the electronic glide slope with an RVR value set at 1,200 ft (350 m). | The QTG must contain appropriate calculations and a drawing showing the data used to establish the helicopter location and the segment of the ground that is visible considering design eye point, the helicopter attitude, flight deck cut-off angle, and a visibility of 1200 ft (350 m) RVR. Simulator performance must be measured against the QTG calculations. The data submitted must include at least the following: | X | X | X | Pre-positioning for this test is encouraged, and may be achieved via manual or autopilot control to the desired position. | ||
| (1) Static helicopter dimensions as follows:
(i) Horizontal and vertical distance from main landing gear (MLG) to glideslope reception antenna. (ii) Horizontal and vertical distance from MLG to pilot's eyepoint. (iii) Static flight deck cutoff angle. (2) Approach data as follows: (i) Identification of runway. (ii) Horizontal distance from runway threshold to glideslope intercept with runway. (iii) Glideslope angle. (iv) Helicopter pitch angle on approach. (3) Helicopter data for manual testing: (i) Gross weight. (ii) Helicopter configuration. (iii) Approach airspeed. If non-homogenous fog is used to obscure visibility, the vertical variation in horizontal visibility must be described and be included in the slant range visibility calculation used in the computations. | ||||||||
| 5. | Sound system | |||||||
| The sponsor will not be required to repeat the helicopter tests (i.e., tests 5.a.1. through 5.a.8. (or 5.b.1. through 5.b.9.) and 5.c., as appropriate) during continuing qualification evaluations if frequency response and background noise test results are within tolerance when compared to the initial qualification evaluation results, and the sponsor shows that no software changes have occurred that will affect the helicopter test results. If the frequency response test method is chosen and fails, the sponsor may elect to fix the frequency response problem and repeat the test or the sponsor may elect to repeat the helicopter tests. If the helicopter tests are repeated during continuing qualification evaluations, the results may be compared against initial qualification evaluation results or helicopter master data. All tests in this section must be presented using an unweighted
| ||||||||
| 5.a. | Basic requirements | |||||||
| 5.a.1. | Ready for engine start. | ±5 dB per
| Ground | Normal condition prior to engine start. The APU must be on if appropriate. | X | |||
| 5.a.2. | All engines at idle; rotor not turning (if applicable) and rotor turning. | ±5 dB per
| Ground | Normal condition prior to lift-off. | X | |||
| 5.a.3. | Hover | ±5 dB per
| Hover | X | ||||
| 5.a.4. | Climb | ±5 dB per
| En-route climb | Medium altitude | X | |||
| 5.a.5. | Cruise | ±5 dB per
| Cruise | Normal cruise configuration. | X | |||
| 5.a.6. | Final approach | ±5 dB per
| Landing | Constant airspeed, gear down. | X | |||
| 5.b. | Special cases | |||||||
| ±5 dB per
| As appropriate | X | These special cases are identified as particularly significant during critical phases of flight and ground operations for a specific helicopter type or model. | |||||
| 5.c. | Background noise | |||||||
| ±3 dB per
| As appropriate | Results of the background noise at initial qualification must be included in the MQTG. Measurements must be made with the simulation running, the sound muted, and a “dead” flight deck. | X | The simulated sound will be evaluated to ensure that the background noise does not interfere with training, testing, or checking. | ||||
| 5.d. | Frequency response | |||||||
| ±5 dB on three (3) consecutive bands when compared to initial evaluation; and ±2 dB when comparing the average of the absolute differences between initial and continuing qualification evaluation. | Applicable only to Continuing Qualification Evaluations. If frequency response plots are provided for each channel at the initial evaluation, these plots may be repeated at the continuing qualification evaluation with the following tolerances applied:
(a) The continuing qualification (b) The average of the sum of the absolute differences between initial and continuing qualification results must not exceed 2 dB (refer to table C2C in Appendix C). | X | Measurements are compared to those taken during initial qualification evaluation. | |||||
a. If relevant winds are present in the objective data, the wind vector should be clearly noted as part of the data presentation, expressed in conventional terminology, and related to the runway being used for test near the ground.
b. The reader is encouraged to review the Airplane Flight Simulator Evaluation Handbook, Volumes I and II, published by the Royal Aeronautical Society, London, UK, and FAA AC 25-7, as amended, Flight Test Guide for Certification of Transport Category Airplanes, and AC 23-8, as amended, Flight Test Guide for Certification of Part 23 Airplanes, for references and examples regarding flight testing requirements and techniques.
a. General. The characteristics of a helicopter flight control system have a major effect on the handling qualities. A significant consideration in pilot acceptability of a helicopter is the “feel” provided through the flight controls. Considerable effort is expended on helicopter feel system design so that pilots will be comfortable and will consider the helicopter desirable to fly. In order for an FFS to be representative, it should “feel” like the helicopter being simulated. Compliance with this requirement is determined by comparing a recording of the control feel dynamics of the FFS to actual helicopter measurements in the hover and cruise configurations.
(1) Recordings such as free response to an impulse or step function are classically used to estimate the dynamic properties of electromechanical systems. In any case, it is only possible to estimate the dynamic properties as a result of only being able to estimate true inputs and responses. Therefore, it is imperative that the best possible data be collected since close matching of the FFS control loading system to the helicopter system is essential. The required dynamic control tests are described in Table C2A of this attachment.
(2) For initial and upgrade evaluations, the QPS requires that control dynamics characteristics be measured and recorded directly from the flight controls (Handling Qualities—Table C2A). This procedure is usually accomplished by measuring the free response of the controls using a step or impulse input to excite the system. The procedure should be accomplished in the hover and cruise flight conditions and configurations.
(3) For helicopters with irreversible control systems, measurements may be obtained on the ground if proper pitot-static inputs are provided to represent airspeeds typical of those encountered in flight. Likewise, it may be shown that for some helicopters, hover, climb, cruise, and autorotation have like effects. Thus, one may suffice for another. If either or both considerations apply, engineering validation or helicopter manufacturer rationale should be submitted as justification for ground tests or for eliminating a configuration. For FFSs requiring static and dynamic tests at the controls, special test fixtures will not be required during initial and upgrade evaluations if the QTG shows both test fixture results and the results of an alternate approach (e.g., computer plots that were produced concurrently and show satisfactory agreement). Repeat of the alternate method during the initial evaluation satisfies this test requirement.
b. Control Dynamics Evaluations. The dynamic properties of control systems are often stated in terms of frequency, damping, and a number of other classical measurements. In order to establish a consistent means of validating test results for FFS control loading, criteria are needed that will clearly define the measurement interpretation and the applied tolerances. Criteria are needed for underdamped, critically damped and overdamped systems. In the case of an underdamped system with very light damping, the system may be quantified in terms of frequency and damping. In critically damped or overdamped systems, the frequency and damping are not readily measured from a response time history. Therefore, the following suggested measurements may be used:
(1) For Levels C and D simulators. Tests to verify that control feel dynamics represent the helicopter should show that the dynamic damping cycles (free response of the controls) match those of the helicopter within specified tolerances. The responsible Flight Standards office recognizes that several different testing methods may be used to verify the control feel dynamic response. The responsible Flight Standards office will consider the merits of testing methods based on reliability and consistency. One acceptable method of evaluating the response and the tolerance to be applied is described below for the underdamped and critically damped cases. A sponsor using this method to comply with the QPS requirements should perform the tests as follows:
(a) Underdamped Response. Two measurements are required for the period, the time to first zero crossing (in case a rate limit is present) and the subsequent frequency of oscillation. It is necessary to measure cycles on an individual basis in case there are non-uniform periods in the response. Each period will be independently compared to the respective period of the helicopter control system and, consequently, will enjoy the full tolerance specified for that period. The damping tolerance will be applied to overshoots on an individual basis. Care should be taken when applying the tolerance to small overshoots since the significance of such overshoots becomes questionable. Only those overshoots larger than 5 percent of the total initial displacement should be considered significant. The residual band, labeled T(A
(b) Critically damped and Overdamped Response. Due to the nature of critically damped and overdamped responses (no overshoots), the time to reach 90 percent of the steady state (neutral point) value should be the same as the helicopter within ±10 percent. The simulator response must be critically damped also. Figure C2B illustrates the procedure.
(c) Special considerations. Control systems that exhibit characteristics other than classical overdamped or underdamped responses should meet specified tolerances. In addition, special consideration should be given to ensure that significant trends are maintained.
(2) Tolerances.
(a) The following summarizes the tolerances, “T” for underdamped systems, and “n” is the sequential period of a full cycle of oscillation. See Figure C2A of this attachment for an illustration of the referenced measurements.
| T(P | ±10% of P |
| T(P | ±20% of P |
| T(P | ±30% of P |
| T(P | ±10(n + 1)% of P |
| T(A | ±10% of A |
| T(A | ±5% of A |
Significant overshoots. First overshoot and ±1 subsequent overshoots
(b) The following tolerance applies to critically damped and overdamped systems only. See Figure C2B for an illustration of the reference measurements:
| T(P | ±10% of P |
c. Alternative method for control dynamics evaluation.
(1) An alternative means for validating control dynamics for aircraft with hydraulically powered flight controls and artificial feel systems is by the measurement of control force and rate of movement. For each axis of pitch, roll, and yaw, the control must be forced to its maximum extreme position for the following distinct rates. These tests are conducted under normal flight and ground conditions.
(a) Static test—Slowly move the control so that a full sweep is achieved within 95-105 seconds. A full sweep is defined as movement of the controller from neutral to the stop, usually aft or right stop, then to the opposite stop, then to the neutral position.
(b) Slow dynamic test—Achieve a full sweep within 8-12 seconds.
(c) Fast dynamic test—Achieve a full sweep in within 3-5 seconds.
Dynamic sweeps may be limited to forces not exceeding 100 lbs. (44.5 daN).
(d) Tolerances
(i) Static test—see Table C2A, FFS Objective Tests, Entries 2.a.1., 2.a.2., and 2.a.3.
(ii) Dynamic test—±2 lbs (0.9 daN) or ±10% on dynamic increment above static test.
d. The FAA is open to alternative means that are justified and appropriate to the application. For example, the method described here may not apply to all manufacturers systems and certainly not to aircraft with reversible control systems. Each case is considered on its own merit on an ad hoc basis. If the FAA finds that alternative methods do not result in satisfactory performance, more conventionally accepted methods will have to be used.
a. General.
(1) Pilots use continuous information signals to regulate the state of the helicopter. In concert with the instruments and outside-world visual information, whole-body motion feedback is essential in assisting the pilot to control the helicopter dynamics, particularly in the presence of external disturbances. The motion system should meet basic objective performance criteria, and be subjectively tuned at the pilot's seat position to represent the linear and angular accelerations of the helicopter during a prescribed minimum set of maneuvers and conditions. The response of the motion cueing system should be repeatable.
(2) The Motion System tests in Section 3 of Table C2A are intended to qualify the FFS motion cueing system from a mechanical performance standpoint. Additionally, the list of motion effects provides a representative sample of dynamic conditions that should be present in the flight simulator. An additional list of representative, training-critical maneuvers, selected from Section 1, (Performance tests) and Section 2, (Handling Qualities tests) in Table C2A, that should be recorded during initial qualification (but without tolerance) to indicate the flight simulator motion cueing performance signature have been identified (reference Section 3.e). These tests are intended to help improve the overall standard of FFS motion cueing.
b. Motion System Checks. The intent of test 3a, Frequency Response, test 3b, Leg Balance, and test 3c, Turn-Around Check, as described in the Table of Objective Tests, is to demonstrate the performance of the motion system hardware, and to check the integrity of the motion set-up with regard to calibration and wear. These tests are independent of the motion cueing software and should be considered robotic tests.
c. Motion System Repeatability. The intent of this test is to ensure that the motion system software and motion system hardware have not degraded or changed over time. This diagnostic test should be completed during continuing qualification checks in lieu of the robotic tests. This will allow an improved ability to determine changes in the software or determine degradation in the hardware. The following information delineates the methodology that should be used for this test.
(1) Input: The inputs should be such that rotational accelerations, rotational rates, and linear accelerations are inserted before the transfer from helicopter center of gravity to pilot reference point with a minimum amplitude of 5 deg/sec/sec, 10 deg/sec and 0.3 g, respectively, to provide adequate analysis of the output.
(2) Recommended output:
(a) Actual platform linear accelerations; the output will comprise accelerations due to both the linear and rotational motion acceleration;
(b) Motion actuators position.
d. Motion Cueing Performance Signature.
(1) Background. The intent of this test is to provide quantitative time history records of motion system response to a selected set of automated QTG maneuvers during initial qualification. It is not intended to be a comparison of the motion platform accelerations against the flight test recorded accelerations (i.e., not to be compared against helicopter cueing). If there is a modification to the initially qualified motion software or motion hardware (e.g., motion washout filter, simulator payload change greater than 10%) then a new baseline may need to be established.
(2) Test Selection. The conditions identified in Section 3.e. in Table C2A are those maneuvers where motion cueing is the most discernible. They are general tests applicable to all types of helicopters and should be completed for motion cueing performance signature at any time acceptable to the responsible Flight Standards office prior to or during the initial qualification evaluation, and the results included in the MQTG.
(3) Priority. Motion system should be designed with the intent of placing greater importance on those maneuvers that directly influence pilot perception and control of the helicopter motions. For the maneuvers identified in section 3.e. in Table C2A, the flight simulator motion cueing system should have a high tilt co-ordination gain, high rotational gain, and high correlation with respect to the helicopter simulation model.
(4) Data Recording. The minimum list of parameters provided should allow for the determination of the flight simulator's motion cueing performance signature for the initial qualification evaluation. The following parameters are recommended as being acceptable to perform such a function:
(a) Flight model acceleration and rotational rate commands at the pilot reference point;
(b) Motion actuators position;
(c) Actual platform position;
(d) Actual platform acceleration at pilot reference point.
e. Motion Vibrations.
(1) Presentation of results. The characteristic motion vibrations may be used to verify that the flight simulator can reproduce the frequency content of the helicopter when flown in specific conditions. The test results should be presented as a Power Spectral Density (PSD) plot with frequencies on the horizontal axis and amplitude on the vertical axis. The helicopter data and flight simulator data should be presented in the same format with the same scaling. The algorithms used for generating the flight simulator data should be the same as those used for the helicopter data. If they are not the same then the algorithms used for the flight simulator data should be proven to be sufficiently comparable. As a minimum the results along the dominant axes should be presented and a rationale for not presenting the other axes should be provided.
(2) Interpretation of results. The overall trend of the PSD plot should be considered while focusing on the dominant frequencies. Less emphasis should be placed on the differences at the high frequency and low amplitude portions of the PSD plot. During the analysis, certain structural components of the flight simulator have resonant frequencies that are filtered and may not appear in the PSD plot. If filtering is required, the notch filter bandwidth should be limited to 1 Hz to ensure that the buffet feel is not adversely affected. In addition, a rationale should be provided to explain that the characteristic motion vibration is not being adversely affected by the filtering. The amplitude should match helicopter data as described below. However, if the PSD plot was altered for subjective reasons, a rationale should be provided to justify the change. If the plot is on a logarithmic scale it may be difficult to interpret the amplitude of the buffet in terms of acceleration. For example, a 1 × 10
In the example, “g-rms
f. Table C2B, Motion System Recommendations for Level C and Level D Helicopter Simulators, contains a description of the parameters that should be present in simulator motion systems to provide adequate onset motion cues to helicopter pilots. The information provided covers the six axes of motion (pitch, roll, yaw, vertical, lateral, and longitudinal) and addresses displacement, velocity, and acceleration. Also included is information about the parameters for initial rotational and linear acceleration. The parameters listed in this table apply only to Level C and Level D simulators, and are presented here as recommended targets for motion system capability. They are not requirements.
Table C2B—Motion System Recommendations for Level C and Level D Helicopter Simulators
| a. | Motion System Envelope | |
| a.1. | Pitch | |
| a.1.a. | Displacement | ±25° |
| a.1.b. | Velocity | ±20°/sec |
| a.1.c. | Acceleration | ±100°/sec 2 |
| a.2. | Roll | |
| a.2.a. | Displacement | ±25° |
| a.2.b. | Velocity | ±20°/sec |
| a.2.c. | Acceleration | ±100°/sec 2 |
| a.3. | Yaw | |
| a.3.a. | Displacement | ±25° |
| a.3.b. | Velocity— | ±20°/sec |
| a.3.c. | Acceleration | ±100°/sec 2 |
| a.4. | Vertical | |
| a.4.a. | Displacement | ±34 in. |
| a.4.b. | Velocity | ±24 in. |
| a.4.c. | Acceleration | ±0.8 g. |
| a.5. | Lateral | |
| a.5.a. | Displacement | ±45 in. |
| a.5.b. | Velocity | ±28 in/sec. |
| a.5.c. | Acceleration | ±0.6 g. |
| a.6. | Longitudinal | |
| a.6.a. | Displacement | ±34 in. |
| a.6.b. | Velocity | ±28 in/sec. |
| a.6.c. | Acceleration | ±0.6 g. |
| a.7. | Initial Rotational Acceleration Ratio. | |
| All axes 300°/ sec 2/sec | ||
| a.8. | Initial Linear Acceleration Ratio. | |
| a.8.a. | Vertical | ±6g/sec |
| a.8.b. | Lateral | ±3g/sec |
| a.8.c. | Longitudinal | ±3g/sec |
a. General. The total sound environment in the helicopter is very complex, and changes with atmospheric conditions, helicopter configuration, airspeed, altitude, and power settings. Flight deck sounds are an important component of the flight deck operational environment and provide valuable information to the flight crew. These aural cues can either assist the crew (as an indication of an abnormal situation), or hinder the crew (as a distraction or nuisance). For effective training, the flight simulator should provide flight deck sounds that are perceptible to the pilot during normal and abnormal operations, and that are comparable to those of the helicopter. The flight simulator operator should carefully evaluate background noises in the location where the device will be installed. To demonstrate compliance with the sound requirements, the objective or validation tests in this attachment were selected to provide a representative sample of normal static conditions typically experienced by a pilot.
b. Alternate propulsion. For FFS with multiple propulsion configurations, any condition listed in Table C2A in this attachment should be presented for evaluation as part of the QTG if identified by the helicopter manufacturer or other data supplier as significantly different due to a change in propulsion system (engine or propeller).
c. Data and Data Collection System.
(1) Information provided to the flight simulator manufacturer should comply be presented in the format suggested by the “International Air Transport Association (IATA) Flight Simulator Design and Performance Data Requirements,” as amended. This information should contain calibration and frequency response data.
(2) The system used to perform the tests listed in Table C2A should comply with the following standards:
(a) The specifications for octave, half octave, and third octave band filter sets may be found in American National Standards Institute (ANSI) S1.11-1986.
(b) Measurement microphones should be type WS2 or better, as described in International Electrotechnical Commission (IEC) 1094-4-1995.
(3) Headsets. If headsets are used during normal operation of the helicopter they should also be used during the flight simulator evaluation.
(4) Playback equipment. Playback equipment and recordings of the QTG conditions should be provided during initial evaluations.
(5) Background noise.
(a) Background noise is the noise in the flight simulator that is not associated with the helicopter, but is caused by the flight simulator's cooling and hydraulic systems and extraneous noise from other locations in the building. Background noise can seriously impact the correct simulation of helicopter sounds, and should be kept below the helicopter sounds. In some cases, the sound level of the simulation can be increased to compensate for the background noise. However, this approach is limited by the specified tolerances and by the subjective acceptability of the sound environment to the evaluation pilot.
(b) The acceptability of the background noise levels is dependent upon the normal sound levels in the helicopter being represented. Background noise levels that fall below the lines defined by the following points, may be acceptable:
(i) 70 dB @ 50 Hz;
(ii) 55 dB @ 1000 Hz;
(iii) 30 dB @ 16 kHz.
(
(6) Validation testing. Deficiencies in helicopter recordings should be considered when applying the specified tolerances to ensure that the simulation is representative of the helicopter. Examples of typical deficiencies are:
(a) Variation of data between tail numbers.
(b) Frequency response of microphones.
(c) Repeatability of the measurements.
Table C2C—Example of Continuing Qualification Frequency Response Test Tolerance
| Band center
frequency | Initial results
(dBSPL) | Continuing qualification results
(dBSPL) | Absolute
difference |
|---|---|---|---|
| 50 | 75.0 | 73.8 | 1.2 |
| 63 | 75.9 | 75.6 | 0.3 |
| 80 | 77.1 | 76.5 | 0.6 |
| 100 | 78.0 | 78.3 | 0.3 |
| 125 | 81.9 | 81.3 | 0.6 |
| 160 | 79.8 | 80.1 | 0.3 |
| 200 | 83.1 | 84.9 | 1.8 |
| 250 | 78.6 | 78.9 | 0.3 |
| 315 | 79.5 | 78.3 | 1.2 |
| 400 | 80.1 | 79.5 | 0.9 |
| 500 | 80.7 | 79.8 | 0.9 |
| 630 | 81.9 | 80.4 | 1.5 |
| 800 | 73.2 | 74.1 | 0.9 |
| 1000 | 79.2 | 80.1 | 0.9 |
| 1250 | 80.7 | 82.8 | 2.1 |
| 1600 | 81.6 | 78.6 | 3.0 |
| 2000 | 76.2 | 74.4 | 1.8 |
| 2500 | 79.5 | 80.7 | 1.2 |
| 3150 | 80.1 | 77.1 | 3.0 |
| 4000 | 78.9 | 78.6 | 0.3 |
| 5000 | 80.1 | 77.1 | 3.0 |
| 6300 | 80.7 | 80.4 | 0.3 |
| 8000 | 84.3 | 85.5 | 1.2 |
| 10000 | 81.3 | 79.8 | 1.5 |
| 12500 | 80.7 | 80.1 | 0.6 |
| 16000 | 71.1 | 71.1 | 0.0 |
| Average | 1.1 | ||
a. Typically, a helicopter manufacturer's approved final data for performance, handling qualities, systems or avionics is not available until well after a new or derivative helicopter has entered service. However, flight crew training and certification often begins several months prior to the entry of the first helicopter into service. Consequently, it may be necessary to use preliminary data provided by the helicopter manufacturer for interim qualification of flight simulators.
b. In these cases, the responsible Flight Standards office may accept certain partially validated preliminary helicopter and systems data, and early release (“red label”) avionics data in order to permit the necessary program schedule for training, certification, and service introduction.
c. Simulator sponsors seeking qualification based on preliminary data should consult the responsible Flight Standards office to make special arrangements for using preliminary data for flight simulator qualification. The sponsor should also consult the helicopter and flight simulator manufacturers to develop a data plan and flight simulator qualification plan.
d. The procedure to be followed to gain the responsible Flight Standards office acceptance of preliminary data will vary from case to case and between helicopter manufacturers. Each helicopter manufacturer's new helicopter development and test program is designed to suit the needs of the particular project and may not contain the same events or sequence of events asanother manufacturer's program or even the same manufacturer's program for a different helicopter. Therefore, there cannot be a prescribed invariable procedure for acceptance of preliminary data; instead there should be a statement describing the final sequence of events, data sources, and validation procedures agreed by the simulator sponsor, the helicopter manufacturer, the flight simulator manufacturer, and the responsible Flight Standards office.
A description of helicopter manufacturer-provided data needed for flight simulator modeling and validation is to be found in the “Royal Aeronautical Society Data Package Requirements for Design and Performance Evaluation of Rotary Wing Synthetic Training Devices.”
e. The preliminary data should be the manufacturer's best representation of the helicopter, with assurance that the final data will not deviate significantly from the preliminary estimates. Data derived from these predictive or preliminary techniques should be validated by available sources including, at least, the following:
(1) Manufacturer's engineering report. The report should explain the predictive method used and illustrate past success of the method on similar projects. For example, the manufacturer could show the application of the method to an earlier helicopter model or predict the characteristics of an earlier model and compare the results to final data for that model.
(2) Early flight test results. This data is often derived from helicopter certification tests and should be used to maximum advantage for early flight simulator validation. Certain critical tests that would normally be done early in the helicopter certification program should be included to validate essential pilot training and certification maneuvers. These tests include cases where a pilot is expected to cope with a helicopter failure mode or an engine failure. The early data available will depend on the helicopter manufacturer's flight test program design and may not be the same in each case. The flight test program of the helicopter manufacturer should include provisions for generation of very early flight tests results for flight simulator validation.
f. The use of preliminary data is not indefinite. The helicopter manufacturer's final data should be available within 12 months after the helicopter first entry into service or as agreed by the responsible Flight Standards office, the simulator sponsor, and the helicopter manufacturer. When applying for interim qualification using preliminary data, the simulator sponsor and the responsible Flight Standards office should agree on the update program. This includes specifying that the final data update will be installed in the flight simulator within a period of 12 months following the final data release, unless special conditions exist and a different schedule is acceptable. The flight simulator performance and handling validation would then be based on data derived from flight tests. Initial helicopter systems data should be updated after engineering tests. Final helicopter systems data should also be used for flight simulator programming and validation.
g. Flight simulator avionics should stay essentially in step with helicopter avionics (hardware and software) updates. The permitted time lapse between helicopter and flight simulator updates should be minimal. It may depend on the magnitude of the update and whether the QTG and pilot training and certification are affected. Differences in helicopter and flight simulator avionics versions and the resulting effects on flight simulator qualification should be agreed between the simulator sponsor and the responsible Flight Standards office. Consultation with the flight simulator manufacturer is desirable throughout the qualification process.
h. The following describes an example of the design data and sources that might be used in the development of an interim qualification plan.
(1) The plan should consist of the development of a QTG based upon a mix of flight test and engineering simulation data. For data collected from specific helicopter flight tests or other flights the required design model or data changes necessary to support an acceptable Proof of Match (POM) should be generated by the helicopter manufacturer.
(2) For proper validation of the two sets of data, the helicopter manufacturer should compare their simulation model responses against the flight test data, when driven by the same control inputs and subjected to the same atmospheric conditions as recorded in the flight test. The model responses should result from a simulation where the following systems are run in an integrated fashion and are consistent with the design data released to the flight simulator manufacturer:
(a) Propulsion.
(b) Aerodynamics.
(c) Mass properties.
(d) Flight controls.
(e) Stability augmentation.
(f) Brakes/landing gear.
i. A qualified test pilot should be used to assess handling qualities and performance evaluations for the qualification of flight simulators of new helicopter types.
a. When a fully validated simulation (i.e., validated with flight test results) is modified due to changes to the simulated helicopter configuration, the helicopter manufacturer or other acceptable data supplier must coordinate with the responsible Flight Standards office to supply validation data from an “audited” engineering simulator/simulation to selectively supplement flight test data. The responsible Flight Standards office must be provided an opportunity to audit the use of the engineering simulation or the engineering simulator during the acquisition of the data that will be used as validation data. Audited data may be used for changes that are incremental in nature. Manufacturers or other data suppliers must be able to demonstrate that the predicted changes in helicopter performance are based on acceptable aeronautical principles with proven success history and valid outcomes. This must include comparisons of predicted and flight test validated data.
b. Helicopter manufacturers or other acceptable data suppliers seeking to use an engineering simulator for simulation validation data as an alternative to flight-test derived validation data, must contact the responsible Flight Standards office and provide the following:
(1) A description of the proposed aircraft changes, a description of the proposed simulation model changes, and the use of an integral configuration management process, including an audit of the actual simulation model modifications that includes a step-by-step description leading from the original model(s) to the current model(s).
(2) A schedule for review by the responsible Flight Standards office of the proposed plan and the subsequent validation data to establish acceptability of the proposal.
(3) Validation data from an audited engineering simulator/simulation to supplement specific segments of the flight test data.
c. To be qualified to supply engineering simulator validation data, for aerodynamic, engine, flight control, or ground handling models, a helicopter manufacturer or other acceptable data supplier must:
(1) Be able to verify their ability to:
(a) Develop and implement high fidelity simulation models; and
(b) Predict the handling and performance characteristics of a helicopter with sufficient accuracy to avoid additional flight test activities for those handling and performance characteristics.
(2) Have an engineering simulator that:
(a) Is a physical entity, complete with a flight deck representative of the simulated class of helicopter;
(b) Has controls sufficient for manual flight;
(c) Has models that run in an integrated manner;
(d) Had fully flight-test validated simulation models as the original or baseline simulation models;
(e) Has an out-of-the-flight deck visual system;
(f) Has actual avionics boxes interchangeable with the equivalent software simulations to support validation of released software;
(g) Uses the same models as released to the training community (which are also used to produce stand-alone proof-of-match and checkout documents);
(h) Is used to support helicopter development and certification; and
(i) Has been found to be a high fidelity representation of the helicopter by the manufacturer's pilots (or other acceptable data supplier), certificate holders, and the responsible Flight Standards office.
(3) Use the engineering simulator to produce a representative set of integrated proof-of-match cases.
(4) Use a configuration control system covering hardware and software for the operating components of the engineering simulator.
(5) Demonstrate that the predicted effects of the change(s) are within the provisions of sub-paragraph “a” of this section, and confirm that additional flight test data are not required.
d. Additional Requirements for Validation Data
(1) When used to provide validation data, an engineering simulator must meet the simulator standards currently applicable to training simulators except for the data package.
(2) The data package used must be:
(a) Comprised of the engineering predictions derived from the helicopter design, development, or certification process;
(b) Based on acceptable aeronautical principles with proven success history and valid outcomes for aerodynamics, engine operations, avionics operations, flight control applications, or ground handling;
(c) Verified with existing flight-test data; and
(d) Applicable to the configuration of a production helicopter, as opposed to a flight-test helicopter.
(3) Where engineering simulator data are used as part of a QTG, an essential match must exist between the training simulator and the validation data.
(4) Training flight simulator(s) using these baseline and modified simulation models must be qualified to at least internationally recognized standards, such as contained in the ICAO Document 9625, the “Manual of Criteria for the Qualification of Flight Simulators.”
a. Non-Flight-Test Tolerances. If engineering simulator data or other non-flight-test data are used as an allowable form of reference validation data for the objective tests listed in Table C2A of this attachment, the data provider must supply a well-documented mathematical model and testing procedure that enables a replication of the engineering simulation results within 20% of the corresponding flight test tolerances.
b. Background
(1) The tolerances listed in Table C2A of this attachment are designed to measure the quality of the match using flight-test data as a reference.
(2) Good engineering judgment should be applied to all tolerances in any test. A test is failed when the results fall outside of the prescribed tolerance(s).
(3) Engineering simulator data are acceptable because the same simulation models used to produce the reference data are also used to test the flight training simulator (i.e., the two sets of results should be “essentially” similar).
(4) The results from the two sources may differ for the following reasons:
(a) Hardware (avionics units and flight controls);
(b) Iteration rates;
(c) Execution order;
(d) Integration methods;
(e) Processor architecture;
(f) Digital drift, including:
(i) Interpolation methods;
(ii) Data handling differences;
(iii) Auto-test trim tolerances.
(5) The tolerance limit between the reference data and the flight simulator results is generally 20% of the corresponding “flight-test” tolerances. However, there may be cases where the simulator models used are of higher fidelity, or the manner in which they are cascaded in the integrated testing loop have the effect of a higher fidelity, than those supplied by the data provider. Under these circumstances, it is possible that an error greater than 20% may be generated. An error greater than 20% may be acceptable if the simulator sponsor can provide an adequate explanation.
(6) Guidelines are needed for the application of tolerances to engineering-simulator-generated validation data because:
(a) Flight-test data are often not available due to sound technical reasons;
(b) Alternative technical solutions are being advanced; and
(c) The costs are high.
a. Helicopter manufacturers or other data suppliers should supply a validation data roadmap (VDR) document as part of the data package. A VDR document contains guidance material from the helicopter validation data supplier recommending the best possible sources of data to be used as validation data in the QTG. A VDR is of special value when requesting interim qualification, qualification of simulators for helicopters certificated prior to 1992, and qualification of alternate engine or avionics fits. A sponsor seeking to have a device qualified in accordance with the standards contained in this QPS appendix should submit a VDR to the responsible Flight Standards office as early as possible in the planning stages. The NSPM is the final authority to approve the data to be used as validation material for the QTG. The responsible Flight Standards office and the Joint Aviation Authorities' Synthetic Training Devices Advisory Board have committed to maintain a list of agreed VDRs.
b. The VDR should identify (in matrix format) sources of data for all required tests. It should also provide guidance regarding the validity of these data for a specific engine type, thrust rating configuration, and the revision levels of all avionics affecting helicopter handling qualities and performance. The VDR should include rationale or explanation in cases where data or parameters are missing, engineering simulation data are to be used, flight test methods require explanation, or where there is any deviation from data requirements. Additionally, the document should refer to other appropriate sources of validation data (e.g., sound and vibration data documents).
c. The Sample Validation Data Roadmap (VDR) for helicopters, shown in Table C2D, depicts a generic roadmap matrix identifying sources of validation data for an abbreviated list of tests. This sample document uses fixed wing parameters instead of helicopter values. It is merely a sample and does not provide actual data. A complete matrix should address all test conditions for helicopter application and provide actual data and data sources.
d. Two examples of rationale pages are presented in Appendix F of IATA Flight Simulator Design and Performance Data Requirements document. These illustrate the type of helicopter and avionics configuration information and descriptive engineering rationale used to describe data anomalies or provide an acceptable basis for using alternative data for QTG validation requirements.
(1) For a new helicopter type, the majority of flight validation data are collected on the first helicopter configuration with a “baseline” flight-related avionics ship-set; (see subparagraph b.(2) of this section). These data are then used to validate all flight simulators representing that helicopter type.
(2) Additional validation data may be needed for flight simulators representing a helicopter with avionics of a different hardware design than the baseline, or a different software revision than that of previously validated configurations.
(3) When a flight simulator with additional or alternate avionics configurations is to be qualified, the QTG should contain tests against validation data for selected cases where avionics differences are expected to be significant.
(1) The following guidelines apply to flight simulators representing helicopters with a revised avionics configuration, or more than one avionics configuration.
(2) The baseline validation data should be based on flight test data, except where other data are specifically allowed (e.g., engineering flight simulator data).
(3) The helicopter avionics can be segmented into two groups, systems or components whose functional behavior contributes to the aircraft response presented in the QTG results, and systems that do not. The following avionics are examples of contributory systems for which hardware design changes or software revisions may lead to significant differences in the aircraft response relative to the baseline avionics configuration: Flight control computers and controllers for engines, autopilot, braking system, and nosewheel steering system, if applicable. Related avionics such as augmentation systems should also be considered.
(4) The acceptability of validation data used in the QTG for an alternative avionics fit should be determined as follows:
(a) For changes to an avionics system or component that do not affect QTG validation test response, the QTG test can be based on validation data from the previously validated avionics configuration.
(b) For an avionics change to a contributory system, where a specific test is not affected by the change (e.g., the avionics change is a Built In Test Equipment (BITE) update or a modification in a different flight phase), the QTG test can be based on validation data from the previously-validated avionics configuration. The QTG should include authoritative justification (e.g., from the helicopter manufacturer or system supplier) that this avionics change does not affect the test.
(c) For an avionics change to a contributory system, the QTG may be based on validation data from the previously-validated avionics configuration if no new functionality is added and the impact of the avionics change on the helicopter response is based on acceptable aeronautical principles with proven success history and valid outcomes. This should be supplemented with avionics-specific validation data from the helicopter manufacturer's engineering simulation, generated with the revised avionics configuration. The QTG should include an explanation of the nature of the change and its effect on the helicopter response.
(d) For an avionics change to a contributory system that significantly affects some tests in the QTG, or where new functionality is added, the QTG should be based on validation data from the previously validated avionics configuration and supplemental avionics-specific flight test data sufficient to validate the alternate avionics revision. Additional flight test validation data may not be needed if the avionics changes were certified without the need for testing with a comprehensive flight instrumentation package. The helicopter manufacturer should coordinate flight simulator data requirements in advance with the responsible Flight Standards office.
(5) A matrix or “roadmap” should be provided with the QTG indicating the appropriate validation data source for each test. The roadmap should include identification of the revision state of those contributory avionics systems that could affect specific test responses.
a. This paragraph describes how to determine the introduced transport delay through the flight simulator system so that it does not exceed a specific time delay. The transport delay should be measured from control inputs through the interface, through each of the host computer modules and back through the interface to motion, flight instrument, and visual systems. The transport delay should not exceed the maximum allowable interval.
b. Four specific examples of transport delay are:
(1) Simulation of classic non-computer controlled aircraft;
(2) Simulation of Computer Controlled Aircraft using real helicopter black boxes;
(3) Simulation of Computer Controlled Aircraft using software emulation of helicopter boxes;
(4) Simulation using software avionics or rehosted instruments.
c. Figure C2C illustrates the total transport delay for a non-computer-controlled helicopter or the classic transport delay test. Since there are no helicopter-induced delays for this case, the total transport delay is equivalent to the introduced delay.
d. Figure C2D illustrates the transport delay testing method using the real helicopter controller system.
e. To obtain the induced transport delay for the motion, instrument and visual signal, the delay induced by the helicopter controller should be subtracted from the total transport delay. This difference represents the introduced delay and should not exceed the standards prescribed in Table C1A.
f. Introduced transport delay is measured from the flight deck control input to the reaction of the instruments and motion and visual systems (See Figure C2C).
g. The control input may also be introduced after the helicopter controller system input and the introduced transport delay may be measured directly from the control input to the reaction of the instruments, and simulator motion and visual systems (See Figure C2D).
h. Figure C2E illustrates the transport delay testing method used on a flight simulator that uses a software emulated helicopter controller system.
i. It is not possible to measure the introduced transport delay using the simulated helicopter controller system architecture for the pitch, roll and yaw axes. Therefore, the signal should be measured directly from the pilot controller. The flight simulator manufacturer should measure the total transport delay and subtract the inherent delay of the actual helicopter components because the real helicopter controller system has an inherent delay provided by the helicopter manufacturer. The flight simulator manufacturer should ensure that the introduced delay does not exceed the standards prescribed in Table C1A.
j. Special measurements for instrument signals for flight simulators using a real helicopter instrument display system instead of a simulated or re-hosted display. For flight instrument systems, the total transport delay should be measured and the inherent delay of the actual helicopter components subtracted to ensure that the introduced delay does not exceed the standards prescribed in Table C1A.
(1) Figure C2FA illustrates the transport delay procedure without helicopter display simulation. The introduced delay consists of the delay between the control movement and the instrument change on the data bus.
(2) Figure C2FB illustrates the modified testing method required to measure introduced delay due to software avionics or re-hosted instruments. The total simulated instrument transport delay is measured and the helicopter delay should be subtracted from this total. This difference represents the introduced delay and should not exceed the standards prescribed in Table C1A. The inherent delay of the helicopter between the data bus and the displays is indicated in figure C2FA. The display manufacturer should provide this delay time.
k. Recorded signals. The signals recorded to conduct the transport delay calculations should be explained on a schematic block diagram. The flight simulator manufacturer should also provide an explanation of why each signal was selected and how they relate to the above descriptions.
l. Interpretation of results. Flight simulator results vary over time from test to test due to “sampling uncertainty.” All flight simulators run at a specific rate where all modules are executed sequentially in the host computer. The flight controls input can occur at any time in the iteration, but these data will not be processed before the start of the new iteration. For example, a flight simulator running at 60 Hz may have a difference of as much as 16.67 msec between results. This does not mean that the test has failed. Instead, the difference is attributed to variation in input processing. In some conditions, the host simulator and the visual system do not run at the same iteration rate, so the output of the host computer to the visual system will not always be synchronized.
m. The transport delay test should account for both daylight and night modes of operation of the visual system. In both cases, the tolerances prescribed in Table C1A should be met and the motion response should occur before the end of the first video scan containing new information.
(1) The MQTG is created during the initial evaluation of a flight simulator. This is the master document, as amended, to which flight simulator continuing qualification evaluation test results are compared.
(2) The currently accepted method of presenting continuing qualification evaluation test results is to provide flight simulator results over-plotted with reference data. Test results are carefully reviewed to determine if the test is within the specified tolerances. This can be a time consuming process, particularly when reference data exhibits rapid variations or an apparent anomaly requiring engineering judgment in the application of the tolerances. In these cases, the solution is to compare the results to the MQTG. The continuing qualification results are compared to the results in the MQTG for acceptance. The flight simulator operator and the responsible Flight Standards office should look for any change in the flight simulator performance since initial qualification.
(1) Flight simulator operators are encouraged to over-plot continuing qualification validation test results with MQTG flight simulator results recorded during the initial evaluation and as amended. Any change in a validation test will be readily apparent. In addition to plotting continuing qualification validation test and MQTG results, operators may elect to plot reference data.
(2) There are no suggested tolerances between flight simulator continuing qualification and MQTG validation test results. Investigation of any discrepancy between the MQTG and continuing qualification flight simulator performance is left to the discretion of the flight simulator operator and the responsible Flight Standards office.
(3) Differences between the two sets of results, other than variations attributable to repeatability issues that cannot be explained should be investigated.
(4) The flight simulator should retain the ability to over-plot both automatic and manual validation test results with reference data.
a. Sponsors are not required to use the alternative data sources, procedures, and instrumentation. However, any sponsor choosing to use alternative sources must comply with the requirements in Table C2E.
b. It has become standard practice for experienced simulator manufacturers to use such techniques as a means of establishing data bases for new simulator configurations while awaiting the availability of actual flight test data. The data generated from the aerodynamic modeling techniques is then compared to the flight test data when it becomes available. The results of such comparisons have become increasingly consistent, indicating that these techniques, applied with appropriate experience, are dependable and accurate for the development of aerodynamic models for use in Level B simulators.
c. Based on this history of successful comparisons, the responsible Flight Standards office has concluded that those who are experienced in the development of aerodynamic models for simulator application can successfully use these modeling techniques to alter the method for acquiring flight test data for Level B simulators.
d. The information in Table C2E (Alternative Data Sources, Procedures, and Information) is presented to describe an acceptable alternative to data sources for simulator modeling and validation and an acceptable alternative to the procedures and instrumentation traditionally used to gather such modeling and validation data.
(1) Alternative data sources that may be used for part or all of a data requirement are the Helicopter Maintenance Manual, the Rotorcraft Flight Manual (RFM), Helicopter Design Data, the Type Inspection Report (TIR), Certification Data or acceptable supplemental flight test data.
(2) The sponsor should coordinate with the responsible Flight Standards office prior to using alternative data sources in a flight test or data gathering effort.
e. The responsible Flight Standards office position on the use of these alternative data sources, procedures, and instrumentation is based on the use of a rigorously defined and fully mature simulation controls system model that includes accurate gearing and cable stretch characteristics (where applicable), determined from actual aircraft measurements. The model does not require control surface position measurements in the flight test objective data in these limited applications.
f. Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated helicopter instruments, including the inclinometer; the force/position measurements of flight deck controls; and a clear visual directional reference for a known magnetic bearing (e.g., a runway centerline). Ground track and wind corrected heading may be used for sideslip angle.
g. The sponsor is urged to contact the responsible Flight Standards office for clarification of any issue regarding helicopters with reversible control systems. This table is not applicable to Computer Controlled Aircraft flight simulators.
h. Use of these alternate data sources, procedures, and instrumentation does not relieve the sponsor from compliance with the balance of the information contained in this document relative to Level B FFSs.
i. The term “inertial measurement system” is used in table C2E includes the use of a functional global positioning system (GPS).
j. Synchronized video for the use of alternative data sources, procedures, and instrumentation should have:
(1) sufficient resolution to allow magnification of the display to make appropriate measurement and comparisons; and
(2) sufficient size and incremental marking to allow similar measurement and comparison. The detail provided by the video should provide sufficient clarity and accuracy to measure the necessary parameter(s) to at least
Table C2E—Alternative Data Sources, Procedures, and Instrumentation
[The standards in this table are required if the data gathering methods described in paragraph 9 of Appendix C are not used]
| QPS requirements | Information | ||
|---|---|---|---|
| Table of objective tests | Level By only | Alternative data sources, procedures, and instrumentation | Notes |
| Test entry number and title | |||
| 1.a.1.a. Performance. Engine Start and Accelerations | X | Data may be acquired using a synchronized video recording of all engine instruments, start buttons, means for fuel introduction and means for moving from “idle” to “flight.” A stopwatch is necessary | |
| 1.a.1.b. Performance. Steady State Idle and Operating RPM Conditions | X | Data may be acquired using a synchronized video recording of all engine instruments, and include the status of the means for moving from “idle” to “flight.” | |
| 1.a.2. Performance. Power Turbine Speed Trim | X | Data may be acquired using a synchronized video recording of all engine instruments. Speed trim actuator position may be hand recorded | |
| 1.a.3. Performance. Engine and Rotor Speed Governing | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 1.b.1. Performance. On Surface Taxi. Minimum Radius Turn | X | TIR, AFM, or Design data may be used | |
| X | Data may be acquired by using a constant tiller position (measured with a protractor), or full pedal application for steady state turn, and synchronized video of heading indicator. If less than full pedal is used, pedal position must be recorded. | A single procedure may not be adequate for all rotorcraft steering systems. Appropriate measurement procedures must be devised and proposed for responsible Flight Standards office concurrence. | |
| 1.b.3. Performance. Taxi | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 1.b.4. Performance. Brake | X | Data may be acquired using a stopwatch and a means for measuring distance such as runway distance markers conforming with runway distance marker standards | |
| 1.c.1. Performance. Running Takeoff | X | Preliminary certification data may be used. Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls. Collective, cyclic, and pedal position time history must be recorded from the start of collective movement through to normal climb. Indicated torque settings may be hand recorded at the moment of lift-off and in a steady normal climb | |
| 1.c.2. Performance. One Engine Inoperative (OEI), continued takeoff | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls. Collective, cyclic, and pedal position time history must be recorded from the start of collective movement through to normal OEI climb. Indicated torque settings may be hand recorded at the moment of lift-off and in a steady normal OEI climb | |
| 1.f. Performance. Level Flight. Trimmed Flight Control Positions | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 1.g. Performance. Normal Climb. Trimmed Flight Control Positions | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 1.h.1. Descent Performance and Trimmed Flight Control Positions | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 1.h.2. Autorotation Performance and Trimmed Flight Control Positions | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 1.j.1. Performance. Running Landing All Engines | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 1.j.2. Performance. Running Landing One Engine Inoperative | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 1.j.3. Performance. Balked Landing | X | Data may be acquired by using a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls. The synchronized video must record the time of the “balk landing” decision | |
| 2.a.1. Handling Qualities. Static Control Checks. Cyclic Controller Position vs. Force | X | Control positions can be obtained using continuous control position recordings. Force data may be acquired by using a hand held force gauge so that the forces can be cross-plotted against control position in each of the control axes | |
| 2.a.2. Handling Qualities. Static Control Checks. Collective/Pedals vs. Force | X | Control positions can be obtained using continuous control position recordings. Force data may be acquired by using a hand held force gauge so that the forces can be cross-plotted against control position in each of the control axes | |
| 2.a.3. Handling Qualities. Brake Pedal Force vs. Position | X | Brake pedal positions can be obtained using continuous position recordings. Force data may be acquired by using a hand held force gauge so that the forces can be cross-plotted against brake pedal position | |
| 2.a.4. Handling Qualities. Trim System Rate (all applicable systems) | X | Control positions can be obtained using continuous control position recordings plotted against time to provide rate in each applicable system | |
| 2.a.6. Handling Qualities. Control System Freeplay | X | Data may be acquired by direct measurement | |
| 2.c.1. Longitudinal Handling Qualities. Control Response | X | Data may be acquired by using an inertial measurement system, a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 2.c.2. Longitudinal Handling Qualities. Static Stability | X | Data may be acquired by using an inertial measurement system, a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 2.c.3.a. Longitudinal Handling Qualities. Dynamic Stability, Long Term Response | X | Data may be acquired by using an inertial measurement system, a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 2.c.3.b. Longitudinal Handling Qualities. Dynamic Stability, Short Term Response | X | Data may be acquired by using an inertial measurement system, a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 2.c.4. Longitudinal Handling Qualities. Maneuvering stability | X | Data may be acquired by using an inertial measurement system, a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 2.d.1.a. Lateral Handling Qualities. Control Response | X | Data may be acquired by using an inertial measurement system, a synchronized video of the calibrated helicopter instruments and the force/position measurements of flight deck controls | |
| 2.d.1.b Directional Handling Qualities. Control Response. | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated helicopter instruments and force/position measurements of flight deck directional controls | |
| 2.d.2. Handling Qualities. Directional Static Stability | X | Data may be acquired by using an inertial measurement system and a synchronized video of calibrated helicopter instruments and force/position measurements of flight deck directional controls | |
| 2.d.3.a. Handling Qualities. Dynamic Lateral and Directional Stability Lateral-Directional Oscillations | X | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated helicopter instruments, the force/position measurements of flight deck controls, and a stop watch | |
| 2.d.3.b. Handling Qualities. Dynamic Lateral and Directional Stability Spiral Stability | X | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated helicopter instruments, the force/position measurements of flight deck controls, and a stop watch | |
| 2.d.3.c. Handling Qualities. Dynamic Lateral and Directional Stability. Adverse/Proverse Yaw | X | Data may be acquired by using an inertial measurement system and a synchronized video of the calibrated helicopter instruments, the force/position measurements of flight deck controls | |
a. Basic principles of a FFS collimated display:
(1) The essential feature of a collimated display is that light rays coming from a given point in a picture are parallel. There are two main implications of the parallel rays:
(a) The viewer's eyes focus at infinity and have zero convergence, providing a cue that the object is distant; and
(b) The angle to any given point in the picture does not change when viewed from a different position so the object behaves geometrically as though it were located at a significant distance from the viewer. These cues are self-consistent, and are appropriate for any object that has been modeled as being at a significant distance from the viewer.
(2) In an ideal situation the rays are perfectly parallel, but most implementations provide only an approximation to the ideal. Typically, an FFS display provides an image located not closer than about 20-33 ft (6-10 m) from the viewer, with the distance varying over the field-of-view. A schematic representation of a collimated display is provided in Figure C2A.
(3) Collimated displays are well suited to many simulation applications as the area of interest is relatively distant from the observer so the angles to objects should remain independent of viewing position. Consider the view of the runway seen by the flight crew lined up on an approach. In the real world, the runway is distant and the light rays from the runway to the eyes are parallel. The runway appears to be straight ahead to both crew members. This situation is well simulated by a collimated display and is presented in Figure C2B. Note that the distance to the runway has been shortened for clarity. If drawn to scale, the runway would be farther away and the rays from the two seats would be closer to being parallel.
(4) While the horizontal field-of-view of a collimated display can be extended to approximately 210°-220°, the vertical field-of-view has been limited to about 40°-45°. These limitations result from tradeoffs in optical quality and interference between the display components and flight deck structures, but were sufficient to meet FFS regulatory approval for Helicopter FFSs. However, recent designs have been introduced with vertical fields of view of up to 60° for helicopter applications.
b. Basic principles of a FFS dome (or non-collimated) display:
(1) The situation in a dome display is shown in Figure C2C. As the angles can be correct for only one eye point at a time, the visual system in the figure has been aligned for the right seat eye point position. The runway appears to be straight ahead of the aircraft for this viewer. For the left seat viewer, however, the runway appears to be somewhat to the right of the aircraft. As the aircraft is still moving towards the runway, the perceived velocity vector will be directed towards the runway and this will be interpreted as the aircraft having some yaw offset.
(2) The situation is substantially different for near field objects encountered in helicopter operations close to the ground. In those cases, objects that should be interpreted as being close to the viewer will be misinterpreted as being distant in a collimated display. The errors can actually be reduced in a dome display.
(3) The field-of-view possible with a dome display can be larger than that of a collimated display. Depending on the configuration, a field-of-view of 240° by 90° is possible and can be exceeded.
(1) While the situations described above are for discrete viewing positions, the same arguments can be extended to moving eye points produced by the viewer's head movement. In the real world, the parallax effects resulting from head movement provide distance cues. The effect is particularly strong for relative movement of flight deck structure in the near field and modeled objects in the distance. Collimated displays will provide accurate parallax cues for distant objects, but increasingly inaccurate cues for near field objects. The situation is reversed for dome displays.
(2) Stereopsis cues resulting from the different images presented to each eye for objects relatively close to the viewer also provide depth cues. Again, the collimated and dome displays provide more or less accurate cues depending on the modeled distance of the objects being viewed.
(1) In view of the basic principles described above, it is clear that neither display approach provides a completely accurate image for all possible object distances. The sponsor should consider the training role of the FFS when configuring the display system to make the optimum choice. Factors that should be considered include relative importance of training tasks at low altitudes, the role of the two crew members in the flying tasks, and the field-of-view required for specific training tasks.
a. Except for special use airport models, all airport models required by this part must be representations of real-world, operational airports or representations of fictional airports and must meet the requirements set out in Tables C3B or C3C of this attachment, as appropriate.
b. If fictional airports are used, the sponsor must ensure that navigational aids and all appropriate maps, charts, and other navigational reference material for the fictional airports (and surrounding areas as necessary) are compatible, complete, and accurate with respect to the visual presentation and airport model of this fictional airport. An SOC must be submitted that addresses navigation aid installation and performance and other criteria (including obstruction clearance protection) for all instrument approaches to the fictional airports that are available in the simulator. The SOC must reference and account for information in the terminal instrument procedures manual and the construction and availability of the required maps, charts, and other navigational material. This material must be clearly marked “for training purposes only.”
c. When the simulator is being used by an instructor or evaluator for purposes of training, checking, or testing under this chapter, only airport models classified as Class I, Class II, or Class III may be used by the instructor or evaluator. Detailed descriptions/definitions of these classifications are found in Appendix F of this part.
d. When a person sponsors an FFS maintained by a person other than a U.S. certificate holder, the sponsor is accountable for that FFS originally meeting, and continuing to meet, the criteria under which it was originally qualified and the appropriate Part 60 criteria, including the visual scenes and airport models that may be used by instructors or evaluators for purposes of training, checking, or testing under this chapter.
e. Neither Class II nor Class III airport visual models are required to appear on the SOQ, and the method used for keeping instructors and evaluators apprised of the airport models that meet Class II or Class III requirements on any given simulator is at the option of the sponsor, but the method used must be available for review by the TPAA.
f. When an airport model represents a real world airport and a permanent change is made to that real world airport (e.g., a new runway, an extended taxiway, a new lighting system, a runway closure) without a written extension grant from the responsible Flight Standards office (described in paragraph 1.g., of this section), an update to that airport model must be made in accordance with the following time limits:
(1) For a new airport runway, a runway extension, a new airport taxiway, a taxiway extension, or a runway/taxiway closure—within 90 days of the opening for use of the new airport runway, runway extension, new airport taxiway, or taxiway extension; or within 90 days of the closure of the runway or taxiway.
(2) For a new or modified approach light system—within 45 days of the activation of the new or modified approach light system.
(3) For other facility or structural changes on the airport (e.g., new terminal, relocation of Air Traffic Control Tower)—within 180 days of the opening of the new or changed facility or structure.
g. If a sponsor desires an extension to the time limit for an update to a visual scene or airport model or has an objection to what must be updated in the specific airport model requirement, the sponsor must provide a written extension request to the responsible Flight Standards office stating the reason for the update delay and a proposed completion date or provide an explanation for the objection, explaining why the identified airport change will not have an impact on flight training, testing, or checking. A copy of this request or objection must also be sent to the POI/TCPM. The responsible Flight Standards office will send the official response to the sponsor and a copy to the POI/TCPM; however, if there is an objection, after consultation with the appropriate POI/TCPM regarding the training, testing, or checking impact, the responsible Flight Standards office will send the official response to the sponsor and a copy to the POI/TCPM.
a. The subjective tests provide a basis for evaluating the capability of the simulator to perform over a typical utilization period; determining that the simulator competently simulates each required maneuver, procedure, or task; and verifying correct operation of the simulator controls, instruments, and systems. The items listed in the following Tables are for simulator evaluation purposes only. They may not be used to limit or exceed the authorizations for use of a given level of simulator as described on the SOQ or as approved by the TPAA. All items in the following paragraphs are subject to an examination.
b. The tests in Table C3A, Operations Tasks, in this attachment address pilot functions, including maneuvers and procedures (called flight tasks), and are divided by flight phases. The performance of these tasks by the responsible Flight Standards office includes an operational examination of the visual system and special effects. There are flight tasks included to address some features of advanced technology helicopters and innovative training programs.
c. The tests in Table C3A, Operations Tasks, and Table C3G, Instructor Operating Station, in this attachment address the overall function and control of the simulator including the various simulated environmental conditions; simulated helicopter system operation (normal, abnormal, and emergency); visual system displays; and special effects necessary to meet flight crew training, evaluation, or flight experience requirements.
d. All simulated helicopter systems functions will be assessed for normal and, where appropriate, alternate operations. Normal, abnormal, and emergency operations associated with a flight phase will be assessed during the evaluation of flight tasks or events within that flight phase. Simulated helicopter systems are listed separately under “Any Flight Phase” to ensure appropriate attention to systems checks. Operational navigation systems (including inertial navigation systems, global positioning systems, or other long-range systems) and the associated electronic display systems will be evaluated if installed. The pilot will include in his report to the TPAA, the effect of the system operation and any system limitation.
e. Simulators demonstrating a satisfactory circling approach will be qualified for the circling approach maneuver and may be approved for such use by the TPAA in the sponsor's FAA-approved flight training program. To be considered satisfactory, the circling approach will be flown at maximum gross weight for landing, with minimum visibility for the helicopter approach category, and must allow proper alignment with a landing runway at least 90° different from the instrument approach course while allowing the pilot to keep an identifiable portion of the airport in sight throughout the maneuver (reference—14 CFR 91.175(e)).
f. At the request of the TPAA, the Pilot may assess the simulator for a special aspect of a sponsor's training program during the functions and subjective portion of an evaluation. Such an assessment may include a portion of a Line Oriented Flight Training (LOFT) scenario or special emphasis items in the sponsor's training program. Unless directly related to a requirement for the qualification level, the results of such an evaluation would not affect the qualification of the simulator.
g. This appendix addresses helicopter simulators at Levels B, C, and D because there are no Level A Helicopter simulators.
h. The FAA intends to allow the use of Class III airport models on a limited basis when the sponsor provides the TPAA (or other regulatory authority) an appropriate analysis of the skills, knowledge, and abilities (SKAs) necessary for competent performance of the tasks in which this particular media element is used. The analysis should describe the ability of the FFS/visual media to provide an adequate environment in which the required SKAs are satisfactorily performed and learned. The analysis should also include the specific media element, such as the visual scene or airport model.
i. The TPAA may accept Class III airport models without individual observation provided the sponsor provides the TPAA with an acceptable description of the process for determining the acceptability of a specific airport model, outlines the conditions under which such an airport model may be used, and adequately describes what restrictions will be applied to each resulting airport or landing area model. Examples of situations that may warrant Class III model designation by the TPAA include the following:
(a) Training, testing, or checking on very low visibility operations, including SMGCS operations.
(b) Instrument operations training (including instrument takeoff, departure, arrival, approach, and missed approach training, testing, or checking) using—
(i) A specific model that has been geographically “moved” to a different location and aligned with an instrument procedure for another airport.
(ii) A model that does not match changes made at the real-world airport (or landing area for helicopters) being modeled.
(iii) A model generated with an “off-board” or an “on-board” model development tool (by providing proper latitude/longitude reference; correct runway or landing area orientation, length, width, marking, and lighting information; and appropriate adjacent taxiway location) to generate a facsimile of a real world airport or landing area.
j. Previously qualified simulators with certain early generation Computer Generated Image (CGI) visual systems, are limited by the capability of the Image Generator or the display system used. These systems are:
(1) Early CGI visual systems that are exempt from the necessity of including runway numbers as a part of the specific runway marking requirements are:
(a) Link NVS and DNVS.
(b) Novoview 2500 and 6000.
(c) FlightSafety VITAL series up to, and including, VITAL III, but not beyond.
(d) Redifusion SP1, SP1T, and SP2.
(2) Early CGI visual systems are excepted from the necessity of including runway numbers unless the runway is used for LOFT training sessions. These LOFT airport models require runway numbers, but only for the specific runway end (one direction) used in the LOFT session. The systems required to display runway numbers only for LOFT scenes are:
(a) FlightSafety VITAL IV.
(b) Redifusion SP3 and SP3T.
(c) Link-Miles Image II.
(3) The following list of previously qualified CGI and display systems are incapable of generating blue lights. These systems are not required to have accurate taxi-way edge lighting are:
(a) Redifusion SP1 and SP1T.
(b) FlightSafety Vital IV.
(c) Link-Miles Image II and Image IIT
(d) XKD displays (even though the XKD image generator is capable of generating blue colored lights, the display cannot accommodate that color).
Table C3A—Functions and Subjective Tests
| QPS requirements | ||||
|---|---|---|---|---|
| Entry No. | Operations tasks | Simulator level | ||
| B | C | D | ||
| Tasks in this table are subject to evaluation if appropriate for the helicopter simulated as indicated in the SOQ Configuration List or the level of simulator qualification involved. Items not installed or not functional on the simulator and, therefore, not appearing on the SOQ Configuration List, are not required to be listed as exceptions on the SOQ. | ||||
| 1.a. | Flight deck check: Switches, indicators, systems, and equipment | X | X | X |
| 2.a. | Normal start procedures | X | X | X |
| 2.b. | Alternate start procedures | X | X | X |
| 2.c. | Abnormal starts and shutdowns (e.g., hot start, hung start) | X | X | X |
| 2.d. | Rotor engagement | X | X | X |
| 2.e. | System checks | X | X | X |
| 3.a | Power required to taxi | X | X | X |
| 3.b. | Brake effectiveness | X | X | X |
| 3.c. | Ground handling | X | X | X |
| 3.d. | Water handling (if applicable) | X | X | |
| 3.e. | Abnormal/emergency procedures: | |||
| 3.e.1. | Brake system failure | X | X | X |
| 3.e.2. | Ground resonance | X | X | |
| 3.e.3. | Dynamic rollover | X | X | |
| 3.e.4. | Deployment of emergency floats/water landing | X | X | |
| 3.e.5. | Others listed on the SOQ | A | X | X |
| 4.a. | Takeoff to a hover | X | X | X |
| 4.b. | Instrument response: | |||
| 4.b.1. | Engine instruments | X | X | X |
| 4.b.2. | Flight instruments | X | X | X |
| 4.b.3. | Hovering turns | X | X | X |
| 4.c. | Hover power checks: | |||
| 4.c.1. | In ground effect (IGE) | X | X | X |
| 4.c.2. | Out of ground effect (OGE) | X | X | X |
| 4.d. | Crosswind/tailwind hover | X | X | X |
| 4.e. | Translating tendency | X | X | X |
| 4.f. | External load operations: | |||
| 4.f.1. | Hookup | X | X | |
| 4.f.2. | Release | X | X | |
| 4.f.3. | Winch operations | X | X | |
| 4.g. | Abnormal/emergency procedures: | |||
| 4.g.1. | Engine failure | X | X | X |
| 4.g.2. | Fuel governing system failure | X | X | X |
| 4.g.3. | Settling with power (OGE) | X | X | X |
| 4.g.4. | Hovering autorotation | X | X | |
| 4.g.5. | Stability augmentation system failure | X | X | X |
| 4.g.6. | Directional control malfunction | X | X | X |
| 4.g.7. | Loss of tail rotor effectiveness (LTE) | X | X | |
| 4.g.8. | Others listed on the SOQ | A | X | X |
| 4.h. | Pre-takeoff checks | X | X | X |
| 5.a. | Forward (up to effective translational lift) | X | X | |
| 5.b. | Sideward (up to limiting airspeed) | X | X | |
| 5.c. | Rearward (up to limiting airspeed) | X | X | |
| 6.a. | Normal | X | X | X |
| 6.a.1. | From ground | X | X | X |
| 6.a.2. | From hover | X | X | X |
| 6.a.2.a. | Cat A | X | X | X |
| 6.a.2.b. | Cat B | X | X | X |
| 6.a.3. | Running | X | X | X |
| 6.a.4. | Crosswind/tailwind | X | X | X |
| 6.a.5. | Maximum performance | X | X | X |
| 6.a.6. | Instrument | X | X | X |
| 6.a.7. | Takeoff from a confined area | X | X | X |
| 6.a.8. | Takeoff from a pinnacle/platform | X | X | X |
| 6.a.9. | Takeoff from a slope | X | X | X |
| 6.a.10. | External load operations | X | X | |
| 6.b. | Abnormal/emergency procedures: | X | X | X |
| 6.b.1. | Takeoff with engine failure after critical decision point (CDP) | X | X | X |
| 6.b.1.a. | Cat A | X | X | |
| 6.b.1.b. | Cat B | X | X | |
| 6.c. | Rejected takeoff | |||
| 6.c.1. | Land | X | X | X |
| 6.c.2. | Water (if appropriate) | X | X | X |
| 6.d. | Instrument departure | X | X | X |
| 6.e. | Others as listed on the SOQ | A | X | X |
| 7.a. | Normal | X | X | X |
| 7.b. | Obstacle clearance | X | X | X |
| 7.c. | Vertical | X | X | |
| 7.d. | One engine inoperative | X | X | X |
| 7.e. | Others as listed on the SOQ | A | X | X |
| 8.a | Performance | X | X | X |
| 8.b. | Flying qualities | X | X | X |
| 8.c. | Turns | X | X | X |
| 8.c.1. | Timed | X | X | X |
| 8.c.2. | Normal | X | X | X |
| 8.c.3. | Steep | X | X | X |
| 8.d. | Accelerations and decelerations | X | X | X |
| 8.e. | High speed vibrations | X | X | X |
| 8.f. | External Load Operations (see entry 4.f. of this table) | X | X | |
| 8.g. | Abnormal/emergency procedures | X | X | X |
| 8.g.1. | Engine fire | X | X | X |
| 8.g.2 | Engine failure | X | X | X |
| 8.g.3. | Inflight engine shutdown and restart | X | X | X |
| 8.g.4. | Fuel governing system failures | X | X | X |
| 8.g.5. | Directional control malfunction | X | X | X |
| 8.g.6. | Hydraulic failure | X | X | X |
| 8.g.7. | Stability system failure | X | X | X |
| 8.g.8. | Rotor vibrations | X | X | X |
| 8.g.9. | Recovery from unusual attitudes | X | X | X |
| 9.a. | Normal | X | X | X |
| 9.b. | Maximum rate | X | X | X |
| 9.c. | Autorotative | |||
| 9.c.1. | Straight-in | X | X | X |
| 9.c.2. | With turn | X | X | X |
| 9.d. | External Load | X | X | |
| 10.a. | Non-precision | X | X | X |
| 10.a.1. | All engines operating | X | X | X |
| 10.a.2. | One or more engines inoperative | X | X | X |
| 10.a.3. | Approach procedures: | X | X | X |
| 10.a.3.a. | NDB | X | X | X |
| 10.a.3.b. | VOR, RNAV, TACAN | X | X | X |
| 10.a.3.c. | ASR | X | X | X |
| 10.a.3.d. | Circling | X | X | X |
| 10.a.3.e. | Helicopter only | X | X | X |
| 10.a.4. | Missed approach | X | X | X |
| 10.a.4.a. | All engines operating | X | X | X |
| 10.a.4.b. | One or more engines inoperative | X | X | X |
| 10.b. | Precision | X | X | X |
| 10.b.1. | All engines operating | X | X | X |
| 10.b.2. | Manually controlled—one or more engines inoperative | X | X | X |
| 10.b.3. | Approach procedures: | X | X | X |
| 10.b.3.a. | PAR | X | X | X |
| 10.b.3.b. | MLS | X | X | X |
| 10.b.3.c. | ILS | X | X | X |
| 10.b.3.c. | (1) Manual (raw data) | X | X | X |
| 10.b.3.c. | (2) Flight director only | X | X | X |
| 10.b.3.c. | (3) Autopilot * only | X | X | X |
| 10.b.3.c. | (4) Cat I | X | X | X |
| 10.b.3.c. | (5) Cat II | X | X | X |
| 10.b.4. | Missed approach: | |||
| 10.b.4.a. | All engines operating | X | X | X |
| 10.b.4.b. | One or more engines inoperative | X | X | X |
| 10.b.4.c. | Stability system failure | X | X | X |
| 10.c. | Others as listed on the SOQ | A | X | X |
| 11.a. | Visual Approaches: | |||
| 11.a.1. | Normal | X | X | X |
| 11.a.2. | Steep | X | X | X |
| 11.a.3. | Shallow | X | X | X |
| 11.a.4. | Crosswind | X | X | X |
| 11.a.5. | Category A profile | X | X | |
| 11.a.6. | Category B profile | X | X | |
| 11.a.7. | External Load | X | X | |
| 11.b. | Abnormal/emergency procedures: | |||
| 11.b.1. | Directional control failure | X | X | X |
| 11.b.2. | Hydraulics failure | X | X | X |
| 11.b.3. | Fuel governing failure | X | X | X |
| 11.b.4. | Autorotation | X | X | X |
| 11.b.5. | Stability system failure | X | X | X |
| 11.b.6. | Others listed on the SOQ | A | X | X |
| 11c. | Landings: | |||
| 11.c.1. | Normal: | |||
| 11.c.1.a. | Running | X | X | X |
| 11.c.1.b. | From Hover | X | X | X |
| 11.c.2. | Pinnacle/platform | X | X | X |
| 11.c.3. | Confined area | X | X | X |
| 11.c.4. | Slope | X | X | |
| 11.c.5. | Crosswind | X | X | X |
| 11.c.6. | Tailwind | X | X | X |
| 11.c.7. | Rejected Landing | X | X | X |
| 11.c.8. | Abnormal/emergency procedures: | |||
| 11.c.8.a. | From autorotation | X | X | |
| 11.c.8.b. | One or more engines inoperative | X | X | X |
| 11.c.8.c. | Directional control failure | X | X | X |
| 11.c.8.d. | Hydraulics failure | X | X | X |
| 11.c.8.e. | Stability augmentation system failure | X | X | X |
| 11.c.9. | Other (listed on the SOQ) | A | X | X |
| 12.a.1. | Air conditioning | X | X | X |
| 12.a.2. | Anti-icing/deicing | X | X | X |
| 12.a.3. | Auxiliary power-plant | X | X | X |
| 12.a.4. | Communications | X | X | X |
| 12.a.5. | Electrical | X | X | X |
| 12.a.6. | Fire detection and suppression | X | X | X |
| 12.a.7. | Stabilizer | X | X | X |
| 12.a.8. | Flight controls | X | X | X |
| 12.a.9. | Fuel and oil | X | X | X |
| 12.a.10. | Hydraulic | X | X | X |
| 12.a.11. | Landing gear | X | X | X |
| 12.a.12. | Oxygen | X | X | X |
| 12.a.13. | Pneumatic | X | X | X |
| 12.a.14. | Powerplant | X | X | X |
| 12.a.15. | Flight control computers | X | X | X |
| 12.a.16. | Stability and control augmentation | X | X | X |
| 12.b. | Flight management and guidance system: | |||
| 12.b.1. | Airborne radar | X | X | X |
| 12.b.2. | Automatic landing aids | X | X | X |
| 12.b.3. | Autopilot | X | X | X |
| 12.b.4. | Collision avoidance system | X | X | X |
| 12.b.5. | Flight data displays | X | X | X |
| 12.b.6. | Flight management computers | X | X | X |
| 12.b.7. | Heads-up displays | X | X | X |
| 12.b.8. | Navigation systems | X | X | X |
| 12.c. | Airborne procedures: | |||
| 12.c.1. | Holding | X | X | X |
| 12.c.2. | Air hazard avoidance | X | X | X |
| 12.c.3. | Retreating blade stall recovery | X | X | X |
| 12.c.4. | Mast bumping | X | X | X |
| 12.c.5 | Loss of directional control | X | X | X |
| 12.c.6. | Loss of tail rotor effectiveness | X | X | |
| 12.c.7. | Other (listed on the SOQ) | A | X | X |
| 13.a. | Engine and systems operation | X | X | X |
| 13.b. | Parking brake operation | X | X | X |
| 13.c. | Rotor brake operation | X | X | X |
| 13.d. | Abnormal/emergency procedures | X | X | X |
* “Autopilot” means attitude retention mode of operation.
Note: An “A” in the table indicates that the system, task, or procedure may be examined if the appropriate aircraft system or control is simulated in the FFS and is working properly.
Table C3B—Functions and Subjective Tests
| QPS requirements | ||||
|---|---|---|---|---|
| Entry No. | Visual requirements for qualification at the stated level
class I airport or landing area models | Simulator level | ||
| B | C | D | ||
| This table specifies the minimum airport visual model content and functionality to qualify a simulator at the indicated level. This table applies only to the airport scenes required for simulator qualification; i.e., two helicopter landing area models for Level B simulators; four helicopter landing area models for Level C and Level D simulators. | ||||
| The following is the minimum airport/landing area model content requirement to satisfy visual capability tests, and provides suitable visual cues to allow completion of all functions and subjective tests described in this attachment for simulators at Level B. | ||||
| 1.a. | A minimum of one (1) representative airport and one (1) representative helicopter landing area model. The airport and the helicopter landing area may be contained within the same model. If but if this option is selected, the approach path to the airport runway(s) and the approach path to the helicopter landing area must be different. The model(s) used to meet the following requirements may be demonstrated at either a fictional or a real-world airport or helicopter landing area, but each must be acceptable to the sponsor's TPAA, selectable from the IOS, and listed on the SOQ | X | ||
| 1.b. | The fidelity of the visual scene must be sufficient for the aircrew to visually identify the airport and/or helicopter landing area; determine the position of the simulated helicopter within the visual scene; successfully accomplish take-offs, approaches, and landings; and maneuver around the airport on the ground, or hover taxi, as necessary | X | ||
| 1.c. | Runways: | |||
| 1.c.1. | Visible runway number | X | ||
| 1.c.2. | Runway threshold elevations and locations must be modeled to provide sufficient correlation with helicopter systems (e.g., altimeter) | X | ||
| 1.c.3. | Runway surface and markings | X | ||
| 1.c.4. | Lighting for the runway in use including runway edge and centerline | X | ||
| 1.c.5. | Lighting, visual approach aid (VASI or PAPI) and approach lighting of appropriate colors | X | ||
| 1.c.6. | Representative taxiway lights | X | ||
| 1.d. | Other helicopter landing area: | |||
| 1.d.1. | Standard heliport designation (“H”) marking, properly sized and oriented | X | ||
| 1.d.2. | Perimeter markings for the Touchdown and Lift-Off Area (TLOF) or the Final Approach and Takeoff Area (FATO), as appropriate | X | ||
| 1.d.3. | Perimeter lighting for the TLOF or the FATO areas, as appropriate | X | ||
| 1.d.4. | Appropriate markings and lighting to allow movement from the runway or helicopter landing area to another part of the landing facility | X | ||
| The following is the minimum airport/landing area model content requirement to satisfy visual capability tests, and provide suitable visual cues to allow completion of all functions and subjective tests described in this attachment for simulators at Level C and Level D. Not all of the elements described in this section must be found in a single airport/landing area scene. However, all of the elements described in this section must be found throughout a combination of the four (4) airport/landing area models described in entry 2.a. The representations of the hazards (as described in 2.d.) must be “hard objects” that interact as such if contacted by the simulated helicopter. Additionally, surfaces on which the helicopter lands must be “hard surfaces.” The model(s) used to meet the following requirements must be demonstrated at either a fictional or a real-world airport or helicopter landing area, and each must be acceptable to the sponsor's TPAA, selectable from the IOS, and listed on the SOQ. | ||||
| 2.a. | There must be at least the following airport/helicopter landing areas. | |||
| 2.a.1. | At least one (1) representative airport | X | X | |
| 2.a.2. | At least three representative non-airport landing areas, as follows: | |||
| 2.a.2.a | At least one (1) representative helicopter landing area situated on a substantially elevated surface with respect to the surrounding structures or terrain (e.g., building top, offshore oil rig) | X | X | |
| 2.a.2.b. | At least one (1) helicopter landing area that meets the definition of a “confined landing area” | X | X | |
| 2.a.2.c. | At least one (1) helicopter landing area on a sloped surface where the slope is at least 2
| X | X | |
| 2.b. | For each of the airport/helicopter landing areas described in 2.a., the simulator must be able to provide at least the following: | X | X | |
| 2.b.1. | A night and twilight (dusk) environment. | X | X | |
| 2.b.2. | A daylight environment | X | ||
| 2.c. | Non-airport helicopter landing areas must have the following: | |||
| 2.c.1. | Representative buildings, structures, and lighting within appropriate distances | X | X | |
| 2.c.2. | Representative moving and static clutter (e.g., other aircraft, power carts, tugs, fuel trucks) | X | X | |
| 2.c.3. | Representative depiction of terrain and obstacles as well as significant and identifiable natural and cultural features, within 25 NM of the reference landing area | X | X | |
| 2.c.4. | Standard heliport designation (“H”) marking, properly sized and oriented | X | X | |
| 2.c.5. | Perimeter markings for the Touchdown and Lift-Off Area (TLOF) or the Final Approach and Takeoff Area (FATO), as appropriate | X | X | |
| 2.c.6. | Perimeter lighting for the TLOF or the FATO areas, as appropriate | X | X | |
| 2.c.7. | Appropriate markings and lighting to allow movement from the area to another part of the landing facility, if appropriate | X | X | |
| 2.c.8. | Representative markings, lighting, and signage, including a windsock that gives appropriate wind cues | X | X | |
| 2.c.9. | Appropriate markings, lighting, and signage necessary for position identification, and to allow movement from the landing area to another part of the landing facility | X | X | |
| 2.c.10. | Representative moving and static ground traffic (e.g., vehicular and aircraft), including the ability to present surface hazards (e.g., conflicting traffic, vehicular or aircraft, on or approaching the landing area) | X | X | |
| 2.c.11. | Portrayal of landing surface contaminants, including lighting reflections when wet and partially obscured lights when snow is present, or suitable alternative effects | X | X | |
| 2.d. | All of the following three (3) hazards must be presented in a combination of the three (3) non-airport landing areas (described in entry 2.a.2. of this table) and each of these non-airport landing areas must have at least one of the following hazards: | |||
| 2.d.1. | Other airborne traffic | X | X | |
| 2.d.2. | Buildings, trees, or other vertical obstructions in the immediate landing area | X | X | |
| 2.d.3. | Suspended wires in the immediate landing area | X | X | |
| 2.e. | Airport applications. Each airport must have the following: | |||
| 2.e.1. | At least one runway designated as “in-use”, appropriately marked and capable of being lighted fully | X | X | |
| 2.e.2. | Runway threshold elevations and locations must be modeled to provide sufficient correlation with helicopter systems (e.g., HGS, GPS, altimeter). Slopes in runways, taxiways, and ramp areas, if depicted in the visual scene, may not cause distracting or unrealistic effects, including pilot eye-point height variation | X | X | X |
| 2.e.3. | Appropriate approach lighting systems and airfield lighting for a VFR circuit and landing, non-precision approaches and landings, and precision approaches and landings, as appropriate. | X | X | |
| 2.e.4. | Representative taxiway lights | X | ||
| The following is the minimum visual scene management requirements | ||||
| 3.a. | Runway and helicopter landing area approach lighting must fade into view in accordance with the environmental conditions set in the simulator | X | X | X |
| 3.b. | The direction of strobe lights, approach lights, runway edge lights, visual landing aids, runway centerline lights, threshold lights, touchdown zone lights, and TLOF or FATO lights must be replicated | X | X | X |
| The following are the minimum distances at which runway features must be visible. Distances are measured from runway threshold or a helicopter landing area to a helicopter aligned with the runway or helicopter landing area on an extended 3° glide-slope in simulated meteorological conditions. For circling approaches, all tests apply to the runway used for the initial approach and to the runway of intended landing | ||||
| 4.a. | For runways: Runway definition, strobe lights, approach lights, and runway edge lights from 5 sm (8 km) of the runway threshold | X | X | X |
| 4.b. | For runways: Centerline lights and taxiway definition from 3 sm (5 km) | X | X | X |
| 4.c. | For runways: Visual Approach Aid lights (VASI or PAPI) from 3 sm (5 km) of the threshold | X | ||
| 4.d. | For runways: Visual Approach Aid lights (VASI or PAPI) from 5 sm (8 km) of the threshold | X | X | |
| 4.e. | For runways: Runway threshold lights and touchdown zone lights from 2 sm (3 km) | X | X | X |
| 4.f. | For runways and helicopter landing areas: Markings within range of landing lights for night/twilight scenes and the surface resolution test on daylight scenes, as required | X | X | X |
| 4.g. | For circling approaches, the runway of intended landing and associated lighting must fade into view in a non-distracting manner | X | X | X |
| 4.h. | For helicopter landing areas: Landing direction lights and raised FATO lights from 1 sm (1.5 km) | X | X | X |
| 4.i. | For helicopter landing areas: Flush mounted FATO lights, TOFL lights, and the lighted windsock from 0.5 sm (750 m) | X | ||
| 4.j. | Hover taxiway lighting (yellow/blue/yellow cylinders) from TOFL area | X | ||
| The following prescribes the minimum requirements for an airport/helicopter landing area model and identifies other aspects of the environment that must correspond with that model for simulators at Level B, Level C, and Level D. For circling approaches, all tests apply to the runway used for the initial approach and to the runway of intended landing. If all runways or landing areas in a visual model used to meet the requirements of this attachment are not designated as “in use,” then the “in use” runways/landing areas must be listed on the SOQ (e.g., KORD, Rwys 9R, 14L, 22R). Models of airports or helicopter landing areas with more than one runway or landing area must have all significant runways or landing areas not “in-use” visually depicted for airport runway/landing area recognition purposes. The use of white or off-white light strings that identify the runway or landing area for twilight and night scenes are acceptable for this requirement; and rectangular surface depictions are acceptable for daylight scenes. A visual system's capabilities must be balanced between providing visual models with an accurate representation of the airport and a realistic representation of the surrounding environment. Each runway or helicopter landing area designated as an “in-use” runway or area must include the following detail that is developed using airport pictures, construction drawings and maps, or other similar data, or developed in accordance with published regulatory material; however, this does not require that such models contain details that are beyond the design capability of the currently qualified visual system. Only one “primary” taxi route from parking to the runway end or helicopter takeoff/landing area will be required for each “in-use” runway or helicopter takeoff/landing area. | ||||
| 5.a. | The surface and markings for each “in-use” runway or helicopter landing area must include the following: | |||
| 5.a.1. | For airports: Runway threshold markings, runway numbers, touchdown zone markings, fixed distance markings, runway edge markings, and runway centerline stripes | X | X | X |
| 5.a.2. | For helicopter landing areas: Markings for standard heliport identification (“H”) and TOFL, FATO, and safety areas | X | X | X |
| 5.b. | The lighting for each “in-use” runway or helicopter landing area must include the following: | |||
| 5.b.1. | For airports: Runway approach, threshold, edge, end, centerline (if applicable), touchdown zone (if applicable), leadoff, and visual landing aid lights or light systems for that runway | X | X | X |
| 5.b.2. | For helicopter landing areas: landing direction, raised and flush FATO, TOFL, windsock lighting | X | X | X |
| 5.c. | The taxiway surface and markings associated with each “in-use” runway or helicopter landing area must include the following: | |||
| 5.c.1. | For airports: Taxiway edge, centerline (if appropriate), runway hold lines, and ILS critical area(s) | X | X | X |
| 5.c.2. | For helicopter landing areas: taxiways, taxi routes, and aprons | X | X | X |
| 5.d. | The taxiway lighting associated with each “in-use” runway or helicopter landing area must include the following: | |||
| 5.d.1. | For airports: Runway edge, centerline (if appropriate), runway hold lines, ILS critical areas | X | X | X |
| 5.d.2. | For helicopter landing areas: taxiways, taxi routes, and aprons | X | X | X |
| 5.d.3. | For airports: taxiway lighting of correct color | X | ||
| 5.e. | Airport signage associated with each “in-use” runway or helicopter landing area must include the following: | |||
| 5.e.1. | For airports: Signs for runway distance remaining, intersecting runway with taxiway, and intersecting taxiway with taxiway | X | X | X |
| 5.e.2. | For helicopter landing areas: as appropriate for the model used | X | X | X |
| 5.f. | Required visual model correlation with other aspects of the airport or helicopter landing environment simulation: | |||
| 5.f.1. | The airport or helicopter landing area model must be properly aligned with the navigational aids that are associated with operations at the “in-use” runway or helicopter landing area | X | X | X |
| 5.f.2. | The simulation of runway or helicopter landing area contaminants must be correlated with the displayed runway surface and lighting where applicable | X | X | |
| The following are the minimum correlation comparisons that must be made for simulators at Level B, Level C, and Level D | ||||
| 6.a. | Visual system compatibility with aerodynamic programming | X | X | X |
| 6.b. | Visual cues to assess sink rate and depth perception during landings | X | X | X |
| 6.c. | Accurate portrayal of environment relating to flight simulator attitudes | X | X | X |
| 6.d. | The visual scene must correlate with integrated helicopter systems (e.g., terrain, traffic and weather avoidance systems and Head-up Guidance System (HGS)) | X | X | |
| 6.e. | Representative visual effects for each visible, own-ship, helicopter external light(s)—taxi and landing light lobes (including independent operation, if appropriate) | X | X | X |
| 6.f. | The effect of rain removal devices | X | X | |
The following are the minimum scene quality tests that must be conducted for simulators at Level B, Level C, and Level D. | ||||
| 7.a. | Surfaces and textural cues must be free from apparent and distracting quantization (aliasing) | X | X | |
| 7.b. | System capable of portraying full color realistic textural cues | X | X | |
| 7.c. | The system light points must be free from distracting jitter, smearing or streaking | X | X | X |
| 7.d. | Demonstration of occulting through each channel of the system in an operational scene | X | X | X |
| 7.e. | Demonstration of a minimum of ten levels of occulting through each channel of the system in an operational scene | X | X | |
| 7.f. | System capable of providing focus effects that simulate rain. | X | X | |
| 7.g. | System capable of providing focus effects that simulate light point perspective growth | X | X | |
| 7.h. | Runway light controls capable of six discrete light steps (0-5) | X | X | X |
| The following are the minimum environmental effects that must be available in simulators at Level B, Level C, and Level D. | ||||
| 8.a. | The displayed scene corresponding to the appropriate surface contaminants and include appropriate lighting reflections for wet, partially obscured lights for snow, or alternative effects | X | ||
| 8.b. | Special weather representations which include: | |||
| 8.b.1. | The sound, motion and visual effects of light, medium and heavy precipitation near a thunderstorm on take-off, approach, and landings at and below an altitude of 2,000 ft (600 m) above the surface and within a radius of 10 sm (16 km) from the airport or helicopter landing area | X | ||
| 8.b.2. | One airport or helicopter landing area with a snow scene to include terrain snow and snow-covered surfaces | X | ||
| 8.c. | In-cloud effects such as variable cloud density, speed cues and ambient changes | X | X | |
| 8.d. | The effect of multiple cloud layers representing few, scattered, broken and overcast conditions giving partial or complete obstruction of the ground scene | X | X | |
| 8.e. | Visibility and RVR measured in terms of distance. Visibility/RVR checked at 2,000 ft (600 m) above the airport or helicopter landing area and at two heights below 2,000 ft with at least 500 ft of separation between the measurements. The measurements must be taken within a radius of 10 sm (16 km) from the airport or helicopter landing area | X | X | X |
| 8.f. | Patchy fog giving the effect of variable RVR | X | ||
| 8.g. | Effects of fog on airport lighting such as halos and defocus | X | X | |
| 8.h. | Effect of own-ship lighting in reduced visibility, such as reflected glare, including landing lights, strobes, and beacons | X | X | |
| 8.i. | Wind cues to provide the effect of blowing snow or sand across a dry runway or taxiway selectable from the instructor station | X | ||
| 8.j. | “White-out” or “Brown-out” effects due to rotor downwash beginning at a distance above the ground equal to the rotor diameter | X | ||
| The following are the minimum instructor controls that must be available in Level B, Level C, and Level D simulators, as indicated. | ||||
| 9.a. | Environmental effects, e.g. cloud base, cloud effects, cloud density, visibility in statute miles/ kilometers and RVR in feet/meters | X | X | X |
| 9.b. | Airport or helicopter landing area selection | X | X | X |
| 9.c. | Airport or helicopter landing area lighting, including variable intensity | X | X | X |
| 9.d. | Dynamic effects including ground and flight traffic | X | X | |
| An example of being able to “combine two airport models to achieve two “in-use” runways: One runway designated as the “in-use” runway in the first model of the airport, and the second runway designated as the “in-use” runway in the second model of the same airport. For example, the clearance is for the ILS approach to Runway 27, Circle to Land on Runway 18 right. Two airport visual models might be used: the first with Runway 27 designated as the “in use” runway for the approach to runway 27, and the second with Runway 18 Right designated as the “in use” runway. When the pilot breaks off the ILS approach to runway 27, the instructor may change to the second airport visual model in which runway 18 Right is designated as the “in use” runway, and the pilot would make a visual approach and landing. This process is acceptable to the FAA as long as the temporary interruption due to the visual model change is not distracting to the pilot. | ||||
| Sponsors are not required to provide every detail of a runway, but the detail that is provided should be correct within reasonable limits. | ||||
Table C3C—Functions and Subjective Tests
| QPS requirements | ||||
|---|---|---|---|---|
| Entry No. | Visual scene content additional airport or landing area models beyond minimum required for qualification
Class II airport or landing area models | Simulator level | ||
| B | C | D | ||
| This table specifies the minimum airport or helicopter landing area visual model content and functionality necessary to add visual models to a simulator's visual model library (i.e., beyond those necessary for qualification at the stated level) without the necessity of further involvement of the responsible Flight Standards office or TPAA. | ||||
| The following is the minimum visual scene management requirements for simulators at Levels B, C, and D. | ||||
| 1.a. | The installation and direction of the following lights must be replicated for the “in-use” surface: | |||
| 1.a.1. | For “in-use” runways: Strobe lights, approach lights, runway edge lights, visual landing aids, runway centerline lights, threshold lights, and touchdown zone lights | X | X | X |
| 1.a.2. | For “in-use” helicopter landing areas: ground level TLOF perimeter lights, elevated TLOF perimeter lights (if applicable), Optional TLOF lights (if applicable), ground FATO perimeter lights, elevated TLOF lights (if applicable), landing direction lights | X | X | X |
| The following are the minimum distances at which runway or landing area features must be visible for simulators at Levels B, C, and D. Distances are measured from runway threshold or a helicopter landing area to an aircraft aligned with the runway or helicopter landing area on a 3° glide-slope from the aircraft to the touchdown point, in simulated meteorological conditions. For circling approaches, all tests apply to the runway used for the initial approach and to the runway of intended landing. | ||||
| 2.a. | For Runways: | |||
| 2.a.1. | Strobe lights, approach lights, and edge lights from 5 sm (8 km) of the threshold | X | X | X |
| 2.a.2. | Centerline lights and taxiway definition from 3 sm (5 km) | X | X | X |
| 2.a.3. | Visual Approach Aid lights (VASI or PAPI) from 3 sm (5 km) of the threshold | X | ||
| 2.a.4. | Visual Approach Aid lights (VASI or PAPI) from 5 sm (8 km) of the threshold | X | X | |
| 2.a.5. | Threshold lights and touchdown zone lights from 2 sm (3 km) | X | X | X |
| 2.a.6. | Markings within range of landing lights for night/twilight (dusk) scenes and as required by the surface resolution test on daylight scenes | X | X | X |
| 2.a.7. | For circling approaches, the runway of intended landing and associated lighting must fade into view in a non-distracting manner | X | X | X |
| 2.b. | For Helicopter landing areas: | |||
| 2.b.1. | Landing direction lights and raised FATO lights from 1 sm (1.5 km) | X | X | X |
| 2.b.2. | Flush mounted FATO lights, TOFL lights, and the lighted windsock from 0.5 sm (750 m) | X | X | |
| 2.b.3. | Hover taxiway lighting (yellow/blue/yellow cylinders) from TOFL area | X | X | |
| 2.b.4. | Markings within range of landing lights for night/twilight (dusk) scenes and as required by the surface resolution test on daylight scenes | X | X | X |
| The following prescribes the minimum requirements for what must be provided in an airport visual model and identifies other aspects of the airport environment that must correspond with that model for simulators at Level B, C, and D. The detail must be developed using airport pictures, construction drawings and maps, or other similar data, or developed in accordance with published regulatory material; however, this does not require that airport or helicopter landing area models contain details that are beyond the designed capability of the currently qualified visual system. For circling approaches, all requirements of this section apply to the runway used for the initial approach and to the runway of intended landing. Only one “primary” taxi route from parking to the runway end or helicopter takeoff/landing area will be required for each “in-use” runway or helicopter takeoff/landing area. | ||||
| 3.a. | The surface and markings for each “in-use” runway or helicopter landing area must include the following: | |||
| 3.a.1. | For airports: Runway threshold markings, runway numbers, touchdown zone markings, fixed distance markings, runway edge markings, and runway centerline stripes | X | X | X |
| 3.a.2. | For helicopter landing areas: Standard heliport marking (“H”), TOFL, FATO, and safety areas | X | X | X |
| 3.b. | The lighting for each “in-use” runway or helicopter landing area must include the following: | |||
| 3.b.1. | For airports: Runway approach, threshold, edge, end, centerline (if applicable), touchdown zone (if applicable), leadoff, and visual landing aid lights or light systems for that runway | X | X | X |
| 3.b.2. | For helicopter landing areas: Landing direction, raised and flush FATO, TOFL, windsock lighting | X | X | X |
| 3.c. | The taxiway surface and markings associated with each “in-use” runway or helicopter landing area must include the following: | |||
| 3.c.1. | For airports: Taxiway edge, centerline (if appropriate), runway hold lines, and ILS critical area(s) | X | X | X |
| 3.c.2. | For helicopter landing areas: Taxiways, taxi routes, and aprons | X | X | X |
| 3.d. | The taxiway lighting associated with each “in-use” runway or helicopter landing area must include the following: | |||
| 3.d.1. | For airports: Runway edge, centerline (if appropriate), runway hold lines, ILS critical areas | X | X | X |
| 3.d.2. | For helicopter landing areas: Taxiways, taxi routes, and aprons | X | X | X |
| 3.d.3. | For airports: Taxiway lighting of correct color | X | ||
| The following are the minimum visual model correlation tests that must be conducted for Level B, Level C, and Level D simulators, as indicated. | ||||
| 4.a. | The airport model must be properly aligned with the navigational aids that are associated with operations at the “in-use” runway | X | X | X |
| 4.b. | Slopes in runways, taxiways, and ramp areas, if depicted in the visual scene, must not cause distracting or unrealistic effects | X | X | X |
| The following are the minimum correlation comparisons that must be made for simulators at Level B, C, and D. | ||||
| 5.a. | Visual system compatibility with aerodynamic programming | X | X | X |
| 5.b. | Accurate portrayal of environment relating to flight simulator attitudes | X | X | X |
| 5.c. | Visual cues to assess sink rate and depth perception during landings | X | X | X |
| The following are the minimum scene quality tests that must be conducted for simulators at Level B, C, and D. | ||||
| 6.a. | Light points free from distracting jitter, smearing or streaking | X | X | X |
| 6.b. | Surfaces and textural cues free from apparent and distracting quantization (aliasing) | X | X | |
| 6.c. | Correct color and realistic textural cues | X | ||
| The following are the minimum instructor controls that must be available in Level B, Level C, and Level D simulators, as indicated. | ||||
| 7.a. | Environmental effects, e.g., cloud base (if used), cloud effects, cloud density, visibility in statute miles/kilometers and RVR in feet/meters | X | X | X |
| 7.b. | Airport/Heliport selection | X | X | X |
| 7.c. | Airport lighting including variable intensity | X | X | X |
| 7.d. | Dynamic effects including ground and flight traffic | X | X | |
| Sponsors are not required to provide every detail of a runway or helicopter landing area, but the detail that is provided must be correct within the capabilities of the system | X | X | X | |
Table C3D—Functions and Subjective Tests
| QPS requirements | Information | ||||
|---|---|---|---|---|---|
| Entry No. | Motion system (and special
aerodynamic model) effects | Simulator level | Notes | ||
| B | C | D | |||
| This table specifies motion effects that are required to indicate the threshold at which a flight crewmember must be able to recognize an event or situation. Where applicable, flight simulator pitch, side loading and directional control characteristics must be representative of the helicopter. | |||||
| 1 | Procedure: After the helicopter has been pre-set to the takeoff position and then released, taxi at various speeds with a smooth runway and note the general characteristics of the simulated runway rumble effects of oleo deflections. Repeat the maneuver with a runway roughness of 50%, then with maximum roughness. Note the associated motion vibrations affected by ground speed and runway roughness | X | X | X | If time permits, different gross weights can also be selected as this may also affect the associated vibrations depending on helicopter type. The associated motion effects for the above tests should also include an assessment of the effects of rolling over centerline lights, surface discontinuities of uneven runways, and various taxiway characteristics. |
| 2 | Procedure: Perform a running takeoff or a running landing and note an increase in a fuselage vibration (as opposed to rotor vibration) due to the friction of dragging the skid along the surface. This vibration will lessen as the ground speed decreases | X | X | ||
| 3. | Procedure: Select the malfunction or condition from the IOS. Start the engine(s) normally and check for an abnormal vibration for an Out-of-Track condition and check for an abnormal vibration for an Out-of-Balance condition | X | X | X | Does not require becoming airborne. The abnormal vibration for Out-of-Track and Out-of-Balance conditions should be recognized in the frequency range of the inverse of the period for each; i.e., 1/P for vertical vibration, and 1/P for lateral vibration. |
| 4. | Procedure: Perform a normal take-off paying special attention to the bumps that could be perceptible due to maximum oleo extension after lift-off | X | X | X | When the landing gear is extended or retracted, motion bumps can be felt when the gear locks into position. |
| 5. | Procedure: Operate the landing gear. Check that the motion cues of the buffet experienced represent the actual helicopter | X | X | X | |
| 6. | Procedure: May be accomplished any time the rotor is engaged. Select the appropriate failure at the IOS, note an appropriate increase in vibration and check that the vibration intensity and frequency increases with an increase in RPM and an increase in collective application | X | X | X | |
| 7. | Procedure: With the engine(s) running and the rotor engaged—select the malfunction and note the immediate increase of medium frequency vibration | X | X | X | The tail rotor operates in the medium frequency range, normally estimated by multiplying the tail rotor gear box ratio by the main rotor RPM. The failure can be recognized by an increase in the vibrations in this frequency range. |
| 8. | Procedure: Conduct several normal approaches with various rates of descent. Check that the motion cues for the touchdown bumps for each descent rate are representative of the actual helicopter | X | X | X | |
| 9. | Procedure: Simulate a single tire failure and a multiple tire failure | X | X | The pilot may notice some yawing with a multiple tire failure selected on the same side. This should require the use of the pedal to maintain control of the helicopter. Dependent on helicopter type, a single tire failure may not be noticed by the pilot and may not cause any special motion effect. Sound or vibration may be associated with the actual tire losing pressure. | |
| 10. | Procedure: The characteristics of an engine malfunction as prescribed in the malfunction definition document for the particular flight simulator must describe the special motion effects felt by the pilot. Note the associated engine instruments varying according to the nature of the malfunction and note the replication of the effects of the airframe vibration | X | X | X | |
| 11. | Procedure: Tail-strikes can be checked by over-rotation of the helicopter at a quick stop or autorotation to the ground | X | X | X | The motion effect should be felt as a noticeable nose down pitching moment. |
| 12. | Procedure: Specific procedures may differ between helicopters and may be prescribed by the Helicopter Manufacturer or other subject matter expert. However, the following information is provided for illustrative purposes * * * To enter the maneuver, reduce power below hover power. Hold altitude with aft cyclic until the airspeed approaches 20 knots. Then allow the sink rate to increase to 300 feet per minute or more as the attitude is adjusted to obtain an airspeed of less than 10 knots | X | X | When the aircraft begins to shudder, the application of additional up collective increases the vibration and sink rate. One recovery method is to decrease collective to enter vertical autorotation and/or use cyclic inputs to gain horizontal airspeed and exit from vortex ring state. | |
| 13. | Procedure: Specific procedures may differ between helicopters and may be prescribed by the Helicopter Manufacturer or other subject matter expert. However, the following information is provided for illustrative purposes: To enter the maneuver, increase forward airspeed; the effect will be recognized through the development of a low frequency vibration, pitching up of the nose, and a roll in the direction of the retreating blade. High weight, low rotor RPM, high density altitude, turbulence or steep, abrupt turns are all conducive to retreating blade stall at high forward airspeeds | X | X | Correct recovery from retreating blade stall requires the collective to be lowered first, which reduces blade angles and the angle of attack. Aft cyclic can then be used to slow the helicopter. | |
| 14. | Procedure: From a stabilized in-ground-effect (IGE) Hover begin a forward acceleration. When passing through the effective translational lift range, the noticeable effect will be a possible nose pitch-up in some helicopters, an increase in the rate of climb, and a temporary increase in vibration level (in some cases this vibration may be pronounced). This effect is experienced again upon deceleration through the appropriate speed range. During deceleration, the pitch and rate of climb will have the reverse effect, but there will be a similar, temporary increase in vibration level | X | X | X | |
Table C3E—Functions and Subjective Tests
| QPS Requirements | ||||
|---|---|---|---|---|
| Entry number | Sound system | Simulator level | ||
| B | C | D | ||
| 1. | Precipitation. | X | X | |
| 2. | Rain removal equipment. | X | X | |
| 3. | Helicopter noises used by the pilot for normal helicopter operation. | X | X | |
| 4. | Abnormal operations for which there are associated sound cues, including engine malfunctions, landing gear or tire malfunctions, tail boom | X | X | |
| 5. | Sound of a crash when the flight simulator is landed in excess of limitations | X | X | |
Table C3F—Functions and Subjective Tests
| QPS Requirements | ||||
|---|---|---|---|---|
| Entry number | Special effects | Simulator level | ||
| B | C | D | ||
| This table specifies the minimum special effects necessary for the specified simulator level. | ||||
Representations of the dynamics of brake failure (flight simulator pitch, side-loading, and directional control characteristics representative of the helicopter), including antiskid and decreased brake efficiency due to high brake temperatures (based on helicopter related data), sufficient to enable pilot identification of the problem and implementation of appropriate procedures | X | X | ||
Procedure: With the simulator airborne, in a clean configuration, nominal altitude and cruise airspeed, autopilot on and auto-throttles off, engine and airfoil anti-ice/de-ice systems deactivated; activate icing conditions at a rate that allows monitoring of simulator and systems response Icing recognition will include an increase in gross weight, airspeed decay, change in simulator pitch attitude, change in engine performance indications (other than due to airspeed changes), and change in data from pitot/static system, or rotor out-of-track/balance. Activate heating, anti-ice, or de-ice systems independently. Recognition will include proper effects of these systems, eventually returning the simulated helicopter to normal flight | X | X | ||
Table C3G—Functions and Subjective Tests
| QPS Requirements | ||||
|---|---|---|---|---|
| Entry number | Instructor Operating Station (IOS) | Simulator level | ||
| B | C | D | ||
| Functions in this table are subject to evaluation only if appropriate for the helicopter or the system is installed on the specific simulator. | ||||
| X | X | X | ||
| 2.a. | Gross weight, center of gravity, fuel loading and allocation | X | X | X |
| 2.b. | Helicopter systems status | X | X | X |
| 2.c. | Ground crew functions | X | X | X |
| 3.a. | Number and selection | X | X | X |
| 3.b. | Runway or landing area selection | X | X | X |
| 3.c. | Landing surface conditions (rough, smooth, icy, wet, dry, snow) | X | X | X |
| 3.d. | Preset positions | X | X | X |
| 3.e. | Lighting controls | X | X | X |
| 4.a | Visibility (statute miles/kilometers) | X | X | X |
| 4.b. | Runway visual range (in feet/meters) | X | X | X |
| 4.c. | Temperature | X | X | X |
| 4.d. | Climate conditions | X | X | X |
| 4.e. | Wind speed and direction | X | X | X |
| X | X | X | ||
| 6.a. | Problem (all) freeze/release | X | X | X |
| 6.b. | Position (geographic) freeze/release | X | X | X |
| 6.c. | Repositioning (locations, freezes, and releases) | X | X | X |
| 6.d. | Ground speed control | X | X | X |
| X | X | X | ||
| X | X | X | ||
| 9.a. | On/off/emergency stop | X | X | X |
| X | X | X | ||
FSTD Directive 1. Applicable to all FFSs, regardless of the original qualification basis and qualification date (original or upgrade), having Class II or Class III airport models available.
Agency: Federal Aviation Administration (FAA), DOT
Action: This is a retroactive requirement to have all Class II or Class III airport models meet current requirements.
Summary: Notwithstanding the authorization listed in paragraph 13b in Appendices A and C of this part, this FSTD Directive requires each certificate holder to ensure that by May 30, 2009, except for the airport model(s) used to qualify the simulator at the designated level, each airport model used by the certificate holder's instructors or evaluators for training, checking, or testing under this chapter in an FFS, meets the definition of a Class II or Class III airport model as defined in 14CFR part 60. The completion of this requirement will not require a report, and the method used for keeping instructors and evaluators apprised of the airport models that meet Class II or Class III requirements on any given simulator is at the option of the certificate holder whose employees are using the FFS, but the method used must be available for review by the TPAA for that certificate holder.
Dates: FSTD Directive 1 becomes effective on May 30, 2008.
1. Part 60 requires that each FSTD be:
a. Sponsored by a person holding or applying for an FAA operating certificate under Part 119, Part 141, or Part 142, or holding or applying for an FAA-approved training program under Part 63, Appendix C, for flight engineers, and
b. Evaluated and issued an SOQ for a specific FSTD level.
2. FFSs also require the installation of a visual system that is capable of providing an out-of-the-flight-deck view of airport models. However, historically these airport models were not routinely evaluated or required to meet any standardized criteria. This has led to qualified simulators containing airport models being used to meet FAA-approved training, testing, or checking requirements with potentially incorrect or inappropriate visual references.
3. To prevent this from occurring in the future, by May 30, 2009, except for the airport model(s) used to qualify the simulator at the designated level, each certificate holder must assure that each airport model used for training, testing, or checking under this chapter in a qualified FFS meets the definition of a Class II or Class III airport model as defined in Appendix F of this part.
4. These references describe the requirements for visual scene management and the minimum distances from which runway or landing area features must be visible for all levels of simulator. The visual scene or airport model must provide, for each “in-use runway” or “in-use landing area,” runway or landing area surface and markings, runway or landing area lighting, taxiway surface and markings, and taxiway lighting. Additional requirements include correlation of the visual scenes or airport models with other aspects of the airport environment, correlation of the aircraft and associated equipment, scene quality assessment features, and the extent to which the instructor is able to exercise control of these scenes or models.
5. For circling approaches, all requirements of this section apply to the runway used for the initial approach and to the runway of intended landing.
6. The details in these scenes or models must be developed using airport pictures, construction drawings and maps, or other similar data, or be developed in accordance with published regulatory material. However, FSTD Directive 1 does not require that airport models contain details that are beyond the initially designed capability of the visual system, as currently qualified. The recognized limitations to visual systems are as follows:
a. Visual systems not required to have runway numbers as a part of the specific runway marking requirements are:
(1) Link NVS and DNVS.
(2) Novoview 2500 and 6000.
(3) FlightSafety VITAL series up to, and including, VITAL III, but not beyond.
(4) Redifusion SP1, SP1T, and SP2.
b. Visual systems required to display runway numbers only for LOFT scenes are:
(1) FlightSafety VITAL IV.
(2) Redifusion SP3 and SP3T.
(3) Link-Miles Image II.
c. Visual systems not required to have accurate taxiway edge lighting are:
(1) Redifusion SP1.
(2) FlightSafety Vital IV.
(3) Link-Miles Image II and Image IIT
(4) XKD displays (even though the XKD image generator is capable of generating blue colored lights, the display cannot accommodate that color).
7. A copy of this Directive must be filed in the MQTG in the designated FSTD Directive Section, and its inclusion must be annotated on the Index of Effective FSTD Directives chart. See Attachment 4, Appendices A through D of this part for a sample MQTG Index of Effective FSTD Directives chart.
This appendix establishes the standards for Helicopter Flight Training Device (FTD) evaluation and qualification at Level 4, Level 5, Level 6, or Level 7. The Flight Standards Service is responsible for the development, application, and implementation of the standards contained within this appendix. The procedures and criteria specified in this appendix will be used by the responsible Flight Standards office when conducting helicopter FTD evaluations.
1. Introduction.
2. Applicability (§§ 60.1, 60.2).
3. Definitions (§ 60.3).
4. Qualification Performance Standards (§ 60.4).
5. Quality Management System (§ 60.5).
6. Sponsor Qualification Requirements (§ 60.7).
7. Additional Responsibilities of the Sponsor (§ 60.9).
8. FTD Use (§ 60.11).
9. FTD Objective Data Requirements (§ 60.13).
10. Special Equipment and Personnel Requirements for Qualification of the FTD (§ 60.14).
11. Initial (and Upgrade) Qualification Requirements (§ 60.15).
12. Additional Qualifications for Currently Qualified FTDs (§ 60.16).
13. Previously Qualified FTDs (§ 60.17).
14. Inspection, Continuing Qualification Evaluation, and Maintenance Requirements (§ 60.19).
15. Logging FTD Discrepancies (§ 60.20).
16. Interim Qualification of FTDs for New Helicopter Types or Models (§ 60.21).
17. Modifications to FTDs (§ 60.23).
18. Operations with Missing, Malfunctioning, or Inoperative Components (§ 60.25).
19. Automatic Loss of Qualification and Procedures for Restoration of Qualification (§ 60.27).
20. Other Losses of Qualification and Procedures for Restoration of Qualification (§ 60.29).
21. Recordkeeping and Reporting (§ 60.31).
22. [Reserved]
23. [Reserved]
24. Levels of FTD.
25. FTD Qualification on the Basis of a Bilateral Aviation Safety Agreement (BASA) (§ 60.37).
Attachment 1 to Appendix D to Part 60—General FTD Requirements.
Attachment 2 to Appendix D to Part 60—Flight Training Device (FTD) Objective Tests.
Attachment 3 to Appendix D to Part 60—Flight Training Device (FTD) Subjective Evaluation.
Attachment 4 to Appendix D to Part 60—Sample Documents.
a. This appendix contains background information as well as regulatory and informative material as described later in this section. To assist the reader in determining what areas are required and what areas are permissive, the text in this appendix is divided into two sections: “QPS Requirements” and “Information.” The QPS Requirements sections contain details regarding compliance with the part 60 rule language. These details are regulatory, but are found only in this appendix. The Information sections contain material that is advisory in nature, and designed to give the user general information about the regulation.
b. [Reserved]
c. The responsible Flight Standards office encourages the use of electronic media for all communication, including any record, report, request, test, or statement required by this appendix. The electronic media used must have adequate security provisions and be acceptable to the responsible Flight Standards office.
d. Related Reading References.
(1) 14 CFR part 60.
(2) 14 CFR part 61.
(3) 14 CFR part 63.
(4) 14 CFR part 119.
(5) 14 CFR part 121.
(6) 14 CFR part 125.
(7) 14 CFR part 135.
(8) 14 CFR part 141.
(9) 14 CFR part 142.
(10) AC 120-28, as amended, Criteria for Approval of Category III Landing Weather Minima.
(11) AC 120-29, as amended, Criteria for Approving Category I and Category II Landing Minima for part 121 operators.
(12) AC 120-35, as amended, Flightcrew Member Line Operational Simulations: Line-Oriented Flight Training, Special Purpose Operational Training, Line Operational Evaluation.
(13) AC 120-41, as amended, Criteria for Operational Approval of Airborne Wind Shear Alerting and Flight Guidance Systems.
(14) AC 120-57, as amended, Surface Movement Guidance and Control System (SMGCS).
(15) AC 120-63, as amended, Helicopter Simulator Qualification.
(16) AC 150/5300-13, as amended, Airport Design.
(17) AC 150/5340-1, as amended, Standards for Airport Markings.
(18) AC 150/5340-4, as amended, Installation Details for Runway Centerline Touchdown Zone Lighting Systems.
(19) AC 150/5390-2, as amended, Heliport Design.
(20) AC 150/5340-19, as amended, Taxiway Centerline Lighting System.
(21) AC 150/5340-24, as amended, Runway and Taxiway Edge Lighting System.
(22) AC 150/5345-28, as amended, Precision Approach Path Indicator (PAPI) Systems.
(23) International Air Transport Association document, “Flight Simulator Design and Performance Data Requirements,” as amended.
(24) AC 29-2, as amended, Flight Test Guide for Certification of Transport Category Rotorcraft.
(25) AC 27-1, as amended, Flight Test Guide for Certification of Normal Category Rotorcraft.
(26) International Civil Aviation Organization (ICAO) Manual of Criteria for the Qualification of Flight Simulators, as amended.
(27) Airplane Flight Simulator Evaluation Handbook, Volume I, as amended and Volume II, as amended, The Royal Aeronautical Society, London, UK.
(28) FAA Airman Certification Standards and Practical Test Standards for Airline Transport Pilot, Type Ratings, Commercial Pilot, and Instrument Ratings.
(29) The FAA Aeronautical Information Manual (AIM). An electronic version of the AIM is on the Internet at http://www.faa.gov/atpubs.
(30) Aeronautical Radio, Inc. (ARINC) document number 436, Guidelines For Electronic Qualification Test Guide (as amended).
(31) Aeronautical Radio, Inc. (ARINC) document 610, Guidance for Design and Integration of Aircraft Avionics Equipment in Simulators (as amended).
No additional regulatory or informational material applies to § 60.1, Applicability, or to § 60.2, Applicability of sponsor rules to person who are not sponsors and who are engaged in certain unauthorized activities.
See Appendix F of this part for a list of definitions and abbreviations from part 1, part 60, and the QPS appendices of part 60.
No additional regulatory or informational material applies to § 60.4, Qualification Performance Standards.
Additional regulatory material and informational material regarding Quality Management Systems for FTDs may be found in Appendix E of this part.
a. The intent of the language in § 60.7(b) is to have a specific FTD, identified by the sponsor, used at least once in an FAA-approved flight training program for the helicopter simulated during the 12-month period described. The identification of the specific FTD may change from one 12-month period to the next 12-month period as long as that sponsor sponsors and uses at least one FTD at least once during the prescribed period. There is no minimum number of hours or minimum FTD periods required.
b. The following examples describe acceptable operational practices:
(1) Example One.
(a) A sponsor is sponsoring a single, specific FTD for its own use, in its own facility or elsewhere—this single FTD forms the basis for the sponsorship. The sponsor uses that FTD at least once in each 12-month period in that sponsor's FAA-approved flight training program for the helicopter simulated. This 12-month period is established according to the following schedule:
(i) If the FTD was qualified prior to May 30, 2008, the 12-month period begins on the date of the first continuing qualification evaluation conducted in accordance with § 60.19 after May 30, 2008, and continues for each subsequent 12-month period;
(ii) A device qualified on or after May 30, 2008, will be required to undergo an initial or upgrade evaluation in accordance with § 60.15. Once the initial or upgrade evaluation is complete, the first continuing qualification evaluation will be conducted within 6 months. The 12 month continuing qualification evaluation cycle begins on that date and continues for each subsequent 12-month period.
(b) There is no minimum number of hours of FTD use required.
(c) The identification of the specific FTD may change from one 12-month period to the next 12-month period as long as that sponsor sponsors and uses at least one FTD at least once during the prescribed period.
(2) Example Two.
(a) A sponsor sponsors an additional number of FTDs, in its facility or elsewhere. Each additionally sponsored FTD must be—
(i) Used by the sponsor in the sponsor's FAA-approved flight training program for the helicopter simulated (as described in § 60.7(d)(1)); or
(ii) Used by another FAA certificate holder in that other certificate holder's FAA-approved flight training program for the helicopter simulated (as described in § 60.7(d)(1)). This 12-month period is established in the same manner as in example one; or
(iii) Provided a statement each year from a qualified pilot, (after having flown the helicopter not the subject FTD or another FTD, during the preceding 12-month period) stating that the subject FTD's performance and handling qualities represent the helicopter (as described in § 60.7(d)(2)). This statement is provided at least once in each 12-month period established in the same manner as in example one.
(b) There is no minimum number of hours of FTD use required.
(3) Example Three.
(a) A sponsor in New York (in this example, a Part 142 certificate holder) establishes “satellite” training centers in Chicago and Moscow.
(b) The satellite function means that the Chicago and Moscow centers must operate under the New York center's certificate (in accordance with all of the New York center's practices, procedures, and policies; e.g., instructor and/or technician training/checking requirements, record keeping, QMS program).
(c) All of the FTDs in the Chicago and Moscow centers could be dry-leased (i.e., the certificate holder does not have and use FAA-approved flight training programs for the FTDs in the Chicago and Moscow centers) because—
(i) Each FTD in the Chicago center and each FTD in the Moscow center is used at least once each 12-month period by another FAA certificate holder in that other certificate holder's FAA-approved flight training program for the helicopter (as described in § 60.7(d)(1)); or
(ii) A statement is obtained from a qualified pilot (having flown the helicopter, not the subject FTD or another FTD during the preceding 12-month period) stating that the performance and handling qualities of each FTD in the Chicago and Moscow centers represents the helicopter (as described in § 60.7(d)(2)).
The phrase “as soon as practicable” in § 60.9(a) means without unnecessarily disrupting or delaying beyond a reasonable time the training, evaluation, or experience being conducted in the FTD.
No additional regulatory or informational material applies to § 60.11, FTD Use.
a. Flight test data used to validate FTD performance and handling qualities must have been gathered in accordance with a flight test program containing the following:
(1) A flight test plan consisting of:
(a) The maneuvers and procedures required for aircraft certification and simulation programming and validation.
(b) For each maneuver or procedure—
(i) The procedures and control input the flight test pilot and/or engineer used.
(ii) The atmospheric and environmental conditions.
(iii) The initial flight conditions.
(iv) The helicopter configuration, including weight and center of gravity.
(v) The data to be gathered.
(vi) All other information necessary to recreate the flight test conditions in the FTD.
(2) Appropriately qualified flight test personnel.
(3) Appropriate and sufficient data acquisition equipment or system(s), including appropriate data reduction and analysis methods and techniques, acceptable to the FAA's Aircraft Certification Service.
b. The data, regardless of source, must be presented:
(1) In a format that supports the FTD validation process;
(2) In a manner that is clearly readable and annotated correctly and completely;
(3) With resolution sufficient to determine compliance with the tolerances set forth in Attachment 2, Table D2A Appendix D;
(4) With any necessary guidance information provided; and
(5) Without alteration, adjustments, or bias. Data may be corrected to address known data calibration errors provided that an explanation of the methods used to correct the errors appears in the QTG. The corrected data may be re-scaled, digitized, or otherwise manipulated to fit the desired presentation
c. After completion of any additional flight test, a flight test report must be submitted in support of the validation data. The report must contain sufficient data and rationale to support qualification of the FTD at the level requested.
d. As required by § 60.13(f), the sponsor must notify the responsible Flight Standards office when it becomes aware that an addition to or a revision of the flight related data or helicopter systems related data is available if this data is used to program and operate a qualified FTD. The data referred to in this sub-section is data used to validate the performance, handling qualities, or other characteristics of the aircraft, including data related to any relevant changes occurring after the type certification is issued. The sponsor must—
(1) Within 10 calendar days, notify the responsible Flight Standards office of the existence of this data; and
(a) Within 45 calendar days, notify the responsible Flight Standards office of—
(b) The schedule to incorporate this data into the FTD; or
(c) The reason for not incorporating this data into the FTD.
e. In those cases where the objective test results authorize a “snapshot test” or a “series of snapshot tests” results in lieu of a time-history result, the sponsor or other data provider must ensure that a steady state condition exists at the instant of time captured by the “snapshot.” The steady state condition must exist from 4 seconds prior to, through 1 second following, the instant of time captured by the snap shot.
f. The FTD sponsor is encouraged to maintain a liaison with the manufacturer of the aircraft being simulated (or with the holder of the aircraft type certificate for the aircraft being simulated if the manufacturer is no longer in business), and if appropriate, with the person having supplied the aircraft data package for the FTD in order to facilitate the notification described in this paragraph.
g. It is the intent of the responsible Flight Standards office that for new aircraft entering service, at a point well in advance of preparation of the QTG, the sponsor should submit to the responsible Flight Standards office for approval, a descriptive document (see Appendix C of this part, Table C2D, Sample Validation Data Roadmap for Helicopters) containing the plan for acquiring the validation data, including data sources. This document should clearly identify sources of data for all required tests, a description of the validity of these data for a specific engine type and thrust rating configuration, and the revision levels of all avionics affecting the performance or flying qualities of the aircraft. Additionally, this document should provide other information such as the rationale or explanation for cases where data or data parameters are missing, instances where engineering simulation data are used, or where flight test methods require further explanations. It should also provide a brief narrative describing the cause and effect of any deviation from data requirements. The aircraft manufacturer may provide this document.
h. There is no requirement for any flight test data supplier to submit a flight test plan or program prior to gathering flight test data. However, the responsible Flight Standards office notes that inexperienced data gatherers often provide data that is irrelevant, improperly marked, or lacking adequate justification for selection. Other problems include inadequate information regarding initial conditions or test maneuvers. The responsible Flight Standards office has been forced to refuse these data submissions as validation data for an FTD evaluation. For this reason the responsible Flight Standards office recommends that any data supplier not previously experienced in this area review the data necessary for programming and for validating the performance of the FTD and discuss the flight test plan anticipated for acquiring such data with the responsible Flight Standards office well in advance of commencing the flight tests.
i. The responsible Flight Standards office will consider, on a case-by-case basis, whether to approve supplemental validation data derived from flight data recording systems such as a Quick Access Recorder or Flight Data Recorder.
a. In the event that the responsible Flight Standards office determines that special equipment or specifically qualified persons will be required to conduct an evaluation, the responsible Flight Standards office will make every attempt to notify the sponsor at least one (1) week, but in no case less than 72 hours, in advance of the evaluation. Examples of special equipment include flight control measurement devices, accelerometers, or oscilloscopes. Examples of specially qualified personnel include individuals specifically qualified to install or use any special equipment when its use is required.
b. Examples of a special evaluation include an evaluation conducted after an FTD is moved; at the request of the TPAA; or as a result of comments received from users of the FTD that raise questions about the continued qualification or use of the FTD.
a. In order to be qualified at a particular qualification level, the FTD must:
(1) Meet the general requirements listed in Attachment 1 of this appendix.
(2) Meet the objective testing requirements listed in Attachment 2 of this appendix (Level 4 FTDs do not require objective tests).
(3) Satisfactorily accomplish the subjective tests listed in Attachment 3 of this appendix.
b. The request described in § 60.15(a) must include all of the following:
(1) A statement that the FTD meets all of the applicable provisions of this part and all applicable provisions of the QPS.
(2) A confirmation that the sponsor will forward to the responsible Flight Standards office the statement described in § 60.15(b) in such time as to be received no later than 5 business days prior to the scheduled evaluation and may be forwarded to the responsible Flight Standards office via traditional or electronic means.
(3) Except for a Level 4 FTD, a QTG, acceptable to the responsible Flight Standards office, that includes all of the following:
(a) Objective data obtained from aircraft testing or another approved source.
(b) Correlating objective test results obtained from the performance of the FTD as prescribed in the appropriate QPS.
(c) The result of FTD subjective tests prescribed in the appropriate QPS.
(d) A description of the equipment necessary to perform the evaluation for initial qualification and the continuing qualification evaluations.
c. The QTG described in paragraph a(3) of this section must provide the documented proof of compliance with the FTD objective tests in Attachment 2, Table D2A of this appendix.
d. The QTG is prepared and submitted by the sponsor, or the sponsor's agent on behalf of the sponsor, to the responsible Flight Standards office for review and approval, and must include, for each objective test:
(1) Parameters, tolerances, and flight conditions.
(2) Pertinent and complete instructions for conducting automatic and manual tests.
(3) A means of comparing the FTD test results to the objective data.
(4) Any other information as necessary to assist in the evaluation of the test results.
(5) Other information appropriate to the qualification level of the FTD.
e. The QTG described in paragraphs (a)(3) and (b) of this section, must include the following:
(1) A QTG cover page with sponsor and FAA approval signature blocks (see Attachment 4, Figure D4C, of this appendix, for a sample QTG cover page).
(2) A continuing qualification evaluation requirements page. This page will be used by the responsible Flight Standards office to establish and record the frequency with which continuing qualification evaluations must be conducted and any subsequent changes that may be determined by the responsible Flight Standards office in accordance with § 60.19. See Attachment 4, Figure D4G, of this appendix for a sample Continuing Qualification Evaluation Requirements page.
(3) An FTD information page that provides the information listed in this paragraph, if applicable (see Attachment 4, Figure D4B, of this appendix, for a sample FTD information page). For convertible FTDs, the sponsor must submit a separate page for each configuration of the FTD.
(a) The sponsor's FTD identification number or code.
(b) The helicopter model and series being simulated.
(c) The aerodynamic data revision number or reference.
(d) The source of the basic aerodynamic model and the aerodynamic coefficient data used to modify the basic model.
(e) The engine model(s) and its data revision number or reference.
(f) The flight control data revision number or reference.
(g) The flight management system identification and revision level.
(h) The FTD model and manufacturer.
(i) The date of FTD manufacture.
(j) The FTD computer identification.
(k) The visual system model and manufacturer, including display type.
(l) The motion system type and manufacturer, including degrees of freedom.
(4) A Table of Contents.
(5) A log of revisions and a list of effective pages.
(6) List of all relevant data references.
(7) A glossary of terms and symbols used (including sign conventions and units).
(8) Statements of Compliance and Capability (SOC) with certain requirements.
(9) Recording procedures or equipment required to accomplish the objective tests.
(10) The following information for each objective test designated in Attachment 2 of this appendix, as applicable to the qualification level sought:
(a) Name of the test.
(b) Objective of the test.
(c) Initial conditions.
(d) Manual test procedures.
(e) Automatic test procedures (if applicable).
(f) Method for evaluating FTD objective test results.
(g) List of all relevant parameters driven or constrained during the automatic test(s).
(h) List of all relevant parameters driven or constrained during the manual test(s).
(i) Tolerances for relevant parameters.
(j) Source of Validation Data (document and page number).
(k) Copy of the Validation Data (if located in a separate binder, a cross reference for the identification and page number for pertinent data location must be provided).
(l) FTD Objective Test Results as obtained by the sponsor. Each test result must reflect the date completed and must be clearly labeled as a product of the device being tested.
f. A convertible FTD is addressed as a separate FTD for each model and series helicopter to which it will be converted and for the FAA qualification level sought. The responsible Flight Standards office will conduct an evaluation for each configuration. If a sponsor seeks qualification for two or more models of a helicopter type using a convertible FTD, the sponsor must provide a QTG for each helicopter model, or a QTG for the first helicopter model and a supplement to that QTG for each additional helicopter model. The responsible Flight Standards office will conduct evaluations for each helicopter model.
g. The form and manner of presentation of objective test results in the QTG must include the following:
(1) The sponsor's FTD test results must be recorded in a manner acceptable to the responsible Flight Standards office, that allows easy comparison of the FTD test results to the validation data (e.g., use of a multi-channel recorder, line printer, cross plotting, overlays, transparencies).
(2) FTD results must be labeled using terminology common to helicopter parameters as opposed to computer software identifications.
(3) Validation data documents included in a QTG may be photographically reduced only if such reduction will not alter the graphic scaling or cause difficulties in scale interpretation or resolution.
(4) Scaling on graphical presentations must provide the resolution necessary to evaluate the parameters shown in Attachment 2, Table D2A of this appendix.
(5) Tests involving time histories, data sheets (or transparencies thereof) and FTD test results must be clearly marked with appropriate reference points to ensure an accurate comparison between FTD and helicopter with respect to time. Time histories recorded via a line printer are to be clearly identified for cross-plotting on the helicopter data. Over-plots may not obscure the reference data.
h. The sponsor may elect to complete the QTG objective and subjective tests at the manufacturer's facility or at the sponsor's training facility. If the tests are conducted at the manufacturer's facility, the sponsor must repeat at least one-third of the tests at the sponsor's training facility in order to substantiate FTD performance. The QTG must be clearly annotated to indicate when and where each test was accomplished. Tests conducted at the manufacturer's facility and at the sponsor's training facility must be conducted after the FTD is assembled with systems and sub-systems functional and operating in an interactive manner. The test results must be submitted to the responsible Flight Standards office.
i. The sponsor must maintain a copy of the MQTG at the FTD location.
j. All FTDs for which the initial qualification is conducted after May 30, 2014, must have an electronic MQTG (eMQTG) including all objective data obtained from helicopter testing, or another approved source (reformatted or digitized), together with correlating objective test results obtained from the performance of the FTD (reformatted or digitized) as prescribed in this appendix. The eMQTG must also contain the general FTD performance or demonstration results (reformatted or digitized) prescribed in this appendix, and a description of the equipment necessary to perform the initial qualification evaluation and the continuing qualification evaluations. The eMQTG must include the original validation data used to validate FTD performance and handling qualities in either the original digitized format from the data supplier or an electronic scan of the original time-history plots that were provided by the data supplier. A copy of the eMQTG must be provided to the responsible Flight Standards office.
k. All other FTDs (not covered in subparagraph “j”) must have an electronic copy of the MQTG by and after May 30, 2014. An electronic copy of the MQTG must be provided to the responsible Flight Standards office. This may be provided by an electronic scan presented in a Portable Document File (PDF), or similar format acceptable to the responsible Flight Standards office.
l. During the initial (or upgrade) qualification evaluation conducted by the responsible Flight Standards office, the sponsor must also provide a person knowledgeable about the operation of the aircraft and the operation of the FTD.
m. Only those FTDs that are sponsored by a certificate holder as defined in Appendix F of this part will be evaluated by the responsible Flight Standards office. However, other FTD evaluations may be conducted on a case-by-case basis as the Administrator deems appropriate, but only in accordance with applicable agreements.
n. The responsible Flight Standards office will conduct an evaluation for each configuration, and each FTD must be evaluated as completely as possible. To ensure a thorough and uniform evaluation, each FTD is subjected to the general FTD requirements in Attachment 1 of this appendix, the objective tests listed in Attachment 2 of this appendix, and the subjective tests listed in Attachment 3 of this appendix. The evaluations described herein will include, but not necessarily be limited to the following:
(1) Helicopter responses, including longitudinal and lateral-directional control responses (see Attachment 2 of this appendix).
(2) Performance in authorized portions of the simulated helicopter's operating envelope, to include tasks evaluated by the responsible Flight Standards office in the areas of surface operations, takeoff, climb, cruise, descent, approach and landing, as well as abnormal and emergency operations (see Attachment 2 of this appendix).
(3) Control checks (see Attachment 1 and Attachment 2 of this appendix).
(4) Flight deck configuration (see Attachment 1 of this appendix).
(5) Pilot, flight engineer, and instructor station functions checks (see Attachment 1 and Attachment 3 of this appendix).
(6) Helicopter systems and sub-systems (as appropriate) as compared to the helicopter simulated (see attachment 1 and attachment 3 of this appendix).
(7) FTD systems and sub-systems, including force cueing (motion), visual, and aural (sound) systems, as appropriate (see Attachment 1 and Attachment 2 of this appendix).
(8) Certain additional requirements, depending upon the qualification level sought, including equipment or circumstances that may become hazardous to the occupants. The sponsor may be subject to Occupational Safety and Health Administration requirements.
o. The responsible Flight Standards office administers the objective and subjective tests, which include an examination of functions. The tests include a qualitative assessment of the FTD by a pilot from the responsible Flight Standards office. The evaluation team leader may assign other qualified personnel to assist in accomplishing the functions examination and/or the objective and subjective tests performed during an evaluation when required.
(1) Objective tests provide a basis for measuring and evaluating FTD performance and determining compliance with the requirements of this part.
(2) Subjective tests provide a basis for:
(a) Evaluating the capability of the FTD to perform over a typical utilization period;
(b) Determining that the FTD satisfactorily simulates each required task;
(c) Verifying correct operation of the FTD controls, instruments, and systems; and
(d) Demonstrating compliance with the requirements of this part.
p. The tolerances for the test parameters listed in Attachment 2 of this appendix reflect the range of tolerances acceptable to the responsible Flight Standards office for FTD validation and are not to be confused with design tolerances specified for FTD manufacture. In making decisions regarding tests and test results, the responsible Flight Standards office relies on the use of operational and engineering judgment in the application of data (including consideration of the way in which the flight test was flown and way the data was gathered and applied), data presentations, and the applicable tolerances for each test.
q. In addition to the scheduled continuing qualification evaluation, each FTD is subject to evaluations conducted by the responsible Flight Standards office at any time without prior notification to the sponsor. Such evaluations would be accomplished in a normal manner (i.e., requiring exclusive use of the FTD for the conduct of objective and subjective tests and an examination of functions) if the FTD is not being used for flight crewmember training, testing, or checking. However, if the FTD were being used, the evaluation would be conducted in a non-exclusive manner. This non-exclusive evaluation will be conducted by the FTD evaluator accompanying the check airman, instructor, Aircrew Program Designee (APD), or FAA inspector aboard the FTD along with the student(s) and observing the operation of the FTD during the training, testing, or checking activities.
r. Problems with objective test results are handled as follows:
(1) If a problem with an objective test result is detected by the evaluation team during an evaluation, the test may be repeated or the QTG may be amended.
(2) If it is determined that the results of an objective test do not support the qualification level requested but do support a lower level, the responsible Flight Standards office may qualify the FTD at a lower level.
s. After an FTD is successfully evaluated, the responsible Flight Standards office issues an SOQ to the sponsor. The responsible Flight Standards office recommends the FTD to the TPAA, who will approve the FTD for use in a flight training program. The SOQ will be issued at the satisfactory conclusion of the initial or continuing qualification evaluation and will list the tasks for which the FTD is qualified, referencing the tasks described in Table D1B in Attachment 1 of this appendix. However, it is the sponsor's responsibility to obtain TPAA approval prior to using the FTD in an FAA-approved flight training program.
t. Under normal circumstances, the responsible Flight Standards office establishes a date for the initial or upgrade evaluation within ten (10) working days after determining that a complete QTG is acceptable. Unusual circumstances may warrant establishing an evaluation date before this determination is made. A sponsor may schedule an evaluation date as early as 6 months in advance. However, there may be a delay of 45 days or more in rescheduling and completing the evaluation if the sponsor is unable to meet the scheduled date. See Attachment 4, of this appendix, Figure D4A, Sample Request for Initial, Upgrade, or Reinstatement Evaluation.
u. The numbering system used for objective test results in the QTG should closely follow the numbering system set out in Attachment 2, FTD Objective Tests, Table D2A of this appendix.
v. Contact the responsible Flight Standards office for additional information regarding the preferred qualifications of pilots used to meet the requirements of § 60.15(d).
w. Examples of the exclusions for which the FTD might not have been subjectively tested by the sponsor or the responsible Flight Standards office and for which qualification might not be sought or granted, as described in § 60.15(g)(6), include approaches to and departures from slopes and pinnacles.
No additional regulatory or informational material applies to § 60.16, Additional Qualifications for a Currently Qualified FTD.
a. In instances where a sponsor plans to remove an FTD from active status for a period of less than two years, the following procedures apply:
(1) The responsible Flight Standards office must be notified in writing and the notification must include an estimate of the period that the FTD will be inactive.
(2) Continuing Qualification evaluations will not be scheduled during the inactive period.
(3) The responsible Flight Standards office will remove the FTD from the list of qualified FTDs on a mutually established date not later than the date on which the first missed continuing qualification evaluation would have been scheduled.
(4) Before the FTD is restored to qualified status, it must be evaluated by the responsible Flight Standards office. The evaluation content and the time required to accomplish the evaluation is based on the number of continuing qualification evaluations and sponsor-conducted quarterly inspections missed during the period of inactivity.
(5) The sponsor must notify the responsible Flight Standards office of any changes to the original scheduled time out of service.
b. FTDs and replacement FTD systems qualified prior to May 30, 2008, are not required to meet the general FTD requirements, the objective test requirements, and the subjective test requirements of Attachments 1, 2, and 3, respectively, of this appendix as long as the FTD continues to meet the test requirements contained in the MQTG developed under the original qualification basis.
c. After (1 year after date of publication of the final rule in the
d. Simulators qualified prior to May 30, 2008, may be updated. If an evaluation is deemed appropriate or necessary by the responsible Flight Standards office after such an update, the evaluation will not require an evaluation to standards beyond those against which the simulator was originally qualified.
e. Other certificate holders or persons desiring to use an FTD may contract with FTD sponsors to use FTDs previously qualified at a particular level for a helicopter type and approved for use within an FAA-approved flight training program. Such FTDs are not required to undergo an additional qualification process, except as described in § 60.16.
f. Each FTD user must obtain approval from the appropriate TPAA to use any FTD in an FAA-approved flight training program.
g. The intent of the requirement listed in § 60.17(b), for each FTD to have an SOQ within 6 years, is to have the availability of that statement (including the configuration list and the limitations to authorizations) to provide a complete picture of the FTD inventory regulated by the FAA. The issuance of the statement will not require any additional evaluation or require any adjustment to the evaluation basis for the FTD.
h. Downgrading of an FTD is a permanent change in qualification level and will necessitate the issuance of a revised SOQ to reflect the revised qualification level, as appropriate. If a temporary restriction is placed on an FTD because of a missing, malfunctioning, or inoperative component or on-going repairs, the restriction is not a permanent change in qualification level. Instead, the restriction is temporary and is removed when the reason for the restriction has been resolved.
i. It is not the intent of the responsible Flight Standards office to discourage the improvement of existing simulation (e.g., the “updating” of a control loading system, or the replacement of the IOS with a more capable unit) by requiring the “updated” device to meet the qualification standards current at the time of the update. Depending on the extent of the update, the responsible Flight Standards officemay require that the updated device be evaluated and may require that an evaluation include all or a portion of the elements of an initial evaluation. However, the standards against which the device would be evaluated are those that are found in the MQTG for that device.
j. The responsible Flight Standards officewill determine the evaluation criteria for an FTD that has been removed from active status for a prolonged period. The criteria will be based on the number of continuing qualification evaluations and quarterly inspections missed during the period of inactivity. For example, if the FTD were out of service for a 1 year period, it would be necessary to complete the entire QTG, since all of the quarterly evaluations would have been missed. The responsible Flight Standards officewill also consider how the FTD was stored, whether parts were removed from the FTD and whether the FTD was disassembled.
k. The FTD will normally be requalified using the FAA-approved MQTG and the criteria that was in effect prior to its removal from qualification. However, inactive periods of 2 years or more will require re-qualification under the standards in effect and current at the time of requalification.
a. The sponsor must conduct a minimum of four evenly spaced inspections throughout the year. The objective test sequence and content of each inspection in this sequence must be developed by the sponsor and must be acceptable to the responsible Flight Standards office.
b. The description of the functional preflight check must be contained in the sponsor's QMS.
c. Record “functional preflight” in the FTD discrepancy log book or other acceptable location, including any item found to be missing, malfunctioning, or inoperative.
d. During the continuing qualification evaluation conducted by the responsible Flight Standards office, the sponsor must also provide a person knowledgeable about the operation of the aircraft and the operation of the FTD.
e. The sponsor's test sequence and the content of each quarterly inspection required in § 60.19(a)(1) should include a balance and a mix from the objective test requirement areas listed as follows:
(1) Performance.
(2) Handling qualities.
(3) Motion system (where appropriate).
(4) Visual system (where appropriate).
(5) Sound system (where appropriate).
(6) Other FTD systems.
f. If the evaluator plans to accomplish specific tests during a normal continuing qualification evaluation that requires the use of special equipment or technicians, the sponsor will be notified as far in advance of the evaluation as practical; but not less than 72 hours. Examples of such tests include latencies and control sweeps.
g. The continuing qualification evaluations described in § 60.19(b) will normally require 4 hours of FTD time. However, flexibility is necessary to address abnormal situations or situations involving aircraft with additional levels of complexity (e.g., computer controlled aircraft). The sponsor should anticipate that some tests may require additional time. The continuing qualification evaluations will consist of the following:
(1) Review of the results of the quarterly inspections conducted by the sponsor since the last scheduled continuing qualification evaluation.
(2) A selection of approximately 8 to 15 objective tests from the MQTG that provide an adequate opportunity to evaluate the performance of the FTD. The tests chosen will be performed either automatically or manually and should be able to be conducted within approximately one-third (1/3) of the allotted FTD time.
(3) A subjective evaluation of the FTD to perform a representative sampling of the tasks set out in attachment 3 of this appendix. This portion of the evaluation should take approximately two-thirds (2/3) of the allotted FTD time.
(4) An examination of the functions of the FTD may include the motion system, visual system, sound system as applicable, instructor operating station, and the normal functions and simulated malfunctions of the simulated helicopter systems. This examination is normally accomplished simultaneously with the subjective evaluation requirements.
h. The requirement established in § 60.19(b)(4) regarding the frequency of responsible Flight Standards office-conducted continuing qualification evaluations for each FTD is typically 12 months. However, the establishment and satisfactory implementation of an approved QMS for a sponsor will provide a basis for adjusting the frequency of evaluations to exceed 12-month intervals.
No additional regulatory or informational material applies to § 60.20. Logging FTD Discrepancies.
No additional regulatory or informational material applies to § 60.21, Interim Qualification of FTDs for New Helicopter Types or Models.
a. The notification described in § 60.23(c)(2) must include a complete description of the planned modification, with a description of the operational and engineering effect the proposed modification will have on the operation of the FTD and the results that are expected with the modification incorporated.
b. Prior to using the modified FTD:
(1) All the applicable objective tests completed with the modification incorporated, including any necessary updates to the MQTG (e.g., accomplishment of FSTD Directives) must be acceptable to the responsible Flight Standards office; and
(2) The sponsor must provide the responsible Flight Standards office with a statement signed by the MR that the factors listed in § 60.15(b) are addressed by the appropriate personnel as described in that section.
c. FSTD Directives are considered modification of an FTD. See Attachment 4 of this appendix, Figure D4I for a sample index of effective FSTD Directives. See Attachment 6 of this appendix for a list of all effective FSTD Directives applicable to Helicopter FTDs.
a. The sponsor's responsibility with respect to § 60.25(a) is satisfied when the sponsor fairly and accurately advises the user of the current status of an FTD, including any missing, malfunctioning, or inoperative (MMI) component(s).
b. It is the responsibility of the instructor, check airman, or representative of the administrator conducting training, testing, or checking to exercise reasonable and prudent judgment to determine if any MMI component is necessary for the satisfactory completion of a specific maneuver, procedure, or task.
c. If the 29th or 30th day of the 30-day period described in § 60.25(b) is on a Saturday, a Sunday, or a holiday, the FAA will extend the deadline until the next business day.
d. In accordance with the authorization described in § 60.25(b), the sponsor may develop a discrepancy prioritizing system to accomplish repairs based on the level of impact on the capability of the FTD. Repairs having a larger impact on the FTD's ability to provide the required training, evaluation, or flight experience will have a higher priority for repair or replacement.
If the sponsor provides a plan for how the FTD will be maintained during its out-of-service period (e.g., periodic exercise of mechanical, hydraulic, and electrical systems; routine replacement of hydraulic fluid; control of the environmental factors in which the FTD is to be maintained) there is a greater likelihood that the responsible Flight Standards office will be able to determine the amount of testing that is required for requalification.
If the sponsor provides a plan for how the FTD will be maintained during its out-of-service period (e.g., periodic exercise of mechanical, hydraulic, and electrical systems; routine replacement of hydraulic fluid; control of the environmental factors in which the FTD is to be maintained) there is a greater likelihood that the responsible Flight Standards office will be able to determine the amount of testing that is required for requalification.
a. FTD modifications can include hardware or software changes. For FTD modifications involving software programming changes, the record required by § 60.31(a)(2) must consist of the name of the aircraft system software, aerodynamic model, or engine model change, the date of the change, a summary of the change, and the reason for the change.
b. If a coded form for record keeping is used, it must provide for the preservation and retrieval of information with appropriate security or controls to prevent the inappropriate alteration of such records after the fact.
a. The following is a general description of each level of FTD. Detailed standards and tests for the various levels of FTDs are fully defined in Attachments 1 through 3 of this appendix.
(1) Level 4. A Level 4 device is one that may have an open helicopter-specific flight deck area, or an enclosed helicopter-specific flight deck and at least one operating system. Air/ground logic is required (no aerodynamic programming required). All displays may be flat/LCD panel representations or actual representations of displays in the aircraft. All controls, switches, and knobs may be touch sensitive activation (not capable of manual manipulation of the flight controls) or may physically replicate the aircraft in control operation.
(2) Level 5. A Level 5 device is one that may have an open helicopter-specific flight deck area, or an enclosed helicopter-specific flight deck and a generic aerodynamic program with at least one operating system and control loading representative of the simulated helicopter. The control loading need only represent the helicopter at an approach speed and configuration. All displays may be flat/LCD panel representations or actual representations of displays in the aircraft. Primary and secondary flight controls (e.g., rudder, aileron, elevator, flaps, spoilers/speed brakes, engine controls, landing gear, nosewheel steering, trim, brakes) must be physical controls. All other controls, switches, and knobs may be touch sensitive activation.
(3) Level 6. A Level 6 device is one that has an enclosed helicopter-specific flight deck and aerodynamic program with all applicable helicopter systems operating and control loading that is representative of the simulated helicopter throughout its ground and flight envelope and significant sound representation. All displays may be flat/LCD panel representations or actual representations of displays in the aircraft, but all controls, switches, and knobs must physically replicate the aircraft in control operation.
(4) Level 7. A Level 7 device is one that has an enclosed helicopter-specific flight deck and aerodynamic program with all applicable helicopter systems operating and control loading that is representative of the simulated helicopter throughout its ground and flight envelope and significant sound representation. All displays may be flat/LCD panel representations or actual representations of displays in the aircraft, but all controls, switches, and knobs must physically replicate the aircraft in control operation. It also has a visual system that provides an out-of-the-flight deck view, providing cross-flight deck viewing (for both pilots simultaneously) of a field-of-view of at least 146° horizontally and 36° vertically as well as a vibration cueing system for characteristic helicopter vibrations noted at the pilot station(s).
No additional regulatory or informational material applies to § 60.37, FTD Qualification on the Basis of a Bilateral Aviation Safety Agreement (BASA).
a. Certain requirements included in this appendix must be supported with an SOC as defined in Appendix F, which may include objective and subjective tests. The requirements for SOCs are indicated in the “General FTD Requirements” column in Table D1A of this appendix.
b. Table D1A describes the requirements for the indicated level of FTD. Many devices include operational systems or functions that exceed the requirements outlined in this section. In any event, all systems will be tested and evaluated in accordance with this appendix to ensure proper operation.
a. This attachment describes the general requirements for qualifying Level 4 through Level 7 FTDs. The sponsor should also consult the objectives tests in Attachment 2 of this appendix and the examination of functions and subjective tests listed in Attachment 3 of this appendix to determine the complete requirements for a specific level FTD.
b. The material contained in this attachment is divided into the following categories:
(1) General Flight Deck Configuration.
(2) Programming.
(3) Equipment Operation.
(4) Equipment and Facilities for Instructor/Evaluator Functions.
(5) Motion System.
(6) Visual System.
(7) Sound System.
c. Table D1A provides the standards for the General FTD Requirements.
d. Table D1B provides the tasks that the sponsor will examine to determine whether the FTD satisfactorily meets the requirements for flight crew training, testing, and experience.
e. Table D1C provides the functions that an instructor/check airman must be able to control in the simulator.
f. It is not required that all of the tasks that appear on the List of Qualified Tasks (part of the SOQ) be accomplished during the initial or continuing qualification evaluation.
Table D1A—Minimum FTD Requirements
| QPS requirements | Information | |||||
|---|---|---|---|---|---|---|
| Entry No. | General FTD requirements | FTD level | Notes | |||
| 4 | 5 | 6 | 7 | |||
| 1.a. | The FTD must have a flight deck that is a replica of the helicopter, or set of helicopters simulated with controls, equipment, observable flight deck indicators, circuit breakers, and bulkheads properly located, functionally accurate and replicating the helicopter or set of helicopters. The direction of movement of controls and switches must be identical to that in the helicopter or set of helicopters. Crewmember seats must afford the capability for the occupant to be able to achieve the design “eye position.” Equipment for the operation of the flight deck windows must be included, but the actual windows need not be operable. Those circuit breakers that affect procedures or result in observable flight deck indications must be properly located and functionally accurate. Fire axes, extinguishers, landing gear pins, and spare light bulbs must be available, and may be represented in silhouette, in the flight simulator. This equipment must be present as near as practical to the original position | X | X | For FTD purposes, the flight deck consists of all that space forward of a cross section of the flight deck at the most extreme aft setting of the pilots' seats including additional, required crewmember duty stations and those required bulkheads aft of the pilot seats. Bulkheads containing only items such as landing gear pin storage compartments, fire axes and extinguishers, spare light bulbs, and aircraft documents pouches are not considered essential and may be omitted. If omitted, these items, or the silhouettes of these items, may be placed on the wall of the simulator, or in any other location as near as practical to the original position of these items. | ||
| 1.b. | The FTD must have equipment (i.e., instruments, panels, systems, circuit breakers, and controls) simulated sufficiently for the authorized training/checking events to be accomplished. The installed equipment, must be located in a spatially correct configuration, and may be in a flight deck or an open flight deck area. Those circuit breakers that affect procedures or result in observable flight deck indications must be properly located and functionally accurate. Additional equipment required for the authorized training and checking events must be available in the FTD but may be located in a suitable location as near as practical to the spatially correct position. Actuation of this equipment must replicate the appropriate function in the helicopter. Fire axes, landing gear pins, and any similar purpose instruments need only be represented in silhouette | X | X | |||
| 2.a. | The FTD must provide the proper effect of aerodynamic changes for the combinations of drag and thrust normally encountered in flight. This must include the effect of change in helicopter attitude, thrust, drag, altitude, temperature, and configuration. Levels 6 and 7 additionally require the effects of changes in gross weight and center of gravity.Level 5 requires only generic aerodynamic programming.
An SOC is required | X | X | X | ||
| 2.b. | The FTD must have the computer (analog or digital) capability (i.e., capacity, accuracy, resolution, and dynamic response) needed to meet the qualification level sought.
An SOC is required | X | X | X | X | |
| 2.c. | Relative responses of the flight deck instruments must be measured by latency tests or transport delay tests, and may not exceed 150 milliseconds. The instruments must respond to abrupt input at the pilot's position within the allotted time, but not before the time that the helicopter or set of helicopters respond under the same conditions
• Latency: The FTD instrument and, if applicable, the motion system and the visual system response must not be prior to that time when the helicopter responds and may respond up to 150 milliseconds after that time under the same conditions • Transport Delay: As an alternative to the Latency requirement, a transport delay objective test may be used to demonstrate that the FTD system does not exceed the specified limit. The sponsor must measure all the delay encountered by a step signal migrating from the pilot's control through all the simulation software modules in the correct order, using a handshaking protocol, finally through the normal output interfaces to the instrument display and, if applicable, the motion system, and the visual system | X | X | X | The intent is to verify that the FTD provides instrument cues that are, within the stated time delays, like the helicopter responses. For helicopter response, acceleration in the appropriate, corresponding rotational axis is preferred. | |
| 3.a. | All relevant instrument indications involved in the simulation of the helicopter must automatically respond to control movement or external disturbances to the simulated helicopter or set of helicopters; e.g., turbulence or winds | A | X | X | X | |
| 3.b. | Navigation equipment must be installed and operate within the tolerances applicable for the helicopter or set of helicopters. Levels 6 and 7 must also include communication equipment (inter-phone and air/ground) like that in the helicopter. Level 5 only needs that navigation equipment necessary to fly an instrument approach | A | X | X | X | |
| 3.c. | Installed systems must simulate the applicable helicopter system operation both on the ground and in flight. At least one helicopter system must be represented. Systems must be operative to the extent that applicable normal, abnormal, and emergency operating procedures included in the sponsor's training programs can be accomplished. Levels 6 and 7 must simulate all applicable helicopter flight, navigation, and systems operation. Level 5 must have functional flight and navigational controls, displays, and instrumentation | A | X | X | X | |
| 3.d. | The lighting environment for panels and instruments must be sufficient for the operation being conducted | X | X | X | X | Back-lighted panels and instruments may be installed but are not required. |
| 3.e. | The FTD must provide control forces and control travel that correspond to the replicated helicopter or set of helicopters. Control forces must react in the same manner as in the helicopter or set of helicopters under the same flight conditions | X | X | |||
| 3.f. | The FTD must provide control forces and control travel of sufficient precision to manually fly an instrument approach. The control forces must react in the same manner as in the helicopter or set of helicopters under the same flight conditions | X | ||||
| 4.a. | In addition to the flight crewmember stations, suitable seating arrangements for an instructor/check airman and FAA Inspector must be available. These seats must provide adequate view of crewmember's panel(s) | X | X | X | X | These seats need not be a replica of an aircraft seat and may be as simple as an office chair placed in an appropriate position. |
| 4.b. | The FTD must have instructor controls that permit activation of normal, abnormal, and emergency conditions, as appropriate. Once activated, proper system operation must result from system management by the crew and not require input from the instructor controls. | X | X | X | X | |
| 5.a. | A motion system may be installed in an FTD. If installed, the motion system operation must not be distracting. If a motion system is installed and additional training, testing, or checking credits are being sought, sensory cues must also be integrated. The motion system must respond to abrupt input at the pilot's position within the allotted time, but not before the time when the helicopter responds under the same conditions. The motion system must be measured by latency tests or transport delay tests and may not exceed 150 milliseconds. Instrument response must not occur prior to motion onset | X | X | X | X | |
| 5.b. | The FTD must have at least a vibration cueing system for characteristic helicopter vibrations noted at the pilot station(s) | X | May be accomplished by a “seat shaker” or a bass speaker sufficient to provide the necessary cueing. | |||
| 6.a. | The FTD may have a visual system, if desired, although it is not required. If a visual system is installed, it must meet the following criteria: | |||||
| 6.a.1. | The visual system must respond to abrupt input at the pilot's position.
An SOC is required | X | X | X | ||
| 6.a.2. | The visual system must be at least a single channel, non-collimated display.
An SOC is required | X | X | X | ||
| 6.a.3. | The visual system must provide at least a field-of-view of 18° vertical/24° horizontal for the pilot flying.
An SOC is required | X | X | X | ||
| 6.a.4. | The visual system must provide for a maximum parallax of 10° per pilot.
An SOC is required | X | X | X | ||
| 6.a.5. | The visual scene content may not be distracting.
An SOC is required | X | X | X | ||
| 6.a.6. | The minimum distance from the pilot's eye position to the surface of a direct view display may not be less than the distance to any front panel instrument.
An SOC is required | X | X | X | ||
| 6.a.7. | The visual system must provide for a minimum resolution of 5 arc-minutes for both computed and displayed pixel size.
An SOC is required | X | X | X | ||
| 6.b. | If a visual system is installed and additional training, testing, or checking credits are being sought on the basis of having a visual system, a visual system meeting the standards set out for at least a Level A FFS (see Appendix A of this part) will be required. A “direct-view,” non-collimated visual system (with the other requirements for a Level A visual system met) may be considered satisfactory for those installations where the visual system design “eye point” is appropriately adjusted for each pilot's position such that the parallax error is at or less than 10° simultaneously for each pilot.
An SOC is required | X | X | X | ||
| The FTD must provide a continuous visual field-of-view of at least 146° horizontally and 36° vertically for both pilot seats, simultaneously. The minimum horizontal field-of-view coverage must be plus and minus one-half (
An SOC is required and must explain the geometry of the installation. | X | Optimization of the vertical field-of-view may be considered with respect to the specific helicopter flight deck cut-off angle. When considering the installation/use of augmented fields of view, as described here, it will be the responsibility of the sponsor to meet with the responsible Flight Standards office to determine the training, testing, checking, or experience tasks for which the augmented field-of-view capability may be critical to that approval. | ||||
| 7.a. | The FTD must simulate significant flight deck sounds resulting from pilot actions that correspond to those heard in the helicopter | X | X | |||
Note: An “A” in the table indicates that the system, task, or procedure may be examined if the appropriate helicopter system or control is simulated in the FTD and is working properly.
Table D1B—Minimum FTD Requirements
| QPS requirements | Information | |||||
|---|---|---|---|---|---|---|
| Entry No. | Subjective requirements
The FTD must be able to perform the tasks associated with the level of qualification sought. | FTD level | Notes | |||
| 4 | 5 | 6 | 7 | |||
| 1.a. | Preflight Inspection (Flight Deck Only) switches, indicators, systems, and equipment | A | A | X | X | |
| 1.b. | APU/Engine start and run-up | |||||
| 1.b.1. | Normal start procedures | A | A | X | X | |
| 1.b.2. | Alternate start procedures | A | A | X | X | |
| 1.b.3. | Abnormal starts and shutdowns (hot start, hung start) | A | A | X | X | |
| 1.c. | Taxiing—Ground | X | ||||
| 1.d. | Taxiing—Hover | X | ||||
| 1.e. | Pre-takeoff Checks | A | A | X | X | |
| 2.a. | Normal takeoff | |||||
| 2.a.1. | From ground | X | ||||
| 2.a.2. | From hover | X | ||||
| 2.a.3 | Running | X | ||||
| 2.b. | Instrument | X | X | |||
| 2.c. | Powerplant Failure During Takeoff | X | X | |||
| 2.d. | Rejected Takeoff | X | ||||
| 2.e. | Instrument Departure | X | X | |||
| 3.a. | Normal | X | X | |||
| 3.b. | Obstacle clearance | X | ||||
| 3.c. | Vertical | X | X | |||
| 3.d. | One engine inoperative | X | X | |||
| 4.a. | Turns (timed, normal, steep) | X | X | X | ||
| 4.b. | Powerplant Failure—Multiengine Helicopters | X | X | |||
| 4.c. | Powerplant Failure—Single-Engine Helicopters | X | X | |||
| 4.d. | Recovery From Unusual Attitudes | X | ||||
| 4.e. | Settling with Power | X | ||||
| 5.a. | Instrument Arrival | X | X | |||
| 5.b. | Holding | X | X | |||
| 5.c. | Precision Instrument Approach | |||||
| 5.c.1. | Normal—All engines operating | X | X | X | ||
| 5.c.2. | Manually controlled—One or more engines inoperative | X | X | |||
| 5.d. | Non-precision Instrument Approach | X | X | X | ||
| 5.e. | Missed Approach. | |||||
| 5.e.1. | All engines operating | X | X | |||
| 5.e.2. | One or more engines inoperative | X | X | |||
| 5.e.3. | Stability augmentation system failure | X | X | |||
| 6.a. | Visual Approaches (normal, steep, shallow) | X | X | X | ||
| 6.b. | Landings. | |||||
| 6.b.1. | Normal/crosswind. | |||||
| 6.b.1.a. | Running | X | ||||
| 6.b.1.b. | From Hover | X | ||||
| 6.b.2. | One or more engines inoperative | X | ||||
| 6.b.3. | Rejected Landing | X | ||||
| 7.a. | Powerplant | A | A | X | X | |
| 7.b. | Fuel System | A | A | X | X | |
| 7.c. | Electrical System | A | A | X | X | |
| 7.d. | Hydraulic System | A | A | X | X | |
| 7.e. | Environmental System(s) | A | A | X | X | |
| 7.f. | Fire Detection and Extinguisher Systems | A | A | X | X | |
| 7.g. | Navigation and Aviation Systems | A | A | X | X | |
| 7.h. | Automatic Flight Control System, Electronic Flight Instrument System, and Related Subsystems | A | A | X | X | |
| 7.i. | Flight Control Systems | A | A | X | X | |
| 7.j. | Anti-ice and Deice Systems | A | A | X | X | |
| 7.k. | Aircraft and Personal Emergency Equipment | A | A | X | X | |
| 7.l. | Special Missions tasks (e.g., Night Vision goggles, Forward Looking Infrared System, External Loads and as listed on the SOQ.) | X | ||||
| 8.a. | Emergency Descent | X | X | |||
| 8.b. | Inflight Fire and Smoke Removal | X | X | |||
| 8.c. | Emergency Evacuation | X | X | |||
| 8.d. | Ditching | X | ||||
| 8.e. | Autorotative Landing | X | ||||
| 8.f. | Retreating blade stall recovery | X | ||||
| 8.g. | Mast bumping | X | ||||
| 8.h. | Loss of tail rotor effectiveness | X | X | |||
| 9.a. | After-Landing Procedures | A | A | X | X | |
| 9.b. | Parking and Securing | |||||
| 9.b.1. | Rotor brake operation | A | A | X | X | |
| 9.b.2. | Abnormal/emergency procedures | A | A | X | X | |
Table D1C—Table of FTD System Tasks
| QPS requirements | Information | |||||
|---|---|---|---|---|---|---|
| Entry No. | Subjective requirements
In order to be qualified at the FTD qualification level indicated, the FTD must be able to perform at least the tasks associate with that level of qualification. | FTD level | Notes | |||
| 4 | 5 | 6 | 7 | |||
| 1.a. | Power switch(es) | A | X | X | X | |
| 1.b. | Helicopter conditions | A | A | X | X | e.g., GW, CG, Fuel loading, Systems, Ground. Crew. |
| 1.c. | Airports/Heliports/Helicopter Landing Areas | A | X | X | X | e.g., Selection, Surface, Presets, Lighting controls. |
| 1.d. | Environmental controls | A | X | X | X | e.g., Temp and Wind. |
| 1.e. | Helicopter system malfunctions (Insertion/deletion) | A | A | X | X | |
| 1.f. | Locks, Freezes, and Repositioning (as appropriate) | A | X | X | X | |
| 1.g. | Sound Controls. (On/off/adjustment) | X | X | X | ||
| 1.h. | Motion/Control Loading System, as appropriate. On/off/emergency stop | A | X | X | ||
| 2.a. | Position/Adjustment/Positive restraint system | A | X | X | X | |
a. If relevant winds are present in the objective data, the wind vector (magnitude and direction) should be noted as part of the data presentation, expressed in conventional terminology, and related to the runway being used for the test.
b. The format for numbering the objective tests in Appendix C of this part, Attachment 2, Table C2A, and the objective tests in Appendix D of this part, Attachment 2, Table D2A, is identical. However, each test required for FFSs is not necessarily required for FTDs, and each test required for FTDs is not necessarily required for FFSs. When a test number (or series of numbers) is not required, the term “Reserved” is used in the table at that location. Following this numbering format provides a degree of commonality between the two tables and substantially reduces the potential for confusion when referring to objective test numbers for either FFSs or FTDs.
c. A Level 4 FTD does not require objective tests and is not addressed in the following table.
a. The ground and flight tests required for qualification are listed in Table D2A Objective Evaluation Tests. Computer generated FTD test results must be provided for each test except where an alternate test is specifically authorized by the responsible Flight Standards office. If a flight condition or operating condition is required for the test but does not apply to the helicopter being simulated or to the qualification level sought, it may be disregarded (e.g., engine out climb capability for a single-engine helicopter). Each test result is compared against the validation data described in § 60.13, and in Appendix B of this part. The results must be produced on an appropriate recording device acceptable to the responsible Flight Standards office and must include FTD number, date, time, conditions, tolerances, and appropriate dependent variables portrayed in comparison to the validation data. Time histories are required unless otherwise indicated in Table D2A. All results must be labeled using the tolerances and units given.
b. Table D2A in this attachment sets out the test results required, including the parameters, tolerances, and flight conditions for FTD validation. Tolerances are provided for the listed tests because mathematical modeling and acquisition and development of reference data are often inexact. All tolerances listed in the following tables are applied to FTD performance. When two tolerance values are given for a parameter, the less restrictive may be used unless otherwise indicated. In those cases where a tolerance is expressed only as a percentage, the tolerance percentage applies to the maximum value of that parameter within its normal operating range as measured from the neutral or zero position unless otherwise indicated.
c. Certain tests included in this attachment must be supported with an SOC. In Table D2A, requirements for SOCs are indicated in the “Test Details” column.
d. When operational or engineering judgment is used in making assessments for flight test data applications for FTD validity, such judgment must not be limited to a single parameter. For example, data that exhibit rapid variations of the measured parameters may require interpolations or a “best fit” data section. All relevant parameters related to a given maneuver or flight condition must be provided to allow overall interpretation. When it is difficult or impossible to match FTD to helicopter data throughout a time history, differences must be justified by providing a comparison of other related variables for the condition being assessed.
e. The FTD may not be programmed so that the mathematical modeling is correct only at the validation test points. Unless noted otherwise, tests must represent helicopter performance and handling qualities at operating weights and centers of gravity (CG) typical of normal operation. If a test is supported by aircraft data at one extreme weight or CG, another test supported by aircraft data at mid-conditions or as close as possible to the other extreme is necessary. Certain tests that are relevant only at one extreme CG or weight condition need not be repeated at the other extreme. The results of the tests for Level 6 are expected to be indicative of the device's performance and handling qualities throughout all of the following:
(1) The helicopter weight and CG envelope.
(2) The operational envelope.
(3) Varying atmospheric ambient and environmental conditions—including the extremes authorized for the respective helicopter or set of helicopters.
f. When comparing the parameters listed to those of the helicopter, sufficient data must also be provided to verify the correct flight condition and helicopter configuration changes. For example, to show that control force is within the parameters for a static stability test, data to show the correct airspeed, power, thrust or torque, helicopter configuration, altitude, and other appropriate datum identification parameters must also be given. If comparing short period dynamics, normal acceleration may be used to establish a match to the helicopter, but airspeed, altitude, control input, helicopter configuration, and other appropriate data must also be given. If comparing landing gear change dynamics, pitch, airspeed, and altitude may be used to establish a match to the helicopter, but landing gear position must also be provided. All airspeed values must be properly annotated (e.g., indicated versus calibrated). In addition, the same variables must be used for comparison (e.g., compare inches to inches rather than inches to centimeters).
g. The QTG provided by the sponsor must clearly describe how the FTD will be set up and operated for each test. Each FTD subsystem may be tested independently, but overall integrated testing of the FTD must be accomplished to assure that the total FTD system meets the prescribed standards. A manual test procedure with explicit and detailed steps for completing each test must also be provided.
h. For previously qualified FTDs, the tests and tolerances of this attachment may be used in subsequent continuing qualification evaluations for any given test if the sponsor has submitted a proposed MQTG revision to the responsible Flight Standard office and has received responsible Flight Standards office approval.
i. Tests of handling qualities must include validation of augmentation devices. FTDs for highly augmented helicopters will be validated both in the unaugmented configuration (or failure state with the maximum permitted degradation in handling qualities) and the augmented configuration. Where various levels of handling qualities result from failure states, validation of the effect of the failure is necessary. For those performance and static handling qualities tests where the primary concern is control position in the unaugmented configuration, unaugmented data are not required if the design of the system precludes any affect on control position. In those instances where the unaugmented helicopter response is divergent and non-repeatable, it may not be feasible to meet the specified tolerances. Alternative requirements for testing will be mutually agreed upon by the sponsor and the responsible Flight Standards office on a case-by-case basis.
j. Some tests will not be required for helicopters using helicopter hardware in the FTD flight deck (e.g., “helicopter modular controller”). These exceptions are noted in Section 2 “Handling Qualities” in Table D2A of this attachment. However, in these cases, the sponsor must provide a statement that the helicopter hardware meets the appropriate manufacturer's specifications and the sponsor must have supporting information to that fact available for responsible Flight Standards office review.
k. In cases where light-class helicopters are being simulated, prior coordination with the responsible Flight Standards office on acceptable weight ranges is required. The terms “light,” “medium,” and “near maximum,” may not be appropriate for the simulation of light-class helicopters.
l. In those cases where the objective test results authorize a “snapshot test” or a “series of snapshot test” results in lieu of a time-history result, the sponsor or other data provider must ensure that a steady state condition exists at the instant of time captured by the “snapshot.” The steady state condition must exist from 4 seconds prior to, through 1 second following, the instant of time captured by the snap shot.
m. Refer to AC 120-27, Aircraft Weight and Balance; and FAA-H-8083-1, Aircraft Weight and Balance Handbook, for more information.
Table D2A—Flight Training Device (FTD) Objective Tests
| QPS requirements | Information | |||||||
|---|---|---|---|---|---|---|---|---|
| Test | Tolerances | Flight conditions | Test details | FTD level | Notes | |||
| Entry No. | Title | 5 | 6 | 7 | ||||
| 1.a. | Engine Assessment. | |||||||
| 1.a.1. | Start Operations. | |||||||
| 1.a.1.a. | Engine start and acceleration (transient) | Light Off Time—±10% or ±1 sec. Torque—±5% Rotor Speed—±3% Fuel Flow—±10% Gas Generator Speed—±5% Power Turbine Speed—±5% Gas Turbine Temp—±30 °C | Ground with the Rotor Brake Used and Not Used | Record each engine start from the initiation of the start sequence to steady state idle and from steady state idle to operating RPM | X | X | ||
| 1.a.1.b. | Steady State Idle and Operating RPM conditions | Torque—±3% Rotor Speed—±1.5% Fuel Flow—±5% Gas Generator Speed—±2% Power Turbine Speed—±2% Turbine Gas Temp—±20 °C | Ground | Record both steady state idle and operating RPM conditions. May be a series of snapshot tests | X | X | X | |
| 1.a.2. | Power Turbine Speed Trim | ±10% of total change of power turbine speed; or ±0.5% change of rotor speed | Ground | Record engine response to trim system actuation in both directions | X | X | ||
| 1.a.3. | Engine and Rotor Speed Governing | Torque—±5% Rotor Speed—±1.5% | Climb Descent | Record results using a step input to the collective. May be conducted concurrently with climb and descent performance tests | X | X | ||
| 1.b. | Reserved. | |||||||
| 1.c. | Takeoff. | |||||||
| 1.c.1. | All Engines | Airspeed—±3 kt, Altitude—±20 ft (6.1 m) Torque—±3%, Rotor Speed—±1.5%, Vertical Velocity—±100 fpm (0.50 m/sec) or 10%, Pitch Attitude—±1.5°, Bank Attitude—±2°, Heading—±2°, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10% | Ground/Takeoff and Initial Segment of Climb | Record results of takeoff flight path (running takeoff and takeoff from a hover). The criteria apply only to those segments at airspeeds above effective translational lift. Results must be recorded from the initiation of the takeoff to at least 200 ft (61 m) AGL | X | |||
| 1.c.2. through 1.c.3 | Reserved. | |||||||
| 1.d. | Hover. | |||||||
| Performance | Torque—±3%, Pitch Attitude—±1.5°, Bank Attitude—±1.5°, Longitudinal Control Position—±5%, Lateral Control Position—±5%, Directional Control Position—±5%, Collective Control Position—±5% | In Ground Effect (IGE); and Out of Ground Effect (OGE) | Record results for light and heavy gross weights. May be a series of snapshot tests | X | ||||
| 1.e. | Vertical Climb. | |||||||
| Performance | Vertical Velocity—±100 fpm (0.50 m/sec) or ±10%, Directional Control Position—±5%, Collective Control Position—±5% | From OGE Hover | Record results for light and heavy gross weights. May be a series of snapshot tests | X | ||||
| 1.f. | Level Flight. | |||||||
| Performance and Trimmed Flight Control Positions | Torque—±3% Pitch Attitude—±1.5° Sideslip Angle—±2° Longitudinal Control Position—±5% Lateral Control position—±5% Directional Control Position—±5% Collective Control Position—±5% | Cruise (Augmentation On and Off) | Record results for two gross weight and CG combinations with varying trim speeds throughout the airspeed envelope. May be a series of snapshot tests | X | X | X | This test validates performance at speeds above maximum endurance airspeed. | |
| 1.g. | Climb. | |||||||
| Performance and Trimmed Flight Control Positions | Vertical Velocity—±100 fpm (61 m/sec) or ±10% Pitch Attitude—±1.5° Sideslip Angle—±2° Longitudinal Control Position—±5% Lateral Control Position—±5% Directional Control Position—±5% Collective Control Position—±5% | All engines operating
One engine inoperative Augmentation System(s) On and Off | Record results for two gross weight and CG combinations. The data presented must be for normal climb power conditions. May be a series of snapshot tests | X | X | X | ||
| 1.h. | Descent. | |||||||
| 1.h.1. | Descent Performance and Trimmed Flight Control Positions | Torque—±3% Pitch Attitude—±1.5° Sideslip Angle—±2° Longitudinal Control Position—±5% Lateral Control Position—±5% Directional Control Position—±5% Collective Control Position—±5% | At or near 1,000 fpm (5 m/sec) rate of descent (RoD) at normal approach speed
Augmentation System(s) On and Off | Record results for two gross weight and CG combinations. May be a series of snapshot tests | X | X | X | |
| 1.h.2. | Autorotation Performance and Trimmed Flight Control Positions | Pitch Attitude—±1.5° Sideslip Angle—±2° Longitudinal Control Position—±5% Lateral Control Position—±5% Directional Control Position—±5% Collective Control Position—±5% | Steady descents. Augmentation System(s) On and Off | Record results for two gross weight conditions. Data must be recorded for normal operating RPM. (Rotor speed tolerance applies only if collective control position is full down.) Data must be recorded for speeds from 50 kts, ±5 kts through at least maximum glide distance airspeed. May be a series of snapshot tests | X | X | X | |
| 1.i. | Autorotation. | |||||||
| Entry | Rotor Speed—±3% Pitch Attitude ±2° Roll Attitude—±3° Yaw Attitude—±5° Airspeed—±5 kts. Vertical Velocity—±200 fpm (1.00 m/sec) or 10% | Cruise; or Climb | Record results of a rapid throttle reduction to idle. If accomplished in cruise, results must be for the maximum range airspeed. If accomplished in climb, results must be for the maximum rate of climb airspeed at or near maximum continuous power | X | X | |||
| 1.j. | Landing. | |||||||
| 1.j.1. | All Engines | Airspeed—±3 kts, Altitude—±20 ft (6.1 m) Torque—±3%, Rotor Speed—±1.5%, Pitch Attitude—±1.5°, Bank Attitude—±1.5°, Heading—±2°, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10% | Approach | Record results of the approach and landing profile (running landing or approach to a hover). The criteria apply only to those segments at airspeeds above effective translational lift. Record the results from 200 ft AGL (61 m) to the landing or to where the hover is established prior to landing | X | |||
| 1.j.2. through 1.j.3 | Reserved. | |||||||
| 1.j.4. | Autorotational Landing. | Torque—±3%, Rotor Speed—±3%, Vertical Velocity—±100 fpm (0.50 m/sec) or 10%, Pitch Attitude—±2°, Bank Attitude—±2°, Heading—±5°, Longitudinal Control Position—±10%, Lateral Control Position—±10%, Directional Control Position—±10%, Collective Control Position—±10%. | Landing. | Record the results of an autorotational deceleration and landing from a stabilized autorotational descent, to touch down. | X | If flight test data containing all required parameters for a complete power-off landing is not available from the aircraft manufacturer for this test, and other qualified flight test personnel are not available to acquire this data, the sponsor must coordinate with the responsible Flight Standards office to determine if it would be appropriate to accept alternative testing means. Alternative approaches to this data acquisition that may be acceptable are: (1) a simulated autorotational flare and reduction of rate of descent (ROD) at altitude; or (2) a power-on termination following an autorotational approach and flare. | ||
| 2.a. | Control System Mechanical Characteristics. | Contact the responsible Flight Standards office for clarification of any issue regarding helicopters with reversible controls. | ||||||
| 2.a.1. | Cyclic | Breakout—±0.25 lbs (0.112 daN) or 25%. Force—±1.0 lb (0.224 daN) or 10% | Ground; Static conditions. Trim On and Off. Friction Off. Augmentation On and Off | Record results for an uninterrupted control sweep to the stops. (This test does not apply if aircraft hardware modular controllers are used.) | X | X | X | |
| 2.a.2. | Collective and Pedals | Breakout—±0.5 lb (0.224 daN) or 25%. Force—±1.0 lb (0.224 daN) or 10% | Ground; Static conditions. Trim On and Off. Friction Off. Augmentation On and Off | Record results for an uninterrupted control sweep to the stops | X | X | X | |
| 2.a.3. | Brake Pedal Force vs. Position | ±5 lbs (2.224 daN) or 10% | Ground; Static conditions | X | X | X | ||
| 2.a.4. | Trim System Rate (all applicable systems) | Rate—±10% | Ground; Static conditions. Trim On. Friction Off | The tolerance applies to the recorded value of the trim rate | X | X | X | |
| 2.a.5. | Control Dynamics (all axes) | ±10% of time for first zero crossing and ±10 (N + 1)% of period thereafter. ±10% of amplitude of first overshoot. ±20% of amplitude of 2nd and subsequent overshoots greater than 5% of initial displacement. ±1 overshoot | Hover/Cruise Trim On Friction Off | Results must be recorded for a normal control displacement in both directions in each axis, using 25% to 50% of full throw | X | X | Control Dynamics for irreversible control systems may be evaluated in a ground/static condition. Refer to paragraph 3 of this attachment for additional information. “N” is the sequential period of a full cycle of oscillation. | |
| 2.a.6. | Freeplay | ±0.10 in. (±2.5 mm) | Ground; Static conditions | Record and compare results for all controls | X | X | X | |
| 2.b. | Low Airspeed Handling Qualities. | |||||||
| 2.b.1. | Trimmed Flight Control Positions | Torque ±3% Pitch Attitude ±1.5° Bank Attitude ±2° Longitudinal Control Position ±5% Lateral Control Position ±5% Directional Control Position ±5% Collective Control Position ±5% | Translational Flight IGE—Sideward, rearward, and forward flight. Augmentation On and Off | Record results for several airspeed increments to the translational airspeed limits and for 45 kts. forward airspeed. May be a series of snapshot tests | X | |||
| 2.b.2. | Critical Azimuth | Torque ±3% Pitch Attitude ±1.5°, Bank Attitude ±2°, Longitudinal Control Position ±5%, Lateral Control Position ±5%, Directional Control Position ±5%, Collective Control Position ±5% | Stationary Hover. Augmentation On and Off | Record results for three relative wind directions (including the most critical case) in the critical quadrant. May be a series of snapshot tests | X | |||
| 2.b.3. | Control Response. | |||||||
| 2.b.3.a. | Longitudinal | Pitch Rate—±10% or ±2°/sec. Pitch Attitude Change—±10% or 1.5° | Hover. Augmentation On and Off | Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases. This test must be conducted in a hover, in ground effect, without entering translational flight | X | This is a “short time” test. | ||
| 2.b.3.b. | Lateral | Roll Rate—±10% or ±3°/sec. Roll Attitude Change—±10% or ±3° | Hover Augmentation On and Off | Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases | X | This is a “short time” test conducted in a hover, in ground effect, without entering translational flight, to provide better visual reference. | ||
| 2.b.3.c. | Directional | Yaw Rate—±10% or ±2°/sec. Heading Change—±10% or ±2° | Hover Augmentation On and Off | Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases. This test must be conducted in a hover, in ground effect, without entering translational flight | X | This is a “short time” test. | ||
| 2.b.3.d. | Vertical | Normal Acceleration ±0.1g | Hover Augmentation On and Off | Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases | X | |||
| 2.c. | Longitudinal Handling Qualities. | |||||||
| 2.c.1. | Control Response | Pitch Rate—±10% or ±2°/sec. Pitch Attitude Change—±10% or ±1.5° | Cruise Augmentation On and Off | Results must be recorded for two cruise airspeeds to include minimum power required speed. Record data for a step control input. The Off-axis response must show correct trend for unaugmented cases | X | X | X | |
| 2.c.2. | Static Stability | Longitudinal Control Position: ±10% of change from trim or ±0.25 in. (6.3 mm) or Longitudinal Control Force: ±0.5 lb. (0.223 daN) or ±10% | Cruise or Climb. Autorotation. Augmentation On and Off | Record results for a minimum of two speeds on each side of the trim speed. May be a series of snapshot tests | X | X | X | |
| 2.c.3. | Dynamic Stability. | |||||||
| 2.c.3.a. | Long Term Response | ±10% of calculated period. ±10% of time to
| Cruise Augmentation On and Off | Record results for three full cycles (6 overshoots after input completed) or that sufficient to determine time to
| X | X | X | The response for certain helicopters may be unrepeatable throughout the stated time. In these cases, the test should show at least that a divergence is identifiable. For example: Displacing the cyclic for a given time normally excites this test or until a given pitch attitude is achieved and then return the cyclic to the original position. For non-periodic responses, results should show the same convergent or divergent character as the flight test data. |
| 2.c.3.b. | Short Term Response | ±1.5° Pitch or ±2°/sec. Pitch Rate. ±0.1 g Normal Acceleration | Cruise or Climb. Augmentation On and Off | Record results for at least two airspeeds | X | X | A control doublet inserted at the natural frequency of the aircraft normally excites this test. However, while input doublets are preferred over pulse inputs for Augmentation-Off tests, for Augmentation-On cases, when the short term response exhibits 1st-order or deadbeat characteristics, longitudinal pulse inputs may produce a more coherent response. | |
| 2.c.4. | Maneuvering Stability | Longitudinal Control Position—±10% of change from trim or ±0.25 in. (6.3 mm) or Longitudinal Control Forces—±0.5 lb. (0.223 daN) or ±10% | Cruise or Climb. Augmentation On and Off | Record results for at least two airspeeds at 30°-45° bank angle. The force may be shown as a cross plot for irreversible systems. May be a series of snapshot tests | X | X | ||
| 2.d. | Lateral and Directional Handling Qualities. | |||||||
| 2.d.1. | Control Response. | |||||||
| 2.d.1.a. | Lateral | Roll Rate—±10% or ±3°/sec. Roll Attitude Change—±10% or ±3° | Cruise Augmentation On and Offd | Record results for at least two airspeeds, including the speed at or near the minimum power required airspeed. Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases | X | X | X | |
| 2.d.1.b. | Directional | Yaw Rate—±10% or ±2°/sec. Yaw Attitude Change—±10% or ±2° | Cruise Augmentation On and Off | Record data for at least two Airspeeds, including the speed at or near the minimum power required airspeed. Record results for a step control input. The Off-axis response must show correct trend for unaugmented cases | X | X | X | |
| 2.d.2. | Directional Static Stability | Lateral Control Position—±10% of change from trim or ±0.25 in. (6.3 mm) or Lateral Control Force—±0.5 lb. (0.223 daN) or 10%. Roll Attitude—±1.5 Directional Control Position—±10% of change from trim or ±0.25 in. (6.3 mm) or Directional Control Force—±1 lb. (0.448 daN) or 10%. Longitudinal Control Position—±10% of change from trim or ±0.25 in. (6.3 mm). Vertical Velocity—±100 fpm (0.50m/sec) or 10% | Cruise; or Climb (may use Descent instead of Climb if desired) Augmentation On and Off | Record results for at least two sideslip angles on either side of the trim point. The force may be shown as a cross plot for irreversible systems. May be a series of snapshot tests | X | X | X | This is a steady heading sideslip test at a fixed collective position. |
| 2.d.3. | Dynamic Lateral and Directional Stability. | |||||||
| 2.d.3.a. | Lateral-Directional Oscillations | ±0.5 sec. or ±10% of period. ±10% of time to
| Cruise or Climb Augmentation On and Off | Record results for at least two airspeeds. The test must be initiated with a cyclic or a pedal doublet input. Record results for six full cycles (12 overshoots after input completed) or that sufficient to determine time to
| X | X | X | |
| 2.d.3.b. | Spiral Stability | ±2° or ±10% roll angle | Cruise or Climb. Augmentation On and Off | Record the results of a release from pedal only or cyclic only turns for 20 sec. Results must be recorded from turns in both directions. Terminate check at zero roll angle or when the test pilot determines that the attitude is becoming uncontrollably divergent | X | X | X | |
| 2.d.3.c. | Adverse/Proverse Yaw | Correct Trend, ±2° transient sideslip angle | Cruise or Climb. Augmentation On and Off | Record the time history of initial entry into cyclic only turns, using only a moderate rate for cyclic input. Results must be recorded for turns in both directions | X | X | X | |
| 4.a. | Visual System Response Time: (Choose either test 4.a.1. or 4.a.2. to satisfy test 4.a., Visual System Response Time Test. This test is also sufficient for flight deck instrument response timing.) | |||||||
| 4.a.1. | Latency. | |||||||
| 150 ms (or less) after helicopter response | Takeoff, climb, and descent | One test is required in each axis (pitch, roll and yaw) for each of the three conditions (take-off, cruise, and approach or landing) | X | |||||
| 4.a.2. | Transport Delay. | |||||||
| 150 ms (or less) after controller movement | N/A | A separate test is required in each axis (pitch, roll, and yaw) | X | |||||
| 4.b. | Field-of-view. | |||||||
| 4.b.1. | Reserved. | |||||||
| 4.b.2. | Continuous visual field-of-view | Minimum continuous field-of-view providing 146° horizontal and 36° vertical field-of-view for each pilot simultaneously and any geometric error between the Image Generator eye point and the pilot eye point is 8° or less | N/A | An SOC is required and must explain the geometry of the installation. Horizontal field-of-view must not be less than a total of 146° (including not less than 73° measured either side of the center of the design eye point). Additional horizontal field-of-view capability may be added at the sponsor's discretion provided the minimum field-of-view is retained. Vertical field-of-view: Not less than a total of 36° measured from the pilot's and co-pilot's eye point | X | Horizontal field-of-view is centered on the zero degree azimuth line relative to the aircraft fuselage. | ||
| 4.b.3. | Reserved. | |||||||
| 4.c. | Surface contrast ratio | Not less than 5:1 | N/A | The ratio is calculated by dividing the brightness level of the center, bright square (providing at least 2 foot-lamberts or 7 cd/m 2) by the brightness level of any adjacent dark square | X | Measurements may be made using a 1° spot photometer and a raster drawn test pattern filling the entire visual scene (all channels) with a test pattern of black and white squares, 5 per square, with a white square in the center of each channel. During contrast ratio testing, simulator aft-cab and flight deck ambient light levels should be zero. | ||
| 4.d. | Highlight brightness | Not less than three (3) foot-lamberts (10 cd/m 2) | N/A | Measure the brightness of the center white square while superimposing a highlight on that white square. The use of calligraphic capabilities to enhance the raster brightness is acceptable, but measuring light points is not acceptable | X | Measurements may be made using a 1° spot photometer and a raster drawn test pattern filling the entire visual scene (all channels) with a test pattern of black and white squares, 5 per square, with a white square in the center of each channel. | ||
| 4.e. | Surface resolution | Not greater than two (2) arc minutes | N/A | An SOC is required and must include the relevant calculations | X | When the eye is positioned on a 3° glide slope at the slant range distances indicated with white runway markings on a black runway surface, the eye will subtend two (2) arc minutes: (1) A slant range of 6,876 ft with stripes 150 ft long and 16 ft wide, spaced 4 ft apart. (2) For Configuration A; a slant range of 5,157 feet with stripes 150 ft long and 12 ft wide, spaced 3 ft apart. (3) For Configuration B; a slant range of 9,884 feet, with stripes 150 ft long and 5.75 ft wide, spaced 5.75 ft apart. | ||
| 4.f. | Light point size | Not greater than five (5) arc-minutes | N/A | An SOC is required and must include the relevant calculations | X | Light point size may be measured using a test pattern consisting of a centrally located single row of light points reduced in length until modulation is just discernible in each visual channel. A row of 48 lights will form a 4° angle or less. | ||
| 4.g. | Light point contrast ratio | A 1° spot photometer may be used to measure a square of at least 1° filled with light points (where light point modulation is just discernible) and compare the results to the measured adjacent background. During contrast ratio testing, simulator aft-cab and flight deck ambient light levels should be zero. | ||||||
| 4.g.1. | Reserved. | |||||||
| 4.g.2. | Not less than 25:1 | N/A | An SOC is required and must include the relevant calculations | X | ||||
| 4.h. | Visual ground segment. | |||||||
| The visible segment in the simulator must be within 20% of the segment computed to be visible from the helicopter flight deck. The tolerance(s) may be applied at either end or at both ends of the displayed segment. However, lights and ground objects computed to be visible from the helicopter flight deck at the near end of the visible segment must be visible in the simulator | Landing configuration, trimmed for appropriate airspeed, at 100 ft (30m) above the touchdown zone, on glide slope with an RVR value set at 1,200 ft (350m) | The QTG must contain relevant calculations and a drawing showing the data used to establish the helicopter location and the segment of the ground that is visible considering design eyepoint, helicopter attitude, flight deck cut-off angle, and a visibility of 1200 ft (350 m) RVR. Simulator performance must be measured against the QTG calculations. The data submitted must include at least the following: (1) Static helicopter dimensions as follows: (i) Horizontal and vertical distance from main landing gear (MLG) to glideslope reception antenna. (ii) Horizontal and vertical distance from MLG to pilot's eyepoint. (iii) Static flight deck cutoff angle. (2) Approach data as follows: (i) Identification of runway. (ii) Horizontal distance from runway threshold to glideslope intercept with runway. (iii) Glideslope angle. (iv) Helicopter pitch angle on approach. (3) Helicopter data for manual testing: (i) Gross weight. (ii) Helicopter configuration. (iii) Approach airspeed. If non-homogenous fog is used to obscure visibility, the vertical variation in horizontal visibility must be described and be included in the slant range visibility calculation used in the computations | X | Pre-position for this test is encouraged, but may be achieved via manual or autopilot control to the desired position. | ||||
a. The characteristics of a helicopter flight control system have a major effect on the handling qualities. A significant consideration in pilot acceptability of a helicopter is the “feel” provided through the flight deck controls. Considerable effort is expended on helicopter feel system design in order to deliver a system with which pilots will be comfortable and consider the helicopter desirable to fly. In order for an FTD to be representative, it too must present the pilot with the proper feel; that of the respective helicopter. Compliance with this requirement is determined by comparing a recording of the control feel dynamics of the FFS to actual helicopter measurements in the hover and cruise configurations.
(1) Recordings such as free response to an impulse or step function are classically used to estimate the dynamic properties of electromechanical systems. It is only possible to estimate the dynamic properties as a result of only being able to estimate true inputs and responses. Therefore, it is imperative that the best possible data be collected since close matching of the FTD control loading system to the helicopter systems is essential. Control feel dynamic tests are described in the Table of Objective Tests in this appendix. Where accomplished, the free response is measured after a step or pulse input is used to excite the system.
(2) For initial and upgrade evaluations, it is required that control dynamic characteristics be measured at and recorded directly from the flight deck controls. This procedure is usually accomplished by measuring the free response of the controls using a step or pulse input to excite the system. The procedure must be accomplished in hover, climb, cruise, and autorotation. For helicopters with irreversible control systems, measurements may be obtained on the ground. The procedure should be accomplished in the hover and cruise flight conditions and configurations. Proper pitot-static inputs (if appropriate) must be provided to represent airspeeds typical of those encountered in flight.
(3) It may be shown that for some helicopters, climb, cruise, and autorotation have like effects. Thus, some tests for one may suffice for some tests for another. If either or both considerations apply, engineering validation or helicopter manufacturer rationale must be submitted as justification for ground tests or for eliminating a configuration. For FTDs requiring static and dynamic tests at the controls, special test fixtures will not be required during initial and upgrade evaluations if the sponsor's QTG shows both test fixture results and the results of an alternative approach, such as computer plots which were produced concurrently and show satisfactory agreement. Repeat of the alternative method during the initial evaluation satisfies this test requirement.
b. Control Dynamics Evaluations. The dynamic properties of control systems are often stated in terms of frequency, damping, and a number of other classical measurements which can be found in texts on control systems. In order to establish a consistent means of validating test results for FTD control loading, criteria are needed that will clearly define the interpretation of the measurements and the tolerances to be applied. Criteria are needed for both the underdamped system and the overdamped system, including the critically damped case. In the case of an underdamped system with very light damping, the system may be quantified in terms of frequency and damping. In critically damped or overdamped systems, the frequency and damping is not readily measured from a response time history. Therefore, some other measurement must be used.
(1) Tests to verify that control feel dynamics represent the helicopter must show that the dynamic damping cycles (free response of the control) match that of the helicopter within specified tolerances. The method of evaluating the response and the tolerance to be applied are described below for the underdamped and critically damped cases.
(a) Underdamped Response. Two measurements are required for the period, the time to first zero crossing (in case a rate limit is present) and the subsequent frequency of oscillation. It is necessary to measure cycles on an individual basis in case there are nonuniform periods in the response. Each period will be independently compared to the respective period of the helicopter control system and, consequently, will enjoy the full tolerance specified for that period.
(b) The damping tolerance will be applied to overshoots on an individual basis. Care must be taken when applying the tolerance to small overshoots since the significance of such overshoots becomes questionable. Only those overshoots larger than 5 percent of the total initial displacement will be considered significant. The residual band, labeled T(A
(c) Critically Damped and Overdamped Response. Due to the nature of critically damped responses (no overshoots), the time to reach 90 percent of the steady state (neutral point) value must be the same as the helicopter within ±10 percent. The simulator response must be critically damped also. Figure 2 of this attachment illustrates the procedure.
(d) Special considerations. Control systems that exhibit characteristics other than classical overdamped or underdamped responses should meet specified tolerances. In addition, special consideration should be given to ensure that significant trends are maintained.
(2) Tolerances.
(a) The following summarizes the tolerances, “T” for underdamped systems, and “n” is the sequential period of a full cycle of oscillation. See Figure D2A of this attachment for an illustration of the referenced measurements.
(b) The following tolerance applies to critically damped and overdamped systems only. See Figure D2B for an illustration of the reference measurements:
c. Alternative method for control dynamics evaluation.
(1) An alternative means for validating control dynamics for aircraft with hydraulically powered flight controls and artificial feel systems is by the measurement of control force and rate of movement. For each axis of pitch, roll, and yaw, the control must be forced to its maximum extreme position for the following distinct rates. These tests are conducted under normal flight and ground conditions.
(a) Static test—Slowly move the control so that a full sweep is achieved within 95-105 seconds. A full sweep is defined as movement of the controller from neutral to the stop, usually aft or right stop, then to the opposite stop, then to the neutral position.
(b) Slow dynamic test—Achieve a full sweep within 8-12 seconds.
(c) Fast dynamic test—Achieve a full sweep within 3-5 seconds.
Dynamic sweeps may be limited to forces not exceeding 100 lbs. (44.5 daN).
(d) Tolerances.
(i) Static test; see Table D2A, Flight Training Device (FTD) Objective Tests, Entries 2.a.1., 2.a.2., and 2.a.3.
(ii) Dynamic test—±2 lbs (0.9 daN) or ±10% on dynamic increment above static test.
d. The FAA is open to alternative means that are justified and appropriate to the application. For example, the method described here may not apply to all manufacturers' systems and certainly not to aircraft with reversible control systems. Each case is considered on its own merit on an ad hoc basis. If the FAA finds that alternative methods do not result in satisfactory performance, more conventionally accepted methods will have to be used.
• Additional Information About Flight Simulator Qualification for New or Derivative Helicopters, paragraph 8.
• Engineering Simulator Validation Data, paragraph 9.
• Validation Test Tolerances, paragraph 11.
• Validation Data Road Map, paragraph 12.
• Acceptance Guidelines for Alternative Avionics, paragraph 13.
• Transport Delay Testing, paragraph 15.
• Continuing Qualification Evaluation Validation Data Presentation, paragraph 16.
a. Except for special use airport models, all airport models required by this part must be representations of real-world, operational airports or representations of fictional airports and must meet the requirements set out in Tables D3B or D3C of this attachment, as appropriate.
b. If fictional airports are used, the sponsor must ensure that navigational aids and all appropriate maps, charts, and other navigational reference material for the fictional airports (and surrounding areas as necessary) are compatible, complete, and accurate with respect to the visual presentation and the airport model of this fictional airport. An SOC must be submitted that addresses navigation aid installation and performance and other criteria (including obstruction clearance protection) for all instrument approaches to the fictional airports that are available in the simulator. The SOC must reference and account for information in the terminal instrument procedures manual and the construction and availability of the required maps, charts, and other navigational material. This material must be clearly marked “for training purposes only.”
c. When the simulator is being used by an instructor or evaluator for purposes of training, checking, or testing under this chapter, only airport models classified as Class I, Class II, or Class III may be used by the instructor or evaluator. Detailed descriptions/definitions of these classifications are found in Appendix F of this part.
d. When a person sponsors an FTD maintained by a person other than a U.S. certificate holder, the sponsor is accountable for that FTD originally meeting, and continuing to meet, the criteria under which it was originally qualified and the appropriate Part 60 criteria, including the visual scenes and airport models that may be used by instructors or evaluators for purposes of training, checking, or testing under this chapter.
e. Neither Class II nor Class III airport visual models are required to appear on the SOQ, and the method used for keeping instructors and evaluators apprised of the airport models that meet Class II or Class III requirements on any given simulator is at the option of the sponsor, but the method used must be available for review by the TPAA.
f. When an airport model represents a real world airport and a permanent change is made to that real world airport (e.g., a new runway, an extended taxiway, a new lighting system, a runway closure) without a written extension grant from the responsible Flight Standards office (described in paragraph 1.g., of this section), an update to that airport model must be made in accordance with the following time limits:
(1) For a new airport runway, a runway extension, a new airport taxiway, a taxiway extension, or a runway/taxiway closure—within 90 days of the opening for use of the new airport runway, runway extension, new airport taxiway, or taxiway extension; or within 90 days of the closure of the runway or taxiway.
(2) For a new or modified approach light system—within 45 days of the activation of the new or modified approach light system.
(3) For other facility or structural changes on the airport (e.g., new terminal, relocation of Air Traffic Control Tower)—within 180 days of the opening of the new or changed facility or structure.
g. If a sponsor desires an extension to the time limit for an update to a visual scene or airport model or has an objection to what must be updated in the specific airport model requirement, the sponsor must provide a written extension request to the responsible Flight Standards office stating the reason for the update delay and a proposed completion date or provide an explanation for the objection, explaining why the identified airport change will not have an impact on flight training, testing, or checking. A copy of this request or objection must also be sent to the POI/TCPM.
h. Examples of situations that may warrant Class_III model designation by the TPAA include the following:
(a) Training, testing, or checking on very low visibility operations, including SMGCS operations.
(b) Instrument operations training (including instrument takeoff, departure, arrival, approach, and missed approach training, testing, or checking) using—
(i) A specific model that has been geographically “moved” to a different location and aligned with an instrument procedure for another airport.
(ii) A model that does not match changes made at the real-world airport (or landing area for helicopters) being modeled.
(iii) A model generated with an “off-board” or an “on-board” model development tool (by providing proper latitude/longitude reference; correct runway or landing area orientation, length, width, marking, and lighting information; and appropriate adjacent taxiway location) to generate a facsimile of a real world airport or landing area.
These airport models may be accepted by the TPAA without individual observation provided the sponsor provides the TPAA with an acceptable description of the process for determining the acceptability of a specific airport model, outlines the conditions under which such an airport model may be used, and adequately describes what restrictions will be applied to each resulting airport or landing area model.
a. The subjective tests and the examination of functions provide a basis for evaluating the capability of the FTD to perform over a typical utilization period; determining that the FTD satisfactorily meets the appropriate training/testing/checking objectives and competently simulates each required maneuver, procedure, or task; and verifying correct operation of the FTD controls, instruments, and systems. The items in the list of operations tasks are for FTD evaluation purposes only. They must not be used to limit or exceed the authorizations for use of a given level of FTD as found in the Practical Test Standards or as approved by the TPAA. All items in the following paragraphs are subject to an examination of function.
b. The List of Operations Tasks in Table D3A addressing pilot functions and maneuvers is divided by flight phases. All simulated helicopter systems functions will be assessed for normal and, where appropriate, alternate operations. Normal, abnormal, and emergency operations associated with a flight phase will be assessed during the evaluation of maneuvers or events within that flight phase.
c. Systems to be evaluated are listed separately under “Any Flight Phase” to ensure appropriate attention to systems checks. Operational navigation systems (including inertial navigation systems, global positioning systems, or other long-range systems) and the associated electronic display systems will be evaluated if installed. The pilot will include in his report to the TPAA, the effect of the system operation and any system limitation.
d. At the request of the TPAA, the Pilot may assess the FTD for a special aspect of a sponsor's training program during the functions and subjective portion of an evaluation. Such an assessment may include a portion of a specific operation (e.g., a Line Oriented Flight Training (LOFT) scenario) or special emphasis items in the sponsor's training program. Unless directly related to a requirement for the qualification level, the results of such an evaluation would not necessarily affect the qualification of the FTD.
e. The FAA intends to allow the use of Class III airport models on a limited basis when the sponsor provides the TPAA (or other regulatory authority) an appropriate analysis of the skills, knowledge, and abilities (SKAs) necessary for competent performance of the tasks in which this particular media element is used. The analysis should describe the ability of the FTD/visual media to provide an adequate environment in which the required SKAs are satisfactorily performed and learned. The analysis should also include the specific media element, such as the visual scene or airport model. Additional sources of information on the conduct of task and capability analysis may be found on the FAA's Advanced Qualification Program (AQP) Web site at: http://www.faa.gov/education_research/training/aqp.
Table D3A—Table of Functions and Subjective Tests Level 7 FTD
| QPS requirements | |
|---|---|
| Entry No. | Operations tasks |
| Tasks in this table are subject to evaluation if appropriate for the helicopter simulated as indicated in the SOQ Configuration List or a Level 7 FTD. Items not installed, not functional on the FTD, and not appearing on the SOQ Configuration List, are not required to be listed as exceptions on the SOQ. | |
| 1.a. | Preflight Inspection (Flight Deck Only) switches, indicators, systems, and equipment. |
| 1.b. | APU/Engine start and run-up. |
| 1.b.1. | Normal start procedures. |
| 1.b.2. | Alternate start procedures. |
| 1.b.3. | Abnormal starts and shutdowns (hot start, hung start). |
| 1.b.4. | Rotor engagement. |
| 1.b.5. | System checks. |
| 1.c. | Taxiing—Ground. |
| 1.c.1. | Power required to taxi. |
| 1.c.2. | Brake effectiveness. |
| 1.c.3. | Ground handling. |
| 1.c.4. | Abnormal/emergency procedures, for example: |
| 1.c.4.a. | Brake system failure. |
| 1.c.4.b. | Ground resonance. |
| 1.c.4.c. | Other (listed on the SOQ). |
| 1.d. | Taxiing—Hover. |
| 1.d.1. | Takeoff to a hover. |
| 1.d.2. | Instrument response. |
| 1.d.2.a. | Engine instruments. |
| 1.d.2.a. | Flight instruments. |
| 1.d.3. | Hovering turns. |
| 1.d.4. | Hover power checks. |
| 1.d.4.a. | In ground effect (IGE). |
| 1.d.4.b. | Out of ground effect (OGE). |
| 1.d.5. | Crosswind/tailwind hover. |
| 1.d.6. | Abnormal/emergency procedures: |
| 1.d.6.a. | Engine failure. |
| 1.d.6.b. | Fuel governing system failure. |
| 1.d.6.c. | Settling with power (OGE). |
| 1.d.6.d. | Stability augmentation system failure. |
| 1.d.6.e. | Directional control malfunction (including Loss of Tail Rotor Effectiveness, LTE). |
| 1.d.6.f. | Other (listed on the SOQ). |
| 1.e. | Pre-takeoff Checks. |
| 2.a. | Normal and Crosswind Takeoff. |
| 2.a.1. | From ground. |
| 2.a.2. | From hover. |
| 2.a.3. | Running. |
| 2.a.4. | Crosswind/tailwind. |
| 2.a.5. | Maximum performance. |
| 2.b. | Instrument. |
| 2.c. | Powerplant Failure During Takeoff. |
| 2.c.1. | Takeoff with engine failure after critical decision point (CDP). |
| 2.d. | Rejected Takeoff. |
| 2.e. | Instrument Departure. |
| 2.f. | Other (listed on the SOQ). |
| 3.a. | Normal. |
| 3.b. | Obstacle clearance. |
| 3.c. | Vertical. |
| 3.d. | One engine inoperative. |
| 3.e. | Other (listed on the SOQ). |
| 4.a. | Performance. |
| 4.b. | Flying qualities. |
| 4.c. | Turns. |
| 4.c.1. | Timed. |
| 4.c.2. | Normal. |
| 4.c.3. | Steep. |
| 4.d. | Accelerations and decelerations. |
| 4.e. | High-speed vibrations. |
| 4.f. | Abnormal/emergency procedures, for example: |
| 4.f.1. | Engine fire. |
| 4.f.2. | Engine failure. |
| 4.f.2.a. | Powerplant Failure—Multiengine Helicopters. |
| 4.f.2.b. | Powerplant Failure—Single-Engine Helicopters. |
| 4.f.3. | Inflight engine shutdown (and restart, if applicable). |
| 4.f.4. | Fuel governing system failures (e.g., FADEC malfunction). |
| 4.f.5. | Directional control malfunction. |
| 4.f.6. | Hydraulic failure. |
| 4.f.7. | Stability augmentation system failure. |
| 4.f.8. | Rotor vibrations. |
| 4.f.9. | Recovery From Unusual Attitudes. |
| 4.f.10. | Settling with Power. |
| 4.g. | Other (listed on the SOQ). |
| 5.a. | Instrument Arrival. |
| 5.b. | Holding. |
| 5.c. | Precision Instrument Approach. |
| 5.c.1. | Normal—All engines operating. |
| 5.c.2. | Manually controlled—One or more engines inoperative. |
| 5.c.3. | Approach procedures: |
| 5.c.3.a. | PAR. |
| 5.c.3.b. | GPS. |
| 5.c.3.c. | ILS. |
| 5.c.3.c.1. | Manual (raw data). |
| 5.c.3.c.2. | Autopilot * only. |
| 5.c.3.c.3. | Flight director only. |
| 5.c.3.c.4. | Autopilot * and flight director (if appropriate) coupled. |
| 5.c.3.d. | Other (listed on the SOQ). |
| 5.d. | Non-precision Instrument Approach. |
| 5.d.1. | Normal—All engines operating. |
| 5.d.2. | One or more engines inoperative. |
| 5.d.3. | Approach procedures: |
| 5.d.3.a. | NDB. |
| 5.d.3.b. | VOR, RNAV, TACAN, GPS. |
| 5.d.3.c. | ASR. |
| 5.d.3.d. | Circling. |
| 5.d.3.e. | Helicopter only. |
| 5.d.3.f. | Other (listed on the SOQ). |
| 5.e. | Missed Approach. |
| 5.e.1. | All engines operating. |
| 5.e.2. | One or more engines inoperative. |
| 5.e.3. | Stability augmentation system failure. |
| 5.e.4. | Other (listed on the SOQ). |
| 6.a. | Visual Approaches. |
| 6.a.1. | Normal. |
| 6.a.2. | Steep. |
| 6.a.3. | Shallow. |
| 6.a.4. | Crosswind. |
| 6.b. | Landings. |
| 6.b.1. | Normal. |
| 6.b.1.a. | Running. |
| 6.b.1.b. | From Hover. |
| 6.b.2. | Crosswind. |
| 6.b.3. | Tailwind. |
| 6.b.4. | One or more engines inoperative. |
| 6.b.5. | Rejected Landing. |
| 6.b.6. | Other (listed on the SOQ). |
| 7.a. | Helicopter and powerplant systems operation (as applicable). |
| 7.a.1. | Anti-icing/deicing systems. |
| 7.a.2. | Auxiliary powerplant. |
| 7.a.3. | Communications. |
| 7.a.4. | Electrical system. |
| 7.a.5. | Environmental system. |
| 7.a.6. | Fire detection and suppression. |
| 7.a.7. | Flight control system. |
| 7.a.8. | Fuel system. |
| 7.a.9. | Engine oil system. |
| 7.a.10. | Hydraulic system. |
| 7.a.11. | Landing gear. |
| 7.a.12. | Oxygen. |
| 7.a.13. | Pneumatic. |
| 7.a.14. | Powerplant. |
| 7.a.15. | Flight control computers. |
| 7.a.16. | Fly-by-wire controls. |
| 7.a.17. | Stabilizer. |
| 7.a.18. | Stability augmentation and control augmentation system(s). |
| 7.a.19. | Other (listed on the SOQ). |
| 7.b. | Flight management and guidance system (as applicable). |
| 7.b.1. | Airborne radar. |
| 7.b.2. | Automatic landing aids. |
| 7.b.3. | Autopilot.* |
| 7.b.4. | Collision avoidance system. |
| 7.b.5. | Flight data displays. |
| 7.b.6. | Flight management computers. |
| 7.b.7. | Head-up displays. |
| 7.b.8. | Navigation systems. |
| 7.b.9. | Other (listed on the SOQ). |
| 8.a. | Autorotative Landing. |
| 8.b. | Air hazard avoidance. |
| 8.c. | Ditching. |
| 8.d. | Emergency evacuation. |
| 8.e. | Inflight fire and smoke removal. |
| 8.f. | Retreating blade stall recovery. |
| 8.g. | Mast bumping. |
| 8.h. | Loss of tail rotor effectiveness. |
| 8.i. | Other (listed on the SOQ). |
| 9.a. | After-Landing Procedures. |
| 9.b. | Parking and Securing. |
| 9.b.1. | Engine and systems operation. |
| 9.b.2. | Parking brake operation. |
| 9.b.3. | Rotor brake operation. |
| 9.b.4. | Abnormal/emergency procedures. |
| 10.a. | Power Switch(es). |
| 10.b. | Helicopter conditions. |
| 10.b.1. | Gross weight, center of gravity, fuel loading and allocation, etc. |
| 10.b.2. | Helicopter systems status. |
| 10.b.3. | Ground crew functions (e.g., ext. power). |
| 10.c. | Airports. |
| 10.c.1. | Selection. |
| 10.c.2. | Runway selection. |
| 10.c.3. | Preset positions (e.g., ramp, over final approach fix). |
| 10.d. | Environmental controls. |
| 10.d.1. | Temperature. |
| 10.d.2. | Climate conditions (e.g., ice, rain). |
| 10.d.3. | Wind speed and direction. |
| 10.e. | Helicopter system malfunctions. |
| 10.e.1. | Insertion/deletion. |
| 10.e.2. | Problem clear. |
| 10.f. | Locks, Freezes, and Repositioning. |
| 10.f.1. | Problem (all) freeze/release. |
| 10.f.2. | Position (geographic) freeze/release. |
| 10.f.3. | Repositioning (locations, freezes, and releases). |
| 10.f.4. | Ground speed control. |
| 10.g. | Sound Controls. |
| 10.g.1. | On/off/adjustment. |
| 10.h. | Control Loading System (as applicable). |
| 10.h.1. | On/off/emergency stop. |
| 10.i. | Observer Stations. |
| 10.i.1. | Position. |
| 10.i.2. | Adjustments. |
* “Autopilot” means attitude retention mode of operation.
Table D3B—Table of Functions and Subjective Tests Airport or Landing Area Content Requirements for Qualification at Level 7 FTD
| QPS requirements | |
|---|---|
| Entry No. | Operations tasks |
| This table specifies the minimum airport visual model content and functionality to qualify an FTD at the indicated level. This table applies only to the airport/helicopter landing area scenes required for FTD qualification. | |
| 1.a. | A minimum of one (1) representative airport and one (1) representative helicopter landing area model. The airport and the helicopter landing area may be contained within the same visual model. If this option is selected, the approach path to the airport runway(s) and the approach path to the helicopter landing area must be different. The model(s) used to meet the following requirements may be demonstrated at either a fictional or a real-world airport or helicopter landing area, but each must be acceptable to the sponsor's TPAA, selectable from the IOS, and listed on the SOQ. |
| 1.b. | Fidelity of the Visual Scene. The fidelity of the visual scene must be sufficient for the aircrew to visually identify the airport and/or helicopter landing area; determine the position of the simulated helicopter within the visual scene; successfully accomplish take-offs, approaches, and landings; and maneuver around the airport and/or helicopter landing area on the ground, or hover taxi, as necessary. |
| 1.b.1. | For each of the airport/helicopter landing areas described in 1.a., the FTD visual system must be able to provide at least the following: |
| 1.b.1.a. | A night and twilight (dusk) environment. |
| 1.b.1.b. | A daylight environment. |
| 1.c. | Runways: |
| 1.c.1. | Visible runway number. |
| 1.c.2. | Runway threshold elevations and locations must be modeled to provide sufficient correlation with helicopter systems (e.g., altimeter). |
| 1.c.3. | Runway surface and markings. |
| 1.c.4. | Lighting for the runway in use including runway edge and centerline. |
| 1.c.5. | Lighting, visual approach aid (VASI or PAPI) and approach lighting of appropriate colors. |
| 1.c.6 | Taxiway lights. |
| 1.d. | Helicopter landing area. |
| 1.d.1. | Standard heliport designation (“H”) marking, properly sized and oriented. |
| 1.d.2. | Perimeter markings for the Touchdown and Lift-Off Area (TLOF) or the Final Approach and Takeoff Area (FATO), as appropriate. |
| 1.d.3. | Perimeter lighting for the TLOF or the FATO areas, as appropriate. |
| 1.d.4. | Appropriate markings and lighting to allow movement from the runway or helicopter landing area to another part of the landing facility. |
The following is the minimum visual scene management requirements for a Level 7 FTD. | |
| 2.a. | Runway and helicopter landing area approach lighting must fade into view appropriately in accordance with the environmental conditions set in the FTD. |
| 2.b. | The direction of strobe lights, approach lights, runway edge lights, visual landing aids, runway centerline lights, threshold lights, touchdown zone lights, and TLOF or FATO lights must be replicated. |
The following are the minimum distances at which runway features must be visible. Distances are measured from runway threshold or a helicopter landing area to a helicopter aligned with the runway or helicopter landing area on an extended 3° glide-slope in simulated meteorological conditions. For circling approaches, all tests apply to the runway used for the initial approach and to the runway of intended landing. | |
| 3.a. | For runways: Runway definition, strobe lights, approach lights, and edge lights from 5 sm (8 km) of the threshold. |
| 3.b. | For runways: Centerline lights and taxiway definition from 3 sm (5 km). |
| 3.c. | For runways: Visual Approach Aid lights (VASI or PAPI) from 5 sm (8 km) of the threshold. |
| 3.d. | For runways: Runway threshold lights and touchdown zone from 2 sm (3 km). |
| 3.e. | For runways and helicopter landing areas: Markings within range of landing lights for night/twilight scenes and the surface resolution test on daylight scenes, as required. |
| 3.f. | For circling approaches: The runway of intended landing and associated lighting must fade into view in a non-distracting manner. |
| 3.g. | For helicopter landing areas: Landing direction lights and raised FATO lights from 1 sm (1.5 km). |
| 3.h. | For helicopter landing areas: Flush mounted FATO lights, TLOF lights, and the lighted windsock from 0.5 sm (750 m). |
The following prescribes the minimum requirements for an airport/helicopter landing area visual model and identifies other aspects of the environment that must correspond with that model for a Level 7 FTD. For circling approaches, all tests apply to the runway used for the initial approach and to the runway of intended landing. If all runways or landing areas in a visual model used to meet the requirements of this attachment are not designated as “in use,” then the “in use” runways/landing areas must be listed on the SOQ (e.g., KORD, Rwys 9R, 14L, 22R). Models of airports or helicopter landing areas with more than one runway or landing area must have all significant runways or landing areas not “in-use” visually depicted for airport/runway/landing area recognition purposes. The use of white or off white light strings that identify the runway or landing area for twilight and night scenes are acceptable for this requirement; and rectangular surface depictions are acceptable for daylight scenes. A visual system's capabilities must be balanced between providing visual models with an accurate representation of the airport and a realistic representation of the surrounding environment. Each runway or helicopter landing area designated as an “in-use” runway or area must include the following detail that is developed using airport pictures, construction drawings and maps, or other similar data, or developed in accordance with published regulatory material; however, this does not require that such models contain details that are beyond the design capability of the currently qualified visual system. Only one “primary” taxi route from parking to the runway end or helicopter takeoff/landing area will be required for each “in-use” runway or helicopter takeoff/landing area. | |
| 4.a. | The surface and markings for each “in-use” runway or helicopter landing area must include the following: |
| 4.a.1. | For airports: Runway threshold markings, runway numbers, touchdown zone markings, fixed distance markings, runway edge markings, and runway centerline stripes. |
| 4.a.2. | For helicopter landing areas: Markings for standard heliport identification (“H”) and TLOF, FATO, and safety areas. |
| 4.b. | The lighting for each “in-use” runway or helicopter landing area must include the following: |
| 4.b.1. | For airports: Runway approach, threshold, edge, end, centerline (if applicable), touchdown zone (if applicable), leadoff, and visual landing aid lights or light systems for that runway. |
| 4.b.2. | For helicopter landing areas: Landing direction, raised and flush FATO, TLOF, windsock lighting. |
| 4.c. | The taxiway surface and markings associated with each “in-use” runway or helicopter landing area must include the following: |
| 4.c.1. | For airports: Taxiway edge, centerline (if appropriate), runway hold lines, and ILS critical area(s). |
| 4.c.2. | For helicopter landing areas: Taxiways, taxi routes, and aprons. |
| 4.d. | The taxiway lighting associated with each “in-use” runway or helicopter landing area must include the following: |
| 4.d.1. | For airports: Taxiway edge, centerline (if appropriate), runway hold lines, ILS critical areas. |
| 4.d.2. | For helicopter landing areas: Taxiways, taxi routes, and aprons. |
| 4.d.3. | For airports: Taxiway lighting of correct color. |
| 4.e. | Airport signage associated with each “in-use” runway or helicopter landing area must include the following: |
| 4.e.1. | For airports: Signs for runway distance remaining, intersecting runway with taxiway, and intersecting taxiway with taxiway. |
| 4.e.2. | For helicopter landing areas: As appropriate for the model used. |
| 4.f. | Required visual model correlation with other aspects of the airport or helicopter landing environment simulation: |
| 4.f.1. | The airport or helicopter landing area model must be properly aligned with the navigational aids that are associated with operations at the “in-use” runway or helicopter landing area. |
| 4.f.2. | The simulation of runway or helicopter landing area contaminants must be correlated with the displayed runway surface and lighting, if applicable. |
The following are the minimum correlation comparisons that must be made for a Level 7 FTD. | |
| 5.a. | Visual system compatibility with aerodynamic programming. |
| 5.b. | Visual cues to assess sink rate and depth perception during landings. |
| 5.c. | Accurate portrayal of environment relating to FTD attitudes. |
| 5.d. | The visual scene must correlate with integrated helicopter systems, where installed (e.g., terrain, traffic and weather avoidance systems and Head-up Guidance System (HGS)). |
| 5.e. | Representative visual effects for each visible, own-ship, helicopter external light(s)—taxi and landing light lobes (including independent operation, if appropriate). |
| 5.f. | The effect of rain removal devices. |
| 6. | The following are the minimum scene quality tests that must be conducted for a Level 7 FTD. |
| 6.a. | System light points must be free from distracting jitter, smearing and streaking. |
| 6.b. | Demonstration of occulting through each channel of the system in an operational scene. |
| 6.c. | Six discrete light step controls (0-5). |
Visibility/RVR checked at 2,000 ft (600 m) above the airport or helicopter landing area and at two heights below 2,000 ft with at least 500 ft of separation between the measurements. The measurements must be taken within a radius of 10 sm (16 km) from the airport or helicopter landing area. | |
| 7.a. | Effects of fog on airport lighting such as halos and defocus. |
| 7.b. | Effect of own-ship lighting in reduced visibility, such as reflected glare, including landing lights, strobes, and beacons. |
The following are the minimum instructor controls that must be available in a Level 7 FTD. | |
| 8.a. | Environmental effects: E.g., cloud base, cloud effects, cloud density, visibility in statute miles/kilometers and RVR in feet/meters. |
| 8.b. | Airport or helicopter landing area selection. |
| 8.c. | Airport or helicopter landing area lighting, including variable intensity. |
| 8.d. | Dynamic effects including ground and flight traffic. |
| 9. | An example of being able to combine two airport models to achieve two “in-use” runways: One runway designated as the “in-use” runway in the first model of the airport, and the second runway designated as the “in-use” runway in the second model of the same airport. For example, the clearance is for the ILS approach to Runway 27, Circle to Land on Runway 18 right. Two airport visual models might be used: The first with Runway 27 designated as the “in use” runway for the approach to runway 27, and the second with Runway 18 Right designated as the “in use” runway. When the pilot breaks off the ILS approach to runway 27, the instructor may change to the second airport visual model in which runway 18 Right is designated as the “in use” runway, and the pilot would make a visual approach and landing. This process is acceptable to the FAA as long as the temporary interruption due to the visual model change is not distracting to the pilot. |
| 10. | Sponsors are not required to provide every detail of a runway, but the detail that is provided should be correct within reasonable limits. |
Table D3C—Table of Functions and Subjective Tests Level 7 FTD Visual Requirements Additional Visual Models Beyond Minimum Required for Qualification Class II Airport or Helicopter Landing Area Models
| QPS requirements | |
|---|---|
| Entry No. | Operations tasks |
| This table specifies the minimum airport or helicopter landing area visual model content and functionality necessary to add visual models to an FTD's visual model library (i.e., beyond those necessary for qualification at the stated level) without the necessity of further involvement of the responsible Flight Standards office or TPAA. | |
| Visual scene management.
| |
| 1.a. | The installation and direction of the following lights must be replicated for the “in-use” surface: |
| 1.a.1. | For “in-use” runways: Strobe lights, approach lights, runway edge lights, visual landing aids, runway centerline lights, threshold lights, and touchdown zone lights. |
| 1.a.2. | For “in-use” helicopter landing areas: Ground level TLOF perimeter lights, elevated TLOF perimeter lights (if applicable), Optional TLOF lights (if applicable), ground FATO perimeter lights, elevated TLOF lights (if applicable), landing direction lights. |
The following are the minimum distances at which runway or landing area features must be visible. Distances are measured from runway threshold or a helicopter landing area to an aircraft aligned with the runway or helicopter landing area on a 3° glide-slope from the aircraft to the touchdown point, in simulated meteorological conditions. For circling approaches, all tests apply to the runway used for the initial approach and to the runway of intended landing. | |
| 2.a. | For Runways. |
| 2.a.1. | Strobe lights, approach lights, and edge lights from 5 sm (8 km) of the threshold. |
| 2.a.2. | Centerline lights and taxiway definition from 3 sm (5 km). |
| 2.a.3. | Visual Approach Aid lights (VASI or PAPI) from 5 sm (8 km) of the threshold. |
| 2.a.4. | Threshold lights and touchdown zone lights from 2 sm (3 km). |
| 2.a.5. | Markings within range of landing lights for night/twilight (dusk) scenes and as required by the surface resolution test on daylight scenes. |
| 2.a.6. | For circling approaches, the runway of intended landing and associated lighting must fade into view in a non-distracting manner. |
| 2.b. | For Helicopter landing areas. |
| 2.b.1. | Landing direction lights and raised FATO lights from 2 sm (3 km). |
| 2.b.2. | Flush mounted FATO lights, TOFL lights, and the lighted windsock from 1 sm (1500 m). |
| 2.b.3. | Hover taxiway lighting (yellow/blue/yellow cylinders) from TOFL area. |
| 2.b.4. | Markings within range of landing lights for night/twilight (dusk) scenes and as required by the surface resolution test on daylight scenes. |
| Airport or Helicopter Landing Area Model Content.
The following prescribes the minimum requirements for what must be provided in an airport visual model and identifies other aspects of the airport environment that must correspond with that model. The detail must be developed using airport pictures, construction drawings and maps, or other similar data, or developed in accordance with published regulatory material; however, this does not require that airport or helicopter landing area models contain details that are beyond the designed capability of the currently qualified visual system. For circling approaches, all requirements of this section apply to the runway used for the initial approach and to the runway of intended landing. Only one “primary” taxi route from parking to the runway end or helicopter takeoff/landing area will be required for each “in-use” runway or helicopter takeoff/landing area. | |
| 3.a. | The surface and markings for each “in-use” runway or helicopter landing area must include the following: |
| 3.a.1. | For airports: Runway threshold markings, runway numbers, touchdown zone markings, fixed distance markings, runway edge markings, and runway centerline stripes. |
| 3.a.2. | For helicopter landing areas: Standard heliport marking (“H”), TOFL, FATO, and safety areas. |
| 3.b. | The lighting for each “in-use” runway or helicopter landing area must include the following: |
| 3.b.1. | For airports: Runway approach, threshold, edge, end, centerline (if applicable), touchdown zone (if applicable), leadoff, and visual landing aid lights or light systems for that runway. |
| 3.b.2. | For helicopter landing areas: Landing direction, raised and flush FATO, TOFL, windsock lighting. |
| 3.c. | The taxiway surface and markings associated with each “in-use” runway or helicopter landing area must include the following: |
| 3.c.1. | For airports: Taxiway edge, centerline (if appropriate), runway hold lines, and ILS critical area(s). |
| 3.c.2. | For helicopter landing areas: Taxiways, taxi routes, and aprons. |
| 3.d. | The taxiway lighting associated with each “in-use” runway or helicopter landing area must include the following: |
| 3.d.1. | For airports: Runway edge, centerline (if appropriate), runway hold lines, ILS critical areas. |
| 3.d.2. | For helicopter landing areas: Taxiways, taxi routes, and aprons. |
The following are the minimum visual model correlation tests that must be conducted for Level 7 FTD. | |
| 4.a. | The airport model must be properly aligned with the navigational aids that are associated with operations at the “in-use” runway. |
| 4.b. | Slopes in runways, taxiways, and ramp areas, if depicted in the visual scene, must not cause distracting or unrealistic effects. |
The following are the minimum correlation comparisons that must be made. | |
| 5.a. | Visual system compatibility with aerodynamic programming. |
| 5.b. | Accurate portrayal of environment relating to flight simulator attitudes. |
| 5.c. | Visual cues to assess sink rate and depth perception during landings. |
The following are the minimum scene quality tests that must be conducted. | |
| 6.a. | Light points free from distracting jitter, smearing or streaking. |
| 6.b. | Surfaces and textural cues free from apparent and distracting quantization (aliasing). |
The following are the minimum instructor controls that must be available. | |
| 7.a. | Environmental effects, e.g., cloud base (if used), cloud effects, cloud density, visibility in statute miles/kilometers and RVR in feet/meters. |
| 7.b. | Airport/Heliport selection. |
| 7.c. | Airport/Heliport lighting including variable intensity. |
| 7.d. | Dynamic effects including ground and flight traffic. |
| 8. | Sponsors are not required to provide every detail of a runway or helicopter landing area, but the detail that is provided must be correct within the capabilities of the system. |
Table D3D—Table of Functions And Subjective Tests Level 6 FTD
| QPS requirements | |
|---|---|
| Entry No. | Operations tasks |
| Tasks in this table are subject to evaluation if appropriate for the helicopter simulated as indicated in the SOQ Configuration List or for a Level 6 FTD. Items not installed or not functional on the FTD and not appearing on the SOQ Configuration List, are not required to be listed as exceptions on the SOQ. | |
| 1.a. | Preflight Inspection (Flight Deck Only) switches, indicators, systems, and equipment. |
| 1.b. | APU/Engine start and run-up. |
| 1.b.1. | Normal start procedures. |
| 1.b.2. | Alternate start procedures. |
| 1.b.3. | Abnormal starts and shutdowns. |
| 1.b.4. | Rotor engagement. |
| 1.b.5 | System checks. |
| 2.a. | Instrument. |
| 2.b. | Takeoff with engine failure after critical decision point (CDP). |
| 3.a. | Normal. |
| 3.b. | One engine inoperative. |
| 4.a. | Performance. |
| 4.b. | Flying qualities. |
| 4.c. | Turns. |
| 4.c.1. | Timed. |
| 4.c.2. | Normal. |
| 4.c.3. | Steep. |
| 4.d. | Accelerations and decelerations. |
| 4.e. | Abnormal/emergency procedures: |
| 4.e.1. | Engine fire. |
| 4.e.2. | Engine failure. |
| 4.e.3. | In-flight engine shutdown (and restart, if applicable). |
| 4.e.4. | Fuel governing system failures (e.g., FADEC malfunction). |
| 4.e.5. | Directional control malfunction (restricted to the extent that the maneuver may not terminate in a landing). |
| 4.e.6. | Hydraulic failure. |
| 4.e.7. | Stability augmentation system failure. |
| 5.a. | Holding. |
| 5.b. | Precision Instrument Approach. |
| 5.b.1. | All engines operating. |
| 5.b.2. | One or more engines inoperative. |
| 5.b.3. | Approach procedures: |
| 5.b.4. | PAR. |
| 5.b.5. | ILS. |
| 5.b.6. | Manual (raw data). |
| 5.b.7. | Flight director only. |
| 5.b.8. | Autopilot* and flight director (if appropriate) coupled. |
| 5.c. | Non-precision Instrument Approach. |
| 5.c. | Normal—All engines operating. |
| 5.c. | One or more engines inoperative. |
| 5.c. | Approach procedures: |
| 5.c.1. | NDB. |
| 5.c.2. | VOR, RNAV, TACAN, GPS. |
| 5.c.3. | ASR. |
| 5.c.4. | Helicopter only. |
| 5.d. | Missed Approach. |
| 5.d.1. | All engines operating. |
| 5.d.2. | One or more engines inoperative. |
| 5.d.3. | Stability augmentation system failure. |
| 6.a. | Helicopter and powerplant systems operation (as applicable). |
| 6.a.1. | Anti-icing/deicing systems. |
| 6.a.2. | Auxiliary power-plant. |
| 6.a.3. | Communications. |
| 6.a.4. | Electrical system. |
| 6.a.5. | Environmental system. |
| 6.a.6. | Fire detection and suppression. |
| 6.a.7. | Flight control system. |
| 6.a.8. | Fuel system. |
| 6.a.9. | Engine oil system. |
| 6.a.10. | Hydraulic system. |
| 6.a.11 | Landing gear. |
| 6.a.12. | Oxygen. |
| 6.a.13. | Pneumatic. |
| 6.a.14. | Powerplant. |
| 6.a.15. | Flight control computers. |
| 6.a.16. | Stability augmentation and control augmentation system(s). |
| 6.b. | Flight management and guidance system (as applicable). |
| 6.b.1. | Airborne radar. |
| 6.b.2. | Automatic landing aids. |
| 6.b.3. | Autopilot.* |
| 6.b.4. | Collision avoidance system. |
| 6.b.5. | Flight data displays. |
| 6.b.6. | Flight management computers. |
| 6.b.7. | Navigation systems. |
| 7.a. | Parking and Securing. |
| 7.b. | Engine and systems operation. |
| 7.c. | Parking brake operation. |
| 7.d. | Rotor brake operation. |
| 7.e. | Abnormal/emergency procedures. |
| 8.a. | Power Switch(es). |
| 8.b.1. | Helicopter conditions. |
| 8.b.2. | Gross weight, center of gravity, fuel loading and allocation, etc. |
| 8.b.3. | Helicopter systems status. |
| 8.b.4. | Ground crew functions (e.g., ext. power). |
| 8.c. | Airports and landing areas. |
| 8.c.1. | Number and selection. |
| 8.c.2. | Runway or landing area selection. |
| 8.c.3. | Preset positions (e.g., ramp, over FAF). |
| 8.c.4. | Lighting controls. |
| 8.d. | Environmental controls. |
| 8.d.1 | Temperature. |
| 8.d.2. | Climate conditions (e.g., ice, rain). |
| 8.d.3. | Wind speed and direction. |
| 8.e. | Helicopter system malfunctions. |
| 8.e.1. | Insertion/deletion. |
| 8.e.2. | Problem clear. |
| 8.f. | Locks, Freezes, and Repositioning. |
| 8.f.1. | Problem (all) freeze/release. |
| 8.f.2. | Position (geographic) freeze/release. |
| 8.f.3. | Repositioning (locations, freezes, and releases). |
| 8.f.4. | Ground speed control. |
| 8.g. | Sound Controls. On/off/adjustment. |
| 8.h. | Control Loading System (as applicable) On/off/emergency stop. |
| 8.i. | Observer Stations. |
| 8.i.1. | Position. |
| 8.i.2. | Adjustments. |
* “Autopilot” means attitude retention mode of operation.
Table D3E—Table of Functions and Subjective Tests Level 5 FTD
| QPS requirements | |
|---|---|
| Entry No. | Operations tasks |
| Tasks in this table are subject to evaluation if appropriate for the helicopter simulated as indicated in the SOQ Configuration List or for a Level 5 FTD. Items not installed or not functional on the FTD and not appearing on the SOQ Configuration List, are not required to be listed as exceptions on the SOQ. | |
| 1.a. | Preflight Inspection (Flight Deck Only) switches, indicators, systems, and equipment. |
| 1.b. | APU/Engine start and run-up. |
| 1.b.1. | Normal start procedures. |
| 1.b.2. | Alternate start procedures. |
| 1.b.3. | Abnormal starts and shutdowns. |
| 2.a. | Normal. |
| 3.a. | Performance. |
| 3.b. | Turns, Normal. |
| 4.a. | Coupled instrument approach maneuvers (as applicable for the systems installed). |
| 5.a. | Normal system operation (installed systems). |
| 5.b. | Abnormal/Emergency system operation (installed systems). |
| 6.a. | Parking and Securing. |
| 6.b. | Engine and systems operation. |
| 6.c. | Parking brake operation. |
| 6.d. | Rotor brake operation. |
| 6.e. | Abnormal/emergency procedures. |
| 7.a. | Power Switch(es). |
| 7.b. | Preset positions (ground; air) |
| 7.c. | Helicopter system malfunctions. |
| 7.c.1. | Insertion/deletion. |
| 7.c.2. | Problem clear. |
| 7.d. | Control Loading System (as applicable) On/off/emergency stop. |
| 7.e. | Observer Stations. |
| 7.e.1. | Position. |
| 7.e.2. | Adjustments. |
Table D3F—Table of Functions and Subjective Tests Level 4 FTD
| QPS requirements | |
|---|---|
| Entry No. | Operations tasks |
| Tasks in this table are subject to evaluation if appropriate for the helicopter simulated as indicated in the SOQ Configuration List or for a Level 4 FTD. Items not installed or not functional on the FTD and not appearing on the SOQ Configuration List, are not required to be listed as exceptions on the SOQ. | |
| 1.a. | Preflight Inspection (Flight Deck Only) switches, indicators, systems, and equipment. |
| 1.b. | APU/Engine start and run-up. |
| 1.b.1. | Normal start procedures. |
| 1.b.2. | Alternate start procedures. |
| 1.b.3. | Abnormal starts and shutdowns. |
| 2.a. | Normal system operation (installed systems). |
| 2.b. | Abnormal/Emergency system operation (installed systems). |
| 3.a. | Parking and Securing. |
| 3.b. | Engine and systems operation. |
| 3.c. | Parking brake operation. |
| 4.a. | Power Switch(es). |
| 4.b. | Preset positions (ground; air) |
| 4.c. | Helicopter system malfunctions. |
| 4.c.1. | Insertion/deletion. |
| 4.c.2. | Problem clear. |
a. Not later than May 30, 2010, each current sponsor of an FSTD must submit to the responsible Flight Standards office a proposed Quality Management System (QMS) program as described in this appendix. The responsible Flight Standards office will notify the sponsor of the acceptability of the program, including any required adjustments. Within 6 months of the notification of acceptability, the sponsor must implement the program, conduct internal audits, make required program adjustments as a result of any internal audit, and schedule the responsible Flight Standards office initial audit.
b. First-time FSTD sponsors must submit to the responsible Flight Standards office the proposed QMS program no later than 120 days before the initial FSTD evaluation. The responsible Flight Standards office will notify the sponsor of the acceptability of the program, including any required adjustments. Within 6 months of the notification of acceptability, the sponsor must implement the program, conduct internal audits, make required program adjustments as a result of any internal audit, and schedule the responsible Flight Standards office initial audit.
c. The Director of Operations for a Part 119 certificate holder, the Chief Instructor for a Part 141 certificate holder, or the equivalent for a Part 142 or Flight Engineer School sponsor must designate a Management Representative (MR) who has the authority to establish and modify the sponsor's policies, practices, and procedures regarding the QMS program for the recurring qualification and the daily use of each FSTD.
d. The minimum content required for an acceptable QMS is found in Table E1. The policies, processes, or procedures described in this table must be maintained in a Quality Manual and will serve as the basis for the following:
(1) The sponsor-conducted initial and recurring periodic assessments;
(2) The responsible Flight Standards office-conducted initial and recurring periodic assessments; and
(3) The continuing surveillance and analysis by the responsible Flight Standards office of the sponsor's performance and effectiveness in providing a satisfactory FSTD for use on a regular basis.
e. The sponsor must conduct assessments of its QMS program in segments. The segments will be established by the responsible Flight Standards office at the initial assessment, and the interval for the segment assessments will be every 6 months. The intervals for the segment assessments may be extended beyond 6 months as the QMS program matures, but will not be extended beyond 12 months. The entire QMS program must be assessed every 24 months.
f. The periodic assessments conducted by the responsible Flight Standards office will be conducted at intervals not less than once every 24 months, and include a comprehensive review of the QMS program. These reviews will be conducted more frequently if warranted.
g. An example of a segment assessment—At the initial QMS assessment, the responsible Flight Standards office will divide the QMS program into segments (e.g., 6 separate segments). There must be an assessment of a certain number of segments every 6 months (i.e., segments 1 and 2 at the end of the first 6 month period; segments 3 and 4 at the end of the second 6 month period (or one year); and segments 5 and 6 at the end of the third 6 month period (or 18 months). As the program matures, the interval between assessments may be extended to 12 months (e.g., segments 1, 2, and 3 at the end of the first year; and segments 4, 5, and 6 at the end of the second year). In both cases, the entire QMS program is assessed at least every 24 months.
h. The following materials are presented to assist sponsors in preparing for an responsible Flight Standards office evaluation of the QMS program. The sample documents include:
(1) The desk assessment tool for initial evaluation of the required elements of a QMS program.
(2) The on-site assessment tool for initial and continuing evaluation of the required elements of a QMS program.
(3) An Element Assessment Table that describes the circumstances that exist to warrant a finding of “non-compliance,” or “non-conformity”; “partial compliance,” or “partial conformity”; and “acceptable compliance,” or “acceptable conformity.”
(4) A sample Continuation Sheet for additional comments that may be added by the sponsor or the responsible Flight Standards office during a QMS evaluation.
(5) A sample Sponsor Checklist to assist the sponsor in verifying the elements that comprise the required QMS program.
(6) A table showing the essential functions, processes, and procedures that relate to the required QMS components and a cross-reference to each represented task.
i. Additional Information.
(1) In addition to specifically designated QMS evaluations, the responsible Flight Standards office will evaluate the sponsor's QMS program as part of regularly scheduled FSTD continuing qualification evaluations and no-notice FSTD evaluations, focusing in part on the effectiveness and viability of the QMS program and its contribution to the overall capability of the FSTD to meet the requirements of this part.
(2) The sponsor or MR may delegate duties associated with maintaining the qualification of the FSTD (e.g., corrective and preventive maintenance, scheduling and conducting tests or inspections, functional preflight checks) but retain the responsibility and authority for the day-to-day qualification of the FSTD. One person may serve as the sponsor or MR for more than one FSTD, but one FSTD may not have more than one sponsor or MR.
(3) A QMS program may be applicable to more than one certificate holder (e.g., part 119 and part 142 or two part 119 certificate holders) and an MR may work for more than one certificate holder (e.g., part 119 and part 142 or two part 119 certificate holders) as long as the sponsor's QMS program requirements and the MR requirements are met for each certificate holder.
j. The FAA does not mandate a specific QMS program format, but an acceptable QMS program should contain the following:
(1) A Quality Policy. This is a formal written Quality Policy Statement that is a commitment by the sponsor outlining what the Quality System will achieve.
(2) A MR who has overall authority for monitoring the on-going qualification of assigned FSTDs to ensure that all FSTD qualification issues are resolved as required by this part. The MR should ensure that the QMS program is properly implemented and maintained, and should:
(a) Brief the sponsor's management on the qualification processes;
(b) Serve as the primary contact point for all matters between the sponsor and the responsible Flight Standards office regarding the qualification of the assigned FSTDs; and
(c) Oversee the day-to-day quality control.
(3) The system and processes outlined in the QMS should enable the sponsor to monitor compliance with all applicable regulations and ensure correct maintenance and performance of the FSTD in accordance with part 60.
(4) A QMS program and a statement acknowledging completion of a periodic review by the MR should include the following:
(a) A maintenance facility that provides suitable FSTD hardware and software tests and maintenance capability.
(b) A recording system in the form of a technical log in which defects, deferred defects, and development projects are listed, assigned and reviewed within a specified time period.
(c) Routine maintenance of the FSTD and performance of the QTG tests with adequate staffing to cover FSTD operating periods.
(d) A planned internal assessment schedule and a periodic review should be used to verify that corrective action was complete and effective. The assessor should have adequate knowledge of FSTDs and should be acceptable to the responsible Flight Standards office.
(5) The MR should receive Quality System training and brief other personnel on the procedures.
Table E1—FSTD Quality Management System
| Entry No. | QPS Requirement | Information
(Reference) |
|---|---|---|
| E1.1. | A QMS manual that prescribes the policies, processes, or procedures outlined in this table | § 60.5(a). |
| E1.2. | A policy, process, or procedure specifying how the sponsor will identify deficiencies in the QMS | § 60.5(b). |
| E1.3. | A policy, process, or procedure specifying how the sponsor will document how the QMS program will be changed to address deficiencies | § 60.5(b). |
| E1.4. | A policy, process, or procedure specifying how the sponsor will address proposed program changes (for programs that do not meet the minimum requirements as notified by the responsible Flight Standards office) to the responsible Flight Standards office and receive approval prior to their implementation | § 60.5(c). |
| E1.5. | A policy, process, or procedure specifying how the sponsor will document that at least one FSTD is used within the sponsor's FAA-approved flight training program for the aircraft or set of aircraft at least once within the 12-month period following the initial or upgrade evaluation conducted by the responsible Flight Standards office and at least once within each subsequent 12-month period thereafter | § 60. 7(b)(5). |
| E1.6. | A policy, process, or procedure specifying how the sponsor will document that at least one FSTD is used within the sponsor's FAA-approved flight training program for the aircraft or set of aircraft at least once within the 12-month period following the first continuing qualification evaluation conducted by the responsible Flight Standards office and at least once within each subsequent 12-month period thereafter | § 60.7(b)(6). |
| E1.7. | A policy, process, or procedure specifying how the sponsor will obtain an annual written statement from a qualified pilot (who has flown the subject aircraft or set of aircraft during the preceding 12-month period) that the performance and handling qualities of the subject FSTD represents the subject aircraft or set of aircraft (within the normal operating envelope). Required only if the subject FSTD is not used in the sponsor's FAA-approved flight training program for the aircraft or set of aircraft at least once within the preceding 12-month period | § 60.5(b)(7) and § 60.7(d)(2). |
| E1.8. | A policy, process, or procedure specifying how independent feedback (from persons recently completing training, evaluation, or obtaining flight experience; instructors and check airmen using the FSTD for training, evaluation or flight experience sessions; and FSTD technicians and maintenance personnel) will be received and addressed by the sponsor regarding the FSTD and its operation | § 60.9(b)(1). |
| E1.9. | A policy, process, or procedure specifying how and where the FSTD SOQ will be posted, or accessed by an appropriate terminal or display, in or adjacent to the FSTD | § 60.9(b)(2). |
| E1.10. | A policy, process, or procedure specifying how the sponsor's management representative (MR) is selected and identified by name to the responsible Flight Standards office | § 60.9(c) and Appendix E, paragraph(d). |
| E1.11. | A policy, process, or procedure specifying the MR authority and responsibility for the following: | § 60.9(c)(2), (3), and (4). |
| E1.11.a. | Monitoring the on-going qualification of assigned FSTDs to ensure all matters regarding FSTD qualification are completed as required by this part | |
| E1.11.b. | Ensuring that the QMS is properly maintained by overseeing the QMS policies, practices, or procedures and modifying as necessary | |
| E1.11.c. | Regularly briefing sponsor's management on the status of the on-going FSTD qualification program and the effectiveness and efficiency of the QMS | |
| E1.11.d. | Serving as the primary contact point for all matters between the sponsor and the responsible Flight Standards office regarding the qualification of assigned FSTDs | |
| E1.11.e. | Delegating the MR assigned duties to an individual at each of the sponsor's locations, as appropriate | |
| E1.12. | A policy, process, or procedure specifying how the sponsor will: | § 60.13; QPS Appendices A, B, C, and D. |
| E1.12.a. | Ensure that the data made available to the responsible Flight Standards office (the validation data package) includes the aircraft manufacturer's flight test data (or other data approved by the responsible Flight Standards office) and all relevant data developed after the type certificate was issued ( | |
| E1.12.b. | Notify the responsible Flight Standards office within 10 working days of becoming aware that an addition to or a revision of the flight related data or airplane systems related data is available if this data is used to program or operate a qualified FSTD | |
| E1.12.c. | Maintain a liaison with the manufacturer of the aircraft being simulated (or with the holder of the aircraft type certificate for the aircraft being simulated if the manufacturer is no longer in business), and if appropriate, with the person who supplied the aircraft data package for the FFS for the purposes of receiving notification of data package changes | |
| E1.13. | A policy, process, or procedure specifying how the sponsor will make available all special equipment and qualified personnel needed to conduct tests during initial, continuing qualification, or special evaluations | § 60.14. |
| E1.14. | A policy, process, or procedure specifying how the sponsor will submit to the responsible Flight Standards office a request to evaluate the FSTD for initial qualification at a specific level and simultaneously request the TPAA forward a concurring letter to the responsible Flight Standards office; including how the MR will use qualified personnel to confirm the following: | § 60.15(a)-(d); § 60.15(b); § 60.15(b)(i); § 60.15(b)(ii); § 60.15(b)(iii). |
| E1.14.a. | That the performance and handling qualities of the FSTD represent those of the aircraft or set of aircraft within the normal operating envelope | |
| E1.14.b. | The FSTD systems and sub-systems (including the simulated aircraft systems) functionally represent those in the aircraft or set of aircraft | |
| E1.14.c. | The flight deck represents the configuration of the specific type or aircraft make, model, and series aircraft being simulated, as appropriate | |
| E1.15. | A policy, process, or procedure specifying how the subjective and objective tests are completed at the sponsor's training facility for an initial evaluation | § 60.15(e). |
| E1.16. | A policy, process, or procedure specifying how the sponsor will update the QTG with the results of the FAA-witnessed tests and demonstrations together with the results of the objective tests and demonstrations after the responsible Flight Standards office completes the evaluation for initial qualification | § 60.15(h). |
| E1.17. | A policy, process, or procedure specifying how the sponsor will make the MQTG available to the responsible Flight Standards office upon request | § 60.15(i). |
| E1.18. | A policy, process, or procedure specifying how the sponsor will apply to the responsible Flight Standards office for additional qualification(s) to the SOQ | § 60.16(a);
§ 60.16(a)(1)(i); and § 60.16(a)(1)(ii). |
| E1.19. | A policy, process, or procedure specifying how the sponsor completes all required Attachment 2 objective tests each year in a minimum of four evenly spaced inspections as specified in the appropriate QPS | § 60.19(a)(1)
QPS Appendices A, B, C, or D. |
| E1.20. | A policy, process, or procedure specifying how the sponsor completes and records a functional preflight check of the FSTD within the preceding 24 hours of FSTD use, including a description of the functional preflight | § 60.19(a)(2) QPS Appendices A, B, C, or D. |
| E1.21. | A policy, process, or procedure specifying how the sponsor schedules continuing qualification evaluations with the responsible Flight Standards office | § 60.19(b)(2). |
| E1.22. | A policy, process, or procedure specifying how the sponsor ensures that the FSTD has received a continuing qualification evaluation at the interval described in the MQTG | § 60.19(b)(5)-(6). |
| E1.23. | A policy, process, or procedure describing how discrepancies are recorded in the FSTD discrepancy log, including | § 60.19(c);
§ 60.19(c)(2)(i); § 60.19(c)(2)(ii). |
| E1.23.a. | A description of how the discrepancies are entered and maintained in the log until corrected | |
| E1.23.b. | A description of the corrective action taken for each discrepancy, the identity of the individual taking the action, and the date that action is taken | |
| E1.24. | A policy, process, or procedure specifying how the discrepancy log is kept in a form and manner acceptable to the Administrator and kept in or adjacent to the FSTD. (An electronic log that may be accessed by an appropriate terminal or display in or adjacent to the FSTD is satisfactory.) | § 60.19(c)(2)(iii). |
| E1.25. | A policy, process, or procedure that requires each instructor, check airman, or representative of the Administrator conducting training, evaluation, or flight experience, and each person conducting the preflight inspection, who discovers a discrepancy, including any missing, malfunctioning, or inoperative components in the FSTD, to write or cause to be written a description of that discrepancy into the discrepancy log at the end of the FSTD preflight or FSTD use session | § 60.20. |
| E1.26. | A policy, process, or procedure specifying how the sponsor will apply for initial qualification based on the final aircraft data package approved by the aircraft manufacturer if operating an FSTD based on an interim qualification | § 60.21(c). |
| E1.27. | A policy, process, or procedure specifying how the sponsor determines whether an FSTD change qualifies as a modification as defined in § 60.23 | § 60.23(a)(1)-(2). |
| E1.28. | A policy, process, or procedure specifying how the sponsor will ensure the FSTD is modified in accordance with any FSTD Directive regardless of the original qualification basis | § 60.23(b). |
| E1.29. | A policy, process, or procedure specifying how the sponsor will notify the responsible Flight Standards office and TPAA of their intent to use a modified FSTD and to ensure that the modified FSTD will not be used prior to: | § 60.23(c)(1)(i),(ii), and (iv). |
| E1.29.a. | Twenty-one days since the sponsor notified the responsible Flight Standards office and the TPAA of the proposed modification and the sponsor has not received any response from either the responsible Flight Standards office or the TPAA; or | |
| E1.29.b. | Twenty-one days since the sponsor notified the responsible Flight Standards office and the TPAA of the proposed modification and one has approved the proposed modification and the other has not responded; or | |
| E1.29.c. | The FSTD successfully completing any evaluation the responsible Flight Standards office may require in accordance with the standards for an evaluation for initial qualification or any part thereof before the modified FSTD is placed in service | |
| E1.30 | A policy, process, or procedure specifying how, after an FSTD modification is approved by the responsible Flight Standards office, the sponsor will: | § 60.23(d)-(e). |
| E1.30.a. | Post an addendum to the SOQ until as the responsible Flight Standards office issues a permanent, updated SOQ | |
| E1.30.b. | Update the MQTG with current objective test results and appropriate objective data for each affected objective test or other MQTG section affected by the modification | |
| E1.30.c. | File in the MQTG the requirement from the responsible Flight Standards office to make the modification and the record of the modification completion | |
| E1.31. | A policy, process, or procedure specifying how the sponsor will track the length of time a component has been missing, malfunctioning, or inoperative (MMI), including: | § 60.25(b)-(c), and
QPS Appendices A, B, C, or D. |
| E1.31.a. | How the sponsor will post a list of MMI components in or adjacent to the FSTD | |
| E1.31.b. | How the sponsor will notify the responsible Flight Standards office if the MMI has not been repaired or replaced within 30 days.* | |
| E1.32. | A policy, process, or procedure specifying how the sponsor will notify the responsible Flight Standards office and how the sponsor will seek requalification of the FSTD if the FSTD is moved and reinstalled in a different location | § 60.27(a)(3). |
| E1.33. | A policy, process, or procedure specifying how the sponsor will maintain control of the following: (The sponsor must specify how these records are maintained in plain language form or in coded form; but if the coded form is used, the sponsor must specify how the preservation and retrieval of information will be conducted.) | § 60.31. |
| E1.33.a. | The MQTG and each amendment | |
| E1.33.b. | A record of all FSTD modifications required by this part since the issuance of the original SOQ | |
| E1.33.c. | Results of the qualification evaluations (initial and each upgrade) since the issuance of the original SOQ | |
| E1.33.d. | Results of the objective tests conducted in accordance with this part for a period of 2 years | |
| E1.33.e. | Results of the previous three continuing qualification evaluations, or the continuing qualification evaluations from the previous 2 years, whichever covers a longer period. | |
| E1.33.f. | Comments obtained in accordance with § 60.9(b); | |
| E1.33.g. | A record of all discrepancies entered in the discrepancy log over the previous 2 years, including the following: | |
| E1.33.g.1. | A list of the components or equipment that were or are missing, malfunctioning, or inoperative | |
| E1.33.g.2. | The action taken to correct the discrepancy | |
| E1.33.g.3. | The date the corrective action was taken | |
| E1.33.g.4. | The identity of the person determining that the discrepancy has been corrected. |
*
1st Segment—the portion of the takeoff profile from liftoff to gear retraction.
2nd Segment—the portion of the takeoff profile from after gear retraction to initial flap/slat retraction.
3rd Segment—the portion of the takeoff profile after flap/slat retraction is complete.
Aircraft Data Package—a combination of the various types of data used to design, program, manufacture, modify, and test the FSTD.
Airspeed—calibrated airspeed unless otherwise specified and expressed in terms of nautical miles per hour (knots).
Airport Model—
Class I. Whether modeling real world or fictional airports (or landing areas for helicopters), these airport models (or landing areas for helicopters) are those that meet the requirements of Table A3B or C3B, found in attachment 2 of Appendix A or C, as appropriate, are evaluated by the responsible Flight Standards office, and are listed on the SOQ.
Class II. Whether modeling real world or fictional airports (or landing areas for helicopters), these airport models (or landing areas for helicopters) are those models that are in excess of those used for simulator qualification at a specified level. The FSTD sponsor is responsible for determining that these models meet the requirements set out in Table A3C or C3C, found in attachment 2 of Appendix A or C, as appropriate.
Class III. This is a special class of airport model (or landing area for helicopters), used for specific purposes, and includes models that may be incomplete or inaccurate when viewed without restriction, but when appropriate limits are applied (e.g., “valid for use only in visibility conditions less than
Altitude—pressure altitude (meters or feet) unless specified otherwise.
Angle of Attack—the angle between the airplane longitudinal axis and the relative wind vector projected onto the airplane plane of symmetry.
Automatic Testing—FSTD testing where all stimuli are under computer control.
Bank—the airplane attitude with respect to or around the longitudinal axis, or roll angle (degrees).
Breakout—the force required at the pilot's primary controls to achieve initial movement of the control position.
Certificate Holder—a person issued a certificate under parts 119, 141, or 142 of this chapter or a person holding an approved course of training for flight engineers in accordance with part 63 of this chapter.
Closed Loop Testing—a test method where the input stimuli are generated by controllers that drive the FSTD to follow a pre-defined target response.
Computer Controlled Aircraft—an aircraft where all pilot inputs to the control surfaces are transferred and augmented by computers.
Confined Area (helicopter operations)—an area where the flight of the helicopter is limited in some direction by terrain or the presence of natural or man-made obstructions (e.g., a clearing in the woods, a city street, or a road bordered by trees or power lines are regarded as confined areas).
Control Sweep—movement of the appropriate pilot controller from neutral to an extreme limit in one direction (Forward, Aft, Right, or Left), a continuous movement back through neutral to the opposite extreme position, and then a return to the neutral position.
Convertible FSTD—an FSTD in which hardware and software can be changed so that the FSTD becomes a replica of a different model, usually of the same type aircraft. The same FSTD platform, flight deck shell, motion system, visual system, computers, and peripheral equipment can be used in more than one simulation.
Critical Engine Parameter—the parameter that is the most accurate measure of propulsive force.
Deadband—the amount of movement of the input for a system for which there is no reaction in the output or state of the system observed.
Distance—the length of space between two points, expressed in terms of nautical miles unless otherwise specified.
Discrepancy—as used in this part, an aspect of the FSTD that is not correct with respect to the aircraft being simulated. This includes missing, malfunctioning, or inoperative components that are required to be present and operate correctly for training, evaluation, and experience functions to be creditable. It also includes errors in the documentation used to support the FSTD (e.g., MQTG errors, information missing from the MQTG, or required statements from appropriately qualified personnel).
Downgrade—a permanent change in the qualification level of an FSTD to a lower level.
Driven—a test method where the input stimulus or variable is positioned by automatic means, usually a computer input.
Electronic Copy of the MQTG—an electronic copy of the MQTG provided by an electronic scan presented in a format, acceptable to the responsible Flight Standards office.
Electronic Master Qualification Test Guide—an electronic version of the MQTG (eMQTG), where all objective data obtained from airplane testing, or another approved source, together with correlating objective test results obtained from the performance of the FSTD and a description of the equipment necessary to perform the evaluation for the initial and the continuing qualification evaluations is stored, archived, or presented in either reformatted or digitized electronic format.
Engine—as used in this part, the appliance or structure that supplies propulsive force for movement of the aircraft: i.e., The turbine engine for turbine powered aircraft; the turbine engine and propeller assembly for turbo-propeller powered aircraft; and the reciprocating engine and propeller assembly for reciprocating engine powered aircraft. For purposes of this part, engine failure is the failure of either the engine or propeller assembly to provide thrust higher than idle power thrust due to a failure of either the engine or the propeller assembly.
Evaluation—with respect to an individual, the checking, testing, or review associated with flight crewmember qualification, training, and certification under parts 61, 63, 121, or 135 of this chapter. With respect to an FSTD, the qualification activities for the device (e.g., the objective and subjective tests, the inspections, or the continuing qualification evaluations) associated with the requirements of this part.
Fictional Airport—a visual model of an airport that is a collection of “non-real world” terrain, instrument approach procedures, navigation aids, maps, and visual modeling detail sufficient to enable completion of an Airline Transport Pilot Certificate or Type Rating.
Flight Experience—recency of flight experience for landing credit purposes.
Flight Simulation Training Device (FSTD)—a full flight simulator (FFS) or a flight training device (FTD). (Part 1)
Flight Test Data—(a subset of objective data) aircraft data collected by the aircraft manufacturer or other acceptable data supplier during an aircraft flight test program.
Flight Training Device (FTD)—a replica of aircraft instruments, equipment, panels, and controls in an open flight deck area or an enclosed aircraft flight deck replica. It includes the equipment and computer programs necessary to represent aircraft (or set of aircraft) operations in ground and flight conditions having the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the qualification performance standard (QPS) for a specific FTD qualification level. (Part 1)
Free Response—the response of the FSTD after completion of a control input or disturbance.
Frozen—a test condition where one or more variables are held constant with time.
FSTD Approval—the extent to which an FSTD may be used by a certificate holder as authorized by the FAA.
FSTD Directive—a document issued by the FAA to an FSTD sponsor requiring a modification to the FSTD due to a safety-of-flight issue and amending the qualification basis for the FSTD.
FSTD Latency—the additional time for the FSTD to respond to input that is beyond the response time of the aircraft.
FSTD Performance—the overall performance of the FSTD, including aircraft performance (e.g., thrust/drag relationships, climb, range) and flight and ground handling.
Full Flight Simulator (FFS)—a replica of a specific type, make, model, or series aircraft. It includes the equipment and computer programs necessary to represent aircraft operations in ground and flight conditions, a visual system providing an out-of-the-flight deck view, a system that provides cues at least equivalent to those of a three-degree-of-freedom motion system, and has the full range of capabilities of the systems installed in the device as described in part 60 of this chapter and the QPS for a specific FFS qualification level. (Part 1)
Gate Clutter—the static and moving ground traffic (e.g., other airplanes; tugs; power or baggage carts; fueling, catering, or cargo trucks; pedestrians) presented to pose a potential conflict with the simulated aircraft during ground operations around the point where the simulated airplane is to be parked between flights
Generic Airport Model—a Class III visual model that combines correct navigation aids for a real world airport with a visual model that does not depict that same airport.
Grandfathering—as used in this part, the practice of assigning a qualification basis for an FSTD based on the period of time during which a published set of standards governed the requirements for the initial and continuing qualification of FSTDs. Each FSTD manufactured during this specified period of time is “grandfathered” or held to the standards that were in effect during that time period. The grandfathered standards remain applicable to each FSTD manufactured during the stated time period regardless of any subsequent modification to those standards and regardless of the sponsor, as long as the FSTD remains qualified or is maintained in a non-qualified status in accordance with the specific requirements and time periods prescribed in this part.
Gross Weight—For objective test purposes:
Basic Operating Weight (BOW)—the empty weight of the aircraft plus the weight of the following: Normal oil quantity; lavatory servicing fluid; potable water; required crewmembers and their baggage; and emergency equipment.
Light Gross Weight—a weight chosen by the sponsor or data provider that is not more than 120% of the BOW of the aircraft being simulated or the minimum practical operating weight of the test aircraft.
Medium Gross Weight—a weight chosen by the sponsor or data provider that is within 10% of the average of the numerical values of the BOW and the maximum certificated gross weight.
Near Maximum Gross Weight—a weight chosen by the sponsor or data provider that is not less than the BOW of the aircraft being simulated plus 80% of the difference between the maximum certificated gross weight (either takeoff weight or landing weight, as appropriate for the test) and the BOW.
Ground Effect—the change in aerodynamic characteristics due to of the change in the airflow past the aircraft caused by the proximity of the earth's surface to the airplane.
Hands Off—a test maneuver conducted without pilot control inputs.
Hands On—a test maneuver conducted with pilot control inputs as required.
Heave—FSTD movement with respect to or along the vertical axis.
Height—the height above ground level (or AGL) expressed in meters or feet.
“In Use” Runway—as used in this part, the runway that is currently selected, able to be used for takeoffs and landings, and has the surface lighting and markings required by this part. Also known as the “active” runway.
Integrated Testing—testing of the FSTD so that all aircraft system models are active and contribute appropriately to the results. With integrated testing, none of the models used are substituted with models or other algorithms intended for testing only.
Irreversible Control System—a control system where movement of the control surface will not backdrive the pilot's control on the flight deck.
Locked—a test condition where one or more variables are held constant with time.
Manual Testing—FSTD testing conducted without computer inputs except for initial setup, and all modules of the simulation are active.
Master Qualification Test Guide (MQTG)—the FAA-approved Qualification Test Guide with the addition of the FAA-witnessed test results, applicable to each individual FSTD.
Medium—the normal operational weight for a given flight segment.
Near Limiting Performance—the performance level the operating engine must be required to achieve to have sufficient power to land a helicopter after experiencing a single engine failure during takeoff of a multiengine helicopter. The operating engine must be required to operate within at least 5 percent of the maximum RPM or temperature limits of the gas turbine or power turbine, or operate within at least 5 percent of the maximum drive train torque limits. Near limiting performance is based on the existing combination of density altitude, temperature, and helicopter gross weight.
Nominal—the normal operating configuration, atmospheric conditions, and flight parameters for the specified flight segment.
Non-Normal Control—a term used in reference to Computer Controlled Aircraft. It is the state where one or more of the intended control, augmentation, or protection functions are not fully working. Note: Specific terms such as ALTERNATE, DIRECT, SECONDARY, or BACKUP may be used to define an actual level of degradation.
Normal Control—a term used in reference to Computer Controlled Aircraft. It is the state where the intended control, augmentation, and protection functions are fully working.
Objective Data—quantitative data, acceptable to the NSPM, used to evaluate the FSTD.
Objective Test—a quantitative measurement and evaluation of FSTD performance.
Pitch—the airplane attitude with respect to, or around, the lateral axis expressed in degrees.
Power Lever Angle (PLA)—the angle of the pilot's primary engine control lever(s) on the flight deck. This may also be referred to as THROTTLE or POWER LEVER.
Predicted Data—estimations or extrapolations of existing flight test data or data from other simulation models using engineering analyses, engineering simulations, design data, or wind tunnel data.
Protection Functions—systems functions designed to protect an airplane from exceeding its flight maneuver limitations.
Pulse Input—a step input to a control followed by an immediate return to the initial position.
Qualification Level—the categorization of an FSTD established by the NSPM based on the FSTDs demonstrated technical and operational capabilities as prescribed in this part.
Qualification Performance Standard (QPS)—the collection of procedures and criteria used when conducting objective and subjective tests, to establish FSTD qualification levels. The QPS are published in the appendices to this part, as follows: Appendix A, for Airplane Simulators; Appendix B, for Airplane Flight Training Devices; Appendix C, for Helicopter Simulators; Appendix D, for Helicopter Flight Training Devices; Appendix E, for Quality Management Systems for Flight Simulation Training Devices; and Appendix F, for Definitions and Abbreviations for Flight Simulation Training Devices.
Qualification Test Guide (QTG)—the primary reference document used for evaluating an aircraft FSTD. It contains test results, statements of compliance and capability, the configuration of the aircraft simulated, and other information for the evaluator to assess the FSTD against the applicable regulatory criteria.
Quality Management System (QMS)—a flight simulation quality-systems that can be used for external quality-assurance purposes. It is designed to identify the processes needed, determine the sequence and interaction of the processes, determine criteria and methods required to ensure the effective operation and control of the processes, ensure the availability of information necessary to support the operation and monitoring of the processes, measure, monitor, and analyze the processes, and implement the actions necessary to achieve planned results.
Real-World Airport—as used in this part in reference to airport visual models, a computer generated visual depiction of an existing airport.
Representative—when used as an adjective in this part, typical, demonstrative, or characteristic of, the feature being described. For example, “representative sampling of tests” means a sub-set of the complete set of all tests such that the sample includes one or more of the tests in each of the major categories, the results of which provide the evaluator with an overall understanding of the performance and handling characteristics of the FSTD.
Reversible Control System—a control system in which movement of the control surface will backdrive the pilot's control on the flight deck.
Roll—the airplane attitude with respect to, or around, the longitudinal axis expressed in degrees.
Set of Aircraft—aircraft that share similar handling and operating characteristics, similar operating envelopes, and have the same number and type of engines or powerplants.
Sideslip Angle—the angle between the relative wind vector and the airplane plane of symmetry. (Note: this definition replaces the current definition of “sideslip.”)
Simulation Quality Management System (SQMS)—the elements of a quality management system for FSTD continuing qualification.
Snapshot—a presentation of one or more variables at a given instant of time.
Special Evaluation—an evaluation of the FSTD for purposes other than initial, upgrade, or continuing qualification. Circumstances that may require a special evaluation include movement of the FSTD to a different location, or an update to FSTD software or hardware that might affect performance or flying qualities.
Sponsor—a certificate holder who seeks or maintains FSTD qualification and is responsible for the prescribed actions as prescribed in this part and the QPS for the appropriate FSTD and qualification level.
Statement of Compliance and Capability (SOC)—a declaration that a specific requirement has been met and explaining how the requirement was met (e.g., gear modeling approach, coefficient of friction sources). The SOC must also describe the capability of the FSTD to meet the requirement, including references to sources of information for showing compliance, rationale to explain how the referenced material is used, mathematical equations and parameter values used, and conclusions reached.
Step Input—an abrupt control input held at a constant value.
Subjective Test—a qualitative assessment of the performance and operation of the FSTD.
Surge—FSTD movement with respect to or along the longitudinal axis.
Sway—FSTD movement with respect to or along the lateral axis.
T
T
T
Time History—a presentation of the change of a variable with respect to time.
Training Program Approval Authority (TPAA)—a person authorized by the Administrator to approve the aircraft flight training program in which the FSTD will be used.
Training Restriction—a temporary condition where an FSTD with missing, malfunctioning, or inoperative (MMI) components may continue to be used at the qualification level indicated on its SOQ, but restricted from completing the tasks for which the correct function of the MMI component is required.
Transport Delay or “Throughput”—the total FSTD system processing time required for an input signal from a pilot primary flight control until motion system, visual system, or instrument response. It is the overall time delay incurred from signal input to output response. It does not include the characteristic delay of the airplane simulated.
Update—an improvement to or modernization of the quality or the accuracy of the FSTD without affecting the qualification level of the FSTD.
Upgrade—the improvement or enhancement of an FSTD for the purpose of achieving a higher qualification level.
Validation Data—objective data used to determine if the FSTD performance is within the tolerances prescribed in the QPS.
Validation Test—an objective test where FSTD parameters are compared to the relevant validation data to ensure that the FSTD performance is within the tolerances prescribed in the QPS.
Visual Data Base—a display that may include one or more airport models.
Visual System Response Time—the interval from a control input to the completion of the visual display scan of the first video field containing the resulting different information.
Yaw—the airplane attitude with respect to, or around, the vertical axis expressed in degrees.
3. Abbreviations
1. Applicability.
2. Required training, aeronautical experience, endorsements, and flight review.
3. Expiration date.
1. Applicability. Under the procedures prescribed in this section, this Special Federal Aviation Regulation (SFAR) applies to all persons who seek to manipulate the controls, act as pilot in command, provide ground training or flight training, or conduct a flight review in a Robinson model R-22 or R-44 helicopter. The requirements stated in this SFAR are in addition to the current requirements of this part.
2. Required training, aeronautical experience, endorsements, and flight review.
(a) Ground Training.
(1) Except as provided in paragraph 2(a)(2) of this SFAR, no person may manipulate the controls of a Robinson model R-22 or R-44 helicopter-for the purpose of flight unless the ground training specified in paragraph 2(a)(3) of this SFAR is completed and the person's logbook has been endorsed by a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR.
(2) A person who holds a rotorcraft category and helicopter class rating on that person's pilot certificate and meets the experience requirements of paragraph 2(b)(1) or paragraph 2(b)(2) of this SFAR may not manipulate the controls of a Robinson model R-22 or R-44 helicopter for the purpose of flight unless the ground training specified in paragraph 2(a)(3) of this SFAR is completed and the person's logbook has been endorsed by a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR.
(3) Ground training must be conducted by a flight instructor who has been authorized under paragraph 2(b)(5)(iv) of this SFAR and consists of the following general subject areas:
(i) Energy management;
(ii) Mast bumping;
(iii) Low rotor revolutions per minute (RPM) and rotor stall;
(iv) Low G conditions, effects, and proper recovery procedures; and
(v) Rotor RPM decay.
(4) The general subject areas identified in paragraph 2(a)(3) of this SFAR are intended to cover both Robinson model R-22 and R-44 helicopters.
(5) A person who can show satisfactory completion of the manufacturer's safety course may obtain an endorsement from an FAA aviation safety inspector in lieu of completing the ground training required by paragraphs 2(a)(1) and (2) of this SFAR.
(b) Aeronautical Experience.
(1) No person may act as pilot in command of a Robinson model R-22 unless that person:
(i) Has logged at least 200 flight hours in helicopters, at least 50 flight hours of which were in the Robinson model R-22 helicopter; or
(ii) Has logged at least 10 hours of flight training in the Robinson model R-22 helicopter and has received an endorsement from a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR that the individual has been given the training required by this paragraph 2(b)(1)(ii) and is proficient to act as pilot in command of an R-22. The flight training must include at least the following abnormal and emergency procedures:
(A) Training in autorotation procedures and energy management, including utilizing a combination of flight control inputs and maneuvering to prevent overshooting or undershooting the selected landing area from an entry altitude that permits safe recovery;
(B) Autorotations at an entry altitude that permits safe maneuvering and recovery utilizing maximum glide configuration;
(C) Engine rotor RPM control without the use of the governor; and
(D) Low rotor RPM recognition and recovery.
(iii) Pilots who do not meet the experience requirement of paragraph 2(b)(1)(i) of this SFAR may not act as pilot in command of a Robinson model R-22 helicopter beginning 12 calendar months after the date of the endorsement identified in paragraph 2(b)(1)(ii) of this SFAR until those pilots have:
(A) Completed a flight review of the ground training subject areas identified by paragraph 2(a)(3) of this SFAR and the flight training identified in paragraph 2(b)(1)(ii) of this SFAR in an R-22; and
(B) Obtained an endorsement for that flight review from a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR.
(2) No person may act as pilot in command of a Robinson model R-44 helicopter unless that person—
(i) Has logged at least 200 flight hours in helicopters, at least 50 flight hours of which were in the Robinson model R-44 helicopter. The pilot in command may credit up to 25 flight hours in the Robinson model R-22 helicopter toward the 50-hour requirement in the Robinson model R-44 helicopter; or
(ii) Has logged at least 10 hours of flight training in a Robinson helicopter, at least 5 hours of which must have been accomplished in the Robinson model R-44 helicopter, and has received an endorsement from a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR that the individual has been given the training required by this paragraph 2(b)(2)(ii) and is proficient to act as pilot in command of an R-44. The flight training must include at least the following abnormal and emergency procedures—
(A) Training in autorotation procedures and energy management, including utilizing a combination of flight control inputs and maneuvering to prevent overshooting or undershooting the selected landing area from an entry altitude that permits safe recovery;
(B) Autorotations at an entry altitude that permits safe maneuvering and recovery utilizing minimum rate of descent configuration and maximum glide configuration;
(C) Engine rotor RPM control without the use of the governor; and
(D) Low rotor RPM recognition and recovery.
(iii) Pilots who do not meet the experience requirement of paragraph 2(b)(2)(i) of this SFAR may not act as pilot in command of a Robinson model R-44 helicopter beginning 12 calendar months after the date of the endorsement identified in paragraph 2(b)(2)(ii) of this SFAR until those pilots have:
(A) Completed a flight review of the ground training subject areas identified by paragraph 2(a)(3) and the flight training identified in paragraph 2(b)(2)(ii) of this SFAR in an R-44; and
(B) Obtained an endorsement for that flight review from a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR.
(3) A person who does not hold a rotorcraft category and helicopter class rating must have logged at least 20 hours of flight training in a Robinson model R-22 helicopter from a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR prior to operating it in solo flight. In addition, the person must obtain an endorsement from a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR that training has been given in those maneuvers and procedures, and the instructor has found the applicant proficient to solo a Robinson model R-22 helicopter. This endorsement is valid for a period of 90 days. The flight training must include at least the following abnormal and emergency procedures:
(i) Training in autorotation procedures and energy management, including utilizing a combination of flight control inputs and maneuvering to prevent overshooting or undershooting the selected landing area from an entry altitude that permits safe recovery;
(ii) Autorotations at an entry altitude that permits safe maneuvering and recovery utilizing maximum glide configuration;
(iii) Engine rotor RPM control without the use of the governor; and
(iv) Low rotor RPM recognition and recovery.
(4) A person who does not hold a rotorcraft category and helicopter class rating must have logged at least 20 hours of flight training in a Robinson model R-44 helicopter from a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR prior to operating it in solo flight. In addition, the person must obtain an endorsement from a flight instructor authorized under paragraph 2(b)(5)(iv) of this SFAR that training has been given in those maneuvers and procedures and the instructor has found the applicant proficient to solo a Robinson model R-44 helicopter. This endorsement is valid for a period of 90 days. The flight training must include at least the following abnormal and emergency procedures:
(i) Training in autorotation procedures and energy management, including utilizing a combination of flight control inputs and maneuvering to prevent overshooting or undershooting the selected landing area from an entry altitude that permits safe recovery;
(ii) Autorotations at an entry altitude that permits safe maneuvering and recovery utilizing minimum rate of descent configuration and maximum glide configuration;
(iii) Engine rotor RPM control without the use of the governor, and
(iv) Low rotor RPM recognition and recovery.
(5) No flight instructor may provide training or conduct a flight review in a Robinson R-22 or R-44 unless that instructor—
(i) Completes the ground training in paragraph 2(a) of this SFAR.
(ii) For the Robinson model R-22 helicopter, has logged at least 200 flight hours in helicopters, at least 50 flight hours of which were in the Robinson model R-22 helicopter, or for the Robinson model R-44 helicopter, logged at least 200 flight hours in helicopters, 50 flight hours of which were in Robinson helicopters. Up to 25 flight hours of Robinson model R-22 helicopter flight time may be credited toward the 50-hour requirement.
(iii) Has completed flight training in a Robinson model R-22 or R-44 helicopter, or both, on the following abnormal and emergency procedures—
(A) Training in autorotation procedures and energy management, including utilizing a combination of flight control inputs and maneuvering to prevent overshooting or undershooting the selected landing area from an entry altitude that permits safe recovery;
(B) For the Robinson model R-22 helicopter, autorotations at an entry altitude that permits safe maneuvering and recovery utilizing maximum glide configuration. For the Robinson model R-44 helicopter, autorotations at an entry altitude that permits safe maneuvering and recovery utilizing maximum glide configuration and minimum rate of descent configuration;
(C) Engine rotor RPM control without the use of the governor; and
(D) Low rotor RPM recognition and recovery.
(iv) Has been authorized by endorsement from an FAA aviation safety inspector or authorized designated examiner that the instructor has completed the appropriate training, meets the experience requirements, and has satisfactorily demonstrated an ability to provide training on the general subject areas of paragraph 2(a)(3) of this SFAR, and the flight training identified in paragraph 2(b)(5)(iii) of this SFAR.
(c) Flight Review.
(1) No flight review completed to satisfy § 61.56 by an individual after becoming eligible to function as pilot in command in a Robinson model R-22 helicopter shall be valid for the operation of an R-22 unless that flight review was taken in an R-22.
(2) No flight review completed to satisfy § 61.56 by an individual after becoming eligible to function as pilot in command in a Robinson model R-44 helicopter shall be valid for the operation of an R-44 unless that flight review was taken in the R-44.
(3) The flight review will include a review of the ground training subject areas of paragraph 2(a)(3) of this SFAR and flight training in abnormal and emergency procedures in the Robinson model R-22 or R-44 helicopter, as appropriate, identified in paragraph 2(b) of this SFAR.
(d) Currency Requirements. No person may act as pilot in command of a Robinson model R-22 or R-44 helicopter carrying passengers unless the pilot in command has met the recency of flight experience requirements of § 61.57 in an R-22 or R-44, as appropriate.
3. Expiration date. This SFAR expires August 22, 2029, unless sooner revised or rescinded.
(a) Except as provided in parts 107 and 194 of this chapter, this part prescribes:
(1) The requirements for issuing pilot, flight instructor, and ground instructor certificates and ratings; the conditions under which those certificates and ratings are necessary; and the privileges and limitations of those certificates and ratings.
(2) The requirements for issuing pilot, flight instructor, and ground instructor authorizations; the conditions under which those authorizations are necessary; and the privileges and limitations of those authorizations.
(3) The requirements for issuing pilot, flight instructor, and ground instructor certificates and ratings for persons who have taken courses approved by the Administrator under other parts of this chapter.
(b) For the purpose of this part:
Accredited has the same meaning as defined by the Department of Education in 34 CFR 600.2.
Aeronautical experience means pilot time obtained in an aircraft, flight simulator, or flight training device for meeting the appropriate training and flight time requirements for an airman certificate, rating, flight review, or recency of flight experience requirements of this part.
Authorized instructor means—
(i) A person who holds a ground instructor certificate issued under part 61 of this chapter and is in compliance with § 61.217, when conducting ground training in accordance with the privileges and limitations of his or her ground instructor certificate;
(ii) A person who holds a flight instructor certificate issued under part 61 of this chapter and is in compliance with § 61.197, when conducting ground training or flight training in accordance with the privileges and limitations of his or her flight instructor certificate; or
(iii) A person authorized by the Administrator to provide ground training or flight training under part 61, 121, 135, or 142 of this chapter when conducting ground training or flight training in accordance with that authority.
Aviation training device means a training device, other than a full flight simulator or flight training device, that has been evaluated, qualified, and approved by the Administrator.
Complex airplane means an airplane that has a retractable landing gear, flaps, and a controllable pitch propeller, including airplanes equipped with an engine control system consisting of a digital computer and associated accessories for controlling the engine and propeller, such as a full authority digital engine control; or, in the case of a seaplane, flaps and a controllable pitch propeller, including seaplanes equipped with an engine control system consisting of a digital computer and associated accessories for controlling the engine and propeller, such as a full authority digital engine control.
Cross-country time means—
(i) Except as provided in paragraphs (ii) through (vii) of this definition, time acquired during flight—
(A) Conducted by a person who holds a pilot certificate;
(B) Conducted in an aircraft;
(C) That includes a landing at a point other than the point of departure; and
(D) That involves the use of dead reckoning, pilotage, electronic navigation aids, radio aids, or other navigation systems to navigate to the landing point.
(ii) For the purpose of meeting the aeronautical experience requirements (except for a rotorcraft category rating), for a private pilot certificate (except for a powered parachute category rating), a commercial pilot certificate, or an instrument rating, or for the purpose of exercising recreational pilot privileges (except in a rotorcraft) under § 61.101 (c), time acquired during a flight—
(A) Conducted in an appropriate aircraft;
(B) That includes a point of landing that was at least a straight-line distance of more than 50 nautical miles from the original point of departure; and
(C) That involves the use of dead reckoning, pilotage, electronic navigation aids, radio aids, or other navigation systems to navigate to the landing point.
(iii) For the purpose of meeting the aeronautical experience requirements for a sport pilot certificate (except for powered parachute privileges), time acquired during a flight conducted in an appropriate aircraft that—
(A) Includes a point of landing at least a straight line distance of more than 25 nautical miles from the original point of departure; and
(B) Involves, as applicable, the use of dead reckoning; pilotage; electronic navigation aids; radio aids; or other navigation systems to navigate to the landing point.
(iv) For the purpose of meeting the aeronautical experience requirements for a sport pilot certificate with powered parachute privileges or a private pilot certificate with a powered parachute category rating, time acquired during a flight conducted in an appropriate aircraft that—
(A) Includes a point of landing at least a straight line distance of more than 15 nautical miles from the original point of departure; and
(B) Involves, as applicable, the use of dead reckoning; pilotage; electronic navigation aids; radio aids; or other navigation systems to navigate to the landing point.
(v) For the purpose of meeting the aeronautical experience requirements for any pilot certificate with a rotorcraft category rating or an instrument-helicopter rating, or for the purpose of exercising recreational pilot privileges, in a rotorcraft, under § 61.101(c), time acquired during a flight—
(A) Conducted in an appropriate aircraft;
(B) That includes a point of landing that was at least a straight-line distance of more than 25 nautical miles from the original point of departure; and
(C) That involves the use of dead reckoning, pilotage, electronic navigation aids, radio aids, or other navigation systems to navigate to the landing point.
(vi) For the purpose of meeting the aeronautical experience requirements for an airline transport pilot certificate (except with a rotorcraft category rating), time acquired during a flight—
(A) Conducted in an appropriate aircraft;
(B) That is at least a straight-line distance of more than 50 nautical miles from the original point of departure; and
(C) That involves the use of dead reckoning, pilotage, electronic navigation aids, radio aids, or other navigation systems.
(vii) For a military pilot who qualifies for a commercial pilot certificate (except with a rotorcraft category rating) under § 61.73 of this part, time acquired during a flight—
(A) Conducted in an appropriate aircraft;
(B) That is at least a straight-line distance of more than 50 nautical miles from the original point of departure; and
(C) That involves the use of dead reckoning, pilotage, electronic navigation aids, radio aids, or other navigation systems.
Examiner means any person who is authorized by the Administrator to conduct a pilot proficiency test or a practical test for an airman certificate or rating issued under this part, or a person who is authorized to conduct a knowledge test under this part.
Flight training means that training, other than ground training, received from an authorized instructor in flight in an aircraft.
Ground training means that training, other than flight training, received from an authorized instructor.
Institution of higher education has the same meaning as defined by the Department of Education in 34 CFR 600.4.
Instrument approach means an approach procedure defined in part 97 of this chapter.
Instrument training means that time in which instrument training is received from an authorized instructor under actual or simulated instrument conditions.
Knowledge test means a test on the aeronautical knowledge areas required for an airman certificate or rating that can be administered in written form or by a computer.
Nationally recognized accrediting agency has the same meaning as defined by the Department of Education in 34 CFR 600.2.
Night vision goggles means an appliance worn by a pilot that enhances the pilot's ability to maintain visual surface reference at night.
Night vision goggle operation means the portion of a flight that occurs during the time period from 1 hour after sunset to 1 hour before sunrise where the pilot maintains visual surface reference using night vision goggles in an aircraft that is approved for such an operation.
Passenger means any person on board an aircraft other than a crewmember, FAA personnel, manufacturer personnel required for type certification, or a person receiving or providing flight training, checking, or testing as authorized by this part.
Pilot time means that time in which a person—
(i) Serves as a required pilot flight crewmember;
(ii) Receives training from an authorized instructor in an aircraft, full flight simulator, flight training device, or aviation training device;
(iii) Gives training as an authorized instructor in an aircraft, full flight simulator, flight training device, or aviation training device; or
(iv) Serves as second in command in operations conducted in accordance with § 135.99(c) of this chapter when a second pilot is not required under the type certification of the aircraft or the regulations under which the flight is being conducted, provided the requirements in § 61.159(c) are satisfied.
Practical test means a test on the areas of operations for an airman certificate, rating, or authorization that is conducted by having the applicant respond to questions and demonstrate maneuvers in flight, in a flight simulator, or in a flight training device.
Set of aircraft means aircraft that share similar performance characteristics, such as similar airspeed and altitude operating envelopes, similar handling characteristics, and the same number and type of propulsion systems.
Student pilot seeking a sport pilot certificate means a person who has received an endorsement—
(i) To exercise student pilot privileges from a certificated flight instructor with a sport pilot rating; or
(ii) That includes a limitation for the operation of an aircraft specified in § 61.89(c) issued by a certificated flight instructor with other than a sport pilot rating.
Technically advanced airplane (TAA) means an airplane equipped with an electronically advanced avionics system.
Training time means training received—
(i) In flight from an authorized instructor;
(ii) On the ground from an authorized instructor; or
(iii) In a flight simulator or flight training device from an authorized instructor.
(a) Validity. No person may:
(1) Exercise privileges of a certificate, rating, endorsement, or authorization issued under this part if the certificate, rating or authorization is surrendered, suspended, revoked or expired.
(2) Exercise privileges of a flight instructor certificate if that flight instructor certificate is surrendered, suspended, revoked or expired.
(3) Exercise privileges of a foreign pilot certificate to operate an aircraft of foreign registry under § 61.3(b) if the certificate is surrendered, suspended, revoked or expired.
(4) Exercise privileges of a pilot certificate issued under § 61.75, or an authorization issued under § 61.77, if the foreign pilot certificate relied upon for the issuance of the U.S. pilot certificate or authorization is surrendered, suspended, revoked or expired.
(5) Exercise privileges of a medical certificate issued under part 67 to meet any requirements of part 61 if the medical certificate is surrendered, suspended, revoked or expired according to the duration standards set forth in § 61.23(d).
(6) Use an official government issued driver's license to meet any requirements of part 61 related to holding that driver's license, if the driver's license is surrendered, suspended, revoked or expired.
(b) Currency. No person may:
(1) Exercise privileges of an airman certificate, rating, endorsement, or authorization issued under this part unless that person meets the appropriate airman recent experience and medical requirements of this part, specific to the operation or activity.
(2) Exercise privileges of a foreign pilot license within the United States to conduct an operation described in § 61.3(b), unless that person meets the appropriate airman recent experience and medical requirements of the country that issued the license, specific to the operation.
(a) Required pilot certificate for operating a civil aircraft of the United States. No person may serve as a required pilot flight crewmember of a civil aircraft of the United States, unless that person:
(1) Has in the person's physical possession or readily accessible in the aircraft when exercising the privileges of that pilot certificate or authorization—
(i) A pilot certificate issued under this part and in accordance with § 61.19;
(ii) A special purpose pilot authorization issued under § 61.77;
(iii) A temporary certificate issued under § 61.17;
(iv) A document conveying temporary authority to exercise certificate privileges issued by the Airmen Certification Branch under § 61.29(e);
(v) When engaged in a flight operation within the United States for a part 119 certificate holder authorized to conduct operations under part 121 or 135 of this chapter, a temporary document provided by that certificate holder under an approved certificate verification plan;
(vi) When engaged in a flight operation within the United States for a fractional ownership program manager authorized to conduct operations under part 91, subpart K, of this chapter, a temporary document provided by that program manager under an approved certificate verification plan; or
(vii) When operating an aircraft within a foreign country, a pilot license issued by that country may be used.
(2) Has a photo identification that is in that person's physical possession or readily accessible in the aircraft when exercising the privileges of that pilot certificate or authorization. The photo identification must be a:
(i) Driver's license issued by a State, the District of Columbia, or territory or possession of the United States;
(ii) Government identification card issued by the Federal government, a State, the District of Columbia, or a territory or possession of the United States;
(iii) U.S. Armed Forces' identification card;
(iv) Official passport;
(v) Credential that authorizes unescorted access to a security identification display area at an airport regulated under 49 CFR part 1542; or
(vi) Other form of identification that the Administrator finds acceptable.
(b) Required pilot certificate for operating a foreign-registered aircraft within the United States. No person may serve as a required pilot flight crewmember of a civil aircraft of foreign registry within the United States, unless—
(1) That person's pilot certificate or document issued under § 61.29(e) is in that person's physical possession or readily accessible in the aircraft when exercising the privileges of that pilot certificate; and
(2) Has been issued in accordance with this part, or has been issued or validated by the country in which the aircraft is registered.
(c) Medical certificate. (1) A person may serve as a required pilot flight crewmember of an aircraft only if that person holds the appropriate medical certificate issued under part 67 of this chapter, or other documentation acceptable to the FAA, that is in that person's physical possession or readily accessible in the aircraft. Paragraph (c)(2) of this section provides certain exceptions to the requirement to hold a medical certificate.
(2) A person is not required to meet the requirements of paragraph (c)(1) of this section if that person—
(i) Is exercising the privileges of a student pilot certificate while seeking a pilot certificate with a glider category rating, a balloon class rating, or glider or balloon privileges;
(ii) Is exercising the privileges of a student pilot certificate while seeking a sport pilot certificate with other than glider or balloon privileges and holds a U.S. driver's license;
(iii) Is exercising the privileges of a student pilot certificate while seeking a pilot certificate with a weight-shift-control aircraft category rating or a powered parachute category rating and holds a U.S. driver's license;
(iv) Is exercising the privileges of a sport pilot certificate with glider or balloon privileges;
(v) Is exercising the privileges of a sport pilot certificate with other than glider or balloon privileges and holds a U.S. driver's license. A person who has applied for or held a medical certificate may exercise the privileges of a sport pilot certificate using a U.S. driver's license only if that person—
(A) Has been found eligible for the issuance of at least a third-class airman medical certificate at the time of his or her most recent application; and
(B) Has not had his or her most recently issued medical certificate suspended or revoked or most recent Authorization for a Special Issuance of a Medical Certificate withdrawn.
(vi) Is holding a pilot certificate with a balloon class rating and that person—
(A) Is exercising the privileges of a private pilot certificate in a balloon; or
(B) Is providing flight training in a balloon in accordance with § 61.133(a)(2)(ii);
(vii) Is holding a pilot certificate or a flight instructor certificate with a glider category rating, and is piloting or providing training in a glider, as appropriate;
(viii) Is exercising the privileges of a flight instructor certificate, provided the person is not acting as pilot in command or as a required pilot flight crewmember;
(ix) Is exercising the privileges of a ground instructor certificate;
(x) Is operating an aircraft within a foreign country using a pilot license issued by that country and possesses evidence of current medical qualification for that license;
(xi) Is operating an aircraft with a U.S. pilot certificate, issued on the basis of a foreign pilot license, issued under § 61.75, and holds a medical certificate issued by the foreign country that issued the foreign pilot license, which is in that person's physical possession or readily accessible in the aircraft when exercising the privileges of that airman certificate;
(xii) Is a pilot of the U.S. Armed Forces, has an up-to-date U.S. military medical examination, and holds military pilot flight status;
(xiii) Is exercising the privileges of a student, recreational or private pilot certificate for operations conducted under the conditions and limitations set forth in § 61.113(i) and holds a U.S. driver's license;
(xiv) Is exercising the privileges of a flight instructor certificate and acting as pilot in command or a required flightcrew member for operations conducted under the conditions and limitations set forth in § 61.113(i) and holds a U.S. driver's license; or
(xv) Is exercising the privileges of a student pilot certificate or higher while acting as pilot in command on a special medical flight test authorized under part 67 of this chapter.
(d) Flight instructor certificate. (1) A person who holds a flight instructor certificate issued under this part must have that certificate, or other documentation acceptable to the Administrator, in that person's physical possession or readily accessible in the aircraft when exercising the privileges of that flight instructor certificate.
(2) Except as provided in paragraph (d)(3) of this section, no person other than the holder of a flight instructor certificate issued under this part with the appropriate rating on that certificate may—
(i) Give training required to qualify a person for solo flight and solo cross-country flight;
(ii) Endorse an applicant for a—
(A) Pilot certificate or rating issued under this part;
(B) Flight instructor certificate or rating issued under this part; or
(C) Ground instructor certificate or rating issued under this part;
(iii) Endorse a pilot logbook to show training given; or
(iv) Endorse a logbook for solo operating privileges.
(3) A flight instructor certificate issued under this part is not necessary—
(i) Under paragraph (d)(2) of this section, if the training is given by the holder of a commercial pilot certificate with a lighter-than-air rating, provided the training is given in accordance with the privileges of the certificate in a lighter-than-air aircraft;
(ii) Under paragraph (d)(2) of this section, if the training is given by the holder of an airline transport pilot certificate with a rating appropriate to the aircraft in which the training is given, provided the training is given in accordance with the privileges of the certificate and conducted in accordance with an approved air carrier training program approved under part 121 or part 135 of this chapter;
(iii) Under paragraph (d)(2) of this section, if the training is given by a person who is qualified in accordance with subpart C of part 142 of this chapter, provided the training is conducted in accordance with an approved part 142 training program;
(iv) Under paragraphs (d)(2)(i), (d)(2)(ii)(C), and (d)(2)(iii) of this section, if the training is given by the holder of a ground instructor certificate in accordance with the privileges of the certificate; or
(v) Under paragraph (d)(2)(iii) of this section, if the training is given by an authorized flight instructor under § 61.41 of this part.
(e) Instrument rating. No person may act as pilot in command of a civil aircraft under IFR or in weather conditions less than the minimums prescribed for VFR flight unless that person holds:
(1) The appropriate aircraft category, class, type (if a class or type rating is required), and instrument rating on that person's pilot certificate for any airplane, helicopter, or powered-lift being flown;
(2) An airline transport pilot certificate with the appropriate aircraft category, class, and type rating (if a class or type rating is required) for the aircraft being flown;
(3) For a glider, a pilot certificate with a glider category rating and an airplane instrument rating; or
(4) For an airship, a commercial pilot certificate with a lighter-than-air category rating and airship class rating.
(f) Category II pilot authorization. Except for a pilot conducting Category II operations under part 121 or part 135, a person may not:
(1) Act as pilot in command of a civil aircraft during Category II operations unless that person—
(i) Holds a Category II pilot authorization for that category or class of aircraft, and the type of aircraft, if applicable; or
(ii) In the case of a civil aircraft of foreign registry, is authorized by the country of registry to act as pilot in command of that aircraft in Category II operations.
(2) Act as second in command of a civil aircraft during Category II operations unless that person—
(i) Holds a pilot certificate with category and class ratings (if a class rating is required) for that aircraft and an instrument rating for that category aircraft;
(ii) Holds an airline transport pilot certificate with category and class ratings (if a class rating is required) for that aircraft; or
(iii) In the case of a civil aircraft of foreign registry, is authorized by the country of registry to act as second in command of that aircraft during Category II operations.
(g) Category III pilot authorization. Except for a pilot conducting Category III operations under part 121 or part 135, a person may not:
(1) Act as pilot in command of a civil aircraft during Category III operations unless that person—
(i) Holds a Category III pilot authorization for that category or class of aircraft, and the type of aircraft, if applicable; or
(ii) In the case of a civil aircraft of foreign registry, is authorized by the country of registry to act as pilot in command of that aircraft in Category III operations.
(2) Act as second in command of a civil aircraft during Category III operations unless that person—
(i) Holds a pilot certificate with category and class ratings (if a class rating is required) for that aircraft and an instrument rating for that category aircraft;
(ii) Holds an airline transport pilot certificate with category and class ratings (if a class rating is required) for that aircraft; or
(iii) In the case of a civil aircraft of foreign registry, is authorized by the country of registry to act as second in command of that aircraft during Category III operations.
(h) Category A aircraft pilot authorization. The Administrator may issue a certificate of authorization for a Category II or Category III operation to the pilot of a small aircraft that is a Category A aircraft, as identified in § 97.3(b)(1) of this chapter if:
(1) The Administrator determines that the Category II or Category III operation can be performed safely by that pilot under the terms of the certificate of authorization; and
(2) The Category II or Category III operation does not involve the carriage of persons or property for compensation or hire.
(i) Ground instructor certificate. (1) Each person who holds a ground instructor certificate issued under this part must have that certificate or a temporary document issued under § 61.29(e) in that person's physical possession or immediately accessible when exercising the privileges of that certificate.
(2) Except as provided in paragraph (i)(3) of this section, no person other than the holder of a ground instructor certificate, issued under this part or part 143, with the appropriate rating on that certificate may—
(i) Give ground training required to qualify a person for solo flight and solo cross-country flight;
(ii) Endorse an applicant for a knowledge test required for a pilot, flight instructor, or ground instructor certificate or rating issued under this part; or
(iii) Endorse a pilot logbook to show ground training given.
(3) A ground instructor certificate issued under this part is not necessary—
(i) Under paragraph (i)(2) of this section, if the training is given by the holder of a flight instructor certificate issued under this part in accordance with the privileges of that certificate;
(ii) Under paragraph (i)(2) of this section, if the training is given by the holder of a commercial pilot certificate with a lighter-than-air rating, provided the training is given in accordance with the privileges of the certificate in a lighter-than-air aircraft;
(iii) Under paragraph (i)(2) of this section, if the training is given by the holder of an airline transport pilot certificate with a rating appropriate to the aircraft in which the training is given, provided the training is given in accordance with the privileges of the certificate and conducted in accordance with an approved air carrier training program approved under part 121 or part 135 of this chapter;
(iv) Under paragraph (i)(2) of this section, if the training is given by a person who is qualified in accordance with subpart C of part 142 of this chapter, provided the training is conducted in accordance with an approved part 142 training program; or
(v) Under paragraph (i)(2)(iii) of this section, if the training is given by an authorized flight instructor under § 61.41 of this part.
(j) Age limitation for certain operations. (1) Age limitation. No person who holds a pilot certificate issued under this part may serve as a pilot on a civil airplane of U.S. registry in the following operations if the person has reached his or her 60th birthday or, in the case of operations with more than one pilot, his or her 65th birthday:
(i) Scheduled international air services carrying passengers in turbojet-powered airplanes;
(ii) Scheduled international air services carrying passengers in airplanes having a passenger-seat configuration of more than nine passenger seats, excluding each crewmember seat;
(iii) Nonscheduled international air transportation for compensation or hire in airplanes having a passenger-seat configuration of more than 30 passenger seats, excluding each crewmember seat; or
(iv) Scheduled international air services, or nonscheduled international air transportation for compensation or hire, in airplanes having a payload capacity of more than 7,500 pounds.
(2) Definitions. (i) “International air service,” as used in this paragraph (j), means scheduled air service performed in airplanes for the public transport of passengers, mail, or cargo, in which the service passes through the airspace over the territory of more than one country.
(ii) “International air transportation,” as used in this paragraph (j), means air transportation performed in airplanes for the public transport of passengers, mail, or cargo, in which the service passes through the airspace over the territory of more than one country.
(k) Special purpose pilot authorization. Any person that is required to hold a special purpose pilot authorization, issued in accordance with § 61.77 of this part, must have that authorization and the person's foreign pilot license in that person's physical possession or have it readily accessible in the aircraft when exercising the privileges of that authorization.
(l) Inspection of certificate. Each person who holds an airman certificate, temporary document in accordance with paragraph (a)(1)(v) or (vi) of this section, medical certificate, documents establishing alternative medical qualification under part 68 of this chapter, authorization, or license required by this part must present it and their photo identification as described in paragraph (a)(2) of this section for inspection upon a request from:
(1) The Administrator;
(2) An authorized representative of the National Transportation Safety Board;
(3) Any Federal, State, or local law enforcement officer; or
(4) An authorized representative of the Transportation Security Administration.
(m) For a person who possesses a sport pilot certificate. No person may exercise sport pilot privileges under § 61.313 unless that person receives a qualifying logbook endorsement under § 61.317 or § 61.321 of this part for the appropriate category and class privilege. The requirement in this paragraph (m) does not apply to a person who already holds the appropriate category and class rating on their pilot certificate.
(a) Except as specified in paragraph (b) or (c) of this section, each flight simulator and flight training device used for training, and for which an airman is to receive credit to satisfy any training, testing, or checking requirement under this chapter, must be qualified and approved by the Administrator for—
(1) The training, testing, and checking for which it is used;
(2) Each particular maneuver, procedure, or crewmember function performed; and
(3) The representation of the specific category and class of aircraft, type of aircraft, particular variation within the type of aircraft, or set of aircraft for certain flight training devices.
(b) Any device used for flight training, testing, or checking that has been determined to be acceptable to or approved by the Administrator prior to August 1, 1996, which can be shown to function as originally designed, is considered to be a flight training device, provided it is used for the same purposes for which it was originally accepted or approved and only to the extent of such acceptance or approval.
(c) The Administrator may approve a device other than a flight simulator or flight training device for specific purposes.
(a) The following certificates are issued under this part to an applicant who satisfactorily accomplishes the training and certification requirements for the certificate sought:
(1) Pilot certificates—
(i) Student pilot.
(ii) Sport pilot.
(iii) Recreational pilot.
(iv) Private pilot.
(v) Commercial pilot.
(vi) Airline transport pilot.
(2) Flight instructor certificates.
(3) Ground instructor certificates.
(b) The following ratings are placed on a pilot certificate (other than student pilot) when an applicant satisfactorily accomplishes the training and certification requirements for the rating sought:
(1) Aircraft category ratings—
(i) Airplane.
(ii) Rotorcraft.
(iii) Glider.
(iv) Lighter-than-air.
(v) Powered-lift.
(vi) Powered parachute.
(vii) Weight-shift-control aircraft.
(2) Airplane class ratings—
(i) Single-engine land.
(ii) Multiengine land.
(iii) Single-engine sea.
(iv) Multiengine sea.
(3) Rotorcraft class ratings—
(i) Helicopter.
(ii) Gyroplane.
(4) Lighter-than-air class ratings—
(i) Airship.
(ii) Balloon.
(5) Weight-shift-control aircraft class ratings—
(i) Weight-shift-control aircraft land.
(ii) Weight-shift-control aircraft sea.
(6) Powered parachute class ratings—
(i) Powered parachute land.
(ii) Powered parachute sea.
(7) Aircraft type ratings—
(i) Large aircraft other than lighter-than-air.
(ii) Turbojet-powered airplanes.
(iii) Powered-lift.
(iv) Other aircraft type ratings specified by the Administrator through the aircraft type certification procedures.
(8) Instrument ratings (on private and commercial pilot certificates only)—
(i) Instrument—Airplane.
(ii) Instrument—Helicopter.
(iii) Instrument—Powered-lift.
(9) Second-in-command pilot type rating for aircraft that is certificated for operations with a minimum crew of at least two pilots.
(c) The following ratings are placed on a flight instructor certificate when an applicant satisfactorily accomplishes the training and certification requirements for the rating sought:
(1) Aircraft category ratings—
(i) Airplane.
(ii) Rotorcraft.
(iii) Glider.
(iv) Powered-lift.
(2) Airplane class ratings—
(i) Single-engine.
(ii) Multiengine.
(3) Rotorcraft class ratings—
(i) Helicopter.
(ii) Gyroplane.
(4) Instrument ratings—
(i) Instrument—Airplane.
(ii) Instrument—Helicopter.
(iii) Instrument—Powered-lift.
(5) Sport pilot rating.
(d) The following ratings are placed on a ground instructor certificate when an applicant satisfactorily accomplishes the training and certification requirements for the rating sought:
(1) Basic.
(2) Advanced.
(3) Instrument.
(a) The holder of a free-balloon pilot certificate issued before November 1, 1973, may not exercise the privileges of that certificate.
(b) The holder of a pilot certificate that bears any of the following category ratings without an associated class rating may not exercise the privileges of that category rating:
(1) Rotorcraft.
(2) Lighter-than-air.
(3) Helicopter.
(4) Autogyro.
Any action conducted pursuant to part 107 of this chapter cannot be used to meet the requirements of this part.
Notwithstanding the requirements specified in § 61.51(c), any pilot time acquired while operating an airplane or helicopter with a simplified flight controls designation may not be used to satisfy the following aeronautical experience requirements for a private, commercial, or airline transport pilot certificate, except for private pilot applicants who present an aircraft with the simplified flight controls designation to conduct the practical test—
(a) The solo flight time requirements in § 61.109(a)(5) or (c)(4);
(b) The PIC flight time requirements in § 61.129(a)(2)(i) and (c)(2)(i);
(c) The PIC flight time requirements in § 61.159(a)(5); and
(d) The PIC flight time requirements in § 61.161(a)(3).
(a) No person who holds an expired pilot certificate or rating may act as pilot in command or as a required pilot flight crewmember of an aircraft of the same category or class that is listed on that expired pilot certificate or rating.
(b) The following pilot certificates and ratings have expired and will not be reissued:
(1) An airline transport pilot certificate issued before May 1, 1949, or an airline transport pilot certificate that contains a horsepower limitation.
(2) A private or commercial pilot certificate issued before July 1, 1945.
(3) A pilot certificate with a lighter-than-air or free-balloon rating issued before July 1, 1945.
(c) An airline transport pilot certificate that was issued after April 30, 1949, and that bears an expiration date but does not contain a horsepower limitation, may have that airline transport pilot certificate re-issued without an expiration date.
(d) A private or commercial pilot certificate that was issued after June 30, 1945, and that bears an expiration date, may have that pilot certificate reissued without an expiration date.
(e) A pilot certificate with a lighter-than-air or free-balloon rating that was issued after June 30, 1945, and that bears an expiration date, may have that pilot certificate reissued without an expiration date.
(a) Application. (1) An applicant for an airman certificate, rating, or authorization under this part must make that application on a form and in a manner acceptable to the Administrator.
(2) An applicant must show evidence that the appropriate fee prescribed in appendix A to part 187 of this chapter has been paid when that person applies for airmen certification services administered outside the United States.
(3) An applicant who is neither a citizen of the United States nor a resident alien of the United States may be refused issuance of any U.S. airman certificate, rating or authorization by the Administrator.
(4) Except as provided in paragraph (a)(3) of this section, an applicant who satisfactorily accomplishes the training and certification requirements for the certificate, rating, or authorization sought is entitled to receive that airman certificate, rating, or authorization.
(b) Limitations. (1) An applicant who cannot comply with certain areas of operation required on the practical test because of physical limitations may be issued an airman certificate, rating, or authorization with the appropriate limitation placed on the applicant's airman certificate provided the—
(i) Applicant is able to meet all other certification requirements for the airman certificate, rating, or authorization sought;
(ii) Physical limitation has been recorded with the FAA on the applicant's medical records; and
(iii) Administrator determines that the applicant's inability to perform the particular area of operation will not adversely affect safety.
(2) A limitation placed on a person's airman certificate may be removed, provided that person demonstrates for an examiner satisfactory proficiency in the area of operation appropriate to the airman certificate, rating, or authorization sought.
(c) Additional requirements for Category II and Category III pilot authorizations. (1) A Category II or Category III pilot authorization is issued by a letter of authorization as part of an applicant's instrument rating or airline transport pilot certificate.
(2) Upon original issue, the authorization contains the following limitations:
(i) For Category II operations, the limitation is 1,600 feet RVR and a 150-foot decision height; and
(ii) For Category III operations, each initial limitation is specified in the authorization document.
(3) The limitations on a Category II or Category III pilot authorization may be removed as follows:
(i) In the case of Category II limitations, a limitation is removed when the holder shows that, since the beginning of the sixth preceding month, the holder has made three Category II ILS approaches with a 150-foot decision height to a landing under actual or simulated instrument conditions.
(ii) In the case of Category III limitations, a limitation is removed as specified in the authorization.
(4) To meet the experience requirements of paragraph (c)(3) of this section, and for the practical test required by this part for a Category II or a Category III pilot authorization, a flight simulator or flight training device may be used if it is approved by the Administrator for such use.
(d) Application during suspension or revocation. (1) Unless otherwise authorized by the Administrator, a person whose pilot, flight instructor, or ground instructor certificate has been suspended may not apply for any certificate, rating, or authorization during the period of suspension.
(2) Unless otherwise authorized by the Administrator, a person whose pilot, flight instructor, or ground instructor certificate has been revoked may not apply for any certificate, rating, or authorization for 1 year after the date of revocation.
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by reference (IBR) material is available for inspection at the Federal Aviation Administration (FAA) and at the National Archives and Records Administration (NARA). Contact FAA, Training and Certification Group, 202-267-1100, ACSPTSinquiries@faa.gov. For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations or email fr.inspection@nara.gov. The material may be obtained from the Federal Aviation Administration, 800 Independence Avenue SW, Washington DC 20591, 866-835-5322, www.faa.gov/training_testing.
(a) Practical Test Standards. (1) FAA-S-8081-3B, Recreational Pilot Practical Test Standards for Airplane Category and Rotorcraft Category, November 2023; IBR approved for § 61.43 and appendix A to this part.
(2) FAA-S-8081-7C, Flight Instructor Practical Test Standards for Rotorcraft Category Gyroplane Rating, November 2023; IBR approved for § 61.43 and appendix A to this part.
(3) FAA-S-8081-8C, Flight Instructor Practical Test Standards for Glider Category, November 2023; IBR approved for § 61.43 and appendix A to this part.
(4) FAA-S-8081-9E, Flight Instructor Instrument Practical Test Standards for Airplane Rating and Helicopter Rating, November 2023; IBR approved for § 61.43 and appendix A to this part.
(5) FAA-S-8081-15B, Private Pilot Practical Test Standards for Rotorcraft Category Gyroplane Rating, November 2023; IBR approved for § 61.43 and appendix A to this part.
(6) FAA-S-8081-16C, Commercial Pilot Practical Test Standards for Rotorcraft Category Gyroplane Rating, November 2023; IBR approved for § 61.43 and appendix A to this part.
(7) FAA-S-8081-17A, Private Pilot Practical Test Standards for Lighter-Than-Air Category, November 2023; IBR approved for § 61.43 and appendix A to this part.
(8) FAA-S-8081-18A, Commercial Pilot Practical Test Standards for Lighter-Than-Air Category, November 2023; IBR approved for § 61.43 and appendix A to this part.
(9) FAA-S-8081-20A, Airline Transport Pilot and Aircraft Type Rating Practical Test Standards for Rotorcraft Category Helicopter Rating, November 2023; IBR approved for §§ 61.43 and 61.58, and appendix A to this part.
(10) FAA-S-8081-22A, Private Pilot Practical Test Standards for Glider Category, November 2023; IBR approved for § 61.43 and appendix A to this part.
(11) FAA-S-8081-23B, Commercial Pilot Practical Test Standards for Glider Category, November 2023; IBR approved for § 61.43 and appendix A to this part.
(12) FAA-S-8081-29A, Sport Pilot and Sport Pilot Flight Instructor Rating Practical Test Standards for Airplane Category, Rotorcraft Category, and Glider Category, November 2023; IBR approved for §§ 61.43, 61.321, and 61.419, and appendix A to this part.
(13) FAA-S-8081-30A, Sport Pilot and Sport Pilot Flight Instructor Rating Practical Test Standards for Lighter-Than-Air Category, November 2023; IBR approved for §§ 61.43, 61.321, and 61.419, and appendix A to this part.
(14) FAA-S-8081-31A, Sport Pilot and Sport Pilot Flight Instructor Practical Test Standards for Powered Parachute Category and Weight-Shift-Control Aircraft Category, November 2023; IBR approved for §§ 61.43, 61.321, and 61.419, and appendix A to this part.
(15) FAA-S-8081-32A Private Pilot Practical Test Standards for Powered Parachute Category and Weight-Shift-Control Aircraft Category, November 2023; IBR approved for § 61.43 and appendix A to this part.
(b) Airman Certification Standards. (1) FAA-S-ACS-2, Commercial Pilot for Powered-Lift Category Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(2) FAA-S-ACS-3, Instrument Rating—Powered-Lift Airman Certification Standards, November 2023; IBR approved for §§ 61.43 and 61.57, and appendix A to this part.
(3) FAA-S-ACS-6C, Private Pilot for Airplane Category Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(4) FAA-S-ACS-7B, Commercial Pilot for Airplane Category Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(5) FAA-S-ACS-8C, Instrument Rating—Airplane Airman Certification Standards, November 2023; IBR approved for §§ 61.43 and 61.57, and appendix A to this part.
(6) FAA-S-ACS-11A, Airline Transport Pilot and Type Rating for Airplane Category Airman Certification Standards, November 2023; IBR approved for §§ 61.43 and 61.58, and appendix A to this part.
(7) FAA-S-ACS-13, Private Pilot for Powered-Lift Category Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(8) FAA-S-ACS-14, Instrument Rating—Helicopter Airman Certification Standards, November 2023; IBR approved for §§ 61.43 and 61.57, and appendix A to this part.
(9) FAA-S-ACS-15, Private Pilot for Rotorcraft Category Helicopter Rating Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(10) FAA-S-ACS-16, Commercial Pilot for Rotorcraft Category Helicopter Rating Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(11) FAA-S-ACS-17, Airline Transport Pilot and Type Rating for Powered-Lift Category Airman Certification Standards, November 2023; IBR approved for §§ 61.43 and 61.58, and appendix A to this part.
(12) FAA-S-ACS-25, Flight Instructor for Airplane Category Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(13) FAA-S-ACS-26, Sport Pilot for Rotorcraft Category Helicopter—Simplified Flight Controls Privilege Airman Certification Standards, July 2025, IBR approved for §§ 61.43, 61.321, and appendix A to this part.
(14) FAA-S-ACS-27, Flight Instructor for Powered-Lift Category Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(15) FAA-S-ACS-28, Flight Instructor—Instrument Rating Powered-Lift Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(16) FAA-S-ACS-29, Flight Instructor for Rotorcraft Category Helicopter Rating Airman Certification Standards, November 2023; IBR approved for § 61.43 and appendix A to this part.
(17) FAA-S-ACS-31, Flight Instructor with a Sport Pilot Rating for Rotorcraft Category Helicopter—Simplified Flight Controls Privilege Airman Certification Standards, July 2025, IBR approved for §§ 61.43, 61.419, and appendix A to this part.
(a) A conviction for the violation of any Federal or State statute relating to the growing, processing, manufacture, sale, disposition, possession, transportation, or importation of narcotic drugs, marijuana, or depressant or stimulant drugs or substances is grounds for:
(1) Denial of an application for any certificate, rating, or authorization issued under this part for a period of up to 1 year after the date of final conviction; or
(2) Suspension or revocation of any certificate, rating, or authorization issued under this part.
(b) Committing an act prohibited by § 91.17(a) or § 91.19(a) of this chapter is grounds for:
(1) Denial of an application for a certificate, rating, or authorization issued under this part for a period of up to 1 year after the date of that act; or
(2) Suspension or revocation of any certificate, rating, or authorization issued under this part.
(c) For the purposes of paragraphs (d), (e), and (f) of this section, a motor vehicle action means:
(1) A conviction after November 29, 1990, for the violation of any Federal or State statute relating to the operation of a motor vehicle while intoxicated by alcohol or a drug, while impaired by alcohol or a drug, or while under the influence of alcohol or a drug;
(2) The cancellation, suspension, or revocation of a license to operate a motor vehicle after November 29, 1990, for a cause related to the operation of a motor vehicle while intoxicated by alcohol or a drug, while impaired by alcohol or a drug, or while under the influence of alcohol or a drug; or
(3) The denial after November 29, 1990, of an application for a license to operate a motor vehicle for a cause related to the operation of a motor vehicle while intoxicated by alcohol or a drug, while impaired by alcohol or a drug, or while under the influence of alcohol or a drug.
(d) Except for a motor vehicle action that results from the same incident or arises out of the same factual circumstances, a motor vehicle action occurring within 3 years of a previous motor vehicle action is grounds for:
(1) Denial of an application for any certificate, rating, or authorization issued under this part for a period of up to 1 year after the date of the last motor vehicle action; or
(2) Suspension or revocation of any certificate, rating, or authorization issued under this part.
(e) Each person holding a certificate issued under this part shall provide a written report of each motor vehicle action to the FAA, Civil Aviation Security Division (AMC-700), P.O. Box 25810, Oklahoma City, OK 73125, not later than 60 days after the motor vehicle action. The report must include:
(1) The person's name, address, date of birth, and airman certificate number;
(2) The type of violation that resulted in the conviction or the administrative action;
(3) The date of the conviction or administrative action;
(4) The State that holds the record of conviction or administrative action; and
(5) A statement of whether the motor vehicle action resulted from the same incident or arose out of the same factual circumstances related to a previously reported motor vehicle action.
(f) Failure to comply with paragraph (e) of this section is grounds for:
(1) Denial of an application for any certificate, rating, or authorization issued under this part for a period of up to 1 year after the date of the motor vehicle action; or
(2) Suspension or revocation of any certificate, rating, or authorization issued under this part.
A refusal to submit to a test to indicate the percentage by weight of alcohol in the blood, when requested by a law enforcement officer in accordance with § 91.17(c) of this chapter, or a refusal to furnish or authorize the release of the test results requested by the Administrator in accordance with § 91.17(c) or (d) of this chapter, is grounds for:
(a) Denial of an application for any certificate, rating, or authorization issued under this part for a period of up to 1 year after the date of that refusal; or
(b) Suspension or revocation of any certificate, rating, or authorization issued under this part.
(a) A temporary pilot, flight instructor, or ground instructor certificate or rating is issued for up to 120 days, at which time a permanent certificate will be issued to a person whom the Administrator finds qualified under this part.
(b) A temporary pilot, flight instructor, or ground instructor certificate or rating expires:
(1) On the expiration date shown on the certificate;
(2) Upon receipt of the permanent certificate; or
(3) Upon receipt of a notice that the certificate or rating sought is denied or revoked.
(a) General. (1) The holder of a certificate with an expiration date may not, after that date, exercise the privileges of that certificate.
(2) Except for a certificate issued with an expiration date, a certificate issued under this part is valid unless it is surrendered, suspended, or revoked.
(b) Paper student pilot certificate. A student pilot certificate issued under this part prior to April 1, 2016 expires:
(1) For student pilots who have not reached their 40th birthday, 60 calendar months after the month of the date of examination shown on the medical certificate.
(2) For student pilots who have reached their 40th birthday, 24 calendar months after the month of the date of examination shown on the medical certificate.
(3) For student pilots seeking a glider rating, balloon rating, or a sport pilot certificate, 60 calendar months after the month of the date issued, regardless of the person's age.
(c) Pilot certificates. (1) A pilot certificate (including a student pilot certificate issued after April 1, 2016) issued under this part is issued without an expiration date.
(2) The holder of a pilot certificate issued on the basis of a foreign pilot license may exercise the privileges of that certificate only while that person's foreign pilot license is effective.
(d) Flight instructor certificate. (1) A flight instructor certificate issued under this part on or after December 1, 2024, is issued without an expiration date.
(2) A flight instructor certificate issued before December 1, 2024, expires 24 calendar months from the month in which it was issued, renewed, or reinstated, as appropriate.
(e) Ground instructor certificate. A ground instructor certificate is issued without an expiration date.
(f) Return of certificates. The holder of any airman certificate that is issued under this part, and that has been suspended or revoked, must return that certificate to the FAA when requested to do so by the Administrator.
(g) Duration of pilot certificates. Except for a temporary certificate issued under § 61.17 or a student pilot certificate issued under paragraph (b) of this section, the holder of a paper pilot certificate issued under this part may not exercise the privileges of that certificate after March 31, 2010.
(a) A Category II pilot authorization or a Category III pilot authorization expires at the end of the sixth calendar month after the month in which it was issued or renewed.
(b) Upon passing a practical test for a Category II or Category III pilot authorization, the authorization may be renewed for each type of aircraft for which the authorization is held.
(c) A Category II or Category III pilot authorization for a specific type aircraft for which an authorization is held will not be renewed beyond 12 calendar months from the month the practical test was accomplished in that type aircraft.
(d) If the holder of a Category II or Category III pilot authorization passes the practical test for a renewal in the month before the authorization expires, the holder is considered to have passed it during the month the authorization expired.
(a) Operations requiring a medical certificate. Except as provided in paragraphs (b) and (c) of this section, a person—
(1) Must hold a first-class medical certificate:
(i) When exercising the pilot-in-command privileges of an airline transport pilot certificate;
(ii) When exercising the second-in-command privileges of an airline transport pilot certificate in a flag or supplemental operation in part 121 of this chapter that requires three or more pilots; or
(iii) When serving as a required pilot flightcrew member in an operation conducted under part 121 of this chapter if the pilot has reached his or her 60th birthday.
(2) Must hold at least a second class medical certificate when exercising:
(i) Second-in-command privileges of an airline transport pilot certificate in part 121 of this chapter (other than operations specified in paragraph (a)(1)(ii) of this section);
(ii) Privileges of a commercial pilot certificate in an aircraft other than a balloon or glider; or
(iii) Except as provided in paragraph (b)(5) of this section, privileges of a commercial pilot certificate with a balloon class rating for compensation or hire; or
(3) Must hold at least a third-class medical certificate—
(i) When exercising the privileges of a private pilot certificate, recreational pilot certificate, or student pilot certificate, except when operating under the conditions and limitations set forth in § 61.113(i);
(ii) When exercising the privileges of a flight instructor certificate and acting as the pilot in command or as a required flightcrew member, except when operating under the conditions and limitations set forth in § 61.113(i);
(iii) When taking a practical test in an aircraft for a recreational pilot, private pilot, commercial pilot, or airline transport pilot certificate, or for a flight instructor certificate, except when operating under the conditions and limitations set forth in § 61.113(i); or
(iv) When performing the duties as an Examiner in an aircraft when administering a practical test or proficiency check for an airman certificate, rating, or authorization, except when meeting the requirements to operate under the conditions and limitations set forth in § 61.113(i).
(b) Operations not requiring a medical certificate. A person is not required to hold a medical certificate—
(1) When exercising the privileges of a student pilot certificate while seeking—
(i) A sport pilot certificate with glider or balloon privileges; or
(ii) A pilot certificate with a glider category rating or balloon class rating;
(2) When exercising the privileges of a sport pilot certificate with privileges in a glider or balloon;
(3) When exercising the privileges of a pilot certificate with a glider category rating in a glider;
(4) When exercising the privileges of a private pilot certificate with a balloon class rating in a balloon;
(5) When exercising the privileges of a commercial pilot certificate with a balloon class rating in a balloon if the person is providing flight training in accordance with § 61.133(a)(2)(ii);
(6) When exercising the privileges of a flight instructor certificate with—
(i) A sport pilot rating in a glider or balloon; or
(ii) A glider category rating;
(7) When exercising the privileges of a flight instructor certificate if the person is not acting as pilot in command or serving as a required pilot flight crewmember;
(8) When exercising the privileges of a ground instructor certificate;
(9) When serving as an Examiner or check airman and administering a practical test or proficiency check for an airman certificate, rating, or authorization conducted in a glider, balloon, flight simulator, or flight training device;
(10) When taking a practical test or a proficiency check for a certificate, rating, authorization or operating privilege conducted in a glider, balloon, flight simulator, or flight training device;
(11) When a military pilot of the U.S. Armed Forces can show evidence of an up-to-date medical examination authorizing pilot flight status issued by the U.S. Armed Forces and—
(i) The flight does not require higher than a third-class medical certificate; and
(ii) The flight conducted is a domestic flight operation within U.S. airspace; or
(12) When exercising the privileges of a student pilot certificate or higher while acting as pilot in command on a special medical flight test authorized under part 67 of this chapter.
(c) Operations requiring either a medical certificate or U.S. driver's license. (1) A person must hold and possess either a medical certificate issued under part 67 of this chapter or a U.S. driver's license when—
(i) Exercising the privileges of a student pilot certificate while seeking sport pilot privileges in an aircraft meeting the performance limits and design requirements of § 61.316 other than a glider or balloon;
(ii) Exercising the privileges of a sport pilot certificate in an aircraft meeting the performance limits and design requirements of § 61.316 other than a glider or balloon;
(iii) Exercising the privileges of a flight instructor certificate with a sport pilot rating while acting as pilot in command or serving as a required flight crewmember of an aircraft meeting the performance limits and design requirements of § 61.316 other than a glider or balloon;
(iv) Serving as an Examiner and administering a practical test for the issuance of a sport pilot certificate in an aircraft meeting the performance limits and design requirements of § 61.316 other than a glider or balloon;
(v) Exercising the privileges of a student, recreational or private pilot certificate if the flight is conducted under the conditions and limitations set forth in § 61.113(i);
(vi) Notwithstanding paragraphs (b)(1), (b)(2), and (b)(6) of this section, exercising the privileges of sport pilot certificate at night under the conditions and limitations set forth in § 61.113(i);
(vii) Exercising the privileges of a flight instructor certificate and acting as the pilot in command or as a required flight crewmember if the flight is conducted under the conditions and limitations set forth in § 61.113(i); or
(viii) Serving as an Examiner and administering a practical test or proficiency check for an airman certificate, rating, or authorization if the flight is conducted under the conditions and limitations set forth in § 61.113(i).
(2) A person using a U.S. driver's license to meet the requirements of paragraph (c) while exercising sport pilot privileges must—
(i) Comply with each restriction and limitation imposed by that person's U.S. driver's license and any judicial or administrative order applying to the operation of a motor vehicle;
(ii) Have been found eligible for the issuance of at least a third-class airman medical certificate at the time of his or her most recent application (if the person has applied for a medical certificate);
(iii) Not have had his or her most recently issued medical certificate (if the person has held a medical certificate) suspended or revoked or most recent Authorization for a Special Issuance of a Medical Certificate withdrawn; and
(iv) Not know or have reason to know of any medical condition that would make that person unable to operate an aircraft meeting the performance limits and design requirements of § 61.316 in a safe manner.
(3) A person using a U.S. driver's license to meet the requirements of paragraph (c) while operating under the conditions and limitations of § 61.113(i) must meet the following requirements—
(i) The person must—
(A) Comply with all medical requirements or restrictions associated with his or her U.S. driver's license;
(B) At any point after July 14, 2006, have held a medical certificate issued under part 67 of this chapter;
(C) Complete the medical education course set forth in § 68.3 of this chapter during the 24 calendar months before acting as pilot in command or serving as a required flightcrew member in an operation conducted under § 61.113(i) and retain a certification of course completion in accordance with § 68.3(b)(1) of this chapter;
(D) Receive a comprehensive medical examination from a State-licensed physician during the 48 calendar months before acting as pilot in command or serving as a required flightcrew member of an operation conducted under § 61.113(i) and that medical examination is conducted in accordance with the requirements in part 68 of this chapter; and
(E) If the individual has been diagnosed with any medical condition that may impact the ability of the individual to fly, be under the care and treatment of a State-licensed physician when acting as pilot in command or serving as a required flightcrew member of an operation conducted under § 61.113(i).
(ii) The most recently issued medical certificate—
(A) May include an authorization for special issuance;
(B) May be expired; and
(C) Cannot have been suspended or revoked.
(iii) The most recently issued Authorization for a Special Issuance of a Medical Certificate cannot have been withdrawn; and
(iv) The most recent application for an airman medical certificate submitted to the FAA cannot have been completed and denied.
(d) Duration of a medical certificate. Use the following table to determine duration for each class of medical certificate:
| If you hold | And on the date of
examination for your most recent medical certificate you were | And you are conducting an operation
requiring | Then your medical certificate expires, for that operation, at the end of the last day of the |
|---|---|---|---|
| (1) A first-class medical certificate | (i) Under age 40 | an airline transport pilot certificate for pilot-in-command privileges, or for second-in-command privileges in a flag or supplemental operation in part 121 requiring three or more pilots | 12th month after the month of the date of examination shown on the medical certificate. |
| (ii) Age 40 or older | an airline transport pilot certificate for pilot-in-command privileges, for second-in-command privileges in a flag or supplemental operation in part 121 requiring three or more pilots, or for a pilot flightcrew member in part 121 operations who has reached his or her 60th birthday. | 6th month after the month of the date of examination shown on the medical certificate. | |
| (iii) Any age | a commercial pilot certificate (other than a commercial pilot certificate with a balloon rating when conducting flight training), a flight engineer certificate, or an air traffic control tower operator certificate | 12th month after the month of the date of examination shown on the medical certificate. | |
| (iv) Under age 40 | a recreational pilot certificate, a private pilot certificate, a flight instructor certificate (when acting as pilot in command or a required pilot flight crewmember in operations other than glider or balloon), a student pilot certificate, or a sport pilot certificate (when not using a U.S. driver's license as medical qualification) | 60th month after the month of the date of examination shown on the medical certificate. | |
| (v) Age 40 or older | a recreational pilot certificate, a private pilot certificate, a flight instructor certificate (when acting as pilot in command or a required pilot flight crewmember in operations other than glider or balloon), a student pilot certificate, or a sport pilot certificate (when not using a U.S. driver's license as medical qualification) | 24th month after the month of the date of examination shown on the medical certificate. | |
| (2) A second-class medical certificate | (i) Any age | an airline transport pilot certificate for second-in-command privileges (other than the operations specified in paragraph (d)(1) of this section), a commercial pilot certificate (other than a commercial pilot certificate with a balloon rating when conducting flight training), a flight engineer certificate, or an air traffic control tower operator certificate | 12th month after the month of the date of examination shown on the medical certificate. |
| (ii) Under age 40 | a recreational pilot certificate, a private pilot certificate, a flight instructor certificate (when acting as pilot in command or a required pilot flight crewmember in operations other than glider or balloon), a student pilot certificate, or a sport pilot certificate (when not using a U.S. driver's license as medical qualification) | 60th month after the month of the date of examination shown on the medical certificate. | |
| (iii) Age 40 or older | a recreational pilot certificate, a private pilot certificate, a flight instructor certificate (when acting as pilot in command or a required pilot flight crewmember in operations other than glider or balloon), a student pilot certificate, or a sport pilot certificate (when not using a U.S. driver's license as medical qualification) | 24th month after the month of the date of examination shown on the medical certificate. | |
| (3) A third-class medical certificate | (i) Under age 40 | a recreational pilot certificate, a private pilot certificate, a flight instructor certificate (when acting as pilot in command or a required pilot flight crewmember in operations other than glider or balloon), a student pilot certificate, or a sport pilot certificate (when not using a U.S. driver's license as medical qualification) | 60th month after the month of the date of examination shown on the medical certificate. |
| (ii) Age 40 or older | a recreational pilot certificate, a private pilot certificate, a flight instructor certificate (when acting as pilot in command or a required pilot flight crewmember in operations other than glider or balloon), a student pilot certificate, or a sport pilot certificate (when not using a U.S. driver's license as medical qualification) | 24th month after the month of the date of examination shown on the medical certificate. |
(a) An application to change the name on a certificate issued under this part must be accompanied by the applicant's:
(1) Airman certificate; and
(2) A copy of the marriage license, court order, or other document verifying the name change.
(b) The documents in paragraph (a) of this section will be returned to the applicant after inspection.
(a) The holder of a certificate issued under this part may voluntarily surrender it for:
(1) Cancellation;
(2) Issuance of a lower grade certificate; or
(3) Another certificate with specific ratings deleted.
(b) Any request made under paragraph (a) of this section must include the following signed statement or its equivalent: “This request is made for my own reasons, with full knowledge that my (insert name of certificate or rating, as appropriate) may not be reissued to me unless I again pass the tests prescribed for its issuance.”
(a) A request for the replacement of a lost or destroyed airman certificate issued under this part must be made:
(1) By letter to the Department of Transportation, FAA, Airmen Certification Branch, P.O. Box 25082, Oklahoma City, OK 73125, and must be accompanied by a check or money order for the appropriate fee payable to the FAA; or
(2) In any other manner and form approved by the Administrator including a request online to Airmen Services at http://www.faa.gov, and must be accompanied by acceptable form of payment for the appropriate fee.
(b) A request for the replacement of a lost or destroyed medical certificate must be made:
(1) By letter to the Department of Transportation, FAA, Aerospace Medical Certification Division, P.O. Box 26200, Oklahoma City, OK 73125, and must be accompanied by a check or money order for the appropriate fee payable to the FAA; or
(2) In any other manner and form approved by the Administrator and must be accompanied by acceptable form of payment for the appropriate fee.
(c) A request for the replacement of a lost or destroyed knowledge test report must be made:
(1) By letter to the Department of Transportation, FAA, Airmen Certification Branch, P.O. Box 25082, Oklahoma City, OK 73125, and must be accompanied by a check or money order for the appropriate fee payable to the FAA; or
(2) In any other manner and form approved by the Administrator and must be accompanied by acceptable form of payment for the appropriate fee.
(d) The letter requesting replacement of a lost or destroyed airman certificate, medical certificate, or knowledge test report must state:
(1) The name of the person;
(2) The permanent mailing address (including ZIP code), or if the permanent mailing address includes a post office box number, then the person's current residential address;
(3) The certificate holder's date and place of birth; and
(4) Any information regarding the—
(i) Grade, number, and date of issuance of the airman certificate and ratings, if appropriate;
(ii) Class of medical certificate, the place and date of the medical exam, name of the Airman Medical Examiner (AME), and the circumstances concerning the loss of the original medical certificate, as appropriate; and
(iii) Date the knowledge test was taken, if appropriate.
(e) A person who has lost an airman certificate, medical certificate, or knowledge test report may obtain, in a form or manner approved by the Administrator, a document conveying temporary authority to exercise certificate privileges from the FAA Aeromedical Certification Branch or the Airman Certification Branch, as appropriate, and the:
(1) Document may be carried as an airman certificate, medical certificate, or knowledge test report, as appropriate, for up to 60 days pending the person's receipt of a duplicate under paragraph (a), (b), or (c) of this section, unless the person has been notified that the certificate has been suspended or revoked.
(2) Request for such a document must include the date on which a duplicate certificate or knowledge test report was previously requested.
(a) Type ratings required. A person who acts as a pilot in command of any of the following aircraft must hold a type rating for that aircraft:
(1) Large aircraft (except lighter-than-air).
(2) Turbojet-powered airplanes.
(3) Powered-lift.
(4) Other aircraft specified by the Administrator through aircraft type certificate procedures.
(b) Authorization in lieu of a type rating. A person may be authorized to operate without a type rating for up to 60 days an aircraft requiring a type rating, provided—
(1) The Administrator has authorized the flight or series of flights;
(2) The Administrator has determined that an equivalent level of safety can be achieved through the operating limitations on the authorization;
(3) The person shows that compliance with paragraph (a) of this section is impracticable for the flight or series of flights; and
(4) The flight—
(i) Involves only a ferry flight, training flight, test flight, or practical test for a pilot certificate or rating;
(ii) Is within the United States;
(iii) Does not involve operations for compensation or hire unless the compensation or hire involves payment for the use of the aircraft for training or taking a practical test; and
(iv) Involves only the carriage of flight crewmembers considered essential for the flight.
(5) If the flight or series of flights cannot be accomplished within the time limit of the authorization, the Administrator may authorize an additional period of up to 60 days to accomplish the flight or series of flights.
(c) Aircraft category, class, and type ratings: Limitations on the carriage of persons, or operating for compensation or hire. Unless a person holds a category, class, and type rating (if a class and type rating is required) that applies to the aircraft, that person may not act as pilot in command of an aircraft that is carrying another person, or is operated for compensation or hire. That person also may not act as pilot in command of that aircraft for compensation or hire.
(d) Aircraft category, class, and type ratings: Limitations on operating an aircraft as the pilot in command. To serve as the pilot in command of an aircraft, a person must—
(1) Hold the appropriate category, class, and type rating (if a class or type rating is required) for the aircraft to be flown; or
(2) Have received training required by this part that is appropriate to the pilot certification level, aircraft category, class, and type rating (if a class or type rating is required) for the aircraft to be flown, and have received an endorsement for solo flight in that aircraft from an authorized instructor.
(e) Additional training required for operating complex airplanes. (1) Except as provided in paragraph (e)(2) of this section, no person may act as pilot in command of a complex airplane, unless the person has—
(i) Received and logged ground and flight training from an authorized instructor in a complex airplane, or in a full flight simulator or flight training device that is representative of a complex airplane, and has been found proficient in the operation and systems of the airplane; and
(ii) Received a one-time endorsement in the pilot's logbook from an authorized instructor who certifies the person is proficient to operate a complex airplane.
(2) The training and endorsement required by paragraph (e)(1) of this section is not required if—
(i) The person has logged flight time as pilot in command of a complex airplane, or in a full flight simulator or flight training device that is representative of a complex airplane prior to August 4, 1997; or
(ii) The person has received ground and flight training under an approved training program and has satisfactorily completed a competency check under § 135.293 of this chapter in a complex airplane, or in a full flight simulator or flight training device that is representative of a complex airplane which must be documented in the pilot's logbook or training record.
(f) Additional training required for operating high-performance airplanes. (1) Except as provided in paragraph (f)(2) of this section, no person may act as pilot in command of a high-performance airplane (an airplane with an engine of more than 200 horsepower), unless the person has—
(i) Received and logged ground and flight training from an authorized instructor in a high-performance airplane, or in a full flight simulator or flight training device that is representative of a high-performance airplane, and has been found proficient in the operation and systems of the airplane; and
(ii) Received a one-time endorsement in the pilot's logbook from an authorized instructor who certifies the person is proficient to operate a high-performance airplane.
(2) The training and endorsement required by paragraph (f)(1) of this section is not required if—
(i) The person has logged flight time as pilot in command of a high-performance airplane, or in a full flight simulator or flight training device that is representative of a high-performance airplane prior to August 4, 1997; or
(ii) The person has received ground and flight training under an approved training program and has satisfactorily completed a competency check under § 135.293 of this chapter in a high performance airplane, or in a full flight simulator or flight training device that is representative of a high performance airplane which must be documented in the pilot's logbook or training record.
(g) Additional training required for operating pressurized aircraft capable of operating at high altitudes. (1) Except as provided in paragraph (g)(3) of this section, no person may act as pilot in command of a pressurized aircraft (an aircraft that has a service ceiling or maximum operating altitude, whichever is lower, above 25,000 feet MSL), unless that person has received and logged ground training from an authorized instructor and obtained an endorsement in the person's logbook or training record from an authorized instructor who certifies the person has satisfactorily accomplished the ground training. The ground training must include at least the following subjects:
(i) High-altitude aerodynamics and meteorology;
(ii) Respiration;
(iii) Effects, symptoms, and causes of hypoxia and any other high-altitude sickness;
(iv) Duration of consciousness without supplemental oxygen;
(v) Effects of prolonged usage of supplemental oxygen;
(vi) Causes and effects of gas expansion and gas bubble formation;
(vii) Preventive measures for eliminating gas expansion, gas bubble formation, and high-altitude sickness;
(viii) Physical phenomena and incidents of decompression; and
(ix) Any other physiological aspects of high-altitude flight.
(2) Except as provided in paragraph (g)(3) of this section, no person may act as pilot in command of a pressurized aircraft unless that person has received and logged training from an authorized instructor in a pressurized aircraft, or in a full flight simulator or flight training device that is representative of a pressurized aircraft, and obtained an endorsement in the person's logbook or training record from an authorized instructor who found the person proficient in the operation of a pressurized aircraft. The flight training must include at least the following subjects:
(i) Normal cruise flight operations while operating above 25,000 feet MSL;
(ii) Proper emergency procedures for simulated rapid decompression without actually depressurizing the aircraft; and
(iii) Emergency descent procedures.
(3) The training and endorsement required by paragraphs (g)(1) and (g)(2) of this section are not required if that person can document satisfactory accomplishment of any of the following in a pressurized aircraft, or in a full flight simulator or flight training device that is representative of a pressurized aircraft:
(i) Serving as pilot in command before April 15, 1991;
(ii) Completing a pilot proficiency check for a pilot certificate or rating before April 15, 1991;
(iii) Completing an official pilot-in-command check conducted by the military services of the United States; or
(iv) Completing a pilot-in-command proficiency check under part 121, 125, or 135 of this chapter conducted by the Administrator or by an approved pilot check airman.
(h) Additional aircraft type-specific training. No person may serve as pilot in command of an aircraft that the Administrator has determined requires aircraft type-specific training unless that person has—
(1) Received and logged type-specific training in the aircraft, or in a full flight simulator or flight training device that is representative of that type of aircraft; and
(2) Received a logbook endorsement from an authorized instructor who has found the person proficient in the operation of the aircraft and its systems.
(i) Additional training required for operating tailwheel airplanes. (1) Except as provided in paragraph (i)(2) of this section, no person may act as pilot in command of a tailwheel airplane unless that person has received and logged flight training from an authorized instructor in a tailwheel airplane and received an endorsement in the person's logbook from an authorized instructor who found the person proficient in the operation of a tailwheel airplane. The flight training must include at least the following maneuvers and procedures:
(i) Normal and crosswind takeoffs and landings;
(ii) Wheel landings (unless the manufacturer has recommended against such landings); and
(iii) Go-around procedures.
(2) The training and endorsement required by paragraph (i)(1) of this section is not required if the person logged pilot-in-command time in a tailwheel airplane before April 15, 1991.
(j) Additional training required for operating a glider. (1) No person may act as pilot in command of a glider—
(i) Using ground-tow procedures, unless that person has satisfactorily accomplished ground and flight training on ground-tow procedures and operations, and has received an endorsement from an authorized instructor who certifies in that pilot's logbook that the pilot has been found proficient in ground-tow procedures and operations;
(ii) Using aerotow procedures, unless that person has satisfactorily accomplished ground and flight training on aerotow procedures and operations, and has received an endorsement from an authorized instructor who certifies in that pilot's logbook that the pilot has been found proficient in aerotow procedures and operations; or
(iii) Using self-launch procedures, unless that person has satisfactorily accomplished ground and flight training on self-launch procedures and operations, and has received an endorsement from an authorized instructor who certifies in that pilot's logbook that the pilot has been found proficient in self-launch procedures and operations.
(2) The holder of a glider rating issued prior to August 4, 1997, is considered to be in compliance with the training and logbook endorsement requirements of this paragraph for the specific operating privilege for which the holder is already qualified.
(k) Additional training required for night vision goggle operations. (1) Except as provided under paragraph (k)(3) of this section, a person may act as pilot in command of an aircraft using night vision goggles only if that person receives and logs ground training from an authorized instructor and obtains a logbook or training record endorsement from an authorized instructor who certifies the person completed the ground training. The ground training must include the following subjects:
(i) Applicable portions of this chapter that relate to night vision goggle limitations and flight operations;
(ii) Aeromedical factors related to the use of night vision goggles, including how to protect night vision, how the eyes adapt to night, self-imposed stresses that affect night vision, effects of lighting on night vision, cues used to estimate distance and depth perception at night, and visual illusions;
(iii) Normal, abnormal, and emergency operations of night vision goggle equipment;
(iv) Night vision goggle performance and scene interpretation; and
(v) Night vision goggle operation flight planning, including night terrain interpretation and factors affecting terrain interpretation.
(2) Except as provided under paragraph (k)(3) of this section, a person may act as pilot in command of an aircraft using night vision goggles only if that person receives and logs flight training from an authorized instructor and obtains a logbook or training record endorsement from an authorized instructor who found the person proficient in the use of night vision goggles. The flight training must include the following tasks:
(i) Preflight and use of internal and external aircraft lighting systems for night vision goggle operations;
(ii) Preflight preparation of night vision goggles for night vision goggle operations;
(iii) Proper piloting techniques when using night vision goggles during the takeoff, climb, enroute, descent, and landing phases of flight; and
(iv) Normal, abnormal, and emergency flight operations using night vision goggles.
(3) The requirements under paragraphs (k)(1) and (2) of this section do not apply if a person can document satisfactory completion of any of the following pilot proficiency checks using night vision goggles in an aircraft:
(i) A pilot proficiency check on night vision goggle operations conducted by the U.S. Armed Forces.
(ii) A pilot proficiency check on night vision goggle operations under part 135 of this chapter conducted by an Examiner or Check Airman.
(iii) A pilot proficiency check on night vision goggle operations conducted by a night vision goggle manufacturer or authorized instructor, when the pilot—
(A) Is employed by a Federal, State, county, or municipal law enforcement agency; and
(B) Has logged at least 20 hours as pilot in command in night vision goggle operations.
(l) Additional aircraft model-specific flight training. No person may act as pilot in command of an aircraft with a simplified flight controls designation unless that person has—
(1) Received and logged model-specific flight training from an authorized instructor in that aircraft, or in a full flight simulator or flight training device that is representative of that model-specific aircraft with the simplified flight controls designation; and
(2) Received a logbook endorsement from an authorized instructor who has found the person proficient in the safe operation of that model-specific aircraft and the associated simplified flight controls.
(m) Exceptions. (1) This section does not require a pilot to hold category and class ratings for an aircraft that is not identified by category or class under § 61.5(b).
(2) The rating limitations of this section do not apply to—
(i) An applicant when taking a practical test given by an examiner;
(ii) The holder of a student pilot certificate;
(iii) The holder of a pilot certificate when operating an aircraft under the authority of—
(A) A provisional type certificate; or
(B) An experimental certificate, unless the operation involves carrying a passenger;
(iv) The holder of a pilot certificate with a lighter-than-air category rating when operating a balloon;
(v) The holder of a recreational pilot certificate operating under the provisions of § 61.101(h); or
(vi) The holder of a sport pilot certificate when operating an aircraft meeting the performance limits and design requirements of § 61.316.
Tests prescribed by or under this part are given at times and places, and by persons designated by the Administrator.
(a) An applicant for a knowledge test must have:
(1) Received an endorsement, if required by this part, from an authorized instructor certifying that the applicant accomplished the appropriate ground-training or a home-study course required by this part for the certificate or rating sought and is prepared for the knowledge test;
(2) For the knowledge test for an airline transport pilot certificate with an airplane category multiengine class rating, a graduation certificate for the airline transport pilot certification training program specified in § 61.156; and
(3) Proper identification at the time of application that contains the applicant's—
(i) Photograph;
(ii) Signature;
(iii) Date of birth, which shows:
(A) For issuance of certificates other than the ATP certificate with an airplane category multiengine class rating, the applicant meets or will meet the age requirements of this part for the certificate sought before the expiration date of the airman knowledge test report; and
(B) For issuance of an ATP certificate with an airplane category multiengine class rating obtained under the aeronautical experience requirements of § 61.159 or § 61.160, the applicant is at least 18 years of age at the time of the knowledge test;
(iv) If the permanent mailing address is a post office box number, then the applicant must provide a current residential address.
(b) The Administrator shall specify the minimum passing grade for the knowledge test.
(a) An applicant for a knowledge test may not:
(1) Copy or intentionally remove any knowledge test;
(2) Give to another applicant or receive from another applicant any part or copy of a knowledge test;
(3) Give assistance on, or receive assistance on, a knowledge test during the period that test is being given;
(4) Take any part of a knowledge test on behalf of another person;
(5) Be represented by, or represent, another person for a knowledge test;
(6) Use any material or aid during the period that the test is being given, unless specifically authorized to do so by the Administrator; and
(7) Intentionally cause, assist, or participate in any act prohibited by this paragraph.
(b) An applicant who the Administrator finds has committed an act prohibited by paragraph (a) of this section is prohibited, for 1 year after the date of committing that act, from:
(1) Applying for any certificate, rating, or authorization issued under this chapter; and
(2) Applying for and taking any test under this chapter.
(c) Any certificate or rating held by an applicant may be suspended or revoked if the Administrator finds that person has committed an act prohibited by paragraph (a) of this section.
(a) Except as provided in paragraphs (b), (c), (e), and (f) of this section, to be eligible for a practical test for a certificate or rating issued under this part, an applicant must:
(1) Pass the required knowledge test:
(i) Within the 24-calendar-month period preceding the month the applicant completes the practical test, if a knowledge test is required; or
(ii) Within the 60-calendar month period preceding the month the applicant completes the practical test for those applicants who complete the airline transport pilot certification training program in § 61.156 and pass the knowledge test for an airline transport pilot certificate with a multiengine class rating after July 31, 2014;
(2) Present the knowledge test report at the time of application for the practical test, if a knowledge test is required;
(3) Have satisfactorily accomplished the required training and obtained the aeronautical experience prescribed by this part for the certificate or rating sought, and:
(i) If applying for the practical test with flight time accomplished under § 61.159(c), present a copy of the records required by § 135.63(a)(4)(vi) and (x) of this chapter; or
(ii) If applying for a practical test for the issuance of an initial category and class rating (if a class rating is required) at the private, commercial, or airline transport pilot certificate level in an aircraft that requires a type rating or a flight simulator or flight training device that represents an aircraft that requires a type rating, meet the eligibility requirements for the type rating or already hold the type rating on their pilot certificate;
(4) Hold at least a third-class medical certificate, if a medical certificate is required;
(5) Meet the prescribed age requirement of this part for the issuance of the certificate or rating sought;
(6) Have an endorsement, if required by this part, in the applicant's logbook or training record that has been signed by an authorized instructor who certifies that the applicant—
(i) Has received and logged training time within 2 calendar months preceding the month of application in preparation for the practical test;
(ii) Is prepared for the required practical test; and
(iii) Has demonstrated satisfactory knowledge of the subject areas in which the applicant was deficient on the airman knowledge test; and
(7) Have a completed and signed application form.
(b) Except as provided in paragraph (e) of this section, an applicant for an airline transport pilot certificate with an airplane category multiengine class rating or an airline transport pilot certificate obtained concurrently with a multiengine airplane type rating may take the practical test with an expired knowledge test only if the applicant passed the knowledge test after July 31, 2014, and is employed:
(1) As a flightcrew member by a part 119 certificate holder conducting operations under parts 125 or 135 of this chapter at the time of the practical test and has satisfactorily accomplished that operator's approved pilot-in-command training or checking program; or
(2) As a flightcrew member by a part 119 certificate holder conducting operations under part 121 of this chapter at the time of the practical test and has satisfactorily accomplished that operator's approved initial training program; or
(3) By the U.S. Armed Forces as a flightcrew member in U.S. military air transport operations at the time of the practical test and has satisfactorily completed the pilot in command aircraft qualification training program that is appropriate to the pilot certificate and rating sought.
(c) Except as provided in paragraph (e) of this section, an applicant for an airline transport pilot certificate with a rating other than those ratings set forth in paragraph (b) of this section may take the practical test for that certificate or rating with an expired knowledge test report, provided that the applicant is employed:
(1) As a flightcrew member by a part 119 certificate holder conducting operations under parts 125 or 135 of this chapter at the time of the practical test and has satisfactorily accomplished that operator's approved pilot-in-command training or checking program; or
(2) By the U.S. Armed Forces as a flightcrew member in U.S. military air transport operations at the time of the practical test and has satisfactorily completed the pilot in command aircraft qualification training program that is appropriate to the pilot certificate and rating sought.
(d) In addition to the requirements in paragraph (a) of this section, to be eligible for a practical test for an airline transport pilot certificate with an airplane category multiengine class rating or airline transport pilot certificate obtained concurrently with a multiengine airplane type rating, an applicant must:
(1) If the applicant passed the knowledge test after July 31, 2014, present the graduation certificate for the airline transport pilot certification training program in § 61.156, at the time of application for the practical test;
(2) If applying for the practical test under the aeronautical experience requirements of § 61.160(a), the applicant must present the documents required by that section to substantiate eligibility; and
(3) If applying for the practical test under the aeronautical experience requirements of § 61.160(b), (c), or (d), the applicant must present an official transcript and certifying document from an institution of higher education that holds a letter of authorization from the Administrator under § 61.169.
(e) An applicant for an airman certificate or rating issued under this part 61 may take a practical test with an expired knowledge test if the applicant meets the requirements specified in § 61.40.
(f) A person is not required to comply with the provisions of paragraph (a)(6) of this section if that person:
(1) Holds a foreign pilot license issued by a contracting State to the Convention on International Civil Aviation that authorizes at least the privileges of the pilot certificate sought;
(2) Is only applying for a type rating; or
(3) Is applying for an airline transport pilot certificate or an additional rating to an airline transport pilot certificate in an aircraft that does not require an aircraft type rating practical test.
(g) If all increments of the practical test for a certificate or rating are not completed on the same date, then all the remaining increments of the test must be completed within 2 calendar months after the month the applicant began the test.
(h) If all increments of the practical test for a certificate or rating are not completed within 2 calendar months after the month the applicant began the test, the applicant must retake the entire practical test.
(a) Relief. A person who satisfies the requirements of paragraph (b) of this section may use the following documents to demonstrate eligibility to renew a flight instructor certificate, establish recent flight instructor experience, take a practical test, or renew an inspection authorization, as appropriate:
(1) For flight instructor certificates issued before December 1, 2024, an expired flight instructor certificate to show eligibility for renewal of a flight instructor certificate under § 61.197;
(2) Except as provided in paragraph (a)(3) of this section, for flight instructor certificates issued after December 1, 2024, a record demonstrating the last recent experience event accomplished under § 61.197 to show eligibility to reestablish recent experience under § 61.197;
(3) For persons who were issued a flight instructor certificate after December 1, 2024, and who served in a U.S. military or civilian capacity outside the United States in support of a U.S. Armed Forces operation for some period of time during the 24 calendar months following the issuance of the person's flight instructor certificate, a flight instructor certificate demonstrating the date of issuance to show eligibility to establish recent experience under § 61.197;
(4) An expired written test report to show eligibility under this part to take a practical test;
(5) An expired written test report to show eligibility to take a practical test required under part 63 of this chapter; and
(6) An expired written test report to show eligibility to take a practical test required under part 65 of this chapter or an expired inspection authorization to show eligibility for renewal under § 65.93.
(b) Eligibility. A person is eligible for the relief specified in paragraph (a) of this section if that person meets the following requirements:
(1) The person must have served in a U.S. military or civilian capacity outside the United States in support of a U.S. Armed Forces operation during some period of time beginning on or after September 11, 2001;
(2) One of the following occurred while the person served in an operation as set forth in paragraph (b)(1) of this section or within 6 calendar months after returning to the United States—
(i) The person's flight instructor certificate issued before December 1, 2024, airman written test report, or inspection authorization expired; or
(ii) For flight instructor certificates issued after December 1, 2024, the person has not met the flight instructor recent experience requirements within the preceding 24 calendar months in accordance with § 61.197; and
(3) The person complies with § 61.197 or § 65.93 of this chapter, as appropriate, or completes the appropriate practical test within 6 calendar months after returning to the United States.
(c) Required documents. To exercise the relief specified in paragraph (a) of this section, a person must complete and sign an application appropriate to the relief sought and send the application to the appropriate Flight Standards office. The person must include with the application one of the following documents, which must show the date of assignment outside the United States and the date of return to the United States:
(1) An official U.S. Government notification of personnel action, or equivalent document, showing the person was a civilian on official duty for the U.S. Government outside the United States and was assigned to a U.S. Armed Forces operation some time on or after September 11, 2001;
(2) Military orders validating the person was assigned to duty outside the United States and was assigned to a U.S. Armed Forces operation some time on or after September 11, 2001; or
(3) A letter from the person's military commander or civilian supervisor providing the dates during which the person served outside the United States and was assigned to a U.S. Armed Forces operation some time on or after September 11, 2001.
(a) A person may credit flight training toward the requirements of a pilot certificate or rating issued under this part, if that person received the training from:
(1) A flight instructor of an Armed Force in a program for training military pilots of either—
(i) The United States; or
(ii) A foreign contracting State to the Convention on International Civil Aviation.
(2) A flight instructor who is authorized to give such training by the licensing authority of a foreign contracting State to the Convention on International Civil Aviation, and the flight training is given outside the United States.
(b) A flight instructor described in paragraph (a) of this section is only authorized to give endorsements to show training given.
(a) Completion of the practical test for a certificate or rating consists of—
(1) Performing the tasks specified in the areas of operation contained in the applicable Airman Certification Standards or Practical Test Standards (incorporated by reference, see § 61.14) as listed in appendix A of this part for the airman certificate or rating sought;
(2) Demonstrating mastery of the aircraft by performing each task required by paragraph (a)(1) of this section successfully;
(3) Demonstrating proficiency and competency of the tasks required by paragraph (a)(1) of this section within the approved standards; and
(4) Demonstrating sound judgment.
(b) The pilot flight crew complement required during the practical test is based on one of the following requirements that applies to the aircraft being used on the practical test:
(1) If the aircraft's FAA-approved flight manual requires the pilot flight crew complement be a single pilot, then the applicant must demonstrate single pilot proficiency on the practical test.
(2) If the aircraft's type certification data sheet requires the pilot flight crew complement be a single pilot, then the applicant must demonstrate single pilot proficiency on the practical test.
(3) If the FAA Flight Standardization Board report, FAA-approved aircraft flight manual, or aircraft type certification data sheet allows the pilot flight crew complement to be either a single pilot, or a pilot and a copilot, then the applicant may demonstrate single pilot proficiency or have a copilot on the practical test. If the applicant performs the practical test with a copilot, the limitation of “Second in Command Required” will be placed on the applicant's pilot certificate. The limitation may be removed if the applicant passes the practical test by demonstrating single-pilot proficiency in the aircraft in which single-pilot privileges are sought.
(c) If an applicant fails any area of operation, that applicant fails the practical test.
(d) An applicant is not eligible for a certificate or rating sought until all the areas of operation are passed.
(e) The examiner or the applicant may discontinue a practical test at any time:
(1) When the applicant fails one or more of the areas of operation; or
(2) Due to inclement weather conditions, aircraft airworthiness, or any other safety-of-flight concern.
(f) If a practical test is discontinued, the applicant is entitled credit for those areas of operation that were passed, but only if the applicant:
(1) Passes the remainder of the practical test within the 60-day period after the date the practical test was discontinued;
(2) Presents to the examiner for the retest the original notice of disapproval form or the letter of discontinuance form, as appropriate;
(3) Satisfactorily accomplishes any additional training needed and obtains the appropriate instructor endorsements, if additional training is required; and
(4) Presents to the examiner for the retest a properly completed and signed application.
(g) A practical test for an airline transport pilot certificate with category and class rating (if a class rating is required) in an aircraft that requires a type rating or in a flight simulation training device that represents an aircraft that requires a type rating includes the same tasks and maneuvers as a practical test for a type rating.
(a) General. Except as provided in paragraph (a)(2) of this section or when permitted to accomplish the entire flight increment of the practical test in a flight simulator or a flight training device, an applicant for a certificate or rating issued under this part must furnish:
(1) An aircraft of U.S. registry for each required test that—
(i) Is of the category, class, and type (if a class or type rating is required) for which the applicant is applying for a certificate or rating; and
(ii) Has a standard airworthiness certificate or special airworthiness certificate in the limited, primary, or light-sport category.
(2) At the discretion of the examiner who administers the practical test, the applicant may furnish—
(i) An aircraft that has an airworthiness certificate other than a standard airworthiness certificate or special airworthiness certificate in the limited, primary, or light-sport category, but that otherwise meets the requirements of paragraph (a)(1) of this section;
(ii) An aircraft of the same category, class, and type (if a class or type rating is required) of foreign registry that is properly certificated by the country of registry; or
(iii) A military aircraft of the same category, class, and type, if aircraft class and type are appropriate, for which the applicant is applying for a certificate or rating, and provided—
(A) The aircraft is under the direct operational control of the U.S. Armed Forces;
(B) The aircraft is airworthy under the maintenance standards of the U.S. Armed Forces; and
(C) The applicant has a letter from his or her commanding officer authorizing the use of the aircraft for the practical test.
(b) Required equipment (other than controls). (1) Except as provided in paragraph (b)(2) of this section, an aircraft used for a practical test must have—
(i) The equipment for each area of operation required for the practical test;
(ii) No prescribed operating limitations that prohibit its use in any of the areas of operation required for the practical test;
(iii) Except as provided in paragraphs (e) and (f) of this section, at least two pilot stations with adequate visibility for each person to operate the aircraft safely; and
(iv) Cockpit and outside visibility adequate to evaluate the performance of the applicant when an additional jump seat is provided for the examiner.
(2) An applicant for a certificate or rating may use an aircraft with operating characteristics that preclude the applicant from performing all of the tasks required for the practical test. However, the applicant's certificate or rating, as appropriate, will be issued with an appropriate limitation.
(c) Required controls. Except for lighter-than-air aircraft, and a glider without an engine, an aircraft used for a practical test must have engine power controls and flight controls that are easily reached and operable in a conventional manner by both pilots, unless the Examiner determines that the practical test can be conducted safely in the aircraft without the controls easily reached by the Examiner.
(d) Simulated instrument flight equipment. An applicant for a practical test that involves maneuvering an aircraft solely by reference to instruments must furnish:
(1) Equipment on board the aircraft that permits the applicant to pass the areas of operation that apply to the rating sought; and
(2) A device that prevents the applicant from having visual reference outside the aircraft, but does not prevent the examiner from having visual reference outside the aircraft, and is otherwise acceptable to the Administrator.
(e) Aircraft with single controls. A practical test may be conducted in an aircraft having a single set of controls, provided the:
(1) Examiner agrees to conduct the test;
(2) Test does not involve a demonstration of instrument skills; and
(3) Proficiency of the applicant can be observed by an examiner who is in a position to observe the applicant.
(f) Conduct of a sport pilot practical test in an aircraft with a single seat. A practical test for a sport pilot certificate may be conducted in an aircraft having a single seat provided that the—
(1) Examiner agrees to conduct the test;
(2) Examiner is in a position to observe the operation of the aircraft and evaluate the proficiency of the applicant; and
(3) Pilot certificate of an applicant successfully passing the test is issued with a limitation “No passenger carriage and flight in a single-seat aircraft only.”
(g) Aircraft with a simplified flight controls designation. An applicant for a pilot certificate, rating, or privilege may use an aircraft with a simplified flight controls designation for a practical test if—
(1) The examiner agrees to conduct the test;
(2) The examiner holds the appropriate category and class rating or privilege, the simplified flight controls model-specific aircraft endorsement, and an appropriate FAA designation to conduct the test;
(3) The examiner is able to assume control of the aircraft at any time, except if paragraph (f) of this section applies; and
(4) Upon successful completion of the practical test, the applicant is issued one of the following:
(i) A pilot certificate with the appropriate category, class, and specific make and model limitation in which the pilot is authorized to act as pilot in command; or
(ii) A sport pilot certificate with a logbook endorsement for the category and class of aircraft and a model specific limitation in which the pilot is authorized to act as pilot in command.
(h) Simplified flight controls limitation. A person who receives a category and class rating or privilege with a simplified flight controls limitation may operate only the specified make and model of aircraft set forth by the limitation unless the person satisfies the following requirements, as applicable:
(1) If seeking to operate another make and model of aircraft with a simplified flight controls designation in the same category and class, the person must receive training and an endorsement in accordance with § 61.31(l).
(2) Except as provided in § 61.321(a), if seeking to operate a different category and class of aircraft with a simplified flight controls designation as an initial applicant for that category and class rating or any aircraft without a simplified flight controls designation, the person must successfully complete a practical test for that category and class of aircraft.
(a) An examiner represents the Administrator for the purpose of conducting practical tests for certificates and ratings issued under this part and to observe an applicant's ability to perform the areas of operation on the practical test.
(b) The examiner is not the pilot in command of the aircraft during the practical test unless the examiner agrees to act in that capacity for the flight or for a portion of the flight by prior arrangement with:
(1) The applicant; or
(2) A person who would otherwise act as pilot in command of the flight or for a portion of the flight.
(c) Notwithstanding the type of aircraft used during the practical test, the applicant and the examiner (and any other occupants authorized to be on board by the examiner) are not subject to the requirements or limitations for the carriage of passengers that are specified in this chapter.
(d) An examiner may not conduct a practical test for the issuance of an initial category and class rating (if a class rating is required) at the private, commercial, or airline transport pilot certificate level in an aircraft that requires a type rating or a flight simulator or flight training device that represents an aircraft that requires a type rating unless:
(1) The applicant meets the eligibility requirements for a type rating in that aircraft or already holds that type rating on their certificate; and
(2) The practical test contains the tasks and maneuvers for a type rating specified in the areas of operation at the airline transport pilot certification level.
(a) An applicant for a knowledge or practical test who fails that test may reapply for the test only after the applicant has received:
(1) The necessary training from an authorized instructor who has determined that the applicant is proficient to pass the test; and
(2) An endorsement from an authorized instructor who gave the applicant the additional training.
(b) An applicant for a flight instructor certificate with an airplane category rating or, for a flight instructor certificate with a glider category rating, who has failed the practical test due to deficiencies in instructional proficiency on stall awareness, spin entry, spins, or spin recovery must:
(1) Comply with the requirements of paragraph (a) of this section before being retested;
(2) Bring an aircraft to the retest that is of the appropriate aircraft category for the rating sought and is certificated for spins; and
(3) Demonstrate satisfactory instructional proficiency on stall awareness, spin entry, spins, and spin recovery to an examiner during the retest.
(a) Training time and aeronautical experience. Each person must document and record the following time in a manner acceptable to the Administrator:
(1) Training and aeronautical experience used to meet the requirements for a certificate, rating, or flight review of this part.
(2) The aeronautical experience required for meeting the recent flight experience requirements of this part.
(b) Logbook entries. For the purposes of meeting the requirements of paragraph (a) of this section, each person must enter the following information for each flight or lesson logged:
(1) General—
(i) Date.
(ii) Total flight time or lesson time.
(iii) Location where the aircraft departed and arrived, or for lessons in a full flight simulator or flight training device, the location where the lesson occurred.
(iv) Type and identification of aircraft, full flight simulator, flight training device, or aviation training device, as appropriate.
(v) The name of a safety pilot, if required by § 91.109 of this chapter.
(2) Type of pilot experience or training—
(i) Solo.
(ii) Pilot in command.
(iii) Second in command.
(iv) Flight and ground training received from an authorized instructor.
(v) Training received in a full flight simulator, flight training device, or aviation training device from an authorized instructor.
(3) Conditions of flight—
(i) Day or night.
(ii) Actual instrument.
(iii) Simulated instrument conditions in flight, a full flight simulator, flight training device, or aviation training device.
(iv) Use of night vision goggles in an aircraft in flight, in a full flight simulator, or in a flight training device.
(c) Logging of pilot time. The pilot time described in this section may be used to:
(1) Apply for a certificate or rating issued under this part or a privilege authorized under this part; or
(2) Satisfy the recent flight experience requirements of this part.
(d) Logging of solo flight time. Except for a student pilot performing the duties of pilot in command of an airship requiring more than one pilot flight crewmember, a pilot may log as solo flight time only that flight time when the pilot is the sole occupant of the aircraft.
(e) Logging pilot-in-command flight time. (1) A sport, recreational, private, commercial, or airline transport pilot may log pilot in command flight time for flights-
(i) Except when logging flight time under § 61.159(c), when the pilot is the sole manipulator of the controls of an aircraft for which the pilot is rated, or has sport pilot privileges for that category and class of aircraft, if the aircraft class rating is appropriate;
(ii) When the pilot is the sole occupant in the aircraft;
(iii) When the pilot, except for a holder of a sport or recreational pilot certificate, acts as pilot in command of an aircraft for which more than one pilot is required under the type certification of the aircraft or the regulations under which the flight is conducted; or
(iv) When the pilot performs the duties of pilot in command while under the supervision of a qualified pilot in command provided—
(A) The pilot performing the duties of pilot in command holds a commercial or airline transport pilot certificate and aircraft rating that is appropriate to the category and class of aircraft being flown, if a class rating is appropriate;
(B) The pilot performing the duties of pilot in command is undergoing an approved pilot in command training program that includes ground and flight training on the following areas of operation—
(1) Preflight preparation;
(2) Preflight procedures;
(3) Takeoff and departure;
(4) In-flight maneuvers;
(5) Instrument procedures;
(6) Landings and approaches to landings;
(7) Normal and abnormal procedures;
(8) Emergency procedures; and
(9) Postflight procedures;
(C) The supervising pilot in command holds—
(1) A commercial pilot certificate and flight instructor certificate, and aircraft rating that is appropriate to the category, class, and type of aircraft being flown, if a class or type rating is required; or
(2) An airline transport pilot certificate and aircraft rating that is appropriate to the category, class, and type of aircraft being flown, if a class or type rating is required; and
(D) The supervising pilot in command logs the pilot in command training in the pilot's logbook, certifies the pilot in command training in the pilot's logbook and attests to that certification with his or her signature, and flight instructor certificate number.
(2) If rated to act as pilot in command of the aircraft, an airline transport pilot may log all flight time while acting as pilot in command of an operation requiring an airline transport pilot certificate.
(3) A certificated flight instructor may log pilot in command flight time for all flight time while serving as the authorized instructor in an operation if the instructor is rated to act as pilot in command of that aircraft.
(4) A student pilot may log pilot-in-command time only when the student pilot—
(i) Is the sole occupant of the aircraft or is performing the duties of pilot of command of an airship requiring more than one pilot flight crewmember;
(ii) Has a solo flight endorsement as required under § 61.87 of this part; and
(iii) Is undergoing training for a pilot certificate or rating.
(5) A commercial pilot or airline transport pilot may log all flight time while acting as pilot in command of an operation in accordance with § 135.99(c) of this chapter if the flight is conducted in accordance with an approved second-in-command professional development program that meets the requirements of § 135.99(c) of this chapter.
(f) Logging second-in-command flight time. A person may log second-in-command time only for that flight time during which that person:
(1) Is qualified in accordance with the second-in-command requirements of § 61.55, and occupies a crewmember station in an aircraft that requires more than one pilot by the aircraft's type certificate;
(2) Holds the appropriate category, class, and instrument rating (if a class or instrument rating is required for the flight) for the aircraft being flown, and more than one pilot is required under the type certification of the aircraft or the regulations under which the flight is being conducted; or
(3) Serves as second-in-command in operations conducted in accordance with § 135.99(c) of this chapter when a second pilot is not required under the type certification of the aircraft or the regulations under which the flight is being conducted, provided the requirements in § 61.159(c) are satisfied; or
(4) Is designated by a government entity as second-in-command when operating in accordance with paragraph (j)(4) of this section, provided the aircraft used is a large aircraft or turbo-jet powered airplane or holds or originally held a type certificate that requires a second pilot provided that:
(i) Second-in-command time logged under this paragraph (f)(4) may not be used to meet the aeronautical experience requirements for the private or commercial pilot certificates or an instrument rating; and
(ii) An applicant for an airline transport pilot certificate who logs second in command time under this paragraph (f)(4) in an aircraft that is not type certificated for two pilots issued an airline transport pilot certificate with the limitation “Holder does not meet the pilot in command aeronautical experience requirements of ICAO,” as prescribed under Article 39 of the Convention on International Civil Aviation if the applicant does not meet the ICAO requirements contained in Annex 1 “Personnel Licensing” to the Convention on International Civil Aviation. An applicant is entitled to an airline transport pilot certificate without the ICAO limitation specified under this paragraph (f)(4)(ii) when the applicant presents satisfactory evidence of having met the ICAO requirements and otherwise meets the aeronautical experience requirements of § 61.159 or § 61.161, as applicable.
(g) Logging instrument time. (1) A person may log instrument time only for that flight time when the person operates the aircraft solely by reference to instruments under actual or simulated instrument flight conditions.
(2) An authorized instructor may log instrument time when conducting instrument flight instruction in actual instrument flight conditions.
(3) For the purposes of logging instrument time to meet the recent instrument experience requirements of § 61.57(c) of this part, the following information must be recorded in the person's logbook—
(i) The location and type of each instrument approach accomplished; and
(ii) The name of the safety pilot, if required.
(4) A person may use time in a full flight simulator, flight training device, or aviation training device for acquiring instrument aeronautical experience for a pilot certificate or rating provided an authorized instructor is present to observe that time and signs the person's logbook or training record to verify the time and the content of the training session.
(5) A person may use time in a full flight simulator, flight training device, or aviation training device for satisfying instrument recency experience requirements provided a logbook or training record is maintained to specify the training device, time, and the content.
(h) Logging training time. (1) A person may log training time when that person receives training from an authorized instructor in an aircraft, full flight simulator, flight training device, or aviation training device.
(2) The training time must be logged in a logbook and must:
(i) Be endorsed in a legible manner by the authorized instructor; and
(ii) Include a description of the training given, the length of the training lesson, and the authorized instructor's signature, certificate number, and certificate expiration date or recent experience end date, consistent with the requirements of § 61.197.
(i) Presentation of required documents. (1) Persons must present their pilot certificate, medical certificate, logbook, or any other record required by this part for inspection upon a reasonable request by—
(i) The Administrator;
(ii) An authorized representative from the National Transportation Safety Board; or
(iii) Any Federal, State, or local law enforcement officer.
(2) A student pilot must carry the following items in the aircraft on all solo cross-country flights as evidence of the required authorized instructor clearances and endorsements—
(i) Pilot logbook;
(ii) Student pilot certificate; and
(iii) Any other record required by this section.
(3) A sport pilot must carry his or her logbook or other evidence of required authorized instructor endorsements on all flights.
(4) A recreational pilot must carry his or her logbook with the required authorized instructor endorsements on all solo flights—
(i) That exceed 50 nautical miles from the airport at which training was received;
(ii) Within airspace that requires communication with air traffic control;
(iii) Conducted between sunset and sunrise; or
(iv) In an aircraft for which the pilot does not hold an appropriate category or class rating.
(5) A flight instructor with a sport pilot rating must carry his or her logbook or other evidence of required authorized instructor endorsements on all flights when providing flight training.
(j) Aircraft requirements for logging flight time. For a person to log flight time, the time must be acquired in an aircraft that is identified as an aircraft under § 61.5(b), and is—
(1) An aircraft of U.S. registry with either a standard or special airworthiness certificate;
(2) An aircraft of foreign registry with an airworthiness certificate that is approved by the aviation authority of a foreign country that is a Member State to the Convention on International Civil Aviation Organization;
(3) A military aircraft under the direct operational control of the U.S. Armed Forces; or
(4) An aircraft used to conduct a public aircraft operation under 49 U.S.C. 40102(a)(41) and 40125.
(k) Logging night vision goggle time. (1) A person may log night vision goggle time only for the time the person uses night vision goggles as the primary visual reference of the surface and operates:
(i) An aircraft during a night vision goggle operation; or
(ii) A full flight simulator or flight training device with the lighting system adjusted to represent the period beginning 1 hour after sunset and ending 1 hour before sunrise.
(2) An authorized instructor may log night vision goggle time when that person conducts training using night vision goggles as the primary visual reference of the surface and operates:
(i) An aircraft during a night goggle operation; or
(ii) A full flight simulator or flight training device with the lighting system adjusted to represent the period beginning 1 hour after sunset and ending 1 hour before sunrise.
(3) To log night vision goggle time to meet the recent night vision goggle experience requirements under § 61.57(f), a person must log the information required under § 61.51(b).
(a) Before January 31, 2012, a person may use aeronautical experience obtained in an ultralight vehicle to meet the requirements for the following certificates and ratings issued under this part:
(1) A sport pilot certificate.
(2) A flight instructor certificate with a sport pilot rating;
(3) A private pilot certificate with a weight-shift-control or powered parachute category rating.
(b) Before January 31, 2012, a person may use aeronautical experience obtained in an ultralight vehicle to meet the provisions of § 61.69.
(c) A person using aeronautical experience obtained in an ultralight vehicle to meet the requirements for a certificate or rating specified in paragraph (a) of this section or the requirements of paragraph (b) of this section must—
(1) Have been a registered ultralight pilot with an FAA-recognized ultralight organization when that aeronautical experience was obtained;
(2) Document and log that aeronautical experience in accordance with the provisions for logging aeronautical experience specified by an FAA-recognized ultralight organization and in accordance with the provisions for logging pilot time in aircraft as specified in § 61.51;
(3) Obtain the aeronautical experience in a category and class of vehicle corresponding to the rating or privilege sought; and
(4) Provide the FAA with a certified copy of his or her ultralight pilot records from an FAA-recognized ultralight organization, that —
(i) Document that he or she is a registered ultralight pilot with that FAA-recognized ultralight organization; and
(ii) Indicate that he or she is recognized to operate the category and class of aircraft for which sport pilot privileges are sought.
(a) Operations that require a medical certificate. Except as provided for in paragraph (b) of this section, no person who holds a medical certificate issued under part 67 of this chapter may act as pilot in command, or in any other capacity as a required pilot flight crewmember, while that person:
(1) Knows or has reason to know of any medical condition that would make the person unable to meet the requirements for the medical certificate necessary for the pilot operation; or
(2) Is taking medication or receiving other treatment for a medical condition that results in the person being unable to meet the requirements for the medical certificate necessary for the pilot operation.
(b) Operations that do not require a medical certificate. For operations provided for in § 61.23(b) of this part, a person shall not act as pilot in command, or in any other capacity as a required pilot flight crewmember, while that person knows or has reason to know of any medical condition that would make the person unable to operate the aircraft in a safe manner.
(c) Operations requiring a medical certificate or a U.S. driver's license. For operations provided for in § 61.23(c), a person must meet the provisions of—
(1) Paragraph (a) of this section if that person holds a medical certificate issued under part 67 of this chapter and does not hold a U.S. driver's license.
(2) Paragraph (b) of this section if that person holds a U.S. driver's license.
(a) A person may serve as a second-in-command of an aircraft type certificated for more than one required pilot flight crewmember or in operations requiring a second-in-command pilot flight crewmember only if that person meets the following requirements:
(1) Holds at least a private pilot certificate with the appropriate category and class rating;
(2) Holds an instrument rating or privilege that applies to the aircraft being flown if the flight is under IFR;
(3) Holds at least a pilot type rating for the aircraft being flown unless the flight will be conducted as domestic flight operations within the United States airspace; and
(4) If serving as second-in-command of a powered-lift, satisfies the requirements specified in § 194.209 of this chapter.
(b) Except as provided in paragraph (e) of this section, no person may serve as a second-in-command of an aircraft type certificated for more than one required pilot flight crewmember or in operations requiring a second-in-command unless that person has within the previous 12 calendar months:
(1) Become familiar with the following information for the specific type aircraft for which second-in-command privileges are requested—
(i) Operational procedures applicable to the powerplant, equipment, and systems.
(ii) Performance specifications and limitations.
(iii) Normal, abnormal, and emergency operating procedures.
(iv) Flight manual.
(v) Placards and markings.
(2) Except as provided in paragraph (g) of this section, performed and logged pilot time in the type of aircraft or in a flight simulator that represents the type of aircraft for which second-in-command privileges are requested, which includes—
(i) Three takeoffs and three landings to a full stop as the sole manipulator of the flight controls;
(ii) Engine-out procedures and maneuvering with an engine out while executing the duties of pilot in command; and
(iii) Crew resource management training.
(c) If a person complies with the requirements in paragraph (b) of this section in the calendar month before or the calendar month after the month in which compliance with this section is required, then that person is considered to have accomplished the training and practice in the month it is due.
(d) A person may receive a second-in-command pilot type rating for an aircraft after satisfactorily completing the second-in-command familiarization training requirements under paragraph (b) of this section in that type of aircraft provided the training was completed within the 12 calendar months before the month of application for the SIC pilot type rating. The person must comply with the following application and pilot certification procedures:
(1) The person who provided the training must sign the applicant's logbook or training record after each lesson in accordance with § 61.51(h)(2) of this part. In lieu of the trainer, it is permissible for a qualified management official within the organization to sign the applicant's training records or logbook and make the required endorsement. The qualified management official must hold the position of Chief Pilot, Director of Training, Director of Operations, or another comparable management position within the organization that provided the training and must be in a position to verify the applicant's training records and that the training was given.
(2) The trainer or qualified management official must make an endorsement in the applicant's logbook that states “[Applicant's Name and Pilot Certificate Number] has demonstrated the skill and knowledge required for the safe operation of the [Type of Aircraft], relevant to the duties and responsibilities of a second in command.”
(3) If the applicant's flight experience and/or training records are in an electronic form, the applicant must present a paper copy of those records containing the signature of the trainer or qualified management official to a Flight Standards office or Examiner.
(4) The applicant must complete and sign an Airman Certificate and/or Rating Application, FAA Form 8710-1, and present the application to a Flight Standards office or to an Examiner.
(5) The person who provided the ground and flight training to the applicant must sign the “Instructor's Recommendation” section of the Airman Certificate and/or Rating Application, FAA Form 8710-1. In lieu of the trainer, it is permissible for a qualified management official within the organization to sign the applicant's FAA Form 8710-1.
(6) The applicant must appear in person at a Flight Standards office or to an Examiner with his or her logbook/training records and with the completed and signed FAA Form 8710-1.
(7) There is no practical test required for the issuance of the “SIC Privileges Only” pilot type rating.
(e) A person may receive a second-in-command pilot type rating for the type of aircraft after satisfactorily completing an approved second-in-command training program, proficiency check, or competency check under subpart K of part 91, part 125, or part 135, as appropriate, in that type of aircraft provided the training was completed within the 12 calendar months before the month of application for the SIC pilot type rating. The person must comply with the following application and pilot certification procedures:
(1) The person who provided the training must sign the applicant's logbook or training record after each lesson in accordance with § 61.51(h)(2) of this part. In lieu of the trainer, it is permissible for a qualified management official within the organization to sign the applicant's training records or logbook and make the required endorsement. The qualified management official must hold the position of Chief Pilot, Director of Training, Director of Operations, or another comparable management position within the organization that provided the training and must be in a position to verify the applicant's training records and that the training was given.
(2) The trainer or qualified management official must make an endorsement in the applicant's logbook that states “[Applicant's Name and Pilot Certificate Number] has demonstrated the skill and knowledge required for the safe operation of the [Type of Aircraft], relevant to the duties and responsibilities of a second in command.”
(3) If the applicant's flight experience and/or training records are in an electronic form, the applicant must provide a paper copy of those records containing the signature of the trainer or qualified management official to a Flight Standards office, an Examiner, or an Aircrew Program Designee.
(4) The applicant must complete and sign an Airman Certificate and/or Rating Application, FAA Form 8710-1, and present the application to a Flight Standards office or to an Examiner or to an authorized Aircrew Program Designee.
(5) The person who provided the ground and flight training to the applicant must sign the “Instructor's Recommendation” section of the Airman Certificate and/or Rating Application, FAA Form 8710-1. In lieu of the trainer, it is permissible for a qualified management official within the organization to sign the applicant's FAA Form 8710-1.
(6) The applicant must appear in person at a Flight Standards office or to an Examiner or to an authorized Aircrew Program Designee with his or her logbook/training records and with the completed and signed FAA Form 8710-1.
(7) There is no practical test required for the issuance of the “SIC Privileges Only” pilot type rating.
(f) The familiarization training requirements of paragraph (b) of this section do not apply to a person who is:
(1) Designated and qualified as pilot in command under subpart K of part 91, part 121, 125, or 135 of this chapter in that specific type of aircraft;
(2) Designated as the second in command under subpart K of part 91, part 121, 125, or 135 of this chapter in that specific type of aircraft;
(3) Designated as the second in command in that specific type of aircraft for the purpose of receiving flight training required by this section, and no passengers or cargo are carried on the aircraft; or
(4) Designated as a safety pilot for purposes required by § 91.109 of this chapter.
(g) The holder of a commercial or airline transport pilot certificate with the appropriate category and class rating is not required to meet the requirements of paragraph (b)(2) of this section, provided the pilot:
(1) Is conducting a ferry flight, aircraft flight test, or evaluation flight of an aircraft's equipment; and
(2) Is not carrying any person or property on board the aircraft, other than necessary for conduct of the flight.
(h) For the purpose of meeting the requirements of paragraph (b) of this section, a person may serve as second in command in that specific type aircraft, provided:
(1) The flight is conducted under day VFR or day IFR; and
(2) No person or property is carried on board the aircraft, other than necessary for conduct of the flight.
(i) The training under paragraphs (b) and (d) of this section and the training, proficiency check, and competency check under paragraph (e) of this section may be accomplished in a flight simulator that is used in accordance with an approved training course conducted by a training center certificated under part 142 of this chapter or under subpart K of part 91, part 121 or part 135 of this chapter.
(j) When an applicant for an initial second-in-command qualification for a particular type of aircraft receives all the training in a flight simulator, that applicant must satisfactorily complete one takeoff and one landing in an aircraft of the same type for which the qualification is sought. This requirement does not apply to an applicant who completes a proficiency check under part 121 or competency check under subpart K, part 91, part 125, or part 135 for the particular type of aircraft.
(a) Except as provided in paragraphs (b) and (f) of this section, a flight review consists of a minimum of 1 hour of flight training and 1 hour of ground training. The review must include:
(1) A review of the current general operating and flight rules of part 91 of this chapter; and
(2) A review of those maneuvers and procedures that, at the discretion of the person giving the review, are necessary for the pilot to demonstrate the safe exercise of the privileges of the pilot certificate.
(b) Glider pilots may substitute a minimum of three instructional flights in a glider, each of which includes a flight to traffic pattern altitude, in lieu of the 1 hour of flight training required in paragraph (a) of this section.
(c) Except as provided in paragraphs (d), (e), and (g) of this section, no person may act as pilot in command of an aircraft unless, since the beginning of the 24th calendar month before the month in which that pilot acts as pilot in command, that person has—
(1) Accomplished a flight review given in an aircraft for which that pilot is rated by an authorized instructor and
(2) A logbook endorsed from an authorized instructor who gave the review certifying that the person has satisfactorily completed the review.
(d) A person who has, within the period specified in paragraph (c) of this section, passed any of the following need not accomplish the flight review required by this section:
(1) A pilot proficiency check or practical test conducted by an examiner, an approved pilot check airman, or a U.S. Armed Force, for a pilot certificate, rating, or operating privilege.
(2) A practical test conducted by an examiner for one of the following:
(i) The issuance of a flight instructor certificate,
(ii) An additional rating on a flight instructor certificate,
(iii) To meet the recent experience requirements for a flight instructor certificate in accordance with § 61.197(b)(1); or
(iv) The reinstatement of flight instructor privileges in accordance with § 61.199(b)(2).
(e) A person who has, within the period specified in paragraph (c) of this section, satisfactorily accomplished one or more phases of an FAA-sponsored pilot proficiency program need not accomplish the flight review required by this section.
(f) A person who holds a flight instructor certificate need not accomplish the one hour of ground training specified in paragraph (a) of this section if that person has, within the period specified in paragraph (c) of this section, met one of the following requirements—
(1) Satisfactorily completed the recent experience requirements for a flight instructor certificate under § 61.197; or
(2) Reinstated the person's flight instructor privileges by satisfactorily completing an approved flight instructor refresher course in accordance with § 61.199(a)(1).
(g) A student pilot need not accomplish the flight review required by this section provided the student pilot is undergoing training for a certificate and has a current solo flight endorsement as required under § 61.87 of this part.
(h) The requirements of this section may be accomplished in combination with the requirements of § 61.57 and other applicable recent experience requirements at the discretion of the authorized instructor conducting the flight review.
(i) A flight simulator or flight training device may be used to meet the flight review requirements of this section subject to the following conditions:
(1) The flight simulator or flight training device must be used in accordance with an approved course conducted by a training center certificated under part 142 of this chapter.
(2) Unless the flight review is undertaken in a flight simulator that is approved for landings, the applicant must meet the takeoff and landing requirements of § 61.57(a) or § 61.57(b) of this part.
(3) The flight simulator or flight training device used must represent an aircraft or set of aircraft for which the pilot is rated.
(a) General experience. (1) Except as provided in paragraph (e) of this section, no person may act as a pilot in command of an aircraft carrying persons or of an aircraft certificated for more than one pilot flight crewmember unless that person has made at least three takeoffs and three landings within the preceding 90 days, and—
(i) The person acted as the sole manipulator of the flight controls; and
(ii) The required takeoffs and landings were performed in an aircraft of the same category, class, and type (if a class or type rating is required), and, if the aircraft to be flown is an airplane with a tailwheel, the takeoffs and landings must have been made to a full stop in an airplane with a tailwheel.
(2) For the purpose of meeting the requirements of paragraph (a)(1) of this section, a person may act as a pilot in command of an aircraft under day VFR or day IFR, provided no persons or property are carried on board the aircraft, other than those necessary for the conduct of the flight.
(3) The takeoffs and landings required by paragraph (a)(1) of this section may be accomplished in a full flight simulator or flight training device that is—
(i) Approved by the Administrator for landings; and
(ii) Used in accordance with an approved course conducted by a training center certificated under part 142 of this chapter.
(b) Night takeoff and landing experience. (1) Except as provided in paragraph (e) of this section, no person may act as pilot in command of an aircraft carrying persons during the period beginning 1 hour after sunset and ending 1 hour before sunrise, unless within the preceding 90 days that person has made at least three takeoffs and three landings to a full stop during the period beginning 1 hour after sunset and ending 1 hour before sunrise, and—
(i) That person acted as sole manipulator of the flight controls; and
(ii) The required takeoffs and landings were performed in an aircraft of the same category, class, and type (if a class or type rating is required).
(2) The takeoffs and landings required by paragraph (b)(1) of this section may be accomplished in a full flight simulator that is—
(i) Approved by the Administrator for takeoffs and landings, if the visual system is adjusted to represent the period described in paragraph (b)(1) of this section; and
(ii) Used in accordance with an approved course conducted by a training center certificated under part 142 of this chapter.
(c) Instrument experience. Except as provided in paragraph (e) of this section, a person may act as pilot in command under IFR or weather conditions less than the minimums prescribed for VFR only if:
(1) Use of an airplane, powered-lift, helicopter, or airship for maintaining instrument experience. Within the 6 calendar months preceding the month of the flight, that person performed and logged at least the following tasks and iterations in an airplane, powered-lift, helicopter, or airship, as appropriate, for the instrument rating privileges to be maintained in actual weather conditions, or under simulated conditions using a view-limiting device that involves having performed the following—
(i) Six instrument approaches.
(ii) Holding procedures and tasks.
(iii) Intercepting and tracking courses through the use of navigational electronic systems.
(2) Use of a full flight simulator, flight training device, or aviation training device for maintaining instrument experience. A pilot may accomplish the requirements in paragraph (c)(1) of this section in a full flight simulator, flight training device, or aviation training device provided the device represents the category of aircraft for the instrument rating privileges to be maintained and the pilot performs the tasks and iterations in simulated instrument conditions. A person may complete the instrument experience in any combination of an aircraft, full flight simulator, flight training device, or aviation training device.
(3) Maintaining instrument recent experience in a glider.
(i) Within the 6 calendar months preceding the month of the flight, that person must have performed and logged at least the following instrument currency tasks, iterations, and flight time, and the instrument currency must have been performed in actual weather conditions or under simulated weather conditions—
(A) One hour of instrument flight time in a glider or in a single engine airplane using a view-limiting device while performing interception and tracking courses through the use of navigation electronic systems.
(B) Two hours of instrument flight time in a glider or a single engine airplane with the use of a view-limiting device while performing straight glides, turns to specific headings, steep turns, flight at various airspeeds, navigation, and slow flight and stalls.
(ii) Before a pilot is allowed to carry a passenger in a glider under IFR or in weather conditions less than the minimums prescribed for VFR, that pilot must—
(A) Have logged and performed 2 hours of instrument flight time in a glider within the 6 calendar months preceding the month of the flight.
(B) Use a view-limiting-device while practicing performance maneuvers, performance airspeeds, navigation, slow flight, and stalls.
(d) Instrument proficiency check. (1) Except as provided in paragraph (e) of this section, a person who has failed to meet the instrument experience requirements of paragraph (c) of this section for more than six calendar months may reestablish instrument currency only by completing an instrument proficiency check. The instrument proficiency check must include the areas of operation contained in the applicable Airman Certification Standards (incorporated by reference, see § 61.14) as listed in appendix A of this part as appropriate to the rating held.
(2) The instrument proficiency check must be—
(i) In an aircraft that is appropriate to the aircraft category;
(ii) For other than a glider, in a full flight simulator or flight training device that is representative of the aircraft category; or
(iii) For a glider, in a single-engine airplane or a glider.
(3) The instrument proficiency check must be given by—
(i) An examiner;
(ii) A person authorized by the U.S. Armed Forces to conduct instrument flight tests, provided the person being tested is a member of the U.S. Armed Forces;
(iii) A company check pilot who is authorized to conduct instrument flight tests under part 121, 125, or 135 of this chapter or subpart K of part 91 of this chapter, and provided that both the check pilot and the pilot being tested are employees of that operator or fractional ownership program manager, as applicable;
(iv) An authorized instructor; or
(v) A person approved by the Administrator to conduct instrument practical tests.
(e) Exceptions. (1) Paragraphs (a) and (b) of this section do not apply to a pilot in command who is employed by a part 119 certificate holder authorized to conduct operations under part 125 when the pilot is engaged in a flight operation for that certificate holder if the pilot in command is in compliance with §§ 125.281 and 125.285 of this chapter.
(2) This section does not apply to a pilot in command who is employed by a part 119 certificate holder authorized to conduct operations under part 121 when the pilot is engaged in a flight operation under part 91 or 121 for that certificate holder if the pilot in command complies with §§ 121.436 and 121.439 of this chapter.
(3) This section does not apply to a pilot in command who is employed by a part 119 certificate holder authorized to conduct operations under part 135 when the pilot is engaged in a flight operation under parts 91 or 135 for that certificate holder if the pilot in command is in compliance with §§ 135.243 and 135.247 of this chapter.
(4) Paragraph (b) of this section does not apply to a pilot in command of a turbine-powered airplane that is type certificated for more than one pilot crewmember, provided that pilot has complied with the requirements of paragraph (e)(4)(i) or (ii) of this section:
(i) The pilot in command must hold at least a commercial pilot certificate with the appropriate category, class, and type rating for each airplane that is type certificated for more than one pilot crewmember that the pilot seeks to operate under this alternative, and:
(A) That pilot must have logged at least 1,500 hours of aeronautical experience as a pilot;
(B) In each airplane that is type certificated for more than one pilot crewmember that the pilot seeks to operate under this alternative, that pilot must have accomplished and logged the daytime takeoff and landing recent flight experience of paragraph (a) of this section, as the sole manipulator of the flight controls;
(C) Within the preceding 90 days prior to the operation of that airplane that is type certificated for more than one pilot crewmember, the pilot must have accomplished and logged at least 15 hours of flight time in the type of airplane that the pilot seeks to operate under this alternative; and
(D) That pilot has accomplished and logged at least 3 takeoffs and 3 landings to a full stop, as the sole manipulator of the flight controls, in a turbine-powered airplane that requires more than one pilot crewmember. The pilot must have performed the takeoffs and landings during the period beginning 1 hour after sunset and ending 1 hour before sunrise within the preceding 6 months prior to the month of the flight.
(ii) The pilot in command must hold at least a commercial pilot certificate with the appropriate category, class, and type rating for each airplane that is type certificated for more than one pilot crewmember that the pilot seeks to operate under this alternative, and:
(A) That pilot must have logged at least 1,500 hours of aeronautical experience as a pilot;
(B) In each airplane that is type certificated for more than one pilot crewmember that the pilot seeks to operate under this alternative, that pilot must have accomplished and logged the daytime takeoff and landing recent flight experience of paragraph (a) of this section, as the sole manipulator of the flight controls;
(C) Within the preceding 90 days prior to the operation of that airplane that is type certificated for more than one pilot crewmember, the pilot must have accomplished and logged at least 15 hours of flight time in the type of airplane that the pilot seeks to operate under this alternative; and
(D) Within the preceding 12 months prior to the month of the flight, the pilot must have completed a training program that is approved under part 142 of this chapter. The approved training program must have required and the pilot must have performed, at least 6 takeoffs and 6 landings to a full stop as the sole manipulator of the controls in a full flight simulator that is representative of a turbine-powered airplane that requires more than one pilot crewmember. The full flight simulator's visual system must have been adjusted to represent the period beginning 1 hour after sunset and ending 1 hour before sunrise.
(5) Paragraphs (a) and (b) of this section do not apply to a person receiving flight training from an authorized instructor, provided:
(i) The flight training is limited to the purpose of meeting the requirements of paragraphs (a) and (b) of this section;
(ii) Notwithstanding the provisions of paragraphs (a) and (b) of this section, the person receiving flight training meets all other requirements to act as pilot in command of the aircraft; and
(iii) The authorized instructor and the person receiving flight training are the sole occupants of the aircraft.
(6) Paragraphs (a) and (b) of this section do not apply to the examiner or the applicant during a practical test required by this part.
(f) Night vision goggle operating experience. (1) A person may act as pilot in command in a night vision goggle operation with passengers on board only if, within 2 calendar months preceding the month of the flight, that person performs and logs the following tasks as the sole manipulator of the controls on a flight during a night vision goggle operation—
(i) Three takeoffs and three landings, with each takeoff and landing including a climbout, cruise, descent, and approach phase of flight (only required if the pilot wants to use night vision goggles during the takeoff and landing phases of the flight).
(ii) Three hovering tasks (only required if the pilot wants to use night vision goggles when operating helicopters or powered-lifts during the hovering phase of flight).
(iii) Three area departure and area arrival tasks.
(iv) Three tasks of transitioning from aided night flight (aided night flight means that the pilot uses night vision goggles to maintain visual surface reference) to unaided night flight (unaided night flight means that the pilot does not use night vision goggles) and back to aided night flight.
(v) Three night vision goggle operations, or when operating helicopters or powered-lifts, six night vision goggle operations.
(2) A person may act as pilot in command using night vision goggles only if, within the 4 calendar months preceding the month of the flight, that person performs and logs the tasks listed in paragraph (f)(1)(i) through (v) of this section as the sole manipulator of the controls during a night vision goggle operation.
(g) Night vision goggle proficiency check. A person must either meet the night vision goggle experience requirements of paragraphs (f)(1) or (f)(2) of this section or pass a night vision goggle proficiency check to act as pilot in command using night vision goggles. The proficiency check must be performed in the category of aircraft that is appropriate to the night vision goggle operation for which the person is seeking the night vision goggle privilege or in a full flight simulator or flight training device that is representative of that category of aircraft. The check must consist of the tasks listed in § 61.31(k), and the check must be performed by:
(1) An Examiner who is qualified to perform night vision goggle operations in that same aircraft category and class (if a class rating is required);
(2) A person who is authorized by the U.S. Armed Forces to perform night vision goggle proficiency checks, provided the person being administered the check is also a member of the U.S. Armed Forces;
(3) A company check pilot who is authorized to perform night vision goggle proficiency checks under parts 121, 125, or 135 of this chapter, provided that both the check pilot and the pilot being tested are employees of that operator;
(4) An authorized flight instructor who is qualified to perform night vision goggle operations in that same aircraft category and class (if a class rating is required);
(5) A person who is qualified as pilot in command for night vision goggle operations in accordance with paragraph (f) of this section; or
(6) A person approved by the FAA to perform night vision goggle proficiency checks.
(a) Except as otherwise provided in this section, to serve as pilot in command of an aircraft that is type certificated for more than one required pilot flight crewmember or is turbojet-powered, a person must—
(1) Within the preceding 12 calendar months, complete a pilot-in-command proficiency check in an aircraft that is type certificated for more than one required pilot flight crewmember or is turbojet-powered; and
(2) Within the preceding 24 calendar months, complete a pilot-in-command proficiency check in the particular type of aircraft in which that person will serve as pilot in command, that is type certificated for more than one required pilot flight crewmember or is turbojet-powered.
(b) This section does not apply to persons conducting operations under subpart K of part 91, part 121, 125, 133, 135, or 137 of this chapter, or persons maintaining continuing qualification under an Advanced Qualification program approved under subpart Y of part 121 of this chapter.
(c) The pilot-in-command proficiency check given in accordance with the provisions of subpart K of part 91, part 121, 125, or 135 of this chapter may be used to satisfy the requirements of this section.
(d) The pilot-in-command proficiency check required by paragraph (a) of this section may be accomplished by satisfactory completion of one of the following:
(1) A pilot-in-command proficiency check conducted by a person authorized by the Administrator, consisting of the areas of operation contained in the applicable Airman Certification Standards or Practical Test Standards (incorporated by reference, see § 61.14); as listed in appendix A of this part appropriate to the rating held, in an aircraft that is type certificated for more than one pilot flight crewmember or is turbojet powered;
(2) The practical test required for a type rating, in an aircraft that is type certificated for more than one required pilot flight crewmember or is turbojet-powered;
(3) The initial or periodic practical test required for the issuance of a pilot examiner or check airman designation, in an aircraft that is type certificated for more than one required pilot flight crewmember or is turbojet-powered;
(4) A pilot proficiency check administered by a U.S. Armed Force that qualifies the military pilot for pilot-in-command designation with instrument privileges, and was performed in a military aircraft that the military requires to be operated by more than one pilot flight crewmember or is turbojet-powered;
(5) For a pilot authorized by the Administrator to operate an experimental turbojet-powered aircraft that possesses, by original design or through modification, more than a single seat, the required proficiency check for all of the experimental turbojet-powered aircraft for which the pilot holds an authorization may be accomplished by completing any one of the following:
(i) A single proficiency check, conducted by an examiner authorized by the Administrator, in any one of the experimental turbojet-powered aircraft for which the airman holds an authorization to operate if conducted within the prior 12 months;
(ii) A single proficiency check, conducted by an examiner authorized by the Administrator, in any experimental turbojet-powered aircraft (e.g., if a pilot acquires a new authorization to operate an additional experimental turbojet-powered aircraft, the check for that new authorization will meet the intent), if conducted within the prior 12 months;
(iii) Current qualification under an Advanced Qualification Program (AQP) under subpart Y of part 121 of this chapter;
(iv) Any proficiency check conducted under subpart K of part 91, part 121, or part 135 of this chapter within the prior 12 months if conducted in a turbojet-powered aircraft; or
(v) Any other § 61.58 proficiency check conducted within the prior 12 months if conducted in a turbojet-powered aircraft.
(e) The pilot of a multi-seat experimental turbojet-powered aircraft who has not received a proficiency check within the prior 12 months in accordance with this section may continue to operate such aircraft in accordance with the pilot's authorizations. However, the pilot is prohibited from carriage of any persons in any experimental turbojet-powered aircraft with the exception of those individuals authorized by the Administrator to conduct training, conduct flight checks, or perform pilot certification functions in such aircraft, and only during flights specifically related to training, flight checks, or certification in such aircraft.
(f) This section will not apply to a pilot authorized by the Administrator to serve as pilot in command in experimental turbojet-powered aircraft that possesses, by original design, a single seat, when operating such single-seat aircraft.
(g) A check or test described in paragraphs (d)(1) through (5) of this section may be accomplished in a flight simulator under part 142 of this chapter, subject to the following:
(1) Except as provided for in paragraphs (g)(2) and (3) of this section, if an otherwise qualified and approved flight simulator used for a pilot-in-command proficiency check is not qualified and approved for a specific required maneuver—
(i) The training center must annotate, in the applicant's training record, the maneuver or maneuvers omitted; and
(ii) Prior to acting as pilot in command, the pilot must demonstrate proficiency in each omitted maneuver in an aircraft or flight simulator qualified and approved for each omitted maneuver.
(2) If the flight simulator used pursuant to paragraph (g) of this section is not qualified and approved for circling approaches—
(i) The applicant's record must include the statement, “Proficiency in circling approaches not demonstrated”; and
(ii) The applicant may not perform circling approaches as pilot in command when weather conditions are less than the basic VFR conditions described in § 91.155 of this chapter, until proficiency in circling approaches has been successfully demonstrated in a flight simulator qualified and approved for circling approaches or in an aircraft to a person authorized by the Administrator to conduct the check required by this section.
(3) If the flight simulator used pursuant to paragraph (g) of this section is not qualified and approved for landings, the applicant must—
(i) Hold a type rating in the airplane represented by the simulator; and
(ii) Have completed within the preceding 90 days at least three takeoffs and three landings (one to a full stop) as the sole manipulator of the flight controls in the type airplane for which the pilot-in-command proficiency check is sought.
(h) For the purpose of meeting the pilot-in-command proficiency check requirements of paragraph (a) of this section, a person may act as pilot in command of a flight under day VFR conditions or day IFR conditions if no person or property is carried, other than as necessary to demonstrate compliance with this part.
(i) If a pilot takes the pilot-in-command proficiency check required by this section in the calendar month before or the calendar month after the month in which it is due, the pilot is considered to have taken it in the month in which it was due for the purpose of computing when the next pilot-in-command proficiency check is due.
The holder of a pilot, flight instructor, or ground instructor certificate who has made a change in permanent mailing address may not, after 30 days from that date, exercise the privileges of the certificate unless the holder has notified in writing the FAA, Airman Certification Branch, P.O. Box 25082, Oklahoma City, OK 73125, of the new permanent mailing address, or if the permanent mailing address includes a post office box number, then the holder's current residential address.
This subpart prescribes the requirements for the issuance of additional aircraft ratings after a pilot certificate is issued, issuance of a type rating concurrently with a pilot certificate, and the requirements for and limitations of pilot authorizations issued by the Administrator.
(a) General. For an additional aircraft rating on a pilot certificate, other than for an airline transport pilot certificate, a person must meet the requirements of this section appropriate to the additional aircraft rating sought.
(b) Additional aircraft category rating. A person who applies to add a category rating to a pilot certificate:
(1) Must complete the training and have the applicable aeronautical experience.
(2) Must have a logbook or training record endorsement from an authorized instructor attesting that the person was found competent in the appropriate aeronautical knowledge areas and proficient in the appropriate areas of operation.
(3) Must pass the practical test.
(4) Need not take an additional knowledge test, provided the applicant holds an airplane, rotorcraft, powered-lift, weight-shift-control aircraft, powered parachute, or airship rating at that pilot certificate level.
(c) Additional aircraft class rating. A person who applies for an additional class rating on a pilot certificate:
(1) Must have a logbook or training record endorsement from an authorized instructor attesting that the person was found competent in the appropriate aeronautical knowledge areas and proficient in the appropriate areas of operation.
(2) Must pass the practical test.
(3) Need not meet the specified training time requirements prescribed by this part that apply to the pilot certificate for the aircraft class rating sought; unless, the person only holds a lighter-than-air category rating with a balloon class rating and is seeking an airship class rating, then that person must receive the specified training time requirements and possess the appropriate aeronautical experience.
(4) Need not take an additional knowledge test, provided the applicant holds an airplane, rotorcraft, powered-lift, weight-shift-control aircraft, powered parachute, or airship rating at that pilot certificate level.
(d) Additional aircraft type rating. Except as provided under paragraph (d)(6) of this section, a person who applies for an aircraft type rating or an aircraft type rating to be completed concurrently with an aircraft category or class rating—
(1) Must hold or concurrently obtain an appropriate instrument rating, except as provided in paragraph (e) of this section.
(2) Must have a logbook or training record endorsement from an authorized instructor attesting that the person is competent in the appropriate aeronautical knowledge areas and proficient in the appropriate areas of operation at the airline transport pilot certification level.
(3) Must pass the practical test at the airline transport pilot certification level.
(4) Must perform the practical test in actual or simulated instrument conditions, except as provided in paragraph (e) of this section.
(5) Need not take an additional knowledge test if the applicant holds an airplane, rotorcraft, powered-lift, or airship rating on the pilot certificate.
(6) In the case of a pilot employee of a part 121 or part 135 certificate holder or of a fractional ownership program manager under subpart K of part 91 of this chapter, the pilot must—
(i) Meet the appropriate requirements under paragraphs (d)(1), (d)(3), and (d)(4) of this section; and
(ii) Receive a flight training record endorsement from the certificate holder attesting that the person completed the certificate holder's approved ground and flight training program.
(e) Aircraft not capable of instrument maneuvers and procedures. (1) An applicant for a type rating or a type rating in addition to an aircraft category and/or class rating who provides an aircraft that is not capable of the instrument maneuvers and procedures required on the practical test:
(i) May apply for the type rating, but the rating will be limited to “VFR only.”
(ii) May have the “VFR only” limitation removed for that aircraft type after the applicant:
(A) Passes a practical test in that type of aircraft in actual or simulated instrument conditions;
(B) Passes a practical test in that type of aircraft on the appropriate instrument maneuvers and procedures in § 61.157; or
(C) Becomes qualified under § 61.73(d) for that type of aircraft.
(2) When an instrument rating is issued to a person who holds one or more type ratings, the amended pilot certificate must bear the “VFR only” limitation for each aircraft type rating that the person did not demonstrate instrument competency.
(f) Multiengine airplane with a single-pilot station. An applicant for a type rating, at other than the ATP certification level, in a multiengine airplane with a single-pilot station must perform the practical test in the multi-seat version of that airplane, or the practical test may be performed in the single-seat version of that airplane if the Examiner is in a position to observe the applicant during the practical test and there is no multi-seat version of that multiengine airplane.
(g) Single engine airplane with a single-pilot station. An applicant for a type rating, at other than the ATP certification level, in a single engine airplane with a single-pilot station must perform the practical test in the multi-seat version of that single engine airplane, or the practical test may be performed in the single-seat version of that airplane if the Examiner is in a position to observe the applicant during the practical test and there is no multi-seat version of that single engine airplane.
(h) [Reserved]
(i) Waiver authority. An Examiner who conducts a practical test may waive any task for which the FAA has provided waiver authority.
(a) Use of a flight simulator or flight training device. If an applicant for a certificate or rating uses a flight simulator or flight training device for training or any portion of the practical test, the flight simulator and flight training device—
(1) Must represent the category, class, and type (if a class or type rating is applicable) for the rating sought; and
(2) Must be qualified and approved by the Administrator and used in accordance with an approved course of training under part 141 or part 142 of this chapter; or under part 121 or part 135 of this chapter, provided the applicant is a pilot employee of that air carrier operator.
(b) Except as provided in paragraph (f) of this section, if an airplane is not used during the practical test for a type rating for a turbojet airplane (except for preflight inspection), an applicant must accomplish the entire practical test in a Level C or higher flight simulator and the applicant must—
(1) Hold a type rating in a turbojet airplane of the same class of airplane for which the type rating is sought, and that type rating may not contain a supervised operating experience limitation;
(2) Have 1,000 hours of flight time in two different turbojet airplanes of the same class of airplane for which the type rating is sought;
(3) Have been appointed by the U.S. Armed Forces as pilot in command in a turbojet airplane of the same class of airplane for which the type rating is sought;
(4) Have 500 hours of flight time in the same type of airplane for which the type rating is sought; or
(5) Have logged at least 2,000 hours of flight time, of which 500 hours were in turbine-powered airplanes of the same class of airplane for which the type rating is sought.
(c) Except as provided in paragraph (f) of this section, if an airplane is not used during the practical test for a type rating for a turbo-propeller airplane (except for preflight inspection), an applicant must accomplish the entire practical test in a Level C or higher flight simulator and the applicant must—
(1) Hold a type rating in a turbo-propeller airplane of the same class of airplane for which the type rating is sought, and that type rating may not contain a supervised operating experience limitation;
(2) Have 1,000 hours of flight time in two different turbo-propeller airplanes of the same class of airplane for which the type rating is sought;
(3) Have been appointed by the U.S. Armed Forces as pilot in command in a turbo-propeller airplane of the same class of airplane for which the type rating is sought;
(4) Have 500 hours of flight time in the same type of airplane for which the type rating is sought; or
(5) Have logged at least 2,000 hours of flight time, of which 500 hours were in turbine-powered airplanes of the same class of airplane for which the type rating is sought.
(d) Except as provided in paragraph (f) of this section, if a helicopter is not used during the practical test for a type rating in a helicopter (except for preflight inspection), an applicant must accomplish the entire practical test in a Level C or higher flight simulator and the applicant must meet one of the following requirements—
(1) Hold a type rating in a helicopter and that type rating may not contain the supervised operating experience limitation;
(2) Have been appointed by the U.S. Armed Forces as pilot in command of a helicopter;
(3) Have 500 hours of flight time in the type of helicopter; or
(4) Have 1,000 hours of flight time in two different types of helicopters.
(e) Except as provided in paragraph (f) of this section, if a powered-lift is not used during the practical test for a type rating in a powered-lift (except for preflight inspection), an applicant must accomplish the entire practical test in a Level C or higher flight simulator and have 500 hours of flight time in the type of powered-lift for which the rating is sought.
(f) If the applicant does not meet one of the experience requirements of paragraphs (b)(1) through (5), paragraphs (c)(1) through (5), paragraphs (d)(1) through (4), or paragraph (e) of this section, as appropriate to the type rating sought, then—
(1) The applicant must complete the following tasks on the practical test in an aircraft appropriate to category, class, and type for the rating sought: Preflight inspection, normal takeoff, normal instrument landing system approach, missed approach, and normal landing; or
(2) The applicant's pilot certificate will be issued with a limitation that states: “The [name of the additional type rating] is subject to pilot in command limitations,” and the applicant is restricted from serving as pilot in command in an aircraft of that type.
(g) The limitation described under paragraph (f)(2) of this section may be removed from the pilot certificate if the applicant complies with the following—
(1) Performs 25 hours of flight time in an aircraft of the appropriate category, class (if a class rating is required), and type for which the limitation applies under the direct observation of the pilot in command who holds a category, class (if a class rating is required), and type rating, without limitations, for the aircraft;
(2) Logs each flight and the pilot in command who observed the flight attests in writing to each flight;
(3) Obtains the flight time while performing the duties of pilot in command; and
(4) Presents evidence of the supervised operating experience to any Examiner or Flight Standards office to have the limitation removed.
(a) General. A person who applies for an instrument rating must:
(1) Hold at least a current private pilot certificate, or be concurrently applying for a private pilot certificate, with an airplane, helicopter, or powered-lift rating appropriate to the instrument rating sought;
(2) Be able to read, speak, write, and understand the English language. If the applicant is unable to meet any of these requirements due to a medical condition, the Administrator may place such operating limitations on the applicant's pilot certificate as are necessary for the safe operation of the aircraft;
(3) Receive and log ground training from an authorized instructor or accomplish a home-study course of training on the aeronautical knowledge areas of paragraph (b) of this section that apply to the instrument rating sought;
(4) Receive a logbook or training record endorsement from an authorized instructor certifying that the person is prepared to take the required knowledge test;
(5) Receive and log training on the areas of operation of paragraph (c) of this section from an authorized instructor in an aircraft, full flight simulator, or flight training device that represents an airplane, helicopter, or powered-lift appropriate to the instrument rating sought;
(6) Receive a logbook or training record endorsement from an authorized instructor certifying that the person is prepared to take the required practical test;
(7) Pass the required knowledge test on the aeronautical knowledge areas of paragraph (b) of this section; however, an applicant is not required to take another knowledge test when that person already holds an instrument rating; and
(8) Pass the required practical test on the areas of operation in paragraph (c) of this section in—
(i) An airplane, helicopter, or powered-lift appropriate to the rating sought; or
(ii) A full flight simulator or a flight training device appropriate to the rating sought and for the specific maneuver or instrument approach procedure performed. If an approved flight training device is used for the practical test, the instrument approach procedures conducted in that flight training device are limited to one precision and one nonprecision approach, provided the flight training device is approved for the procedure performed.
(b) Aeronautical knowledge. A person who applies for an instrument rating must have received and logged ground training from an authorized instructor or accomplished a home-study course on the following aeronautical knowledge areas that apply to the instrument rating sought:
(1) Federal Aviation Regulations of this chapter that apply to flight operations under IFR;
(2) Appropriate information that applies to flight operations under IFR in the “Aeronautical Information Manual;”
(3) Air traffic control system and procedures for instrument flight operations;
(4) IFR navigation and approaches by use of navigation systems;
(5) Use of IFR en route and instrument approach procedure charts;
(6) Procurement and use of aviation weather reports and forecasts and the elements of forecasting weather trends based on that information and personal observation of weather conditions;
(7) Safe and efficient operation of aircraft under instrument flight rules and conditions;
(8) Recognition of critical weather situations and windshear avoidance;
(9) Aeronautical decision making and judgment; and
(10) Crew resource management, including crew communication and coordination.
(c) Flight proficiency. A person who applies for an instrument rating must receive and log training from an authorized instructor in an aircraft, or in a full flight simulator or flight training device, in accordance with paragraph (g) of this section, that includes the following areas of operation:
(1) Preflight preparation;
(2) Preflight procedures;
(3) Air traffic control clearances and procedures;
(4) Flight by reference to instruments;
(5) Navigation systems;
(6) Instrument approach procedures;
(7) Emergency operations; and
(8) Postflight procedures.
(d) Aeronautical experience for the instrument-airplane rating. A person who applies for an instrument-airplane rating must have logged:
(1) Except as provided in paragraph (g) of this section, 50 hours of cross-country time as pilot in command, of which 10 hours must have been in an airplane; and
(2) Forty hours of actual or simulated instrument time in the areas of operation listed in paragraph (c) of this section, of which 15 hours must have been received from an authorized instructor who holds an instrument-airplane rating, and the instrument time includes:
(i) Three hours of instrument flight training from an authorized instructor in an airplane that is appropriate to the instrument-airplane rating within 2 calendar months before the date of the practical test; and
(ii) Instrument flight training on cross country flight procedures, including one cross country flight in an airplane with an authorized instructor, that is performed under instrument flight rules, when a flight plan has been filed with an air traffic control facility, and that involves—
(A) A flight of 250 nautical miles along airways or by directed routing from an air traffic control facility;
(B) An instrument approach at each airport; and
(C) Three different kinds of approaches with the use of navigation systems.
(e) Aeronautical experience for the instrument-helicopter rating. A person who applies for an instrument-helicopter rating must have logged:
(1) Except as provided in paragraph (g) of this section, 50 hours of cross-country time as pilot in command, of which 10 hours must have been in a helicopter; and
(2) Forty hours of actual or simulated instrument time in the areas of operation listed under paragraph (c) of this section, of which 15 hours must have been with an authorized instructor who holds an instrument-helicopter rating, and the instrument time includes:
(i) Three hours of instrument flight training from an authorized instructor in a helicopter that is appropriate to the instrument-helicopter rating within 2 calendar months before the date of the practical test; and
(ii) Instrument flight training on cross country flight procedures, including one cross country flight in a helicopter with an authorized instructor that is performed under instrument flight rules and a flight plan has been filed with an air traffic control facility, and involves—
(A) A flight of 100 nautical miles along airways or by directed routing from an air traffic control facility;
(B) An instrument approach at each airport; and
(C) Three different kinds of approaches with the use of navigation systems.
(f) Aeronautical experience for the instrument-powered-lift rating. A person who applies for an instrument-powered-lift rating must have logged:
(1) Except as provided in paragraph (g) of this section, 50 hours of cross-country time as pilot in command, of which 10 hours must have been in a powered-lift; and
(2) Forty hours of actual or simulated instrument time in the areas of operation listed under paragraph (c) of this section, of which 15 hours must have been received from an authorized instructor who holds an instrument-powered-lift rating, and the instrument time includes:
(i) Three hours of instrument flight training from an authorized instructor in a powered-lift that is appropriate to the instrument-powered-lift rating within 2 calendar months before the date of the practical test; and
(ii) Instrument flight training on cross country flight procedures, including one cross country flight in a powered-lift with an authorized instructor that is performed under instrument flight rules, when a flight plan has been filed with an air traffic control facility, that involves—
(A) A flight of 250 nautical miles along airways or by directed routing from an air traffic control facility;
(B) An instrument approach at each airport; and
(C) Three different kinds of approaches with the use of navigation systems.
(g) An applicant for a combined private pilot certificate with an instrument rating may satisfy the cross-country time requirements of this section by crediting:
(1) For an instrument-airplane rating or an instrument-powered-lift rating, up to 45 hours of cross-country time performing the duties of pilot in command with an authorized instructor; or
(2) For an instrument-helicopter rating, up to 47 hours of cross-country time performing the duties of pilot in command with an authorized instructor.
(h) Use of full flight simulators or flight training devices. If the instrument time was provided by an authorized instructor in a full flight simulator or flight training device—
(1) A maximum of 30 hours may be performed in that full flight simulator or flight training device if the instrument time was completed in accordance with part 142 of this chapter; or
(2) A maximum of 20 hours may be performed in that full flight simulator or flight training device if the instrument time was not completed in accordance with part 142 of this chapter.
(i) Use of an aviation training device. A maximum of 10 hours of instrument time received in a basic aviation training device or a maximum of 20 hours of instrument time received in an advanced aviation training device may be credited for the instrument time requirements of this section if—
(1) The device is approved and authorized by the FAA;
(2) An authorized instructor provides the instrument time in the device; and
(3) The FAA approved the instrument training and instrument tasks performed in the device.
(j) Except as provided in paragraph (h)(1) of this section, a person may not credit more than 20 total hours of instrument time in a full flight simulator, flight training device, aviation training device, or a combination towards the instrument time requirements of this section.
(a) Ground training. (1) Except as provided under paragraphs (f) and (h) of this section, no person may manipulate the controls of an aircraft or act as pilot in command of an aircraft during an EFVS operation conducted under § 91.176(a) or (b) of this chapter, or serve as a required pilot flightcrew member during an EFVS operation conducted under § 91.176(a) of this chapter, unless that person—
(i) Receives and logs ground training under a training program approved by the Administrator; and
(ii) Obtains a logbook or training record endorsement from an authorized training provider certifying the person satisfactorily completed the ground training appropriate to the category of aircraft for which the person is seeking the EFVS privilege.
(2) The ground training must include the following subjects:
(i) Those portions of this chapter that relate to EFVS flight operations and limitations, including the Airplane Flight Manual or Rotorcraft Flight Manual limitations;
(ii) EFVS sensor imagery, required aircraft flight information, and flight symbology;
(iii) EFVS display, controls, modes, features, symbology, annunciations, and associated systems and components;
(iv) EFVS sensor performance, sensor limitations, scene interpretation, visual anomalies, and other visual effects;
(v) Preflight planning and operational considerations associated with using EFVS during taxi, takeoff, climb, cruise, descent and landing phases of flight, including the use of EFVS for instrument approaches, operating below DA/DH or MDA, executing missed approaches, landing, rollout, and balked landings;
(vi) Weather associated with low visibility conditions and its effect on EFVS performance;
(vii) Normal, abnormal, emergency, and crew coordination procedures when using EFVS; and
(viii) Interpretation of approach and runway lighting systems and their display characteristics when using an EFVS.
(b) Flight training. (1) Except as provided under paragraph (h) of this section, no person may manipulate the controls of an aircraft or act as pilot in command of an aircraft during an EFVS operation under § 91.176(a) or (b) of this chapter unless that person—
(i) Receives and logs flight training for the EFVS operation under a training program approved by the Administrator; and
(ii) Obtains a logbook or training record endorsement from an authorized training provider certifying the person is proficient in the use of EFVS in the category of aircraft in which the training was provided for the EFVS operation to be conducted.
(2) Flight training must include the following tasks:
(i) Preflight and inflight preparation of EFVS equipment for EFVS operations, including EFVS setup and use of display, controls, modes and associated systems, and adjustments for brightness and contrast under day and night conditions;
(ii) Proper piloting techniques associated with using EFVS during taxi, takeoff, climb, cruise, descent, landing, and rollout, including missed approaches and balked landings;
(iii) Proper piloting techniques for the use of EFVS during instrument approaches, to include operations below DA/DH or MDA as applicable to the EFVS operations to be conducted, under both day and night conditions;
(iv) Determining enhanced flight visibility;
(v) Identifying required visual references appropriate to EFVS operations;
(vi) Transitioning from EFVS sensor imagery to natural vision acquisition of required visual references and the runway environment;
(vii) Using EFVS sensor imagery, required aircraft flight information, and flight symbology to touchdown and rollout, if the person receiving training will conduct EFVS operations under § 91.176(a) of this chapter; and
(viii) Normal, abnormal, emergency, and crew coordination procedures when using an EFVS.
(c) Supplementary EFVS training. A person qualified to conduct an EFVS operation under § 91.176(a) or (b) of this chapter who seeks to conduct an additional EFVS operation for which that person has not received training must—
(1) Receive and log the ground and flight training required by paragraphs (a) and (b) of this section, under a training program approved by the Administrator, appropriate to the additional EFVS operation to be conducted; and
(2) Obtain a logbook or training record endorsement from the authorized training provider certifying the person is proficient in the use of EFVS in the category of aircraft in which the training was provided for the EFVS operation to be conducted.
(d) Recent flight experience: EFVS. Except as provided in paragraphs (f) and (h) of this section, no person may manipulate the controls of an aircraft during an EFVS operation or act as pilot in command of an aircraft during an EFVS operation unless, within 6 calendar months preceding the month of the flight, that person performs and logs six instrument approaches as the sole manipulator of the controls using an EFVS under any weather conditions in the category of aircraft for which the person seeks the EFVS privilege. The instrument approaches may be performed in day or night conditions; and
(1) One approach must terminate in a full stop landing; and
(2) For persons authorized to exercise the privileges of § 91.176(a), the full stop landing must be conducted using the EFVS.
(e) EFVS refresher training. (1) Except as provided in paragraph (h) of this section, a person who has failed to meet the recent flight experience requirements of paragraph (d) of this section for more than six calendar months may reestablish EFVS currency only by satisfactorily completing an approved EFVS refresher course in the category of aircraft for which the person seeks the EFVS privilege. The EFVS refresher course must consist of the subjects and tasks listed in paragraphs (a)(2) and (b)(2) of this section applicable to the EFVS operations to be conducted.
(2) The EFVS refresher course must be conducted by an authorized training provider whose instructor meets the training requirements of this section and, if conducting EFVS operations in an aircraft, the recent flight experience requirements of this section.
(f) Military pilots and former military pilots in the U.S. Armed Forces. (1) The training requirements of paragraphs (a) and (b) of this section applicable to EFVS operations conducted under § 91.176(a) of this chapter do not apply to a military pilot or former military pilot in the U.S. Armed Forces if that person documents satisfactory completion of ground and flight training in EFVS operations to touchdown and rollout by the U.S. Armed Forces.
(2) The training requirements in paragraphs (a) and (b) of this section applicable to EFVS operations conducted under § 91.176(b) of this chapter do not apply to a military pilot or former military pilot in the U.S. Armed Forces if that person documents satisfactory completion of ground and flight training in EFVS operations to 100 feet above the touchdown zone elevation by the U.S. Armed Forces.
(3) A military pilot or former military pilot in the U.S. Armed Forces may satisfy the recent flight experience requirements of paragraph (d) of this section if he or she documents satisfactory completion of an EFVS proficiency check in the U.S. Armed Forces within 6 calendar months preceding the month of the flight, the check was conducted by a person authorized by the U.S. Armed Forces to administer the check, and the person receiving the check was a member of the U.S. Armed Forces at the time the check was administered.
(g) Use of full flight simulators. A level C or higher full flight simulator (FFS) equipped with an EFVS may be used to meet the flight training, recent flight experience, and refresher training requirements of this section. The FFS must be evaluated and qualified for EFVS operations by the Administrator, and must be:
(1) Qualified and maintained in accordance with part 60 of this chapter, or a previously qualified device, as permitted in accordance with § 60.17 of this chapter;
(2) Approved by the Administrator for the tasks and maneuvers to be conducted; and
(3) Equipped with a daylight visual display if being used to meet the flight training requirements of this section.
(h) Exceptions. (1) A person may manipulate the controls of an aircraft during an EFVS operation without meeting the requirements of this section in the following circumstances:
(i) When receiving flight training to meet the requirements of this section under an approved training program, provided the instructor meets the requirements in this section to perform the EFVS operation in the category of aircraft for which the training is being conducted.
(ii) During an EFVS operation performed in the course of satisfying the recent flight experience requirements of paragraph (d) of this section, provided another individual is serving as pilot in command of the aircraft during the EFVS operation and that individual meets the requirements in this section to perform the EFVS operation in the category of aircraft in which the flight is being conducted.
(iii) During an EFVS operation performed in the course of completing EFVS refresher training in accordance with paragraph (e) of this section, provided the instructor providing the refresher training meets the requirements in this section to perform the EFVS operation in the category of aircraft for which the training is being conducted.
(2) The requirements of paragraphs (a) and (b) of this section do not apply if a person is conducting a flight or series of flights in an aircraft issued an experimental airworthiness certificate under § 21.191 of this chapter for the purpose of research and development or showing compliance with regulations, provided the person has knowledge of the subjects specified in paragraph (a)(2) of this section and has experience with the tasks specified in paragraph (b)(2) of this section applicable to the EFVS operations to be conducted.
(3) The requirements specified in paragraphs (d) and (e) of this section do not apply to a pilot who:
(i) Is employed by a part 119 certificate holder authorized to conduct operations under part 121, 125, or 135 when the pilot is conducting an EFVS operation for that certificate holder under part 91, 121, 125, or 135, as applicable, provided the pilot conducts the operation in accordance with the certificate holder's operations specifications for EFVS operations;
(ii) Is employed by a person who holds a letter of deviation authority issued under § 125.3 of this chapter when the pilot is conducting an EFVS operation for that person under part 125, provided the pilot is conducting the operation in accordance with that person's letter of authorization for EFVS operations; or
(iii) Is employed by a fractional ownership program manager to conduct operations under part 91 subpart K when the pilot is conducting an EFVS operation for that program manager under part 91, provided the pilot is conducting the operation in accordance with the program manager's management specifications for EFVS operations.
(4) The requirements of paragraphs (a) and (b) of this section do not apply if a person is conducting EFVS operations under § 91.176(b) of this chapter and that person documents that prior to March 13, 2018, that person satisfactorily completed ground and flight training on EFVS operations to 100 feet above the touchdown zone elevation.
(a) General. A person who applies for a Category II pilot authorization must hold:
(1) At least a private or commercial pilot certificate with an instrument rating or an airline transport pilot certificate;
(2) A type rating for the aircraft for which the authorization is sought if that aircraft requires a type rating; and
(3) A category and class rating for the aircraft for which the authorization is sought.
(b) Experience requirements. An applicant for a Category II pilot authorization must have at least—
(1) 50 hours of night flight time as pilot in command.
(2) 75 hours of instrument time under actual or simulated instrument conditions that may include not more than—
(i) A combination of 25 hours of simulated instrument flight time in a flight simulator or flight training device; or
(ii) 40 hours of simulated instrument flight time if accomplished in an approved course conducted by an appropriately rated training center certificated under part 142 of this chapter.
(3) 250 hours of cross-country time as pilot in command.
(c) Practical test requirements. (1) A practical test must be passed by a person who applies for—
(i) Issuance or renewal of a Category II pilot authorization; and
(ii) The addition of another type aircraft to the applicant's Category II pilot authorization.
(2) To be eligible for the practical test for an authorization under this section, an applicant must—
(i) Meet the requirements of paragraphs (a) and (b) of this section; and
(ii) If the applicant has not passed a practical test for this authorization during the 12 calendar months preceding the month of the test, then that person must—
(A) Meet the requirements of § 61.57(c); and
(B) Have performed at least six ILS approaches during the 6 calendar months preceding the month of the test, of which at least three of the approaches must have been conducted without the use of an approach coupler.
(3) The approaches specified in paragraph (c)(2)(ii)(B) of this section—
(i) Must be conducted under actual or simulated instrument flight conditions;
(ii) Must be conducted to the decision height for the ILS approach in the type aircraft in which the practical test is to be conducted;
(iii) Need not be conducted to the decision height authorized for Category II operations;
(iv) Must be conducted to the decision height authorized for Category II operations only if conducted in a flight simulator or flight training device; and
(v) Must be accomplished in an aircraft of the same category and class, and type, as applicable, as the aircraft in which the practical test is to be conducted or in a flight simulator that—
(A) Represents an aircraft of the same category and class, and type, as applicable, as the aircraft in which the authorization is sought; and
(B) Is used in accordance with an approved course conducted by a training center certificated under part 142 of this chapter.
(4) The flight time acquired in meeting the requirements of paragraph (c)(2)(ii)(B) of this section may be used to meet the requirements of paragraph (c)(2)(ii)(A) of this section.
(d) Practical test procedures. The practical test consists of an oral increment and a flight increment.
(1) Oral increment. In the oral increment of the practical test an applicant must demonstrate knowledge of the following:
(i) Required landing distance;
(ii) Recognition of the decision height;
(iii) Missed approach procedures and techniques using computed or fixed attitude guidance displays;
(iv) Use and limitations of RVR;
(v) Use of visual clues, their availability or limitations, and altitude at which they are normally discernible at reduced RVR readings;
(vi) Procedures and techniques related to transition from nonvisual to visual flight during a final approach under reduced RVR;
(vii) Effects of vertical and horizontal windshear;
(viii) Characteristics and limitations of the ILS and runway lighting system;
(ix) Characteristics and limitations of the flight director system, auto approach coupler (including split axis type if equipped), auto throttle system (if equipped), and other required Category II equipment;
(x) Assigned duties of the second in command during Category II approaches, unless the aircraft for which authorization is sought does not require a second in command; and
(xi) Instrument and equipment failure warning systems.
(2) Flight increment. The following requirements apply to the flight increment of the practical test:
(i) The flight increment must be conducted in an aircraft of the same category, class, and type, as applicable, as the aircraft in which the authorization is sought or in a flight simulator that—
(A) Represents an aircraft of the same category and class, and type, as applicable, as the aircraft in which the authorization is sought; and
(B) Is used in accordance with an approved course conducted by a training center certificated under part 142 of this chapter.
(ii) The flight increment must consist of at least two ILS approaches to 100 feet AGL including at least one landing and one missed approach.
(iii) All approaches performed during the flight increment must be made with the use of an approved flight control guidance system, except if an approved auto approach coupler is installed, at least one approach must be hand flown using flight director commands.
(iv) If a multiengine airplane with the performance capability to execute a missed approach with one engine inoperative is used for the practical test, the flight increment must include the performance of one missed approach with an engine, which shall be the most critical engine, if applicable, set at idle or zero thrust before reaching the middle marker.
(v) If a multiengine flight simulator or multiengine flight training device is used for the practical test, the applicant must execute a missed approach with the most critical engine, if applicable, failed.
(vi) For an authorization for an aircraft that requires a type rating, the practical test must be performed in coordination with a second in command who holds a type rating in the aircraft in which the authorization is sought.
(vii) Oral questioning may be conducted at any time during a practical test.
(a) General. A person who applies for a Category III pilot authorization must hold:
(1) At least a private pilot certificate or commercial pilot certificate with an instrument rating or an airline transport pilot certificate;
(2) A type rating for the aircraft for which the authorization is sought if that aircraft requires a type rating; and
(3) A category and class rating for the aircraft for which the authorization is sought.
(b) Experience requirements. An applicant for a Category III pilot authorization must have at least—
(1) 50 hours of night flight time as pilot in command.
(2) 75 hours of instrument flight time during actual or simulated instrument conditions that may include not more than—
(i) A combination of 25 hours of simulated instrument flight time in a flight simulator or flight training device; or
(ii) 40 hours of simulated instrument flight time if accomplished in an approved course conducted by an appropriately rated training center certificated under part 142 of this chapter.
(3) 250 hours of cross-country time as pilot in command.
(c) Practical test requirements. (1) A practical test must be passed by a person who applies for—
(i) Issuance or renewal of a Category III pilot authorization; and
(ii) The addition of another type of aircraft to the applicant's Category III pilot authorization.
(2) To be eligible for the practical test for an authorization under this section, an applicant must—
(i) Meet the requirements of paragraphs (a) and (b) of this section; and
(ii) If the applicant has not passed a practical test for this authorization during the 12 calendar months preceding the month of the test, then that person must—
(A) Meet the requirements of § 61.57(c); and
(B) Have performed at least six ILS approaches during the 6 calendar months preceding the month of the test, of which at least three of the approaches must have been conducted without the use of an approach coupler.
(3) The approaches specified in paragraph (c)(2)(ii)(B) of this section—
(i) Must be conducted under actual or simulated instrument flight conditions;
(ii) Must be conducted to the alert height or decision height for the ILS approach in the type aircraft in which the practical test is to be conducted;
(iii) Need not be conducted to the decision height authorized for Category III operations;
(iv) Must be conducted to the alert height or decision height, as applicable, authorized for Category III operations only if conducted in a flight simulator or flight training device; and
(v) Must be accomplished in an aircraft of the same category and class, and type, as applicable, as the aircraft in which the practical test is to be conducted or in a flight simulator that—
(A) Represents an aircraft of the same category and class, and type, as applicable, as the aircraft for which the authorization is sought; and
(B) Is used in accordance with an approved course conducted by a training center certificated under part 142 of this chapter.
(4) The flight time acquired in meeting the requirements of paragraph (c)(2)(ii)(B) of this section may be used to meet the requirements of paragraph (c)(2)(ii)(A) of this section.
(d) Practical test procedures. The practical test consists of an oral increment and a flight increment.
(1) Oral increment. In the oral increment of the practical test an applicant must demonstrate knowledge of the following:
(i) Required landing distance;
(ii) Determination and recognition of the alert height or decision height, as applicable, including use of a radar altimeter;
(iii) Recognition of and proper reaction to significant failures encountered prior to and after reaching the alert height or decision height, as applicable;
(iv) Missed approach procedures and techniques using computed or fixed attitude guidance displays and expected height loss as they relate to manual go-around or automatic go-around, and initiation altitude, as applicable;
(v) Use and limitations of RVR, including determination of controlling RVR and required transmissometers;
(vi) Use, availability, or limitations of visual cues and the altitude at which they are normally discernible at reduced RVR readings including—
(A) Unexpected deterioration of conditions to less than minimum RVR during approach, flare, and rollout;
(B) Demonstration of expected visual references with weather at minimum conditions;
(C) The expected sequence of visual cues during an approach in which visibility is at or above landing minima; and
(D) Procedures and techniques for making a transition from instrument reference flight to visual flight during a final approach under reduced RVR.
(vii) Effects of vertical and horizontal windshear;
(viii) Characteristics and limitations of the ILS and runway lighting system;
(ix) Characteristics and limitations of the flight director system auto approach coupler (including split axis type if equipped), auto throttle system (if equipped), and other Category III equipment;
(x) Assigned duties of the second in command during Category III operations, unless the aircraft for which authorization is sought does not require a second in command;
(xi) Recognition of the limits of acceptable aircraft position and flight path tracking during approach, flare, and, if applicable, rollout; and
(xii) Recognition of, and reaction to, airborne or ground system faults or abnormalities, particularly after passing alert height or decision height, as applicable.
(2) Flight increment. The following requirements apply to the flight increment of the practical test—
(i) The flight increment may be conducted in an aircraft of the same category and class, and type, as applicable, as the aircraft for which the authorization is sought, or in a flight simulator that—
(A) Represents an aircraft of the same category and class, and type, as applicable, as the aircraft in which the authorization is sought; and
(B) Is used in accordance with an approved course conducted by a training center certificated under part 142 of this chapter.
(ii) The flight increment must consist of at least two ILS approaches to 100 feet AGL, including one landing and one missed approach initiated from a very low altitude that may result in a touchdown during the go-around maneuver;
(iii) All approaches performed during the flight increment must be made with the approved automatic landing system or an equivalent landing system approved by the Administrator;
(iv) If a multiengine aircraft with the performance capability to execute a missed approach with one engine inoperative is used for the practical test, the flight increment must include the performance of one missed approach with the most critical engine, if applicable, set at idle or zero thrust before reaching the middle or outer marker;
(v) If a multiengine flight simulator or multiengine flight training device is used, a missed approach must be executed with an engine, which shall be the most critical engine, if applicable, failed;
(vi) For an authorization for an aircraft that requires a type rating, the practical test must be performed in coordination with a second in command who holds a type rating in the aircraft in which the authorization is sought;
(vii) Oral questioning may be conducted at any time during the practical test;
(viii) Subject to the limitations of this paragraph, for Category IIIb operations predicated on the use of a fail-passive rollout control system, at least one manual rollout using visual reference or a combination of visual and instrument references must be executed. The maneuver required by this paragraph shall be initiated by a fail-passive disconnect of the rollout control system—
(A) After main gear touchdown;
(B) Prior to nose gear touchdown;
(C) In conditions representative of the most adverse lateral touchdown displacement allowing a safe landing on the runway; and
(D) In weather conditions anticipated in Category IIIb operations.
(a) No person may act as pilot in command for towing a glider or unpowered ultralight vehicle unless that person—
(1) Holds a private, commercial or airline transport pilot certificate with a category rating for powered aircraft;
(2) Has logged at least 100 hours of pilot-in-command time in the aircraft category, class and type, if required, that the pilot is using to tow a glider or unpowered ultralight vehicle;
(3) Has a logbook endorsement from an authorized instructor who certifies that the person has received ground and flight training in gliders or unpowered ultralight vehicles and is proficient in—
(i) The techniques and procedures essential to the safe towing of gliders or unpowered ultralight vehicles, including airspeed limitations;
(ii) Emergency procedures;
(iii) Signals used; and
(iv) Maximum angles of bank.
(4) Except as provided in paragraph (b) of this section, has logged at least three flights as the sole manipulator of the controls of an aircraft while towing a glider or unpowered ultralight vehicle, or has simulated towing flight procedures in an aircraft while accompanied by a pilot who meets the requirements of paragraphs (c) and (d) of this section.
(5) Except as provided in paragraph (b) of this section, has received a logbook endorsement from the pilot, described in paragraph (a)(4) of this section, certifying that the person has accomplished at least 3 flights in an aircraft while towing a glider or unpowered ultralight vehicle, or while simulating towing flight procedures; and
(6) Within 24 calendar months before the flight has—
(i) Made at least three actual or simulated tows of a glider or unpowered ultralight vehicle while accompanied by a qualified pilot who meets the requirements of this section; or
(ii) Made at least three flights as pilot in command of a glider or unpowered ultralight vehicle towed by an aircraft.
(b) Any person who, before May 17, 1967, has made and logged 10 or more flights as pilot in command of an aircraft towing a glider or unpowered ultralight vehicle in accordance with a certificate of waiver need not comply with paragraphs (a)(4) and (a)(5) of this section.
(c) The pilot, described in paragraph (a)(4) of this section, who endorses the logbook of a person seeking towing privileges must have—
(1) Met the requirements of this section prior to endorsing the logbook of the person seeking towing privileges; and
(2) Logged at least 10 flights as pilot in command of an aircraft while towing a glider or unpowered ultralight vehicle.
(d) If the pilot described in paragraph (a)(4) of this section holds only a private pilot certificate, then that pilot must have—
(1) Logged at least 100 hours of pilot-in-command time in airplanes, or 200 hours of pilot-in-command time in a combination of powered and other-than-powered aircraft; and
(2) Performed and logged at least three flights within the 12 calendar months preceding the month that pilot accompanies or endorses the logbook of a person seeking towing privileges—
(i) In an aircraft while towing a glider or unpowered ultralight vehicle accompanied by another pilot who meets the requirements of this section; or
(ii) As pilot in command of a glider or unpowered ultralight vehicle being towed by another aircraft.
(a) A person who graduates from an approved training program under part 141 or part 142 of this chapter is considered to have met the applicable aeronautical experience, aeronautical knowledge, and areas of operation requirements of this part if that person presents the graduation certificate and passes the required practical test within the 60-day period after the date of graduation.
(b) A person may apply for an airline transport pilot certificate, type rating, or both under this part, and will be considered to have met the applicable requirements under § 61.157, except for the airline transport pilot certification training program required by § 61.156, for that certificate and rating, if that person has:
(1) Satisfactorily accomplished an approved training curriculum and a proficiency check for that airplane type that includes all the tasks and maneuvers required by §§ 121.424 and 121.441 of this chapter to serve as pilot in command in operations conducted under part 121 of this chapter; and
(2) Applied for an airline transport pilot certificate, type rating, or both within the 60-day period from the date the person satisfactorily accomplished the requirements of paragraph (b)(1) for that airplane type.
(c) A person who holds a foreign pilot license and is applying for an equivalent U.S. pilot certificate on the basis of a Bilateral Aviation Safety Agreement and associated Implementation Procedures for Licensing may be considered to have met the applicable aeronautical experience, aeronautical knowledge, and areas of operation requirements of this part.
(a) General. Except for a person who has been removed from flying status for lack of proficiency or because of a disciplinary action involving aircraft operations, a U.S. military pilot or former military pilot who meets the requirements of this section may apply, on the basis of his or her military pilot qualifications, for:
(1) A commercial pilot certificate with the appropriate aircraft category and class rating.
(2) An instrument rating with the appropriate aircraft rating.
(3) A type rating.
(b) Military pilots and former military pilots in the U.S. Armed Forces. A person who qualifies as a military pilot or former military pilot in the U.S. Armed Forces may apply for a pilot certificate and ratings under paragraph (a) of this section if that person—
(1) Presents evidentiary documents described under paragraphs (h)(1), (2), and (3) of this section that show the person's status in the U.S. Armed Forces.
(2) Has passed the military competency aeronautical knowledge test on the appropriate parts of this chapter for commercial pilot privileges and limitations, air traffic and general operating rules, and accident reporting rules.
(3) Presents official U.S. military records that show compliance with one of the following requirements—
(i) Before the date of the application, passing an official U.S. military pilot and instrument proficiency check in a military aircraft of the kind of aircraft category, class, and type, if class or type of aircraft is applicable, for the ratings sought; or
(ii) Before the date of application, logging 10 hours of pilot time as a military pilot in a U.S. military aircraft in the kind of aircraft category, class, and type, if a class rating or type rating is applicable, for the aircraft rating sought.
(c) A military pilot in the Armed Forces of a foreign contracting State to the Convention on International Civil Aviation. A person who is a military pilot in the Armed Forces of a foreign contracting State to the Convention on International Civil Aviation and is assigned to pilot duties in the U.S. Armed Forces, for purposes other than receiving flight training, may apply for a commercial pilot certificate and ratings under paragraph (a) of this section, provided that person—
(1) Presents evidentiary documents described under paragraph (h)(4) of this section that show the person is a military pilot in the Armed Forces of a foreign contracting State to the Convention on International Civil Aviation, and is assigned to pilot duties in the U.S. Armed Forces, for purposes other than receiving flight training.
(2) Has passed the military competency aeronautical knowledge test on the appropriate parts of this chapter for commercial pilot privileges and limitations, air traffic and general operating rules, and accident reporting rules.
(3) Presents official U.S. military records that show compliance with one of the following requirements:
(i) Before the date of the application, passed an official U.S. military pilot and instrument proficiency check in a military aircraft of the kind of aircraft category, class, or type, if class or type of aircraft is applicable, for the ratings; or
(ii) Before the date of the application, logged 10 hours of pilot time as a military pilot in a U.S. military aircraft of the kind of category, class, and type of aircraft, if a class rating or type rating is applicable, for the aircraft rating.
(d) Instrument rating. A person who is qualified as a U.S. military pilot or former military pilot may apply for an instrument rating to be added to a pilot certificate if that person—
(1) Has passed an instrument proficiency check in the U.S. Armed Forces in the aircraft category for the instrument rating sought; and
(2) Has an official U.S. Armed Forces record that shows the person is instrument pilot qualified by the U.S. Armed Forces to conduct instrument flying on Federal airways in that aircraft category and class for the instrument rating sought.
(e) Aircraft type rating. An aircraft type rating may only be issued for a type of aircraft that has a comparable civilian type designation by the Administrator.
(f) Aircraft type rating placed on an airline transport pilot certificate. A person who is a military pilot or former military pilot of the U.S. Armed Forces and requests an aircraft type rating to be placed on an existing U.S. airline transport pilot certificate may be issued the rating at the airline transport pilot certification level, provided that person:
(1) Holds a category and class rating for that type of aircraft at the airline transport pilot certification level; and
(2) Has passed an official U.S. military pilot check and instrument proficiency check in that type of aircraft.
(g) Flight instructor certificate and ratings. A person who can show official U.S. military documentation of being a U.S. military instructor pilot or U.S. military pilot examiner, or a former instructor pilot or pilot examiner may apply for and be issued a flight instructor certificate with the appropriate ratings if that person:
(1) Holds a commercial or airline transport pilot certificate with the appropriate aircraft category and class rating, if a class rating is appropriate, for the flight instructor rating sought;
(2) Holds an instrument rating, or has instrument privileges, on the pilot certificate that is appropriate to the flight instructor rating sought; and
(3) Presents the following documents:
(i) A knowledge test report that shows the person passed a knowledge test on the aeronautical knowledge areas listed under § 61.185(a) appropriate to the flight instructor rating sought and the knowledge test was passed within the preceding 24 calendar months prior to the month of application. If the U.S. military instructor pilot or pilot examiner already holds a flight instructor certificate, holding of a flight instructor certificate suffices for the knowledge test report.
(ii) An official U.S. Armed Forces record or order that shows the person is or was qualified as a U.S. Armed Forces military instructor pilot or pilot examiner for the flight instructor rating sought.
(iii) An official U.S. Armed Forces record or order that shows the person completed a U.S. Armed Forces' instructor pilot or pilot examiner training course and received an aircraft rating qualification as a military instructor pilot or pilot examiner that is appropriate to the flight instructor rating sought.
(iv) An official U.S. Armed Forces record or order that shows the person passed a U.S. Armed Forces instructor pilot or pilot examiner proficiency check in an aircraft as a military instructor pilot or pilot examiner that is appropriate to the flight instructor rating sought.
(h) Documents for qualifying for a pilot certificate and rating. The following documents are required for a person to apply for a pilot certificate and rating:
(1) An official U.S. Armed Forces record that shows the person is or was a military pilot.
(2) An official U.S. Armed Forces record that shows the person graduated from a U.S. Armed Forces undergraduate pilot training school and received a rating qualification as a military pilot.
(3) An official U.S. Armed Forces record that shows the pilot passed a pilot proficiency check and instrument proficiency check in an aircraft as a military pilot.
(4) If a person is a military pilot in the Armed Forces from a foreign contracting State to the Convention on International Civil Aviation and is applying for a pilot certificate and rating, that person must present the following:
(i) An official U.S. Armed Forces record that shows the person is a military pilot in the U.S. Armed Forces;
(ii) An official U.S. Armed Forces record that shows the person is assigned as a military pilot in the U.S. Armed Forces for purposes other than receiving flight training;
(iii) An official record that shows the person graduated from a military undergraduate pilot training school from the Armed Forces from a foreign contracting State to the Convention on International Civil Aviation or from the U.S. Armed Forces, and received a qualification as a military pilot; and
(iv) An official U.S. Armed Forces record that shows that the person passed a pilot proficiency check and instrument proficiency check in an aircraft as a military pilot in the U.S. Armed Forces.
(a) General. A person who holds a foreign pilot license at the private pilot level or higher that was issued by a contracting State to the Convention on International Civil Aviation may apply for and be issued a U.S. private pilot certificate with the appropriate ratings if the foreign pilot license meets the requirements of this section.
(b) Certificate issued. A U.S. private pilot certificate issued under this section must specify the person's foreign license number and country of issuance. A person who holds a foreign pilot license issued by a contracting State to the Convention on International Civil Aviation may be issued a U.S. private pilot certificate based on the foreign pilot license without any further showing of proficiency, provided the applicant:
(1) Meets the requirements of this section;
(2) Holds a foreign pilot license, at the private pilot license level or higher, that does not contain a limitation stating that the applicant has not met all of the standards of ICAO for that license;
(3) Does not hold a U.S. pilot certificate other than a U.S. student pilot certificate;
(4) Holds a medical certificate issued under part 67 of this chapter or a medical license issued by the country that issued the person's foreign pilot license; and
(5) Is able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's pilot certificate as are necessary for the safe operation of the aircraft.
(c) Aircraft ratings issued. Aircraft ratings listed on a person's foreign pilot license, in addition to any issued after testing under the provisions of this part, may be placed on that person's U.S. pilot certificate for private pilot privileges only.
(d) Instrument ratings issued. A person who holds an instrument rating on the foreign pilot license issued by a contracting State to the Convention on International Civil Aviation may be issued an instrument rating on a U.S. pilot certificate provided:
(1) The person's foreign pilot license authorizes instrument privileges;
(2) Within 24 months preceding the month in which the person applies for the instrument rating, the person passes the appropriate knowledge test; and
(3) The person is able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's pilot certificate as are necessary for the safe operation of the aircraft.
(e) Operating privileges and limitations. A person who receives a U.S. private pilot certificate that has been issued under the provisions of this section:
(1) May act as pilot in command of a civil aircraft of the United States in accordance with the pilot privileges authorized by this part and the limitations placed on that U.S. pilot certificate;
(2) Is limited to the privileges placed on the certificate by the Administrator;
(3) Is subject to the limitations and restrictions on the person's U.S. certificate and foreign pilot license when exercising the privileges of that U.S. pilot certificate in an aircraft of U.S. registry operating within or outside the United States; and
(f) Limitation on licenses used as the basis for a U.S. certificate. A person may use only one foreign pilot license as a basis for the issuance of a U.S. pilot certificate. The foreign pilot license and medical certification used as a basis for issuing a U.S. pilot certificate under this section must be written in English or accompanied by an English transcription that has been signed by an official or representative of the foreign aviation authority that issued the foreign pilot license.
(g) Limitation placed on a U.S. pilot certificate. A U.S. pilot certificate issued under this section can only be exercised when the pilot has the foreign pilot license, upon which the issuance of the U.S. pilot certificate was based, in the holder's possession or readily accessible in the aircraft.
(a) General. The holder of a foreign pilot license issued by a contracting State to the Convention on International Civil Aviation who meets the requirements of this section may be issued a special purpose pilot authorization by the Administrator for the purpose of performing pilot duties—
(1) On a civil aircraft of U.S. registry that is leased to a person who is not a citizen of the United States, and
(2) For carrying persons or property for compensation or hire for operations in—
(i) Scheduled international air services in turbojet-powered airplanes of U.S. registry;
(ii) Scheduled international air services in airplanes of U.S. registry having a configuration of more than nine passenger seats, excluding crewmember seats;
(iii) Nonscheduled international air transportation in airplanes of U.S. registry having a configuration of more than 30 passenger seats, excluding crewmember seats; or
(iv) Scheduled international air services, or nonscheduled international air transportation, in airplanes of U.S. registry having a payload capacity of more than 7,500 pounds.
(b) Eligibility. To be eligible for the issuance or renewal of a special purpose pilot authorization, an applicant must present the following to a Flight Standards office:
(1) A foreign pilot license issued by the aeronautical authority of a contracting State to the Convention on International Civil Aviation that contains the appropriate aircraft category, class, type rating, if appropriate, and instrument rating for the aircraft to be flown;
(2) A certification by the lessee of the aircraft—
(i) Stating that the applicant is employed by the lessee;
(ii) Specifying the aircraft type on which the applicant will perform pilot duties; and
(iii) Stating that the applicant has received ground and flight instruction that qualifies the applicant to perform the duties to be assigned on the aircraft.
(3) Documentation showing when the applicant will reach the age of 65 years (an official copy of the applicant's birth certificate or other official documentation);
(4) Documentation the applicant meets the medical standards for the issuance of the foreign pilot license from the aeronautical authority of that contracting State to the Convention on International Civil Aviation; and
(5) A statement that the applicant does not already hold a special purpose pilot authorization; however, if the applicant already holds a special purpose pilot authorization, then that special purpose pilot authorization must be surrendered to either the Flight Standards office that issued it, or the Flight Standards office processing the application for the authorization, prior to being issued another special purpose pilot authorization.
(c) Privileges. A person issued a special purpose pilot authorization under this section—
(1) May exercise the privileges prescribed on the special purpose pilot authorization; and
(2) Must comply with the limitations specified in this section and any additional limitations specified on the special purpose pilot authorization.
(d) General limitations. A special purpose pilot authorization may be used only—
(1) For flights between foreign countries or for flights in foreign air commerce within the time period allotted on the authorization.
(2) If the foreign pilot license required by paragraph (b)(1) of this section, the medical documentation required by paragraph (b)(4) of this section, and the special purpose pilot authorization issued under this section are in the holder's physical possession or immediately accessible in the aircraft.
(3) While the holder is employed by the person to whom the aircraft described in the certification required by paragraph (b)(2) of this section is leased.
(4) While the holder is performing pilot duties on the U.S.-registered aircraft described in the certification required by paragraph (b)(2) of this section.
(5) If the holder has only one special purpose pilot authorization as provided in paragraph (b)(5) of this section.
(e) Age limitation. No person who holds a special purpose pilot authorization issued under this part may serve as a pilot on a civil airplane of U.S. registry in the following operations if the person has reached his or her 60th birthday or, in the case of operations with more than one pilot, his or her 65th birthday:
(1) Scheduled international air services carrying passengers in turbojet-powered airplanes;
(2) Scheduled international air services carrying passengers in airplanes having a passenger-seat configuration of more than nine passenger seats, excluding each crewmember seat;
(3) Nonscheduled international air transportation for compensation or hire in airplanes having a passenger-seat configuration of more than 30 passenger seats, excluding each crewmember seat; or
(4) Scheduled international air services, or nonscheduled international air transportation for compensation or hire, in airplanes having a payload capacity of more than 7,500 pounds.
(f) Definitions. (1) International air service, as used in paragraph (e) of this section, means scheduled air service performed in airplanes for the public transport of passengers, mail, or cargo, in which the service passes through the air space over the territory of more than one country.
(2) International air transportation, as used in paragraph (e) of this section, means air transportation performed in airplanes for the public transport of passengers, mail, or cargo, in which service passes through the air space over the territory of more than one country.
(g) Expiration date. Each special purpose pilot authorization issued under this section expires—
(1) 60 calendar months from the month it was issued, unless sooner suspended or revoked;
(2) When the lease agreement for the aircraft expires or the lessee terminates the employment of the person who holds the special purpose pilot authorization;
(3) Whenever the person's foreign pilot license has been suspended, revoked, or is no longer valid; or
(4) When the person no longer meets the medical standards for the issuance of the foreign pilot license.
(h) Renewal. A person exercising the privileges of a special purpose pilot authorization may apply for a 60-calendar-month extension of that authorization, provided the person—
(1) Continues to meet the requirements of this section; and
(2) Surrenders the expired special purpose pilot authorization upon receipt of the new authorization.
(i) Surrender. The holder of a special purpose pilot authorization must surrender the authorization to the Administrator within 7 days after the date the authorization terminates.
This subpart prescribes the requirements for the issuance of student pilot certificates, the conditions under which those certificates are necessary, and the general operating rules and limitations for the holders of those certificates.
To be eligible for a student pilot certificate, an applicant must:
(a) Be at least 16 years of age for other than the operation of a glider or balloon.
(b) Be at least 14 years of age for the operation of a glider or balloon.
(c) Be able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's pilot certificate as are necessary for the safe operation of the aircraft.
An applicant for a student pilot certificate:
(a) Must make that application in a form acceptable to the Administrator; and
(b) Must submit the application to a Flight Standards office, a designated pilot examiner, an airman certification representative associated with a pilot school, a flight instructor, or other person authorized by the Administrator.
(a) General. A student pilot may not operate an aircraft in solo flight unless that student has met the requirements of this section. The term “solo flight” as used in this subpart means that flight time during which a student pilot is the sole occupant of the aircraft or that flight time during which the student performs the duties of a pilot in command of a gas balloon or an airship requiring more than one pilot flight crewmember.
(b) Aeronautical knowledge. A student pilot must demonstrate satisfactory aeronautical knowledge on a knowledge test that meets the requirements of this paragraph:
(1) The test must address the student pilot's knowledge of—
(i) Applicable sections of parts 61 and 91 of this chapter;
(ii) Airspace rules and procedures for the airport where the solo flight will be performed; and
(iii) Flight characteristics and operational limitations for the make and model of aircraft to be flown.
(2) The student's authorized instructor must—
(i) Administer the test; and
(ii) At the conclusion of the test, review all incorrect answers with the student before authorizing that student to conduct a solo flight.
(c) Pre-solo flight training. Prior to conducting a solo flight, a student pilot must have:
(1) Received and logged flight training for the maneuvers and procedures of this section that are appropriate to the make and model of aircraft to be flown; and
(2) Demonstrated satisfactory proficiency and safety, as judged by an authorized instructor, on the maneuvers and procedures required by this section in the make and model of aircraft or similar make and model of aircraft to be flown.
(d) Maneuvers and procedures for pre-solo flight training in a single-engine airplane. A student pilot who is receiving training for a single-engine airplane rating or privileges must receive and log flight training for the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning and preparation, powerplant operation, and aircraft systems;
(2) Taxiing or surface operations, including runups;
(3) Takeoffs and landings, including normal and crosswind;
(4) Straight and level flight, and turns in both directions;
(5) Climbs and climbing turns;
(6) Airport traffic patterns, including entry and departure procedures;
(7) Collision avoidance, windshear avoidance, and wake turbulence avoidance;
(8) Descents, with and without turns, using high and low drag configurations;
(9) Flight at various airspeeds from cruise to slow flight;
(10) Stall entries from various flight attitudes and power combinations with recovery initiated at the first indication of a stall, and recovery from a full stall;
(11) Emergency procedures and equipment malfunctions;
(12) Ground reference maneuvers;
(13) Approaches to a landing area with simulated engine malfunctions;
(14) Slips to a landing; and
(15) Go-arounds.
(e) Maneuvers and procedures for pre-solo flight training in a multiengine airplane. A student pilot who is receiving training for a multiengine airplane rating must receive and log flight training for the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning and preparation, powerplant operation, and aircraft systems;
(2) Taxiing or surface operations, including runups;
(3) Takeoffs and landings, including normal and crosswind;
(4) Straight and level flight, and turns in both directions;
(5) Climbs and climbing turns;
(6) Airport traffic patterns, including entry and departure procedures;
(7) Collision avoidance, windshear avoidance, and wake turbulence avoidance;
(8) Descents, with and without turns, using high and low drag configurations;
(9) Flight at various airspeeds from cruise to slow flight;
(10) Stall entries from various flight attitudes and power combinations with recovery initiated at the first indication of a stall, and recovery from a full stall;
(11) Emergency procedures and equipment malfunctions;
(12) Ground reference maneuvers;
(13) Approaches to a landing area with simulated engine malfunctions; and
(14) Go-arounds.
(f) Maneuvers and procedures for pre-solo flight training in a helicopter. A student pilot who is receiving training for a helicopter rating must receive and log flight training for the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning and preparation, powerplant operation, and aircraft systems;
(2) Taxiing or surface operations, including runups;
(3) Takeoffs and landings, including normal and crosswind;
(4) Straight and level flight, and turns in both directions;
(5) Climbs and climbing turns;
(6) Airport traffic patterns, including entry and departure procedures;
(7) Collision avoidance, windshear avoidance, and wake turbulence avoidance;
(8) Descents with and without turns;
(9) Flight at various airspeeds;
(10) Emergency procedures and equipment malfunctions;
(11) Ground reference maneuvers;
(12) Approaches to the landing area;
(13) Hovering and hovering turns;
(14) Go-arounds;
(15) Simulated emergency procedures, including autorotational descents with a power recovery and power recovery to a hover;
(16) Rapid decelerations; and
(17) Simulated one-engine-inoperative approaches and landings for multiengine helicopters.
(g) Maneuvers and procedures for pre-solo flight training in a gyroplane. A student pilot who is receiving training for a gyroplane rating or privileges must receive and log flight training for the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning and preparation, powerplant operation, and aircraft systems;
(2) Taxiing or surface operations, including runups;
(3) Takeoffs and landings, including normal and crosswind;
(4) Straight and level flight, and turns in both directions;
(5) Climbs and climbing turns;
(6) Airport traffic patterns, including entry and departure procedures;
(7) Collision avoidance, windshear avoidance, and wake turbulence avoidance;
(8) Descents with and without turns;
(9) Flight at various airspeeds;
(10) Emergency procedures and equipment malfunctions;
(11) Ground reference maneuvers;
(12) Approaches to the landing area;
(13) High rates of descent with power on and with simulated power off, and recovery from those flight configurations;
(14) Go-arounds; and
(15) Simulated emergency procedures, including simulated power-off landings and simulated power failure during departures.
(h) Maneuvers and procedures for pre-solo flight training in a powered-lift. A student pilot who is receiving training for a powered-lift rating must receive and log flight training in the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning and preparation, powerplant operation, and aircraft systems;
(2) Taxiing or surface operations, including runups;
(3) Takeoffs and landings, including normal and crosswind;
(4) Straight and level flight, and turns in both directions;
(5) Climbs and climbing turns;
(6) Airport traffic patterns, including entry and departure procedures;
(7) Collision avoidance, windshear avoidance, and wake turbulence avoidance;
(8) Descents with and without turns;
(9) Flight at various airspeeds from cruise to slow flight;
(10) Stall entries from various flight attitudes and power combinations with recovery initiated at the first indication of a stall, and recovery from a full stall;
(11) Emergency procedures and equipment malfunctions;
(12) Ground reference maneuvers;
(13) Approaches to a landing with simulated engine malfunctions;
(14) Go-arounds;
(15) Approaches to the landing area;
(16) Hovering and hovering turns; and
(17) For multiengine powered-lifts, simulated one-engine-inoperative approaches and landings.
(i) Maneuvers and procedures for pre-solo flight training in a glider. A student pilot who is receiving training for a glider rating or privileges must receive and log flight training for the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning, preparation, aircraft systems, and, if appropriate, powerplant operations;
(2) Taxiing or surface operations, including runups, if applicable;
(3) Launches, including normal and crosswind;
(4) Straight and level flight, and turns in both directions, if applicable;
(5) Airport traffic patterns, including entry procedures;
(6) Collision avoidance, windshear avoidance, and wake turbulence avoidance;
(7) Descents with and without turns using high and low drag configurations;
(8) Flight at various airspeeds;
(9) Emergency procedures and equipment malfunctions;
(10) Ground reference maneuvers, if applicable;
(11) Inspection of towline rigging and review of signals and release procedures, if applicable;
(12) Aerotow, ground tow, or self-launch procedures;
(13) Procedures for disassembly and assembly of the glider;
(14) Stall entry, stall, and stall recovery;
(15) Straight glides, turns, and spirals;
(16) Landings, including normal and crosswind;
(17) Slips to a landing;
(18) Procedures and techniques for thermalling; and
(19) Emergency operations, including towline break procedures.
(j) Maneuvers and procedures for pre-solo flight training in an airship. A student pilot who is receiving training for an airship rating or privileges must receive and log flight training for the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning and preparation, powerplant operation, and aircraft systems;
(2) Taxiing or surface operations, including runups;
(3) Takeoffs and landings, including normal and crosswind;
(4) Straight and level flight, and turns in both directions;
(5) Climbs and climbing turns;
(6) Airport traffic patterns, including entry and departure procedures;
(7) Collision avoidance, windshear avoidance, and wake turbulence avoidance;
(8) Descents with and without turns;
(9) Flight at various airspeeds from cruise to slow flight;
(10) Emergency procedures and equipment malfunctions;
(11) Ground reference maneuvers;
(12) Rigging, ballasting, and controlling pressure in the ballonets, and superheating; and
(13) Landings with positive and with negative static trim.
(k) Maneuvers and procedures for pre-solo flight training in a balloon. A student pilot who is receiving training in a balloon must receive and log flight training for the following maneuvers and procedures:
(1) Layout and assembly procedures;
(2) Proper flight preparation procedures, including preflight planning and preparation, and aircraft systems;
(3) Ascents and descents;
(4) Landing and recovery procedures;
(5) Emergency procedures and equipment malfunctions;
(6) Operation of hot air or gas source, ballast, valves, vents, and rip panels, as appropriate;
(7) Use of deflation valves or rip panels for simulating an emergency;
(8) The effects of wind on climb and approach angles; and
(9) Obstruction detection and avoidance techniques.
(l) Maneuvers and procedures for pre-solo flight training in a powered parachute. A student pilot who is receiving training for a powered parachute rating or privileges must receive and log flight training for the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning and preparation, preflight assembly and rigging, aircraft systems, and powerplant operations.
(2) Taxiing or surface operations, including run-ups.
(3) Takeoffs and landings, including normal and crosswind.
(4) Straight and level flight, and turns in both directions.
(5) Climbs, and climbing turns in both directions.
(6) Airport traffic patterns, including entry and departure procedures.
(7) Collision avoidance, windshear avoidance, and wake turbulence avoidance.
(8) Descents, and descending turns in both directions.
(9) Emergency procedures and equipment malfunctions.
(10) Ground reference maneuvers.
(11) Straight glides, and gliding turns in both directions.
(12) Go-arounds.
(13) Approaches to landing areas with a simulated engine malfunction.
(14) Procedures for canopy packing and aircraft disassembly.
(m) Maneuvers and procedures for pre-solo flight training in a weight-shift-control aircraft. A student pilot who is receiving training for a weight-shift-control aircraft rating or privileges must receive and log flight training for the following maneuvers and procedures:
(1) Proper flight preparation procedures, including preflight planning and preparation, preflight assembly and rigging, aircraft systems, and powerplant operations.
(2) Taxiing or surface operations, including run-ups.
(3) Takeoffs and landings, including normal and crosswind.
(4) Straight and level flight, and turns in both directions.
(5) Climbs, and climbing turns in both directions.
(6) Airport traffic patterns, including entry and departure procedures.
(7) Collision avoidance, windshear avoidance, and wake turbulence avoidance.
(8) Descents, and descending turns in both directions.
(9) Flight at various airspeeds from maximum cruise to slow flight.
(10) Emergency procedures and equipment malfunctions.
(11) Ground reference maneuvers.
(12) Stall entry, stall, and stall recovery.
(13) Straight glides, and gliding turns in both directions.
(14) Go-arounds.
(15) Approaches to landing areas with a simulated engine malfunction.
(16) Procedures for disassembly.
(n) Limitations on student pilots operating an aircraft in solo flight. A student pilot may not operate an aircraft in solo flight unless that student pilot has received an endorsement in the student's logbook for the specific make and model aircraft to be flown by an authorized instructor who gave the training within the 90 days preceding the date of the flight.
(o) Limitations on student pilots operating an aircraft in solo flight at night. A student pilot may not operate an aircraft in solo flight at night unless that student pilot has received:
(1) Flight training at night on night flying procedures that includes takeoffs, approaches, landings, and go-arounds at night at the airport where the solo flight will be conducted;
(2) Navigation training at night in the vicinity of the airport where the solo flight will be conducted; and
(3) An endorsement in the student's logbook for the specific make and model aircraft to be flown for night solo flight by an authorized instructor who gave the training within the 90-day period preceding the date of the flight.
(p) Limitations on flight instructors authorizing solo flight. No instructor may authorize a student pilot to perform a solo flight unless that instructor has—
(1) Given that student pilot training in the make and model of aircraft or a similar make and model of aircraft in which the solo flight is to be flown;
(2) Determined the student pilot is proficient in the maneuvers and procedures prescribed in this section;
(3) Determined the student pilot is proficient in the make and model of aircraft to be flown; and
(4) Endorsed the student pilot's logbook for the specific make and model aircraft to be flown, and that endorsement remains current for solo flight privileges, provided an authorized instructor updates the student's logbook every 90 days thereafter.
(a) A student pilot may not act as pilot in command of an aircraft:
(1) That is carrying a passenger;
(2) That is carrying property for compensation or hire;
(3) For compensation or hire;
(4) In furtherance of a business;
(5) On an international flight, except that a student pilot may make solo training flights from Haines, Gustavus, or Juneau, Alaska, to White Horse, Yukon, Canada, and return over the province of British Columbia;
(6) With a flight or surface visibility of less than 3 statute miles during daylight hours or 5 statute miles at night;
(7) When the flight cannot be made with visual reference to the surface; or
(8) In a manner contrary to any limitations placed in the pilot's logbook by an authorized instructor.
(b) A student pilot may not act as a required pilot flight crewmember on any aircraft for which more than one pilot is required by the type certificate of the aircraft or regulations under which the flight is conducted, except when receiving flight training from an authorized instructor on board an airship, and no person other than a required flight crewmember is carried on the aircraft.
(c) A student pilot seeking a sport pilot certificate must comply with the provisions of paragraphs (a) and (b) of this section and may not act as pilot in command—
(1) Of an aircraft other than an aircraft meeting the performance limits and design requirements of § 61.316;
(2) At night;
(3) At an altitude of more than 10,000 feet MSL or 2,000 feet AGL, whichever is higher;
(4) In Class B, C, and D airspace, at an airport located in Class B, C, or D airspace, and to, from, through, or on an airport having an operational control tower without having received the ground and flight training specified in § 61.94 and an endorsement from an authorized instructor;
(5) Of an aircraft without having received the applicable ground training, flight training, and instructor endorsements specified in § 61.327 (a) and (b).
(d) The holder of a student pilot certificate may act as pilot in command of an aircraft without holding a medical certificate issued under part 67 of this chapter provided the student pilot holds a valid U.S. driver's license, meets the requirements of § 61.23(c)(3), and the operation is conducted consistent with the requirements of paragraphs (a) and (b) of this section and the conditions of § 61.113(i). Where the requirements of paragraphs (a) and (b) of this section conflict with § 61.113(i), a student pilot must comply with paragraphs (a) and (b) of this section.
(a) General. (1) Except as provided in paragraph (b) of this section, a student pilot must meet the requirements of this section before—
(i) Conducting a solo cross-country flight, or any flight greater than 25 nautical miles from the airport from where the flight originated.
(ii) Making a solo flight and landing at any location other than the airport of origination.
(2) Except as provided in paragraph (b) of this section, a student pilot who seeks solo cross-country flight privileges must:
(i) Have received flight training from an instructor authorized to provide flight training on the maneuvers and procedures of this section that are appropriate to the make and model of aircraft for which solo cross-country privileges are sought;
(ii) Have demonstrated cross-country proficiency on the appropriate maneuvers and procedures of this section to an authorized instructor;
(iii) Have satisfactorily accomplished the pre-solo flight maneuvers and procedures required by § 61.87 of this part in the make and model of aircraft or similar make and model of aircraft for which solo cross-country privileges are sought; and
(iv) Comply with any limitations included in the authorized instructor's endorsement that are required by paragraph (c) of this section.
(3) A student pilot who seeks solo cross-country flight privileges must have received ground and flight training from an authorized instructor on the cross-country maneuvers and procedures listed in this section that are appropriate to the aircraft to be flown.
(b) Authorization to perform certain solo flights and cross-country flights. A student pilot must obtain an endorsement from an authorized instructor to make solo flights from the airport where the student pilot normally receives training to another location. A student pilot who receives this endorsement must comply with the requirements of this paragraph.
(1) Solo flights may be made to another airport that is within 25 nautical miles from the airport where the student pilot normally receives training, provided—
(i) An authorized instructor has given the student pilot flight training at the other airport, and that training includes flight in both directions over the route, entering and exiting the traffic pattern, and takeoffs and landings at the other airport;
(ii) The authorized instructor who gave the training endorses the student pilot's logbook authorizing the flight;
(iii) The student pilot has a solo flight endorsement in accordance with § 61.87 of this part;
(iv) The authorized instructor has determined that the student pilot is proficient to make the flight; and
(v) The purpose of the flight is to practice takeoffs and landings at that other airport.
(2) Repeated specific solo cross-country flights may be made to another airport that is within 50 nautical miles of the airport from which the flight originated, provided—
(i) The authorized instructor has given the student flight training in both directions over the route, including entering and exiting the traffic patterns, takeoffs, and landings at the airports to be used;
(ii) The authorized instructor who gave the training has endorsed the student's logbook certifying that the student is proficient to make such flights;
(iii) The student has a solo flight endorsement in accordance with § 61.87 of this part; and
(iv) The student has a solo cross country flight endorsement in accordance with paragraph (c) of this section; however, for repeated solo cross country flights to another airport within 50 nautical miles from which the flight originated, separate endorsements are not required to be made for each flight.
(c) Endorsements for solo cross-country flights. Except as specified in paragraph (b)(2) of this section, a student pilot must have the endorsements prescribed in this paragraph for each cross-country flight:
(1) A student pilot must have a solo cross-country endorsement from the authorized instructor who conducted the training that is placed in that person's logbook for the specific category of aircraft to be flown.
(2) A student pilot must have a solo cross-country endorsement from an authorized instructor that is placed in that person's logbook for the specific make and model of aircraft to be flown.
(3) For each cross-country flight, the authorized instructor who reviews the cross-country planning must make an endorsement in the person's logbook after reviewing that person's cross-country planning, as specified in paragraph (d) of this section. The endorsement must—
(i) Specify the make and model of aircraft to be flown;
(ii) State that the student's preflight planning and preparation is correct and that the student is prepared to make the flight safely under the known conditions; and
(iii) State that any limitations required by the student's authorized instructor are met.
(d) Limitations on authorized instructors to permit solo cross-country flights. An authorized instructor may not permit a student pilot to conduct a solo cross-country flight unless that instructor has:
(1) Determined that the student's cross-country planning is correct for the flight;
(2) Reviewed the current and forecast weather conditions and has determined that the flight can be completed under VFR;
(3) Determined that the student is proficient to conduct the flight safely;
(4) Determined that the student has the appropriate solo cross-country endorsement for the make and model of aircraft to be flown; and
(5) Determined that the student's solo flight endorsement is current for the make and model aircraft to be flown.
(e) Maneuvers and procedures for cross-country flight training in a single-engine airplane. A student pilot who is receiving training for cross-country flight in a single-engine airplane must receive and log flight training in the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass;
(2) Use of aircraft performance charts pertaining to cross-country flight;
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognition of critical weather situations and estimating visibility while in flight;
(4) Emergency procedures;
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach;
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance;
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown;
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications;
(9) Use of radios for VFR navigation and two-way communication, except that a student pilot seeking a sport pilot certificate must only receive and log flight training on the use of radios installed in the aircraft to be flown;
(10) Takeoff, approach, and landing procedures, including short-field, soft-field, and crosswind takeoffs, approaches, and landings;
(11) Climbs at best angle and best rate; and
(12) Control and maneuvering solely by reference to flight instruments, including straight and level flight, turns, descents, climbs, use of radio aids, and ATC directives. For student pilots seeking a sport pilot certificate, the provisions of this paragraph only apply when receiving training for cross-country flight in an airplane that has a V
(f) Maneuvers and procedures for cross-country flight training in a multiengine airplane. A student pilot who is receiving training for cross-country flight in a multiengine airplane must receive and log flight training in the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass;
(2) Use of aircraft performance charts pertaining to cross-country flight;
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognition of critical weather situations and estimating visibility while in flight;
(4) Emergency procedures;
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach;
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance;
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown;
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications;
(9) Use of radios for VFR navigation and two-way communications;
(10) Takeoff, approach, and landing procedures, including short-field, soft-field, and crosswind takeoffs, approaches, and landings;
(11) Climbs at best angle and best rate; and
(12) Control and maneuvering solely by reference to flight instruments, including straight and level flight, turns, descents, climbs, use of radio aids, and ATC directives.
(g) Maneuvers and procedures for cross-country flight training in a helicopter. A student pilot who is receiving training for cross-country flight in a helicopter must receive and log flight training for the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass;
(2) Use of aircraft performance charts pertaining to cross-country flight;
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognition of critical weather situations and estimating visibility while in flight;
(4) Emergency procedures;
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach;
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance;
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown;
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications;
(9) Use of radios for VFR navigation and two-way communications; and
(10) Takeoff, approach, and landing procedures.
(h) Maneuvers and procedures for cross-country flight training in a gyroplane. A student pilot who is receiving training for cross-country flight in a gyroplane must receive and log flight training in the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass;
(2) Use of aircraft performance charts pertaining to cross-country flight;
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognition of critical weather situations and estimating visibility while in flight;
(4) Emergency procedures;
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach;
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance;
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown;
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications;
(9) Use of radios for VFR navigation and two-way communication, except that a student pilot seeking a sport pilot certificate must only receive and log flight training on the use of radios installed in the aircraft to be flown; and
(10) Takeoff, approach, and landing procedures, including short-field and soft-field takeoffs, approaches, and landings.
(i) Maneuvers and procedures for cross-country flight training in a powered-lift. A student pilot who is receiving training for cross-country flight training in a powered-lift must receive and log flight training in the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass;
(2) Use of aircraft performance charts pertaining to cross-country flight;
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognition of critical weather situations and estimating visibility while in flight;
(4) Emergency procedures;
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach;
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance;
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown;
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications;
(9) Use of radios for VFR navigation and two-way communications;
(10) Takeoff, approach, and landing procedures that include high-altitude, steep, and shallow takeoffs, approaches, and landings; and
(11) Control and maneuvering solely by reference to flight instruments, including straight and level flight, turns, descents, climbs, use of radio aids, and ATC directives.
(j) Maneuvers and procedures for cross-country flight training in a glider. A student pilot who is receiving training for cross-country flight in a glider must receive and log flight training in the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass;
(2) Use of aircraft performance charts pertaining to cross-country flight;
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognition of critical weather situations and estimating visibility while in flight;
(4) Emergency procedures;
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach;
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance;
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown;
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications;
(9) Landings accomplished without the use of the altimeter from at least 2,000 feet above the surface; and
(10) Recognition of weather and upper air conditions favorable for cross-country soaring, ascending and descending flight, and altitude control.
(k) Maneuvers and procedures for cross-country flight training in an airship. A student pilot who is receiving training for cross-country flight in an airship must receive and log flight training for the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass;
(2) Use of aircraft performance charts pertaining to cross-country flight;
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognition of critical weather situations and estimating visibility while in flight;
(4) Emergency procedures;
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach;
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance;
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown;
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications;
(9) Use of radios for VFR navigation and two-way communication, except that a student pilot seeking a sport pilot certificate must only receive and log flight training on the use of radios installed in the aircraft to be flown;
(10) Control of air pressure with regard to ascending and descending flight and altitude control;
(11) Control of the airship solely by reference to flight instruments, except for a student pilot seeking a sport pilot certificate; and
(12) Recognition of weather and upper air conditions conducive for the direction of cross-country flight.
(l) Maneuvers and procedures for cross-country flight training in a powered parachute. A student pilot who is receiving training for cross-country flight in a powered parachute must receive and log flight training in the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass, as appropriate.
(2) Use of aircraft performance charts pertaining to cross-country flight.
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognizing critical weather situations and estimating visibility while in flight.
(4) Emergency procedures.
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach.
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance.
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown.
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications.
(9) If equipped for flight with navigation radios, the use of radios for VFR navigation.
(10) Recognition of weather and upper air conditions favorable for the cross-country flight.
(11) Takeoff, approach and landing procedures.
(m) Maneuvers and procedures for cross-country flight training in a weight-shift-control aircraft. A student pilot who is receiving training for cross-country flight in a weight-shift-control aircraft must receive and log flight training for the following maneuvers and procedures:
(1) Use of aeronautical charts for VFR navigation using pilotage and dead reckoning with the aid of a magnetic compass, as appropriate.
(2) Use of aircraft performance charts pertaining to cross-country flight.
(3) Procurement and analysis of aeronautical weather reports and forecasts, including recognizing critical weather situations and estimating visibility while in flight.
(4) Emergency procedures.
(5) Traffic pattern procedures that include area departure, area arrival, entry into the traffic pattern, and approach.
(6) Procedures and operating practices for collision avoidance, wake turbulence precautions, and windshear avoidance.
(7) Recognition, avoidance, and operational restrictions of hazardous terrain features in the geographical area where the cross-country flight will be flown.
(8) Procedures for operating the instruments and equipment installed in the aircraft to be flown, including recognition and use of the proper operational procedures and indications.
(9) If equipped for flight using navigation radios, the use of radios for VFR navigation.
(10) Recognition of weather and upper air conditions favorable for the cross-country flight.
(11) Takeoff, approach and landing procedures, including crosswind approaches and landings.
(a) A student pilot seeking a sport pilot certificate or a recreational pilot certificate who wants to obtain privileges to operate in Class B, C, and D airspace, at an airport located in Class B, C, or D airspace, and to, from, through, or at an airport having an operational control tower, must receive and log ground and flight training from an authorized instructor in the following aeronautical knowledge areas and areas of operation:
(1) The use of radios, communications, navigation systems and facilities, and radar services.
(2) Operations at airports with an operating control tower, to include three takeoffs and landings to a full stop, with each landing involving a flight in the traffic pattern, at an airport with an operating control tower.
(3) Applicable flight rules of part 91 of this chapter for operations in Class B, C, and D airspace and air traffic control clearances.
(4) Ground and flight training for the specific Class B, C, or D airspace for which the solo flight is authorized, if applicable, within the 90-day period preceding the date of the flight in that airspace. The flight training must be received in the specific airspace area for which solo flight is authorized.
(5) Ground and flight training for the specific airport located in Class B, C, or D airspace for which the solo flight is authorized, if applicable, within the 90-day period preceding the date of the flight at that airport. The flight and ground training must be received at the specific airport for which solo flight is authorized.
(b) The authorized instructor who provides the training specified in paragraph (a) of this section must provide a logbook endorsement that certifies the student has received that training and is proficient to conduct solo flight in that specific airspace or at that specific airport and in those aeronautical knowledge areas and areas of operation specified in this section.
(a) A student pilot may not operate an aircraft on a solo flight in Class B airspace unless:
(1) The student pilot has received both ground and flight training from an authorized instructor on that Class B airspace area, and the flight training was received in the specific Class B airspace area for which solo flight is authorized;
(2) The logbook of that student pilot has been endorsed by the authorized instructor who gave the student pilot flight training, and the endorsement is dated within the 90-day period preceding the date of the flight in that Class B airspace area; and
(3) The logbook endorsement specifies that the student pilot has received the required ground and flight training, and has been found proficient to conduct solo flight in that specific Class B airspace area.
(b) A student pilot may not operate an aircraft on a solo flight to, from, or at an airport located within Class B airspace pursuant to § 91.131(b) of this chapter unless:
(1) The student pilot has received both ground and flight training from an instructor authorized to provide training to operate at that airport, and the flight and ground training has been received at the specific airport for which the solo flight is authorized;
(2) The logbook of that student pilot has been endorsed by an authorized instructor who gave the student pilot flight training, and the endorsement is dated within the 90-day period preceding the date of the flight at that airport; and
(3) The logbook endorsement specifies that the student pilot has received the required ground and flight training, and has been found proficient to conduct solo flight operations at that specific airport.
(c) This section does not apply to a student pilot seeking a sport pilot certificate or a recreational pilot certificate.
(a) This subpart prescribes the requirement for the issuance of recreational pilot certificates and ratings, the conditions under which those certificates and ratings are necessary, and the general operating rules for persons who hold those certificates and ratings.
(b) To be eligible for a recreational pilot certificate, a person who applies for that certificate must:
(1) Be at least 17 years of age;
(2) Be able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's pilot certificate as are necessary for the safe operation of the aircraft;
(3) Receive a logbook endorsement from an authorized instructor who—
(i) Conducted the training or reviewed the applicant's home study on the aeronautical knowledge areas listed in § 61.97(b) of this part that apply to the aircraft category and class rating sought; and
(ii) Certified that the applicant is prepared for the required knowledge test.
(4) Pass the required knowledge test on the aeronautical knowledge areas listed in § 61.97(b) of this part;
(5) Receive flight training and a logbook endorsement from an authorized instructor who—
(i) Conducted the training on the areas of operation listed in § 61.98(b) of this part that apply to the aircraft category and class rating sought; and
(ii) Certified that the applicant is prepared for the required practical test.
(6) Meet the aeronautical experience requirements of § 61.99 of this part that apply to the aircraft category and class rating sought before applying for the practical test;
(7) Pass the practical test on the areas of operation listed in § 61.98(b) that apply to the aircraft category and class rating;
(8) Comply with the sections of this part that apply to the aircraft category and class rating; and
(9) Hold either a student pilot certificate or sport pilot certificate.
(a) General. A person who applies for a recreational pilot certificate must receive and log ground training from an authorized instructor or complete a home-study course on the aeronautical knowledge areas of paragraph (b) of this section that apply to the aircraft category and class rating sought.
(b) Aeronautical knowledge areas. (1) Applicable Federal Aviation Regulations of this chapter that relate to recreational pilot privileges, limitations, and flight operations;
(2) Accident reporting requirements of the National Transportation Safety Board;
(3) Use of the applicable portions of the “Aeronautical Information Manual” and FAA advisory circulars;
(4) Use of aeronautical charts for VFR navigation using pilotage with the aid of a magnetic compass;
(5) Recognition of critical weather situations from the ground and in flight, windshear avoidance, and the procurement and use of aeronautical weather reports and forecasts;
(6) Safe and efficient operation of aircraft, including collision avoidance, and recognition and avoidance of wake turbulence;
(7) Effects of density altitude on takeoff and climb performance;
(8) Weight and balance computations;
(9) Principles of aerodynamics, powerplants, and aircraft systems;
(10) Stall awareness, spin entry, spins, and spin recovery techniques, if applying for an airplane single-engine rating;
(11) Aeronautical decision making and judgment; and
(12) Preflight action that includes—
(i) How to obtain information on runway lengths at airports of intended use, data on takeoff and landing distances, weather reports and forecasts, and fuel requirements; and
(ii) How to plan for alternatives if the planned flight cannot be completed or delays are encountered.
(a) General. A person who applies for a recreational pilot certificate must receive and log ground and flight training from an authorized instructor on the areas of operation of this section that apply to the aircraft category and class rating sought.
(b) Areas of operation. (1) For a single-engine airplane rating: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Emergency operations; and
(x) Postflight procedures.
(2) For a helicopter rating: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Ground reference maneuvers;
(viii) Navigation;
(ix) Emergency operations; and
(x) Postflight procedures.
(3) For a gyroplane rating: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Flight at slow airspeeds;
(ix) Emergency operations; and
(x) Postflight procedures.
(a) A person who applies for a recreational pilot certificate must receive and log at least 30 hours of flight time that includes at least—
(1) 15 hours of flight training from an authorized instructor on the areas of operation listed in § 61.98 that consists of at least:
(i) Except as provided in § 61.100, 2 hours of flight training en route to an airport that is located more than 25 nautical miles from the airport where the applicant normally trains, which includes at least three takeoffs and three landings at the airport located more than 25 nautical miles from the airport where the applicant normally trains; and
(ii) Three hours of flight training with an authorized instructor in the aircraft for the rating sought in preparation for the practical test within the preceding 2 calendar months from the month of the test.
(2) Three hours of solo flying in the aircraft for the rating sought, on the areas of operation listed in § 61.98 that apply to the aircraft category and class rating sought.
(b) The holder of a sport pilot certificate may credit flight training received from a flight instructor with a sport pilot rating toward the aeronautical experience requirements of this section if the following conditions are met:
(1) The flight training was accomplished in the same category and class of aircraft for which the rating is sought;
(2) The flight instructor with a sport pilot rating was authorized to provide the flight training; and
(3) The flight training included training on areas of operation that are required for both a sport pilot certificate and a recreational pilot certificate.
(a) An applicant located on an island from which the flight training required in § 61.99(a)(1) of this part cannot be accomplished without flying over water for more than 10 nautical miles from the nearest shoreline need not comply with the requirements of that section. However, if other airports that permit civil operations are available to which a flight may be made without flying over water for more than 10 nautical miles from the nearest shoreline, the applicant must show completion of a dual flight between two airports, which must include three landings at the other airport.
(b) An applicant who complies with paragraph (a) of this section and meets all requirements for the issuance of a recreational pilot certificate, except the requirements of § 61.99(a)(1) of this part, will be issued a pilot certificate with an endorsement containing the following limitation, “Passenger carrying prohibited on flights more than 10 nautical miles from (the appropriate island).” The limitation may be subsequently amended to include another island if the applicant complies with the requirements of paragraph (a) of this section for another island.
(c) Upon meeting the requirements of § 61.99(a)(1) of this part, the applicant may have the limitation(s) in paragraph (b) of this section removed.
(a) A person who holds a recreational pilot certificate may:
(1) Carry no more than one passenger; and
(2) Not pay less than the pro rata share of the operating expenses of a flight with a passenger, provided the expenses involve only fuel, oil, airport expenses, or aircraft rental fees.
(b) A person who holds a recreational pilot certificate may act as pilot in command of an aircraft on a flight within 50 nautical miles from the departure airport, provided that person has—
(1) Received ground and flight training for takeoff, departure, arrival, and landing procedures at the departure airport;
(2) Received ground and flight training for the area, terrain, and aids to navigation that are in the vicinity of the departure airport;
(3) Been found proficient to operate the aircraft at the departure airport and the area within 50 nautical miles from that airport; and
(4) Received from an authorized instructor a logbook endorsement, which is carried in the person's possession in the aircraft, that permits flight within 50 nautical miles from the departure airport.
(c) A person who holds a recreational pilot certificate may act as pilot in command of an aircraft on a flight that exceeds 50 nautical miles from the departure airport, provided that person has—
(1) Received ground and flight training from an authorized instructor on the cross-country training requirements of subpart E of this part that apply to the aircraft rating held;
(2) Been found proficient in cross-country flying; and
(3) Received from an authorized instructor a logbook endorsement, which is carried on the person's possession in the aircraft, that certifies the person has received and been found proficient in the cross-country training requirements of subpart E of this part that apply to the aircraft rating held.
(d) A person who holds a recreational pilot certificate may act as pilot in command of an aircraft in Class B, C, and D airspace, at an airport located in Class B, C, or D airspace, and to, from, through, or at an airport having an operational control tower, provided that person has—
(1) Received and logged ground and flight training from an authorized instructor on the following aeronautical knowledge areas and areas of operation, as appropriate to the aircraft rating held:
(i) The use of radios, communications, navigation system and facilities, and radar services.
(ii) Operations at airports with an operating control tower to include three takeoffs and landings to a full stop, with each landing involving a flight in the traffic pattern at an airport with an operating control tower.
(iii) Applicable flight rules of part 91 of this chapter for operations in Class B, C, and D airspace and air traffic control clearances;
(2) Been found proficient in those aeronautical knowledge areas and areas of operation specified in paragraph (d)(1) of this section; and
(3) Received from an authorized instructor a logbook endorsement, which is carried on the person's possession or readily accessible in the aircraft, that certifies the person has received and been found proficient in those aeronautical knowledge areas and areas of operation specified in paragraph (d)(1) of this section.
(e) Except as provided in paragraphs (d) and (i) of this section, a recreational pilot may not act as pilot in command of an aircraft—
(1) That is certificated—
(i) For more than four occupants;
(ii) With more than one powerplant;
(iii) With a powerplant of more than 180 horsepower, except aircraft certificated in the rotorcraft category; or
(iv) With retractable landing gear;
(2) That is classified as a multiengine airplane, powered-lift, glider, airship, balloon, powered parachute, or weight-shift-control aircraft;
(3) That is carrying a passenger or property for compensation or hire;
(4) For compensation or hire;
(5) In furtherance of a business;
(6) Between sunset and sunrise;
(7) In Class A, B, C, and D airspace, at an airport located in Class B, C, or D airspace, or to, from, through, or at an airport having an operational control tower;
(8) At an altitude of more than 10,000 feet MSL or 2,000 feet AGL, whichever is higher;
(9) When the flight or surface visibility is less than 3 statute miles;
(10) Without visual reference to the surface;
(11) On a flight outside the United States, unless authorized by the country in which the flight is conducted;
(12) To demonstrate that aircraft in flight as an aircraft salesperson to a prospective buyer;
(13) That is used in a passenger-carrying airlift and sponsored by a charitable organization; and
(14) That is towing any object.
(f) A recreational pilot may not act as a pilot flight crewmember on any aircraft for which more than one pilot is required by the type certificate of the aircraft or the regulations under which the flight is conducted, except when:
(1) Receiving flight training from a person authorized to provide flight training on board an airship; and
(2) No person other than a required flight crewmember is carried on the aircraft.
(g) A person who holds a recreational pilot certificate, has logged fewer than 400 flight hours, and has not logged pilot-in-command time in an aircraft within the 180 days preceding the flight shall not act as pilot in command of an aircraft until the pilot receives flight training and a logbook endorsement from an authorized instructor, and the instructor certifies that the person is proficient to act as pilot in command of the aircraft. This requirement can be met in combination with the requirements of §§ 61.56 and 61.57 of this part, at the discretion of the authorized instructor.
(h) A recreational pilot certificate issued under this subpart carries the notation, “Holder does not meet ICAO requirements.”
(i) For the purpose of obtaining additional certificates or ratings while under the supervision of an authorized instructor, a recreational pilot may fly as the sole occupant of an aircraft:
(1) For which the pilot does not hold an appropriate category or class rating;
(2) Within airspace that requires communication with air traffic control; or
(3) Between sunset and sunrise, provided the flight or surface visibility is at least 5 statute miles.
(j) In order to fly solo as provided in paragraph (i) of this section, the recreational pilot must meet the appropriate aeronautical knowledge and flight training requirements of § 61.87 for that aircraft. When operating an aircraft under the conditions specified in paragraph (i) of this section, the recreational pilot shall carry the logbook that has been endorsed for each flight by an authorized instructor who:
(1) Has given the recreational pilot training in the make and model of aircraft in which the solo flight is to be made;
(2) Has found that the recreational pilot has met the applicable requirements of § 61.87; and
(3) Has found that the recreational pilot is competent to make solo flights in accordance with the logbook endorsement.
(k) A recreational pilot may act as pilot in command of an aircraft without holding a medical certificate issued under part 67 of this chapter provided the pilot holds a valid U.S. driver's license, meets the requirements of § 61.23(c)(3), and the operation is conducted consistent with this section and the conditions of § 61.113(i). Where the requirements of this section conflict with § 61.113(i), a recreational pilot must comply with this section.
This subpart prescribes the requirements for the issuance of private pilot certificates and ratings, the conditions under which those certificates and ratings are necessary, and the general operating rules for persons who hold those certificates and ratings.
To be eligible for a private pilot certificate, a person must:
(a) Be at least 17 years of age for a rating in other than a glider or balloon.
(b) Be at least 16 years of age for a rating in a glider or balloon.
(c) Be able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's pilot certificate as are necessary for the safe operation of the aircraft.
(d) Receive a logbook endorsement from an authorized instructor who:
(1) Conducted the training or reviewed the person's home study on the aeronautical knowledge areas listed in § 61.105(b) of this part that apply to the aircraft rating sought; and
(2) Certified that the person is prepared for the required knowledge test.
(e) Pass the required knowledge test on the aeronautical knowledge areas listed in § 61.105(b) of this part.
(f) Receive flight training and a logbook endorsement from an authorized instructor who:
(1) Conducted the training in the areas of operation listed in § 61.107(b) of this part that apply to the aircraft rating sought; and
(2) Certified that the person is prepared for the required practical test.
(g) Meet the aeronautical experience requirements of this part that apply to the aircraft rating sought before applying for the practical test.
(h) Pass a practical test on the areas of operation listed in § 61.107(b) of this part that apply to the aircraft rating sought.
(i) Comply with the appropriate sections of this part that apply to the aircraft category and class rating sought.
(j) Hold a U.S. student pilot certificate, sport pilot certificate, or recreational pilot certificate.
(a) General. A person who is applying for a private pilot certificate must receive and log ground training from an authorized instructor or complete a home-study course on the aeronautical knowledge areas of paragraph (b) of this section that apply to the aircraft category and class rating sought.
(b) Aeronautical knowledge areas. (1) Applicable Federal Aviation Regulations of this chapter that relate to private pilot privileges, limitations, and flight operations;
(2) Accident reporting requirements of the National Transportation Safety Board;
(3) Use of the applicable portions of the “Aeronautical Information Manual” and FAA advisory circulars;
(4) Use of aeronautical charts for VFR navigation using pilotage, dead reckoning, and navigation systems;
(5) Radio communication procedures;
(6) Recognition of critical weather situations from the ground and in flight, windshear avoidance, and the procurement and use of aeronautical weather reports and forecasts;
(7) Safe and efficient operation of aircraft, including collision avoidance, and recognition and avoidance of wake turbulence;
(8) Effects of density altitude on takeoff and climb performance;
(9) Weight and balance computations;
(10) Principles of aerodynamics, powerplants, and aircraft systems;
(11) Stall awareness, spin entry, spins, and spin recovery techniques for the airplane and glider category ratings;
(12) Aeronautical decision making and judgment; and
(13) Preflight action that includes—
(i) How to obtain information on runway lengths at airports of intended use, data on takeoff and landing distances, weather reports and forecasts, and fuel requirements; and
(ii) How to plan for alternatives if the planned flight cannot be completed or delays are encountered.
(a) General. A person who applies for a private pilot certificate must receive and log ground and flight training from an authorized instructor on the areas of operation of this section that apply to the aircraft category and class rating sought.
(b) Areas of operation. (1) For an airplane category rating with a single-engine class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Basic instrument maneuvers;
(x) Emergency operations;
(xi) Night operations, except as provided in § 61.110 of this part; and
(xii) Postflight procedures.
(2) For an airplane category rating with a multiengine class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Basic instrument maneuvers;
(x) Emergency operations;
(xi) Multiengine operations;
(xii) Night operations, except as provided in § 61.110 of this part; and
(xiii) Postflight procedures.
(3) For a rotorcraft category rating with a helicopter class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Navigation;
(viii) Emergency operations;
(ix) Night operations, except as provided in § 61.110 of this part; and
(x) Postflight procedures.
(4) For a rotorcraft category rating with a gyroplane class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Flight at slow airspeeds;
(ix) Emergency operations;
(x) Night operations, except as provided in § 61.110 of this part; and
(xi) Postflight procedures.
(5) For a powered-lift category rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Ground reference maneuvers;
(viii) Navigation;
(ix) Slow flight and stalls;
(x) Basic instrument maneuvers;
(xi) Emergency operations;
(xii) Night operations, except as provided in § 61.110 of this part; and
(xiii) Postflight procedures.
(6) For a glider category rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and gliderport operations;
(iv) Launches and landings;
(v) Performance speeds;
(vi) Soaring techniques;
(vii) Performance maneuvers;
(viii) Navigation;
(ix) Slow flight and stalls;
(x) Emergency operations; and
(xi) Postflight procedures.
(7) For a lighter-than-air category rating with an airship class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Emergency operations; and
(ix) Postflight procedures.
(8) For a lighter-than-air category rating with a balloon class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Launches and landings;
(v) Performance maneuvers;
(vi) Navigation;
(vii) Emergency operations; and
(viii) Postflight procedures.
(9) For a powered parachute category rating—
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations, as applicable;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Night operations, except as provided in § 61.110;
(ix) Emergency operations; and
(x) Post-flight procedures.
(10) For a weight-shift-control aircraft category rating—
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations, as applicable;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Night operations, except as provided in § 61.110;
(x) Emergency operations; and
(xi) Post-flight procedures.
(a) For an airplane single-engine rating. Except as provided in paragraph (k) of this section, a person who applies for a private pilot certificate with an airplane category and single-engine class rating must log at least 40 hours of flight time that includes at least 20 hours of flight training from an authorized instructor and 10 hours of solo flight training in the areas of operation listed in § 61.107(b)(1) of this part, and the training must include at least—
(1) 3 hours of cross-country flight training in a single-engine airplane;
(2) Except as provided in § 61.110 of this part, 3 hours of night flight training in a single-engine airplane that includes—
(i) One cross-country flight of over 100 nautical miles total distance; and
(ii) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(3) 3 hours of flight training in a single-engine airplane on the control and maneuvering of an airplane solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight;
(4) 3 hours of flight training with an authorized instructor in a single-engine airplane in preparation for the practical test, which must have been performed within the preceding 2 calendar months from the month of the test; and
(5) 10 hours of solo flight time in a single-engine airplane, consisting of at least—
(i) 5 hours of solo cross-country time;
(ii) One solo cross country flight of 150 nautical miles total distance, with full-stop landings at three points, and one segment of the flight consisting of a straight-line distance of more than 50 nautical miles between the takeoff and landing locations; and
(iii) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(b) For an airplane multiengine rating. Except as provided in paragraph (k) of this section, a person who applies for a private pilot certificate with an airplane category and multiengine class rating must log at least 40 hours of flight time that includes at least 20 hours of flight training from an authorized instructor and 10 hours of solo flight training in the areas of operation listed in § 61.107(b)(2) of this part, and the training must include at least—
(1) 3 hours of cross-country flight training in a multiengine airplane;
(2) Except as provided in § 61.110 of this part, 3 hours of night flight training in a multiengine airplane that includes—
(i) One cross-country flight of over 100 nautical miles total distance; and
(ii) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(3) 3 hours of flight training in a multiengine airplane on the control and maneuvering of an airplane solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight;
(4) 3 hours of flight training with an authorized instructor in a multiengine airplane in preparation for the practical test, which must have been performed within the preceding 2 calendar months from the month of the test; and
(5) 10 hours of solo flight time in an airplane consisting of at least—
(i) 5 hours of solo cross-country time;
(ii) One solo cross country flight of 150 nautical miles total distance, with full-stop landings at three points, and one segment of the flight consisting of a straight-line distance of more than 50 nautical miles between the takeoff and landing locations; and
(iii) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(c) For a helicopter rating. Except as provided in paragraph (k) of this section, a person who applies for a private pilot certificate with rotorcraft category and helicopter class rating must log at least 40 hours of flight time that includes at least 20 hours of flight training from an authorized instructor and 10 hours of solo flight training in the areas of operation listed in § 61.107(b)(3) of this part, and the training must include at least—
(1) 3 hours of cross-country flight training in a helicopter;
(2) Except as provided in § 61.110 of this part, 3 hours of night flight training in a helicopter that includes—
(i) One cross-country flight of over 50 nautical miles total distance; and
(ii) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(3) 3 hours of flight training with an authorized instructor in a helicopter in preparation for the practical test, which must have been performed within the preceding 2 calendar months from the month of the test; and
(4) 10 hours of solo flight time in a helicopter, consisting of at least—
(i) 3 hours cross-country time;
(ii) One solo cross country flight of 100 nautical miles total distance, with landings at three points, and one segment of the flight being a straight-line distance of more than 25 nautical miles between the takeoff and landing locations; and
(iii) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(d) For a gyroplane rating. Except as provided in paragraph (k) of this section, a person who applies for a private pilot certificate with rotorcraft category and gyroplane class rating must log at least 40 hours of flight time that includes at least 20 hours of flight training from an authorized instructor and 10 hours of solo flight training in the areas of operation listed in § 61.107(b)(4) of this part, and the training must include at least—
(1) 3 hours of cross-country flight training in a gyroplane;
(2) Except as provided in § 61.110 of this part, 3 hours of night flight training in a gyroplane that includes—
(i) One cross-country flight of over 50 nautical miles total distance; and
(ii) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(3) 3 hours of flight training with an authorized instructor in a gyroplane in preparation for the practical test, which must have been performed within the preceding 2 calendar months from the month of the test; and
(4) 10 hours of solo flight time in a gyroplane, consisting of at least—
(i) 3 hours of cross-country time;
(ii) One solo cross country flight of 100 nautical miles total distance, with landings at three points, and one segment of the flight being a straight-line distance of more than 25 nautical miles between the takeoff and landing locations; and
(iii) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(e) For a powered-lift rating. Except as provided in paragraph (k) of this section, a person who applies for a private pilot certificate with a powered-lift category rating must log at least 40 hours of flight time that includes at least 20 hours of flight training from an authorized instructor and 10 hours of solo flight training in the areas of operation listed in § 61.107(b)(5) of this part, and the training must include at least—
(1) 3 hours of cross-country flight training in a powered-lift;
(2) Except as provided in § 61.110 of this part, 3 hours of night flight training in a powered-lift that includes—
(i) One cross-country flight of over 100 nautical miles total distance; and
(ii) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(3) 3 hours of flight training in a powered-lift on the control and maneuvering of a powered-lift solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight;
(4) 3 hours of flight training with an authorized instructor in a powered-lift in preparation for the practical test, which must have been performed within the preceding 2 calendar months from the month of the test; and
(5) 10 hours of solo flight time in a powered-lift consisting of at least—
(i) 5 hours cross-country time;
(ii) One solo cross country flight of 150 nautical miles total distance, with full-stop landings at three points, and one segment of the flight consisting of a straight-line distance of more than 50 nautical miles between the takeoff and landing locations; and
(iii) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(f) For a glider category rating. (1) If the applicant for a private pilot certificate with a glider category rating has not logged at least 40 hours of flight time as a pilot in a heavier-than-air aircraft, the applicant must log at least 10 hours of flight time in a glider in the areas of operation listed in § 61.107(b)(6) of this part, and that flight time must include at least—
(i) 20 flights in a glider in the areas of operations listed in § 61.107(b)(6) of this part, including at least 3 training flights with an authorized instructor in a glider in preparation for the practical test that must have been performed within the preceding 2 calendar months from the month of the test; and
(ii) 2 hours of solo flight time in a glider in the areas of operation listed in § 61.107(b)(6) of this part, with not less than 10 launches and landings being performed.
(2) If the applicant has logged at least 40 hours of flight time in a heavier-than-air aircraft, the applicant must log at least 3 hours of flight time in a glider in the areas of operation listed in § 61.107(b)(6) of this part, and that flight time must include at least—
(i) 10 solo flights in a glider in the areas of operation listed in § 61.107(b)(6) of this part; and
(ii) 3 training flights with an authorized instructor in a glider in preparation for the practical test that must have been performed within the preceding 2 calendar months from the month of the test.
(g) For an airship rating. A person who applies for a private pilot certificate with a lighter-than-air category and airship class rating must log at least:
(1) 25 hours of flight training in airships on the areas of operation listed in § 61.107(b)(7) of this part, which consists of at least:
(i) 3 hours of cross-country flight training in an airship;
(ii) Except as provided in § 61.110 of this part, 3 hours of night flight training in an airship that includes:
(A) A cross-country flight of over 25 nautical miles total distance; and
(B) Five takeoffs and five landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(2) 3 hours of flight training in an airship on the control and maneuvering of an airship solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight;
(3) Three hours of flight training with an authorized instructor in an airship in preparation for the practical test within the preceding 2 calendar months from the month of the test; and
(4) 5 hours performing the duties of pilot in command in an airship with an authorized instructor.
(h) For a balloon rating. A person who applies for a private pilot certificate with a lighter-than-air category and balloon class rating must log at least 10 hours of flight training that includes at least six training flights with an authorized instructor in the areas of operation listed in § 61.107(b)(8) of this part, that includes—
(1) Gas balloon. If the training is being performed in a gas balloon, at least two flights of 2 hours each that consists of—
(i) At least one training flight with an authorized instructor in a gas balloon in preparation for the practical test within the preceding 2 calendar months from the month of the test;
(ii) At least one flight performing the duties of pilot in command in a gas balloon with an authorized instructor; and
(iii) At least one flight involving a controlled ascent to 3,000 feet above the launch site.
(2) Balloon with an airborne heater. If the training is being performed in a balloon with an airborne heater, at least—
(i) At least two training flights of 1 hour each with an authorized instructor in a balloon with an airborne heater in preparation for the practical test within the preceding 2 calendar months from the month of the test;
(ii) One solo flight in a balloon with an airborne heater; and
(iii) At least one flight involving a controlled ascent to 2,000 feet above the launch site.
(i) For a powered parachute rating. A person who applies for a private pilot certificate with a powered parachute category rating must log at least 25 hours of flight time in a powered parachute that includes at least 10 hours of flight training with an authorized instructor, including 30 takeoffs and landings, and 10 hours of solo flight training in the areas of operation listed in § 61.107 (b)(9) and the training must include at least—
(1) One hour of cross-country flight training in a powered parachute that includes a 1-hour cross-country flight with a landing at an airport at least 25 nautical miles from the airport of departure;
(2) Except as provided in § 61.110, 3 hours of night flight training in a powered parachute that includes 10 takeoffs and landings (with each landing involving a flight in the traffic pattern) at an airport;
(3) Three hours of flight training with an authorized instructor in a powered parachute in preparation for the practical test, which must have been performed within the preceding 2 calendar months from the month of the test;
(4) Three hours of solo flight time in a powered parachute, consisting of at least—
(i) One solo cross-country flight with a landing at an airport at least 25 nautical miles from the departure airport; and
(ii) Twenty solo takeoffs and landings to a full stop (with each landing involving a flight in a traffic pattern) at an airport; and
(5) Three takeoffs and landings (with each landing involving a flight in the traffic pattern) in an aircraft at an airport with an operating control tower.
(j) For a weight-shift-control aircraft rating. A person who applies for a private pilot certificate with a weight-shift-control rating must log at least 40 hours of flight time that includes at least 20 hours of flight training with an authorized instructor and 10 hours of solo flight training in the areas of operation listed in § 61.107(b)(10) and the training must include at least—
(1) Three hours of cross-country flight training in a weight-shift-control aircraft;
(2) Except as provided in § 61.110, 3 hours of night flight training in a weight-shift-control aircraft that includes—
(i) One cross-country flight of over 75 nautical miles total distance that includes a point of landing that is a straight-line distance of more than 50 nautical miles from the original point of departure; and
(ii) Ten takeoffs and landings (with each landing involving a flight in the traffic pattern) at an airport;
(3) Three hours of flight training with an authorized instructor in a weight-shift-control aircraft in preparation for the practical test, which must have been performed within the preceding 2 calendar months from the month of the test;
(4) Ten hours of solo flight time in a weight-shift-control aircraft, consisting of at least—
(i) Five hours of solo cross-country time; and
(ii) One solo cross-country flight over 100 nautical miles total distance, with landings at a minimum of three points, and one segment of the flight being a straight line distance of at least 50 nautical miles between takeoff and landing locations; and
(5) Three takeoffs and landings (with each landing involving a flight in the traffic pattern) in an aircraft at an airport with an operating control tower.
(k) Permitted credit for use of a full flight simulator or flight training device. (1) Except as provided in paragraphs (k)(2) of this section, a maximum of 2.5 hours of training in a full flight simulator or flight training device representing the category, class, and type, if applicable, of aircraft appropriate to the rating sought, may be credited toward the flight training time required by this section, if received from an authorized instructor.
(2) A maximum of 5 hours of training in a flight simulator or flight training device representing the category, class, and type, if applicable, of aircraft appropriate to the rating sought, may be credited toward the flight training time required by this section if the training is accomplished in a course conducted by a training center certificated under part 142 of this chapter.
(3) Except when fewer hours are approved by the Administrator, an applicant for a private pilot certificate with an airplane, rotorcraft, or powered-lift rating, who has satisfactorily completed an approved private pilot course conducted by a training center certificated under part 142 of this chapter, need only have a total of 35 hours of aeronautical experience to meet the requirements of this section.
(l) Permitted credit for flight training received from a flight instructor with a sport pilot rating. The holder of a sport pilot certificate may credit flight training received from a flight instructor with a sport pilot rating toward the aeronautical experience requirements of this section if the following conditions are met:
(1) The flight training was accomplished in the same category and class of aircraft for which the rating is sought;
(2) The flight instructor with a sport pilot rating was authorized to provide the flight training; and
(3) The flight training included either—
(i) Training on areas of operation that are required for both a sport pilot certificate and a private pilot certificate; or
(ii) For airplanes with a V
(a) Subject to the limitations of paragraph (b) of this section, a person is not required to comply with the night flight training requirements of this subpart if the person receives flight training in and resides in the State of Alaska.
(b) A person who receives flight training in and resides in the State of Alaska but does not meet the night flight training requirements of this section:
(1) May be issued a pilot certificate with a limitation “Night flying prohibited”; and
(2) Must comply with the appropriate night flight training requirements of this subpart within the 12-calendar-month period after the issuance of the pilot certificate. At the end of that period, the certificate will become invalid for use until the person complies with the appropriate night training requirements of this subpart. The person may have the “Night flying prohibited” limitation removed if the person—
(i) Accomplishes the appropriate night flight training requirements of this subpart; and
(ii) Presents to an examiner a logbook or training record endorsement from an authorized instructor that verifies accomplishment of the appropriate night flight training requirements of this subpart.
(c) A person who does not meet the night flying requirements in § 61.109(d)(2), (i)(2), or (j)(2) may be issued a private pilot certificate with the limitation “Night flying prohibited.” This limitation may be removed by an examiner if the holder complies with the requirements of § 61.109(d)(2), (i)(2), or (j)(2), as appropriate.
(a) Except as provided in paragraph (b) of this section, an applicant located on an island from which the cross-country flight training required in § 61.109 of this part cannot be accomplished without flying over water for more than 10 nautical miles from the nearest shoreline need not comply with the requirements of that section.
(b) If other airports that permit civil operations are available to which a flight may be made without flying over water for more than 10 nautical miles from the nearest shoreline, the applicant must show completion of two round-trip solo flights between those two airports that are farthest apart, including a landing at each airport on both flights.
(c) An applicant who complies with paragraph (a) or paragraph (b) of this section, and meets all requirements for the issuance of a private pilot certificate, except the cross-country training requirements of § 61.109 of this part, will be issued a pilot certificate with an endorsement containing the following limitation, “Passenger carrying prohibited on flights more than 10 nautical miles from (the appropriate island).” The limitation may be subsequently amended to include another island if the applicant complies with the requirements of paragraph (b) of this section for another island.
(d) Upon meeting the cross-country training requirements of § 61.109 of this part, the applicant may have the limitation in paragraph (c) of this section removed.
(a) Except as provided in paragraphs (b) through (h) of this section, no person who holds a private pilot certificate may act as pilot in command of an aircraft that is carrying passengers or property for compensation or hire; nor may that person, for compensation or hire, act as pilot in command of an aircraft.
(b) A private pilot may, for compensation or hire, act as pilot in command of an aircraft in connection with any business or employment if:
(1) The flight is only incidental to that business or employment; and
(2) The aircraft does not carry passengers or property for compensation or hire.
(c) A private pilot may not pay less than the pro rata share of the operating expenses of a flight with passengers, provided the expenses involve only fuel, oil, airport expenditures, or rental fees.
(d) A private pilot may act as pilot in command of a charitable, nonprofit, or community event flight described in § 91.146, if the sponsor and pilot comply with the requirements of § 91.146.
(e) A private pilot may be reimbursed for aircraft operating expenses that are directly related to search and location operations, provided the expenses involve only fuel, oil, airport expenditures, or rental fees, and the operation is sanctioned and under the direction and control of:
(1) A local, State, or Federal agency; or
(2) An organization that conducts search and location operations.
(f) A private pilot who is an aircraft salesman and who has at least 200 hours of logged flight time may demonstrate an aircraft in flight to a prospective buyer.
(g) A private pilot who meets the requirements of § 61.69 may act as a pilot in command of an aircraft towing a glider or unpowered ultralight vehicle.
(h) A private pilot may act as pilot in command for the purpose of conducting a production flight test in an aircraft intended for certification in the light-sport category under § 21.190 of this chapter, provided that—
(1) The aircraft is a powered parachute or a weight-shift-control aircraft;
(2) The person has at least 100 hours of pilot-in-command time in the category and class of aircraft flown; and
(3) The person is familiar with the processes and procedures applicable to the conduct of production flight testing, to include operations conducted under a special flight permit and any associated operating limitations.
(i) A private pilot may act as pilot in command or serve as a required flightcrew member of an aircraft without holding a medical certificate issued under part 67 of this chapter provided the pilot holds a valid U.S. driver's license, meets the requirements of § 61.23(c)(3), and complies with this section and all of the following conditions and limitations:
(1) The aircraft is authorized to carry not more than 7 occupants, has a maximum takeoff weight of not more than 12,500 pounds, is operated with no more than 6 passengers on board, and is not a transport category rotorcraft certified to airworthiness standards under part 29 of this chapter; and
(2) The flight, including each portion of the flight, is not carried out—
(i) At an altitude that is more than 18,000 feet above mean sea level;
(ii) Outside the United States unless authorized by the country in which the flight is conducted; or
(iii) At an indicated airspeed exceeding 250 knots; and
(3) The pilot has available in his or her logbook—
(i) The completed medical examination checklist required under § 68.7 of this chapter; and
(ii) The certificate of course completion required under § 61.23(c)(3).
(a) If a person who applies for a private pilot certificate with a balloon rating takes a practical test in a balloon with an airborne heater:
(1) The pilot certificate will contain a limitation restricting the exercise of the privileges of that certificate to a balloon with an airborne heater; and
(2) The limitation may be removed when the person obtains the required aeronautical experience in a gas balloon and receives a logbook endorsement from an authorized instructor who attests to the person's accomplishment of the required aeronautical experience and ability to satisfactorily operate a gas balloon.
(b) If a person who applies for a private pilot certificate with a balloon rating takes a practical test in a gas balloon:
(1) The pilot certificate will contain a limitation restricting the exercise of the privilege of that certificate to a gas balloon; and
(2) The limitation may be removed when the person obtains the required aeronautical experience in a balloon with an airborne heater and receives a logbook endorsement from an authorized instructor who attests to the person's accomplishment of the required aeronautical experience and ability to satisfactorily operate a balloon with an airborne heater.
Except as provided in § 61.113 of this part, no private pilot may, for compensation or hire, act as second in command of an aircraft that is type certificated for more than one pilot, nor may that pilot act as second in command of such an aircraft that is carrying passengers or property for compensation or hire.
This subpart prescribes the requirements for the issuance of commercial pilot certificates and ratings, the conditions under which those certificates and ratings are necessary, and the general operating rules for persons who hold those certificates and ratings.
To be eligible for a commercial pilot certificate, a person must:
(a) Be at least 18 years of age;
(b) Be able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's pilot certificate as are necessary for the safe operation of the aircraft.
(c) Receive a logbook endorsement from an authorized instructor who:
(1) Conducted the required ground training or reviewed the person's home study on the aeronautical knowledge areas listed in § 61.125 of this part that apply to the aircraft category and class rating sought; and
(2) Certified that the person is prepared for the required knowledge test that applies to the aircraft category and class rating sought.
(d) Pass the required knowledge test on the aeronautical knowledge areas listed in § 61.125 of this part;
(e) Receive the required training and a logbook endorsement from an authorized instructor who:
(1) Conducted the training on the areas of operation listed in § 61.127(b) of this part that apply to the aircraft category and class rating sought; and
(2) Certified that the person is prepared for the required practical test.
(f) Meet the aeronautical experience requirements of this subpart that apply to the aircraft category and class rating sought before applying for the practical test;
(g) Pass the required practical test on the areas of operation listed in § 61.127(b) of this part that apply to the aircraft category and class rating sought;
(h) Hold at least a private pilot certificate issued under this part or meet the requirements of § 61.73; and
(i) Comply with the sections of this part that apply to the aircraft category and class rating sought.
(a) General. A person who applies for a commercial pilot certificate must receive and log ground training from an authorized instructor, or complete a home-study course, on the aeronautical knowledge areas of paragraph (b) of this section that apply to the aircraft category and class rating sought.
(b) Aeronautical knowledge areas. (1) Applicable Federal Aviation Regulations of this chapter that relate to commercial pilot privileges, limitations, and flight operations;
(2) Accident reporting requirements of the National Transportation Safety Board;
(3) Basic aerodynamics and the principles of flight;
(4) Meteorology to include recognition of critical weather situations, windshear recognition and avoidance, and the use of aeronautical weather reports and forecasts;
(5) Safe and efficient operation of aircraft;
(6) Weight and balance computations;
(7) Use of performance charts;
(8) Significance and effects of exceeding aircraft performance limitations;
(9) Use of aeronautical charts and a magnetic compass for pilotage and dead reckoning;
(10) Use of air navigation facilities;
(11) Aeronautical decision making and judgment;
(12) Principles and functions of aircraft systems;
(13) Maneuvers, procedures, and emergency operations appropriate to the aircraft;
(14) Night and high-altitude operations;
(15) Procedures for operating within the National Airspace System; and
(16) Procedures for flight and ground training for lighter-than-air ratings.
(a) General. A person who applies for a commercial pilot certificate must receive and log ground and flight training from an authorized instructor on the areas of operation of this section that apply to the aircraft category and class rating sought.
(b) Areas of operation. (1) For an airplane category rating with a single-engine class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Emergency operations;
(x) High-altitude operations; and
(xi) Postflight procedures.
(2) For an airplane category rating with a multiengine class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Navigation;
(vii) Slow flight and stalls;
(viii) Emergency operations;
(ix) Multiengine operations;
(x) High-altitude operations; and
(xi) Postflight procedures.
(3) For a rotorcraft category rating with a helicopter class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Navigation;
(viii) Emergency operations;
(ix) Special operations; and
(x) Postflight procedures.
(4) For a rotorcraft category rating with a gyroplane class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Flight at slow airspeeds;
(ix) Emergency operations; and
(x) Postflight procedures.
(5) For a powered-lift category rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Emergency operations;
(x) High-altitude operations;
(xi) Special operations; and
(xii) Postflight procedures.
(6) For a glider category rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and gliderport operations;
(iv) Launches and landings;
(v) Performance speeds;
(vi) Soaring techniques;
(vii) Performance maneuvers;
(viii) Navigation;
(ix) Slow flight and stalls;
(x) Emergency operations; and
(xi) Postflight procedures.
(7) For a lighter-than-air category rating with an airship class rating:
(i) Fundamentals of instructing;
(ii) Technical subjects;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport operations;
(vii) Takeoffs, landings, and go-arounds;
(viii) Performance maneuvers;
(ix) Navigation;
(x) Emergency operations; and
(xi) Postflight procedures.
(8) For a lighter-than-air category rating with a balloon class rating:
(i) Fundamentals of instructing;
(ii) Technical subjects;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport operations;
(vii) Launches and landings;
(viii) Performance maneuvers;
(ix) Navigation;
(x) Emergency operations; and
(xi) Postflight procedures.
(a) For an airplane single-engine rating. Except as provided in paragraph (i) of this section, a person who applies for a commercial pilot certificate with an airplane category and single-engine class rating must log at least 250 hours of flight time as a pilot that consists of at least:
(1) 100 hours in powered aircraft, of which 50 hours must be in airplanes.
(2) 100 hours of pilot-in-command flight time, which includes at least—
(i) 50 hours in airplanes; and
(ii) 50 hours in cross-country flight of which at least 10 hours must be in airplanes.
(3) 20 hours of training on the areas of operation listed in § 61.127(b)(1) of this part that includes at least—
(i) Ten hours of instrument training using a view-limiting device including attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. Five hours of the 10 hours required on instrument training must be in a single engine airplane;
(ii) 10 hours of training in a complex airplane, a turbine-powered airplane, or a technically advanced airplane (TAA) that meets the requirements of paragraph (j) of this section, or any combination thereof. The airplane must be appropriate to land or sea for the rating sought;
(iii) One 2-hour cross country flight in a single engine airplane in daytime conditions that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iv) One 2-hour cross country flight in a single engine airplane in nighttime conditions that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(v) Three hours in a single-engine airplane with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test.
(4) Ten hours of solo flight time in a single engine airplane or 10 hours of flight time performing the duties of pilot in command in a single engine airplane with an authorized instructor on board (either of which may be credited towards the flight time requirement under paragraph (a)(2) of this section), on the areas of operation listed under § 61.127(b)(1) that include—
(i) One cross-country flight of not less than 300 nautical miles total distance, with landings at a minimum of three points, one of which is a straight-line distance of at least 250 nautical miles from the original departure point. However, if this requirement is being met in Hawaii, the longest segment need only have a straight-line distance of at least 150 nautical miles; and
(ii) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(b) For an airplane multiengine rating. Except as provided in paragraph (i) of this section, a person who applies for a commercial pilot certificate with an airplane category and multiengine class rating must log at least 250 hours of flight time as a pilot that consists of at least:
(1) 100 hours in powered aircraft, of which 50 hours must be in airplanes.
(2) 100 hours of pilot-in-command flight time, which includes at least—
(i) 50 hours in airplanes; and
(ii) 50 hours in cross-country flight of which at least 10 hours must be in airplanes.
(3) 20 hours of training on the areas of operation listed in § 61.127(b)(2) of this part that includes at least—
(i) Ten hours of instrument training using a view-limiting device including attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. Five hours of the 10 hours required on instrument training must be in a multiengine airplane;
(ii) 10 hours of training in a multiengine complex or turbine-powered airplane; or for an applicant seeking a multiengine seaplane rating, 10 hours of training in a multiengine seaplane that has flaps and a controllable pitch propeller, including seaplanes equipped with an engine control system consisting of a digital computer and associated accessories for controlling the engine and propeller, such as a full authority digital engine control;
(iii) One 2-hour cross country flight in a multiengine airplane in daytime conditions that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iv) One 2-hour cross country flight in a multiengine airplane in nighttime conditions that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(v) Three hours in a multiengine airplane with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test.
(4) 10 hours of solo flight time in a multiengine airplane or 10 hours of flight time performing the duties of pilot in command in a multiengine airplane with an authorized instructor (either of which may be credited towards the flight time requirement in paragraph (b)(2) of this section), on the areas of operation listed in § 61.127(b)(2) of this part that includes at least—
(i) One cross-country flight of not less than 300 nautical miles total distance with landings at a minimum of three points, one of which is a straight-line distance of at least 250 nautical miles from the original departure point. However, if this requirement is being met in Hawaii, the longest segment need only have a straight-line distance of at least 150 nautical miles; and
(ii) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight with a traffic pattern) at an airport with an operating control tower.
(c) For a helicopter rating. Except as provided in paragraph (i) of this section, a person who applies for a commercial pilot certificate with a rotorcraft category and helicopter class rating must log at least 150 hours of flight time as a pilot that consists of at least:
(1) 100 hours in powered aircraft, of which 50 hours must be in helicopters.
(2) 100 hours of pilot-in-command flight time, which includes at least—
(i) 35 hours in helicopters; and
(ii) 10 hours in cross-country flight in helicopters.
(3) 20 hours of training on the areas of operation listed in § 61.127(b)(3) of this part that includes at least—
(i) Five hours on the control and maneuvering of a helicopter solely by reference to instruments using a view-limiting device including attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. This aeronautical experience may be performed in an aircraft, full flight simulator, flight training device, or an aviation training device;
(ii) One 2-hour cross country flight in a helicopter in daytime conditions that consists of a total straight-line distance of more than 50 nautical miles from the original point of departure;
(iii) One 2-hour cross country flight in a helicopter in nighttime conditions that consists of a total straight-line distance of more than 50 nautical miles from the original point of departure; and
(iv) Three hours in a helicopter with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test.
(4) Ten hours of solo flight time in a helicopter or 10 hours of flight time performing the duties of pilot in command in a helicopter with an authorized instructor on board (either of which may be credited towards the flight time requirement under paragraph (c)(2) of this section), on the areas of operation listed under § 61.127(b)(3) that includes—
(i) One cross-country flight with landings at a minimum of three points, with one segment consisting of a straight-line distance of at least 50 nautical miles from the original point of departure; and
(ii) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight in the traffic pattern).
(d) For a gyroplane rating. A person who applies for a commercial pilot certificate with a rotorcraft category and gyroplane class rating must log at least 150 hours of flight time as a pilot (of which 5 hours may have been accomplished in a full flight simulator or flight training device that is representative of a gyroplane) that consists of at least:
(1) 100 hours in powered aircraft, of which 25 hours must be in gyroplanes.
(2) 100 hours of pilot-in-command flight time, which includes at least—
(i) 10 hours in gyroplanes; and
(ii) 3 hours in cross-country flight in gyroplanes.
(3) 20 hours of training on the areas of operation listed in § 61.127(b)(4) of this part that includes at least—
(i) 2.5 hours on the control and maneuvering of a gyroplane solely by reference to instruments using a view-limiting device including attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. This aeronautical experience may be performed in an aircraft, full flight simulator, flight training device, or an aviation training device;
(ii) One 2-hour cross country flight in a gyroplane in daytime conditions that consists of a total straight-line distance of more than 50 nautical miles from the original point of departure;
(iii) Two hours of flight training during nighttime conditions in a gyroplane at an airport, that includes 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern); and
(iv) Three hours in a gyroplane with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test.
(4) Ten hours of solo flight time in a gyroplane or 10 hours of flight time performing the duties of pilot in command in a gyroplane with an authorized instructor on board (either of which may be credited towards the flight time requirement under paragraph (d)(2) of this section), on the areas of operation listed in § 61.127(b)(4) that includes—
(i) One cross-country flight with landings at a minimum of three points, with one segment consisting of a straight-line distance of at least 50 nautical miles from the original point of departure; and
(ii) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight in the traffic pattern).
(e) For a powered-lift rating. Except as provided in paragraph (i) of this section, a person who applies for a commercial pilot certificate with a powered-lift category rating must log at least 250 hours of flight time as a pilot that consists of at least:
(1) 100 hours in powered aircraft, of which 50 hours must be in a powered-lift.
(2) 100 hours of pilot-in-command flight time, which includes at least—
(i) 50 hours in a powered-lift; and
(ii) 50 hours in cross-country flight of which 10 hours must be in a powered-lift.
(3) 20 hours of training on the areas of operation listed in § 61.127(b)(5) of this part that includes at least—
(i) Ten hours of instrument training using a view-limiting device including attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. Five hours of the 10 hours required on instrument training must be in a powered-lift;
(ii) One 2-hour cross country flight in a powered-lift in daytime conditions that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iii) One 2-hour cross country flight in a powered-lift in nighttime conditions that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(iv) 3 hours in a powered-lift with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test.
(4) Ten hours of solo flight time in a powered-lift or 10 hours of flight time performing the duties of pilot in command in a powered-lift with an authorized instructor on board (either of which may be credited towards the flight time requirement under paragraph (e)(2) of this section, on the areas of operation listed in § 61.127(b)(5) that includes—
(i) One cross-country flight of not less than 300 nautical miles total distance with landings at a minimum of three points, one of which is a straight-line distance of at least 250 nautical miles from the original departure point. However, if this requirement is being met in Hawaii the longest segment need only have a straight-line distance of at least 150 nautical miles; and
(ii) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(f) For a glider rating. A person who applies for a commercial pilot certificate with a glider category rating must log at least—
(1) 25 hours of flight time as a pilot in a glider and that flight time must include at least 100 flights in a glider as pilot in command, including at least—
(i) Three hours of flight training in a glider with an authorized instructor or 10 training flights in a glider with an authorized instructor on the areas of operation listed in § 61.127(b)(6) of this part, including at least 3 training flights in a glider with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test; and
(ii) 2 hours of solo flight that include not less than 10 solo flights in a glider on the areas of operation listed in § 61.127(b)(6) of this part; or
(2) 200 hours of flight time as a pilot in heavier-than-air aircraft and at least 20 flights in a glider as pilot in command, including at least—
(i) Three hours of flight training in a glider or 10 training flights in a glider with an authorized instructor on the areas of operation listed in § 61.127(b)(6) of this part including at least 3 training flights in a glider with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test; and
(ii) 5 solo flights in a glider on the areas of operation listed in § 61.127(b)(6) of this part.
(g) For an airship rating. A person who applies for a commercial pilot certificate with a lighter-than-air category and airship class rating must log at least 200 hours of flight time as a pilot, which includes at least the following hours:
(1) 50 hours in airships.
(2) Thirty hours of pilot in command flight time in airships or performing the duties of pilot in command in an airship with an authorized instructor aboard, which consists of—
(i) 10 hours of cross-country time in airships; and
(ii) 10 hours of night flight time in airships.
(3) Forty hours of instrument time to include—
(i) Instrument training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems; and
(ii) Twenty hours of instrument flight time, of which 10 hours must be in flight in airships.
(4) 20 hours of flight training in airships on the areas of operation listed in § 61.127(b)(7) of this part, which includes at least—
(i) Three hours in an airship with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test;
(ii) One hour cross country flight in an airship in daytime conditions that consists of a total straight-line distance of more than 25 nautical miles from the point of departure; and
(iii) One hour cross country flight in an airship in nighttime conditions that consists of a total straight-line distance of more than 25 nautical miles from the point of departure.
(5) 10 hours of flight training performing the duties of pilot in command with an authorized instructor on the areas of operation listed in § 61.127(b)(7) of this part, which includes at least—
(i) One cross-country flight with landings at a minimum of three points, with one segment consisting of a straight-line distance of at least 25 nautical miles from the original point of departure; and
(ii) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight in the traffic pattern).
(h) For a balloon rating. A person who applies for a commercial pilot certificate with a lighter-than-air category and a balloon class rating must log at least 35 hours of flight time as a pilot, which includes at least the following requirements:
(1) 20 hours in balloons;
(2) 10 flights in balloons;
(3) Two flights in balloons as the pilot in command; and
(4) 10 hours of flight training that includes at least 10 training flights with an authorized instructor in balloons on the areas of operation listed in § 61.127(b)(8) of this part, which consists of at least—
(i) For a gas balloon—
(A) Two training flights of 2 hours each in a gas balloon with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test;
(B) 2 flights performing the duties of pilot in command in a gas balloon with an authorized instructor on the appropriate areas of operation; and
(C) One flight involving a controlled ascent to 5,000 feet above the launch site.
(ii) For a balloon with an airborne heater—
(A) Two training flights of 1 hour each in a balloon with an airborne heater with an authorized instructor in preparation for the practical test within the preceding 2 calendar months from the month of the test;
(B) Two solo flights in a balloon with an airborne heater on the appropriate areas of operation; and
(C) One flight involving a controlled ascent to 3,000 feet above the launch site.
(i) Permitted credit for use of a flight simulator or flight training device. (1) Except as provided in paragraph (i)(2) of this section, an applicant who has not accomplished the training required by this section in a course conducted by a training center certificated under part 142 of this chapter may:
(i) Credit a maximum of 50 hours toward the total aeronautical experience requirements for an airplane or powered-lift rating, provided the aeronautical experience was obtained from an authorized instructor in a full flight simulator or flight training device that represents that class of airplane or powered-lift category and type, if applicable, appropriate to the rating sought; and
(ii) Credit a maximum of 25 hours toward the total aeronautical experience requirements of this section for a helicopter rating, provided the aeronautical experience was obtained from an authorized instructor in a full flight simulator or flight training device that represents a helicopter and type, if applicable, appropriate to the rating sought.
(2) An applicant who has accomplished the training required by this section in a course conducted by a training center certificated under part 142 of this chapter may:
(i) Credit a maximum of 100 hours toward the total aeronautical experience requirements of this section for an airplane and powered-lift rating, provided the aeronautical experience was obtained from an authorized instructor in a full flight simulator or flight training device that represents that class of airplane or powered-lift category and type, if applicable, appropriate to the rating sought; and
(ii) Credit a maximum of 50 hours toward the total aeronautical experience requirements of this section for a helicopter rating, provided the aeronautical experience was obtained from an authorized instructor in a full flight simulator or flight training device that represents a helicopter and type, if applicable, appropriate to the rating sought.
(3) Except when fewer hours are approved by the FAA, an applicant for the commercial pilot certificate with the airplane or powered-lift rating who has completed 190 hours of aeronautical experience is considered to have met the total aeronautical experience requirements of this section, provided the applicant satisfactorily completed an approved commercial pilot course under part 142 of this chapter and the approved course was appropriate to the commercial pilot certificate and aircraft rating sought.
(j) Technically advanced airplane. Unless otherwise authorized by the Administrator, a technically advanced airplane must be equipped with an electronically advanced avionics system that includes the following installed components:
(1) An electronic Primary Flight Display (PFD) that includes, at a minimum, an airspeed indicator, turn coordinator, attitude indicator, heading indicator, altimeter, and vertical speed indicator;
(2) An electronic Multifunction Display (MFD) that includes, at a minimum, a moving map using Global Positioning System (GPS) navigation with the aircraft position displayed;
(3) A two axis autopilot integrated with the navigation and heading guidance system; and
(4) The display elements described in paragraphs (j)(1) and (2) of this section must be continuously visible.
(a) Subject to the limitations of paragraph (b) of this section, a person is not required to comply with the night flight training requirements of this subpart if the person receives flight training in and resides in the State of Alaska.
(b) A person who receives flight training in and resides in the State of Alaska but does not meet the night flight training requirements of this section:
(1) May be issued a pilot certificate with the limitation “night flying prohibited.”
(2) Must comply with the appropriate night flight training requirements of this subpart within the 12-calendar-month period after the issuance of the pilot certificate. At the end of that period, the certificate will become invalid for use until the person complies with the appropriate night flight training requirements of this subpart. The person may have the “night flying prohibited” limitation removed if the person—
(i) Accomplishes the appropriate night flight training requirements of this subpart; and
(ii) Presents to an examiner a logbook or training record endorsement from an authorized instructor that verifies accomplishment of the appropriate night flight training requirements of this subpart.
(a) Privileges—(1) General. A person who holds a commercial pilot certificate may act as pilot in command of an aircraft—
(i) Carrying persons or property for compensation or hire, provided the person is qualified in accordance with this part and with the applicable parts of this chapter that apply to the operation; and
(ii) For compensation or hire, provided the person is qualified in accordance with this part and with the applicable parts of this chapter that apply to the operation.
(2) Commercial pilots with lighter-than-air category ratings. A person with a commercial pilot certificate with a lighter-than-air category rating may—
(i) For an airship—(A) Give flight and ground training in an airship for the issuance of a certificate or rating;
(B) Give an endorsement for a pilot certificate with an airship rating;
(C) Endorse a pilot's logbook for solo operating privileges in an airship;
(D) Act as pilot in command of an airship under IFR or in weather conditions less than the minimum prescribed for VFR flight; and
(E) Give flight and ground training and endorsements that are required for a flight review, an operating privilege or recency-of-experience requirements of this part.
(ii) For a balloon—(A) Give flight and ground training in a balloon for the issuance of a certificate or rating;
(B) Give an endorsement for a pilot certificate with a balloon rating;
(C) Endorse a pilot's logbook for solo operating privileges in a balloon; and
(D) Give ground and flight training and endorsements that are required for a flight review, an operating privilege, or recency-of-experience requirements of this part.
(b) Limitations. (1) A person who applies for a commercial pilot certificate with an airplane category or powered-lift category rating and does not hold an instrument rating in the same category and class will be issued a commercial pilot certificate that contains the limitation, “The carriage of passengers for hire in (airplanes) (powered-lifts) on cross-country flights in excess of 50 nautical miles or at night is prohibited.” The limitation may be removed when the person satisfactorily accomplishes the requirements listed in § 61.65 of this part for an instrument rating in the same category and class of aircraft listed on the person's commercial pilot certificate.
(2) If a person who applies for a commercial pilot certificate with a balloon rating takes a practical test in a balloon with an airborne heater—
(i) The pilot certificate will contain a limitation restricting the exercise of the privileges of that certificate to a balloon with an airborne heater.
(ii) The limitation specified in paragraph (b)(2)(i) of this section may be removed when the person obtains the required aeronautical experience in a gas balloon and receives a logbook endorsement from an authorized instructor who attests to the person's accomplishment of the required aeronautical experience and ability to satisfactorily operate a gas balloon.
(3) If a person who applies for a commercial pilot certificate with a balloon rating takes a practical test in a gas balloon—
(i) The pilot certificate will contain a limitation restricting the exercise of the privileges of that certificate to a gas balloon.
(ii) The limitation specified in paragraph (b)(3)(i) of this section may be removed when the person obtains the required aeronautical experience in a balloon with an airborne heater and receives a logbook endorsement from an authorized instructor who attests to the person's accomplishment of the required aeronautical experience and ability to satisfactorily operate a balloon with an airborne heater.
This subpart prescribes the requirements for the issuance of airline transport pilot certificates and ratings, the conditions under which those certificates and ratings are necessary, and the general operating rules for persons who hold those certificates and ratings.
To be eligible for an airline transport pilot certificate, a person must:
(a) Meet the following age requirements:
(1) For an airline transport pilot certificate obtained under the aeronautical experience requirements of §§ 61.159, 61.161, or 61.163, be at least 23 years of age; or
(2) For an airline transport pilot certificate obtained under the aeronautical experience requirements of § 61.160, be at least 21 years of age.
(b) Be able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's pilot certificate as are necessary for the safe operation of the aircraft;
(c) Be of good moral character;
(d) Meet at least one of the following requirements:
(1) Holds a commercial pilot certificate with an instrument rating issued under this part;
(2) Meet the military experience requirements under § 61.73 of this part to qualify for a commercial pilot certificate, and an instrument rating if the person is a rated military pilot or former rated military pilot of an Armed Force of the United States; or
(3) Holds either a foreign airline transport pilot license with instrument privileges, or a foreign commercial pilot license with an instrument rating, that—
(i) Was issued by a contracting State to the Convention on International Civil Aviation; and
(ii) Contains no geographical limitations.
(e) For an airline transport pilot certificate with an airplane category multiengine class rating or an airline transport pilot certificate obtained concurrently with a multiengine airplane type rating, receive a graduation certificate from an authorized training provider certifying completion of the airline transport pilot certification training program specified in § 61.156 before applying for the knowledge test required by paragraph (g) of this section;
(f) Meet the aeronautical experience requirements of this subpart that apply to the aircraft category and class rating sought before applying for the practical test;
(g) Pass a knowledge test on the aeronautical knowledge areas of § 61.155(c) of this part that apply to the aircraft category and class rating sought;
(h) Pass the practical test on the areas of operation listed in § 61.157(e) of this part that apply to the aircraft category and class rating sought; and
(i) Comply with the sections of this subpart that apply to the aircraft category and class rating sought.
(a) General. The knowledge test for an airline transport pilot certificate is based on the aeronautical knowledge areas listed in paragraph (c) of this section that are appropriate to the aircraft category and class rating sought.
(b) Aircraft type rating. A person who is applying for an additional aircraft type rating to be added to an airline transport pilot certificate is not required to pass a knowledge test if that person's airline transport pilot certificate lists the aircraft category and class rating that is appropriate to the type rating sought.
(c) Aeronautical knowledge areas. (1) Applicable Federal Aviation Regulations of this chapter that relate to airline transport pilot privileges, limitations, and flight operations;
(2) Meteorology, including knowledge of and effects of fronts, frontal characteristics, cloud formations, icing, and upper-air data;
(3) General system of weather and NOTAM collection, dissemination, interpretation, and use;
(4) Interpretation and use of weather charts, maps, forecasts, sequence reports, abbreviations, and symbols;
(5) National Weather Service functions as they pertain to operations in the National Airspace System;
(6) Windshear and microburst awareness, identification, and avoidance;
(7) Principles of air navigation under instrument meteorological conditions in the National Airspace System;
(8) Air traffic control procedures and pilot responsibilities as they relate to en route operations, terminal area and radar operations, and instrument departure and approach procedures;
(9) Aircraft loading, weight and balance, use of charts, graphs, tables, formulas, and computations, and their effect on aircraft performance;
(10) Aerodynamics relating to an aircraft's flight characteristics and performance in normal and abnormal flight regimes;
(11) Human factors;
(12) Aeronautical decision making and judgment;
(13) Crew resource management to include crew communication and coordination; and
(14) For an airline transport pilot certificate with an airplane category multiengine class rating or an airline transport pilot certificate obtained concurrently with a multiengine airplane type rating, the content of the airline transport pilot certification training program in § 61.156.
A person who applies for the knowledge test for an airline transport pilot certificate with an airplane category multiengine class rating must present a graduation certificate from an authorized training provider under part 121, 135, 141, or 142 of this chapter certifying the applicant has completed the following training in a course approved by the Administrator.
(a) Academic training. The applicant for the knowledge test must receive at least 30 hours of classroom instruction that includes the following:
(1) At least 8 hours of instruction on aerodynamics including high altitude operations;
(2) At least 2 hours of instruction on meteorology, including adverse weather phenomena and weather detection systems; and
(3) At least 14 hours of instruction on air carrier operations, including the following areas:
(i) Physiology;
(ii) Communications;
(iii) Checklist philosophy;
(iv) Operational control;
(v) Minimum equipment list/configuration deviation list;
(vi) Ground operations;
(vii) Turbine engines;
(viii) Transport category aircraft performance;
(ix) Automation, navigation, and flight path warning systems.
(4) At least 6 hours of instruction on leadership, professional development, crew resource management, and safety culture.
(b) FSTD training. The applicant for the knowledge test must receive at least 10 hours of training in a flight simulation training device qualified under part 60 of this chapter that represents a multiengine turbine airplane. The training must include the following:
(1) At least 6 hours of training in a Level C or higher full flight simulator qualified under part 60 of this chapter that represents a multiengine turbine airplane with a maximum takeoff weight of 40,000 pounds or greater. The training must include the following areas:
(i) Low energy states/stalls;
(ii) Upset recovery techniques; and
(iii) Adverse weather conditions, including icing, thunderstorms, and crosswinds with gusts.
(2) The remaining FSTD training may be completed in a Level 4 or higher flight simulation training device. The training must include the following areas:
(i) Navigation including flight management systems; and
(ii) Automation including autoflight.
(c) Deviation authority. The Administrator may issue deviation authority from the weight requirement in paragraph (b)(1) of this section upon a determination that the objectives of the training can be met in an alternative device.
(a) General. (1) The practical test for an airline transport pilot certificate is given for—
(i) An airplane category and single engine class rating.
(ii) An airplane category and multiengine class rating.
(iii) A rotorcraft category and helicopter class rating.
(iv) A powered-lift category rating.
(v) An aircraft type rating.
(2) A person who is applying for an airline transport pilot practical test must meet—
(i) The eligibility requirements of § 61.153; and
(ii) The aeronautical knowledge and aeronautical experience requirements of this subpart that apply to the aircraft category and class rating sought.
(b) Aircraft type rating. Except as provided in paragraph (c) of this section, a person who applies for an aircraft type rating to be added to an airline transport pilot certificate or applies for a type rating to be concurrently completed with an airline transport pilot certificate:
(1) Must receive and log ground and flight training from an authorized instructor on the areas of operation under this section that apply to the aircraft type rating;
(2) Must receive a logbook endorsement from an authorized instructor that certifies the applicant completed the training on the areas of operation listed under paragraph (e) of this section that apply to the aircraft type rating; and
(3) Must perform the practical test in actual or simulated instrument conditions, except as provided under paragraph (g) of this section.
(c) Exceptions. A person who applies for an aircraft type rating to be added to an airline transport pilot certificate or an aircraft type rating concurrently with an airline transport pilot certificate, and who is an employee of a certificate holder operating under part 121 or part 135 of this chapter, does not need to comply with the requirements of paragraph (b) of this section if the applicant presents a training record that shows completion of that certificate holder's approved training program for the aircraft type rating.
(d) Upgrading type ratings. Any type rating(s) and limitations on a pilot certificate of an applicant who completes an airline transport pilot practical test will be included at the airline transport pilot certification level, provided the applicant passes the practical test in the same category and class of aircraft for which the applicant holds the type rating(s).
(e) Areas of Operation. A practical test will include normal and abnormal procedures, as applicable, within the areas of operation for practical tests for an airplane category and powered-lift category rating. (1) For an airplane category—single engine class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoffs and Landings;
(iv) In-flight maneuvers;
(v) Stall Prevention;
(vi) Instrument procedures;
(vii) Emergency operations; and
(viii) Postflight procedures.
(2) For an airplane category—multiengine class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoffs and Landings;
(iv) In-flight maneuvers;
(v) Stall Prevention.
(vi) Instrument procedures;
(vii) Emergency operations; and
(viii) Postflight procedures.
(3) For a powered-lift category rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoffs and Departure phase;
(iv) In-flight maneuvers;
(v) Instrument procedures;
(vi) Landings and approaches to landings;
(vii) Emergency operations; and
(viii) Postflight procedures.
(4) For a rotorcraft category—helicopter class rating:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoff and departure phase;
(iv) In-flight maneuvers;
(v) Instrument procedures;
(vi) Landings and approaches to landings;
(vii) Normal and abnormal procedures;
(viii) Emergency procedures; and
(ix) Postflight procedures.
(f) Proficiency and competency checks conducted under part 121, part 135, or subpart K of part 91. (1) Successful completion of any of the following checks satisfies the flight proficiency requirements of this section for the issuance of an airline transport pilot certificate and/or the appropriate aircraft rating:
(i) A proficiency check under § 121.441 of this chapter.
(ii) Both a competency check under § 135.293(a)(2) and § 135.293(b) of this chapter and pilot-in-command instrument proficiency check under § 135.297 of this chapter.
(iii) Both a competency check under § 91.1065 of this chapter and a pilot-in-command instrument proficiency check under § 91.1069 of this chapter.
(2) The checks specified in paragraph (f)(1) of this section must be conducted by one of the following:
(i) An FAA Aviation Safety Inspector.
(ii) An Aircrew Program Designee who is authorized to perform proficiency and/or competency checks for the air carrier whose approved training program has been satisfactorily completed by the pilot applicant.
(iii) A Training Center Evaluator with appropriate certification authority who is also authorized to perform the portions of the competency and/or proficiency checks required by paragraph (f)(1) of this section for the air carrier whose approved training program has been satisfactorily completed by the pilot applicant.
(g) Aircraft not capable of instrument maneuvers and procedures. An applicant may add a type rating to an airline transport pilot certificate with an aircraft that is not capable of the instrument maneuvers and procedures required on the practical test under the following circumstances—
(1) The rating is limited to “VFR only.”
(2) The type rating is added to an airline transport pilot certificate that has instrument privileges in that category and class of aircraft.
(3) The “VFR only” limitation may be removed for that aircraft type after the applicant:
(i) Passes a practical test in that type of aircraft on the appropriate instrument maneuvers and procedures in § 61.157; or
(ii) Becomes qualified in § 61.73(d) for that type of aircraft.
(h) Multiengine airplane with a single-pilot station. An applicant for a type rating, at the ATP certification level, in a multiengine airplane with a single-pilot station must perform the practical test in the multi-seat version of that airplane. The practical test may be performed in the single-seat version of that airplane if the Examiner is in a position to observe the applicant during the practical test in the case where there is no multi-seat version of that multiengine airplane.
(i) Single engine airplane with a single-pilot station. An applicant for a type rating, at the ATP certification level, in a single engine airplane with a single-pilot station must perform the practical test in the multi-seat version of that single engine airplane. The practical test may be performed in the single-seat version of that airplane if the Examiner is in a position to observe the applicant during the practical test in the case where there is no multi-seat version of that single engine airplane.
(j) Waiver authority. An Examiner who conducts a practical test may waive any task for which the FAA has provided waiver authority.
(a) Except as provided in paragraphs (b), (c), and (d) of this section, a person who is applying for an airline transport pilot certificate with an airplane category and class rating must have at least 1,500 hours of total time as a pilot that includes at least:
(1) 500 hours of cross-country time.
(2) 100 hours of night flight time.
(3) 50 hours of flight time in the class of airplane for the rating sought. A maximum of 25 hours of training in a full flight simulator representing the class of airplane for the rating sought may be credited toward the flight time requirement of this paragraph if the training was accomplished as part of an approved training course in parts 121, 135, 141, or 142 of this chapter. A flight training device or aviation training device may not be used to satisfy this requirement.
(4) 75 hours of instrument flight time, in actual or simulated instrument conditions, subject to the following:
(i) Except as provided in paragraph (a)(4)(ii) of this section, an applicant may not receive credit for more than a total of 25 hours of simulated instrument time in a full flight simulator or flight training device.
(ii) A maximum of 50 hours of training in a full flight simulator or flight training device may be credited toward the instrument flight time requirements of paragraph (a)(4) of this section if the training was accomplished in a course conducted by a training center certificated under part 142 of this chapter.
(iii) Training in a full flight simulator or flight training device must be accomplished in a full flight simulator or flight training device, representing an airplane.
(5) 250 hours of flight time in an airplane as a pilot in command, or as second in command performing the duties of pilot in command while under the supervision of a pilot in command, or any combination thereof, subject to the following:
(i) The flight time requirement must include at least—
(A) 100 hours of cross-country time; and
(B) 25 hours of night flight time.
(ii) Except for a person who has been removed from flying status for lack of proficiency or because of a disciplinary action involving aircraft operations, a U.S. military pilot or former U.S. military pilot who meets the requirements of § 61.73(b)(1), or a military pilot in the Armed Forces of a foreign contracting State to the Convention on International Civil Aviation who meets the requirements of § 61.73(c)(1), may credit flight time in a powered-lift aircraft operated in horizontal flight toward the flight time requirement.
(6) Not more than 100 hours of the total aeronautical experience requirements of paragraph (a) of this section or § 61.160 may be obtained in a full flight simulator or flight training device provided the device represents an airplane and the aeronautical experience was accomplished as part of an approved training course in parts 121, 135, 141, or 142 of this chapter.
(b) A person who has performed at least 20 night takeoffs and landings to a full stop may substitute each additional night takeoff and landing to a full stop for 1 hour of night flight time to satisfy the requirements of paragraph (a)(2) of this section; however, not more than 25 hours of night flight time may be credited in this manner.
(c) A commercial pilot may log second-in-command pilot time toward the aeronautical experience requirements of paragraph (a) of this section and the aeronautical experience requirements in § 61.160, provided the pilot is employed by a part 119 certificate holder authorized to conduct operations under part 135 of this chapter and the second-in-command pilot time is obtained in operations conducted for the certificate holder under part 91 or 135 of this chapter when a second pilot is not required under the type certification of the aircraft or the regulations under which the flight is being conducted, and the following requirements are met—
(1) The experience must be accomplished as part of a second-in-command professional development program approved by the Administrator under § 135.99 of this chapter;
(2) The flight operation must be conducted in accordance with the certificate holder's operations specification for the second-in-command professional development program;
(3) The pilot in command of the operation must certify in the pilot's logbook that the second-in-command pilot time was accomplished under this section; and
(4) The pilot time may not be logged as pilot-in-command time even when the pilot is the sole manipulator of the controls and may not be used to meet the aeronautical experience requirements in paragraph (a)(5) of this section.
(d) A commercial pilot may log the following flight engineer flight time toward the 1,500 hours of total time as a pilot required by paragraph (a) of this section and the total time as a pilot required by § 61.160:
(1) Flight-engineer time, provided the time—
(i) Is acquired in an airplane required to have a flight engineer by the airplane's flight manual or type certificate;
(ii) Is acquired while engaged in operations under part 121 of this chapter for which a flight engineer is required;
(iii) Is acquired while the person is participating in a pilot training program approved under part 121 of this chapter; and
(iv) Does not exceed more than 1 hour for each 3 hours of flight engineer flight time for a total credited time of no more than 500 hours.
(2) Flight-engineer time, provided the flight time—
(i) Is acquired as a U.S. Armed Forces' flight engineer crewmember in an airplane that requires a flight engineer crewmember by the flight manual;
(ii) Is acquired while the person is participating in a flight engineer crewmember training program for the U.S. Armed Forces; and
(iii) Does not exceed 1 hour for each 3 hours of flight engineer flight time for a total credited time of no more than 500 hours.
(e) An applicant who credits time under paragraphs (b) through (d) of this section and § 61.51(f)(4) is issued an airline transport pilot certificate with the limitation “Holder does not meet the pilot in command aeronautical experience requirements of ICAO,” as prescribed under Article 39 of the Convention on International Civil Aviation.
(f) An applicant is entitled to an airline transport pilot certificate without the ICAO limitation specified under paragraph (e) of this section when the applicant presents satisfactory evidence of having met the ICAO requirements under paragraph (e) of this section and otherwise meets the aeronautical experience requirements of this section.
(a) Except for a person who has been removed from flying status for lack of proficiency or because of a disciplinary action involving aircraft operations, a U.S. military pilot or former U.S. military pilot may apply for an airline transport pilot certificate with an airplane category multiengine class rating or an airline transport pilot certificate concurrently with a multiengine airplane type rating with a minimum of 750 hours of total time as a pilot if the pilot presents:
(1) An official Form DD-214 (Certificate of Release or Discharge from Active Duty) indicating that the person was honorably discharged from the U.S. Armed Forces or an official U.S. Armed Forces record that shows the pilot is currently serving in the U.S. Armed Forces; and
(2) An official U.S. Armed Forces record that shows the person graduated from a U.S. Armed Forces undergraduate pilot training school and received a rating qualification as a military pilot.
(b) A person may apply for an airline transport pilot certificate with an airplane category multiengine class rating or an airline transport pilot certificate concurrently with a multiengine airplane type rating with a minimum of 1,000 hours of total time as a pilot if the person:
(1) Holds a Bachelor's degree with an aviation major from an institution of higher education, as defined in § 61.1, that has been issued a letter of authorization by the Administrator under § 61.169;
(2) Completes 60 semester credit hours of aviation and aviation-related coursework that has been recognized by the Administrator as coursework designed to improve and enhance the knowledge and skills of a person seeking a career as a professional pilot;
(3) Holds a commercial pilot certificate with an airplane category and instrument rating if:
(i) The required ground training was completed as part of an approved part 141 curriculum at the institution of higher education; and
(ii) The required flight training was completed as part of an approved part 141 curriculum at the institution of higher education or at a part 141 pilot school that has a training agreement under § 141.26 of this chapter with the institution of higher education; and
(4) Presents official transcripts or other documentation acceptable to the Administrator from the institution of higher education certifying that the graduate has satisfied the requirements in paragraphs (b)(1) through (3) of this section.
(c) A person may apply for an airline transport pilot certificate with an airplane category multiengine class rating or an airline transport pilot certificate concurrently with a multiengine airplane type rating with a minimum of 1,250 hours of total time as a pilot if the person:
(1) Holds an Associate's degree with an aviation major from an institution of higher education, as defined in § 61.1, that has been issued a letter of authorization by the Administrator under § 61.169;
(2) Completes at least 30 semester credit hours of aviation and aviation-related coursework that has been recognized by the Administrator as coursework designed to improve and enhance the knowledge and skills of a person seeking a career as a professional pilot;
(3) Holds a commercial pilot certificate with an airplane category and instrument rating if:
(i) The required ground training was completed as part of an approved part 141 curriculum at the institution of higher education; and
(ii) The required flight training was completed as part of an approved part 141 curriculum at the institution of higher education or at a part 141 pilot school that has a written training agreement under § 141.26 of this chapter with the institution of higher education; and
(4) Presents official transcripts or other documentation acceptable to the Administrator from the institution of higher education certifying that the graduate has satisfied the requirements in paragraphs (c)(1) through (3) of this section.
(d) A graduate of an institution of higher education who completes fewer than 60 semester credit hours but at least 30 credit hours and otherwise satisfies the requirements of paragraph (b) of this section may apply for an airline transport pilot certificate with an airplane category multiengine class rating or an airline transport pilot certificate concurrently with a multiengine airplane type rating with a minimum of 1,250 hours of total time as a pilot.
(e) A person who applies for an airline transport pilot certificate under the total flight times listed in paragraphs (a), (b), (c), and (d) of this section must otherwise meet the aeronautical experience requirements of § 61.159, except that the person may apply for an airline transport pilot certificate with 200 hours of cross-country time.
(f) A person may apply for an airline transport pilot certificate with an airplane category multiengine class rating or an airline transport pilot certificate concurrently with a multiengine airplane type rating if the person has 1,500 hours total time as a pilot, 200 hours of cross-country time, and otherwise meets the aeronautical experience requirements of § 61.159.
(g) An airline transport pilot certificate obtained under this section is subject to the pilot in command limitations set forth in § 61.167(b) and must contain the following limitation, “Restricted in accordance with 14 CFR 61.167.” The pilot is entitled to an airline transport pilot certificate without the limitation specified in this paragraph when the applicant presents satisfactory evidence of having met the aeronautical experience requirements of § 61.159 and the age requirement of § 61.153(a)(1).
(h) An applicant who meets the aeronautical experience requirements of paragraphs (a), (b), (c), and (d) of this section is issued an airline transport pilot certificate with the limitation, “Holder does not meet the pilot in command aeronautical experience requirements of ICAO,” as prescribed under Article 39 of the Convention on International Civil Aviation if the applicant does not meet the ICAO requirements contained in Annex 1 “Personnel Licensing” to the Convention on International Civil Aviation. An applicant is entitled to an airline transport pilot certificate without the ICAO limitation specified under this paragraph when the applicant presents satisfactory evidence of having met the ICAO requirements and otherwise meets the aeronautical experience requirements of § 61.159.
(a) A person who is applying for an airline transport pilot certificate with a rotorcraft category and helicopter class rating, must have at least 1,200 hours of total time as a pilot that includes at least:
(1) 500 hours of cross-country time;
(2) 100 hours of night flight time, of which 15 hours are in helicopters;
(3) 200 hours of flight time in helicopters, which includes at least 75 hours as a pilot in command, or as second in command performing the duties of a pilot in command under the supervision of a pilot in command, or any combination thereof; and
(4) 75 hours of instrument flight time in actual or simulated instrument meteorological conditions, of which at least 50 hours are obtained in flight with at least 25 hours in helicopters as a pilot in command, or as second in command performing the duties of a pilot in command under the supervision of a pilot in command, or any combination thereof.
(b) Training in a full flight simulator or flight training device may be credited toward the instrument flight time requirements of paragraph (a)(4) of this section, subject to the following:
(1) Training in a full flight simulator or a flight training device must be accomplished in a full flight simulator or flight training device that represents a rotorcraft.
(2) Except as provided in paragraph (b)(3) of this section, an applicant may receive credit for not more than a total of 25 hours of simulated instrument time in a full flight simulator and flight training device.
(3) A maximum of 50 hours of training in a full flight simulator or flight training device may be credited toward the instrument flight time requirements of paragraph (a)(4) of this section if the aeronautical experience is accomplished in an approved course conducted by a training center certificated under part 142 of this chapter.
(c) Flight time logged under § 61.159(c) may be counted toward the 1,200 hours of total time as a pilot required by paragraph (a) of this section and the flight time requirements of paragraphs (a)(1), (2), and (4) of this section, except for the specific helicopter flight time requirements.
(d) An applicant who credits time under paragraph (c) of this section and § 61.51(f)(4) is issued an airline transport pilot certificate with the limitation “Holder does not meet the pilot in command aeronautical experience requirements of ICAO,” as prescribed under Article 39 of the Convention on International Civil Aviation.
(e) An applicant is entitled to an airline transport pilot certificate without the ICAO limitation specified under paragraph (d) of this section when the applicant presents satisfactory evidence of having met the ICAO requirements under paragraph (d) of this section and otherwise meets the aeronautical experience requirements of this section.
(a) A person who is applying for an airline transport pilot certificate with a powered-lift category rating must have at least 1,500 hours of total time as a pilot that includes at least:
(1) 500 hours of cross-country time;
(2) 100 hours of night flight time;
(3) 250 hours in a powered-lift as a pilot in command, or as a second in command performing the duties of a pilot in command under the supervision of a pilot in command, or any combination thereof, which includes at least—
(i) 100 hours of cross-country time; and
(ii) 25 hours of night flight time.
(4) 75 hours of instrument flight time in actual or simulated instrument conditions, subject to the following:
(i) Except as provided in paragraph (a)(4)(ii) of this section, an applicant may not receive credit for more than a total of 25 hours of simulated instrument time in a flight simulator or flight training device.
(ii) A maximum of 50 hours of training in a flight simulator or flight training device may be credited toward the instrument flight time requirements of paragraph (a)(4) of this section if the training was accomplished in a course conducted by a training center certificated under part 142 of this chapter.
(iii) Training in a flight simulator or flight training device must be accomplished in a flight simulator or flight training device that represents a powered-lift.
(b) Not more than 100 hours of the total aeronautical experience requirements of paragraph (a) of this section may be obtained in a flight simulator or flight training device that represents a powered-lift, provided the aeronautical experience was obtained in an approved course conducted by a training center certificated under part 142 of this chapter.
(c) Flight time logged under § 61.159(c) may be counted toward the 1,500 hours of total time as a pilot required by paragraph (a) of this section and the flight time requirements of paragraphs (a)(1), (2), and (4) of this section.
(d) An applicant who credits time under paragraph (c) of this section is issued an airline transport pilot certificate with the limitation “Holder does not meet the pilot in command aeronautical experience requirements of ICAO,” as prescribed under Article 39 of the Convention on International Civil Aviation.
(e) An applicant is entitled to an airline transport pilot certificate without the ICAO limitation specified under paragraph (d) of this section when the applicant presents satisfactory evidence of having met the ICAO requirements under paragraph (d) of this section and otherwise meets the aeronautical experience requirements of this section.
(a) Rotorcraft category and helicopter class rating. A person applying for an airline transport certificate with a rotorcraft category and helicopter class rating who holds an airline transport pilot certificate with another aircraft category rating must:
(1) Meet the eligibility requirements of § 61.153 of this part;
(2) Pass a knowledge test on the aeronautical knowledge areas of § 61.155(c) of this part;
(3) Comply with the requirements in § 61.157(b) of this part, if appropriate;
(4) Meet the applicable aeronautical experience requirements of § 61.161 of this part; and
(5) Pass the practical test on the areas of operation of § 61.157(e)(4) of this part.
(b) Airplane category rating with a single-engine class rating. A person applying for an airline transport certificate with an airplane category and single-engine class rating who holds an airline transport pilot certificate with another aircraft category rating must:
(1) Meet the eligibility requirements of § 61.153 of this part;
(2) Pass a knowledge test on the aeronautical knowledge areas of § 61.155(c) of this part;
(3) Comply with the requirements in § 61.157(b) of this part, if appropriate;
(4) Meet the applicable aeronautical experience requirements of § 61.159 of this part; and
(5) Pass the practical test on the areas of operation of § 61.157(e)(1) of this part.
(c) Airplane category rating with a multiengine class rating. A person applying for an airline transport certificate with an airplane category and multiengine class rating who holds an airline transport certificate with another aircraft category rating must:
(1) Meet the eligibility requirements of § 61.153 of this part;
(2) Successfully complete the airline transport pilot certification training program specified in § 61.156;
(3) Pass a knowledge test for an airplane category multiengine class rating or type rating on the aeronautical knowledge areas of § 61.155(c);
(4) Comply with the requirements in § 61.157(b) of this part, if appropriate;
(5) Meet the aeronautical experience requirements of § 61.159 or § 61.160; and
(6) Pass the practical test on the areas of operation of § 61.157(e)(2) of this part.
(d) Powered-lift category. A person applying for an airline transport pilot certificate with a powered-lift category rating who holds an airline transport certificate with another aircraft category rating must:
(1) Meet the eligibility requirements of § 61.153 of this part;
(2) Pass a required knowledge test on the aeronautical knowledge areas of § 61.155(c) of this part;
(3) Comply with the requirements in § 61.157(b) of this part, if appropriate;
(4) Meet the applicable aeronautical experience requirements of § 61.163 of this part; and
(5) Pass the required practical test on the areas of operation of § 61.157(e)(3) of this part.
(e) Additional class rating within the same aircraft category. Except as provided in paragraph (f) of this section, a person applying for an airline transport pilot certificate with an additional class rating who holds an airline transport certificate in the same aircraft category must—
(1) Meet the eligibility requirements of § 61.153, except paragraph (g) of that section;
(2) Comply with the requirements in § 61.157(b) of this part, if applicable;
(3) Meet the applicable aeronautical experience requirements of subpart G of this part; and
(4) Pass a practical test on the areas of operation of § 61.157(e) appropriate to the aircraft rating sought.
(f) Adding a multiengine class rating to an airline transport pilot certificate with a single engine class rating. A person applying to add a multiengine class rating, or a multiengine class rating concurrently with a multiengine airplane type rating, to an airline transport pilot certificate with an airplane category single engine class rating must—
(1) Meet the eligibility requirements of § 61.153;
(2) Pass a required knowledge test on the aeronautical knowledge areas of § 61.155(c), as applicable to multiengine airplanes;
(3) Comply with the requirements in § 61.157(b), if applicable;
(4) Meet the applicable aeronautical experience requirements of § 61.159; and
(5) Pass a practical test on the areas of operation of § 61.157(e)(2).
(a) Privileges. (1) A person who holds an airline transport pilot certificate is entitled to the same privileges as a person who holds a commercial pilot certificate with an instrument rating.
(2) A person who holds an airline transport pilot certificate and has met the aeronautical experience requirements of § 61.159, 61.161, or 61.163, and the age requirements of § 61.153(a)(1) may instruct—
(i) Other pilots in air transportation service in aircraft of the category, class, and type, as applicable, for which the airline transport pilot is rated and endorse the logbook or other training record of the person to whom training has been given;
(ii) In flight simulators, and flight training devices representing the aircraft referenced in paragraph (a)(2)(i) of this section, when instructing under the provisions of this section and endorse the logbook or other training record of the person to whom training has been given;
(iii) Only as provided in this section, except that an airline transport pilot who also holds a flight instructor certificate can exercise the instructor privileges under subpart H of this part for which he or she is rated; and
(iv) In an aircraft, only if the aircraft has functioning dual controls, when instructing under the provisions of this section.
(3) Excluding briefings and debriefings, an airline transport pilot may not instruct in aircraft, flight simulators, and flight training devices under this section—
(i) For more than 8 hours in any 24-consecutive-hour period; or
(ii) For more than 36 hours in any 7-consecutive-day period.
(4) An airline transport pilot may not instruct in Category II or Category III operations unless he or she has been trained and successfully tested under Category II or Category III operations, as applicable.
(b) Limitations. A person who holds an airline transport pilot certificate and has not satisfied the age requirement of § 61.153(a)(1) and the aeronautical experience requirements of § 61.159 may not:
(1) Act as pilot in command in operations conducted under part 121, § 91.1053(a)(2)(i), or § 135.243(a)(1) of this chapter, or
(2) Serve as second in command in flag or supplemental operations in part 121 of this chapter requiring three or more pilots.
(a) An institution of higher education that is accredited, as defined in § 61.1, may apply for a letter of authorization for the purpose of certifying its graduates for an airline transport pilot certificate under the academic and aeronautical experience requirements in § 61.160. The application must be in a form and manner acceptable to the Administrator.
(b) An institution of higher education must comply with the provisions of the letter of authorization and may not certify a graduate unless it determines that the graduate has satisfied the requirements of § 61.160, as appropriate.
(c) The Administrator may rescind or amend a letter of authorization if the Administrator determines that the institution of higher education is not complying or is unable to comply with the provisions of the letter of authorization.
This subpart prescribes the requirements for the issuance of flight instructor certificates and ratings (except for flight instructor certificates with a sport pilot rating), the conditions under which those certificates and ratings are necessary, and the limitations on those certificates and ratings.
To be eligible for a flight instructor certificate or rating a person must:
(a) Be at least 18 years of age;
(b) Be able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's flight instructor certificate as are necessary;
(c) Hold either a commercial pilot certificate or airline transport pilot certificate with:
(1) An aircraft category and class rating that is appropriate to the flight instructor rating sought; and
(2) An instrument rating, or privileges on that person's pilot certificate that are appropriate to the flight instructor rating sought, if applying for—
(i) A flight instructor certificate with an airplane category and single-engine class rating;
(ii) A flight instructor certificate with an airplane category and multiengine class rating;
(iii) A flight instructor certificate with a powered-lift rating; or
(iv) A flight instructor certificate with an instrument rating.
(d) Receive a logbook endorsement from an authorized instructor on the fundamentals of instructing listed in § 61.185 of this part appropriate to the required knowledge test;
(e) Pass a knowledge test on the areas listed in § 61.185(a)(1) of this part, unless the applicant:
(1) Holds a flight instructor certificate or ground instructor certificate issued under this part;
(2) Holds a teacher's certificate issued by a State, county, city, or municipality that authorizes the person to teach at an educational level of the 7th grade or higher; or
(3) Is employed as a teacher at an accredited college or university.
(f) Pass a knowledge test on the aeronautical knowledge areas listed in § 61.185(a)(2) and (a)(3) of this part that are appropriate to the flight instructor rating sought;
(g) Receive a logbook endorsement from an authorized instructor on the areas of operation listed in § 61.187(b) of this part, appropriate to the flight instructor rating sought;
(h) Pass the required practical test that is appropriate to the flight instructor rating sought in an:
(1) Aircraft that is representative of the category and class of aircraft for the aircraft rating sought; or
(2) Flight simulator or approved flight training device that is representative of the category and class of aircraft for the rating sought, and used in accordance with a course at a training center certificated under part 142 of this chapter.
(i) Accomplish the following for a flight instructor certificate with an airplane or a glider rating:
(1) Receive a logbook endorsement from an authorized instructor indicating that the applicant is competent and possesses instructional proficiency in stall awareness, spin entry, spins, and spin recovery procedures after providing the applicant with flight training in those training areas in an airplane or glider, as appropriate, that is certificated for spins; and
(2) Demonstrate instructional proficiency in stall awareness, spin entry, spins, and spin recovery procedures. However, upon presentation of the endorsement specified in paragraph (i)(1) of this section an examiner may accept that endorsement as satisfactory evidence of instructional proficiency in stall awareness, spin entry, spins, and spin recovery procedures for the practical test, provided that the practical test is not a retest as a result of the applicant failing the previous test for deficiencies in the knowledge or skill of stall awareness, spin entry, spins, or spin recovery instructional procedures. If the retest is a result of deficiencies in the ability of an applicant to demonstrate knowledge or skill of stall awareness, spin entry, spins, or spin recovery instructional procedures, the examiner must test the person on stall awareness, spin entry, spins, and spin recovery instructional procedures in an airplane or glider, as appropriate, that is certificated for spins;
(j) Log at least 15 hours as pilot in command in the category and class of aircraft that is appropriate to the flight instructor rating sought; and
(k) Comply with the appropriate sections of this part that apply to the flight instructor rating sought.
(a) A person who is applying for a flight instructor certificate must receive and log ground training from an authorized instructor on:
(1) Except as provided in paragraph (b) of this section, the fundamentals of instructing, including:
(i) The learning process;
(ii) Elements of effective teaching;
(iii) Student evaluation and testing;
(iv) Course development;
(v) Lesson planning; and
(vi) Classroom training techniques.
(2) The aeronautical knowledge areas for a recreational, private, and commercial pilot certificate applicable to the aircraft category for which flight instructor privileges are sought; and
(3) The aeronautical knowledge areas for the instrument rating applicable to the category for which instrument flight instructor privileges are sought.
(b) The following applicants do not need to comply with paragraph (a)(1) of this section:
(1) The holder of a flight instructor certificate or ground instructor certificate issued under this part;
(2) The holder of a current teacher's certificate issued by a State, county, city, or municipality that authorizes the person to teach at an educational level of the 7th grade or higher; or
(3) A person employed as a teacher at an accredited college or university.
(a) General. A person who is applying for a flight instructor certificate must receive and log flight and ground training from an authorized instructor on the areas of operation listed in this section that apply to the flight instructor rating sought. The applicant's logbook must contain an endorsement from an authorized instructor certifying that the person is proficient to pass a practical test on those areas of operation.
(b) Areas of operation. (1) For an airplane category rating with a single-engine class rating:
(i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and seaplane base operations;
(vii) Takeoffs, landings, and go-arounds;
(viii) Fundamentals of flight;
(ix) Performance maneuvers;
(x) Ground reference maneuvers;
(xi) Slow flight, stalls, and spins;
(xii) Basic instrument maneuvers;
(xiii) Emergency operations; and
(xiv) Postflight procedures.
(2) For an airplane category rating with a multiengine class rating:
(i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and seaplane base operations;
(vii) Takeoffs, landings, and go-arounds;
(viii) Fundamentals of flight;
(ix) Performance maneuvers;
(x) Ground reference maneuvers;
(xi) Slow flight and stalls;
(xii) Basic instrument maneuvers;
(xiii) Emergency operations;
(xiv) Multiengine operations; and
(xv) Postflight procedures.
(3) For a rotorcraft category rating with a helicopter class rating:
(i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and heliport operations;
(vii) Hovering maneuvers;
(viii) Takeoffs, landings, and go-arounds;
(ix) Fundamentals of flight;
(x) Performance maneuvers;
(xi) Emergency operations;
(xii) Special operations; and
(xiii) Postflight procedures.
(4) For a rotorcraft category rating with a gyroplane class rating:
(i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport operations;
(vii) Takeoffs, landings, and go-arounds;
(viii) Fundamentals of flight;
(ix) Performance maneuvers;
(x) Flight at slow airspeeds;
(xi) Ground reference maneuvers;
(xii) Emergency operations; and
(xiii) Postflight procedures.
(5) For a powered-lift category rating:
(i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and heliport operations;
(vii) Hovering maneuvers;
(viii) Takeoffs, landings, and go-arounds;
(ix) Fundamentals of flight;
(x) Performance maneuvers;
(xi) Ground reference maneuvers;
(xii) Slow flight and stalls;
(xiii) Basic instrument maneuvers;
(xiv) Emergency operations;
(xv) Special operations; and
(xvi) Postflight procedures.
(6) For a glider category rating:
(i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and gliderport operations;
(vii) Launches and landings;
(viii) Fundamentals of flight;
(ix) Performance speeds;
(x) Soaring techniques;
(xi) Performance maneuvers;
(xii) Slow flight, stalls, and spins;
(xiii) Emergency operations; and
(xiv) Postflight procedures.
(7) For an instrument rating with the appropriate aircraft category and class rating:
(i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Air traffic control clearances and procedures;
(vi) Flight by reference to instruments;
(vii) Navigation aids;
(viii) Instrument approach procedures;
(ix) Emergency operations; and
(x) Postflight procedures.
(c) The flight training required by this section may be accomplished:
(1) In an aircraft that is representative of the category and class of aircraft for the rating sought; or
(2) In a flight simulator or flight training device representative of the category and class of aircraft for the rating sought, and used in accordance with an approved course at a training center certificated under part 142 of this chapter.
(a) A flight instructor must sign the logbook of each person to whom that instructor has given flight training or ground training.
(b) A flight instructor must maintain a record in a logbook or a separate document that contains the following:
(1) The name of each person whose logbook that instructor has endorsed for solo flight privileges, and the date of the endorsement; and
(2) The name of each person that instructor has endorsed for a knowledge test or practical test, and the record shall also indicate the kind of test, the date, and the results.
(c) Each flight instructor must retain the records required by this section for at least 3 years.
(a) A person who applies for an additional flight instructor rating on a flight instructor certificate must meet the eligibility requirements listed in § 61.183 of this part that apply to the flight instructor rating sought.
(b) A person who applies for an additional rating on a flight instructor certificate is not required to pass the knowledge test on the areas listed in § 61.185(a)(1) of this part.
(a) A person who holds a flight instructor certificate is authorized within the limitations of that person's flight instructor certificate and ratings to conduct ground training, flight training, certain checking events, and to issue endorsements related to:
(1) A student pilot certificate;
(2) A pilot certificate;
(3) A flight instructor certificate;
(4) A ground instructor certificate;
(5) An aircraft rating;
(6) An instrument rating;
(7) A flight review, operating privilege, or recency of experience requirement of this part, or training to maintain or improve the skills of a certificated pilot;
(8) A practical test; and
(9) A knowledge test.
(b) A person who holds a flight instructor certificate is authorized, in a form and manner acceptable to the Administrator, to:
(1) Accept an application for a student pilot certificate or, for an applicant who holds a pilot certificate (other than a student pilot certificate) issued under part 61 of this chapter and meets the flight review requirements specified in § 61.56, a remote pilot certificate with a small UAS rating;
(2) Verify the identity of the applicant; and
(3) Verify that an applicant for a student pilot certificate meets the eligibility requirements in § 61.83 or an applicant for a remote pilot certificate with a small UAS rating meets the eligibility requirements in § 107.61 of this chapter.
(c) The privileges authorized in this section do not permit a person who holds a flight instructor certificate to conduct operations that would otherwise require an air carrier or operating certificate or specific authorization from the Administrator.
A person who holds a flight instructor certificate is subject to the following limitations:
(a) Hours of training. In any 24-consecutive-hour period, a flight instructor may not conduct more than 8 hours of flight training.
(b) Aircraft ratings. Except as provided in paragraph (c) of this section, a flight instructor may not conduct flight training in any aircraft unless the flight instructor:
(1) Holds a flight instructor certificate with the applicable category and class rating;
(2) Holds a pilot certificate with the applicable category and class rating; and
(3) Meets the requirements of paragraph (e) of this section, if applicable.
(c) Instrument rating. A flight instructor may conduct instrument training for the issuance of an instrument rating, a type rating not limited to VFR, or the instrument training required for commercial pilot and airline transport pilot certificates if the following requirements are met:
(1) Except as provided in paragraph (c)(2) of this section, the flight instructor must hold an instrument rating appropriate to the aircraft used for the instrument training on his or her flight instructor certificate, and—
(i) Meet the requirements of paragraph (b) of this section; or
(ii) Hold a commercial pilot certificate or airline transport pilot certificate with the appropriate category and class ratings for the aircraft in which the instrument training is conducted provided the pilot receiving instrument training holds a pilot certificate with category and class ratings appropriate to the aircraft in which the instrument training is being conducted.
(2) If the flight instructor is conducting the instrument training in a multiengine airplane, the flight instructor must hold an instrument rating appropriate to the aircraft used for the instrument training on his or her flight instructor certificate and meet the requirements of paragraph (b) of this section.
(d) Limitations on endorsements. A flight instructor may not endorse a:
(1) Student pilot's logbook for solo flight privileges, unless that flight instructor has—
(i) Given that student the flight training required for solo flight privileges required by this part; and
(ii) Determined that the student is prepared to conduct the flight safely under known circumstances, subject to any limitations listed in the student's logbook that the instructor considers necessary for the safety of the flight.
(2) Student pilot's logbook for a solo cross-country flight, unless that flight instructor has determined the student's flight preparation, planning, equipment, and proposed procedures are adequate for the proposed flight under the existing conditions and within any limitations listed in the logbook that the instructor considers necessary for the safety of the flight;
(3) Student pilot's logbook for solo flight in a Class B airspace area or at an airport within Class B airspace unless that flight instructor has—
(i) Given that student ground and flight training in that Class B airspace or at that airport; and
(ii) Determined that the student is proficient to operate the aircraft safely.
(4) Logbook of a recreational pilot, unless that flight instructor has—
(i) Given that pilot the ground and flight training required by this part; and
(ii) Determined that the recreational pilot is proficient to operate the aircraft safely.
(5) Logbook of a pilot for a flight review, unless that instructor has conducted a review of that pilot in accordance with the requirements of § 61.56(a) of this part; or
(6) Logbook of a pilot for an instrument proficiency check, unless that instructor has tested that pilot in accordance with the requirements of § 61.57(d) of this part.
(e) Training in an aircraft that requires a type rating. A flight instructor may not give flight instruction, including instrument training, in an aircraft that requires the pilot in command to hold a type rating unless the flight instructor holds a type rating for that aircraft on his or her pilot certificate.
(f) Training received in a multiengine airplane, a helicopter, or a powered-lift. A flight instructor may not give training required for the issuance of a certificate or rating in a multiengine airplane, a helicopter, or a powered-lift unless that flight instructor has at least 5 flight hours of pilot-in-command time in the specific make and model of multiengine airplane, helicopter, or powered-lift, as appropriate.
(g) Position in aircraft and required pilot stations for providing flight training. (1) A flight instructor must perform all training from in an aircraft that complies with the requirements of § 91.109 of this chapter.
(2) A flight instructor who provides flight training for a pilot certificate or rating issued under this part must provide that flight training in an aircraft that meets the following requirements—
(i) The aircraft must have at least two pilot stations and be of the same category, class, and type, if appropriate, that applies to the pilot certificate or rating sought.
(ii) For single-place aircraft, the pre-solo flight training must have been provided in an aircraft that has two pilot stations and is of the same category, class, and type, if appropriate.
(h) Qualifications to provide ground or flight training to initial flight instructor applicants—(1) Ground training. The ground training provided to an initial applicant for a flight instructor certificate must be given by an authorized instructor who—
(i) Holds a ground or flight instructor certificate with the appropriate rating, has held that certificate for at least 24 calendar months, and has given at least 40 hours of ground training; or
(ii) Holds a ground or flight instructor certificate with the appropriate rating, and has given at least 100 hours of ground training in an FAA-approved course.
(2) Flight training. A flight instructor who provides flight training to an initial applicant for a flight instructor certificate must meet the eligibility requirements prescribed in § 61.183; hold the appropriate flight instructor certificate and rating; meet the requirements of the part under which the flight training is provided; and meet one of the following requirements—
(i) Have held a flight instructor certificate for at least 24 calendar months; and
(A) For training in preparation for an airplane, rotorcraft, or powered-lift rating, have given at least 200 hours of flight training as a flight instructor; or
(B) For training in preparation for a glider rating, have given at least 80 hours of flight training as a flight instructor;
(ii) Have trained and endorsed, during the preceding 24 calendar months, at least five applicants for a practical test for a pilot certificate or rating, and at least 80 percent of all applicants endorsed in that period passed that test on their first attempt; or
(iii) After completing the flight training requirements in paragraph (h)(2)(i)(A) or (B) of this section, as appropriate, have graduated from an FAA-approved flight instructor enhanced qualification training program that satisfies the requirements specified in paragraph (h)(3) of this section.
(3) Flight instructor enhanced qualification training program. A flight instructor enhanced qualification training program must be approved and conducted under part 141 or 142 of this chapter, and meet the following requirements-
(i) The ground training must include at least 25 hours of instruction that includes the following subjects:
(A) Flight instructor responsibilities, functions, lesson planning, and risk management, including how to instruct an initial flight instructor applicant on these subjects.
(B) Teaching methods, procedures, and techniques applicable to instructing an initial flight instructor applicant.
(C) Methods of proper evaluation of an initial flight instructor applicant to detect improper and insufficient transfer of instructional knowledge, training, and performance of the initial flight instructor applicant.
(D) Corrective action in the case of unsatisfactory training progress.
(ii) The flight training must include at least 10 hours of training that includes the following areas:
(A) Scenario-based training to develop the flight instructor's ability to instruct an initial flight instructor applicant how to satisfactorily perform the procedures and maneuvers while giving effective flight training.
(B) Instructional knowledge and proficiency to teach an initial flight instructor applicant in abnormal and emergency procedures, which must include stall awareness, spin entry, spins, and spin recovery procedures, if applicable to the category and class of aircraft used in the flight instructor enhanced qualification training program.
(C) Risk management and potential results of improper, untimely, or non-execution of safety measures critical to flight training.
(D) Methods of proper evaluation of an initial flight instructor applicant to detect improper and insufficient transfer of instructional knowledge, training, and performance of the initial flight instructor applicant.
(E) Corrective action in the case of unsatisfactory training progress.
(F) Methods to detect personal characteristics of an initial flight instructor applicant that could adversely affect safety.
(iii) Each flight instructor enrolled in the flight instructor enhanced qualification training program must satisfactorily complete an end-of-course written test specific to the ground training subjects in paragraph (h)(3)(i) of this section and an end-of-course instructional proficiency flight test specific to the flight training areas in paragraph (h)(3)(ii) of this section.
(iv) A full flight simulator or flight training device may be used to meet the flight training requirements of paragraph (h)(3)(ii) of this section. The FFS or FTD must be—
(A) Qualified and maintained in accordance with part 60 of this chapter, or a previously qualified device as permitted in accordance with § 60.17 of this chapter;
(B) Approved by the Administrator pursuant to § 61.4(a); and
(C) Used in accordance with the part under which the FAA-approved course is conducted.
(v) A maximum of 5 hours of training received in an advanced aviation training device may be used to meet the flight training requirements of paragraph (h)(3)(ii) of this section for part 141 flight instructor enhanced qualification training programs. The advanced aviation training device must be-
(A) Approved by the Administrator pursuant to § 61.4(c); and
(B) Used in accordance with part 141 of this chapter.
(vi) No certificate holder may use a person, nor may any person serve, as an instructor of the flight instructor enhanced qualification training program unless the instructor holds a flight instructor certificate or ground instructor certificate and meets one of the following qualifications:
(A) Serves as a chief instructor or assistant chief instructor in a part 141 pilot school;
(B) Serves as a training center program manager or assistant training center program manager of a part 142 training center; or
(C) Meets the qualifications of an assistant chief instructor, pursuant to § 141.36(d).
(vii) A part 141 pilot school or part 142 training center must issue a graduation certificate to each flight instructor who successfully completes the flight instructor enhanced qualification training program.
(i) Prohibition against self-endorsements. A flight instructor shall not make any self-endorsement for a certificate, rating, flight review, authorization, operating privilege, practical test, or knowledge test that is required by this part.
(j) Additional qualifications required to give training in Category II or Category III operations. A flight instructor may not give training in Category II or Category III operations unless the flight instructor has been trained and tested in Category II or Category III operations, pursuant to § 61.67 or § 61.68 of this part, as applicable.
(k) Training for night vision goggle operations. A flight instructor may not conduct training for night vision goggle operations unless the flight instructor:
(1) Has a pilot and flight instructor certificate with the applicable category and class rating for the training;
(2) If appropriate, has a type rating on his or her pilot certificate for the aircraft;
(3) Is pilot in command qualified for night vision goggle operations, in accordance with § 61.31(k);
(4) Has logged 100 night vision goggle operations as the sole manipulator of the controls;
(5) Has logged 20 night vision goggle operations as the sole manipulator of the controls in the category and class, and type of aircraft, if aircraft class and type is appropriate, that the training will be given in;
(6) Is qualified to act as pilot in command in night vision goggle operations under § 61.57(f) or (g); and
(7) Has a logbook endorsement from an FAA Aviation Safety Inspector or a person who is authorized by the FAA to provide that logbook endorsement that states the flight instructor is authorized to perform the night vision goggle pilot in command qualification and recent flight experience requirements under § 61.31(k) and § 61.57(f) and (g).
(l) Training on control and maneuvering an aircraft solely by reference to the instruments. A flight instructor may conduct flight training on control and maneuvering an airplane solely by reference to the flight instruments, provided the flight instructor—
(1) Holds a flight instructor certificate with the applicable category and class rating; or
(2) Holds an instrument rating appropriate to the aircraft used for the training on his or her flight instructor certificate, and holds a commercial pilot certificate or airline transport pilot certificate with the appropriate category and class ratings for the aircraft in which the training is conducted provided the pilot receiving the training holds a pilot certificate with category and class ratings appropriate to the aircraft in which the training is being conducted.
(m) Training in an aircraft with a simplified flight controls designation. A flight instructor may not conduct instruction in a simplified flight control designation aircraft unless they hold the appropriate category and class rating prior to adding the make and model endorsement required by § 61.31(l).
(n) Initial cadre training in an aircraft with a simplified flight controls designation. (1) For purposes of this paragraph (n), instructor pilot means a pilot employed or used by a manufacturer of an aircraft with a simplified flight controls designation to conduct operations of that aircraft for the purpose of providing crew training.
(2) A flight instructor may conduct flight training in an aircraft with a simplified flight controls designation without satisfying the training and endorsement requirements under § 61.31(l), provided the flight instructor—
(i) Holds a flight instructor certificate with the appropriate aircraft category and class, (if a class is required);
(ii) Has received and logged model-specific training in that aircraft from an instructor pilot for the manufacturer of the aircraft; and
(iii) Has received a logbook or training record endorsement from the instructor pilot certifying that the flight instructor is proficient in the safe operation of that model-specific aircraft and the associated simplified flight controls.
(3) Notwithstanding the requirements in § 61.3(d)(2)(ii), an instructor pilot may provide the training and endorsement specified in paragraph (n)(2) of this section in lieu of an authorized instructor.
(a) A person may exercise the privileges of the person's flight instructor certificate only if, within the preceding 24 calendar months, that person has satisfied one of the recent experience requirements specified in paragraph (b) of this section. The 24 calendar month period during which the flight instructor must establish recent experience shall start from one of the following—
(1) The month the FAA issued the flight instructor certificate;
(2) The month the recent experience requirements of paragraph (b) of this section are accomplished; or
(3) The last month of the flight instructor's current recent experience period provided the recent experience requirements of paragraph (b) of this section are accomplished within the 3 calendar months preceding the last month of the certificate holder's current recent experience period.
(b) A person who holds a flight instructor certificate may establish recent experience by satisfying one of the following requirements—
(1) Passing a practical test for—
(i) One of the ratings listed on the flight instructor certificate; or
(ii) An additional flight instructor rating; or
(2) Satisfactorily completing one of the following recent experience requirements, and submitting documentation of such in a form and manner acceptable to the Administrator—
(i) During the preceding 24 calendar months, the flight instructor has endorsed at least 5 applicants for a practical test for a certificate or rating and at least 80 percent of all applicants endorsed passed that test on the first attempt.
(ii) Within the preceding 24 calendar months, the flight instructor has served as a company check pilot, chief flight instructor, company check airman, or flight instructor in a part 121 or 135 operation, or in a position involving the regular evaluation of pilots.
(iii) Within the preceding 3 calendar months, the person has successfully completed an approved flight instructor refresher course consisting of ground training or flight training, or a combination of both.
(iv) Within the preceding 24 calendar months from the month of application, the flight instructor passed an official U.S. Armed Forces military instructor pilot or pilot examiner proficiency check in an aircraft for which the military instructor already holds a rating or in an aircraft for an additional rating.
(v) Within the preceding 24 calendar months from the month of application, the flight instructor has served as a flight instructor in an FAA-sponsored pilot proficiency program, provided the flight instructor meets the following requirements—
(A) Holds a flight instructor certificate and meets the appropriate flight instructor recent experience requirements of this part;
(B) Has satisfactorily completed at least one phase of an FAA-sponsored pilot proficiency program in the preceding 12 calendar months; and
(C) Has conducted at least 15 flight activities recognized under the FAA-sponsored pilot proficiency program, during which the flight instructor evaluated at least 5 different pilots and has made the necessary endorsements in the logbooks of each pilot for each activity.
(c) Except as provided in paragraph (f) of this section, a person who fails to establish recent experience in accordance with paragraph (b) of this section during the 24 calendar month period specified in paragraph (a) of this section may not exercise flight instructor privileges until those privileges are reinstated in accordance with § 61.199.
(d) The practical test required by paragraph (b)(1) of this section may be accomplished in a full flight simulator or flight training device if the test is accomplished pursuant to an approved course conducted by a training center certificated under part 142 of this chapter.
(e) A person who holds an unexpired flight instructor certificate issued before December 1, 2024, may renew that certificate by establishing recent experience in accordance with paragraph (b) of this section prior to the month of expiration on that person's flight instructor certificate. Except as provided in § 61.40, if that person fails to establish recent experience prior to the expiration of that person's flight instructor certificate, that person may not exercise flight instructor privileges until those privileges are reinstated in accordance with § 61.199.
(f) A person who qualifies for the relief prescribed in § 61.40 may establish recent experience in accordance with paragraph (b) of this section, provided the requirements of § 61.40 are met.
(a) Flight instructor privileges. The holder of a flight instructor certificate who has not complied with the flight instructor recent experience requirements of § 61.197 may reinstate their flight instructor privileges by filing a completed and signed application with the FAA and satisfactorily completing one of the following reinstatement requirements:
(1) If 3 calendar months or less have passed since the last month of the flight instructor's recent experience period, the flight instructor may successfully complete an approved flight instructor refresher course consisting of ground training or flight training, or a combination of both, or satisfy one of the requirements specified in paragraph (a)(2) of this section.
(2) If more than 3 calendar months have passed since the last month of the flight instructor's recent experience period, the flight instructor must satisfactorily complete one of the following:
(i) A flight instructor certification practical test, as prescribed by § 61.183(h), for one of the ratings held on the flight instructor certificate; or
(ii) A flight instructor certification practical test for an additional rating.
(3) For military instructor pilots and pilot examiners, provide a record showing that, within the preceding 6 calendar months from the date of application for reinstatement, the person—
(i) Passed a U.S. Armed Forces instructor pilot or pilot examiner proficiency check; or
(ii) Completed a U.S. Armed Forces instructor pilot or pilot examiner training course and received an additional aircraft qualification as a military instructor pilot or pilot examiner that is appropriate to the flight instructor rating sought.
(b) Flight instructor ratings. (1) A flight instructor rating or a limited flight instructor rating on a pilot certificate is no longer valid and may not be exchanged for a similar rating or a flight instructor certificate.
(2) The holder of a flight instructor rating or a limited flight instructor rating on a pilot certificate may be issued a flight instructor certificate with the current ratings, but only if the person passes the required knowledge and practical test prescribed in this subpart for the issuance of the current flight instructor certificate and rating.
This subpart prescribes the requirements for the issuance of ground instructor certificates and ratings, the conditions under which those certificates and ratings are necessary, and the limitations upon those certificates and ratings.
(a) To be eligible for a ground instructor certificate or rating a person must:
(1) Be at least 18 years of age;
(2) Be able to read, write, speak, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, then the Administrator may place such operating limitations on that applicant's ground instructor certificate as are necessary;
(3) Except as provided in paragraph (b) of this section, pass a knowledge test on the fundamentals of instructing to include—
(i) The learning process;
(ii) Elements of effective teaching;
(iii) Student evaluation and testing;
(iv) Course development;
(v) Lesson planning; and
(vi) Classroom training techniques.
(4) Pass a knowledge test on the aeronautical knowledge areas in—
(i) For a basic ground instructor rating §§ 61.97, 61.105, and 61.309;
(ii) For an advanced ground instructor rating §§ 61.97, 61.105, 61.125, 61.155, and 61.309; and
(iii) For an instrument ground instructor rating, § 61.65.
(b) The knowledge test specified in paragraph (a)(3) of this section is not required if the applicant:
(1) Holds a ground instructor certificate or flight instructor certificate issued under this part;
(2) Holds a teacher's certificate issued by a State, county, city, or municipality that authorizes the person to teach at an educational level of the 7th grade or higher; or
(3) Is employed as a teacher at an accredited college or university.
(a) A person who holds a basic ground instructor rating is authorized to provide—
(1) Ground training in the aeronautical knowledge areas required for the issuance of a sport pilot certificate, recreational pilot certificate, private pilot certificate, or associated ratings under this part;
(2) Ground training required for a sport pilot, recreational pilot, and private pilot flight review; and
(3) A recommendation for a knowledge test required for the issuance of a sport pilot certificate, recreational pilot certificate, or private pilot certificate under this part.
(b) A person who holds an advanced ground instructor rating is authorized to provide:
(1) Ground training on the aeronautical knowledge areas required for the issuance of any certificate or rating under this part except for the aeronautical knowledge areas required for an instrument rating.
(2) The ground training required for any flight review except for the training required for an instrument rating.
(3) A recommendation for a knowledge test required for the issuance of any certificate or rating under this part except for an instrument rating.
(c) A person who holds an instrument ground instructor rating is authorized to provide:
(1) Ground training in the aeronautical knowledge areas required for the issuance of an instrument rating under this part;
(2) Ground training required for an instrument proficiency check; and
(3) A recommendation for a knowledge test required for the issuance of an instrument rating under this part.
(d) A person who holds a ground instructor certificate is authorized, within the limitations of the ratings on the ground instructor certificate, to endorse the logbook or other training record of a person to whom the holder has provided the training or recommendation specified in paragraphs (a) through (c) of this section.
(e) Ground training provided to an initial applicant for a flight instructor certificate may only be provided by an authorized instructor in accordance with § 61.195(h)(1).
The holder of a ground instructor certificate may not perform the duties of a ground instructor unless the person can show that one of the following occurred during the preceding 12 calendar months:
(a) Employment or activity as a ground instructor giving pilot, flight instructor, or ground instructor training;
(b) Employment or activity as a flight instructor giving pilot, flight instructor, or ground instructor ground or flight training;
(c) Completion of an approved flight instructor refresher course and receipt of a graduation certificate for that course; or
(d) An endorsement from an authorized instructor certifying that the person has demonstrated knowledge in the subject areas prescribed under § 61.213(a)(3) and (a)(4), as appropriate.
(a) This subpart prescribes the following requirements that apply to a sport pilot certificate:
(1) Eligibility.
(2) Aeronautical knowledge.
(3) Flight proficiency.
(4) Aeronautical experience.
(5) Endorsements.
(6) Privileges and limits.
(b) Other provisions of this part apply to the logging of flight time and testing.
(c) This subpart applies to applicants for, and holders of, sport pilot certificates. It also applies to holders of recreational pilot certificates and higher, as provided in § 61.303.
(a) Use the following table to determine what operating limits and endorsement requirements in this subpart, if any, apply to you when you operate an aircraft that satisfies the limitations identified in § 61.316. The medical certificate specified in this table must be in compliance with § 61.2 in regard to currency and validity. If you hold a recreational pilot certificate, but not a medical certificate, you must comply with cross country requirements in § 61.101(c), even if your flight does not exceed 50 nautical miles from your departure airport. You must also comply with requirements in other subparts of this part that apply to your certificate and the operation you conduct. In the following table, when the word “aircraft” is used, it refers to aircraft that satisfy the limitations identified in § 61.316.
| If you hold . . . | And you hold . . . | Then you may operate . . . | And . . . |
|---|---|---|---|
| (1) A medical certificate | (i) A sport pilot certificate, | Any aircraft for which you hold the endorsements required for its category and class, | You must hold any other endorsements required by this subpart, and comply with the limitations in § 61.315. |
| (ii) At least a recreational pilot certificate with a category and class rating, | Any aircraft in that category and class, | You do not have to hold any of the endorsements required by this subpart, nor do you have to comply with the limitations in § 61.315. | |
| (iii) At least a recreational pilot certificate but not a rating for the category and class of the aircraft you operate, | That aircraft, only if you hold the endorsements required for § 61.321 for its category and class, | You must comply with the limitations in § 61.315, except § 61.315(c)(14) and, if a private pilot or higher, § 61.315(c)(7). | |
| (2) Only a U.S. driver's license | (i) A sport pilot certificate, | Any aircraft for which you hold the endorsements required for its category and class, | You must hold any other endorsements required by this subpart, and comply with the limitations in § 61.315. |
| (ii) At least a recreational pilot certificate with a category and class rating, | Any aircraft in that category and class, | You do not have to hold any of the endorsements required by this subpart, but you must comply with the limitations in § 61.315. | |
| (iii) At least a recreational pilot certificate but not a rating for the category and class of aircraft you operate, | That aircraft, only if you hold the endorsements required in § 61.321 for its category and class, | You must comply with the limitations in § 61.315, except § 61.315(c)(14) and, if a private pilot or higher, § 61.315(c)(7). | |
| (3) Neither a medical certificate nor a U.S. driver's license | (i) A sport pilot certificate, | Any glider or balloon for which you hold the endorsements required for its category and class, | You must hold any other endorsements required by this subpart, and comply with the limitations in § 61.315. |
| (ii) At least a private pilot certificate with a category and class rating for glider or balloon, | Any glider or balloon in that category and class | You do not have to hold any of the endorsements required by this subpart, nor do you have to comply with the limitations in § 61.315. | |
| (iii) At least a private pilot certificate but not a rating for glider or balloon, | Any glider or balloon, only if you hold the endorsements required in § 61.321 for its category and class. | You must comply with the limitations in § 61.315, except § 61.315(c)(14) and, if a private pilot or higher, § 61.315(c)(7). |
(b) A person using a U.S. driver's license to meet the requirements of this paragraph must—
(1) Comply with each restriction and limitation imposed by that person's U.S. driver's license and any judicial or administrative order applying to the operation of a motor vehicle;
(2) Have been found eligible for the issuance of at least a third-class airman medical certificate at the time of his or her most recent application (if the person has applied for a medical certificate);
(3) Not have had his or her most recently issued medical certificate (if the person has held a medical certificate) suspended or revoked or most recent Authorization for a Special Issuance of a Medical Certificate withdrawn; and
(4) Not know or have reason to know of any medical condition that would make that person unable to operate an aircraft in a safe manner.
To be eligible for a sport pilot certificate you must:
(a) Be at least 17 years old (or 16 years old if you are applying to operate a glider or balloon).
(b) Be able to read, speak, write, and understand English. If you cannot read, speak, write, and understand English because of medical reasons, the FAA may place limits on your certificate as are necessary for the safe operation of an aircraft.
To obtain a sport pilot certificate, you must pass the following tests:
(a) Knowledge test. You must pass a knowledge test on the applicable aeronautical knowledge areas listed in § 61.309. Before you may take the knowledge test for a sport pilot certificate, you must receive a logbook endorsement from the authorized instructor who trained you or reviewed and evaluated your home-study course on the aeronautical knowledge areas listed in § 61.309 certifying you are prepared for the test.
(b) Practical test. You must pass a practical test on the applicable areas of operation listed in §§ 61.309 and 61.311. Before you may take the practical test for a sport pilot certificate, you must receive a logbook endorsement from the authorized instructor who provided you with flight training on the areas of operation specified in §§ 61.309 and 61.311 in preparation for the practical test. This endorsement certifies that you meet the applicable aeronautical knowledge and flight proficiency requirements and are prepared for the practical test.
To apply for a sport pilot certificate you must receive and log ground training from an authorized instructor or complete a home-study course on the following aeronautical knowledge areas:
(a) Applicable regulations of this chapter that relate to sport pilot privileges, limits, and flight operations.
(b) Accident reporting requirements of the National Transportation Safety Board.
(c) Use of the applicable portions of the aeronautical information manual and FAA advisory circulars.
(d) Use of aeronautical charts for VFR navigation using pilotage, dead reckoning, and navigation systems, as appropriate.
(e) Recognition of critical weather situations from the ground and in flight, windshear avoidance, and the procurement and use of aeronautical weather reports and forecasts.
(f) Safe and efficient operation of aircraft, including collision avoidance, and recognition and avoidance of wake turbulence.
(g) Effects of density altitude on takeoff and climb performance.
(h) Weight and balance computations.
(i) Principles of aerodynamics, powerplants, and aircraft systems.
(j) Stall awareness, spin entry, spins, and spin recovery techniques, as applicable.
(k) Aeronautical decision making and risk management.
(l) Preflight actions that include—
(1) How to get information on runway lengths at airports of intended use, data on takeoff and landing distances, weather reports and forecasts, and fuel requirements; and
(2) How to plan for alternatives if the planned flight cannot be completed or if you encounter delays.
To apply for a sport pilot certificate, you must receive and log ground and flight training from an authorized instructor on the following areas of operation, as appropriate, for airplane single-engine land or sea, glider, gyroplane, helicopter, airship, balloon, powered parachute land or sea, weight-shift-control aircraft land or sea privileges:
(a) Preflight preparation.
(b) Preflight procedures.
(c) Airport, heliport, seaplane base, and gliderport operations, as applicable.
(d) Hovering maneuvers (applicable only to helicopters).
(e) Takeoffs (or launches), landings, and go-arounds.
(f) Performance maneuvers and, for gliders, performance speeds.
(g) Ground reference maneuvers (not applicable to gliders, helicopters, and balloons).
(h) Soaring techniques (applicable only to gliders).
(i) Navigation.
(j) Slow flight (not applicable to lighter-than-air aircraft, helicopters, and powered parachutes).
(k) Stalls (not applicable to lighter-than-air aircraft, gyroplanes, helicopters, and powered parachutes).
(l) Emergency operations.
(m) Post-flight procedures.
(a) Aeronautical experience. Use the following table to determine the aeronautical experience you must have to apply for a sport pilot certificate:
| If you are applying for a sport pilot certificate with . . . | Then you must log at least . . . | Which must include at least . . . |
|---|---|---|
| (1) Airplane category and single-engine land or sea class privileges, | 20 hours of flight time, including at least 15 hours of flight training from an authorized instructor in a single-engine airplane and at least 5 hours of solo flight training in the areas of operation listed in § 61.311, | (i) 2 hours of cross-country flight training;
(ii) 10 takeoffs and landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; (iii) One solo cross-country flight of at least 75 nautical miles total distance, with a full-stop landing at a minimum of two points and one segment of the flight consisting of a straight-line distance of at least 25 nautical miles between the takeoff and landing locations; and (iv) 2 hours of flight training with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
| (2) Glider category privileges, and you have not logged at least 20 hours of flight time in a heavier-than-air aircraft, | 10 hours of flight time in a glider, including 10 flights in a glider receiving flight training from an authorized instructor and at least 2 hours of solo flight training in the areas of operation listed in § 61.311, | (i) Five solo launches and landings; and
(ii) at least 3 training flights with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
| (3) Glider category privileges, and you have logged at least 20 hours of flight time in a heavier-than-air aircraft, | 3 hours of flight time in a glider, including five flights in a glider while receiving flight training from an authorized instructor and at least 1 hour of solo flight training in the areas of operation listed in § 61.311, | (i) Three solo launches and landings; and
(ii) at least 3 training flights with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
| (4) Rotorcraft category and gyroplane class privileges, | 20 hours of flight time, including 15 hours of flight training from an authorized instructor in a gyroplane and at least 5 hours of solo flight training in the areas of operation listed in § 61.311, | (i) 2 hours of cross-country flight training;
(ii) 10 takeoffs and landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; (iii) One solo cross-country flight of at least 50 nautical miles total distance, with a full-stop landing at a minimum of two points, and one segment of the flight consisting of a straight-line distance of at least 25 nautical miles between the takeoff and landing locations; and (iv) 2 hours of flight training with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
| (5) Lighter-than-air category and airship class privileges, | 20 hours of flight time, including 15 hours of flight training from an authorized instructor in an airship and at least 3 hours performing the duties of pilot in command in an airship with an authorized instructor in the areas of operation listed in § 61.311, | (i) 2 hours of cross-country flight training;
(ii) Three takeoffs and landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; (iii) One cross-country flight of at least 25 nautical miles between the takeoff and landing locations; and (iv) 2 hours of flight training with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
| (6) Lighter-than-air category and balloon class privileges, | 7 hours of flight time in a balloon, including three flights with an authorized instructor and one flight performing the duties of pilot in command in a balloon with an authorized instructor in the areas of operation listed in § 61.311, | (i) 2 hours of cross-country flight training; and
(ii) 1 hour of flight training with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
| (7) Powered parachute category land or sea class privileges, | 12 hours of flight time in a powered parachute, including 10 hours of flight training from an authorized instructor in a powered parachute, and at least 2 hours of solo flight training in the areas of operation listed in § 61.311, | (i) 1 hour of cross-country flight training;
(ii) 20 takeoffs and landings to a full stop in a powered parachute with each landing involving flight in the traffic pattern at an airport; (iii) 10 solo takeoffs and landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; (iv) One solo flight with a landing at a different airport and one segment of the flight consisting of a straight-line distance of at least 10 nautical miles between takeoff and landing locations; and (v) 1 hour of flight training with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
| (8) Weight-shift-control aircraft category land or sea class privileges, | 20 hours of flight time, including 15 hours of flight training from an authorized instructor in a weight-shift-control aircraft and at least 5 hours of solo flight training in the areas of operation listed in § 61.311, | (i) 2 hours of cross-country flight training;
(ii) 10 takeoffs and landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; (iii) One solo cross-country flight of at least 50 nautical miles total distance, with a full-stop landing at a minimum of two points, and one segment of the flight consisting of a straight-line distance of at least 25 nautical miles between takeoff and landing locations; and (iv) 2 hours of flight training with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
| (9) Rotorcraft category and helicopter class, only if that helicopter is certificated under § 21.190 and obtains the simplified flight controls designation, | 30 hours of helicopter flight time, including at least 15 hours of flight training from an authorized instructor in a helicopter, and at least 5 hours of solo flight training in the areas of operation listed in § 61.311, as appropriate, | (i) 2 hours of cross-country flight training;
(ii) 10 takeoffs and landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; (iii) One solo cross-country flight of at least 50 nautical miles total distance, with a full-stop landing at a minimum of two points, and one segment of the flight consisting of a straight-line distance of at least 25 nautical miles between the takeoff and landing locations; and (iv) 2 hours of flight training with an authorized instructor on those areas of operation specified in § 61.311 in preparation for the practical test within the preceding 2 calendar months from the month of the test. |
(b) Flight simulation training device and aviation training device credit. (1) Sport pilot applicants can use up to 2.5 hours of training credit in a qualified flight simulation training device and aviation training device representing the appropriate category and class of aircraft to meet the experience requirements of this part.
(2) The training must be provided by an authorized instructor who possesses the appropriate aircraft rating or privilege sought by the applicant.
(a) If you hold a sport pilot certificate you may act as pilot in command of an aircraft that meets the provisions of § 61.316, except as specified in paragraph (c) of this section.
(b) You may share the operating expenses of a flight with a passenger, provided the expenses involve only fuel, oil, airport expenses, or aircraft rental fees. You must pay at least half the operating expenses of the flight.
(c) You may not act as pilot in command of an aircraft:
(1) That is carrying a passenger or property for compensation or hire.
(2) For compensation or hire.
(3) In furtherance of a business.
(4) While carrying more than one passenger.
(5) At night, except as provided in § 61.329.
(6) In Class A airspace.
(7) In Class B, C, and D airspace, at an airport located in Class B, C, or D airspace, and to, from, through, or at an airport having an operational control tower unless you have met the requirements specified in § 61.325.
(8) Outside the United States, unless you have prior authorization from the country in which you seek to operate. Your sport pilot certificate carries the limit “Holder does not meet ICAO requirements.”
(9) To demonstrate the aircraft in flight to a prospective buyer if you are an aircraft salesperson.
(10) In a passenger-carrying airlift sponsored by a charitable organization.
(11) At an altitude of more than 10,000 feet MSL or 2,000 feet AGL, whichever is higher.
(12) When the flight or surface visibility is less than 3 statute miles.
(13) Without visual reference to the surface.
(14) If the aircraft:
(i) Has a V
(ii) Has a V
(15) Contrary to any operating limitation placed on the airworthiness certificate of the aircraft being flown.
(16) Contrary to any limit on your pilot certificate or airman medical certificate, or any other limit or endorsement from an authorized instructor.
(17) Contrary to any restriction or limitation on your U.S. driver's license or any restriction or limitation imposed by judicial or administrative order when using your driver's license to satisfy a requirement of this part.
(18) While towing any object.
(19) As a pilot flight crewmember on any aircraft for which more than one pilot is required by the type certificate of the aircraft or the regulations under which the flight is conducted.
(20) If the aircraft—
(i) Has retractable landing gear, unless you have met the requirements of § 61.331(a); or
(ii) Is an airplane with a manual controllable pitch propeller, unless you have met the requirements of § 61.331(b).
(21) That requires a pilot to hold a type rating in accordance with § 61.31(a).
(a) If you hold a sport pilot certificate, you may act as pilot in command of an aircraft that, since its original certification, meets the following requirements:
(1) A maximum stalling speed or minimum steady flight speed without the use of lift-enhancing devices (V
(2) A maximum seating capacity of two persons, except for airplanes, which may have a maximum seating capacity of four persons.
(3) A non-pressurized cabin, if equipped with a cabin.
(4) For gyroplanes, a fixed-pitch, semi-rigid, teetering, two-blade rotor system.
(5) For powered aircraft other than balloons or airships, the loss of partial power would not adversely affect directional control of the aircraft and the aircraft design must allow the pilot the capability of establishing a controlled descent in the event of a partial or total powerplant failure.
(6) For helicopters, they must be certificated with the simplified flight controls designation.
(7) For gliders, fixed or retractable landing gear.
(8) For powered-aircraft other than a glider, fixed landing gear except as provided in paragraph (b) of this section.
(9) For powered-aircraft other than a glider, a fixed, ground-adjustable, or an automated controllable pitch propeller except as provided in paragraph (b) of this section.
(b) If you hold a sport pilot certificate, you may act as pilot in command of an aircraft that has retractable landing gear or an airplane with a manual controllable pitch propeller if you have met the training and endorsement requirements specified in § 61.331.
Your sport pilot certificate does not list aircraft category and class ratings. When you successfully pass the practical test for a sport pilot certificate, regardless of the aircraft privileges you seek, the FAA will issue you a sport pilot certificate without any category and class ratings. The FAA will provide you with a logbook endorsement for the category and class of aircraft in which you are authorized to act as pilot in command.
(a) If you hold a sport pilot or higher grade certificate and seek to operate an additional category or class of aircraft meeting the performance limits and design requirements of § 61.316 under this subpart, other than an airplane single-engine land or sea or a rotorcraft-helicopter, you must—
(1) Receive a logbook endorsement from the authorized instructor who trained you on the applicable aeronautical knowledge areas specified in § 61.309 and areas of operation specified in § 61.311. The endorsement certifies you have met the aeronautical knowledge and flight proficiency requirements for the additional aircraft privilege you seek;
(2) Successfully complete a proficiency check from an authorized instructor, other than the instructor who trained you, consisting of the tasks in the appropriate areas of operation contained in the applicable Practical Test Standards or Airman Certification Standards (incorporated by reference, see § 61.14) as listed in appendix A of this part for the additional sport pilot privilege you seek;
(3) Complete an application for those privileges on a form and in a manner acceptable to the FAA and present this application to the authorized instructor who conducted the proficiency check specified in paragraph (a)(2) of this section; and
(4) Receive a logbook endorsement from the authorized instructor who conducted the proficiency check specified in paragraph (a)(2) of this section certifying you are proficient in the applicable areas of operation and aeronautical knowledge areas, and that you are authorized for the additional category and class aircraft privilege.
(b) If you hold a sport pilot or higher grade certificate and seek to operate an airplane single-engine land or sea or a rotorcraft-helicopter meeting the performance limits and design requirements of § 61.316, you must successfully accomplish a practical test for that category and class privilege as specified in § 61.307(b).
If you hold a sport pilot certificate and seek privileges to operate an aircraft meeting the performance limits and design requirements of § 61.316 in Class B, C, or D airspace, at an airport located in Class B, C, or D airspace, or to, from, through, or at an airport having an operational control tower, you must receive and log ground and flight training. The authorized instructor who provides this training must provide a logbook endorsement that certifies you are proficient in the following aeronautical knowledge areas and areas of operation:
(a) The use of radios, communications, navigation system/facilities, and radar services.
(b) Operations at airports with an operating control tower to include three takeoffs and landings to a full stop, with each landing involving a flight in the traffic pattern, at an airport with an operating control tower.
(c) Applicable flight rules of part 91 of this chapter for operations in Class B, C, and D airspace and air traffic control clearances.
(a) Except as specified in paragraph (c) of this section, if you hold a sport pilot certificate and you seek to operate an aircraft meeting the performance limits and design requirements of § 61.316 that is an airplane with a V
(1) Receive and log ground and flight training from an authorized instructor in an airplane that has a V
(2) Receive a logbook endorsement from the authorized instructor who provided the training specified in paragraph (a)(1) of this section certifying that you are proficient in the operation of aircraft that is an airplane with a V
(b) If you hold a sport pilot certificate and you seek to operate an aircraft meeting the performance limits and design requirements of § 61.316 that has a V
(1) Receive and log ground and flight training from an authorized instructor in an aircraft that has a V
(2) Receive a logbook endorsement from the authorized instructor who provided the training specified in paragraph (b)(1) of this section certifying that you are proficient in the operation of aircraft with a V
(c) The training and endorsements required by paragraph (a) of this section are not required if you have logged flight time as pilot in command of an airplane with a V
You may act as pilot in command with a sport pilot certificate during night operations if you:
(a) Receive 3 hours of night flight training in the specific category and class from an authorized instructor that includes—
(1) Conduct at least one cross-country flight during the flight training under paragraph (a) of this section at night, with a landing at an airport of at least 25 nautical miles from the departure airport, except for powered parachutes; and
(2) Accomplish at least 10 takeoffs and 10 landings to a full stop at night;
(b) Either hold a medical certificate issued under part 67 of this chapter or meet the conditions of § 61.113(i) and the operation is conducted consistent with this section. Where the requirements of § 61.316 conflict with § 61.113(i), a sport pilot must comply with § 61.316; and
(c) Receive a logbook endorsement from an authorized instructor certifying that you meet the training requirements in paragraph (a) of this section and are proficient in the operation of the aircraft at night in the category and class which the sport pilot seeks privileges.
(a) If you hold a sport pilot certificate and seek privileges to operate an aircraft with retractable landing gear, you must either—
(1) Satisfy the training and endorsement requirements specified in § 61.31(e), or
(2) Receive and log ground and flight training from an authorized instructor in an aircraft that has retractable landing gear and receive an endorsement from the instructor certifying that you are proficient to operate the aircraft.
(b) If you hold a sport pilot certificate and seek privileges to operate an airplane with a manual controllable pitch propeller, you must either—
(1) Satisfy the training and endorsement requirements specified in § 61.31(e), or
(2) Receive and log ground and flight training from an authorized instructor in an airplane that has a manual controllable pitch propeller and receive an endorsement from the instructor certifying that you are proficient to operate the airplane.
(c) The training and endorsement required by paragraph (a) of this section is not required for pilots seeking to operate aircraft intended for operation on water with retractable landing gear if the person logged pilot-in-command time in such an aircraft before October 22, 2025.
(a) This part prescribes the following requirements that apply to a flight instructor certificate with a sport pilot rating:
(1) Eligibility.
(2) Aeronautical knowledge.
(3) Flight proficiency.
(4) Endorsements.
(5) Privileges and limits.
(b) Other provisions of this part apply to the logging of flight time and testing.
To be eligible for a flight instructor certificate with a sport pilot rating you must:
(a) Be at least 18 years old.
(b) Be able to read, speak, write, and understand English. If you cannot read, speak, write, and understand English because of medical reasons, the FAA may place limits on your certificate as are necessary for the safe operation of aircraft.
(c) Hold at least a sport pilot certificate with category and class ratings or privileges, as applicable, that are appropriate to the flight instructor privileges sought.
To obtain a flight instructor certificate with a sport pilot rating you must pass the following tests:
(a) Knowledge test. Before you take a knowledge test, you must receive a logbook endorsement certifying you are prepared for the test from an authorized instructor who trained you or evaluated your home-study course on the aeronautical knowledge areas listed in § 61.407. You must pass knowledge tests on—
(1) The fundamentals of instructing listed in § 61.407(a), unless you meet the requirements of § 61.407(c); and
(2) The aeronautical knowledge areas for a sport pilot certificate applicable to the aircraft category and class for which flight instructor privileges are sought.
(b) Practical test. (1) Before you take the practical test, you must—
(i) Receive a logbook endorsement from the authorized instructor who provided you with flight training on the areas of operation specified in § 61.409 that apply to the category and class of aircraft privileges you seek. This endorsement certifies you meet the applicable aeronautical knowledge and experience requirements and are prepared for the practical test;
(ii) If you are seeking privileges to provide instruction in an airplane or glider, receive a logbook endorsement from an authorized instructor indicating that you are competent and possess instructional proficiency in stall awareness, spin entry, spins, and spin recovery procedures after you have received flight training in those training areas in an airplane or glider, as appropriate, that is certificated for spins;
(2) You must pass a practical test—
(i) On the areas of operation listed in § 61.409 that are appropriate to the category and class of aircraft privileges you seek;
(ii) In an aircraft representative of the category and class of aircraft for the privileges you seek;
(iii) In which you demonstrate that you are able to teach stall awareness, spin entry, spins, and spin recovery procedures if you are seeking privileges to provide instruction in an airplane or glider. If you have not failed a practical test based on deficiencies in your ability to demonstrate knowledge or skill in these areas and you provide the endorsement required by paragraph (b)(1)(ii) of this section, an examiner may accept the endorsement instead of the demonstration required by this paragraph. If you are taking a test because you previously failed a test based on not meeting the requirements of this paragraph, you must pass a practical test on stall awareness, spin entry, spins, and spin recovery instructional competency and proficiency in the applicable category and class of aircraft that is certificated for spins.
(a) Except as specified in paragraph (c) of this section you must receive and log ground training from an authorized instructor on the fundamentals of instruction that includes:
(1) The learning process.
(2) Elements of effective teaching.
(3) Student evaluation and testing.
(4) Course development.
(5) Lesson planning.
(6) Classroom training techniques.
(b) You must receive and log ground training from an authorized instructor on the aeronautical knowledge areas applicable to a sport pilot certificate for the aircraft category and class in which you seek flight instructor privileges.
(c) You do not have to meet the requirements of paragraph (a) of this section if you—
(1) Hold a flight instructor certificate or ground instructor certificate issued under this part;
(2) Hold a teacher's certificate issued by a State, county, city, or municipality; or
(3) Are employed as a teacher at an accredited college or university.
You must receive and log ground and flight training from an authorized instructor on the following areas of operation for the aircraft category and class in which you seek flight instructor privileges:
(a) Technical subject areas.
(b) Preflight preparation.
(c) Preflight lesson on a maneuver to be performed in flight.
(d) Preflight procedures.
(e) Airport, heliport, seaplane base, and gliderport operations, as applicable.
(f) Hovering maneuvers (applicable only to helicopters).
(g) Takeoffs (or launches), landings, and go-arounds.
(h) Fundamentals of flight.
(i) Performance maneuvers and, for gliders, performance speeds.
(j) Ground reference maneuvers (except for gliders, helicopters, and lighter-than-air).
(k) Soaring techniques (gliders only).
(l) Slow flight (not applicable to lighter-than-air, helicopters, and powered parachutes).
(m) Stalls (not applicable to lighter-than-air, powered parachutes, helicopters, and gyroplanes).
(n) Spins (applicable to airplanes and gliders).
(o) Emergency operations.
(p) Tumble entry and avoidance techniques (applicable to weight-shift-control aircraft).
(q) Special operations (helicopter only).
(r) Post-flight procedures.
Use the following table to determine the experience you must have for each aircraft category and class:
| If you are applying for a flight instructor certificate with a sport pilot rating
for . . . | Then you must log at least . . . | Which must include at least . . . |
|---|---|---|
| (a) Airplane category and single-engine class privileges, | (1) 150 hours of flight time as a pilot, | (i) 100 hours of flight time as pilot in command in powered aircraft,
(ii) 50 hours of flight time in a single-engine airplane, (iii) 25 hours of cross-country time, (iv) 10 hours of cross-country time in a single-engine airplane, and |
| (v) 15 hours of flight time as pilot in command in a single-engine airplane that is an aircraft meeting the performance limits and design requirements of § 61.316. | ||
| (b) Glider category privileges, | (1) 25 hours of flight time as pilot in command in a glider, 100 flights in a glider, and 15 flights as pilot in command in a glider that is an aircraft meeting the performance limits and design requirements of § 61.316, or
(2) 100 hours in heavier-than-air aircraft, 20 flights in a glider, and 15 flights as pilot in command in a glider that is a light-sport aircraft | |
| (c) Rotorcraft category and gyroplane class privileges, | (1) 125 hours of flight time as a pilot, | (i) 100 hours of flight time as pilot in command in powered aircraft,
(ii) 50 hours of flight time in a gyroplane, |
| (iii) 10 hours of cross-country time, | ||
| (iv) 3 hours of cross-country time in a gyroplane, and | ||
| (v) 15 hours of flight time as pilot in command in a gyroplane that is an aircraft meeting the performance limits and design requirements of § 61.316. | ||
| (d) Lighter-than-air category and airship class privileges, | (1) 100 hours of flight time as a pilot, | (i) 40 hours of flight time in an airship,
(ii) 20 hours of pilot in command time in an airship, |
| (iii) 10 hours of cross-country time, | ||
| (iv) 5 hours of cross-country time in an airship, and | ||
| (v) 15 hours of flight time as pilot in command in an airship that is an aircraft meeting the performance limits and design requirements of § 61.316. | ||
| (e) Lighter-than-air category and balloon class privileges, | (1) 35 hours of flight time as pilot-in-command, | (i) 20 hours of flight time in a balloon,
(ii) 10 flights in a balloon, and |
| (iii) 5 flights as pilot in command in a balloon that is an aircraft meeting the performance limits and design requirements of § 61.316. | ||
| (f) Weight-shift-control aircraft category privileges, | (1) 150 hours of flight time as a pilot, | (i) 100 hours of flight time as pilot in command in powered aircraft,
(ii) 50 hours of flight time in a weight-shift-control aircraft, |
| (iii) 25 hours of cross-country time, | ||
| (iv) 10 hours of cross-country time in a weight-shift-control aircraft, and | ||
| (v) 15 hours of flight time as pilot in command in a weight-shift-control aircraft that is an aircraft meeting the performance limits and design requirements of § 61.316. | ||
| (g) Powered-parachute category privileges, | (1) 100 hours of flight time as a pilot, | (i) 75 hours of flight time as pilot in command in powered aircraft,
(ii) 50 hours of flight time in a powered parachute, |
| (iii) 15 hours of cross-country time, | ||
| (iv) 5 hours of cross-country time in a powered parachute, and | ||
| (v) 15 hours of flight time as pilot in command in a powered parachute that is an aircraft meeting the performance limits and design requirements of § 61.316. | ||
| (h) Rotorcraft category and helicopter class, only if that helicopter is certificated under § 21.190 and obtains the simplified flight controls designation, | (1) 150 hours of flight time as a pilot, | (i) 100 hours of flight time as pilot in command in powered aircraft;
(ii) 50 hours of flight time in a helicopter; (iii) 25 hours of cross-country flight time; (iv) 10 hours of cross-country flight time in a helicopter; and (v) 15 hours of flight time as pilot in command in a helicopter. |
| (2) [Reserved] |
To provide flight training under § 61.93(e)(12) on control and maneuvering an airplane solely by reference to the flight instruments for the purpose of issuing a solo cross-country endorsement under § 61.93(c)(1) to a student pilot seeking a sport pilot certificate, a flight instructor with a sport pilot rating must:
(a) Hold an endorsement required by § 61.327(b);
(b) Receive and log a minimum of 1 hour of ground training and 3 hours of flight training from an authorized instructor in an airplane with a V
(c) Receive a one-time endorsement in his or her logbook from an instructor authorized under subpart H of this part who certifies that the person is proficient in providing training on control and maneuvering solely by reference to the flight instruments in an airplane with a V
(a) If you hold a flight instructor certificate with a sport pilot rating, you are authorized, within the limits of your certificate and rating, to conduct ground training, flight training, certain checking events, and to issue endorsements related to:
(1) A student pilot seeking a sport pilot certificate;
(2) A sport pilot certificate;
(3) A flight instructor certificate with a sport pilot rating;
(4) A powered parachute or weight-shift-control aircraft rating;
(5) Sport pilot privileges;
(6) A flight review or operating privilege for a sport pilot, or training to maintain or improve the skills of a sport pilot;
(7) A practical test for a sport pilot certificate, a private pilot certificate with a powered parachute or weight-shift-control aircraft rating or a flight instructor certificate with a sport pilot rating;
(8) A knowledge test for a sport pilot certificate, a private pilot certificate with a powered parachute or weight-shift-control aircraft rating or a flight instructor certificate with a sport pilot rating; and
(9) A proficiency check for an additional category or class privilege for a sport pilot certificate or a flight instructor certificate with a sport pilot rating.
(b) A person who holds a flight instructor certificate with a sport pilot rating is authorized, in a form and manner acceptable to the Administrator, to:
(1) Accept an application for a student pilot certificate or, for an applicant who holds a pilot certificate (other than a student pilot certificate) issued under part 61 of this chapter and meets the flight review requirements specified in § 61.56, a remote pilot certificate with a small UAS rating;
(2) Verify the identity of the applicant; and
(3) Verify that an applicant for a student pilot certificate meets the eligibility requirements in § 61.83.
(c) The privileges authorized in this section do not permit a person who holds a flight instructor certificate with a sport pilot rating to conduct operations that would otherwise require an air carrier or operating certificate or specific authorization from the Administrator.
(d) Notwithstanding § 61.315(c)(2) and (3), a person who holds a flight instructor certificate issued under this subpart K of this part may receive compensation for providing flight training in accordance with this subpart.
If you hold a flight instructor certificate with a sport pilot rating, you may only provide flight training in a light-sport aircraft and are subject to the following limits:
(a) You may not provide ground or flight training in any aircraft for which you do not hold:
(1) A sport pilot certificate with applicable category and class privileges or a pilot certificate with the applicable category and class rating; and
(2) Applicable category and class privileges for your flight instructor certificate with a sport pilot rating.
(b) You may not provide ground or flight training for a private pilot certificate with a powered parachute or weight-shift-control aircraft rating unless you hold:
(1) At least a private pilot certificate with the applicable category and class rating; and
(2) Applicable category and class privileges for your flight instructor certificate with a sport pilot rating.
(c) You may not conduct more than 8 hours of flight training in any 24-consecutive-hour period.
(d) You may not endorse a:
(1) Student pilot's logbook for solo flight privileges, unless you have—
(i) Given that student the flight training required for solo flight privileges required by this part; and
(ii) Determined that the student is prepared to conduct the flight safely under known circumstances, subject to any limitations listed in the student's logbook that you consider necessary for the safety of the flight.
(2) Student pilot's logbook for a solo cross-country flight, unless you have determined the student's flight preparation, planning, equipment, and proposed procedures are adequate for the proposed flight under the existing conditions and within any limitations listed in the logbook that you consider necessary for the safety of the flight.
(3) Student pilot's logbook for solo flight in Class B, C, and D airspace areas, at an airport within Class B, C, or D airspace and to from, through or on an airport having an operational control tower, unless you have—
(i) Given that student ground and flight training in that airspace or at that airport; and
(ii) Determined that the student is proficient to operate the aircraft safely.
(4) Logbook of a pilot for a flight review, unless you have conducted a review of that pilot in accordance with the requirements of § 61.56.
(e) You may not provide training to operate an aircraft in Class B, C, and D airspace, at an airport located in Class B, C, or D airspace, and to, from, through, or at an airport having an operational control tower, unless you have the endorsement specified in § 61.325, or are otherwise authorized to conduct operations in this airspace and at these airports.
(f) You may not provide training in an aircraft that is an airplane with a V
(g) You may not provide training in an aircraft with a V
(h) You may not provide training on the control and maneuvering of an aircraft solely by reference to the instruments in a light sport airplane with a V
(i) You must perform all training in an aircraft that complies with the requirements of § 91.109 of this chapter.
(j) If you provide flight training for a certificate, rating or privilege, you must provide that flight training in an aircraft that meets the following:
(1) The aircraft must have at least two pilot stations and be of the same category and class appropriate to the certificate, rating or privilege sought.
(2) For single place aircraft, pre-solo flight training must be provided in an aircraft that has two pilot stations and is of the same category and class appropriate to the certificate, rating, or privilege sought.
(k) You cannot carry more than one person.
(l) You may not provide training in an airplane with a manual controllable pitch propeller or an aircraft with a retractable landing gear unless you have received training and an instructor endorsement validating proficiency in the safe operation of these types of aircraft.
(m) You may not provide training in an aircraft that has the simplified flight controls designation unless you have received the model-specific flight training and an endorsement from an authorized instructor validating proficiency in the safe operation of these aircraft.
(n) You may not provide training in an aircraft at night unless you have completed the night experience and instructor endorsement requirements listed in § 61.329 for the category and class you seek to provide training in.
Your flight instructor certificate does not list aircraft category and class ratings. When you successfully pass the practical test for a flight instructor certificate with a sport pilot rating, regardless of the aircraft privileges you seek, the FAA will issue you a flight instructor certificate with a sport pilot rating without any category and class ratings. The FAA will provide you with a logbook endorsement for the category and class of aircraft you are authorized to provide training in.
If you hold a flight instructor certificate issued under subpart H of this part or a flight instructor certificate with a sport pilot rating and seek privileges to provide training under subpart K in an additional category or class of aircraft meeting the performance limits and design requirements of § 61.316, you must—
(a) Receive a logbook endorsement from the authorized instructor who trained you on the applicable areas of operation specified in § 61.409 certifying you have met the aeronautical knowledge and flight proficiency requirements for the additional category and class flight instructor privilege you seek;
(b) Except as provided in paragraph (e) of this section, successfully complete a proficiency check from an authorized instructor, other than the instructor who trained you, consisting of the tasks in the appropriate areas of operation contained in the applicable Practical Test Standards or Airman Certification Standards (incorporated by reference, see § 61.14) as listed in appendix A of this part for the additional category and class flight instructor privilege you seek;
(c) Complete an application for those privileges on a form and in a manner acceptable to the FAA and present this application to the authorized instructor who conducted the proficiency check specified in paragraph (b) of this section; and
(d) Receive a logbook endorsement from the instructor who conducted the proficiency check specified in paragraph (b) of this section certifying you are proficient in the areas of operation and authorized for the additional category and class flight instructor privilege.
(e) If you are seeking to add an airplane single-engine land or sea or a rotorcraft-helicopter with simplified flight controls designation privilege to your flight instructor certificate, successfully accomplish a practical test for that category and class privilege as specified in § 61.405.
No. If you hold a flight instructor certificate with a sport pilot rating, you may not give yourself an endorsement for any certificate, privilege, rating, flight review, authorization, practical test, knowledge test, or proficiency check required by this part.
(a) As a flight instructor with a sport pilot rating you must:
(1) Sign the logbook of each person to whom you have given flight training or ground training.
(2) Keep a record of the name, date, and type of endorsement for:
(i) Each person whose logbook you have endorsed for solo flight privileges.
(ii) Each person for whom you have provided an endorsement for a knowledge test, practical test, or proficiency check, and the record must indicate the kind of test or check, and the results.
(iii) Each person whose logbook you have endorsed as proficient to operate—
(A) An additional category or class of aircraft;
(B) In Class B, C, and D airspace; at an airport located in Class B, C, or D airspace; and to, from, through, or at an airport having an operational control tower;
(C) An aircraft that is an airplane with a V
(D) An aircraft with a V
(iv) Each person whose logbook you have endorsed as proficient to provide flight training in an additional category or class of aircraft.
(b) Within 10 days after providing an endorsement for a person to operate or provide training in an additional category and class of aircraft you must—
(1) Complete, sign, and submit to the FAA the application presented to you to obtain those privileges; and
(2) Retain a copy of the form.
(c) You must keep the records listed in this section for 3 years. You may keep these records in a logbook or a separate document.
(a) If you hold a flight instructor certificate with a sport pilot rating issued after December 1, 2024, you must establish recent experience in accordance with § 61.197.
(b) If you hold an unexpired flight instructor certificate with a sport pilot rating issued before December 1, 2024, you must renew your certificate by establishing recent experience in accordance with § 61.197 prior to the month of expiration on your flight instructor certificate. If you fail to establish recent experience prior to the expiration of your flight instructor certificate, you may not exercise flight instructor privileges until you reinstate those privileges in accordance with § 61.427.
If you fail to establish recent experience for your flight instructor certificate with a sport pilot rating, you must reinstate your flight instructor privileges by satisfactorily completing one of the following reinstatement requirements:
(a) If 3 calendar months or less have passed since the last month of your recent experience period, you must successfully complete an approved flight instructor refresher course consisting of ground training or flight training, or a combination of both, or satisfy the requirements specified in paragraph (b) of this section.
(b) If more than 3 calendar months have passed since the last month of the flight instructor's recent experience period, you must pass a practical test as prescribed in § 61.405(b) or § 61.183(h) for one of the ratings listed on your flight instructor certificate with a sport pilot rating. The FAA will reinstate any privilege authorized by that flight instructor certificate with a sport pilot rating.
If you hold a flight instructor certificate, a commercial pilot certificate with an airship rating, or a commercial pilot certificate with a balloon rating issued under this part, and you seek to exercise the privileges of a flight instructor certificate with a sport pilot rating, you may do so without any further showing of proficiency, subject to the following limits:
(a) You are limited to the aircraft category and class ratings listed on your flight instructor certificate, commercial pilot certificate with an airship rating, or commercial pilot certificate with a balloon rating, as appropriate, when exercising your flight instructor privileges and the privileges specified in § 61.413.
(b) You must comply with the limits specified in § 61.415 and the recordkeeping requirements of § 61.423.
(c) If you want to exercise the privileges of your flight instructor certificate in a category or class of aircraft for which you are not currently rated, you must meet all applicable requirements to provide training in an additional category or class of aircraft specified in § 61.419.
(d) If you want to exercise the privileges of your flight instructor certificate in a model-specific aircraft that has a simplified flight controls designation, you must meet the training and endorsement requirements specified in § 61.31(l) prior to providing any flight training in that aircraft.
| If you are seeking this certificate, rating, and/or privilege . . . | Then this ACS/PTS (incorporated by reference, see § 61.14) is applicable: |
|---|---|
| Airline Transport Pilot Certificate; Airplane Category—Single-Engine Land Rating, Airplane Category—Single-Engine Sea Rating, Airplane Category—Multiengine Land Rating, Airplane Category—Multiengine Sea Rating | FAA-S-ACS-11A, Airline Transport Pilot and Type Rating for Airplane Category Airman Certification Standards, November 2023. |
| Airline Transport Pilot Certificate; Rotorcraft Category—Helicopter Rating | FAA-S-8081-20A, Airline Transport Pilot and Aircraft Type Rating Practical Test Standards for Rotorcraft Category Helicopter Rating, November 2023. |
| Airline Transport Pilot Certificate; Powered-Lift Category | FAA-S-ACS-17, Airline Transport Pilot and Type Rating for Powered-Lift Category Airman Certification Standards, November 2023. |
| Commercial Pilot Certificate; Airplane Category—Single-Engine Land Rating, Airplane Category—Single-Engine Sea Rating, Airplane Category—Multiengine Land Rating, Airplane Category—Multiengine Sea Rating | FAA-S-ACS-7B, Commercial Pilot for Airplane Category Airman Certification Standards, November 2023. |
| Commercial Pilot Certificate; Rotorcraft Category—Helicopter Rating | FAA-S-ACS-16, Commercial Pilot for Rotorcraft Category Helicopter Rating Airman Certification Standards, November 2023. |
| Commercial Pilot Certificate; Rotorcraft Category—Gyroplane Rating | FAA-S-8081-16C, Commercial Pilot Practical Test Standards for Rotorcraft Category Gyroplane Rating, November 2023. |
| Commercial Pilot Certificate; Powered-Lift Category | FAA-S-ACS-2, Commercial Pilot for Powered-Lift Category Airman Certification Standards, November 2023. |
| Commercial Pilot Certificate; Glider Category | FAA-S-8081-23B, Commercial Pilot Practical Test Standards for Glider Category, November 2023. |
| Commercial Pilot Certificate; Lighter-Than-Air Category—Airship Rating, Lighter-Than-Air Category—Balloon Rating | FAA-S-8081-18A, Commercial Pilot Practical Test Standards for Lighter-Than-Air Category, November 2023. |
| Private Pilot Certificate; Airplane Category—Single-Engine Land Rating, Airplane Category—Single-Engine Sea Rating, Airplane Category—Multiengine Land Rating, Airplane Category—Multiengine Sea Rating | FAA-S-ACS-6C, Private Pilot for Airplane Category Airman Certification Standards, November 2023. |
| Private Pilot Certificate; Rotorcraft Category—Helicopter Rating | FAA-S-ACS-15, Private Pilot for Rotorcraft Category Helicopter Rating Airman Certification Standards, November 2023. |
| Private Pilot Certificate; Rotorcraft Category—Gyroplane Rating | FAA-S-8081-15B, Private Pilot Practical Test Standards for Rotorcraft Category Gyroplane Rating, November 2023. |
| Private Pilot Certificate; Powered-Lift Category | FAA-S-ACS-13, Private Pilot for Powered-Lift Category Airman Certification Standards, November 2023. |
| Private Pilot Certificate; Glider Category | FAA-S-8081-22A, Private Pilot Practical Test Standards for Glider Category, November 2023. |
| Private Pilot Certificate; Lighter-Than-Air Category—Airship Rating, Lighter-Than-Air Category—Balloon Rating | FAA-S-8081-17A, Private Pilot Practical Test Standards for Lighter-Than-Air Category, November 2023. |
| Private Pilot Certificate; Powered Parachute Category—Land Rating, Powered Parachute Category—Sea Rating, Weight-Shift-Control Aircraft Category—Land Rating, Weight-Shift-Control Aircraft Category—Sea Rating | FAA-S-8081-32A, Private Pilot Practical Test Standards for Powered Parachute Category and Weight-Shift-Control Category, November 2023. |
| Recreational Pilot Certificate; Airplane Category—Single-Engine Land Rating, Airplane Category—Single-Engine Sea Rating, Rotorcraft Category—Helicopter Rating, Rotorcraft Category—Gyroplane Rating | FAA-S-8081-3B, Recreational Pilot Practical Test Standards for Airplane Category and Rotorcraft Category, November 2023. |
| Sport Pilot Certificate; Airplane Category—Single-Engine Land Privileges, Airplane Category—Single-Engine Sea Privileges, Rotorcraft Category—Gyroplane Privileges, Glider Category | FAA-S-8081-29A, Sport Pilot and Sport Pilot Flight Instructor Rating Practical Test Standards for Airplane Category, Rotorcraft Category, and Glider Category, November 2023. |
| Flight Instructor Certificate with a Sport Pilot Rating; Airplane Category—Single-Engine Privileges, Rotorcraft Category—Gyroplane Privileges, Glider Category | |
| Sport Pilot Certificate; Rotorcraft Category—Helicopter Privilege—Simplified Flight Controls | FAA-S-ACS-26, Sport Pilot for Rotorcraft Category Helicopter—Simplified Flight Controls Privilege Airman Certification Standards, July 2025. |
| Flight Instructor Certificate with a Sport Pilot Rating; Rotorcraft Helicopter—Simplified Flight Controls | FAA-S-ACS-31, Flight Instructor with a Sport Pilot Rating for Rotorcraft Category Helicopter—Simplified Flight Controls Privilege Airman Certification Standards, July 2025. |
| Sport Pilot Certificate; Lighter-Than-Air Category—Airship Privileges, Lighter-Than-Air Category—Balloon Privileges | FAA-S-8081-30A, Sport Pilot and Sport Pilot Flight Instructor Rating Practical Test Standards for Lighter-Than-Air Category, November 2023. |
| Flight Instructor Certificate with a Sport Pilot Rating; Lighter-Than-Air Category—Airship Privileges, Lighter-Than-Air Category—Balloon Privileges | |
| Sport Pilot Certificate; Powered Parachute Category—Land Privileges, Powered Parachute Category—Sea Privileges, Weight-Shift-Control Aircraft Category—Land Privileges, Weight-Shift-Control Aircraft Category—Sea Privileges | FAA-S-8081-31A, Sport Pilot and Sport Pilot Flight Instructor Rating Practical Test Standards for Powered Parachute Category and Weight-Shift-Control Category, November 2023. |
| Flight Instructor Certificate with a Sport Pilot Rating; Powered Parachute Category Privileges, Weight-Shift-Control Aircraft Category Privileges. | |
| Instrument Rating—Airplane Instrument Proficiency Check—Airplane | FAA-S-ACS-8C, Instrument Rating—Airplane Airman Certification Standards, November 2023. |
| Instrument Rating—Helicopter Instrument Proficiency Check—Helicopter | FAA-S-ACS-14, Instrument Rating—Helicopter Airman Certification Standards, November 2023. |
| Instrument Rating—Powered-Lift Instrument Proficiency Check—Powered-Lift | FAA-S-ACS-3, Instrument Rating—Powered-Lift Airman Certification Standards, November 2023. |
| Flight Instructor Certificate; Airplane Category—Single Engine Rating Airplane Category—Multiengine Rating | FAA-S-ACS-25, Flight Instructor for Airplane Category Airman Certification Standards, November 2023. |
| Flight Instructor Certificate; Rotorcraft Category—Helicopter Rating | FAA-S-ACS-29, Flight Instructor for Rotorcraft Category Helicopter Rating Airman Certification Standards, November 2023. |
| Flight Instructor Certificate; Rotorcraft Category—Gyroplane Rating | FAA-S-8081-7C, Flight Instructor Practical Test Standards for Rotorcraft Category Gyroplane Rating, November 2023. |
| Flight Instructor Certificate; Powered-lift Category | FAA-S-ACS-27, Flight Instructor for Powered-Lift Category Airman Certification Standards, November 2023. |
| Flight Instructor Certificate; Glider Category | FAA-S-8081-8C, Flight Instructor Practical Test Standards for Glider Category, November 2023. |
| Flight Instructor Certificate; Instrument—Airplane Rating, Instrument—Helicopter Rating | FAA-S-8081-9E, Flight Instructor Instrument Practical Test Standards for Airplane Rating and Helicopter Rating, November 2023. |
| Flight Instructor Certificate; Instrument—Powered-Lift Rating | FAA-S-ACS-28, Flight Instructor—Instrument Rating Powered-Lift Airman Certification Standards, November 2023. |
| Aircraft Type Rating—Airplane | FAA-S-ACS-11A, Airline Transport Pilot and Type Rating for Airplane Category Airman Certification Standards, November 2023. |
| Aircraft Type Rating—Helicopter | FAA-S-8081-20A, Airline Transport Pilot and Aircraft Type Rating Practical Test Standards for Rotorcraft Category Helicopter Rating, November 2023. |
| Aircraft Type Rating—Powered-Lift | FAA-S-ACS-17, Airline Transport Pilot and Type Rating for Powered-Lift Category Airman Certification Standards, November 2023. |
| Pilot-in-Command Proficiency Check—Airplane | FAA-S-ACS-11A, Airline Transport Pilot and Type Rating for Airplane Category Airman Certification Standards; November 2023. |
| Pilot-in-Command Proficiency Check—Helicopter | FAA-S-8081-20A, Airline Transport Pilot and Aircraft Type Rating Practical Test Standards for Rotorcraft Category Helicopter Rating, November 2023. |
| Pilot-in-Command Proficiency Check—Powered-Lift | FAA-S-ACS-17, Airline Transport Pilot and Type Rating for Powered-Lift Category Airman Certification Standards, November 2023. |
This part prescribes the requirements for issuing flight engineer and flight navigator certificates and the general operating rules for holders of those certificates.
A person who is neither a United States citizen nor a resident alien is issued a certificate under this part (other than under § 63.23 or § 63.42) outside the United States only when the Administrator finds that the certificate is needed for the operation of a U.S.-registered civil aircraft.
(a) Except as provided in paragraph (c) of this section, no person may act as a flight engineer of a civil aircraft of U.S. registry unless that person has in his or her physical possession or readily accessible in the aircraft:
(1) A current flight engineer certificate with appropriate ratings issued to that person under this part;
(2) A document conveying temporary authority to exercise certificate privileges issued by the Airman Certification Branch under § 63.16(f); or
(3) When engaged in a flight operation within the United States for a part 119 certificate holder authorized to conduct operations under part 121 of this chapter, a temporary document provided by that certificate holder under an approved certificate verification plan.
(b) A person may act as a flight engineer of an aircraft only if that person holds a current second-class (or higher) medical certificate issued to that person under part 67 of this chapter, or other documentation acceptable to the FAA, that is in that person's physical possession or readily accessible in the aircraft.
(c) When the aircraft is operated within a foreign country, a current flight engineer certificate issued by the country in which the aircraft is operated, with evidence of current medical qualification for that certificate, may be used. Also, in the case of a flight engineer certificate issued under § 63.42, evidence of current medical qualification accepted for the issue of that certificate is used in place of a medical certificate.
(d) No person may act as a flight navigator of a civil aircraft of U.S. registry unless that person has in his or her physical possession a current flight navigator certificate issued to him or her under this part and a second-class (or higher) medical certificate issued to him or her under part 67 of this chapter within the preceding 12 months. However, when the aircraft is operated within a foreign country, a current flight navigator certificate issued by the country in which the aircraft is operated, with evidence of current medical qualification for that certificate, may be used.
(e) Each person who holds a flight engineer or flight navigator certificate, medical certificate, or temporary document in accordance with paragraph (a)(3) of this section shall present it for inspection upon the request of the Administrator or an authorized representative of the National Transportation Safety Board, or of any Federal, State, or local law enforcement officer.
(a) An application for a certificate and appropriate class rating, or for an additional rating, under this part must be made on a form and in a manner prescribed by the Administrator. Each person who applies for airmen certification services to be administered outside the United States for any certificate or rating issued under this part must show evidence that the fee prescribed in appendix A of part 187 of this chapter has been paid.
(b) An applicant who meets the requirements of this part is entitled to an appropriate certificate and appropriate class ratings.
(c) Unless authorized by the Administrator, a person whose flight engineer certificate is suspended may not apply for any rating to be added to that certificate during the period of suspension.
(d) Unless the order of revocation provides otherwise, a person whose flight engineer or flight navigator certificate is revoked may not apply for the same kind of certificate for 1 year after the date of revocation.
(a) A conviction for the violation of any Federal or state statute relating to the growing, processing, manufacture, sale, disposition, possession, transportation, or importation of narcotic drugs, marihuana, or depressant or stimulant drugs or substances is grounds for—
(1) Denial of an application for any certificate or rating issued under this part for a period of up to 1 year after the date of final conviction; or
(2) Suspension or revocation of any certificate or rating issued under this part.
(b) The commission of an act prohibited by § 91.17(a) or § 91.19(a) of this chapter is grounds for—
(1) Denial of an application for a certificate or rating issued under this part for a period of up to 1 year after the date of that act; or
(2) Suspension or revocation of any certificate or rating issued under this part.
A refusal to submit to a test to indicate the percentage by weight of alcohol in the blood, when requested by a law enforcement officer in accordance with § 91.11(c) of this chapter, or a refusal to furnish or authorize the release of the test results when requested by the Administrator in accordance with § 91.17 (c) or (d) of this chapter, is grounds for—
(a) Denial of an application for any certificate or rating issued under this part for a period of up to 1 year after the date of that refusal; or
(b) Suspension or revocation of any certificate or rating issued under this part.
A certificate effective for a period of not more than 120 days may be issued to a qualified applicant, pending review of his application and supplementary documents and the issue of the certificate for which he applied.
(a) Except as provided in § 63.23 and paragraph (b) of this section, a certificate or rating issued under this part is effective until it is surrendered, suspended, or revoked.
(b) A flight engineer certificate (with any amendment thereto) issued under § 63.42 expires at the end of the 24th month after the month in which the certificate was issued or renewed. However, the holder may exercise the privileges of that certificate only while the foreign flight engineer license on which that certificate is based is effective.
(c) Any certificate issued under this part ceases to be effective if it is surrendered, suspended, or revoked. The holder of any certificate issued under this part that is suspended or revoked shall, upon the Administrator's request, return it to the Administrator.
(d) Except for temporary certificate issued under § 63.13, the holder of a paper certificate issued under this part may not exercise the privileges of that certificate after March 31, 2013.
(a) An application for a change of name on a certificate issued under this part must be accompanied by the applicant's current certificate and the marriage license, court order, or other document verifying the change. The documents are returned to the applicant after inspection.
(b) A request for a replacement of a lost or destroyed airman certificate issued under this part must be made:
(1) By letter to the Department of Transportation, Federal Aviation Administration, Airman Certification Branch, Post Office Box 25082, Oklahoma City, OK 73125 and must be accompanied by a check or money order for the appropriate fee payable to the FAA; or
(2) In any other form and manner approved by the Administrator including a request to Airman Services at http://www.faa.gov, and must be accompanied by acceptable form of payment for the appropriate fee.
(c) A request for the replacement of a lost or destroyed medical certificate must be made:
(1) By letter to the Department of Transportation, FAA, Aerospace Medical Certification Division, P.O. Box 26200, Oklahoma City, OK 73125, and must be accompanied by a check or money order for the appropriate fee payable to the FAA; or
(2) In any other manner and form approved by the Administrator and must be accompanied by acceptable form of payment for the appropriate fee.
(d) A request for the replacement of a lost or destroyed knowledge test report must be made:
(1) By letter to the Department of Transportation, FAA, Airmen Certification Branch, P.O. Box 25082, Oklahoma City, OK 73125, and must be accompanied by a check or money order for the appropriate fee payable to the FAA; or
(2) In any other manner and form approved by the Administrator and must be accompanied by acceptable form of payment for the appropriate fee.
(e) The letter requesting replacement of a lost or destroyed airman certificate, medical certificate, or knowledge test report must state:
(1) The name of the person;
(2) The permanent mailing address (including ZIP code), or if the permanent mailing address includes a post office box number, then the person's current residential address;
(3) The certificate holder's date and place of birth; and
(4) Any information regarding the—
(i) Grade, number, and date of issuance of the airman certificate and ratings, if appropriate;
(ii) Class of medical certificate, the place and date of the medical exam, name of the Airman Medical Examiner (AME), and the circumstances concerning the loss of the original medical certificate, as appropriate; and
(iii) Date the knowledge test was taken, if appropriate.
(f) A person who has lost an airman certificate, medical certificate, or knowledge test report may obtain in a form or manner approved by the Administrator, a document conveying temporary authority to exercise certificate privileges from the FAA Aeromedical Certification Branch or the Airman Certification Branch, as appropriate, and the—
(1) Document may be carried as an airman certificate, medical certificate, or knowledge test report, as appropriate, for a period not to exceed 60 days pending the person's receiving a duplicate under paragraph (b), (c), or (d) of this section, unless the person has been notified that the certificate has been suspended or revoked.
(2) Request for such a document must include the date on which a duplicate certificate or knowledge test report was previously requested.
(a) Tests prescribed by or under this part are given at times and places, and by persons, designated by the Administrator.
(b) The minimum passing grade for each test is 70 percent.
(a) Except as authorized by the Administrator, no person may—
(1) Copy, or intentionally remove, a written test under this part;
(2) Give to another, or receive from another, any part or copy of that test;
(3) Give help on that test to, or receive help on that test from, any person during the period that test is being given.
(4) Take any part of that test in behalf of another person;
(5) Use any material or aid during the period that test is being given; or
(6) Intentionally cause, assist, or participate in any act prohibited by this paragraph.
(b) No person who commits an act prohibited by paragraph (a) of this section is eligible for any airman or ground instructor certificate or rating under this chapter for a period of 1 year after the date of that act. In addition, the commission of that act is a basis for suspending or revoking any airman or ground instructor certificate or rating held by that person.
No person may serve as a flight engineer or flight navigator during a period of known physical deficiency, or increase in physical deficiency, that would make him unable to meet the physical requirements for his current medical certificate.
Within 30 days after any change in his permanent mailing address, the holder of a certificate issued under this part shall notify the Department of Transportation, Federal Aviation Administration, Airman Certification Branch, Post Office Box 25082, Oklahoma City, OK 73125, in writing, of his new address.
(a) General. The holder of a current foreign flight engineer or flight navigator certificate, license, or authorization issued by a foreign contracting State to the Convention on International Civil Aviation, who meets the requirements of this section, may hold a special purpose flight engineer or flight navigator certificate, as appropriate, authorizing the holder to perform flight engineer or flight navigator duties on a civil airplane of U.S. registry, leased to a person not a citizen of the United States, carrying persons or property for compensation or hire. Special purpose flight engineer and flight navigator certificates are issued under this section only for airplane types that can have a maximum passenger seating configuration, excluding any flight crewmember seat, of more than 30 seats or a maximum payload capacity (as defined in § 135.2(e) of this chapter) of more than 7,500 pounds.
(b) Eligibility. To be eligible for the issuance, or renewal, of a certificate under this section, an applicant must present the following to the Administrator:
(1) A current foreign flight engineer or flight navigator certificate, license, or authorization issued by the aeronautical authority of a foreign contracting State to the Convention on International Civil Aviation or a facsimile acceptable to the Administrator. The certificate or license must authorize the applicant to perform the flight engineer or flight navigator duties to be authorized by a certificate issued under this section on the same airplane type as the leased airplane.
(2) A current certification by the lessee of the airplane—
(i) Stating that the applicant is employed by the lessee;
(ii) Specifying the airplane type on which the applicant will perform flight engineer or flight navigator duties; and
(iii) Stating that the applicant has received ground and flight instruction which qualifies the applicant to perform the duties to be assigned on the airplane.
(3) Documentation showing that the applicant currently meets the medical standards for the foreign flight engineer or flight navigator certificate, license, or authorization required by paragraph (b)(1) of this section, except that a U.S. medical certificate issued under part 67 of this chapter is not evidence that the applicant meets those standards unless the State which issued the applicant's foreign flight engineer or flight navigator certificate, license, or authorization accepts a U.S. medical certificate as evidence of medical fitness for a flight engineer or flight navigator certificate, license, or authorization.
(c) Privileges. The holder of a special purpose flight engineer or flight navigator certificate issued under this section may exercise the same privileges as those shown on the certificate, license, or authorization specified in paragraph (b)(1) of this section, subject to the limitations specified in this section.
(d) Limitations. Each certificate issued under this section is subject to the following limitations:
(1) It is valid only—
(i) For flights between foreign countries and for flights in foreign air commerce;
(ii) While it and the certificate, license, or authorization required by paragraph (b)(1) of this section are in the certificate holder's personal possession and are current;
(iii) While the certificate holder is employed by the person to whom the airplane described in the certification required by paragraph (b)(2) of this section is leased;
(iv) While the certificate holder is performing flight engineer or flight navigator duties on the U.S.-registered civil airplane described in the certification required by paragraph (b)(2) of this section; and
(v) While the medical documentation required by paragraph (b)(3) of this section is in the certificate holder's personal possession and is currently valid.
(2) Each certificate issued under this section contains the following:
(i) The name of the person to whom the U.S.-registered civil airplane is leased.
(ii) The type of airplane.
(iii) The limitation: “Issued under, and subject to, § 63.23 of the Federal Aviation Regulations.”
(iv) The limitation: “Subject to the privileges and limitations shown on the holder's foreign flight (engineer or navigator) certificate, license, or authorization.”
(3) Any additional limitations placed on the certificate which the Administrator considers necessary.
(e) Termination. Each special purpose flight engineer or flight navigator certificate issued under this section terminates—
(1) When the lease agreement for the airplane described in the certification required by paragraph (b)(2) of this section terminates;
(2) When the foreign flight engineer or flight navigator certificate, license, or authorization, or the medical documentation required by paragraph (b) of this section is suspended, revoked, or no longer valid; or
(3) After 24 months after the month in which the special purpose flight engineer or flight navigator certificate was issued.
(f) Surrender of certificate. The certificate holder shall surrender the special purpose flight engineer or flight navigator certificate to the Administrator within 7 days after the date it terminates.
(g) Renewal. The certificate holder may have the certificate renewed by complying with the requirements of paragraph (b) of this section at the time of application for renewal.
To be eligible for a flight engineer certificate, a person must—
(a) Be at least 21 years of age;
(b) Be able to read, speak, and understand the English language, or have an appropriate limitation placed on his flight engineer certificate;
(c) Hold at least a second-class medical certificate issued under part 67 of this chapter within the 12 months before the date he applies, or other evidence of medical qualification accepted for the issue of a flight engineer certificate under § 63.42; and
(d) Comply with the requirements of this subpart that apply to the rating he seeks.
(a) The aircraft class ratings to be placed on flight engineer certificates are—
(1) Reciprocating engine powered;
(2) Turbopropeller powered; and
(3) Turbojet powered.
(b) To be eligible for an additional aircraft class rating after his flight engineer certificate with a class rating is issued to him, an applicant must pass the written test that is appropriate to the class of airplane for which an additional rating is sought, and—
(1) Pass the flight test for that class of aircraft; or
(2) Satisfactorily complete an approved flight engineer training program that is appropriate to the additional class rating sought.
(a) An applicant for a flight engineer certificate must pass a written test on the following:
(1) The regulations of this chapter that apply to the duties of a flight engineer.
(2) The theory of flight and aerodynamics.
(3) Basic meteorology with respect to engine operations.
(4) Center of gravity computations.
(b) An applicant for the original or additional issue of a flight engineer class rating must pass a written test for that airplane class on the following:
(1) Preflight.
(2) Airplane equipment.
(3) Airplane systems.
(4) Airplane loading.
(5) Airplane procedures and engine operations with respect to limitations.
(6) Normal operating procedures.
(7) Emergency procedures.
(8) Mathematical computation of engine operations and fuel consumption.
(c) Before taking the written tests prescribed in paragraphs (a) and (b) of this section, an applicant for a flight engineer certificate must present satisfactory evidence of having completed one of the experience requirements of § 63.37. However, the applicant may take the written tests before acquiring the flight training required by § 63.37.
(d) An applicant for a flight engineer certificate or rating must have passed the written tests required by paragraphs (a) and (b) of this section since the beginning of the 24th calendar month before the month in which the flight is taken. However, this limitation does not apply to an applicant for a flight engineer certificate or rating if—
(1) The applicant—
(i) Within the period ending 24 calendar months after the month in which the applicant passed the written test, is employed as a flight crewmember or mechanic by a U.S. air carrier or commercial operator operating either under part 121 or as a commuter air carrier under part 135 (as defined in part 298 of this title) and is employed by such a certificate holder at the time of the flight test;
(ii) If employed as a flight crewmember, has completed initial training, and, if appropriate, transition or upgrade training; and
(iii) Meets the recurrent training requirements of the applicable part or, for mechanics, meets the recency of experience requirements of part 65 of this chapter;
(2) Within the period ending 24 calendar months after the month in which the applicant passed the written test, the applicant participated in a flight engineer or maintenance training program of a U.S. scheduled military air transportation service and is currently participating in that program; or
(3) An applicant is eligible to take a practical test for a flight engineer certificate or rating under this part with an expired written test report in accordance with § 61.40 of this chapter.
(e) An air carrier or commercial operator with an approved training program under part 121 of this chapter may, when authorized by the Administrator, provide as part of that program a written test that it may administer to satisfy the test required for an additional rating under paragraph (b) of this section.
(a) Except as otherwise specified therein, the flight time used to satisfy the aeronautical experience requirements of paragraph (b) of this section must have been obtained on an airplane—
(1) On which a flight engineer is required by this chapter; or
(2) That has at least three engines that are rated at least 800 horsepower each or the equivalent in turbine-powered engines.
(b) An applicant for a flight engineer certificate with a class rating must present, for the class rating sought, satisfactory evidence of one of the following:
(1) At least 3 years of diversified practical experience in aircraft and aircraft engine maintenance (of which at least 1 year was in maintaining multiengine aircraft with engines rated at least 800 horsepower each, or the equivalent in turbine engine powered aircraft), and at least 5 hours of flight training in the duties of a flight engineer.
(2) Graduation from at least a 2-year specialized aeronautical training course in maintaining aircraft and aircraft engines (of which at least 6 calendar months were in maintaining multiengine aircraft with engines rated at least 800 horsepower each or the equivalent in turbine engine powered aircraft), and at least 5 hours of flight training in the duties of a flight engineer.
(3) A degree in aeronautical, electrical, or mechanical engineering from a recognized college, university, or engineering school; at least 6 calendar months of practical experience in maintaining multiengine aircraft with engines rated at least 800 horsepower each, or the equivalent in turbine engine powered aircraft; and at least 5 hours of flight training in the duties of a flight engineer.
(4) At least a commercial pilot certificate with an instrument rating and at least 5 hours of flight training in the duties of a flight engineer.
(5) At least 200 hours of flight time in a transport category airplane (or in a military airplane with at least two engines and at least equivalent weight and horsepower) as pilot in command or second in command performing the functions of a pilot in command under the supervision of a pilot in command.
(6) At least 100 hours of flight time as a flight engineer.
(7) Within the 90-day period before he applies, successful completion of an approved flight engineer ground and flight course of instruction as provided in appendix C of this part.
(a) An applicant for a flight engineer certificate with a class rating must pass a practical test in the class of airplane for which a rating is sought. To pass the practical test for a flight engineer certificate, the applicant must satisfactorily demonstrate the objectives in the areas of operation specified in the Flight Engineer Practical Test Standards for Reciprocating Engine, Turbopropeller, and Turbojet Powered Aircraft (incorporated by reference, see paragraph (c) of this section). The test may only be given in an airplane specified in § 63.37(a).
(b) The applicant must—
(1) Show that the applicant can satisfactorily perform preflight inspection, servicing, starting, pretakeoff, and postlanding procedures;
(2) In flight, show that the applicant can satisfactorily perform the normal duties and procedures relating to the airplane, airplane engines, propellers (if appropriate), systems, and appliances; and
(3) In flight, in an airplane simulator, or in an approved flight engineer training device, show that the applicant can satisfactorily perform emergency duties and procedures and recognize and take appropriate action for malfunctions of the airplane, engines, propellers (if appropriate), systems and appliances.
(c) FAA-S-8081-21A, Flight Engineer Practical Test Standards for Reciprocating Engine, Turbopropeller, and Turbojet Powered Aircraft, November 2023, is incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at the Federal Aviation Administration (FAA) and the National Archives and Records Administration (NARA). Contact FAA, Training and Certification Group, 202-267-1100, ACSPTSinquiries@faa.gov, www.faa.gov/training_testing. For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations or email fr.inspection@nara.gov. The material may be obtained from FAA, 800 Independence Avenue SW, Washington, DC 20591, 866-835-5322, www.faa.gov/training_testing.
An applicant for a flight engineer certificate who fails a written test or practical test for that certificate may apply for retesting—
(a) After 30 days after the date he failed that test; or
(b) After he has received additional practice or instruction (flight, synthetic trainer, or ground training, or any combination thereof) that is necessary, in the opinion of the Administrator or the applicant's instructor (if the Administrator has authorized him to determine the additional instruction necessary) to prepare the applicant for retesting.
(a) Certificates issued. The holder of a current foreign flight engineer license issued by a contracting State to the Convention on International Civil Aviation, who meets the requirements of this section, may have a flight engineer certificate issued to him for the operation of civil aircraft of U.S. registry. Each flight engineer certificate issued under this section specifies the number and State of issuance of the foreign flight engineer license on which it is based. If the holder of the certificate cannot read, speak, or understand the English language, the Administrator may place any limitation on the certificate that he considers necessary for safety.
(b) Medical standards and certification. An applicant must submit evidence that he currently meets the medical standards for the foreign flight engineer license on which the application for a certificate under this section is based. A current medical certificate issued under part 67 of this chapter will be excepted as evidence that the applicant meets those standards. However, a medical certificate issued under part 67 of this chapter is not evidence that the applicant meets those standards outside the United States unless the State that issued the applicant's foreign flight engineer license also accepts that medical certificate as evidence of the applicant's physical fitness for his foreign flight engineer license.
(c) Ratings issued. Aircraft class ratings listed on the applicant's foreign flight engineer license, in addition to any issued to him after testing under the provisions of this part, are placed on the applicant's flight engineer certificate. An applicant without an aircraft class rating on his foreign flight engineer license may be issued a class rating if he shows that he currently meets the requirements for exercising the privileges of his foreign flight engineer license on that class of aircraft.
(d) Privileges and limitations. The holder of a flight engineer certificate issued under this section may act as a flight engineer of a civil aircraft of U.S. registry subject to the limitations of this part and any additional limitations placed on his certificate by the Administrator. He is subject to these limitations while he is acting as a flight engineer of the aircraft within or outside the United States. However, he may not act as flight engineer or in any other capacity as a required flight crewmember, of a civil aircraft of U.S. registry that is carrying persons or property for compensation or hire.
(e) Renewal of certificate and ratings. The holder of a certificate issued under this section may have that certificate and the ratings placed thereon renewed if, at the time of application for renewal, the foreign flight engineer license on which that certificate is based is in effect. Application for the renewal of the certificate and ratings thereon must be made before the expiration of the certificate.
An applicant for approval of a flight engineer course must submit a letter to the Administrator requesting approval, and must also submit three copies of each course outline, a description of the facilities and equipment, and a list of the instructors and their qualifications. An air carrier or commercial operator with an approved flight engineer training course under part 121 of this chapter may apply for approval of a training course under this part by letter without submitting the additional information required by this paragraph. Minimum requirements for obtaining approval of a flight engineer course are set forth in appendix C of this part.
To be eligible for a flight navigator certificate, a person must—
(a) Be at least 21 years of age;
(b) Be able to read, write, speak, and understand the English language;
(c) Hold at least a second-class medical certificate issued under part 67 of this chapter within the 12 months before the date he applies; and
(d) Comply with §§ 63.53, 63.55, and 63.57.
(a) An applicant for a flight navigator certificate must pass a written test on—
(1) The regulations of this chapter that apply to the duties of a flight navigator;
(2) The fundamentals of flight navigation, including flight planning and cruise control;
(3) Practical meteorology, including analysis of weather maps, weather reports, and weather forecasts; and weather sequence abbreviations, symbols, and nomenclature;
(4) The types of air navigation facilities and procedures in general use;
(5) Calibrating and using air navigation instruments;
(6) Navigation by dead reckoning;
(7) Navigation by celestial means;
(8) Navigation by radio aids;
(9) Pilotage and map reading; and
(10) Interpretation of navigation aid identification signals.
(b) A report of the test is mailed to the applicant. Except as provided in paragraph (c) of this section, a passing grade is evidence, for a period of 24 calendar months after the test, that the applicant has complied with this section.
(c) An applicant is eligible to take a practical test for a flight navigator certificate under this part with an expired written test report in accordance with § 61.40 of this chapter.
(a) An applicant for a flight navigator certificate must be a graduate of a flight navigator course approved by the Administrator or present satisfactory documentary evidence of—
(1) Satisfactory determination of his position in flight at least 25 times by night by celestial observations and at least 25 times by day by celestial observations in conjunction with other aids; and
(2) At least 200 hours of satisfactory flight navigation including celestial and radio navigation and dead reckoning.
(b) Flight time used exclusively for practicing long-range navigation methods, with emphasis on celestial navigation and dead reckoning, is considered to be satisfactory navigation experience for the purposes of paragraph (a) of this section. It must be substantiated by a logbook, by records of an armed force or a certificated air carrier, or by a letter signed by a certificated flight navigator and attached to the application.
(a) An applicant for a flight navigator certificate must pass a practical test in navigating aircraft by—
(1) Dead reckoning;
(2) Celestial means; and
(3) Radio aids to navigation.
(b) An applicant must pass the written test prescribed by § 63.53 before taking the test under this section. However, if a delay in taking the test under this section would inconvenience the applicant or an air carrier, he may take it before he receives the result of the written test, or after he has failed the written test.
(c) The test requirements for this section are set forth in appendix A of this part.
(a) An applicant for a flight navigator certificate who fails a written or practical test for that certificate may apply for retesting—
(1) After 30 days after the date he failed that test; or
(2) Before the 30 days have expired if the applicant presents a signed statement from a certificated flight navigator, certificated ground instructor, or any other qualified person approved by the Administrator, certifying that that person has given the applicant additional instruction in each of the subjects failed and that person considers the applicant ready for retesting.
(b) A statement from a certificated flight navigator, or from an operations official of an approved navigator course, is acceptable, for the purposes of paragraph (a)(2) of this section, for the written test and for the flight test. A statement from a person approved by the Administrator is acceptable for the written tests. A statement from a supervising or check navigator with the United States Armed Forces is acceptable for the written test and for the practical test.
(c) If the applicant failed the flight test, the additional instruction must have been administered in flight.
An applicant for approval of a flight navigator course must submit a letter to the Administrator requesting approval, and must also submit three copies of the course outline, a description of his facilities and equipment, and a list of the instructors and their qualifications. Requirements for the course are set forth in appendix B to this part.
(a) Demonstration of skill. An applicant will be required to pass practical tests on the prescribed subjects. These tests may be given by FAA inspectors and designated flight navigator examiners.
(b) The examination. The practical examination consists of a ground test and a flight test as itemized on the examination check sheet. Each item must be completed satisfactorily in order for the applicant to obtain a passing grade. Items 5, 6, 7 of the ground test may be completed orally, and items 17, 22, 23, 34, 36, 37, 38, and 39 of the flight test may be completed by an oral examination when a lack of ground facilities or navigation equipment makes such procedure necessary. In these cases a notation to that effect shall be made in the “Remarks” space on the check sheet.
(c) Examination procedure. (1) An applicant will provide an aircraft in which celestial observations can be taken in all directions. Minimum equipment shall include a table for plotting, a drift meter or absolute altimeter, an instrument for taking visual bearings, and a radio direction finder.
(2) More than one flight may be used to complete the flight test and any type of flight pattern may be used. The test will be conducted chiefly over water whenever practicable, and without regard to radio range legs or radials. If the test is conducted chiefly over land, a chart should be used which shows very little or no topographical and aeronautical data. The total flight time will cover a period of at least four hours. Only one applicant may be examined at one time, and no applicant may perform other than navigator duties during the examination.
(3) When the test is conducted with an aircraft belonging to an air carrier, the navigation procedures should conform with those set forth in the carrier's operations manual. Items of the flight test which are not performed during the routine navigation of the flight will be completed by oral examination after the flight or at times during flight which the applicant indicates may be used for tests on those items. Since in-flight weather conditions, the reliability of the weather forecast, and the stability of the aircraft will have considerable effect on an applicant's performance, good judgment must be used by the agent or examiner in evaluating the tests.
(d) Ground test. For the ground test, in the order of the numbered items on the examination check sheet, an applicant will be required to:
(1) Identify without a star identifier, at least six navigational stars and all planets available for navigation at the time of the examination and explain the method of identification.
(2) Identify two additional stars with a star identifier or sky diagrams and explain identification procedure.
(3) Precompute a time-altitude curve for a period of about 20 minutes and take 10 single observations of a celestial body which is rising or setting rapidly. The intervals between observations should be at least one minute. Mark each observation on the graph to show accuracy. All observations, after corrections, shall plot within 8 minutes of arc from the time-altitude curve, and the average error shall not exceed 5 minutes of arc.
(4) Take and plot one 3-star fix and 3 LOP's of the sun. Plotted fix or an average of LOP's must fall within 5 miles of the actual position of the observer.
(5) Demonstrate or explain the compensation and swinging of a liquid-type magnetic compass.
(6) Demonstrate or explain a method of aligning one type of drift meter.
(7) Demonstrate or explain a method of aligning an astro-compass or periscopic sextant.
(e) Flight test. For the flight test, in the order of the numbered items on the examination check sheet, an applicant will be required to:
(1) Demonstrate his ability to read weather symbols and interpret synoptic surface and upper air weather maps with particular emphasis being placed on winds.
(2) Prepare a flight plan by zones from the forecast winds or pressure data of an upper air chart and the operator's data.
(3) Compute from the operator's data the predicted fuel consumption for each zone of the flight, including the alternate.
(4) Determine the point-of-no-return for the flight with all engines running and the equitime point with one engine inoperative. Graphical methods which are part of the company's operations manual may be used for these computations.
(5) Prepare a cruise control (howgozit) chart from the operator's data.
(6) Enter actual fuel consumed on the cruise control chart and interpret the variations of the actual curve from the predicted curve.
(7) Check the presence on board and operating condition of all navigation equipment. Normally a check list will be used. This check will include a time tick or chronometer comparison. Any lack of thoroughness during this check will justify this item being graded unsatisfactory.
(8) Locate emergency equipment, such as, the nearest fire extinguisher, life preserver, life rafts, exits, axe, first aid kits, etc.
(9) Recite the navigator's duties and stations during emergencies for the type of aircraft used for the test.
(10) Demonstrate the proper use of a flux gate compass or gyrosyn compass (when available), with special emphasis on the caging methods and the location of switches, circuit breakers, and fuses. If these compasses are not part of the aircraft's equipment, an oral examination will be given.
(11) Be accurate and use good judgment when setting and altering headings. Erroneous application of variation, deviation, or drift correction, or incorrect measurement of course on the chart will be graded as unsatisfactory.
(12) Demonstrate or explain the use of characteristics of various chart projections used in long-range air navigation, including the plotting of courses and bearings, and the measuring of distances.
(13) Demonstrate ability to identify designated landmarks by the use of a sectional or WAC chart.
(14) Use a computer with facility and accuracy for the computation of winds, drift correction and drift angles, ground speeds, ETA's, fuel loads, etc.
(15) Determine track, ground speed, and wind by the double drift method. When a drift meter is not part of the aircraft's equipment, an oral examination on the use of the drift meter and a double drift problem shall be completed.
(16) Determine ground speed and wind by the timing method with a drift meter. When a drift meter is not part of the aircraft's equipment, an oral examination on the procedure and a problem shall be completed.
(17) Demonstrate the use of air plot for determining wind between fixes and for plotting pressure lines of position when using pressure and absolute altimeter comparisons.
(18) Give ETA's to well defined check points at least once each hour after the second hour of flight. The average error shall not be more than 5 percent of the intervening time intervals, and the maximum error of any one ETA shall not be more than 10 percent.
(19) Demonstrate knowledge and use of D/F equipment and radio facility information. Grading on this item will be based largely on the applicant's selection of those radio aids which will be of most value to his navigation, the manner with which he uses equipment, including filter box controls, and the precision with which he reads bearings. The aircraft's compass heading and all compass corrections must be considered for each bearing.
(20) Use care in tuning to radio stations to insure maximum reception of signal and check for interference signals. Receiver will be checked to ascertain that antenna and BFO (Voice-CW) switches are in correct positions.
(21) Identify at least three radio stations using International Morse code only for identification. The agent or examiner will tune in these stations so that the applicant will have no knowledge of the direction, distance, or frequency of the stations.
(22) Take at least one radio bearing by manual use of the loop. The agent or examiner will check the applicant's bearing by taking a manual bearing on the same station immediately after the applicant.
(23) Show the use of good judgment in evaluating radio bearings, and explain why certain bearings may be of doubtful value.
(24) Determine and apply correctly the correction required to be made to radio bearings before plotting them on a Mercator chart, and demonstrate the ability to plot bearings accurately on charts of the Mercator and Lambert conformal projections.
(25) Compute the compass heading, ETA, and fuel remaining if it is assumed that the flight would be diverted to an alternate airport at a time specified by the agent or examiner.
(26)-(28) [Reserved]
(29) Demonstrate the ability to properly operate and read an absolute altimeter.
(30) Determine the “D” factors for a series of compared readings of an absolute altimeter and a pressure altimeter.
(31) Determine drift angle or lateral displacement from the true headingline by application of Bellamy's formula or a variation thereof.
(32) Interpret the altimeter comparison data with respect to the pressure system found at flight level. From this data evaluate the accuracy of the prognostic weather map used for flight planning and apply this analysis to the navigation of the flight.
(33) Interpret single LOP's for most probable position, and show how a series of single LOP's of the same body may be used to indicate the probable track and ground speed. Also, show how a series of single LOP's (celestial or radio) from the same celestial body or radio station may be used to determine position when the change of azimuth or bearing is 30° or more between observations.
(34) Select one of the celestial LOP's used during the flight and explain how to make a single line of position approach to a point selected by the agent or examiner, giving headings, times, and ETA's.
(35) Demonstrate the proper use of an astro-compass or periscopic sextant for taking bearings.
(36) Determine compass deviation as soon as possible after reaching cruising altitude and whenever there is a change of compass heading of 15° or more.
(37) Take celestial fixes at hourly intervals when conditions permit. The accuracy of these fixes shall be checked by means of a radio or visual fix whenever practicable. After allowing for the probable error of a radio or visual fix, a celestial fix under favorable conditions should plot within 10 miles of the actual position.
(38) Select celestial bodies for observation, when possible, whose azimuths will differ by approximately 120° for a 3-body fix and will differ by approximately 90° for a 2-body fix. The altitudes of the selected bodies should be between 25° and 75° whenever practicable.
(39) Have POMAR and any other required reports ready for transmission at time of schedule, and be able to inform the pilot in command promptly with regard to the aircraft's position and progress in comparison with the flight plan.
(40) Keep a log with sufficient legible entries to provide a record from which the flight could be retraced.
(41) Note significant weather changes which might influence the drift or ground speed of the aircraft, such as, temperature, “D” factors, frontal conditions, turbulence, etc.
(42) Determine the wind between fixes as a regular practice.
(43) Estimate the time required and average ground speed during a letdown, under conditions specified by the pilot in command.
(44) Work with sufficient speed to determine the aircraft's position hourly by celestial means and also make all other observations and records pertinent to the navigation. The applicant should be able to take the observation, compute, and plot a celestial LOP within a time limit of 8 minutes; observe the absolute and pressure altimeters and compute the drift or lateral displacement within a time limit of 3 minutes.
(45) Be accurate in reading instruments and making computations. Errors which are made and corrected without affecting the navigation will be disregarded unless they cause considerable loss of time.
An uncorrected error in computation (including reading instruments and books) which will affect the reported position more than 25 miles, the heading more than 3°, or any ETA more than 15 minutes will cause this item to be graded unsatisfactory.
(46) Be alert to changing weather or other conditions during flight which might affect the navigation. An applicant should not fail to take celestial observations just prior to encountering a broken or overcast sky condition; and he should not fail to take a bearing on a radio station, which operates at scheduled intervals and which would be a valuable aid to the navigation.
(47) Show a logical choice and sequence in using the various navigation methods according to time and accuracy, and check the positions determined by one method against positions determined by other methods.
(48) Use a logical sequence in performing the various duties of a navigator and plan work according to a schedule. The more important duties should not be neglected for others of less importance.
(a) Training course outline—(1) Format. The ground course outline and the flight course outline shall be combined in one looseleaf binder and shall include a table of contents, divided into two parts—ground course and flight course. Each part of the table of contents must contain a list of the major subjects, together with hours allotted to each subject and the total classroom and flight hours.
(2) Ground course outline. (i) It is not mandatory that a course outline have the subject headings arranged exactly as listed in this paragraph. Any arrangement of general headings and subheadings will be satisfactory provided all the subject material listed here is included and the acceptable minimum number of hours is assigned to each subject. Each general subject shall be broken down into detail showing items to be covered.
(ii) If any agency desires to include additional subjects in the ground training curriculum, such as international law, flight hygiene, or others which are not required, the hours allotted these additional subjects may not be included in the minimum classroom hours.
(iii) The following subjects with classroom hours are considered the minimum coverage for a ground training course for flight navigators:
| Subject | Classroom hours |
|---|---|
| Federal Aviation Administration | 5 |
| To include Parts 63, 91, and 121 of this chapter. | |
| Meteorology | 40 |
| To include: | |
| Basic weather principles. | |
| Temperature. | |
| Pressure. | |
| Winds. | |
| Moisture in the atmosphere. | |
| Stability. | |
| Clouds. | |
| Hazards. | |
| Air masses. | |
| Front weather. | |
| Fog. | |
| Thunderstorms. | |
| Icing. | |
| World weather and climate. | |
| Weather maps and weather reports. | |
| Forecasting. | |
| International Morse code: | |
| Ability to receive code groups of letters and numerals at a speed of eight words per minute | |
| Navigation instruments (exclusive of radio and radar) | 20 |
| To include: | |
| Compasses. | |
| Pressure altimeters. | |
| Airspeed indicators. | |
| Driftmeters. | |
| Bearing indicators. | |
| Aircraft octants. | |
| Instrument calibration and alignment. | |
| Charts and pilotage | 15 |
| To include: | |
| Chart projections. | |
| Chart symbols. | |
| Principles of pilotage. | |
| Dead reckoning | 30 |
| To include: | |
| Air plot. | |
| Ground plot. | |
| Calculation of ETA. | |
| Vector analysis. | |
| Use of computer. | |
| Search. | |
| Absolute altimeter with: | |
| Applications | 15 |
| To include: | |
| Principles of construction. | |
| Operating instructions. | |
| Use of Bellamy's formula. | |
| Flight planning with single drift correction. | |
| Radio and long-range navigational aids | 35 |
| To include: | |
| Principles of radio transmission and reception | |
| Radio aids to navigation | |
| Government publications | |
| Airborne D/F equipment | |
| Errors of radio bearings | |
| Quadrantal correction | |
| Plotting radio bearings | |
| ICAO Q code for direction finding | |
| Celestial navigation | 150 |
| To include: | |
| The solar system. | |
| The celestial sphere. | |
| The astronomical triangle. | |
| Theory of lines of position. | |
| Use of the Air Almanac. | |
| Time and its applications. | |
| Navigation tables. | |
| Precomputation. | |
| Celestial line of position approach. | |
| Star identification. | |
| Corrections to celestial observations. | |
| Flight planning and cruise control | 25 |
| To include: | |
| The flight plan. | |
| Fuel consumption charts. | |
| Methods of cruise control. | |
| Flight progress chart. | |
| Point-of-no-return. | |
| Equitime point. | |
| Long-range flight problems | 15 |
| Total (exclusive of final examinations) | 350 |
(3) Flight course outline. (i) A minimum of 150 hours of supervised flight training shall be given, of which at least 50 hours of flight training must be given at night, and celestial navigation must be used during flights which total at least 125 hours.
(ii) A maximum of 50 hours of the required flight training may be obtained in acceptable types of synthetic flight navigator training devices.
(iii) Flights should be at least four hours in length and should be conducted off civil airways. Some training on long-range flights is desirable, but is not required. There is no limit to the number of students that may be trained on one flight, but at least one astrodrome or one periscopic sextant mounting must be provided for each group of four students.
(iv) Training must be given in dead reckoning, pilotage, radio navigation, celestial navigation, and the use of the absolute altimeter.
(b) Equipment. (1) Classroom equipment shall include one table at least 24″ × 32″ in dimensions for each student.
(2) Aircraft suitable for the flight training must be available to the approved course operator to insure that the flight training may be completed without undue delay.
(c) Instructors. (1) Sufficient classroom instructors must be available to prevent an excessive ratio of students to instructors. Any ratio in excess of 20 to 1 will be considered unsatisfactory.
(2) At least one ground instructor must hold a valid flight navigator certificate, and be utilized to coordinate instruction of ground school subjects.
(3) Each instructor who conducts flight training must hold a valid flight navigator certificate.
(d) Revision of training course. (1) Requests for revisions to course outlines, facilities, and equipment shall follow procedures for original approval of the course. Revisions should be submitted in such form that an entire page or pages of the approved outline can be removed and replaced by the revisions.
(2) The list of instructors may be revised at any time without request for approval, provided the minimum requirement of paragraph (e) of this section is maintained.
(e) Credit for previous training and experience. (1) Credit may be granted by an operator to students for previous training and experience which is provable and comparable to portions of the approved curriculum. When granting such credit, the approved course operator should be fully cognizant of the fact that he is responsible for the proficiency of his graduates in accordance with subdivision (i) of paragraph (3) of this section.
(2) Where advanced credit is allowed, the operator shall evaluate the student's previous training and experience in accordance with the normal practices of accredited technical schools. Before credit is given for any ground school subject or portion thereof, the student must pass an appropriate examination given by the operator. The results of the examination, the basis for credit allowance, and the hours credited shall be incorporated as a part of the student's records.
(3) Credit up to a maximum of 50 hours toward the flight training requirement may be given to pilots who have logged at least 500 hours while a member of a flight crew which required a certificated flight navigator or the Armed Forces equivalent. A similar credit may also be given to a licensed deck officer of the Maritime Service who has served as such for at least one year on ocean-going vessels. One-half of the flight time credited under the terms of this paragraph may be applied toward the 50 hours of flight training required at night.
(f) Students records and reports. Approval of a course shall not be continued in effect unless the course operator keeps an accurate record of each student, including a chronological log of all instruction, subjects covered and course examinations and grades, and unless he prepares and transmits to the responsible Flight Standards office not later than January 31 of each year, a report containing the following information for the previous calendar year:
(1) The names of all students graduated, together with their school grades for ground and flight subjects.
(2) The names of all students failed or dropped, together with their school grades and reasons for dropping.
(g) Quality of instruction. Approval of a course shall not be continued in effect unless at least 80 percent of the students who apply within 90 days after graduation are able to qualify on the first attempt for certification as flight navigators.
(h) Statement of graduation. Each student who successfully completes an approved flight navigator course shall be given a statement of graduation.
(i) Inspections. Approved course operations will be inspected by authorized representatives of the Administrator as often as deemed necessary to insure that instruction is maintained at the required standards, but the period between inspections shall not exceed 12 months.
(j) Change of ownership, name, or location—(1) Change of ownership. Approval of a flight navigator course shall not be continued in effect after the course has changed ownership. The new owner must obtain a new approval by following the procedure prescribed for original approval.
(2) Change in name. An approved course changed in name but not changed in ownership shall remain valid if the change is reported by the approved course operator to the responsible Flight Standards office. A letter of approval under the new name will be issued by the responsible Flight Standards office.
(3) Change in location. An approved course shall remain in effect even though the approved course operator changes location if the change is reported without delay by the operator to the responsible Flight Standards office, which will inspect the facilities to be used. If they are found to be adequate, a letter of approval showing the new location will be issued by the responsible Flight Standards office.
(k) Cancellation of approval. (1) Failure to meet or maintain any of the requirements set forth in this section for the approval or operation of an approved flight navigator course shall be considered sufficient reason for cancellation of the approval.
(2) If an operator should desire voluntary cancellation of his approved course, he should submit the effective letter of approval and a written request for cancellation to the Administrator through the responsible Flight Standards office.
(l) Duration. The authority to operate an approved flight navigator course shall expire 24 months after the last day of the month of issuance.
(m) Renewal. Application for renewal of authority to operate an approved flight navigator course may be made by letter to the responsible Flight Standards office at any time within 60 days before to the expiration date. Renewal of approval will depend upon the course operator meeting the current conditions for approval and having a satisfactory record as an operator.
(a) Training course outline—(1) Format. The ground course outline and the flight course outline are independent. Each must be contained in a looseleaf binder to include a table of contents. If an applicant desires approval of both a ground school course and a flight school course, they must be combined in one looseleaf binder that includes a separate table of contents for each course. Separate course outlines are required for each type of airplane.
(2) Ground course outline. (i) It is not mandatory that the subject headings be arranged exactly as listed in this paragraph. Any arrangement of subjects is satisfactory if all the subject material listed here is included and at least the minimum programmed hours are assigned to each subject. Each general subject must be broken down into detail showing the items to be covered.
(ii) If any course operator desires to include additional subjects in the ground course curriculum, such as international law, flight hygiene, or others that are not required, the hours allotted these additional subjects may not be included in the minimum programmed classroom hours.
(iii) The following subjects and classroom hours are the minimum programmed coverage for the initial approval of a ground training course for flight engineers. Subsequent to initial approval of a ground training course an applicant may apply to the Administrator for a reduction in the programmed hours. Approval of a reduction in the approved programmed hours is based on improved training effectiveness due to improvements in methods, training aids, quality of instruction, or any combination thereof.
| Subject | Classroom hours |
|---|---|
| Federal Aviation Regulations | 10 |
| To include the regulations of this chapter that apply to flight engineers | |
| Theory of Flight and Aerodynamics | 10 |
| Airplane Familiarization | 90 |
| To include as appropriate: | |
| Specifications. | |
| Construction features. | |
| Flight controls. | |
| Hydraulic systems. | |
| Pneumatic systems. | |
| Electrical systems. | |
| Anti-icing and de-icing systems. | |
| Pressurization and air-conditioning systems. | |
| Vacuum systems. | |
| Pilot static systems. | |
| Instrument systems. | |
| Fuel and oil systems. | |
| Emergency equipment. | |
| Engine Familiarization | 45 |
| To include as appropriate: | |
| Specifications. | |
| Construction features. | |
| Lubrication. | |
| Ignition. | |
| Carburetor and induction, supercharging and fuel control systems | |
| Accessories. | |
| Propellers. | |
| Instrumentation. | |
| Emergency equipment. | |
| Normal Operations (Ground and Flight) | 50 |
| To include as appropriate: | |
| Servicing methods and procedures. | |
| Operation of all the airplane systems. | |
| Operation of all the engine systems. | |
| Loading and center of gravity computations. | |
| Cruise control (normal, long range, maximum endurance) | |
| Power and fuel computation. | |
| Meteorology as applicable to engine operation | |
| Emergency Operations | 80 |
| To include as appropriate: | |
| Landing gear, brakes, flaps, speed brakes, and leading edge devices | |
| Pressurization and air-conditioning. | |
| Portable fire extinguishers. | |
| Fuselage fire and smoke control. | |
| Loss of electrical power. | |
| Engine fire control. | |
| Engine shut-down and restart. | |
| Oxygen. | |
| Total (exclusive of final tests) | 235 |
The above subjects, except Theory of Flight and Aerodynamics, and Regulations must apply to the same type of airplane in which the student flight engineer is to receive flight training.
(3) Flight Course Outline. (i) The flight training curriculum must include at least 10 hours of flight instruction in an airplane specified in § 63.37(a). The flight time required for the practical test may not be credited as part of the required flight instruction.
(ii) All of the flight training must be given in the same type airplane.
(iii) As appropriate to the airplane type, the following subjects must be taught in the flight training course:
(iv) If the Administrator finds a simulator or flight engineer training device to accurately reproduce the design, function, and control characteristics, as pertaining to the duties and responsibilities of a flight engineer on the type of airplane to be flown, the flight training time may be reduced by a ratio of 1 hour of flight time to 2 hours of airplane simulator time, or 3 hours of flight engineer training device time, as the case may be, subject to the following limitations:
(a) Except as provided in subdivision (b) of this paragraph, the required flight instruction time in an airplane may not be less than 5 hours.
(b) As to a flight engineer student holding at least a commercial pilot certificate with an instrument rating, airplane simulator or a combination of airplane simulator and flight engineer training device time may be submitted for up to all 10 hours of the required flight instruction time in an airplane. However, not more than 15 hours of flight engineer training device time may be substituted for flight instruction time.
(v) To obtain credit for flight training time, airplane simulator time, or flight engineer training device time, the student must occupy the flight engineer station and operate the controls.
(b) Classroom equipment. Classroom equipment should consist of systems and procedural training devices, satisfactory to the Administrator, that duplicate the operation of the systems of the airplane in which the student is to receive his flight training.
(c) Contracts or agreements. (1) An approved flight engineer course operator may contract with other persons to obtain suitable airplanes, airplane simulators, or other training devices or equipment.
(2) An operator who is approved to conduct both the flight engineer ground course and the flight engineer flight course may contract with others to conduct one course or the other in its entirety but may not contract with others to conduct both courses for the same airplane type.
(3) An operator who has approval to conduct a flight engineer ground course or flight course for a type of airplane, but not both courses, may not contract with another person to conduct that course in whole or in part.
(4) An operator who contracts with another to conduct a flight engineer course may not authorize or permit the course to be conducted in whole or in part by a third person.
(5) In all cases, the course operator who is approved to operate the course is responsible for the nature and quality of the instruction given.
(6) A copy of each contract authorized under this paragraph must be attached to each of the 3 copies of the course outline submitted for approval.
(d) Instructors. (1) Only certificated flight engineers may give the flight instruction required by this appendix in an airplane, simulator, or flight engineer training device.
(2) There must be a sufficient number of qualified instructors available to prevent an excess ratio of students to instructors.
(e) Revisions. (1) Requests for revisions of the course outlines, facilities or equipment must follow the procedures for original approval of the course. Revisions must be submitted in such form that an entire page or pages of the approved outline can be removed and replaced by the revisions.
(2) The list of instructors may be revised at any time without request for approval, if the requirements of paragraph (d) of this appendix are maintained.
(f) Ground school credits. (1) Credit may be granted a student in the ground school course by the course operator for comparable previous training or experience that the student can show by written evidence: however, the course operator must still meet the quality of instruction as described in paragraph (h) of this appendix.
(2) Before credit for previous training or experience may be given, the student must pass a test given by the course operator on the subject for which the credit is to be given. The course operator shall incorporate results of the test, the basis for credit allowance, and the hours credited as part of the student's records.
(g) Records and reports. (1) The course operator must maintain, for at least two years after a student graduates, fails, or drops from a course, a record of the student's training, including a chronological log of the subject course, attendance examinations, and grades.
(2) Except as provided in paragraph (3) of this section, the course operator must submit to the Administrator, not later than January 31 of each year, a report for the previous calendar year's training, to include:
(i) Name, enrollment and graduation date of each student;
(ii) Ground school hours and grades of each student;
(iii) Flight, airplane simulator, flight engineer training device hours, and grades of each student; and
(iv) Names of students failed or dropped, together with their school grades and reasons for dropping.
(3) Upon request, the Administrator may waive the reporting requirements of paragraph (2) of this section for an approved flight engineer course that is part of an approved training course under subpart N of part 121 of this chapter.
(h) Quality of instruction. (1) Approval of a ground course is discontinued whenever less than 80 percent of the students pass the FAA written test on the first attempt.
(2) Approval of a flight course is discontinued whenever less than 80 percent of the students pass the FAA practical test on the first attempt.
(3) Notwithstanding paragraphs (1) and (2) of this section, approval of a ground or flight course may be continued when the Administrator finds—
(i) That the failure rate was based on less than a representative number of students; or
(ii) That the course operator has taken satisfactory means to improve the effectiveness of the training.
(i) Time limitation. Each student must apply for the written test and the flight test within 90 days after completing the ground school course.
(j) Statement of course completion. (1) The course operator shall give to each student who successfully completes an approved flight engineer ground school training course, and passes the FAA written test, a statement of successful completion of the course that indicates the date of training, the type of airplane on which the ground course training was based, and the number of hours received in the ground school course.
(2) The course operator shall give each student who successfully completes an approved flight engineer flight course, and passed the FAA practical test, a statement of successful completion of the flight course that indicates the dates of the training, the type of airplane used in the flight course, and the number of hours received in the flight course.
(3) A course operator who is approved to conduct both the ground course and the flight course may include both courses in a single statement of course completion if the provisions of paragraphs (1) and (2) of this section are included.
(4) The requirements of this paragraph do not apply to an air carrier or commercial operator with an approved training course under part 121 of this chapter providing the student receives a flight engineer certificate upon completion of that course.
(k) Inspections. Each course operator shall allow the Administrator at any time or place, to make any inspection necessary to ensure that the quality and effectiveness of the instruction are maintained at the required standards.
(l) Change of ownership, name, or location. (1) Approval of a flight engineer ground course or flight course is discontinued if the ownership of the course changes. The new owner must obtain a new approval by following the procedure prescribed for original approval.
(2) Approval of a flight engineer ground course or flight course does not terminate upon a change in the name of the course that is reported to the Administrator within 30 days. The Administrator issues a new letter of approval, using the new name, upon receipt of notice within that time.
(3) Approval of a flight engineer ground course or flight course does not terminate upon a change in location of the course that is reported to the Administrator within 30 days. The Administrator issues a new letter of approval, showing the new location, upon receipt of notice within that time, if he finds the new facilities to be adequate.
(m) Cancellation of approval. (1) Failure to meet or maintain any of the requirements of this appendix for the approval of a flight engineer ground course or flight course is reason for cancellation of the approval.
(2) If a course operator desires to voluntarily terminate the course, he should notify the Administrator in writing and return the last letter of approval.
(n) Duration. Except for a course operated as part of an approved training course under subpart N of part 121 of this chapter, the approval to operate a flight engineer ground course or flight course terminates 24 months after the last day of the month of issue.
(o) Renewal. (1) Renewal of approval to operate a flight engineer ground course or flight course is conditioned upon the course operator's meeting the requirements of this appendix.
(2) Application for renewal may be made to the Administrator at any time after 60 days before the termination date.
(p) Course operator approvals. An applicant for approval of a flight engineer ground course, or flight course, or both, must meet all of the requirements of this appendix concerning application, approval, and continuing approval of that course or courses.
(q) Practical test eligibility. An applicant for a flight engineer certificate and class rating under the provisions of § 63.37(b)(6) is not eligible to take the practical test unless he has successfully completed an approved flight engineer ground school course in the same type of airplane for which he has completed an approved flight engineer flight course.
1. To whom does this SFAR apply? This Special Federal Aviation Regulation (SFAR) applies to you if you are an air traffic control specialist (ATCS) employed by the FAA in flight service stations, enroute facilities, terminal facilities, or at the David J. Hurley Air Traffic Control System Command Center who wishes to obtain a waiver of the mandatory separation age as provided by 5 U.S.C. section 8335(a).
2. When must I file for a waiver? No earlier than the beginning of the twelfth month before, but no later than the beginning of the sixth month before, the month in which you turn 56, your official chain-of-command must receive your written request asking for a waiver of mandatory separation.
3. What if I do not file a request before six months before the month in which I turn 56? If your official chain-of-command does not receive your written request for a waiver of mandatory separation before the beginning of the sixth month before the month in which you turn 56, your request will be denied.
4. How will the FAA determine if my request meets the filing time requirements of this SFAR?
a. We consider your request to be filed in a timely manner under this SFAR if your official chain-of-command receives it or it is postmarked:
i. After 12 a.m. on the first day of the twelfth month before the month in which you turn 56; and
ii. Before 12 a.m. of the first day of the sixth month before the month in which you turn 56.
b. If you file your request by mail and the postmark is not legible, we will consider it to comply with paragraph a.2 of this section if we receive it by 12 p.m. of the fifth day of the sixth month before the month in which you turn 56.
c. If the last day of the time period specified in paragraph a.2 or paragraph b falls on a Saturday, Sunday, or Federal holiday, we will consider the time period to end at 12 p.m. of the next business day.
5. Where must I file my request for waiver and what must it include?
a. You must file your request for waiver of mandatory separation in writing with the Air Traffic Manager in flight service stations, enroute facilities, terminal facilities, or the David J. Hurley Air Traffic Control System Command Center in which you are employed.
b. Your request for waiver must include all of the following:
i. Your name.
ii. Your current facility.
iii. Your starting date at the facility.
iv. A list of positions at the facility that you are certified in and how many hours it took to achieve certification at the facility.
v. Your area of specialty at the facility.
vi. Your shift schedule.
vii. [Reserved]
viii. A list of all facilities where you have worked as a certified professional controller (CPC) including facility level and dates at each facility;
ix. Evidence of your exceptional skills and experience as a controller; and
x. Your signature.
6. How will my waiver request be reviewed?
a. Upon receipt of your request for waiver, the Air Traffic Manager of your facility will make a written recommendation that the Administrator either approve or deny your request. If the manager recommends approval of your request, he or she will certify in writing the accuracy of the information you provided as evidence of your exceptional skills and experience as a controller.
b. The Air Traffic Manager will then forward the written recommendation with a copy of your request to the senior executive manager in the Air Traffic Manager's regional chain-of-command.
c. The senior executive manager in the regional chain-of-command will make a written recommendation that the Administrator either approve or deny your request. If the senior executive manager recommends approval of your request, he or she will certify in writing the accuracy of the information you have provided as evidence of exceptional skills and experience.
d. The senior executive manager in the regional chain-of-command will then forward his or her recommendation with a copy of your request to the appropriate Vice President at FAA Headquarters. Depending on the facility in which you are employed, the request will be forwarded to either the Vice President for Flight Services, the Vice President for Enroute and Oceanic Services, the Vice President for Terminal Services or the Vice President for Systems Operations. For example, if you work at a flight service station at the time that you request a waiver, the request will be forwarded to the Vice President for Flight Services.
e. The appropriate Vice President will review your request and make a written recommendation that the Administrator either approve or deny your request, which will be forwarded to the Administrator.
f. The Administrator will issue the final decision on your request.
7. If I am granted a waiver, when will it expire?
a. Waivers will be granted for a period of one year.
b. No later than 90-days prior to expiration of a waiver, you may request that the waiver be extended using the same process identified in section 6.
c. If you timely request an extension of the waiver and it is denied, you will receive a 60-day advance notice of your separation date simultaneously with notification of the denial.
d. If you do not request an extension of the waiver granted, you will receive a 60-day advance notice of your separation date.
e. Action to separate you from your covered position becomes effective on the last day of the month in which the 60-day notice expires.
8. Under what circumstances may my waiver be terminated?
a. The FAA/DOT may terminate your waiver under the following circumstances:
i. The needs of the FAA; or
ii. If you are identified as a primary contributor to an operational error/deviation or runway incursion.
b. If the waiver is terminated for either of the reasons identified in paragraph 1 of this section, the air traffic control specialist will receive a 60-day advance notice.
c. Action to separate you from your covered position becomes effective on the last day of the month in which the 60-day notice expires.
9. Appeal of denial or termination of waiver request: The denial or termination of a waiver of mandatory separation request is neither appealable nor grievable.
This part prescribes the requirements for issuing the following certificates and associated ratings and the general operating rules for the holders of those certificates and ratings:
(a) Air-traffic control-tower operators.
(b) Aircraft dispatchers.
(c) Mechanics.
(d) Repairmen.
(e) Parachute riggers.
A person who is neither a U.S. citizen nor a resident alien is issued a certificate under subpart D of this part, outside the United States, only when the Administrator finds that the certificate is needed for the operation or continued airworthiness of a U.S.-registered civil aircraft.
(a) Application for a certificate and appropriate class rating, or for an additional rating, under this part must be made on a form and in a manner prescribed by the Administrator. Each person who applies for airmen certification services to be administered outside the United States or for any certificate or rating issued under this part must show evidence that the fee prescribed in appendix A of part 187 of this chapter has been paid.
(b) Except for FAA Credential holders with tower ratings, an applicant who meets the requirements of this part is entitled to an appropriate certificate and rating.
(c) Unless authorized by the Administrator, a person whose air traffic control tower operator, mechanic, or parachute rigger certificate is suspended may not apply for any rating to be added to that certificate during the period of suspension.
(d) Unless the order of revocation provides otherwise—
(1) A person whose air traffic control tower operator, aircraft dispatcher, or parachute rigger certificate is revoked may not apply for the same kind of certificate for 1 year after the date of revocation; and
(2) A person whose mechanic or repairman certificate is revoked may not apply for either of those kinds of certificates for 1 year after the date of revocation.
(a) A conviction for the violation of any Federal or state statute relating to the growing, processing, manufacture, sale, disposition, possession, transportation, or importation of narcotic drugs, marihuana, or depressant or stimulant drugs or substances is grounds for—
(1) Denial of an application for any certificate or rating issued under this part for a period of up to 1 year after the date of final conviction; or
(2) Suspension or revocation of any certificate or rating issued under this part.
(b) The commission of an act prohibited by § 91.19(a) of this chapter is grounds for—
(1) Denial of an application for a certificate or rating issued under this part for a period of up to 1 year after the date of that act; or
(2) Suspension or revocation of any certificate or rating issued under this part.
A certificate and ratings effective for a period of not more than 120 days may be issued to a qualified applicant, pending review of his application and supplementary documents and the issue of the certificate and ratings for which he applied.
(a) Except for repairman certificates issued in accordance with § 65.101, a certificate or rating issued under this part is effective until it is surrendered, suspended, or revoked.
(b) Unless it is sooner surrendered, suspended, or revoked, a repairman certificate issued in accordance with § 65.101 is effective until the holder is relieved from the duties for which the holder was employed and certificated.
(c) The holder of a certificate issued under this part that is suspended, revoked, or no longer effective shall return it to the Administrator.
(d) Except for temporary certificates issued under § 65.13, the holder of a paper certificate issued under this part may not exercise the privileges of that certificate.
(a) An application for a change of name on a certificate issued under this part must be accompanied by the applicant's current certificate and the marriage license, court order, or other document verifying the change. The documents are returned to the applicant after inspection.
(b) An application for a replacement of a lost or destroyed certificate is made by letter to the Department of Transportation, Federal Aviation Administration, Airman Certification Branch, Post Office Box 25082, Oklahoma City, OK 73125. The letter must—
(1) Contain the name in which the certificate was issued, the permanent mailing address (including zip code), social security number (if any), and date and place of birth of the certificate holder, and any available information regarding the grade, number, and date of issue of the certificate, and the ratings on it; and
(2) Be accompanied by a check or money order for $2, payable to the Federal Aviation Administration.
(c) An application for a replacement of a lost or destroyed medical certificate is made by letter to the Department of Transportation, Federal Aviation Administration, Aerospace Medical Certification Division, Post Office Box 26200, Oklahoma City, OK 73125, accompanied by a check or money order for $2.00.
(d) A person whose certificate issued under this part or medical certificate, or both, has been lost may obtain a telegram from the FAA confirming that it was issued. The telegram may be carried as a certificate for a period not to exceed 60 days pending his receiving a duplicate certificate under paragraph (b) or (c) of this section, unless he has been notified that the certificate has been suspended or revoked. The request for such a telegram may be made by prepaid telegram, stating the date upon which a duplicate certificate was requested, or including the request for a duplicate and a money order for the necessary amount. The request for a telegraphic certificate should be sent to the office prescribed in paragraph (b) or (c) of this section, as appropriate. However, a request for both at the same time should be sent to the office prescribed in paragraph (b) of this section.
(a) Tests prescribed by or under this part are given at times and places, and by persons, designated by the Administrator.
(b) The minimum passing grade for each test is 70 percent.
(a) Except as authorized by the Administrator, no person may—
(1) Copy, or intentionally remove, a written test under this part;
(2) Give to another, or receive from another, any part or copy of that test;
(3) Give help on that test to, or receive help on that test from, any person during the period that test is being given;
(4) Take any part of that test in behalf of another person;
(5) Use any material or aid during the period that test is being given; or
(6) Intentionally cause, assist, or participate in any act prohibited by this paragraph.
(b) No person who commits an act prohibited by paragraph (a) of this section is eligible for any airman or ground instructor certificate or rating under this chapter for a period of 1 year after the date of that act. In addition, the commission of that act is a basis for suspending or revoking any airman or ground instructor certificate or rating held by that person.
An applicant for a written, oral, or practical test for a certificate and rating, or for an additional rating under this part, may apply for retesting—
(a) After 30 days after the date the applicant failed the test; or
(b) Before the 30 days have expired if the applicant presents a signed statement from an airman holding the certificate and rating sought by the applicant, certifying that the airman has given the applicant additional instruction in each of the subjects failed and that the airman considers the applicant ready for retesting.
Within 30 days after any change in his permanent mailing address, the holder of a certificate issued under this part shall notify the Department of Transportation, Federal Aviation Administration, Airman Certification Branch, Post Office Box 25082, Oklahoma City, OK 73125, in writing, of his new address.
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. This material is available for inspection at the Federal Aviation Administration (FAA) and at the National Archives and Records Administration (NARA). Contact FAA, Training and Certification Group, 202-267-1100, ACSPTSinquiries@faa.gov. For information on the availability of this material at NARA, email fr.inspection@nara.gov, or go to www.archives.gov/federal-register/cfr/ibr-locations. The material may be obtained from the source in the following paragraph of this section.
(a) Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591, 866-835-5322, www.faa.gov/training_testing.
(1) FAA-S-8081-10E, Aircraft Dispatcher Practical Test Standards, November 2023; IBR approved for § 65.59.
(2) FAA-S-8081-25C, Parachute Rigger Practical Test Standards, November 2023; IBR approved for §§ 65.115, 65.119, and 65.123.
(3) FAA-S-ACS-1, Aviation Mechanic General, Airframe, and Powerplant Airman Certification Standards, November 1, 2021; IBR approved for §§ 65.75, 65.79, and 65.107.
(b) [Reserved]
No person may act as an air traffic control tower operator at an air traffic control tower in connection with civil aircraft unless he or she—
(a) Holds an FAA Credential with a tower rating or an air traffic control tower operator certificate issued under this subpart;
(b) Holds a facility rating for that control tower issued under this subpart, or has qualified for the operating position at which he or she acts and is under the supervision of the holder of a facility rating for that control tower; and
(c) Except for a person employed by the FAA or employed by, or on active duty with, the Department of the Air Force, Army, or Navy or the Coast Guard, holds at least a second-class medical certificate issued under part 67 of this chapter.
To be eligible for an air traffic control tower operator certificate a person must—
(a) Be at least 18 years of age;
(b) Be of good moral character;
(c) Be able to read, write, and understand the English language and speak it without accent or impediment of speech that would interfere with two-way radio conversation;
(d) Except for a person employed by the FAA or employed by, or on active duty with, the Department of the Air Force, Army, or Navy or the Coast Guard, hold at least a second-class medical certificate issued under part 67 of this chapter within the 12 months before the date application is made; and
(e) Comply with § 65.35.
Each applicant for an air traffic control tower operator certificate must pass a written test on—
(a) The flight rules in part 91 of this chapter:
(b) Airport traffic control procedures, and this subpart:
(c) En route traffic control procedures;
(d) Communications operating procedures;
(e) Flight assistance service;
(f) Air navigation, and aids to air navigation; and
(g) Aviation weather.
No person may act as an air traffic control tower operator at any operating position unless he has passed a practical test on—
(a) Control tower equipment and its use;
(b) Weather reporting procedures and use of reports;
(c) Notices to Airmen, and use of the Airman's Information Manual;
(d) Use of operational forms;
(e) Performance of noncontrol operational duties; and
(f) Each of the following procedures that is applicable to that operating position and is required by the person performing the examination:
(1) The airport, including rules, equipment, runways, taxiways, and obstructions.
(2) The terrain features, visual checkpoints, and obstructions within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for the airport.
(3) Traffic patterns and associated procedures for use of preferential runways and noise abatement.
(4) Operational agreements.
(5) The center, alternate airports, and those airways, routes, reporting points, and air navigation aids used for terminal air traffic control.
(6) Search and rescue procedures.
(7) Terminal air traffic control procedures and phraseology.
(8) Holding procedures, prescribed instrument approach, and departure procedures.
(9) Radar alignment and technical operation.
(10) The application of the prescribed radar and nonradar separation standard, as appropriate.
Each applicant for a facility rating at any air traffic control tower must have satisfactorily served—
(a) As an air traffic control tower operator at that control tower without a facility rating for at least 6 months; or
(b) As an air traffic control tower operator with a facility rating at a different control tower for at least 6 months before the date he applies for the rating.
Each applicant for a facility rating at an air traffic control tower must have passed a practical test on each item listed in § 65.37 of this part that is applicable to each operating position at the control tower at which the rating is sought.
(a) An air traffic control tower operator shall perform his duties in accordance with the limitations on his certificate and the procedures and practices prescribed in air traffic control manuals of the FAA, to provide for the safe, orderly, and expeditious flow of air traffic.
(b) An operator with a facility rating may control traffic at any operating position at the control tower at which he holds a facility rating. However, he may not issue an air traffic clearance for IFR flight without authorization from the appropriate facility exercising IFR control at that location.
(c) An operator who does not hold a facility rating for a particular control tower may act at each operating position for which he has qualified, under the supervision of an operator holding a facility rating for that control tower.
Except in an emergency, a certificated air traffic control tower operator must be relieved of all duties for at least 24 consecutive hours at least once during each 7 consecutive days. Such an operator may not serve or be required to serve—
(a) For more than 10 consecutive hours; or
(b) For more than 10 hours during a period of 24 consecutive hours, unless he has had a rest period of at least 8 hours at or before the end of the 10 hours of duty.
(a) Except for a person employed by the FAA or employed by, or on active duty with, the Department of the Air Force, Army, or Navy, or the Coast Guard, no person may act as an air traffic control tower operator under a certificate issued to him or her under this part unless he or she has in his or her personal possession an appropriate current medical certificate issued under part 67 of this chapter.
(b) Each person holding an air traffic control tower operator certificate shall keep it readily available when performing duties in an air traffic control tower, and shall present that certificate or his medical certificate or both for inspection upon the request of the Administrator or an authorized representative of the National Transportation Safety Board, or of any Federal, State, or local law enforcement officer.
(c) A certificated air traffic control tower operator who does not hold a facility rating for a particular control tower may not act at any operating position at the control tower concerned unless there is maintained at that control tower, readily available to persons named in paragraph (b) of this section, a current record of the operating positions at which he has qualified.
(d) An air traffic control tower operator may not perform duties under his certificate during any period of known physical deficiency that would make him unable to meet the physical requirements for his current medical certificate. However, if the deficiency is temporary, he may perform duties that are not affected by it whenever another certificated and qualified operator is present and on duty.
(e) A certificated air traffic control tower operator may not control air traffic with equipment that the Administrator has found to be inadequate.
(f) The holder of an air traffic control tower operator certificate, or an applicant for one, shall, upon the reasonable request of the Administrator, cooperate fully in any test that is made of him.
The holder of an air traffic control tower operator certificate may not perform any duties under that certificate unless—
(a) He has served for at least three of the preceding 6 months as an air traffic control tower operator at the control tower to which his facility rating applies, or at the operating positions for which he has qualified; or
(b) He has shown that he meets the requirements for his certificate and facility rating at the control tower concerned, or for operating at positions for which he has previously qualified.
(a) No person may act as an aircraft dispatcher (exercising responsibility with the pilot in command in the operational control of a flight) in connection with any civil aircraft in air commerce unless that person has in his or her personal possession an aircraft dispatcher certificate issued under this subpart.
(b) Each person who holds an aircraft dispatcher certificate must present it for inspection upon the request of the Administrator or an authorized representative of the National Transportation Safety Board, or of any Federal, State, or local law enforcement officer.
(a) To be eligible to take the aircraft dispatcher knowledge test, a person must be at least 21 years of age.
(b) To be eligible for an aircraft dispatcher certificate, a person must—
(1) Be at least 23 years of age;
(2) Be able to read, speak, write, and understand the English language;
(3) Pass the required knowledge test prescribed by § 65.55 of this part;
(4) Pass the required practical test prescribed by § 65.59 of this part; and
(5) Comply with the requirements of § 65.57 of this part.
(a) A person who applies for an aircraft dispatcher certificate must pass a knowledge test on the following aeronautical knowledge areas:
(1) Applicable Federal Aviation Regulations of this chapter that relate to airline transport pilot privileges, limitations, and flight operations;
(2) Meteorology, including knowledge of and effects of fronts, frontal characteristics, cloud formations, icing, and upper-air data;
(3) General system of weather and NOTAM collection, dissemination, interpretation, and use;
(4) Interpretation and use of weather charts, maps, forecasts, sequence reports, abbreviations, and symbols;
(5) National Weather Service functions as they pertain to operations in the National Airspace System;
(6) Windshear and microburst awareness, identification, and avoidance;
(7) Principles of air navigation under instrument meteorological conditions in the National Airspace System;
(8) Air traffic control procedures and pilot responsibilities as they relate to enroute operations, terminal area and radar operations, and instrument departure and approach procedures;
(9) Aircraft loading, weight and balance, use of charts, graphs, tables, formulas, and computations, and their effect on aircraft performance;
(10) Aerodynamics relating to an aircraft's flight characteristics and performance in normal and abnormal flight regimes;
(11) Human factors;
(12) Aeronautical decision making and judgment; and
(13) Crew resource management, including crew communication and coordination.
(b) Except as provided in paragraph (c) of this section, the applicant must present documentary evidence satisfactory to the Administrator of having passed an aircraft dispatcher knowledge test within the preceding 24 calendar months.
(c) An applicant is eligible to take a practical test for an aircraft dispatcher certificate under this part with an expired written test report in accordance with § 61.40 of this chapter.
An applicant for an aircraft dispatcher certificate must present documentary evidence satisfactory to the Administrator that he or she has the experience prescribed in paragraph (a) of this section or has accomplished the training described in paragraph (b) of this section as follows:
(a) A total of at least 2 years experience in the 3 years before the date of application, in any one or in any combination of the following areas:
(1) In military aircraft operations as a—
(i) Pilot;
(ii) Flight navigator; or
(iii) Meteorologist.
(2) In aircraft operations conducted under part 121 of this chapter as—
(i) An assistant in dispatching air carrier aircraft, under the direct supervision of a dispatcher certificated under this subpart;
(ii) A pilot;
(iii) A flight engineer; or
(iv) A meteorologist.
(3) In aircraft operations as—
(i) An Air Traffic Controller; or
(ii) A Flight Service Specialist.
(4) In aircraft operations, performing other duties that the Administrator finds provide equivalent experience.
(b) A statement of graduation issued or revalidated in accordance with § 65.70(b) of this part, showing that the person has successfully completed an approved aircraft dispatcher course.
An applicant for an aircraft dispatcher certificate must pass a practical test given by the Administrator, with respect to any one type of large aircraft used in air carrier operations. To pass the practical test for an aircraft dispatcher certificate, the applicant must satisfactorily demonstrate the objectives in the areas of operation specified in the Aircraft Dispatcher Practical Test Standards (incorporated by reference, see § 65.23).
(a) An approved aircraft dispatcher certification course must:
(1) Provide instruction in the areas of knowledge and topics listed in appendix A of this part;
(2) Include a minimum of 200 hours of instruction.
(b) An applicant for approval of an aircraft dispatcher course must submit an outline that describes the major topics and subtopics to be covered and the number of hours proposed for each.
(c) Additional subject headings for an aircraft dispatcher certification course may also be included, however the hours proposed for any subjects not listed in appendix A of this part must be in addition to the minimum 200 course hours required in paragraph (a) of this section.
(d) For the purpose of completing an approved course, a student may substitute previous experience or training for a portion of the minimum 200 hours of training. The course operator determines the number of hours of credit based on an evaluation of the experience or training to determine if it is comparable to portions of the approved course curriculum. The credit allowed, including the total hours and the basis for it, must be placed in the student's record required by § 65.70(a) of this part.
(a) Application. Application for original approval of an aircraft dispatcher certification course or the renewal of approval of an aircraft dispatcher certification course under this part must be:
(1) Made in writing to the Administrator;
(2) Accompanied by two copies of the course outline required under § 65.61(b) of this part, for which approval is sought;
(3) Accompanied by a description of the equipment and facilities to be used; and
(4) Accompanied by a list of the instructors and their qualifications.
(b) Duration. Unless withdrawn or canceled, an approval of an aircraft dispatcher certification course of study expires:
(1) On the last day of the 24th month from the month the approval was issued; or
(2) Except as provided in paragraph (f) of this section, on the date that any change in ownership of the school occurs.
(c) Renewal. Application for renewal of an approved aircraft dispatcher certification course must be made within 30 days preceding the month the approval expires, provided the course operator meets the following requirements:
(1) At least 80 percent of the graduates from that aircraft dispatcher certification course, who applied for the practical test required by § 65.59 of this part, passed the practical test on their first attempt; and
(2) The aircraft dispatcher certification course continues to meet the requirements of this subpart for course approval.
(d) Course revisions. Requests for approval of a revision of the course outline, facilities, or equipment must be in accordance with paragraph (a) of this section. Proposed revisions of the course outline or the description of facilities and equipment must be submitted in a format that will allow an entire page or pages of the approved outline or description to be removed and replaced by any approved revision. The list of instructors may be revised at any time without request for approval, provided the minimum requirements of § 65.67 of this part are maintained and the Administrator is notified in writing.
(e) Withdrawal or cancellation of approval. Failure to continue to meet the requirements of this subpart for the approval or operation of an approved aircraft dispatcher certification course is grounds for withdrawal of approval of the course. A course operator may request cancellation of course approval by a letter to the Administrator. The operator must forward any records to the FAA as requested by the Administrator.
(f) Change in ownership. A change in ownership of a part 65, appendix A-approved course does not terminate that aircraft dispatcher certification course approval if, within 10 days after the date that any change in ownership of the school occurs:
(1) Application is made for an appropriate amendment to the approval; and
(2) No change in the facilities, personnel, or approved aircraft dispatcher certification course is involved.
(g) Change in name or location. A change in name or location of an approved aircraft dispatcher certification course does not invalidate the approval if, within 10 days after the date that any change in name or location occurs, the course operator of the part 65, appendix A-approved course notifies the Administrator, in writing, of the change.
An applicant for approval of authority to operate an aircraft dispatcher course of study must have facilities, equipment, and materials adequate to provide each student the theoretical and practical aspects of aircraft dispatching. Each room, training booth, or other space used for instructional purposes must be temperature controlled, lighted, and ventilated to conform to local building, sanitation, and health codes. In addition, the training facility must be so located that the students in that facility are not distracted by the instruction conducted in other rooms.
(a) Each applicant for an aircraft dispatcher certification course must meet the following personnel requirements:
(1) Each applicant must have adequate personnel, including one instructor who holds an aircraft dispatcher certificate and is available to coordinate all training course instruction.
(2) Each applicant must not exceed a ratio of 25 students for one instructor.
(b) The instructor who teaches the practical dispatch applications area of the appendix A course must hold an aircraft dispatchers certificate
(a) The operator of an aircraft dispatcher course must maintain a record for each student, including a chronological log of all instructors, subjects covered, and course examinations and results. The record must be retained for at least 3 years after graduation. The course operator also must prepare, for its records, and transmit to the Administrator not later than January 31 of each year, a report containing the following information for the previous year:
(1) The names of all students who graduated, together with the results of their aircraft dispatcher certification courses.
(2) The names of all the students who failed or withdrew, together with the results of their aircraft dispatcher certification courses or the reasons for their withdrawal.
(b) Each student who successfully completes the approved aircraft dispatcher certification course must be given a written statement of graduation, which is valid for 90 days. After 90 days, the course operator may revalidate the graduation certificate for an additional 90 days if the course operator determines that the student remains proficient in the subject areas listed in appendix A of this part.
(a) To be eligible for a mechanic certificate and associated ratings, a person must—
(1) Be at least 18 years of age;
(2) Be able to read, write, speak, and understand the English language, or in the case of an applicant who does not meet this requirement and who is employed outside of the United States by a U.S. air carrier, have his certificate endorsed “Valid only outside the United States”;
(3) Have passed all of the prescribed tests within a period of 24 months; and
(4) Comply with the sections of this subpart that apply to the rating the applicant seeks.
(b) A certificated mechanic who applies for an additional rating must meet the requirements of § 65.77 and, within a period of 24 calendar months, pass the tests prescribed by §§ 65.75 and 65.79 for the additional rating sought, except as provided in § 65.75(d).
(a) The following ratings are issued under this subpart:
(1) Airframe.
(2) Powerplant.
(b) A mechanic certificate with an aircraft or aircraft engine rating, or both, that was issued before, and was valid on, June 15, 1952, is equal to a mechanic certificate with an airframe or powerplant rating, or both, as the case may be, and may be exchanged for such a corresponding certificate and rating or ratings.
(a) Except as specified in paragraph (c) of this section, each applicant for a mechanic certificate or rating must, after meeting the applicable experience requirements of § 65.77, pass a written test, appropriate to the rating sought, which includes the aeronautical knowledge subject areas contained in the Aviation Mechanic General, Airframe, and Powerplant Airman Certification Standards (incorporated by reference, see § 65.23), as appropriate to the rating sought.
(b) The applicant must pass each section of the test before applying for the oral and practical tests prescribed by § 65.79. A report of the written test is sent to the applicant.
(c) An applicant for a mechanic certificate or rating may take the mechanic general written test prior to meeting the applicable experience requirements of § 65.77, provided the applicant presents an authenticated document from a certificated aviation maintenance technician school that demonstrates satisfactory completion of the general portion of the school's curriculum and specifies the completion date.
(d) An applicant is eligible to take a practical test for a mechanic certificate or rating under this part with an expired written test report in accordance with § 61.40 of this chapter.
Each applicant for a mechanic certificate or rating must present either—
(a) An authenticated document from a certificated aviation maintenance technician school in accordance with § 147.21 of this chapter; or
(b) Documentary evidence, satisfactory to the Administrator, of—
(1) At least 18 months of practical experience with the procedures, practices, materials, tools, machine tools, and equipment generally used in constructing, maintaining, or altering airframes or powerplants, appropriate to the rating sought; or
(2) At least 30 months of practical experience concurrently performing the duties appropriate to both the airframe and powerplant ratings.
Each applicant for a mechanic certificate or rating must pass an oral test and a practical test, as appropriate to the rating sought, by demonstrating satisfactory understanding of the knowledge, risk management, and skill elements for each subject contained in the Aviation Mechanic General, Airframe, and Powerplant Airmen Certification Standards (incorporated by reference, see § 65.23), as appropriate to the rating sought.
Whenever an aviation maintenance technician school certificated under part 147 of this chapter shows to the Administrator that any of its students has made satisfactory progress at the school and is prepared to take the oral and practical tests prescribed by § 65.79, that student may take those tests during the final subjects of the student's training in the curriculum required under part 147, before the student meets the applicable experience requirements of § 65.77 and before the student passes each section of the written test prescribed by § 65.75.
(a) A certificated mechanic may perform or supervise the maintenance, preventive maintenance or alteration of an aircraft or appliance, or a part thereof, for which that person is rated (but excluding major repairs to, and major alterations of, propellers, and any repair to, or alteration of, instruments), and may perform additional duties in accordance with §§ 65.85, 65.87, and 65.95. However, a certificated mechanic may not supervise the maintenance, preventive maintenance, or alteration of, or approve for return to service, any aircraft or appliance, or part thereof, for which that person is rated unless that person has satisfactorily performed the work concerned at an earlier date. If that person has not so performed that work at an earlier date, that person may show the ability to do it by performing it to the satisfaction of the Administrator or under the direct supervision of a certificated and appropriately rated mechanic, or a certificated repairman, who has had previous experience in the specific operation concerned.
(b) A certificated mechanic may not exercise the privileges of that person's certificate and rating unless that person understands the current instructions of the manufacturer, and the maintenance manuals, for the specific operation concerned.
A certificated mechanic may not exercise the privileges of his certificate and rating unless, within the preceding 24 months—
(a) The Administrator has found that he is able to do that work; or
(b) He has, for at least 6 months—
(1) Served as a mechanic under his certificate and rating;
(2) Technically supervised other mechanics;
(3) Supervised, in an executive capacity, the maintenance or alteration of aircraft; or
(4) Been engaged in any combination of paragraph (b) (1), (2), or (3) of this section.
(a) Except as provided in paragraph (b) of this section, a certificated mechanic with an airframe rating may approve for return to service an airframe, or any related part or appliance, after that person has performed, supervised, or inspected its maintenance or alteration (excluding major repairs and major alterations). In addition, a certificated mechanic with an airframe rating may perform the 100-hour inspection required by part 91 of this chapter on an airframe, or any related part or appliance, and approve for return to service.
(b) A certificated mechanic with an airframe rating can approve for return to service an airframe, or any related part or appliance, of an aircraft with a special airworthiness certificate in the light-sport category after performing and inspecting a major repair or major alteration for products that are not produced under an FAA approval provided the major repair or major alteration was authorized by, and performed in accordance with instructions developed by, the manufacturer or a person acceptable to the FAA.
(a) Except as provided in paragraph (b) of this section, a certificated mechanic with a powerplant rating may approve for return to service a powerplant or propeller or any related part or appliance, after that person has performed, supervised, or inspected its maintenance or alteration (excluding major repairs and major alterations). In addition, a certificated mechanic with a powerplant rating may perform the 100-hour inspection required by part 91 of this chapter on a powerplant or propeller, or any part thereof, and approve for return to service.
(b) A certificated mechanic with a powerplant rating can approve for return to service a powerplant or propeller, or any related part or appliance, of an aircraft with a special airworthiness certificate in the light-sport category after performing and inspecting a major repair or major alteration for products that are not produced under an FAA approval, provided the major repair or major alteration was authorized by, and performed in accordance with instructions developed by, the manufacturer or a person acceptable to the FAA.
Each person who holds a mechanic certificate shall keep it within the immediate area where he normally exercises the privileges of the certificate and shall present it for inspection upon the request of the Administrator or an authorized representative of the National Transportation Safety Board, or of any Federal, State, or local law enforcement officer.
(a) An application for an inspection authorization is made on a form and in a manner prescribed by the Administrator.
(b) An applicant who meets the requirements of this section is entitled to an inspection authorization.
(c) To be eligible for an inspection authorization, an applicant must—
(1) Hold a currently effective mechanic certificate with both an airframe rating and a powerplant rating, each of which is currently effective and has been in effect for a total of at least 3 years;
(2) Have been actively engaged, for at least the 2-year period before the date he applies, in maintaining aircraft certificated and maintained in accordance with this chapter;
(3) Have a fixed base of operations at which he may be located in person or by telephone during a normal working week but it need not be the place where he will exercise his inspection authority;
(4) Have available to him the equipment, facilities, and inspection data necessary to properly inspect airframes, powerplants, propellers, or any related part or appliance; and
(5) Pass a written test on his ability to inspect according to safety standards for returning aircraft to service after major repairs and major alterations and annual and progressive inspections performed under part 43 of this chapter.
(a) Each inspection authorization expires on March 31 of each odd-numbered year. However, the holder may exercise the privileges of that authorization only while he holds a currently effective mechanic certificate with both a currently effective airframe rating and a currently effective powerplant rating.
(b) An inspection authorization ceases to be effective whenever any of the following occurs:
(1) The authorization is surrendered, suspended, or revoked.
(2) The holder no longer has a fixed base of operation.
(3) The holder no longer has the equipment, facilities, and inspection data required by § 65.91(c) (3) and (4) for issuance of his authorization.
(c) The holder of an inspection authorization that is suspended or revoked shall, upon the Administrator's request, return it to the Administrator.
(a) Except as provided in paragraph (d) of this section, to be eligible for renewal of an inspection authorization for a 2-year period an applicant must present evidence during the month of March of each odd-numbered year, at the responsible Flight Standards office, that the applicant still meets the requirements of § 65.91(c)(1) through (4). In addition, during the time the applicant held the inspection authorization, the applicant must show completion of one of the activities in paragraphs (a)(1) through (5) of this section by March 31 of the first year of the 2-year inspection authorization period, and completion of one of the five activities during the second year of the 2-year period:
(1) Performed at least one annual inspection for each 90 days that the applicant held the current authority; or
(2) Performed at least two major repairs or major alterations for each 90 days that the applicant held the current authority; or
(3) Performed or supervised and approved at least one progressive inspection in accordance with standards prescribed by the Administrator; or
(4) Attended and successfully completed a refresher course, acceptable to the Administrator, of not less than 8 hours of instruction; or
(5) Passed an oral test by an FAA inspector to determine that the applicant's knowledge of applicable regulations and standards is current.
(b) The holder of an inspection authorization that has been in effect:
(1) for less than 90 days before the expiration date need not comply with paragraphs (a)(1) through (5) of this section.
(2) for less than 90 days before March 31 of an even-numbered year need not comply with paragraphs (a)(1) through (5) of this section for the first year of the 2-year inspection authorization period.
(c) An inspection authorization holder who does not complete one of the activities set forth in § 65.93(a) (1) through (5) of this section by March 31 of the first year of the 2-year inspection authorization period may not exercise inspection authorization privileges after March 31 of the first year. The inspection authorization holder may resume exercising inspection authorization privileges after passing an oral test from an FAA inspector to determine that the applicant's knowledge of the applicable regulations and standards is current. An inspection authorization holder who passes this oral test is deemed to have completed the requirements of § 65.93(a) (1) through (5) by March 31 of the first year.
(d) A person who qualifies for the relief prescribed in § 61.40 of this chapter is eligible to renew an expired inspection authorization under this section, provided the requirements of § 61.40 of this chapter are met.
(a) The holder of an inspection authorization may—
(1) Inspect and approve for return to service any aircraft or related part or appliance (except any aircraft maintained in accordance with a continuous airworthiness program under part 121 of this chapter) after a major repair or major alteration to it in accordance with part 43 [New] of this chapter, if the work was done in accordance with technical data approved by the Administrator; and
(2) Perform an annual, or perform or supervise a progressive inspection according to §§ 43.13 and 43.15 of this chapter.
(b) When he exercises the privileges of an inspection authorization the holder shall keep it available for inspection by the aircraft owner, the mechanic submitting the aircraft, repair, or alteration for approval (if any), and shall present it upon the request of the Administrator or an authorized representative of the National Transportation Safety Board, or of any Federal, State, or local law enforcement officer.
(c) If the holder of an inspection authorization changes his fixed base of operation, he may not exercise the privileges of the authorization until he has notified the responsible Flight Standards office or International Field Office for the area in which the new base is located, in writing, of the change.
(a) To be eligible for a repairman certificate a person must—
(1) Be at least 18 years of age;
(2) Be specially qualified to perform maintenance on aircraft or components thereof, appropriate to the job for which he is employed;
(3) Be employed for a specific job requiring those special qualifications by a certificated repair station, or by a certificated commercial operator or certificated air carrier, that is required by its operating certificate or approved operations specifications to provide a continuous airworthiness maintenance program according to its maintenance manuals;
(4) Be recommended for certification by his employer, to the satisfaction of the Administrator, as able to satisfactorily maintain aircraft or components, appropriate to the job for which he is employed;
(5) Have either—
(i) At least 18 months of practical experience in the procedures, practices, inspection methods, materials, tools, machine tools, and equipment generally used in the maintenance duties of the specific job for which the person is to be employed and certificated; or
(ii) Completed formal training that is acceptable to the Administrator and is specifically designed to qualify the applicant for the job on which the applicant is to be employed; and
(6) Be able to read, write, speak, and understand the English language, or, in the case of an applicant who does not meet this requirement and who is employed outside the United States by a certificated repair station, a certificated U.S. commercial operator, or a certificated U.S. air carrier, described in paragraph (a)(3) of this section, have this certificate endorsed “Valid only outside the United States.”
(b) This section does not apply to the issuance of a repairman certificate (experimental aircraft builder) under § 65.104 or to a repairman certificate (light-sport aircraft) under § 65.107.
(a) A certificated repairman may perform or supervise the maintenance, preventive maintenance, or alteration of aircraft or aircraft components appropriate to the job for which the repairman was employed and certificated, but only in connection with duties for the certificate holder by whom the repairman was employed and recommended.
(b) A certificated repairman may not perform or supervise duties under the repairman certificate unless the repairman understands the current instructions of the certificate holder by whom the repairman is employed and the manufacturer's instructions for continued airworthiness relating to the specific operations concerned.
(c) This section does not apply to the holder of a repairman certificate (experimental aircraft builder) issued in accordance with § 65.104 or to the holder of a repairman certificate (light-sport) issued in accordance with § 65.107, while that repairman is performing work under that certificate.
(a) To be eligible for a repairman certificate (experimental aircraft builder), an individual must—
(1) Be at least 18 years of age;
(2) Be the primary builder of the aircraft to which the privileges of the certificate are applicable;
(3) Show to the satisfaction of the Administrator that the individual has the requisite skill to determine whether the aircraft is in a condition for safe operations; and
(4) Be a citizen of the United States or an individual citizen of a foreign country who has lawfully been admitted for permanent residence in the United States.
(b) The holder of a repairman certificate (experimental aircraft builder) may perform condition inspections on the aircraft constructed by the holder in accordance with the operating limitations of that aircraft.
(c) Section 65.103 does not apply to the holder of a repairman certificate (experimental aircraft builder) while performing under that certificate.
Each person who holds a repairman certificate shall keep it within the immediate area where he normally exercises the privileges of the certificate and shall present it for inspection upon the request of the Administrator or an authorized representative of the National Transportation Safety Board, or of any Federal, State, or local law enforcement officer.
(a) Ratings. The following ratings may be issued on a repairman certificate (light-sport) under this section:
(1) Inspection rating.
(2) Maintenance rating.
(b) Eligibility requirements: General. To be eligible for a repairman certificate (light-sport), a person must:
(1) Be at least 18 years old;
(2) Be able to read, speak, write, and understand English;
(3) Complete a training course pursuant to paragraph (c) or (d) of this section, as applicable to the rating sought;
(4) Pass a written test administered by the training course provider that covers the contents of the course pursuant to paragraph (c) or (d) of this section, as applicable to the rating sought; and
(5) Present documentary evidence of completion of the FAA-accepted training course required by paragraph (b)(3) of this section and passage of the written test required by paragraph (b)(4) of this section, to the Administrator.
(c) Inspection rating training course. To obtain an inspection rating on a repairman certificate (light-sport), a person must complete a 16-hour training course accepted by the Administrator on inspecting the category, and class as applicable, of experimental aircraft for which the person intends to exercise the privileges of the rating.
(d) Maintenance rating training course. To obtain a maintenance rating on a repairman certificate (light-sport), a person must complete a training course accepted by the Administrator that includes content on, at a minimum, the knowledge, risk management, and skill elements for each subject contained in the Aviation Mechanic General, Airframe, and Powerplant Airman Certification Standards (incorporated by reference, see § 65.23), that are appropriate to the category, and class as applicable, of aircraft for which the person intends to exercise the privileges of the rating.
(e) Training course providers. Training course providers must:
(1) Deliver the training course described in paragraphs (c) and (d) of this section using facilities, equipment, and materials appropriate to the training course content taught;
(2) Use instructors that are appropriately qualified to teach the course content; and
(3) After a student completes the training course as required by paragraph (b)(3) of this section and passes the written test as required by paragraph (b)(4) of this section, provide a certificate of completion to the student indicating the:
(i) Name of the training provider;
(ii) FAA course acceptance number;
(iii) Rating applicable to the training course;
(iv) Aircraft category, and class as applicable, the training was based on; and
(v) Date of training completion.
(f) Certificate issuance and equivalency. (1) A repairman certificate (light-sport) will be issued with category privileges, and may be issued with class limitations within the category sought pursuant to the completed training required by paragraph (b)(3) of this section.
(2) A repairman certificate (light-sport aircraft) that was issued before and was valid on October 22, 2025 is equivalent to a repairman certificate (light-sport) with the same ratings.
(3) Aircraft class privileges issued on a repairman certificate (light-sport aircraft) before and valid on October 22, 2025 are equivalent to aircraft category privileges, except as provided in paragraph (f)(4) of this section.
(4) A repairman certificate (light-sport aircraft) with an inspection rating and gyroplane class privileges issued before and valid on October 22, 2025 is equivalent to a repairman (light-sport) certificate with an inspection rating and rotorcraft category privileges limited to the gyroplane class.
(g) Delayed compliance. Inspection and maintenance rating training courses designed for glider class privileges and accepted prior to October 22, 2025 may not be offered by a training course provider after July 24, 2026.
(a) The holder of a repairman certificate (light-sport) with an inspection rating may perform the annual condition inspection on an aircraft:
(1) That is owned by the holder;
(2) That has an experimental airworthiness certificate issued in accordance with § 21.191(g), (i), (k), or (l) of this chapter; and
(3) That is in the same category, and class as applicable, of aircraft for which the holder has completed the training course specified in § 65.107(c).
(b) The holder of a repairman certificate (light-sport) with a maintenance rating may—
(1) Approve for return to service an aircraft that has a special airworthiness certificate in the light-sport category under § 21.190 of this chapter, or any part thereof, after performing or inspecting maintenance (to include the annual condition inspection and the 100-hour inspection required by § 91.327 of this chapter), preventive maintenance, or an alteration (excluding a major repair or a major alteration on a product produced under an FAA approval);
(2) Perform the annual condition inspection on an aircraft that has an experimental airworthiness certificate issued in accordance with § 21.191(g), (i), (k), or (l) of this chapter; and
(3) Only perform maintenance, preventive maintenance, and an alteration on an aircraft that is in the same category, and class as applicable, of aircraft for which the holder has completed the training specified in § 65.107(d). Before performing a major repair, the holder must complete additional training acceptable to the FAA and appropriate to the repair performed.
(c) The holder of a repairman certificate (light-sport) with a maintenance rating may not approve for return to service any aircraft or part thereof unless that person has previously performed the work concerned satisfactorily. If that person has not previously performed that work, the person may show the ability to do the work by performing it to the satisfaction of the FAA, or by performing it under the direct supervision of a certificated and appropriately rated mechanic, or a certificated repairman, who has had previous experience in the specific operation concerned. The repairman may not exercise the privileges of the certificate unless the repairman understands the current instructions of the manufacturer and the maintenance manuals for the specific operation concerned.
(a) No person may pack, maintain, or alter any personnel-carrying parachute intended for emergency use in connection with civil aircraft of the United States (including the reserve parachute of a dual parachute system to be used for intentional parachute jumping) unless that person holds an appropriate current certificate and type rating issued under this subpart and complies with §§ 65.127 through 65.133.
(b) No person may pack any main parachute of a dual-parachute system to be used for intentional parachute jumping in connection with civil aircraft of the United States unless that person—
(1) Has an appropriate current certificate issued under this subpart;
(2) Is under the supervision of a current certificated parachute rigger;
(3) Is the person making the next parachute jump with that parachute in accordance with § 105.43(a) of this chapter; or
(4) Is the parachutist in command making the next parachute jump with that parachute in a tandem parachute operation conducted under § 105.45(b)(1) of this chapter.
(c) No person may maintain or alter any main parachute of a dual-parachute system to be used for intentional parachute jumping in connection with civil aircraft of the United States unless that person—
(1) Has an appropriate current certificate issued under this subpart; or
(2) Is under the supervision of a current certificated parachute rigger;
(d) Each person who holds a parachute rigger certificate shall present it for inspection upon the request of the Administrator or an authorized representative of the National Transportation Safety Board, or of any Federal, State, or local law enforcement officer.
(e) The following parachute rigger certificates are issued under this part:
(1) Senior parachute rigger.
(2) Master parachute rigger.
(f) Sections 65.127 through 65.133 do not apply to parachutes packed, maintained, or altered for the use of the armed forces.
(a) To be eligible for a parachute rigger certificate, a person must—
(1) Be at least 18 years of age;
(2) Be able to read, write, speak, and understand the English language, or, in the case of a citizen of Puerto Rico, or a person who is employed outside of the United States by a U.S. air carrier, and who does not meet this requirement, be issued a certificate that is valid only in Puerto Rico or while he is employed outside of the United States by that air carrier, as the case may be; and
(3) Comply with the sections of this subpart that apply to the certificate and type rating he seeks.
(b) Except for a master parachute rigger certificate, a parachute rigger certificate that was issued before, and was valid on, October 31, 1962, is equal to a senior parachute rigger certificate, and may be exchanged for such a corresponding certificate.
Except as provided in § 65.117, an applicant for a senior parachute rigger certificate must—
(a) Present evidence satisfactory to the Administrator that the applicant has packed at least 20 parachutes of each type for which the applicant seeks a rating, in accordance with the manufacturer's instructions and under the supervision of a certificated parachute rigger holding a rating for that type or a person holding an appropriate military rating;
(b) Pass a written test, with respect to parachutes in common use, on—
(1) Their construction, packing, and maintenance;
(2) The manufacturer's instructions;
(3) The regulations of this subpart; and
(c) Pass an oral and practical test showing the applicant's ability to pack and maintain at least one type of parachute in common use, appropriate to the type rating the applicant seeks. To pass the oral and practical test for a senior parachute rigger certificate, the applicant must satisfactorily demonstrate the objectives in the areas of operation applicable to a senior parachute rigger specified in the Parachute Rigger Practical Test Standards (incorporated by reference, see § 65.23), appropriate to the type rating sought.
In place of the procedure in § 65.115, an applicant for a senior parachute rigger certificate is entitled to it if he passes a written test on the regulations of this subpart and presents satisfactory documentary evidence that he—
(a) Is a member or civilian employee of an Armed Force of the United States, is a civilian employee of a regular armed force of a foreign country, or has, within the 12 months before he applies, been honorably discharged or released from any status covered by this paragraph;
(b) Is serving, or has served within the 12 months before he applies, as a parachute rigger for such an Armed Force; and
(c) Has the experience required by § 65.115(a).
An applicant for a master parachute rigger certificate must meet the following requirements:
(a) Present evidence satisfactory to the Administrator that the applicant has had at least 3 years of experience as a parachute rigger and has satisfactorily packed at least 100 parachutes of each of two types in common use, in accordance with the manufacturer's instructions—
(1) While a certificated and appropriately rated senior parachute rigger; or
(2) While under the supervision of a certificated and appropriately rated parachute rigger or a person holding appropriate military ratings.
(3) An applicant may combine experience specified in paragraphs (a)(1) and (2) of this section to meet the requirements of this paragraph (a).
(b) If the applicant is not the holder of a senior parachute rigger certificate, pass a written test, with respect to parachutes in common use, on—
(1) Their construction, packing, and maintenance;
(2) The manufacturer's instructions; and
(3) The regulations of this subpart.
(c) Pass an oral and practical test showing the applicant's ability to pack and maintain two types of parachutes in common use, appropriate to the type ratings the applicant seeks. To pass the oral and practical test for a master parachute rigger certificate, the applicant must satisfactorily demonstrate the objectives in the areas of operation applicable to a master parachute rigger specified in the Parachute Rigger Practical Test Standards (incorporated by reference, see § 65.23), as appropriate to the type rating sought.
(a) The following type ratings are issued under this subpart:
(1) Seat.
(2) Back.
(3) Chest.
(4) Lap.
(b) The holder of a senior parachute rigger certificate who qualifies for a master parachute rigger certificate is entitled to have placed on his master parachute rigger certificate the ratings that were on his senior parachute rigger certificate.
A certificated parachute rigger who applies for an additional type rating must—
(a) Present evidence satisfactory to the Administrator that the applicant has packed at least 20 parachutes of the type for which the applicant seeks a rating, in accordance with the manufacturer's instructions and under the supervision of a certificated parachute rigger holding a rating for that type or a person holding an appropriate military rating; and
(b) Pass a practical test, to the satisfaction of the Administrator, showing the applicant's ability to pack and maintain the type of parachute, appropriate to the type rating sought. To pass the practical test for an additional type rating, the applicant must satisfactorily demonstrate the objectives in the area of operation specified in the Parachute Rigger Practical Test Standards (incorporated by reference, see § 65.23), applicable to the type rating sought.
(a) A certificated senior parachute rigger may—
(1) Pack or maintain (except for major repair) any type of parachute for which he is rated; and
(2) Supervise other persons in packing any type of parachute for which that person is rated in accordance with § 105.43(a) or § 105.45(b)(1) of this chapter.
(b) A certificated master parachute rigger may—
(1) Pack, maintain, or alter any type of parachute for which he is rated; and
(2) Supervise other persons in packing, maintaining, or altering any type of parachute for which the certificated parachute rigger is rated in accordance with § 105.43(a) or § 105.45(b)(1) of this chapter.
(c) A certificated parachute rigger need not comply with §§ 65.127 through 65.133 (relating to facilities, equipment, performance standards, records, recent experience, and seal) in packing, maintaining, or altering (if authorized) the main parachute of a dual parachute pack to be used for intentional jumping.
No certificated parachute rigger may exercise the privileges of his certificate unless he has at least the following facilities and equipment available to him:
(a) A smooth top table at least three feet wide by 40 feet long.
(b) Suitable housing that is adequately heated, lighted, and ventilated for drying and airing parachutes.
(c) Enough packing tools and other equipment to pack and maintain the types of parachutes that he services.
(d) Adequate housing facilities to perform his duties and to protect his tools and equipment.
No certificated parachute rigger may—
(a) Pack, maintain, or alter any parachute unless he is rated for that type;
(b) Pack a parachute that is not safe for emergency use;
(c) Pack a parachute that has not been thoroughly dried and aired;
(d) Alter a parachute in a manner that is not specifically authorized by the Administrator or the manufacturer;
(e) Pack, maintain, or alter a parachute in any manner that deviates from procedures approved by the Administrator or the manufacturer of the parachute; or
(f) Exercise the privileges of his certificate and type rating unless he understands the current manufacturer's instructions for the operation involved and has—
(1) Performed duties under his certificate for at least 90 days within the preceding 12 months; or
(2) Shown the Administrator that he is able to perform those duties.
(a) Each certificated parachute rigger shall keep a record of the packing, maintenance, and alteration of parachutes performed or supervised by him. He shall keep in that record, with respect to each parachute worked on, a statement of—
(1) Its type and make;
(2) Its serial number;
(3) The name and address of its owner;
(4) The kind and extent of the work performed;
(5) The date when and place where the work was performed; and
(6) The results of any drop tests made with it.
(b) Each person who makes a record under paragraph (a) of this section shall keep it for at least 2 years after the date it is made.
(c) Each certificated parachute rigger who packs a parachute shall write, on the parachute packing record attached to the parachute, the date and place of the packing and a notation of any defects he finds on inspection. He shall sign that record with his name and the number of his certificate.
Each certificated parachute rigger must have a seal with an identifying mark prescribed by the Administrator, and a seal press. After packing a parachute he shall seal the pack with his seal in accordance with the manufacturer's recommendation for that type of parachute.
This appendix sets forth the areas of knowledge necessary to perform dispatcher functions. The items listed below indicate the minimum set of topics that must be covered in a training course for aircraft dispatcher certification. The order of coverage is at the discretion of the approved school.
This part prescribes the medical standards and certification procedures for issuing medical certificates for airmen and for remaining eligible for a medical certificate.
A person who meets the medical standards prescribed in this part, based on medical examination and evaluation of the person's history and condition, is entitled to an appropriate medical certificate.
An applicant for first-, second- and third-class medical certification must:
(a) Apply on a form and in a manner prescribed by the Administrator;
(b) Be examined by an aviation medical examiner designated in accordance with part 183 of this chapter. An applicant may obtain a list of aviation medical examiners from the FAA Office of Aerospace Medicine homepage on the FAA Web site, from any FAA Regional Flight Surgeon, or by contacting the Manager of the Aerospace Medical Education Division, P.O. Box 25082, Oklahoma City, Oklahoma 73125.
(c) Show proof of age and identity by presenting a government-issued photo identification (such as a valid U.S. driver's license, identification card issued by a driver's license authority, military identification, or passport). If an applicant does not have government-issued identification, he or she may use non-photo, government-issued identification (such as a birth certificate or voter registration card) in conjunction with photo identification (such as a work identification card or a student identification card).
At the time of application for a certificate issued under this part, each person who applies for a medical certificate shall execute an express consent form authorizing the Administrator to request the chief driver licensing official of any state designated by the Administrator to transmit information contained in the National Driver Register about the person to the Administrator. The Administrator shall make information received from the National Driver Register, if any, available on request to the person for review and written comment.
To be eligible for a first-class airman medical certificate, and to remain eligible for a first-class airman medical certificate, a person must meet the requirements of this subpart.
Eye standards for a first-class airman medical certificate are:
(a) Distant visual acuity of 20/20 or better in each eye separately, with or without corrective lenses. If corrective lenses (spectacles or contact lenses) are necessary for 20/20 vision, the person may be eligible only on the condition that corrective lenses are worn while exercising the privileges of an airman certificate.
(b) Near vision of 20/40 or better, Snellen equivalent, at 16 inches in each eye separately, with or without corrective lenses. If age 50 or older, near vision of 20/40 or better, Snellen equivalent, at both 16 inches and 32 inches in each eye separately, with or without corrective lenses.
(c) Ability to perceive those colors necessary for the safe performance of airman duties.
(d) Normal fields of vision.
(e) No acute or chronic pathological condition of either eye or adnexa that interferes with the proper function of an eye, that may reasonably be expected to progress to that degree, or that may reasonably be expected to be aggravated by flying.
(f) Bifoveal fixation and vergence-phoria relationship sufficient to prevent a break in fusion under conditions that may reasonably be expected to occur in performing airman duties. Tests for the factors named in this paragraph are not required except for persons found to have more than 1 prism diopter of hyperphoria, 6 prism diopters of esophoria, or 6 prism diopters of exophoria. If any of these values are exceeded, the Federal Air Surgeon may require the person to be examined by a qualified eye specialist to determine if there is bifoveal fixation and an adequate vergence-phoria relationship. However, if otherwise eligible, the person is issued a medical certificate pending the results of the examination.
Ear, nose, throat, and equilibrium standards for a first-class airman medical certificate are:
(a) The person shall demonstrate acceptable hearing by at least one of the following tests:
(1) Demonstrate an ability to hear an average conversational voice in a quiet room, using both ears, at a distance of 6 feet from the examiner, with the back turned to the examiner.
(2) Demonstrate an acceptable understanding of speech as determined by audiometric speech discrimination testing to a score of at least 70 percent obtained in one ear or in a sound field environment.
(3) Provide acceptable results of pure tone audiometric testing of unaided hearing acuity according to the following table of worst acceptable thresholds, using the calibration standards of the American National Standards Institute, 1969 (11 West 42d Street, New York, NY 10036):
| Frequency (Hz) | 500 Hz | 1000 Hz | 2000 Hz | 3000 Hz |
|---|---|---|---|---|
| Better ear (Db) | 35 | 30 | 30 | 40 |
| Poorer ear (Db) | 35 | 50 | 50 | 60 |
(b) No disease or condition of the middle or internal ear, nose, oral cavity, pharynx, or larynx that—
(1) Interferes with, or is aggravated by, flying or may reasonably be expected to do so; or
(2) Interferes with, or may reasonably be expected to interfere with, clear and effective speech communication.
(c) No disease or condition manifested by, or that may reasonably be expected to be manifested by, vertigo or a disturbance of equilibrium.
Mental standards for a first-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of any of the following:
(1) A personality disorder that is severe enough to have repeatedly manifested itself by overt acts.
(2) A psychosis. As used in this section, “psychosis” refers to a mental disorder in which:
(i) The individual has manifested delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of this condition; or
(ii) The individual may reasonably be expected to manifest delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of this condition.
(3) A bipolar disorder.
(4) Substance dependence, except where there is established clinical evidence, satisfactory to the Federal Air Surgeon, of recovery, including sustained total abstinence from the substance(s) for not less than the preceding 2 years. As used in this section—
(i) “Substance” includes: Alcohol; other sedatives and hypnotics; anxiolytics; opioids; central nervous system stimulants such as cocaine, amphetamines, and similarly acting sympathomimetics; hallucinogens; phencyclidine or similarly acting arylcyclohexylamines; cannabis; inhalants; and other psychoactive drugs and chemicals; and
(ii) “Substance dependence” means a condition in which a person is dependent on a substance, other than tobacco or ordinary xanthine-containing (e.g., caffeine) beverages, as evidenced by—
(A) Increased tolerance;
(B) Manifestation of withdrawal symptoms;
(C) Impaired control of use; or
(D) Continued use despite damage to physical health or impairment of social, personal, or occupational functioning.
(b) No substance abuse within the preceding 2 years defined as:
(1) Use of a substance in a situation in which that use was physically hazardous, if there has been at any other time an instance of the use of a substance also in a situation in which that use was physically hazardous;
(2) A verified positive drug test result, an alcohol test result of 0.04 or greater alcohol concentration, or a refusal to submit to a drug or alcohol test required by the U.S. Department of Transportation or an agency of the U.S. Department of Transportation; or
(3) Misuse of a substance that the Federal Air Surgeon, based on case history and appropriate, qualified medical judgment relating to the substance involved, finds—
(i) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(ii) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
(c) No other personality disorder, neurosis, or other mental condition that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
Neurologic standards for a first-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of any of the following:
(1) Epilepsy;
(2) A disturbance of consciousness without satisfactory medical explanation of the cause; or
(3) A transient loss of control of nervous system function(s) without satisfactory medical explanation of the cause.
(b) No other seizure disorder, disturbance of consciousness, or neurologic condition that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
Cardiovascular standards for a first-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of any of the following:
(1) Myocardial infarction;
(2) Angina pectoris;
(3) Coronary heart disease that has required treatment or, if untreated, that has been symptomatic or clinically significant;
(4) Cardiac valve replacement;
(5) Permanent cardiac pacemaker implantation; or
(6) Heart replacement;
(b) A person applying for first-class medical certification must demonstrate an absence of myocardial infarction and other clinically significant abnormality on electrocardiographic examination:
(1) At the first application after reaching the 35th birthday; and
(2) On an annual basis after reaching the 40th birthday.
(c) An electrocardiogram will satisfy a requirement of paragraph (b) of this section if it is dated no earlier than 60 days before the date of the application it is to accompany and was performed and transmitted according to acceptable standards and techniques.
The general medical standards for a first-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of diabetes mellitus that requires insulin or any other hypoglycemic drug for control.
(b) No other organic, functional, or structural disease, defect, or limitation that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
(c) No medication or other treatment that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the medication or other treatment involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
A person who does not meet the provisions of §§ 67.103 through 67.113 may apply for the discretionary issuance of a certificate under § 67.401.
To be eligible for a second-class airman medical certificate, and to remain eligible for a second-class airman medical certificate, a person must meet the requirements of this subpart.
Eye standards for a second-class airman medical certificate are:
(a) Distant visual acuity of 20/20 or better in each eye separately, with or without corrective lenses. If corrective lenses (spectacles or contact lenses) are necessary for 20/20 vision, the person may be eligible only on the condition that corrective lenses are worn while exercising the privileges of an airman certificate.
(b) Near vision of 20/40 or better, Snellen equivalent, at 16 inches in each eye separately, with or without corrective lenses. If age 50 or older, near vision of 20/40 or better, Snellen equivalent, at both 16 inches and 32 inches in each eye separately, with or without corrective lenses.
(c) Ability to perceive those colors necessary for the safe performance of airman duties.
(d) Normal fields of vision.
(e) No acute or chronic pathological condition of either eye or adnexa that interferes with the proper function of an eye, that may reasonably be expected to progress to that degree, or that may reasonably be expected to be aggravated by flying.
(f) Bifoveal fixation and vergence-phoria relationship sufficient to prevent a break in fusion under conditions that may reasonably be expected to occur in performing airman duties. Tests for the factors named in this paragraph are not required except for persons found to have more than 1 prism diopter of hyperphoria, 6 prism diopters of esophoria, or 6 prism diopters of exophoria. If any of these values are exceeded, the Federal Air Surgeon may require the person to be examined by a qualified eye specialist to determine if there is bifoveal fixation and an adequate vergence-phoria relationship. However, if otherwise eligible, the person is issued a medical certificate pending the results of the examination.
Ear, nose, throat, and equilibrium standards for a second-class airman medical certificate are:
(a) The person shall demonstrate acceptable hearing by at least one of the following tests:
(1) Demonstrate an ability to hear an average conversational voice in a quiet room, using both ears, at a distance of 6 feet from the examiner, with the back turned to the examiner.
(2) Demonstrate an acceptable understanding of speech as determined by audiometric speech discrimination testing to a score of at least 70 percent obtained in one ear or in a sound field environment.
(3) Provide acceptable results of pure tone audiometric testing of unaided hearing acuity according to the following table of worst acceptable thresholds, using the calibration standards of the American National Standards Institute, 1969:
| Frequency (Hz) | 500 Hz | 1000 Hz | 2000 Hz | 3000 Hz |
|---|---|---|---|---|
| Better ear (Db) | 35 | 30 | 30 | 40 |
| Poorer ear (Db) | 35 | 50 | 50 | 60 |
(b) No disease or condition of the middle or internal ear, nose, oral cavity, pharynx, or larynx that—
(1) Interferes with, or is aggravated by, flying or may reasonably be expected to do so; or
(2) Interferes with, or may reasonably be expected to interfere with, clear and effective speech communication.
(c) No disease or condition manifested by, or that may reasonably be expected to be manifested by, vertigo or a disturbance of equilibrium.
Mental standards for a second-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of any of the following:
(1) A personality disorder that is severe enough to have repeatedly manifested itself by overt acts.
(2) A psychosis. As used in this section, “psychosis” refers to a mental disorder in which:
(i) The individual has manifested delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of this condition; or
(ii) The individual may reasonably be expected to manifest delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of this condition.
(3) A bipolar disorder.
(4) Substance dependence, except where there is established clinical evidence, satisfactory to the Federal Air Surgeon, of recovery, including sustained total abstinence from the substance(s) for not less than the preceding 2 years. As used in this section—
(i) “Substance” includes: Alcohol; other sedatives and hypnotics; anxiolytics; opioids; central nervous system stimulants such as cocaine, amphetamines, and similarly acting sympathomimetics; hallucinogens; phencyclidine or similarly acting arylcyclohexylamines; cannabis; inhalants; and other psychoactive drugs and chemicals; and
(ii) “Substance dependence” means a condition in which a person is dependent on a substance, other than tobacco or ordinary xanthine-containing (e.g., caffeine) beverages, as evidenced by—
(A) Increased tolerance;
(B) Manifestation of withdrawal symptoms;
(C) Impaired control of use; or
(D) Continued use despite damage to physical health or impairment of social, personal, or occupational functioning.
(b) No substance abuse within the preceding 2 years defined as:
(1) Use of a substance in a situation in which that use was physically hazardous, if there has been at any other time an instance of the use of a substance also in a situation in which that use was physically hazardous;
(2) A verified positive drug test result, an alcohol test result of 0.04 or greater alcohol concentration, or a refusal to submit to a drug or alcohol test required by the U.S. Department of Transportation or an agency of the U.S. Department of Transportation; or
(3) Misuse of a substance that the Federal Air Surgeon, based on case history and appropriate, qualified medical judgment relating to the substance involved, finds—
(i) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(ii) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
(c) No other personality disorder, neurosis, or other mental condition that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
Neurologic standards for a second-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of any of the following:
(1) Epilepsy;
(2) A disturbance of consciousness without satisfactory medical explanation of the cause; or
(3) A transient loss of control of nervous system function(s) without satisfactory medical explanation of the cause;
(b) No other seizure disorder, disturbance of consciousness, or neurologic condition that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
Cardiovascular standards for a second-class medical certificate are no established medical history or clinical diagnosis of any of the following:
(a) Myocardial infarction;
(b) Angina pectoris;
(c) Coronary heart disease that has required treatment or, if untreated, that has been symptomatic or clinically significant;
(d) Cardiac valve replacement;
(e) Permanent cardiac pacemaker implantation; or
(f) Heart replacement.
The general medical standards for a second-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of diabetes mellitus that requires insulin or any other hypoglycemic drug for control.
(b) No other organic, functional, or structural disease, defect, or limitation that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
(c) No medication or other treatment that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the medication or other treatment involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
A person who does not meet the provisions of §§ 67.203 through 67.213 may apply for the discretionary issuance of a certificate under § 67.401.
To be eligible for a third-class airman medical certificate, or to remain eligible for a third-class airman medical certificate, a person must meet the requirements of this subpart.
Eye standards for a third-class airman medical certificate are:
(a) Distant visual acuity of 20/40 or better in each eye separately, with or without corrective lenses. If corrective lenses (spectacles or contact lenses) are necessary for 20/40 vision, the person may be eligible only on the condition that corrective lenses are worn while exercising the privileges of an airman certificate.
(b) Near vision of 20/40 or better, Snellen equivalent, at 16 inches in each eye separately, with or without corrective lenses.
(c) Ability to perceive those colors necessary for the safe performance of airman duties.
(d) No acute or chronic pathological condition of either eye or adnexa that interferes with the proper function of an eye, that may reasonably be expected to progress to that degree, or that may reasonably be expected to be aggravated by flying.
Ear, nose, throat, and equilibrium standards for a third-class airman medical certificate are:
(a) The person shall demonstrate acceptable hearing by at least one of the following tests:
(1) Demonstrate an ability to hear an average conversational voice in a quiet room, using both ears, at a distance of 6 feet from the examiner, with the back turned to the examiner.
(2) Demonstrate an acceptable understanding of speech as determined by audiometric speech discrimination testing to a score of at least 70 percent obtained in one ear or in a sound field environment.
(3) Provide acceptable results of pure tone audiometric testing of unaided hearing acuity according to the following table of worst acceptable thresholds, using the calibration standards of the American National Standards Institute, 1969:
| Frequency (Hz) | 500 Hz | 1000 Hz | 2000 Hz | 3000 Hz |
|---|---|---|---|---|
| Better ear (Db) | 35 | 30 | 30 | 40 |
| Poorer ear (Db) | 35 | 50 | 50 | 60 |
(b) No disease or condition of the middle or internal ear, nose, oral cavity, pharynx, or larynx that—
(1) Interferes with, or is aggravated by, flying or may reasonably be expected to do so; or
(2) Interferes with clear and effective speech communication.
(c) No disease or condition manifested by, or that may reasonably be expected to be manifested by, vertigo or a disturbance of equilibrium.
Mental standards for a third-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of any of the following:
(1) A personality disorder that is severe enough to have repeatedly manifested itself by overt acts.
(2) A psychosis. As used in this section, “psychosis” refers to a mental disorder in which—
(i) The individual has manifested delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of this condition; or
(ii) The individual may reasonably be expected to manifest delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of this condition.
(3) A bipolar disorder.
(4) Substance dependence, except where there is established clinical evidence, satisfactory to the Federal Air Surgeon, of recovery, including sustained total abstinence from the substance(s) for not less than the preceding 2 years. As used in this section—
(i) “Substance” includes: alcohol; other sedatives and hypnotics; anxiolytics; opioids; central nervous system stimulants such as cocaine, amphetamines, and similarly acting sympathomimetics; hallucinogens; phencyclidine or similarly acting arylcyclohexylamines; cannabis; inhalants; and other psychoactive drugs and chemicals; and
(ii) “Substance dependence” means a condition in which a person is dependent on a substance, other than tobacco or ordinary xanthine-containing (e.g., caffeine) beverages, as evidenced by—
(A) Increased tolerance;
(B) Manifestation of withdrawal symptoms;
(C) Impaired control of use; or
(D) Continued use despite damage to physical health or impairment of social, personal, or occupational functioning.
(b) No substance abuse within the preceding 2 years defined as:
(1) Use of a substance in a situation in which that use was physically hazardous, if there has been at any other time an instance of the use of a substance also in a situation in which that use was physically hazardous;
(2) A verified positive drug test result, an alcohol test result of 0.04 or greater alcohol concentration, or a refusal to submit to a drug or alcohol test required by the U.S. Department of Transportation or an agency of the U.S. Department of Transportation; or
(3) Misuse of a substance that the Federal Air Surgeon, based on case history and appropriate, qualified medical judgment relating to the substance involved, finds—
(i) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(ii) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
(c) No other personality disorder, neurosis, or other mental condition that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
Neurologic standards for a third-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of any of the following:
(1) Epilepsy;
(2) A disturbance of consciousness without satisfactory medical explanation of the cause; or
(3) A transient loss of control of nervous system function(s) without satisfactory medical explanation of the cause.
(b) No other seizure disorder, disturbance of consciousness, or neurologic condition that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
Cardiovascular standards for a third-class airman medical certificate are no established medical history or clinical diagnosis of any of the following:
(a) Myocardial infarction;
(b) Angina pectoris;
(c) Coronary heart disease that has required treatment or, if untreated, that has been symptomatic or clinically significant;
(d) Cardiac valve replacement;
(e) Permanent cardiac pacemaker implantation; or
(f) Heart replacement.
The general medical standards for a third-class airman medical certificate are:
(a) No established medical history or clinical diagnosis of diabetes mellitus that requires insulin or any other hypoglycemic drug for control.
(b) No other organic, functional, or structural disease, defect, or limitation that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the condition involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
(c) No medication or other treatment that the Federal Air Surgeon, based on the case history and appropriate, qualified medical judgment relating to the medication or other treatment involved, finds—
(1) Makes the person unable to safely perform the duties or exercise the privileges of the airman certificate applied for or held; or
(2) May reasonably be expected, for the maximum duration of the airman medical certificate applied for or held, to make the person unable to perform those duties or exercise those privileges.
A person who does not meet the provisions of §§ 67.303 through 67.313 may apply for the discretionary issuance of a certificate under § 67.401.
(a) At the discretion of the Federal Air Surgeon, an Authorization for Special Issuance of a Medical Certificate (Authorization), valid for a specified period, may be granted to a person who does not meet the provisions of subparts B, C, or D of this part if the person shows to the satisfaction of the Federal Air Surgeon that the duties authorized by the class of medical certificate applied for can be performed without endangering public safety during the period in which the Authorization would be in force. The Federal Air Surgeon may authorize a special medical flight test, practical test, or medical evaluation for this purpose. A medical certificate of the appropriate class may be issued to a person who does not meet the provisions of subparts B, C, or D of this part if that person possesses a valid Authorization and is otherwise eligible. An airman medical certificate issued in accordance with this section shall expire no later than the end of the validity period or upon the withdrawal of the Authorization upon which it is based. At the end of its specified validity period, for grant of a new Authorization, the person must again show to the satisfaction of the Federal Air Surgeon that the duties authorized by the class of medical certificate applied for can be performed without endangering public safety during the period in which the Authorization would be in force.
(b) At the discretion of the Federal Air Surgeon, a Statement of Demonstrated Ability (SODA) may be granted, instead of an Authorization, to a person whose disqualifying condition is static or nonprogressive and who has been found capable of performing airman duties without endangering public safety. A SODA does not expire and authorizes a designated aviation medical examiner to issue a medical certificate of a specified class if the examiner finds that the condition described on its face has not adversely changed.
(c) In granting an Authorization or SODA, the Federal Air Surgeon may consider the person's operational experience and any medical facts that may affect the ability of the person to perform airman duties including—
(1) The combined effect on the person of failure to meet more than one requirement of this part; and
(2) The prognosis derived from professional consideration of all available information regarding the person.
(d) In granting an Authorization or SODA under this section, the Federal Air Surgeon specifies the class of medical certificate authorized to be issued and may do any or all of the following:
(1) Limit the duration of an Authorization;
(2) Condition the granting of a new Authorization on the results of subsequent medical tests, examinations, or evaluations;
(3) State on the Authorization or SODA, and any medical certificate based upon it, any operational limitation needed for safety; or
(4) Condition the continued effect of an Authorization or SODA, and any second- or third-class medical certificate based upon it, on compliance with a statement of functional limitations issued to the person in coordination with the Director of Flight Standards or the Director's designee.
(e) In determining whether an Authorization or SODA should be granted to an applicant for a third-class medical certificate, the Federal Air Surgeon considers the freedom of an airman, exercising the privileges of a private pilot certificate, to accept reasonable risks to his or her person and property that are not acceptable in the exercise of commercial or airline transport pilot privileges, and, at the same time, considers the need to protect the safety of persons and property in other aircraft and on the ground.
(f) An Authorization or SODA granted under the provisions of this section to a person who does not meet the applicable provisions of subparts B, C, or D of this part may be withdrawn, at the discretion of the Federal Air Surgeon, at any time if—
(1) There is adverse change in the holder's medical condition;
(2) The holder fails to comply with a statement of functional limitations or operational limitations issued as a condition of certification under this section;
(3) Public safety would be endangered by the holder's exercise of airman privileges;
(4) The holder fails to provide medical information reasonably needed by the Federal Air Surgeon for certification under this section; or
(5) The holder makes or causes to be made a statement that is the basis for withdrawal of an Authorization, including a SODA, under subpart D of part 3 of this chapter.
(g) A person who has been granted an Authorization or SODA under this section based on a special medical flight or practical test need not take the test again during later physical examinations unless the Federal Air Surgeon determines or has reason to believe that the physical deficiency has or may have degraded to a degree to require another special medical flight test or practical test.
(h) The authority of the Federal Air Surgeon under this section is also exercised by the Manager, Aeromedical Certification Division, and each Regional Flight Surgeon.
(i) If an Authorization or SODA is withdrawn under paragraph (f) of this section the following procedures apply:
(1) The holder of the Authorization or SODA will be served a letter of withdrawal, stating the reason for the action;
(2) By not later than 60 days after the service of the letter of withdrawal, the holder of the Authorization or SODA may request, in writing, that the Federal Air Surgeon provide for review of the decision to withdraw. The request for review may be accompanied by supporting medical evidence;
(3) Within 60 days of receipt of a request for review, a written final decision either affirming or reversing the decision to withdraw will be issued; and
(4) A medical certificate rendered invalid pursuant to a withdrawal, in accordance with paragraph (a) of this section, shall be surrendered to the Administrator upon request.
(a) First-class. Any aviation medical examiner who is specifically designated for the purpose may perform examinations for the first-class medical certificate.
(b) Second- and third-class. Any aviation medical examiner may perform examinations for the second-or third-class medical certificate.
(a) The authority of the Administrator under 49 U.S.C. 44703 to issue or deny medical certificates is delegated to the Federal Air Surgeon to the extent necessary to—
(1) Examine applicants for and holders of medical certificates to determine whether they meet applicable medical standards; and
(2) Issue, renew, and deny medical certificates, and issue, renew, deny, and withdraw Authorizations for Special Issuance of a Medical Certificate and Statements of Demonstrated Ability to a person based upon meeting or failing to meet applicable medical standards.
(b) Subject to limitations in this chapter, the delegated functions of the Federal Air Surgeon to examine applicants for and holders of medical certificates for compliance with applicable medical standards and to issue, renew, and deny medical certificates are also delegated to aviation medical examiners and to authorized representatives of the Federal Air Surgeon within the FAA.
(c) The authority of the Administrator under 49 U.S.C. 44702, to reconsider the action of an aviation medical examiner is delegated to the Federal Air Surgeon; the Manager, Aeromedical Certification Division; and each Regional Flight Surgeon. Where the person does not meet the standards of §§ 67.107(b)(3) and (c), 67.109(b), 67.113(b) and (c), 67.207(b)(3) and (c), 67.209(b), 67.213(b) and (c), 67.307(b)(3) and (c), 67.309(b), or 67.313(b) and (c), any action taken under this paragraph other than by the Federal Air Surgeon is subject to reconsideration by the Federal Air Surgeon. A certificate issued by an aviation medical examiner is considered to be affirmed as issued unless an FAA official named in this paragraph (authorized official) reverses that issuance within 60 days after the date of issuance. However, if within 60 days after the date of issuance an authorized official requests the certificate holder to submit additional medical information, an authorized official may reverse the issuance within 60 days after receipt of the requested information.
(d) The authority of the Administrator under 49 U.S.C. 44709 to re-examine any civil airman to the extent necessary to determine an airman's qualification to continue to hold an airman medical certificate, is delegated to the Federal Air Surgeon and his or her authorized representatives within the FAA.
(a) Any person who is denied a medical certificate by an aviation medical examiner may, within 30 days after the date of the denial, apply in writing to the Federal Air Surgeon, Attention: Manager, Aeromedical Certification Division, AAM-300, Federal Aviation Administration, P.O. Box 25082, Oklahoma City, Oklahoma 73126, for reconsideration of that denial. If the person does not ask for reconsideration during the 30-day period after the date of the denial, he or she is considered to have withdrawn the application for a medical certificate.
(b) The denial of a medical certificate—
(1) By an aviation medical examiner is not a denial by the Administrator under 49 U.S.C. 44703.
(2) By the Federal Air Surgeon is considered to be a denial by the Administrator under 49 U.S.C. 44703.
(3) By the Manager, Aeromedical Certification Division, or a Regional Flight Surgeon is considered to be a denial by the Administrator under 49 U.S.C. 44703 except where the person does not meet the standards of §§ 67.107(b)(3) and (c), 67.109(b), or 67.113(b) and (c); 67.207(b)(3) and (c), 67.209(b), or 67.213(b) and (c); or 67.307(b)(3) and (c), 67.309(b), or 67.313(b) and (c).
(c) Any action taken under § 67.407(c) that wholly or partly reverses the issue of a medical certificate by an aviation medical examiner is the denial of a medical certificate under paragraph (b) of this section.
(d) If the issue of a medical certificate is wholly or partly reversed by the Federal Air Surgeon; the Manager, Aeromedical Certification Division; or a Regional Flight Surgeon, the person holding that certificate shall surrender it, upon request of the FAA.
(a) Whenever the Administrator finds that additional medical information or history is necessary to determine whether you meet the medical standards required to hold a medical certificate, you must:
(1) Furnish that information to the FAA; or
(2) Authorize any clinic, hospital, physician, or other person to release to the FAA all available information or records concerning that history.
(b) If you fail to provide the requested medical information or history or to authorize its release, the FAA may suspend, modify, or revoke your medical certificate or, in the case of an applicant, deny the application for a medical certificate.
(c) If your medical certificate is suspended, modified, or revoked under paragraph (b) of this section, that suspension or modification remains in effect until you provide the requested information, history, or authorization to the FAA and until the FAA determines that you meet the medical standards set forth in this part.
The holder of any medical certificate issued under this part that is suspended or revoked shall, upon the Administrator's request, return it to the Administrator.
This part prescribes the medical education and examination requirements for operating an aircraft under § 61.113(i) of this chapter without holding a medical certificate issued under part 67 of this chapter.
(a) The medical education course required to act as pilot in command or serve as a required flightcrew member in an operation under § 61.113(i) of this chapter must—
(1) Educate pilots on conducting medical self-assessments;
(2) Advise pilots on identifying warning signs of potential serious medical conditions;
(3) Identify risk mitigation strategies for medical conditions;
(4) Increase awareness of the impacts of potentially impairing over-the-counter and prescription drug medications;
(5) Encourage regular medical examinations and consultations with primary care physicians;
(6) Inform pilots of the regulations pertaining to the prohibition on operations during medical deficiency and medically disqualifying conditions; and
(7) Provide the checklist developed by the FAA in accordance with § 68.7.
(b) Upon successful completion of the medical education course, the following items must be electronically provided to the individual seeking to act as pilot in command or serve as a required flightcrew member under the conditions and limitations of § 61.113(i) of this chapter and transmitted to the FAA—
(1) A certification of completion of the medical education course, which shall be retained in the individual's logbook and made available upon request, and shall contain the individual's name, address, and airman certificate number;
(2) A release authorizing single access to the National Driver Register through a designated State Department of Motor Vehicles to furnish to the FAA information pertaining to the individual's driving record;
(3) A certification by the individual that the individual is under the care and treatment of a physician if the individual has been diagnosed with any medical condition that may impact the ability of the individual to fly, as required under § 61.23(c)(3) of this chapter;
(4) A form that includes—
(i) The name, address, telephone number, and airman certificate number of the individual;
(ii) The name, address, telephone number, and State medical license number of the physician performing the comprehensive medical examination;
(iii) The date of the comprehensive medical examination; and
(iv) A certification by the individual that the checklist described in § 68.7 was followed and signed by the physician during the medical examination required by this section; and
(5) A statement, which shall be signed by the individual certifying that the individual understands the existing prohibition on operations during medical deficiency by stating: “I understand that I cannot act as pilot in command, or any other capacity as a required flight crew member, if I know or have reason to know of any medical condition that would make me unable to operate the aircraft in a safe manner.”.
(a) Prior to the medical examination required by § 61.23(c)(3) of this chapter, an individual must—
(1) Complete the individual's section of the checklist described in § 68.7; and
(2) Provide the completed checklist to the State-licensed physician performing the medical examination.
(b) The physician must—
(1) Conduct the medical examination in accordance with the checklist set forth in § 68.7,
(2) Check each item specified during the examination; and
(3) Address, as medically appropriate, every medical condition listed and any medications the individual is taking.
The comprehensive medical examination required to conduct operations under § 61.113(i) must include a checklist containing the following:
(a) A section, for the individual to complete that contains—
(1) Boxes 3 through 13 and boxes 16 through 19 of the FAA Form 8500-8 (3-99), or any successor form; and
(2) A signature line for the individual to affirm that—
(i) The answers provided by the individual on that checklist, including the individual's answers regarding medical history, are true and complete;
(ii) The individual understands that he or she is prohibited under FAA regulations from acting as pilot in command, or any other capacity as a required flight crew member, if he or she knows or has reason to know of any medical deficiency or medically disqualifying condition that would make the individual unable to operate the aircraft in a safe manner; and
(iii) The individual is aware of the regulations pertaining to the prohibition on operations during medical deficiency and has no medically disqualifying conditions in accordance with applicable law;
(b) A section with instructions for the individual to provide the completed checklist to the State-licensed physician performing the comprehensive medical examination required under § 68.5; and
(c) A section, for the physician to complete, that instructs the physician—
(1) To perform a clinical examination of—
(i) Head, face, neck, and scalp;
(ii) Nose, sinuses, mouth, and throat;
(iii) Ears, general (internal and external canals), and eardrums (perforation);
(iv) Eyes (general), ophthalmoscopic, pupils (equality and reaction), and ocular motility (associated parallel movement, nystagmus);
(v) Lungs and chest (not including breast examination);
(vi) Heart (precordial activity, rhythm, sounds, and murmurs);
(vii) Vascular system (pulse, amplitude, and character, and arms, legs, and others);
(viii) Abdomen and viscera (including hernia);
(ix) Anus (not including digital examination);
(x) Skin;
(xi) G-U system (not including pelvic examination);
(xii) Upper and lower extremities (strength and range of motion);
(xiii) Spine and other musculoskeletal;
(xiv) Identifying body marks, scars, and tattoos (size and location);
(xv) Lymphatics;
(xvi) Neurologic (tendon reflexes, equilibrium, senses, cranial nerves, and coordination, etc.);
(xvii) Psychiatric (appearance, behavior, mood, communication, and memory);
(xviii) General systemic;
(xix) Hearing;
(xx) Vision (distant, near, and intermediate vision, field of vision, color vision, and ocular alignment);
(xxi) Blood pressure and pulse; and
(xxii) Anything else the physician, in his or her medical judgment, considers necessary;
(2) To exercise medical discretion to address, as medically appropriate, any medical conditions identified, and to exercise medical discretion in determining whether any medical tests are warranted as part of the comprehensive medical examination;
(3) To discuss all drugs the individual reports taking (prescription and nonprescription) and their potential to interfere with the safe operation of an aircraft or motor vehicle;
(4) To sign the checklist, stating: “I certify that I discussed all items on this checklist with the individual during my examination, discussed any medications the individual is taking that could interfere with his or her ability to safely operate an aircraft or motor vehicle, and performed an examination that included all of the items on this checklist. I certify that I am not aware of any medical condition that, as presently treated, could interfere with the individual's ability to safely operate an aircraft.”; and
(5) To provide the date the comprehensive medical examination was completed, and the physician's full name, address, telephone number, and State medical license number.
(a) General. An individual who has met the qualifications to operate an aircraft under § 61.113(i) of this chapter and is seeking to act as a pilot in command or serve as a required flightcrew member under that section must have completed the process for obtaining an Authorization for Special Issuance of a Medical Certificate for each of the following:
(1) A mental health disorder, limited to an established medical history or clinical diagnosis of—
(i) A personality disorder that is severe enough to have repeatedly manifested itself by overt acts;
(ii) A psychosis, defined as a case in which an individual—
(A) Has manifested delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of psychosis; or
(B) May reasonably be expected to manifest delusions, hallucinations, grossly bizarre or disorganized behavior, or other commonly accepted symptoms of psychosis;
(iii) A bipolar disorder; or
(iv) A substance dependence within the previous 2 years, as defined in § 67.307(a)(4) of this chapter.
(2) A neurological disorder, limited to an established medical history or clinical diagnosis of any of the following:
(i) Epilepsy;
(ii) Disturbance of consciousness without satisfactory medical explanation of the cause; or
(iii) A transient loss of control of nervous system functions without satisfactory medical explanation of the cause.
(3) A cardiovascular condition, limited to a one-time special issuance for each diagnosis of the following:
(i) Myocardial infarction;
(ii) Coronary heart disease that has required treatment;
(iii) Cardiac valve replacement; or
(iv) Heart replacement.
(b) Special rule for cardiovascular conditions. In the case of an individual with a cardiovascular condition, the process for obtaining an Authorization for Special Issuance of a Medical Certificate shall be satisfied with the successful completion of an appropriate clinical evaluation without a mandatory wait period.
(c) Special rule for mental health conditions. (1) In the case of an individual with a clinically diagnosed mental health condition, the ability to operate an aircraft under § 61.113(i) of this chapter shall not apply if—
(i) In the judgment of the individual's State-licensed medical specialist, the condition—
(A) Renders the individual unable to safely perform the duties or exercise the airman privileges required to operate an aircraft under § 61.113(i) of this chapter; or
(B) May reasonably be expected to make the individual unable to perform the duties or exercise the privileges required to operate an aircraft under § 61.113(i) of this chapter; or
(ii) The individual's driver's license is revoked by the issuing agency as a result of a clinically diagnosed mental health condition.
(2) Subject to paragraph (c)(1) of this section, an individual clinically diagnosed with a mental health condition shall certify every 2 years, in conjunction with the certification under § 68.3(b)(3), that the individual is under the care of a State-licensed medical specialist for that mental health condition.
(d) Special rule for neurological conditions. (1) In the case of an individual with a clinically diagnosed neurological condition, the ability to operate an aircraft under § 61.113(i) of this chapter shall not apply if—
(i) In the judgment of the individual's State-licensed medical specialist, the condition—
(A) Renders the individual unable to safely perform the duties or exercise the airman privileges required to operate an aircraft under § 61.113(i) of this chapter; or
(B) May reasonably be expected to make the individual unable to perform the duties or exercise the privileges required to operate an aircraft under § 61.113(i) of this chapter; or
(ii) The individual's driver's license is revoked by the issuing agency as a result of a clinically diagnosed neurological condition.
(2) Subject to paragraph (d)(1) of this section, an individual clinically diagnosed with a neurological condition shall certify every 2 years, in conjunction with the certification under § 68.3(b)(3), that the individual is under the care of a State-licensed medical specialist for that neurological condition.
(a) If the Administrator receives credible or urgent information, including from the National Driver Register or the Administrator's Safety Hotline, that reflects on an individual's ability to safely operate an aircraft under § 61.113(i) of this chapter, the Administrator may require the individual to provide additional information or history so that the Administrator may determine whether the individual is safe to continue operating under that section.
(b) The Administrator may use credible or urgent information received under paragraph (a) to request an individual to provide additional information or to take actions under 49 U.S.C. 44709(b).
FAA Order JO 7400.11K, Airspace Designations and Reporting Points, dated August 4, 2025, which lists Class A, B, C, D, and E airspace areas; air traffic service routes; and reporting points, was approved for incorporation by reference (IBR) by the Director of the Federal Register in accordance with 5U.S.C. 552 (a) and 1 CFR part 51. The approval to incorporate FAA Order JO 7400.11K by reference is effective September 15, 2025, through September 15, 2026. During the incorporation by reference period, proposed changes to the listings of Class A, B, C, D, and E airspace areas; air traffic service routes; and reporting points will be published in full text as proposed rule documents in the
The reporting points listed in subpart H of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) consist of geographic locations at which the position of an aircraft must be reported in accordance with part 91 of this chapter.
All bearings and radials in this part are true and are applied from point of origin and all mileages in this part are stated as nautical miles.
(a) When overlapping airspace designations apply to the same airspace, the operating rules associated with the more restrictive airspace designation apply.
(b) For the purpose of this section—
(1) Class A airspace is more restrictive than Class B, Class C, Class D, Class E, or Class G airspace;
(2) Class B airspace is more restrictive than Class C, Class D, Class E, or Class G airspace;
(3) Class C airspace is more restrictive than Class D, Class E, or Class G airspace;
(4) Class D airspace is more restrictive than Class E or Class G airspace; and
(5) Class E is more restrictive than Class G airspace.
Unless otherwise specified, the following apply:
(a) An Air Traffic Service (ATS) route is based on a centerline that extends from one navigation aid, fix, or intersection, to another navigation aid, fix, or intersection (or through several navigation aids, fixes, or intersections) specified for that route.
(b) An ATS route does not include the airspace of a prohibited area.
Unless otherwise specified, ATS routes are classified as follows:
(a) In subpart A of this part:
(1) Jet routes.
(2) Area navigation (RNAV) routes.
(b) In subpart E of this part:
(1) VOR Federal airways.
(2) Colored Federal airways.
(i) Green Federal airways.
(ii) Amber Federal airways.
(iii) Red Federal airways.
(iv) Blue Federal airways.
(3) Area navigation (RNAV) routes.
Unless otherwise specified, the place names appearing in the descriptions of airspace areas designated as jet routes in subpart A of FAA Order JO 7400.11K, and as VOR Federal airways in subpart E of FAA Order JO 7400.11K, are the names of VOR or VORTAC navigation aids. FAA Order JO 7400.11K is incorporated by reference in § 71.1.
The airspace descriptions contained in § 71.33 and the routes contained in subpart A of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) are designated as Class A airspace within which all pilots and aircraft are subject to the rating requirements, operating rules, and equipment requirements of part 91 of this chapter.
(a) That airspace of the United States, including that airspace overlying the waters within 12 nautical miles of the coast of the 48 contiguous States, from 18,000 feet MSL to and including FL600 excluding the states of Alaska and Hawaii.
(b) That airspace of the State of Alaska, including that airspace overlying the waters within 12 nautical miles of the coast, from 18,000 feet MSL to and including FL600 but not including the airspace less than 1,500 feet above the surface of the earth and the Alaska Peninsula west of longitude 160°00′00″ West.
(c) The airspace areas listed as offshore airspace areas in subpart A of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) that are designated in international airspace within areas of domestic radio navigational signal or ATC radar coverage, and within which domestic ATC procedures are applied.
The Class B airspace areas listed in subpart B of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) consist of specified airspace within which all aircraft operators are subject to the minimum pilot qualification requirements, operating rules, and aircraft equipment requirements of part 91 of this chapter. Each Class B airspace area designated for an airport in subpart B of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) contains at least one primary airport around which the airspace is designated.
The Class C airspace areas listed in subpart C of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) consist of specified airspace within which all aircraft operators are subject to operating rules and equipment requirements specified in part 91 of this chapter. Each Class C airspace area designated for an airport in subpart C of FAA Order JO 7400.11K. (incorporated by reference, see § 71.1) contains at least one primary airport around which the airspace is designated.
The Class D airspace areas listed in subpart D of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) consist of specified airspace within which all aircraft operators are subject to operating rules and equipment requirements specified in part 91 of this chapter. Each Class D airspace area designated for an airport in subpart D of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) contains at least one primary airport around which the airspace is designated.
Class E Airspace consists of:
(a) The airspace of the United States, including that airspace overlying the waters within 12 nautical miles of the coast of the 48 contiguous states and Alaska, extending upward from 14,500 feet MSL up to, but not including 18,000 feet MSL, and the airspace above FL600, excluding—
(1) The Alaska peninsula west of longitude 160°00′00″ W.; and
(2) The airspace below 1,500 feet above the surface of the earth.
(b) The airspace areas designated for an airport in subpart E of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) within which all aircraft operators are subject to the operating rules specified in part 91 of this chapter.
(c) The airspace areas listed as domestic airspace areas in subpart E of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) which extend upward from 700 feet or more above the surface of the earth when designated in conjunction with an airport for which an approved instrument approach procedure has been prescribed, or from 1,200 feet or more above the surface of the earth for the purpose of transitioning to or from the terminal or en route environment. When such areas are designated in conjunction with airways or routes, the extent of such designation has the lateral extent identical to that of a Federal airway and extends upward from 1,200 feet or higher. Unless otherwise specified, the airspace areas in the paragraph extend upward from 1,200 feet or higher above the surface to, but not including, 14,500 feet MSL.
(d) The Federal airways described in subpart E of FAA Order JO 7400.11K (incorporated by reference, see § 71.1).
(e) The airspace areas listed as en route domestic airspace areas in subpart E of FAA Order JO 7400.11K (incorporated by reference, see § 71.1). Unless otherwise specified, each airspace area has a lateral extent identical to that of a Federal airway and extends upward from 1,200 feet above the surface of the earth to the overlying or adjacent controlled airspace.
(f) The airspace areas listed as offshore airspace areas in subpart E of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) that are designated in international airspace within areas of domestic radio navigational signal or ATC radar coverage, and within which domestic ATC procedures are applied. Unless otherwise specified, each airspace area extends upward from a specified altitude up to, but not including, 18,000 feet MSL.
Unless otherwise designated:
(a) Each reporting point listed in subpart H of FAA Order JO 7400.11K (incorporated by reference, see § 71.1) applies to all directions of flight. In any case where a geographic location is designated as a reporting point for less than all airways passing through that point, or for a particular direction of flight along an airway only, it is so indicated by including the airways or direction of flight in the designation of geographical location.
(b) Place names appearing in the reporting point descriptions indicate VOR or VORTAC facilities identified by those names.
The airspace that is described in subpart B and subpart C of this part is designated as special use airspace. These parts prescribe the requirements for the use of that airspace.
(a) Special use airspace consists of airspace of defined dimensions identified by an area on the surface of the earth wherein activities must be confined because of their nature, or wherein limitations are imposed upon aircraft operations that are not a part of those activities, or both.
(b) The vertical limits of special use airspace are measured by designated altitude floors and ceilings expressed as flight levels or as feet above mean sea level. Unless otherwise specified, the word “to” (an altitude or flight level) means “to and including” (that altitude or flight level).
(c) The horizontal limits of special use airspace are measured by boundaries described by geographic coordinates or other appropriate references that clearly define their perimeter.
(d) The period of time during which a designation of special use airspace is in effect is stated in the designation.
(a) All bearings and radials in this part are true from point of origin.
(b) Unless otherwise specified, all mileages in this part are stated as statute miles.
This subpart designates restricted areas and prescribes limitations on the operation of aircraft within them.
No person may operate an aircraft within a restricted area between the designated altitudes and during the time of designation, unless he has the advance permission of
(a) The using agency described in § 73.15; or
(b) The controlling agency described in § 73.17.
(a) For the purposes of this subpart, the following are using agencies;
(1) The agency, organization, or military command whose activity within a restricted area necessitated the area being so designated.
(b) Upon the request of the FAA, the using agency shall execute a letter establishing procedures for joint use of a restricted area by the using agency and the controlling agency, under which the using agency would notify the controlling agency whenever the controlling agency may grant permission for transit through the restricted area in accordance with the terms of the letter.
(c) The using agency shall—
(1) Schedule activities within the restricted area;
(2) Authorize transit through, or flight within, the restricted area as feasible; and
(3) Contain within the restricted area all activities conducted therein in accordance with the purpose for which it was designated.
For the purposes of this part, the controlling agency is the FAA facility that may authorize transit through or flight within a restricted area in accordance with a joint-use letter issued under § 73.15.
(a) Each using agency must prepare a report on the use of each restricted area assigned thereto during any part of the preceding 12-month period ended September 30, and transmit it by the following January 31 of each year to the Manager, Operations Support Group in the ATO Service Center office of the Federal Aviation Administration having jurisdiction over the area in which the restricted area is located, with a copy to the Manager, Airspace Policy Group, Federal Aviation Administration, 800 Independence Avenue SW, Washington, DC 20591.
(b) In the report under this section the using agency must:
(1) State the name and number of the restricted area as published in this part, and the period covered by the report.
(2) State the activities (including average daily number of operations if appropriate) conducted in the area, and any other pertinent information concerning current and future electronic monitoring devices.
(3) State the number of hours daily, the days of the week, and the number of weeks during the year that the area was used.
(4) For restricted areas having a joint-use designation, also state the number of hours daily, the days of the week, and the number of weeks during the year that the restricted area was released to the controlling agency for public use.
(5) State the mean sea level altitudes or flight levels (whichever is appropriate) used in aircraft operations and the maximum and average ordinate of surface firing (expressed in feet, mean sea level altitude) used on a daily, weekly, and yearly basis.
(6) Include a chart of the area (of optional scale and design) depicting, if used, aircraft operating areas, flight patterns, ordnance delivery areas, surface firing points, and target, fan, and impact areas. After once submitting an appropriate chart, subsequent annual charts are not required unless there is a change in the area, activity or altitude (or flight levels) used, which might alter the depiction of the activities originally reported. If no change is to be submitted, a statement indicating “no change” shall be included in the report.
(7) Include any other information not otherwise required under this part which is considered pertinent to activities carried on in the restricted area.
(c) If it is determined that the information submitted under paragraph (b) of this section is not sufficient to evaluate the nature and extent of the use of a restricted area, the FAA may request the using agency to submit supplementary reports. Within 60 days after receiving a request for additional information, the using agency must submit such information as the FAA Service Center Operations Support Group Manager considers appropriate. Supplementary reports must be sent to the FAA officials designated in paragraph (a) of this section.
This subpart designates prohibited areas and prescribes limitations on the operation of aircraft therein.
No person may operate an aircraft within a prohibited area unless authorization has been granted by the using agency.
For the purpose of this subpart, the using agency is the agency, organization or military command that established the requirements for the prohibited area.
This part establishes:
(a) The requirements to provide notice to the FAA of certain proposed construction, or the alteration of existing structures;
(b) The standards used to determine obstructions to air navigation, and navigational and communication facilities;
(c) The process for aeronautical studies of obstructions to air navigation or navigational facilities to determine the effect on the safe and efficient use of navigable airspace, air navigation facilities or equipment; and
(d) The process to petition the FAA for discretionary review of determinations, revisions, and extensions of determinations.
For the purpose of this part:
Non-precision instrument runway means a runway having an existing instrument approach procedure utilizing air navigation facilities with only horizontal guidance, or area type navigation equipment, for which a straight-in non-precision instrument approach procedure has been approved, or planned, and for which no precision approach facilities are planned, or indicated on an FAA planning document or military service military airport planning document.
Planned or proposed airport is an airport that is the subject of at least one of the following documents received by the FAA:
(1) Airport proposals submitted under 14 CFR part 157.
(2) Airport Improvement Program requests for aid.
(3) Notices of existing airports where prior notice of the airport construction or alteration was not provided as required by 14 CFR part 157.
(4) Airport layout plans.
(5) DOD proposals for airports used only by the U.S. Armed Forces.
(6) DOD proposals on joint-use (civil-military) airports.
(7) Completed airport site selection feasibility study.
Precision instrument runway means a runway having an existing instrument approach procedure utilizing an Instrument Landing System (ILS), or a Precision Approach Radar (PAR). It also means a runway for which a precision approach system is planned and is so indicated by an FAA-approved airport layout plan; a military service approved military airport layout plan; any other FAA planning document, or military service military airport planning document.
Public use airport is an airport available for use by the general public without a requirement for prior approval of the airport owner or operator.
Seaplane base is considered to be an airport only if its sea lanes are outlined by visual markers.
Utility runway means a runway that is constructed for and intended to be used by propeller driven aircraft of 12,500 pounds maximum gross weight and less.
Visual runway means a runway intended solely for the operation of aircraft using visual approach procedures, with no straight-in instrument approach procedure and no instrument designation indicated on an FAA-approved airport layout plan, a military service approved military airport layout plan, or by any planning document submitted to the FAA by competent authority.
(a) If you propose any construction or alteration described in § 77.9, you must provide adequate notice to the FAA of that construction or alteration.
(b) If requested by the FAA, you must also file supplemental notice before the start date and upon completion of certain construction or alterations that are described in § 77.9.
(c) Notice received by the FAA under this subpart is used to:
(1) Evaluate the effect of the proposed construction or alteration on safety in air commerce and the efficient use and preservation of the navigable airspace and of airport traffic capacity at public use airports;
(2) Determine whether the effect of proposed construction or alteration is a hazard to air navigation;
(3) Determine appropriate marking and lighting recommendations, using FAA Advisory Circular 70/7460-1, Obstruction Marking and Lighting;
(4) Determine other appropriate measures to be applied for continued safety of air navigation; and
(5) Notify the aviation community of the construction or alteration of objects that affect the navigable airspace, including the revision of charts, when necessary.
(a) If you are required to file notice under § 77.9, you must submit to the FAA a completed FAA Form 7460-1, Notice of Proposed Construction or Alteration. FAA Form 7460-1 is available at FAA regional offices and on the Internet.
(b) You must submit this form at least 45 days before the start date of the proposed construction or alteration or the date an application for a construction permit is filed, whichever is earliest.
(c) If you propose construction or alteration that is also subject to the licensing requirements of the Federal Communications Commission (FCC), you must submit notice to the FAA on or before the date that the application is filed with the FCC.
(d) If you propose construction or alteration to an existing structure that exceeds 2,000 ft. in height above ground level (AGL), the FAA presumes it to be a hazard to air navigation that results in an inefficient use of airspace. You must include details explaining both why the proposal would not constitute a hazard to air navigation and why it would not cause an inefficient use of airspace.
(e) The 45-day advance notice requirement is waived if immediate construction or alteration is required because of an emergency involving essential public services, public health, or public safety. You may provide notice to the FAA by any available, expeditious means. You must file a completed FAA Form 7460-1 within 5 days of the initial notice to the FAA. Outside normal business hours, the nearest flight service station will accept emergency notices.
If requested by the FAA, or if you propose any of the following types of construction or alteration, you must file notice with the FAA of:
(a) Any construction or alteration that is more than 200 ft. AGL at its site.
(b) Any construction or alteration that exceeds an imaginary surface extending outward and upward at any of the following slopes:
(1) 100 to 1 for a horizontal distance of 20,000 ft. from the nearest point of the nearest runway of each airport described in paragraph (d) of this section with its longest runway more than 3,200 ft. in actual length, excluding heliports.
(2) 50 to 1 for a horizontal distance of 10,000 ft. from the nearest point of the nearest runway of each airport described in paragraph (d) of this section with its longest runway no more than 3,200 ft. in actual length, excluding heliports.
(3) 25 to 1 for a horizontal distance of 5,000 ft. from the nearest point of the nearest landing and takeoff area of each heliport described in paragraph (d) of this section.
(c) Any highway, railroad, or other traverse way for mobile objects, of a height which, if adjusted upward 17 feet for an Interstate Highway that is part of the National System of Military and Interstate Highways where overcrossings are designed for a minimum of 17 feet vertical distance, 15 feet for any other public roadway, 10 feet or the height of the highest mobile object that would normally traverse the road, whichever is greater, for a private road, 23 feet for a railroad, and for a waterway or any other traverse way not previously mentioned, an amount equal to the height of the highest mobile object that would normally traverse it, would exceed a standard of paragraph (a) or (b) of this section.
(d) Any construction or alteration on any of the following airports and heliports:
(1) A public use airport listed in the Airport/Facility Directory, Alaska Supplement, or Pacific Chart Supplement of the U.S. Government Flight Information Publications;
(2) A military airport under construction, or an airport under construction that will be available for public use;
(3) An airport operated by a Federal agency or the DOD.
(4) An airport or heliport with at least one FAA-approved instrument approach procedure.
(e) You do not need to file notice for construction or alteration of:
(1) Any object that will be shielded by existing structures of a permanent and substantial nature or by natural terrain or topographic features of equal or greater height, and will be located in the congested area of a city, town, or settlement where the shielded structure will not adversely affect safety in air navigation;
(2) Any air navigation facility, airport visual approach or landing aid, aircraft arresting device, or meteorological device meeting FAA-approved siting criteria or an appropriate military service siting criteria on military airports, the location and height of which are fixed by its functional purpose;
(3) Any construction or alteration for which notice is required by any other FAA regulation.
(4) Any antenna structure of 20 feet or less in height, except one that would increase the height of another antenna structure.
(a) You must file supplemental notice with the FAA when:
(1) The construction or alteration is more than 200 feet in height AGL at its site; or
(2) Requested by the FAA.
(b) You must file supplemental notice on a prescribed FAA form to be received within the time limits specified in the FAA determination. If no time limit has been specified, you must submit supplemental notice of construction to the FAA within 5 days after the structure reaches its greatest height.
(c) If you abandon a construction or alteration proposal that requires supplemental notice, you must submit notice to the FAA within 5 days after the project is abandoned.
(d) If the construction or alteration is dismantled or destroyed, you must submit notice to the FAA within 5 days after the construction or alteration is dismantled or destroyed.
This subpart describes the standards used for determining obstructions to air navigation, navigational aids, or navigational facilities. These standards apply to the following:
(a) Any object of natural growth, terrain, or permanent or temporary construction or alteration, including equipment or materials used and any permanent or temporary apparatus.
(b) The alteration of any permanent or temporary existing structure by a change in its height, including appurtenances, or lateral dimensions, including equipment or material used therein.
(a) This subpart describes standards used to determine obstructions to air navigation that may affect the safe and efficient use of navigable airspace and the operation of planned or existing air navigation and communication facilities. Such facilities include air navigation aids, communication equipment, airports, Federal airways, instrument approach or departure procedures, and approved off-airway routes.
(b) Objects that are considered obstructions under the standards described in this subpart are presumed hazards to air navigation unless further aeronautical study concludes that the object is not a hazard. Once further aeronautical study has been initiated, the FAA will use the standards in this subpart, along with FAA policy and guidance material, to determine if the object is a hazard to air navigation.
(c) The FAA will apply these standards with reference to an existing airport facility, and airport proposals received by the FAA, or the appropriate military service, before it issues a final determination.
(d) For airports having defined runways with specially prepared hard surfaces, the primary surface for each runway extends 200 feet beyond each end of the runway. For airports having defined strips or pathways used regularly for aircraft takeoffs and landings, and designated runways, without specially prepared hard surfaces, each end of the primary surface for each such runway shall coincide with the corresponding end of the runway. At airports, excluding seaplane bases, having a defined landing and takeoff area with no defined pathways for aircraft takeoffs and landings, a determination must be made as to which portions of the landing and takeoff area are regularly used as landing and takeoff pathways. Those determined pathways must be considered runways, and an appropriate primary surface as defined in § 77.19 will be considered as longitudinally centered on each such runway. Each end of that primary surface must coincide with the corresponding end of that runway.
(e) The standards in this subpart apply to construction or alteration proposals on an airport (including heliports and seaplane bases with marked lanes) if that airport is one of the following before the issuance of the final determination:
(1) Available for public use and is listed in the Airport/Facility Directory, Supplement Alaska, or Supplement Pacific of the U.S. Government Flight Information Publications; or
(2) A planned or proposed airport or an airport under construction of which the FAA has received actual notice, except DOD airports, where there is a clear indication the airport will be available for public use; or,
(3) An airport operated by a Federal agency or the DOD; or,
(4) An airport that has at least one FAA-approved instrument approach.
(a) An existing object, including a mobile object, is, and a future object would be an obstruction to air navigation if it is of greater height than any of the following heights or surfaces:
(1) A height of 499 feet AGL at the site of the object.
(2) A height that is 200 feet AGL, or above the established airport elevation, whichever is higher, within 3 nautical miles of the established reference point of an airport, excluding heliports, with its longest runway more than 3,200 feet in actual length, and that height increases in the proportion of 100 feet for each additional nautical mile from the airport up to a maximum of 499 feet.
(3) A height within a terminal obstacle clearance area, including an initial approach segment, a departure area, and a circling approach area, which would result in the vertical distance between any point on the object and an established minimum instrument flight altitude within that area or segment to be less than the required obstacle clearance.
(4) A height within an en route obstacle clearance area, including turn and termination areas, of a Federal Airway or approved off-airway route, that would increase the minimum obstacle clearance altitude.
(5) The surface of a takeoff and landing area of an airport or any imaginary surface established under § 77.19, 77.21, or 77.23. However, no part of the takeoff or landing area itself will be considered an obstruction.
(b) Except for traverse ways on or near an airport with an operative ground traffic control service furnished by an airport traffic control tower or by the airport management and coordinated with the air traffic control service, the standards of paragraph (a) of this section apply to traverse ways used or to be used for the passage of mobile objects only after the heights of these traverse ways are increased by:
(1) 17 feet for an Interstate Highway that is part of the National System of Military and Interstate Highways where overcrossings are designed for a minimum of 17 feet vertical distance.
(2) 15 feet for any other public roadway.
(3) 10 feet or the height of the highest mobile object that would normally traverse the road, whichever is greater, for a private road.
(4) 23 feet for a railroad.
(5) For a waterway or any other traverse way not previously mentioned, an amount equal to the height of the highest mobile object that would normally traverse it.
The following civil airport imaginary surfaces are established with relation to the airport and to each runway. The size of each such imaginary surface is based on the category of each runway according to the type of approach available or planned for that runway. The slope and dimensions of the approach surface applied to each end of a runway are determined by the most precise approach procedure existing or planned for that runway end.
(a) Horizontal surface. A horizontal plane 150 feet above the established airport elevation, the perimeter of which is constructed by swinging arcs of a specified radii from the center of each end of the primary surface of each runway of each airport and connecting the adjacent arcs by lines tangent to those arcs. The radius of each arc is:
(1) 5,000 feet for all runways designated as utility or visual;
(2) 10,000 feet for all other runways. The radius of the arc specified for each end of a runway will have the same arithmetical value. That value will be the highest determined for either end of the runway. When a 5,000-foot arc is encompassed by tangents connecting two adjacent 10,000-foot arcs, the 5,000-foot arc shall be disregarded on the construction of the perimeter of the horizontal surface.
(b) Conical surface. A surface extending outward and upward from the periphery of the horizontal surface at a slope of 20 to 1 for a horizontal distance of 4,000 feet.
(c) Primary surface. A surface longitudinally centered on a runway. When the runway has a specially prepared hard surface, the primary surface extends 200 feet beyond each end of that runway; but when the runway has no specially prepared hard surface, the primary surface ends at each end of that runway. The elevation of any point on the primary surface is the same as the elevation of the nearest point on the runway centerline. The width of the primary surface is:
(1) 250 feet for utility runways having only visual approaches.
(2) 500 feet for utility runways having non-precision instrument approaches.
(3) For other than utility runways, the width is:
(i) 500 feet for visual runways having only visual approaches.
(ii) 500 feet for non-precision instrument runways having visibility minimums greater than three-fourths statute mile.
(iii) 1,000 feet for a non-precision instrument runway having a non-precision instrument approach with visibility minimums as low as three-fourths of a statute mile, and for precision instrument runways.
(iv) The width of the primary surface of a runway will be that width prescribed in this section for the most precise approach existing or planned for either end of that runway.
(d) Approach surface. A surface longitudinally centered on the extended runway centerline and extending outward and upward from each end of the primary surface. An approach surface is applied to each end of each runway based upon the type of approach available or planned for that runway end.
(1) The inner edge of the approach surface is the same width as the primary surface and it expands uniformly to a width of:
(i) 1,250 feet for that end of a utility runway with only visual approaches;
(ii) 1,500 feet for that end of a runway other than a utility runway with only visual approaches;
(iii) 2,000 feet for that end of a utility runway with a non-precision instrument approach;
(iv) 3,500 feet for that end of a non-precision instrument runway other than utility, having visibility minimums greater that three-fourths of a statute mile;
(v) 4,000 feet for that end of a non-precision instrument runway, other than utility, having a non-precision instrument approach with visibility minimums as low as three-fourths statute mile; and
(vi) 16,000 feet for precision instrument runways.
(2) The approach surface extends for a horizontal distance of:
(i) 5,000 feet at a slope of 20 to 1 for all utility and visual runways;
(ii) 10,000 feet at a slope of 34 to 1 for all non-precision instrument runways other than utility; and
(iii) 10,000 feet at a slope of 50 to 1 with an additional 40,000 feet at a slope of 40 to 1 for all precision instrument runways.
(3) The outer width of an approach surface to an end of a runway will be that width prescribed in this subsection for the most precise approach existing or planned for that runway end.
(e) Transitional surface. These surfaces extend outward and upward at right angles to the runway centerline and the runway centerline extended at a slope of 7 to 1 from the sides of the primary surface and from the sides of the approach surfaces. Transitional surfaces for those portions of the precision approach surface which project through and beyond the limits of the conical surface, extend a distance of 5,000 feet measured horizontally from the edge of the approach surface and at right angles to the runway centerline.
(a) Related to airport reference points. These surfaces apply to all military airports. For the purposes of this section, a military airport is any airport operated by the DOD.
(1) Inner horizontal surface. A plane that is oval in shape at a height of 150 feet above the established airfield elevation. The plane is constructed by scribing an arc with a radius of 7,500 feet about the centerline at the end of each runway and interconnecting these arcs with tangents.
(2) Conical surface. A surface extending from the periphery of the inner horizontal surface outward and upward at a slope of 20 to 1 for a horizontal distance of 7,000 feet to a height of 500 feet above the established airfield elevation.
(3) Outer horizontal surface. A plane, located 500 feet above the established airfield elevation, extending outward from the outer periphery of the conical surface for a horizontal distance of 30,000 feet.
(b) Related to runways. These surfaces apply to all military airports.
(1) Primary surface. A surface located on the ground or water longitudinally centered on each runway with the same length as the runway. The width of the primary surface for runways is 2,000 feet. However, at established bases where substantial construction has taken place in accordance with a previous lateral clearance criteria, the 2,000-foot width may be reduced to the former criteria.
(2) Clear zone surface. A surface located on the ground or water at each end of the primary surface, with a length of 1,000 feet and the same width as the primary surface.
(3) Approach clearance surface. An inclined plane, symmetrical about the runway centerline extended, beginning 200 feet beyond each end of the primary surface at the centerline elevation of the runway end and extending for 50,000 feet. The slope of the approach clearance surface is 50 to 1 along the runway centerline extended until it reaches an elevation of 500 feet above the established airport elevation. It then continues horizontally at this elevation to a point 50,000 feet from the point of beginning. The width of this surface at the runway end is the same as the primary surface, it flares uniformly, and the width at 50,000 is 16,000 feet.
(4) Transitional surfaces. These surfaces connect the primary surfaces, the first 200 feet of the clear zone surfaces, and the approach clearance surfaces to the inner horizontal surface, conical surface, outer horizontal surface or other transitional surfaces. The slope of the transitional surface is 7 to 1 outward and upward at right angles to the runway centerline.
(a) Primary surface. The area of the primary surface coincides in size and shape with the designated take-off and landing area. This surface is a horizontal plane at the elevation of the established heliport elevation.
(b) Approach surface. The approach surface begins at each end of the heliport primary surface with the same width as the primary surface, and extends outward and upward for a horizontal distance of 4,000 feet where its width is 500 feet. The slope of the approach surface is 8 to 1 for civil heliports and 10 to 1 for military heliports.
(c) Transitional surfaces. These surfaces extend outward and upward from the lateral boundaries of the primary surface and from the approach surfaces at a slope of 2 to 1 for a distance of 250 feet measured horizontally from the centerline of the primary and approach surfaces.
(a) This subpart applies to any aeronautical study of a proposed construction or alteration for which notice to the FAA is required under § 77.9.
(b) The purpose of an aeronautical study is to determine whether the aeronautical effects of the specific proposal and, where appropriate, the cumulative impact resulting from the proposed construction or alteration when combined with the effects of other existing or proposed structures, would constitute a hazard to air navigation.
(c) The obstruction standards in subpart C of this part are supplemented by other manuals and directives used in determining the effect on the navigable airspace of a proposed construction or alteration. When the FAA needs additional information, it may circulate a study to interested parties for comment.
The FAA will conduct an aeronautical study when:
(a) Requested by the sponsor of any proposed construction or alteration for which a notice is submitted; or
(b) The FAA determines a study is necessary.
(a) The FAA conducts an aeronautical study to determine the impact of a proposed structure, an existing structure that has not yet been studied by the FAA, or an alteration of an existing structure on aeronautical operations, procedures, and the safety of flight. These studies include evaluating:
(1) The impact on arrival, departure, and en route procedures for aircraft operating under visual flight rules;
(2) The impact on arrival, departure, and en route procedures for aircraft operating under instrument flight rules;
(3) The impact on existing and planned public use airports;
(4) Airport traffic capacity of existing public use airports and public use airport development plans received before the issuance of the final determination;
(5) Minimum obstacle clearance altitudes, minimum instrument flight rules altitudes, approved or planned instrument approach procedures, and departure procedures;
(6) The potential effect on ATC radar, direction finders, ATC tower line-of-sight visibility, and physical or electromagnetic effects on air navigation, communication facilities, and other surveillance systems;
(7) The aeronautical effects resulting from the cumulative impact of a proposed construction or alteration of a structure when combined with the effects of other existing or proposed structures.
(b) If you withdraw the proposed construction or alteration or revise it so that it is no longer identified as an obstruction, or if no further aeronautical study is necessary, the FAA may terminate the study.
(a) The FAA will issue a determination stating whether the proposed construction or alteration would be a hazard to air navigation, and will advise all known interested persons.
(b) The FAA will make determinations based on the aeronautical study findings and will identify the following:
(1) The effects on VFR/IFR aeronautical departure/arrival operations, air traffic procedures, minimum flight altitudes, and existing, planned, or proposed airports listed in § 77.15(e) of which the FAA has received actual notice prior to issuance of a final determination.
(2) The extent of the physical and/or electromagnetic effect on the operation of existing or proposed air navigation facilities, communication aids, or surveillance systems.
(c) The FAA will issue a Determination of Hazard to Air Navigation when the aeronautical study concludes that the proposed construction or alteration will exceed an obstruction standard and would have a substantial aeronautical impact.
(d) A Determination of No Hazard to Air Navigation will be issued when the aeronautical study concludes that the proposed construction or alteration will exceed an obstruction standard but would not have a substantial aeronautical impact to air navigation. A Determination of No Hazard to Air Navigation may include the following:
(1) Conditional provisions of a determination.
(2) Limitations necessary to minimize potential problems, such as the use of temporary construction equipment.
(3) Supplemental notice requirements, when required.
(4) Marking and lighting recommendations, as appropriate.
(e) The FAA will issue a Determination of No Hazard to Air Navigation when a proposed structure does not exceed any of the obstruction standards and would not be a hazard to air navigation.
(a) The effective date of a determination not subject to discretionary review under 77.37(b) is the date of issuance. The effective date of all other determinations for a proposed or existing structure is 40 days from the date of issuance, provided a valid petition for review has not been received by the FAA. If a valid petition for review is filed, the determination will not become final, pending disposition of the petition.
(b) Unless extended, revised, or terminated, each Determination of No Hazard to Air Navigation issued under this subpart expires 18 months after the effective date of the determination, or on the date the proposed construction or alteration is abandoned, whichever is earlier.
(c) A Determination of Hazard to Air Navigation has no expiration date.
(a) You may petition the FAA official that issued the Determination of No Hazard to Air Navigation to revise or reconsider the determination based on new facts or to extend the effective period of the determination, provided that:
(1) Actual structural work of the proposed construction or alteration, such as the laying of a foundation, but not including excavation, has not been started; and
(2) The petition is submitted at least 15 days before the expiration date of the Determination of No Hazard to Air Navigation.
(b) A Determination of No Hazard to Air Navigation issued for those construction or alteration proposals not requiring an FCC construction permit may be extended by the FAA one time for a period not to exceed 18 months.
(c) A Determination of No Hazard to Air Navigation issued for a proposal requiring an FCC construction permit may be granted extensions for up to 18 months, provided that:
(1) You submit evidence that an application for a construction permit/license was filed with the FCC for the associated site within 6 months of issuance of the determination; and
(2) You submit evidence that additional time is warranted because of FCC requirements; and
(3) Where the FCC issues a construction permit, a final Determination of No Hazard to Air Navigation is effective until the date prescribed by the FCC for completion of the construction. If an extension of the original FCC completion date is needed, an extension of the FAA determination must be requested from the Obstruction Evaluation Service (OES).
(4) If the Commission refuses to issue a construction permit, the final determination expires on the date of its refusal.
(a) If you are the sponsor, provided a substantive aeronautical comment on a proposal in an aeronautical study, or have a substantive aeronautical comment on the proposal but were not given an opportunity to state it, you may petition the FAA for a discretionary review of a determination, revision, or extension of a determination issued by the FAA.
(b) You may not file a petition for discretionary review for a Determination of No Hazard that is issued for a temporary structure, marking and lighting recommendation, or when a proposed structure or alteration does not exceed obstruction standards contained in subpart C of this part.
(a) You must file a petition for discretionary review in writing and it must be received by the FAA within 30 days after the issuance of a determination under § 77.31, or a revision or extension of the determination under § 77.35.
(b) The petition must contain a full statement of the aeronautical basis on which the petition is made, and must include new information or facts not previously considered or presented during the aeronautical study, including valid aeronautical reasons why the determination, revisions, or extension made by the FAA should be reviewed.
(c) In the event that the last day of the 30-day filing period falls on a weekend or a day the Federal government is closed, the last day of the filing period is the next day that the government is open.
(d) The FAA will inform the petitioner or sponsor (if other than the petitioner) and the FCC (whenever an FCC-related proposal is involved) of the filing of the petition and that the determination is not final pending disposition of the petition.
(a) If discretionary review is granted, the FAA will inform the petitioner and the sponsor (if other than the petitioner) of the issues to be studied and reviewed. The review may include a request for comments and a review of all records from the initial aeronautical study.
(b) If discretionary review is denied, the FAA will notify the petitioner and the sponsor (if other than the petitioner), and the FCC, whenever a FCC-related proposal is involved, of the basis for the denial along with a statement that the determination is final.
(c) After concluding the discretionary review process, the FAA will revise, affirm, or reverse the determination.
The following definitions apply to this part.
Declaration of compliance means a record submitted to the FAA by the producer of a standard remote identification unmanned aircraft or remote identification broadcast module to attest that all the requirements of subpart F of this part have been met.
Home-built unmanned aircraft means an unmanned aircraft that an individual built solely for education or recreation.
(a) Except as provided in paragraph (b) of this section, this subpart applies to the following:
(1) Persons operating unmanned aircraft registered or required to be registered under part 47 or 48 of this chapter.
(2) Persons operating foreign civil unmanned aircraft in the United States.
(b) This subpart does not apply to unmanned aircraft operations under part 91 of this chapter that are transmitting ADS-B Out pursuant to § 91.225.
Except as otherwise authorized by the Administrator or as provided in § 89.120, after September 16, 2023, no person may operate an unmanned aircraft within the airspace of the United States unless the operation meets the requirements of § 89.110 or § 89.115.
Unless otherwise authorized by the Administrator, a person may comply with the remote identification requirement of § 89.105 by operating a standard remote identification unmanned aircraft under the following conditions:
(a) Operational requirements. A person may operate a standard remote identification unmanned aircraft only if the person operating the standard remote identification unmanned aircraft ensures that all of the following conditions are met:
(1) From takeoff to shutdown, the standard remote identification unmanned aircraft must broadcast the message elements of § 89.305.
(2) The person manipulating the flight controls of the unmanned aircraft system must land the unmanned aircraft as soon as practicable if the standard remote identification unmanned aircraft is no longer broadcasting the message elements of § 89.305.
(b) Standard remote identification unmanned aircraft requirements. A person may operate a standard remote identification unmanned aircraft only if the unmanned aircraft meets all of the following requirements:
(1) Its serial number is listed on an FAA-accepted declaration of compliance, or the standard remote identification unmanned aircraft is covered by a design approval or production approval issued under part 21 of this chapter and meets the requirements of subpart F of this part.
(2) Its remote identification equipment is functional and complies with the requirements of this part from takeoff to shutdown.
(3) Its remote identification equipment and functionality have not been disabled.
(4) The Certificate of Aircraft Registration of the unmanned aircraft used in the operation must include the serial number of the unmanned aircraft, as per applicable requirements of parts 47 and 48 of this chapter, or the serial number of the unmanned aircraft must be provided to the FAA in a notice of identification pursuant to § 89.130 prior to the operation.
A person operating an unmanned aircraft that is not a standard remote identification unmanned aircraft may comply with the remote identification requirement of § 89.105 by meeting all of the requirements of either paragraph (a) or (b) of this section.
(a) Remote identification broadcast modules. Unless otherwise authorized by the Administrator, a person may operate an unmanned aircraft that is not a standard remote identification unmanned aircraft if all of the following conditions are met:
(1) Equipage. (i) The unmanned aircraft used in the operation must be equipped with a remote identification broadcast module that meets the requirements of § 89.320 and the serial number of the remote identification broadcast module must be listed on an FAA-accepted declaration of compliance.
(ii) The Certificate of Aircraft Registration of the unmanned aircraft used in the operation must include the serial number of the remote identification broadcast module, as per applicable requirements of parts 47 and 48 of this chapter, or the serial number of the unmanned aircraft must be provided to the FAA in a notice of identification pursuant to § 89.130 prior to the operation.
(2) Remote identification operating requirements. Unless otherwise authorized by the Administrator, a person may operate an unmanned aircraft under this paragraph (a) only if all of the following conditions are met:
(i) From takeoff to shutdown, the person operating the unmanned aircraft must ensure that the remote identification broadcast module broadcasts the remote identification message elements of § 89.315 directly from the unmanned aircraft.
(ii) The person manipulating the flight controls of the unmanned aircraft system must be able to see the unmanned aircraft at all times throughout the operation.
(3) Pre-flight requirement. Prior to takeoff, the person manipulating the flight controls of the unmanned aircraft system must ensure the remote identification broadcast module is functioning in accordance with this subpart.
(4) In-flight loss of remote identification broadcast. The person manipulating the flight controls of the unmanned aircraft system must land the unmanned aircraft as soon as practicable if the unmanned aircraft is no longer broadcasting the message elements of § 89.315.
(b) Operations at FAA-recognized identification areas. Unless otherwise authorized by the Administrator, a person may operate an unmanned aircraft without remote identification equipment only if all of the following conditions are met:
(1) The unmanned aircraft and the person manipulating the flight controls of the unmanned aircraft system remain within the boundaries of an FAA-recognized identification area throughout the operation; and
(2) The person manipulating the flight controls of the unmanned aircraft system must be able to see the unmanned aircraft at all times throughout the operation.
The Administrator may authorize operations without remote identification where the operation is solely for the purpose of aeronautical research or to show compliance with regulations.
Automatic Dependent Surveillance-Broadcast (ADS-B) Out equipment cannot be used to comply with the remote identification requirements of this part.
(a) Notification requirement. No person may operate a foreign registered civil unmanned aircraft with remote identification in the airspace of the United States unless, prior to the operation, the person submits a notice of identification in a form and manner acceptable to the Administrator. The notice of identification must include all of the following:
(1) The name of the person operating the foreign registered civil unmanned aircraft in the United States, and, if applicable, the person's authorized representative.
(2) The physical address of the person operating the foreign registered civil unmanned aircraft in the United States, and, if applicable, the physical address for the person's authorized representative. If the operator or authorized representative does not receive mail at the physical address, a mailing address must also be provided.
(3) The telephone number(s) where the person operating the foreign registered civil unmanned aircraft in the United States, and, if applicable, the person's authorized representative can be reached while in the United States.
(4) The email address of the person operating the foreign registered civil unmanned aircraft in the United States, and, if applicable, the email address of the person's authorized representative.
(5) The unmanned aircraft manufacturer and model name.
(6) The serial number of the unmanned aircraft or remote identification broadcast module.
(7) The country of registration of the unmanned aircraft.
(8) The registration number.
(b) Issuance of a Confirmation of Identification. (1) The FAA will issue a Confirmation of Identification upon completion of the notification requirements provided in paragraph (a) of this section.
(2) The filing of a notification under paragraph (a) of this section and the Confirmation of Identification issued under paragraph (b)(1) of this section do not have the effect of United States aircraft registration.
(c) Proof of notification. No person may operate a foreign registered civil unmanned aircraft with remote identification in the United States unless the person obtains a Confirmation of Identification under paragraph (b)(1) of this section, maintains such Confirmation of Identification at the unmanned aircraft's control station, and produces the Confirmation of Identification when requested by the FAA or a law enforcement officer.
(d) Requirement to maintain current information. The holder of a Confirmation of Identification must ensure that the information provided under paragraph (a) of this section remains accurate and must update the information prior to operating a foreign registered civil unmanned aircraft in the United States.
This subpart prescribes procedural requirements to establish an FAA-recognized identification area.
Only the following persons are eligible to apply for the establishment of an FAA-recognized identification area under this subpart:
(a) A community-based organization recognized by the Administrator.
(b) An educational institution, including primary and secondary educational institutions, trade schools, colleges, and universities.
(a) Application. An eligible person requesting the establishment of an FAA-recognized identification area under this subpart may submit an application in a form and manner acceptable to the Administrator.
(b) Required documentation. A request under this subpart must contain all of the following information:
(1) The name of the eligible person under § 89.205.
(2) The name of the individual making the request on behalf of the eligible person.
(3) A declaration that the individual making the request has the authority to act on behalf of the community-based organization or educational institution.
(4) The name and contact information of the primary point of contact for communications with the FAA.
(5) The physical address of the proposed FAA-recognized identification area.
(6) The location of the proposed FAA-recognized identification area in a form and manner prescribed by the Administrator.
(7) If applicable, a copy of any existing letter of agreement regarding the flying site.
(8) Description of the intended purpose of the FAA-recognized identification area and why the proposed FAA-recognized identification area is necessary for that purpose.
(9) Any other information required by the Administrator.
The Administrator will assess applications for FAA-recognized identification areas and may require additional information or documentation, as needed, to supplement an application. The Administrator will approve or deny an application, and may take into consideration matters such as, but not limited to:
(a) The existence of any FAA established flight or airspace restriction limiting the operation of unmanned aircraft systems, such as special use airspace designations under part 73 of this chapter, temporary flight restrictions issued under part 91 of this chapter, or any other special flight rule, restriction or regulation in this chapter limiting the operation of unmanned aircraft systems in the interest of safety, efficiency, national security and/or homeland security, which overlaps with the proposed FAA-recognized identification area.
(b) The safe and efficient use of airspace by other aircraft.
(c) The safety and security of persons or property on the ground.
(d) The need for an FAA-recognized identification area in the proposed location and proximity of other FAA-recognized identification areas.
(a) From the time of application until expiration or termination of an FAA-recognized identification area, any change to the information submitted in the application including but not limited to a change to the point of contact for the FAA-recognized identification area or a change to the FAA-recognized identification area's organizational affiliation must be submitted to the FAA within 10 calendar days of the change.
(b) If the person who has been granted an FAA-recognized identification area wishes to change the geographic boundaries of the FAA-recognized identification area, the person must submit a request describing the change to the FAA for review. The geographic boundaries of the FAA-recognized identification area will not change unless the requested change is approved in accordance with § 89.215.
(c) The establishment of an FAA-recognized identification area is subject to ongoing review in accordance with § 89.215 by the Administrator that may result in the termination of the FAA-recognized identification area pursuant to § 89.230 or modification of the FAA-recognized identification area.
(a) Duration. Except as otherwise provided in this subpart, an FAA-recognized identification area will be in effect for 48 calendar months after the date the FAA approves the request for establishment of an FAA-recognized identification area.
(b) Renewal. A person wishing to renew an FAA-recognized identification area must submit a request for renewal no later than 120 days prior to the expiration of the FAA-recognized identification area in a form and manner acceptable to the Administrator. The Administrator may deny requests submitted after that deadline or requests submitted after the expiration.
(a) Expiration. Unless renewed, an FAA-recognized identification area issued under this subpart will expire automatically and will have no further force or effect as of the day that immediately follows the date of expiration.
(b) Termination prior to expiration—(1) Termination by request. An individual identified as the point of contact for an approved FAA-recognized identification area may submit a request to the Administrator to terminate that FAA-recognized identification area.
(2) Termination by FAA. (i) The FAA may terminate an FAA-recognized identification area upon a finding that—
(A) The FAA-recognized identification area may pose a risk to aviation safety, public safety, homeland security, or national security;
(B) The FAA-recognized identification area is no longer associated with a person eligible for an FAA-recognized identification area; or
(C) The person who submitted a request for establishment of an FAA-recognized identification area provided false or misleading information during the submission, amendment, or renewal process.
(ii) The Administrator will notify the primary point of contact of the decision to terminate the FAA-recognized identification area and the reasons for the termination. Except as provided in paragraph (c) of this section, if the FAA terminates an FAA-recognized identification area based upon a finding that the FAA-recognized identification area may pose a risk to aviation safety, public safety, homeland security, or national security, that area will no longer be eligible to be an FAA-recognized identification area for as long as those conditions remain in effect.
(c) Petition to reconsider the FAA's decision to terminate an FAA-recognized identification area. No later than 30 calendar days after the termination of an FAA-recognized identification area, a person may petition the Administrator for reconsideration of the decision. The petition must state the reasons justifying the request for reconsideration and include any supporting documentation. Upon consideration of the information submitted by the petitioner, the Administrator will notify the petitioner of the decision on the request for reconsideration.
(d) Inapplicability of part 13, subpart D, of this chapter. Part 13, subpart D, of this chapter does not apply to the procedures of paragraphs (b) and (c) of this section.
This subpart prescribes the minimum message element set and minimum performance requirements for standard remote identification unmanned aircraft and remote identification broadcast modules.
A standard remote identification unmanned aircraft must be capable of broadcasting the following remote identification message elements:
(a) The identity of the unmanned aircraft, consisting of:
(1) A serial number assigned to the unmanned aircraft by the person responsible for the production of the standard remote identification unmanned aircraft; or
(2) A session ID.
(b) An indication of the latitude and longitude of the control station.
(c) An indication of the geometric altitude of the control station.
(d) An indication of the latitude and longitude of the unmanned aircraft.
(e) An indication of the geometric altitude of the unmanned aircraft.
(f) An indication of the velocity of the unmanned aircraft.
(g) A time mark identifying the Coordinated Universal Time (UTC) time of applicability of a position source output.
(h) An indication of the emergency status of the unmanned aircraft.
A standard remote identification unmanned aircraft must meet the following minimum performance requirements:
(a) Control station location. The location of the control station of the unmanned aircraft must be generated and encoded into the message elements and must correspond to the location of the person manipulating the flight controls of the unmanned aircraft system.
(b) Time mark. The time mark message element must be synchronized with all other remote identification message elements.
(c) Self-testing and monitoring. (1) Prior to takeoff, the unmanned aircraft must automatically test the remote identification functionality and notify the person manipulating the flight controls of the unmanned aircraft system of the result of the test.
(2) The unmanned aircraft must not be able to take off if the remote identification equipment is not functional.
(3) The unmanned aircraft must continuously monitor the remote identification functionality from takeoff to shutdown and must provide notification of malfunction or failure to the person manipulating the flight controls of the unmanned aircraft system.
(d) Tamper resistance. The unmanned aircraft must be designed and produced in a way that reduces the ability of a person to tamper with the remote identification functionality.
(e) Error correction. The remote identification equipment must incorporate error correction in the broadcast of the message elements in § 89.305.
(f) Interference considerations. The remote identification equipment must not interfere with other systems or equipment installed on the unmanned aircraft, and other systems or equipment installed on the unmanned aircraft must not interfere with the remote identification equipment.
(g) Message broadcast. (1) The unmanned aircraft must be capable of broadcasting the message elements in § 89.305 using a non-proprietary broadcast specification and using radio frequency spectrum compatible with personal wireless devices in accordance with 47 CFR part 15, where operations may occur without an FCC individual license.
(2) Any broadcasting device used to meet the requirements of this section must be integrated into the unmanned aircraft without modification to its authorized radio frequency parameters and designed to maximize the range at which the broadcast can be received, while complying with 47 CFR part 15 and any other applicable laws in effect as of the date the declaration of compliance is submitted to the FAA for acceptance.
(h) Message elements performance requirements. (1) The reported geometric position of the unmanned aircraft and the control station must be accurate to within 100 feet of the true position, with 95 percent probability.
(2) The reported geometric altitude of the control station must be accurate to within 15 feet of the true geometric altitude, with 95 percent probability.
(3) The reported geometric altitude of the unmanned aircraft must be accurate to within 150 feet of the true geometric altitude, with 95 percent probability.
(4) The unmanned aircraft must broadcast the latitude, longitude, and geometric altitude of the unmanned aircraft and its control station no later than 1.0 seconds from the time of measurement to the time of broadcast.
(5) The unmanned aircraft must broadcast the message elements at a rate of at least 1 message per second.
(i) Take-off limitation. The unmanned aircraft must not be able to take off unless it is broadcasting the message elements in § 89.305.
Remote identification broadcast modules must be capable of broadcasting the following remote identification message elements:
(a) The identity of the unmanned aircraft, consisting of the serial number assigned to the remote identification broadcast module by the person responsible for the production of the remote identification broadcast module.
(b) An indication of the latitude and longitude of the unmanned aircraft.
(c) An indication of the geometric altitude of the unmanned aircraft.
(d) An indication of the velocity of the unmanned aircraft.
(e) An indication of the latitude and longitude of the take-off location of the unmanned aircraft.
(f) An indication of the geometric altitude of the take-off location of the unmanned aircraft.
(g) A time mark identifying the Coordinated Universal Time (UTC) time of applicability of a position source output.
Remote identification broadcast modules must meet the following minimum performance requirements:
(a) Take-off location. The remote identification broadcast module must be capable of determining the take-off location of the unmanned aircraft.
(b) Time mark. The time mark message element must be synchronized with all other remote identification message elements.
(c) Self-testing and monitoring. (1) Prior to take-off, the remote identification broadcast module must automatically test the remote identification functionality and notify the person manipulating the flight controls of the unmanned aircraft system of the result of the test.
(2) The remote identification broadcast module must continuously monitor the remote identification functionality from takeoff to shutdown and must provide notification of malfunction or failure to the person manipulating the flight controls of the unmanned aircraft system.
(d) Tamper resistance. The remote identification broadcast module must be designed and produced in a way that reduces the ability of a person to tamper with the remote identification functionality.
(e) Error correction. The remote identification broadcast module must incorporate error correction in the broadcast of the message elements in § 89.315.
(f) Interference considerations. The remote identification broadcast module must not interfere with other systems or equipment installed on compatible unmanned aircraft, and other systems or equipment installed on compatible unmanned aircraft must not interfere with the remote identification equipment.
(g) Message broadcast. (1) The remote identification broadcast module must be capable of broadcasting the message elements in § 89.315 using a non-proprietary broadcast specification and using radio frequency spectrum compatible with personal wireless devices in accordance with 47 CFR part 15, where operations may occur without an FCC individual license.
(2) The remote identification broadcast module must be designed to maximize the range at which the broadcast can be received, while complying with 47 CFR part 15 and any other applicable laws in effect as of the date the declaration of compliance is submitted to the FAA for acceptance.
(h) Message elements performance requirements. (1) The reported geometric position of the unmanned aircraft must be accurate to within 100 feet of the true position, with 95 percent probability.
(2) The reported geometric altitude of the unmanned aircraft must be accurate to within 150 feet of the true geometric altitude, with 95 percent probability.
(3) The reported geometric position of the take-off location must be accurate to within 100 feet of the true geometric position, with 95 percent probability.
(4) The reported geometric altitude of the take-off location must be accurate to within 150 feet of the true geometric altitude, with 95 percent probability.
(5) The remote identification broadcast module must broadcast the latitude, longitude, and geometric altitude of the unmanned aircraft no later than 1.0 seconds from the time of measurement to the time of broadcast.
(6) The remote identification broadcast module must broadcast the message elements at a rate of at least 1 message per second.
This subpart prescribes—
(a) Requirements for means of compliance with subpart D of this part.
(b) Procedural requirements for the submission and acceptance of means of compliance used in the design and production of standard remote identification unmanned aircraft or remote identification broadcast modules to ensure they meet the minimum performance requirements of this part.
(c) Rules governing persons submitting means of compliance for FAA acceptance.
(a) Eligibility. Any person may submit a means of compliance for acceptance by the FAA.
(b) Required information. A person requesting acceptance of a means of compliance must submit the following information to the FAA in a form and manner acceptable to the Administrator:
(1) The name of the person or entity submitting the means of compliance, the name of the main point of contact for communications with the FAA, the physical address, email address, and other contact information.
(2) A detailed description of the means of compliance.
(3) An explanation of how the means of compliance addresses all of the minimum performance requirements established in subpart D of this part so that any standard remote identification unmanned aircraft or remote identification broadcast module designed and produced in accordance with such means of compliance meets the remote identification requirements of this part.
(4) Any substantiating material the person wishes the FAA to consider as part of the request.
(c) Testing and validation. A means of compliance submitted for acceptance by the FAA must include testing and validation procedures for persons responsible for the production of standard remote identification unmanned aircraft or remote identification broadcast modules to demonstrate through analysis, ground test, or flight test, as appropriate, how the standard remote identification unmanned aircraft or the remote identification broadcast module performs its intended functions and meets the requirements in subpart D of this part, including any applicable FAA performance requirements for radio station operation.
(a) A person requesting acceptance of a means of compliance must demonstrate to the Administrator that the means of compliance addresses all of the requirements of subparts D and E of this part, and that any standard remote identification unmanned aircraft or remote identification broadcast module designed and produced in accordance with such means of compliance would meet the performance requirements of subpart D of this part.
(b) The Administrator will evaluate a means of compliance that is submitted to the FAA and may request additional information or documentation, as needed, to supplement the submission.
(c) If the Administrator determines the person has demonstrated that the means of compliance meets the requirements of subparts D and E of this part, the FAA will notify the person that the Administrator has accepted the means of compliance.
(a) Rescission of an FAA-accepted means of compliance. (1) A means of compliance is subject to ongoing review by the Administrator. The Administrator may rescind acceptance of a means of compliance if the Administrator determines that a means of compliance does not meet any or all of the requirements of subpart D or E of this part.
(2) The Administrator will publish a notice of rescission in the
(b) Inapplicability of part 13, subpart D, of this chapter. Part 13, subpart D, of this chapter does not apply to the procedures of paragraph (a) of this section.
A person who submits a means of compliance that is accepted by the Administrator under this subpart must retain the following information for as long as the means of compliance is accepted plus an additional 24 calendar months, and must make available for inspection by the Administrator the following:
(a) All documentation and substantiating data submitted to the FAA for acceptance of the means of compliance.
(b) Records of all test procedures, methodology, and other procedures, as applicable.
(c) Any other information necessary to justify and substantiate how the means of compliance enables compliance with the remote identification requirements of this part.
(a) This subpart prescribes—
(1) Requirements for the design and production of unmanned aircraft with remote identification produced for operation in the airspace of the United States.
(2) Requirements for the design and production of remote identification broadcast modules.
(3) Procedural requirements for the submission, acceptance, and rescission of declarations of compliance.
(4) Rules governing persons submitting declarations of compliance for FAA acceptance under this part.
(b) Except as provided in paragraph (c) of this section, this subpart applies to the design and production of all unmanned aircraft operated in the airspace of the United States.
(c) Except for unmanned aircraft designed and produced to be standard remote identification unmanned aircraft, this subpart does not apply to the design or production of:
(1) Home-built unmanned aircraft.
(2) Unmanned aircraft of the United States Government.
(3) Unmanned aircraft that weigh 0.55 pounds or less on takeoff, including everything that is on board or otherwise attached to the aircraft.
(4) Unmanned aircraft designed or produced exclusively for the purpose of aeronautical research or to show compliance with regulations.
No person may produce a standard remote identification unmanned aircraft under § 89.510 or § 89.515 or a remote identification broadcast module under § 89.520, unless the producer assigns to the unmanned aircraft or remote identification broadcast module a serial number that complies with ANSI/CTA-2063-A. ANSI/CTA-2063-A, Small Unmanned Aerial Systems Serial Numbers (September 2019) is incorporated by reference into this section with the approval of the Director of the Office of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at the FAA's Office of Rulemaking (ARM-1), 800 Independence Avenue SW, Washington, DC 20590 (telephone 202-267-9677) and is available from Consumer Technology Association (CTA), 1919 South Eads Street, Arlington, VA 22202, CTA@CTA.tech, 703-907-7600 or at https://www.cta.tech. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email fedreg.legal@nara.gov, or go to www.archives.gov/federal-register/cfr/ibr-locations.html.
After September 16, 2022, no person may produce an unmanned aircraft for operation in the airspace of the United States under a design approval or production approval issued under part 21 of this chapter unless:
(a) All applicable requirements of part 21 of this chapter are met; and
(b) The unmanned aircraft is—
(1) Designed and produced to meet the minimum performance requirements for standard remote identification unmanned aircraft established in § 89.310 in accordance with an FAA-accepted means of compliance; or
(2) Equipped with Automatic Dependent Surveillance-Broadcast (ADS-B) Out equipment that meets the requirements of § 91.225 of this chapter.
Except as provided in § 89.510, after September 16, 2022, no person may produce an unmanned aircraft for operation in the airspace of the United States unless—
(a) The unmanned aircraft is designed and produced to meet the minimum performance requirements for standard remote identification unmanned aircraft established in § 89.310 in accordance with an FAA-accepted means of compliance; and
(b) All of the following conditions are met:
(1) Inspection requirements for production of standard unmanned aircraft. A person responsible for the production of standard remote identification unmanned aircraft must, upon request, allow the Administrator to inspect the person's facilities, technical data, and any standard remote identification unmanned aircraft the person produces, and to witness any tests necessary to determine compliance with this subpart.
(2) Audit requirements. A person responsible for the production of standard remote identification unmanned aircraft must cause independent audits to be performed on a recurring basis, and additionally whenever the FAA provides notice of noncompliance or potential noncompliance, to demonstrate the unmanned aircraft listed under a declaration of compliance meet the requirements of this subpart. The person responsible for the production of standard remote identification unmanned aircraft must provide the results of all such audits to the FAA upon request.
(3) Product support and notification. A person responsible for the production of standard remote identification unmanned aircraft must maintain product support and notification procedures to notify the public and the FAA of any defect or condition that causes an unmanned aircraft to no longer meet the requirements of this subpart, within 15 calendar days of the date the person becomes aware of the defect or condition.
After April 21, 2021, no person may produce remote identification broadcast modules unless:
(a) The remote identification broadcast module is designed and produced to meet the minimum performance requirements for remote identification broadcast modules established in § 89.320 in accordance with an FAA-accepted means of compliance; and
(b) All of the following conditions are met:
(1) Inspection requirements for production of remote identification broadcast modules. A person responsible for the production of remote identification broadcast modules must, upon request, allow the Administrator to inspect the person's facilities, technical data, and any remote identification broadcast modules the person produces, and to witness any tests necessary to determine compliance with this subpart.
(2) Audit requirements. A person responsible for the production of remote identification broadcast modules must cause independent audits to be performed on a recurring basis, and additionally whenever the FAA provides notice of noncompliance or potential noncompliance, to demonstrate the remote identification broadcast modules listed under a declaration of compliance meet the requirements of this subpart. The person responsible for the production of remote identification broadcast modules must provide the results of all such audits to the FAA upon request.
(3) Product support and notification. A person responsible for the production of remote identification broadcast modules must maintain product support and notification procedures to notify the public and the FAA of any defect or condition that causes the remote identification broadcast module to no longer meet the requirements of this subpart, within 15 calendar days of the date the person becomes aware of the defect or condition.
(4) Instructions. A person responsible for the production of a remote identification broadcast module must make available instructions for installing and operating the remote identification broadcast module to any person operating an unmanned aircraft with the remote identification broadcast module.
(a) No person may produce a standard remote identification unmanned aircraft under § 89.515 unless it displays a label indicating that the unmanned aircraft meets the requirements of this part. The label must be in English and be legible, prominent, and permanently affixed to the unmanned aircraft.
(b) No person may produce a remote identification broadcast module under § 89.520 unless it displays a label indicating that the equipment meets the requirements of this part. The label must be in English and be legible, prominent, and permanently affixed to the broadcast module.
(a) Eligibility. A person responsible for the production of a standard remote identification unmanned aircraft under § 89.515 or a remote identification broadcast module under § 89.520 must submit a declaration of compliance for acceptance by the FAA.
(b) Required information for standard remote identification unmanned aircraft. The person responsible for the production of a standard remote identification unmanned aircraft requesting acceptance of a declaration of compliance must declare that the unmanned aircraft complies with the requirements of this subpart by submitting a declaration of compliance to the FAA in a form and manner acceptable to the Administrator. The declaration must include at a minimum the following information:
(1) The name, physical address, telephone number, and email address of the person responsible for production of the unmanned aircraft.
(2) The unmanned aircraft's make and model.
(3) The unmanned aircraft's serial number, or the range of serial numbers for which the person responsible for production is declaring compliance.
(4) The FCC Identifier of the 47 CFR part 15-compliant radio frequency equipment used and integrated into the unmanned aircraft.
(5) The means of compliance used in the design and production of the unmanned aircraft.
(6) Whether the declaration of compliance is an initial declaration or an amended declaration, and if the declaration of compliance is an amended declaration, the reason for the amendment.
(7) A declaration that the person responsible for the production of the unmanned aircraft:
(i) Can demonstrate that the unmanned aircraft was designed and produced to meet the minimum performance requirements of § 89.310 by using an FAA-accepted means of compliance.
(ii) Complies with the requirements of § 89.515(b).
(8) A statement that 47 CFR part 15-compliant radio frequency equipment is used and is integrated into the unmanned aircraft without modification to its authorized radio frequency parameters.
(c) Required information for remote identification broadcast modules. The person responsible for the production of a remote identification broadcast module under § 89.520 that is requesting acceptance of a declaration of compliance must declare that the remote identification broadcast module complies with the requirements of this subpart by submitting a declaration of compliance to the FAA in a form and manner acceptable to the Administrator. The declaration must include at a minimum the following information:
(1) The name, physical address, telephone number, and email address of the person responsible for production of the remote identification broadcast module.
(2) The remote identification broadcast module's make and model.
(3) The remote identification broadcast module's serial number, or the range of serial numbers for which the person responsible for production is declaring compliance.
(4) The FCC Identifier of the 47 CFR part 15-compliant radio frequency equipment used and integrated into the remote identification broadcast module.
(5) The means of compliance used in the design and production of the remote identification broadcast module.
(6) Whether the declaration of compliance is an initial declaration or an amended declaration, and if the declaration of compliance is an amended declaration, the reason for the amendment.
(7) A declaration that the person responsible for the production of the remote identification broadcast module:
(i) Can demonstrate that the remote identification broadcast module was designed and produced to meet the minimum performance requirements of § 89.320 by using an FAA-accepted means of compliance.
(ii) Complies with the requirements of § 89.520(b).
(8) A statement that 47 CFR part 15-compliant radio frequency equipment is used and is integrated into the remote identification broadcast module without modification to its authorized radio frequency parameters, and a statement that instructions have been provided for installation of 47 CFR part 15-compliant remote identification broadcast module without modification to the broadcast module's authorized radio frequency parameters.
(a) The Administrator will evaluate a declaration of compliance that is submitted to the FAA and may request additional information or documentation, as needed, to supplement the declaration of compliance.
(b) If the Administrator determines that the submitter has demonstrated compliance with the requirements of this subpart, the FAA will notify the submitter that the Administrator has accepted the declaration of compliance.
(a) Rescission of the FAA's acceptance of a declaration of compliance. (1) A declaration of compliance is subject to ongoing review by the Administrator. The Administrator may rescind acceptance of a declaration of compliance under circumstances including but not limited to the following:
(i) A standard remote identification unmanned aircraft or remote identification broadcast module listed under an accepted declaration of compliance does not meet the minimum performance requirements of § 89.310 or § 89.320.
(ii) A previously FAA-accepted declaration of compliance does not meet a requirement of this subpart; or
(iii) The FAA rescinds acceptance of the means of compliance listed in an FAA-accepted declaration of compliance.
(2) The Administrator will notify the person who submitted the FAA-accepted declaration of compliance of any issue of noncompliance.
(3) If the Administrator determines that it is in the public interest, prior to rescinding acceptance of a declaration of compliance, the Administrator may provide a reasonable period of time for the person who submitted the declaration of compliance to remediate the noncompliance. A failure to remediate the noncompliance constitutes cause for rescission of the FAA's acceptance of the declaration of compliance.
(4) The Administrator will notify the person who submitted the declaration of compliance of the decision to rescind acceptance of the declaration of compliance by publishing a notice of rescission in the
(b) Petition to reconsider the FAA's decision to rescind acceptance of a declaration of compliance. (1) The person who submitted the FAA-accepted declaration of compliance or any person adversely affected by the rescission of the Administrator's acceptance of a declaration of compliance may petition for a reconsideration of the decision by submitting a request to the FAA in a form and manner acceptable to the Administrator within 60 calendar days of the date of publication in the
(2) A petition to reconsider the rescission of the Administrator's acceptance of a declaration of compliance must show that the petitioner is an interested party and has been adversely affected by the decision of the FAA. The petition must also demonstrate at least one of the following:
(i) The petitioner adduces a significant additional fact not previously presented to the FAA.
(ii) The Administrator made a material error of fact in the decision to rescind acceptance of the declaration of compliance.
(iii) The Administrator did not correctly interpret a law, regulation, or precedent.
(3) Upon consideration of the information submitted by the petitioner, the Administrator will notify the petitioner and the person who submitted the declaration of compliance (if different) of the decision on whether to reinstate the Administrator's acceptance of the declaration of compliance.
(c) Inapplicability of part 13, subpart D, of this chapter. Part 13, subpart D, of this chapter does not apply to the procedures of paragraphs (a) and (b) of this section.
A person who submits a declaration of compliance under this subpart that is accepted by the Administrator must retain the following information for as long as the standard remote identification unmanned aircraft or remote identification broadcast module listed on that declaration of compliance is produced plus an additional 24 calendar months, and must make available for inspection by the Administrator the following:
(a) The means of compliance, all documentation, and substantiating data related to the means of compliance used.
(b) Records of all test results.
(c) Any other information necessary to demonstrate compliance with the means of compliance so that the standard remote identification unmanned aircraft or remote identification broadcast module meets the remote identification requirements and the design and production requirements of this part.
Section 1. Applicability. This rule prescribes special operating rules for all persons operating aircraft in the following airspace, designated as the Grand Canyon National Park Special Flight Rules Area:
That airspace extending upward from the surface up to but not including 14,500 feet MSL within an area bounded by a line beginning at lat. 36°09′30″ N., long. 114°03′00″ W.; northeast to lat. 36°14′00″ N., long. 113°09′50″ W.; thence northeast along the boundary of the Grand Canyon National Park to lat. 36°24′47″ N., long. 112°52′00″ W.; to lat. 36°30′30″ N., long. 112°36′15″ W. to lat. 36°21′30″ N., long. 112°00′00″ W. to lat. 36°35′30″ N., long. 111°53′10″ W., to lat. 36°53′00″ N., long. 111°36′45″ W. to lat. 36°53′00″ N., long. 111°33′00″ W.; to lat. 36°19′00″ N., long. 111°50′50″ W.; to lat. 36°17′00″ N., long. 111°42′00″ W.; to lat. 35°59′30″ N., long. 111°42′00″ W.; to lat. 35°57′30″ N., long. 112°03′55″ W.; thence counterclockwise via the 5 statute mile radius of the Grand Canyon Airport airport reference point (lat. 35°57′09″ N., long. 112°08′47″ W.) to lat. 35°57′30″ N., long. 112°14′00″ W.; to lat. 35°57′30″ N., long. 113°11′00″ W.; to lat. 35°42′30″ N., long. 113°11′00″ W.; to 35°38′30″ N.; long. 113°27′30″ W.; thence counterclockwise via the 5 statute mile radius of the Peach Springs VORTAC to lat. 35°41′20″ N., long. 113°36′00″ W.; to lat. 35°55′25″ N., long. 113°49′10″ W.; to lat. 35°57′45″ N., 113°45′20″ W.; thence northwest along the park boundary to lat. 36°02′20″ N., long. 113°50′15″ W.; to 36°00′10″ N., long. 113°53′45″ W.; thence to the point of beginning.
Section 3. Aircraft operations: general. Except in an emergency, no person may operate an aircraft in the Special Flight Rules, Area under VFR on or after September 22, 1988, or under IFR on or after April 6, 1989, unless the operation—
(a) Is conducted in accordance with the following procedures:
The following procedures do not relieve the pilot from see-and-avoid responsibility or compliance with FAR 91.119.
(1) Unless necessary to maintain a safe distance from other aircraft or terrain—
(i) Remain clear of the areas described in Section 4; and
(ii) Remain at or above the following altitudes in each sector of the canyon:
Eastern section from Lees Ferry to North Canyon and North Canyon to Boundary Ridge: as prescribed in Section 5.
Boundary Ridge to Supai Point (Yumtheska Point): 10,000 feet MSL.
Western section from Diamond Creek to the Grant Wash Cliffs: 8,000 feet MSL.
(2) Proceed through the four flight corridors describe in Section 4 at the following altitudes unless otherwise authorized in writing by the responsible Flight Standards office:
11,500 or
13,500 feet MSL
>10,500 or
>12,500 feet MSL
(b) Is authorized in writing by the responsible Flight Standards office and is conducted in compliance with the conditions contained in that authorization. Normally authorization will be granted for operation in the areas described in Section 4 or below the altitudes listed in Section 5 only for operations of aircraft necessary for law enforcement, firefighting, emergency medical treatment/evacuation of persons in the vicinity of the Park; for support of Park maintenance or activities; or for aerial access to and maintenance of other property located within the Special Flight Rules Area. Authorization may be issued on a continuing basis.
(c)(1) Prior to November 1, 1988, is conducted in accordance with a specific authorization to operate in that airspace incorporated in the operator's part 135 operations specifications in accordance with the provisions of SFAR 50-1, notwithstanding the provisions of Sections 4 and 5; and
(2) On or after November 1, 1988, is conducted in accordance with a specific authorization to operate in that airspace incorporated in the operated in the operator's operations specifications and approved by the responsible Flight Standards office in accordance with the provisions of SFAR 50-2.
(d) Is a search and rescue mission directed by the U.S. Air Force Rescue Coordination Center.
(e) Is conducted within 3 nautical miles of Whitmore Airstrip, Pearce Ferry Airstrip, North Rim Airstrip, Cliff Dwellers Airstrip, or Marble Canyon Airstrip at an altitudes less than 3,000 feet above airport elevation, for the purpose of landing at or taking off from that facility. Or
(f) Is conducted under an IFR clearance and the pilot is acting in accordance with ATC instructions. An IFR flight plan may not be filed on a route or at an altitude that would require operation in an area described in Section 4.
Section 4. Flight-free zones. Except in an emergency or if otherwise necessary for safety of flight, or unless otherwise authorized by the responsible Flight Standards office for a purpose listed in Section 3(b), no person may operate an aircraft in the Special Flight Rules Area within the following areas:
(a) Desert View Flight-Free Zone. Within an area bounded by a line beginning at Lat. 35°59′30″ N., Long. 111°46′20″ W. to 35°59′30″ N., Long. 111°52′45″ W.; to Lat. 36°04′50″ N., Long. 111°52′00″ W.; to Lat. 36°06′00″ N., Long. 111°46′20″ W.; to the point of origin; but not including the airspace at and above 10,500 feet MSL within 1 mile of the western boundary of the zone. The area between the Desert View and Bright Angel Flight-Free Zones is designated the “Zuni Point Corridor.”
(b) Bright Angel Flight-Free Zone. Within an area bounded by a line beginning at Lat. 35°59′30″ N., Long. 111°55′30″ W.; to Lat. 35°59′30″ N., Long. 112°04′00″ W.; thence counterclockwise via the 5 statute mile radius of the Grand Canyon Airport point (Lat. 35°57′09″ N., Long. 112°08′47″ W.) to Lat. 36°01′30″ N., Long. 112°11′00″ W.; to Lat. 36°06′15″ N., Long. 112°12′50″ W.; to Lat. 36°14′40″ N., Long. 112°08′50″ W.; to Lat. 36°14′40″ N., Long. 111°57′30″ W.; to Lat. 36°12′30″ N., Long. 111°53′50″ W.; to the point of origin; but not including the airspace at and above 10,500 feet MSL within 1 mile of the eastern boundary between the southern boundary and Lat. 36°04′50″ N. or the airspace at and above 10,500 feet MSL within 2 miles of the northwest boundary. The area bounded by the Bright Angel and Shinumo Flight-Free Zones is designated the “Dragon Corridor.”
(c) Shinumo Flight-Free Zone. Within an area bounded by a line beginning at Lat. 36°04′00″ N., Long. 112°16′40″ W.; northwest along the park boundary to a point at Lat. 36°12′47″ N., Long. 112°30′53″ W.; to Lat. 36°21′15″ N., Long. 112°20′20″ W.; east along the park boundary to Lat. 36°21′15″ N., Long. 112°13′55″ W.; to Lat. 36°14′40″ N., Long. 112°11′25″ W.; to the point of origin. The area between the Thunder River/Toroweap and Shinumo Flight Free Zones is designated the “Fossil Canyon Corridor.”
(d) Toroweap/Thunder River Flight-Free Zone. Within an area bounded by a line beginning at Lat. 36°22′45″ N., Long. 112°20′35″ W.; thence northwest along the boundary of the Grand Canyon National Park to Lat. 36°17′48″ N., Long. 113°03′15″ W.; to Lat. 36°15′00″ N., Long. 113°07′10″ W.; to Lat. 36°10′30″ N., Long. 113°07′10″ W.; thence east along the Colorado River to the confluence of Havasu Canyon (Lat. 36°18′40″ N., Long. 112°45′45″ W.;) including that area within a 1.5 nautical mile radius of Toroweap Overlook (Lat. 36°12′45″ N., Long. 113°03′30″ W.); to the point of origin; but not including the following airspace designated as the “Tuckup Corridor”: at or above 10,500 feet MSL within 2 nautical miles either side of a line extending between Lat. 36°24′47″ N., Long. 112°48′50″ W. and Lat. 36°17′10″ N., Long. 112°48′50″ W.; to the point of origin.
Section 5. Minimum flight altitudes. Except in an emergency or if otherwise necessary for safety of flight, or unless otherwise authorized by the responsible Flight Standards office for a purpose listed in Section 3(b), no person may operate an aircraft in the Special Flight Rules Area at an altitude lower than the following:
(a) Eastern section from Lees Ferry to North Canyon: 5,000 feet MSL.
(b) Eastern section from North Canyon to Boundary Ridge: 6,000 feet MSL.
(c) Boundary Ridge to Supai (Yumtheska) Point: 7,500 feet MSL.
(d) Supai Point to Diamond Creek: 6,500 feet MSL.
(e) Western section from Diamond Creek to the Grand Wash Cliffs: 5,000 feet MSL.
Section 9. Termination date. Section 1. Applicability, Section 4, Flight-free zones, and Section 5. Minimum flight altitudes, expire on April 19, 2001.
[Removed]
1. Each person shall, before conducting any operation under the Federal Aviation Regulations (14 CFR chapter I), be familiar with all available information concerning that operation, including Notices to Airmen issued under § 91.139 and, when activated, the provisions of the National Air Traffic Reduced Complement Operations Plan available for inspection at operating air traffic facilities and Regional air traffic division offices, and the General Aviation Reservation Program. No operator may change the designated airport of intended operation for any flight contained in the October 1, 1990, OAG.
2. Notwithstanding any provision of the Federal Aviation Regulations to the contrary, no person may operate an aircraft in the Air Traffic Control System:
a. Contrary to any restriction, prohibition, procedure or other action taken by the Director of the Office of Air Traffic Systems Management (Director) pursuant to paragraph 3 of this regulation and announced in a Notice to Airmen pursuant to § 91.139 of the Federal Aviation Regulations.
b. When the National Air Traffic Reduced Complement Operations Plan is activated pursuant to paragraph 4 of this regulation, except in accordance with the pertinent provisions of the National Air Traffic Reduced Complement Operations Plan.
3. Prior to or in connection with the implementation of the RCOP, and as conditions warrant, the Director is authorized to:
a. Restrict, prohibit, or permit VFR and/or IFR operations at any airport, Class B airspace area, Class C airspace area, or other class of controlled airspace.
b. Give priority at any airport to flights that are of military necessity, or are medical emergency flights, Presidential flights, and flights transporting critical Government employees.
c. Implement, at any airport, traffic management procedures, that may include reduction of flight operations. Reduction of flight operations will be accomplished, to the extent practical, on a pro rata basis among and between air carrier, commercial operator, and general aviation operations. Flights cancelled under this SFAR at a high density traffic airport will be considered to have been operated for purposes of part 93 of the Federal Aviation Regulations.
4. The Director may activate the National Air Traffic Reduced Complement Operations Plan at any time he finds that it is necessary for the safety and efficiency of the National Airspace System. Upon activation of the RCOP and notwithstanding any provision of the FAR to the contrary, the Director is authorized to suspend or modify any airspace designation.
5. Notice of restrictions, prohibitions, procedures and other actions taken by the Director under this regulation with respect to the operation of the Air Traffic Control system will be announced in Notices to Airmen issued pursuant to § 91.139 of the Federal Aviation Regulations.
6. The Director may delegate his authority under this regulation to the extent he considers necessary for the safe and efficient operation of the National Air Traffic Control System.
Those persons identified in Section 1 may conduct IFR en route RNAV operations in the State of Alaska and its airspace on published air traffic routes using TSO C145a/C146a navigation systems as the only means of IFR navigation. Despite contrary provisions of parts 71, 91, 95, 121, 125, and 135 of this chapter, a person may operate aircraft in accordance with this SFAR if the following requirements are met.
a. This SFAR permits TSO C145a/C146a GPS (RNAV) systems to be used for IFR en route operations in the United States airspace over and near Alaska (as set forth in paragraph c of this section) at Special Minimum En Route Altitudes (MEA) that are outside the operational service volume of ground-based navigation aids, if the aircraft operation also meets the requirements of sections 3 and 4 of this SFAR.
b. Certificate holders and part 91 operators may operate aircraft under this SFAR provided that they comply with the requirements of this SFAR.
c. Operations conducted under this SFAR are limited to United States Airspace within and near the State of Alaska as defined in the following area description:
From 62°00′00.000″ N, Long. 141°00′00.00″ W.; to Lat. 59°47′54.11″ N., Long. 135°28′38.34″ W.; to Lat. 56°00′04.11″ N., Long. 130°00′07.80″ W.; to Lat. 54°43′00.00″ N., Long. 130°37′00.00″ W.; to Lat. 51°24′00.00″ N., Long. 167°49′00.00″ W.; to Lat. 50°08′00.00″ N., Long. 176°34′00.00″ W.; to Lat. 45°42′00.00″ N., Long. −162°55′00.00″ E.; to Lat. 50°05′00.00″ N., Long. −159°00′00.00″ E.; to Lat. 54°00′00.00″ N., Long. −169°00′00.00″ E.; to Lat. 60°00 00.00″ N., Long. −180°00′ 00.00″ E; to Lat. 65°00′00.00″ N., Long. 168°58′23.00″ W.; to Lat. 90°00′00.00″ N., Long. 00°00′0.00″ W.; to Lat. 62°00′00.000″ N, Long. 141°00′00.00″ W.
(d) No person may operate an aircraft under IFR during the en route portion of flight below the standard MEA or at the special MEA unless the operation is conducted in accordance with sections 3 and 4 of this SFAR.
For the purposes of this SFAR, the following definitions and abbreviations apply.
Area navigation (RNAV). RNAV is a method of navigation that permits aircraft operations on any desired flight path.
Area navigation (RNAV) route. RNAV route is a published route based on RNAV that can be used by suitably equipped aircraft.
Certificate holder. A certificate holder means a person holding a certificate issued under part 119 or part 125 of this chapter or holding operations specifications issued under part 129 of this chapter.
Global Navigation Satellite System (GNSS). GNSS is a world-wide position and time determination system that uses satellite ranging signals to determine user location. It encompasses all satellite ranging technologies, including GPS and additional satellites. Components of the GNSS include GPS, the Global Orbiting Navigation Satellite System, and WAAS satellites.
Global Positioning System (GPS). GPS is a satellite-based radio navigational, positioning, and time transfer system. The system provides highly accurate position and velocity information and precise time on a continuous global basis to properly equipped users.
Minimum crossing altitude (MCA). The minimum crossing altitude (MCA) applies to the operation of an aircraft proceeding to a higher minimum en route altitude when crossing specified fixes.
Required navigation system. Required navigation system means navigation equipment that meets the performance requirements of TSO C145a/C146a navigation systems certified for IFR en route operations.
Route segment. Route segment is a portion of a route bounded on each end by a fix or NAVAID.
Special MEA. Special MEA refers to the minimum en route altitudes, using required navigation systems, on published routes outside the operational service volume of ground-based navigation aids and are depicted on the published Low Altitude and High Altitude En Route Charts using the color blue and with the suffix “G.” For example, a GPS MEA of 4000 feet MSL would be depicted using the color blue, as 4000G.
Standard MEA. Standard MEA refers to the minimum en route IFR altitude on published routes that uses ground-based navigation aids and are depicted on the published Low Altitude and High Altitude En Route Charts using the color black.
Station referenced. Station referenced refers to radio navigational aids or fixes that are referenced by ground based navigation facilities such as VOR facilities.
Wide Area Augmentation System (WAAS). WAAS is an augmentation to GPS that calculates GPS integrity and correction data on the ground and uses geo-stationary satellites to broadcast GPS integrity and correction data to GPS/WAAS users and to provide ranging signals. It is a safety critical system consisting of a ground network of reference and integrity monitor data processing sites to assess current GPS performance, as well as a space segment that broadcasts that assessment to GNSS users to support en route through precision approach navigation. Users of the system include all aircraft applying the WAAS data and ranging signal.
To operate an aircraft under this SFAR, the following requirements must be met:
a. Training and qualification for operations and maintenance personnel on required navigation equipment used under this SFAR.
b. Use authorized procedures for normal, abnormal, and emergency situations unique to these operations, including degraded navigation capabilities, and satellite system outages.
c. For certificate holders, training of flight crewmembers and other personnel authorized to exercise operational control on the use of those procedures specified in paragraph b of this section.
d. Part 129 operators must have approval from the State of the operator to conduct operations in accordance with this SFAR.
e. In order to operate under this SFAR, a certificate holder must be authorized in operations specifications.
a. The certificate holder must have properly installed, certificated, and functional dual required navigation systems as defined in section 2 of this SFAR for the en route operations covered under this SFAR.
b. When the aircraft is being operated under part 91, the aircraft must be equipped with at least one properly installed, certificated, and functional required navigation system as defined in section 2 of this SFAR for the en route operations covered under this SFAR.
This Special Federal Aviation Regulation will remain in effect until rescinded.
1. Applicability. This Special Federal Aviation Regulation (SFAR) No. 104 applies to any air carrier owned or controlled by Syria that is engaged in scheduled international air services.
2. Special flight restrictions. Except as provided in paragraphs 3 and 4 of this SFAR No. 104, no air carrier described in paragraph 1 may take off from or land in the territory of the United States.
3. Permitted operations. This SFAR does not prohibit overflights of the territory of the United States by any air carrier described in paragraph 1.
4. Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft of any air carrier described in paragraph 1 may deviate from this SFAR to the extent required by that emergency. Each person who deviates from this rule must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards office a complete report of the operations or the aircraft involved in the deviation, including a description of the deviation and the reasons therefor.
5. Duration. This SFAR No. 104 will remain in effect until further notice.
(a) Except as provided in paragraphs (b), (c), (e), and (f) of this section and §§ 91.701 and 91.703, this part prescribes rules governing the operation of aircraft within the United States, including the waters within 3 nautical miles of the U.S. coast.
(b) Each person operating an aircraft in the airspace overlying the waters between 3 and 12 nautical miles from the coast of the United States must comply with §§ 91.1 through 91.21; §§ 91.101 through 91.143; §§ 91.151 through 91.159; §§ 91.167 through 91.193; § 91.203; § 91.205; §§ 91.209 through 91.217; § 91.221, § 91.225; §§ 91.303 through 91.319; §§ 91.323 through 91.327; § 91.605; § 91.609; §§ 91.703 through 91.715; and § 91.903.
(c) This part applies to each person on board an aircraft being operated under this part, unless otherwise specified.
(d) This part also establishes requirements for operators to take actions to support the continued airworthiness of each aircraft.
(e) This part does not apply to any aircraft or vehicle governed by part 103 of this chapter, or subparts B, C, or D of part 101 of this chapter.
(f) Except as provided in §§ 107.13, 107.27, 107.47, 107.57, and 107.59 of this chapter, this part does not apply to any aircraft governed by part 107 of this chapter.
(g) Additional requirements for powered-lift operations are set forth in part 194 of this chapter.
(a) The pilot in command of an aircraft is directly responsible for, and is the final authority as to, the operation of that aircraft.
(b) In an in-flight emergency requiring immediate action, the pilot in command may deviate from any rule of this part to the extent required to meet that emergency.
(c) Each pilot in command who deviates from a rule under paragraph (b) of this section shall, upon the request of the Administrator, send a written report of that deviation to the Administrator.
No person may operate an aircraft that is type certificated for more than one required pilot flight crewmember unless the pilot in command meets the requirements of § 61.58 of this chapter.
(a) No person may operate a civil aircraft unless it is in an airworthy condition.
(b) The pilot in command of a civil aircraft is responsible for determining whether that aircraft is in condition for safe flight. The pilot in command shall discontinue the flight when unairworthy mechanical, electrical, or structural conditions occur.
(a) Except as provided in paragraph (d) of this section, no person may operate a civil aircraft without complying with the operating limitations specified in the approved Airplane or Rotorcraft Flight Manual, markings, and placards, or as otherwise prescribed by the certificating authority of the country of registry.
(b) No person may operate a U.S.-registered civil aircraft—
(1) For which an Airplane or Rotorcraft Flight Manual is required by § 21.5 of this chapter unless there is available in the aircraft a current, approved Airplane or Rotorcraft Flight Manual or the manual provided for in § 121.141(b); and
(2) For which an Airplane or Rotorcraft Flight Manual is not required by § 21.5 of this chapter, unless there is available in the aircraft a current approved Airplane or Rotorcraft Flight Manual, approved manual material, markings, and placards, or any combination thereof.
(c) No person may operate a U.S.-registered civil aircraft unless that aircraft is identified in accordance with part 45 or 48of this chapter.
(d) Any person taking off or landing a helicopter certificated under part 29 of this chapter at a heliport constructed over water may make such momentary flight as is necessary for takeoff or landing through the prohibited range of the limiting height-speed envelope established for the helicopter if that flight through the prohibited range takes place over water on which a safe ditching can be accomplished and if the helicopter is amphibious or is equipped with floats or other emergency flotation gear adequate to accomplish a safe emergency ditching on open water.
No person may assault, threaten, intimidate, or interfere with a crewmember in the performance of the crewmember's duties aboard an aircraft being operated.
(a) Aircraft operations for the purpose of air navigation. No person may operate an aircraft in a careless or reckless manner so as to endanger the life or property of another.
(b) Aircraft operations other than for the purpose of air navigation. No person may operate an aircraft, other than for the purpose of air navigation, on any part of the surface of an airport used by aircraft for air commerce (including areas used by those aircraft for receiving or discharging persons or cargo), in a careless or reckless manner so as to endanger the life or property of another.
No pilot in command of a civil aircraft may allow any object to be dropped from that aircraft in flight that creates a hazard to persons or property. However, this section does not prohibit the dropping of any object if reasonable precautions are taken to avoid injury or damage to persons or property.
(a) No person may act or attempt to act as a crewmember of a civil aircraft—
(1) Within 8 hours after the consumption of any alcoholic beverage;
(2) While under the influence of alcohol;
(3) While using any drug that affects the person's faculties in any way contrary to safety; or
(4) While having an alcohol concentration of 0.04 or greater in a blood or breath specimen. Alcohol concentration means grams of alcohol per deciliter of blood or grams of alcohol per 210 liters of breath.
(b) Except in an emergency, no pilot of a civil aircraft may allow a person who appears to be intoxicated or who demonstrates by manner or physical indications that the individual is under the influence of drugs (except a medical patient under proper care) to be carried in that aircraft.
(c) A crewmember shall do the following:
(1) On request of a law enforcement officer, submit to a test to indicate the alcohol concentration in the blood or breath, when—
(i) The law enforcement officer is authorized under State or local law to conduct the test or to have the test conducted; and
(ii) The law enforcement officer is requesting submission to the test to investigate a suspected violation of State or local law governing the same or substantially similar conduct prohibited by paragraph (a)(1), (a)(2), or (a)(4) of this section.
(2) Whenever the FAA has a reasonable basis to believe that a person may have violated paragraph (a)(1), (a)(2), or (a)(4) of this section, on request of the FAA, that person must furnish to the FAA the results, or authorize any clinic, hospital, or doctor, or other person to release to the FAA, the results of each test taken within 4 hours after acting or attempting to act as a crewmember that indicates an alcohol concentration in the blood or breath specimen.
(d) Whenever the Administrator has a reasonable basis to believe that a person may have violated paragraph (a)(3) of this section, that person shall, upon request by the Administrator, furnish the Administrator, or authorize any clinic, hospital, doctor, or other person to release to the Administrator, the results of each test taken within 4 hours after acting or attempting to act as a crewmember that indicates the presence of any drugs in the body.
(e) Any test information obtained by the Administrator under paragraph (c) or (d) of this section may be evaluated in determining a person's qualifications for any airman certificate or possible violations of this chapter and may be used as evidence in any legal proceeding under section 602, 609, or 901 of the Federal Aviation Act of 1958.
(a) Except as provided in paragraph (b) of this section, no person may operate a civil aircraft within the United States with knowledge that narcotic drugs, marihuana, and depressant or stimulant drugs or substances as defined in Federal or State statutes are carried in the aircraft.
(b) Paragraph (a) of this section does not apply to any carriage of narcotic drugs, marihuana, and depressant or stimulant drugs or substances authorized by or under any Federal or State statute or by any Federal or State agency.
(a) Except as provided in paragraph (b) of this section, no person may operate, nor may any operator or pilot in command of an aircraft allow the operation of, any portable electronic device on any of the following U.S.-registered civil aircraft:
(1) Aircraft operated by a holder of an air carrier operating certificate or an operating certificate; or
(2) Any other aircraft while it is operated under IFR.
(b) Paragraph (a) of this section does not apply to—
(1) Portable voice recorders;
(2) Hearing aids;
(3) Heart pacemakers;
(4) Electric shavers; or
(5) Any other portable electronic device that the operator of the aircraft has determined will not cause interference with the navigation or communication system of the aircraft on which it is to be used.
(c) In the case of an aircraft operated by a holder of an air carrier operating certificate or an operating certificate, the determination required by paragraph (b)(5) of this section shall be made by that operator of the aircraft on which the particular device is to be used. In the case of other aircraft, the determination may be made by the pilot in command or other operator of the aircraft.
(a) Except as provided in paragraph (b) of this section, the parties to a lease or contract of conditional sale involving a U.S.-registered large civil aircraft and entered into after January 2, 1973, shall execute a written lease or contract and include therein a written truth-in-leasing clause as a concluding paragraph in large print, immediately preceding the space for the signature of the parties, which contains the following with respect to each such aircraft:
(1) Identification of the Federal Aviation Regulations under which the aircraft has been maintained and inspected during the 12 months preceding the execution of the lease or contract of conditional sale, and certification by the parties thereto regarding the aircraft's status of compliance with applicable maintenance and inspection requirements in this part for the operation to be conducted under the lease or contract of conditional sale.
(2) The name and address (printed or typed) and the signature of the person responsible for operational control of the aircraft under the lease or contract of conditional sale, and certification that each person understands that person's responsibilities for compliance with applicable Federal Aviation Regulations.
(3) A statement that an explanation of factors bearing on operational control and pertinent Federal Aviation Regulations can be obtained from the responsible Flight Standards office.
(b) The requirements of paragraph (a) of this section do not apply—
(1) To a lease or contract of conditional sale when—
(i) The party to whom the aircraft is furnished is a foreign air carrier or certificate holder under part 121, 125, 135, or 141 of this chapter, or
(ii) The party furnishing the aircraft is a foreign air carrier or a person operating under part 121, 125, and 141 of this chapter, or a person operating under part 135 of this chapter having authority to engage in on-demand operations with large aircraft.
(2) To a contract of conditional sale, when the aircraft involved has not been registered anywhere prior to the execution of the contract, except as a new aircraft under a dealer's aircraft registration certificate issued in accordance with § 47.61 of this chapter.
(c) No person may operate a large civil aircraft of U.S. registry that is subject to a lease or contract of conditional sale to which paragraph (a) of this section applies, unless—
(1) The lessee or conditional buyer, or the registered owner if the lessee is not a citizen of the United States, has mailed a copy of the lease or contract that complies with the requirements of paragraph (a) of this section, within 24 hours of its execution, to the Aircraft Registration Branch, Attn: Technical Section, P.O. Box 25724, Oklahoma City, OK 73125;
(2) A copy of the lease or contract that complies with the requirements of paragraph (a) of this section is carried in the aircraft. The copy of the lease or contract shall be made available for review upon request by the Administrator, and
(3) The lessee or conditional buyer, or the registered owner if the lessee is not a citizen of the United States, has notified by telephone or in person the responsible Flight Standards office. Unless otherwise authorized by that office, the notification shall be given at least 48 hours before takeoff in the case of the first flight of that aircraft under that lease or contract and inform the FAA of—
(i) The location of the airport of departure;
(ii) The departure time; and
(iii) The registration number of the aircraft involved.
(d) The copy of the lease or contract furnished to the FAA under paragraph (c) of this section is commercial or financial information obtained from a person. It is, therefore, privileged and confidential and will not be made available by the FAA for public inspection or copying under 5 U.S.C. 552(b)(4) unless recorded with the FAA under part 49 of this chapter.
(e) For the purpose of this section, a lease means any agreement by a person to furnish an aircraft to another person for compensation or hire, whether with or without flight crewmembers, other than an agreement for the sale of an aircraft and a contract of conditional sale under section 101 of the Federal Aviation Act of 1958. The person furnishing the aircraft is referred to as the lessor, and the person to whom it is furnished the lessee.
The Administrator of the FAA will not use reports submitted to the National Aeronautics and Space Administration under the Aviation Safety Reporting Program (or information derived therefrom) in any enforcement action except information concerning accidents or criminal offenses which are wholly excluded from the Program.
This subpart prescribes flight rules governing the operation of aircraft within the United States and within 12 nautical miles from the coast of the United States.
Each pilot in command shall, before beginning a flight, become familiar with all available information concerning that flight. This information must include—
(a) For a flight under IFR or a flight not in the vicinity of an airport, weather reports and forecasts, fuel requirements, alternatives available if the planned flight cannot be completed, and any known traffic delays of which the pilot in command has been advised by ATC;
(b) For any flight, runway lengths at airports of intended use, and the following takeoff and landing distance information:
(1) For civil aircraft for which an approved Airplane or Rotorcraft Flight Manual containing takeoff and landing distance data is required, the takeoff and landing distance data contained therein; and
(2) For civil aircraft other than those specified in paragraph (b)(1) of this section, other reliable information appropriate to the aircraft, relating to aircraft performance under expected values of airport elevation and runway slope, aircraft gross weight, and wind and temperature.
(a) During takeoff and landing, and while en route, each required flight crewmember shall—
(1) Be at the crewmember station unless the absence is necessary to perform duties in connection with the operation of the aircraft or in connection with physiological needs; and
(2) Keep the safety belt fastened while at the crewmember station.
(b) Each required flight crewmember of a U.S.-registered civil aircraft shall, during takeoff and landing, keep his or her shoulder harness fastened while at his or her assigned duty station. This paragraph does not apply if—
(1) The seat at the crewmember's station is not equipped with a shoulder harness; or
(2) The crewmember would be unable to perform required duties with the shoulder harness fastened.
(a) Unless otherwise authorized by the Administrator—
(1) No pilot may take off a U.S.-registered civil aircraft (except a free balloon that incorporates a basket or gondola, or an airship type certificated before November 2, 1987) unless the pilot in command of that aircraft ensures that each person on board is briefed on how to fasten and unfasten that person's safety belt and, if installed, shoulder harness.
(2) No pilot may cause to be moved on the surface, take off, or land a U.S.-registered civil aircraft (except a free balloon that incorporates a basket or gondola, or an airship type certificated before November 2, 1987) unless the pilot in command of that aircraft ensures that each person on board has been notified to fasten his or her safety belt and, if installed, his or her shoulder harness.
(3) Except as provided in this paragraph, each person on board a U.S.-registered civil aircraft (except a free balloon that incorporates a basket or gondola or an airship type certificated before November 2, 1987) must occupy an approved seat or berth with a safety belt and, if installed, shoulder harness, properly secured about him or her during movement on the surface, takeoff, and landing. For seaplane and float equipped rotorcraft operations during movement on the surface, the person pushing off the seaplane or rotorcraft from the dock and the person mooring the seaplane or rotorcraft at the dock are excepted from the preceding seating and safety belt requirements. Notwithstanding the preceding requirements of this paragraph, a person may:
(i) Be held by an adult, except as outlined in § 91.108(j), who is occupying an approved seat or berth, provided that the person being held has not reached his or her second birthday and does not occupy or use any restraining device;
(ii) Use the floor of the aircraft as a seat, provided that the person is on board for the purpose of engaging in sport parachuting; or
(iii) Notwithstanding any other requirement of this chapter, occupy an approved child restraint system furnished by the operator or one of the persons described in paragraph (a)(3)(iii)(A) of this section provided that:
(A) The child is accompanied by a parent, guardian, or attendant designated by the child's parent or guardian to attend to the safety of the child during the flight;
(B) Except as provided in paragraph (a)(3)(iii)(B)(4) of this action, the approved child restraint system bears one or more labels as follows:
(1) Seats manufactured to U.S. standards between January 1, 1981, and February 25, 1985, must bear the label: “This child restraint system conforms to all applicable Federal motor vehicle safety standards”;
(2) Seats manufactured to U.S. standards on or after February 26, 1985, must bear two labels:
(i) “This child restraint system conforms to all applicable Federal motor vehicle safety standards”; and
(ii) “THIS RESTRAINT IS CERTIFIED FOR USE IN MOTOR VEHICLES AND AIRCRAFT” in red lettering;
(3) Seats that do not qualify under paragraphs (a)(3)(iii)(B)(1) and (a)(3)(iii)(B)(2) of this section must bear a label or markings showing:
(ii) That the seat was manufactured under the standards of the United Nations;
(iii) That the seat or child restraint device furnished by the operator was approved by the FAA through Type Certificate or Supplemental Type Certificate; or
(iv) That the seat or child restraint device furnished by the operator, or one of the persons described in paragraph (a)(3)(iii)(A) of this section, was approved by the FAA in accordance with § 21.8(d) of this chapter or Technical Standard Order C-100b or a later version. The child restraint device manufactured by AmSafe, Inc. (CARES, Part No. 4082) and approved by the FAA in accordance with § 21.305(d) (2010 ed.) of this chapter may continue to bear a label or markings showing FAA approval in accordance with § 21.305(d) (2010 ed.) of this chapter.
(4) Except as provided in § 91.107(a)(3)(iii)(B)(3)(iii) and § 91.107(a)(3)(iii)(B)(3)(iv), booster-type child restraint systems (as defined in Federal Motor Vehicle Safety Standard No. 213 (49 CFR 571.213)), vest- and harness-type child restraint systems, and lap held child restraints are not approved for use in aircraft; and
(C) The operator complies with the following requirements:
(1) The restraint system must be properly secured to an approved forward-facing seat or berth;
(2) The child must be properly secured in the restraint system and must not exceed the specified weight limit for the restraint system; and
(3) The restraint system must bear the appropriate label(s).
(b) Unless otherwise stated, this section does not apply to operations conducted under part 121, 125, or 135 of this chapter. Paragraph (a)(3) of this section does not apply to persons subject to § 91.105.
(a) Use of supplemental restraint systems. Except as provided in this section, no person may conduct an operation in a civil aircraft in which any individual on board is secured with a supplemental restraint system, as defined in § 1.1 of this chapter.
(b) Doors opened or removed flight operations. Except as provided under paragraph (k) of this section:
(1) No person may operate a civil aircraft with the doors opened or removed unless—
(i) Each individual on board occupies an approved seat or berth with a safety belt and, if installed, shoulder harness, properly secured about the individual or an approved child restraint system properly secured to an approved seat or berth with a safety belt and, if installed, shoulder harness in accordance with § 91.107(a)(3)(iii) or § 135.128(a)(2) of this chapter, during all phases of flight; or
(ii) Each individual on board—
(A) Occupies an approved seat or berth with a safety belt and, if installed, shoulder harness, properly secured about the individual during movement on the surface, takeoff, and landing; and
(B) Is secured during the remainder of the flight using a supplemental restraint system in accordance with, and that meets the requirements of, this section.
(2) Prior to releasing an FAA-approved safety belt and, if installed, shoulder harness during an operation with the doors opened or removed, an individual must be properly secured by a supplemental restraint system that is connected to an FAA-approved airframe attachment point. An individual cannot release their safety belt and, if installed, shoulder harness until the pilot in command authorizes them to do so.
(c) Supplemental restraint system design requirements. Each supplemental restraint system must:
(1) Have a harness that secures around the torso of the individual using the supplemental restraint system;
(2) Have a lanyard that connects the harness to an FAA-approved airframe attachment point or points inside the aircraft and that ensures the torso of the individual using the supplemental restraint system remains inside the aircraft at all times;
(3) Not impede egress from the aircraft in an emergency after being released; and
(4) Have a release mechanism that—
(i) Can be quickly operated by the individual using the supplemental restraint system with minimal difficulty;
(ii) Is attached to the front or side of the harness in a location easily accessible to and visible by the individual using the supplemental restraint system;
(iii) Prevents inadvertent release; and
(iv) Can be released without the use of a knife to cut the restraint, and without any additional tool or the assistance of any other individual.
(d) Who may provide the supplemental restraint system. The supplemental restraint system may be provided by the operator or by the individual using the supplemental restraint system. An operator or individual providing a supplemental restraint system must:
(1) Confirm with the pilot in command, either verbally or in writing, as determined by the pilot in command, the system's continued serviceability and readiness for its intended purpose; and
(2) Ensure the individual who will occupy the supplemental restraint system complies with the sizing criteria for which the system is rated.
(e) Supplemental restraint system operational requirements. The following are supplemental restraint system operational requirements:
(1) A qualified person designated by the operator must—
(i) Connect the supplemental restraint system to an FAA-approved airframe attachment point or points rated equal to or greater than the weight of the individual using the supplemental restraint system (or the combined weight if there is more than one supplemental restraint system attached to an attachment point);
(ii) Not connect the supplemental restraint system to any airframe attachment point located in the flightdeck; and
(iii) Not connect the supplemental restraint system to any safety belt or shoulder harness attachment point(s) unless the attachment point is FAA-approved as described in paragraph (e)(1)(i) of this section.
(2) A supplemental restraint system must fit the individual using it based on the sizing criteria for which the supplemental restraint system is rated.
(3) Nothing may attach to the supplemental restraint system that is not relevant to its function as defined under § 1.1 of this chapter.
(f) Pilot in command. The pilot in command—
(1) Has the overall responsibility to ensure that the supplemental restraint system meets the requirements of this section and must not permit an individual to use a supplemental restraint system that does not meet the requirements of this section;
(2) Must receive confirmation from the operator or any individual providing the supplemental restraint system of the system's continued serviceability and readiness for its intended purpose before each takeoff;
(3) May only permit an individual to use a supplemental restraint system provided by the operator or the pilot in command if that individual complies with the sizing criteria for which the supplemental restraint system is rated;
(4) Has final authority regarding whether the supplemental restraint system may be used during flight operations; and
(5) Has final authority to authorize an individual to release the FAA-approved safety belt and, if installed, shoulder harness and remain secured only by the supplemental restraint system.
(g) Passenger briefing. Before each takeoff, the pilot in command must ensure that each passenger who intends to use a supplemental restraint system has been briefed on:
(1) How to use, secure, and release the supplemental restraint system properly. This requirement is not necessary for an individual providing their own supplemental restraint system, but that individual must meet the passenger demonstration requirements in paragraph (h) of this section.
(2) Means of direct communication between crewmembers and passengers during normal and emergency operating procedures regarding—
(i) The use of headset and intercom systems, if installed;
(ii) How passengers will be notified of an event requiring action, including emergencies, egress procedures, and other unforeseen circumstances;
(iii) How each passenger will be notified when the passenger is permitted to release the FAA-approved safety belt and, if installed, shoulder harness, and move within the aircraft using the supplemental restraint system;
(iv) How each passenger will be notified when the passenger must return to their seat and secure the FAA-approved safety belt and, if installed, shoulder harness; and
(v) When and how to notify a crewmember of safety concerns.
(h) Passenger demonstration. After the briefing required by paragraph (g) of this section, prior to ground movement, any passenger intending to use a supplemental restraint system must demonstrate to the pilot in command, a crewmember, or other qualified person designated by the operator, the following:
(1) The ability to use, secure, and release the FAA-approved safety belt and, if installed, shoulder harness, and
(2) The ability to accomplish all actions required for quick release of the supplemental restraint system without assistance and with minimal difficulty.
(i) Individuals not permitted to use supplemental restraint systems. The following individuals are not permitted to use a supplemental restraint system, as defined in § 1.1 of this chapter:
(1) Any passenger who cannot demonstrate—
(i) That they are able to use, secure, and release the FAA-approved safety belt and, if installed, shoulder harness; or
(ii) That they are able to release quickly the supplemental restraint system with no assistance and with minimal difficulty.
(2) Any individual who is less than 15 years of age.
(3) Any individual seated in the flightdeck.
(4) Any passenger who occupies or uses an approved child restraint system.
(j) Lap-held child. Notwithstanding any other requirement of this chapter, a child who has not reached their second birthday may not be held by an adult during civil aircraft operations when:
(1) The adult uses a supplemental restraint system; or
(2) The aircraft doors are opened or removed.
(k) Excluded operations. Unless otherwise stated:
(1) This section does not apply to operations conducted under part 105 or 133 of this chapter and does not apply to the persons described in § 91.107(a)(3)(ii) of this chapter.
(2) Operators subject to the requirements of paragraph (b)(1) of this section may operate an aircraft with doors opened or removed, notwithstanding any flight crewmembers on board who are subject to the requirements of §§ 91.105 or 135.171 of this chapter and who need to unfasten their shoulder harnesses in accordance with those sections.
(3) Paragraph (b)(2) of this section does not apply to any flight crewmembers subject to §§ 91.105 or 135.171 of this chapter to the extent that the flight crewmembers need to unfasten their shoulder harnesses in accordance with those sections.
(a) No person may operate a civil aircraft (except a manned free balloon) that is being used for flight instruction unless that aircraft has fully functioning dual controls. However, instrument flight instruction may be given in an airplane that is equipped with a single, functioning throwover control wheel that controls the elevator and ailerons, in place of fixed, dual controls, when—
(1) The instructor has determined that the flight can be conducted safely; and
(2) The person manipulating the controls has at least a private pilot certificate with appropriate category and class ratings.
(b) An airplane equipped with a single, functioning throwover control wheel that controls the elevator and ailerons, in place of fixed, dual controls may be used for flight instruction to conduct a flight review required by § 61.56 of this chapter, or to obtain recent flight experience or an instrument proficiency check required by § 61.57 when—
(1) The airplane is equipped with operable rudder pedals at both pilot stations;
(2) The pilot manipulating the controls is qualified to serve and serves as pilot in command during the entire flight;
(3) The instructor is current and qualified to serve as pilot in command of the airplane, meets the requirements of § 61.195(b), and has logged at least 25 hours of pilot-in-command flight time in the make and model of airplane; and
(4) The pilot in command and the instructor have determined the flight can be conducted safely.
(c) No person may operate a civil aircraft in simulated instrument flight unless—
(1) The other control seat is occupied by a safety pilot who possesses at least:
(i) A private pilot certificate with category and class ratings appropriate to the aircraft being flown; or
(ii) For purposes of providing training for a solo cross-country endorsement under § 61.93 of this chapter, a flight instructor certificate with an appropriate sport pilot rating and meets the requirements of § 61.412 of this chapter.
(2) The safety pilot has adequate vision forward and to each side of the aircraft, or a competent observer in the aircraft adequately supplements the vision of the safety pilot; and
(3) Except in the case of lighter-than-air aircraft, that aircraft is equipped with fully functioning dual controls. However, simulated instrument flight may be conducted in a single-engine airplane, equipped with a single, functioning, throwover control wheel, in place of fixed, dual controls of the elevator and ailerons, when—
(i) The safety pilot has determined that the flight can be conducted safely; and
(ii) The person manipulating the controls has at least a private pilot certificate with appropriate category and class ratings.
(d) No person may operate a civil aircraft that is being used for a flight test for an airline transport pilot certificate or a class or type rating on that certificate, or for a part 121 proficiency flight test, unless the pilot seated at the controls, other than the pilot being checked, is fully qualified to act as pilot in command of the aircraft.
(a) No person may operate an aircraft so close to another aircraft as to create a collision hazard.
(b) No person may operate an aircraft in formation flight except by arrangement with the pilot in command of each aircraft in the formation.
(c) No person may operate an aircraft, carrying passengers for hire, in formation flight.
(a) Inapplicability. This section does not apply to the operation of an aircraft on water.
(b) General. When weather conditions permit, regardless of whether an operation is conducted under instrument flight rules or visual flight rules, vigilance shall be maintained by each person operating an aircraft so as to see and avoid other aircraft. When a rule of this section gives another aircraft the right-of-way, the pilot shall give way to that aircraft and may not pass over, under, or ahead of it unless well clear.
(c) In distress. An aircraft in distress has the right-of-way over all other air traffic.
(d) Converging. When aircraft of the same category are converging at approximately the same altitude (except head-on, or nearly so), the aircraft to the other's right has the right-of-way. If the aircraft are of different categories—
(1) A balloon has the right-of-way over any other category of aircraft;
(2) A glider has the right-of-way over powered aircraft.
(3) An airship has the right-of-way over all other powered aircraft, except for an aircraft towing or refueling other aircraft.
(4) An aircraft towing or refueling other aircraft has the right-of-way over all other powered aircraft.
(e) Approaching head-on. When aircraft are approaching each other head-on, or nearly so, each pilot of each aircraft shall alter course to the right.
(f) Overtaking. Each aircraft that is being overtaken has the right-of-way and each pilot of an overtaking aircraft shall alter course to the right to pass well clear.
(g) Landing. Aircraft, while on final approach to land or while landing, have the right-of-way over other aircraft in flight or operating on the surface, except that they shall not take advantage of this rule to force an aircraft off the runway surface which has already landed and is attempting to make way for an aircraft on final approach. When two or more aircraft are approaching an airport for the purpose of landing, the aircraft at the lower altitude has the right-of-way, but it shall not take advantage of this rule to cut in front of another which is on final approach to land or to overtake that aircraft.
(a) General. Each person operating an aircraft on the water shall, insofar as possible, keep clear of all vessels and avoid impeding their navigation, and shall give way to any vessel or other aircraft that is given the right-of-way by any rule of this section.
(b) Crossing. When aircraft, or an aircraft and a vessel, are on crossing courses, the aircraft or vessel to the other's right has the right-of-way.
(c) Approaching head-on. When aircraft, or an aircraft and a vessel, are approaching head-on, or nearly so, each shall alter its course to the right to keep well clear.
(d) Overtaking. Each aircraft or vessel that is being overtaken has the right-of-way, and the one overtaking shall alter course to keep well clear.
(e) Special circumstances. When aircraft, or an aircraft and a vessel, approach so as to involve risk of collision, each aircraft or vessel shall proceed with careful regard to existing circumstances, including the limitations of the respective craft.
(a) Unless otherwise authorized by the Administrator, no person may operate an aircraft below 10,000 feet MSL at an indicated airspeed of more than 250 knots (288 m.p.h.).
(b) Unless otherwise authorized or required by ATC, no person may operate an aircraft at or below 2,500 feet above the surface within 4 nautical miles of the primary airport of a Class C or Class D airspace area at an indicated airspeed of more than 200 knots (230 mph.). This paragraph (b) does not apply to any operations within a Class B airspace area. Such operations shall comply with paragraph (a) of this section.
(c) No person may operate an aircraft in the airspace underlying a Class B airspace area designated for an airport or in a VFR corridor designated through such a Class B airspace area, at an indicated airspeed of more than 200 knots (230 mph).
(d) If the minimum safe airspeed for any particular operation is greater than the maximum speed prescribed in this section, the aircraft may be operated at that minimum speed.
Except when necessary for takeoff or landing, no person may operate an aircraft below the following altitudes:
(a) Anywhere. An altitude allowing, if a power unit fails, an emergency landing without undue hazard to persons or property on the surface.
(b) Over congested areas. Over any congested area of a city, town, or settlement, or over any open air assembly of persons, an altitude of 1,000 feet above the highest obstacle within a horizontal radius of 2,000 feet of the aircraft.
(c) Over other than congested areas. An altitude of 500 feet above the surface, except over open water or sparsely populated areas. In those cases, the aircraft may not be operated closer than 500 feet to any person, vessel, vehicle, or structure.
(d) Helicopters, powered parachutes, and weight-shift-control aircraft. If the operation is conducted without hazard to persons or property on the surface—
(1) A helicopter may be operated at less than the minimums prescribed in paragraph (b) or (c) of this section, provided each person operating the helicopter complies with any routes or altitudes specifically prescribed for helicopters by the FAA; and
(2) A powered parachute or weight-shift-control aircraft may be operated at less than the minimums prescribed in paragraph (c) of this section.
(a) Each person operating an aircraft shall maintain the cruising altitude or flight level of that aircraft, as the case may be, by reference to an altimeter that is set, when operating—
(1) Below 18,000 feet MSL, to—
(i) The current reported altimeter setting of a station along the route and within 100 nautical miles of the aircraft;
(ii) If there is no station within the area prescribed in paragraph (a)(1)(i) of this section, the current reported altimeter setting of an appropriate available station; or
(iii) In the case of an aircraft not equipped with a radio, the elevation of the departure airport or an appropriate altimeter setting available before departure; or
(2) At or above 18,000 feet MSL, to 29.92″ Hg.
(b) The lowest usable flight level is determined by the atmospheric pressure in the area of operation as shown in the following table:
| Current altimeter setting | Lowest usable flight level |
|---|---|
| 29.92 (or higher) | 180 |
| 29.91 through 29.42 | 185 |
| 29.41 through 28.92 | 190 |
| 28.91 through 28.42 | 195 |
| 28.41 through 27.92 | 200 |
| 27.91 through 27.42 | 205 |
| 27.41 through 26.92 | 210 |
(c) To convert minimum altitude prescribed under §§ 91.119 and 91.177 to the minimum flight level, the pilot shall take the flight level equivalent of the minimum altitude in feet and add the appropriate number of feet specified below, according to the current reported altimeter setting:
| Current altimeter setting | Adjustment factor |
|---|---|
| 29.92 (or higher) | None |
| 29.91 through 29.42 | 500 |
| 29.41 through 28.92 | 1,000 |
| 28.91 through 28.42 | 1,500 |
| 28.41 through 27.92 | 2,000 |
| 27.91 through 27.42 | 2,500 |
| 27.41 through 26.92 | 3,000 |
(a) When an ATC clearance has been obtained, no pilot in command may deviate from that clearance unless an amended clearance is obtained, an emergency exists, or the deviation is in response to a traffic alert and collision avoidance system resolution advisory. However, except in Class A airspace, a pilot may cancel an IFR flight plan if the operation is being conducted in VFR weather conditions. When a pilot is uncertain of an ATC clearance, that pilot shall immediately request clarification from ATC.
(b) Except in an emergency, no person may operate an aircraft contrary to an ATC instruction in an area in which air traffic control is exercised.
(c) Each pilot in command who, in an emergency, or in response to a traffic alert and collision avoidance system resolution advisory, deviates from an ATC clearance or instruction shall notify ATC of that deviation as soon as possible.
(d) Each pilot in command who (though not deviating from a rule of this subpart) is given priority by ATC in an emergency, shall submit a detailed report of that emergency within 48 hours to the manager of that ATC facility, if requested by ATC.
(e) Unless otherwise authorized by ATC, no person operating an aircraft may operate that aircraft according to any clearance or instruction that has been issued to the pilot of another aircraft for radar air traffic control purposes.
ATC light signals have the meaning shown in the following table:
| Color and type of signal | Meaning with respect to aircraft on the surface | Meaning with respect to aircraft in flight |
|---|---|---|
| Steady green | Cleared for takeoff | Cleared to land. |
| Flashing green | Cleared to taxi | Return for landing (to be followed by steady green at proper time). |
| Steady red | Stop | Give way to other aircraft and continue circling. |
| Flashing red | Taxi clear of runway in use | Airport unsafe—do not land. |
| Flashing white | Return to starting point on airport | Not applicable. |
| Alternating red and green | Exercise extreme caution | Exercise extreme caution. |
(a) General. Unless otherwise authorized or required, each person operating an aircraft on or in the vicinity of an airport in a Class G airspace area must comply with the requirements of this section.
(b) Direction of turns. When approaching to land at an airport without an operating control tower in Class G airspace—
(1) Each pilot of a powered fixed-wing aircraft must make all turns to the left unless the airport displays approved light signals or visual markings indicating that turns should be made to the right, in which case the pilot must make all turns to the right; and
(2) Each pilot of any other powered aircraft must avoid the flow of the aircraft specified in paragraph (b)(1) of this section.
(c) Flap settings. Except when necessary for training or certification, the pilot in command of a civil turbojet-powered aircraft must use, as a final flap setting, the minimum certificated landing flap setting set forth in the approved performance information in the Airplane Flight Manual for the applicable conditions. However, each pilot in command has the final authority and responsibility for the safe operation of the pilot's airplane, and may use a different flap setting for that airplane if the pilot determines that it is necessary in the interest of safety.
(d) Communications with control towers. Unless otherwise authorized or required by ATC, no person may operate an aircraft to, from, through, or on an airport having an operational control tower unless two-way radio communications are maintained between that aircraft and the control tower. Communications must be established prior to 4 nautical miles from the airport, up to and including 2,500 feet AGL. However, if the aircraft radio fails in flight, the pilot in command may operate that aircraft and land if weather conditions are at or above basic VFR weather minimums, visual contact with the tower is maintained, and a clearance to land is received. If the aircraft radio fails while in flight under IFR, the pilot must comply with § 91.185.
(a) Unless otherwise required by part 93 of this chapter or unless otherwise authorized or required by the ATC facility having jurisdiction over the Class E airspace area, each person operating an aircraft on or in the vicinity of an airport in a Class E airspace area must comply with the requirements of § 91.126.
(b) Departures. Each pilot of an aircraft must comply with any traffic patterns established for that airport in part 93 of this chapter.
(c) Communications with control towers. Unless otherwise authorized or required by ATC, no person may operate an aircraft to, from, through, or on an airport having an operational control tower unless two-way radio communications are maintained between that aircraft and the control tower. Communications must be established prior to 4 nautical miles from the airport, up to and including 2,500 feet AGL. However, if the aircraft radio fails in flight, the pilot in command may operate that aircraft and land if weather conditions are at or above basic VFR weather minimums, visual contact with the tower is maintained, and a clearance to land is received. If the aircraft radio fails while in flight under IFR, the pilot must comply with § 91.185.
(a) General. Unless otherwise authorized or required by the ATC facility having jurisdiction over the Class D airspace area, each person operating an aircraft in Class D airspace must comply with the applicable provisions of this section. In addition, each person must comply with §§ 91.126 and 91.127. For the purpose of this section, the primary airport is the airport for which the Class D airspace area is designated. A satellite airport is any other airport within the Class D airspace area.
(b) Deviations. An operator may deviate from any provision of this section under the provisions of an ATC authorization issued by the ATC facility having jurisdiction over the airspace concerned. ATC may authorize a deviation on a continuing basis or for an individual flight, as appropriate.
(c) Communications. Each person operating an aircraft in Class D airspace must meet the following two-way radio communications requirements:
(1) Arrival or through flight. Each person must establish two-way radio communications with the ATC facility (including foreign ATC in the case of foreign airspace designated in the United States) providing air traffic services prior to entering that airspace and thereafter maintain those communications while within that airspace.
(2) Departing flight. Each person—
(i) From the primary airport or satellite airport with an operating control tower must establish and maintain two-way radio communications with the control tower, and thereafter as instructed by ATC while operating in the Class D airspace area; or
(ii) From a satellite airport without an operating control tower, must establish and maintain two-way radio communications with the ATC facility having jurisdiction over the Class D airspace area as soon as practicable after departing.
(d) Communications failure. Each person who operates an aircraft in a Class D airspace area must maintain two-way radio communications with the ATC facility having jurisdiction over that area.
(1) If the aircraft radio fails in flight under IFR, the pilot must comply with § 91.185 of the part.
(2) If the aircraft radio fails in flight under VFR, the pilot in command may operate that aircraft and land if—
(i) Weather conditions are at or above basic VFR weather minimums;
(ii) Visual contact with the tower is maintained; and
(iii) A clearance to land is received.
(e) Minimum altitudes when operating to an airport in Class D airspace. (1) Unless required by the applicable distance-from-cloud criteria, each pilot operating a large or turbine-powered airplane must enter the traffic pattern at an altitude of at least 1,500 feet above the elevation of the airport and maintain at least 1,500 feet until further descent is required for a safe landing.
(2) Each pilot operating a large or turbine-powered airplane approaching to land on a runway served by an instrument approach procedure with vertical guidance, if the airplane is so equipped, must:
(i) Operate that airplane at an altitude at or above the glide path between the published final approach fix and the decision altitude (DA), or decision height (DH), as applicable; or
(ii) If compliance with the applicable distance-from-cloud criteria requires glide path interception closer in, operate that airplane at or above the glide path, between the point of interception of glide path and the DA or the DH.
(3) Each pilot operating an airplane approaching to land on a runway served by a visual approach slope indicator must maintain an altitude at or above the glide path until a lower altitude is necessary for a safe landing.
(4) Paragraphs (e)(2) and (e)(3) of this section do not prohibit normal bracketing maneuvers above or below the glide path that are conducted for the purpose of remaining on the glide path.
(f) Approaches. Except when conducting a circling approach under part 97 of this chapter or unless otherwise required by ATC, each pilot must—
(1) Circle the airport to the left, if operating an airplane; or
(2) Avoid the flow of fixed-wing aircraft, if operating a helicopter.
(g) Departures. No person may operate an aircraft departing from an airport except in compliance with the following:
(1) Each pilot must comply with any departure procedures established for that airport by the FAA.
(2) Unless otherwise required by the prescribed departure procedure for that airport or the applicable distance from clouds criteria, each pilot of a turbine-powered airplane and each pilot of a large airplane must climb to an altitude of 1,500 feet above the surface as rapidly as practicable.
(h) Noise abatement. Where a formal runway use program has been established by the FAA, each pilot of a large or turbine-powered airplane assigned a noise abatement runway by ATC must use that runway. However, consistent with the final authority of the pilot in command concerning the safe operation of the aircraft as prescribed in § 91.3(a), ATC may assign a different runway if requested by the pilot in the interest of safety.
(i) Takeoff, landing, taxi clearance. No person may, at any airport with an operating control tower, operate an aircraft on a runway or taxiway, or take off or land an aircraft, unless an appropriate clearance is received from ATC.
(a) General. Unless otherwise authorized by ATC, each aircraft operation in Class C airspace must be conducted in compliance with this section and § 91.129. For the purpose of this section, the primary airport is the airport for which the Class C airspace area is designated. A satellite airport is any other airport within the Class C airspace area.
(b) Traffic patterns. No person may take off or land an aircraft at a satellite airport within a Class C airspace area except in compliance with FAA arrival and departure traffic patterns.
(c) Communications. Each person operating an aircraft in Class C airspace must meet the following two-way radio communications requirements:
(1) Arrival or through flight. Each person must establish two-way radio communications with the ATC facility (including foreign ATC in the case of foreign airspace designated in the United States) providing air traffic services prior to entering that airspace and thereafter maintain those communications while within that airspace.
(2) Departing flight. Each person—
(i) From the primary airport or satellite airport with an operating control tower must establish and maintain two-way radio communications with the control tower, and thereafter as instructed by ATC while operating in the Class C airspace area; or
(ii) From a satellite airport without an operating control tower, must establish and maintain two-way radio communications with the ATC facility having jurisdiction over the Class C airspace area as soon as practicable after departing.
(d) Equipment requirements. Unless otherwise authorized by the ATC having jurisdiction over the Class C airspace area, no person may operate an aircraft within a Class C airspace area designated for an airport unless that aircraft is equipped with the applicable equipment specified in § 91.215, and after January 1, 2020, § 91.225.
(e) Deviations. An operator may deviate from any provision of this section under the provisions of an ATC authorization issued by the ATC facility having jurisdiction over the airspace concerned. ATC may authorize a deviation on a continuing basis or for an individual flight, as appropriate.
(a) Operating rules. No person may operate an aircraft within a Class B airspace area except in compliance with § 91.129 and the following rules:
(1) The operator must receive an ATC clearance from the ATC facility having jurisdiction for that area before operating an aircraft in that area.
(2) Unless otherwise authorized by ATC, each person operating a large turbine engine-powered airplane to or from a primary airport for which a Class B airspace area is designated must operate at or above the designated floors of the Class B airspace area while within the lateral limits of that area.
(3) Any person conducting pilot training operations at an airport within a Class B airspace area must comply with any procedures established by ATC for such operations in that area.
(b) Pilot requirements. (1) No person may take off or land a civil aircraft at an airport within a Class B airspace area or operate a civil aircraft within a Class B airspace area unless—
(i) The pilot in command holds at least a private pilot certificate;
(ii) The pilot in command holds a recreational pilot certificate and has met—
(A) The requirements of § 61.101(d) of this chapter; or
(B) The requirements for a student pilot seeking a recreational pilot certificate in § 61.94 of this chapter;
(iii) The pilot in command holds a sport pilot certificate and has met—
(A) The requirements of § 61.325 of this chapter; or
(B) The requirements for a student pilot seeking a recreational pilot certificate in § 61.94 of this chapter; or
(iv) The aircraft is operated by a student pilot who has met the requirements of § 61.94 or § 61.95 of this chapter, as applicable.
(2) Notwithstanding the provisions of paragraphs (b)(1)(ii), (b)(1)(iii) and (b)(1)(iv) of this section, no person may take off or land a civil aircraft at those airports listed in section 4 of appendix D to this part unless the pilot in command holds at least a private pilot certificate.
(c) Communications and navigation equipment requirements. Unless otherwise authorized by ATC, no person may operate an aircraft within a Class B airspace area unless that aircraft is equipped with—
(1) For IFR operation. An operable VOR or TACAN receiver or an operable and suitable RNAV system; and
(2) For all operations. An operable two-way radio capable of communications with ATC on appropriate frequencies for that Class B airspace area.
(d) Other equipment requirements. No person may operate an aircraft in a Class B airspace area unless the aircraft is equipped with—
(1) The applicable operating transponder and automatic altitude reporting equipment specified in § 91.215 (a), except as provided in § 91.215 (e), and
(2) After January 1, 2020, the applicable Automatic Dependent Surveillance-Broadcast Out equipment specified in § 91.225.
(a) No person may operate an aircraft within a restricted area (designated in part 73) contrary to the restrictions imposed, or within a prohibited area, unless that person has the permission of the using or controlling agency, as appropriate.
(b) Each person conducting, within a restricted area, an aircraft operation (approved by the using agency) that creates the same hazards as the operations for which the restricted area was designated may deviate from the rules of this subpart that are not compatible with the operation of the aircraft.
Except as provided in paragraph (d) of this section, each person operating an aircraft in Class A airspace must conduct that operation under instrument flight rules (IFR) and in compliance with the following:
(a) Clearance. Operations may be conducted only under an ATC clearance received prior to entering the airspace.
(b) Communications. Unless otherwise authorized by ATC, each aircraft operating in Class A airspace must be equipped with a two-way radio capable of communicating with ATC on a frequency assigned by ATC. Each pilot must maintain two-way radio communications with ATC while operating in Class A airspace.
(c) Equipment requirements. Unless otherwise authorized by ATC, no person may operate an aircraft within Class A airspace unless that aircraft is equipped with the applicable equipment specified in § 91.215, and after January 1, 2020, § 91.225.
(d) ATC authorizations. An operator may deviate from any provision of this section under the provisions of an ATC authorization issued by the ATC facility having jurisdiction of the airspace concerned. In the case of an inoperative transponder, ATC may immediately approve an operation within a Class A airspace area allowing flight to continue, if desired, to the airport of ultimate destination, including any intermediate stops, or to proceed to a place where suitable repairs can be made, or both. Requests for deviation from any provision of this section must be submitted in writing, at least 4 days before the proposed operation. ATC may authorize a deviation on a continuing basis or for an individual flight.
(a) The Administrator will issue a Notice to Airmen (NOTAM) designating an area within which temporary flight restrictions apply and specifying the hazard or condition requiring their imposition, whenever he determines it is necessary in order to—
(1) Protect persons and property on the surface or in the air from a hazard associated with an incident on the surface;
(2) Provide a safe environment for the operation of disaster relief aircraft; or
(3) Prevent an unsafe congestion of sightseeing and other aircraft above an incident or event which may generate a high degree of public interest.
(b) When a NOTAM has been issued under paragraph (a)(1) of this section, no person may operate an aircraft within the designated area unless that aircraft is participating in the hazard relief activities and is being operated under the direction of the official in charge of on scene emergency response activities.
(c) When a NOTAM has been issued under paragraph (a)(2) of this section, no person may operate an aircraft within the designated area unless at least one of the following conditions are met:
(1) The aircraft is participating in hazard relief activities and is being operated under the direction of the official in charge of on scene emergency response activities.
(2) The aircraft is carrying law enforcement officials.
(3) The aircraft is operating under the ATC approved IFR flight plan.
(4) The operation is conducted directly to or from an airport within the area, or is necessitated by the impracticability of VFR flight above or around the area due to weather, or terrain; notification is given to the Flight Service Station (FSS) or ATC facility specified in the NOTAM to receive advisories concerning disaster relief aircraft operations; and the operation does not hamper or endanger relief activities and is not conducted for the purpose of observing the disaster.
(5) The aircraft is carrying properly accredited news representatives, and, prior to entering the area, a flight plan is filed with the appropriate FAA or ATC facility specified in the Notice to Airmen and the operation is conducted above the altitude used by the disaster relief aircraft, unless otherwise authorized by the official in charge of on scene emergency response activities.
(d) When a NOTAM has been issued under paragraph (a)(3) of this section, no person may operate an aircraft within the designated area unless at least one of the following conditions is met:
(1) The operation is conducted directly to or from an airport within the area, or is necessitated by the impracticability of VFR flight above or around the area due to weather or terrain, and the operation is not conducted for the purpose of observing the incident or event.
(2) The aircraft is operating under an ATC approved IFR flight plan.
(3) The aircraft is carrying incident or event personnel, or law enforcement officials.
(4) The aircraft is carrying properly accredited news representatives and, prior to entering that area, a flight plan is filed with the appropriate FSS or ATC facility specified in the NOTAM.
(e) Flight plans filed and notifications made with an FSS or ATC facility under this section shall include the following information:
(1) Aircraft identification, type and color.
(2) Radio communications frequencies to be used.
(3) Proposed times of entry of, and exit from, the designated area.
(4) Name of news media or organization and purpose of flight.
(5) Any other information requested by ATC.
(a) When the Administrator has determined, pursuant to a request and justification provided by the Governor of the State of Hawaii, or the Governor's designee, that an inhabited area within a declared national disaster area in the State of Hawaii is in need of protection for humanitarian reasons, the Administrator will issue a Notice to Airmen (NOTAM) designating an area within which temporary flight restrictions apply. The Administrator will designate the extent and duration of the temporary flight restrictions necessary to provide for the protection of persons and property on the surface.
(b) When a NOTAM has been issued in accordance with this section, no person may operate an aircraft within the designated area unless at least one of the following conditions is met:
(1) That person has obtained authorization from the official in charge of associated emergency or disaster relief response activities, and is operating the aircraft under the conditions of that authorization.
(2) The aircraft is carrying law enforcement officials.
(3) The aircraft is carrying persons involved in an emergency or a legitimate scientific purpose.
(4) The aircraft is carrying properly accredited newspersons, and that prior to entering the area, a flight plan is filed with the appropriate FAA or ATC facility specified in the NOTAM and the operation is conducted in compliance with the conditions and restrictions established by the official in charge of on-scene emergency response activities.
(5) The aircraft is operating in accordance with an ATC clearance or instruction.
(c) A NOTAM issued under this section is effective for 90 days or until the national disaster area designation is terminated, whichever comes first, unless terminated by notice or extended by the Administrator at the request of the Governor of the State of Hawaii or the Governor's designee.
(a) This section prescribes a process for utilizing Notices to Airmen (NOTAMs) to advise of the issuance and operations under emergency air traffic rules and regulations and designates the official who is authorized to issue NOTAMs on behalf of the Administrator in certain matters under this section.
(b) Whenever the Administrator determines that an emergency condition exists, or will exist, relating to the FAA's ability to operate the air traffic control system and during which normal flight operations under this chapter cannot be conducted consistent with the required levels of safety and efficiency—
(1) The Administrator issues an immediately effective air traffic rule or regulation in response to that emergency condition; and
(2) The Administrator or the Associate Administrator for Air Traffic may utilize the NOTAM system to provide notification of the issuance of the rule or regulation.
(c) When a NOTAM has been issued under this section, no person may operate an aircraft, or other device governed by the regulation concerned, within the designated airspace except in accordance with the authorizations, terms, and conditions prescribed in the regulation covered by the NOTAM.
No person may operate an aircraft over or in the vicinity of any area to be visited or traveled by the President, the Vice President, or other public figures contrary to the restrictions established by the Administrator and published in a Notice to Airmen (NOTAM).
When a Notice to Airmen (NOTAM) is issued in accordance with this section, no person may operate any aircraft of U.S. registry, or pilot any aircraft under the authority of an airman certificate issued by the Federal Aviation Administration, within areas designated in a NOTAM for space flight operation except when authorized by ATC.
(a) Special flight restrictions. When any information indicates that barometric pressure on the route of flight currently exceeds or will exceed 31 inches of mercury, no person may operate an aircraft or initiate a flight contrary to the requirements established by the Administrator and published in a Notice to Airmen issued under this section.
(b) Waivers. The Administrator is authorized to waive any restriction issued under paragraph (a) of this section to permit emergency supply, transport, or medical services to be delivered to isolated communities, where the operation can be conducted with an acceptable level of safety.
(a) The FAA will issue a Notice to Airmen (NOTAM) designating an area of airspace in which a temporary flight restriction applies when it determines that a temporary flight restriction is necessary to protect persons or property on the surface or in the air, to maintain air safety and efficiency, or to prevent the unsafe congestion of aircraft in the vicinity of an aerial demonstration or major sporting event. These demonstrations and events may include:
(1) United States Naval Flight Demonstration Team (Blue Angels);
(2) United States Air Force Air Demonstration Squadron (Thunderbirds);
(3) United States Army Parachute Team (Golden Knights);
(4) Summer/Winter Olympic Games;
(5) Annual Tournament of Roses Football Game;
(6) World Cup Soccer;
(7) Major League Baseball All-Star Game;
(8) World Series;
(9) Kodak Albuquerque International Balloon Fiesta;
(10) Sandia Classic Hang Gliding Competition;
(11) Indianapolis 500 Mile Race;
(12) Any other aerial demonstration or sporting event the FAA determines to need a temporary flight restriction in accordance with paragraph (b) of this section.
(b) In deciding whether a temporary flight restriction is necessary for an aerial demonstration or major sporting event not listed in paragraph (a) of this section, the FAA considers the following factors:
(1) Area where the event will be held.
(2) Effect flight restrictions will have on known aircraft operations.
(3) Any existing ATC airspace traffic management restrictions.
(4) Estimated duration of the event.
(5) Degree of public interest.
(6) Number of spectators.
(7) Provisions for spectator safety.
(8) Number and types of participating aircraft.
(9) Use of mixed high and low performance aircraft.
(10) Impact on non-participating aircraft.
(11) Weather minimums.
(12) Emergency procedures that will be in effect.
(c) A NOTAM issued under this section will state the name of the aerial demonstration or sporting event and specify the effective dates and times, the geographic features or coordinates, and any other restrictions or procedures governing flight operations in the designated airspace.
(d) When a NOTAM has been issued in accordance with this section, no person may operate an aircraft or device, or engage in any activity within the designated airspace area, except in accordance with the authorizations, terms, and conditions of the temporary flight restriction published in the NOTAM, unless otherwise authorized by:
(1) Air traffic control; or
(2) A Flight Standards Certificate of Waiver or Authorization issued for the demonstration or event.
(e) For the purpose of this section:
(1) Flight restricted airspace area for an aerial demonstration—The amount of airspace needed to protect persons and property on the surface or in the air, to maintain air safety and efficiency, or to prevent the unsafe congestion of aircraft will vary depending on the aerial demonstration and the factors listed in paragraph (b) of this section. The restricted airspace area will normally be limited to a 5 nautical mile radius from the center of the demonstration and an altitude 17000 mean sea level (for high performance aircraft) or 13000 feet above the surface (for certain parachute operations), but will be no greater than the minimum airspace necessary for the management of aircraft operations in the vicinity of the specified area.
(2) Flight restricted area for a major sporting event—The amount of airspace needed to protect persons and property on the surface or in the air, to maintain air safety and efficiency, or to prevent the unsafe congestion of aircraft will vary depending on the size of the event and the factors listed in paragraph (b) of this section. The restricted airspace will normally be limited to a 3 nautical mile radius from the center of the event and 2500 feet above the surface but will not be greater than the minimum airspace necessary for the management of aircraft operations in the vicinity of the specified area.
(f) A NOTAM issued under this section will be issued at least 30 days in advance of an aerial demonstration or a major sporting event, unless the FAA finds good cause for a shorter period and explains this in the NOTAM.
(g) When warranted, the FAA Administrator may exclude the following flights from the provisions of this section:
(1) Essential military.
(2) Medical and rescue.
(3) Presidential and Vice Presidential.
(4) Visiting heads of state.
(5) Law enforcement and security.
(6) Public health and welfare.
(a) Definitions. For purposes of this section, the following definitions apply:
Charitable event means an event that raises funds for the benefit of a charitable organization recognized by the Department of the Treasury whose donors may deduct contributions under section 170 of the Internal Revenue Code (26 U.S.C. Section 170).
Community event means an event that raises funds for the benefit of any local or community cause that is not a charitable event or non-profit event.
Non-profit event means an event that raises funds for the benefit of a non-profit organization recognized under State or Federal law, as long as one of the organization's purposes is the promotion of aviation safety.
(b) Passenger-carrying flights in airplanes, powered-lift, or rotorcraft for the benefit of a charitable, nonprofit, or community event identified in paragraph (c) of this section are not subject to the certification requirements of part 119 of this chapter or the drug and alcohol testing requirements in part 120 of this chapter, provided the following conditions are satisfied and the limitations in paragraphs (c) and (d) of this section are not exceeded:
(1) The flight is nonstop and begins and ends at the same airport and is conducted within a 25-statute mile radius of that airport;
(2) The flight is conducted from a public airport that is adequate for the aircraft used, or from another location the FAA approves for the operation;
(3) The aircraft has a maximum of 30 seats, excluding each crewmember seat, and a maximum payload capacity of 7,500 pounds;
(4) The flight is not an aerobatic or a formation flight;
(5) Each aircraft holds a standard airworthiness certificate, is airworthy, and is operated in compliance with the applicable requirements of subpart E of this part;
(6) Each flight is made during day VFR conditions;
(7) Reimbursement of the operator of the aircraft is limited to that portion of the passenger payment for the flight that does not exceed the pro rata cost of owning, operating, and maintaining the aircraft for that flight, which may include fuel, oil, airport expenditures, and rental fees;
(8) The beneficiary of the funds raised is not in the business of transportation by air;
(9) A private pilot acting as pilot in command has at least 500 hours of flight time;
(10) Each flight is conducted in accordance with the safety provisions of part 136, subpart A of this chapter; and
(11) Flights are not conducted over a national park, unit of a national park, or abutting tribal lands, unless the operator has secured a letter of agreement from the FAA, as specified under subpart B of part 136 of this chapter, and is operating in accordance with that agreement during the flights.
(c) (1) Passenger-carrying flights or series of flights are limited to a total of four charitable events or non-profit events per year, with no event lasting more than three consecutive days.
(2) Passenger-carrying flights or series of flights are limited to one community event per year, with no event lasting more than three consecutive days.
(d) Pilots and sponsors of events described in this section are limited to no more than 4 events per calendar year.
(e) At least seven days before the event, each sponsor of an event described in this section must furnish to the responsible Flight Standards office for the area where the event is scheduled:
(1) A signed letter detailing the name of the sponsor, the purpose of the event, the date and time of the event, the location of the event, all prior events under this section participated in by the sponsor in the current calendar year;
(2) A photocopy of each pilot in command's pilot certificate, medical certificate, and logbook entries that show the pilot is current in accordance with §§ 61.56 and 61.57 of this chapter and that any private pilot has at least 500 hours of flight time; and
(3) A signed statement from each pilot that lists all prior events under this section in which the pilot has participated during the current calendar year.
(a) Definitions. For the purposes of this section, Operator means any person conducting nonstop passenger-carrying flights in an airplane, powered-lift, or rotorcraft for compensation or hire in accordance with §§ 119.1(e)(2), 135.1(a)(5), or 121.1(d) of this chapter that begin and end at the same airport and are conducted within a 25-statute mile radius of that airport.
(b) General requirements. An Operator conducting passenger-carrying flights for compensation or hire must meet the following requirements unless all flights are conducted under § 91.146. The Operator must:
(1) Comply with the safety provisions of part 136, subpart A of this chapter.
(2) Register and implement its drug and alcohol testing programs in accordance with part 120 of this chapter.
(3) Comply with the applicable requirements of part 5 of this chapter.
(4) Apply for and receive a Letter of Authorization from the responsible Flight Standards office.
(c) Letter of Authorization. Each application for a Letter of Authorization must include the following information:
(1) Name of Operator, agent, and any d/b/a (doing-business-as) under which that Operator does business.
(2) Principal business address and mailing address.
(3) Principal place of business (if different from business address).
(4) Name of person responsible for management of the business.
(5) Name of person responsible for aircraft maintenance.
(6) Type of aircraft, registration number(s), and make/model/series.
(7) Antidrug and Alcohol Misuse Prevention Program registration.
(d) Compliance. The Operator must comply with the provisions of the Letter of Authorization received.
(a) No person may begin a flight in an airplane under VFR conditions unless (considering wind and forecast weather conditions) there is enough fuel to fly to the first point of intended landing and, assuming normal cruising speed—
(1) During the day, to fly after that for at least 30 minutes; or
(2) At night, to fly after that for at least 45 minutes.
(b) No person may begin a flight in a rotorcraft under VFR conditions unless (considering wind and forecast weather conditions) there is enough fuel to fly to the first point of intended landing and, assuming normal cruising speed, to fly after that for at least 20 minutes.
(a) Information required. Unless otherwise authorized by ATC, each person filing a VFR flight plan shall include in it the following information:
(1) The aircraft identification number and, if necessary, its radio call sign.
(2) The type of the aircraft or, in the case of a formation flight, the type of each aircraft and the number of aircraft in the formation.
(3) The full name and address of the pilot in command or, in the case of a formation flight, the formation commander.
(4) The point and proposed time of departure.
(5) The proposed route, cruising altitude (or flight level), and true airspeed at that altitude.
(6) The point of first intended landing and the estimated elapsed time until over that point.
(7) The amount of fuel on board (in hours).
(8) The number of persons in the aircraft, except where that information is otherwise readily available to the FAA.
(9) Any other information the pilot in command or ATC believes is necessary for ATC purposes.
(b) Cancellation. When a flight plan has been activated, the pilot in command, upon canceling or completing the flight under the flight plan, shall notify an FAA Flight Service Station or ATC facility.
(a) Except as provided in paragraph (b) of this section and § 91.157, no person may operate an aircraft under VFR when the flight visibility is less, or at a distance from clouds that is less, than that prescribed for the corresponding altitude and class of airspace in the following table:
| Airspace | Flight visibility | Distance from clouds |
|---|---|---|
| Class A | Not Applicable | Not Applicable. |
| Class B | 3 statute miles | Clear of Clouds. |
| Class C | 3 statute miles | 500 feet below. |
| 1,000 feet above. | ||
| 2,000 feet horizontal. | ||
| Class D | 3 statute miles | 500 feet below. |
| 1,000 feet above. | ||
| 2,000 feet horizontal. | ||
| Class E: | ||
| Less than 10,000 feet MSL | 3 statute miles | 500 feet below. |
| 1,000 feet above. | ||
| 2,000 feet horizontal. | ||
| At or above 10,000 feet MSL | 5 statute miles | 1,000 feet below. |
| 1,000 feet above. | ||
| 1 statute mile horizontal. | ||
| Class G: | ||
| 1,200 feet or less above the surface (regardless of MSL altitude) | ||
| For aircraft other than helicopters: | ||
| Day, except as provided in § 91.155(b) | 1 statute mile | Clear of clouds. |
| Night, except as provided in § 91.155(b) | 3 statute miles | 500 feet below. |
| 1,000 feet above. | ||
| 2,000 feet horizontal. | ||
| For helicopters: | ||
| Day |
| Clear of clouds |
| Night, except as provided in § 91.155(b) | 1 statute mile | Clear of clouds. |
| More than 1,200 feet above the surface but less than 10,000 feet MSL | ||
| Day | 1 statute mile | 500 feet below. |
| 1,000 feet above. | ||
| 2,000 feet horizontal. | ||
| Night | 3 statute miles | 500 feet below. |
| 1,000 feet above. | ||
| 2,000 feet horizontal. | ||
| More than 1,200 feet above the surface and at or above 10,000 feet MSL | 5 statute miles | 1,000 feet below. |
| 1,000 feet above. | ||
| 1 statute mile horizontal. |
(b) Class G Airspace. Notwithstanding the provisions of paragraph (a) of this section, the following operations may be conducted in Class G airspace below 1,200 feet above the surface:
(1) Helicopter. A helicopter may be operated clear of clouds in an airport traffic pattern within
(2) Airplane, powered parachute, or weight-shift-control aircraft. If the visibility is less than 3 statute miles but not less than 1 statute mile during night hours and you are operating in an airport traffic pattern within
(c) Except as provided in § 91.157, no person may operate an aircraft beneath the ceiling under VFR within the lateral boundaries of controlled airspace designated to the surface for an airport when the ceiling is less than 1,000 feet.
(d) Except as provided in § 91.157 of this part, no person may take off or land an aircraft, or enter the traffic pattern of an airport, under VFR, within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for an airport—
(1) Unless ground visibility at that airport is at least 3 statute miles; or
(2) If ground visibility is not reported at that airport, unless flight visibility during landing or takeoff, or while operating in the traffic pattern is at least 3 statute miles.
(e) For the purpose of this section, an aircraft operating at the base altitude of a Class E airspace area is considered to be within the airspace directly below that area.
(a) Except as provided in appendix D, section 3, of this part, special VFR operations may be conducted under the weather minimums and requirements of this section, instead of those contained in § 91.155, below 10,000 feet MSL within the airspace contained by the upward extension of the lateral boundaries of the controlled airspace designated to the surface for an airport.
(b) Special VFR operations may only be conducted—
(1) With an ATC clearance;
(2) Clear of clouds;
(3) Except for helicopters, when flight visibility is at least 1 statute mile; and
(4) Except for helicopters, between sunrise and sunset (or in Alaska, when the sun is 6 degrees or less below the horizon) unless—
(i) The person being granted the ATC clearance meets the applicable requirements for instrument flight under part 61 of this chapter; and
(ii) The aircraft is equipped as required in § 91.205(d).
(c) No person may take off or land an aircraft (other than a helicopter) under special VFR—
(1) Unless ground visibility is at least 1 statute mile; or
(2) If ground visibility is not reported, unless flight visibility is at least 1 statute mile. For the purposes of this paragraph, the term flight visibility includes the visibility from the cockpit of an aircraft in takeoff position if:
(i) The flight is conducted under this part 91; and
(ii) The airport at which the aircraft is located is a satellite airport that does not have weather reporting capabilities.
(d) The determination of visibility by a pilot in accordance with paragraph (c)(2) of this section is not an official weather report or an official ground visibility report.
Except while holding in a holding pattern of 2 minutes or less, or while turning, each person operating an aircraft under VFR in level cruising flight more than 3,000 feet above the surface shall maintain the appropriate altitude or flight level prescribed below, unless otherwise authorized by ATC:
(a) When operating below 18,000 feet MSL and—
(1) On a magnetic course of zero degrees through 179 degrees, any odd thousand foot MSL altitude + 500 feet (such as 3,500, 5,500, or 7,500); or
(2) On a magnetic course of 180 degrees through 359 degrees, any even thousand foot MSL altitude + 500 feet (such as 4,500, 6,500, or 8,500).
(b) When operating above 18,000 feet MSL, maintain the altitude or flight level assigned by ATC.
(a) Operations within a 60-nautical mile radius of the Washington, DC VOR/DME under visual flight rules (VFR). Except as provided under paragraph (e) of this section, no person may serve as a pilot in command or as second in command of an aircraft while flying within a 60-nautical mile radius of the DCA VOR/DME, under VFR, unless that pilot has completed Special Awareness Training and holds a certificate of training completion.
(b) Special Awareness Training. The Special Awareness Training consists of information to educate pilots about the procedures for flying in the Washington, DC area and, more generally, in other types of special use airspace. This free training is available on the FAA's Web site. Upon completion of the training, each person will need to print out a copy of the certificate of training completion.
(c) Inspection of certificate of training completion. Each person who holds a certificate for completing the Special Awareness Training must present it for inspection upon request from:
(1) An authorized representative of the FAA;
(2) An authorized representative of the National Transportation Safety Board;
(3) Any Federal, State, or local law enforcement officer; or
(4) An authorized representative of the Transportation Security Administration.
(d) Emergency declared. The failure to complete the Special Awareness Training course on flying in and around the Washington, DC Metropolitan Area is not a violation of this section if an emergency is declared by the pilot, as described under § 91.3(b), or there was a failure of two-way radio communications when operating under IFR as described under § 91.185.
(e) Exceptions. The requirements of this section do not apply if the flight is being performed in an aircraft of an air ambulance operator certificated to conduct part 135 operations under this chapter, the U.S. Armed Forces, or a law enforcement agency.
(a) No person may operate a civil aircraft in IFR conditions unless it carries enough fuel (considering weather reports and forecasts and weather conditions) to—
(1) Complete the flight to the first airport of intended landing;
(2) Except as provided in paragraph (b) of this section, fly from that airport to the alternate airport; and
(3) Fly after that for 45 minutes at normal cruising speed or, for helicopters, fly after that for 30 minutes at normal cruising speed.
(b) Paragraph (a)(2) of this section does not apply if:
(1) Part 97 of this chapter prescribes a standard instrument approach procedure to, or a special instrument approach procedure has been issued by the Administrator to the operator for, the first airport of intended landing; and
(2) Appropriate weather reports or weather forecasts, or a combination of them, indicate the following:
(i) For aircraft other than helicopters. For at least 1 hour before and for 1 hour after the estimated time of arrival, the ceiling will be at least 2,000 feet above the airport elevation and the visibility will be at least 3 statute miles.
(ii) For helicopters. At the estimated time of arrival and for 1 hour after the estimated time of arrival, the ceiling will be at least 1,000 feet above the airport elevation, or at least 400 feet above the lowest applicable approach minima, whichever is higher, and the visibility will be at least 2 statute miles.
(a) Information required. Unless otherwise authorized by ATC, each person filing an IFR flight plan must include in it the following information:
(1) Information required under § 91.153 (a) of this part;
(2) Except as provided in paragraph (b) of this section, an alternate airport.
(b) Paragraph (a)(2) of this section does not apply if :
(1) Part 97 of this chapter prescribes a standard instrument approach procedure to, or a special instrument approach procedure has been issued by the Administrator to the operator for, the first airport of intended landing; and
(2) Appropriate weather reports or weather forecasts, or a combination of them, indicate the following:
(i) For aircraft other than helicopters. For at least 1 hour before and for 1 hour after the estimated time of arrival, the ceiling will be at least 2,000 feet above the airport elevation and the visibility will be at least 3 statute miles.
(ii) For helicopters. At the estimated time of arrival and for 1 hour after the estimated time of arrival, the ceiling will be at least 1,000 feet above the airport elevation, or at least 400 feet above the lowest applicable approach minima, whichever is higher, and the visibility will be at least 2 statute miles.
(c) IFR alternate airport weather minima. Unless otherwise authorized by the Administrator, no person may include an alternate airport in an IFR flight plan unless appropriate weather reports or weather forecasts, or a combination of them, indicate that, at the estimated time of arrival at the alternate airport, the ceiling and visibility at that airport will be at or above the following weather minima:
(1) If an instrument approach procedure has been published in part 97 of this chapter, or a special instrument approach procedure has been issued by the Administrator to the operator, for that airport, the following minima:
(i) For aircraft other than helicopters: The alternate airport minima specified in that procedure, or if none are specified the following standard approach minima:
(A) For a precision approach procedure. Ceiling 600 feet and visibility 2 statute miles.
(B) For a nonprecision approach procedure. Ceiling 800 feet and visibility 2 statute miles.
(ii) For helicopters: Ceiling 200 feet above the minimum for the approach to be flown, and visibility at least 1 statute mile but never less than the minimum visibility for the approach to be flown, and
(2) If no instrument approach procedure has been published in part 97 of this chapter and no special instrument approach procedure has been issued by the Administrator to the operator, for the alternate airport, the ceiling and visibility minima are those allowing descent from the MEA, approach, and landing under basic VFR.
(d) Cancellation. When a flight plan has been activated, the pilot in command, upon canceling or completing the flight under the flight plan, shall notify an FAA Flight Service Station or ATC facility.
(a) No person may operate a civil aircraft under IFR using the VOR system of radio navigation unless the VOR equipment of that aircraft—
(1) Is maintained, checked, and inspected under an approved procedure; or
(2) Has been operationally checked within the preceding 30 days, and was found to be within the limits of the permissible indicated bearing error set forth in paragraph (b) or (c) of this section.
(b) Except as provided in paragraph (c) of this section, each person conducting a VOR check under paragraph (a)(2) of this section shall—
(1) Use, at the airport of intended departure, an FAA-operated or approved test signal or a test signal radiated by a certificated and appropriately rated radio repair station or, outside the United States, a test signal operated or approved by an appropriate authority to check the VOR equipment (the maximum permissible indicated bearing error is plus or minus 4 degrees); or
(2) Use, at the airport of intended departure, a point on the airport surface designated as a VOR system checkpoint by the Administrator, or, outside the United States, by an appropriate authority (the maximum permissible bearing error is plus or minus 4 degrees);
(3) If neither a test signal nor a designated checkpoint on the surface is available, use an airborne checkpoint designated by the Administrator or, outside the United States, by an appropriate authority (the maximum permissible bearing error is plus or minus 6 degrees); or
(4) If no check signal or point is available, while in flight—
(i) Select a VOR radial that lies along the centerline of an established VOR airway;
(ii) Select a prominent ground point along the selected radial preferably more than 20 nautical miles from the VOR ground facility and maneuver the aircraft directly over the point at a reasonably low altitude; and
(iii) Note the VOR bearing indicated by the receiver when over the ground point (the maximum permissible variation between the published radial and the indicated bearing is 6 degrees).
(c) If dual system VOR (units independent of each other except for the antenna) is installed in the aircraft, the person checking the equipment may check one system against the other in place of the check procedures specified in paragraph (b) of this section. Both systems shall be tuned to the same VOR ground facility and note the indicated bearings to that station. The maximum permissible variation between the two indicated bearings is 4 degrees.
(d) Each person making the VOR operational check, as specified in paragraph (b) or (c) of this section, shall enter the date, place, bearing error, and sign the aircraft log or other record. In addition, if a test signal radiated by a repair station, as specified in paragraph (b)(1) of this section, is used, an entry must be made in the aircraft log or other record by the repair station certificate holder or the certificate holder's representative certifying to the bearing transmitted by the repair station for the check and the date of transmission.
No person may operate an aircraft in controlled airspace under IFR unless that person has—
(a) Filed an IFR flight plan; and
(b) Received an appropriate ATC clearance.
(a) Instrument approaches to civil airports. Unless otherwise authorized by the FAA, when it is necessary to use an instrument approach to a civil airport, each person operating an aircraft must use a standard instrument approach procedure prescribed in part 97 of this chapter for that airport. This paragraph does not apply to United States military aircraft.
(b) Authorized DA/DH or MDA. For the purpose of this section, when the approach procedure being used provides for and requires the use of a DA/DH or MDA, the authorized DA/DH or MDA is the highest of the following:
(1) The DA/DH or MDA prescribed by the approach procedure.
(2) The DA/DH or MDA prescribed for the pilot in command.
(3) The DA/DH or MDA appropriate for the aircraft equipment available and used during the approach.
(c) Operation below DA/DH or MDA. Except as provided in § 91.176 of this chapter, where a DA/DH or MDA is applicable, no pilot may operate an aircraft, except a military aircraft of the United States, below the authorized MDA or continue an approach below the authorized DA/DH unless—
(1) The aircraft is continuously in a position from which a descent to a landing on the intended runway can be made at a normal rate of descent using normal maneuvers, and for operations conducted under part 121 or part 135 unless that descent rate will allow touchdown to occur within the touchdown zone of the runway of intended landing;
(2) The flight visibility is not less than the visibility prescribed in the standard instrument approach being used; and
(3) Except for a Category II or Category III approach where any necessary visual reference requirements are specified by the Administrator, at least one of the following visual references for the intended runway is distinctly visible and identifiable to the pilot:
(i) The approach light system, except that the pilot may not descend below 100 feet above the touchdown zone elevation using the approach lights as a reference unless the red terminating bars or the red side row bars are also distinctly visible and identifiable.
(ii) The threshold.
(iii) The threshold markings.
(iv) The threshold lights.
(v) The runway end identifier lights.
(vi) The visual glideslope indicator.
(vii) The touchdown zone or touchdown zone markings.
(viii) The touchdown zone lights.
(ix) The runway or runway markings.
(x) The runway lights.
(d) Landing. No pilot operating an aircraft, except a military aircraft of the United States, may land that aircraft when—
(1) For operations conducted under § 91.176 of this part, the requirements of paragraphs (a)(3)(iii) or (b)(3)(iii), as applicable, of that section are not met; or
(2) For all other operations under this part and parts 121, 125, 129, and 135, the flight visibility is less than the visibility prescribed in the standard instrument approach procedure being used.
(e) Missed approach procedures. Each pilot operating an aircraft, except a military aircraft of the United States, shall immediately execute an appropriate missed approach procedure when either of the following conditions exist:
(1) Whenever operating an aircraft pursuant to paragraph (c) of this section or § 91.176 of this part, and the requirements of that paragraph or section are not met at either of the following times:
(i) When the aircraft is being operated below MDA; or
(ii) Upon arrival at the missed approach point, including a DA/DH where a DA/DH is specified and its use is required, and at any time after that until touchdown.
(2) Whenever an identifiable part of the airport is not distinctly visible to the pilot during a circling maneuver at or above MDA, unless the inability to see an identifiable part of the airport results only from a normal bank of the aircraft during the circling approach.
(f) Civil airport takeoff minimums. This paragraph applies to persons operating an aircraft under part 121, 125, 129, or 135 of this chapter.
(1) Unless otherwise authorized by the FAA, no pilot may takeoff from a civil airport under IFR unless the weather conditions at time of takeoff are at or above the weather minimums for IFR takeoff prescribed for that airport under part 97 of this chapter.
(2) If takeoff weather minimums are not prescribed under part 97 of this chapter for a particular airport, the following weather minimums apply to takeoffs under IFR:
(i) For aircraft, other than helicopters, having two engines or less—1 statute mile visibility.
(ii) For aircraft having more than two engines—
(iii) For helicopters—
(3) Except as provided in paragraph (f)(4) of this section, no pilot may takeoff under IFR from a civil airport having published obstacle departure procedures (ODPs) under part 97 of this chapter for the takeoff runway to be used, unless the pilot uses such ODPs or an alternative procedure or route assigned by air traffic control.
(4) Notwithstanding the requirements of paragraph (f)(3) of this section, no pilot may takeoff from an airport under IFR unless:
(i) For part 121 and part 135 operators, the pilot uses a takeoff obstacle clearance or avoidance procedure that ensures compliance with the applicable airplane performance operating limitations requirements under part 121, subpart I or part 135, subpart I for takeoff at that airport; or
(ii) For part 129 operators, the pilot uses a takeoff obstacle clearance or avoidance procedure that ensures compliance with the airplane performance operating limitations prescribed by the State of the operator for takeoff at that airport.
(g) Military airports. Unless otherwise prescribed by the Administrator, each person operating a civil aircraft under IFR into or out of a military airport shall comply with the instrument approach procedures and the takeoff and landing minimum prescribed by the military authority having jurisdiction of that airport.
(h) Comparable values of RVR and ground visibility. (1) Except for Category II or Category III minimums, if RVR minimums for takeoff or landing are prescribed in an instrument approach procedure, but RVR is not reported for the runway of intended operation, the RVR minimum shall be converted to ground visibility in accordance with the table in paragraph (h)(2) of this section and shall be the visibility minimum for takeoff or landing on that runway.
(2)
| RVR (feet) | Visibility (statute miles) |
|---|---|
| 1,600 |
|
| 2,400 |
|
| 3,200 |
|
| 4,000 |
|
| 4,500 |
|
| 5,000 | 1 |
| 6,000 | 1
|
(i) Operations on unpublished routes and use of radar in instrument approach procedures. When radar is approved at certain locations for ATC purposes, it may be used not only for surveillance and precision radar approaches, as applicable, but also may be used in conjunction with instrument approach procedures predicated on other types of radio navigational aids. Radar vectors may be authorized to provide course guidance through the segments of an approach to the final course or fix. When operating on an unpublished route or while being radar vectored, the pilot, when an approach clearance is received, shall, in addition to complying with § 91.177, maintain the last altitude assigned to that pilot until the aircraft is established on a segment of a published route or instrument approach procedure unless a different altitude is assigned by ATC. After the aircraft is so established, published altitudes apply to descent within each succeeding route or approach segment unless a different altitude is assigned by ATC. Upon reaching the final approach course or fix, the pilot may either complete the instrument approach in accordance with a procedure approved for the facility or continue a surveillance or precision radar approach to a landing.
(j) Limitation on procedure turns. In the case of a radar vector to a final approach course or fix, a timed approach from a holding fix, or an approach for which the procedure specifies “No PT,” no pilot may make a procedure turn unless cleared to do so by ATC.
(k) ILS components. The basic components of an ILS are the localizer, glide slope, and outer marker, and, when installed for use with Category II or Category III instrument approach procedures, an inner marker. The following means may be used to substitute for the outer marker: Compass locator; precision approach radar (PAR) or airport surveillance radar (ASR); DME, VOR, or nondirectional beacon fixes authorized in the standard instrument approach procedure; or a suitable RNAV system in conjunction with a fix identified in the standard instrument approach procedure. Applicability of, and substitution for, the inner marker for a Category II or III approach is determined by the appropriate 14 CFR part 97 approach procedure, letter of authorization, or operations specifications issued to an operator.
(a) EFVS operations to touchdown and rollout. Unless otherwise authorized by the Administrator to use an MDA as a DA/DH with vertical navigation on an instrument approach procedure, or unless paragraph (d) of this section applies, no person may conduct an EFVS operation in an aircraft, except a military aircraft of the United States, at any airport below the authorized DA/DH to touchdown and rollout unless the minimums used for the particular approach procedure being flown include a DA or DH, and the following requirements are met:
(1) Equipment. (i) The aircraft must be equipped with an operable EFVS that meets the applicable airworthiness requirements. The EFVS must:
(A) Have an electronic means to provide a display of the forward external scene topography (the applicable natural or manmade features of a place or region especially in a way to show their relative positions and elevation) through the use of imaging sensors, including but not limited to forward-looking infrared, millimeter wave radiometry, millimeter wave radar, or low-light level image intensification.
(B) Present EFVS sensor imagery, aircraft flight information, and flight symbology on a head up display, or an equivalent display, so that the imagery, information and symbology are clearly visible to the pilot flying in his or her normal position with the line of vision looking forward along the flight path. Aircraft flight information and flight symbology must consist of at least airspeed, vertical speed, aircraft attitude, heading, altitude, height above ground level such as that provided by a radio altimeter or other device capable of providing equivalent performance, command guidance as appropriate for the approach to be flown, path deviation indications, flight path vector, and flight path angle reference cue. Additionally, for aircraft other than rotorcraft, the EFVS must display flare prompt or flare guidance.
(C) Present the displayed EFVS sensor imagery, attitude symbology, flight path vector, and flight path angle reference cue, and other cues, which are referenced to the EFVS sensor imagery and external scene topography, so that they are aligned with, and scaled to, the external view.
(D) Display the flight path angle reference cue with a pitch scale. The flight path angle reference cue must be selectable by the pilot to the desired descent angle for the approach and be sufficient to monitor the vertical flight path of the aircraft.
(E) Display the EFVS sensor imagery, aircraft flight information, and flight symbology such that they do not adversely obscure the pilot's outside view or field of view through the cockpit window.
(F) Have display characteristics, dynamics, and cues that are suitable for manual control of the aircraft to touchdown in the touchdown zone of the runway of intended landing and during rollout.
(ii) When a minimum flightcrew of more than one pilot is required, the aircraft must be equipped with a display that provides the pilot monitoring with EFVS sensor imagery. Any symbology displayed may not adversely obscure the sensor imagery of the runway environment.
(2) Operations. (i) The pilot conducting the EFVS operation may not use circling minimums.
(ii) Each required pilot flightcrew member must have adequate knowledge of, and familiarity with, the aircraft, the EFVS, and the procedures to be used.
(iii) The aircraft must be equipped with, and the pilot flying must use, an operable EFVS that meets the equipment requirements of paragraph (a)(1) of this section.
(iv) When a minimum flightcrew of more than one pilot is required, the pilot monitoring must use the display specified in paragraph (a)(1)(ii) to monitor and assess the safe conduct of the approach, landing, and rollout.
(v) The aircraft must continuously be in a position from which a descent to a landing on the intended runway can be made at a normal rate of descent using normal maneuvers.
(vi) The descent rate must allow touchdown to occur within the touchdown zone of the runway of intended landing.
(vii) Each required pilot flightcrew member must meet the following requirements—
(A) A person exercising the privileges of a pilot certificate issued under this chapter, any person serving as a required pilot flightcrew member of a U.S.-registered aircraft, or any person serving as a required pilot flightcrew member for a part 121, 125, or 135 operator, must be qualified in accordance with part 61 and, as applicable, the training, testing, and qualification provisions of subpart K of this part, part 121, 125, or 135 of this chapter that apply to the operation; or
(B) Each person acting as a required pilot flightcrew member for a foreign air carrier subject to part 129, or any person serving as a required pilot flightcrew member of a foreign registered aircraft, must be qualified in accordance with the training requirements of the civil aviation authority of the State of the operator for the EFVS operation to be conducted.
(viii) A person conducting operations under this part must conduct the operation in accordance with a letter of authorization for the use of EFVS unless the operation is conducted in an aircraft that has been issued an experimental certificate under § 21.191 of this chapter for the purpose of research and development or showing compliance with regulations, or the operation is being conducted by a person otherwise authorized to conduct EFVS operations under paragraphs (a)(2)(ix) through (xii) of this section. A person applying to the FAA for a letter of authorization must submit an application in a form and manner prescribed by the Administrator.
(ix) A person conducting operations under subpart K of this part must conduct the operation in accordance with management specifications authorizing the use of EFVS.
(x) A person conducting operations under part 121, 129, or 135 of this chapter must conduct the operation in accordance with operations specifications authorizing the use of EFVS.
(xi) A person conducting operations under part 125 of this chapter must conduct the operation in accordance with operations specifications authorizing the use of EFVS or, for a holder of a part 125 letter of deviation authority, a letter of authorization for the use of EFVS.
(xii) A person conducting an EFVS operation during an authorized Category II or Category III operation must conduct the operation in accordance with operations specifications, management specifications, or a letter of authorization authorizing EFVS operations during authorized Category II or Category III operations.
(3) Visibility and visual reference requirements. No pilot operating under this section or §§ 121.651, 125.381, or 135.225 of this chapter may continue an approach below the authorized DA/DH and land unless:
(i) The pilot determines that the enhanced flight visibility observed by use of an EFVS is not less than the visibility prescribed in the instrument approach procedure being used.
(ii) From the authorized DA/DH to 100 feet above the touchdown zone elevation of the runway of intended landing, any approach light system or both the runway threshold and the touchdown zone are distinctly visible and identifiable to the pilot using an EFVS.
(A) The pilot must identify the runway threshold using at least one of the following visual references—
(1) The beginning of the runway landing surface;
(2) The threshold lights; or
(3) The runway end identifier lights.
(B) The pilot must identify the touchdown zone using at least one of the following visual references—
(1) The runway touchdown zone landing surface;
(2) The touchdown zone lights;
(3) The touchdown zone markings; or
(4) The runway lights.
(iii) At 100 feet above the touchdown zone elevation of the runway of intended landing and below that altitude, the enhanced flight visibility using EFVS must be sufficient for one of the following visual references to be distinctly visible and identifiable to the pilot—
(A) The runway threshold;
(B) The lights or markings of the threshold;
(C) The runway touchdown zone landing surface; or
(D) The lights or markings of the touchdown zone.
(4) Additional requirements. The Administrator may prescribe additional equipment, operational, and visibility and visual reference requirements to account for specific equipment characteristics, operational procedures, or approach characteristics. These requirements will be specified in an operator's operations specifications, management specifications, or letter of authorization authorizing the use of EFVS.
(b) EFVS operations to 100 feet above the touchdown zone elevation. Except as specified in paragraph (d) of this section, no person may conduct an EFVS operation in an aircraft, except a military aircraft of the United States, at any airport below the authorized DA/DH or MDA to 100 feet above the touchdown zone elevation unless the following requirements are met:
(1) Equipment. (i) The aircraft must be equipped with an operable EFVS that meets the applicable airworthiness requirements.
(ii) The EFVS must meet the requirements of paragraph (a)(1)(i)(A) through (F) of this section, but need not present flare prompt, flare guidance, or height above ground level.
(2) Operations. (i) The pilot conducting the EFVS operation may not use circling minimums.
(ii) Each required pilot flightcrew member must have adequate knowledge of, and familiarity with, the aircraft, the EFVS, and the procedures to be used.
(iii) The aircraft must be equipped with, and the pilot flying must use, an operable EFVS that meets the equipment requirements of paragraph (b)(1) of this section.
(iv) The aircraft must continuously be in a position from which a descent to a landing on the intended runway can be made at a normal rate of descent using normal maneuvers.
(v) For operations conducted under part 121 or part 135 of this chapter, the descent rate must allow touchdown to occur within the touchdown zone of the runway of intended landing.
(vi) Each required pilot flightcrew member must meet the following requirements—
(A) A person exercising the privileges of a pilot certificate issued under this chapter, any person serving as a required pilot flightcrew member of a U.S.-registered aircraft, or any person serving as a required pilot flightcrew member for a part 121, 125, or 135 operator, must be qualified in accordance with part 61 and, as applicable, the training, testing, and qualification provisions of subpart K of this part, part 121, 125, or 135 of this chapter that apply to the operation; or
(B) Each person acting as a required pilot flightcrew member for a foreign air carrier subject to part 129, or any person serving as a required pilot flightcrew member of a foreign registered aircraft, must be qualified in accordance with the training requirements of the civil aviation authority of the State of the operator for the EFVS operation to be conducted.
(vii) A person conducting operations under subpart K of this part must conduct the operation in accordance with management specifications authorizing the use of EFVS.
(viii) A person conducting operations under part 121, 129, or 135 of this chapter must conduct the operation in accordance with operations specifications authorizing the use of EFVS.
(ix) A person conducting operations under part 125 of this chapter must conduct the operation in accordance with operations specifications authorizing the use of EFVS or, for a holder of a part 125 letter of deviation authority, a letter of authorization for the use of EFVS.
(x) A person conducting an EFVS operation during an authorized Category II or Category III operation must conduct the operation in accordance with operations specifications, management specifications, or a letter of authorization authorizing EFVS operations during authorized Category II or Category III operations.
(3) Visibility and Visual Reference Requirements. No pilot operating under this section or § 121.651, § 125.381, or § 135.225 of this chapter may continue an approach below the authorized MDA or continue an approach below the authorized DA/DH and land unless:
(i) The pilot determines that the enhanced flight visibility observed by use of an EFVS is not less than the visibility prescribed in the instrument approach procedure being used.
(ii) From the authorized MDA or DA/DH to 100 feet above the touchdown zone elevation of the runway of intended landing, any approach light system or both the runway threshold and the touchdown zone are distinctly visible and identifiable to the pilot using an EFVS.
(A) The pilot must identify the runway threshold using at least one of the following visual references-
(1) The beginning of the runway landing surface;
(2) The threshold lights; or
(3) The runway end identifier lights.
(B) The pilot must identify the touchdown zone using at least one of the following visual references—
(1) The runway touchdown zone landing surface;
(2) The touchdown zone lights;
(3) The touchdown zone markings; or
(4) The runway lights.
(iii) At 100 feet above the touchdown zone elevation of the runway of intended landing and below that altitude, the flight visibility must be sufficient for one of the following visual references to be distinctly visible and identifiable to the pilot without reliance on the EFVS—
(A) The runway threshold;
(B) The lights or markings of the threshold;
(C) The runway touchdown zone landing surface; or
(D) The lights or markings of the touchdown zone.
(4) Compliance Date. Beginning on March 13, 2018, a person conducting an EFVS operation to 100 feet above the touchdown zone elevation must comply with the requirements of paragraph (b) of this section.
(c) Public aircraft certification and training requirements. A public aircraft operator, other than the U.S. military, may conduct an EFVS operation under paragraph (a) or (b) of this section only if:
(1) The aircraft meets all of the civil certification and airworthiness requirements of paragraph (a)(1) or (b)(1) of this section, as applicable to the EFVS operation to be conducted; and
(2) The pilot flightcrew member, or any other person who manipulates the controls of an aircraft during an EFVS operation, meets the training, recent flight experience and refresher training requirements of § 61.66 of this chapter applicable to EFVS operations.
(d) Exception for Experimental Aircraft. The requirement to use an EFVS that meets the applicable airworthiness requirements specified in paragraphs (a)(1)(i), (a)(2)(iii), (b)(1)(i), and (b)(2)(iii) of this section does not apply to operations conducted in an aircraft issued an experimental certificate under § 21.191 of this chapter for the purpose of research and development or showing compliance with regulations, provided the Administrator has determined that the operations can be conducted safely in accordance with operating limitations issued for that purpose.
(a) Operation of aircraft at minimum altitudes. Except when necessary for takeoff or landing, or unless otherwise authorized by the FAA, no person may operate an aircraft under IFR below—
(1) The applicable minimum altitudes prescribed in parts 95 and 97 of this chapter. However, if both a MEA and a MOCA are prescribed for a particular route or route segment, a person may operate an aircraft below the MEA down to, but not below, the MOCA, provided the applicable navigation signals are available. For aircraft using VOR for navigation, this applies only when the aircraft is within 22 nautical miles of that VOR (based on the reasonable estimate by the pilot operating the aircraft of that distance); or
(2) If no applicable minimum altitude is prescribed in parts 95 and 97 of this chapter, then—
(i) In the case of operations over an area designated as a mountainous area in part 95 of this chapter, an altitude of 2,000 feet above the highest obstacle within a horizontal distance of 4 nautical miles from the course to be flown; or
(ii) In any other case, an altitude of 1,000 feet above the highest obstacle within a horizontal distance of 4 nautical miles from the course to be flown.
(b) Climb. Climb to a higher minimum IFR altitude shall begin immediately after passing the point beyond which that minimum altitude applies, except that when ground obstructions intervene, the point beyond which that higher minimum altitude applies shall be crossed at or above the applicable MCA.
Unless otherwise authorized by ATC, the following rules apply—
(a) In controlled airspace. Each person operating an aircraft under IFR in level cruising flight in controlled airspace shall maintain the altitude or flight level assigned that aircraft by ATC. However, if the ATC clearance assigns “VFR conditions on-top,” that person shall maintain an altitude or flight level as prescribed by § 91.159.
(b) In uncontrolled airspace. Except while in a holding pattern of 2 minutes or less or while turning, each person operating an aircraft under IFR in level cruising flight in uncontrolled airspace shall maintain an appropriate altitude as follows:
(1) When operating below 18,000 feet MSL and—
(i) On a magnetic course of zero degrees through 179 degrees, any odd thousand foot MSL altitude (such as 3,000, 5,000, or 7,000); or
(ii) On a magnetic course of 180 degrees through 359 degrees, any even thousand foot MSL altitude (such as 2,000, 4,000, or 6,000).
(2) When operating at or above 18,000 feet MSL but below flight level 290, and—
(i) On a magnetic course of zero degrees through 179 degrees, any odd flight level (such as 190, 210, or 230); or
(ii) On a magnetic course of 180 degrees through 359 degrees, any even flight level (such as 180, 200, or 220).
(3) When operating at flight level 290 and above in non-RVSM airspace, and—
(i) On a magnetic course of zero degrees through 179 degrees, any flight level, at 4,000-foot intervals, beginning at and including flight level 290 (such as flight level 290, 330, or 370); or
(ii) On a magnetic course of 180 degrees through 359 degrees, any flight level, at 4,000-foot intervals, beginning at and including flight level 310 (such as flight level 310, 350, or 390).
(4) When operating at flight level 290 and above in airspace designated as Reduced Vertical Separation Minimum (RVSM) airspace and—
(i) On a magnetic course of zero degrees through 179 degrees, any odd flight level, at 2,000-foot intervals beginning at and including flight level 290 (such as flight level 290, 310, 330, 350, 370, 390, 410); or
(ii) On a magnetic course of 180 degrees through 359 degrees, any even flight level, at 2000-foot intervals beginning at and including flight level 300 (such as 300, 320, 340, 360, 380, 400).
(a) Except as provided in paragraph (b) of this section, no person may operate a civil aircraft in airspace designated as Reduced Vertical Separation Minimum (RVSM) airspace unless:
(1) The operator and the operator's aircraft comply with the minimum standards of appendix G of this part; and
(2) The operator is authorized by the Administrator or the country of registry to conduct such operations.
(b) The Administrator may authorize a deviation from the requirements of this section.
Unless otherwise authorized by ATC, no person may operate an aircraft within controlled airspace under IFR except as follows:
(a) On an ATS route, along the centerline of that airway.
(b) On any other route, along the direct course between the navigational aids or fixes defining that route. However, this section does not prohibit maneuvering the aircraft to pass well clear of other air traffic or the maneuvering of the aircraft in VFR conditions to clear the intended flight path both before and during climb or descent.
Unless otherwise authorized by ATC, the pilot in command of each aircraft operated under IFR in controlled airspace must ensure that a continuous watch is maintained on the appropriate frequency and must report the following as soon as possible—
(a) The time and altitude of passing each designated reporting point, or the reporting points specified by ATC, except that while the aircraft is under radar control, only the passing of those reporting points specifically requested by ATC need be reported;
(b) Any unforecast weather conditions encountered; and
(c) Any other information relating to the safety of flight.
(a) General. Unless otherwise authorized by ATC, each pilot who has two-way radio communications failure when operating under IFR shall comply with the rules of this section.
(b) VFR conditions. If the failure occurs in VFR conditions, or if VFR conditions are encountered after the failure, each pilot shall continue the flight under VFR and land as soon as practicable.
(c) IFR conditions. If the failure occurs in IFR conditions, or if paragraph (b) of this section cannot be complied with, each pilot shall continue the flight according to the following:
(1) Route. (i) By the route assigned in the last ATC clearance received;
(ii) If being radar vectored, by the direct route from the point of radio failure to the fix, route, or airway specified in the vector clearance;
(iii) In the absence of an assigned route, by the route that ATC has advised may be expected in a further clearance; or
(iv) In the absence of an assigned route or a route that ATC has advised may be expected in a further clearance, by the route filed in the flight plan.
(2) Altitude. At the highest of the following altitudes or flight levels for the route segment being flown:
(i) The altitude or flight level assigned in the last ATC clearance received;
(ii) The minimum altitude (converted, if appropriate, to minimum flight level as prescribed in § 91.121(c)) for IFR operations; or
(iii) The altitude or flight level ATC has advised may be expected in a further clearance.
(3) Leave clearance limit. (i) When the clearance limit is a fix from which an approach begins, commence descent or descent and approach as close as possible to the expect-further-clearance time if one has been received, or if one has not been received, as close as possible to the estimated time of arrival as calculated from the filed or amended (with ATC) estimated time en route.
(ii) If the clearance limit is not a fix from which an approach begins, leave the clearance limit at the expect-further-clearance time if one has been received, or if none has been received, upon arrival over the clearance limit, and proceed to a fix from which an approach begins and commence descent or descent and approach as close as possible to the estimated time of arrival as calculated from the filed or amended (with ATC) estimated time en route.
(a) The pilot in command of each aircraft operated in controlled airspace under IFR shall report as soon as practical to ATC any malfunctions of navigational, approach, or communication equipment occurring in flight.
(b) In each report required by paragraph (a) of this section, the pilot in command shall include the—
(1) Aircraft identification;
(2) Equipment affected;
(3) Degree to which the capability of the pilot to operate under IFR in the ATC system is impaired; and
(4) Nature and extent of assistance desired from ATC.
(a) No person may operate a civil aircraft in a Category II or III operation unless—
(1) The flight crew of the aircraft consists of a pilot in command and a second in command who hold the appropriate authorizations and ratings prescribed in § 61.3 of this chapter;
(2) Each flight crewmember has adequate knowledge of, and familiarity with, the aircraft and the procedures to be used; and
(3) The instrument panel in front of the pilot who is controlling the aircraft has appropriate instrumentation for the type of flight control guidance system that is being used.
(b) Unless otherwise authorized by the Administrator, no person may operate a civil aircraft in a Category II or Category III operation unless each ground component required for that operation and the related airborne equipment is installed and operating.
(c) Authorized DA/DH. For the purpose of this section, when the approach procedure being used provides for and requires the use of a DA/DH, the authorized DA/DH is the highest of the following:
(1) The DA/DH prescribed by the approach procedure.
(2) The DA/DH prescribed for the pilot in command.
(3) The DA/DH for which the aircraft is equipped.
(d) Except as provided in § 91.176 of this part or unless otherwise authorized by the Administrator, no pilot operating an aircraft in a Category II or Category III approach that provides and requires the use of a DA/DH may continue the approach below the authorized decision height unless the following conditions are met:
(1) The aircraft is in a position from which a descent to a landing on the intended runway can be made at a normal rate of descent using normal maneuvers, and where that descent rate will allow touchdown to occur within the touchdown zone of the runway of intended landing.
(2) At least one of the following visual references for the intended runway is distinctly visible and identifiable to the pilot:
(i) The approach light system, except that the pilot may not descend below 100 feet above the touchdown zone elevation using the approach lights as a reference unless the red terminating bars or the red side row bars are also distinctly visible and identifiable.
(ii) The threshold.
(iii) The threshold markings.
(iv) The threshold lights.
(v) The touchdown zone or touchdown zone markings.
(vi) The touchdown zone lights.
(e) Except as provided in § 91.176 of this part or unless otherwise authorized by the Administrator, each pilot operating an aircraft shall immediately execute an appropriate missed approach whenever, prior to touchdown, the requirements of paragraph (d) of this section are not met.
(f) No person operating an aircraft using a Category III approach without decision height may land that aircraft except in accordance with the provisions of the letter of authorization issued by the Administrator.
(g) Paragraphs (a) through (f) of this section do not apply to operations conducted by certificate holders operating under part 121, 125, 129, or 135 of this chapter, or holders of management specifications issued in accordance with subpart K of this part. Holders of operations specifications or management specifications may operate a civil aircraft in a Category II or Category III operation only in accordance with their operations specifications or management specifications, as applicable.
(a) Except as provided in paragraph (c) of this section, after August 4, 1997, no person may operate a U.S.-registered civil aircraft in a Category II or a Category III operation unless—
(1) There is available in the aircraft a current and approved Category II or Category III manual, as appropriate, for that aircraft;
(2) The operation is conducted in accordance with the procedures, instructions, and limitations in the appropriate manual; and
(3) The instruments and equipment listed in the manual that are required for a particular Category II or Category III operation have been inspected and maintained in accordance with the maintenance program contained in the manual.
(b) Each operator must keep a current copy of each approved manual at its principal base of operations and must make each manual available for inspection upon request by the Administrator.
(c) This section does not apply to operations conducted by a certificate holder operating under part 121 or part 135 of this chapter or a holder of management specifications issued in accordance with subpart K of this part.
The Administrator may issue a certificate of authorization authorizing deviations from the requirements of §§ 91.189, 91.191, and 91.205(f) for the operation of small aircraft identified as Category A aircraft in § 97.3 of this chapter in Category II operations if the Administrator finds that the proposed operation can be safely conducted under the terms of the certificate. Such authorization does not permit operation of the aircraft carrying persons or property for compensation or hire.
(a) Except as provided in § 91.715, no person may operate a civil aircraft unless it has within it the following:
(1) An appropriate and current airworthiness certificate. Each U.S. airworthiness certificate used to comply with this subparagraph (except a special flight permit, a copy of the applicable operations specifications issued under § 21.197(c) of this chapter, appropriate sections of the air carrier manual required by parts 121 and 135 of this chapter containing that portion of the operations specifications issued under § 21.197(c), or an authorization under § 91.611) must have on it the registration number assigned to the aircraft under part 47 or 48 of this chapter. However, the airworthiness certificate need not have on it an assigned special identification number before 10 days after that number is first affixed to the aircraft. A revised airworthiness certificate having on it an assigned special identification number, that has been affixed to an aircraft, may only be obtained upon application to the responsible Flight Standards office.
(2) An effective U.S. registration certificate issued to its owner or, for operation within the United States, the second copy of the Aircraft registration Application as provided for in § 47.31(c), a Certificate of Aircraft registration as provided in part 48, or a registration certification issued under the laws of a foreign country.
(b) No person may operate a civil aircraft unless the airworthiness certificate required by paragraph (a) of this section or a special flight authorization issued under § 91.715 is displayed at the cabin or cockpit entrance so that it is legible to passengers or crew.
(c) No person may operate an aircraft with a fuel tank installed within the passenger compartment or a baggage compartment unless the installation was accomplished pursuant to part 43 of this chapter, and a copy of FAA Form 337 authorizing that installation is on board the aircraft.
(d) No person may operate a civil airplane (domestic or foreign) into or out of an airport in the United States unless it complies with the fuel venting and exhaust emissions requirements of part 34 of this chapter.
(a) General. Except as provided in paragraphs (c)(3) and (e) of this section, no person may operate a powered civil aircraft with a standard U.S. airworthiness certificate in any operation described in paragraphs (b) through (f) of this section unless that aircraft contains the instruments and equipment specified in those paragraphs (or FAA-approved equivalents) for that type of operation, and those instruments and items of equipment are in operable condition.
(b) Visual-flight rules (day). For VFR flight during the day, the following instruments and equipment are required:
(1) Airspeed indicator.
(2) Altimeter.
(3) Magnetic direction indicator.
(4) Tachometer for each engine.
(5) Oil pressure gauge for each engine using pressure system.
(6) Temperature gauge for each liquid-cooled engine.
(7) Oil temperature gauge for each air-cooled engine.
(8) Manifold pressure gauge for each altitude engine.
(9) Fuel gauge indicating the quantity of fuel in each tank.
(10) Landing gear position indicator, if the aircraft has a retractable landing gear.
(11) For small civil airplanes certificated after March 11, 1996, in accordance with part 23 of this chapter, an approved aviation red or aviation white anticollision light system. In the event of failure of any light of the anticollision light system, operation of the aircraft may continue to a location where repairs or replacement can be made.
(12) If the aircraft is operated for hire over water and beyond power-off gliding distance from shore, approved flotation gear readily available to each occupant and, unless the aircraft is operating under part 121 of this subchapter, at least one pyrotechnic signaling device. As used in this section, “shore” means that area of the land adjacent to the water which is above the high water mark and excludes land areas which are intermittently under water.
(13) An approved safety belt with an approved metal-to-metal latching device, or other approved restraint system for each occupant 2 years of age or older.
(14) For small civil airplanes manufactured after July 18, 1978, an approved shoulder harness or restraint system for each front seat. For small civil airplanes manufactured after December 12, 1986, an approved shoulder harness or restraint system for all seats. Shoulder harnesses installed at flightcrew stations must permit the flightcrew member, when seated and with the safety belt and shoulder harness fastened, to perform all functions necessary for flight operations. For purposes of this paragraph—
(i) The date of manufacture of an airplane is the date the inspection acceptance records reflect that the airplane is complete and meets the FAA-approved type design data; and
(ii) A front seat is a seat located at a flightcrew member station or any seat located alongside such a seat.
(15) An emergency locator transmitter, if required by § 91.207.
(16) [Reserved]
(17) For rotorcraft manufactured after September 16, 1992, a shoulder harness for each seat that meets the requirements of § 27.2 or § 29.2 of this chapter in effect on September 16, 1991.
(c) Visual flight rules (night). For VFR flight at night, the following instruments and equipment are required:
(1) Instruments and equipment specified in paragraph (b) of this section.
(2) Approved position lights.
(3) An approved aviation red or aviation white anticollision light system on all U.S.-registered civil aircraft. Anticollision light systems initially installed after August 11, 1971, on aircraft for which a type certificate was issued or applied for before August 11, 1971, must at least meet the anticollision light standards of part 23, 25, 27, or 29 of this chapter, as applicable, that were in effect on August 10, 1971, except that the color may be either aviation red or aviation white. In the event of failure of any light of the anticollision light system, operations with the aircraft may be continued to a stop where repairs or replacement can be made.
(4) If the aircraft is operated for hire, one electric landing light.
(5) An adequate source of electrical energy for all installed electrical and radio equipment.
(6) One spare set of fuses, or three spare fuses of each kind required, that are accessible to the pilot in flight.
(d) Instrument flight rules. For IFR flight, the following instruments and equipment are required:
(1) Instruments and equipment specified in paragraph (b) of this section, and, for night flight, instruments and equipment specified in paragraph (c) of this section.
(2) Two-way radio communication and navigation equipment suitable for the route to be flown.
(3) Gyroscopic rate-of-turn indicator, except on the following aircraft:
(i) Airplanes with a third attitude instrument system usable through flight attitudes of 360 degrees of pitch and roll and installed in accordance with the instrument requirements prescribed in § 121.305(j) of this chapter; and
(ii) Rotorcraft with a third attitude instrument system usable through flight attitudes of ±80 degrees of pitch and ±120 degrees of roll and installed in accordance with § 29.1303(g) of this chapter.
(4) Slip-skid indicator.
(5) Sensitive altimeter adjustable for barometric pressure.
(6) A clock displaying hours, minutes, and seconds with a sweep-second pointer or digital presentation.
(7) Generator or alternator of adequate capacity.
(8) Gyroscopic pitch and bank indicator (artificial horizon).
(9) Gyroscopic direction indicator (directional gyro or equivalent).
(e) Flight at and above 24,000 feet MSL (FL 240). If VOR navigation equipment is required under paragraph (d)(2) of this section, no person may operate a U.S.-registered civil aircraft within the 50 states and the District of Columbia at or above FL 240 unless that aircraft is equipped with approved DME or a suitable RNAV system. When the DME or RNAV system required by this paragraph fails at and above FL 240, the pilot in command of the aircraft must notify ATC immediately, and then may continue operations at and above FL 240 to the next airport of intended landing where repairs or replacement of the equipment can be made.
(f) Category II operations. The requirements for Category II operations are the instruments and equipment specified in—
(1) Paragraph (d) of this section; and
(2) Appendix A to this part.
(g) Category III operations. The instruments and equipment required for Category III operations are specified in paragraph (d) of this section.
(h) Night vision goggle operations. For night vision goggle operations, the following instruments and equipment must be installed in the aircraft, functioning in a normal manner, and approved for use by the FAA:
(1) Instruments and equipment specified in paragraph (b) of this section, instruments and equipment specified in paragraph (c) of this section;
(2) Night vision goggles;
(3) Interior and exterior aircraft lighting system required for night vision goggle operations;
(4) Two-way radio communications system;
(5) Gyroscopic pitch and bank indicator (artificial horizon);
(6) Generator or alternator of adequate capacity for the required instruments and equipment; and
(7) Radar altimeter.
(i) Exclusions. Paragraphs (f) and (g) of this section do not apply to operations conducted by a holder of a certificate issued under part 121 or part 135 of this chapter.
(a) Except as provided in paragraphs (e) and (f) of this section, no person may operate a U.S.-registered civil airplane unless—
(1) There is attached to the airplane an approved automatic type emergency locator transmitter that is in operable condition for the following operations, except that after June 21, 1995, an emergency locator transmitter that meets the requirements of TSO-C91 may not be used for new installations:
(i) Those operations governed by the supplemental air carrier and commercial operator rules of parts 121 and 125;
(ii) Charter flights governed by the domestic and flag air carrier rules of part 121 of this chapter; and
(iii) Operations governed by part 135 of this chapter; or
(2) For operations other than those specified in paragraph (a)(1) of this section, there must be attached to the airplane an approved personal type or an approved automatic type emergency locator transmitter that is in operable condition, except that after June 21, 1995, an emergency locator transmitter that meets the requirements of TSO-C91 may not be used for new installations.
(b) Each emergency locator transmitter required by paragraph (a) of this section must be attached to the airplane in such a manner that the probability of damage to the transmitter in the event of crash impact is minimized. Fixed and deployable automatic type transmitters must be attached to the airplane as far aft as practicable.
(c) Batteries used in the emergency locator transmitters required by paragraphs (a) and (b) of this section must be replaced (or recharged, if the batteries are rechargeable)—
(1) When the transmitter has been in use for more than 1 cumulative hour; or
(2) When 50 percent of their useful life (or, for rechargeable batteries, 50 percent of their useful life of charge) has expired, as established by the transmitter manufacturer under its approval.
(d) Each emergency locator transmitter required by paragraph (a) of this section must be inspected within 12 calendar months after the last inspection for—
(1) Proper installation;
(2) Battery corrosion;
(3) Operation of the controls and crash sensor; and
(4) The presence of a sufficient signal radiated from its antenna.
(e) Notwithstanding paragraph (a) of this section, a person may—
(1) Ferry a newly acquired airplane from the place where possession of it was taken to a place where the emergency locator transmitter is to be installed; and
(2) Ferry an airplane with an inoperative emergency locator transmitter from a place where repairs or replacements cannot be made to a place where they can be made.
(f) Paragraph (a) of this section does not apply to—
(1) Before January 1, 2004, turbojet-powered aircraft;
(2) Aircraft while engaged in scheduled flights by scheduled air carriers;
(3) Aircraft while engaged in training operations conducted entirely within a 50-nautical mile radius of the airport from which such local flight operations began;
(4) Aircraft while engaged in flight operations incident to design and testing;
(5) New aircraft while engaged in flight operations incident to their manufacture, preparation, and delivery;
(6) Aircraft while engaged in flight operations incident to the aerial application of chemicals and other substances for agricultural purposes;
(7) Aircraft certificated by the Administrator for research and development purposes;
(8) Aircraft while used for showing compliance with regulations, crew training, exhibition, air racing, or market surveys;
(9) Aircraft equipped to carry not more than one person.
(10) An aircraft during any period for which the transmitter has been temporarily removed for inspection, repair, modification, or replacement, subject to the following:
(i) No person may operate the aircraft unless the aircraft records contain an entry which includes the date of initial removal, the make, model, serial number, and reason for removing the transmitter, and a placard located in view of the pilot to show “ELT not installed.”
(ii) No person may operate the aircraft more than 90 days after the ELT is initially removed from the aircraft; and
(11) On and after January 1, 2004, aircraft with a maximum payload capacity of more than 18,000 pounds when used in air transportation.
No person may:
(a) During the period from sunset to sunrise (or, in Alaska, during the period a prominent unlighted object cannot be seen from a distance of 3 statute miles or the sun is more than 6 degrees below the horizon)—
(1) Operate an aircraft unless it has lighted position lights;
(2) Park or move an aircraft in, or in dangerous proximity to, a night flight operations area of an airport unless the aircraft—
(i) Is clearly illuminated;
(ii) Has lighted position lights; or
(iii) is in an area that is marked by obstruction lights;
(3) Anchor an aircraft unless the aircraft—
(i) Has lighted anchor lights; or
(ii) Is in an area where anchor lights are not required on vessels; or
(b) Operate an aircraft that is equipped with an anticollision light system, unless it has lighted anticollision lights. However, the anticollision lights need not be lighted when the pilot-in-command determines that, because of operating conditions, it would be in the interest of safety to turn the lights off.
(a) General. No person may operate a civil aircraft of U.S. registry—
(1) At cabin pressure altitudes above 12,500 feet (MSL) up to and including 14,000 feet (MSL) unless the required minimum flight crew is provided with and uses supplemental oxygen for that part of the flight at those altitudes that is of more than 30 minutes duration;
(2) At cabin pressure altitudes above 14,000 feet (MSL) unless the required minimum flight crew is provided with and uses supplemental oxygen during the entire flight time at those altitudes; and
(3) At cabin pressure altitudes above 15,000 feet (MSL) unless each occupant of the aircraft is provided with supplemental oxygen.
(b) Pressurized cabin aircraft. (1) No person may operate a civil aircraft of U.S. registry with a pressurized cabin—
(i) At flight altitudes above flight level 250 unless at least a 10-minute supply of supplemental oxygen, in addition to any oxygen required to satisfy paragraph (a) of this section, is available for each occupant of the aircraft for use in the event that a descent is necessitated by loss of cabin pressurization; and
(ii) At flight altitudes above flight level 350 unless one pilot at the controls of the airplane is wearing and using an oxygen mask that is secured and sealed and that either supplies oxygen at all times or automatically supplies oxygen whenever the cabin pressure altitude of the airplane exceeds 14,000 feet (MSL), except that the one pilot need not wear and use an oxygen mask while at or below flight level 410 if there are two pilots at the controls and each pilot has a quick-donning type of oxygen mask that can be placed on the face with one hand from the ready position within 5 seconds, supplying oxygen and properly secured and sealed.
(2) Notwithstanding paragraph (b)(1)(ii) of this section, if for any reason at any time it is necessary for one pilot to leave the controls of the aircraft when operating at flight altitudes above flight level 350, the remaining pilot at the controls shall put on and use an oxygen mask until the other pilot has returned to that crewmember's station.
(a) Except as provided in paragraph (d) of this section, no person may take off an aircraft with inoperative instruments or equipment installed unless the following conditions are met:
(1) An approved Minimum Equipment List exists for that aircraft.
(2) The aircraft has within it a letter of authorization, issued by the responsible Flight Standards office, authorizing operation of the aircraft under the Minimum Equipment List. The letter of authorization may be obtained by written request of the airworthiness certificate holder. The Minimum Equipment List and the letter of authorization constitute a supplemental type certificate for the aircraft.
(3) The approved Minimum Equipment List must—
(i) Be prepared in accordance with the limitations specified in paragraph (b) of this section; and
(ii) Provide for the operation of the aircraft with the instruments and equipment in an inoperable condition.
(4) The aircraft records available to the pilot must include an entry describing the inoperable instruments and equipment.
(5) The aircraft is operated under all applicable conditions and limitations contained in the Minimum Equipment List and the letter authorizing the use of the list.
(b) The following instruments and equipment may not be included in a Minimum Equipment List:
(1) Instruments and equipment that are either specifically or otherwise required by the airworthiness requirements under which the aircraft is type certificated and which are essential for safe operations under all operating conditions.
(2) Instruments and equipment required by an airworthiness directive to be in operable condition unless the airworthiness directive provides otherwise.
(3) Instruments and equipment required for specific operations by this part.
(c) A person authorized to use an approved Minimum Equipment List issued for a specific aircraft under subpart K of this part, part 121, 125, or 135 of this chapter must use that Minimum Equipment List to comply with the requirements in this section.
(d) Except for operations conducted in accordance with paragraph (a) or (c) of this section, a person may takeoff an aircraft in operations conducted under this part with inoperative instruments and equipment without an approved Minimum Equipment List provided—
(1) The flight operation is conducted in a—
(i) Rotorcraft, non-turbine-powered airplane, glider, lighter-than-air aircraft, powered parachute, or weight-shift-control aircraft, for which a master minimum equipment list has not been developed; or
(ii) Small rotorcraft, nonturbine-powered small airplane, glider, or lighter-than-air aircraft for which a Master Minimum Equipment List has been developed; and
(2) The inoperative instruments and equipment are not—
(i) Part of the VFR-day type certification instruments and equipment prescribed in the applicable airworthiness regulations under which the aircraft was type certificated;
(ii) Indicated as required on the aircraft's equipment list, or on the Kinds of Operations Equipment List for the kind of flight operation being conducted;
(iii) Required by § 91.205 or any other rule of this part for the specific kind of flight operation being conducted; or
(iv) Required to be operational by an airworthiness directive; and
(3) The inoperative instruments and equipment are—
(i) Removed from the aircraft, the cockpit control placarded, and the maintenance recorded in accordance with § 43.9 of this chapter; or
(ii) Deactivated and placarded “Inoperative.” If deactivation of the inoperative instrument or equipment involves maintenance, it must be accomplished and recorded in accordance with part 43 of this chapter; and
(4) A determination is made by a pilot, who is certificated and appropriately rated under part 61 of this chapter, or by a person, who is certificated and appropriately rated to perform maintenance on the aircraft, that the inoperative instrument or equipment does not constitute a hazard to the aircraft.
An aircraft with inoperative instruments or equipment as provided in paragraph (d) of this section is considered to be in a properly altered condition acceptable to the Administrator.
(e) Notwithstanding any other provision of this section, an aircraft with inoperable instruments or equipment may be operated under a special flight permit issued in accordance with §§ 21.197 and 21.199 of this chapter.
(a) All airspace: U.S.-registered civil aircraft. For operations not conducted under part 121 or 135 of this chapter, ATC transponder equipment installed must meet the performance and environmental requirements of any class of TSO-C74b (Mode A) or any class of TSO-C74c (Mode A with altitude reporting capability) as appropriate, or the appropriate class of TSO-C112 (Mode S).
(b) All airspace. Unless otherwise authorized or directed by ATC, and except as provided in paragraph (e)(1) of this section, no person may operate an aircraft in the airspace described in paragraphs (b)(1) through (5) of this section, unless that aircraft is equipped with an operable coded radar beacon transponder having either Mode A 4096 code capability, replying to Mode A interrogations with the code specified by ATC, or a Mode S capability, replying to Mode A interrogations with the code specified by ATC and Mode S interrogations in accordance with the applicable provisions specified in TSO-C112, and that aircraft is equipped with automatic pressure altitude reporting equipment having a Mode C capability that automatically replies to Mode C interrogations by transmitting pressure altitude information in 100-foot increments. The requirements of this paragraph (b) apply to—
(1) All aircraft. In Class A, Class B, and Class C airspace areas;
(2) All aircraft. In all airspace within 30 nautical miles of an airport listed in appendix D, section 1 of this part from the surface upward to 10,000 feet MSL;
(3) Notwithstanding paragraph (b)(2) of this section, any aircraft which was not originally certificated with an engine-driven electrical system or which has not subsequently been certified with such a system installed, balloon or glider may conduct operations in the airspace within 30 nautical miles of an airport listed in appendix D, section 1 of this part provided such operations are conducted—
(i) Outside any Class A, Class B, or Class C airspace area; and
(ii) Below the altitude of the ceiling of a Class B or Class C airspace area designated for an airport or 10,000 feet MSL, whichever is lower; and
(4) All aircraft in all airspace above the ceiling and within the lateral boundaries of a Class B or Class C airspace area designated for an airport upward to 10,000 feet MSL; and
(5) All aircraft except any aircraft which was not originally certificated with an engine-driven electrical system or which has not subsequently been certified with such a system installed, balloon, or glider—
(i) In all airspace of the 48 contiguous states and the District of Columbia at and above 10,000 feet MSL, excluding the airspace at and below 2,500 feet above the surface; and
(ii) In the airspace from the surface to 10,000 feet MSL within a 10-nautical-mile radius of any airport listed in appendix D, section 2 of this part, excluding the airspace below 1,200 feet outside of the lateral boundaries of the surface area of the airspace designated for that airport.
(c) Transponder-on operation. Except as provided in paragraph (e)(2) of this section, while in the airspace as specified in paragraph (b) of this section or in all controlled airspace, each person operating an aircraft equipped with an operable ATC transponder maintained in accordance with § 91.413 shall operate the transponder, including Mode C equipment if installed, and shall reply on the appropriate code or as assigned by ATC, unless otherwise directed by ATC when transmitting would jeopardize the safe execution of air traffic control functions.
(d) ATC authorized deviations. Requests for ATC authorized deviations must be made to the ATC facility having jurisdiction over the concerned airspace within the time periods specified as follows:
(1) For operation of an aircraft with an operating transponder but without operating automatic pressure altitude reporting equipment having a Mode C capability, the request may be made at any time.
(2) For operation of an aircraft with an inoperative transponder to the airport of ultimate destination, including any intermediate stops, or to proceed to a place where suitable repairs can be made or both, the request may be made at any time.
(3) For operation of an aircraft that is not equipped with a transponder, the request must be made at least one hour before the proposed operation.
(e) Unmanned aircraft. (1) The requirements of paragraph (b) of this section do not apply to a person operating an unmanned aircraft under this part unless the operation is conducted under a flight plan and the person operating the unmanned aircraft maintains two-way communication with ATC.
(2) No person may operate an unmanned aircraft under this part with a transponder on unless:
(i) The operation is conducted under a flight plan and the person operating the unmanned aircraft maintains two-way communication with ATC; or
(ii) The use of a transponder is otherwise authorized by the Administrator.
(a) No person may operate any automatic pressure altitude reporting equipment associated with a radar beacon transponder—
(1) When deactivation of that equipment is directed by ATC;
(2) Unless, as installed, that equipment was tested and calibrated to transmit altitude data corresponding within 125 feet (on a 95 percent probability basis) of the indicated or calibrated datum of the altimeter normally used to maintain flight altitude, with that altimeter referenced to 29.92 inches of mercury for altitudes from sea level to the maximum operating altitude of the aircraft; or
(3) Unless the altimeters and digitizers in that equipment meet the standards of TSO-C10b and TSO-C88, respectively.
(b) No person may operate any automatic pressure altitude reporting equipment associated with a radar beacon transponder or with ADS-B Out equipment unless the pressure altitude reported for ADS-B Out and Mode C/S is derived from the same source for aircraft equipped with both a transponder and ADS-B Out.
(a) Except as provided in paragraph (d) of this section, no person may operate a turbojet-powered U.S.-registered civil airplane unless that airplane is equipped with an approved altitude alerting system or device that is in operable condition and meets the requirements of paragraph (b) of this section.
(b) Each altitude alerting system or device required by paragraph (a) of this section must be able to—
(1) Alert the pilot—
(i) Upon approaching a preselected altitude in either ascent or descent, by a sequence of both aural and visual signals in sufficient time to establish level flight at that preselected altitude; or
(ii) Upon approaching a preselected altitude in either ascent or descent, by a sequence of visual signals in sufficient time to establish level flight at that preselected altitude, and when deviating above and below that preselected altitude, by an aural signal;
(2) Provide the required signals from sea level to the highest operating altitude approved for the airplane in which it is installed;
(3) Preselect altitudes in increments that are commensurate with the altitudes at which the aircraft is operated;
(4) Be tested without special equipment to determine proper operation of the alerting signals; and
(5) Accept necessary barometric pressure settings if the system or device operates on barometric pressure. However, for operation below 3,000 feet AGL, the system or device need only provide one signal, either visual or aural, to comply with this paragraph. A radio altimeter may be included to provide the signal if the operator has an approved procedure for its use to determine DA/DH or MDA, as appropriate.
(c) Each operator to which this section applies must establish and assign procedures for the use of the altitude alerting system or device and each flight crewmember must comply with those procedures assigned to him.
(d) Paragraph (a) of this section does not apply to any operation of an airplane that has an experimental certificate or to the operation of any airplane for the following purposes:
(1) Ferrying a newly acquired airplane from the place where possession of it was taken to a place where the altitude alerting system or device is to be installed.
(2) Continuing a flight as originally planned, if the altitude alerting system or device becomes inoperative after the airplane has taken off; however, the flight may not depart from a place where repair or replacement can be made.
(3) Ferrying an airplane with any inoperative altitude alerting system or device from a place where repairs or replacements cannot be made to a place where it can be made.
(4) Conducting an airworthiness flight test of the airplane.
(5) Ferrying an airplane to a place outside the United States for the purpose of registering it in a foreign country.
(6) Conducting a sales demonstration of the operation of the airplane.
(7) Training foreign flight crews in the operation of the airplane before ferrying it to a place outside the United States for the purpose of registering it in a foreign country.
(a) All airspace: U.S.-registered civil aircraft. Any traffic alert and collision avoidance system installed in a U.S.-registered civil aircraft must be approved by the Administrator.
(b) Traffic alert and collision avoidance system, operation required. Each person operating an aircraft equipped with an operable traffic alert and collision avoidance system shall have that system on and operating.
(a) Airplanes manufactured after March 29, 2002. Except as provided in paragraph (d) of this section, no person may operate a turbine-powered U.S.-registered airplane configured with six or more passenger seats, excluding any pilot seat, unless that airplane is equipped with an approved terrain awareness and warning system that as a minimum meets the requirements for Class B equipment in Technical Standard Order (TSO)-C151.
(b) Airplanes manufactured on or before March 29, 2002. Except as provided in paragraph (d) of this section, no person may operate a turbine-powered U.S.-registered airplane configured with six or more passenger seats, excluding any pilot seat, after March 29, 2005, unless that airplane is equipped with an approved terrain awareness and warning system that as a minimum meets the requirements for Class B equipment in Technical Standard Order (TSO)-C151.
(c) Airplane Flight Manual. The Airplane Flight Manual shall contain appropriate procedures for—
(1) The use of the terrain awareness and warning system; and
(2) Proper flight crew reaction in response to the terrain awareness and warning system audio and visual warnings.
(d) Exceptions. Paragraphs (a) and (b) of this section do not apply to—
(1) Parachuting operations when conducted entirely within a 50 nautical mile radius of the airport from which such local flight operations began.
(2) Firefighting operations.
(3) Flight operations when incident to the aerial application of chemicals and other substances.
(a) After January 1, 2020, unless otherwise authorized by ATC, no person may operate an aircraft in Class A airspace unless the aircraft has equipment installed that—
(1) Meets the performance requirements in-
(i) TSO-C166b and Section 2 of RTCA DO-260B (as referenced in TSO-C166b); or
(ii) TSO-C166c and Section 2 of RTCA DO-260C as modified by DO-260C—Change 1 (as referenced in TSO-C166c); and
(2) Meets the requirements of § 91.227.
(b) After January 1, 2020, except as prohibited in paragraph (h)(2) of this section or unless otherwise authorized by ATC, no person may operate an aircraft below 18,000 feet MSL and in airspace described in paragraph (d) of this section unless the aircraft has equipment installed that—
(1) Meets the performance requirements in—
(i) TSO-C166b and Section 2 of RTCA DO-260B (as referenced in TSO-C166b);
(ii) TSO-C166c and Section 2 of RTCA DO-260C as modified by DO-260C—Change 1 (as referenced in TSO-C166c);
(iii) TSO-C154c and Section 2 of RTCA DO-282B (as referenced in TSO-C154c); or
(iv) TSO-C154d and Section 2 of RTCA DO-282C (as referenced in TSO-C154d);
(2) Meets the requirements of § 91.227.
(c) Operators with equipment installed with an approved deviation under § 21.618 of this chapter also are in compliance with this section.
(d) After January 1, 2020, except as prohibited in paragraph (h)(2) of this section or unless otherwise authorized by ATC, no person may operate an aircraft in the following airspace unless the aircraft has equipment installed that meets the requirements in paragraph (b) of this section:
(1) Class B and Class C airspace areas;
(2) Except as provided for in paragraph (e) of this section, within 30 nautical miles of an airport listed in appendix D, section 1 to this part from the surface upward to 10,000 feet MSL;
(3) Above the ceiling and within the lateral boundaries of a Class B or Class C airspace area designated for an airport upward to 10,000 feet MSL;
(4) Except as provided in paragraph (e) of this section, Class E airspace within the 48 contiguous states and the District of Columbia at and above 10,000 feet MSL, excluding the airspace at and below 2,500 feet above the surface; and
(5) Class E airspace at and above 3,000 feet MSL over the Gulf of Mexico from the coastline of the United States out to 12 nautical miles.
(e) The requirements of paragraph (b) of this section do not apply to any aircraft that was not originally certificated with an engine-driven electrical system, or that has not subsequently been certified with such a system installed, including balloons and gliders. These aircraft may conduct operations without ADS-B Out in the airspace specified in paragraph (d)(4) of this section. These aircraft may also conduct operations in the airspace specified in paragraph (d)(2) of this section if those operations are conducted—
(1) Outside any Class B or Class C airspace area; and
(2) Below the altitude of the ceiling of a Class B or Class C airspace area designated for an airport, or 10,000 feet MSL, whichever is lower.
(f) Except as prohibited in paragraph (h)(2) of this section, each person operating an aircraft equipped with ADS-B Out must operate this equipment in the transmit mode at all times unless—
(1) Otherwise authorized by the FAA when the aircraft is performing a sensitive government mission for national defense, homeland security, intelligence or law enforcement purposes and transmitting would compromise the operations security of the mission or pose a safety risk to the aircraft, crew, or people and property in the air or on the ground; or
(2) Otherwise directed by ATC when transmitting would jeopardize the safe execution of air traffic control functions.
(g) Requests for ATC authorized deviations from the requirements of this section must be made to the ATC facility having jurisdiction over the concerned airspace within the time periods specified as follows:
(1) For operation of an aircraft with an inoperative ADS-B Out, to the airport of ultimate destination, including any intermediate stops, or to proceed to a place where suitable repairs can be made or both, the request may be made at any time.
(2) For operation of an aircraft that is not equipped with ADS-B Out, the request must be made at least 1 hour before the proposed operation.
(h) For unmanned aircraft:
(1) No person may operate an unmanned aircraft under a flight plan and in two way communication with ATC unless:
(i) That aircraft has equipment installed that meets the performance requirements in TSO-C166b (including Section 2 of RTCA DO-260B, as referenced in TSO-C166b), TSO-C166c (including Section 2 of RTCA DO-260C as modified by DO-260C—Change 1, as referenced in TSO-C166c), TSO-C154c (including Section 2 of RTCA DO-282B, as referenced in TSO-C154c), or TSO-C154d (including Section 2 of RTCA DO-282C, as referenced in TSO-C154d); and
(ii) The equipment meets the requirements of § 91.227.
(2) No person may operate an unmanned aircraft under this part with Automatic Dependent Surveillance-Broadcast Out equipment in transmit mode unless:
(i) The operation is conducted under a flight plan and the person operating that unmanned aircraft maintains two-way communication with ATC; or
(ii) The use of ADS-B Out is otherwise authorized by the Administrator.
(i) The standards required in this section are incorporated by reference with the approval of the Director of the Office of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. This incorporation by reference (IBR) material is available for inspection at the FAA and the National Archives and Records Administration (NARA). Contact the FAA at: Office of Rulemaking (ARM-1), 800 Independence Avenue SW, Washington, DC 20590 (telephone 202-267-9677). For information on the availability of this material at NARA, visit https://www.archives.gov/federal-register/cfr/ibr-locations.html or email fr.inspection@nara.gov. This material is also available from the following sources in this paragraph (i).
(1) U.S. Department of Transportation, Subsequent Distribution Office, DOT Warehouse M30, Ardmore East Business Center, 3341 Q 75th Avenue, Landover, MD 20785; telephone (301) 322-5377; website: www.faa.gov/aircraft/air_cert/design_approvals/tso/ (select the link “Search Technical Standard Orders”).
(i) TSO-C166b, Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Service-Broadcast (TIS-B) Equipment Operating on the Radio Frequency of 1090 Megahertz (MHz), December 2, 2009.
(ii) TSO-C166c, Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Service-Broadcast (TIS-B) Equipment Operating on the Radio Frequency of 1090 Megahertz (MHz), March 10, 2023.
(iii) TSO-C154c, Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B) Equipment Operating on the Frequency of 978 MHz, December 2, 2009.
(iv) TSO-C154d, Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B) Equipment Operating on the Radio Frequency of 978 Megahertz (MHz), March 10, 2023.
(2) RTCA, Inc., 1150 18th St. NW, Suite 910, Washington, DC 20036; telephone (202) 833-9339; website: www.rtca.org/products.
(i) RTCA DO-260B, Minimum Operational Performance Standards for 1090 MHz Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Services-Broadcast (TIS-B), Section 2, Equipment Performance Requirements and Test Procedures, December 2, 2009.
(ii) RTCA DO-260C, Minimum Operational Performance Standards for 1090 MHz Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Services-Broadcast (TIS-B), Section 2, Equipment Performance Requirements and Test Procedures, December 17, 2020.
(iii) RTCA DO-260C, Minimum Operational Performance Standards for 1090 MHz Extended Squitter Automatic Dependent Surveillance—Broadcast (ADS-B) and Traffic Information Services—Broadcast (TIS-B), Change 1, January 25, 2022.
(iv) RTCA DO-282B, Minimum Operational Performance Standards for Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B), Section 2, Equipment Performance Requirements and Test Procedures, December 2, 2009.
(v) RTCA DO-282C, Minimum Operational Performance Standards (MOPS) for Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B), Section 2, Equipment Performance Requirements and Test Procedures, June 23, 2022.
(a) Definitions. For the purposes of this section:
ADS-B Out is a function of an aircraft's onboard avionics that periodically broadcasts the aircraft's state vector (3-dimensional position and 3-dimensional velocity) and other required information as described in this section.
Navigation Accuracy Category for Position (NAC
Navigation Accuracy Category for Velocity (NAC
Navigation Integrity Category (NIC) specifies an integrity containment radius around an aircraft's reported position.
Position Source refers to the equipment installed onboard an aircraft used to process and provide aircraft position (for example, latitude, longitude, and velocity) information.
Source Integrity Level (SIL) indicates the probability of the reported horizontal position exceeding the containment radius defined by the NIC on a per sample or per hour basis.
System Design Assurance (SDA) indicates the probability of an aircraft malfunction causing false or misleading information to be transmitted.
Total latency is the total time between when the position is measured and when the position is transmitted by the aircraft.
Uncompensated latency is the time for which the aircraft does not compensate for latency.
(b) 1090 MHz ES and UAT Broadcast Links and Power Requirements—
(1) Aircraft operating in Class A airspace must have equipment installed that meets the antenna and power output requirements of Class A1S, A1, A2, A3, B1S, or B1 equipment as defined in TSO-C166b and Section 2 of RTCA DO-260B (as referenced in TSO-C166b), or TSO-C166c and Section 2 of RTCA DO-260C as modified by DO-260C—Change 1 (as referenced in TSO-C166c).
(2) Aircraft operating in airspace designated for ADS-B Out, but outside of Class A airspace, must have equipment installed that meets the antenna and output power requirements of either:
(i) Class A1S, A1, A2, A3, B1S, or B1 as defined in TSO-C166b and Section 2 of RTCA DO-260B (as referenced in TSO-C166b) or TSO-C166c and Section 2 of RTCA DO-260C as modified by DO-260C—Change 1 (as referenced in TSO-C166c); or
(ii) Class A1S, A1H, A2, A3, B1S, or B1 equipment as defined in TSO-C154c and Section 2 of RTCA DO-282B (as referenced in TSO-C154c), or TSO-C154d and Section 2 of RTCA DO-282C (as referenced in TSO-C154d).
(c) ADS-B Out Performance Requirements for NAC
(1) For aircraft broadcasting ADS-B Out as required under § 91.225 (a) and (b)—
(i) The aircraft's NAC
(ii) The aircraft's NAC
(iii) The aircraft's NIC must be less than 0.2 nautical miles;
(iv) The aircraft's SDA must be less than or equal to 10
(v) The aircraft's SIL must be less than or equal to 10
(2) Changes in NAC
(3) Changes in NIC must be broadcast within 12 seconds.
(d) Minimum Broadcast Message Element Set for ADS-B Out. Each aircraft must broadcast the following information, as defined in TSO-C166b (including Section 2 of RTCA DO-260B, as referenced in TSO-C166b), TSO-C166c (including Section 2 of RTCA DO-260C as modified by DO-260C—Change 1, as referenced in TSO-C166c), TSO-C154c (including Section 2 of RTCA DO-282B, as referenced in TSO-C154c), or TSO-C154d (including Section 2 of RTCA DO-282C, as referenced in TSO-C154d). The pilot must enter information for message elements listed in paragraphs (d)(7) through (10) of this section during the appropriate phase of flight.
(1) The length and width of the aircraft;
(2) An indication of the aircraft's latitude and longitude;
(3) An indication of the aircraft's barometric pressure altitude;
(4) An indication of the aircraft's velocity;
(5) An indication if a collision avoidance system is installed and operating in a mode that can generate resolution advisory alerts;
(6) If an operable collision avoidance system is installed, an indication if a resolution advisory is in effect;
(7) An indication of the Mode A transponder code specified by ATC;
(8) An indication of the aircraft identification that is submitted on the flight plan or used for communicating with ATC, except when the pilot has not filed a flight plan, has not requested ATC services, and is using a TSO-C154c or TSO-C154d self-assigned temporary 24-bit address;
(9) An indication if the flightcrew has identified an emergency, radio communication failure, or unlawful interference;
(10) An indication of the aircraft's “IDENT” to ATC;
(11) An indication of the aircraft assigned ICAO 24-bit address, except when the pilot has not filed a flight plan, has not requested ATC services, and is using a TSO-C154c or TSO-C154d self-assigned temporary 24-bit address;
(12) An indication of the aircraft's emitter category;
(13) An indication of whether an ADS-B In capability is available;
(14) An indication of the aircraft's geometric altitude;
(15) An indication of the Navigation Accuracy Category for Position (NAC
(16) An indication of the Navigation Accuracy Category for Velocity (NAC
(17) An indication of the Navigation Integrity Category (NIC);
(18) An indication of the System Design Assurance (SDA); and
(19) An indication of the Source Integrity Level (SIL).
(e) ADS-B Latency Requirements—
(1) The aircraft must transmit its geometric position no later than 2.0 seconds from the time of measurement of the position to the time of transmission.
(2) Within the 2.0 total latency allocation, a maximum of 0.6 seconds can be uncompensated latency. The aircraft must compensate for any latency above 0.6 seconds up to the maximum 2.0 seconds total by extrapolating the geometric position to the time of message transmission.
(3) The aircraft must transmit its position and velocity at least once per second while airborne or while moving on the airport surface.
(4) The aircraft must transmit its position at least once every 5 seconds while stationary on the airport surface.
(f) Equipment with an approved deviation. Operators with equipment installed with an approved deviation under § 21.618 of this chapter also are in compliance with this section.
(g) Incorporation by reference. The standards required in this section are incorporated by reference with the approval of the Director of the Office of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. This incorporation by reference (IBR) material is available for inspection at the FAA and the National Archives and Records Administration (NARA). Contact the FAA at: Office of Rulemaking (ARM-1), 800 Independence Avenue SW, Washington, DC 20590 (telephone 202-267-9677). For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email fr.inspection@nara.gov. This material is also available from the following sources indicated in this paragraph (g).
(1) U.S. Department of Transportation, Subsequent Distribution Office, DOT Warehouse M30, Ardmore East Business Center, 3341 Q 75th Avenue, Landover, MD 20785; telephone (301) 322-5377; website: www.faa.gov/aircraft/air_cert/design_approvals/tso/ (select the link “Search Technical Standard Orders”).
(i) TSO-C166b, Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Service-Broadcast (TIS-B) Equipment Operating on the Radio Frequency of 1090 Megahertz (MHz), December 2, 2009.
(ii) TSO-C166c, Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Service-Broadcast (TIS-B) Equipment Operating on the Radio Frequency of 1090 Megahertz (MHz), March 10, 2023.
(iii) TSO-C154c, Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B) Equipment Operating on the Frequency of 978 MHz, December 2, 2009.
(iv) TSO-C154d, Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B) Equipment Operating on the Radio Frequency of 978 Megahertz (MHz), March 10, 2023.
(2) RTCA, Inc., 1150 18th St. NW, Suite 910, Washington, DC 20036; telephone (202) 833-9339; website: www.rtca.org/products.
(i) RTCA DO-260B, Minimum Operational Performance Standards for 1090 MHz Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Services-Broadcast (TIS-B), Section 2, Equipment Performance Requirements and Test Procedures, December 2, 2009.
(ii) RTCA DO-260C, Minimum Operational Performance Standards for 1090 MHz Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Services-Broadcast (TIS-B), Section 2, Equipment Performance Requirements and Test Procedures, December 17, 2020.
(iii) RTCA DO-260C, Minimum Operational Performance Standards for 1090 MHz Extended Squitter Automatic Dependent Surveillance-Broadcast (ADS-B) and Traffic Information Services-Broadcast (TIS-B), Change 1, January 25, 2022.
(iv) RTCA DO-282B, Minimum Operational Performance Standards for Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B), Section 2, Equipment Performance Requirements and Test Procedures, December 2, 2009.
(v) RTCA DO-282C, Minimum Operational Performance Standards (MOPS) for Universal Access Transceiver (UAT) Automatic Dependent Surveillance-Broadcast (ADS-B), Section 2, Equipment Performance Requirements and Test Procedures, June 23, 2022.
No person may operate an aircraft in aerobatic flight—
(a) Over any congested area of a city, town, or settlement;
(b) Over an open air assembly of persons;
(c) Within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for an airport;
(d) Within 4 nautical miles of the center line of any Federal airway;
(e) Below an altitude of 1,500 feet above the surface; or
(f) When flight visibility is less than 3 statute miles.
No person may flight test an aircraft except over open water, or sparsely populated areas, having light air traffic.
(a) No pilot of a civil aircraft may allow a parachute that is available for emergency use to be carried in that aircraft unless it is an approved type and has been packed by a certificated and appropriately rated parachute rigger—
(1) Within the preceding 180 days, if its canopy, shrouds, and harness are composed exclusively of nylon, rayon, or other similar synthetic fiber or materials that are substantially resistant to damage from mold, mildew, or other fungi and other rotting agents propagated in a moist environment; or
(2) Within the preceding 60 days, if any part of the parachute is composed of silk, pongee, or other natural fiber or materials not specified in paragraph (a)(1) of this section.
(b) Except in an emergency, no pilot in command may allow, and no person may conduct, a parachute operation from an aircraft within the United States except in accordance with part 105 of this chapter.
(c) Unless each occupant of the aircraft is wearing an approved parachute, no pilot of a civil aircraft carrying any person (other than a crewmember) may execute any intentional maneuver that exceeds—
(1) A bank of 60 degrees relative to the horizon; or
(2) A nose-up or nose-down attitude of 30 degrees relative to the horizon.
(d) Paragraph (c) of this section does not apply to—
(1) Flight tests for pilot certification or rating; or
(2) Spins and other flight maneuvers required by the regulations for any certificate or rating when given by—
(i) A certificated flight instructor; or
(ii) An airline transport pilot instructing in accordance with § 61.67 of this chapter.
(e) For the purposes of this section, approved parachute means—
(1) A parachute manufactured under a type certificate or a technical standard order (C-23 series); or
(2) A personnel-carrying military parachute identified by an NAF, AAF, or AN drawing number, an AAF order number, or any other military designation or specification number.
(a) No person may operate a civil aircraft towing a glider or unpowered ultralight vehicle unless—
(1) The pilot in command of the towing aircraft is qualified under § 61.69 of this chapter;
(2) The towing aircraft has:
(i) A standard airworthiness certificate and is equipped with a tow-hitch of a kind, and installed in a manner, that is approved by the Administrator;
(ii) A special airworthiness certificate for which a type certificate has been issued, and is equipped with a tow-hitch of a kind, and installed in a manner, that is approved or otherwise authorized by the Administrator; or
(iii) A special airworthiness certificate, for which the aircraft has not been previously issued a type certificate, and is equipped with a tow-hitch of a kind that is approved or otherwise acceptable to, and is installed in a manner acceptable to, the Administrator;
(3) The towline used has breaking strength not less than 80 percent of the maximum certificated operating weight of the glider or unpowered ultralight vehicle and not more than twice this operating weight. However, the towline used may have a breaking strength more than twice the maximum certificated operating weight of the glider or unpowered ultralight vehicle if—
(i) A safety link is installed at the point of attachment of the towline to the glider or unpowered ultralight vehicle with a breaking strength not less than 80 percent of the maximum certificated operating weight of the glider or unpowered ultralight vehicle and not greater than twice this operating weight;
(ii) A safety link is installed at the point of attachment of the towline to the towing aircraft with a breaking strength greater, but not more than 25 percent greater, than that of the safety link at the towed glider or unpowered ultralight vehicle end of the towline and not greater than twice the maximum certificated operating weight of the glider or unpowered ultralight vehicle;
(4) Before conducting any towing operation within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for an airport, or before making each towing flight within such controlled airspace if required by ATC, the pilot in command notifies the control tower. If a control tower does not exist or is not in operation, the pilot in command must notify the FAA flight service station serving that controlled airspace before conducting any towing operations in that airspace; and
(5) The pilots of the towing aircraft and the glider or unpowered ultralight vehicle have agreed upon a general course of action, including takeoff and release signals, airspeeds, and emergency procedures for each pilot.
(b) No pilot of a civil aircraft may intentionally release a towline, after release of a glider or unpowered ultralight vehicle, in a manner that endangers the life or property of another.
No pilot of a civil aircraft may tow anything with that aircraft (other than under § 91.309) except in accordance with the terms of a certificate of waiver issued by the Administrator.
(a) No person may operate a restricted category civil aircraft—
(1) For other than the special purpose for which it is certificated; or
(2) In an operation other than one necessary to accomplish the work activity directly associated with that special purpose.
(b) For the purpose of paragraph (a) of this section, the following operations are considered necessary to accomplish the work activity directly associated with a special purpose operation:
(1) Flights conducted for flight crewmember training in a special purpose operation for which the aircraft is certificated.
(2) Flights conducted to satisfy proficiency check and recent flight experience requirements under part 61 of this chapter provided the flight crewmember holds the appropriate category, class, and type ratings and is employed by the operator to perform the appropriate special purpose operation.
(3) Flights conducted to relocate the aircraft for delivery, repositioning, or maintenance.
(c) No person may operate a restricted category civil aircraft carrying persons or property for compensation or hire. For the purposes of this paragraph (c), a special purpose operation involving the carriage of persons or material necessary to accomplish that operation, such as crop dusting, seeding, spraying, and banner towing (including the carrying of required persons or material to the location of that operation), an operation for the purpose of providing flight crewmember training in a special purpose operation, and an operation conducted under the authority provided in paragraph (h) of this section are not considered to be the carriage of persons or property for compensation or hire.
(d) No person may be carried on a restricted category civil aircraft unless that person—
(1) Is a flight crewmember;
(2) Is a flight crewmember trainee;
(3) Performs an essential function in connection with a special purpose operation for which the aircraft is certificated;
(4) Is necessary to accomplish the work activity directly associated with that special purpose; or
(5) Is necessary to accomplish an operation under paragraph (h) of this section.
(e) Except when operating in accordance with the terms and conditions of a certificate of waiver or special operating limitations issued by the Administrator, no person may operate a restricted category civil aircraft within the United States—
(1) Over a densely populated area;
(2) In a congested airway; or
(3) Near a busy airport where passenger transport operations are conducted.
(f) This section does not apply to nonpassenger-carrying civil rotorcraft external-load operations conducted under part 133 of this chapter.
(g) No person may operate a small restricted-category civil airplane manufactured after July 18, 1978, unless an approved shoulder harness or restraint system is installed for each front seat. The shoulder harness or restraint system installation at each flightcrew station must permit the flightcrew member, when seated and with the safety belt and shoulder harness fastened or the restraint system engaged, to perform all functions necessary for flight operation. For purposes of this paragraph—
(1) The date of manufacture of an airplane is the date the inspection acceptance records reflect that the airplane is complete and meets the FAA-approved type design data; and
(2) A front seat is a seat located at a flight crewmember station or any seat located alongside such a seat.
(h)(1) An operator may apply for deviation authority from the provisions of paragraph (a) of this section to conduct operations for the following purposes:
(i) Flight training and the practical test for issuance of a type rating provided—
(A) The pilot being trained and tested holds at least a commercial pilot certificate with the appropriate category and class ratings for the aircraft type;
(B) The pilot receiving flight training is employed by the operator to perform a special purpose operation; and
(C) The flight training is conducted by the operator who employs the pilot to perform a special purpose operation.
(ii) Flights to designate an examiner or qualify an FAA inspector in the aircraft type and flights necessary to provide continuing oversight and evaluation of an examiner.
(2) The FAA will issue this deviation authority as a letter of deviation authority.
(3) The FAA may cancel or amend a letter of deviation authority at any time.
(4) An applicant must submit a request for deviation authority in a form and manner acceptable to the Administrator at least 60 days before the date of intended operations. A request for deviation authority must contain a complete description of the proposed operation and justification that establishes a level of safety equivalent to that provided under the regulations for the deviation requested.
Except as provided in § 91.326, no person may operate a limited category civil aircraft carrying persons or property for compensation or hire in operations that:
(a) Require an air carrier or commercial operator certificate issued under part 119 of this chapter;
(b) Are listed in § 119.1(e) of this chapter;
(c) Require management specifications for a fractional ownership program issued in accordance with subpart K of this part; or
(d) Are conducted under part 129, 133, or 137 of this chapter.
(a) No person may operate a provisionally certificated civil aircraft unless that person is eligible for a provisional airworthiness certificate under § 21.213 of this chapter.
(b) No person may operate a provisionally certificated civil aircraft outside the United States unless that person has specific authority to do so from the Administrator and each foreign country involved.
(c) Unless otherwise authorized by the Executive Director, Flight Standards Service, no person may operate a provisionally certificated civil aircraft in air transportation.
(d) Unless otherwise authorized by the Administrator, no person may operate a provisionally certificated civil aircraft except—
(1) In direct conjunction with the type or supplemental type certification of that aircraft;
(2) For training flight crews, including simulated air carrier operations;
(3) Demonstration flight by the manufacturer for prospective purchasers;
(4) Market surveys by the manufacturer;
(5) Flight checking of instruments, accessories, and equipment that do not affect the basic airworthiness of the aircraft; or
(6) Service testing of the aircraft.
(e) Each person operating a provisionally certificated civil aircraft shall operate within the prescribed limitations displayed in the aircraft or set forth in the provisional aircraft flight manual or other appropriate document. However, when operating in direct conjunction with the type or supplemental type certification of the aircraft, that person shall operate under the experimental aircraft limitations of § 21.191 of this chapter and when flight testing, shall operate under the requirements of § 91.305 of this part.
(f) Each person operating a provisionally certificated civil aircraft shall establish approved procedures for—
(1) The use and guidance of flight and ground personnel in operating under this section; and
(2) Operating in and out of airports where takeoffs or approaches over populated areas are necessary. No person may operate that aircraft except in compliance with the approved procedures.
(g) Each person operating a provisionally certificated civil aircraft shall ensure that each flight crewmember is properly certificated and has adequate knowledge of, and familiarity with, the aircraft and procedures to be used by that crewmember.
(h) Each person operating a provisionally certificated civil aircraft shall maintain it as required by applicable regulations and as may be specially prescribed by the Administrator.
(i) Whenever the manufacturer, or the Administrator, determines that a change in design, construction, or operation is necessary to ensure safe operation, no person may operate a provisionally certificated civil aircraft until that change has been made and approved. Section 21.99 of this chapter applies to operations under this section.
(j) Each person operating a provisionally certificated civil aircraft—
(1) May carry in that aircraft only persons who have a proper interest in the operations allowed by this section or who are specifically authorized by both the manufacturer and the Administrator; and
(2) Shall advise each person carried that the aircraft is provisionally certificated.
(k) The Administrator may prescribe additional limitations or procedures that the Administrator considers necessary, including limitations on the number of persons who may be carried in the aircraft.
(a) Except as provided in § 91.326, no person may operate an aircraft that has an experimental certificate—
(1) For other than the purpose for which the certificate was issued; or
(2) Carrying persons or property for compensation or hire in operations that:
(i) Require an air carrier or commercial operator certificate issued under part 119 of this chapter;
(ii) Are listed in § 119.1(e) of this chapter;
(iii) Require management specifications for a fractional ownership program issued in accordance with subpart K of this part; or
(iv) Are conducted under part 129, 133, or 137 of this chapter.
(b) No person may operate an aircraft that has an experimental certificate outside of an area assigned by the Administrator until it is shown that—
(1) The aircraft is controllable throughout its normal range of speeds and throughout all the maneuvers to be executed; and
(2) The aircraft has no hazardous operating characteristics or design features.
(c) Unless otherwise authorized by the Administrator in special operating limitations, no person may operate an aircraft that has an experimental certificate over a densely populated area or in a congested airway. The Administrator may issue special operating limitations for particular aircraft to permit takeoffs and landings to be conducted over a densely populated area or in a congested airway, in accordance with terms and conditions specified in the authorization in the interest of safety in air commerce.
(d) Each person operating an aircraft that has an experimental certificate shall—
(1) Advise each person carried of the experimental nature of the aircraft;
(2) Operate under VFR, day only, unless otherwise specifically authorized by the Administrator; and
(3) Notify air traffic control of the experimental nature of the aircraft when utilizing air traffic services.
(e) No person may operate a light-sport aircraft that is issued an experimental certificate under § 21.191 of this chapter for compensation or hire, except:
(1) A person may operate an aircraft issued an experimental certificate under § 21.191(i)(1) of this chapter to tow a glider that is a light-sport aircraft or unpowered ultralight vehicle in accordance with § 91.309; or
(2) A person may operate a light-sport aircraft issued an experimental certificate under § 21.191 of this chapter to conduct operations authorized under § 91.326.
(f) No person may lease a light-sport aircraft that is issued an experimental certificate under § 21.191 of this chapter, except—
(1) In accordance with paragraph (e)(1) of this section; or
(2) To conduct a solo flight in accordance with a training program included as part of the deviation authority specified under § 91.326(b).
(g) No person may operate an aircraft issued an experimental airworthiness certificate under § 21.191(i)(1) of this chapter to tow a glider that is a light-sport category aircraft or unpowered ultralight vehicle for compensation or hire or to conduct flight training for compensation or hire in an aircraft which that person provides unless within the preceding 100 hours of time in service the aircraft has—
(1) Been inspected by a certificated repairman (light-sport) with a maintenance rating, an appropriately rated mechanic, or an appropriately rated repair station in accordance with inspection procedures developed by the aircraft manufacturer or a person acceptable to the FAA; or
(2) Received an inspection for the issuance of an airworthiness certificate in accordance with part 21 of this chapter.
(h) [Reserved]
(i) The Administrator may prescribe additional limitations that the Administrator considers necessary, including limitations on the persons that may be carried in the aircraft.
(j) No person may operate an aircraft that has an experimental certificate under § 61.113(i) of this chapter unless the aircraft is carrying not more than 7 occupants.
(a) As an aircraft operator, you may receive payment for carrying a candidate, agent of a candidate, or person traveling on behalf of a candidate, running for Federal, State, or local election, without having to comply with the rules in parts 121, 125 or 135 of this chapter, under the following conditions:
(1) Your primary business is not as an air carrier or commercial operator;
(2) You carry the candidate, agent, or person traveling on behalf of a candidate, under the rules of part 91; and
(3) By Federal, state or local law, you are required to receive payment for carrying the candidate, agent, or person traveling on behalf of a candidate. For federal elections, the payment may not exceed the amount required by the Federal Election Commission. For a state or local election, the payment may not exceed the amount required under the applicable state or local law.
(b) For the purposes of this section, for Federal elections, the terms candidate and election have the same meaning as set forth in the regulations of the Federal Election Commission. For State or local elections, the terms candidate and election have the same meaning as provided by the applicable State or local law and those terms relate to candidates for election to public office in State and local government elections.
(a) Notwithstanding any other provision of the Federal Aviation Regulations, the Administrator will approve, as provided in this section, an increase in the maximum certificated weight of an airplane type certificated under Aeronautics Bulletin No. 7-A of the U.S. Department of Commerce dated January 1, 1931, as amended, or under the normal category of part 4a of the former Civil Air Regulations (14 CFR part 4a, 1964 ed.) if that airplane is operated in the State of Alaska by—
(1) A certificate holder conducting operations under part 121 or part 135 of this chapter; or
(2) The U.S. Department of Interior in conducting its game and fish law enforcement activities or its management, fire detection, and fire suppression activities concerning public lands.
(b) The maximum certificated weight approved under this section may not exceed—
(1) 12,500 pounds;
(2) 115 percent of the maximum weight listed in the FAA aircraft specifications;
(3) The weight at which the airplane meets the positive maneuvering load factor n, where n=2.1+(24,000/(W+10,000)) and W=design maximum takeoff weight, except that n need not be more than 3.8; or
(4) The weight at which the airplane meets the climb performance requirements under which it was type certificated.
(c) In determining the maximum certificated weight, the Administrator considers the structural soundness of the airplane and the terrain to be traversed.
(d) The maximum certificated weight determined under this section is added to the airplane's operation limitations and is identified as the maximum weight authorized for operations within the State of Alaska.
(a) Unless provided for in this section, no person may operate a primary category aircraft carrying persons or property for compensation or hire in operations that:
(1) Require an air carrier or commercial operator certificate issued under part 119 of this chapter;
(2) Are listed in § 119.1(e) of this chapter;
(3) Require management specifications for a fractional ownership program issued in accordance with subpart K of this part; or
(4) Are conducted under part 129, 133, or 137 of this chapter.
(b) Except as provided in § 91.326(c), no person may operate a primary category aircraft that is maintained by the pilot-owner under an approved special inspection and maintenance program except—
(1) The pilot-owner; or
(2) A designee of the pilot-owner, provided that the pilot-owner does not receive compensation for the use of the aircraft.
(c) A primary category aircraft that is maintained by an appropriately rated mechanic or an authorized certificated repair station in accordance with the applicable provisions of part 43 of this chapter may be used to conduct flight training, checking, and testing for compensation or hire.
(a) General. Notwithstanding the prohibitions in §§ 91.315, 91.319(a), and 91.325, a person may conduct flight training, checking, or testing in a limited category aircraft, experimental aircraft, or primary category aircraft under the provisions of this section.
(b) Operations requiring a letter of deviation authority. Except as provided in paragraphs (c) and (d) of this section, no person may conduct flight training, checking, or testing in a limited category or experimental aircraft without deviation authority issued under this paragraph (b).
(1) No person may operate under this section without a letter of deviation authority (LODA) issued by the Administrator.
(2) The FAA may deny an application for a letter of deviation authority if it determines the deviation would not be in the interest of safety or is unnecessary. The FAA may cancel or amend a letter of deviation authority if it determines that the deviation holder has failed to comply with the conditions and limitations or at any time if the Administrator determines that the deviation is no longer necessary or in the interest of safety.
(3) An applicant must submit a request for deviation authority in a form and manner acceptable to the Administrator at least 60 days before the date of intended operations. A request for deviation authority must contain a complete description of the proposed operation that establishes a level of safety equivalent to that provided under the regulations for the deviation requested, including:
(i) A letter identifying the name and address of the applicant;
(ii) The name and contact information of the individual with ultimate responsibility for operations authorized under the deviation authority;
(iii) Specific aircraft make(s), model(s), registration number(s), and serial number(s) to be used;
(iv) Copies of each aircraft's airworthiness certificate, including the FAA-issued operating limitations, if applicable;
(v) Ejection seat information, if applicable;
(vi) A detailed training program that demonstrates the proposed activities will meet the intended training objectives;
(vii) A description of the applicant's process to determine whether a trainee has a specific need for formation or aerobatic training, or training leading to the issuance of an endorsement, if those types of training are being requested; and
(viii) Any other information that the Administrator deems necessary to evaluate the application.
(4) The holder of a letter of deviation authority must comply with any conditions and limitations provided in that letter of deviation authority. Unless otherwise authorized by the Administrator, the deviation authority will include the following conditions and limitations:
(i) The operator must use the aircraft-specific flight and ground training program for the training authorized by the letter of deviation authority. Demonstration flights, discovery flights, experience flights, and other flights not related to the training program are not authorized.
(ii) As appropriate to the aircraft being flown, all trainees must hold category and class ratings; a type rating, Authorized Experimental Aircraft authorization, or temporary Letter of Authorization; and endorsements listed in § 61.31 of this chapter, as appropriate, with the following exceptions:
(A) Persons receiving gyroplane training or training leading to the initial issuance of a sport pilot certificate or flight instructor certificate with a sport pilot rating in a low mass, high drag aircraft with an empty weight less than 650 pounds and a V
(B) Persons with a specific need to receive training toward the issuance of an endorsement are not required to hold the § 61.31 of this chapter endorsement sought. Any endorsements being provided must be authorized in the LODA.
(C) Persons receiving jet unusual attitude and upset recovery training, limited category type rating training, or authorized experimental aircraft authorization training, if required for the type of aircraft being flown, are not required to hold the applicable type rating, authorized experimental authorization rating, or a temporary Letter of Authorization prior to the commencement of training.
(D) For ultralight-style training, the person receiving training is not required to meet category and class ratings or § 61.31 of this chapter endorsement requirements. However, if the flight training includes a solo flight segment, this does not relieve the person receiving training from the requirements of part 61, subpart C, of this chapter. This training is limited to a low mass, high drag aircraft with an empty weight less than 650 pounds and a maximum speed in level flight with maximum continuous power less than 87 KCAS.
(iii) If the aircraft is equipped with ejection seats and systems, such systems must be rigged, maintained, and inspected in accordance with the manufacturer's recommendations. Before providing training in aircraft equipped with operable ejection systems, whether armed or not armed, all aircraft occupants must complete a course of ejection seat training.
(iv) When conducting spin and upset training, the operator must maintain a minimum recovery altitude of 6,000 feet above ground level unless the Administrator authorizes a lower altitude.
(v) A copy of the LODA must be carried on board the aircraft during flight training conducted under the LODA.
(vi) The LODA holder must keep a record of the training given for a period of 36 calendar months from the completion date of the training. The authorized instructor must sign the trainee's training record certifying that the flight training or ground training was given. The training record must include the following:
(A) The name and certificate number (if applicable) of the trainee;
(B) The name, signature, and certificate number of the instructor;
(C) The date trained;
(D) The training received;
(E) The trainee's specific need for training, if applicable.
(vii) Notwithstanding § 43.1(b) of this chapter or § 91.409(c)(1), all aircraft must:
(A) Except for turbine powered or large aircraft, within the preceding 100 hours of time in service, have received an annual, 100-hour, or condition inspection equivalent to the scope and detail of appendix D to part 43 of this chapter and been approved for return to service in accordance with part 43. The 100-hour limitation may be exceeded by not more than 10 hours while enroute to reach a place where the inspection can be done. The excess time used to reach a place where the inspection can be done must be included in computing the next 100 hours of time in service; or
(B) Except for turbine powered or large aircraft, be inspected in accordance with an FAA-approved inspection program that includes provisions for ensuring continued airworthiness and recording the current status on life-limited parts and in accordance with the manufacturer's instructions.
(C) For turbine-powered or large aircraft, be inspected in accordance with an FAA-approved inspection program that meets the scope and detail of the requirements of § 91.409(e), (f)(4), and (g) for ensuring continued airworthiness and recording time remaining on life-limited parts in accordance with the manufacturer's instructions.
(viii) Notwithstanding any exception due to the experimental airworthiness certification of the aircraft, LODA holders with experimental aircraft must comply with FAA Airworthiness Directives applicable to any corresponding make or model aircraft holding a different type of airworthiness certificate or applicable to any article installed on the aircraft. The LODA holder must evaluate the aircraft and its articles to determine if compliance with the FAA Airworthiness Directive is necessary for the continued safe operation of the aircraft. LODA holders must keep a maintenance record entry of those FAA Airworthiness Directives evaluated. For those FAA Airworthiness Directives for which the LODA holder determined compliance was necessary for the continued safe operation of the aircraft, the record must also include the method of compliance, and if the FAA Airworthiness Directive requires recurring action, the time and date when the next action is required.
(5) Only the following persons may be on board the aircraft during operations conducted under the deviation authority:
(i) The authorized instructor, designated examiner, person receiving flight training or being checked or tested, or persons essential for the safe operation of the aircraft; and
(ii) Notwithstanding any operating limitation applicable under § 91.9(a) that prohibits the carriage of passengers for compensation or hire, up to two persons enrolled in a LODA training course for the same aircraft may observe the flight training from a forwardmost observer seat with an unobstructed view of the flight deck, provided carriage of those persons is not prohibited by any other regulation.
(6) The Administrator may limit the types of training, testing, and checking authorized under this deviation authority. Training, testing, and checking under this deviation authority must be conducted consistent with the training program submitted for FAA review.
(c) Operations not requiring a letter of deviation authority. The following operations may be conducted without a letter of deviation authority.
(1) An authorized instructor, registered owner, lessor, or lessee of an aircraft is not required to obtain a letter of deviation authority from the Administrator to allow, conduct, or receive flight training, checking, or testing in a limited category aircraft, experimental aircraft, or primary category aircraft if—
(i) The authorized instructor is not providing both the training and the aircraft;
(ii) No person advertises or broadly offers the aircraft as available for flight training, checking, or testing; and
(iii) No person receives compensation for the use of the aircraft for any flight during which flight training, checking, or testing was received, other than expenses for owning, operating, and maintaining the aircraft. Compensation for the use of the aircraft for profit is prohibited.
(2) A person may operate a limited category aircraft, experimental aircraft, or primary category aircraft to conduct flight training, checking, or testing without a letter of deviation authority if no person provides and no person receives compensation for the flight training, checking, or testing, or for the use of the aircraft.
(d) Previously issued letters of deviation authority. For deviation authority issued under § 91.319 prior to December 2, 2024, the following requirements apply—
(1) The deviation holder may continue to operate under the letter of deviation authority until December 1, 2026;
(2) The deviation holder must continue to comply with the conditions and limitations in the letter of deviation authority when conducting an operation under the letter of deviation authority in accordance with paragraph (b)(1) of this section;
(3) The letter of deviation authority may be cancelled or amended at any time; and
(4) The letter of deviation authority terminates on December 1, 2026.
(a) No person may operate an aircraft that has a special airworthiness certificate in the light-sport category for compensation or hire except—
(1) To tow a glider or an unpowered ultralight vehicle in accordance with § 91.309 of this chapter; or
(2) To conduct flight training, checking, and testing.
(b) No person may operate an aircraft that has a special airworthiness certificate in the light-sport category unless—
(1) The aircraft is maintained by a certificated repairman (light-sport) with a maintenance rating, an appropriately rated mechanic, or an appropriately rated repair station in accordance with the applicable provisions of part 43 of this chapter and maintenance and inspection procedures developed by the aircraft manufacturer or a person acceptable to the FAA;
(2) A condition inspection is performed once every 12 calendar months by a certificated repairman (light-sport) with a maintenance rating, an appropriately rated mechanic, or an appropriately rated repair station in accordance with inspection procedures developed by the aircraft manufacturer or a person acceptable to the FAA;
(3) The owner or operator complies with all applicable airworthiness directives;
(4) Each repair or alteration to an aircraft meets the applicable and current FAA-accepted or approved consensus standards specified in the statement of compliance submitted to the FAA for the aircraft.
(5) Each major repair or major alteration to an aircraft product produced under a consensus standard is authorized by the manufacturer or a person acceptable to the FAA, and is performed and inspected in accordance with maintenance and inspection procedures developed by the manufacturer or a person acceptable to the FAA; and
(6) The owner or operator complies with the requirements for the recording of major repairs and major alterations performed on type-certificated products in accordance with § 43.9(d) of this chapter, and with the retention requirements in § 91.417.
(c) No person may operate an aircraft issued a special airworthiness certificate in the light-sport category to tow a glider or unpowered ultralight vehicle for compensation or hire or conduct flight training for compensation or hire in an aircraft which that person provides unless within the preceding 100 hours of time in service the aircraft has—
(1) Been inspected by a certificated repairman (light-sport) with a maintenance rating, an appropriately rated mechanic, or an appropriately rated repair station in accordance with inspection procedures developed by the aircraft manufacturer or maintenance and inspection procedures acceptable to the FAA and been approved for return to service in accordance with part 43 of this chapter; or
(2) Received an inspection for the issuance of an airworthiness certificate in accordance with part 21 of this chapter.
(d) Each person operating an aircraft issued a special airworthiness certificate in the light-sport category must operate the aircraft in accordance with the aircraft's operating instructions, including any provisions for necessary operating equipment specified in the aircraft's equipment list.
(e) Each person operating an aircraft issued a special airworthiness certificate in the light-sport category must advise each person carried of the special nature of the aircraft and that the aircraft does not meet the airworthiness requirements for an aircraft issued a standard airworthiness certificate.
(f) The FAA may prescribe additional limitations that it considers necessary.
(a) This subpart prescribes rules governing the maintenance, preventive maintenance, and alterations of U.S.-registered civil aircraft operating within or outside of the United States.
(b) Sections 91.405, 91.409, 91.411, 91.417, and 91.419 of this subpart do not apply to an aircraft maintained in accordance with a continuous airworthiness maintenance program as provided in part 121, 129, or §§ 91.1411 or 135.411(a)(2) of this chapter.
(c) Sections 91.405 and 91.409 of this part do not apply to an airplane inspected in accordance with part 125 of this chapter.
(a) The owner or operator of an aircraft is primarily responsible for maintaining that aircraft in an airworthy condition, including compliance with part 39 of this chapter.
(b) No person may perform maintenance, preventive maintenance, or alterations on an aircraft other than as prescribed in this subpart and other applicable regulations, including part 43 of this chapter.
(c) No person may operate an aircraft for which a manufacturer's maintenance manual or instructions for continued airworthiness has been issued that contains an airworthiness limitations section unless the mandatory replacement times, inspection intervals, and related procedures specified in that section or alternative inspection intervals and related procedures set forth in an operations specification approved by the Administrator under part 121 or 135 of this chapter or in accordance with an inspection program approved under § 91.409(e) have been complied with.
(d) A person must not alter an aircraft based on a supplemental type certificate unless the owner or operator of the aircraft is the holder of the supplemental type certificate, or has written permission from the holder.
Each owner or operator of an aircraft—
(a) Shall have that aircraft inspected as prescribed in subpart E of this part and shall between required inspections, except as provided in paragraph (c) of this section, have discrepancies repaired as prescribed in part 43 of this chapter;
(b) Shall ensure that maintenance personnel make appropriate entries in the aircraft maintenance records indicating the aircraft has been approved for return to service;
(c) Shall have any inoperative instrument or item of equipment, permitted to be inoperative by § 91.213(d)(2) of this part, repaired, replaced, removed, or inspected at the next required inspection; and
(d) When listed discrepancies include inoperative instruments or equipment, shall ensure that a placard has been installed as required by § 43.11 of this chapter.
(a) No person may operate any aircraft that has undergone maintenance, preventive maintenance, rebuilding, or alteration unless—
(1) It has been approved for return to service by a person authorized under § 43.7 of this chapter; and
(2) The maintenance record entry required by § 43.9 or § 43.11, as applicable, of this chapter has been made.
(b) No person may carry any person (other than crewmembers) in an aircraft that has been maintained, rebuilt, or altered in a manner that may have appreciably changed its flight characteristics or substantially affected its operation in flight until an appropriately rated pilot with at least a private pilot certificate flies the aircraft, makes an operational check of the maintenance performed or alteration made, and logs the flight in the aircraft records.
(c) The aircraft does not have to be flown as required by paragraph (b) of this section if, prior to flight, ground tests, inspection, or both show conclusively that the maintenance, preventive maintenance, rebuilding, or alteration has not appreciably changed the flight characteristics or substantially affected the flight operation of the aircraft.
(a) Except as provided in paragraph (c) of this section, no person may operate an aircraft unless, within the preceding 12 calendar months, it has had—
(1) An annual inspection in accordance with part 43 of this chapter and has been approved for return to service by a person authorized by § 43.7 of this chapter; or
(2) An inspection for the issuance of an airworthiness certificate in accordance with part 21 of this chapter.
(b) Except as provided in paragraph (c) of this section, no person may operate an aircraft carrying any person (other than a crewmember) for hire, and no person may give flight instruction for hire in an aircraft which that person provides, unless within the preceding 100 hours of time in service the aircraft has received an annual or 100-hour inspection and been approved for return to service in accordance with part 43 of this chapter or has received an inspection for the issuance of an airworthiness certificate in accordance with part 21 of this chapter. The 100-hour limitation may be exceeded by not more than 10 hours while en route to reach a place where the inspection can be done. The excess time used to reach a place where the inspection can be done must be included in computing the next 100 hours of time in service.
(c) Paragraphs (a) and (b) of this section do not apply to—
(1) An aircraft that carries a special flight permit, a current experimental airworthiness certificate, a special airworthiness certificate in the light-sport category, or provisional airworthiness certificate;
(2) An aircraft inspected in accordance with an approved aircraft inspection program under part 125 or 135 of this chapter and so identified by the registration number in the operations specifications of the certificate holder having the approved inspection program;
(3) An aircraft subject to the requirements of paragraph (d) or (e) of this section; or
(4) Turbine-powered rotorcraft when the operator elects to inspect that rotorcraft in accordance with paragraph (e) of this section.
(d) Progressive inspection. Each registered owner or operator of an aircraft desiring to use a progressive inspection program must submit a written request to the responsible Flight Standards office, and shall provide—
(1) A certificated mechanic holding an inspection authorization, a certificated airframe repair station, or the manufacturer of the aircraft to supervise or conduct the progressive inspection;
(2) A current inspection procedures manual available and readily understandable to pilot and maintenance personnel containing, in detail—
(i) An explanation of the progressive inspection, including the continuity of inspection responsibility, the making of reports, and the keeping of records and technical reference material;
(ii) An inspection schedule, specifying the intervals in hours or days when routine and detailed inspections will be performed and including instructions for exceeding an inspection interval by not more than 10 hours while en route and for changing an inspection interval because of service experience;
(iii) Sample routine and detailed inspection forms and instructions for their use; and
(iv) Sample reports and records and instructions for their use;
(3) Enough housing and equipment for necessary disassembly and proper inspection of the aircraft; and
(4) Appropriate current technical information for the aircraft.
(e) Large airplanes (to which part 125 is not applicable), turbojet multiengine airplanes, turbopropeller-powered multiengine airplanes, and turbine-powered rotorcraft. No person may operate a large airplane, turbojet multiengine airplane, turbopropeller-powered multiengine airplane, or turbine-powered rotorcraft unless the replacement times for life-limited parts specified in the aircraft specifications, type data sheets, or other documents approved by the Administrator are complied with and the airplane or turbine-powered rotorcraft, including the airframe, engines, propellers, rotors, appliances, survival equipment, and emergency equipment, is inspected in accordance with an inspection program selected under the provisions of paragraph (f) of this section, except that, the owner or operator of a turbine-powered rotorcraft may elect to use the inspection provisions of § 91.409(a), (b), (c), or (d) in lieu of an inspection option of § 91.409(f).
(f) Selection of inspection program under paragraph (e) of this section. The registered owner or operator of each airplane or turbine-powered rotorcraft described in paragraph (e) of this section must select, identify in the aircraft maintenance records, and use one of the following programs for the inspection of the aircraft:
(1) A continuous airworthiness inspection program that is part of a continuous airworthiness maintenance program currently in use by a person holding an air carrier operating certificate or an operating certificate issued under part 121 or 135 of this chapter and operating that make and model aircraft under part 121 of this chapter or operating that make and model under part 135 of this chapter and maintaining it under § 135.411(a)(2) of this chapter.
(2) An approved aircraft inspection program approved under § 135.419 of this chapter and currently in use by a person holding an operating certificate issued under part 135 of this chapter.
(3) A current inspection program recommended by the manufacturer.
(4) Any other inspection program established by the registered owner or operator of that airplane or turbine-powered rotorcraft and approved by the Administrator under paragraph (g) of this section. However, the Administrator may require revision of this inspection program in accordance with the provisions of § 91.415.
(g) Inspection program approved under paragraph (e) of this section. Each operator of an airplane or turbine-powered rotorcraft desiring to establish or change an approved inspection program under paragraph (f)(4) of this section must submit the program for approval to the responsible Flight Standards office. The program must be in writing and include at least the following information:
(1) Instructions and procedures for the conduct of inspections for the particular make and model airplane or turbine-powered rotorcraft, including necessary tests and checks. The instructions and procedures must set forth in detail the parts and areas of the airframe, engines, propellers, rotors, and appliances, including survival and emergency equipment required to be inspected.
(2) A schedule for performing the inspections that must be performed under the program expressed in terms of the time in service, calendar time, number of system operations, or any combination of these.
(h) Changes from one inspection program to another. When an operator changes from one inspection program under paragraph (f) of this section to another, the time in service, calendar times, or cycles of operation accumulated under the previous program must be applied in determining inspection due times under the new program.
(a) No person may operate an airplane, or helicopter, in controlled airspace under IFR unless—
(1) Within the preceding 24 calendar months, each static pressure system, each altimeter instrument, and each automatic pressure altitude reporting system has been tested and inspected and found to comply with appendices E and F of part 43 of this chapter;
(2) Except for the use of system drain and alternate static pressure valves, following any opening and closing of the static pressure system, that system has been tested and inspected and found to comply with paragraph (a), appendix E, of part 43 of this chapter; and
(3) Following installation or maintenance on the automatic pressure altitude reporting system of the ATC transponder where data correspondence error could be introduced, the integrated system has been tested, inspected, and found to comply with paragraph (c), appendix E, of part 43 of this chapter.
(b) The tests required by paragraph (a) of this section must be conducted by—
(1) The manufacturer of the airplane, or helicopter, on which the tests and inspections are to be performed;
(2) A certificated repair station properly equipped to perform those functions and holding—
(i) An instrument rating, Class I;
(ii) A limited instrument rating appropriate to the make and model of appliance to be tested;
(iii) A limited rating appropriate to the test to be performed;
(iv) An airframe rating appropriate to the airplane, or helicopter, to be tested; or
(3) A certificated mechanic with an airframe rating (static pressure system tests and inspections only).
(c) Altimeter and altitude reporting equipment approved under Technical Standard Orders are considered to be tested and inspected as of the date of their manufacture.
(d) No person may operate an airplane, or helicopter, in controlled airspace under IFR at an altitude above the maximum altitude at which all altimeters and the automatic altitude reporting system of that airplane, or helicopter, have been tested.
(a) No persons may use an ATC transponder that is specified in 91.215(a), 121.345(c), or § 135.143(c) of this chapter unless, within the preceding 24 calendar months, the ATC transponder has been tested and inspected and found to comply with appendix F of part 43 of this chapter; and
(b) Following any installation or maintenance on an ATC transponder where data correspondence error could be introduced, the integrated system has been tested, inspected, and found to comply with paragraph (c), appendix E, of part 43 of this chapter.
(c) The tests and inspections specified in this section must be conducted by—
(1) A certificated repair station properly equipped to perform those functions and holding—
(i) A radio rating, Class III;
(ii) A limited radio rating appropriate to the make and model transponder to be tested;
(iii) A limited rating appropriate to the test to be performed;
(2) A holder of a continuous airworthiness maintenance program as provided in part 121 or § 135.411(a)(2) of this chapter; or
(3) The manufacturer of the aircraft on which the transponder to be tested is installed, if the transponder was installed by that manufacturer.
(a) Whenever the Administrator finds that revisions to an approved aircraft inspection program under § 91.409(f)(4) or § 91.1109 are necessary for the continued adequacy of the program, the owner or operator must, after notification by the Administrator, make any changes in the program found to be necessary by the Administrator.
(b) The owner or operator may petition the Administrator to reconsider the notice to make any changes in a program in accordance with paragraph (a) of this section.
(c) The petition must be filed with the Executive Director, Flight Standards Service within 30 days after the certificate holder or fractional ownership program manager receives the notice.
(d) Except in the case of an emergency requiring immediate action in the interest of safety, the filing of the petition stays the notice pending a decision by the Administrator.
(a) Except for work performed in accordance with §§ 91.411 and 91.413, each registered owner or operator shall keep the following records for the periods specified in paragraph (b) of this section:
(1) Records of the maintenance, preventive maintenance, and alteration and records of the 100-hour, annual, progressive, and other required or approved inspections, as appropriate, for each aircraft (including the airframe) and each engine, propeller, rotor, and appliance of an aircraft. The records must include—
(i) A description (or reference to data acceptable to the Administrator) of the work performed; and
(ii) The date of completion of the work performed; and
(iii) The signature, and certificate number of the person approving the aircraft for return to service.
(2) Records containing the following information:
(i) The total time in service of the airframe, each engine, each propeller, and each rotor.
(ii) The current status of life-limited parts of each airframe, engine, propeller, rotor, and appliance.
(iii) The time since last overhaul of all items installed on the aircraft which are required to be overhauled on a specified time basis.
(iv) The current inspection status of the aircraft, including the time since the last inspection required by the inspection program under which the aircraft and its appliances are maintained.
(v) The current status of applicable airworthiness directives (AD) including, for each, the method of compliance, the AD number and revision date. If the AD involves recurring action, the time and date when the next action is required.
(vi) Copies of the forms prescribed by § 43.9(d) of this chapter for each major alteration to the airframe and currently installed engines, rotors, propellers, and appliances.
(b) The owner or operator shall retain the following records for the periods prescribed:
(1) The records specified in paragraph (a)(1) of this section shall be retained until the work is repeated or superseded by other work or for 1 year after the work is performed.
(2) The records specified in paragraph (a)(2) of this section shall be retained and transferred with the aircraft at the time the aircraft is sold.
(3) A list of defects furnished to a registered owner or operator under § 43.11 of this chapter shall be retained until the defects are repaired and the aircraft is approved for return to service.
(c) The owner or operator shall make all maintenance records required to be kept by this section available for inspection by the Administrator or any authorized representative of the National Transportation Safety Board (NTSB). In addition, the owner or operator shall present Form 337 described in paragraph (d) of this section for inspection upon request of any law enforcement officer.
(d) When a fuel tank is installed within the passenger compartment or a baggage compartment pursuant to part 43 of this chapter, a copy of FAA Form 337 shall be kept on board the modified aircraft by the owner or operator.
Any owner or operator who sells a U.S.-registered aircraft shall transfer to the purchaser, at the time of sale, the following records of that aircraft, in plain language form or in coded form at the election of the purchaser, if the coded form provides for the preservation and retrieval of information in a manner acceptable to the Administrator:
(a) The records specified in § 91.417(a)(2).
(b) The records specified in § 91.417(a)(1) which are not included in the records covered by paragraph (a) of this section, except that the purchaser may permit the seller to keep physical custody of such records. However, custody of records by the seller does not relieve the purchaser of the responsibility under § 91.417(c) to make the records available for inspection by the Administrator or any authorized representative of the National Transportation Safety Board (NTSB).
(a) The owner or operator may use a new maintenance record, without previous operating history, for an aircraft engine rebuilt by the manufacturer or by an agency approved by the manufacturer.
(b) Each manufacturer or agency that grants zero time to an engine rebuilt by it shall enter in the new record—
(1) A signed statement of the date the engine was rebuilt;
(2) Each change made as required by airworthiness directives; and
(3) Each change made in compliance with manufacturer's service bulletins, if the entry is specifically requested in that bulletin.
(c) For the purposes of this section, a rebuilt engine is a used engine that has been completely disassembled, inspected, repaired as necessary, reassembled, tested, and approved in the same manner and to the same tolerances and limits as a new engine with either new or used parts. However, all parts used in it must conform to the production drawing tolerances and limits for new parts or be of approved oversized or undersized dimensions for a new engine.
(a) This subpart prescribes operating rules, in addition to those prescribed in other subparts of this part, governing the operation of large airplanes of U.S. registry, turbojet-powered multiengine civil airplanes of U.S. registry, and fractional ownership program aircraft of U.S. registry that are operating under subpart K of this part in operations not involving common carriage. The operating rules in this subpart do not apply to those aircraft when they are required to be operated under parts 121, 125, 129, 135, and 137 of this chapter. (Section 91.409 prescribes an inspection program for large and for turbine-powered (turbojet and turboprop) multiengine airplanes and turbine-powered rotorcraft of U.S. registry when they are operated under this part or part 129 or 137.)
(b) Operations that may be conducted under the rules in this subpart instead of those in parts 121, 129, 135, and 137 of this chapter when common carriage is not involved, include—
(1) Ferry or training flights;
(2) Aerial work operations such as aerial photography or survey, or pipeline patrol, but not including fire fighting operations;
(3) Flights for the demonstration of an airplane to prospective customers when no charge is made except for those specified in paragraph (d) of this section;
(4) Flights conducted by the operator of an airplane for his personal transportation, or the transportation of his guests when no charge, assessment, or fee is made for the transportation;
(5) Carriage of officials, employees, guests, and property of a company on an airplane operated by that company, or the parent or a subsidiary of the company or a subsidiary of the parent, when the carriage is within the scope of, and incidental to, the business of the company (other than transportation by air) and no charge, assessment or fee is made for the carriage in excess of the cost of owning, operating, and maintaining the airplane, except that no charge of any kind may be made for the carriage of a guest of a company, when the carriage is not within the scope of, and incidental to, the business of that company;
(6) The carriage of company officials, employees, and guests of the company on an airplane operated under a time sharing, interchange, or joint ownership agreement as defined in paragraph (c) of this section;
(7) The carriage of property (other than mail) on an airplane operated by a person in the furtherance of a business or employment (other than transportation by air) when the carriage is within the scope of, and incidental to, that business or employment and no charge, assessment, or fee is made for the carriage other than those specified in paragraph (d) of this section;
(8) The carriage on an airplane of an athletic team, sports group, choral group, or similar group having a common purpose or objective when there is no charge, assessment, or fee of any kind made by any person for that carriage; and
(9) The carriage of persons on an airplane operated by a person in the furtherance of a business other than transportation by air for the purpose of selling them land, goods, or property, including franchises or distributorships, when the carriage is within the scope of, and incidental to, that business and no charge, assessment, or fee is made for that carriage.
(10) Any operation identified in paragraphs (b)(1) through (b)(9) of this section when conducted—
(i) By a fractional ownership program manager, or
(ii) By a fractional owner in a fractional ownership program aircraft operated under subpart K of this part, except that a flight under a joint ownership arrangement under paragraph (b)(6) of this section may not be conducted. For a flight under an interchange agreement under paragraph (b)(6) of this section, the exchange of equal time for the operation must be properly accounted for as part of the total hours associated with the fractional owner's share of ownership.
(c) As used in this section—
(1) A time sharing agreement means an arrangement whereby a person leases his airplane with flight crew to another person, and no charge is made for the flights conducted under that arrangement other than those specified in paragraph (d) of this section;
(2) An interchange agreement means an arrangement whereby a person leases his airplane to another person in exchange for equal time, when needed, on the other person's airplane, and no charge, assessment, or fee is made, except that a charge may be made not to exceed the difference between the cost of owning, operating, and maintaining the two airplanes;
(3) A joint ownership agreement means an arrangement whereby one of the registered joint owners of an airplane employs and furnishes the flight crew for that airplane and each of the registered joint owners pays a share of the charge specified in the agreement.
(d) The following may be charged, as expenses of a specific flight, for transportation as authorized by paragraphs (b) (3) and (7) and (c)(1) of this section:
(1) Fuel, oil, lubricants, and other additives.
(2) Travel expenses of the crew, including food, lodging, and ground transportation.
(3) Hangar and tie-down costs away from the aircraft's base of operation.
(4) Insurance obtained for the specific flight.
(5) Landing fees, airport taxes, and similar assessments.
(6) Customs, foreign permit, and similar fees directly related to the flight.
(7) In flight food and beverages.
(8) Passenger ground transportation.
(9) Flight planning and weather contract services.
(10) An additional charge equal to 100 percent of the expenses listed in paragraph (d)(1) of this section.
(a) The pilot in command of an airplane shall ensure that the following flying equipment and aeronautical charts and data, in current and appropriate form, are accessible for each flight at the pilot station of the airplane:
(1) A flashlight having at least two size “D” cells, or the equivalent, that is in good working order.
(2) A cockpit checklist containing the procedures required by paragraph (b) of this section.
(3) Pertinent aeronautical charts.
(4) For IFR, VFR over-the-top, or night operations, each pertinent navigational en route, terminal area, and approach and letdown chart.
(5) In the case of multiengine airplanes, one-engine inoperative climb performance data.
(b) Each cockpit checklist must contain the following procedures and shall be used by the flight crewmembers when operating the airplane:
(1) Before starting engines.
(2) Before takeoff.
(3) Cruise.
(4) Before landing.
(5) After landing.
(6) Stopping engines.
(7) Emergencies.
(c) Each emergency cockpit checklist procedure required by paragraph (b)(7) of this section must contain the following procedures, as appropriate:
(1) Emergency operation of fuel, hydraulic, electrical, and mechanical systems.
(2) Emergency operation of instruments and controls.
(3) Engine inoperative procedures.
(4) Any other procedures necessary for safety.
(d) The equipment, charts, and data prescribed in this section shall be used by the pilot in command and other members of the flight crew, when pertinent.
(a) Each pilot in command of an airplane shall, before beginning a flight, become familiar with the Airplane Flight Manual for that airplane, if one is required, and with any placards, listings, instrument markings, or any combination thereof, containing each operating limitation prescribed for that airplane by the Administrator, including those specified in § 91.9(b).
(b) Each required member of the crew shall, before beginning a flight, become familiar with the emergency equipment installed on the airplane to which that crewmember is assigned and with the procedures to be followed for the use of that equipment in an emergency situation.
No person may operate an airplane over-the-top or at night under VFR unless that airplane is equipped with the instruments and equipment required for IFR operations under § 91.205(d) and one electric landing light for night operations. Each required instrument and item of equipment must be in operable condition.
(a) No person may take off an airplane for a flight over water more than 50 nautical miles from the nearest shore unless that airplane is equipped with a life preserver or an approved flotation means for each occupant of the airplane.
(b) Except as provided in paragraph (c) of this section, no person may take off an airplane for flight over water more than 30 minutes flying time or 100 nautical miles from the nearest shore, whichever is less, unless it has on board the following survival equipment:
(1) A life preserver, equipped with an approved survivor locator light, for each occupant of the airplane.
(2) Enough liferafts (each equipped with an approved survival locator light) of a rated capacity and buoyancy to accommodate the occupants of the airplane.
(3) At least one pyrotechnic signaling device for each liferaft.
(4) One self-buoyant, water-resistant, portable emergency radio signaling device that is capable of transmission on the appropriate emergency frequency or frequencies and not dependent upon the airplane power supply.
(5) A lifeline stored in accordance with § 25.1411(g) of this chapter.
(c) A fractional ownership program manager under subpart K of this part may apply for a deviation from paragraphs (b)(2) through (5) of this section for a particular over water operation or the Administrator may amend the management specifications to require the carriage of all or any specific items of the equipment listed in paragraphs (b)(2) through (5) of this section.
(d) The required life rafts, life preservers, and signaling devices must be installed in conspicuously marked locations and easily accessible in the event of a ditching without appreciable time for preparatory procedures.
(e) A survival kit, appropriately equipped for the route to be flown, must be attached to each required life raft.
(f) As used in this section, the term shore means that area of the land adjacent to the water that is above the high water mark and excludes land areas that are intermittently under water.
(a) Except as provided in paragraphs (c), (d), and (f) of this section, no person operating under this subpart may take off an airplane for a flight over water more than 30 minutes flying time or 100 nautical miles from the nearest shore unless it has at least the following operable equipment:
(1) Radio communication equipment appropriate to the facilities to be used and able to transmit to, and receive from, at least one communication facility from any place along the route:
(i) Two transmitters.
(ii) Two microphones.
(iii) Two headsets or one headset and one speaker.
(iv) Two independent receivers.
(2) Appropriate electronic navigational equipment consisting of at least two independent electronic navigation units capable of providing the pilot with the information necessary to navigate the airplane within the airspace assigned by air traffic control. However, a receiver that can receive both communications and required navigational signals may be used in place of a separate communications receiver and a separate navigational signal receiver or unit.
(b) For the purposes of paragraphs (a)(1)(iv) and (a)(2) of this section, a receiver or electronic navigation unit is independent if the function of any part of it does not depend on the functioning of any part of another receiver or electronic navigation unit.
(c) Notwithstanding the provisions of paragraph (a) of this section, a person may operate an airplane on which no passengers are carried from a place where repairs or replacement cannot be made to a place where they can be made, if not more than one of each of the dual items of radio communication and navigational equipment specified in paragraphs (a)(1) (i) through (iv) and (a)(2) of this section malfunctions or becomes inoperative.
(d) Notwithstanding the provisions of paragraph (a) of this section, when both VHF and HF communications equipment are required for the route and the airplane has two VHF transmitters and two VHF receivers for communications, only one HF transmitter and one HF receiver is required for communications.
(e) As used in this section, the term shore means that area of the land adjacent to the water which is above the high-water mark and excludes land areas which are intermittently under water.
(f) Notwithstanding the requirements in paragraph (a)(2) of this section, a person may operate in the Gulf of Mexico, the Caribbean Sea, and the Atlantic Ocean west of a line which extends from 44°47′00″ N / 67°00′00″ W to 39°00′00″ N / 67°00′00″ W to 38°30′00″ N / 60°00′00″ W south along the 60°00′00″ W longitude line to the point where the line intersects with the northern coast of South America, when:
(1) A single long-range navigation system is installed, operational, and appropriate for the route; and
(2) Flight conditions and the aircraft's capabilities are such that no more than a 30-minute gap in two-way radio very high frequency communications is expected to exist.
(a) No person may operate an airplane unless it is equipped with the emergency equipment listed in this section.
(b) Each item of equipment—
(1) Must be inspected in accordance with § 91.409 to ensure its continued serviceability and immediate readiness for its intended purposes;
(2) Must be readily accessible to the crew;
(3) Must clearly indicate its method of operation; and
(4) When carried in a compartment or container, must have that compartment or container marked as to contents and date of last inspection.
(c) Hand fire extinguishers must be provided for use in crew, passenger, and cargo compartments in accordance with the following:
(1) The type and quantity of extinguishing agent must be suitable for the kinds of fires likely to occur in the compartment where the extinguisher is intended to be used.
(2) At least one hand fire extinguisher must be provided and located on or near the flight deck in a place that is readily accessible to the flight crew.
(3) At least one hand fire extinguisher must be conveniently located in the passenger compartment of each airplane accommodating more than six but less than 31 passengers, and at least two hand fire extinguishers must be conveniently located in the passenger compartment of each airplane accommodating more than 30 passengers.
(4) Hand fire extinguishers must be installed and secured in such a manner that they will not interfere with the safe operation of the airplane or adversely affect the safety of the crew and passengers. They must be readily accessible and, unless the locations of the fire extinguishers are obvious, their stowage provisions must be properly identified.
(d) First aid kits for treatment of injuries likely to occur in flight or in minor accidents must be provided.
(e) Each airplane accommodating more than 19 passengers must be equipped with a crash axe.
(f) Each passenger-carrying airplane must have a portable battery-powered megaphone or megaphones readily accessible to the crewmembers assigned to direct emergency evacuation, installed as follows:
(1) One megaphone on each airplane with a seating capacity of more than 60 but less than 100 passengers, at the most rearward location in the passenger cabin where it would be readily accessible to a normal flight attendant seat. However, the Administrator may grant a deviation from the requirements of this subparagraph if the Administrator finds that a different location would be more useful for evacuation of persons during an emergency.
(2) On each airplane with a seating capacity of 100 or more passengers, one megaphone installed at the forward end and one installed at the most rearward location where it would be readily accessible to a normal flight attendant seat.
(a) Notwithstanding § 91.119, and except as provided in paragraph (b) of this section, no person may operate an airplane under VFR at less than—
(1) One thousand feet above the surface, or 1,000 feet from any mountain, hill, or other obstruction to flight, for day operations; and
(2) The altitudes prescribed in § 91.177, for night operations.
(b) This section does not apply—
(1) During takeoff or landing;
(2) When a different altitude is authorized by a waiver to this section under subpart J of this part; or
(3) When a flight is conducted under the special VFR weather minimums of § 91.157 with an appropriate clearance from ATC.
(a) Except as provided in paragraph (b) of this section, no person may operate an airplane carrying passengers unless it is equipped with signs that are visible to passengers and flight attendants to notify them when smoking is prohibited and when safety belts must be fastened.
(1) The signs that notify when safety belts must be fastened must be so constructed that the crew can turn them on and off.
(2) The signs that prohibit smoking and signs that notify when safety belts must be fastened must be illuminated during airplane movement on the surface, for each takeoff, for each landing, and when otherwise considered to be necessary by the pilot in command.
(b) The pilot in command of an airplane that is not required, in accordance with applicable aircraft and equipment requirements of this chapter, to be equipped as provided in paragraph (a) of this section shall ensure that the passengers are notified orally each time that it is necessary to fasten their safety belts and when smoking is prohibited.
(c) If passenger information signs are installed, no passenger or crewmember may smoke while any “no smoking” sign is lighted nor may any passenger or crewmember smoke in any lavatory.
(d) Each passenger required by § 91.107(a)(3) to occupy a seat or berth shall fasten his or her safety belt about him or her and keep it fastened while any “fasten seat belt” sign is lighted.
(e) Each passenger shall comply with instructions given him or her by crewmembers regarding compliance with paragraphs (b), (c), and (d) of this section.
(a) Before each takeoff the pilot in command of an airplane carrying passengers shall ensure that all passengers have been orally briefed on—
(1) Smoking. Each passenger shall be briefed on when, where, and under what conditions smoking is prohibited. This briefing shall include a statement, as appropriate, that the Federal Aviation Regulations require passenger compliance with lighted passenger information signs and no smoking placards, prohibit smoking in lavatories, and require compliance with crewmember instructions with regard to these items;
(2) Use of safety belts and shoulder harnesses. Each passenger shall be briefed on when, where, and under what conditions it is necessary to have his or her safety belt and, if installed, his or her shoulder harness fastened about him or her. This briefing shall include a statement, as appropriate, that Federal Aviation Regulations require passenger compliance with the lighted passenger sign and/or crewmember instructions with regard to these items;
(3) Location and means for opening the passenger entry door and emergency exits;
(4) Location of survival equipment;
(5) Ditching procedures and the use of flotation equipment required under § 91.509 for a flight over water; and
(6) The normal and emergency use of oxygen equipment installed on the airplane.
(b) The oral briefing required by paragraph (a) of this section shall be given by the pilot in command or a member of the crew, but need not be given when the pilot in command determines that the passengers are familiar with the contents of the briefing. It may be supplemented by printed cards for the use of each passenger containing—
(1) A diagram of, and methods of operating, the emergency exits; and
(2) Other instructions necessary for use of emergency equipment.
(c) Each card used under paragraph (b) must be carried in convenient locations on the airplane for the use of each passenger and must contain information that is pertinent only to the type and model airplane on which it is used.
(d) For operations under subpart K of this part, the passenger briefing requirements of § 91.1035 apply, instead of the requirements of paragraphs (a) through (c) of this section.
(a) No person may operate a transport category airplane that was type certificated after January 1, 1958, unless it is equipped at each seat at a flight deck station with a combined safety belt and shoulder harness that meets the applicable requirements specified in § 25.785 of this chapter, except that—
(1) Shoulder harnesses and combined safety belt and shoulder harnesses that were approved and installed before March 6, 1980, may continue to be used; and
(2) Safety belt and shoulder harness restraint systems may be designed to the inertia load factors established under the certification basis of the airplane.
(b) No person may operate a transport category airplane unless it is equipped at each required flight attendant seat in the passenger compartment with a combined safety belt and shoulder harness that meets the applicable requirements specified in § 25.785 of this chapter, except that—
(1) Shoulder harnesses and combined safety belt and shoulder harnesses that were approved and installed before March 6, 1980, may continue to be used; and
(2) Safety belt and shoulder harness restraint systems may be designed to the inertia load factors established under the certification basis of the airplane.
No pilot in command of an airplane having a seating capacity of more than 19 passengers may permit a passenger to stow baggage aboard that airplane except—
(a) In a suitable baggage or cargo storage compartment, or as provided in § 91.525; or
(b) Under a passenger seat in such a way that it will not slide forward under crash impacts severe enough to induce the ultimate inertia forces specified in § 25.561(b)(3) of this chapter, or the requirements of the regulations under which the airplane was type certificated. Restraining devices must also limit sideward motion of under-seat baggage and be designed to withstand crash impacts severe enough to induce sideward forces specified in § 25.561(b)(3) of this chapter.
(a) No pilot in command may permit cargo to be carried in any airplane unless—
(1) It is carried in an approved cargo rack, bin, or compartment installed in the airplane;
(2) It is secured by means approved by the Administrator; or
(3) It is carried in accordance with each of the following:
(i) It is properly secured by a safety belt or other tiedown having enough strength to eliminate the possibility of shifting under all normally anticipated flight and ground conditions.
(ii) It is packaged or covered to avoid possible injury to passengers.
(iii) It does not impose any load on seats or on the floor structure that exceeds the load limitation for those components.
(iv) It is not located in a position that restricts the access to or use of any required emergency or regular exit, or the use of the aisle between the crew and the passenger compartment.
(v) It is not carried directly above seated passengers.
(b) When cargo is carried in cargo compartments that are designed to require the physical entry of a crewmember to extinguish any fire that may occur during flight, the cargo must be loaded so as to allow a crewmember to effectively reach all parts of the compartment with the contents of a hand fire extinguisher.
(a) No pilot may take off an airplane that has frost, ice, or snow adhering to any propeller, windshield, stabilizing or control surface; to a powerplant installation; or to an airspeed, altimeter, rate of climb, or flight attitude instrument system or wing, except that takeoffs may be made with frost under the wing in the area of the fuel tanks if authorized by the FAA.
(b) No pilot may fly under IFR into known or forecast light or moderate icing conditions, or under VFR into known light or moderate icing conditions, unless—
(1) The aircraft has functioning deicing or anti-icing equipment protecting each rotor blade, propeller, windshield, wing, stabilizing or control surface, and each airspeed, altimeter, rate of climb, or flight attitude instrument system;
(2) The airplane has ice protection provisions that meet section 34 of Special Federal Aviation Regulation No. 23; or
(3) The airplane meets transport category airplane type certification provisions, including the requirements for certification for flight in icing conditions.
(c) Except for an airplane that has ice protection provisions that meet the requirements in section 34 of Special Federal Aviation Regulation No. 23, or those for transport category airplane type certification, no pilot may fly an airplane into known or forecast severe icing conditions.
(d) If current weather reports and briefing information relied upon by the pilot in command indicate that the forecast icing conditions that would otherwise prohibit the flight will not be encountered during the flight because of changed weather conditions since the forecast, the restrictions in paragraphs (b) and (c) of this section based on forecast conditions do not apply.
(a) No person may operate the following airplanes without a flight crewmember holding a current flight engineer certificate:
(1) An airplane for which a type certificate was issued before January 2, 1964, having a maximum certificated takeoff weight of more than 80,000 pounds.
(2) An airplane type certificated after January 1, 1964, for which a flight engineer is required by the type certification requirements.
(b) No person may serve as a required flight engineer on an airplane unless, within the preceding 6 calendar months, that person has had at least 50 hours of flight time as a flight engineer on that type airplane or has been checked by the Administrator on that type airplane and is found to be familiar and competent with all essential current information and operating procedures.
(a) Except as provided in paragraph (b) of this section, no person may operate the following airplanes without a pilot designated as second in command:
(1) Any airplane that is type certificated for more than one required pilot.
(2) Any large airplane.
(3) Any commuter category airplane.
(b) A person may operate the following airplanes without a pilot designated as second in command:
(1) Any airplane certificated for operation with one pilot.
(2) A large airplane or turbojet-powered multiengine airplane that holds a special airworthiness certificate, if:
(i) The airplane was originally designed with only one pilot station; or
(ii) The airplane was originally designed with more than one pilot station, but single pilot operations were permitted by the airplane flight manual or were otherwise permitted by a branch of the United States Armed Forces or the armed forces of a foreign contracting State to the Convention on International Civil Aviation.
(c) No person may designate a pilot to serve as second in command, nor may any pilot serve as second in command, of an airplane required under this section to have two pilots unless that pilot meets the qualifications for second in command prescribed in § 61.55 of this chapter.
(a) No person may operate an airplane unless at least the following number of flight attendants are on board the airplane:
(1) For airplanes having more than 19 but less than 51 passengers on board, one flight attendant.
(2) For airplanes having more than 50 but less than 101 passengers on board, two flight attendants.
(3) For airplanes having more than 100 passengers on board, two flight attendants plus one additional flight attendant for each unit (or part of a unit) of 50 passengers above 100.
(b) No person may serve as a flight attendant on an airplane when required by paragraph (a) of this section unless that person has demonstrated to the pilot in command familiarity with the necessary functions to be performed in an emergency or a situation requiring emergency evacuation and is capable of using the emergency equipment installed on that airplane.
(a) No operator may move an aircraft on the surface, take off, or land when any food, beverage, or tableware furnished by the operator is located at any passenger seat.
(b) No operator may move an aircraft on the surface, take off, or land unless each food and beverage tray and seat back tray table is secured in its stowed position.
(c) No operator may permit an aircraft to move on the surface, take off, or land unless each passenger serving cart is secured in its stowed position.
(d) No operator may permit an aircraft to move on the surface, take off, or land unless each movie screen that extends into the aisle is stowed.
(e) Each passenger shall comply with instructions given by a crewmember with regard to compliance with this section.
This subpart applies to operation of large and transport category U.S.-registered civil aircraft.
No person may operate a transport category airplane in air commerce unless that airplane is equipped with an aural speed warning device that complies with § 25.1303(c)(1).
(a) No person may take off any transport category airplane (other than a turbine-engine-powered airplane certificated after September 30, 1958) unless—
(1) The takeoff weight does not exceed the authorized maximum takeoff weight for the elevation of the airport of takeoff;
(2) The elevation of the airport of takeoff is within the altitude range for which maximum takeoff weights have been determined;
(3) Normal consumption of fuel and oil in flight to the airport of intended landing will leave a weight on arrival not in excess of the authorized maximum landing weight for the elevation of that airport; and
(4) The elevations of the airport of intended landing and of all specified alternate airports are within the altitude range for which the maximum landing weights have been determined.
(b) No person may operate a turbine-engine-powered transport category airplane certificated after September 30, 1958, contrary to the Airplane Flight Manual, or take off that airplane unless—
(1) The takeoff weight does not exceed the takeoff weight specified in the Airplane Flight Manual for the elevation of the airport and for the ambient temperature existing at the time of takeoff;
(2) Normal consumption of fuel and oil in flight to the airport of intended landing and to the alternate airports will leave a weight on arrival not in excess of the landing weight specified in the Airplane Flight Manual for the elevation of each of the airports involved and for the ambient temperatures expected at the time of landing;
(3) The takeoff weight does not exceed the weight shown in the Airplane Flight Manual to correspond with the minimum distances required for takeoff, considering the elevation of the airport, the runway to be used, the effective runway gradient, the ambient temperature and wind component at the time of takeoff, and, if operating limitations exist for the minimum distances required for takeoff from wet runways, the runway surface condition (dry or wet). Wet runway distances associated with grooved or porous friction course runways, if provided in the Airplane Flight Manual, may be used only for runways that are grooved or treated with a porous friction course (PFC) overlay, and that the operator determines are designed, constructed, and maintained in a manner acceptable to the Administrator.
(4) Where the takeoff distance includes a clearway, the clearway distance is not greater than one-half of—
(i) The takeoff run, in the case of airplanes certificated after September 30, 1958, and before August 30, 1959; or
(ii) The runway length, in the case of airplanes certificated after August 29, 1959.
(c) No person may take off a turbine-engine-powered transport category airplane certificated after August 29, 1959, unless, in addition to the requirements of paragraph (b) of this section—
(1) The accelerate-stop distance is no greater than the length of the runway plus the length of the stopway (if present); and
(2) The takeoff distance is no greater than the length of the runway plus the length of the clearway (if present); and
(3) The takeoff run is no greater than the length of the runway.
(a) Notwithstanding any other provision of this chapter, no person may operate a large airplane (type certificated under the Civil Air Regulations effective before April 9, 1957) in passenger-carrying operations for hire, with more than the number of occupants—
(1) Allowed under Civil Air Regulations § 4b.362 (a), (b), and (c) as in effect on December 20, 1951; or
(2) Approved under Special Civil Air Regulations SR-387, SR-389, SR-389A, or SR-389B, or under this section as in effect.
| Airplane type | Maximum number of occupants including all crewmembers | Corresponding number of exits authorized for passenger use |
|---|---|---|
| B-307 | 61 | 4 |
| B-377 | 96 | 9 |
| C-46 | 67 | 4 |
| CV-240 | 53 | 6 |
| CV-340 and CV-440 | 53 | 6 |
| DC-3 | 35 | 4 |
| DC-3 (Super) | 39 | 5 |
| DC-4 | 86 | 5 |
| DC-6 | 87 | 7 |
| DC-6B | 112 | 11 |
| L-18 | 17 | 3 |
| L-049, L-649, L-749 | 87 | 7 |
| L-1049 series | 96 | 9 |
| M-202 | 53 | 6 |
| M-404 | 53 | 7 |
| Viscount 700 series | 53 | 7 |
(b) Occupants in addition to those authorized under paragraph (a) of this section may be carried as follows:
(1) For each additional floor-level exit at least 24 inches wide by 48 inches high, with an unobstructed 20-inch-wide access aisleway between the exit and the main passenger aisle, 12 additional occupants.
(2) For each additional window exit located over a wing that meets the requirements of the airworthiness standards under which the airplane was type certificated or that is large enough to inscribe an ellipse 19 × 26 inches, eight additional occupants.
(3) For each additional window exit that is not located over a wing but that otherwise complies with paragraph (b)(2) of this section, five additional occupants.
(4) For each airplane having a ratio (as computed from the table in paragraph (a) of this section) of maximum number of occupants to number of exits greater than 14:1, and for each airplane that does not have at least one full-size, door-type exit in the side of the fuselage in the rear part of the cabin, the first additional exit must be a floor-level exit that complies with paragraph (b)(1) of this section and must be located in the rear part of the cabin on the opposite side of the fuselage from the main entrance door. However, no person may operate an airplane under this section carrying more than 115 occupants unless there is such an exit on each side of the fuselage in the rear part of the cabin.
(c) No person may eliminate any approved exit except in accordance with the following:
(1) The previously authorized maximum number of occupants must be reduced by the same number of additional occupants authorized for that exit under this section.
(2) Exits must be eliminated in accordance with the following priority schedule: First, non-over-wing window exits; second, over-wing window exits; third, floor-level exits located in the forward part of the cabin; and fourth, floor-level exits located in the rear of the cabin.
(3) At least one exit must be retained on each side of the fuselage regardless of the number of occupants.
(4) No person may remove any exit that would result in a ratio of maximum number of occupants to approved exits greater than 14:1.
(d) This section does not relieve any person operating under part 121 of this chapter from complying with § 121.291.
(a) No holder of an air carrier operating certificate or an operating certificate may conduct any operation under this part with an aircraft listed in the holder's operations specifications or current list of aircraft used in air transportation unless that aircraft complies with any applicable flight recorder and cockpit voice recorder requirements of the part under which its certificate is issued except that the operator may—
(1) Ferry an aircraft with an inoperative flight recorder or cockpit voice recorder from a place where repair or replacement cannot be made to a place where they can be made;
(2) Continue a flight as originally planned, if the flight recorder or cockpit voice recorder becomes inoperative after the aircraft has taken off;
(3) Conduct an airworthiness flight test during which the flight recorder or cockpit voice recorder is turned off to test it or to test any communications or electrical equipment installed in the aircraft; or
(4) Ferry a newly acquired aircraft from the place where possession of it is taken to a place where the flight recorder or cockpit voice recorder is to be installed.
(b) Notwithstanding paragraphs (c) and (e) of this section, an operator other than the holder of an air carrier or a commercial operator certificate may—
(1) Ferry an aircraft with an inoperative flight recorder or cockpit voice recorder from a place where repair or replacement cannot be made to a place where they can be made;
(2) Continue a flight as originally planned if the flight recorder or cockpit voice recorder becomes inoperative after the aircraft has taken off;
(3) Conduct an airworthiness flight test during which the flight recorder or cockpit voice recorder is turned off to test it or to test any communications or electrical equipment installed in the aircraft;
(4) Ferry a newly acquired aircraft from a place where possession of it was taken to a place where the flight recorder or cockpit voice recorder is to be installed; or
(5) Operate an aircraft:
(i) For not more than 15 days while the flight recorder and/or cockpit voice recorder is inoperative and/or removed for repair provided that the aircraft maintenance records contain an entry that indicates the date of failure, and a placard is located in view of the pilot to show that the flight recorder or cockpit voice recorder is inoperative.
(ii) For not more than an additional 15 days, provided that the requirements in paragraph (b)(5)(i) are met and that a certificated pilot, or a certificated person authorized to return an aircraft to service under § 43.7 of this chapter, certifies in the aircraft maintenance records that additional time is required to complete repairs or obtain a replacement unit.
(c)(1) No person may operate a U.S. civil registered, multiengine, turbine-powered airplane or rotorcraft having a passenger seating configuration, excluding any pilot seats of 10 or more that has been manufactured after October 11, 1991, unless it is equipped with one or more approved flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium, that are capable of recording the data specified in appendix E to this part, for an airplane, or appendix F to this part, for a rotorcraft, of this part within the range, accuracy, and recording interval specified, and that are capable of retaining no less than 8 hours of aircraft operation.
(2) All airplanes subject to paragraph (c)(1) of this section that are manufactured before April 7, 2010, by April 7, 2012, must meet the requirements of § 23.1459(a)(7) or § 25.1459(a)(8) of this chapter, as applicable.
(3) All airplanes and rotorcraft subject to paragraph (c)(1) of this section that are manufactured on or after April 7, 2010, must meet the flight data recorder requirements of § 23.1459, § 25.1459, § 27.1459, or § 29.1459 of this chapter, as applicable, and retain at least the last 25 hours of recorded information using a recorder that meets the standards of TSO-C124a, or later revision.
(d) Whenever a flight recorder, required by this section, is installed, it must be operated continuously from the instant the airplane begins the takeoff roll or the rotorcraft begins lift-off until the airplane has completed the landing roll or the rotorcraft has landed at its destination.
(e) Unless otherwise authorized by the Administrator, after October 11, 1991, no person may operate a U.S. civil registered multiengine, turbine-powered airplane or rotorcraft having a passenger seating configuration of six passengers or more and for which two pilots are required by type certification or operating rule unless it is equipped with an approved cockpit voice recorder that:
(1) Is installed in compliance with § 23.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g); § 25.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g); § 27.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g); or § 29.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g) of this chapter, as applicable; and
(2) Is operated continuously from the use of the checklist before the flight to completion of the final checklist at the end of the flight.
(f) In complying with this section, an approved cockpit voice recorder having an erasure feature may be used, so that at any time during the operation of the recorder, information recorded more than 15 minutes earlier may be erased or otherwise obliterated.
(g) In the event of an accident or occurrence requiring immediate notification to the National Transportation Safety Board under 49 CFR part 830 of its regulations that results in the termination of the flight, any operator who has installed approved flight recorders and approved cockpit voice recorders shall keep the recorded information for at least 60 days or, if requested by the Administrator or the Board, for a longer period. Information obtained from the record is used to assist in determining the cause of accidents or occurrences in connection with the investigation under 49 CFR part 830. The Administrator does not use the cockpit voice recorder record in any civil penalty or certificate action.
(h) All airplanes required by this section to have a cockpit voice recorder and a flight data recorder, that are manufactured before April 7, 2010, must by April 7, 2012, have a cockpit voice recorder that also—
(1) Meets the requirements of § 23.1457(d)(6) or § 25.1457(d)(6) of this chapter, as applicable; and
(2) If transport category, meets the requirements of § 25.1457(a)(3), (a)(4), and (a)(5) of this chapter.
(i) All airplanes or rotorcraft required by this section to have a cockpit voice recorder and flight data recorder, that are manufactured on or after April 7, 2010, must have a cockpit voice recorder installed that also—
(1) Is installed in accordance with the requirements of § 23.1457 (except for paragraphs (a)(6) and (d)(5)); § 25.1457 (except for paragraphs (a)(6) and (d)(5)); § 27.1457 (except for paragraphs (a)(6) and (d)(5)); or § 29.1457 (except for paragraphs (a)(6) and (d)(5)) of this chapter, as applicable; and
(2) Retains at least—
(i) The last 25 hours of recorded information using a recorder that meets the standards of TSO-C123c, or later revision, if:
(A) Manufactured on or after May 16, 2025, for transport category aircraft type-certificated with 30 or more passenger seats, or
(B) Manufactured on or after February 2, 2027, for airplanes or rotorcraft with a maximum certified takeoff weight (MCTOW) of 59,525 pounds or more and type-certificated with 29 or fewer passenger seats; or
(C) Manufactured on or after February 2, 2029, for airplanes or rotorcraft with a maximum certified takeoff weight (MCTOW) of 59,524 pounds or less.
(ii) The last 2 hours of recorded information using a recorder that meets the standards of TSO-C123a, or later revision, unless the airplane or rotorcraft meets the manufacturing date and requirements found in (i)(2)(i)(A), (i)(2)(i)(B), or (i)(2)(i)(C) of this paragraph.
(3) For all airplanes or rotorcraft manufactured on or after April 6, 2012, also meets the requirements of § 23.1457(a)(6) and (d)(5); § 25.1457(a)(6) and (d)(5); § 27.1457(a)(6) and (d)(5); or § 29.1457(a)(6) and (d)(5) of this chapter, as applicable.
(j) All airplanes or rotorcraft required by this section to have a cockpit voice recorder and a flight data recorder, that install datalink communication equipment on or after April 6, 2012, must record all datalink messages as required by the certification rule applicable to the aircraft.
(k) An aircraft operated under this part under deviation authority from part 125 of this chapter must comply with all of the applicable flight data recorder requirements of part 125 applicable to the aircraft, notwithstanding such deviation authority.
(a) General. The holder of an air carrier operating certificate or an operating certificate issued under part 125 may conduct a ferry flight of a four-engine airplane or a turbine-engine-powered airplane equipped with three engines, with one engine inoperative, to a base for the purpose of repairing that engine subject to the following:
(1) The airplane model has been test flown and found satisfactory for safe flight in accordance with paragraph (b) or (c) of this section, as appropriate. However, each operator who before November 19, 1966, has shown that a model of airplane with an engine inoperative is satisfactory for safe flight by a test flight conducted in accordance with performance data contained in the applicable Airplane Flight Manual under paragraph (a)(2) of this section need not repeat the test flight for that model.
(2) The approved Airplane Flight Manual contains the following performance data and the flight is conducted in accordance with that data:
(i) Maximum weight.
(ii) Center of gravity limits.
(iii) Configuration of the inoperative propeller (if applicable).
(iv) Runway length for takeoff (including temperature accountability).
(v) Altitude range.
(vi) Certificate limitations.
(vii) Ranges of operational limits.
(viii) Performance information.
(ix) Operating procedures.
(3) The operator has FAA approved procedures for the safe operation of the airplane, including specific requirements for—
(i) Limiting the operating weight on any ferry flight to the minimum necessary for the flight plus the necessary reserve fuel load;
(ii) A limitation that takeoffs must be made from dry runways unless, based on a showing of actual operating takeoff techniques on wet runways with one engine inoperative, takeoffs with full controllability from wet runways have been approved for the specific model aircraft and included in the Airplane Flight Manual:
(iii) Operations from airports where the runways may require a takeoff or approach over populated areas; and
(iv) Inspection procedures for determining the operating condition of the operative engines.
(4) No person may take off an airplane under this section if—
(i) The initial climb is over thickly populated areas; or
(ii) Weather conditions at the takeoff or destination airport are less than those required for VFR flight.
(5) Persons other than required flight crewmembers shall not be carried during the flight.
(6) No person may use a flight crewmember for flight under this section unless that crewmember is thoroughly familiar with the operating procedures for one-engine inoperative ferry flight contained in the certificate holder's manual and the limitations and performance information in the Airplane Flight Manual.
(b) Flight tests: reciprocating-engine-powered airplanes. The airplane performance of a reciprocating-engine-powered airplane with one engine inoperative must be determined by flight test as follows:
(1) A speed not less than 1.3 V
(2) The distance required to accelerate to the speed listed in paragraph (b)(1) of this section and to climb to 50 feet must be determined with—
(i) The landing gear extended;
(ii) The critical engine inoperative and its propeller removed or in a configuration desired by the operator; and
(iii) The other engines operating at not more than maximum power established under paragraph (b)(3) of this section.
(3) The takeoff, flight and landing procedures, such as the approximate trim settings, method of power application, maximum power, and speed must be established.
(4) The performance must be determined at a maximum weight not greater than the weight that allows a rate of climb of at least 400 feet per minute in the en route configuration set forth in § 25.67(d) of this chapter in effect on January 31, 1977, at an altitude of 5,000 feet.
(5) The performance must be determined using temperature accountability for the takeoff field length, computed in accordance with § 25.61 of this chapter in effect on January 31, 1977.
(c) Flight tests: Turbine-engine-powered airplanes. The airplane performance of a turbine-engine-powered airplane with one engine inoperative must be determined by flight tests, including at least three takeoff tests, in accordance with the following:
(1) Takeoff speeds V
(2) The minimum takeoff field length must be the horizontal distance required to accelerate and climb to the 35-foot height at V
(i) The landing gear extended;
(ii) The critical engine inoperative and its propeller removed or in a configuration desired by the operator (if applicable); and
(iii) The other engine operating at not more than the power selected for type certification as set forth in § 25.101 of this chapter.
(3) The takeoff, flight, and landing procedures such as the approximate trim setting, method of power application, maximum power, and speed must be established. The airplane must be satisfactorily controllable during the entire takeoff run when operated according to these procedures.
(4) The performance must be determined at a maximum weight not greater than the weight determined under § 25.121(c) of this chapter but with—
(i) The actual steady gradient of the final takeoff climb requirement not less than 1.2 percent at the end of the takeoff path with two critical engines inoperative; and
(ii) The climb speed not less than the two-engine inoperative trim speed for the actual steady gradient of the final takeoff climb prescribed by paragraph (c)(4)(i) of this section.
(5) The airplane must be satisfactorily controllable in a climb with two critical engines inoperative. Climb performance may be shown by calculations based on, and equal in accuracy to, the results of testing.
(6) The performance must be determined using temperature accountability for takeoff distance and final takeoff climb computed in accordance with § 25.101 of this chapter.
(a) No person may operate an airplane that conforms to an amended or supplemental type certificate issued in accordance with SFAR No. 41 for a maximum certificated takeoff weight in excess of 12,500 pounds unless within 1 year after issuance of the initial airworthiness certificate under that SFAR the airplane meets the compartment interior requirements set forth in § 25.853 (a), (b), (b-1), (b-2), and (b-3) of this chapter in effect on September 26, 1978.
(b) Thermal/acoustic insulation materials. For transport category airplanes type certificated after January 1, 1958:
(1) For airplanes manufactured before September 2, 2005, when thermal/acoustic insulation is installed in the fuselage as replacements after September 2, 2005, the insulation must meet the flame propagation requirements of § 25.856 of this chapter, effective September 2, 2003, if it is:
(i) Of a blanket construction or
(ii) Installed around air ducting.
(2) For airplanes manufactured after September 2, 2005, thermal/acoustic insulation materials installed in the fuselage must meet the flame propagation requirements of § 25.856 of this chapter, effective September 2, 2003.
(a) This subpart applies to the operations of civil aircraft of U.S. registry outside of the United States and the operations of foreign civil aircraft within the United States.
(b) Section 91.702 of this subpart also applies to each person on board an aircraft operated as follows:
(1) A U.S. registered civil aircraft operated outside the United States;
(2) Any aircraft operated outside the United States—
(i) That has its next scheduled destination or last place of departure in the United States if the aircraft next lands in the United States; or
(ii) If the aircraft lands in the United States with the individual still on the aircraft regardless of whether it was a scheduled or otherwise planned landing site.
Section 91.11 of this part (Prohibitions on interference with crewmembers) applies to each person on board an aircraft.
(a) Each person operating a civil aircraft of U.S. registry outside of the United States shall—
(1) When over the high seas, comply with Annex 2 (Rules of the Air) to the Convention on International Civil Aviation and with §§ 91.117(c), 91.127, 91.129, and 91.131;
(2) When within a foreign country, comply with the regulations relating to the flight and maneuver of aircraft there in force;
(3) Except for §§ 91.117(a), 91.307(b), 91.309, 91.323, and 91.711, comply with this part so far as it is not inconsistent with applicable regulations of the foreign country where the aircraft is operated or Annex 2 of the Convention on International Civil Aviation; and
(4) When operating within airspace designated as Reduced Vertical Separation Minimum (RVSM) airspace, comply with § 91.706.
(5) For aircraft subject to ICAO Annex 16, carry on board the aircraft documents that summarize the noise operating characteristics and certifications of the aircraft that demonstrate compliance with this part and part 36 of this chapter.
(b) Annex 2 to the Convention on International Civil Aviation, Rules of the Air, Tenth Edition—July 2005, with Amendments through Amendment 45, applicable November 10, 2016, is incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the FAA must publish a document in the
(a) Except as provided in paragraph (b) of this section, no person may operate a civil aircraft of U.S. registry in airspace designated as Reduced Vertical Separation Minimum (RVSM) airspace unless:
(1) The operator and the operator's aircraft comply with the requirements of appendix G of this part; and
(2) The operator is authorized by the Administrator to conduct such operations.
(b) The Administrator may authorize a deviation from the requirements of this section in accordance with Section 5 of appendix G to this part.
Unless otherwise authorized by ATC, no person may operate a civil aircraft between Mexico or Canada and the United States without filing an IFR or VFR flight plan, as appropriate.
No person may operate a civil aircraft from the United States to Cuba unless—
(a) Departure is from an international airport of entry designated in § 6.13 of the Air Commerce Regulations of the Bureau of Customs (19 CFR 6.13); and
(b) In the case of departure from any of the 48 contiguous States or the District of Columbia, the pilot in command of the aircraft has filed—
(1) A DVFR or IFR flight plan as prescribed in § 99.11 or § 99.13 of this chapter; and
(2) A written statement, within 1 hour before departure, with the Office of Immigration and Naturalization Service at the airport of departure, containing—
(i) All information in the flight plan;
(ii) The name of each occupant of the aircraft;
(iii) The number of occupants of the aircraft; and
(iv) A description of the cargo, if any.
(a) General. In addition to the other applicable regulations of this part, each person operating a foreign civil aircraft within the United States shall comply with this section.
(b) VFR. No person may conduct VFR operations which require two-way radio communications under this part unless at least one crewmember of that aircraft is able to conduct two-way radio communications in the English language and is on duty during that operation.
(c) IFR. No person may operate a foreign civil aircraft under IFR unless—
(1) That aircraft is equipped with—
(i) Radio equipment allowing two-way radio communication with ATC when it is operated in controlled airspace; and
(ii) Navigation equipment suitable for the route to be flown.
(2) Each person piloting the aircraft—
(i) Holds a current United States instrument rating or is authorized by his foreign airman certificate to pilot under IFR; and
(ii) Is thoroughly familiar with the United States en route, holding, and letdown procedures; and
(3) At least one crewmember of that aircraft is able to conduct two-way radiotelephone communications in the English language and that crewmember is on duty while the aircraft is approaching, operating within, or leaving the United States.
(d) Over water. Each person operating a foreign civil aircraft over water off the shores of the United States shall give flight notification or file a flight plan in accordance with the Supplementary Procedures for the ICAO region concerned.
(e) Flight at and above FL 240. If VOR navigation equipment is required under paragraph (c)(1)(ii) of this section, no person may operate a foreign civil aircraft within the 50 States and the District of Columbia at or above FL 240, unless the aircraft is equipped with approved DME or a suitable RNAV system. When the DME or RNAV system required by this paragraph fails at and above FL 240, the pilot in command of the aircraft must notify ATC immediately and may then continue operations at and above FL 240 to the next airport of intended landing where repairs or replacement of the equipment can be made. A foreign civil aircraft may be operated within the 50 States and the District of Columbia at or above FL 240 without DME or an RNAV system when operated for the following purposes, and ATC is notified before each takeoff:
(1) Ferry flights to and from a place in the United States where repairs or alterations are to be made.
(2) Ferry flights to a new country of registry.
(3) Flight of a new aircraft of U.S. manufacture for the purpose of—
(i) Flight testing the aircraft;
(ii) Training foreign flight crews in the operation of the aircraft; or
(iii) Ferrying the aircraft for export delivery outside the United States.
(4) Ferry, demonstration, and test flight of an aircraft brought to the United States for the purpose of demonstration or testing the whole or any part thereof.
No person may operate a civil aircraft of Cuban registry except in controlled airspace and in accordance with air traffic clearance or air traffic control instructions that may require use of specific airways or routes and landings at specific airports.
(a) Foreign civil aircraft may be operated without airworthiness certificates required under § 91.203 if a special flight authorization for that operation is issued under this section. Application for a special flight authorization must be made to the appropriate Flight Standards Division Manager, or Aircraft Certification Service Division Director. However, in the case of an aircraft to be operated in the U.S. for the purpose of demonstration at an airshow, the application may be made to the appropriate Flight Standards Division Manager or Aircraft Certification Service Division Director responsible for the airshow location.
(b) The Administrator may issue a special flight authorization for a foreign civil aircraft subject to any conditions and limitations that the Administrator considers necessary for safe operation in the U.S. airspace.
(c) No person may operate a foreign civil aircraft under a special flight authorization unless that operation also complies with part 375 of the Special Regulations of the Department of Transportation (14 CFR part 375).
(a) This subpart prescribes operating noise limits and related requirements that apply, as follows, to the operation of civil aircraft in the United States.
(1) Sections 91.803, 91.805, 91.807, 91.809, and 91.811 apply to civil subsonic jet (turbojet) airplanes with maximum weights of more than 75,000 pounds and—
(i) If U.S. registered, that have standard airworthiness certificates; or
(ii) If foreign registered, that would be required by this chapter to have a U.S. standard airworthiness certificate in order to conduct the operations intended for the airplane were it registered in the United States. Those sections apply to operations to or from airports in the United States under this part and parts 121, 125, 129, and 135 of this chapter.
(2) Section 91.813 applies to U.S. operators of civil subsonic jet (turbojet) airplanes covered by this subpart. This section applies to operators operating to or from airports in the United States under this part and parts 121, 125, and 135, but not to those operating under part 129 of this chapter.
(3) Sections 91.803, 91.819, and 91.821 apply to U.S.-registered civil supersonic airplanes having standard airworthiness certificates and to foreign-registered civil supersonic airplanes that, if registered in the United States, would be required by this chapter to have U.S. standard airworthiness certificates in order to conduct the operations intended for the airplane. Those sections apply to operations under this part and under parts 121, 125, 129, and 135 of this chapter.
(b) Unless otherwise specified, as used in this subpart “part 36” refers to 14 CFR part 36, including the noise levels under appendix C of that part, notwithstanding the provisions of that part excepting certain airplanes from the specified noise requirements. For purposes of this subpart, the various stages of noise levels, the terms used to describe airplanes with respect to those levels, and the terms “subsonic airplane” and “supersonic airplane” have the meanings specified under part 36 of this chapter. For purposes of this subpart, for subsonic airplanes operated in foreign air commerce in the United States, the Administrator may accept compliance with the noise requirements under annex 16 of the International Civil Aviation Organization when those requirements have been shown to be substantially compatible with, and achieve results equivalent to those achievable under, part 36 for that airplane. Determinations made under these provisions are subject to the limitations of § 36.5 of this chapter as if those noise levels were part 36 noise levels.
(c) Sections 91.851 through 91.877 of this subpart prescribe operating noise limits and related requirements that apply to any civil subsonic jet (turbojet) airplane (for which an airworthiness certificate other than an experimental certificate has been issued by the Administrator) with a maximum certificated takeoff weight of more than 75,000 pounds operating to or from an airport in the 48 contiguous United States and the District of Columbia under this part, parts 121, 125, 129, or 135 of this chapter on and after September 25, 1991.
(d) Section 91.877 prescribes reporting requirements that apply to any civil subsonic jet (turbojet) airplane with a maximum weight of more than 75,000 pounds operated by an air carrier or foreign air carrier between the contiguous United States and the State of Hawaii, between the State of Hawaii and any point outside of the 48 contiguous United States, or between the islands of Hawaii in turnaround service, under part 121 or 129 of this chapter on or after November 5, 1990.
(e) Sections 91.881 through 91.883 of this subpart prescribe operating noise limits and related requirements that apply to any civil subsonic jet airplane with a maximum takeoff weight of 75,000 pounds or less and for which an airworthiness certificate (other than an experimental certificate) has been issued, operating to or from an airport in the contiguous United States under this part, part 121, 125, 129, or 135 of this chapter on and after December 31, 2015.
For airplanes covered by this subpart and operated under part 125 of this chapter, the following regulations apply as specified:
(a) For each airplane operation to which requirements prescribed under this subpart applied before November 29, 1980, those requirements of this subpart continue to apply.
(b) For each subsonic airplane operation to which requirements prescribed under this subpart did not apply before November 29, 1980, because the airplane was not operated in the United States under this part or part 121, 129, or 135 of this chapter, the requirements prescribed under § 91.805 of this subpart apply.
(c) For each supersonic airplane operation to which requirements prescribed under this subpart did not apply before November 29, 1980, because the airplane was not operated in the United States under this part or part 121, 129, or 135 of this chapter, the requirements of §§ 91.819 and 91.821 of this subpart apply.
(d) For each airplane required to operate under part 125 for which a deviation under that part is approved to operate, in whole or in part, under this part or part 121, 129, or 135 of this chapter, notwithstanding the approval, the requirements prescribed under paragraphs (a), (b), and (c) of this section continue to apply.
Except as provided in §§ 91.809 and 91.811, on and after January 1, 1985, no person may operate to or from an airport in the United States any subsonic airplane covered by this subpart unless that airplane has been shown to comply with Stage 2 or Stage 3 noise levels under part 36 of this chapter.
(a) This section applies to propeller-driven, small airplanes having standard airworthiness certificates that are designed for “agricultural aircraft operations” (as defined in § 137.3 of this chapter, as effective on January 1, 1966) or for dispensing fire fighting materials.
(b) If the Airplane Flight Manual, or other approved manual material information, markings, or placards for the airplane indicate that the airplane has not been shown to comply with the noise limits under part 36 of this chapter, no person may operate that airplane, except—
(1) To the extent necessary to accomplish the work activity directly associated with the purpose for which it is designed;
(2) To provide flight crewmember training in the special purpose operation for which the airplane is designed; and
(3) To conduct “nondispensing aerial work operations” in accordance with the requirements under § 137.29(c) of this chapter.
(a) No person may operate a civil aircraft in the United States at a true flight Mach number greater than 1 except in compliance with conditions and limitations in an authorization to exceed Mach 1 issued to the operator in accordance with § 91.818.
(b) In addition, no person may operate a civil aircraft for which the maximum operating limit speed M
(1) Information available to the flight crew includes flight limitations that ensure that flights entering or leaving the United States will not cause a sonic boom to reach the surface within the United States; and
(2) The operator complies with the flight limitations prescribed in paragraph (b)(1) of this section or complies with conditions and limitations in an authorization to exceed Mach 1 issued in accordance with § 91.818.
For all civil aircraft, any operation that exceeds Mach 1 may be conducted only in accordance with a special flight authorization issued to an operator in accordance with the requirements of this section.
(a) Application. Application for a special flight authorization to exceed Mach 1 must be made to the FAA Office of Environment and Energy for consideration by the Administrator. Each application must include:
(1) The name of the operator;
(2) The number and model(s) of the aircraft to be operated;
(3) The number of proposed flights;
(4) The date range during which the flight(s) would be conducted;
(5) The time of day the flight(s) would be conducted. Proposed night operations may require further justification for their necessity;
(6) A description of the flight area requested by the applicant, including any environmental information required to be submitted pursuant to paragraph (c) of this section;
(7) All conditions and limitations on the flight(s) that will ensure that no measurable sonic boom overpressure will reach the surface outside of the proposed flight area; and
(8) The reason(s) that operation at a speed greater than Mach 1 is necessary. A special flight authorization to exceed Mach 1 may be granted only for operations that are intended to:
(i) Show compliance with airworthiness requirements;
(ii) Determine the sonic boom characteristics of an aircraft;
(iii) Establish a means of reducing or eliminating the effects of sonic boom, including flight profiles and special features of an aircraft;
(iv) Demonstrate the conditions and limitations under which speeds in excess of Mach 1 will not cause a measurable sonic boom overpressure to reach the surface; or
(v) Measure the noise characteristics of an aircraft to demonstrate compliance with noise requirements imposed under this chapter, or to determine the limits for operation in accordance with § 91.817(b).
(9) For any purpose listed in paragraph (a)(8) of this section, each applicant must indicate why its intended operation cannot be safely or properly accomplished over the ocean at a distance ensuring that no sonic boom overpressure reaches any land surface in the United States.
(b) Operation outside a test area. An applicant may apply for an authorization to conduct flights outside a test area under certain conditions and limitations upon a conservative showing that:
(1) Flight(s) within a test area have been conducted in accordance with an authorization issued for the purpose specified in paragraph (a)(8)(iv) of this section;
(2) The results of the flight test(s) required by paragraph (b)(1) of this section demonstrate that a speed in excess of Mach 1 does not cause a measurable sonic boom overpressure to reach the surface; and
(3) The conditions and limitations determined by the test(s) represent all foreseeable operating conditions and are effective on all flights conducted under an authorization.
(c) Environmental findings. (1) No special flight authorization will be granted if the Administrator finds that such action is necessary to protect or enhance the environment.
(2) The Administrator is required to consider the potential environmental impacts resulting from the issuance of an authorization for a particular flight area pursuant to the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C 4321 et seq.), all applicable regulations implementing NEPA, and related Executive orders and guidance. Accordingly, each applicant must provide information that sufficiently describes the potential environmental impact of any flight in excess of Mach 1, including the effect of a sonic boom reaching the surface in the proposed flight area, to enable the FAA to determine whether such impacts are significant within the meaning of NEPA.
(d) Issuance. An authorization to operate a civil aircraft in excess of Mach 1 may be issued only after an applicant has submitted the information described in this section and the Administrator has taken the required action regarding the environmental findings described in paragraph (c) of this section.
(e) Duration. (1) An authorization to exceed Mach 1 will be granted for the time the Administrator determines necessary to conduct the flights for the described purposes.
(2) An authorization to exceed Mach 1 is effective until it expires or is surrendered.
(3) An authorization to exceed Mach 1 may be terminated, suspended, or amended by the Administrator at any time the Administrator finds that such action is necessary to protect the environment.
(4) The holder of an authorization to exceed Mach 1 may request reconsideration of a termination, amendment, or suspension issued under paragraph (e)(3) of this section within 30 days of notice of the action. Failure to request reconsideration and provide information why the Administrator's action is not appropriate will result in permanent termination of the authorization.
(5) Findings made by and actions taken by the Administrator under this section do not affect any certificate issued under chapter 447 of Title 49 of the United States Code.
(a) Applicability. This section applies to civil supersonic airplanes that have not been shown to comply with the Stage 2 noise limits of part 36 in effect on October 13, 1977, using applicable trade-off provisions, and that are operated in the United States, after July 31, 1978.
(b) Airport use. Except in an emergency, the following apply to each person who operates a civil supersonic airplane to or from an airport in the United States:
(1) Regardless of whether a type design change approval is applied for under part 21 of this chapter, no person may land or take off an airplane covered by this section for which the type design is changed, after July 31, 1978, in a manner constituting an “acoustical change” under § 21.93 unless the acoustical change requirements of part 36 are complied with.
(2) No flight may be scheduled, or otherwise planned, for takeoff or landing after 10 p.m. and before 7 a.m. local time.
Except for Concorde airplanes having flight time before January 1, 1980, no person may operate in the United States, a civil supersonic airplane that does not comply with Stage 2 noise limits of part 36 in effect on October 13, 1977, using applicable trade-off provisions.
For the purposes of §§ 91.851 through 91.877 of this subpart:
Chapter 4 noise level means a noise level at or below the maximum noise level prescribed in Chapter 4, Paragraph 4.4, Maximum Noise Levels, of the International Civil Aviation Organization (ICAO) Annex 16, Volume I, Amendment 7, effective March 21, 2002. The Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51 approved the incorporation by reference of this document, which can be obtained from the International Civil Aviation Organization (ICAO), Document Sales Unit, 999 University Street, Montreal, Quebec H3C 5H7, Canada. Also, you may obtain documents on the Internet at http://www.ICAO.int/eshop/index.cfm. Copies may be reviewed at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590 or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
Contiguous United States means the area encompassed by the 48 contiguous United States and the District of Columbia.
Fleet means those civil subsonic jet (turbojet) airplanes with a maximum certificated weight of more than 75,000 pounds that are listed on an operator's operations specifications as eligible for operation in the contiguous United States.
Import means a change in ownership of an airplane from a non-U.S. person to a U.S. person when the airplane is brought into the United States for operation.
Operations specifications means an enumeration of airplanes by type, model, series, and serial number operated by the operator or foreign air carrier on a given day, regardless of how or whether such airplanes are formally listed or designated by the operator.
Owner means any person that has indicia of ownership sufficient to register the airplane in the United States pursuant to part 47 of this chapter.
New entrant means an air carrier or foreign air carrier that, on or before November 5, 1990, did not conduct operations under part 121 or 129 of this chapter using an airplane covered by this subpart to or from any airport in the contiguous United States, but that initiates such operation after that date.
Stage 2 noise levels mean the requirements for Stage 2 noise levels as defined in part 36 of this chapter in effect on November 5, 1990.
Stage 3 noise levels mean the requirements for Stage 3 noise levels as defined in part 36 of this chapter in effect on November 5, 1990.
Stage 4 noise level means a noise level at or below the Stage 4 noise limit prescribed in part 36 of this chapter.
Stage 2 airplane means a civil subsonic jet (turbojet) airplane with a maximum certificated weight of 75,000 pounds or more that complies with Stage 2 noise levels as defined in part 36 of this chapter.
Stage 3 airplane means a civil subsonic jet (turbojet) airplane with a maximum certificated weight of 75,000 pounds or more that complies with Stage 3 noise levels as defined in part 36 of this chapter.
Stage 4 airplane means an airplane that has been shown not to exceed the Stage 4 noise limit prescribed in part 36 of this chapter. A Stage 4 airplane complies with all of the noise operating rules of this part.
Stage 5 airplane means an airplane that has been shown not to exceed the Stage 5 noise limit prescribed in part 36 of this chapter. A Stage 5 airplane complies with all of the noise operating rules of this part.
Stage 5 noise level means a noise level at or below the Stage 5 noise limit prescribed in part 36 of this chapter.
Except as provided in § 91.873, after December 31, 1999, no person shall operate to or from any airport in the contiguous United States any airplane subject to § 91.801(c), unless that airplane has been shown to comply with Stage 3, Stage 4, or Stage 5 noise levels.
No person may operate any airplane subject to § 91.801(c) of this subpart to or from an airport in the contiguous United States unless one or more of the following apply:
(a) The airplane complies with Stage 3, Stage 4, or Stage 5 noise levels.
(b) The airplane complies with Stage 2 noise levels and was owned by a U.S. person on and since November 5, 1990. Stage 2 airplanes that meet these criteria and are leased to foreign airlines are also subject to the return provisions of paragraph (e) of this section.
(c) The airplane complies with Stage 2 noise levels, is owned by a non-U.S. person, and is the subject of a binding lease to a U.S. person effective before and on September 25, 1991. Any such airplane may be operated for the term of the lease in effect on that date, and any extensions thereof provided for in that lease.
(d) The airplane complies with Stage 2 noise levels and is operated by a foreign air carrier.
(e) The airplane complies with Stage 2 noise levels and is operated by a foreign operator other than for the purpose of foreign air commerce.
(f) The airplane complies with Stage 2 noise levels and—
(1) On November 5, 1990, was owned by:
(i) A corporation, trust, or partnership organized under the laws of the United States or any State (including individual States, territories, possessions, and the District of Columbia);
(ii) An individual who is a citizen of the United States; or
(iii) An entity owned or controlled by a corporation, trust, partnership, or individual described in paragraph (f)(1) (i) or (ii) of this section; and
(2) Enters into the United States not later than 6 months after the expiration of a lease agreement (including any extensions thereof) between an owner described in paragraph (f)(1) of this section and a foreign airline.
(g) The airplane complies with Stage 2 noise levels and was purchased by the importer under a written contract executed before November 5, 1990.
(h) Any Stage 2 airplane described in this section is eligible for operation in the contiguous United States only as provided under § 91.865 or 91.867.
An operator of a Stage 2 airplane that is operating only between points outside the contiguous United States on or after November 5, 1990, must include in its operations specifications a statement that such airplane may not be used to provide air transportation to or from any airport in the contiguous United States.
(a) After December 31, 1999, any operator of a Stage 2 airplane over 75,000 pounds may operate that airplane in nonrevenue service in the contiguous United States only for the following purposes:
(1) Sell, lease, or scrap the airplane;
(2) Obtain modifications to meet Stage 3, Stage 4, or Stage 5 noise levels.
(3) Obtain scheduled heavy maintenance or significant modifications;
(4) Deliver the airplane to a lessee or return it to a lessor;
(5) Park or store the airplane; and
(6) Prepare the airplane for any of the purposes listed in paragraph (a)(1) thru (a)(5) of this section.
(b) An operator of a Stage 2 airplane that needs to operate in the contiguous United States for any of the purposes listed above may apply to FAA's Office of Environment and Energy for a special flight authorization. The applicant must file in advance. Applications are due 30 days in advance of the planned flight and must provide the information necessary for the FAA to determine that the planned flight is within the limits prescribed in the law.
For an airplane subject to § 91.801(c) of this subpart and otherwise prohibited from operation to or from an airport in the contiguous United States by § 91.855, any person may apply for a special flight authorization for that airplane to operate in the contiguous United States for the purpose of obtaining modifications to meet Stage 3, Stage 4, or Stage 5 noise levels.
(a) U.S. Operators. The base level of a U.S. operator is equal to the number of owned or leased Stage 2 airplanes subject to § 91.801(c) of this subpart that were listed on that operator's operations specifications for operations to or from airports in the contiguous United States on any one day selected by the operator during the period January 1, 1990, through July 1, 1991, plus or minus adjustments made pursuant to paragraphs (a) (1) and (2).
(1) The base level of a U.S. operator shall be increased by a number equal to the total of the following—
(i) The number of Stage 2 airplanes returned to service in the United States pursuant to § 91.855(f);
(ii) The number of Stage 2 airplanes purchased pursuant to § 91.855(g); and
(iii) Any U.S. operator base level acquired with a Stage 2 airplane transferred from another person under § 91.863.
(2) The base level of a U.S. operator shall be decreased by the amount of U.S. operator base level transferred with the corresponding number of Stage 2 airplanes to another person under § 91.863.
(b) Foreign air carriers. The base level of a foreign air carrier is equal to the number of owned or leased Stage 2 airplanes that were listed on that carrier's U.S. operations specifications on any one day during the period January 1, 1990, through July 1, 1991, plus or minus any adjustments to the base levels made pursuant to paragraphs (b) (1) and (2).
(1) The base level of a foreign air carrier shall be increased by the amount of foreign air carrier base level acquired with a Stage 2 airplane from another person under § 91.863.
(2) The base level of a foreign air carrier shall be decreased by the amount of foreign air carrier base level transferred with a Stage 2 airplane to another person under § 91.863.
(c) New entrants do not have a base level.
(a) Stage 2 airplanes may be transferred with or without the corresponding amount of base level. Base level may not be transferred without the corresponding number of Stage 2 airplanes.
(b) No portion of a U.S. operator's base level established under § 91.861(a) may be used for operations by a foreign air carrier. No portion of a foreign air carrier's base level established under § 91.861(b) may be used for operations by a U.S. operator.
(c) Whenever a transfer of Stage 2 airplanes with base level occurs, the transferring and acquiring parties shall, within 10 days, jointly submit written notification of the transfer to the FAA, Office of Environment and Energy. Such notification shall state:
(1) The names of the transferring and acquiring parties;
(2) The name, address, and telephone number of the individual responsible for submitting the notification on behalf of the transferring and acquiring parties;
(3) The total number of Stage 2 airplanes transferred, listed by airplane type, model, series, and serial number;
(4) The corresponding amount of base level transferred and whether it is U.S. operator or foreign air carrier base level; and
(5) The effective date of the transaction.
(d) If, taken as a whole, a transaction or series of transactions made pursuant to this section does not produce an increase or decrease in the number of Stage 2 airplanes for either the acquiring or transferring operator, such transaction or series of transactions may not be used to establish compliance with the requirements of § 91.865.
Except as provided in paragraph (a) of this section, each operator that operates an airplane under part 91, 121, 125, 129, or 135 of this chapter, regardless of the national registry of the airplane, shall comply with paragraph (b) or (d) of this section at each interim compliance date with regard to its subsonic airplane fleet covered by § 91.801(c) of this subpart.
(a) This section does not apply to new entrants covered by § 91.867 or to foreign operators not engaged in foreign air commerce.
(b) Each operator that chooses to comply with this paragraph pursuant to any interim compliance requirement shall reduce the number of Stage 2 airplanes it operates that are eligible for operation in the contiguous United States to a maximum of:
(1) After December 31, 1994, 75 percent of the base level held by the operator;
(2) After December 31, 1996, 50 percent of the base level held by the operator;
(3) After December 31, 1998, 25 percent of the base level held by the operator.
(c) Except as provided under § 91.871, the number of Stage 2 airplanes that must be reduced at each compliance date contained in paragraph (b) of this section shall be determined by reference to the amount of base level held by the operator on that compliance date, as calculated under § 91.861.
(d) Each operator that chooses to comply with this paragraph pursuant to any interim compliance requirement shall operate a fleet that consists of:
(1) After December 31, 1994, not less than 55 percent Stage 3 airplanes;
(2) After December 31, 1996, not less than 65 percent Stage 3 airplanes;
(3) After December 31, 1998, not less than 75 percent Stage 3 airplanes.
(e) Calculations resulting in fractions may be rounded to permit the continued operation of the next whole number of Stage 2 airplanes.
(a) New entrant U.S. air carriers.
(1) A new entrant initiating operations under part 121 of this chapter on or before December 31, 1994, may initiate service without regard to the percentage of its fleet composed of Stage 3 airplanes.
(2) After December 31, 1994, at least 25 percent of the fleet of a new entrant must comply with Stage 3 noise levels.
(3) After December 31, 1996, at least 50 percent of the fleet of a new entrant must comply with Stage 3 noise levels.
(4) After December 31, 1998, at least 75 percent of the fleet of a new entrant must comply with Stage 3 noise levels.
(b) New entrant foreign air carriers.
(1) A new entrant foreign air carrier initiating part 129 operations on or before December 31, 1994, may initiate service without regard to the percentage of its fleet composed of Stage 3 airplanes.
(2) After December 31, 1994, at least 25 percent of the fleet on U.S. operations specifications of a new entrant foreign air carrier must comply with Stage 3 noise levels.
(3) After December 31, 1996, at least 50 percent of the fleet on U.S. operations specifications of a new entrant foreign air carrier must comply with Stage 3 noise levels.
(4) After December 31, 1998, at least 75 percent of the fleet on U.S. operations specifications of a new entrant foreign air carrier must comply with Stage 3 noise levels.
(c) Calculations resulting in fractions may be rounded to permit the continued operation of the next whole number of Stage 2 airplanes.
(a) Any operator that exceeds the requirements of paragraph (b) of § 91.865 of this part on or before December 31, 1994, or on or before December 31, 1996, may claim a credit that may be applied at a subsequent interim compliance date.
(b) Any operator that eliminates or modifies more Stage 2 airplanes pursuant to § 91.865(b) than required as of December 31, 1994, or December 31, 1996, may count the number of additional Stage 2 airplanes reduced as a credit toward—
(1) The number of Stage 2 airplanes it would otherwise be required to reduce following a subsequent interim compliance date specified in § 91.865(b); or
(2) The number of Stage 3 airplanes it would otherwise be required to operate in its fleet following a subsequent interim compliance date to meet the percentage requirements specified in § 91.865(d).
(a) Any U.S. operator or foreign air carrier subject to the requirements of § 91.865 or 91.867 of this subpart may request a waiver from any individual compliance requirement.
(b) Applications must be filed with the Secretary of Transportation at least 120 days prior to the compliance date from which the waiver is requested.
(c) Applicants must show that a grant of waiver would be in the public interest, and must include in its application its plans and activities for modifying its fleet, including evidence of good faith efforts to comply with the requirements of § 91.865 or § 91.867. The application should contain all information the applicant considers relevant, including, as appropriate, the following:
(1) The applicant's balance sheet and cash flow positions;
(2) The composition of the applicant's current fleet; and
(3) The applicant's delivery position with respect to new airplanes or noise-abatement equipment.
(d) Waivers will be granted only upon a showing by the applicant that compliance with the requirements of § 91.865 or 91.867 at a particular interim compliance date is financially onerous, physically impossible, or technologically infeasible, or that it would have an adverse effect on competition or on service to small communities.
(e) The conditions of any waiver granted under this section shall be determined by the circumstances presented in the application, but in no case may the term extend beyond the next interim compliance date.
(f) A summary of any request for a waiver under this section will be published in the
(a) A U.S. air carrier or a foreign air carrier may apply for a waiver from the prohibition contained in § 91.853 of this part for its remaining Stage 2 airplanes, provided that, by July 1, 1999, at least 85 percent of the airplanes used by the carrier to provide service to or from an airport in the contiguous United States will comply with the Stage 3 noise levels.
(b) An application for the waiver described in paragraph (a) of this section must be filed with the Secretary of Transportation no later than January 1, 1999, or, in the case of a foreign air carrier, no later than April 20, 2000. Such application must include a plan with firm orders for replacing or modifying all airplanes to comply with Stage 3 noise levels at the earliest practicable time.
(c) To be eligible to apply for the waiver under this section, a new entrant U.S. air carrier must initiate service no later than January 1, 1999, and must comply fully with all provisions of this section.
(d) The Secretary may grant a waiver under this section if the Secretary finds that granting such waiver is in the public interest. In making such a finding, the Secretary shall include consideration of the effect of granting such waiver on competition in the air carrier industry and the effect on small community air service, and any other information submitted by the applicant that the Secretary considers relevant.
(e) The term of any waiver granted under this section shall be determined by the circumstances presented in the application, but in no case will the waiver permit the operation of any Stage 2 airplane covered by this subchapter in the contiguous United States after December 31, 2003.
(f) A summary of any request for a waiver under this section will be published in the
(a) Each operator subject to § 91.865 or § 91.867 of this chapter shall submit an annual report to the FAA, Office of Environment and Energy, on the progress it has made toward complying with the requirements of that section. Such reports shall be submitted no later than 45 days after the end of a calendar year. All progress reports must provide the information through the end of the calendar year, be certified by the operator as true and complete (under penalty of 18 U.S.C. 1001), and include the following information:
(1) The name and address of the operator;
(2) The name, title, and telephone number of the person designated by the operator to be responsible for ensuring the accuracy of the information in the report;
(3) The operator's progress during the reporting period toward compliance with the requirements of § 91.853, § 91.865 or § 91.867. For airplanes on U.S. operations specifications, each operator shall identify the airplanes by type, model, series, and serial number.
(i) Each Stage 2 airplane added or removed from operation or U.S. operations specifications (grouped separately by those airplanes acquired with and without base level);
(ii) Each Stage 2 airplane modified to Stage 3 noise levels (identifying the manufacturer and model of noise abatement retrofit equipment;
(iii) Each Stage 3 airplane on U.S. operations specifications as of the last day of the reporting period; and
(iv) For each Stage 2 airplane transferred or acquired, the name and address of the recipient or transferor; and, if base level was transferred, the person to or from whom base level was transferred or acquired pursuant to Section 91.863 along with the effective date of each base level transaction, and the type of base level transferred or acquired.
(b) Each operator subject to § 91.865 or § 91.867 of this chapter shall submit an initial progress report covering the period from January 1, 1990, through December 31, 1991, and provide:
(1) For each operator subject to § 91.865:
(i) The date used to establish its base level pursuant to § 91.861(a); and
(ii) A list of those Stage 2 airplanes (by type, model, series and serial number) in its base level, including adjustments made pursuant to § 91.861 after the date its base level was established.
(2) For each U.S. operator:
(i) A plan to meet the compliance schedules in § 91.865 or § 91.867 and the final compliance date of § 91.853, including the schedule for delivery of replacement Stage 3 airplanes or the installation of noise abatement retrofit equipment; and
(ii) A separate list (by type, model, series, and serial number) of those airplanes included in the operator's base level, pursuant to § 91.861(a)(1) (i) and (ii), under the categories “returned” or “purchased,” along with the date each was added to its operations specifications.
(c) Each operator subject to § 91.865 or § 91.867 of this chapter shall submit subsequent annual progress reports covering the calendar year preceding the report and including any changes in the information provided in paragraphs (a) and (b) of this section; including the use of any carry-forward credits pursuant to § 91.869.
(d) An operator may request, in any report, that specific planning data be considered proprietary.
(e) If an operator's actions during any reporting period cause it to achieve compliance with § 91.853, the report should include a statement to that effect. Further progress reports are not required unless there is any change in the information reported pursuant to paragraph (a) of this section.
(f) For each U.S. operator subject to § 91.865, progress reports submitted for calendar years 1994, 1996, and 1998, shall also state how the operator achieved compliance with the requirements of that section, i.e.—
(1) By reducing the number of Stage 2 airplanes in its fleet to no more than the maximum permitted percentage of its base level under § 91.865(b), or
(2) By operating a fleet that consists of at least the minimum required percentage of Stage 3 airplanes under § 91.865(d).
(a) Each air carrier or foreign air carrier subject to § 91.865 or § 91.867 of this part that conducts operations between the contiguous United States and the State of Hawaii, between the State of Hawaii and any point outside of the contiguous United States, or between the islands of Hawaii in turnaround service, on or since November 5, 1990, shall include in its annual report the information described in paragraph (c) of this section.
(b) Each air carrier or foreign air carrier not subject to § 91.865 or § 91.867 of this part that conducts operations between the contiguous U.S. and the State of Hawaii, between the State of Hawaii and any point outside of the contiguous United States, or between the islands of Hawaii in turnaround service, on or since November 5, 1990, shall submit an annual report to the FAA, Office of Environment and Energy, on its compliance with the Hawaiian operations provisions of 49 U.S.C. 47528. Such reports shall be submitted no later than 45 days after the end of a calendar year. All progress reports must provide the information through the end of the calendar year, be certified by the operator as true and complete (under penalty of 18 U.S.C. 1001), and include the following information—
(1) The name and address of the air carrier or foreign air carrier;
(2) The name, title, and telephone number of the person designated by the air carrier or foreign air carrier to be responsible for ensuring the accuracy of the information in the report; and
(3) The information specified in paragraph (c) of this section.
(c) The following information must be included in reports filed pursuant to this section—
(1) For operations conducted between the contiguous United States and the State of Hawaii—
(i) The number of Stage 2 airplanes used to conduct such operations as of November 5, 1990;
(ii) Any change to that number during the calendar year being reported, including the date of such change;
(2) For air carriers that conduct inter-island turnaround service in the State of Hawaii—
(i) The number of Stage 2 airplanes used to conduct such operations as of November 5, 1990;
(ii) Any change to that number during the calendar year being reported, including the date of such change;
(iii) For an air carrier that provided inter-island trunaround service within the state of Hawaii on November 5, 1990, the number reported under paragraph (c)(2)(i) of this section may include all Stage 2 airplanes with a maximum certificated takeoff weight of more than 75,000 pounds that were owned or leased by the air carrier on November 5, 1990, regardless of whether such airplanes were operated by that air carrier or foreign air carrier on that date.
(3) For operations conducted between the State of Hawaii and a point outside the contiguous United States—
(i) The number of Stage 2 airplanes used to conduct such operations as of November 5, 1990; and
(ii) Any change to that number during the calendar year being reported, including the date of such change.
(d) Reports or amended reports for years predating this regulation are required to be filed concurrently with the next annual report.
Except as provided in § 91.883, after December 31, 2015, a person may not operate to or from an airport in the contiguous United States a civil subsonic jet airplane subject to § 91.801(e) of this subpart that weighs less than 75,000 pounds unless that airplane has been shown to comply with Stage 3, Stage 4, or Stage 5 noise levels.
(a) After December 31, 2015, an operator of a jet airplane weighing 75,000 pounds or less that does not comply with Stage 3 noise levels may, when granted a special flight authorization by the FAA, operate that airplane in the contiguous United States only for one of the following purposes:
(1) To sell, lease, or use the airplane outside the 48 contiguous States;
(2) To scrap the airplane;
(3) To obtain modifications to the airplane to meet Stage 3, Stage 4, or Stage 5 noise levels.
(4) To perform scheduled heavy maintenance or significant modifications on the airplane at a maintenance facility located in the contiguous 48 States;
(5) To deliver the airplane to an operator leasing the airplane from the owner or return the airplane to the lessor;
(6) To prepare, park, or store the airplane in anticipation of any of the activities described in paragraphs (a)(1) through (a)(5) of this section;
(7) To provide transport of persons and goods in the relief of an emergency situation; or
(8) To divert the airplane to an alternative airport in the 48 contiguous States on account of weather, mechanical, fuel, air traffic control, or other safety reasons while conducting a flight in order to perform any of the activities described in paragraphs (a)(1) through (a)(7) of this section.
(b) An operator of an affected airplane may apply for a special flight authorization for one of the purposes listed in paragraph (a) of this section by filing an application with the FAA's Office of Environment and Energy. Except for emergency relief authorizations sought under paragraph (a)(7) of this section, applications must be filed at least 30 days in advance of the planned flight. All applications must provide the information necessary for the FAA to determine that the planned flight is within the limits prescribed in the law.
(a) The Administrator may issue a certificate of waiver authorizing the operation of aircraft in deviation from any rule listed in this subpart or any rule listed in this subpart as modified by subpart C of part 194 of this chapter if the Administrator finds that the proposed operation can be safely conducted under the terms of that certificate of waiver.
(b) An application for a certificate of waiver under this part is made on a form and in a manner prescribed by the Administrator and may be submitted to any FAA office.
(c) A certificate of waiver is effective as specified in that certificate of waiver.
(a) This subpart prescribes rules, in addition to those prescribed in other subparts of this part, that apply to fractional owners and fractional ownership program managers governing—
(1) The provision of program management services in a fractional ownership program;
(2) The operation of a fractional ownership program aircraft in a fractional ownership program; and
(3) The operation of a program aircraft included in a fractional ownership program managed by an affiliate of the manager of the program to which the owner belongs.
(b) As used in this part—
(1) Affiliate of a program manager means a manager that, directly, or indirectly, through one or more intermediaries, controls, is controlled by, or is under common control with, another program manager. The holding of at least forty percent (40 percent) of the equity and forty percent (40 percent) of the voting power of an entity will be presumed to constitute control for purposes of determining an affiliation under this subpart.
(2) A dry-lease aircraft exchange means an arrangement, documented by the written program agreements, under which the program aircraft are available, on an as needed basis without crew, to each fractional owner.
(3) A fractional owner or owner means an individual or entity that possesses a minimum fractional ownership interest in a program aircraft and that has entered into the applicable program agreements; provided, however, that in the case of the flight operations described in paragraph (b)(6)(ii) of this section, and solely for purposes of requirements pertaining to those flight operations, the fractional owner operating the aircraft will be deemed to be a fractional owner in the program managed by the affiliate.
(4) A fractional ownership interest means the ownership of an interest or holding of a multi-year leasehold interest and/or a multi-year leasehold interest that is convertible into an ownership interest in a program aircraft.
(5) A fractional ownership program or program means any system of aircraft ownership and exchange that consists of all of the following elements:
(i) The provision for fractional ownership program management services by a single fractional ownership program manager on behalf of the fractional owners.
(ii) Two or more airworthy aircraft.
(iii) One or more fractional owners per program aircraft, with at least one program aircraft having more than one owner.
(iv) Possession of at least a minimum fractional ownership interest in one or more program aircraft by each fractional owner.
(v) A dry-lease aircraft exchange arrangement among all of the fractional owners.
(vi) Multi-year program agreements covering the fractional ownership, fractional ownership program management services, and dry-lease aircraft exchange aspects of the program.
(6) A fractional ownership program aircraft or program aircraft means:
(i) An aircraft in which a fractional owner has a minimal fractional ownership interest and that has been included in the dry-lease aircraft exchange pursuant to the program agreements, or
(ii) In the case of a fractional owner from one program operating an aircraft in a different fractional ownership program managed by an affiliate of the operating owner's program manager, the aircraft being operated by the fractional owner, so long as the aircraft is:
(A) Included in the fractional ownership program managed by the affiliate of the operating owner's program manager, and
(B) Included in the operating owner's program's dry-lease aircraft exchange pursuant to the program agreements of the operating owner's program.
(iii) An aircraft owned in whole or in part by the program manager that has been included in the dry-lease aircraft exchange and is used to supplement program operations.
(7) A Fractional Ownership Program Flight or Program Flight means a flight under this subpart when one or more passengers or property designated by a fractional owner are on board the aircraft.
(8) Fractional ownership program management services or program management services mean administrative and aviation support services furnished in accordance with the applicable requirements of this subpart or provided by the program manager on behalf of the fractional owners, including, but not limited to, the—
(i) Establishment and implementation of program safety guidelines;
(ii) Employment, furnishing, or contracting of pilots and other crewmembers;
(iii) Training and qualification of pilots and other crewmembers and personnel;
(iv) Scheduling and coordination of the program aircraft and crews;
(v) Maintenance of program aircraft;
(vi) Satisfaction of recordkeeping requirements;
(vii) Development and use of a program operations manual and procedures; and
(viii) Application for and maintenance of management specifications and other authorizations and approvals.
(9) A fractional ownership program manager or program manager means the entity that offers fractional ownership program management services to fractional owners, and is designated in the multi-year program agreements referenced in paragraph (b)(5)(vi) of this section to fulfill the requirements of this chapter applicable to the manager of the program containing the aircraft being flown. When a fractional owner is operating an aircraft in a fractional ownership program managed by an affiliate of the owner's program manager, the references in this subpart to the flight-related responsibilities of the program manager apply, with respect to that particular flight, to the affiliate of the owner's program manager rather than to the owner's program manager.
(10) A minimum fractional ownership interest means—
(i) A fractional ownership interest equal to, or greater than, one-sixteenth (
(ii) A fractional ownership interest equal to, or greater than, one-thirty-second (
(c) The rules in this subpart that refer to a fractional owner or a fractional ownership program manager also apply to any person who engages in an operation governed by this subpart without the management specifications required by this subpart.
No person that conducted flights before November 17, 2003 under a program that meets the definition of fractional ownership program in § 91.1001 may conduct such flights after February 17, 2005 unless it has obtained management specifications under this subpart.
Each owner must have a contract with the program manager that—
(a) Requires the program manager to ensure that the program conforms to all applicable requirements of this chapter.
(b) Provides the owner the right to inspect and to audit, or have a designee of the owner inspect and audit, the records of the program manager pertaining to the operational safety of the program and those records required to show compliance with the management specifications and all applicable regulations. These records include, but are not limited to, the management specifications, authorizations, approvals, manuals, log books, and maintenance records maintained by the program manager.
(c) Designates the program manager as the owner's agent to receive service of notices pertaining to the program that the FAA seeks to provide to owners and authorizes the FAA to send such notices to the program manager in its capacity as the agent of the owner for such service.
(d) Acknowledges the FAA's right to contact the owner directly if the Administrator determines that direct contact is necessary.
(a) Except as provided in § 91.321 or § 91.501, no owner may carry persons or property for compensation or hire on a program flight.
(b) During the term of the multi-year program agreements under which a fractional owner has obtained a minimum fractional ownership interest in a program aircraft, the flight hours used during that term by the owner on program aircraft must not exceed the total hours associated with the fractional owner's share of ownership.
(c) No person may sell or lease an aircraft interest in a fractional ownership program that is smaller than that prescribed in the definition of “minimum fractional ownership interest” in § 91.1001(b)(10) unless flights associated with that interest are operated under part 121 or 135 of this chapter and are conducted by an air carrier or commercial operator certificated under part 119 of this chapter.
(a) Except as provided in § 91.501(b), when a nonprogram aircraft is used to substitute for a program flight, the flight must be operated in compliance with part 121 or part 135 of this chapter, as applicable.
(b) A program manager who holds a certificate under part 119 of this chapter may conduct a flight for the use of a fractional owner under part 121 or part 135 of this chapter if the aircraft is listed on that certificate holder's operations specifications for part 121 or part 135, as applicable.
(c) The fractional owner must be informed when a flight is being conducted as a program flight or is being conducted under part 121 or part 135 of this chapter.
(a) An owner is in operational control of a program flight when the owner—
(1) Has the rights and is subject to the limitations set forth in §§ 91.1003 through 91.1013;
(2) Has directed that a program aircraft carry passengers or property designated by that owner; and
(3) The aircraft is carrying those passengers or property.
(b) An owner is not in operational control of a flight in the following circumstances:
(1) A program aircraft is used for a flight for administrative purposes such as demonstration, positioning, ferrying, maintenance, or crew training, and no passengers or property designated by such owner are being carried; or
(2) The aircraft being used for the flight is being operated under part 121 or 135 of this chapter.
(a) Each owner in operational control of a program flight is ultimately responsible for safe operations and for complying with all applicable requirements of this chapter, including those related to airworthiness and operations in connection with the flight. Each owner may delegate some or all of the performance of the tasks associated with carrying out this responsibility to the program manager, and may rely on the program manager for aviation expertise and program management services. When the owner delegates performance of tasks to the program manager or relies on the program manager's expertise, the owner and the program manager are jointly and individually responsible for compliance.
(b) The management specifications, authorizations, and approvals required by this subpart are issued to, and in the sole name of, the program manager on behalf of the fractional owners collectively. The management specifications, authorizations, and approvals will not be affected by any change in ownership of a program aircraft, as long as the aircraft remains a program aircraft in the identified program.
(a) Upon the signing of an initial program management services contract, or a renewal or extension of a program management services contract, the program manager must brief the fractional owner on the owner's operational control responsibilities, and the owner must review and sign an acknowledgment of these operational control responsibilities. The acknowledgment must be included with the program management services contract. The acknowledgment must define when a fractional owner is in operational control and the owner's responsibilities and liabilities under the program. These include:
(1) Responsibility for compliance with the management specifications and all applicable regulations.
(2) Enforcement actions for any noncompliance.
(3) Liability risk in the event of a flight-related occurrence that causes personal injury or property damage.
(b) The fractional owner's signature on the acknowledgment will serve as the owner's affirmation that the owner has read, understands, and accepts the operational control responsibilities described in the acknowledgment.
(c) Each program manager must ensure that the fractional owner or owner's representatives have access to the acknowledgments for such owner's program aircraft. Each program manager must ensure that the FAA has access to the acknowledgments for all program aircraft.
(a) A person applying to the Administrator for management specifications under this subpart must submit an application—
(1) In a form and manner prescribed by the Administrator; and
(2) Containing any information the Administrator requires the applicant to submit.
(b) Management specifications will be issued to the program manager on behalf of the fractional owners if, after investigation, the Administrator finds that the applicant:
(1) Meets the applicable requirements of this subpart; and
(2) Is properly and adequately equipped in accordance with the requirements of this chapter and is able to conduct safe operations under appropriate provisions of part 91 of this chapter and management specifications issued under this subpart.
(c) An application for management specifications will be denied if the Administrator finds that the applicant is not properly or adequately equipped or is not able to conduct safe operations under this part.
(a) Each person conducting operations under this subpart or furnishing fractional ownership program management services to fractional owners must do so in accordance with management specifications issued by the Administrator to the fractional ownership program manager under this subpart. Management specifications must include:
(1) The current list of all fractional owners and types of aircraft, registration markings and serial numbers;
(2) The authorizations, limitations, and certain procedures under which these operations are to be conducted,
(3) Certain other procedures under which each class and size of aircraft is to be operated;
(4) Authorization for an inspection program approved under § 91.1109, including the type of aircraft, the registration markings and serial numbers of each aircraft to be operated under the program. No person may conduct any program flight using any aircraft not listed.
(5) Time limitations, or standards for determining time limitations, for overhauls, inspections, and checks for airframes, engines, propellers, rotors, appliances, and emergency equipment of aircraft.
(6) The specific location of the program manager's principal base of operations and, if different, the address that will serve as the primary point of contact for correspondence between the FAA and the program manager and the name and mailing address of the program manager's agent for service;
(7) Other business names the program manager may use;
(8) Authorization for the method of controlling weight and balance of aircraft;
(9) Any authorized deviation and exemption that applies to the person conducting operations under this subpart; and
(10) Any other information the Administrator determines is necessary.
(b) The program manager may keep the current list of all fractional owners required by paragraph (a)(1) of this section at its principal base of operation or other location approved by the Administrator and referenced in its management specifications. Each program manager shall make this list of owners available for inspection by the Administrator.
(c) Management specifications issued under this subpart are effective unless—
(1) The management specifications are amended as provided in § 91.1017; or
(2) The Administrator suspends or revokes the management specifications.
(d) At least 30 days before it proposes to establish or change the location of its principal base of operations, its main operations base, or its main maintenance base, a program manager must provide written notification to the Flight Standards office that issued the program manager's management specifications.
(e) Each program manager must maintain a complete and separate set of its management specifications at its principal base of operations, or at a place approved by the Administrator, and must make its management specifications available for inspection by the Administrator and the fractional owner(s) to whom the program manager furnishes its services for review and audit.
(f) Each program manager must insert pertinent excerpts of its management specifications, or references thereto, in its program manual and must—
(1) Clearly identify each such excerpt as a part of its management specifications; and
(2) State that compliance with each management specifications requirement is mandatory.
(g) Each program manager must keep each of its employees and other persons who perform duties material to its operations informed of the provisions of its management specifications that apply to that employee's or person's duties and responsibilities.
(h) A program manager may obtain approval to provide a temporary document verifying a flightcrew member's airman certificate and medical certificate privileges under an approved certificate verification plan set forth in the program manager's management specifications. A document provided by the program manager may be carried as an airman certificate or medical certificate on flights within the United States for up to 72 hours.
(a) The Administrator may amend any management specifications issued under this subpart if—
(1) The Administrator determines that safety and the public interest require the amendment of any management specifications; or
(2) The program manager applies for the amendment of any management specifications, and the Administrator determines that safety and the public interest allows the amendment.
(b) Except as provided in paragraph (e) of this section, when the Administrator initiates an amendment of a program manager's management specifications, the following procedure applies:
(1) The Flight Standards office that issued the program manager's management specifications will notify the program manager in writing of the proposed amendment.
(2) The Flight Standards office that issued the program manager's management specifications will set a reasonable period (but not less than 7 days) within which the program manager may submit written information, views, and arguments on the amendment.
(3) After considering all material presented, the Flight Standards office that issued the program manager's management specifications will notify the program manager of—
(i) The adoption of the proposed amendment,
(ii) The partial adoption of the proposed amendment, or
(iii) The withdrawal of the proposed amendment.
(4) If the Flight Standards office that issued the program manager's management specifications issues an amendment of the management specifications, it becomes effective not less than 30 days after the program manager receives notice of it unless—
(i) The Flight Standards office that issued the program manager's management specifications finds under paragraph (e) of this section that there is an emergency requiring immediate action with respect to safety; or
(ii) The program manager petitions for reconsideration of the amendment under paragraph (d) of this section.
(c) When the program manager applies for an amendment to its management specifications, the following procedure applies:
(1) The program manager must file an application to amend its management specifications—
(i) At least 90 days before the date proposed by the applicant for the amendment to become effective, unless a shorter time is approved, in cases such as mergers, acquisitions of operational assets that require an additional showing of safety (for example, proving tests or validation tests), and resumption of operations following a suspension of operations as a result of bankruptcy actions.
(ii) At least 15 days before the date proposed by the applicant for the amendment to become effective in all other cases.
(2) The application must be submitted to the Flight Standards office that issued the program manager's management specifications in a form and manner prescribed by the Administrator.
(3) After considering all material presented, the Flight Standards office that issued the program manager's management specifications will notify the program manager of—
(i) The adoption of the applied for amendment;
(ii) The partial adoption of the applied for amendment; or
(iii) The denial of the applied for amendment. The program manager may petition for reconsideration of a denial under paragraph (d) of this section.
(4) If the Flight Standards office that issued the program manager's management specifications approves the amendment, following coordination with the program manager regarding its implementation, the amendment is effective on the date the Administrator approves it.
(d) When a program manager seeks reconsideration of a decision of the Flight Standards office that issued the program manager's management specifications concerning the amendment of management specifications, the following procedure applies:
(1) The program manager must petition for reconsideration of that decision within 30 days of the date that the program manager receives a notice of denial of the amendment of its management specifications, or of the date it receives notice of an FAA-initiated amendment of its management specifications, whichever circumstance applies.
(2) The program manager must address its petition to the Executive Director, Flight Standards Service.
(3) A petition for reconsideration, if filed within the 30-day period, suspends the effectiveness of any amendment issued by the Flight Standards office that issued the program manager's management specifications unless that office has found, under paragraph (e) of this section, that an emergency exists requiring immediate action with respect to safety.
(4) If a petition for reconsideration is not filed within 30 days, the procedures of paragraph (c) of this section apply.
(e) If the Flight Standards office that issued the program manager's management specifications finds that an emergency exists requiring immediate action with respect to safety that makes the procedures set out in this section impracticable or contrary to the public interest—
(1) The Flight Standards office amends the management specifications and makes the amendment effective on the day the program manager receives notice of it; and
(2) In the notice to the program manager, the Flight Standards office will articulate the reasons for its finding that an emergency exists requiring immediate action with respect to safety or that makes it impracticable or contrary to the public interest to stay the effectiveness of the amendment.
(a) At any time or place, the Administrator may conduct an inspection or test, other than an en route inspection, to determine whether a program manager under this subpart is complying with title 49 of the United States Code, applicable regulations, and the program manager's management specifications.
(b) The program manager must—
(1) Make available to the Administrator at the program manager's principal base of operations, or at a place approved by the Administrator, the program manager's management specifications; and
(2) Allow the Administrator to make any test or inspection, other than an en route inspection, to determine compliance respecting any matter stated in paragraph (a) of this section.
(c) Each employee of, or person used by, the program manager who is responsible for maintaining the program manager's records required by or necessary to demonstrate compliance with this subpart must make those records available to the Administrator.
(d) The Administrator may determine a program manager's continued eligibility to hold its management specifications on any grounds listed in paragraph (a) of this section, or any other appropriate grounds.
(e) Failure by any program manager to make available to the Administrator upon request, the management specifications, or any required record, document, or report is grounds for suspension of all or any part of the program manager's management specifications.
(a) Each program manager must establish an internal anonymous safety reporting procedure that fosters an environment of safety without any potential for retribution for filing the report.
(b) Each program manager must establish procedures to respond to an aviation incident/accident.
(a) Each program manager must prepare and keep current a program operating manual setting forth procedures and policies acceptable to the Administrator. The program manager's management, flight, ground, and maintenance personnel must use this manual to conduct operations under this subpart. However, the Administrator may authorize a deviation from this paragraph if the Administrator finds that, because of the limited size of the operation, part of the manual is not necessary for guidance of management, flight, ground, or maintenance personnel.
(b) Each program manager must maintain at least one copy of the manual at its principal base of operations.
(c) No manual may be contrary to any applicable U.S. regulations, foreign regulations applicable to the program flights in foreign countries, or the program manager's management specifications.
(d) The program manager must make a copy of the manual, or appropriate portions of the manual (and changes and additions), available to its maintenance and ground operations personnel and must furnish the manual to—
(1) Its crewmembers; and
(2) Representatives of the Administrator assigned to the program manager.
(e) Each employee of the program manager to whom a manual or appropriate portions of it are furnished under paragraph (d)(1) of this section must keep it up-to-date with the changes and additions furnished to them.
(f) The program manager must ensure the appropriate parts of the manual are accessible to flight, ground, and maintenance personnel at all times when such personnel are performing their assigned duties.
(g) The information and instructions contained in the manual must be displayed clearly and be retrievable in the English language.
(h) Program managers that are also certificated to operate under part 121 or 135 of this chapter may be authorized to use the operating manual required by those parts to meet the manual requirements of subpart K, provided:
(1) The policies and procedures are consistent for both operations, or
(2) When policies and procedures are different, the applicable policies and procedures are identified and used.
Each program operating manual accessed in paper format must display the date of last revision on each page. Each program operating manual accessed in electronic format must display the date of last revision in a manner in which a person can immediately ascertain it. Unless otherwise authorized by the Administrator, the manual must include the following:
(a) Procedures for ensuring compliance with aircraft weight and balance limitations;
(b) Copies of the program manager's management specifications or appropriate extracted information, including area of operations authorized, category and class of aircraft authorized, crew complements, and types of operations authorized;
(c) Procedures for complying with accident notification requirements;
(d) Procedures for ensuring that the pilot in command knows that required airworthiness inspections have been made and that the aircraft has been approved for return to service in compliance with applicable maintenance requirements;
(e) Procedures for reporting and recording mechanical irregularities that come to the attention of the pilot in command before, during, and after completion of a flight;
(f) Procedures to be followed by the pilot in command for determining that mechanical irregularities or defects reported for previous flights have been corrected or that correction of certain mechanical irregularities or defects have been deferred;
(g) Procedures to be followed by the pilot in command to obtain maintenance, preventive maintenance, and servicing of the aircraft at a place where previous arrangements have not been made by the program manager or owner, when the pilot is authorized to so act for the operator;
(h) Procedures under § 91.213 for the release of, and continuation of flight if any item of equipment required for the particular type of operation becomes inoperative or unserviceable en route;
(i) Procedures for refueling aircraft, eliminating fuel contamination, protecting from fire (including electrostatic protection), and supervising and protecting passengers during refueling;
(j) Procedures to be followed by the pilot in command in the briefing under § 91.1035.
(k) Procedures for ensuring compliance with emergency procedures, including a list of the functions assigned each category of required crewmembers in connection with an emergency and emergency evacuation duties;
(l) The approved aircraft inspection program, when applicable;
(m) Procedures for the evacuation of persons who may need the assistance of another person to move expeditiously to an exit if an emergency occurs;
(n) Procedures for performance planning that take into account take off, landing and en route conditions;
(o) An approved Destination Airport Analysis, when required by § 91.1037(c), that includes the following elements, supported by aircraft performance data supplied by the aircraft manufacturer for the appropriate runway conditions—
(1) Pilot qualifications and experience;
(2) Aircraft performance data to include normal, abnormal and emergency procedures as supplied by the aircraft manufacturer;
(3) Airport facilities and topography;
(4) Runway conditions (including contamination);
(5) Airport or area weather reporting;
(6) Appropriate additional runway safety margins, if required;
(7) Airplane inoperative equipment;
(8) Environmental conditions; and
(9) Other criteria that affect aircraft performance.
(p) A suitable system (which may include a coded or electronic system) that provides for preservation and retrieval of maintenance recordkeeping information required by § 91.1113 in a manner acceptable to the Administrator that provides—
(1) A description (or reference to date acceptable to the Administrator) of the work performed:
(2) The name of the person performing the work if the work is performed by a person outside the organization of the program manager; and
(3) The name or other positive identification of the individual approving the work.
(q) Flight locating and scheduling procedures; and
(r) Other procedures and policy instructions regarding program operations that are issued by the program manager or required by the Administrator.
(a) Each program manager must keep at its principal base of operations or at other places approved by the Administrator, and must make available for inspection by the Administrator all of the following:
(1) The program manager's management specifications.
(2) A current list of the aircraft used or available for use in operations under this subpart, the operations for which each is equipped (for example, RNP5/10, RVSM.).
(3) An individual record of each pilot used in operations under this subpart, including the following information:
(i) The full name of the pilot.
(ii) The pilot certificate (by type and number) and ratings that the pilot holds.
(iii) The pilot's aeronautical experience in sufficient detail to determine the pilot's qualifications to pilot aircraft in operations under this subpart.
(iv) The pilot's current duties and the date of the pilot's assignment to those duties.
(v) The effective date and class of the medical certificate that the pilot holds.
(vi) The date and result of each of the initial and recurrent competency tests and proficiency checks required by this subpart and the type of aircraft flown during that test or check.
(vii) The pilot's flight time in sufficient detail to determine compliance with the flight time limitations of this subpart.
(viii) The pilot's check pilot authorization, if any.
(ix) Any action taken concerning the pilot's release from employment for physical or professional disqualification; and
(x) The date of the satisfactory completion of initial, transition, upgrade, and differences training and each recurrent training phase required by this subpart.
(4) An individual record for each flight attendant used in operations under this subpart, including the following information:
(i) The full name of the flight attendant, and
(ii) The date and result of training required by § 91.1063, as applicable.
(5) A current list of all fractional owners and associated aircraft. This list or a reference to its location must be included in the management specifications and should be of sufficient detail to determine the minimum fractional ownership interest of each aircraft.
(b) Each program manager must keep each record required by paragraph (a)(2) of this section for at least 6 months, and must keep each record required by paragraphs (a)(3) and (a)(4) of this section for at least 12 months. When an employee is no longer employed or affiliated with the program manager or fractional owner, each record required by paragraphs (a)(3) and (a)(4) of this section must be retained for at least 12 months.
(c) Each program manager is responsible for the preparation and accuracy of a load manifest in duplicate containing information concerning the loading of the aircraft. The manifest must be prepared before each takeoff and must include—
(1) The number of passengers;
(2) The total weight of the loaded aircraft;
(3) The maximum allowable takeoff weight for that flight;
(4) The center of gravity limits;
(5) The center of gravity of the loaded aircraft, except that the actual center of gravity need not be computed if the aircraft is loaded according to a loading schedule or other approved method that ensures that the center of gravity of the loaded aircraft is within approved limits. In those cases, an entry must be made on the manifest indicating that the center of gravity is within limits according to a loading schedule or other approved method;
(6) The registration number of the aircraft or flight number;
(7) The origin and destination; and
(8) Identification of crewmembers and their crew position assignments.
(d) The pilot in command of the aircraft for which a load manifest must be prepared must carry a copy of the completed load manifest in the aircraft to its destination. The program manager must keep copies of completed load manifest for at least 30 days at its principal operations base, or at another location used by it and approved by the Administrator.
(e) Each program manager is responsible for providing a written document that states the name of the entity having operational control on that flight and the part of this chapter under which the flight is operated. The pilot in command of the aircraft must carry a copy of the document in the aircraft to its destination. The program manager must keep a copy of the document for at least 30 days at its principal operations base, or at another location used by it and approved by the Administrator.
(f) Records may be kept either in paper or other form acceptable to the Administrator.
(g) Program managers that are also certificated to operate under part 121 or 135 of this chapter may satisfy the recordkeeping requirements of this section and of § 91.1113 with records maintained to fulfill equivalent obligations under part 121 or 135 of this chapter.
(a) Each program manager must establish and use an adequate system to schedule and release program aircraft.
(b) Except as provided in paragraph (d) of this section, each program manager must have adequate procedures established for locating each flight, for which a flight plan is not filed, that—
(1) Provide the program manager with at least the information required to be included in a VFR flight plan;
(2) Provide for timely notification of an FAA facility or search and rescue facility, if an aircraft is overdue or missing; and
(3) Provide the program manager with the location, date, and estimated time for reestablishing radio or telephone communications, if the flight will operate in an area where communications cannot be maintained.
(c) Flight locating information must be retained at the program manager's principal base of operations, or at other places designated by the program manager in the flight locating procedures, until the completion of the flight.
(d) The flight locating requirements of paragraph (b) of this section do not apply to a flight for which an FAA flight plan has been filed and the flight plan is canceled within 25 nautical miles of the destination airport.
(a) Each program manager must designate a—
(1) Pilot in command for each program flight; and
(2) Second in command for each program flight requiring two pilots.
(b) The pilot in command, as designated by the program manager, must remain the pilot in command at all times during that flight.
(a) Each program manager must, for all program operations, provide the following materials, in current and appropriate form, accessible to the pilot at the pilot station, and the pilot must use them—
(1) A cockpit checklist;
(2) For multiengine aircraft or for aircraft with retractable landing gear, an emergency cockpit checklist containing the procedures required by paragraph (c) of this section, as appropriate;
(3) At least one set of pertinent aeronautical charts; and
(4) For IFR operations, at least one set of pertinent navigational en route, terminal area, and instrument approach procedure charts.
(b) Each cockpit checklist required by paragraph (a)(1) of this section must contain the following procedures:
(1) Before starting engines;
(2) Before takeoff;
(3) Cruise;
(4) Before landing;
(5) After landing; and
(6) Stopping engines.
(c) Each emergency cockpit checklist required by paragraph (a)(2) of this section must contain the following procedures, as appropriate:
(1) Emergency operation of fuel, hydraulic, electrical, and mechanical systems.
(2) Emergency operation of instruments and controls.
(3) Engine inoperative procedures.
(4) Any other emergency procedures necessary for safety.
(a) Prior to each takeoff, the pilot in command of an aircraft carrying passengers on a program flight must ensure that all passengers have been orally briefed on—
(1) Smoking: Each passenger must be briefed on when, where, and under what conditions smoking is prohibited. This briefing must include a statement, as appropriate, that the regulations require passenger compliance with lighted passenger information signs and no smoking placards, prohibit smoking in lavatories, and require compliance with crewmember instructions with regard to these items;
(2) Use of safety belts, shoulder harnesses, and child restraint systems: Each passenger must be briefed on when, where and under what conditions it is necessary to have his or her safety belt and, if installed, his or her shoulder harness fastened about him or her, and if a child is being transported, the appropriate use of child restraint systems, if available. This briefing must include a statement, as appropriate, that the regulations require passenger compliance with the lighted passenger information sign and/or crewmember instructions with regard to these items;
(3) The placement of seat backs in an upright position before takeoff and landing;
(4) Location and means for opening the passenger entry door and emergency exits;
(5) Location of survival equipment;
(6) Ditching procedures and the use of flotation equipment required under § 91.509 for a flight over water;
(7) The normal and emergency use of oxygen installed in the aircraft; and
(8) Location and operation of fire extinguishers.
(b) Prior to each takeoff, the pilot in command of an aircraft carrying passengers on a program flight must ensure that each person who may need the assistance of another person to move expeditiously to an exit if an emergency occurs and that person's attendant, if any, has received a briefing as to the procedures to be followed if an evacuation occurs. This paragraph does not apply to a person who has been given a briefing before a previous leg of that flight in the same aircraft.
(c) Prior to each takeoff, the pilot in command must advise the passengers of the name of the entity in operational control of the flight.
(d) The oral briefings required by paragraphs (a), (b), and (c) of this section must be given by the pilot in command or another crewmember.
(e) The oral briefing required by paragraph (a) of this section may be delivered by means of an approved recording playback device that is audible to each passenger under normal noise levels.
(f) The oral briefing required by paragraph (a) of this section must be supplemented by printed cards that must be carried in the aircraft in locations convenient for the use of each passenger. The cards must—
(1) Be appropriate for the aircraft on which they are to be used;
(2) Contain a diagram of, and method of operating, the emergency exits; and
(3) Contain other instructions necessary for the use of emergency equipment on board the aircraft.
(a) No program manager or any other person may permit a turbine engine powered large transport category airplane on a program flight to take off that airplane at a weight that (allowing for normal consumption of fuel and oil in flight to the destination or alternate airport) the weight of the airplane on arrival would exceed the landing weight in the Airplane Flight Manual for the elevation of the destination or alternate airport and the ambient temperature expected at the time of landing.
(b) Except as provided in paragraph (c) of this section, no program manager or any other person may permit a turbine engine powered large transport category airplane on a program flight to take off that airplane unless its weight on arrival, allowing for normal consumption of fuel and oil in flight (in accordance with the landing distance in the Airplane Flight Manual for the elevation of the destination airport and the wind conditions expected there at the time of landing), would allow a full stop landing at the intended destination airport within 60 percent of the effective length of each runway described below from a point 50 feet above the intersection of the obstruction clearance plane and the runway. For the purpose of determining the allowable landing weight at the destination airport, the following is assumed:
(1) The airplane is landed on the most favorable runway and in the most favorable direction, in still air.
(2) The airplane is landed on the most suitable runway considering the probable wind velocity and direction and the ground handling characteristics of that airplane, and considering other conditions such as landing aids and terrain.
(c) A program manager or other person flying a turbine engine powered large transport category airplane on a program flight may permit that airplane to take off at a weight in excess of that allowed by paragraph (b) of this section if all of the following conditions exist:
(1) The operation is conducted in accordance with an approved Destination Airport Analysis in that person's program operating manual that contains the elements listed in § 91.1025(o).
(2) The airplane's weight on arrival, allowing for normal consumption of fuel and oil in flight (in accordance with the landing distance in the Airplane Flight Manual for the elevation of the destination airport and the wind conditions expected there at the time of landing), would allow a full stop landing at the intended destination airport within 80 percent of the effective length of each runway described below from a point 50 feet above the intersection of the obstruction clearance plane and the runway. For the purpose of determining the allowable landing weight at the destination airport, the following is assumed:
(i) The airplane is landed on the most favorable runway and in the most favorable direction, in still air.
(ii) The airplane is landed on the most suitable runway considering the probable wind velocity and direction and the ground handling characteristics of that airplane, and considering other conditions such as landing aids and terrain.
(3) The operation is authorized by management specifications.
(d) No program manager or other person may select an airport as an alternate airport for a turbine engine powered large transport category airplane unless (based on the assumptions in paragraph (b) of this section) that airplane, at the weight expected at the time of arrival, can be brought to a full stop landing within 80 percent of the effective length of the runway from a point 50 feet above the intersection of the obstruction clearance plane and the runway.
(e) Unless, based on a showing of actual operating landing techniques on wet runways, a shorter landing distance (but never less than that required by paragraph (b) or (c) of this section) has been approved for a specific type and model airplane and included in the Airplane Flight Manual, no person may take off a turbojet airplane when the appropriate weather reports or forecasts, or any combination of them, indicate that the runways at the destination or alternate airport may be wet or slippery at the estimated time of arrival unless the effective runway length at the destination airport is at least 115 percent of the runway length required under paragraph (b) or (c) of this section.
(a) No pilot on a program aircraft operating a program flight may begin an instrument approach procedure to an airport unless—
(1) Either that airport or the alternate airport has a weather reporting facility operated by the U.S. National Weather Service, a source approved by the U.S. National Weather Service, or a source approved by the Administrator; and
(2) The latest weather report issued by the weather reporting facility includes a current local altimeter setting for the destination airport. If no local altimeter setting is available at the destination airport, the pilot must obtain the current local altimeter setting from a source provided by the facility designated on the approach chart for the destination airport.
(b) For flight planning purposes, if the destination airport does not have a weather reporting facility described in paragraph (a)(1) of this section, the pilot must designate as an alternate an airport that has a weather reporting facility meeting that criteria.
(c) The MDA or Decision Altitude and visibility landing minimums prescribed in part 97 of this chapter or in the program manager's management specifications are increased by 100 feet and
(d) No person may take off an aircraft under IFR from an airport where weather conditions are at or above takeoff minimums but are below authorized IFR landing minimums unless there is an alternate airport within one hour's flying time (at normal cruising speed, in still air) of the airport of departure.
(e) Except as provided in § 91.176 of this chapter, each pilot making an IFR takeoff or approach and landing at an airport must comply with applicable instrument approach procedures and takeoff and landing weather minimums prescribed by the authority having jurisdiction over the airport. In addition, no pilot may take off at that airport when the visibility is less than 600 feet, unless otherwise authorized in the program manager's management specifications for EFVS operations.
(a) No program manager may permit the operation of an aircraft, other than a turbojet aircraft, for which two pilots are required by the type certification requirements of this chapter for operations under VFR, if it has not previously proved such an aircraft in operations under this part in at least 25 hours of proving tests acceptable to the Administrator including—
(1) Five hours of night time, if night flights are to be authorized;
(2) Five instrument approach procedures under simulated or actual conditions, if IFR flights are to be authorized; and
(3) Entry into a representative number of en route airports as determined by the Administrator.
(b) No program manager may permit the operation of a turbojet airplane if it has not previously proved a turbojet airplane in operations under this part in at least 25 hours of proving tests acceptable to the Administrator including—
(1) Five hours of night time, if night flights are to be authorized;
(2) Five instrument approach procedures under simulated or actual conditions, if IFR flights are to be authorized; and
(3) Entry into a representative number of en route airports as determined by the Administrator.
(c) No program manager may carry passengers in an aircraft during proving tests, except those needed to make the tests and those designated by the Administrator to observe the tests. However, pilot flight training may be conducted during the proving tests.
(d) Validation testing is required to determine that a program manager is capable of conducting operations safely and in compliance with applicable regulatory standards. Validation tests are required for the following authorizations:
(1) The addition of an aircraft for which two pilots are required for operations under VFR or a turbojet airplane, if that aircraft or an aircraft of the same make or similar design has not been previously proved or validated in operations under this part.
(2) Operations outside U.S. airspace.
(3) Class II navigation authorizations.
(4) Special performance or operational authorizations.
(e) Validation tests must be accomplished by test methods acceptable to the Administrator. Actual flights may not be required when an applicant can demonstrate competence and compliance with appropriate regulations without conducting a flight.
(f) Proving tests and validation tests may be conducted simultaneously when appropriate.
(g) The Administrator may authorize deviations from this section if the Administrator finds that special circumstances make full compliance with this section unnecessary.
No person may operate a program aircraft on a program flight unless the aircraft is equipped with the following—
(a) Airplanes having a passenger-seat configuration of more than 30 seats or a payload capacity of more than 7,500 pounds:
(1) A cockpit voice recorder as required by § 121.359 of this chapter as applicable to the aircraft specified in that section.
(2) A flight recorder as required by § 121.343 or § 121.344 of this chapter as applicable to the aircraft specified in that section.
(3) A terrain awareness and warning system as required by § 121.354 of this chapter as applicable to the aircraft specified in that section.
(4) A traffic alert and collision avoidance system as required by § 121.356 of this chapter as applicable to the aircraft specified in that section.
(5) Airborne weather radar as required by § 121.357 of this chapter, as applicable to the aircraft specified in that section.
(b) Airplanes having a passenger-seat configuration of 30 seats or fewer, excluding each crewmember, and a payload capacity of 7,500 pounds or less, and any rotorcraft (as applicable):
(1) A cockpit voice recorder as required by § 135.151 of this chapter as applicable to the aircraft specified in that section.
(2) A flight recorder as required by § 135.152 of this chapter as applicable to the aircraft specified in that section.
(3) A terrain awareness and warning system as required by § 135.154 of this chapter as applicable to the aircraft specified in that section.
(4) A traffic alert and collision avoidance system as required by § 135.180 of this chapter as applicable to the aircraft specified in that section.
(5) As applicable to the aircraft specified in that section, either:
(i) Airborne thunderstorm detection equipment as required by § 135.173 of this chapter; or
(ii) Airborne weather radar as required by § 135.175 of this chapter.
(a) Each program manager must provide each direct employee performing flight crewmember, flight attendant, flight instructor, or aircraft maintenance duties with drug and alcohol misuse education.
(b) No program manager may use any contract employee to perform flight crewmember, flight attendant, flight instructor, or aircraft maintenance duties for the program manager unless that contract employee has been provided with drug and alcohol misuse education.
(c) Program managers must disclose to their owners and prospective owners the existence of a company drug and alcohol misuse testing program. If the program manager has implemented a company testing program, the program manager's disclosure must include the following:
(1) Information on the substances that they test for, for example, alcohol and a list of the drugs;
(2) The categories of employees tested, the types of tests, for example, pre-employment, random, reasonable cause/suspicion, post accident, return to duty and follow-up; and
(3) The degree to which the program manager's company testing program is comparable to the federally mandated drug and alcohol testing program required under part 120 of this chapter regarding the information in paragraphs (c)(1) and (c)(2) of this section.
(d) If a program aircraft is operated on a program flight into an airport at which no maintenance personnel are available that are subject to the requirements of paragraphs (a) or (b) of this section and emergency maintenance is required, the program manager may use persons not meeting the requirements of paragraphs (a) or (b) of this section to provide such emergency maintenance under both of the following conditions:
(1) The program manager must notify the Drug Abatement Program Division, AAM-800, 800 Independence Avenue, SW., Washington, DC 20591 in writing within 10 days after being provided emergency maintenance in accordance with this paragraph. The program manager must retain copies of all such written notifications for two years.
(2) The aircraft must be reinspected by maintenance personnel who meet the requirements of paragraph (a) or (b) of this section when the aircraft is next at an airport where such maintenance personnel are available.
(e) For purposes of this section, emergency maintenance means maintenance that—
(1) Is not scheduled, and
(2) Is made necessary by an aircraft condition not discovered prior to the departure for that location.
(f) Notwithstanding paragraphs (a) and (b) of this section, drug and alcohol misuse education conducted under an FAA-approved drug and alcohol misuse prevention program may be used to satisfy these requirements.
(a) Each program manager and each fractional owner must use in program operations on program aircraft flight crews meeting § 91.1053 criteria and qualified under the appropriate regulations. The program manager must provide oversight of those crews.
(b) Each program manager must employ (either directly or by contract) an adequate number of pilots per program aircraft. Flight crew staffing must be determined based on the following factors, at a minimum:
(1) Number of program aircraft.
(2) Program manager flight, duty, and rest time considerations, and in all cases within the limits set forth in §§ 91.1057 through 91.1061.
(3) Vacations.
(4) Operational efficiencies.
(5) Training.
(6) Single pilot operations, if authorized by deviation under paragraph (d) of this section.
(c) Each program manager must publish pilot and flight attendant duty schedules sufficiently in advance to follow the flight, duty, and rest time limits in §§ 91.1057 through 91.1061 in program operations.
(d) Unless otherwise authorized by the Administrator, when any program aircraft is flown in program operations with passengers onboard, the crew must consist of at least two qualified pilots employed or contracted by the program manager or the fractional owner.
(e) The program manager must ensure that trained and qualified scheduling or flight release personnel are on duty to schedule and release program aircraft during all hours that such aircraft are available for program operations.
(a) Except as specified in paragraph (c) of this section, no fractional owner or fractional ownership program manager may knowingly employ or make a contractual arrangement which permits an individual to act as an agent or representative of the fractional owner or fractional ownership program manager in any matter before the Federal Aviation Administration if the individual, in the preceding 2 years—
(1) Served as, or was directly responsible for the oversight of, a Flight Standards Service aviation safety inspector; and
(2) Had direct responsibility to inspect, or oversee the inspection of, the operations of the fractional owner or fractional ownership program manager.
(b) For the purpose of this section, an individual shall be considered to be acting as an agent or representative of a fractional owner or fractional ownership program manager in a matter before the agency if the individual makes any written or oral communication on behalf of the fractional owner or fractional ownership program manager to the agency (or any of its officers or employees) in connection with a particular matter, whether or not involving a specific party and without regard to whether the individual has participated in, or had responsibility for, the particular matter while serving as a Flight Standards Service aviation safety inspector.
(c) The provisions of this section do not prohibit a fractional owner or fractional ownership program manager from knowingly employing or making a contractual arrangement which permits an individual to act as an agent or representative of the fractional owner or fractional ownership program manager in any matter before the Federal Aviation Administration if the individual was employed by the fractional owner or fractional ownership program manager before October 21, 2011.
(a) No program manager or owner may use any person, nor may any person serve, as a pilot in command or second in command of a program aircraft, or as a flight attendant on a program aircraft, in program operations under this subpart unless that person has met the applicable requirements of part 61 of this chapter and has the following experience and ratings:
(1) Total flight time for all pilots:
(i) Pilot in command—A minimum of 1,500 hours.
(ii) Second in command—A minimum of 500 hours.
(2) For multi-engine turbine-powered fixed-wing and powered-lift aircraft, the following FAA certification and ratings requirements:
(i) Pilot in command—Airline transport pilot and applicable type ratings not limited to VFR only.
(ii) Second in command—Commercial pilot and instrument ratings.
(iii) Flight attendant (if required or used)—Appropriately trained personnel.
(3) For all other aircraft, the following FAA certification and rating requirements:
(i) Pilot in command—Commercial pilot and instrument ratings.
(ii) Second in command—Commercial pilot and instrument ratings.
(iii) Flight attendant (if required or used)—Appropriately trained personnel.
(b) The Administrator may authorize deviations from paragraph (a)(1) of this section if the Flight Standards office that issued the program manager's management specifications finds that the crewmember has comparable experience, and can effectively perform the functions associated with the position in accordance with the requirements of this chapter. Grants of deviation under this paragraph may be granted after consideration of the size and scope of the operation, the qualifications of the intended personnel and the circumstances set forth in § 91.1055(b)(1) through (3). The Administrator may, at any time, terminate any grant of deviation authority issued under this paragraph.
(a) If the second in command of a fixed-wing program aircraft has fewer than 100 hours of flight time as second in command flying in the aircraft make and model and, if a type rating is required, in the type aircraft being flown, and the pilot in command is not an appropriately qualified check pilot, the pilot in command shall make all takeoffs and landings in any of the following situations:
(1) Landings at the destination airport when a Destination Airport Analysis is required by § 91.1037(c); and
(2) In any of the following conditions:
(i) The prevailing visibility for the airport is at or below
(ii) The runway visual range for the runway to be used is at or below 4,000 feet.
(iii) The runway to be used has water, snow, slush, ice or similar contamination that may adversely affect aircraft performance.
(iv) The braking action on the runway to be used is reported to be less than “good.”
(v) The crosswind component for the runway to be used is in excess of 15 knots.
(vi) Windshear is reported in the vicinity of the airport.
(vii) Any other condition in which the pilot in command determines it to be prudent to exercise the pilot in command's authority.
(b) No program manager may release a program flight under this subpart unless, for that aircraft make or model and, if a type rating is required, for that type aircraft, either the pilot in command or the second in command has at least 75 hours of flight time, either as pilot in command or second in command. The Administrator may, upon application by the program manager, authorize deviations from the requirements of this paragraph by an appropriate amendment to the management specifications in any of the following circumstances:
(1) A newly authorized program manager does not employ any pilots who meet the minimum requirements of this paragraph.
(2) An existing program manager adds to its fleet a new category and class aircraft not used before in its operation.
(3) An existing program manager establishes a new base to which it assigns pilots who will be required to become qualified on the aircraft operated from that base.
(c) No person may be assigned in the capacity of pilot in command in a program operation to more than two aircraft types that require a separate type rating.
(a) For purposes of this subpart—
Augmented flight crew means at least three pilots.
Calendar day means the period of elapsed time, using Coordinated Universal Time or local time that begins at midnight and ends 24 hours later at the next midnight.
Duty period means the period of elapsed time between reporting for an assignment involving flight time and release from that assignment by the program manager. All time between these two points is part of the duty period, even if flight time is interrupted by nonflight-related duties. The time is calculated using either Coordinated Universal Time or local time to reflect the total elapsed time.
Extension of flight time means an increase in the flight time because of circumstances beyond the control of the program manager or flight crewmember (such as adverse weather) that are not known at the time of departure and that prevent the flightcrew from reaching the destination within the planned flight time.
Flight attendant means an individual, other than a flight crewmember, who is assigned by the program manager, in accordance with the required minimum crew complement under the program manager's management specifications or in addition to that minimum complement, to duty in an aircraft during flight time and whose duties include but are not necessarily limited to cabin-safety-related responsibilities.
Multi-time zone flight means an easterly or westerly flight or multiple flights in one direction in the same duty period that results in a time zone difference of 5 or more hours and is conducted in a geographic area that is south of 60 degrees north latitude and north of 60 degrees south latitude.
Reserve status means that status in which a flight crewmember, by arrangement with the program manager: Holds himself or herself fit to fly to the extent that this is within the control of the flight crewmember; remains within a reasonable response time of the aircraft as agreed between the flight crewmember and the program manager; and maintains a ready means whereby the flight crewmember may be contacted by the program manager. Reserve status is not part of any duty period or rest period.
Rest period means a period of time required pursuant to this subpart that is free of all responsibility for work or duty prior to the commencement of, or following completion of, a duty period, and during which the flight crewmember or flight attendant cannot be required to receive contact from the program manager. A rest period does not include any time during which the program manager imposes on a flight crewmember or flight attendant any duty or restraint, including any actual work or present responsibility for work should the occasion arise.
Standby means that portion of a duty period during which a flight crewmember is subject to the control of the program manager and holds himself or herself in a condition of readiness to undertake a flight. Standby is not part of any rest period.
(b) A program manager may assign a crewmember and a crewmember may accept an assignment for flight time only when the applicable requirements of this section and §§ 91.1059-91.1062 are met.
(c) No program manager may assign any crewmember to any duty during any required rest period.
(d) Time spent in transportation, not local in character, that a program manager requires of a crewmember and provides to transport the crewmember to an airport at which he or she is to serve on a flight as a crewmember, or from an airport at which he or she was relieved from duty to return to his or her home station, is not considered part of a rest period.
(e) A flight crewmember may continue a flight assignment if the flight to which he or she is assigned would normally terminate within the flight time limitations, but because of circumstances beyond the control of the program manager or flight crewmember (such as adverse weather conditions), is not at the time of departure expected to reach its destination within the planned flight time. The extension of flight time under this paragraph may not exceed the maximum time limits set forth in § 91.1059.
(f) Each flight assignment must provide for at least 10 consecutive hours of rest during the 24-hour period that precedes the completion time of the assignment.
(g) The program manager must provide each crewmember at least 13 rest periods of at least 24 consecutive hours each in each calendar quarter.
(h) A flight crewmember may decline a flight assignment if, in the flight crewmember's determination, to do so would not be consistent with the standard of safe operation required under this subpart, this part, and applicable provisions of this title.
(i) Any rest period required by this subpart may occur concurrently with any other rest period.
(j) If authorized by the Administrator, a program manager may use the applicable unscheduled flight time limitations, duty period limitations, and rest requirements of part 121 or part 135 of this chapter instead of the flight time limitations, duty period limitations, and rest requirements of this subpart.
(a) No program manager may assign any flight crewmember, and no flight crewmember may accept an assignment, for flight time as a member of a one- or two-pilot crew if that crewmember's total flight time in all commercial flying will exceed—
(1) 500 hours in any calendar quarter;
(2) 800 hours in any two consecutive calendar quarters;
(3) 1,400 hours in any calendar year.
(b) Except as provided in paragraph (c) of this section, during any 24 consecutive hours the total flight time of the assigned flight, when added to any commercial flying by that flight crewmember, may not exceed—
(1) 8 hours for a flight crew consisting of one pilot; or
(2) 10 hours for a flight crew consisting of two pilots qualified under this subpart for the operation being conducted.
(c) No program manager may assign any flight crewmember, and no flight crewmember may accept an assignment, if that crewmember's flight time or duty period will exceed, or rest time will be less than—
| Normal duty | Extension of flight time | |
|---|---|---|
| (1) Minimum Rest Immediately Before Duty | 10 Hours | 10 Hours. |
| (2) Duty Period | Up to 14 Hours | Up to 14 Hours. |
| (3) Flight Time For 1 Pilot | Up to 8 Hours | Exceeding 8 Hours up to 9 Hours. |
| (4) Flight Time For 2 Pilots | Up to 10 Hours | Exceeding 10 Hours up to 12 Hours. |
| (5) Minimum After Duty Rest | 10 Hours | 12 Hours. |
| (6) Minimum After Duty Rest Period for Multi-Time Zone Flights | 14 Hours | 18 Hours. |
(a) No program manager may assign any flight crewmember, and no flight crewmember may accept an assignment, for flight time as a member of an augmented crew if that crewmember's total flight time in all commercial flying will exceed—
(1) 500 hours in any calendar quarter;
(2) 800 hours in any two consecutive calendar quarters;
(3) 1,400 hours in any calendar year.
(b) No program manager may assign any pilot to an augmented crew, unless the program manager ensures:
(1) Adequate sleeping facilities are installed on the aircraft for the pilots.
(2) No more than 8 hours of flight deck duty is accrued in any 24 consecutive hours.
(3) For a three-pilot crew, the crew must consist of at least the following:
(i) A pilot in command (PIC) who meets the applicable flight crewmember requirements of this subpart and § 61.57 of this chapter.
(ii) A PIC qualified pilot who meets the applicable flight crewmember requirements of this subpart and § 61.57(c) and (d) of this chapter.
(iii) A second in command (SIC) who meets the SIC qualifications of this subpart. For flight under IFR, that person must also meet the recent instrument experience requirements of part 61 of this chapter.
(4) For a four-pilot crew, at least three pilots who meet the conditions of paragraph (b)(3) of this section, plus a fourth pilot who meets the SIC qualifications of this subpart. For flight under IFR, that person must also meet the recent instrument experience requirements of part 61 of this chapter.
(c) No program manager may assign any flight crewmember, and no flight crewmember may accept an assignment, if that crewmember's flight time or duty period will exceed, or rest time will be less than—
| 3-Pilot crew | 4-Pilot crew | |
|---|---|---|
| (1) Minimum Rest Immediately Before Duty | 10 Hours | 10 Hours |
| (2) Duty Period | Up to 16 Hours | Up to 18 Hours |
| (3) Flight Time | Up to 12 Hours | Up to 16 Hours |
| (4) Minimum After Duty Rest | 12 Hours | 18 Hours |
| (5) Minimum After Duty Rest Period for Multi-Time Zone Flights | 18 hours | 24 hours |
(a) Except as provided in paragraph (b) of this section, a program manager may assign a duty period to a flight attendant only when the assignment meets the applicable duty period limitations and rest requirements of this paragraph.
(1) Except as provided in paragraphs (a)(4), (a)(5), and (a)(6) of this section, no program manager may assign a flight attendant to a scheduled duty period of more than 14 hours.
(2) Except as provided in paragraph (a)(3) of this section, a flight attendant scheduled to a duty period of 14 hours or less as provided under paragraph (a)(1) of this section must be given a scheduled rest period of at least 9 consecutive hours. This rest period must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(3) The rest period required under paragraph (a)(2) of this section may be scheduled or reduced to 8 consecutive hours if the flight attendant is provided a subsequent rest period of at least 10 consecutive hours; this subsequent rest period must be scheduled to begin no later than 24 hours after the beginning of the reduced rest period and must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(4) A program manager may assign a flight attendant to a scheduled duty period of more than 14 hours, but no more than 16 hours, if the program manager has assigned to the flight or flights in that duty period at least one flight attendant in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the program manager's management specifications.
(5) A program manager may assign a flight attendant to a scheduled duty period of more than 16 hours, but no more than 18 hours, if the program manager has assigned to the flight or flights in that duty period at least two flight attendants in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the program manager's management specifications.
(6) A program manager may assign a flight attendant to a scheduled duty period of more than 18 hours, but no more than 20 hours, if the scheduled duty period includes one or more flights that land or take off outside the 48 contiguous states and the District of Columbia, and if the program manager has assigned to the flight or flights in that duty period at least three flight attendants in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the program manager's management specifications.
(7) Except as provided in paragraph (a)(8) of this section, a flight attendant scheduled to a duty period of more than 14 hours but no more than 20 hours, as provided in paragraphs (a)(4), (a)(5), and (a)(6) of this section, must be given a scheduled rest period of at least 12 consecutive hours. This rest period must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(8) The rest period required under paragraph (a)(7) of this section may be scheduled or reduced to 10 consecutive hours if the flight attendant is provided a subsequent rest period of at least 14 consecutive hours; this subsequent rest period must be scheduled to begin no later than 24 hours after the beginning of the reduced rest period and must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(9) Notwithstanding paragraphs (a)(4), (a)(5), and (a)(6) of this section, if a program manager elects to reduce the rest period to 10 hours as authorized by paragraph (a)(8) of this section, the program manager may not schedule a flight attendant for a duty period of more than 14 hours during the 24-hour period commencing after the beginning of the reduced rest period.
(b) Notwithstanding paragraph (a) of this section, a program manager may apply the flight crewmember flight time and duty limitations and rest requirements of this part to flight attendants for all operations conducted under this part provided that the program manager establishes written procedures that—
(1) Apply to all flight attendants used in the program manager's operation;
(2) Include the flight crewmember rest and duty requirements of §§ 91.1057, 91.1059, and 91.1061, as appropriate to the operation being conducted, except that rest facilities on board the aircraft are not required;
(3) Include provisions to add one flight attendant to the minimum flight attendant complement for each flight crewmember who is in excess of the minimum number required in the aircraft type certificate data sheet and who is assigned to the aircraft under the provisions of § 91.1061; and
(4) Are approved by the Administrator and described or referenced in the program manager's management specifications.
(a) Sections 91.1065 through 91.1107:
(1) Prescribe the tests and checks required for pilots and flight attendant crewmembers and for the approval of check pilots in operations under this subpart;
(2) Prescribe the requirements for establishing and maintaining an approved training program for crewmembers, check pilots and instructors, and other operations personnel employed or used by the program manager in program operations;
(3) Prescribe the requirements for the qualification, approval and use of aircraft simulators and flight training devices in the conduct of an approved training program; and
(4) Permits training center personnel authorized under part 142 of this chapter who meet the requirements of § 91.1075 to conduct training, testing and checking under contract or other arrangements to those persons subject to the requirements of this subpart.
(b) If authorized by the Administrator, a program manager may comply with the applicable training and testing sections of part 121, subparts N and O of this chapter instead of §§ 91.1065 through 91.1107, provided that the following additional limitations and allowances apply to program managers so authorized:
(1) Operating experience and operations familiarization. Program managers are not required to comply with the operating experience requirements of § 121.434 or the operations familiarization requirements of § 121.435 of this chapter.
(2) Upgrade training. (i) Each program manager must include in upgrade ground training for pilots, instruction in at least the subjects identified in § 121.419(a) of this chapter, as applicable to their assigned duties; and, for pilots serving in crews of two or more pilots, instruction and facilitated discussion in the subjects identified in § 121.419(c) of this chapter.
(ii) Each program manager must include in upgrade flight training for pilots, flight training for the maneuvers and procedures required in § 121.424(a), (c), (e), and (f) of this chapter; and, for pilots serving in crews of two or more pilots, the flight training required in § 121.424(b) of this chapter.
(3) Initial and recurrent leadership and command and mentoring training. Program managers are not required to include leadership and command training in §§ 121.409(b)(2)(ii)(B)(6), 121.419(c)(1), 121.424(b) and 121.427(d)(1) of this chapter, and mentoring training in §§ 121.419(c)(2) and 121.427(d)(1) of this chapter in initial and recurrent training for pilots in command who serve in operations that use only one pilot.
(4) One-time leadership and command and mentoring training. Section 121.429 of this chapter does not apply to program managers conducting operations under this subpart when those operations use only one pilot.
(c) If authorized by the Administrator, a program manager may comply with the applicable training and testing sections of subparts G and H of part 135 of this chapter instead of §§ 91.1065 through 91.1107, except for the operating experience requirements of § 135.244 of this chapter.
(d) For the purposes of this subpart, the following terms and definitions apply:
(1) Initial training. The training required for crewmembers who have not qualified and served in the same capacity on an aircraft.
(2) Transition training. The training required for crewmembers who have qualified and served in the same capacity on another aircraft.
(3) Upgrade training. The training required for crewmembers who have qualified and served as second in command on a particular aircraft type, before they serve as pilot in command on that aircraft.
(4) Differences training. The training required for crewmembers who have qualified and served on a particular type aircraft, when the Administrator finds differences training is necessary before a crewmember serves in the same capacity on a particular variation of that aircraft.
(5) Recurrent training. The training required for crewmembers to remain adequately trained and currently proficient for each aircraft crewmember position, and type of operation in which the crewmember serves.
(6) In flight. The maneuvers, procedures, or functions that will be conducted in the aircraft.
(7) Training center. An organization governed by the applicable requirements of part 142 of this chapter that conducts training, testing, and checking under contract or other arrangement to program managers subject to the requirements of this subpart.
(8) Requalification training. The training required for crewmembers previously trained and qualified, but who have become unqualified because of not having met within the required period any of the following:
(i) Recurrent crewmember training requirements of § 91.1107.
(ii) Instrument proficiency check requirements of § 91.1069.
(iii) Testing requirements of § 91.1065.
(iv) Recurrent flight attendant testing requirements of § 91.1067.
(a) No program manager or owner may use a pilot, nor may any person serve as a pilot, unless, since the beginning of the 12th month before that service, that pilot has passed either a written or oral test (or a combination), given by the Administrator or an authorized check pilot, on that pilot's knowledge in the following areas—
(1) The appropriate provisions of parts 61 and 91 of this chapter and the management specifications and the operating manual of the program manager;
(2) For each type of aircraft to be flown by the pilot, the aircraft powerplant, major components and systems, major appliances, performance and operating limitations, standard and emergency operating procedures, and the contents of the accepted operating manual or equivalent, as applicable;
(3) For each type of aircraft to be flown by the pilot, the method of determining compliance with weight and balance limitations for takeoff, landing and en route operations;
(4) Navigation and use of air navigation aids appropriate to the operation or pilot authorization, including, when applicable, instrument approach facilities and procedures;
(5) Air traffic control procedures, including IFR procedures when applicable;
(6) Meteorology in general, including the principles of frontal systems, icing, fog, thunderstorms, and windshear, and, if appropriate for the operation of the program manager, high altitude weather;
(7) Procedures for—
(i) Recognizing and avoiding severe weather situations;
(ii) Escaping from severe weather situations, in case of inadvertent encounters, including low-altitude windshear (except that rotorcraft aircraft pilots are not required to be tested on escaping from low-altitude windshear); and
(iii) Operating in or near thunderstorms (including best penetration altitudes), turbulent air (including clear air turbulence), icing, hail, and other potentially hazardous meteorological conditions; and
(8) New equipment, procedures, or techniques, as appropriate.
(b) No program manager or owner may use a pilot, nor may any person serve as a pilot, in any aircraft unless, since the beginning of the 12th month before that service, that pilot has passed a competency check given by the Administrator or an authorized check pilot in that class of aircraft, if single-engine aircraft other than turbojet, or that type of aircraft, if rotorcraft, multiengine aircraft, or turbojet airplane, to determine the pilot's competence in practical skills and techniques in that aircraft or class of aircraft. The extent of the competency check will be determined by the Administrator or authorized check pilot conducting the competency check. The competency check may include any of the maneuvers and procedures currently required for the original issuance of the particular pilot certificate required for the operations authorized and appropriate to the category, class and type of aircraft involved. For the purposes of this paragraph, type, as to an airplane, means any one of a group of airplanes determined by the Administrator to have a similar means of propulsion, the same manufacturer, and no significantly different handling or flight characteristics. For the purposes of this paragraph, type, as to a rotorcraft, means a basic make and model.
(c) The instrument proficiency check required by § 91.1069 may be substituted for the competency check required by this section for the type of aircraft used in the check.
(d) For the purpose of this subpart, competent performance of a procedure or maneuver by a person to be used as a pilot requires that the pilot be the obvious master of the aircraft, with the successful outcome of the maneuver never in doubt.
(e) The Administrator or authorized check pilot certifies the competency of each pilot who passes the knowledge or flight check in the program manager's pilot records.
(f) All or portions of a required competency check may be given in an aircraft simulator or other appropriate training device, if approved by the Administrator.
(g) If the program manager is authorized to conduct EFVS operations, the competency check in paragraph (b) of this section must include tasks appropriate to the EFVS operations the certificate holder is authorized to conduct.
No program manager or owner may use a flight attendant crewmember, nor may any person serve as a flight attendant crewmember unless, since the beginning of the 12th month before that service, the program manager has determined by appropriate initial and recurrent testing that the person is knowledgeable and competent in the following areas as appropriate to assigned duties and responsibilities—
(a) Authority of the pilot in command;
(b) Passenger handling, including procedures to be followed in handling deranged persons or other persons whose conduct might jeopardize safety;
(c) Crewmember assignments, functions, and responsibilities during ditching and evacuation of persons who may need the assistance of another person to move expeditiously to an exit in an emergency;
(d) Briefing of passengers;
(e) Location and operation of portable fire extinguishers and other items of emergency equipment;
(f) Proper use of cabin equipment and controls;
(g) Location and operation of passenger oxygen equipment;
(h) Location and operation of all normal and emergency exits, including evacuation slides and escape ropes; and
(i) Seating of persons who may need assistance of another person to move rapidly to an exit in an emergency as prescribed by the program manager's operations manual.
(a) No program manager or owner may use a pilot, nor may any person serve, as a pilot in command of an aircraft under IFR unless, since the beginning of the 6th month before that service, that pilot has passed an instrument proficiency check under this section administered by the Administrator or an authorized check pilot.
(b) No program manager or owner may use a pilot, nor may any person serve, as a second command pilot of an aircraft under IFR unless, since the beginning of the 12th month before that service, that pilot has passed an instrument proficiency check under this section administered by the Administrator or an authorized check pilot.
(c) No pilot may use any type of precision instrument approach procedure under IFR unless, since the beginning of the 6th month before that use, the pilot satisfactorily demonstrated that type of approach procedure. No pilot may use any type of nonprecision approach procedure under IFR unless, since the beginning of the 6th month before that use, the pilot has satisfactorily demonstrated either that type of approach procedure or any other two different types of nonprecision approach procedures. The instrument approach procedure or procedures must include at least one straight-in approach, one circling approach, and one missed approach. Each type of approach procedure demonstrated must be conducted to published minimums for that procedure.
(d) The instrument proficiency checks required by paragraphs (a) and (b) of this section consists of either an oral or written equipment test (or a combination) and a flight check under simulated or actual IFR conditions. The equipment test includes questions on emergency procedures, engine operation, fuel and lubrication systems, power settings, stall speeds, best engine-out speed, propeller and supercharger operations, and hydraulic, mechanical, and electrical systems, as appropriate. The flight check includes navigation by instruments, recovery from simulated emergencies, and standard instrument approaches involving navigational facilities which that pilot is to be authorized to use.
(e) Each pilot taking the instrument proficiency check must show that standard of competence required by § 91.1065(d).
(1) The instrument proficiency check must—
(i) For a pilot in command of an aircraft requiring that the PIC hold an airline transport pilot certificate, include the procedures and maneuvers for an airline transport pilot certificate in the particular type of aircraft, if appropriate; and
(ii) For a pilot in command of a rotorcraft or a second in command of any aircraft requiring that the SIC hold a commercial pilot certificate include the procedures and maneuvers for a commercial pilot certificate with an instrument rating and, if required, for the appropriate type rating.
(2) The instrument proficiency check must be given by an authorized check pilot or by the Administrator.
(f) If the pilot is assigned to pilot only one type of aircraft, that pilot must take the instrument proficiency check required by paragraph (a) of this section in that type of aircraft.
(g) If the pilot in command is assigned to pilot more than one type of aircraft, that pilot must take the instrument proficiency check required by paragraph (a) of this section in each type of aircraft to which that pilot is assigned, in rotation, but not more than one flight check during each period described in paragraph (a) of this section.
(h) If the pilot in command is assigned to pilot both single-engine and multiengine aircraft, that pilot must initially take the instrument proficiency check required by paragraph (a) of this section in a multiengine aircraft, and each succeeding check alternately in single-engine and multiengine aircraft, but not more than one flight check during each period described in paragraph (a) of this section.
(i) All or portions of a required flight check may be given in an aircraft simulator or other appropriate training device, if approved by the Administrator.
(a) If a crewmember who is required to take a test or a flight check under this subpart, completes the test or flight check in the month before or after the month in which it is required, that crewmember is considered to have completed the test or check in the month in which it is required.
(b) If a pilot being checked under this subpart fails any of the required maneuvers, the person giving the check may give additional training to the pilot during the course of the check. In addition to repeating the maneuvers failed, the person giving the check may require the pilot being checked to repeat any other maneuvers that are necessary to determine the pilot's proficiency. If the pilot being checked is unable to demonstrate satisfactory performance to the person conducting the check, the program manager may not use the pilot, nor may the pilot serve, as a flight crewmember in operations under this subpart until the pilot has satisfactorily completed the check. If a pilot who demonstrates unsatisfactory performance is employed as a pilot for a certificate holder operating under part 121, 125, or 135 of this chapter, he or she must notify that certificate holder of the unsatisfactory performance.
(a) Each program manager must have a training program and must:
(1) Establish, obtain the appropriate initial and final approval of, and provide a training program that meets this subpart and that ensures that each crewmember, including each flight attendant if the program manager uses a flight attendant crewmember, flight instructor, check pilot, and each person assigned duties for the carriage and handling of hazardous materials (as defined in 49 CFR 171.8) is adequately trained to perform these assigned duties.
(2) Provide adequate ground and flight training facilities and properly qualified ground instructors for the training required by this subpart.
(3) Provide and keep current for each aircraft type used and, if applicable, the particular variations within the aircraft type, appropriate training material, examinations, forms, instructions, and procedures for use in conducting the training and checks required by this subpart.
(4) Provide enough flight instructors, check pilots, and simulator instructors to conduct required flight training and flight checks, and simulator training courses allowed under this subpart.
(b) Whenever a crewmember who is required to take recurrent training under this subpart completes the training in the month before, or the month after, the month in which that training is required, the crewmember is considered to have completed it in the month in which it was required.
(c) Each instructor, supervisor, or check pilot who is responsible for a particular ground training subject, segment of flight training, course of training, flight check, or competence check under this subpart must certify as to the proficiency and knowledge of the crewmember, flight instructor, or check pilot concerned upon completion of that training or check. That certification must be made a part of the crewmember's record. When the certification required by this paragraph is made by an entry in a computerized recordkeeping system, the certifying instructor, supervisor, or check pilot, must be identified with that entry. However, the signature of the certifying instructor, supervisor, or check pilot is not required for computerized entries.
(d) Training subjects that apply to more than one aircraft or crewmember position and that have been satisfactorily completed during previous training while employed by the program manager for another aircraft or another crewmember position, need not be repeated during subsequent training other than recurrent training.
(e) Aircraft simulators and other training devices may be used in the program manager's training program if approved by the Administrator.
(f) Each program manager is responsible for establishing safe and efficient crew management practices for all phases of flight in program operations including crew resource management training for all crewmembers used in program operations.
(g) If an aircraft simulator has been approved by the Administrator for use in the program manager's training program, the program manager must ensure that each pilot annually completes at least one flight training session in an approved simulator for at least one program aircraft. The training session may be the flight training portion of any of the pilot training or check requirements of this subpart, including the initial, transition, upgrade, requalification, differences, or recurrent training, or the accomplishment of a competency check or instrument proficiency check. If there is no approved simulator for that aircraft type in operation, then all flight training and checking must be accomplished in the aircraft.
Other than the program manager, only the following are eligible under this subpart to conduct training, testing, and checking under contract or other arrangement to those persons subject to the requirements of this subpart.
(a) Another program manager operating under this subpart:
(b) A training center certificated under part 142 of this chapter to conduct training, testing, and checking required by this subpart if the training center—
(1) Holds applicable training specifications issued under part 142 of this chapter;
(2) Has facilities, training equipment, and courseware meeting the applicable requirements of part 142 of this chapter;
(3) Has approved curriculums, curriculum segments, and portions of curriculum segments applicable for use in training courses required by this subpart; and
(4) Has sufficient instructors and check pilots qualified under the applicable requirements of §§ 91.1089 through 91.1095 to conduct training, testing, and checking to persons subject to the requirements of this subpart.
(c) A part 119 certificate holder operating under part 121 or part 135 of this chapter.
(d) As authorized by the Administrator, a training center that is not certificated under part 142 of this chapter.
(a) To obtain initial and final approval of a training program, or a revision to an approved training program, each program manager must submit to the Administrator—
(1) An outline of the proposed or revised curriculum, that provides enough information for a preliminary evaluation of the proposed training program or revision; and
(2) Additional relevant information that may be requested by the Administrator.
(b) If the proposed training program or revision complies with this subpart, the Administrator grants initial approval in writing after which the program manager may conduct the training under that program. The Administrator then evaluates the effectiveness of the training program and advises the program manager of deficiencies, if any, that must be corrected.
(c) The Administrator grants final approval of the proposed training program or revision if the program manager shows that the training conducted under the initial approval in paragraph (b) of this section ensures that each person who successfully completes the training is adequately trained to perform that person's assigned duties.
(d) Whenever the Administrator finds that revisions are necessary for the continued adequacy of a training program that has been granted final approval, the program manager must, after notification by the Administrator, make any changes in the program that are found necessary by the Administrator. Within 30 days after the program manager receives the notice, it may file a petition to reconsider the notice with the Administrator. The filing of a petition to reconsider stays the notice pending a decision by the Administrator. However, if the Administrator finds that there is an emergency that requires immediate action in the interest of safety, the Administrator may, upon a statement of the reasons, require a change effective without stay.
(a) Each program manager must prepare and keep current a written training program curriculum for each type of aircraft for each crewmember required for that type aircraft. The curriculum must include ground and flight training required by this subpart.
(b) Each training program curriculum must include the following:
(1) A list of principal ground training subjects, including emergency training subjects, that are provided.
(2) A list of all the training devices, mock-ups, systems trainers, procedures trainers, or other training aids that the program manager will use.
(3) Detailed descriptions or pictorial displays of the approved normal, abnormal, and emergency maneuvers, procedures and functions that will be performed during each flight training phase or flight check, indicating those maneuvers, procedures and functions that are to be performed during the inflight portions of flight training and flight checks.
(a) Each program manager must include in its training program the following initial and transition ground training as appropriate to the particular assignment of the crewmember:
(1) Basic indoctrination ground training for newly hired crewmembers including instruction in at least the—
(i) Duties and responsibilities of crewmembers as applicable;
(ii) Appropriate provisions of this chapter;
(iii) Contents of the program manager's management specifications (not required for flight attendants); and
(iv) Appropriate portions of the program manager's operating manual.
(2) The initial and transition ground training in §§ 91.1101 and 91.1105, as applicable.
(3) Emergency training in § 91.1083.
(b) Each training program must provide the initial and transition flight training in § 91.1103, as applicable.
(c) Each training program must provide recurrent ground and flight training as provided in § 91.1107.
(d) Upgrade training in §§ 91.1101 and 91.1103 for a particular type aircraft may be included in the training program for crewmembers who have qualified and served as second in command on that aircraft.
(e) In addition to initial, transition, upgrade and recurrent training, each training program must provide ground and flight training, instruction, and practice necessary to ensure that each crewmember—
(1) Remains adequately trained and currently proficient for each aircraft, crewmember position, and type of operation in which the crewmember serves; and
(2) Qualifies in new equipment, facilities, procedures, and techniques, including modifications to aircraft.
(a) Each training program must provide emergency training under this section for each aircraft type, model, and configuration, each crewmember, and each kind of operation conducted, as appropriate for each crewmember and the program manager.
(b) Emergency training must provide the following:
(1) Instruction in emergency assignments and procedures, including coordination among crewmembers.
(2) Individual instruction in the location, function, and operation of emergency equipment including—
(i) Equipment used in ditching and evacuation;
(ii) First aid equipment and its proper use; and
(iii) Portable fire extinguishers, with emphasis on the type of extinguisher to be used on different classes of fires.
(3) Instruction in the handling of emergency situations including—
(i) Rapid decompression;
(ii) Fire in flight or on the surface and smoke control procedures with emphasis on electrical equipment and related circuit breakers found in cabin areas;
(iii) Ditching and evacuation;
(iv) Illness, injury, or other abnormal situations involving passengers or crewmembers; and
(v) Hijacking and other unusual situations.
(4) Review and discussion of previous aircraft accidents and incidents involving actual emergency situations.
(c) Each crewmember must perform at least the following emergency drills, using the proper emergency equipment and procedures, unless the Administrator finds that, for a particular drill, the crewmember can be adequately trained by demonstration:
(1) Ditching, if applicable.
(2) Emergency evacuation.
(3) Fire extinguishing and smoke control.
(4) Operation and use of emergency exits, including deployment and use of evacuation slides, if applicable.
(5) Use of crew and passenger oxygen.
(6) Removal of life rafts from the aircraft, inflation of the life rafts, use of lifelines, and boarding of passengers and crew, if applicable.
(7) Donning and inflation of life vests and the use of other individual flotation devices, if applicable.
(d) Crewmembers who serve in operations above 25,000 feet must receive instruction in the following:
(1) Respiration.
(2) Hypoxia.
(3) Duration of consciousness without supplemental oxygen at altitude.
(4) Gas expansion.
(5) Gas bubble formation.
(6) Physical phenomena and incidents of decompression.
No program manager may use any person to perform, and no person may perform, any assigned duties and responsibilities for the handling or carriage of hazardous materials (as defined in 49 CFR 171.8), unless that person has received training in the recognition of hazardous materials.
(a) Training courses using aircraft simulators and other training devices may be included in the program manager's training program if approved by the Administrator.
(b) Each aircraft simulator and other training device that is used in a training course or in checks required under this subpart must meet the following requirements:
(1) It must be specifically approved for—
(i) The program manager; and
(ii) The particular maneuver, procedure, or crewmember function involved.
(2) It must maintain the performance, functional, and other characteristics that are required for approval.
(3) Additionally, for aircraft simulators, it must be—
(i) Approved for the type aircraft and, if applicable, the particular variation within type for which the training or check is being conducted; and
(ii) Modified to conform with any modification to the aircraft being simulated that changes the performance, functional, or other characteristics required for approval.
(c) A particular aircraft simulator or other training device may be used by more than one program manager.
(d) In granting initial and final approval of training programs or revisions to them, the Administrator considers the training devices, methods, and procedures listed in the program manager's curriculum under § 91.1079.
(a) For the purposes of this section and § 91.1093:
(1) A check pilot (aircraft) is a person who is qualified to conduct flight checks in an aircraft, in a flight simulator, or in a flight training device for a particular type aircraft.
(2) A check pilot (simulator) is a person who is qualified to conduct flight checks, but only in a flight simulator, in a flight training device, or both, for a particular type aircraft.
(3) Check pilots (aircraft) and check pilots (simulator) are those check pilots who perform the functions described in § 91.1073(a)(4) and (c).
(b) No program manager may use a person, nor may any person serve as a check pilot (aircraft) in a training program established under this subpart unless, with respect to the aircraft type involved, that person—
(1) Holds the pilot certificates and ratings required to serve as a pilot in command in operations under this subpart;
(2) Has satisfactorily completed the training phases for the aircraft, including recurrent training, that are required to serve as a pilot in command in operations under this subpart;
(3) Has satisfactorily completed the proficiency or competency checks that are required to serve as a pilot in command in operations under this subpart;
(4) Has satisfactorily completed the applicable training requirements of § 91.1093;
(5) Holds at least a Class III medical certificate unless serving as a required crewmember, in which case holds a Class I or Class II medical certificate as appropriate; and
(6) Has been approved by the Administrator for the check pilot duties involved.
(c) No program manager may use a person, nor may any person serve as a check pilot (simulator) in a training program established under this subpart unless, with respect to the aircraft type involved, that person meets the provisions of paragraph (b) of this section, or—
(1) Holds the applicable pilot certificates and ratings, except medical certificate, required to serve as a pilot in command in operations under this subpart;
(2) Has satisfactorily completed the appropriate training phases for the aircraft, including recurrent training, that are required to serve as a pilot in command in operations under this subpart;
(3) Has satisfactorily completed the appropriate proficiency or competency checks that are required to serve as a pilot in command in operations under this subpart;
(4) Has satisfactorily completed the applicable training requirements of § 91.1093; and
(5) Has been approved by the Administrator for the check pilot (simulator) duties involved.
(d) Completion of the requirements in paragraphs (b)(2), (3), and (4) or (c)(2), (3), and (4) of this section, as applicable, must be entered in the individual's training record maintained by the program manager.
(e) A check pilot who does not hold an appropriate medical certificate may function as a check pilot (simulator), but may not serve as a flightcrew member in operations under this subpart.
(f) A check pilot (simulator) must accomplish the following—
(1) Fly at least two flight segments as a required crewmember for the type, class, or category aircraft involved within the 12-month period preceding the performance of any check pilot duty in a flight simulator; or
(2) Before performing any check pilot duty in a flight simulator, satisfactorily complete an approved line-observation program within the period prescribed by that program.
(g) The flight segments or line-observation program required in paragraph (f) of this section are considered to be completed in the month required if completed in the month before or the month after the month in which they are due.
(a) For the purposes of this section and § 91.1095:
(1) A flight instructor (aircraft) is a person who is qualified to instruct in an aircraft, in a flight simulator, or in a flight training device for a particular type, class, or category aircraft.
(2) A flight instructor (simulator) is a person who is qualified to instruct in a flight simulator, in a flight training device, or in both, for a particular type, class, or category aircraft.
(3) Flight instructors (aircraft) and flight instructors (simulator) are those instructors who perform the functions described in § 91.1073(a)(4) and (c).
(b) No program manager may use a person, nor may any person serve as a flight instructor (aircraft) in a training program established under this subpart unless, with respect to the type, class, or category aircraft involved, that person—
(1) Holds the pilot certificates and ratings required to serve as a pilot in command in operations under this subpart or part 121 or 135 of this chapter;
(2) Has satisfactorily completed the training phases for the aircraft, including recurrent training, that are required to serve as a pilot in command in operations under this subpart;
(3) Has satisfactorily completed the proficiency or competency checks that are required to serve as a pilot in command in operations under this subpart;
(4) Has satisfactorily completed the applicable training requirements of § 91.1095; and
(5) Holds at least a Class III medical certificate.
(c) No program manager may use a person, nor may any person serve as a flight instructor (simulator) in a training program established under this subpart, unless, with respect to the type, class, or category aircraft involved, that person meets the provisions of paragraph (b) of this section, or—
(1) Holds the pilot certificates and ratings, except medical certificate, required to serve as a pilot in command in operations under this subpart or part 121 or 135 of this chapter;
(2) Has satisfactorily completed the appropriate training phases for the aircraft, including recurrent training, that are required to serve as a pilot in command in operations under this subpart;
(3) Has satisfactorily completed the appropriate proficiency or competency checks that are required to serve as a pilot in command in operations under this subpart; and
(4) Has satisfactorily completed the applicable training requirements of § 91.1095.
(d) Completion of the requirements in paragraphs (b)(2), (3), and (4) or (c)(2), (3), and (4) of this section, as applicable, must be entered in the individual's training record maintained by the program manager.
(e) A pilot who does not hold a medical certificate may function as a flight instructor in an aircraft if functioning as a non-required crewmember, but may not serve as a flightcrew member in operations under this subpart.
(f) A flight instructor (simulator) must accomplish the following—
(1) Fly at least two flight segments as a required crewmember for the type, class, or category aircraft involved within the 12-month period preceding the performance of any flight instructor duty in a flight simulator; or
(2) Satisfactorily complete an approved line-observation program within the period prescribed by that program preceding the performance of any flight instructor duty in a flight simulator.
(g) The flight segments or line-observation program required in paragraph (f) of this section are considered completed in the month required if completed in the month before, or in the month after, the month in which they are due.
(a) No program manager may use a person nor may any person serve as a check pilot unless—
(1) That person has satisfactorily completed initial or transition check pilot training; and
(2) Within the preceding 24 months, that person satisfactorily conducts a proficiency or competency check under the observation of an FAA inspector or an aircrew designated examiner employed by the program manager. The observation check may be accomplished in part or in full in an aircraft, in a flight simulator, or in a flight training device.
(b) The observation check required by paragraph (a)(2) of this section is considered to have been completed in the month required if completed in the month before or the month after the month in which it is due.
(c) The initial ground training for check pilots must include the following:
(1) Check pilot duties, functions, and responsibilities.
(2) The applicable provisions of the Code of Federal Regulations and the program manager's policies and procedures.
(3) The applicable methods, procedures, and techniques for conducting the required checks.
(4) Proper evaluation of student performance including the detection of—
(i) Improper and insufficient training; and
(ii) Personal characteristics of an applicant that could adversely affect safety.
(5) The corrective action in the case of unsatisfactory checks.
(6) The approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures in the aircraft.
(d) The transition ground training for a check pilot must include the approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures applicable to the aircraft to which the check pilot is in transition.
(e) The initial and transition flight training for a check pilot (aircraft) must include the following—
(1) The safety measures for emergency situations that are likely to develop during a check;
(2) The potential results of improper, untimely, or nonexecution of safety measures during a check;
(3) Training and practice in conducting flight checks from the left and right pilot seats in the required normal, abnormal, and emergency procedures to ensure competence to conduct the pilot flight checks required by this subpart; and
(4) The safety measures to be taken from either pilot seat for emergency situations that are likely to develop during checking.
(f) The requirements of paragraph (e) of this section may be accomplished in full or in part in flight, in a flight simulator, or in a flight training device, as appropriate.
(g) The initial and transition flight training for a check pilot (simulator) must include the following:
(1) Training and practice in conducting flight checks in the required normal, abnormal, and emergency procedures to ensure competence to conduct the flight checks required by this subpart. This training and practice must be accomplished in a flight simulator or in a flight training device.
(2) Training in the operation of flight simulators, flight training devices, or both, to ensure competence to conduct the flight checks required by this subpart.
(a) No program manager may use a person nor may any person serve as a flight instructor unless—
(1) That person has satisfactorily completed initial or transition flight instructor training; and
(2) Within the preceding 24 months, that person satisfactorily conducts instruction under the observation of an FAA inspector, a program manager check pilot, or an aircrew designated examiner employed by the program manager. The observation check may be accomplished in part or in full in an aircraft, in a flight simulator, or in a flight training device.
(b) The observation check required by paragraph (a)(2) of this section is considered to have been completed in the month required if completed in the month before, or the month after, the month in which it is due.
(c) The initial ground training for flight instructors must include the following:
(1) Flight instructor duties, functions, and responsibilities.
(2) The applicable Code of Federal Regulations and the program manager's policies and procedures.
(3) The applicable methods, procedures, and techniques for conducting flight instruction.
(4) Proper evaluation of student performance including the detection of—
(i) Improper and insufficient training; and
(ii) Personal characteristics of an applicant that could adversely affect safety.
(5) The corrective action in the case of unsatisfactory training progress.
(6) The approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures in the aircraft.
(7) Except for holders of a flight instructor certificate—
(i) The fundamental principles of the teaching-learning process;
(ii) Teaching methods and procedures; and
(iii) The instructor-student relationship.
(d) The transition ground training for flight instructors must include the approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures applicable to the type, class, or category aircraft to which the flight instructor is in transition.
(e) The initial and transition flight training for flight instructors (aircraft) must include the following—
(1) The safety measures for emergency situations that are likely to develop during instruction;
(2) The potential results of improper or untimely safety measures during instruction;
(3) Training and practice from the left and right pilot seats in the required normal, abnormal, and emergency maneuvers to ensure competence to conduct the flight instruction required by this subpart; and
(4) The safety measures to be taken from either the left or right pilot seat for emergency situations that are likely to develop during instruction.
(f) The requirements of paragraph (e) of this section may be accomplished in full or in part in flight, in a flight simulator, or in a flight training device, as appropriate.
(g) The initial and transition flight training for a flight instructor (simulator) must include the following:
(1) Training and practice in the required normal, abnormal, and emergency procedures to ensure competence to conduct the flight instruction required by this subpart. These maneuvers and procedures must be accomplished in full or in part in a flight simulator or in a flight training device.
(2) Training in the operation of flight simulators, flight training devices, or both, to ensure competence to conduct the flight instruction required by this subpart.
(a) Each program manager must establish and maintain an approved pilot training program, and each program manager who uses a flight attendant crewmember must establish and maintain an approved flight attendant training program, that is appropriate to the operations to which each pilot and flight attendant is to be assigned, and will ensure that they are adequately trained to meet the applicable knowledge and practical testing requirements of §§ 91.1065 through 91.1071.
(b) Each program manager required to have a training program by paragraph (a) of this section must include in that program ground and flight training curriculums for—
(1) Initial training;
(2) Transition training;
(3) Upgrade training;
(4) Differences training;
(5) Recurrent training; and
(6) Requalification training.
(c) Each program manager must provide current and appropriate study materials for use by each required pilot and flight attendant.
(d) The program manager must furnish copies of the pilot and flight attendant crewmember training program, and all changes and additions, to the assigned representative of the Administrator. If the program manager uses training facilities of other persons, a copy of those training programs or appropriate portions used for those facilities must also be furnished. Curricula that follow FAA published curricula may be cited by reference in the copy of the training program furnished to the representative of the Administrator and need not be furnished with the program.
No program manager may use a person, nor may any person serve, as a crewmember in operations under this subpart unless that crewmember has completed the appropriate initial or recurrent training phase of the training program appropriate to the type of operation in which the crewmember is to serve since the beginning of the 12th month before that service.
Initial, transition, and upgrade ground training for pilots must include instruction in at least the following, as applicable to their duties:
(a) General subjects—
(1) The program manager's flight locating procedures;
(2) Principles and methods for determining weight and balance, and runway limitations for takeoff and landing;
(3) Enough meteorology to ensure a practical knowledge of weather phenomena, including the principles of frontal systems, icing, fog, thunderstorms, windshear and, if appropriate, high altitude weather situations;
(4) Air traffic control systems, procedures, and phraseology;
(5) Navigation and the use of navigational aids, including instrument approach procedures;
(6) Normal and emergency communication procedures;
(7) Visual cues before and during descent below Decision Altitude or MDA; and
(8) Other instructions necessary to ensure the pilot's competence.
(b) For each aircraft type—
(1) A general description;
(2) Performance characteristics;
(3) Engines and propellers;
(4) Major components;
(5) Major aircraft systems (that is, flight controls, electrical, and hydraulic), other systems, as appropriate, principles of normal, abnormal, and emergency operations, appropriate procedures and limitations;
(6) Knowledge and procedures for—
(i) Recognizing and avoiding severe weather situations;
(ii) Escaping from severe weather situations, in case of inadvertent encounters, including low-altitude windshear (except that rotorcraft pilots are not required to be trained in escaping from low-altitude windshear);
(iii) Operating in or near thunderstorms (including best penetration altitudes), turbulent air (including clear air turbulence), inflight icing, hail, and other potentially hazardous meteorological conditions; and
(iv) Operating airplanes during ground icing conditions, (that is, any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the aircraft), if the program manager expects to authorize takeoffs in ground icing conditions, including:
(A) The use of holdover times when using deicing/anti-icing fluids;
(B) Airplane deicing/anti-icing procedures, including inspection and check procedures and responsibilities;
(C) Communications;
(D) Airplane surface contamination (that is, adherence of frost, ice, or snow) and critical area identification, and knowledge of how contamination adversely affects airplane performance and flight characteristics;
(E) Types and characteristics of deicing/anti-icing fluids, if used by the program manager;
(F) Cold weather preflight inspection procedures;
(G) Techniques for recognizing contamination on the airplane;
(7) Operating limitations;
(8) Fuel consumption and cruise control;
(9) Flight planning;
(10) Each normal and emergency procedure; and
(11) The approved Aircraft Flight Manual or equivalent.
(a) Initial, transition, upgrade, requalification, and differences training for pilots must include flight and practice in each of the maneuvers and procedures contained in each of the curriculums that are a part of the approved training program.
(b) The maneuvers and procedures required by paragraph (a) of this section must be performed in flight, except to the extent that certain maneuvers and procedures may be performed in an aircraft simulator, or an appropriate training device, as allowed by this subpart.
(c) If the program manager's approved training program includes a course of training using an aircraft simulator or other training device, each pilot must successfully complete—
(1) Training and practice in the simulator or training device in at least the maneuvers and procedures in this subpart that are capable of being performed in the aircraft simulator or training device; and
(2) A flight check in the aircraft or a check in the simulator or training device to the level of proficiency of a pilot in command or second in command, as applicable, in at least the maneuvers and procedures that are capable of being performed in an aircraft simulator or training device.
Initial and transition ground training for flight attendants must include instruction in at least the following—
(a) General subjects—
(1) The authority of the pilot in command; and
(2) Passenger handling, including procedures to be followed in handling deranged persons or other persons whose conduct might jeopardize safety.
(b) For each aircraft type—
(1) A general description of the aircraft emphasizing physical characteristics that may have a bearing on ditching, evacuation, and inflight emergency procedures and on other related duties;
(2) The use of both the public address system and the means of communicating with other flight crewmembers, including emergency means in the case of attempted hijacking or other unusual situations; and
(3) Proper use of electrical galley equipment and the controls for cabin heat and ventilation.
(a) Each program manager must ensure that each crewmember receives recurrent training and is adequately trained and currently proficient for the type aircraft and crewmember position involved.
(b) Recurrent ground training for crewmembers must include at least the following:
(1) A quiz or other review to determine the crewmember's knowledge of the aircraft and crewmember position involved.
(2) Instruction as necessary in the subjects required for initial ground training by this subpart, as appropriate, including low-altitude windshear training and training on operating during ground icing conditions, as prescribed in § 91.1097 and described in § 91.1101, and emergency training.
(c) Recurrent flight training for pilots must include, at least, flight training in the maneuvers or procedures in this subpart, except that satisfactory completion of the check required by § 91.1065 within the preceding 12 months may be substituted for recurrent flight training.
Each program manager must establish an aircraft inspection program for each make and model program aircraft and ensure each aircraft is inspected in accordance with that inspection program.
(a) The inspection program must be in writing and include at least the following information:
(1) Instructions and procedures for the conduct of inspections for the particular make and model aircraft, including necessary tests and checks. The instructions and procedures must set forth in detail the parts and areas of the airframe, engines, propellers, rotors, and appliances, including survival and emergency equipment required to be inspected.
(2) A schedule for performing the inspections that must be accomplished under the inspection program expressed in terms of the time in service, calendar time, number of system operations, or any combination thereof.
(3) The name and address of the person responsible for scheduling the inspections required by the inspection program. A copy of the inspection program must be made available to the person performing inspections on the aircraft and, upon request, to the Administrator.
(b) Each person desiring to establish or change an approved inspection program under this section must submit the inspection program for approval to the Flight Standards office that issued the program manager's management specifications. The inspection program must be derived from one of the following programs:
(1) An inspection program currently recommended by the manufacturer of the aircraft, aircraft engines, propellers, appliances, and survival and emergency equipment;
(2) An inspection program that is part of a continuous airworthiness maintenance program currently in use by a person holding an air carrier or operating certificate issued under part 119 of this chapter and operating that make and model aircraft under part 121 or 135 of this chapter;
(3) An aircraft inspection program approved under § 135.419 of this chapter and currently in use under part 135 of this chapter by a person holding a certificate issued under part 119 of this chapter; or
(4) An airplane inspection program approved under § 125.247 of this chapter and currently in use under part 125 of this chapter.
(5) An inspection program that is part of the program manager's continuous airworthiness maintenance program under §§ 91.1411 through 91.1443.
(c) The Administrator may require revision of the inspection program approved under this section in accordance with the provisions of § 91.415.
The program manager must ensure that all employees who are responsible for maintenance related to program aircraft undergo appropriate initial and annual recurrent training and are competent to perform those duties.
Each fractional ownership program manager must keep (using the system specified in the manual required in § 91.1025) the records specified in § 91.417(a) for the periods specified in § 91.417(b).
(a) No person may take off an aircraft with inoperable instruments or equipment installed unless the following conditions are met:
(1) An approved Minimum Equipment List exists for that aircraft.
(2) The program manager has been issued management specifications authorizing operations in accordance with an approved Minimum Equipment List. The flight crew must have direct access at all times prior to flight to all of the information contained in the approved Minimum Equipment List through printed or other means approved by the Administrator in the program manager's management specifications. An approved Minimum Equipment List, as authorized by the management specifications, constitutes an approved change to the type design without requiring recertification.
(3) The approved Minimum Equipment List must:
(i) Be prepared in accordance with the limitations specified in paragraph (b) of this section.
(ii) Provide for the operation of the aircraft with certain instruments and equipment in an inoperable condition.
(4) Records identifying the inoperable instruments and equipment and the information required by (a)(3)(ii) of this section must be available to the pilot.
(5) The aircraft is operated under all applicable conditions and limitations contained in the Minimum Equipment List and the management specifications authorizing use of the Minimum Equipment List.
(b) The following instruments and equipment may not be included in the Minimum Equipment List:
(1) Instruments and equipment that are either specifically or otherwise required by the airworthiness requirements under which the aircraft is type certificated and that are essential for safe operations under all operating conditions.
(2) Instruments and equipment required by an airworthiness directive to be in operable condition unless the airworthiness directive provides otherwise.
(3) Instruments and equipment required for specific operations by this part.
(c) Notwithstanding paragraphs (b)(1) and (b)(3) of this section, an aircraft with inoperable instruments or equipment may be operated under a special flight permit under §§ 21.197 and 21.199 of this chapter.
(d) A person authorized to use an approved Minimum Equipment List issued for a specific aircraft under part 121, 125, or 135 of this chapter must use that Minimum Equipment List to comply with this section.
Fractional ownership program aircraft may be maintained under a continuous airworthiness maintenance program (CAMP) under §§ 91.1413 through 91.1443. Any program manager who elects to maintain the program aircraft using a continuous airworthiness maintenance program must comply with §§ 91.1413 through 91.1443.
(a) For aircraft maintained in accordance with a Continuous Airworthiness Maintenance Program, each program manager is primarily responsible for the following:
(1) Maintaining the airworthiness of the program aircraft, including airframes, aircraft engines, propellers, rotors, appliances, and parts.
(2) Maintaining its aircraft in accordance with the requirements of this chapter.
(3) Repairing defects that occur between regularly scheduled maintenance required under part 43 of this chapter.
(b) Each program manager who maintains program aircraft under a CAMP must—
(1) Employ a Director of Maintenance or equivalent position. The Director of Maintenance must be a certificated mechanic with airframe and powerplant ratings who has responsibility for the maintenance program on all program aircraft maintained under a continuous airworthiness maintenance program. This person cannot also act as Chief Inspector.
(2) Employ a Chief Inspector or equivalent position. The Chief Inspector must be a certificated mechanic with airframe and powerplant ratings who has overall responsibility for inspection aspects of the CAMP. This person cannot also act as Director of Maintenance.
(3) Have the personnel to perform the maintenance of program aircraft, including airframes, aircraft engines, propellers, rotors, appliances, emergency equipment and parts, under its manual and this chapter; or make arrangements with another person for the performance of maintenance. However, the program manager must ensure that any maintenance, preventive maintenance, or alteration that is performed by another person is performed under the program manager's operating manual and this chapter.
(a) Each program manager who maintains program aircraft under a CAMP must report the occurrence or detection of each failure, malfunction, or defect in an aircraft concerning—
(1) Fires during flight and whether the related fire-warning system functioned properly;
(2) Fires during flight not protected by related fire-warning system;
(3) False fire-warning during flight;
(4) An exhaust system that causes damage during flight to the engine, adjacent structure, equipment, or components;
(5) An aircraft component that causes accumulation or circulation of smoke, vapor, or toxic or noxious fumes in the crew compartment or passenger cabin during flight;
(6) Engine shutdown during flight because of flameout;
(7) Engine shutdown during flight when external damage to the engine or aircraft structure occurs;
(8) Engine shutdown during flight because of foreign object ingestion or icing;
(9) Shutdown of more than one engine during flight;
(10) A propeller feathering system or ability of the system to control overspeed during flight;
(11) A fuel or fuel-dumping system that affects fuel flow or causes hazardous leakage during flight;
(12) An unwanted landing gear extension or retraction or opening or closing of landing gear doors during flight;
(13) Brake system components that result in loss of brake actuating force when the aircraft is in motion on the ground;
(14) Aircraft structure that requires major repair;
(15) Cracks, permanent deformation, or corrosion of aircraft structures, if more than the maximum acceptable to the manufacturer or the FAA; and
(16) Aircraft components or systems that result in taking emergency actions during flight (except action to shut down an engine).
(b) For the purpose of this section, during flight means the period from the moment the aircraft leaves the surface of the earth on takeoff until it touches down on landing.
(c) In addition to the reports required by paragraph (a) of this section, each program manager must report any other failure, malfunction, or defect in an aircraft that occurs or is detected at any time if, in the manager's opinion, the failure, malfunction, or defect has endangered or may endanger the safe operation of the aircraft.
(d) Each program manager must send each report required by this section, in writing, covering each 24-hour period beginning at 0900 hours local time of each day and ending at 0900 hours local time on the next day to the Flight Standards office that issued the program manager's management specifications. Each report of occurrences during a 24-hour period must be mailed or transmitted to that office within the next 72 hours. However, a report that is due on Saturday or Sunday may be mailed or transmitted on the following Monday and one that is due on a holiday may be mailed or transmitted on the next workday. For aircraft operated in areas where mail is not collected, reports may be mailed or transmitted within 72 hours after the aircraft returns to a point where the mail is collected.
(e) The program manager must transmit the reports required by this section on a form and in a manner prescribed by the Administrator, and must include as much of the following as is available:
(1) The type and identification number of the aircraft.
(2) The name of the program manager.
(3) The date.
(4) The nature of the failure, malfunction, or defect.
(5) Identification of the part and system involved, including available information pertaining to type designation of the major component and time since last overhaul, if known.
(6) Apparent cause of the failure, malfunction or defect (for example, wear, crack, design deficiency, or personnel error).
(7) Other pertinent information necessary for more complete identification, determination of seriousness, or corrective action.
(f) A program manager that is also the holder of a type certificate (including a supplemental type certificate), a Parts Manufacturer Approval, or a Technical Standard Order Authorization, or that is the licensee of a type certificate need not report a failure, malfunction, or defect under this section if the failure, malfunction, or defect has been reported by it under § 21.3 of this chapter or under the accident reporting provisions of part 830 of the regulations of the National Transportation Safety Board.
(g) No person may withhold a report required by this section even when not all information required by this section is available.
(h) When the program manager receives additional information, including information from the manufacturer or other agency, concerning a report required by this section, the program manager must expeditiously submit it as a supplement to the first report and reference the date and place of submission of the first report.
Each program manager who maintains program aircraft under a CAMP must mail or deliver, before the end of the 10th day of the following month, a summary report of the following occurrences in multiengine aircraft for the preceding month to the Flight Standards office that issued the management specifications:
(a) Each interruption to a flight, unscheduled change of aircraft en route, or unscheduled stop or diversion from a route, caused by known or suspected mechanical difficulties or malfunctions that are not required to be reported under § 91.1415.
(b) The number of propeller featherings in flight, listed by type of propeller and engine and aircraft on which it was installed. Propeller featherings for training, demonstration, or flight check purposes need not be reported.
(a) Each program manager who maintains program aircraft under a CAMP that has its personnel perform any of its maintenance (other than required inspections), preventive maintenance, or alterations, and each person with whom it arranges for the performance of that work, must have an organization adequate to perform the work.
(b) Each program manager who has personnel perform any inspections required by the program manager's manual under § 91.1427(b) (2) or (3), (in this subpart referred to as required inspections), and each person with whom the program manager arranges for the performance of that work, must have an organization adequate to perform that work.
(c) Each person performing required inspections in addition to other maintenance, preventive maintenance, or alterations, must organize the performance of those functions so as to separate the required inspection functions from the other maintenance, preventive maintenance, or alteration functions. The separation must be below the level of administrative control at which overall responsibility for the required inspection functions and other maintenance, preventive maintenance, or alterations is exercised.
Each program manager who maintains program aircraft under a CAMP must have an inspection program and a program covering other maintenance, preventive maintenance, or alterations that ensures that—
(a) Maintenance, preventive maintenance, or alterations performed by its personnel, or by other persons, are performed under the program manager's manual;
(b) Competent personnel and adequate facilities and equipment are provided for the proper performance of maintenance, preventive maintenance, or alterations; and
(c) Each aircraft released to service is airworthy and has been properly maintained for operation under this part.
(a) Each program manager who maintains program aircraft under a CAMP must put in the operating manual the chart or description of the program manager's organization required by § 91.1423 and a list of persons with whom it has arranged for the performance of any of its required inspections, and other maintenance, preventive maintenance, or alterations, including a general description of that work.
(b) Each program manager must put in the operating manual the programs required by § 91.1425 that must be followed in performing maintenance, preventive maintenance, or alterations of that program manager's aircraft, including airframes, aircraft engines, propellers, rotors, appliances, emergency equipment, and parts, and must include at least the following:
(1) The method of performing routine and nonroutine maintenance (other than required inspections), preventive maintenance, or alterations.
(2) A designation of the items of maintenance and alteration that must be inspected (required inspections) including at least those that could result in a failure, malfunction, or defect endangering the safe operation of the aircraft, if not performed properly or if improper parts or materials are used.
(3) The method of performing required inspections and a designation by occupational title of personnel authorized to perform each required inspection.
(4) Procedures for the reinspection of work performed under previous required inspection findings (buy-back procedures).
(5) Procedures, standards, and limits necessary for required inspections and acceptance or rejection of the items required to be inspected and for periodic inspection and calibration of precision tools, measuring devices, and test equipment.
(6) Procedures to ensure that all required inspections are performed.
(7) Instructions to prevent any person who performs any item of work from performing any required inspection of that work.
(8) Instructions and procedures to prevent any decision of an inspector regarding any required inspection from being countermanded by persons other than supervisory personnel of the inspection unit, or a person at the level of administrative control that has overall responsibility for the management of both the required inspection functions and the other maintenance, preventive maintenance, or alterations functions.
(9) Procedures to ensure that maintenance (including required inspections), preventive maintenance, or alterations that are not completed because of work interruptions are properly completed before the aircraft is released to service.
(c) Each program manager must put in the manual a suitable system (which may include an electronic or coded system) that provides for the retention of the following information—
(1) A description (or reference to data acceptable to the Administrator) of the work performed;
(2) The name of the person performing the work if the work is performed by a person outside the organization of the program manager; and
(3) The name or other positive identification of the individual approving the work.
(d) For the purposes of this part, the program manager must prepare that part of its manual containing maintenance information and instructions, in whole or in part, in a format acceptable to the Administrator, that is retrievable in the English language.
(a) No person who maintains an aircraft under a CAMP may use any person to perform required inspections unless the person performing the inspection is appropriately certificated, properly trained, qualified, and authorized to do so.
(b) No person may allow any person to perform a required inspection unless, at the time the work was performed, the person performing that inspection is under the supervision and control of the chief inspector.
(c) No person may perform a required inspection if that person performed the item of work required to be inspected.
(d) Each program manager must maintain, or must ensure that each person with whom it arranges to perform required inspections maintains, a current listing of persons who have been trained, qualified, and authorized to conduct required inspections. The persons must be identified by name, occupational title, and the inspections that they are authorized to perform. The program manager (or person with whom it arranges to perform its required inspections) must give written information to each person so authorized, describing the extent of that person's responsibilities, authorities, and inspectional limitations. The list must be made available for inspection by the Administrator upon request.
(a) Each program manager who maintains program aircraft under a CAMP must establish and maintain a system for the continuing analysis and surveillance of the performance and effectiveness of its inspection program and the program covering other maintenance, preventive maintenance, and alterations and for the correction of any deficiency in those programs, regardless of whether those programs are carried out by employees of the program manager or by another person.
(b) Whenever the Administrator finds that the programs described in paragraph (a) of this section does not contain adequate procedures and standards to meet this part, the program manager must, after notification by the Administrator, make changes in those programs requested by the Administrator.
(c) A program manager may petition the Administrator to reconsider the notice to make a change in a program. The petition must be filed with the Executive Director, Flight Standards Service, within 30 days after the program manager receives the notice. Except in the case of an emergency requiring immediate action in the interest of safety, the filing of the petition stays the notice pending a decision by the Administrator.
Each program manager who maintains program aircraft under a CAMP or a person performing maintenance or preventive maintenance functions for it must have a training program to ensure that each person (including inspection personnel) who determines the adequacy of work done is fully informed about procedures and techniques and new equipment in use and is competent to perform that person's duties.
(a) Except for maintenance, preventive maintenance, alterations, and required inspections performed by repair stations located outside the United States certificated under the provisions of part 145 of this chapter, each person who is directly in charge of maintenance, preventive maintenance, or alterations for a CAMP, and each person performing required inspections for a CAMP must hold an appropriate airman certificate.
(b) For the purpose of this section, a person “directly in charge” is each person assigned to a position in which that person is responsible for the work of a shop or station that performs maintenance, preventive maintenance, alterations, or other functions affecting airworthiness. A person who is directly in charge need not physically observe and direct each worker constantly but must be available for consultation and decision on matters requiring instruction or decision from higher authority than that of the person performing the work.
A program manager who maintains program aircraft under a CAMP may employ maintenance personnel, or make arrangements with other persons to perform maintenance and preventive maintenance as provided in its maintenance manual. Unless properly certificated, the program manager may not perform or approve maintenance for return to service.
(a) Each program manager who maintains program aircraft under a CAMP must keep (using the system specified in the manual required in § 91.1427) the following records for the periods specified in paragraph (b) of this section:
(1) All the records necessary to show that all requirements for the issuance of an airworthiness release under § 91.1443 have been met.
(2) Records containing the following information:
(i) The total time in service of the airframe, engine, propeller, and rotor.
(ii) The current status of life-limited parts of each airframe, engine, propeller, rotor, and appliance.
(iii) The time since last overhaul of each item installed on the aircraft that are required to be overhauled on a specified time basis.
(iv) The identification of the current inspection status of the aircraft, including the time since the last inspections required by the inspection program under which the aircraft and its appliances are maintained.
(v) The current status of applicable airworthiness directives, including the date and methods of compliance, and, if the airworthiness directive involves recurring action, the time and date when the next action is required.
(vi) A list of current major alterations and repairs to each airframe, engine, propeller, rotor, and appliance.
(b) Each program manager must retain the records required to be kept by this section for the following periods:
(1) Except for the records of the last complete overhaul of each airframe, engine, propeller, rotor, and appliance the records specified in paragraph (a)(1) of this section must be retained until the work is repeated or superseded by other work or for one year after the work is performed.
(2) The records of the last complete overhaul of each airframe, engine, propeller, rotor, and appliance must be retained until the work is superseded by work of equivalent scope and detail.
(3) The records specified in paragraph (a)(2) of this section must be retained as specified unless transferred with the aircraft at the time the aircraft is sold.
(c) The program manager must make all maintenance records required to be kept by this section available for inspection by the Administrator or any representative of the National Transportation Safety Board.
When a U.S.-registered fractional ownership program aircraft maintained under a CAMP is removed from the list of program aircraft in the management specifications, the program manager must transfer to the purchaser, at the time of the sale, the following records of that aircraft, in plain language form or in coded form that provides for the preservation and retrieval of information in a manner acceptable to the Administrator:
(a) The records specified in § 91.1439(a)(2).
(b) The records specified in § 91.1439(a)(1) that are not included in the records covered by paragraph (a) of this section, except that the purchaser may allow the program manager to keep physical custody of such records. However, custody of records by the program manager does not relieve the purchaser of its responsibility under § 91.1439(c) to make the records available for inspection by the Administrator or any representative of the National Transportation Safety Board.
(a) No program aircraft maintained under a CAMP may be operated after maintenance, preventive maintenance, or alterations are performed unless qualified, certificated personnel employed by the program manager prepare, or cause the person with whom the program manager arranges for the performance of the maintenance, preventive maintenance, or alterations, to prepare—
(1) An airworthiness release; or
(2) An appropriate entry in the aircraft maintenance log.
(b) The airworthiness release or log entry required by paragraph (a) of this section must—
(1) Be prepared in accordance with the procedure in the program manager's manual;
(2) Include a certification that—
(i) The work was performed in accordance with the requirements of the program manager's manual;
(ii) All items required to be inspected were inspected by an authorized person who determined that the work was satisfactorily completed;
(iii) No known condition exists that would make the aircraft unairworthy;
(iv) So far as the work performed is concerned, the aircraft is in condition for safe operation; and
(3) Be signed by an authorized certificated mechanic.
(c) Notwithstanding paragraph (b)(3) of this section, after maintenance, preventive maintenance, or alterations performed by a repair station certificated under the provisions of part 145 of this chapter, the approval for return to service or log entry required by paragraph (a) of this section may be signed by a person authorized by that repair station.
(d) Instead of restating each of the conditions of the certification required by paragraph (b) of this section, the program manager may state in its manual that the signature of an authorized certificated mechanic or repairman constitutes that certification.
(a) This subpart requires operators to support the continued airworthiness of each airplane. These requirements may include, but are not limited to, revising the inspection program, incorporating design changes, and incorporating revisions to Instructions for Continued Airworthiness.
(b) [Reserved]
(a) No person may operate an Airbus Model A300 (excluding the -600 series), British Aerospace Model BAC 1-11, Boeing Model 707, 720, 727, 737 or 747, McDonnell Douglas Model DC-8, DC-9/MD-80 or DC-10, Fokker Model F28, or Lockheed Model L-1011 airplane beyond applicable flight cycle implementation time specified below, or May 25, 2001, whichever occurs later, unless repair assessment guidelines applicable to the fuselage pressure boundary (fuselage skin, door skin, and bulkhead webs) are incorporated within its inspection program. The repair assessment guidelines must be approved by the responsible Aircraft Certification Service office for the type certificate for the affected airplane.
(1) For the Airbus Model A300 (excluding the -600 series), the flight cycle implementation time is:
(i) Model B2: 36,000 flights.
(ii) Model B4-100 (including Model B4-2C): 30,000 flights above the window line, and 36,000 flights below the window line.
(iii) Model B4-200: 25,500 flights above the window line, and 34,000 flights below the window line.
(2) For all models of the British Aerospace BAC 1-11, the flight cycle implementation time is 60,000 flights.
(3) For all models of the Boeing 707, the flight cycle implementation time is 15,000 flights.
(4) For all models of the Boeing 720, the flight cycle implementation time is 23,000 flights.
(5) For all models of the Boeing 727, the flight cycle implementation time is 45,000 flights.
(6) For all models of the Boeing 737, the flight cycle implementation time is 60,000 flights.
(7) For all models of the Boeing 747, the flight cycle implementation time is 15,000 flights.
(8) For all models of the McDonnell Douglas DC-8, the flight cycle implementation time is 30,000 flights.
(9) For all models of the McDonnell Douglas DC-9/MD-80, the flight cycle implementation time is 60,000 flights.
(10) For all models of the McDonnell Douglas DC-10, the flight cycle implementation time is 30,000 flights.
(11) For all models of the Lockheed L-1011, the flight cycle implementation time is 27,000 flights.
(12) For the Fokker F-28 Mark 1000, 2000, 3000, and 4000, the flight cycle implementation time is 60,000 flights.
(b) [Reserved]
(a) Except as provided in paragraph (g) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of original type certification or later increase in capacity, have—
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) For each airplane on which an auxiliary fuel tank is installed under a field approval, before June 16, 2008, the operator must submit to the responsible Aircraft Certification Service Office proposed maintenance instructions for the tank that meet the requirements of Special Federal Aviation Regulation No. 88 (SFAR 88) of this chapter.
(c) After December 16, 2008, no operator may operate an airplane identified in paragraph (a) of this section unless the inspection program for that airplane has been revised to include applicable inspections, procedures, and limitations for fuel tank systems.
(d) The proposed fuel tank system inspection program revisions specified in paragraph (c) of this section must be based on fuel tank system Instructions for Continued Airworthiness (ICA) that have been developed in accordance with the applicable provisions of SFAR 88 of this chapter or § 25.1529 and part 25, Appendix H, of this chapter, in effect on June 6, 2001 (including those developed for auxiliary fuel tanks, if any, installed under supplemental type certificates or other design approval) and that have been approved by the responsible Aircraft Certification Service Office.
(e) After December 16, 2008, before returning an airplane to service after any alterations for which fuel tank ICA are developed under SFAR 88, or under § 25.1529 in effect on June 6, 2001, the operator must include in the inspection program for the airplane inspections and procedures for the fuel tank system based on those ICA.
(f) The fuel tank system inspection program changes identified in paragraphs (d) and (e) of this section and any later fuel tank system revisions must be submitted to the Flight Standards office responsible for review and approval.
(g) This section does not apply to the following airplane models:
(1) Bombardier CL-44
(2) Concorde
(3) deHavilland D.H. 106 Comet 4C
(4) VFW-Vereinigte Flugtechnische Werk VFW-614
(5) Illyushin Aviation IL 96T
(6) Bristol Aircraft Britannia 305
(7) Handley Page Herald Type 300
(8) Avions Marcel Dassault—Breguet Aviation Mercure 100C
(9) Airbus Caravelle
(10) Lockheed L-300
(a) Applicability. This Special Federal Aviation Regulation (SFAR) applies to the following persons:
(1) All U.S. air carriers and U.S. commercial operators;
(2) All persons exercising the privileges of an airman certificate issued by the FAA, except when such persons are operating U.S.-registered aircraft for a foreign air carrier; and
(3) All operators of U.S.-registered civil aircraft, except when the operator of such aircraft is a foreign air carrier.
(b) Flight prohibition. Except as provided in paragraphs (c) and (d) of this section, no person described in paragraph (a) of this section may conduct flight operations in the territory and airspace of Libya.
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in the territory and airspace of Libya, provided that such flight operations occur under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. Government (or under a subcontract between the prime contractor of the department, agency, or instrumentality and the person described in paragraph (a) of this section), with the approval of the FAA, or under an exemption issued by the FAA. The FAA will consider requests for approval or exemption in a timely manner, with the order of preference being: First, for those operations in support of U.S. Government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. Government department, agency, or instrumentality; and third, for all other operations.
(d) Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from this section to the extent required by that emergency. Except for U.S. air carriers and commercial operators that are subject to the requirements of 14 CFR part 119, 121, 125, or 135, each person who deviates from this section must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards Office a complete report of the operations of the aircraft involved in the deviation, including a description of the deviation and the reasons for it.
(e) Expiration. This SFAR will remain in effect until March 20, 2028. The FAA may amend, rescind, or extend this SFAR, as necessary.
(a) Applicability. This section applies to the following persons:
(1) All U.S. air carriers and U.S. commercial operators;
(2) All persons exercising the privileges of an airman certificate issued by the FAA, except when such persons are operating U.S.-registered aircraft for a foreign air carrier; and
(3) All operators of civil aircraft registered in the United States, except when the operator of such aircraft is a foreign air carrier.
(b) Flight prohibition. Except as provided in paragraphs (c) and (d) of this section, no person described in paragraph (a) of this section may conduct flight operations in the Baghdad Flight Information Region (FIR) (ORBB) at altitudes below Flight Level (FL) 320.
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in the Baghdad FIR (ORBB) at altitudes below FL320, provided that such flight operations occur under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. Government (or under a subcontract between the prime contractor of the department, agency, or instrumentality, and the person described in paragraph (a) of this section) with the approval of the FAA, or under an exemption issued by the FAA. The FAA will consider requests for approval or exemption in a timely manner, with the order of preference being: first, for those operations in support of U.S. Government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. Government department, agency, or instrumentality; and third, for all other operations.
(d) Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from this section to the extent required by that emergency. Except for U.S. air carriers and commercial operators that are subject to the requirements of part 119, 121, 125, or 135 of this chapter, each person who deviates from this section must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards office a complete report of the operations of the aircraft involved in the deviation, including a description of the deviation and the reasons for it.
(e) Expiration. This SFAR will remain in effect until October 26, 2027. The FAA may amend, rescind, or extend this SFAR, as necessary.
(a) Applicability. This section applies to the following persons:
(1) All U.S. air carriers and U.S. commercial operators;
(2) All persons exercising the privileges of an airman certificate issued by the FAA, except when such persons are operating U.S.-registered aircraft for a foreign air carrier; and
(3) All operators of U.S.-registered civil aircraft, except when the operator of such aircraft is a foreign air carrier.
(b) Flight prohibition. Except as provided in paragraphs (c) and (d) of this section, no person described in paragraph (a) of this section may conduct flight operations in the Damascus Flight Information Region (FIR) (OSTT).
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in the Damascus Flight Information Region (FIR) (OSTT), provided that such flight operations are conducted under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. government (or under a subcontract between the prime contractor of the department, agency, or instrumentality and the person described in paragraph (a) of this section) with the approval of the FAA, or under an exemption issued by the FAA. The FAA will consider requests for approval or exemption in a timely manner, with the order of preference being: First, for those operations in support of U.S. government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. government department, agency, or instrumentality; and third, for all other operations.
(d) Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from this section to the extent required by that emergency. Except for U.S. air carriers and commercial operators that are subject to the requirements of 14 CFR part 119, 121, 125, or 135, each person who deviates from this section must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards office a complete report of the operations of the aircraft involved in the deviation, including a description of the deviation and the reasons for it.
(e) Expiration. This SFAR will remain in effect until December 30, 2028. The FAA may amend, rescind, or extend this SFAR, as necessary.
(a) Applicability. This Special Federal Aviation Regulation (SFAR) applies to the following persons:
(1) All U.S. air carriers and U.S. commercial operators;
(2) All persons exercising the privileges of an airman certificate issued by the FAA, except when such persons are operating U.S.-registered aircraft for a foreign air carrier; and
(3) All operators of U.S.-registered civil aircraft, except when the operator of such aircraft is a foreign air carrier.
(b) Flight prohibition. Except as provided in paragraphs (c) and (d) of this section, no person described in paragraph (a) of this section may conduct flight operations in the portion of the Sanaa Flight Information Region (FIR) (OYSC) that is west of a line drawn direct from KAPET (163322N 0530614E) to NODMA (152603N 0533359E), northwest of a line drawn direct from NODMA to IMPAG (140638N 0503924E) then from IMPAG to TIMAD (115500N 0463500E), north of a line drawn direct from TIMAD to PARIM (123200N 0432720E), and east of a line drawn direct from PARIM to RIBOK (154700N 0415230E). Use of jet route UN303 is not authorized.
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in the Sanaa FIR (OYSC) under the following circumstances:
(1) Permitted operations that do not require an approval or exemption from the FAA. Flight operations may be conducted in the Sanaa FIR (OYSC) in that airspace east of a line drawn direct from KAPET (163322N 0530614E) to NODMA (152603N 0533359E), southeast of a line drawn direct from NODMA to IMPAG (140638N 0503924E) then from IMPAG to TIMAD (115500N 0463500E), south of a line drawn direct from TIMAD to PARIM (123200N 0432720E), and west of a line drawn direct from PARIM to RIBOK (154700N 0415230E). Use of jet routes UT702 and M999 are authorized. All flight operations conducted under this subparagraph must be conducted subject to the approval of, and in accordance with the conditions established by, the appropriate authorities of Yemen.
(2) Operations permitted under an approval or exemption issued by the FAA. Flight operations may be conducted in the Sanaa FIR (OYSC) in that airspace west of a line drawn direct from KAPET (163322N 0530614E) to NODMA (152603N 0533359E), northwest of a line drawn direct from NODMA to IMPAG (140638N 0503924E) then from IMPAG to TIMAD (115500N 0463500E), north of a line drawn direct from TIMAD to PARIM (123200N 0432720E), and east of a line drawn direct from PARIM to RIBOK (154700N 0415230E) if such flight operations are conducted under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. Government (or under a subcontract between the prime contractor of the U.S. Government department, agency, or instrumentality and the person subject to paragraph (a)), with the approval of the FAA, or under an exemption issued by the FAA. The FAA will consider requests for approval or exemption in a timely manner, with the order of preference being: First, for those operations in support of U.S. Government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. government department, agency, or instrumentality; and third, for all other operations.
(d) Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from this section to the extent required by that emergency. Except for U.S. air carriers and commercial operators that are subject to the requirements of 14 CFR part 119, 121, 125, or 135, each person who deviates from this section must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards office a complete report of the operations of the aircraft involved in the deviation, including a description of the deviation and the reasons for it.
(e) Expiration. This SFAR will remain in effect until January 7, 2028. The FAA may amend, rescind, or extend this SFAR, as necessary.
(a) Applicability. This Special Federal Aviation Regulation (SFAR) applies to the following persons:
(1) All U.S. air carriers and U.S. commercial operators;
(2) All persons exercising the privileges of an airman certificate issued by the FAA, except when such persons are operating U.S.-registered aircraft for a foreign air carrier; and
(3) All operators of U.S.-registered civil aircraft, except when the operator of such aircraft is a foreign air carrier.
(b) Flight prohibition. Except as provided in paragraphs (c) and (d) of this section, no person described in paragraph (a) of this section may conduct flight operations in the territory and airspace of Somalia at altitudes below Flight Level (FL) 260.
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in the territory and airspace of Somalia under the following circumstances:
(1) Overflights of Somalia may be conducted at altitudes at or above FL260 subject to the approval of, and in accordance with the conditions established by, the appropriate authorities of Somalia.
(2) Aircraft departing from Djibouti Ambouli International Airport (International Civil Aviation Organization (ICAO) code: HDAM) may operate overwater in the territory and airspace of Somalia at altitudes below FL260 only to the extent necessary to permit a climb during takeoff if the operator of that aircraft:
(i) Receives any necessary approval from the appropriate authorities of Djibouti;
(ii) Conducts operations that comply with applicable conditions established by the appropriate authorities of Djibouti and air traffic control instructions; and
(iii) Is either on a published instrument procedure or under the direction of air traffic control.
(3) Aircraft descending into Djibouti Ambouli International Airport (HDAM) may operate overwater at altitudes below FL260 in the territory and airspace of Somalia only to the extent necessary to permit descent for landing at Djibouti Ambouli International Airport (HDAM), if the operator of that aircraft:
(i) Receives any necessary approval from the appropriate authorities of Djibouti;
(ii) Conducts operations that comply with applicable conditions established by the appropriate authorities of Djibouti and air traffic control instructions; and
(iii) Is either on a published instrument procedure or under the direction of air traffic control.
(4) Flight operations may be conducted in the territory and airspace of Somalia at altitudes below FL260 if such flight operations are conducted under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. Government (or under a subcontract between the prime contractor of the U.S. Government department, agency, or instrumentality and the person described in paragraph (a) of this section) with the approval of the FAA or under an exemption issued by the FAA. The FAA will consider requests for approval or exemption in a timely manner, with the order of preference being: First, for those operations in support of U.S. Government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. Government department, agency, or instrumentality; and third, for all other operations.
(d) Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from this section to the extent required by that emergency. Except for U.S. air carriers and commercial operators that are subject to the requirements of 14 CFR part 119, 121, 125, or 135, each person who deviates from this section must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards office a complete report of the operations of the aircraft involved in the deviation, including a description of the deviation and the reasons for it.
(e) Expiration. This SFAR will remain in effect until January 7, 2027. The FAA may amend, rescind, or extend this SFAR, as necessary.
(a) Applicability. This Special Federal Aviation Regulation (SFAR) applies to the following persons:
(1) All U.S. air carriers and U.S. commercial operators;
(2) All persons exercising the privileges of an airman certificate issued by the FAA, except when such persons are operating U.S.-registered aircraft for a foreign air carrier; and
(3) All operators of U.S.-registered civil aircraft, except when the operator of such aircraft is a foreign air carrier.
(b) Flight prohibition. Except as provided in paragraphs (c) and (d) of this section, no person described in paragraph (a) of this section may conduct flight operations in the Pyongyang Flight Information Region (FIR) (ZKKP).
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in the Pyongyang Flight Information Region (FIR) (ZKKP), provided that such flight operations are conducted under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. government (or under a subcontract between the prime contractor of the department, agency, or instrumentality and the person described in paragraph (a) of this section) with the approval of the FAA, or under an exemption issued by the FAA. The FAA will consider requests for approval or exemption in a timely manner, with the order of preference being: First, for those operations in support of U.S. government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. Government department, agency, or instrumentality; and third, for all other operations.
(d) Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from this section to the extent required by that emergency. Except for U.S. air carriers and commercial operators that are subject to the requirements of 14 CFR part 119, 121, 125, or 135, each person who deviates from this section must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards Office a complete report of the operations of the aircraft involved in the deviation, including a description of the deviation and the reasons for it.
(e) Expiration. This SFAR will remain in effect until September 18, 2028. The FAA may amend, rescind, or extend this SFAR, as necessary.
(a) Applicability. This Special Federal Aviation Regulation (SFAR) applies to the following persons:
(1) All U.S. air carriers and U.S. commercial operators;
(2) All persons exercising the privileges of an airman certificate issued by the FAA, except when such persons are operating U.S.-registered aircraft for a foreign air carrier; and
(3) All operators of U.S.-registered civil aircraft, except when the operator of such aircraft is a foreign air carrier.
(b) Flight prohibition. Except as provided in paragraphs (c) and (d) of this section, no person described in paragraph (a) of this section may conduct flight operations in the Tehran Flight Information Region (FIR) (OIIX).
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in the Tehran FIR (OIIX), provided that such flight operations are conducted under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. Government (or under a subcontract between the prime contractor of the department, agency, or instrumentality and the person described in paragraph (a) of this section) with the approval of the FAA, or under an exemption issued by the FAA. The FAA will consider requests for approval or exemption in a timely manner, with the order of preference being: First, for those operations in support of U.S. Government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. Government department, agency, or instrumentality; and third, for all other operations.
(d) Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from this section to the extent required by that emergency. Except for U.S. air carriers and commercial operators that are subject to the requirements of 14 CFR parts 119, 121, 125, or 135, each person who deviates from this section must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards Office a complete report of the operations of the aircraft involved in the deviation, including a description of the deviation and the reasons for it.
(e) Expiration. This SFAR will remain in effect until October 31, 2027. The FAA may amend, rescind, or extend this SFAR as necessary.
(a) Applicability. This Special Federal Aviation Regulation (SFAR) applies to the following persons:
(1) All U.S. air carriers and U.S. commercial operators;
(2) All persons exercising the privileges of an airman certificate issued by the FAA, except when such persons are operating U.S.-registered aircraft for a foreign air carrier; and
(3) All operators of U.S.-registered civil aircraft, except when the operator of such aircraft is a foreign air carrier.
(b) Flight prohibition. Except as provided in paragraphs (c) and (d) of this section, no person described in paragraph (a) of this section may conduct flight operations in the Kabul Flight Information Region (FIR) (OAKX).
(c) Permitted operations. This section does not prohibit persons described in paragraph (a) of this section from conducting flight operations in the Kabul Flight Information Region (FIR) (OAKX) under the following circumstances:
(1) Permitted operations that do not require an approval or exemption from the FAA. (i) Overflights of the Kabul Flight Information Region (FIR) (OAKX) may be conducted at altitudes at and above Flight Level (FL) 320, subject to the approval of, and in accordance with the conditions established by, the appropriate authorities of Afghanistan.
(ii) Transiting overflights of the Kabul Flight Information Region (FIR) (OAKX) may be conducted on jet routes P500-G500 at altitudes at and above FL300, subject to the approval of, and in accordance with the conditions established by, the appropriate authorities of Afghanistan.
(2) Operations permitted under an approval or exemption issued by the FAA. Flight operations may be conducted in the Kabul Flight Information Region (FIR) (OAKX) at altitudes below FL320, provided that such flight operations occur under a contract, grant, or cooperative agreement with a department, agency, or instrumentality of the U.S. Government (or under a subcontract between the prime contractor of the U.S. Government department, agency, or instrumentality and the person described in paragraph (a) of this section) with the approval of the FAA or under an exemption issued by the FAA. The FAA will consider requests for approval or exemption in a timely manner, with the order of preference being: first, for those operations in support of U.S. Government-sponsored activities; second, for those operations in support of government-sponsored activities of a foreign country with the support of a U.S. Government department, agency, or instrumentality; and third, for all other operations.
(d) Emergency situations. In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from this section to the extent required by that emergency. Except for U.S. air carriers and commercial operators that are subject to the requirements of 14 CFR part 119, 121, 125, or 135, each person who deviates from this section must, within 10 days of the deviation, excluding Saturdays, Sundays, and Federal holidays, submit to the responsible Flight Standards Office a complete report of the operations of the aircraft involved in the deviation, including a description of the deviation and the reasons for it.
(e) Expiration. This SFAR will remain in effect until July 25, 2028. The FAA may amend, rescind, or extend this SFAR, as necessary.
(a) On and after November 7, 2016, all training conducted in an MU-2B must follow an approved MU-2B training program that meets the standards of this subpart.
(b) This subpart applies to all persons who operate a Mitsubishi MU-2B series airplane, including those who act as pilot in command, act as second-in-command, or other persons who manipulate the controls while under the supervision of a pilot in command.
(c) This subpart also applies to those persons who provide pilot training for a Mitsubishi MU-2B series airplane. The requirements in this subpart are in addition to the requirements of parts 61, 91, and 135 of this chapter.
(a) Except as provided in paragraph (b) of this section, no person may manipulate the controls, act as PIC, act as second-in-command, or provide pilot training for a Mitsubishi MU-2B series airplane unless that person meets the requirements of this subpart.
(b) A person who does not meet the requirements of this subpart may manipulate the controls of a Mitsubishi MU-2B series airplane if a pilot in command who meets the requirements of this subpart is occupying a pilot station, no passengers or cargo are carried on board the airplane, and the flight is being conducted for one of the following reasons—
(1) The pilot in command is providing pilot training to the manipulator of the controls;
(2) The pilot in command is conducting a maintenance test flight with a second pilot or certificated mechanic; or
(3) The pilot in command is conducting simulated instrument flight and is using a safety pilot other than the pilot in command who manipulates the controls for the purposes of § 91.109(b).
(c) A person is required to complete Initial/transition training if that person has fewer than—
(1) 50 hours of documented flight time manipulating the controls while serving as pilot in command of a Mitsubishi MU-2B series airplane in the preceding 24 months; or
(2) 500 hours of documented flight time manipulating the controls while serving as pilot in command of a Mitsubishi MU-2B series airplane.
(d) A person is eligible to receive Requalification training in lieu of Initial/transition training if that person has at least—
(1) 50 hours of documented flight time manipulating the controls while serving as pilot in command of a Mitsubishi MU-2B series airplane in the preceding 24 months; or
(2) 500 hours of documented flight time manipulating the controls while serving as pilot in command of a Mitsubishi MU-2B series airplane.
(e) A person is required to complete Recurrent training within the preceding 12 months. Successful completion of Initial/transition or Requalification training within the preceding 12 months satisfies the requirement of Recurrent training. A person must successfully complete Initial/transition training or Requalification training before being eligible to receive Recurrent training.
(f) Successful completion of Initial/transition training or Requalification training is a one-time requirement. A person may elect to retake Initial/transition training or Requalification training in lieu of Recurrent training.
(g) A person is required to complete Differences training in accordance with an FAA approved MU-2B training program if that person operates more than one MU-2B model as specified in § 91.1707(c).
(a) Except as provided in § 91.1703(b), no person may manipulate the controls, act as pilot in command, or act as second-in-command of a Mitsubishi MU-2B series airplane for the purpose of flight unless—
(1) The requirements for ground and flight training on Initial/transition, Requalification, Recurrent, and Differences training have been completed in accordance with an FAA approved MU-2B training program that meets the standards of this subpart; and
(2) That person's logbook has been endorsed in accordance with paragraph (f) of this section.
(b) Except as provided in § 91.1703(b), no person may manipulate the controls, act as pilot in command, or act as second-in-command, of a Mitsubishi MU-2B series airplane for the purpose of flight unless—
(1) That person satisfactorily completes, if applicable, annual Recurrent pilot training on the Special Emphasis Items, and all items listed in the Training Course Final Phase Check in accordance with an FAA approved MU-2B training program that meets the standards of this subpart; and
(2) That person's logbook has been endorsed in accordance with paragraph (f) of this section.
(c) Satisfactory completion of the competency check required by § 135.293 of this chapter within the preceding 12 calendar months may not be substituted for the Mitsubishi MU-2B series airplane annual recurrent flight training of this section.
(d) Satisfactory completion of a Federal Aviation Administration sponsored pilot proficiency program, as described in § 61.56(e) of this chapter may not be substituted for the Mitsubishi MU-2B series airplane annual recurrent flight training of this section.
(e) If a person complies with the requirements of paragraph (a) or (b) of this section in the calendar month before or the calendar month after the month in which compliance with these paragraphs are required, that person is considered to have accomplished the training requirement in the month the training is due.
(f) The endorsement required under paragraph (a) and (b) of this section must be made by—
(1) A certificated flight instructor or a simulator instructor authorized by a Training Center certificated under part 142 of this chapter and meeting the qualifications of § 91.1713; or
(2) For persons operating the Mitsubishi MU-2B series airplane for a 14 CFR part 119 certificate holder within the last 12 calendar months, the part 119 certificate holder's flight instructor if authorized by the FAA and if that flight instructor meets the requirements of § 91.1713.
(g) All training conducted for a Mitsubishi MU-2B series airplane must be completed in accordance with an MU-2B series airplane checklist that has been accepted by the Federal Aviation Administration's MU-2B Flight Standardization Board or the applicable MU-2B series checklist (incorporated by reference, see § 91.1721).
(h) MU-2B training programs must contain ground training and flight training sufficient to ensure pilot proficiency for the safe operation of MU-2B aircraft, including:
(1) A ground training curriculum sufficient to ensure pilot knowledge of MU-2B aircraft, aircraft systems, and procedures, necessary for safe operation; and
(2) Flight training curriculum including flight training maneuver profiles sufficient in number and detail to ensure pilot proficiency in all MU-2B operations for each MU-2B model in correlation with MU-2B limitations, procedures, aircraft performance, and MU-2B Cockpit Checklist procedures applicable to the MU-2B model being trained. A MU-2B training program must contain, at a minimum, the following flight training maneuver profiles applicable to the MU-2B model being trained:
(i) Normal takeoff with 5- and 20- degrees flaps;
(ii) Takeoff engine failure with 5- and 20- degrees flaps;
(iii) Takeoff engine failure on runway or rejected takeoff;
(iv) Takeoff engine failure after liftoff—unable to climb (may be completed in classroom or flight training device only);
(v) Steep turns;
(vi) Slow flight maneuvers;
(vii) One engine inoperative maneuvering with loss of directional control;
(viii) Approach to stall in clean configuration and with wings level;
(ix) Approach to stall in takeoff configuration with 15- to 30- degrees bank;
(x) Approach to stall in landing configuration with gear down and 40-degrees of flaps;
(xi) Accelerated stall with no flaps;
(xii) Emergency descent at low speed;
(xiii) Emergency descent at high speed;
(xiv) Unusual attitude recovery with the nose high;
(xv) Unusual attitude recovery with the nose low;
(xvi) Normal landing with 20- and 40- degrees flaps;
(xvii) Go around and rejected landing;
(xviii) No flap or 5- degrees flaps landing;
(xix) One engine inoperative landing with 5- and 20- degrees flaps;
(xx) Crosswind landing;
(xxi) Instrument landing system (ILS) and missed approach ;
(xxii) Two engine missed approach;
(xxiii) One engine inoperative ILS and missed approach;
(xxiv) One engine inoperative missed approach;
(xxv) Non-precision and missed approach;
(xxvi) Non-precision continuous descent final approach and missed approach;
(xxvii) One engine inoperative non-precision and missed approach;
(xxviii) One engine inoperative non-precision CDFA and missed approach;
(xxix) Circling approach at weather minimums;
(xxx) One engine inoperative circling approach at weather minimums.
(3) Flight training must include a final phase check sufficient to document pilot proficiency in the flight training maneuver profiles at the completion of training; and
(4) Differences training for applicable MU-2B model variants sufficient to ensure pilot proficiency in each model operated. Current MU-2B differences requirements are specified in § 91.1707(c). A person must complete Differences training if a person operates more than one MU-2B model as specified in § 91.1707(c). Differences training between the factory type design K and M models of the MU-2B airplane, and the factory type design J and L models of the MU-2B airplane, may be accomplished with Level A training. All other factory type design differences training must be accomplished with Level B training unless otherwise specified in § 91.1707(c) . A Level A or B differences training is not a recurring annual requirement. Once a person has completed Initial Level A or B Differences training between the applicable different models, no additional differences training between those models is required.
(5) Icing training sufficient to ensure pilot knowledge and safe operation of the MU-2B aircraft in icing conditions as established by the FAA;
(6) Ground and flight training programs must include training hours identified by § 91.1707(a) for ground instruction, § 91.1707(b) for flight instruction, and § 91.1707(c) for differences training.
(i) No training credit is given for second-in-command training and no credit is given for right seat time under this program. Only the sole manipulator of the controls of the MU-2B airplane, flight training device, or Level C or D simulator can receive training credit under this program;
(ii) An MU-2B airplane must be operated in accordance with an FAA approved MU-2B training program that meets the standards of this subpart and the training hours in § 91.1707.
(7) Endorsements given for compliance with paragraph (f) of this section must be appropriate to the content of that specific MU-2B training program's compliance with standards of this subpart.
(a) Ground instruction hours are listed in the following table:
| Initial/transition | Requalification | Recurrent |
|---|---|---|
| 20 hours | 12 hours | 8 hours. |
(b) Flight instruction hours are listed in the following table:
| Initial/transition | Requalification | Recurrent |
|---|---|---|
| 12 hours with a minimum of 6 hours at level E | 8 hours level C or level E | 4 hours at level E, or 6 hours at level C. |
(c) Differences training hours are listed in the following table:
| 2 factory type design models concurrently | 1.5 hours required at level B. |
| More than 2 factory type design models concurrently | 3 hours at level B. |
| Each additional factory type design model added separately | 1.5 hours at level B. |
(d) Definitions of levels of training as used in this subpart:
(1) LEVEL A Training—Training that is conducted through self-instruction by the pilot.
(2) LEVEL B Training—Training that is conducted in the classroom environment with the aid of a qualified instructor who meets the requirements of this subpart.
(3) LEVEL C Training—Training that is accomplished in an FAA-approved Level 5 or 6 flight training device. In addition to the basic FTD requirements, the FTD must be representative of the MU-2B cockpit controls and be specifically approved by the FAA for the MU-2B airplane.
(4) Level E Training—Training that must be accomplished in the MU-2B airplane, Level C simulator, or Level D simulator.
To obtain approval for an MU-2B training program, training providers must submit a proposed training program to the Administrator.
(a) Only training programs approved by the Administrator may be used to satisfy the standards of this subpart.
(b) For part 91 training providers, training programs will be approved for 24 months, unless sooner superseded or rescinded.
(c) The Administrator may require revision of an approved MU-2B training program at any time.
(d) A training provider must present its approved training program and FAA approval documentation to any representative of the Administrator, upon request.
No person may act as a pilot in command of a Mitsubishi MU-2B series airplane for the purpose of flight unless that person holds an airplane category and multi-engine land class rating, and has logged a minimum of 100 flight hours of PIC time in multi-engine airplanes.
(a) Flight Instructor (Airplane). No flight instructor may provide instruction or conduct a flight review in a Mitsubishi MU-2B series airplane unless that flight instructor
(1) Meets the pilot training and documentation requirements of § 91.1705 before giving flight instruction in the Mitsubishi MU-2B series airplane;
(2) Meets the currency requirements of §§ 91.1715(a) and 91.1715(c)
(3) Has a minimum total pilot time of 2,000 pilot-in-command hours and 800 pilot-in-command hours in multiengine airplanes; and
(4) Has:
(i) 300 pilot-in-command hours in the Mitsubishi MU-2B series airplane, 50 hours of which must have been within the preceding 12 months; or
(ii) 100 pilot-in-command hours in the Mitsubishi MU-2B series airplane, 25 hours of which must have been within the preceding 12 months, and 300 hours providing instruction in a FAA-approved Mitsubishi MU-2B simulator or FAA-approved Mitsubishi MU-2B flight training device, 25 hours of which must have been within the preceding 12 months.
(b) Flight Instructor (Simulator/Flight Training Device). No flight instructor may provide instruction for the Mitsubishi MU-2B series airplane unless that instructor meets the requirements of this paragraph—
(1) Each flight instructor who provides flight training for the Mitsubishi MU-2B series airplane must meet the pilot training and documentation requirements of § 91.1705 before giving flight instruction for the Mitsubishi MU-2B series airplane;
(2) Each flight instructor who provides flight training for the Mitsubishi MU-2B series airplane must meet the currency requirements of § 91.1715(c) before giving flight instruction for the Mitsubishi MU-2B series airplane;
(3) Each flight instructor who provides flight training for the Mitsubishi MU-2B series airplane must have:
(i) A minimum total pilot time of 2000 pilot-in-command hours and 800 pilot-in-command hours in multiengine airplanes; and
(ii) Within the preceding 12 months, either 50 hours of Mitsubishi MU-2B series airplane pilot-in-command experience or 50 hours providing simulator or flight training device instruction for the Mitsubishi MU-2B.
(c) Checking and evaluation. No person may provide checking or evaluation for the Mitsubishi MU-2B series airplane unless that person meets the requirements of this paragraph—
(1) For the purpose of checking, designated pilot examiners, training center evaluators, and check airmen must have completed the appropriate training in the Mitsubishi MU-2B series airplane in accordance with § 91.1705;
(2) For checking conducted in the Mitsubishi MU-2B series airplane, each designated pilot examiner and check airman must have 100 hours pilot-in-command flight time in the Mitsubishi MU-2B series airplane and maintain currency in accordance with § 91.1715.
(a) The takeoff and landing currency requirements of § 61.57 of this chapter must be maintained in the Mitsubishi MU-2B series airplane. Takeoff and landings in other multiengine airplanes do not meet the takeoff and landing currency requirements for the Mitsubishi MU-2B series plane. Takeoff and landings in either the short-body or long-body Mitsubishi MU-2B model airplane may be credited toward takeoff and landing currency for both Mitsubishi MU-2B model groups.
(b) Instrument experience obtained in other category and class of aircraft may be used to satisfy the instrument currency requirements of § 61.57 of this chapter for the Mitsubishi MU-2B series airplane.
(c) Satisfactory completion of a flight review to satisfy the requirements of § 61.56 of this chapter is valid for operation of a Mitsubishi MU-2B series airplane only if that flight review is conducted in a Mitsubishi MU-2B series airplane or an MU-2B Simulator approved for landings with an approved course conducted under part 142 of this chapter. The flight review for Mitsubishi MU-2B series airplanes must include the Special Emphasis Items, and all items listed in the Training Course Final Phase Check in accordance with an approved MU-2B Training Program.
(d) A person who successfully completes the Initial/transition, Requalification, or Recurrent training requirements under § 91.1705 of this chapter also meet the requirements of § 61.56 of this chapter and need not accomplish a separate flight review provided that at least 1 hour of the flight training was conducted in the Mitsubishi MU-2B series airplane or an MU-2B Simulator approved for landings with an approved course conducted under part 142 of this chapter.
(a) Except as provided in paragraph (b) of this section, no person may operate a Mitsubishi MU-2B airplane in single pilot operations unless that airplane has a functional autopilot.
(b) A person may operate a Mitsubishi MU-2B airplane in single pilot operations without a functional autopilot when—
(1) Operating under day visual flight rule requirements; or
(2) Authorized under a FAA approved minimum equipment list for that airplane, operating under instrument flight rule requirements in daytime visual meteorological conditions.
(c) No person may operate a Mitsubishi MU-2B series airplane unless a copy of the appropriate Mitsubishi Heavy Industries MU-2B Airplane Flight Manual is carried on board the airplane and is accessible during each flight at the pilot station.
(d) No person may operate a Mitsubishi MU-2B series airplane unless an MU-2B series airplane checklist, appropriate for the model being operated and accepted by the Federal Aviation Administration MU-2B Flight Standardization Board, is accessible for each flight at the pilot station and is used by the flight crewmembers when operating the airplane.
(e) No person may operate a Mitsubishi MU-2B series airplane contrary to the standards of this subpart.
(f) If there are any differences between the training and operating requirements of this subpart and the MU-2B Airplane Flight Manual's procedures sections (Normal, Abnormal, and Emergency) and the MU-2B airplane series checklist incorporated by reference in § 91.1721, the person operating the airplane must operate the airplane in accordance with the training specified in this subpart.
Initial/transition, requalification, recurrent or Level B differences training conducted prior to November 7, 2016, compliant with SFAR No. 108, Section 3 of this part, is considered to be compliant with this subpart, if the student met the eligibility requirements for the applicable category of training and the student's instructor met the experience requirements of this subpart.
(a) The Mitsubishi Heavy Industries MU-2B Cockpit Checklists are incorporated by reference into this part. The Director of the Federal Register approved this incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection at U.S. Department of Transportation, Docket Management Facility, Room W 12-140, West Building Ground Floor, 1200 New Jersey Ave. SE., Washington, DC 20590-0001, or at the National Archives and Records Administration, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(b) Mitsubishi Heavy Industries America, Inc., 4951 Airport Parkway, Suite 530, Addison, TX 75001.
(1) Mitsubishi Heavy Industries MU-2B Checklists:
(i) Cockpit Checklist, Model MU-2B-60, Type Certificate A10SW, MHI Document No. YET06220C, accepted by FSB on February 12, 2007.
(ii) Cockpit Checklist, Model MU-2B-40, Type Certificate A10SW, MHI Document No. YET06256A, accepted by FSB on February 12, 2007.
(iii) Cockpit Checklist, Model MU-2B-36A, Type Certificate A10SW, MHI Document No. YET06257B, accepted by FSB on February 12, 2007.
(iv) Cockpit Checklist, Model MU-2B-36, Type Certificate A2PC, MHI Document No. YET06252B, accepted by FSB on February 12, 2007.
(v) Cockpit Checklist, Model MU-2B-35, Type Certificate A2PC, MHI Document No. YET06251B, accepted by FSB on February 12, 2007.
(vi) Cockpit Checklist, Model MU-2B-30, Type Certificate A2PC, MHI Document No. YET06250A, accepted by FSB on March 2, 2007.
(vii) Cockpit Checklist, Model MU-2B-26A, Type Certificate A10SW, MHI Document No. YET06255A, accepted by FSB on February 12, 2007.
(viii) Cockpit Checklist, Model MU-2B-26, Type Certificate A2PC, MHI Document No. YET06249A, accepted by FSB on March 2, 2007.
(ix) Cockpit Checklist, Model MU-2B-26, Type Certificate A10SW, MHI Document No. YET06254A, accepted by FSB on March 2, 2007.
(x) Cockpit Checklist, Model MU-2B-25, Type Certificate A10SW, MHI Document No. YET06253A, accepted by FSB on March 2, 2007.
(xi) Cockpit Checklist, Model MU-2B-25, Type Certificate A2PC, MHI Document No. YET06248A, accepted by FSB on March 2, 2007.
(xii) Cockpit Checklist, Model MU-2B-20, Type Certificate A2PC, MHI Document No. YET06247A, accepted by FSB on February 12, 2007.
(xiii)-(xiv) [Reserved]
(xv) Cockpit Checklist, Model MU-2B-15, Type Certificate A2PC, MHI Document No. YET06246A, accepted by FSB on March 2, 2007.
(xvi) Cockpit Checklist, Model MU-2B-10, Type Certificate A2PC, MHI Document No. YET06245A, accepted by FSB on March 2, 2007.
(xvii) Cockpit Checklist, Model MU-2B, Type Certificate A2PC, MHI Document No. YET06244A, accepted by FSB on March 2, 2007.
(2) [Reserved]
(a) Application for approval. An applicant for approval of a Category II manual or an amendment to an approved Category II manual must submit the proposed manual or amendment to the responsible Flight Standards office. If the application requests an evaluation program, it must include the following:
(1) The location of the aircraft and the place where the demonstrations are to be conducted; and
(2) The date the demonstrations are to commence (at least 10 days after filing the application).
(b) Contents. Each Category II manual must contain:
(1) The registration number, make, and model of the aircraft to which it applies;
(2) A maintenance program as specified in section 4 of this appendix; and
(3) The procedures and instructions related to recognition of decision height, use of runway visual range information, approach monitoring, the decision region (the region between the middle marker and the decision height), the maximum permissible deviations of the basic ILS indicator within the decision region, a missed approach, use of airborne low approach equipment, minimum altitude for the use of the autopilot, instrument and equipment failure warning systems, instrument failure, and other procedures, instructions, and limitations that may be found necessary by the Administrator.
The instruments and equipment listed in this section must be installed in each aircraft operated in a Category II operation. This section does not require duplication of instruments and equipment required by § 91.205 or any other provisions of this chapter.
(a) Group I. (1) Two localizer and glide slope receiving systems. Each system must provide a basic ILS display and each side of the instrument panel must have a basic ILS display. However, a single localizer antenna and a single glide slope antenna may be used.
(2) A communications system that does not affect the operation of at least one of the ILS systems.
(3) A marker beacon receiver that provides distinctive aural and visual indications of the outer and the middle markers.
(4) Two gyroscopic pitch and bank indicating systems.
(5) Two gyroscopic direction indicating systems.
(6) Two airspeed indicators.
(7) Two sensitive altimeters adjustable for barometric pressure, each having a placarded correction for altimeter scale error and for the wheel height of the aircraft. After June 26, 1979, two sensitive altimeters adjustable for barometric pressure, having markings at 20-foot intervals and each having a placarded correction for altimeter scale error and for the wheel height of the aircraft.
(8) Two vertical speed indicators.
(9) A flight control guidance system that consists of either an automatic approach coupler or a flight director system. A flight director system must display computed information as steering command in relation to an ILS localizer and, on the same instrument, either computed information as pitch command in relation to an ILS glide slope or basic ILS glide slope information. An automatic approach coupler must provide at least automatic steering in relation to an ILS localizer. The flight control guidance system may be operated from one of the receiving systems required by subparagraph (1) of this paragraph.
(10) For Category II operations with decision heights below 150 feet either a marker beacon receiver providing aural and visual indications of the inner marker or a radio altimeter.
(b) Group II. (1) Warning systems for immediate detection by the pilot of system faults in items (1), (4), (5), and (9) of Group I and, if installed for use in Category III operations, the radio altimeter and autothrottle system.
(2) Dual controls.
(3) An externally vented static pressure system with an alternate static pressure source.
(4) A windshield wiper or equivalent means of providing adequate cockpit visibility for a safe visual transition by either pilot to touchdown and rollout.
(5) A heat source for each airspeed system pitot tube installed or an equivalent means of preventing malfunctioning due to icing of the pitot system.
(a) General. The instruments and equipment required by section 2 of this appendix must be approved as provided in this section before being used in Category II operations. Before presenting an aircraft for approval of the instruments and equipment, it must be shown that since the beginning of the 12th calendar month before the date of submission—
(1) The ILS localizer and glide slope equipment were bench checked according to the manufacturer's instructions and found to meet those standards specified in RTCA Paper 23-63/DO-117 dated March 14, 1963, “Standard Adjustment Criteria for Airborne Localizer and Glide Slope Receivers,” which may be obtained from the RTCA Secretariat, 1425 K St., NW., Washington, DC 20005.
(2) The altimeters and the static pressure systems were tested and inspected in accordance with appendix E to part 43 of this chapter; and
(3) All other instruments and items of equipment specified in section 2(a) of this appendix that are listed in the proposed maintenance program were bench checked and found to meet the manufacturer's specifications.
(b) Flight control guidance system. All components of the flight control guidance system must be approved as installed by the evaluation program specified in paragraph (e) of this section if they have not been approved for Category III operations under applicable type or supplemental type certification procedures. In addition, subsequent changes to make, model, or design of the components must be approved under this paragraph. Related systems or devices, such as the autothrottle and computed missed approach guidance system, must be approved in the same manner if they are to be used for Category II operations.
(c) Radio altimeter. A radio altimeter must meet the performance criteria of this paragraph for original approval and after each subsequent alteration.
(1) It must display to the flight crew clearly and positively the wheel height of the main landing gear above the terrain.
(2) It must display wheel height above the terrain to an accuracy of plus or minus 5 feet or 5 percent, whichever is greater, under the following conditions:
(i) Pitch angles of zero to plus or minus 5 degrees about the mean approach attitude.
(ii) Roll angles of zero to 20 degrees in either direction.
(iii) Forward velocities from minimum approach speed up to 200 knots.
(iv) Sink rates from zero to 15 feet per second at altitudes from 100 to 200 feet.
(3) Over level ground, it must track the actual altitude of the aircraft without significant lag or oscillation.
(4) With the aircraft at an altitude of 200 feet or less, any abrupt change in terrain representing no more than 10 percent of the aircraft's altitude must not cause the altimeter to unlock, and indicator response to such changes must not exceed 0.1 seconds and, in addition, if the system unlocks for greater changes, it must reacquire the signal in less than 1 second.
(5) Systems that contain a push-to-test feature must test the entire system (with or without an antenna) at a simulated altitude of less than 500 feet.
(6) The system must provide to the flight crew a positive failure warning display any time there is a loss of power or an absence of ground return signals within the designed range of operating altitudes.
(d) Other instruments and equipment. All other instruments and items of equipment required by § 2 of this appendix must be capable of performing as necessary for Category II operations. Approval is also required after each subsequent alteration to these instruments and items of equipment.
(e) Evaluation program—(1) Application. Approval by evaluation is requested as a part of the application for approval of the Category II manual.
(2) Demonstrations. Unless otherwise authorized by the Administrator, the evaluation program for each aircraft requires the demonstrations specified in this paragraph. At least 50 ILS approaches must be flown with at least five approaches on each of three different ILS facilities and no more than one half of the total approaches on any one ILS facility. All approaches shall be flown under simulated instrument conditions to a 100-foot decision height and 90 percent of the total approaches made must be successful. A successful approach is one in which—
(i) At the 100-foot decision height, the indicated airspeed and heading are satisfactory for a normal flare and landing (speed must be plus or minus 5 knots of programmed airspeed, but may not be less than computed threshold speed if autothrottles are used);
(ii) The aircraft at the 100-foot decision height, is positioned so that the cockpit is within, and tracking so as to remain within, the lateral confines of the runway extended;
(iii) Deviation from glide slope after leaving the outer marker does not exceed 50 percent of full-scale deflection as displayed on the ILS indicator;
(iv) No unusual roughness or excessive attitude changes occur after leaving the middle marker; and
(v) In the case of an aircraft equipped with an approach coupler, the aircraft is sufficiently in trim when the approach coupler is disconnected at the decision height to allow for the continuation of a normal approach and landing.
(3) Records. During the evaluation program the following information must be maintained by the applicant for the aircraft with respect to each approach and made available to the Adninistrator upon request:
(i) Each deficiency in airborne instruments and equipment that prevented the initiation of an approach.
(ii) The reasons for discontinuing an approach, including the altitude above the runway at which it was discontinued.
(iii) Speed control at the 100-foot decision height if auto throttles are used.
(iv) Trim condition of the aircraft upon disconnecting the auto coupler with respect to continuation to flare and landing.
(v) Position of the aircraft at the middle marker and at the decision height indicated both on a diagram of the basic ILS display and a diagram of the runway extended to the middle marker. Estimated touchdown point must be indicated on the runway diagram.
(vi) Compatibility of flight director with the auto coupler, if applicable.
(vii) Quality of overall system performance.
(4) Evaluation. A final evaluation of the flight control guidance system is made upon successful completion of the demonstrations. If no hazardous tendencies have been displayed or are otherwise known to exist, the system is approved as installed.
(a) Each maintenance program must contain the following:
(1) A list of each instrument and item of equipment specified in § 2 of this appendix that is installed in the aircraft and approved for Category II operations, including the make and model of those specified in § 2(a).
(2) A schedule that provides for the performance of inspections under subparagraph (5) of this paragraph within 3 calendar months after the date of the previous inspection. The inspection must be performed by a person authorized by part 43 of this chapter, except that each alternate inspection may be replaced by a functional flight check. This functional flight check must be performed by a pilot holding a Category II pilot authorization for the type aircraft checked.
(3) A schedule that provides for the performance of bench checks for each listed instrument and item of equipment that is specified in section 2(a) within 12 calendar months after the date of the previous bench check.
(4) A schedule that provides for the performance of a test and inspection of each static pressure system in accordance with appendix E to part 43 of this chapter within 12 calendar months after the date of the previous test and inspection.
(5) The procedures for the performance of the periodic inspections and functional flight checks to determine the ability of each listed instrument and item of equipment specified in section 2(a) of this appendix to perform as approved for Category II operations including a procedure for recording functional flight checks.
(6) A procedure for assuring that the pilot is informed of all defects in listed instruments and items of equipment.
(7) A procedure for assuring that the condition of each listed instrument and item of equipment upon which maintenance is performed is at least equal to its Category II approval condition before it is returned to service for Category II operations.
(8) A procedure for an entry in the maintenance records required by § 43.9 of this chapter that shows the date, airport, and reasons for each discontinued Category II operation because of a malfunction of a listed instrument or item of equipment.
(b) Bench check. A bench check required by this section must comply with this paragraph.
(1) It must be performed by a certificated repair station holding one of the following ratings as appropriate to the equipment checked:
(i) An instrument rating.
(ii) A radio rating.
(2) It must consist of removal of an instrument or item of equipment and performance of the following:
(i) A visual inspection for cleanliness, impending failure, and the need for lubrication, repair, or replacement of parts;
(ii) Correction of items found by that visual inspection; and
(iii) Calibration to at least the manufacturer's specifications unless otherwise specified in the approved Category II manual for the aircraft in which the instrument or item of equipment is installed.
(c) Extensions. After the completion of one maintenance cycle of 12 calendar months, a request to extend the period for checks, tests, and inspections is approved if it is shown that the performance of particular equipment justifies the requested extension.
Section 1. Locations at which the requirements of § 91.215(b)(2) and § 91.225(d)(2) apply. The requirements of §§ 91.215(b)(2) and 91.225(d)(2) apply below 10,000 feet MSL within a 30-nautical-mile radius of each location in the following list.
Section 2. Airports at which the requirements of § 91.215(b)(5)(ii) apply. [Reserved]
Section 3. Locations at which fixed-wing Special VFR operations are prohibited.
The Special VFR weather minimums of § 91.157 do not apply to the following airports:
Section 4. Locations at which solo student, sport, and recreational pilot activity is not permitted.
Pursuant to § 91.131(b)(2), solo student, sport, and recreational pilot operations are not permitted at any of the following airports.
| Parameters | Range | Installed system 1 minimum accuracy (to recovered data) | Sampling interval (per second) | Resolution 4 read out |
|---|---|---|---|---|
| Relative Time (From Recorded on Prior to Takeoff) | 8 hr minimum | ±0.125% per hour | 1 | 1 sec. |
| Indicated Airspeed | Vso to VD (KIAS) | ±5% or ±10 kts., whichever is greater. Resolution 2 kts. below 175 KIAS | 1 | 1% 3 |
| Altitude | −1,000 ft. to max cert. alt. of A/C | ±100 to ±700 ft. (see Table 1, TSO C51-a) | 1 | 25 to 150 ft. |
| Magnetic Heading | 360° | ±5° | 1 | 1° |
| Vertical Acceleration | −3g to + 6g | ±0.2g in addition to ±0.3g maximum datum | 4 (or 1 per second where peaks, ref. to 1g are recorded) | 0.03g. |
| Longitudinal Acceleration | ±1.0g | ±1.5% max. range excluding datum error of ±5% | 2 | 0.01g. |
| Pitch Attitude | 100% of usable | ±2° | 1 | 0.8° |
| Roll Attitude | ±60° or 100% of usable range, whichever is greater | ±2° | 1 | 0.8° |
| Stabilizer Trim Position, or | Full Range | ±3% unless higher uniquely required | 1 | 1% 3 |
| Pitch Control Position 5 | ||||
| Engine Power, Each Engine: | Full Range | ±3% unless higher uniquely required | 1 | 1% 3 |
| Fan or N 1 Speed or EPR or Cockpit indications Used for Aircraft Certification OR | Maximum Range | ±5% | 1 | 1% 3 |
| Prop. speed and Torque (Sample Once/Sec as Close together as Practicable) | 1 (prop Speed)
1 (torque) | 1%
3
1% 3 | ||
| Altitude Rate 2 (need depends on altitude resolution) | ±8,000 fpm | ±10%. Resolution 250 fpm below 12,000 ft. indicated | 1 | 250 fpm. below 12,000 |
| Angle of Attack 2 (need depends on altitude resolution) | −20° to 40° or 100% of usable range | ±2° | 1 | 0.8% 3 |
| Radio Transmitter Keying (Discrete) | On/Off | 1 | ||
| TE Flaps (Discrete or Analog) | Each discrete position (U, D, T/O, AAP) OR | 1 | ||
| LE Flaps (Discrete or Analog) | Analog 0-100% range | ±3% | 1 | 1% 3 |
| Each discrete position (U, D, T/O, AAP) OR | 1 | |||
| Thrust Reverser, Each Engine (Discrete) | Analog 0-100% range | ±3° | 1 | 1% 3 |
| Stowed or full reverse | ||||
| Spoiler/Speedbrake (Discrete) | Stowed or out | 1 | ||
| Autopilot Engaged (Discrete) | Engaged or Disengaged | 1 |
1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.
2 If data from the altitude encoding altimeter (100 ft. resolution) is used, then either one of these parameters should also be recorded. If however, altitude is recorded at a minimum resolution of 25 feet, then these two parameters can be omitted.
3 Per cent of full range.
4 This column applies to aircraft manufactured after October 11, 1991.
5 For Pitch Control Position only, for all aircraft manufactured on or after April 6, 2012, the sampling interval (per second) is 8. Each input must be recorded at this rate. Alternately sampling inputs (interleaving) to meet this sampling interval is prohibited.
| Parameters | Range | Installed system 1 minimum accuracy (to recovered data) | Sampling interval (per second) | Resolution 3 read out |
|---|---|---|---|---|
| Relative Time (From Recorded on Prior to Takeoff) | 4 hr minimum | ±0.125% per hour | 1 | 1 sec. |
| Indicated Airspeed | VM in to VD (KIAS) (minimum airspeed signal attainable with installed pilot-static system) | ±5% or ±10 kts., whichever is greater | 1 | 1 kt. |
| Altitude | −1,000 ft. to 20,000 ft. pressure altitude | ±100 to ±700 ft. (see Table 1, TSO C51-a) | 1 | 25 to 150 ft. |
| Magnetic Heading | 360° | ±5° | 1 | 1° |
| Vertical Acceleration | −3g to + 6g | ±0.2g in addition to ±0.3g maximum datum | 4 (or 1 per second where peaks, ref. to 1g are recorded) | 0.05g. |
| Longitudinal Acceleration | ±1.0g | ±1.5% max. range excluding datum error of ±5% | 2 | 0.03g. |
| Pitch Attitude | 100% of usable range | ±2° | 1 | 0.8° |
| Roll Attitude | ±60 or 100% of usable range, whichever is greater | ±2° | 1 | 0.8° |
| Altitude Rate | ±8,000 fpm | ±10% Resolution 250 fpm below 12,000 ft. indicated | 1 | 250 fpm below 12,000. |
| Main Rotor Speed | Maximum Range | ±5% | 1 | 1%2. |
| Free or Power Turbine | Maximum Range | ±5% | 1 | 1%2. |
| Engine Torque | Maximum Range | ±5% | 1 | 1%2. |
| Primary (Discrete) | High/Low | 1 | ||
| Secondary—if applicable (Discrete) | High/Low | 1 | ||
| Radio Transmitter Keying (Discrete) | On/Off | 1 | ||
| Autopilot Engaged (Discrete) | Engaged or Disengaged | 1 | ||
| SAS Status-Engaged (Discrete) | Engaged or Disengaged | 1 | ||
| SAS Fault Status (Discrete) | Fault/OK | 1 | ||
| Collective 4 | Full range | ±3% | 2 | 1%2. |
| Pedal Position 4 | Full range | ±3% | 2 | 1%2. |
| Lat. Cyclic 4 | Full range | ±3% | 2 | 1%2. |
| Long. Cyclic 4 | Full range | ±3% | 2 | 1%2. |
| Controllable Stabilator Position 4 | Full range | ±3% | 2 | 1%2. |
1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.
2 Per cent of full range.
3 This column applies to aircraft manufactured after October 11, 1991.
4 For all aircraft manufactured on or after April 6, 2012, the sampling interval per second is 4.
Reduced Vertical Separation Minimum (RVSM) Airspace. Within RVSM airspace, air traffic control (ATC) separates aircraft by a minimum of 1,000 feet vertically between FL 290 and FL 410 inclusive. Air-traffic control notifies operators of RVSM airspace by providing route planning information.
RVSM Group Aircraft. Aircraft within a group of aircraft, approved as a group by the Administrator, in which each of the aircraft satisfy each of the following:
(a) The aircraft have been manufactured to the same design, and have been approved under the same type certificate, amended type certificate, or supplemental type certificate.
(b) The static system of each aircraft is installed in a manner and position that is the same as those of the other aircraft in the group. The same static source error correction is incorporated in each aircraft of the group.
(c) The avionics units installed in each aircraft to meet the minimum RVSM equipment requirements of this appendix are:
(1) Manufactured to the same manufacturer specification and have the same part number; or
(2) Of a different manufacturer or part number, if the applicant demonstrates that the equipment provides equivalent system performance.
RVSM Nongroup Aircraft. An aircraft that is approved for RVSM operations as an individual aircraft.
RVSM Flight envelope. An RVSM flight envelope includes the range of Mach number, weight divided by atmospheric pressure ratio, and altitudes over which an aircraft is approved to be operated in cruising flight within RVSM airspace. RVSM flight envelopes are defined as follows:
(a) The full RVSM flight envelope is bounded as follows:
(1) The altitude flight envelope extends from FL 290 upward to the lowest altitude of the following:
(i) FL 410 (the RVSM altitude limit);
(ii) The maximum certificated altitude for the aircraft; or
(iii) The altitude limited by cruise thrust, buffet, or other flight limitations.
(2) The airspeed flight envelope extends:
(i) From the airspeed of the slats/flaps-up maximum endurance (holding) airspeed, or the maneuvering airspeed, whichever is lower;
(ii) To the maximum operating airspeed (V
(3) All permissible gross weights within the flight envelopes defined in paragraphs (1) and (2) of this definition.
(b) The basic RVSM flight envelope is the same as the full RVSM flight envelope except that the airspeed flight envelope extends:
(1) From the airspeed of the slats/flaps-up maximum endurance (holding) airspeed, or the maneuver airspeed, whichever is lower;
(2) To the upper Mach/airspeed boundary defined for the full RVSM flight envelope, or a specified lower value not less than the long-range cruise Mach number plus .04 Mach, unless further limited by available cruise thrust, buffet, or other flight limitations.
(a) Except as specified in Section 9 of this appendix, an operator may be authorized to conduct RVSM operations if the Administrator finds that its aircraft comply with this section.
(b) The applicant for authorization shall submit the appropriate data package for aircraft approval. The package must consist of at least the following:
(1) An identification of the RVSM aircraft group or the nongroup aircraft;
(2) A definition of the RVSM flight envelopes applicable to the subject aircraft;
(3) Documentation that establishes compliance with the applicable RVSM aircraft requirements of this section; and
(4) The conformity tests used to ensure that aircraft approved with the data package meet the RVSM aircraft requirements.
(c) Altitude-keeping equipment: All aircraft. To approve an aircraft group or a nongroup aircraft, the Administrator must find that the aircraft meets the following requirements:
(1) The aircraft must be equipped with two operational independent altitude measurement systems.
(2) The aircraft must be equipped with at least one automatic altitude control system that controls the aircraft altitude—
(i) Within a tolerance band of ±65 feet about an acquired altitude when the aircraft is operated in straight and level flight under nonturbulent, nongust conditions; or
(ii) Within a tolerance band of ±130 feet under nonturbulent, nongust conditions for aircraft for which application for type certification occurred on or before April 9, 1997 that are equipped with an automatic altitude control system with flight management/performance system inputs.
(3) The aircraft must be equipped with an altitude alert system that signals an alert when the altitude displayed to the flight crew deviates from the selected altitude by more than:
(i) ±300 feet for aircraft for which application for type certification was made on or before April 9, 1997; or
(ii) ±200 feet for aircraft for which application for type certification is made after April 9, 1997.
(d) Altimetry system error containment: Group aircraft for which application for type certification was made on or before April 9, 1997. To approve group aircraft for which application for type certification was made on or before April 9, 1997, the Administrator must find that the altimetry system error (ASE) is contained as follows:
(1) At the point in the basic RVSM flight envelope where mean ASE reaches its largest absolute value, the absolute value may not exceed 80 feet.
(2) At the point in the basic RVSM flight envelope where mean ASE plus three standard deviations reaches its largest absolute value, the absolute value may not exceed 200 feet.
(3) At the point in the full RVSM flight envelope where mean ASE reaches its largest absolute value, the absolute value may not exceed 120 feet.
(4) At the point in the full RVSM flight envelope where mean ASE plus three standard deviations reaches its largest absolute value, the absolute value may not exceed 245 feet.
(5) Necessary operating restrictions. If the applicant demonstrates that its aircraft otherwise comply with the ASE containment requirements, the Administrator may establish an operating restriction on that applicant's aircraft to restrict the aircraft from operating in areas of the basic RVSM flight envelope where the absolute value of mean ASE exceeds 80 feet, and/or the absolute value of mean ASE plus three standard deviations exceeds 200 feet; or from operating in areas of the full RVSM flight envelope where the absolute value of the mean ASE exceeds 120 feet and/or the absolute value of the mean ASE plus three standard deviations exceeds 245 feet.
(e) Altimetry system error containment: Group aircraft for which application for type certification is made after April 9, 1997. To approve group aircraft for which application for type certification is made after April 9, 1997, the Administrator must find that the altimetry system error (ASE) is contained as follows:
(1) At the point in the full RVSM flight envelope where mean ASE reaches its largest absolute value, the absolute value may not exceed 80 feet.
(2) At the point in the full RVSM flight envelope where mean ASE plus three standard deviations reaches its largest absolute value, the absolute value may not exceed 200 feet.
(f) Altimetry system error containment: Nongroup aircraft. To approve a nongroup aircraft, the Administrator must find that the altimetry system error (ASE) is contained as follows:
(1) For each condition in the basic RVSM flight envelope, the largest combined absolute value for residual static source error plus the avionics error may not exceed 160 feet.
(2) For each condition in the full RVSM flight envelope, the largest combined absolute value for residual static source error plus the avionics error may not exceed 200 feet.
(g) Traffic Alert and Collision Avoidance System (TCAS) Compatibility With RVSM Operations: All aircraft. After March 31, 2002, unless otherwise authorized by the Administrator, if you operate an aircraft that is equipped with TCAS II in RVSM airspace, it must be a TCAS II that meets TSO C-119b (Version 7.0), or a later version.
(h) If the Administrator finds that the applicant's aircraft comply with this section, the Administrator notifies the applicant in writing.
(a) Except as specified in Section 9 of this appendix, authority for an operator to conduct flight in airspace where RVSM is applied is issued in operations specifications, a Letter of Authorization, or management specifications issued under subpart K of this part, as appropriate. To issue an RVSM authorization under this section, the Administrator must find that the operator's aircraft have been approved in accordance with Section 2 of this appendix and the operator complies with this section.
(b) Except as specified in Section 9 of this appendix, an applicant seeking authorization to operate within RVSM airspace must apply in a form and manner prescribed by the Administrator. The application must include the following:
(1) [Reserved]
(2) For an applicant who operates under part 121 or 135 of this chapter or under subpart K of this part, initial and recurring pilot training requirements.
(3) Policies and procedures: An applicant who operates under part 121 or 135 of this chapter or under subpart K of this part must submit RVSM policies and procedures that will enable it to conduct RVSM operations safely.
(c) In a manner prescribed by the Administrator, an operator seeking authorization under this section must provide evidence that:
(1) It is capable to operate and maintain each aircraft or aircraft group for which it applies for approval to operate in RVSM airspace; and
(2) Each pilot has knowledge of RVSM requirements, policies, and procedures sufficient for the conduct of operations in RVSM airspace.
(a) Each person requesting a clearance to operate within RVSM airspace shall correctly annotate the flight plan filed with air traffic control with the status of the operator and aircraft with regard to RVSM approval. Each operator shall verify RVSM applicability for the flight planned route through the appropriate flight planning information sources.
(b) No person may show, on the flight plan filed with air traffic control, an operator or aircraft as approved for RVSM operations, or operate on a route or in an area where RVSM approval is required, unless:
(1) The operator is authorized by the Administrator to perform such operations in accordance with Section 3 or Section 9 of this appendix, as applicable.
(2) The aircraft—
(i) Has been approved and complies with Section 2 this appendix; or
(ii) Complies with Section 9 of this appendix.
(3) Each pilot has knowledge of RVSM requirements, policies, and procedures sufficient for the conduct of operations in RVSM airspace.
The Administrator may authorize an aircraft operator to deviate from the requirements of §§ 91.180 or 91.706 for a specific flight in RVSM airspace if—
(a) The operator submits a request in a time and manner acceptable to the Administrator; and
(b) At the time of filing the flight plan for that flight, ATC determines that the aircraft may be provided appropriate separation and that the flight will not interfere with, or impose a burden on, RVSM operations.
Each operator shall report to the Administrator each event in which the operator's aircraft has exhibited the following altitude-keeping performance:
(a) Total vertical error of 300 feet or more;
(b) Altimetry system error of 245 feet or more; or
(c) Assigned altitude deviation of 300 feet or more.
The Administrator may prohibit or restrict an operator from conducting operations in RVSM airspace, if the Administrator determines that the operator is not complying, or is unable to comply, with this appendix or subpart H of this part. Examples of reasons for amendment, revocation, or restriction include, but are not limited to, an operator's:
(a) Committing one or more altitude-keeping errors in RVSM airspace;
(b) Failing to make an effective and timely response to identify and correct an altitude-keeping error; or
(c) Failing to report an altitude-keeping error.
RVSM may be applied in all ICAO Flight Information Regions (FIRs).
An operator is authorized to conduct flight in airspace in which RVSM is applied provided:
(a) The aircraft is equipped with the following:
(1) Two operational independent altitude measurement systems.
(2) At least one automatic altitude control system that controls the aircraft altitude—
(i) Within a tolerance band of ±65 feet about an acquired altitude when the aircraft is operated in straight and level flight under nonturbulent, nongust conditions; or
(ii) Within a tolerance band of ±130 feet under nonturbulent, nongust conditions for aircraft for which application for type certification occurred on or before April 9, 1997, that are equipped with an automatic altitude control system with flight management/performance system inputs.
(3) An altitude alert system that signals an alert when the altitude displayed to the flightcrew deviates from the selected altitude by more than—
(i) ±300 feet for aircraft for which application for type certification was made on or before April 9, 1997; or
(ii) ±200 feet for aircraft for which application for type certification is made after April 9, 1997.
(4) A TCAS II that meets TSO C-119b (Version 7.0), or a later version, if equipped with TCAS II, unless otherwise authorized by the Administrator.
(5) Unless authorized by ATC or the foreign country where the aircraft is operated, an ADS-B Out system that meets the equipment performance requirements of § 91.227 of this part. The aircraft must have its height-keeping performance monitored in a form and manner acceptable to the Administrator.
(b) The altimetry system error (ASE) of the aircraft does not exceed 200 feet when operating in RVSM airspace.
This part prescribes special air traffic rules for operating aircraft in certain areas described in this part, unless otherwise authorized by air traffic control.
This subpart prescribes special air traffic rules for aircraft operating in the Anchorage, Alaska, Terminal Area.
The Anchorage, Alaska, Terminal Area is designated as that airspace extending upward from the surface to the upper limit of each of the segments described in § 93.55. It is bounded by a line beginning at Point MacKenzie, extending westerly along the bank of Knik Arm to a point intersecting the 350° bearing from the Anchorage International ATCT; thence north to intercept the 5.2-mile arc centered on the geographical center of Anchorage, Alaska, ATCT; thence counterclockwise along that arc to its intersection with a line bearing 180° from the intersection of the new Seward Highway and International Airport Road; thence due north to O'Malley Road; thence east along O'Malley Road to its intersection with Lake Otis Parkway; thence northerly along Lake Otis Parkway to its intersection with Abbott Road; thence east along Abbott Road to its intersection with Abbott Loop Road; thence north to its intersection with Tudor Road; thence easterly along Tudor Road to its intersection with Muldoon Road; thence northerly along Muldoon Road to the intersection of the Glenn Highway; thence north and east along the Glenn Highway to Ski Bowl Road; thence southeast along the Ski Bowl Road to a point one-half mile south of the Glenn Highway; thence north and east one-half mile south of and parallel to the Glenn Highway to its intersection with a line one-half mile east of and parallel to the Bryant Airport Runway 16/34 extended centerline; thence northeast along a line one-half mile east of and parallel to Bryant Airport Runway 16/34 extended centerline to lat. 61°17′13″ N., long. 149°37′35″ W.; thence west along lat. 61°17′13″ N., to long. 149°43′08″ W.; thence north along long. 149°43′08″ W., to lat. 61°17′30″ N.; thence to lat. 61°17′58″ N., long 149°44′08″ W.; thence to lat. 61°19′10″ N., long. 149°46′44″ W.; thence north along long. 149°46′44″ W., to intercept the 4.7-mile radius arc centered on Elmendorf Air Force Base (AFB), Alaska; thence counterclockwise along the 4.7-mile radius arc to its intersection with the west bank of Knik Arm; thence southerly along the west bank of Knik Arm to the point of beginning.
The Anchorage, Alaska, Terminal Area is subdivided as follows:
(a) International segment. That area from the surface to and including 4,100 feet MSL, within a 5.2-mile radius of the Anchorage International ATCT; excluding that airspace east of the 350° bearing from the Anchorage International ATCT and north of the 090° bearing from the Anchorage International ATCT and east of a line bearing 180° and 360° from the intersection of the new Seward Highway and International Airport Road and the airspace extending upward from the surface to but not including 600 feet MSL, south of lat. 61°08′28″ N.
(b) Merrill segment. That area from the surface to and including 2,500 feet MSL, within a line beginning at Point Noname; thence direct to the mouth of Ship Creek; thence direct to the intersection of the Glenn Highway and Muldoon Road; thence south along Muldoon Road to Tudor Road; thence west along Tudor Road to the new Seward Highway; thence direct to West Anchorage High School; thence direct to Point MacKenzie; thence via the north bank of Knik Arm to the point of beginning.
(c) Lake Hood segment. That area from the surface to and including 2,500 feet MSL, within a line beginning at Point MacKenzie; thence direct to West Anchorage High School; thence direct to the intersection of Tudor Road and the new Seward Highway; thence south along the new Seward Highway to the 090° bearing from the Anchorage International ATCT; thence west direct to the Anchorage International ATCT; thence north along the 350° bearing from the Anchorage International ATCT to the north bank of Knik arm; thence via the north bank of Knik Arm to the point of beginning.
(d) Elmendorf segment. That area from the surface to and including 3,000 feet MSL, within a line beginning at Point Noname; thence via the north bank of Knik Arm to the intersection of the 4.7-mile radius of Elmendorf AFB; thence clockwise along the 4.7-mile radius of Elmendorf AFB to long. 149°46′44″ W.; thence south along long. 149°46′44″ W. to lat. 61°19′10″ N.; thence to lat. 61°17′58″ N., long. 149°44′08″ W.; thence to lat. 61°17′30″ N., long. 149°43′08″ W.; thence south along long. 149°43′08″ W. to the Glenn Highway; thence south and west along the Glenn Highway to Muldoon Road; thence direct to the mouth of Ship Creek; thence direct to the point of beginning.
(e) Bryant segment. That area from the surface to and including 2,000 feet MSL, within a line beginning at lat. 61°17′13″ N., long. 149°37′35″ W.; thence west along lat. 61°17′13″ N., to long. 149°43′08″ W.; thence south along long. 149°43′08″ W., to the Glenn Highway; thence north and east along the Glenn Highway to Ski Bowl Road; thence southeast along the Ski Bowl Road to a point one-half mile south of the Glenn Highway; thence north and east one-half mile south of and parallel to the Glenn Highway to its intersection with a line one-half mile east of and parallel to the Bryant Airport Runway 16/34 extended centerline; thence northeast along a line one-half mile east of and parallel to Bryant Airport runway 16/34 extended centerline to the point of beginning.
(f) Seward Highway segment. That area from the surface to and including 4,100 feet MSL, within a line beginning at the intersection of a line bearing 180° from the intersection of the new Seward Highway and International Airport Road, and O'Malley Road; thence east along O'Malley Road to its intersection with Lake Otis Park Way, lat. 61°07′23″ N., long 149°50′03″ W.; thence northerly along Lake Otis Park Way to its intersection with Abbott Road, lat. 61°08′14″ N., long. 149°50′03″ W.; thence east along Abbott Road to its intersection with Abbott Loop Road, lat. 61°08′14″ N., long. 149°48′16″ W.; thence due north to intersect with Tudor Road, lat. 61°10′51″ N., long. 149°48′16″ W.; thence west along Tudor Road to its intersection with the new Seward Highway, lat. 61°10′51″ N., long. 149°51′38″ W.; thence south along the new Seward Highway to its intersection with a line bearing 180° and 360° from the intersection of the new Seward Highway and International Airport Road; thence south to the point of beginning.
(a) Each person operating an aircraft to, from, or on an airport within the Anchorage, Alaska, Terminal Area shall operate that aircraft according to the rules set forth in this section and §§ 93.59, 93.61, 93.63, 93.65, 93.67, or 93.68 as applicable, unless otherwise authorized or required by ATC.
(b) Each person operating an airplane within the Anchorage, Alaska Terminal Area shall conform to the flow of traffic depicted on the appropriate aeronautical charts.
(c) Each person operating a helicopter shall operate it in a manner so as to avoid the flow of airplanes.
(d) Except as provided in § 93.65 (d) and (e), and § 93.67(b), each person operating an aircraft in the Anchorage, Alaska, Terminal Area shall operate that aircraft only within the designated segment containing the arrival or departure airport.
(e) Except as provided in §§ 93.63(d) and 93.67(b), each person operating an aircraft in the Anchorage, Alaska, Terminal Area shall maintain two-way radio communications with the ATCT serving the segment containing the arrival or departure airport.
(a) No person may operate an aircraft at an altitude between 1,200 feet MSL and 2,000 feet MSL in that portion of this segment lying north of the midchannel of Knik Arm.
(b) Each person operating an airplane at a speed of more than 105 knots within this segment (except that part described in paragraph (a) of this section) shall operate that airplane at an altitude of at least 1,600 feet MSL until maneuvering for a safe landing requires further descent.
(c) Each person operating an airplane at a speed of 105 knots or less within this segment (except that part described in paragraph (a) of this section) shall operate that airplane at an altitude of at least 900 feet MSL until maneuvering for a safe landing requires further descent.
(a) No person may operate an aircraft at an altitude between 1,200 feet MSL and 2,000 feet MSL in that portion of this segment lying north of the midchannel of Knik Arm.
(b) Each person operating an airplane within this segment (except that part described in paragraph (a) of this section) shall operate that airplane at an altitude of at least 600 feet MSL until maneuvering for a safe landing requires further descent.
(a) No person may operate an aircraft at an altitude between 600 feet MSL and 2,000 feet MSL in that portion of this segment lying north of the midchannel of Knik Arm.
(b) Each person operating an airplane at a speed of more than 105 knots within this segment (except for that part described in paragraph (a) of this section) shall operate that airplane at an altitude of at least 1,200 feet MSL until maneuvering for a safe landing requires further descent.
(c) Each person operating an airplane at a speed of 105 knots or less within this segment (except for that part described in paragraph (a) of this section) shall operate that airplane at an altitude of at least 900 feet MSL until maneuvering for a safe landing requires further descent.
(d) Whenever the Merrill ATCT is not operating, each person operating an aircraft either in that portion of the Merrill segment north of midchannel of Knik Arm, or in the Seward Highway segment at or below 1200 feet MSL, shall contact Anchorage Approach Control for wake turbulence and other advisories. Aircraft operating within the remainder of the segment should self-announce intentions on the Merrill Field CTAF.
(a) Each person operating a turbine-powered aircraft within this segment shall operate that aircraft at an altitude of at least 1,700 feet MSL until maneuvering for a safe landing requires further descent.
(b) Each person operating an airplane (other than turbine-powered aircraft) at a speed of more than 105 knots within this segment shall operate that airplane at an altitude of at least 1,200 feet MSL until maneuvering for a safe landing requires further descent.
(c) Each person operating an airplane (other than turbine-powered aircraft) at a speed of 105 knots or less within the segment shall operate that airplane at an altitude of at least 800 feet MSL until maneuvering for a safe landing requires further descent.
(d) A person landing or departing from Elmendorf AFB, may operate that aircraft at an altitude between 1,500 feet MSL and 1,700 feet MSL within that portion of the International and Lake Hood segments lying north of the midchannel of Knik Arm.
(e) A person landing or departing from Elmendorf AFB, may operate that aircraft at an altitude between 900 feet MSL and 1,700 feet MSL within that portion of the Merrill segment lying north of the midchannel of Knik Arm.
(f) A person operating in VFR conditions, at or below 600 feet MSL, north of a line beginning at the intersection of Farrell Road and the long. 149°43′08″ W.; thence west along Farrell Road to the east end of Sixmile Lake; thence west along a line bearing on the middle of Lake Lorraine to the northwest bank of Knik Arm; is not required to establish two-way radio communications with ATC.
(a) Each person operating an airplane to or from the Bryant Airport shall conform to the flow of traffic shown on the appropriate aeronautical charts, and while in the traffic pattern, shall operate that airplane at an altitude of at least 1,000 feet MSL until maneuvering for a safe landing requires further descent.
(b) Each person operating an aircraft within the Bryant segment should self-announce intentions on the Bryant Airport CTAF.
(a) Each person operating an airplane in the Seward Highway segment shall operate that airplane at an altitude of at least 1,000 feet MSL unless maneuvering for a safe landing requires further descent.
(b) Each person operating an aircraft at or below 1,200 feet MSL that will transition to or from the Lake Hood or Merrill segment shall contact the appropriate ATCT prior to entering the Seward Highway segment. All other persons operating an airplane at or below 1,200 feet MSL in this segment shall contact Anchorage Approach Control.
(c) At all times, each person operating an aircraft above 1,200 MSL shall contact Anchorage Approach Control prior to entering the Seward Highway segment.
Each person operating an aircraft to or from Lake Campbell or Sixmile Lake Airport shall conform to the flow of traffic for the Lake operations that are depicted on the appropriate aeronautical charts.
(a) Flight restrictions are in effect below 3,500 feet MSL in the airspace above Niagara Falls, New York, west of a line from latitude 43°06′33″ N., longitude 79°03′30″ W. (the Whirlpool Rapids Bridge) to latitude 43°04′47″ N., longitude 79°02′44″ W. (the Niagara River Inlet) to latitude 43°04′29″ N., longitude 79°03′30″ W. (the International Control Dam) to the United States/Canadian Border and thence along the border to the point of origin.
(b) No flight is authorized below 3,500 feet MSL in the area described in paragraph (a) of this section, except for aircraft operations conducted directly to or from an airport/heliport within the area, aircraft operating on an ATC-approved IFR flight plan, aircraft operating the Scenic Falls Route pursuant to approval of Transport Canada, aircraft carrying law enforcement officials, or aircraft carrying properly accredited news representatives for which a flight plan has been filed with Buffalo NY (BUF) Automated Flight Service Station (AFSS).
(c) Check with Transport Canada for flight restrictions in Canadian airspace. Commercial air tour operations approved by Transport Canada will be conducting a north/south orbit of the Niagara Falls area below 3,500 feet MSL over the Niagara River.
(d) The minimum altitude for VFR flight over the Scenic Falls area is 3,500 feet MSL.
(e) Comply with the following procedures when conducting flight over the area described in paragraph (a) of this section:
(1) Fly a clockwise pattern;
(2) Do not proceed north of the Rainbow Bridge;
(3) Prior to joining the pattern, broadcast flight intentions on frequency 122.05 Mhz, giving altitude and position, and monitor the frequency while in the pattern;
(4) Use the Niagara Falls airport altimeter setting. Contact Niagara Falls Airport Traffic Control Tower to obtain the current altimeter setting, to facilitate the exchange of traffic advisories/restrictions, and to reduce the risk of midair collisions between aircraft operating in the vicinity of the Falls. If the Control Tower is closed, use the appropriate Automatic Terminal Information Service (ATIS) Frequency;
(5) Do not exceed 130 knots;
(6) Anticipate heavy congestion of VFR traffic at or above 3,500 feet MSL; and
(7) Use caution to avoid high-speed civil and military aircraft transiting the area to or from Niagara Falls Airport.
(f) These procedures do not relieve pilots from the requirements of § 91.113 of this chapter to see and avoid other aircraft.
(g) Flight following, to and from the area, is available through Buffalo Approach.
This subpart prescribes special air traffic rules for aircraft operating in the Valparaiso, Florida, Terminal Area.
The Valparaiso, Florida Terminal Area is designated as follows:
(a) North-South Corridor. The North-South Corridor includes the airspace extending upward from the surface up to, but not including, 18,000 feet MSL, bounded by a line beginning at:
(b) East-West Corridor. The East-West Corridor is divided into three sections to accommodate the different altitudes as portions of the corridor underlie restricted areas R-2915C, R-2919B, and R-2914B.
(1) The west section includes that airspace extending upward from the surface to but not including 8,500 feet MSL, bounded by a line beginning at: Latitude 30°22′47″ N, Longitude 86°51′30″ W: then along the shoreline to Latitude 30°23′46″ N, Longitude 86°38′15″ W; to Latitude 30°20′47″ N, Longitude-86°38′51″ W”; then 3 NM from and parallel to the shoreline to Latitude 30°19′45″ N, Longitude 86°51′30″ W”; to the beginning.
(2) The center section would include that airspace extending upward from the surface to but not including 18,000 feet MSL, bounded by a line beginning at: Latitude 30°25′01″ N, Longitude 86°38′12″ W; to Latitude 30°25′01″ N, Longitude 86°25′00″ W; to Latitude 30°25′01″ N, Longitude 86°22′26″ W; to Latitude 30°19′41″ N, Longitude 86°23′46″ W; then 3 NM from and parallel to the shoreline to Latitude 30°20′47″ N, Longitude 86°38′51″ W; to Latitude 30°23′46″ N, Longitude 86°38′15″ W; to the beginning.
(3) The east section includes that airspace extending upward from the surface to but not including 8,500 feet MSL, bounded by a line beginning at: Latitude 30°25′01″ N, Longitude 86°22′26″ W; to Latitude 30°22′01″ N, Longitude 86°08′00″ W; to Latitude 30°19′16″ N, Longitude 85°56′00″ W; to Latitude 30°11′08″ N, Longitude 85°56′00″ W; then 3 NM from and parallel to the shoreline to Latitude 30°19′41″ N, Longitude 86°23′46″ W; to the beginning.
(a) North-South Corridor. Unless otherwise authorized by ATC (including the Eglin Radar Control Facility), no person may operate an aircraft in flight within the North-South Corridor designated in § 93.81(b)(1) unless—
(1) Before operating within the corridor, that person obtains a clearance from the Eglin Radar Control Facility or an appropriate FAA ATC facility; and
(2) That person maintains two-way radio communication with the Eglin Radar Control Facility or an appropriate FAA ATC facility while within the corridor.
(b) East-West Corridor. Unless otherwise authorized by ATC (including the Eglin Radar Control Facility), no person may operate an aircraft in flight within the East-West Corridor designated in § 93.81(b)(2) unless—
(1) Before operating within the corridor, that person establishes two-way radio communications with Eglin Radar Control Facility or an appropriate FAA ATC facility and receives an ATC advisory concerning operations being conducted therein; and
(2) That person maintains two-way radio communications with the Eglin Radar Control Facility or an appropriate FAA ATC facility while within the corridor.
This subpart prescribes special air traffic rules for aircraft conducting VFR operations in the Los Angeles, California Special Flight Rules Area.
The Los Angeles Special Flight Rules Area is designated as that part of Area A of the Los Angeles Class B airspace area at 3,500 feet above mean sea level (MSL) and at 4,500 feet MSL, beginning at Ballona Creek/Pacific Ocean (lat. 33°57′42″ N, long. 118°27′23″ W), then eastbound along Manchester Blvd. to the intersection of Manchester/405 Freeway (lat. 33°57′42″ N, long. 118°22′10″ W), then southbound along the 405 Freeway to the intersection of the 405 Freeway/Imperial Highway (lat. 33°55′51″ N, long. 118°22′06″ W), then westbound along Imperial Highway to the intersection of Imperial Highway/Pacific Ocean (lat. 33°55′51″ N, long. 118°26′05″ W), then northbound along the shoreline to the point of beginning.
Unless otherwise authorized by the Administrator, no person may operate an aircraft in the airspace described in § 93.93 unless the operation is conducted in accordance with the following procedures:
(a) The flight must be conducted under VFR and only when operation may be conducted in compliance with § 91.155(a) of this chapter.
(b) The aircraft must be equipped as specified in § 91.215(b) of this chapter replying on code 1201 prior to entering and while operating in this area.
(c) The pilot shall have a current Los Angeles Terminal Area Chart in the aircraft.
(d) The pilot shall operate on the Santa Monica very high frequency omni-directional radio range (VOR) 132° radial.
(e) Aircraft navigating in a southeasterly direction shall be in level flight at 3,500 feet MSL.
(f) Aircraft navigating in a northwesterly direction shall be in level flight at 4,500 feet MSL.
(g) Indicated airspeed shall not exceed 140 knots.
(h) Anti-collision lights and aircraft position/navigation lights shall be on. Use of landing lights is recommended.
(i) Turbojet aircraft are prohibited from VFR operations in this area.
Notwithstanding the provisions of § 91.131(a) of this chapter, an air traffic control authorization is not required in the Los Angeles Special Flight Rules Area for operations in compliance with § 93.95. All other provisions of § 91.131 of this chapter apply to operations in the Los Angeles Special Flight Rules Area.
This subpart prescribes a special air traffic rule for civil helicopters operating VFR along the North Shore, Long Island, New York, between July 29, 2022, and July 29, 2026.
(a) Unless otherwise authorized, each person piloting a helicopter along Long Island, New York's northern shoreline between the VPLYD waypoint and Orient Point, shall utilize the North Shore Helicopter route and altitude, as published.
(b) Pilots may deviate from the route and altitude requirements of paragraph (a) of this section when necessary for safety, weather conditions or transitioning to or from a destination or point of landing.
This subpart prescribes a special air traffic rule for aircraft operating at the Lorain County Regional Airport, Lorain County, Ohio.
Each person piloting an airplane landing at the Lorain County Regional Airport shall enter the traffic pattern north of the airport and shall execute a right traffic pattern for a landing to the southwest or a left traffic pattern for a landing to the northeast. Each person taking off from the airport shall execute a departure turn to the north as soon as practicable after takeoff.
This subpart designates high density traffic airports and prescribes air traffic rules for operating aircraft, other than helicopters, to or from those airports.
(a) Each of the following airports is designated as a high density traffic airport and, except as provided in § 93.129 and paragraph (b) of this section, or unless otherwise authorized by ATC, is limited to the hourly number of allocated IFR operations (takeoffs and landings) that may be reserved for the specified classes of users for that airport:
Airport
| Class of user | LaGuardia 4, 5 | Newark | O'Hare 2, 3, 5 | Ronald Reagan National 1 |
|---|---|---|---|---|
| Air carriers | 48 | 40 | 120 | 37 |
| Commuters | 14 | 10 | 25 | 11 |
| Other | 6 | 10 | 10 | 12 |
John F. Kennedy
| Air carriers | Commuters | Other | |
|---|---|---|---|
| 1500 | 69 | 15 | 2 |
| 1600 | 74 | 12 | 2 |
| 1700 | 80 | 13 | 0 |
| 1800 | 75 | 10 | 2 |
| 1900 | 63 | 12 | 2 |
1 Washington National Airport operations are subject to modifications per Section 93.124.
2 The hour period in effect at O'Hare begins at 6:45 a.m. and continues in 30-minute increments until 9:15 p.m.
3 Operations at O'Hare International Airport shall not—
(a) Except as provided in paragraph (c) of the note, exceed 62 for air carriers and 13 for commuters and 5 for “other” during any 30-minute period beginning at 6:45 a.m. and continuing every 30 minutes thereafter.
(b) Except as provided in paragraph (c) of the note, exceed more than 120 for air carriers, 25 for commuters, and 10 for “other” in any two consecutive 30-minute periods.
(c) For the hours beginning at 6:45 a.m., 7:45 a.m., 11:45 a.m., 7:45 p.m. and 8:45 p.m., the hourly limitations shall be 105 for air carriers, 40 for commuters and 10 for “other,” and the 30-minute limitations shall be 55 for air carriers, 20 for commuters and 5 for “other.” For the hour beginning at 3:45 p.m., the hourly limitations shall be 115 for air carriers, 30 for commuters and 10 for “others”, and the 30-minute limitations shall be 60 for air carriers, 15 for commuters and 5 for “other.”
4 Operations at LaGuardia Airport shall not—
(a) Exceed 26 for air carriers, 7 for commuters and 3 for “other” during any 30-minute period.
(b) Exceed 48 for air carriers, 14 for commuters, and 6 for “other” in any two consecutive 30-minute periods.
5 Pursuant to bilateral agreement, 14 slots at LaGuardia and 24 slots at O'Hare are allocated to the Canadian carriers. These slots are excluded from the hourly quotas set forth in § 93.123 above.
(b) The following exceptions apply to the allocations of reservations prescribed in paragraph (a) Of this section.
(1) The allocations of reservations among the several classes of users do not apply from 12 midnight to 6 a.m. local time, but the total hourly limitation remains applicable.
(2) [Reserved]
(3) The allocation of 37 IFR reservations per hour for air carriers except commuters at Washington National Airport does not include charter flights, or other nonscheduled flights of scheduled or supplemental air carriers. These flights may be conducted without regard to the limitation of 37 IFR reservations per hour.
(4) The allocation of IFR reservations for air carriers except commuters at LaGuardia, Newark, O'Hare, and Washington National Airports does not include extra sections of scheduled flights. The allocation of IFR reservations for scheduled commuters at Washington National Airport does not include extra sections of scheduled flights. These flights may be conducted without regard to the limitation upon the hourly IFR reservations at those airports.
(5) Any reservation allocated to, but not taken by, air carrier operations (except commuters) is available for a scheduled commuter operation.
(6) Any reservation allocated to, but not taken by, air carrier operations (except commuters) or scheduled commuter operations is available for other operations.
(c) For purposes of this subpart—
(1) The number of operations allocated to air carriers except commuters, as used in paragraph (a) of this section refers to the number of operations conducted by air carriers with turboprop and reciprocating engine aircraft having a certificated maximum passenger seating capacity of 75 or more or with turbojet powered aircraft having a certificated maximum passenger seating capacity of 56 or more, or, if used for cargo service in air transportation, with any aircraft having a maximum payload capacity of 18,000 pounds or more.
(2) The number of operations allocated to scheduled commuters, as used in paragraph (a) of this section, refers to the number of operations conducted by air carriers with turboprop and reciprocating engine aircraft having a certificated maximum passenger seating capacity of less than 75 or by turbojet aircraft having a certificated maximum passenger seating capacity of less than 56, or if used for cargo service in air transportation, with any aircraft having a maximum payload capacity of less than 18,000 pounds. For purposes of aircraft operations at Ronald Reagan Washington National Airport, the term “commuters” means aircraft operations using aircraft having a certificated maximum seating capacity of 76 or less.
(3) Notwithstanding the provisions of paragraph (c)(2) of this section, a limited number of operations allocated for “scheduled commuters” under paragraph (a) of this section may be conducted with aircraft described in § 93.221(e) of this part pursuant to the requirements of § 93.221(e).
Except between 12 Midnight and 6 a.m. local time, no person may operate an aircraft to or from an airport designated as a high density traffic airport unless he has received, for that operation, an arrival or departure reservation from ATC.
(a) IFR. The operator of an aircraft may take off or land the aircraft under IFR at a designated high density traffic airport without regard to the maximum number of operations allocated for that airport if the operation is not a scheduled operation to or from a high density airport and he obtains a departure or arrival reservation, as appropriate, from ATC. The reservation is granted by ATC whenever the aircraft may be accommodated without significant additional delay to the operations allocated for the airport for which the reservations is requested.
(b) VFR. The operator of an aircraft may take off and land the aircraft under VFR at a designated high density traffic airport without regard to the maximum number of operations allocated for that airport if the operation is not a scheduled operation to or from a high density airport and he obtains a departure or arrival reservation, as appropriate, from ATC. The reservation is granted by ATC whenever the aircraft may be accommodated without significant additional delay to the operations allocated for the airport for which the reservation is requested and the ceiling reported at the airport is at least 1,000 feet and the ground visibility reported at the airport is at least 3 miles.
(c) For the purpose of this section a scheduled operation to or from the high density airport is any operation regularly conducted by an air carrier or commuter between a high density airport and another point regularly served by that operator unless the service is conducted pursuant to irregular charter or hiring of aircraft or is a nonpassenger flight.
(d) An aircraft operator must obtain an IFR reservation in accordance with procedures established by the Administrator. For IFR flights to or from a high density airport, reservations for takeoff and arrival shall be obtained prior to takeoff.
The Administrator may suspend the effectiveness of any allocation prescribed in § 93.123 and the reservation requirements prescribed in § 93.125 if he finds such action to be consistent with the efficient use of the airspace. Such suspension may be terminated whenever the Administrator determines that such action is necessary for the efficient use of the airspace.
Except as provided in § 93.130, the provisions of §§ 93.123 and 93.125 do not apply to—
(a) The Newark Airport, Newark, NJ;
(b) The Kennedy International Airport, New York, NY, except during the hours from 3 p.m. through 7:59 p.m., local time; and
(c) O'Hare International Airport from 9:15 p.m. to 6:44 a.m., local time.
This subpart prescribes a special air traffic rule for aircraft conducting VFR operations in the vicinity of the Ketchikan International Airport or Ketchikan Harbor, Alaska.
Within that airspace below 3,000 feet MSL within the lateral boundary of the surface area of the Ketchikan Class E airspace regardless of whether that airspace is in effect.
(a) When the Ketchikan Flight Service Station is in operation, no person may operate an aircraft within the airspace specified in § 93.151, or taxi onto the runway at Ketchikan International Airport, unless that person has established two-way radio communications with the Ketchikan Flight Service Station for the purpose of receiving traffic advisories and continues to monitor the advisory frequency at all times while operating within the specified airspace.
(b) When the Ketchikan Flight Service Station is not in operation, no person may operate an aircraft within the airspace specified in § 93.151, or taxi onto the runway at Ketchikan International Airport, unless that person continuously monitors and communicates, as appropriate, on the designated common traffic advisory frequency as follows:
(1) For inbound flights. Announces position and intentions when no less than 10 miles from Ketchikan International Airport, and monitors the designated frequency until clear of the movement area on the airport or Ketchikan Harbor.
(2) For departing flights. Announces position and intentions prior to taxiing onto the active runway on the airport or onto the movement area of Ketchikan Harbor and monitors the designated frequency until outside the airspace described in § 93.151 and announces position and intentions upon departing that airspace.
(c) Notwithstanding the provisions of paragraphs (a) and (b) of this section, if two-way radio communications failure occurs in flight, a person may operate an aircraft within the airspace specified in § 93.151, and land, if weather conditions are at or above basic VFR weather minimums.
(a) When an advisory is received from the Ketchikan Flight Service Station stating that an aircraft is on final approach to the Ketchikan International Airport, no person may taxi onto the runway of that airport until the approaching aircraft has landed and has cleared the runway.
(b) Unless otherwise authorized by ATC, each person operating a large airplane or a turbine engine powered airplane shall—
(1) When approaching to land at the Ketchikan International Airport, maintain an altitude of at least 900 feet MSL until within three miles of the airport; and
(2) After takeoff from the Ketchikan International Airport, maintain runway heading until reaching an altitude of 900 feet MSL.
This subpart prescribes special air traffic rules for aircraft conducting VFR operations in the vicinity of the Pearson Field Airport in Vancouver, Washington.
The Pearson Field Airport Special Flight Rules Area is designated as that airspace extending upward from the surface to but not including 1,100 feet MSL in an area bounded by a line beginning at the point where the 019° bearing from Pearson Field intersects the 5-mile arc from Portland International Airport extending southeast to a point 1
(a) Unless otherwise authorized by ATC, no person may operate an aircraft within the airspace described in § 93.162, or taxi onto the runway at Pearson Field, unless-
(1) That person establishes two-way radio communications with Pearson Advisory on the common traffic advisory frequency for the purpose of receiving air traffic advisories and continues to monitor the frequency at all times while operating within the specified airspace.
(2) That person has obtained the Pearson Field weather prior to establishing two-way communications with Pearson Advisory.
(b) Notwithstanding the provisions of paragraph (a) of this section, if two-way radio communications failure occurs in flight, a person may operate an aircraft within the airspace described in § 93.162, and land, if weather conditions are at or above basic VFR weather minimums. If two-way radio communications failure occurs while in flight under IFR, the pilot must comply with § 91.185.
(c) Unless otherwise authorized by ATC, persons operating an aircraft within the airspace described in § 93.162 must—
(1) When operating over the runway or extended runway centerline of Pearson Field Runway 8/26 maintain an altitude at or below 700 feet above mean sea level.
(2) Remain outside Portland Class C Airspace.
(3) Make a right traffic pattern when operating to/from Pearson Field Runway 26.
This subpart prescribes a Special Air Traffic Rule for aircraft conducting VFR operations in the vicinity of Luke Air Force Base, AZ.
The Luke Air Force Base, Arizona Terminal Area is designated during official daylight hours Monday through Friday while Luke pilot flight training is underway, as broadcast on the local Automatic Terminal Information Service (ATIS), and other times by Notice to Airmen (NOTAM), as follows:
(a) East Sector:
(1) South section includes airspace extending from 3,000 feet MSL to the base of the overlaying Phoenix Class B airspace bounded by a line beginning at: Lat. 33°23′56″ N; Long. 112°28′37″ W; to Lat. 33°22′32″ N; Long. 112°37′14″ W; to Lat. 33°25′39″ N; Long. 112°37′29″ W; to Lat. 33°31′55″ N; Long. 112°30′32″ W; to Lat. 33°28′00″ N; Long. 112°28′41″ W; to point of beginning.
(2) South section lower includes airspace extending from 2,100 feet MSL to the base of the overlaying Phoenix Class B airspace, excluding the Luke Class D airspace area bounded by a line beginning at: Lat. 33°28′00″ N; Long. 112°28′41″ W; to Lat. 33°23′56″ N; Long. 112°28′37″ W; to Lat. 33°27′53″ N; Long. 112°24′12″ W; to point of beginning.
(3) Center section includes airspace extending from surface to the base of the overlaying Phoenix Class B airspace, excluding the Luke Class D airspace area bounded by a line beginning at: Lat. 33°42′22″ N; Long. 112°19′16″ W; to Lat. 33°38′40″ N; Long. 112°14′03″ W; to Lat. 33°27′53″ N; Long. 112°24′12″ W; to Lat. 33°28′00″ N; Long. 112°28′41″ W; to Lat. 33°31′55″ N; Long. 112°30′32″ W; to point of beginning.
(4) The north section includes that airspace extending upward from 3,000 feet MSL to 4,000 feet MSL, bounded by a line beginning at: Lat. 33°42′22″ N; Long. 112°19′16″ W; to Lat. 33°46′58″ N; Long. 112°16′41″ W; to Lat. 33°44′48″ N; Long. 112°10′59″ W; to Lat. 33°38′40″ N; Long. 112°14′03″ W; to point of beginning.
(b) West Sector:
(1) The north section includes that airspace extending upward from 3,000 feet MSL to 6,000 feet MSL, bounded by a line beginning at: Lat. 33°51′52″ N; Long. 112°37′54″ W; to Lat. 33°49′34″ N; Long. 112°23′34″ W; to Lat. 33°46′58″ N; Long. 112°16′41″ W; to Lat. 33°42′22″ N; Long. 112°19′16″ W; to Lat. 33°39′27″ N; Long. 112°22′27″ W; to point of beginning.
(2) The south section includes that airspace extending upward from the surface to 6,000 feet MSL, bounded by a line beginning at: Lat. 33°39′27″ N; Long. 112°22′27″ W; to Lat. 33°38′06″ N; Long. 112°23′51″ W; to Lat. 33°38′07″ N; Long. 112°28′50″ W; to Lat. 33°39′34″ N; Long. 112°31′39″ W; to Lat. 33°39′32″ N; Long. 112°37′36″ W; to Lat. 33°51′52″ N; Long. 112°37′54″ W; to point of beginning.
(a) Unless otherwise authorized by Air Traffic Control (ATC), no person may operate an aircraft in flight within the Luke Terminal Area designated in § 93.176 unless—
(1) Before operating within the Luke Terminal area, that person establishes radio contact with the Luke RAPCON; and
(2) That person maintains two-way radio communication with the Luke RAPCON or an appropriate ATC facility while within the designated area.
(b) Requests for deviation from the provisions of this section apply only to aircraft not equipped with an operational radio. The request must be submitted at least 24 hours before the proposed operation to Luke RAPCON.
(a) This subpart prescribes rules applicable to the allocation and withdrawal of IFR operational authority (takeoffs and landings) to individual air carriers and commuter operators at the High Density Traffic Airports identified in subpart K of this part except for Newark Airport.
(b) This subpart also prescribes rules concerning the transfer of allocated IFR operational authority and the use of that authority once allocated.
(a) For purposes of this subpart—
(1) New entrant carrier means a commuter operator or air carrier which does not hold a slot at a particular airport and has never sold or given up a slot at that airport after December 16, 1985.
(2) Slot means the operational authority to conduct one IFR landing or takeoff operation each day during a specific hour or 30 minute period at one of the High Density Traffic Airports, as specified in subpart K of this part.
(3) Summer season means the period of time from the first Sunday in April until the last Sunday in October.
(4) Winter season means the period of time from the last Sunday in October until the first Sunday in April.
(5) Limited incumbent carrier means an air carrier or commuter operator that holds or operates fewer than 12 air carrier or commuter slots, in any combination, at a particular airport, not including international slots, Essential Air Service Program slots, or slots between the hours of 2200 and 0659 at Washington National Airport or LaGuardia Airport. However, for the purposes of this paragraph (a)(5), the carrier is considered to hold the number of slots at that airport that the carrier has, since December 16, 1985:
(i) Returned to the FAA;
(ii) Had recalled by the FAA under § 93.227(a); or
(iii) Transferred to another party other than by trade for one or more slots at the same airport.
(b) The definitions specified in subpart K of this part also apply to this subpart.
(c) For purposes of this subpart, if an air carrier, commuter operator, or other person has more than a 50-percent ownership or control of one or more other air carriers, commuter operators, or other persons, they shall be considered to be a single air carrier, commuter operator, or person. In addition, if a single company has more than a 50-percent ownership or control of two or more air carriers and/or commuter operators or any combination thereof, those air carriers and/or commuter operators shall be considered to be a single operator. A single operator may be considered to be both an air carrier and commuter operator for purposes of this subpart.
(a) Each air carrier and commuter operator holding a permanent slot on December 16, 1985, as evidenced by the records of the air carrier and commuter operator scheduling committees, shall be allocated those slots subject to withdrawal under the provisions of this subpart. The Chief Counsel of the FAA shall be the final decisionmaker for initial allocation determinations.
(b) Any permanent slot whose use on December 16, 1985 is divided among different operators, by day of the week, or otherwise, as evidenced by records of the scheduling committees, shall be allocated in conformity with those records. The Chief Counsel of the FAA shall be the final decisionmaker for these determinations.
(c) A carrier may permanently designate a slot it holds at Kennedy International Airport as a seasonal slot, to be held by the carrier only during the corresponding season in future years, if it notifies the FAA (at the address specified in § 93.225(e)), in writing, the preceding winter seasons or by October 15 of the preceding year for summer seasons.
(d) Within 30 days after December 16, 1985, each U.S. air carrier and commuter operator must notify the office specified in § 93.221(a)(1), in writing, of those slots used for operations described in § 93.217(a)(1) on December 16, 1985.
(e) Any slot not held by an operator on December 16, 1985 shall be allocated in accordance with the provisions of §§ 93.217, 93.219 or 93.225 of this subpart.
(a) Any air carrier of commuter operator having the authority to conduct international operations shall be provided slots for those operations, excluding transborder service solely between HDR airports and Canada, subject to the following conditions and the other provisions of this section:
(1) The slot may be used only for a flight segment in which either the takeoff or landing is at a foreign point or, for foreign operators, the flight segment is a continuation of a flight that begins or ends at a foreign point. Slots may be obtained and used under this section only for operations at Kennedy and O'Hare airports unless otherwise required by bilateral agreement and only for scheduled service unless the requesting carrier qualifies for the slot on the basis of historic seasonal operations, under § 93.217(a)(5).
(2) Slots used for an operation described in paragraph (a)(1) of this section may not be bought, sold, leased, or otherwise transferred, except that such a slot may be traded to another slot-holder on a one-for-one basis for a slot at the same airport in a different hour or half-hour period if the trade is for the purpose of conducting such an operation in a different hour or half-hour period.
(3) Slots used for operations described in paragraph (a)(1) of this section must be returned to the FAA if the slot will not be used for such operations for more than a 2-week period.
(4) Each air carrier or commuter operator having a slot that is used for operations described in paragraph (a)(1) of this section but is not used every day of the week shall notify the office specified in § 93.221(a)(1) in writing of those days on which the slots will not be used.
(5) Except as provided in paragraph (a)(10) of this section, at Kennedy and O'Hare Airports, a slot shall be allocated, upon request, for seasonal international operations, including charter operations, if the Chief Counsel of the FAA determines that the slot had been permanently allocated to and used by the requesting carrier in the same hour and for the same time period during the corresponding season of the preceding year. Requests for such slots must be submitted to the office specified in § 93.221(a)(1), by the deadline published in a
(6) Except as provided in paragraph (a)(10) of this section, additional slots shall be allocated at O'Hare Airport for international scheduled air carrier and commuter operations (beyond those slots allocated under §§ 93.215 and 93.217(a)(5) if a request is submitted to the office specified in § 93.221(a)(1) and filed by the deadline published in a
(7) If required by bilateral agreement, additional slots shall be allocated at LaGuardia Airport for international scheduled passenger operations within the hour requested.
(8) To the extent vacant slots are available, additional slots during the high density hours shall be allocated at Kennedy Airport for new international scheduled air carrier and commuter operations (beyond those operations for which slots have been allocated under §§ 93.215 and 93.217(a)(5)), if a request is submitted to the office specified in § 93.221(a)(1) by the deadline published in a
(9) In determining the hour in which a slot request under §§ 93.217(a)(6) and 93.217(a)(8) will be granted, the following will be taken into consideration, among other things:
(i) The availability of vacant slot times;
(ii) International obligations;
(iii) Airport terminal capacity, including facilities and personnel of the U.S. Customs Service and the U.S. Immigration and Naturalization Service;
(iv) The extent and regularity of intended use of a slot; and
(v) Schedule constraints of carriers requesting slots.
(10) At O'Hare Airport, a slot will not be allocated under this section to a carrier holding or operating 100 or more permanent slots on the previous May 15 for a winter season or October 15 for a summer season unless:
(i) Allocation of the slot does not result in a total allocation to that carrier under this section that exceeds the number of slots allocated to and scheduled by that carrier under this section on February 23, 1990, and as reduced by the number of slots reclassified under § 93.218, and does not exceed by more than 2 the number of slots allocated to and scheduled by that carrier during any half hour of that day, or
(ii) Notwithstanding the number of slots allocated under paragraph (a)(10)(i) of this section, a slot is available for allocation without withdrawal of a permanent slot from any carrier.
(b) If a slot allocated under § 93.215 was scheduled for an operation described in paragraph (a)(1) of this section on December 16, 1985, its use shall be subject to the requirements of paragraphs (a)(1) through (a)(4) of this section. The requirements also apply to slots used for international operations at LaGuardia Airport.
(c) If a slot is offered to a carrier in other than the hour requested, the carrier shall have 14 days after the date of the offer to accept the newly offered slot. Acceptance must be in writing and sent to the office specified in § 93.221(a)(1) and must repeat the certified statements required by paragraph (e) of this section.
(d) The Office of the Secretary of Transportation reserves the right not to apply the provisions of this section, concerning the allocation of slots, to any foreign air carrier or commuter operator of a country that provides slots to U.S. air carriers and commuter operators on a basis more restrictive than provided by this subpart. Decisions not to apply the provisions of this section will be made by the Office of the Secretary of Transportation.
(e) Each request for slots under this section shall state the airport, days of the week and time of the day of the desired slots and the period of time the slots are to be used. Each request shall identify whether the slot is requested under paragraph (a)(5), (6), or (8) and identify any changes from the previous year if requested under both paragraphs. The request must be accompanied by a certified statement signed by an officer of the operator indicating that the operator has or has contracted for aircraft capable of being utilized in using the slots requested and that the operator has bona fide plans to use the requested slots for operations described in paragraph (a).
(a) Except as otherwise provided in this subpart, international slots identified by U.S. carriers for international operations in December 1985 and the equivalent number of international slots held as of February 24, 1998, will be domestic slots. The Chief Counsel of the FAA shall be the final decisionmaker for these determinations.
(b) Canadian carriers shall have a guaranteed base level of slots of 42 slots at LaGuardia, 36 slots at O'Hare for the Sumner season, and 32 slots at O'Hare in the Winter season.
(c) Any modification to the slot base by the Government of Canada or the Canadian carriers that results in a decrease of the guaranteed base in paragraph (b) of this section shall permanently modify the base number of slots.
Whenever the Office of the Secretary of Transportation determines that slots are needed for operations to or from a High Density Traffic Airport under the Department of Transportation's Essential Air Service (EAS) Program, those slots shall be provided to the designated air carrier or commuter operator subject to the following limitations:
(a) Slots obtained under this section may not be bought, sold, leased or otherwise transferred, except that such slots may be traded for other slots on a one-for-one basis at the same airport.
(b) Any slot obtained under this section must be returned to the FAA if it will not be used for EAS purposes for more than a 2-week period. A slot returned under this paragraph may be reallocated to the operator which returned it upon request to the FAA office specified in § 93.221(a)(1) if that slot has not been reallocated to an operator to provide substitute essential air service.
(c) Slots shall be allocated for EAS purposes in a time period within 90 minutes of the time period requested.
(d) The Department will not honor requests for slots for EAS purposes to a point if the requesting carrier has previously traded away or sold slots it had used or obtained for use in providing essential air service to that point.
(e) Slots obtained under Civil Aeronautics Board Order No. 84-11-40 shall be considered to have been obtained under this section.
(a) Except as otherwise provided in this subpart, effective April 1, 1986, slots may be bought, sold or leased for any consideration and any time period and they may be traded in any combination for slots at the same airport or any other high density traffic airport. Transfers, including leases, shall comply with the following conditions:
(1) Requests for confirmation must be submitted in writing to Slot Administration Office, AGC-230, Office of the Chief Counsel, Federal Aviation Administration, 800 Independence Ave., SW., Washington, DC 20591, in a format to be prescribed by the Administrator. Requests will provide the names of the transferor and recipient; business address and telephone number of the persons representing the transferor and recipient; whether the slot is to be used for an arrival or departure; the date the slot was acquired by the transferor; the section of this subpart under which the slot was allocated to the transferor; whether the slot has been used by the transferor for international or essential air service operations; and whether the slot will be used by the recipient for international or essential air service operations. After withdrawal priorities have been established under § 93.223 of this part, the requests must include the slot designations of the transferred slots as described in § 93.223(b)(5).
(2) The slot transferred must come from the transferor's then-current FAA-approved base.
(3) Written evidence of each transferor's consent to the transfer must be provided to the FAA.
(4) The recipient of a transferred slot may not use the slot until written confirmation has been received from the FAA.
(5)(i) Until a slot obtained by a new entrant or limited incumbent carrier in a lottery held under § 93.225 after June 1, 1991, has been used by the carrier that obtained it for a continuous 24-month period after the lottery in accordance with § 93.227(a), that slot may be transferred only by trade for one or more slots at the same airport or to other new entrant or limited incumbent carriers under § 93.221(a)(5)(iii). This transfer restriction shall apply to the same extent to any slot or slots acquired by trading the slot obtained in a lottery. To remove the transfer restriction, documentation of 24 months' continuous use must be submitted to the FAA Office of the Chief Counsel.
(ii) Failure to use a slot acquired by trading a slot obtained in a lottery for a continuous 24-month period after the lottery, shall void all trades involving the lottery slot, which shall be returned to the FAA. All use of the lottery slot shall be counted toward fulfilling the minimum use requirements under § 93.227(a) applicable to the slot or slots for which the lottery slot was traded, including subsequent trades.
(iii) Slots obtained by new entrant or limited incumbent carriers in a lottery may be sold, leased, or otherwise transferred to another entrant or limited incumbent carrier after a minimum of 60 days of use by the obtaining carrier. The transfer restrictions of § 93.221(a)(5)(i) shall continue to apply to the slot until documentation of 24 months' continuous use has been submitted and the transfer restriction removed.
(6) The Office of the Secretary of Transportation must determine that the transfer will not be injurious to the essential air service program.
(b) A record of each slot transfer shall be kept on file by the office specified in paragraph (a)(1) of this section and will be made available to the public upon request.
(c) Any person may buy or sell slots and any air carrier or commuter may use them. Notwithstanding § 93.123, air carrier slots may be used with aircraft of the kind described in § 93.123 (c)(1) or (c)(2) but commuter slots may only be used with aircraft of the kind described in § 93.0123(c)(2).
(d) Air carriers and commuter operators considered to be a single operator under the provisions of § 93.213(c) of this subpart but operating under separate names shall report transfers of slots between them.
(e) Notwithstanding § 93.123(c)(2) of this part, a commuter slot at O'Hare International Airport may be used with an aircraft described in § 93.123(c)(1) of this part on the following conditions:
(1) Air carrier aircraft that may be operated under this paragraph are limited to aircraft:
(i) Having an actual seating configuration of 110 or fewer passengers; and
(ii) Having a maximum certificated takeoff weight of less than 126,000 pounds.
(2) No more than 50 percent of the total number of commuter slots held by a slot holder at O'Hare International Airport may be used with aircraft described in paragraph (e)(1) of this section.
(3) An air carrier or commuter operator planning to operate an aircraft described in paragraph (e)(1) of this section in a commuter slot shall notify ATC at least 75 days in advance of the planned start date of such operation. The notice shall include the slot number, proposed time of operation, aircraft type, aircraft series, actual aircraft seating configuration, and planned start date. ATC will approve or disapprove the proposed operation no later than 45 days prior to the planned start date. If an operator does not initiate operation of a commuter slot under this section within 30 days of the planned start date first submitted to the FAA, the ATC approval for that operation will expire. That operator may file a new or revised notice for the same half-hour slot time.
(4) An operation may not be conducted under paragraph (e)(1) of this section unless a gate is available for that operation without planned waiting time.
(5) For the purposes of this paragraph (e), notice to ATC shall be submitted in writing to: Director, Air Traffic System Management, ATM-1, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591.
(a) Slots do not represent a property right but represent an operating privilege subject to absolute FAA control. Slots may be withdrawn at any time to fulfill the Department's operational needs, such as providing slots for international or essential air service operations or eliminating slots. Before withdrawing any slots under this section to provide them for international operations, essential air services or other operational needs, those slots returned under § 93.224 of this part and those recalled by the agency under § 93.227 will be allocated.
(b) Separate slot pools shall be established for air carriers and commuter operators at each airport. The FAA shall assign, by random lottery, withdrawal priority numbers for the recall priority of slots at each airport. Each additional permanent slot, if any, will be assigned the next higher number for air carrier or commuter slots, as appropriate, at each airport. Each slot shall be assigned a designation consisting of the applicable withdrawal priority number; the airport code; a code indicating whether the slot is an air carrier or commuter operator slot; and the time period of the slot. The designation shall also indicate, as appropriate, if the slot is daily or for certain days of the week only; is limited to arrivals or departures; is allocated for international operations or for EAS purposes; and, at Kennedy International Airport, is a summer or winter slot.
(c) Whenever slots must be withdrawn, they will be withdrawn in accordance with the priority list established under paragraph (b) of this section, except:
(1) Slots obtained in a lottery held pursuant to § 93.225 of this part shall be subject to withdrawal pursuant to paragraph (i) of that section, and
(2) Slots necessary for international and essential air service operations shall be exempt from withdrawal for use for other international or essential air service operations.
(3) Except as provided in § 93.227(a), the FAA shall not withdraw slots held at an airport by an air carrier or commuter operator holding and operating 12 or fewer slots at that airport (excluding slots used for operations described in § 93.212(a)(1)), if withdrawal would reduce the number of slots held below the number of slots operated.
(4) No slot comprising the guaranteed base of slots, as defined in section 93.318(b), shall be withdrawn for use for international operations or for new entrants.
(d) The following withdrawal priority rule shall be used to permit application of the one-for-one trade provisions for international and essential air service slots and the slot withdrawal provisions where the slots are needed for other than international or essential air service operations. If an operator has more than one slot in a specific time period in which it also has a slot being used for international or essential air service operations, the international and essential air service slots will be considered to be those with the lowest withdrawal priority.
(e) The operator(s) using each slot to be withdrawn shall be notified by the FAA of the withdrawal and shall cease operations using that slot on the date indicated in the notice. Generally, the FAA will provide at least 30 days after notification for the operator to cease operations unless exigencies require a shorter time period.
(f) For 24 months following a lottery held after June 1, 1991, a slot acquired in that lottery shall be withdrawn by the FAA upon the sale, merger, or acquisition of more than 50 percent ownership or control of the carrier using that slot or one acquired by trade of that slot, if the resulting total of slots held or operated at the airport by the surviving entity would exceed 12 slots.
(a) Whenever a slot is required to be returned under this subpart, the holder must notify the office specified in § 93.221(a)(1) in writing of the date after which the slot will not be used.
(b) Slots may be voluntarily returned for use by other operators by notifying the office specified in § 93.221(a)(1) in writing.
(a) Whenever the FAA determines that sufficient slots have become available for distribution for purposes other than international or essential air service operations, but generally not more than twice a year, they shall be allocated in accordance with the provisions of this section.
(b) A random lottery shall be held to determine the order of slot selection.
(c) Slot allocation lotteries shall be held on an airport-by-airport basis with separate lotteries for air carrier and commuter operator slots. The slots to be allocated in each lottery will be each unallocated slot not necessary for international or Essential Air Service Program operations, including any slot created by an increase in the operating limits set forth in § 93.123(a).
(d) The FAA shall publish a notice in the
(e) Participation in a lottery is open to each U.S. air carrier or commuter operator operating at the airport and providing scheduled passenger service at the airport, as well as where provided for by bilateral agreement. Any U.S. carrier, or foreign air carrier where provided for by bilateral agreement, that is not operating scheduled service at the airport and has not failed to operate slots obtained in the previous lottery, or slots traded for those obtained by lottery, but wishes to initiate scheduled passenger service at the airport, shall be included in the lottery if that operator notifies, in writing, the Slot Administration Office, AGC-230, Office of the Chief Counsel, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591. The notification must be received 15 days prior to the lottery date and state whether there is any common ownership or control of, by, or with any other air carrier or commuter operator as defined in § 93.213(c). New entrant and limited incumbent carriers will be permitted to complete their selections before participation by other incumbent carriers is initiated.
(f) At the lottery, each operator must make its selection within 5 minutes after being called or it shall lose its turn. If capacity still remains after each operator has had an opportunity to select slots, the allocation sequence will be repeated in the same order. An operator may select any two slots available at the airport during each sequence, except that new entrant carriers may select four slots, if available, in the first sequence.
(g) To select slots during a slot lottery session, a carrier must have appropriate economic authority for scheduled passenger service under Title IV of the Federal Aviation Act of 1958, as amended (49 U.S.C. App. 1371 et seq.), and must hold FAA operating authority under part 121 or part 135 of this chapter as appropriate for the slots the operator seeks to select.
(h) During the first selection sequence, 25 percent of the slots available but no less than two slots shall be reserved for selection by new entrant carriers. If new entrant carriers do not select all of the slots set aside for new entrant carriers, limited incumbent carriers may select the remaining slots. If every participating new entrant carrier and limited incumbent carrier has ceased selection of available slots or has obtained 12 slots at that airport, other incumbent carriers may participate in selecting the remaining slots; however, slots selected by non-limited incumbent carriers will be allocated only until the date of the next lottery.
(i) Slots obtained under this section shall retain their withdrawal priority as established under § 93.223. If the slot is newly created, a withdrawal priority shall be assigned. That priority number shall be higher than any other slot assigned a withdrawal number previously.
(a) If there are available slots in the following time periods and there are no pending requests for international or EAS operations at these times, FAA will allocate slots upon request on a first-come, first-served basis, as set forth in this section:
(1) Any period for which a slot is available less than 5 days per week.
(2) Any time period for which a slot is available for less than a full season.
(3) For LaGuardia and Washington National Airports:
(i) 6:00 a.m.-6:59 a.m.
(ii) 10:00 p.m.-midnight.
(b) Slots will be allocated only to operators with the economic and operating authority and aircraft required to use the slots.
(c) Requests for allocations under this section shall be submitted in writing to the address listed in § 93.221(a)(1) and shall identify the request as made under this section.
(d) The FAA may deny requests made under this section after a determination that all remaining slots in a particular category should be distributed by lottery.
(e) Slots may be allocated on a seasonal or temporary basis under this provision.
(a) Except as provided in paragraphs (b), (c), (d), (g), and (l) of this section, any slot not utilized 80 percent of the time over a 2-month period shall be recalled by the FAA.
(b) Paragraph (a) of this section does not apply to slots obtained under § 93.225 of this part during:
(1) The first 90 days after they are allocated to a new entrant carrier; or
(2) The first 60 days after they are allocated to a limited incumbent or other incumbent carrier.
(c) Paragraph (a) of this section does not apply to slots of an operator forced by a strike to cease operations using those slots.
(d) In the case of a carrier that files for protection under the Federal bankruptcy laws and has not received a Notice of Withdrawal from the FAA for the subject slot or slots, paragraph (a) of this section does not apply:
(1) During a period after the initial petition in bankruptcy, to any slot held or operated by that carrier, for:
(i) 60 days after the carrier files the initial petition in bankruptcy; and
(ii) 30 days after the carrier, in anticipation of transferring slots, submits information to a Federal government agency in connection with a statutory antitrust, economic impact, or similar review of the transfer, provided that the information is submitted more than 30 days after filing the initial petition in bankruptcy, and provided further that any slot to be transferred has not become subject to withdrawal under any other provision of this § 93.227; and
(2) During a period after a carrier ceases operations at an airport, to any slot held or operated by that carrier at that airport, for:
(i) 30 days after the carrier ceases operations at that airport, provided that the slot has not become subject to withdrawal under any other provision of this § 93.227; and
(ii) 30 days after the parties to a proposed transfer of any such slot comply with requests for additional information by a Federal government agency in connection with an antitrust, economic impact, or similar investigation of the transfer, provided that—
(A) The original notice of the transfer is filed with the Federal agency within 30 days after the carrier ceases operation at the airport;
(B) The request for additional information is made within 10 days of the filing of the notice by the carrier;
(C) The carrier submits the additional information to the Federal agency within 15 days of the request by such agency; and
(D) Any slot to be transferred has not become subject to withdrawal under any other provision of this § 93.227.
(e) Persons having slots withdrawn pursuant to paragraph (a) of this section must cease all use of those slots upon receipt of notice from the FAA.
(f) Persons holding slots but not using them pursuant to the provisions of paragraphs (b), (c) and (d) may lease those slots for use by others. A slot obtained in a lottery may not be leased after the expiration of the applicable time period specified in paragraph (b) of this section unless it has been operated for a 2-month period at least 65 percent of the time by the operator which obtained it in the lottery.
(g) This section does not apply to slots used for the operations described in § 93.217(a)(1) except that a U.S. air carrier or commuter operator required to file a report under paragraph (i) of this section shall include all slots operated at the airport, including slots described in § 93.217(a)(1).
(h) Within 30 days after an operator files for protection under the Federal bankruptcy laws, the FAA shall recall any slots of that operator, if—(1) the slots were formerly used for essential air service and (2) the Office of the Secretary of Transportation determines those slots are required to provide substitute essential air service to or from the same points.
(i) Every air carrier and commuter operator or other person holding a slot at a high density airport shall, within 14 days after the last day of the 2-month period beginning January 1, 1986, and every 2 months thereafter, forward, in writing, to the address identified in § 93.221(a)(1), a list of all slots held by the air carrier, commuter operator or other person along with a listing of which air carrier or commuter operator actually operated the slot for each day of the 2-month period. The report shall identify the flight number for which the slot was used and the equipment used, and shall identify the flight as an arrival or departure. The report shall identify any common ownership or control of, by, or with any other carrier as defined in § 93.213(c) of this subpart. The report shall be signed by a senior official of the air carrier or commuter operator. If the slot is held by an “other person,” the report must be signed by an official representative.
(j) The Chief Counsel of the FAA may waive the requirements of paragraph (a) of this section in the event of a highly unusual and unpredictable condition which is beyond the control of the slot-holder and which exists for a period of 9 or more days. Examples of conditions which could justify waiver under this paragraph are weather conditions which result in the restricted operation of an airport for an extended period of time or the grounding of an aircraft type.
(k) The Chief Counsel of the FAA may, upon request, grant a waiver from the requirements of paragraph (a) of this section for a slot used for the domestic segment of an intercontinental all-cargo flight. To qualify for a waiver, a carrier must operate the slot a substantial percentage of the time and must return the slot to the FAA in advance for the time periods it will not be used.
(l) The FAA will treat as used any slot held by a carrier at a High Density Traffic Airport on Thanksgiving Day, the Friday following Thanksgiving Day, and the period from December 24 through the first Saturday in January.
This subpart prescribes rules applicable to the operation of aircraft to or from Ronald Reagan Washington National Airport.
No person may operate an aircraft nonstop in air transportation between Ronald Reagan Washington National Airport and another airport that is more than 1,250 miles away from Ronald Reagan Washington National Airport.
This subpart prescribes special operating rules for all persons operating aircraft in the following airspace, designated as the Grand Canyon National Park Special Flight Rules Area: That airspace extending from the surface up to but not including 18,000 feet MSL within an area bounded by a line beginning at Lat. 35°55′12″ N., Long. 112°04′05″ W.; east to Lat. 35°55′30″ N., Long. 111°45′00″ W.; to Lat. 35°59′02″ N., Long. 111°36′03″ W.; north to Lat. 36°15′30″ N., Long. 111°36′06″ W.; to Lat. 36°24′49″ N., Long. 111°47′45″ W.; to Lat. 36°52′23″ N., Long. 111°33′10″ W.; west-northwest to Lat. 36°53′37″ N., Long. 111°38′29″ W.; southwest to Lat. 36°35′02″ N., Long. 111°53′28″ W.; to Lat. 36°21′30″ N., Long. 112°00′03″ W.; west-northwest to Lat. 36°30′30″ N., Long. 112°35′59″ W.; southwest to Lat. 36°24′46″ N., Long. 112°51′10″ W., thence west along the boundary of Grand Canyon National Park (GCNP) to Lat. 36°14′08″ N., Long. 113°10′07″ W.; west-southwest to Lat. 36°09′30″ N., Long. 114°03′03″ W.; southeast to Lat. 36°05′11″ N., Long. 113°58′46″ W.; thence south along the boundary of GCNP to Lat. 35°58′23″ N., Long. 113°54′14″ W.; north to Lat. 36°00′10″ N., Long. 113°53′48″ W.; northeast to Lat. 36°02′14″ N., Long. 113°50′16″ W.; to Lat. 36°02′17″ N., Long. 113°53′48″ W.; northeast to Lat. 36°02′14″ N., Long. 113°50′16″ W.; to Lat. 36°02′17″ N., Long. 113°49′11″ W.; southeast to Lat. 36°01′22″ N., Long. 113°48′21″ W.; to Lat. 35°59′15″ N., Long. 113°47′13″ W.; to Lat. 35°57′51″ N., Long. 113°46′01″ W.; to Lat. 35°57′45″ N., Long. 113°45′23″ W.; southwest to Lat. 35°54′48″ N., Long. 113°50′24″ W.; southeast to Lat. 35°41′01″ N., Long. 113°35′27″ W.; thence clockwise via the 4.2-nautical mile radius of the Peach Springs VORTAC to Lat. 36°38′53″ N., Long. 113°27′49″ W.; northeast to Lat. 35°42′58″ N., Long. 113°10′57″ W.; north to Lat. 35°57′51″ N., Long. 113°11′06″ W.; east to Lat. 35°57′44″ N., Long. 112°14′04″ W.; thence clockwise via the 4.3-nautical mile radius of the Grand Canyon National Park Airport reference point (Lat. 35°57′08″ N., Long. 112°08′49″ W.) to the point of origin.
For the purposes of this subpart:
Allocation means authorization to conduct a commercial air tour in the Grand Canyon National Park (GCNP) Special Flight Rules Area (SFRA).
Commercial air tour means any flight conducted for compensation or hire in a powered aircraft where a purpose of the flight is sightseeing. If the operator of a flight asserts that the flight is not a commercial air tour, factors that can be considered by the Administrator in making a determination of whether the flight is a commercial air tour include, but are not limited to—
(1) Whether there was a holding out to the public of willingness to conduct a sightseeing flight for compensation or hire;
(2) Whether a narrative was provided that referred to areas or points of interest on the surface;
(3) The area of operation;
(4) The frequency of flights;
(5) The route of flight;
(6) The inclusion of sightseeing flights as part of any travel arrangement package; or
(7) Whether the flight in question would or would not have been canceled based on poor visibility of the surface.
Commercial Special Flight Rules Area Operation means any portion of any flight within the Grand Canyon National Park Special Flight Rules Area that is conducted by a certificate holder that has operations specifications authorizing flights within the Grand Canyon National Park Special Flight Rules Area. This term does not include operations conducted under an FAA Form 7711-1, Certificate of Waiver or Authorization. For more information on commercial special flight rules area operations, see “Grand Canyon National Park Special Flight Rules Area (GCNP SFRA) Procedures Manual,” which is available online or from the responsible Flight Standards Office.
GCNP quiet aircraft technology designation means an aircraft that is subject to § 93.301 and has been shown to comply with the noise limit specified in appendix A of this part.
Number of passenger seats means the number of passenger seats for which an individual aircraft is configured.
Park means Grand Canyon National Park.
Special Flight Rules Area means the Grand Canyon National Park Special Flight Rules Area.
Except in an emergency or if otherwise necessary for safety of flight, or unless otherwise authorized by the responsible Flight Standards Office for a purpose listed in § 93.309, no person may operate an aircraft in the Special Flight Rules Area within the following flight-free zones:
(a) Desert View Flight-free Zone. That airspace extending from the surface up to but not including 14,500 feet MSL within an area bounded by a line beginning at Lat. 35°59′58″ N., Long. 111°52′47″ W.; thence east to Lat. 36°00′00″ N., Long. 111°51′04″ W.; thence north to 36°00′24″ N., Long. 111°51′04″ W.; thence east to 36°00′24″ N., Long. 111°45′44″ W.; thence north along the GCNP boundary to Lat. 36°14′05″ N., Long. 111°48′34″ W.; thence southwest to Lat. 36°12′06″ N., Long. 111°51′14″ W.; to the point of origin; but not including the airspace at and above 10,500 feet MSL within 1 nautical mile of the western boundary of the zone. The corridor to the west between the Desert View and Bright Angel Flight-free Zones, is designated the “Zuni Point Corridor.” This corridor is 2 nautical miles wide for commercial air tour flights and 4 nautical miles wide for transient and general aviation operations.
(b) Bright Angel Flight-free Zone. That airspace extending from the surface up to but not including 14,500 feet MSL within an area bounded by a line beginning at Lat. 35°58′39″ N., Long. 111°55′43″ W.; north to Lat. 36°12′41″ N., Long. 111°53′54″ W.; northwest to Lat. 36°18′18″ N., Long. 111°58′15″ W.; thence west along the GCNP boundary to Lat. 36°20′11″ N., Long. 112°06′25″ W.; south-southwest to Lat. 36°09′31″ N., Long. 112°11′15″ W.; to Lat. 36°04′16″ N., Long. 112°17′20″ W.; thence southeast along the GCNP boundary to Lat. 36°01′54″ N., Long. 112°11′24″ W.; thence clockwise via the 4.3-nautical mile radius of the Grand Canyon National Park Airport reference point (Lat. 35°57′08″ N., Long. 112°08′49″ W.) to Lat. 35°59′37″ N., Long. 112°04′29″ W.; thence east along the GCNP boundary to the point of origin; but not including the airspace at and above 10,500 feet MSL within 1 nautical mile of the eastern boundary or the airspace at and above 10,500 feet MSL within 2 nautical miles of the northwestern boundary. The corridor to the east, between this flight-free zone and the Desert View Flight-free Zone, is designated the “Zuni Point Corridor.” The corridor to the west, between the Bright Angel and Toroweap/Shinumo Flight-free Zones, is designated the “Dragon Corridor.” This corridor is 2 nautical miles wide for commercial air tour flights and 4 nautical miles wide for transient and general aviation operations. The Bright Angel Flight-free Zone does not include the following airspace designated as the Bright Angel Corridor: That airspace one-half nautical mile on either side of a line extending from Lat. 36°14′57″ N., Long. 112°08′45″ W. and Lat. 36°15′01″ N., Long. 111°55′39″ W.
(c) Toroweap/Shinumo Flight-free Zone. That airspace extending from the surface up to but not including 14,500 feet MSL within an area bounded by a line beginning at Lat. 36°05′44″ N., Long. 112°19′27″ W.; north-northeast to Lat. 36°10′49″ N., Long. 112°13′19″ W.; to Lat. 36°21′02″ N., Long. 112°08′47″ W.; thence west and south along the GCNP boundary to Lat 36°10′58″ N., Long. 113°08′35″ W.; south to Lat. 36°10′12″ N., Long. 113°08′34″ W.; thence in an easterly direction along the park boundary to the point of origin; but not including the following airspace designated as the “Tuckup Corridor”: at or above 10,500 feet MSL within 2 nautical miles either side of a line extending between Lat. 36°24′42″ N., Long. 112°48′47″ W. and Lat. 36°14′17″ N., Long. 112°48′31″ W. The airspace designated as the “Fossil Canyon Corridor” is also excluded from the Toroweap/Shinumo Flight-free Zone at or above 10,500 feet MSL within 2 nautical miles either side of a line extending between Lat. 36°16′26″ N., Long. 112°34′35″ W. and Lat. 36°22′51″ N., Long. 112°18′18″ W. The Fossil Canyon Corridor is to be used for transient and general aviation operations only.
(d) Sanup Flight-free Zone. That airspace extending from the surface up to but not including 8,000 feet MSL within an area bounded by a line beginning at Lat. 35°59′32″ N., Long. 113°20′28″ W.; west to Lat. 36°00′55″ N., Long. 113°42′09″ W.; southeast to Lat. 35°59′57″ N., Long. 113°41′09″ W.; to Lat. 35°59′09″ N., Long. 113°40′53″ W.; to Lat. 35°58′45″ N., Long. 113°40′15″ W.; to Lat. 35°57′52″ N., Long. 113°39′34″ W.; to Lat. 35°56′44″ N., Long. 113°39′07″ W.; to Lat. 35°56′04″ N., Long. 113°39′20″ W.; to Lat. 35°55′02″ N., Long. 113°40′43″ W.; to Lat. 35°54′47″ N., Long. 113°40′51″ W.; southeast to Lat. 35°50′16″ N., Long. 113°37′13″ W.; thence along the park boundary to the point of origin.
Except in an emergency, or if otherwise necessary for safety of flight, or unless otherwise authorized by the responsible Flight Standards Office for a purpose listed in § 93.309, no person may operate an aircraft in the Special Flight Rules Area at an altitude lower than the following:
(a) Minimum sector altitudes—(1) Commercial air tours—(i) Marble Canyon Sector. Lees Ferry to Boundary Ridge: 6,000 feet MSL.
(ii) Supai Sector. Boundary Ridge to Supai Point: 7,500 feet MSL.
(iii) Diamond Creek Sector. Supai Point to Diamond Creek: 6,500 feet MSL.
(iv) Pearce Ferry Sector. Diamond Creek to the Grand Wash Cliffs: 5,000 feet MSL.
(2) Transient and general aviation operations—(i) Marble Canyon Sector. Lees Ferry to Boundary Ridge: 8,000 feet MSL.
(ii) Supai Sector. Boundary Ridge to Supai Point: 10,000 feet MSL.
(iii) Diamond Creek Sector. Supai Point to Diamond Creek: 9,000 feet MSL.
(iv) Pearce Ferry Sector. Diamond Creek to the Grand Wash Cliffs: 8,000 feet MSL.
(b) Minimum corridor altitudes—(1) Commercial air tours—(i) Zuni Point Corridors. 7,500 feet MSL.
(ii) Dragon Corridor. 7,500 feet MSL.
(2) Transient and general aviation operations—(i) Zuni Point Corridor. 10,500 feet MSL.
(ii) Dragon Corridor. 10,500 feet MSL.
(iii) Tuckup Corridor. 10,500 feet MSL.
(iv) Fossil Canyon Corridor. 10,500 feet
Except in an emergency, no person may operate an aircraft in the Special Flight Rules Area unless the operation is conducted in accordance with the following procedures. (
(a) Unless necessary to maintain a safe distance from other aircraft or terrain remain clear of the flight-free zones described in § 93.305;
(b) Unless necessary to maintain a safe distance from other aircraft or terrain, proceed through the Zuni Point, Dragon, Tuckup, and Fossil Canyon Flight Corridors described in § 93.305 at the following altitudes unless otherwise authorized in writing by the responsible Flight Standards Office:
(1) Northbound. 11,500 or 13,500 feet MSL.
(2) Southbound. 10,500 or 12,500 feet MSL.
(c) For operation in the flight-free zones described in § 93.305, or flight below the altitudes listed in § 93.307, is authorized in writing by the responsible Flight Standards Office and is conducted in compliance with the conditions contained in that authorization. Normally authorization will be granted for operation in the areas described in § 93.305 or below the altitudes listed in § 93.307 only for operations of aircraft necessary for law enforcement, firefighting, emergency medical treatment/evacuation of persons in the vicinity of the Park; for support of Park maintenance or activities; or for aerial access to and maintenance of other property located within the Special Flight Rules Area. Authorization may be issued on a continuing basis;
(d) Is conducted in accordance with a specific authorization to operate in that airspace incorporated in the operator's operations specifications and approved by the responsible Flight Standards Office in accordance with the provisions of this subpart;
(e) Is a search and rescue mission directed by the U.S. Air Force Rescue Coordination Center;
(f) Is conducted within 3 nautical miles of Grand Canyon Bar Ten Airstrip, Pearce Ferry Airstrip, Cliff Dwellers Airstrip, Marble Canyon Airstrip, or Tuweep Airstrip at an altitude less than 3,000 feet above airport elevation, for the purpose of landing at or taking off from that facility; or
(g) Is conducted under an instrument flight rules (IFR) clearance and the pilot is acting in accordance with ATC instructions. An IFR flight plan may not be filed on a route or at an altitude that would require operation in an area described in § 93.305.
Except in an emergency, when necessary for takeoff or landing, or unless otherwise authorized by the responsible Flight Standards Office for a purpose listed in § 93.309(c), no person may operate an aircraft within 500 feet of any terrain or structure located between the north and south rims of the Grand Canyon.
Except when in contact with the Grand Canyon National Park Airport Traffic Control Tower during arrival or departure or on a search and rescue mission directed by the U.S. Air Force Rescue Coordination Center, no person may operate an aircraft in the Special Flight Rules Area unless he monitors the appropriate frequency continuously while in that airspace.
Each person conducting commercial Special Flight Rules Area operations must be certificated in accordance with Part 119 for Part 135 or 121 operations and hold appropriate Grand Canyon National Park Special Flight Rules Area operations specifications.
Unless otherwise authorized by the responsible Flight Standards Office, no person may conduct a commercial Special Flight Rules Area operation in the Dragon and Zuni Point corridors during the following flight-free periods:
(a) Summer season (May 1-September 30)-6 p.m. to 8 a.m. daily; and
(b) Winter season (October 1-April 30)-5 p.m. to 9 a.m. daily.
(a) Unless excepted under paragraph (f) or (g) of this section, no certificate holder certificated in accordance with part 119 for part 121 or 135 operations may conduct more commercial air tours in the Grand Canyon National Park in any calendar year than the number of allocations specified on the certificate holder's operations specifications.
(b) The Administrator determines the number of initial allocations for each certificate holder based on the total number of commercial air tours conducted by the certificate holder and reported to the FAA during the period beginning on May 1, 1997 and ending on April 30, 1998, unless excepted under paragraph (g).
(c) Certificate holders who conducted commercial air tours during the base year and reported them to the FAA receive an initial allocation.
(d) A certificate holder must use one allocation for each flight that is a commercial air tour, unless excepted under paragraph (f) or (g) of this section.
(e) Each certificate holder's operation specifications will identify the following information, as applicable:
(1) Total SFRA allocations; and
(2) Dragon corridor and Zuni Point corridor allocations.
(f) Certificate holders satisfying the requirements of § 93.315 of this subpart are not required to use a commercial air tour allocation for each commercial air tour flight in the GCNP SFRA provided the following conditions are satisfied:
(1) The certificate holder conducts its operations in conformance with the routes and airspace authorizations as specified in its Grand Canyon National Park Special Flight Rules Area operations specifications;
(2) The certificate holder must have executed a written contract with the Hualapai Indian Nation which grants the certificate holder a trespass permit and specifies the maximum number of flights to be permitted to land at Grand Canyon West Airport and at other sites located in the vicinity of that airport and operates in compliance with that contract; and
(3) The certificate holder must have a valid operations specification that authorizes the certificate holder to conduct the operations specified in the contract with the Hualapai Indian Nation and specifically approves the number of operations that may transit the Grand Canyon National Park Special Flight Rules Area under this exception.
(g) Certificate holders conducting commercial air tours at or above 14,500 feet MSL but below 18,000 feet MSL who did not receive initial allocations in 1999 because they were not required to report during the base year may operate without an allocation when conducting air tours at those altitudes. Certificate holders conducting commercial air tours in the area affected by the eastward shift of the SFRA who did not receive initial allocations in 1999 because they were not required to report during the base year may continue to operate on the specified routes without an allocation in the area bounded by longitude line 111 degrees 42 minutes east and longitude line 111 degrees 36 minutes east. This exception does not include operation in the Zuni Point corridor.
(a) Allocations are not a property interest; they are an operating privilege subject to absolute FAA control.
(b) Allocations are subject to the following conditions:
(1) The Administrator will re-authorize and re-distribute allocations no earlier than two years from the effective date of this rule.
(2) Allocations that are held by the FAA at the time of reallocation may be distributed among remaining certificate holders, proportionate to the size of each certificate holder's allocation.
(3) The aggregate SFRA allocations will not exceed the number of operations reported to the FAA for the base year beginning on May 1, 1997 and ending on April 30, 1998, except as adjusted to incorporate operations occurring for the base year of April 1, 2000 and ending on March 31, 2001, that operate at or above 14,500 feet MSL and below 18,000 feet MSL and operations in the area affected by the eastward shift of the SFRA bounded by longitude line 111 degrees 42 minutes east to longitude 111 degrees 36 minutes east.
(4) Allocations may be transferred among Part 135 or Part 121 certificate holders, subject to all of the following:
(i) Such transactions are subject to all other applicable requirements of this chapter.
(ii) Allocations authorizing commercial air tours outside the Dragon and Zuni Point corridors may not be transferred into the Dragon and Zuni Point corridors. Allocations authorizing commercial air tours within the Dragon and Zuni Point corridors may be transferred outside of the Dragon and Zuni Point corridors.
(iii) A certificate holder must notify in writing the responsible Flight Standards Office within 10 calendar days of a transfer of allocations. This notification must identify the parties involved, the type of transfer (permanent or temporary) and the number of allocations transferred. Permanent transfers are not effective until the responsible Flight Standards Office reissues the operations specifications reflecting the transfer. Temporary transfers are effective upon notification.
(5) An allocation will revert to the FAA upon voluntary cessation of commercial air tours within the SFRA for any consecutive 180-day period unless the certificate holder notifies the FSDO in writing, prior to the expiration of the 180-day time period, of the following: the reason why the certificate holder has not conducted any commercial air tours during the consecutive 180-day period; and the date the certificate holder intends on resuming commercial air tours operations. The FSDO will notify the certificate holder of any extension to the consecutive 180-days. A certificate holder may be granted one extension.
(6) The FAA retains the right to re-distribute, reduce, or revoke allocations based on:
(i) Efficiency of airspace;
(ii) Voluntary surrender of allocations;
(iii) Involuntary cessation of operations; and
(iv) Aviation safety.
(a) Each certificate holder must submit in writing, within 30 days of the end of each calendar quarter, the total number of commercial SFRA operations conducted for that quarter. Quarterly reports must be filed with the responsible Flight Standards Office.
(b) Each quarterly report must contain the following information.
(1) Make and model of aircraft;
(2) Identification number (registration number) for each aircraft;
(3) Departure airport for each segment flown;
(4) Departure date and actual Universal Coordinated Time, as applicable for each segment flown;
(5) Type of operation; and
(6) Route(s) flown.
This appendix contains procedures for determining the GCNP quiet aircraft technology designation status for each aircraft subject to § 93.301 determined during the noise certification process as prescribed under part 36 of this chapter. Where no certificated noise level is available, the Administrator may approve an alternative measurement procedure.
Aircraft Noise Limit for GCNP Quiet Aircraft Technology Designation
A. For helicopters with a flyover noise level obtained in accordance with the measurement procedures prescribed in Appendix H of 14 CFR part 36, the limit is 80 dB for helicopters having a seating configuration of two or fewer passenger seats, increasing at 3 dB per doubling of the number of passenger seats for helicopters having a seating configuration of three or more passenger seats. The noise limit for helicopters with three or more passenger seats can be calculated by the formula:
B. For helicopters with a flyover noise level obtained in accordance with the measurement procedures prescribed in Appendix J of 14 CFR part 36, the limit is 77 dB for helicopters having a seating configuration of two or fewer passenger seats, increasing at 3 dB per doubling of the number of passenger seats for helicopters having a seating configuration of three or more passenger seats. The noise limit for helicopters with three or more passenger seats can be calculated by the formula:
C. For propeller-driven airplanes with a measured flyover noise level obtained in accordance with the measurement procedures prescribed in Appendix F of 14 CFR part 36 without the performance correction defined in Sec. F35.201(c), the limit is 69 dB for airplanes having a seating configuration of two or fewer passenger seats, increasing at 3 dB per doubling of the number of passenger seats for airplanes having a seating configuration of three or more passenger seats. The noise limit for propeller-driven airplanes with three or more passenger seats can be calculated by the formula:
D. In the event that a flyover noise level is not available in accordance with Appendix F of 14 CFR part 36, the noise limit for propeller-driven airplanes with a takeoff noise level obtained in accordance with the measurement procedures prescribed in Appendix G is 74 dB or 77 dB, depending on 14 CFR part 36 amendment level, for airplanes having a seating configuration of two or fewer passenger seats, increasing at 3 dB per doubling of the number of passenger seats for airplanes having a seating configuration of three or more passenger seats. The noise limit for propeller-driven airplanes with three or more passenger seats can be calculated by the formula:
This subpart prescribes special air traffic rules for aircraft operating in the Washington, DC Metropolitan Area. Because identification and control of aircraft is required for reasons of national security, the areas described in this subpart constitute national defense airspace. The purpose of establishing this area is to facilitate the tracking of, and communication with, aircraft to deter persons who would use an aircraft as a weapon, or as a means of delivering weapons, to conduct an attack on persons, property, or buildings in the area. This subpart applies to pilots conducting any type of flight operations in the airspace designated as the Washington, DC Metropolitan Area Special Flight Rules Area (DC SFRA) (as defined in § 93.335), which includes the airspace designated as the Washington, DC Metropolitan Area Flight Restricted Zone (DC FRZ) (as defined in § 93.335).
(a) Any violation. The FAA may take civil enforcement action against a pilot for violations, whether inadvertent or intentional, including imposition of civil penalties and suspension or revocation of airmen's certificates.
(b) Knowing or willful violations. The DC FRZ and DC SFRA were established for reasons of national security under the provisions of 49 U.S.C. 40103(b)(3). Areas established by the FAA under that authority constitute “national defense airspace” as that term is used in 49 U.S.C. 46307. In addition to being subject to the provisions of paragraph (a) of this section, persons who knowingly or willfully violate national defense airspace established pursuant to 49 U.S.C. 40103(b)(3) may be subject to criminal prosecution.
For purposes of this subpart—
DC FRZ flight plan is a flight plan filed for the sole purpose of complying with the requirements for VFR operations into, out of, and through the DC FRZ. This flight plan is separate and distinct from a standard VFR flight plan, and does not include search and rescue services.
DC SFRA flight plan is a flight plan filed for the sole purpose of complying with the requirements for VFR operations into, out of, and through the DC SFRA. This flight plan is separate and distinct from a standard VFR flight plan, and does not include search and rescue services.
Fringe airports are the following airports located near the outer boundary of the Washington, DC Metropolitan Area Special Flight Rules Area: Barnes (MD47), Flying M Farms (MD77), Mountain Road (MD43), Robinson (MD14), and Skyview (51VA).
Washington, DC Metropolitan Area Flight Restricted Zone (DC FRZ) is an area bounded by a line beginning at the Washington VOR/DME (DCA) 311° radial at 15 nautical miles (NM) (Lat. 38°59′31″ N., Long. 077°18′30″ W.); then clockwise along the DCA 15 nautical mile arc to the DCA 002° radial at 15 NM (Lat. 39°06′28″ N., Long 077°04′32″ W.); then southeast via a line drawn to the DCA 049° radial at 14 NM (Lat. 39°02′18″ N., Long. 076°50′38″ W.); thence south via a line drawn to the DCA 064° radial at 13 NM (Lat. 38°59′01″ N., Long. 076°48′32″ W.); thence clockwise along the 13 NM arc to the DCA 276° radial at 13 NM (Lat.38°50′53″ N., Long 077°18′48″ W.); thence north to the point of beginning, excluding the airspace within a one nautical mile radius of the Freeway Airport, W00, Mitchellville, MD from the surface up to but not including flight level (FL) 180. The DC FRZ is within and part of the Washington, DC Metropolitan Area SFRA.
Washington, DC Metropolitan Area Special Flight Rules Area (DC SFRA) is an area of airspace over the surface of the earth where the ready identification, location, and control of aircraft is required in the interests of national security. Specifically, the DC SFRA is that airspace, from the surface to, but not including, FL 180, within a 30-mile radius of Lat. 38°51′34″ N., Long. 077°02′11″ W., or the DCA VOR/DME. The DC SFRA includes the DC FRZ.
A pilot conducting any type of flight operation in the DC SFRA must comply with the restrictions listed in this subpart and all special instructions issued by the FAA in the interest of national security. Those special instructions may be issued in any manner the FAA considers appropriate, including a NOTAM. Additionally, a pilot must comply with all of the applicable requirements of this chapter.
(a) Except as provided in paragraphs (b) and (c) of this section and in § 93.345, or unless authorized by Air Traffic Control, no pilot may operate an aircraft, including an ultralight vehicle or any civil aircraft or public aircraft, in the DC SFRA, including the DC FRZ, unless—
(1) The aircraft is equipped with an operable two-way radio capable of communicating with Air Traffic Control on appropriate radio frequencies;
(2) Before operating an aircraft in the DC SFRA, including the DC FRZ, the pilot establishes two-way radio communications with the appropriate Air Traffic Control facility and maintains such communications while operating the aircraft in the DC SFRA, including the DC FRZ;
(3) The aircraft is equipped with an operating automatic altitude reporting transponder;
(4) Before operating an aircraft in the DC SFRA, including the DC FRZ, the pilot obtains and transmits a discrete transponder code from Air Traffic Control, and the aircraft's transponder continues to transmit the assigned code while operating within the DC SFRA;
(5) For VFR operations, the pilot must file and activate a DC FRZ or DC SFRA flight plan by obtaining a discrete transponder code. The flight plan is closed upon landing at an airport within the DC SFRA or when the aircraft exits the DC SFRA;
(6) Before operating the aircraft into, out of, or through the Washington, DC Tri-Area Class B Airspace Area, the pilot receives a specific Air Traffic Control clearance to operate in the Class B airspace area; and
(7) Before operating the aircraft into, out of, or through Class D airspace area that is within the DC SFRA, the pilot complies with § 91.129 of this chapter.
(b) Paragraph (a)(5) of this section does not apply to operators of Department of Defense aircraft, law enforcement operations, or lifeguard or air ambulance operations under an FAA/TSA airspace authorization, if the flight crew is in contact with Air Traffic Control and is transmitting an Air Traffic Control-assigned discrete transponder code.
(c) When operating an aircraft in the VFR traffic pattern at an airport within the DC SFRA (but not within the DC FRZ) that does not have an airport traffic control tower, a pilot must—
(1) File a DC SFRA flight plan for traffic pattern work;
(2) Communicate traffic pattern position via the published Common Traffic Advisory Frequency (CTAF);
(3) Monitor VHF frequency 121.5 or UHF frequency 243.0, if the aircraft is suitably equipped;
(4) Obtain and transmit the Air Traffic Control-assigned discrete transponder code; and
(5) When exiting the VFR traffic pattern, comply with paragraphs (a)(1) through (a)(7) of this section.
(d) When operating an aircraft in the VFR traffic pattern at an airport within the DC SFRA (but not within the DC FRZ) that has an operating airport traffic control tower, a pilot must—
(1) Before departure or before entering the traffic pattern, request to remain in the traffic pattern;
(2) Remain in two-way radio communications with the tower. If the aircraft is suitably equipped, the pilot must also monitor VHF frequency 121.5 or UHF frequency 243.0;
(3) Continuously operate the aircraft transponder on code 1234 unless Air Traffic Control assigns a different code; and
(4) Before exiting the traffic pattern, comply with paragraphs (a)(1) through (a)(7) of this section.
(e) Pilots must transmit the assigned transponder code. No pilot may use transponder code 1200 while in the DC SFRA.
(a) Except as provided in paragraph (b) of this section, no pilot may conduct any flight operation under part 91, 101, 103, 105, 125, 133, 135, or 137 of this chapter in the DC FRZ, unless the specific flight is operating under an FAA/TSA authorization.
(b) Department of Defense (DOD) operations, law enforcement operations, and lifeguard or air ambulance operations under an FAA/TSA airspace authorization are excepted from the prohibition in paragraph (a) of this section if the pilot is in contact with Air Traffic Control and operates the aircraft transponder on an Air Traffic Control-assigned beacon code.
(c) The following aircraft operations are permitted in the DC FRZ:
(1) Aircraft operations under the DCA Access Standard Security Program (DASSP) (49 CFR part 1562) with a Transportation Security Administration (TSA) flight authorization.
(2) Law enforcement and other U.S. Federal aircraft operations with prior FAA approval.
(3) Foreign-operated military and state aircraft operations with a State Department-authorized diplomatic clearance, with State Department notification to the FAA and TSA.
(4) Federal, State, Federal DOD contract, local government agency aircraft operations and part 121, 129 or 135 air carrier flights with TSA-approved full aircraft operator standard security programs/procedures, if operating with DOD permission and notification to the FAA and the National Capital Regional Coordination Center (NCRCC). These flights may land and depart Andrews Air Force Base, MD, with prior permission, if required.
(5) Aircraft operations maintaining radio contact with Air Traffic Control and continuously transmitting an Air Traffic Control-assigned discrete transponder code. The pilot must monitor VHF frequency 121.5 or UHF frequency 243.0.
(d) Before departing from an airport within the DC FRZ, or before entering the DC FRZ, all aircraft, except DOD, law enforcement, and lifeguard or air ambulance aircraft operating under an FAA/TSA airspace authorization must file and activate an IFR or a DC FRZ flight plan and transmit a discrete transponder code assigned by an Air Traffic Control facility. Aircraft must transmit the discrete transponder code at all times while in the DC FRZ or DC SFRA.
(a) A pilot may not operate an aircraft to or from College Park Airport, MD, Potomac Airfield, MD, or Washington Executive/Hyde Field Airport, MD unless—
(1) The aircraft and its crew and passengers comply with security rules issued by the TSA in 49 CFR part 1562, subpart A;
(2) Before departing, the pilot files an IFR or DC FRZ flight plan with the Washington Air Route Traffic Control Center for each departure and arrival from/to College Park, Potomac Airfield, and Washington Executive/Hyde Field airports, whether or not the aircraft makes an intermediate stop;
(3) When filing a flight plan with the Washington Air Route Traffic Control Center, the pilot identifies himself or herself by providing the assigned pilot identification code. The Washington Air Route Traffic Control Center will accept the flight plan only after verifying the code; and
(4) The pilot complies with the applicable IFR or VFR egress procedures in paragraph (b), (c) or (d) of this section.
(b) If using IFR procedures, a pilot must—
(1) Obtain an Air Traffic Control clearance from the Potomac TRACON; and
(2) Comply with Air Traffic Control departure instructions from Washington Executive/Hyde Field, Potomac Airport, or College Park Airport. The pilot must then proceed on the Air Traffic Control-assigned course and remain clear of the DC FRZ.
(c) If using VFR egress procedures, a pilot must—
(1) Depart as instructed by Air Traffic Control and expect a heading directly out of the DC FRZ until the pilot establishes two-way radio communication with Potomac Approach; and
(2) Operate as assigned by Air Traffic Control until clear of the DC FRZ, the DC SFRA, and the Class B or Class D airspace area.
(d) If using VFR ingress procedures, the aircraft must remain outside the DC SFRA until the pilot establishes communications with Air Traffic Control and receives authorization for the aircraft to enter the DC SFRA.
(e) VFR arrivals:
(1) If landing at College Park Airport a pilot may receive routing via the vicinity of Freeway Airport; or
(2) If landing at Washington Executive/Hyde Field or Potomac Airport, the pilot may receive routing via the vicinity of Maryland Airport or the Nottingham VORTAC.
(a) A pilot may depart from a fringe airport as defined in § 93.335 without filing a flight plan or communicating with Air Traffic Control, unless requested, provided:
(1) The aircraft's transponder transmits code 1205;
(2) The pilot exits the DC SFRA by the most direct route before proceeding on course; and
(3) The pilot monitors VHF frequency 121.5 or UHF frequency 243.0.
(b) No pilot may operate an aircraft arriving at a fringe airport or transit the DC SFRA unless that pilot complies with the DC SFRA operating procedures in this subpart.
For the purposes of this subpart only the following definitions apply:
(a) Local operation. Any aircraft within the Hudson River Exclusion that is conducting an operation other than as described in paragraph (b) of this section. Local operations include but are not limited to operations for sightseeing, electronic news gathering, and law enforcement.
(b) Transient operation. Aircraft transiting the entire length of the Hudson River Class B Exclusion, as defined in paragraph (d) of this section, from one end to the other.
(c) New York Class B airspace East River Exclusion is that airspace below 1,500 feet MSL between the east and west banks of, and overlying, the East River beginning at lat. 40°38′39″ N., long. 74°02′03″ W., thence north along a line drawn direct to the southwestern tip of Governors Island, thence north along a line direct to the southwest tip of Manhattan Island, thence north along the west bank of the East River to the LGA VOR/DME 6-mile arc, thence counterclockwise along the 6-mile arc to the east bank of the East River, thence south along the east bank of the East River to the point of beginning at lat. 40°38′39″ N., long 74°02′03″ W.; and that airspace 1,100 feet MSL and below between the east and west banks of, and overlying the East River, from the LGA VOR/DME 6-mile arc to the north tip of Roosevelt Island.
(d) New York Class B airspace Hudson River Exclusion is that area from the surface up to but not including the overlying floor of the New York Class B airspace area, between the east and west banks of, and overlying, the Hudson River within the area beginning north of LaGuardia Airport on the west bank of the Hudson River at lat. 40°57′45″ N., long. 73°54′48″ W. (near Alpine Tower), thence south along the west bank of the Hudson River to intersect the Colts Neck VOR/DME 012° radial, thence southwest along the Colts Neck 012° radial to the Hudson River shoreline, thence south along the shoreline to the Verrazano-Narrows Bridge, thence east along the Bridge to the east bank of the Hudson River, thence north along the east bank of the Hudson River to lat. 40°38′39″ N., long. 74°02′03″ W., thence north along a line drawn direct to the southwesternmost point of Governors Island, thence north along a line drawn direct to the southwest tip of Manhattan Island, thence north along the east bank of the Hudson River to the LGA VOR/DME 11-mile arc, north of LaGuardia Airport, thence counterclockwise along the 11-mile arc to lat. 40°57′54″ N., long. 73°54′23″ W., thence to the point of beginning.
Pilots must adhere to the following requirements:
(a) Maintain an indicated airspeed not to exceed 140 knots.
(b) Anti-collision lights and aircraft position/navigation lights shall be on, if equipped. Use of landing lights is recommended.
(c) Self announce position on the appropriate radio frequency for the East River or Hudson River as depicted on the New York VFR Terminal Area Chart (TAC) and/or New York Helicopter Route Chart.
(d) Have a current New York TAC chart and/or New York Helicopter Route Chart in the aircraft and be familiar with the information contained therein.
In addition to the requirements in § 93.351, the following procedures apply:
(a) Pilots must self announce, at the charted mandatory reporting points, the following information: aircraft type, current position, direction of flight, and altitude.
(b) Pilots must fly along the west shoreline of the Hudson River when southbound, and along the east shoreline of the Hudson River when northbound; while remaining within the boundaries of the Hudson River Exclusion as defined in § 93.350(d).
(c) Aircraft transiting the area within the Hudson River Exclusion in accordance with § 93.350(b) must transit the Hudson River Exclusion at or above an altitude of 1,000 feet MSL up to, but not including, the floor of the overlying Class B airspace.
No person may operate an airplane in the East River Exclusion extending from the southwestern tip of Governors Island to the north tip of Roosevelt Island except:
(a) Seaplanes landing on or taking off from the river; or
(b) Airplanes authorized by ATC. Pilots must contact LaGuardia Airport Traffic Control Tower prior to Governors Island for authorization.
This subpart prescribes rules applicable to helicopters or powered-lift operating in the vertical-lift flight mode operating in the Ronald Reagan Washington National Airport Flight Restrictions Area described in § 93.373.
The Ronald Reagan Washington National Airport Flight Restrictions Area is designated as that airspace extending upward from the surface to and including 1,500 feet MSL over the Potomac River near Ronald Reagan Washington National Airport, Arlington, VA beginning at 38°53′04″ N, 77°03′19″ W; to 38°52′48″ N, 77°02′48″ W; to 38°52′44″ N, 77°01′55″ W; to 38°52′34″ N, 77°01′42″ W; to 38°52′23″ N, 77°01′33″ W; to 38°51′54″ N, 77°01′24″ W; to 38°50′43″ N, 77°01′16″ W; to 38°50′07″ N, 77°01′27″ W; to 38°49′14″ N, 77°01′36″ W; to 38°48′37″ N, 77°01′36″ W; to 38°47′37″ N, 77°01′23″ W; to 38°47′37″ N, 77°02′48″ W; to 38°50′17″ N, 77°02′42″ W; to 38°50′30″ N, 77°02′44″ W; to 38°50′49″ N, 77°02′34″ W; to 38°50′59″ N, 77°02′33″ W; to 38°51′07″ N, 77°02′51″ W; to 38°52′07″ N, 77°03′02″ W; to 38°52′35″ N, 77°03′07″ W; to the point of beginning.
(a) No person may operate a helicopter or powered-lift operating in the vertical-lift flight mode in the Ronald Reagan Washington National Airport Flight Restrictions Area unless the person is conducting an essential operation as provided in paragraph (b) of this section.
(b) Essential operations are operations conducted for the following purposes:
(1) Lifesaving medical;
(2) Active law enforcement involving responses to ongoing criminal activity;
(3) Active national security directly involving national defense or counterintelligence;
(4) Continuity activities for the Federal government to ensure the continued operation of essential governmental functions under a broad range of circumstances, including all-hazard emergencies; or
(5) Transportation of the President or Vice President of the United States.
(c) Proficiency evaluation flights, other transportation of personnel not directly involved in an essential operation, and routine training operations are not essential operations as provided for in paragraph (b) of this section.
(a) This part prescribes altitudes governing the operation of aircraft under IFR on ATS routes, or other direct routes for which an MEA is designated in this part. In addition, it designates mountainous areas and changeover points.
(b) The MAA is the highest altitude on an ATS route, or other direct route for which an MEA is designated, at which adequate reception of VOR signals is assured.
(c) The MCA applies to the operation of an aircraft proceeding to a higher minimum en route altitude when crossing specified fixes.
(d) The MEA is the minimum en route IFR altitude on an ATS route, ATS route segment, or other direct route. The MEA applies to the entire width of the ATS route, ATS route segment, or other direct route between fixes defining that route. Unless otherwise specified, an MEA prescribed for an off airway route or route segment applies to the airspace 4 nautical miles on each side of a direct course between the navigation fixes defining that route or route segment.
(e) The MOCA assures obstruction clearance on an ATS route, ATS route segment, or other direct route, and adequate reception of VOR navigation signals within 22 nautical miles of a VOR station used to define the route.
(f) The MRA applies to the operation of an aircraft over an intersection defined by ground-based navigation aids. The MRA is the lowest altitude at which the intersection can be determined using the ground-based navigation aids.
(g) The changeover point (COP) applies to operation of an aircraft along a Federal airway, jet route, or other direct route; for which an MEA is designated in this part. It is the point for transfer of the airborne navigation reference from the ground-based navigation aid behind the aircraft to the next appropriate ground-based navigation aid to ensure continuous reception of signals.
For the purposes of this part—
(a) COP means changeover point.
(b) L means compass locator;
(c) LF/MF means low frequency, medium frequency;
(d) LFR means low frequency radio range;
(e) VOR-E means VOR and distance measuring equipment; and
(f) Z means a very high frequency location marker.
The areas described in this subpart are designated mountainous areas.
All of the following area excluding those portions specified in the exceptions.
(a) Area.
Beginning at latitude 47°10′ N., longitude 67°55′ W.; thence west and south along the Canadian Border to latitude 45°00′ N., longitude 74°15′ W.; thence to latitude 44°20′ N., longitude 75°30′ W.; thence to latitude 43°05′ N., longitude 75°30′ W.; thence to latitude 42°57′ N., longitude 77°30′ W.; thence to latitude 42°52′ N., longitude 78°42′ W.; thence to latitude 42°26′ N., longitude 79°13′ W.; thence to latitude 42°05′ N., longitude 80°00′ W.; thence to latitude 40°50′ N., longitude 80°00′ W.; thence to latitude 40°26′ N., longitude 79°54′ W.; thence to latitude 38°25′ N., longitude 81°46′ W.; thence to latitude 36°00′ N., longitude 86°00′ W.; thence to latitude 33°37′ N., longitude 86°45′ W.; thence to latitude 32°30′ N., longitude 86°25′ W.; thence to latitude 33°22′ N., longitude 85°00′ W.; thence to latitude 36°35′ N., longitude 79°20′ W.; thence to latitude 40°11′ N., longitude 76°24′ W.; thence to latitude 41°24′ N., longitude 74°30′ W.; thence to latitude 41°43′ N., longitude 72°40′ W.; thence to latitude 42°13′ N., longitude 72°44′ W.; thence to latitude 43°12′ N., longitude 71°30′ W.; thence to latitude 43°45′ N., longitude 70°30′ W.; thence to latitude 45°00′ N., longitude 69°30′ W.; thence to latitude 47°10′ N., longitude 67°55′ W., point of beginning.
(b) Exceptions. The area bounded by the following coordinates:
Beginning at latitude 45°00′ N., longitude 73°26′ W.; thence to latitude 44°32′ N., longitude 73°04′ W.; thence to latitude 42°51′ N., longitude 73°41′ W.; thence to latitude 41°38′ N., longitude 73°46′ W.; thence to latitude 41°16′ N., longitude 73°50′ W.; thence to latitude 41°17′ N., longitude 74°00′ W.; thence to latitude 41°25′ N., longitude 73°58′ W.; thence to latitude 41°26′ N., longitude 74°01′ W.; thence to latitude 41°37′ N., longitude 73°58′ W.; thence to latitude 42°41′ N., longitude 73°55′ W.; thence to latitude 43°02′ N., longitude 76°15′ W.; thence to latitude 43°17′ N., longitude 75°21′ W.; thence to latitude 42°59′ N., longitude 74°43′ W.; thence to latitude 42°52′ N., longitude 73°53′ W.; thence to latitude 44°30′ N., longitude 73°18′ W.; thence to latitude 45°00′ N., longitude 73°39′ W.; thence to latitude 45°00′ N., longitude 73°26′ W., point of beginning.
All of the following area excluding that portion specified in the exceptions:
(a) Area. From the Pacific coastline of the United States, eastward along the Canadian and Mexican borders, to the following coordinates:
Beginning at latitude 49°00′ N., longitude 108°00′ W.; thence to latitude 46°45′ N., longitude 104°00′ W.; thence to latitude 44°06′ N., longitude 103°15′ W.; thence to latitude 43°00′ N., longitude 103°15′ W.; thence to latitude 41°52′ N., longitude 103°39′ W.; thence to latitude 35°11′ N., longitude 103°39′ W.; thence to latitude 33°17′ N., longitude 104°27′ W.; thence to latitude 32°17′ N., longitude 104°14′ W.; thence to latitude 29°48′ N., longitude 102°00′ W.
(b) Exceptions.
(1) Beginning at latitude 35°25′ N., longitude 119°09′ W.; thence to latitude 35°29′ N., longitude 118°58′ W.; thence to latitude 36°49′ N., longitude 119°37′ W.; thence to latitude 38°30′ N., longitude 121°24′ W.; thence to latitude 39°30′ N., longitude 121°32′ W.; thence to latitude 40°08′ N., longitude 122°08′ W.; thence to latitude 40°06′ N., longitude 122°20′ W.; thence to latitude 39°05′ N., longitude 122°12′ W.; thence to latitude 38°01′ N., longitude 121°51′ W.; thence to latitude 37°37′ N., longitude 121°12′ W.; thence to latitude 37°00′ N., longitude 120°58′ W.; thence to latitude 36°14′ N., longitude 120°11′ W., point of beginning.
(2) Beginning at latitude 49°00′ N., longitude 122°21′ W.; thence to latitude 48°34′ N., longitude 122°21′ W.; thence to latitude 48°08′ N., longitude 122°00′ W.; thence to latitude 47°12′ N., longitude 122°00′ W.; thence to latitude 46°59′ N., longitude 122°13′ W.; thence to latitude 46°52′ N., longitude 122°16′ W.; thence to latitude 46°50′ N., longitude 122°40′ W.; thence to latitude 46°35′ N., longitude 122°48′ W.; thence to latitude 46°35′ N., longitude 123°17′ W.; thence to latitude 47°15′ N., longitude 123°17′ W.; thence to latitude 47°41′ N., longitude 122°54′ W.; thence to latitude 48°03′ N., longitude 122°48′ W.; thence to latitude 48°17′ N., longitude 123°15′ W.; thence North and East along the United States and Canada Boundary to latitude 49°00′ N., longitude 122°21′ W., point of beginning.
All of the following area excluding those portions specified in the exceptions:
(a) Area. The State of Alaska.
(b) Exceptions;
(1) Fairbanks—Nenana Area. Beginning at latitude 64°54′ N, longitude 147°00′ W; thence to latitude 64°50′ N, longitude 151°22′ W, thence to latitude 63°50′ N, longitude 152°50′ W; thence to latitude 63°30′ N, longitude 152°30′ W; thence to latitude 63°30′ N, longitude 151°30′ W; thence to latitude 64°05′ N, longitude 150°30′ W; thence to latitude 64°20′ N, longitude 149°00′ W; thence to latitude 64°07′ N, longitude 146°30′ W; thence to latitude 63°53′ N, longitude 146°00′ W; thence to latitude 63°53′ N, longitude 145°00′ W; thence to latitude 64°09′ N, longitude 145°16′ W; thence to latitude 64°12′ N, longitude 146°00′ W; thence to latitude 64°25′ N, longitude 146°37′ W; thence to latitude 64°54′ N, longitude 147°00′ W, point of beginning.
(2) Anchorage—Homer Area. Beginning at latitude 61°50′ N, longitude 151°12′ W; thence to latitude 61°24′ N, longitude 150°28′ W; thence to latitude 61°08′ N, longitude 151°47′ W; thence to latitude 59°49′ N, longitude 152°40′ W; thence to latitude 59°25′ N, longitude 153°10′ W; thence to latitude 59°00′ N, longitude 153°10′ W; thence to latitude 59°33′ N, longitude 151°28′ W; thence to latitude 60°31′ N, longitude 150°43′ W; thence to latitude 61°13′ N, longitude 149°39′ W; thence to latitude 61°37′ N, longitude 149°15′ W; thence to latitude 61°44′ N, longitude 149°48′ W; thence to latitude 62°23′ N, longitude 149°54′ W; thence to latitude 62°23′ N, longitude 150°14′ W; thence to latitude 61°50′ N, longitude 151°12′ W, point of beginning.
(3) King Salmon—Port Heiden Area. Beginning at latitude 58°49′ N, longitude 159°30′ W; thence to latitude 59°40′ N, longitude 157°00′ W; thence to latitude 59°40′ N, longitude 155°30′ W; thence to latitude 59°50′ N, longitude 154°50′ W; thence to latitude 59°35′ N, longitude 154°40′ W; thence to latitude 58°57′ N, longitude 156°05′ W; thence to latitude 58°00′ N, longitude 156°20′ W; thence to latitude 57°00′ N, longitude 158°20′ W; thence to latitude 56°43′ N, longitude 158°39′ W; thence to latitude 56°27′ N, longitude 160°00′ W; thence along the shoreline to latitude 58°49′ N, longitude 159°30′ W, point of beginning.
(4) Bethel—Aniak Area. Beginning at latitude 63°28′ N, longitude 161°30′ W; thence to latitude 62°40′ N, longitude 163°03′ W; thence to latitude 62°05′ N, longitude 162°38′ W; thence to latitude 61°51′ N, longitude 160°43′ W; thence to latitude 62°55′ N, longitude 160°30′ W; thence to latitude 63°00′ N, longitude 158°00′ W; thence to latitude 61°45′ N, longitude 159°30′ W; thence to latitude 61°34′ N, longitude 159°15′ W; thence to latitude 61°07′ N, longitude 160°20′ W; thence to latitude 60°25′ N, longitude 160°40′ W; thence to latitude 59°36′ N, longitude 161°49′ W; thence along the shoreline to latitude 63°28′ N, longitude 161°30′ W; point of beginning; and Nunivak Island.
(5) North Slope Area. Beginning at a point where latitude 69°30′ N intersects the northwest coast of Alaska and eastward along the 69°30′ parallel to latitude 69°30′ N, longitude 156°00′ W; thence to latitude 69°10′ N, longitude 153°00′ W; thence eastward along the 69°10′ N parallel to latitude 69°10′ N, longitude 149°00′ W; thence to latitude 69°50′ N, longitude 146°00′ W; thence eastward along the 69°50′ N parallel to latitude 69°50′ N, longitude 145°00′ W; thence to latitude 69°35′ N, longitude 141°00′ W; thence northward along the 141°00′ W Meridian to a point where the 141°00′ W Meridian intersects the northeast coastline of Alaska; thence westward along the northern coastline of Alaska to the intersection of latitude 69°30′ N; point of beginning .
(6) Fort Yukon Area. Beginning at latitude 67°20′ N, longitude 144°00′ W; thence to latitude 66°00′ N, longitude 143°00′ W; thence to latitude 66°05′ N, longitude 149°00′ W; thence to latitude 66°45′ N, longitude 148°00′ W; thence to latitude 67°00′ N, longitude 147°00′ W; thence to latitude 67°20′ N, longitude 144°00′ W; point of beginning.
(7) The islands of Saint Paul and Saint George, together known as the Pribilof Islands, in the Bering Sea.
The following islands of the State of Hawaii: Kauai, Oahu, Molokai, Lanai, Kehoolawe, Maui, and Hawaii.
The area bounded by the following coordinates:
Beginning at latitude 18°22′ N., longitude 66°58′ W., thence to latitude 18°19′ N., longitude 66°06′ W.; thence to latitude 18°20′ N., longitude 65°50′ W.; thence to latitude 18°20′ N., longitude 65°42′ W.; thence to latitude 18°03′ N., longitude 65°52′ W.; thence to latitude 18°02′ N., longitude 65°51′ W.; thence to latitude 17°59′ N., longitude 65°55′ W.; thence to latitude 18°05′ N., longitude 66°57′ W.; thence to latitude 18°11′ N., longitude 67°07′ W.; thence to latitude 18°22′ N., longitude 66°58′ W.; the point of beginning.
This subpart prescribes IFR altitudes for flights along particular routes or route segments and over additional intersections not listed as a part of a route or route segment.
This subpart prescribes COP's for Federal airways, jet routes, area navigation routes, or other direct routes for which an MEA is designated in this part. Unless otherwise specified the COP is midway between the navigation facilities or way points for straight route segments, or at the intersection of radials or courses forming a dogleg in the case of dogleg route segments.
(a) This part prescribes standard instrument approach procedures to civil airports in the United States and the weather minimums that apply to landings under IFR at those airports.
(b) This part also prescribes obstacle departure procedures (ODPs) for certain civil airports in the United States and the weather minimums that apply to takeoffs under IFR at civil airports in the United States.
(c) Additional applicability of copter procedures for powered-lift is set forth in part 194 of this chapter.
As used in the standard instrument procedures prescribed in this part—
Aircraft approach category means a grouping of aircraft based on a speed of VREF, if specified, or if VREF is not specified, 1.3 V
(1) Category A: Speed less than 91 knots.
(2) Category B: Speed 91 knots or more but less than 121 knots.
(3) Category C: Speed 121 knots or more but less than 141 knots.
(4) Category D: Speed 141 knots or more but less than 166 knots.
(5) Category E: Speed 166 knots or more.
Approach procedure segments for which altitudes (minimum altitudes, unless otherwise specified) and paths are prescribed in procedures, are as follows—
(1) Initial approach is the segment between the initial approach fix and the intermediate fix or the point where the aircraft is established on the intermediate course or final approach course.
(2) Initial approach altitude is the altitude (or altitudes, in high altitude procedure) prescribed for the initial approach segment of an instrument approach.
(3) Intermediate approach is the segment between the intermediate fix or point and the final approach fix.
(4) Final approach is the segment between the final approach fix or point and the runway, airport, or missed approach point.
(5) Missed approach is the segment between the missed approach point, or point of arrival at decision altitude or decision height (DA/DH), and the missed approach fix at the prescribed altitude.
Ceiling means the minimum ceiling, expressed in feet above the airport elevation, required for takeoff or required for designating an airport as an alternate airport.
Copter procedures means helicopter procedures, with applicable minimums as prescribed in § 97.35. Helicopters may also use other procedures prescribed in subpart C of this part and may use the Category A minimum descent altitude (MDA), or decision altitude or decision height (DA/DH). For other than “copter-only” approaches, the required visibility minimum for Category I approaches may be reduced to one-half the published visibility minimum for Category A aircraft, but in no case may it be reduced to less than one-quarter mile prevailing visibility, or, if reported, 1,200 feet RVR. Reduction of visibility minima on Category II instrument approach procedures is prohibited.
FAF means final approach fix.
HAA means height above airport and is expressed in feet.
HAL means height above landing and is the height of the DA/MDA above a designated helicopter landing area elevation used for helicopter instrument approach procedures and is expressed in feet.
HAS means height above the surface and is the height of the DA/MDA above the highest terrain/surface within a 5,200-foot radius of the missed approach point used in helicopter instrument approach procedures and is expressed in feet above ground level (AGL).
HAT means height above touchdown.
HCH means helipoint crossing height and is the computed height of the vertical guidance path above the helipoint elevation at the helipoint expressed in feet.
Helipoint means the aiming point for the final approach course. It is normally the center point of the touchdown and lift-off area (TLOF).
Hold in lieu of PT means a holding pattern established under applicable FAA criteria, and used in lieu of a procedure turn to execute a course reversal.
MAP means missed approach point.
More than 65 knots means an aircraft that has a stalling speed of more than 65 knots (as established in an approved flight manual) at maximum certificated landing weight with full flaps, landing gear extended, and power off.
MSA means minimum safe altitude, expressed in feet above mean sea level, depicted on an approach chart that provides at least 1,000 feet of obstacle clearance for emergency use within a certain distance from the specified navigation facility or fix.
NA means not authorized.
NOPT means no procedure turn required. Altitude prescribed applies only if procedure turn is not executed.
Procedure turn means the maneuver prescribed when it is necessary to reverse direction to establish the aircraft on an intermediate or final approach course. The outbound course, direction of turn, distance within which the turn must be completed, and minimum altitude are specified in the procedure. However, the point at which the turn may be begun, and the type and rate of turn, is left to the discretion of the pilot.
RA means radio altimeter setting height.
RVV means runway visibility value.
SIAP means standard instrument approach procedure.
65 knots or less means an aircraft that has a stalling speed of 65 knots or less (as established in an approved flight manual) at maximum certificated landing weight with full flaps, landing gear extended, and power off.
T means nonstandard takeoff minimums or specified departure routes/procedures or both.
TDZ means touchdown zone.
Visibility minimum means the minimum visibility specified for approach, landing, or takeoff, expressed in statute miles, or in feet where RVR is reported.
(a) All bearings, courses, tracks, headings, and radials in this part are magnetic, unless otherwise designated.
(b) RVR values are stated in feet. Other visibility values are stated in statute miles. All other mileages are stated in nautical miles.
(a) This subpart prescribes standard instrument approach procedures and takeoff minimums and obstacle departure procedures (ODPs) based on the criteria contained in FAA Order 8260.3, U.S. Standard for Terminal Instrument Procedures (TERPs), and other related Orders in the 8260 series that also address instrument procedure design criteria.
(b) Standard instrument approach procedures and associated supporting data adopted by the FAA are documented on FAA Forms 8260-3, 8260-4, 8260-5. Takeoff minimums and obstacle departure procedures (ODPs) are documented on FAA Form 8260-15A. These forms are incorporated by reference. The Director of the Federal Register approved this incorporation by reference pursuant to 5 U.S.C. 552(a) and 1 CFR part 51. The standard instrument approach procedures and takeoff minimums and obstacle departure procedures (ODPs) are available for examination at the U.S. Department of Transportation, Docket Operations, 1200 New Jersey Avenue SE, West Building Ground Floor, Room W12-140, Washington, DC 20590, and at Aeronautical Information Services, 1305 East-West Highway, Silver Spring, MD 20910, or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email: fedreg.legal@nara.gov, or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(c) Standard instrument approach procedures and takeoff minimums and obstacle departure procedures (ODPs) are depicted on aeronautical charts published by the FAA. These charts are available from the FAA at https://www.faa.gov/air_traffic/flight_info/aeronav/digital_products/.
(a) This subpart prescribes rules for operating all aircraft (except for Department of Defense and law enforcement aircraft) in a defense area, or into, within, or out of the United States through an Air Defense Identification Zone (ADIZ) designated in subpart B.
(b) Except for §§ 99.7, 99.13, and 99.15 this subpart does not apply to the operation of any aircraft-
(1) Within the 48 contiguous States and the District of Columbia, or within the State of Alaska, on a flight which remains within 10 nautical miles of the point of departure;
(2) Operating at true airspeed of less than 180 knots in the Hawaii ADIZ or over any island, or within 12 nautical miles of the coastline of any island, in the Hawaii ADIZ;
(3) Operating at true airspeed of less than 180 knots in the Alaska ADIZ while the pilot maintains a continuous listening watch on the appropriate frequency; or
(4) Operating at true airspeed of less than 180 knots in the Guam ADIZ.
(c) An FAA ATC center may exempt the following operations from this subpart (except § 99.7) on a local basis only, with the concurrence of the U.S. military commanders concerned, or pursuant to an agreement with a U.S. Federal security or intelligence agency:
(1) Aircraft operations that are conducted wholly within the boundaries of an ADIZ and are not currently significant to the air defense system.
(2) Aircraft operations conducted in accordance with special procedures prescribed by a U.S. military authority, or a U.S. Federal security or intelligence agency concerned.
Aeronautical facility means, for the purposes of this subpart, a communications facility where flight plans or position reports are normally filed during flight operations.
Air defense identification zone (ADIZ) means an area of airspace over land or water in which the ready identification, location, and control of all aircraft (except for Department of Defense and law enforcement aircraft) is required in the interest of national security.
Defense area means any airspace of the contiguous United States that is not an ADIZ in which the control of aircraft is required for reasons of national security.
Defense visual flight rules (DVFR) means, for the purposes of this subpart, a flight within an ADIZ conducted by any aircraft (except for Department of Defense and law enforcement aircraft) in accordance with visual flight rules in part 91 of this title.
In an emergency that requires immediate decision and action for the safety of the flight, the pilot in command of an aircraft may deviate from the rules in this part to the extent required by that emergency. He shall report the reasons for the deviation to the communications facility where flight plans or position reports are normally filed (referred to in this part as “an appropriate aeronautical facility”) as soon as possible.
Each person operating an aircraft in an ADIZ or Defense Area must, in addition to the applicable rules of this part, comply with special security instructions issued by the Administrator in the interest of national security, pursuant to agreement between the FAA and the Department of Defense, or between the FAA and a U.S. Federal security or intelligence agency.
(a) A person who operates a civil aircraft into an ADIZ must have a functioning two-way radio, and the pilot must maintain a continuous listening watch on the appropriate aeronautical facility's frequency.
(b) No person may operate an aircraft into, within, or whose departure point is within an ADIZ unless—
(1) The person files a DVFR flight plan containing the time and point of ADIZ penetration, and
(2) The aircraft departs within five minutes of the estimated departure time contained in the flight plan.
(c) If the pilot operating an aircraft under DVFR in an ADIZ cannot maintain two-way radio communications, the pilot may proceed, in accordance with original DVFR flight plan, or land as soon as practicable. The pilot must report the radio failure to an appropriate aeronautical facility as soon as possible.
(d) If a pilot operating an aircraft under IFR in an ADIZ cannot maintain two-way radio communications, the pilot must proceed in accordance with § 91.185 of this chapter.
(a) No person may operate an aircraft into, within, or from a departure point within an ADIZ, unless the person files, activates, and closes a flight plan with the appropriate aeronautical facility, or is otherwise authorized by air traffic control.
(b) Unless ATC authorizes an abbreviated flight plan—
(1) A flight plan for IFR flight must contain the information specified in § 91.169; and
(2) A flight plan for VFR flight must contain the information specified in § 91.153(a) (1) through (6).
(3) If airport of departure is within the Alaskan ADIZ and there is no facility for filing a flight plan then:
(i) Immediately after takeoff or when within range of an appropriate aeronautical facility, comply with provisions of paragraph (b)(1) or (b)(2) as appropriate.
(ii) Proceed according to the instructions issued by the appropriate aeronautical facility.
(c) The pilot shall designate a flight plan for VFR flight as a DVFR flight plan.
(d) The pilot in command of an aircraft for which a flight plan has been filed must file an arrival or completion notice with an appropriate aeronautical facility.
(a) Aircraft transponder-on operation. Each person operating an aircraft into or out of the United States into, within, or across an ADIZ designated in subpart B of this part, if that aircraft is equipped with an operable radar beacon transponder, shall operate the transponder, including altitude encoding equipment if installed, and shall reply on the appropriate code or as assigned by ATC.
(b) ATC transponder equipment and use. Effective September 7, 1990, unless otherwise authorized by ATC, no person may operate a civil aircraft into or out of the United States into, within, or across the contiguous U.S. ADIZ designated in subpart B of this part unless that aircraft is equipped with a coded radar beacon transponder.
(c) ATC transponder and altitude reporting equipment and use. Effective December 30, 1990, unless otherwise authorized by ATC, no person may operate a civil aircraft into or out of the United States into, within, or across the contiguous U.S. ADIZ unless that aircraft is equipped with a coded radar beacon transponder and automatic pressure altitude reporting equipment having altitude reporting capability that automatically replies to interrogations by transmitting pressure altitude information in 100-foot increments.
(d) Paragraphs (b) and (c) of this section do not apply to the operation of an aircraft which was not originally certificated with an engine-driven electrical system and which has not subsequently been certified with such a system installed, a balloon, or a glider.
(a) The pilot of an aircraft operating in or penetrating an ADIZ under IFR—
(1) In controlled airspace, must make the position reports required in § 91.183; and
(2) In uncontrolled airspace, must make the position reports required in this section.
(b) No pilot may operate an aircraft penetrating an ADIZ under DVFR unless—
(1) The pilot reports to an appropriate aeronautical facility before penetration: the time, position, and altitude at which the aircraft passed the last reporting point before penetration and the estimated time of arrival over the next appropriate reporting point along the flight route;
(2) If there is no appropriate reporting point along the flight route, the pilot reports at least 15 minutes before penetration: The estimated time, position, and altitude at which the pilot will penetrate; or
(3) If the departure airport is within an ADIZ or so close to the ADIZ boundary that it prevents the pilot from complying with paragraphs (b)(1) or (2) of this section, the pilot must report immediately after departure: the time of departure, the altitude, and the estimated time of arrival over the first reporting point along the flight route.
(c) In addition to any other reports as ATC may require, no pilot in command of a foreign civil aircraft may enter the United States through an ADIZ unless that pilot makes the reports required in this section or reports the position of the aircraft when it is not less that one hour and not more that 2 hours average direct cruising distance from the United States.
(a) No pilot may deviate from the provisions of an ATC clearance or ATC instruction except in accordance with § 91.123 of this chapter.
(b) No pilot may deviate from the filed IFR flight plan when operating an aircraft in uncontrolled airspace unless that pilot notifies an appropriate aeronautical facility before deviating.
(c) No pilot may deviate from the filed DVFR flight plan unless that pilot notifies an appropriate aeronautical facility before deviating.
The airspace above the areas described in this subpart is established as an ADIZ. The lines between points described in this subpart are great circles except that the lines joining adjacent points on the same parallel of latitude are rhumb lines.
The area bounded by a line from 43°15′ N, 65°55′W; 44°21′ N; 67°16′W; 43°10′ N; 69°40′W; 41°05′ N; 69°40′W; 40°32′ N; 72°15′W; 39°55′ N; 73°00′W; 39°38′ N; 73°00′W; 39°36′ N; 73°40′W; 37°00′ N; 75°30′W; 36°10′ N; 75°10′W; 35°10′ N; 75°10′W; 32°00′ N; 80°30′W; 30°30′ N; 81°00′W; 26°40′ N; 79°40′W; 25°00′ N; 80°05′W; 24°25′ N; 81°15′W; 24°20′ N; 81°45′W; 24°30′ N; 82°06′W; 24°41′ N; 82°06′W; 24°43′ N; 82°00′W; 25°00′ N; 81°30′W; 25°10′ N; 81°23′W; 25°35′ N; 81°30′W; 26°15′ N 82°20′W; 27°50′ N; 83°05′W; 28°55′ N; 83°30′W; 29°42′ N; 84°00′W; 29°20′ N; 85°00′W; 30°00′ N; 87°10′W; 30°00′ N; 88°30′W; 28°45′ N; 88°55′W; 28°45′ N; 90°00′W; 29°25′ N; 94°00′W; 28°20′ N; 96°00′W; 27°30′ N; 97°00′W; 26°00′ N; 97°00′W; 25°58′ N; 97°07′W; westward along the U.S./Mexico border to 32°32′03″ N, 117°07′25″ W; 32°30′ N; 117°25′W; 32°35′ N; 118°30′W; 33°05′ N; 119°45′W; 33°55′ N; 120°40′W; 34°50′ N; 121°10′W; 38°50′ N; 124°00′W; 40°00′ N; 124°35′W; 40°25′ N; 124°40′W; 42°50′ N; 124°50′W; 46°15′ N; 124°30′W; 48°30′ N; 125°00′W; 48°20′ N; 128°00′W; 48°20′ N; 132°00′W; 37°42′ N; 130°40′W; 29°00′ N; 124°00′W; 30°45′ N; 120°50′W; 32°00′ N; 118°24′W; 32°30′ N; 117°20′W; 32°32′03″ N; 117°07′25″ W; eastward along the U.S./Mexico border to 25°58′ N, 97°07′W; 26°00′ N; 97°00′W; 26°00′ N; 95°00′W; 26°30′ N; 95°00′W; then via 26°30′ N; parallel to 26°30′ N; 84°00′W; 24°00′ N; 83°00′W; then Via 24°00′ N; parallel to 24°00′ N; 79°25′W; 25°40′ N; 79°25′W; 27°30′ N; 78°50′W; 30°45′ N; 74°00′W; 39°30′ N; 63°45′W; 43°00′ N; 65°48′W; to point of beginning.
The area is bounded by a line from 54°00′ N; 136°00′W; 56°57′ N; 144°00′W; 57°00′ N; 145°00′W; 53°00′ N; 158°00′W; 50°00′ N; 169°00′W; 50°00′ N; 180°00′; 50°00′ N; 170°00′E; 53°00′ N; 170°00′E; 60°00′00″ N; 180°00′; 65°00′ N; 169°00′W; then along 169°00′W; to 75°00′ N; 169°00′W; then along the 75°00′ N; parallel to 75°00′ N, 141°00′W; 69°50′ N; 141°00′W 71°18′ N; 156°44′W; 68°40′ N; 167°10′W; 67°00′ N; 165°00′W; 65°40′ N; 168°15′W; 63°45′ N; 165°30′W; 61°20′ N; 166°40′W; 59°00′ N; 163°00′W; then south along 163°00′W to 54°00′ N, 163°00′W; 56°30′ N; 154°00′W; 59°20′ N; 146°00′W; 59°30′ N; 140°00′W; 57°00′ N; 136°00′W; 54°35′ N, 133°00′W; to point of beginning.
(a) Inner boundary. From a point 13°52′07″ N, 143°59′16″ E, counterclockwise along the 50-nautical-mile radius arc of the NIMITZ VORTAC (located at 13°27′11″ N, 144°43′51″ E); to a point 13°02′08″ N, 145°28′17″ E; then to a point 14°49′07″ N, 146°13′58″ E; counterclockwise along the 35-nautical-mile radius arc of the SAIPAN NDB (located at 15°06′46″ N, 145°42′42″ E); to a point 15°24′21″ N, 145°11′21″ E; then to the point of origin.
(b) Outer boundary. The area bounded by a circle with a radius of 250 NM centered at latitude 13°32′41″ N, longitude 144°50′30″ E.
(a) Outer boundary. The area included in the irregular octagonal figure formed by a line connecting 26°30′ N, 156°00′ W; 26°30′ N, 161°00′ W; 24°00′ N, 164°00′ W; 20°00′ N, 164°00′ W; 17°00′ N, 160°00′ W; 17°00′ N, 156°00′ W; 20°00′ N, 153°00′ W; 22°00′ N, 153°00′ W; to point of beginning.
(b) Inner boundary. The inner boundary to follow a line connecting 22°30′ N, 157°00′ W; 22°30′ N, 160°00′ W; 22°00′ N, 161°00′ W; 21°00′ N, 161°00′ W; 20°00′ N, 160°00′ W; 20°00′ N, 156°30′ W; 21°00′ N, 155°30′ W; to point of beginning.
(a) This part prescribes rules governing the operation in the United States, of the following:
(1) Except as provided for in § 101.7, any balloon that is moored to the surface of the earth or an object thereon and that has a diameter of more than 6 feet or a gas capacity of more than 115 cubic feet.
(2) Except as provided for in § 101.7, any kite that weighs more than 5 pounds and is intended to be flown at the end of a rope or cable.
(3) Any amateur rocket except aerial firework displays.
(4) Except as provided for in § 101.7, any unmanned free balloon that—
(i) Carries a payload package that weighs more than four pounds and has a weight/size ratio of more than three ounces per square inch on any surface of the package, determined by dividing the total weight in ounces of the payload package by the area in square inches of its smallest surface;
(ii) Carries a payload package that weighs more than six pounds;
(iii) Carries a payload, of two or more packages, that weighs more than 12 pounds; or
(iv) Uses a rope or other device for suspension of the payload that requires an impact force of more than 50 pounds to separate the suspended payload from the balloon.
(b) For the purposes of this part, a gyroglider attached to a vehicle on the surface of the earth is considered to be a kite.
No person may conduct operations that require a deviation from this part except under a certificate of waiver issued by the Administrator.
No person may operate a moored balloon, kite, amateur rocket, or unmanned free balloon in a prohibited or restricted area unless he has permission from the using or controlling agency, as appropriate.
(a) No person may operate any moored balloon, kite, amateur rocket, or unmanned free balloon in a manner that creates a hazard to other persons, or their property.
(b) No person operating any moored balloon, kite, amateur rocket, or unmanned free balloon may allow an object to be dropped therefrom, if such action creates a hazard to other persons or their property.
This subpart applies to the operation of moored balloons and kites. However, a person operating a moored balloon or kite within a restricted area must comply only with § 101.19 and with additional limitations imposed by the using or controlling agency, as appropriate.
(a) Except as provided in paragraph (b) of this section, no person may operate a moored balloon or kite—
(1) Less than 500 feet from the base of any cloud;
(2) More than 500 feet above the surface of the earth;
(3) From an area where the ground visibility is less than three miles; or
(4) Within five miles of the boundary of any airport.
(b) Paragraph (a) of this section does not apply to the operation of a balloon or kite below the top of any structure and within 250 feet of it, if that shielded operation does not obscure any lighting on the structure.
No person may operate an unshielded moored balloon or kite more than 150 feet above the surface of the earth unless, at least 24 hours before beginning the operation, he gives the following information to the FAA ATC facility that is nearest to the place of intended operation:
(a) The names and addresses of the owners and operators.
(b) The size of the balloon or the size and weight of the kite.
(c) The location of the operation.
(d) The height above the surface of the earth at which the balloon or kite is to be operated.
(e) The date, time, and duration of the operation.
(a) No person may operate a moored balloon or kite, between sunset and sunrise unless the balloon or kite, and its mooring lines, are lighted so as to give a visual warning equal to that required for obstructions to air navigation in the FAA publication “Obstruction Marking and Lighting”.
(b) No person may operate a moored balloon or kite between sunrise and sunset unless its mooring lines have colored pennants or streamers attached at not more than 50 foot intervals beginning at 150 feet above the surface of the earth and visible for at least one mile.
No person may operate a moored balloon unless it has a device that will automatically and rapidly deflate the balloon if it escapes from its moorings. If the device does not function properly, the operator shall immediately notify the nearest ATC facility of the location and time of the escape and the estimated flight path of the balloon.
(a) This subpart applies to operating unmanned rockets. However, a person operating an unmanned rocket within a restricted area must comply with § 101.25(g)(2)) and with any additional limitations imposed by the using or controlling agency.
(b) A person operating an unmanned rocket other than an amateur rocket as defined in § 1.1 of this chapter must comply with 14 CFR Chapter III.
The following definitions apply to this subpart:
(a) Class 1—Model Rocket means an amateur rocket that:
(1) Uses no more than 125 grams (4.4 ounces) of propellant;
(2) Uses a slow-burning propellant;
(3) Is made of paper, wood, or breakable plastic;
(4) Contains no substantial metal parts; and
(5) Weighs no more than 1,500 grams (53 ounces), including the propellant.
(b) Class 2—High-Power Rocket means an amateur rocket other than a model rocket that is propelled by a motor or motors having a combined total impulse of 40,960 Newton-seconds (9,208 pound-seconds) or less.
(c) Class 3—Advanced High-Power Rocket means an amateur rocket other than a model rocket or high-power rocket.
(a) You must operate an amateur rocket in such a manner that it:
(1) Is launched on a suborbital trajectory;
(2) When launched, must not cross into the territory of a foreign country unless an agreement is in place between the United States and the country of concern;
(3) Is unmanned; and
(4) Does not create a hazard to persons, property, or other aircraft.
(b) The FAA may specify additional operating limitations necessary to ensure that air traffic is not adversely affected, and public safety is not jeopardized.
When operating Class 2-High Power Rockets or Class 3-Advanced High Power Rockets, you must comply with the General Operating Limitations of § 101.23. In addition, you must not operate Class 2-High Power Rockets or Class 3-Advanced High Power Rockets—
(a) At any altitude where clouds or obscuring phenomena of more than five-tenths coverage prevails;
(b) At any altitude where the horizontal visibility is less than five miles;
(c) Into any cloud;
(d) Between sunset and sunrise without prior authorization from the FAA;
(e) Within 9.26 kilometers (5 nautical miles) of any airport boundary without prior authorization from the FAA;
(f) In controlled airspace without prior authorization from the FAA;
(g) Unless you observe the greater of the following separation distances from any person or property that is not associated with the operations:
(1) Not less than one-quarter the maximum expected altitude;
(2) 457 meters (1,500 ft.);
(h) Unless a person at least eighteen years old is present, is charged with ensuring the safety of the operation, and has final approval authority for initiating high-power rocket flight; and
(i) Unless reasonable precautions are provided to report and control a fire caused by rocket activities.
No person may operate an unmanned rocket other than a Class 1—Model Rocket unless that person gives the following information to the FAA ATC facility nearest to the place of intended operation no less than 24 hours before and no more than three days before beginning the operation:
(a) The name and address of the operator; except when there are multiple participants at a single event, the name and address of the person so designated as the event launch coordinator, whose duties include coordination of the required launch data estimates and coordinating the launch event;
(b) Date and time the activity will begin;
(c) Radius of the affected area on the ground in nautical miles;
(d) Location of the center of the affected area in latitude and longitude coordinates;
(e) Highest affected altitude;
(f) Duration of the activity;
(g) Any other pertinent information requested by the ATC facility.
(a) Class 2—High-Power Rockets. When a Class 2—High-Power Rocket requires a certificate of waiver or authorization, the person planning the operation must provide the information below on each type of rocket to the FAA at least 45 days before the proposed operation. The FAA may request additional information if necessary to ensure the proposed operations can be safely conducted. The information shall include for each type of Class 2 rocket expected to be flown:
(1) Estimated number of rockets,
(2) Type of propulsion (liquid or solid), fuel(s) and oxidizer(s),
(3) Description of the launcher(s) planned to be used, including any airborne platform(s),
(4) Description of recovery system,
(5) Highest altitude, above ground level, expected to be reached,
(6) Launch site latitude, longitude, and elevation, and
(7) Any additional safety procedures that will be followed.
(b) Class 3—Advanced High-Power Rockets. When a Class 3—Advanced High-Power Rocket requires a certificate of waiver or authorization the person planning the operation must provide the information below for each type of rocket to the FAA at least 45 days before the proposed operation. The FAA may request additional information if necessary to ensure the proposed operations can be safely conducted. The information shall include for each type of Class 3 rocket expected to be flown:
(1) The information requirements of paragraph (a) of this section,
(2) Maximum possible range,
(3) The dynamic stability characteristics for the entire flight profile,
(4) A description of all major rocket systems, including structural, pneumatic, propellant, propulsion, ignition, electrical, avionics, recovery, wind-weighting, flight control, and tracking,
(5) A description of other support equipment necessary for a safe operation,
(6) The planned flight profile and sequence of events,
(7) All nominal impact areas, including those for any spent motors and other discarded hardware, within three standard deviations of the mean impact point,
(8) Launch commit criteria,
(9) Countdown procedures, and
(10) Mishap procedures.
This subpart applies to the operation of unmanned free balloons. However, a person operating an unmanned free balloon within a restricted area must comply only with § 101.33 (d) and (e) and with any additional limitations that are imposed by the using or controlling agency, as appropriate.
No person may operate an unmanned free balloon—
(a) Unless otherwise authorized by ATC, below 2,000 feet above the surface within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for an airport;
(b) At any altitude where there are clouds or obscuring phenomena of more than five-tenths coverage;
(c) At any altitude below 60,000 feet standard pressure altitude where the horizontal visibility is less than five miles;
(d) During the first 1,000 feet of ascent, over a congested area of a city, town, or settlement or an open-air assembly of persons not associated with the operation; or
(e) In such a manner that impact of the balloon, or part thereof including its payload, with the surface creates a hazard to persons or property not associated with the operation.
(a) No person may operate an unmanned free balloon unless—
(1) It is equipped with at least two payload cut-down systems or devices that operate independently of each other;
(2) At least two methods, systems, devices, or combinations thereof, that function independently of each other, are employed for terminating the flight of the balloon envelope; and
(3) The balloon envelope is equipped with a radar reflective device(s) or material that will present an echo to surface radar operating in the 200 MHz to 2700 MHz frequency range.
(b) No person may operate an unmanned free balloon below 60,000 feet standard pressure altitude between sunset and sunrise (as corrected to the altitude of operation) unless the balloon and its attachments and payload, whether or not they become separated during the operation, are equipped with lights that are visible for at least 5 miles and have a flash frequency of at least 40, and not more than 100, cycles per minute.
(c) No person may operate an unmanned free balloon that is equipped with a trailing antenna that requires an impact force of more than 50 pounds to break it at any point, unless the antenna has colored pennants or streamers that are attached at not more than 50 foot intervals and that are visible for at least one mile.
(d) No person may operate between sunrise and sunset an unmanned free balloon that is equipped with a suspension device (other than a highly conspicuously colored open parachute) more than 50 feet along, unless the suspension device is colored in alternate bands of high conspicuity colors or has colored pennants or streamers attached which are visible for at least one mile.
(a) Prelaunch notice: Except as provided in paragraph (b) of this section, no person may operate an unmanned free balloon unless, within 6 to 24 hours before beginning the operation, he gives the following information to the FAA ATC facility that is nearest to the place of intended operation:
(1) The balloon identification.
(2) The estimated date and time of launching, amended as necessary to remain within plus or minus 30 minutes.
(3) The location of the launching site.
(4) The cruising altitude.
(5) The forecast trajectory and estimated time to cruising altitude or 60,000 feet standard pressure altitude, whichever is lower.
(6) The length and diameter of the balloon, length of the suspension device, weight of the payload, and length of the trailing antenna.
(7) The duration of flight.
(8) The forecast time and location of impact with the surface of the earth.
(b) For solar or cosmic disturbance investigations involving a critical time element, the information in paragraph (a) of this section shall be given within 30 minutes to 24 hours before beginning the operation.
(c) Cancellation notice: If the operation is canceled, the person who intended to conduct the operation shall immediately notify the nearest FAA ATC facility.
(d) Launch notice: Each person operating an unmanned free balloon shall notify the nearest FAA or military ATC facility of the launch time immediately after the balloon is launched.
(a) Each person operating an unmanned free balloon shall:
(1) Unless ATC requires otherwise, monitor the course of the balloon and record its position at least every two hours; and
(2) Forward any balloon position reports requested by ATC.
(b) One hour before beginning descent, each person operating an unmanned free balloon shall forward to the nearest FAA ATC facility the following information regarding the balloon:
(1) The current geographical position.
(2) The altitude.
(3) The forecast time of penetration of 60,000 feet standard pressure altitude (if applicable).
(4) The forecast trajectory for the balance of the flight.
(5) The forecast time and location of impact with the surface of the earth.
(c) If a balloon position report is not recorded for any two-hour period of flight, the person operating an unmanned free balloon shall immediately notify the nearest FAA ATC facility. The notice shall include the last recorded position and any revision of the forecast trajectory. The nearest FAA ATC facility shall be notified immediately when tracking of the balloon is re-established.
(d) Each person operating an unmanned free balloon shall notify the nearest FAA ATC facility when the operation is ended.
This part prescribes rules governing the operation of ultralight vehicles in the United States. For the purposes of this part, an ultralight vehicle is a vehicle that:
(a) Is used or intended to be used for manned operation in the air by a single occupant;
(b) Is used or intended to be used for recreation or sport purposes only;
(c) Does not have any U.S. or foreign airworthiness certificate; and
(d) If unpowered, weighs less than 155 pounds; or
(e) If powered:
(1) Weighs less than 254 pounds empty weight, excluding floats and safety devices which are intended for deployment in a potentially catastrophic situation;
(2) Has a fuel capacity not exceeding 5 U.S. gallons;
(3) Is not capable of more than 55 knots calibrated airspeed at full power in level flight; and
(4) Has a power-off stall speed which does not exceed 24 knots calibrated airspeed.
(a) Any person operating an ultralight vehicle under this part shall, upon request, allow the Administrator, or his designee, to inspect the vehicle to determine the applicability of this part.
(b) The pilot or operator of an ultralight vehicle must, upon request of the Administrator, furnish satisfactory evidence that the vehicle is subject only to the provisions of this part.
No person may conduct operations that require a deviation from this part except under a written waiver issued by the Administrator.
(a) Notwithstanding any other section pertaining to certification of aircraft or their parts or equipment, ultralight vehicles and their component parts and equipment are not required to meet the airworthiness certification standards specified for aircraft or to have certificates of airworthiness.
(b) Notwithstanding any other section pertaining to airman certification, operators of ultralight vehicles are not required to meet any aeronautical knowledge, age, or experience requirements to operate those vehicles or to have airman or medical certificates.
(c) Notwithstanding any other section pertaining to registration and marking of aircraft, ultralight vehicles are not required to be registered or to bear markings of any type.
(a) No person may operate any ultralight vehicle in a manner that creates a hazard to other persons or property.
(b) No person may allow an object to be dropped from an ultralight vehicle if such action creates a hazard to other persons or property.
(a) No person may operate an ultralight vehicle except between the hours of sunrise and sunset.
(b) Notwithstanding paragraph (a) of this section, ultralight vehicles may be operated during the twilight periods 30 minutes before official sunrise and 30 minutes after official sunset or, in Alaska, during the period of civil twilight as defined in the Air Almanac, if:
(1) The vehicle is equipped with an operating anticollision light visible for at least 3 statute miles; and
(2) All operations are conducted in uncontrolled airspace.
(a) Each person operating an ultralight vehicle shall maintain vigilance so as to see and avoid aircraft and shall yield the right-of-way to all aircraft.
(b) No person may operate an ultralight vehicle in a manner that creates a collision hazard with respect to any aircraft.
(c) Powered ultralights shall yield the right-of-way to unpowered ultralights.
No person may operate an ultralight vehicle over any congested area of a city, town, or settlement, or over any open air assembly of persons.
No person may operate an ultralight vehicle within Class A, Class B, Class C, or Class D airspace or within the lateral boundaries of the surface area of Class E airspace designated for an airport unless that person has prior authorization from the ATC facility having jurisdiction over that airspace.
No person may operate an ultralight vehicle in prohibited or restricted areas unless that person has permission from the using or controlling agency, as appropriate.
No person may operate an ultralight vehicle in areas designated in a Notice to Airmen under § 91.137, § 91.138, § 91.141, § 91.143 or § 91.145 of this chapter, unless authorized by:
(a) Air Traffic Control (ATC); or
(b) A Flight Standards Certificate of Waiver or Authorization issued for the demonstration or event.
No person may operate an ultralight vehicle except by visual reference with the surface.
No person may operate an ultralight vehicle when the flight visibility or distance from clouds is less than that in the table found below. All operations in Class A, Class B, Class C, and Class D airspace or Class E airspace designated for an airport must receive prior ATC authorization as required in § 103.17 of this part.
| Airspace | Flight visibility | Distance from clouds |
|---|---|---|
| Class A | Not applicable | Not Applicable. |
| Class B | 3 statute miles | Clear of Clouds. |
| Class C | 3 statute miles | 500 feet below.
1,000 feet above. 2,000 feet horizontal. |
| Class D | 3 statute miles | 500 feet below.
1,000 feet above. 2,000 feet horizontal. |
| Class E: | ||
| Less than 10,000 feet MSL | 3 statute miles | 500 feet below.
1,000 feet above. 2,000 feet horizontal. |
| At or above 10,000 feet MSL | 5 statute miles | 1,000 feet below.
1,000 feet above. 1 statute mile horizontal. |
| Class G: | ||
| 1,200 feet or less above the surface (regardless of MSL altitude) | 1 statute mile | Clear of clouds. |
| More than 1,200 feet above the surface but less than 10,000 feet MSL | 1 statute mile | 500 feet below.
1,000 feet above. 2,000 feet horizontal. |
| More than 1,200 feet above the surface and at or above 10,000 feet MSL | 5 statute miles | 1,000 feet below.
1,000 feet above. 1 statute mile horizontal. |
(a) Except as provided in paragraphs (b) and (c) of this section, this part prescribes rules governing parachute operations conducted in the United States.
(b) This part does not apply to a parachute operation conducted—
(1) In response to an in-flight emergency, or
(2) To meet an emergency on the surface when it is conducted at the direction or with the approval of an agency of the United States, or of a State, Puerto Rico, the District of Columbia, or a possession of the United States, or an agency or political subdivision thereof.
(c) Sections 105.5, 105.9, 105.13, 105.15, 105.17, 105.19 through 105.23, 105.25(a)(1) and 105.27 of this part do not apply to a parachute operation conducted by a member of an Armed Force—
(1) Over or within a restricted area when that area is under the control of an Armed Force.
(2) During military operations in uncontrolled airspace.
For the purposes of this part—
Approved parachute means a parachute manufactured under a type certificate or a Technical Standard Order (C-23 series), or a personnel-carrying U.S. military parachute (other than a high altitude, high speed, or ejection type) identified by a Navy Air Facility, an Army Air Field, and Air Force-Navy drawing number, an Army Air Field order number, or any other military designation or specification number.
Automatic Activation Device means a self-contained mechanical or electro-mechanical device that is attached to the interior of the reserve parachute container, which automatically initiates parachute deployment of the reserve parachute at a pre-set altitude, time, percentage of terminal velocity, or combination thereof.
Direct Supervision means that a certificated rigger personally observes a non-certificated person packing a main parachute to the extent necessary to ensure that it is being done properly, and takes responsibility for that packing.
Drop Zone means any pre-determined area upon which parachutists or objects land after making an intentional parachute jump or drop. The center-point target of a drop zone is expressed in nautical miles from the nearest VOR facility when 30 nautical miles or less; or from the nearest airport, town, or city depicted on the appropriate Coast and Geodetic Survey World Aeronautical Chart or Sectional Aeronautical Chart, when the nearest VOR facility is more than 30 nautical miles from the drop zone.
Foreign parachutist means a parachutist who is neither a U.S. citizen or a resident alien and is participating in parachute operations within the United States using parachute equipment not manufctured in the United States.
Freefall means the portion of a parachute jump or drop between aircraft exit and parachute deployment in which the parachute is activated manually by the parachutist at the parachutist's discretion or automatically, or, in the case of an object, is activated automatically.
Main parachute means a parachute worn as the primary parachute used or intended to be used in conjunction with a reserve parachute.
Object means any item other than a person that descends to the surface from an aircraft in flight when a parachute is used or is intended to be used during all or part of the descent.
Parachute drop means the descent of an object to the surface from an aircraft in flight when a parachute is used or intended to be used during all or part of that descent.
Parachute jump means a parachute operation that involves the descent of one or more persons to the surface from an aircraft in flight when an aircraft is used or intended to be used during all or part of that descent.
Parachute operation means the performance of all activity for the purpose of, or in support of, a parachute jump or a parachute drop. This parachute operation can involve, but is not limited to, the following persons: parachutist, parachutist in command and passenger in tandem parachute operations, drop zone or owner or operator, jump master, certificated parachute rigger, or pilot.
Parachutist means a person who intends to exit an aircraft while in flight using a single-harness, dual parachute system to descend to the surface.
Parachutist in command means the person responsible for the operation and safety of a tandem parachute operation.
Passenger parachutist means a person who boards an aircraft, acting as other than the parachutist in command of a tandem parachute operation, with the intent of exiting the aircraft while in-flight using the forward harness of a dual harness tandem parachute system to descend to the surface.
Pilot chute means a small parachute used to initiate and/or accelerate deployment of a main or reserve parachute.
Ram-air parachute means a parachute with a canopy consisting of an upper and lower surface that is inflated by ram air entering through specially designed openings in the front of the canopy to form a gliding airfoil.
Reserve parachute means an approved parachute worn for emergency use to be activated only upon failure of the main parachute or in any other emergency where use of the main parachute is impractical or use of the main parachute would increase risk.
Single-harness, dual parachute system: means the combination of a main parachute, approved reserve parachute, and approved single person harness and dual-parachute container. This parachute system may have an operational automatic activation device installed.
Tandem parachute operation: means a parachute operation in which more than one person simultaneously uses the same tandem parachute system while descending to the surface from an aircraft in flight.
Tandem parachute system: means the combination of a main parachute, approved reserve parachute, and approved harness and dual parachute container, and a separate approved forward harness for a passenger parachutist. This parachute system must have an operational automatic activation device installed.
No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a parachute operation to be conducted from an aircraft, if that operation creates a hazard to air traffic or to persons or property on the surface.
No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a person to conduct a parachute operation from that aircraft, if that person is or appears to be under the influence of—
(a) Alcohol, or
(b) Any drug that affects that person's faculties in any way contrary to safety.
The Administrator may inspect any parachute operation to which this part applies (including inspections at the site where the parachute operation is being conducted) to determine compliance with the regulations of this part.
(a) Except when otherwise authorized by air traffic control—
(1) No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a parachute operation to be conducted from that aircraft, in or into controlled airspace unless, during that flight—
(i) The aircraft is equipped with a functioning two-way radio communication system appropriate to the air traffic control facilities being used; and
(ii) Radio communications have been established between the aircraft and the air traffic control facility having jurisdiction over the affected airspace of the first intended exit altitude at least 5 minutes before the parachute operation begins. The pilot in command must establish radio communications to receive information regarding air traffic activity in the vicinity of the parachute operation.
(2) The pilot in command of an aircraft used for any parachute operation in or into controlled airspace must, during each flight—
(i) Continuously monitor the appropriate frequency of the aircraft's radio communications system from the time radio communications are first established between the aircraft and air traffic control, until the pilot advises air traffic control that the parachute operation has ended for that flight.
(ii) Advise air traffic control when the last parachutist or object leaves the aircraft.
(b) Parachute operations must be aborted if, prior to receipt of a required air traffic control authorization, or during any parachute operation in or into controlled airspace, the required radio communications system is or becomes inoperative.
(a) Each person requesting an authorization under §§ 105.21(b) and 105.25(a)(2) of this part and each person submitting a notification under § 105.25(a)(3) of this part must provide the following information (on an individual or group basis):
(1) The date and time the parachute operation will begin.
(2) The radius of the drop zone around the target expressed in nautical miles.
(3) The location of the center of the drop zone in relation to—
(i) The nearest VOR facility in terms of the VOR radial on which it is located and its distance in nautical miles from the VOR facility when that facility is 30 nautical miles or less from the drop zone target; or
(ii) the nearest airport, town, or city depicted on the appropriate Coast and Geodetic Survey World Aeronautical Chart or Sectional Aeronautical Chart, when the nearest VOR facility is more than 30 nautical miles from the drop zone target.
(4) Each altitude above mean sea level at which the aircraft will be operated when parachutists or objects exist the aircraft.
(5) The duration of the intended parachute operation.
(6) The name, address, and telephone number of the person who requests the authorization or gives notice of the parachute operation.
(7) The registration number of the aircraft to be used.
(8) The name of the air traffic control facility with jurisdiction of the airspace at the first intended exit altitude to be used for the parachute operation.
(b) Each holder of a certificate of authorization issued under §§ 105.21(b) and 105.25(b) of this part must present that certificate for inspection upon the request of the Administrator or any Federal, State, or local official.
(c) Each person requesting an authorization under §§ 105.21(b) and 105.25(a)(2) of this part and each person submitting a notice under § 105.25(a)(3) of this part must promptly notify the air traffic control facility having jurisdiction over the affected airspace if the proposed or scheduled parachute operation is canceled or postponed.
No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a parachute operation to be conducted from that aircraft—
(a) Into or through a cloud, or
(b) When the flight visibility or the distance from any cloud is less than that prescribed in the following table:
| Altitude | Flight visibility
(statute miles) | Distance from clouds |
|---|---|---|
| 1,200 feet or less above the surface regardless of the MSL altitude | 3 | 500 feet below, 1,000 feet above, 2,000 feet horizontal. |
| More than 1,200 feet above the surface but less than 10,000 feet MSL | 3 | 500 feet below, 1,000 feet above, 2,000 feet horizontal. |
| More than 1,200 feet above the surface and at or above 10,000 feet MSL | 5 | 1,000 feet below, 1,000 feet above, 1 mile horizontal. |
(a) No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a person to conduct a parachute operation from an aircraft between sunset and sunrise, unless the person or object descending from the aircraft displays a light that is visible for at least 3 statute miles.
(b) The light required by paragraph (a) of this section must be displayed from the time that the person or object is under a properly functioning open parachute until that person or object reaches the surface.
(a) No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a parachute operation to be conducted from that aircraft, over or into a congested area of a city, town, or settlement, or an open-air assembly of persons unless a certificate of authorization for that parachute operation has been issued under this section. However, a parachutist may drift over a congested area or an open-air assembly of persons with a fully deployed and properly functioning parachute if that parachutist is at a sufficient altitude to avoid creating a hazard to persons or property on the surface.
(b) An application for a certificate of authorization issued under this section must—
(1) Be made in the form and manner prescribed by the Administrator, and
(2) Contain the information required in § 105.15(a) of this part.
(c) Each holder of, and each person named as a participant in a certificate of authorization issued under this section must comply with all requirements contained in the certificate of authorization.
(d) Each holder of a certificate of authorization issued under this section must present that certificate for inspection upon the request of the Administrator, or any Federal, State, or local official.
No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a parachute operation to be conducted from that aircraft, over or onto any airport unless—
(a) For airports with an operating control tower:
(1) Prior approval has been obtained from the management of the airport to conduct parachute operations over or on that airport.
(2) Approval has been obtained from the control tower to conduct parachute operations over or onto that airport.
(3) Two-way radio communications are maintained between the pilot of the aircraft involved in the parachute operation and the control tower of the airport over or onto which the parachute operation is being conducted.
(b) For airports without an operating control tower, prior approval has been obtained from the management of the airport to conduct parachute operations over or on that airport.
(c) A parachutist may drift over that airport with a fully deployed and properly functioning parachute if the parachutist is at least 2,000 feet above that airport's traffic pattern, and avoids creating a hazard to air traffic or to persons and property on the ground.
(a) No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a parachute operation to be conducted from that aircraft—
(1) Over or within a restricted area or prohibited area unless the controlling agency of the area concerned has authorized that parachute operation;
(2) Within or into a Class A, B, C, D airspace area without, or in violation of the requirements of, an air traffic control authorization issued under this section;
(3) Except as provided in paragraph (c) and (d) of this section, within or into Class E or G airspace area unless the air traffic control facility having jurisdiction over the airspace at the first intended exit altitude is notified of the parachute operation no earlier than 24 hours before or no later than 1 hour before the parachute operation begins.
(b) Each request for a parachute operation authorization or notification required under this section must be submitted to the air traffic control facility having jurisdiction over the airspace at the first intended exit altitude and must include the information prescribed by § 105.15(a) of this part.
(c) For the purposes of paragraph (a)(3) of this section, air traffic control facilities may accept a written notification from an organization that conducts parachute operations and lists the scheduled series of parachute operations to be conducted over a stated period of time not longer than 12 calendar months. The notification must contain the information prescribed by § 105.15(a) of this part, identify the responsible persons associated with that parachute operation, and be submitted at least 15 days, but not more than 30 days, before the parachute operation begins. The FAA may revoke the acceptance of the notification for any failure of the organization conducting the parachute operations to comply with its requirements.
(d) Paragraph (a)(3) of this section does not apply to a parachute operation conducted by a member of an Armed Force within a restricted area that extends upward from the surface when that area is under the control of an Armed Force.
This subpart prescribed rules governing parachute equipment used in civil parachute operations.
No person may conduct a parachute operation using a single-harness, dual-parachute system, and no pilot in command of an aircraft may allow any person to conduct a parachute operation from that aircraft using a single-harness, dual-parachute system, unless that system has at least one main parachute, one approved reserve parachute, and one approved single person harness and container that are packed as follows:
(a) The main parachute must have been packed within 180 days before the date of its use by a certificated parachute rigger, the person making the next jump with that parachute, or a non-certificated person under the direct supervision of a certificated parachute rigger.
(b) The reserve parachute must have been packed by a certificated parachute rigger—
(1) Within 180 days before the date of its use, if its canopy, shroud, and harness are composed exclusively of nylon, rayon, or similar synthetic fiber or material that is substantially resistant to damage from mold, mildew, and other fungi, and other rotting agents propagated in a moist environment; or
(2) Within 60 days before the date of its use, if it is composed of any amount of silk, pongee, or other natural fiber, or material not specified in paragraph (b)(1) of this section.
(c) If installed, the automatic activation device must be maintained in accordance with manufacturer instructions for that automatic activation device.
(a) No person may conduct a parachute operation using a tandem parachute system, and no pilot in command of an aircraft may allow any person to conduct a parachute operation from that aircraft using a tandem parachute system, unless—
(1) One of the parachutists using the tandem parachute system is the parachutist in command, and meets the following requirements:
(i) Has a minimum of 3 years of experience in parachuting, and must provide documentation that the parachutist—
(ii) Has completed a minimum of 500 freefall parachute jumps using a ram-air parachute, and
(iii) Holds a master parachute license issued by an organization recognized by the FAA, and
(iv) Has successfully completed a tandem instructor course given by the manufacturer of the tandem parachute system used in the parachute operation or a course acceptable to the Administrator.
(v) Has been certified by the appropriate parachute manufacturer or tandem course provider as being properly trained on the use of the specific tandem parachute system to be used.
(2) The person acting as parachutist in command:
(i) Has briefed the passenger parachutist before boarding the aircraft. The briefing must include the procedures to be used in case of an emergency with the aircraft or after exiting the aircraft, while preparing to exit and exiting the aircraft, freefall, operating the parachute after freefall, landing approach, and landing.
(ii) Uses the harness position prescribed by the manufacturer of the tandem parachute equipment.
(b) No person may make a parachute jump with a tandem parachute system unless—
(1) The main parachute has been packed by a certificated parachute rigger, the parachutist in command making the next jump with that parachute, or a person under the direct supervision of a certificated parachute rigger.
(2) The reserve parachute has been packed by a certificated parachute rigger in accordance with § 105.43(b) of this part.
(3) The tandem parachute system contains an operational automatic activation device for the reserve parachute, approved by the manufacturer of that tandem parachute system. The device must—
(i) Have been maintained in accordance with manufacturer instructions, and
(ii) Be armed during each tandem parachute operation.
(4) The passenger parachutist is provided with a manual main parachute activation device and instructed on the use of that device, if required by the owner/operator.
(5) The main parachute is equipped with a single-point release system.
(6) The reserve parachute meets Technical Standard Order C23 specifications.
(a) Except as provided in paragraph (c) of this section, no person may conduct a parachute operation using a static line attached to the aircraft and the main parachute unless an assist device, described and attached as follows, is used to aid the pilot chute in performing its function, or, if no pilot chute is used, to aid in the direct deployment of the main parachute canopy. The assist device must—
(1) Be long enough to allow the main parachute container to open before a load is placed on the device.
(2) Have a static load strength of—
(i) At least 28 pounds but not more than 160 pounds if it is used to aid the pilot chute in performing its function; or
(ii) At least 56 pounds but not more than 320 pounds if it is used to aid in the direct deployment of the main parachute canopy; and
(3) Be attached as follows:
(i) At one end, to the static line above the static-line pins or, if static-line pins are not used, above the static-line ties to the parachute cone.
(ii) At the other end, to the pilot chute apex, bridle cord, or bridle loop, or, if no pilot chute is used, to the main parachute canopy.
(b) No person may attach an assist device required by paragraph (a) of this section to any main parachute unless that person is a certificated parachute rigger or that person makes the next parachute jump with that parachute.
(c) An assist device is not required for parachute operations using direct-deployed, ram-air parachutes.
(a) No person may conduct a parachute operation, and no pilot in command of an aircraft may allow a parachute operation to be conducted from that aircraft with an unapproved foreign parachute system unless—
(1) The parachute system is worn by a foreign parachutist who is the owner of that system.
(2) The parachute system is of a single-harness dual parachute type.
(3) The parachute system meets the civil aviation authority requirements of the foreign parachutist's country.
(4) All foreign non-approved parachutes deployed by a foreign parachutist during a parachute operation conducted under this section shall be packed as follows—
(i) The main parachute must be packed by the foreign parachutist making the next parachute jump with that parachute, a certificated parachute rigger, or any other person acceptable to the Administrator.
(ii) The reserve parachute must be packed in accordance with the foreign parachutist's civil aviation authority requirements, by a certificated parachute rigger, or any other person acceptable to the Administrator.
(a) Except as provided in paragraph (b) of this section, this part applies to the registration, airman certification, and operation of civil small unmanned aircraft systems within the United States. This part also applies to the eligibility of civil small unmanned aircraft systems to operate over human beings in the United States.
(b) This part does not apply to the following:
(1) Air carrier operations;
(2) Any aircraft subject to the provisions of 49 U.S.C. 44809;
(3) Any operation that the holder of an exemption under section 333 of Public Law 112-95 or 49 U.S.C. 44807 elects to conduct pursuant to the exemption, unless otherwise specified in the exemption; or
(4) Any operation that a person elects to conduct under part 91 of this chapter with a small unmanned aircraft system that has been issued an airworthiness certificate.
The provisions of part 21 of this chapter do not apply to small unmanned aircraft systems operated under this part unless the small unmanned aircraft system will operate over human beings in accordance with § 107.140.
The following definitions apply to this part. If there is a conflict between the definitions of this part and definitions specified in § 1.1 of this chapter, the definitions in this part control for purposes of this part:
Control station means an interface used by the remote pilot to control the flight path of the small unmanned aircraft.
Corrective lenses means spectacles or contact lenses.
Declaration of compliance means a record submitted to the FAA that certifies the small unmanned aircraft conforms to the Category 2 or Category 3 requirements under subpart D of this part.
Small unmanned aircraft means an unmanned aircraft weighing less than 55 pounds on takeoff, including everything that is on board or otherwise attached to the aircraft.
Small unmanned aircraft system (small UAS) means a small unmanned aircraft and its associated elements (including communication links and the components that control the small unmanned aircraft) that are required for the safe and efficient operation of the small unmanned aircraft in the national airspace system.
Unmanned aircraft means an aircraft operated without the possibility of direct human intervention from within or on the aircraft.
Visual observer means a person who is designated by the remote pilot in command to assist the remote pilot in command and the person manipulating the flight controls of the small UAS to see and avoid other air traffic or objects aloft or on the ground.
(a) A remote pilot in command, owner, or person manipulating the flight controls of a small unmanned aircraft system must—
(1) Have in that person's physical possession and readily accessible the remote pilot certificate with a small UAS rating and identification when exercising the privileges of that remote pilot certificate.
(2) Present his or her remote pilot certificate with a small UAS rating and identification that contains the information listed at § 107.67(b)(1) through (3) for inspection upon a request from—
(i) The Administrator;
(ii) An authorized representative of the National Transportation Safety Board;
(iii) Any Federal, State, or local law enforcement officer; or
(iv) An authorized representative of the Transportation Security Administration.
(3) Make available, upon request, to the Administrator any document, record, or report required to be kept under the regulations of this chapter.
(b) The remote pilot in command, visual observer, owner, operator, or person manipulating the flight controls of a small unmanned aircraft system must, upon request, allow the Administrator to make any test or inspection of the small unmanned aircraft system, the remote pilot in command, the person manipulating the flight controls of a small unmanned aircraft system, and, if applicable, the visual observer to determine compliance with this part.
(c) Any person holding an FAA-accepted declaration of compliance under subpart D of this part must, upon request, make available to the Administrator:
(1) The declaration of compliance required under subpart D of this part; and
(2) Any other document, record, or report required to be kept under the regulations of this chapter.
(d) Any person holding an FAA-accepted declaration of compliance under subpart D of this part must, upon request, allow the Administrator to inspect its facilities, technical data, and any manufactured small UAS and witness any tests necessary to determine compliance with that subpart.
No later than 10 calendar days after an operation that meets the criteria of either paragraph (a) or (b) of this section, a remote pilot in command must report to the FAA, in a manner acceptable to the Administrator, any operation of the small unmanned aircraft involving at least:
(a) Serious injury to any person or any loss of consciousness; or
(b) Damage to any property, other than the small unmanned aircraft, unless one of the following conditions is satisfied:
(1) The cost of repair (including materials and labor) does not exceed $500; or
(2) The fair market value of the property does not exceed $500 in the event of total loss.
This subpart applies to the operation of all civil small unmanned aircraft systems subject to this part.
(a) Except as provided in paragraph (c) of this section, no person may manipulate the flight controls of a small unmanned aircraft system unless:
(1) That person has a remote pilot certificate with a small UAS rating issued pursuant to subpart C of this part and satisfies the requirements of § 107.65; or
(2) That person is under the direct supervision of a remote pilot in command and the remote pilot in command has the ability to immediately take direct control of the flight of the small unmanned aircraft.
(b) Except as provided in paragraph (c) of this section, no person may act as a remote pilot in command unless that person has a remote pilot certificate with a small UAS rating issued pursuant to Subpart C of this part and satisfies the requirements of § 107.65.
(c) The Administrator may, consistent with international standards, authorize an airman to operate a civil foreign-registered small unmanned aircraft without an FAA-issued remote pilot certificate with a small UAS rating.
A person operating a civil small unmanned aircraft system for purposes of flight must comply with the provisions of § 91.203(a)(2) of this chapter.
(a) No person may operate a civil small unmanned aircraft system unless it is in a condition for safe operation. Prior to each flight, the remote pilot in command must check the small unmanned aircraft system to determine whether it is in a condition for safe operation.
(b) No person may continue flight of the small unmanned aircraft when he or she knows or has reason to know that the small unmanned aircraft system is no longer in a condition for safe operation.
No person may manipulate the flight controls of a small unmanned aircraft system or act as a remote pilot in command, visual observer, or direct participant in the operation of the small unmanned aircraft if he or she knows or has reason to know that he or she has a physical or mental condition that would interfere with the safe operation of the small unmanned aircraft system.
(a) A remote pilot in command must be designated before or during the flight of the small unmanned aircraft.
(b) The remote pilot in command is directly responsible for and is the final authority as to the operation of the small unmanned aircraft system.
(c) The remote pilot in command must ensure that the small unmanned aircraft will pose no undue hazard to other people, other aircraft, or other property in the event of a loss of control of the small unmanned aircraft for any reason.
(d) The remote pilot in command must ensure that the small UAS operation complies with all applicable regulations of this chapter.
(e) The remote pilot in command must have the ability to direct the small unmanned aircraft to ensure compliance with the applicable provisions of this chapter.
(a) In an in-flight emergency requiring immediate action, the remote pilot in command may deviate from any rule of this part to the extent necessary to meet that emergency.
(b) Each remote pilot in command who deviates from a rule under paragraph (a) of this section must, upon request of the Administrator, send a written report of that deviation to the Administrator.
No person may:
(a) Operate a small unmanned aircraft system in a careless or reckless manner so as to endanger the life or property of another; or
(b) Allow an object to be dropped from a small unmanned aircraft in a manner that creates an undue hazard to persons or property.
No person may operate a small unmanned aircraft system—
(a) From a moving aircraft; or
(b) From a moving land or water-borne vehicle unless the small unmanned aircraft is flown over a sparsely populated area and is not transporting another person's property for compensation or hire.
A person manipulating the flight controls of a small unmanned aircraft system or acting as a remote pilot in command or visual observer must comply with the provisions of §§ 91.17 and 91.19 of this chapter.
(a) Except as provided in paragraph (d) of this section, no person may operate a small unmanned aircraft system at night unless—
(1) The remote pilot in command of the small unmanned aircraft has completed an initial knowledge test or training, as applicable, under § 107.65 after April 6, 2021; and
(2) The small unmanned aircraft has lighted anti-collision lighting visible for at least 3 statute miles that has a flash rate sufficient to avoid a collision. The remote pilot in command may reduce the intensity of, but may not extinguish, the anti-collision lighting if he or she determines that, because of operating conditions, it would be in the interest of safety to do so.
(b) No person may operate a small unmanned aircraft system during periods of civil twilight unless the small unmanned aircraft has lighted anti-collision lighting visible for at least 3 statute miles that has a flash rate sufficient to avoid a collision. The remote pilot in command may reduce the intensity of, but may not extinguish, the anti-collision lighting if he or she determines that, because of operating conditions, it would be in the interest of safety to do so.
(c) For purposes of paragraph (b) of this section, civil twilight refers to the following:
(1) Except for Alaska, a period of time that begins 30 minutes before official sunrise and ends at official sunrise;
(2) Except for Alaska, a period of time that begins at official sunset and ends 30 minutes after official sunset; and
(3) In Alaska, the period of civil twilight as defined in the Air Almanac.
(d) After May 17, 2021, no person may operate a small unmanned aircraft system at night in accordance with a certificate of waiver issued prior to April 21, 2021 under § 107.200. The certificates of waiver issued prior to March 16, 2021 under § 107.200 that authorize deviation from § 107.29 terminate on May 17, 2021.
(a) With vision that is unaided by any device other than corrective lenses, the remote pilot in command, the visual observer (if one is used), and the person manipulating the flight control of the small unmanned aircraft system must be able to see the unmanned aircraft throughout the entire flight in order to:
(1) Know the unmanned aircraft's location;
(2) Determine the unmanned aircraft's attitude, altitude, and direction of flight;
(3) Observe the airspace for other air traffic or hazards; and
(4) Determine that the unmanned aircraft does not endanger the life or property of another.
(b) Throughout the entire flight of the small unmanned aircraft, the ability described in paragraph (a) of this section must be exercised by either:
(1) The remote pilot in command and the person manipulating the flight controls of the small unmanned aircraft system; or
(2) A visual observer.
If a visual observer is used during the aircraft operation, all of the following requirements must be met:
(a) The remote pilot in command, the person manipulating the flight controls of the small unmanned aircraft system, and the visual observer must maintain effective communication with each other at all times.
(b) The remote pilot in command must ensure that the visual observer is able to see the unmanned aircraft in the manner specified in § 107.31.
(c) The remote pilot in command, the person manipulating the flight controls of the small unmanned aircraft system, and the visual observer must coordinate to do the following:
(1) Scan the airspace where the small unmanned aircraft is operating for any potential collision hazard; and
(2) Maintain awareness of the position of the small unmanned aircraft through direct visual observation.
A person may not manipulate flight controls or act as a remote pilot in command or visual observer in the operation of more than one unmanned aircraft at the same time.
A small unmanned aircraft may not carry hazardous material. For purposes of this section, the term hazardous material is defined in 49 CFR 171.8.
(a) Each small unmanned aircraft must yield the right of way to all aircraft, airborne vehicles, and launch and reentry vehicles. Yielding the right of way means that the small unmanned aircraft must give way to the aircraft or vehicle and may not pass over, under, or ahead of it unless well clear.
(b) No person may operate a small unmanned aircraft so close to another aircraft as to create a collision hazard.
No person may operate a small unmanned aircraft over a human being unless—
(a) That human being is directly participating in the operation of the small unmanned aircraft;
(b) That human being is located under a covered structure or inside a stationary vehicle that can provide reasonable protection from a falling small unmanned aircraft; or
(c) The operation meets the requirements of at least one of the operational categories specified in subpart D of this part.
No person may operate a small unmanned aircraft in Class B, Class C, or Class D airspace or within the lateral boundaries of the surface area of Class E airspace designated for an airport unless that person has prior authorization from Air Traffic Control (ATC).
No person may operate a small unmanned aircraft in a manner that interferes with operations and traffic patterns at any airport, heliport, or seaplane base.
No person may operate a small unmanned aircraft in prohibited or restricted areas unless that person has permission from the using or controlling agency, as appropriate.
A person acting as a remote pilot in command must comply with the provisions of §§ 91.137 through 91.145 and 99.7 of this chapter.
Prior to flight, the remote pilot in command must:
(a) Assess the operating environment, considering risks to persons and property in the immediate vicinity both on the surface and in the air. This assessment must include:
(1) Local weather conditions;
(2) Local airspace and any flight restrictions;
(3) The location of persons and property on the surface; and
(4) Other ground hazards.
(b) Ensure that all persons directly participating in the small unmanned aircraft operation are informed about the operating conditions, emergency procedures, contingency procedures, roles and responsibilities, and potential hazards;
(c) Ensure that all control links between ground control station and the small unmanned aircraft are working properly;
(d) If the small unmanned aircraft is powered, ensure that there is enough available power for the small unmanned aircraft system to operate for the intended operational time;
(e) Ensure that any object attached or carried by the small unmanned aircraft is secure and does not adversely affect the flight characteristics or controllability of the aircraft; and
(f) If the operation will be conducted over human beings under subpart D of this part, ensure that the aircraft meets the requirements of § 107.110, § 107.120(a), § 107.130(a), or § 107.140, as applicable.
A remote pilot in command and the person manipulating the flight controls of the small unmanned aircraft system must comply with all of the following operating limitations when operating a small unmanned aircraft system:
(a) The groundspeed of the small unmanned aircraft may not exceed 87 knots (100 miles per hour).
(b) The altitude of the small unmanned aircraft cannot be higher than 400 feet above ground level, unless the small unmanned aircraft:
(1) Is flown within a 400-foot radius of a structure; and
(2) Does not fly higher than 400 feet above the structure's immediate uppermost limit.
(c) The minimum flight visibility, as observed from the location of the control station must be no less than 3 statute miles. For purposes of this section, flight visibility means the average slant distance from the control station at which prominent unlighted objects may be seen and identified by day and prominent lighted objects may be seen and identified by night.
(d) The minimum distance of the small unmanned aircraft from clouds must be no less than:
(1) 500 feet below the cloud; and
(2) 2,000 feet horizontally from the cloud.
Unless otherwise authorized by the Administrator, no person may operate a small unmanned aircraft system under this part with a transponder on.
Unless otherwise authorized by the Administrator, no person may operate a small unmanned aircraft system under this part with ADS-B Out equipment in transmit mode.
This subpart prescribes the requirements for issuing a remote pilot certificate with a small UAS rating.
(a) A conviction for the violation of any Federal or State statute relating to the growing, processing, manufacture, sale, disposition, possession, transportation, or importation of narcotic drugs, marijuana, or depressant or stimulant drugs or substances is grounds for:
(1) Denial of an application for a remote pilot certificate with a small UAS rating for a period of up to 1 year after the date of final conviction; or
(2) Suspension or revocation of a remote pilot certificate with a small UAS rating.
(b) Committing an act prohibited by § 91.17(a) or § 91.19(a) of this chapter is grounds for:
(1) Denial of an application for a remote pilot certificate with a small UAS rating for a period of up to 1 year after the date of that act; or
(2) Suspension or revocation of a remote pilot certificate with a small UAS rating.
A refusal to submit to a test to indicate the percentage by weight of alcohol in the blood, when requested by a law enforcement officer in accordance with § 91.17(c) of this chapter, or a refusal to furnish or authorize the release of the test results requested by the Administrator in accordance with § 91.17(c) or (d) of this chapter, is grounds for:
(a) Denial of an application for a remote pilot certificate with a small UAS rating for a period of up to 1 year after the date of that refusal; or
(b) Suspension or revocation of a remote pilot certificate with a small UAS rating.
Subject to the provisions of §§ 107.57 and 107.59, in order to be eligible for a remote pilot certificate with a small UAS rating under this subpart, a person must:
(a) Be at least 16 years of age;
(b) Be able to read, speak, write, and understand the English language. If the applicant is unable to meet one of these requirements due to medical reasons, the FAA may place such operating limitations on that applicant's certificate as are necessary for the safe operation of the small unmanned aircraft;
(c) Not know or have reason to know that he or she has a physical or mental condition that would interfere with the safe operation of a small unmanned aircraft system; and
(d) Demonstrate aeronautical knowledge by satisfying one of the following conditions, in a manner acceptable to the Administrator:
(1) Pass an initial aeronautical knowledge test covering the areas of knowledge specified in § 107.73; or
(2) If a person holds a pilot certificate (other than a student pilot certificate) issued under part 61 of this chapter and meets the flight review requirements specified in § 61.56, complete training covering the areas of knowledge specified in § 107.74.
An applicant for a remote pilot certificate with a small UAS rating under this subpart must make the application in a form and manner acceptable to the Administrator.
(a) The application must include either:
(1) Evidence showing that the applicant passed an initial aeronautical knowledge test. If applying using a paper application, this evidence must be an airman knowledge test report showing passage of the knowledge test; or
(2) If a person holds a pilot certificate (other than a student pilot certificate) issued under part 61 of this chapter and meets the flight review requirements specified in § 61.56, a certificate of completion of an initial training course under this part that covers the areas of knowledge specified in § 107.74.
(b) If the application is being made pursuant to paragraph (a)(2) of this section:
(1) The application must be submitted to the responsible Flight Standards office, a designated pilot examiner, an airman certification representative for a pilot school, a certificated flight instructor, or other person authorized by the Administrator;
(2) The person accepting the application submission must verify the identity of the applicant in a manner acceptable to the Administrator; and
(3) The person making the application must, by logbook endorsement or other manner acceptable to the Administrator, show the applicant meets the flight review requirements specified in § 61.56 of this chapter.
(a) A temporary remote pilot certificate with a small UAS rating is issued for up to 120 calendar days, at which time a permanent certificate will be issued to a person whom the Administrator finds qualified under this part.
(b) A temporary remote pilot certificate with a small UAS rating expires:
(1) On the expiration date shown on the certificate;
(2) Upon receipt of the permanent certificate; or
(3) Upon receipt of a notice that the certificate sought is denied or revoked.
A person may not exercise the privileges of a remote pilot in command with small UAS rating unless that person has accomplished one of the following in a manner acceptable to the Administrator within the previous 24 calendar months:
(a) Passed an initial aeronautical knowledge test covering the areas of knowledge specified in § 107.73;
(b) Completed recurrent training covering the areas of knowledge specified in § 107.73; or
(c) If a person holds a pilot certificate (other than a student pilot certificate) issued under part 61 of this chapter and meets the flight review requirements specified in § 61.56, completed training covering the areas of knowledge specified in § 107.74.
(d) A person who has passed a recurrent aeronautical knowledge test in a manner acceptable to the Administrator or who has satisfied the training requirement of paragraph (c) of this section prior to April 6, 2021 within the previous 24 calendar months is considered to be in compliance with the requirement of paragraph (b) or (c) of this section, as applicable.
(a) Knowledge tests prescribed by or under this part are given by persons and in the manner designated by the Administrator.
(b) An applicant for a knowledge test must have proper identification at the time of application that contains the applicant's:
(1) Photograph;
(2) Signature;
(3) Date of birth, which shows the applicant meets or will meet the age requirements of this part for the certificate and rating sought before the expiration date of the airman knowledge test report; and
(4) Permanent mailing address. If the applicant's permanent mailing address is a post office box number, then the applicant must also provide a current residential address.
(c) The minimum passing grade for the knowledge test will be specified by the Administrator.
(a) An applicant for a knowledge test may not:
(1) Copy or intentionally remove any knowledge test;
(2) Give to another applicant or receive from another applicant any part or copy of a knowledge test;
(3) Give or receive assistance on a knowledge test during the period that test is being given;
(4) Take any part of a knowledge test on behalf of another person;
(5) Be represented by, or represent, another person for a knowledge test;
(6) Use any material or aid during the period that the test is being given, unless specifically authorized to do so by the Administrator; and
(7) Intentionally cause, assist, or participate in any act prohibited by this paragraph.
(b) An applicant who the Administrator finds has committed an act prohibited by paragraph (a) of this section is prohibited, for 1 year after the date of committing that act, from:
(1) Applying for any certificate, rating, or authorization issued under this chapter; and
(2) Applying for and taking any test under this chapter.
(c) Any certificate or rating held by an applicant may be suspended or revoked if the Administrator finds that person has committed an act prohibited by paragraph (a) of this section.
An applicant for a knowledge test who fails that test may not reapply for the test for 14 calendar days after failing the test.
An initial aeronautical knowledge test and recurrent training covers the following areas of knowledge:
(a) Applicable regulations relating to small unmanned aircraft system rating privileges, limitations, and flight operation;
(b) Airspace classification, operating requirements, and flight restrictions affecting small unmanned aircraft operation;
(c) Aviation weather sources and effects of weather on small unmanned aircraft performance;
(d) Small unmanned aircraft loading;
(e) Emergency procedures;
(f) Crew resource management;
(g) Radio communication procedures;
(h) Determining the performance of the small unmanned aircraft;
(i) Physiological effects of drugs and alcohol;
(j) Aeronautical decision-making and judgment;
(k) Airport operations;
(l) Maintenance and preflight inspection procedures; and
(m) Operation at night.
Training for pilots who hold a pilot certificate (other than a student pilot certificate) issued under part 61 of this chapter and meet the flight review requirements specified in § 61.56 covers the following areas of knowledge:
(a) Applicable regulations relating to small unmanned aircraft system rating privileges, limitations, and flight operation;
(b) Effects of weather on small unmanned aircraft performance;
(c) Small unmanned aircraft loading;
(d) Emergency procedures;
(e) Crew resource management;
(f) Determining the performance of the small unmanned aircraft;
(g) Maintenance and preflight inspection procedures; and
(h) Operation at night.
(a) Change of name. An application to change the name on a certificate issued under this subpart must be accompanied by the applicant's:
(1) Remote pilot certificate with small UAS rating; and
(2) A copy of the marriage license, court order, or other document verifying the name change.
(b) The documents in paragraph (a) of this section will be returned to the applicant after inspection.
(c) Change of address. The holder of a remote pilot certificate with small UAS rating issued under this subpart who has made a change in permanent mailing address may not, after 30 days from that date, exercise the privileges of the certificate unless the holder has notified the FAA of the change in address using one of the following methods:
(1) By letter to the FAA Airman Certification Branch, P.O. Box 25082, Oklahoma City, OK 73125 providing the new permanent mailing address, or if the permanent mailing address includes a post office box number, then the holder's current residential address; or
(2) By using the FAA Web site portal at www.faa.gov providing the new permanent mailing address, or if the permanent mailing address includes a post office box number, then the holder's current residential address.
(a) The holder of a certificate issued under this subpart may voluntarily surrender it for cancellation.
(b) Any request made under paragraph (a) of this section must include the following signed statement or its equivalent: “I voluntarily surrender my remote pilot certificate with a small UAS rating for cancellation. This request is made for my own reasons, with full knowledge that my certificate will not be reissued to me unless I again complete the requirements specified in §§ 107.61 and 107.63.”
This subpart prescribes the eligibility and operating requirements for civil small unmanned aircraft to operate over human beings or over moving vehicles in the United States, in addition to those operations permitted by § 107.39(a) and (b).
Except as provided in §§ 107.39(a) and (b) and 107.145, a remote pilot in command may conduct operations over human beings only in accordance with the following, as applicable: § 107.110 for Category 1 operations; §§ 107.115 and 107.120 for Category 2 operations; §§ 107.125 and 107.130 for Category 3 operations; or § 107.140 for Category 4 operations.
To conduct Category 1 operations—
(a) A remote pilot in command must use a small unmanned aircraft that—
(1) Weighs 0.55 pounds or less on takeoff and throughout the duration of each operation under Category 1, including everything that is on board or otherwise attached to the aircraft; and
(2) Does not contain any exposed rotating parts that would lacerate human skin upon impact with a human being.
(b) No remote pilot in command may operate a small unmanned aircraft in sustained flight over open-air assemblies of human beings unless the operation meets the requirements of either § 89.110 or § 89.115(a) of this chapter.
To conduct Category 2 operations—
(a) A remote pilot in command must use a small unmanned aircraft that—
(1) Is eligible for Category 2 operations pursuant to § 107.120(a);
(2) Is listed on an FAA-accepted declaration of compliance as eligible for Category 2 operations in accordance with § 107.160; and
(3) Is labeled as eligible to conduct Category 2 operations in accordance with § 107.120(b)(1).
(b) No remote pilot in command may operate a small unmanned aircraft in sustained flight over open-air assemblies of human beings unless the operation meets the requirements of either § 89.110 or § 89.115(a) of this chapter.
(a) To be eligible for use in Category 2 operations, the small unmanned aircraft must be designed, produced, or modified such that it—
(1) Will not cause injury to a human being that is equivalent to or greater than the severity of injury caused by a transfer of 11 foot-pounds of kinetic energy upon impact from a rigid object;
(2) Does not contain any exposed rotating parts that would lacerate human skin upon impact with a human being; and
(3) Does not contain any safety defects.
(b) The applicant for a declaration of compliance for a small unmanned aircraft that is eligible for use in Category 2 operations in accordance with paragraph (a) of this section, must meet all of the following requirements for the applicant's unmanned aircraft to be used in Category 2 operations:
(1) Display a label on the small unmanned aircraft indicating eligibility to conduct Category 2 operations. The label must be in English and be legible, prominent, and permanently affixed to the small unmanned aircraft.
(2) Have remote pilot operating instructions that apply to the operation of the small unmanned aircraft system. The applicant for a declaration of compliance must make available these instructions upon sale or transfer of the aircraft or use of the aircraft by someone other than the applicant who submitted a declaration of compliance pursuant to § 107.160. Such instructions must address, at a minimum—
(i) A system description that includes the required small unmanned aircraft system components, any system limitations, and the declared category or categories of operation;
(ii) Modifications that will not change the ability of the small unmanned aircraft system to meet the requirements for the category or categories of operation the small unmanned aircraft system is eligible to conduct; and
(iii) Instructions for how to verify and change the mode or configuration of the small unmanned aircraft system, if they are variable.
(3) Maintain a product support and notification process. The applicant for a declaration of compliance must maintain product support and notification procedures to notify the public and the FAA of—
(i) Any defect or condition that causes the small unmanned aircraft to no longer meet the requirements of this subpart; and
(ii) Any identified safety defect that causes the small unmanned aircraft to exceed a low probability of casualty.
To conduct Category 3 operations, a remote pilot in command—
(a) Must use a small unmanned aircraft that—
(1) Is eligible for Category 3 operations pursuant to § 107.130(a);
(2) Is listed on an FAA-accepted declaration of compliance as eligible for Category 3 operations in accordance with § 107.160; and
(3) Is labeled as eligible for Category 3 operations in accordance with § 107.130(b)(1);
(b) Must not operate the small unmanned aircraft over open-air assemblies of human beings; and
(c) May only operate the small unmanned aircraft above any human being if operation meets one of the following conditions:
(1) The operation is within or over a closed- or restricted-access site and all human beings located within the closed- or restricted-access site must be on notice that a small unmanned aircraft may fly over them; or
(2) The small unmanned aircraft does not maintain sustained flight over any human being unless that human being is—
(i) Directly participating in the operation of the small unmanned aircraft; or
(ii) Located under a covered structure or inside a stationary vehicle that can provide reasonable protection from a falling small unmanned aircraft.
(a) To be eligible for use in Category 3 operations, the small unmanned aircraft must be designed, produced, or modified such that it—
(1) Will not cause injury to a human being that is equivalent to or greater than the severity of the injury caused by a transfer of 25 foot-pounds of kinetic energy upon impact from a rigid object;
(2) Does not contain any exposed rotating parts that would lacerate human skin upon impact with a human being; and
(3) Does not contain any safety defects.
(b) The applicant for a declaration of compliance for a small unmanned aircraft that is eligible for use in Category 3 operations in accordance with paragraph (a) of this section, must meet all of the following requirements for the applicant's small unmanned aircraft to be used in Category 3 operations:
(1) Display a label on the small unmanned aircraft indicating eligibility to conduct Category 3 operations. The label must be in English and be legible, prominent, and permanently affixed to the small unmanned aircraft.
(2) Have remote pilot operating instructions that apply to the operation of the small unmanned aircraft system. The applicant for a declaration of compliance must make available these instructions upon sale or transfer of the aircraft or use of the aircraft by someone other than the applicant who submitted a declaration of compliance pursuant to § 107.160. Such instructions must address, at a minimum—
(i) A system description that includes the required small unmanned aircraft system components, any system limitations, and the declared category or categories of operation;
(ii) Modifications that will not change the ability of the small unmanned aircraft system to meet the requirements for the category or categories of operation the small unmanned aircraft system is eligible to conduct; and
(iii) Instructions for how to verify and change the mode or configuration of the small unmanned aircraft system, if they are variable.
(3) Maintain a product support and notification process. The applicant for a declaration of compliance must maintain product support and notification procedures to notify the public and the FAA of—
(i) Any defect or condition that causes the small unmanned aircraft to no longer meet the requirements of this subpart; and
(ii) Any identified safety defect that causes the small unmanned aircraft to exceed a low probability of fatality.
If a Category 2 or Category 3 label affixed to a small unmanned aircraft is damaged, destroyed, or missing, a remote pilot in command must label the aircraft in English such that the label is legible, prominent, and will remain on the small unmanned aircraft for the duration of the operation before conducting operations over human beings. The label must correctly identify the category or categories of operation over human beings that the small unmanned aircraft is qualified to conduct in accordance with this subpart.
(a) Remote pilot in command requirements. To conduct Category 4 operations—
(1) A remote pilot in command—
(i) Must use a small unmanned aircraft that is eligible for Category 4 operations pursuant to paragraph (b) of this section; and
(ii) Must operate the small unmanned aircraft in accordance with all operating limitations that apply to the small unmanned aircraft, as specified by the Administrator.
(2) No remote pilot in command may operate a small unmanned aircraft in sustained flight over open-air assemblies of human beings unless the operation meets the requirements of either § 89.110 or § 89.115(a) of this chapter.
(b) Small unmanned aircraft requirements for Category 4. To be eligible to operate over human beings under this section, the small unmanned aircraft must—
(1) Have an airworthiness certificate issued under part 21 of this chapter.
(2) Be operated in accordance with the operating limitations specified in the approved Flight Manual or as otherwise specified by the Administrator. The operating limitations must not prohibit operations over human beings.
(3) Have maintenance, preventive maintenance, alterations, or inspections performed in accordance with paragraph (c)(1) of this section.
(c) Maintenance requirements for Category 4. The owner must (unless the owner enters into an agreement with an operator to meet the requirements of this paragraph (c), then the operator must) meet the requirements of this paragraph (c):
(1) Ensure the person performing any maintenance, preventive maintenance, alterations, or inspections:
(i) Uses the methods, techniques, and practices prescribed in the manufacturer's current maintenance manual or Instructions for Continued Airworthiness that are acceptable to the Administrator, or other methods, techniques, and practices acceptable to the Administrator;
(ii) Has the knowledge, skill, and appropriate equipment to perform the work;
(iii) Performs the maintenance, preventive maintenance, or alterations on the small unmanned aircraft in a manner using the methods, techniques, and practices prescribed in the manufacturer's current maintenance manual or Instructions for Continued Airworthiness prepared by its manufacturer, or other methods, techniques, and practices acceptable to the Administrator;
(iv) Inspects the small unmanned aircraft in accordance with the manufacturer's instructions or other instructions acceptable to the Administrator; and
(v) Performs the maintenance, preventive maintenance, or alterations using parts of such a quality that the condition of the aircraft will be at least equal to its original or properly altered condition.
(2) Maintain all records of maintenance, preventive maintenance, and alterations performed on the aircraft and ensure the records are documented in a manner acceptable to the Administrator. The records must contain the description of the work performed, the date the work was completed, and the name of the person who performed the work.
(3) Maintain all records containing—
(i) The status of life-limited parts that are installed on, or part of, the small unmanned aircraft;
(ii) The inspection status of the aircraft; and
(iii) The status of applicable airworthiness directives including the method of compliance, the airworthiness directive number, and revision date. If the airworthiness directive involves recurring action, the record must contain the time and date of the next required action.
(4) Retain the records required under paragraphs (c)(2) and (3) of this section, as follows:
(i) The records documenting maintenance, preventive maintenance, or alterations performed must be retained for 1 year from when the work is completed or until the maintenance is repeated or superseded by other work.
(ii) The records documenting the status of life-limited parts, compliance with airworthiness directives, and inspection status of the small unmanned aircraft must be retained and transferred with the aircraft upon change in ownership.
(5) Ensure all records under paragraphs (c)(2) and (3) of this section are available for inspection upon request from the Administrator or any authorized representative of the National Transportation Safety Board (NTSB).
(d) Compliance with parts 43 and 91 of this chapter. Compliance with part 43 and part 91, subpart E, of this chapter fulfills the requirements in paragraphs (b)(3) and (c) of this section.
No person may operate a small unmanned aircraft over a human being located inside a moving vehicle unless the following conditions are met:
(a) The operation occurs in accordance with § 107.110 for Category 1 operations; § 107.115 for Category 2 operations; § 107.125 for Category 3 operations; or § 107.140 for Category 4 operations.
(b) For an operation under Category 1, Category 2, or Category 3, the small unmanned aircraft, throughout the operation—
(1) Must remain within or over a closed- or restricted-access site, and all human beings located inside a moving vehicle within the closed- or restricted-access site must be on notice that a small unmanned aircraft may fly over them; or
(2) Must not maintain sustained flight over moving vehicles.
(c) For a Category 4 operation, the small unmanned aircraft must—
(1) Have an airworthiness certificate issued under part 21 of this chapter.
(2) Be operated in accordance with the operating limitations specified in the approved Flight Manual or as otherwise specified by the Administrator. The operating limitations must not prohibit operations over human beings located inside moving vehicles.
A small unmanned aircraft system may be eligible for one or more categories of operation over human beings under this subpart, as long as a remote pilot in command cannot inadvertently switch between modes or configurations.
(a) Establishment of compliance. To meet the requirements of § 107.120(a) for operations in Category 2, or the requirements of § 107.130(a) for operations in Category 3, the means of compliance must consist of test, analysis, or inspection.
(b) Required information. An applicant requesting FAA acceptance of a means of compliance must submit the following information to the FAA in a manner specified by the Administrator:
(1) Procedures. Detailed description of the means of compliance, including applicable test, analysis, or inspection procedures to demonstrate how the small unmanned aircraft meets the requirements of § 107.120(a) for operations in Category 2 or the requirements of § 107.130(a) for operations in Category 3. The description should include conditions, environments, and methods, as applicable.
(2) Compliance explanation. Explanation of how application of the means of compliance fulfills the requirements of § 107.120(a) for operations in Category 2 or the requirements of § 107.130(a) for operations in Category 3.
(c) FAA acceptance. If the FAA determines the applicant has demonstrated compliance with paragraphs (a) and (b) of this section, it will notify the applicant that it has accepted the means of compliance.
(d) Rescission. (1) A means of compliance is subject to ongoing review by the Administrator. The Administrator may rescind its acceptance of a means of compliance if the Administrator determines that a means of compliance does not meet any or all of the requirements of this subpart.
(2) The Administrator will publish a notice of rescission in the
(e) Inapplicability of part 13, subpart D, of this chapter. Part 13, subpart D, of this chapter does not apply to the procedures of paragraph (a) of this section.
(a) Required information. In order for an applicant to declare a small unmanned aircraft is compliant with the requirements of this subpart for Category 2 or Category 3 operations, an applicant must submit a declaration of compliance for acceptance by the FAA, in a manner specified by the Administrator, that includes the following information:
(1) Applicant's name;
(2) Applicant's physical address;
(3) Applicant's email address;
(4) The small unmanned aircraft make and model name, and series, if applicable;
(5) The small unmanned aircraft serial number or range of serial numbers that are the subject of the declaration of compliance;
(6) Whether the declaration of compliance is an initial declaration or an amended declaration;
(7) If the declaration of compliance is an amended declaration, the reason for the re-submittal;
(8) The accepted means of compliance the applicant used to fulfill requirements of § 107.120(a) or § 107.130(a) or both;
(9) A declaration that the applicant—
(i) Has demonstrated that the small unmanned aircraft, or specific configurations of that aircraft, satisfies § 107.120(a) or § 107.130(a) or both, through the accepted means of compliance identified in paragraph (a)(8) of this section;
(ii) Has verified that the unmanned aircraft does not contain any safety defects;
(iii) Has satisfied § 107.120(b)(3) or § 107.130(b)(3), or both; and
(iv) Will, upon request, allow the Administrator to inspect its facilities, technical data, and any manufactured small unmanned aircraft and witness any tests necessary to determine compliance with this subpart; and
(10) Other information as required by the Administrator.
(b) FAA acceptance. If the FAA determines the applicant has demonstrated compliance with the requirements of this subpart, it will notify the applicant that it has accepted the declaration of compliance.
(c) Notification of a safety issue. Prior to initiating rescission proceedings pursuant to paragraphs (d)(1) through (3) of this section, the FAA will notify the applicant if a safety issue has been identified for the declaration of compliance.
(d) Rescission. (1) No person may operate a small unmanned aircraft identified on a declaration of compliance that the FAA has rescinded pursuant to this subpart while that declaration of compliance is rescinded.
(2) The FAA may rescind a declaration of compliance if any of the following conditions occur:
(i) A small unmanned aircraft for which a declaration of compliance was accepted no longer complies with § 107.120(a) or § 107.130(a);
(ii) The FAA finds a declaration of compliance is in violation of § 107.5(a); or
(iii) The Administrator determines an emergency exists related to safety in accordance with the authority in 49 U.S.C. 46105.
(3) If a safety issue identified under paragraph (c) of this section has not been resolved, the FAA may rescind the declaration of compliance as follows:
(i) The FAA will issue a notice proposing to rescind the declaration of compliance. The notice will set forth the Agency's basis for the proposed rescission and provide the holder of the declaration of compliance with 30 calendar days from the date of issuance of the proposed notice to submit evidentiary information to refute the proposed notice.
(ii) The holder of the declaration of compliance must submit information demonstrating how the small unmanned aircraft meets the requirements of this subpart within 30 calendar days from the date of issuance of the proposed notice.
(iii) If the FAA does not receive the information required by paragraph (d)(3)(ii) of this section within 30 calendar days from the date of the issuance of the proposed notice, the FAA will issue a notice rescinding the declaration of compliance.
(4) If the Administrator determines that an emergency exists in accordance with paragraph (d)(2)(iii) of this section, the FAA will exercise its authority under 49 U.S.C. 46105(c) to issue an order rescinding a declaration of compliance without initiating the process in paragraph (d)(3) of this section.
(e) Petition to reconsider the rescission of a declaration of compliance. A person subject to an order of rescission under paragraph (d)(3) of this section may petition the FAA to reconsider the rescission of a declaration of compliance by submitting a request to the FAA in a manner specified by the Administrator within 60 days of the date of issuance of the rescission.
(1) A petition to reconsider the rescission of a declaration of compliance must demonstrate at least one of the following:
(i) A material fact that was not present in the original response to the notification of the safety issue and an explanation for why it was not present in the original response;
(ii) The FAA made a material factual error in the decision to rescind the declaration of compliance; or
(iii) The FAA did not correctly interpret a law, regulation, or precedent.
(2) Upon consideration of the information submitted under paragraph (e)(1) of this section, the FAA will issue a notice either affirming the rescission or withdrawing the rescission.
(f) Inapplicability of part 13, subpart D, of this chapter. Part 13, subpart D, of this chapter does not apply to the procedures of paragraphs (d) and (e) of this section.
(a) A person who submits a declaration of compliance under this subpart must retain and make available to the Administrator, upon request, the information described in paragraph (a)(1) of this section for the period of time described in paragraph (a)(2) of this section.
(1) All supporting information used to demonstrate the small unmanned aircraft meets the requirements of §§ 107.120(a), for operations in Category 2, and 107.130(a), for operations in Category 3.
(2) The following time periods apply:
(i) If the person who submits a declaration of compliance produces a small unmanned aircraft, that person must retain the information described in paragraph (a)(1) of this section for two years after the cessation of production of the small unmanned aircraft system for which the person declared compliance.
(ii) If the person who submits a declaration of compliance designs or modifies a small unmanned aircraft, that person must retain the information described in paragraph (a)(1) of this section for two years after the person submitted the declaration of compliance.
(b) A person who submits a means of compliance under this subpart must retain and make available to the Administrator, upon request, and for as long as the means of compliance remains accepted, the detailed description of the means of compliance and justification showing how the means of compliance meets the requirements of §§ 107.120(a), for operations in Category 2, and 107.130(a), for operations in Category 3.
(a) The Administrator may issue a certificate of waiver authorizing a deviation from any regulation specified in § 107.205 if the Administrator finds that a proposed small UAS operation can safely be conducted under the terms of that certificate of waiver.
(b) A request for a certificate of waiver must contain a complete description of the proposed operation and justification that establishes that the operation can safely be conducted under the terms of a certificate of waiver.
(c) The Administrator may prescribe additional limitations that the Administrator considers necessary.
(d) A person who receives a certificate of waiver issued under this section:
(1) May deviate from the regulations of this part to the extent specified in the certificate of waiver; and
(2) Must comply with any conditions or limitations that are specified in the certificate of waiver.
A certificate of waiver issued pursuant to § 107.200 may authorize a deviation from the following regulations of this part:
(a) Section 107.25—Operation from a moving vehicle or aircraft. However, no waiver of this provision will be issued to allow the carriage of property of another by aircraft for compensation or hire.
(b) Section 107.29(a)(2) and (b)—Anti-collision light required for operations at night and during periods of civil twilight.
(c) Section 107.31—Visual line of sight aircraft operation. However, no waiver of this provision will be issued to allow the carriage of property of another by aircraft for compensation or hire.
(d) Section 107.33—Visual observer.
(e) Section 107.35—Operation of multiple small unmanned aircraft systems.
(f) Section 107.37(a)—Yielding the right of way.
(g) Section 107.39—Operation over people.
(h) Section 107.41—Operation in certain airspace.
(i) Section 107.51—Operating limitations for small unmanned aircraft.
(j) Section 107.145—Operations over moving vehicles.
This part governs all operations conducted under subchapter G of this chapter.
For the purpose of this subchapter, the term—
All-cargo operation means any operation for compensation or hire that is other than a passenger-carrying operation or, if passengers are carried, they are only those specified in § 121.583(a) or § 135.85 of this chapter.
Commercial air tour means a flight conducted for compensation or hire in an airplane, powered-lift, or rotorcraft where a purpose of the flight is sightseeing. The FAA may consider the following factors in determining whether a flight is a commercial air tour:
(1) Whether there was a holding out to the public of willingness to conduct a sightseeing flight for compensation or hire;
(2) Whether the person offering the flight provided a narrative that referred to areas or points of interest on the surface below the route of the flight;
(3) The area of operation;
(4) How often the person offering the flight conducts such flights;
(5) The route of flight;
(6) The inclusion of sightseeing flights as part of any travel arrangement package;
(7) Whether the flight in question would have been canceled based on poor visibility of the surface below the route of the flight; and
(8) Any other factors that the FAA considers appropriate.
Commuter operation means any scheduled operation conducted by any person operating one of the following types of aircraft with a frequency of operations of at least five round trips per week on at least one route between two or more points according to the published flight schedules:
(1) Rotorcraft; or
(2) Airplanes or powered-lift that:
(i) Are not turbojet-powered;
(ii) Have a maximum passenger-seat configuration of 9 seats or less, excluding each crewmember seat; and
(iii) Have a maximum payload capacity of 7,500 pounds or less.
Direct air carrier means a person who provides or offers to provide air transportation and who has control over the operational functions performed in providing that transportation.
DOD commercial air carrier evaluator means a qualified Air Mobility Command, Survey and Analysis Office cockpit evaluator performing the duties specified in Public Law 99-661 when the evaluator is flying on an air carrier that is contracted or pursuing a contract with the U.S. Department of Defense (DOD).
Domestic operation means any scheduled operation conducted by any person operating any aircraft described in paragraph (1) of this definition at locations described in paragraph (2) of this definition:
(1) Airplanes or powered-lift that:
(i) Are turbojet-powered;
(ii) Have a passenger-seat configuration of more than 9 passenger seats, excluding each crewmember seat; or
(iii) Have a payload capacity of more than 7,500 pounds.
(2) Locations:
(i) Between any points within the 48 contiguous States of the United States or the District of Columbia; or
(ii) Operations solely within the 48 contiguous States of the United States or the District of Columbia; or
(iii) Operations entirely within any State, territory, or possession of the United States; or
(iv) When specifically authorized by the Administrator, operations between any point within the 48 contiguous States of the United States or the District of Columbia and any specifically authorized point located outside the 48 contiguous States of the United States or the District of Columbia.
Empty weight means the weight of the airframe, engines, propellers, rotors, and fixed equipment. Empty weight excludes the weight of the crew and payload, but includes the weight of all fixed ballast, unusable fuel supply, undrainable oil, total quantity of engine coolant, and total quantity of hydraulic fluid.
Flag operation means any scheduled operation conducted by any person operating any aircraft described in paragraph (1) of this definition at locations described in paragraph (2) of this definition:
(1) Airplanes or powered-lift that:
(i) Are turbojet-powered;
(ii) Have a passenger-seat configuration of more than 9 passenger seats, excluding each crewmember seat; or
(iii) Have a payload capacity of more than 7,500 pounds.
(2) Locations:
(i) Between any point within the State of Alaska or the State of Hawaii or any territory or possession of the United States and any point outside the State of Alaska or the State of Hawaii or any territory or possession of the United States, respectively; or
(ii) Between any point within the 48 contiguous States of the United States or the District of Columbia and any point outside the 48 contiguous States of the United States and the District of Columbia; or
(iii) Between any point outside the U.S. and another point outside the U.S.
Justifiable aircraft equipment means any equipment necessary for the operation of the aircraft. It does not include equipment or ballast specifically installed, permanently or otherwise, for the purpose of altering the empty weight of an aircraft to meet the maximum payload capacity.
Kind of operation means one of the various operations a certificate holder is authorized to conduct, as specified in its operations specifications, i.e., domestic, flag, supplemental, commuter, or on-demand operations.
Maximum payload capacity means:
(1) For an aircraft for which a maximum zero fuel weight is prescribed in FAA technical specifications, the maximum zero fuel weight, less empty weight, less all justifiable aircraft equipment, and less the operating load (consisting of minimum flightcrew, foods and beverages, and supplies and equipment related to foods and beverages, but not including disposable fuel or oil).
(2) For all other aircraft, the maximum certificated takeoff weight of an aircraft, less the empty weight, less all justifiable aircraft equipment, and less the operating load (consisting of minimum fuel load, oil, and flightcrew). The allowance for the weight of the crew, oil, and fuel is as follows:
(i) Crew—for each crewmember required by the Federal Aviation Regulations—
(A) For male flightcrew members—180 pounds.
(B) For female flightcrew members—140 pounds.
(C) For male flight attendants—180 pounds.
(D) For female flight attendants—130 pounds.
(E) For flight attendants not identified by gender—140 pounds.
(ii) Oil—350 pounds or the oil capacity as specified on the Type Certificate Data Sheet.
(iii) Fuel—the minimum weight of fuel required by the applicable Federal Aviation Regulations for a flight between domestic points 174 nautical miles apart under VFR weather conditions that does not involve extended overwater operations.
Maximum zero fuel weight means the maximum permissible weight of an aircraft with no disposable fuel or oil. The zero fuel weight figure may be found in either the aircraft type certificate data sheet, the approved Aircraft Flight Manual, or both.
Noncommon carriage means an aircraft operation for compensation or hire that does not involve a holding out to others.
On-demand operation means any operation for compensation or hire that is one of the following:
(1) Passenger-carrying operations conducted as a public charter under part 380 of this chapter or any operations in which the departure time, departure location, and arrival location are specifically negotiated with the customer or the customer's representative that are any of the following types of operations:
(i) Common carriage operations conducted with airplanes or powered-lift, including any that are turbojet-powered, having a passenger-seat configuration of 30 seats or fewer, excluding each crewmember seat, and a payload capacity of 7,500 pounds or less. The operations described in this paragraph do not include operations using a specific airplane or powered-lift that is also used in domestic or flag operations and that is so listed in the operations specifications as required by § 119.49(a)(4) of this chapter for those operations are considered supplemental operations;
(ii) Noncommon or private carriage operations conducted with airplanes or powered-lift having a passenger-seat configuration of less than 20 seats, excluding each crewmember seat, and a payload capacity of less than 6,000 pounds; or
(iii) Any rotorcraft operation.
(2) Scheduled passenger-carrying operations conducted with one of the following types of aircraft, other than turbojet-powered aircraft, with a frequency of operations of less than five round trips per week on at least one route between two or more points according to the published flight schedules:
(i) Airplanes or powered-lift having a maximum passenger-seat configuration of 9 seats or less, excluding each crewmember seat, and a maximum payload capacity of 7,500 pounds or less; or
(ii) Rotorcraft.
(3) All-cargo operations conducted with airplanes or powered-lift having a payload capacity of 7,500 pounds or less, or with rotorcraft.
Passenger-carrying operation means any aircraft operation carrying any person, unless the only persons on the aircraft are those identified in §§ 121.583(a) or 135.85 of this chapter, as applicable. An aircraft used in a passenger-carrying operation may also carry cargo or mail in addition to passengers.
Principal base of operations means the primary operating location of a certificate holder as established by the certificate holder.
Provisional airport means an airport approved by the Administrator for use by a certificate holder for the purpose of providing service to a community when the regular airport used by the certificate holder is not available.
Regular airport means an airport used by a certificate holder in scheduled operations and listed in its operations specifications.
Scheduled operation means any common carriage passenger-carrying operation for compensation or hire conducted by an air carrier or commercial operator for which the certificate holder or its representative offers in advance the departure location, departure time, and arrival location. It does not include any passenger-carrying operation that is conducted as a public charter operation under part 380 of this chapter.
Supplemental operation means any common carriage operation for compensation or hire conducted with any aircraft described in paragraph (1) of this definition that is a type of operation described in paragraph (2) of this definition:
(1) Airplanes or powered-lift that:
(i) Have a passenger-seat configuration of more than 30 seats, excluding each crewmember seat.
(ii) Have a payload capacity of more than 7,500 pounds.
(iii) Are propeller-powered and:
(A) Have a passenger-seat configuration of more than 9 seats and less than 31 seats, excluding each crewmember seat; and
(B) Are used in domestic or flag operations but are so listed in the operations specifications as required by § 119.49(a)(4) of this chapter for such operations.
(iv) Are turbojet-powered and:
(A) Have a passenger seat configuration of 1 or more but less than 31 seats, excluding each crewmember seat; and
(B) Are used in domestic or flag operations and are so listed in the operations specifications as required by § 119.49(a)(4) of this chapter for such operations.
(2) Types of operation:
(i) Operations for which the departure time, departure location, and arrival location are specifically negotiated with the customer or the customer's representative.
(ii) All-cargo operations.
(iii) Passenger-carrying public charter operations conducted under part 380 of this chapter.
Wet lease means any leasing arrangement whereby a person agrees to provide an entire aircraft and at least one crewmember. A wet lease does not include a code-sharing arrangement.
When common carriage is not involved or operations not involving common carriage means any of the following:
(1) Noncommon carriage.
(2) Operations in which persons or cargo are transported without compensation or hire.
(3) Operations not involving the transportation of persons or cargo.
(4) Private carriage.
Years in service means the calendar time elapsed since an aircraft was issued its first U.S. or first foreign airworthiness certificate.
(a) This part prescribes rules governing the use of the Pilot Records Database (PRD).
(b) Except as provided in subsection (c) of this section, this part applies to:
(1) Each operator that holds an air carrier or operating certificate issued in accordance with part 119 of this chapter and is authorized to conduct operations under part 121, 125, or 135 of this chapter.
(2) Each operator that holds management specifications for a fractional ownership program issued in accordance with subpart K of part 91 of this chapter.
(3) Each operator that holds a letter of authorization issued in accordance with § 91.147 of this chapter.
(4) Each operator that operates two or more aircraft described in paragraph (b)(4)(i), (ii), or (iii) of this section, in furtherance of or incidental to a business, solely pursuant to the general operating and flight rules in part 91 of this chapter, or that operates aircraft pursuant to a Letter of Deviation Authority issued under § 125.3 of this chapter.
(i) Standard airworthiness airplanes that require a type rating under § 61.31(a) of this chapter.
(ii) Turbine-powered rotorcraft.
(iii) Large powered-lift.
(5) Each entity that conducts public aircraft operations as defined in 49 U.S.C. 40102(a)(41) on a flight that meets the qualification criteria for public aircraft status in 49 U.S.C. 40125, unless the entity is any branch of the United States Armed Forces, National Guard, or reserve component of the Armed Forces.
(6) Each trustee in bankruptcy of any operator or entity described in this paragraph, subject to the following criteria:
(i) If any operator subject to the requirements of this subpart files a petition for protection under the Federal bankruptcy laws, the trustee appointed by the bankruptcy court must comply with the requirements of subparts A and C of this part.
(ii) The operator may delegate its authority to the trustee appointed by the bankruptcy court to access the PRD on its behalf in accordance with § 111.20 or the trustee may submit an application to the FAA requesting access to the PRD consistent with the requirements of § 111.15.
(7) Each person that submits or is identified on the application described in § 111.15 and is approved by the Administrator to access the PRD.
(8) Each person who is employed as a pilot by, or is seeking employment as a pilot with, an operator subject to the applicability of this part.
(c) This part does not apply to foreign air carriers or operators subject to part 375 of this title.
(a) Compliance with this part is required by September 9, 2024, except as provided in §§ 111.15, 111.100, 111.200, and 111.255.
(b) Beginning on September 9, 2024, the Pilot Records Improvement Act (PRIA) ceases to be effective and will not be an available alternative to PRD for operators, entities, or trustees to which this subpart applies.
For purposes of this part, the term—
Authorized user means an individual who is employed by an operator, entity, or trustee and who is designated by a responsible person to access the PRD on behalf of the employer for purposes of reporting and evaluating records that pertain to an individual pilot applicant.
Begin service as a pilot means the earliest date on which a pilot serves as a pilot flight crewmember or is assigned duties as a pilot in flight for an operator or entity that is subject to the applicability of this part.
Final disciplinary action record means a last-in-time record of corrective or punitive action taken by an operator or entity who is subject to the applicability of this part in response to an event pertaining to pilot performance. No disciplinary action is considered final until the operator determines the action is not subject to any pending dispute.
Final separation from employment record means a last-in-time record of any action ending the employment relationship between a pilot and an operator or entity who is subject to the applicability of this part. No separation from employment is considered final until the operator determines the separation is not subject to any pending dispute.
Historical record means a record that an operator subject to the applicability of Subpart C of this part must generate and maintain in accordance with 49 U.S.C. 44703(h)(4) and must report to the PRD in accordance with 49 U.S.C. 44703(i)(15)(C)(iii).
PRD Date of Hire means:
(1) The earliest date on which an individual:
(i) Begins any form of required training in preparation for the individual's service as a pilot on behalf of an operator or entity subject to the applicability of this part; or
(ii) Performs any duty as a pilot for an operator or entity subject to the applicability of this part.
(2) This definition includes both direct employment and employment that occurs on a contract basis for any form of compensation.
Proxy means a person who is designated by a responsible person to access the PRD on behalf of an operator, entity, or trustee subject to the applicability of this part for purposes of reporting or retrieving records.
Record pertaining to pilot performance means a record of an activity or event directly related to a pilot's responsibilities or completion of the core duties in conducting safe aircraft operations, as assigned by the operator employing the pilot.
Reporting entity means an operator, entity, or trustee that is subject to the applicability of subpart C of part 111, including its responsible person, authorized users, and proxies.
Responsible person means the individual identified on the application required by § 111.15 and who meets at least one of the criteria in § 111.15(e).
Reviewing entity means operator that is subject to the applicability of subpart B of part 111, including its responsible person, authorized users, and proxies.
(a)(1) Each operator or entity to which this part applies that plans to initiate operations after September 8, 2021, must submit the application required by this section to the FAA at least 30 days before the operator or entity initiates aircraft operations.
(2) Within 30 days of appointment by a bankruptcy court as described in § 111.1(b)(6)(i), a trustee must submit the application required by this section or receive delegation of access from the applicable operator or entity.
(b) The application required by this section must contain the following information:
(1) The full name, job title, telephone number, and electronic mail address of the responsible person who is authorized to submit the application in accordance with paragraph (d) of this section;
(2) The name of the operator, entity, or trustee;
(3) The FAA air carrier or operating certificate number, as applicable; and
(4) Any other item the Administrator determines is necessary to verify the identity of all individuals designated by an operator, entity, or trustee to access the PRD.
(c) The application required by this section must be submitted by a responsible person who holds at least one of the following positions, unless otherwise approved by the Administrator:
(1) For each operator that holds an air carrier or operating certificate issued in accordance with part 119 for operations under part 121, a person serving in a management position required by § 119.65(a) of this chapter.
(2) For each operator that holds an operating certificate issued in accordance with part 119 for operations under part 125, a person serving in a management position required by § 125.25(a) of this chapter.
(3) For each operator that holds an operating certificate issued in accordance with part 119 for operations under part 135 using more than one pilot in its operations, a person serving in a management position required by § 119.69(a) of this chapter.
(4) For each operator that holds an operating certificate issued in accordance with part 119 for operations under part 135 authorized to use only one pilot in its operations, the pilot named in that certificate holder's operation specifications.
(5) For each operator that holds a letter of authorization issued in accordance with § 91.147 of this chapter, an individual designated as the responsible person on the operator's letter of authorization.
(6) For each operator that holds management specifications for a fractional ownership program issued in accordance with subpart K of part 91 of this chapter, an authorized individual designated by the fractional ownership program manager, as defined in § 91.1001(b) of this chapter, who is employed by the fractional ownership program and whose identity the Administrator has verified.
(7) For any other operator or entity subject to the applicability of this part, or any trustee appointed in a bankruptcy proceeding, an individual authorized to sign and submit the application required by this section who is employed by the operator and whose identity the Administrator has verified.
(d) Each operator, entity, or trustee must submit to the FAA—
(1) An amended application for database access no later than 30 days after any change to the information included on the initial application for database access occurs, except when the change pertains to the identification or designation of the responsible person.
(2) An amended application identifying another responsible person eligible for database access in accordance with this section, immediately when the operator, entity, or trustee is aware of information that would cause the current responsible person's database access to be cancelled or denied.
(e) Upon approval by the FAA of a request for access to the PRD, each person identified in paragraph (e) is authorized to:
(1) Access the database for purposes consistent with the provisions of this part, on behalf of the operator, entity, or trustee for which the person is authorized, for purposes consistent with the provisions of this part; and
(2) Delegate PRD access to authorized users and proxies in accordance with § 111.20.
(a) Delegation. The responsible person may delegate PRD access to authorized users or proxies for purposes of compliance by the operator, entity, or trustee with the requirements of subpart B or C of this part.
(b) Terms for access. No person may use the PRD for any purpose other than to inform a hiring decision concerning a pilot or to report information on behalf of the operator, entity, or trustee.
(c) Continuing access for authorized users and proxies. PRD access by authorized users and proxies is contingent on the continued validity of the responsible person's electronic access. If a responsible person's electronic access is cancelled, the database access of authorized users and proxies will be cancelled unless the operator, entity, or trustee submits an amended application for database access and receives FAA approval of that application in accordance with § 111.15.
(a) The Administrator may deny PRD access to any person for failure to comply with any of the duties or responsibilities prescribed by this part or as necessary to preserve the security and integrity of the database, which includes but is not limited to—
(1) Making a fraudulent or intentionally false report of information to the database; or
(2) Misusing or misappropriating user rights or protected information in the database.
(b) The Administrator may deny any operator or entity access to the PRD if the Administrator revokes or suspends the operating certificate or other authorization to operate.
(c) Any person whose access to the database has been denied by the Administrator may submit a request for reconsideration of the denial in a form and manner the Administrator provides. Database access will not be permitted pending reconsideration.
(a) No person may access the database for any purpose other than the purposes provided by this part.
(b) No person may share, distribute, publish, or otherwise release any record accessed in the database to any person or individual not directly involved in the hiring decision, unless specifically authorized by law or unless the person sharing or consenting to share the record is the subject of the record.
(c) Each person that accesses the PRD to retrieve a pilot's records must protect the confidentiality of those records and the privacy of the pilot as to those records.
(a) The Administrator will maintain a pilot's records in the PRD for the life of the pilot. Any person requesting removal of the records pertaining to an individual pilot must notify the FAA of the pilot's death in a form and manner acceptable to the Administrator.
(b) The notification must include the following:
(1) The full name of the pilot as it appears on his or her pilot certificate;
(2) The pilot's FAA-issued certificate number; and
(3) A certified copy of the individual's certificate of death.
(a) This subpart prescribes requirements for the following reviewing entities:
(1) Each operator that holds an air carrier or operating certificate issued by the Administrator in accordance with part 119 of this chapter and is authorized to conduct operations under part 121, part 125, or part 135 of this chapter.
(2) Each operator that holds management specifications to operate in accordance with subpart K of part 91 of this chapter.
(3) Each operator that holds a letter of authorization to conduct air tour operations in accordance with § 91.147 of this chapter.
(b) If an operator described in § 111.1(b)(4) or an entity described in § 111.1(b)(5) accesses the PRD to review records in accordance with this subpart, the operator or entity must comply with § 111.120.
(a) Except as provided in § 111.115, no reviewing entity may permit an individual to begin service as a pilot until the reviewing entity has evaluated all relevant information in the PRD.
(b) Evaluation must include review of all of the following information pertaining to that pilot:
(1) All FAA records in the PRD as described in § 111.135.
(2) All records in the PRD submitted by a reporting entity.
(3) All motor vehicle driving records obtained in accordance with § 111.110.
(4) The employment history the pilot provides to the PRD in accordance with subpart D of this part. If, upon review of the employment history provided by the pilot and the records described in (b)(2) of this section, a reviewing entity determines that records might be available that the pilot's previous employer has not yet uploaded in the database, the reviewing entity must submit a request to the pilot's previous employer(s) through the PRD to report any applicable records in accordance with the process in § 111.215(b).
(a) Except as provided in paragraph (d) of this section, no reviewing entity may permit an individual to begin service as a pilot unless the reviewing entity has requested and evaluated all relevant information identified through a National Driver Register (NDR) search set forth in chapter 303 of Title 49 concerning the individual's motor vehicle driving history in accordance with the following:
(1) The reviewing entity must obtain the written consent of that individual, in accordance with § 111.310, before requesting an NDR search for the individual's State motor vehicle driving records;
(2) After obtaining the written consent of the individual, the reviewing entity must submit a request to the NDR to determine whether any State maintains relevant records pertaining to that individual; and
(3) When the NDR search result is returned, if the NDR search result indicates that records exist concerning that individual, the reviewing entity must submit a request for the relevant motor vehicle driving records to each chief driver licensing official of each State identified in the NDR search result.
(b) Each reviewing entity must document in the PRD that the reviewing entity complied with this section, as prescribed at § 111.240.
(c) Upon the Administrator's request, each reviewing entity must provide documentation showing the reviewing entity has conducted the search required by paragraph (a). The reviewing entity must retain this documentation for five years.
(d) This section does not apply to operators described in § 111.100(a)(2) through (3).
Reviewing entities may allow an individual to begin service as a pilot without first evaluating records in accordance with § 111.105 only if the reviewing entity—
(a) Made a documented, good faith attempt to access all necessary information maintained in the PRD that the reviewing entity is required to evaluate; and
(b) Received notice from the Administrator that information is missing from the PRD pertaining to the individual's employment history as a pilot.
(a) No reviewing entity may retrieve records in the PRD pertaining to any pilot prior to receiving that pilot's written consent authorizing the release of that pilot's information maintained in the PRD.
(b) The consent required in paragraph (a) of this section must be documented by that pilot in accordance with § 111.310.
(c) Any pilot who submits written consent to a reviewing entity in accordance with § 111.310(c) may request a copy of any State motor vehicle driving records the reviewing entity obtained regarding that pilot in accordance with § 111.110. The reviewing entity must provide to the pilot all copies of State motor vehicle driving records obtained within 30 days of receiving the request from that pilot.
No reviewing entity may permit an individual to begin service as a pilot unless a responsible person or authorized user has accessed and evaluated all relevant FAA records for that individual in the PRD, including:
(a) Records related to current pilot and medical certificate information, including associated type ratings and information on any limitations to those certificates and ratings.
(b) Records maintained by the Administrator concerning any failed attempt of an individual to pass a practical test required to obtain a certificate or type rating under part 61 of this chapter.
(c) Records related to enforcement actions resulting in a finding by the Administrator, which was not subsequently overturned, of a violation of title 49 of the United States Code or a regulation prescribed or order issued under that title.
(d) Records related to an individual acting as pilot in command or second in command during an aviation accident or incident.
(e) Records related to an individual's pre-employment drug and alcohol testing history and other U.S. Department of Transportation drug and alcohol testing including:
(1) Verified positive drug test results;
(2) Alcohol misuse violations, including confirmed alcohol results of 0.04 or greater; and
(3) Refusals to submit to drug or alcohol testing.
(a) This subpart prescribes the requirements for reporting records to the PRD about individuals employed as pilots and applies to the following reporting entities:
(1) Each operator that holds an air carrier or operating certificate issued in accordance with part 119 of this chapter and is authorized to conduct operations under part 121, 125, or 135 of this chapter.
(2) Each operator that holds management specifications to operate in accordance with subpart K of part 91 of this chapter.
(3) Each operator that holds a letter of authorization to conduct air tour operations in accordance with § 91.147 of this chapter.
(4) Each operator described in § 111.1(b)(4).
(5) Each entity that conducts public aircraft operations as described in § 111.1(b)(5).
(6) The trustee in bankruptcy of any operator described in this section.
(b) Compliance is required for this subpart as follows:
(1) Compliance with this subpart is required within 30 days of the reporting entity commencing aircraft operations.
(2) Specific compliance dates for records described in § 111.205(b)(2) are set forth in § 111.255.
(a) Each reporting entity must provide the information required in paragraph (b) of this section for any individual employed as a pilot beginning on the PRD date of hire for that individual.
(b) Each reporting entity must report the following records to the PRD for each individual employed as a pilot:
(1) All records described in §§ 111.220 through 111.240 generated on or after June 10, 2022;
(2) The PRD date of hire.
(c) No person may enter or cause to be entered into the PRD any information described in § 111.245.
Each reporting entity must report to the PRD all records required by this subpart for each individual the reporting entity employed as a pilot in a form and manner prescribed by the Administrator.
(a) Except as provided in paragraph (b) of this section, all records required to be reported to the PRD under this subpart must be reported within 30 days of the effective date of the record, or within 30 days of the record becoming final when the record is a disciplinary action record or a separation from employment record.
(b) Each operator conducting an operation described in § 111.1(b)(4), entity conducting a public aircraft operation, operator conducting an air tour operation under § 91.147, or a trustee for such an operator or entity must either comply with paragraph (a) of this section or report and retain pilot records in accordance with all requirements of this paragraph.
(1) Operators, entities, or trustees listed in this paragraph (b) must report a record described in § 111.225, § 111.230, or § 111.235 to the PRD upon receipt of a request from a reviewing entity within 14 days, unless the record memorializes one or more of the following:
(i) A disciplinary action that resulted in permanent or temporary removal of the pilot from aircraft operations as described in § 111.230, which must be reported in accordance with paragraph (a) of this section.
(ii) A separation from employment action resulting from a termination as described in § 111.235, which must be reported in accordance with paragraph (a) of this section.
(2) If no records are available at time of request from a reviewing entity, the operator, entity, or trustee must provide written confirmation within 14 of the days of the request to the PRD that no records are available.
(3) An operator, entity, or trustee must retain a record eligible to be reported upon request under paragraph (b)(1) of this section for five years from the date of creation, unless the operator or entity already reported that record to the PRD.
(c) For records created before June 10, 2022, and maintained in accordance with PRIA, an operator, entity, or trustee listed in paragraph (b) of this section must continue to maintain all records that would have been provided in response to a PRIA request for five years from the date of creation of the record, and must report that record upon request from a reviewing entity in accordance with paragraph (b).
(a) Each operator or trustee required to comply with part 120 of this chapter and subject to the applicability of this subpart must report to the PRD the following records for each individual whom the reporting entity has employed as a pilot:
(1) Records concerning drug testing, including—
(i) Any drug test result verified positive by a Medical Review Officer, that the Medical Review Officer and employer must retain in accordance with § 120.111(a)(1) of this chapter and 49 CFR 40.333(a)(1)(ii);
(ii) Any refusal to submit to drug testing or records indicating substituted or adulterated drug test results, which the employer must retain in accordance with 49 CFR 40.333(a)(1)(iii);
(iii) All return-to-duty drug test results verified by a Medical Review Officer, that the employer must retain in accordance with 49 CFR 40.333(a)(1)(ii) or (iii) or (a)(4);
(iv) All follow-up drug test results verified by a Medical Review Officer, which the employer must retain in accordance with 49 CFR 40.333(a)(1)(v).
(2) Records concerning alcohol misuse, including—
(i) A test result with a confirmed breath alcohol concentration of 0.04 or greater, which the employer must retain in accordance with § 120.219(a)(2)(i)(B) of this chapter;
(ii) Any record pertaining to an occurrence of on-duty alcohol use, pre-duty alcohol use, or alcohol use following an accident, which the employer must retain in accordance with § 120.219(a)(2)(i)(D) of this chapter;
(iii) Any refusal to submit to alcohol testing, that the employer must retain in accordance with § 120.219(a)(2)(i)(B) of this chapter and 49 CFR 40.333(a)(1)(iii);
(iv) All return-to-duty alcohol test results, that the employer must retain in accordance with 49 CFR 40.333(a)(1)(i) or (iii) or (a)(4);
(v) All follow-up alcohol test results, which the employer must retain in accordance with 49 CFR 40.333(a)(1)(v).
(b) Each record reported to the PRD in accordance with paragraph (a) of this section must include the following:
(1) In the case of a drug or alcohol test result:
(i) The type of test administered;
(ii) The date the test was administered; and
(iii) The result of the test.
(2) In the case of alcohol misuse, as described in paragraph (a)(2)(ii) of this section:
(i) The type of each alcohol misuse violation;
(ii) The date of each alcohol misuse violation.
(c) In addition to the requirements of §§ 120.113(d)(3) and 120.221(c), operators required to report in accordance with this section must report records within 30 days of the following occurrences, as applicable:
(1) The date of verification of the drug test result;
(2) The date of the alcohol test result;
(3) The date of the refusal to submit to testing; or
(4) The date of the alcohol misuse occurrence.
(a) Except as provided in paragraph (b) of this section, each reporting entity must provide to the PRD the following records for each individual whom the reporting entity has employed as a pilot:
(1) Records establishing an individual's compliance with FAA-required training, qualifications, and proficiency events, which the reporting entity maintains pursuant to § 91.1027(a)(3), § 121.683, § 125.401 or § 135.63(a)(4) of this chapter, as applicable, including comments and evaluations made by a check pilot or evaluator; and
(2) Other records the reporting entity maintains documenting an individual's compliance with FAA or employer-required training, checking, testing, proficiency, or other events related to pilot performance concerning the training, qualifications, proficiency, and professional competence of the individual, including any comments and evaluations made by a check pilot or evaluator.
(b) No person may report any of the following information for inclusion in the PRD:
(1) Records related to flight time, duty time, and rest time.
(2) Records demonstrating compliance with physical examination requirements or any other protected medical records.
(3) Records documenting recent flight experience.
(4) Records identified in § 111.245.
(c) Each record reported to the PRD in accordance with paragraph (a) of this section must include:
(1) Date of the event;
(2) Aircraft type, if applicable;
(3) Duty position of the pilot, if applicable;
(4) Training program approval part and subpart of this chapter, as applicable;
(5) Crewmember training and qualification curriculum and category of training as reflected in either a FAA-approved or employer-mandated training program;
(6) Result of the event (satisfactory or unsatisfactory);
(7) Comments of check pilot or evaluator, if applicable under part 91, 121, 125, or 135 of this chapter. For unsatisfactory events, the tasks or maneuvers considered unsatisfactory must be included.
(d) An operator, entity, or trustee that complies with § 111.215(b) must report records in accordance with paragraphs (a) through (c) of this section upon request, if that operator or entity possesses those records.
(e)(1) Each reporting entity must provide a record within 30 days of creating that record, in accordance with § 111.215(a), unless the reporting entity is an operator, entity, or trustee complying with § 111.215(b).
(2) An operator, entity, or trustee complying with § 111.215(b) must provide records described in this section or a statement that it does not have any records described in this section within 14 days of receiving a request from a reviewing entity.
(a) Except as provided in paragraph (b) of this section, each reporting entity must provide to the PRD any final disciplinary action record pertaining to pilot performance with respect to an individual whom the reporting entity has employed as a pilot.
(b) No person may report to the PRD any record of disciplinary action that was subsequently overturned because the event prompting the action did not occur or the pilot was not at fault as determined by—
(1) A documented agreement between the employer and the pilot; or
(2) The official and final decision or order of any panel or person with authority to review employment disputes, or by any court of law.
(c) If a reporting entity receives notice that any disciplinary action record reported to the PRD under paragraph (a) of this section was overturned in accordance with paragraph (b), that entity must correct the pilot's PRD record in accordance with § 111.250 within 10 days.
(d) Each final disciplinary action record that must be reported to the PRD under paragraph (a) of this section must include the following information:
(1) The type of disciplinary action taken by the employer, including written warning, suspension, or termination;
(2) Whether the disciplinary action resulted in permanent or temporary removal of the pilot from aircraft operations;
(3) The date the disciplinary action occurred; and
(4) Whether there are additional documents available that are relevant to the record.
(e) An operator, entity, or trustee complying with § 111.215(b) must report records described in paragraphs (a) through (d) of this section upon request, unless the disciplinary action resulted in permanent or temporary removal of the pilot from aircraft operations. If the disciplinary action resulted in permanent or temporary removal of the pilot from aircraft operations, the operator, entity, or trustee must report the record in accordance with § 111.215(a).
(f)(1) A reporting entity must provide records of final disciplinary actions no later than 30 days after the action is final, unless the reporting entity is an operator, entity or trustee complying with § 111.215(b).
(2) An operator, entity or trustee complying with § 111.215(b) must report records described in this section, or state that it does not have any applicable records, within 14 days of receiving a request from a reviewing entity.
(g) Each reporting entity must:
(1) Retain documents relevant to the record reported under paragraph (a) of this section for five years, if available; and
(2) Provide such documents upon request within 14 days to:
(i) A reviewing entity; or
(ii) The pilot that is the subject of the record.
(a) Except as provided in paragraph (b) of this section, each reporting entity must provide to the PRD the following records for each individual whom the reporting entity has employed as a pilot:
(1) Records concerning separation from employment kept pursuant to § 91.1027(a)(3), § 121.683, § 125.401 or § 135.63(a)(4) of this chapter; and
(2) Records pertaining to pilot performance kept concerning separation from employment for each pilot that it employs.
(b) No person may report to the PRD any record regarding separation from employment that was subsequently overturned because the event prompting the action did not occur or the pilot was not at fault as determined by—
(1) A documented agreement between the employer and the pilot; or
(2) The official and final decision or order of any panel or individual given authority to review employment disputes, or by any court of law.
(c) If a reporting entity receives notice that any separation from employment record reported to the PRD under paragraph (a) of this section was overturned in accordance with paragraph (b) of this section, that entity must correct the pilot's PRD record in accordance with § 111.250 within 10 days.
(d) Each separation from employment action record that must be reported to the PRD in accordance with paragraph (a) of this section must include a statement of the purpose for the separation from employment action, including:
(1) Whether the separation resulted from a termination as a result of pilot performance, including professional disqualification;
(2) Whether the separation is based on another reason, including but not limited to physical (medical) disqualification, employer-initiated separation not related to pilot performance, or any resignation, including retirement;
(3) The date of separation from employment; and
(4) Whether there are additional documents available that are relevant to the record.
(e) An operator, entity, or trustee complying with § 111.215(b) must report the records described in paragraphs (a) through (d) of this section upon request, unless the separation from employment action resulted from a termination. If the separation from employment record resulted from a termination, the operator, entity, or trustee must report the record in accordance with § 111.215(a).
(f)(1) A reporting entity must provide any records of separation from employment actions no later than 30 days after the date of separation from employment is final, unless the reporting entity is an operator, entity, or trustee complying with § 111.215(b).
(2) An operator, entity, or trustee complying with § 111.215(b) must report records described in this section or state that it does not have any applicable records within 14 days of receiving a request from a reviewing entity.
(g) Each reporting entity must:
(1) Retain documents relevant to the record reported under paragraph (a) of this section for five years, if available; and
(2) Provide such documents upon request within 14 days to:
(i) A reviewing entity; or
(ii) The pilot that is the subject of the record.
(a) Each operator subject to the requirements of § 111.110 of this part must document in the PRD within 45 days of the pilot's PRD date of hire that the operator met the requirements of § 111.110.
(b) No operator may report any substantive information from State motor vehicle driving records pertaining to any individual obtained in accordance with § 111.110 for inclusion in the PRD.
No person may report any pilot record for inclusion in the PRD that was reported by any individual as part of any approved Voluntary Safety Reporting Program for which the FAA has designated reported information as protected in accordance with part 193 of this chapter.
(a) A reporting entity that discovers or is informed of a perceived error or inaccuracy in information previously reported to the PRD must correct that record in the PRD within 10 days of identification, or initiate dispute resolution in accordance with paragraph (b) of this section.
(b) Each reporting entity must—
(1) Initiate investigation of any dispute within 30 days of determining that it does not agree that the record identified is inaccurate.
(2) Provide final disposition within a reasonable amount of time to any request for dispute resolution made by an individual about PRD records.
(3) Document in the PRD the final disposition of any dispute made by a pilot in accordance with this paragraph (b) and § 111.320.
(a) Each operator that holds an air carrier certificate issued in accordance with part 119 of this chapter and is authorized to conduct operations under part 121 or part 135 of this chapter must report to the PRD all historical records kept in accordance with PRIA dating from August 1, 2005 until June 10, 2022, in a form and manner prescribed by the Administrator.
(b) Each operator that holds an operating certificate issued in accordance with part 119 of this chapter and is authorized to conduct operations under part 121, 125, or 135 of this chapter or that holds management specifications to operate in accordance with subpart K of part 91 of this chapter must report to the PRD all historical records kept in accordance with PRIA dating from August 1, 2010, until June 10, 2022, in a form and manner prescribed by the Administrator.
(c) If an operator required to report historical records to the PRD in accordance with this section is appointed a trustee in a bankruptcy proceeding, the trustee must report the operator's historical records.
(d) Compliance for reporting historical records that date on or after January 1, 2015, is required by June 12, 2023. Compliance for records that date before January 1, 2015, is required by September 9, 2024.
(e) An operator or trustee subject to the applicability of this subpart must maintain all historical records reported to the PRD in accordance with paragraphs (a) and (b) of this section for at least five years after reporting those records.
(f) An operator or trustee is not required to report historical records for any individual who is 99 years of age or older on June 10, 2022.
(g)(1)The Administrator may authorize a request for deviation from paragraph (d) of this section based on a determination that a delay in compliance, due to circumstance beyond control of the operatoror trustee reporting historical records, would not adversely affect safety.
(2) A request for deviation from paragraph (d) of this section must include the following information:
(i) The name of the operator or trustee;
(ii) The name of the responsible person;
(iii) The name of the pilot(s) who are the subject of the record;
(iv) Historical record type for which deviation is requested;
(v) Date range of records; and
(vi) Justification for the request for deviation, including a description of the circumstance referenced in (g)(1).
(3) Operators and trustees granted deviation in accordance with this paragraph must continue to retain historical records and respond to requests for such records for the term of that deviation in a form and manner prescribed by the Administrator.
(4) The Administrator may, at any time, terminate a grant of deviation issued under this paragraph.
This subpart applies to each individual who is employed as a pilot by, or is seeking employment as a pilot with, an operator or entity subject to the applicability of this part, as set forth in § 111.1.
(a) A pilot must request electronic access to the PRD by submitting an application in a form and manner acceptable to the Administrator. Except as provided in § 111.315(c), electronic access to the PRD is required when—
(1) The pilot seeks to review and obtain a copy of that pilot's own comprehensive PRD record;
(2) The pilot gives consent to a particular operator to access that pilot's comprehensive PRD record; or
(3) The pilot exercises any other privileges provided by this part.
(b) The application required in paragraph (a) of this section must include, at a minimum, the following information:
(1) The pilot's full name as it appears on his or her pilot certificate.
(2) The pilot's FAA-issued certificate number.
(3) A current mailing address and telephone number.
(4) An electronic mail address.
(5) Any additional information that the Administrator might request to verify the identity of the pilot requesting access to the PRD.
(c) The application required in paragraph (a) of this section must be submitted at least 7 days before the pilot seeks to access the PRD.
(a) Before any operator may access a pilot's records in the PRD, that pilot must apply for access to the PRD in accordance with § 111.305 and provide written consent to the FAA for release of that pilot's records to the operator, in a form and manner acceptable to the Administrator.
(b) Provision of consent must include an affirmation that the employment history of the pilot for five years preceding the date of consent is accurate and complete. If the pilot finds the employment history is not complete, the pilot must update the employment history to list all past employers.
(c) Before an operator submits a request to the NDR for an individual's motor vehicle driving record for purposes of compliance with § 111.110, the individual must provide written consent specific to the NDR search.
(a) Once a pilot has received electronic access in accordance with § 111.305, the pilot may access the PRD to review all records pertaining to that pilot.
(b) A pilot who submits written consent to a reviewing entity in accordance with § 111.310(c) may request a copy of any State motor vehicle driving records obtained by the reviewing entity in accordance with § 111.110.
(c) A pilot may review all records contained in the PRD pertaining to that pilot, without accessing the PRD and without obtaining electronic access issued in accordance with § 111.305, upon submission of a form provided by the Administrator to confirm the pilot's identity.
A pilot who identifies an error or inaccuracy in that pilot's PRD records must report the error or inaccuracy to the PRD in a form and manner acceptable to the Administrator.
(a) This part prescribes flight and duty limitations and rest requirements for all flightcrew members and certificate holders conducting passenger operations under part 121 of this chapter.
(b) This part applies to all operations directed by part 121 certificate holders under part 91, other than subpart K, of this chapter if any segment is conducted as a domestic passenger, flag passenger, or supplemental passenger operation.
(c) This part applies to all flightcrew members when participating in an operation under part 91, other than subpart K of this chapter, on behalf of the part 121 certificate holder if any flight segment is conducted as a domestic passenger, flag passenger, or supplemental passenger operation
(d) Notwithstanding paragraphs (a), (b) and (c) of this section, a certificate holder may conduct under part 117 its part 121 operations pursuant to 121.470, 121.480, or 121.500.
In addition to the definitions in §§ 1.1 and 110.2 of this chapter, the following definitions apply to this part. In the event there is a conflict in definitions, the definitions in this part control for purposes of the flight and duty limitations and rest requirements of this part.
Acclimated means a condition in which a flightcrew member has been in a theater for 72 hours or has been given at least 36 consecutive hours free from duty.
Airport/standby reserve means a defined duty period during which a flightcrew member is required by a certificate holder to be at an airport for a possible assignment.
Augmented flightcrew means a flightcrew that has more than the minimum number of flightcrew members required by the airplane type certificate to operate the aircraft to allow a flightcrew member to be replaced by another qualified flightcrew member for in-flight rest.
Calendar day means a 24-hour period from 0000 through 2359 using Coordinated Universal Time or local time.
Certificate holder means a person who holds or is required to hold an air carrier certificate or operating certificate issued under part 119 of this chapter.
Deadhead transportation means transportation of a flightcrew member as a passenger or non-operating flightcrew member, by any mode of transportation, as required by a certificate holder, excluding transportation to or from a suitable accommodation. All time spent in deadhead transportation is duty and is not rest. For purposes of determining the maximum flight duty period in Table B of this part, deadhead transportation is not considered a flight segment.
Duty means any task that a flightcrew member performs as required by the certificate holder, including but not limited to flight duty period, flight duty, pre- and post-flight duties, administrative work, training, deadhead transportation, aircraft positioning on the ground, aircraft loading, and aircraft servicing.
Fatigue means a physiological state of reduced mental or physical performance capability resulting from lack of sleep or increased physical activity that can reduce a flightcrew member's alertness and ability to safely operate an aircraft or perform safety-related duties.
Fatigue risk management system (FRMS) means a management system for a certificate holder to use to mitigate the effects of fatigue in its particular operations. It is a data-driven process and a systematic method used to continuously monitor and manage safety risks associated with fatigue-related error.
Fit for duty means physiologically and mentally prepared and capable of performing assigned duties at the highest degree of safety.
Flight duty period (FDP) means a period that begins when a flightcrew member is required to report for duty with the intention of conducting a flight, a series of flights, or positioning or ferrying flights, and ends when the aircraft is parked after the last flight and there is no intention for further aircraft movement by the same flightcrew member. A flight duty period includes the duties performed by the flightcrew member on behalf of the certificate holder that occur before a flight segment or between flight segments without a required intervening rest period. Examples of tasks that are part of the flight duty period include deadhead transportation, training conducted in an aircraft or flight simulator, and airport/standby reserve, if the above tasks occur before a flight segment or between flight segments without an intervening required rest period.
Home base means the location designated by a certificate holder where a flightcrew member normally begins and ends his or her duty periods.
Lineholder means a flightcrew member who has an assigned flight duty period and is not acting as a reserve flightcrew member.
Long-call reserve means that, prior to beginning the rest period required by § 117.25, the flightcrew member is notified by the certificate holder to report for a flight duty period following the completion of the rest period.
Physiological night's rest means 10 hours of rest that encompasses the hours of 0100 and 0700 at the flightcrew member's home base, unless the individual has acclimated to a different theater. If the flightcrew member has acclimated to a different theater, the rest must encompass the hours of 0100 and 0700 at the acclimated location.
Report time means the time that the certificate holder requires a flightcrew member to report for an assignment.
Reserve availability period means a duty period during which a certificate holder requires a flightcrew member on short call reserve to be available to receive an assignment for a flight duty period.
Reserve flightcrew member means a flightcrew member who a certificate holder requires to be available to receive an assignment for duty.
Rest facility means a bunk or seat accommodation installed in an aircraft that provides a flightcrew member with a sleep opportunity.
(1) Class 1 rest facility means a bunk or other surface that allows for a flat sleeping position and is located separate from both the flight deck and passenger cabin in an area that is temperature-controlled, allows the flightcrew member to control light, and provides isolation from noise and disturbance.
(2) Class 2 rest facility means a seat in an aircraft cabin that allows for a flat or near flat sleeping position; is separated from passengers by a minimum of a curtain to provide darkness and some sound mitigation; and is reasonably free from disturbance by passengers or flightcrew members.
(3) Class 3 rest facility means a seat in an aircraft cabin or flight deck that reclines at least 40 degrees and provides leg and foot support.
Rest period means a continuous period determined prospectively during which the flightcrew member is free from all restraint by the certificate holder, including freedom from present responsibility for work should the occasion arise.
Scheduled means to appoint, assign, or designate for a fixed time.
Short-call reserve means a period of time in which a flightcrew member is assigned to a reserve availability period.
Split duty means a flight duty period that has a scheduled break in duty that is less than a required rest period.
Suitable accommodation means a temperature-controlled facility with sound mitigation and the ability to control light that provides a flightcrew member with the ability to sleep either in a bed, bunk or in a chair that allows for flat or near flat sleeping position. Suitable accommodation only applies to ground facilities and does not apply to aircraft onboard rest facilities.
Theater means a geographical area in which the distance between the flightcrew member's flight duty period departure point and arrival point differs by no more than 60 degrees longitude.
Unforeseen operational circumstance means an unplanned event of insufficient duration to allow for adjustments to schedules, including unforecast weather, equipment malfunction, or air traffic delay that is not reasonably expected.
Window of circadian low means a period of maximum sleepiness that occurs between 0200 and 0559 during a physiological night.
(a) Each flightcrew member must report for any flight duty period rested and prepared to perform his or her assigned duties.
(b) No certificate holder may assign and no flightcrew member may accept assignment to a flight duty period if the flightcrew member has reported for a flight duty period too fatigued to safely perform his or her assigned duties.
(c) No certificate holder may permit a flightcrew member to continue a flight duty period if the flightcrew member has reported him or herself too fatigued to continue the assigned flight duty period.
(d) As part of the dispatch or flight release, as applicable, each flightcrew member must affirmatively state he or she is fit for duty prior to commencing flight.
(a) No certificate holder may exceed any provision of this part unless approved by the FAA under a Fatigue Risk Management System that provides at least an equivalent level of safety against fatigue-related accidents or incidents as the other provisions of this part.
(b) The Fatigue Risk Management System must include:
(1) A fatigue risk management policy.
(2) An education and awareness training program.
(3) A fatigue reporting system.
(4) A system for monitoring flightcrew fatigue.
(5) An incident reporting process.
(6) A performance evaluation.
(a) Each certificate holder must develop and implement an education and awareness training program, approved by the Administrator. This program must provide annual education and awareness training to all employees of the certificate holder responsible for administering the provisions of this rule including flightcrew members, dispatchers, individuals directly involved in the scheduling of flightcrew members, individuals directly involved in operational control, and any employee providing direct management oversight of those areas.
(b) The fatigue education and awareness training program must be designed to increase awareness of:
(1) Fatigue;
(2) The effects of fatigue on pilots; and
(3) Fatigue countermeasures
(c) (1) Each certificate holder must update its fatigue education and awareness training program every two years and submit the update to the Administrator for review and acceptance.
(2) Not later than 12 months after the date of submission of the fatigue education and awareness training program required by (c)(1) of this section, the Administrator shall review and accept or reject the update. If the Administrator rejects an update, the Administrator shall provide suggested modifications for resubmission of the update.
(a) No certificate holder may schedule and no flightcrew member may accept an assignment or continue an assigned flight duty period if the total flight time:
(1) Will exceed the limits specified in Table A of this part if the operation is conducted with the minimum required flightcrew.
(2) Will exceed 13 hours if the operation is conducted with a 3-pilot flightcrew.
(3) Will exceed 17 hours if the operation is conducted with a 4-pilot flightcrew.
(b) If unforeseen operational circumstances arise after takeoff that are beyond the certificate holder's control, a flightcrew member may exceed the maximum flight time specified in paragraph (a) of this section and the cumulative flight time limits in 117.23(b) to the extent necessary to safely land the aircraft at the next destination airport or alternate, as appropriate.
(c) Each certificate holder must report to the Administrator within 10 days any flight time that exceeded the maximum flight time limits permitted by this section or § 117.23(b). The report must contain a description of the extended flight time limitation and the circumstances surrounding the need for the extension.
(a) Except as provided for in § 117.15, no certificate holder may assign and no flightcrew member may accept an assignment for an unaugmented flight operation if the scheduled flight duty period will exceed the limits in Table B of this part.
(b) If the flightcrew member is not acclimated:
(1) The maximum flight duty period in Table B of this part is reduced by 30 minutes.
(2) The applicable flight duty period is based on the local time at the theater in which the flightcrew member was last acclimated.
For an unaugmented operation only, if a flightcrew member is provided with a rest opportunity (an opportunity to sleep) in a suitable accommodation during his or her flight duty period, the time that the flightcrew member spends in the suitable accommodation is not part of that flightcrew member's flight duty period if all of the following conditions are met:
(a) The rest opportunity is provided between the hours of 22:00 and 05:00 local time.
(b) The time spent in the suitable accommodation is at least 3 hours, measured from the time that the flightcrew member reaches the suitable accommodation.
(c) The rest opportunity is scheduled before the beginning of the flight duty period in which that rest opportunity is taken.
(d) The rest opportunity that the flightcrew member is actually provided may not be less than the rest opportunity that was scheduled.
(e) The rest opportunity is not provided until the first segment of the flight duty period has been completed.
(f) The combined time of the flight duty period and the rest opportunity provided in this section does not exceed 14 hours.
(a) For flight operations conducted with an acclimated augmented flightcrew, no certificate holder may assign and no flightcrew member may accept an assignment if the scheduled flight duty period will exceed the limits specified in Table C of this part.
(b) If the flightcrew member is not acclimated:
(1) The maximum flight duty period in Table C of this part is reduced by 30 minutes.
(2) The applicable flight duty period is based on the local time at the theater in which the flightcrew member was last acclimated.
(c) No certificate holder may assign and no flightcrew member may accept an assignment under this section unless during the flight duty period:
(1) Two consecutive hours in the second half of the flight duty period are available for in-flight rest for the pilot flying the aircraft during landing.
(2) Ninety consecutive minutes are available for in-flight rest for the pilot performing monitoring duties during landing.
(d) No certificate holder may assign and no flightcrew member may accept an assignment involving more than three flight segments under this section.
(e) At all times during flight, at least one flightcrew member qualified in accordance with § 121.543(b)(3)(i) of this chapter must be at the flight controls.
(a) For augmented and unaugmented operations, if unforeseen operational circumstances arise prior to takeoff:
(1) The pilot in command and the certificate holder may extend the maximum flight duty period permitted in Tables B or C of this part up to 2 hours. The pilot in command and the certificate holder may also extend the maximum combined flight duty period and reserve availability period limits specified in § 117.21(c)(3) and (4) of this part up to 2 hours.
(2) An extension in the flight duty period under paragraph (a)(1) of this section of more than 30 minutes may occur only once prior to receiving a rest period described in § 117.25(b).
(3) A flight duty period cannot be extended under paragraph (a)(1) of this section if it causes a flightcrew member to exceed the cumulative flight duty period limits specified in 117.23(c).
(4) Each certificate holder must report to the Administrator within 10 days any flight duty period that exceeded the maximum flight duty period permitted in Tables B or C of this part by more than 30 minutes. The report must contain the following:
(i) A description of the extended flight duty period and the circumstances surrounding the need for the extension; and
(ii) If the circumstances giving rise to the extension were within the certificate holder's control, the corrective action(s) that the certificate holder intends to take to minimize the need for future extensions.
(5) Each certificate holder must implement the corrective action(s) reported in paragraph (a)(4) of this section within 30 days from the date of the extended flight duty period.
(b) For augmented and unaugmented operations, if unforeseen operational circumstances arise after takeoff:
(1) The pilot in command and the certificate holder may extend maximum flight duty periods specified in Tables B or C of this part to the extent necessary to safely land the aircraft at the next destination airport or alternate airport, as appropriate.
(2) An extension of the flight duty period under paragraph (b)(1) of this section of more than 30 minutes may occur only once prior to receiving a rest period described in § 117.25(b).
(3) An extension taken under paragraph (b) of this section may exceed the cumulative flight duty period limits specified in 117.23(c).
(4) Each certificate holder must report to the Administrator within 10 days any flight duty period that either exceeded the cumulative flight duty periods specified in § 117.23(c), or exceeded the maximum flight duty period limits permitted by Tables B or C of this part by more than 30 minutes. The report must contain a description of the circumstances surrounding the affected flight duty period.
(a) Unless specifically designated as airport/standby or short-call reserve by the certificate holder, all reserve is considered long-call reserve.
(b) Any reserve that meets the definition of airport/standby reserve must be designated as airport/standby reserve. For airport/standby reserve, all time spent in a reserve status is part of the flightcrew member's flight duty period.
(c) For short call reserve,
(1) The reserve availability period may not exceed 14 hours.
(2) For a flightcrew member who has completed a reserve availability period, no certificate holder may schedule and no flightcrew member may accept an assignment of a reserve availability period unless the flightcrew member receives the required rest in § 117.25(e).
(3) For an unaugmented operation, the total number of hours a flightcrew member may spend in a flight duty period and a reserve availability period may not exceed the lesser of the maximum applicable flight duty period in Table B of this part plus 4 hours, or 16 hours, as measured from the beginning of the reserve availability period.
(4) For an augmented operation, the total number of hours a flightcrew member may spend in a flight duty period and a reserve availability period may not exceed the flight duty period in Table C of this part plus 4 hours, as measured from the beginning of the reserve availability period.
(d) For long call reserve, if a certificate holder contacts a flightcrew member to assign him or her to a flight duty period that will begin before and operate into the flightcrew member's window of circadian low, the flightcrew member must receive a 12 hour notice of report time from the certificate holder.
(e) A certificate holder may shift a reserve flightcrew member's reserve status from long-call to short-call only if the flightcrew member receives a rest period as provided in § 117.25(e).
(a) The limitations of this section include all flying by flightcrew members on behalf of any certificate holder or 91K Program Manager during the applicable periods.
(b) No certificate holder may schedule and no flightcrew member may accept an assignment if the flightcrew member's total flight time will exceed the following:
(1) 100 hours in any 672 consecutive hours or
(2) 1,000 hours in any 365 consecutive calendar day period.
(c) No certificate holder may schedule and no flightcrew member may accept an assignment if the flightcrew member's total Flight Duty Period will exceed:
(1) 60 flight duty period hours in any 168 consecutive hours or
(2) 190 flight duty period hours in any 672 consecutive hours.
(a) No certificate holder may assign and no flightcrew member may accept assignment to any reserve or duty with the certificate holder during any required rest period.
(b) Before beginning any reserve or flight duty period a flightcrew member must be given at least 30 consecutive hours free from all duty within the past 168 consecutive hour period.
(c) If a flightcrew member operating in a new theater has received 36 consecutive hours of rest, that flightcrew member is acclimated and the rest period meets the requirements of paragraph (b) of this section.
(d) A flightcrew member must be given a minimum of 56 consecutive hours rest upon return to home base if the flightcrew member: (1) Travels more than 60° longitude during a flight duty period or a series of flight duty period, and (2) is away from home base for more than 168 consecutive hours during this travel. The 56 hours of rest specified in this section must encompass three physiological nights' rest based on local time.
(e) No certificate holder may schedule and no flightcrew member may accept an assignment for any reserve or flight duty period unless the flightcrew member is given a rest period of at least 10 consecutive hours immediately before beginning the reserve or flight duty period measured from the time the flightcrew member is released from duty. The 10 hour rest period must provide the flightcrew member with a minimum of 8 uninterrupted hours of sleep opportunity.
(f) If a flightcrew member determines that a rest period under paragraph (e) of this section will not provide eight uninterrupted hours of sleep opportunity, the flightcrew member must notify the certificate holder. The flightcrew member cannot report for the assigned flight duty period until he or she receives a rest period specified in paragraph (e) of this section.
(g) If a flightcrew member engaged in deadhead transportation exceeds the applicable flight duty period in Table B of this part, the flightcrew member must be given a rest period equal to the length of the deadhead transportation but not less than the required rest in paragraph (e) of this section before beginning a flight duty period.
A certificate holder may schedule and a flightcrew member may accept up to five consecutive flight duty periods that infringe on the window of circadian low if the certificate holder provides the flightcrew member with an opportunity to rest in a suitable accommodation during each of the consecutive nighttime flight duty periods. The rest opportunity must be at least 2 hours, measured from the time that the flightcrew member reaches the suitable accommodation, and must comply with the conditions specified in § 117.15(a), (c), (d), and (e). Otherwise, no certificate holder may schedule and no flightcrew member may accept more than three consecutive flight duty periods that infringe on the window of circadian low. For purposes of this section, any split duty rest that is provided in accordance with § 117.15 counts as part of a flight duty period.
(a) This section applies to operations conducted pursuant to contracts with the U.S. Government and operations conducted pursuant to a deviation under § 119.57 of this chapter that cannot otherwise be conducted under this part because of circumstances that could prevent flightcrew members from being relieved by another crew or safely provided with the rest required under § 117.25 at the end of the applicable flight duty period.
(b) The pilot-in-command may determine that the maximum applicable flight duty period, flight time, and/or combined flight duty period and reserve availability period limits must be exceeded to the extent necessary to allow the flightcrew to fly to the closest destination where they can safely be relieved from duty by another flightcrew or can receive the requisite amount of rest prior to commencing their next flight duty period.
(c) A flight duty period may not be extended for an operation conducted pursuant to a contract with the U.S. Government if it causes a flightcrew member to exceed the cumulative flight time limits in § 117.23(b) and the cumulative flight duty period limits in § 117.23(c).
(d) The flightcrew shall be given a rest period immediately after reaching the destination described in paragraph (b) of this section equal to the length of the actual flight duty period or 24 hours, whichever is less.
(e) Each certificate holder must report within 10 days:
(1) Any flight duty period that exceeded the maximum flight duty period permitted in Tables B or C of this part, as applicable, by more than 30 minutes;
(2) Any flight time that exceeded the maximum flight time limits permitted in Table A of this part and § 117.11, as applicable; and
(3) Any flight duty period or flight time that exceeded the cumulative limits specified in § 117.23.
(f) The report must contain the following:
(1) A description of the extended flight duty period and flight time limitation, and the circumstances surrounding the need for the extension; and
(2) If the circumstances giving rise to the extension(s) were within the certificate holder's control, the corrective action(s) that the certificate holder intends to take to minimize the need for future extensions.
(g) Each certificate holder must implement the corrective action(s) reported pursuant to paragraph (f)(2) of this section within 30 days from the date of the extended flight duty period and/or the extended flight time.
| Time of report
(acclimated) | Maximum
flight time (hours) |
|---|---|
| 0000-0459 | 8 |
| 0500-1959 | 9 |
| 2000-2359 | 8 |
| Scheduled time of start (acclimated time) | Maximum flight duty period (hours) for lineholders based on
number of flight segments | ||||||
|---|---|---|---|---|---|---|---|
| 1 | 2 | 3 | 4 | 5 | 6 | 7 + | |
| 0000-0359 | 9 | 9 | 9 | 9 | 9 | 9 | 9 |
| 0400-0459 | 10 | 10 | 10 | 10 | 9 | 9 | 9 |
| 0500-0559 | 12 | 12 | 12 | 12 | 11.5 | 11 | 10.5 |
| 0600-0659 | 13 | 13 | 12 | 12 | 11.5 | 11 | 10.5 |
| 0700-1159 | 14 | 14 | 13 | 13 | 12.5 | 12 | 11.5 |
| 1200-1259 | 13 | 13 | 13 | 13 | 12.5 | 12 | 11.5 |
| 1300-1659 | 12 | 12 | 12 | 12 | 11.5 | 11 | 10.5 |
| 1700-2159 | 12 | 12 | 11 | 11 | 10 | 9 | 9 |
| 2200-2259 | 11 | 11 | 10 | 10 | 9 | 9 | 9 |
| 2300-2359 | 10 | 10 | 10 | 9 | 9 | 9 | 9 |
| Scheduled time of start (acclimated time) | Maximum flight duty period (hours) based on rest facility and
number of pilots | |||||
|---|---|---|---|---|---|---|
| Class 1
rest facility | Class 2
rest facility | Class 3
rest facility | ||||
| 3 pilots | 4 pilots | 3 pilots | 4 pilots | 3 pilots | 4 pilots | |
| 0000-0559 | 15 | 17 | 14 | 15.5 | 13 | 13.5 |
| 0600-0659 | 16 | 18.5 | 15 | 16.5 | 14 | 14.5 |
| 0700-1259 | 17 | 19 | 16.5 | 18 | 15 | 15.5 |
| 1300-1659 | 16 | 18.5 | 15 | 16.5 | 14 | 14.5 |
| 1700-2359 | 15 | 17 | 14 | 15.5 | 13 | 13.5 |
(a) This part applies to each person operating or intending to operate civil aircraft—
(1) As an air carrier or commercial operator, or both, in air commerce; or
(2) When common carriage is not involved, in operations of any U.S.-registered civil airplane or powered-lift with a seat configuration of 20 or more passengers, or a maximum payload capacity of 6,000 pounds or more; or
(3) When noncommon carriage is involved, except as provided in § 91.501(b) of this chapter, or in private carriage for compensation or hire, in operations of any U.S.-registered civil airplane or powered-lift with a passenger-seat configuration of less than 20 seats and a payload capacity of less than 6,000 pounds.
(b) This part prescribes—
(1) The types of air operator certificates issued by the Federal Aviation Administration, including air carrier certificates and operating certificates;
(2) The certification requirements an operator must meet in order to obtain and hold a certificate authorizing operations under part 121, 125, or 135 of this chapter and operations specifications for each kind of operation to be conducted and each class and size of aircraft to be operated under part 121 or 135 of this chapter;
(3) The requirements an operator must meet to conduct operations under part 121, 125, or 135 of this chapter and in operating each class and size of aircraft authorized in its operations specifications;
(4) Requirements affecting wet leasing of aircraft and other arrangements for transportation by air;
(5) Requirements for obtaining deviation authority to perform operations under a military contract and obtaining deviation authority to perform an emergency operation; and
(6) Requirements for management personnel for operations conducted under part 121 or part 135 of this chapter.
(c) Persons subject to this part must comply with the other requirements of this chapter, except where those requirements are modified by or where additional requirements are imposed by part 119, 121, 125, or 135 of this chapter.
(d) This part does not govern operations conducted under part 91, subpart K (when common carriage is not involved) nor does it govern operations conducted under part 129, 133, 137, or 139 of this chapter.
(e) Except for operations when common carriage is not involved conducted with any airplane or powered-lift having a passenger-seat configuration of 20 seats or more, excluding any required crewmember seat, or a payload capacity of 6,000 pounds or more, this part does not apply to—
(1) Student instruction;
(2) Nonstop Commercial Air Tours that occur in an airplane, powered-lift, or rotorcraft having a standard airworthiness certificate and passenger-seat configuration of 30 seats or fewer and a maximum payload capacity of 7,500 pounds or less that begin and end at the same airport, and are conducted within a 25-statute mile radius of that airport, in compliance with the Letter of Authorization issued under § 91.147 of this chapter. For nonstop Commercial Air Tours conducted in accordance with part 136, subpart B, of this chapter, National Parks Air Tour Management, the requirements of this part apply unless excepted in § 136.37(g)(2). For Nonstop Commercial Air Tours conducted in the vicinity of the Grand Canyon National Park, Arizona, the requirements of SFAR 50-2, part 93, subpart U, of the chapter and this part, as applicable, apply.
(3) Ferry or training flights;
(4) Aerial work operations, including—
(i) Crop dusting, seeding, spraying, and bird chasing;
(ii) Banner towing;
(iii) Aerial photography or survey;
(iv) Fire fighting;
(v) Powered-lift or rotorcraft operations in construction or repair work (but part 119 of this chapter does apply to transportation to and from the site of operations); and
(vi) Powerline or pipeline patrol;
(5) Sightseeing flights conducted in hot air balloons or gliders;
(6) Nonstop flights conducted within a 25-statute-mile radius of the airport of takeoff carrying persons or objects for the purpose of conducting intentional parachute operations.
(7) Powered-lift or rotorcraft flights conducted within a 25 statute mile radius of the airport of takeoff if—
(i) Not more than two passengers are carried in the aircraft in addition to the required flightcrew;
(ii) Each flight is made under day VFR conditions;
(iii) The aircraft used is certificated in the standard category and complies with the 100-hour inspection requirements of part 91 of this chapter;
(iv) The operator notifies the responsible Flight Standards office at least 72 hours before each flight and furnishes any essential information that the office requests;
(v) The number of flights does not exceed a total of six in any calendar year;
(vi) Each flight has been approved by the Administrator; and
(vii) Cargo is not carried in or on the aircraft;
(8) Operations conducted under part 133 of this chapter or 375 of this title;
(9) Emergency mail service conducted under 49 U.S.C. 41906;
(10) Operations conducted under the provisions of § 91.321 of this chapter; or
(11) Small UAS operations conducted under part 107 of this chapter.
(a) A person authorized by the Administrator to conduct operations as a direct air carrier will be issued an Air Carrier Certificate.
(b) A person not authorized to conduct direct air carrier operations, but authorized by the Administrator to conduct operations as a U.S. commercial operator, will be issued an Operating Certificate.
(c) A person not authorized to conduct direct air carrier operations, but authorized by the Administrator to conduct operations when common carriage is not involved as an operator of any U.S.-registered civil airplane or powered-lift with a seat configuration of 20 or more passengers, or a maximum payload capacity of 6,000 pounds or more, will be issued an Operating Certificate.
(d) A person authorized to engage in common carriage under part 121 or part 135 of this chapter, or both, shall be issued only one certificate authorizing such common carriage, regardless of the kind of operation or the class or size of aircraft to be operated.
(e) A person authorized to engage in noncommon or private carriage under part 125 or part 135 of this chapter, or both, shall be issued only one certificate authorizing such carriage, regardless of the kind of operation or the class or size of aircraft to be operated.
(f) A person conducting operations under more than one paragraph of §§ 119.21, 119.23, or 119.25 shall conduct those operations in compliance with—
(1) The requirements specified in each paragraph of those sections for the kind of operation conducted under that paragraph; and
(2) The appropriate authorizations, limitations, and procedures specified in the operations specifications for each kind of operation.
(g) No person may operate as a direct air carrier or as a commercial operator without, or in violation of, an appropriate certificate and appropriate operations specifications. No person may operate as a direct air carrier or as a commercial operator in violation of any deviation or exemption authority, if issued to that person or that person's representative.
(h) A person holding an Operating Certificate authorizing noncommon or private carriage operations shall not conduct any operations in common carriage. A person holding an Air Carrier Certificate or Operating Certificate authorizing common carriage operations shall not conduct any operations in noncommon carriage.
(i) No person may operate as a direct air carrier without holding appropriate economic authority from the Department of Transportation.
(j) A certificate holder under this part may not operate aircraft under part 121 or part 135 of this chapter in a geographical area unless its operations specifications specifically authorize the certificate holder to operate in that area.
(k) No person may advertise or otherwise offer to perform an operation subject to this part unless that person is authorized by the Federal Aviation Administration to conduct that operation.
(l) No person may operate an aircraft under this part, part 121 of this chapter, or part 135 of this chapter in violation of an air carrier operating certificate, operating certificate, or appropriate operations specifications issued under this part.
(a) Each certificate holder's operations specifications must contain—
(1) The authorizations, limitations, and certain procedures under which each kind of operation, if applicable, is to be conducted; and
(2) Certain other procedures under which each class and size of aircraft is to be operated.
(b) Except for operations specifications paragraphs identifying authorized kinds of operations, operations specifications are not a part of a certificate.
Certificate holders authorized to conduct operations under part 121 or 135 of this chapter must have a safety management system that meets the requirements of part 5 of this chapter.
(a) A certificate holder under this part may not operate an aircraft under part 121 or part 135 of this chapter using a business name other than a business name appearing in the certificate holder's operations specifications.
(b) No person may operate an aircraft under part 121 or part 135 of this chapter unless the name of the certificate holder who is operating the aircraft, or the air carrier or operating certificate number of the certificate holder who is operating the aircraft, is legibly displayed on the aircraft and is clearly visible and readable from the outside of the aircraft to a person standing on the ground at any time except during flight time. The means of displaying the name on the aircraft and its readability must be acceptable to the Administrator.
(a) Each person who conducts airplane or powered-lift operations as a commercial operator engaged in intrastate common carriage of persons or property for compensation or hire in air commerce, or as a direct air carrier, shall comply with the certification and operations specifications requirements in subpart C of this part, and shall conduct its:
(1) Domestic operations in accordance with the applicable requirements of part 121 of this chapter, and shall be issued operations specifications for those operations in accordance with those requirements. However, based on a showing of safety in air commerce, the Administrator may permit persons who conduct domestic operations between any point located within any of the following Alaskan islands and any point in the State of Alaska to comply with the requirements applicable to flag operations contained in subpart U of part 121 of this chapter:
(i) The Aleutian Islands.
(ii) The Pribilof Islands.
(iii) The Shumagin Islands.
(2) Flag operations in accordance with the applicable requirements of part 121 of this chapter, and shall be issued operations specifications for those operations in accordance with those requirements.
(3) Supplemental operations in accordance with the applicable requirements of part 121 of this chapter, and shall be issued operations specifications for those operations in accordance with those requirements. However, based on a determination of safety in air commerce, the Administrator may authorize or require those operations to be conducted under paragraph (a)(1) or (a)(2) of this section.
(4) Commuter operations in accordance with the applicable requirements of part 135 of this chapter, and shall be issued operations specifications for those operations in accordance with those requirements.
(5) On-demand operations in accordance with the applicable requirements of part 135 of this chapter, and shall be issued operations specifications for those operations in accordance with those requirements.
(b) Persons who are subject to the requirements of paragraph (a)(4) of this section may conduct those operations in accordance with the requirements of paragraph (a)(1) or (a)(2) of this section, provided they obtain authorization from the Administrator.
(c) Persons who are subject to the requirements of paragraph (a)(5) of this section may conduct those operations in accordance with the requirements of paragraph (a)(3) of this section, provided they obtain authorization from the Administrator.
(a) Each person who conducts operations when common carriage is not involved with any airplane or powered-lift having a passenger-seat configuration of 20 seats or more, excluding each crewmember seat, or a payload capacity of 6,000 pounds or more, must, unless deviation authority is issued—
(1) Comply with the certification and operations specifications requirements of part 125 of this chapter;
(2) Conduct its operations in accordance with the requirements of part 125 of this chapter; and
(3) Be issued operations specifications in accordance with those requirements.
(b) Each person who conducts noncommon carriage (except as provided in § 91.501(b) of this chapter) or private carriage operations for compensation or hire with any airplane or powered-lift having a passenger-seat configuration of less than 20 seats, excluding each crewmember seat, and a payload capacity of less than 6,000 pounds, must—
(1) Comply with the certification and operations specifications requirements in subpart C of this part;
(2) Conduct those operations in accordance with the requirements of part 135 of this chapter, except for those requirements applicable only to commuter operations; and
(3) Be issued operations specifications in accordance with those requirements.
Each person who conducts rotorcraft operations for compensation or hire must comply with the certification and operations specifications requirements of Subpart C of this part, and shall conduct its:
(a) Commuter operations in accordance with the applicable requirements of part 135 of this chapter, and shall be issued operations specifications for those operations in accordance with those requirements.
(b) On-demand operations in accordance with the applicable requirements of part 135 of this chapter, and shall be issued operations specifications for those operations in accordance with those requirements.
This subpart sets out certification requirements and prescribes the content of operations specifications and certain other requirements for operations conducted under part 121 or part 135 of this chapter.
(a) A person may not operate as a direct air carrier unless that person—
(1) Is a citizen of the United States;
(2) Obtains an Air Carrier Certificate; and
(3) Obtains operations specifications that prescribe the authorizations, limitations, and procedures under which each kind of operation must be conducted.
(b) A person other than a direct air carrier may not conduct any commercial passenger or cargo aircraft operation for compensation or hire under part 121 or part 135 of this chapter unless that person—
(1) Is a citizen of the United States;
(2) Obtains an Operating Certificate; and
(3) Obtains operations specifications that prescribe the authorizations, limitations, and procedures under which each kind of operation must be conducted.
(c) Each applicant for a certificate under this part and each applicant for operations specifications authorizing a new kind of operation that is subject to § 121.163 or § 135.145 of this chapter shall conduct proving tests as authorized by the Administrator during the application process for authority to conduct operations under part 121 or part 135 of this chapter. All proving tests must be conducted in a manner acceptable to the Administrator. All proving tests must be conducted under the appropriate operating and maintenance requirements of part 121 or 135 of this chapter that would apply if the applicant were fully certificated. The Administrator will issue a letter of authorization to each person stating the various authorities under which the proving tests shall be conducted.
(a) A person applying to the Administrator for an Air Carrier Certificate or Operating Certificate under this part (applicant) must submit an application—
(1) In a form and manner prescribed by the Administrator; and
(2) Containing any information the Administrator requires the applicant to submit.
(b) Each applicant must submit the application to the Administrator at least 90 days before the date of intended operation.
(a) Each applicant for the original issue of an operating certificate for the purpose of conducting intrastate common carriage operations under part 121 or part 135 of this chapter must submit an application in a form and manner prescribed by the Administrator to the responsible Flight Standards office.
(b) Each application submitted under paragraph (a) of this section must contain a signed statement showing the following:
(1) For corporate applicants:
(i) The name and address of each stockholder who owns 5 percent or more of the total voting stock of the corporation, and if that stockholder is not the sole beneficial owner of the stock, the name and address of each beneficial owner. An individual is considered to own the stock owned, directly or indirectly, by or for his or her spouse, children, grandchildren, or parents.
(ii) The name and address of each director and each officer and each person employed or who will be employed in a management position described in §§ 119.65 and 119.69, as applicable.
(iii) The name and address of each person directly or indirectly controlling or controlled by the applicant and each person under direct or indirect control with the applicant.
(2) For non-corporate applicants:
(i) The name and address of each person having a financial interest therein and the nature and extent of that interest.
(ii) The name and address of each person employed or who will be employed in a management position described in §§ 119.65 and 119.69, as applicable.
(c) In addition, each applicant for the original issue of an operating certificate under paragraph (a) of this section must submit with the application a signed statement showing—
(1) The nature and scope of its intended operation, including the name and address of each person, if any, with whom the applicant has a contract to provide services as a commercial operator and the scope, nature, date, and duration of each of those contracts; and
(2) For applicants intending to conduct operations under part 121 of this chapter, the financial information listed in paragraph (e) of this section.
(d) Each applicant for, or holder of, a certificate issued under paragraph (a) of this section, shall notify the Administrator within 10 days after—
(1) A change in any of the persons, or the names and addresses of any of the persons, submitted to the Administrator under paragraph (b)(1) or (b)(2) of this section; or
(2) For applicants intending to conduct operations under part 121 of this chapter, a change in the financial information submitted to the Administrator under paragraph (e) of this section that occurs while the application for the issue is pending before the FAA and that would make the applicant's financial situation substantially less favorable than originally reported.
(e) Each applicant for the original issue of an operating certificate under paragraph (a) of this section who intends to conduct operations under part 121 of this chapter must submit the following financial information:
(1) A balance sheet that shows assets, liabilities, and net worth, as of a date not more than 60 days before the date of application.
(2) An itemization of liabilities more than 60 days past due on the balance sheet date, if any, showing each creditor's name and address, a description of the liability, and the amount and due date of the liability.
(3) An itemization of claims in litigation, if any, against the applicant as of the date of application showing each claimant's name and address and a description and the amount of the claim.
(4) A detailed projection of the proposed operation covering 6 complete months after the month in which the certificate is expected to be issued including—
(i) Estimated amount and source of both operating and nonoperating revenue, including identification of its existing and anticipated income producing contracts and estimated revenue per mile or hour of operation by aircraft type;
(ii) Estimated amount of operating and nonoperating expenses by expense objective classification; and
(iii) Estimated net profit or loss for the period.
(5) An estimate of the cash that will be needed for the proposed operations during the first 6 months after the month in which the certificate is expected to be issued, including—
(i) Acquisition of property and equipment (explain);
(ii) Retirement of debt (explain);
(iii) Additional working capital (explain);
(iv) Operating losses other than depreciation and amortization (explain); and
(v) Other (explain).
(6) An estimate of the cash that will be available during the first 6 months after the month in which the certificate is expected to be issued, from—
(i) Sale of property or flight equipment (explain);
(ii) New debt (explain);
(iii) New equity (explain);
(iv) Working capital reduction (explain);
(v) Operations (profits) (explain);
(vi) Depreciation and amortization (explain); and
(vii) Other (explain).
(7) A schedule of insurance coverage in effect on the balance sheet date showing insurance companies; policy numbers; types, amounts, and period of coverage; and special conditions, exclusions, and limitations.
(8) Any other financial information that the Administrator requires to enable him or her to determine that the applicant has sufficient financial resources to conduct his or her operations with the degree of safety required in the public interest.
(f) Each financial statement containing financial information required by paragraph (e) of this section must be based on accounts prepared and maintained on an accrual basis in accordance with generally accepted accounting principles applied on a consistent basis, and must contain the name and address of the applicant's public accounting firm, if any. Information submitted must be signed by an officer, owner, or partner of the applicant or certificate holder.
The Air Carrier Certificate or Operating Certificate includes—
(a) The certificate holder's name;
(b) The location of the certificate holder's principal base of operations;
(c) The certificate number;
(d) The certificate's effective date; and
(e) The name or the designator of the responsible Flight Standards office.
(a) An applicant may be issued an Air Carrier Certificate or Operating Certificate if, after investigation, the Administrator finds that the applicant—
(1) Meets the applicable requirements of this part;
(2) Holds the economic authority applicable to the kinds of operations to be conducted, issued by the Department of Transportation, if required; and
(3) Is properly and adequately equipped in accordance with the requirements of this chapter and is able to conduct a safe operation under appropriate provisions of part 121 or part 135 of this chapter and operations specifications issued under this part.
(b) An application for a certificate may be denied if the Administrator finds that—
(1) The applicant is not properly or adequately equipped or is not able to conduct safe operations under this subchapter;
(2) The applicant previously held an Air Carrier Certificate or Operating Certificate which was revoked;
(3) The applicant intends to or fills a key management position listed in § 119.65(a) or § 119.69(a), as applicable, with an individual who exercised control over or who held the same or a similar position with a certificate holder whose certificate was revoked, or is in the process of being revoked, and that individual materially contributed to the circumstances causing revocation or causing the revocation process;
(4) An individual who will have control over or have a substantial ownership interest in the applicant had the same or similar control or interest in a certificate holder whose certificate was revoked, or is in the process of being revoked, and that individual materially contributed to the circumstances causing revocation or causing the revocation process; or
(5) In the case of an applicant for an Operating Certificate for intrastate common carriage, that for financial reasons the applicant is not able to conduct a safe operation.
(a) The Administrator may amend any certificate issued under this part if—
(1) The Administrator determines, under 49 U.S.C. 44709 and part 13 of this chapter, that safety in air commerce and the public interest requires the amendment; or
(2) The certificate holder applies for the amendment and the responsible Flight Standards office determines that safety in air commerce and the public interest allows the amendment.
(b) When the Administrator proposes to issue an order amending, suspending, or revoking all or part of any certificate, the procedure in § 13.19 of this chapter applies.
(c) When the certificate holder applies for an amendment of its certificate, the following procedure applies:
(1) The certificate holder must file an application to amend its certificate with the responsible Flight Standards office at least 15 days before the date proposed by the applicant for the amendment to become effective, unless the administrator approves filing within a shorter period; and
(2) The application must be submitted to the responsible Flight Standards office in the form and manner prescribed by the Administrator.
(d) When a certificate holder seeks reconsideration of a decision from the responsible Flight Standards office concerning amendments of a certificate, the following procedure applies:
(1) The petition for reconsideration must be made within 30 days after the certificate holder receives the notice of denial; and
(2) The certificate holder must petition for reconsideration to the Executive Director, Flight Standards Service.
(a) Each certificate holder shall maintain a complete and separate set of its operations specifications at its principal base of operations.
(b) Each certificate holder shall insert pertinent excerpts of its operations specifications, or references thereto, in its manual and shall—
(1) Clearly identify each such excerpt as a part of its operations specifications; and
(2) State that compliance with each operations specifications requirement is mandatory.
(c) Each certificate holder shall keep each of its employees and other persons used in its operations informed of the provisions of its operations specifications that apply to that employee's or person's duties and responsibilities.
(a) Each certificate holder must maintain a principal base of operations. Each certificate holder may also establish a main operations base and a main maintenance base which may be located at either the same location as the principal base of operations or at separate locations.
(b) At least 30 days before it proposes to establish or change the location of its principal base of operations, its main operations base, or its main maintenance base, a certificate holder must provide written notification to its responsible Flight Standards office.
(a) Each certificate holder conducting domestic, flag, or commuter operations must obtain operations specifications containing all of the following:
(1) The specific location of the certificate holder's principal base of operations and, if different, the address that shall serve as the primary point of contact for correspondence between the FAA and the certificate holder and the name and mailing address of the certificate holder's agent for service.
(2) Other business names under which the certificate holder may operate.
(3) Reference to the economic authority issued by the Department of Transportation, if required.
(4) Type of aircraft, registration markings, and serial numbers of each aircraft authorized for use, each regular and alternate airport to be used in scheduled operations, and, except for commuter operations, each provisional and refueling airport.
(i) Subject to the approval of the Administrator with regard to form and content, the certificate holder may incorporate by reference the items listed in paragraph (a)(4) of this section into the certificate holder's operations specifications by maintaining a current listing of those items and by referring to the specific list in the applicable paragraph of the operations specifications.
(ii) The certificate holder may not conduct any operation using any aircraft or airport not listed.
(5) Kinds of operations authorized.
(6) Authorization and limitations for routes and areas of operations.
(7) Airport limitations.
(8) Time limitations, or standards for determining time limitations, for overhauling, inspecting, and checking airframes, engines, propellers, rotors, appliances, and emergency equipment.
(9) Authorization for the method of controlling weight and balance of aircraft.
(10) Interline equipment interchange requirements, if relevant.
(11) Aircraft wet lease information required by § 119.53(c).
(12) Any authorized deviation or exemption from any requirement of this chapter that applies to the certificate holder.
(13) An authorization permitting, or a prohibition against, accepting, handling, and transporting materials regulated as hazardous materials in transport under 49 CFR parts 171 through 180.
(14) Any other item the Administrator determines is necessary.
(b) Each certificate holder conducting supplemental operations must obtain operations specifications containing all of the following:
(1) The specific location of the certificate holder's principal base of operations, and, if different, the address that shall serve as the primary point of contact for correspondence between the FAA and the certificate holder and the name and mailing address of the certificate holder's agent for service.
(2) Other business names under which the certificate holder may operate.
(3) Reference to the economic authority issued by the Department of Transportation, if required.
(4) Type of aircraft, registration markings, and serial number of each aircraft authorized for use.
(i) Subject to the approval of the Administrator with regard to form and content, the certificate holder may incorporate by reference the items listed in paragraph (b)(4) of this section into the certificate holder's operations specifications by maintaining a current listing of those items and by referring to the specific list in the applicable paragraph of the operations specifications.
(ii) The certificate holder may not conduct any operation using any aircraft not listed.
(5) Kinds of operations authorized.
(6) Authorization and limitations for routes and areas of operations.
(7) Special airport authorizations and limitations.
(8) Time limitations, or standards for determining time limitations, for overhauling, inspecting, and checking airframes, engines, propellers, appliances, and emergency equipment.
(9) Authorization for the method of controlling weight and balance of aircraft.
(10) Aircraft wet lease information required by § 119.53(c).
(11) Any authorization or requirement to conduct supplemental operations as provided by § 119.21(a)(3).
(12) Any authorized deviation or exemption from any requirement of this chapter that applies to the certificate holder.
(13) An authorization permitting, or a prohibition against, accepting, handling, and transporting materials regulated as hazardous materials in transport under 49 CFR parts 171 through 180.
(14) Any other item the Administrator determines is necessary.
(c) Each certificate holder conducting on-demand operations must obtain operations specifications containing all of the following:
(1) The specific location of the certificate holder's principal base of operations, and if different, the address that shall serve as the primary point of contact for correspondence between the FAA and the name and mailing address of the certificate holder's agent for service.
(2) Other business names under which the certificate holder may operate.
(3) Reference to the economic authority issued by the Department of Transportation, if required.
(4) Kind and area of operations authorized.
(5) Category and class of aircraft that may be used in those operations.
(6) Type of aircraft, registration markings, and serial number of each aircraft that is subject to an airworthiness maintenance program required by § 135.411(a)(2) of this chapter.
(i) Subject to the approval of the Administrator with regard to form and content, the certificate holder may incorporate by reference the items listed in paragraph (c)(6) of this section into the certificate holder's operations specifications by maintaining a current listing of those items and by referring to the specific list in the applicable paragraph of the operations specifications.
(ii) The certificate holder may not conduct any operation using any aircraft not listed.
(7) Registration markings of each aircraft that is to be inspected under an approved aircraft inspection program under § 135.419 of this chapter.
(8) Time limitations or standards for determining time limitations, for overhauls, inspections, and checks for airframes, engines, propellers, rotors, appliances, and emergency equipment of aircraft that are subject to an airworthiness maintenance program required by § 135.411(a)(2) of this chapter.
(9) Additional maintenance items required by the Administrator under § 135.421 of this chapter.
(10) Aircraft wet lease information required by § 119.53(c).
(11) Any authorized deviation or exemption from any requirement of this chapter that applies to the certificate holder.
(12) An authorization permitting, or a prohibition against, accepting, handling, and transporting materials regulated as hazardous materials in transport under 49 CFR parts 171 through 180.
(13) Any other item the Administrator determines is necessary.
(a) The Administrator may amend any operations specifications issued under this part if—
(1) The Administrator determines that safety in air commerce and the public interest require the amendment; or
(2) The certificate holder applies for the amendment, and the Administrator determines that safety in air commerce and the public interest allows the amendment.
(b) Except as provided in paragraph (e) of this section, when the Administrator initiates an amendment to a certificate holder's operations specifications, the following procedure applies:
(1) The responsible Flight Standards office notifies the certificate holder in writing of the proposed amendment.
(2) The responsible Flight Standards office sets a reasonable period (but not less than 7 days) within which the certificate holder may submit written information, views, and arguments on the amendment.
(3) After considering all material presented, the responsible Flight Standards office notifies the certificate holder of—
(i) The adoption of the proposed amendment;
(ii) The partial adoption of the proposed amendment; or
(iii) The withdrawal of the proposed amendment.
(4) If the responsible Flight Standards office issues an amendment to the operations specifications, it becomes effective not less than 30 days after the certificate holder receives notice of it unless—
(i) The responsible Flight Standards office finds under paragraph (e) of this section that there is an emergency requiring immediate action with respect to safety in air commerce; or
(ii) The certificate holder petitions for reconsideration of the amendment under paragraph (d) of this section.
(c) When the certificate holder applies for an amendment to its operations specifications, the following procedure applies:
(1) The certificate holder must file an application to amend its operations specifications—
(i) At least 90 days before the date proposed by the applicant for the amendment to become effective, unless a shorter time is approved, in cases of mergers; acquisitions of airline operational assets that require an additional showing of safety (e.g., proving tests); changes in the kind of operation as defined in § 110.2; resumption of operations following a suspension of operations as a result of bankruptcy actions; or the initial introduction of aircraft not before proven for use in air carrier or commercial operator operations.
(ii) At least 15 days before the date proposed by the applicant for the amendment to become effective in all other cases.
(2) The application must be submitted to the responsible Flight Standards office in a form and manner prescribed by the Administrator.
(3) After considering all material presented, the responsible Flight Standards office notifies the certificate holder of—
(i) The adoption of the applied for amendment;
(ii) The partial adoption of the applied for amendment; or
(iii) The denial of the applied for amendment. The certificate holder may petition for reconsideration of a denial under paragraph (d) of this section.
(4) If the responsible Flight Standards office approves the amendment, following coordination with the certificate holder regarding its implementation, the amendment is effective on the date the Administrator approves it.
(d) When a certificate holder seeks reconsideration of a decision from the responsible Flight Standards office concerning the amendment of operations specifications, the following procedure applies:
(1) The certificate holder must petition for reconsideration of that decision within 30 days of the date that the certificate holder receives a notice of denial of the amendment to its operations specifications, or of the date it receives notice of an FAA-initiated amendment to its operations specifications, whichever circumstance applies.
(2) The certificate holder must address its petition to the Executive Director, Flight Standards Service.
(3) A petition for reconsideration, if filed within the 30-day period, suspends the effectiveness of any amendment issued by the responsible Flight Standards office unless the responsible Flight Standards office has found, under paragraph (e) of this section, that an emergency exists requiring immediate action with respect to safety in air transportation or air commerce.
(4) If a petition for reconsideration is not filed within 30 days, the procedures of paragraph (c) of this section apply.
(e) If the responsible Flight Standards office finds that an emergency exists requiring immediate action with respect to safety in air commerce or air transportation that makes the procedures set out in this section impracticable or contrary to the public interest:
(1) The responsible Flight Standards office amends the operations specifications and makes the amendment effective on the day the certificate holder receives notice of it.
(2) In the notice to the certificate holder, the responsible Flight Standards office articulates the reasons for its finding that an emergency exists requiring immediate action with respect to safety in air transportation or air commerce or that makes it impracticable or contrary to the public interest to stay the effectiveness of the amendment.
(a) Unless otherwise authorized by the Administrator, prior to conducting operations involving a wet lease, each certificate holder under this part authorized to conduct common carriage operations under this subchapter shall provide the Administrator with a copy of the wet lease to be executed which would lease the aircraft to any other person engaged in common carriage operations under this subchapter, including foreign air carriers, or to any other foreign person engaged in common carriage wholly outside the United States.
(b) No certificate holder under this part may wet lease from a foreign air carrier or any other foreign person or any person not authorized to engage in common carriage.
(c) Upon receiving a copy of a wet lease, the Administrator determines which party to the agreement has operational control of the aircraft and issues amendments to the operations specifications of each party to the agreement, as needed. The lessor must provide the following information to be incorporated into the operations specifications of both parties, as needed.
(1) The names of the parties to the agreement and the duration thereof.
(2) The nationality and registration markings of each aircraft involved in the agreement.
(3) The kind of operation (e.g., domestic, flag, supplemental, commuter, or on-demand).
(4) The airports or areas of operation.
(5) A statement specifying the party deemed to have operational control and the times, airports, or areas under which such operational control is exercised.
(d) In making the determination of paragraph (c) of this section, the Administrator will consider the following:
(1) Crewmembers and training.
(2) Airworthiness and performance of maintenance.
(3) Dispatch.
(4) Servicing the aircraft.
(5) Scheduling.
(6) Any other factor the Administrator considers relevant.
(e) Other arrangements for transportation by air: Except as provided in paragraph (f) of this section, a certificate holder under this part operating under part 121 or 135 of this chapter may not conduct any operation for another certificate holder under this part or a foreign air carrier under part 129 of this chapter or a foreign person engaged in common carriage wholly outside the United States unless it holds applicable Department of Transportation economic authority, if required, and is authorized under its operations specifications to conduct the same kinds of operations (as defined in § 110.2). The certificate holder conducting the substitute operation must conduct that operation in accordance with the same operations authority held by the certificate holder arranging for the substitute operation. These substitute operations must be conducted between airports for which the substitute certificate holder holds authority for scheduled operations or within areas of operations for which the substitute certificate holder has authority for supplemental or on-demand operations.
(f) A certificate holder under this part may, if authorized by the Department of Transportation under § 380.3 of this title and the Administrator in the case of interstate commuter, interstate domestic, and flag operations, or the Administrator in the case of scheduled intrastate common carriage operations, conduct one or more flights for passengers who are stranded because of the cancellation of their scheduled flights. These flights must be conducted under the rules of part 121 or part 135 of this chapter applicable to supplemental or on-demand operations.
(a) The Administrator may authorize a certificate holder that is authorized to conduct supplemental or on-demand operations to deviate from the applicable requirements of this part, part 117, part 121, or part 135 of this chapter in order to perform operations under a U.S. military contract.
(b) A certificate holder that has a contract with the U.S. Department of Defense's Air Mobility Command (AMC) must submit a request for deviation authority to AMC. AMC will review the requests, then forward the carriers' consolidated requests, along with AMC's recommendations, to the FAA for review and action.
(c) The Administrator may authorize a deviation to perform operations under a U.S. military contract under the following conditions—
(1) The Department of Defense certifies to the Administrator that the operation is essential to the national defense;
(2) The Department of Defense further certifies that the certificate holder cannot perform the operation without deviation authority;
(3) The certificate holder will perform the operation under a contract or subcontract for the benefit of a U.S. armed service; and
(4) The Administrator finds that the deviation is based on grounds other than economic advantage either to the certificate holder or to the United States.
(d) In the case where the Administrator authorizes a deviation under this section, the Administrator will issue an appropriate amendment to the certificate holder's operations specifications.
(e) The Administrator may, at any time, terminate any grant of deviation authority issued under this section.
(a) In emergency conditions, the Administrator may authorize deviations if—
(1) Those conditions necessitate the transportation of persons or supplies for the protection of life or property; and
(2) The Administrator finds that a deviation is necessary for the expeditious conduct of the operations.
(b) When the Administrator authorizes deviations for operations under emergency conditions—
(1) The Administrator will issue an appropriate amendment to the certificate holder's operations specifications; or
(2) If the nature of the emergency does not permit timely amendment of the operations specifications—
(i) The Administrator may authorize the deviation orally; and
(ii) The certificate holder shall provide documentation describing the nature of the emergency to the responsible Flight Standards office within 24 hours after completing the operation.
(a) At any time or place, the Administrator may conduct an inspection or test to determine whether a certificate holder under this part is complying with title 49 of the United States Code, applicable regulations, the certificate, or the certificate holder's operations specifications.
(b) The certificate holder must—
(1) Make available to the Administrator at the certificate holder's principal base of operations—
(i) The certificate holder's Air Carrier Certificate or the certificate holder's Operating Certificate and the certificate holder's operations specifications; and
(ii) A current listing that will include the location and persons responsible for each record, document, and report required to be kept by the certificate holder under title 49 of the United States Code applicable to the operation of the certificate holder.
(2) Allow the Administrator to make any test or inspection to determine compliance respecting any matter stated in paragraph (a) of this section.
(c) Each employee of, or person used by, the certificate holder who is responsible for maintaining the certificate holder's records must make those records available to the Administrator.
(d) The Administrator may determine a certificate holder's continued eligibility to hold its certificate and/or operations specifications on any grounds listed in paragraph (a) of this section, or any other appropriate grounds.
(e) Failure by any certificate holder to make available to the Administrator upon request, the certificate, operations specifications, or any required record, document, or report is grounds for suspension of all or any part of the certificate holder's certificate and operations specifications.
(f) In the case of operators conducting intrastate common carriage operations, these inspections and tests include inspections and tests of financial books and records.
(a) An Air Carrier Certificate or Operating Certificate issued under this part is effective until—
(1) The certificate holder surrenders it to the Administrator; or
(2) The Administrator suspends, revokes, or otherwise terminates the certificate.
(b) Operations specifications issued under this part, part 121, or part 135 of this chapter are effective unless—
(1) The Administrator suspends, revokes, or otherwise terminates the certificate;
(2) The operations specifications are amended as provided in § 119.51;
(3) The certificate holder does not conduct a kind of operation for more than the time specified in § 119.63 and fails to follow the procedures of § 119.63 upon resuming that kind of operation; or
(4) The Administrator suspends or revokes the operations specifications for a kind of operation.
(c) Within 30 days after a certificate holder terminates operations under part 135 of this chapter, the operating certificate and operations specifications must be surrendered by the certificate holder to the responsible Flight Standards office.
(a) Except as provided in paragraph (b) of this section, no certificate holder may conduct a kind of operation for which it holds authority in its operations specifications unless the certificate holder has conducted that kind of operation within the preceding number of consecutive calendar days specified in this paragraph:
(1) For domestic, flag, or commuter operations—30 days.
(2) For supplemental or on-demand operations—90 days, except that if the certificate holder has authority to conduct domestic, flag, or commuter operations, and has conducted domestic, flag or commuter operations within the previous 30 days, this paragraph does not apply.
(b) If a certificate holder does not conduct a kind of operation for which it is authorized in its operations specifications within the number of calendar days specified in paragraph (a) of this section, it shall not conduct such kind of operation unless—
(1) It advises the Administrator at least 5 consecutive calendar days before resumption of that kind of operation; and
(2) It makes itself available and accessible during the 5 consecutive calendar day period in the event that the FAA decides to conduct a full inspection reexamination to determine whether the certificate holder remains properly and adequately equipped and able to conduct a safe operation.
(a) Each certificate holder must have sufficient qualified management and technical personnel to ensure the highest degree of safety in its operations. The certificate holder must have qualified personnel serving full-time in the following or equivalent positions:
(1) Director of Safety.
(2) Director of Operations.
(3) Chief Pilot for each category of aircraft the certificate holder uses, as listed in § 61.5(b)(1) of this chapter.
(4) Director of Maintenance.
(5) Chief Inspector.
(b) The Administrator may approve positions or numbers of positions other than those listed in paragraph (a) of this section for a particular operation if the certificate holder shows that it can perform the operation with the highest degree of safety under the direction of fewer or different categories of management personnel due to—
(1) The kind of operation involved;
(2) The number and type of aircraft used; and
(3) The area of operations.
(c) The title of the positions required under paragraph (a) of this section or the title and number of equivalent positions approved under paragraph (b) of this section shall be set forth in the certificate holder's operations specifications.
(d) The individuals who serve in the positions required or approved under paragraph (a) or (b) of this section and anyone in a position to exercise control over operations conducted under the operating certificate must—
(1) Be qualified through training, experience, and expertise;
(2) To the extent of their responsibilities, have a full understanding of the following materials with respect to the certificate holder's operation—
(i) Aviation safety standards and safe operating practices;
(ii) 14 CFR Chapter I (Federal Aviation Regulations);
(iii) The certificate holder's operations specifications;
(iv) All appropriate maintenance and airworthiness requirements of this chapter (e.g., parts 1, 21, 23, 25, 43, 45, 47, 65, 91, and 121 of this chapter); and
(v) The manual required by § 121.133 of this chapter; and
(3) Discharge their duties to meet applicable legal requirements and to maintain safe operations.
(e) Each certificate holder must:
(1) State in the general policy provisions of the manual required by § 121.133 of this chapter, the duties, responsibilities, and authority of personnel required under paragraph (a) of this section;
(2) List in the manual the names and business addresses of the individuals assigned to those positions; and
(3) Notify the responsible Flight Standards office within 10 days of any change in personnel or any vacancy in any position listed.
(a) Director of Operations. To serve as Director of Operations under § 119.65(a), a person must hold an airline transport pilot certificate and—
(1) If the certificate holder uses large aircraft, at least 3 years of supervisory or managerial experience within the last 6 years in large aircraft, in a position that exercised operational control over any operations conducted under part 121 or 135 of this chapter.
(2) If the certificate holder uses large aircraft, at least 3 years of experience as pilot in command under part 121 or 135 of this chapter in large aircraft in at least one of the categories of aircraft the certificate holder uses, as listed in § 61.5(b)(1) of this chapter. In the case of a person becoming Director of Operations for the first time, he or she must have accumulated this experience as pilot in command within the past 6 years.
(3) If the certificate holder uses only small aircraft in its operations, the experience required in paragraphs (a)(1) and (2) of this section may be obtained in either large or small aircraft.
(b) Chief Pilot. To serve as Chief Pilot under § 119.65(a), a person must:
(1) Hold an airline transport pilot certificate with appropriate ratings in the category of aircraft that the certificate holder uses in its operations under part 121 of this chapter and over which the Chief Pilot exercises responsibility; and
(2) Have at least 3 years of experience as pilot in command in the same category of aircraft that the certificate holder uses, as listed in § 61.5(b) of this chapter. The experience as pilot in command described in this paragraph (b)(2) must:
(i) Have occurred within the past 6 years, in the case of a person becoming a Chief Pilot for the first time.
(ii) Have occurred in large aircraft operated under part 121 or 135 of this chapter. If the certificate holder uses only small aircraft in its operation, this experience may be obtained in either large or small aircraft.
(iii) Be in the same category of aircraft over which the Chief Pilot exercises responsibility.
(c) Director of Maintenance. To serve as Director of Maintenance under § 119.65(a), a person must:
(1) Hold a mechanic certificate with airframe and powerplant ratings;
(2) Have 1 year of experience in a position responsible for returning aircraft to service;
(3) Have at least 1 year of experience in a supervisory capacity under either paragraph (c)(4)(i) or (ii) of this section maintaining the same category and class of aircraft as the certificate holder uses; and
(4) Have 3 years of experience within the past 6 years in one or a combination of the following—
(i) Maintaining large aircraft with 10 or more passenger seats, including, at the time of appointment as Director of Maintenance, experience in maintaining the same category and class of aircraft as the certificate holder uses; or
(ii) Repairing aircraft in a certificated airframe repair station that is rated to maintain aircraft in the same category and class of aircraft as the certificate holder uses.
(d) Chief Inspector. To serve as Chief Inspector under § 119.65(a), a person must:
(1) Hold a mechanic certificate with both airframe and powerplant ratings, and have held these ratings for at least 3 years;
(2) Have at least 3 years of maintenance experience on different types of large aircraft with 10 or more passenger seats with an air carrier or certificated repair station, 1 year of which must have been as maintenance inspector; and
(3) Have at least 1 year of experience in a supervisory capacity maintaining the same category and class of aircraft as the certificate holder uses.
(e) Deviation. A certificate holder may request a deviation to employ a person who does not meet the appropriate airman experience, managerial experience, or supervisory experience requirements of this section if the Manager of the Air Transportation Division or the Manager of the Aircraft Maintenance Division, as appropriate, finds that the person has comparable experience and can effectively perform the functions associated with the position in accordance with the requirements of this chapter and the procedures outlined in the certificate holder's manual. Deviations under this paragraph (e) may be issued after consideration of the size and scope of the operation and the qualifications of the intended personnel. The Administrator may, at any time, terminate any grant of deviation authority issued under this paragraph (e).
(a) Each certificate holder must have sufficient qualified management and technical personnel to ensure the safety of its operations. Except for a certificate holder using only one pilot in its operations, the certificate holder must have qualified personnel serving in the following or equivalent positions:
(1) Director of Operations.
(2) Chief Pilot.
(3) Director of Maintenance.
(b) The Administrator may approve positions or numbers of positions other than those listed in paragraph (a) of this section for a particular operation if the certificate holder shows that it can perform the operation with the highest degree of safety under the direction of fewer or different categories of management personnel due to—
(1) The kind of operation involved;
(2) The number and type of aircraft used; and
(3) The area of operations.
(c) The title of the positions required under paragraph (a) of this section or the title and number of equivalent positions approved under paragraph (b) of this section shall be set forth in the certificate holder's operations specifications.
(d) The individuals who serve in the positions required or approved under paragraph (a) or (b) of this section and anyone in a position to exercise control over operations conducted under the operating certificate must—
(1) Be qualified through training, experience, and expertise;
(2) To the extent of their responsibilities, have a full understanding of the following material with respect to the certificate holder's operation—
(i) Aviation safety standards and safe operating practices;
(ii) 14 CFR Chapter I (Federal Aviation Regulations);
(iii) The certificate holder's operations specifications;
(iv) All appropriate maintenance and airworthiness requirements of this chapter (e.g., parts 1, 21, 23, 25, 43, 45, 47, 65, 91, and 135 of this chapter); and
(v) The manual required by § 135.21 of this chapter; and
(3) Discharge their duties to meet applicable legal requirements and to maintain safe operations.
(e) Each certificate holder must—
(1) State in the general policy provisions of the manual required by § 135.21 of this chapter, the duties, responsibilities, and authority of personnel required or approved under paragraph (a) or (b), respectively, of this section;
(2) List in the manual the names and business addresses of the individuals assigned to those positions; and
(3) Notify the responsible Flight Standards office within 10 days of any change in personnel or any vacancy in any position listed.
(a) To serve as Director of Operations under § 119.69(a) for a certificate holder conducting any operations for which the pilot in command is required to hold an airline transport pilot certificate a person must hold an airline transport pilot certificate and either:
(1) Have at least 3 years supervisory or managerial experience within the last 6 years in a position that exercised operational control over any operations conducted under part 121 or part 135 of this chapter; or
(2) In the case of a person becoming Director of Operations—
(i) For the first time ever, have at least 3 years experience, within the past 6 years, as pilot in command of an aircraft operated under part 121 or part 135 of this chapter.
(ii) In the case of a person with previous experience as a Director of Operations, have at least 3 years experience, as pilot in command of an aircraft operated under part 121 or part 135 of this chapter.
(b) To serve as Director of Operations under § 119.69(a) for a certificate holder that only conducts operations for which the pilot in command is required to hold a commercial pilot certificate, a person must hold at least a commercial pilot certificate. If an instrument rating is required for any pilot in command for that certificate holder, the Director of Operations must also hold an instrument rating. In addition, the Director of Operations must either—
(1) Have at least 3 years supervisory or managerial experience within the last 6 years in a position that exercised operational control over any operations conducted under part 121 or part 135 of this chapter; or
(2) In the case of a person becoming Director of Operations—
(i) For the first time ever, have at least 3 years experience, within the past 6 years, as pilot in command of an aircraft operated under part 121 or part 135 of this chapter.
(ii) In the case of a person with previous experience as a Director of Operations, have at least 3 years experience as pilot in command of an aircraft operated under part 121 or part 135 of this chapter.
(c) To serve as Chief Pilot under § 119.69(a) for a certificate holder conducting any operation for which the pilot in command is required to hold an airline transport pilot certificate a person must hold an airline transport pilot certificate with appropriate ratings and be qualified to serve as pilot in command in at least one aircraft used in the certificate holder's operation and:
(1) In the case of a person becoming a Chief Pilot for the first time ever, have at least 3 years experience, within the past 6 years, as pilot in command of an aircraft operated under part 121 or part 135 of this chapter.
(2) In the case of a person with previous experience as a Chief Pilot, have at least 3 years experience as pilot in command of an aircraft operated under part 121 or part 135 of this chapter.
(d) To serve as Chief Pilot under § 119.69(a) for a certificate holder that only conducts operations for which the pilot in command is required to hold a commercial pilot certificate, a person must hold at least a commercial pilot certificate. If an instrument rating is required for any pilot in command for that certificate holder, the Chief Pilot must also hold an instrument rating. The Chief Pilot must be qualified to serve as pilot in command in at least one aircraft used in the certificate holder's operation. In addition, the Chief Pilot must:
(1) In the case of a person becoming a Chief Pilot for the first time ever, have at least 3 years experience, within the past 6 years, as pilot in command of an aircraft operated under part 121 or part 135 of this chapter.
(2) In the case of a person with previous experience as a Chief Pilot, have at least 3 years experience as pilot in command of an aircraft operated under part 121 or part 135 of this chapter.
(e) To serve as Director of Maintenance under § 119.69(a) a person must hold a mechanic certificate with airframe and powerplant ratings and either:
(1) Have 3 years of experience within the past 6 years maintaining aircraft as a certificated mechanic, including, at the time of appointment as Director of Maintenance, experience in maintaining the same category and class of aircraft as the certificate holder uses; or
(2) Have 3 years of experience within the past 6 years repairing aircraft in a certificated airframe repair station, including 1 year in the capacity of approving aircraft for return to service.
(f) A certificate holder may request a deviation to employ a person who does not meet the appropriate airmen experience requirements, managerial experience requirements, or supervisory experience requirements of this section if the Manager of the Air Transportation Division, AFS-200, or the Manager of the Aircraft Maintenance Division, AFS-300, as appropriate, find that the person has comparable experience, and can effectively perform the functions associated with the position in accordance with the requirements of this chapter and the procedures outlined in the certificate holder's manual. The Administrator may, at any time, terminate any grant of deviation authority issued under this paragraph.
(a) Except as specified in paragraph (c) of this section, no certificate holder conducting operations under part 121 or 135 of this chapter may knowingly employ or make a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual, in the preceding 2 years—
(1) Served as, or was directly responsible for the oversight of, a Flight Standards Service aviation safety inspector; and
(2) Had direct responsibility to inspect, or oversee the inspection of, the operations of the certificate holder.
(b) For the purpose of this section, an individual shall be considered to be acting as an agent or representative of a certificate holder in a matter before the agency if the individual makes any written or oral communication on behalf of the certificate holder to the agency (or any of its officers or employees) in connection with a particular matter, whether or not involving a specific party and without regard to whether the individual has participated in, or had responsibility for, the particular matter while serving as a Flight Standards Service aviation safety inspector.
(c) The provisions of this section do not prohibit a certificate holder from knowingly employing or making a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual was employed by the certificate holder before October 21, 2011.
This part applies to the following persons:
(a) All air carriers and operators certificated under part 119 of this chapter authorized to conduct operations under part 121 or part 135 of this chapter, all air traffic control facilities not operated by the FAA or by or under contract to the U.S. military; and all operators as defined in 14 CFR 91.147.
(b) All individuals who perform, either directly or by contract, a safety-sensitive function listed in subpart E or subpart F of this part.
(c) All part 145 certificate holders located in the territory of the United States who perform safety-sensitive functions and elect to implement a drug and alcohol testing program under this part.
(d) Beginning December 20, 2027, all part 145 certificate holders outside the territory of the United States who perform safety-sensitive maintenance functions on part 121 air carrier aircraft, except that section 120.5 and subparts E and F of this part do not apply to part 145 certificate holders outside the territory of the United States who perform safety-sensitive maintenance functions on part 121 air carrier aircraft that have obtained recognition pursuant to § 120.10.
(e) All contractors who elect to implement a drug and alcohol testing program under this part.
The purpose of this part is to establish a program designed to help prevent accidents and injuries resulting from the use of prohibited drugs or the misuse of alcohol by employees who perform safety-sensitive functions in aviation.
Each employer having a drug and alcohol testing program under this part must ensure that all drug and alcohol testing conducted pursuant to this part complies with the procedures set forth in 49 CFR part 40 and any exemptions issued to that employer by the Department of Transportation in accordance with 49 CFR 40.7.
For the purposes of this part, the following definitions apply:
(a) Accident means an occurrence associated with the operation of an aircraft which takes place between the time any individual boards the aircraft with the intention of flight and all such individuals have disembarked, and in which any individual suffers death or serious injury, or in which the aircraft receives substantial damage.
(b) Alcohol means any substance specified in 49 CFR part 40.
(c) Alcohol misuse means any prohibited conduct referenced under subpart C or D of this part.
(d) Contractor is an individual or company that performs a safety-sensitive function by contract for an employer or another contractor.
(e) Covered employee means an individual who performs, either directly or by contract, a safety-sensitive function listed in §§ 120.105 and 120.215 for an employer (as defined in paragraph (g) of this section). For purposes of pre-employment testing only, the term “covered employee” includes an individual applying to perform a safety-sensitive function.
(f) Employee is an individual who is hired, either directly or by contract, to perform a safety-sensitive function for an employer, as defined in paragraph (g) of this section. An employee is also an individual who transfers into a position to perform a safety-sensitive function for an employer.
(g) Employer is a part 119 certificate holder with authority to operate under parts 121 and/or 135 of this chapter, an operator as defined in § 91.147 of this chapter, or an air traffic control facility not operated by the FAA or by or under contract to the U.S. Military. An employer may use a contract employee who is not included under that employer's FAA-mandated drug and alcohol testing program to perform a safety-sensitive function only if that contract employee is included under the contractor's FAA-mandated drug and alcohol testing program and is performing a safety-sensitive function on behalf of that contractor (i.e., within the scope of employment with the contractor.)
(h) Hire means retaining an individual for a safety-sensitive function as a paid employee, as a volunteer, or through barter or other form of compensation.
(i) Performing (a safety-sensitive function): an employee is considered to be performing a safety-sensitive function during any period in which he or she is actually performing, ready to perform, or immediately available to perform such function.
(j) Positive rate for random drug testing means the number of verified positive results for random drug tests conducted under subpart E of this part, plus the number of refusals of random drug tests required by subpart E of this part, divided by the total number of random drug test results (i.e., positives, negatives, and refusals) under subpart E of this part.
(k) Prohibited drug means any of the drugs specified in 49 CFR part 40.
(l) Refusal to submit to alcohol test means that a covered employee has engaged in conduct including but not limited to that described in 49 CFR 40.261, or has failed to remain readily available for post-accident testing as required by subpart F of this part.
(m) Refusal to submit to drug test means that a covered employee engages in conduct including but not limited to that described in 49 CFR 40.191.
(n) Safety-sensitive function means a function listed in §§ 120.105 and 120.215.
(o) Violation rate for random alcohol testing means the number of 0.04, and above, random alcohol confirmation test results conducted under subpart F of this part, plus the number of refusals of random alcohol tests required by subpart F of this part, divided by the total number of random alcohol screening tests (including refusals) conducted under subpart F of this part.
(a) A part 145 certificate holder whose employees perform safety-sensitive maintenance functions on part 121 air carrier aircraft outside the territory of the United States may request a waiver from the Administrator from any requirements under 14 CFR part 120, subpart E or F, if specific requirements of subpart E or F are inconsistent with the laws of the country where the repair station is located.
(b) Each waiver request must include, at a minimum, the following elements:
(1) Information about the organization, including the name and mailing address and, if desired, other contact information such as a fax number, telephone number, or email address;
(2) The specific section or sections of this part from which the organization seeks a waiver;
(3) The reasons why granting the waiver would not adversely affect the prevention of accidents and injuries resulting from the use of prohibited drugs and/or the misuse of alcohol by employees;
(4) A copy of the law that is inconsistent with the provision(s) of this part from which a waiver is sought;
(5) An explanation of how the law is inconsistent with the provision(s) of this part from which a waiver is sought; and
(6) A description of the alternative means that will be used to achieve the objectives of the provision that is the subject of the waiver or, if applicable, a justification of why it would be impossible to achieve the objectives of the provision in any way.
(c) Each request for a waiver must be submitted to the Federal Aviation Administration, Office of Aerospace Medicine, in a form and manner acceptable to the Administrator.
(d) Each request for a waiver must be submitted at least 90 days before the organization needs it to take effect.
(a) General. A foreign government on behalf of its part 145 certificate holders, or a part 145 certificate holder whose employees perform safety-sensitive maintenance functions on part 121 air carrier aircraft outside the territory of the United States (herein referred to as a foreign repair station), may request a waiver from the Administrator from the requirements of this part in recognition of the foreign government's existing requirements, or the foreign repair station's existing testing program developed consistent with the laws of its home country, as a compatible alternative to the requirements of this part.
(b) Compatibility. A request for recognition must demonstrate that the foreign government's existing requirements, or the foreign repair station's existing testing program, contain the following key elements of this part:
(1) A testing protocol or established consequences used to detect or deter, or both, employees who are responsible for safety-sensitive maintenance on part 121 air carrier aircraft from misusing alcohol and using drugs.
(2) An education or training program or materials that explain the impact and consequences of misusing alcohol and using drugs while performing safety-sensitive maintenance.
(3) The method used to rehabilitate and ensure that safety-sensitive maintenance employees who return to work on part 121 air carrier aircraft after a drug or alcohol test violation or consequence no longer misuse alcohol or use drugs.
(c) Requests for recognition of a foreign government's existing requirements or a foreign repair station's existing testing program. (1) Each request for recognition of a foreign government's existing requirements or a foreign repair station's existing testing program must contain:
(i) The name, title, address, email address, and telephone number of the primary person to be contacted regarding review of the request;
(ii) Documentation of the foreign government's existing requirements or the foreign repair station's existing testing program demonstrating that the requirements or program contain the key elements of this part described in paragraph (b) of this section, including, if appropriate, copies of applicable laws, regulations, and other requirements carrying the force of law; and
(iii) Appropriate data, records, or supporting explanation for the Administrator to consider in determining whether the foreign government's existing requirements or the foreign repair station's existing testing program contain the key elements of this part; and
(iv) A statement that the requestor intends to notify the Administrator within 30 days of any change to the key elements described in paragraph (b) of this section that form the basis of the Administrator's recognition pursuant to paragraph (d)(2) of this section and provide a description of those changes in such notification.
(2) Each request for recognition must be submitted to the Federal Aviation Administration, Office of Aerospace Medicine, in a form and manner acceptable to the Administrator.
(3) Each request for recognition must be submitted at least 90 days before the organization needs it to take effect.
(d) Disposition. (1) The Administrator will evaluate a request for recognition and may request additional information, documentation, or explanation, as needed, to supplement the request.
(2) A foreign government's existing requirements or a foreign repair station's existing testing program will be recognized as a compatible alternative to the requirements of this part if the Administrator determines that:
(i) The request complies with the requirements of paragraph (c) of this section; and
(ii) The foreign government's existing requirements, or the foreign repair station's existing testing program, contain the key elements of this part as described in paragraph (b) of this section.
(e) Effect and validity. (1) Recognition by the Administrator issued to a foreign government pursuant to paragraph (d)(2) of this section will apply to all foreign repair stations within the territory of the foreign government and subject to the recognized compatible alternative to the requirements of this part.
(2) Recognition by the Administrator will remain valid so long as the foreign government's existing requirements, or the foreign repair station's existing testing program, retains the key elements of this part that formed the basis of the Administrator's recognition pursuant to paragraph (d)(2) of this section.
(f) Compliance. (1) Each foreign repair station subject to existing requirements or an existing testing program recognized as a compatible alternative to the requirements of this part pursuant to paragraph (d)(2) of this section must maintain an FAA-issued letter on file documenting the recognition.
(2) The FAA may modify, suspend, or withdraw recognition by the Administrator when:
(i) A recognition is no longer valid;
(ii) A foreign repair station fails to implement a testing program consistent with a recognition issued pursuant to paragraph (d)(2) of this section; or
(iii) A foreign government or foreign repair station has not provided the notification described in paragraph (c)(1)(iv) of this section.
(a) This section applies to all individuals who hold a certificate under part 61 of this chapter and who are subject to drug and alcohol testing under this part.
(b) Refusal by the holder of a certificate issued under part 61 of this chapter to take a drug or alcohol test required under the provisions of this part is grounds for:
(1) Denial of an application for any certificate, rating, or authorization issued under part 61 of this chapter for a period of up to 1 year after the date of such refusal; and
(2) Suspension or revocation of any certificate, rating, or authorization issued under part 61 of this chapter.
(a) This section applies to all individuals who hold a certificate under part 63 of this chapter and who are subject to drug and alcohol testing under this part.
(b) Refusal by the holder of a certificate issued under part 63 of this chapter to take a drug or alcohol test required under the provisions of this part is grounds for:
(1) Denial of an application for any certificate or rating issued under part 63 of this chapter for a period of up to 1 year after the date of such refusal; and
(2) Suspension or revocation of any certificate or rating issued under part 63 of this chapter.
(a) This section applies to all individuals who hold a certificate under part 65 of this chapter and who are subject to drug and alcohol testing under this part.
(b) Refusal by the holder of a certificate issued under part 65 of this chapter to take a drug or alcohol test required under the provisions of this part is grounds for:
(1) Denial of an application for any certificate or rating issued under part 65 of this chapter for a period of up to 1 year after the date of such refusal; and
(2) Suspension or revocation of any certificate or rating issued under part 65 of this chapter.
(a) Each employer shall provide each employee performing a function listed in subpart E of this part, and his or her supervisor, with the training specified in that subpart. No employer may use any contractor to perform an air traffic control function unless that contractor provides each of its employees performing that function for the employer, and his or her supervisor, with the training specified in subpart E of this part.
(b) No employer may knowingly use any individual to perform, nor may any individual perform for an employer, either directly or by contract, any air traffic control function while that individual has a prohibited drug, as defined in this part, in his or her system.
(c) No employer shall knowingly use any individual to perform, nor may any individual perform for an employer, either directly or by contract, any air traffic control function if the individual has a verified positive drug test result on, or has refused to submit to, a drug test required by subpart E of this part and the individual has not met the requirements of subpart E of this part for returning to the performance of safety-sensitive duties.
(d) Each employer shall test each of its employees who perform any air traffic control function in accordance with subpart E of this part. No employer may use any contractor to perform any air traffic control function unless that contractor tests each employee performing such a function for the employer in accordance with subpart E of this part.
(a) This section applies to covered employees who perform air traffic control duties directly or by contract for an employer that is an air traffic control facility not operated by the FAA or the US military.
(b) Alcohol concentration. No covered employee shall report for duty or remain on duty requiring the performance of safety-sensitive functions while having an alcohol concentration of 0.04 or greater. No employer having actual knowledge that an employee has an alcohol concentration of 0.04 or greater shall permit the employee to perform or continue to perform safety-sensitive functions.
(c) On-duty use. No covered employee shall use alcohol while performing safety-sensitive functions. No employer having actual knowledge that a covered employee is using alcohol while performing safety-sensitive functions shall permit the employee to perform or continue to perform safety-sensitive functions.
(d) Pre-duty use. No covered employee shall perform air traffic control duties within 8 hours after using alcohol. No employer having actual knowledge that such an employee has used alcohol within 8 hours shall permit the employee to perform or continue to perform air traffic control duties.
(e) Use following an accident. No covered employee who has actual knowledge of an accident involving an aircraft for which he or she performed a safety-sensitive function at or near the time of the accident shall use alcohol for 8 hours following the accident, unless he or she has been given a post-accident test under subpart F of this part or the employer has determined that the employee's performance could not have contributed to the accident.
(f) Refusal to submit to a required alcohol test. A covered employee may not refuse to submit to any alcohol test required under subpart F of this part. An employer may not permit an employee who refuses to submit to such a test to perform or continue to perform safety-sensitive functions.
(a) Each air traffic control facility not operated by the FAA or the U.S. military must establish an alcohol testing program in accordance with the provisions of subpart F of this part.
(b) No employer shall use any individual who meets the definition of covered employee in subpart A of this part to perform a safety-sensitive function listed in subpart F of this part unless that individual is subject to testing for alcohol misuse in accordance with the provisions of that subpart.
(a) Each certificate holder or operator shall provide each employee performing a function listed in subpart E of this part, and his or her supervisor, with the training specified in that subpart.
(b) No certificate holder or operator may use any contractor to perform a function listed in subpart E of this part unless that contractor provides each of its employees performing that function for the certificate holder or operator, and his or her supervisor, with the training specified in that subpart.
(a) This section applies to individuals who perform a function listed in subpart E of this part for a certificate holder or operator. For the purpose of this section, an individual who performs such a function pursuant to a contract with the certificate holder or the operator is considered to be performing that function for the certificate holder or the operator.
(b) No certificate holder or operator may knowingly use any individual to perform, nor may any individual perform for a certificate holder or an operator, either directly or by contract, any function listed in subpart E of this part while that individual has a prohibited drug, as defined in this part, in his or her system.
(c) No certificate holder or operator shall knowingly use any individual to perform, nor shall any individual perform for a certificate holder or operator, either directly or by contract, any safety-sensitive function if that individual has a verified positive drug test result on, or has refused to submit to, a drug test required by subpart E of this part and the individual has not met the requirements of that subpart for returning to the performance of safety-sensitive duties.
(a) Each certificate holder or operator shall test each of its employees who perform a function listed in subpart E of this part in accordance with that subpart.
(b) Except as provided in paragraph (c) of this section, no certificate holder or operator may use any contractor to perform a function listed in subpart E of this part unless that contractor tests each employee performing such a function for the certificate holder or operator in accordance with that subpart.
(c) If a certificate holder conducts an on-demand operation into an airport at which no maintenance providers are available that are subject to the requirements of subpart E of this part and emergency maintenance is required, the certificate holder may use individuals not meeting the requirements of paragraph (b) of this section to provide such emergency maintenance under both of the following conditions:
(1) The certificate holder must give written notification of the emergency maintenance to the Drug Abatement Program Division, AAM-800, 800 Independence Avenue, SW., Washington, DC 20591, within 10 days after being provided same in accordance with this paragraph. A certificate holder must retain copies of all such written notifications for two years.
(2) The aircraft must be reinspected by maintenance personnel who meet the requirements of paragraph (b) of this section when the aircraft is next at an airport where such maintenance personnel are available.
(d) For purposes of this section, emergency maintenance means maintenance that—
(1) Is not scheduled and
(2) Is made necessary by an aircraft condition not discovered prior to the departure for that location.
(a) General. This section applies to covered employees who perform a function listed in subpart F of this part for a certificate holder. For the purpose of this section, an individual who meets the definition of covered employee in subpart F of this part is considered to be performing the function for the certificate holder.
(b) Alcohol concentration. No covered employee shall report for duty or remain on duty requiring the performance of safety-sensitive functions while having an alcohol concentration of 0.04 or greater. No certificate holder having actual knowledge that an employee has an alcohol concentration of 0.04 or greater shall permit the employee to perform or continue to perform safety-sensitive functions.
(c) On-duty use. No covered employee shall use alcohol while performing safety-sensitive functions. No certificate holder having actual knowledge that a covered employee is using alcohol while performing safety-sensitive functions shall permit the employee to perform or continue to perform safety-sensitive functions.
(d) Pre-duty use. (1) No covered employee shall perform flight crewmember or flight attendant duties within 8 hours after using alcohol. No certificate holder having actual knowledge that such an employee has used alcohol within 8 hours shall permit the employee to perform or continue to perform the specified duties.
(2) No covered employee shall perform safety-sensitive duties other than those specified in paragraph (d)(1) of this section within 4 hours after using alcohol. No certificate holder having actual knowledge that such an employee has used alcohol within 4 hours shall permit the employee to perform or to continue to perform safety-sensitive functions.
(e) Use following an accident. No covered employee who has actual knowledge of an accident involving an aircraft for which he or she performed a safety-sensitive function at or near the time of the accident shall use alcohol for 8 hours following the accident, unless he or she has been given a post-accident test under subpart F of this part, or the employer has determined that the employee's performance could not have contributed to the accident.
(f) Refusal to submit to a required alcohol test. A covered employee must not refuse to submit to any alcohol test required under subpart F of this part. A certificate holder must not permit an employee who refuses to submit to such a test to perform or continue to perform safety-sensitive functions.
(a) Each certificate holder must establish an alcohol testing program in accordance with the provisions of subpart F of this part.
(b) Except as provided in paragraph (c) of this section, no certificate holder or operator may use any individual who meets the definition of covered employee in subpart A of this part to perform a safety-sensitive function listed in that subpart F of this part unless that individual is subject to testing for alcohol misuse in accordance with the provisions of that subpart.
(c) If a certificate holder conducts an on-demand operation into an airport at which no maintenance providers are available that are subject to the requirements of subpart F of this part and emergency maintenance is required, the certificate holder may use individuals not meeting the requirements of paragraph (b) of this section to provide such emergency maintenance under both of the following conditions:
(1) The certificate holder must give written notification of the emergency maintenance to the Drug Abatement Program Division, AAM-800, 800 Independence Avenue, SW., Washington, DC 20591, within 10 days after being provided same in accordance with this paragraph. A certificate holder must retain copies of all such written notifications for two years.
(2) The aircraft must be reinspected by maintenance personnel who meet the requirements of paragraph (b) of this section when the aircraft is next at an airport where such maintenance personnel are available.
(d) For purposes of this section, emergency maintenance means maintenance that—
(1) Is not scheduled and
(2) Is made necessary by an aircraft condition not discovered prior to the departure for that location.
This subpart contains the standards and components that must be included in a drug testing program required by this part.
(a) Purpose. The purpose of this subpart is to establish a program designed to help prevent accidents and injuries resulting from the use of prohibited drugs by employees who perform safety-sensitive functions.
(b) DOT procedures. (1) Each employer shall ensure that drug testing programs conducted pursuant to 14 CFR parts 65, 91, 121, and 135 comply with the requirements of this subpart and the “Procedures for Transportation Workplace Drug Testing Programs” published by the Department of Transportation (DOT) (49 CFR part 40).
(2) An employer may not use or contract with any drug testing laboratory that is not certified by the Department of Health and Human Services (HHS) under the National Laboratory Certification Program.
(c) Employer responsibility. As an employer, you are responsible for all actions of your officials, representatives, and service agents in carrying out the requirements of this subpart and 49 CFR part 40.
(d) Applicable Federal regulations. The following applicable regulations appear in 49 CFR or 14 CFR:
(1) 49 CFR part 40—Procedures for Transportation Workplace Drug Testing Programs.
(2) 14 CFR:
(i) § 67.107—First-Class Airman Medical Certificate, Mental.
(ii) § 67.207—Second-Class Airman Medical Certificate, Mental.
(iii) § 67.307—Third-Class Airman Medical Certificate, Mental.
(iv) § 91.147—Passenger carrying flight for compensation or hire.
(v) § 135.1—Applicability.
(e) [RESERVED].
Each employee, including any assistant, helper, or individual in a training status, who performs a safety-sensitive function listed in this section directly or by contract (including by subcontract at any tier) for an employer as defined in this subpart must be subject to drug testing under a drug testing program implemented in accordance with this subpart. This includes full-time, part-time, temporary, and intermittent employees regardless of the degree of supervision. The safety-sensitive functions are:
(a) Flight crewmember duties.
(b) Flight attendant duties.
(c) Flight instruction duties.
(d) Aircraft dispatcher duties.
(e) Aircraft maintenance and preventive maintenance duties.
(f) Ground security coordinator duties.
(g) Aviation screening duties.
(h) Air traffic control duties.
(i) Operations control specialist duties.
Each employer shall test each employee who performs a safety-sensitive function for evidence of a prohibited drug during each test required by § 120.109.
Each employer shall conduct the types of testing described in this section in accordance with the procedures set forth in this subpart and the DOT “Procedures for Transportation Workplace Drug Testing Programs” (49 CFR part 40).
(a) Pre-employment drug testing. (1) No employer may hire any individual for a safety-sensitive function listed in § 120.105 unless the employer first conducts a pre-employment test and receives a verified negative drug test result for that individual.
(2) No employer may allow an individual to transfer from a nonsafety-sensitive to a safety-sensitive function unless the employer first conducts a pre-employment test and receives a verified negative drug test result for the individual.
(3) Employers must conduct another pre-employment test and receive a verified negative drug test result before hiring or transferring an individual into a safety-sensitive function if more than 180 days elapse between conducting the pre-employment test required by paragraphs (a)(1) or (2) of this section and hiring or transferring the individual into a safety-sensitive function, resulting in that individual being brought under an FAA drug testing program.
(4) If the following criteria are met, an employer is permitted to conduct a pre-employment test, and if such a test is conducted, the employer must receive a negative test result before putting the individual into a safety-sensitive function:
(i) The individual previously performed a safety-sensitive function for the employer and the employer is not required to pre-employment test the individual under paragraphs (a)(1) or (2) of this section before putting the individual to work in a safety-sensitive function;
(ii) The employer removed the individual from the employer's random testing program conducted under this subpart for reasons other than a verified positive test result on an FAA-mandated drug test or a refusal to submit to such testing; and
(iii) The individual will be returning to the performance of a safety-sensitive function.
(5) Before hiring or transferring an individual to a safety-sensitive function, the employer must advise each individual that the individual will be required to undergo pre-employment testing in accordance with this subpart, to determine the presence of a prohibited drug in the individual's system. The employer shall provide this same notification to each individual required by the employer to undergo pre-employment testing under paragraph (a)(4) of this section.
(b) Random drug testing. (1) Except as provided in paragraphs (b)(2) through (b)(4) of this section, the minimum annual percentage rate for random drug testing shall be 50 percent of covered employees.
(2) The Administrator's decision to increase or decrease the minimum annual percentage rate for random drug testing is based on the reported positive rate for the entire industry. All information used for this determination is drawn from the statistical reports required by § 120.119. In order to ensure reliability of the data, the Administrator considers the quality and completeness of the reported data, may obtain additional information or reports from employers, and may make appropriate modifications in calculating the industry positive rate. Each year, the Administrator will publish in the
(3) When the minimum annual percentage rate for random drug testing is 50 percent, the Administrator may lower this rate to 25 percent of all covered employees if the Administrator determines that the data received under the reporting requirements of this subpart for two consecutive calendar years indicate that the reported positive rate is less than 1.0 percent.
(4) When the minimum annual percentage rate for random drug testing is 25 percent, and the data received under the reporting requirements of this subpart for any calendar year indicate that the reported positive rate is equal to or greater than 1.0 percent, the Administrator will increase the minimum annual percentage rate for random drug testing to 50 percent of all covered employees.
(5) The selection of employees for random drug testing shall be made by a scientifically valid method, such as a random-number table or a computer-based random number generator that is matched with employees' Social Security numbers, payroll identification numbers, or other comparable identifying numbers. Under the selection process used, each covered employee shall have an equal chance of being tested each time selections are made.
(6) As an employer, you must select and test a percentage of employees at least equal to the minimum annual percentage rate each year.
(i) As an employer, to determine whether you have met the minimum annual percentage rate, you must divide the number of random testing results for safety-sensitive employees by the average number of safety-sensitive employees eligible for random testing.
(A) To calculate whether you have met the annual minimum percentage rate, count all random positives, random negatives, and random refusals as your “random testing results.”
(B) To calculate the average number of safety-sensitive employees eligible for random testing throughout the year, add the total number of safety-sensitive employees eligible for testing during each random testing period for the year and divide that total by the number of random testing periods. Only safety-sensitive employees are to be in an employer's random testing pool, and all safety-sensitive employees must be in the random pool. If you are an employer conducting random testing more often than once per month (e.g., you select daily, weekly, bi-weekly) you do not need to compute this total number of safety-sensitive employees more than on a once per month basis.
(ii) As an employer, you may use a service agent to perform random selections for you, and your safety-sensitive employees may be part of a larger random testing pool of safety-sensitive employees. However, you must ensure that the service agent you use is testing at the appropriate percentage established for your industry and that only safety-sensitive employees are in the random testing pool. For example:
(A) If the service agent has your employees in a random testing pool for your company alone, you must ensure that the testing is conducted at least at the minimum annual percentage rate under this part.
(B) If the service agent has your employees in a random testing pool combined with other FAA-regulated companies, you must ensure that the testing is conducted at least at the minimum annual percentage rate under this part.
(C) If the service agent has your employees in a random testing pool combined with other DOT-regulated companies, you must ensure that the testing is conducted at least at the highest rate required for any DOT-regulated company in the pool.
(7) Each employer shall ensure that random drug tests conducted under this subpart are unannounced and that the dates for administering random tests are spread reasonably throughout the calendar year.
(8) Each employer shall require that each safety-sensitive employee who is notified of selection for random drug testing proceeds to the collection site immediately; provided, however, that if the employee is performing a safety-sensitive function at the time of the notification, the employer shall instead ensure that the employee ceases to perform the safety-sensitive function and proceeds to the collection site as soon as possible.
(9) If a given covered employee is subject to random drug testing under the drug testing rules of more than one DOT agency, the employee shall be subject to random drug testing at the percentage rate established for the calendar year by the DOT agency regulating more than 50 percent of the employee's function.
(10) If an employer is required to conduct random drug testing under the drug testing rules of more than one DOT agency, the employer may—
(i) Establish separate pools for random selection, with each pool containing the covered employees who are subject to testing at the same required rate; or
(ii) Randomly select covered employees for testing at the highest percentage rate established for the calendar year by any DOT agency to which the employer is subject.
(11) An employer required to conduct random drug testing under the anti-drug rules of more than one DOT agency shall provide each such agency access to the employer's records of random drug testing, as determined to be necessary by the agency to ensure the employer's compliance with the rule.
(c) Post-accident drug testing. Each employer shall test each employee who performs a safety-sensitive function for the presence of a prohibited drug in the employee's system if that employee's performance either contributed to an accident or cannot be completely discounted as a contributing factor to the accident. The employee shall be tested as soon as possible but not later than 32 hours after the accident. The decision not to administer a test under this section must be based on a determination, using the best information available at the time of the determination, that the employee's performance could not have contributed to the accident. The employee shall submit to post-accident testing under this section.
(d) Drug testing based on reasonable cause. Each employer must test each employee who performs a safety-sensitive function and who is reasonably suspected of having used a prohibited drug. The decision to test must be based on a reasonable and articulable belief that the employee is using a prohibited drug on the basis of specific contemporaneous physical, behavioral, or performance indicators of probable drug use. At least two of the employee's supervisors, one of whom is trained in detection of the symptoms of possible drug use, must substantiate and concur in the decision to test an employee who is reasonably suspected of drug use; except that in the case of an employer, other than a part 121 certificate holder, who employs 50 or fewer employees who perform safety-sensitive functions, one supervisor who is trained in detection of symptoms of possible drug use must substantiate the decision to test an employee who is reasonably suspected of drug use.
(e) Return to duty drug testing. Each employer shall ensure that before an individual is returned to duty to perform a safety-sensitive function after refusing to submit to a drug test required by this subpart or receiving a verified positive drug test result on a test conducted under this subpart the individual shall undergo a return-to-duty drug test. No employer shall allow an individual required to undergo return-to-duty testing to perform a safety-sensitive function unless the employer has received a verified negative drug test result for the individual. The test cannot occur until after the SAP has determined that the employee has successfully complied with the prescribed education and/or treatment.
(f) Follow-up drug testing. (1) Each employer shall implement a reasonable program of unannounced testing of each individual who has been hired to perform or who has been returned to the performance of a safety-sensitive function after refusing to submit to a drug test required by this subpart or receiving a verified positive drug test result on a test conducted under this subpart.
(2) The number and frequency of such testing shall be determined by the employer's Substance Abuse Professional conducted in accordance with the provisions of 49 CFR part 40, but shall consist of at least six tests in the first 12 months following the employee's return to duty.
(3) The employer must direct the employee to undergo testing for alcohol in accordance with subpart F of this part, in addition to drugs, if the Substance Abuse Professional determines that alcohol testing is necessary for the particular employee. Any such alcohol testing shall be conducted in accordance with the provisions of 49 CFR part 40.
(4) Follow-up testing shall not exceed 60 months after the date the individual begins to perform or returns to the performance of a safety-sensitive function. The Substance Abuse Professional may terminate the requirement for follow-up testing at any time after the first six tests have been conducted, if the Substance Abuse Professional determines that such testing is no longer necessary.
(a) MRO record retention requirements. (1) Records concerning drug tests confirmed positive by the laboratory shall be maintained by the MRO for 5 years. Such records include the MRO copies of the custody and control form, medical interviews, documentation of the basis for verifying as negative test results confirmed as positive by the laboratory, any other documentation concerning the MRO's verification process.
(2) Should the employer change MRO's for any reason, the employer shall ensure that the former MRO forwards all records maintained pursuant to this rule to the new MRO within ten working days of receiving notice from the employer of the new MRO's name and address.
(3) Any employer obtaining MRO services by contract, including a contract through a C/TPA, shall ensure that the contract includes a recordkeeping provision that is consistent with this paragraph, including requirements for transferring records to a new MRO.
(b) Access to records. The employer and the MRO shall permit the Administrator or the Administrator's representative to examine records required to be kept under this subpart and 49 CFR part 40. The Administrator or the Administrator's representative may require that all records maintained by the service agent for the employer must be produced at the employer's place of business.
(c) Release of drug testing information. An employer shall release information regarding an employee's drug testing results, evaluation, or rehabilitation to a third party in accordance with 49 CFR part 40. Except as required by law, this subpart, or 49 CFR part 40, no employer shall release employee information.
(d) Refusal to submit to testing. Each employer must notify the FAA within 2 working days of any covered employee who holds a certificate issued under part 61, part 63, or part 65 of this chapter who has refused to submit to a drug test required under this subpart. Notification must be sent to: Federal Aviation Administration, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue, SW., Washington, DC 20591, or by fax to (202) 267-5200.
(e) Permanent disqualification from service. (1) An employee who has verified positive drug test results on two drug tests required by this subpart of this chapter, and conducted after September 19, 1994, is permanently precluded from performing for an employer the safety-sensitive duties the employee performed prior to the second drug test.
(2) An employee who has engaged in prohibited drug use during the performance of a safety-sensitive function after September 19, 1994 is permanently precluded from performing that safety-sensitive function for an employer.
(f) DOT management information system annual reports. Copies of any annual reports submitted to the FAA under this subpart must be maintained by the employer for a minimum of 5 years.
(a) The employer shall designate or appoint a Medical Review Officer (MRO) who shall be qualified in accordance with 49 CFR part 40 and shall perform the functions set forth in 49 CFR part 40 and this subpart. If the employer does not have a qualified individual on staff to serve as MRO, the employer may contract for the provision of MRO services as part of its drug testing program.
(b) Medical Review Officer (MRO). The MRO must perform the functions set forth in subpart G of 49 CFR part 40, and subpart E of this part. The MRO shall not delay verification of the primary test result following a request for a split specimen test unless such delay is based on reasons other than the fact that the split specimen test result is pending. If the primary test result is verified as positive, actions required under this rule (e.g., notification to the Federal Air Surgeon, removal from safety-sensitive position) are not stayed during the 72-hour request period or pending receipt of the split specimen test result.
(c) Substance Abuse Professional (SAP). The SAP must perform the functions set forth in 49 CFR part 40, subpart O.
(d) Additional Medical Review Officer, Substance Abuse Professional, and Employer Responsibilities Regarding 14 CFR part 67 Airman Medical Certificate Holders. (1) As part of verifying a confirmed positive test result or refusal to submit to a test, the MRO must ask and the individual must answer whether he or she holds an airman medical certificate issued under 14 CFR part 67 or would be required to hold an airman medical certificate to perform a safety-sensitive function for the employer. If the individual answers in the affirmative to either question, in addition to notifying the employer in accordance with 49 CFR part 40, the MRO must forward to the Federal Air Surgeon, at the address listed in paragraph (d)(5) of this section, the name of the individual, along with identifying information and supporting documentation, within 2 working days after verifying a positive drug test result or refusal to submit to a test.
(2) During the SAP interview required for a verified positive test result or a refusal to submit to a test, the SAP must ask and the individual must answer whether he or she holds or would be required to hold an airman medical certificate issued under 14 CFR part 67 to perform a safety-sensitive function for the employer. If the individual answers in the affirmative, the individual must obtain an airman medical certificate issued by the Federal Air Surgeon dated after the verified positive drug test result date or refusal to test date. After the individual obtains this airman medical certificate, the SAP may recommend to the employer that the individual may be returned to a safety-sensitive position. The receipt of an airman medical certificate does not alter any obligations otherwise required by 49 CFR part 40 or this subpart.
(3) An employer must forward to the Federal Air Surgeon within 2 working days of receipt, copies of all reports provided to the employer by a SAP regarding the following:
(i) An individual who the MRO has reported to the Federal Air Surgeon under § 120.113 (d)(1); or
(ii) An individual who the employer has reported to the Federal Air Surgeon under § 120.111(d).
(4) The employer must not permit an employee who is required to hold an airman medical certificate under 14 CFR part 67 to perform a safety-sensitive duty to resume that duty until the employee has:
(i) Been issued an airman medical certificate from the Federal Air Surgeon after the date of the verified positive drug test result or refusal to test; and
(ii) Met the return to duty requirements in accordance with 49 CFR part 40.
(5) Reports required under this section shall be forwarded to the Federal Air Surgeon, Federal Aviation Administration, Office of Aerospace Medicine, Attn: Drug Abatement Division (AAM-800), 800 Independence Avenue, SW., Washington, DC 20591.
(6) MROs, SAPs, and employers who send reports to the Federal Air Surgeon must keep a copy of each report for 5 years.
(a) The employer shall provide an EAP for employees. The employer may establish the EAP as a part of its internal personnel services or the employer may contract with an entity that will provide EAP services to an employee. Each EAP must include education and training on drug use for employees and training for supervisors making determinations for testing of employees based on reasonable cause.
(b) EAP education program. (1) Each EAP education program must include at least the following elements:
(i) Display and distribution of informational material;
(ii) Display and distribution of a community service hot-line telephone number for employee assistance; and
(iii) Display and distribution of the employer's policy regarding drug use in the workplace.
(2) The employer's policy shall include information regarding the consequences under the rule of using drugs while performing safety-sensitive functions, receiving a verified positive drug test result, or refusing to submit to a drug test required under the rule.
(c) EAP training program. (1) Each employer shall implement a reasonable program of initial training for employees. The employee training program must include at least the following elements:
(i) The effects and consequences of drug use on individual health, safety, and work environment;
(ii) The manifestations and behavioral cues that may indicate drug use and abuse; and
(2) The employer's supervisory personnel who will determine when an employee is subject to testing based on reasonable cause shall receive specific training on specific, contemporaneous physical, behavioral, and performance indicators of probable drug use in addition to the training specified in § 120.115 (c).
(3) The employer shall ensure that supervisors who will make reasonable cause determinations receive at least 60 minutes of initial training.
(4) The employer shall implement a reasonable recurrent training program for supervisory personnel making reasonable cause determinations during subsequent years.
(5) Documentation of all training given to employees and supervisory personnel must be included in the training program.
(6) The employer shall identify the employee and supervisor EAP training in the employer's drug testing program.
(a) Each company must meet the requirements of this subpart. Use the following chart to determine whether your company must obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification, Letter of Authorization, or Drug and Alcohol Testing Program Registration from the FAA:
| If you are . . . | You must . . . |
|---|---|
| (1) A part 119 certificate holder with authority to operate under parts 121 or 135 | Obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification by contacting your FAA Principal Operations Inspector. |
| (2) An operator as defined in § 91.147 of this chapter | Obtain a Letter of Authorization by contacting the Flight Standards District Office nearest to your principal place of business. |
| (3) A part 119 certificate holder with authority to operate under parts 121 or 135 and an operator as defined in § 91.147 of this chapter | Complete the requirements in paragraphs 1 and 2 of this chart and advise the Flight Standards District Office and the Drug Abatement Division that the § 91.147 operation will be included under the part 119 testing program. Contact the Drug Abatement Division at FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591. |
| (4) An air traffic control facility not operated by the FAA or by or under contract to the U.S. Military | Register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591. |
| (5) A part 145 certificate holder located inside the territory of the United States who has your own drug testing program | Obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification by contacting your Principal Maintenance Inspector or register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW, Washington, DC 20591, if you opt to conduct your own drug testing program. |
| (6) A part 145 certificate holder located outside the territory of the United States whose employees perform safety-sensitive maintenance functions on part 121 air carrier aircraft, unless you have received recognition pursuant to § 120.10 | Obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification by contacting your Principal Maintenance Inspector. |
| (7) A contractor who has your own drug testing program | Register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591, if you opt to conduct your own drug testing program. |
(b) Use the following chart for implementing a drug testing program if you are applying for a part 119 certificate with authority to operate under parts 121 or 135 of this chapter, if you intend to begin operations as defined in § 91.147 of this chapter, or if you intend to begin air traffic control operations (not operated by the FAA or by or under contract to the U.S. Military). Use it to determine whether you need to have an Antidrug and Alcohol Misuse Prevention Program Operations Specification, Letter of Authorization, or Drug and Alcohol Testing Program Registration from the FAA. Your employees who perform safety-sensitive functions must be tested in accordance with this subpart. The chart follows:
| If you . . . | You must . . . |
|---|---|
| (1) Apply for a part 119 certificate with authority to operate under parts 121 or 135 | (i) Have an Antidrug and Alcohol Misuse Prevention Program Operations Specification, |
| (ii) Implement an FAA drug testing program no later than the date you start operations, and | |
| (iii) Meet the requirements of this subpart. | |
| (2) Intend to begin operations as defined in § 91.147 of this chapter | (i) Have a Letter of Authorization, |
| (ii) Implement an FAA drug testing program no later than the date you start operations, and | |
| (iii) Meet the requirements of this subpart. | |
| (3) Apply for a part 119 certificate with authority to operate under parts 121 or 135 and intend to begin operations as defined in § 91.147 of this chapter | (i) Have an Antidrug and Alcohol Misuse Prevention Program Operations Specification and a Letter of Authorization, |
| (ii) Implement your combined FAA drug testing program no later than the date you start operations, and | |
| (iii) Meet the requirements of this subpart. | |
| (4) Intend to begin air traffic control operations (at an air traffic control facility not operated by the FAA or by or under contract to the U.S. military) | (i) Register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591, prior to starting operations, |
| (ii) Implement an FAA drug testing program no later than the date you start operations, and | |
| (iii) Meet the requirements of this subpart. |
(c) If you are an individual or company that intends to provide safety-sensitive services by contract to a part 119 certificate holder with authority to operate under part 121 and/or part 135 of this chapter, an operation as defined in § 91.147 of this chapter, or an air traffic control facility not operated by the FAA or by or under contract to the U.S. military, use the following chart to determine what you must do if you opt to have your own drug testing program.
| If you are . . . | You must . . . |
|---|---|
| (1) A part 145 certificate holder located inside the territory of the United States and opt to conduct your own program under this part | (i) Have an Antidrug and Alcohol Misuse Prevention Program Operations Specification or register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW, Washington, DC 20591, |
| (ii) Implement an FAA drug testing program no later than the date you start performing safety-sensitive functions for a part 119 certificate holder with authority to operate under part 121 or 135, or operator as defined in § 91.147 of this chapter, and | |
| (iii) Meet the requirements of this subpart as if you were an employer. | |
| (2) A part 145 certificate holder located outside the territory of the United States whose employees perform maintenance functions on part 121 air carrier aircraft, unless you have received recognition pursuant to § 120.10 | (i) Obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification by contacting your Principal Maintenance Inspector.
(ii) Implement a drug testing program acceptable to the Administrator no later than December 20, 2027, and (iii) Meet the requirements of this subpart as if you were an employer in accordance with any applicable waivers or exemptions. |
| (3) A contractor who opts to implement a testing program under this part | (i) Register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW, Washington, DC 20591, |
| (ii) Implement an FAA drug testing program no later than the date you start performing safety-sensitive functions for a part 119 certificate holder with authority to operate under part 121 or 135, or operator as defined in § 91.147 of this chapter, or an air traffic control facility not operated by the FAA or by or under contract to the U.S. Military, and | |
| (iii) Meet the requirements of this subpart as if you were an employer. |
(d) Obtaining an Antidrug and Alcohol Misuse Prevention Program Operations Specification. (1) To obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification, you must contact your FAA Principal Operations Inspector or Principal Maintenance Inspector. Provide him/her with the following information:
(i) Company name.
(ii) Certificate number.
(iii) Telephone number.
(iv) Address where your drug and alcohol testing program records are kept.
(v) Whether you have 50 or more safety-sensitive employees, or 49 or fewer safety-sensitive employees. (Part 119 certificate holders with authority to operate only under part 121 of this chapter are not required to provide this information.)
(2) You must certify on your Antidrug and Alcohol Misuse Prevention Program Operations Specification issued by your FAA Principal Operations Inspector or Principal Maintenance Inspector that you will comply with this part and 49 CFR part 40.
(3) You are required to obtain only one Antidrug and Alcohol Misuse Prevention Program Operations Specification to satisfy this requirement under this part.
(4) You must update the Antidrug and Alcohol Misuse Prevention Program Operations Specification when any changes to the information contained in the Operation Specification occur.
(e) Register your Drug and Alcohol Testing Program by obtaining a Letter of Authorization from the FAA in accordance with § 91.147. (1) A drug and alcohol testing program is considered registered when the following information is submitted to the Flight Standards District Office nearest your principal place of business:
(i) Company name.
(ii) Telephone number.
(iii) Address where your drug and alcohol testing program records are kept.
(iv) Type of safety-sensitive functions you or your employees perform (such as flight instruction duties, aircraft dispatcher duties, maintenance or preventive maintenance duties, ground security coordinator duties, aviation screening duties, air traffic control duties).
(v) Whether you have 50 or more covered employees, or 49 or fewer covered employees.
(vi) A signed statement indicating that your company will comply with this part and 49 CFR part 40.
(2) This Letter of Authorization will satisfy the requirements for both your drug testing program under this subpart and your alcohol testing program under subpart F of this part.
(3) Update the Letter of Authorization information as changes occur. Send the updates to the Flight Standards District Office nearest your principal place of business.
(4) If you are a part 119 certificate holder with authority to operate under parts 121 or 135 and intend to begin operations as defined in § 91.147 of this chapter, you must also advise the Federal Aviation Administration, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591.
(f) Obtaining a Drug and Alcohol Testing Program Registration from the FAA. (1) Except as provided in paragraphs (d) and (e) of this section, to obtain a Drug and Alcohol Testing Program Registration from the FAA, you must submit the following information to the Office of Aerospace Medicine, Drug Abatement Division:
(i) Company name.
(ii) Telephone number.
(iii) Address where your drug and alcohol testing program records are kept.
(iv) Type of safety-sensitive functions you or your employees perform (such as flight instruction duties, aircraft dispatcher duties, maintenance or preventive maintenance duties, ground security coordinator duties, aviation screening duties, air traffic control duties).
(v) Whether you have 50 or more covered employees, or 49 or fewer covered employees.
(vi) A signed statement indicating that: your company will comply with this part and 49 CFR part 40; and you intend to provide safety-sensitive functions by contract (including subcontract at any tier) to a part 119 certificate holder with authority to operate under part 121 or part 135 of this chapter, an operator as defined in § 91.147 of this chapter, or an air traffic control facility not operated by the FAA or by or under contract to the U.S. military.
(2) Send this information to the Federal Aviation Administration, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591.
(3) This Drug and Alcohol Testing Program Registration will satisfy the registration requirements for both your drug testing program under this subpart and your alcohol testing program under subpart F of this part.
(4) Update the registration information as changes occur. Send the updates to the address specified in paragraph (f)(2) of this section.
(a) Annual reports of testing results must be submitted to the FAA by March 15 of the succeeding calendar year for the prior calendar year (January 1 through December 31) in accordance with the following provisions:
(1) Each part 121 certificate holder shall submit an annual report each year.
(2) Each entity conducting a drug testing program under this part, other than a part 121 certificate holder, that has 50 or more employees performing a safety-sensitive function on January 1 of any calendar year shall submit an annual report to the FAA for that calendar year.
(3) The Administrator reserves the right to require that aviation employers not otherwise required to submit annual reports prepare and submit such reports to the FAA. Employers that will be required to submit annual reports under this provision will be notified in writing by the FAA.
(b) As an employer, you must use the Management Information System (MIS) form and instructions as required by 49 CFR part 40 (at 49 CFR 40.26 and appendix J to 49 CFR part 40). You may also use the electronic version of the MIS form provided by DOT. The Administrator may designate means (e.g., electronic program transmitted via the Internet) other than hard-copy, for MIS form submission. For information on where to submit MIS forms and for the electronic version of the form, see: http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam/drug_alcohol.
(c) A service agent may prepare the MIS report on behalf of an employer. However, a company official (e.g., Designated Employer Representative as defined in 49 CFR part 40) must certify the accuracy and completeness of the MIS report, no matter who prepares it.
(a) The issuance of 14 CFR parts 65, 91, 121, and 135 by the FAA preempts any State or local law, rule, regulation, order, or standard covering the subject matter of 14 CFR parts 65, 91, 121, and 135, including but not limited to, drug testing of aviation personnel performing safety-sensitive functions.
(b) The issuance of 14 CFR parts 65, 91, 121, and 135 does not preempt provisions of state criminal law that impose sanctions for reckless conduct of an individual that leads to actual loss of life, injury, or damage to property whether such provisions apply specifically to aviation employees or generally to the public.
(a) Except for those testing processes applicable to persons testing pursuant to § 120.1(d), no part of the testing process (including specimen collection, laboratory processing, and MRO actions) shall be conducted outside the territory of the United States.
(1) Except for those persons testing pursuant to § 120.1(d), each employee who is assigned to perform safety-sensitive functions solely outside the territory of the United States shall be removed from the random testing pool upon the inception of such assignment.
(2) Each covered employee who is removed from the random testing pool under this section shall be returned to the random testing pool when the employee resumes the performance of safety-sensitive functions wholly or partially within the territory of the United States.
(b) Except for those persons testing pursuant to § 120.1(d), the provisions of this subpart shall not apply to any individual who performs a function listed in § 120.105 by contract for an employer outside the territory of the United States.
An employer subject to this part may petition the Drug Abatement Division, Office of Aerospace Medicine, for a waiver allowing the employer to stand down an employee following a report of a laboratory confirmed positive drug test or refusal, pending the outcome of the verification process.
(a) Each petition for a waiver must be in writing and include substantial facts and justification to support the waiver. Each petition must satisfy the substantive requirements for obtaining a waiver, as provided in 49 CFR 40.21.
(b) Each petition for a waiver must be submitted to the Federal Aviation Administration, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue, SW., Washington, DC 20591.
(c) The Administrator may grant a waiver subject to 49 CFR 40.21(d).
This subpart contains the standards and components that must be included in an alcohol testing program required by this part.
(a) Purpose. The purpose of this subpart is to establish programs designed to help prevent accidents and injuries resulting from the misuse of alcohol by employees who perform safety-sensitive functions in aviation.
(b) Alcohol testing procedures. Each employer shall ensure that all alcohol testing conducted pursuant to this subpart complies with the procedures set forth in 49 CFR part 40. The provisions of 49 CFR part 40 that address alcohol testing are made applicable to employers by this subpart.
(c) Employer responsibility. As an employer, you are responsible for all actions of your officials, representatives, and service agents in carrying out the requirements of the DOT agency regulations.
(a) Except as provided in paragraph (a)(2) of this section, these regulations preempt any State or local law, rule, regulation, or order to the extent that:
(1) Compliance with both the State or local requirement and this subpart is not possible; or
(2) Compliance with the State or local requirement is an obstacle to the accomplishment and execution of any requirement in this subpart.
(b) The alcohol testing requirements of this title shall not be construed to preempt provisions of State criminal law that impose sanctions for reckless conduct leading to actual loss of life, injury, or damage to property, whether the provisions apply specifically to transportation employees or employers or to the general public.
Except as expressly provided in these alcohol testing requirements, nothing in this subpart shall be construed to affect the authority of employers, or the rights of employees, with respect to the use or possession of alcohol, including any authority and rights with respect to alcohol testing and rehabilitation.
Before performing an alcohol test under this subpart, each employer shall notify a covered employee that the alcohol test is required by this subpart. No employer shall falsely represent that a test is administered under this subpart.
The following applicable regulations appear in 49 CFR and 14 CFR:
(a) 49 CFR Part 40—Procedures for Transportation Workplace Drug Testing Programs
(b) 14 CFR:
(1) § 67.107—First-Class Airman Medical Certificate, Mental.
(2) § 67.207—Second-Class Airman Medical Certificate, Mental.
(3) § 67.307—Third-Class Airman Medical Certificate, Mental.
(4) § 91.147—Passenger carrying flights for compensation or hire.
(5) § 135.1—Applicability
(a) Each employee, including any assistant, helper, or individual in a training status, who performs a safety-sensitive function listed in this section directly or by contract (including by subcontract at any tier) for an employer as defined in this subpart must be subject to alcohol testing under an alcohol testing program implemented in accordance with this subpart. This includes full-time, part-time, temporary, and intermittent employees regardless of the degree of supervision. The safety-sensitive functions are:
(1) Flight crewmember duties.
(2) Flight attendant duties.
(3) Flight instruction duties.
(4) Aircraft dispatcher duties.
(5) Aircraft maintenance or preventive maintenance duties.
(6) Ground security coordinator duties.
(7) Aviation screening duties.
(8) Air traffic control duties.
(9) Operations control specialist duties.
(b) Each employer must identify any employee who is subject to the alcohol testing regulations of more than one DOT agency. Prior to conducting any alcohol test on a covered employee subject to the alcohol testing regulations of more than one DOT agency, the employer must determine which DOT agency authorizes or requires the test.
(a) Pre-employment alcohol testing. As an employer, you may, but are not required to, conduct pre-employment alcohol testing under this subpart. If you choose to conduct pre-employment alcohol testing, you must comply with the following requirements:
(1) You must conduct a pre-employment alcohol test before the first performance of safety-sensitive functions by every covered employee (whether a new employee or someone who has transferred to a position involving the performance of safety-sensitive functions).
(2) You must treat all safety-sensitive employees performing safety-sensitive functions the same for the purpose of pre-employment alcohol testing (i.e., you must not test some covered employees and not others).
(3) You must conduct the pre-employment tests after making a contingent offer of employment or transfer, subject to the employee passing the pre-employment alcohol test.
(4) You must conduct all pre-employment alcohol tests using the alcohol testing procedures of 49 CFR part 40.
(5) You must not allow a covered employee to begin performing safety-sensitive functions unless the result of the employee's test indicates an alcohol concentration of less than 0.04. If a pre-employment test result under this paragraph indicates an alcohol concentration of 0.02 or greater but less than 0.04, the provisions of § 120.221(f) apply.
(b) Post-accident alcohol testing. (1) As soon as practicable following an accident, each employer shall test each surviving covered employee for alcohol if that employee's performance of a safety-sensitive function either contributed to the accident or cannot be completely discounted as a contributing factor to the accident. The decision not to administer a test under this section shall be based on the employer's determination, using the best available information at the time of the determination, that the covered employee's performance could not have contributed to the accident.
(2) If a test required by this section is not administered within 2 hours following the accident, the employer shall prepare and maintain on file a record stating the reasons the test was not promptly administered. If a test required by this section is not administered within 8 hours following the accident, the employer shall cease attempts to administer an alcohol test and shall prepare and maintain the same record. Records shall be submitted to the FAA upon request of the Administrator or his or her designee.
(3) A covered employee who is subject to post-accident testing shall remain readily available for such testing or may be deemed by the employer to have refused to submit to testing. Nothing in this section shall be construed to require the delay of necessary medical attention for injured people following an accident or to prohibit a covered employee from leaving the scene of an accident for the period necessary to obtain assistance in responding to the accident or to obtain necessary emergency medical care.
(c) Random alcohol testing. (1) Except as provided in paragraphs (c)(2) through (c)(4) of this section, the minimum annual percentage rate for random alcohol testing will be 25 percent of the covered employees.
(2) The Administrator's decision to increase or decrease the minimum annual percentage rate for random alcohol testing is based on the violation rate for the entire industry. All information used for this determination is drawn from MIS reports required by this subpart. In order to ensure reliability of the data, the Administrator considers the quality and completeness of the reported data, may obtain additional information or reports from employers, and may make appropriate modifications in calculating the industry violation rate. Each year, the Administrator will publish in the
(3)(i) When the minimum annual percentage rate for random alcohol testing is 25 percent or more, the Administrator may lower this rate to 10 percent of all covered employees if the Administrator determines that the data received under the reporting requirements of this subpart for two consecutive calendar years indicate that the violation rate is less than 0.5 percent.
(ii) When the minimum annual percentage rate for random alcohol testing is 50 percent, the Administrator may lower this rate to 25 percent of all covered employees if the Administrator determines that the data received under the reporting requirements of this subpart for two consecutive calendar years indicate that the violation rate is less than 1.0 percent but equal to or greater than 0.5 percent.
(4)(i) When the minimum annual percentage rate for random alcohol testing is 10 percent, and the data received under the reporting requirements of this subpart for that calendar year indicate that the violation rate is equal to or greater than 0.5 percent but less than 1.0 percent, the Administrator will increase the minimum annual percentage rate for random alcohol testing to 25 percent of all covered employees.
(ii) When the minimum annual percentage rate for random alcohol testing is 25 percent or less, and the data received under the reporting requirements of this subpart for that calendar year indicate that the violation rate is equal to or greater than 1.0 percent, the Administrator will increase the minimum annual percentage rate for random alcohol testing to 50 percent of all covered employees.
(5) The selection of employees for random alcohol testing shall be made by a scientifically valid method, such as a random-number table or a computer-based random number generator that is matched with employees' Social Security numbers, payroll identification numbers, or other comparable identifying numbers. Under the selection process used, each covered employee shall have an equal chance of being tested each time selections are made.
(6) As an employer, you must select and test a percentage of employees at least equal to the minimum annual percentage rate each year.
(i) As an employer, to determine whether you have met the minimum annual percentage rate, you must divide the number of random alcohol screening test results for safety-sensitive employees by the average number of safety-sensitive employees eligible for random testing.
(A) To calculate whether you have met the annual minimum percentage rate, count all random screening test results below 0.02 breath alcohol concentration, random screening test results of 0.02 or greater breath alcohol concentration, and random refusals as your “random alcohol screening test results.”
(B) To calculate the average number of safety-sensitive employees eligible for random testing throughout the year, add the total number of safety-sensitive employees eligible for testing during each random testing period for the year and divide that total by the number of random testing periods. Only safety-sensitive employees are to be in an employer's random testing pool, and all safety-sensitive employees must be in the random pool. If you are an employer conducting random testing more often than once per month (e.g., you select daily, weekly, bi-weekly) you do not need to compute this total number of safety-sensitive employees more than on a once per month basis.
(ii) As an employer, you may use a service agent to perform random selections for you, and your safety-sensitive employees may be part of a larger random testing pool of safety-sensitive employees. However, you must ensure that the service agent you use is testing at the appropriate percentage established for your industry and that only safety-sensitive employees are in the random testing pool. For example:
(A) If the service agent has your employees in a random testing pool for your company alone, you must ensure that the testing is conducted at least at the minimum annual percentage rate under this part.
(B) If the service agent has your employees in a random testing pool combined with other FAA-regulated companies, you must ensure that the testing is conducted at least at the minimum annual percentage rate under this part.
(C) If the service agent has your employees in a random testing pool combined with other DOT-regulated companies, you must ensure that the testing is conducted at least at the highest rate required for any DOT-regulated company in the pool.
(7) Each employer shall ensure that random alcohol tests conducted under this subpart are unannounced and that the dates for administering random tests are spread reasonably throughout the calendar year.
(8) Each employer shall require that each covered employee who is notified of selection for random testing proceeds to the testing site immediately; provided, however, that if the employee is performing a safety-sensitive function at the time of the notification, the employer shall instead ensure that the employee ceases to perform the safety-sensitive function and proceeds to the testing site as soon as possible.
(9) A covered employee shall only be randomly tested while the employee is performing safety-sensitive functions; just before the employee is to perform safety-sensitive functions; or just after the employee has ceased performing such functions.
(10) If a given covered employee is subject to random alcohol testing under the alcohol testing rules of more than one DOT agency, the employee shall be subject to random alcohol testing at the percentage rate established for the calendar year by the DOT agency regulating more than 50 percent of the employee's functions.
(11) If an employer is required to conduct random alcohol testing under the alcohol testing rules of more than one DOT agency, the employer may—
(i) Establish separate pools for random selection, with each pool containing the covered employees who are subject to testing at the same required rate; or
(ii) Randomly select such employees for testing at the highest percentage rate established for the calendar year by any DOT agency to which the employer is subject.
(d) Reasonable suspicion alcohol testing. (1) An employer shall require a covered employee to submit to an alcohol test when the employer has reasonable suspicion to believe that the employee has violated the alcohol misuse prohibitions in §§ 120.19 or 120.37.
(2) The employer's determination that reasonable suspicion exists to require the covered employee to undergo an alcohol test shall be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the employee. The required observations shall be made by a supervisor who is trained in detecting the symptoms of alcohol misuse. The supervisor who makes the determination that reasonable suspicion exists shall not conduct the breath alcohol test on that employee.
(3) Alcohol testing is authorized by this section only if the observations required by paragraph (d)(2) of this section are made during, just preceding, or just after the period of the work day that the covered employee is required to be in compliance with this rule. An employee may be directed by the employer to undergo reasonable suspicion testing for alcohol only while the employee is performing safety-sensitive functions; just before the employee is to perform safety-sensitive functions; or just after the employee has ceased performing such functions.
(4)(i) If a test required by this section is not administered within 2 hours following the determination made under paragraph (d)(2) of this section, the employer shall prepare and maintain on file a record stating the reasons the test was not promptly administered. If a test required by this section is not administered within 8 hours following the determination made under paragraph (d)(2) of this section, the employer shall cease attempts to administer an alcohol test and shall state in the record the reasons for not administering the test.
(ii) Notwithstanding the absence of a reasonable suspicion alcohol test under this section, no covered employee shall report for duty or remain on duty requiring the performance of safety-sensitive functions while the employee is under the influence of, or impaired by, alcohol, as shown by the behavioral, speech, or performance indicators of alcohol misuse, nor shall an employer permit the covered employee to perform or continue to perform safety-sensitive functions until:
(A) An alcohol test is administered and the employee's alcohol concentration measures less than 0.02; or
(B) The start of the employee's next regularly scheduled duty period, but not less than 8 hours following the determination made under paragraph (d)(2) of this section that there is reasonable suspicion that the employee has violated the alcohol misuse provisions in §§ 120.19 or 120.37.
(iii) No employer shall take any action under this subpart against a covered employee based solely on the employee's behavior and appearance in the absence of an alcohol test. This does not prohibit an employer with authority independent of this subpart from taking any action otherwise consistent with law.
(e) Return-to-duty alcohol testing. Each employer shall ensure that before a covered employee returns to duty requiring the performance of a safety-sensitive function after engaging in conduct prohibited in §§ 120.19 or 120.37 the employee shall undergo a return-to-duty alcohol test with a result indicating an alcohol concentration of less than 0.02. The test cannot occur until after the SAP has determined that the employee has successfully complied with the prescribed education and/or treatment.
(f) Follow-up alcohol testing. (1) Each employer shall ensure that the employee who engages in conduct prohibited by §§ 120.19 or 120.37, is subject to unannounced follow-up alcohol testing as directed by a SAP.
(2) The number and frequency of such testing shall be determined by the employer's SAP, but must consist of at least six tests in the first 12 months following the employee's return to duty.
(3) The employer must direct the employee to undergo testing for drugs in accordance with subpart E of this part, in addition to alcohol, if the SAP determines that drug testing is necessary for the particular employee. Any such drug testing shall be conducted in accordance with the provisions of 49 CFR part 40.
(4) Follow-up testing shall not exceed 60 months after the date the individual begins to perform, or returns to the performance of, a safety-sensitive function. The SAP may terminate the requirement for follow-up testing at any time after the first six tests have been conducted, if the SAP determines that such testing is no longer necessary.
(5) A covered employee shall be tested for alcohol under this section only while the employee is performing safety-sensitive functions, just before the employee is to perform safety-sensitive functions, or just after the employee has ceased performing such functions.
(g) Retesting of covered employees with an alcohol concentration of 0.02 or greater but less than 0.04. Each employer shall retest a covered employee to ensure compliance with the provisions of § 120.221(f) if the employer chooses to permit the employee to perform a safety-sensitive function within 8 hours following the administration of an alcohol test indicating an alcohol concentration of 0.02 or greater but less than 0.04.
(a) Retention of records. (1) General requirement. In addition to the records required to be maintained under 49 CFR part 40, employers must maintain records required by this subpart in a secure location with controlled access.
(2) Period of retention.
(i) Five years.
(A) Copies of any annual reports submitted to the FAA under this subpart for a minimum of 5 years.
(B) Records of notifications to the Federal Air Surgeon of refusals to submit to testing and violations of the alcohol misuse prohibitions in this chapter by covered employees who hold medical certificates issued under part 67 of this chapter.
(C) Documents presented by a covered employee to dispute the result of an alcohol test administered under this subpart.
(D) Records related to other violations of §§ 120.19 or 120.37.
(ii) Two years. Records related to the testing process and training required under this subpart.
(A) Documents related to the random selection process.
(B) Documents generated in connection with decisions to administer reasonable suspicion alcohol tests.
(C) Documents generated in connection with decisions on post-accident tests.
(D) Documents verifying existence of a medical explanation of the inability of a covered employee to provide adequate breath for testing.
(E) Materials on alcohol misuse awareness, including a copy of the employer's policy on alcohol misuse.
(F) Documentation of compliance with the requirements of § 120.223(a).
(G) Documentation of training provided to supervisors for the purpose of qualifying the supervisors to make a determination concerning the need for alcohol testing based on reasonable suspicion.
(H) Certification that any training conducted under this subpart complies with the requirements for such training.
(b) Annual reports. (1) Annual reports of alcohol testing program results must be submitted to the FAA by March 15 of the succeeding calendar year for the prior calendar year (January 1 through December 31) in accordance with the provisions of paragraphs (b)(1)(i) through (iii) of this section.
(i) Each part 121 certificate holder shall submit an annual report each year.
(ii) Each entity conducting an alcohol testing program under this part, other than a part 121 certificate holder, that has 50 or more employees performing a safety-sensitive function on January 1 of any calendar year shall submit an annual report to the FAA for that calendar year.
(iii) The Administrator reserves the right to require that aviation employers not otherwise required to submit annual reports prepare and submit such reports to the FAA. Employers that will be required to submit annual reports under this provision will be notified in writing by the FAA.
(2) As an employer, you must use the Management Information System (MIS) form and instructions as required by 49 CFR part 40 (at 49 CFR 40.26 and appendix J to 49 CFR part 40). You may also use the electronic version of the MIS form provided by the DOT. The Administrator may designate means (e.g., electronic program transmitted via the Internet) other than hard-copy, for MIS form submission. For information on where to submit MIS forms and for the electronic version of the form, see: http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam/drug_alcohol/.
(3) A service agent may prepare the MIS report on behalf of an employer. However, a company official (e.g., Designated Employer Representative as defined in 49 CFR part 40) must certify the accuracy and completeness of the MIS report, no matter who prepares it.
(c) Access to records and facilities. (1) Except as required by law or expressly authorized or required in this subpart, no employer shall release covered employee information that is contained in records required to be maintained under this subpart.
(2) A covered employee is entitled, upon written request, to obtain copies of any records pertaining to the employee's use of alcohol, including any records pertaining to his or her alcohol tests in accordance with 49 CFR part 40. The employer shall promptly provide the records requested by the employee. Access to an employee's records shall not be contingent upon payment for records other than those specifically requested.
(3) Each employer shall permit access to all facilities utilized in complying with the requirements of this subpart to the Secretary of Transportation or any DOT agency with regulatory authority over the employer or any of its covered employees.
(a) Removal from safety-sensitive function. (1) Except as provided in 49 CFR part 40, no covered employee shall perform safety-sensitive functions if the employee has engaged in conduct prohibited by §§ 120.19 or 120.37, or an alcohol misuse rule of another DOT agency.
(2) No employer shall permit any covered employee to perform safety-sensitive functions if the employer has determined that the employee has violated this section.
(b) Permanent disqualification from service. (1) An employee who violates §§ 120.19(c) or 120.37(c) is permanently precluded from performing for an employer the safety-sensitive duties the employee performed before such violation.
(2) An employee who engages in alcohol use that violates another alcohol misuse provision of §§ 120.19 or 120.37, and who had previously engaged in alcohol use that violated the provisions of §§ 120.19 or 120.37 after becoming subject to such prohibitions, is permanently precluded from performing for an employer the safety-sensitive duties the employee performed before such violation.
(c) Notice to the Federal Air Surgeon. (1) An employer who determines that a covered employee who holds an airman medical certificate issued under part 67 of this chapter has engaged in alcohol use that violated the alcohol misuse provisions of §§ 120.19 or 120.37 shall notify the Federal Air Surgeon within 2 working days.
(2) Each such employer shall forward to the Federal Air Surgeon a copy of the report of any evaluation performed under the provisions of § 120.223(c) within 2 working days of the employer's receipt of the report.
(3) All documents must be sent to the Federal Air Surgeon, Federal Aviation Administration, Office of Aerospace Medicine, Attn: Drug Abatement Division (AAM-800), 800 Independence Avenue, SW., Washington, DC 20591.
(4) No covered employee who is required to hold an airman medical certificate in order to perform a safety-sensitive duty may perform that duty following a violation of this subpart until the covered employee obtains an airman medical certificate issued by the Federal Air Surgeon dated after the alcohol test result or refusal to test date. After the covered employee obtains this airman medical certificate, the SAP may recommend to the employer that the covered employee may be returned to a safety-sensitive position. The receipt of an airman medical certificate does not alter any obligations otherwise required by 49 CFR part 40 or this subpart.
(5) Once the Federal Air Surgeon has recommended under paragraph (c)(4) of this section that the employee be permitted to perform safety-sensitive duties, the employer cannot permit the employee to perform those safety-sensitive duties until the employer has ensured that the employee meets the return to duty requirements in accordance with 49 CFR part 40.
(d) Notice of refusals. Each covered employer must notify the FAA within 2 working days of any covered employee who holds a certificate issued under part 61, part 63, or part 65 of this chapter who has refused to submit to an alcohol test required under this subpart. Notification must be sent to: Federal Aviation Administration, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue, SW., Washington, DC 20591, or by fax to (202) 267-5200.
(e) Required evaluation and alcohol testing. No covered employee who has engaged in conduct prohibited by §§ 120.19 or 120.37 shall perform safety-sensitive functions unless the employee has met the requirements of 49 CFR part 40. No employer shall permit a covered employee who has engaged in such conduct to perform safety-sensitive functions unless the employee has met the requirements of 49 CFR part 40.
(f) Other alcohol-related conduct. (1) No covered employee tested under this subpart who is found to have an alcohol concentration of 0.02 or greater but less than 0.04 shall perform or continue to perform safety-sensitive functions for an employer, nor shall an employer permit the employee to perform or continue to perform safety-sensitive functions, until:
(i) The employee's alcohol concentration measures less than 0.02; or
(ii) The start of the employee's next regularly scheduled duty period, but not less than 8 hours following administration of the test.
(2) Except as provided in paragraph (f)(1) of this section, no employer shall take any action under this rule against an employee based solely on test results showing an alcohol concentration less than 0.04. This does not prohibit an employer with authority independent of this rule from taking any action otherwise consistent with law.
(a) Employer obligation to promulgate a policy on the misuse of alcohol. (1) General requirements. Each employer shall provide educational materials that explain these alcohol testing requirements and the employer's policies and procedures with respect to meeting those requirements.
(i) The employer shall ensure that a copy of these materials is distributed to each covered employee prior to the start of alcohol testing under the employer's FAA-mandated alcohol testing program and to each individual subsequently hired for or transferred to a covered position.
(ii) Each employer shall provide written notice to representatives of employee organizations of the availability of this information.
(2) Required content. The materials to be made available to employees shall include detailed discussion of at least the following:
(i) The identity of the individual designated by the employer to answer employee questions about the materials.
(ii) The categories of employees who are subject to the provisions of these alcohol testing requirements.
(iii) Sufficient information about the safety-sensitive functions performed by those employees to make clear what period of the work day the covered employee is required to be in compliance with these alcohol testing requirements.
(iv) Specific information concerning employee conduct that is prohibited by this chapter.
(v) The circumstances under which a covered employee will be tested for alcohol under this subpart.
(vi) The procedures that will be used to test for the presence of alcohol, protect the employee and the integrity of the breath testing process, safeguard the validity of the test results, and ensure that those results are attributed to the correct employee.
(vii) The requirement that a covered employee submit to alcohol tests administered in accordance with this subpart.
(viii) An explanation of what constitutes a refusal to submit to an alcohol test and the attendant consequences.
(ix) The consequences for covered employees found to have violated the prohibitions in this chapter, including the requirement that the employee be removed immediately from performing safety-sensitive functions, and the process in 49 CFR part 40, subpart O.
(x) The consequences for covered employees found to have an alcohol concentration of 0.02 or greater but less than 0.04.
(xi) Information concerning the effects of alcohol misuse on an individual's health, work, and personal life; signs and symptoms of an alcohol problem; available methods of evaluating and resolving problems associated with the misuse of alcohol; and intervening when an alcohol problem is suspected, including confrontation, referral to any available employee assistance program, and/or referral to management.
(xii) Optional provisions. The materials supplied to covered employees may also include information on additional employer policies with respect to the use or possession of alcohol, including any consequences for an employee found to have a specified alcohol level, that are based on the employer's authority independent of this subpart. Any such additional policies or consequences must be clearly and obviously described as being based on independent authority.
(b) Training for supervisors. Each employer shall ensure that persons designated to determine whether reasonable suspicion exists to require a covered employee to undergo alcohol testing under § 120.217(d) of this subpart receive at least 60 minutes of training on the physical, behavioral, speech, and performance indicators of probable alcohol misuse.
(c) Substance abuse professional (SAP) duties. The SAP must perform the functions set forth in 49 CFR part 40, subpart O, and this subpart.
(a) Each company must meet the requirements of this subpart. Use the following chart to determine whether your company must obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification, Letter of Authorization, or Drug and Alcohol Testing Program Registration from the FAA:
| If you are . . . | You must . . . |
|---|---|
| (1) A part 119 certificate holder with authority to operate under part 121 or 135 | Obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification by contacting your FAA Principal Operations Inspector. |
| (2) An operator as defined in § 91.147 of this chapter | Obtain a Letter of Authorization by contacting the Flight Standards District Office nearest to your principal place of business. |
| (3) A part 119 certificate holder with authority to operate under part 121 or part 135 and an operator as defined in § 91.147 of this chapter | Complete the requirements in paragraphs 1 and 2 of this chart and advise the Flight Standards District Office and Drug Abatement Division that the § 91.147 operation will be included under the part 119 testing program. Contact Drug Abatement Division at FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591. |
| (4) An air traffic control facility not operated by the FAA or by or under contract to the U.S. Military | Register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591. |
| (5) A part 145 certificate holder located inside the territory of the United States who has your own alcohol testing program | Obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification by contacting your Principal Maintenance Inspector or register with the FAA Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW, Washington, DC 20591, if you opt to conduct your own alcohol testing program. |
| (6) A part 145 certificate holder located outside the territory of the United States who performs safety-sensitive maintenance functions on part 121 air carrier aircraft, unless you have received recognition pursuant to § 120.10 | Obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification by contacting your Principal Maintenance Inspector. |
| (7) A contractor who has your own alcohol testing program | Register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591, if you opt to conduct your own alcohol testing program. |
(b) Use the following chart for implementing an alcohol testing program if you are applying for a part 119 certificate with authority to operate under part 121 or part 135 of this chapter, if you intend to begin operations as defined in § 91.147 of this chapter, or if you intend to begin air traffic control operations (not operated by the FAA or by or under contract to the U.S. Military). Use it to determine whether you need to have an Antidrug and Alcohol Misuse Prevention Program Operations Specification, Letter of Authorization, or Drug and Alcohol Testing Program Registration from the FAA. Your employees who perform safety-sensitive duties must be tested in accordance with this subpart. The chart follows:
| If you . . . | You must . . . |
|---|---|
| (1) Apply for a part 119 certificate with authority to operate under parts 121 or 135 | (i) Have an Antidrug and Alcohol Misuse Prevention Program Operations Specification, |
| (ii) Implement an FAA alcohol testing program no later than the date you start operations, and | |
| (iii) Meet the requirements of this subpart. | |
| (2) Intend to begin operations as defined in § 91.147 of this chapter | (i) Have a Letter of Authorization,
(ii) Implement an FAA alcohol testing program no later than the date you start operations, and |
| (iii) Meet the requirements of this subpart. | |
| (3) Apply for a part 119 certificate with authority to operate under parts 121 or 135 and intend to begin operations as defined in § 91.147 of this chapter | (i) Have an Antidrug and Alcohol Misuse Prevention Program Operations Specification and a Letter of Authorization,
(ii) Implement your combined FAA alcohol testing program no later than the date you start operations, and |
| (iii) Meet the requirements of this subpart. | |
| (4) Intend to begin air traffic control operations (at an air traffic control facility not operated by the FAA or by or under contract to the U.S. military) | (i) Register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591, prior to starting operations, |
| (ii) Implement an FAA alcohol testing program no later than the date you start operations, and | |
| (iii) Meet the requirements of this subpart. |
(c) If you are an individual or company that intends to provide safety-sensitive services by contract to a part 119 certificate holder with authority to operate under part 121 and/or part 135 of this chapter, or an operator as defined in § 91.147 of this chapter, use the following chart to determine what you must do if you opt to have your own drug testing program.
| If you are . . . | You must . . . |
|---|---|
| (1) A part 145 certificate holder located inside the territory of the United States and opt to conduct your own program under this part | (i) Have an Antidrug and Alcohol Misuse Prevention Program Operations Specifications or register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW, Washington, DC 20591, |
| (ii) Implement an FAA alcohol testing program no later than the date you start performing safety-sensitive functions for a part 119 certificate holder with the authority to operate under parts 121 and/or 135, or operator as defined in § 91.147 of this chapter, and | |
| (iii) Meet the requirements of this subpart as if you were an employer. | |
| (2) A part 145 certificate holder located outside of the territory of the United States who performs maintenance functions on part 121 air carrier aircraft, unless you have received recognition pursuant to § 120.10 | (i) Obtain an Antidrug and Alcohol Misuse Prevention Program Operations Specification by contacting your Principal Maintenance Inspector.
(ii) Implement an alcohol testing program acceptable to the Administrator no later than December 20, 2027, and |
| (iii) Meet the requirements of this subpart as if you were an employer in accordance with any applicable waivers or exemptions. | |
| (3) A contractor | (i) Register with the FAA, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW, Washington, DC 20591, |
| (ii) Implement an FAA alcohol testing program no later than the date you start performing safety-sensitive functions for a part 119 certificate holder with authority to operate under parts 121 and/or 135, or operator as defined in § 91.147 of this chapter, and | |
| (iii) Meet the requirements of this subpart as if you were an employer. |
(d) To obtain an antidrug and alcohol misuse prevention program operations specification:
(1) You must contact your FAA Principal Operations Inspector or Principal Maintenance Inspector. Provide him/her with the following information:
(i) Company name.
(ii) Certificate number.
(iii) Telephone number.
(iv) Address where your drug and alcohol testing program records are kept.
(v) Whether you have 50 or more covered employees, or 49 or fewer covered employees. (Part 119 certificate holders with authority to operate only under part 121 of this chapter are not required to provide this information.)
(2) You must certify on your Antidrug and Alcohol Misuse Prevention Program Operations Specification, issued by your FAA Principal Operations Inspector or Principal Maintenance Inspector, that you will comply with this part and 49 CFR part 40.
(3) You are required to obtain only one Antidrug and Alcohol Misuse Prevention Program Operations Specification to satisfy this requirement under this part.
(4) You must update the Antidrug and Alcohol Misuse Prevention Program Operations Specification when any changes to the information contained in the Operation Specification occur.
(e) Register your Drug and Alcohol Testing Program by obtaining a Letter of Authorization from the FAA in accordance with § 91.147. (1) A drug and alcohol testing program is considered registered when the following information is submitted to the Flight Standards District Office nearest your principal place of business:
(i) Company name.
(ii) Telephone number.
(iii) Address where your drug and alcohol testing program records are kept.
(iv) Type of safety-sensitive functions you or your employees perform (such as flight instruction duties, aircraft dispatcher duties, maintenance or preventive maintenance duties, ground security coordinator duties, aviation screening duties, air traffic control duties).
(v) Whether you have 50 or more covered employees, or 49 or fewer covered employees.
(vi) A signed statement indicating that your company will comply with this part and 49 CFR part 40.
(2) This Letter of Authorization will satisfy the requirements for both your drug testing program under subpart E of this part and your alcohol testing program under this subpart.
(3) Update the Letter of Authorization information as changes occur. Send the updates to the Flight Standards District Office nearest your principal place of business.
(4) If you are a part 119 certificate holder with authority to operate under part 121 or part 135 and intend to begin operations as defined in § 91.147 of this chapter, you must also advise the Federal Aviation Administration, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591.
(f) Obtaining a Drug and Alcohol Testing Program Registration from the FAA. (1) Except as provided in paragraphs (d) and (e) of this section, to obtain a Drug and Alcohol Testing Program Registration from the FAA you must submit the following information to the Office of Aerospace Medicine, Drug Abatement Division:
(i) Company name.
(ii) Telephone number.
(iii) Address where your drug and alcohol testing program records are kept.
(iv) Type of safety-sensitive functions you or your employees perform (such as flight instruction duties, aircraft dispatcher duties, maintenance or preventive maintenance duties, ground security coordinator duties, aviation screening duties, air traffic control duties).
(v) Whether you have 50 or more covered employees, or 49 or fewer covered employees.
(vi) A signed statement indicating that: your company will comply with this part and 49 CFR part 40; and you intend to provide safety-sensitive functions by contract (including subcontract at any tier) to a part 119 certificate holder with authority to operate under part 121 or part 135 of this chapter, an operator as defined in § 91.147 of this chapter, or an air traffic control facility not operated by the FAA or by or under contract to the U.S. military.
(2) Send this information to the Federal Aviation Administration, Office of Aerospace Medicine, Drug Abatement Division (AAM-800), 800 Independence Avenue SW., Washington, DC 20591.
(3) This Drug and Alcohol Testing Program Registration will satisfy the registration requirements for both your drug testing program under subpart E of this part and your alcohol testing program under this subpart.
(4) Update the registration information as changes occur. Send the updates to the address specified in paragraph (f)(2) of this section.
(a) Except for those persons testing pursuant to § 120.1(d), no covered employee shall be tested for alcohol misuse while located outside the territory of the United States.
(1) Except for those persons testing pursuant to § 120.1(d), each covered employee who is assigned to perform safety-sensitive functions solely outside the territory of the United States shall be removed from the random testing pool upon the inception of such assignment.
(2) Each covered employee who is removed from the random testing pool under this paragraph shall be returned to the random testing pool when the employee resumes the performance of safety-sensitive functions wholly or partially within the territory of the United States.
(b) Except for those persons testing pursuant to § 120.1(d), the provisions of this subpart shall not apply to any person who performs a safety-sensitive function by contract for an employer outside the territory of the United States.
This part prescribes rules governing—
(a) The domestic, flag, and supplemental operations of each person who holds or is required to hold an Air Carrier Certificate or Operating Certificate under part 119 of this chapter.
(b) Each person employed or used by a certificate holder conducting operations under this part including maintenance, preventive maintenance, and alteration of aircraft.
(c) Each person who applies for provisional approval of an Advanced Qualification Program curriculum, curriculum segment, or portion of a curriculum segment under subpart Y of this part, and each person employed or used by an air carrier or commercial operator under this part to perform training, qualification, or evaluation functions under an Advanced Qualification Program under subpart Y of this part.
(d) Nonstop Commercial Air Tours conducted for compensation or hire in accordance with § 119.1(e)(2) of this chapter must comply with drug and alcohol requirements in §§ 121.455, 121.457, 121.458 and 121.459, and with the provisions of part 136, subpart A of this chapter by September 11, 2007. An operator who does not hold an air carrier certificate or an operating certificate is permitted to use a person who is otherwise authorized to perform aircraft maintenance or preventive maintenance duties and who is not subject to anti-drug and alcohol misuse prevention programs to perform—
(1) Aircraft maintenance or preventive maintenance on the operator's aircraft if the operator would otherwise be required to transport the aircraft more than 50 nautical miles further than the repair point closest to the operator's principal base of operations to obtain these services; or
(2) Emergency repairs on the operator's aircraft if the aircraft cannot be safely operated to a location where an employee subject to FAA-approved programs can perform the repairs.
(e) Each person who is on board an aircraft being operated under this part.
(f) Each person who is an applicant for an Air Carrier Certificate or an Operating Certificate under part 119 of this chapter, when conducting proving tests.
(g) This part also establishes requirements for operators to take actions to support the continued airworthiness of each aircraft.
(a) Applicability. This section applies to the following:
(1) Each certificate holder that was issued an air carrier or operating certificate and operations specifications under the requirements of part 135 of this chapter or under SFAR No. 38-2 of 14 CFR part 121 before January 19, 1996, and that conducts scheduled passenger-carrying operations with:
(i) Nontransport category turbopropeller powered airplanes type certificated after December 31, 1964, that have a passenger seat configuration of 10-19 seats;
(ii) Transport category turbopropeller powered airplanes that have a passenger seat configuration of 20-30 seats; or
(iii) Turbojet engine powered airplanes having a passenger seat configuration of 1-30 seats.
(2) Each person who, after January 19, 1996, applies for or obtains an initial air carrier or operating certificate and operations specifications to conduct scheduled passenger-carrying operations in the kinds of airplanes described in paragraphs (a)(1)(i), (a)(1)(ii), or paragraph (a)(1)(iii) of this section.
(b) Obtaining operations specifications. A certificate holder described in paragraph (a)(1) of this section may not, after March 20, 1997, operate an airplane described in paragraphs (a)(1)(i), (a)(1)(ii), or (a)(1)(iii) of this section in scheduled passenger-carrying operations, unless it obtains operations specifications to conduct its scheduled operations under this part on or before March 20, 1997.
(c) Regular or accelerated compliance. Except as provided in paragraphs (d), (e), and (i) of this section, each certificate holder described in paragraphs (a)(1) of this section shall comply with each applicable requirement of this part on and after March 20, 1997 or on and after the date on which the certificate holder is issued operations specifications under this part, whichever occurs first. Except as provided in paragraphs (d) and (e) of this section, each person described in paragraph (a)(2) of this section shall comply with each applicable requirement of this part on and after the date on which that person is issued a certificate and operations specifications under this part.
(d) Delayed compliance dates. Unless paragraph (e) of this section specifies an earlier compliance date, no certificate holder that is covered by paragraph (a) of this section may operate an airplane in 14 CFR part 121 operations on or after a date listed in this paragraph (d) unless that airplane meets the applicable requirement of this paragraph (d):
(1) Nontransport category turbopropeller powered airplanes type certificated after December 31, 1964, that have a passenger seat configuration of 10-19 seats. No certificate holder may operate under this part an airplane that is described in paragraph (a)(1)(i) of this section on or after a date listed in paragraph (d)(1) of this section unless that airplane meets the applicable requirement listed in paragraph (d)(1) of this section:
(i) December 20, 1997:
(A) Section 121.289, Landing gear aural warning.
(B) Section 121.308, Lavatory fire protection.
(C) Section 121.310(e), Emergency exit handle illumination.
(D) Section 121.337(b)(8), Protective breathing equipment.
(E) Section 121.340, Emergency flotation means.
(ii) December 20, 1999: Section 121.342, Pitot heat indication system.
(iii) December 20, 2010:
(A) For airplanes described in § 121.157(f), the Airplane Performance Operating Limitations in §§ 121.189 through 121.197.
(B) Section 121.161(b), Ditching approval.
(C) Section 121.305(j), Third attitude indicator.
(D) Section 121.312(c), Passenger seat cushion flammability.
(iv) March 12, 1999: Section 121.310(b)(1), Interior emergency exit locating sign.
(2) Transport category turbopropeller powered airplanes that have a passenger seat configuration of 20-30 seats. No certificate holder may operate under this part an airplane that is described in paragraph (a)(1)(ii) of this section on or after a date listed in paragraph (d)(2) of this section unless that airplane meets the applicable requirement listed in paragraph (d)(2) of this section:
(i) December 20, 1997:
(A) Section 121.308, Lavatory fire protection.
(B) Section 121.337(b) (8) and (9), Protective breathing equipment.
(C) Section 121.340, Emergency flotation means.
(ii) December 20, 2010: § 121.305(j), third attitude indicator.
(e) Newly manufactured airplanes. No certificate holder that is described in paragraph (a) of this section may operate under this part an airplane manufactured on or after a date listed in this paragraph unless that airplane meets the applicable requirement listed in this paragraph (e).
(1) For nontransport category turbopropeller powered airplanes type certificated after December 31, 1964, that have a passenger seat configuration of 10-19 seats:
(i) Manufactured on or after March 20, 1997:
(A) Section 121.305(j), Third attitude indicator.
(B) Section 121.311(f), Safety belts and shoulder harnesses.
(ii) Manufactured on or after December 20, 1997; Section 121.317(a), Fasten seat belt light.
(iii) Manufactured on or after December 20, 1999: Section 121.293, Takeoff warning system.
(iv) Manufactured on or after March 12, 1999: Section 121.310(b)(1), Interior emergency exit locating sign.
(2) For transport category turbopropeller powered airplanes that have a passenger seat configuration of 20-30 seats manufactured on or after March 20, 1997: Section 121.305(j), Third attitude indicator.
(f) New type certification requirements. No person may operate an airplane for which the application for a type certificate was filed after March 29, 1995, in 14 CFR part 121 operations unless that airplane is type certificated under part 25 of this chapter.
(g) Transition plan. Before March 19, 1996 each certificate holder described in paragraph (a)(1) of this section must submit to the FAA a transition plan (containing a calendar of events) for moving from conducting its scheduled operations under the commuter requirements of part 135 of this chapter to the requirements for domestic or flag operations under this part. Each transition plan must contain details on the following:
(1) Plans for obtaining new operations specifications authorizing domestic or flag operations;
(2) Plans for being in compliance with the applicable requirements of this part on or before March 20, 1997; and
(3) Plans for complying with the compliance date schedules contained in paragraphs (d) and (e) of this section.
(h) Continuing requirements. A certificate holder described in paragraph (a) of this section shall comply with the applicable airplane operating and equipment requirements of part 135 of this chapter for the airplanes described in paragraph (a)(1) of this section, until the airplane meets the specific compliance dates in paragraphs (d) and (e) of this section.
(i) Any training or qualification obtained by a crewmember under part 135 of this chapter before March 20, 1997, is entitled to credit under this part for the purpose of meeting the requirements of this part, as determined by the Administrator. Records kept by a certificate holder under part 135 of this chapter before March 20, 1997, can be annotated, with the approval of the Administrator, to reflect crewmember training and qualification credited toward part 121 requirements.
The rules in this part which refer to a person certificated under part 119 of this chapter apply also to any person who engages in an operation governed by this part without the appropriate certificate and operations specifications required by part 119 of this chapter.
The following definitions apply to those sections of part 121 that apply to ETOPS:
Adequate Airport means an airport that an airplane operator may list with approval from the FAA because that airport meets the landing limitations of § 121.197 and is either—
(1) An airport that meets the requirements of part 139, subpart D of this chapter, excluding those that apply to aircraft rescue and firefighting service, or
(2) A military airport that is active and operational.
ETOPS Alternate Airport means an adequate airport listed in the certificate holder's operations specifications that is designated in a dispatch or flight release for use in the event of a diversion during ETOPS. This definition applies to flight planning and does not in any way limit the authority of the pilot-in-command during flight.
ETOPS Area of Operation means one of the following areas:
(1) For turbine-engine-powered airplanes with two engines, an area beyond 60 minutes from an adequate airport, computed using a one-engine-inoperative cruise speed under standard conditions in still air.
(2) For turbine-engine-powered passenger-carrying airplanes with more than two engines, an area beyond 180 minutes from an adequate airport, computed using a one-engine-inoperative cruise speed under standard conditions in still air.
ETOPS Entry Point means the first point on the route of an ETOPS flight, determined using a one-engine-inoperative cruise speed under standard conditions in still air, that is—
(1) More than 60 minutes from an adequate airport for airplanes with two engines;
(2) More than 180 minutes from an adequate airport for passenger-carrying airplanes with more than two engines.
ETOPS Qualified Person means a person, performing maintenance for the certificate holder, who has satisfactorily completed the certificate holder's ETOPS training program.
Maximum Diversion Time means, for the purposes of ETOPS route planning, the longest diversion time authorized for a flight under the operator's ETOPS authority. It is calculated under standard conditions in still air at a one-engine-inoperative cruise speed.
North Pacific Area of Operation means Pacific Ocean areas north of 40° N latitudes including NOPAC ATS routes, and published PACOTS tracks between Japan and North America.
North Polar Area means the entire area north of 78° N latitude.
One-engine-inoperative-Cruise Speed means a speed within the certified operating limits of the airplane that is specified by the certificate holder and approved by the FAA for —
(1) Calculating required fuel reserves needed to account for an inoperative engine; or
(2) Determining whether an ETOPS alternate is within the maximum diversion time authorized for an ETOPS flight.
South Polar Area means the entire area South of 60° S latitude.
Each certificate holder shall, while operating an airplane within a foreign country, comply with the air traffic rules of the country concerned and the local airport rules, except where any rule of this part is more restrictive and may be followed without violating the rules of that country.
If a certificate holder operating under this part permits any aircraft owned or leased by that holder to be engaged in any operation that the certificate holder knows to be in violation of § 91.19(a) of this chapter, that operation is a basis for suspending or revoking the certificate.
This subpart prescribes rules for obtaining approval of routes by certificate holders conducting domestic or flag operations.
(a) Each certificate holder conducting domestic or flag operations seeking a route approval must show—
(1) That it is able to conduct satisfactorily scheduled operations between each regular, provisional, and refueling airport over that route or route segment; and
(2) That the facilities and services required by §§ 121.97 through 121.107 are available and adequate for the proposed operation.
(b) Paragraph (a) of this section does not require actual flight over a route or route segment if the certificate holder shows that the flight is not essential to safety, considering the availability and adequacy of airports, lighting, maintenance, communication, navigation, fueling, ground, and airplane radio facilities, and the ability of the personnel to be used in the proposed operation.
(a) Approved routes and route segments over U.S. Federal airways or foreign airways (and advisory routes in the case of certificate holders conducting flag operations) have a width equal to the designated width of those airways or routes. Whenever the Administrator finds it necessary to determine the width of other approved routes, he considers the following:
(1) Terrain clearance.
(2) Minimum en route altitudes.
(3) Ground and airborne navigation aids.
(4) Air traffic density.
(5) ATC procedures.
(b) Any route widths of other approved routes determined by the Administrator are specified in the certificate holder's operations specifications.
(a) Each certificate holder conducting domestic or flag operations must show that each route it submits for approval has enough airports that are properly equipped and adequate for the proposed operation, considering such items as size, surface, obstructions, facilities, public protection, lighting, navigational and communications aids, and ATC.
(b) Each certificate holder conducting domestic or flag operations must show that it has an approved system for obtaining, maintaining, and distributing to appropriate personnel current aeronautical data for each airport it uses to ensure a safe operation at that airport. The aeronautical data must include the following:
(1) Airports.
(i) Facilities.
(ii) Public protection. After February 15, 2008, for ETOPS beyond 180 minutes or operations in the North Polar area and South Polar area, this includes facilities at each airport or in the immediate area sufficient to protect the passengers from the elements and to see to their welfare.
(iii) Navigational and communications aids.
(iv) Construction affecting takeoff, landing, or ground operations.
(v) Air traffic facilities.
(2) Runways, clearways and stopways.
(i) Dimensions.
(ii) Surface.
(iii) Marking and lighting systems.
(iv) Elevation and gradient.
(3) Displaced thresholds.
(i) Location.
(ii) Dimensions.
(iii) Takeoff or landing or both.
(4) Obstacles.
(i) Those affecting takeoff and landing performance computations in accordance with Subpart I of this part.
(ii) Controlling obstacles.
(5) Instrument flight procedures.
(i) Departure procedure.
(ii) Approach procedure.
(iii) Missed approach procedure.
(6) Special information.
(i) Runway visual range measurement equipment.
(ii) Prevailing winds under low visibility conditions.
(c) If the responsible Flight Standards office charged with the overall inspection of the certificate holder's operations finds that revisions are necessary for the continued adequacy of the certificate holder's system for collection, dissemination, and usage of aeronautical data that has been granted approval, the certificate holder shall, after notification by the responsible Flight Standards office, make those revisions in the system. Within 30 days after the certificate holder receives such notice, the certificate holder may file a petition to reconsider the notice with the Executive Director, Flight Standards Service. This filing of a petition to reconsider stays the notice pending a decision by the Executive Director, Flight Standards Service. However, if the responsible Flight Standards office finds that there is an emergency that requires immediate action in the interest of safety in air transportation, the Executive Director, Flight Standards Service may, upon statement of the reasons, require a change effective without stay.
(a) Each certificate holder conducting domestic or flag operations must show that a two-way communication system, or other means of communication approved by the responsible Flight Standards office, is available over the entire route. The communications may be direct links or via an approved communication link that will provide reliable and rapid communications under normal operating conditions between each airplane and the appropriate dispatch office, and between each airplane and the appropriate air traffic control unit.
(b) Except in an emergency, for all flag and domestic kinds of operations, the communications systems between each airplane and the dispatch office must be independent of any system operated by the United States.
(c) Each certificate holder conducting flag operations must provide voice communications for ETOPS where voice communication facilities are available. In determining whether facilities are available, the certificate holder must consider potential routes and altitudes needed for diversion to ETOPS Alternate Airports. Where facilities are not available or are of such poor quality that voice communication is not possible, another communication system must be substituted.
(d) Except as provided in paragraph (e) of this section, after February 15, 2008 for ETOPS beyond 180 minutes, each certificate holder conducting flag operations must have a second communication system in addition to that required by paragraph (c) of this section. That system must be able to provide immediate satellite-based voice communications of landline-telephone fidelity. The system must be able to communicate between the flight crew and air traffic services, and the flight crew and the certificate holder. In determining whether such communications are available, the certificate holder must consider potential routes and altitudes needed for diversion to ETOPS Alternate Airports. Where immediate, satellite-based voice communications are not available, or are of such poor quality that voice communication is not possible, another communication system must be substituted.
(e) Operators of two-engine turbine-powered airplanes with 207 minute ETOPS approval in the North Pacific Area of Operation must comply with the requirements of paragraph (d) of this section as of February 15, 2007.
(a) Each certificate holder conducting domestic or flag operations must show that enough weather reporting services are available along each route to ensure weather reports and forecasts necessary for the operation.
(b) Except as provided in paragraph (d) of this section, no certificate holder conducting domestic or flag operations may use any weather report to control flight unless—
(1) For operations within the 48 contiguous States and the District of Columbia, it was prepared by the U.S. National Weather Service or a source approved by the U.S. National Weather Service; or
(2) For operations conducted outside the 48 contiguous States and the District of Columbia, it was prepared by a source approved by the Administrator.
(c) Each certificate holder conducting domestic or flag operations that uses forecasts to control flight movements shall use forecasts prepared from weather reports specified in paragraph (b) of this section and from any source approved under its system adopted pursuant to paragraph (d) of this section.
(d) Each certificate holder conducting domestic or flag operations shall adopt and put into use an approved system for obtaining forecasts and reports of adverse weather phenomena, such as clear air turbulence, thunderstorms, and low altitude wind shear, that may affect safety of flight on each route to be flown and at each airport to be used.
(a) Except as provided in paragraph (b) of this section, each certificate holder conducting domestic or flag operations must show, for each proposed route (including to any regular, provisional, refueling or alternate airports), that suitable navigation aids are available to navigate the airplane along the route within the degree of accuracy required for ATC. Navigation aids required for approval of routes outside of controlled airspace are listed in the certificate holder's operations specifications except for those aids required for routes to alternate airports.
(b) Navigation aids are not required for any of the following operations—
(1) Day VFR operations that the certificate holder shows can be conducted safely by pilotage because of the characteristics of the terrain;
(2) Night VFR operations on routes that the certificate holder shows have reliably lighted landmarks adequate for safe operation; and
(3) Other operations approved by the responsible Flight Standards office.
Each certificate holder conducting domestic or flag operations must show that competent personnel and adequate facilities and equipment (including spare parts, supplies, and materials) are available at such points along the certificate holder's route as are necessary for the proper servicing, maintenance, and preventive maintenance of airplanes and auxiliary equipment.
(a) Except as provided in paragraph (b) of this section, the following rescue and fire fighting service (RFFS) must be available at each airport listed as an ETOPS Alternate Airport in a dispatch or flight release.
(1) For ETOPS up to 180 minutes, each designated ETOPS Alternate Airport must have RFFS equivalent to that specified by ICAO as Category 4, or higher.
(2) For ETOPS beyond 180 minutes, each designated ETOPS Alternate Airport must have RFFS equivalent to that specified by ICAO Category 4, or higher. In addition, the aircraft must remain within the ETOPS authorized diversion time from an Adequate Airport that has RFFS equivalent to that specified by ICAO Category 7, or higher.
(b) If the equipment and personnel required in paragraph (a) of this section are not immediately available at an airport, the certificate holder may still list the airport on the dispatch or flight release if the airport's RFFS can be augmented to meet paragraph (a) of this section from local fire fighting assets. A 30-minute response time for augmentation is adequate if the local assets can be notified while the diverting airplane is en route. The augmenting equipment and personnel must be available on arrival of the diverting airplane and must remain as long as the diverting airplane needs RFFS.
Each certificate holder conducting domestic or flag operations must show that it has enough dispatch centers, adequate for the operations to be conducted, that are located at points necessary to ensure proper operational control of each flight.
This subpart prescribes rules for obtaining approval of areas and routes by certificate holders conducting supplemental operations.
(a) Each certificate holder conducting supplemental operations seeking route and area approval must show—
(1) That it is able to conduct operations within the United States in accordance with paragraphs (a) (3) and (4) of this section;
(2) That it is able to conduct operations in accordance with the applicable requirements for each area outside the United States for which authorization is requested;
(3) That it is equipped and able to conduct operations over, and use the navigational facilities associated with, the Federal airways, foreign airways, or advisory routes (ADR's) to be used; and
(4) That it will conduct all IFR and night VFR operations over Federal airways, foreign airways, controlled airspace, or advisory routes (ADR's).
(b) Notwithstanding paragraph (a)(4) of this section, the Administrator may approve a route outside of controlled airspace if the certificate holder conducting supplemental operations shows the route is safe for operations and the Administrator finds that traffic density is such that an adequate level of safety can be assured. The certificate holder may not use such a route unless it is approved by the Administrator and is listed in the certificate holder's operations specifications.
(a) Routes and route segments over Federal airways, foreign airways, or advisory routes have a width equal to the designated width of those airways or advisory routes. Whenever the Administrator finds it necessary to determine the width of other routes, he considers the following:
(1) Terrain clearance.
(2) Minimum en route altitudes.
(3) Ground and airborne navigation aids.
(4) Air traffic density.
(5) ATC procedures.
(b) Any route widths of other routes determined by the Administrator are specified in the certificate holder's operations specifications.
(a) No certificate holder conducting supplemental operations may use any airport unless it is properly equipped and adequate for the proposed operation, considering such items as size, surface, obstructions, facilities, public protection, lighting, navigational and communications aids, and ATC.
(b) Each certificate holder conducting supplemental operations must show that it has an approved system for obtaining, maintaining, and distributing to appropriate personnel current aeronautical data for each airport it uses to ensure a safe operation at that airport. The aeronautical data must include the following:
(1) Airports.
(i) Facilities.
(ii) Public protection.
(iii) Navigational and communications aids.
(iv) Construction affecting takeoff, landing, or ground operations.
(v) Air traffic facilities.
(2) Runways, clearways, and stopways.
(i) Dimensions.
(ii) Surface.
(iii) Marking and lighting systems.
(iv) Elevation and gradient.
(3) Displaced thresholds.
(i) Location.
(ii) Dimensions.
(iii) Takeoff or landing or both.
(4) Obstacles.
(i) Those affecting takeoff and landing performance computations in accordance with Subpart I of this part.
(ii) Controlling obstacles.
(5) Instrument flight procedures.
(i) Departure procedure.
(ii) Approach procedure.
(iii) Missed approach procedure.
(6) Special information.
(i) Runway visual range measurement equipment.
(ii) Prevailing winds under low visibility conditions.
(c) If the responsible Flight Standards office charged with the overall inspection of the certificate holder's operations finds that revisions are necessary for the continued adequacy of the certificate holder's system for collection, dissemination, and usage of aeronautical data that has been granted approval, the certificate holder shall, after notification by the responsible Flight Standards office, make those revisions in the system. Within 30 days after the certificate holder receives such notice, the certificate holder may file a petition to reconsider the notice with the Executive Director, Flight Standards Service. This filing of a petition to reconsider stays the notice pending a decision by the Director, Flight Standards Service. However, if the responsible Flight Standards office finds that there is an emergency that requires immediate action in the interest of safety in air transportation, the Executive Director, Flight Standards Service may, upon a statement of the reasons, require a change effective without stay.
(a) No certificate holder conducting supplemental operations may use any weather report to control flight unless it was prepared and released by the U.S. National Weather Service or a source approved by the Weather Bureau. For operations outside the U.S., or at U.S. Military airports, where those reports are not available, the certificate holder must show that its weather reports are prepared by a source found satisfactory by the Administrator.
(b) Each certificate holder conducting supplemental operations that uses forecasts to control flight movements shall use forecasts prepared from weather reports specified in paragraph (a) of this section.
(a) Except as provided in paragraph (b) of this section, no certificate holder conducting supplemental operations may conduct any operation over a route (including to any destination, refueling or alternate airports) unless suitable navigation aids are available to navigate the airplane along the route within the degree of accuracy required for ATC. Navigation aids required for routes outside of controlled airspace are listed in the certificate holder's operations specifications except for those aids required for routes to alternate airports.
(b) Navigation aids are not required for any of the following operations—
(1) Day VFR operations that the certificate holder shows can be conducted safely by pilotage because of the characteristics of the terrain;
(2) Night VFR operations on routes that the certificate holder shows have reliably lighted landmarks adequate for safe operation; and
(3) Other operations approved by the responsible Flight Standards office.
(a) Each certificate holder conducting supplemental operations other than all-cargo operations in an airplane with more than two engines must show that a two-way radio communication system or other means of communication approved by the FAA is available. It must ensure reliable and rapid communications under normal operating conditions over the entire route (either direct or via approved point-to-point circuits) between each airplane and the certificate holder, and between each airplane and the appropriate air traffic services, except as specified in § 121.351(c).
(b) Except as provided in paragraph (d) of this section, each certificate holder conducting supplemental operations other than all-cargo operations in an airplane with more than two engines must provide voice communications for ETOPS where voice communication facilities are available. In determining whether facilities are available, the certificate holder must consider potential routes and altitudes needed for diversion to ETOPS Alternate Airports. Where facilities are not available or are of such poor quality that voice communication is not possible, another communication system must be substituted.
(c) Except as provided in paragraph (d) of this section, for ETOPS beyond 180 minutes each certificate holder conducting supplemental operations other than all-cargo operations in an airplane with more than two engines must have a second communication system in addition to that required by paragraph (b) of this section. That system must be able to provide immediate satellite-based voice communications of landline telephone-fidelity. The system must provide communication capabilities between the flight crew and air traffic services and the flight crew and the certificate holder. In determining whether such communications are available, the certificate holder must consider potential routes and altitudes needed for diversion to ETOPS Alternate Airports. Where immediate, satellite-based voice communications are not available, or are of such poor quality that voice communication is not possible, another communication system must be substituted.
(d) Operators of turbine engine powered airplanes do not need to meet the requirements of paragraphs (b) and (c) of this section until February 15, 2008.
Each certificate holder conducting supplemental operations must show that competent personnel and adequate facilities and equipment (including spare parts, supplies, and materials) are available for the proper servicing, maintenance, and preventive maintenance of aircraft and auxiliary equipment.
(a) Each certificate holder conducting supplemental operations must show that it has—
(1) An approved flight following system established in accordance with subpart U of this part and adequate for the proper monitoring of each flight, considering the operations to be conducted; and
(2) Flight following centers located at those points necessary—
(i) To ensure the proper monitoring of the progress of each flight with respect to its departure at the point of origin and arrival at its destination, including intermediate stops and diversions therefrom, and maintenance or mechanical delays encountered at those points or stops; and
(ii) To ensure that the pilot in command is provided with all information necessary for the safety of the flight.
(b) A certificate holder conducting supplemental operations may arrange to have flight following facilities provided by persons other than its employees, but in such a case the certificate holder continues to be primarily responsible for operational control of each flight.
(c) A flight following system need not provide for in-flight monitoring by a flight following center.
(d) The certificate holder's operations specifications specify the flight following system it is authorized to use and the location of the centers.
(a) Each certificate holder conducting supplemental operations using a flight following system must show that—
(1) The system has adequate facilities and personnel to provide the information necessary for the initiation and safe conduct of each flight to—
(i) The flight crew of each aircraft; and
(ii) The persons designated by the certificate holder to perform the function of operational control of the aircraft; and
(2) The system has a means of communication by private or available public facilities (such as telephone, telegraph, or radio) to monitor the progress of each flight with respect to its departure at the point of origin and arrival at its destination, including intermediate stops and diversions therefrom, and maintenance or mechanical delays encountered at those points or stops.
(b) The certificate holder conducting supplemental operations must show that the personnel specified in paragraph (a) of this section, and those it designates to perform the function of operational control of the aircraft, are able to perform their required duties.
This subpart prescribes requirements for preparing and maintaining manuals by all certificate holders.
(a) Each certificate holder shall prepare and keep current a manual for the use and guidance of flight, ground operations, and management personnel in conducting its operations.
(b) For the purpose of this subpart, the certificate holder may prepare that part of the manual containing maintenance information and instructions, in whole or in part, in printed form or other form acceptable to the Administrator.
(a) Each manual accessed in paper format must display the date of last revision on each page. Each manual accessed in electronic format must display the date of last revision in a manner in which a person can immediately ascertain it. Each manual required by § 121.133 must:
(1) Include instructions and information necessary to allow the personnel concerned to perform their duties and responsibilities with a high degree of safety;
(2) Be in a form that is easy to revise and;
(3) Not be contrary to any applicable Federal regulation and, in the case of a flag or supplemental operation, any applicable foreign regulation, or the certificate holder's operations specifications or operating certificate.
(b) The manual may be in two or more separate parts, containing together all of the following information, but each part must contain that part of the information that is appropriate for each group of personnel:
(1) General policies.
(2) Duties and responsibilities of each crewmember, appropriate members of the ground organization, and management personnel.
(3) Reference to appropriate Federal Aviation Regulations.
(4) Flight dispatching and operational control, including procedures for coordinated dispatch or flight control or flight following procedures, as applicable.
(5) En route flight, navigation, and communication procedures, including procedures for the dispatch or release or continuance of flight if any item of equipment required for the particular type of operation becomes inoperative or unserviceable en route.
(6) For domestic or flag operations, appropriate information from the en route operations specifications, including for each approved route the types of airplanes authorized, the type of operation such as VFR, IFR, day, night, etc., and any other pertinent information.
(7) For supplemental operations, appropriate information from the operations specifications, including the area of operations authorized, the types of airplanes authorized, the type of operation such as VFR, IFR, day, night, etc., and any other pertinent information.
(8) Appropriate information from the airport operations specifications, including for each airport—
(i) Its location (domestic and flag operations only);
(ii) Its designation (regular, alternate, provisional, etc.) (domestic and flag operations only);
(iii) The types of airplanes authorized (domestic and flag operations only);
(iv) Instrument approach procedures;
(v) Landing and takeoff minimums; and
(vi) Any other pertinent information.
(9) Takeoff, en route, and landing weight limitations.
(10) For ETOPS, airplane performance data to support all phases of these operations.
(11) Procedures for familiarizing passengers with the use of emergency equipment, during flight.
(12) Emergency equipment and procedures.
(13) The method of designating succession of command of flight crewmembers.
(14) Procedures for determining the usability of landing and takeoff areas, and for disseminating pertinent information thereon to operations personnel.
(15) Procedures for operating in periods of ice, hail, thunderstorms, turbulence, or any potentially hazardous meteorological condition.
(16) Each training program curriculum required by § 121.403.
(17) Instructions and procedures for maintenance, preventive maintenance, and servicing.
(18) Time limitations, or standards for determining time limitations, for overhauls, inspections, and checks of airframes, engines, propellers, appliances and emergency equipment.
(19) Procedures for refueling aircraft, eliminating fuel contamination, protection from fire (including electrostatic protection), and supervising and protecting passengers during refueling.
(20) Airworthiness inspections, including instructions covering procedures, standards, responsibilities, and authority of inspection personnel.
(21) Methods and procedures for maintaining the aircraft weight and center of gravity within approved limits.
(22) Where applicable, pilot and dispatcher route and airport qualification procedures.
(23) Accident notification procedures.
(24) After February 15, 2008, for passenger flag operations and for those supplemental operations that are not all-cargo operations outside the 48 contiguous States and Alaska,
(i) For ETOPS greater than 180 minutes a specific passenger recovery plan for each ETOPS Alternate Airport used in those operations, and
(ii) For operations in the North Polar Area and South Polar Area a specific passenger recovery plan for each diversion airport used in those operations.
(25)(i) Procedures and information, as described in paragraph (b)(25)(ii) of this section, to assist each crewmember and person performing or directly supervising the following job functions involving items for transport on an aircraft:
(A) Acceptance;
(B) Rejection;
(C) Handling;
(D) Storage incidental to transport;
(E) Packaging of company material; or
(F) Loading.
(ii) Ensure that the procedures and information described in this paragraph are sufficient to assist the person in identifying packages that are marked or labeled as containing hazardous materials or that show signs of containing undeclared hazardous materials. The procedures and information must include:
(A) Procedures for rejecting packages that do not conform to the Hazardous Materials Regulations in 49 CFR parts 171 through 180 or that appear to contain undeclared hazardous materials;
(B) Procedures for complying with the hazardous materials incident reporting requirements of 49 CFR 171.15 and 171.16 and discrepancy reporting requirements of 49 CFR 175.31
(C) The certificate holder's hazmat policies and whether the certificate holder is authorized to carry, or is prohibited from carrying, hazardous materials; and
(D) If the certificate holder's operations specifications permit the transport of hazardous materials, procedures and information to ensure the following:
(1) That packages containing hazardous materials are properly offered and accepted in compliance with 49 CFR parts 171 through 180;
(2) That packages containing hazardous materials are properly handled, stored, packaged, loaded, and carried on board an aircraft in compliance with 49 CFR parts 171 through 180;
(3) That the requirements for Notice to the Pilot in Command (49 CFR 175.33) are complied with; and
(4) That aircraft replacement parts, consumable materials or other items regulated by 49 CFR parts 171 through 180 are properly handled, packaged, and transported.
(26) Other information or instructions relating to safety.
(c) Each certificate holder shall maintain at least one complete copy of the manual at its principal base of operations.
(a) Each certificate holder shall furnish copies of the manual required by § 121.133 (and the changes and additions thereto) or appropriate parts of the manual to—
(1) Its appropriate ground operations and maintenance personnel;
(2) Crewmembers; and
(3) Representatives of the Administrator assigned to it.
(b) Each person to whom a manual or appropriate parts of it are furnished under paragraph (a) of this section shall keep it up-to-date with the changes and additions furnished to that person and shall have the manual or appropriate parts of it accessible when performing assigned duties.
(c) For the purpose of complying with paragraph (a) of this section, a certificate holder may furnish the persons listed therein the maintenance part of the manual in printed form or other form, acceptable to the Administrator, that is retrievable in the English language.
Each certificate holder conducting supplemental operations must ensure the appropriate parts of the manual are accessible to flight, ground, and maintenance personnel at all times when such personnel are performing their assigned duties. The information and instructions contained in the manual must be displayed clearly and be retrievable in the English language.
(a) Each certificate holder shall keep a current approved airplane flight manual for each type of airplane that it operates except for nontransport category airplanes certificated before January 1, 1965.
(b) In each airplane required to have an airplane flight manual in paragraph (a) of this section, the certificate holder shall carry either the manual required by § 121.133, if it contains the information required for the applicable flight manual and this information is clearly identified as flight manual requirements, or an approved Airplane Manual. If the certificate holder elects to carry the manual required by § 121.133, the certificate holder may revise the operating procedures sections and modify the presentation of performance data, except for the information required by § 38.23 of this chapter identifying compliance with the fuel efficiency requirements of part 38 of this chapter, from the applicable flight manual if the revised operating procedures and modified performance data presentation are—
(1) Approved by the Administrator; and
(2) Clearly identified as airplane flight manual requirements.
This subpart prescribes aircraft requirements for all certificate holders.
(a) Except as provided in paragraph (c) of this section, no certificate holder may operate an aircraft unless that aircraft—
(1) Is registered as a civil aircraft of the United States and carries an appropriate current airworthiness certificate issued under this chapter; and
(2) Is in an airworthy condition and meets the applicable airworthiness requirements of this chapter, including those relating to identification and equipment.
(b) A certificate holder may use an approved weight and balance control system based on average, assumed, or estimated weight to comply with applicable airworthiness requirements and operating limitations.
(c) A certificate holder may operate in common carriage, and for the carriage of mail, a civil aircraft which is leased or chartered to it without crew and is registered in a country which is a party to the Convention on International Civil Aviation if—
(1) The aircraft carries an appropriate airworthiness certificate issued by the country of registration and meets the registration and identification requirements of that country;
(2) The aircraft is of a type design which is approved under a U.S. type certificate and complies with all of the requirements of this chapter (14 CFR Chapter 1) that would be applicable to that aircraft were it registered in the United States, including the requirements which must be met for issuance of a U.S. standard airworthiness certificate (including type design conformity, condition for safe operation, and the noise, fuel venting, and engine emission requirements of this chapter), except that a U.S. registration certificate and a U.S. standard airworthiness certificate will not be issued for the aircraft;
(3) The aircraft is operated by U.S.-certificated airmen employed by the certificate holder; and
(4) The certificate holder files a copy of the aircraft lease or charter agreement with the FAA Aircraft Registry, Department of Transportation, 6400 South MacArthur Boulevard, Oklahoma City, OK (Mailing address: P.O. Box 25504, Oklahoma City, OK 73125).
(a) Airplanes certificated before July 1, 1942. No certificate holder may operate an airplane that was type certificated before July 1, 1942, unless—
(1) That airplane meets the requirements of § 121.173(c), or
(2) That airplane and all other airplanes of the same or related type operated by that certificate holder meet the performance requirements of sections 4a.737-T through 4a.750-T of the Civil Air Regulations as in effect on January 31, 1965; or §§ 25.45 through 25.75 and § 121.173(a), (b), (d), and (e) of this title.
(b) Airplanes certificated after June 30, 1942. Except as provided in paragraphs (c), (d), (e), and (f) of this section, no certificate holder may operate an airplane that was type certificated after June 30, 1942, unless it is certificated as a transport category airplane and meets the requirements of § 121.173(a), (b), (d), and (e).
(c) C-46 type airplanes: passenger-carrying operations. No certificate holder may operate a C-46 airplane in passenger-carrying operations unless that airplane is operated in accordance with the operating limitations for transport category airplanes and meets the requirements of paragraph (b) of this section or meets the requirements of part 4b, as in effect July 20, 1950, and the requirements of § 121.173 (a), (b), (d) and (e), except that—
(1) The requirements of sections 4b.0 through 4b.19 as in effect May 18, 1954, must be complied with;
(2) The birdproof windshield requirements of section 4b.352 need not be complied with;
(3) The provisions of sections 4b.480 through 4b.490 (except sections 4b.484(a)(1) and 4b.487(e)), as in effect May 16, 1953, must be complied with; and
(4) The provisions of paragraph 4b.484(a)(1), as in effect July 20, 1950, must be complied with.
(d) C-46 type airplanes: cargo operations. No certificate holder may use a nontransport category C-46 type airplane in cargo operations unless—
(1) It is certificated at a maximum gross weight that is not greater than 48,000 pounds;
(2) It meets the requirements of §§ 121.199 through 121.205 using the performance data in appendix C to this part;
(3) Before each flight, each engine contains at least 25 gallons of oil; and
(4) After December 31, 1964—
(i) It is powered by a type and model engine as set forth in appendix C of this part, when certificated at a maximum gross takeoff weight greater than 45,000 pounds; and
(ii) It complies with the special airworthiness requirement set forth in §§ 121.213 through 121.287 of this part or in appendix C of this part.
(e) Commuter category airplanes. Except as provided in paragraph (f) of this section, no certificate holder may operate under this part a nontransport category airplane type certificated after December 31, 1964, and before March 30, 1995, unless it meets the applicable requirements of § 121.173 (a), (b), (d), and (e), and was type certificated in the commuter category.
(f) Other nontransport category airplanes. No certificate holder may operate under this part a nontransport category airplane type certificated after December 31, 1964, unless it meets the applicable requirements of § 121.173 (a), (b), (d), and (e), was manufactured before March 20, 1997, and meets one of the following:
(1) Until December 20, 2010:
(i) The airplane was type certificated in the normal category before July 1, 1970, and meets special conditions issued by the Administrator for airplanes intended for use in operations under part 135 of this chapter.
(ii) The airplane was type certificated in the normal category before July 19, 1970, and meets the additional airworthiness standards in SFAR No. 23, 14 CFR part 23.
(iii) The airplane was type certificated in the normal category and meets the additional airworthiness standards in appendix A of part 135 of this chapter.
(iv) The airplane was type certificated in the normal category and complies with either section 1.(a) or 1.(b) of SFAR No. 41 of 14 CFR part 21.
(2) The airplane was type certificated in the normal category, meets the additional requirements described in paragraphs (f)(1)(i) through (f)(1)(iv) of this section, and meets the performance requirements in appendix K of this part.
(g) Certain newly manufactured airplanes. No certificate holder may operate an airplane under this part that was type certificated as described in paragraphs (f)(1)(i) through (f)(1)(iv) of this section and that was manufactured after March 20, 1997, unless it meets the performance requirements in appendix K of this part.
(h) Newly type certificated airplanes. No person may operate under this part an airplane for which the application for a type certificate is submitted after March 29, 1995, unless the airplane is type certificated under part 25 of this chapter.
No certificate holder may operate a single-engine airplane under this part.
(a) Except as provided in paragraph (e) of this section, unless approved by the Administrator in accordance with Appendix P of this part and authorized in the certificate holder's operations specifications, no certificate holder may operate a turbine-engine-powered airplane over a route that contains a point—
(1) Farther than a flying time from an Adequate Airport (at a one-engine-inoperative cruise speed under standard conditions in still air) of 60 minutes for a two-engine airplane or 180 minutes for a passenger-carrying airplane with more than two engines;
(2) Within the North Polar Area; or
(3) Within the South Polar Area.
(b) Except as provided in paragraph (c) of this section, no certificate holder may operate a land airplane (other than a DC-3, C-46, CV-240, CV-340, CV-440, CV-580, CV-600, CV-640, or Martin 404) in an extended overwater operation unless it is certificated or approved as adequate for ditching under the ditching provisions of part 25 of this chapter.
(c) Until December 20, 2010, a certificate holder may operate, in an extended overwater operation, a nontransport category land airplane type certificated after December 31, 1964, that was not certificated or approved as adequate for ditching under the ditching provisions of part 25 of this chapter.
(d) Unless authorized by the Administrator based on the character of the terrain, the kind of operation, or the performance of the airplane to be used, no certificate holder may operate a reciprocating-engine-powered airplane over a route that contains a point farther than 60 minutes flying time (at a one-engine-inoperative cruise speed under standard conditions in still air) from an Adequate Airport.
(e) Operators of turbine-engine powered airplanes with more than two engines do not need to meet the requirements of paragraph (a)(1) of this section until February 15, 2008.
Except for a passenger-carrying airplane with more than two engines manufactured prior to February 17, 2015 and except for a two-engine airplane that, when used in ETOPS, is only used for ETOPS of 75 minutes or less, no certificate holder may conduct ETOPS unless the airplane has been type design approved for ETOPS and each airplane used in ETOPS complies with its CMP document as follows:
(a) For a two-engine airplane, that is of the same model airplane-engine combination that received FAA approval for ETOPS up to 180 minutes prior to February 15, 2007, the CMP document for that model airplane-engine combination in effect on February 14, 2007.
(b) For a two-engine airplane, that is not of the same model airplane-engine combination that received FAA approval for ETOPS up to 180 minutes before February 15, 2007, the CMP document for that new model airplane-engine combination issued in accordance with § 25.3(b)(1) of this chapter.
(c) For a two-engine airplane approved for ETOPS beyond 180 minutes, the CMP document for that model airplane-engine combination issued in accordance with § 25.3(b)(2) of this chapter.
(d) For an airplane with more than 2 engines manufactured on or after February 17, 2015, the CMP document for that model airplane-engine combination issued in accordance with § 25.3(c) of this chapter.
(a) Initial airplane proving tests. No person may operate an airplane not before proven for use in a kind of operation under this part or part 135 of this chapter unless an airplane of that type has had, in addition to the airplane certification tests, at least 100 hours of proving tests acceptable to the Administrator, including a representative number of flights into en route airports. The requirement for at least 100 hours of proving tests may be reduced by the Administrator if the Administrator determines that a satisfactory level of proficiency has been demonstrated to justify the reduction. At least 10 hours of proving flights must be flown at night; these tests are irreducible.
(b) Proving tests for kinds of operations. Unless otherwise authorized by the Administrator, for each type of airplane, a certificate holder must conduct at least 50 hours of proving tests acceptable to the Administrator for each kind of operation it intends to conduct, including a representative number of flights into en route airports.
(c) Proving tests for materially altered airplanes. Unless otherwise authorized by the Administrator, for each type of airplane that is materially altered in design, a certificate holder must conduct at least 50 hours of proving tests acceptable to the Administrator for each kind of operation it intends to conduct with that airplane, including a representative number of flights into en route airports.
(d) Definition of materially altered. For the purposes of paragraph (c) of this section, a type of airplane is considered to be materially altered in design if the alteration includes—
(1) The installation of powerplants other than those of a type similar to those with which it is certificated; or
(2) Alterations to the aircraft or its components that materially affect flight characteristics.
(e) No certificate holder may carry passengers in an aircraft during proving tests, except for those needed to make the test and those designated by the Administrator. However, it may carry mail, express, or other cargo, when approved.
(a) This subpart prescribes airplane performance operating limitations for all certificate holders.
(b) For purposes of this part, effective length of the runway for landing means the distance from the point at which the obstruction clearance plane associated with the approach end of the runway intersects the centerline of the runway to the far end thereof.
(c) For the purposes of this subpart, obstruction clearance plane means a plane sloping upward from the runway at a slope of 1:20 to the horizontal, and tangent to or clearing all obstructions within a specified area surrounding the runway as shown in a profile view of that area. In the plan view, the centerline of the specified area coincides with the centerline of the runway, beginning at the point where the obstruction clearance plane intersects the centerline of the runway and proceeding to a point at least 1,500 feet from the beginning point. Thereafter the centerline coincides with the takeoff path over the ground for the runway (in the case of takeoffs) or with the instrument approach counterpart (for landings), or, where the applicable one of these paths has not been established, it proceeds consistent with turns of at least 4,000 foot radius until a point is reached beyond which the obstruction clearance plane clears all obstructions. This area extends laterally 200 feet on each side of the centerline at the point where the obstruction clearance plane intersects the runway and continues at this width to the end of the runway; then it increases uniformly to 500 feet on each side of the centerline at a point 1,500 feet from the intersection of the obstruction clearance plane with the runway; thereafter it extends laterally 500 feet on each side of the centerline.
(a) Except as provided in paragraph (c) of this section, each certificate holder operating a reciprocating-engine-powered airplane shall comply with §§ 121.175 through 121.187.
(b) Except as provided in paragraph (c) of this section, each certificate holder operating a turbine-engine-powered airplane shall comply with the applicable provisions of §§ 121.189 through 121.197, except that when it operates—
(1) A turbo-propeller-powered airplane type certificated after August 29, 1959, but previously type certificated with the same number of reciprocating engines, the certificate holder may comply with §§ 121.175 through 121.187; or
(2) Until December 20, 2010, a turbo-propeller-powered airplane described in § 121.157(f), the certificate holder may comply with the applicable performance requirements of appendix K of this part.
(c) Each certificate holder operating a large nontransport category airplane type certificated before January 1, 1965, shall comply with §§ 121.199 through 121.205 and any determination of compliance must be based only on approved performance data.
(d) The performance data in the Airplane Flight Manual applies in determining compliance with §§ 121.175 through 121.197. Where conditions are different from those on which the performance data is based, compliance is determined by interpolation or by computing the effects of changes in the specific variables if the results of the interpolation or computations are substantially as accurate as the results of direct tests.
(e) Except as provided in paragraph (c) of this section, no person may take off a reciprocating-engine-powered airplane at a weight that is more than the allowable weight for the runway being used (determined under the runway takeoff limitations of the operating rules of 14 CFR part 121, subpart I) after taking into account the temperature operating correction factors in the applicable Airplane Flight Manual.
(f) The Administrator may authorize in the operations specifications deviations from the requirements in the subpart if special circumstances make a literal observance of a requirement unnecessary for safety.
(g) The ten-mile width specified in §§ 121.179 through 121.183 may be reduced to five miles, for not more than 20 miles, when operating VFR or where navigation facilities furnish reliable and accurate identification of high ground and obstructions located outside of five miles, but within ten miles, on each side of the intended track.
(a) No person may take off a reciprocating engine powered airplane from an airport located at an elevation outside of the range for which maximum takeoff weights have been determined for that airplane.
(b) No person may take off a reciprocating engine powered airplane for an airport of intended destination that is located at an elevation outside of the range for which maximum landing weights have been determined for that airplane.
(c) No person may specify, or have specified, an alternate airport that is located at an elevation outside of the range for which maximum landing weights have been determined for the reciprocating engine powered airplane concerned.
(d) No person may take off a reciprocating engine powered airplane at a weight more than the maximum authorized takeoff weight for the elevation of the airport.
(e) No person may take off a reciprocating engine powered airplane if its weight on arrival at the airport of destination will be more than the maximum authorized landing weight for the elevation of that airport, allowing for normal consumption of fuel and oil en route.
(f) This section does not apply to large nontransport category airplanes operated under § 121.173(c).
(a) No person operating a reciprocating engine powered airplane may takeoff that airplane unless it is possible—
(1) To stop the airplane safely on the runway, as shown by the accelerate stop distance data, at any time during takeoff until reaching critical-engine failure speed;
(2) If the critical engine fails at any time after the airplane reaches critical-engine failure speed V
(3) To clear all obstacles either by at least 50 feet vertically (as shown by the takeoff path data) or 200 feet horizontally within the airport boundaries and 300 feet horizontally beyond the boundaries, without banking before reaching a height of 50 feet (as shown by the takeoff path data) and thereafter without banking more than 15 degrees.
(b) In applying this section, corrections must be made for the effective runway gradient. To allow for wind effect, takeoff data based on still air may be corrected by taking into account not more than 50 percent of any reported headwind component and not less than 150 percent of any reported tailwind component.
(c) This section does not apply to large nontransport category airplanes operated under § 121.173(c).
(a) No person operating a reciprocating engine powered airplane may take off that airplane at a weight, allowing for normal consumption of fuel and oil, that does not allow a rate of climb (in feet per minute), with all engines operating, of at least 6.90 V
(b) This section does not apply to airplanes certificated under part 4a of the Civil Air Regulations.
(c) This section does not apply to large nontransport category airplanes operated under § 121.173(c).
(a) Except as provided in paragraph (b) of this section, no person operating a reciprocating engine powered airplane may take off that airplane at a weight, allowing for normal consumption of fuel and oil, that does not allow a rate of climb (in feet per minute), with one engine inoperative, of at least
(b) In place of the requirements of paragraph (a) of this section, a person may, under an approved procedure, operate a reciprocating engine powered airplane, at an all-engines-operating altitude that allows the airplane to continue, after an engine failure, to an alternate airport where a landing can be made in accordance with § 121.187, allowing for normal consumption of fuel and oil. After the assumed failure, the flight path must clear the ground and any obstruction within five miles on each side of the intended track by at least 2,000 feet.
(c) If an approved procedure under paragraph (b) of this section is used, the certificate holder shall comply with the following:
(1) The rate of climb (as prescribed in the Airplane Flight Manual for the appropriate weight and altitude) used in calculating the airplane's flight path shall be diminished by an amount, in feet per minute, equal to
(2) The all-engines-operating altitude shall be sufficient so that in the event the critical engine becomes inoperative at any point along the route, the flight will be able to proceed to a predetermined alternate airport by use of this procedure. In determining the takeoff weight, the airplane is assumed to pass over the critical obstruction following engine failure at a point no closer to the critical obstruction than the nearest approved radio navigational fix, unless the Administrator approves a procedure established on a different basis upon finding that adequate operational safeguards exist.
(3) The airplane must meet the provisions of paragraph (a) of this section at 1,000 feet above the airport used as an alternate in this procedure.
(4) The procedure must include an approved method of accounting for winds and temperatures that would otherwise adversely affect the flight path.
(5) In complying with this procedure fuel jettisoning is allowed if the certificate holder shows that it has an adequate training program, that proper instructions are given to the flight crew, and all other precautions are taken to insure a safe procedure.
(6) The certificate holder shall specify in the dispatch or flight release an alternate airport that meets the requirements of § 121.625.
(d) This section does not apply to large nontransport category airplanes operated under § 121.173(c).
(a) No person may operate an airplane certificated under part 25 and having four or more engines unless—
(1) There is no place along the intended track that is more than 90 minutes (with all engines operating at cruising power) from an airport that meets the requirements of § 121.187; or
(2) It is operated at a weight allowing the airplane, with the two critical engines inoperative, to climb at 0.013 V
(b) For the purposes of paragraph (a)(2) of this section, it is assumed that—
(1) The two engines fail at the point that is most critical with respect to the takeoff weight:
(2) Consumption of fuel and oil is normal with all engines operating up to the point where the two engines fail and with two engines operating beyond that point;
(3) Where the engines are assumed to fail at an altitude above the prescribed minimum altitude, compliance with the prescribed rate of climb at the prescribed minimum altitude need not be shown during the descent from the cruising altitude to the prescribed minimum altitude, if those requirements can be met once the prescribed minimum altitude is reached, and assuming descent to be along a net flight path and the rate of descent to be 0.013 V
(4) If fuel jettisoning is provided, the airplane's weight at the point where the two engines fail is considered to be not less than that which would include enough fuel to proceed to an airport meeting the requirements of § 121.187 and to arrive at an altitude of at least 1,000 feet directly over that airport.
(a) Except as provided in paragraph (b) of this section no person operating a reciprocating engine powered airplane may take off that airplane, unless its weight on arrival, allowing for normal consumption of fuel and oil in flight, would allow a full stop landing at the intended destination within 60 percent of the effective length of each runway described below from a point 50 feet directly above the intersection of the obstruction clearance plane and the runway. For the purposes of determining the allowable landing weight at the destination airport the following is assumed:
(1) The airplane is landed on the most favorable runway and in the most favorable direction in still air.
(2) The airplane is landed on the most suitable runway considering the probable wind velocity and direction (forecast for the expected time of arrival), the ground handling characteristics of the type of airplane, and other conditions such as landing aids and terrain, and allowing for the effect of the landing path and roll of not more than 50 percent of the headwind component or not less than 150 percent of the tailwind component.
(b) An airplane that would be prohibited from being taken off because it could not meet the requirements of paragraph (a)(2) of this section may be taken off if an alternate airport is specified that meets all of the requirements of this section except that the airplane can accomplish a full stop landing within 70 percent of the effective length of the runway.
(c) This section does not apply to large nontransport category airplanes operated under § 121.173(c).
(a) No person may list an airport as an alternate airport in a dispatch or flight release unless the airplane (at the weight anticipated at the time of arrival at the airport), based on the assumptions in § 121.185, can be brought to a full stop landing, within 70 percent of the effective length of the runway.
(b) This section does not apply to large nontransport category airplanes operated under § 121.173(c).
(a) No person operating a turbine engine powered airplane may take off that airplane at a weight greater than that listed in the Airplane Flight Manual for the elevation of the airport and for the ambient temperature existing at takeoff.
(b) No person operating a turbine engine powered airplane certificated after August 26, 1957, but before August 30, 1959 (SR422, 422A), may take off that airplane at a weight greater than that listed in the Airplane Flight Manual for the minimum distances required for takeoff. In the case of an airplane certificated after September 30, 1958 (SR422A, 422B), the takeoff distance may include a clearway distance but the clearway distance included may not be greater than
(c) No person operating a turbine engine powered airplane certificated after August 29, 1959 (SR422B), may take off that airplane at a weight greater than that listed in the Airplane Flight Manual at which compliance with the following may be shown:
(1) The accelerate-stop distance must not exceed the length of the runway plus the length of any stopway.
(2) The takeoff distance must not exceed the length of the runway plus the length of any clearway except that the length of any clearway included must not be greater than one-half the length of the runway.
(3) The takeoff run must not be greater than the length of the runway.
(d) No person operating a turbine engine powered airplane may take off that airplane at a weight greater than that listed in the Airplane Flight Manual—
(1) In the case of an airplane certificated after August 26, 1957, but before October 1, 1958 (SR422), that allows a takeoff path that clears all obstacles either by at least (35 + 0.01D) feet vertically (D is the distance along the intended flight path from the end of the runway in feet), or by at least 200 feet horizontally within the airport boundaries and by at least 300 feet horizontally after passing the boundaries; or
(2) In the case of an airplane certificated after September 30, 1958 (SR 422A, 422B), that allows a net takeoff flight path that clears all obstacles either by a height of at least 35 feet vertically, or by at least 200 feet horizontally within the airport boundaries and by at least 300 feet horizontally after passing the boundaries.
(e) In determining maximum weights, minimum distances, and flight paths under paragraphs (a) through (d) of this section, correction must be made for the runway to be used, the elevation of the airport, the effective runway gradient, the ambient temperature and wind component at the time of takeoff, and, if operating limitations exist for the minimum distances required for takeoff from wet runways, the runway surface condition (dry or wet). Wet runway distances associated with grooved or porous friction course runways, if provided in the Airplane Flight Manual, may be used only for runways that are grooved or treated with a porous friction course (PFC) overlay, and that the operator determines are designed, constructed, and maintained in a manner acceptable to the Administrator.
(f) For the purposes of this section, it is assumed that the airplane is not banked before reaching a height of 50 feet, as shown by the takeoff path or net takeoff flight path data (as appropriate) in the Airplane Flight Manual, and thereafter that the maximum bank is not more than 15 degrees.
(g) For the purposes of this section the terms, takeoff distance, takeoff run, net takeoff flight path and takeoff path have the same meanings as set forth in the rules under which the airplane was certificated.
(a) No person operating a turbine engine powered airplane may take off that airplane at a weight, allowing for normal consumption of fuel and oil, that is greater than that which (under the approved, one engine inoperative, en route net flight path data in the Airplane Flight Manual for that airplane) will allow compliance with paragraph (a) (1) or (2) of this section, based on the ambient temperatures expected en route:
(1) There is a positive slope at an altitude of at least 1,000 feet above all terrain and obstructions within five statute miles on each side of the intended track, and, in addition, if that airplane was certificated after August 29, 1959 (SR 422B) there is a positive slope at 1,500 feet above the airport where the airplane is assumed to land after an engine fails.
(2) The net flight path allows the airplane to continue flight from the cruising altitude to an airport where a landing can be made under § 121.197, clearing all terrain and obstructions within five statute miles of the intended track by at least 2,000 feet vertically and with a positive slope at 1,000 feet above the airport where the airplane lands after an engine fails, or, if that airplane was certificated after September 30, 1958 (SR 422A, 422B), with a positive slope at 1,500 feet above the airport where the airplane lands after an engine fails.
(b) For the purposes of paragraph (a)(2) of this section, it is assumed that—
(1) The engine fails at the most critical point en route;
(2) The airplane passes over the critical obstruction, after engine failure at a point that is no closer to the obstruction than the nearest approved radio navigation fix, unless the Administrator authorizes a different procedure based on adequate operational safeguards;
(3) An approved method is used to allow for adverse winds:
(4) Fuel jettisoning will be allowed if the certificate holder shows that the crew is properly instructed, that the training program is adequate, and that all other precautions are taken to insure a safe procedure;
(5) The alternate airport is specified in the dispatch or flight release and meets the prescribed weather minimums; and
(6) The consumption of fuel and oil after engine failure is the same as the consumption that is allowed for in the approved net flight path data in the Airplane Flight Manual.
(a) Airplanes certificated after August 26, 1957, but before October 1, 1958 (SR 422). No person may operate a turbine engine powered airplane along an intended route unless he complies with either of the following:
(1) There is no place along the intended track that is more than 90 minutes (with all engines operating at cruising power) from an airport that meets the requirements of § 121.197.
(2) Its weight, according to the two-engine-inoperative, en route, net flight path data in the Airplane Flight Manual, allows the airplane to fly from the point where the two engines are assumed to fail simultaneously to an airport that meets the requirements of § 121.197, with a net flight path (considering the ambient temperature anticipated along the track) having a positive slope at an altitude of at least 1,000 feet above all terrain and obstructions within five miles on each side of the intended track, or at an altitude of 5,000 feet, whichever is higher.
(b) Aircraft certificated after September 30, 1958, but before August 30, 1959 (SR 422A). No person may operate a turbine engine powered airplane along an intended route unless he complies with either of the following:
(1) There is no place along the intended track that is more than 90 minutes (with all engines operating at cruising power) from an airport that meets the requirements of § 121.197.
(2) Its weight, according to the two-engine-inoperative, en route, net flight path data in the Airplane Flight Manual, allows the airplane to fly from the point where the two engines are assumed to fail simultaneously to an airport that meets the requirements of § 121.197, with a net flight path (considering the ambient temperatures anticipated along the track) having a positive slope at an altitude of at least 1,000 feet above all terrain and obstructions within 5 miles on each side of the intended track, or at an altitude of 2,000 feet, whichever is higher.
(c) Aircraft certificated after August 29, 1959 (SR 422B). No person may operate a turbine engine powered airplane along an intended route unless he complies with either of the following:
(1) There is no place along the intended track that is more than 90 minutes (with all engines operating at cruising power) from an airport that meets the requirements of § 121.197.
(2) Its weight, according to the two-engine inoperative, en route, net flight path data in the Airplane Flight Manual, allows the airplane to fly from the point where the two engines are assumed to fail simultaneously to an airport that meets the requirements of § 121.197, with the net flight path (considering the ambient temperatures anticipated along the track) clearing vertically by at least 2,000 feet all terrain and obstructions within five statute miles (4.34 nautical miles) on each side of the intended track. For the purposes of this subparagraph, it is assumed that—
(i) The two engines fail at the most critical point en route;
(ii) The net flight path has a positive slope at 1,500 feet above the airport where the landing is assumed to be made after the engines fail;
(iii) Fuel jettisoning will be approved if the certificate holder shows that the crew is properly instructed, that the training program is adequate, and that all other precautions are taken to ensure a safe procedure;
(iv) The airplane's weight at the point where the two engines are assumed to fail provides enough fuel to continue to the airport, to arrive at an altitude of at least 1,500 feet directly over the airport, and thereafter to fly for 15 minutes at cruise power or thrust, or both; and
(v) The consumption of fuel and oil after the engine failure is the same as the consumption that is allowed for in the net flight path data in the Airplane Flight Manual.
(a) No person operating a turbine engine powered airplane may take off that airplane at such a weight that (allowing for normal consumption of fuel and oil in flight to the destination or alternate airport) the weight of the airplane on arrival would exceed the landing weight set forth in the Airplane Flight Manual for the elevation of the destination or alternate airport and the ambient temperature anticipated at the time of landing.
(b) Except as provided in paragraph (c), (d), or (e) of this section, no person operating a turbine engine powered airplane may take off that airplane unless its weight on arrival, allowing for normal consumption of fuel and oil in flight (in accordance with the landing distance set forth in the Airplane Flight Manual for the elevation of the destination airport and the wind conditions anticipated there at the time of landing), would allow a full stop landing at the intended destination airport within 60 percent of the effective length of each runway described below from a point 50 feet above the intersection of the obstruction clearance plane and the runway. For the purpose of determining the allowable landing weight at the destination airport the following is assumed:
(1) The airplane is landed on the most favorable runway and in the most favorable direction, in still air.
(2) The airplane is landed on the most suitable runway considering the probable wind velocity and direction and the ground handling characteristics of the airplane, and considering other conditions such as landing aids and terrain.
(c) A turbopropeller powered airplane that would be prohibited from being taken off because it could not meet the requirements of paragraph (b)(2) of this section, may be taken off if an alternate airport is specified that meets all the requirements of this section except that the airplane can accomplish a full stop landing within 70 percent of the effective length of the runway.
(d) Unless, based on a showing of actual operating landing techniques on wet runways, a shorter landing distance (but never less than that required by paragraph (b) of this section) has been approved for a specific type and model airplane and included in the Airplane Flight Manual, no person may takeoff a turbojet powered airplane when the appropriate weather reports and forecasts, or a combination thereof, indicate that the runways at the destination airport may be wet or slippery at the estimated time of arrival unless the effective runway length at the destination airport is at least 115 percent of the runway length required under paragraph (b) of this section.
(e) A turbojet powered airplane that would be prohibited from being taken off because it could not meet the requirements of paragraph (b)(2) of this section may be taken off if an alternate airport is specified that meets all the requirements of paragraph (b) of this section.
No person may list an airport as an alternate airport in a dispatch or flight release for a turbine engine powered airplane unless (based on the assumptions in § 121.195 (b)) that airplane at the weight anticipated at the time of arrival can be brought to a full stop landing within 70 percent of the effective length of the runway for turbopropeller powered airplanes and 60 percent of the effective length of the runway for turbojet powered airplanes, from a point 50 feet above the intersection of the obstruction clearance plane and the runway. In the case of an alternate airport for departure, as provided in § 121.617, allowance may be made for fuel jettisoning in addition to normal consumption of fuel and oil when determining the weight anticipated at the time of arrival.
(a) Notwithstanding the applicable structural provisions of the airworthiness regulations but subject to paragraphs (b) through (g) of this section, a certificate holder may operate (for cargo service only) any of the following airplanes (certificated under part 4b of the Civil Air Regulations effective before March 13, 1956) at increased zero fuel and landing weights—
(1) DC-6A, DC-6B, DC-7B, and DC-7C; and
(2) L1049B, C, D, E, F, G, and H, and the L1649A when modified in accordance with supplemental type certificate SA 4-1402.
(b) The zero fuel weight (maximum weight of the airplane with no disposable fuel and oil) and the structural landing weight may be increased beyond the maximum approved in full compliance with applicable regulations only if the Administrator finds that—
(1) The increase is not likely to reduce seriously the structural strength;
(2) The probability of sudden fatigue failure is not noticeably increased;
(3) The flutter, deformation, and vibration characteristics do not fall below those required by applicable regulations; and
(4) All other applicable weight limitations will be met.
(c) No zero fuel weight may be increased by more than five percent, and the increase in the structural landing weight may not exceed the amount, in pounds, of the increase in zero fuel weight.
(d) Each airplane must be inspected in accordance with the approved special inspection procedures, for operations at increased weights, established and issued by the manufacturer of the type of airplane.
(e) Each airplane operated under this section must be operated in accordance with the passenger-carrying performance operating limitations prescribed in this part.
(f) The Airplane Flight Manual for each airplane operated under this section must be appropriately revised to include the operating limitations and information needed for operation at the increased weights.
(g) Except as provided for the carrying of persons under § 121.583 each airplane operated at an increased weight under this section must, before it is used in passenger service, be inspected under the special inspection procedures for return to passenger service established and issued by the manufacturer and approved by the Administrator.
(a) No person operating a nontransport category airplane may take off that airplane at a weight greater than the weight that would allow the airplane to be brought to a safe stop within the effective length of the runway, from any point during the takeoff before reaching 105 percent of minimum control speed (the minimum speed at which an airplane can be safely controlled in flight after an engine becomes inoperative) or 115 percent of the power off stalling speed in the takeoff configuration, whichever is greater.
(b) For the purposes of this section—
(1) It may be assumed that takeoff power is used on all engines during the acceleration;
(2) Not more than 50 percent of the reported headwind component, or not less than 150 percent of the reported tailwind component, may be taken into account;
(3) The average runway gradient (the difference between the elevations of the endpoints of the runway divided by the total length) must be considered if it is more than one-half of 1 percent;
(4) It is assumed that the airplane is operating in standard atmosphere; and
(5) The effective length of the runway for takeoff means the distance from the end of the runway at which the takeoff is started to a point at which the obstruction clearance plane associated with the other end of the runway intersects the runway centerline.
(a) Except as provided in paragraph (b) of this section, no person operating a nontransport category airplane may take off that airplane at a weight that does not allow a rate of climb of at least 50 feet a minute, with the critical engine inoperative, at an altitude of at least 1,000 feet above the highest obstruction within five miles on each side of the intended track, or 5,000 feet, whichever is higher.
(b) Notwithstanding paragraph (a) of this section, if the Administrator finds that safe operations are not impaired, a person may operate the airplane at an altitude that allows the airplane, in case of engine failure, to clear all obstructions within 5 miles on each side of the intended track by 1,000 feet. If this procedure is used, the rate of descent for the appropriate weight and altitude is assumed to be 50 feet a minute greater than the rate in the approved performance data. Before approving such a procedure, the Administrator considers the following for the route, route segment, or area concerned:
(1) The reliability of wind and weather forecasting.
(2) The location and kinds of navigation aids.
(3) The prevailing weather conditions, particularly the frequency and amount of turbulence normally encountered.
(4) Terrain features.
(5) Air traffic control problems.
(6) Any other operational factors that affect the operation.
(c) For the purposes of this section, it is assumed that—
(1) The critical engine is inoperative;
(2) The propeller of the inoperative engine is in the minimum drag position;
(3) The wing flaps and landing gear are in the most favorable position;
(4) The operating engines are operating at the maximum continuous power available;
(5) The airplane is operating in standard atmosphere; and
(6) The weight of the airplane is progressively reduced by the anticipated consumption of fuel and oil.
(a) No person operating a nontransport category airplane may take off that airplane at a weight that—
(1) Allowing for anticipated consumption of fuel and oil, is greater than the weight that would allow a full stop landing within 60 percent of the effective length of the most suitable runway at the destination airport; and
(2) Is greater than the weight allowable if the landing is to be made on the runway—
(i) With the greatest effective length in still air; and
(ii) Required by the probable wind, taking into account not more than 50 percent of the headwind component or not less than 150 percent of the tailwind component.
(b) For the purposes of this section, it is assumed that—
(1) The airplane passes directly over the intersection of the obstruction clearance plane and the runway at a height of 50 feet in a steady gliding approach at a true indicated airspeed of at least 1.3 V
(2) The landing does not require exceptional pilot skill; and
(3) The airplane is operating in standard atmosphere.
No person may list an airport as an alternate airport in a dispatch or flight release for a nontransport category airplane unless that airplane (at the weight anticipated at the time of arrival) based on the assumptions contained in § 121.203, can be brought to a full stop landing within 70 percent of the effective length of the runway.
In addition to the limitations in § 91.317 of this chapter, the following limitations apply to the operation of provisionally certificated airplanes by certificate holders:
(a) In addition to crewmembers, each certificate holder may carry on such an airplane only those persons who are listed in § 121.547(c) or who are specifically authorized by both the certificate holder and the Administrator.
(b) Each certificate holder shall keep a log of each flight conducted under this section and shall keep accurate and complete records of each inspection made and all maintenance performed on the airplane. The certificate holder shall make the log and records made under this section available to the manufacturer and the Administrator.
(a) This subpart prescribes special airworthiness requirements applicable to certificate holders as stated in paragraphs (b) through (e) of this section.
(b) Except as provided in paragraph (d) of this section, each airplane type certificated under Aero Bulletin 7A or part 04 of the Civil Air Regulations in effect before November 1, 1946 must meet the special airworthiness requirements in §§ 121.215 through 121.283.
(c) Each certificate holder must comply with the requirements of §§ 121.285 through 121.291.
(d) If the Administrator determines that, for a particular model of airplane used in cargo service, literal compliance with any requirement under paragraph (b) of this section would be extremely difficult and that compliance would not contribute materially to the objective sought, he may require compliance only with those requirements that are necessary to accomplish the basic objectives of this part.
(e) No person may operate under this part a nontransport category airplane type certificated after December 31, 1964, unless the airplane meets the special airworthiness requirements in § 121.293.
(a) Except as provided in § 121.312, each compartment used by the crew or passengers must meet the requirements of this section.
(b) Materials must be at least flash resistant.
(c) The wall and ceiling linings and the covering of upholstering, floors, and furnishings must be flame resistant.
(d) Each compartment where smoking is to be allowed must be equipped with self-contained ash trays that are completely removable and other compartments must be placarded against smoking.
(e) Each receptacle for used towels, papers, and wastes must be of fire-resistant material and must have a cover or other means of containing possible fires started in the receptacles.
In any case where internal doors are equipped with louvres or other ventilating means, there must be a means convenient to the crew for closing the flow of air through the door when necessary.
Each passenger or crew compartment must be suitably ventilated. Carbon monoxide concentration may not be more than one part in 20,000 parts of air, and fuel fumes may not be present. In any case where partitions between compartments have louvres or other means allowing air to flow between compartments, there must be a means convenient to the crew for closing the flow of air through the partitions, when necessary.
(a) Each compartment must be designed so that, when used for storing cargo or baggage, it meets the following requirements:
(1) No compartment may include controls, wiring, lines, equipment, or accessories that would upon damage or failure, affect the safe operation of the airplane unless the item is adequately shielded, isolated, or otherwise protected so that it cannot be damaged by movement of cargo in the compartment and so that damage to or failure of the item would not create a fire hazard in the compartment.
(2) Cargo or baggage may not interfere with the functioning of the fire-protective features of the compartment.
(3) Materials used in the construction of the compartments, including tie-down equipment, must be at least flame resistant.
(4) Each compartment must include provisions for safeguarding against fires according to the classifications set forth in paragraphs (b) through (f) of this section.
(b) Class A. Cargo and baggage compartments are classified in the “A” category if—
(1) A fire therein would be readily discernible to a member of the crew while at his station; and
(2) All parts of the compartment are easily accessible in flight.
(c) Class B. Cargo and baggage compartments are classified in the “B” category if enough access is provided while in flight to enable a member of the crew to effectively reach all of the compartment and its contents with a hand fire extinguisher and the compartment is so designed that, when the access provisions are being used, no hazardous amount of smoke, flames, or extinguishing agent enters any compartment occupied by the crew or passengers. Each Class B compartment must comply with the following:
(1) It must have a separate approved smoke or fire detector system to give warning at the pilot or flight engineer station.
(2) There must be a hand fire extinguisher available for the compartment.
(3) It must be lined with fire-resistant material, except that additional service lining of flame-resistant material may be used.
(d) Class C. Cargo and baggage compartments are classified in the “C” category if they do not conform with the requirements for the “A”, “B”, “D”, or “E” categories. Each Class C compartment must comply with the following:
(1) It must have a separate approved smoke or fire detector system to give warning at the pilot or flight engineer station.
(2) It must have an approved built-in fire-extinguishing system controlled from the pilot or flight engineer station.
(3) It must be designed to exclude hazardous quantities of smoke, flames, or extinguishing agents from entering into any compartment occupied by the crew or passengers.
(4) It must have ventilation and draft controlled so that the extinguishing agent provided can control any fire that may start in the compartment.
(5) It must be lined with fire-resistant material, except that additional service lining of flame-resistant material may be used.
(e) Class D. Cargo and baggage compartments are classified in the “D” category if they are so designed and constructed that a fire occurring therein will be completely confined without endangering the safety of the airplane or the occupants. Each Class D compartment must comply with the following:
(1) It must have a means to exclude hazardous quantities of smoke, flames, or noxious gases from entering any compartment occupied by the crew or passengers.
(2) Ventilation and drafts must be controlled within each compartment so that any fire likely to occur in the compartment will not progress beyond safe limits.
(3) It must be completely lined with fire-resistant material.
(4) Consideration must be given to the effect of heat within the compartment on adjacent critical parts of the airplane.
(f) Class E. On airplanes used for the carriage of cargo only, the cabin area may be classified as a Class “E” compartment. Each Class E compartment must comply with the following:
(1) It must be completely lined with fire-resistant material.
(2) It must have a separate system of an approved type smoke or fire detector to give warning at the pilot or flight engineer station.
(3) It must have a means to shut off the ventilating air flow to or within the compartment and the controls for that means must be accessible to the flight crew in the crew compartment.
(4) It must have a means to exclude hazardous quantities of smoke, flames, or noxious gases from entering the flight crew compartment.
(5) Required crew emergency exits must be accessible under all cargo loading conditions.
Compliance with those provisions of § 121.221 that refer to compartment accessibility, the entry of hazardous quantities of smoke or extinguishing agent into compartments occupied by the crew or passengers, and the dissipation of the extinguishing agent in Class “C” compartments must be shown by tests in flight. During these tests it must be shown that no inadvertent operation of smoke or fire detectors in other compartments within the airplane would occur as a result of fire contained in any one compartment, either during the time it is being extinguished, or thereafter, unless the extinguishing system floods those compartments simultaneously.
If combustible fluid is used for propeller deicing, the certificate holder must comply with § 121.255.
(a) Pressure cross-feed lines may not pass through parts of the airplane used for carrying persons or cargo unless—
(1) There is a means to allow crewmembers to shut off the supply of fuel to these lines; or
(2) The lines are enclosed in a fuel and fume-proof enclosure that is ventilated and drained to the exterior of the airplane.
(b) Lines that can be isolated from the rest of the fuel system by valves at each end must incorporate provisions for relieving excessive pressures that may result from exposure of the isolated line to high temperatures.
(a) Fuel tanks must be located in accordance with § 121.255.
(b) No part of the engine nacelle skin that lies immediately behind a major air outlet from the engine compartment may be used as the wall of an integral tank.
(c) Fuel tanks must be isolated from personnel compartments by means of fume- and fuel-proof enclosures.
(a) Fuel lines must be installed and supported so as to prevent excessive vibration and so as to be adequate to withstand loads due to fuel pressure and accelerated flight conditions.
(b) Lines connected to components of the airplanes between which there may be relative motion must incorporate provisions for flexibility.
(c) Flexible connections in lines that may be under pressure and subject to axial loading must use flexible hose assemblies rather than hose clamp connections.
(d) Flexible hose must be of an acceptable type or proven suitable for the particular application.
Fuel lines and fittings in each designated fire zone must comply with § 121.259.
Each fuel valve must—
(a) Comply with § 121.257;
(b) Have positive stops or suitable index provisions in the “on” and “off” positions; and
(c) Be supported so that loads resulting from its operation or from accelerated flight conditions are not transmitted to the lines connected to the valve.
Oil line and fittings in each designated fire zone must comply with § 121.259.
(a) Each oil valve must—
(1) Comply with § 121.257;
(2) Have positive stops or suitable index provisions in the “on” and “off” positions; and
(3) Be supported so that loads resulting from its operation or from accelerated flight conditions are not transmitted to the lines attached to the valve.
(b) The closing of an oil shutoff means must not prevent feathering the propeller, unless equivalent safety provisions are incorporated.
Accessible drains incorporating either a manual or automatic means for positive locking in the closed position, must be provided to allow safe drainage of the entire oil system.
(a) Engine breather lines must be so arranged that condensed water vapor that may freeze and obstruct the line cannot accumulate at any point.
(b) Engine breathers must discharge in a location that does not constitute a fire hazard in case foaming occurs and so that oil emitted from the line does not impinge upon the pilots' windshield.
(c) Engine breathers may not discharge into the engine air induction system.
Each engine, auxiliary power unit, fuel-burning heater, or other item of combustion equipment that is intended for operation in flight must be isolated from the rest of the airplane by means of firewalls or shrouds, or by other equivalent means.
Each fire wall and shroud must—
(a) Be so made that no hazardous quantity of air, fluids, or flame can pass from the engine compartment to other parts of the airplane;
(b) Have all openings in the fire wall or shroud sealed with close-fitting fire-proof grommets, bushings, or firewall fittings;
(c) Be made of fireproof material; and
(d) Be protected against corrosion.
(a) Cowling must be made and supported so as to resist the vibration inertia, and air loads to which it may be normally subjected.
(b) Provisions must be made to allow rapid and complete drainage of the cowling in normal ground and flight attitudes. Drains must not discharge in locations constituting a fire hazard. Parts of the cowling that are subjected to high temperatures because they are near exhaust system parts or because of exhaust gas impingement must be made of fireproof material. Unless otherwise specified in these regulations all other parts of the cowling must be made of material that is at least fire resistant.
Unless equivalent protection can be shown by other means, a diaphragm that complies with § 121.247 must be provided on air-cooled engines to isolate the engine power section and all parts of the exhaust system from the engine accessory compartment.
(a) Designated fire zones must be protected from fire by compliance with §§ 121.255 through 121.261.
(b) Designated fire zones are—
(1) Engine accessory sections;
(2) Installations where no isolation is provided between the engine and accessory compartment; and
(3) Areas that contain auxiliary power units, fuel-burning heaters, and other combustion equipment.
(a) No tanks or reservoirs that are a part of a system containing flammable fluids or gases may be located in designated fire zones, except where the fluid contained, the design of the system, the materials used in the tank, the shutoff means, and the connections, lines, and controls provide equivalent safety.
(b) At least one-half inch of clear airspace must be provided between any tank or reservoir and a firewall or shroud isolating a designated fire zone.
(a) Each engine must have a means for shutting off or otherwise preventing hazardous amounts of fuel, oil, deicer, and other flammable fluids from flowing into, within, or through any designated fire zone. However, means need not be provided to shut off flow in lines that are an integral part of an engine.
(b) The shutoff means must allow an emergency operating sequence that is compatible with the emergency operation of other equipment, such as feathering the propeller, to facilitate rapid and effective control of fires.
(c) Shutoff means must be located outside of designated fire zones, unless equivalent safety is provided, and it must be shown that no hazardous amount of flammable fluid will drain into any designated fire zone after a shut off.
(d) Adequate provisions must be made to guard against inadvertent operation of the shutoff means and to make it possible for the crew to reopen the shutoff means after it has been closed.
(a) Each line, and its fittings, that is located in a designated fire zone, if it carries flammable fluids or gases under pressure, or is attached directly to the engine, or is subject to relative motion between components (except lines and fittings forming an integral part of the engine), must be flexible and fire-resistant with fire-resistant, factory-fixed, detachable, or other approved fire-resistant ends.
(b) Lines and fittings that are not subject to pressure or to relative motion between components must be of fire-resistant materials.
All vent and drain lines and their fittings, that are located in a designated fire zone must, if they carry flammable fluids or gases, comply with § 121.259, if the Administrator finds that the rupture or breakage of any vent or drain line may result in a fire hazard.
(a) Unless the certificate holder shows that equivalent protection against destruction of the airplane in case of fire is provided by the use of fireproof materials in the nacelle and other components that would be subjected to flame, fire-extinguishing systems must be provided to serve all designated fire zones.
(b) Materials in the fire-extinguishing system must not react chemically with the extinguishing agent so as to be a hazard.
Only methyl bromide, carbon dioxide, or another agent that has been shown to provide equivalent extinguishing action may be used as a fire-extinguishing agent. If methyl bromide or any other toxic extinguishing agent is used, provisions must be made to prevent harmful concentrations of fluid or fluid vapors from entering any personnel compartment either because of leakage during normal operation of the airplane or because of discharging the fire extinguisher on the ground or in flight when there is a defect in the extinguishing system. If a methyl bromide system is used, the containers must be charged with dry agent and sealed by the fire-extinguisher manufacturer or some other person using satisfactory recharging equipment. If carbon dioxide is used, it must not be possible to discharge enough gas into the personnel compartments to create a danger of suffocating the occupants.
Extinguishing agent containers must be provided with a pressure relief to prevent bursting of the container because of excessive internal pressures. The discharge line from the relief connection must terminate outside the airplane in a place convenient for inspection on the ground. An indicator must be provided at the discharge end of the line to provide a visual indication when the container has discharged.
Precautions must be taken to insure that the extinguishing agent containers are installed in places where reasonable temperatures can be maintained for effective use of the extinguishing system.
(a) Except as provided in paragraph (b) of this section, each component of a fire-extinguishing system that is in a designated fire zone must be made of fireproof materials.
(b) Connections that are subject to relative motion between components of the airplane must be made of flexible materials that are at least fire-resistant and be located so as to minimize the probability of failure.
Enough quick-acting fire detectors must be provided in each designated fire zone to assure the detection of any fire that may occur in that zone.
Fire detectors must be made and installed in a manner that assures their ability to resist, without failure, all vibration, inertia, and other loads to which they may be normally subjected. Fire detectors must be unaffected by exposure to fumes, oil, water, or other fluids that may be present.
(a) Except as provided in paragraph (b) of this section, all airplane surfaces aft of the nacelles in the area of one nacelle diameter on both sides of the nacelle centerline must be made of material that is at least fire resistant.
(b) Paragraph (a) of this section does not apply to tail surfaces lying behind nacelles unless the dimensional configuration of the airplane is such that the tail surfaces could be affected readily by heat, flames, or sparks emanating from a designated fire zone or from the engine compartment of any nacelle.
(a) Except as provided in paragraph (b) of this section, each airplane must have a means of individually stopping and restarting the rotation of any engine in flight.
(b) In the case of turbine engine installations, a means of stopping the rotation need be provided only if the Administrator finds that rotation could jeopardize the safety of the airplane.
(a) Each airplane fuel system must be arranged so that the failure of any one component does not result in the irrecoverable loss of power of more than one engine.
(b) A separate fuel tank need not be provided for each engine if the certificate holder shows that the fuel system incorporates features that provide equivalent safety.
A means for preventing the malfunctioning of each engine due to ice accumulation in the engine air induction system must be provided for each airplane.
(a) Except as provided in paragraph (b), (c), or (d) or this section, no certificate holder may carry cargo in the passenger compartment of an airplane.
(b) Cargo may be carried anywhere in the passenger compartment if it is carried in an approved cargo bin that meets the following requirements:
(1) The bin must withstand the load factors and emergency landing conditions applicable to the passenger seats of the airplane in which the bin is installed, multiplied by a factor of 1.15, using the combined weight of the bin and the maximum weight of cargo that may be carried in the bin.
(2) The maximum weight of cargo that the bin is approved to carry and any instructions necessary to insure proper weight distribution within the bin must be conspicuously marked on the bin.
(3) The bin may not impose any load on the floor or other structure of the airplane that exceeds the load limitations of that structure.
(4) The bin must be attached to the seat tracks or to the floor structure of the airplane, and its attachment must withstand the load factors and emergency landing conditions applicable to the passenger seats of the airplane in which the bin is installed, multiplied by either the factor 1.15 or the seat attachment factor specified for the airplane, whichever is greater, using the combined weight of the bin and the maximum weight of cargo that may be carried in the bin.
(5) The bin may not be installed in a position that restricts access to or use of any required emergency exit, or of the aisle in the passenger compartment.
(6) The bin must be fully enclosed and made of material that is at least flame resistant.
(7) Suitable safeguards must be provided within the bin to prevent the cargo from shifting under emergency landing conditions.
(8) The bin may not be installed in a position that obscures any passenger's view of the “seat belt” sign “no smoking” sign, or any required exit sign, unless an auxiliary sign or other approved means for proper notification of the passenger is provided.
(c) Cargo may be carried aft of a bulkhead or divider in any passenger compartment provided the cargo is restrained to the load factors in § 25.561(b)(3) and is loaded as follows:
(1) It is properly secured by a safety belt or other tiedown having enough strength to eliminate the possibility of shifting under all normally anticipated flight and ground conditions.
(2) It is packaged or covered in a manner to avoid possible injury to passengers and passenger compartment occupants.
(3) It does not impose any load on seats or the floor structure that exceeds the load limitation for those components.
(4) Its location does not restrict access to or use of any required emergency or regular exit, or of the aisle in the passenger compartment.
(5) Its location does not obscure any passenger's view of the “seat belt” sign, “no smoking” sign, or required exit sign, unless an auxiliary sign or other approved means for proper notification of the passenger is provided.
(d) Cargo, including carry-on baggage, may be carried anywhere in the passenger compartment of a nontransport category airplane type certificated after December 31, 1964, if it is carried in an approved cargo rack, bin, or compartment installed in or on the airplane, if it is secured by an approved means, or if it is carried in accordance with each of the following:
(1) For cargo, it is properly secured by a safety belt or other tie-down having enough strength to eliminate the possibility of shifting under all normally anticipated flight and ground conditions, or for carry-on baggage, it is restrained so as to prevent its movement during air turbulence.
(2) It is packaged or covered to avoid possible injury to occupants.
(3) It does not impose any load on seats or in the floor structure that exceeds the load limitation for those components.
(4) It is not located in a position that obstructs the access to, or use of, any required emergency or regular exit, or the use of the aisle between the crew and the passenger compartment, or is located in a position that obscures any passenger's view of the “seat belt” sign, “no smoking” sign or placard, or any required exit sign, unless an auxiliary sign or other approved means for proper notification of the passengers is provided.
(5) It is not carried directly above seated occupants.
(6) It is stowed in compliance with this section for takeoff and landing.
(7) For cargo-only operations, paragraph (d)(4) of this section does not apply if the cargo is loaded so that at least one emergency or regular exit is available to provide all occupants of the airplane a means of unobstructed exit from the airplane if an emergency occurs.
When cargo is carried in cargo compartments that are designed to require the physical entry of a crewmember to extinguish any fire that may occur during flight, the cargo must be loaded so as to allow a crewmember to effectively reach all parts of the compartment with the contents of a hand fire extinguisher.
(a) Except for airplanes that comply with the requirements of § 25.729 of this chapter on or after January 6, 1992, each airplane must have a landing gear aural warning device that functions continuously under the following conditions:
(1) For airplanes with an established approach wing-flap position, whenever the wing flaps are extended beyond the maximum certificated approach climb configuration position in the Airplane Flight Manual and the landing gear is not fully extended and locked.
(2) For airplanes without an established approach climb wing-flap position, whenever the wing flaps are extended beyond the position at which landing gear extension is normally performed and the landing gear is not fully extended and locked.
(b) The warning system required by paragraph (a) of this section—
(1) May not have a manual shutoff;
(2) Must be in addition to the throttle-actuated device installed under the type certification airworthiness requirements; and
(3) May utilize any part of the throttle-actuated system including the aural warning device.
(c) The flap position sensing unit may be installed at any suitable place in the airplane.
(a) Except as provided in paragraph (a)(1) of this section, each certificate holder must conduct an actual demonstration of emergency evacuation procedures in accordance with paragraph (a) of appendix D to this part to show that each type and model of airplane with a seating capacity of more than 44 passengers to be used in its passenger-carrying operations allows the evacuation of the full capacity, including crewmembers, in 90 seconds or less.
(1) An actual demonstration need not be conducted if that airplane type and model has been shown to be in compliance with this paragraph in effect on or after October 24, 1967, or, if during type certification, with § 25.803 of this chapter in effect on or after December 1, 1978.
(2) Any actual demonstration conducted after September 27, 1993, must be in accordance with paragraph (a) of appendix D to this part in effect on or after that date or with § 25.803 in effect on or after that date.
(b) Each certificate holder conducting operations with airplanes with a seating capacity of more than 44 passengers must conduct a partial demonstration of emergency evacuation procedures in accordance with paragraph (c) of this section upon:
(1) Initial introduction of a type and model of airplane into passenger-carrying operation;
(2) Changing the number, location, or emergency evacuation duties or procedures of flight attendants who are required by § 121.391; or
(3) Changing the number, location, type of emergency exits, or type of opening mechanism on emergency exits available for evacuation.
(c) In conducting the partial demonstration required by paragraph (b) of this section, each certificate holder must:
(1) Demonstrate the effectiveness of its crewmember emergency training and evacuation procedures by conducting a demonstration, not requiring passengers and observed by the Administrator, in which the flight attendants for that type and model of airplane, using that operator's line operating procedures, open 50 percent of the required floor-level emergency exits and 50 percent of the required non-floor-level emergency exits whose opening by a flight attendant is defined as an emergency evacuation duty under § 121.397, and deploy 50 percent of the exit slides. The exits and slides will be selected by the administrator and must be ready for use within 15 seconds;
(2) Apply for and obtain approval from the responsible Flight Standards office before conducting the demonstration;
(3) Use flight attendants in this demonstration who have been selected at random by the Administrator, have completed the certificate holder's FAA-approved training program for the type and model of airplane, and have passed a written or practical examination on the emergency equipment and procedures; and
(4) Apply for and obtain approval from the responsible Flight Standards office before commencing operations with this type and model airplane.
(d) Each certificate holder operating or proposing to operate one or more landplanes in extended overwater operations, or otherwise required to have certain equipment under § 121.339, must show, by simulated ditching conducted in accordance with paragraph (b) of appendix D to this part, that it has the ability to efficiently carry out its ditching procedures. For certificate holders subject to § 121.2(a)(1), this paragraph applies only when a new type or model airplane is introduced into the certificate holder's operations after January 19, 1996.
(e) For a type and model airplane for which the simulated ditching specified in paragraph (d) has been conducted by a part 121 certificate holder, the requirements of paragraphs (b)(2), (b)(4), and (b)(5) of appendix D to this part are complied with if each life raft is removed from stowage, one life raft is launched and inflated (or one slide life raft is inflated) and crewmembers assigned to the inflated life raft display and describe the use of each item of required emergency equipment. The life raft or slide life raft to be inflated will be selected by the Administrator.
No certificate holder may operate a nontransport category airplane manufactured after December 20, 1999 unless the airplane contains a takeoff warning system that meets the requirements of 14 CFR 25.703. However, the takeoff warning system does not have to cover any device for which it has been demonstrated that takeoff with that device in the most adverse position would not create a hazardous condition.
After November 28, 2009, all airplanes with a maximum certificated passenger seating capacity of more than 60 persons must have a location where a suspected explosive or incendiary device found in flight can be placed to minimize the risk to the airplane.
This subpart prescribes instrument and equipment requirements for all certificate holders.
(a) Unless otherwise specified, the instrument and equipment requirements of this subpart apply to all operations under this part.
(b) Instruments and equipment required by §§ 121.305 through 121.359 and 121.803 must be approved and installed in accordance with the airworthiness requirements applicable to them.
(c) Each airspeed indicator must be calibrated in knots, and each airspeed limitation and item of related information in the Airplane Flight Manual and pertinent placards must be expressed in knots.
(d) Except as provided in §§ 121.627(b) and 121.628, no person may take off any airplane unless the following instruments and equipment are in operable condition:
(1) Instruments and equipment required to comply with airworthiness requirements under which the airplane is type certificated and as required by §§ 121.213 through 121.283 and 121.289.
(2) Instruments and equipment specified in §§ 121.305 through 121.321, 121.359, 121.360, and 121.803 for all operations, and the instruments and equipment specified in §§ 121.323 through 121.351 for the kind of operation indicated, wherever these items are not already required by paragraph (d)(1) of this section.
No person may operate an airplane unless it is equipped with the following flight and navigational instruments and equipment:
(a) An airspeed indicating system with heated pitot tube or equivalent means for preventing malfunctioning due to icing.
(b) A sensitive altimeter.
(c) A sweep-second hand clock (or approved equivalent).
(d) A free-air temperature indicator.
(e) A gyroscopic bank and pitch indicator (artificial horizon).
(f) A gyroscopic rate-of-turn indicator combined with an integral slip-skid indicator (turn-and-bank indicator) except that only a slip-skid indicator is required when a third attitude instrument system usable through flight attitudes of 360° of pitch and roll is installed in accordance with paragraph (k) of this section.
(g) A gyroscopic direction indicator (directional gyro or equivalent).
(h) A magnetic compass.
(i) A vertical speed indicator (rate-of-climb indicator).
(j) On the airplane described in this paragraph, in addition to two gyroscopic bank and pitch indicators (artificial horizons) for use at the pilot stations, a third such instrument is installed in accordance with paragraph (k) of this section:
(1) On each turbojet powered airplane.
(2) On each turbopropeller powered airplane having a passenger-seat configuration of more than 30 seats, excluding each crewmember seat, or a payload capacity of more than 7,500 pounds.
(3) On each turbopropeller powered airplane having a passenger-seat configuration of 30 seats or fewer, excluding each crewmember seat, and a payload capacity of 7,500 pounds or less that is manufactured on or after March 20, 1997.
(4) After December 20, 2010, on each turbopropeller powered airplane having a passenger seat configuration of 10-30 seats and a payload capacity of 7,500 pounds or less that was manufactured before March 20, 1997.
(k) When required by paragraph (j) of this section, a third gyroscopic bank-and-pitch indicator (artificial horizon) that:
(1) Is powered from a source independent of the electrical generating system;
(2) Continues reliable operation for a minimum of 30 minutes after total failure of the electrical generating system;
(3) Operates independently of any other attitude indicating system;
(4) Is operative without selection after total failure of the electrical generating system;
(5) Is located on the instrument panel in a position acceptable to the Administrator that will make it plainly visible to and usable by each pilot at his or her station; and
(6) Is appropriately lighted during all phases of operation.
(a) Except as provided in paragraph (b) of this section, no person may operate, nor may any operator or pilot in command of an aircraft allow the operation of, any portable electronic device on any U.S.-registered civil aircraft operating under this part.
(b) Paragraph (a) of this section does not apply to—
(1) Portable voice recorders;
(2) Hearing aids;
(3) Heart pacemakers;
(4) Electric shavers;
(5) Portable oxygen concentrators that comply with the requirements in § 121.574; or
(6) Any other portable electronic device that the part 119 certificate holder has determined will not cause interference with the navigation or communication system of the aircraft on which it is to be used.
(c) The determination required by paragraph (b)(6) of this section shall be made by that part 119 certificate holder operating the particular device to be used.
Unless the Administrator allows or requires different instrumentation for turbine engine powered airplanes to provide equivalent safety, no person may conduct any operation under this part without the following engine instruments:
(a) A carburetor air temperature indicator for each engine.
(b) A cylinder head temperature indicator for each air-cooled engine.
(c) A fuel pressure indicator for each engine.
(d) A fuel flowmeter or fuel mixture indicator for each engine not equipped with an automatic altitude mixture control.
(e) A means for indicating fuel quantity in each fuel tank to be used.
(f) A manifold pressure indicator for each engine.
(g) An oil pressure indicator for each engine.
(h) An oil quantity indicator for each oil tank when a transfer or separate oil reserve supply is used.
(i) An oil-in temperature indicator for each engine.
(j) A tachometer for each engine.
(k) An independent fuel pressure warning device for each engine or a master warning device for all engines with a means for isolating the individual warning circuits from the master warning device.
(l) A device for each reversible propeller, to indicate to the pilot when the propeller is in reverse pitch, that complies with the following:
(1) The device may be actuated at any point in the reversing cycle between the normal low pitch stop position and full reverse pitch, but it may not give an indication at or above the normal low pitch stop position.
(2) The source of indication must be actuated by the propeller blade angle or be directly responsive to it.
(a) Except as provided in paragraphs (c) and (d) of this section, no person may operate a passenger-carrying airplane unless each lavatory in the airplane is equipped with a smoke detector system or equivalent that provides a warning light in the cockpit or provides a warning light or audio warning in the passenger cabin which would be readily detected by a flight attendant, taking into consideration the positioning of flight attendants throughout the passenger compartment during various phases of flight.
(b) Except as provided in paragraph (c) of this section, no person may operate a passenger-carrying airplane unless each lavatory in the airplane is equipped with a built-in fire extinguisher for each disposal receptacle for towels, paper, or waste located within the lavatory. The built-in fire extinguisher must be designed to discharge automatically into each disposal receptacle upon occurrence of a fire in the receptacle.
(c) Until December 22, 1997, a certificate holder described in § 121.2(a) (1) or (2) may operate an airplane with a passenger seat configuration of 30 or fewer seats that does not comply with the smoke detector system requirements described in paragraph (a) of this section and the fire extinguisher requirements described in paragraph (b) of this section.
(d) After December 22, 1997, no person may operate a nontransport category airplane type certificated after December 31, 1964, with a passenger seat configuration of 10-19 seats unless that airplane complies with the smoke detector system requirements described in paragraph (a) of this section, except that the smoke detector system or equivalent must provide a warning light in the cockpit or an audio warning that would be readily detected by the flightcrew.
(a) General: No person may operate an airplane unless it is equipped with the emergency equipment listed in this section and in § 121.310.
(b) Each item of emergency and flotation equipment listed in this section and in §§ 121.310, 121.339, and 121.340—
(1) Must be inspected regularly in accordance with inspection periods established in the operations specifications to ensure its condition for continued serviceability and immediate readiness to perform its intended emergency purposes;
(2) Must be readily accessible to the crew and, with regard to equipment located in the passenger compartment, to passengers;
(3) Must be clearly identified and clearly marked to indicate its method of operation; and
(4) When carried in a compartment or container, must be carried in a compartment or container marked as to contents and the compartment or container, or the item itself, must be marked as to date of last inspection.
(c) Hand fire extinguishers for crew, passenger, cargo, and galley compartments. Hand fire extinguishers of an approved type must be provided for use in crew, passenger, cargo, and galley compartments in accordance with the following:
(1) The type and quantity of extinguishing agent must be suitable for the kinds of fires likely to occur in the compartment where the extinguisher is intended to be used and, for passenger compartments, must be designed to minimize the hazard of toxic gas concentrations.
(2) Cargo compartments. At least one hand fire extinguisher must be conveniently located for use in each class E cargo compartment that is accessible to crewmembers during flight.
(3) Galley compartments. At least one hand fire extinguisher must be conveniently located for use in each galley located in a compartment other than a passenger, cargo, or crew compartment.
(4) Flightcrew compartment. At least one hand fire extinguisher must be conveniently located on the flight deck for use by the flightcrew.
(5) Passenger compartments. Hand fire extinguishers for use in passenger compartments must be conveniently located and, when two or more are required, uniformly distributed throughout each compartment. Hand fire extinguishers shall be provided in passenger compartments as follows:
(i) For airplanes having passenger seats accommodating more than 6 but fewer than 31 passengers, at least one.
(ii) For airplanes having passenger seats accommodating more than 30 but fewer than 61 passengers, at least two.
(iii) For airplanes having passenger seats accommodating more than 60 passengers, there must be at least the following number of hand fire extinguishers:
Minimum Number of Hand Fire Extinguishers
| Passenger seating accommodations: | |
| 61 through 200 | 3 |
| 201 through 300 | 4 |
| 301 through 400 | 5 |
| 401 through 500 | 6 |
| 501 through 600 | 7 |
| 601 or more | 8 |
(6) Notwithstanding the requirement for uniform distribution of hand fire extinguishers as prescribed in paragraph (c)(5) of this section, for those cases where a galley is located in a passenger compartment, at least one hand fire extinguisher must be conveniently located and easily accessible for use in the galley.
(7) At least two of the required hand fire extinguisher installed in passenger-carrying airplanes must contain Halon 1211 (bromochlorofluoromethane) or equivalent as the extinguishing agent. At least one hand fire extinguisher in the passenger compartment must contain Halon 1211 or equivalent.
(d) [Reserved]
(e) Crash ax. Except for nontransport category airplanes type certificated after December 31, 1964, each airplane must be equipped with a crash ax.
(f) Megaphones. Each passenger-carrying airplane must have a portable battery-powered megaphone or megaphones readily accessible to the crewmembers assigned to direct emergency evacuation, installed as follows:
(1) One megaphone on each airplane with a seating capacity of more than 60 and less than 100 passengers, at the most rearward location in the passenger cabin where it would be readily accessible to a normal flight attendant seat. However, the Administrator may grant a deviation from the requirements of this subparagraph if he finds that a different location would be more useful for evacuation of persons during an emergency.
(2) Two megaphones in the passenger cabin on each airplane with a seating capacity of more than 99 passengers, one installed at the forward end and the other at the most rearward location where it would be readily accessible to a normal flight attendant seat.
(a) Means for emergency evacuation. Each passenger-carrying landplane emergency exit (other than over-the-wing) that is more than 6 feet from the ground with the airplane on the ground and the landing gear extended, must have an approved means to assist the occupants in descending to the ground. The assisting means for a floor-level emergency exit must meet the requirements of § 25.809(f)(1) of this chapter in effect on April 30, 1972, except that, for any airplane for which the application for the type certificate was filed after that date, it must meet the requirements under which the airplane was type certificated. An assisting means that deploys automatically must be armed during taxiing, takeoffs, and landings. However, if the Administrator finds that the design of the exit makes compliance impractical, he may grant a deviation from the requirement of automatic deployment if the assisting means automatically erects upon deployment and, with respect to required emergency exits, if an emergency evacuation demonstration is conducted in accordance with § 121.291(a). This paragraph does not apply to the rear window emergency exit of DC-3 airplanes operated with less than 36 occupants, including crewmembers and less than five exits authorized for passenger use.
(b) Interior emergency exit marking. The following must be complied with for each passenger-carrying airplane:
(1) Each passenger emergency exit, its means of access, and its means of opening must be conspicuously marked. The identity and location of each passenger emergency exit must be recognizable from a distance equal to the width of the cabin. The location of each passenger emergency exit must be indicated by a sign visible to occupants approaching along the main passenger aisle. There must be a locating sign—
(i) Above the aisle near each over-the-wing passenger emergency exit, or at another ceiling location if it is more practical because of low headroom;
(ii) Next to each floor level passenger emergency exit, except that one sign may serve two such exits if they both can be seen readily from that sign; and
(iii) On each bulkhead or divider that prevents fore and aft vision along the passenger cabin, to indicate emergency exits beyond and obscured by it, except that if this is not possible the sign may be placed at another appropriate location.
(2) Each passenger emergency exit marking and each locating sign must meet the following:
(i) Except as provided in paragraph (b)(2)(iii) of this section, for an airplane for which the application for the type certificate was filed prior to May 1, 1972, each passenger emergency exit marking and each locating sign must be manufactured to meet the requirements of § 25.812(b) of this chapter in effect on April 30, 1972. On these airplanes, no sign may continue to be used if its luminescence (brightness) decreases to below 100 microlamberts. The colors may be reversed if it increases the emergency illumination of the passenger compartment. However, the Administrator may authorize deviation from the 2-inch background requirements if he finds that special circumstances exist that make compliance impractical and that the proposed deviation provides an equivalent level of safety.
(ii) For a transport category airplane for which the application for the type certificate was filed on or after May 1, 1972, each passenger emergency exit marking and each locating sign must be manufactured to meet the interior emergency exit marking requirements under which the airplane was type certificated. On these airplanes, no sign may continue to be used if its luminescence (brightness) decreases to below 250 microlamberts.
(iii) For a nontransport category turbopropellerpowered airplane type certificated after December 31, 1964, each passenger emergency exit marking and each locating sign must be manufactured to have white letters 1 inch high on a red background 2 inches high, be self-illuminated or independently, internally electrically illuminated, and have a minimum brightness of at least 160 microlamberts. The color may be reversed if the passenger compartment illumination is essentially the same. On these airplanes, no sign may continue to be used if its luminescence (brightness) decreases to below 100 microlamberts.
(c) Lighting for interior emergency exit markings. Except for nontransport category airplanes type certificated after December 31, 1964, each passenger-carrying airplane must have an emergency lighting system, independent of the main lighting system. However, sources of general cabin illumination may be common to both the emergency and the main lighting systems if the power supply to the emergency lighting system is independent of the power supply to the main lighting system.
The emergency lighting system must—
(1) Illuminate each passenger exit marking and locating sign;
(2) Provide enough general lighting in the passenger cabin so that the average illumination when measured at 40-inch intervals at seat armrest height, on the centerline of the main passenger aisle, is at least 0.05 foot-candles; and
(3) For airplanes type certificated after January 1, 1958, after November 26, 1986, include floor proximity emergency escape path marking which meets the requirements of § 25.812(e) of this chapter in effect on November 26, 1984.
(d) Emergency light operation. Except for lights forming part of emergency lighting subsystems provided in compliance with § 25.812(h) of this chapter (as prescribed in paragraph (h) of this section) that serve no more than one assist means, are independent of the airplane's main emergency lighting systems, and are automatically activated when the assist means is deployed, each light required by paragraphs (c) and (h) of this section must comply with the following:
(1) Each light must—
(i) Be operable manually both from the flightcrew station and, for airplanes on which a flight attendant is required, from a point in the passenger compartment that is readily accessible to a normal flight attendant seat;
(ii) Have a means to prevent inadvertent operation of the manual controls; and
(iii) When armed or turned on at either station, remain lighted or become lighted upon interruption of the airplane's normal electric power.
(2) Each light must be armed or turned on during taxiing, takeoff, and landing. In showing compliance with this paragraph a transverse vertical separation of the fuselage need not be considered.
(3) Each light must provide the required level of illumination for at least 10 minutes at the critical ambient conditions after emergency landing.
(4) Each light must have a cockpit control device that has an “on,” “off,” and “armed” position.
(e) Emergency exit operating handles. (1) For a passenger-carrying airplane for which the application for the type certificate was filed prior to May 1, 1972, the location of each passenger emergency exit operating handle, and instructions for opening the exit, must be shown by a marking on or near the exit that is readable from a distance of 30 inches. In addition, for each Type I and Type II emergency exit with a locking mechanism released by rotary motion of the handle, the instructions for opening must be shown by—
(i) A red arrow with a shaft at least three-fourths inch wide and a head twice the width of the shaft, extending along at least 70° of arc at a radius approximately equal to three-fourths of the handle length; and
(ii) The word “open” in red letters 1 inch high placed horizontally near the head of the arrow.
(2) For a passenger-carrying airplane for which the application for the type certificate was filed on or after May 1, 1972, the location of each passenger emergency exit operating handle and instructions for opening the exit must be shown in accordance with the requirements under which the airplane was type certificated. On these airplanes, no operating handle or operating handle cover may continue to be used if its luminescence (brightness) decreases to below 100 microlamberts.
(f) Emergency exit access. Access to emergency exits must be provided as follows for each passenger-carrying transport category airplane:
(1) Each passage way between individual passenger areas, or leading to a Type I or Type II emergency exit, must be unobstructed and at least 20 inches wide.
(2) For each Type I or Type II emergency exit equipped with an assist means, there must be enough space next to the exit to allow a crewmember to assist in the evacuation of passengers without reducing the unobstructed width of the passageway below that required in paragraph (f)(1) of this section. In addition, all airplanes manufactured on or after November 26, 2008 must comply with the provisions of §§ 25.813(b)(1), (b)(2), (b)(3) and (b)(4) in effect on November 26, 2004. However, a deviation from this requirement may be authorized for an airplane certificated under the provisions of part 4b of the Civil Air Regulations in effect before December 20, 1951, if the Administrator finds that special circumstances exist that provide an equivalent level of safety.
(3) There must be access from the main aisle to each Type III and Type IV exit. The access from the aisle to these exits must not be obstructed by seats, berths, or other protrusions in a manner that would reduce the effectiveness of the exit. In addition—
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, the access must meet the requirements of § 25.813(c) of this chapter in effect on April 30, 1972; and
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the access must meet the emergency exit access requirements under which the airplane was type certificated; except that,
(iii) After December 3, 1992, the access for an airplane type certificated after January 1, 1958, must meet the requirements of § 25.813(c) of this chapter, effective June 3, 1992.
(iv) Contrary provisions of this section notwithstanding, the Director of the division of the Aircraft Certification Service responsible for the airworthiness rules may authorize deviation from the requirements of paragraph (f)(3)(iii) of this section if it is determined that special circumstances make compliance impractical. Such special circumstances include, but are not limited to, the following conditions when they preclude achieving compliance with § 25.813(c)(1)(i) or (ii) without a reduction in the total number of passenger seats: emergency exits located in close proximity to each other; fixed installations such as lavatories, galleys, etc.; permanently mounted bulkheads; an insufficient number of rows ahead of or behind the exit to enable compliance without a reduction in the seat row pitch of more than one inch; or an insufficient number of such rows to enable compliance without a reduction in the seat row pitch to less than 30 inches. A request for such grant of deviation must include credible reasons as to why literal compliance with § 25.813(c)(1)(i) or (ii) is impractical and a description of the steps taken to achieve a level of safety as close to that intended by § 25.813(c)(1)(i) or (ii) as is practical.
(v) The Director of the division of the Aircraft Certification Service responsible for the airworthiness rules may also authorize a compliance date later than December 3, 1992, if it is determined that special circumstances make compliance by that date impractical. A request for such grant of deviation must outline the airplanes for which compliance will be achieved by December 3, 1992, and include a proposed schedule for incremental compliance of the remaining airplanes in the operator's fleet. In addition, the request must include credible reasons why compliance cannot be achieved earlier.
(4) If it is necessary to pass through a passageway between passenger compartments to reach any required emergency exit from any seat in the passenger cabin, the passageway must not be obstructed. However, curtains may be used if they allow free entry through the passageway.
(5) No door may be installed in any partition between passenger compartments.
(6) No person may operate an airplane manufactured after November 27, 2006, that incorporates a door installed between any passenger seat occupiable for takeoff and landing and any passenger emergency exit, such that the door crosses any egress path (including aisles, crossaisles and passageways).
(7) If it is necessary to pass through a doorway separating the passenger cabin from other areas to reach required emergency exit from any passenger seat, the door must have a means to latch it in open position, and the door must be latched open during each takeoff and landing. The latching means must be able to withstand the loads imposed upon it when the door is subjected to the ultimate inertia forces, relative to the surrounding structure, listed in § 25.561(b) of this chapter.
(g) Exterior exit markings. Each passenger emergency exit and the means of opening that exit from the outside must be marked on the outside of the airplane. There must be a 2-inch colored band outlining each passenger emergency exit on the side of the fuselage. Each outside marking, including the band, must be readily distinguishable from the surrounding fuselage area by contrast in color. The markings must comply with the following:
(1) If the reflectance of the darker color is 15 percent or less, the reflectance of the lighter color must be at least 45 percent.
(2) If the reflectance of the darker color is greater than 15 percent, at least a 30 percent difference between its reflectance and the reflectance of the lighter color must be provided.
(3) Exits that are not in the side of the fuselage must have the external means of opening and applicable instructions marked conspicuously in red or, if red is inconspicuous against the background color, in bright chrome yellow and, when the opening means for such an exit is located on only one side of the fuselage, a conspicuous marking to that effect must be provided on the other side. Reflectance is the ratio of the luminous flux reflected by a body to the luminous flux it receives.
(h) Exterior emergency lighting and escape route. (1) Except for nontransport category airplanes certificated after December 31, 1964, each passenger-carrying airplane must be equipped with exterior lighting that meets the following requirements:
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, the requirements of § 25.812 (f) and (g) of this chapter in effect on April 30, 1972.
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the exterior emergency lighting requirements under which the airplane was type certificated.
(2) Each passenger-carrying airplane must be equipped with a slip-resistant escape route that meets the following requirements:
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, the requirements of § 25.803(e) of this chapter in effect on April 30, 1972.
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the slip-resistant escape route requirements under which the airplane was type certificated.
(i) Floor level exits. Each floor level door or exit in the side of the fuselage (other than those leading into a cargo or baggage compartment that is not accessible from the passenger cabin) that is 44 or more inches high and 20 or more inches wide, but not wider than 46 inches, each passenger ventral exit (except the ventral exits on M-404 and CV-240 airplanes), and each tail cone exit, must meet the requirements of this section for floor level emergency exits. However, the Administrator may grant a deviation from this paragraph if he finds that circumstances make full compliance impractical and that an acceptable level of safety has been achieved.
(j) Additional emergency exits. Approved emergency exits in the passenger compartments that are in excess of the minimum number of required emergency exits must meet all of the applicable provisions of this section except paragraphs (f)(1), (2), and (3) of this section and must be readily accessible.
(k) On each large passenger-carrying turbojet-powered airplane, each ventral exit and tailcone exit must be—
(1) Designed and constructed so that it cannot be opened during flight; and
(2) Marked with a placard readable from a distance of 30 inches and installed at a conspicuous location near the means of opening the exit, stating that the exit has been designed and constructed so that it cannot be opened during flight.
(l) Emergency exit features. (1) Each transport category airplane manufactured after November 26, 2007 must comply with the provisions of § 25.809(i) and
(2) After November 26, 2007 each transport category airplane must comply with the provisions of § 25.813(b)(6)(ii) in effect on November 26, 2007.
(m) Except for an airplane used in operations under this part on October 16, 1987, and having an emergency exit configuration installed and authorized for operation prior to October 16, 1987, for an airplane that is required to have more than one passenger emergency exit for each side of the fuselage, no passenger emergency exit shall be more than 60 feet from any adjacent passenger emergency exit on the same side of the same deck of the fuselage, as measured parallel to the airplane's longitudinal axis between the nearest exit edges.
(n) Portable lights. No person may operate a passenger-carrying airplane unless it is equipped with flashlight stowage provisions accessible from each flight attendant seat.
(a) No person may operate an airplane unless there are available during the takeoff, en route flight, and landing—
(1) An approved seat or berth for each person on board the airplane who has reached his second birthday; and
(2) An approved safety belt for separate use by each person on board the airplane who has reached his second birthday, except that two persons occupying a berth may share one approved safety belt and two persons occupying a multiple lounge or divan seat may share one approved safety belt during en route flight only.
(b) Except as provided in this paragraph, each person on board an airplane operated under this part shall occupy an approved seat or berth with a separate safety belt properly secured about him or her during movement on the surface, takeoff, and landing. A safety belt provided for the occupant of a seat may not be used by more than one person who has reached his or her second birthday. Notwithstanding the preceding requirements, a child may:
(1) Be held by an adult who is occupying an approved seat or berth, provided the child has not reached his or her second birthday and the child does not occupy or use any restraining device; or
(2) Notwithstanding any other requirement of this chapter, occupy an approved child restraint system furnished by the certificate holder or one of the persons described in paragraph (b)(2)(i) of this section, provided:
(i) The child is accompanied by a parent, guardian, or attendant designated by the child's parent or guardian to attend to the safety of the child during the flight;
(ii) Except as provided in paragraph (b)(2)(ii)(D) of this section, the approved child restraint system bears one or more labels as follows:
(A) Seats manufactured to U.S. standards between January 1, 1981, and February 25, 1985, must bear the label: “This child restraint system conforms to all applicable Federal motor vehicle safety standards.”
(B) Seats manufactured to U.S. standards on or after February 26, 1985, must bear two labels:
(1) “This child restraint system conforms to all applicable Federal motor vehicle safety standards”; and
(2) “THIS RESTRAINT IS CERTIFIED FOR USE IN MOTOR VEHICLES AND AIRCRAFT” in red lettering;
(C) Seats that do not qualify under paragraphs (b)(2)(ii)(A) and (b)(2)(ii)(B) of this section must bear a label or markings showing:
(1) That the seat was approved by a foreign government;
(2) That the seat was manufactured under the standards of the United Nations;
(3) That the seat or child restraint device furnished by the certificate holder was approved by the FAA through Type Certificate or Supplemental Type Certificate; or
(4) That the seat or child restraint device furnished by the certificate holder, or one of the persons described in paragraph (b)(2)(i) of this section, was approved by the FAA in accordance with § 21.8(d) of this chapter or Technical Standard Order C-100b, or a later version. The child restraint device manufactured by AmSafe, Inc. (CARES, Part No. 4082) and approved by the FAA in accordance with § 21.305(d) (2010 ed.) of this chapter may continue to bear a label or markings showing FAA approval in accordance with § 21.305(d) (2010 ed.) of this chapter.
(D) Except as provided in § 121.311(b)(2)(ii)(C)(3) and § 121.311(b)(2)(ii)(C)(4), booster-type child restraint systems (as defined in Federal Motor Vehicle Safety Standard No. 213 (49 CFR 571.213)), vest- and harness-type child restraint systems, and lap held child restraints are not approved for use in aircraft; and
(iii) The certificate holder complies with the following requirements:
(A) The restraint system must be properly secured to an approved forward-facing seat or berth;
(B) The child must be properly secured in the restraint system and must not exceed the specified weight limit for the restraint system; and
(C) The restraint system must bear the appropriate label(s).
(c) Except as provided in paragraph (c)(3) of this section, the following prohibitions apply to certificate holders:
(1) Except as provided in § 121.311(b)(2)(ii)(C)(3) and § 121.311(b)(2)(ii)(C)(4), no certificate holder may permit a child, in an aircraft, to occupy a booster-type child restraint system, a vest-type child restraint system, a harness-type child restraint system, or a lap held child restraint system during take off, landing, and movement on the surface.
(2) Except as required in paragraph (c)(1) of this section, no certificate holder may prohibit a child, if requested by the child's parent, guardian, or designated attendant, from occupying a child restraint system furnished by the child's parent, guardian, or designated attendant provided—
(i) The child holds a ticket for an approved seat or berth or such seat or berth is otherwise made available by the certificate holder for the child's use;
(ii) The requirements of paragraph (b)(2)(i) of this section are met;
(iii) The requirements of paragraph (b)(2)(iii) of this section are met; and
(iv) The child restraint system has one or more of the labels described in paragraphs (b)(2)(ii)(A) through (b)(2)(ii)(C) of this section.
(3) This section does not prohibit the certificate holder from providing child restraint systems authorized by this section or, consistent with safe operating practices, determining the most appropriate passenger seat location for the child restraint system.
(d) Each sideward facing seat must comply with the applicable requirements of § 25.785(c) of this chapter.
(e) Except as provided in paragraphs (e)(1) through (e)(3) of this section, no certificate holder may take off or land an airplane unless each passenger seat back is in the upright position. Each passenger shall comply with instructions given by a crewmember in compliance with this paragraph.
(1) This paragraph does not apply to seat backs placed in other than the upright position in compliance with § 121.310(f)(3).
(2) This paragraph does not apply to seats on which cargo or persons who are unable to sit erect for a medical reason are carried in accordance with procedures in the certificate holder's manual if the seat back does not obstruct any passenger's access to the aisle or to any emergency exit.
(3) On airplanes with no flight attendant, the certificate holder may take off or land as long as the flightcrew instructs each passenger to place his or her seat back in the upright position for takeoff and landing.
(f) No person may operate a transport category airplane that was type certificated after January 1, 1958, or a nontransport category airplane manufactured after March 20, 1997, unless it is equipped at each flight deck station with a combined safety belt and shoulder harness that meets the applicable requirements specified in § 25.785 of this chapter, effective March 6, 1980, except that—
(1) Shoulder harnesses and combined safety belt and shoulder harnesses that were approved and installed before March 6, 1980, may continue to be used; and
(2) Safety belt and shoulder harness restraint systems may be designed to the inertia load factors established under the certification basis of the airplane.
(g) Each flight attendant must have a seat for takeoff and landing in the passenger compartment that meets the requirements of § 25.785 of this chapter, effective March 6, 1980, except that—
(1) Combined safety belt and shoulder harnesses that were approved and installed before March, 6, 1980, may continue to be used; and
(2) Safety belt and shoulder harness restraint systems may be designed to the inertia load factors established under the certification basis of the airplane.
(3) The requirements of § 25.785(h) do not apply to passenger seats occupied by flight attendants not required by § 121.391.
(h) Each occupant of a seat equipped with a shoulder harness or with a combined safety belt and shoulder harness must have the shoulder harness or combined safety belt and shoulder harness properly secured about that occupant during takeoff and landing, except that a shoulder harness that is not combined with a safety belt may be unfastened if the occupant cannot perform the required duties with the shoulder harness fastened.
(i) At each unoccupied seat, the safety belt and shoulder harness, if installed, must be secured so as not to interfere with crewmembers in the performance of their duties or with the rapid egress of occupants in an emergency.
(j) After October 27, 2009, no person may operate a transport category airplane type certificated after January 1, 1958 and manufactured on or after October 27, 2009 in passenger-carrying operations under this part unless all passenger and flight attendant seats on the airplane meet the requirements of § 25.562 in effect on or after June 16, 1988.
(k) Seat dimension disclosure. (1) Each air carrier that conducts operations under this part and that has a Web site must make available on its Web site the width of the narrowest and widest passenger seats in each class of service for each airplane make, model and series operated by that air carrier in passenger-carrying operations.
(2) For purposes of paragraph (k)(1) of this section, the width of a passenger seat means the distance between the inside of the armrests for that seat.
(a) All interior materials; transport category airplanes and nontransport category airplanes type certificated before January 1, 1965. Except for the materials covered by paragraph (b) of this section, all materials in each compartment of a transport category airplane, or a nontransport category airplane type certificated before January 1, 1965, used by the crewmembers and passengers, must meet the requirements of § 25.853 of this chapter in effect as follows, or later amendment thereto:
(1) Airplane with passenger seating capacity of 20 or more—(i) Manufactured after August 19, 1988, but prior to August 20, 1990. Except as provided in paragraph (a)(3)(ii) of this section, each airplane with a passenger capacity of 20 or more and manufactured after August 19, 1988, but prior to August 20, 1990, must comply with the heat release rate testing provisions of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1) in effect on August 20, 1986) (see App. L of this part), except that the total heat release over the first 2 minutes of sample exposure must not exceed 100 kilowatt minutes per square meter and the peak heat release rate must not exceed 100 kilowatts per square meter.
(ii) Manufactured after August 19, 1990. Each airplane with a passenger capacity of 20 or more and manufactured after August 19, 1990, must comply with the heat release rate and smoke testing provisions of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1)(see app. L of this part) in effect on September 26, 1988).
(2) Substantially complete replacement of the cabin interior on or after May 1, 1972—(i) Airplane for which the application for type certificate was filed prior to May 1, 1972. Except as provided in paragraph (a)(3)(i) or (a)(3)(ii) of this section, each airplane for which the application for type certificate was filed prior to May 1, 1972, must comply with the provisions of § 25.853 in effect on April 30, 1972, regardless of passenger capacity, if there is a substantially complete replacement of the cabin interior after April 30, 1972.
(ii) Airplane for which the application for type certificate was filed on or after May 1, 1972. Except as provided in paragraph (a)(3)(i) or (a)(3)(ii) of this section, each airplane for which the application for type certificate was filed on or after May 1, 1972, must comply with the material requirements under which the airplane was type certificated, regardless of passenger capacity, if there is a substantially complete replacement of the cabin interior on or after that date.
(3) Airplane type certificated after January 1, 1958, with passenger capacity of 20 or more—(i) Substantially complete replacement of the cabin interior on or after March 6, 1995. Except as provided in paragraph (a)(3)(ii) of this section, each airplane that was type certificated after January 1, 1958, and has a passenger capacity of 20 or more, must comply with the heat release rate testing provisions of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1) in effect on August 20, 1986)(see app. L of this part), if there is a substantially complete replacement of the cabin interior components identified in § 25.853(d), on or after that date, except that the total heat release over the first 2 minutes of sample exposure shall not exceed 100 kilowatt-minutes per square meter and the peak heat release rate must not exceed 100 kilowatts per square meter.
(ii) Substantially complete replacement of the cabin interior on or after August 20, 1990. Each airplane that was type certificated after January 1, 1958, and has a passenger capacity of 20 or more, must comply with the heat release rate and smoke testing provisions of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1) in effect on September 26, 1988)(see app. L of this part), if there is a substantially complete replacement of the cabin interior components identified in § 25.853(d), on or after August 20, 1990.
(4) Contrary provisions of this section notwithstanding, the Director of the division of the Aircraft Certification Service responsible for the airworthiness rules may authorize deviation from the requirements of paragraph (a)(1)(i), (a)(1)(ii), (a)(3)(i), or (a)(3)(ii) of this section for specific components of the cabin interior that do not meet applicable flammability and smoke emission requirements, if the determination is made that special circumstances exist that make compliance impractical. Such grants of deviation will be limited to those airplanes manufactured within 1 year after the applicable date specified in this section and those airplanes in which the interior is replaced within 1 year of that date. A request for such grant of deviation must include a thorough and accurate analysis of each component subject to § 25.853(a-1), the steps being taken to achieve compliance, and, for the few components for which timely compliance will not be achieved, credible reasons for such noncompliance.
(5) Contrary provisions of this section notwithstanding, galley carts and galley standard containers that do not meet the flammability and smoke emission requirements of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1)) (see app. L of this part) may be used in airplanes that must meet the requirements of paragraphs (a)(1)(i), (a)(1)(ii), (a)(3)(i), or (a)(3)(ii) of this section, provided the galley carts or standard containers were manufactured prior to March 6, 1995.
(b) Seat cushions. Seat cushions, except those on flight crewmember seats, in each compartment occupied by crew or passengers, must comply with the requirements pertaining to seat cushions in § 25.853(c) effective on November 26, 1984, on each airplane as follows:
(1) Each transport category airplane type certificated after January 1, 1958; and
(2) On or after December 20, 2010, each nontransport category airplane type certificated after December 31, 1964.
(c) All interior materials; airplanes type certificated in accordance with SFAR No. 41 of 14 CFR part 21. No person may operate an airplane that conforms to an amended or supplemental type certificate issued in accordance with SFAR No. 41 of 14 CFR part 21 for a maximum certificated takeoff weight in excess of 12,500 pounds unless the airplane meets the compartment interior requirements set forth in § 25.853(a) in effect March 6, 1995 (formerly § 25.853(a), (b), (b-1), (b-2), and (b-3) of this chapter in effect on September 26, 1978)(see app. L of this part).
(d) All interior materials; other airplanes. For each material or seat cushion to which a requirement in paragraphs (a), (b), or (c) of this section does not apply, the material and seat cushion in each compartment used by the crewmembers and passengers must meet the applicable requirement under which the airplane was type certificated.
(e) Thermal/acoustic insulation materials. For transport category airplanes type certificated after January 1, 1958:
(1) For airplanes manufactured before September 2, 2005, when thermal/acoustic insulation is installed in the fuselage as replacements after September 2, 2005, the insulation must meet the flame propagation requirements of § 25.856 of this chapter, effective September 2, 2003, if it is:
(i) Of a blanket construction or
(ii) Installed around air ducting.
(2) For airplanes manufactured after September 2, 2005, thermal/acoustic insulation materials installed in the fuselage must meet the flame propagation requirements of § 25.856 of this chapter, effective September 2, 2003.
(3) For airplanes with a passenger capacity of 20 or greater, manufactured after September 2, 2009, thermal/acoustic insulation materials installed in the lower half of the fuselage must meet the flame penetration resistance requirements of § 25.856 of this chapter, effective September 2, 2003.
No person may conduct any operation unless the following equipment is installed in the airplane:
(a) If protective fuses are installed on an airplane, the number of spare fuses approved for that airplane and appropriately described in the certificate holder's manual.
(b) A windshield wiper or equivalent for each pilot station.
(c) A power supply and distribution system that meets the requirements of §§ 25.1309, 25.1331, 25.1351(a) and (b)(1) through (4), 25.1353, 25.1355, and 25.1431(b) or that is able to produce and distribute the load for the required instruments and equipment, with use of an external power supply if any one power source or component of the power distribution system fails. The use of common elements in the system may be approved if the Administrator finds that they are designed to be reasonably protected against malfunctioning. Engine-driven sources of energy, when used, must be on separate engines.
(d) A means for indicating the adequacy of the power being supplied to required flight instruments.
(e) Two independent static pressure systems, vented to the outside atmospheric pressure so that they will be least affected by air flow variation or moisture or other foreign matter, and installed so as to be airtight except for the vent. When a means is provided for transferring an instrument from its primary operating system to an alternate system, the means must include a positive positioning control and must be marked to indicate clearly which system is being used.
(f) A door between the passenger and pilot compartments (i.e., flightdeck door), with a locking means to prevent passengers from opening it without the pilot's permission, except that nontransport category airplanes certificated after December 31, 1964, are not required to comply with this paragraph. For airplanes equipped with a crew rest area having separate entries from the flightdeck and the passenger compartment, a door with such a locking means must be provided between the crew rest area and the passenger compartment.
(g) A key for each door that separates a passenger compartment from another compartment that has emergency exit provisions. Except for flightdeck doors, a key must be readily available for each crewmember. Except as provided below, no person other than a person who is assigned to perform duty on the flightdeck may have a key to the flightdeck door. Before April 22, 2003, any crewmember may have a key to the flightdeck door but only if the flightdeck door has an internal flightdeck locking device installed, operative, and in use. Such “internal flightdeck locking device” has to be designed so that it can only be unlocked from inside the flightdeck.
(h) A placard on each door that is the means of access to a required passenger emergency exit, to indicate that it must be open during takeoff and landing.
(i) A means for the crew, in an emergency to unlock each door that leads to a compartment that is normally accessible to passengers and that can be locked by passengers.
(j) After April 9, 2003, for airplanes required by paragraph (f) of this section to have a door between the passenger and pilot or crew rest compartments, and for transport category, all-cargo airplanes that have a door installed between the pilot compartment and any other occupied compartment on January 15, 2002;
(1) After April 9, 2003, for airplanes required by paragraph (f) of this section to have a door between the passenger and pilot or crew rest compartments,
(i) Each such door must meet the requirements of § 25.795(a)(1) and (2) in effect on January 15, 2002; and
(ii) Each operator must establish methods to enable a flight attendant to enter the pilot compartment in the event that a flightcrew member becomes incapacitated. Any associated signal or confirmation system must be operable by each flightcrew member from that flightcrew member's duty station.
(2) After October 1, 2003, for transport category, all-cargo airplanes that had a door installed between the pilot compartment and any other occupied compartment on or after January 15, 2002, each such door must meet the requirements of § 25.795(a)(1) and (2) in effect on January 15, 2002; or the operator must implement a security program approved by the Transportation Security Administration (TSA) for the operation of all airplanes in that operator's fleet.
(k) Except for all-cargo operations as defined in § 110.2 of this chapter, for all passenger-carrying airplanes that require a lockable flightdeck door in accordance with paragraph (f) of this section, a means to monitor from the flightdeck side of the door the area outside the flightdeck door to identify persons requesting entry and to detect suspicious behavior and potential threats.
(l) For airplanes required by paragraph (f) of this section to have a door between the passenger and pilot or crew rest compartments, and for passenger-carrying transport category airplanes that have a door installed between the pilot compartment and any other occupied compartment, that were manufactured after August 25, 2025, an installed physical secondary barrier (IPSB) that meets the requirements of § 25.795(a)(4) of this chapter in effect on August 25, 2023.
For each transport category airplane type certificated after January 1, 1958:
(a) Each Class C or Class D compartment, as defined in § 25.857 of this Chapter in effect on June 16, 1986 (see Appendix L to this part), that is greater than 200 cubic feet in volume must have ceiling and sidewall liner panels which are constructed of:
(1) Glass fiber reinforced resin;
(2) Materials which meet the test requirements of part 25, appendix F, part III of this chapter; or
(3) In the case of liner installations approved prior to March 20, 1989, aluminum.
(b) For compliance with paragraph (a) of this section, the term “liner” includes any design feature, such as a joint or fastener, which would affect the capability of the liner to safely contain a fire.
(c) After March 19, 2001, each Class D compartment, regardless of volume, must meet the standards of §§ 25.857(c) and 25.858 of this Chapter for a Class C compartment unless the operation is an all-cargo operation in which case each Class D compartment may meet the standards in § 25.857(e) for a Class E compartment.
(d) Reports of conversions and retrofits. (1) Until such time as all Class D compartments in aircraft operated under this part by the certificate have been converted or retrofitted with appropriate detection and suppression systems, each certificate holder must submit written progress reports to the FAA that contain the information specified below.
(i) The serial number of each airplane listed in the operations specifications issued to the certificate holder for operation under this part in which all Class D compartments have been converted to Class C or Class E compartments;
(ii) The serial number of each airplane listed in the operations specification issued to the certificate holder for operation under this part, in which all Class D compartments have been retrofitted to meet the fire detection and suppression requirements for Class C or the fire detection requirements for Class E; and
(iii) The serial number of each airplane listed in the operations specifications issued to the certificate holder for operation under this part that has at least one Class D compartment that has not been converted or retrofitted.
(2) The written report must be submitted to the responsible Flight Standards office by July 1, 1998, and at each three-month interval thereafter.
(a) Each certificate holder shall provide an approved cockpit check procedure for each type of aircraft.
(b) The approved procedures must include each item necessary for flight crewmembers to check for safety before starting engines, taking off, or landing, and in engine and systems emergencies. The procedures must be designed so that a flight crewmember will not need to rely upon his memory for items to be checked.
(c) The approved procedures must be readily usable in the cockpit of each aircraft and the flight crew shall follow them when operating the aircraft.
Each turbine powered transport category airplane operated after October 30, 1991, must meet the requirements of § 25.963(e) of this chapter in effect on October 30, 1989.
(a) Except as provided in paragraph (l) of this section, no person may operate an airplane unless it is equipped with passenger information signs that meet the requirements of § 25.791 of this chapter.
(b) Except as provided in paragraph (l) of this section, the “Fasten Seat Belt” sign shall be turned on during any movement on the surface, for each takeoff, for each landing, and at any other time considered necessary by the pilot in command.
(c) No person may operate an airplane on a flight on which smoking is prohibited by part 252 of this title unless either the “No Smoking” passenger information signs are lighted during the entire flight, or one or more “No Smoking” placards meeting the requirements of § 25.1541 of this chapter are posted during the entire flight segment. If both the lighted signs and the placards are used, the signs must remain lighted during the entire flight segment.
(d) No person may operate a passenger-carrying airplane under this part unless at least one legible sign or placard that reads “Fasten Seat Belt While Seated” is visible from each passenger seat. These signs or placards need not meet the requirements of paragraph (a) of this section.
(e) No person may operate an airplane unless there is installed in each lavatory a sign or placard that reads: “Federal law provides for a penalty of up to $2,000 for tampering with the smoke detector installed in this lavatory.” These signs or placards need not meet the requirements of paragraph (a) of this section.
(f) Each passenger required by § 121.311(b) to occupy a seat or berth shall fasten his or her safety belt about him or her and keep it fastened while the “Fasten Seat Belt” sign is lighted.
(g) No person may smoke while a “No Smoking” sign is lighted or while “No Smoking” placards are posted, except as follows:
(1) Supplemental operations. The pilot in command of an airplane engaged in a supplemental operation may authorize smoking on the flight deck (if it is physically separated from any passenger compartment), but not in any of the following situations:
(i) During airplane movement on the surface or during takeoff or landing;
(ii) During scheduled passenger-carrying public charter operations conducted under part 380 of this title; or
(iii) During any operation where smoking is prohibited by part 252 of this title or by international agreement.
(2) Certain intrastate domestic operations. Except during airplane movement on the surface or during takeoff or landing, a pilot in command of an airplane engaged in a domestic operation may authorize smoking on the flight deck (if it is physically separated from the passenger compartment) if—
(i) Smoking on the flight deck is not otherwise prohibited by part 252 of this title;
(ii) The flight is conducted entirely within the same State of the United States (a flight from one place in Hawaii to another place in Hawaii through the airspace over a place outside of Hawaii is not entirely within the same State); and
(iii) The airplane is either not turbojet-powered or the airplane is not capable of carrying at least 30 passengers.
(h) No person may smoke in any airplane lavatory.
(i) No person may tamper with, disable, or destroy any smoke detector installed in any airplane lavatory.
(j) On flight segments other than those described in paragraph (c) of this section, the “No Smoking” sign must be turned on during any movement on the surface, for each takeoff, for each landing, and at any other time considered necessary by the pilot in command.
(k) Each passenger shall comply with instructions given him or her by a crewmember regarding compliance with paragraphs (f), (g), (h), and (l) of this section.
(l) A certificate holder may operate a nontransport category airplane type certificated after December 31, 1964, that is manufactured before December 20, 1997, if it is equipped with at least one placard that is legible to each person seated in the cabin that states “Fasten Seat Belt,” and if, during any movement on the surface, for each takeoff, for each landing, and at any other time considered necessary by the pilot in command, a crewmember orally instructs the passengers to fasten their seat belts.
No person may operate an airplane with a seating capacity of more than 19 passengers unless it is equipped with a public address system which—
(a) Is capable of operation independent of the crewmember interphone system required by § 121.319, except for handsets, headsets, microphones, selector switches, and signaling devices;
(b) Is approved in accordance with § 21.305 of this chapter;
(c) Is accessible for immediate use from each of two flight crewmember stations in the pilot compartment;
(d) For each required floor-level passenger emergency exit which has an adjacent flight attendant seat, has a microphone which is readily accessible to the seated flight attendant, except that one microphone may serve more than one exit, provided the proximity of the exits allows unassisted verbal communication between seated flight attendants;
(e) Is capable of operation within 10 seconds by a flight attendant at each of those stations in the passenger compartment from which its use is accessible;
(f) Is audible at all passenger seats, lavatories, and flight attendant seats and work stations; and
(g) For transport category airplanes manufactured on or after November 27, 1990, meets the requirements of § 25.1423 of this chapter.
(a) No person may operate an airplane with a seating capacity of more than 19 passengers unless the airplane is equipped with a crewmember interphone system that:
(1) [Reserved]
(2) Is capable of operation independent of the public address system required by § 121.318(a) except for handsets, headsets, microphones, selector switches, and signaling devices; and
(3) Meets the requirements of paragraph (b) of this section.
(b) The crewmember interphone system required by paragraph (a) of this section must be approved in accordance with § 21.305 of this chapter and meet the following requirements:
(1) It must provide a means of two-way communication between the pilot compartment and—
(i) Each passenger compartment; and
(ii) Each galley located on other than the main passenger deck level.
(2) It must be accessible for immediate use from each of two flight crewmember stations in the pilot compartment;
(3) It must be accessible for use from at least one normal flight attendant station in each passenger compartment;
(4) It must be capable of operation within 10 seconds by a flight attendant at those stations in each passenger compartment from which its use is accessible; and
(5) For large turbojet-powered airplanes:
(i) It must be accessible for use at enough flight attendant stations so that all floor-level emergency exits (or entryways to those exits in the case of exits located within galleys) in each passenger compartment are observable from one or more of those stations so equipped;
(ii) It must have an alerting system incorporating aural or visual signals for use by flight crewmembers to alert flight attendants and for use by flight attendants to alert flight crewmembers;
(iii) The alerting system required by paragraph (b)(5)(ii) of this section must have a means for the recipient of a call to determine whether it is a normal call or an emergency call; and
(iv) When the airplane is on the ground, it must provide a means of two-way communication between ground personnel and either of at least two flight crewmembers in the pilot compartment. The interphone system station for use by ground personnel must be so located that personnel using the system may avoid visible detection from within the airplane.
After October 21, 2013, no person may operate an airplane with a certificated maximum takeoff weight less than 60,000 pounds in conditions conducive to airframe icing unless it complies with this section. As used in this section, the phrase “conditions conducive to airframe icing” means visible moisture at or below a static air temperature of 5 °C or a total air temperature of 10 °C, unless the approved Airplane Flight Manual provides another definition.
(a) When operating in conditions conducive to airframe icing, compliance must be shown with paragraph (a)(1), or (2), or (3) of this section.
(1) The airplane must be equipped with a certificated primary airframe ice detection system.
(i) The airframe ice protection system must be activated automatically, or manually by the flightcrew, when the primary ice detection system indicates activation is necessary.
(ii) When the airframe ice protection system is activated, any other procedures in the Airplane Flight Manual for operating in icing conditions must be initiated.
(2) Visual cues of the first sign of ice formation anywhere on the airplane and a certificated advisory airframe ice detection system must be provided.
(i) The airframe ice protection system must be activated when any of the visual cues are observed or when the advisory airframe ice detection system indicates activation is necessary, whichever occurs first.
(ii) When the airframe ice protection system is activated, any other procedures in the Airplane Flight Manual for operating in icing conditions must be initiated.
(3) If the airplane is not equipped to comply with the provisions of paragraph (a)(1) or (2) of this section, then the following apply:
(i) When operating in conditions conducive to airframe icing, the airframe ice protection system must be activated prior to, and operated during, the following phases of flight:
(A) Takeoff climb after second segment,
(B) En route climb,
(C) Go-around climb,
(D) Holding,
(E) Maneuvering for approach and landing, and
(F) Any other operation at approach or holding airspeeds.
(ii) During any other phase of flight, the airframe ice protection system must be activated and operated at the first sign of ice formation anywhere on the airplane, unless the Airplane Flight Manual specifies that the airframe ice protection system should not be used or provides other operational instructions.
(iii) Any additional procedures for operation in conditions conducive to icing specified in the Airplane Flight Manual or in the manual required by § 121.133 must be initiated.
(b) If the procedures specified in paragraph (a)(3)(i) of this section are specifically prohibited in the Airplane Flight Manual, compliance must be shown with the requirements of paragraph (a)(1) or (2) of this section.
(c) Procedures necessary for safe operation of the airframe ice protection system must be established and documented in:
(1) The Airplane Flight Manual for airplanes that comply with paragraph (a)(1) or (2) of this section, or
(2) The Airplane Flight Manual or in the manual required by § 121.133 for airplanes that comply with paragraph (a)(3) of this section.
(d) Procedures for operation of the airframe ice protection system must include initial activation, operation after initial activation, and deactivation. Procedures for operation after initial activation of the ice protection system must address—
(1) Continuous operation,
(2) Automatic cycling,
(3) Manual cycling if the airplane is equipped with an ice detection system that alerts the flightcrew each time the ice protection system must be cycled, or
(4) Manual cycling based on a time interval if the airplane type is not equipped with features necessary to implement (d)(1)-(3) of this section.
(e) System installations used to comply with paragraph (a)(1) or (a)(2) of this section must be approved through an amended or supplemental type certificate in accordance with part 21 of this chapter.
No person may operate an airplane at night under this part unless it is equipped with the following instruments and equipment in addition to those required by §§ 121.305 through 121.321 and 121.803:
(a) Position lights.
(b) An anti-collision light.
(c) Two landing lights, except that only one landing light is required for nontransport category airplanes type certificated after December 31, 1964.
(d) Instrument lights providing enough light to make each required instrument, switch, or similar instrument, easily readable and installed so that the direct rays are shielded from the flight crewmembers' eyes and that no objectionable reflections are visible to them. There must be a means of controlling the intensity of illumination unless it is shown that nondimming instrument lights are satisfactory.
(e) An airspeed-indicating system with heated pitot tube or equivalent means for preventing malfunctioning due to icing.
(f) A sensitive altimeter.
No person may operate an airplane under IFR or over-the-top conditions under this part unless it is equipped with the following instruments and equipment, in addition to those required by §§ 121.305 through 121.321 and 121.803:
(a) An airspeed indicating system with heated pitot tube or equivalent means for preventing malfunctioning due to icing.
(b) A sensitive altimeter.
(c) Instrument lights providing enough light to make each required instrument, switch, or similar instrument, easily readable and so installed that the direct rays are shielded from the flight crewmembers' eyes and that no objectionable reflections are visible to them, and a means of controlling the intensity of illumination unless it is shown that nondimming instrument lights are satisfactory.
(a) General. Except where supplemental oxygen is provided in accordance with § 121.331, no person may operate an airplane unless supplemental oxygen is furnished and used as set forth in paragraphs (b) and (c) of this section. The amount of supplemental oxygen required for a particular operation is determined on the basis of flight altitudes and flight duration, consistent with the operation procedures established for each operation and route.
(b) Crewmembers. (1) At cabin pressure altitudes above 10,000 feet up to and including 12,000 feet, oxygen must be provided for, and used by, each member of the flight crew on flight deck duty, and must be provided for other crewmembers, for that part of the flight at those altitudes that is of more than 30 minutes duration.
(2) At cabin pressure altitudes above 12,000 feet, oxygen must be provided for, and used by, each member of the flight crew on flight deck duty, and must be provided for other crewmembers, during the entire flight time at those altitudes.
(3) When a flight crewmember is required to use oxygen, he must use it continuously, except when necessary to remove the oxygen mask or other dispenser in connection with his regular duties. Standby crewmembers who are on call or are definitely going to have flight deck duty before completing the flight must be provided with an amount of supplemental oxygen equal to that provided for crewmembers on duty other than on flight deck duty. If a standby crewmember is not on call and will not be on flight deck duty during the remainder of the flight, he is considered to be a passenger for the purposes of supplemental oxygen requirements.
(c) Passengers. Each certificate holder shall provide a supply of oxygen, approved for passenger safety, in accordance with the following:
(1) For flights of more than 30 minutes duration at cabin pressure altitudes above 8,000 feet up to and including 14,000 feet, enough oxygen for 30 minutes for 10 percent of the passengers.
(2) For flights at cabin pressure altitudes above 14,000 feet up to and including 15,000 feet, enough oxygen for that part of the flight at those altitudes for 30 percent of the passengers.
(3) For flights at cabin pressure altitudes above 15,000 feet, enough oxygen for each passenger carried during the entire flight at those altitudes.
(d) For the purposes of this subpart cabin pressure altitude means the pressure altitude corresponding with the pressure in the cabin of the airplane, and flight altitude means the altitude above sea level at which the airplane is operated. For airplanes without pressurized cabins, “cabin pressure altitude” and “flight altitude” mean the same thing.
(a) General. When operating a turbine engine powered airplane, each certificate holder shall equip the airplane with sustaining oxygen and dispensing equipment for use as set forth in this section:
(1) The amount of oxygen provided must be at least the quantity necessary to comply with paragraphs (b) and (c) of this section.
(2) The amount of sustaining and first-aid oxygen required for a particular operation to comply with the rules in this part is determined on the basis of cabin pressure altitudes and flight duration, consistent with the operating procedures established for each operation and route.
(3) The requirements for airplanes with pressurized cabins are determined on the basis of cabin pressure altitude and the assumption that a cabin pressurization failure will occur at the altitude or point of flight that is most critical from the standpoint of oxygen need, and that after the failure the airplane will descend in accordance with the emergency procedures specified in the Airplane Flight Manual, without exceeding its operating limitations, to a flight altitude that will allow successful termination of the flight.
(4) Following the failure, the cabin pressure altitude is considered to be the same as the flight altitude unless it is shown that no probable failure of the cabin or pressurization equipment will result in a cabin pressure altitude equal to the flight altitude. Under those circumstances, the maximum cabin pressure altitude attained may be used as a basis for certification or determination of oxygen supply, or both.
(b) Crewmembers. Each certificate holder shall provide a supply of oxygen for crewmembers in accordance with the following:
(1) At cabin pressure altitudes above 10,000 feet, up to and including 12,000 feet, oxygen must be provided for and used by each member of the flight crew on flight deck duty and must be provided for other crewmembers for that part of the flight at those altitudes that is of more than 30 minutes duration.
(2) At cabin pressure altitudes above 12,000 feet, oxygen must be provided for, and used by, each member of the flight crew on flight deck duty, and must be provided for other crewmembers during the entire flight at those altitudes.
(3) When a flight crewmember is required to use oxygen, he must use it continuously except when necessary to remove the oxygen mask or other dispenser in connection with his regular duties. Standby crewmembers who are on call or are definitely going to have flight deck duty before completing the flight must be provided with an amount of supplemental oxygen equal to that provided for crewmembers on duty other than on flight duty. If a standby crewmember is not on call and will not be on flight deck duty during the remainder of the flight, he is considered to be a passenger for the purposes of supplemental oxygen requirements.
(c) Passengers. Each certificate holder shall provide a supply of oxygen for passengers in accordance with the following:
(1) For flights at cabin pressure altitudes above 10,000 feet, up to and including 14,000 feet, enough oxygen for that part of the flight at those altitudes that is of more than 30 minutes duration, for 10 percent of the passengers.
(2) For flights at cabin pressure altitudes above 14,000 feet, up to and including 15,000 feet, enough oxygen for that part of the flight at those altitudes for 30 percent of the passengers.
(3) For flights at cabin pressure altitudes above 15,000 feet, enough oxygen for each passenger carried during the entire flight at those altitudes.
(a) When operating a reciprocating engine powered airplane pressurized cabin, each certificate holder shall equip the airplane to comply with paragraphs (b) through (d) of this section in the event of cabin pressurization failure.
(b) For crewmembers. When operating at flight altitudes above 10,000 feet, the certificate holder shall provide enough oxygen for each crewmember for the entire flight at those altitudes and not less than a two-hour supply for each flight crewmember on flight deck duty. The required two hours supply is that quantity of oxygen necessary for a constant rate of descent from the airplane's maximum certificated operating altitude to 10,000 feet in ten minutes and followed by 110 minutes at 10,000 feet. The oxygen required by § 121.337 may be considered in determining the supplemental breathing supply required for flight crewmembers on flight deck duty in the event of cabin pressurization failure.
(c) For passengers. When operating at flight altitudes above 8,000 feet, the certificate holder shall provide oxygen as follows:
(1) When an airplane is not flown at a flight altitude above flight level 250, enough oxygen for 30 minutes for 10 percent of the passengers, if at any point along the route to be flown the airplane can safely descend to a flight altitude of 14,000 feet or less within four minutes.
(2) If the airplane cannot descend to a flight altitude of 14,000 feet or less within four minutes, the following supply of oxygen must be provided:
(i) For that part of the flight that is more than four minutes duration at flight altitudes above 15,000 feet, the supply required by § 121.327(c)(3).
(ii) For that part of the flight at flight altitudes above 14,000 feet, up to and including 15,000 feet, the supply required by § 121.327(c)(2).
(iii) For flight at flight altitudes above 8,000 feet up to and including 14,000 feet, enough oxygen for 30 minutes for 10 percent of the passengers.
(3) When an airplane is flown at a flight altitude above flight level 250, enough oxygen for 30 minutes for 10 percent of the passengers for the entire flight (including emergency descent) above 8,000 feet, up to and including 14,000 feet, and to comply with § 121.327(c) (2) and (3) for flight above 14,000 feet.
(d) For the purposes of this section it is assumed that the cabin pressurization failure occurs at a time during flight that is critical from the standpoint of oxygen need and that after the failure the airplane will descend, without exceeding its normal operating limitations, to flight altitudes allowing safe flight with respect to terrain clearance.
(a) General. When operating a turbine engine powered airplane with a pressurized cabin, the certificate holder shall furnish oxygen and dispensing equipment to comply with paragraphs (b) through (e) of this section in the event of cabin pressurization failure.
(b) Crewmembers. When operating at flight altitudes above 10,000 feet, the certificate holder shall supply enough oxygen to comply with § 121.329, but not less than a two-hour supply for each flight crewmember on flight deck duty. The required two hours supply is that quantity of oxygen necessary for a constant rate of descent from the airplane's maximum certificated operating altitude to 10,000 feet in ten minutes and followed by 110 minutes at 10,000 feet. The oxygen required in the event of cabin pressurization failure by § 121.337 may be included in determining the supply required for flight crewmembers on flight deck duty.
(c) Use of oxygen masks by flight crewmembers. (1) When operating at flight altitudes above flight level 250, each flight crewmember on flight deck duty must be provided with an oxygen mask so designed that it can be rapidly placed on his face from its ready position, properly secured, sealed, and supplying oxygen upon demand; and so designed that after being placed on the face it does not prevent immediate communication between the flight crewmember and other crewmembers over the airplane intercommunication system. When it is not being used at flight altitudes above flight level 250, the oxygen mask must be kept in condition for ready use and located so as to be within the immediate reach of the flight crewmember while at his duty station.
(2) When operating at flight altitudes above flight level 250, one pilot at the controls of the airplane shall at all times wear and use an oxygen mask secured, sealed, and supplying oxygen, in accordance with the following:
(i) The one pilot need not wear and use an oxygen mask at or below the following flight levels if each flight crewmember on flight deck duty has a quick-donning type of oxygen mask that the certificate holder has shown can be placed on the face from its ready position, properly secured, sealed, and supplying oxygen upon demand, with one hand and within five seconds:
(A) For airplanes having a passenger seat configuration of more than 30 seats, excluding any required crewmember seat, or a payload capacity of more than 7,500 pounds, at or below flight level 410.
(B) For airplanes having a passenger seat configuration of less than 31 seats, excluding any required crewmember seat, and a payload capacity of 7,500 pounds or less, at or below flight level 350.
(ii) Whenever a quick-donning type of oxygen mask is to be used under this section, the certificate holder shall also show that the mask can be put on without disturbing eye glasses and without delaying the flight crewmember from proceeding with his assigned emergency duties. The oxygen mask after being put on must not prevent immediate communication between the flight crewmember and other crewmembers over the airplane intercommunication system.
(3) Notwithstanding paragraph (c)(2) of this section, if for any reason at any time it is necessary for one pilot to leave his station at the controls of the airplane when operating at flight altitudes above flight level 410, the remaining pilot at the controls shall put on and use his oxygen mask until the other pilot has returned to his duty station.
(4) Before the takeoff of a flight, each flight crewmember shall personally preflight his oxygen equipment to insure that the oxygen mask is functioning, fitted properly, and connected to appropriate supply terminals, and that the oxygen supply and pressure are adequate for use.
(d) Use of portable oxygen equipment by cabin attendants. After November 28, 2005 each mask used for portable oxygen equipment must be connected to its oxygen supply. Above flight level 250, one of the following is required:
(1) Each attendant shall carry portable oxygen equipment with a 15 minute supply of oxygen; or
(2) There must be sufficient portable oxygen equipment (including masks and spare outlets) distributed throughout the cabin so that such equipment is immediately available to each attendant, regardless of their location in the cabin; or
(3) There are sufficient spare outlets and masks distributed throughout the cabin to ensure immediate availability of oxygen to each cabin attendant, regardless of their location in the cabin.
(e) Passenger cabin occupants. When the airplane is operating at flight altitudes above 10,000 feet, the following supply of oxygen must be provided for the use of passenger cabin occupants:
(1) When an airplane certificated to operate at flight altitudes up to and including flight level 250, can at any point along the route to be flown, descend safely to a flight altitude of 14,000 feet or less within four minutes, oxygen must be available at the rate prescribed by this part for a 30-minute period for at least 10 percent of the passenger cabin occupants.
(2) When an airplane is operated at flight altitudes up to and including flight level 250 and cannot descend safely to a flight altitude of 14,000 feet within four minutes, or when an airplane is operated at flight altitudes above flight level 250, oxygen must be available at the rate prescribed by this part for not less than 10 percent of the passenger cabin occupants for the entire flight after cabin depressurization, at cabin pressure altitudes above 10,000 feet up to and including 14,000 feet and, as applicable, to allow compliance with § 121.329(c) (2) and (3), except that there must be not less than a 10-minute supply for the passenger cabin occupants.
(3) For first-aid treatment of occupants who for physiological reasons might require undiluted oxygen following descent from cabin pressure altitudes above flight level 250, a supply of oxygen in accordance with the requirements of § 25.1443(d) must be provided for two percent of the occupants for the entire flight after cabin depressurization at cabin pressure altitudes above 8,000 feet, but in no case to less than one person. An appropriate number of acceptable dispensing units, but in no case less than two, must be provided, with a means for the cabin attendants to use this supply.
(f) Passenger briefing. Before flight is conducted above flight level 250, a crewmember shall instruct the passengers on the necessity of using oxygen in the event of cabin depressurization and shall point out to them the location and demonstrate the use of the oxygen-dispensing equipment.
(a) Reciprocating engine powered airplanes. The oxygen apparatus, the minimum rates of oxygen flow, and the supply of oxygen necessary to comply with § 121.327 must meet the standards established in section 4b.651 of the Civil Air Regulations as in effect on July 20, 1950, except that if the certificate holder shows full compliance with those standards to be impracticable, the Administrator may authorize any change in those standards that he finds will provide an equivalent level of safety.
(b) Turbine engine powered airplanes. The oxygen apparatus, the minimum rate of oxygen flow, and the supply of oxygen necessary to comply with §§ 121.329 and 121.333 must meet the standards established in section 4b.651 of the Civil Air Regulations as in effect on September 1, 1958, except that if the certificate holder shows full compliance with those standards to be impracticable, the Administrator may authorize any changes in those standards that he finds will provide an equivalent level of safety.
(a) The certificate holder shall furnish approved protective breathing equipment (PBE) meeting the equipment, breathing gas, and communication requirements contained in paragraph (b) of this section.
(b) Pressurized and nonpressurized cabin airplanes. Except as provided in paragraph (f) of this section, no person may operate an airplane unless protective breathing equipment meeting the requirements of this section is provided as follows:
(1) General. The equipment must protect the flightcrew from the effects of smoke, carbon dioxide or other harmful gases or an oxygen deficient environment caused by other than an airplane depressurization while on flight deck duty and must protect crewmembers from the above effects while combatting fires on board the airplane.
(2) The equipment must be inspected regularly in accordance with inspection guidelines and the inspection periods established by the equipment manufacturer to ensure its condition for continued serviceability and immediate readiness to perform its intended emergency purposes. The inspection periods may be changed upon a showing by the certificate holder that the changes would provide an equivalent level of safety.
(3) That part of the equipment protecting the eyes must not impair the wearer's vision to the extent that a crewmember's duties cannot be accomplished and must allow corrective glasses to be worn without impairment of vision or loss of the protection required by paragraph (b)(1) of this section.
(4) The equipment, while in use, must allow the flightcrew to communicate using the airplane radio equipment and to communicate by interphone with each other while at their assigned duty stations. The equipment, while in use, must also allow crewmember interphone communications between each of two flight crewmember stations in the pilot compartment and at least one normal flight attendant station in each passenger compartment.
(5) The equipment, while in use, must allow any crewmember to use the airplane interphone system at any of the flight attendant stations referred to in paragraph (b)(4) of this section.
(6) The equipment may also be used to meet the supplemental oxygen requirements of this part provided it meets the oxygen equipment standards of § 121.335 of this part.
(7) Protective breathing gas duration and supply system equipment requirements are as follows:
(i) The equipment must supply breathing gas for 15 minutes at a pressure altitude of 8,000 feet for the following:
(A) Flight crewmembers while performing flight deck duties; and
(B) Crewmembers while combatting an in-flight fire.
(ii) The breathing gas system must be free from hazards in itself, in its method of operation, and in its effect upon other components.
(iii) For breathing gas systems other than chemical oxygen generators, there must be a means to allow the crew to readily determine, during the equipment preflight described in paragraph (c) of this section, that the gas supply is fully charged.
(iv) For each chemical oxygen generator, the supply system equipment must meet the requirements of § 25.1450 (b) and (c) of this chapter.
(8) Smoke and fume protection. Protective breathing equipment with a fixed or portable breathing gas supply meeting the requirements of this section must be conveniently located on the flight deck and be easily accessible for immediate use by each required flight crewmember at his or her assigned duty station.
(9) Fire combatting. Except for nontransport category airplanes type certificated after December 31, 1964, protective breathing equipment with a portable breathing gas supply meeting the requirements of this section must be easily accessible and conveniently located for immediate use by crewmembers in combatting fires as follows:
(i) One PBE is required for each hand fire extinguisher located for use in a galley other than a galley located in a passenger, cargo, or crew compartment.
(ii) One on the flight deck, except that the Administrator may authorize another location for this PBE if special circumstances exist that make compliance impractical and the proposed deviation would provide an equivalent level of safety.
(iii) In each passenger compartment, one for each hand fire extinguisher required by § 121.309 of this part, to be located within 3 feet of each required hand fire extinguisher, except that the Administrator may authorize a deviation allowing locations of PBE more than 3 feet from required hand fire extinguisher locations if special circumstances exist that make compliance impractical and if the proposed deviation provides an equivalent level of safety.
(c) Equipment preflight. (1) Before each flight, each item of PBE at flight crewmember duty stations must be checked by the flight crewmember who will use the equipment to ensure that the equipment—
(i) For other than chemical oxygen generator systems, is functioning, is serviceable, fits properly (unless a universal-fit type), and is connected to supply terminals and that the breathing gas supply and pressure are adequate for use; and
(ii) For chemical oxygen generator systems, is serviceable and fits properly (unless a universal-fit type).
(2) Each item of PBE located at other than a flight crewmember duty station must be checked by a designated crewmember to ensure that each is properly stowed and serviceable, and, for other than chemical oxygen generator systems, the breathing gas supply is fully charged. Each certificate holder, in its operations manual, must designate at least one crewmember to perform those checks before he or she takes off in that airplane for his or her first flight of the day.
(a) Except where the Administrator, by amending the operations specifications of the certificate holder, requires the carriage of all or any specific items of the equipment listed below for any overwater operation, or upon application of the certificate holder, the Administrator allows deviation for a particular extended overwater operation, no person may operate an airplane in extended overwater operations without having on the airplane the following equipment:
(1) A life preserver equipped with an approved survivor locator light, for each occupant of the airplane.
(2) Enough life rafts (each equipped with an approved survivor locator light) of a rated capacity and buoyancy to accommodate the occupants of the airplane. Unless excess rafts of enough capacity are provided, the buoyancy and seating capacity beyond the rated capacity of the rafts must accommodate all occupants of the airplane in the event of a loss of one raft of the largest rated capacity.
(3) At least one pyrotechnic signaling device for each life raft.
(4) An approved survival type emergency locator transmitter. Batteries used in this transmitter must be replaced (or recharged, if the battery is rechargeable) when the transmitter has been in use for more than 1 cumulative hour, or when 50 percent of their useful life (or for rechargeable batteries, 50 percent of their useful life of charge) has expired, as established by the transmitter manufacturer under its approval. The new expiration date for replacing (or recharging) the battery must be legibly marked on the outside of the transmitter. The battery useful life (or useful life of charge) requirements of this paragraph do not apply to batteries (such as water-activated batteries) that are essentially unaffected during probable storage intervals.
(b) The required life rafts, life preservers, and survival type emergency locator transmitter must be easily accessible in the event of a ditching without appreciable time for preparatory procedures. This equipment must be installed in conspicuously marked, approved locations.
(c) A survival kit, appropriately equipped for the route to be flown, must be attached to each required life raft.
(a) Except as provided in paragraph (b) of this section, no person may operate an airplane in any overwater operation unless it is equipped with life preservers in accordance with § 121.339(a)(1) or with an approved flotation means for each occupant. This means must be within easy reach of each seated occupant and must be readily removable from the airplane.
(b) Upon application by the air carrier or commercial operator, the Administrator may approve the operation of an airplane over water without the life preservers or flotation means required by paragraph (a) of this section, if the air carrier or commercial operator shows that the water over which the airplane is to be operated is not of such size and depth that life preservers or flotation means would be required for the survival of its occupants in the event the flight terminates in that water.
(a) Except as permitted in paragraph (c)(2) of this section, unless an airplane is type certificated under the transport category airworthiness requirements relating to ice protection, or unless an airplane is a non-transport category airplane type certificated after December 31, 1964, that has the ice protection provisions that meet section 34 of appendix A of part 135 of this chapter, no person may operate an airplane in icing conditions unless it is equipped with means for the prevention or removal of ice on windshields, wings, empennage, propellers, and other parts of the airplane where ice formation will adversely affect the safety of the airplane.
(b) No person may operate an airplane in icing conditions at night unless means are provided for illuminating or otherwise determining the formation of ice on the parts of the wings that are critical from the standpoint of ice accumulation. Any illuminating that is used must be of a type that will not cause glare or reflection that would handicap crewmembers in the performance of their duties.
(c) Non-transport category airplanes type certificated after December 31, 1964. Except for an airplane that has ice protection provisions that meet section 34 of appendix A of part 135 of this chapter, or those for transport category airplane type certification, no person may operate—
(1) Under IFR into known or forecast light or moderate icing conditions;
(2) Under VFR into known light or moderate icing conditions; unless the airplane has functioning deicing anti-icing equipment protecting each propeller, windshield, wing, stabilizing or control surface, and each airspeed, altimeter, rate of climb, or flight attitude instrument system; or
(3) Into known or forecast severe icing conditions.
(d) If current weather reports and briefing information relied upon by the pilot in command indicate that the forecast icing condition that would otherwise prohibit the flight will not be encountered during the flight because of changed weather conditions since the forecast, the restrictions in paragraph (c) of this section based on forecast conditions do not apply.
No person may operate a transport category airplane or, after December 20, 1999, a nontransport category airplane type certificated after December 31, 1964, that is equipped with a flight instrument pitot heating system unless the airplane is also equipped with an operable pitot heat indication system that complies § 25.1326 of this chapter in effect on April 12, 1978.
(a) Except as provided in paragraphs (b), (c), (d), (e), and (f) of this section, no person may operate a large airplane that is certificated for operations above 25,000 feet altitude or is turbine-engine powered unless it is equipped with one or more approved flight recorders that record data from which the following may be determined within the ranges, accuracies, and recording intervals specified in appendix B of this part:
(1) Time;
(2) Altitude;
(3) Airspeed;
(4) Vertical acceleration;
(5) Heading; and
(6) Time of each radio transmission either to or from air traffic control.
(b) No person may operate a large airplane type certificated up to and including September 30, 1969, for operations above 25,000 feet altitude, or a turbine-engine powered airplane certificated before the same date, unless it is equipped before May 26, 1989 with one or more approved flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The following information must be able to be determined within the ranges, accuracies, and recording intervals specified in appendix B of this part:
(1) Time;
(2) Altitude;
(3) Airspeed;
(4) Vertical acceleration;
(5) Heading; and
(6) Time of each radio transmission either to or from air traffic control.
(c) Except as provided in paragraph (l) of this section, no person may operate an airplane specified in paragraph (b) of this section unless it is equipped, before May 26, 1995, with one or more approved flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The following information must be able to be determined within the ranges, accuracies and recording intervals specified in appendix B of this part:
(1) Time;
(2) Altitude;
(3) Airspeed;
(4) Vertical acceleration;
(5) Heading;
(6) Time of each radio transmission either to or from air traffic control;
(7) Pitch attitude;
(8) Roll attitude;
(9) Longitudinal acceleration;
(10) Control column or pitch control surface position; and
(11) Thrust of each engine.
(d) No person may operate an airplane specified in paragraph (b) of this section that is manufactured after May 26, 1989, as well as airplanes specified in paragraph (a) of this section that have been type certificated after September 30, 1969, unless it is equipped with one or more approved flight recorders that utlitize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The following information must be able to be determined within the ranges, accuracies, and recording intervals specified in appendix B of this part:
(1) Time;
(2) Altitude;
(3) Airspeed;
(4) Vertical acceleration;
(5) Heading;
(6) Time of each radio transmission either to or from air traffic control;
(7) Pitch attitude;
(8) Roll attitude;
(9) Longitudinal acceleration;
(10) Pitch trim position;
(11) Control column or pitch control surface position;
(12) Control wheel or lateral control surface position;
(13) Rudder pedal or yaw control surface position;
(14) Thrust of each engine;
(15) Position of each thrust reverser;
(16) Trailing edge flap or cockpit flap control position; and
(17) Leading edge flap or cockpit flap control position.
(e) After October 11, 1991, no person may operate a large airplane equipped with a digital data bus and ARINC 717 digital flight data acquisition unit (DFDAU) or equivalent unless it is equipped with one or more approved flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. Any parameters specified in appendix B of this part that are available on the digital data bus must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified.
(f) After October 11, 1991, no person may operate an airplane specified in paragraph (b) of this section that is manufactured after October 11, 1991, nor an airplane specified in paragraph (a) of this section that has been type certificated after September 30, 1969, and manufactured after October 11, 1991, unless it is equipped with one or more flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The parameters specified in appendix B of this part must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified.
(g) Whenever a flight recorder required by this section is installed, it must be operated continuously from the instant the airplane begins the takeoff roll until it has completed the landing roll at an airport.
(h) Except as provided in paragraph (i) of this section, and except for recorded data erased as authorized in this paragraph, each certificate holder shall keep the recorded data prescribed in paragraph (a), (b), (c), or (d) of this section, as appropriate, until the airplane has been operated for at least 25 hours of the operating time specified in § 121.359(a). A total of 1 hour of recorded data may be erased for the purpose of testing the flight recorder or the flight recorder system. Any erasure made in accordance with this paragraph must be of the oldest recorded data accumulated at the time of testing. Except as provided in paragraph (i) of this section, no record need be kept more than 60 days.
(i) In the event of an accident or occurrence that requires immediate notification of the National Transportation Safety Board under part 830 of its regulations and that results in termination of the flight, the certificate holder shall remove the recording media from the airplane and keep the recorded data required by paragraph (a), (b), (c), or (d) of this section, as appropriate, for at least 60 days or for a longer period upon the request of the Board or the Administrator.
(j) Each flight recorder required by this section must be installed in accordance with the requirements of § 25.1459 of this chapter in effect on August 31, 1977. The correlation required by § 25.1459(c) of this chapter need be established only on one airplane of any group of airplanes—
(1) That are of the same type;
(2) On which the model flight recorder and its installation are the same; and
(3) On which there is no difference in the type design with respect to the installation of those first pilot's instruments associated with the flight recorder. The most recent instrument calibration, including the recording medium from which this calibration is derived, and the recorder correlation must be retained by the certificate holder.
(k) Each flight recorder required by this section that records the data specified in paragraph (a), (b), (c), or (d) of this section, as appropriate, must have an approved device to assist in locating that recorder under water.
(l) No person may operate an airplane specified in paragraph (b) of this section that meets the Stage 2 noise levels of part 36 of this chapter and is subject to § 91.801(c) of this chapter unless it is equipped with one or more approved flight data recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The information specified in paragraphs (c)(1) through (c)(11) of this section must be able to be determined within the ranges, accuracies and recording intervals specified in appendix B of this part. In addition—
(1) This flight data recorder must be installed at the next heavy maintenance check after May 26, 1994, but no later than May 26, 1995. A heavy maintenance check is considered to be any time an aircraft is scheduled to be out of service for 4 or more days.
(2) By June 23, 1994, each carrier must submit to the FAA Flight Standards Service, Air Transportation Division (AFS-200), documentation listing those airplanes covered under this paragraph and evidence that it has ordered a sufficient number of flight data recorders to meet the May 26, 1995, compliance date for all aircraft on that list.
(3) After May 26, 1994, any aircraft that is modified to meet Stage 3 noise levels must have the flight data recorder described in paragraph (c) of this section installed before operating under this part.
(m) After August 20, 2001, this section applies only to the airplane models listed in § 121.344(l)(2). All other airplanes must comply with the requirements of § 121.344, as applicable.
(a) Except as provided in paragraph (l) of this section, no person may operate under this part a turbine-engine-powered transport category airplane unless it is equipped with one or more approved flight recorders that use a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The operational parameters required to be recorded by digital flight data recorders required by this section are as follows: The phrase “when an information source is installed” following a parameter indicates that recording of that parameter is not intended to require a change in installed equipment:
(1) Time;
(2) Pressure altitude;
(3) Indicated airspeed;
(4) Heading—primary flight crew reference (if selectable, record discrete, true or magnetic);
(5) Normal acceleration (Vertical);
(6) Pitch attitude;
(7) Roll attitude;
(8) Manual radio transmitter keying, or CVR/DFDR synchronization reference;
(9) Thrust/power of each engine—primary flight crew reference;
(10) Autopilot engagement status;
(11) Longitudinal acceleration;
(12) Pitch control input;
(13) Lateral control input;
(14) Rudder pedal input;
(15) Primary pitch control surface position;
(16) Primary lateral control surface position;
(17) Primary yaw control surface position;
(18) Lateral acceleration;
(19) Pitch trim surface position or parameters of paragraph (a)(82) of this section if currently recorded;
(20) Trailing edge flap or cockpit flap control selection (except when parameters of paragraph (a)(85) of this section apply);
(21) Leading edge flap or cockpit flap control selection (except when parameters of paragraph (a)(86) of this section apply);
(22) Each Thrust reverser position (or equivalent for propeller airplane);
(23) Ground spoiler position or speed brake selection (except when parameters of paragraph (a)(87) of this section apply);
(24) Outside or total air temperature;
(25) Automatic Flight Control System (AFCS) modes and engagement status, including autothrottle;
(26) Radio altitude (when an information source is installed);
(27) Localizer deviation, MLS Azimuth;
(28) Glideslope deviation, MLS Elevation;
(29) Marker beacon passage;
(30) Master warning;
(31) Air/ground sensor (primary airplane system reference nose or main gear);
(32) Angle of attack (when information source is installed);
(33) Hydraulic pressure low (each system);
(34) Ground speed (when an information source is installed);
(35) Ground proximity warning system;
(36) Landing gear position or landing gear cockpit control selection;
(37) Drift angle (when an information source is installed);
(38) Wind speed and direction (when an information source is installed);
(39) Latitude and longitude (when an information source is installed);
(40) Stick shaker/pusher (when an information source is installed);
(41) Windshear (when an information source is installed);
(42) Throttle/power lever position;
(43) Additional engine parameters (as designated in Appendix M of this part);
(44) Traffic alert and collision avoidance system;
(45) DME 1 and 2 distances;
(46) Nav 1 and 2 selected frequency;
(47) Selected barometric setting (when an information source is installed);
(48) Selected altitude (when an information source is installed);
(49) Selected speed (when an information source is installed);
(50) Selected mach (when an information source is installed);
(51) Selected vertical speed (when an information source is installed);
(52) Selected heading (when an information source is installed);
(53) Selected flight path (when an information source is installed);
(54) Selected decision height (when an information source is installed);
(55) EFIS display format;
(56) Multi-function/engine/alerts display format;
(57) Thrust command (when an information source is installed);
(58) Thrust target (when an information source is installed);
(59) Fuel quantity in CG trim tank (when an information source is installed);
(60) Primary Navigation System Reference;
(61) Icing (when an information source is installed);
(62) Engine warning each engine vibration (when an information source is installed);
(63) Engine warning each engine over temp. (when an information source is installed);
(64) Engine warning each engine oil pressure low (when an information source is installed);
(65) Engine warning each engine over speed (when an information source is installed);
(66) Yaw trim surface position;
(67) Roll trim surface position;
(68) Brake pressure (selected system);
(69) Brake pedal application (left and right);
(70) Yaw or sideslip angle (when an information source is installed);
(71) Engine bleed valve position (when an information source is installed);
(72) De-icing or anti-icing system selection (when an information source is installed);
(73) Computed center of gravity (when an information source is installed);
(74) AC electrical bus status;
(75) DC electrical bus status;
(76) APU bleed valve position (when an information source is installed);
(77) Hydraulic pressure (each system);
(78) Loss of cabin pressure;
(79) Computer failure;
(80) Heads-up display (when an information source is installed);
(81) Para-visual display (when an information source is installed);
(82) Cockpit trim control input position—pitch;
(83) Cockpit trim control input position—roll;
(84) Cockpit trim control input position—yaw;
(85) Trailing edge flap and cockpit flap control position;
(86) Leading edge flap and cockpit flap control position;
(87) Ground spoiler position and speed brake selection;
(88) All cockpit flight control input forces (control wheel, control column, rudder pedal);
(89) Yaw damper status;
(90) Yaw damper command; and
(91) Standby rudder valve status.
(b) For all turbine-engine powered transport category airplanes manufactured on or before October 11, 1991, by August 20, 2001.
(1) For airplanes not equipped as of July 16, 1996, with a flight data acquisition unit (FDAU), the parameters listed in paragraphs (a)(1) through (a)(18) of this section must be recorded within the ranges and accuracies specified in Appendix B of this part, and—
(i) For airplanes with more than two engines, the parameter described in paragraph (a)(18) is not required unless sufficient capacity is available on the existing recorder to record that parameter;
(ii) Parameters listed in paragraphs (a)(12) through (a)(17) each may be recorded from a single source.
(2) For airplanes that were equipped as of July 16, 1996, with a flight data acquisition unit (FDAU), the parameters listed in paragraphs (a)(1) through (a)(22) of this section must be recorded within the ranges, accuracies, and recording intervals specified in Appendix M of this part. Parameters listed in paragraphs (a)(12) through (a)(17) each may be recorded from a single source.
(3) The approved flight recorder required by this section must be installed at the earliest time practicable, but no later than the next heavy maintenance check after August 18, 1999 and no later than August 20, 2001. A heavy maintenance check is considered to be any time an airplane is scheduled to be out of service for 4 or more days and is scheduled to include access to major structural components.
(c) For all turbine-engine powered transport category airplanes manufactured on or before October 11, 1991—
(1) That were equipped as of July 16, 1996, with one or more digital data bus(es) and an ARINC 717 digital flight data acquisition unit (DFDAU) or equivalent, the parameters specified in paragraphs (a)(1) through (a)(22) of this section must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix M of this part by August 20, 2001. Parameters listed in paragraphs (a)(12) through (a)(14) each may be recorded from a single source.
(2) Commensurate with the capacity of the recording system (DFDAU or equivalent and the DFDR), all additional parameters for which information sources are installed and which are connected to the recording system must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix M of this part by August 20, 2001.
(3) That were subject to § 121.343(e) of this part, all conditions of § 121.343(e) must continue to be met until compliance with paragraph (c)(1) of this section is accomplished.
(d) For all turbine-engine-powered transport category airplanes that were manufactured after October 11, 1991—
(1) The parameters listed in paragraph (a)(1) through (a)(34) of this section must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix M of this part by August 20, 2001. Parameters listed in paragraphs (a)(12) through (a)(14) each may be recorded from a single source.
(2) Commensurate with the capacity of the recording system, all additional parameters for which information sources are installed and which are connected to the recording system must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix M of this part by August 20, 2001.
(e) For all turbine-engine-powered transport category airplanes that are manufactured after August 18, 2000—
(1) The parameters listed in paragraph (a)(1) through (57) of this section must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix M of this part.
(2) Commensurate with the capacity of the recording system, all additional parameters for which information sources are installed and which are connected to the recording system, must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix M of this part.
(3) In addition to the requirements of paragraphs (e)(1) and (e)(2) of this section, all Boeing 737 model airplanes must also comply with the requirements of paragraph (n) of this section, as applicable.
(f) For all turbine-engine-powered transport category airplanes manufactured after August 19, 2002—
(1) The parameters listed in paragraphs (a)(1) through (a)(88) of this section must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in appendix M to this part.
(2) In addition to the requirements of paragraphs (f)(1) of this section, all Boeing 737 model airplanes must also comply with the requirements of paragraph (n) of this section.
(g) Whenever a flight data recorder required by this section is installed, it must be operated continuously from the instant the airplane begins its takeoff roll until it has completed its landing roll.
(h) Except as provided in paragraph (i) of this section, and except for recorded data erased as authorized in this paragraph, each certificate holder shall keep the recorded data prescribed by this section, as appropriate, until the airplane has been operated for at least 25 hours of the operating time specified in § 121.359(a) of this part. A total of 1 hour of recorded data may be erased for the purpose of testing the flight recorder or the flight recorder system. Any erasure made in accordance with this paragraph must be of the oldest recorded data accumulated at the time of testing. Except as provided in paragraph (i) of this section, no record need be kept more than 60 days.
(i) In the event of an accident or occurrence that requires immediate notification of the National Transportation Safety Board under 49 CFR 830 of its regulations and that results in termination of the flight, the certificate holder shall remove the recorder from the airplane and keep the recorder data prescribed by this section, as appropriate, for at least 60 days or for a longer period upon the request of the Board or the Administrator.
(j) Each flight data recorder system required by this section must be installed in accordance with the requirements of § 25.1459(a) (except paragraphs (a)(3)(ii) and (a)(7)), (b), (d) and (e) of this chapter. A correlation must be established between the values recorded by the flight data recorder and the corresponding values being measured. The correlation must contain a sufficient number of correlation points to accurately establish the conversion from the recorded values to engineering units or discrete state over the full operating range of the parameter. Except for airplanes having separate altitude and airspeed sensors that are an integral part of the flight data recorder system, a single correlation may be established for any group of airplanes—
(1) That are of the same type;
(2) On which the flight recorder system and its installation are the same; and
(3) On which there is no difference in the type design with respect to the installation of those sensors associated with the flight data recorder system. Documentation sufficient to convert recorded data into the engineering units and discrete values specified in the applicable appendix must be maintained by the certificate holder.
(k) Each flight data recorder required by this section must have an approved device to assist in locating that recorder under water.
(l) The following airplanes that were manufactured before August 18, 1997 need not comply with this section, but must continue to comply with applicable paragraphs of § 121.343 of this chapter, as appropriate:
(1) Airplanes that meet the State 2 noise levels of part 36 of this chapter and are subject to § 91.801(c) of this chapter, until January 1, 2000. On and after January 1, 2000, any Stage 2 airplane otherwise allowed to be operated under Part 91 of this chapter must comply with the applicable flight data recorder requirements of this section for that airplane.
(2) British Aerospace 1-11, General Dynamics Convair 580, General Dynamics Convair 600, General Dynamics Convair 640, deHavilland Aircraft Company Ltd. DHC-7, Fairchild Industries FH 227, Fokker F-27 (except Mark 50), F-28 Mark 1000 and Mark 4000, Gulfstream Aerospace G-159, Jetstream 4100 Series, Lockheed Aircraft Corporation Electra 10-A, Lockheed Aircraft Corporation Electra 10-B, Lockheed Aircraft Corporation Electra 10-E, Lockheed Aircraft Corporation Electra L-188, Lockheed Martin Model 382 (L-100) Hercules, Maryland Air Industries, Inc. F27, Mitsubishi Heavy Industries, Ltd. YS-11, Short Bros. Limited SD3-30, Short Bros. Limited SD3-60.
(m) All aircraft subject to the requirements of this section that are manufactured on or after April 7, 2010, must have a digital flight data recorder installed that also—
(1) Meets the requirements of § 25.1459(a)(3), (a)(7), and (a)(8) of this chapter; and
(2) Retains the 25 hours of recorded information required in paragraph (h) of this section using a recorder that meets the standards of TSO-C124a, or later revision.
(n) In addition to all other applicable requirements of this section, all Boeing 737 model airplanes manufactured after August 18, 2000 must record the parameters listed in paragraphs (a)(88) through (a)(91) of this section within the ranges, accuracies, resolutions, and recording intervals specified in Appendix M to this part. Compliance with this paragraph is required no later than February 2, 2011.
(a) Except as provided in paragraph (f) of this section, no person may operate under this part a turbine-engine-powered airplane having a passenger seating configuration, excluding any required crewmember seat, of 10 to 19 seats, that was brought onto the U.S. register after, or was registered outside the United States and added to the operator's U.S. operations specifications after, October 11, 1991, unless it is equipped with one or more approved flight recorders that use a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. On or before August 20, 2001, airplanes brought onto the U.S. register after October 11, 1991, must comply with either the requirements in this section or the applicable paragraphs in § 135.152 of this chapter. In addition, by August 20, 2001.
(1) The parameters listed in §§ 121.344(a)(1) through 121.344(a)(18) of this part must be recorded with the ranges, accuracies, and resolutions specified in Appendix B of part 135 of this chapter, except that—
(i) Either the parameter listed in § 121.344 (a)(12) or (a)(15) of this part must be recorded; either the parameters listed in § 121.344(a)(13) or (a)(16) of this part must be recorded; and either the parameter listed in § 121.344(a)(14) or (a)(17) of this part must be recorded.
(ii) For airplanes with more than two engines, the parameter described in § 121.344(a)(18) of this part must also be recorded if sufficient capacity is available on the existing recorder to record that parameter;
(iii) Parameters listed in §§ 121.344(a)(12) through 121.344(a)(17) of this part each may be recorded from a single source;
(iv) Any parameter for which no value is contained in Appendix B of part 135 of this chapter must be recorded within the ranges, accuracies, and resolutions specified in Appendix M of this part.
(2) Commensurate with the capacity of the recording system (FDAU or equivalent and the DFDR), the parameters listed in §§ 121.344(a)(19) through 121.344(a)(22) of this part also must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix B of part 135 of this chapter.
(3) The approved flight recorder required by this section must be installed as soon as practicable, but no later than the next heavy maintenance check or equivalent after August 18, 1999. A heavy maintenance check is considered to be any time an airplane is scheduled to be out of service for 4 more days and is scheduled to include access to major structural components.
(b) For a turbine-engine-powered airplanes having a passenger seating configuration, excluding any required crewmember seat, of 10 to 19 seats, that are manufactured after August 18, 2000.
(1) The parameters listed in §§ 121.344(a)(1) through 121.344(a)(57) of this part, must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix M of this part.
(2) Commensurate with the capacity of the recording system, all additional parameters listed in § 121.344(a) of this part for which information sources are installed and which are connected to the recording system, must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix M of this part by August 20, 2001.
(c) For all turbine-engine-powered airplanes having a passenger seating configuration, excluding any required crewmember seats, of 10 to 19 seats, that are manufactured after August 19, 2002, the parameters listed in § 121.344(a)(1) through (a)(88) of this part must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix M of this part.
(d) Each flight data recorder system required by this section must be installed in accordance with the requirements of § 23.1459(a) (except paragraphs (a)(3)(ii) and (6)), (b), (d) and (e) of this chapter. A correlation must be established between the values recorded by the flight data recorder and the corresponding values being measured. The correlation must contain a sufficient number of correlation points to accurately establish the conversion from the recorded values to engineering units or discrete state over the full operating range of the parameter. A single correlation may be established for any group of airplanes—
(1) That are of the same type;
(2) On which the flight recorder system and its installation are the same; and
(3) On which there is no difference in the type design with respect to the installation of those sensors associated with the flight data recorder system. Correlation documentation must be maintained by the certificate holder.
(e) All airplanes subject to this section are also subject to the requirements and exceptions stated in § 121.344(g) through (k) and § 121.346.
(f) For airplanes that were manufactured before August 18, 1997, the following airplane types need not comply with this section, but must continue to comply with applicable paragraphs of § 135.152 of this chapter, as appropriate: Beech Aircraft-99 Series, Beech Aircraft 1300, Beech Aircraft 1900C, Construcciones Aeronauticas, S.A. (CASA) C-212, deHavilland DHC-6, Dornier 228, HS-748, Embraer EMB 110, Jetstream 3101, Jetstream 3201, Fairchild Aircraft SA-226, Fairchild Metro SA-227.
(g) All airplanes subject to the requirements of this section that are manufactured on or after April 7, 2010, must have a digital flight data recorder installed that also—
(1) Meets the requirements in § 23.1459(a)(3), (a)(6), and (a)(7) or § 25.1459(a)(3), (a)(7), and (a)(8) of this chapter, as applicable; and
(2) Retains the 25 hours of recorded information required in § 121.344(g) using a recorder that meets the standards of TSO-C124a, or later revision.
(a) No person may operate an airplane unless it is equipped with radio equipment required for the kind of operation being conducted.
(b) Where two independent (separate and complete) radio systems are required by §§ 121.347 and 121.349, each system must have an independent antenna installation except that, where rigidly supported nonwire antennas or other antenna installations of equivalent reliability are used, only one antenna is required.
(c) ATC transponder equipment installed within the time periods indicated below must meet the performance and environmental requirements of the following TSO's:
(1) Through January 1, 1992: (i) Any class of TSO-C74b or any class of TSO-C74c as appropriate, provided that the equipment was manufactured before January 1, 1990; or
(ii) The appropriate class of TSO-C112 (Mode S).
(2) After January 1, 1992: The appropriate class of TSO-C112 (Mode S). For purposes of paragraph (c) (2) of this section, “installation” does not include—
(i) Temporary installation of TSO-C74b or TSO-C74c substitute equipment, as appropriate, during maintenance of the permanent equipment;
(ii) Reinstallation of equipment after temporary removal for maintenance; or
(iii) For fleet operations, installation of equipment in a fleet aircraft after removal of the equipment for maintenance from another aircraft in the same operator's fleet.
(a) A flight data signal is filtered when an original sensor signal has been changed in any way, other than changes necessary to:
(1) Accomplish analog to digital conversion of the signal;
(2) Format a digital signal to be DFDR compatible; or
(3) Eliminate a high frequency component of a signal that is outside the operational bandwidth of the sensor.
(b) An original sensor signal for any flight recorder parameter required to be recorded under § 121.344 may be filtered only if the recorded signal value continues to meet the requirements of Appendix B or M of this part, as applicable.
(c) For a parameter described in § 121.344(a) (12) through (17), (42), or (88), or the corresponding parameter in Appendix B of this part, if the recorded signal value is filtered and does not meet the requirements of Appendix B or M of this part, as applicable, the certificate holder must:
(1) Remove the filtering and ensure that the recorded signal value meets the requirements of Appendix B or M of this part, as applicable; or
(2) Demonstrate by test and analysis that the original sensor signal value can be reconstructed from the recorded data. This demonstration requires that:
(i) The FAA determine that the procedure and the test results submitted by the certificate holder as its compliance with paragraph (c)(2) of this section are repeatable; and
(ii) The certificate holder maintains documentation of the procedure required to reconstruct the original sensor signal value. This documentation is also subject to the requirements of § 121.344(i).
(d) Compliance. Compliance is required as follows:
(1) No later than October 20, 2011, each operator must determine, for each airplane on its operations specifications, whether the airplane's DFDR system is filtering any of the parameters listed in paragraph (c) of this section. The operator must create a record of this determination for each airplane it operates, and maintain it as part of the correlation documentation required by § 121.344(j)(3) of this part.
(2) For airplanes that are not filtering any listed parameter, no further action is required unless the airplane's DFDR system is modified in a manner that would cause it to meet the definition of filtering on any listed parameter.
(3) For airplanes found to be filtering a parameter listed in paragraph (c) of this section, the operator must either:
(i) No later than April 21, 2014, remove the filtering; or
(ii) No later than April 22, 2013, submit the necessary procedure and test results required by paragraph (c)(2) of this section.
(4) After April 21, 2014, no aircraft flight data recording system may filter any parameter listed in paragraph (c) of this section that does not meet the requirements of Appendix B or M of this part, unless the certificate holder possesses test and analysis procedures and the test results that have been approved by the FAA. All records of tests, analysis and procedures used to comply with this section must be maintained as part of the correlation documentation required by § 121.344(j)(3) of this part.
(a) No person may operate an airplane under VFR over routes that can be navigated by pilotage unless the airplane is equipped with the radio communication equipment necessary under normal operating conditions to fulfill the following:
(1) Communicate with at least one appropriate station from any point on the route;
(2) Communicate with appropriate air traffic control facilities from any point within Class B, Class C, or Class D airspace, or within a Class E surface area designated for an airport in which flights are intended; and
(3) Receive meteorological information from any point en route by either of two independent systems. One of the means provided to comply with this subparagraph may be used to comply with paragraphs (a)(1) and (2) of this section.
(b) No person may operate an airplane at night under VFR over routes that can be navigated by pilotage unless that airplane is equipped with—
(1) Radio communication equipment necessary under normal operating conditions to fulfill the functions specified in paragraph (a) of this section; and
(2) Navigation equipment suitable for the route to be flown.
(a) Navigation equipment requirements—General. No person may conduct operations under VFR over routes that cannot be navigated by pilotage, or operations conducted under IFR or over the top, unless—
(1) The en route navigation aids necessary for navigating the airplane along the route (e.g., ATS routes, arrival and departure routes, and instrument approach procedures, including missed approach procedures if a missed approach routing is specified in the procedure) are available and suitable for use by the aircraft navigation systems required by this section;
(2) The airplane used in those operations is equipped with at least—
(i) Except as provided in paragraph (c) of this section, two approved independent navigation systems suitable for navigating the airplane along the route to be flown within the degree of accuracy required for ATC;
(ii) One marker beacon receiver providing visual and aural signals; and
(iii) One ILS receiver; and
(3) Any RNAV system used to meet the navigation equipment requirements of this section is authorized in the certificate holder's operations specifications.
(b) Communication equipment requirements. No person may operate an airplane under VFR over routes that cannot be navigated by pilotage, and no person may operate an airplane under IFR or over the top, unless the airplane is equipped with—
(1) At least two independent communication systems necessary under normal operating conditions to fulfill the functions specified in § 121.347 (a); and
(2) At least one of the communication systems required by paragraph (b)(1) of this section must have two-way voice communication capability.
(c) Use of a single independent navigation system for operations under VFR over routes that cannot be navigated by pilotage, or operations conducted under IFR or over the top. Notwithstanding the requirements of paragraph (a)(2)(i) of this section, the airplane may be equipped with a single independent navigation system suitable for navigating the airplane along the route to be flown within the degree of accuracy required for ATC if:
(1) It can be shown that the airplane is equipped with at least one other independent navigation system suitable, in the event of loss of the navigation capability of the single independent navigation system permitted by this paragraph at any point along the route, for proceeding safely to a suitable airport and completing an instrument approach; and
(2) The airplane has sufficient fuel so that the flight may proceed safely to a suitable airport by use of the remaining navigation system, and complete an instrument approach and land.
(d) Use of VOR navigation equipment. If VOR navigation equipment is used to comply with paragraph (a) or (c) of this section, no person may operate an airplane unless it is equipped with at least one approved DME or suitable RNAV system.
(e) Additional communication system equipment requirements for operators subject to § 121.2. In addition to the requirements in paragraph (b) of this section, no person may operate an airplane having a passenger seat configuration of 10 to 30 seats, excluding each crewmember seat, and a maximum payload capacity of 7,500 pounds or less, under IFR, over the top, or in extended over-water operations unless it is equipped with at least—
(1) Two microphones; and
(2) Two headsets, or one headset and one speaker.
(a) Except as provided in paragraph (c) of this section, no person may conduct an extended over-water operation unless the airplane is equipped with at least two independent long-range navigation systems and at least two independent long-range communication systems necessary under normal operating conditions to fulfill the following functions—
(1) Communicate with at least one appropriate station from any point on the route;
(2) Receive meteorological information from any point on the route by either of two independent communication systems. One of the communication systems used to comply with this paragraph may be used to comply with paragraphs (a)(1) and (a)(3) of this section; and
(3) At least one of the communication systems must have two-way voice communication capability.
(b) No certificate holder conducting a flag or supplemental operation or a domestic operation within the State of Alaska may conduct an operation without the equipment specified in paragraph (a) of this section, if the Administrator finds that equipment to be necessary for search and rescue operations because of the nature of the terrain to be flown over.
(c) Notwithstanding the requirements of paragraph (a) of this section, installation and use of a single LRNS and a single LRCS may be authorized by the Administrator and approved in the certificate holder's operations specifications for operations and routes in certain geographic areas. The following are among the operational factors the Administrator may consider in granting an authorization:
(1) The ability of the flightcrew to navigate the airplane along the route within the degree of accuracy required for ATC,
(2) The length of the route being flown, and
(3) The duration of the very high frequency communications gap.
Unless the airplane has the following equipment, no person may conduct a flag or supplemental operation or a domestic operation within the States of Alaska or Hawaii over an uninhabited area or any other area that (in its operations specifications) the Administrator specifies required equipment for search and rescue in case of an emergency:
(a) Suitable pyrotechnic signaling devices.
(b) An approved survival type emergency locator transmitter. Batteries used in this transmitter must be replaced (or recharged, if the battery is rechargeable) when the transmitter has been in use for more than 1 cumulative hour, or when 50 percent of their useful life (or for rechargeable batteries, 50 percent of their useful life of charge) has expired, as established by the transmitter manufacturer under its approval. The new expiration date for replacing (or recharging) the battery must be legibly marked on the outside of the transmitter. The battery useful life (or useful life of charge) requirements of this paragraph do not apply to batteries (such as water-activated batteries) that are essentially unaffected during probable storage intervals.
(c) Enough survival kits, appropriately equipped for the route to be flown for the number of occupants of the airplane.
(a) Airplanes manufactured after March 29, 2002. No person may operate a turbine-powered airplane unless that airplane is equipped with an approved terrain awareness and warning system that meets the requirements for Class A equipment in Technical Standard Order (TSO)-C151. The airplane must also include an approved terrain situational awareness display.
(b) Airplanes manufactured on or before March 29, 2002. No person may operate a turbine-powered airplane after March 29, 2005, unless that airplane is equipped with an approved terrain awareness and warning system that meets the requirements for Class A equipment in Technical Standard Order (TSO)-C151. The airplane must also include an approved terrain situational awareness display.
(c) Airplane Flight Manual. The Airplane Flight Manual shall contain appropriate procedures for—
(1) The use of the terrain awareness and warning system; and
(2) Proper flight crew reaction in response to the terrain awareness and warning system audio and visual warnings.
(a) No certificate holder may conduct an operation—
(1) Using Doppler Radar or an Inertial Navigation System outside the 48 contiguous States and the District of Columbia, unless such systems have been approved in accordance with appendix G to this part; or
(2) Using Doppler Radar or an Inertial Navigation System within the 48 contiguous States and the District of Columbia, or any other specialized means of navigation, unless it shows that an adequate airborne system is provided for the specialized navigation authorized for the particular operation.
(b) Notwithstanding paragraph (a) of this section, Doppler Radar and Inertial Navigation Systems, and the training programs, maintenance programs, relevant operations manual material, and minimum equipment lists prepared in accordance therewith, approved before April 29, 1972, are not required to be approved in accordance with that paragraph.
Effective January 1, 2005, any airplane you operate under this part must be equipped and operated according to the following table:
Collision Avoidance Systems
| If you operate any— | Then you must operate that airplane with— |
|---|---|
| (a) Turbine-powered airplane of more than 33,000 pounds maximum certificated takeoff weight | (1) An appropriate class of Mode S transponder that meets Technical Standard Order (TSO) C-112, or a later version, and one of the following approved units:
(i) TCAS II that meets TSO C-119b (version 7.0), or takeoff weight a later version. |
| (ii) TCAS II that meets TSO C-119a (version 6.04A Enhanced) that was installed in that airplane before May 1, 2003. If that TCAS II version 6.04A Enhanced no longer can be repaired to TSO C-119a standards, it must be replaced with a TCAS II that meets TSO C-119b (version 7.0), or a later version.
(iii) A collision avoidance system equivalent to TSO C-119b (version 7.0), or a later version, capable of coordinating with units that meet TSO C-119a (version 6.04A Enhanced), or a later version. | |
| (b) Passenger or combination cargo/passenger (combi) airplane that has a passenger seat configuration of 10-30 seats | (1) TCAS I that meets TSO C-118, or a later version, or
(2) A collision avoidance system equivalent to has a TSO C-118, or a later version, or (3) A collision avoidance system and Mode S transponder that meet paragraph (a)(1) of this section. |
| (c) Piston-powered airplane of more than 33,000 pounds maximum certificated takeoff weight | (1) TCAS I that meets TSO C-118, or a later version, or
(2) A collision avoidance system equivalent to maximum TSO C-118, or a later version, or (3) A collision avoidance system and Mode S transponder that meet paragraph (a)(1) of this section. |
(a) No person may operate any transport category airplane (except C-46 type airplanes) or a nontransport category airplane certificated after December 31, 1964, unless approved airborne weather radar equipment has been installed in the airplane.
(b) [Reserved]
(c) Each person operating an airplane required to have approved airborne weather radar equipment installed shall, when using it under this part, operate it in accordance with the following:
(1) Dispatch. No person may dispatch an airplane (or begin the flight of an airplane in the case of a certificate holder, that does not use a dispatch system) under IFR or night VFR conditions when current weather reports indicate that thunderstorms, or other potentially hazardous weather conditions that can be detected with airborne weather radar, may reasonably be expected along the route to be flown, unless the airborne weather radar equipment is in satisfactory operating condition.
(2) If the airborne weather radar becomes inoperative en route, the airplane must be operated in accordance with the approved instructions and procedures specified in the operations manual for such an event.
(d) This section does not apply to airplanes used solely within the State of Hawaii or within the State of Alaska and that part of Canada west of longitude 130 degrees W, between latitude 70 degrees N, and latitude 53 degrees N, or during any training, test, or ferry flight.
(e) Notwithstanding any other provision of this chapter, an alternate electrical power supply is not required for airborne weather radar equipment.
(a) Airplanes manufactured after January 2, 1991. No person may operate a turbine-powered airplane manufactured after January 2, 1991, unless it is equipped with either an approved airborne windshear warning and flight guidance system, an approved airborne detection and avoidance system, or an approved combination of these systems.
(b) Airplanes manufactured before January 3, 1991. Except as provided in paragraph (c) of this section, after January 2, 1991, no person may operate a turbine-powered airplane manufactured before January 3, 1991 unless it meets one of the following requirements as applicable.
(1) The makes/models/series listed below must be equipped with either an approved airborne windshear warning and flight guidance system, an approved airborne detection and avoidance system, or an approved combination of these systems:
(i) A-300-600;
(ii) A-310—all series;
(iii) A-320—all series;
(iv) B-737-300, 400, and 500 series;
(v) B-747-400;
(vi) B-757—all series;
(vii) B-767—all series;
(viii) F-100—all series;
(ix) MD-11—all series; and
(x) MD-80 series equipped with an EFIS and Honeywell-970 digital flight guidance computer.
(2) All other turbine-powered airplanes not listed above must be equipped with as a minimum requirement, an approved airborne windshear warning system. These airplanes may be equipped with an approved airborne windshear detection and avoidance system, or an approved combination of these systems.
(c) Extension of the compliance date. A certificate holder may obtain an extension of the compliance date in paragraph (b) of this section if it obtains FAA approval of a retrofit schedule. To obtain approval of a retrofit schedule and show continued compliance with that schedule, a certificate holder must do the following:
(1) Submit a request for approval of a retrofit schedule by June 1, 1990, to the appropriate Flight Standards division manager in the responsible Flight Standards office.
(2) Show that all of the certificate holder's airplanes required to be equipped in accordance with this section will be equipped by the final compliance date established for TCAS II retrofit.
(3) Comply with its retrofit schedule and submit status reports containing information acceptable to the Administrator. The initial report must be submitted by January 2, 1991, and subsequent reports must be submitted every six months thereafter until completion of the schedule. The reports must be submitted to the certificate holder's assigned Principal Avionics Inspector.
(d) Definitions. For the purposes of this section the following definitions apply—
(1) Turbine-powered airplane includes, e.g., turbofan-, turbojet-, propfan-, and ultra-high bypass fan-powered airplanes. The definition specifically excludes turbopropeller-powered airplanes.
(2) An airplane is considered manufactured on the date the inspection acceptance records reflect that the airplane is complete and meets the FAA Approved Type Design data.
(a) No certificate holder may operate a large turbine engine powered airplane or a large pressurized airplane with four reciprocating engines unless an approved cockpit voice recorder is installed in that airplane and is operated continuously from the start of the use of the checklist (before starting engines for the purpose of flight), to completion of the final checklist at the termination of the flight.
(b) [Reserved]
(c) The cockpit voice recorder required by paragraph (a) of this section must meet the following application standards:
(1) The requirements of part 25 of this chapter in affect on August 31, 1977.
(2) After September 1, 1980, each recorder container must—
(i) Be either bright orange or bright yellow;
(ii) Have reflective tape affixed to the external surface to facilitate its location under water; and
(iii) Have an approved underwater locating device on or adjacent to the container which is secured in such a manner that they are not likely to be separated during crash impact, unless the cockpit voice recorder, and the flight recorder required by § 121.343, are installed adjacent to each other in such a manner that they are not likely to be separated during crash impact.
(d) No person may operate a multiengine, turbine-powered airplane having a passenger seat configuration of 10-19 seats unless it is equipped with an approved cockpit voice recorder that:
(1) Is installed in compliance with § 23.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g); or § 25.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g) of this chapter, as applicable; and
(2) Is operated continuously from the use of the checklist before the flight to completion of the final checklist at the end of the flight.
(e) No person may operate a multiengine, turbine-powered airplane having a passenger seat configuration of 20 to 30 seats unless it is equipped with an approved cockpit voice recorder that—
(1) Is installed in accordance with the requirements of § 23.1457 (except paragraphs (a)(6), (d)(1)(ii), (4), and (5)) or § 25.1457 (except paragraphs (a)(6), (d)(1)(ii), (4), and (5)) of this chapter, as applicable; and
(2) Is operated continuously from the use of the checklist before the flight to completion of the final checklist at the end of the flight.
(f) In complying with this section, an approved cockpit voice recorder having an erasure feature may be used, so that at any time during the operation of the recorder, information recorded more than 30 minutes earlier may be erased or otherwise obliterated.
(g) For those aircraft equipped to record the uninterrupted audio signals received by a boom or a mask microphone, the flight crewmembers are required to use the boom microphone below 18,000 feet mean sea level. No person may operate a large turbine engine powered airplane or a large pressurized airplane with four reciprocating engines manufactured after October 11, 1991, or on which a cockpit voice recorder has been installed after October 11, 1991, unless it is equipped to record the uninterrupted audio signal received by a boom or mask microphone in accordance with § 25.1457(c)(5) of this chapter.
(h) In the event of an accident or occurrence requiring immediate notification of the National Transportation Safety Board under 49 CFR part 830 of its regulations, which results in the termination of the flight, the certificate holder shall keep the recorded information for at least 60 days or, if requested by the Administrator or the Board, for a longer period. Information obtained from the record is used to assist in determining the cause of accidents or occurrences in connection with investigations under 49 CFR part 830. The Administrator does not use the record in any civil penalty or certificate action.
(i) By April 7, 2012, all turbine engine-powered airplanes subject to this section that are manufactured before April 7, 2010, must have a cockpit voice recorder installed that also—
(1) Meets the requirements of § 23.1457(d)(6) or § 25.1457(d)(6) of this chapter, as applicable;
(2) Retains at least—
(i) The last 25 hours of recorded information using a recorder that meets the standards of TSO-C123c, or later revision, if manufactured on or after May 16, 2025; or
(ii) The last 2 hours of recorded information using a recorder that meets the standards of TSO-C123a, or later revision, if the airplane is manufactured before May 16, 2025; and
(3) Is operated continuously from the use of the checklist before the flight to completion of the final checklist at the end of the flight.
(4) If transport category, meets the requirements in § 25.1457(a)(3), (a)(4), and (a)(5) of this chapter.
(j) All turbine engine-powered airplanes subject to this section that are manufactured on or after April 7, 2010, must have a cockpit voice recorder installed that also—
(1) Is installed in accordance with the requirements of § 23.1457 (except for paragraph (a)(6) or § 25.1457 (except for paragraph (a)(6)) of this chapter, as applicable;
(2) Retains at least—
(i) The last 25 hours of recorded information using a recorder that meets the standards of TSO-C123c, or later revision, if manufactured on or after May 16, 2025; or
(ii) The last 2 hours of recorded information using a recorder that meets the standards of TSO-C123a, or later revision, if manufactured before May 16, 2025; and
(3) Is operated continuously from the use of the checklist before the flight to completion of the final checklist at the end of the flight.
(4) For all airplanes manufactured on or after December 6, 2010, also meets the requirements of § 23.1457(a)(6) or § 25.1457(a)(6) of this chapter, as applicable.
(k) All airplanes required by this part to have a cockpit voice recorder and a flight data recorder, that install datalink communication equipment on or after December 6, 2010, must record all datalink messages as required by the certification rule applicable to the airplane.
(a) Except as provided by paragraph (b) of this section, this subpart prescribes requirements for maintenance, preventive maintenance, and alterations for all certificate holders.
(b) The Administrator may amend a certificate holder's operations specifications to permit deviation from those provisions of this subpart that would prevent the return to service and use of airframe components, powerplants, appliances, and spare parts thereof because those items have been maintained, altered, or inspected by persons employed outside the United States who do not hold U.S. airman certificates. Each certificate holder who uses parts under this deviation must provide for surveillance of facilities and practices to assure that all work performed on these parts is accomplished in accordance with the certificate holder's manual.
(a) Each certificate holder is primarily responsible for—
(1) The airworthiness of its aircraft, including airframes, aircraft engines, propellers, appliances, and parts thereof; and
(2) The performance of the maintenance, preventive maintenance, and alteration of its aircraft, including airframes, aircraft engines, propellers, appliances, emergency equipment, and parts thereof, in accordance with its manual and the regulations of this chapter.
(b) A certificate holder may make arrangements with another person for the performance of any maintenance, preventive maintenance, or alterations. However, this does not relieve the certificate holder of the responsibility specified in paragraph (a) of this section.
(a) Each certificate holder that performs any of its maintenance (other than required inspections), preventive maintenance, or alterations, and each person with whom it arranges for the performance of that work must have an organization adequate to perform the work.
(b) Each certificate holder that performs any inspections required by its manual in accordance with § 121.369(b)(2) or (3) (in this subpart referred to as required inspections) and each person with whom it arranges for the performance of that work must have an organization adequate to perform that work.
(c) Each person performing required inspections in addition to other maintenance, preventive maintenance, or alterations, shall organize the performance of those functions so as to separate the required inspection functions from the other maintenance, preventive maintenance, and alteration functions. The separation shall be below the level of administrative control at which overall responsibility for the required inspection functions and other maintenance, preventive maintenance, and alteration functions are exercised.
Each certificate holder shall have an inspection program and a program covering other maintenance, preventive maintenance, and alterations that ensures that—
(a) Maintenance, preventive maintenance, and alterations performed by it, or by other persons, are performed in accordance with the certificate holder's manual;
(b) Competent personnel and adequate facilities and equipment are provided for the proper performance of maintenance, preventive maintenance, and alterations; and
(c) Each aircraft released to service is airworthy and has been properly maintained for operation under this part.
(a) A certificate holder may arrange with another person for the performance of maintenance, preventive maintenance, and alterations as authorized in § 121.379(a) only if the certificate holder has met all the requirements in this section. For purposes of this section—
(1) A maintenance provider is any person who performs maintenance, preventive maintenance, or an alteration for a certificate holder other than a person who is trained by and employed directly by that certificate holder.
(2) Covered work means any of the following:
(i) Essential maintenance that could result in a failure, malfunction, or defect endangering the safe operation of an aircraft if not performed properly or if improper parts or materials are used;
(ii) Regularly scheduled maintenance; or
(iii) A required inspection item on an aircraft.
(3) Directly in charge means having responsibility for covered work performed by a maintenance provider. A representative of the certificate holder directly in charge of covered work does not need to physically observe and direct each maintenance provider constantly, but must be available for consultation on matters requiring instruction or decision.
(b) Each certificate holder must be directly in charge of all covered work done for it by a maintenance provider.
(c) Each maintenance provider must perform all covered work in accordance with the certificate holder's maintenance manual.
(d) No maintenance provider may perform covered work unless that work is carried out under the supervision and control of the certificate holder.
(e) Each certificate holder who contracts for maintenance, preventive maintenance, or alterations must develop and implement policies, procedures, methods, and instructions for the accomplishment of all contracted maintenance, preventive maintenance, and alterations. These policies, procedures, methods, and instructions must provide for the maintenance, preventive maintenance, and alterations to be performed in accordance with the certificate holder's maintenance program and maintenance manual.
(f) Each certificate holder who contracts for maintenance, preventive maintenance, or alterations must ensure that its system for the continuing analysis and surveillance of the maintenance, preventive maintenance, and alterations carried out by the maintenance provider, as required by § 121.373(a), contains procedures for oversight of all contracted covered work.
(g) The policies, procedures, methods, and instructions required by paragraphs (e) and (f) of this section must be acceptable to the FAA and included in the certificate holder's maintenance manual as required by§ 121.369(b)(10).
(h) Each certificate holder who contracts for maintenance, preventive maintenance, or alterations must provide to its responsible Flight Standards office, in a format acceptable to the FAA, a list that includes the name and physical (street) address, or addresses, where the work is carried out for each maintenance provider that performs work for the certificate holder, and a description of the type of maintenance, preventive maintenance, or alteration that is to be performed at each location. The list must be updated with any changes, including additions or deletions, and the updated list provided to the FAA in a format acceptable to the FAA by the last day of each calendar month.
(a) The certificate holder shall put in its manual a chart or description of the certificate holder's organization required by § 121.365 and a list of persons with whom it has arranged for the performance of any of its required inspections, other maintenance, preventive maintenance, or alterations, including a general description of that work.
(b) The certificate holder's manual must contain the programs required by § 121.367 that must be followed in performing maintenance, preventive maintenance, and alterations of that certificate holder's airplanes, including airframes, aircraft engines, propellers, appliances, emergency equipment, and parts thereof, and must include at least the following:
(1) The method of performing routine and nonroutine maintenance (other than required inspections), preventive maintenance, and alterations.
(2) A designation of the items of maintenance and alteration that must be inspected (required inspections), including at least those that could result in a failure, malfunction, or defect endangering the safe operation of the aircraft, if not performed properly or if improper parts or materials are used.
(3) The method of performing required inspections and a designation by occupational title of personnel authorized to perform each required inspection.
(4) Procedures for the reinspection of work performed pursuant to previous required inspection findings (buy-back procedures).
(5) Procedures, standards, and limits necessary for required inspections and acceptance or rejection of the items required to be inspected and for periodic inspection and calibration of precision tools, measuring devices, and test equipment.
(6) Procedures to ensure that all required inspections are performed.
(7) Instructions to prevent any person who performs any item of work from performing any required inspection of that work.
(8) Instructions and procedures to prevent any decision of an inspector, regarding any required inspection from being countermanded by persons other than supervisory personnel of the inspection unit, or a person at that level of administrative control that has overall responsibility for the management of both the required inspection functions and the other maintenance, preventive maintenance, and alterations functions.
(9) Procedures to ensure that required inspections, other maintenance, preventive maintenance, and alterations that are not completed as a result of shift changes or similar work interruptions are properly completed before the aircraft is released to service.
(10) Policies, procedures, methods, and instructions for the accomplishment of all maintenance, preventive maintenance, and alterations carried out by a maintenance provider. These policies, procedures, methods, and instructions must be acceptable to the FAA and provide for the maintenance, preventive maintenance, and alterations to be performed in accordance with the certificate holder's maintenance program and maintenance manual.
(c) The certificate holder must set forth in its manual a suitable system (which may include a coded system) that provides for preservation and retrieval of information in a manner acceptable to the Administrator and that provides—
(1) A description (or reference to data acceptable to the Administrator) of the work performed;
(2) The name of the person performing the work if the work is performed by a person outside the organization of the certificate holder; and
(3) The name or other positive identification of the individual approving the work.
(a) No person may use any person to perform required inspections unless the person performing the inspection is appropriately certificated, properly trained, qualified, and authorized to do so.
(b) No person may allow any person to perform a required inspection unless, at that time, the person performing that inspection is under the supervision and control of an inspection unit.
(c) No person may perform a required inspection if he performed the item of work required to be inspected.
(d) Each certificate holder shall maintain, or shall determine that each person with whom it arranges to perform its required inspections maintains, a current listing of persons who have been trained, qualified, and authorized to conduct required inspections. The persons must be identified by name, occupational title, and the inspections that they are authorized to perform. The certificate holder (or person with whom it arranges to perform its required inspections) shall give written information to each person so authorized describing the extent of his responsibilities, authorities, and inspectional limitations. The list shall be made available for inspection by the Administrator upon request.
(a) Each certificate holder shall establish and maintain a system for the continuing analysis and surveillance of the performance and effectiveness of its inspection program and the program covering other maintenance, preventive maintenance, and alterations and for the correction of any deficiency in those programs, regardless of whether those programs are carried out by the certificate holder or by another person.
(b) Whenever the Administrator finds that either or both of the programs described in paragraph (a) of this section does not contain adequate procedures and standards to meet the requirements of this part, the certificate holder shall, after notification by the Administrator, make any changes in those programs that are necessary to meet those requirements.
(c) A certificate holder may petition the Administrator to reconsider the notice to make a change in a program. The petition must be filed with the responsible Flight Standards office charged with the overall inspection of the certificate holder's operations within 30 days after the certificate holder receives the notice. Except in the case of an emergency requiring immediate action in the interest of safety, the filing of the petition stays the notice pending a decision by the Administrator.
In order to conduct an ETOPS flight using a two-engine airplane, each certificate holder must develop and comply with the ETOPS continuous airworthiness maintenance program, as authorized in the certificate holder's operations specifications, for each airplane-engine combination used in ETOPS. The certificate holder must develop this ETOPS CAMP by supplementing the manufacturer's maintenance program or the CAMP currently approved for the certificate holder. This ETOPS CAMP must include the following elements:
(a) ETOPS maintenance document. The certificate holder must have an ETOPS maintenance document for use by each person involved in ETOPS.
(1) The document must—
(i) List each ETOPS significant system,
(ii) Refer to or include all of the ETOPS maintenance elements in this section,
(iii) Refer to or include all supportive programs and procedures,
(iv) Refer to or include all duties and responsibilities, and
(v) Clearly state where referenced material is located in the certificate holder's document system.
(b) ETOPS pre-departure service check. Except as provided in Appendix P of this part, the certificate holder must develop a pre-departure check tailored to their specific operation.
(1) The certificate holder must complete a pre-departure service check immediately before each ETOPS flight.
(2) At a minimum, this check must—
(i) Verify the condition of all ETOPS Significant Systems;
(ii) Verify the overall status of the airplane by reviewing applicable maintenance records; and
(iii) Include an interior and exterior inspection to include a determination of engine and APU oil levels and consumption rates.
(3) An appropriately trained maintenance person, who is ETOPS qualified, must accomplish and certify by signature ETOPS specific tasks. Before an ETOPS flight may commence, an ETOPS pre-departure service check (PDSC) Signatory Person, who has been authorized by the certificate holder, must certify by signature, that the ETOPS PDSC has been completed.
(4) For the purposes of this paragraph (b) only, the following definitions apply:
(i) ETOPS qualified person: A person is ETOPS qualified when that person satisfactorily completes the operator's ETOPS training program and is authorized by the certificate holder.
(ii) ETOPS PDSC Signatory Person: A person is an ETOPS PDSC Signatory Person when that person is ETOPS qualified and that person:
(A) When certifying the completion of the ETOPS PDSC in the United States:
(1) Works for an operator authorized to engage in part 121 operation or works for a part 145 repair station; and
(2) Holds a U.S. Mechanic's Certificate with airframe and powerplant ratings.
(B) When certifying the completion of the ETOPS PDSC outside of the U.S. holds a certificate in accordance with § 43.17(c)(1) of this chapter; or
(C) When certifying the completion of the ETOPS PDSC outside the U.S. holds the certificates needed or has the requisite experience or training to return aircraft to service on behalf of an ETOPS maintenance entity.
(iii) ETOPS maintenance entity: An entity authorized to perform ETOPS maintenance and complete ETOPS PDSC and that entity is:
(A) Certificated to engage in part 121 operations;
(B) Repair station certificated under part 145 of this chapter; or
(C) Entity authorized pursuant to § 43.17(c)(2) of this chapter.
(c) Limitations on dual maintenance. (1) Except as specified in paragraph (c)(2), the certificate holder may not perform scheduled or unscheduled dual maintenance during the same maintenance visit on the same or a substantially similar ETOPS Significant System listed in the ETOPS maintenance document, if the improper maintenance could result in the failure of an ETOPS Significant System.
(2) In the event dual maintenance as defined in paragraph (c)(1) of this section cannot be avoided, the certificate holder may perform maintenance provided:
(i) The maintenance action on each affected ETOPS Significant System is performed by a different technician, or
(ii) The maintenance action on each affected ETOPS Significant System is performed by the same technician under the direct supervision of a second qualified individual; and
(iii) For either paragraph (c)(2)(i) or (ii) of this section, a qualified individual conducts a ground verification test and any in-flight verification test required under the program developed pursuant to paragraph (d) of this section.
(d) Verification program. The certificate holder must develop and maintain a program for the resolution of discrepancies that will ensure the effectiveness of maintenance actions taken on ETOPS Significant Systems. The verification program must identify potential problems and verify satisfactory corrective action. The verification program must include ground verification and in-flight verification policy and procedures. The certificate holder must establish procedures to indicate clearly who is going to initiate the verification action and what action is necessary. The verification action may be performed on an ETOPS revenue flight provided the verification action is documented as satisfactorily completed upon reaching the ETOPS Entry Point.
(e) Task identification. The certificate holder must identify all ETOPS-specific tasks. An appropriately trained mechanic who is ETOPS qualified must accomplish and certify by signature that the ETOPS-specific task has been completed.
(f) Centralized maintenance control procedures. The certificate holder must develop and maintain procedures for centralized maintenance control for ETOPS.
(g) Parts control program. The certificate holder must develop an ETOPS parts control program to ensure the proper identification of parts used to maintain the configuration of airplanes used in ETOPS.
(h) Reliability program. The certificate holder must have an ETOPS reliability program. This program must be the certificate holder's existing reliability program or its Continuing Analysis and Surveillance System (CASS) supplemented for ETOPS. This program must be event-oriented and include procedures to report the events listed below, as follows:
(1) The certificate holder must report the following events within 96 hours of the occurrence to its responsible Flight Standards office:
(i) IFSDs, except planned IFSDs performed for flight training.
(ii) Diversions and turnbacks for failures, malfunctions, or defects associated with any airplane or engine system.
(iii) Uncommanded power or thrust changes or surges.
(iv) Inability to control the engine or obtain desired power or thrust.
(v) Inadvertent fuel loss or unavailability, or uncorrectable fuel imbalance in flight.
(vi) Failures, malfunctions or defects associated with ETOPS Significant Systems.
(vii) Any event that would jeopardize the safe flight and landing of the airplane on an ETOPS flight.
(2) The certificate holder must investigate the cause of each event listed in paragraph (h)(1) of this section and submit findings and a description of corrective action to its responsible Flight Standards office. The report must include the information specified in § 121.703(e). The corrective action must be acceptable to its responsible Flight Standards office.
(i) Propulsion system monitoring. (1) If the IFSD rate (computed on a 12-month rolling average) for an engine installed as part of an airplane-engine combination exceeds the following values, the certificate holder must do a comprehensive review of its operations to identify any common cause effects and systemic errors. The IFSD rate must be computed using all engines of that type in the certificate holder's entire fleet of airplanes approved for ETOPS.
(i) A rate of 0.05 per 1,000 engine hours for ETOPS up to and including 120 minutes.
(ii) A rate of 0.03 per 1,000 engine hours for ETOPS beyond 120-minutes up to and including 207 minutes in the North Pacific Area of Operation and up to and including 180 minutes elsewhere.
(iii) A rate of 0.02 per 1,000 engine hours for ETOPS beyond 207 minutes in the North Pacific Area of Operation and beyond 180 minutes elsewhere.
(2) Within 30 days of exceeding the rates above, the certificate holder must submit a report of investigation and any necessary corrective action taken to its responsible Flight Standards office.
(j) Engine condition monitoring. (1) The certificate holder must have an engine condition monitoring program to detect deterioration at an early stage and to allow for corrective action before safe operation is affected.
(2) This program must describe the parameters to be monitored, the method of data collection, the method of analyzing data, and the process for taking corrective action.
(3) The program must ensure that engine-limit margins are maintained so that a prolonged engine-inoperative diversion may be conducted at approved power levels and in all expected environmental conditions without exceeding approved engine limits. This includes approved limits for items such as rotor speeds and exhaust gas temperatures.
(k) Oil-consumption monitoring. The certificate holder must have an engine oil consumption monitoring program to ensure that there is enough oil to complete each ETOPS flight. APU oil consumption must be included if an APU is required for ETOPS. The operator's oil consumption limit may not exceed the manufacturer's recommendation. Monitoring must be continuous and include oil added at each ETOPS departure point. The program must compare the amount of oil added at each ETOPS departure point with the running average consumption to identify sudden increases.
(l) APU in-flight start program. If the airplane type certificate requires an APU but does not require the APU to run during the ETOPS portion of the flight, the certificate holder must develop and maintain a program acceptable to the FAA for cold soak in-flight start-and-run reliability.
(m) Maintenance training. For each airplane-engine combination, the certificate holder must develop a maintenance training program that provides training adequate to support ETOPS. It must include ETOPS specific training for all persons involved in ETOPS maintenance that focuses on the special nature of ETOPS. This training must be in addition to the operator's maintenance training program used to qualify individuals to perform work on specific airplanes and engines.
(n) Configuration, maintenance, and procedures (CMP) document. If an airplane-engine combination has a CMP document, the certificate holder must use a system that ensures compliance with the applicable FAA-approved document.
(o) Procedural changes. Each substantial change to the maintenance or training procedures that were used to qualify the certificate holder for ETOPS, must be submitted to the CHDO for review. The certificate holder cannot implement a change until its responsible Flight Standards office notifies the certificate holder that the review is complete.
Each certificate holder or person performing maintenance or preventive maintenance functions for it shall have a training program to ensure that each person (including inspection personnel) who determines the adequacy of work done is fully informed about procedures and techniques and new equipment in use and is competent to perform his duties.
Within the United States, each certificate holder (or person performing maintenance or preventive maintenance functions for it) shall relieve each person performing maintenance or preventive maintenance from duty for a period of at least 24 consecutive hours during any seven consecutive days, or the equivalent thereof within any one calendar month.
(a) Except for maintenance, preventive maintenance, alterations, and required inspections performed by a certificated repair station that is located outside the United States, each person who is directly in charge of maintenance, preventive maintenance, or alterations, and each person performing required inspections must hold an appropriate airman certificate.
(b) For the purposes of this section, a person directly in charge is each person assigned to a position in which he is responsible for the work of a shop or station that performs maintenance, preventive maintenance, alterations, or other functions affecting aircraft airworthiness. A person who is directly in charge need not physically observe and direct each worker constantly but must be available for consultation and decision on matters requiring instruction or decision from higher authority than that of the persons performing the work.
(a) A certificate holder may perform, or it may make arrangements with other persons to perform, maintenance, preventive maintenance, and alterations as provided in its continuous airworthiness maintenance program and its maintenance manual. In addition, a certificate holder may perform these functions for another certificate holder as provided in the continuous airworthiness maintenance program and maintenance manual of the other certificate holder.
(b) A certificate holder may approve any aircraft, airframe, aircraft engine, propeller, or appliance for return to service after maintenance, preventive maintenance, or alterations that are performed under paragraph (a) of this section. However, in the case of a major repair or major alteration, the work must have been done in accordance with technical data approved by the Administrator.
(a) Each certificate holder shall keep (using the system specified in the manual required in § 121.369) the following records for the periods specified in paragraph (c) of this section:
(1) All the records necessary to show that all requirements for the issuance of an airworthiness release under § 121.709 have been met.
(2) Records containing the following information:
(i) The total time in service of the airframe.
(ii) Except as provided in paragraph (b) of this section, the total time in service of each engine and propeller.
(iii) The current status of life-limited parts of each airframe, engine, propeller, and appliance.
(iv) The time since last overhaul of all items installed on the aircraft which are required to be overhauled on a specified time basis.
(v) The identification of the current inspection status of the aircraft, including the times since the last inspections required by the inspection program under which the aircraft and its appliances are maintained.
(vi) The current status of applicable airworthiness directives, including the date and methods of compliance, and, if the airworthiness directive involves recurring action, the time and date when the next action is required.
(vii) A list of current major alterations to each airframe, engine, propeller, and appliance.
(b) A certificate holder need not record the total time in service of an engine or propeller on a transport category cargo airplane, a transport category airplane that has a passenger seat configuration of more than 30 seats, or a nontransport category airplane type certificated before January 1, 1958, until the following, whichever occurs first:
(1) March 20, 1997; or
(2) The date of the first overhaul of the engine or propeller, as applicable, after January 19, 1996.
(c) Each certificate holder shall retain the records required to be kept by this section for the following periods:
(1) Except for the records of the last complete overhaul of each airframe, engine, propeller, and appliance, the records specified in paragraph (a)(1) of this section shall be retained until the work is repeated or superseded by other work or for one year after the work is performed.
(2) The records of the last complete overhaul of each airframe, engine, propeller, and appliance shall be retained until the work is superseded by work of equivalent scope and detail.
(3) The records specified in paragraph (a)(2) of this section shall be retained and transferred with the aircraft at the time the aircraft is sold.
(d) The certificate holder shall make all maintenance records required to be kept by this section available for inspection by the Administrator or any authorized representative of the National Transportation Safety Board (NTSB).
Each certificate holder who sells a U.S. registered aircraft shall transfer to the purchaser, at the time of sale, the following records of that aircraft, in plain language form or in coded form at the election of the purchaser, if the coded form provides for the preservation and retrieval of information in a manner acceptable to the Administrator:
(a) The record specified in § 121.380(a)(2).
(b) The records specified in § 121.380(a)(1) which are not included in the records covered by paragraph (a) of this section, except that the purchaser may permit the seller to keep physical custody of such records. However, custody of records in the seller does not relieve the purchaser of his responsibility under § 121.380(c) to make the records available for inspection by the Administrator or any authorized representative of the National Transportation Safety Board (NTSB).
This subpart prescribes airman and crewmember requirements for all certificate holders.
(a) No certificate holder may use any person as an airman nor may any person serve as an airman unless that person—
(1) Holds an appropriate current airman certificate issued by the FAA;
(2) Has in his or her possession while engaged in operations under this part—
(i) Any required appropriate current airman and medical certificates; or
(ii) A temporary document issued in accordance with paragraph (c) of this section; and
(3) Is otherwise qualified for the operation for which he is to be used.
(b) Each airman covered by paragraph (a)(2) of this section shall present his or her certificates or temporary document for inspection upon request of the Administrator.
(c) A certificate holder may obtain approval to provide a temporary document verifying a flightcrew member's airman certificate and medical certificate privileges under an approved certificate verification plan set forth in the certificate holder's operations specifications. A document provided by the certificate holder may be carried as an airman certificate or medical certificate on flights within the United States for up to 72 hours.
(d) No certificate holder may use the services of any person as a pilot on an airplane engaged in operations under this part if that person has reached his or her 65th birthday.
(e) No pilot may serve as a pilot in operations under this part if that person has reached his or her 65th birthday.
(a) No certificate holder may operate an airplane with less than the minimum flight crew in the airworthiness certificate or the airplane Flight Manual approved for that type airplane and required by this part for the kind of operation being conducted.
(b) In any case in which this part requires the performance of two or more functions for which an airman certificate is necessary, that requirement is not satisfied by the performance of multiple functions at the same time by one airman.
(c) The minimum pilot crew is two pilots and the certificate holder shall designate one pilot as pilot in command and the other second in command.
(d) On each flight requiring a flight engineer at least one flight crewmember, other than the flight engineer, must be qualified to provide emergency performance of the flight engineer's functions for the safe completion of the flight if the flight engineer becomes ill or is otherwise incapacitated. A pilot need not hold a flight engineer's certificate to perform the flight engineer's functions in such a situation.
No certificate holder may operate an airplane for which a type certificate was issued before January 2, 1964, having a maximum certificated takeoff weight of more than 80,000 pounds without a flight crewmember holding a current flight engineer certificate. For each airplane type certificated after January 1, 1964, the requirement for a flight engineer is determined under the type certification requirements of § 25.1523.
(a) No certificate holder may operate an airplane outside the 48 contiguous States and the District of Columbia, when its position cannot be reliably fixed for a period of more than 1 hour, without—
(1) A flight crewmember who holds a current flight navigator certificate; or
(2) Specialized means of navigation approved in accordance with § 121.355 which enables a reliable determination to be made of the position of the airplane by each pilot seated at his duty station.
(b) Notwithstanding paragraph (a) of this section, the Administrator may also require a flight navigator or special navigation equipment, or both, when specialized means of navigation are necessary for 1 hour or less. In making this determination, the Administrator considers—
(1) The speed of the airplane;
(2) Normal weather conditions en route;
(3) Extent of air traffic control;
(4) Traffic congestion;
(5) Area of navigational radio coverage at destination;
(6) Fuel requirements;
(7) Fuel available for return to point of departure or alternates;
(8) Predication of flight upon operation beyond the point of no return; and
(9) Any other factors he determines are relevant in the interest of safety.
(c) Operations where a flight navigator or special navigation equipment, or both, are required are specified in the operations specifications of the air carrier or commercial operator.
(a) Except as specified in § 121.393 and § 121.394, each certificate holder must provide at least the following flight attendants on board each passenger-carrying airplane when passengers are on board:
(1) For airplanes having a maximum payload capacity of more than 7,500 pounds and having a seating capacity of more than 9 but less than 51 passengers—one flight attendant.
(2) For airplanes having a maximum payload capacity of 7,500 pounds or less and having a seating capacity of more than 19 but less than 51 passengers—one flight attendant.
(3) For airplanes having a seating capacity of more than 50 but less than 101 passengers—two flight attendants.
(4) For airplanes having a seating capacity of more than 100 passengers—two flight attendants plus one additional flight attendant for each unit (or part of a unit) of 50 passenger seats above a seating capacity of 100 passengers.
(b) If, in conducting the emergency evacuation demonstration required under § 121.291 (a) or (b), the certificate holder used more flight attendants than is required under paragraph (a) of this section for the maximum seating capacity of the airplane used in the demonstration, he may not, thereafter, take off that airplane—
(1) In its maximum seating capacity configuration with fewer flight attendants than the number used during the emergency evacuation demonstration; or
(2) In any reduced seating capacity configuration with fewer flight attendants than the number required by paragraph (a) of this section for that seating capacity plus the number of flight attendants used during the emergency evacuation demonstration that were in excess of those required under paragraph (a) of this section.
(c) The number of flight attendants approved under paragraphs (a) and (b) of this section are set forth in the certificate holder's operations specifications.
(d) During takeoff and landing, flight attendants required by this section shall be located as near as practicable to required floor level exits and shall be uniformly distributed throughout the airplane in order to provide the most effective egress of passengers in event of an emergency evacuation. During taxi, flight attendants required by this section must remain at their duty stations with safety belts and shoulder harnesses fastened except to perform duties related to the safety of the airplane and its occupants.
(a) Any person identified by the certificate holder as a flight attendant on an aircraft in operations under this part must be trained and qualified in accordance with subparts N and O of this part. This includes:
(1) Flight attendants provided by the certificate holder in excess of the number required by § 121.391(a); and
(2) Flight attendants provided by the certificate holder when flight attendants are not required by § 121.391(a).
(b) A qualifying flight attendant who is receiving operating experience on an aircraft in operations under subpart O of this part must be identified to passengers as a qualifying flight attendant.
At stops where passengers remain on board, the certificate holder must meet the following requirements:
(a) On each airplane for which a flight attendant is not required by § 121.391(a), the certificate holder must ensure that a person who is qualified in the emergency evacuation procedures for the airplane, as required in § 121.417, and who is identified to the passengers, remains:
(1) On board the airplane; or
(2) Nearby the airplane, in a position to adequately monitor passenger safety, and:
(i) The airplane engines are shut down; and
(ii) At least one floor level exit remains open to provide for the deplaning of passengers.
(b) On each airplane for which flight attendants are required by § 121.391(a), but the number of flight attendants remaining on board is fewer than required by § 121.391(a), the certificate holder must meet the following requirements:
(1) The certificate holder shall ensure that:
(i) The airplane engines are shut down;
(ii) At least one floor level exit remains open to provide for the deplaning of passengers; and
(iii) the number of flight attendants on board is at least half the number required by § 121.391(a), rounded down to the next lower number in the case of fractions, but never fewer than one.
(2) The certificate holder may substitute for the required flight attendants other persons qualified in the emergency evacuation procedures for that aircraft as required in § 121.417, if these persons are identified to the passengers.
(3) If only one flight attendant or other qualified person is on board during a stop, that flight attendant or other qualified person shall be located in accordance with the certificate holder's FAA-approved operating procedures. If more than one flight attendant or other qualified person is on board, the flight attendants or other qualified persons shall be spaced throughout the cabin to provide the most effective assistance for the evacuation in case of an emergency.
(a) During passenger boarding, on each airplane for which more than one flight attendant is required by § 121.391, the certificate holder may:
(1) Reduce the number of required flight attendants by one, provided that:
(i) The flight attendant that leaves the aircraft remains within the immediate vicinity of the door through which passengers are boarding;
(ii) The flight attendant that leaves the aircraft only conducts safety duties related to the flight being boarded;
(iii) The airplane engines are shut down; and
(iv) At least one floor level exit remains open to provide for passenger egress; or
(2) Substitute a pilot or flight engineer employed by the certificate holder and trained and qualified on that type airplane for one flight attendant, provided the certificate holder—
(i) Describes in the manual required by § 121.133:
(A) The necessary functions to be performed by the substitute pilot or flight engineer in an emergency, to include a situation requiring an emergency evacuation. The certificate holder must show those functions are realistic, can be practically accomplished, and will meet any reasonably anticipated emergency; and
(B) How other regulatory functions performed by a flight attendant will be accomplished by the substitute pilot or flight engineer on the airplane.
(ii) Ensures that the following requirements are met:
(A) The substitute pilot or flight engineer is not assigned to operate the flight for which that person is substituting for a required flight attendant.
(B) The substitute pilot or flight engineer is trained in all assigned flight attendant duties regarding passenger handling.
(C) The substitute pilot or flight engineer meets the emergency training requirements for flight attendants in evacuation management and evacuation commands, as appropriate, and frequency of performance drills regarding operation of exits in the normal and emergency modes on that type aircraft.
(D) The substitute pilot or flight engineer is in possession of all items required for duty.
(E) The substitute pilot or flight engineer is located in the passenger cabin.
(F) The substitute pilot or flight engineer is identified to the passengers.
(G) The substitution of a pilot or flight engineer for a required flight attendant does not interfere with the safe operation of the flight.
(H) The airplane engines are shut down.
(I) At least one floor-level exit remains open to provide for passenger egress.
(b) During passenger deplaning, on each airplane for which more than one flight attendant is required by § 121.391, the certificate holder may reduce the number of flight attendants required by that paragraph provided:
(1) The airplane engines are shut down;
(2) At least one floor level exit remains open to provide for passenger egress; and
(3) The number of flight attendants on board is at least half the number required by § 121.391, rounded down to the next lower number in the case of fractions, but never fewer than one.
(c) If only one flight attendant is on the airplane during passenger boarding or deplaning, that flight attendant must be located in accordance with the certificate holder's FAA-approved operating procedures. If more than one flight attendant is on the airplane during passenger boarding or deplaning, the flight attendants must be evenly distributed throughout the airplane cabin, in the vicinity of the floor-level exits, to provide the most effective assistance in the event of an emergency.
(d) The time spent by any crewmember conducting passenger boarding or deplaning duties is considered duty time.
Each certificate holder conducting domestic or flag operations shall provide enough qualified aircraft dispatchers at each dispatch center to ensure proper operational control of each flight.
(a) Each certificate holder shall, for each type and model of airplane, assigned to each category of required crewmember, as appropriate, the necessary functions to be performed in an emergency or a situation requiring emergency evacuation. The certificate holder shall show those functions are realistic, can be practically accomplished, and will meet any reasonably anticipated emergency including the possible incapacitation of individual crewmembers or their inability to reach the passenger cabin because of shifting cargo in combination cargo-passenger airplanes.
(b) The certificate holder shall describe in its manual the functions of each category of required crewmembers under paragraph (a) of this section.
(a) This subpart prescribes the requirements applicable to each certificate holder for establishing and maintaining a training program for crewmembers, aircraft dispatchers, and other operations personnel, and for the approval and use of flight simulation training devices and training equipment in the conduct of the program.
(b) For the purpose of this subpart, airplane groups are as follows:
(1) Group I. Propeller driven, including—
(i) Reciprocating powered; and
(ii) Turbopropeller powered.
(2) Group II. Turbojet powered.
(c) For the purpose of this subpart, the following terms and definitions apply:
(1) Initial training. The training required for crewmembers and dispatchers who have not qualified and served in the same capacity on another airplane of the same group.
(2) Transition training. The training required for crewmembers and dispatchers who have qualified and served in the same capacity on another airplane of the same group.
(3) Upgrade training. The training required for flightcrew members who have qualified and served as second in command on a particular airplane type, before they serve as pilot in command on that airplane.
(4) Conversion training. The training required for flightcrew members who have qualified and served as flight engineer on a particular airplane type, before they serve as second in command on that airplane.
(5) Differences training. The training required for crewmembers and dispatchers who have qualified and served on a particular type airplane, when the Administrator finds differences training is necessary before a crewmember serves in the same capacity on a particular variation of that airplane.
(6) Programmed hours. The hours of training prescribed in this subpart which may be reduced by the Administrator upon a showing by the certificate holder that circumstances justify a lesser amount.
(7) Inflight. Refers to maneuvers, procedures, or functions that must be conducted in the airplane.
(8) Training center. An organization governed by the applicable requirements of part 142 of this chapter that provides training, testing, and checking under contract or other arrangement to certificate holders subject to the requirements of this part.
(9) Requalification training. The training required for crewmembers previously trained and qualified, but who have become unqualified due to not having met within the required period the recurrent training requirements of § 121.427 or the proficiency check requirements of § 121.441.
(10) Related aircraft. Any two or more aircraft of the same make with either the same or different type certificates that have been demonstrated and determined by the Administrator to have commonality to the extent that credit between those aircraft may be applied for flightcrew member training, checking, recent experience, operating experience, operating cycles, and line operating flight time for consolidation of knowledge and skills.
(11) Related aircraft differences training. The flightcrew member training required for aircraft with different type certificates that have been designated as related by the Administrator.
(12) Base aircraft. An aircraft identified by a certificate holder for use as a reference to compare differences with another aircraft.
(a) Each certificate holder shall:
(1) Establish and implement a training program that satisfies the requirements of this subpart and appendices E and F of this part and that ensures that each crewmember, aircraft dispatcher, flight instructor, check pilot, and check flight engineer is adequately trained to perform his or her assigned duties. Prior to implementation, the certificate holder must obtain initial and final FAA approval of the training program.
(2) Provide adequate ground and flight training facilities and properly qualified ground instructors for the training required by this subpart;
(3) Provide and keep current with respect to each airplane type and, if applicable, the particular variations within that airplane type, appropriate training material, examinations, forms, instructions, and procedures for use in conducting the training and checks required by this part; and
(4) Provide enough flight instructors and approved check pilots and check flight engineers to conduct the flight training and checks required under this part.
(b) Whenever a crewmember or aircraft dispatcher who is required to take recurrent training, a flight check, or a competence check, takes the check or completes the training in the calendar month before or after the calendar month in which that training or check is required, he is considered to have taken or completed it in the calendar month in which it was required.
(c) Each instructor, supervisor, check pilot, or check flight engineer who is responsible for a particular ground training subject, segment of flight training, course of training, flight check, or competence check under this part shall certify as to the proficiency and knowledge of the crewmember, aircraft dispatcher, flight instructor, check pilot, or check flight engineer concerned upon completion of that training or check. That certification shall be made a part of the crewmember's or dispatcher's record. When the certification required by this paragraph is made by an entry in a computerized recordkeeping system, the certifying instructor, supervisor, check pilot, or check flight engineer must be identified with that entry. However, the signature of the certifying instructor, supervisor, check pilot, or check flight engineer is not required for computerized entries.
(d) Training subjects that are applicable to more than one airplane or crewmember position and that have been satisfactorily completed in connection with prior training for another airplane or another crewmember position, need not be repeated during subsequent training other than recurrent training.
(e) A person who progresses successfully through flight training; is recommended by his instructor, check pilot, or check flight engineer; and successfully completes the appropriate flight check for a check pilot, check flight engineer, or the Administrator need not complete the programmed hours of flight training for the particular airplane. However, whenever the Administrator finds that 20 percent of the flight checks given at a particular training base during the previous 6 months under this paragraph are unsuccessful, this paragraph may not be used by the certificate holder at that base until the Administrator finds that the effectiveness of the flight training there has improved.
(a) Other than the certificate holder, only another certificate holder certificated under this part or a flight training center certificated under part 142 of this chapter is eligible under this subpart to provide flight training, testing, and checking under contract or other arrangement to those persons subject to the requirements of this subpart.
(b) A certificate holder may contract with, or otherwise arrange to use the services of, a training center certificated under part 142 of this chapter to provide training, testing, and checking required by this part only if the training center—
(1) Holds applicable training specifications issued under part 142 of this chapter;
(2) Has facilities, training equipment, and courseware meeting the applicable requirements of part 142 of this chapter;
(3) Has approved curriculums, curriculum segments, and portions of curriculum segments applicable for use in training courses required by this subpart; and
(4) Has sufficient instructors, check pilots, and check flight engineers qualified under the applicable requirements of §§ 121.411 or 121.412 to provide training, testing, and checking to persons subject to the requirements of this subpart.
(a) Each certificate holder must prepare and keep current a written training program curriculum for each type of airplane with respect to dispatchers and each crewmember required for that type airplane. The curriculum must include ground and flight training required by this subpart.
(b) Each training program curriculum must include:
(1) A list of principal ground training subjects, including emergency training subjects, that are provided.
(2) A list of all the training equipment approved under § 121.408 as well as other training aids that the certificate holder will use.
(3) Detailed descriptions or pictorial displays of the approved normal, abnormal, and emergency maneuvers, procedures and functions that will be performed during each flight training phase or flight check, indicating those maneuvers, procedures and functions that are to be performed during the inflight portions of flight training and flight checks.
(4) A list of FSTDs approved under § 121.407, including approvals for particular maneuvers, procedures, or functions.
(5) The programmed hours of training that will be applied to each phase of training.
(6) A copy of each statement issued by the Administrator under § 121.405(d) for reduction of programmed hours of training.
No certificate holder may use a person as a flightcrew member, flight attendant, or aircraft dispatcher unless that person has completed approved crew resource management (CRM) or dispatcher resource management (DRM) initial training, as applicable, with that certificate holder or with another certificate holder.
(a) To obtain initial and final approval of a training program, or a revision to an approved training program, each certificate holder must submit to the Administrator—
(1) An outline of the proposed program or revision, including an outline of the proposed or revised curriculum, that provides enough information for a preliminary evaluation of the proposed training program or revised training program; and
(2) Additional relevant information as may be requested by the Administrator.
(b) If the proposed training program or revision complies with this subpart the Administrator grants initial approval in writing after which the certificate holder may conduct the training in accordance with that program. The Administrator then evaluates the effectiveness of the training program and advises the certificate holder of deficiencies, if any, that must be corrected.
(c) The Administrator grants final approval of the training program or revision if the certificate holder shows that the training conducted under the initial approval set forth in paragraph (b) of this section ensures that each person that successfully completes the training is adequately trained to perform his assigned duties.
(d) In granting initial and final approval of training programs or revisions, including reductions in programmed hours specified in this subpart, the Administrator considers the training aids, devices, methods, and procedures listed in the certificate holder's curriculum as set forth in § 121.403 that increase the quality and effectiveness of the teaching-learning process.
(e) Whenever the Administrator finds that revisions are necessary for the continued adequacy of a training program that has been granted final approval, the certificate holder shall, after notification by the Administrator, make any changes in the program that are found necessary by the Administrator. Within 30 days after the certificate holder receives such notice, it may file a petition to reconsider the notice with the responsible Flight Standards office. The filing of a petition to reconsider stays the notice pending a decision by the Administrator. However, if the Administrator finds that there is an emergency that requires immediate action in the interest of safety in air transportation, he may, upon a statement of the reasons, require a change effective without stay.
(f) Each certificate holder described in § 135.3 (b) and (c) of this chapter must include the material required by § 121.403 in the manual required by § 135.21 of this chapter.
(g) The Administrator may grant a deviation to certificate holders described in § 135.3 (b) and (c) of this chapter to allow reduced programmed hours of ground training required by § 121.419 if it is found that a reduction is warranted based on the certificate holder's operations and the complexity of the make, model, and series of the aircraft used.
(a) For flightcrew members, the Administrator may credit CRM training received before March 19, 1998 toward all or part of the initial ground CRM training required by § 121.419.
(b) For flight attendants, the Administrator may credit CRM training received before March 19, 1999 toward all or part of the initial ground CRM training required by § 121.421.
(c) For aircraft dispatchers, the Administrator may credit CRM training received before March 19, 1999 toward all or part of the initial ground CRM training required by § 121.422.
(d) In granting credit for initial ground CRM or DRM training, the Administrator considers training aids, devices, methods, and procedures used by the certificate holder in a voluntary CRM or DRM program or in an AQP program that effectively meets the quality of an approved CRM or DRM initial ground training program under section 121.419, 121.421, or 121.422 as appropriate.
(a) Each FSTD used to satisfy a training requirement of this part in an approved training program, must meet all of the following requirements:
(1) Be specifically approved by the Administrator for—
(i) Use in the certificate holder's approved training program;
(ii) The type airplane and, if applicable, the particular variation within type, for which the training or check is being conducted; and
(iii) The particular maneuver, procedure, or flightcrew member function involved.
(2) Maintain the performance, function, and other characteristics that are required for qualification in accordance with part 60 of this chapter or a previously qualified device, as permitted in accordance with § 60.17 of this chapter.
(3) Be modified in accordance with part 60 of this chapter to conform with any modification to the airplane being simulated that results in changes to performance, function, or other characteristics required for qualification.
(4) Be given a daily functional preflight check before being used.
(5) Have a daily discrepancy log kept with each discrepancy entered in that log by the appropriate instructor, check pilot, or check flight engineer at the end of each training or check flight.
(b) A particular FSTD may be approved for use by more than one certificate holder.
(c) A Level B or higher FFS may be used instead of the airplane to satisfy the inflight requirements of §§ 121.439 and 121.441 and appendices E and F of this part, if the FFS—
(1) Is approved under this section and meets the appropriate FFS requirements of appendix H of this part; and
(2) Is used as part of an approved program that meets the training requirements of §§ 121.424 (a) and (c), 121.426, and appendix H of this part.
(d) An FFS approved under this section must be used instead of the airplane to satisfy the pilot flight training requirements prescribed in the certificate holder's approved low-altitude windshear flight training program set forth in § 121.409(d) of this part.
(e) An FFS approved under this section must be used instead of the airplane to satisfy the pilot flight training requirements prescribed in the extended envelope training set forth in § 121.423 of this part.
(a) The Administrator must approve training equipment used in a training program approved under this part and that functionally replicates aircraft equipment for the certificate holder and the crewmember duty or procedure. Training equipment does not include FSTDs qualified under part 60 of this chapter.
(b) The certificate holder must demonstrate that the training equipment described in paragraph (a) of this section, used to meet the training requirements of this subpart, meets all of the following:
(1) The form, fit, function, and weight, as appropriate, of the aircraft equipment.
(2) Replicates the normal operation (and abnormal and emergency operation, if appropriate) of the aircraft equipment including the following:
(i) The required force, actions and travel of the aircraft equipment.
(ii) Variations in aircraft equipment operated by the certificate holder, if applicable.
(3) Replicates the operation of the aircraft equipment under adverse conditions, if appropriate.
(c) Training equipment must be modified to ensure that it maintains the performance and function of the aircraft type or aircraft equipment replicated.
(d) All training equipment must have a record of discrepancies. The documenting system must be readily available for review by each instructor, check pilot, check flight engineer, or supervisor prior to conducting training or checking with that equipment.
(1) Each instructor, check pilot, check flight engineer or supervisor conducting training or checking, and each person conducting an inspection of the equipment who discovers a discrepancy, including any missing, malfunctioning, or inoperative components, must record a description of that discrepancy and the date that the discrepancy was identified.
(2) All corrections to discrepancies must be recorded when the corrections are made. This record must include the date of the correction.
(3) A record of a discrepancy must be maintained for at least 60 days.
(e) No person may use, allow the use of, or offer the use of training equipment with a missing, malfunctioning, or inoperative component to meet the crewmember training or checking requirements of this chapter for tasks that require the use of the correctly operating component.
(a) Training courses utilizing FSTDs may be included in the certificate holder's approved training program for use as provided in this section.
(b) Except for the airline transport pilot certification training program approved to satisfy the requirements of § 61.156 of this chapter, a course of training in an FFS may be included for use as provided in § 121.441 if that course—
(1) Provides at least 4 hours of training at the pilot controls of an FFS as well as a proper briefing before and after the training.
(2) Provides training in at least the following:
(i) The procedures and maneuvers set forth in appendix F to this part; or
(ii) Line-oriented flight training (LOFT) that—
(A) Utilizes a complete flight crew;
(B) Includes at least the maneuvers and procedures (abnormal and emergency) that may be expected in line operations;
(C) Includes scenario-based or maneuver-based stall prevention training before, during or after the LOFT scenario for each pilot;
(D) Is representative of two flight segments appropriate to the operations being conducted by the certificate holder;
(E) Provides an opportunity to demonstrate workload management and pilot monitoring skills; and
(F) Provides an opportunity for each pilot in command to demonstrate leadership and command skills.
(3) Is given by an instructor who meets the applicable requirements of § 121.412.
(c) The programmed hours of flight training set forth in this subpart do not apply if the training program for the airplane type includes—
(1) A course of pilot training in an FFS as provided in § 121.424(e); or
(2) A course of flight engineer training in an FSTD as provided in § 121.425(d).
(d) Each certificate holder required to comply with § 121.358 of this part must use an approved FFS for each airplane type in each of its pilot training courses that provides training in at least the procedures and maneuvers set forth in the certificate holder's approved low-altitude windshear flight training program. The approved low-altitude windshear flight training, if applicable, must be included in each of the pilot flight training courses prescribed in §§ 121.409(b), 121.418, 121.424, 121.426, and 121.427 of this part.
(a) A certificate holder may obtain approval to establish and implement a training program to satisfy the requirements of § 61.156 of this chapter. The training program must be separate from the air carrier training program required by this part.
(b) No certificate holder may use a person nor may any person serve as an instructor in a training program approved to meet the requirements of § 61.156 of this chapter unless the instructor:
(1) Holds an airline transport pilot certificate with an airplane category multiengine class rating;
(2) Has at least 2 years of experience as a pilot in command in operations conducted under § 91.1053(a)(2)(i) or § 135.243(a)(1) of this chapter, or as a pilot in command or second in command in any operation conducted under this part;
(3) Except for the holder of a flight instructor certificate, receives initial training on the following topics:
(i) The fundamental principles of the learning process;
(ii) Elements of effective teaching, instruction methods, and techniques;
(iii) Instructor duties, privileges, responsibilities, and limitations;
(iv) Training policies and procedures; and
(v) Evaluation.
(4) If providing training in a flight simulation training device, hold an aircraft type rating for the aircraft represented by the flight simulation training device utilized in the training program and have received training within the preceding 12 months from the certificate holder on:
(i) Proper operation of flight simulator and flight training device controls and systems;
(ii) Proper operation of environmental and fault panels;
(iii) Data and motion limitations of simulation;
(iv) Minimum equipment requirements for each curriculum; and
(v) The maneuvers that will be demonstrated in the flight simulation training device.
(c) A certificate holder may not issue a graduation certificate to a student unless that student has completed all the curriculum requirements of the course.
(d) A certificate holder must conduct evaluations to ensure that training techniques, procedures, and standards are acceptable to the Administrator.
(a) For the purposes of this part:
(1) A check pilot (airplane) or check flight engineer (airplane) is a person who is qualified, and permitted, to conduct flight checks or instruction in an airplane for a particular type airplane.
(2) A check pilot (FSTD) or check flight engineer (FSTD) is a person who is qualified to conduct flight checks or instruction-only in an FSTD for a particular type airplane.
(3) Check pilots and check flight engineers are those persons who perform the functions described in § 121.401(a)(4).
(b) No certificate holder may use a person, nor may any person serve as a check pilot or check flight engineer in a training program established under this subpart unless, with respect to the airplane type involved, that person—
(1) Holds the pilot certificates and ratings required to serve as a pilot in command or a flight engineer certificate, as applicable, in operations under this part;
(2) Has satisfactorily completed the appropriate training phases for the airplane, including recurrent training, that are required to serve as a pilot in command or flight engineer, as applicable, in operations under this part;
(3) Has satisfactorily completed the appropriate proficiency or flight checks that are required to serve as a pilot in command or flight engineer, as applicable, in operations under this part;
(4) Has satisfactorily completed the applicable training requirements of § 121.413; and
(5) Has been approved by the Administrator for the check pilot or check flight engineer duties involved.
(c) Completion of the requirements in paragraphs (b)(2), (3), and (4) of this section, as applicable, shall be entered in the individual's training record maintained by the certificate holder.
(d) A check pilot (FSTD) and check flight engineer (FSTD) must accomplish the following—
(1) Fly at least two flight segments as a required crewmember for the type airplane involved within the 12-month period preceding the performance of any check pilot or check flight engineer duty in an FSTD; or
(2) Satisfactorily complete an approved line-observation program within the period prescribed by that program and that must precede the performance of any check pilot or check flight engineer duty in an FSTD.
(e) The flight segments or line-observation program required in paragraph (d) of this section are considered to be completed in the month required if completed in the calendar month before or in the calendar month after the month in which it is due.
(f) A person who serves as a required flightcrew member while performing check pilot or check flight engineer duties must also meet the requirements of this chapter for the duty position in which they are serving.
(a) For the purposes of this part:
(1) A flight instructor (airplane) is a person who is qualified to instruct in an airplane for a particular type airplane.
(2) A flight instructor (FSTD) is a person who is qualified to instruct only in an FSTD for a particular type airplane.
(3) Flight instructors are those instructors who perform the functions described in § 121.401(a)(4).
(b) No certificate holder may use a person nor may any person serve as a flight instructor in a training program established under this subpart unless, with respect to the airplane type involved, that person—
(1) Holds the pilot certificates and rating required to serve as a pilot in command or a flight engineer certificate, as applicable, in operations under this part;
(2) Has satisfactorily completed the appropriate training phases for the airplane, including recurrent training, that are required to serve as a pilot in command or flight engineer, as applicable, in operations under this part;
(3) Has satisfactorily completed the appropriate proficiency or flight checks that are required to serve as a pilot in command or flight engineer, as applicable, in operations under this part;
(4) Has satisfactorily completed the applicable training requirements of § 121.414.
(c) Completion of the requirements in paragraphs (b) (2), (3), and (4) of this section, as applicable, shall be entered in the individual's training record maintained by the certificate holder.
(d) A flight instructor (FSTD) must accomplish the following—
(1) Fly at least two flight segments as a required crewmember for the type of airplane within the 12-month period preceding the performance of any flight instructor duty in an FSTD; or
(2) Satisfactorily complete an approved line-observation program within the period prescribed by that program preceding the performance of any flight instructor duty in an FSTD.
(e) The flight segments or line-observation program required in paragraph (d) of this section is considered completed in the month required if completed in the calendar month before, or the calendar month after the month in which it is due.
(f) A person who serves as a required flightcrew member while performing flight instructor duties must also meet the requirements of this chapter for the duty position in which they are serving.
(a) No certificate holder may use a person nor may any person serve as a check pilot or check flight engineer unless—
(1) That person has satisfactorily completed initial or transition check pilot or check flight engineer training, as applicable; and
(2) Within the preceding 24 calendar months, that person satisfactorily conducts a check or supervises operating experience under the observation of an FAA inspector or an aircrew designated examiner employed by the operator. The observation check may be accomplished in part or in full in an airplane and in an FSTD.
(b) The observation check required by paragraph (a)(2) of this section is considered to have been completed in the month required if completed in the calendar month before, or the calendar month after, the month in which it is due.
(c) The initial ground training for check pilots or check flight engineers must include the following, as applicable:
(1) Check pilot or check flight engineer duties, functions, and responsibilities.
(2) The applicable Code of Federal Regulations and the certificate holder's policies and procedures.
(3) The appropriate methods, procedures, and techniques for conducting the required checks.
(4) Proper evaluation of student performance, including the detection of—
(i) Improper and insufficient training; and
(ii) Personal characteristics of an applicant that could adversely affect safety.
(5) The appropriate corrective action in the case of unsatisfactory checks.
(6) The approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures in the airplane.
(7) For check pilots or check flight engineers who conduct training or checking in an FSTD, the following subjects specific to the device(s) for the airplane type:
(i) Proper operation of the controls and systems;
(ii) Proper operation of environmental and fault panels;
(iii) Data and motion limitations of simulation; and
(iv) The minimum airplane simulator equipment required by this part or part 60 of this chapter for each maneuver and procedure completed in an FSTD.
(d) The transition ground training for check pilots or check flight engineers must include the following:
(1) The approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures applicable to the airplane to which the check pilot or check flight engineer is transitioning.
(2) For check pilots or check flight engineers who conduct training or checking in an FSTD, the following subjects specific to the device(s) for the airplane type to which the check pilot or check flight engineer is transitioning:
(i) Proper operation of the controls and systems;
(ii) Proper operation of environmental and fault panels;
(iii) Data and motion limitations of simulation; and
(iv) The minimum airplane simulator equipment required by this part or part 60 of this chapter for each maneuver and procedure completed in an FSTD.
(e) The initial and transition flight training for check pilots (airplane) and check flight engineers (airplane) must include the following:
(1) The safety measures for emergency situations that are likely to develop during a check.
(2) The potential results of improper, untimely, or non-execution of safety measures during a check.
(3) For check pilots (airplane)—
(i) Training and practice in conducting flight checks from the left and right pilot seats in the required normal, abnormal, and emergency procedures to ensure competence to conduct the pilot flight checks required by this part; and
(ii) The safety measures to be taken from either pilot seat for emergency situations that are likely to develop during a check.
(4) For check flight engineers (airplane), training to ensure competence to perform assigned duties.
(f) The requirements of paragraph (e) of this section may be accomplished in full or in part inflight and in an FSTD, as appropriate.
(g) The initial and transition flight training for check pilots or check flight engineers who conduct training or checking in an FSTD must include the following:
(1) Training and practice in conducting flight checks in the required normal, abnormal, and emergency procedures to ensure competence to conduct the flight checks required by this part. This training and practice must be accomplished in an FSTD.
(2) Training in the operation of FSTDs to ensure competence to conduct the flight checks required by this part.
(h) Recurrent ground training for check pilots or check flight engineers who conduct training or checking in an FSTD must be completed every 12 calendar months and must include the subjects required in paragraph (c)(7) of this section.
(a) No certificate holder may use a person nor may any person serve as a flight instructor unless—
(1) That person has satisfactorily completed initial or transition flight instructor training; and
(2) Within the preceding 24 calendar months, that person satisfactorily conducts instruction under the observation of an FAA inspector, an operator check pilot, a check flight engineer, or an aircrew designated examiner employed by the operator, as appropriate. The observation check may be accomplished in part or in full in an airplane and an FSTD.
(b) The observation check required by paragraph (a)(2) of this section is considered to have been completed in the month required if completed in the calendar month before, or the calendar month after, the month in which it is due.
(c) The initial ground training for flight instructors must include the following:
(1) Flight instructor duties, functions, and responsibilities.
(2) The applicable Code of Federal Regulations and the certificate holder's policies and procedures.
(3) The appropriate methods, procedures, and techniques for conducting flight instruction.
(4) Proper evaluation of student performance including the detection of—
(i) Improper and insufficient training; and
(ii) Personal characteristics of an applicant that could adversely affect safety.
(5) The corrective action in the case of unsatisfactory training progress.
(6) The approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures in the airplane.
(7) Except for holders of a flight instructor certificate—
(i) The fundamental principles of the teaching-learning process;
(ii) Teaching methods and procedures; and
(iii) The instructor-student relationship.
(8) For flight instructors who conduct training in an FSTD, the following subjects specific to the device(s) for the airplane type:
(i) Proper operation of the controls and systems;
(ii) Proper operation of environmental and fault panels;
(iii) Data and motion limitations of simulation; and
(iv) The minimum airplane simulator equipment required by this part 121 or part 60 of this chapter for each maneuver and procedure completed in an FSTD.
(d) The transition ground training for flight instructors must include the following:
(1) The approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures applicable to the airplane to which the flight instructor is transitioning.
(2) For flight instructors who conduct training in an FSTD, the following subjects specific to the device(s) for the airplane type to which the flight instructor is transitioning:
(i) Proper operation of the controls and systems;
(ii) Proper operation of environmental and fault panels;
(iii) Data and motion limitations of simulation; and
(iv) The minimum airplane simulator equipment required by this part or part 60 of this chapter for each maneuver and procedure completed in an FSTD.
(e) The initial and transition flight training for flight instructors (airplane) must include the following:
(1) The safety measures for emergency situations that are likely to develop during instruction.
(2) The potential results of improper, untimely, or non-execution of safety measures during instruction.
(3) For pilot flight instructor (airplane)—
(i) Inflight training and practice in conducting flight instruction from the left and right pilot seats in the required normal, abnormal, and emergency procedures to ensure competence as an instructor; and
(ii) The safety measures to be taken from either pilot seat for emergency situations that are likely to develop during instruction.
(4) For flight engineer instructors (airplane), inflight training to ensure competence to perform assigned duties.
(f) The requirements of paragraph (e) of this section may be accomplished in full or in part inflight and in an FSTD, as appropriate.
(g) The initial and transition flight training for flight instructors who conduct training in an FSTD must include the following:
(1) Training and practice in the required normal, abnormal, and emergency procedures to ensure competence to conduct the flight instruction required by this part. This training and practice must be accomplished in full or in part in an FSTD.
(2) Training in the operation of FSTDs to ensure competence to conduct the flight instruction required by this part.
(h) Recurrent flight instructor ground training for flight instructors who conduct training in an FSTD must be completed every 12 calendar months and must include the subjects required in paragraph (c)(8) of this section.
(a) Each training program must provide the following ground training as appropriate to the particular assignment of the crewmember or dispatcher:
(1) Basic indoctrination ground training for newly hired crewmembers or dispatchers including 40 programmed hours of instruction, unless reduced under § 121.405 or as specified in § 121.401(d), in at least the following—
(i) Duties and responsibilities of crewmembers or dispatchers, as applicable;
(ii) Appropriate provisions of the Federal Aviation Regulations;
(iii) Contents of the certificate holder's operating certificate and operations specifications (not required for flight attendants); and
(iv) Appropriate portions of the certificate holder's operating manual.
(2) The initial and transition ground training specified in §§ 121.419, 121.421 and 121.422, as applicable.
(3) For crewmembers, emergency training as specified in §§ 121.417 and 121.805.
(4) After February 15, 2008, training for crewmembers and dispatchers in their roles and responsibilities in the certificate holder's passenger recovery plan, if applicable.
(b) Each training program must provide the flight training specified in §§ 121.424 through 121.426, as applicable.
(c) Each training program must provide recurrent ground and flight training as provided in § 121.427.
(d) Each training program must provide the differences training specified in § 121.418(a) if the Administrator finds that, due to differences between airplanes of the same type operated by the certificate holder, additional training is necessary to insure that each crewmember and dispatcher is adequately trained to perform their assigned duties.
(e) Upgrade training as specified in §§ 121.420 and 121.426 for a particular type airplane may be included in the training program for flightcrew members who have qualified and served as second in command pilot on that airplane.
(f) Conversion training as specified in §§ 121.419 and 121.424 for a particular type airplane may be included in the training program for flightcrew members who have qualified and served as flight engineer on that airplane.
(g) Particular subjects, maneuvers, procedures, or parts thereof specified in §§ 121.419, 121.420, 121.421, 121.422, 121.424, 121.425, and 121.426 for transition, conversion or upgrade training, as applicable, may be omitted, or the programmed hours of ground instruction or inflight training may be reduced, as provided in § 121.405.
(h) In addition to initial, transition, conversion, upgrade, recurrent and differences training, each training program must also provide ground and flight training, instruction, and practice as necessary to insure that each crewmember and aircraft dispatcher—
(1) Remains adequately trained and currently proficient with respect to each airplane, crewmember position, and type of operation in which he serves; and
(2) Qualifies in new equipment, facilities, procedures, and techniques, including modifications to airplanes.
(i) Each training program must include a process to provide for the regular analysis of individual pilot performance to identify pilots with performance deficiencies during training and checking and multiple failures during checking.
(j) Each training program must include methods for remedial training and tracking of pilots identified in the analysis performed in accordance with paragraph (i) of this section.
(a) Each training program must provide the emergency training set forth in this section with respect to each airplane type, model, and configuration, each required crewmember, and each kind of operation conducted, insofar as appropriate for each crewmember and the certificate holder.
(b) Emergency training must provide the following:
(1) Instruction in emergency assignments and procedures, including coordination among crewmembers.
(2) Individual instruction in the location, function, and operation of emergency equipment including—
(i) Equipment used in ditching and evacuation;
(ii) [Reserved]
(iii) Portable fire extinguishers, with emphasis on type of extinguisher to be used on different classes of fires; and
(iv) Emergency exits in the emergency mode with the evacuation slide/raft pack attached (if applicable), with training emphasis on the operation of the exits under adverse conditions.
(3) Instruction in the handling of emergency situations including—
(i) Rapid decompression;
(ii) Fire inflight or on the surface, and smoke control procedures with emphasis on electrical equipment and related circuit breakers found in cabin areas including all galleys, service centers, lifts, lavatories and movie screens;
(iii) Ditching and other evacuation, including the evacuation of persons and their attendants, if any, who may need the assistance of another person to move expeditiously to an exit in the event of an emergency.
(iv) [Reserved]
(v) Hijacking and other unusual situations.
(4) Review and discussion of previous aircraft accidents and incidents pertaining to actual emergency situations.
(c) Each crewmember must accomplish the following emergency training during the specified training periods, using those items of installed emergency equipment for each type of airplane in which he or she is to serve (Alternate recurrent training required by § 121.433(c) of this part may be accomplished by approved pictorial presentation or demonstration):
(1) One-time emergency drill requirements to be accomplished during initial training. Each crewmember must perform—
(i) At least one approved protective breathing equipment (PBE) drill in which the crewmember combats an actual or simulated fire using at least one type of installed hand fire extinguisher or approved fire extinguisher that is appropriate for the type of actual fire or simulated fire to be fought while using the type of installed PBE required by § 121.337 or approved PBE simulation device as defined by paragraph (d) of this section for combatting fires aboard airplanes;
(ii) At least one approved firefighting drill in which the crewmember combats an actual fire using at least one type of installed hand fire extinguisher or approved fire extinguisher that is appropriate for the type of fire to be fought. This firefighting drill is not required if the crewmember performs the PBE drill of paragraph (c)(1)(i) by combating an actual fire; and
(iii) An emergency evacuation drill with each person egressing the airplane or approved training device using at least one type of installed emergency evacuation slide. The crewmember may either observe the airplane exits being opened in the emergency mode and the associated exit slide/raft pack being deployed and inflated, or perform the tasks resulting in the accomplishment of these actions.
(2) Additional emergency drill requirements to be accomplished during initial training and once each 24 calendar months during recurrent training. Each crewmember must—
(i) Perform the following emergency drills and operate the following equipment:
(A) Each type of emergency exit in the normal and emergency modes, including the actions and forces required in the deployment of the emergency evacuation slides;
(B) Each type of installed hand fire extinguisher;
(C) Each type of emergency oxygen system to include protective breathing equipment;
(D) Donning, use, and inflation of individual flotation means, if applicable; and
(E) Ditching, if applicable, including but not limited to, as appropriate:
(1) Cockpit preparation and procedures;
(2) Crew coordination;
(3) Passenger briefing and cabin preparation;
(4) Donning and inflation of life preservers;
(5) Use of life-lines; and
(6) Boarding of passengers and crew into raft or a slide/raft pack.
(ii) Observe the following drills:
(A) Removal from the airplane (or training device) and inflation of each type of life raft, if applicable;
(B) Transfer of each type of slide/raft pack from one door to another;
(C) Deployment, inflation, and detachment from the airplane (or training device) of each type of slide/raft pack; and
(D) Emergency evacuation including the use of a slide.
(d) After September 1, 1993, no crewmember may serve in operations under this part unless that crewmember has performed the PBE drill and the firefighting drill described by paragraphs (c)(1)(i) and (c)(1)(ii) of this section, as part of a one-time training requirement of paragraphs (c)(1) or (c)(2) of this section as appropriate. Any crewmember who performs the PBE drill and the firefighting drill prescribed in paragraphs (c)(1)(i) and (c)(1)(ii) of this section after May 26, 1987, is deemed to be in compliance with this regulation upon presentation of information or documentation, in a form and manner acceptable to the Executive Director, Flight Standards Service, showing that the appropriate drills have been accomplished.
(e) Crewmembers who serve in operations above 25,000 feet must receive instruction in the following:
(1) Respiration.
(2) Hypoxia.
(3) Duration of consciousness without supplemental oxygen at altitude.
(4) Gas expansion.
(5) Gas bubble formation.
(6) Physical phenomena and incidents of decompression.
(f) For the purposes of this section the following definitions apply:
(1) Actual fire means an ignited combustible material, in controlled conditions, of sufficient magnitude and duration to accomplish the training objectives outlined in paragraphs (c)(1)(i) and (c)(1)(ii) of this section.
(2) Approved fire extinguisher means a training device that has been approved by the Administrator for use in meeting the training requirements of § 121.417(c).
(3) Approved PBE simulation device means a training device that has been approved by the Administrator for use in meeting the training requirements of § 121.417(c).
(4) Combats, in this context, means to properly fight an actual or simulated fire using an appropriate type of fire extinguisher until that fire is extinguished.
(5) Observe means to watch without participating actively in the drill.
(6) PBE drill means an emergency drill in which a crewmember demonstrates the proper use of protective breathing equipment while fighting an actual or simulated fire.
(7) Perform means to satisfactorily accomplish a prescribed emergency drill using established procedures that stress the skill of the persons involved in the drill.
(8) Simulated fire means an artificial duplication of smoke or flame used to create various aircraft firefighting scenarios, such as lavatory, galley oven, and aircraft seat fires.
(a) Differences training. (1) Differences training for crewmembers and dispatchers must consist of at least the following as applicable to their assigned duties and responsibilities:
(i) Instruction in each appropriate subject or part thereof required for initial ground training in the airplane unless the Administrator finds that particular subjects are not necessary.
(ii) Flight training in each appropriate maneuver or procedure required for initial flight training in the airplane unless the Administrator finds that particular maneuvers or procedures are not necessary.
(iii) The number of programmed hours of ground and flight training determined by the Administrator to be necessary for the airplane, the operation, and the crewmember or aircraft dispatcher involved.
(2) Differences training for all variations of a particular type airplane may be included in initial, transition, conversion, upgrade, and recurrent training for the airplane.
(b) Related aircraft differences training. (1) In order to seek approval of related aircraft differences training for flightcrew members, a certificate holder must submit a request for related aircraft designation to the Administrator, and obtain approval of that request.
(2) If the Administrator determines under paragraph (b)(1) of this section that a certificate holder is operating related aircraft, the certificate holder may submit to the Administrator a request for approval of a training program that includes related aircraft differences training.
(3) A request for approval of a training program that includes related aircraft differences training must include at least the following:
(i) Each appropriate subject required for the ground training for the related aircraft.
(ii) Each appropriate maneuver or procedure required for the flight training and crewmember emergency training for the related aircraft.
(iii) The number of programmed hours of ground training, flight training and crewmember emergency training necessary based on review of the related aircraft and the duty position.
(c) Approved related aircraft differences training. Approved related aircraft differences training for flightcrew members may be included in initial, transition, conversion, upgrade and recurrent training for the base aircraft. If the certificate holder's approved training program includes related aircraft differences training in accordance with paragraph (b) of this section, the training required by §§ 121.419, 121.420, 121.424, 121.425, 121.426, and 121.427, as applicable to flightcrew members, may be modified for the related aircraft.
(a) Except as provided in paragraph (b) of this section, initial and conversion ground training for pilots and initial and transition ground training for flight engineers, must include instruction in at least the following as applicable to their assigned duties:
(1) General subjects—
(i) The certificate holder's dispatch or flight release procedures;
(ii) Principles and methods for determining weight and balance, and runway limitations for takeoff and landing;
(iii) Enough meteorology to insure a practical knowledge of weather phenomena, including the principles of frontal systems, icing, fog, thunderstorms, and high altitude weather situations;
(iv) Air traffic control systems, procedures, and phraseology;
(v) Navigation and the use of navigation aids, including instrument approach procedures;
(vi) Normal and emergency communication procedures;
(vii) Visual cues prior to and during descent below DA/DH or MDA;
(viii) Approved crew resource management initial training; and
(ix) Other instructions as necessary to ensure pilot and flight engineer competence.
(2) For each airplane type—
(i) A general description;
(ii) Performance characteristics;
(iii) Engines and propellers;
(iv) Major components;
(v) Major airplane systems (e.g., flight controls, electrical, hydraulic); other systems as appropriate; principles of normal, abnormal, and emergency operations; appropriate procedures and limitations;
(vi) Procedures for—
(A) Recognizing and avoiding severe weather situations;
(B) Escaping from severe weather situations, in case of inadvertent encounters, including low-altitude windshear, and
(C) Operating in or near thunderstorms (including best penetrating altitudes), turbulent air (including clear air turbulence), icing, hail, and other potentially hazardous meteorological conditions;
(vii) Operating limitations;
(viii) Fuel consumption and cruise control;
(ix) Flight planning;
(x) Each normal and emergency procedure;
(xi) For pilots, stall prevention and recovery in clean configuration, takeoff and maneuvering configuration, and landing configuration.
(xii) For pilots, upset prevention and recovery; and
(xiii) The approved Airplane Flight Manual.
(b) Initial and conversion ground training for pilots who have completed the airline transport pilot certification training program in § 61.156 of this chapter, and transition ground training for pilots, must include instruction in at least the following as applicable to their assigned duties:
(1) Ground training specific to the certificate holder's—
(i) Dispatch or flight release procedures;
(ii) Method for determining weight and balance and runway limitations for takeoff and landing;
(iii) Meteorology hazards applicable to the certificate holder's areas of operation;
(iv) Approved departure, arrival, and approach procedures;
(v) Normal and emergency communication procedures; and
(vi) Approved crew resource management training.
(2) The training required by paragraph (a)(2) of this section for the airplane type.
(c) In addition to the requirements in paragraph (a) or (b) of this section, as applicable, initial ground training for pilots in command must include instruction and facilitated discussion on the following:
(1) Leadership and command, including flightcrew member duties under § 121.542; and
(2) Mentoring, including techniques for instilling and reinforcing the highest standards of technical performance, airmanship, and professionalism in newly hired pilots.
(d) Initial ground training for pilots and flight engineers must consist of at least the following programmed hours of instruction in the required subjects specified in paragraph (a) of this section and in § 121.415(a) unless reduced under § 121.405:
(1) Group I airplanes—
(i) Reciprocating powered, 64 hours; and
(ii) Turbopropeller powered, 80 hours.
(2) Group II airplanes, 120 hours.
(e) Initial ground training for pilots who have completed the airline transport pilot certification training program in § 61.156 must consist of at least the following programmed hours of instruction in the required subjects specified in paragraph (b) of this section and in § 121.415(a) unless reduced under § 121.405:
(1) Group I airplanes—
(i) Reciprocating powered, 54 hours; and
(ii) Turbopropeller powered, 70 hours.
(2) Group II airplanes, 110 hours.
(f) Initial programmed hours applicable to pilots as specified in paragraphs (d) and (e) of this section must include 2 additional hours to meet the requirements in paragraphs (a)(2)(xi) and (xii) of this section.
(a) Upgrade ground training must include instruction in at least the following subjects as applicable to the duties assigned to the pilot in command:
(1) Seat dependent procedures, as applicable;
(2) Duty position procedures, as applicable; and
(3) Crew resource management, including decision making, authority and responsibility, and conflict resolution.
(b) In addition to the requirements in paragraph (a) of this section, upgrade ground training must include instruction and facilitated discussion on the following:
(1) Leadership and command, including flightcrew member duties under § 121.542; and
(2) Mentoring, including techniques for reinforcing the highest standards of technical performance, airmanship, and professional development in newly hired pilots.
(a) Initial and transition ground training for flight attendants must include instruction in at least the following:
(1) General subjects—
(i) The authority of the pilot in command;
(ii) Passenger handling, including the procedures to be followed in the case of deranged persons or other persons whose conduct might jeopardize safety; and
(iii) Approved crew resource management initial training.
(2) For each airplane type—
(i) A general description of the airplane emphasizing physical characteristics that may have a bearing on ditching, evacuation, and inflight emergency procedures and on other related duties;
(ii) The use of both the public address system and the means of communicating with other flight crewmembers, including emergency means in the case of attempted hijacking or other unusual situations; and
(iii) Proper use of electrical galley equipment and the controls for cabin heat and ventilation.
(b) Initial and transition ground training for flight attendants must include a competence check to determine ability to perform assigned duties and responsibilities.
(c) Initial ground training for flight attendants must consist of at least the following programmed hours of instruction in the subjects specified in paragraph (a) of this section and in § 121.415(a) unless reduced under § 121.405.
(1) Group I airplanes—
(i) Reciprocating powered, 8 hours; and
(ii) Turbopropeller powered, 8 hours.
(2) Group II airplanes, 16 hours.
(a) Initial and transition ground training for aircraft dispatchers must include instruction in at least the following:
(1) General subjects—
(i) Use of communications systems including the characteristics of those systems and the appropriate normal and emergency procedures;
(ii) Meteorology, including various types of meteorological information and forecasts, interpretation of weather data (including forecasting of en route and terminal temperatures and other weather conditions), frontal systems, wind conditions, and use of actual and prognostic weather charts for various altitudes;
(iii) The NOTAM system;
(iv) Navigational aids and publications;
(v) Joint dispatcher-pilot responsibilities;
(vi) Characteristics of appropriate airports;
(vii) Prevailing weather phenomena and the available sources of weather information;
(viii) Air traffic control and instrument approach procedures; and
(ix) Approved dispatcher resource management (DRM) initial training.
(2) For each airplane—
(i) A general description of the airplane emphasizing operating and performance characteristics, navigation equipment, instrument approach and communication equipment, emergency equipment and procedures, and other subjects having a bearing on dispatcher duties and responsibilities;
(ii) Flight operation procedures including procedures specified in § 121.419(a)(2)(vi);
(iii) Weight and balance computations;
(iv) Basic airplane performance dispatch requirements and procedures;
(v) Flight planning including track selection, flight time analysis, and fuel requirements; and
(vi) Emergency procedures.
(3) Emergency procedures must be emphasized, including the alerting of proper governmental, company, and private agencies during emergencies to give maximum help to an airplane in distress.
(b) Initial and transition ground training for aircraft dispatchers must include a competence check given by an appropriate supervisor or ground instructor that demonstrates knowledge and ability with the subjects set forth in paragraph (a) of this section.
(c) Initial ground training for aircraft dispatchers must consist of at least the following programmed hours of instruction in the subjects specified in paragraph (a) of this section and in § 121.415(a) unless reduced under § 121.405:
(1) Group I airplanes—
(i) Reciprocating powered, 30 hours; and
(ii) Turbopropeller powered, 40 hours.
(2) Group II airplanes, 40 hours.
(a) Each certificate holder must include in its approved training program, the extended envelope training set forth in this section with respect to each airplane type for each pilot. The extended envelope training required by this section must be performed in a Level C or higher full flight simulator, approved by the Administrator in accordance with § 121.407 of this part.
(b) Extended envelope training must include the following maneuvers and procedures:
(1) Manually controlled slow flight;
(2) Manually controlled loss of reliable airspeed;
(3) Manually controlled instrument departure and arrival;
(4) Upset recovery maneuvers; and
(5) Recovery from bounced landing.
(c) Extended envelope training must include instructor-guided hands on experience of recovery from full stall and stick pusher activation, if equipped.
(d) Recurrent training: Within 24 calendar months preceding service as a pilot, each person must satisfactorily complete the extended envelope training described in paragraphs (b)(1) through (4) and (c) of this section. Within 36 calendar months preceding service as a pilot, each person must satisfactorily complete the extended envelope training described in paragraph (b)(5) of this section.
(e) Deviation from use of Level C or higher full flight simulator:
(1) A certificate holder may submit a request to the Administrator for approval of a deviation from the requirements of paragraph (a) of this section to conduct the extended envelope training using an alternative method to meet the learning objectives of this section.
(2) A request for deviation from paragraph (a) of this section must include the following information:
(i) A simulator availability assessment, including hours by specific simulator and location of the simulator, and a simulator shortfall analysis that includes the training that cannot be completed in a Level C or higher full flight simulator; and
(ii) Alternative methods for achieving the learning objectives of this section.
(3) A certificate holder may request an extension of a deviation issued under this section.
(4) Deviations or extensions to deviations will be issued for a period not to exceed 12 months.
(a) Initial, transition, and conversion flight training for pilots must include the following:
(1) Flight training and practice in the maneuvers and procedures set forth in the certificate holder's approved low-altitude windshear flight training program and in appendix E to this part, as applicable; and
(2) Extended envelope training set forth in § 121.423.
(b) In addition to the requirements in paragraph (a) of this section, initial flight training for pilots in command must include sufficient scenario-based training incorporating CRM and leadership and command skills to ensure the pilot's proficiency as pilot in command. The training required by this paragraph (b) may be completed inflight or in an FSTD.
(c) The training required by paragraph (a) of this section must be performed inflight except—
(1) That windshear maneuvers and procedures must be performed in an FFS in which the maneuvers and procedures are specifically authorized to be accomplished;
(2) That the extended envelope training required by § 121.423 must be performed in a Level C or higher full flight simulator unless the Administrator has issued to the certificate holder a deviation in accordance with § 121.423(e); and
(3) To the extent that certain other maneuvers and procedures may be performed in an FFS, an FTD, or a static airplane as permitted in appendix E to this part.
(d) Except as permitted in paragraph (e) of this section, the initial flight training required by paragraph (a)(1) of this section must include at least the following programmed hours of inflight training and practice unless reduced under § 121.405;
(1) Group I airplanes—
(i) Reciprocating powered. Pilot in command, 10 hours; second in command, 6 hours; and
(ii) Turbopropeller powered. Pilot in command, 15 hours; second in command, 7 hours.
(2) Group II airplanes. Pilot in command, 20 hours; second in command, 10 hours.
(e) If the certificate holder's approved training program includes a course of training utilizing an FFS under § 121.409 (c) and (d) of this part, each pilot must successfully complete—
(1) With respect to § 121.409(c) of this part—
(i) Training and practice in the FFS in at least all of the maneuvers and procedures set forth in appendix E of this part for initial flight training that are capable of being performed in an FFS; and
(ii) A proficiency check in the FFS or the airplane to the level of proficiency of a pilot in command or second in command, as applicable, in at least the maneuvers and procedures set forth in appendix F of this part that are capable of being performed in an FFS.
(2) With respect to § 121.409(d) of this part, training and practice in at least the maneuvers and procedures set forth in the certificate holder's approved low-altitude windshear flight training program that are capable of being performed in an FFS in which the maneuvers and procedures are specifically authorized.
(a) Initial and transition flight training for flight engineers must include at least the following:
(1) Training and practice in procedures related to the carrying out of flight engineer duties and functions. This training and practice may be accomplished either inflight or in an FSTD.
(2) A flight check that includes—
(i) Preflight inspection;
(ii) Inflight performance of assigned duties accomplished from the flight engineer station during taxi, runup, takeoff, climb, cruise, descent, approach, and landing;
(iii) Accomplishment of other functions, such as fuel management and preparation of fuel consumption records, and normal and emergency or alternate operation of all airplane flight systems, performed either inflight or in an FSTD.
(b) Flight engineers possessing a commercial pilot certificate with an instrument, category and class rating, or pilots already qualified as second in command and reverting to flight engineer, may complete the entire flight check, required by paragraph (a)(2) of this section, in an approved FFS.
(c) Except as permitted in paragraph (d) of this section, the initial flight training required by paragraph (a) of this section must include at least the same number of programmed hours of flight training and practice that are specified for a second in command pilot under § 121.424(c) unless reduced under § 121.405.
(d) If the certificate holder's approved training program includes a course of training utilizing an FSTD under § 121.409(c), each flight engineer must successfully complete in the FSTD —
(1) Training and practice in at least all of the assigned duties, procedures, and functions required by paragraph (a) of this section; and
(2) A flight check to a flight engineer level of proficiency in the assigned duties, procedures, and functions.
(a) Upgrade flight training for pilots must include the following:
(1) Seat dependent maneuvers and procedures, as applicable;
(2) Duty position maneuvers and procedures, as applicable;
(3) Extended envelope training set forth in § 121.423;
(4) Maneuvers and procedures set forth in the certificate holder's low altitude windshear flight training program;
(5) Sufficient scenario-based training incorporating CRM and leadership and command skills, to ensure the pilot's proficiency as pilot in command; and
(6) Sufficient training to ensure the pilot's knowledge and skill with respect to the following:
(i) The airplane, its systems and components;
(ii) Proper control of airspeed, configuration, direction, altitude, and attitude in accordance with the Airplane Flight Manual, the certificate holder's operations manual, checklists, or other approved material appropriate to the airplane type; and
(iii) Compliance with ATC, instrument procedures, or other applicable procedures.
(b) The training required by paragraph (a) of this section must be performed inflight except—
(1) That windshear maneuvers and procedures must be performed in an FFS in which the maneuvers and procedures are specifically authorized to be accomplished;
(2) That the extended envelope training required by § 121.423 must be performed in a Level C or higher FFS unless the Administrator has issued to the certificate holder a deviation in accordance with § 121.423(e); and
(3) To the extent that certain other maneuvers and procedures may be performed in an FFS, an FTD, or a static airplane as permitted in Appendix E of this part.
(c) If the certificate holder's approved training program includes a course of training utilizing an FFS under § 121.409(c) and (d), each pilot must successfully complete—
(1) With respect to § 121.409(c)—A proficiency check in the FFS or the airplane to the level of proficiency of a pilot in command in at least the maneuvers and procedures set forth in Appendix F of this part that are capable of being performed in an FFS.
(2) With respect to § 121.409(d), training and practice in at least the maneuvers and procedures set forth in the certificate holder's approved low-altitude windshear flight training program that are capable of being performed in an FFS in which the maneuvers and procedures are specifically authorized.
(a) Recurrent training must ensure that each crewmember or aircraft dispatcher is adequately trained and currently proficient with respect to the type airplane (including differences training, if applicable) and crewmember position involved.
(b) Recurrent ground training for crewmembers and dispatchers must include at least the following:
(1) A quiz or other review to determine the state of the crewmember's or dispatcher's knowledge with respect to the airplane and position involved.
(2) Instruction as necessary in the following:
(i) For pilots, the subjects required for ground training by §§ 121.415(a)(1), (3), and (4) and 121.419(b);
(ii) For flight engineers, the subjects required for ground training by §§ 121.415(a)(1), (3), and (4) and 121.419(a);
(iii) For flight attendants, the subjects required for ground training by §§ 121.415(a)(1), (3), and (4) and 121.421(a); and
(iv) For aircraft dispatchers, the subjects required for ground training by §§ 121.415(a)(1) and (4) and 121.422(a).
(3) For flight attendants and dispatchers, a competence check as required by §§ 121.421(b) and 121.422(b), respectively.
(4) For crewmembers, CRM training and for aircraft dispatchers, DRM training. For flightcrew members, CRM training or portions thereof may be accomplished during an approved FFS line-oriented flight training (LOFT) session.
(c) Recurrent ground training for crewmembers and aircraft dispatchers must consist of at least the following programmed hours of instruction in the required subjects specified in paragraph (b) of this section unless reduced under § 121.405:
(1) For pilots—
(i) Group I reciprocating powered airplanes, 15 hours;
(ii) Group I turbopropeller powered airplanes, 19 hours; and
(iii) Group II airplanes, 24 hours.
(2) For flight engineers—
(i) Group I, reciprocating powered airplanes, 16 hours;
(ii) Group I turbopropeller powered airplanes, 20 hours; and
(iii) Group II airplanes, 25 hours.
(3) For flight attendants—
(i) Group I reciprocating powered airplanes, 4 hours;
(ii) Group I turbopropeller powered airplanes, 5 hours; and
(iii) Group II airplanes, 12 hours.
(4) For aircraft dispatchers—
(i) Group I reciprocating powered airplanes, 8 hours;
(ii) Group I turbopropeller powered airplanes, 10 hours; and
(iii) Group II airplanes, 20 hours.
(d) Recurrent ground training for pilots serving as pilot in command:
(1) Within 36 months preceding service as pilot in command, each person must complete recurrent ground training on leadership and command and mentoring. This training is in addition to the ground training required in paragraph (b) of this section and the programmed hours required in paragraph (c) of this section. This training must include instruction and facilitated discussion on the following:
(i) Leadership and command, including instruction on flightcrew member duties under § 121.542; and
(ii) Mentoring, including techniques for instilling and reinforcing the highest standards of technical performance, airmanship, and professionalism in newly hired pilots.
(2) The requirements of paragraph (d)(1) do not apply until after a pilot has completed ground training on leadership and command and mentoring, as required by §§ 121.419, 121.420 and 121.429, as applicable.
(e) Recurrent flight training for flightcrew members must include at least the following:
(1) For pilots—
(i) Extended envelope training as required by § 121.423 of this part; and
(ii) Flight training in an approved FFS in maneuvers and procedures set forth in the certificate holder's approved low-altitude windshear flight training program and flight training in maneuvers and procedures set forth in Appendix F of this part, or in a flight training program approved by the Administrator, except as follows—
(A) The number of programmed inflight hours is not specified; and
(B) Satisfactory completion of a proficiency check may be substituted for recurrent flight training as permitted in § 121.433(c) and (d).
(2) For flight engineers, flight training as provided by § 121.425(a) except as follows—
(i) The specified number of inflight hours is not required; and
(ii) The flight check, other than the preflight inspection, may be conducted in an FSTD. The preflight inspection may be conducted in an airplane, or by using an approved pictorial means that realistically portrays the location and detail of preflight inspection items and provides for the portrayal of abnormal conditions. Satisfactory completion of an approved line-oriented flight training may be substituted for the flight check.
(f) Recurrent programmed hours applicable to pilots as specified in paragraph (c)(1) of this section must include 30 additional minutes to meet the requirements in paragraph (e)(1)(i) of this section.
(a) No certificate holder may use a pilot as pilot in command in an operation under this part unless the pilot has completed the following ground training in accordance with the certificate holder's approved training program:
(1) Leadership and command training in § 121.419(c)(1) and mentoring training in § 121.419(c)(2); or
(2) Leadership and command training in § 121.420(b)(1) and mentoring training in § 121.420(b)(2).
(b) Credit for training provided by the certificate holder:
(1) The Administrator may credit leadership and command training and mentoring training completed by the pilot, with that certificate holder, after April 27, 2017, and prior to April 27, 2020, toward all or part of the training required by paragraph (a) of this section.
(2) In granting credit for the training required by paragraph (a) of this section, the Administrator may consider training aids, devices, methods, and procedures used by the certificate holder in voluntary leadership and command and mentoring instruction.
(a) This subpart:
(1) Prescribes crewmember qualifications for all certificate holders except where otherwise specified; and
(2) Permits training center personnel authorized under part 142 of this chapter who meet the requirements of §§ 121.411 through 121.414 to provide training, testing, and checking under contract or other arrangement to those persons subject to the requirements of this subpart.
(b) For the purpose of this subpart, the airplane groups and terms and definitions prescribed in § 121.400 and the following definitions apply:
Consolidation is the process by which a person through practice and practical experience increases proficiency in newly acquired knowledge and skills.
Line operating flight time is flight time performed in operations under this part.
Operating cycle is a complete flight segment consisting of a takeoff, climb, enroute portion, descent, and a landing.
(a) Except in the case of operating experience under § 121.434 and ground training for mentoring required by §§ 121.419, 121.420, 121.427, and 121.429, as applicable, a pilot who serves as second in command of an operation that requires three or more pilots must be fully qualified to act as pilot in command of that operation.
(b) No certificate holder may conduct a check or any training in operations under this part, except for the following checks and training required by this part or the certificate holder:
(1) Line checks for pilots.
(2) Flight engineer checks (except for emergency procedures), if the person being checked is qualified and current in accordance with § 121.453(a).
(3) Flight attendant training and competence checks.
(a) Initial training. No certificate holder may use any person nor may any person serve as a required crewmember on an airplane unless that person has satisfactorily completed, in a training program approved under subpart N of this part, initial ground and flight training for that type airplane and for the particular crewmember position, except as follows:
(1) Crewmembers who have qualified and served as a crewmember on another type airplane of the same group may serve in the same crewmember capacity upon completion of transition training as provided in § 121.415.
(2) Crewmembers who have qualified and served as second in command or flight engineer on a particular type airplane may serve as pilot in command or second in command, respectively, upon completion of upgrade or conversion training, as applicable, for that airplane as provided in § 121.415.
(b) Differences training. No certificate holder may use any person nor may any person serve as a required crewmember on an airplane of a type for which differences training is included in the certificate holder's approved training program unless that person has satisfactorily completed, with respect to both the crewmember position and the particular variation of the airplane in which the person serves, either initial or transition ground and flight training, or differences training, as provided in § 121.415.
(c) Recurrent training. (1) No certificate holder may use any person nor may any person serve as a required crewmember on an airplane unless, within the preceding 12 calendar months—
(i) For flight crewmembers, the person has satisfactorily completed recurrent ground and flight training for that airplane and crewmember position and a flight check as applicable;
(ii) For flight attendants and dispatchers, the person has satisfactorily completed recurrent ground training and a competence check; and
(iii) In addition, for pilots in command the person has satisfactorily completed, within the preceding 6 calendar months, recurrent flight training in addition to the recurrent flight training required in paragraph (c)(1)(i) of this section, in an airplane in which the person serves as pilot in command in operations under this part.
(2) For pilots, a proficiency check as provided in § 121.441 of this part may be substituted for the recurrent flight training required by this paragraph and the approved FFS course of training under § 121.409(b) of this part may be substituted for alternate periods of recurrent flight training required in that airplane, except as provided in paragraphs (d) and (e) of this section.
(d) Notwithstanding paragraph (c)(2) of this section, a proficiency check as provided in § 121.441 may not be substituted for the extended envelope training required by § 121.423 or training in those maneuvers and procedures set forth in a certificate holder's approved low-altitude windshear flight training program when that program is included in a recurrent flight training course as required by § 121.409(d).
(a) No certificate holder may use a person nor may any person serve as a required crewmember of an airplane unless the person has satisfactorily completed, on that type airplane and in that crewmember position, the operating experience, operating cycles, and the line operating flight time for consolidation of knowledge and skills, required by this section, except as follows:
(1) Crewmembers other than pilots in command may serve as provided herein for the purpose of meeting the requirements of this section.
(2) Pilots who are meeting the pilot in command requirements may serve as second in command.
(3) Separate operating experience, operating cycles, and line operating flight time for consolidation of knowledge and skills are not required for variations within the same type airplane.
(4) Deviation based upon designation of related aircraft in accordance with § 121.418(b).
(i) The Administrator may authorize a deviation from the operating experience, operating cycles, and line operating flight time for consolidation of knowledge and skills required by this section based upon a designation of related aircraft in accordance with § 121.418(b) of this part and a determination that the certificate holder can demonstrate an equivalent level of safety.
(ii) A request for deviation from the operating experience, operating cycles, and line operating flight time for consolidation of knowledge and skills required by this section based upon a designation of related aircraft must be submitted to the Administrator. The request must include the following:
(A) Identification of aircraft operated by the certificate holder designated as related aircraft.
(B) Hours of operating experience and number of operating cycles necessary based on review of the related aircraft, the operation, and the duty position.
(C) Consolidation hours necessary based on review of the related aircraft, the operation, and the duty position.
(iii) The administrator may, at any time, terminate a grant of deviation authority issued under this paragraph (a)(4).
(b) In acquiring the operating experience, operating cycles, and line operating flight time for consolidation of knowledge and skills, crewmembers must comply with the following:
(1) In the case of a flight crewmember, the person must hold the appropriate certificates and ratings for the crewmember position and the airplane, except that a pilot who is meeting the pilot in command requirements must hold the appropriate certificates and ratings for a pilot in command in the airplane.
(2) The operating experience, operating cycles, and line operating flight time for consolidation of knowledge and skills must be acquired after satisfactory completion of the appropriate ground and flight training for the particular airplane type and crewmember position.
(3) In the case of a pilot who satisfactorily completed the preflight visual inspection of an aircraft by approved pictorial means during an initial, transition, conversion, or upgrade proficiency check, the pilot must also demonstrate proficiency to a check pilot on at least one complete preflight visual inspection of the interior and exterior of a static airplane. This demonstration of proficiency must be completed by the pilot and certified by the check pilot before the completion of operating experience.
(4) The experience must be acquired inflight during operations under this part. However, in the case of an aircraft not previously used by the certificate holder in operations under this part, operating experience acquired in the aircraft during proving flights or ferry flights may be used to meet this requirement.
(c) Pilot crewmembers must acquire operating experience and operating cycles as follows:
(1) A pilot in command must—
(i) Perform the duties of a pilot in command under the supervision of a check pilot; and
(ii) For a qualifying pilot in command completing initial or upgrade training specified in § 121.424 or § 121.426, be observed in the performance of prescribed duties by an FAA inspector during at least one flight leg which includes a takeoff and landing. During the time that a qualifying pilot in command is acquiring the operating experience in paragraphs (c)(l)(i) and (ii) of this section, a check pilot who is also serving as the pilot in command must occupy a pilot station. However, in the case of a transitioning pilot in command the check pilot serving as pilot in command may occupy the observer's seat, if the transitioning pilot has made at least two takeoffs and landings in the type airplane used, and has satisfactorily demonstrated to the check pilot that he is qualified to perform the duties of a pilot in command of that type of airplane.
(2) A second in command pilot must perform the duties of a second in command under the supervision of an appropriately qualified check pilot.
(3) The hours of operating experience and operating cycles for all pilots are as follows:
(i) For initial training, 15 hours in Group I reciprocating powered airplanes, 20 hours in Group I turbopropeller powered airplanes, and 25 hours in Group II airplanes. Operating experience in both airplane groups must include at least 4 operating cycles (at least 2 as the pilot flying the airplane).
(ii) For transition training, except as provided in paragraph (c)(3)(iii) of this section, 10 hours in Group I reciprocating powered airplanes, 12 hours in Group I turbopropeller powered airplanes, 25 hours for pilots in command in Group II airplanes, and 15 hours for second in command pilots in Group II airplanes. Operating experience in both airplane groups must include at least 4 operating cycles (at least 2 as the pilot flying the airplane).
(iii) In the case of transition training where the certificate holder's approved training program includes a course of training in an FFS under § 121.409(c), each pilot in command must comply with the requirements prescribed in paragraph (c)(3)(i) of this section for initial training.
(d) A flight engineer must perform the duties of a flight engineer under the supervision of a check flight engineer or a qualified flight engineer for at least the following number of hours:
(1) Group I reciprocating powered airplanes, 8 hours.
(2) Group I turbopropeller powered airplanes, 10 hours.
(3) Group II airplanes, 12 hours.
(e) A flight attendant must, for at least 5 hours, perform the assigned duties of a flight attendant under the supervision of a flight attendant supervisor qualified under this part who personally observes the performance of these duties. However, operating experience is not required for a flight attendant who has previously acquired such experience on any large passenger carrying airplane of the same group, if the certificate holder shows that the flight attendant has received sufficient ground training for the airplane in which the flight attendant is to serve. Flight attendants receiving operating experience may not be assigned as a required crewmember. Flight attendants who have satisfactorily completed training time acquired in an approved training program conducted in a full-scale (except for length) cabin training device of the type airplane in which they are to serve may substitute this time for 50 percent of the hours required by this paragraph.
(f) Flight crewmembers may substitute one additional takeoff and landing for each hour of flight to meet the operating experience requirements of this section, up to a maximum reduction of 50% of flight hours, except those in Group II initial training, and second in command pilots in Group II transition training.
(g) Except as provided in paragraph (h) of this section, pilot in command and second in command crewmembers must each acquire at least 100 hours of line operating flight time for consolidation of knowledge and skills (including operating experience required under paragraph (c) of this section) within 120 days after the satisfactory completion of:
(1) Any part of the flight maneuvers and procedures portion of either an airline transport pilot certificate with type rating practical test or an additional type rating practical test, or
(2) A § 121.441 proficiency check.
(h) The following exceptions apply to the consolidation requirement of paragraph (g) of this section:
(1) Pilots who have qualified and served as pilot in command or second in command on a particular type airplane in operations under this part before August 25, 1995 are not required to complete line operating flight time for consolidation of knowledge and skills.
(2) Pilots who have completed the line operating flight time requirement for consolidation of knowledge and skills while serving as second in command on a particular type airplane in operations under this part after August 25, 1995 are not required to repeat the line operating flight time before serving as pilot in command on the same type airplane.
(3) If, before completing the required 100 hours of line operating flight time, a pilot serves as a pilot in another airplane type operated by the certificate holder, the pilot may not serve as a pilot in the airplane for which the pilot has newly qualified unless the pilot satisfactorily completes refresher training as provided in the certificate holder's approved training program and that training is conducted by an appropriately qualified instructor or check pilot.
(4) If the required 100 hours of line operating flight time are not completed within 120 days, the certificate holder may extend the 120-day period to no more than 150 days if—
(i) The pilot continues to meet all other applicable requirements of subpart O of this part; and
(ii) On or before the 120th day the pilot satisfactorily completes refresher training conducted by an appropriately qualified instructor or check pilot as provided in the certificate holder's approved training program, or a check pilot determines that the pilot has retained an adequate level of proficiency after observing that pilot in a supervised line operating flight.
(5) The Administrator, upon application by the certificate holder, may authorize deviations from the requirements of paragraph (g) of this section, by an appropriate amendment to the operations specifications, to the extent warranted by any of the following circumstances:
(i) A newly certificated certificate holder does not employ any pilots who meet the minimum requirements of paragraph (g) of this section.
(ii) An existing certificate holder adds to its fleet an airplane type not before proven for use in its operations.
(iii) A certificate holder establishes a new domicile to which it assigns pilots who will be required to become qualified on the airplanes operated from that domicile.
(i) Notwithstanding the reductions in programmed hours permitted under §§ 121.405 and 121.409 of subpart N of this part, the hours of operating experience for crewmembers are not subject to reduction other than as provided in accordance with a deviation authorized under paragraph (a) of this section or as provided in paragraphs (e) and (f) of this section.
(a) Applicability. The operations familiarization requirements in paragraph (b) of this section apply to all persons newly hired by the certificate holder to serve as a pilot in part 121 operations and who began the certificate holder's basic indoctrination ground training on or after April 27, 2022. The requirements in paragraph (b) of this section also apply to all certificate holders required to comply with this subpart, except for those certificate holders operating under part 135 of this chapter that have been authorized to comply with this subpart instead of the requirements of part 135, subparts E, G, and H, pursuant to § 135.3(c), and those fractional ownership program managers operating under part 91, subpart K, of this chapter that have been authorized to comply with this subpart instead of §§ 91.1065 through 91.1107, pursuant to § 91.1063(b) of this chapter.
(b) Operations familiarization requirements. (1) No certificate holder may use, and no person may serve as, a pilot in operations under this part unless that person has completed the operations familiarization required by this paragraph (b). Operations familiarization may be completed during or after basic indoctrination training, but must be completed before the pilot begins operating experience under § 121.434.
(2) Operations familiarization must include at least two operating cycles conducted by the certificate holder in accordance with the operating rules of this part.
(3) All pilots completing operations familiarization must occupy the observer seat on the flight deck and have access to and use an operational headset.
(c) Deviation. (1) A certificate holder who operates an aircraft that does not have an observer seat on the flight deck may submit a request to the Administrator for approval of a deviation from the requirements of paragraphs (a) and (b) of this section.
(2) A request for deviation from any of the requirements in paragraphs (a) and (b) of this section must include the following information:
(i) The total number and types of aircraft operated by the certificate holder in operations under this part that do not have an observer seat on the flight deck;
(ii) The total number and types of aircraft operated by the certificate holder in operations under this part that do have an observer seat on the flight deck; and
(iii) Alternative methods for achieving the objectives of this section.
(3) A certificate holder may request an extension of a deviation issued under this section.
(4) Deviations or extensions to deviations will be issued for a period not to exceed 12 months.
(a) No certificate holder may use nor may any pilot act as pilot in command of an aircraft (or as second in command of an aircraft in a flag or supplemental operation that requires three or more pilots) unless the pilot:
(1) Holds an airline transport pilot certificate not subject to the limitations in § 61.167 of this chapter;
(2) Holds an appropriate aircraft type rating for the aircraft being flown; and
(3) If serving as pilot in command in part 121 operations, has 1,000 hours as:
(i) Second in command in operations under this part;
(ii) Pilot in command in operations under § 91.1053(a)(2)(i) of this chapter;
(iii) Pilot in command in operations under § 135.243(a)(1) of this chapter;
(iv) Pilot in command in eligible on-demand operations that require the pilot to satisfy § 135.4(a)(2)(ii)(A) of this chapter; or
(v) Any combination thereof.
(b) No certificate holder may use nor may any pilot act as second in command unless the pilot holds an airline transport pilot certificate and an appropriate aircraft type rating for the aircraft being flown. A second-in-command type rating obtained under § 61.55 does not satisfy the requirements of this section.
(c) For the purpose of satisfying the flight hour requirement in paragraph (a)(3) of this section, a pilot may credit 500 hours of military flight time provided the flight time was obtained—
(1) As pilot in command in a multiengine, turbine-powered, fixed-wing airplane or powered-lift aircraft, or any combination thereof; and
(2) In an operation requiring more than one pilot.
(d) For the purpose of satisfying the flight hour requirement in paragraph (a)(3) of this section, a pilot may credit flight time obtained as pilot in command in operations under this part prior to July 31, 2013.
(e) For those pilots who were employed as pilot in command in part 121 operations on July 31, 2013, compliance with the requirements of paragraph (a)(3) of this section is not required.
(a) If the second in command has fewer than 100 hours of flight time as second in command in operations under this part in the type airplane being flown, and the pilot in command is not an appropriately qualified check pilot, the pilot in command must make all takeoffs and landings in the following situations:
(1) At special airports designated by the Administrator or at special airports designated by the certificate holder; and
(2) In any of the following conditions:
(i) The prevailing visibility value in the latest weather report for the airport is at or below
(ii) The runway visual range for the runway to be used is at or below 4,000 feet.
(iii) The runway to be used has water, snow, slush or similar conditions that may adversely affect airplane performance.
(iv) The braking action on the runway to be used is reported to be less than “good”.
(v) The crosswind component for the runway to be used is in excess of 15 knots.
(vi) Windshear is reported in the vicinity of the airport.
(vii) Any other condition in which the PIC determines it to be prudent to exercise the PIC's prerogative.
(b) No person may conduct operations under this part unless, for that type airplane, either the pilot in command or the second in command has at least 75 hours of line operating flight time, either as pilot in command or second in command. The Administrator may, upon application by the certificate holder, authorize deviations from the requirements of this paragraph (b) by an appropriate amendment to the operations specifications in any of the following circumstances:
(1) A newly certificated certificate holder does not employ any pilots who meet the minimum requirements of this paragraph.
(2) An existing certificate holder adds to its fleet a type airplane not before proven for use in its operations.
(3) An existing certificate holder establishes a new domicile to which it assigns pilots who will be required to become qualified on the airplanes operated from that domicile.
(a) No certificate holder may use any person nor may any person serve as a required pilot flightcrew member, unless within the preceding 90 days, that person has made at least three takeoffs and landings in the type airplane in which that person is to serve. The takeoffs and landings required by this paragraph may be performed in a Level B or higher FFS approved under § 121.407 to include takeoff and landing maneuvers. In addition, any person who fails to make the three required takeoffs and landings within any consecutive 90-day period must re-establish recency of experience as provided in paragraph (b) of this section.
(b) In addition to meeting all applicable training and checking requirements of this part, a required pilot flightcrew member who has not met the requirements of paragraph (a) of this section must re-establish recency of experience as follows:
(1) Under the supervision of a check pilot, make at least three takeoffs and landings in the type airplane in which that person is to serve or in a Level B or higher FFS.
(2) The takeoffs and landings required in paragraph (b)(1) of this section must include—
(i) At least one takeoff with a simulated failure of the most critical powerplant;
(ii) At least one landing from an ILS approach to the lowest ILS minimum authorized for the certificate holder; and
(iii) At least one landing to a full stop.
(c) [Reserved]
(d) When using an FFS to accomplish any of the requirements of paragraphs (a) or (b) of this section, each required flightcrew member position must be occupied by an appropriately qualified person, and the FFS must be operated as if in a normal inflight environment without use of the repositioning features of the FFS.
(e) A check pilot who observes the takeoffs and landings prescribed in paragraph (b)(1) of this section shall certify that the person being observed is proficient and qualified to perform flight duty in operations under this part and may require any additional maneuvers that are determined necessary to make this certifying statement.
(f) Deviation authority based upon designation of related aircraft in accordance with § 121.418(b).
(1) The Administrator may authorize a deviation from the requirements of paragraph (a) of this section based upon a designation of related aircraft in accordance with § 121.418(b) of this part and a determination that the certificate holder can demonstrate an equivalent level of safety.
(2) A request for deviation from paragraph (a) of this section must be submitted to the Administrator. The request must include the following:
(i) Identification of aircraft operated by the certificate holder designated as related aircraft.
(ii) The number of takeoffs, landings, maneuvers, and procedures necessary to maintain or re-establish recency based on review of the related aircraft, the operation, and the duty position.
(3) The administrator may, at any time, terminate a grant of deviation authority issued under this paragraph (f).
(a) No certificate holder may use any person nor may any person serve as pilot in command of an airplane unless, within the preceding 12 calendar months, that person has passed a line check in which he satisfactorily performs the duties and responsibilities of a pilot in command in one of the types of airplanes he is to fly.
(b) A pilot in command line check for domestic and flag operations must—
(1) Be given by a check pilot who is currently qualified on both the route and the airplane; and
(2) Consist of at least one flight over a typical part of the certificate holder's route, or over a foreign or Federal airway, or over a direct route.
(c) A pilot in command line check for supplemental operations must—
(1) Be given by a check pilot who is currently qualified on the airplane; and
(2) Consist of at least one flight over a part of a Federal airway, foreign airway, or advisory route over which the pilot may be assigned.
(a) No certificate holder may use any person nor may any person serve as a required pilot flight crewmember unless that person has satisfactorily completed either a proficiency check, or an approved FFS course of training under § 121.409, as follows:
(1) For a pilot in command—
(i) A proficiency check within the preceding 12 calendar months in the aircraft type in which the person is to serve and,
(ii) In addition, within the preceding 6 calendar months, either a proficiency check or the approved FFS course of training.
(2) For all other pilots—
(i) Within the preceding 24 calendar months either a proficiency check or the line-oriented flight training course under § 121.409; and
(ii) Within the preceding 12 calendar months, either a proficiency check or any FFS training course under § 121.409
(b) Except as provided in paragraphs (c) and (d) of this section, a proficiency check must meet the following requirements:
(1) It must include at least the procedures and maneuvers set forth in appendix F to this part unless otherwise specifically provided in that appendix.
(2) It must be given by the Administrator or a check pilot.
(c) An approved FFS or FTD may be used in the conduct of a proficiency check as provided in appendix F to this part.
(d) A person giving a proficiency check may, in his or her discretion, waive any of the maneuvers or procedures for which a specific waiver authority is set forth in Appendix F of this part if the conditions in paragraphs (d)(1) through (3) of this section are satisfied:
(1) The Administrator has not specifically required the particular maneuver or procedure to be performed.
(2) The pilot being checked is, at the time of the check, employed by a certificate holder as a pilot.
(3) The pilot being checked meets one of the following conditions:
(i) The pilot is currently qualified for operations under this part in the particular type airplane and flightcrew member position.
(ii) The pilot has, within the preceding six calendar months, satisfactorily completed an approved training curriculum, except for an upgrade training curriculum in accordance with §§ 121.420 and 121.426, for the particular type airplane.
(e) If the pilot being checked fails any of the required maneuvers, the person giving the proficiency check may give additional training to the pilot during the course of the proficiency check. In addition to repeating the maneuvers failed, the person giving the proficiency check may require the pilot being checked to repeat any other maneuvers he finds are necessary to determine the pilot's proficiency. If the pilot being checked is unable to demonstrate satisfactory performance to the person conducting the check, the certificate holder may not use him nor may he serve in operations under this part until he has satisfactorily completed a proficiency check.
(f) Deviation authority based upon designation of related aircraft in accordance with § 121.418(b) of this part.
(1) The Administrator may authorize a deviation from the proficiency check requirements of paragraphs (a), (b)(1), and (c) of this section based upon a designation of related aircraft in accordance with § 121.418(b) of this part and a determination that the certificate holder can demonstrate an equivalent level of safety.
(2) A request for deviation from paragraphs (a), (b)(1), and (c) of this section must be submitted to the Administrator. The request must include the following:
(i) Identification of aircraft operated by the certificate holder designated as related aircraft.
(ii) Based on review of the related aircraft, the operation, and the duty position:
(A) For recurrent proficiency checks, the frequency of the related aircraft proficiency check, the maneuvers and procedures to be included in the related aircraft proficiency check, and the level of FSTD to be used for each maneuver and procedure.
(B) For qualification proficiency checks, the maneuvers and procedures to be included in the related aircraft proficiency check and the level of FSTD to be used for each maneuver and procedure.
(3) The administrator may, at any time, terminate a grant of deviation authority issued under this paragraph (f).
(a) Each certificate holder shall provide a system acceptable to the Administrator for disseminating the information required by paragraph (b) of this section to the pilot in command and appropriate flight operation personnel. The system must also provide an acceptable means for showing compliance with § 121.445.
(b) No certificate holder may use any person, nor may any person serve, as pilot in command unless the certificate holder has provided that person current information concerning the following subjects pertinent to the areas over which that person is to serve, and to each airport and terminal area into which that person is to operate, and ensures that that person has adequate knowledge of, and the ability to use, the information:
(1) Weather characteristics appropriate to the season.
(2) Navigation facilities.
(3) Communication procedures, including airport visual aids.
(4) Kinds of terrain and obstructions.
(5) Minimum safe flight levels.
(6) En route and terminal area arrival and departure procedures, holding procedures and authorized instrument approach procedures for the airports involved.
(7) Congested areas and physical layout of each airport in the terminal area in which the pilot will operate.
(8) Notices to Airmen.
(a) The Administrator may determine that certain airports (due to items such as surrounding terrain, obstructions, or complex approach or departure procedures) are special airports requiring special airport qualifications and that certain areas or routes, or both, require a special type of navigation qualification.
(b) Except as provided in paragraph (c) of this section, no certificate holder may use any person, nor may any person serve, as pilot in command to or from an airport determined to require special airport qualifications unless, within the preceding 12 calendar months:
(1) The pilot in command or second in command has made an entry to that airport (including a takeoff and landing) while serving as a pilot flight crewmember; or
(2) The pilot in command has qualified by using pictorial means acceptable to the Administrator for that airport.
(c) Paragraph (b) of this section does not apply when an entry to that airport (including a takeoff or a landing) is being made if the ceiling at that airport is at least 1,000 feet above the lowest MEA or MOCA, or initial approach altitude prescribed for the instrument approach procedure for that airport, and the visibility at that airport is at least 3 miles.
(d) No certificate holder may use any person, nor may any person serve, as pilot in command between terminals over a route or area that requires a special type of navigation qualification unless, within the preceding 12 calendar months, that person has demonstrated qualification on the applicable navigation system in a manner acceptable to the Administrator, by one of the following methods:
(1) By flying over a route or area as pilot in command using the applicable special type of navigation system.
(2) By flying over a route or area as pilot in command under the supervision of a check pilot using the special type of navigation system.
(3) By completing the training program requirements of appendix G of this part.
(a) No certificate holder may use any person nor may any person serve as a flight engineer on an airplane unless, within the preceding 6 calendar months, he has had at least 50 hours of flight time as a flight engineer on that type airplane or the certificate holder or the Administrator has checked him on that type airplane and determined that he is familiar and competent with all essential current information and operating procedures.
(b) A flight check given in accordance with § 121.425(a)(2) satisfies the requirements of paragraph (a) of this section.
This subpart prescribes—
(a) Qualifications and duty time limitations for aircraft dispatchers for certificate holders conducting domestic flag operations; and
(b) Duty period limitations and rest requirements for flight attendants used by certificate holders conducting domestic, flag, or supplemental operations.
(a) No certificate holder conducting domestic or flag operations may use any person, nor may any person serve, as an aircraft dispatcher for a particular airplane group unless that person has, with respect to an airplane of that group, satisfactorily completed the following:
(1) Initial dispatcher training, except that a person who has satisfactorily completed such training for another type airplane of the same group need only complete the appropriate transition training.
(2) Operating familiarization consisting of at least 5 hours observing operations under this part from the flight deck or, for airplanes without an observer seat on the flight deck, from a forward passenger seat with headset or speaker. This requirement may be reduced to a minimum of 2
(b) No certificate holder conducting domestic or flag operations may use any person, nor may any person serve, as an aircraft dispatcher for a particular type airplane unless that person has, with respect to that airplane, satisfactorily completed differences training, if applicable.
(c) No certificate holder conducting domestic or flag operations may use any person, nor may any person serve, as an aircraft dispatcher unless within the preceding 12 calendar months the aircraft dispatcher has satisfactorily completed operating familiarization consisting of at least 5 hours observing operations under this part, in one of the types of airplanes in each group to be dispatched. This observation shall be made from the flight deck or, for airplanes without an observer seat on the flight deck, from a forward passenger seat with headset or speaker. The requirement of paragraph (a) of this section may be reduced to a minimum of 2
(d) No certificate holder conducting domestic or flag operations may use any person, nor may any person serve as an aircraft dispatcher to dispatch airplanes in operations under this part unless the certificate holder has determined that he is familiar with all essential operating procedures for that segment of the operation over which he exercises dispatch jurisdiction. However, a dispatcher who is qualified to dispatch airplanes through one segment of an operation may dispatch airplanes through other segments of the operation after coordinating with dispatchers who are qualified to dispatch airplanes through those other segments.
(e) For the purposes of this section, the airplane groups, terms, and definitions in § 121.400 apply.
(a) Each certificate holder conducting domestic or flag operations shall establish the daily duty period for a dispatcher so that it begins at a time that allows him or her to become thoroughly familiar with existing and anticipated weather conditions along the route before he or she dispatches any airplane. He or she shall remain on duty until each airplane dispatched by him or her has completed its flight, or has gone beyond his or her jurisdiction, or until he or she is relieved by another qualified dispatcher.
(b) Except in cases where circumstances or emergency conditions beyond the control of the certificate holder require otherwise—
(1) No certificate holder conducting domestic or flag operations may schedule a dispatcher for more than 10 consecutive hours of duty;
(2) If a dispatcher is scheduled for more than 10 hours of duty in 24 consecutive hours, the certificate holder shall provide him or her a rest period of at least eight hours at or before the end of 10 hours of duty.
(3) Each dispatcher must be relieved of all duty with the certificate holder for at least 24 consecutive hours during any seven consecutive days or the equivalent thereof within any calendar month.
(c) Notwithstanding paragraphs (a) and (b) of this section, a certificate holder conducting flag operations may, if authorized by the Administrator, schedule an aircraft dispatcher at a duty station outside of the 48 contiguous States and the District of Columbia, for more than 10 consecutive hours of duty in a 24-hour period if that aircraft dispatcher is relieved of all duty with the certificate holder for at least eight hours during each 24-hour period.
(a) For purposes of this section—
Calendar day means the period of elapsed time, using Coordinated Universal Time or local time, that begins at midnight and ends 24 hours later at the next midnight.
Duty period means the period of elapsed time between reporting for an assignment involving flight time and release from that assignment by the certificate holder conducting domestic, flag, or supplemental operations. The time is calculated using either Coordinated Universal Time or local time to reflect the total elapsed time.
Flight attendant means an individual, other than a flight crewmember, who is assigned by a certificate holder conducting domestic, flag, or supplemental operations, in accordance with the required minimum crew complement under the certificate holder's operations specifications or in addition to that minimum complement, to duty in an aircraft during flight time and whose duties include but are not necessarily limited to cabin-safety-related responsibilities.
Rest period means the period free of all restraint or duty for a certificate holder conducting domestic, flag, or supplemental operations and free of all responsibility for work or duty should the occasion arise.
(b) Except as provided in paragraph (c) of this section, a certificate holder conducting domestic, flag, or supplemental operations may assign a duty period to a flight attendant only when the applicable duty period limitations and rest requirements of this paragraph are met.
(1) Except as provided in paragraphs (b)(4), (b)(5), and (b)(6) of this section, no certificate holder conducting domestic, flag, or supplemental operations may assign a flight attendant to a scheduled duty period of more than 14 hours.
(2) A flight attendant scheduled to a duty period of 14 hours or less as provided under paragraph (b)(1) of this section must be given a scheduled rest period of at least 10 consecutive hours. This rest period must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(3) The rest period required under paragraph (b)(2) of this section may not be reduced to less than 10 consecutive hours.
(4) A certificate holder conducting domestic, flag, or supplemental operations may assign a flight attendant to a scheduled duty period of more than 14 hours, but no more than 16 hours, if the certificate holder has assigned to the flight or flights in that duty period at least one flight attendant in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the certificate holder's operations specifications.
(5) A certificate holder conducting domestic, flag, or supplemental operations may assign a flight attendant to a scheduled duty period of more than 16 hours, but no more than 18 hours, if the certificate holder has assigned to the flight or flights in that duty period at least two flight attendants in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the certificate holder's operations specifications.
(6) A certificate holder conducting domestic, flag, or supplemental operations may assign a flight attendant to a scheduled duty period of more than 18 hours, but no more than 20 hours, if the scheduled duty period includes one or more flights that land or take off outside the 48 contiguous states and the District of Columbia, and if the certificate holder has assigned to the flight or flights in that duty period at least three flight attendants in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the domestic certificate holder's operations specifications.
(7) Except as provided in paragraph (b)(8) of this section, a flight attendant scheduled to a duty period of more than 14 hours but no more than 20 hours, as provided in paragraphs (b)(4), (b)(5), and (b)(6) of this section, must be given a scheduled rest period of at least 12 consecutive hours. This rest period must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(8) The rest period required under paragraph (b)(7) of this section may be scheduled or reduced to 10 consecutive hours if the flight attendant is provided a subsequent rest period of at least 14 consecutive hours; this subsequent rest period must be scheduled to begin no later than 24 hours after the beginning of the reduced rest period and must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(9) Notwithstanding paragraphs (b)(4), (b)(5), and (b)(6) of this section, if a certificate holder conducting domestic, flag, or supplemental operations elects to reduce the rest period to 10 hours as authorized by paragraph (b)(8) of this section, the certificate holder may not schedule a flight attendant for a duty period of more than 14 hours during the 24-hour period commencing after the beginning of the reduced rest period.
(10) No certificate holder conducting domestic, flag, or supplemental operations may assign a flight attendant any duty period with the certificate holder unless the flight attendant has had at least the minimum rest required under this section.
(11) No certificate holder conducting domestic, flag, or supplemental operations may assign a flight attendant to perform any duty with the certificate holder during any required rest period.
(12) Time spent in transportation, not local in character, that a certificate holder conducting domestic, flag, or supplemental operations requires of a flight attendant and provides to transport the flight attendant to an airport at which that flight attendant is to serve on a flight as a crewmember, or from an airport at which the flight attendant was relieved from duty to return to the flight attendant's home station, is not considered part of a rest period.
(13) Each certificate holder conducting domestic, flag, or supplemental operations must relieve each flight attendant engaged in air transportation and each commercial operator must relieve each flight attendant engaged in air commerce from all further duty for at least 24 consecutive hours during any 7 consecutive calendar days.
(14) A flight attendant is not considered to be scheduled for duty in excess of duty period limitations if the flights to which the flight attendant is assigned are scheduled and normally terminate within the limitations but due to circumstances beyond the control of the certificate holder conducting domestic, flag, or supplemental operations (such as adverse weather conditions) are not at the time of departure expected to reach their destination within the scheduled time.
(c) Notwithstanding paragraph (b) of this section, a certificate holder conducting domestic, flag, or supplemental operations may apply the flightcrew member flight time and duty limitations and rest requirements of part 117 of this chapter to flight attendants for all operations conducted under this part provided that—
(1) The certificate holder establishes written procedures that—
(i) Apply to all flight attendants used in the certificate holder's operation;
(ii) Include the flightcrew member requirements contained in part 117, as appropriate to the operation being conducted, except that rest facilities on board the aircraft are not required;
(iii) Include provisions to add one flight attendant to the minimum flight attendant complement for each flightcrew member who is in excess of the minimum number required in the aircraft type certificate data sheet and who is assigned to the aircraft under the provisions of part 117, as applicable, of this part;
(iv) Are approved by the Administrator and are described or referenced in the certificate holder's operations specifications; and
(2) Whenever the Administrator finds that revisions are necessary for the continued adequacy of the written procedures that are required by paragraph (c)(1) of this section and that had been granted final approval, the certificate holder must, after notification by the Administrator, make any changes in the procedures that are found necessary by the Administrator. Within 30 days after the certificate holder receives such notice, it may file a petition to reconsider the notice with the responsible Flight Standards office. The filing of a petition to reconsider stays the notice, pending decision by the Administrator. However, if the Administrator finds that an emergency requires immediate action in the interest of safety, the Administrator may, upon a statement of the reasons, require a change effective without stay.
This subpart prescribes flight time limitations and rest requirements for domestic all-cargo operations, except that:
(a) Certificate holders conducting operations with aircraft having a passenger seat configuration of 30 seats or fewer, excluding each crewmember seat, and a payload capacity of 7,500 pounds or less, may comply with the applicable requirements of §§ 135.261 through 135.273 of this chapter.
(b) Certificate holders conducting scheduled operations entirely within the States of Alaska or Hawaii with aircraft having a passenger seat configuration of more than 30 seats, excluding each crewmember seat, or a payload capacity of more than 7,500 pounds, may comply with the requirements of this subpart or subpart R of this part for those operations.
(c) A certificate holder may apply the flightcrew member flight time and duty limitations and requirements of part 117 of this chapter. A certificate holder may choose to apply part 117 to its—
(1) Cargo operations conducted under contract to a U.S. government agency.
(2) All-cargo operations not conducted under contract to a U.S. Government agency,
(3) A certificate holder may elect to treat operations in paragraphs (c)(1) and (c)(2) of this section differently but, once having decided to conduct those operations under part 117, may not segregate those operations between this subpart and part 117.
(a) No certificate holder conducting domestic operations may schedule any flight crewmember and no flight crewmember may accept an assignment for flight time in scheduled air transportation or in other commercial flying if that crewmember's total flight time in all commercial flying will exceed—
(1) 1,000 hours in any calendar year;
(2) 100 hours in any calendar month;
(3) 30 hours in any 7 consecutive days;
(4) 8 hours between required rest periods.
(b) Except as provided in paragraph (c) of this section, no certificate holder conducting domestic operations may schedule a flight crewmember and no flight crewmember may accept an assignment for flight time during the 24 consecutive hours preceding the scheduled completion of any flight segment without a scheduled rest period during that 24 hours of at least the following:
(1) 9 consecutive hours of rest for less than 8 hours of scheduled flight time.
(2) 10 consecutive hours of rest for 8 or more but less than 9 hours of scheduled flight time.
(3) 11 consecutive hours of rest for 9 or more hours of scheduled flight time.
(c) A certificate holder may schedule a flight crewmember for less than the rest required in paragraph (b) of this section or may reduce a scheduled rest under the following conditions:
(1) A rest required under paragraph (b)(1) of this section may be scheduled for or reduced to a minimum of 8 hours if the flight crewmember is given a rest period of at least 10 hours that must begin no later than 24 hours after the commencement of the reduced rest period.
(2) A rest required under paragraph (b)(2) of this section may be scheduled for or reduced to a minimum of 8 hours if the flight crewmember is given a rest period of at least 11 hours that must begin no later than 24 hours after the commencement of the reduced rest period.
(3) A rest required under paragraph (b)(3) of this section may be scheduled for or reduced to a minimum of 9 hours if the flight crewmember is given a rest period of at least 12 hours that must begin no later than 24 hours after the commencement of the reduced rest period.
(4) No certificate holder may assign, nor may any flight crewmember perform any flight time with the certificate holder unless the flight crewmember has had at least the minimum rest required under this paragraph.
(d) Each certificate holder conducting domestic operations shall relieve each flight crewmember engaged in scheduled air transportation from all further duty for at least 24 consecutive hours during any 7 consecutive days.
(e) No certificate holder conducting domestic operations may assign any flight crewmember and no flight crewmember may accept assignment to any duty with the air carrier during any required rest period.
(f) Time spent in transportation, not local in character, that a certificate holder requires of a flight crewmember and provides to transport the crewmember to an airport at which he is to serve on a flight as a crewmember, or from an airport at which he was relieved from duty to return to his home station, is not considered part of a rest period.
(g) A flight crewmember is not considered to be scheduled for flight time in excess of flight time limitations if the flights to which he is assigned are scheduled and normally terminate within the limitations, but due to circumstances beyond the control of the certificate holder (such as adverse weather conditions), are not at the time of departure expected to reach their destination within the scheduled time.
(a) No certificate holder may exceed any provision of this subpart unless approved by the FAA under a Fatigue Risk Management System.
(b) The Fatigue Risk Management System must include:
(1) A fatigue risk management policy.
(2) An education and awareness training program.
(3) A fatigue reporting system.
(4) A system for monitoring flightcrew fatigue.
(5) An incident reporting process.
(6) A performance evaluation.
This subpart prescribes flight time limitations and rest requirements for flag all-cargo operations, except that:
(a) Certificate holders conducting operations with aircraft having a passenger seat configuration of 30 seats or fewer, excluding each crewmember seat, and a payload capacity of 7,500 pounds or less, may comply with the applicable requirements of §§ 135.261 through 135.273 of this chapter.
(b) A certificate holder may apply the flightcrew member flight time and duty limitations and requirements of part 117 of this chapter. A certificate holder may choose to apply part 117 to its—
(1) All-cargo operations conducted under contract to a U.S. government agency.
(2) All-cargo operations not conducted under contract to a U.S. Government agency,
(3) A certificate holder may elect to treat operations in paragraphs (b)(1) and (b) (2) of this section differently but, once having decided to conduct those operations under part 117, may not segregate those operations between this subpart and part 117.
(a) A certificate holder conducting flag operations may schedule a pilot to fly in an airplane that has a crew of one or two pilots for eight hours or less during any 24 consecutive hours without a rest period during these eight hours.
(b) If a certificate holder conducting flag operations schedules a pilot to fly more than eight hours during any 24 consecutive hours, it shall give him an intervening rest period, at or before the end of eight scheduled hours of flight duty. This rest period must be at least twice the number of hours flown since the preceding rest period, but not less than eight hours. The certificate holder shall relieve that pilot of all duty with it during that rest period.
(c) Each pilot who has flown more than eight hours during 24 consecutive hours must be given at least 18 hours of rest before being assigned to any duty with the certificate holder.
(d) No pilot may fly more than 32 hours during any seven consecutive days, and each pilot must be relieved from all duty for at least 24 consecutive hours at least once during any seven consecutive days.
(e) No pilot may fly as a member of a crew more than 100 hours during any one calendar month.
(f) No pilot may fly as a member of a crew more than 1,000 hours during any 12-calendar-month period.
(a) No certificate holder conducting flag operations may schedule a pilot to fly, in an airplane that has a crew of two pilots and at least one additional flight crewmember, for a total of more than 12 hours during any 24 consecutive hours.
(b) If a pilot has flown 20 or more hours during any 48 consecutive hours or 24 or more hours during any 72 consecutive hours, he must be given at least 18 hours of rest before being assigned to any duty with the air carrier. In any case, he must be given at least 24 consecutive hours of rest during any seven consecutive days.
(c) No pilot may fly as a flight crewmember more than—
(1) 120 hours during any 30 consecutive days;
(2) 300 hours during any 90 consecutive days; or
(3) 1,000 hours during any 12-calendar-month period.
(a) Each certificate holder conducting flag operations shall schedule its flight hours to provide adequate rest periods on the ground for each pilot who is away from his base and who is a pilot on an airplane that has a crew of three or more pilots and an additional flight crewmember. It shall also provide adequate sleeping quarters on the airplane whenever a pilot is scheduled to fly more than 12 hours during any 24 consecutive hours.
(b) The certificate holder conducting flag operations shall give each pilot, upon return to his base from any flight or series of flights, a rest period that is at least twice the total number of hours he flew since the last rest period at his base. During the rest period required by this paragraph, the air carrier may not require him to perform any duty for it. If the required rest period is more than seven days, that part of the rest period in excess of seven days may be given at any time before the pilot is again scheduled for flight duty on any route.
(c) No pilot may fly as a flight crewmember more than—
(1) 350 hours during any 90 consecutive days; or
(2) 1,000 hours during any 12-calendar-month period.
(a) Except as provided in paragraphs (b) through (e) of this section, a pilot who is not regularly assigned as a flight crewmember for an entire calendar month under § 121.483 or 121.485 may not fly more than 100 hours in any 30 consecutive days.
(b) The monthly flight time limitations for a pilot who is scheduled for duty aloft for more than 20 hours in two-pilot crews in any calendar month, or whose assignment in such a crew is interrupted more than once in that calendar month by assignment to a crew consisting of two or more pilots and an additional flight crewmember, are those set forth in § 121.481.
(c) Except for a pilot covered by paragraph (b) of this section, the monthly and quarterly flight time limitations for a pilot who is scheduled for duty aloft for more than 20 hours in two-pilot and additional flight crewmember crews in any calendar month, or whose assignment in such a crew is interrupted more than once in that calendar month by assignment to a crew consisting of three pilots and additional flight crewmember, are those set forth in § 121.483.
(d) The quarterly flight time limitations for a pilot to whom paragraphs (b) and (c) of this section do not apply and who is scheduled for duty aloft for a total of not more than 20 hours within any calendar month in two-pilot crews (with or without additional flight crewmembers) are those set forth in § 121.485.
(e) The monthly and quarterly flight time limitations for a pilot assigned to each of two-pilot, two-pilot and additional flight crewmember, and three-pilot and additional flight crewmember crews in a given calendar month, and who is not subject to paragraph (b), (c), or (d) of this section, are those set forth in § 121.483.
No pilot that is employed as a pilot by a certificate holder conducting flag operations may do any other commercial flying if that commercial flying plus his flying in air transportation will exceed any flight time limitation in this part.
Time spent in deadhead transportation to or from duty assignment is not considered to be a part of a rest period.
(a) In any operation in which one flight engineer or flight navigator is required, the flight time limitations in § 121.483 apply to that flight engineer or flight navigator.
(b) In any operation in which more than one flight engineer or flight navigator is required, the flight time limitations in § 121.485 apply to those flight engineers or flight navigators.
(a) No certificate holder may exceed any provision of this subpart unless approved by the FAA under a Fatigue Risk Management System.
(b) The Fatigue Risk Management System must include:
(1) A fatigue risk management policy.
(2) An education and awareness training program.
(3) A fatigue reporting system.
(4) A system for monitoring flightcrew fatigue.
(5) An incident reporting process.
(6) A performance evaluation.
This subpart prescribes flight time limitations and rest requirements for supplemental all-cargo operations, except that:
(a) Certificate holders conducting operations with aircraft having a passenger seat configuration of 30 seats or fewer, excluding each crewmember seat, and a payload capacity of 7,500 pound or less, may comply with the applicable requirements of §§ 135.261 through 135.273 of this chapter.
(b) A certificate holder may apply the flightcrew member flight time and duty limitations and requirements of part 117 of this chapter. A certificate holder may choose to apply part 117 to its—
(1) All-cargo operations conducted under contract to a U.S. Government agency.
(2) All-cargo operations not conducted under contract to a U.S. Government agency,
(3) A certificate holder may elect to treat operations in paragraphs (b)(1) and (b)(2) of this section differently but, once having decided to conduct those operations under part 117, may not segregate those operations between this subpart and part 117.
(a) A certificate holder conducting supplemental operations may schedule a pilot to fly in an airplane for eight hours or less during any 24 consecutive hours without a rest period during those eight hours.
(b) Each pilot who has flown more than eight hours during any 24 consecutive hours must be given at least 16 hours of rest before being assigned to any duty with the certificate holder.
(c) Each certificate holder conducting supplemental operations shall relieve each pilot from all duty for at least 24 consecutive hours at least once during any seven consecutive days.
(d) No pilot may fly as a crewmember in air transportation more than 100 hours during any 30 consecutive days.
(e) No pilot may fly as a crewmember in air transportation more than 1,000 hours during any calendar year.
(f) Notwithstanding paragraph (a) of this section, the certificate holder may, in conducting a transcontinental nonstop flight, schedule a flight crewmember for more than eight but not more than 10 hours of continuous duty aloft without an intervening rest period, if—
(1) The flight is in an airplane with a pressurization system that is operative at the beginning of the flight;
(2) The flight crew consists of at least two pilots and a flight engineer; and
(3) The certificate holder uses, in conducting the operation, an air/ground communication service that is independent of systems operated by the United States, and a dispatch organization, both of which are approved by the Administrator as adequate to serve the terminal points concerned.
(a) If a certificate holder conducting supplemental operations schedules a pilot to fly more than eight hours during any 24 consecutive hours, it shall give him an intervening rest period at or before the end of eight scheduled hours of flight duty. This rest period must be at least twice the number of hours flown since the preceding rest period, but not less than eight hours. The certificate holder conducting supplemental operations shall relieve that pilot of all duty with it during that rest period.
(b) No pilot of an airplane that has a crew of two pilots may be on duty for more than 16 hours during any 24 consecutive hours.
(a) No certificate holder conducting supplemental operations may schedule a pilot—
(1) For flight deck duty in an airplane that has a crew of three pilots for more than eight hours in any 24 consecutive hours; or
(2) To be aloft in an airplane that has a crew of three pilot for more than 12 hours in any 24 consecutive hours.
(b) No pilot of an airplane that has a crew of three pilots may be on duty for more than 18 hours in any 24 consecutive hours.
(a) No certificate holder conducting supplemental operations may schedule a pilot—
(1) For flight deck duty in an airplane that has a crew of four pilots for more than eight hours in any 24 consecutive hours; or
(2) To be aloft in an airplane that has a crew of four pilots for more than 16 hours in any 24 consecutive hours.
(b) No pilot of an airplane that has a crew of four pilots may be on duty for more than 20 hours in any 24 consecutive hours.
(a) In any operation in which one flight engineer is serving the flight time limitations in §§ 121.503 and 121.505 apply to that flight engineer.
(b) In any operation in which more than one flight engineer is serving and the flight crew contains more than two pilots the flight time limitations in § 121.509 apply in place of those in § 121.505.
In place of the flight time limitations in §§ 121.503 through 121.511, a certificate holder conducting supplemental operations may elect to comply with the flight time limitations of §§ 121.515 and 121.521 through 121.525 for operations conducted—
(a) Between a place in the 48 contiguous States and the District of Columbia, or Alaska, and any place outside thereof;
(b) Between any two places outside the 48 contiguous States, the District of Columbia, and Alaska; or
(c) Between two places within the State of Alaska or the State of Hawaii.
No airman may be aloft as a flight crewmember more than 1,000 hours in any 12-calendar-month period.
No airman who is employed by a certificate holder conducting supplemental operations may do any other commercial flying, if that commercial flying plus his flying in operations under this part will exceed any flight time limitation in this part.
Time spent by an airman in deadhead transportation to or from a duty assignment is not considered to be part of any rest period.
(a) No certificate holder conducting supplemental operations may schedule an airman to be aloft as a member of the flight crew in an airplane that has a crew of two pilots and at least one additional flight crewmember for more than 12 hours during any 24 consecutive hours.
(b) If an airman has been aloft as a member of a flight crew for 20 or more hours during any 48 consecutive hours or 24 or more hours during any 72 consecutive hours, he must be given at least 18 hours of rest before being assigned to any duty with the certificate holder. In any case, he must be relieved of all duty for at least 24 consecutive hours during any seven consecutive days.
(c) No airman may be aloft as a flight crewmember more than—
(1) 120 hours during any 30 consecutive days; or
(2) 300 hours during any 90 consecutive days.
(a) No certificate holder conducting supplemental operations may schedule an airman for flight deck duty as a flight engineer, or navigator in a crew of three or more pilots and additional airmen for a total of more than 12 hours during any 24 consecutive hours.
(b) Each certificate holder conducting supplemental operations shall schedule its flight hours to provide adequate rest periods on the ground for each airman who is away from his principal operations base. It shall also provide adequate sleeping quarters on the airplane whenever an airman is scheduled to be aloft as a flight crewmember for more than 12 hours during any 24 consecutive hours.
(c) No certificate holder conducting supplemental operations may schedule any flight crewmember to be on continuous duty for more than 30 hours. Such a crewmember is considered to be on continuous duty from the time he reports for duty until the time he is released from duty for a rest period of at least 10 hours on the ground. If a flight crewmember is on continuous duty for more than 24 hours (whether scheduled or not) during any scheduled duty period, he must be given at least 16 hours for rest on the ground after completing the last flight scheduled for that scheduled duty period before being assigned any further flight duty.
(d) If a flight crewmember is required to engage in deadhead transportation for more than four hours before beginning flight duty, one half of the time spent in deadhead transportation must be treated as duty time for the purpose of complying with duty time limitations, unless he is given at least 10 hours of rest on the ground before being assigned to flight duty.
(e) Each certificate holder conducting supplemental operations shall give each airman, upon return to his operations base from any flight or series of flights, a rest period that is at least twice the total number of hours he was aloft as a flight crewmember since the last rest period at his base, before assigning him to any further duty. If the required rest period is more than seven days, that part of the rest period that is more than seven days may be given at any time before the pilot is again scheduled for flight duty.
(f) No airman may be aloft as a flight crewmember for more than 350 hours in any 90 consecutive days.
(a) This section applies to each pilot assigned during any 30 consecutive days to more than one type of flight crew.
(b) The flight time limitations for a pilot who is scheduled for duty aloft for more than 20 hours in two-pilot crews in 30 consecutive days, or whose assignment in such a crew is interrupted more than once in any 30 consecutive days by assignment to a crew of two or more pilots and an additional flight crewmember, are those listed in §§ 121.503 through 121.509, as appropriate.
(c) Except for a pilot covered by paragraph (b) of this section, the flight time limitations for a pilot scheduled for duty aloft for more than 20 hours in two-pilot and additional flight crewmember crews in 30 consecutive days or whose assignment in such a crew is interrupted more than once in any 30 consecutive days by assignment to a crew consisting of three pilots and an additional flight crewmember, are those set forth in § 121.521.
(d) The flight time limitations for a pilot to whom paragraphs (b) and (c) of this section do not apply, and who is scheduled for duty aloft for a total of not more than 20 hours within 30 consecutive days in two-pilot crews (with or without additional flight crewmembers) are those set forth in § 121.523.
(e) The flight time limitations for a pilot assigned to each of two-pilot, two-pilot and additional flight crewmember, and three-pilot and additional flight crewmember crews in 30 consecutive days, and who is not subject to paragraph (b), (c), or (d) of this section, are those listed in § 121.523.
(a) No certificate holder may exceed any provision of this subpart unless approved by the FAA under a Fatigue Risk Management System.
(b) The Fatigue Risk Management System must include:
(1) A fatigue risk management policy.
(2) An education and awareness training program.
(3) A fatigue reporting system.
(4) A system for monitoring flightcrew fatigue.
(5) An incident reporting process.
(6) A performance evaluation.
This subpart prescribes requirements for flight operations applicable to all certificate holders, except where otherwise specified.
(a) Each certificate holder conducting domestic operations is responsible for operational control.
(b) The pilot in command and the aircraft dispatcher are jointly responsible for the preflight planning, delay, and dispatch release of a flight in compliance with this chapter and operations specifications.
(c) The aircraft dispatcher is responsible for—
(1) Monitoring the progress of each flight;
(2) Issuing necessary information for the safety of the flight; and
(3) Cancelling or redispatching a flight if, in his opinion or the opinion of the pilot in command, the flight cannot operate or continue to operate safely as planned or released.
(d) Each pilot in command of an aircraft is, during flight time, in command of the aircraft and crew and is responsible for the safety of the passengers, crewmembers, cargo, and airplane.
(e) Each pilot in command has full control and authority in the operation of the aircraft, without limitation, over other crewmembers and their duties during flight time, whether or not he holds valid certificates authorizing him to perform the duties of those crewmembers.
(a) Each certificate holder conducting flag operations is responsible for operational control.
(b) The pilot in command and the aircraft dispatcher are jointly responsible for the preflight planning, delay, and dispatch release of a flight in compliance with this chapter and operations specifications.
(c) The aircraft dispatcher is responsible for—
(1) Monitoring the progress of each flight;
(2) Issuing necessary instructions and information for the safety of the flight; and
(3) Cancelling or redispatching a flight if, in his opinion or the opinion of the pilot in command, the flight cannot operate or continue to operate safely as planned or released.
(d) Each pilot in command of an aircraft is, during flight time, in command of the aircraft and crew and is responsible for the safety of the passengers, crewmembers, cargo, and airplane.
(e) Each pilot in command has full control and authority in the operation of the aircraft, without limitation, over other crewmembers and their duties during flight time, whether or not he holds valid certificates authorizing him to perform the duties of those crewmembers.
(f) No pilot may operate an aircraft in a careless or reckless manner so as to endanger life or property.
(a) Each certificate holder conducting supplemental operations—
(1) Is responsible for operational control; and
(2) Shall list each person authorized by it to exercise operational control in its operator's manual.
(b) The pilot in command and the director of operations are jointly responsible for the initiation, continuation, diversion, and termination of a flight in compliance with this chapter and the operations specifications. The director of operations may delegate the functions for the initiation, continuation, diversion, and termination of a flight but he may not delegate the responsibility for those functions.
(c) The director of operations is responsible for cancelling, diverting, or delaying a flight if in his opinion or the opinion of the pilot in command the flight cannot operate or continue to operate safely as planned or released. The director of operations is responsible for assuring that each flight is monitored with respect to at least the following:
(1) Departure of the flight from the place of origin and arrival at the place of destination, including intermediate stops and any diversions therefrom.
(2) Maintenance and mechanical delays encountered at places of origin and destination and intermediate stops.
(3) Any known conditions that may adversely affect the safety of flight.
(d) Each pilot in command of an aircraft is, during flight time, in command of the aircraft and crew and is responsible for the safety of the passengers, crewmembers, cargo, and aircraft. The pilot in command has full control and authority in the operation of the aircraft, without limitation, over other crewmembers and their duties during flight time, whether or not he holds valid certificates authorizing him to perform the duties of those crewmembers.
(e) Each pilot in command of an aircraft is responsible for the preflight planning and the operation of the flight in compliance with this chapter and the operations specifications.
(f) No pilot may operate an aircraft, in a careless or reckless manner, so as to endanger life or property.
Certificate holders conducting operations under this part must comply with the applicable security requirements in 49 CFR chapter XII.
Each certificate holder shall notify its appropriate operations personnel of each change in equipment and operating procedures, including each known change in the use of navigation aids, airports, air traffic control procedures and regulations, local airport traffic control rules, and known hazards to flight, including icing and other potentially hazardous meteorological conditions and irregularities in ground and navigation facilities.
In establishing flight operations schedules, each certificate holder conducting domestic or flag operations shall allow enough time for the proper servicing of aircraft at intermediate stops, and shall consider the prevailing winds en route and the cruising speed of the type of aircraft used. This cruising speed may not be more than that resulting from the specified cruising output of the engines.
(a) No certificate holder shall require, nor may any flight crewmember perform, any duties during a critical phase of flight except those duties required for the safe operation of the aircraft. Duties such as company required calls made for such nonsafety related purposes as ordering galley supplies and confirming passenger connections, announcements made to passengers promoting the air carrier or pointing out sights of interest, and filling out company payroll and related records are not required for the safe operation of the aircraft.
(b) No flight crewmember may engage in, nor may any pilot in command permit, any activity during a critical phase of flight which could distract any flight crewmember from the performance of his or her duties or which could interfere in any way with the proper conduct of those duties. Activities such as eating meals, engaging in nonessential conversations within the cockpit and nonessential communications between the cabin and cockpit crews, and reading publications not related to the proper conduct of the flight are not required for the safe operation of the aircraft.
(c) For the purposes of this section, critical phases of flight includes all ground operations involving taxi, takeoff and landing, and all other flight operations conducted below 10,000 feet, except cruise flight.
Taxi is defined as “movement of an airplane under its own power on the surface of an airport.”
(d) During all flight time as defined in 14 CFR 1.1, no flight crewmember may use, nor may any pilot in command permit the use of, a personal wireless communications device (as defined in 49 U.S.C. 44732(d)) or laptop computer while at a flight crewmember duty station unless the purpose is directly related to operation of the aircraft, or for emergency, safety-related, or employment-related communications, in accordance with air carrier procedures approved by the Administrator.
(a) Except as provided in paragraph (b) of this section, each required flight crewmember on flight deck duty must remain at the assigned duty station with seat belt fastened while the aircraft is taking off or landing, and while it is en route.
(b) A required flight crewmember may leave the assigned duty station—
(1) If the crewmember's absence is necessary for the performance of duties in connection with the operation of the aircraft;
(2) If the crewmember's absence is in connection with physiological needs; or
(3) If the crewmember is taking a rest period, and relief is provided—
(i) In the case of the assigned pilot in command during the en route cruise portion of the flight, by a pilot who holds an airline transport pilot certificate not subject to the limitations in § 61.167 of this chapter and an appropriate type rating, is currently qualified as pilot in command or second in command, and is qualified as pilot in command of that aircraft during the en route cruise portion of the flight. A second in command qualified to act as a pilot in command en route need not have completed the following pilot in command requirements: The 6-month recurrent flight training required by § 121.433(c)(1)(iii); the operating experience required by § 121.434; the takeoffs and landings required by § 121.439; the line check required by § 121.440; and the 6-month proficiency check or simulator training required by § 121.441(a)(1); and
(ii) In the case of the assigned second in command, by a pilot qualified to act as second in command of that aircraft during en route operations. However, the relief pilot need not meet the recent experience requirements of § 121.439(b).
Each pilot who is seated at the pilot controls of the aircraft while not flying the aircraft must accomplish pilot monitoring duties as appropriate in accordance with the certificate holder's procedures contained in the manual required by § 121.133.
No pilot in command may allow any person to manipulate the controls of an aircraft during flight nor may any person manipulate the controls during flight unless that person is—
(a) A qualified pilot of the certificate holder operating that aircraft.
(b) An authorized pilot safety representative of the Administrator or of the National Transportation Safety Board who has the permission of the pilot in command, is qualified in the aircraft, and is checking flight operations; or
(c) A pilot of another certificate holder who has the permission of the pilot in command, is qualified in the aircraft, and is authorized by the certificate holder operating the aircraft.
(a) No person may admit any person to the flight deck of an aircraft unless the person being admitted is—
(1) A crewmember;
(2) An FAA air carrier inspector, a DOD commercial air carrier evaluator, or an authorized representative of the National Transportation Safety Board, who is performing official duties;
(3) Any person who—
(i) Has permission of the pilot in command, an appropriate management official of the part 119 certificate holder, and the Administrator; and
(ii) Is an employee of—
(A) The United States, or
(B) A part 119 certificate holder and whose duties are such that admission to the flightdeck is necessary or advantageous for safe operation; or
(C) An aeronautical enterprise certificated by the Administrator and whose duties are such that admission to the flightdeck is necessary or advantageous for safe operation.
(4) Any person who has the permission of the pilot in command, an appropriate management official of the part 119 certificate holder and the Administrator. Paragraph (a)(2) of this section does not limit the emergency authority of the pilot in command to exclude any person from the flightdeck in the interests of safety.
(b) For the purposes of paragraph (a)(3) of this section, employees of the United States who deal responsibly with matters relating to safety and employees of the certificate holder whose efficiency would be increased by familiarity with flight conditions, may be admitted by the certificate holder. However, the certificate holder may not admit employees of traffic, sales, or other departments that are not directly related to flight operations, unless they are eligible under paragraph (a)(4) of this section.
(c) No person may admit any person to the flight deck unless there is a seat available for his use in the passenger compartment, except—
(1) An FAA air carrier inspector, a DOD commercial air carrier evaluator, or authorized representative of the Administrator or National Transportation Safety Board who is checking or observing flight operations;
(2) An air traffic controller who is authorized by the Administrator to observe ATC procedures;
(3) A certificated airman employed by the certificate holder whose duties require an airman certificate;
(4) A certificated airman employed by another part 119 certificate holder whose duties with that part 119 certificate holder require an airman certificate and who is authorized by the part 119 certificate holder operating the aircraft to make specific trips over a route;
(5) An employee of the part 119 certificate holder operating the aircraft whose duty is directly related to the conduct or planning of flight operations or the in-flight monitoring of aircraft equipment or operating procedures, if his presence on the flightdeck is necessary to perform his duties and he has been authorized in writing by a responsible supervisor, listed in the Operations Manual as having that authority; and
(6) A technical representative of the manufacturer of the aircraft or its components whose duties are directly related to the in-flight monitoring of aircraft equipment or operating procedures, if his presence on the flightdeck is necessary to perform his duties and he has been authorized in writing by the Administrator and by a responsible supervisor of the operations department of the part 119 certificate holder, listed in the Operations Manual as having that authority.
Whenever, in performing the duties of conducting an inspection, an inspector of the Federal Aviation Administration presents form FAA 110A, “Aviation Safety Inspector's Credential,” to the pilot in command of an aircraft operated by a certificate holder, the inspector must be given free and uninterrupted access to the pilot's compartment of that aircraft.
Whenever, in performing the duties of conducting an evaluation, a DOD commercial air carrier evaluator presents S&A Form 110B, “DOD Commercial Air Carrier Evaluator's Credential,” to the pilot in command of an airplane operated by the certificate holder, the evaluator must be given free and uninterrupted access to the pilot's compartment of that airplane.
(a) The pilot in command shall ensure that appropriate aeronautical charts containing adequate information concerning navigation aids and instrument approach procedures are aboard the aircraft for each flight.
(b) Each crewmember shall, on each flight, have readily available for his use a flashlight that is in good working order.
Whenever an Agent of the Secret Service who is assigned the duty of protecting a person aboard an aircraft operated by a certificate holder considers it necessary in the performance of his duty to ride on the flight deck of the aircraft, he must, upon request and presentation of his Secret Service credentials to the pilot in command of the aircraft, be admitted to the flight deck and permitted to occupy an observer seat thereon.
When a certificate holder conducting domestic or flag operations knows of conditions, including airport and runway conditions, that are a hazard to safe operations, it shall restrict or suspend operations until those conditions are corrected.
When a certificate holder conducting supplemental operations or pilot in command knows of conditions, including airport and runway conditions, that are a hazard to safe operations, the certificate holder or pilot in command, as the case may be, shall restrict or suspend operations until those conditions are corrected.
No pilot may operate an airplane in scheduled air transportation—
(a) Over any route or route segment unless it is specified in the certificate holder's operations specifications; or
(b) Other than in accordance with the limitations in the operations specifications.
(a) In an emergency situation that requires immediate decision and action the pilot in command may take any action that he considers necessary under the circumstances. In such a case he may deviate from prescribed operations procedures and methods, weather minimums, and this chapter, to the extent required in the interests of safety.
(b) In an emergency situation arising during flight that requires immediate decision and action by an aircraft dispatcher, and that is known to him, the aircraft dispatcher shall advise the pilot in command of the emergency, shall ascertain the decision of the pilot in command, and shall have the decision recorded. If the aircraft dispatcher cannot communicate with the pilot, he shall declare an emergency and take any action that he considers necessary under the circumstances.
(c) Whenever a pilot in command or dispatcher exercises emergency authority, he shall keep the appropriate ATC facility and dispatch centers fully informed of the progress of the flight. The person declaring the emergency shall send a written report of any deviation through the certificate holder's operations manager, to the Administrator. A dispatcher shall send his report within 10 days after the date of the emergency, and a pilot in command shall send his report within 10 days after returning to his home base.
(a) In an emergency situation that requires immediate decision and action, the pilot in command may take any action that he considers necessary under the circumstances. In such a case, he may deviate from prescribed operations, procedures and methods, weather minimums, and this chapter, to the extent required in the interests of safety.
(b) In an emergency situation arising during flight that requires immediate decision and action by appropriate management personnel in the case of operations conducted with a flight following service and which is known to them, those personnel shall advise the pilot in command of the emergency, shall ascertain the decision of the pilot in command, and shall have the decision recorded. If they cannot communicate with the pilot, they shall declare an emergency and take any action that they consider necessary under the circumstances.
(c) Whenever emergency authority is exercised, the pilot in command or the appropriate management personnel shall keep the appropriate communication facility fully informed of the progress of the flight. The person declaring the emergency shall send a written report of any deviation, through the certificate holder's director of operations, to the Administrator within 10 days after the flight is completed or, in the case of operations outside the United States, upon return to the home base.
(a) Whenever he encounters a meteorological condition or an irregularity in aground facility or navigation aid, in flight, the knowledge of which he considers essential to the safety of other flights, the pilot in command shall notify an appropriate ground station as soon as practicable.
(b) The ground radio station that is notified under paragraph (a) of this section shall report the information to the agency directly responsible for operating the facility.
The pilot in command shall ensure that all mechanical irregularities occurring during flight time are entered in the maintenance log of the airplane at the end of that flight time. Before each flight the pilot in command shall ascertain the status of each irregularity entered in the log at the end of the preceding flight.
(a) Except as provided in paragraph (b) of this section, whenever an airplane engine fails or whenever an engine is shutdown to prevent possible damage, the pilot in command must land the airplane at the nearest suitable airport, in point of time, at which a safe landing can be made.
(b) If not more than one engine of an airplane that has three or more engines fails or is shut down to prevent possible damage, the pilot-in-command may proceed to an airport that the pilot selects if, after considering the following, the pilot makes a reasonable decision that proceeding to that airport is as safe as landing at the nearest suitable airport:
(1) The nature of the malfunction and the possible mechanical difficulties that may occur if flight is continued.
(2) The altitude, weight, and useable fuel at the time that the engine is shutdown.
(3) The weather conditions en route and at possible landing points.
(4) The air traffic congestion.
(5) The kind of terrain.
(6) His familiarity with the airport to be used.
(c) The pilot-in-command must report each engine shutdown in flight to the appropriate communication facility as soon as practicable and must keep that facility fully informed of the progress of the flight.
(d) If the pilot in command lands at an airport other than the nearest suitable airport, in point of time, he or she shall (upon completing the trip) send a written report, in duplicate, to his or her director of operations stating the reasons for determining that the selection of an airport, other than the nearest airport, was as safe a course of action as landing at the nearest suitable airport. The director of operations shall, within 10 days after the pilot returns to his or her home base, send a copy of this report with the director of operation's comments to the responsible Flight Standards office.
No person may make an instrument approach at an airport except in accordance with IFR weather minimums and instrument approach procedures set forth in the certificate holder's operations specifications.
(a) Before operating under an interchange agreement, each certificate holder conducting domestic or flag operations shall show that—
(1) The procedures for the interchange operation conform with this chapter and with safe operating practices;
(2) Required crewmembers and dispatchers meet approved training requirements for the airplanes and equipment to be used and are familiar with the communications and dispatch procedures to be used;
(3) Maintenance personnel meet training requirements for the airplanes and equipment, and are familiar with the maintenance procedures to be used;
(4) Flight crewmembers and dispatchers meet appropriate route and airport qualifications; and
(5) The airplanes to be operated are essentially similar to the airplanes of the certificate holder with whom the interchange is effected with respect to the arrangement of flight instruments and the arrangement and motion of controls that are critical to safety unless the Administrator determines that the certificate holder has adequate training programs to insure that any potentially hazardous dissimilarities are safely overcome by flight crew familiarization.
(b) Each certificate holder conducting domestic or flag operations shall include the pertinent provisions and procedures involved in the equipment interchange agreement in its manuals.
(a) No person may cause an airplane carrying passengers to be moved on the surface, take off, or land unless each automatically deployable emergency evacuation assisting means, installed pursuant to § 121.310(a), is ready for evacuation.
(b) Each certificate holder shall ensure that, at all times passengers are on board prior to airplane movement on the surface, at least one floor-level exit provides for the egress of passengers through normal or emergency means.
(a) Each certificate holder operating a passenger-carrying airplane shall insure that all passengers are orally briefed by the appropriate crewmember as follows:
(1) Before each takeoff, on each of the following:
(i) Smoking. Each passenger shall be briefed on when, where, and under what conditions smoking is prohibited including, but not limited to, any applicable requirements of part 252 of this title). This briefing shall include a statement that the Federal Aviation Regulations require passenger compliance with the lighted passenger information signs, posted placards, areas designated for safety purposes as no smoking areas, and crewmember instructions with regard to these items. The briefing shall also include a statement that Federal law prohibits tampering with, disabling, or destroying any smoke detector in an airplane lavatory; smoking in lavatories; and, when applicable, smoking in passenger compartments.
(ii) The location of emergency exits.
(iii) The use of safety belts, including instructions on how to fasten and unfasten the safety belts. Each passenger shall be briefed on when, where, and under what conditions the safety belt must be fastened about that passenger. This briefing shall include a statement that the Federal Aviation Regulations require passenger compliance with lighted passenger information signs and crewmember instructions concerning the use of safety belts.
(iv) The location and use of any required emergency flotation means.
(v) On operations that do not use a flight attendant, the following additional information:
(A) The placement of seat backs in an upright position before takeoff and landing.
(B) Location of survival equipment.
(C) If the flight involves operations above 12,000 MSL, the normal and emergency use of oxygen.
(D) Location and operation of fire extinguisher.
(2) After each takeoff, immediately before or immediately after turning the seat belt sign off, an announcement shall be made that passengers should keep their seat belts fastened, while seated, even when the seat belt sign is off.
(3) Except as provided in paragraph (a)(4) of this section, before each takeoff a required crewmember assigned to the flight shall conduct an individual briefing of each person who may need the assistance of another person to move expeditiously to an exit in the event of an emergency. In the briefing the required crewmember shall—
(i) Brief the person and his attendant, if any, on the routes to each appropriate exit and on the most appropriate time to begin moving to an exit in the event of an emergency; and
(ii) Inquire of the person and his attendant, if any, as to the most appropriate manner of assisting the person so as to prevent pain and further injury.
(4) The requirements of paragraph (a)(3) of this section do not apply to a person who has been given a briefing before a previous leg of a flight in the same aircraft when the crewmembers on duty have been advised as to the most appropriate manner of assisting the person so as to prevent pain and further injury.
(b) Each certificate holder must carry on each passenger-carrying airplane, in convenient locations for use of each passenger, printed cards supplementing the oral briefing. Each card must contain information pertinent only to the type and model of airplane used for that flight, including—
(1) Diagrams of, and methods of operating, the emergency exits;
(2) Other instructions necessary for use of emergency equipment; and
(3) No later than June 12, 2005, for Domestic and Flag scheduled passenger-carrying flights, the sentence, “Final assembly of this airplane was completed in [INSERT NAME OF COUNTRY].”
(c) The certificate holder shall describe in its manual the procedure to be followed in the briefing required by paragraph (a) of this section.
(a) In addition to the oral briefing required by § 121.571(a), each certificate holder operating an airplane in extended overwater operations shall ensure that all passengers are orally briefed by the appropriate crewmember on the location and operation of life preservers, liferafts, and other flotation means, including a demonstration of the method of donning and inflating a life preserver.
(b) The certificate holder shall describe in its manual the procedure to be followed in the briefing required by paragraph (a) of this section.
(c) If the airplane proceeds directly over water after takeoff, the briefing required by paragraph (a) of this section must be done before takeoff.
(d) If the airplane does not proceed directly over water after takeoff, no part of the briefing required by paragraph (a) of this section has to be given before takeoff, but the entire briefing must be given before reaching the overwater part of the flight.
(a) A certificate holder may allow a passenger to carry and operate equipment for the storage, generation, or dispensing of oxygen when all of the conditions in paragraphs (a) through (d) of this section are satisfied. Beginning August 22, 2016, a certificate holder may allow a passenger to carry and operate a portable oxygen concentrator when the conditions in paragraphs (b) and (e) of this section are satisfied.
(1) The equipment is—
(i) Furnished by the certificate holder;
(ii) Of an approved type or is in conformity with the manufacturing, packaging, marking, labeling, and maintenance requirements of 49 CFR parts 171, 172, and 173, except § 173.24(a)(1);
(iii) Maintained by the certificate holder in accordance with an approved maintenance program;
(iv) Free of flammable contaminants on all exterior surfaces;
(v) Capable of providing a minimum mass flow of oxygen to the user of four liters per minute;
(vi) Constructed so that all valves, fittings, and gauges are protected from damage; and
(vii) Appropriately secured.
(2) When the oxygen is stored in the form of a liquid, the equipment has been under the certificate holder's approved maintenance program since its purchase new or since the storage container was last purged.
(3) When the oxygen is stored in the form of a compressed gas as defined in 49 CFR 173.115(b)—
(i) The equipment has been under the certificate holder's approved maintenance program since its purchase new or since the last hydrostatic test of the storage cylinder; and
(ii) The pressure in any oxygen cylinder does not exceed the rated cylinder pressure.
(4) Each person using the equipment has a medical need to use it evidenced by a written statement to be kept in that person's possession, signed by a licensed physician which specifies the maximum quantity of oxygen needed each hour and the maximum flow rate needed for the pressure altitude corresponding to the pressure in the cabin of the airplane under normal operating conditions. This paragraph does not apply to the carriage of oxygen in an airplane in which the only passengers carried are persons who may have a medical need for oxygen during flight, no more than one relative or other interested person for each of those persons, and medical attendants.
(5) When a physician's statement is required by paragraph (a)(4) of this section, the total quantity of oxygen carried is equal to the maximum quantity of oxygen needed each hour, as specified in the physician's statement, multiplied by the number of hours used to compute the amount of airplane fuel required by this part.
(6) The pilot in command is advised when the equipment is on board, and when it is intended to be used.
(7) The equipment is stowed, and each person using the equipment is seated, so as not to restrict access to or use of any required emergency, or regular exit or of the aisle in the passenger compartment.
(b) No person may smoke or create an open flame and no certificate holder may allow any person to smoke or create an open flame within 10 feet of oxygen storage and dispensing equipment carried in accordance with paragraph (a) of this section or a portable oxygen concentrator carried and operated in accordance with paragraph (e) of this section.
(c) No certificate holder may allow any person to connect or disconnect oxygen dispensing equipment, to or from a gaseous oxygen cylinder while any passenger is aboard the airplane.
(d) The requirements of this section do not apply to the carriage of supplemental or first-aid oxygen and related equipment required by this chapter.
(e) Portable oxygen concentrators—(1) Acceptance criteria. A passenger may carry or operate a portable oxygen concentrator for personal use on board an aircraft and a certificate holder may allow a passenger to carry or operate a portable oxygen concentrator on board an aircraft operated under this part during all phases of flight if the portable oxygen concentrator satisfies all of the requirements in this paragraph (e):
(i) Is legally marketed in the United States in accordance with Food and Drug Administration requirements in title 21 of the CFR;
(ii) Does not radiate radio frequency emissions that interfere with aircraft systems;
(iii) Generates a maximum oxygen pressure of less than 200 kPa gauge (29.0 psig/43.8 psia) at 20 °C (68 °F);
(iv) Does not contain any hazardous materials subject to the Hazardous Materials Regulations (49 CFR parts 171 through 180) except as provided in 49 CFR 175.10 for batteries used to power portable electronic devices and that do not require aircraft operator approval; and
(v) Bears a label on the exterior of the device applied in a manner that ensures the label will remain affixed for the life of the device and containing the following certification statement in red lettering: “The manufacturer of this POC has determined this device conforms to all applicable FAA acceptance criteria for POC carriage and use on board aircraft.” The label requirements in this paragraph (e)(1)(v) do not apply to the following portable oxygen concentrators approved by the FAA for use on board aircraft prior to May 24, 2016:
(A) AirSep Focus;
(B) AirSep FreeStyle;
(C) AirSep FreeStyle 5;
(D) AirSep LifeStyle;
(E) Delphi RS-00400;
(F) DeVilbiss Healthcare iGo;
(G) Inogen One;
(H) Inogen One G2;
(I) Inogen One G3;
(J) Inova Labs LifeChoice;
(K) Inova Labs LifeChoice Activox;
(L) International Biophysics LifeChoice;
(M) Invacare Solo2;
(N) Invacare XPO2;
(O) Oxlife Independence Oxygen Concentrator;
(P) Oxus RS-00400;
(Q) Precision Medical EasyPulse;
(R) Respironics EverGo;
(S) Respironics SimplyGo;
(T) SeQual Eclipse;
(U) SeQual eQuinox Oxygen System (model 4000);
(V) SeQual Oxywell Oxygen System (model 4000);
(W) SeQual SAROS; and
(X) VBox Trooper Oxygen Concentrator.
(2) Operating requirements. Portable oxygen concentrators that satisfy the acceptance criteria identified in paragraph (e)(1) of this section may be carried or operated by a passenger on an aircraft provided the aircraft operator ensures that all of the conditions in this paragraph (e)(2) are satisfied:
(i) Exit seats. No person operating a portable oxygen concentrator is permitted to occupy an exit seat.
(ii) Stowage of device. During movement on the surface, takeoff and landing, the device must be stowed under the seat in front of the user, or in another approved stowage location so that it does not block the aisle way or the entryway to the row. If the device is to be operated by the user, it must be operated only at a seat location that does not restrict any passenger's access to, or use of, any required emergency or regular exit, or the aisle(s) in the passenger compartment.
(a) No person may drink any alcoholic beverage aboard an aircraft unless the certificate holder operating the aircraft has served that beverage to him.
(b) No certificate holder may serve any alcoholic beverage to any person aboard any of its aircraft who—
(1) Appears to be intoxicated;
(2) Is escorting a person or being escorted in accordance with 49 CFR 1544.221; or
(3) Has a deadly or dangerous weapon accessible to him while aboard the aircraft in accordance with 49 CFR 1544.219, 1544.221, or 1544.223.
(c) No certificate holder may allow any person to board any of its aircraft if that person appears to be intoxicated.
(d) Each certificate holder shall, within five days after the incident, report to the Administrator the refusal of any person to comply with paragraph (a) of this section, or of any disturbance caused by a person who appears to be intoxicated aboard any of its aircraft.
The certificate holder must provide and use means to prevent each item of galley equipment and each serving cart, when not in use, and each item of crew baggage, which is carried in a passenger or crew compartment from becoming a hazard by shifting under the appropriate load factors corresponding to the emergency landing conditions under which the airplane was type certificated.
(a) No certificate holder may move an airplane on the surface, take off, or land when any food, beverage, or tableware furnished by the certificate holder is located at any passenger seat.
(b) No certificate holder may move an airplane on the surface, take off, or land unless each food and beverage tray and seat back tray table is secured in its stowed position.
(c) No certificate holder may permit an airplane to move on the surface, take off, or land unless each passenger serving cart is secured in its stowed position.
(d) No certificate holder may permit an airplane to move on the surface, take off, or land unless each movie screen that extends into an aisle is stowed.
(e) Each passenger shall comply with instructions given by a crewmember with regard to compliance with this section.
(a) For the purpose of this section, the following definitions apply:
(1) Flight segment means scheduled nonstop flight time between two airports.
(2) Sea level equivalent refers to conditions of 25 °C and 760 millimeters of mercury pressure.
(b) Except as provided in paragraphs (d) and (e) of this section, no certificate holder may operate an airplane above the following flight levels unless it is successfully demonstrated to the Administrator that the concentration of ozone inside the cabin will not exceed—
(1) For flight above flight level 320, 0.25 parts per million by volume, sea level equivalent, at any time above that flight level; and
(2) For flight above flight level 270, 0.1 parts per million by volume, sea level equivalent, time-weighted average for each flight segment that exceeds 4 hours and includes flight above that flight level. (For this purpose, the amount of ozone below flight level 180 is considered to be zero.)
(c) Compliance with this section must be shown by analysis or tests, based on either airplane operational procedures and performance limitations or the certificate holder's operations. The analysis or tests must show either of the following:
(1) Atmospheric ozone statistics indicate, with a statistical confidence of at least 84%, that at the altitudes and locations at which the airplane will be operated cabin ozone concentrations will not exceed the limits prescribed by paragraph (b) of this section.
(2) The airplane ventilation system including any ozone control equipment, will maintain cabin ozone concentrations at or below the limits prescribed by paragraph (b) of this section.
(d) A certificate holder may obtain an authorization to deviate from the requirements of paragraph (b) of this section, by an amendment to its operations specifications, if—
(1) It shows that due to circumstances beyond its control or to unreasonable economic burden it cannot comply for a specified period of time; and
(2) It has submitted a plan acceptable to the Administrator to effect compliance to the extent possible.
(e) A certificate holder need not comply with the requirements of paragraph (b) of this section for an aircraft—
(1) When the only persons carried are flight crewmembers and persons listed in § 121.583;
(2) If the aircraft is scheduled for retirement before January 1, 1985; or
(3) If the aircraft is scheduled for re-engining under the provisions of subpart E of part 91, until it is re-engined.
(a) Definitions. For purpose of this section—
(1) Altitudes for takeoff/initial climb and go-around/missed approach are defined as above the airport elevation.
(2) Altitudes for enroute operations are defined as above terrain elevation.
(3) Altitudes for approach are defined as above the touchdown zone elevation (TDZE), unless the altitude is specifically in reference to DA (H) or MDA, in which case the altitude is defined by reference to the DA(H) or MDA itself.
(b) Takeoff and initial climb. No person may use an autopilot for takeoff or initial climb below the higher of 500 feet or an altitude that is no lower than twice the altitude loss specified in the Airplane Flight Manual (AFM), except as follows—
(1) At a minimum engagement altitude specified in the AFM; or
(2) At an altitude specified by the Administrator, whichever is greater.
(c) Enroute. No person may use an autopilot enroute, including climb and descent, below the following—
(1) 500 feet;
(2) At an altitude that is no lower than twice the altitude loss specified in the AFM for an autopilot malfunction in cruise conditions; or
(3) At an altitude specified by the Administrator, whichever is greater.
(d) Approach. No person may use an autopilot at an altitude lower than 50 feet below the DA(H) or MDA for the instrument procedure being flown, except as follows—
(1) For autopilots with an AFM specified altitude loss for approach operations—
(i) An altitude no lower than twice the specified altitude loss if higher than 50 feet below the MDA or DA(H);
(ii) An altitude no lower than 50 feet higher than the altitude loss specified in the AFM, when the following conditions are met—
(A) Reported weather conditions are less than the basic VFR weather conditions in § 91.155 of this chapter;
(B) Suitable visual references specified in § 91.175 of this chapter have been established on the instrument approach procedure; and
(C) The autopilot is coupled and receiving both lateral and vertical path references;
(iii) An altitude no lower than the higher of the altitude loss specified in the AFM or 50 feet above the TDZE, when the following conditions are met—
(A) Reported weather conditions are equal to or better than the basic VFR weather conditions in § 91.155 of this chapter; and
(B) The autopilot is coupled and receiving both lateral and vertical path references; or
(iv) A greater altitude specified by the Administrator.
(2) For autopilots with AFM specified approach altitude limitations, the greater of—
(i) The minimum use altitude specified for the coupled approach mode selected;
(ii) 50 feet; or
(iii) An altitude specified by Administrator.
(3) For autopilots with an AFM specified negligible or zero altitude loss for an autopilot approach mode malfunction, the greater of—
(i) 50 feet; or
(ii) An altitude specified by Administrator.
(4) If executing an autopilot coupled go-around or missed approach using a certificated and functioning autopilot in accordance with paragraph (e) in this section.
(e) Go-Around/Missed Approach. No person may engage an autopilot during a go-around or missed approach below the minimum engagement altitude specified for takeoff and initial climb in paragraph (b) in this section. An autopilot minimum use altitude does not apply to a go-around/missed approach initiated with an engaged autopilot. Performing a go-around or missed approach with an engaged autopilot must not adversely affect safe obstacle clearance.
(f) Landing. Notwithstanding paragraph (d) of this section, autopilot minimum use altitudes do not apply to autopilot operations when an approved automatic landing system mode is being used for landing. Automatic landing systems must be authorized in an operations specification issued to the operator.
No person may assault, threaten, intimidate, or interfere with a crewmember in the performance of the crewmember's duties aboard an aircraft being operated under this part.
(a) Except as provided in paragraph (c) of this section, each certificate holder shall make available a seat on the flight deck of each airplane, used by it in air commerce, for occupancy by the Administrator while conducting en route inspections. The location and equipment of the seat, with respect to its suitability for use in conducting en route inspections, is determined by the Administrator.
(b) In each airplane that has more than one observer's seat, in addition to the seats required for the crew complement for which the airplane was certificated, the forward observer's seat or the observer's seat selected by the Administrator must be made available when complying with paragraph (a) of this section.
(c) For any airplane type certificated before December 20, 1995, for not more than 30 passengers that does not have an observer seat on the flightdeck, the certificate holder must provide a forward passenger seat with headset or speaker for occupancy by the Administrator while conducting en route inspections.
Except for all-cargo operations as defined in § 110.2 of this chapter, after October 15, 2007, for all passenger carrying airplanes that require a lockable flightdeck door in accordance with § 121.313(f), the certificate holder must have an approved means by which the cabin crew can discreetly notify the flightcrew in the event of suspicious activity or security breaches in the cabin.
(a) When authorized by the certificate holder, the following persons, but no others, may be carried aboard an airplane without complying with the passenger-carrying airplane requirements in §§ 121.309(f), 121.310, 121.391, 121.571, and 121.587; the passenger-carrying operation requirements in part 117 and §§ 121.157(c) and 121.291; the requirements pertaining to passengers in §§ 121.285, 121.313(f), 121.317, 121.547, and 121.573; and the information disclosure requirements in § 121.311(k):
(1) A crewmember.
(2) A company employee.
(3) An FAA air carrier inspector, a DOD commercial air carrier evaluator, or an authorized representative of the National Transportation Safety Board, who is performing official duties.
(4) A person necessary for—
(i) The safety of the flight;
(ii) The safe handling of animals;
(iii) The safe handling of hazardous materials whose carriage is governed by regulations in 49 CFR part 175;
(iv) The security of valuable or confidential cargo;
(v) The preservation of fragile or perishable cargo;
(vi) Experiments on, or testing of, cargo containers or cargo handling devices;
(vii) The operation of special equipment for loading or unloading cargo; and
(viii) The loading or unloading of outsize cargo.
(5) A person described in paragraph (a)(4) of this section, when traveling to or from his assignment.
(6) A person performing duty as an honor guard accompanying a shipment made by or under the authority of the United States.
(7) A military courier, military route supervisor, military cargo contract coordinator, or a flight crewmember of another military cargo contract air carrier or commercial operator, carried by a military cargo contract air carrier or commercial operator in operations under a military cargo contract, if that carriage is specifically authorized by the appropriate armed forces.
(8) A dependent of an employee of the certificate holder when traveling with the employee on company business to or from outlying stations not served by adequate regular passenger flights.
(b) No certificate holder may operate an airplane carrying a person covered by paragraph (a) of this section unless—
(1) Each person has unobstructed access from his seat to the pilot compartment or to a regular or emergency exit;
(2) The pilot in command has a means of notifying each person when smoking is prohibited and when safety belts must be fastened; and
(3) The airplane has an approved seat with an approved safety belt for each person. The seat must be located so that the occupant is not in any position to interfere with the flight crewmembers performing their duties.
(c) Before each takeoff, each certificate holder operating an airplane carrying persons covered by paragraph (a) of this section shall ensure that all such persons have been orally briefed by the appropriate crewmember on—
(1) Smoking;
(2) The use of seat belts;
(3) The location and operation of emergency exits;
(4) The use of oxygen and emergency oxygen equipment; and
(5) For extended overwater operations, the location of life rafts, and the location and operation of life preservers including a demonstration of the method of donning and inflating a life preserver.
(d) Each certificate holder operating an airplane carrying persons covered by paragraph (a) of this section shall incorporate procedures for the safe carriage of such persons into the certificate holder's operations manual.
(e) The pilot in command may authorize a person covered by paragraph (a) of this section to be admitted to the crew compartment of the airplane.
From the time the airplane moves in order to initiate a flight segment through the end of that flight segment, no person may unlock or open the flightdeck door unless:
(a) A person authorized to be on the flightdeck uses an approved audio procedure and an approved visual device to verify that:
(1) The area outside the flightdeck door is secure, and;
(2) If someone outside the flightdeck is seeking to have the flightdeck door opened, that person is not under duress, and;
(3) If the airplane is in flight, any installed physical secondary barrier (IPSB) required by § 121.313(l) has been deployed; and
(b) After the requirements of paragraph (a) of this section have been satisfactorily accomplished, the crewmember in charge on the flightdeck authorizes the door to be unlocked and open.
(a)(1) Each certificate holder shall determine, to the extent necessary to perform the applicable functions of paragraph (d) of this section, the suitability of each person it permits to occupy an exit seat, in accordance with this section. For the purpose of this section—
(i) Exit seat means—
(A) Each seat having direct access to an exit; and,
(B) Each seat in a row of seats through which passengers would have to pass to gain access to an exit, from the first seat inboard of the exit to the first aisle inboard of the exit.
(ii) A passenger seat having “direct access” means a seat from which a passenger can proceed directly to the exit without entering an aisle or passing around an obstruction.
(2) Each certificate holder shall make the passenger exit seating determinations required by this paragraph in a non-discriminatory manner consistent with the requirements of this section, by persons designated in the certificate holder's required operations manual.
(3) Each certificate holder shall designate the exit seats for each passenger seating configuration in its fleet in accordance with the definitions in this paragraph and submit those designations for approval as part of the procedures required to be submitted for approval under paragraphs (n) and (p) of this section.
(b) No certificate holder may seat a person in a seat affected by this section if the certificate holder determines that it is likely that the person would be unable to perform one or more of the applicable functions listed in paragraph (d) of this section because—
(1) The person lacks sufficient mobility, strength, or dexterity in both arms and hands, and both legs:
(i) To reach upward, sideways, and downward to the location of emergency exit and exit-slide operating mechanisms;
(ii) To grasp and push, pull, turn, or otherwise manipulate those mechanisms;
(iii) To push, shove, pull, or otherwise open emergency exits;
(iv) To lift out, hold, deposit on nearby seats, or maneuver over the seatbacks to the next row objects the size and weight of over-wing window exit doors;
(v) To remove obstructions similar in size and weight to over-wing exit doors;
(vi) To reach the emergency exit expeditiously;
(vii) To maintain balance while removing obstructions;
(viii) To exit expeditiously;
(ix) To stabilize an escape slide after deployment; or
(x) To assist others in getting off an escape slide;
(2) The person is less than 15 years of age or lacks the capacity to perform one or more of the applicable functions listed in paragraph (d) of this section without the assistance of an adult companion, parent, or other relative;
(3) The person lacks the ability to read and understand instructions required by this section and related to emergency evacuation provided by the certificate holder in printed or graphic form or the ability to understand oral crew commands.
(4) The person lacks sufficient visual capacity to perform one or more of the applicable functions in paragraph (d) of this section without the assistance of visual aids beyond contact lenses or eyeglasses;
(5) The person lacks sufficient aural capacity to hear and understand instructions shouted by flight attendants, without assistance beyond a hearing aid;
(6) The person lacks the ability adequately to impart information orally to other passengers; or,
(7) The person has:
(i) A condition or responsibilities, such as caring for small children, that might prevent the person from performing one or more of the applicable functions listed in paragraph (d) of this section; or
(ii) A condition that might cause the person harm if he or she performs one or more of the applicable functions listed in paragraph (d) of this section.
(c) Each passenger shall comply with instructions given by a crewmember or other authorized employee of the certificate holder implementing exit seating restrictions established in accordance with this section.
(d) Each certificate holder shall include on passenger information cards, presented in the language in which briefings and oral commands are given by the crew, at each exit seat affected by this section, information that, in the event of an emergency in which a crewmember is not available to assist, a passenger occupying an exit seat may use if called upon to perform the following functions:
(1) Locate the emergency exit;
(2) Recognize the emergency exit opening mechanism;
(3) Comprehend the instructions for operating the emergency exit;
(4) Operate the emergency exit;
(5) Assess whether opening the emergency exit will increase the hazards to which passengers may be exposed;
(6) Follow oral directions and hand signals given by a crewmember;
(7) Stow or secure the emergency exit door so that it will not impede use of the exit;
(8) Assess the condition of an escape slide, activate the slide, and stabilize the slide after deployment to assist others in getting off the slide;
(9) Pass expeditiously through the emergency exit; and
(10) Assess, select, and follow a safe path away from the emergency exit.
(e) Each certificate holder shall include on passenger information cards, at each exit seat—
(1) In the primary language in which emergency commands are given by the crew, the selection criteria set forth in paragraph (b) of this section, and a request that a passenger identify himself or herself to allow reseating if he or she:
(i) Cannot meet the selection criteria set forth in paragraph (b) of this section;
(ii) Has a nondiscernible condition that will prevent him or her from performing the applicable functions listed in paragraph (d) of this section;
(iii) May suffer bodily harm as the result of performing one or more of those functions; or
(iv) Does not wish to perform those functions; and
(2) In each language used by the certificate holder for passenger information cards, a request that a passenger identify himself or herself to allow reseating if he or she lacks the ability to read, speak, or understand the language or the graphic form in which instructions required by this section and related to emergency evacuation are provided by the certificate holder, or the ability to understand the specified language in which crew commands will be given in an emergency.
(3) May suffer bodily harm as the result of performing one or more of those functions; or,
(4) Does not wish to perform those functions.
(f) Each certificate holder shall make available for inspection by the public at all passenger loading gates and ticket counters at each airport where it conducts passenger operations, written procedures established for making determinations in regard to exit row seating.
(g) No certificate holder may allow taxi or pushback unless at least one required crewmember has verified that no exit seat is occupied by a person the crewmember determines is likely to be unable to perform the applicable functions listed in paragraph (d) of this section.
(h) Each certificate holder shall include in its passenger briefings a reference to the passenger information cards, required by paragraphs (d) and (e), the selection criteria set forth in paragraph (b), and the functions to be performed, set forth in paragraph (d) of this section.
(i) Each certificate holder shall include in its passenger briefings a request that a passenger identify himself or herself to allow reseating if he or she—
(1) Cannot meet the selection criteria set forth in paragraph (b) of this section;
(2) Has a nondiscernible condition that will prevent him or her from performing the applicable functions listed in paragraph (d) of this section;
(3) May suffer bodily harm as the result of performing one or more of those functions listed in paragraph (d) of this section; or,
(4) Does not wish to perform those functions listed in paragraph (d) of this section.
(j) [Reserved]
(k) In the event a certificate holder determines in accordance with this section that it is likely that a passenger assigned to an exit seat would be unable to perform the functions listed in paragraph (d) of this section or a passenger requests a non-exit seat, the certificate holder shall expeditiously relocate the passenger to a non-exit seat.
(l) In the event of full booking in the non-exit seats and if necessary to accommodate a passenger being relocated from an exit seat, the certificate holder shall move a passenger who is willing and able to assume the evacuation functions that may be required, to an exit seat.
(m) A certificate holder may deny transportation to any passenger under this section only because—
(1) The passenger refuses to comply with instructions given by a crewmember or other authorized employee of the certificate holder implementing exit seating restrictions established in accordance with this section, or
(2) The only seat that will physically accommodate the person's handicap is an exit seat.
(n) In order to comply with this section certificate holders shall—
(1) Establish procedures that address:
(i) The criteria listed in paragraph (b) of this section;
(ii) The functions listed in paragraph (d) of this section;
(iii) The requirements for airport information, passenger information cards, crewmember verification of appropriate seating in exit seats, passenger briefings, seat assignments, and denial of transportation as set forth in this section;
(iv) How to resolve disputes arising from implementation of this section, including identification of the certificate holder employee on the airport to whom complaints should be addressed for resolution; and,
(2) Submit their procedures for preliminary review and approval to the principal operations inspectors assigned to them at the responsible Flight Standards office.
(o) Certificate holders shall assign seats prior to boarding consistent with the criteria listed in paragraph (b) and the functions listed in paragraph (d) of this section, to the maximum extent feasible.
(p) The procedures required by paragraph (n) of this section will not become effective until final approval is granted by the Executive Director, Flight Standards Service, Washington, DC. Approval will be based solely upon the safety aspects of the certificate holder's procedures.
(a) No certificate holder may refuse transportation to a passenger on the basis that, because the passenger may need the assistance of another person to move expeditiously to an exit in the event of an emergency, his transportation would or might be inimical to safety of flight unless—
(1) The certificate holder has established procedures (including reasonable notice requirements) for the carriage of passengers who may need the assistance of another person to move expeditiously to an exit in the event of an emergency; and
(2) At least one of the following conditions exist:
(i) The passenger fails to comply with the notice requirements in the certificate holder's procedures.
(ii) The passenger cannot be carried in accordance with the certificate holder's procedures.
(b) Each certificate holder shall provide the responsible Flight Standards office with a copy of each procedure it establishes in accordance with paragraph (a)(2) of this section.
(c) Whenever the Administrator finds that revisions in the procedures described in paragraph (a)(2) of this section are necessary in the interest of safety or in the public interest, the certificate holder, after notification by the Administrator, shall make those revisions in its procedures. Within 30 days after the certificate holder receives such notice, it may file a petition to reconsider the notice with the responsible Flight Standards office. The filing of a petition to reconsider stays the notice pending a decision by the Administrator. However, if the Administrator finds that there is an emergency that requires immediate action in the interest of safety in air commerce, he may, upon a statement of the reasons, require a change effective without stay.
(d) Each certificate holder shall make available to the public at each airport it serves a copy of each procedure it establishes in accordance with paragraph (a)(1) of this section.
(a) Except as provided in paragraph (b) of this section, a pilot in command of an airplane that has a lockable flightcrew compartment door in accordance with § 121.313 and that is carrying passengers shall ensure that the door separating the flightcrew compartment from the passenger compartment is closed and locked at all times when the aircraft is being operated.
(b) The provisions of paragraph (a) of this section do not apply at any time when it is necessary to permit access and egress by persons authorized in accordance with § 121.547 and provided the part 119 operator complies with FAA approved procedures regarding the opening, closing and locking of the flightdeck doors.
(a) No certificate holder may allow the boarding of carry-on baggage on an airplane unless each passenger's baggage has been scanned to control the size and amount carried on board in accordance with an approved carry-on baggage program in its operations specifications. In addition, no passenger may board an airplane if his/her carry-on baggage exceeds the baggage allowance prescribed in the carry-on baggage program in the certificate holder's operations specifications.
(b) No certificate holder may allow all passenger entry doors of an airplane to be closed in preparation for taxi or pushback unless at least one required crewmember has verified that each article of baggage is stowed in accordance with this section and § 121.285 (c) and (d).
(c) No certificate holder may allow an airplane to take off or land unless each article of baggage is stowed:
(1) In a suitable closet or baggage or cargo stowage compartment placarded for its maximum weight and providing proper restraint for all baggage or cargo stowed within, and in a manner that does not hinder the possible use of any emergency equipment; or
(2) As provided in § 121.285 (c) and (d); or
(3) Under a passenger seat.
(d) Baggage, other than articles of loose clothing, may not be placed in an overhead rack unless that rack is equipped with approved restraining devices or doors.
(e) Each passenger must comply with instructions given by crewmembers regarding compliance with paragraphs (a), (b), (c), (d), and (g) of this section.
(f) Each passenger seat under which baggage is allowed to be stowed shall be fitted with a means to prevent articles of baggage stowed under it from sliding forward. In addition, each aisle seat shall be fitted with a means to prevent articles of baggage stowed under it from sliding sideward into the aisle under crash impacts severe enough to induce the ultimate inertia forces specified in the emergency landing condition regulations under which the airplane was type certificated.
(g) In addition to the methods of stowage in paragraph (c) of this section, flexible travel canes carried by blind individuals may be stowed—
(1) Under any series of connected passenger seats in the same row, if the cane does not protrude into an aisle and if the cane is flat on the floor; or
(2) Between a nonemergency exit window seat and the fuselage, if the cane is flat on the floor; or
(3) Beneath any two nonemergency exit window seats, if the cane is flat on the floor; or
(4) In accordance with any other method approved by the Administrator.
(a) Except as provided in paragraphs (b) or (c) of this section, or unless authorized by the Administrator under 49 U.S.C. 44706(c), no air carrier and no pilot being used by an air carrier may operate, in the conduct of a domestic type operation, flag type operation, or supplemental type operation, an airplane at a land airport in any State of the United States, the District of Columbia, or any territory or possession of the United States unless that airport is certificated under part 139 of this chapter. Further, after June 9, 2005 for Class I airports and after December 9, 2005 for Class II, III, and IV airports, when an air carrier and a pilot being used by the air carrier are required to operate at an airport certificated under part 139 of this chapter, the air carrier and the pilot may only operate at that airport if the airport is classified under part 139 to serve the type airplane to be operated and the type of operation to be conducted.
(b)(1) An air carrier and a pilot being used by the air carrier in the conduct of a domestic type operation, flag type operation, or supplemental type operation may designate and use as a required alternate airport for departure or destination an airport that is not certificated under part 139 of this chapter.
(2) Until December 9, 2005, an air carrier and a pilot being used by the air carrier in the conduct of domestic type operations and flag type operations, may operate an airplane designed for more than 9 but less than 31 passenger seats, at a land airport, in any State of the United States, the District of Columbia, or any territory or possession of the United States, that does not hold an airport operating certificate issued under part 139 of this chapter, and that serves small air carrier aircraft (as defined under “Air carrier aircraft” and “Class III airport” in § 139.5 of this Chapter).
(c) An air carrier and a pilot used by the air carrier in conducting a domestic type operation, flag type operation, or supplemental type operation may operate an airplane at an airport operated by the U.S. Government that is not certificated under part 139 of this chapter, only if that airport meets the equivalent—
(1) Safety standards for airports certificated under part 139 of this chapter; and
(2) Airport classification requirements under part 139 to serve the type airplane to be operated and the type of operation to be conducted.
(d) An air carrier, a commercial operator, and a pilot being used by the air carrier or the commercial operator—when conducting a passenger-carrying airplane operation under this part that is not a domestic type operation, a flag type operation, or a supplemental type operation—may operate at a land airport not certificated under part 139 of this chapter only when the following conditions are met:
(1) The airport is adequate for the proposed operation, considering such items as size, surface, obstructions, and lighting.
(2) For an airplane carrying passengers at night, the pilot may not take off from, or land at, an airport unless—
(i) The pilot has determined the wind direction from an illuminated wind direction indicator or local ground communications or, in the case of takeoff, that pilot's personal observations; and
(ii) The limits of the area to be used for landing or takeoff are clearly shown by boundary or runway marker lights. If the area to be used for takeoff or landing is marked by flare pots or lanterns, their use must be authorized by the Administrator.
(e) A commercial operator and a pilot used by the commercial operator in conducting a domestic type operation, flag type operation, or supplemental type operation may operate an airplane at an airport operated by the U.S. Government that is not certificated under part 139 of this chapter only if that airport meets the equivalent—
(1) Safety standards for airports certificated under part 139 of this chapter; and
(2) Airport classification requirements under part 139 of this chapter to serve the type airplane to be operated and the type of operation to be conducted.
(f) For the purpose of this section, the terms—
Domestic type operation means any domestic operation conducted with—
(1) An airplane designed for at least 31 passenger seats (as determined by the aircraft type certificate issued by a competent civil aviation authority) at any land airport in any State of the United States, the District of Columbia, or any territory or possession of the United States; or
(2) An airplane designed for more than 9 passenger seats but less than 31 passenger seats (as determined by the aircraft type certificate issued by a competent civil aviation authority) at any land airport in any State of the United States (except Alaska), the District of Columbia, or any territory or possession of the United States.
Flag type operation means any flag operation conducted with—
(1) An airplane designed for at least 31 passenger seats (as determined by the aircraft type certificate issued by a competent civil aviation authority) at any land airport in any State of the United States, the District of Columbia, or any territory or possession of the United States; or
(2) An airplane designed for more than 9 passenger seats but less than 31 passenger seats (as determined by the aircraft type certificate issued by a competent civil aviation authority) at any land airport in any State of the United States (except Alaska), the District of Columbia, or any territory or possession of the United States.
Supplemental type operation means any supplemental operation (except an all-cargo operation) conducted with an airplane designed for at least 31 passenger seats (as determined by the aircraft type certificate issued by a competent civil aviation authority) at any land airport in any State of the United States, the District of Columbia, or any territory or possession of the United States.
United States means the States of the United States, the District of Columbia, and the territories and possessions of the United States.
Special Statutory Requirement to Operate to or From a Part 139 Airport. Each air carrier that provides—in an aircraft (e.g., airplane, rotorcraft, etc.) designed for more than 9 passenger seats—regularly scheduled charter air transportation for which the public is provided in advance a schedule containing the departure location, departure time, and arrival location of the flight must operate to and from an airport certificated under part 139 of this chapter in accordance with 49 U.S.C. 41104(b). That statutory provision contains stand-alone requirements for such air carriers and special exceptions for operations in Alaska and outside the United States. Nothing in § 121.590 exempts the air carriers described in this note from the requirements of 49 U.S.C. 41104(b). Certain operations by air carriers that conduct public charter operations under 14 CFR part 380 are covered by the statutory requirements to operate to and from part 139 airports. See 49 U.S.C. 41104(b).
This subpart prescribes dispatching rules for domestic and flag operations and flight release rules for supplemental operations.
Except when an airplane lands at an intermediate airport specified in the original dispatch release and remains there for not more than one hour, no person may start a flight unless an aircraft dispatcher specifically authorizes that flight.
(a) No person may start a flight unless an aircraft dispatcher specifically authorizes that flight.
(b) No person may continue a flight from an intermediate airport without redispatch if the airplane has been on the ground more than six hours.
(a) No person may start a flight under a flight following system without specific authority from the person authorized by the operator to exercise operational control over the flight.
(b) No person may start a flight unless the pilot in command or the person authorized by the operator to exercise operational control over the flight has executed a flight release setting forth the conditions under which the flights will be conducted. The pilot in command may sign the flight release only when he and the person authorized by the operator to exercise operational control believe that the flight can be made with safety.
(c) No person may continue a flight from an intermediate airport without a new flight release if the aircraft has been on the ground more than six hours.
(a) Domestic and flag operations. No aircraft dispatcher may release a flight unless he is thoroughly familiar with reported and forecast weather conditions on the route to be flown.
(b) Supplemental operations. No pilot in command may begin a flight unless he is thoroughly familiar with reported and forecast weather conditions on the route to be flown.
(a) The aircraft dispatcher shall provide the pilot in command all available current reports or information on airport conditions and irregularities of navigation facilities that may affect the safety of the flight.
(b) Before beginning a flight, the aircraft dispatcher shall provide the pilot in command with all available weather reports and forecasts of weather phenomena that may affect the safety of flight, including adverse weather phenomena, such as clear air turbulence, thunderstorms, and low altitude wind shear, for each route to be flown and each airport to be used.
(c) During a flight, the aircraft dispatcher shall provide the pilot in command any additional available information of meteorological conditions (including adverse weather phenomena, such as clear air turbulence, thunderstorms, and low altitude wind shear), and irregularities of facilities and services that may affect the safety of the flight.
(a) Before beginning a flight, each pilot in command shall obtain all available current reports or information on airport conditions and irregularities of navigation facilities that may affect the safety of the flight.
(b) During a flight, the pilot in command shall obtain any additional available information of meteorological conditions and irregularities of facilities and services that may affect the safety of the flight.
No person may dispatch or release an airplane unless it is airworthy and is equipped as prescribed in § 121.303.
(a) Except as provided in paragraph (b) of this section for a certificate holder conducting flag operations, no person may dispatch an airplane over an approved route or route segment unless the communication and navigation facilities required by §§ 121.99 and 121.103 for the approval of that route or segment are in satisfactory operating condition.
(b) If, because of technical reasons or other reasons beyond the control of a certificate holder conducting flag operations, the facilities required by §§ 121.99 and 121.103 are not available over a route or route segment outside the United States, the certificate holder may dispatch an airplane over that route or route segment if the pilot in command and dispatcher find that communication and navigation facilities equal to those required are available and are in satisfactory operating condition.
No person may release an aircraft over any route or route segment unless communication and navigation facilities equal to those required by § 121.121 are in satisfactory operating condition.
No person may dispatch or release an aircraft for VFR operation unless the ceiling and visibility en route, as indicated by available weather reports or forecasts, or any combination thereof, are and will remain at or above applicable VFR minimums until the aircraft arrives at the airport or airports specified in the dispatch or flight release.
Except as provided in § 121.615, no person may dispatch or release an aircraft for operations under IFR or over-the-top, unless appropriate weather reports or forecasts, or any combination thereof, indicate that the weather conditions will be at or above the authorized minimums at the estimated time of arrival at the airport or airports to which dispatched or released.
(a) No person may dispatch or release an aircraft for a flight that involves extended overwater operation unless appropriate weather reports or forecasts or any combination thereof, indicate that the weather conditions will be at or above the authorized minimums at the estimated time of arrival at any airport to which dispatched or released or to any required alternate airport.
(b) Each certificate holder conducting a flag or supplemental operation or a domestic operation within the State of Alaska shall conduct extended overwater operations under IFR unless it shows that operating under IFR is not necessary for safety.
(c) Each certificate holder conducting a flag or supplemental operation or a domestic operation within the State of Alaska shall conduct other overwater operations under IFR if the Administrator determines that operation under IFR is necessary for safety.
(d) Each authorization to conduct extended overwater operations under VFR and each requirement to conduct other overwater operations under IFR will be specified in the certificate holder's operations specifications.
(a) If the weather conditions at the airport of takeoff are below the landing minimums in the certificate holder's operations specifications for that airport, no person may dispatch or release an aircraft from that airport unless the dispatch or flight release specifies an alternate airport located within the following distances from the airport of takeoff:
(1) Aircraft having two engines. Not more than one hour from the departure airport at normal cruising speed in still air with one engine inoperative.
(2) Aircraft having three or more engines. Not more than two hours from the departure airport at normal cruising speed in still air with one engine inoperative.
(b) For the purpose of paragraph (a) of this section, the alternate airport weather conditions must meet the requirements of the certificate holder's operations specifications.
(c) No person may dispatch or release an aircraft from an airport unless he lists each required alternate airport in the dispatch or flight release.
(a) No person may dispatch an airplane under IFR or over-the-top unless he lists at least one alternate airport for each destination airport in the dispatch release. When the weather conditions forecast for the destination and first alternate airport are marginal at least one additional alternate must be designated. However, no alternate airport is required if for at least 1 hour before and 1 hour after the estimated time of arrival at the destination airport the appropriate weather reports or forecasts, or any combination of them, indicate—
(1) The ceiling will be at least 2,000 feet above the airport elevation; and
(2) Visibility will be at least 3 miles.
(b) For the purposes of paragraph (a) of this section, the weather conditions at the alternate airport must meet the requirements of § 121.625.
(c) No person may dispatch a flight unless he lists each required alternate airport in the dispatch release.
(a) No person may dispatch an airplane under IFR or over-the-top unless he lists at least one alternate airport for each destination airport in the dispatch release, unless—
(1) The flight is scheduled for not more than 6 hours and, for at least 1 hour before and 1 hour after the estimated time of arrival at the destination airport, the appropriate weather reports or forecasts, or any combination of them, indicate the ceiling will be:
(i) At least 1,500 feet above the lowest circling MDA, if a circling approach is required and authorized for that airport; or
(ii) At least 1,500 feet above the lowest published instrument approach minimum or 2,000 feet above the airport elevation, whichever is greater; and
(iii) The visibility at that airport will be at least 3 miles, or 2 miles more than the lowest applicable visibility minimums, whichever is greater, for the instrument approach procedures to be used at the destination airport; or
(2) The flight is over a route approved without an available alternate airport for a particular destination airport and the airplane has enough fuel to meet the requirements of § 121.641(b) or § 121.645(c).
(b) For the purposes of paragraph (a) of this section, the weather conditions at the alternate airport must meet the requirements of the certificate holder's operations specifications.
(c) No person may dispatch a flight unless he lists each required alternate airport in the dispatch release.
(a) Except as provided in paragraph (b) of this section, each person releasing an aircraft for operation under IFR or over-the-top shall list at least one alternate airport for each destination airport in the flight release.
(b) An alternate airport need not be designated for IFR or over-the-top operations where the aircraft carries enough fuel to meet the requirements of §§ 121.643 and 121.645 for flights outside the 48 contiguous States and the District of Columbia over routes without an available alternate airport for a particular airport of destination.
(c) For the purposes of paragraph (a) of this section, the weather requirements at the alternate airport must meet the requirements of the certificate holder's operations specifications.
(d) No person may release a flight unless he lists each required alternate airport in the flight release.
(a) No person may dispatch or release an airplane for an ETOPS flight unless enough ETOPS Alternate Airports are listed in the dispatch or flight release such that the airplane remains within the authorized ETOPS maximum diversion time. In selecting these ETOPS Alternate Airports, the certificate holder must consider all adequate airports within the authorized ETOPS diversion time for the flight that meet the standards of this part.
(b) No person may list an airport as an ETOPS Alternate Airport in a dispatch or flight release unless, when it might be used (from the earliest to the latest possible landing time)—
(1) The appropriate weather reports or forecasts, or any combination thereof, indicate that the weather conditions will be at or above the ETOPS Alternate Airport minima specified in the certificate holder's operations specifications; and
(2) The field condition reports indicate that a safe landing can be made.
(c) Once a flight is en route, the weather conditions at each ETOPS Alternate Airport must meet the requirements of § 121.631 (c).
(d) No person may list an airport as an ETOPS Alternate Airport in the dispatch or flight release unless that airport meets the public protection requirements of § 121.97(b)(1)(ii).
Except as provided in § 121.624 for ETOPS Alternate Airports, no person may list an airport as an alternate in the dispatch or flight release unless the appropriate weather reports or forecasts, or any combination thereof, indicate that the weather conditions will be at or above the alternate weather minima specified in the certificate holder's operations specifications for that airport when the flight arrives.
(a) No pilot in command may allow a flight to continue toward any airport to which it has been dispatched or released if, in the opinion of the pilot in command or dispatcher (domestic and flag operations only), the flight cannot be completed safely; unless, in the opinion of the pilot in command, there is no safer procedure. In that event, continuation toward that airport is an emergency situation as set forth in § 121.557.
(b) If any instrument or item of equipment required under this chapter for the particular operation becomes inoperative en route, the pilot in command shall comply with the approved procedures for such an occurrence as specified in the certificate holder's manual.
(a) No person may take off an airplane with inoperable instruments or equipment installed unless the following conditions are met:
(1) An approved Minimum Equipment List exists for that airplane.
(2) The responsible Flight Standards office has issued the certificate holder operations specifications authorizing operations in accordance with an approved Minimum Equipment List. The flight crew shall have direct access at all times prior to flight to all of the information contained in the approved Minimum Equipment List through printed or other means approved by the Administrator in the certificate holders operations specifications. An approved Minimum Equipment List, as authorized by the operations specifications, constitutes an approved change to the type design without requiring recertification.
(3) The approved Minimum Equipment List must:
(i) Be prepared in accordance with the limitations specified in paragraph (b) of this section.
(ii) Provide for the operation of the airplane with certain instruments and equipment in an inoperable condition.
(4) Records identifying the inoperable instruments and equipment and the information required by paragraph (a)(3)(ii) of this section must be available to the pilot.
(5) The airplane is operated under all applicable conditions and limitations contained in the Minimum Equipment List and the operations specifications authorizing use of the Minimum Equipment List.
(b) The following instruments and equipment may not be included in the Minimum Equipment List:
(1) Instruments and equipment that are either specifically or otherwise required by the airworthiness requirements under which the airplane is type certificated and which are essential for safe operations under all operating conditions.
(2) Instruments and equipment required by an airworthiness directive to be in operable condition unless the airworthiness directive provides otherwise.
(3) Instruments and equipment required for specific operations by this part.
(c) Notwithstanding paragraphs (b)(1) and (b)(3) of this section, an airplane with inoperable instruments or equipment may be operated under a special flight permit under §§ 21.197 and 21.199 of this chapter.
(a) No person may dispatch or release an aircraft, continue to operate an aircraft en route, or land an aircraft when in the opinion of the pilot in command or aircraft dispatcher (domestic and flag operations only), icing conditions are expected or met that might adversely affect the safety of the flight.
(b) No person may take off an aircraft when frost, ice, or snow is adhering to the wings, control surfaces, propellers, engine inlets, or other critical surfaces of the aircraft or when the takeoff would not be in compliance with paragraph (c) of this section. Takeoffs with frost under the wing in the area of the fuel tanks may be authorized by the Administrator.
(c) Except as provided in paragraph (d) of this section, no person may dispatch, release, or take off an aircraft any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the aircraft, unless the certificate holder has an approved ground deicing/anti-icing program in its operations specifications and unless the dispatch, release, and takeoff comply with that program. The approved ground deicing/anti-icing program must include at least the following items:
(1) A detailed description of—
(i) How the certificate holder determines that conditions are such that frost, ice, or snow may reasonably be expected to adhere to the aircraft and that ground deicing/anti-icing operational procedures must be in effect;
(ii) Who is responsible for deciding that ground deicing/anti-icing operational procedures must be in effect;
(iii) The procedures for implementing ground deicing/anti-icing operational procedures;
(iv) The specific duties and responsibilities of each operational position or group responsible for getting the aircraft safely airborne while ground deicing/anti-icing operational procedures are in effect.
(2) Initial and annual recurrent ground training and testing for flight crewmembers and qualification for all other affected personnel (e.g., aircraft dispatchers, ground crews, contract personnel) concerning the specific requirements of the approved program and each person's responsibilities and duties under the approved program, specifically covering the following areas:
(i) The use of holdover times.
(ii) Aircraft deicing/anti-icing procedures, including inspection and check procedures and responsibilities.
(iii) Communications procedures.
(iv) Aircraft surface contamination (i.e., adherence of frost, ice, or snow) and critical area identification, and how contamination adversely affects aircraft performance and flight characteristics.
(v) Types and characteristics of deicing/anti-icing fluids.
(vi) Cold weather preflight inspection procedures;
(vii) Techniques for recognizing contamination on the aircraft.
(3) The certificate holder's holdover timetables and the procedures for the use of these tables by the certificate holder's personnel. Holdover time is the estimated time deicing/anti-icing fluid will prevent the formation of frost or ice and the accumulation of snow on the protected surfaces of an aircraft. Holdover time begins when the final application of deicing/anti-icing fluid commences and expires when the deicing/anti-icing fluid applied to the aircraft loses its effectiveness. The holdover times must be supported by data acceptable to the Administrator. The certificate holder's program must include procedures for flight crewmembers to increase or decrease the determined holdover time in changing conditions. The program must provide that takeoff after exceeding any maximum holdover time in the certificate holder's holdover timetable is permitted only when at least one of the following conditions exists:
(i) A pretakeoff contamination check, as defined in paragraph (c)(4) of this section, determines that the wings, control surfaces, and other critical surfaces, as defined in the certificate holder's program, are free of frost, ice, or snow.
(ii) It is otherwise determined by an alternate procedure approved by the Administrator in accordance with the certificate holder's approved program that the wings, control surfaces, and other critical surfaces, as defined in the certificate holder's program, are free of frost, ice, or snow.
(iii) The wings, control surfaces, and other critical surfaces are redeiced and a new holdover time is determined.
(4) Aircraft deicing/anti-icing procedures and responsibilities, pretakeoff check procedures and responsibilities, and pretakeoff contamination check procedures and responsibilities. A pretakeoff check is a check of the aircraft's wings or representative aircraft surfaces for frost, ice, or snow within the aircraft's holdover time. A pretakeoff contamination check is a check to make sure the wings, control surfaces, and other critical surfaces, as defined in the certificate holder's program, are free of frost, ice, and snow. It must be conducted within five minutes prior to beginning take off. This check must be accomplished from outside the aircraft unless the program specifies otherwise.
(d) A certificate holder may continue to operate under this section without a program as required in paragraph (c) of this section, if it includes in its operations specifications a requirement that, any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the aircraft, no aircraft will take off unless it has been checked to ensure that the wings, control surfaces, and other critical surfaces are free of frost, ice, and snow. The check must occur within five minutes prior to beginning takeoff. This check must be accomplished from outside the aircraft.
(a) A certificate holder may specify any regular, provisional, or refueling airport, authorized for the type of aircraft, as a destination for the purpose of original dispatch or release.
(b) No person may allow a flight to continue to an airport to which it has been dispatched or released unless the weather conditions at an alternate airport that was specified in the dispatch or flight release are forecast to be at or above the alternate minimums specified in the operations specifications for that airport at the time the aircraft would arrive at the alternate airport. However, the dispatch or flight release may be amended en route to include any alternate airport that is within the fuel range of the aircraft as specified in §§ 121.639 through 121.647.
(c) No person may allow a flight to continue beyond the ETOPS Entry Point unless—
(1) Except as provided in paragraph (d) of this section, the weather conditions at each ETOPS Alternate Airport required by § 121.624 are forecast to be at or above the operating minima for that airport in the certificate holder's operations specifications when it might be used (from the earliest to the latest possible landing time); and
(2) All ETOPS Alternate Airports within the authorized ETOPS maximum diversion time are reviewed and the flight crew advised of any changes in conditions that have occurred since dispatch.
(d) If paragraph (c)(1) of this section cannot be met for a specific airport, the dispatch or flight release may be amended to add an ETOPS Alternate Airport within the maximum ETOPS diversion time that could be authorized for that flight with weather conditions at or above operating minima.
(e) Before the ETOPS Entry Point, the pilot in command for a supplemental operator or a dispatcher for a flag operator must use company communications to update the flight plan if needed because of a re-evaluation of aircraft system capabilities.
(f) No person may change an original destination or alternate airport that is specified in the original dispatch or flight release to another airport while the aircraft is en route unless the other airport is authorized for that type of aircraft and the appropriate requirements of §§ 121.593 through 121.661 and 121.173 are met at the time of redispatch or amendment of the flight release.
(g) Each person who amends a dispatch or flight release en route shall record that amendment.
(a) For ETOPS up to and including 180 minutes, no person may list an airport as an ETOPS Alternate Airport in a dispatch or flight release if the time needed to fly to that airport (at the approved one-engine inoperative cruise speed under standard conditions in still air) would exceed the approved time for the airplane's most limiting ETOPS Significant System (including the airplane's most limiting fire suppression system time for those cargo and baggage compartments required by regulation to have fire-suppression systems) minus 15 minutes.
(b) For ETOPS beyond 180 minutes, no person may list an airport as an ETOPS Alternate Airport in a dispatch or flight release if the time needed to fly to that airport:
(1) at the all engine operating cruise speed, corrected for wind and temperature, exceeds the airplane's most limiting fire suppression system time minus 15 minutes for those cargo and baggage compartments required by regulation to have fire suppression systems (except as provided in paragraph (c) of this section), or
(2) at the one-engine-inoperative cruise speed, corrected for wind and temperature, exceeds the airplane's most limiting ETOPS Significant System time (other than the airplane's most limiting fire suppression system time minus 15 minutes for those cargo and baggage compartments required by regulation to have fire-suppression systems).
(c) For turbine-engine powered airplanes with more than two engines, the certificate holder need not meet paragraph (b)(1) of this section until February 15, 2013.
No person may dispatch an airplane to or from a refueling or provisional airport except in accordance with the requirements of this part applicable to dispatch from regular airports and unless that airport meets the requirements of this part applicable to regular airports.
(a) No pilot may takeoff an airplane from an airport that is not listed in the operations specifications unless—
(1) The airport and related facilities are adequate for the operation of the airplane;
(2) He can comply with the applicable airplane operating limitations;
(3) The airplane has been dispatched according to dispatching rules applicable to operation from an approved airport; and
(4) The weather conditions at that airport are equal to or better than the following:
(i) Airports in the United States. The weather minimums for takeoff prescribed in part 97 of this chapter; or where minimums are not prescribed for the airport, 800-2, 900-1
(ii) Airports outside the United States. The weather minimums for takeoff prescribed or approved by the government of the country in which the airport is located; or where minimums are not prescribed or approved for the airport, 800-2, 900-1
(b) No pilot may take off from an alternate airport unless the weather conditions are at least equal to the minimums prescribed in the certificate holder's operations specifications for alternate airports.
No person may dispatch or take off an airplane unless it has enough fuel—
(a) To fly to the airport to which it is dispatched;
(b) Thereafter, to fly to and land at the most distant alternate airport (where required) for the airport to which dispatched; and
(c) Thereafter, to fly for 45 minutes at normal cruising fuel consumption or, for certificate holders who are authorized to conduct day VFR operations in their operations specifications and who are operating nontransport category airplanes type certificated after December 31, 1964, to fly for 30 minutes at normal cruising fuel consumption for day VFR operations.
(a) No person may dispatch or take off a nonturbine or turbo-propeller-powered airplane unless, considering the wind and other weather conditions expected, it has enough fuel—
(1) To fly to and land at the airport to which it is dispatched;
(2) Thereafter, to fly to and land at the most distant alternate airport specified in the dispatch release; and
(3) Thereafter, to fly for 30 minutes plus 15 percent of the total time required to fly at normal cruising fuel consumption to the airports specified in paragraphs (a) (1) and (2) of this section or to fly for 90 minutes at normal cruising fuel consumption, whichever is less.
(b) No person may dispatch a nonturbine or turbo-propeller-powered airplane to an airport for which an alternate is not specified under § 121.621(a)(2), unless it has enough fuel, considering wind and forecast weather conditions, to fly to that airport and thereafter to fly for three hours at normal cruising fuel consumption.
(a) Except as provided in paragraph (b) of this section, no person may release for flight or takeoff a nonturbine or turbo-propeller-powered airplane unless, considering the wind and other weather conditions expected, it has enough fuel—
(1) To fly to and land at the airport to which it is released;
(2) Thereafter, to fly to and land at the most distant alternate airport specified in the flight release; and
(3) Thereafter, to fly for 45 minutes at normal cruising fuel consumption or, for certificate holders who are authorized to conduct day VFR operations in their operations specifications and who are operating nontransport category airplanes type certificated after December 31, 1964, to fly for 30 minutes at normal cruising fuel consumption for day VFR operations.
(b) If the airplane is released for any flight other than from one point in the contiguous United States to another point in the contiguous United States, it must carry enough fuel to meet the requirements of paragraphs (a) (1) and (2) of this section and thereafter fly for 30 minutes plus 15 percent of the total time required to fly at normal cruising fuel consumption to the airports specified in paragraphs (a) (1) and (2) of this section, or to fly for 90 minutes at normal cruising fuel consumption, whichever is less.
(c) No person may release a nonturbine or turbo-propeller-powered airplane to an airport for which an alternate is not specified under § 121.623(b), unless it has enough fuel, considering wind and other weather conditions expected, to fly to that airport and thereafter to fly for three hours at normal cruising fuel consumption.
(a) Any flag operation within the 48 contiguous United States and the District of Columbia may use the fuel requirements of § 121.639.
(b) For any certificate holder conducting flag or supplemental operations outside the 48 contiguous United States and the District of Columbia, unless authorized by the Administrator in the operations specifications, no person may release for flight or takeoff a turbine-engine powered airplane (other than a turbo-propeller powered airplane) unless, considering wind and other weather conditions expected, it has enough fuel—
(1) To fly to and land at the airport to which it is released;
(2) After that, to fly for a period of 10 percent of the total time required to fly from the airport of departure to, and land at, the airport to which it was released;
(3) After that, to fly to and land at the most distant alternate airport specified in the flight release, if an alternate is required; and
(4) After that, to fly for 30 minutes at holding speed at 1,500 feet above the alternate airport (or the destination airport if no alternate is required) under standard temperature conditions.
(c) No person may release a turbine-engine powered airplane (other than a turbo-propeller airplane) to an airport for which an alternate is not specified under § 121.621(a)(2) or § 121.623(b) unless it has enough fuel, considering wind and other weather conditions expected, to fly to that airport and thereafter to fly for at least two hours at normal cruising fuel consumption.
(d) The Administrator may amend the operations specifications of a certificate holder conducting flag or supplemental operations to require more fuel than any of the minimums stated in paragraph (a) or (b) of this section if he finds that additional fuel is necessary on a particular route in the interest of safety.
(e) For a supplemental operation within the 48 contiguous States and the District of Columbia with a turbine engine powered airplane the fuel requirements of § 121.643 apply.
(a) No person may dispatch or release for flight a turbine-engine powered airplane with more than two engines for a flight more than 90 minutes (with all engines operating at cruise power) from an Adequate Airport unless the following fuel supply requirements are met:
(1) The airplane has enough fuel to meet the requirements of § 121.645(b);
(2) The airplane has enough fuel to fly to the Adequate Airport—
(i) Assuming a rapid decompression at the most critical point;
(ii) Assuming a descent to a safe altitude in compliance with the oxygen supply requirements of § 121.333; and
(iii) Considering expected wind and other weather conditions.
(3) The airplane has enough fuel to hold for 15 minutes at 1500 feet above field elevation and conduct a normal approach and landing.
(b) No person may dispatch or release for flight an ETOPS flight unless, considering wind and other weather conditions expected, it has the fuel otherwise required by this part and enough fuel to satisfy each of the following requirements:
(1) Fuel to fly to an ETOPS Alternate Airport.
(i) Fuel to account for rapid decompression and engine failure. The airplane must carry the greater of the following amounts of fuel:
(A) Fuel sufficient to fly to an ETOPS Alternate Airport assuming a rapid decompression at the most critical point followed by descent to a safe altitude in compliance with the oxygen supply requirements of § 121.333 of this chapter;
(B) Fuel sufficient to fly to an ETOPS Alternate Airport (at the one-engine-inoperative cruise speed) assuming a rapid decompression and a simultaneous engine failure at the most critical point followed by descent to a safe altitude in compliance with the oxygen requirements of § 121.333 of this chapter; or
(C) Fuel sufficient to fly to an ETOPS Alternate Airport (at the one engine inoperative cruise speed) assuming an engine failure at the most critical point followed by descent to the one engine inoperative cruise altitude.
(ii) Fuel to account for errors in wind forecasting. In calculating the amount of fuel required by paragraph (b)(1)(i) of this section, the certificate holder must increase the actual forecast wind speed by 5% (resulting in an increase in headwind or a decrease in tailwind) to account for any potential errors in wind forecasting. If a certificate holder is not using the actual forecast wind based on a wind model accepted by the FAA, the airplane must carry additional fuel equal to 5% of the fuel required for paragraph (b)(1)(i) of this section, as reserve fuel to allow for errors in wind data.
(iii) Fuel to account for icing. In calculating the amount of fuel required by paragraph (b)(1)(i) of this section (after completing the wind calculation in paragraph (b)(1)(ii) of this section), the certificate holder must ensure that the airplane carries the greater of the following amounts of fuel in anticipation of possible icing during the diversion:
(A) Fuel that would be burned as a result of airframe icing during 10 percent of the time icing is forecast (including the fuel used by engine and wing anti-ice during this period).
(B) Fuel that would be used for engine anti-ice, and if appropriate wing anti-ice, for the entire time during which icing is forecast.
(iv) Fuel to account for engine deterioration. In calculating the amount of fuel required by paragraph (b)(1)(i) of this section (after completing the wind calculation in paragraph (b)(1)(ii) of this section), the airplane also carries fuel equal to 5% of the fuel specified above, to account for deterioration in cruise fuel burn performance unless the certificate holder has a program to monitor airplane in-service deterioration to cruise fuel burn performance.
(2) Fuel to account for holding, approach, and landing. In addition to the fuel required by paragraph (b)(1) of this section, the airplane must carry fuel sufficient to hold at 1500 feet above field elevation for 15 minutes upon reaching an ETOPS Alternate Airport and then conduct an instrument approach and land.
(3) Fuel to account for APU use. If an APU is a required power source, the certificate holder must account for its fuel consumption during the appropriate phases of flight.
Each person computing fuel required for the purposes of this subpart shall consider the following:
(a) Wind and other weather conditions forecast.
(b) Anticipated traffic delays.
(c) One instrument approach and possible missed approach at destination.
(d) Any other conditions that may delay landing of the aircraft.
(a) Except as provided in paragraph (b) of this section, regardless of any clearance from ATC, no pilot may takeoff or land an airplane under VFR when the reported ceiling or visibility is less than the following:
(1) For day operations—1,000-foot ceiling and one-mile visibility.
(2) For night operations—1,000-foot ceiling and two-mile visibility.
(b) Where a local surface restriction to visibility exists (e.g., smoke, dust, blowing snow or sand) the visibility for day and night operations may be reduced to
(c) The weather minimums in this section do not apply to the VFR operation of fixed-wing aircraft at any of the locations where the special weather minimums of § 91.157 of this chapter are not applicable (See part 91, appendix D, section 3 of this chapter). The basic VFR weather minimums of § 91.155 of this chapter apply at those locations.
(a) Notwithstanding any clearance from ATC, no pilot may begin a takeoff in an airplane under IFR when the weather conditions reported by the U.S. National Weather Service, a source approved by that Service, or a source approved by the Administrator, are less than those specified in—
(1) The certificate holder's operations specifications; or
(2) Parts 91 and 97 of this chapter, if the certificate holder's operations specifications do not specify takeoff minimums for the airport.
(b) Except as provided in paragraphs (d) and (e) of this section, no pilot may continue an approach past the final approach fix, or where a final approach fix is not used, begin the final approach segment of an instrument approach procedure—
(1) At any airport, unless the U.S. National Weather Service, a source approved by that Service, or a source approved by the Administrator, issues a weather report for that airport; and
(2) At airports within the United States and its territories or at U.S. military airports, unless the latest weather report for that airport issued by the U.S. National Weather Service, a source approved by that Service, or a source approved by the Administrator, reports the visibility to be equal to or more than the visibility minimums prescribed for that procedure. For the purpose of this section, the term “U.S. military airports” means airports in foreign countries where flight operations are under the control of U.S. military authority.
(c) A pilot who has begun the final approach segment of an instrument approach procedure in accordance with paragraph (b) of this section, and after that receives a later weather report indicating below-minimum conditions, may continue the approach to DA/DH or MDA. Upon reaching DA/DH or at MDA, and at any time before the missed approach point, the pilot may continue the approach below DA/DH or MDA if either the requirements of § 91.176 of this chapter, or the following requirements are met:
(1) The aircraft is continuously in a position from which a descent to a landing on the intended runway can be made at a normal rate of descent using normal maneuvers, and where that descent rate will allow touchdown to occur within the touchdown zone of the runway of intended landing;
(2) The flight visibility is not less than the visibility prescribed in the standard instrument approach procedure being used;
(3) Except for Category II or Category III approaches where any necessary visual reference requirements are specified by authorization of the Administrator, at least one of the following visual references for the intended runway is distinctly visible and identifiable to the pilot:
(i) The approach light system, except that the pilot may not descend below 100 feet above the touchdown zone elevation using the approach lights as a reference unless the red terminating bars or the red side row bars are also distinctly visible and identifiable.
(ii) The threshold.
(iii) The threshold markings.
(iv) The threshold lights.
(v) The runway end identifier lights.
(vi) The visual approach slope indicator.
(vii) The touchdown zone or touchdown zone markings.
(viii) The touchdown zone lights.
(ix) The runway or runway markings.
(x) The runway lights; and
(4) When the aircraft is on a straight-in nonprecision approach procedure which incorporates a visual descent point, the aircraft has reached the visual descent point, except where the aircraft is not equipped for or capable of establishing that point, or a descent to the runway cannot be made using normal procedures or rates of descent if descent is delayed until reaching that point.
(d) A pilot may begin the final approach segment of an instrument approach procedure other than a Category II or Category III procedure at an airport when the visibility is less than the visibility minimums prescribed for that procedure if the airport is served by an operative ILS and an operative PAR, and both are used by the pilot. However, no pilot may continue an approach below the authorized DA/DH unless the requirements of § 91.176 of this chapter, or the following requirements are met:
(1) The aircraft is continuously in a position from which a descent to a landing on the intended runway can be made at a normal rate of descent using normal maneuvers and where such a descent rate will allow touchdown to occur within the touchdown zone of the runway of intended landing;
(2) The flight visibility is not less than the visibility prescribed in the standard instrument approach procedure being used; and
(3) Except for Category II or Category III approaches where any necessary visual reference requirements are specified by the authorization of the Administrator, at least one of the following visual references for the intended runway is distinctly visible and identifiable to the pilot:
(i) The approach light system, except that the pilot may not descend below 100 feet above the touchdown zone elevation using the approach lights as a reference unless the red terminating bars or the red side row bars are also distinctly visible and identifiable.
(ii) The threshold.
(iii) The threshold markings.
(iv) The threshold lights.
(v) The runway end identifier lights.
(vi) The visual approach slope indicator.
(vii) The touchdown zone or touchdown zone markings.
(viii) The touchdown zone lights.
(ix) The runway or runway markings.
(x) The runway lights.
(e) A pilot may begin the final approach segment of an instrument approach procedure, or continue that approach procedure, at an airport when the visibility is reported to be less than the visibility minimums prescribed for that procedure if the pilot uses an operable EFVS in accordance with § 91.176 of this chapter and the certificate holder's operations specifications for EFVS operations.
(f) For the purpose of this section, the final approach segment begins at the final approach fix or facility prescribed in the instrument approach procedure. When a final approach fix is not prescribed for a procedure that includes a procedure turn, the final approach segment begins at the point where the procedure turn is completed and the aircraft is established inbound toward the airport on the final approach course within the distance prescribed in the procedure.
(g) Unless otherwise authorized in the certificate holder's operations specifications, each pilot making an IFR takeoff, approach, or landing at a foreign airport shall comply with the applicable instrument approach procedures and weather minimums prescribed by the authority having jurisdiction over the airport.
(a) If the pilot in command of an airplane has not served 100 hours as pilot in command in operations under this part in the type of airplane he is operating, the MDA or DA/DH and visibility landing minimums in the certificate holder's operations specification for regular, provisional, or refueling airports are increased by 100 feet and one-half mile (or the RVR equivalent). The MDA or DA/DH and visibility minimums need not be increased above those applicable to the airport when used as an alternate airport, but in no event may the landing minimums be less than 300 and 1. However, a Pilot in command employed by a certificate holder conducting operations in large aircraft under part 135 of this chapter, may credit flight time acquired in operations conducted for that operator under part 91 in the same type airplane for up to 50 percent of the 100 hours of pilot in command experience required by this paragraph.
(b) The 100 hours of pilot in command experience required by paragraph (a) of this section may be reduced (not to exceed 50 percent) by substituting one landing in operations under this part in the type of airplane for 1 required hour of pilot in command experience, if the pilot has at least 100 hours as pilot in command of another type airplane in operations under this part.
(c) Category II minimums and the sliding scale when authorized in the certificate holder's operations specifications do not apply until the pilot in command subject to paragraph (a) of this section meets the requirements of that paragraph in the type of airplane he is operating.
In conducting operations under §§ 121.649 through 121.653, the ceiling and visibility values in the main body of the latest weather report control for VFR and IFR takeoffs and landings and for instrument approach procedures on all runways of an airport. However, if the latest weather report, including an oral report from the control tower, contains a visibility value specified as runway visibility or runway visual range for a particular runway of an airport, that specified value controls for VFR and IFR landings and takeoffs and straight-in instrument approaches for that runway.
(a) General. Notwithstanding § 91.119 or any rule applicable outside the United States, no person may operate an aircraft below the minimums set forth in paragraphs (b) and (c) of this section, except when necessary for takeoff or landing, or except when, after considering the character of the terrain, the quality and quantity of meteorological services, the navigational facilities available, and other flight conditions, the Administrator prescribes other minimums for any route or part of a route where he finds that the safe conduct of the flight requires other altitudes. Outside of the United States the minimums prescribed in this section are controlling unless higher minimums are prescribed in the certificate holder's operations specifications or by the foreign country over which the aircraft is operating.
(b) Day VFR operations. No certificate holder conducting domestic operations may operate a passenger-carrying aircraft and no certificate holder conducting flag or supplemental operations may operate any aircraft under VFR during the day at an altitude less than 1,000 feet above the surface or less than 1,000 feet from any mountain, hill, or other obstruction to flight.
(c) Night VFR, IFR, and over-the-top operations. No person may operate an aircraft under IFR including over-the-top or at night under VFR at an altitude less than 1,000 feet above the highest obstacle within a horizontal distance of five miles from the center of the intended course, or, in designated mountainous areas, less than 2,000 feet above the highest obstacle within a horizontal distance of five miles from the center of the intended course.
(d) Day over-the-top operations below minimum en route altitudes. A person may conduct day over-the-top operations in an airplane at flight altitudes lower than the minimum en route IFR altitudes if—
(1) The operation is conducted at least 1,000 feet above the top of lower broken or overcast cloud cover;
(2) The top of the lower cloud cover is generally uniform and level;
(3) Flight visibility is at least five miles; and
(4) The base of any higher broken or overcast cloud cover is generally uniform and level and is at least 1,000 feet above the minimum en route IFR altitude for that route segment.
(a) Except as provided in paragraph (b) of this section, when making an initial approach to a radio navigation facility under IFR, no person may descend an aircraft below the pertinent minimum altitude for initial approach (as specified in the instrument approach procedure for that facility) until his arrival over that facility has been definitely established.
(b) When making an initial approach on a flight being conducted under § 121.657(d), no pilot may commence an instrument approach until his arrival over the radio facility has definitely been established. In making an instrument approach under these circumstances no person may descend an aircraft lower than 1,000 feet above the top of the lower cloud or the minimum altitude determined by the Administrator for that part of the IFR approach, whichever is lower.
When making an initial approach to a radio navigation facility under IFR, no person may descend below the pertinent minimum altitude for initial approach (as specified in the instrument approach procedure for that facility) until his arrival over that facility has been definitely established.
Each certificate holder conducting domestic or flag operations shall prepare a dispatch release for each flight between specified points, based on information furnished by an authorized aircraft dispatcher. The pilot in command and an authorized aircraft dispatcher shall sign the release only if they both believe that the flight can be made with safety. The aircraft dispatcher may delegate authority to sign a release for a particular flight, but he may not delegate his authority to dispatch.
Each certificate holder is responsible for the preparation and accuracy of a load manifest form before each takeoff. The form must be prepared and signed for each flight by employees of the certificate holder who have the duty of supervising the loading of aircraft and preparing the load manifest forms or by other qualified persons authorized by the certificate holder.
(a) No person may take off an aircraft unless the pilot in command has filed a flight plan, containing the appropriate information required by part 91, with the nearest FAA communication station or appropriate military station or, when operating outside the United States, with other appropriate authority. However, if communications facilities are not readily available, the pilot in command shall file the flight plan as soon as practicable after the aircraft is airborne. A flight plan must continue in effect for all parts of the flight.
(b) When flights are operated into military airports, the arrival or completion notice required by §§ 91.153 and 91.169 may be filed with the appropriate airport control tower or aeronautical communication facility used for that airport.
This subpart prescribes requirements for the preparation and maintenance of records and reports for all certificate holders.
(a) Each certificate holder shall—
(1) Maintain current records of each crewmember and each aircraft dispatcher (domestic and flag operations only) that show whether the crewmember or aircraft dispatcher complies with the applicable sections of this chapter, including, but not limited to, proficiency and route checks, airplane and route qualifications, training, any required physical examinations, flight, duty, and rest time records; and
(2) Record each action taken concerning the release from employment or physical or professional disqualification of any flight crewmember or aircraft dispatcher (domestic and flag operations only) and keep the record for at least six months thereafter.
(b) Each certificate holder conducting supplemental operations shall maintain the records required by paragraph (a) of this section at its principal base of operations, or at another location used by it and approved by the Administrator.
(c) Computer record systems approved by the Administrator may be used in complying with the requirements of paragraph (a) of this section.
Each certificate holder conducting domestic or flag operations shall maintain a current list of each aircraft that it operates in scheduled air transportation and shall send a copy of the record and each change to the responsible Flight Standards office. Airplanes of another certificate holder operated under an interchange agreement may be incorporated by reference.
(a) The dispatch release may be in any form but must contain at least the following information concerning each flight:
(1) Identification number of the aircraft.
(2) Trip number.
(3) Departure airport, intermediate stops, destination airports, and alternate airports.
(4) A statement of the type of operation (e.g., IFR, VFR).
(5) Minimum fuel supply.
(6) For each flight dispatched as an ETOPS flight, the ETOPS diversion time for which the flight is dispatched.
(b) The dispatch release must contain, or have attached to it, weather reports, available weather forecasts, or a combination thereof, for the destination airport, intermediate stops, and alternate airports, that are the latest available at the time the release is signed by the pilot in command and dispatcher. It may include any additional available weather reports or forecasts that the pilot in command or the aircraft dispatcher considers necessary or desirable.
(a) Except as provided in paragraph (c) of this section, the flight release may be in any form but must contain at least the following information concerning each flight:
(1) Company or organization name.
(2) Make, model, and registration number of the aircraft being used.
(3) Flight or trip number, and date of flight.
(4) Name of each flight crewmember, flight attendant, and pilot designated as pilot in command.
(5) Departure airport, destination airports, alternate airports, and route.
(6) Minimum fuel supply (in gallons or pounds).
(7) A statement of the type of operation (e.g., IFR, VFR).
(8) For each flight released as an ETOPS flight, the ETOPS diversion time for which the flight is released.
(b) The aircraft flight release must contain, or have attached to it, weather reports, available weather forecasts, or a combination thereof, for the destination airport, and alternate airports, that are the latest available at the time the release is signed. It may include any additional available weather reports or forecasts that the pilot in command considers necessary or desirable.
(c) Each certificate holder conducting domestic or flag operations under the rules of this part applicable to supplemental operations shall comply with the dispatch or flight release forms required for scheduled operations under this subpart.
The load manifest must contain the following information concerning the loading of the airplane at takeoff time:
(a) The weight of the aircraft, fuel and oil, cargo and baggage, passengers and crewmembers.
(b) The maximum allowable weight for that flight that must not exceed the least of the following weights:
(1) Maximum allowable takeoff weight for the runway intended to be used (including corrections for altitude and gradient, and wind and temperature conditions existing at the takeoff time).
(2) Maximum takeoff weight considering anticipated fuel and oil consumption that allows compliance with applicable en route performance limitations.
(3) Maximum takeoff weight considering anticipated fuel and oil consumption that allows compliance with the maximum authorized design landing weight limitations on arrival at the destination airport.
(4) Maximum takeoff weight considering anticipated fuel and oil consumption that allows compliance with landing distance limitations on arrival at the destination and alternate airports.
(c) The total weight computed under approved procedures.
(d) Evidence that the aircraft is loaded according to an approved schedule that insures that the center of gravity is within approved limits.
(e) Names of passengers, unless such information is maintained by other means by the certificate holder.
(a) The pilot in command of an airplane shall carry in the airplane to its destination—
(1) A copy of the completed load manifest (or information from it, except information concerning cargo and passenger distribution);
(2) A copy of the dispatch release; and
(3) A copy of the flight plan.
(b) The certificate holder shall keep copies of the records required in this section for at least three months.
(a) The pilot in command of an airplane shall carry in the airplane to its destination the original or a signed copy of the—
(1) Load manifest;
(2) Flight release;
(3) Airworthiness release;
(4) Pilot route certification; and
(5) Flight plan.
(b) If a flight originates at the certificate holder's principal base of operations, it shall retain at that base a signed copy of each document listed in paragraph (a) of this section.
(c) Except as provided in paragraph (d) of this section, if a flight originates at a place other than the certificate holder's principal base of operations, the pilot in command (or another person not aboard the airplane who is authorized by the certificate holder) shall, before or immediately after departure of the flight, mail signed copies of the documents listed in paragraph (a) of this section, to the principal base of operations.
(d) If a flight originates at a place other than the certificate holder's principal base of operations, and there is at that place a person to manage the flight departure for the certificate holder who does not himself or herself depart on the airplane, signed copies of the documents listed in paragraph (a) of this section may be retained at that place for not more than 30 days before being sent to the certificate holder's principal base of operations. However, the documents for a particular flight need not be further retained at that place or be sent to the principal base of operations, if the originals or other copies of them have been previously returned to the principal base of operations.
(e) The certificate holder conducting supplemental operations shall:
(1) Identify in its operations manual the person having custody of the copies of documents retained in accordance with paragraph (d) of this section; and
(2) Retain at its principal base of operations either an original or a copy of the records required by this section for at least three months.
(a) Each person who takes action in the case of a reported or observed failure or malfunction of an airframe, engine, propeller, or appliance that is critical to the safety of flight shall make, or have made, a record of that action in the airplane's maintenance log.
(b) Each certificate holder shall have an approved procedure for keeping adequate copies of the record required in paragraph (a) of this section in the airplane in a place readily accessible to each flight crewmember and shall put that procedure in the certificate holder's manual.
(a) Each certificate holder shall report the occurrence or detection of each failure, malfunction, or defect concerning—
(1) Fires during flight and whether the related fire-warning system functioned properly;
(2) Fires during flight not protected by a related fire-warning system;
(3) False fire warning during flight;
(4) An engine exhaust system that causes damage during flight to the engine, adjacent structure, equipment, or components;
(5) An aircraft component that causes accumulation or circulation of smoke, vapor, or toxic or noxious fumes in the crew compartment or passenger cabin during flight;
(6) Engine shutdown during flight because of flameout;
(7) Engine shutdown during flight when external damage to the engine or airplane structure occurs;
(8) Engine shutdown during flight due to foreign object ingestion or icing;
(9) Engine shutdown during flight of more than one engine;
(10) A propeller feathering system or ability of the system to control overspeed during flight;
(11) A fuel or fuel-dumping system that affects fuel flow or causes hazardous leakage during flight;
(12) An unwanted landing gear extension or retraction, or an unwanted opening or closing of landing gear doors during flight;
(13) Brake system components that result in loss of brake actuating force when the airplane is in motion on the ground;
(14) Aircraft structure that requires major repair;
(15) Cracks, permanent deformation, or corrosion of aircraft structures, if more than the maximum acceptable to the manufacturer or the FAA;
(16) Aircraft components or systems that result in taking emergency actions during flight (except action to shut down an engine); and
(17) Emergency evacuation systems or components including all exit doors, passenger emergency evacuation lighting systems, or evacuation equipment that are found defective, or that fail to perform the intended functions during an actual emergency or during training, testing, maintenance, demonstrations, or inadvertent deployments.
(b) For the purpose of this section during flight means the period from the moment the aircraft leaves the surface of the earth on takeoff until it touches down on landing.
(c) In addition to the reports required by paragraph (a) of this section, each certificate holder shall report any other failure, malfunction, or defect in an aircraft that occurs or is detected at any time if, in its opinion, that failure, malfunction, or defect has endangered or may endanger the safe operation of an aircraft used by it.
(d) Each certificate holder shall submit each report required by this section, covering each 24-hour period beginning at 0900 local time of each day and ending at 0900 local time on the next day, to the FAA offices in Oklahoma City, Oklahoma. Each report of occurrences during a 24-hour period shall be submitted to the collection point within the next 96 hours. However, a report due on Saturday or Sunday may be submitted on the following Monday, and a report due on a holiday may be submitted on the next work day.
(e) The certificate holder shall submit the reports required by this section on a form or in another format acceptable to the Administrator. The reports shall include the following information:
(1) Type and identification number of the aircraft.
(2) The name of the operator.
(3) The date, flight number, and stage during which the incident occurred (e.g., preflight, takeoff, climb, cruise, descent landing, and inspection).
(4) The emergency procedure effected (e.g., unscheduled landing and emergency descent).
(5) The nature of the failure, malfunction, or defect.
(6) Identification of the part and system involved, including available information pertaining to type designation of the major component and time since overhaul.
(7) Apparent cause of the failure, malfunction, or defect (e.g., wear, crack, design deficiency, or personnel error).
(8) Whether the part was repaired, replaced, sent to the manufacturer, or other action taken.
(9) Whether the aircraft was grounded.
(10) Other pertinent information necessary for more complete identification, determination of seriousness, or corrective action.
(f) A certificate holder that is also the holder of a Type Certificate (including a Supplemental Type Certificate), a Parts Manufacturer Approval, or a Technical Standard Order Authorization, or that is the licensee of a type certificate holder, need not report a failure, malfunction, or defect under this section if the failure, malfunction, or defect has been reported by it under § 21.3 of this chapter or under the accident reporting provisions of 49 CFR part 830.
(g) No person may withhold a report required by this section even though all information required in this section is not available.
(h) When certificate holder gets additional information, including information from the manufacturer or other agency, concerning a report required by this section, it shall expeditiously submit it as a supplement to the first report and reference the date and place of submission of the first report.
Each certificate holder shall submit to the Administrator, before the end of the 10th day of the following month, a summary report for the previous month of:
(a) Each interruption to a flight, unscheduled change of aircraft en route, or unscheduled stop or diversion from a route, caused by known or suspected mechanical difficulties or malfunctions that are not required to be reported under § 121.703.
(b) The number of engines removed prematurely because of malfunction, failure or defect, listed by make and model and the aircraft type in which it was installed.
(c) The number of propeller featherings in flight, listed by type of propeller and engine and aircraft on which it was installed. Propeller featherings for training, demonstration, or flight check purposes need not be reported.
(a) Each certificate holder shall, promptly upon its completion, prepare a report of each major alteration or major repair of an airframe, aircraft engine, propeller, or appliance of an aircraft operated by it.
(b) The certificate holder shall submit a copy of each report of a major alteration to, and shall keep a copy of each report of a major repair available for inspection by, the representative of the Administrator who is assigned to it.
(a) No certificate holder may operate an aircraft after maintenance, preventive maintenance or alterations are performed on the aircraft unless the certificate holder, or the person with whom the certificate holder arranges for the performance of the maintenance, preventive maintenance, or alterations, prepares or causes to be prepared—
(1) An airworthiness release; or
(2) An appropriate entry in the aircraft log.
(b) The airworthiness release or log entry required by paragraph (a) of this section must—
(1) Be prepared in accordance with the procedures set forth in the certificate holder's manual;
(2) Include a certification that—
(i) The work was performed in accordance with the requirements of the certificate holder's manual;
(ii) All items required to be inspected were inspected by an authorized person who determined that the work was satisfactorily completed;
(iii) No known condition exists that would make the airplane unairworthy; and
(iv) So far as the work performed is concerned, the aircraft is in condition for safe operation; and
(3) Be signed by an authorized certificated mechanic or repairman except that a certificated repairman may sign the release or entry only for the work for which he is employed and certificated.
(c) Notwithstanding paragraph (b)(3) of this section, after maintenance, preventive maintenance, or alterations performed by a repair station that is located outside the United States, the airworthiness release or log entry required by paragraph (a) of this section may be signed by a person authorized by that repair station.
(d) When an airworthiness release form is prepared the certificate holder must give a copy to the pilot in command and must keep a record thereof for at least 2 months.
(e) Instead of restating each of the conditions of the certification required by paragraph (b) of this section, the air carrier may state in its manual that the signature of an authorized certificated mechanic or repairman constitutes that certification.
(a) Each certificate holder conducting domestic or flag operations must record each en route communication between the certificate holder and its pilots using a communication system as required by § 121.99 of this part.
(b) For purposes of this section the term en route means from the time the aircraft pushes back from the departing gate until the time the aircraft reaches the arrival gate at its destination.
(c) The record required in paragraph (a) of this section must contain at least the following information:
(1) The date and time of the contact;
(2) The flight number;
(3) Aircraft registration number;
(4) Approximate position of the aircraft during the contact;
(5) Call sign; and
(6) Narrative of the contact.
(d) The record required in paragraph (a) of this section must be kept for at least 30 days.
(a) Each commercial operator who conducts intrastate operations for compensation or hire shall keep a copy of each written contract under which it provides services as a commercial operator for a period of at least 1 year after the date of execution of the contract. In the case of an oral contract, it shall keep a memorandum stating its elements, and of any amendments to it, for a period of at least one year after the execution of that contract or change.
(b) Each commercial operator who conducts intrastate operations for compensation or hire shall submit a financial report for the first 6 months of each fiscal year and another financial report for each complete fiscal year. If that person's operating certificate is suspended for more than 29 days, that person shall submit a financial report as of the last day of the month in which the suspension is terminated. The report required to be submitted by this section shall be submitted within 60 days of the last day of the period covered by the report and must include—
(1) A balance sheet that shows assets, liabilities, and net worth on the last day of the reporting period;
(2) The information required by § 119.36 (e)(2), (e)(7), and (e)(8) of this chapter;
(3) An itemization of claims in litigation against the applicant, if any, as of the last day of the period covered by the report;
(4) A profit and loss statement with the separation of items relating to the applicant's commercial operator activities from his other business activities, if any; and
(5) A list of each contract that gave rise to operating income on the profit and loss statement, including the names and addresses of the contracting parties and the nature, scope, date, and duration of each contract.
This section describes the certificates that were issued to United States citizens who were employed by air carriers at the time of issuance as flight crewmembers on United States registered aircraft engaged in international air commerce. The purpose of the certificate is to facilitate the entry and clearance of those crewmembers into ICAO contracting states. They were issued under Annex 9, as amended, to the Convention on International Civil Aviation.
The holder of a certificate issued under this section, or the air carrier by whom the holder is employed, shall surrender the certificate for cancellation at the responsible Flight Standards office at the termination of the holder's employment with that air carrier.
This subpart prescribes the emergency medical equipment and training requirements applicable to all certificate holders operating passenger-carrying airplanes under this part. Nothing in this subpart is intended to require certificate holders or its agents to provide emergency medical care or to establish a standard of care for the provision of emergency medical care.
(a) No person may operate a passenger-carrying airplane under this part unless it is equipped with the emergency medical equipment listed in this section.
(b) Each equipment item listed in this section—
(1) Must be inspected regularly in accordance with inspection periods established in the operations specifications to ensure its condition for continued serviceability and immediate readiness to perform its intended emergency purposes;
(2) Must be readily accessible to the crew and, with regard to equipment located in the passenger compartment, to passengers;
(3) Must be clearly identified and clearly marked to indicate its method of operation; and
(4) When carried in a compartment or container, must be carried in a compartment or container marked as to contents and the compartment or container, or the item itself, must be marked as to date of last inspection.
(c) For treatment of injuries, medical events, or minor accidents that might occur during flight time each airplane must have the following equipment that meets the specifications and requirements of appendix A of this part:
(1) Approved first-aid kits.
(2) In airplanes for which a flight attendant is required, an approved emergency medical kit.
(3) In airplanes for which a flight attendant is required, an approved emergency medical kit as modified effective April 12, 2004.
(4) In airplanes for which a flight attendant is required and with a maximum payload capacity of more than 7,500 pounds, an approved automated external defibrillator as of April 12, 2004.
(a) Each training program must provide the instruction set forth in this section with respect to each airplane type, model, and configuration, each required crewmember, and each kind of operation conducted, insofar as appropriate for each crewmember and the certificate holder.
(b) Training must provide the following:
(1) Instruction in emergency medical event procedures, including coordination among crewmembers.
(2) Instruction in the location, function, and intended operation of emergency medical equipment.
(3) Instruction to familiarize crewmembers with the content of the emergency medical kit.
(4) Instruction to familiarize crewmembers with the content of the emergency medical kit as modified on April 12, 2004.
(5) For each flight attendant—
(i) Instruction, to include performance drills, in the proper use of automated external defibrillators.
(ii) Instruction, to include performance drills, in cardiopulmonary resuscitation.
(iii) Recurrent training, to include performance drills, in the proper use of an automated external defibrillators and in cardiopulmonary resuscitation at least once every 24 months.
(c) The crewmember instruction, performance drills, and recurrent training required under this section are not required to be equivalent to the expert level of proficiency attained by professional emergency medical personnel.
(a) Contrary provisions of parts 61, 63, 65, 121, 135, and 142 of this chapter notwithstanding, this subpart provides for approval of an alternative method (known as “Advanced Qualification Program” or “AQP”) for qualifying, training, certifying, and otherwise ensuring competency of crewmembers, aircraft dispatchers, other operations personnel, instructors, and evaluators who are required to be trained under parts 121 and 135 of this chapter.
(b) A certificate holder is eligible under this subpart if the certificate holder is required or elects to have an approved training program under §§ 121.401, 135.3(c), or 135.341 of this chapter.
(c) A certificate holder obtains approval of each proposed curriculum under this AQP as specified in § 121.909.
(a) A curriculum approved under an AQP may include elements of existing training programs under part 121 and part 135 of this chapter. Each curriculum must specify the make, model, series or variant of aircraft and each crewmember position or other positions to be covered by that curriculum. Positions to be covered by the AQP must include all flight crewmember positions, flight instructors, and evaluators and may include other positions, such as flight attendants, aircraft dispatchers, and other operations personnel.
(b) Each certificate holder that obtains approval of an AQP under this subpart must comply with all the requirements of the AQP and this subpart instead of the corresponding provisions of parts 61, 63, 65, 121, or 135 of this chapter. However, each applicable requirement of parts 61, 63, 65, 121, or 135 of this chapter, including but not limited to practical test requirements, that is not specifically addressed in the AQP continues to apply to the certificate holder and to the individuals being trained and qualified by the certificate holder. No person may be trained under an AQP unless that AQP has been approved by the FAA and the person complies with all the requirements of the AQP and this subpart.
(c) No certificate holder that conducts its training program under this subpart may use any person nor may any person serve in any duty position as a required crewmember, an aircraft dispatcher, an instructor, or an evaluator, unless that person has satisfactorily accomplished, in a training program approved under this subpart for the certificate holder, the training and evaluation of proficiency required by the AQP for that type airplane and duty position.
(d) All documentation and data required under this subpart must be submitted in a form and manner acceptable to the FAA.
(e) Any training or evaluation required under an AQP that is satisfactorily completed in the calendar month before or the calendar month after the calendar month in which it is due is considered to have been completed in the calendar month it was due.
(a) Each certificate holder that claims that AQP information or data it is submitting to the FAA is entitled to confidential treatment under 5 U.S.C. 552(b)(4) because it constitutes confidential commercial information as described in 5 U.S.C. 552(b)(4), and should be withheld from public disclosure, must include its request for confidentiality with each submission.
(b) When requesting confidentiality for submitted information or data, the certificate holder must:
(1) If the information or data is transmitted electronically, embed the claim of confidentiality within the electronic record so the portions claimed to be confidential are readily apparent when received and reviewed.
(2) If the information or data is submitted in paper format, place the word “CONFIDENTIAL” on the top of each page containing information or data claimed to be confidential.
(3) Justify the basis for a claim of confidentiality under 5 U.S.C. 552(b)(4).
The following definitions apply to this subpart:
Crew Resource Management (CRM) means the effective use of all the resources available to crewmembers, including each other, to achieve a safe and efficient flight.
Curriculum outline means a listing of each segment, module, lesson, and lesson element in a curriculum, or an equivalent listing acceptable to the FAA.
Evaluation of proficiency means a Line Operational Evaluation (LOE) or an equivalent evaluation under an AQP acceptable to the FAA.
Evaluator means a person who assesses or judges the performance of crewmembers, instructors, other evaluators, aircraft dispatchers, or other operations personnel.
First Look means the assessment of performance to determine proficiency on designated flight tasks before any briefing, training, or practice on those tasks is given in the training session for a continuing qualification curriculum. First Look is conducted during an AQP continuing qualification cycle to determine trends of degraded proficiency, if any, due in part to the length of the interval between training sessions.
Instructional systems development means a systematic methodology for developing or modifying qualification standards and associated curriculum content based on a documented analysis of the job tasks, skills, and knowledge required for job proficiency.
Job task listing means a listing of all tasks, subtasks, knowledge, and skills required for accomplishing the operational job.
Line Operational Evaluation (LOE) means a simulated line environment, the scenario content of which is designed to test integrating technical and CRM skills.
Line Operational Simulation (LOS) means a training or evaluation session, as applicable, that is conducted in a simulated line environment using equipment qualified and approved for its intended purpose in an AQP.
Planned hours means the estimated amount of time (as specified in a curriculum outline) that it takes a typical student to complete a segment of instruction (to include all instruction, demonstration, practice, and evaluation, as appropriate, to reach proficiency).
Qualification standard means a statement of a minimum required performance, applicable parameters, criteria, applicable flight conditions, evaluation strategy, evaluation media, and applicable document references.
Qualification standards document means a single document containing all the qualification standards for an AQP together with a prologue that provides a detailed description of all facets of the evaluation process.
Special tracking means assigning a person to an augmented schedule of training, checking, or both.
Training session means a contiguously scheduled period devoted to training activities at a facility approved by the FAA for that purpose.
Variant means a specifically configured aircraft for which the FAA has identified training and qualifications that are significantly different from those applicable to other aircraft of the same make, model, and series.
(a) Approval process. Application for approval of an AQP curriculum under this subpart is made to the responsible Flight Standards office.
(b) Approval criteria. Each AQP must have separate curriculums for indoctrination, qualification, and continuing qualification (including upgrade, transition, and requalification), as specified in §§ 121.911, 121.913, and 121.915. All AQP curriculums must be based on an instructional systems development methodology. This methodology must incorporate a thorough analysis of the certificate holder's operations, aircraft, line environment and job functions. All AQP qualification and continuing qualification curriculums must integrate the training and evaluation of CRM and technical skills and knowledge. An application for approval of an AQP curriculum may be approved if the program meets the following requirements:
(1) The program must meet all the requirements of this subpart.
(2) Each indoctrination, qualification, and continuing qualification AQP, and derivatives must include the following documentation:
(i) Initial application for AQP.
(ii) Initial job task listing.
(iii) Instructional systems development methodology.
(iv) Qualification standards document.
(v) Curriculum outline.
(vi) Implementation and operations plan.
(3) Subject to approval by the FAA, certificate holders may elect, where appropriate, to consolidate information about multiple programs within any of the documents referenced in paragraph (b)(2) of this section.
(4) The Qualification Standards Document must indicate specifically the requirements of the parts 61, 63, 65, 121, or 135 of this chapter, as applicable, that would be replaced by an AQP curriculum. If a practical test requirement of parts 61, 63, 65, 121, or 135 of this chapter is replaced by an AQP curriculum, the certificate holder must establish an initial justification and a continuing process approved by the FAA to show how the AQP curriculum provides an equivalent level of safety for each requirement that is to be replaced.
(c) Application and transition. Each certificate holder that applies for one or more advanced qualification curriculums must include as part of its application a proposed transition plan (containing a calendar of events) for moving from its present approved training to the advanced qualification program training.
(d) Advanced Qualification Program revisions or rescissions of approval. If after a certificate holder begins training and qualification under an AQP, the FAA finds the certificate holder is not meeting the provisions of its approved AQP, the FAA may require the certificate holder, pursuant to § 121.405(e), to make revisions. Or if otherwise warranted, the FAA may withdraw AQP approval and require the certificate holder to submit and obtain approval for a plan (containing a schedule of events) that the certificate holder must comply with and use to transition to an approved training program under subpart N of this part or under subpart H of part 135 of this chapter, as appropriate. The certificate holder may also voluntarily submit and obtain approval for a plan (containing a schedule of events) to transition to an approved training program under subpart N of this part or under subpart H of part 135 of this chapter, as appropriate.
(e) Approval by the FAA. Final approval of an AQP by the FAA indicates the FAA has accepted the justification provided under paragraph (b)(4) of this section and the applicant's initial justification and continuing process establish an equivalent level of safety for each requirement of parts 61, 63, 65, 121, and 135 of this chapter that is being replaced.
Each indoctrination curriculum must include the following:
(a) For newly hired persons being trained under an AQP: The certificate holder's policies and operating practices and general operational knowledge.
(b) For newly hired crewmembers and aircraft dispatchers: General aeronautical knowledge appropriate to the duty position.
(c) For instructors: The fundamental principles of the teaching and learning process; methods and theories of instruction; and the knowledge necessary to use aircraft, flight training devices, flight simulators, and other training equipment in advanced qualification curriculums, as appropriate.
(d) For evaluators: General evaluation requirements of the AQP; methods of evaluating crewmembers and aircraft dispatchers and other operations personnel, as appropriate, and policies and practices used to conduct the kinds of evaluations particular to an AQP (e.g., LOE).
Each qualification curriculum must contain training, evaluation, and certification activities, as applicable for specific positions subject to the AQP, as follows:
(a) The certificate holder's planned hours of training, evaluation, and supervised operating experience.
(b) For crewmembers, aircraft dispatchers, and other operations personnel, the following:
(1) Training, evaluation, and certification activities that are aircraft- and equipment-specific to qualify a person for a particular duty position on, or duties related to the operation of, a specific make, model, series, or variant aircraft.
(2) A list of and text describing the knowledge requirements, subject materials, job skills, and qualification standards of each proficiency objective to be trained and evaluated.
(3) The requirements of the certificate holder's approved AQP program that are in addition to or in place of, the requirements of parts 61, 63, 65, 121 or 135 of this chapter, including any applicable practical test requirements.
(4) A list of and text describing operating experience, evaluation/remediation strategies, provisions for special tracking, and how recency of experience requirements will be accomplished.
(c) For flight crewmembers: Initial operating experience and line check.
(d) For instructors, the following as appropriate:
(1) Training and evaluation activities to qualify a person to conduct instruction on how to operate, or on how to ensure the safe operation of a particular make, model, and series aircraft (or variant).
(2) A list of and text describing the knowledge requirements, subject materials, job skills, and qualification standards of each procedure and proficiency objective to be trained and evaluated.
(3) A list of and text describing evaluation/remediation strategies, standardization policies and recency requirements.
(e) For evaluators: The requirements of paragraph (d)(1) of this section plus the following, as appropriate:
(1) Training and evaluation activities that are aircraft and equipment specific to qualify a person to assess the performance of persons who operate or who ensure the safe operation of, a particular make, model, and series aircraft (or variant).
(2) A list of and text describing the knowledge requirements, subject materials, job skills, and qualification standards of each procedure and proficiency objective to be trained and evaluated.
(3) A list of and text describing evaluation/remediation strategies, standardization policies and recency requirements.
Each continuing qualification curriculum must contain training and evaluation activities, as applicable for specific positions subject to the AQP, as follows:
(a) Continuing qualification cycle. A continuing qualification cycle that ensures that during each cycle each person qualified under an AQP, including instructors and evaluators, will receive a mix that will ensure training and evaluation on all events and subjects necessary to ensure that each person maintains proficiency in knowledge, technical skills, and cognitive skills required for initial qualification in accordance with the approved continuing qualification AQP, evaluation/remediation strategies, and provisions for special tracking. Each continuing qualification cycle must include at least the following:
(1) Evaluation period. Initially the continuing qualification cycle is comprised of two or more evaluation periods of equal duration. Each person qualified under an AQP must receive ground training and flight training, as appropriate, and an evaluation of proficiency during each evaluation period at a training facility. The number and frequency of training sessions must be approved by the FAA.
(2) Training. Continuing qualification must include training in all tasks, procedures and subjects required in accordance with the approved program documentation, as follows:
(i) For pilots in command, seconds in command, and flight engineers, First Look in accordance with the certificate holder's FAA-approved program documentation.
(ii) For pilots in command, seconds in command, flight engineers, flight attendants, instructors and evaluators: Ground training including a general review of knowledge and skills covered in qualification training, updated information on newly developed procedures, and safety information.
(iii) For crewmembers, instructors, evaluators, and other operational personnel who conduct their duties in flight: Proficiency training in an aircraft, flight training device, flight simulator, or other equipment, as appropriate, on normal, abnormal, and emergency flight procedures and maneuvers.
(iv) For dispatchers and other operational personnel who do not conduct their duties in flight: ground training including a general review of knowledge and skills covered in qualification training, updated information on newly developed procedures, safety related information, and, if applicable, a line observation program.
(v) For instructors and evaluators: Proficiency training in the type flight training device or the type flight simulator, as appropriate, regarding training equipment operation. For instructors and evaluators who are limited to conducting their duties in flight simulators or flight training devices: Training in operational flight procedures and maneuvers (normal, abnormal, and emergency).
(b) Evaluation of performance. Continuing qualification must include evaluation of performance on a sample of those events and major subjects identified as diagnostic of competence and approved for that purpose by the FAA. The following evaluation requirements apply:
(1) Evaluation of proficiency as follows:
(i) For pilots in command, seconds in command, and flight engineers: An evaluation of proficiency, portions of which may be conducted in an aircraft, flight simulator, or flight training device as approved in the certificate holder's curriculum that must be completed during each evaluation period.
(ii) For any other persons covered by an AQP, a means to evaluate their proficiency in the performance of their duties in their assigned tasks in an operational setting.
(2) Line checks as follows:
(i) Except as provided in paragraph (b)(2)(ii) of this section, for pilots in command: A line check conducted in an aircraft during actual flight operations under part 121 or part 135 of this chapter or during operationally (line) oriented flights, such as ferry flights or proving flights. A line check must be completed in the calendar month at the midpoint of the evaluation period.
(ii) With the FAA's approval, a no-notice line check strategy may be used in lieu of the line check required by paragraph (b)(2)(i) of this section. The certificate holder who elects to exercise this option must ensure the “no-notice” line checks are administered so the flight crewmembers are not notified before the evaluation. In addition, the AQP certificate holder must ensure that each pilot in command receives at least one “no-notice” line check every 24 months. As a minimum, the number of “no-notice” line checks administered each calendar year must equal at least 50% of the certificate holder's pilot-in-command workforce in accordance with a strategy approved by the FAA for that purpose. In addition, the line checks to be conducted under this paragraph must be conducted over all geographic areas flown by the certificate holder in accordance with a sampling methodology approved by the FAA for that purpose.
(iii) During the line checks required under paragraph (b)(2)(i) and (ii) of this section, each person performing duties as a pilot in command, second in command, or flight engineer for that flight must be individually evaluated to determine whether the person remains adequately trained and currently proficient with respect to the particular aircraft, crew position, and type of operation in which he or she serves; and the person has sufficient knowledge and skills to operate effectively as part of a crew. The evaluator must be a check pilot, check flight engineer, an APD, or an FAA inspector and must hold the certificates and ratings required of the pilot in command.
(c) Recency of experience. For pilots in command, seconds in command, flight engineers, aircraft dispatchers, instructors, evaluators, and flight attendants, approved recency of experience requirements appropriate to the duty position.
(d) Duration of cycles and periods. Initially, the continuing qualification cycle approved for an AQP must not exceed 24 calendar months in duration, and must include two or more evaluation periods of equal duration. After that, upon demonstration by a certificate holder that an extension is warranted, the FAA may approve an extension of the continuing qualification cycle to a maximum of 36 calendar months in duration.
(e) Requalification. Each continuing qualification curriculum must include a curriculum segment that covers the requirements for requalifying a crewmember, aircraft dispatcher, other operations personnel, instructor, or evaluator who has not maintained continuing qualification.
In addition to the requirements of §§ 121.913 and 121.915, each AQP qualification and continuing qualification curriculum must include the following requirements:
(a) Integrated Crew Resource Management (CRM) or Dispatcher Resource Management (DRM) ground and if appropriate flight training applicable to each position for which training is provided under an AQP.
(b) Approved training on and evaluation of skills and proficiency of each person being trained under AQP to use his or her resource management skills and his or her technical (piloting or other) skills in an actual or simulated operations scenario. For flight crewmembers this training and evaluation must be conducted in an approved flight training device, flight simulator, or, if approved under this subpart, in an aircraft.
(c) Data collection and analysis processes acceptable to the FAA that will ensure the certificate holder provides performance information on its crewmembers, dispatchers, instructors, evaluators, and other operations personnel that will enable the certificate holder and the FAA to determine whether the form and content of training and evaluation activities are satisfactorily accomplishing the overall objectives of the curriculum.
A person subject to an AQP is eligible to receive a commercial or airline transport pilot, flight engineer, or aircraft dispatcher certificate or appropriate rating based on the successful completion of training and evaluation events accomplished under that program if the following requirements are met:
(a) Training and evaluation of required knowledge and skills under the AQP must meet minimum certification and rating criteria established by the FAA in parts 61, 63, or 65 of this chapter. The FAA may approve alternatives to the certification and rating criteria of parts 61, 63, or 65 of this chapter, including practical test requirements, if it can be demonstrated that the newly established criteria or requirements represent an equivalent or better measure of crewmember or dispatcher competence, operational proficiency, and safety.
(b) The applicant satisfactorily completes the appropriate qualification curriculum.
(c) The applicant shows competence in required technical knowledge and skills (e.g., piloting or other) and crew resource management (e.g., CRM or DRM) knowledge and skills in scenarios (i.e., LOE) that test both types of knowledge and skills together.
(d) The applicant is otherwise eligible under the applicable requirements of part 61, 63, or 65 of this chapter.
(e) The applicant has been trained to proficiency on the certificate holder's approved AQP Qualification Standards as witnessed by an instructor, check pilot, check flight engineer, or APD and has passed an LOE administered by an APD or the FAA.
(a) Each flight training device or airplane simulator that will be used in an AQP for one of the following purposes must be evaluated by the FAA for assignment of a flight training device or flight simulator qualification level:
(1) Required evaluation of individual or crew proficiency.
(2) Training to proficiency or training activities that determine if an individual or crew is ready for an evaluation of proficiency.
(3) Activities used to meet recency of experience requirements.
(4) Line Operational Simulations (LOS).
(b) Approval of other training equipment.
(1) Any training equipment that is intended to be used in an AQP for purposes other than those set forth in paragraph (a) of this section must be approved by the FAA for its intended use.
(2) An applicant for approval of training equipment under this paragraph must identify the device by its nomenclature and describe its intended use.
(3) Each training device approved for use in an AQP must be part of a continuing program to provide for its serviceability and fitness to perform its intended function as approved by the FAA.
(a) A certificate holder operating under part 121 or part 135 of this chapter may arrange to have AQP training, qualification, evaluation, or certification functions performed by another person (a “training provider”) if the following requirements are met:
(1) The training provider is certificated under part 119 or 142 of this chapter.
(2) The training provider's AQP training and qualification curriculums, curriculum segments, or portions of curriculum segments must be provisionally approved by the FAA. A training provider may apply for provisional approval independently or in conjunction with a certificate holder's application for AQP approval. Application for provisional approval must be made to the responsible Flight Standards office.
(3) The specific use of provisionally approved curriculums, curriculum segments, or portions of curriculum segments in a certificate holder's AQP must be approved by the FAA as set forth in § 121.909.
(b) An applicant for provisional approval of a curriculum, curriculum segment, or portion of a curriculum segment under this paragraph must show the following requirements are met:
(1) The applicant must have a curriculum for the qualification and continuing qualification of each instructor and evaluator used by the applicant.
(2) The applicant's facilities must be found by the FAA to be adequate for any planned training, qualification, or evaluation for a certificate holder operating under part 121 or part 135 of this chapter.
(3) Except for indoctrination curriculums, the curriculum, curriculum segment, or portion of a curriculum segment must identify the specific make, model, and series aircraft (or variant) and crewmember or other positions for which it is designed.
(c) A certificate holder who wants approval to use a training provider's provisionally approved curriculum, curriculum segment, or portion of a curriculum segment in its AQP, must show the following requirements are met:
(1) Each instructor or evaluator used by the training provider must meet all the qualification and continuing qualification requirements that apply to employees of the certificate holder that has arranged for the training, including knowledge of the certificate holder's operations.
(2) Each provisionally approved curriculum, curriculum segment, or portion of a curriculum segment must be approved by the FAA for use in the certificate holder's AQP. The FAA will either provide approval or require modifications to ensure that each curriculum, curriculum segment, or portion of a curriculum segment is applicable to the certificate holder's AQP.
Each certificate holder conducting an approved AQP must establish and maintain records in sufficient detail to demonstrate the certificate holder is in compliance with all the requirements of the AQP and this subpart.
(a) This subpart prescribes the requirements applicable to each certificate holder for training each crewmember and person performing or directly supervising any of the following job functions involving any item for transport on board an aircraft:
(1) Acceptance;
(2) Rejection;
(3) Handling;
(4) Storage incidental to transport;
(5) Packaging of company material; or
(6) Loading.
(b) Definitions. For purposes of this subpart, the following definitions apply:
(1) Company material (COMAT)—Material owned or used by a certificate holder.
(2) Initial hazardous materials training—The basic training required for each newly hired person, or each person changing job functions, who performs or directly supervises any of the job functions specified in paragraph (a) of this section.
(3) Recurrent hazardous materials training—The training required every 24 months for each person who has satisfactorily completed the certificate holder's approved initial hazardous materials training program and performs or directly supervises any of the job functions specified in paragraph (a) of this section.
(a) Each certificate holder must establish and implement a hazardous materials training program that:
(1) Satisfies the requirements of Appendix O of this part;
(2) Ensures that each person performing or directly supervising any of the job functions specified in § 121.1001(a) is trained to comply with all applicable parts of 49 CFR parts 171 through 180 and the requirements of this subpart; and
(3) Enables the trained person to recognize items that contain, or may contain, hazardous materials regulated by 49 CFR parts 171 through 180.
(b) Each certificate holder must provide initial hazardous materials training and recurrent hazardous materials training to each crewmember and person performing or directly supervising any of the job functions specified in § 121.1001(a).
(c) Each certificate holder's hazardous materials training program must be approved by the FAA prior to implementation.
(a) Training requirement. Except as provided in paragraphs (b), (c) and (f) of this section, no certificate holder may use any crewmember orperson to perform any of the job functions or direct supervisory responsibilities, and no person may perform any of the job functions or direct supervisory responsibilities, specified in § 121.1001(a) unless that person has satisfactorily completed the certificate holder's FAA-approved initial or recurrent hazardous materials training program within the past 24 months.
(b) New hire or new job function. A person who is a new hire and has not yet satisfactorily completed the required initial hazardous materials training, or a person who is changing job functions and has not received initial or recurrent training for a job function involving storage incidental to transport, or loading of items for transport on an aircraft, may perform those job functions for not more than 30 days from the date of hire or a change in job function, if the person is under the direct visual supervision of a person who is authorized by the certificate holder to supervise that person and who has successfully completed the certificate holder's FAA-approved initial or recurrent training program within the past 24 months.
(c) Persons who work for more than one certificate holder. A certificate holder that uses or assigns a person to perform or directly supervise a job function specified in § 121.1001(a), when that person also performs or directly supervises the same job function for another certificate holder, need only train that person in its own policies and procedures regarding those job functions, if all of the following are met:
(1) The certificate holder using this exception receives written verification from the person designated to hold the training records representing the other certificate holder that the person has satisfactorily completed hazardous materials training for the specific job function under the other certificate holder's FAA approved hazardous material training program under Appendix O of this part; and
(2) The certificate holder who trained the person has the same operations specifications regarding the acceptance, handling, and transport of hazardous materials as the certificate holder using this exception.
(d) Recurrent hazardous materials training—Completion date. A person who satisfactorily completes recurrent hazardous materials training in the calendar month before, or the calendar month after, the month in which the recurrent training is due, is considered to have taken that training during the month in which it is due. If the person completes this training earlier than the month before it is due, the month of the completion date becomes his or her new anniversary month.
(e) Repair stations. A certificate holder must ensure that each repair station performing work for, or on the certificate holder's behalf is notified in writing of the certificate holder's policies and operations specification authorization permitting or prohibition against the acceptance, rejection, handling, storage incidental to transport, and transportation of hazardous materials, including company material. This notification requirement applies only to repair stations that are regulated by 49 CFR parts 171 through 180.
(f) Certificate holders operating at foreign locations. This exception applies if a certificate holder operating at a foreign location where the country requires the certificate holder to use persons working in that country to load aircraft. In such a case, the certificate holder may use those persons even if they have not been trained in accordance with the certificate holder's FAA approved hazardous materials training program. Those persons, however, must be under the direct visual supervision of someone who has successfully completed the certificate holder's approved initial or recurrent hazardous materials training program in accordance with this part. This exception applies only to those persons who load aircraft.
(a) General requirement. Each certificate holder must maintain a record of all training required by this part received within the preceding three years for each person who performs or directly supervises a job function specified in § 121.1001(a). The record must be maintained during the time that the person performs or directly supervises any of those job functions, and for 90 days thereafter. These training records must be kept for direct employees of the certificate holder, as well as independent contractors, subcontractors, and any other person who performs or directly supervises these job functions for or on behalf of the certificate holder.
(b) Location of records. The certificate holder must retain the training records required by paragraph (a) of this section for all initial and recurrent training received within the preceding 3 years for all persons performing or directly supervising the job functions listed in Appendix O at a designated location. The records must be available upon request at the location where the trained person performs or directly supervises the job function specified in § 121.1001(a). Records may be maintained electronically and provided on location electronically. When the person ceases to perform or directly supervise a hazardous materials job function, the certificate holder must retain the hazardous materials training records for an additional 90 days and make them available upon request at the last location where the person worked.
(c) Content of records. Each record must contain the following:
(1) The individual's name;
(2) The most recent training completion date;
(3) A description, copy or reference to training materials used to meet the training requirement;
(4) The name and address of the organization providing the training; and
(5) A copy of the certification issued when the individual was trained, which shows that a test has been completed satisfactorily.
(d) New hire or new job function. Each certificate holder using a person under the exception in § 121.1005(b) must maintain a record for that person. The records must be available upon request at the location where the trained person performs or directly supervises the job function specified in § 121.1001(a). Records may be maintained electronically and provided on location electronically. The record must include the following:
(1) A signed statement from an authorized representative of the certificate holder authorizing the use of the person in accordance with the exception;
(2) The date of hire or change in job function;
(3) The person's name and assigned job function;
(4) The name of the supervisor of the job function; and
(5) The date the person is to complete hazardous materials training in accordance with appendix O of this part.
(a) This subpart requires persons holding an air carrier or operating certificate under part 119 of this chapter to support the continued airworthiness of each airplane. These requirements may include, but are not limited to, revising the maintenance program, incorporating design changes, and incorporating revisions to Instructions for Continued Airworthiness.
(b) [Reserved]
(a) Applicability. This section applies to all airplanes operated by a certificate holder under this part, except for those airplanes operated between any point within the State of Alaska and any other point within the State of Alaska.
(b) Operation after inspection and records review. After the dates specified in this paragraph, a certificate holder may not operate an airplane under this part unless the Administrator has notified the certificate holder that the Administrator has completed the aging airplane inspection and records review required by this section. During the inspection and records review, the certificate holder must demonstrate to the Administrator that the maintenance of age-sensitive parts and components of the airplane has been adequate and timely enough to ensure the highest degree of safety.
(1) Airplanes exceeding 24 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has exceeded 24 years in service on December 8, 2003, no later than December 5, 2007, and thereafter at intervals not to exceed 7 years.
(2) Airplanes exceeding 14 years in service but not 24 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has exceeded 14 years in service but not 24 years in service on December 8, 2003, no later than December 4, 2008, and thereafter at intervals not to exceed 7 years.
(3) Airplanes not exceeding 14 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has not exceeded 14 years in service on December 8, 2003, no later than 5 years after the start of the airplane's 15th year in service and thereafter at intervals not to exceed 7 years.
(c) Unforeseen schedule conflict. In the event of an unforeseen scheduling conflict for a specific airplane, the Administrator may approve an extension of up to 90 days beyond an interval specified in paragraph (b) of this section.
(d) Airplane and records availability. The certificate holder must make available to the Administrator each airplane for which an inspection and records review is required under this section, in a condition for inspection specified by the Administrator, together with records containing the following information:
(1) Total years in service of the airplane;
(2) Total time in service of the airframe;
(3) Total flight cycles of the airframe;
(4) Date of the last inspection and records review required by this section;
(5) Current status of life-limited parts of the airframe;
(6) Time since the last overhaul of all structural components required to be overhauled on a specific time basis;
(7) Current inspection status of the airplane, including the time since the last inspection required by the inspection program under which the airplane is maintained;
(8) Current status of applicable airworthiness directives, including the date and methods of compliance, and if the airworthiness directive involves recurring action, the time and date when the next action is required;
(9) A list of major structural alterations; and
(10) A report of major structural repairs and the current inspection status for those repairs.
(e) Notification to Administrator. Each certificate holder must notify the Administrator at least 60 days before the date on which the airplane and airplane records will be made available for the inspection and records review.
(a) No certificate holder may operate an Airbus Model A300 (excluding the -600 series), British Aerospace Model BAC 1-11, Boeing Model 707, 720, 727, 737, or 747, McDonnell Douglas Model DC-8, DC-9/MD-80 or DC-10, Fokker Model F28, or Lockheed Model L-1011 airplane beyond the applicable flight cycle implementation time specified below, or May 25, 2001, whichever occurs later, unless operations specifications have been issued to reference repair assessment guidelines applicable to the fuselage pressure boundary (fuselage skin, door skin, and bulkhead webs), and those guidelines are incorporated in its maintenance program. The repair assessment guidelines must be approved by the responsible Aircraft Certification Service office for the type certificate for the affected airplane.
(1) For the Airbus Model A300 (excluding the -600 series), the flight cycle implementation time is:
(i) Model B2: 36,000 flights.
(ii) Model B4-100 (including Model B4-2C): 30,000 flights above the window line, and 36,000 flights below the window line.
(iii) Model B4-200: 25,500 flights above the window line, and 34,000 flights below the window line.
(2) For all models of the British Aerospace BAC 1-11, the flight cycle implementation time is 60,000 flights.
(3) For all models of the Boeing 707, the flight cycle implementation time is 15,000 flights.
(4) For all models of the Boeing 720, the flight cycle implementation time is 23,000 flights.
(5) For all models of the Boeing 727, the flight cycle implementation time is 45,000 flights.
(6) For all models of the Boeing 737, the flight cycle implementation time is 60,000 flights.
(7) For all models of the Boeing 747, the flight cycle implementation time is 15,000 flights.
(8) For all models of the McDonnell Douglas DC-8, the flight cycle implementation time is 30,000 flights.
(9) For all models of the McDonnell Douglas DC-9/MD-80, the flight cycle implementation time is 60,000 flights.
(10) For all models of the McDonnell Douglas DC-10, the flight cycle implementation time is 30,000 flights.
(11) For all models of the Lockheed L-1011, the flight cycle implementation time is 27,000 flights.
(12) For the Fokker F-28 Mark 1000, 2000, 3000, and 4000, the flight cycle implementation time is 60,000 flights.
(b) [Reserved]
(a) Applicability. Except as specified in paragraph (b) of this section, this section applies to transport category, turbine powered airplanes with a type certificate issued after January 1, 1958, that as a result of original type certification or later increase in capacity have—
(1) A maximum type certificated passenger seating capacity of 30 or more; or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) Exception. This section does not apply to an airplane operated by a certificate holder under this part between any point within the State of Alaska and any other point within the State of Alaska.
(c) General requirements. After December 20, 2010, a certificate holder may not operate an airplane under this part unless the following requirements have been met:
(1) Baseline Structure. The certificate holder's maintenance program for the airplane includes FAA-approved damage-tolerance-based inspections and procedures for airplane structure susceptible to fatigue cracking that could contribute to a catastrophic failure. For the purpose of this section, this structure is termed “fatigue critical structure.”
(2) Adverse effects of repairs, alterations, and modifications. The maintenance program for the airplane includes a means for addressing the adverse effects repairs, alterations, and modifications may have on fatigue critical structure and on inspections required by paragraph (c)(1) of this section. The means for addressing these adverse effects must be approved by the responsible Aircraft Certification Service office.
(3) Changes to maintenance program. The changes made to the maintenance program required by paragraphs (c)(1) and (c)(2) of this section, and any later revisions to these changes, must be submitted to the Principal Maintenance Inspector for review and approval.
(a) Except as provided in paragraph (f) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of original type certification or later increase in capacity, have—
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7500 pounds or more.
(b) After March 10, 2011, no certificate holder may operate an airplane identified in paragraph (a) of this section unless the maintenance program for that airplane includes inspections and procedures for electrical wiring interconnection systems (EWIS).
(c) The proposed EWIS maintenance program changes must be based on EWIS Instructions for Continued Airworthiness (ICA) that have been developed in accordance with the provisions of Appendix H of part 25 of this chapter applicable to each affected airplane (including those ICA developed for supplemental type certificates installed on each airplane) and that have been approved by the responsible Aircraft Certification Service office.
(1) For airplanes subject to § 26.11 of this chapter, the EWIS ICA must comply with paragraphs H25.5(a)(1) and (b).
(2) For airplanes subject to § 25.1729 of this chapter, the EWIS ICA must comply with paragraph H25.4 and all of paragraph H25.5.
(d) After March 10, 2011, before returning an airplane to service after any alterations for which EWIS ICA are developed, the certificate holder must include in the airplane's maintenance program inspections and procedures for EWIS based on those ICA.
(e) The EWIS maintenance program changes identified in paragraphs (c) and (d) of this section and any later EWIS revisions must be submitted to the Principal Inspector for review and approval.
(f) This section does not apply to the following airplane models:
(1) Lockheed L-188
(2) Bombardier CL-44
(3) Mitsubishi YS-11
(4) British Aerospace BAC 1-11
(5) Concorde
(6) deHavilland D.H. 106 Comet 4C
(7) VFW-Vereinigte Flugtechnische Werk VFW-614
(8) Illyushin Aviation IL 96T
(9) Bristol Aircraft Britannia 305
(10) Handley Page Herald Type 300
(11) Avions Marcel Dassault—Breguet Aviation Mercure 100C
(12) Airbus Caravelle
(13) Lockheed L-300
(a) Except as provided in paragraph (g) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of original type certification or later increase in capacity, have—
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7500 pounds or more.
(b) For each airplane on which an auxiliary fuel tank is installed under a field approval, before June 16, 2008, the certificate holder must submit to the responsible Aircraft Certification Service office proposed maintenance instructions for the tank that meet the requirements of Special Federal Aviation Regulation No. 88 (SFAR 88) of this chapter.
(c) After December 16, 2008, no certificate holder may operate an airplane identified in paragraph (a) of this section unless the maintenance program for that airplane has been revised to include applicable inspections, procedures, and limitations for fuel tanks systems.
(d) The proposed fuel tank system maintenance program revisions must be based on fuel tank system Instructions for Continued Airworthiness (ICA) that have been developed in accordance with the applicable provisions of SFAR 88 of this chapter or § 25.1529 and part 25, Appendix H, of this chapter, in effect on June 6, 2001 (including those developed for auxiliary fuel tanks, if any, installed under supplemental type certificates or other design approval) and that have been approved by the responsible Aircraft Certification Service office.
(e) After December 16, 2008, before returning an aircraft to service after any alteration for which fuel tank ICA are developed under SFAR 88 or under § 25.1529 in effect on June 6, 2001, the certificate holder must include in the maintenance program for the airplane inspections and procedures for the fuel tank system based on those ICA.
(f) The fuel tank system maintenance program changes identified in paragraphs (d) and (e) of this section and any later fuel tank system revisions must be submitted to the Principal Inspector for review and approval.
(g) This section does not apply to the following airplane models:
(1) Bombardier CL-44
(2) Concorde
(3) deHavilland D.H. 106 Comet 4C
(4) VFW-Vereinigte Flugtechnische Werk VFW-614
(5) Illyushin Aviation IL 96T
(6) Bristol Aircraft Britannia 305
(7) Handley Page Herald Type 300
(8) Avions Marcel Dassault—Breguet Aviation Mercure 100C
(9) Airbus Caravelle
(10) Lockheed L-300
(a) Applicability. This section applies to certificate holders operating any transport category, turbine-powered airplane with a maximum takeoff gross weight greater than 75,000 pounds and a type certificate issued after January 1, 1958, regardless of whether the maximum takeoff gross weight is a result of an original type certificate or a later design change. This section also applies to certificate holders operating any transport category, turbine-powered airplane with a type certificate issued after January 1, 1958, regardless of the maximum takeoff gross weight, for which a limit of validity of the engineering data that supports the structural maintenance program (hereafter referred to as LOV) is required in accordance with § 25.571 or § 26.21 of this chapter after January 14, 2011.
(b) Limit of validity. No certificate holder may operate an airplane identified in paragraph (a) of this section after the applicable date identified in Table 1 of this section unless an Airworthiness Limitations section approved under Appendix H to part 25 or § 26.21 of this chapter is incorporated into its maintenance program. The ALS must—
(1) Include an LOV approved under § 25.571 or § 26.21 of this chapter, as applicable, except as provided in paragraph (f) of this section; and
(2) Be clearly distinguishable within its maintenance program.
(c) Operation of airplanes excluded from § 26.21. No certificate holder may operate an airplane identified in § 26.21(g) of this chapter after July 14, 2013, unless an Airworthiness Limitations section approved under Appendix H to part 25 or § 26.21 of this chapter is incorporated into its maintenance program. The ALS must—
(1) Include an LOV approved under § 25.571 or § 26.21 of this chapter, as applicable, except as provided in paragraph (f) of this section; and
(2) Be clearly distinguishable within its maintenance program.
(d) Extended limit of validity. No certificate holder may operate an airplane beyond the LOV, or extended LOV, specified in paragraph (b)(1), (c), (d), or (f) of this section, as applicable, unless the following conditions are met:
(1) An ALS must be incorporated into its maintenance program that—
(i) Includes an extended LOV and any widespread fatigue damage airworthiness limitation items approved under § 26.23 of this chapter; and
(ii) Is approved under § 26.23 of this chapter.
(2) The extended LOV and the airworthiness limitation items pertaining to widespread fatigue damage must be clearly distinguishable within its maintenance program.
(e) Principal Maintenance Inspector approval. Certificate holders must submit the maintenance program revisions required by paragraphs (b), (c), and (d) of this section to the Principal Maintenance Inspector for review and approval.
(f) Exception. For any airplane for which an LOV has not been approved as of the applicable compliance date specified in paragraph (c) or Table 1 of this section, instead of including an approved LOV in the ALS, an operator must include the applicable default LOV specified in Table 1 or Table 2 of this section, as applicable, in the ALS.
Table 1—Airplanes Subject to § 26.21
| Airplane model | Compliance date—months after January 14, 2011 | Default LOV
[flight cycles (FC) or flight hours (FH)] |
|---|---|---|
| Airbus—Existing 1 Models Only: | ||
| A300 B2-1A, B2-1C, B2K-3C, B2-203 | 30 | 48,000 FC |
| A300 B4-2C, B4-103 | 30 | 40,000 FC |
| A300 B4-203 | 30 | 34,000 FC |
| A300-600 Series | 60 | 30,000 FC/67,500 FH |
| A310-200 Series | 60 | 40,000 FC/60,000 FH |
| A310-300 Series | 60 | 35,000 FC/60,000 FH |
| A318 Series | 60 | 48,000 FC/60,000 FH |
| A319 Series | 60 | 48,000 FC/60,000 FH |
| A320-100 Series | 60 | 48,000 FC/48,000 FH |
| A320-200 Series | 60 | 48,000 FC/60,000 FH |
| A321 Series | 60 | 48,000 FC/60,000 FH |
| A330-200, -300 Series (except WV050 family) (non enhanced) | 60 | 40,000 FC/60,000 FH |
| A330-200, -300 Series WV050 family (enhanced) | 60 | 33,000 FC/100,000 FH |
| A330-200 Freighter Series | 60 | See NOTE. |
| A340-200, -300 Series (except WV 027 and WV050 family) (non enhanced) | 60 | 20,000 FC/80,000 FH |
| A340-200, -300 Series WV 027 (non enhanced) | 60 | 30,000 FC/60,000 FH |
| A340-300 Series WV050 family (enhanced) | 60 | 20,000 FC/100,000 FH |
| A340-500, -600 Series | 60 | 16,600 FC/100,000 FH |
| A380-800 Series | 72 | See NOTE. |
| Boeing—Existing 1 Models Only: | ||
| 717 | 60 | 60,000 FC/60,000 FH |
| 727 (all series) | 30 | 60,000 FC |
| 737 (Classics): 737-100, -200, -200C, -300, -400, -500 | 30 | 75,000 FC |
| 737 (NG): 737-600, -700, -700C, -800, -900, -900ER | 60 | 75,000 FC |
| 747 (Classics): 747-100, -100B, -100B SUD, -200B, -200C, -200F, -300, 747SP, 747SR | 30 | 20,000 FC |
| 747-400: 747-400, -400D, -400F | 60 | 20,000 FC |
| 757 | 60 | 50,000 FC |
| 767 | 60 | 50,000 FC |
| 777-200, -300 | 60 | 40,000 FC |
| 777-200LR, 777-300ER | 72 | 40,000 FC |
| 777F | 72 | 11,000 FC |
| Bombardier—Existing 1 Models Only: | ||
| CL-600: 2D15 (Regional Jet Series 705), 2D24 (Regional Jet Series 900) | 72 | 60,000 FC |
| Embraer—Existing 1 Models Only: | ||
| ERJ 170 | 72 | See NOTE. |
| ERJ 190 | 72 | See NOTE. |
| Fokker—Existing 1 Models Only: | ||
| F.28 Mark 0070, Mark 0100 | 30 | 90,000 FC |
| Lockheed—Existing 1 Models Only: | ||
| L-1011 | 30 | 36,000 FC |
| 188 | 30 | 26,600 FC |
| 382 (all series) | 30 | 20,000 FC/50,000 FH |
| McDonnell Douglas—Existing 1 Models Only: | ||
| DC-8, -8F | 30 | 50,000 FC/50,000 FH |
| DC-9 (except for MD-80 models) | 30 | 100,000 FC/100,000 FH |
| MD-80 (DC-9-81, -82, -83, -87, MD-88) | 30 | 50,000 FC/50,000 FH |
| MD-90 | 60 | 60,000 FC/90,000 FH |
| DC-10-10, -15 | 30 | 42,000 FC/60,000 FH |
| DC-10-30, -40, -10F, -30F, -40F | 30 | 30,000 FC/60,000 FH |
| MD-10-10F | 60 | 42,000 FC/60,000 FH |
| MD-10-30F | 60 | 30,000 FC/60,000 FH |
| MD-11, MD-11F | 60 | 20,000 FC/60,000 FH |
| Maximum Takeoff Gross Weight Changes: | ||
| All airplanes whose maximum takeoff gross weight has been decreased to 75,000 pounds or below after January 14, 2011, or increased to greater than 75,000 pounds at any time by an amended type certificate or supplemental type certificate | 30, or within 12 months after the LOV is approved, or before operating the airplane, whichever occurs latest | Not applicable. |
| All Other Airplane Models (TCs and amended TCs) not Listed in Table 2 | 72, or within 12 months after the LOV is approved, or before operating the airplane, whichever occurs latest | Not applicable. |
1 Type certificated as of January 14, 2011.
Table 2—Airplanes Excluded From § 26.21
| Airplane model | Default LOV
[flight cycles (FC) or flight hours (FH)] |
|---|---|
| Airbus: | |
| Caravelle | 15,000 FC/24,000 FH |
| Avions Marcel Dassault: | |
| Breguet Aviation Mercure 100C | 20,000 FC/16,000 FH |
| Boeing: | |
| Boeing 707 (-100 Series and -200 Series) | 20,000 FC |
| Boeing 707 (-300 Series and -400 Series) | 20,000 FC |
| Boeing 720 | 30,000 FC |
| Bombardier: | |
| CL-44D4 and CL-44J | 20,000 FC |
| BD-700 | 15,000 FC |
| Bristol Aeroplane Company: | |
| Britannia 305 | 10,000 FC |
| British Aerospace Airbus, Ltd.: | |
| BAC 1-11 (all models) | 85,000 FC |
| British Aerospace (Commercial Aircraft) Ltd.: | |
| Armstrong Whitworth Argosy A.W. 650 Series 101 | 20,000 FC |
| BAE Systems (Operations) Ltd.: | |
| BAe 146-100A (all models) | 50,000 FC |
| BAe 146-200-07 | 50,000 FC |
| BAe 146-200-07 Dev | 50,000 FC |
| BAe 146-200-11 | 50,000 FC |
| BAe 146-200-07A | 47,000 FC |
| BAe 146-200-11 Dev | 43,000 FC |
| BAe 146-300 (all models) | 40,000 FC |
| Avro 146-RJ70A (all models) | 40,000 FC |
| Avro 146-RJ85A and 146-RJ100A (all models) | 50,000 FC |
| D & R Nevada, LLC: | |
| Convair Model 22 | 1,000 FC/1,000 FH |
| Convair Model 23M | 1,000 FC/1,000 FH |
| deHavilland Aircraft Company, Ltd.: | |
| D.H. 106 Comet 4C | 8,000 FH |
| Gulfstream: | |
| GV | 40,000 FH |
| GV-SP | 40,000 FH |
| Ilyushin Aviation Complex: | |
| IL-96T | 10,000 FC/30,000 FH |
| Lockhead: | |
| 300-50A01(USAF C 141A) | 20,000 FC |
(a) Applicability. Except as provided in paragraph (o) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of original type certification or later increase in capacity have:
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) New Production Airplanes. Except in accordance with § 121.628, no certificate holder may operate an airplane identified in Table 1 of this section (including all-cargo airplanes) for which the State of Manufacture issued the original certificate of airworthiness or export airworthiness approval after December 27, 2010 unless an Ignition Mitigation Means (IMM) or Flammability Reduction Means (FRM) meeting the requirements of § 26.33 of this chapter is operational.
Table 1
| Model—Boeing | Model—Airbus |
|---|---|
| 747 Series | A318, A319, A320, A321 Series |
| 737 Series | A330, A340 Series |
| 777 Series | |
| 767 Series |
(c) Auxiliary Fuel Tanks. After the applicable date stated in paragraph (e) of this section, no certificate holder may operate any airplane subject to § 26.33 of this chapter that has an Auxiliary Fuel Tank installed pursuant to a field approval, unless the following requirements are met:
(1) The certificate holder complies with 14 CFR 26.35 by the applicable date stated in that section.
(2) The certificate holder installs Flammability Impact Mitigation Means (FIMM), if applicable, that is approved by the responsible Aircraft Certification Service office.
(3) Except in accordance with § 121.628, the FIMM, if applicable, is operational.
(d) Retrofit. Except as provided in paragraphs (j), (k), and (l) of this section, after the dates specified in paragraph (e) of this section, no certificate holder may operate an airplane to which this section applies unless the requirements of paragraphs (d)(1) and (d)(2) of this section are met.
(1) IMM, FRM or FIMM, if required by §§ 26.33, 26.35, or 26.37 of this chapter, that are approved by the responsible Aircraft Certification Service office, are installed within the compliance times specified in paragraph (e) of this section.
(2) Except in accordance with § 121.628, the IMM, FRM or FIMM, as applicable, are operational.
(e) Compliance Times. Except as provided in paragraphs (k) and (l) of this section, the installations required by paragraph (d) of this section must be accomplished no later than the applicable dates specified in paragraph (e)(1), (e)(2), or (e)(3) of this section.
(1) Fifty percent of each certificate holder's fleet identified in paragraph (d)(1) of this section must be modified no later than December 26, 2014.
(2) One hundred percent of each certificate holder's fleet identified in paragraph (d)(1) of this section must be modified no later than December 26, 2017.
(3) For those certificate holders that have only one airplane of a model identified in Table 1 of this section, the airplane must be modified no later than December 26, 2017.
(f) Compliance After Installation. Except in accordance with § 121.628, no certificate holder may—
(1) Operate an airplane on which IMM or FRM has been installed before the dates specified in paragraph (e) of this section unless the IMM or FRM is operational, or
(2) Deactivate or remove an IMM or FRM once installed unless it is replaced by a means that complies with paragraph (d) of this section.
(g) Maintenance Program Revisions. No certificate holder may operate an airplane for which airworthiness limitations have been approved by the responsible Aircraft Certification Service office in accordance with §§ 26.33, 26.35, or 26.37 of this chapter after the airplane is modified in accordance with paragraph (d) of this section unless the maintenance program for that airplane is revised to include those applicable airworthiness limitations.
(h) After the maintenance program is revised as required by paragraph (g) of this section, before returning an airplane to service after any alteration for which airworthiness limitations are required by §§ 25.981, 26.33, or 26.37 of this chapter, the certificate holder must revise the maintenance program for the airplane to include those airworthiness limitations.
(i) The maintenance program changes identified in paragraphs (g) and (h) of this section must be submitted to the operator's Principal Maintenance Inspector responsible for review and approval prior to incorporation.
(j) The requirements of paragraph (d) of this section do not apply to airplanes operated in all-cargo service, but those airplanes are subject to paragraph (f) of this section.
(k) The compliance dates specified in paragraph (e) of this section may be extended by one year, provided that—
(1) No later than March 26, 2009, the certificate holder notifies its responsible Flight Standards office or Principal Inspector that it intends to comply with this paragraph;
(2) No later than June 24, 2009, the certificate holder applies for an amendment to its operations specification in accordance with § 119.51 of this chapter and revises the manual required by § 121.133 to include a requirement for the airplane models specified in Table 2 of this section to use ground air conditioning systems for actual gate times of more than 30 minutes, when available at the gate and operational, whenever the ambient temperature exceeds 60 degrees Fahrenheit; and
(3) Thereafter, the certificate holder uses ground air conditioning systems as described in paragraph (k)(2) of this section on each airplane subject to the extension.
Table 2
| Model—Boeing | Model—Airbus |
|---|---|
| 747 Series | A318, A319, A320, A321 Series |
| 737 Series | A300, A310 Series |
| 777 Series | A330, A340 Series |
| 767 Series | |
| 757 Series |
(l) For any certificate holder for which the operating certificate is issued after December 26, 2008, the compliance date specified in paragraph (e) of this section may be extended by one year, provided that the certificate holder meets the requirements of paragraph (k)(2) of this section when its initial operations specifications are issued and, thereafter, uses ground air conditioning systems as described in paragraph (k)(2) of this section on each airplane subject to the extension.
(m) After the date by which any person is required by this section to modify 100 percent of the affected fleet, no certificate holder may operate in passenger service any airplane model specified in Table 2 of this section unless the airplane has been modified to comply with § 26.33(c) of this chapter.
(n) No certificate holder may operate any airplane on which an auxiliary fuel tank is installed after December 26, 2017 unless the FAA has certified the tank as compliant with § 25.981 of this chapter, in effect on December 26, 2008.
(o) Exclusions. The requirements of this section do not apply to the following airplane models:
(1) Convair CV-240, 340, 440, including turbine powered conversions.
(2) Lockheed L-188 Electra.
(3) Vickers VC-10.
(4) Douglas DC-3, including turbine powered conversions.
(5) Bombardier CL-44.
(6) Mitsubishi YS-11.
(7) BAC 1-11.
(8) Concorde.
(9) deHavilland D.H. 106 Comet 4C.
(10) VFW—Vereinigte Flugtechnische VFW-614.
(11) Illyushin Aviation IL 96T.
(12) Bristol Aircraft Britannia 305.
(13) Handley Page Herald Type 300.
(14) Avions Marcel Dassault—Breguet Aviation Mercure 100C.
(15) Airbus Caravelle.
(16) Fokker F-27/Fairchild Hiller FH-227.
(17) Lockheed L-300.
(a) Applicability. This section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that have:
(1) A maximum type-certificated passenger capacity of 30 or more; or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) New production airplanes. No certificate holder may operate an airplane for which the State of Manufacture issued the original certificate of airworthiness or export airworthiness approval after August 23, 2018 unless means, approved by the Administrator, to prevent fuel tank explosions caused by propagation of flames from outside the fuel tank vents into the fuel tank vapor spaces are installed and operational.
(a) Applicability. This SFAR applies to the following persons:
(1) All operators of transport category airplanes that are required to comply with AD 2012-11-09, but only for airplanes on which the actions required by that AD have not been accomplished.
(2) Applicants for airworthiness certificates.
(3) Holders of production certificates.
(4) Applicants for type certificates, including changes to type certificates.
(b) Regulatory relief. Except as noted in paragraph (d) of this section and contrary provisions of 14 CFR part 21, and 14 CFR 25.1447, 119.51, 121.329, 121.333 and 129.13, notwithstanding, for the duration of this SFAR:
(1) A person described in paragraph (a) of this section may conduct flight operations and add airplanes to operations specifications with disabled lavatory oxygen systems, modified in accordance with FAA Airworthiness Directive 2011-04-09, subject to the following limitations:
(i) This relief is limited to regulatory compliance of lavatory oxygen systems.
(ii) Within 30 days of March 29, 2013, all oxygen masks must be removed from affected lavatories, and the mask stowage location must be reclosed.
(iii) Within 60 days of March 29, 2013 each affected operator must verify that crew emergency procedures specifically include a visual check of the lavatory as a priority when checking the cabin following any event where oxygen masks were deployed in the cabin.
(2) An applicant for an airworthiness certificate may obtain an airworthiness certificate for airplanes to be operated by a person described in paragraph (a) of this section, although the airplane lavatory oxygen system is disabled.
(3) A holder of a production certificate may apply for an airworthiness certificate or approval for airplanes to be operated by a person described in paragraph (a) of this section.
(4) An applicant for a type certificate or change to a type certificate may obtain a design approval without showing compliance with § 25.1447(c)(1) of this chapter for lavatory oxygen systems, in accordance with this SFAR.
(5) Each person covered by paragraph (a) of this section may inform passengers that the lavatories are not equipped with supplemental oxygen.
(c) Return to service documentation. When a person described in paragraph (a) of this section has modified airplanes as required by Airworthiness Directive 2011-04-09, the affected airplanes must be returned to service with a note in the airplane maintenance records that the modification was done under the provisions of this SFAR.
(d) Expiration. This SFAR expires on September 10, 2015, except this SFAR will continue to apply to any airplane for which the FAA approves an extension of the AD compliance time for the duration of the extension.
Approved first-aid kits, at least one approved emergency medical kit, and at least one approved automated external defibrillator required under § 121.803 of this part must be readily accessible to the crew, stored securely, and kept free from dust, moisture, and damaging temperatures.
1. The minimum number of first aid kits required is set forth in the following table:
| No. of passenger seats | No. of first-aid kits |
|---|---|
| 0-50 | 1 |
| 51-150 | 2 |
| 151-250 | 3 |
| More than 250 | 4 |
2. Except as provided in paragraph (3), each approved first-aid kit must contain at least the following appropriately maintained contents in the specified quantities:
| Contents | Quantity |
|---|---|
| Adhesive bandage compresses, 1-inch | 16 |
| Antiseptic swabs | 20 |
| Ammonia inhalants | 10 |
| Bandage compresses, 4-inch | 8 |
| Triangular bandage compresses, 40-inch | 5 |
| Arm splint, noninflatable | 1 |
| Leg splint, noninflatable | 1 |
| Roller bandage, 4-inch | 4 |
| Adhesive tape, 1-inch standard roll | 2 |
| Bandage scissors | 1 |
3. Arm and leg splints which do not fit within a first-aid kit may be stowed in a readily accessible location that is as near as practicable to the kit.
1. Until April 12, 2004, at least one approved emergency medical kit that must contain at least the following appropriately maintained contents in the specified quantities:
| Contents | Quantity |
|---|---|
| Sphygmomanometer | 1 |
| Stethoscope | 1 |
| Airways, cropharyngeal (3 sizes) | 3 |
| Syringes (sizes necessary to administer required drugs) | 4 |
| Needles (sizes necessary to administer required drugs) | 6 |
| 50% Dextrose injection, 50cc | 1 |
| Epinephrine 1:1000, single dose ampule or equivalent) | 2 |
| Diphenhydramine HC1 injection, single dose ampule or equivalent | 2 |
| Nitroglycerin tablets | 10 |
| Basic instructions for use of the drugs in the kit | 1 |
| protective nonpermeable gloves or equivalent | 1 pair |
2. As of April 12, 2004, at least one approved emergency medical kit that must contain at least the following appropriately maintained contents in the specified quantities:
| Contents | Quantity |
|---|---|
| Sphygmonanometer | 1 |
| Stethoscope | 1 |
| Airways, oropharyngeal (3 sizes): 1 pediatric, 1 small adult, 1 large adult or equivalent | 3 |
| Self-inflating manual resuscitation device with 3 masks (1 pediatric, 1 small adult, 1 large adult or equivalent) | 1:3 masks |
| CPR mask (3 sizes), 1 pediatric, 1 small adult, 1 large adult, or equivalent | 3 |
| IV Admin Set: Tubing w/ 2 Y connectors | 1 |
| Alcohol sponges | 2 |
| Adhesive tape, 1-inch standard roll adhesive | 1 |
| Tape scissors | 1 pair |
| Tourniquet | 1 |
| Saline solution, 500 cc | 1 |
| Protective nonpermeable gloves or equivalent | 1 pair |
| Needles (2-18 ga., 2-20 ga., 2-22 ga., or sizes necessary to administer required medications) | 6 |
| Syringes (1-5 cc, 2-10 cc, or sizes necessary to administer required medications) | 4 |
| Analgesic, non-narcotic, tablets, 325 mg | 4 |
| Antihistamine tablets, 25 mg | 4 |
| Antihistamine injectable, 50 mg, (single dose ampule or equivalent) | 2 |
| Atropine, 0.5 mg, 5 cc (single dose ampule or equivalent) | 2 |
| Aspirin tablets, 325 mg | 4 |
| Bronchodilator, inhaled (metered dose inhaler or equivalent) | 1 |
| Dextrose, 50%/50 cc injectable, (single dose ampule or equivalent) | 1 |
| Epinephrine 1:1000, 1 cc, injectable, (single dose ampule or equivalent) | 2 |
| Epinephrine 1:10,000, 2 cc, injectable, (single dose ampule or equivalent) | 2 |
| Lidocaine, 5 cc, 20 mg/ml, injectable (single dose ampule or equivalent) | 2 |
| Nitroglycerin tablets, 0.4 mg | 10 |
| Basic instructions for use of the drugs in the kit | 1 |
3. If all of the above-listed items do not fit into one container, more than one container may be used.
At least one approved automated external defibrillator, legally marketed in the United States in accordance with Food and Drug Administration requirements, that must:
1. Be stored in the passenger cabin.
2. After April 30, 2005:
(a) Have a power source that meets FAA Technical Standard Order requirements for power sources for electronic devices used in aviation as approved by the Administrator; or
(b) Have a power source that was manufactured before July 30, 2004, and been found by the FAA to be equivalent to a power source that meets the Technical Standard Order requirements of paragraph (a) of this section.
3. Be maintained in accordance with the manufacturer's specifications.
| Parameters | Range | Accuracy sensor input to DFDR readout | Sampling interval (per second) | Resolution 4 readout |
|---|---|---|---|---|
| Time (GMT or Frame Counter) (range 0 to 4095, sampled 1 per frame) | 24 Hrs | ±0.125% Per Hour | 0.25 (1 per 4 seconds) | 1 sec. |
| Altitude | −1,000 ft to max certificated altitude of aircraft | ±100 to ±700 ft (See Table 1, TSO-C51a) | 1 | 5′ to 35′ 1 |
| Airspeed | 50 KIAS to V | ±5%, ±3% | 1 | 1 kt. |
| Heading | 360° | ±2° | 1 | 0.5° |
| Normal Acceleration (Vertical) | −3g to + 6g | ±1% of max range excluding datum error of ±5% | 8 | 0.01g. |
| Pitch Attitude | ±75° | ±2° | 1 | 0.5° |
| Roll Attitude | ±180° | ±2° | 1 | 0.5° |
| Radio Transmitter Keying | On-Off (Discrete) | ±2° | ±2% | |
| Thrust/Power on Each Engine | Full Range Forward | ±2° | 1 (per engine) | 0.2% 2 |
| Trailing Edge Flap or Cockpit Control Selection | Full Range or Each Discrete Position | ±3° or as Pilot's Indicator | 0.5 | 0.5% 2 |
| Leading Edge Flap or Cockpit Control Selection | Full Range or Each Discrete Position | ±3° or as Pilot's Indicator | 0.5 | 0.5% 2 |
| Thrust Reverser Position | Stowed, In Transit, and Reverse (Discrete) | 1 (per 4 seconds per engine) | ||
| Ground Spoiler Position/Speed Brake Selection | Full Range or Each Discrete Position | ±2% Unless Higher Accuracy Uniquely Required | 1 | 0.2% 2. |
| Marker Beacon Passage | Discrete | 1 | ||
| Autopilot Engagement | Discrete | 1 | ||
| Longitudinal Acceleration | ±1g | ±1.5% max range excluding datum error of ±5% | 4 | 0.01g. |
| Pilot Input and/or Surface Position—Primary Controls (Pitch, Roll, Yaw) 3 | Full Range | ±2° Unless Higher Accuracy Uniquely Required | 1 | 0.2% 2. |
| Lateral Acceleration | ±1g | ±1.5% max range excluding datum error of ±5% | 4 | 0.01g. |
| Pitch Trim Position | Full Range | ±3% Unless Higher Accuracy Uniquely Required | 1 | 0.3% 2. |
| Glideslope Deviation | ±400 Microamps | ±3% | 1 | 0.3% 2. |
| Localizer Deviation | ±400 Microamps | ±3% | 1 | 0.3% 2. |
| AFCS Mode and Engagement Status | Discrete | 1 | ||
| Radio Altitude | −20 ft to 2,500 ft | ±2 Ft or ±3% Whichever is Greater Below 500 Ft and ±5% Above 500 Ft | 1 | 1 ft + 5% 2 above 500′. |
| Master Warning | Discrete | 1 | ||
| Main Gear Squat Switch Status | Discrete | 1 | ||
| Angle of Attack (if recorded directly). | As installed | As installed | 2 | 0.3% 2 |
| Outside Air Temperature or Total Air Temperature. | −50 °C to + 90 °C | ±2 °c | 0.5 | 0.3 °c |
| Hydraulics, Each System Low Pressure | Discrete | 0.5 | or 0.5% 2 | |
| Groundspeed. | As installed | Most Accurate Systems Installed (IMS Equipped Aircraft Only) | 1 | 0.2% 2 |
| If additional recording capacity is available, recording of the following parameters is recommended. The parameters are listed in order of significance: | ||||
| Drift Angle | When available, As installed | As installed | 4 | |
| Wind Speed and Direction | When available, As installed | As installed | 4 | |
| Latitude and Longitude | When available, As installed | As installed | 4 | |
| Brake pressure/Brake pedal position | As installed | As installed | 1 | |
| Additional engine parameters: | ||||
| EPR | As installed | As installed | 1 (per engine). | |
| N1 | As installed | As installed | 1 (per engine). | |
| N2 | As installed | As installed | 1 (per engine). | |
| EGT | As installed | As installed | 1 (per engine). | |
| Throttle Lever Position | As installed | As installed | 1 (per engine). | |
| Fuel Flow | As installed | As installed | 1 (per engine). | |
| TCAS: | ||||
| TA | As installed | As installed | 1 | |
| RA | As installed | As installed | 1 | |
| Sensitivity level (as selected by crew) | As installed | As installed | 2 | |
| GPWS (ground proximity warning system) | Discrete | 1 | ||
| Landing gear or gear selector position | Discrete | 0.25 (1 per 4 seconds) | ||
| DME 1 and 2 Distance | 0-200 NM; | As installed | 0.25 | 1 mi. |
| Nav 1 and 2 Frequency Selection | Full range | As installed | 0.25 | |
1 When altitude rate is recorded. Altitude rate must have sufficient resolution and sampling to permit the derivation of altitude to 5 feet.
2 Per cent of full range.
3 For airplanes that can demonstrate the capability of deriving either the control input on control movement (one from the other) for all modes of operation and flight regimes, the “or” applies. For airplanes with non-mechanical control systems (fly-by-wire) the “and” applies. In airplanes with split surfaces, suitable combination of inputs is acceptable in lieu of recording each surface separately.
4 This column applies to aircraft manufactured after October 11, 1991.
1. Required engines. (a) Except as provided in paragraph (b) of this section, the engines specified in subparagraphs (1) or (2) of this section must be installed in C-46 nontransport category airplanes operated at gross weights exceeding 45,000 pounds:
(1) Pratt and Whitney R2800-51-M1 or R2800-75-M1 engines (engines converted from basic model R2800-51 or R2800-75 engines in accordance with FAA approved data) that—
(i) Conform to Engine Specification 5E-8;
(ii) Conform to the applicable portions of the operator's manual;
(iii) Comply with all the applicable airworthiness directives; and
(iv) Are equipped with high capacity oil pump drive gears in accordance with FAA approved data.
(2) Other engines found acceptable by the Flight Standards office having type certification responsibility for the C-46 airplane.
(b) Upon application by an operator conducting cargo operations with nontransport category C-46 airplanes between points within the State of Alaska, the responsible Flight Standards office may authorize the operation of such airplanes, between points within the State of Alaska; without compliance with paragraph (a) of this section if the operator shows that, in its area of operation, installation of the modified engines is not necessary to provide adequate cooling for single-engine operations. Such authorization and any conditions or limitations therefor is made a part of the Operations Specifications of the operator.
2. Minimum acceptable means of complying with the special airworthiness requirements. Unless otherwise authorized under § 121.213, the data set forth in sections 3 through 34 of this appendix, as correlated to the C-46 nontransport category airplane, is the minimum means of compliance with the special airworthiness requirements of §§ 121.215 through 121.281.
3. Susceptibility of material to fire. [Deleted as unnecessary]
4. Cabin interiors. C-46 crew compartments must meet all the requirements of § 121.215, and, as required in § 121.221, the door between the crew compartment and main cabin (cargo) compartment must be flame resistant.
5. Internal doors. Internal doors, including the crew to main cabin door, must meet all the requirements of § 121.217.
6. Ventilation. Standard C-46 crew compartments meet the ventilation requirements of § 121.219 if a means of ventilation for controlling the flow of air is available between the crew compartment and main cabin. The ventilation requirement may be met by use of a door between the crew compartment and main cabin. The door need not have louvers installed; however, if louvers are installed, they must be controllable.
7. Fire precautions. Compliance is required with all the provisions of § 121.221.
(a) In establishing compliance with this section, the C-46 main cabin is considered as a Class A compartment if—
(1) The operator utilizes a standard system of cargo loading and tiedown that allows easy access in flight to all cargo in such compartment, and, such system is included in the appropriate portion of the operator's manual; and
(2) A cargo barrier is installed in the forward end of the main cabin cargo compartment. The barrier must—
(i) Establish the most forward location beyond which cargo cannot be carried;
(ii) Protect the components and systems of the airplane that are essential to its safe operation from cargo damage; and
(iii) Permit easy access, in flight, to cargo in the main cabin cargo compartment.
(b) C-46 forward and aft baggage compartments must meet, as a minimum, Class B requirements of this section or be placarded in a manner to preclude their use as cargo or baggage compartments.
8. Proof of compliance. The demonstration of compliance required by § 121.223 is not required for C-46 airplanes in which—
(1) The main cabin conforms to Class A cargo compartment requirements of § 121.219; and
(2) Forward and aft baggage compartments conform to Class B requirements of § 121.221, or are placarded to preclude their use as cargo or baggage compartments.
9. Propeller deicing fluid. No change from the requirements of § 121.225. Isopropyl alcohol is a combustible fluid within the meaning of this section.
10. Pressure cross-feed arrangements, location of fuel tanks, and fuel system lines and fittings. C-46 fuel systems which conform to all applicable Curtiss design specifications and which comply with the FAA type certification requirements are in compliance with the provisions of §§ 121.227 through 121.231.
11. Fuel lines and fittings in designated fire zones. No change from the requirements of § 121.233.
12. Fuel valves. Compliance is required with all the provisions of § 121.235. Compliance can be established by showing that the fuel system conforms to all the applicable Curtiss design specifications, the FAA type certification requirements, and, in addition, has explosion-proof fuel booster pump electrical selector switches installed in lieu of the open contact type used originally.
13. Oil lines and fittings in designated fire zones. No change from the requirements of § 121.237.
14. Oil valves. C-46 oil shutoff valves must conform to the requirements of § 121.239. In addition, C-46 airplanes using Hamilton Standard propellers must provide, by use of stand pipes in the engine oil tanks or other approved means, a positive source of oil for feathering each propeller.
15. Oil system drains. The standard C-46 “Y” drains installed in the main oil inlet line for each engine meet the requirements of § 121.241.
16. Engine breather line. The standard C-46 engine breather line installation meets the requirements of § 121.243 if the lower breather lines actually extend to the trailing edge of the oil cooler air exit duct.
17. Firewalls and firewall construction. Compliance is required with all of the provisions of §§ 121.245 and 121.247. The following requirements must be met in showing compliance with these sections:
(a) Engine compartment. The engine firewalls of the C-46 airplane must—
(1) Conform to type design, and all applicable airworthiness directives;
(2) Be constructed of stainless steel or approved equivalent; and
(3) Have fireproof shields over the fairleads used for the engine control cables that pass through each firewall.
(b) Combustion heater compartment. C-46 airplanes must have a combustion heater fire extinguishing system which complies with AD-49-18-1 or an FAA approved equivalent.
18. Cowling. Standard C-46 engine cowling (cowling of aluminum construction employing stainless steel exhaust shrouds) which conforms to the type design and cowling configurations which conform to the C-46 transport category requirements meet the requirements of § 121.249.
19. Engine accessory section diaphragm. C-46 engine nacelles which conform to the C-46 transport category requirements meet the requirements of § 121.251. As provided for in that section, a means of equivalent protection which does not require provision of a diaphragm to isolate the engine power section and exhaust system from the engine accessory compartment is the designation of the entire engine compartment forward of and including the firewall as a designated fire zone, and the installation of adequate fire detection and fire extinguishing systems which meet the requirements of § 121.263 and § 121.273, respectively, in such zone.
20. Powerplant fire protection. C-46 engine compartments and combustion heater compartments are considered as designated fire zones within the meaning of § 121.253.
21. Flammable fluids—
(a) Engine compartment. C-46 engine compartments which conform to the type design and which comply with all applicable airworthiness directives meet the requirements of § 121.255.
(b) Combustion heater compartment. C-46 combustion heater compartments which conform to type design and which meet all the requirements of AD-49-18-1 or an FAA approved equivalent meet the requirements of § 121.255.
22. Shutoff means—
(a) Engine compartment. C-46 engine compartments which comply with AD-62-10-2 or FAA approved equivalent meet the requirements of § 121.257 applicable to engine compartments, if, in addition, a means satisfactory to the Administrator is provided to shut off the flow of hydraulic fluid to the cowl flap cylinder in each engine nacelle. The shutoff means must be located aft of the engine firewall. The operator's manual must include, in the emergency portion, adequate instructions for proper operation of the additional shutoff means to assure correct sequential positioning of engine cowl flaps under emergency conditions. In accordance with § 121.315, this positioning must also be incorporated in the emergency section of the pilot's checklist.
(b) Combustion heater compartment. C-46 heater compartments which comply with paragraph (5) of AD-49-18-1 or FAA approved equivalent meet the requirements of § 121.257 applicable to heater compartments if, in addition, a shutoff valve located above the main cabin floor level is installed in the alcohol supply line or lines between the alcohol supply tank and those alcohol pumps located under the main cabin floor. If all of the alcohol pumps are located above the main cabin floor, the alcohol shutoff valve need not be installed. In complying with paragraph (5) of AD-49-18-1, a fail-safe electric fuel shutoff valve may be used in lieu of the manually operated valve.
23. Lines and fittings—(a) Engine compartment. C-46 engine compartments which comply with all applicable airworthiness directives, including AD-62-10-2, by using FAA approved fire-resistant lines, hoses, and end fittings, and engine compartments which meet the C-46 transport category requirements, meet the requirements of § 121.259.
(b) Combustion heater compartments All lines, hoses, and end fittings, and couplings which carry fuel to the heaters and heater controls, must be of FAA approved fire-resistant construction.
24. Vent and drain lines—(a) Enginecompartment. C-46 engine compartments meet the requirements of § 121.261 if—
(1) The compartments conform to type design and comply with all applicable airworthiness directives or FAA approved equivalent; and
(2) Drain lines from supercharger case, engine-driven fuel pump, and engine-driven hydraulic pump reach into the scupper drain located in the lower cowling segment.
(b) Combustion heater compartment. C-46 heater compartments meet the requirements of § 121.261 if they conform to AD-49-18-1 or FAA approved equivalent.
25. Fire-extinguishing system. (a) To meet the requirements of § 121.263, C-46 airplanes must have installed fire extinguishing systems to serve all designated fire zones. The fire-extinguishing systems, the quantity of extinguishing agent, and the rate of discharge shall be such as to provide a minimum of one adequate discharge for each designated fire zone. Compliance with this provision requires the installation of a separate fire extinguisher for each engine compartment. Insofar as the engine compartment is concerned, the system shall be capable of protecting the entire compartment against the various types of fires likely to occur in the compartment.
(b) Fire-extinguishing systems which conform to the C-46 transport category requirements meet the requirements set forth in paragraph (a). Furthermore, fire-extinguishing systems for combustion heater compartments which conform to the requirements of AD-49-18-1 or an FAA approved equivalent also meet the requirements in paragraph (a).
In addition, a fire-extinguishing system for C-46 airplanes meets the adequacy requirement of paragraph (a) if it provides the same or equivalent protection to that demonstrated by the CAA in tests conducted in 1941 and 1942, using a CW-20 type engine nacelle (without diaphragm). These tests were conducted at the Bureau of Standards facilities in Washington, DC, and copies of the test reports are available through the FAA Regional Engineering Offices. In this connection, the flow rates and distribution of extinguishing agent substantiated in American Airmotive Report No. 128-52-d, FAA approved February 9, 1953, provides protection equivalent to that demonstrated by the CAA in the CW-20 tests. In evaluating any C-46 fire-extinguishing system with respect to the aforementioned CW-20 tests, the Administration would require data in a narrative form, utilizing drawings or photographs to show at least the following:
Installation of containers; installation and routing of plumbing; type, number, and location of outlets or nozzles; type, total volume, and distribution of extinguishing agent; length of time required for discharging; means for thermal relief, including type and location of discharge indicators; means of discharging, e.g., mechanical cutterheads, electric cartridge, or other method; and whether a one- or two-shot system is used; and if the latter is used, means of cross-feeding or otherwise selecting distribution of extinguishing agent; and types of materials used in makeup of plumbing.
High rate discharge (HRD) systems using agents such as bromotrifluoromethane, dibrodifluoromethane and chlorobromomethane (CB), may also meet the requirements of paragraph (a).
26. Fire-extinguishing agents, Extinguishing agent container pressure relief, Extinguishing agent container compartment temperatures, and Fire-extinguishing system materials. No change from the requirements of §§ 121.265 through 121.271.
27. Fire-detector system. Compliance with the requirements of § 121.273 requires that C-46 fire detector systems conform to:
(a) AD-62-10-2 or FAA approved equivalent for engine compartments; and
(b) AD-49-18-1 or FAA approved equivalent for combustion heater compartments
28. Fire detectors. No change from the requirements of § 121.275.
29. Protection of other airplane components against fire. To meet the requirements of § 121.277, C-46 airplanes must—
(a) Conform to the type design and all applicable airworthiness directives; and
(b) Be modified or have operational procedures established to provide additional fire protection for the wheel well door aft of each engine compartment. Modifications may consist of improvements in sealing of the main landing gear wheel well doors. An operational procedure which is acceptable to the Agency is one requiring the landing gear control to be placed in the up position in case of in-flight engine fire. In accordance with § 121.315, such procedure must be set forth in the emergency portion of the operator's emergency checklist pertaining to in-flight engine fire.
30. Control of engine rotation. C-46 propeller feathering systems which conform to the type design and all applicable airworthiness directives meet the requirements of § 121.279.
31. Fuel system independence. C-46 fuel systems which conform to the type design and all applicable airworthiness directives meet the requirements of § 121.281.
32. Induction system ice prevention. The C-46 carburetor anti-icing system which conforms to the type design and all applicable airworthiness directives meets the requirements of § 121.283.
33. Carriage of cargo in passenger compartments. Section 121.285 is not applicable to nontransport category C-46 cargo airplanes.
34. Carriage of cargo in cargo compartments. A standard cargo loading and tiedown arrangement set forth in the operator's manual and found acceptable to the Administrator must be used in complying with § 121.287.
35. Performance data. Performance data on Curtiss model C-46 airplane certificated for maximum weight of 45,000 and 48,000 pounds for cargo-only operations.
1. The following performance limitation data, applicable to the Curtiss model C-46 airplane for cargo-only operation, must be used in determining compliance with §§ 121.199 through 121.205. These data are presented in the tables and figures of this appendix.
(a) Curtiss C-46 certificated for maximum weight of 45,000 pounds.
(1) Effective length of runway required when effective length is determined in accordance with § 121.171 (distance to accelerate to 93 knots TIAS and stop, with zero wind and zero gradient). (Factor = 1.00)
[Distance in feet]
| Standard altitude in feet | Airplane weight in pounds | ||
|---|---|---|---|
| 39,000 | 42,000 | 45,000 1 | |
| S.L | 4,110 | 4,290 | 4,570 |
| 1,000 | 4,250 | 4,440 | 4,720 |
| 2,000 | 4,400 | 4,600 | 4,880 |
| 3,000 | 4,650 | 4,880 | 5,190 |
| 4,000 | 4,910 | 5,170 | 5,500 |
| 5,000 | 5,160 | 5,450 | 5,810 |
| 6,000 | 5,420 | 5,730 | 6,120 |
| 7,000 | 5,680 | 6,000 | 6,440 |
| 8,000 | 5,940 | 6,280 | ( 1) |
1 Ref. Fig. 1(a)(1) for weight and distance for altitudes above 7,000′.
(2) Actual length of runway required when effective length, considering obstacles, is not determined (distance to accelerate to 93 knots TIAS and stop, divided by the factor 0.85).
[Distance in feet]
| Standard altitude in feet | Airplane weight in pounds | ||
|---|---|---|---|
| 39,000 | 42,000 | 45,000 1 | |
| S.L | 4,830 | 5,050 | 5,370 |
| 1,000 | 5,000 | 5,230 | 5,550 |
| 2,000 | 5,170 | 5,410 | 5,740 |
| 3,000 | 5,470 | 5,740 | 6,100 |
| 4,000 | 5,770 | 6,080 | 6,470 |
| 5,000 | 6,070 | 6,410 | 6,830 |
| 6,000 | 6,380 | 6,740 | 7,200 |
| 7,000 | 6,680 | 7,070 | 7,570 |
| 8,000 | 6,990 | 7,410 | ( 1) |
1 Ref. Fig. 1(a)(2) for weight and distance for altitudes above 7,000′.
(b) Curtiss C-46 certificated for maximum weight 48,000 pounds.
(1) Effective length of runway required when effective length is determined in accordance with § 121.171 (distance to accelerate to 93 knots TIAS and stop, with zero wind and zero gradient). (Factor = 1.00)
[Distance in feet]
| Standard altitude in feet | Airplane weight in pounds | |||
|---|---|---|---|---|
| 39,000 | 42,000 | 45,000 | 48,000 1 | |
| S.L | 4,110 | 4,290 | 4,570 | 4,950 |
| 1,000 | 4,250 | 4,440 | 4,720 | 5,130 |
| 2,000 | 4,400 | 4,600 | 4,880 | 5,300 |
| 3,000 | 4,650 | 4,880 | 5,190 | 5,670 |
| 4,000 | 4,910 | 5,170 | 5,500 | 6,050 |
| 5,000 | 5,160 | 5,450 | 5,810 | 6,420 |
| 6,000 | 5,420 | 5,730 | 6,120 | 6,800 |
| 7,000 | 5,680 | 6,000 | 6,440 | ( 1) |
| 8,000 | 5,940 | 6,280 | 6,750 | ( 1) |
1 Ref. Fig. 1(b)(1) for weight and distance for altitudes above 6,000′.
(2) Actual length of runway required when effective length, considering obstacles, is not determined (distance to accelerate to 93 knots TIAS and stop, divided by the factor 0.85).
[Distance in feet]
| Standard altitude in feet | Airplane weight in pounds | |||
|---|---|---|---|---|
| 39,000 | 42,000 | 45,000 | 48,000 1 | |
| S.L | 4,830 | 5,050 | 5,370 | 5,830 |
| 1,000 | 5,000 | 5,230 | 5,550 | 6,030 |
| 2,000 | 5,170 | 5,410 | 5,740 | 6,230 |
| 3,000 | 5,470 | 5,740 | 6,100 | 6,670 |
| 4,000 | 5,770 | 6,080 | 6,470 | 7,120 |
| 5,000 | 6,070 | 6,410 | 6,830 | 7,560 |
| 6,000 | 6,380 | 6,740 | 7,200 | 8,010 |
| 7,000 | 6,680 | 7,070 | 7,570 | ( 1) |
| 8,000 | 6,990 | 7,410 | 7,940 | ( 1) |
1 Ref. Fig. 1(b)(2) for weight and distance for altitudes above 6,000′.
(a) Curtiss model C-46 certificated for maximum weight of 45,000 pounds (based on a climb speed of 113 knots (TIAS)).
| Weight (pounds) | Terrain clearance (feet) 1 | Blower setting |
|---|---|---|
| 45,000 | 6,450 | Low. |
| 44,000 | 7,000 | Do. |
| 43,000 | 7,500 | Do. |
| 42,200 | 8,000 | High. |
| 41,000 | 9,600 | Do. |
| 40,000 | 11,000 | Do. |
| 39,000 | 12,300 | Do. |
1 Highest altitude of terrain over which airplanes may be operated in compliance with § 121.201.
Ref. Fig. 2(a).
(b) Curtiss model C-46 certificated for maximum weight of 48,000 pounds or with engine installation approved for 2,550 revolutions per minute (1,700 brake horsepower). Maximum continuous power in low blower (based on a climb speed of 113 knots (TIAS)).
| Weight (pounds) | Terrain clearance (feet) 1 | Blower setting |
|---|---|---|
| 48,000 | 5,850 | Low. |
| 47,000 | 6,300 | Do. |
| 46,000 | 6,700 | Do. |
| 45,000 | 7,200 | Do. |
| 44,500 | 7,450 | Do. |
| 44,250 | 8,000 | High. |
| 44,000 | 8,550 | Do. |
| 43,000 | 10,800 | Do. |
| 42,000 | 12,500 | Do. |
| 41,000 | 13,000 | Do. |
1 Highest altitude of terrain over which airplanes may be operated in compliance with § 121.201.
Ref. Fig. 2(b).
(a) Intended Destination.
Effective length of runway required for intended destination when effective length is determined in accordance with § 121.171 with zero wind and zero gradient.
(1) Curtiss model C-46 certificated for maximum weight of 45,000 pounds. (0.60 factor)
Distance in feet
| Standard altitude in feet | Airplane weight in pounds and approach speeds 1 in knots | |||||||
|---|---|---|---|---|---|---|---|---|
| 40,000 | 42,000 | 44,000 | 45,000 | |||||
| S.L | 4,320 | 86 | 4,500 | 88 | 4,700 | 90 | 4,800 | 91 |
| 1,000 | 4,440 | 86 | 4,620 | 88 | 4,830 | 90 | 4,930 | 91 |
| 2,000 | 4,550 | 86 | 4,750 | 88 | 4,960 | 90 | 5,050 | 91 |
| 3,000 | 4,670 | 86 | 4,880 | 88 | 5,090 | 90 | 5,190 | 91 |
| 4,000 | 4,800 | 86 | 5,000 | 88 | 5,220 | 90 | 5,320 | 91 |
| 5,000 | 4,920 | 86 | 5,140 | 88 | 5,360 | 90 | 5,460 | 91 |
| 6,000 | 5,040 | 86 | 5,270 | 88 | 5,550 | 90 | 5,600 | 91 |
| 7,000 | 5,170 | 86 | 5,410 | 88 | 5,650 | 90 | 5,750 | 91 |
| 8,000 | 5,310 | 86 | 5,550 | 88 | 5,800 | 90 | 5,900 | 91 |
1 Steady approach speed through 50-foot height TIAS denoted by symbol
Ref. Fig. 3(a)(1).
(2) Curtiss model C-46 certificated for maximum weight of 48,000 pounds.
Distance in feet
| Standard altitude in feet | Airplane weight in pounds and approach speeds 2 in knots | |||||||
|---|---|---|---|---|---|---|---|---|
| 42,000 | 44,000 | 46,000 | 43,000 | |||||
| S.L | 3,370 | 80 | 3,490 | 82 | 3,620 | 84 | 3,740 | 86 |
| 1,000 | 3,460 | 80 | 3,580 | 82 | 3,710 | 84 | 3,830 | 86 |
| 2,000 | 3,540 | 80 | 3,670 | 82 | 3,800 | 84 | 3,920 | 86 |
| 3,000 | 3,630 | 80 | 3,760 | 82 | 3,890 | 84 | 4,020 | 86 |
| 4,000 | 3,720 | 80 | 3,850 | 82 | 3,980 | 84 | 4,110 | 86 |
| 5,000 | 3,800 | 80 | 3,940 | 82 | 4,080 | 84 | 4,220 | 86 |
| 6,000 | 3,890 | 80 | 4,040 | 82 | 4,180 | 84 | 4,320 | 86 |
| 7,000 | 3,980 | 80 | 4,140 | 82 | 4,280 | 84 | 4,440 | 86 |
| 8,000 | 4,080 | 80 | 4,240 | 82 | 4,390 | 84 | 4,550 | 86 |
1 For use with Curtiss model C-46 airplanes when approved for this weight.
2 Steady approach speed through 50 height knots TIAS denoted by symbol
Ref. Fig. 3(a)(2).
(b) Alternate Airports.
Effective length of runway required when effective length is determined in accordance with § 121.171 with zero wind and zero gradient.
(1) Curtiss model C-46 certificated for maximum weight of 45,000 pounds. (0.70 factor.)
Distance in feet
| Standard altitude in feet | Airplane weight in pounds and approach speeds 1 in knots | |||||||
|---|---|---|---|---|---|---|---|---|
| 40,000 | 42,000 | 44,000 | 45,000 | |||||
| S.L | 3,700 | 86 | 3,860 | 88 | 4,030 | 90 | 4,110 | 91 |
| 1,000 | 3,800 | 86 | 3,960 | 88 | 4,140 | 90 | 4,220 | 91 |
| 2,000 | 3,900 | 86 | 4,070 | 88 | 4,250 | 90 | 4,340 | 91 |
| 3,000 | 4,000 | 86 | 4,180 | 88 | 4,360 | 90 | 4,450 | 91 |
| 4,000 | 4,110 | 86 | 4,290 | 88 | 4,470 | 90 | 4,560 | 91 |
| 5,000 | 4,210 | 86 | 4,400 | 88 | 4,590 | 90 | 4,680 | 91 |
| 6,000 | 4,330 | 86 | 4,510 | 88 | 4,710 | 90 | 4,800 | 91 |
| 7,000 | 4,430 | 86 | 4,630 | 88 | 4,840 | 90 | 4,930 | 91 |
| 8,000 | 4,550 | 86 | 4,750 | 88 | 4,970 | 90 | 5,060 | 91 |
1 Steady approach speed through 50 foot-height-knots TIAS denoted by symbol
Ref. Fig. 3(b)(1).
(2) Curtiss model C-46 certificated for maximum weight of 48,000 pounds.
Distance in feet
| Standard altitude in feet | Airplane weight in pounds and approach speeds 2 in knots | |||||||
|---|---|---|---|---|---|---|---|---|
| 42,000 | 44,000 | 46,000 | 48,000 | |||||
| S.L | 2,890 | 80 | 3,000 | 82 | 3,110 | 84 | 3,220 | 86 |
| 1,000 | 2,960 | 80 | 3,070 | 82 | 3,180 | 84 | 3,280 | 86 |
| 2,000 | 3,040 | 80 | 3,150 | 82 | 3,260 | 84 | 3,360 | 86 |
| 3,000 | 3,110 | 80 | 3,220 | 82 | 3,340 | 84 | 3,440 | 86 |
| 4,000 | 3,180 | 80 | 3,300 | 82 | 3,410 | 84 | 3,520 | 86 |
| 5,000 | 3,260 | 80 | 3,380 | 82 | 3,500 | 84 | 3,610 | 86 |
| 6,000 | 3,330 | 80 | 3,460 | 82 | 3,580 | 84 | 3,700 | 86 |
| 7,000 | 3,420 | 80 | 3,540 | 82 | 3,670 | 84 | 3,800 | 86 |
| 8,000 | 3,500 | 80 | 3,630 | 82 | 3,760 | 84 | 3,900 | 86 |
1 For use with Curtiss model C-46 airplanes when approved for this weight.
2 Steady approach speed through 50 foot-height-knots TIAS denoted by symbol
Ref. Fig. 3(b)(2).
(c) Actual length of runway required when effective length, considering obstacles, is not determined in accordance with § 121.171.
(1) Curtiss model C-46 certificated for maximum weight of 45,000 pounds. (0.55 factor.)
Distance in feet
| Standard altitude in feet | Airplane weight in pounds and approach speeds 1 in knots | |||||||
|---|---|---|---|---|---|---|---|---|
| 40,000 | 42,000 | 44,000 | 45,000 | |||||
| S.L | 4,710 | 86 | 4,910 | 88 | 5,130 | 90 | 5,230 | 91 |
| 1,000 | 4,840 | 86 | 5,050 | 88 | 5,270 | 90 | 5,370 | 91 |
| 2,000 | 4,960 | 86 | 5,180 | 88 | 5,410 | 90 | 5,510 | 91 |
| 3,000 | 5,090 | 86 | 5,320 | 88 | 5,550 | 90 | 5,660 | 91 |
| 4,000 | 5,230 | 86 | 5,460 | 88 | 5,700 | 90 | 5,810 | 91 |
| 5,000 | 5,360 | 86 | 5,600 | 88 | 5,850 | 90 | 5,960 | 91 |
| 6,000 | 5,500 | 86 | 5,740 | 88 | 6,000 | 90 | 6,110 | 91 |
| 7,000 | 5,640 | 86 | 5,900 | 88 | 6,170 | 90 | 6,280 | 91 |
| 8,000 | 5,790 | 86 | 6,050 | 88 | 6,340 | 90 | 6,450 | 91 |
1 Steady approach speed through 50 foot-height-knots TIAS denoted by symbol
Ref. Fig. 3(c)(1).
(2) Curtiss C-46 certificated for maximum weight of 48,000 pounds.
Distance in feet
| Standard altitude in feet | Airplane weight in pounds and approach speeds 2 in knots | |||||||
|---|---|---|---|---|---|---|---|---|
| 42,000 | 44,000 | 46,000 | 48,000 | |||||
| S.L | 3,680 | 80 | 3,820 | 82 | 3,960 | 84 | 4,090 | 86 |
| 1,000 | 3,770 | 80 | 3,910 | 82 | 4,050 | 84 | 4,180 | 86 |
| 2,000 | 3,860 | 80 | 4,000 | 82 | 4,140 | 84 | 4,280 | 86 |
| 3,000 | 3,960 | 80 | 4,090 | 82 | 4,240 | 84 | 4,380 | 86 |
| 4,000 | 4,050 | 80 | 4,190 | 82 | 4,340 | 84 | 4,490 | 86 |
| 5,000 | 4,150 | 80 | 4,290 | 82 | 4,450 | 84 | 4,600 | 86 |
| 6,000 | 4,240 | 80 | 4,400 | 82 | 4,560 | 84 | 4,710 | 86 |
| 7,000 | 4,350 | 80 | 4,510 | 82 | 4,670 | 84 | 4,840 | 86 |
| 8,000 | 4,450 | 80 | 4,620 | 82 | 4,790 | 84 | 4,960 | 86 |
1 For use with Curtiss model C-46 airplanes when approved for this weight.
2 Steady approach speed through 50 foot-height-knots TIAS denoted by symbol
Ref. Fig. 3(c)(2).
(a) Aborted takeoff demonstration. (1) The demonstration must be conducted either during the dark of the night or during daylight with the dark of the night simulated. If the demonstration is conducted indoors during daylight hours, it must be conducted with each window covered and each door closed to minimize the daylight effect. Illumination on the floor or ground may be used, but it must be kept low and shielded against shining into the airplane's windows or doors.
(2) The airplane must be a normal ground attitude with landing gear extended.
(3) Unless the airplane is equipped with an off-wing descent means, stands or ramps may be used for descent from the wing to the ground. Safety equipment such as mats or inverted life rafts may be placed on the floor or ground to protect participants. No other equipment that is not part of the emergency evacuation equipment of the airplane may be used to aid the participants in reaching the ground.
(4) The airplane's normal electrical power sources must be deenergized.
(5) All emergency equipment for the type of passenger-carrying operation involved must be installed in accordance with the certificate holder's manual.
(6) Each external door and exit, and each internal door or curtain must be in position to simulate a normal takeoff.
(7) A representative passenger load of persons in normal health must be used. At least 40 percent of the passenger load must be females. At least 35 percent of the passenger load must be over 50 years of age. At least 15 percent of the passenger load must be female and over 50 year of age. Three life-size dolls, not included as part of the total passenger load, must be carried by passengers to simulate live infants 2 years old or younger. Crewmembers, mechanics, and training personnel, who maintain or operate the airplane in the normal course of their duties, may not be used as passengers.
(8) No passenger may be assigned a specific seat except as the Administrator may require. Except as required by item (12) of this paragraph, no employee of the certificate holder may be seated next to an emergency exit.
(9) Seat belts and shoulder harnesses (as required) must be fastened.
(10) Before the start of the demonstration, approximately one-half of the total average amount of carry-on baggage, blankets, pillows, and other similar articles must be distributed at several locations in the aisles and emergency exit access ways to create minor obstructions.
(11) The seating density and arrangement of the airplane must be representative of the highest capacity passenger version of that airplane the certificate holder operates or proposes to operate.
(12) Each crewmember must be a member of a regularly scheduled line crew, except that flight crewmembers need not be members of a regularly scheduled line crew, provided they have knowledge of the airplane. Each crewmember must be seated in the seat the crewmember is normally assigned for takeoff, and must remain in that seat until the signal for commencement of the demonstration is received.
(13) No crewmember or passenger may be given prior knowledge of the emergency exits available for the demonstration.
(14) The certificate holder may not practice, rehearse, or describe the demonstration for the participants nor may any participant have taken part in this type of demonstration within the preceding 6 months.
(15) The pretakeoff passenger briefing required by § 121.571 may be given in accordance with the certificate holder's manual. The passengers may also be warned to follow directions of crewmembers, but may not be instructed on the procedures to be followed in the demonstration.
(16) If safety equipment as allowed by item (3) of this section is provided, either all passenger and cockpit windows must be blacked out or all of the emergency exits must have safety equipment in order to prevent disclosure of the available emergency exits.
(17) Not more than 50 percent of the emergency exits in the sides of the fuselage of an airplane that meet all of the requirements applicable to the required emergency exits for that airplane may be used for the demonstration. Exits that are not to be used in the demonstration must have the exit handle deactivated or must be indicated by red lights, red tape, or other acceptable means, placed outside the exits to indicate fire or other reason that they are unusable. The exits to be used must be representative of all of the emergency exits on the airplane and must be designated by the certificate holder, subject to approval by the Administrator. At least one floor level exit must be used.
(18) Except as provided in paragraph (a)(3) of this appendix, all evacuees must leave the airplane by a means provided as part of the airplane's equipment.
(19) The certificate holder's approved procedures and all of the emergency equipment that is normally available, including slides, ropes, lights, and megaphones, must be fully utilized during the demonstration, except that the flightcrew must take no active role in assisting others inside the cabin during the demonstration.
(20) The evacuation time period is completed when the last occupant has evacuated the airplane and is on the ground. Evacuees using stands or ramps allowed by item (3) above are considered to be on the ground when they are on the stand or ramp: Provided, That the acceptance rate of the stand or ramp is no greater than the acceptance rate of the means available on the airplane for descent from the wing during an actual crash situation.
(b) Ditching demonstration. The demonstration must assume that daylight hours exist outside the airplane, and that all required crewmembers are available for the demonstration.
(1) If the certificate holder's manual requires the use of passengers to assist in the launching of liferafts, the needed passengers must be aboard the airplane and participate in the demonstration according to the manual.
(2) A stand must be placed at each emergency exit and wing, with the top of the platform at a height simulating the water level of the airplane following a ditching.
(3) After the ditching signal has been received, each evacuee must don a life vest according to the certificate holder's manual.
(4) Each liferaft must be launched and inflated, according to the certificate holder's manual, and all other required emergency equipment must be placed in rafts.
(5) Each evacuee must enter a liferaft, and the crewmembers assigned to each liferaft must indicate the location of emergency equipment aboard the raft and describe its use.
(6) Either the airplane, a mockup of the airplane or a floating device simulating a passenger compartment must be used.
(i) If a mockup of the airplane is used, it must be a life-size mockup of the interior and representative of the airplane currently used by or proposed to be used by the certificate holder, and must contain adequate seats for use of the evacuees. Operation of the emergency exits and the doors must closely simulate those on the airplane. Sufficient wing area must be installed outside the over-the-wing exits to demonstrate the evacuation.
(ii) If a floating device simulating a passenger compartment is used, it must be representative, to the extent possible, of the passenger compartment of the airplane used in operations. Operation of the emergency exits and the doors must closely simulate operation on that airplane. Sufficient wing area must be installed outside the over-the-wing exits to demonstrate the evacuation. The device must be equipped with the same survival equipment as is installed on the airplane, to accommodate all persons participating in the demonstration.
(a) The maneuvers and procedures required by § 121.424 for pilot initial, transition, and conversion flight training are set forth in the certificate holder's approved low-altitude windshear flight training program, § 121.423 extended envelope training, and in this appendix. The maneuvers and procedures required for upgrade training in accordance with § 121.424 are set forth in this appendix and in the certificate holder's approved low-altitude windshear flight training program and § 121.423 extended envelope training. For the maneuvers and procedures required for upgrade training in accordance with § 121.426, this appendix designates the airplane or FSTD, as appropriate, that may be used.
(b) All required maneuvers and procedures must be performed inflight except that windshear and extended envelope training maneuvers and procedures must be performed in a full flight simulator (FFS) in which the maneuvers and procedures are specifically authorized to be accomplished. Certain other maneuvers and procedures may be performed in an FFS, an FTD, or a static airplane as indicated by the appropriate symbol in the respective column opposite the maneuver or procedure.
(c) Whenever a maneuver or procedure is authorized to be performed in an FTD, it may be performed in an FFS, and in some cases, a static airplane. Whenever the requirement may be performed in either an FTD or a static airplane, the appropriate symbols are entered in the respective columns.
(d) A Level B or higher FFS may be used instead of the airplane to satisfy the inflight requirements if the FFS is approved under § 121.407 and is used as part of an approved program that meets the requirements for an Advanced Simulation Training Program in Appendix H of this part.
(e) For the purpose of this appendix, the following symbols mean—
| Maneuvers/procedures | Inflight | Static
airplane | FFS | FTD |
|---|---|---|---|---|
| As appropriate to the airplane and the operation involved, flight training for pilots must include the following maneuvers and procedures | ||||
| I. Preflight: | ||||
| (a) Visual inspection of the exterior and interior of the airplane, the location of each item to be inspected, and the purpose for inspecting it. The visual inspection may be conducted using an approved pictorial means that realistically portrays the location and detail of visual inspection items and provides for the portrayal of normal and abnormal conditions | I, T, U, C | |||
| (b) Use of the prestart checklist, appropriate control system checks, starting procedures, radio and electronic equipment checks, and the selection of proper navigation and communications radio facilities and frequencies prior to flight | I, T, U, C | |||
| (c) Taxiing. This maneuver includes the following: | ||||
| (1) Taxiing, sailing, and docking procedures in compliance with instructions issued by ATC or by the person conducting the training | I, T, U, C | |||
| (2) Use of airport diagram (surface movement chart) | I, T, U, C | |||
| (3) Obtaining appropriate clearance before crossing or entering active runways | I, T, U, C | |||
| (4) Observation of all surface movement guidance control markings and lighting | I, T, U, C | |||
| (d) Pre-takeoff procedures that include powerplant checks, receipt of takeoff clearance and confirmation of aircraft location, and FMS entry (if appropriate) for departure runway prior to crossing hold short line for takeoff | I, T, U, C | |||
| II. Takeoffs: | ||||
| Training in takeoffs must include the types and conditions listed below but more than one type may be combined where appropriate: | ||||
| (a) Normal takeoffs which, for the purpose of this maneuver, begin when the airplane is taxied into position on the runway to be used | I, T, U, C | |||
| (b) Takeoffs with instrument conditions simulated at or before reaching an altitude of 100′ above the airport elevation | I, T, U, C | |||
| (c) Crosswind takeoffs, including crosswind takeoffs with gusts if practicable under the existing meteorological, airport, and traffic conditions | I, T, U, C | |||
| (d) Takeoffs with a simulated failure of the most critical powerplant— | I, T, U, C | |||
| (1) At a point after V1 and before V2 that in the judgment of the person conducting the training is appropriate to the airplane type under the prevailing conditions; or | I, T, U, C | |||
| (2) At a point as close as possible after V1 when V1 and V2 or V1 and VR are identical; or | I, T, U, C | |||
| (3) At the appropriate speed for nontransport category airplanes | I, T, U, C | |||
| (e) Rejected takeoffs accomplished during a normal takeoff run after reaching a reasonable speed determined by giving due consideration to aircraft characteristics, runway length, surface conditions, wind direction and velocity, brake heat energy, and any other pertinent factors that may adversely affect safety or the airplane | I, T, U, C | |||
| (f) Night takeoffs. For pilots in transition training, this requirement may be met during the operating experience required under § 121.434 by performing a normal takeoff at night when a check pilot serving as PIC is occupying a pilot station | I, T, U, C | |||
| III. Flight Maneuvers and Procedures: | ||||
| (a) Turns with and without spoilers | I, T, U, C | |||
| (b) Tuck and Mach buffet | I, T, U, C | |||
| (c) Maximum endurance and maximum range procedures | I, T, U, C | |||
| (d) Operation of systems and controls at the flight engineer station | I, T, U | |||
| (e) Runaway and jammed stabilizer | I, T, U, C | |||
| (f) Normal and abnormal or alternate operation of the following systems and procedures: | ||||
| (1) Pressurization | I, T, U, C. | |||
| (2) Pneumatic | I, T, U, C. | |||
| (3) Air conditioning | I, T, U, C. | |||
| (4) Fuel and oil | I, T, U, C | I, T, U, C. | ||
| (5) Electrical | I, T, U, C | I, T, U, C. | ||
| (6) Hydraulic | I, T, U, C | I, T, U, C. | ||
| (7) Flight control | I, T, U, C | I, T, U, C. | ||
| (8) Anti-icing and deicing | I, T, U, C | |||
| (9) Autopilot | I, T, U, C | |||
| (10) Automatic or other approach aids | I, T, U, C | |||
| (11) Stall warning devices, stall avoidance devices, and stability augmentation devices | I, T, U, C | |||
| (12) Airborne radar devices | I, T, U, C | |||
| (13) Any other systems, devices, or aids available | I, T, U, C | |||
| (14) Electrical, hydraulic, flight control, and flight instrument system malfunctioning or failure | I, T, U, C | I, T, U, C. | ||
| (15) Landing gear and flap systems failure or malfunction | I, T, U, C | I, T, U, C. | ||
| (16) Failure of navigation or communications equipment | I, T, U, C | |||
| (g) Flight emergency procedures that include at least the following: | ||||
| (1) Powerplant, heater, cargo compartment, cabin, flight deck, wing, and electrical fires | I, T, U, C | I, T, U, C. | ||
| (2) Smoke control | I, T, U, C | I, T, U, C. | ||
| (3) Powerplant failures | I, T | U, C. | ||
| (4) Fuel jettisoning | I, T, U, C | I, T, U, C. | ||
| (5) Any other emergency procedures outlined in the appropriate flight manual | I, T, U, C | |||
| (h) Steep turns in each direction. Each steep turn must involve a bank angle of 45° with a heading change of at least 180° but not more than 360°. This maneuver is not required for Group I transition training | I, T, U, C | |||
| (i) Stall Prevention. For the purpose of this training the approved recovery procedure must be initiated at the first indication of an impending stall (buffet, stick shaker, aural warning). Stall prevention training must be conducted in at least the following configurations: | I, T, U, C | |||
| (1) Takeoff configuration (except where the airplane uses only a zero-flap takeoff configuration) | I, T, U, C | |||
| (2) Clean configuration | I, T, U, C | |||
| (3) Landing configuration | I, T, U, C | |||
| (j) Recovery from specific flight characteristics that are peculiar to the airplane type | I, T, U, C | |||
| (k) Instrument procedures that include the following: | ||||
| (1) Area departure and arrival | I, T, U, C | |||
| (2) Use of navigation systems including adherence to assigned radials | I, T, U, C | |||
| (3) Holding | I, T, U, C | |||
| (l) ILS instrument approaches that include the following: | ||||
| (1) Normal ILS approaches | I, T, U, C | |||
| (2) Manually controlled ILS approaches with a simulated failure of one powerplant which occurs before initiating the final approach course and continues to touchdown or through the missed approach procedure | I | T, U, C | ||
| (m) Instrument approaches and missed approaches other than ILS which include the following: | ||||
| (1) Nonprecision approaches that the pilot is likely to use | U, C | I, T. | ||
| (2) In addition to subparagraph (1) of this paragraph, at least one other nonprecision approach and missed approach procedure that the pilot is likely to use | I, T, U, C | |||
| In connection with paragraphs III(l) and III(m), each instrument approach must be performed according to any procedures and limitations approved for the approach facility used. The instrument approach begins when the airplane is over the initial approach fix for the approach procedure being used (or turned over to the final approach controller in the case of GCA approach) and ends when the airplane touches down on the runway or when transition to a missed approach configuration is completed | ||||
| (n) Circling approaches which include the following: | I, T, U, C | |||
| (1) That portion of the circling approach to the authorized minimum altitude for the procedure being used must be made under simulated instrument conditions | I, T, U, C | |||
| (2) The circling approach must be made to the authorized minimum circling approach altitude followed by a change in heading and the necessary maneuvering (by visual reference) to maintain a flight path that permits a normal landing on a runway at least 90° from the final approach course of the simulated instrument portion of the approach | I, T, U, C | |||
| (3) The circling approach must be performed without excessive maneuvering, and without exceeding the normal operating limits of the airplane. The angle of bank should not exceed 30° | I, T, U, C | |||
| Training in the circling approach maneuver is not required if the certificate holder's manual prohibits a circling approach in weather conditions below 1000-3 (ceiling and visibility) | ||||
| (o) Zero-flap approaches. Training in this maneuver is not required for a particular airplane type if the Administrator has determined that the probability of flap extension failure on that type airplane is extremely remote due to system design. In making this determination, the Administrator determines whether training on slats only and partial flap approaches is necessary | I, C | T, U | ||
| (p) Missed approaches which include the following: | ||||
| (1) Missed approaches from ILS approaches | I, T, U, C | |||
| (2) Other missed approaches | I, T, U, C. | |||
| (3) Missed approaches that include a complete approved missed approach procedure | I, T, U, C. | |||
| (4) Missed approaches that include a powerplant failure | I, T, U, C | |||
| IV. Landings and Approaches to Landings: | ||||
| Training in landings and approaches to landings must include the types and conditions listed below but more than one type may be combined where appropriate: | ||||
| (a) Normal landings | I, T, U, C | |||
| (b) Landing and go around with the horizontal stabilizer out of trim | I, C | T | U. | |
| (c) Landing in sequence from an ILS instrument approach | I | T, U, C | ||
| (d) Crosswind landing, including crosswind landings with gusts if practicable under the existing meteorological, airport, and traffic conditions | I, T, U, C | |||
| (e) Maneuvering to a landing with simulated powerplant failure, as follows: | ||||
| (1) For 3-engine airplanes, maneuvering to a landing with an approved procedure that approximates the loss of two powerplants (center and one outboard engine) | I, C | T, U | ||
| (2) For other multiengine airplanes, maneuvering to a landing with a simulated failure of 50 percent of available powerplants with the simulated loss of power on one side of the airplane | I, C | T, U | ||
| (f) Landing under simulated circling approach conditions (exceptions under III(n) applicable to this requirement) | I | T, U, C | ||
| (g) Rejected landings that include a normal missed approach procedure after the landing is rejected. For the purpose of this maneuver the landing should be rejected at approximately 50 feet and approximately over the runway threshold | I | T, U, C | ||
| (h) Zero-flap landings if the Administrator finds that maneuver appropriate for training in the airplane | I, C | T, U | ||
| (i) Manual reversion | I, T, U, C | |||
| (j) Night landings. For pilots in transition training, this requirement may be met during the operating experience required under § 121.434 by performing a normal landing at night when a check pilot serving as PIC is occupying a pilot station | I, T, U, C |
(a) The maneuvers and procedures required by § 121.441 for pilot proficiency checks are set forth in this appendix. Except for the equipment examination, these maneuvers and procedures must be performed inflight. Certain maneuvers and procedures may be performed in an FFS or an FTD as indicated by the appropriate symbol in the respective column opposite the maneuver or procedure.
(b) Whenever a maneuver or procedure is authorized to be performed in an FTD, it may be performed in an FFS.
(c) A Level B or higher FFS may be used instead of the airplane to satisfy the inflight requirements if the FFS is approved under § 121.407 and is used as part of an approved program that meets the requirements for an Advanced Simulation Training Program in Appendix H of this part.
(d) For the purpose of this appendix, the following symbols mean—
B = Both Pilot in Command (PIC) and Second in Command (SIC).
W = May be waived for both PIC and SIC, except during a proficiency check conducted to qualify a PIC after completing an upgrade training curriculum in accordance with §§ 121.420 and 121.426.
* = A symbol and asterisk (B* or W*) indicates that a particular condition is specified in the maneuvers and procedures column.
# = When a maneuver is preceded by this symbol it indicates the maneuver may be required in the airplane at the discretion of the person conducting the check.
(e) Throughout the maneuvers and procedures prescribed in this appendix, good judgment commensurate with a high level of safety must be demonstrated. In determining whether such judgment has been shown, the person conducting the check considers adherence to approved procedures, actions based on analysis of situations for which there is no prescribed procedure or recommended practice, and qualities of prudence and care in selecting a course of action.
| Maneuvers/procedures | Required | Permitted | |||
|---|---|---|---|---|---|
| Simulated instrument conditions | Inflight | FFS | FTD | Waiver
provisions of § 121.441(d) | |
| The procedures and maneuvers set forth in this appendix must be performed in a manner that satisfactorily demonstrates knowledge and skill with respect to — | |||||
| (1) The airplane, its systems and components; | |||||
| (2) Proper control of airspeed, configuration, direction, altitude, and attitude in accordance with procedures and limitations contained in the approved Airplane Flight Manual, the certificate holder's operations manual, checklists, or other approved material appropriate to the airplane type; and | |||||
| (3) Compliance with approach, ATC, or other applicable procedures. | |||||
| I. Preflight: | |||||
| (a) Equipment examination (oral or written). As part of the proficiency check the equipment examination must be closely coordinated with, and related to, the flight maneuvers portion but may not be given during the flight maneuvers portion. The equipment examination must cover— | |||||
| (1) Subjects requiring a practical knowledge of the airplane, its powerplants, systems, components, operational and performance factors; | |||||
| (2) Normal, abnormal, and emergency procedures, and the operations and limitations relating thereto; and | |||||
| (3) The appropriate provisions of the approved Airplane Flight Manual | |||||
| The person conducting the check may accept, as equal to this equipment examination, an equipment examination given to the pilot in the certificate holder's ground training within the preceding 6 calendar months | |||||
| (b) Preflight inspection. The pilot must— | |||||
| (1) Conduct an actual visual inspection of the exterior and interior of the airplane, locating each item and explaining briefly the purpose for inspecting it. The visual inspection may be conducted using an approved pictorial means that realistically portrays the location and detail of visual inspection items and provides for the portrayal of normal and abnormal conditions. If a flight engineer is a required flightcrew member for the particular type airplane, the visual inspection may be waived under § 121.441(d) | B | W* | |||
| (2) Demonstrate the use of the prestart checklist, appropriate control system checks, starting procedures, radio and electronic equipment checks, and the selection of proper navigation and communications radio facilities and frequencies prior to flight | B | ||||
| (c) Taxiing. This maneuver includes the following: (1) Taxiing, sailing, or docking procedures in compliance with instructions issued by ATC or by the person conducting the check. (2) Use of airport diagram (surface movement chart). (3) Obtaining appropriate clearance before crossing or entering active runways. (4) Observation of all surface movement guidance control markings and lighting. SIC proficiency checks for a type rating must include taxiing. However, other SIC proficiency checks need only include taxiing to the extent practical from the seat position assigned to the SIC | B | ||||
| (d) Pre-takeoff procedures that include powerplant checks, receipt of takeoff clearance and confirmation of aircraft location, and FMS entry (if appropriate), for departure runway prior to crossing hold short line for takeoff | B | ||||
| II. Takeoff: | |||||
| Takeoffs must include the types listed below, but more than one type may be combined where appropriate: | |||||
| (a) Normal. One normal takeoff which, for the purpose of this maneuver, begins when the airplane is taxied into position on the runway to be used | B* | ||||
| (b) Instrument. One takeoff with instrument conditions simulated at or before reaching an altitude of 100′ above the airport elevation | B | B* | |||
| (c) Crosswind. One crosswind takeoff with gusts, if practicable, under the existing meteorological, airport, and traffic conditions | B* | ||||
| #(d) Powerplant failure. One takeoff with a simulated failure of the most critical powerplant— | B | ||||
| (1) At a point after V1 and before V2 that in the judgment of the person conducting the check is appropriate to the airplane type under the prevailing conditions; | B | ||||
| (2) At a point as close as possible after V1 when V1 and V2 or V1 and Vr are identical; or | B | ||||
| (3) At the appropriate speed for nontransport category airplanes | B | ||||
| (e) Rejected. A rejected takeoff may be performed in an airplane during a normal takeoff run after reaching a reasonable speed determined by giving due consideration to aircraft characteristics, runway length, surface conditions, wind direction and velocity, brake heat energy, and any other pertinent factors that may adversely affect safety or the airplane | B* | W | |||
| III. Instrument procedures: | |||||
| (a) Area departure and area arrival. During each of these maneuvers the pilot must— | B | B | W* | ||
| (1) Adhere to actual or simulated ATC clearances (including assigned radials); and | B | B | |||
| (2) Properly use available navigation facilities | B | B | |||
| Either area arrival or area departure, but not both, may be waived under § 121.441(d). | |||||
| (b) Holding. This maneuver includes entering, maintaining, and leaving holding patterns. It may be performed in connection with either area departure or area arrival | B | B | W | ||
| (c) ILS and other instrument approaches. There must be the following: | |||||
| (1) At least one normal ILS approach | B | B | |||
| (2) At least one manually controlled ILS approach with a simulated failure of one powerplant. The simulated failure should occur before initiating the final approach course and must continue to touchdown or through the missed approach procedure | B | B | |||
| (3) At least one nonprecision approach procedure using a type of nonprecision approach procedure that the certificate holder is approved to use | B | B | |||
| (4) At least one nonprecision approach procedure using a different type of nonprecision approach procedure than performed under subparagraph (3) of this paragraph that the certificate holder is approved to use | B | B | |||
| (5) For each type of EFVS operation the certificate holder is authorized to conduct, at least one instrument approach must be made using an EFVS | B | B* | |||
| Each instrument approach must be performed according to any procedures and limitations approved for the approach procedure used. The instrument approach begins when the airplane is over the initial approach fix for the approach procedure being used (or turned over to the final approach controller in the case of GCA approach) and ends when the airplane touches down on the runway or when transition to a missed approach configuration is completed. Instrument conditions need not be simulated below 100′ above touchdown zone elevation. | |||||
| (d) Circling approaches. If the certificate holder is approved for circling minimums below 1000-3 (ceiling and visibility), at least one circling approach must be made under the following conditions— | B* | W* | |||
| (1) The portion of the approach to the authorized minimum circling approach altitude must be made under simulated instrument conditions | B | B* | |||
| (2) The approach must be made to the authorized minimum circling approach altitude followed by a change in heading and the necessary maneuvering (by visual reference) to maintain a flight path that permits a normal landing on a runway at least 90° from the final approach course of the simulated instrument portion of the approach | B* | ||||
| (3) The circling approach must be performed without excessive maneuvering, and without exceeding the normal operating limits of the airplane. The angle of bank should not exceed 30° | B* | ||||
| If local conditions beyond the control of the pilot prohibit the maneuver or prevent it from being performed as required, it may be waived as provided in § 121.441(d). However, the maneuver may not be waived under this provision for two successive proficiency checks. Except for a SIC proficiency check for a type rating, the circling approach maneuver is not required for a SIC if the certificate holder's manual prohibits a SIC from performing a circling approach in operations under this part. | |||||
| (e) Missed approach. | |||||
| (1) At least one missed approach from an ILS approach | B* | ||||
| (2) At least one additional missed approach for SIC proficiency checks for a type rating and for all PIC proficiency checks | B* | ||||
| A complete approved missed approach procedure must be accomplished at least once. At the discretion of the person conducting the check a simulated powerplant failure may be required during any of the missed approaches. These maneuvers may be performed either independently or in conjunction with maneuvers required under Sections III or V of this appendix. At least one missed approach must be performed inflight. | |||||
| IV. Inflight Maneuvers: | |||||
| (a) Steep turns. For SIC proficiency checks for a type rating and for all PIC proficiency checks, at least one steep turn in each direction must be performed. Each steep turn must involve a bank angle of 45° with a heading change of at least 180° but not more than 360° | B | B | W | ||
| (b) Stall Prevention. For the purpose of this maneuver the approved recovery procedure must be initiated at the first indication of an impending stall (buffet, stick shaker, aural warning). Except as provided below there must be at least three stall prevention recoveries as follows: | B | B | W* | ||
| (1) Takeoff configuration (except where the airplane uses only a zero-flap takeoff configuration) | B | B | |||
| (2) Clean configuration | B | B | |||
| (3) Landing configuration | B | B | |||
| At the discretion of the person conducting the check, one stall prevention recovery must be performed in one of the above configurations while in a turn with the bank angle between 15° and 30°. Two out of the three stall prevention recoveries required by this paragraph may be waived. | |||||
| If the certificate holder is authorized to dispatch or flight release the airplane with a stall warning device inoperative the device may not be used during this maneuver. | |||||
| (c) Specific flight characteristics. Recovery from specific flight characteristics that are peculiar to the airplane type | B | W | |||
| (d) Powerplant failures. In addition to specific requirements for maneuvers with simulated powerplant failures, the person conducting the check may require a simulated powerplant failure at any time during the check | B | ||||
| V. Landings and Approaches to Landings: | |||||
| Notwithstanding the authorizations for combining and waiving maneuvers and for the use of an FFS, at least two actual landings (one to a full stop) must be made for all PIC proficiency checks, all initial SIC proficiency checks, and all SIC proficiency checks for a type rating | |||||
| Landings and approaches to landings must include the types listed below, but more than one type may be combined where appropriate: | |||||
| (a) Normal landing | B | ||||
| (b) Landing in sequence from an ILS instrument approach except that if circumstances beyond the control of the pilot prevent an actual landing, the person conducting the check may accept an approach to a point where in his judgment a landing to a full stop could have been made | B* | ||||
| (c) Crosswind landing with gusts, if practicable under existing meteorological, airport, and traffic conditions | B* | ||||
| (d) Maneuvering to a landing with simulated powerplant failure as follows: | |||||
| (1) In the case of 3-engine airplanes, maneuvering to a landing with an approved procedure that approximates the loss of two powerplants (center and one outboard engine); or | B* | ||||
| (2) In the case of other multiengine airplanes, maneuvering to a landing with a simulated failure of 50 percent of available powerplants, with the simulated loss of power on one side of the airplane | B* | ||||
| Notwithstanding the requirements of subparagraphs (d)(1) and (2) of this paragraph, for an SIC proficiency check, except for an SIC proficiency check for a type rating, the simulated loss of power may be only the most critical powerplant. In addition, a PIC may omit the maneuver required by subparagraph (d)(1) or (d)(2) of this paragraph during a required proficiency check or FFS course of training if the PIC satisfactorily performed that maneuver during the preceding proficiency check, or during the preceding approved FFS course of training under the observation of a check pilot, whichever was completed later. | |||||
| (e) Except as provided in paragraph (f) of this section, if the certificate holder is approved for circling minimums below 1000-3 (ceiling and visibility), a landing under simulated circling approach conditions. However, when performed in an airplane, if circumstances beyond the control of the pilot prevent a landing, the person conducting the check may accept an approach to a point where, in his judgment, a landing to a full stop could have been made | B* | ||||
| #(f) A rejected landing, including a normal missed approach procedure, that is rejected approximately 50′ over the runway and approximately over the runway threshold. This maneuver may be combined with instrument, circling, or missed approach procedures, but instrument conditions need not be simulated below 100 feet above the runway | B | ||||
| (g) If the certificate holder is authorized to conduct EFVS operations to touchdown and rollout, at least one instrument approach to a landing must be made using an EFVS, including the use of enhanced flight vision from 100 feet above the touchdown zone elevation to touchdown and rollout | B | B* | |||
| (h) If the certificate holder is authorized to conduct EFVS operations to 100 feet above the touchdown zone elevation, at least one instrument approach to a landing must be made using an EFVS, including the transition from enhanced flight vision to natural vision at 100 feet above the touchdown zone elevation | B | B* | |||
| VI. Normal and Abnormal Procedures: | |||||
| Each pilot must demonstrate the proper use of as many of the systems and devices listed below as the person conducting the check finds are necessary to determine that the person being checked has a practical knowledge of the use of the systems and devices appropriate to the airplane type: | |||||
| (a) Anti-icing and deicing systems | B | ||||
| (b) Autopilot systems | B | ||||
| (c) Automatic or other approach aid systems | B | ||||
| (d) Stall warning devices, stall avoidance devices, and stability augmentation devices | B | ||||
| (e) Airborne radar devices | B | ||||
| (f) Any other systems, devices, or aids available | B | ||||
| (g) Hydraulic and electrical system failures and malfunctions | B | ||||
| (h) Landing gear and flap systems failure or malfunction | B | ||||
| (i) Failure of navigation or communications equipment | B | ||||
| VII. Emergency Procedures: | |||||
| Each pilot must demonstrate the proper emergency procedures for as many of the emergency situations listed below as the person conducting the check finds are necessary to determine that the person being checked has an adequate knowledge of, and ability to perform, such procedure: | |||||
| (a) Fire in flight | B | ||||
| (b) Smoke control | B | ||||
| (c) Rapid decompression | B | ||||
| (d) Emergency descent | B | ||||
| (e) Any other emergency procedures outlined in the approved Airplane Flight Manual | B | ||||
1. Application authority. (a) An applicant for authority to use a Doppler Radar or Inertial Navigation System must submit a request for evaluation of the system to the responsible Flight Standards office charged with the overall inspection of its operations 30 days prior to the start of evaluation flights.
(b) The application must contain:
(1) A summary of experience with the system showing to the satisfaction of the Administrator a history of the accuracy and reliability of the system proposed to be used.
(2) A training program curriculum for initial approval under § 121.405.
(3) A maintenance program for compliance with subpart L of this part.
(4) A description of equipment installation.
(5) Proposed revisions to the Operations Manual outlining all normal and emergency procedures relative to use of the proposed system, including detailed methods for continuing the navigational function with partial or complete equipment failure, and methods for determining the most accurate system when an unusually large divergence between systems occurs. For the purpose of this appendix, a large divergence is a divergence that results in a track that falls beyond clearance limits.
(6) Any proposed revisions to the minimum equipment list with adequate justification therefor.
(7) A list of operations to be conducted using the system, containing an analysis of each with respect to length, magnetic compass reliability, availability of en route aids, and adequacy of gateway and terminal radio facilities to support the system. For the purpose of this appendix, a gateway is a specific navigational fix where use of long range navigation commences or terminates.
2. Equipment and equipment installation—Inertial Navigation Systems (INS) or Doppler Radar System. (a) Inertial Navigation and Doppler Radar Systems must be installed in accordance with applicable airworthiness requirements.
(b) Cockpit arrangement must be visible and useable by either pilot seated at his duty station.
(c) The equipment must provide, by visual, mechanical, or electrical output signals, indications of the invalidity of output data upon the occurrence of probable failures or malfunctions within the system.
(d) A probable failure or malfunction within the system must not result in loss of the aircraft's required navigation capability.
(e) The alignment, updating, and navigation computer functions of the system must not be invalidated by normal aircraft power interruptions and transients.
(f) The system must not be the source of cause of objectionable radio frequency interference, and must not be adversely affected by radio frequency interference from other aircraft systems.
(g) The FAA-approved airplane flight manual, or supplement thereto, must include pertinent material as required to define the normal and emergency operating procedures and applicable operating limitations associated with INS and Doppler performance (such as maximum latitude at which ground alignment capability is provided, or deviations between systems).
3. Equipment and equipment installation—Inertial Navigation Systems (INS). (a) If an applicant elects to use an Inertial Navigation System it must be at least a dual system (including navigational computers and reference units). At least two systems must be operational at takeoff. The dual system may consist of either two INS units, or one INS unit and one Doppler Radar unit.
(b) Each Inertial Navigation System must incorporate the following:
(1) Valid ground alignment capability at all latitudes appropriate for intended use of the installation.
(2) A display of alignment status or a ready to navigate light showing completed alignment to the flight crew.
(3) The present position of the airplane in suitable coordinates.
(4) Information relative to destinations or waypoint positions:
(i) The information needed to gain and maintain a desired track and to determine deviations from the desired track.
(ii) The information needed to determine distance and time to go to the next waypoint or destination.
(c) For INS installations that do not have memory or other inflight alignment means, a separate electrical power source (independent of the main propulsion system) must be provided which can supply, for at least 5 minutes, enough power (as shown by analysis or as demonstrated in the airplane) to maintain the INS in such condition that its full capability is restored upon the reactivation of the normal electrical supply.
(d) The equipment must provide such visual, mechanical, or electrical output signals as may be required to permit the flight crew to detect probable failures or malfunctions in the system.
4. Equipment and equipment installation—Doppler Radar Systems. (a) If an applicant elects to use a Doppler Radar System it must be at least a dual system (including dual antennas or a combined antenna designed for multiple operation), except that:
(1) A single operating transmitter with a standby capable of operation may be used in lieu of two operating transmitters.
(2) Single heading source information to all installations may be utilized, provided a compass comparator system is installed and operational procedures call for frequent cross-checks of all compass heading indicators by crewmembers.
(b) At least two systems must be operational at takeoff.
(c) As determined by the Administrator and specified in the certificate holder's operations specifications, other navigational aids may be required to update the Doppler Radar for a particular operation. These may include DME, VOR, ADF, ground-based radar, and airborne weather radar. When these aids are required, the cockpit arrangement must be such that all controls are accessible to each pilot seated at his duty station.
5. Training programs. The initial training program for Doppler Radar and Inertial Navigation Systems must include the following:
(a) Duties and responsibilities of flight crewmembers, dispatchers, and maintenance personnel.
(b) For pilots, instruction in the following:
(1) Theory and procedures, limitations, detection of malfunctions, preflight and inflight testing, and cross-checking methods.
(2) The use of computers, an explanation of all systems, compass limitations at high latitudes, a review of navigation, flight planning, and applicable meteorology.
(3) The methods for updating by means of reliable fixes.
(4) The actual plotting of fixes.
(c) Abnormal and emergency procedures.
6. Equipment accuracy and reliability. (a) Each Inertial Navigation System must meet the following accuracy requirements, as appropriate:
(1) For flights up to 10 hours' duration, no greater than 2 nautical miles per hour of circular error on 95 percent of system flights completed is permitted.
(2) For flights over 10 hours' duration, a tolerance of ±20 miles cross-track and ±25 miles along-track on 95 percent of system flights completed is permitted.
(b) Compass heading information to the Doppler Radar must be maintained to an accuracy of ±1° and total system deviations must not exceed 2°. When free gyro techniques are used, procedures shall be utilized to ensure that an equivalent level of heading accuracy and total system deviation is attained.
(c) Each Doppler Radar System must meet accuracy requirements of ±20 miles cross-track and ±25 miles along-track for 95 percent of the system flights completed. Updating is permitted.
7. Evaluation program. (a) Approval by evaluation must be requested as a part of the application for operational approval of a Doppler Radar or Inertial Navigation System.
(b) The applicant must provide sufficient flights which show to the satisfaction of the Administrator the applicant's ability to use cockpit navigation in his operation.
(c) The Administrator bases his evaluation on the following:
(1) Adequacy of operational procedures.
(2) Operational accuracy and reliability of equipment and feasibility of the system with regard to proposed operations.
(3) Availability of terminal, gateway, area, and en route ground-based aids, if required, to support the self-contained system.
(4) Acceptability of cockpit workload.
(5) Adequacy of flight crew qualifications.
(6) Adequacy of maintenance training and availability of spare parts.
This appendix prescribes criteria for use of Level B or higher FFSs to satisfy the inflight requirements of Appendices E and F of this part and the requirements of § 121.439. The criteria in this appendix are in addition to the FFS approval requirements in § 121.407. Each FFS used under this appendix must be approved as a Level B, C, or D FFS, as appropriate.
For a certificate holder to conduct Level C or D training under this appendix, all required FFS instruction and checks must be conducted under an advanced simulation training program approved by the Administrator for the certificate holder. This program must also ensure that all instructors, check pilots, and check flight engineers used in Appendix H training and checking are highly qualified to provide the training required in the training program. The advanced simulation training program must include the following:
1. The certificate holder's initial, transition, conversion, upgrade, and recurrent FFS training programs and its procedures for re-establishing recency of experience in the FFS.
2. How the training program will integrate Level B, C, and D FFSs with other FSTDs to maximize the total training, checking, and certification functions.
3. Documentation that each instructor and check pilot has served for at least 1 year in that capacity in a certificate holder's approved program or has served for at least 1 year as a pilot in command or second in command in an airplane of the group in which that pilot is instructing or checking.
4. A procedure to ensure that each instructor, check pilot, and check flight engineer-actively participates in either an approved regularly scheduled line flying program as a flightcrew member or an approved line observation program in the same airplane type for which that person is instructing or checking.
5. A procedure to ensure that each instructor, check pilot, and check flight engineer-is given a minimum of 4 hours of training each year to become familiar with the certificate holder's advanced simulation training program, or changes to it, and to emphasize their respective roles in the program. Training for instructors, check pilots, and check flight engineers must include training policies and procedures, instruction methods and techniques, operation of FFS controls (including environmental and trouble panels), limitations of the FFS, and minimum equipment required for each course of training.
6. A special Line-Oriented Flight Training (LOFT) program to facilitate the transition from the FFS to line flying. This LOFT program must consist of at least a 4-hour course of training for each flightcrew. It also must contain at least two representative flight segments of the certificate holder's operations. One of the flight segments must contain strictly normal operating procedures from pushback at one airport to arrival at another. Another flight segment must contain training in appropriate abnormal and emergency flight operations. The LOFT must provide an opportunity for the pilot to demonstrate workload management and pilot monitoring skills.
a. Recent experience (§ 121.439).
b. Training in night takeoffs and landings (Appendix E of this part).
c. Except for EFVS operations, landings in a proficiency check (Appendix F of this part).
a. Recent experience (§ 121.439).
b. All pilot flight training and checking required by this part except the following:
i. The operating experience, operating cycles, and consolidation of knowledge and skills requirements of § 121.434;
ii. The line check required by § 121.440; and
iii. The visual inspection of the exterior and interior of the airplane required by appendices E and F.
c. The practical test requirements of § 61.153(h) of this chapter, except the visual inspection of the exterior and interior of the airplane.
1. Applicability. This appendix specifies requirements for the following turbopropeller powered airplanes that must comply with the Airplane Performance Operating Limitations in §§ 121.189 through 121.197:
a. After December 20, 2010, each airplane manufactured before March 20, 1997 and type certificated in the:
i. Normal category before July 1, 1970, and meets special conditions issued by the Administrator for airplanes intended for use in operations under part 135 of this chapter.
ii. Normal category before July 19, 1970, and meets the additional airworthiness standards in SFAR No. 23 of 14 CFR part 23.
iii. Normal category, and complies with the additional airworthiness standards in appendix A of part 135 of this chapter.
iv. Normal category, and complies with section 1.(a) or 1.(b) of SFAR No. 41 of 14 CFR part 21.
b. After March 20, 1997, each airplane:
i. Type certificated prior to March 29, 1995, in the commuter category.
ii. Manufactured on or after March 20, 1997, and that was type certificated in the normal category, and complies with the requirements described in paragraphs 1.a.i through iii of this appendix.
2. Background. Sections 121.157 and 121.173(b) require that the airplanes operated under this part and described in paragraph 1 of this appendix, comply with the Airplane Performance Operating Limitations in §§ 121.189 through 121.197. Airplanes described in § 121.157(f) and paragraph 1.a of this appendix must comply on and after December 20, 2010. Airplanes described in § 121.157(e) and paragraph 1.b of this appendix must comply on and after March 20, 1997. (Airplanes type certificated in the normal category, and in accordance with SFAR No. 41 of 14 CFR part 21, as described in paragraph 1.a.iv of this appendix, may not be produced after October 17, 1991.)
3. References. Unless otherwise specified, references in this appendix to sections of part 23 of this chapter are to those sections of 14 CFR part 23, as amended by Amendment No. 23-45 (August 6, 1993, 58 FR 42156).
4. Interim Airplane Performance Operating Limitations.
a. Until December 20, 2010, airplanes described in paragraph 1.a of this appendix may continue to comply with the requirements in subpart I of part 135 and § 135.181(a)(2) of this chapter that apply to small, nontransport category airplanes.
b. Until March 20, 1997, airplanes described in paragraph 1.b.i of this appendix may continue to comply with the requirements in subpart I of part 135 of this chapter that apply to commuter category airplanes.
5. Final Airplane Performance Operating Limitations.
a. Through an amended type certification program or a supplemental type certification program, each airplane described in paragraph 1.a and 1.b.ii of this appendix must be shown to comply with the commuter category performance requirements specified in this appendix, which are included in part 23 of this chapter. Each new revision to a current airplane performance operating limitation for an airplane that is or has been demonstrated to comply, must also be approved by the Administrator. An airplane approved to the requirements of section 1.(b) of SFAR No. 41 of 14 CFR part 21, as described in paragraph 1.a.iv of this appendix, and that has been demonstrated to comply with the additional requirements of section 4.(c) of SFAR No. 41 of 14 CFR part 21 and International Civil Aviation Organization Annex 8 (available from the FAA, 800 Independence Avenue SW., Washington, DC 20591), will be considered to be in compliance with the commuter category performance requirements.
b. Each turbopropeller powered airplane subject to this appendix must be demonstrated to comply with the airplane performance operating limitation requirements of this chapter specified as follows:
i. Section 23.45 Performance General.
ii. Section 23.51 Takeoff.
iii. Section 23.53 Takeoff speeds.
iv. Section 23.55 Accelerate stop distance.
v. Section 23.57 Takeoff path.
vi. Section 23.59 Takeoff distance and takeoff run.
vii. Section 23.61 Takeoff flight path.
viii. Section 23.65 Climb: All engines operating.
ix. Section 23.67 Climb: one engine inoperative.
x. Section 23.75 Landing.
xi. Section 23.77 Balked landing.
xii. Sections 23.1581 through 23.1589 Airplane flight manual and approved manual material.
6. Operation. After compliance with the final airplane performance operating limitations requirements has been demonstrated and added to the Airplane Flight Manual performance data of the affected airplane, that airplane must be operated in accordance with the performance limitations of §§ 121.189 through 121.197.
Appendix L lists regulations in this part that require compliance with standards contained in superseded type certification regulations that continue to apply to certain transport category airplanes. The tables set out citations to current CFR section, applicable aircraft, superseded type certification regulation and applicable time periods, and the CFR edition and
| Part 121 section | Applicable aircraft | Provisions: CFR/FR references |
|---|---|---|
| § 121.312(a)(1)(i) | Transport category; or nontransport category type certificated before January 1, 1965; passenger capacity of 20 or more; manufactured prior to August 20, 1990 | Heat release rate testing. 14 CFR 25.853(d) in effect March 6, 1995: 14 CFR parts 1 to 59, Revised as of January 1, 1995, and amended by Amdt. 25-83, 60 FR 6623, February 2, 1995.
Formerly 14 CFR 25.853(a-1) in effect August 20, 1986: 14 CFR parts 1 to 59, Revised as of January 1, 1986. |
| § 121.312(a)(1)(ii) | Transport category; or nontransport category type certificated before January 1, 1965; passenger capacity of 20 or more; manufactured after August 19, 1990 | Heat release rate and smoke testing. 14 CFR 25.853(d) in effect March 6, 1995: 14 CFR parts 1 to 59, Revised as of January 1, 1995, and amended by Amdt. 25-83, 60 FR 6623, February 2, 1995.
Formerly 14 CFR 25.853(a-1) in effect September 26, 1988: 14 CFR parts 1 to 59, Revised as of January 1, 1988, and amended by Amdt. 25-66, 53 FR 32584, August 25, 1988 |
| § 121.312(a)(2)(i) | Transport category; or nontransport category type certificate before January 1, 1965; application for type certificate filed prior to May 1, 1972; substantially complete replacement of cabin interior on or after May 1, 1972 | Provisions of 14 CFR 25.853 in effect on April 30, 1972: 14 CFR parts 1 to 59, Revised as of January 1, 1972. |
| § 121.312(a)(3)(i) | Transport category type certificated after January 1, 1958; nontransport category type certificated after January 1, 1958, but before January 1, 1965; passenger capacity of 20 or more; substantially complete replacement of the cabin interior on or after March 6, 1995 | Heat release rate testing. 14 CFR 25.853(d) in effect March 6, 1995: 14 CFR parts 1 to 59, Revised as of January 1, 1995; and amended by 25-83, 60 FR 6623, February 2, 1995.
Formerly 14 CFR 25.853(a-1) in effect August 20, 1986: 14 CFR parts 1 to 59, Revised as of January 1, 1986. |
| § 121.312(a)(3)(ii) | Transport category type certificated after January 1, 1958; nontransport category type certificated after January 1, 1958, but before January 1, 1965; passenger capacity of 20 or more; substantially complete replacement of the cabin interior on or after August 20, 1990 | Heat release rate and smoke testing. 14 CFR 25.853(d) in effect March 6, 1995; 14 CFR parts 1 to 59, Revised as of January 1, 1995; and amended by 25-83, 60 FR 6623, February 2, 1995.
Formerly 14 CFR § 25.853(a-1) in effect September 26, 1988: CFR, Title 14, Parts 1 to 59, Revised as of January 1, 1988, and amended by 25-66, 53 FR 32584, August 25, 1988. |
| § 121.312(b) (1) and (2) | Transport category airplane type certificated after January 1, 1958; Nontransport category airplane type certificated after December 31, 1964 | Seat cushions. 14 CFR 25.853(c) effective on November 26, 1984: 14 CFR parts 1 to 59, Revised as of January 1, 1984, and amended by \n25-59, 49 FR 43188, October 26, 1984. |
| § 121.312(c) | Airplane type certificated in accordance with SFAR No. 41; maximum certificated takeoff weight in excess of 12,500 pounds | Compartment interior requirements. 14 CFR 25.853(a) in effect March 6, 1995: 14 CFR parts 1 to 59, Revised as of January 1, 1995, and amended by 25-83, 60 FR 6623, February 2, 1995.
Formerly 14 CFR 25.853(a), (b-1), (b-2), and (b-3) in effect on September 26, 1978: 14 CFR parts 1 to 59, Revised as of January 1, 1978. |
| § 121.314(a) | Transport category airplanes type certificated after January 1, 1958 | Class C or D cargo or baggage compartment definition, 14 CFR 25.857 in effect on June 16, 1986, 14 CFR parts 1 to 59, Revised 1/1/97, and amended by Amendment 25-60, 51 FR 18243, May 16, 1986. |
The recorded values must meet the designated range, resolution and accuracy requirements during static and dynamic conditions. Dynamic condition means the parameter is experiencing change at the maximum rate attainable, including the maximum rate of reversal. All data recorded must be correlated in time to within one second.
| Parameters | Range | Accuracy (sensor input) | Seconds per sampling interval | Resolution | Remarks |
|---|---|---|---|---|---|
| 1. Time or relative times counts. 1 | 24 Hrs, 0 to 4095 | ±0.125% per hour | 4 | 1 sec | UTC time preferred when available. Count increments each 4 seconds of system operation. |
| 2. Pressure Altitude | −1000 ft to max certificated altitude of aircraft. + 5000 ft | ±100 to ±700 ft (see table, TSO C124a or TSO C51a) | 1 | 5′ to 35′ | Data should be obtained from the air data computer when practicable. |
| 3. Indicated airspeed or Calibrated airspeed | 50 KIAS or minimum value to Max V | ±5% and ±3% | 1 | 1 kt | Data should be obtained from the air data computer when practicable. |
| 4. Heading (Primary flight crew reference) | 0-360° and Discrete “true” or “mag” | ±2° | 1 | 0.5° | When true or magnetic heading can be selected as the primary heading reference, a discrete indicating selection must be recorded. |
| 5. Normal acceleration (vertical) 9 | −3g to + 6g | ±1% of max range excluding datum error of ±5% | 0.125 | 0.004g | |
| 6. Pitch Attitude | ±75° | ±2° | 1 or 0.25 for airplanes operated under § 121.344(f) | 0.5° | A sampling rate of 0.25 is recommended. |
| 7. Roll attitude 2 | ±180° | ±2° | 1 or 0.5 for airplanes operated under § 121.344(f) | 0.5 | A sampling rate of 0.5 is recommended. |
| 8. Manual Radio Transmitter Keying or CVR/DFDR synchronization reference | On-Off (Discrete)
None | 1 | Preferably each crew member but one discrete acceptable for all transmission provided the CVR/FDR system complies with TSO C124a CVR synchronization requirements (paragraph 4.2.1 ED-55). | ||
| 9. Thrust/power on each engine—primary flight crew reference | Full range forward | ±2% | 1 (per engine) | 0.3% of full range | Sufficient parameters (e.g. EPR, N1 or Torque, NP) as appropriate to the particular engine being recorded to determine power in forward and reverse thrust, including potential overspeed condition. |
| 10. Autopilot Engagement | Discrete “on” or “off” | 1 | |||
| 11. Longitudinal Acceleration | ±1g | ±1.5% max. range excluding datum error of ±5% | 0.25 | 0.004g | |
| 12a. Pitch control(s) position (nonfly-by-wire systems). 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 121.344(f) | 0.5% of full range | For airplanes that have a flight control breakaway capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 12b. Pitch control(s) position (fly-by-wire systems). 3 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 121.344(f) | 0.2% of full range | |
| 13a. Lateral control position(s) (nonfly-by-wire). 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 121.344(f) | 0.2% of full range | For airplanes that have a flight control breakaway capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 13b. Lateral control position(s) (fly-by-wire). 4 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 121.344(f) | 0.2% of full range. | |
| 14a. Yaw control position(s) (nonfly-by-wire). 5 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 | 0.3% of full range | For airplanes that have a flight control breakaway capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling interval of 0.5. |
| 14b. Yaw control position(s) (fly-by-wire). 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 | 0.2% of full range | |
| 15. Pitch control surface(s) position. 6 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 121.344(f) | 0.3% of full range | For airplanes fitted with multiple or split surfaces, a suitable combination of inputs is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately once per second to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 16. Lateral control surface(s) position. 7 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 121.344(f) | 0.3% of full range | A suitable combination of surface position sensors is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 17. Yaw control surface(s) position. 8 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 | 0.2% of full range | For airplanes with multiple or split surfaces, a suitable combination of surface position sensors is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately to produce the sampling interval of 0.5. |
| 18. Lateral Acceleration | ±1g | ±1.5% max. range excluding datum error of ±5% | 0.25 | 0.004g | |
| 19. Pitch Trim Surface Position | Full Range | ±3° Unless Higher Accuracy Uniquely Required | 1 | 0.6% of full range | |
| 20. Trailing Edge Flap or Cockpit Control Selection. 10 | Full Range or Each Position (discrete) | ±3° or as Pilot's indicator | 2 | 0.5% of full range | Flap position and cockpit control may each be sampled at 4 second intervals, to give a data point every 2 seconds. |
| 21. Leading Edge Flap or Cockpit Control Selection. 11 | Full Range or Each Discrete Position | ±3° or as Pilot's indicator and sufficient to determine each discrete position | 2 | 0.5% of full range | Left and right sides, or flap position and cockpit control may each be sampled at 4 second intervals, so as to give a data point every 2 seconds. |
| 22. Each Thrust Reverser Position (or equivalent for propeller airplane) | Stowed, In Transit, and Reverse (Discrete) | 1 (per engine) | Turbo-jet—2 discretes enable the 3 states to be determined.
Turbo-prop—discrete. | ||
| 23. Ground spoiler position or brake selection 12 | Full range or each position (discrete) | ±2° Unless higher accuracy uniquely required | 1 or 0.5 for airplanes operated under § 121.344(f) | 0.5% of full range | |
| 24. Outside Air Temperature or Total Air Temperature. 13 | −50 °C to + 90 °C | ±2 °C | 2 | 0.3 °C | |
| 25. Autopilot/Autothrottle/AFCS Mode and Engagement Status | A suitable combination of discretes | 1 | Discretes should show which systems are engaged and which primary modes are controlling the flight path and speed of the aircraft. | ||
| 26. Radio Altitude 14 | −20 ft to 2,500 ft | ±2 ft or ±3% whichever is greater below 500 ft and ±5% above 500 ft | 1 | 1 ft + 5% above 500 ft | For autoland/category 3 operations. Each radio altimeter should be recorded, but arranged so that at least one is recorded each second. |
| 27. Localizer Deviation, MLS Azimuth, or GPS Latitude Deviation | ±400 Microamps or available sensor range as installed
±62° | As installed ±3% recommended | 1 | 0.3% of full range | For autoland/category 3 operations. Each system should be recorded but arranged so that at least one is recorded each second. It is not necessary to record ILS and MLS at the same time, only the approach aid in use need be recorded. |
| 28. Glideslope Deviation, MLS Elevation, or GPS Vertical Deviation | ±400 Microamps or available sensor range as installed
0.9 to + 30° | As installed + /3−3% recommended | 1 | 0.3% of full range | For autoland/category 3 operations. Each system should be recorded but arranged so that at least one is recorded each second. It is not necessary to record ILS and MLS at the same time, only the approach aid in use need be recorded. |
| 29. Marker Beacon Passage | Discrete “on” or “off” | 1 | A single discrete is acceptable for all markers. | ||
| 30. Master Warning | Discrete | 1 | Record the master warning and record each “red” warning that cannot be determined from other parameters or from the cockpit voice recorder. | ||
| 31. Air/ground sensor (primary airplane system reference nose or main gear) | Discrete “air” or “ground” | 1 (0.25 recommended) | |||
| 32. Angle of Attack (If measured directly) | As installed | As installed | 2 or 0.5 for airplanes operated under § 121.344(f) | 0.3% of full range | If left and right sensors are available, each may be recorded at 4 or 1 second intervals, as appropriate, so as to give a data point at 2 seconds or 0.5 second, as required. |
| 33. Hydraulic Pressure Low, Each System | Discrete or available sensor range, “low” or “normal” | ±5% | 2 | 0.5% of full range | |
| 34. Groundspeed | As Installed | Most Accurate Systems Installed | 1 | 0.2% of full range | |
| 35. GPWS (ground proximity warning system) | Discrete “warning” or “off” | 1 | A suitable combination of discretes unless recorder capacity is limited in which case a single discrete for all modes is acceptable. | ||
| 36. Landing Gear Position or Landing gear cockpit control selection | Discrete | 4 | A suitable combination of discretes should be recorded. | ||
| 37. Drift Angle. 15 | As installed | As installed | 4 | 0.1° | |
| 38. Wind Speed and Direction | As installed | As installed | 4 | 1 knot, and 1.0° | |
| 39. Latitude and Longitude | As installed | As installed | 4 | 0.002°, or as installed | Provided by the Primary Navigation System Reference. Where capacity permits Latitude/longitude resolution should be 0.0002°. |
| 40. Stick shaker and pusher activation | Discrete(s) “on” or “off” | 1 | A suitable combination of discretes to determine activation. | ||
| 41. Windshear Detection | Discrete “warning” or “off” | 1 | |||
| 42. Throttle/power Leverl position. 16 | Full Range | ±2% | 1 for each lever | 2% of full range | For airplanes with non-mechanically linked cockpit engine controls. |
| 43. Additional Engine Parameters | As installed | As installed | Each engine each second | 2% of full range | Where capacity permits, the preferred priority is indicated vibration level, N2, EGT, Fuel Flow, Fuel Cut-off lever position and N3, unless engine manufacturer recommends otherwise. |
| 44. Traffic Alert and Collision Avoidance System (TCAS) | Discretes | As installed | 1 | A suitable combination of discretes should be recorded to determine the status of—Combined Control, Vertical Control, Up Advisory, and Down Advisory. (ref. ARINC Characteristic 735 Attachment 6E, TCAS VERTICAL RA DATA OUTPUT WORD.) | |
| 45. DME 1 and 2 Distance | 0-200 NM | As installed | 4 | 1 NM | 1 mile |
| 46. Nav 1 and 2 Selected Frequency | Full Range | As installed | 4 | Sufficient to determine selected frequency | |
| 47. Selected barometric setting | Full Range | ±5% | (1 per 64 sec.) | 0.2% of full range | |
| 48. Selected Altitude | Full Range | ±5% | 1 | 100 ft | |
| 49. Selected speed | Full Range | ±5% | 1 | 1 knot | |
| 50. Selected Mach | Full Range | ±5% | 1 | .01 | |
| 51. Selected vertical speed | Full Range | ±5% | 1 | 100 ft/min | |
| 52. Selected heading | Full Range | ±5% | 1 | 1° | |
| 53. Selected flight path | Full Range | ±5% | 1 | 1° | |
| 54. Selected decision height | Full Range | ±5% | 64 | 1 ft | |
| 55. EFIS display format | Discrete(s) | 4 | Discretes should show the display system status (e.g., off, normal, fail, composite, sector, plan, nav aids, weather radar, range, copy. | ||
| 56. Multi-function/Engine Alerts Display format | Discrete(s) | 4 | Discretes should show the display system status (e.g., off, normal, fail, and the identity of display pages for emergency procedures, need not be recorded. | ||
| 57. Thrust command. 17 | Full Range | ±2% | 2 | 2% of full range | |
| 58. Thrust target | Full Range | ±2% | 4 | 2% of full range | |
| 59. Fuel quantity in CG trim tank | Full Range | ±5% | (1 per 64 sec.) | 1% of full range | |
| 60. Primary Navigation System Reference | Discrete GPS, INS, VOR/DME, MLS, Localizer Glideslope | 4 | A suitable combination of discretes to determine the Primary Navigation System reference. | ||
| 61. Ice Detection | Discrete “ice” or “no ice” | 4 | |||
| 62. Engine warning each engine vibration | Discrete | 1 | |||
| 63. Engine warning each engine over temp | Discrete | 1 | |||
| 64. Engine warning each engine oil pressure low | Discrete | 1 | |||
| 65. Engine warning each engine over speed | Discrete | 1 | |||
| 66. Yaw Trim Surface Position | Full Range | ±3% Unless Higher Accuracy Uniquely Required | 2 | 0.3% of full range | |
| 67. Roll Trim Surface Position | Full Range | ±3% Unless Higher Accuracy Uniquely Required | 2 | 0.3% of full range | |
| 68. Brake Pressure (left and right) | As installed | ±5% | 1 | To determine braking effort applied by pilots or by autobrakes. | |
| 69. Brake Pedal Application (left and right) | Discrete or Analog “applied” or “off” | ±5% (Analog) | 1 | To determine braking applied by pilots. | |
| 70. Yaw or sideslip angle | Full Range | ±5% | 1 | 0.5° | |
| 71. Engine bleed valve position | Discrete “open” or “closed” | 4 | |||
| 72. De-icing or anti-icing system selection | Discrete “on” or “off” | 4 | |||
| 73. Computed center of gravity | Full Range | ±5% | (1 per 64 sec.) | 1% of full range | |
| 74. AC electrical bus status | Discrete “power” or “off” | 4 | Each bus. | ||
| 75. DC electrical bus status | Discrete “power” or “off” | 4 | Each bus. | ||
| 76 APU bleed valve position | Discrete “open” or “closed” | 4 | |||
| 77. Hydraulic Pressure (each system) | Full range | ±5% | 2 | 100 psi | |
| 78. Loss of cabin pressure | Discrete “loss” or “normal” | 1 | |||
| 79. Computer failure (critical flight and engine control systems) | Discrete “fail” or “normal” | 4 | |||
| 80. Heads-up display (when an information source is installed) | Discrete(s) “on” or “off” | 4 | |||
| 81. Para-visual display (when an information source is installed) | Discrete(s) “on” or “off” | ||||
| 82. Cockpit trim control input position—pitch | Full Range | ±5% | 1 | 0.2% of full range | Where mechanical means for control inputs are not available, cockpit display trim positions should be recorded. |
| 83. Cockpit trim control input position—roll | Full Range | ±5% | 1 | 0.7% of full range | Where mechanical means for control inputs are not available, cockpit display trim position should be recorded. |
| 84. Cockpit trim control input position—yaw | Full range | ±5% | 1 | 0.3% of full range | Where mechanical means for control input are not available, cockpit display trim positions should be recorded. |
| 85. Trailing edge flap and cockpit flap control position | Full Range | ±5% | 2 | 0.5% of full range | Trailing edge flaps and cockpit flap control position may each be sampled alternately at 4 second intervals to provide a sample each 0.5 second. |
| 86. Leading edge flap and cockpit flap control position | Full Range or Discrete | ±5% | 1 | 0.5% of full range | |
| 87. Ground spoiler position and speed brake selection | Full range or discrete | ±5% | 0.5 | 0.3% of full range | |
| 88. All cockpit flight control input forces (control wheel, control column, rudder pedal) 18 19 | Full range
Control wheel ±70 lbs Control column ±85 lbs Rudder pedal ±165 lbs | ±5% | 1 | 0.3% of full range | For fly-by-wire flight control systems, where flight control surface position is a function of the displacement of the control input device only, it is not necessary to record this parameter. For airplanes that have a flight control break away capability that allows either pilot to operate the control independently, record both control force inputs. The control force inputs may be sampled alternately once per 2 seconds to produce the sampling interval of 1. |
| 89. Yaw damper status | Discrete (on/off) | 0.5 | |||
| 90. Yaw damper command | Full range | As installed | 0.5 | 1% of full range | |
| 91. Standby rudder valve status | Discrete | 0.5 |
1 For A300 B2/B4 airplanes, resolution = 6 seconds.
2 For A330/A340 series airplanes, resolution = 0.703°.
3 For A318/A319/A320/A321 series airplanes, resolution = 0.275% (0.088°>0.064°).
For A330/A340 series airplanes, resolution = 2.20%(0.703°>0.064°).
4 For A318/A319/A320/A321 series airplanes, resolution = 0.22% (0.088°>0.080°).
For A330/A340 series airplanes, resolution = 1.76% (0.703°>0.080°).
5 For A330/A340 series airplanes, resolution = 1.18% (0.703° >0.120°).
For A330/A340 series airplanes, seconds per sampling interval = 1.
6 For A330/A340 series airplanes, resolution = 0.783% (0.352°>0.090°).
7 For A330/A340 series airplanes, aileron resolution = 0.704% (0.352°>0.100°). For A330/A340 series airplanes, spoiler resolution = 1.406% (0.703°>0.100°).
8 For A330/A340 series airplanes, resolution = 0.30% (0.176°>0.12°).
For A330/A340 series airplanes, seconds per sampling interval = 1.
9 For B-717 series airplanes, resolution = .005g. For Dassault F900C/F900EX airplanes, resolution = .007g.
10 For A330/A340 series airplanes, resolution = 1.05% (0.250°>0.120°).
11 For A330/A340 series airplanes, resolution = 1.05% (0.250°>0.120°). For A300 B2/B4 series airplanes, resolution = 0.92% (0.230°>0.125°).
12 For A330/A340 series airplanes, spoiler resolution = 1.406% (0.703°>0.100°).
13 For A330/A340 series airplanes, resolution = 0.5°C.
14 For Dassault F900C/F900EX airplanes, Radio altitude resolution = 1.25 ft.
15 For A330/A340 series airplanes, resolution = 0.352 degrees.
16 For A318/A319/A320/A321 series airplanes, resolution = 4.32%. For A330/A340 series airplanes, resolution is 3.27% of full range for throttle lever angle (TLA); for reverse thrust, reverse throttle lever angle (RLA) resolution is nonlinear over the active reverse thrust range, which is 51.54 degrees to 96.14 degrees. The resolved element is 2.8 degrees uniformly over the entire active reverse thrust range, or 2.9% of the full range value of 96.14 degrees.
17 For A318/A319/A320/A321 series airplanes, with IAE engines, resolution = 2.58%.
18 For all aircraft manufactured on or after December 6, 2010, the seconds per sampling interval is 0.125. Each input must be recorded at this rate. Alternately sampling inputs (interleaving) to meet this sampling interval is prohibited.
19 For 737 model airplanes manufactured between August 19, 2000 and April 6, 2010: the seconds per sampling interval is 0.5 per control input; the remarks regarding the sampling rate do not apply; a single control wheel force transducer installed on the left cable control is acceptable provided the left and right control wheel positions also are recorded.
This appendix prescribes the requirements for hazardous materials training under part 121, subpart Z, and part 135, subpart K of this chapter. The training requirements for various categories of persons are defined by job function or responsibility. An “X” in a box under a category of persons indicates that the specified category must receive the noted training. All training requirements apply to direct supervisors as well as to persons actually performing the job function. Training requirements for certificate holders authorized in their operations specifications to transport hazardous materials (will-carry) are prescribed in Table 1. Those certificate holders with a prohibition in their operations specifications against carrying or handling hazardous materials (will-not-carry) must follow the curriculum prescribed in Table 2. The method of delivering the training will be determined by the certificate holder. The certificate holder is responsible for providing a method (may include email, telecommunication, etc.) to answer all questions prior to testing regardless of the method of instruction. The certificate holder must certify that a test has been completed satisfactorily to verify understanding of the regulations and requirements.
Table 1—Operators That Transport Hazardous Material—Will-Carry Certificate Holders
| Aspects of transport of hazardous materials by air with which they must be familiar, as a minimum
(See note 1) | Shippers
(See Note 2) Will-carry | Operators and ground-handling agent's staff accepting hazardous materials
(See Note 3) Will-carry | Operators and ground-handling agents staff responsible for the handling, storage, and loading of cargo and baggage
Will-carry | Passenger-handling staff
Will-carry | Flight crew members and load planners
Will-carry | Crew members
(other than flight crew members) Will-carry |
|---|---|---|---|---|---|---|
| General philosophy | X | X | X | X | X | X |
| Limitations | X | X | X | X | X | X |
| General requirements for shippers | X | X | ||||
| Classification | X | X | ||||
| List of hazardous materials | X | X | X | |||
| General packing requirements | X | X | ||||
| Labeling and marking | X | X | X | X | X | X |
| Hazardous materials transport document and other relevant documentation | X | X | ||||
| Acceptance procedures | X | |||||
| Recognition of undeclared hazardous materials | X | X | X | X | X | X |
| Storage and loading procedures | X | X | X | |||
| Pilots' notification | X | X | X | |||
| Provisions for passengers and crew | X | X | X | X | X | |
| Emergency procedures | X | X | X | X | X | X |
Note 1. Depending on the responsibilities of the person, the aspects of training to be covered may vary from those shown in the table.
Note 2. When a person offers a consignment of hazmat, including COMAT, for or on behalf of the certificate holder, then the person must be trained in the certificate holder's training program and comply with shipper responsibilities and training. If offering goods on another certificate holder's equipment, the person must be trained in compliance with the training requirements in 49 CFR. All shippers of hazmat must be trained under 49 CFR. The shipper functions in 49 CFR mirror the training aspects that must be covered for any shipper offering hazmat for transport.
Note 3. When an operator, its subsidiary, or an agent of the operator is undertaking the responsibilities of acceptance staff, such as the passenger handling staff accepting small parcel cargo, the certificate holder, its subsidy, or the agent must be trained in the certificate holder's training program and comply with the acceptance staff training requirements.
Table 2—Operators That Do Not Transport Hazardous Materials—Will-Not-Carry Certificate Holders
| Aspects of transport of hazardous materials by air with which they must be familiar, as a minimum
(See Note 1) | Shippers
(See Note 2) Will-not-carry | Operators and ground-handling agent's staff accepting cargo other than hazardous materials
(See Note 3) Will-not-carry | Operators and ground-handling agents staff responsible for the handling, storage, and loading of cargo and baggage
Will-not-carry | Passenger-handling staff
Will-not-carry | Flight crew members and load planners
Will-not-carry | Crew members (other than flight crew members)
Will-not-carry |
|---|---|---|---|---|---|---|
| General philosophy | X | X | X | X | X | X |
| Limitations | X | X | X | X | X | X |
| General requirements for shippers | X | |||||
| Classification | X | |||||
| List of hazardous materials | X | |||||
| General packing requirements | X | |||||
| Labeling and marking | X | X | X | X | X | X |
| Hazardous materials transport document and other relevant documentation | X | X | ||||
| Acceptance procedures | ||||||
| Recognition of undeclared hazardous materials | X | X | X | X | X | X |
| Storage and loading procedures | ||||||
| Pilots' notification | ||||||
| Provisions for passengers and Crew | X | X | X | X | X | |
| Emergency procedures | X | X | X | X | X | X |
Note 1—Depending on the responsibilities of the person, the aspects of training to be covered may vary from those shown in the table.
Note 2—When a person offers a consignment of hazmat, including COMAT, for air transport for or on behalf of the certificate holder, then that person must be properly trained. All shippers of hazmat must be trained under 49 CFR. The shipper functions in 49 CFR mirror the training aspects that must be covered for any shipper, including a will-not-carry certificate holder offering dangerous goods for transport, with the exception of recognition training. Recognition training is a separate FAA requirement in the certificate holder's training program.
Note 3—When an operator, its subsidiary, or an agent of the operator is undertaking the responsibilities of acceptance staff, such as the passenger handling staff accepting small parcel cargo, the certificate holder, its subsidiary, or the agent must be trained in the certificate holder's training program and comply with the acceptance staff training requirements.
The FAA approves ETOPS in accordance with the requirements and limitations in this appendix.
Section I. ETOPS Approvals: Airplanes with Two engines.
(a) Propulsion system reliability for ETOPS. (1) Before the FAA grants ETOPS operational approval, the operator must be able to demonstrate the ability to achieve and maintain the level of propulsion system reliability, if any, that is required by § 21.4(b)(2) of this chapter for the ETOPS-approved airplane-engine combination to be used.
(2) Following ETOPS operational approval, the operator must monitor the propulsion system reliability for the airplane-engine combination used in ETOPS, and take action as required by § 121.374(i) for the specified IFSD rates.
(b) 75 Minutes ETOPS—(1) Caribbean/Western Atlantic Area. The FAA grants approvals to conduct
ETOPS with maximum diversion times up to 75 minutes on Western Atlantic/Caribbean area routes as follows:
(i) The FAA reviews the airplane-engine combination to ensure the absence of factors that could prevent safe operations. The airplane-engine combination need not be type-design-approved for ETOPS; however, it must have sufficient favorable experience to demonstrate to the Administrator a level of reliability appropriate for 75-minute ETOPS.
(ii) The certificate holder must comply with the requirements of § 121.633 for time-limited system planning.
(iii) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
(iv) The certificate holder must comply with the maintenance program requirements of § 121.374, except that a pre-departure service check before departure of the return flight is not required.
(2) Other Areas. The FAA grants approvals to conduct ETOPS with maximum diversion times up to 75 minutes on other than Western Atlantic/Caribbean area routes as follows:
(i) The FAA reviews the airplane-engine combination to ensure the absence of factors that could prevent safe operations. The airplane-engine combination need not be type-design-approved for ETOPS; however, it must have sufficient favorable experience to demonstrate to the Administrator a level of reliability appropriate for 75-minute ETOPS.
(ii) The certificate holder must comply with the requirements of § 121.633 for time-limited system planning.
(iii) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
(iv) The certificate holder must comply with the maintenance program requirements of § 121.374.
(v) The certificate holder must comply with the MEL in its operations specifications for 120-minute ETOPS.
(c) 90-minutes ETOPS (Micronesia). The FAA grants approvals to conduct ETOPS with maximum diversion times up to 90 minutes on Micronesian area routes as follows:
(1) The airplane-engine combination must be type-design approved for ETOPS of at least 120-minutes.
(2) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
(3) The certificate holder must comply with the maintenance program requirements of § 121.374, except that a pre-departure service check before departure of the return flight is not required.
(4) The certificate holder must comply with the MEL requirements in its operations specifications for 120-minute ETOPS.
(d) 120-minute ETOPS. The FAA grants approvals to conduct ETOPS with maximum diversion times up to 120 minutes as follows:
(1) The airplane-engine combination must be type-design-approved for ETOPS of at least 120 minutes.
(2) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
(3) The certificate holder must comply with the maintenance program requirements of § 121.374.
(4) The certificate holder must comply with the MEL requirements for 120-minute ETOPS.
(e) 138-Minute ETOPS. The FAA grants approval to conduct ETOPS with maximum diversion times up to 138 minutes as follows:
(1) Operators with 120-minute ETOPS approval. The FAA grants 138-minute ETOPS approval as an extension of an existing 120-minute ETOPS approval as follows:
(i) The authority may be exercised only for specific flights for which the 120-minute diversion time must be exceeded.
(ii) For these flight-by-flight exceptions, the airplane-engine combination must be type-design-approved for ETOPS up to at least 120 minutes. The capability of the airplane's time-limited systems may not be less than 138 minutes calculated in accordance with § 121.633.
(iii) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
(iv) The certificate holder must comply with the maintenance program requirements of § 121.374.
(v) The certificate holder must comply with minimum equipment list (MEL) requirements in its operations specifications for “beyond 120 minutes ETOPS”. Operators without a “beyond 120-minute ETOPS” MEL may apply through their responsible Flight Standards office for a modified MEL which satisfies the master MEL policy for system/component relief in ETOPS beyond 120 minutes.
(vi) The certificate holder must conduct training for maintenance, dispatch, and flight crew personnel regarding differences between 138-minute ETOPS authority and its previously-approved 120-minute ETOPS authority.
(2) Operators with existing 180-minute ETOPS approval. The FAA grants approvals to conduct 138-minute ETOPS (without the limitation in paragraph (e)(1)(i) of section I of this appendix) to certificate holders with existing 180-minute ETOPS approval as follows:
(i) The airplane-engine combination must be type-design-approved for ETOPS of at least 180 minutes.
(ii) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
(iii) The certificate holder must comply with the maintenance program requirements of § 121.374.
(iv) The certificate holder must comply with the MEL requirements for “beyond 120 minutes ETOPS.”
(v) The certificate holder must conduct training for maintenance, dispatch and flight crew personnel for differences between 138-minute ETOPS diversion approval and its previously approved 180-minute ETOPS diversion authority.
(f) 180-minute ETOPS. The FAA grants approval to conduct ETOPS with diversion times up to 180 minutes as follows:
(1) For these operations the airplane-engine combination must be type-design-approved for ETOPS of at least 180 minutes.
(2) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
(3) The certificate holder must comply with the maintenance program requirements of § 121.374.
(4) The certificate holder must comply with the MEL requirements for “beyond 120 minutes ETOPS.”
(g) Greater than 180-minute ETOPS. The FAA grants approval to conduct ETOPS greater than 180 minutes. The following are requirements for all operations greater than 180 minutes.
(1) The FAA grants approval only to certificate holders with existing 180-minute ETOPS operating authority for the airplane-engine combination to be operated.
(2) The certificate holder must have previous ETOPS experience satisfactory to the Administrator.
(3) In selecting ETOPS Alternate Airports, the operator must make every effort to plan ETOPS with maximum diversion distances of 180 minutes or less, if possible. If conditions necessitate using an ETOPS Alternate Airport beyond 180 minutes, the route may be flown only if the requirements for the specific operating area in paragraph (h) or (i) of section I of this appendix are met.
(4) The certificate holder must inform the flight crew each time an airplane is proposed for dispatch for greater than 180 minutes and tell them why the route was selected.
(5) In addition to the equipment specified in the certificate holder's MEL for 180-minute ETOPS, the following systems must be operational for dispatch:
(i) The fuel quantity indicating system.
(ii) The APU (including electrical and pneumatic supply and operating to the APU's designed capability).
(iii) The auto throttle system.
(iv) The communication system required by § 121.99(d) or § 121.122(c), as applicable.
(v) One-engine-inoperative auto-land capability, if flight planning is predicated on its use.
(6) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
(7) The certificate holder must comply with the maintenance program requirements of § 121.374.
(h) 207-minute ETOPS in the North Pacific Area of Operations. (1) The FAA grants approval to conduct ETOPS with maximum diversion times up to 207 minutes in the North Pacific Area of Operations as an extension to 180-minute ETOPS authority to be used on an exception basis. This exception may be used only on a flight-by-flight basis when an ETOPS Alternate Airport is not available within 180 minutes for reasons such as political or military concerns; volcanic activity; temporary airport conditions; and airport weather below dispatch requirements or other weather related events.
(2) The nearest available ETOPS Alternate Airport within 207 minutes diversion time must be specified in the dispatch or flight release.
(3) In conducting such a flight the certificate holder must consider Air Traffic Service's preferred track.
(4) The airplane-engine combination must be type-design-approved for ETOPS of at least 180 minutes. The approved time for the airplane's most limiting ETOPS significant system and most limiting cargo-fire suppression time for those cargo and baggage compartments required by regulation to have fire-suppression systems must be at least 222 minutes.
(5) The certificate holder must track how many times 207-minute authority is used.
(i) 240-minute ETOPS in the North Polar Area, in the area north of the NOPAC, and in the Pacific Ocean north of the equator. (1) The FAA grants approval to conduct 240-minute ETOPS authority with maximum diversion times in the North Polar Area, in the area north of the NOPAC area, and the Pacific Ocean area north of the equator as an extension to 180-minute ETOPS authority to be used on an exception basis. This exception may be used only on a flight-by-flight basis when an ETOPS Alternate Airport is not available within 180 minutes. In that case, the nearest available ETOPS Alternate Airport within 240 minutes diversion time must be specified in the dispatch or flight release.
(2) This exception may be used in the North Polar Area and in the area north of NOPAC only in extreme conditions particular to these areas such as volcanic activity, extreme cold weather at en-route airports, airport weather below dispatch requirements, temporary airport conditions, and other weather related events. The criteria used by the certificate holder to decide that extreme weather precludes using an airport must be established by the certificate holder, accepted by the FAA, and published in the certificate holder's manual for the use of dispatchers and pilots.
(3) This exception may be used in the Pacific Ocean area north of the equator only for reasons such as political or military concern, volcanic activity, airport weather below dispatch requirements, temporary airport conditions and other weather related events.
(4) The airplane-engine combination must be type design approved for ETOPS greater than 180 minutes.
(j) 240-minute ETOPS in areas South of the equator. (1) The FAA grants approval to conduct ETOPS with maximum diversion times of up to 240 minutes in the following areas:
(i) Pacific oceanic areas between the U.S. West coast and Australia, New Zealand and Polynesia.
(ii) South Atlantic oceanic areas.
(iii) Indian Ocean areas.
(iv) Oceanic areas between Australia and South America.
(2) The operator must designate the nearest available ETOPS Alternate Airports along the planned route of flight.
(3) The airplane-engine combination must be type-design-approved for ETOPS greater than 180 minutes.
(k) ETOPS beyond 240 minutes. (1) The FAA grants approval to conduct ETOPS with diversion times beyond 240 minutes for operations between specified city pairs on routes in the following areas:
(i) The Pacific oceanic areas between the U.S. west coast and Australia, New Zealand, and Polynesia;
(ii) The South Atlantic oceanic areas;
(iii) The Indian Oceanic areas; and
(iv) The oceanic areas between Australia and South America, and the South Polar Area.
(2) This approval is granted to certificate holders who have been operating under 180-minute or greater ETOPS authority for at least 24 consecutive months, of which at least 12 consecutive months must be under 240-minute ETOPS authority with the airplane-engine combination to be used.
(3) The operator must designate the nearest available ETOPS alternate or alternates along the planned route of flight.
(4) For these operations, the airplane-engine combination must be type-design-approved for ETOPS greater than 180 minutes.
Section II. ETOPS Approval: Passenger-carrying Airplanes With More Than Two Engines.
(a) The FAA grants approval to conduct ETOPS, as follows:
(1) Except as provided in § 121.162, the airplane-engine combination must be type-design-approved for ETOPS.
(2) The operator must designate the nearest available ETOPS Alternate Airports within 240 minutes diversion time (at one-engine-inoperative cruise speed under standard conditions in still air). If an ETOPS alternate is not available within 240 minutes, the operator must designate the nearest available ETOPS Alternate Airports along the planned route of flight.
(3) The MEL limitations for the authorized ETOPS diversion time apply.
(i) The Fuel Quantity Indicating System must be operational.
(ii) The communications systems required by § 121.99(d) or § 121.122(c) must be operational.
(4) The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
Section III. Approvals for operations whose airplane routes are planned to traverse either the North Polar or South Polar Areas.
(a) Except for intrastate operations within the State of Alaska, no certificate holder may operate an aircraft in the North Polar Area or South Polar Area, unless authorized by the FAA.
(b) In addition to any of the applicable requirements of sections I and II of this appendix, the certificate holder's operations specifications must contain the following:
(1) The designation of airports that may be used for en-route diversions and the requirements the airports must meet at the time of diversion.
(2) Except for supplemental all-cargo operations, a recovery plan for passengers at designated diversion airports.
(3) A fuel-freeze strategy and procedures for monitoring fuel freezing.
(4) A plan to ensure communication capability for these operations.
(5) An MEL for these operations.
(6) A training plan for operations in these areas.
(7) A plan for mitigating crew exposure to radiation during solar flare activity.
(8) A plan for providing at least two cold weather anti-exposure suits in the aircraft, to protect crewmembers during outside activity at a diversion airport with extreme climatic conditions. The FAA may relieve the certificate holder from this requirement if the season of the year makes the equipment unnecessary.
(a) Except as provided in paragraphs (b) through (d) of this section, this part prescribes rules governing the operations of U.S.-registered civil airplanes and powered-lift, when those aircraft have a seating configuration of 20 or more passengers or a maximum payload capacity of 6,000 pounds or more when common carriage is not involved.
(b) The rules of this part do not apply to the operations of aircraft specified in paragraph (a) of this section, when—
(1) They are required to be operated under part 121, 129, 135, or 137 of this chapter;
(2) They have been issued restricted, limited, or provisional airworthiness certificates, special flight permits, or experimental certificates;
(3) They are being operated by a part 125 certificate holder without carrying passengers or cargo under part 91 for training, ferrying, positioning, or maintenance purposes;
(4) They are being operated under part 91 of this chapter by an operator certificated to operate those aircraft under the rules of part 121, 135, or 137 of this chapter, they are being operated under the applicable rules of part 121 or 135 of this chapter by an applicant for a certificate under part 119 of this chapter or they are being operated by a foreign air carrier or a foreign person engaged in common carriage solely outside the United States under part 91 of this chapter;
(5) They are being operated under a deviation authority issued under § 125.3;
(6) They are being operated under part 91, subpart K by a fractional owner as defined in § 91.1001 of this chapter; or
(7) They are being operated by a fractional ownership program manager as defined in § 91.1001 of this chapter, for training, ferrying, positioning, maintenance, or demonstration purposes under part 91 of this chapter and without carrying passengers or cargo for compensation or hire except as permitted for demonstration flights under § 91.501(b)(3) of this chapter.
(c) This part, except § 125.247, does not apply to the operation of aircraft specified in paragraph (a) of this section when they are operated outside the United States by a person who is not a citizen of the United States.
(d) The provisions of this part apply to each person on board an aircraft being operated under this part, unless otherwise specified.
(e) This part also establishes requirements for operators to take actions to support the continued airworthiness of each aircraft.
(a) The Administrator may, upon consideration of the circumstances of a particular operation, issue deviation authority providing relief from specified sections of part 125. This deviation authority will be issued as a Letter of Deviation Authority.
(b) A Letter of Deviation Authority may be terminated or amended at any time by the Administrator.
(c) A request for deviation authority must be submitted to the responsible Flight Standards office, not less than 60 days prior to the date of intended operations. A request for deviation authority must contain a complete statement of the circumstances and justification for the deviation requested.
(d) After February 2, 2012, no deviation authority from the flight data recorder requirements of this part will be granted. Any previously issued deviation from the flight data recorder requirements of this part is no longer valid.
(a) After February 3, 1981, no person may engage in operations governed by this part unless that person holds a certificate and operations specification or appropriate deviation authority.
(b) Applicants who file an application before June 1, 1981 shall continue to operate under the rules applicable to their operations on February 2, 1981 until the application for an operating certificate required by this part has been denied or the operating certificate and operations specifications required by this part have been issued.
(c) The rules of this part which apply to a certificate holder also apply to any person who engages in any operation governed by this part without an appropriate certificate and operations specifications required by this part or a Letter of Deviation Authority issued under § 125.3.
(a) The certificate holder must display a true copy of the certificate in each of its aircraft.
(b) Each operator holding a Letter of Deviation Authority issued under this part must carry a true copy in each of its airplanes.
(a) For the purposes of this part, maximum payload capacity means:
(1) For an airplane for which a maximum zero fuel weight is prescribed in FAA technical specifications, the maximum zero fuel weight, less empty weight, less all justifiable airplane equipment, and less the operating load (consisting of minimum flightcrew, foods and beverages and supplies and equipment related to foods and beverages, but not including disposable fuel or oil):
(2) For all other airplanes, the maximum certificated takeoff weight of an airplane, less the empty weight, less all justifiable airplane equipment, and less the operating load (consisting of minimum fuel load, oil, and flightcrew). The allowance for the weight of the crew, oil, and fuel is as follows:
(i) Crew—200 pounds for each crewmember required under this chapter
(ii) Oil—350 pounds.
(iii) Fuel—the minimum weight of fuel required under this chapter for a flight between domestic points 174 nautical miles apart under VFR weather conditions that does not involve extended overwater operations.
(b) For the purposes of this part, empty weight means the weight of the airframe, engines, propellers, and fixed equipment. Empty weight excludes the weight of the crew and payload, but includes the weight of all fixed ballast, unusable fuel supply, undrainable oil, total quantity of engine coolant, and total quantity of hydraulic fluid.
(c) For the purposes of this part, maximum zero fuel weight means the maximum permissible weight of an airplane with no disposable fuel or oil. The zero fuel weight figure may be found in either the airplane type certificate data sheet or the approved Airplane Flight Manual, or both.
(d) For the purposes of this section, justifiable airplane equipment means any equipment necessary for the operation of the airplane. It does not include equipment or ballast specifically installed, permanently or otherwise, for the purpose of altering the empty weight of an airplane to meet the maximum payload capacity.
(a) No person is eligible for a certificate or operations specifications under this part if the person holds the appropriate operating certificate and/or operations specifications necessary to conduct operations under part 121, 129 or 135 of this chapter.
(b) No certificate holder may conduct any operation which results directly or indirectly from any person's holding out to the public to furnish transportation.
(c) No person holding operations specifications under this part may operate or list on its operations specifications any aircraft listed on any operations specifications or other required aircraft listing under part 121, 129, or 135 of this chapter.
(a) Each applicant for the issuance of an operating certificate must submit an application in a form and manner prescribed by the Administrator to the responsible Flight Standards office in whose area the applicant proposes to establish or has established its principal operations base. The application must be submitted at least 60 days before the date of intended operations.
(b) Each application submitted under paragraph (a) of this section must contain a signed statement showing the following:
(1) The name and address of each director and each officer or person employed or who will be employed in a management position described in § 125.25.
(2) A list of flight crewmembers with the type of airman certificate held, including ratings and certificate numbers.
Each person operating an aircraft in operations under this part shall—
(a) While operating inside the United States, comply with the applicable rules in part 91 of this chapter; and
(b) While operating outside the United States, comply with Annex 2, Rules of the Air, to the Convention on International Civil Aviation or the regulations of any foreign country, whichever applies, and with any rules of parts 61 and 91 of this chapter and this part that are more restrictive than that Annex or those regulations and that can be complied with without violating that Annex or those regulations. Annex 2 is incorporated by reference in § 91.703(b) of this chapter.
(a) Each applicant for a certificate under this part must show that it has enough management personnel, including at least a director of operations, to assure that its operations are conducted in accordance with the requirements of this part.
(b) Each applicant shall—
(1) Set forth the duties, responsibilities, and authority of each of its management personnel in the general policy section of its manual;
(2) List in the manual the names and addresses of each of its management personnel;
(3) Designate a person as responsible for the scheduling of inspections required by the manual and for the updating of the approved weight and balance system on all airplanes.
(c) Each certificate holder shall notify the responsible Flight Standards office charged with the overall inspection of the certificate holder of any change made in the assignment of persons to the listed positions within 10 days, excluding Saturdays, Sundays, and Federal holidays, of such change.
(a) Except as specified in paragraph (c) of this section, no certificate holder may knowingly employ or make a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual, in the preceding 2 years—
(1) Served as, or was directly responsible for the oversight of, a Flight Standards Service aviation safety inspector; and
(2) Had direct responsibility to inspect, or oversee the inspection of, the operations of the certificate holder.
(b) For the purpose of this section, an individual shall be considered to be acting as an agent or representative of a certificate holder in a matter before the agency if the individual makes any written or oral communication on behalf of the certificate holder to the agency (or any of its officers or employees) in connection with a particular matter, whether or not involving a specific party and without regard to whether the individual has participated in, or had responsibility for, the particular matter while serving as a Flight Standards Service aviation safety inspector.
(c) The provisions of this section do not prohibit a certificate holder from knowingly employing or making a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual was employed by the certificate holder before October 21, 2011.
(a) An applicant for a certificate under this subpart is entitled to a certificate if the Administrator finds that the applicant is properly and adequately equipped and able to conduct a safe operation in accordance with the requirements of this part and the operations specifications provided for in this part.
(b) The Administrator may deny an application for a certificate under this subpart if the Administrator finds—
(1) That an operating certificate required under this part or part 121, 123, or 135 of this chapter previously issued to the applicant was revoked; or
(2) That a person who was employed in a management position under § 125.25 of this part with (or has exercised control with respect to) any certificate holder under part 121, 123, 125, or 135 of this chapter whose operating certificate has been revoked, will be employed in any of those positions or a similar position with the applicant and that the person's employment or control contributed materially to the reasons for revoking that certificate.
(a) A certificate issued under this part is effective until surrendered, suspended, or revoked.
(b) The Administrator may suspend or revoke a certificate under section 609 of the Federal Aviation Act of 1958 and the applicable procedures of part 13 of this chapter for any cause that, at the time of suspension or revocation, would have been grounds for denying an application for a certificate.
(c) If the Administrator suspends or revokes a certificate or it is otherwise terminated, the holder of that certificate shall return it to the Administrator.
(a) Each certificate issued under this part contains the following:
(1) The holder's name.
(2) A description of the operations authorized.
(3) The date it is issued.
(b) The operations specifications issued under this part contain the following:
(1) The kinds of operations authorized.
(2) The types and registration numbers of airplanes authorized for use.
(3) Approval of the provisions of the operator's manual relating to airplane inspections, together with necessary conditions and limitations.
(4) Registration numbers of airplanes that are to be inspected under an approved airplane inspection program under § 125.247.
(5) Procedures for control of weight and balance of airplanes.
(6) Any other item that the Administrator determines is necessary to cover a particular situation.
Operations specifications are not a part of an operating certificate.
(a) The responsible Flight Standards office charged with the overall inspection of the certificate holder may amend any operations specifications issued under this part if—
(1) It determines that safety in air commerce requires that amendment; or
(2) Upon application by the holder, the responsible Flight Standards office determines that safety in air commerce allows that amendment.
(b) The certificate holder must file an application to amend operations specifications at least 15 days before the date proposed by the applicant for the amendment to become effective, unless a shorter filing period is approved. The application must be on a form and in a manner prescribed by the Administrator and be submitted to the responsible Flight Standards office charged with the overall inspection of the certificate holder.
(c) Within 30 days after a notice of refusal to approve a holder's application for amendment is received, the holder may petition the Executive Director, Flight Standards Service, to reconsider the refusal to amend.
(d) When the responsible Flight Standards office charged with the overall inspection of the certificate holder amends operations specifications, the responsible Flight Standards office gives notice in writing to the holder of a proposed amendment to the operations specifications, fixing a period of not less than 7 days within which the holder may submit written information, views, and arguments concerning the proposed amendment. After consideration of all relevant matter presented, the responsible Flight Standards office notifies the holder of any amendment adopted, or a rescission of the notice. That amendment becomes effective not less than 30 days after the holder receives notice of the adoption of the amendment, unless the holder petitions the Executive Director, Flight Standards Service, for reconsideration of the amendment. In that case, the effective date of the amendment is stayed pending a decision by the Executive Director. If the Executive Director finds there is an emergency requiring immediate action as to safety in air commerce that makes the provisions of this paragraph impracticable or contrary to the public interest, the Executive Director notifies the certificate holder that the amendment is effective on the date of receipt, without previous notice.
(a) Each flight crewmember and flight attendant must be relieved from all duty for at least 8 consecutive hours during any 24-hour period.
(b) The Administrator may specify rest, flight time, and duty time limitations in the operations specifications that are other than those specified in paragraph (a) of this section.
If the holder of a certificate issued under this part permits any airplane owned or leased by that holder to be engaged in any operation that the certificate holder knows to be in violation of § 91.19(a) of this chapter, that operation is a basis for suspending or revoking the certificate.
Each certificate holder shall make its operating certificate and operations specifications available for inspection by the Administrator at its principal operations base.
(a) Each certificate holder shall keep each of its employees informed of the provisions of its operations specifications that apply to the employee's duties and responsibilities.
(b) Each certificate holder shall maintain a complete and separate set of its operations specifications. In addition, each certificate holder shall insert pertinent excerpts of its operations specifications, or reference thereto, in its manual in such a manner that they retain their identity as operations specifications.
Each certificate holder shall allow the Administrator, at any time or place, to make any inspections or tests to determine its compliance with the Federal Aviation Act of 1958, the Federal Aviation Regulations, its operating certificate and operations specifications, its letter of deviation authority, or its eligibililty to continue to hold its certificate or its letter of deviation authority.
Each certificate holder shall notify the responsible Flight Standards office charged with the overall inspection of its operations, in writing, at least 30 days in advance, of any change in the address of its principal business office, its principal operations base, or its principal maintenance base.
(a) No certificate holder may use any airport unless it is adequate for the proposed operation, considering such items as size, surface, obstructions, and lighting.
(b) No pilot of an airplane carrying passengers at night may take off from, or land on, an airport unless—
(1) That pilot has determined the wind direction from an illuminated wind direction indicator or local ground communications, or, in the case of takeoff, that pilot's personal observations; and
(2) The limits of the area to be used for landing or takeoff are clearly shown by boundary or runway marker lights.
(c) For the purposes of paragraph (b) of this section, if the area to be used for takeoff or landing is marked by flare pots or lanterns, their use must be approved by the Administrator.
(a) Except as provided in paragraph (b) of this section, no certificate holder may conduct any operation over a route (including to any destination, refueling or alternate airports) unless suitable navigation aids are available over the route to navigate the airplane along the route within the degree of accuracy required for ATC. Navigation aids required for routes outside of controlled airspace are listed in the certificate holder's operations specifications except for those aids required for routes to alternate airports.
(b) Navigation aids are not required for any of the following operations—
(1) Day VFR operations that the certificate holder shows can be conducted safely by pilotage because of the characteristics of the terrain;
(2) Night VFR operations on routes that the certificate holder shows have reliably lighted landmarks adequate for safe operations; and
(3) Other operations approved by the responsible Flight Standards office.
(a) Each certificate holder must have procedures established for locating each flight for which an FAA flight plan is not filed that—
(1) Provide the certificate holder with at least the information required to be included in a VFR flight plan;
(2) Provide for timely notification of an FAA facility or search and rescue facility, if an airplane is overdue or missing; and
(3) Provide the certificate holder with the location, date, and estimated time for reestablishing radio or telephone communications, if the flight will operate in an area where communications cannot be maintained.
(b) Flight locating information shall be retained at the certificate holder's principal operations base, or at other places designated by the certificate holder in the flight locating procedures, until the completion of the flight.
(c) Each certificate holder shall furnish the representative of the Administrator assigned to it with a copy of its flight locating procedures and any changes or additions, unless those procedures are included in a manual required under this part.
(a) Each certificate holder shall prepare and keep current a manual setting forth the certificate holder's procedures and policies acceptable to the Administrator. This manual must be used by the certificate holder's flight, ground, and maintenance personnel in conducting its operations. However, the Administrator may authorize a deviation from this paragraph if the Administrator finds that, because of the limited size of the operation, all or part of the manual is not necessary for guidance of flight, ground, or maintenance personnel.
(b) Each certificate holder shall maintain at least one copy of the manual at its principal operations base.
(c) The manual must not be contrary to any applicable Federal regulations, foreign regulation applicable to the certificate holder's operations in foreign countries, or the certificate holder's operating certificate or operations specifications.
(d) A copy of the manual, or appropriate portions of the manual (and changes and additions) shall be made available to maintenance and ground operations personnel by the certificate holder and furnished to—
(1) Its flight crewmembers; and
(2) The responsible Flight Standards office charged with the overall inspection of its operations.
(e) Each employee of the certificate holder to whom a manual or appropriate portions of it are furnished under paragraph (d)(1) of this section shall keep it up to date with the changes and additions furnished to them.
(f) The information and instructions contained in the manual must be displayed clearly and be retrievable in the English language.
(g) If a certificate holder conducts airplane inspections or maintenance at specified stations where it keeps the approved inspection program manual, it is not required to carry the manual aboard the airplane en route to those stations.
Each manual accessed in paper format must display the date of last revision on each page. Each manual accessed in electronic format must display the date of last revision in a manner in which a person can immediately ascertain it. The manual must include:
(a) The name of each management person who is authorized to act for the certificate holder, the person's assigned area of responsibility, and the person's duties, responsibilities, and authority;
(b) Procedures for ensuring compliance with airplane weight and balance limitations;
(c) Copies of the certificate holder's operations specifications or appropriate extracted information, including area of operations authorized, category and class of airplane authorized, crew complements, and types of operations authorized;
(d) Procedures for complying with accident notification requirements;
(e) Procedures for ensuring that the pilot in command knows that required airworthiness inspections have been made and that the airplane has been approved for return to service in compliance with applicable maintenance requirements;
(f) Procedures for reporting and recording mechanical irregularities that come to the attention of the pilot in command before, during, and after completion of a flight;
(g) Procedures to be followed by the pilot in command for determining that mechanical irregularities or defects reported for previous flights have been corrected or that correction has been deferred;
(h) Procedures to be followed by the pilot in command to obtain maintenance, preventive maintenance, and servicing of the airplane at a place where previous arrangements have not been made by the operator, when the pilot is authorized to so act for the operator;
(i) Procedures for the release for, or continuation of, flight if any item of equipment required for the particular type of operation becomes inoperative or unserviceable en route;
(j) Procedures for refueling airplanes, eliminating fuel contamination, protecting from fire (including electrostatic protection), and supervising and protecting passengers during refueling;
(k) Procedures to be followed by the pilot in command in the briefing under § 125.327;
(l) Flight locating procedures, when applicable;
(m) Procedures for ensuring compliance with emergency procedures, including a list of the functions assigned each category of required crewmembers in connection with an emergency and emergency evacuation;
(n) The approved airplane inspection program;
(o) Procedures and instructions to enable personnel to recognize hazardous materials, as defined in title 49 CFR, and if these materials are to be carried, stored, or handled, procedures and instructions for—
(1) Accepting shipment of hazardous material required by title 49 CFR, to assure proper packaging, marking, labeling, shipping documents, compatibility of articles, and instructions on their loading, storage, and handling;
(2) Notification and reporting hazardous material incidents as required by title 49 CFR; and
(3) Notification of the pilot in command when there are hazardous materials aboard, as required by title 49 CFR;
(p) Procedures for the evacuation of persons who may need the assistance of another person to move expeditiously to an exit if an emergency occurs;
(q) The identity of each person who will administer tests required by this part, including the designation of the tests authorized to be given by the person; and
(r) Other procedures and policy instructions regarding the certificate holder's operations that are issued by the certificate holder.
(a) Each certificate holder shall keep a current approved Airplane Flight Manual or approved equivalent for each type airplane that it operates.
(b) Each certificate holder shall carry the approved Airplane Flight Manual or the approved equivalent aboard each airplane it operates. A certificate holder may elect to carry a combination of the manuals required by this section and § 125.71. If it so elects, the certificate holder may revise the operating procedures sections and modify the presentation of performance from the applicable Airplane Flight Manual if the revised operating procedures and modified performance data presentation are approved by the Administrator. Any approved equivalent must include the information required by § 38.23 of this chapter identifying compliance with the fuel efficiency requirements of part 38 of this chapter.
(a) No certificate holder may operate an airplane governed by this part unless it—
(1) Carries an appropriate current airworthiness certificate issued under this chapter; and
(2) Is in an airworthy condition and meets the applicable airworthiness requirements of this chapter, including those relating to identification and equipment.
(b) No person may operate an airplane unless the current empty weight and center of gravity are calculated from the values established by actual weighing of the airplane within the preceding 36 calendar months.
(c) Paragraph (b) of this section does not apply to airplanes issued an original airworthiness certificate within the preceding 36 calendar months.
No certificate holder may operate a land airplane (other than a DC-3, C-46, CV-240, CV-340, CV-440, CV-580, CV-600, CV-640, or Martin 404) in an extended overwater operation unless it is certificated or approved as adequate for ditching under the ditching provisions of part 25 of this chapter.
(a) Except as provided in paragraph (b) of this section, no certificate holder may use an airplane powered by airplane engines rated at more than 600 horsepower each for maximum continuous operation unless that airplane meets the requirements of §§ 125.113 through 125.181.
(b) If the Administrator determines that, for a particular model of airplane used in cargo service, literal compliance with any requirement under paragraph (a) of this section would be extremely difficult and that compliance would not contribute materially to the objective sought, the Administrator may require compliance with only those requirements that are necessary to accomplish the basic objectives of this part.
(c) This section does not apply to any airplane certificated under—
(1) Part 4b of the Civil Air Regulations in effect after October 31, 1946;
(2) Part 25 of this chapter; or
(3) Special Civil Air Regulation 422, 422A, or 422B.
(a) Upon the first major overhaul of an airplane cabin or refurbishing of the cabin interior, all materials in each compartment used by the crew or passengers that do not meet the following requirements must be replaced with materials that meet these requirements:
(1) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, § 25.853 in effect on April 30, 1972.
(2) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the materials requirement under which the airplane was type certificated.
(b) Except as provided in paragraph (a) of this section, each compartment used by the crew or passengers must meet the following requirements:
(1) Materials must be at least flash resistant.
(2) The wall and ceiling linings and the covering of upholstering, floors, and furnishings must be flame resistant.
(3) Each compartment where smoking is to be allowed must be equipped with self-contained ash trays that are completely removable and other compartments must be placarded against smoking.
(4) Each receptacle for used towels, papers, and wastes must be of fire-resistant material and must have a cover or other means of containing possible fires started in the receptacles.
(c) Thermal/acoustic insulation materials. For transport category airplanes type certificated after January 1, 1958:
(1) For airplanes manufactured before September 2, 2005, when thermal/acoustic insulation is installed in the fuselage as replacements after September 2, 2005, the insulation must meet the flame propagation requirements of § 25.856 of this chapter, effective September 2, 2003, if it is:
(i) of a blanket construction or
(ii) Installed around air ducting.
(2) For airplanes manufactured after September 2, 2005, thermal/acoustic insulation materials installed in the fuselage must meet the flame propagation requirements of § 25.856 of this chapter, effective September 2, 2003.
In any case where internal doors are equipped with louvres or other ventilating means, there must be a means convenient to the crew for closing the flow of air through the door when necessary.
Each passenger or crew compartment must be suitably ventilated. Carbon monoxide concentration may not be more than one part in 20,000 parts of air, and fuel fumes may not be present. In any case where partitions between compartments have louvres or other means allowing air to flow between compartments, there must be a means convenient to the crew for closing the flow of air through the partitions when necessary.
(a) Each compartment must be designed so that, when used for storing cargo or baggage, it meets the following requirements:
(1) No compartment may include controls, wiring, lines, equipment, or accessories that would upon damage or failure, affect the safe operation of the airplane unless the item is adequately shielded, isolated, or otherwise protected so that it cannot be damaged by movement of cargo in the compartment and so that damage to or failure of the item would not create a fire hazard in the compartment.
(2) Cargo or baggage may not interfere with the functioning of the fire-protective features of the compartment.
(3) Materials used in the construction of the compartments, including tie-down equipment, must be at least flame resistant.
(4) Each compartment must include provisions for safeguarding against fires according to the classifications set forth in paragraphs (b) through (f) of this section.
(b) Class A. Cargo and baggage compartments are classified in the “A” category if a fire therein would be readily discernible to a member of the crew while at that crewmember's station, and all parts of the compartment are easily accessible in flight. There must be a hand fire extinguisher available for each Class A compartment.
(c) Class B. Cargo and baggage compartments are classified in the “B” category if enough access is provided while in flight to enable a member of the crew to effectively reach all of the compartment and its contents with a hand fire extinguisher and the compartment is so designed that, when the access provisions are being used, no hazardous amount of smoke, flames, or extinguishing agent enters any compartment occupied by the crew or passengers. Each Class B compartment must comply with the following:
(1) It must have a separate approved smoke or fire detector system to give warning at the pilot or flight engineer station.
(2) There must be a hand-held fire extinguisher available for the compartment.
(3) It must be lined with fire-resistant material, except that additional service lining of flame-resistant material may be used.
(d) Class C. Cargo and baggage compartments are classified in the “C” category if they do not conform with the requirements for the “A”, “B”, “D”, or “E” categories. Each Class C compartment must comply with the following:
(1) It must have a separate approved smoke or fire detector system to give warning at the pilot or flight engineer station.
(2) It must have an approved built-in fire-extinguishing system controlled from the pilot or flight engineer station.
(3) It must be designed to exclude hazardous quantities of smoke, flames, or extinguishing agents from entering into any compartment occupied by the crew or passengers.
(4) It must have ventilation and draft control so that the extinguishing agent provided can control any fire that may start in the compartment.
(5) It must be lined with fire-resistant material, except that additional service lining of flame-resistant material may be used.
(e) Class D. Cargo and baggage compartments are classified in the “D” category if they are so designed and constructed that a fire occurring therein will be completely confined without endangering the safety of the airplane or the occupants. Each Class D compartment must comply with the following:
(1) It must have a means to exclude hazardous quantities of smoke, flames, or noxious gases from entering any compartment occupied by the crew or passengers.
(2) Ventilation and drafts must be controlled within each compartment so that any fire likely to occur in the compartment will not progress beyond safe limits.
(3) It must be completely lined with fire-resistant material.
(4) Consideration must be given to the effect of heat within the compartment on adjacent critical parts of the airplane.
(f) Class E. On airplanes used for the carriage of cargo only, the cabin area may be classified as a Class “E” compartment. Each Class E compartment must comply with the following:
(1) It must be completely lined with fire-resistant material.
(2) It must have a separate system of an approved type smoke or fire detector to give warning at the pilot or flight engineer station.
(3) It must have a means to shut off the ventilating air flow to or within the compartment and the controls for that means must be accessible to the flightcrew in the crew compartment.
(4) It must have a means to exclude hazardous quantities of smoke, flames, or noxious gases from entering the flightcrew compartment.
(5) Required crew emergency exits must be accessible under all cargo loading conditions.
Compliance with those provisions of § 125.119 that refer to compartment accessibility, the entry of hazardous quantities of smoke or extinguishing agent into compartment occupied by the crew or passengers, and the dissipation of the extinguishing agent in Class “C” compartments must be shown by tests in flight. During these tests it must be shown that no inadvertent operation of smoke or fire detectors in other compartments within the airplane would occur as a result of fire contained in any one compartment, either during the time it is being extinguished, or thereafter, unless the extinguishing system floods those compartments simultaneously.
If combustible fluid is used for propeller deicing, the certificate holder must comply with § 125.153.
(a) Pressure cross-feed lines may not pass through parts of the airplane used for carrying persons or cargo unless there is a means to allow crewmembers to shut off the supply of fuel to these lines or the lines are enclosed in a fuel and fume-proof enclosure that is ventilated and drained to the exterior of the airplane. However, such an enclosure need not be used if those lines incorporate no fittings on or within the personnel or cargo areas and are suitably routed or protected to prevent accidental damage.
(b) Lines that can be isolated from the rest of the fuel system by valves at each end must incorporate provisions for relieving excessive pressures that may result from exposure of the isolated line to high temperatures.
(a) Fuel tanks must be located in accordance with § 125.153.
(b) No part of the engine nacelle skin that lies immediately behind a major air outlet from the engine compartment may be used as the wall of an integral tank.
(c) Fuel tanks must be isolated from personnel compartments by means of fume- and fuel-proof enclosures.
(a) Fuel lines must be installed and supported so as to prevent excessive vibration and so as to be adequate to withstand loads due to fuel pressure and accelerated flight conditions.
(b) Lines connected to components of the airplane between which there may be relative motion must incorporate provisions for flexibility.
(c) Flexible connections in lines that may be under pressure and subject to axial loading must use flexible hose assemblies rather than hose clamp connections.
(d) Flexible hoses must be of an acceptable type or proven suitable for the particular application.
Fuel lines and fittings in each designated fire zone must comply with § 125.157.
Each fuel valve must—
(a) Comply with § 125.155;
(b) Have positive stops or suitable index provisions in the “on” and “off” positions; and
(c) Be supported so that loads resulting from its operation or from accelerated flight conditions are not transmitted to the lines connected to the valve.
Oil lines and fittings in each designated fire zone must comply with § 125.157.
(a) Each oil valve must—
(1) Comply with § 125.155;
(2) Have positive stops or suitable index provisions in the “on” and “off” positions; and
(3) Be supported so that loads resulting from its operation or from accelerated flight conditions are not transmitted to the lines attached to the valve.
(b) The closing of an oil shutoff means must not prevent feathering the propeller, unless equivalent safety provisions are incorporated.
Accessible drains incorporating either a manual or automatic means for positive locking in the closed position must be provided to allow safe drainage of the entire oil system.
(a) Engine breather lines must be so arranged that condensed water vapor that may freeze and obstruct the line cannot accumulate at any point.
(b) Engine breathers must discharge in a location that does not constitute a fire hazard in case foaming occurs and so that oil emitted from the line does not impinge upon the pilots' windshield.
(c) Engine breathers may not discharge into the engine air induction system.
Each engine, auxiliary power unit, fuel-burning heater, or other item of combusting equipment that is intended for operation in flight must be isolated from the rest of the airplane by means of firewalls or shrouds, or by other equivalent means.
Each firewall and shroud must—
(a) Be so made that no hazardous quantity of air, fluids, or flame can pass from the engine compartment to other parts of the airplane;
(b) Have all openings in the firewall or shroud sealed with close-fitting fireproof grommets, bushings, or firewall fittings;
(c) Be made of fireproof material; and
(d) Be protected against corrosion.
(a) Cowling must be made and supported so as to resist the vibration, inertia, and air loads to which it may be normally subjected.
(b) Provisions must be made to allow rapid and complete drainage of the cowling in normal ground and flight attitudes. Drains must not discharge in locations constituting a fire hazard. Parts of the cowling that are subjected to high temperatures because they are near exhaust system parts or because of exhaust gas impingement must be made of fireproof material. Unless otherwise specified in these regulations, all other parts of the cowling must be made of material that is at least fire resistant.
Unless equivalent protection can be shown by other means, a diaphragm that complies with § 125.145 must be provided on air-cooled engines to isolate the engine power section and all parts of the exhaust system from the engine accessory compartment.
(a) Designated fire zones must be protected from fire by compliance with §§ 125.153 through 125.159.
(b) Designated fire zones are—
(1) Engine accessory sections;
(2) Installations where no isolation is provided between the engine and accessory compartment; and
(3) Areas that contain auxiliary power units, fuel-burning heaters, and other combustion equipment.
(a) No tanks or reservoirs that are a part of a system containing flammable fluids or gases may be located in designated fire zones, except where the fluid contained, the design of the system, the materials used in the tank, the shutoff means, and the connections, lines, and controls provide equivalent safety.
(b) At least one-half inch of clear airspace must be provided between any tank or reservior and a firewall or shroud isolating a designated fire zone.
(a) Each engine must have a means for shutting off or otherwise preventing hazardous amounts of fuel, oil, deicer, and other flammable fluids from flowing into, within, or through any designated fire zone. However, means need not be provided to shut off flow in lines that are an integral part of an engine.
(b) The shutoff means must allow an emergency operating sequence that is compatible with the emergency operation of other equipment, such as feathering the propeller, to facilitate rapid and effective control of fires.
(c) Shutoff means must be located outside of designated fire zones, unless equivalent safety is provided, and it must be shown that no hazardous amount of flammable fluid will drain into any designated fire zone after a shutoff.
(d) Adequate provisions must be made to guard against inadvertent operation of the shutoff means and to make it possible for the crew to reopen the shutoff means after it has been closed.
(a) Each line, and its fittings, that is located in a designated fire zone, if it carries flammable fluids or gases under pressure, or is attached directly to the engine, or is subject to relative motion between components (except lines and fittings forming an integral part of the engine), must be flexible and fire-resistant with fire-resistant, factory-fixed, detachable, or other approved fire-resistant ends.
(b) Lines and fittings that are not subject to pressure or to relative motion between components must be of fire-resistant materials.
All vent and drain lines, and their fittings, that are located in a designated fire zone must, if they carry flammable fluids or gases, comply with § 125.157, if the Administrator finds that the rupture or breakage of any vent or drain line may result in a fire hazard.
(a) Unless the certificate holder shows that equivalent protection against destruction of the airplane in case of fire is provided by the use of fireproof materials in the nacelle and other components that would be subjected to flame, fire-extinguishing systems must be provided to serve all designated fire zones.
(b) Materials in the fire-extinguishing system must not react chemically with the extinguishing agent so as to be a hazard.
Only methyl bromide, carbon dioxide, or another agent that has been shown to provide equivalent extinguishing action may be used as a fire-extinguishing agent. If methyl bromide or any other toxic extinguishing agent is used, provisions must be made to prevent harmful concentrations of fluid or fluid vapors from entering any personnel compartment either because of leakage during normal operation of the airplane or because of discharging the fire extinguisher on the ground or in flight when there is a defect in the extinguishing system. If a methyl bromide system is used, the containers must be charged with dry agent and sealed by the fire-extinguisher manufacturer or some other person using satisfactory recharging equipment. If carbon dioxide is used, it must not be possible to discharge enough gas into the personnel compartments to create a danger of suffocating the occupants.
Extinguishing agent containers must be provided with a pressure relief to prevent bursting of the container because of excessive internal pressures. The discharge line from the relief connection must terminate outside the airplane in a place convenient for inspection on the ground. An indicator must be provided at the discharge end of the line to provide a visual indication when the container has discharged.
Precautions must be taken to ensure that the extinguishing agent containers are installed in places where reasonable temperatures can be maintained for effective use of the extinguishing system.
(a) Except as provided in paragraph (b) of this section, each component of a fire-extinguishing system that is in a designated fire zone must be made of fireproof materials.
(b) Connections that are subject to relative motion between components of the airplane must be made of flexible materials that are at least fire-resistant and be located so as to minimize the probability of failure.
Enough quick-acting fire detectors must be provided in each designated fire zone to assure the detection of any fire that may occur in that zone.
Fire detectors must be made and installed in a manner that assures their ability to resist, without failure, all vibration, inertia, and other loads to which they may be normally subjected. Fire detectors must be unaffected by exposure to fumes, oil, water, or other fluids that may be present.
(a) Except as provided in paragraph (b) of this section, all airplane surfaces aft of the nacelles in the area of one nacelle diameter on both sides of the nacelle centerline must be made of material that is at least fire resistant.
(b) Paragraph (a) of this section does not apply to tail surfaces lying behind nacelles unless the dimensional configuration of the airplane is such that the tail surfaces could be affected readily by heat, flames, or sparks emanating from a designated fire zone or from the engine from a designated fire zone or from the engine compartment of any nacelle.
(a) Except as provided in paragraph (b) of this section, each airplane must have a means of individually stopping and restarting the rotation of any engine in flight.
(b) In the case of turbine engine installations, a means of stopping rotation need be provided only if the Administrator finds that rotation could jeopardize the safety of the airplane.
(a) Each airplane fuel system must be arranged so that the failure of any one component does not result in the irrecoverable loss of power of more than one engine.
(b) A separate fuel tank need not be provided for each engine if the certificate holder shows that the fuel system incorporates features that provide equivalent safety.
A means for preventing the malfunctioning of each engine due to ice accumulation in the engine air induction system must be provided for each airplane.
(a) Except as provided in paragraph (b) or (c) of this section, no certificate holder may carry cargo in the passenger compartment of an airplane.
(b) Cargo may be carried aft of the foremost seated passengers if it is carried in an approved cargo bin that meets the following requirements:
(1) The bin must withstand the load factors and emergency landing conditions applicable to the passenger seats of the airplane in which the bin is installed, multiplied by a factor of 1.15, using the combined weight of the bin and the maximum weight of cargo that may be carried in the bin.
(2) The maximum weight of cargo that the bin is approved to carry and any instructions necessary to ensure proper weight distribution within the bin must be conspicuously marked on the bin.
(3) The bin may not impose any load on the floor or other structure of the airplane that exceeds the load limitations of that structure.
(4) The bin must be attached to the seat tracks or to the floor structure of the airplane, and its attachment must withstand the load factors and emergency landing conditions applicable to the passenger seats of the airplane in which the bin is installed, multiplied by either the factor 1.15 or the seat attachment factor specified for the airplane, whichever is greater, using the combined weight of the bin and the maximum weight of cargo that may be carried in the bin.
(5) The bin may not be installed in a position that restricts access to or use of any required emergency exit, or of the aisle in the passenger compartment.
(6) The bin must be fully enclosed and made of material that is at least flame-resistant.
(7) Suitable safeguards must be provided within the bin to prevent the cargo from shifting under emergency landing conditions.
(8) The bin may not be installed in a position that obscures any passenger's view of the “seat belt” sign, “no smoking” sign, or any required exit sign, unless an auxiliary sign or other approved means for proper notification of the passenger is provided.
(c) All cargo may be carried forward of the foremost seated passengers and carry-on baggage may be carried alongside the foremost seated passengers if the cargo (including carry-on baggage) is carried either in approved bins as specified in paragraph (b) of this section or in accordance with the following:
(1) It is properly secured by a safety belt or other tie down having enough strength to eliminate the possibility of shifting under all normally anticipated flight and ground conditions.
(2) It is packaged or covered in a manner to avoid possible injury to passengers.
(3) It does not impose any load on seats or the floor structure that exceeds the load limitation for those components.
(4) Its location does not restrict access to or use of any required emergency or regular exit, or of the aisle in the passenger compartment.
(5) Its location does not obscure any passenger's view of the “seat belt” sign, “no smoking” sign, or required exit sign, unless an auxiliary sign or other approved means for proper notification of the passenger is provided.
When cargo is carried in cargo compartments that are designed to require the physical entry of a crewmember to extinguish any fire that may occur during flight, the cargo must be loaded so as to allow a crewmember to effectively reach all parts of the compartment with the contents of a hand-held fire extinguisher.
(a) Except for airplanes that comply with the requirements of § 25.729 of this chapter on or after January 6, 1992, each airplane must have a landing gear aural warning device that functions continuously under the following conditions:
(1) For airplanes with an established approach wing-flap position, whenever the wing flaps are extended beyond the maximum certificated approach climb configuration position in the Airplane Flight Manual and the landing gear is not fully extended and locked.
(2) For airplanes without an established approach climb wing-flap position, whenever the wing flaps are extended beyond the position at which landing gear extension is normally performed and the landing gear is not fully extended and locked.
(b) The warning system required by paragraph (a) of this section—
(1) May not have a manual shutoff;
(2) Must be in addition to the throttle-actuated device installed under the type certification airworthiness requirements; and
(3) May utilize any part of the throttle-actuated system including the aural warning device.
(c) The flap position sensing unit may be installed at any suitable place in the airplane.
(a) Each certificate holder must show, by actual demonstration conducted in accordance with paragraph (a) of appendix B of this part, that the emergency evacuation procedures for each type and model of airplane with a seating of more than 44 passengers, that is used in its passenger-carrying operations, allow the evacuation of the full seating capacity, including crewmembers, in 90 seconds or less, in each of the following circumstances:
(1) A demonstration must be conducted by the certificate holder upon the initial introduction of a type and model of airplane into passenger-carrying operations. However, the demonstration need not be repeated for any airplane type or model that has the same number and type of exits, the same cabin configuration, and the same emergency equipment as any other airplane used by the certificate holder in successfully demonstrating emergency evacuation in compliance with this paragraph.
(2) A demonstration must be conducted—
(i) Upon increasing by more than 5 percent the passenger seating capacity for which successful demonstration has been conducted; or
(ii) Upon a major change in the passenger cabin interior configuration that will affect the emergency evacuation of passengers.
(b) If a certificate holder has conducted a successful demonstration required by § 121.291(a) in the same type airplane as a part 121 or part 123 certificate holder, it need not conduct a demonstration under this paragraph in that type airplane to achieve certification under part 125.
(c) Each certificate holder operating or proposing to operate one or more landplanes in extended overwater operations, or otherwise required to have certain equipment under § 125.209, must show, by a simulated ditching conducted in accordance with paragraph (b) of appendix B of this part, that it has the ability to efficiently carry out its ditching procedures.
(d) If a certificate holder has conducted a successful demonstration required by § 121.291(b) in the same type airplane as a part 121 or part 123 certificate holder, it need not conduct a demonstration under this paragraph in that type airplane to achieve certification under part 125.
(a) No person may take off an airplane with inoperable instruments or equipment installed unless the following conditions are met:
(1) An approved Minimum Equipment List exists for that airplane.
(2) The responsible Flight Standards office having certification responsibility has issued the certificate holder operations specifications authorizing operations in accordance with an approved Minimum Equipment List. The flight crew shall have direct access at all times prior to flight to all of the information contained in the approved Minimum Equipment List through printed or other means approved by the Administrator in the certificate holders operations specifications. An approved Minimum Equipment List, as authorized by the operations specifications, constitutes an approved change to the type design without requiring recertification.
(3) The approved Minimum Equipment List must:
(i) Be prepared in accordance with the limitations specified in paragraph (b) of this section.
(ii) Provide for the operation of the airplane with certain instruments and equipment in an inoperable condition.
(4) Records identifying the inoperable instruments and equipment and the information required by paragraph (a)(3)(ii) of this section must be available to the pilot.
(5) The airplane is operated under all applicable conditions and limitations contained in the Minimum Equipment List and the operations specifications authorizing use of the Minimum Equipment List.
(b) The following instruments and equipment may not be included in the Minimum Equipment List:
(1) Instruments and equipment that are either specifically or otherwise required by the airworthiness requirements under which the airplane is type certificated and which are essential for safe operations under all operating conditions.
(2) Instruments and equipment required by an airworthiness directive to be in operable condition unless the airworthiness directive provides otherwise.
(3) Instruments and equipment required for specific operations by this part.
(c) Notwithstanding paragraphs (b)(1) and (b)(3) of this section, an airplane with inoperable instruments or equipment may be operated under a special flight permit under §§ 21.197 and 21.199 of this chapter.
(a) Communication equipment—general. No person may operate an airplane unless it has two-way radio communication equipment able, at least in flight, to transmit to, and receive from, appropriate facilities 22 nautical miles away.
(b) Navigation equipment for operations over the top. No person may operate an airplane over the top unless it has navigation equipment suitable for the route to be flown.
(c) Communication and navigation equipment for IFR or extended over-water operations—General. Except as provided in paragraph (f) of this section, no person may operate an airplane carrying passengers under IFR or in extended over-water operations unless—
(1) The en route navigation aids necessary for navigating the airplane along the route (e.g., ATS routes, arrival and departure routes, and instrument approach procedures, including missed approach procedures if a missed approach routing is specified in the procedure) are available and suitable for use by the aircraft navigation systems required by this section;
(2) The airplane used in those operations is equipped with at least the following equipment—
(i) Except as provided in paragraph (d) of this section, two approved independent navigation systems suitable for navigating the airplane along the route within the degree of accuracy required for ATC;
(ii) One marker beacon receiver providing visual and aural signals;
(iii) One ILS receiver;
(iv) Two transmitters;
(v) Two microphones;
(vi) Two headsets or one headset and one speaker; and
(vii) Two independent communication systems, one of which must have two-way voice communication capability, capable of transmitting to, and receiving from, at least one appropriate facility from any place on the route to be flown; and
(3) Any RNAV system used to meet the navigation equipment requirements of this section is authorized in the certificate holder's operations specifications.
(d) Use of a single independent navigation system for operations under IFR—not for extended overwater operations. Notwithstanding the requirements of paragraph (c)(2)(i) of this section, the airplane may be equipped with a single independent navigation system suitable for navigating the airplane along the route to be flown within the degree of accuracy required for ATC if—
(1) It can be shown that the airplane is equipped with at least one other independent navigation system suitable, in the event of loss of the navigation capability of the single independent navigation system permitted by this paragraph at any point along the route, for proceeding safely to a suitable airport and completing an instrument approach; and
(2) The airplane has sufficient fuel so that the flight may proceed safely to a suitable airport by use of the remaining navigation system, and complete an instrument approach and land.
(e) Use of VOR navigation equipment. If VOR navigation equipment is required by paragraph (c) or (d) of this section, no person may operate an airplane unless it is equipped with at least one approved DME or a suitable RNAV system.
(f) Extended over-water operations. Notwithstanding the requirements of paragraph (c) of this section, installation and use of a single long-range navigation system and a single long-range communication system for extended over-water operations in certain geographic areas may be authorized by the Administrator and approved in the certificate holder's operations specifications. The following are among the operational factors the Administrator may consider in granting an authorization:
(1) The ability of the flight crew to navigate the airplane along the route to be flown within the degree of accuracy required for ATC;
(2) The length of the route being flown; and
(3) The duration of the very high frequency communications gap.
(a) Except as provided in paragraph (b) of this section, no person may operate, nor may any operator or pilot in command of an aircraft allow the operation of, any portable electronic device on any U.S.-registered civil aircraft operating under this part.
(b) Paragraph (a) of this section does not apply to—
(1) Portable voice recorders;
(2) Hearing aids;
(3) Heart pacemakers;
(4) Electric shavers;
(5) Portable oxygen concentrators that comply with the requirements in § 125.219; or
(6) Any other portable electronic device that the Part 125 certificate holder has determined will not cause interference with the navigation or communication system of the aircraft on which it is to be used.
(c) The determination required by paragraph (b)(6) of this section shall be made by that Part 125 certificate holder operating the particular device to be used.
No person may operate an airplane under IFR unless it has—
(a) A vertical speed indicator;
(b) A free-air temperature indicator;
(c) A heated pitot tube for each airspeed indicator;
(d) A power failure warning device or vacuum indicator to show the power available for gyroscopic instruments from each power source;
(e) An alternate source of static pressure for the altimeter and the airspeed and vertical speed indicators;
(f) At least two generators each of which is on a separate engine, or which any combination of one-half of the total number are rated sufficiently to supply the electrical loads of all required instruments and equipment necessary for safe emergency operation of the airplane; and
(g) Two independent sources of energy (with means of selecting either), of which at least one is an engine-driven pump or generator, each of which is able to drive all gyroscopic instruments and installed so that failure of one instrument or source does not interfere with the energy supply to the remaining instruments or the other energy source. For the purposes of this paragraph, each engine-driven source of energy must be on a different engine.
(h) For the purposes of paragraph (f) of this section, a continuous inflight electrical load includes one that draws current continuously during flight, such as radio equipment, electrically driven instruments, and lights, but does not include occasional intermittent loads.
(i) An airspeed indicating system with heated pitot tube or equivalent means for preventing malfunctioning due to icing.
(j) A sensitive altimeter.
(k) Instrument lights providing enough light to make each required instrument, switch, or similar instrument easily readable and installed so that the direct rays are shielded from the flight crewmembers' eyes and that no objectionable reflections are visible to them. There must be a means of controlling the intensity of illumination unless it is shown that nondimming instrument lights are satisfactory.
(a) Except as provided in paragraph (b) of this section, after April 12, 1981, no person may operate a transport category airplane equipped with a flight instrument pitot heating system unless the airplane is equipped with an operable pitot heat indication system that complies with § 25.1326 of this chapter in effect on April 12, 1978.
(b) A certificate holder may obtain an extension of the April 12, 1981, compliance date specified in paragraph (a) of this section, but not beyond April 12, 1983, from the Executive Director, Flight Standards Service if the certificate holder—
(1) Shows that due to circumstances beyond its control it cannot comply by the specified compliance date; and
(2) Submits by the specified compliance date a schedule for compliance acceptable to the Executive Director, indicating that compliance will be achieved at the earliest practicable date.
(a) No person may operate an airplane having a seating capacity of 20 or more passengers unless it is equipped with the following emergency equipment:
(1) One approved first aid kit for treatment of injuries likely to occur in flight or in a minor accident, which meets the following specifications and requirements:
(i) Each first aid kit must be dust and moisture proof and contain only materials that either meet Federal Specifications GGK-391a, as revised, or as approved by the Administrator.
(ii) Required first aid kits must be readily accessible to the cabin flight attendants.
(iii) Except as provided in paragraph (a)(1)(iv) of this section, at time of takeoff, each first aid kit must contain at least the following or other contents approved by the Administrator:
| Contents | Quantity |
|---|---|
| Adhesive bandage compressors, 1 in | 16 |
| Antiseptic swabs | 20 |
| Ammonia inhalants | 10 |
| Bandage compressors, 4 in | 8 |
| Triangular bandage compressors, 40 in | 5 |
| Arm splint, noninflatable | 1 |
| Leg splint, noninflatable | 1 |
| Roller bandage, 4 in | 4 |
| Adhesive tape, 1-in standard roll | 2 |
| Bandage scissors | 1 |
| Protective latex gloves or equivalent nonpermeable gloves | 1 1 |
1 Pair.
(iv) Protective latex gloves or equivalent nonpermeable gloves may be placed in the first aid kit or in a location that is readily accessible to crewmembers.
(2) A crash axe carried so as to be accessible to the crew but inaccessible to passengers during normal operations.
(3) Signs that meet the following requirements:
(i) Signs that are visible to all occupants to notify them when safety belts should be fastened. These signs must be so constructed that they can be turned on and off by a crewmember. They must be turned on for each takeoff and each landing and when otherwise considered to be necessary by the pilot in command.
(ii) Signs that are visible to all occupants to notify them when smoking is prohibited. These signs must be turned on for each takeoff and each landing and when otherwise considered to be necessary by the pilot in command.
(4) The additional emergency equipment specified in appendix A of this part.
(b) Megaphones. Each passenger-carrying airplane must have a portable battery-powered megaphone or megaphones readily accessible to the crewmembers assigned to direct emergency evacuation, installed as follows:
(1) One megaphone on each airplane with a seating capacity of more than 60 and less than 100 passengers, at the most rearward location in the passenger cabin where it would be readily accessible to a normal flight attendant seat. However, the Administrator may grant a deviation from the requirements of this paragraph if the Administrator finds that a different location would be more useful for evacuation of persons during an emergency.
(2) Two megaphones in the passenger cabin on each airplane with a seating capacity of more than 99 and less than 200 passengers, one installed at the forward end and the other at the most rearward location where it would be readily accessible to a normal flight attendant seat.
(3) Three megaphones in the passenger cabin on each airplane with a seating capacity of more than 199 passengers, one installed at the forward end, one installed at the most rearward location where it would be readily accessible to a normal flight attendant seat, and one installed in a readily accessible location in the mid-section of the airplane.
(a) No person may operate an airplane in extended overwater operations unless it carries, installed in conspicuously marked locations easily accessible to the occupants if a ditching occurs, the following equipment:
(1) An approved life preserver equipped with an approved survivor locator light, or an approved flotation means, for each occupant of the aircraft. The life preserver or other flotation means must be easily accessible to each seated occupant. If a flotation means other than a life preserver is used, it must be readily removable from the airplane.
(2) Enough approved life rafts (with proper buoyancy) to carry all occupants of the airplane, and at least the following equipment for each raft clearly marked for easy identification—
(i) One canopy (for sail, sunshade, or rain catcher);
(ii) One radar reflector (or similar device);
(iii) One life raft repair kit;
(iv) One bailing bucket;
(v) One signaling mirror;
(vi) One police whistle;
(vii) One raft knife;
(viii) One CO
(ix) One inflation pump;
(x) Two oars;
(xi) One 75-foot retaining line;
(xii) One magnetic compass;
(xiii) One dye marker;
(xiv) One flashlight having at least two size “D” cells or equivalent;
(xv) At least one approved pyrotechnic signaling device;
(xvi) A 2-day supply of emergency food rations supplying at least 1,000 calories a day for each person;
(xvii) One sea water desalting kit for each two persons that raft is rated to carry, or two pints of water for each person the raft is rated to carry;
(xviii) One fishing kit; and
(xix) One book on survival appropriate for the area in which the airplane is operated.
(b) No person may operate an airplane in extended overwater operations unless there is attached to one of the life rafts required by paragraph (a) of this section, an approved survival type emergency locator transmitter. Batteries used in this transmitter must be replaced (or recharged, if the batteries are rechargeable) when the transmitter has been in use for more than one cumulative hour, or, when 50 percent of their useful life (or for rechargeable batteries, 50 percent of their useful life of charge) has expired, as established by the transmitter manufacturer under its approval. The new expiration date for replacing (or recharging) the battery must be legibly marked on the outside of the transmitter. The battery useful life (or useful life of charge) requirements of this paragraph do not apply to batteries (such as water-activated batteries) that are essentially unaffected during probable storage intervals.
(a) No person may operate an airplane unless there are available during the takeoff, en route flight, and landing—
(1) An approved seat or berth for each person on board the airplane who is at least 2 years old; and
(2) An approved safety belt for separate use by each person on board the airplane who is at least 2 years old, except that two persons occupying a berth may share one approved safety belt and two persons occupying a multiple lounge or divan seat may share one approved safety belt during en route flight only.
(b) Except as provided in paragraphs (b)(1) and (b)(2) of this section, each person on board an airplane operated under this part shall occupy an approved seat or berth with a separate safety belt properly secured about him or her during movement on the surface, takeoff, and landing. A safety belt provided for the occupant of a seat may not be used for more than one person who has reached his or her second birthday. Notwithstanding the preceding requirements, a child may:
(1) Be held by an adult who is occupying an approved seat or berth, provided the child has not reached his or her second birthday and the child does not occupy or use any restraining device; or
(2) Notwithstanding any other requirement of this chapter, occupy an approved child restraint system furnished by the certificate holder or one of the persons described in paragraph (b)(2)(i) of this section, provided:
(i) The child is accompanied by a parent, guardian, or attendant designated by the child's parent or guardian to attend to the safety of the child during the flight;
(ii) Except as provided in paragraph (b)(2)(ii)(D) of this section, the approved child restraint system bears one or more labels as follows:
(A) Seats manufactured to U.S. standards between January 1, 1981, and February 25, 1985, must bear the label: “This child restraint system conforms to all applicable Federal motor vehicle safety standards”;
(B) Seats manufactured to U.S. standards on or after February 26, 1985, must bear two labels:
(1) “This child restraint system conforms to all applicable Federal motor vehicle safety standards”; and
(2) “THIS RESTRAINT IS CERTIFIED FOR USE IN MOTOR VEHICLES AND AIRCRAFT” in red lettering;
(C) Seats that do not qualify under paragraphs (b)(2)(ii)(A) and (b)(2)(ii)(B) of this section must bear a label or markings showing:
(1) That the seat was approved by a foreign government;
(2) That the seat was manufactured under the standards of the United Nations;
(3) That the seat or child restraint device furnished by the certificate holder was approved by the FAA through Type Certificate or Supplemental Type Certificate; or
(4) That the seat or child restraint device furnished by the certificate holder, or one of the persons described in paragraph (b)(2)(i) of this section, was approved by the FAA in accordance with § 21.8(d) of this chapter or Technical Standard Order C-100b, or a later version. The child restraint device manufactured by AmSafe, Inc. (CARES, Part No. 4082) and approved by the FAA in accordance with § 21.305(d) (2010 ed.) of this chapter may continue to bear a label or markings showing FAA approval in accordance with § 21.305(d) (2010 ed.) of this chapter.
(D) Except as provided in § 125.211(b)(2)(ii)(C)(3) and § 125.211(b)(2)(ii)(C)(4), booster-type child restraint systems (as defined in Federal Motor Vehicle Safety Standard No. 213 (49 CFR 571.213)), vest- and harness-type child restraint systems, and lap held child restraints are not approved for use in aircraft; and
(iii) The certificate holder complies with the following requirements:
(A) The restraint system must be properly secured to an approved forward-facing seat or berth;
(B) The child must be properly secured in the restraint system and must not exceed the specified weight limit for the restraint system; and
(C) The restraint system must bear the appropriate label(s).
(c) Except as provided in paragraph (c)(3) of this section, the following prohibitions apply to certificate holders:
(1) Except as provided in § 125.211(b)(2)(ii)(C)(3) and § 125.211(b)(2)(ii)(C)(4), no certificate holder may permit a child, in an aircraft, to occupy a booster-type child restraint system, a vest-type child restraint system, a harness-type child restraint system, or a lap held child restraint system during take off, landing, and movement on the surface.
(2) Except as required in paragraph (c)(1) of this section, no certificate holder may prohibit a child, if requested by the child's parent, guardian, or designated attendant, from occupying a child restraint system furnished by the child's parent, guardian, or designated attendant provided:
(i) The child holds a ticket for an approved seat or berth or such seat or berth is otherwise made available by the certificate holder for the child's use;
(ii) The requirements of paragraph (b)(2)(i) of this section are met;
(iii) The requirements of paragraph (b)(2)(iii) of this section are met; and
(iv) The child restraint system has one or more of the labels described in paragraphs (b)(2)(ii)(A) through (b)(2)(ii)(C) of this section.
(3) This section does not prohibit the certificate holder from providing child restraint systems authorized by this section or, consistent with safe operating practices, determining the most appropriate passenger seat location for the child restraint system.
(d) Each sideward facing seat must comply with the applicable requirements of § 25.785(c) of this chapter.
(e) No certificate holder may take off or land an airplane unless each passenger seat back is in the upright position. Each passenger shall comply with instructions given by a crewmember in compliance with this paragraph. This paragraph does not apply to seats on which cargo or persons who are unable to sit erect for a medical reason are carried in accordance with procedures in the certificate holder's manual if the seat back does not obstruct any passenger's access to the aisle or to any emergency exit.
(f) Each occupant of a seat equipped with a shoulder harness must fasten the shoulder harness during takeoff and landing, except that, in the case of crewmembers, the shoulder harness need not be fastened if the crewmember cannot perform his required duties with the shoulder harness fastened.
No person may conduct any operation unless the following equipment is installed in the airplane:
(a) If protective fuses are installed on an airplane, the number of spare fuses approved for the airplane and appropriately described in the certificate holder's manual.
(b) A windshield wiper or equivalent for each pilot station.
(c) A power supply and distribution system that meets the requirements of §§ 25.1309, 25.1331, 25.1351 (a) and (b) (1) through (4), 25.1353, 25.1355, and 25.1431(b) or that is able to produce and distribute the load for the required instruments and equipment, with use of an external power supply if any one power source or component of the power distribution system fails. The use of common elements in the system may be approved if the Administrator finds that they are designed to be reasonably protected against malfunctioning. Engine-driven sources of energy, when used, must be on separate engines.
(d) A means for indicating the adequacy of the power being supplied to required flight instruments.
(e) Two independent static pressure systems, vented to the outside atmospheric pressure so that they will be least affected by air flow variation or moisture or other foreign matter, and installed so as to be airtight except for the vent. When a means is provided for transferring an instrument from its primary operating system to an alternative system, the means must include a positive positioning control and must be marked to indicate clearly which system is being used.
(f) A placard on each door that is the means of access to a required passenger emergency exit to indicate that it must be open during takeoff and landing.
(g) A means for the crew, in an emergency, to unlock each door that leads to a compartment that is normally accessible to passengers and that can be locked by passengers.
(a) The operator of an airplane must provide the following materials, in current and appropriate form, accessible to the pilot at the pilot station, and the pilot shall use them:
(1) A cockpit checklist.
(2) An emergency cockpit checklist containing the procedures required by paragraph (c) of this section, as appropriate.
(3) Pertinent aeronautical charts.
(4) For IFR operations, each pertinent navigational en route, terminal area, and approach and letdown chart;
(5) One-engine-inoperative climb performance data and, if the airplane is approved for use in IFR or over-the-top operations, that data must be sufficient to enable the pilot to determine that the airplane is capable of carrying passengers over-the-top or in IFR conditions at a weight that will allow it to climb, with the critical engine inoperative, at least 50 feet a minute when operating at the MEA's of the route to be flown or 5,000 feet MSL, whichever is higher.
(b) Each cockpit checklist required by paragraph (a)(1) of this section must contain the following procedures:
(1) Before starting engines;
(2) Before take-off;
(3) Cruise;
(4) Before landing;
(5) After landing;
(6) Stopping engines.
(c) Each emergency cockpit checklist required by paragraph (a)(2) of this section must contain the following procedures, as appropriate:
(1) Emergency operation of fuel, hydraulic, electrical, and mechanical systems.
(2) Emergency operation of instruments and controls.
(3) Engine inoperative procedures.
(4) Any other emergency procedures necessary for safety.
(a) Except as provided in paragraph (b) of this section, no person may operate an airplane carrying passengers unless it is equipped with signs that meet the requirements of § 25.791 of this chapter and that are visible to passengers and flight attendants to notify them when smoking is prohibited and when safety belts must be fastened.
(1) The signs that notify when safety belts must be fastened must be so constructed that the crew can turn them on and off.
(2) The signs that prohibit smoking and signs that notify when safety belts must be fastened must be illuminated during airplane movement on the surface, for each takeoff, for each landing, and when otherwise considered to be necessary by the pilot in command.
(b) No passenger or crewmember may smoke while any “No Smoking” sign is lighted nor may any passenger or crewmember smoke in any lavatory.
(c) Each passenger required by § 125.211(b) to occupy a seat or berth shall fasten his or her safety belt about him or her and keep it fastened while any “Fasten Seat Belt” sign is lighted.
(d) Each passenger shall comply with instructions given him or her by crewmembers regarding compliance with paragraphs (b) and (c) of this section.
(a) Except as provided in paragraphs (d) and (f) of this section, no certificate holder may allow the carriage or operation of equipment for the storage, generation or dispensing of medical oxygen unless the conditions in paragraphs (a) through (c) of this section are satisfied. Beginning August 22, 2016, a certificate holder may allow a passenger to carry and operate a portable oxygen concentrator when the conditions in paragraphs (b) and (f) of this section are satisfied.
(1) The equipment must be—
(i) Of an approved type or in conformity with the manufacturing, packaging, marking, labeling, and maintenance requirements of title 49 CFR parts 171, 172, and 173, except § 173.24(a)(1);
(ii) When owned by the certificate holder, maintained under the certificate holder's approved maintenance program;
(iii) Free of flammable contaminants on all exterior surfaces;
(iv) Constructed so that all valves, fittings, and gauges are protected from damage during that carriage or operation; and
(v) Appropriately secured.
(2) When the oxygen is stored in the form of a liquid, the equipment must have been under the certificate holder's approved maintenance program since its purchase new or since the storage container was last purged.
(3) When the oxygen is stored in the form of a compressed gas as defined in title 49 CFR 173.115(b)—
(i) When owned by the certificate holder, it must be maintained under its approved maintenance program; and
(ii) The pressure in any oxygen cylinder must not exceed the rated cylinder pressure.
(4) The pilot in command must be advised when the equipment is on board and when it is intended to be used.
(5) The equipment must be stowed, and each person using the equipment must be seated so as not to restrict access to or use of any required emergency or regular exit or of the aisle in the passenger compartment.
(b) No person may smoke or create an open flame and no certificate holder may allow any person to smoke or create an open flame within 10 feet of oxygen storage and dispensing equipment carried under paragraph (a) of this section or a portable oxygen concentrator carried and operated under paragraph (f) of this section.
(c) No certificate holder may allow any person other than a person trained in the use of medical oxygen equipment to connect or disconnect oxygen bottles or any other ancillary component while any passenger is aboard the airplane.
(d) Paragraph (a)(1)(i) of this section does not apply when that equipment is furnished by a professional or medical emergency service for use on board an airplane in a medical emergency when no other practical means of transportation (including any other properly equipped certificate holder) is reasonably available and the person carried under the medical emergency is accompanied by a person trained in the use of medical oxygen.
(e) Each certificate holder who, under the authority of paragraph (d) of this section, deviates from paragraph (a)(1)(i) of this section under a medical emergency shall, within 10 days, excluding Saturdays, Sundays, and Federal holidays, after the deviation, send to the responsible Flight Standards office charged with the overall inspection of the certificate holder a complete report of the operation involved, including a description of the deviation and the reasons for it.
(f) Portable oxygen concentrators—(1) Acceptance criteria. A passenger may carry or operate a portable oxygen concentrator for personal use on board an aircraft and a certificate holder may allow a passenger to carry or operate a portable oxygen concentrator on board an aircraft operated under this part during all phases of flight if the portable oxygen concentrator satisfies all of the requirements in this paragraph (f):
(i) Is legally marketed in the United States in accordance with Food and Drug Administration requirements in title 21 of the CFR;
(ii) Does not radiate radio frequency emissions that interfere with aircraft systems;
(iii) Generates a maximum oxygen pressure of less than 200 kPa gauge (29.0 psig/43.8 psia) at 20 °C (68 °F);
(iv) Does not contain any hazardous materials subject to the Hazardous Materials Regulations (49 CFR parts 171 through 180) except as provided in 49 CFR 175.10 for batteries used to power portable electronic devices and that do not require aircraft operator approval; and
(v) Bears a label on the exterior of the device applied in a manner that ensures the label will remain affixed for the life of the device and containing the following certification statement in red lettering: “The manufacturer of this POC has determined this device conforms to all applicable FAA acceptance criteria for POC carriage and use on board aircraft.” The label requirements in this paragraph (f)(1)(v) do not apply to the following portable oxygen concentrators approved by the FAA for use on board aircraft prior to May 24, 2016:
(A) AirSep Focus;
(B) AirSep FreeStyle;
(C) AirSep FreeStyle 5;
(D) AirSep LifeStyle;
(E) Delphi RS-00400;
(F) DeVilbiss Healthcare iGo;
(G) Inogen One;
(H) Inogen One G2;
(I) Inogen One G3;
(J) Inova Labs LifeChoice;
(K) Inova Labs LifeChoice Activox;
(L) International Biophysics LifeChoice;
(M) Invacare Solo2;
(N) Invacare XPO2;
(O) Oxlife Independence Oxygen Concentrator;
(P) Oxus RS-00400;
(Q) Precision Medical EasyPulse;
(R) Respironics EverGo;
(S) Respironics SimplyGo;
(T) SeQual Eclipse;
(U) SeQual eQuinox Oxygen System (model 4000);
(V) SeQual Oxywell Oxygen System (model 4000);
(W) SeQual SAROS; and
(X) VBox Trooper Oxygen Concentrator.
(2) Operating requirements. Portable oxygen concentrators that satisfy the acceptance criteria identified in paragraph (f)(1) of this section may be carried or used by a passenger on an aircraft provided the aircraft operator ensures that all of the conditions in this paragraph (f)(2) are satisfied:
(i) Exit seats. No person operating a portable oxygen concentrator is permitted to occupy an exit seat.
(ii) Stowage of device. During movement on the surface, takeoff and landing, the device must be stowed under the seat in front of the user, or in another approved stowage location so that it does not block the aisle way or the entryway to the row. If the device is to be operated by the user, it must be operated only at a seat location that does not restrict any passenger's access to, or use of, any required emergency or regular exit, or the aisle(s) in the passenger compartment.
(a) No pilot may take off an airplane that has frost, ice, or snow adhering to any propeller, windshield, stabilizing or control surface; to a powerplant installation; or to an airspeed, altimeter, rate of climb, flight attitude instrument system, or wing, except that takeoffs may be made with frost under the wing in the area of the fuel tanks if authorized by the FAA.
(b) No certificate holder may authorize an airplane to take off and no pilot may take off an airplane any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the airplane unless the pilot has completed the testing required under § 125.287(a)(9) and unless one of the following requirements is met:
(1) A pretakeoff contamination check, that has been established by the certificate holder and approved by the Administrator for the specific airplane type, has been completed within 5 minutes prior to beginning takeoff. A pretakeoff contamination check is a check to make sure the wings and control surfaces are free of frost, ice, or snow.
(2) The certificate holder has an approved alternative procedure and under that procedure the airplane is determined to be free of frost, ice, or snow.
(3) The certificate holder has an approved deicing/anti-icing program that complies with § 121.629(c) of this chapter and the takeoff complies with that program.
(c) No pilot may fly under IFR into known or forecast light or moderate icing conditions, or under VFR into known light or moderate icing conditions, unless—
(1) The aircraft has functioning deicing or anti-icing equipment protecting each propeller, windshield, wing, stabilizing or control surface, and each airspeed, altimeter, rate of climb, or flight attitude instrument system;
(2) The airplane has ice protection provisions that meet appendix C of this part; or
(3) The airplane meets transport category airplane type certification provisions, including the requirements for certification for flight in icing conditions.
(d) Except for an airplane that has ice protection provisions that meet appendix C of this part or those for transport category airplane type certification, no pilot may fly an airplane into known or forecast severe icing conditions.
(e) If current weather reports and briefing information relied upon by the pilot in command indicate that the forecast icing condition that would otherwise prohibit the flight will not be encountered during the flight because of changed weather conditions since the forecast, the restrictions in paragraphs (b) and (c) of this section based on forecast conditions do not apply.
(a) No person may operate an airplane governed by this part in passenger-carrying operations unless approved airborne weather radar equipment is installed in the airplane.
(b) No person may begin a flight under IFR or night VFR conditions when current weather reports indicate that thunderstorms, or other potentially hazardous weather conditions that can be detected with airborne weather radar equipment, may reasonably be expected along the route to be flown, unless the airborne weather radar equipment required by paragraph (a) of this section is in satisfactory operating condition.
(c) If the airborne weather radar equipment becomes inoperative en route, the airplane must be operated under the instructions and procedures specified for that event in the manual required by § 125.71.
(d) This section does not apply to airplanes used solely within the State of Hawaii, within the State of Alaska, within that part of Canada west of longitude 130 degrees W, between latitude 70 degrees N, and latitude 53 degrees N, or during any training, test, or ferry flight.
(e) Without regard to any other provision of this part, an alternate electrical power supply is not required for airborne weather radar equipment.
Effective January 1, 2005, any airplane you operate under this part 125 must be equipped and operated according to the following table:
Collision Avoidance Systems
| If you operate any . . . | Then you must operate that airplane with: |
|---|---|
| (a) Turbine-powered airplane of more than 33,000 pounds maximum certificated takeoff weight | (1) An appropriate class of Mode S transponder that meets Technical Standard Order (TSO) C-112, or a later version, and one of the following approved units:
(i) TCAS II that meets TSO C-119b (version 7.0), or a later version. |
| (ii) TCAS II that meets TSO C-119a (version 6.04A Enhanced) that was installed in that airplane before May 1, 2003. If that TCAS II version 6.04A Enhanced no longer can be repaired to TSO C-119a standards, it must be replaced with a TCAS II that meets TSO C-119b (version 7.0), or a later version.
(iii) A collision avoidance system equivalent to TSO C-119b (version 7.0), or a later version, capable of coordinating with units that meet TSO C-119a (version 6.04A Enhanced), or a later version. | |
| (b) Piston-powered airplane of more than 33,000 pounds maximum certificated takeoff weight | (1) TCAS I that meets TSO C-118, or a later version, or
(2) A collision avoidance system equivalent to TSO C-118, or a later version, or (1)(3) A collision avoidance system and Mode S transponder that meet paragraph (a)(1) of this section. |
(a) Except as provided in paragraph (d) of this section, after October 11, 1991, no person may operate a large airplane type certificated before October 1, 1969, for operations above 25,000 feet altitude, nor a multiengine, turbine powered airplane type certificated before October 1, 1969, unless it is equipped with one or more approved flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The following information must be able to be determined within the ranges, accuracies, resolution, and recording intervals specified in appendix D of this part:
(1) Time;
(2) Altitude;
(3) Airspeed;
(4) Vertical acceleration;
(5) Heading;
(6) Time of each radio transmission to or from air traffic control;
(7) Pitch attitude;
(8) Roll attitude;
(9) Longitudinal acceleration;
(10) Control column or pitch control surface position; and
(11) Thrust of each engine.
(b) Except as provided in paragraph (d) of this section, after October 11, 1991, no person may operate a large airplane type certificated after September 30, 1969, for operations above 25,000 feet altitude, nor a multiengine, turbine powered airplane type certificated after September 30, 1969, unless it is equipped with one or more approved flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The following information must be able to be determined within the ranges, accuracies, resolutions, and recording intervals specified in appendix D of this part:
(1) Time;
(2) Altitude;
(3) Airspeed;
(4) Vertical acceleration;
(5) Heading;
(6) Time of each radio transmission either to or from air traffic control;
(7) Pitch attitude;
(8) Roll attitude;
(9) Longitudinal acceleration;
(10) Pitch trim position;
(11) Control column or pitch control surface position;
(12) Control wheel or lateral control surface position;
(13) Rudder pedal or yaw control surface position;
(14) Thrust of each engine;
(15) Position of each trust reverser;
(16) Trailing edge flap or cockpit flap control position; and
(17) Leading edge flap or cockpit flap control position.
(c) After October 11, 1991, no person may operate a large airplane equipped with a digital data bus and ARINC 717 digital flight data acquisition unit (DFDAU) or equivalent unless it is equipped with one or more approved flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. Any parameters specified in appendix D of this part that are available on the digital data bus must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified.
(d) No person may operate under this part an airplane that is manufactured after October 11, 1991, unless it is equipped with one or more approved flight recorders that utilize a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The parameters specified in appendix D of this part must be recorded within the ranges, accuracies, resolutions and sampling intervals specified. For the purpose of this section, “manufactured” means the point in time at which the airplane inspection acceptance records reflect that the airplane is complete and meets the FAA-approved type design data.
(e) Whenever a flight recorder required by this section is installed, it must be operated continuously from the instant the airplane begins the takeoff roll until it has completed the landing roll at an airport.
(f) Except as provided in paragraph (g) of this section, and except for recorded data erased as authorized in this paragraph, each certificate holder shall keep the recorded data prescribed in paragraph (a), (b), (c), or (d) of this section, as applicable, until the airplane has been operated for at least 25 hours of the operating time specified in § 125.227(a) of this chapter. A total of 1 hour of recorded data may be erased for the purpose of testing the flight recorder or the flight recorder system. Any erasure made in accordance with this paragraph must be of the oldest recorded data accumulated at the time of testing. Except as provided in paragraph (g) of this section, no record need be kept more than 60 days.
(g) In the event of an accident or occurrence that requires immediate notification of the National Transportation Safety Board under 49 CFR part 830 and that results in termination of the flight, the certificate holder shall remove the recording media from the airplane and keep the recorded data required by paragraph (a), (b), (c), or (d) of this section, as applicable, for at least 60 days or for a longer period upon the request of the Board or the Administrator.
(h) Each flight recorder required by this section must be installed in accordance with the requirements of § 25.1459 of this chapter in effect on August 31, 1977. The correlation required by § 25.1459(c) of this chapter need be established only on one airplane of any group of airplanes.
(1) That are of the same type;
(2) On which the flight recorder models and their installations are the same; and
(3) On which there are no differences in the type design with respect to the installation of the first pilot's instruments associated with the flight recorder. The most recent instrument calibration, including the recording medium from which this calibration is derived, and the recorder correlation must be retained by the certificate holder.
(i) Each flight recorder required by this section that records the data specified in paragraphs (a), (b), (c), or (d) of this section must have an approved device to assist in locating that recorder under water.
(j) After August 20, 2001, this section applies only to the airplane models listed in § 125.226(l)(2). All other airplanes must comply with the requirements of § 125.226.
(a) Except as provided in paragraph (l) of this section, no person may operate under this part a turbine-engine-powered transport category airplane unless it is equipped with one or more approved flight recorders that use a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The operational parameters required to be recorded by digital flight data recorders required by this section are as follows: the phrase “when an information source is installed” following a parameter indicates that recording of that parameter is not intended to require a change in installed equipment:
(1) Time;
(2) Pressure altitude;
(3) Indicated airspeed;
(4) Heading—primary flight crew reference (if selectable, record discrete, true or magnetic);
(5) Normal acceleration (Vertical);
(6) Pitch attitude;
(7) Roll attitude;
(8) Manual radio transmitter keying, or CVR/DFDR synchronization reference;
(9) Thrust/power of each engine—primary flight crew reference;
(10) Autopilot engagement status;
(11) Longitudinal acceleration;
(12) Pitch control input;
(13) Lateral control input;
(14) Rudder pedal input;
(15) Primary pitch control surface position;
(16) Primary lateral control surface position;
(17) Primary yaw control surface position;
(18) Lateral acceleration;
(19) Pitch trim surface position or parameters of paragraph (a)(82) of this section if currently recorded;
(20) Trailing edge flap or cockpit flap control selection (except when parameters of paragraph (a)(85) of this section apply);
(21) Leading edge flap or cockpit flap control selection (except when parameters of paragraph (a)(86) of this section apply);
(22) Each Thrust reverser position (or equivalent for propeller airplane);
(23) Ground spoiler position or speed brake selection (except when parameters of paragraph (a)(87) of this section apply);
(24) Outside or total air temperature;
(25) Automatic Flight Control System (AFCS) modes and engagement status, including autothrottle;
(26) Radio altitude (when an information source is installed);
(27) Localizer deviation, MLS Azimuth;
(28) Glideslope deviation, MLS Elevation;
(29) Marker beacon passage;
(30) Master warning;
(31) Air/ground sensor (primary airplane system reference nose or main gear);
(32) Angle of attack (when information source is installed);
(33) Hydraulic pressure low (each system);
(34) Ground speed (when an information source is installed);
(35) Ground proximity warning system;
(36) Landing gear position or landing gear cockpit control selection;
(37) Drift angle (when an information source is installed);
(38) Wind speed and direction (when an information source is installed);
(39) Latitude and longitude (when an information source is installed);
(40) Stick shaker/pusher (when an information source is installed);
(41) Windshear (when an information source is installed);
(42) Throttle/power lever position;
(43) Additional engine parameters (as designed in appendix E of this part);
(44) Traffic alert and collision avoidance system;
(45) DME 1 and 2 distances;
(46) Nav 1 and 2 selected frequency;
(47) Selected barometric setting (when an information source is installed);
(48) Selected altitude (when an information source is installed);
(49) Selected speed (when an information source is installed);
(50) Selected mach (when an information source is installed);
(51) Selected vertical speed (when an information source is installed);
(52) Selected heading (when an information source is installed);
(53) Selected flight path (when an information source is installed);
(54) Selected decision height (when an information source is installed);
(55) EFIS display format;
(56) Multi-function/engine/alerts display format;
(57) Thrust command (when an information source is installed);
(58) Thrust target (when an information source is installed);
(59) Fuel quantity in CG trim tank (when an information source is installed);
(60) Primary Navigation System Reference;
(61) Icing (when an information source is installed);
(62) Engine warning each engine vibration (when an information source is installed);
(63) Engine warning each engine over temp. (when an information source is installed);
(64) Engine warning each engine oil pressure low (when an information source is installed);
(65) Engine warning each engine over speed (when an information source is installed);
(66) Yaw trim surface position;
(67) Roll trim surface position;
(68) Brake pressure (selected system);
(69) Brake pedal application (left and right);
(70) Yaw of sideslip angle (when an information source is installed);
(71) Engine bleed valve position (when an information source is installed);
(72) De-icing or anti-icing system selection (when an information source is installed);
(73) Computed center of gravity (when an information source is installed);
(74) AC electrical bus status;
(75) DC electrical bus status;
(76) APU bleed valve position (when an information source is installed);
(77) Hydraulic pressure (each system);
(78) Loss of cabin pressure;
(79) Computer failure;
(80) Heads-up display (when an information source is installed);
(81) Para-visual display (when an information source is installed);
(82) Cockpit trim control input position-pitch;
(83) Cockpit trim control input position—roll;
(84) Cockpit trim control input position—yaw;
(85) Trailing edge flap and cockpit flap control position;
(86) Leading edge flap and cockpit flap control position;
(87) Ground spoiler position and speed brake selection;
(88) All cockpit flight control input forces (control wheel, control column, rudder pedal);
(89) Yaw damper status;
(90) Yaw damper command; and
(91) Standby rudder valve status.
(b) For all turbine-engine powered transport category airplanes manufactured on or before October 11, 1991, by August 20, 2001—
(1) For airplanes not equipped as of July 16, 1996, with a flight data acquisition unit (FDAU), the parameters listed in paragraphs (a)(1) through (a)(18) of this section must be recorded within the ranges and accuracies specified in Appendix D of this part, and—
(i) For airplanes with more than two engines, the parameter described in paragraph (a)(18) is not required unless sufficient capacity is available on the existing recorder to record that parameter.
(ii) Parameters listed in paragraphs (a)(12) through (a)(17) each may be recorded from a single source.
(2) For airplanes that were equipped as of July 16, 1996, with a flight data acquisition unit (FDAU), the parameters listed in paragraphs (a)(1) through (a)(22) of this section must be recorded within the ranges, accuracies, and recording intervals specified in Appendix E of this part. Parameters listed in paragraphs (a)(12) through (a)(17) each may be recorded from a single source.
(3) The approved flight recorder required by this section must be installed at the earliest time practicable, but no later than the next heavy maintenance check after August 18, 1999 and no later than August 20, 2001. A heavy maintenance check is considered to be any time an airplane is scheduled to be out of service for 4 or more days and is scheduled to include access to major structural components.
(c) For all turbine-engine-powered transport category airplanes manufactured on or before October 11, 1991—
(1) That were equipped as of July 16, 1996, with one or more digital data bus(es) and an ARINC 717 digital flight data acquisition unit (DFDAU) or equivalent, the parameters specified in paragraphs (a)(1) through (a)(22) of this section must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix E of this part by August 20, 2001. Parameters listed in paragraphs (a)(12) through (a)(14) each may be recorded from a single source.
(2) Commensurate with the capacity of the recording system (DFDAU or equivalent and the DFDR), all additional parameters for which information sources are installed and which are connected to the recording system must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix E of this part by August 20, 2001.
(3) That were subject to § 125.225(e) of this part, all conditions of § 125.225(c) must continue to be met until compliance with paragraph (c)(1) of this section is accomplished.
(d) For all turbine-engine-powered transport category airplanes that were manufactured after October 11, 1991—
(1) The parameters listed in paragraphs (a)(1) through (a)(34) of this section must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix E of this part by August 20, 2001. Paramaters listed in paragraphs (a)(12) through (a)(14) each may be recorded from a single source.
(2) Commensurate with the capacity of the recording system, all additional parameters for which information sources are installed and which are connected to the recording system, must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix E of this part by August 20, 2001.
(e) For all turbine-engine-powered transport category airplanes that are manufactured after August 18, 2000—
(1) The parameters listed in paragraph (a) (1) through (57) of this section must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix E of this part.
(2) Commensurate with the capacity of the recording system, all additional parameters for which information sources are installed and which are connected to the recording system, must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix E of this part.
(3) In addition to the requirements of paragraphs (e)(1) and (e)(2) of this section, all Boeing 737 model airplanes must also comply with the requirements of paragraph (n) of this section, as applicable.
(f) For all turbine-engine-powered transport category airplanes manufactured after August 19, 2002—
(1) The parameters listed in paragraphs (a)(1) through (a)(88) of this section must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix E to this part.
(2) In addition to the requirements of paragraphs (f)(1) of this section, all Boeing 737 model airplanes must also comply with the requirements of paragraph (n) of this section.
(g) Whenever a flight data recorder required by this section is installed, it must be operated continuously from the instant the airplane begins its takeoff roll until it has completed its landing roll.
(h) Except as provided in paragraph (i) of this section, and except for recorded data erased as authorized in this paragraph, each certificate holder shall keep the recorded data prescribed by this section, as appropriate, until the airplane has been operated for at least 25 hours of the operating time specified in § 121.359(a) of this part. A total of 1 hour of recorded data may be erased for the purpose of testing the flight recorder or the flight recorder system. Any erasure made in accordance with this paragraph must be of the oldest recorded data accumulated at the time of testing. Except as provided in paragraph (i) of this section, no record need to be kept more than 60 days.
(i) In the event of an accident or occurrence that requires immediate notification of the National Transportation Safety Board under 49 CFR 830 of its regulations and that results in termination of the flight, the certificate holder shall remove the recorder from the airplane and keep the recorder data prescribed by this section, as appropriate, for at least 60 days or for a longer period upon the request of the Board or the Administrator.
(j) Each flight data recorder system required by this section must be installed in accordance with the requirements of § 25.1459(a) (except paragraphs (a)(3)(ii) and (7)), (b), (d) and (e) of this chapter. A correlation must be established between the values recorded by the flight data recorder and the corresponding values being measured. The correlation must contain a sufficient number of correlation points to accurately establish the conversion from the recorded values to engineering units or discrete state over the full operating range of the parameter. Except for airplanes having separate altitude and airspeed sensors that are an integral part of the flight data recorder system, a single correlation may be established for any group of airplanes—
(1) That are of the same type;
(2) On which the flight recorder system and its installation are the same; and
(3) On which there is no difference in the type design with respect to the installation of those sensors associated with the flight data recorder system. Documentation sufficient to convert recorded data into the engineering units and discrete values specified in the applicable appendix must be maintained by the certificate holder.
(k) Each flight data recorder required by this section must have an approved device to assist in locating that recorder under water.
(l) The following airplanes that were manufactured before August 18, 1997 need not comply with this section, but must continue to comply with applicable paragraphs of § 125.225 of this chapter, as appropriate:
(1) Airplanes that meet the Stage 2 noise levels of part 36 of this chapter and are subject to § 91.801(c) of this chapter, until January 1, 2000. On and after January 1, 2000, any Stage 2 airplane otherwise allowed to be operated under Part 91 of this chapter must comply with the applicable flight data recorder requirements of this section for that airplane.
(2) British Aerospace 1-11, General Dynamics Convair 580, General Dynamics Convair 600, General Dynamics Convair 640, deHavilland Aircraft Company Ltd. DHC-7, Fairchild Industries FH 227, Fokker F-27 (except Mark 50), F-28 Mark 1000 and Mark 4000, Gulfstream Aerospace G-159, Jetstream 4100 Series, Lockheed Aircraft Corporation Electra 10-A, Lockheed Aircraft Corporation Electra 10-B, Lockheed Aircraft Corporation Electra 10-E, Lockheed Aircraft Corporation Electra L-188, Lockheed Martin Model 382 (L-100) Hercules, Maryland Air Industries, Inc. F27, Mitsubishi Heavy Industries, Ltd. YS-11, Short Bros. Limited SD3-30, Short Bros. Limited SD3-60.
(m) All aircraft subject to the requirements of this section that are manufactured on or after April 7, 2010, must have a flight data recorder installed that also—
(1) Meets the requirements in § 25.1459(a)(3), (a)(7), and (a)(8) of this chapter; and
(2) Retains the 25 hours of recorded information required in paragraph (f) of this section using a recorder that meets the standards of TSO-C124a, or later revision.
(n) In addition to all other applicable requirements of this section, all Boeing 737 model airplanes manufactured after August 18, 2000 must record the parameters listed in paragraphs (a)(88) through (a)(91) of this section within the ranges, accuracies, resolutions, and recording intervals specified in Appendix E to this part. Compliance with this paragraph is required no later than February 2, 2011.
(a) No certificate holder may operate a large turbine engine powered airplane or a large pressurized airplane with four reciprocating engines unless an approved cockpit voice recorder is installed in that airplane and is operated continuously from the start of the use of the checklist (before starting engines for the purpose of flight) to completion of the final checklist at the termination of the flight.
(b) Each certificate holder shall establish a schedule for completion, before the prescribed dates, of the cockpit voice recorder installations required by paragraph (a) of this section. In addition, the certificate holder shall identify any airplane specified in paragraph (a) of this section he intends to discontinue using before the prescribed dates.
(c) The cockpit voice recorder required by this section must also meet the following standards:
(1) The requirements of part 25 of this chapter in effect after October 11, 1991.
(2) After September 1, 1980, each recorder container must—
(i) Be either bright orange or bright yellow;
(ii) Have reflective tape affixed to the external surface to facilitate its location under water; and
(iii) Have an approved underwater locating device on or adjacent to the container which is secured in such a manner that it is not likely to be separated during crash impact, unless the cockpit voice recorder and the flight recorder, required by § 125.225 of this chapter, are installed adjacent to each other in such a manner that they are not likely to be separated during crash impact.
(d) In complying with this section, an approved cockpit voice recorder having an erasure feature may be used so that, at any time during the operation of the recorder, information recorded more than 30 minutes earlier may be erased or otherwise obliterated.
(e) For those aircraft equipped to record the uninterrupted audio signals received by a boom or a mask microphone the flight crewmembers are required to use the boom microphone below 18,000 feet mean sea level. No person may operate a large turbine engine powered airplane or a large pressurized airplane with four reciprocating engines manufactured after October 11, 1991, or on which a cockpit voice recorder has been installed after October 11, 1991, unless it is equipped to record the uninterrupted audio signal received by a boom or mask microphone in accordance with § 25.1457(c)(5) of this chapter.
(f) In the event of an accident or occurrence requiring immediate notification of the National Transportation Safety Board under 49 CFR part 830 of its regulations, which results in the termination of the flight, the certificate holder shall keep the recorded information for at least 60 days or, if requested by the Administrator or the Board, for a longer period. Information obtained from the record is used to assist in determining the cause of accidents or occurrences in connection with investigations under 49 CFR part 830. The Administrator does not use the record in any civil penalty or certificate action.
(g) By April 7, 2012, all turbine engine-powered airplanes subject to this section that are manufactured before April 7, 2010, must have a cockpit voice recorder installed that also—
(1) Meets the requirements of § 25.1457(a)(3), (a)(4), (a)(5), and (d)(6) of this chapter;
(2) Retains at least—
(i) The last 25 hours of recorded information using a recorder that meets the standards of TSO-C123c, or later revision, if:
(A) Manufactured on or after May 16, 2025, for a transport category aircraft type-certificated with 30 or more passenger seats;
(B) If manufactured on or after February 2, 2027, for airplanes with a maximum certified takeoff weight (MCTOW) of 59,525 pounds or more and type-certificated with 29 or fewer passenger seats; or
(C) If manufactured on or after February 2, 2029, for airplanes with a maximum certified takeoff weight (MCTOW) of 59,524 pounds or less.
(ii) The last 2 hours of recorded information using a recorder that meets the standards of TSO-C123a, or later revision, unless the airplane meets the manufacturing date and requirements found in (g)(2)(i)(A), (g)(2)(i)(B), or (g)(2)(i)(C) of this paragraph; and
(3) Is operated continuously from the start of the use of the checklist (before starting the engines for the purpose of flight), to the completion of the final checklist at the termination of the flight.
(h) All turbine engine-powered airplanes subject to this section that are manufactured on or after April 7, 2010, must have a cockpit voice recorder installed that also—
(1) Is installed in accordance with the requirements of § 25.1457 (except for paragraph (a)(6)) of this chapter;
(2) Retains at least—
(i) The last 25 hours of recorded information using a recorder that meets the standards of TSO-C123c, or later revision, if:
(A) Manufactured on or after May 16, 2025, for airplanes with a maximum certified takeoff weight (MCTOW) of 59,525 pounds or more, or a transport category aircraft type-certificated with 30 or more passenger seats;
(B) If manufactured on or after February 2, 2027, for airplanes with a maximum certified takeoff weight (MCTOW) of 59,525 pounds or more and type-certificated with 29 or fewer passenger seats;
(C) If manufactured on or after February 2, 2029, for airplanes with a maximum certified takeoff weight (MCTOW) of 59,524 pounds or less; or
(ii) The last 2 hours of recorded information using a recorder that meets the standards of TSO-C123a, or later revision, unless the airplane meets the manufacturing date and requirements found in (h)(2)(i)(A), (h)(2)(i)(B), or (h)(2)(i)(C) of this paragraph; and
(3) Is operated continuously from the start of the use of the checklist (before starting the engines for the purpose of flight), to the completion of the final checklist at the termination of the flight.
(4) For all airplanes manufactured on or after December 6, 2010, also meets the requirements of § 25.1457(a)(6) of this chapter.
(i) All airplanes required by this part to have a cockpit voice recorder and a flight data recorder, that install datalink communication equipment on or after December 6, 2010, must record all datalink messages as required by the certification rule applicable to the airplane.
(a) A flight data signal is filtered when an original sensor signal has been changed in any way, other than changes necessary to:
(1) Accomplish analog to digital conversion of the signal;
(2) Format a digital signal to be DFDR compatible; or
(3) Eliminate a high frequency component of a signal that is outside the operational bandwidth of the sensor.
(b) An original sensor signal for any flight recorder parameter required to be recorded under § 125.226 may be filtered only if the recorded signal value continues to meet the requirements of Appendix D or E of this part, as applicable.
(c) For a parameter described in § 125.226(a) (12) through (17), (42), or (88), or the corresponding parameter in Appendix D of this part, if the recorded signal value is filtered and does not meet the requirements of Appendix D or E of this part, as applicable, the certificate holder must:
(1) Remove the filtering and ensure that the recorded signal value meets the requirements of Appendix D or E of this part, as applicable; or
(2) Demonstrate by test and analysis that the original sensor signal value can be reconstructed from the recorded data. This demonstration requires that:
(i) The FAA determine that the procedure and the test results submitted by the certificate holder as its compliance with paragraph (c)(2) of this section are repeatable; and
(ii) The certificate holder maintains documentation of the procedure required to reconstruct the original sensor signal value. This documentation is also subject to the requirements of § 125.226(i).
(d) Compliance. Compliance is required as follows:
(1) No later than October 20, 2011, each operator must determine, for each airplane it operates, whether the airplane's DFDR system is filtering any of the parameters listed in paragraph (c) of this section. The operator must create a record of this determination for each airplane it operates, and maintain it as part of the correlation documentation required by § 125.226(j)(3) of this part.
(2) For airplanes that are not filtering any listed parameter, no further action is required unless the airplane's DFDR system is modified in a manner that would cause it to meet the definition of filtering on any listed parameter.
(3) For airplanes found to be filtering a parameter listed in paragraph (c) of this section, the operator must either:
(i) No later than April 21, 2014, remove the filtering; or
(ii) No later than April 22, 2013, submit the necessary procedure and test results required by paragraph (c)(2) of this section.
(4) After April 21, 2014, no aircraft flight data recording system may filter any parameter listed in paragraph (c) of this section that does not meet the requirements of Appendix D or E of this part, unless the certificate holder possesses test and analysis procedures and the test results that have been approved by the FAA. All records of tests, analysis and procedures used to comply with this section must be maintained as part of the correlation documentation required by § 125.226(j)(3) of this part.
This subpart prescribes rules, in addition to those prescribed in other parts of this chapter, for the maintenance of airplanes, airframes, aircraft engines, propellers, appliances, each item of survival and emergency equipment, and their component parts operated under this part.
(a) With regard to airplanes, including airframes, aircraft engines, propellers, appliances, and survival and emergency equipment, operated by a certificate holder, that certificate holder is primarily responsible for—
(1) Airworthiness;
(2) The performance of maintenance, preventive maintenance, and alteration in accordance with applicable regulations and the certificate holder's manual;
(3) The scheduling and performance of inspections required by this part; and
(4) Ensuring that maintenance personnel make entries in the airplane maintenance log and maintenance records which meet the requirements of part 43 of this chapter and the certificate holder's manual, and which indicate that the airplane has been approved for return to service after maintenance, preventive maintenance, or alteration has been performed.
The certificate holder must ensure that each person with whom it arranges for the performance of maintenance, preventive maintenance, alteration, or required inspection items identified in the certificate holder's manual in accordance with § 125.249(a)(3)(ii) must have an organization adequate to perform that work.
(a) No person may operate an airplane subject to this part unless
(1) The replacement times for life-limited parts specified in the aircraft type certificate data sheets, or other documents approved by the Administrator, are complied with;
(2) Defects disclosed between inspections, or as a result of inspection, have been corrected in accordance with part 43 of this chapter; and
(3) The airplane, including airframe, aircraft engines, propellers, appliances, and survival and emergency equipment, and their component parts, is inspected in accordance with an inspection program approved by the Administrator.
(b) The inspection program specified in paragraph (a)(3) of this section must include at least the following:
(1) Instructions, procedures, and standards for the conduct of inspections for the particular make and model of airplane, including necessary tests and checks. The instructions and procedures must set forth in detail the parts and areas of the airframe, aircraft engines, propellers, appliances, and survival and emergency equipment required to be inspected.
(2) A schedule for the performance of inspections that must be performed under the program, expressed in terms of the time in service, calendar time, number of system operations, or any combination of these.
(c) No person may be used to perform the inspections required by this part unless that person is authorized to perform maintenance under part 43 of this chapter.
(d) No person may operate an airplane subject to this part unless—
(1) The installed engines have been maintained in accordance with the overhaul periods recommended by the manufacturer or a program approved by the Administrator; and
(2) The engine overhaul periods are specified in the inspection programs required by § 125.247(a)(3).
(e) Inspection programs which may be approved for use under this part include, but are not limited to—
(1) A continuous inspection program which is a part of a current continuous airworthiness program approved for use by a certificate holder under part 121 or part 135 of this chapter;
(2) Inspection programs currently recommended by the manufacturer of the airplane, aircraft engines, propellers, appliances, or survival and emergency equipment; or
(3) An inspection program developed by a certificate holder under this part.
(a) Each certificate holder's manual required by § 125.71 of this part shall contain, in addition to the items required by § 125.73 of this part, at least the following:
(1) A description of the certificate holders maintenance organization, when the certificate holder has such an organization.
(2) A list of those persons with whom the certificate holder has arranged for performance of inspections under this part. The list shall include the persons' names and addresses.
(3) The inspection programs required by § 125.247 of this part to be followed in the performance of inspections under this part including—
(i) The method of performing routine and nonroutine inspections (other than required inspections);
(ii) The designation of the items that must be inspected (required inspections), including at least those which if improperly accomplished could result in a failure, malfunction, or defect endangering the safe operation of the airplane;
(iii) The method of performing required inspections;
(iv) Procedures for the inspection of work performed under previously required inspection findings (“buy-back procedures”);
(v) Procedures, standards, and limits necessary for required inspections and acceptance or rejection of the items required to be inspected;
(vi) Instructions to prevent any person who performs any item of work from performing any required inspection of that work; and
(vii) Procedures to ensure that work interruptions do not adversely affect required inspections and to ensure required inspections are properly completed before the airplane is released to service.
(b) In addition, each certificate holder's manual shall contain a suitable system which may include a coded system that provides for the retention of the following:
(1) A description (or reference to data acceptable to the Administrator) of the work performed.
(2) The name of the person performing the work and the person's certificate type and number.
(3) The name of the person approving the work and the person's certificate type and number.
(a) No person may use any person to perform required inspections unless the person performing the inspection is appropriately certificated, properly trained, qualified, and authorized to do so.
(b) No person may perform a required inspection if that person performed the item of work required to be inspected.
(a) No certificate holder may use any person as an airman nor may any person serve as an airman unless that person—
(1) Holds an appropriate current airman certificate issued by the FAA;
(2) Has any required appropriate current airman and medical certificates in that person's possession while engaged in operations under this part; and
(3) Is otherwise qualified for the operation for which that person is to be used.
(b) Each airman covered by paragraph (a) of this section shall present the certificates for inspection upon the request of the Administrator.
(a) No certificate holder may operate an airplane with less than the minimum flightcrew specified in the type certificate and the Airplane Flight Manual approved for that type airplane and required by this part for the kind of operation being conducted.
(b) In any case in which this part requires the performance of two or more functions for which an airman certificate is necessary, that requirement is not satisfied by the performance of multiple functions at the same time by one airman.
(c) On each flight requiring a flight engineer, at least one flight crewmember, other than the flight engineer, must be qualified to provide emergency performance of the flight engineer's functions for the safe completion of the flight if the flight engineer becomes ill or is otherwise incapacitated. A pilot need not hold a flight engineer's certificate to perform the flight engineer's functions in such a situation.
(a) No person may operate an airplane for which a flight engineer is required by the type certification requirements without a flight crewmember holding a current flight engineer certificate.
(b) No person may serve as a required flight engineer on an airplane unless, within the preceding 6 calendar months, that person has had at least 50 hours of flight time as a flight engineer on that type airplane, or the Administrator has checked that person on that type airplane and determined that person is familiar and competent with all essential current information and operating procedures.
(a) No certificate holder may operate an airplane outside the 48 conterminous States and the District of Columbia when its position cannot be reliably fixed for a period of more than 1 hour, without—
(1) A flight crewmember who holds a current flight navigator certificate; or
(2) Two independent, properly functioning, and approved long-range means of navigation which enable a reliable determination to be made of the position of the airplane by each pilot seated at that person's duty station.
(b) Operations where a flight navigator or long-range navigation equipment, or both, are required are specified in the operations specifications of the operator.
(a) Each certificate holder shall provide at least the following flight attendants on each passenger-carrying airplane used:
(1) For airplanes having more than 19 but less than 51 passengers—one flight attendant.
(2) For airplanes having more than 50 but less than 101 passengers—two flight attendants.
(3) For airplanes having more than 100 passengers—two flight attendants plus one additional flight attendant for each unit (or part of a unit) of 50 passengers above 100 passengers.
(b) The number of flight attendants approved under paragraphs (a) and (b) of this section are set forth in the certificate holder's operations specifications.
(c) During takeoff and landing, flight attendants required by this section shall be located as near as practicable to required floor level exits and shall be uniformly distributed throughout the airplane to provide the most effective egress of passengers in event of an emergency evacuation.
(a) Each certificate holder shall, for each type and model of airplane, assign to each category of required crewmember, as appropriate, the necessary functions to be performed in an emergency or a situation requiring emergency evacuation. The certificate holder shall show those functions are realistic, can be practically accomplished, and will meet any reasonably anticipated emergency, including the possible incapacitation of individual crewmembers or their inability to reach the passenger cabin because of shifting cargo in combination cargo-passenger airplanes.
(b) The certificate holder shall describe in its manual the functions of each category of required crewmembers under paragraph (a) of this section.
No certificate holder may use any person, nor may any person serve, as pilot in command of an airplane unless that person—
(a) Holds at least a commercial pilot certificate, an appropriate category, class, and type rating, and an instrument rating; and
(b) Has had at least 1,200 hours of flight time as a pilot, including 500 hours of cross-country flight time, 100 hours of night flight time, including at least 10 night takeoffs and landings, and 75 hours of actual or simulated instrument flight time, at least 50 hours of which were actual flight.
No certificate holder may use any person, nor may any person serve, as second in command of an airplane unless that person—
(a) Holds at least a commercial pilot certificate with appropriate category and class ratings, and an instrument rating; and
(b) For flight under IFR, meets the recent instrument experience requirements prescribed for a pilot in command in part 61 of this chapter.
(a) No certificate holder may use any person, nor may any person serve, as a required pilot flight crewmember unless within the preceding 90 calendar days that person has made at least three takeoffs and landings in the type airplane in which that person is to serve. The takeoffs and landings required by this paragraph may be performed in a flight simulator if the flight simulator is qualified and approved by the Administrator for such purpose. However, any person who fails to qualify for a 90-consecutive-day period following the date of that person's last qualification under this paragraph must reestablish recency of experience as provided in paragraph (b) of this section.
(b) A required pilot flight crewmember who has not met the requirements of paragraph (a) of this section may reestablish recency of experience by making at least three takeoffs and landings under the supervision of an authorized check airman, in accordance with the following:
(1) At least one takeoff must be made with a simulated failure of the most critical powerplant.
(2) At least one landing must be made from an ILS approach to the lowest ILS minimums authorized for the certificate holder.
(3) At least one landing must be made to a complete stop.
(c) A required pilot flight crewmember who performs the maneuvers required by paragraph (b) of this section in a qualified and approved flight simulator, as prescribed in paragraph (a) of this section, must—
(1) Have previously logged 100 hours of flight time in the same type airplane in which the pilot is to serve; and
(2) Be observed on the first two landings made in operations under this part by an authorized check airman who acts as pilot in command and occupies a pilot seat. The landings must be made in weather minimums that are not less than those contained in the certificate holder's operations specifications for Category I operations and must be made within 45 days following completion of simulator testing.
(d) An authorized check airman who observes the takeoffs and landings prescribed in paragraphs (b) and (c)(2) of this section shall certify that the person being observed is proficient and qualified to perform flight duty in operations under this part, and may require any additional maneuvers that are determined necessary to make this certifying statement.
(a) No certificate holder may use any person, nor may any person serve as a pilot, unless, since the beginning of the 12th calendar month before that service, that person has passed a written or oral test, given by the Administrator or an authorized check airman on that person's knowledge in the following areas—
(1) The appropriate provisions of parts 61, 91, and 125 of this chapter and the operations specifications and the manual of the certificate holder;
(2) For each type of airplane to be flown by the pilot, the airplane powerplant, major components and systems, major appliances, performance and operating limitations, standard and emergency operating procedures, and the contents of the approved Airplane Flight Manual or approved equivalent, as applicable;
(3) For each type of airplane to be flown by the pilot, the method of determining compliance with weight and balance limitations for takeoff, landing, and en route operations;
(4) Navigation and use of air navigation aids appropriate to the operation of pilot authorization, including, when applicable, instrument approach facilities and procedures;
(5) Air traffic control procedures, including IFR procedures when applicable;
(6) Meteorology in general, including the principles of frontal systems, icing, fog, thunderstorms, and windshear, and, if appropriate for the operation of the certificate holder, high altitude weather;
(7) Procedures for avoiding operations in thunderstorms and hail, and for operating in turbulent air or in icing conditions;
(8) New equipment, procedures, or techniques, as appropriate;
(9) Knowledge and procedures for operating during ground icing conditions, (i.e., any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the airplane), if the certificate holder expects to authorize takeoffs in ground icing conditions, including:
(i) The use of holdover times when using deicing/anti-icing fluids.
(ii) Airplane deicing/anti-icing procedures, including inspection and check procedures and responsibilities.
(iii) Communications.
(iv) Airplane surface contamination (i.e., adherence of frost, ice, or snow) and critical area identification, and knowledge of how contamination adversely affects airplane performance and flight characteristics.
(v) Types and characteristics of deicing/anti-icing fluids, if used by the certificate holder.
(vi) Cold weather preflight inspection procedures.
(vii) Techniques for recognizing contamination on the airplane.
(b) No certificate holder may use any person, nor may any person serve, as a pilot in any airplane unless, since the beginning of the 12th calendar month before that service, that person has passed a competency check given by the Administrator or an authorized check airman in that type of airplane to determine that person's competence in practical skills and techniques in that airplane or type of airplane. The extent of the competency check shall be determined by the Administrator or authorized check airman conducting the competency check. The competency check may include any of the maneuvers and procedures currently required for the original issuance of the particular pilot certificate required for the operations authorized and appropriate to the category, class, and type of airplane involved. For the purposes of this paragraph, type, as to an airplane, means any one of a group of airplanes determined by the Administrator to have a similar means of propulsion, the same manufacturer, and no significantly different handling or flight characteristics.
(c) The instrument proficiency check required by § 125.291 may be substituted for the competency check required by this section for the type of airplane used in the check.
(d) For the purposes of this part, competent performance of a procedure or maneuver by a person to be used as a pilot requires that the pilot be the obvious master of the airplane with the successful outcome of the maneuver never in doubt.
(e) The Administrator or authorized check airman certifies the competency of each pilot who passes the knowledge or flight check in the certificate holder's pilot records.
(f) Portions of a required competency check may be given in an airplane simulator or other appropriate training device, if approved by the Administrator.
(g) If the certificate holder is authorized to conduct EFVS operations, the competency check in paragraph (b) of this section must include tasks appropriate to the EFVS operations the certificate holder is authorized to conduct.
No certificate holder may use any person, nor may any person serve, as a flight attendant crewmember, unless, since the beginning of the 12th calendar month before that service, the certificate holder has determined by appropriate initial and recurrent testing that the person is knowledgeable and competent in the following areas as appropriate to assigned duties and responsibilities:
(a) Authority of the pilot in command;
(b) Passenger handling, including procedures to be followed in handling deranged persons or other persons whose conduct might jeopardize safety;
(c) Crewmember assignments, functions, and responsibilities during ditching and evacuation of persons who may need the assistance of another person to move expeditiously to an exit in an emergency;
(d) Briefing of passengers;
(e) Location and operation of portable fire extinguishers and other items of emergency equipment;
(f) Proper use of cabin equipment and controls;
(g) Location and operation of passenger oxygen equipment;
(h) Location and operation of all normal and emergency exits, including evacuation chutes and escape ropes; and
(i) Seating of persons who may need assistance of another person to move rapidly to an exit in an emergency as prescribed by the certificate holder's operations manual.
(a) No certificate holder may use any person, nor may any person serve, as a pilot in command of an airplane under IFR unless, since the beginning of the sixth calendar month before that service, that person has passed an instrument proficiency check and the Administrator or an authorized check airman has so certified in a letter of competency.
(b) No pilot may use any type of precision instrument approach procedure under IFR unless, since the beginning of the sixth calendar month before that use, the pilot has satisfactorily demonstrated that type of approach procedure and has been issued a letter of competency under paragraph (g) of this section. No pilot may use any type of nonprecision approach procedure under IFR unless, since the beginning of the sixth calendar month before that use, the pilot has satisfactorily demonstrated either that type of approach procedure or any other two different types of nonprecision approach procedures and has been issued a letter of competency under paragraph (g) of this section. The instrument approach procedure or procedures must include at least one straight-in approach, one circling approach, and one missed approach. Each type of approach procedure demonstrated must be conducted to published minimums for that procedure.
(c) The instrument proficiency check required by paragraph (a) of this section consists of an oral or written equipment test and a flight check under simulated or actual IFR conditions. The equipment test includes questions on emergency procedures, engine operation, fuel and lubrication systems, power settings, stall speeds, best engine-out speed, propeller and supercharge operations, and hydraulic, mechanical, and electrical systems, as appropriate. The flight check includes navigation by instruments, recovery from simulated emergencies, and standard instrument approaches involving navigational facilities which that pilot is to be authorized to use.
(1) For a pilot in command of an airplane, the instrument proficiency check must include the procedures and maneuvers for a commercial pilot certificate with an instrument rating and, if required, for the appropriate type rating.
(2) The instrument proficiency check must be given by an authorized check airman or by the Administrator.
(d) If the pilot in command is assigned to pilot only one type of airplane, that pilot must take the instrument proficiency check required by paragraph (a) of this section in that type of airplane.
(e) If the pilot in command is assigned to pilot more than one type of airplane, that pilot must take the instrument proficiency check required by paragraph (a) of this section in each type of airplane to which that pilot is assigned, in rotation, but not more than one flight check during each period described in paragraph (a) of this section.
(f) Portions of a required flight check may be given in an airplane simulator or other appropriate training device, if approved by the Administrator.
(g) The Administrator or authorized check airman issues a letter of competency to each pilot who passes the instrument proficiency check. The letter of competency contains a list of the types of instrument approach procedures and facilities authorized.
(a) If a crewmember who is required to take a test or a flight check under this part completes the test or flight check in the calendar month before or after the calendar month in which it is required, that crewmember is considered to have completed the test or check in the calendar month in which it is required.
(b) If a pilot being checked under this subpart fails any of the required maneuvers, the person giving the check may give additional training to the pilot during the course of the check. In addition to repeating the maneuvers failed, the person giving the check may require the pilot being checked to repeat any other maneuvers that are necessary to determine the pilot's proficiency. If the pilot being checked is unable to demonstrate satisfactory performance to the person conducting the check, the certificate holder may not use the pilot, nor may the pilot serve, in the capacity for which the pilot is being checked in operations under this part until the pilot has satisfactorily completed the check.
Each certificate holder desiring FAA approval of a check airman shall submit a request in writing to the responsible Flight Standards office charged with the overall inspection of the certificate holder. The Administrator may issue a letter of authority to each check airman if that airman passes the appropriate oral and flight test. The letter of authority lists the tests and checks in this part that the check airman is qualified to give, and the category, class and type airplane, where appropriate, for which the check airman is qualified.
A crewmember who has successfully completed training, testing, or checking in accordance with an approved training program that meets the requirements of this part and that is conducted in accordance with an approved course conducted by a training center certificated under part 142 of this chapter, is considered to meet applicable requirements of this part.
(a) Flight simulators and flight training devices approved by the Administrator may be used in training, testing, and checking required by this subpart.
(b) Each flight simulator and flight training device that is used in training, testing, and checking required under this subpart must be used in accordance with an approved training course conducted by a training center certificated under part 142 of this chapter, or meet the following requirements:
(1) It must be specifically approved for—
(i) The certificate holder;
(ii) The type airplane and, if applicable, the particular variation within type for which the check is being conducted; and
(iii) The particular maneuver, procedure, or crewmember function involved.
(2) It must maintain the performance, functional, and other characteristics that are required for approval.
(3) It must be modified to conform with any modification to the airplane being simulated that changes the performance, functional, or other characteristics required for approval.
(a) Except as provided in paragraph (b) of this section, each required flight crewmember on flight deck duty must remain at the assigned duty station with seat belt fastened while the airplane is taking off or landing and while it is en route.
(b) A required flight crewmember may leave the assigned duty station—
(1) If the crewmember's absence is necessary for the performance of duties in connection with the operation of the airplane;
(2) If the crewmember's absence is in connection with physiological needs; or
(3) If the crewmember is taking a rest period and relief is provided—
(i) In the case of the assigned pilot in command, by a pilot qualified to act as pilot in command.
(ii) In the case of the assigned second in command, by a pilot qualified to act as second in command of that airplane during en route operations. However, the relief pilot need not meet the recent experience requirements of § 125.285.
No pilot in command may allow any person to manipulate the controls of an airplane while carrying passengers during flight, nor may any person manipulate the controls while carrying passengers during flight, unless that person is a qualified pilot of the certificate holder operating that airplane.
(a) No person may admit any person to the flight deck of an airplane unless the person being admitted is—
(1) A crewmember;
(2) An FAA inspector or an authorized representative of the National Transportation Safety Board who is performing official duties; or
(3) Any person who has the permission of the pilot in command.
(b) No person may admit any person to the flight deck unless there is a seat available for the use of that person in the passenger compartment, except—
(1) An FAA inspector or an authorized representative of the Administrator or National Transportation Safety Board who is checking or observing flight operations; or
(2) A certificated airman employed by the certificate holder whose duties require an airman certificate.
(a) Whenever, in performing the duties of conducting an inspection, an FAA inspector presents an Aviation Safety Inspector credential, FAA Form 110A, to the pilot in command of an airplane operated by the certificate holder, the inspector must be given free and uninterrupted access to the pilot compartment of that airplane. However, this paragraph does not limit the emergency authority of the pilot in command to exclude any person from the pilot compartment in the interest of safety.
(b) A forward observer's seat on the flight deck, or forward passenger seat with headset or speaker, must be provided for use by the Administrator while conducting en route inspections. The suitability of the location of the seat and the headset or speaker for use in conducting en route inspections is determined by the Administrator.
(a) In an emergency situation that requires immediate decision and action, the pilot in command may take any action considered necessary under the circumstances. In such a case, the pilot in command may deviate from prescribed operations, procedures and methods, weather minimums, and this chapter, to the extent required in the interests of safety.
(b) In an emergency situation arising during flight that requires immediate decision and action by appropriate management personnel in the case of operations conducted with a flight following service and which is known to them, those personnel shall advise the pilot in command of the emergency, shall ascertain the decision of the pilot in command, and shall have the decision recorded. If they cannot communicate with the pilot, they shall declare an emergency and take any action that they consider necessary under the circumstances.
(c) Whenever emergency authority is exercised, the pilot in command or the appropriate management personnel shall keep the appropriate ground radio station fully informed of the progress of the flight. The person declaring the emergency shall send a written report of any deviation, through the operator's director of operations, to the Administrator within 10 days, exclusive of Saturdays, Sundays, and Federal holidays, after the flight is completed or, in the case of operations outside the United States, upon return to the home base.
Whenever the pilot in command encounters a meteorological condition or an irregularity in a ground facility or navigation aid in flight, the knowledge of which the pilot in command considers essential to the safety of other flights, the pilot in command shall notify an appropriate ground station as soon as practicable.
The pilot in command shall ensure that all mechanical irregularities occurring during flight are entered in the maintenance log of the airplane at the next place of landing. Before each flight, the pilot in command shall ascertain the status of each irregularity entered in the log at the end of the preceding flight.
Except as specified in § 91.176 of this chapter, no person may make an instrument approach at an airport except in accordance with IFR weather minimums and unless the type of instrument approach procedure to be used is listed in the certificate holder's operations specifications.
(a) Before each takeoff, each pilot in command of an airplane carrying passengers shall ensure that all passengers have been orally briefed on—
(1) Smoking. Each passenger shall be briefed on when, where, and under what conditions smoking is prohibited. This briefing shall include a statement that the Federal Aviation Regulations require passenger compliance with the lighted passenger information signs, posted placards, areas designated for safety purposes as no smoking areas, and crewmember instructions with regard to these items.
(2) The use of safety belts, including instructions on how to fasten and unfasten the safety belts. Each passenger shall be briefed on when, where, and under what conditions the safety belt must be fastened about him or her. This briefing shall include a statement that the Federal Aviation Regulations require passenger compliance with lighted passenger information signs and crewmember instructions concerning the use of safety belts.
(3) The placement of seat backs in an upright position before takeoff and landing;
(4) Location and means for opening the passenger entry door and emergency exits;
(5) Location of survival equipment;
(6) If the flight involves extended overwater operation, ditching procedures and the use of required flotation equipment;
(7) If the flight involves operations above 12,000 feet MSL, the normal and emergency use of oxygen; and
(8) Location and operation of fire extinguishers.
(b) Before each takeoff, the pilot in command shall ensure that each person who may need the assistance of another person to move expeditiously to an exit if an emergency occurs and that person's attendant, if any, has received a briefing as to the procedures to be followed if an evacuation occurs. This paragraph does not apply to a person who has been given a briefing before a previous leg of a flight in the same airplane.
(c) The oral briefing required by paragraph (a) of this section shall be given by the pilot in command or a member of the crew. It shall be supplemented by printed cards for the use of each passenger containing—
(1) A diagram and method of operating the emergency exits; and
(2) Other instructions necessary for the use of emergency equipment on board the airplane.
(d) The certificate holder shall describe in its manual the procedure to be followed in the briefing required by paragraph (a) of this section.
(e) If the airplane does not proceed directly over water after takeoff, no part of the briefing required by paragraph (a)(6) of this section has to be given before takeoff but the briefing required by paragraph (a)(6) must be given before reaching the overwater part of the flight.
No person may assault, threaten, intimidate, or interfere with a crewmember in the performance of the crewmember's duties aboard an aircraft being operated under this part.
(a) Definitions. For purpose of this section—
(1) Altitudes for takeoff/initial climb and go-around/missed approach are defined as above the airport elevation.
(2) Altitudes for enroute operations are defined as above terrain elevation.
(3) Altitudes for approach are defined as above the touchdown zone elevation (TDZE), unless the altitude is specifically in reference to DA (H) or MDA, in which case the altitude is defined by reference to the DA(H) or MDA itself.
(b) Takeoff and initial climb. No person may use an autopilot for takeoff or initial climb below the higher of 500 feet or an altitude that is no lower than twice the altitude loss specified in the Airplane Flight Manual (AFM), except as follows—
(1) At a minimum engagement altitude specified in the AFM; or
(2) At an altitude specified by the Administrator, whichever is greater.
(c) Enroute. No person may use an autopilot enroute, including climb and descent, below the following—
(1) 500 feet;
(2) At an altitude that is no lower than twice the altitude loss specified in the AFM for an autopilot malfunction in cruise conditions; or
(3) At an altitude specified by the Administrator, whichever is greater.
(d) Approach. No person may use an autopilot at an altitude lower than 50 feet below the DA(H) or MDA for the instrument procedure being flown, except as follows—
(1) For autopilots with an AFM specified altitude loss for approach operations—
(i) An altitude no lower than twice the specified altitude loss if higher than 50 feet below the MDA or DA(H);
(ii) An altitude no lower than 50 feet higher than the altitude loss specified in the AFM, when the following conditions are met—
(A) Reported weather conditions are less than the basic VFR weather conditions in § 91.155 of this chapter;
(B) Suitable visual references specified in § 91.175 of this chapter have been established on the instrument approach procedure; and
(C) The autopilot is coupled and receiving both lateral and vertical path references;
(iii) An altitude no lower than the higher of the altitude loss specified in the AFM or 50 feet above the TDZE, when the following conditions are met—
(A) Reported weather conditions are equal to or better than the basic VFR weather conditions in § 91.155 of this chapter; and
(B) The autopilot is coupled and receiving both lateral and vertical path references; or
(iv) A greater altitude specified by the Administrator.
(2) For autopilots with AFM specified approach altitude limitations, the greater of—
(i) The minimum use altitude specified for the coupled approach mode selected;
(ii) 50 feet; or
(iii) An altitude specified by Administrator.
(3) For autopilots with an AFM specified negligible or zero altitude loss for an autopilot approach mode malfunction, the greater of—
(i) 50 feet; or
(ii) An altitude specified by Administrator.
(4) If executing an autopilot coupled go-around or missed approach using a certificated and functioning autopilot in accordance with paragraph (e) in this section.
(e) Go-Around/Missed Approach. No person may engage an autopilot during a go-around or missed approach below the minimum engagement altitude specified for takeoff and initial climb in paragraph (b) in this section. An autopilot minimum use altitude does not apply to a go-around/missed approach initiated with an engaged autopilot. Performing a go-around or missed approach with an engaged autopilot must not adversely affect safe obstacle clearance.
(f) Landing. Notwithstanding paragraph (d) of this section, autopilot minimum use altitudes do not apply to autopilot operations when an approved automatic landing system mode is being used for landing. Automatic landing systems must be authorized in an operations specification issued to the operator.
The following persons may be carried aboard an airplane without complying with the passenger-carrying requirements of this part:
(a) A crewmember.
(b) A person necessary for the safe handling of animals on the airplane.
(c) A person necessary for the safe handling of hazardous materials (as defined in subchapter C of title 49 CFR).
(d) A person performing duty as a security or honor guard accompanying a shipment made by or under the authority of the U.S. Government.
(e) A military courier or a military route supervisor carried by a military cargo contract operator if that carriage is specifically authorized by the appropriate military service.
(f) An authorized representative of the Administrator conducting an en route inspection.
(g) A person authorized by the Administrator.
(a) No certificate holder may move an airplane on the surface, take off, or land when any food, beverage, or tableware furnished by the certificate holder is located at any passenger seat.
(b) No certificate holder may move an airplane on the surface, take off, or land unless each food and beverage tray and seat back tray table is secured in its stowed position.
(c) No certificate holder may permit an airplane to move on the surface, take off, or land unless each passenger serving cart is secured in its stowed position.
(d) Each passenger shall comply with instructions given by a crewmember with regard to compliance with this section.
(a) No person may start a flight without authority from the person authorized by the certificate holder to exercise operational control over the flight.
(b) No person may start a flight unless the pilot in command or the person authorized by the cetificate holder to exercise operational control over the flight has executed a flight release setting forth the conditions under which the flight will be conducted. The pilot in command may sign the flight release only when both the pilot in command and the person authorized to exercise operational control believe the flight can be made safely, unless the pilot in command is authorized by the certificate holder to exercise operational control and execute the flight release without the approval of any other person.
(c) No person may continue a flight from an intermediate airport without a new flight release if the airplane has been on the ground more than 6 hours.
During a flight, the pilot in command shall obtain any additional available information of meteorological conditions and irregularities of facilities and services that may affect the safety of the flight.
No person may release an airplane unless it is airworthy and is equipped as prescribed.
No person may release an airplane over any route or route segment unless communication and navigation facilities equal to those required by § 125.51 are in satisfactory operating condition.
No person may release an airplane for VFR operation unless the ceiling and visibility en route, as indicated by available weather reports or forecasts, or any combination thereof, are and will remain at or above applicable VFR minimums until the airplane arrives at the airport or airports specified in the flight release.
Except as provided in § 125.363, no person may release an airplane for operations under IFR or over-the-top unless appropriate weather reports or forecasts, or any combination thereof, indicate that the weather conditions will be at or above the authorized minimums at the estimated time of arrival at the airport or airports to which released.
(a) No person may release an airplane for a flight that involves extended overwater operation unless appropriate weather reports or forecasts, or any combination thereof, indicate that the weather conditions will be at or above the authorized minimums at the estimated time of arrival at any airport to which released or to any required alternate airport.
(b) Each certificate holder shall conduct extended overwater operations under IFR unless it shows that operating under IFR is not necessary for safety.
(c) Each certificate holder shall conduct other overwater operations under IFR if the Administrator determines that operation under IFR is necessary for safety.
(d) Each authorization to conduct extended overwater operations under VFR and each requirement to conduct other overwater operations under IFR will be specified in the operations specifications.
(a) If the weather conditions at the airport of takeoff are below the landing minimums in the certificate holder's operations specifications for that airport, no person may release an airplane from that airport unless the flight release specifies an alternate airport located within the following distances from the airport of takeoff:
(1) Airplanes having two engines. Not more than 1 hour from the departure airport at normal cruising speed in still air with one engine inoperative.
(2) Airplanes having three or more engines. Not more than 2 hours from the departure airport at normal cruising speed in still air with one engine inoperative.
(b) For the purposes of paragraph (a) of this section, the alternate airport weather conditions must meet the requirements of the certificate holder's operations specifications.
(c) No person may release an airplane from an airport unless that person lists each required alternate airport in the flight release.
(a) Except as provided in paragraph (b) of this section, each person releasing an airplane for operation under IFR or over-the-top shall list at least one alternate airport for each destination airport in the flight release.
(b) An alternate airport need not be designated for IFR or over-the-top operations where the airplane carries enough fuel to meet the requirements of §§ 125.375 and 125.377 for flights outside the 48 conterminous States and the District of Columbia over routes without an available alternate airport for a particular airport of destination.
(c) For the purposes of paragraph (a) of this section, the weather requirements at the alternate airport must meet the requirements of the operator's operations specifications.
(d) No person may release a flight unless that person lists each required alternate airport in the flight release.
No person may list an airport as an alternate airport in the flight release unless the appropriate weather reports or forecasts, or any combination thereof, indicate that the weather conditions will be at or above the alternate weather minimums specified in the certificate holder's operations specifications for that airport when the flight arrives.
(a) No pilot in command may allow a flight to continue toward any airport to which it has been released if, in the opinion of the pilot in command, the flight cannot be completed safely, unless, in the opinion of the pilot in command, there is no safer procedure. In that event, continuation toward that airport is an emergency situation.
(a) A certificate holder may specify any airport authorized for the type of airplane as a destination for the purpose of original release.
(b) No person may allow a flight to continue to an airport to which it has been released unless the weather conditions at an alternate airport that was specified in the flight release are forecast to be at or above the alternate minimums specified in the operations specifications for that airport at the time the airplane would arrive at the alternate airport. However, the flight release may be amended en route to include any alternate airport that is within the fuel range of the airplane as specified in § 125.375 or § 125.377.
(c) No person may change an original destination or alternate airport that is specified in the original flight release to another airport while the airplane is en route unless the other airport is authorized for that type of airplane.
(d) Each person who amends a flight release en route shall record that amendment.
(a) Except as provided in paragraph (b) of this section, no person may release for flight or take off a nonturbine or turbopropeller-powered airplane unless, considering the wind and other weather conditions expected, it has enough fuel—
(1) To fly to and land at the airport to which it is released;
(2) Thereafter, to fly to and land at the most distant alternate airport specified in the flight release; and
(3) Thereafter, to fly for 45 minutes at normal crusing fuel consumption.
(b) If the airplane is released for any flight other than from one point in the conterminous United States to another point in the conterminous United States, it must carry enough fuel to meet the requirements of paragraphs (a) (1) and (2) of this section and thereafter fly for 30 minutes plus 15 percent of the total time required to fly at normal cruising fuel consumption to the airports specified in paragraphs (a) (1) and (2) of this section, or fly for 90 minutes at normal cruising fuel consumption, whichever is less.
(c) No person may release a nonturbine or turbopropeller-powered airplane to an airport for which an alternate is not specified under § 125.367(b) unless it has enough fuel, considering wind and other weather conditions expected, to fly to that airport and thereafter to fly for 3 hours at normal cruising fuel consumption.
(a) Except as provided in paragraph (b) of this section, no person may release for flight or takeoff a turbine-powered airplane (other than a turbopropeller-powered airplane) unless, considering the wind and other weather conditions expected, it has enough fuel—
(1) To fly to and land at the airport to which it is released;
(2) Thereafter, to fly to and land at the most distant alternate airport specified in the flight release; and
(3) Thereafter, to fly for 45 minutes at normal cruising fuel consumption.
(b) For any operation outside the 48 conterminous United States and the District of Columbia, unless authorized by the Administrator in the operations specifications, no person may release for flight or take off a turbine-engine powered airplane (other than a turbopropeller-powered airplane) unless, considering wind and other weather conditions expected, it has enough fuel—
(1) To fly and land at the airport to which it is released;
(2) After that, to fly for a period of 10 percent of the total time required to fly from the airport of departure and land at the airport to which it was released;
(3) After that, to fly to and land at the most distant alternate airport specified in the flight release, if an alternate is required; and
(4) After that, to fly for 30 minutes at holding speed at 1,500 feet above the alternate airport (or the destination airport if no alternate is required) under standard temperature conditions.
(c) No person may release a turbine-engine-powered airplane (other than a turbopropeller airplane) to an airport for which an alternate is not specified under § 125.367(b) unless it has enough fuel, considering wind and other weather conditions expected, to fly to that airport and thereafter to fly for at least 2 hours at normal cruising fuel consumption.
(d) The Administrator may amend the operations specifications of a certificate holder to require more fuel than any of the minimums stated in paragraph (a) or (b) of this section if the Administrator finds that additional fuel is necessary on a particular route in the interest of safety.
(a) If the pilot in command of an airplane has not served 100 hours as pilot in command in the type of airplane being operated, the MDA or DA/DH and visibility landing minimums in the certificate holder's operations specification are increased by 100 feet and one-half mile (or the RVR equivalent). The MDA or DA/DH and visibility minimums need not be increased above those applicable to the airport when used as an alternate airport, but in no event may the landing minimums be less than a 300-foot ceiling and 1 mile of visibility.
(b) The 100 hours of pilot-in-command experience required by paragraph (a) may be reduced (not to exceed 50 percent) by substituting one landing in operations under this part in the type of airplane for 1 required hour of pilot-in-command experience if the pilot has at least 100 hours as pilot in command of another type airplane in operations under this part.
(c) Category II minimums, when authorized in the certificate holder's operations specifications, do not apply until the pilot in command subject to paragraph (a) of this section meets the requirements of that paragraph in the type of airplane the pilot is operating.
(a) Regardless of any clearance from ATC, if the reported weather conditions are less than that specified in the certificate holder's operations specifications, no pilot may—
(1) Take off an airplane under IFR; or
(2) Except as provided in paragraphs (c) and (d) of this section, land an airplane under IFR.
(b) Except as provided in paragraphs (c) and (d) of this section, no pilot may execute an instrument approach procedure if the latest reported visibility is less than the landing minimums specified in the certificate holder's operations specifications.
(c) A pilot who initiates an instrument approach procedure based on a weather report that indicates that the specified visibility minimums exist and subsequently receives another weather report that indicates that conditions are below the minimum requirements, may continue the approach only if either the requirements of § 91.176 of this chapter, or the following conditions are met—
(1) The later weather report is received when the airplane is in one of the following approach phases:
(i) The airplane is on a ILS approach and has passed the final approach fix;
(ii) The airplane is on an ASR or PAR final approach and has been turned over to the final approach controller; or
(iii) The airplane is on a nonprecision final approach and the airplane—
(A) Has passed the appropriate facility or final approach fix; or
(B) Where a final approach fix is not specified, has completed the procedure turn and is established inbound toward the airport on the final approach course within the distance prescribed in the procedure; and
(2) The pilot in command finds, on reaching the authorized MDA, or DA/DH, that the actual weather conditions are at or above the minimums prescribed for the procedure being used.
(d) A pilot may execute an instrument approach procedure, or continue the approach, at an airport when the visibility is reported to be less than the visibility minimums prescribed for that procedure if the pilot uses an operable EFVS in accordance with § 91.176 of this chapter and the certificate holder's operations specifications for EFVS operations, or for a holder of a part 125 letter of deviation authority, a letter of authorization for the use of EFVS.
(a) Each certificate holder is responsible for the preparation and accuracy of a load manifest in duplicate containing information concerning the loading of the airplane. The manifest must be prepared before each takeoff and must include—
(1) The number of passengers;
(2) The total weight of the loaded airplane;
(3) The maximum allowable takeoff and landing weights for that flight;
(4) The center of gravity limits;
(5) The center of gravity of the loaded airplane, except that the actual center of gravity need not be computed if the airplane is loaded according to a loading schedule or other approved method that ensures that the center of gravity of the loaded airplane is within approved limits. In those cases, an entry shall be made on the manifest indicating that the center of gravity is within limits according to a loading schedule or other approved method:
(6) The registration number of the airplane;
(7) The origin and destination ; and
(8) Names of passengers.
(b) The pilot in command of an airplane for which a load manifest must be prepared shall carry a copy of the completed load manifest in the airplane to its destination. The certificate holder shall keep copies of completed load manifests for at least 30 days at its principal operations base, or at another location used by it and approved by the Administrator.
(a) Each certificate holder shall—
(1) Maintain current records of each crewmember that show whether or not that crewmember complies with this chapter (e.g., proficiency checks, airplane qualifications, any required physical examinations, and flight time records); and
(2) Record each action taken concerning the release from employment or physical or professional disqualification of any flight crewmember and keep the record for at least 6 months thereafter.
(b) Each certificate holder shall maintain the records required by paragraph (a) of this section at its principal operations base, or at another location used by it and approved by the Administrator.
(c) Computer record systems approved by the Administrator may be used in complying with the requirements of paragraph (a) of this section.
(a) The flight release may be in any form but must contain at least the following information concerning each flight:
(1) Company or organization name.
(2) Make, model, and registration number of the airplane being used.
(3) Date of flight.
(4) Name and duty assignment of each crewmember.
(5) Departure airport, destination airports, alternate airports, and route.
(6) Minimum fuel supply (in gallons or pounds).
(7) A statement of the type of operation (e.g., IFR, VFR).
(b) The airplane flight release must contain, or have attached to it, weather reports, available weather forecasts, or a combination thereof.
(a) The pilot in command of an airplane shall carry in the airplane to its destination the original or a signed copy of the—
(1) Load manifest required by § 125.383;
(2) Flight release;
(3) Airworthiness release; and
(4) Flight plan, including route.
(b) If a flight originates at the principal operations base of the certificate holder, it shall retain at that base a signed copy of each document listed in paragraph (a) of this section.
(c) Except as provided in paragraph (d) of this section, if a flight originates at a place other than the principal operations base of the certificate holder, the pilot in command (or another person not aboard the airplane who is authorized by the operator) shall, before or immediately after departure of the flight, mail signed copies of the documents listed in paragraph (a) of this section to the principal operations base.
(d) If a flight originates at a place other than the principal operations base of the certificate holder and there is at that place a person to manage the flight departure for the operator who does not depart on the airplane, signed copies of the documents listed in paragraph (a) of this section may be retained at that place for not more than 30 days before being sent to the principal operations base of the certificate holder. However, the documents for a particular flight need not be further retained at that place or be sent to the principal operations base, if the originals or other copies of them have been previously returned to the principal operations base.
(e) The certificate holder shall:
(1) Identify in its operations manual the person having custody of the copies of documents retained in accordance with paragraph (d) of this section; and
(2) Retain at its principal operations base either the original or a copy of the records required by this section for at least 30 days.
(a) Each person who takes corrective action or defers action concerning a reported or observed failure or malfunction of an airframe, aircraft engine, propeller, or appliance shall record the action taken in the airplane maintenance log in accordance with part 43 of this chapter.
(b) Each certificate holder shall establish a procedure for keeping copies of the airplane maintenance log required by this section in the airplane for access by appropriate personnel and shall include that procedure in the manual required by § 125.249.
(a) Each certificate holder shall report the occurrence or detection of each failure, malfunction, or defect, in a form and manner prescribed by the Administrator.
(b) Each certificate holder shall submit each report required by this section, covering each 24-hour period beginning at 0900 local time of each day and ending at 0900 local time on the next day, to the FAA office in Oklahoma City, Oklahoma. Each report of occurrences during a 24-hour period shall be submitted to the collection point within the next 96 hours. However, a report due on Saturday or Sunday may be submitted on the following Monday, and a report due on a holiday may be submitted on the next work day.
(a) No certificate holder may operate an airplane after maintenance, preventive maintenance, or alteration is performed on the airplane unless the person performing that maintenance, preventive maintenance, or alteration prepares or causes to be prepared—
(1) An airworthiness release; or
(2) An entry in the aircraft maintenance records in accordance with the certificate holder's manual.
(b) The airworthiness release or maintenance record entry required by paragraph (a) of this section must—
(1) Be prepared in accordance with the procedures set forth in the certificate holder's manual;
(2) Include a certification that—
(i) The work was performed in accordance with the requirements of the certificate holder's manual;
(ii) All items required to be inspected were inspected by an authorized person who determined that the work was satisfactorily completed;
(iii) No known condition exists that would make the airplane unairworthy; and
(iv) So far as the work performed is concerned, the airplane is in condition for safe operation; and
(3) Be signed by a person authorized in part 43 of this chapter to perform maintenance, preventive maintenance, and alteration.
(c) When an airworthiness release form is prepared, the certificate holder must give a copy to the pilot in command and keep a record of it for at least 60 days.
(d) Instead of restating each of the conditions of the certification required by paragraph (b) of this section, the certificate holder may state in its manual that the signature of a person authorized in part 43 of this chapter constitutes that certification.
(a) This subpart requires operators to support the continued airworthiness of each airplane. These requirements may include, but are not limited to, revising the inspection program, incorporating design changes, and incorporating revisions to Instructions for Continued Airworthiness.
(b) [Reserved]
(a) No person may operate an Airbus Model A300 (excluding the -600 series), British Aerospace Model BAC 1-11, Boeing Model 707, 720, 727, 737 or 747, McDonnell Douglas Model DC-8, DC-9/MD-80 or DC-10, Fokker Model F28, or Lockheed Model L-1011 beyond the applicable flight cycle implementation time specified below, or May 25, 2001, whichever occurs later, unless operations specifications have been issued to reference repair assessment guidelines applicable to the fuselage pressure boundary (fuselage skin, door skin, and bulkhead webs), and those guidelines are incorporated in its maintenance program. The repair assessment guidelines must be approved by the responsible Aircraft Certification Service office for the type certificate for the affected airplane.
(1) For the Airbus Model A300 (excluding the -600 series), the flight cycle implementation time is:
(i) Model B2: 36,000 flights.
(ii) Model B4-100 (including Model B4-2C): 30,000 flights above the window line, and 36,000 flights below the window line.
(iii) Model B4-200: 25,500 flights above the window line, and 34,000 flights below the window line.
(2) For all models of the British Aerospace BAC 1-11, the flight cycle implementation time is 60,000 flights.
(3) For all models of the Boeing 707, the flight cycle implementation time is 15,000 flights.
(4) For all models of the Boeing 720, the flight cycle implementation time is 23,000 flights.
(5) For all models of the Boeing 727, the flight cycle implementation time is 45,000 flights.
(6) For all models of the Boeing 737, the flight cycle implementation time is 60,000 flights.
(7) For all models of the Boeing 747, the flight cycle implementation time is 15,000 flights.
(8) For all models of the McDonnell Douglas DC-8, the flight cycle implementation time is 30,000 flights.
(9) For all models of the McDonnell Douglas DC-9/MD-80, the flight cycle implementation time is 60,000 flights.
(10) For all models of the McDonnell Douglas DC-10, the flight cycle implementation time is 30,000 flights.
(11) For all models of the Lockheed L-1011, the flight cycle implementation time is 27,000 flights.
(12) For the Fokker F-28 Mark, 1000, 2000, 3000, and 4000, the flight cycle implementation time is 60,000 flights.
(b) [Reserved]
(a) Except as provided in paragraph (g) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of original type certification or later increase in capacity, have—
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7500 pounds or more.
(b) For each airplane on which an auxiliary fuel tank is installed under a field approval, before June 16, 2008, the certificate holder must submit to the responsible Aircraft Certification Service office proposed maintenance instructions for the tank that meet the requirements of Special Federal Aviation Regulation No. 88 (SFAR 88) of this chapter.
(c) After December 16, 2008, no certificate holder may operate an airplane identified in paragraph (a) of this section unless the inspection program for that airplane has been revised to include applicable inspections, procedures, and limitations for fuel tank systems.
(d) The proposed fuel tank system inspection program revisions must be based on fuel tank system Instructions for Continued Airworthiness (ICA) that have been developed in accordance with the applicable provisions of SFAR 88 of this chapter or § 25.1529 and part 25, Appendix H, of this chapter, in effect on June 6, 2001 (including those developed for auxiliary fuel tanks, if any, installed under supplemental type certificates or other design approval) and that have been approved by the responsible Aircraft Certification Service office.
(e) After December 16, 2008, before returning an aircraft to service after any alteration for which fuel tank ICA are developed under SFAR 88, or under § 25.1529 in effect on June 6, 2001, the certificate holder must include in the inspection program for the airplane inspections and procedures for the fuel tank system based on those ICA.
(f) The fuel tank system inspection program changes identified in paragraphs (d) and (e) of this section and any later fuel tank system revisions must be submitted to the Principal Inspector for review and approval.
(g) This section does not apply to the following airplane models:
(1) Bombardier CL-44
(2) Concorde
(3) deHavilland D.H. 106 Comet 4C
(4) VFW-Vereinigte Flugtechnische Werk VFW-614
(5) Illyushin Aviation IL 96T
(6) Bristol Aircraft Britannia 305
(7) Handley Page Herald Type 300
(8) Avions Marcel Dassault—Breguet Aviation Mercure 100C
(9) Airbus Caravelle
(10) Lockheed L-300
(a) Applicability. Except as provided in paragraph (m) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of original type certification or later increase in capacity have:
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) New Production Airplanes. Except in accordance with § 125.201, no person may operate an airplane identified in Table 1 of this section (including all-cargo airplanes) for which the State of Manufacture issued the original certificate of airworthiness or export airworthiness approval after December 27, 2010 unless an Ignition Mitigation Means (IMM) or Flammability Reduction Means (FRM) meeting the requirements of § 26.33 of this chapter is operational.
Table 1
| Model—Boeing | Model—Airbus |
|---|---|
| 747 Series | A318, A319, A320, A321 Series |
| 737 Series | A330, A340 Series |
| 777 Series | |
| 767 Series |
(c) Auxiliary Fuel Tanks. After the applicable date stated in paragraph (e) of this section, no person may operate any airplane subject to § 26.33 of this chapter that has an Auxiliary Fuel Tank installed pursuant to a field approval, unless the following requirements are met:
(1) The person complies with 14 CFR 26.35 by the applicable date stated in that section.
(2) The person installs Flammability Impact Mitigation Means (FIMM), if applicable, that is approved by the responsible Aircraft Certification Service office.
(3) Except in accordance with § 125.201, the FIMM, if applicable, are operational.
(d) Retrofit. Except as provided in paragraph (j) of this section, after the dates specified in paragraph (e) of this section, no person may operate an airplane to which this section applies unless the requirements of paragraphs (d)(1) and (d)(2) of this section are met.
(1) Ignition Mitigation Means (IMM), Flammability Reduction Means (FRM), or FIMM, if required by §§ 26.33, 26.35, or 26.37 of this chapter, that are approved by the responsible Aircraft Certification Service office, are installed within the compliance times specified in paragraph (e) of this section.
(2) Except in accordance with § 125.201 of this part, the IMM, FRM or FIMM, as applicable, are operational.
(e) Compliance Times. The installations required by paragraph (d) of this section must be accomplished no later than the applicable dates specified in paragraph (e)(1), (e)(2) or (e)(3) of this section.
(1) Fifty percent of each person's fleet of airplanes subject to paragraph (d)(1) of this section must be modified no later than December 26, 2014.
(2) One hundred percent of each person's fleet of airplanes subject to paragraph (d)(1) of this section must be modified no later than December 26, 2017.
(3) For those persons that have only one airplane of a model identified in Table 1 of this section, the airplane must be modified no later than December 26, 2017.
(f) Compliance after Installation. Except in accordance with § 125.201, no person may—
(1) Operate an airplane on which IMM or FRM has been installed before the dates specified in paragraph (e) of this section unless the IMM or FRM is operational, or
(2) Deactivate or remove an IMM or FRM once installed unless it is replaced by a means that complies with paragraph (d) of this section.
(g) Inspection Program Revisions. No person may operate an airplane for which airworthiness limitations have been approved by the responsible Aircraft Certification Service office in accordance with §§ 26.33, 26.35, or 26.37 of this chapter after the airplane is modified in accordance with paragraph (d) of this section unless the inspection program for that airplane is revised to include those applicable airworthiness limitations.
(h) After the inspection program is revised as required by paragraph (g) of this section, before returning an airplane to service after any alteration for which airworthiness limitations are required by §§ 25.981, 26.33, 26.35, or 26.37 of this chapter, the person must revise the inspection program for the airplane to include those airworthiness limitations.
(i) The inspection program changes identified in paragraphs (g) and (h) of this section must be submitted to the operator's assigned Flight Standards office responsible for review and approval prior to incorporation.
(j) The requirements of paragraph (d) of this section do not apply to airplanes operated in all-cargo service, but those airplanes are subject to paragraph (f) of this section.
(k) After the date by which any person is required by this section to modify 100 percent of the affected fleet, no person may operate in passenger service any airplane model specified in Table 2 of this section unless the airplane has been modified to comply with § 26.33(c) of this chapter.
Table 2
| Model—Boeing | Model—Airbus |
|---|---|
| 747 Series | A318, A319, A320, A321 Series. |
| 737 Series | A300, A310 Series. |
| 777 Series | A330, A340 Series. |
| 767 Series | |
| 757 Series |
(l) No person may operate any airplane on which an auxiliary fuel tank is installed after December 26, 2017 unless the FAA has certified the tank as compliant with § 25.981 of this chapter, in effect on December 26, 2008.
(m) Exclusions. The requirements of this section do not apply to the following airplane models:
(1) Convair CV-240, 340, 440, including turbine powered conversions.
(2) Lockheed L-188 Electra.
(3) Vickers VC-10.
(4) Douglas DC-3, including turbine powered conversions.
(5) Bombardier CL-44.
(6) Mitsubishi YS-11.
(7) BAC 1-11.
(8) Concorde.
(9) deHavilland D.H. 106 Comet 4C.
(10) VFW—Vereinigte Flugtechnische VFW-614.
(11) Illyushin Aviation IL 96T.
(12) Bristol Aircraft Britannia 305.
(13) Handley Page Herald Type 300.
(14) Avions Marcel Dassault—Breguet Aviation Mercure 100C.
(15) Airbus Caravelle.
(16) Fokker F-27/Fairchild Hiller FH-227.
(17) Lockheed L-300.
(a) Means for emergency evacuation. Each passenger-carrying landplane emergency exit (other than over-the-wing) that is more that 6 feet from the ground with the airplane on the ground and the landing gear extended must have an approved means to assist the occupants in descending to the ground. The assisting means for a floor level emergency exit must meet the requirements of § 25.809(f)(1) of this chapter in effect on April 30, 1972, except that, for any airplane for which the application for the type certificate was filed after that date, it must meet the requirements under which the airplane was type certificated. An assisting means that deploys automatically must be armed during taxiing, takeoffs, and landings. However, if the Administrator finds that the design of the exit makes compliance impractical, the Administrator may grant a deviation from the requirement of automatic deployment if the assisting means automatically erects upon deployment and, with respect to required emergency exits, if an emergency evacuation demonstration is conducted in accordance with § 125.189. This paragraph does not apply to the rear window emergency exit of DC-3 airplanes operated with less than 36 occupants, including crewmembers, and less than five exits authorized for passenger use.
(b) Interior emergency exit marking. The following must be complied with for each passenger-carrying airplane:
(1) Each passenger emergency exit, its means of access, and means of opening must be conspicuously marked. The identity and location of each passenger emergency exit must be recognizable from a distance equal to the width of the cabin. The location of each passenger emergency exit must be indicated by a sign visible to occupants approaching along the main passenger aisle. There must be a locating sign—
(i) Above the aisle near each over-the-wing passenger emergency exit, or at another ceiling location if it is more practical because of low headroom;
(ii) Next to each floor level passenger emergency exit, except that one sign may serve two such exits if they both can be seen readily from that sign; and
(iii) On each bulkhead or divider that prevents fore and aft vision along the passenger cabin, to indicate emergency exits beyond and obscured by it, except that if this is not possible the sign may be placed at another appropriate location.
(2) Each passenger emergency exit marking and each locating sign must meet the following:
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, each passenger emergency exit marking and each locating sign must be manufactured to meet the requirements of § 25.812(b) of this chapter in effect on April 30, 1972. On these airplanes, no sign may continue to be used if its luminescence (brightness) decreases to below 100 microlamberts. The colors may be reversed if it increases the emergency illumination of the passenger compartment. However, the Administrator may authorize deviation from the 2-inch background requirements if the Administrator finds that special circumstances exist that make compliance impractical and that the proposed deviation provides an equivalent level of safety.
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, each passenger emergency exit marking and each locating sign must be manufactured to meet the interior emergency exit marking requirements under which the airplane was type certificated. On these airplanes, no sign may continue to be used if its luminescence (brightness) decreases to below 250 microlamberts.
(c) Lighting for interior emergency exit markings. Each passenger-carrying airplane must have an emergency lighting system, independent of the main lighting system. However, sources of general cabin illumination may be common to both the emergency and the main lighting systems if the power supply to the emergency lighting system is independent of the power supply to the main lighting system. The emergency lighting system must—
(1) Illuminate each passenger exit marking and locating sign; and
(2) Provide enough general lighting in the passenger cabin so that the average illumination, when measured at 40-inch intervals at seat armrest height, on the centerline of the main passenger aisle, is at least 0.05 foot-candles.
(d) Emergency light operation. Except for lights forming part of emergency lighting subsystems provided in compliance with § 25.812(g) of this chapter (as prescribed in paragraph (h) of this section) that serve no more than one assist means, are independent of the airplane's main emergency lighting systems, and are automatically activated when the assist means is deployed, each light required by paragraphs (c) and (h) must comply with the following:
(1) Each light must be operable manually and must operate automatically from the independent lighting system—
(i) In a crash landing; or
(ii) Whenever the airplane's normal electric power to the light is interrupted.
(2) Each light must—
(i) Be operable manually from the flightcrew station and from a point in the passenger compartment that is readily accessible to a normal flight attendant seat;
(ii) Have a means to prevent inadvertent operation of the manual controls; and
(iii) When armed or turned on at either station, remain lighted or become lighted upon interruption of the airplane's normal electric power.
Each light must be armed or turned on during taxiing, takeoff, and landing. In showing compliance with this paragraph, a transverse vertical separation of the fuselage need not be considered.
(3) Each light must provide the required level of illumination for at least 10 minutes at the critical ambient conditions after emergency landing.
(e) Emergency exit operating handles. (1) For a passenger-carrying airplane for which the application for the type certificate was filed prior to May 1, 1972, the location of each passenger emergency exit operating handle and instructions for opening the exit must be shown by a marking on or near the exit that is readable from a distance of 30 inches. In addition, for each Type I and Type II emergency exit with a locking mechanism released by rotary motion of the handle, the instructions for opening must be shown by—
(i) A red arrow with a shaft at least
(ii) The word “open” in red letters 1 inch high placed horizontally near the head of the arrow.
(2) For a passenger-carrying airplane for which the application for the type certificate was filed on or after May 1, 1972, the location of each passenger emergency exit operating handle and instructions for opening the exit must be shown in accordance with the requirements under which the airplane was type certificated. On these airplanes, no operating handle or operating handle cover may continue to be used if its luminescence (brightness) decreases to below 100 microlamberts.
(f) Emergency exit access. Access to emergency exits must be provided as follows for each passenger-carrying airplane:
(1) Each passageway between individual passenger areas, or leading to a Type I or Type II emergency exit, must be unobstructed and at least 20 inches wide.
(2) There must be enough space next to each Type I or Type II emergency exit to allow a crewmember to assist in the evacuation of passengers without reducing the unobstructed width of the passageway below that required in paragraph (f)(1) of this section. However, the Administrator may authorize deviation from this requirement for an airplane certificated under the provisions of part 4b of the Civil Air Regulations in effect before December 20, 1951, if the Administrator finds that special circumstances exist that provide an equivalent level of safety.
(3) There must be access from the main aisle to each Type III and Type IV exit. The access from the aisle to these exits must not be obstructed by seats, berths, or other protrusions in a manner that would reduce the effectiveness of the exit. In addition—
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, the access must meet the requirements of § 25.813(c) of this chapter in effect on April 30, 1972; and
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the access must meet the emergency exit access requirements under which the airplane was certificated.
(4) If it is necessary to pass through a passageway between passenger compartments to reach any required emergency exit from any seat in the passenger cabin, the passageway must not be obstructed. However, curtains may be used if they allow free entry through the passageway.
(5) No door may be installed in any partition between passenger compartments.
(6) If it is necessary to pass through a doorway separating the passenger cabin from other areas to reach any required emergency exit from any passenger seat, the door must have a means to latch it in open position, and the door must be latched open during each takeoff and landing. The latching means must be able to withstand the loads imposed upon it when the door is subjected to the ultimate interia forces, relative to the surrounding structure, listed in § 25.561(b) of this chapter.
(g) Exterior exit markings. Each passenger emergency exit and the means of opening that exit from the outside must be marked on the outside of the airplane. There must be a 2-inch colored band outlining each passenger emergency exit on the side of the fuselage. Each outside marking, including the band, must be readily distinguishable from the surrounding fuselage area by contrast in color. The markings must comply with the following:
(1) If the reflectance of the darker color is 15 percent or less, the reflectance of the lighter color must be at least 45 percent. “Reflectance” is the ratio of the luminous flux reflected by a body to the luminous flux it receives.
(2) If the reflectance of the darker color is greater than 15 percent, at least a 30 percent difference between its reflectance and the reflectance of the lighter color must be provided.
(3) Exits that are not in the side of the fuselage must have the external means of opening and applicable instructions marked conspicuously in red or, if red is inconspicuous against the background color, in bright chrome yellow and, when the opening means for such an exit is located on only one side of the fuselage, a conspicuous marking to that effect must be provided on the other side.
(h) Exterior emergency lighting and escape route. (1) Each passenger-carrying airplane must be equipped with exterior lighting that meets the following requirements:
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, the requirements of § 25.812(f) and (g) of this chapter in effect on April 30, 1972.
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the exterior emergency lighting requirements under which the airplane was type certificated.
(2) Each passenger-carrying airplane must be equipped with a slip-resistant escape route that meets the following requirements:
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, the requirements of § 25.803(e) of this chapter in effect on April 30, 1972.
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the slip-resistant escape route requirements under which the airplane was type certificated.
(i) Floor level exits. Each floor level door or exit in the side of the fuselage (other than those leading into a cargo or baggage compartment that is not accessible from the passenger cabin) that is 44 or more inches high and 20 or more inches wide, but not wider than 46 inches, each passenger ventral exit (except the ventral exits on M-404 and CV-240 airplanes) and each tail cone exit must meet the requirements of this section for floor level emergency exits. However, the Administrator may grant a deviation from this paragraph if the Administrator finds that circumstances make full compliance impractical and that an acceptable level of safety has been achieved.
(j) Additional emergency exits. Approved emergency exits in the passenger compartments that are in excess of the minimum number of required emergency exits must meet all of the applicable provisions of this section except paragraph (f), (1), (2), and (3) and must be readily accessible.
(k) On each large passenger-carrying turbojet-powered airplane, each ventral exit and tailcone exit must be—
(1) Designed and constructed so that it cannot be opened during flight; and
(2) Marked with a placard readable from a distance of 30 inches and installed at a conspicuous location near the means of opening the exit, stating that the exit has been designed and constructed so that it cannot be opened during flight.
(a) Aborted takeoff demonstration. (1) The demonstration must be conducted either during the dark of the night or during daylight with the dark of the night simulated. If the demonstration is conducted indoors during daylight hours, it must be conducted with each window covered and each door closed to minimize the daylight effect. Illumination on the floor or ground may be used, but it must be kept low and shielded against shining into the airplane's windows or doors.
(2) The airplane must be in a normal ground attitude with landing gear extended.
(3) Stands or ramps may be used for descent from the wing to the ground. Safety equipment such as mats or inverted life rafts may be placed on the ground to protect participants. No other equipment that is not part of the airplane's emergency evacuation equipment may be used to aid the participants in reaching the ground.
(4) The airplane's normal electric power sources must be deenergized.
(5) All emergency equipment for the type of passenger-carrying operation involved must be installed in accordance with the certificate holder's manual.
(6) Each external door and exit and each internal door or curtain must be in position to simulate a normal takeoff.
(7) A representative passenger load of persons in normal health must be used. At least 30 percent must be females. At least 5 percent must be over 60 years of age with a proportionate number of females. At least 5 percent, but not more than 10 percent, must be children under 12 years of age, prorated through that age group. Three life-size dolls, not included as part of the total passenger load, must be carried by passengers to simulate live infants 2 years old or younger. Crewmembers, mechanics, and training personnel who maintain or operate the airplane in the normal course of their duties may not be used as passengers.
(8) No passenger may be assigned a specific seat except as the Administrator may require. Except as required by item (12) of this paragraph, no employee of the certificate holder may be seated next to an emergency exit.
(9) Seat belts and shoulder harnesses (as required) must be fastened.
(10) Before the start of the demonstration, approximately one-half of the total average amount of carry-on baggage, blankets, pillows, and other similar articles must be distributed at several locations in the aisles and emergency exit access ways to create minor obstructions.
(11) The seating density and arrangement of the airplane must be representative of the highest capacity passenger version of that airplane the certificate holder operates or proposes to operate.
(12) Each crewmember must be a member of a regularly scheduled line crew, must be seated in that crewmember's normally assigned seat for takeoff, and must remain in that seat until the signal for commencement of the demonstration is received.
(13) No crewmember or passenger may be given prior knowledge of the emergency exits available for the demonstration.
(14) The certificate holder may not practice, rehearse, or describe the demonstration for the participants nor may any participant have taken part in this type of demonstration within the preceding 6 months.
(15) The pretakeoff passenger briefing required by § 125.327 may be given in accordance with the certificate holder's manual. The passengers may also be warned to follow directions of crewmembers, but may not be instructed on the procedures to be followed in the demonstration.
(16) If safety equipment as allowed by item (3) of this section is provided, either all passenger and cockpit windows must be blacked out or all of the emergency exits must have safety equipment to prevent disclosure of the available emergency exits.
(17) Not more than 50 percent of the emergency exits in the sides of the fuselage of an airplane that meet all of the requirements applicable to the required emergency exits for that airplane may be used for the demonstration. Exits that are not to be used in the demonstration must have the exit handle deactivated or must be indicated by red lights, red tape or other acceptable means, placed outside the exits to indicate fire or other reason that they are unusable. The exits to be used must be representative of all of the emergency exits on the airplane and must be designated by the certificate holder, subject to approval by the Administrator. At least one floor level exit must be used.
(18) All evacuees, except those using an over-the-wing exit, must leave the airplane by a means provided as part of the airplane's equipment.
(19) The certificate holder's approved procedures and all of the emergency equipment that is normally available, including slides, ropes, lights, and megaphones, must be fully utilized during the demonstration.
(20) The evacuation time period is completed when the last occupant has evacuated the airplane and is on the ground. Evacuees using stands or ramps allowed by item (3) above are considered to be on the ground when they are on the stand or ramp: Provided, That the acceptance rate of the stand or ramp is no greater than the acceptance rate of the means available on the airplane for descent from the wing during an actual crash situation.
(b) Ditching demonstration. The demonstration must assume that daylight hours exist outside the airplane and that all required crewmembers are available for the demonstration.
(1) If the certificate holder's manual requires the use of passengers to assist in the launching of liferafts, the needed passengers must be aboard the airplane and participate in the demonstration according to the manual.
(2) A stand must be placed at each emergency exit and wing with the top of the platform at a height simulating the water level of the airplane following a ditching.
(3) After the ditching signal has been received, each evacuee must don a life vest according to the certificate holder's manual.
(4) Each liferaft must be launched and inflated according to the certificate holder's manual and all other required emergency equipment must be placed in rafts.
(5) Each evacuee must enter a liferaft and the crewmembers assigned to each liferaft must indicate the location of emergency equipment aboard the raft and describe its use.
(6) Either the airplane, a mockup of the airplane, or a floating device simulating a passenger compartment must be used.
(i) If a mockup of the airplane is used, it must be a life-size mockup of the interior and representative of the airplane currently used by or proposed to be used by the certificate holder and must contain adequate seats for use of the evacuees. Operation of the emergency exits and the doors must closely simulate that on the airplane. Sufficient wing area must be installed outside the over-the-wing exits to demonstrate the evacuation.
(ii) If a floating device simulating a passenger compartment is used, it must be representative, to the extent possible, of the passenger compartment of the airplane used in operations. Operation of the emergency exits and the doors must closely simulate operation on that airplane. Sufficient wing area must be installed outside the over-the-wing exits to demonstrate the evacuation. The device must be equipped with the same survival equipment as is installed on the airplane, to accommodate all persons participating in the demonstration.
If certification with ice protection provisions is desired, compliance with the following must be shown:
(a) The recommended procedures for the use of the ice protection equipment must be set forth in the Airplane Flight Manual.
(b) An analysis must be performed to establish, on the basis of the airplane's operational needs, the adequacy of the ice protection system for the various components of the airplane. In addition, tests of the ice protection system must be conducted to demonstrate that the airplane is capable of operating safely in continuous maximum and intermittent maximum icing conditions as described in appendix C of part 25 of this chapter.
(c) Compliance with all or portions of this section may be accomplished by reference, where applicable because of similarity of the designs, to analyses and tests performed by the applicant for a type certificated model.
| Parameters | Range | Accuracy sensor input to DFDR readout | Sampling interval (per second) | Resolution 4 read out |
|---|---|---|---|---|
| Time (GMT or Frame Counter) (range 0 to 4095, sampled 1 per frame) | 24 Hrs | ±0.125% Per Hour | 0.25 (1 per 4 seconds) | 1 sec. |
| Altitude | −1,000 ft to max certificated altitude of aircraft | ±100 to ±700 ft (See Table 1, TSO-C51a) | 1 | 5′ to 35′ 1 |
| Airspeed | 50 KIAS to V | ±5%, ±3% | 1 | 1 kt. |
| Heading | 360° | ±2° | 1 | 0.5° |
| Normal Acceleration (Vertical) | −3g to + 6g | ±1% of max range excluding datum error of ±5% | 8 | 0.01g. |
| Pitch Attitude | ±75° | ±2° | 1 | 0.5°. |
| Roll Attitude | ±180° | ±2° | 1 | 0.5°. |
| Radio Transmitter Keying | On-Off (Discrete) | 1 | ||
| Thrust/Power on Each Engine | Full range forward | ±2% | 1 | 0.2% 2 |
| Trailing Edge Flap or Cockpit Control Selection | Full range or each discrete position | ±3° or as pilot's Indicator | 0.5 | 0.5% 2 |
| Leading Edge Flap or Cockpit Control Selection | Full range or each discrete position | ±3° or as pilot's indicator | 0.5 | 0.5% 2 |
| Thrust Reverser Position | Stowed, in transit, and reverse (Discrete) | 1 (per 4 seconds per engine) | ||
| Ground Spoiler Position/Speed Brake Selection | Full range or each discrete position | ±2% unless higher accuracy uniquely required | 1 | 0.2% 2. |
| Marker Beacon Passage | Discrete | 1 | ||
| Autopilot Engagement | Discrete | 1 | ||
| Longitudinal Acceleration | ±1g | ±1.5% max range excluding datum error of ±5% | 4 | 0.01g |
| Pilot Input and/or Surface Position-Primary Controls (Pitch, Roll, Yaw) 3 | Full range | ±2° unless higher accuracy uniquely required | 1 | 0.2% 2. |
| Lateral Acceleration | ±1g | ±1.5% max range excluding datum error of ±5% | 4 | 0.01g. |
| Pitch Trim Position | Full range | ±3% unless higher accuracy uniquely required | 1 | 0.3% 2 |
| Glideslope Deviation | ±400 Microamps | ±3% | 1 | 0.3% 2 |
| Localizer Deviation | ±400 Microamps | ±3% | 1 | 0.3% 2. |
| AFCS Mode and Engagement Status | Discrete | 1 | ||
| Radio Altitude | −20 ft to 2,500 ft | ±2 Ft or ±3% Whichever is Greater Below 500 Ft and ±5% Above 500 Ft | 1 ft + 5% 2 above 500′. | |
| Master Warning | Discrete | 1 | ||
| Main Gear Squat Switch Status | Discrete | 1 | ||
| Angle of Attack (if recorded directly) | As installed | As installed | 2 | 0.3% 2. |
| Outside Air Temperature or Total Air Temperature | −50 °C to + 90 °C | ±2 °C | 0.5 | 0.3 °C |
| Hydraulics, Each System Low Pressure | Discrete | 0.5 | or 0.5% 2. | |
| Groundspeed | As Installed | Most Accurate Systems Installed (IMS Equipped Aircraft Only) | 1 | 0.2% 2. |
| If additional recording capacity is available, recording of the following parameters is recommended. The parameters are listed in order of significance: | ||||
| Drift Angle | When available. As installed | As installed | 4 | |
| Wind Speed and Direction | When available. As installed | As installed | 4 | |
| Latitude and Longitude | When available. As installed | As installed | 4 | |
| Brake pressure/Brake pedal position | As installed | As installed | 1 | |
| Additional engine parameters: | ||||
| EPR | As installed | As installed | 1 (per engine) | |
| N 1 | As installed | As installed | 1 (per engine) | |
| N 2 | As installed | As installed | 1 (per engine) | |
| EGT | As installed | As installed | 1 (per engine) | |
| Throttle Lever Position | As installed | As installed | 1 (per engine) | |
| Fuel Flow | As installed | As installed | 1 (per engine) | |
| TCAS: | ||||
| TA | As installed | As installed | 1 | |
| RA | As installed | As installed | 1 | |
| Sensitivity level (as selected by crew) | As installed | As installed | 2 | |
| GPWS (ground proximity warning system) | Discrete | 1 | ||
| Landing gear or gear selector position | Discrete | 0.25 (1 per 4 seconds) | ||
| DME 1 and 2 Distance | 0-200 NM; | As installed | 0.25 | 1 mi. |
| Nav 1 and 2 Frequency Selection | Full range | As installed | 0.25 | |
1 When altitude rate is recorded. Altitude rate must have sufficient resolution and sampling to permit the derivation of altitude to 5 feet.
2 Percent of full range.
3 For airplanes that can demonstrate the capability of deriving either the control input on control movement (one from the other) for all modes of operation and flight regimes, the “or” applies. For airplanes with non-mechanical control systems (fly-by-wire) the “and” applies. In airplanes with split surfaces, suitable combination of inputs is acceptable in lieu of recording each surface separately.
4 This column applies to aircraft manufactured after October 11, 1991.
The recorded values must meet the designated range, resolution and accuracy requirements during static and dynamic conditions. Dynamic condition means the parameter is experiencing change at the maximum rate attainable, including the maximum rate of reversal. All data recorded must be correlated in time to within one second.
| Parameters | Range | Accuracy (sensor input) | Seconds per sampling interval | Resolution | Remarks |
|---|---|---|---|---|---|
| 1. Time or Relative Times Counts. 1 | 24 Hrs, 0 to 4095 | ±0.125% Per Hour | 4 | 1 sec | UTC time preferred when available. Count increments each 4 seconds of system operation. |
| 2. Pressure Altitude | −1000 ft to max certificated altitude of aircraft. + 5000 ft | ±100 to ±700 ft (see table, TSO C124a or TSO C51a) | 1 | 5′ to 35′ | Data should be obtained from the air data computer when practicable. |
| 3. Indicated airspeed or Calibrated airspeed | 50 KIAS or minimum value to Max V | ±5% and ±3% | 1 | 1 kt | Data should be obtained from the air data computer when practicable. |
| 4, Heading (Primary flight crew reference) | 0-360° and Discrete “true” or “mag” | ±2° | 1 | 0.5° | When true or magnetic heading can be selected as the primary heading reference, a discrete indicating selection must be recorded. |
| 5. Normal Acceleration (Vertical) 9 | −3g to + 6g | ±1% of max range excluding datum error of ±5% | 0.125 | 0.004g. | |
| 6. Pitch Attitude | ±75° | ±2° | 1 or 0.25 for airplanes operated under § 125.226(f) | 0.5° | A sampling rate of 0.25 is recommended. |
| 7. Roll Attitude 2 | ±180° | ±2° | 1 or 0.5 for airplanes operated under § 121.344(f) | 0.5° | A sampling rate of 0.5 is recommended. |
| 8. Manual Radio Transmitter Keying or CVR/DFDR synchronization
reference | On-Off (Discrete)
None. | 1 | Preferably each crew member but one discrete acceptable for all transmission provided the CVR/FDR system complies with TSO C124a CVR synchronization requirements (paragraph 4.2.1 ED-55). | ||
| 9. Thrust/Power on each engine—primary flight crew reference | Full Range Forward | ±2% | 1 (per engine) | 0.3% of full range | Sufficient parameters (e.g., EPR, N1 or Torque, NP) as appropriate to the particular engine being recorded to determine power in forward and reverse thrust, including potential overspeed condition. |
| 10. Autopilot Engagement | Discrete “on” or “off” | 1. | |||
| 11. Longitudinal Acceleration | ±1g | ±1.5% max. range excluding datum error of ±5% | 0.25 | 0.004g. | |
| 12a. Pitch control(s) position (nonfly-by-wire systems) 18 | Full range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 125.226(f) | 0.5% of full range | For airplanes that have a flight control breakaway capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 12b. Pitch control(s) position (fly-by-wire systems) 3 18 | Full range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 125.226(f) | 0.2% of full range | |
| 13a. Lateral control position(s) (nonfly-by-wire) 18 | Full range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 125.226(f) | 0.2% of full range | For airplanes that have a flight control break away capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 13b. Lateral control position(s) (fly-by-wire) 4 18 | Full range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 125.226(f) | 0.2% of full range | |
| 14a.Yaw control position(s) (nonfly-by-wire) 5 18 | Full range | ±2° unless higher accuracy uniquely required | 0.5 | 0.3% of full range | For airplanes that have a flight control breakaway capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling interval of 0.5. |
| 14b. Yaw control position(s) (fly-by-wire) 18 | Full range | ±2° unless higher accuracy uniquely required | 0.5 | 0.2% of full range | |
| 15. Pitch control surface(s) position 6 18 | Full range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 125.226(f) | 0.3% of full range | For airplanes fitted with multiple or split surfaces, a suitable combination of inputs is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 16. Lateral control surface(s) position 7 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 125.226(f) | 0.2% of full range | A suitable combination of surface position sensors is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 17. Yaw control surface(s) position 8 18 | Full range | ±2° unless higher accuracy uniquely required | 0.5 | 0.2% of full range | For airplanes fitted with multiple or split surfaces, a suitable combination of surface position sensors is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately to produce the sampling interval of 0.5. |
| 18. Lateral Acceleration | ±1g | ±1.5% max. range excluding datum error of ±5% | 0.25 | 0.004g. | |
| 19. Pitch Trim Surface Position | Full Range | ±3° Unless Higher Accuracy Uniquely Required | 1 | 0.6% of full range | |
| 20. Trailing Edge Flap or Cockpit Control Selection. 10 | Full Range or Each Position (discrete) | ±3° or as Pilot's indicator | 2 | 0.5% of full range | Flap position and cockpit control may each be sampled at 4 second intervals, to give a data point every 2 seconds. |
| 21. Leading Edge Flap or Cockpit Control Selection. 11 | Full Range or Each Discrete Position | ±3° or as Pilot's indicator and sufficient to determine each discrete position | 2 | 0.5% of full range | Left and right sides, or flap position and cockpit control may each be sampled at 4 second intervals, so as to give a data point every 2 seconds. |
| 22. Each Thrust Reverser Position (or equivalent for propeller airplane) | Stowed, In Transit, and Reverse (Discrete) | 1 (per engine). | Turbo-jet—2 discretes enable the 3 states to be determined.
Turbo-prop—1 discrete. | ||
| 23. Ground Spoiler Position or Speed Brake Selection 12 | Full Range or Each Position (discrete) | ±2° Unless higher accuracy uniquely required | 1 or 0.5 for airplanes operated under § 125.226(f) | 0.2% of full range | |
| 24. Outside Air Temperature or Total Air Temperature. 13 | −50 °C to + 90 °C | ±2 °C | 2 | 0.3 °C. | |
| 25. Autopilot/Autothrottle/AFCS Mode and Engagement Status | A suitable combination of discretes | 1 | Discretes should show which systems are engaged and which primary modes are controlling the flight path and speed of the aircraft. | ||
| 26. Radio Altitude 14 | −20 ft to 2,500 ft | ±2 ft or ±3% Whichever is Greater Below 500 ft and ±5% above 500 ft | 1 | 1 ft + 5% Above 500 ft | For autoland/category 3 operations. Each radio altimeter should be recorded, but arranged so that at least one is recorded each second. |
| 27. Localizer Deviation, MLS Azimuth, or GPS Lateral Deviation | ±400 Microamps or available sensor range as installed ±62° | As installed. ±3%
recommended | 1 | 0.3% of full range | For autoland/category 3 operations. each system should be recorded but arranged so that at least one is recorded each second. It is not necessary to record ILS and MLS at the same time, only the approach aid in use need be recorded. |
| 28. Glideslope Deviation, MLS Elevation, or GPS Vertical Deviation | ±400 Microamps or available sensor range as installed. 0.9 to
+ 30° | As installed ±3%
recommended | 1 | 0.3% of full range | For autoland/category 3 operations. each system should be recorded but arranged so that at least one is recorded each second. It is not necessary to record ILS and MLS at the same time, only the approach aid in use need be recorded. |
| 29. Marker Beacon Passage | Discrete “on” or “off” | 1 | A single discrete is acceptable for all markers. | ||
| 30. Master Warning | Discrete | 1 | Record the master warning and record each ‘red’ warning that cannot be determined from other parameters or from the cockpit voice recorder. | ||
| 31. Air/ground sensor (primary airplane system reference nose or main gear) | Discrete “air” or “ground” | 1 (0.25 recommended). | |||
| 32. Angle of Attack (If measured directly) | As installed | As Installed | 2 or 0.5 for airplanes operated under § 125.226(f) | 0.3% of full range | If left and right sensors are available, each may be recorded at 4 or 1 second intervals, as appropriate, so as to give a data point at 2 seconds or 0.5 second, as required. |
| 33. Hydraulic Pressure Low, Each System | Discrete or available sensor range, “low” or “normal” | ±5% | 2 | 0.5% of full range. | |
| 34. Groundspeed | As Installed | Most Accurate Systems Installed | 1 | 0.2% of full range. | |
| 35. GPWS (ground proximity warning system) | Discrete “warning” or “off” | 1 | A suitable combination of discretes unless recorder capacity is limited in which case a single discrete for all modes is acceptable. | ||
| 36. Landing Gear Position or Landing gear cockpit control selection | Discrete | 4 | A suitable combination of discretes should be recorded. | ||
| 37. Drift Angle. 15 | As installed | As installed | 4 | 0.1%. | |
| 38. Wind Speed and Direction | As installed | As installed | 4 | 1 knot, and 1.0°. | |
| 39. Latitude and Longitude | As installed | As installed | 4 | 0.002°, or as installed | Provided by the Primary Navigation System Reference. Where capacity permits Latitude/longtitude resolution should be 0.0002°. |
| 40. Stick shaker and pusher activation | Discrete(s) “on” or “off” | 1 | A suitable combination of discretes to determine activation. | ||
| 41. WIndshear Detection | Discrete “warning” or “off” | 1 | |||
| 42. Throttle/power lever position. 16 | Full Range | ±2% | 1 for each lever | 2% of full range | For airplanes with non-mechanically linked cockpit engine controls. |
| 43. Additional Engine Parameters | As installed | As installed | Each engine each second | 2% of full range | Where capacity permits, the preferred priority is indicated vibration level, N2, EGT, Fuel Flow, Fuel Cut-off lever position and N3, unless engine manufacturer recommends otherwise. |
| 44. Traffic Alert and Collision Avoidance System (TCAS) | Discretes | As installed | 1 | A suitable combination of discretes should be recorded to determine the status of-Combined Control, Vertical Control, Up Advisory, and Down Advisory. (ref. ARINC Characteristic 735 Attachment 6E, TCAS VERTICAL RA DATA OUTPUT WORD.) | |
| 45. DME 1 and 2 Distance | 0-200 NM | As installed | 4 | 1 NM | 1 mile. |
| 46. Nav 1 and 2 Selected Frequency | Full range | As installed | 4 | Sufficient to determine selected frequency | |
| 47. Selected barometric setting | Full range | ±5% | (1 per 64 sec.) | 0.2% of full range. | |
| 48. Selected Altitude | Full range | ±5% | 1 | 100 ft. | |
| 49. Selected speed | Full range | ±5% | 1 | 1 knot. | |
| 50. Selected Mach | Full range | ±5% | 1 | .01. | |
| 51. Selected vertical speed | Full range | ±5% | 1 | 100 ft/min. | |
| 52. Selected heading | Full range | ±5% | 1 | 1°. | |
| 53. Selected flight path | Full range | ±5% | 1 | 1°. | |
| 54. Selected decision height | Full range | ±5% | 64 | 1 ft. | |
| 55. EFIS display format | Discrete(s) | 4 | Discretes should show the display system status (e.g., off, normal, fail, composite, sector, plan, nav aids, weather radar, range, copy). | ||
| 56. Multi-function/Engine Alerts Display format | Discrete(s) | 4 | Discretes should show the display system status (e.g., off, normal, fail, and the identity of display pages for emergency procedures, need not be recorded). | ||
| 57. Thrust command. 17 | Full Range | ±2% | 2 | 2% of full range | |
| 58. Thrust target | Full range | ±2% | 4 | 2% of full range. | |
| 59. Fuel quantity in CG trim tank | Full range | ±5% | (1 per 64 sec.) | 1% of full range. | |
| 60. Primary Navigation System Reference | Discrete GPS, INS, VOR/DME, MLS, Localizer Glideslope | 4 | A suitable combination of discretes to determine the Primary Navigation System reference. | ||
| 61. Ice Detection | Discrete “ice” or “no ice” | 4 | |||
| 62. Engine warning each engine vibration | Discrete | 1 | |||
| 63. Engine warning each engine over temp | Discrete | 1 | |||
| 64. Engine warning each engine oil pressure low | Discrete | 1 | |||
| 65. Engine warning each engine over speed | Discrete | 1 | |||
| 66. Yaw Trim Surface Position | Full Range | ±3% Unless Higher Accuracy Uniquely Required | 2 | 0.3% of full range. | |
| 67. Roll Trim Surface Position | Full Range | ±3% Unless Higher Accuracy Uniquely Required | 2 | 0.3% of full range. | |
| 68. Brake Pressure (left and right) | As installed | ±5% | 1 | To determine braking effort applied by pilots or by autobrakes. | |
| 69. Brake Pedal Application (left and right) | Discrete or Analog “applied” or “off” | ±5% (Analog) | 1 | To determine braking applied by pilots. | |
| 70. Yaw or sideslip angle | Full Range | ±5% | 1 | 0,5°. | |
| 71. Engine bleed valve position | Decrete “open” or “closed” | 4 | |||
| 72. De-icing or anti-icing system selection | Discrete “on” or “off” | 4 | |||
| 73. Computed center of gravity | Full Range | ±5% | (1 per 64 sec.) | 1% of full range. | |
| 74. AC electrical bus status | Discrete “power” or “off” | 4 | Each bus. | ||
| 75. DC electrical bus status | Discrete “power” or “off” | 4 | Each bus. | ||
| 76. APU bleed valve position | Discrete “open” or “closed | 4. | |||
| 77. Hydraulic Pressure (each system) | Full range | ±5% | 2 | 100 psi. | |
| 78. Loss of cabin pressure | Discrete “loss” or “normal” | 1. | |||
| 79. Computer failure (critical flight and engine control systems) | Discrete “fail” or “normal” | 4. | |||
| 80. Heads-up display (when an information source is installed) | Discrete(s) “on” or “off” | 4. | |||
| 81. Para-visual display (when an information source is installed) | Discrete(s) “on” or “off” | 1. | |||
| 82. Cockpit trim control input position—pitch | Full Range | ±5% | 1 | 0.2% of full range | Where mechanical means for control inputs are not available, cockpit display trim positions should be recorded. |
| 83. Cockpit trim control input position—roll | Full Range | ±5% | 1 | 0.7% of full range | Where mechanical means for control inputs are not available, cockpit display trim position should be recorded. |
| 84. Cockpit trim control input position—yaw | Full Range | ±5% | 1 | 0.3% of full range | Where mechanical means for control input are not available, cockpit display trim positions should be recorded. |
| 85. Trailing edge flap and cockpit flap control position | Full Range | ±5% | 2 | 0.5% of full range | Trailing edge flaps and cockpit flap control position may each be sampled alternately at 4 second intervals to provide a sample each 0.5 second. |
| 86. Leading edge flap and cockpit flap control position | Full Range or Discrete | ±5% | 1 | 0.5% of full range. | |
| 87. Ground spoiler position and speed brake selection | Full Range or Discrete | ±5% | 0.5 | 0.3% of full range | |
| 88. All cockpit flight control input forces (control wheel, control column, rudder pedal) 18 19 | Full range
Control wheel ±70 lbs Control column ±85 lbs Rudder pedal ±165 lbs | ±5% | 1 | 0.3% of full range | For fly-by-wire flight control systems, where flight control surface position is a function of the displacement of the control input device only, it is not necessary to record this parameter. For airplanes that have a flight control break away capability that allows either pilot to operate the control independently, record both control force inputs. The control force inputs may be sampled alternately once per 2 seconds to produce the sampling interval of 1. |
| 89. Yaw damper status | Discrete (on/off) | 0.5 | |||
| 90. Yaw damper command | Full range | As installed | 0.5 | 1% of full range | |
| 91. Standby rudder valve status | Discrete | 0.5 |
1 For A300 B2/B4 airplanes, resolution = 6 seconds.
2 For A330/A340 series airplanes, resolution = 0.703°.
3 For A318/A319/A320/A321 series airplanes, resolution = 0.275% (0.088°>0.064°)
For A330/A340 series airplanes, resolution = 2.20% (0.703°>0.064°)
4 For A318/A319/A320/A321 series airplanes, resolution = 0.22% (0.088°>0.080°)
For A330/A340 series airplanes, resolution = 1.76% (0.703°>0.080°)
5 For A330/A340 series airplanes, resolution = 1.18% (0.703° >0.120°).
For A330/A340 series airplanes, seconds per sampling interval = 1.
6 For A330/A340 series airplanes, resolution = 0.783% (0.352°>0.090°)
7 For A330/A340 series airplanes, aileron resolution = 0.704% (0.352°>0.100°). For A330/A340 series airplanes, spoiler resolution = 1.406% (0.703°>0.100°).
8 For A330/A340 series airplanes, resolution = 0.30% (0.176°>0.12°)
For A330/A340 series airplanes, seconds per sampling interval = 1
9 For B-717 series airplanes, resolution = .005g. For Dassault F900C/F900EX airplanes, resolution = .007g.
10 For A330/A340 series airplanes, resolution = 1.05% (0.250°>0.120°)
11 For A330/A340 series airplanes, resolution = 1.05% (0.250°>0.120°). For A330 B2/B4 series airplanes, resolution = 0.92% (0.230°>0.125°).
12 For A330/A340 series airplanes, spoiler resolution = 1.406% (0.703°>0.100°).
13 For A330/A340 series airplanes, resolution = 0.5°C.
14 For Dassault F900C/F900EX airplanes, Radio Altitude resolution = 1.25 ft.
15 For A330/A340 series airplanes, resolution = 0.352 degrees.
16 For A318/A319/A320/A321 series airplanes, resolution = 4.32%. For A330/A340 series airplanes, resolution is 3.27% of full range for throttle lever angle (TLA); for reverse thrust, reverse throttle lever angle (RLA) resolution is nonlinear over the active reverse thrust range, which is 51.54 degrees to 96.14 degrees. The resolved element is 2.8 degrees uniformly over the entire active reverse thrust range, or 2.9% of the full range value of 96.14 degrees.
17 For A318/A319/A320/A321 series airplanes, with IAE engines, resolution = 2.58%.
18 For all aircraft manufactured on or after December 6, 2010, the seconds per sampling interval is 0.125. Each input must be recorded at this rate. Alternately sampling inputs (interleaving) to meet this sampling interval is prohibited.
19 For all 737 model airplanes manufactured between August 19, 2000, and April 6, 2010: The seconds per sampling interval is 0.5 per control input; the remarks regarding the sampling rate do not apply; a single control wheel force transducer installed on the left cable control is acceptable provided the left and right control wheel positions also are recorded.
(a) Foreign air carrier operations in the United States. This part prescribes rules governing the operation within the United States of each foreign air carrier holding the following:
(1) A permit issued by the U.S. Department of Transportation under 49 U.S.C. 41301 through 41306, or
(2) Other appropriate economic or exemption authority issued by the U.S. Department of Transportation.
(b) Operations of U.S.-registered aircraft solely outside the United States. In addition to the operations specified under paragraph (a) of this section, §§ 129.5, 129.7, 129.9, 129.11, 129.14, 129.20 and 129.24, and subpart B of this part also apply to operations of U.S.-registered aircraft operated solely outside the United States in common carriage by a foreign person or foreign air carrier.
(c) Definitions. For the purpose of this part—
(1) Foreign person means any person who is not a citizen of the United States and who operates a U.S.-registered aircraft in common carriage solely outside the United States.
(2) Regional Safety Oversight Organization means an association or organization that comprises a group of member States, which—
(i) Has provided notification to the International Civil Aviation Organization of the scope of tasks and functions delegated or transferred to the Regional Safety Oversight Organization, including but not limited to: sharing common or harmonized aviation regulations, licensing, certification, authorization, approval, and surveillance of civil aviation activities, and any legal authority delegated or transferred by a member State to the Regional Safety Oversight Organization; and
(ii) Has stipulated the specific tasks, functions, delegations, and transfers by member States discussed in paragraph (c)(2)(i) of this section, and any other collective understandings of member States in Regional Safety Oversight Organization formation documentation, such as an agreement, treaty, or informal record, that is available for review by the Administrator.
(3) State of the operator means the State in which the operator's principal place of business is located or, if there is no such place of business, the operator's permanent residence.
(4) Years in service means the calendar time elapsed since an aircraft was issued its first U.S. or first foreign airworthiness certificate.
(a) Each foreign air carrier conducting operations within the United States, and each foreign air carrier or foreign person operating U.S.-registered aircraft solely outside the United States in common carriage must conduct its operations in accordance with operations specifications issued by the Administrator under this part.
(b) Each foreign air carrier conducting operations within the United States must conduct its operations in accordance with the Standards contained in Annex 1 (Personnel Licensing), Annex 6 (Operation of Aircraft), Part I (International Commercial Air Transport—Aeroplanes) or Part III (International Operations—Helicopters), as appropriate, and in Annex 8 (Airworthiness of Aircraft) to the Convention on International Civil Aviation.
(c) No foreign air carrier may operate to or from locations within the United States without, or in violation of, appropriate operations specifications.
(d) No foreign air carrier or foreign person shall operate U.S.-registered aircraft solely outside the United States in common carriage without, or in violation of, appropriate operations specifications.
(e) Each foreign air carrier must keep each of its employees and other persons used in its operations informed of the provisions of its operations specifications that apply to that employee's or person's duties and responsibilities.
(f) Operations specifications issued under this part are effective until—
(1) The foreign air carrier or foreign person surrenders them to the FAA;
(2) The Administrator suspends or terminates the operations specifications; or
(3) The operations specifications are amended as provided in § 129.11.
(g) Within 30 days after a foreign air carrier or foreign person terminates operations under part 129 of this subchapter, the operations specifications must be surrendered by the foreign air carrier or foreign person to the responsible Flight Standards office.
(h) No person operating under this part may operate or list on its operations specifications any airplane listed on operations specifications issued under part 125 of this chapter.
(a) A foreign air carrier or foreign person applying to the FAA for operations specifications under this part must submit an application—
(1) In a form and manner prescribed by the Administrator; and
(2) At least 90 days before the intended date of operation.
(b) An authorized officer or employee of the applicant, having knowledge of the matters stated in the application, must sign the application and certify in writing that the statements in the application are true. The application must include two copies of the appropriate written authority issued to that officer or employee by the applicant.
(c) A foreign applicant may be issued operations specifications, if after review, the Administrator finds the applicant—
(1) Meets the applicable requirements of this part;
(2) Holds the economic or exemption authority required by the Department of Transportation, applicable to the operations to be conducted;
(3) Complies with the applicable security requirements of 49 CFR chapter XII;
(4) Is properly and adequately equipped to conduct the operations described in the operations specifications; and
(5) Holds a valid air operator certificate, if acceptable to the Administrator, issued by:
(i) The State of the Operator; or
(ii) A Regional Safety Oversight Organization (RSOO) if the State of the Operator is a member State of that RSOO.
(d) An application may be denied if the Administrator finds that the applicant does not meet one or more of the criteria listed in paragraph (c) of this section.
(a) The contents of operations specifications issued to a foreign air carrier conducting operations within the United States under § 129.1(a) shall include:
(1) The specific location and mailing address of the applicant's principal place of business in the State of the Operator and, if different, the address that will serve as the primary point of contact for correspondence between the FAA and the foreign air carrier;
(2) Within 1 year after February 10, 2011, the designation of an agent for service within the United States, including the agent's full name and office address or usual place of residence;
(3) The certificate number and validity of the foreign air carrier's air operator certificate;
(4) Each regular and alternate airport to be used in scheduled operations;
(5) The type of aircraft and registration markings of each aircraft;
(6) The approved maintenance program and minimum equipment list for United States registered aircraft authorized for use; and
(7) Any other item the Administrator determines is necessary.
(b) The contents of operations specifications issued to a foreign air carrier or foreign person operating U.S.-registered aircraft solely outside the United States in common carriage in accordance with § 129.1(b) shall include—
(1) The specific location and mailing address of the principal place of business in the State of the Operator and, if different, the address that will serve as the primary point of contact for correspondence between the FAA and the foreign air carrier or foreign person;
(2) Within 1 year after February 10, 2011, the designation of an agent for service within the United States, including the agent's full name and office address or usual place of residence;
(3) In the case of a foreign air carrier, the certificate number and validity of the foreign air carrier's air operator certificate;
(4) Any other business names under which the foreign air carrier or foreign person may operate;
(5) The type, registration markings, and serial number of each United States registered aircraft authorized for use;
(6) The approved maintenance program and minimum equipment list for United States registered aircraft authorized for use; and
(7) Any other item the Administrator determines is necessary.
(a) The Administrator may amend any operations specifications issued under this part if—
(1) The Administrator determines that safety in air commerce and the public interest require the amendment; or
(2) The foreign air carrier or foreign person applies for an amendment, and the Administrator determines that safety in air commerce and the public interest allows the amendment.
(b) The Administrator may suspend or terminate any operations specifications issued under this part if the Administrator determines that safety in air commerce and the public interest require the suspension or termination;
(c) Except as provided in paragraphs (f) and (g) of this section, when the Administrator initiates an action to amend, suspend or terminate a foreign air carrier or foreign person's operations specifications, the following procedure applies:
(1) The responsible Flight Standards office notifies the foreign air carrier or foreign person in writing of the proposed amendment, suspension or termination.
(2) The responsible Flight Standards office sets a reasonable period (but not less than 7 days) within which the foreign air carrier or foreign person may submit written information, views, and arguments on the amendment, suspension or termination.
(3) After considering all material presented, the responsible Flight Standards office notifies the foreign air carrier or foreign person of—
(i) The adoption of the proposed amendment, suspension or termination;
(ii) The partial adoption of the proposed amendment, suspension or termination; or
(iii) The withdrawal of the proposed amendment, suspension or termination.
(4) If the responsible Flight Standards office issues an action to amend, suspend or terminate the operations specifications, it becomes effective not less than 30 days after the foreign air carrier or foreign person receives notice of it unless—
(i) The responsible Flight Standards office finds under paragraph (g) of this section that there is an emergency requiring immediate action with respect to safety in air commerce; or
(ii) The foreign air carrier or foreign person petitions for reconsideration of the amendment, suspension or termination under paragraph (e) of this section.
(d) When the foreign air carrier or foreign person applies for an amendment to its operations specifications, the following procedure applies:
(1) The foreign air carrier or foreign person must file an application to amend its operations specifications—
(i) At least 90 days before the date proposed by the applicant for the amendment to become effective in cases of mergers; acquisitions of airline operational assets that require an additional showing to Department of Transportation for economic authority; major changes in the type of operation; and resumption of operations following a suspension of operations as a result of bankruptcy actions, unless a shorter time is approved by the Administrator.
(ii) At least 30 days before the date proposed by the applicant for the amendment to become effective in all other cases.
(2) The application must be submitted to the responsible Flight Standards office in a form and manner prescribed by the Administrator.
(3) After considering all material presented, the responsible Flight Standards office notifies the foreign air carrier or foreign person of—
(i) The adoption of the applied for amendment;
(ii) The partial adoption of the applied for amendment; or
(iii) The denial of the applied for amendment.
(4) If the responsible Flight Standards office approves the amendment, following coordination with the foreign air carrier or foreign person regarding its implementation, the amendment is effective on the date the responsible Flight Standards office approves it.
(e) The foreign air carrier or foreign person may petition for reconsideration of a full or partial adoption of an amendment, a denial of an amendment or a suspension or termination of operations specifications.
(f) When a foreign air carrier or foreign person seeks reconsideration of a decision from the responsible Flight Standards office concerning the amendment, suspension or termination of operations specifications, the following procedure applies:
(1) The foreign air carrier or foreign person must petition for reconsideration of that decision within 30 days after the date that the foreign air carrier or foreign person receives a notice of the decision.
(2) The foreign air carrier or foreign person must address its petition to the Executive Director, Flight Standards Service.
(3) A petition for reconsideration, if filed within the 30-day period, suspends the effectiveness of any amendment, suspension or termination issued by the responsible Flight Standards office unless the responsible Flight Standards office has found, under paragraph (g) of this section, that an emergency exists requiring immediate action with respect to safety in air transportation or air commerce.
(g) If the responsible Flight Standards office finds that an emergency exists requiring immediate action with respect to safety in air commerce or air transportation that makes the procedures set out in this section impracticable or contrary to the public interest, that office may make the amendment, suspension or termination effective on the day the foreign air carrier or foreign person receives notice of it. In the notice to the foreign air carrier or foreign person, the responsible Flight Standards office will articulate the reasons for its finding that an emergency exists requiring immediate action with respect to safety in air transportation or air commerce or that makes it impracticable or contrary to the public interest to stay the effectiveness of the amendment, suspension or termination.
(a) No foreign air carrier may operate any aircraft within the United States unless that aircraft carries a current registration certificate and displays the nationality and registration markings of the State of Registry, and an airworthiness certificate issued or validated by:
(1) The State of Registry; or
(2) The State of the Operator, provided that the State of the Operator and the State of Registry have entered into an agreement under Article 83bis of the Convention on International Civil Aviation that covers the aircraft.
(b) No foreign air carrier may operate a foreign aircraft within the United States except in accordance with the limitations on maximum certificated weights prescribed for that aircraft and that operation by the country of manufacture of the aircraft.
(a) Each foreign air carrier and each foreign person operating a U.S.-registered aircraft within or outside the United States in common carriage must ensure that each aircraft is maintained in accordance with a program approved by the Administrator in the operations specifications.
(b) No foreign air carrier or foreign person may operate a U.S.-registered aircraft with inoperable instruments or equipment unless the following conditions are met:
(1) A master minimum equipment list exists for the aircraft type.
(2) The foreign operator submits for review and approval its aircraft minimum equipment list based on the master minimum equipment list, to the responsible Flight Standards office for the operator. The foreign operator must show, before minimum equipment list approval can be obtained, that the maintenance procedures used under its maintenance program are adequate to support the use of its minimum equipment list.
(3) For leased aircraft maintained and operated under a U.S. operator's continuous airworthiness maintenance program and FAA-approved minimum equipment list, the foreign operator submits the U.S. operator's approved continuous airworthiness maintenance program and approved aircraft minimum equipment list to the FAA office prescribed in paragraph (b)(2) of this section for review and evaluation. The foreign operator must show that it is capable of operating under the lessor's approved maintenance program and that it is also capable of meeting the maintenance and operational requirements specified in the lessor's approved minimum equipment list.
(4) The FAA operations specification permitting the operator to use an approved minimum equipment list is carried aboard the aircraft. An approved minimum equipment list, as authorized by the operations specifications, constitutes an approved change to the type design without requiring recertification.
(5) The approved minimum equipment list provides for the operation of the aircraft with certain instruments and equipment in an inoperable condition.
(6) The aircraft records available to the pilot must include an entry describing the inoperable instruments and equipment.
(7) The aircraft is operated under all applicable conditions and limitations contained in the minimum equipment list and the operations specification authorizing the use of the list.
Each person acting as a flightcrew member must hold a certificate or license that shows the person's ability to perform duties in connection with the operation of the aircraft. The certificate or license must have been issued or rendered valid by:
(a) The State in which the aircraft is registered; or
(b) The State of the Operator, provided that the State of the Operator and the State of Registry have entered into an agreement under Article 83bis of the Convention on International Civil Aviation that covers the aircraft.
(a) Aircraft navigation equipment requirements—General. No foreign air carrier may conduct operations under IFR or over the top unless—
(1) The en route navigation aids necessary for navigating the aircraft along the route (e.g., ATS routes, arrival and departure routes, and instrument approach procedures, including missed approach procedures if a missed approach routing is specified in the procedure) are available and suitable for use by the aircraft navigation equipment required by this section;
(2) The aircraft used in those operations is equipped with at least the following—
(i) Except as provided in paragraph (c) of this section, two approved independent navigation systems suitable for navigating the aircraft along the route to be flown within the degree of accuracy required for ATC;
(ii) One marker beacon receiver providing visual and aural signals; and
(iii) One ILS receiver; and
(3) Any RNAV system used to meet the navigation equipment requirements of this section is authorized in the foreign air carrier's operations specifications.
(b) Aircraft communication equipment requirements. No foreign air carrier may operate an aircraft under IFR or over the top, unless it is equipped with—
(1) At least two independent communication systems necessary under normal operating conditions to fulfill the functions specified in § 121.347(a) of this chapter; and
(2) At least one of the communication systems required by paragraph (b)(1) of this section must have two-way voice communication capability.
(c) Use of a single independent navigation system for operations under IFR or over the top. Notwithstanding the requirements of paragraph (a)(2)(i) of this section, the aircraft may be equipped with a single independent navigation system suitable for navigating the aircraft along the route to be flown within the degree of accuracy required for ATC if:
(1) It can be shown that the aircraft is equipped with at least one other independent navigation system suitable, in the event of loss of the navigation capability of the single independent navigation system permitted by this paragraph at any point along the route, for proceeding safely to a suitable airport and completing an instrument approach; and
(2) The aircraft has sufficient fuel so that the flight may proceed safely to a suitable airport by use of the remaining navigation system, and complete an instrument approach and land.
(d) VOR navigation equipment. If VOR navigation equipment is required by paragraph (a) or (c) of this section, no foreign air carrier may operate an aircraft unless it is equipped with at least one approved DME or suitable RNAV system.
Effective January 1, 2005, any airplane you, as a foreign air carrier, operate under part 129 must be equipped and operated according to the following table:
Collision Avoidance Systems
| If you operate in the United States any . . . | Then you must operate that airplane with: |
|---|---|
| (a) Turbine-powered airplane of more than 33,000 pounds maximum certificated takeoff weight | (1) An appropriate class of Mode S transponder that meets Technical Standard Order (TSO) C-112, or a later version, and one of the following approved units;
(i) TCAS II that meets TSO C-119b (version 7.0), or takeoff weight a later version. |
| (ii) TCAS II that meets TSO C-119a (version 6.04A Enhanced) that was installed in that airplane before May 1, 2003. If that TCAS II version 6.04A Enhanced no longer can be repaired to TSO C-119a standards, it must be replaced with a TCAS II that meets TSO C-119b (version 7.0), or a later version.
(iii) A collision avoidance system equivalent to TSO C-119b (version 7.0), or a later version, capable of coordinating with units that meet TSO C-119a (version 6.04A Enhanced), or a later version. | |
| (b) Turbine-powered airplane with a passenger-seat configuration, excluding any pilot seat, of 10-30 seats | (1) TCAS I that meets TSO C-118, or a later version, or
(2) A collision avoidance system equivalent to excluding any TSO C-118, or a later version, or (3) A collision avoidance system and Mode S transponder that meet paragraph (a)(1) of this section. |
(a) Each pilot must be familiar with the applicable rules, the navigational and communications facilities, and the air traffic control and other procedures, of the areas to be traversed by him within the United States.
(b) Each foreign air carrier shall establish procedures to assure that each of its pilots has the knowledge required by paragraph (a) of this section and shall check the ability of each of its pilots to operate safely according to applicable rules and procedures.
(c) Each foreign air carrier shall conform to the practices, procedures, and other requirements prescribed by the Administrator for U.S. air carriers for the areas to be operated in.
No person may operate an aircraft under this part that is registered in the United States unless it is equipped with one or more approved flight recorders that use a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The flight data recorder must record the parameters that would be required to be recorded if the aircraft were operated under part 121, 125, or 135 of this chapter, and must be installed by the compliance times required by those parts, as applicable to the aircraft.
(a) Subject to applicable immigration laws and regulations, each foreign air carrier must furnish sufficient personnel necessary to provide two-way voice communications between its aircraft and stations at places where the FAA finds that communication is necessary but cannot be maintained in a language with which station operators are familiar.
(b) Each person furnished by a foreign air carrier under paragraph (a) of this section must be able to speak English and the language necessary to maintain communications with its aircraft and must assist station operators in directing traffic.
(a) No foreign air carrier may operate a rotorcraft under VFR over routes that can be navigated by pilotage unless the rotorcraft is equipped with the radio communication equipment necessary under normal operating conditions to fulfill the following:
(1) Communicate with at least one appropriate station from any point on the route;
(2) Communicate with appropriate air traffic control facilities from any point within Class B, Class C, or Class D airspace, or within a Class E surface area designated for an airport in which flights are intended; and
(3) Receive meteorological information from any point en route.
(b) No foreign air carrier may operate a rotorcraft at night under VFR over routes that can be navigated by pilotage unless that rotorcraft is equipped with—
(1) Radio communication equipment necessary under normal operating conditions to fulfill the functions specified in paragraph (a) of this section; and
(2) Navigation equipment suitable for the route to be flown.
(a) Notwithstanding the applicable structural provisions of the transport category airworthiness regulations, but subject to paragraphs (b) through (g) of this section, a foreign air carrier may operate (for cargo service only) any of the following transport category airplanes (certificated under part 4b of the Civil Air Regulations effective before March 13, 1956) at increased zero fuel and landing weights—
(1) DC-6A, DC-6B, DC-7B, and DC-7C; and
(2) L-1049 B, C, D, E, F, G, and H, and the L-1649A when modified in accordance with supplemental type certificate SA 4-1402.
(b) The zero fuel weight (maximum weight of the airplane with no disposable fuel and oil) and the structural landing weight may be increased beyond the maximum approved in full compliance with applicable rules only if the Administrator finds that—
(1) The increase is not likely to reduce seriously the structural strength;
(2) The probability of sudden fatigue failure is not noticeably increased;
(3) The flutter, deformation, and vibration characteristics do not fall below those required by applicable regulations; and
(4) All other applicable weight limitations will be met.
(c) No zero fuel weight may be increased by more than five percent, and the increase in the structural landing weight may not exceed the amount, in pounds, of the increase in zero fuel weight.
(d) Each airplane must be inspected in accordance with the approved special inspection procedures, for operations at increased weights, established and issued by the manufacturer of the type of airplane.
(e) A foreign air carrier may not operate an airplane under this section unless the country of registry requires the airplane to be operated in accordance with the passenger-carrying transport category performance operating limitations in part 121 or the equivalent.
(f) The Airplane Flight Manual for each airplane operated under this section must be appropriately revised to include the operating limitations and information needed for operation at the increased weights.
(g) Each airplane operated at an increased weight under this section must, before it is used in passenger service, be inspected under the special inspection procedures for return to passenger service established and issued by the manufacturer and approved by the Administrator.
No person may operate an aircraft under this part that is registered in the United States unless it is equipped with an approved cockpit voice recorder that meets the standards of TSO-C123a, or later revision. The cockpit voice recorder must record the information that would be required to be recorded if the aircraft were operated under part 121, 125, or 135 of this chapter, and must be installed by the compliance times required by that part, as applicable to the aircraft.
Foreign air carriers conducting operations under this part must comply with the applicable security requirements in 49 CFR chapter XII.
(a) After August 20, 2002, except for a newly manufactured airplane on a non-revenue delivery flight, no foreign air carrier covered by § 129.1(a), may operate:
(1) A passenger carrying transport category airplane within the United States, except for overflights, unless the airplane is equipped with a door between the passenger and pilot compartment that incorporates features to restrict the unwanted entry of persons into the flightdeck that are operable from the flightdeck only; or
(2) A transport category all-cargo airplane within the United States, except for overflights, that has a door installed between the pilot compartment and any other occupied compartment on or after June 21, 2002, unless the door incorporates features to restrict the unwanted entry of persons into the flightdeck that are operable from the flightdeck only.
(b) To the extent necessary to meet the requirements of paragraph (a) of this section, the requirements of § 129.13(a) to maintain airworthiness certification are waived until April 9, 2003. After that date, the requirements of § 129.13(a) apply in full.
(c) After April 9, 2003, except for a newly manufactured airplane on a non-revenue delivery flight, no foreign air carrier covered by § 129.1(a) may operate a passenger carrying transport category airplane, or a transport category all-cargo airplane that has a door installed between the pilot compartment and any other occupied compartment on or after June 21, 2002, within the United States, except for overflights, unless the airplane's flightdeck door installation meets the requirements of paragraphs (c)(1) and(2) of this section or an alternative standard found acceptable to the Administrator.
(1) Except for a newly manufactured airplane on a non-revenue delivery flight, no foreign air carrier covered by § 129.1(a) may operate:
(i) After April 9, 2003, a passenger carrying transport category airplane within the United States, except on overflights, unless the airplane's flightdeck door installation meets the requirements of paragraphs (c)(2) and (c)(3) of this section or an alternative standard found acceptable to the Administrator.
(ii) After October 1, 2003, a transport category all-cargo airplane that had a door installed between the pilot compartment and any other occupied compartment on or after June 21, 2002, within the United States, except on overflights, unless the airplane's flightdeck door installation meets the requirements of paragraphs (c)(2) and (c)(3) of this section or an alternative standard found acceptable to the Administrator; or the operator must implement a security program approved by the Transportation Security Administration (TSA) for the operation of all airplanes in that operator's fleet.
(2) The door must resist forcible intrusion by unauthorized persons and be capable of withstanding impacts of 300 joules (221.3 foot-pounds) at the critical locations on the door, as well as a 1,113-newton (250 pounds) constant tensile load on the knob or handle, and
(3) The door must resist penetration by small arms fire and fragmentation devices to a level equivalent to Level IIIa of the National Institute of Justice Standard (NIJ) 0101.04.
(d) After August 20, 2002, no foreign air carrier covered by § 129.1 may operate a passenger carrying transport category airplane, or a transport category all-cargo airplane that has a door installed between the pilot compartment and any other occupied compartment on or after June 21, 2002, within the United States, except for overflights, unless the carrier has procedures in place that are acceptable to the civil aviation authority responsible for oversight of the foreign air carriers operating under this part to prevent access to the flightdeck except as authorized as follows:
(1) No person other than a person who is assigned to perform duty on the flight deck may have a key to the flight deck door that will provide access to the flightdeck.
(2) Except when it is necessary to permit access and egress by persons authorized in accordance with paragraph (d)(3) of this section, a pilot in command of an airplane that has a lockable flight deck door in accordance with § 129.28(a) and that is carrying passengers shall ensure that the door separating the flight crew compartment from the passenger compartment is closed and locked at all times when the airplane is being operated.
(3) No person may admit any person to the flight deck of an airplane unless the person being admitted is—
(i) A crewmember,
(ii) An inspector of the civil aviation authority responsible for oversight of the part 129 operator, or
(iii) Any other person authorized by the civil aviation authority responsible for oversight of the part 129 operator.
(e) The requirements of paragraph (a) through (d) except (d)(3), do not apply to transport category passenger carrying airplanes originally type certificated with a maximum passenger seating configuration of 19 seats or less, or to all-cargo airplanes with a payload capacity of 7,500 pounds or less.
(a) No person may smoke and no operator may permit smoking in any aircraft lavatory.
(b) Unless otherwise authorized by the Secretary of Transportation, no person may smoke and no operator may permit smoking anywhere on the aircraft (including the passenger cabin and the flight deck) during scheduled passenger foreign air transportation or during any scheduled passenger interstate or intrastate air transportation.
(a) This subpart requires a foreign person or foreign air carrier operating a U.S. registered airplane in common carriage to support the continued airworthiness of each airplane. These requirements may include, but are not limited to, revising the maintenance program, incorporating design changes, and incorporating revisions to Instructions for Continued Airworthiness.
(b) [Reserved]
(a) Operation after inspection and records review. After the dates specified in this paragraph, a foreign air carrier or foreign person may not operate a U.S.-registered multiengine airplane under this part unless the Administrator has notified the foreign air carrier or foreign person that the Administrator has completed the aging airplane inspection and records review required by this section. During the inspection and records review, the foreign air carrier or foreign person must demonstrate to the Administrator that the maintenance of age sensitive parts and components of the airplane has been adequate and timely enough to ensure the highest degree of safety.
(1) Airplanes exceeding 24 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has exceeded 24 years in service on December 8, 2003, no later than December 5, 2007, and thereafter at intervals not to exceed 7 years.
(2) Airplanes exceeding 14 years in service but not 24 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has exceeded 14 years in service, but not 24 years in service, on December 8, 2003, no later than December 4, 2008, and thereafter at intervals not to exceed 7 years.
(3) Airplanes not exceeding 14 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has not exceeded 14 years in service on December 8, 2003, no later than 5 years after the start of the airplane's 15th year in service and thereafter at intervals not to exceed 7 years.
(b) Unforeseen schedule conflict. In the event of an unforeseen scheduling conflict for a specific airplane, the Administrator may approve an extension of up to 90 days beyond an interval specified in paragraph (b) of this section.
(c) Airplane and records availability. The foreign air carrier or foreign person must make available to the Administrator each U.S.-registered multiengine airplane for which an inspection and records review is required under this section, in a condition for inspection specified by the Administrator, together with the records containing the following information:
(1) Total years in service of the airplane;
(2) Total time in service of the airframe;
(3) Total flight cycles of the airframe;
(4) Date of the last inspection and records review required by this section;
(5) Current status of life-limited parts of the airframe;
(6) Time since the last overhaul of all structural components required to be overhauled on a specific time basis;
(7) Current inspection status of the airplane, including the time since the last inspection required by the inspection program under which the airplane is maintained;
(8) Current status of applicable airworthiness directives, including the date and methods of compliance, and if the airworthiness directive involves recurring action, the time and date when the next action is required;
(9) A list of major structural alterations; and
(10) A report of major structural repairs and the current inspection status for those repairs.
(d) Notification to Administrator. Each foreign air carrier or foreign person must notify the Administrator at least 60 days before the date on which the airplane and airplane records will be made available for the inspection and records review.
(a) No foreign air carrier or foreign persons operating a U.S. registered airplane may operate an Airbus Model A300 (excluding −600 series), British Aerospace Model BAC 1-11, Boeing Model 707, 720, 727, 737, or 747, McDonnell Douglas Model DC-8, DC-9/MD-80 or DC-10, Fokker Model F28, or Lockheed Model L-1011 beyond the applicable flight cycle implementation time specified below, or May 25, 2001, whichever occurs later, unless operations specifications have been issued to reference repair assessment guidelines applicable to the fuselage pressure boundary (fuselage skin, door skin, and bulkhead webs), and those guidelines are incorporated in its maintenance program. The repair assessment guidelines must be approved by the responsible Aircraft Certification Service office for the type certificate for the affected airplane.
(1) For the Airbus Model A300 (excluding the -600 series), the flight cycle implementation time is:
(i) Model B2: 36,000 flights.
(ii) Model B4-100 (including Model B4-2C): 30,000 flights above the window line, and 36,000 flights below the window line.
(iii) Model B4-200: 25,500 flights above the window line, and 34,000 flights below the window line.
(2) For all models of the British Aerospace BAC 1-11, the flight cycle implementation time is 60,000 flights.
(3) For all models of the Boeing 707, the flight cycle implementation time is 15,000 flights.
(4) For all models of the Boeing 720, the flight cycle implementation time is 23,000 flights.
(5) For all models of the Boeing 727, the flight cycle implementation time is 45,000 flights.
(6) For all models of the Boeing 737, the flight cycle implementation time is 60,00 flights.
(7) For all models of the Boeing 747, the flight cycle implementation time is 15,000 flights.
(8) For all models of the McDonnell Douglas DC-8, the flight cycle implementation time is 30,000 flights.
(9) For all models of the McDonnell Douglas DC-9/MD-80, the flight cycle implementation time is 60,000 flights.
(10) For all models of the McDonnell Douglas DC-10, the flight cycle implementation time is 30,000 flights.
(11) For all models of the Lockheed L-1011, the flight cycle implementation time is 27,000 flights.
(12) For the Fokker F-28 Mark 1000, 2000, 3000, and 4000, the flight cycle implementation time is 60,000 flights.
(b) [Reserved]
(a) Applicability. This section applies to U.S.-registered, transport category, turbine powered airplanes with a type certificate issued after January 1, 1958 that as a result of original type certification or later increase in capacity have—
(1) A maximum type certificated passenger seating capacity of 30 or more; or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) General requirements. After December 20, 2010, a certificate holder may not operate an airplane under this part unless the following requirements have been met:
(1) Baseline Structure. The certificate holder's maintenance program for the airplane includes FAA-approved damage-tolerance-based inspections and procedures for airplane structure susceptible to fatigue cracking that could contribute to a catastrophic failure. For the purpose of this section, this structure is termed “fatigue critical structure.”
(2) Adverse effects of repairs, alterations, and modifications. The maintenance program for the airplane includes a means for addressing the adverse effects repairs, alterations, and modifications may have on fatigue critical structure and on inspections required by paragraph (b)(1) of this section. The means for addressing these adverse effects must be approved by the responsible Aircraft Certification Service office.
(3) Changes to maintenance program. The changes made to the maintenance program required by paragraph (b)(1) and (b)(2) of this section, and any later revisions to these changes, must be submitted to the Principal Maintenance Inspector for review and approval.
(a) Except as provided in paragraph (f) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of original type certification or later increase in capacity, have—
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7500 pounds or more.
(b) After March 10, 2011, no foreign person or foreign air carrier may operate a U.S.-registered airplane identified in paragraph (a) of this section unless the maintenance program for that airplane includes inspections and procedures for EWIS.
(c) The proposed EWIS maintenance program changes must be based on EWIS Instructions for Continued Airworthiness (ICA) that have been developed in accordance with the provisions of Appendix H of part 25 of this chapter applicable to each affected airplane (including those ICA developed for supplemental type certificates installed on each airplane) and that have been approved by the responsible Aircraft Certification Service office.
(1) For airplanes subject to § 26.11 of this chapter, the EWIS ICA must comply with paragraphs H25.5(a)(1) and (b).
(2) For airplanes subject to § 25.1729 of this chapter, the EWIS ICA must comply with paragraph H25.4 and all of paragraph H25.5.
(d) After March 10, 2011, before returning a U.S.-registered airplane to service after any alterations for which EWIS ICA are developed, the foreign person or foreign air carrier must include in the maintenance program for that airplane inspections and procedures for EWIS based on those ICA.
(e) The EWIS maintenance program changes identified in paragraphs (c) and (d) of this section and any later EWIS revisions must be submitted to the Principal Inspector or Flight Standards office responsible for review and approval.
(f) This section does not apply to the following airplane models:
(1) Lockheed L-188
(2) Bombardier CL-44
(3) Mitsubishi YS-11
(4) British Aerospace BAC 1-11
(5) Concorde
(6) deHavilland D.H. 106 Comet 4C
(7) VFW-Vereinigte Flugtechnische Werk VFW-614
(8) Illyushin Aviation IL 96T
(9) Bristol Aircraft Britannia 305
(10) Handley Page Herald Type 300
(11) Avions Marcel Dassault—Breguet Aviation Mercure 100C
(12) Airbus Caravelle
(13) Lockheed L-300
(a) Except as provided in paragraph (g) of this section, this section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that, as a result of original type certification or later increase in capacity, have—
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7500 pounds or more.
(b) For each U.S.-registered airplane on which an auxiliary fuel tank is installed under a field approval, before June 16, 2008, the foreign person or foreign air carrier operating the airplane must submit to the responsible Aircraft Certification Service office proposed maintenance instructions for the tank that meet the requirements of Special Federal Aviation Regulation No. 88 (SFAR 88) of this chapter.
(c) After December 16, 2008, no foreign person or foreign air carrier may operate a U.S.-registered airplane identified in paragraph (a) of this section unless the maintenance program for that airplane has been revised to include applicable inspections, procedures, and limitations for fuel tank systems.
(d) The proposed fuel tank system maintenance program revisions must be based on fuel tank system Instructions for Continued Airworthiness (ICA) that have been developed in accordance with the applicable provisions of SFAR 88 of this chapter or § 25.1529 and part 25, Appendix H, of this chapter, in effect on June 6, 2001 (including those developed for auxiliary fuel tanks, if any, installed under supplemental type certificates or other design approval) and that have been approved by the responsible Aircraft Certification Service office.
(e) After December 16, 2008, before returning a U.S.-registered airplane to service after any alteration for which fuel tank ICA are developed under SFAR 88, or under § 25.1529 in effect on June 6, 2001, the foreign person or foreign air carrier must include in the maintenance program for the airplane inspections and procedures for the fuel tank system based on those ICA.
(f) The fuel tank system maintenance program changes identified in paragraphs (d) and (e) of this section and any later fuel tank system revisions must be submitted to the Principal Inspector or Flight Standards office responsible for review and approval.
(g) This section does not apply to the following airplane models:
(1) Bombardier CL-44
(2) Concorde
(3) deHavilland D.H. 106 Comet 4C
(4) VFW-Vereinigte Flugtechnische Werk VFW-614
(5) Illyushin Aviation IL 96T
(6) Bristol Aircraft Britannia 305
(7) Handley Page Herald Type 300
(8) Avions Marcel Dassault—Breguet Aviation Mercure 100C
(9) Airbus Caravelle
(10) Lockheed L-300
(a) Applicability. This section applies to foreign air carriers or foreign persons operating any U.S.-registered transport category, turbine-powered airplane with a maximum takeoff gross weight greater than 75,000 pounds and a type certificate issued after January 1, 1958, regardless of whether the maximum takeoff gross weight is a result of an original type certificate or a later design change. This section also applies to foreign air carriers or foreign persons operating any other U.S.-registered transport category, turbine-powered airplane with a type certificate issued after January 1, 1958, regardless of the maximum takeoff gross weight, for which a limit of validity of the engineering data that supports the structural maintenance program (hereafter referred to as LOV) is required in accordance with § 25.571 or § 26.21 of this chapter after January 14, 2011.
(b) Limit of validity. No foreign air carrier or foreign person may operate a U.S.-registered airplane identified in paragraph (a) of this section after the applicable date identified in Table 1 of this section, unless an Airworthiness Limitations section (ALS) approved under Appendix H to part 25 or § 26.21 of this chapter is incorporated into its maintenance program. The ALS must—
(1) Include an LOV approved under § 25.571 or § 26.21 of this chapter, as applicable, except as provided in paragraph (f) of this section; and
(2) Be clearly distinguishable within its maintenance program.
(c) Operation of airplanes excluded from § 26.21. No certificate holder may operate an airplane identified in § 26.21(g) of this chapter after July 14, 2013, unless an ALS approved under Appendix H to part 25 or § 26.21 of this chapter is incorporated into its maintenance program. The ALS must—
(1) Include an LOV approved under § 25.571 or § 26.21 of this chapter, as applicable, except as provided in paragraph (f) of this section; and
(2) Be clearly distinguishable within its maintenance program
(d) Extended limit of validity. No foreign air carrier or foreign person may operate an airplane beyond the LOV or extended LOV specified in paragraph (b)(1), (c), (d), or (f) of this section, as applicable, unless the following conditions are met:
(1) An ALS must be incorporated into its maintenance program that—
(i) Includes an extended LOV and any widespread fatigue damage airworthiness limitation items (ALIs) approved under § 26.23 of this chapter; and
(ii) Is approved under § 26.23 of this chapter;
(2) The extended LOV and the airworthiness limitation items pertaining to widespread fatigue damage must be clearly distinguishable within its maintenance program.
(e) Principal Maintenance Inspector approval. Foreign air carriers or foreign persons must submit the maintenance program revisions required by paragraphs (b), (c), and (d) of this section to the Principal Maintenance Inspector or Flight Standards office for review and approval.
(f) Exception. For any airplane for which an LOV has not been approved as of the applicable compliance date specified in paragraph (c) or Table 1 of this section, instead of including an approved LOV in the ALS, an operator must include the applicable default LOV specified in Table 1 or Table 2 of this section, as applicable, in the ALS.
Table 1—Airplanes Subject to § 26.21
| Airplane model | Compliance Date—months after
January 14, 2011 | Default LOV
[flight cycles (FC) or flight hours (FH)] |
|---|---|---|
| Airbus—Existing 1 Models Only: | ||
| A300 B2-1A, B2-1C, B2K-3C, B2-203 | 30 | 48,000 FC |
| A300 B4-2C, B4-103 | 30 | 40,000 FC |
| A300 B4-203 | 30 | 34,000 FC |
| A300-600 Series | 60 | 30,000 FC/67,500 FH |
| A310-200 Series | 60 | 40,000 FC/60,000 FH |
| A310-300 Series | 60 | 35,000 FC/60,000 FH |
| A318 Series | 60 | 48,000 FC/60,000 FH |
| A319 Series | 60 | 48,000 FC/60,000 FH |
| A320-100 Series | 60 | 48,000 FC/48,000 FH |
| A320-200 Series | 60 | 48,000 FC/60,000 FH |
| A321 Series | 60 | 48,000 FC/60,000 FH |
| A330-200, -300 Series (except WV050 family) (non enhanced) | 60 | 40,000 FC/60,000 FH |
| A330-200, -300 Series WV050 family (enhanced) | 60 | 33,000 FC/100,000 FH |
| A330-200 Freighter Series | 60 | See NOTE. |
| A340-200, -300 Series (except WV 027 and WV050 family) (non enhanced) | 60 | 20,000 FC/80,000 FH |
| A340-200, -300 Series WV 027 (non enhanced) | 60 | 30,000 FC/60,000 FH |
| A340-300 Series WV050 family (enhanced) | 60 | 20,000 FC/100,000 FH |
| A340-500, -600 Series | 60 | 16,600 FC/100,000 FH |
| A380-800 Series | 72 | See NOTE. |
| Boeing—Existing 1 Models Only: | ||
| 717 | 60 | 60,000 FC/60,000 FH |
| 727 (all series) | 30 | 60,000 FC |
| 737 (Classics): 737-100, -200, -200C, -300, -400, -500 | 30 | 75,000 FC |
| 737 (NG): 737-600, -700, -700C, -800, -900, -900ER | 60 | 75,000 FC |
| 747 (Classics): 747-100, -100B, -100B SUD, -200B, -200C, -200F, -300, 747SP, 747SR | 30 | 20,000 FC |
| 747-400: 747-400, -400D, -400F | 60 | 20,000 FC |
| 757 | 60 | 50,000 FC |
| 767 | 60 | 50,000 FC |
| 777-200, -300 | 60 | 40,000 FC |
| 777-200LR, 777-300ER | 72 | 40,000 FC |
| 777F | 72 | 11,000 FC |
| Bombardier—Existing 1 Models Only: | ||
| CL-600: 2D15 (Regional Jet Series 705), 2D24 (Regional Jet Series 900) | 72 | 60,000 FC |
| Embraer—Existing 1 Models Only: | ||
| ERJ 170 | 72 | See NOTE. |
| ERJ 190 | 72 | See NOTE. |
| Fokker—Existing 1 Models Only: | ||
| F.28 Mark 0070, Mark 0100 | 30 | 90,000 FC |
| Lockheed—Existing 1 Models Only: | ||
| L-1011 | 30 | 36,000 FC |
| 188 | 30 | 26,600 FC |
| 382 (all series) | 30 | 20,000 FC/50,000 FH |
| McDonnell Douglas—Existing 1 Models Only: | ||
| DC-8, -8F | 30 | 50,000 FC/50,000 FH |
| DC-9 (except for MD-80 models) | 30 | 100,000 FC/100,000 FH |
| MD-80 (DC-9-81, -82, -83, -87, MD-88) | 30 | 50,000 FC/50,000 FH |
| MD-90 | 60 | 60,000 FC/90,000 FH |
| DC-10-10, -15 | 30 | 42,000 FC/60,000 FH |
| DC-10-30, -40, -10F, -30F, -40F | 30 | 30,000 FC/60,000 FH |
| MD-10-10F | 60 | 42,000 FC/60,000 FH |
| MD-10-30F | 60 | 30,000 FC/60,000 FH |
| MD-11, MD-11F | 60 | 20,000 FC/60,000 FH |
| Maximum Takeoff Gross Weight Changes: | ||
| All airplanes whose maximum takeoff gross weight has been decreased to 75,000 pounds or below after January 14, 2011, or increased to greater than 75,000 pounds at any time by an amended type certificate or supplemental type certificate | 30, or within 12 months after the LOV is approved, or before operating the airplane, whichever occurs latest | Not applicable. |
| All Other Airplane Models (TCs and amended TCs) not Listed in Table 2 | 72, or within 12 months after the LOV is approved, or before operating the airplane, whichever occurs latest | Not applicable. |
1 Type certificated as of January 14, 2011.
Airplane operation limitation is stated in the Airworthiness Limitation section.
Table 2—Airplanes Excluded From § 26.21
| Airplane model | Default LOV [flight cycles (FC) or flight hours (FH)] |
|---|---|
| Airbus: | |
| Caravelle | 15,000 FC/24,000 FH |
| Avions Marcel Dassault: | |
| Breguet Aviation Mercure 100C | 20,000 FC/16,000 FH |
| Boeing: | |
| Boeing 707 (-100 Series and -200 Series) | 20,000 FC |
| Boeing 707 (-300 Series and -400 Series) | 20,000 FC |
| Boeing 720 | 30,000 FC |
| Bombardier: | |
| CL-44D4 and CL-44J | 20,000 FC |
| BD-700 | 15,000 FC |
| Bristol Aeroplane Company: | |
| Britannia 305 | 10,000 FC |
| British Aerospace Airbus, Ltd.: | |
| BAC 1-11 (all models) | 85,000 FC |
| British Aerospace (Commercial Aircraft) Ltd.: | |
| Armstrong Whitworth Argosy A.W. 650 Series 101 | 20,000 FC |
| BAE Systems (Operations) Ltd.: | |
| BAe 146-100A (all models) | 50,000 FC |
| BAe 146-200-07 | 50,000 FC |
| BAe 146-200-07 Dev | 50,000 FC |
| BAe 146-200-11 | 50,000 FC |
| BAe 146-200-07A | 47,000 FC |
| BAe 146-200-11 Dev | 43,000 FC |
| BAe 146-300 (all models) | 40,000 FC |
| Avro 146-RJ70A (all models) | 40,000 FC |
| Avro 146-RJ85A and 146-RJ100A (all models) | 50,000 FC |
| D & R Nevada, LLC: | |
| Convair Model 22 | 1,000 FC/1,000 FH |
| Convair Model 23M | 1,000 FC/1,000 FH |
| deHavilland Aircraft Company, Ltd.: | |
| D.H. 106 Comet 4C | 8,000 FH |
| Gulfstream: | |
| GV | 40,000 FH |
| GV-SP | 40,000 FH |
| Ilyushin Aviation Complex: | |
| IL-96T | 10,000 FC/30,000 FH |
| Lockheed: | |
| 300-50A01 (USAF C 141A) | 20,000 FC |
(a) Applicability. Except as provided in paragraph (o) of this section, this section applies to U.S.-registered transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that as a result of original type certification or later increase in capacity have:
(1) A maximum type-certificated passenger capacity of 30 or more, or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) New Production Airplanes. Except in accordance with § 129.14, no foreign air carrier or foreign person may operate an airplane identified in Table 1 of this section (including all-cargo airplanes) for which application is made for original certificate of airworthiness or export airworthiness approval after December 27, 2010 unless an Ignition Mitigation Means (IMM) or Flammability Reduction Means (FRM) meeting the requirements of § 26.33 of this chapter is operational.
Table 1
| Model—Boeing | Model—Airbus |
|---|---|
| 747 Series | A318, A319, A320, A321 Series |
| 737 Series | A330, A340 Series |
| 777 Series | |
| 767 Series |
(c) Auxiliary Fuel Tanks. After the applicable date stated in paragraph (e) of this section, no foreign air carrier or foreign person may operate any airplane subject § 26.33 of this chapter that has an Auxiliary Fuel Tank installed pursuant to a field approval, unless the following requirements are met:
(1) The foreign air carrier or foreign person complies with 14 CFR 26.35 by the applicable date stated in that section.
(2) The foreign air carrier or foreign person installs Flammability Impact Mitigation Means (FIMM), if applicable, that are approved by the responsible Aircraft Certification Service office.
(3) Except in accordance with § 129.14, the FIMM, if applicable, are operational.
(d) Retrofit. After the dates specified in paragraph (e) of this section, no foreign air carrier or foreign person may operate an airplane to which this section applies unless the requirements of paragraphs (d)(1) and (d)(2) of this section are met.
(1) IMM, FRM or FIMM, if required by §§ 26.33, 26.35, or 26.37 of this chapter, that are approved by the responsible Aircraft Certification Service office, are installed within the compliance times specified in paragraph (e) of this section.
(2) Except in accordance with § 129.14, the IMM, FRM or FIMM, as applicable, are operational.
(e) Compliance Times. Except as provided in paragraphs (k) and (l) of this section, the installations required by paragraph (d) of this section must be accomplished no later than the applicable dates specified in paragraph (e)(1) or (e)(2) of this section.
(1) Fifty percent of each foreign air carrier or foreign person's fleet identified in paragraph (d)(1) of this section must be modified no later than December 26, 2014.
(2) One hundred percent of each foreign air carrier or foreign person's fleet of airplanes subject to paragraph (d)(1) or this section must be modified no later than December 26, 2017.
(3) For those foreign air carriers or foreign persons that have only one airplane for a model identified in Table 1, the airplane must be modified no later than December 26, 2017.
(f) Compliance after Installation. Except in accordance with § 129.14, no person may—
(1) Operate an airplane on which IMM or FRM has been installed before the dates specified in paragraph (e) of this section unless the IMM or FRM is operational.
(2) Deactivate or remove an IMM or FRM once installed unless it is replaced by a means that complies with paragraph (d) of this section.
(g) Maintenance Program Revisions. No foreign air carrier or foreign person may operate an airplane for which airworthiness limitations have been approved by the responsible Aircraft Certification Service office in accordance with §§ 26.33, 26.35, or 26.37 of this chapter after the airplane is modified in accordance with paragraph (d) of this section unless the maintenance program for that airplane is revised to include those applicable airworthiness limitations.
(h) After the maintenance program is revised as required by paragraph (g) of this section, before returning an airplane to service after any alteration for which airworthiness limitations are required by §§ 25.981, 26.33, 26.35, or 26.37 of this chapter, the foreign person or foreign air carrier must revise the maintenance program for the airplane to include those airworthiness limitations.
(i) The maintenance program changes identified in paragraphs (g) and (h) of this section must be submitted to the operator's responsible Flight Standards office or Principal Inspector for review and approval prior to incorporation.
(j) The requirements of paragraph (d) of this section do not apply to airplanes operated in all-cargo service, but those airplanes are subject to paragraph (f) of this section.
(k) The compliance dates specified in paragraph (e) of this section may be extended by one year, provided that—
(1) No later than March 26, 2009, the foreign air carrier or foreign person notifies its responsible Flight Standards office or Principal Inspector that it intends to comply with this paragraph;
(2) No later than June 24, 2009, the foreign air carrier or foreign person applies for an amendment to its operations specifications in accordance with § 129.11 to include a requirement for the airplane models specified in Table 2 of this section to use ground air conditioning systems for actual gate times of more than 30 minutes, when available at the gate and operational, whenever the ambient temperature exceeds 60 degrees Fahrenheit; and
(3) Thereafter, the certificate holder uses ground air conditioning systems as described in paragraph (k)(2) of this section on each airplane subject to the extension.
Table 2
| Model—Boeing | Model—Airbus |
|---|---|
| 747 Series | A318, A319, A320, A321 Series |
| 737 Series | A300, A310 Series |
| 777 Series | A330, A340 Series |
| 767 Series | |
| 757 Series |
(l) For any foreign air carrier or foreign person for which the operating certificate is issued after December 26, 2008, the compliance date specified in paragraph (e) of this section may be extended by one year, provided that the foreign air carrier or foreign person meets the requirements of paragraph (k)(2) of this section when its initial operations specifications are issued and, thereafter, uses ground air conditioning systems as described in paragraph (k)(2) of this section on each airplane subject to the extension.
(m) After the date by which any person is required by this section to modify 100 percent of the affected fleet, no person may operate in passenger service any airplane model specified in Table 2 of this section unless the airplane has been modified to comply with § 26.33(c) of this chapter.
Table 3
| Model—Boeing | Model—Airbus |
|---|---|
| 747 Series | A318, A319, A320, A321 Series |
| 737 Series | A300, A310 Series |
| 777 Series | A330, A340 Series |
| 767 Series | |
| 757 Series |
(n) No foreign air carrier or foreign person may operate any airplane on which an auxiliary fuel tank is installed after December 26, 2017 unless the FAA has certified the tank as compliant with § 25.981 of this chapter, in effect on December 26, 2008.
(o) Exclusions. The requirements of this section do not apply to the following airplane models:
(1) Convair CV-240, 340, 440, including turbine powered conversions.
(2) Lockheed L-188 Electra.
(3) Vickers VC-10.
(4) Douglas DC-3, including turbine powered conversions.
(5) Bombardier CL-44.
(6) Mitsubishi YS-11.
(7) BAC 1-11.
(8) Concorde.
(9) deHavilland D.H. 106 Comet 4C.
(10) VFW—Vereinigte Flugtechnische VFW-614.
(11) Illyushin Aviation IL 96T.
(12) Bristol Aircraft Britannia 305.
(13) Handley Page Herald Type 300.
(14) Avions Marcel Dassault—Breguet Aviation Mercure 100C.
(15) Airbus Caravelle.
(16) Fokker F-27/Fairchild Hiller FH-227.
(17) Lockheed L-300.
(a) Applicability. This section applies to transport category, turbine-powered airplanes with a type certificate issued after January 1, 1958, that have:
(1) A maximum type-certificated passenger capacity of 30 or more; or
(2) A maximum payload capacity of 7,500 pounds or more.
(b) New production airplanes. No certificate holder may operate an airplane for which the State of Manufacture issued the original certificate of airworthiness or export airworthiness approval after August 23, 2018 unless means, approved by the Administrator, to prevent fuel tank explosions caused by propagation of flames from outside the fuel tank vents into the fuel tank vapor spaces are installed and operational.
The requirements of § 121.1500 of this chapter also apply to this part.
Except for aircraft subject to part 107 of this chapter, this part prescribes—
(a) Airworthiness certification rules for rotorcraft used in; and
(b) Operating and certification rules governing the conduct of rotorcraft external-load operations in the United States by any person.
(c) The certification rules of this part do not apply to—
(1) Rotorcraft manufacturers when developing external-load attaching means;
(2) Rotorcraft manufacturers demonstrating compliance of equipment utilized under this part or appropriate portions of part 27 or 29 of this chapter;
(3) Operations conducted by a person demonstrating compliance for the issuance of a certificate or authorization under this part;
(4) Training flights conducted in preparation for the demonstration of compliance with this part; or
(5) A Federal, State, or local government conducting operations with public aircraft.
(d) For the purpose of this part, a person other than a crewmember or a person who is essential and directly connected with the external-load operation may be carried only in approved Class D rotorcraft-load combinations.
(a) No person subject to this part may conduct rotorcraft external-load operations within the United States without, or in violation of the terms of, a Rotorcraft External-Load Operator Certificate issued by the Administrator under § 133.17.
(b) No person holding a Rotorcraft External-Load Operator Certificate may conduct rotorcraft external-load operations subject to this part under a business name that is not on that certificate.
Unless sooner surrendered, suspended, or revoked, a Rotorcraft External-Load Operator Certificate expires at the end of the twenty-fourth month after the month in which it is issued or renewed.
If the holder of a certificate issued under this part permits any aircraft owned or leased by that holder to be engaged in any operation that the certificate holder knows to be in violation of § 91.19(a) of this chapter, that operation is a basis for suspending or revoking the certificate.
Application for an original certificate or renewal of a certificate issued under this part is made on a form, and in a manner, prescribed by the Administrator. The form may be obtained from a Flight Standards office. The completed application is sent to the responsible Flight Standards office for the area in which the applicant's home base of operation is located.
If an applicant shows that he complies with §§ 133.19, 133.21, and 133.23, the Administrator issues a Rotorcraft External-Load Operator Certificate to him with an authorization to operate specified rotorcraft with those classes of rotorcraft-load combinations for which he complies with the applicable provisions of subpart D of this part.
(a) The applicant must have the exclusive use of at least one rotorcraft that—
(1) Was type certificated under, and meets the requirements of, part 27 or 29 of this chapter (but not necessarily with external-load-carrying attaching means installed) or of § 21.25 of this chapter for the special purpose of rotorcraft external-load operations;
(2) Complies with the certification provisions in subpart D of this part that apply to the rotorcraft-load combinations for which authorization is requested; and
(3) Has a valid standard or restricted category airworthiness certificate.
(b) For the purposes of paragraph (a) of this section, a person has exclusive use of a rotorcraft if he has the sole possession, control, and use of it for flight, as owner, or has a written agreement (including arrangements for the performance of required maintenance) giving him that possession, control, and use for at least six consecutive months.
(a) The applicant must hold, or have available the services of at least one person who holds, a current commercial or airline transport pilot certificate, with a rating appropriate for the rotorcraft prescribed in § 133.19, issued by the Administrator.
(b) The applicant must designate one pilot, who may be the applicant, as chief pilot for rotorcraft external-load operations. The applicant also may designate qualified pilots as assistant chief pilots to perform the functions of the chief pilot when the chief pilot is not readily available. The chief pilot and assistant chief pilots must be acceptable to the Administrator and each must hold a current Commercial or Airline Transport Pilot Certificate, with a rating appropriate for the rotorcraft prescribed in § 133.19.
(c) The holder of a Rotorcraft External-Load Operator Certificate shall report any change in designation of chief pilot or assistant chief pilot immediately to the responsible Flight Standards office. The new chief pilot must be designated and must comply with § 133.23 within 30 days or the operator may not conduct further operations under the Rotorcraft External-Load Operator Certificate unless otherwise authorized by the responsible Flight Standards office.
(a) Except as specified in paragraph (c) of this section, no certificate holder may knowingly employ or make a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual, in the preceding 2 years—
(1) Served as, or was directly responsible for the oversight of, a Flight Standards Service aviation safety inspector; and
(2) Had direct responsibility to inspect, or oversee the inspection of, the operations of the certificate holder.
(b) For the purpose of this section, an individual shall be considered to be acting as an agent or representative of a certificate holder in a matter before the agency if the individual makes any written or oral communication on behalf of the certificate holder to the agency (or any of its officers or employees) in connection with a particular matter, whether or not involving a specific party and without regard to whether the individual has participated in, or had responsibility for, the particular matter while serving as a Flight Standards Service aviation safety inspector.
(c) The provisions of this section do not prohibit a certificate holder from knowingly employing or making a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual was employed by the certificate holder before October 21, 2011.
(a) Except as provided in paragraph (d) of this section, the applicant, or the chief pilot designated in accordance with § 133.21(b), must demonstrate to the Administrator satisfactory knowledge and skill regarding rotorcraft external-load operations as set forth in paragraphs (b) and (c) of this section.
(b) The test of knowledge (which may be oral or written, at the option of the applicant) covers the following subjects:
(1) Steps to be taken before starting operations, including a survey of the flight area.
(2) Proper method of loading, rigging, or attaching the external load.
(3) Performance capabilities, under approved operating procedures and limitations, of the rotorcraft to be used.
(4) Proper instructions of flight crew and ground workers.
(5) Appropriate rotorcraft-load combination flight manual.
(c) The test of skill requires appropriate maneuvers for each class requested. The appropriate maneuvers for each load class must be demonstrated in the rotorcraft prescribed in § 133.19.
(1) Takeoffs and landings.
(2) Demonstration of directional control while hovering.
(3) Acceleration from a hover.
(4) Flight at operational airspeeds.
(5) Approaches to landing or working area.
(6) Maneuvering the external load into the release position.
(7) Demonstration of winch operation, if a winch is installed to hoist the external load.
(d) Compliance with paragraphs (b) and (c) of this section need not be shown if the Administrator finds, on the basis of the applicant's (or his designated chief pilot's) previous experience and safety record in rotorcraft external-load operations, that his knowledge and skill are adequate.
(a) The holder of a Rotorcraft External-Load Certificate may apply to the responsible Flight Standards office for the area in which the applicant's home base of operation is located, or to the responsible Flight Standards office for the area in which operations are to be conducted, for an amendment of the applicant's certificate, to add or delete a rotorcraft-load combination authorization, by executing the appropriate portion of the form used in applying for a Rotorcraft External-Load Operator Certificate. If the applicant for the amendment shows compliance with §§ 133.19 and 133.49, the responsible Flight Standards office issues an amended Rotorcraft External-Load Operator Certificate to the applicant with authorization to operate with those classes of rotorcraft-load combinations for which the applicant complies with the applicable provisions of subpart D of this part.
(b) The holder of a rotorcraft external-load certificate may apply for an amendment to add or delete a rotorcraft authorization by submitting to the responsible Flight Standards office a new list of rotorcraft, by registration number, with the classes of rotorcraft-load combinations for which authorization is requested.
(a) Each holder of a rotorcraft external-load operator certificate shall keep that certificate and a list of authorized rotorcraft at the home base of operations and shall make it available for inspection by the Administrator upon request.
(b) Each person conducting a rotorcraft external-load operation shall carry a facsimile of the Rotorcraft External-Load Operator Certificate in each rotorcraft used in the operation.
(c) If the Administrator suspends or revokes a Rotorcraft External-Load Operator Certificate, the holder of that certificate shall return it to the Administrator. If the certificate holder, for any other reason, discontinues operations under his certificate, and does not resume operations within two years, he shall return the certificate to the responsible Flight Standards office.
(a) In an emergency involving the safety of persons or property, the certificate holder may deviate from the rules of this part to the extent required to meet that emergency.
(b) Each person who, under the authority of this section, deviates from a rule of this part shall notify the Administrator within 10 days after the deviation. Upon the request of the Administrator, that person shall provide the responsible Flight Standards office a complete report of the aircraft operation involved, including a description of the deviation and reasons for it.
(a) No person may conduct a rotorcraft external-load operation without, or contrary to, the Rotorcraft-Load Combination Flight Manual prescribed in § 133.47.
(b) No person may conduct a rotorcraft external-load operation unless—
(1) The rotorcraft complies with § 133.19; and
(2) The rotorcraft and rotorcraft-load combination is authorized under the Rotorcraft External-Load Operator Certificate.
(c) Before a person may operate a rotorcraft with an external-load configuration that differs substantially from any that person has previously carried with that type of rotorcraft (whether or not the rotorcraft-load combination is of the same class), that person must conduct, in a manner that will not endanger persons or property on the surface, such of the following flight-operational checks as the Administrator determines are appropriate to the rotorcraft-load combination:
(1) A determination that the weight of the rotorcraft-load combination and the location of its center of gravity are within approved limits, that the external load is securely fastened, and that the external load does not interfere with devices provided for its emergency release.
(2) Make an initial liftoff and verify that controllability is satisfactory.
(3) While hovering, verify that directional control is adequate.
(4) Accelerate into forward flight to verify that no attitude (whether of the rotorcraft or of the external load) is encountered in which the rotorcraft is uncontrollable or which is otherwise hazardous.
(5) In forward flight, check for hazardous oscillations of the external load, but if the external load is not visible to the pilot, other crewmembers or ground personnel may make this check and signal the pilot.
(6) Increase the forward airspeed and determine an operational airspeed at which no hazardous oscillation or hazardous aerodynamic turbulence is encountered.
(d) Notwithstanding the provisions of part 91 of this chapter, the holder of a Rotorcraft External-Load Operator Certificate may conduct (in rotorcraft type certificated under and meeting the requirements of part 27 or 29 of this chapter, including the external-load attaching means) rotorcraft external-load operations over congested areas if those operations are conducted without hazard to persons or property on the surface and comply with the following:
(1) The operator must develop a plan for each complete operation, coordinate this plan with the responsible Flight Standards office for the area in which the operation will be conducted, and obtain approval for the operation from that office. The plan must include an agreement with the appropriate political subdivision that local officials will exclude unauthorized persons from the area in which the operation will be conducted, coordination with air traffic control, if necessary, and a detailed chart depicting the flight routes and altitudes.
(2) Each flight must be conducted at an altitude, and on a route, that will allow a jettisonable external load to be released, and the rotorcraft landed, in an emergency without hazard to persons or property on the surface.
(e) Notwithstanding the provisions of part 91 of this chapter, and except as provided in § 133.45(d), the holder of a Rotorcraft External-Load Operator Certificate may conduct external-load operations, including approaches, departures, and load positioning maneuvers necessary for the operation, below 500 feet above the surface and closer than 500 feet to persons, vessels, vehicles, and structures, if the operations are conducted without creating a hazard to persons or property on the surface.
(f) No person may conduct rotorcraft external-load operations under IFR unless specifically approved by the Administrator. However, under no circumstances may a person be carried as part of the external-load under IFR.
(a) No certificate holder may allow a person to be carried during rotorcraft external-load operations unless that person—
(1) Is a flight crewmember;
(2) Is a flight crewmember trainee;
(3) Performs an essential function in connection with the external-load operation; or
(4) Is necessary to accomplish the work activity directly associated with that operation.
(b) The pilot in command shall ensure that all persons are briefed before takeoff on all pertinent procedures to be followed (including normal, abnormal, and emergency procedures) and equipment to be used during the external-load operation.
(a) No certificate holder may use, nor may any person serve, as a pilot in operations conducted under this part unless that person—
(1) Has successfully demonstrated, to the Administrator knowledge and skill with respect to the rotorcraft-load combination in accordance with § 133.23 (in the case of a pilot other than the chief pilot or an assistant chief pilot who has been designated in accordance with § 133.21(b), this demonstration may be made to the chief pilot or assistant chief pilot); and
(2) Has in his or her personal possession a letter of competency or an appropriate logbook entry indicating compliance with paragraph (a)(1) of this section.
(b) No certificate holder may use, nor may any person serve as, a crewmember or other operations personnel in Class D operations conducted under this part unless, within the preceding 12 calendar months, that person has successfully completed either an approved initial or a recurrent training program.
(c) Notwithstanding the provisions of paragraph (b) of this section, a person who has performed a rotorcraft external-load operation of the same class and in an aircraft of the same type within the past 12 calendar months need not undergo recurrent training.
Each person conducting an operation under this part shall allow the Administrator to make any inspections or tests that he considers necessary to determine compliance with the Federal Aviation Regulations and the Rotorcraft External-Load Operator Certificate.
(a) The applicant must demonstrate to the Administrator, by performing the operational flight checks prescribed in paragraphs (b), (c), and (d) of this section, as applicable, that the rotorcraft-load combination has satisfactory flight characteristics, unless these operational flight checks have been demonstrated previously and the rotorcraft-load combination flight characteristics were satisfactory. For the purposes of this demonstration, the external-load weight (including the external-load attaching means) is the maximum weight for which authorization is requested.
(b) Class A rotorcraft-load combinations: The operational flight check must consist of at least the following maneuvers:
(1) Take off and landing.
(2) Demonstration of adequate directional control while hovering.
(3) Acceleration from a hover.
(4) Horizontal flight at airspeeds up to the maximum airspeed for which authorization is requested.
(c) Class B and D rotorcraft-load combinations: The operational flight check must consist of at least the following maneuvers:
(1) Pickup of the external load.
(2) Demonstration of adequate directional control while hovering.
(3) Acceleration from a hover.
(4) Horizontal flight at airspeeds up to the maximum airspeed for which authorization is requested.
(5) Demonstrating appropriate lifting device operation.
(6) Maneuvering of the external load into release position and its release, under probable flight operation conditions, by means of each of the quick-release controls installed on the rotorcraft.
(d) Class C rotorcraft-load combinations: For Class C rotorcraft-load combinations used in wire-stringing, cable-laying, or similar operations, the operational flight check must consist of the maneuvers, as applicable, prescribed in paragraph (c) of this section.
(a) External-load attaching means. Each external-load attaching means must have been approved under—
(1) Part 8 of the Civil Air Regulations on or before January 17, 1964;
(2) Part 133, before February 1, 1977;
(3) Part 27 or 29 of this chapter, as applicable, irrespective of the date of approval; or
(4) Section 21.25 of this chapter.
(b) Quick release devices. Each quick release device must have been approved under—
(1) Part 27 or 29 of this chapter, as applicable;
(2) Part 133, before February 1, 1977; or
(3) Section 21.25 of this chapter, except the device must comply with §§ 27.865(b) and 29.865(b), as applicable, of this chapter.
(c) Weight and center of gravity—
(1) Weight. The total weight of the rotorcraft-load combination must not exceed the total weight approved for the rotorcraft during its type certification.
(2) Center of gravity. The location of the center of gravity must, for all loading conditions, be within the range established for the rotorcraft during its type certification. For Class C rotorcraft-load combinations, the magnitude and direction of the loading force must be established at those values for which the effective location of the center of gravity remains within its established range.
In addition to the operating limitations set forth in the approved Rotorcraft Flight Manual, and to any other limitations the Administrator may prescribe, the operator shall establish at least the following limitations and set them forth in the Rotorcraft-Load Combination Flight Manual for rotorcraft-load combination operations:
(a) The rotorcraft-load combination may be operated only within the weight and center of gravity limitations established in accordance with § 133.43(c).
(b) The rotorcraft-load combination may not be operated with an external load weight exceeding that used in showing compliance with §§ 133.41 and 133.43.
(c) The rotorcraft-load combination may not be operated at airspeeds greater than those established in accordance with § 133.41 (b), (c), and (d).
(d) No person may conduct an external-load operation under this part with a rotorcraft type certificated in the restricted category under § 21.25 of this chapter over a densely populated area, in a congested airway, or near a busy airport where passenger transport operations are conducted.
(e) The rotorcraft-load combination of Class D may be conducted only in accordance with the following:
(1) The rotorcraft to be used must have been type certificated under transport Category A for the operating weight and provide hover capability with one engine inoperative at that operating weight and altitude.
(2) The rotorcraft must be equipped to allow direct radio intercommunication among required crewmembers.
(3) The personnel lifting device must be FAA approved.
(4) The lifting device must have an emergency release requiring two distinct actions.
The applicant must prepare a Rotorcraft-Load Combination Flight Manual and submit it for approval by the Administrator. The manual must be prepared in accordance with the rotorcraft flight manual provisions of subpart G of part 27 or 29 of this chapter, whichever is applicable. The limiting height-speed envelope data need not be listed as operating limitations. The manual must set forth—
(a) Operating limitations, procedures (normal and emergency), performance, and other information established under this subpart;
(b) The class of rotorcraft-load combinations for which the airworthiness of the rotorcraft has been demonstrated in accordance with §§ 133.41 and 133.43; and
(c) In the information section of the Rotorcraft-Load Combination Flight Manual—
(1) Information on any peculiarities discovered when operating particular rotorcraft-load combinations;
(2) Precautionary advice regarding static electricity discharges for Class B, Class C, and Class D rotorcraft-load combinations; and
(3) Any other information essential for safe operation with external loads.
The following markings and placards must be displayed conspicuously and must be such that they cannot be easily erased, disfigured, or obscured:
(a) A placard (displayed in the cockpit or cabin) stating the class of rotorcraft-load combination for which the rotorcraft has been approved and the occupancy limitation prescribed in § 133.35(a).
(b) A placard, marking, or instruction (displayed next to the external-load attaching means) stating the maximum external load prescribed as an operating limitation in § 133.45(b).
A Rotorcraft External-Load Operator Certificate is a current and valid airworthiness certificate for each rotorcraft type certificated under part 27 or 29 of this chapter (or their predecessor parts) and listed by registration number on a list attached to the certificate, when the rotorcraft is being used in operations conducted under this part.
(a) This part prescribes rules governing—
(1) The commuter or on-demand operations of each person who holds or is required to hold an Air Carrier Certificate or Operating Certificate under part 119 of this chapter.
(2) Each person employed or used by a certificate holder conducting operations under this part including the maintenance, preventative maintenance and alteration of an aircraft.
(3) The transportation of mail by aircraft conducted under a postal service contract awarded under 39 U.S.C. 5402c.
(4) Each person who applies for provisional approval of an Advanced Qualification Program curriculum, curriculum segment, or portion of a curriculum segment under subpart Y of part 121 of this chapter of 14 CFR part 121 and each person employed or used by an air carrier or commercial operator under this part to perform training, qualification, or evaluation functions under an Advanced Qualification Program under subpart Y of part 121 of this chapter of 14 CFR part 121.
(5) Nonstop Commercial Air Tour flights conducted for compensation or hire in accordance with § 119.1(e)(2) of this chapter that begin and end at the same airport and are conducted within a 25-statute-mile radius of that airport; provided further that these operations must comply only with the drug and alcohol testing requirements in §§ 120.31, 120.33, 120.35, 120.37, and 120.39 of this chapter; and with the provisions of part 136, subpart A, and § 91.147 of this chapter by September 11, 2007.
(6) Each person who is on board an aircraft being operated under this part.
(7) Each person who is an applicant for an Air Carrier Certificate or an Operating Certificate under 119 of this chapter, when conducting proving tests.
(8) Commercial Air tours conducted by holders of operations specifications issued under this part must comply with the provisions of part 136, Subpart A of this chapter by September 11, 2007.
(9) Helicopter air ambulance operations as defined in § 135.601(b)(1).
(b) [Reserved]
(c) An operator who does not hold a part 119 certificate and who operates under the provisions of § 91.147 of this chapter is permitted to use a person who is otherwise authorized to perform aircraft maintenance or preventive maintenance duties and who is not subject to anti-drug and alcohol misuse prevent programs to perform—
(1) Aircraft maintenance or preventive maintenance on the operator's aircraft if the operator would otherwise be required to transport the aircraft more than 50 nautical miles further than the repair point closest to operator's principal place of operation to obtain these services; or
(2) Emergency repairs on the operator's aircraft if the aircraft cannot be safely operated to a location where an employee subject to FAA-approved programs can perform the repairs.
(d) Additional requirements for powered-lift operations, training, checking, and testing, are set forth in part 194 of this chapter.
(a) Applicability. This section applies to the following:
(1) Each certificate holder that was issued an air carrier or operating certificate and operations specifications under the requirements of part 135 of this chapter or under SFAR No. 38-2 of 14 CFR part 121 before January 19, 1996, and that conducts scheduled passenger-carrying operations with:
(i) Nontransport category turbopropeller powered airplanes type certificated after December 31, 1964, that have a passenger seat configuration of 10-19 seats;
(ii) Transport category turbopropeller powered airplanes that have a passenger seat configuration of 20-30 seats; or
(iii) Turbojet engine powered airplanes having a passenger seat configuration of 1-30 seats.
(2) Each person who, after January 19, 1996, applies for or obtains an initial air carrier or operating certificate and operations specifications to conduct scheduled passenger-carrying operations in the kinds of airplanes described in paragraphs (a)(1)(i), (a)(1)(ii), or paragraph (a)(1)(iii) of this section.
(b) Obtaining operations specifications. A certificate holder described in paragraph (a)(1) of this section may not, after March 20, 1997, operate an airplane described in paragraphs (a)(1)(i), (a)(1)(ii), or (a)(1)(iii) of this section in scheduled passenger-carrying operations, unless it obtains operations specifications to conduct its scheduled operations under part 121 of this chapter on or before March 20, 1997.
(c) Regular or accelerated compliance. Except as provided in paragraphs (d), and (e) of this section, each certificate holder described in paragraph (a)(1) of this section shall comply with each applicable requirement of part 121 of this chapter on and after March 20, 1997 or on and after the date on which the certificate holder is issued operations specifications under this part, whichever occurs first. Except as provided in paragraphs (d) and (e) of this section, each person described in paragraph (a)(2) of this section shall comply with each applicable requirement of part 121 of this chapter on and after the date on which that person is issued a certificate and operations specifications under part 121 of this chapter.
(d) Delayed compliance dates. Unless paragraph (e) of this section specifies an earlier compliance date, no certificate holder that is covered by paragraph (a) of this section may operate an airplane in 14 CFR part 121 operations on or after a date listed in this paragraph unless that airplane meets the applicable requirement of this paragraph:
(1) Nontransport category turbopropeller powered airplanes type certificated after December 31, 1964, that have a passenger seat configuration of 10-19 seats. No certificate holder may operate under this part an airplane that is described in paragraph (a)(1)(i) of this section on or after a date listed in paragraph (d)(1) of this section unless that airplane meets the applicable requirement listed in paragraph (d)(1) of this section:
(i) December 20, 1997:
(A) Section 121.289, Landing gear aural warning.
(B) Section 121.308, Lavatory fire protection.
(C) Section 121.310(e), Emergency exit handle illumination.
(D) Section 121.337(b)(8), Protective breathing equipment.
(E) Section 121.340, Emergency flotation means.
(ii) December 20, 1999: Section 121.342, Pitot heat indication system.
(iii) December 20, 2010:
(A) For airplanes described in § 121.157(f), the Airplane Performance Operating Limitations in §§ 121.189 through 121.197.
(B) Section 121.161(b), Ditching approval.
(C) Section 121.305(j), Third attitude indicator.
(D) Section 121.312(c), Passenger seat cushion flammability.
(iv) March 12, 1999: Section 121.310(b)(1), Interior emergency exit locating sign.
(2) Transport category turbopropeller powered airplanes that have a passenger seat configuration of 20-30 seats. No certificate holder may operate under this part an airplane that is described in paragraph (a)(1)(ii) of this section on or after a date listed in paragraph (d)(2) of this section unless that airplane meets the applicable requirement listed in paragraph (d)(2) of this section:
(i) December 20, 1997:
(A) Section 121.308, Lavatory fire protection.
(B) Section 121.337(b) (8) and (9), Protective breathing equipment.
(C) Section 121.340, Emergency flotation means.
(ii) December 20, 2010: Section 121.305(j), Third attitude indicator.
(e) Newly manufactured airplanes. No certificate holder that is described in paragraph (a) of this section may operate under part 121 of this chapter an airplane manufactured on or after a date listed in this paragraph (e) unless that airplane meets the applicable requirement listed in this paragraph (e).
(1) For nontransport category turbopropeller powered airplanes type certificated after December 31, 1964, that have a passenger seat configuration of 10-19 seats:
(i) Manufactured on or after March 20, 1997:
(A) Section 121.305(j), Third attitude indicator.
(B) Section 121.311(f), Safety belts and shoulder harnesses.
(ii) Manufactured on or after December 20, 1997: Section 121.317(a), Fasten seat belt light.
(iii) Manufactured on or after December 20, 1999: Section 121.293, Takeoff warning system.
(iv) Manufactured on or after March 12, 1999: Section 121.310(b)(1), Interior emergency exit locating sign.
(2) For transport category turbopropeller powered airplanes that have a passenger seat configuration of 20-30 seats manufactured on or after March 20, 1997: Section 121.305(j), Third attitude indicator.
(f) New type certification requirements. No person may operate an airplane for which the application for a type certificate was filed after March 29, 1995, in 14 CFR part 121 operations unless that airplane is type certificated under part 25 of this chapter.
(g) Transition plan. Before March 19, 1996 each certificate holder described in paragraph (a)(1) of this section must submit to the FAA a transition plan (containing a calendar of events) for moving from conducting its scheduled operations under the commuter requirements of part 135 of this chapter to the requirements for domestic or flag operations under part 121 of this chapter. Each transition plan must contain details on the following:
(1) Plans for obtaining new operations specifications authorizing domestic or flag operations;
(2) Plans for being in compliance with the applicable requirements of part 121 of this chapter on or before March 20, 1997; and
(3) Plans for complying with the compliance date schedules contained in paragraphs (d) and (e) of this section.
(a) Each person operating an aircraft in operations under this part shall—
(1) While operating inside the United States, comply with the applicable rules of this chapter; and
(2) While operating outside the United States, comply with Annex 2, Rules of the Air, to the Convention on International Civil Aviation or the regulations of any foreign country, whichever applies, and with any rules of parts 61 and 91 of this chapter and this part that are more restrictive than that Annex or those regulations and that can be complied with without violating that Annex or those regulations. Annex 2 is incorporated by reference in § 91.703(b) of this chapter.
(b) Each certificate holder that conducts commuter operations under this part with airplanes in which two pilots are required by the type certification rules of this chapter shall comply with subparts N and O of part 121 of this chapter instead of the requirements of subparts E, G, and H of this part. Notwithstanding the requirements of this paragraph, a pilot serving under this part as second in command in a commuter operation with airplanes in which two pilots are required by the type certification rules of this chapter may meet the requirements of § 135.245 instead of the requirements of § 121.436.
(c) If authorized by the Administrator upon application, each certificate holder that conducts operations under this part to which paragraph (b) of this section does not apply, may comply with the applicable sections of subparts N and O of part 121 instead of the requirements of subparts E, G, and H of this part, except that those authorized certificate holders may choose to comply with the operating experience requirements of § 135.244, instead of the requirements of § 121.434 of this chapter. Notwithstanding the requirements of this paragraph, a pilot serving under this part as second in command may meet the requirements of § 135.245 instead of the requirements of § 121.436.
(d) Additional limitations applicable to certificate holders that are required by paragraph (b) of this section or authorized in accordance with paragraph (c) of this section, to comply with part 121, subparts N and O of this chapter instead of subparts E, G, and H of this part.
(1) Upgrade training. (i) Each certificate holder must include in upgrade ground training for pilots, instruction in at least the subjects identified in § 121.419(a) of this chapter, as applicable to their assigned duties; and, for pilots serving in crews of two or more pilots, instruction and facilitated discussion in the subjects identified in § 121.419(c) of this chapter.
(ii) Each certificate holder must include in upgrade flight training for pilots, flight training for the maneuvers and procedures required in § 121.424(a), (c), (e), and (f) of this chapter; and, for pilots serving in crews of two or more pilots, the flight training required in § 121.424(b) of this chapter.
(2) Initial and recurrent leadership and command and mentoring training. Certificate holders are not required to include leadership and command training in §§ 121.409(b)(2)(ii)(F), 121.419(c)(1), 121.424(b) and 121.427(d)(1) of this chapter and mentoring training in §§ 121.419(c)(2) and 121.427(d)(1) of this chapter in initial and recurrent training for pilots in command who serve in operations that use only one pilot.
(3) One-time leadership and command and mentoring training. Section 121.429 of this chapter does not apply to certificate holders conducting operations under this part when those operations use only one pilot.
(a) An “eligible on-demand operation” is an on-demand operation conducted under this part that meets the following requirements:
(1) Two-pilot crew. The flightcrew must consist of at least two qualified pilots employed or contracted by the certificate holder.
(2) Flight crew experience. The crewmembers must have met the applicable requirements of part 61 of this chapter and have the following experience and ratings:
(i) Total flight time for all pilots:
(A) Pilot in command—A minimum of 1,500 hours.
(B) Second in command—A minimum of 500 hours.
(ii) For multi-engine turbine-powered fixed-wing and powered-lift aircraft, the following FAA certification and ratings requirements:
(A) Pilot in command—Airline transport pilot and applicable type ratings.
(B) Second in command—Commercial pilot and instrument ratings.
(iii) For all other aircraft, the following FAA certification and rating requirements:
(A) Pilot in command—Commercial pilot and instrument ratings.
(B) Second in command—Commercial pilot and instrument ratings.
(3) Pilot operating limitations. If the second in command of a fixed-wing aircraft has fewer than 100 hours of flight time as second in command flying in the aircraft make and model and, if a type rating is required, in the type aircraft being flown, and the pilot in command is not an appropriately qualified check pilot, the pilot in command shall make all takeoffs and landings in any of the following situations:
(i) Landings at the destination airport when a Destination Airport Analysis is required by § 135.385(f); and
(ii) In any of the following conditions:
(A) The prevailing visibility for the airport is at or below
(B) The runway visual range for the runway to be used is at or below 4,000 feet.
(C) The runway to be used has water, snow, slush, ice, or similar contamination that may adversely affect aircraft performance.
(D) The braking action on the runway to be used is reported to be less than “good.”
(E) The crosswind component for the runway to be used is in excess of 15 knots.
(F) Windshear is reported in the vicinity of the airport.
(G) Any other condition in which the pilot in command determines it to be prudent to exercise the pilot in command's authority.
(4) Crew pairing. Either the pilot in command or the second in command must have at least 75 hours of flight time in that aircraft make or model and, if a type rating is required, for that type aircraft, either as pilot in command or second in command.
(b) The Administrator may authorize deviations from paragraphs (a)(2)(i) or (a)(4) of this section if the responsible Flight Standards office that issued the certificate holder's operations specifications finds that the crewmember has comparable experience, and can effectively perform the functions associated with the position in accordance with the requirements of this chapter. The Administrator may, at any time, terminate any grant of deviation authority issued under this paragraph. Grants of deviation under this paragraph may be granted after consideration of the size and scope of the operation, the qualifications of the intended personnel and the following circumstances:
(1) A newly authorized certificate holder does not employ any pilots who meet the minimum requirements of paragraphs (a)(2)(i) or (a)(4) of this section.
(2) An existing certificate holder adds to its fleet a new category and class aircraft not used before in its operation.
(3) An existing certificate holder establishes a new base to which it assigns pilots who will be required to become qualified on the aircraft operated from that base.
(c) An eligible on-demand operation may comply with alternative requirements specified in §§ 135.225(b), 135.385(f), and 135.387(b) instead of the requirements that apply to other on-demand operations.
The rules in this part which apply to a person certificated under part 119 of this chapter also apply to a person who engages in any operation governed by this part without an appropriate certificate and operations specifications required by part 119 of this chapter.
A certificate holder may use a crewmember who received the certificate holder's training in accordance with subparts E, G, and H of this part before March 19, 1997 without complying with initial training and qualification requirements of subparts N and O of part 121 of this chapter. The crewmember must comply with the applicable recurrent training requirements of part 121 of this chapter.
(a) In an emergency involving the safety of persons or property, the certificate holder may deviate from the rules of this part relating to aircraft and equipment and weather minimums to the extent required to meet that emergency.
(b) In an emergency involving the safety of persons or property, the pilot in command may deviate from the rules of this part to the extent required to meet that emergency.
(c) Each person who, under the authority of this section, deviates from a rule of this part shall, within 10 days, excluding Saturdays, Sundays, and Federal holidays, after the deviation, send to the responsible Flight Standards office charged with the overall inspection of the certificate holder a complete report of the aircraft operation involved, including a description of the deviation and reasons for it.
(a) Each certificate holder, other than one who uses only one pilot in the certificate holder's operations, shall prepare and keep current a manual setting forth the certificate holder's procedures and policies acceptable to the Administrator. This manual must be used by the certificate holder's flight, ground, and maintenance personnel in conducting its operations. However, the Administrator may authorize a deviation from this paragraph if the Administrator finds that, because of the limited size of the operation, all or part of the manual is not necessary for guidance of flight, ground, or maintenance personnel.
(b) Each certificate holder shall maintain at least one copy of the manual at its principal base of operations.
(c) The manual must not be contrary to any applicable Federal regulations, foreign regulation applicable to the certificate holder's operations in foreign countries, or the certificate holder's operating certificate or operations specifications.
(d) A copy of the manual, or appropriate portions of the manual (and changes and additions) shall be made available to maintenance and ground operations personnel by the certificate holder and furnished to—
(1) Its flight crewmembers; and
(2) Representatives of the Administrator assigned to the certificate holder.
(e) Each employee of the certificate holder to whom a manual or appropriate portions of it are furnished under paragraph (d)(1) of this section shall keep it up to date with the changes and additions furnished to them.
(f) The certificate holder must ensure the appropriate parts of the manual are accessible to flight, ground, and maintenance personnel at all times when such personnel are performing their assigned duties.
(g) The information and instructions contained in the manual must be displayed clearly and be retrievable in the English language.
Each manual accessed in paper format must display the date of last revision on each page. Each manual accessed in electronic format must display the date of last revision in a manner in which a person can immediately ascertain it. The manual must include:
(a) The name of each management person required under § 119.69(a) of this chapter who is authorized to act for the certificate holder, the person's assigned area of responsibility, the person's duties, responsibilities, and authority, and the name and title of each person authorized to exercise operational control under § 135.77;
(b) Procedures for ensuring compliance with aircraft weight and balance limitations and, for multiengine aircraft, for determining compliance with § 135.185;
(c) Copies of the certificate holder's operations specifications or appropriate extracted information, including area of operations authorized, category and class of aircraft authorized, crew complements, and types of operations authorized;
(d) Procedures for complying with accident notification requirements;
(e) Procedures for ensuring that the pilot in command knows that required airworthiness inspections have been made and that the aircraft has been approved for return to service in compliance with applicable maintenance requirements;
(f) Procedures for reporting and recording mechanical irregularities that come to the attention of the pilot in command before, during, and after completion of a flight;
(g) Procedures to be followed by the pilot in command for determining that mechanical irregularities or defects reported for previous flights have been corrected or that correction has been deferred;
(h) Procedures to be followed by the pilot in command to obtain maintenance, preventive maintenance, and servicing of the aircraft at a place where previous arrangements have not been made by the operator, when the pilot is authorized to so act for the operator;
(i) Procedures under § 135.179 for the release for, or continuation of, flight if any item of equipment required for the particular type of operation becomes inoperative or unserviceable en route;
(j) Procedures for refueling aircraft, eliminating fuel contamination, protecting from fire (including electrostatic protection), and supervising and protecting passengers during refueling;
(k) Procedures to be followed by the pilot in command in the briefing under § 135.117;
(l) Flight locating procedures, when applicable;
(m) Procedures for ensuring compliance with emergency procedures, including a list of the functions assigned each category of required crewmembers in connection with an emergency and emergency evacuation duties under § 135.123;
(n) En route qualification procedures for pilots, when applicable;
(o) The approved aircraft inspection program, when applicable;
(p)(1) Procedures and information, as described in paragraph (p)(2) of this section, to assist each crewmember and person performing or directly supervising the following job functions involving items for transport on an aircraft:
(i) Acceptance;
(ii) Rejection;
(iii) Handling;
(iv) Storage incidental to transport;
(v) Packaging of company material; or
(vi) Loading.
(2) Ensure that the procedures and information described in this paragraph are sufficient to assist a person in identifying packages that are marked or labeled as containing hazardous materials or that show signs of containing undeclared hazardous materials. The procedures and information must include:
(i) Procedures for rejecting packages that do not conform to the Hazardous Materials Regulations in 49 CFR parts 171 through 180 or that appear to contain undeclared hazardous materials;
(ii) Procedures for complying with the hazardous materials incident reporting requirements of 49 CFR 171.15 and 171.16 and discrepancy reporting requirements of 49 CFR 175.31.
(iii) The certificate holder's hazmat policies and whether the certificate holder is authorized to carry, or is prohibited from carrying, hazardous materials; and
(iv) If the certificate holder's operations specifications permit the transport of hazardous materials, procedures and information to ensure the following:
(A) That packages containing hazardous materials are properly offered and accepted in compliance with 49 CFR parts 171 through 180;
(B) That packages containing hazardous materials are properly handled, stored, packaged, loaded and carried on board an aircraft in compliance with 49 CFR parts 171 through 180;
(C) That the requirements for Notice to the Pilot in Command (49 CFR 175.33) are complied with; and
(D) That aircraft replacement parts, consumable materials or other items regulated by 49 CFR parts 171 through 180 are properly handled, packaged, and transported.
(q) Procedures for the evacuation of persons who may need the assistance of another person to move expeditiously to an exit if an emergency occurs; and
(r) If required by § 135.385, an approved Destination Airport Analysis establishing runway safety margins at destination airports, taking into account the following factors as supported by published aircraft performance data supplied by the aircraft manufacturer for the appropriate runway conditions—
(1) Pilot qualifications and experience;
(2) Aircraft performance data to include normal, abnormal and emergency procedures as supplied by the aircraft manufacturer;
(3) Airport facilities and topography;
(4) Runway conditions (including contamination);
(5) Airport or area weather reporting;
(6) Appropriate additional runway safety margins, if required;
(7) Airplane inoperative equipment;
(8) Environmental conditions; and
(9) Other criteria affecting aircraft performance.
(s) Other procedures and policy instructions regarding the certificate holder's operations issued by the certificate holder.
(a) Except as provided in paragraph (d) of this section, no certificate holder may operate an aircraft under this part unless that aircraft—
(1) Is registered as a civil aircraft of the United States and carries an appropriate and current airworthiness certificate issued under this chapter; and
(2) Is in an airworthy condition and meets the applicable airworthiness requirements of this chapter, including those relating to identification and equipment.
(b) Each certificate holder must have the exclusive use of at least one aircraft that meets the requirements for at least one kind of operation authorized in the certificate holder's operations specifications. In addition, for each kind of operation for which the certificate holder does not have the exclusive use of an aircraft, the certificate holder must have available for use under a written agreement (including arrangements for performing required maintenance) at least one aircraft that meets the requirements for that kind of operation. However, this paragraph does not prohibit the operator from using or authorizing the use of the aircraft for other than operations under this part and does not require the certificate holder to have exclusive use of all aircraft that the certificate holder uses.
(c) For the purposes of paragraph (b) of this section, a person has exclusive use of an aircraft if that person has the sole possession, control, and use of it for flight, as owner, or has a written agreement (including arrangements for performing required maintenance), in effect when the aircraft is operated, giving the person that possession, control, and use for at least 6 consecutive months.
(d) A certificate holder may operate in common carriage, and for the carriage of mail, a civil aircraft which is leased or chartered to it without crew and is registered in a country which is a party to the Convention on International Civil Aviation if—
(1) The aircraft carries an appropriate airworthiness certificate issued by the country of registration and meets the registration and identification requirements of that country;
(2) The aircraft is of a type design which is approved under a U.S. type certificate and complies with all of the requirements of this chapter (14 CFR chapter I) that would be applicable to that aircraft were it registered in the United States, including the requirements which must be met for issuance of a U.S. standard airworthiness certificate (including type design conformity, condition for safe operation, and the noise, fuel venting, and engine emission requirements of this chapter), except that a U.S. registration certificate and a U.S. standard airworthiness certificate will not be issued for the aircraft;
(3) The aircraft is operated by U.S.-certificated airmen employed by the certificate holder; and
(4) The certificate holder files a copy of the aircraft lease or charter agreement with the FAA Aircraft Registry, Department of Transportation, 6400 South MacArthur Boulevard, Oklahoma City, OK (Mailing address: P.O. Box 25504, Oklahoma City, OK 73125).
If the holder of a certificate operating under this part allows any aircraft owned or leased by that holder to be engaged in any operation that the certificate holder knows to be in violation of § 91.19(a) of this chapter, that operation is a basis for suspending or revoking the certificate.
(a) This section describes the certificates that were issued to United States citizens who were employed by air carriers at the time of issuance as flight crewmembers on United States registered aircraft engaged in international air commerce. The purpose of the certificate is to facilitate the entry and clearance of those crewmembers into ICAO contracting states. They were issued under Annex 9, as amended, to the Convention on International Civil Aviation.
(b) The holder of a certificate issued under this section, or the air carrier by whom the holder is employed, shall surrender the certificate for cancellation at the responsible Flight Standards office at the termination of the holder's employment with that air carrier.
This subpart prescribes rules, in addition to those in part 91 of this chapter, that apply to operations under this part.
(a) Each certificate holder shall keep at its principal business office or at other places approved by the Administrator, and shall make available for inspection by the Administrator the following—
(1) The certificate holder's operating certificate;
(2) The certificate holder's operations specifications;
(3) A current list of the aircraft used or available for use in operations under this part and the operations for which each is equipped;
(4) An individual record of each pilot used in operations under this part, including the following information:
(i) The full name of the pilot.
(ii) The pilot certificate (by type and number) and ratings that the pilot holds.
(iii) The pilot's aeronautical experience in sufficient detail to determine the pilot's qualifications to pilot aircraft in operations under this part.
(iv) The pilot's current duties and the date of the pilot's assignment to those duties.
(v) The effective date and class of the medical certificate that the pilot holds.
(vi) The date and result of each of the initial and recurrent competency tests and proficiency and route checks required by this part and the type of aircraft flown during that test or check.
(vii) The pilot's flight time in sufficient detail to determine compliance with the flight time limitations of this part.
(viii) The pilot's check pilot authorization, if any.
(ix) Any action taken concerning the pilot's release from employment for physical or professional disqualification.
(x) The date of the completion of the initial phase and each recurrent phase of the training required by this part; and
(5) An individual record for each flight attendant who is required under this part, maintained in sufficient detail to determine compliance with the applicable portions of § 135.273 of this part.
(b) Each certificate holder must keep each record required by paragraph (a)(3) of this section for at least 6 months, and must keep each record required by paragraphs (a)(4) and (a)(5) of this section for at least 12 months.
(c) For multiengine aircraft, each certificate holder is responsible for the preparation and accuracy of a load manifest in duplicate containing information concerning the loading of the aircraft. The manifest must be prepared before each takeoff and must include:
(1) The number of passengers;
(2) The total weight of the loaded aircraft;
(3) The maximum allowable takeoff weight for that flight;
(4) The center of gravity limits;
(5) The center of gravity of the loaded aircraft, except that the actual center of gravity need not be computed if the aircraft is loaded according to a loading schedule or other approved method that ensures that the center of gravity of the loaded aircraft is within approved limits. In those cases, an entry shall be made on the manifest indicating that the center of gravity is within limits according to a loading schedule or other approved method;
(6) The registration number of the aircraft or flight number;
(7) The origin and destination; and
(8) Identification of crew members and their crew position assignments.
(d) The pilot in command of an aircraft for which a load manifest must be prepared shall carry a copy of the completed load manifest in the aircraft to its destination. The certificate holder shall keep copies of completed load manifests for at least 30 days at its principal operations base, or at another location used by it and approved by the Administrator.
Each commercial operator who conducts intrastate operations for compensation or hire shall keep a copy of each written contract under which it provides services as a commercial operator for a period of at least one year after the date of execution of the contract. In the case of an oral contract, it shall keep a memorandum stating its elements, and of any amendments to it, for a period of at least one year after the execution of that contract or change.
(a) Each certificate holder shall provide an aircraft maintenance log to be carried on board each aircraft for recording or deferring mechanical irregularities and their correction.
(b) The pilot in command shall enter or have entered in the aircraft maintenance log each mechanical irregularity that comes to the pilot's attention during flight time. Before each flight, the pilot in command shall, if the pilot does not already know, determine the status of each irregularity entered in the maintenance log at the end of the preceding flight.
(c) Each person who takes corrective action or defers action concerning a reported or observed failure or malfunction of an airframe, powerplant, propeller, rotor, or appliance, shall record the action taken in the aircraft maintenance log under the applicable maintenance requirements of this chapter.
(d) Each certificate holder shall establish a procedure for keeping copies of the aircraft maintenance log required by this section in the aircraft for access by appropriate personnel and shall include that procedure in the manual required by § 135.21.
Whenever a pilot encounters a potentially hazardous meteorological condition or an irregularity in a ground facility or navigation aid in flight, the knowledge of which the pilot considers essential to the safety of other flights, the pilot shall notify an appropriate ground radio station as soon as practicable.
(a) During operations under this part, if a certificate holder or pilot in command knows of conditions, including airport and runway conditions, that are a hazard to safe operations, the certificate holder or pilot in command, as the case may be, shall restrict or suspend operations as necessary until those conditions are corrected.
(b) No pilot in command may allow a flight to continue toward any airport of intended landing under the conditions set forth in paragraph (a) of this section, unless, in the opinion of the pilot in command, the conditions that are a hazard to safe operations may reasonably be expected to be corrected by the estimated time of arrival or, unless there is no safer procedure. In the latter event, the continuation toward that airport is an emergency situation under § 135.19.
The pilot in command may not begin a flight unless the pilot determines that the airworthiness inspections required by § 91.409 of this chapter, or § 135.419, whichever is applicable, have been made.
Each certificate holder and each person employed by the certificate holder shall allow the Administrator, at any time or place, to make inspections or tests (including en route inspections) to determine the holder's compliance with the Federal Aviation Act of 1958, applicable regulations, and the certificate holder's operating certificate, and operations specifications.
(a) Whenever, in performing the duties of conducting an inspection, an FAA inspector presents an Aviation Safety Inspector credential, FAA Form 110A, to the pilot in command of an aircraft operated by the certificate holder, the inspector must be given free and uninterrupted access to the pilot compartment of that aircraft. However, this paragraph does not limit the emergency authority of the pilot in command to exclude any person from the pilot compartment in the interest of safety.
(b) A forward observer's seat on the flight deck, or forward passenger seat with headset or speaker must be provided for use by the Administrator while conducting en route inspections. The suitability of the location of the seat and the headset or speaker for use in conducting en route inspections is determined by the Administrator.
(a) Whenever, in performing the duties of conducting an evaluation, a DOD commercial air carrier evaluator presents S&A Form 110B, “DOD Commercial Air Carrier Evaluator's Credential,” to the pilot in command of an aircraft operated by the certificate holder, the evaluator must be given free and uninterrupted access to the pilot's compartment of that aircraft. However, this paragraph does not limit the emergency authority of the pilot in command to exclude any person from the pilot compartment in the interest of safety.
(b) A forward observer's seat on the flight deck or forward passenger seat with headset or speaker must be provided for use by the evaluator while conducting en route evaluations. The suitability of the location of the seat and the headset or speaker for use in conducting en route evaluations is determined by the FAA.
Each certificate holder is responsible for operational control and shall list, in the manual required by § 135.21, the name and title of each person authorized by it to exercise operational control.
No person may make an instrument approach at an airport except in accordance with IFR weather minimums and instrument approach procedures set forth in the certificate holder's operations specifications.
(a) Each certificate holder must have procedures established for locating each flight, for which an FAA flight plan is not filed, that—
(1) Provide the certificate holder with at least the information required to be included in a VFR flight plan;
(2) Provide for timely notification of an FAA facility or search and rescue facility, if an aircraft is overdue or missing; and
(3) Provide the certificate holder with the location, date, and estimated time for reestablishing communications, if the flight will operate in an area where communications cannot be maintained.
(b) Flight locating information shall be retained at the certificate holder's principal place of business, or at other places designated by the certificate holder in the flight locating procedures, until the completion of the flight.
(c) Each certificate holder shall furnish the representative of the Administrator assigned to it with a copy of its flight locating procedures and any changes or additions, unless those procedures are included in a manual required under this part.
Each certificate holder shall inform each person in its employment of the operations specifications that apply to that person's duties and responsibilities and shall make available to each pilot in the certificate holder's employ the following materials in current form:
(a) Airman's Information Manual (Alaska Supplement in Alaska and Pacific Chart Supplement in Pacific-Asia Regions) or a commercial publication that contains the same information.
(b) This part and part 91 of this chapter.
(c) Aircraft Equipment Manuals, and Aircraft Flight Manual or equivalent.
(d) For foreign operations, the International Flight Information Manual or a commercial publication that contains the same information concerning the pertinent operational and entry requirements of the foreign country or countries involved.
(a) The operator of an aircraft must provide the following materials, in current and appropriate form, accessible to the pilot at the pilot station, and the pilot shall use them:
(1) A cockpit checklist.
(2) For multiengine aircraft or for aircraft with retractable landing gear, an emergency cockpit checklist containing the procedures required by paragraph (c) of this section, as appropriate.
(3) Pertinent aeronautical charts.
(4) For IFR operations, each pertinent navigational en route, terminal area, and approach and letdown chart.
(5) For multiengine aircraft, one-engine-inoperative climb performance data and if the aircraft is approved for use in IFR or over-the-top operations, that data must be sufficient to enable the pilot to determine compliance with § 135.181(a)(2).
(b) Each cockpit checklist required by paragraph (a)(1) of this section must contain the following procedures:
(1) Before starting engines;
(2) Before takeoff;
(3) Cruise;
(4) Before landing;
(5) After landing;
(6) Stopping engines.
(c) Each emergency cockpit checklist required by paragraph (a)(2) of this section must contain the following procedures, as appropriate:
(1) Emergency operation of fuel, hydraulic, electrical, and mechanical systems.
(2) Emergency operation of instruments and controls.
(3) Engine inoperative procedures.
(4) Any other emergency procedures necessary for safety.
The following persons may be carried aboard an aircraft without complying with the passenger-carrying requirements of this part:
(a) A crewmember or other employee of the certificate holder.
(b) A person necessary for the safe handling of animals on the aircraft.
(c) A person necessary for the safe handling of hazardous materials (as defined in subchapter C of title 49 CFR).
(d) A person performing duty as a security or honor guard accompanying a shipment made by or under the authority of the U.S. Government.
(e) A military courier or a military route supervisor carried by a military cargo contract air carrier or commercial operator in operations under a military cargo contract, if that carriage is specifically authorized by the appropriate military service.
(f) An authorized representative of the Administrator conducting an en route inspection.
(g) A person, authorized by the Administrator, who is performing a duty connected with a cargo operation of the certificate holder.
(h) A DOD commercial air carrier evaluator conducting an en route evaluation.
No person may carry cargo, including carry-on baggage, in or on any aircraft unless—
(a) It is carried in an approved cargo rack, bin, or compartment installed in or on the aircraft;
(b) It is secured by an approved means; or
(c) It is carried in accordance with each of the following:
(1) For cargo, it is properly secured by a safety belt or other tie-down having enough strength to eliminate the possibility of shifting under all normally anticipated flight and ground conditions, or for carry-on baggage, it is restrained so as to prevent its movement during air turbulence.
(2) It is packaged or covered to avoid possible injury to occupants.
(3) It does not impose any load on seats or on the floor structure that exceeds the load limitation for those components.
(4) It is not located in a position that obstructs the access to, or use of, any required emergency or regular exit, or the use of the aisle between the crew and the passenger compartment, or located in a position that obscures any passenger's view of the “seat belt” sign, “no smoking” sign, or any required exit sign, unless an auxiliary sign or other approved means for proper notification of the passengers is provided.
(5) It is not carried directly above seated occupants.
(6) It is stowed in compliance with this section for takeoff and landing.
(7) For cargo only operations, paragraph (c)(4) of this section does not apply if the cargo is loaded so that at least one emergency or regular exit is available to provide all occupants of the aircraft a means of unobstructed exit from the aircraft if an emergency occurs.
(d) Each passenger seat under which baggage is stowed shall be fitted with a means to prevent articles of baggage stowed under it from sliding under crash impacts severe enough to induce the ultimate inertia forces specified in the emergency landing condition regulations under which the aircraft was type certificated.
(e) When cargo is carried in cargo compartments that are designed to require the physical entry of a crewmember to extinguish any fire that may occur during flight, the cargo must be loaded so as to allow a crewmember to effectively reach all parts of the compartment with the contents of a hand fire extinguisher.
(a) Unpressurized aircraft. Each pilot of an unpressurized aircraft shall use oxygen continuously when flying—
(1) At altitudes above 10,000 feet through 12,000 feet MSL for that part of the flight at those altitudes that is of more than 30 minutes duration; and
(2) Above 12,000 feet MSL.
(b) Pressurized aircraft. (1) Whenever a pressurized aircraft is operated with the cabin pressure altitude more than 10,000 feet MSL, each pilot shall comply with paragraph (a) of this section.
(2) Whenever a pressurized aircraft is operated at altitudes above 25,000 feet through 35,000 feet MSL, unless each pilot has an approved quick-donning type oxygen mask—
(i) At least one pilot at the controls shall wear, secured and sealed, an oxygen mask that either supplies oxygen at all times or automatically supplies oxygen whenever the cabin pressure altitude exceeds 12,000 feet MSL; and
(ii) During that flight, each other pilot on flight deck duty shall have an oxygen mask, connected to an oxygen supply, located so as to allow immediate placing of the mask on the pilot's face sealed and secured for use.
(3) Whenever a pressurized aircraft is operated at altitudes above 35,000 feet MSL, at least one pilot at the controls shall wear, secured and sealed, an oxygen mask required by paragraph (b)(2)(i) of this section.
(4) If one pilot leaves a pilot duty station of an aircraft when operating at altitudes above 25,000 feet MSL, the remaining pilot at the controls shall put on and use an approved oxygen mask until the other pilot returns to the pilot duty station of the aircraft.
(a) Except as provided in paragraphs (d) and (e) of this section, no certificate holder may allow the carriage or operation of equipment for the storage, generation or dispensing of medical oxygen unless the conditions in paragraphs (a) through (c) of this section are satisfied. Beginning August 22, 2016, a certificate holder may allow a passenger to carry and operate a portable oxygen concentrator when the conditions in paragraphs (b) and (f) of this section are satisfied.
(1) The equipment must be—
(i) Of an approved type or in conformity with the manufacturing, packaging, marking, labeling, and maintenance requirements of title 49 CFR parts 171, 172, and 173, except § 173.24(a)(1);
(ii) When owned by the certificate holder, maintained under the certificate holder's approved maintenance program;
(iii) Free of flammable contaminants on all exterior surfaces;
(iv) Constructed so that all valves, fittings, and gauges are protected from damage during carriage or operation; and
(v) Appropriately secured.
(2) When the oxygen is stored in the form of a liquid, the equipment must have been under the certificate holder's approved maintenance program since its purchase new or since the storage container was last purged.
(3) When the oxygen is stored in the form of a compressed gas as defined in title 49 CFR 173.115(b)—
(i) When owned by the certificate holder, it must be maintained under its approved maintenance program; and
(ii) The pressure in any oxygen cylinder must not exceed the rated cylinder pressure.
(4) The pilot in command must be advised when the equipment is on board, and when it is intended to be used.
(5) The equipment must be stowed, and each person using the equipment must be seated, so as not to restrict access to or use of any required emergency or regular exit, or of the aisle in the passenger compartment.
(b) No person may smoke or create an open flame and no certificate holder may allow any person to smoke or create an open flame within 10 feet of oxygen storage and dispensing equipment carried under paragraph (a) of this section or a portable oxygen concentrator carried and operated under paragraph (f) of this section.
(c) No certificate holder may allow any person other than a person trained in the use of medical oxygen equipment to connect or disconnect oxygen bottles or any other ancillary component while any passenger is aboard the aircraft.
(d) Paragraph (a)(1)(i) of this section does not apply when that equipment is furnished by a professional or medical emergency service for use on board an aircraft in a medical emergency when no other practical means of transportation (including any other properly equipped certificate holder) is reasonably available and the person carried under the medical emergency is accompanied by a person trained in the use of medical oxygen.
(e) Each certificate holder who, under the authority of paragraph (d) of this section, deviates from paragraph (a)(1)(i) of this section under a medical emergency shall, within 10 days, excluding Saturdays, Sundays, and Federal holidays, after the deviation, send to the responsible Flight Standards office a complete report of the operation involved, including a description of the deviation and the reasons for it.
(f) Portable oxygen concentrators—(1) Acceptance criteria. A passenger may carry or operate a portable oxygen concentrator for personal use on board an aircraft and a certificate holder may allow a passenger to carry or operate a portable oxygen concentrator on board an aircraft operated under this part during all phases of flight if the portable oxygen concentrator satisfies all of the requirements of this paragraph (f):
(i) Is legally marketed in the United States in accordance with Food and Drug Administration requirements in title 21 of the CFR;
(ii) Does not radiate radio frequency emissions that interfere with aircraft systems;
(iii) Generates a maximum oxygen pressure of less than 200 kPa gauge (29.0 psig/43.8 psia) at 20 °C (68 °F);
(iv) Does not contain any hazardous materials subject to the Hazardous Materials Regulations (49 CFR parts 171 through 180) except as provided in 49 CFR 175.10 for batteries used to power portable electronic devices and that do not require aircraft operator approval; and
(v) Bears a label on the exterior of the device applied in a manner that ensures the label will remain affixed for the life of the device and containing the following certification statement in red lettering: “The manufacturer of this POC has determined this device conforms to all applicable FAA acceptance criteria for POC carriage and use on board aircraft.” The label requirements in this paragraph (f)(1)(v) do not apply to the following portable oxygen concentrators approved by the FAA for use on board aircraft prior to May 24, 2016:
(A) AirSep Focus;
(B) AirSep FreeStyle;
(C) AirSep FreeStyle 5;
(D) AirSep LifeStyle;
(E) Delphi RS-00400;
(F) DeVilbiss Healthcare iGo;
(G) Inogen One;
(H) Inogen One G2;
(I) Inogen One G3;
(J) Inova Labs LifeChoice;
(K) Inova Labs LifeChoice Activox;
(L) International Biophysics LifeChoice;
(M) Invacare Solo2;
(N) Invacare XPO2;
(O) Oxlife Independence Oxygen Concentrator;
(P) Oxus RS-00400;
(Q) Precision Medical EasyPulse;
(R) Respironics EverGo;
(S) Respironics SimplyGo;
(T) SeQual Eclipse;
(U) SeQual eQuinox Oxygen System (model 4000);
(V) SeQual Oxywell Oxygen System (model 4000);
(W) SeQual SAROS; and
(X) VBox Trooper Oxygen Concentrator.
(2) Operating requirements. Portable oxygen concentrators that satisfy the acceptance criteria identified in paragraph (f)(1) of this section may be carried on or operated by a passenger on board an aircraft provided the aircraft operator ensures that all of the conditions in this paragraph (f)(2) are satisfied:
(i) Exit seats. No person operating a portable oxygen concentrator is permitted to occupy an exit seat.
(ii) Stowage of device. During movement on the surface, takeoff and landing, the device must be stowed under the seat in front of the user, or in another approved stowage location so that it does not block the aisle way or the entryway to the row. If the device is to be operated by the user, it must be operated only at a seat location that does not restrict any passenger's access to, or use of, any required emergency or regular exit, or the aisle(s) in the passenger compartment.
(a) Definitions. For purpose of this section—
(1) Altitudes for takeoff/initial climb and go-around/missed approach are defined as above the airport elevation.
(2) Altitudes for enroute operations are defined as above terrain elevation.
(3) Altitudes for approach are defined as above the touchdown zone elevation (TDZE), unless the altitude is specifically in reference to DA (H) or MDA, in which case the altitude is defined by reference to the DA(H) or MDA itself.
(b) Takeoff and initial climb. No person may use an autopilot for takeoff or initial climb below the higher of 500 feet or an altitude that is no lower than twice the altitude loss specified in the Airplane Flight Manual (AFM), except as follows—
(1) At a minimum engagement altitude specified in the AFM; or
(2) At an altitude specified by the Administrator, whichever is greater.
(c) Enroute. No person may use an autopilot enroute, including climb and descent, below the following—
(1) 500 feet;
(2) At an altitude that is no lower than twice the altitude loss specified in the AFM for an autopilot malfunction in cruise conditions; or
(3) At an altitude specified by the Administrator, whichever is greater.
(d) Approach. No person may use an autopilot at an altitude lower than 50 feet below the DA(H) or MDA for the instrument procedure being flown, except as follows—
(1) For autopilots with an AFM specified altitude loss for approach operations—
(i) An altitude no lower than twice the specified altitude loss if higher than 50 feet below the MDA or DA(H);
(ii) An altitude no lower than 50 feet higher than the altitude loss specified in the AFM, when the following conditions are met—
(A) Reported weather conditions are less than the basic VFR weather conditions in § 91.155 of this chapter;
(B) Suitable visual references specified in § 91.175 of this chapter have been established on the instrument approach procedure; and
(C) The autopilot is coupled and receiving both lateral and vertical path references;
(iii) An altitude no lower than the higher of the altitude loss specified in the AFM or 50 feet above the TDZE, when the following conditions are met—
(A) Reported weather conditions are equal to or better than the basic VFR weather conditions in § 91.155 of this chapter; and
(B) The autopilot is coupled and receiving both lateral and vertical path references; or
(iv) A greater altitude specified by the Administrator.
(2) For autopilots with AFM specified approach altitude limitations, the greater of—
(i) The minimum use altitude specified for the coupled approach mode selected;
(ii) 50 feet; or
(iii) An altitude specified by Administrator.
(3) For autopilots with an AFM specified negligible or zero altitude loss for an autopilot approach mode malfunction, the greater of—
(i) 50 feet; or
(ii) An altitude specified by Administrator.
(4) If executing an autopilot coupled go-around or missed approach using a certificated and functioning autopilot in accordance with paragraph (e) in this section.
(e) Go-Around/Missed Approach. No person may engage an autopilot during a go-around or missed approach below the minimum engagement altitude specified for takeoff and initial climb in paragraph (b) in this section. An autopilot minimum use altitude does not apply to a go-around/missed approach initiated with an engaged autopilot. Performing a go-around or missed approach with an engaged autopilot must not adversely affect safe obstacle clearance.
(f) Landing. Notwithstanding paragraph (d) of this section, autopilot minimum use altitudes do not apply to autopilot operations when an approved automatic landing system mode is being used for landing. Automatic landing systems must be authorized in an operations specification issued to the operator.
(g) This section does not apply to operations conducted in rotorcraft.
(a) No certificate holder may use the services of any person as an airman unless the person performing those services—
(1) Holds an appropriate and current airman certificate; and
(2) Is qualified, under this chapter, for the operation for which the person is to be used.
(b) A certificate holder may obtain approval to provide a temporary document verifying a flightcrew member's airman certificate and medical certificate privileges under an approved certificate verification plan set forth in the certificate holder's operations specifications. A document provided by the certificate holder may be carried as an airman certificate or medical certificate on flights within the United States for up to 72 hours.
Each certificate holder shall provide aircraft and facilities to enable each of its pilots to maintain and demonstrate the pilot's ability to conduct all operations for which the pilot is authorized.
After August 13, 2008, no certificate holder may operate an aircraft in the region north of 78° N latitude (“North Polar Area”), other than intrastate operations wholly within the state of Alaska, unless authorized by the FAA. The certificate holder's operation specifications must include the following:
(a) The designation of airports that may be used for en-route diversions and the requirements the airports must meet at the time of diversion.
(b) Except for all-cargo operations, a recovery plan for passengers at designated diversion airports.
(c) A fuel-freeze strategy and procedures for monitoring fuel freezing for operations in the North Polar Area.
(d) A plan to ensure communication capability for operations in the North Polar Area.
(e) An MEL for operations in the North Polar Area.
(f) A training plan for operations in the North Polar Area.
(g) A plan for mitigating crew exposure to radiation during solar flare activity.
(h) A plan for providing at least two cold weather anti-exposure suits in the aircraft, to protect crewmembers during outside activity at a diversion airport with extreme climatic conditions. The FAA may relieve the certificate holder from this requirement if the season of the year makes the equipment unnecessary.
(a) No certificate holder may operate an aircraft with less than the minimum flight crew specified in the aircraft operating limitations or the Aircraft Flight Manual for that aircraft and required by this part for the kind of operation being conducted.
(b) No certificate holder may operate an aircraft without a second in command if that aircraft has a passenger seating configuration, excluding any pilot seat, of ten seats or more.
(c) Except as provided in paragraph (d) of this section, a certificate holder authorized to conduct operations under instrument flight rules may receive authorization from the Administrator through its operations specifications to establish a second-in-command professional development program. As part of that program, a pilot employed by the certificate holder may log time as second in command in operations conducted under this part and part 91 of this chapter that do not require a second pilot by type certification of the aircraft or the regulation under which the flight is being conducted, provided the flight operation is conducted in accordance with the certificate holder's operations specifications for second-in-command professional development program; and—
(1) The certificate holder:
(i) Maintains records for each assigned second in command consistent with the requirements in § 135.63;
(ii) Provides a copy of the records required by § 135.63(a)(4)(vi) and (x) to the assigned second in command upon request and within a reasonable time; and
(iii) Establishes and maintains a data collection and analysis process that will enable the certificate holder and the FAA to determine whether the second-in-command professional development program is accomplishing its objectives.
(2) The aircraft is a multiengine airplane or a single-engine turbine-powered airplane. The aircraft must have an independent set of controls for a second pilot flightcrew member, which may not include a throwover control wheel. The aircraft must also have the following equipment and independent instrumentation for a second pilot:
(i) An airspeed indicator;
(ii) Sensitive altimeter adjustable for barometric pressure;
(iii) Gyroscopic bank and pitch indicator;
(iv) Gyroscopic rate-of-turn indicator combined with an integral slip-skid indicator;
(v) Gyroscopic direction indicator;
(vi) For IFR operations, a vertical speed indicator;
(vii) For IFR operations, course guidance for en route navigation and instrument approaches; and
(viii) A microphone, transmit switch, and headphone or speaker.
(3) The pilot assigned to serve as second in command satisfies the following requirements:
(i) The second in command qualifications in § 135.245;
(ii) The flight time and duty period limitations and rest requirements in subpart F of this part;
(iii) The crewmember testing requirements for second in command in subpart G of this part; and
(iv) The crewmember training requirements for second in command in subpart H of this part.
(4) The pilot assigned to serve as pilot in command satisfies the following requirements:
(i) Has been fully qualified to serve as a pilot in command for the certificate holder for at least the previous 6 calendar months; and
(ii) Has completed mentoring training, including techniques for reinforcing the highest standards of technical performance, airmanship and professionalism within the preceding 36 calendar months.
(d) The following certificate holders are not eligible to receive authorization for a second-in-command professional development program under paragraph (c) of this section:
(1) A certificate holder that uses only one pilot in its operations; and
(2) A certificate holder that has been approved to deviate from the requirements in § 135.21(a), § 135.341(a), or § 119.69(a) of this chapter.
(a) No certificate holder shall require, nor may any flight crewmember perform, any duties during a critical phase of flight except those duties required for the safe operation of the aircraft. Duties such as company required calls made for such nonsafety related purposes as ordering galley supplies and confirming passenger connections, announcements made to passengers promoting the air carrier or pointing out sights of interest, and filling out company payroll and related records are not required for the safe operation of the aircraft.
(b) No flight crewmember may engage in, nor may any pilot in command permit, any activity during a critical phase of flight which could distract any flight crewmember from the performance of his or her duties or which could interfere in any way with the proper conduct of those duties. Activities such as eating meals, engaging in nonessential conversations within the cockpit and nonessential communications between the cabin and cockpit crews, and reading publications not related to the proper conduct of the flight are not required for the safe operation of the aircraft.
(c) For the purposes of this section, critical phases of flight includes all ground operations involving taxi, takeoff and landing, and all other flight operations conducted below 10,000 feet, except cruise flight.
(d) For the purposes of this section, taxi is defined as movement of an aircraft under its own power on the surface of an airport and includes hover taxi which is movement of a helicopter or any vertical takeoff and landing aircraft conducted above the surface and in ground effect at airspeeds less than approximately 20 knots, and air taxi which is movement of a helicopter or any vertical takeoff and landing aircraft conducted above the surface but normally not above 100 feet AGL.
Except as provided in § 135.105, no person may operate an aircraft carrying passengers under IFR unless there is a second in command in the aircraft.
(a) Except as provided in §§ 135.99 and 135.111, unless two pilots are required by this chapter for operations under VFR, a person may operate an aircraft without a second in command, if it is equipped with an operative approved autopilot system and the use of that system is authorized by appropriate operations specifications. No certificate holder may use any person, nor may any person serve, as a pilot in command under this section of an aircraft operated in a commuter operation, as defined in part 119 of this chapter unless that person has at least 100 hours pilot in command flight time in the make and model of aircraft to be flown and has met all other applicable requirements of this part.
(b) The certificate holder may apply for an amendment of its operations specifications to authorize the use of an autopilot system in place of a second in command.
(c) The Administrator issues an amendment to the operations specifications authorizing the use of an autopilot system, in place of a second in command, if—
(1) The autopilot is capable of operating the aircraft controls to maintain flight and maneuver it about the three axes; and
(2) The certificate holder shows, to the satisfaction of the Administrator, that operations using the autopilot system can be conducted safely and in compliance with this part.
The amendment contains any conditions or limitations on the use of the autopilot system that the Administrator determines are needed in the interest of safety.
No certificate holder may operate an aircraft that has a passenger seating configuration, excluding any pilot seat, of more than 19 unless there is a flight attendant crewmember on board the aircraft.
(a) Each certificate holder shall designate a—
(1) Pilot in command for each flight; and
(2) Second in command for each flight requiring two pilots.
(b) The pilot in command, as designated by the certificate holder, shall remain the pilot in command at all times during that flight.
No person may operate an aircraft in a Category II operation unless there is a second in command of the aircraft.
No certificate holder may operate an aircraft type certificated after October 15, 1971, that has a passenger seating configuration, excluding any pilot seat, of more than eight seats if any person other than the pilot in command, a second in command, a company check pilot, or an authorized representative of the Administrator, the National Transportation Safety Board, or the United States Postal Service occupies a pilot seat.
No pilot in command may allow any person to manipulate the flight controls of an aircraft during flight conducted under this part, nor may any person manipulate the controls during such flight unless that person is—
(a) A pilot employed by the certificate holder and qualified in the aircraft; or
(b) An authorized safety representative of the Administrator who has the permission of the pilot in command, is qualified in the aircraft, and is checking flight operations.
(a) Before each takeoff each pilot in command of an aircraft carrying passengers shall ensure that all passengers have been orally briefed on—
(1) Smoking. Each passenger shall be briefed on when, where, and under what conditions smoking is prohibited (including, but not limited to, any applicable requirements of part 252 of this title). This briefing shall include a statement that the Federal Aviation Regulations require passenger compliance with the lighted passenger information signs (if such signs are required), posted placards, areas designated for safety purposes as no smoking areas, and crewmember instructions with regard to these items. The briefing shall also include a statement (if the aircraft is equipped with a lavatory) that Federal law prohibits: tampering with, disabling, or destroying any smoke detector installed in an aircraft lavatory; smoking in lavatories; and, when applicable, smoking in passenger compartments.
(2) The use of safety belts, including instructions on how to fasten and unfasten the safety belts. Each passenger shall be briefed on when, where, and under what conditions the safety belt must be fastened about that passenger. This briefing shall include a statement that the Federal Aviation Regulations require passenger compliance with lighted passenger information signs and crewmember instructions concerning the use of safety belts.
(3) The placement of seat backs in an upright position before takeoff and landing;
(4) Location and means for opening the passenger entry door and emergency exits;
(5) Location of survival equipment;
(6) If the flight involves extended overwater operation, ditching procedures and the use of required flotation equipment;
(7) If the flight involves operations above 12,000 feet MSL, the normal and emergency use of oxygen; and
(8) Location and operation of fire extinguishers.
(9) If a rotorcraft operation involves flight beyond autorotational distance from the shoreline, as defined in § 135.168(a), use of life preservers, ditching procedures and emergency exit from the rotorcraft in the event of a ditching; and the location and use of life rafts and other life preserver devices if applicable.
(b) Before each takeoff the pilot in command shall ensure that each person who may need the assistance of another person to move expeditiously to an exit if an emergency occurs and that person's attendant, if any, has received a briefing as to the procedures to be followed if an evacuation occurs. This paragraph does not apply to a person who has been given a briefing before a previous leg of a flight in the same aircraft.
(c) The oral briefing required by paragraph (a) of this section shall be given by the pilot in command or a crewmember.
(d) Notwithstanding the provisions of paragraph (c) of this section, for aircraft certificated to carry 19 passengers or less, the oral briefing required by paragraph (a) of this section shall be given by the pilot in command, a crewmember, or other qualified person designated by the certificate holder and approved by the Administrator.
(e) The oral briefing required by paragraph (a) of this section must be supplemented by printed cards which must be carried in the aircraft in locations convenient for the use of each passenger. The cards must—
(1) Be appropriate for the aircraft on which they are to be used;
(2) Contain a diagram of, and method of operating, the emergency exits;
(3) Contain other instructions necessary for the use of emergency equipment on board the aircraft; and
(4) No later than June 12, 2005, for scheduled Commuter passenger-carrying flights, include the sentence, “Final assembly of this aircraft was completed in [INSERT NAME OF COUNTRY].”
(f) The briefing required by paragraph (a) may be delivered by means of an approved recording playback device that is audible to each passenger under normal noise levels.
(g) If any passengers on board a flight conducted under this part are secured with a supplemental restraint system, the pilot in command of that flight must ensure those passengers are briefed in accordance with § 91.108(g) of this chapter.
No person may, while on board an aircraft being operated by a certificate holder, carry on or about that person a deadly or dangerous weapon, either concealed or unconcealed. This section does not apply to—
(a) Officials or employees of a municipality or a State, or of the United States, who are authorized to carry arms; or
(b) Crewmembers and other persons authorized by the certificate holder to carry arms.
No person may assault, threaten, intimidate, or interfere with a crewmember in the performance of the crewmember's duties aboard an aircraft being operated under this part.
(a) No person may drink any alcoholic beverage aboard an aircraft unless the certificate holder operating the aircraft has served that beverage.
(b) No certificate holder may serve any alcoholic beverage to any person aboard its aircraft if that person appears to be intoxicated.
(c) No certificate holder may allow any person to board any of its aircraft if that person appears to be intoxicated.
(a) No certificate holder may move an aircraft on the surface, take off, or land when any food, beverage, or tableware furnished by the certificate holder is located at any passenger seat.
(b) No certificate holder may move an aircraft on the surface, take off, or land unless each food and beverage tray and seat back tray table is secured in its stowed position.
(c) No certificate holder may permit an aircraft to move on the surface, take off, or land unless each passenger serving cart is secured in its stowed position.
(d) Each passenger shall comply with instructions given by a crewmember with regard to compliance with this section.
(a) Each certificate holder shall assign to each required crewmember for each type of aircraft as appropriate, the necessary functions to be performed in an emergency or in a situation requiring emergency evacuation. The certificate holder shall ensure that those functions can be practicably accomplished, and will meet any reasonably anticipated emergency including incapacitation of individual crewmembers or their inability to reach the passenger cabin because of shifting cargo in combination cargo-passenger aircraft.
(b) The certificate holder shall describe in the manual required under § 135.21 the functions of each category of required crewmembers assigned under paragraph (a) of this section.
Certificate holders conducting operators conducting operations under this part must comply with the applicable security requirements in 49 CFR chapter XII.
(a) No person may conduct a scheduled flight on which smoking is prohibited by part 252 of this title unless the “No Smoking” passenger information signs are lighted during the entire flight, or one or more “No Smoking” placards meeting the requirements of § 25.1541 of this chapter are posted during the entire flight. If both the lighted signs and the placards are used, the signs must remain lighted during the entire flight segment.
(b) No person may smoke while a “No Smoking” sign is lighted or while “No Smoking” placards are posted, except as follows:
(1) On-demand operations. The pilot in command of an aircraft engaged in an on-demand operation may authorize smoking on the flight deck (if it is physically separated from any passenger compartment), except in any of the following situations:
(i) During aircraft movement on the surface or during takeoff or landing;
(ii) During scheduled passenger-carrying public charter operations conducted under part 380 of this title;
(iii) During on-demand operations conducted interstate that meet paragraph (2) of the definition “On-demand operation” in § 110.2 of this chapter, unless permitted under paragraph (b)(2) of this section; or
(iv) During any operation where smoking is prohibited by part 252 of this title or by international agreement.
(2) Certain intrastate commuter operations and certain intrastate on-demand operations. Except during aircraft movement on the surface or during takeoff or landing, a pilot in command of an aircraft engaged in a commuter operation or an on-demand operation that meets paragraph (2) of the definition of “On-demand operation” in § 110.2 of this chapter may authorize smoking on the flight deck (if it is physically separated from the passenger compartment, if any) if—
(i) Smoking on the flight deck is not otherwise prohibited by part 252 of this title;
(ii) The flight is conducted entirely within the same State of the United States (a flight from one place in Hawaii to another place in Hawaii through the airspace over a place outside Hawaii is not entirely within the same State); and
(iii) The aircraft is either not turbojet-powered or the aircraft is not capable of carrying at least 30 passengers.
(c) No person may smoke in any aircraft lavatory.
(d) No person may operate an aircraft with a lavatory equipped with a smoke detector unless there is in that lavatory a sign or placard which reads: “Federal law provides for a penalty of up to $2,000 for tampering with the smoke detector installed in this lavatory.”
(e) No person may tamper with, disable, or destroy any smoke detector installed in any aircraft lavatory.
(f) On flight segments other than those described in paragraph (a) of this section, the “No Smoking” sign required by § 135.177(a)(3) of this part must be turned on during any movement of the aircraft on the surface, for each takeoff or landing, and at any other time considered necessary by the pilot in command.
(g) The passenger information requirements prescribed in § 91.517 (b) and (d) of this chapter are in addition to the requirements prescribed in this section.
(h) Each passenger shall comply with instructions given him or her by crewmembers regarding compliance with paragraphs (b), (c), and (e) of this section.
(a) Except as provided in this paragraph, each person on board an aircraft operated under this part shall occupy an approved seat or berth with a separate safety belt properly secured about him or her during movement on the surface, takeoff, and landing. For seaplane and float equipped rotorcraft operations during movement on the surface, the person pushing off the seaplane or rotorcraft from the dock and the person mooring the seaplane or rotorcraft at the dock are excepted from the preceding seating and safety belt requirements. A safety belt provided for the occupant of a seat may not be used by more than one person who has reached his or her second birthday. Notwithstanding the preceding requirements, a child may:
(1) Be held by an adult, except as outlined in § 91.108(j) of this chapter, who is occupying an approved seat or berth, provided the child has not reached his or her second birthday and the child does not occupy or use any restraining device; or
(2) Notwithstanding any other requirement of this chapter, occupy an approved child restraint system furnished by the certificate holder or one of the persons described in paragraph (a)(2)(i) of this section, provided:
(i) The child is accompanied by a parent, guardian, or attendant designated by the child's parent or guardian to attend to the safety of the child during the flight;
(ii) Except as provided in paragraph (a)(2)(ii)(D) of this section, the approved child restraint system bears one or more labels as follows:
(A) Seats manufactured to U.S. standards between January 1, 1981, and February 25, 1985, must bear the label: “This child restraint system conforms to all applicable Federal motor vehicle safety standards”;
(B) Seats manufactured to U.S. standards on or after February 26, 1985, must bear two labels:
(1) “This child restraint system conforms to all applicable Federal motor vehicle safety standards”; and
(2) “THIS RESTRAINT IS CERTIFIED FOR USE IN MOTOR VEHICLES AND AIRCRAFT” in red lettering;
(C) Seats that do not qualify under paragraphs (a)(2)(ii)(A) and (a)(2)(ii)(B) of this section must bear a label or markings showing:
(1) That the seat was approved by a foreign government;
(2) That the seat was manufactured under the standards of the United Nations;
(3) That the seat or child restraint device furnished by the certificate holder was approved by the FAA through Type Certificate or Supplemental Type Certificate; or
(4) That the seat or child restraint device furnished by the certificate holder, or one of the persons described in paragraph (a)(2)(i) of this section, was approved by the FAA in accordance with § 21.8(d) of this chapter or Technical Standard Order C-100b, or a later version. The child restraint device manufactured by AmSafe, Inc. (CARES, Part No. 4082) and approved by the FAA in accordance with § 21.305(d) (2010 ed.) of this chapter may continue to bear a label or markings showing FAA approval in accordance with § 21.305(d) (2010 ed.) of this chapter.
(D) Except as provided in § 135.128(a)(2)(ii)(C)(3) and § 135.128(a)(2)(ii)(C)(4), booster-type child restraint systems (as defined in Federal Motor Vehicle Safety Standard No. 213 (49 CFR 571.213)), vest- and harness-type child restraint systems, and lap held child restraints are not approved for use in aircraft; and
(iii) The certificate holder complies with the following requirements:
(A) The restraint system must be properly secured to an approved forward-facing seat or berth;
(B) The child must be properly secured in the restraint system and must not exceed the specified weight limit for the restraint system; and
(C) The restraint system must bear the appropriate label(s).
(b) Except as provided in paragraph (b)(3) of this section, the following prohibitions apply to certificate holders:
(1) Except as provided in § 135.128 (a)(2)(ii)(C)(3) and § 135.128 (a)(2)(ii)(C)(4), no certificate holder may permit a child, in an aircraft, to occupy a booster-type child restraint system, a vest-type child restraint system, a harness-type child restraint system, or a lap held child restraint system during take off, landing, and movement on the surface.
(2) Except as required in paragraph (b)(1) of this section, no certificate holder may prohibit a child, if requested by the child's parent, guardian, or designated attendant, from occupying a child restraint system furnished by the child's parent, guardian, or designated attendant provided:
(i) The child holds a ticket for an approved seat or berth or such seat or berth is otherwise made available by the certificate holder for the child's use;
(ii) The requirements of paragraph (a)(2)(i) of this section are met;
(iii) The requirements of paragraph (a)(2)(iii) of this section are met; and
(iv) The child restraint system has one or more of the labels described in paragraphs (a)(2)(ii)(A) through (a)(2)(ii)(C) of this section.
(3) This section does not prohibit the certificate holder from providing child restraint systems authorized by this or, consistent with safe operating practices, determining the most appropriate passenger seat location for the child restraint system.
(a)(1) Applicability. This section applies to all certificate holders operating under this part, except for on-demand operations with aircraft having 19 or fewer passenger seats and commuter operations with aircraft having 9 or fewer passenger seats.
(2) Duty to make determination of suitability. Each certificate holder shall determine, to the extent necessary to perform the applicable functions of paragraph (d) of this section, the suitability of each person it permits to occupy an exit seat. For the purpose of this section—
(i) Exit seat means—
(A) Each seat having direct access to an exit; and
(B) Each seat in a row of seats through which passengers would have to pass to gain access to an exit, from the first seat inboard of the exit to the first aisle inboard of the exit.
(ii) A passenger seat having direct access means a seat from which a passenger can proceed directly to the exit without entering an aisle or passing around an obstruction.
(3) Persons designated to make determination. Each certificate holder shall make the passenger exit seating determinations required by this paragraph in a non-discriminatory manner consistent with the requirements of this section, by persons designated in the certificate holder's required operations manual.
(4) Submission of designation for approval. Each certificate holder shall designate the exit seats for each passenger seating configuration in its fleet in accordance with the definitions in this paragraph and submit those designations for approval as part of the procedures required to be submitted for approval under paragraphs (n) and (p) of this section.
(b) No certificate holder may seat a person in a seat affected by this section if the certificate holder determines that it is likely that the person would be unable to perform one or more of the applicable functions listed in paragraph (d) of this section because—
(1) The person lacks sufficient mobility, strength, or dexterity in both arms and hands, and both legs:
(i) To reach upward, sideways, and downward to the location of emergency exit and exit-slide operating mechanisms;
(ii) To grasp and push, pull, turn, or otherwise manipulate those mechanisms;
(iii) To push, shove, pull, or otherwise open emergency exits;
(iv) To lift out, hold, deposit on nearby seats, or maneuver over the seatbacks to the next row objects the size and weight of over-wing window exit doors;
(v) To remove obstructions of size and weight similar over-wing exit doors;
(vi) To reach the emergency exit expeditiously;
(vii) To maintain balance while removing obstructions;
(viii) To exit expeditiously;
(ix) To stabilize an escape slide after deployment; or
(x) To assist others in getting off an escape slide;
(2) The person is less than 15 years of age or lacks the capacity to perform one or more of the applicable functions listed in paragraph (d) of this section without the assistance of an adult companion, parent, or other relative;
(3) The person lacks the ability to read and understand instructions required by this section and related to emergency evacuation provided by the certificate holder in printed or graphic form or the ability to understand oral crew commands.
(4) The person lacks sufficient visual capacity to perform one or more of the applicable functions in paragraph (d) of this section without the assistance of visual aids beyond contact lenses or eyeglasses;
(5) The person lacks sufficient aural capacity to hear and understand instructions shouted by flight attendants, without assistance beyond a hearing aid;
(6) The person lacks the ability adequately to impart information orally to other passengers; or,
(7) The person has:
(i) A condition or responsibilities, such as caring for small children, that might prevent the person from performing one or more of the applicable functions listed in paragraph (d) of this section; or
(ii) A condition that might cause the person harm if he or she performs one or more of the applicable functions listed in paragraph (d) of this section.
(c) Each passenger shall comply with instructions given by a crewmember or other authorized employee of the certificate holder implementing exit seating restrictions established in accordance with this section.
(d) Each certificate holder shall include on passenger information cards, presented in the language in which briefings and oral commands are given by the crew, at each exit seat affected by this section, information that, in the event of an emergency in which a crewmember is not available to assist, a passenger occupying an exit seat may use if called upon to perform the following functions:
(1) Locate the emergency exit;
(2) Recognize the emergency exit opening mechanism;
(3) Comprehend the instructions for operating the emergency exit;
(4) Operate the emergency exit;
(5) Assess whether opening the emergency exit will increase the hazards to which passengers may be exposed;
(6) Follow oral directions and hand signals given by a crewmember;
(7) Stow or secure the emergency exit door so that it will not impede use of the exit;
(8) Assess the condition of an escape slide, activate the slide, and stabilize the slide after deployment to assist others in getting off the slide;
(9) Pass expeditiously through the emergency exit; and
(10) Assess, select, and follow a safe path away from the emergency exit.
(e) Each certificate holder shall include on passenger information cards, at each exit seat—
(1) In the primary language in which emergency commands are given by the crew, the selection criteria set forth in paragraph (b) of this section, and a request that a passenger identify himself or herself to allow reseating if he or she—
(i) Cannot meet the selection criteria set forth in paragraph (b) of this section;
(ii) Has a nondiscernible condition that will prevent him or her from performing the applicable functions listed in paragraph (d) of this section;
(iii) May suffer bodily harm as the result of performing one or more of those functions; or
(iv) Does not wish to perform those functions; and,
(2) In each language used by the certificate holder for passenger information cards, a request that a passenger identify himself or herself to allow reseating if he or she lacks the ability to read, speak, or understand the language or the graphic form in which instructions required by this section and related to emergency evacuation are provided by the certificate holder, or the ability to understand the specified language in which crew commands will be given in an emergency;
(3) May suffer bodily harm as the result of performing one or more of those functions; or,
(4) Does not wish to perform those functions.
(f) Each certificate holder shall make available for inspection by the public at all passenger loading gates and ticket counters at each airport where it conducts passenger operations, written procedures established for making determinations in regard to exit row seating.
(g) No certificate holder may allow taxi or pushback unless at least one required crewmember has verified that no exit seat is occupied by a person the crewmember determines is likely to be unable to perform the applicable functions listed in paragraph (d) of this section.
(h) Each certificate holder shall include in its passenger briefings a reference to the passenger information cards, required by paragraphs (d) and (e), the selection criteria set forth in paragraph (b), and the functions to be performed, set forth in paragraph (d) of this section.
(i) Each certificate holder shall include in its passenger briefings a request that a passenger identify himself or herself to allow reseating if he or she—
(1) Cannot meet the selection criteria set forth in paragraph (b) of this section;
(2) Has a nondiscernible condition that will prevent him or her from performing the applicable functions listed in paragraph (d) of this section;
(3) May suffer bodily harm as the result of performing one or more of those functions; or,
(4) Does not wish to perform those functions.
(j) [Reserved]
(k) In the event a certificate holder determines in accordance with this section that it is likely that a passenger assigned to an exit seat would be unable to perform the functions listed in paragraph (d) of this section or a passenger requests a non-exit seat, the certificate holder shall expeditiously relocate the passenger to a non-exit seat.
(l) In the event of full booking in the non-exit seats and if necessary to accommodate a passenger being relocated from an exit seat, the certificate holder shall move a passenger who is willing and able to assume the evacuation functions that may be required, to an exit seat.
(m) A certificate holder may deny transportation to any passenger under this section only because—
(1) The passenger refuses to comply with instructions given by a crewmember or other authorized employee of the certificate holder implementing exit seating restrictions established in accordance with this section, or
(2) The only seat that will physically accommodate the person's handicap is an exit seat.
(n) In order to comply with this section certificate holders shall—
(1) Establish procedures that address:
(i) The criteria listed in paragraph (b) of this section;
(ii) The functions listed in paragraph (d) of this section;
(iii) The requirements for airport information, passenger information cards, crewmember verification of appropriate seating in exit seats, passenger briefings, seat assignments, and denial of transportation as set forth in this section;
(iv) How to resolve disputes arising from implementation of this section, including identification of the certificate holder employee on the airport to whom complaints should be addressed for resolution; and,
(2) Submit their procedures for preliminary review and approval to the principal operations inspectors assigned to them at the responsible Flight Standards office.
(o) Certificate holders shall assign seats prior to boarding consistent with the criteria listed in paragraph (b) and the functions listed in paragraph (d) of this section, to the maximum extent feasible.
(p) The procedures required by paragraph (n) of this section will not become effective until final approval is granted by the Executive Director, Flight Standards Service, Washington, DC. Approval will be based solely upon the safety aspects of the certificate holder's procedures.
This subpart prescribes aircraft and equipment requirements for operations under this part. The requirements of this subpart are in addition to the aircraft and equipment requirements of part 91 of this chapter. However, this part does not require the duplication of any equipment required by this chapter.
(a) No person may operate an aircraft under this part unless that aircraft and its equipment meet the applicable regulations of this chapter.
(b) Except as provided in § 135.179, no person may operate an aircraft under this part unless the required instruments and equipment in it have been approved and are in an operable condition.
(c) ATC transponder equipment installed within the time periods indicated below must meet the performance and environmental requirements of the following TSO's:
(1) Through January 1, 1992: (i) Any class of TSO-C74b or any class of TSO-C74c as appropriate, provided that the equipment was manufactured before January 1, 1990; or
(ii) The appropriate class of TSO-C112 (Mode S).
(2) After January 1, 1992: The appropriate class of TSO-C112 (Mode S). For purposes of paragraph (c)(2) of this section, “installation” does not include—
(i) Temporary installation of TSO-C74b or TSO-C74c substitute equipment, as appropriate, during maintenance of the permanent equipment;
(ii) Reinstallation of equipment after temporary removal for maintenance; or
(iii) For fleet operations, installation of equipment in a fleet aircraft after removal of the equipment for maintenance from another aircraft in the same operator's fleet.
(a) Except as provided in paragraph (b) of this section, no person may operate, nor may any operator or pilot in command of an aircraft allow the operation of, any portable electronic device on any U.S.-registered civil aircraft operating under this part.
(b) Paragraph (a) of this section does not apply to—
(1) Portable voice recorders;
(2) Hearing aids;
(3) Heart pacemakers;
(4) Electric shavers;
(5) Portable oxygen concentrators that comply with the requirements in § 135.91; or
(6) Any other portable electronic device that the part 119 certificate holder has determined will not cause interference with the navigation or communication system of the aircraft on which it is to be used.
(c). The determination required by paragraph (b)(6) of this section shall be made by that part 119 certificate holder operating the aircraft on which the particular device is to be used.
(a) No certificate holder may operate an aircraft, other than a turbojet aircraft, for which two pilots are required by this chapter for operations under VFR, if it has not previously proved such an aircraft in operations under this part in at least 25 hours of proving tests acceptable to the Administrator including—
(1) Five hours of night time, if night flights are to be authorized;
(2) Five instrument approach procedures under simulated or actual conditions, if IFR flights are to be authorized; and
(3) Entry into a representative number of en route airports as determined by the Administrator.
(b) No certificate holder may operate a turbojet airplane if it has not previously proved a turbojet airplane in operations under this part in at least 25 hours of proving tests acceptable to the Administrator including—
(1) Five hours of night time, if night flights are to be authorized;
(2) Five instrument approach procedures under simulated or actual conditions, if IFR flights are to be authorized; and
(3) Entry into a representative number of en route airports as determined by the Administrator.
(c) No certificate holder may carry passengers in an aircraft during proving tests, except those needed to make the tests and those designated by the Administrator to observe the tests. However, pilot flight training may be conducted during the proving tests.
(d) Validation testing is required to determine that a certificate holder is capable of conducting operations safely and in compliance with applicable regulatory standards. Validation tests are required for the following authorizations:
(1) The addition of an aircraft for which two pilots are required for operations under VFR or a turbojet airplane, if that aircraft or an aircraft of the same make or similar design has not been previously proved or validated in operations under this part.
(2) Operations outside U.S. airspace.
(3) Class II navigation authorizations.
(4) Special performance or operational authorizations.
(e) Validation tests must be accomplished by test methods acceptable to the Administrator. Actual flights may not be required when an applicant can demonstrate competence and compliance with appropriate regulations without conducting a flight.
(f) Proving tests and validation tests may be conducted simultaneously when appropriate.
(g) The Administrator may authorize deviations from this section if the Administrator finds that special circumstances make full compliance with this section unnecessary.
No person may operate an aircraft in operations requiring two pilots unless it is equipped with functioning dual controls. However, if the aircraft type certification operating limitations do not require two pilots, a throwover control wheel may be used in place of two control wheels.
No person may operate an aircraft unless it is equipped with—
(a) A sensitive altimeter that is adjustable for barometric pressure;
(b) Heating or deicing equipment for each carburetor or, for a pressure carburetor, an alternate air source;
(c) For turbojet airplanes, in addition to two gyroscopic bank-and-pitch indicators (artificial horizons) for use at the pilot stations, a third indicator that is installed in accordance with the instrument requirements prescribed in § 121.305(j) of this chapter.
(d) [Reserved]
(e) For turbine powered aircraft, any other equipment as the Administrator may require.
No person may operate an aircraft having a passenger seating configuration, excluding any pilot seat, of more than 19 unless it is equipped with—
(a) A public address system which—
(1) Is capable of operation independent of the crewmember interphone system required by paragraph (b) of this section, except for handsets, headsets, microphones, selector switches, and signaling devices;
(2) Is approved in accordance with § 21.305 of this chapter;
(3) Is accessible for immediate use from each of two flight crewmember stations in the pilot compartment;
(4) For each required floor-level passenger emergency exit which has an adjacent flight attendant seat, has a microphone which is readily accessible to the seated flight attendant, except that one microphone may serve more than one exit, provided the proximity of the exits allows unassisted verbal communication between seated flight attendants;
(5) Is capable of operation within 10 seconds by a flight attendant at each of those stations in the passenger compartment from which its use is accessible;
(6) Is audible at all passenger seats, lavatories, and flight attendant seats and work stations; and
(7) For transport category airplanes manufactured on or after November 27, 1990, meets the requirements of § 25.1423 of this chapter.
(b) A crewmember interphone system which—
(1) Is capable of operation independent of the public address system required by paragraph (a) of this section, except for handsets, headsets, microphones, selector switches, and signaling devices;
(2) Is approved in accordance with § 21.305 of this chapter;
(3) Provides a means of two-way communication between the pilot compartment and—
(i) Each passenger compartment; and
(ii) Each galley located on other than the main passenger deck level;
(4) Is accessible for immediate use from each of two flight crewmember stations in the pilot compartment;
(5) Is accessible for use from at least one normal flight attendant station in each passenger compartment;
(6) Is capable of operation within 10 seconds by a flight attendant at each of those stations in each passenger compartment from which its use is accessible; and
(7) For large turbojet-powered airplanes—
(i) Is accessible for use at enough flight attendant stations so that all floor-level emergency exits (or entryways to those exits in the case of exits located within galleys) in each passenger compartment are observable from one or more of those stations so equipped;
(ii) Has an alerting system incorporating aural or visual signals for use by flight crewmembers to alert flight attendants and for use by flight attendants to alert flight crewmembers;
(iii) For the alerting system required by paragraph (b)(7)(ii) of this section, has a means for the recipient of a call to determine whether it is a normal call or an emergency call; and
(iv) When the airplane is on the ground, provides a means of two-way communication between ground personnel and either of at least two flight crewmembers in the pilot compartment. The interphone system station for use by ground personnel must be so located that personnel using the system may avoid visible detection from within the airplane.
(a) No person may operate a multiengine, turbine-powered airplane or rotorcraft having a passenger seating configuration of six or more and for which two pilots are required by certification or operating rules unless it is equipped with an approved cockpit voice recorder that:
(1) Is installed in compliance with § 23.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g); § 25.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g), § 27.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g); or § 29.1457(a)(1) and (2), (b), (c), (d)(1)(i), (2) and (3), (e), (f), and (g) of this chapter, as applicable; and
(2) Is operated continuously from the use of the check list before the flight to completion of the final check list at the end of the flight.
(b) No person may operate a multiengine, turbine-powered airplane or rotorcraft having a passenger seating configuration of 20 or more seats unless it is equipped with an approved cockpit voice recorder that—
(1) Is installed in accordance with the requirements of § 23.1457 (except paragraphs (a)(6), (d)(1)(ii), (4), and (5)); § 25.1457 (except paragraphs (a)(6), (d)(1)(ii), (4), and (5)); § 27.1457 (except paragraphs (a)(6), (d)(1)(ii), (4), and (5)); or § 29.1457 (except paragraphs (a)(6), (d)(1)(ii), (4), and (5)) of this chapter, as applicable; and
(2) Is operated continuously from the use of the check list before the flight to completion of the final check list at the end of the flight.
(c) In the event of an accident, or occurrence requiring immediate notification of the National Transportation Safety Board which results in termination of the flight, the certificate holder shall keep the recorded information for at least 60 days or, if requested by the Administrator or the Board, for a longer period. Information obtained from the record may be used to assist in determining the cause of accidents or occurrences in connection with investigations. The Administrator does not use the record in any civil penalty or certificate action.
(d) For those aircraft equipped to record the uninterrupted audio signals received by a boom or a mask microphone the flight crewmembers are required to use the boom microphone below 18,000 feet mean sea level. No person may operate a large turbine engine powered airplane manufactured after October 11, 1991, or on which a cockpit voice recorder has been installed after October 11, 1991, unless it is equipped to record the uninterrupted audio signal received by a boom or mask microphone in accordance with § 25.1457(c)(5) of this chapter.
(e) In complying with this section, an approved cockpit voice recorder having an erasure feature may be used, so that during the operation of the recorder, information:
(1) Recorded in accordance with paragraph (a) of this section and recorded more than 15 minutes earlier; or
(2) Recorded in accordance with paragraph (b) of this section and recorded more than 30 minutes earlier; may be erased or otherwise obliterated.
(f) By April 7, 2012, all airplanes subject to paragraph (a) or paragraph (b) of this section that are manufactured before April 7, 2010, and that are required to have a flight data recorder installed in accordance with § 135.152, must have a cockpit voice recorder that also—
(1) Meets the requirements in § 23.1457(d)(6) or § 25.1457(d)(6) of this chapter, as applicable; and
(2) If transport category, meet the requirements in § 25.1457(a)(3), (a)(4), and (a)(5) of this chapter.
(g)(1) No person may operate a multiengine, turbine-powered airplane or rotorcraft that is manufactured on or after April 7, 2010, that has a passenger seating configuration of six or more seats, for which two pilots are required by certification or operating rules, and that is required to have a flight data recorder under § 135.152, unless it is equipped with an approved cockpit voice recorder that also—
(i) Is installed in accordance with the requirements of § 23.1457 (except for paragraph (a)(6)); § 25.1457 (except for paragraph (a)(6)); § 27.1457 (except for paragraph (a)(6)); or § 29.1457 (except for paragraph (a)(6)) of this chapter, as applicable; and
(ii) Is operated continuously from the use of the check list before the flight, to completion of the final check list at the end of the flight; and
(iii) Retains at least—
(A) The last 25 hours of recorded information using a recorder that meets the standards of TSO-C123c, or later revision, if:
(1) Manufactured on or after May 16, 2025, for a transport category aircraft type-certificated with 30 or more passenger seats; or
(2) Manufactured on or after February 2, 2027, for airplanes or rotorcraft with a maximum certified takeoff weight (MCTOW) of 59,525 pounds or more and type-certificated with 29 or fewer passenger seats; or
(3) Manufactured on or after February 2, 2029, for airplanes or rotorcraft with a maximum certified takeoff weight (MCTOW) of 59,524 pounds or less.
(B) The last 2 hours of recorded information using a recorder that meets the standards of TSO-C123a, or later revision, unless the airplane or rotorcraft meets the manufacturing date and requirements found in paragraphs (g)(1)(iii)(A)(1), (g)(1)(iii)(A)(2), or (g)(1)(iii)(A)(3) of this section.
(iv) For all airplanes or rotorcraft manufactured on or after December 6, 2010, also meets the requirements of § 23.1457(a)(6); § 25.1457(a)(6); § 27.1457(a)(6); or § 29.457(a)(6) of this chapter, as applicable.
(2) No person may operate a multiengine, turbine-powered airplane or rotorcraft that is manufactured on or after April 7, 2010, has a passenger seating configuration of 20 or more seats, and that is required to have a flight data recorder under § 135.152, unless it is equipped with an approved cockpit voice recorder that also—
(i) Is installed in accordance with the requirements of § 23.1457 (except for paragraph (a)(6)); § 25.1457 (except for paragraph (a)(6)); § 27.1457 (except for paragraph (a)(6)); or § 29.1457 (except for paragraph (a)(6)) of this chapter, as applicable; and
(ii) Is operated continuously from the use of the check list before the flight, to completion of the final check list at the end of the flight; and
(iii) Retains at least—
(A) The last 25 hours of recorded information using a recorder that meets the standards of TSO-C123c, or later revision, if:
(1) Manufactured on or after May 16, 2025, for airplanes or rotorcraft type-certificated with 30 or more passenger seats; or
(2) Manufactured on or after February 2, 2027, for airplanes or rotorcraft with a maximum certified takeoff weight (MCTOW) of 59,525 pounds or more and type-certificated with 29 or fewer passenger seats; or
(3) Manufactured on or after February 2, 2029, for airplanes or rotorcraft with a maximum certified takeoff weight (MCTOW) of 59,524 pounds or less.
(B) The last 2 hours of recorded information using a recorder that meets the standards of TSO-C123a, or later revision, unless the airplane or rotorcraft meets the manufacturing date and requirements found in paragraphs (g)(2)(iii)(A)(1), (g)(2)(iii)(A)(2), or (g)(2)(iii)(A)(3) of this section.
(iv) For all airplanes or rotorcraft manufactured on or after December 6, 2010, also meets the requirements of § 23.1457(a)(6); § 25.1457(a)(6); § 27.1457(a)(6); or § 29.457(a)(6) of this chapter, as applicable.
(h) All airplanes or rotorcraft required by this part to have a cockpit voice recorder and a flight data recorder, that install datalink communication equipment on or after December 6, 2010, must record all datalink messages as required by the certification rule applicable to the aircraft.
(a) Except as provided in paragraph (k) of this section, no person may operate under this part a multi-engine, turbine-engine powered airplane or rotorcraft having a passenger seating configuration, excluding any required crewmember seat, of 10 to 19 seats, that was either brought onto the U.S. register after, or was registered outside the United States and added to the operator's U.S. operations specifications after, October 11, 1991, unless it is equipped with one or more approved flight recorders that use a digital method of recording and storing data and a method of readily retrieving that data from the storage medium. The parameters specified in either Appendix B or C of this part, as applicable must be recorded within the range, accuracy, resolution, and recording intervals as specified. The recorder shall retain no less than 25 hours of aircraft operation.
(b) After October 11, 1991, no person may operate a multiengine, turbine-powered airplane having a passenger seating configuration of 20 to 30 seats or a multiengine, turbine-powered rotorcraft having a passenger seating configuration of 20 or more seats unless it is equipped with one or more approved flight recorders that utilize a digital method of recording and storing data, and a method of readily retrieving that data from the storage medium. The parameters in appendix D or E of this part, as applicable, that are set forth below, must be recorded within the ranges, accuracies, resolutions, and sampling intervals as specified.
(1) Except as provided in paragraph (b)(3) of this section for aircraft type certificated before October 1, 1969, the following parameters must be recorded:
(i) Time;
(ii) Altitude;
(iii) Airspeed;
(iv) Vertical acceleration;
(v) Heading;
(vi) Time of each radio transmission to or from air traffic control;
(vii) Pitch attitude;
(viii) Roll attitude;
(ix) Longitudinal acceleration;
(x) Control column or pitch control surface position; and
(xi) Thrust of each engine.
(2) Except as provided in paragraph (b)(3) of this section for aircraft type certificated after September 30, 1969, the following parameters must be recorded:
(i) Time;
(ii) Altitude;
(iii) Airspeed;
(iv) Vertical acceleration;
(v) Heading;
(vi) Time of each radio transmission either to or from air traffic control;
(vii) Pitch attitude;
(viii) Roll attitude;
(ix) Longitudinal acceleration;
(x) Pitch trim position;
(xi) Control column or pitch control surface position;
(xii) Control wheel or lateral control surface position;
(xiii) Rudder pedal or yaw control surface position;
(xiv) Thrust of each engine;
(xv) Position of each thrust reverser;
(xvi) Trailing edge flap or cockpit flap control position; and
(xvii) Leading edge flap or cockpit flap control position.
(3) For aircraft manufactured after October 11, 1991, all of the parameters listed in appendix D or E of this part, as applicable, must be recorded.
(c) Whenever a flight recorder required by this section is installed, it must be operated continuously from the instant the airplane begins the takeoff roll or the rotorcraft begins the lift-off until the airplane has completed the landing roll or the rotorcraft has landed at its destination.
(d) Except as provided in paragraph (c) of this section, and except for recorded data erased as authorized in this paragraph, each certificate holder shall keep the recorded data prescribed in paragraph (a) of this section until the aircraft has been operating for at least 25 hours of the operating time specified in paragraph (c) of this section. In addition, each certificate holder shall keep the recorded data prescribed in paragraph (b) of this section for an airplane until the airplane has been operating for at least 25 hours, and for a rotorcraft until the rotorcraft has been operating for at least 10 hours, of the operating time specified in paragraph (c) of this section. A total of 1 hour of recorded data may be erased for the purpose of testing the flight recorder or the flight recorder system. Any erasure made in accordance with this paragraph must be of the oldest recorded data accumulated at the time of testing. Except as provided in paragraph (c) of this section, no record need be kept more than 60 days.
(e) In the event of an accident or occurrence that requires the immediate notification of the National Transportation Safety Board under 49 CFR part 830 of its regulations and that results in termination of the flight, the certificate holder shall remove the recording media from the aircraft and keep the recorded data required by paragraphs (a) and (b) of this section for at least 60 days or for a longer period upon request of the Board or the Administrator.
(f)(1) For airplanes manufactured on or before August 18, 2000, and all other aircraft, each flight recorder required by this section must be installed in accordance with the requirements of § 23.1459 (except paragraphs (a)(3)(ii) and (6)), § 25.1459 (except paragraphs (a)(3)(ii) and (7)), § 27.1459 (except paragraphs (a)(3)(ii) and (6)), or § 29.1459 (except paragraphs (a)(3)(ii) and (6)), as appropriate, of this chapter. The correlation required by paragraph (c) of §§ 23.1459, 25.1459, 27.1459, or 29.1459 of this chapter, as appropriate, need be established only on one aircraft of a group of aircraft:
(i) That are of the same type;
(ii) On which the flight recorder models and their installations are the same; and
(iii) On which there are no differences in the type designs with respect to the installation of the first pilot's instruments associated with the flight recorder. The most recent instrument calibration, including the recording medium from which this calibration is derived, and the recorder correlation must be retained by the certificate holder.
(2) For airplanes manufactured after August 18, 2000, each flight data recorder system required by this section must be installed in accordance with the requirements of § 23.1459(a) (except paragraphs (a)(3)(ii) and (6)), (b), (d) and (e), or § 25.1459(a) (except paragraphs (a)(3)(ii) and (7)), (b), (d) and (e) of this chapter. A correlation must be established between the values recorded by the flight data recorder and the corresponding values being measured. The correlation must contain a sufficient number of correlation points to accurately establish the conversion from the recorded values to engineering units or discrete state over the full operating range of the parameter. Except for airplanes having separate altitude and airspeed sensors that are an integral part of the flight data recorder system, a single correlation may be established for any group of airplanes—
(i) That are of the same type;
(ii) On which the flight recorder system and its installation are the same; and
(iii) On which there is no difference in the type design with respect to the installation of those sensors associated with the flight data recorder system. Documentation sufficient to convert recorded data into the engineering units and discrete values specified in the applicable appendix must be maintained by the certificate holder.
(g) Each flight recorder required by this section that records the data specified in paragraphs (a) and (b) of this section must have an approved device to assist in locating that recorder under water.
(h) The operational parameters required to be recorded by digital flight data recorders required by paragraphs (i) and (j) of this section are as follows, the phrase “when an information source is installed” following a parameter indicates that recording of that parameter is not intended to require a change in installed equipment.
(1) Time;
(2) Pressure altitude;
(3) Indicated airspeed;
(4) Heading—primary flight crew reference (if selectable, record discrete, true or magnetic);
(5) Normal acceleration (Vertical);
(6) Pitch attitude;
(7) Roll attitude;
(8) Manual radio transmitter keying, or CVR/DFDR synchronization reference;
(9) Thrust/power of each engine—primary flight crew reference;
(10) Autopilot engagement status;
(11) Longitudinal acceleration;
(12) Pitch control input;
(13) Lateral control input;
(14) Rudder pedal input;
(15) Primary pitch control surface position;
(16) Primary lateral control surface position;
(17) Primary yaw control surface position;
(18) Lateral acceleration;
(19) Pitch trim surface position or parameters of paragraph (h)(82) of this section if currently recorded;
(20) Trailing edge flap or cockpit flap control selection (except when parameters of paragraph (h)(85) of this section apply);
(21) Leading edge flap or cockpit flap control selection (except when parameters of paragraph (h)(86) of this section apply);
(22) Each Thrust reverser position (or equivalent for propeller airplane);
(23) Ground spoiler position or speed brake selection (except when parameters of paragraph (h)(87) of this section apply);
(24) Outside or total air temperature;
(25) Automatic Flight Control System (AFCS) modes and engagement status, including autothrottle;
(26) Radio altitude (when an information source is installed);
(27) Localizer deviation, MLS Azimuth;
(28) Glideslope deviation, MLS Elevation;
(29) Marker beacon passage;
(30) Master warning;
(31) Air/ground sensor (primary airplane system reference nose or main gear);
(32) Angle of attack (when information source is installed);
(33) Hydraulic pressure low (each system);
(34) Ground speed (when an information source is installed);
(35) Ground proximity warning system;
(36) Landing gear position or landing gear cockpit control selection;
(37) Drift angle (when an information source is installed);
(38) Wind speed and direction (when an information source is installed);
(39) Latitude and longitude (when an information source is installed);
(40) Stick shaker/pusher (when an information source is installed);
(41) Windshear (when an information source is installed);
(42) Throttle/power lever position;
(43) Additional engine parameters (as designated in appendix F of this part);
(44) Traffic alert and collision avoidance system;
(45) DME 1 and 2 distances;
(46) Nav 1 and 2 selected frequency;
(47) Selected barometric setting (when an information source is installed);
(48) Selected altitude (when an information source is installed);
(49) Selected speed (when an information source is installed);
(50) Selected mach (when an information source is installed);
(51) Selected vertical speed (when an information source is installed);
(52) Selected heading (when an information source is installed);
(53) Selected flight path (when an information source is installed);
(54) Selected decision height (when an information source is installed);
(55) EFIS display format;
(56) Multi-function/engine/alerts display format;
(57) Thrust command (when an information source is installed);
(58) Thrust target (when an information source is installed);
(59) Fuel quantity in CG trim tank (when an information source is installed);
(60) Primary Navigation System Reference;
(61) Icing (when an information source is installed);
(62) Engine warning each engine vibration (when an information source is installed);
(63) Engine warning each engine over temp. (when an information source is installed);
(64) Engine warning each engine oil pressure low (when an information source is installed);
(65) Engine warning each engine over speed (when an information source is installed;
(66) Yaw trim surface position;
(67) Roll trim surface position;
(68) Brake pressure (selected system);
(69) Brake pedal application (left and right);
(70) Yaw or sideslip angle (when an information source is installed);
(71) Engine bleed valve position (when an information source is installed);
(72) De-icing or anti-icing system selection (when an information source is installed);
(73) Computed center of gravity (when an information source is installed);
(74) AC electrical bus status;
(75) DC electrical bus status;
(76) APU bleed valve position (when an information source is installed);
(77) Hydraulic pressure (each system);
(78) Loss of cabin pressure;
(79) Computer failure;
(80) Heads-up display (when an information source is installed);
(81) Para-visual display (when an information source is installed);
(82) Cockpit trim control input position—pitch;
(83) Cockpit trim control input position—roll;
(84) Cockpit trim control input position—yaw;
(85) Trailing edge flap and cockpit flap control position;
(86) Leading edge flap and cockpit flap control position;
(87) Ground spoiler position and speed brake selection; and
(88) All cockpit flight control input forces (control wheel, control column, rudder pedal).
(i) For all turbine-engine powered airplanes with a seating configuration, excluding any required crewmember seat, of 10 to 30 passenger seats, manufactured after August 18, 2000—
(1) The parameters listed in paragraphs (h)(1) through (h)(57) of this section must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in Appendix F of this part.
(2) Commensurate with the capacity of the recording system, all additional parameters for which information sources are installed and which are connected to the recording system must be recorded within the ranges, accuracies, resolutions, and sampling intervals specified in Appendix F of this part.
(j) For all turbine-engine-powered airplanes with a seating configuration, excluding any required crewmember seat, of 10 to 30 passenger seats, that are manufactured after August 19, 2002, the parameters listed in paragraphs (h)(1) through (88) of this section must be recorded within the ranges, accuracies, resolutions, and recording intervals specified in appendix F to this part.
(k) For aircraft manufactured before August 18, 1997, the following aircraft types need not comply with this section: Bell 212, Bell 214ST, Bell 412, Bell 412SP, Boeing Chinook (BV-234), Boeing/Kawasaki Vertol 107 (BV/KV-107-II), deHavilland DHC-6, Eurocopter Puma 330J, Sikorsky 58, Sikorsky 61N, Sikorsky 76A.
(l) By April 7, 2012, all aircraft manufactured before April 7, 2010, must also meet the requirements in § 23.1459(a)(7), § 25.1459(a)(8), § 27.1459(e), or § 29.1459(e) of this chapter, as applicable.
(m) All aircraft manufactured on or after April 7, 2010, must have a flight data recorder installed that also—
(1) Meets the requirements of § 23.1459(a)(3), (a)(6), and (a)(7), § 25.1459(a)(3), (a)(7), and (a)(8), § 27.1459(a)(3), (a)(6), and (e), or § 29.1459(a)(3), (a)(6), and (e) of this chapter, as applicable; and
(2) Retains the 25 hours of recorded information required in paragraph (d) of this section using a recorder that meets the standards of TSO-C124a, or later revision.
(a) Airplanes manufactured after March 29, 2002:
(1) No person may operate a turbine-powered airplane configured with 10 or more passenger seats, excluding any pilot seat, unless that airplane is equipped with an approved terrain awareness and warning system that meets the requirements for Class A equipment in Technical Standard Order (TSO)-C151. The airplane must also include an approved terrain situational awareness display.
(2) No person may operate a turbine-powered airplane configured with 6 to 9 passenger seats, excluding any pilot seat, unless that airplane is equipped with an approved terrain awareness and warning system that meets as a minimum the requirements for Class B equipment in Technical Standard Order (TSO)-C151.
(b) Airplanes manufactured on or before March 29, 2002:
(1) No person may operate a turbine-powered airplane configured with 10 or more passenger seats, excluding any pilot seat, after March 29, 2005, unless that airplane is equipped with an approved terrain awareness and warning system that meets the requirements for Class A equipment in Technical Standard Order (TSO)-C151. The airplane must also include an approved terrain situational awareness display.
(2) No person may operate a turbine-powered airplane configured with 6 to 9 passenger seats, excluding any pilot seat, after March 29, 2005, unless that airplane is equipped with an approved terrain awareness and warning system that meets as a minimum the requirements for Class B equipment in Technical Standard Order (TSO)-C151.
(c) Airplane Flight Manual. The Airplane Flight Manual shall contain appropriate procedures for—
(1) The use of the terrain awareness and warning system; and
(2) Proper flight crew reaction in response to the terrain awareness and warning system audio and visual warnings.
No person may operate an aircraft carrying passengers unless it is equipped with hand fire extinguishers of an approved type for use in crew and passenger compartments as follows—
(a) The type and quantity of extinguishing agent must be suitable for the kinds of fires likely to occur;
(b) At least one hand fire extinguisher must be provided and conveniently located on the flight deck for use by the flight crew; and
(c) At least one hand fire extinguisher must be conveniently located in the passenger compartment of each aircraft having a passenger seating configuration, excluding any pilot seat, of at least 10 seats but less than 31 seats.
(a) A flight data signal is filtered when an original sensor signal has been changed in any way, other than changes necessary to:
(1) Accomplish analog to digital conversion of the signal;
(2) Format a digital signal to be DFDR compatible; or
(3) Eliminate a high frequency component of a signal that is outside the operational bandwidth of the sensor.
(b) An original sensor signal for any flight recorder parameter required to be recorded under § 135.152 may be filtered only if the recorded signal value continues to meet the requirements of Appendix D or F of this part, as applicable.
(c) For a parameter described in § 135.152(h)(12) through (17), (42), or (88), or the corresponding parameter in Appendix D of this part, if the recorded signal value is filtered and does not meet the requirements of Appendix D or F of this part, as applicable, the certificate holder must:
(1) Remove the filtering and ensure that the recorded signal value meets the requirements of Appendix D or F of this part, as applicable; or
(2) Demonstrate by test and analysis that the original sensor signal value can be reconstructed from the recorded data. This demonstration requires that:
(i) The FAA determine that the procedure and test results submitted by the certificate holder as its compliance with paragraph (c)(2) of this section are repeatable; and
(ii) The certificate holder maintains documentation of the procedure required to reconstruct the original sensor signal value. This documentation is also subject to the requirements of § 135.152(e).
(d) Compliance. Compliance is required as follows:
(1) No later than October 20, 2011, each operator must determine, for each aircraft on its operations specifications, whether the aircraft's DFDR system is filtering any of the parameters listed in paragraph (c) of this section. The operator must create a record of this determination for each aircraft it operates, and maintain it as part of the correlation documentation required by § 135.152 (f)(1)(iii) or (f)(2)(iii) of this part as applicable.
(2) For aircraft that are not filtering any listed parameter, no further action is required unless the aircraft's DFDR system is modified in a manner that would cause it to meet the definition of filtering on any listed parameter.
(3) For aircraft found to be filtering a parameter listed in paragraph (c) of this section the operator must either:
(i) No later than April 21, 2014, remove the filtering; or
(ii) No later than April 22, 2013, submit the necessary procedure and test results required by paragraph (c)(2) of this section.
(4) After April 21, 2014, no aircraft flight data recording system may filter any parameter listed in paragraph (c) of this section that does not meet the requirements of Appendix D or F of this part, unless the certificate holder possesses test and analysis procedures and the test results that have been approved by the FAA. All records of tests, analysis and procedures used to comply with this section must be maintained as part of the correlation documentation required by § 135.152 (f)(1)(iii) or (f)(2)(iii) of this part as applicable.
(a) Unpressurized aircraft. No person may operate an unpressurized aircraft at altitudes prescribed in this section unless it is equipped with enough oxygen dispensers and oxygen to supply the pilots under § 135.89(a) and to supply, when flying—
(1) At altitudes above 10,000 feet through 15,000 feet MSL, oxygen to at least 10 percent of the occupants of the aircraft, other than the pilots, for that part of the flight at those altitudes that is of more than 30 minutes duration; and
(2) Above 15,000 feet MSL, oxygen to each occupant of the aircraft other than the pilots.
(b) Pressurized aircraft. No person may operate a pressurized aircraft—
(1) At altitudes above 25,000 feet MSL, unless at least a 10-minute supply of supplemental oxygen is available for each occupant of the aircraft, other than the pilots, for use when a descent is necessary due to loss of cabin pressurization; and
(2) Unless it is equipped with enough oxygen dispensers and oxygen to comply with paragraph (a) of this section whenever the cabin pressure altitude exceeds 10,000 feet MSL and, if the cabin pressurization fails, to comply with § 135.89 (a) or to provide a 2-hour supply for each pilot, whichever is greater, and to supply when flying—
(i) At altitudes above 10,000 feet through 15,000 feet MSL, oxygen to at least 10 percent of the occupants of the aircraft, other than the pilots, for that part of the flight at those altitudes that is of more than 30 minutes duration; and
(ii) Above 15,000 feet MSL, oxygen to each occupant of the aircraft, other than the pilots, for one hour unless, at all times during flight above that altitude, the aircraft can safely descend to 15,000 feet MSL within four minutes, in which case only a 30-minute supply is required.
(c) The equipment required by this section must have a means—
(1) To enable the pilots to readily determine, in flight, the amount of oxygen available in each source of supply and whether the oxygen is being delivered to the dispensing units; or
(2) In the case of individual dispensing units, to enable each user to make those determinations with respect to that person's oxygen supply and delivery; and
(3) To allow the pilots to use undiluted oxygen at their discretion at altitudes above 25,000 feet MSL.
(a) Except as provided in paragraph (b) of this section, after April 12, 1981, no person may operate a transport category airplane equipped with a flight instrument pitot heating system unless the airplane is also equipped with an operable pitot heat indication system that complies with § 25.1326 of this chapter in effect on April 12, 1978.
(b) A certificate holder may obtain an extension of the April 12, 1981, compliance date specified in paragraph (a) of this section, but not beyond April 12, 1983, from the Executive Director, Flight Standards Service if the certificate holder—
(1) Shows that due to circumstances beyond its control it cannot comply by the specified compliance date; and
(2) Submits by the specified compliance date a schedule for compliance, acceptable to the Executive Director, indicating that compliance will be achieved at the earliest practicable date.
No person may operate an aircraft carrying passengers under VFR at night or under VFR over-the-top, unless it is equipped with—
(a) A gyroscopic rate-of-turn indicator except on the following aircraft:
(1) Airplanes with a third attitude instrument system usable through flight attitudes of 360 degrees of pitch-and-roll and installed in accordance with the instrument requirements prescribed in § 121.305(j) of this chapter.
(2) Helicopters with a third attitude instrument system usable through flight attitudes of ±80 degrees of pitch and ±120 degrees of roll and installed in accordance with § 29.1303(g) of this chapter.
(3) Helicopters with a maximum certificated takeoff weight of 6,000 pounds or less.
(b) A slip skid indicator.
(c) A gyroscopic bank-and-pitch indicator.
(d) A gyroscopic direction indicator.
(e) A generator or generators able to supply all probable combinations of continuous in-flight electrical loads for required equipment and for recharging the battery.
(f) For night flights—
(1) An anticollision light system;
(2) Instrument lights to make all instruments, switches, and gauges easily readable, the direct rays of which are shielded from the pilots' eyes; and
(3) A flashlight having at least two size “D” cells or equivalent.
(g) For the purpose of paragraph (e) of this section, a continuous in-flight electrical load includes one that draws current continuously during flight, such as radio equipment and electrically driven instruments and lights, but does not include occasional intermittent loads.
(h) Notwithstanding provisions of paragraphs (b), (c), and (d), helicopters having a maximum certificated takeoff weight of 6,000 pounds or less may be operated until January 6, 1988, under visual flight rules at night without a slip skid indicator, a gyroscopic bank-and-pitch indicator, or a gyroscopic direction indicator.
(a) After April 24, 2017, no person may operate a rotorcraft unless that rotorcraft is equipped with an operable FAA-approved radio altimeter, or an FAA-approved device that incorporates a radio altimeter, unless otherwise authorized in the certificate holder's approved minimum equipment list.
(b) Deviation authority. The Administrator may authorize deviations from paragraph (a) of this section for rotorcraft that are unable to incorporate a radio altimeter. This deviation will be issued as a Letter of Deviation Authority. The deviation may be terminated or amended at any time by the Administrator. The request for deviation authority is applicable to rotorcraft with a maximum gross takeoff weight no greater than 2,950 pounds. The request for deviation authority must contain a complete statement of the circumstances and justification, and must be submitted to the responsible Flight Standards office, not less than 60 days prior to the date of intended operations.
(a) No person may operate an aircraft under VFR over routes that can be navigated by pilotage unless the aircraft is equipped with the two-way radio communication equipment necessary under normal operating conditions to fulfill the following:
(1) Communicate with at least one appropriate station from any point on the route, except in remote locations and areas of mountainous terrain where geographical constraints make such communication impossible.
(2) Communicate with appropriate air traffic control facilities from any point within Class B, Class C, or Class D airspace, or within a Class E surface area designated for an airport in which flights are intended; and
(3) Receive meteorological information from any point en route, except in remote locations and areas of mountainous terrain where geographical constraints make such communication impossible.
(b) No person may operate an aircraft at night under VFR over routes that can be navigated by pilotage unless that aircraft is equipped with—
(1) Two-way radio communication equipment necessary under normal operating conditions to fulfill the functions specified in paragraph (a) of this section; and
(2) Navigation equipment suitable for the route to be flown.
No person may operate an aircraft under IFR, carrying passengers, unless it has—
(a) A vertical speed indicator;
(b) A free-air temperature indicator;
(c) A heated pitot tube for each airspeed indicator;
(d) A power failure warning device or vacuum indicator to show the power available for gyroscopic instruments from each power source;
(e) An alternate source of static pressure for the altimeter and the airspeed and vertical speed indicators;
(f) For a single-engine aircraft:
(1) Two independent electrical power generating sources each of which is able to supply all probable combinations of continuous inflight electrical loads for required instruments and equipment; or
(2) In addition to the primary electrical power generating source, a standby battery or an alternate source of electric power that is capable of supplying 150% of the electrical loads of all required instruments and equipment necessary for safe emergency operation of the aircraft for at least one hour;
(g) For multi-engine aircraft, at least two generators or alternators each of which is on a separate engine, of which any combination of one-half of the total number are rated sufficiently to supply the electrical loads of all required instruments and equipment necessary for safe emergency operation of the aircraft except that for multi-engine helicopters, the two required generators may be mounted on the main rotor drive train; and
(h) Two independent sources of energy (with means of selecting either) of which at least one is an engine-driven pump or generator, each of which is able to drive all required gyroscopic instruments powered by, or to be powered by, that particular source and installed so that failure of one instrument or source, does not interfere with the energy supply to the remaining instruments or the other energy source unless, for single-engine aircraft in all cargo operations only, the rate of turn indicator has a source of energy separate from the bank and pitch and direction indicators. For the purpose of this paragraph, for multi-engine aircraft, each engine-driven source of energy must be on a different engine.
(i) For the purpose of paragraph (f) of this section, a continuous inflight electrical load includes one that draws current continuously during flight, such as radio equipment, electrically driven instruments, and lights, but does not include occasional intermittent loads.
(a) Aircraft navigation equipment requirements—General. Except as provided in paragraph (g) of this section, no person may conduct operations under IFR or extended over-water unless—
(1) The en route navigation aids necessary for navigating the aircraft along the route (e.g., ATS routes, arrival and departure routes, and instrument approach procedures, including missed approach procedures if a missed approach routing is specified in the procedure) are available and suitable for use by the navigation systems required by this section:
(2) The aircraft used in extended over-water operations is equipped with at least two-approved independent navigation systems suitable for navigating the aircraft along the route to be flown within the degree of accuracy required for ATC.
(3) The aircraft used for IFR operations is equipped with at least—
(i) One marker beacon receiver providing visual and aural signals; and
(ii) One ILS receiver.
(4) Any RNAV system used to meet the navigation equipment requirements of this section is authorized in the certificate holder's operations specifications.
(b) Use of a single independent navigation system for IFR operations. The aircraft may be equipped with a single independent navigation system suitable for navigating the aircraft along the route to be flown within the degree of accuracy required for ATC if:
(1) It can be shown that the aircraft is equipped with at least one other independent navigation system suitable, in the event of loss of the navigation capability of the single independent navigation system permitted by this paragraph at any point along the route, for proceeding safely to a suitable airport and completing an instrument approach; and
(2) The aircraft has sufficient fuel so that the flight may proceed safely to a suitable airport by use of the remaining navigation system, and complete an instrument approach and land.
(c) VOR navigation equipment. Whenever VOR navigation equipment is required by paragraph (a) or (b) of this section, no person may operate an aircraft unless it is equipped with at least one approved DME or suitable RNAV system.
(d) Airplane communication equipment requirements. Except as permitted in paragraph (e) of this section, no person may operate a turbojet airplane having a passenger seat configuration, excluding any pilot seat, of 10 seats or more, or a multiengine airplane in a commuter operation, as defined in part 110 of this chapter, under IFR or in extended over-water operations unless the airplane is equipped with—
(1) At least two independent communication systems necessary under normal operating conditions to fulfill the functions specified in § 121.347(a) of this chapter; and
(2) At least one of the communication systems required by paragraph (d)(1) of this section must have two-way voice communication capability.
(e) IFR or extended over-water communications equipment requirements. A person may operate an aircraft other than that specified in paragraph (d) of this section under IFR or in extended over-water operations if it meets all of the requirements of this section, with the exception that only one communication system transmitter is required for operations other than extended over-water operations.
(f) Additional aircraft communication equipment requirements. In addition to the requirements in paragraphs (d) and (e) of this section, no person may operate an aircraft under IFR or in extended over-water operations unless it is equipped with at least:
(1) Two microphones; and
(2) Two headsets or one headset and one speaker.
(g) Extended over-water exceptions. Notwithstanding the requirements of paragraphs (a), (d), and (e) of this section, installation and use of a single long-range navigation system and a single long-range communication system for extended over-water operations in certain geographic areas may be authorized by the Administrator and approved in the certificate holder's operations specifications. The following are among the operational factors the Administrator may consider in granting an authorization:
(1) The ability of the flight crew to navigate the airplane along the route within the degree of accuracy required for ATC;
(2) The length of the route being flown; and
(3) The duration of the very high frequency communications gap.
(a) Except where the Administrator, by amending the operations specifications of the certificate holder, requires the carriage of all or any specific items of the equipment listed below for any overwater operation, or, upon application of the certificate holder, the Administrator allows deviation for a particular extended overwater operation, no person may operate an aircraft in extended overwater operations unless it carries, installed in conspicuously marked locations easily accessible to the occupants if a ditching occurs, the following equipment:
(1) An approved life preserver equipped with an approved survivor locator light for each occupant of the aircraft. The life preserver must be easily accessible to each seated occupant.
(2) Enough approved liferafts of a rated capacity and buoyancy to accommodate the occupants of the aircraft.
(b) Each liferaft required by paragraph (a) of this section must be equipped with or contain at least the following:
(1) One approved survivor locator light.
(2) One approved pyrotechnic signaling device.
(3) Either—
(i) One survival kit, appropriately equipped for the route to be flown; or
(ii) One canopy (for sail, sunshade, or rain catcher);
(iii) One radar reflector;
(iv) One liferaft repair kit;
(v) One bailing bucket;
(vi) One signaling mirror;
(vii) One police whistle;
(viii) One raft knife;
(ix) One CO
(x) One inflation pump;
(xi) Two oars;
(xii) One 75-foot retaining line;
(xiii) One magnetic compass;
(xiv) One dye marker;
(xv) One flashlight having at least two size “D” cells or equivalent;
(xvi) A 2-day supply of emergency food rations supplying at least 1,000 calories per day for each person;
(xvii) For each two persons the raft is rated to carry, two pints of water or one sea water desalting kit;
(xviii) One fishing kit; and
(xix) One book on survival appropriate for the area in which the aircraft is operated.
(c) No person may operate an airplane in extended overwater operations unless there is attached to one of the life rafts required by paragraph (a) of this section, an approved survival type emergency locator transmitter. Batteries used in this transmitter must be replaced (or recharged, if the batteries are rechargeable) when the transmitter has been in use for more than 1 cumulative hour, or, when 50 percent of their useful life (or for rechargeable batteries, 50 percent of their useful life of charge) has expired, as established by the transmitter manufacturer under its approval. The new expiration date for replacing (or recharging) the battery must be legibly marked on the outside of the transmitter. The battery useful life (or useful life of charge) requirements of this paragraph do not apply to batteries (such as water-activated batteries) that are essentially unaffected during probable storage intervals.
(a) Definitions. For the purposes of this section, the following definitions apply—
Autorotational distance refers to the distance a rotorcraft can travel in autorotation as described by the manufacturer in the approved Rotorcraft Flight Manual.
Shoreline means that area of the land adjacent to the water of an ocean, sea, lake, pond, river, or tidal basin that is above the high-water mark at which a rotorcraft could be landed safely. This does not include land areas which are unsuitable for landing such as vertical cliffs or land intermittently under water.
(b) Required equipment. Except when authorized by the certificate holder's operations specifications, or when necessary only for takeoff or landing, no person may operate a rotorcraft beyond autorotational distance from the shoreline unless it carries:
(1) An approved life preserver equipped with an approved survivor locator light for each occupant of the rotorcraft. The life preserver must be worn by each occupant while the rotorcraft is beyond autorotational distance from the shoreline, except for a patient transported during a helicopter air ambulance operation, as defined in § 135.601(b)(1), when wearing a life preserver would be inadvisable for medical reasons; and
(2) An approved and installed 406 MHz emergency locator transmitter (ELT) with 121.5 MHz homing capability. Batteries used in ELTs must be maintained in accordance with the following—
(i) Non-rechargeable batteries must be replaced when the transmitter has been in use for more than 1 cumulative hour or when 50% of their useful lives have expired, as established by the transmitter manufacturer under its approval. The new expiration date for replacing the batteries must be legibly marked on the outside of the transmitter. The battery useful life requirements of this paragraph (b)(2) do not apply to batteries (such as water-activated batteries) that are essentially unaffected during probable storage intervals; or
(ii) Rechargeable batteries used in the transmitter must be recharged when the transmitter has been in use for more than 1 cumulative hour or when 50% of their useful-life-of-charge has expired, as established by the transmitter manufacturer under its approval. The new expiration date for recharging the batteries must be legibly marked on the outside of the transmitter. The battery useful-life-of-charge requirements of this paragraph (b)(2) do not apply to batteries (such as water-activated batteries) that are essentially unaffected during probable storage intervals.
(c) [Reserved]
(d) ELT standards. The ELT required by paragraph (b)(2) of this section must meet the requirements in:
(1) TSO-C126, TSO-C126a, or TSO-C126b; and
(2) Section 2 of either RTCA DO-204 or RTCA DO-204A, as specified by the TSO complied with in paragraph (d)(1) of this section.
(e) ELT alternative compliance. Operators with an ELT required by paragraph (b)(2) of this section, or an ELT with an approved deviation under § 21.618 of this chapter, are in compliance with this section.
(f) Incorporation by reference. The standards required in this section are incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the FAA must publish notice of change in the
(1) U.S. Department of Transportation, Subsequent Distribution Office, DOT Warehouse M30, Ardmore East Business Center, 3341 Q 75th Avenue, Landover, MD 20785; telephone (301) 322-5377. Copies are also available on the FAA's Web site. Use the following link and type the TSO number in the search box: http://www.airweb.faa.gov/Regulatory_and_Guidance_Library/rgTSO.nsf/Frameset?OpenPage.
(i) TSO-C126, 406 MHz Emergency Locator Transmitter (ELT), Dec. 23, 1992,
(ii) TSO-C126a, 406 MHz Emergency Locator Transmitter (ELT), Dec. 17, 2008, and
(iii) TSO-C126b, 406 MHz Emergency Locator Transmitter (ELT), Nov. 26, 2012.
(2) RTCA, Inc., 1150 18th Street NW., Suite 910, Washington, DC 20036, telephone (202) 833-9339, and are also available on RTCA's Web site at http://www.rtca.org/onlinecart/index.cfm.
(i) RTCA DO-204, Minimum Operational Performance Standards (MOPS) 406 MHz Emergency Locator Transmitters (ELTs), Sept. 29, 1989, and
(ii) RTCA DO-204A, Minimum Operational Performance Standards (MOPS) 406 MHz Emergency Locator Transmitters (ELT), Dec. 6, 2007.
(a) Except for commuter category airplanes, no person may operate a large airplane unless it meets the additional airworthiness requirements of §§ 121.213 through 121.283 and 121.307 of this chapter.
(b) No person may operate a small airplane that has a passenger-seating configuration, excluding pilot seats, of 10 seats or more unless it is type certificated—
(1) In the transport category;
(2) Before July 1, 1970, in the normal category and meets special conditions issued by the Administrator for airplanes intended for use in operations under this part;
(3) Before July 19, 1970, in the normal category and meets the additional airworthiness standards in Special Federal Aviation Regulation No. 23;
(4) In the normal category and meets the additional airworthiness standards in appendix A;
(5) In the normal category and complies with section 1.(a) of Special Federal Aviation Regulation No. 41;
(6) In the normal category and complies with section 1.(b) of Special Federal Aviation Regulation No. 41;
(7) In the commuter category; or
(8) In the normal category, as a multi-engine certification level 4 airplane as defined in part 23 of this chapter.
(c) No person may operate a small airplane with a passenger seating configuration, excluding any pilot seat, of 10 seats or more, with a seating configuration greater than the maximum seating configuration used in that type airplane in operations under this part before August 19, 1977. This paragraph does not apply to—
(1) An airplane that is type certificated in the transport category; or
(2) An airplane that complies with—
(i) Appendix A of this part provided that its passenger seating configuration, excluding pilot seats, does not exceed 19 seats; or
(ii) Special Federal Aviation Regulation No. 41.
(d) Cargo or baggage compartments:
(1) After March 20, 1991, each Class C or D compartment, as defined in § 25.857 of part 25 of this chapter, greater than 200 cubic feet in volume in a transport category airplane type certificated after January 1, 1958, must have ceiling and sidewall panels which are constructed of:
(i) Glass fiber reinforced resin;
(ii) Materials which meet the test requirements of part 25, appendix F, part III of this chapter; or
(iii) In the case of liner installations approved prior to March 20, 1989, aluminum.
(2) For compliance with this paragraph, the term “liner” includes any design feature, such as a joint or fastener, which would affect the capability of the liner to safely contain a fire.
(a) No person may operate an airplane that conforms to an amended or supplemental type certificate issued in accordance with SFAR No. 41 for a maximum certificated takeoff weight in excess of 12,500 pounds unless within one year after issuance of the initial airworthiness certificate under that SFAR, the airplane meets the compartment interior requirements set forth in § 25.853(a) in effect March 6, 1995 (formerly § 25.853 (a), (b), (b-1), (b-2), and (b-3) of this chapter in effect on September 26, 1978).
(b) Except for commuter category airplanes and airplanes certificated under Special Federal Aviation Regulation No. 41, no person may operate a large airplane unless it meets the following additional airworthiness requirements:
(1) Except for those materials covered by paragraph (b)(2) of this section, all materials in each compartment used by the crewmembers or passengers must meet the requirements of § 25.853 of this chapter in effect as follows or later amendment thereto:
(i) Except as provided in paragraph (b)(1)(iv) of this section, each airplane with a passenger capacity of 20 or more and manufactured after August 19, 1988, but prior to August 20, 1990, must comply with the heat release rate testing provisions of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1) in effect on August 20, 1986), except that the total heat release over the first 2 minutes of sample exposure rate must not exceed 100 kilowatt minutes per square meter and the peak heat release rate must not exceed 100 kilowatts per square meter.
(ii) Each airplane with a passenger capacity of 20 or more and manufactured after August 19, 1990, must comply with the heat release rate and smoke testing provisions of § 25.853(d) in effect March 6, 1995 (formerly § 25.83(a-1) in effect on September 26, 1988).
(iii) Except as provided in paragraph (b)(1) (v) or (vi) of this section, each airplane for which the application for type certificate was filed prior to May 1, 1972, must comply with the provisions of § 25.853 in effect on April 30, 1972, regardless of the passenger capacity, if there is a substantially complete replacement of the cabin interior after April 30, 1972.
(iv) Except as provided in paragraph (b)(1) (v) or (vi) of this section, each airplane for which the application for type certificate was filed after May 1, 1972, must comply with the material requirements under which the airplane was type certificated regardless of the passenger capacity if there is a substantially complete replacement of the cabin interior after that date.
(v) Except as provided in paragraph (b)(1)(vi) of this section, each airplane that was type certificated after January 1, 1958, must comply with the heat release testing provisions of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1) in effect on August 20, 1986), if there is a substantially complete replacement of the cabin interior components identified in that paragraph on or after that date, except that the total heat release over the first 2 minutes of sample exposure shall not exceed 100 kilowatt-minutes per square meter and the peak heat release rate shall not exceed 100 kilowatts per square meter.
(vi) Each airplane that was type certificated after January 1, 1958, must comply with the heat release rate and smoke testing provisions of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1) in effect on August 20, 1986), if there is a substantially complete replacement of the cabin interior components identified in that paragraph after August 19, 1990.
(vii) Contrary provisions of this section notwithstanding, the Director of the division of the Aircraft Certification Service responsible for the airworthiness rules may authorize deviation from the requirements of paragraph (b)(1)(i), (b)(1)(ii), (b)(1)(v), or (b)(1)(vi) of this section for specific components of the cabin interior that do not meet applicable flammability and smoke emission requirements, if the determination is made that special circumstances exist that make compliance impractical. Such grants of deviation will be limited to those airplanes manufactured within 1 year after the applicable date specified in this section and those airplanes in which the interior is replaced within 1 year of that date. A request for such grant of deviation must include a thorough and accurate analysis of each component subject to § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1) in effect on August 20, 1986), the steps being taken to achieve compliance, and, for the few components for which timely compliance will not be achieved, credible reasons for such noncompliance.
(viii) Contrary provisions of this section notwithstanding, galley carts and standard galley containers that do not meet the flammability and smoke emission requirements of § 25.853(d) in effect March 6, 1995 (formerly § 25.853(a-1) in effect on August 20, 1986), may be used in airplanes that must meet the requirements of paragraph (b)(1)(i), (b)(1)(ii), (b)(1)(iv) or (b)(1)(vi) of this section provided the galley carts or standard containers were manufactured prior to March 6, 1995.
(2) For airplanes type certificated after January 1, 1958, seat cushions, except those on flight crewmember seats, in any compartment occupied by crew or passengers must comply with the requirements pertaining to fire protection of seat cushions in § 25.853(c) effective November 26, 1984.
(c) Thermal/acoustic insulation materials. For transport category airplanes type certificated after January 1, 1958:
(1) For airplanes manufactured before September 2, 2005, when thermal/acoustic insulation is installed in the fuselage as replacements after September 2, 2005, the insulation must meet the flame propagation requirements of § 25.856 of this chapter, effective September 2, 2003, if it is:
(i) Of a blanket construction, or
(ii) Installed around air ducting.
(2) For airplanes manufactured after September 2, 2005, thermal/acoustic insulation materials installed in the fuselage must meet the flame propagation requirements of § 25.856 of this chapter, effective September 2, 2003.
(a) No person may operate a turbojet aircraft or an aircraft having a passenger seating configuration, excluding any pilot seat, of 10 seats or more unless it is equipped with an approved shoulder harness installed for each flight crewmember station.
(b) Each flight crewmember occupying a station equipped with a shoulder harness must fasten the shoulder harness during takeoff and landing, except that the shoulder harness may be unfastened if the crewmember cannot perform the required duties with the shoulder harness fastened.
(a) No person may operate an aircraft that has a passenger seating configuration, excluding any pilot seat, of 10 seats or more in passenger-carrying operations, except a helicopter operating under day VFR conditions, unless the aircraft is equipped with either approved thunderstorm detection equipment or approved airborne weather radar equipment.
(b) No person may operate a helicopter that has a passenger seating configuration, excluding any pilot seat, of 10 seats or more in passenger-carrying operations, under night VFR when current weather reports indicate that thunderstorms or other potentially hazardous weather conditions that can be detected with airborne thunderstorm detection equipment may reasonably be expected along the route to be flown, unless the helicopter is equipped with either approved thunderstorm detection equipment or approved airborne weather radar equipment.
(c) No person may begin a flight under IFR or night VFR conditions when current weather reports indicate that thunderstorms or other potentially hazardous weather conditions that can be detected with airborne thunderstorm detection equipment, required by paragraph (a) or (b) of this section, may reasonably be expected along the route to be flown, unless the airborne thunderstorm detection equipment is in satisfactory operating condition.
(d) If the airborne thunderstorm detection equipment becomes inoperative en route, the aircraft must be operated under the instructions and procedures specified for that event in the manual required by § 135.21.
(e) This section does not apply to aircraft used solely within the State of Hawaii, within the State of Alaska, within that part of Canada west of longitude 130 degrees W, between latitude 70 degrees N, and latitude 53 degrees N, or during any training, test, or ferry flight.
(f) Without regard to any other provision of this part, an alternate electrical power supply is not required for airborne thunderstorm detection equipment.
(a) No person may operate a large, transport category aircraft in passenger-carrying operations unless approved airborne weather radar equipment is installed in the aircraft.
(b) No person may begin a flight under IFR or night VFR conditions when current weather reports indicate that thunderstorms, or other potentially hazardous weather conditions that can be detected with airborne weather radar equipment, may reasonably be expected along the route to be flown, unless the airborne weather radar equipment required by paragraph (a) of this section is in satisfactory operating condition.
(c) If the airborne weather radar equipment becomes inoperative en route, the aircraft must be operated under the instructions and procedures specified for that event in the manual required by § 135.21.
(d) This section does not apply to aircraft used solely within the State of Hawaii, within the State of Alaska, within that part of Canada west of longitude 130 degrees W, between latitude 70 degrees N, and latitude 53 degrees N, or during any training, test, or ferry flight.
(e) Without regard to any other provision of this part, an alternate electrical power supply is not required for airborne weather radar equipment.
(a) No person may operate an aircraft having a passenger seating configuration, excluding any pilot seat, of more than 19 seats unless it is equipped with the following emergency equipment:
(1) At least one approved first-aid kit for treatment of injuries likely to occur in flight or in a minor accident that must:
(i) Be readily accessible to crewmembers.
(ii) Be stored securely and kept free from dust, moisture, and damaging temperatures.
(iii) Contain at least the following appropriately maintained contents in the specified quantities:
| Contents | Quantity |
|---|---|
| Adhesive bandage compresses, 1-inch | 16 |
| Antiseptic swabs | 20 |
| Ammonia inhalants | 10 |
| Bandage compresses, 4-inch | 8 |
| Triangular bandage compresses, 40-inch | 5 |
| Arm splint, noninflatable | 1 |
| Leg splint, noninflatable | 1 |
| Roller bandage, 4-inch | 4 |
| Adhesive tape, 1-inch standard roll | 2 |
| Bandage scissors | 1 |
| Protective nonpermeable gloves or equivalent | 1 pair |
(2) A crash axe carried so as to be accessible to the crew but inaccessible to passengers during normal operations.
(3) Signs that are visible to all occupants to notify them when smoking is prohibited and when safety belts must be fastened. The signs must be constructed so that they can be turned on during any movement of the aircraft on the surface, for each takeoff or landing, and at other times considered necessary by the pilot in command. “No smoking” signs shall be turned on when required by § 135.127.
(4) [Reserved]
(b) Each item of equipment must be inspected regularly under inspection periods established in the operations specifications to ensure its condition for continued serviceability and immediate readiness to perform its intended emergency purposes.
No person may operate an airplane having a passenger seating configuration of more than 19 seats, unless it has the additional emergency equipment specified in paragraphs (a) through (l) of this section.
(a) Means for emergency evacuation. Each passenger-carrying landplane emergency exit (other than over-the-wing) that is more than 6 feet from the ground, with the airplane on the ground and the landing gear extended, must have an approved means to assist the occupants in descending to the ground. The assisting means for a floor-level emergency exit must meet the requirements of § 25.809(f)(1) of this chapter in effect on April 30, 1972, except that, for any airplane for which the application for the type certificate was filed after that date, it must meet the requirements under which the airplane was type certificated. An assisting means that deploys automatically must be armed during taxiing, takeoffs, and landings; however, the Administrator may grant a deviation from the requirement of automatic deployment if he finds that the design of the exit makes compliance impractical, if the assisting means automatically erects upon deployment and, with respect to required emergency exits, if an emergency evacuation demonstration is conducted in accordance with § 121.291(a) of this chapter. This paragraph does not apply to the rear window emergency exit of Douglas DC-3 airplanes operated with fewer than 36 occupants, including crewmembers, and fewer than five exits authorized for passenger use.
(b) Interior emergency exit marking. The following must be complied with for each passenger-carrying airplane:
(1) Each passenger emergency exit, its means of access, and its means of opening must be conspicuously marked. The identity and locating of each passenger emergency exit must be recognizable from a distance equal to the width of the cabin. The location of each passenger emergency exit must be indicated by a sign visible to occupants approaching along the main passenger aisle. There must be a locating sign—
(i) Above the aisle near each over-the-wing passenger emergency exit, or at another ceiling location if it is more practical because of low headroom;
(ii) Next to each floor level passenger emergency exit, except that one sign may serve two such exits if they both can be seen readily from that sign; and
(iii) On each bulkhead or divider that prevents fore and aft vision along the passenger cabin, to indicate emergency exits beyond and obscured by it, except that if this is not possible, the sign may be placed at another appropriate location.
(2) Each passenger emergency exit marking and each locating sign must meet the following:
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, each passenger emergency exit marking and each locating sign must be manufactured to meet the requirements of § 25.812(b) of this chapter in effect on April 30, 1972. On these airplanes, no sign may continue to be used if its luminescence (brightness) decreases to below 100 microlamberts. The colors may be reversed if it increases the emergency illumination of the passenger compartment. However, the Administrator may authorize deviation from the 2-inch background requirements if he finds that special circumstances exist that make compliance impractical and that the proposed deviation provides an equivalent level of safety.
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, each passenger emergency exit marking and each locating sign must be manufactured to meet the interior emergency exit marking requirements under which the airplane was type certificated. On these airplanes, no sign may continue to be used if its luminescence (brightness) decreases to below 250 microlamberts.
(c) Lighting for interior emergency exit markings. Each passenger-carrying airplane must have an emergency lighting system, independent of the main lighting system; however, sources of general cabin illumination may be common to both the emergency and the main lighting systems if the power supply to the emergency lighting system is independent of the power supply to the main lighting system. The emergency lighting system must—
(1) Illuminate each passenger exit marking and locating sign;
(2) Provide enough general lighting in the passenger cabin so that the average illumination when measured at 40-inch intervals at seat armrest height, on the centerline of the main passenger aisle, is at least 0.05 foot-candles; and
(3) For airplanes type certificated after January 1, 1958, include floor proximity emergency escape path marking which meets the requirements of § 25.812(e) of this chapter in effect on November 26, 1984.
(d) Emergency light operation. Except for lights forming part of emergency lighting subsystems provided in compliance with § 25.812(h) of this chapter (as prescribed in paragraph (h) of this section) that serve no more than one assist means, are independent of the airplane's main emergency lighting systems, and are automatically activated when the assist means is deployed, each light required by paragraphs (c) and (h) of this section must:
(1) Be operable manually both from the flightcrew station and from a point in the passenger compartment that is readily accessible to a normal flight attendant seat;
(2) Have a means to prevent inadvertent operation of the manual controls;
(3) When armed or turned on at either station, remain lighted or become lighted upon interruption of the airplane's normal electric power;
(4) Be armed or turned on during taxiing, takeoff, and landing. In showing compliance with this paragraph, a transverse vertical separation of the fuselage need not be considered;
(5) Provide the required level of illumination for at least 10 minutes at the critical ambient conditions after emergency landing; and
(6) Have a cockpit control device that has an “on,” “off,” and “armed” position.
(e) Emergency exit operating handles. (1) For a passenger-carrying airplane for which the application for the type certificate was filed prior to May 1, 1972, the location of each passenger emergency exit operating handle, and instructions for opening the exit, must be shown by a marking on or near the exit that is readable from a distance of 30 inches. In addition, for each Type I and Type II emergency exit with a locking mechanism released by rotary motion of the handle, the instructions for opening must be shown by—
(i) A red arrow with a shaft at least three-fourths inch wide and a head twice the width of the shaft, extending along at least 70° of arc at a radius approximately equal to three-fourths of the handle length; and
(ii) The word “open” in red letters 1 inch high placed horizontally near the head of the arrow.
(2) For a passenger-carrying airplane for which the application for the type certificate was filed on or after May 1, 1972, the location of each passenger emergency exit operating handle and instructions for opening the exit must be shown in accordance with the requirements under which the airplane was type certificated. On these airplanes, no operating handle or operating handle cover may continue to be used if its luminescence (brightness) decreases to below 100 microlamberts.
(f) Emergency exit access. Access to emergency exits must be provided as follows for each passenger-carrying airplane:
(1) Each passageway between individual passenger areas, or leading to a Type I or Type II emergency exit, must be unobstructed and at least 20 inches wide.
(2) There must be enough space next to each Type I or Type II emergency exit to allow a crewmember to assist in the evacuation of passengers without reducing the unobstructed width of the passageway below that required in paragraph (f)(1) of this section; however, the Administrator may authorize deviation from this requirement for an airplane certificated under the provisions of part 4b of the Civil Air Regulations in effect before December 20, 1951, if he finds that special circumstances exist that provide an equivalent level of safety.
(3) There must be access from the main aisle to each Type III and Type IV exit. The access from the aisle to these exits must not be obstructed by seats, berths, or other protrusions in a manner that would reduce the effectiveness of the exit. In addition, for a transport category airplane type certificated after January 1, 1958, there must be placards installed in accordance with § 25.813(c)(3) of this chapter for each Type III exit after December 3, 1992.
(4) If it is necessary to pass through a passageway between passenger compartments to reach any required emergency exit from any seat in the passenger cabin, the passageway must not be obstructed. Curtains may, however, be used if they allow free entry through the passageway.
(5) No door may be installed in any partition between passenger compartments.
(6) If it is necessary to pass through a doorway separating the passenger cabin from other areas to reach a required emergency exit from any passenger seat, the door must have a means to latch it in the open position, and the door must be latched open during each takeoff and landing. The latching means must be able to withstand the loads imposed upon it when the door is subjected to the ultimate inertia forces, relative to the surrounding structure, listed in § 25.561(b) of this chapter.
(g) Exterior exit markings. Each passenger emergency exit and the means of opening that exit from the outside must be marked on the outside of the airplane. There must be a 2-inch colored band outlining each passenger emergency exit on the side of the fuselage. Each outside marking, including the band, must be readily distinguishable from the surrounding fuselage area by contrast in color. The markings must comply with the following:
(1) If the reflectance of the darker color is 15 percent or less, the reflectance of the lighter color must be at least 45 percent.
(2) If the reflectance of the darker color is greater than 15 percent, at least a 30 percent difference between its reflectance and the reflectance of the lighter color must be provided.
(3) Exits that are not in the side of the fuselage must have the external means of opening and applicable instructions marked conspicuously in red or, if red is inconspicuous against the background color, in bright chrome yellow and, when the opening means for such an exit is located on only one side of the fuselage, a conspicuous marking to that effect must be provided on the other side. “Reflectance” is the ratio of the luminous flux reflected by a body to the luminous flux it receives.
(h) Exterior emergency lighting and escape route. (1) Each passenger-carrying airplane must be equipped with exterior lighting that meets the following requirements:
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, the requirements of § 25.812 (f) and (g) of this chapter in effect on April 30, 1972.
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the exterior emergency lighting requirements under which the airplane was type certificated.
(2) Each passenger-carrying airplane must be equipped with a slip-resistant escape route that meets the following requirements:
(i) For an airplane for which the application for the type certificate was filed prior to May 1, 1972, the requirements of § 25.803(e) of this chapter in effect on April 30, 1972.
(ii) For an airplane for which the application for the type certificate was filed on or after May 1, 1972, the slip-resistant escape route requirements under which the airplane was type certificated.
(i) Floor level exits. Each floor level door or exit in the side of the fuselage (other than those leading into a cargo or baggage compartment that is not accessible from the passenger cabin) that is 44 or more inches high and 20 or more inches wide, but not wider than 46 inches, each passenger ventral exit (except the ventral exits on Martin 404 and Convair 240 airplanes), and each tail cone exit, must meet the requirements of this section for floor level emergency exits. However, the Administrator may grant a deviation from this paragraph if he finds that circumstances make full compliance impractical and that an acceptable level of safety has been achieved.
(j) Additional emergency exits. Approved emergency exits in the passenger compartments that are in excess of the minimum number of required emergency exits must meet all of the applicable provisions of this section, except paragraphs (f) (1), (2), and (3) of this section, and must be readily accessible.
(k) On each large passenger-carrying turbojet-powered airplane, each ventral exit and tailcone exit must be—
(1) Designed and constructed so that it cannot be opened during flight; and
(2) Marked with a placard readable from a distance of 30 inches and installed at a conspicuous location near the means of opening the exit, stating that the exit has been designed and constructed so that it cannot be opened during flight.
(l) Portable lights. No person may operate a passenger-carrying airplane unless it is equipped with flashlight stowage provisions accessible from each flight attendant seat.
(a) No person may take off an aircraft with inoperable instruments or equipment installed unless the following conditions are met:
(1) An approved Minimum Equipment List exists for that aircraft.
(2) The responsible Flight Standards office has issued the certificate holder operations specifications authorizing operations in accordance with an approved Minimum Equipment List. The flight crew shall have direct access at all times prior to flight to all of the information contained in the approved Minimum Equipment List through printed or other means approved by the Administrator in the certificate holders operations specifications. An approved Minimum Equipment List, as authorized by the operations specifications, constitutes an approved change to the type design without requiring recertification.
(3) The approved Minimum Equipment List must:
(i) Be prepared in accordance with the limitations specified in paragraph (b) of this section.
(ii) Provide for the operation of the aircraft with certain instruments and equipment in an inoperable condition.
(4) Records identifying the inoperable instruments and equipment and the information required by (a)(3)(ii) of this section must be available to the pilot.
(5) The aircraft is operated under all applicable conditions and limitations contained in the Minimum Equipment List and the operations specifications authorizing use of the Minimum Equipment List.
(b) The following instruments and equipment may not be included in the Minimum Equipment List:
(1) Instruments and equipment that are either specifically or otherwise required by the airworthiness requirements under which the aircraft is type certificated and which are essential for safe operations under all operating conditions.
(2) Instruments and equipment required by an airworthiness directive to be in operable condition unless the airworthiness directive provides otherwise.
(3) Instruments and equipment required for specific operations by this part.
(c) Notwithstanding paragraphs (b)(1) and (b)(3) of this section, an aircraft with inoperable instruments or equipment may be operated under a special flight permit under §§ 21.197 and 21.199 of this chapter.
(a) Unless otherwise authorized by the Administrator, after December 31, 1995, no person may operate a turbine powered airplane that has a passenger seat configuration, excluding any pilot seat, of 10 to 30 seats unless it is equipped with an approved traffic alert and collision avoidance system. If a TCAS II system is installed, it must be capable of coordinating with TCAS units that meet TSO C-119.
(b) The airplane flight manual required by § 135.21 of this part shall contain the following information on the TCAS I system required by this section:
(1) Appropriate procedures for—
(i) The use of the equipment; and
(ii) Proper flightcrew action with respect to the equipment operation.
(2) An outline of all input sources that must be operating for the TCAS to function properly.
(a) Except as provided in paragraphs (b) and (c) of this section, no person may—
(1) Operate a single-engine aircraft carrying passengers over-the-top; or
(2) Operate a multiengine aircraft carrying passengers over-the-top or in IFR conditions at a weight that will not allow it to climb, with the critical engine inoperative, at least 50 feet a minute when operating at the MEAs of the route to be flown or 5,000 feet MSL, whichever is higher.
(b) Notwithstanding the restrictions in paragraph (a)(2) of this section, multiengine helicopters carrying passengers offshore may conduct such operations in over-the-top or in IFR conditions at a weight that will allow the helicopter to climb at least 50 feet per minute with the critical engine inoperative when operating at the MEA of the route to be flown or 1,500 feet MSL, whichever is higher.
(c) Without regard to paragraph (a) of this section, if the latest weather reports or forecasts, or any combination of them, indicate that the weather along the planned route (including takeoff and landing) allows flight under VFR under the ceiling (if a ceiling exists) and that the weather is forecast to remain so until at least 1 hour after the estimated time of arrival at the destination, a person may operate an aircraft over-the-top.
(d) Without regard to paragraph (a) of this section, a person may operate an aircraft over-the-top under conditions allowing—
(1) For multiengine aircraft, descent or continuance of the flight under VFR if its critical engine fails; or
(2) For single-engine aircraft, descent under VFR if its engine fails.
No person may operate a land aircraft carrying passengers over water unless—
(a) It is operated at an altitude that allows it to reach land in the case of engine failure;
(b) It is necessary for takeoff or landing;
(c) It is a multiengine aircraft operated at a weight that will allow it to climb, with the critical engine inoperative, at least 50 feet a minute, at an altitude of 1,000 feet above the surface; or
(d) It is a helicopter equipped with helicopter flotation devices.
(a) No person may operate a multiengine aircraft unless the current empty weight and center of gravity are calculated from values established by actual weighing of the aircraft within the preceding 36 calendar months.
(b) Paragraph (a) of this section does not apply to—
(1) Aircraft issued an original airworthiness certificate within the preceding 36 calendar months; and
(2) Aircraft operated under a weight and balance system approved in the operations specifications of the certificate holder.
This subpart prescribes the operating limitations for VFR/IFR flight operations and associated weather requirements for operations under this part.
Except when necessary for takeoff and landing, no person may operate under VFR—
(a) An airplane—
(1) During the day, below 500 feet above the surface or less than 500 feet horizontally from any obstacle; or
(2) At night, at an altitude less than 1,000 feet above the highest obstacle within a horizontal distance of 5 miles from the course intended to be flown or, in designated mountainous terrain, less than 2,000 feet above the highest obstacle within a horizontal distance of 5 miles from the course intended to be flown; or
(b) A helicopter over a congested area at an altitude less than 300 feet above the surface.
(a) No person may operate an airplane under VFR in uncontrolled airspace when the ceiling is less than 1,000 feet unless flight visibility is at least 2 miles.
(b) No person may operate a helicopter under VFR in Class G airspace at an altitude of 1,200 feet or less above the surface or within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for an airport unless the visibility is at least—
(1) During the day—
(2) At night—1 mile.
No person may operate a helicopter under VFR unless that person has visual surface reference or, at night, visual surface light reference, sufficient to safely control the helicopter.
(a) No person may begin a flight operation in an airplane under VFR unless, considering wind and forecast weather conditions, it has enough fuel to fly to the first point of intended landing and, assuming normal cruising fuel consumption—
(1) During the day, to fly after that for at least 30 minutes; or
(2) At night, to fly after that for at least 45 minutes.
(b) No person may begin a flight operation in a helicopter under VFR unless, considering wind and forecast weather conditions, it has enough fuel to fly to the first point of intended landing and, assuming normal cruising fuel consumption, to fly after that for at least 20 minutes.
Subject to any additional limitations in § 135.181, no person may operate an aircraft under VFR over-the-top carrying passengers, unless—
(a) Weather reports or forecasts, or any combination of them, indicate that the weather at the intended point of termination of over-the-top flight—
(1) Allows descent to beneath the ceiling under VFR and is forecast to remain so until at least 1 hour after the estimated time of arrival at that point; or
(2) Allows an IFR approach and landing with flight clear of the clouds until reaching the prescribed initial approach altitude over the final approach facility, unless the approach is made with the use of radar under § 91.175(i) of this chapter; or
(b) It is operated under conditions allowing—
(1) For multiengine aircraft, descent or continuation of the flight under VFR if its critical engine fails; or
(2) For single-engine aircraft, descent under VFR if its engine fails.
(a) Whenever a person operating an aircraft under this part is required to use a weather report or forecast, that person shall use that of the U.S. National Weather Service, a source approved by the U.S. National Weather Service, or a source approved by the Administrator. However, for operations under VFR, the pilot in command may, if such a report is not available, use weather information based on that pilot's own observations or on those of other persons competent to supply appropriate observations.
(b) For the purposes of paragraph (a) of this section, weather observations made and furnished to pilots to conduct IFR operations at an airport must be taken at the airport where those IFR operations are conducted, unless the Administrator issues operations specifications allowing the use of weather observations taken at a location not at the airport where the IFR operations are conducted. The Administrator issues such operations specifications when, after investigation by the U.S. National Weather Service and the responsible Flight Standards office, it is found that the standards of safety for that operation would allow the deviation from this paragraph for a particular operation for which an air carrier operating certificate or operating certificate has been issued.
(a) Except as provided in paragraphs (b), (c) and (d) of this section, no person may operate an aircraft under IFR outside of controlled airspace or at any airport that does not have an approved standard instrument approach procedure.
(b) The Administrator may issue operations specifications to the certificate holder to allow it to operate under IFR over routes outside controlled airspace if—
(1) The certificate holder shows the Administrator that the flight crew is able to navigate, without visual reference to the ground, over an intended track without deviating more than 5 degrees or 5 miles, whichever is less, from that track; and
(2) The Administrator determines that the proposed operations can be conducted safely.
(c) A person may operate an aircraft under IFR outside of controlled airspace if the certificate holder has been approved for the operations and that operation is necessary to—
(1) Conduct an instrument approach to an airport for which there is in use a current approved standard or special instrument approach procedure; or
(2) Climb into controlled airspace during an approved missed approach procedure; or
(3) Make an IFR departure from an airport having an approved instrument approach procedure.
(d) The Administrator may issue operations specifications to the certificate holder to allow it to depart at an airport that does not have an approved standard instrument approach procedure when the Administrator determines that it is necessary to make an IFR departure from that airport and that the proposed operations can be conducted safely. The approval to operate at that airport does not include an approval to make an IFR approach to that airport.
No person may takeoff an aircraft under IFR from an airport where weather conditions are at or above takeoff minimums but are below authorized IFR landing minimums unless there is an alternate airport within 1 hour's flying time (at normal cruising speed, in still air) of the airport of departure.
No person may take off an aircraft under IFR or begin an IFR or over-the-top operation unless the latest weather reports or forecasts, or any combination of them, indicate that weather conditions at the estimated time of arrival at the next airport of intended landing will be at or above authorized IFR landing minimums.
(a) Aircraft other than rotorcraft. No person may designate an alternate airport unless the weather reports or forecasts, or any combination of them, indicate that the weather conditions will be at or above authorized alternate airport landing minimums for that airport at the estimated time of arrival.
(b) Rotorcraft. Unless otherwise authorized by the Administrator, no person may include an alternate airport in an IFR flight plan unless appropriate weather reports or weather forecasts, or a combination of them, indicate that, at the estimated time of arrival at the alternate airport, the ceiling and visibility at that airport will be at or above the following weather minimums—
(1) If, for the alternate airport, an instrument approach procedure has been published in part 97 of this chapter or a special instrument approach procedure has been issued by the FAA to the certificate holder, the ceiling is 200 feet above the minimum for the approach to be flown, and visibility is at least 1 statute mile but never less than the minimum visibility for the approach to be flown.
(2) If, for the alternate airport, no instrument approach procedure has been published in part 97 of this chapter and no special instrument approach procedure has been issued by the FAA to the certificate holder, the ceiling and visibility minimums are those allowing descent from the minimum enroute altitude (MEA), approach, and landing under basic VFR.
(a) Except as provided in paragraph (b) of this section, no person may operate an aircraft in IFR conditions unless it carries enough fuel (considering weather reports or forecasts or any combination of them) to—
(1) Complete the flight to the first airport of intended landing;
(2) Fly from that airport to the alternate airport; and
(3) Fly after that for 45 minutes at normal cruising speed or, for helicopters, fly after that for 30 minutes at normal cruising speed.
(b) Paragraph (a)(2) of this section does not apply if part 97 of this chapter prescribes a standard instrument approach procedure for the first airport of intended landing and, for at least one hour before and after the estimated time of arrival, the appropriate weather reports or forecasts, or any combination of them, indicate that—
(1) The ceiling will be at least 1,500 feet above the lowest circling approach MDA; or
(2) If a circling instrument approach is not authorized for the airport, the ceiling will be at least 1,500 feet above the lowest published minimum or 2,000 feet above the airport elevation, whichever is higher; and
(3) Visibility for that airport is forecast to be at least three miles, or two miles more than the lowest applicable visibility minimums, whichever is the greater, for the instrument approach procedure to be used at the destination airport.
(a) Except to the extent permitted by paragraphs (b) and (j) of this section, no pilot may begin an instrument approach procedure to an airport unless—
(1) That airport has a weather reporting facility operated by the U.S. National Weather Service, a source approved by U.S. National Weather Service, or a source approved by the Administrator; and
(2) The latest weather report issued by that weather reporting facility indicates that weather conditions are at or above the authorized IFR landing minimums for that airport.
(b) A pilot conducting an eligible on-demand operation may begin and conduct an instrument approach procedure to an airport that does not have a weather reporting facility operated by the U.S. National Weather Service, a source approved by the U.S. National Weather Service, or a source approved by the Administrator if—
(1) The alternate airport has a weather reporting facility operated by the U.S. National Weather Service, a source approved by the U.S. National Weather Service, or a source approved by the Administrator; and
(2) The latest weather report issued by the weather reporting facility includes a current local altimeter setting for the destination airport. If no local altimeter setting for the destination airport is available, the pilot may use the current altimeter setting provided by the facility designated on the approach chart for the destination airport.
(c) Except as provided in paragraph (j) of this section, no pilot may begin the final approach segment of an instrument approach procedure to an airport unless the latest weather reported by the facility described in paragraph (a)(1) of this section indicates that weather conditions are at or above the authorized IFR landing minimums for that procedure.
(d) Except as provided in paragraph (j) of this section, a pilot who has begun the final approach segment of an instrument approach to an airport under paragraph (c) of this section, and receives a later weather report indicating that conditions have worsened to below the minimum requirements, may continue the approach only if the following conditions are met—
(1) The later weather report is received when the aircraft is in one of the following approach phases:
(i) The aircraft is on an ILS final approach and has passed the final approach fix;
(ii) The aircraft is on an ASR or PAR final approach and has been turned over to the final approach controller; or
(iii) The aircraft is on a non-precision final approach and the aircraft—
(A) Has passed the appropriate facility or final approach fix; or
(B) Where a final approach fix is not specified, has completed the procedure turn and is established inbound toward the airport on the final approach course within the distance prescribed in the procedure; and
(2) The pilot in command finds, on reaching the authorized MDA or DA/DH, that the actual weather conditions are at or above the minimums prescribed for the procedure being used.
(e) The MDA or DA/DH and visibility landing minimums prescribed in part 97 of this chapter or in the operator's operations specifications are increased by 100 feet and
(f) Each pilot making an IFR takeoff or approach and landing at a military or foreign airport shall comply with applicable instrument approach procedures and weather minimums prescribed by the authority having jurisdiction over that airport. In addition, unless authorized by the certificate holder's operations specifications, no pilot may, at that airport—
(1) Take off under IFR when the visibility is less than 1 mile; or
(2) Make an instrument approach when the visibility is less than
(g) If takeoff minimums are specified in part 97 of this chapter for the take- off airport, no pilot may take off an aircraft under IFR when the weather conditions reported by the facility described in paragraph (a)(1) of this section are less than the takeoff minimums specified for the takeoff airport in part 97 or in the certificate holder's operations specifications.
(h) Except as provided in paragraph (i) of this section, if takeoff minimums are not prescribed in part 97 of this chapter for the takeoff airport, no pilot may takeoff an aircraft under IFR when the weather conditions reported by the facility described in paragraph (a)(1) of this section are less than that prescribed in part 91 of this chapter or in the certificate holder's operations specifications.
(i) At airports where straight-in instrument approach procedures are authorized, a pilot may takeoff an aircraft under IFR when the weather conditions reported by the facility described in paragraph (a)(1) of this section are equal to or better than the lowest straight-in landing minimums, unless otherwise restricted, if—
(1) The wind direction and velocity at the time of takeoff are such that a straight-in instrument approach can be made to the runway served by the instrument approach;
(2) The associated ground facilities upon which the landing minimums are predicated and the related airborne equipment are in normal operation; and
(3) The certificate holder has been approved for such operations.
(j) A pilot may begin an instrument approach procedure, or continue an approach, at an airport when the visibility is reported to be less than the visibility minimums prescribed for that procedure if the pilot uses an operable EFVS in accordance with § 91.176 of this chapter and the certificate holder's operations specifications for EFVS operations.
(a) No pilot may take off an aircraft that has frost, ice, or snow adhering to any rotor blade, propeller, windshield, stabilizing or control surface; to a powerplant installation; or to an airspeed, altimeter, rate of climb, flight attitude instrument system, or wing, except that takeoffs may be made with frost under the wing in the area of the fuel tanks if authorized by the FAA.
(b) No certificate holder may authorize an airplane to take off and no pilot may take off an airplane any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the airplane unless the pilot has completed all applicable training as required by § 135.341 and unless one of the following requirements is met:
(1) A pretakeoff contamination check, that has been established by the certificate holder and approved by the Administrator for the specific airplane type, has been completed within 5 minutes prior to beginning takeoff. A pretakeoff contamination check is a check to make sure the wings and control surfaces are free of frost, ice, or snow.
(2) The certificate holder has an approved alternative procedure and under that procedure the airplane is determined to be free of frost, ice, or snow.
(3) The certificate holder has an approved deicing/anti-icing program that complies with § 121.629(c) of this chapter and the takeoff complies with that program.
(c) No pilot may fly under IFR into known or forecast light or moderate icing conditions or under VFR into known light or moderate icing conditions, unless—
(1) The aircraft has functioning deicing or anti-icing equipment protecting each rotor blade, propeller, windshield, wing, stabilizing or control surface, and each airspeed, altimeter, rate of climb, or flight attitude instrument system;
(2) The airplane has ice protection provisions that meet section 34 of appendix A of this part; or
(3) The airplane meets transport category airplane type certification provisions, including the requirements for certification for flight in icing conditions.
(d) No pilot may fly a helicopter under IFR into known or forecast icing conditions or under VFR into known icing conditions unless it has been type certificated and appropriately equipped for operations in icing conditions.
(e) Except for an airplane that has ice protection provisions that meet section 34 of appendix A, or those for transport category airplane type certification, no pilot may fly an aircraft into known or forecast severe icing conditions.
(f) If current weather reports and briefing information relied upon by the pilot in command indicate that the forecast icing condition that would otherwise prohibit the flight will not be encountered during the flight because of changed weather conditions since the forecast, the restrictions in paragraphs (c), (d), and (e) of this section based on forecast conditions do not apply.
(a) No certificate holder may use any airport unless it is adequate for the proposed operation, considering such items as size, surface, obstructions, and lighting.
(b) No pilot of an aircraft carrying passengers at night may takeoff from, or land on, an airport unless—
(1) That pilot has determined the wind direction from an illuminated wind direction indicator or local ground communications or, in the case of takeoff, that pilot's personal observations; and
(2) The limits of the area to be used for landing or takeoff are clearly shown—
(i) For airplanes, by boundary or runway marker lights;
(ii) For helicopters, by boundary or runway marker lights or reflective material.
(c) For the purpose of paragraph (b) of this section, if the area to be used for takeoff or landing is marked by flare pots or lanterns, their use must be approved by the Administrator.
Except as provided in § 135.3, this subpart prescribes the flight crewmember requirements for operations under this part.
(a) No certificate holder may use a person, nor may any person serve, as pilot in command in passenger-carrying operations-
(1) Of a turbojet airplane, of an airplane having a passenger-seat configuration, excluding each crewmember seat, of 10 seats or more, or of a multiengine airplane in a commuter operation as defined in part 110 of this chapter, unless that person holds an airline transport pilot certificate with appropriate category and class ratings and, if required, an appropriate type rating for that airplane.
(2) Of a helicopter in a scheduled interstate air transportation operation by an air carrier within the 48 contiguous states unless that person holds an airline transport pilot certificate, appropriate type ratings, and an instrument rating.
(3) Of a turbojet-powered powered-lift, of a powered-lift having a passenger-seat configuration, excluding each crewmember seat, of 10 seats or more, or of a powered-lift in a commuter operation as defined in part 110 of this chapter, unless that person holds an airline transport pilot certificate with appropriate category rating, and appropriate type rating not limited to VFR for that powered-lift.
(b) Except as provided in paragraph (a) of this section, no certificate holder may use a person, nor may any person serve, as pilot in command of an aircraft under VFR unless that person-
(1) Holds at least a commercial pilot certificate with appropriate category and class ratings; an appropriate type rating for that aircraft, if required; and for a powered-lift, a type rating for that aircraft not limited to VFR; and
(2) Has had at least 500 hours' time as a pilot, including at least 100 hours of cross-country flight time, at least 25 hours of which were at night; and
(3) For an airplane, holds an instrument rating or an airline transport pilot certificate with an airplane category rating; or
(4) For helicopter operations conducted VFR over-the-top, holds a helicopter instrument rating, or an airline transport pilot certificate with a category and class rating for that aircraft, not limited to VFR; or
(5) For a powered-lift, holds an instrument-powered-lift rating or an airline transport pilot certificate with a powered-lift category rating.
(c) Except as provided in paragraph (a) of this section, no certificate holder may use a person, nor may any person serve, as pilot in command of an aircraft under IFR unless that person-
(1) Holds at least a commercial pilot certificate with appropriate category and class ratings, and if required, an appropriate type rating for that aircraft (the type rating for powered-lift may not be limited to VFR); and
(2) Has had at least 1,200 hours of flight time as a pilot, including 500 hours of cross country flight time, 100 hours of night flight time, and 75 hours of actual or simulated instrument time at least 50 hours of which were in actual flight; and
(3) For an airplane, holds an instrument rating or an airline transport pilot certificate with an airplane category rating; or
(4) For a helicopter, holds a helicopter instrument rating, or an airline transport pilot certificate with a category and class rating for that aircraft, not limited to VFR; or
(5) For a powered-lift, holds an instrument-powered-lift rating or an airline transport pilot certificate with a powered-lift category rating.
(d) Paragraph (b)(3) of this section does not apply when—
(1) The aircraft used is a single reciprocating-engine-powered airplane;
(2) The certificate holder does not conduct any operation pursuant to a published flight schedule which specifies five or more round trips a week between two or more points and places between which the round trips are performed, and does not transport mail by air under a contract or contracts with the United States Postal Service having total amount estimated at the beginning of any semiannual reporting period (January 1-June 30; July 1-December 31) to be in excess of $20,000 over the 12 months commencing with the beginning of the reporting period;
(3) The area, as specified in the certificate holder's operations specifications, is an isolated area, as determined by the Flight Standards office, if it is shown that—
(i) The primary means of navigation in the area is by pilotage, since radio navigational aids are largely ineffective; and
(ii) The primary means of transportation in the area is by air;
(4) Each flight is conducted under day VFR with a ceiling of not less than 1,000 feet and visibility not less than 3 statute miles;
(5) Weather reports or forecasts, or any combination of them, indicate that for the period commencing with the planned departure and ending 30 minutes after the planned arrival at the destination the flight may be conducted under VFR with a ceiling of not less than 1,000 feet and visibility of not less than 3 statute miles, except that if weather reports and forecasts are not available, the pilot in command may use that pilot's observations or those of other persons competent to supply weather observations if those observations indicate the flight may be conducted under VFR with the ceiling and visibility required in this paragraph;
(6) The distance of each flight from the certificate holder's base of operation to destination does not exceed 250 nautical miles for a pilot who holds a commercial pilot certificate with an airplane rating without an instrument rating, provided the pilot's certificate does not contain any limitation to the contrary; and
(7) The areas to be flown are approved by the responsible Flight Standards office and are listed in the certificate holder's operations specifications.
(a) No certificate holder may use any person, nor may any person serve, as a pilot in command of an aircraft operated in a commuter operation, as defined in part 110 of this chapter unless that person has completed, prior to designation as pilot in command, on that make and basic model aircraft and in that crewmember position, the following operating experience in each make and basic model of aircraft to be flown:
(1) Aircraft, single engine—10 hours.
(2) Aircraft multiengine, reciprocating engine-powered—15 hours.
(3) Aircraft multiengine, turbine engine-powered—20 hours.
(4) Airplane, turbojet-powered—25 hours.
(b) In acquiring the operating experience, each person must comply with the following:
(1) The operating experience must be acquired after satisfactory completion of the appropriate ground and flight training for the aircraft and crewmember position. Approved provisions for the operating experience must be included in the certificate holder's training program.
(2) The experience must be acquired in flight during commuter passenger-carrying operations under this part. However, in the case of an aircraft not previously used by the certificate holder in operations under this part, operating experience acquired in the aircraft during proving flights or ferry flights may be used to meet this requirement.
(3) Each person must acquire the operating experience while performing the duties of a pilot in command under the supervision of a qualified check pilot.
(4) The hours of operating experience may be reduced to not less than 50 percent of the hours required by this section by the substitution of one additional takeoff and landing for each hour of flight.
(a) Except as provided in paragraph (b) of this section, no certificate holder may use any person, nor may any person serve, as second in command of an aircraft unless that person holds at least a commercial pilot certificate with appropriate category and class ratings and an instrument rating.
(b) A second in command of a helicopter operated under VFR, other than over-the-top, must have at least a commercial pilot certificate with an appropriate aircraft category and class rating.
(c) No certificate holder may use any person, nor may any person serve, as second in command under IFR unless that person meets the following instrument experience requirements:
(1) Use of an airplane, powered-lift, or helicopter for maintaining instrument experience. Within the 6 calendar months preceding the month of the flight, that person performed and logged at least the following tasks and iterations in-flight in an airplane, powered-lift, or helicopter, as appropriate, in actual weather conditions, or under simulated instrument conditions using a view-limiting device:
(i) Six instrument approaches;
(ii) Holding procedures and tasks; and
(iii) Intercepting and tracking courses through the use of navigational electronic systems.
(2) Use of an FSTD for maintaining instrument experience. A person may accomplish the requirements in paragraph (c)(1) of this section in an approved FSTD, or a combination of aircraft and FSTD, provided:
(i) The FSTD represents the category of aircraft for the instrument rating privileges to be maintained;
(ii) The person performs the tasks and iterations in simulated instrument conditions; and
(iii) A flight instructor qualified under § 135.338 or a check pilot qualified under § 135.337 observes the tasks and iterations and signs the person's logbook or training record to verify the time and content of the session.
(d) A second in command who has failed to meet the instrument experience requirements of paragraph (c) of this section for more than six calendar months must reestablish instrument recency under the supervision of a flight instructor qualified under § 135.338 or a check pilot qualified under § 135.337. To reestablish instrument recency, a second in command must complete at least the following areas of operation required for the instrument rating practical test in an aircraft or FSTD that represents the category of aircraft for the instrument experience requirements to be reestablished:
(1) Air traffic control clearances and procedures;
(2) Flight by reference to instruments;
(3) Navigation systems;
(4) Instrument approach procedures;
(5) Emergency operations; and
(6) Postflight procedures.
(a) No certificate holder may use any person, nor may any person serve, as pilot in command of an aircraft carrying passengers unless, within the preceding 90 days, that person has—
(1) Made three takeoffs and three landings as the sole manipulator of the flight controls in an aircraft of the same category and class and, if a type rating is required, of the same type in which that person is to serve; or
(2) For operation during the period beginning 1 hour after sunset and ending 1 hour before sunrise (as published in the Air Almanac), made three takeoffs and three landings during that period as the sole manipulator of the flight controls in an aircraft of the same category and class and, if a type rating is required, of the same type in which that person is to serve.
(3) Paragraph (a)(2) of this section does not apply to a pilot in command of a turbine-powered airplane that is type certificated for more than one pilot crewmember, provided that pilot has complied with the requirements of paragraph (a)(3)(i) or (ii) of this section:
(i) The pilot in command must hold at least a commercial pilot certificate with the appropriate category, class, and type rating for each airplane that is type certificated for more than one pilot crewmember that the pilot seeks to operate under this alternative, and:
(A) That pilot must have logged at least 1,500 hours of aeronautical experience as a pilot;
(B) In each airplane that is type certificated for more than one pilot crewmember that the pilot seeks to operate under this alternative, that pilot must have accomplished and logged the daytime takeoff and landing recent flight experience of paragraph (a) of this section, as the sole manipulator of the flight controls;
(C) Within the preceding 90 days prior to the operation of that airplane that is type certificated for more than one pilot crewmember, the pilot must have accomplished and logged at least 15 hours of flight time in the type of airplane that the pilot seeks to operate under this alternative; and
(D) That pilot has accomplished and logged at least 3 takeoffs and 3 landings to a full stop, as the sole manipulator of the flight controls, in a turbine-powered airplane that requires more than one pilot crewmember. The pilot must have performed the takeoffs and landings during the period beginning 1 hour after sunset and ending 1 hour before sunrise within the preceding 6 months prior to the month of the flight.
(ii) The pilot in command must hold at least a commercial pilot certificate with the appropriate category, class, and type rating for each airplane that is type certificated for more than one pilot crewmember that the pilot seeks to operate under this alternative, and:
(A) That pilot must have logged at least 1,500 hours of aeronautical experience as a pilot;
(B) In each airplane that is type certificated for more than one pilot crewmember that the pilot seeks to operate under this alternative, that pilot must have accomplished and logged the daytime takeoff and landing recent flight experience of paragraph (a) of this section, as the sole manipulator of the flight controls;
(C) Within the preceding 90 days prior to the operation of that airplane that is type certificated for more than one pilot crewmember, the pilot must have accomplished and logged at least 15 hours of flight time in the type of airplane that the pilot seeks to operate under this alternative; and
(D) Within the preceding 12 months prior to the month of the flight, the pilot must have completed a training program that is approved under part 142 of this chapter. The approved training program must have required and the pilot must have performed, at least 6 takeoffs and 6 landings to a full stop as the sole manipulator of the controls in a flight simulator that is representative of a turbine-powered airplane that requires more than one pilot crewmember. The flight simulator's visual system must have been adjusted to represent the period beginning 1 hour after sunset and ending 1 hour before sunrise.
(b) For the purpose of paragraph (a) of this section, if the aircraft is a tailwheel airplane, each takeoff must be made in a tailwheel airplane and each landing must be made to a full stop in a tailwheel airplane.
Sections 135.263 through 135.273 of this part prescribe flight time limitations, duty period limitations, and rest requirements for operations conducted under this part as follows:
(a) Section 135.263 applies to all operations under this subpart.
(b) Section 135.265 applies to:
(1) Scheduled passenger-carrying operations except those conducted solely within the state of Alaska. “Scheduled passenger-carrying operations” means passenger-carrying operations that are conducted in accordance with a published schedule which covers at least five round trips per week on at least one route between two or more points, includes dates or times (or both), and is openly advertised or otherwise made readily available to the general public, and
(2) Any other operation under this part, if the operator elects to comply with § 135.265 and obtains an appropriate operations specification amendment.
(c) Sections 135.267 and 135.269 apply to any operation that is not a scheduled passenger-carrying operation and to any operation conducted solely within the State of Alaska, unless the operator elects to comply with § 135.265 as authorized under paragraph (b)(2) of this section.
(d) Section 135.271 contains special daily flight time limits for operations conducted under the helicopter emergency medical evacuation service (HEMES).
(e) Section 135.273 prescribes duty period limitations and rest requirements for flight attendants in all operations conducted under this part.
(a) A certificate holder may assign a flight crewmember and a flight crewmember may accept an assignment for flight time only when the applicable requirements of §§ 135.263 through 135.271 are met.
(b) No certificate holder may assign any flight crewmember to any duty with the certificate holder during any required rest period.
(c) Time spent in transportation, not local in character, that a certificate holder requires of a flight crewmember and provides to transport the crewmember to an airport at which he is to serve on a flight as a crewmember, or from an airport at which he was relieved from duty to return to his home station, is not considered part of a rest period.
(d) A flight crewmember is not considered to be assigned flight time in excess of flight time limitations if the flights to which he is assigned normally terminate within the limitations, but due to circumstances beyond the control of the certificate holder or flight crewmember (such as adverse weather conditions), are not at the time of departure expected to reach their destination within the planned flight time.
(a) No certificate holder may schedule any flight crewmember, and no flight crewmember may accept an assignment, for flight time in scheduled operations or in other commercial flying if that crewmember's total flight time in all commercial flying will exceed—
(1) 1,200 hours in any calendar year.
(2) 120 hours in any calendar month.
(3) 34 hours in any 7 consecutive days.
(4) 8 hours during any 24 consecutive hours for a flight crew consisting of one pilot.
(5) 8 hours between required rest periods for a flight crew consisting of two pilots qualified under this part for the operation being conducted.
(b) Except as provided in paragraph (c) of this section, no certificate holder may schedule a flight crewmember, and no flight crewmember may accept an assignment, for flight time during the 24 consecutive hours preceding the scheduled completion of any flight segment without a scheduled rest period during that 24 hours of at least the following:
(1) 9 consecutive hours of rest for less than 8 hours of scheduled flight time.
(2) 10 consecutive hours of rest for 8 or more but less than 9 hours of scheduled flight time.
(3) 11 consecutive hours of rest for 9 or more hours of scheduled flight time.
(c) A certificate holder may schedule a flight crewmember for less than the rest required in paragraph (b) of this section or may reduce a scheduled rest under the following conditions:
(1) A rest required under paragraph (b)(1) of this section may be scheduled for or reduced to a minimum of 8 hours if the flight crewmember is given a rest period of at least 10 hours that must begin no later than 24 hours after the commencement of the reduced rest period.
(2) A rest required under paragraph (b)(2) of this section may be scheduled for or reduced to a minimum of 8 hours if the flight crewmember is given a rest period of at least 11 hours that must begin no later than 24 hours after the commencement of the reduced rest period.
(3) A rest required under paragraph (b)(3) of this section may be scheduled for or reduced to a minimum of 9 hours if the flight crewmember is given a rest period of at least 12 hours that must begin no later than 24 hours after the commencement of the reduced rest period.
(d) Each certificate holder shall relieve each flight crewmember engaged in scheduled air transportation from all further duty for at least 24 consecutive hours during any 7 consecutive days.
(a) No certificate holder may assign any flight crewmember, and no flight crewmember may accept an assignment, for flight time as a member of a one- or two-pilot crew if that crewmember's total flight time in all commercial flying will exceed—
(1) 500 hours in any calendar quarter.
(2) 800 hours in any two consecutive calendar quarters.
(3) 1,400 hours in any calendar year.
(b) Except as provided in paragraph (c) of this section, during any 24 consecutive hours the total flight time of the assigned flight when added to any other commercial flying by that flight crewmember may not exceed—
(1) 8 hours for a flight crew consisting of one pilot; or
(2) 10 hours for a flight crew consisting of two pilots qualified under this part for the operation being conducted.
(c) A flight crewmember's flight time may exceed the flight time limits of paragraph (b) of this section if the assigned flight time occurs during a regularly assigned duty period of no more than 14 hours and—
(1) If this duty period is immediately preceded by and followed by a required rest period of at least 10 consecutive hours of rest;
(2) If flight time is assigned during this period, that total flight time when added to any other commercial flying by the flight crewmember may not exceed—
(i) 8 hours for a flight crew consisting of one pilot; or
(ii) 10 hours for a flight crew consisting of two pilots; and
(3) If the combined duty and rest periods equal 24 hours.
(d) Each assignment under paragraph (b) of this section must provide for at least 10 consecutive hours of rest during the 24-hour period that precedes the planned completion time of the assignment.
(e) When a flight crewmember has exceeded the daily flight time limitations in this section, because of circumstances beyond the control of the certificate holder or flight crewmember (such as adverse weather conditions), that flight crewmember must have a rest period before being assigned or accepting an assignment for flight time of at least—
(1) 11 consecutive hours of rest if the flight time limitation is exceeded by not more than 30 minutes;
(2) 12 consecutive hours of rest if the flight time limitation is exceeded by more than 30 minutes, but not more than 60 minutes; and
(3) 16 consecutive hours of rest if the flight time limitation is exceeded by more than 60 minutes.
(f) The certificate holder must provide each flight crewmember at least 13 rest periods of at least 24 consecutive hours each in each calendar quarter.
(a) No certificate holder may assign any flight crewmember, and no flight crewmember may accept an assignment, for flight time as a member of a three- or four-pilot crew if that crewmember's total flight time in all commercial flying will exceed—
(1) 500 hours in any calendar quarter.
(2) 800 hours in any two consecutive calendar quarters.
(3) 1,400 hours in any calendar year.
(b) No certificate holder may assign any pilot to a crew of three or four pilots, unless that assignment provides—
(1) At least 10 consecutive hours of rest immediately preceding the assignment;
(2) No more than 8 hours of flight deck duty in any 24 consecutive hours;
(3) No more than 18 duty hours for a three-pilot crew or 20 duty hours for a four-pilot crew in any 24 consecutive hours;
(4) No more than 12 hours aloft for a three-pilot crew or 16 hours aloft for a four-pilot crew during the maximum duty hours specified in paragraph (b)(3) of this section;
(5) Adequate sleeping facilities on the aircraft for the relief pilot;
(6) Upon completion of the assignment, a rest period of at least 12 hours;
(7) For a three-pilot crew, a crew which consists of at least the following:
(i) A pilot in command (PIC) who meets the applicable flight crewmember requirements of subpart E of part 135;
(ii) A PIC who meets the applicable flight crewmember requirements of subpart E of part 135, except those prescribed in §§ 135.244 and 135.247; and
(iii) A second in command (SIC) who meets the SIC qualifications of § 135.245.
(8) For a four-pilot crew, at least three pilots who meet the conditions of paragraph (b)(7) of this section, plus a fourth pilot who meets the SIC qualifications of § 135.245.
(c) When a flight crewmember has exceeded the daily flight deck duty limitation in this section by more than 60 minutes, because of circumstances beyond the control of the certificate holder or flight crewmember, that flight crewmember must have a rest period before the next duty period of at least 16 consecutive hours.
(d) A certificate holder must provide each flight crewmember at least 13 rest periods of at least 24 consecutive hours each in each calendar quarter.
(a) No certificate holder may assign any flight crewmember, and no flight crewmember may accept an assignment for flight time if that crewmember's total flight time in all commercial flight will exceed—
(1) 500 hours in any calendar quarter.
(2) 800 hours in any two consecutive calendar quarters.
(3) 1,400 hours in any calendar year.
(b) No certificate holder may assign a helicopter flight crewmember, and no flight crewmember may accept an assignment, for hospital emergency medical evacuation service helicopter operations unless that assignment provides for at least 10 consecutive hours of rest immediately preceding reporting to the hospital for availability for flight time.
(c) No flight crewmember may accrue more than 8 hours of flight time during any 24-consecutive hour period of a HEMES assignment, unless an emergency medical evacuation operation is prolonged. Each flight crewmember who exceeds the daily 8 hour flight time limitation in this paragraph must be relieved of the HEMES assignment immediately upon the completion of that emergency medical evacuation operation and must be given a rest period in compliance with paragraph (h) of this section.
(d) Each flight crewmember must receive at least 8 consecutive hours of rest during any 24 consecutive hour period of a HEMES assignment. A flight crewmember must be relieved of the HEMES assignment if he or she has not or cannot receive at least 8 consecutive hours of rest during any 24 consecutive hour period of a HEMES assignment.
(e) A HEMES assignment may not exceed 72 consecutive hours at the hospital.
(f) An adequate place of rest must be provided at, or in close proximity to, the hospital at which the HEMES assignment is being performed.
(g) No certificate holder may assign any other duties to a flight crewmember during a HEMES assignment.
(h) Each pilot must be given a rest period upon completion of the HEMES assignment and prior to being assigned any further duty with the certificate holder of—
(1) At least 12 consecutive hours for an assignment of less than 48 hours.
(2) At least 16 consecutive hours for an assignment of more than 48 hours.
(i) The certificate holder must provide each flight crewmember at least 13 rest periods of at least 24 consecutive hours each in each calendar quarter.
(a) For purposes of this section—
Calendar day means the period of elapsed time, using Coordinated Universal Time or local time, that begins at midnight and ends 24 hours later at the next midnight.
Duty period means the period of elapsed time between reporting for an assignment involving flight time and release from that assignment by the certificate holder. The time is calculated using either Coordinated Universal Time or local time to reflect the total elapsed time.
Flight attendant means an individual, other than a flight crewmember, who is assigned by the certificate holder, in accordance with the required minimum crew complement under the certificate holder's operations specifications or in addition to that minimum complement, to duty in an aircraft during flight time and whose duties include but are not necessarily limited to cabin-safety-related responsibilities.
Rest period means the period free of all responsibility for work or duty should the occasion arise.
(b) Except as provided in paragraph (c) of this section, a certificate holder may assign a duty period to a flight attendant only when the applicable duty period limitations and rest requirements of this paragraph are met.
(1) Except as provided in paragraphs (b)(4), (b)(5), and (b)(6) of this section, no certificate holder may assign a flight attendant to a scheduled duty period of more than 14 hours.
(2) Except as provided in paragraph (b)(3) of this section, a flight attendant scheduled to a duty period of 14 hours or less as provided under paragraph (b)(1) of this section must be given a scheduled rest period of at least 9 consecutive hours. This rest period must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(3) The rest period required under paragraph (b)(2) of this section may be scheduled or reduced to 8 consecutive hours if the flight attendant is provided a subsequent rest period of at least 10 consecutive hours; this subsequent rest period must be scheduled to begin no later than 24 hours after the beginning of the reduced rest period and must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(4) A certificate holder may assign a flight attendant to a scheduled duty period of more than 14 hours, but no more than 16 hours, if the certificate holder has assigned to the flight or flights in that duty period at least one flight attendant in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the certificate holder's operations specifications.
(5) A certificate holder may assign a flight attendant to a scheduled duty period of more than 16 hours, but no more than 18 hours, if the certificate holder has assigned to the flight or flights in that duty period at least two flight attendants in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the certificate holder's operations specifications.
(6) A certificate holder may assign a flight attendant to a scheduled duty period of more than 18 hours, but no more than 20 hours, if the scheduled duty period includes one or more flights that land or take off outside the 48 contiguous states and the District of Columbia, and if the certificate holder has assigned to the flight or flights in that duty period at least three flight attendants in addition to the minimum flight attendant complement required for the flight or flights in that duty period under the certificate holder's operations specifications.
(7) Except as provided in paragraph (b)(8) of this section, a flight attendant scheduled to a duty period of more than 14 hours but no more than 20 hours, as provided in paragraphs (b)(4), (b)(5), and (b)(6) of this section, must be given a scheduled rest period of at least 12 consecutive hours. This rest period must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(8) The rest period required under paragraph (b)(7) of this section may be scheduled or reduced to 10 consecutive hours if the flight attendant is provided a subsequent rest period of at least 14 consecutive hours; this subsequent rest period must be scheduled to begin no later than 24 hours after the beginning of the reduced rest period and must occur between the completion of the scheduled duty period and the commencement of the subsequent duty period.
(9) Notwithstanding paragraphs (b)(4), (b)(5), and (b)(6) of this section, if a certificate holder elects to reduce the rest period to 10 hours as authorized by paragraph (b)(8) of this section, the certificate holder may not schedule a flight attendant for a duty period of more than 14 hours during the 24-hour period commencing after the beginning of the reduced rest period.
(10) No certificate holder may assign a flight attendant any duty period with the certificate holder unless the flight attendant has had at least the minimum rest required under this section.
(11) No certificate holder may assign a flight attendant to perform any duty with the certificate holder during any required rest period.
(12) Time spent in transportation, not local in character, that a certificate holder requires of a flight attendant and provides to transport the flight attendant to an airport at which that flight attendant is to serve on a flight as a crewmember, or from an airport at which the flight attendant was relieved from duty to return to the flight attendant's home station, is not considered part of a rest period.
(13) Each certificate holder must relieve each flight attendant engaged in air transportation from all further duty for at least 24 consecutive hours during any 7 consecutive calendar days.
(14) A flight attendant is not considered to be scheduled for duty in excess of duty period limitations if the flights to which the flight attendant is assigned are scheduled and normally terminate within the limitations but due to circumstances beyond the control of the certificate holder (such as adverse weather conditions) are not at the time of departure expected to reach their destination within the scheduled time.
(c) Notwithstanding paragraph (b) of this section, a certificate holder may apply the flight crewmember flight time and duty limitations and rest requirements of this part to flight attendants for all operations conducted under this part provided that—
(1) The certificate holder establishes written procedures that—
(i) Apply to all flight attendants used in the certificate holder's operation;
(ii) Include the flight crewmember requirements contained in subpart F of this part, as appropriate to the operation being conducted, except that rest facilities on board the aircraft are not required; and
(iii) Include provisions to add one flight attendant to the minimum flight attendant complement for each flight crewmember who is in excess of the minimum number required in the aircraft type certificate data sheet and who is assigned to the aircraft under the provisions of subpart F of this part, as applicable.
(iv) Are approved by the Administrator and described or referenced in the certificate holder's operations specifications; and
(2) Whenever the Administrator finds that revisions are necessary for the continued adequacy of duty period limitation and rest requirement procedures that are required by paragraph (c)(1) of this section and that had been granted final approval, the certificate holder must, after notification by the Administrator, make any changes in the procedures that are found necessary by the Administrator. Within 30 days after the certificate holder receives such notice, it may file a petition to reconsider the notice with the responsible Flight Standards office. The filing of a petition to reconsider stays the notice, pending decision by the Administrator. However, if the Administrator finds that there is an emergency that requires immediate action in the interest of safety, the Administrator may, upon a statement of the reasons, require a change effective without stay.
Except as provided in § 135.3, this subpart—
(a) Prescribes the tests and checks required for pilot and flight attendant crewmembers and for the approval of check pilots in operations under this part; and
(b) Permits training center personnel authorized under part 142 of this chapter who meet the requirements of §§ 135.337 and 135.339 to conduct training, testing, and checking under contract or other arrangement to those persons subject to the requirements of this subpart.
(a) No certificate holder may use a pilot, nor may any person serve as a pilot, unless, since the beginning of the 12th calendar month before that service, that pilot has passed a written or oral test, given by the Administrator or an authorized check pilot, on that pilot's knowledge in the following areas—
(1) The appropriate provisions of parts 61, 91, and 135 of this chapter and the operations specifications and the manual of the certificate holder;
(2) For each type of aircraft to be flown by the pilot, the aircraft powerplant, major components and systems, major appliances, performance and operating limitations, standard and emergency operating procedures, and the contents of the approved Aircraft Flight Manual or equivalent, as applicable;
(3) For each type of aircraft to be flown by the pilot, the method of determining compliance with weight and balance limitations for takeoff, landing and en route operations;
(4) Navigation and use of air navigation aids appropriate to the operation or pilot authorization, including, when applicable, instrument approach facilities and procedures;
(5) Air traffic control procedures, including IFR procedures when applicable;
(6) Meteorology in general, including the principles of frontal systems, icing, fog, thunderstorms, and windshear, and, if appropriate for the operation of the certificate holder, high altitude weather;
(7) Procedures for—
(i) Recognizing and avoiding severe weather situations;
(ii) Escaping from severe weather situations, in case of inadvertent encounters, including low-altitude windshear (except that rotorcraft pilots are not required to be tested on escaping from low-altitude windshear);
(iii) Operating in or near thunderstorms (including best penetrating altitudes), turbulent air (including clear air turbulence), icing, hail, and other potentially hazardous meteorological conditions; and
(8) New equipment, procedures, or techniques, as appropriate; and
(9) For rotorcraft and powered-lift pilots, procedures for aircraft handling in flat-light, whiteout, and brownout conditions, including methods for recognizing and avoiding those conditions.
(b) No certificate holder may use a pilot, nor may any person serve as a pilot, in any aircraft unless, since the beginning of the 12th calendar month before that service, that pilot has passed a competency check given by the Administrator or an authorized check pilot in that class of aircraft, if single-engine airplane other than turbojet, or that type of aircraft, if helicopter, multiengine airplane, turbojet airplane, or powered-lift to determine the pilot's competence in practical skills and techniques in that aircraft or class of aircraft. The extent of the competency check shall be determined by the Administrator or authorized check pilot conducting the competency check. The competency check may include any of the maneuvers and procedures currently required for the original issuance of the particular pilot certificate required for the operations authorized and appropriate to the category, class and type of aircraft involved. For the purposes of this paragraph (b), type, as to an airplane means any one of a group of airplanes determined by the Administrator to have a similar means of propulsion, the same manufacturer, and no significantly different handling or flight characteristics. For the purposes of this paragraph (b), type, as to a helicopter, means a basic make and model.
(c) Each competency check given in a rotorcraft or powered-lift must include a demonstration of the pilot's ability to maneuver the rotorcraft or powered-lift solely by reference to instruments. The check must determine the pilot's ability to safely maneuver the rotorcraft or powered-lift into visual meteorological conditions following an inadvertent encounter with instrument meteorological conditions. For competency checks in non-IFR-certified rotorcraft or powered-lift, the pilot must perform such maneuvers as are appropriate to the rotorcraft's or powered-lift's installed equipment, the certificate holder's operations specifications, and the operating environment.
(d) The instrument proficiency check required by § 135.297 may be substituted for the competency check required by this section for the type of aircraft used in the check.
(e) For the purpose of this part, competent performance of a procedure or maneuver by a person to be used as a pilot requires that the pilot be the obvious master of the aircraft, with the successful outcome of the maneuver never in doubt.
(f) The Administrator or authorized check pilot certifies the competency of each pilot who passes the knowledge or flight check in the certificate holder's pilot records.
(g) Portions of a required competency check may be given in an aircraft simulator or other appropriate training device, if approved by the Administrator.
(h) Rotorcraft pilots must be tested on the subjects in paragraph (a)(9) of this section when taking a written or oral knowledge test after April 22, 2015. Rotorcraft pilots must be checked on the maneuvers and procedures in paragraph (c) of this section when taking a competency check after April 22, 2015.
(i) If the certificate holder is authorized to conduct EFVS operations, the competency check in paragraph (b) of this section must include tasks appropriate to the EFVS operations the certificate holder is authorized to conduct.
No certificate holder may use a flight attendant crewmember, nor may any person serve as a flight attendant crewmember unless, since the beginning of the 12th calendar month before that service, the certificate holder has determined by appropriate initial and recurrent testing that the person is knowledgeable and competent in the following areas as appropriate to assigned duties and responsibilities—
(a) Authority of the pilot in command;
(b) Passenger handling, including procedures to be followed in handling deranged persons or other persons whose conduct might jeopardize safety;
(c) Crewmember assignments, functions, and responsibilities during ditching and evacuation of persons who may need the assistance of another person to move expeditiously to an exit in an emergency;
(d) Briefing of passengers;
(e) Location and operation of portable fire extinguishers and other items of emergency equipment;
(f) Proper use of cabin equipment and controls;
(g) Location and operation of passenger oxygen equipment;
(h) Location and operation of all normal and emergency exits, including evacuation chutes and escape ropes; and
(i) Seating of persons who may need assistance of another person to move rapidly to an exit in an emergency as prescribed by the certificate holder's operations manual.
(a) No certificate holder may use a pilot, nor may any person serve, as a pilot in command of an aircraft under IFR unless, since the beginning of the 6th calendar month before that service, that pilot has passed an instrument proficiency check under this section administered by the Administrator or an authorized check pilot.
(b) No pilot may use any type of precision instrument approach procedure under IFR unless, since the beginning of the 6th calendar month before that use, the pilot satisfactorily demonstrated that type of approach procedure. No pilot may use any type of nonprecision approach procedure under IFR unless, since the beginning of the 6th calendar month before that use, the pilot has satisfactorily demonstrated either that type of approach procedure or any other two different types of nonprecision approach procedures. The instrument approach procedure or procedures must include at least one straight-in approach, one circling approach, and one missed approach. Each type of approach procedure demonstrated must be conducted to published minimums for that procedure.
(c) The instrument proficiency check required by paragraph (a) of this section consists of an oral or written equipment test and a flight check under simulated or actual IFR conditions. The equipment test includes questions on emergency procedures, engine operation, fuel and lubrication systems, power settings, stall speeds, best engine-out speed, propeller and supercharger operations, and hydraulic, mechanical, and electrical systems, as appropriate. The flight check includes navigation by instruments, recovery from simulated emergencies, and standard instrument approaches involving navigational facilities which that pilot is to be authorized to use. Each pilot taking the instrument proficiency check must show that standard of competence required by § 135.293(e).
(1) The instrument proficiency check must—
(i) For a pilot in command of an aircraft under § 135.243(a), include the procedures and maneuvers for an airline transport pilot certificate in the particular type of aircraft, if appropriate; and
(ii) For a pilot in command of an aircraft under § 135.243(c), include the procedures and maneuvers for a commercial pilot certificate with an instrument rating and, if required, for the appropriate type rating.
(2) The instrument proficiency check must be given by an authorized check pilot or by the Administrator.
(d) If the pilot in command is assigned to pilot only one type of aircraft, that pilot must take the instrument proficiency check required by paragraph (a) of this section in that type of aircraft.
(e) If the pilot in command is assigned to pilot more than one type of aircraft, that pilot must take the instrument proficiency check required by paragraph (a) of this section in each type of aircraft to which that pilot is assigned, in rotation, but not more than one flight check during each period described in paragraph (a) of this section.
(f) If the pilot in command is assigned to pilot both single-engine and multiengine aircraft, that pilot must initially take the instrument proficiency check required by paragraph (a) of this section in a multiengine aircraft, and each succeeding check alternately in single-engine and multiengine aircraft, but not more than one flight check during each period described in paragraph (a) of this section. Portions of a required flight check may be given in an aircraft simulator or other appropriate training device, if approved by the Administrator.
(g) If the pilot in command is authorized to use an autopilot system in place of a second in command, that pilot must show, during the required instrument proficiency check, that the pilot is able (without a second in command) both with and without using the autopilot to—
(1) Conduct instrument operations competently; and
(2) Properly conduct air-ground communications and comply with complex air traffic control instructions.
(3) Each pilot taking the autopilot check must show that, while using the autopilot, the aircraft can be operated as proficiently as it would be if a second in command were present to handle air-ground communications and air traffic control instructions. The autopilot check need only be demonstrated once every 12 calendar months during the instrument proficiency check required under paragraph (a) of this section.
(a) No certificate holder may use a pilot, nor may any person serve, as a pilot in command of a flight unless, since the beginning of the 12th calendar month before that service, that pilot has passed a flight check in one of the types of aircraft which that pilot is to fly. The flight check shall—
(1) Be given by an approved check pilot or by the Administrator;
(2) Consist of at least one flight over one route segment; and
(3) Include takeoffs and landings at one or more representative airports. In addition to the requirements of this paragraph, for a pilot authorized to conduct IFR operations, at least one flight shall be flown over a civil airway, an approved off-airway route, or a portion of either of them.
(b) The pilot who conducts the check shall determine whether the pilot being checked satisfactorily performs the duties and responsibilities of a pilot in command in operations under this part, and shall so certify in the pilot training record.
(c) Each certificate holder shall establish in the manual required by § 135.21 a procedure which will ensure that each pilot who has not flown over a route and into an airport within the preceding 90 days will, before beginning the flight, become familiar with all available information required for the safe operation of that flight.
(a) If a crewmember who is required to take a test or a flight check under this part, completes the test or flight check in the calendar month before or after the calendar month in which it is required, that crewmember is considered to have completed the test or check in the calendar month in which it is required.
(b) If a pilot being checked under this subpart fails any of the required maneuvers, the person giving the check may give additional training to the pilot during the course of the check. In addition to repeating the maneuvers failed, the person giving the check may require the pilot being checked to repeat any other maneuvers that are necessary to determine the pilot's proficiency. If the pilot being checked is unable to demonstrate satisfactory performance to the person conducting the check, the certificate holder may not use the pilot, nor may the pilot serve, as a flight crewmember in operations under this part until the pilot has satisfactorily completed the check.
(a) Except as provided in § 135.3, this subpart prescribes the requirements applicable to—
(1) A certificate holder under this part which contracts with, or otherwise arranges to use the services of a training center certificated under part 142 to perform training, testing, and checking functions;
(2) Each certificate holder for establishing and maintaining an approved training program for crewmembers, check pilots and instructors, and other operations personnel employed or used by that certificate holder; and
(3) Each certificate holder for the qualification, approval, and use of aircraft simulators and flight training devices in the conduct of the program.
(b) For the purposes of this subpart, the following terms and definitions apply:
(1) Initial training. The training required for crewmembers who have not qualified and served in the same capacity on an aircraft.
(2) Transition training. The training required for crewmembers who have qualified and served in the same capacity on another aircraft.
(3) Upgrade training. The training required for crewmembers who have qualified and served as second in command on a particular aircraft type, before they serve as pilot in command on that aircraft.
(4) Differences training. The training required for crewmembers who have qualified and served on a particular type aircraft, when the Administrator finds differences training is necessary before a crewmember serves in the same capacity on a particular variation of that aircraft.
(5) Recurrent training. The training required for crewmembers to remain adequately trained and currently proficient for each aircraft, crewmember position, and type of operation in which the crewmember serves.
(6) In flight. The maneuvers, procedures, or functions that must be conducted in the aircraft.
(7) Training center. An organization governed by the applicable requirements of part 142 of this chapter that conducts training, testing, and checking under contract or other arrangement to certificate holders subject to the requirements of this part.
(8) Requalification training. The training required for crewmembers previously trained and qualified, but who have become unqualified due to not having met within the required period the—
(i) Recurrent pilot testing requirements of § 135.293;
(ii) Instrument proficiency check requirements of § 135.297; or
(iii) Line checks required by § 135.299.
(a) Each certificate holder required to have a training program under § 135.341 shall:
(1) Establish and implement a training program that satisfies the requirements of this subpart and that ensures that each crewmember, aircraft dispatcher, flight instructor, and check pilot is adequately trained to perform his or her assigned duties. Prior to implementation, the certificate holder must obtain initial and final FAA approval of the training program.
(2) Provide adequate ground and flight training facilities and properly qualified ground instructors for the training required by this subpart.
(3) Provide and keep current for each aircraft type used and, if applicable, the particular variations within the aircraft type, appropriate training material, examinations, forms, instructions, and procedures for use in conducting the training and checks required by this subpart.
(4) Provide enough flight instructors, check pilots, and FSTD instructors to conduct required flight training and flight checks and FSTD training courses allowed under this subpart.
(b) Whenever a crewmember who is required to take recurrent training under this subpart completes the training in the calendar month before, or the calendar month after, the month in which that training is required, the crewmember is considered to have completed it in the calendar month in which it was required.
(c) Each instructor, supervisor, or check pilot who is responsible for a particular ground training subject, segment of flight training, course of training, flight check, or competence check under this part shall certify as to the proficiency and knowledge of the crewmember, flight instructor, or check pilot concerned upon completion of that training or check. That certification shall be made a part of the crewmember's record. When the certification required by this paragraph is made by an entry in a computerized recordkeeping system, the certifying instructor, supervisor, or check pilot, must be identified with that entry. However, the signature of the certifying instructor, supervisor, or check pilot is not required for computerized entries.
(d) Training subjects that apply to more than one aircraft or crewmember position and that have been satisfactorily completed during previous training while employed by the certificate holder for another aircraft or another crewmember position, need not be repeated during subsequent training other than recurrent training.
(e) Aircraft simulators and other training devices may be used in the certificate holder's training program if approved by the Administrator.
(a) Other than the certificate holder, only another certificate holder certificated under this part or a training center certificated under part 142 of this chapter is eligible under this subpart to conduct training, testing, and checking under contract or other arrangement to those persons subject to the requirements of this subpart.
(b) A certificate holder may contract with, or otherwise arrange to use the services of, a training center certificated under part 142 of this chapter to conduct training, testing, and checking required by this part only if the training center—
(1) Holds applicable training specifications issued under part 142 of this chapter;
(2) Has facilities, training equipment, and courseware meeting the applicable requirements of part 142 of this chapter;
(3) Has approved curriculums, curriculum segments, and portions of curriculum segments applicable for use in training courses required by this subpart; and
(4) Has sufficient instructor and check pilots qualified under the applicable requirements of §§ 135.337 through 135.340 to provide training, testing, and checking to persons subject to the requirements of this subpart.
(a) To obtain initial and final approval of a training program, or a revision to an approved training program, each certificate holder must submit to the Administrator—
(1) An outline of the proposed or revised curriculum, that provides enough information for a preliminary evaluation of the proposed training program or revision; and
(2) Additional relevant information that may be requested by the Administrator.
(b) If the proposed training program or revision complies with this subpart, the Administrator grants initial approval in writing after which the certificate holder may conduct the training under that program. The Administrator then evaluates the effectiveness of the training program and advises the certificate holder of deficiencies, if any, that must be corrected.
(c) The Administrator grants final approval of the proposed training program or revision if the certificate holder shows that the training conducted under the initial approval in paragraph (b) of this section ensures that each person who successfully completes the training is adequately trained to perform that person's assigned duties.
(d) Whenever the Administrator finds that revisions are necessary for the continued adequacy of a training program that has been granted final approval, the certificate holder shall, after notification by the Administrator, make any changes in the program that are found necessary by the Administrator. Within 30 days after the certificate holder receives the notice, it may file a petition to reconsider the notice with the Administrator. The filing of a petition to reconsider stays the notice pending a decision by the Administrator. However, if the Administrator finds that there is an emergency that requires immediate action in the interest of safety, the Administrator may, upon a statement of the reasons, require a change effective without stay.
(a) Each certificate holder must prepare and keep current a written training program curriculum for each type of aircraft for each crewmember required for that type aircraft. The curriculum must include ground and flight training required by this subpart.
(b) Each training program curriculum must include the following:
(1) A list of principal ground training subjects, including emergency training subjects, that are provided.
(2) A list of all the training devices, mockups, systems trainers, procedures trainers, or other training aids that the certificate holder will use.
(3) Detailed descriptions or pictorial displays of the approved normal, abnormal, and emergency maneuvers, procedures and functions that will be performed during each flight training phase or flight check, indicating those maneuvers, procedures and functions that are to be performed during the inflight portions of flight training and flight checks.
(a) Each certificate holder must include in its training program the following initial and transition ground training as appropriate to the particular assignment of the crewmember:
(1) Basic indoctrination ground training for newly hired crewmembers including instruction in at least the—
(i) Duties and responsibilities of crewmembers as applicable;
(ii) Appropriate provisions of this chapter;
(iii) Contents of the certificate holder's operating certificate and operations specifications (not required for flight attendants); and
(iv) Appropriate portions of the certificate holder's operating manual.
(2) The initial and transition ground training in §§ 135.345 and 135.349, as applicable.
(3) Emergency training in § 135.331.
(4) Crew resource management training in § 135.330.
(b) Each training program must provide the initial and transition flight training in § 135.347, as applicable.
(c) Each training program must provide recurrent ground and flight training in § 135.351.
(d) Upgrade training in §§ 135.345 and 135.347 for a particular type aircraft may be included in the training program for crewmembers who have qualified and served as second in command on that aircraft.
(e) In addition to initial, transition, upgrade and recurrent training, each training program must provide ground and flight training, instruction, and practice necessary to ensure that each crewmember—
(1) Remains adequately trained and currently proficient for each aircraft, crewmember position, and type of operation in which the crewmember serves; and
(2) Qualifies in new equipment, facilities, procedures, and techniques, including modifications to aircraft.
(a) Each certificate holder must have an approved crew resource management training program that includes initial and recurrent training. The training program must include at least the following:
(1) Authority of the pilot in command;
(2) Communication processes, decisions, and coordination, to include communication with Air Traffic Control, personnel performing flight locating and other operational functions, and passengers;
(3) Building and maintenance of a flight team;
(4) Workload and time management;
(5) Situational awareness;
(6) Effects of fatigue on performance, avoidance strategies and countermeasures;
(7) Effects of stress and stress reduction strategies; and
(8) Aeronautical decision-making and judgment training tailored to the operator's flight operations and aviation environment.
(b) After March 22, 2013, no certificate holder may use a person as a flightcrew member or flight attendant unless that person has completed approved crew resource management initial training with that certificate holder.
(c) For flightcrew members and flight attendants, the Administrator, at his or her discretion, may credit crew resource management training completed with that certificate holder before March 22, 2013, toward all or part of the initial CRM training required by this section.
(d) In granting credit for initial CRM training, the Administrator considers training aids, devices, methods and procedures used by the certificate holder in a voluntary CRM program included in a training program required by § 135.341, § 135.345, or § 135.349.
(a) Each training program must provide emergency training under this section for each aircraft type, model, and configuration, each crewmember, and each kind of operation conducted, as appropriate for each crewmember and the certificate holder.
(b) Emergency training must provide the following:
(1) Instruction in emergency assignments and procedures, including coordination among crewmembers.
(2) Individual instruction in the location, function, and operation of emergency equipment including—
(i) Equipment used in ditching and evacuation;
(ii) First aid equipment and its proper use; and
(iii) Portable fire extinguishers, with emphasis on the type of extinguisher to be used on different classes of fires.
(3) Instruction in the handling of emergency situations including—
(i) Rapid decompression;
(ii) Fire in flight or on the surface and smoke control procedures with emphasis on electrical equipment and related circuit breakers found in cabin areas;
(iii) Ditching and evacuation;
(iv) Illness, injury, or other abnormal situations involving passengers or crewmembers; and
(v) Hijacking and other unusual situations.
(4) Review of the certificate holder's previous aircraft accidents and incidents involving actual emergency situations.
(c) Each crewmember must perform at least the following emergency drills, using the proper emergency equipment and procedures, unless the Administrator finds that, for a particular drill, the crewmember can be adequately trained by demonstration:
(1) Ditching, if applicable.
(2) Emergency evacuation.
(3) Fire extinguishing and smoke control.
(4) Operation and use of emergency exits, including deployment and use of evacuation chutes, if applicable.
(5) Use of crew and passenger oxygen.
(6) Removal of life rafts from the aircraft, inflation of the life rafts, use of life lines, and boarding of passengers and crew, if applicable.
(7) Donning and inflation of life vests and the use of other individual flotation devices, if applicable.
(d) Crewmembers who serve in operations above 25,000 feet must receive instruction in the following:
(1) Respiration.
(2) Hypoxia.
(3) Duration of consciousness without supplemental oxygen at altitude.
(4) Gas expansion.
(5) Gas bubble formation.
(6) Physical phenomena and incidents of decompression.
(a) Training courses using aircraft simulators and other training devices may be included in the certificate holder's training program if approved by the Administrator.
(b) Each aircraft simulator and other training device that is used in a training course or in checks required under this subpart must meet the following requirements:
(1) It must be specifically approved for—
(i) The certificate holder; and
(ii) The particular maneuver, procedure, or crewmember function involved.
(2) It must maintain the performance, functional, and other character- istics that are required for approval.
(3) Additionally, for aircraft simulators, it must be—
(i) Approved for the type aircraft and, if applicable, the particular variation within type for which the training or check is being conducted; and
(ii) Modified to conform with any modification to the aircraft being simulated that changes the performance, functional, or other characteristics required for approval.
(c) A particular aircraft simulator or other training device may be used by more than one certificate holder.
(d) In granting initial and final approval of training programs or revisions to them, the Administrator considers the training devices, methods and procedures listed in the certificate holder's curriculum under § 135.327.
(a) A certificate holder may obtain approval to establish and implement a training program to satisfy the requirements of § 61.156 of this chapter. The training program must be separate from the air carrier training program required by this part.
(b) No certificate holder may use a person nor may any person serve as an instructor in a training program approved to meet the requirements of § 61.156 of this chapter unless the instructor:
(1) Holds an airline transport pilot certificate with an airplane category multiengine class rating;
(2) Has at least 2 years of experience as a pilot in command in operations conducted under § 91.1053(a)(2)(i) of this chapter, § 135.243(a)(1) of this part, or as a pilot in command or second in command in any operation conducted under part 121 of this chapter;
(3) Except for the holder of a flight instructor certificate, receives initial training on the following topics:
(i) The fundamental principles of the learning process;
(ii) Elements of effective teaching, instruction methods, and techniques;
(iii) Instructor duties, privileges, responsibilities, and limitations;
(iv) Training policies and procedures; and
(v) Evaluation.
(4) If providing training in a flight simulation training device, holds an aircraft type rating for the aircraft represented by the flight simulation training device utilized in the training program and have received training and evaluation within the preceding 12 months from the certificate holder on:
(i) Proper operation of flight simulator and flight training device controls and systems;
(ii) Proper operation of environmental and fault panels;
(iii) Data and motion limitations of simulation;
(iv) Minimum equipment requirements for each curriculum; and
(v) The maneuvers that will be demonstrated in the flight simulation training device.
(c) A certificate holder may not issue a graduation certificate to a student unless that student has completed all the curriculum requirements of the course.
(d) A certificate holder must conduct evaluations to ensure that training techniques, procedures, and standards are acceptable to the Administrator.
(a) For the purposes of this part:
(1) A check pilot (aircraft) is a person who is qualified to conduct flight checks in an aircraft for a particular type aircraft.
(2) A check-pilot (FSTD) is a person who is qualified to conduct flight checks only in an FSTD for a particular type aircraft.
(3) Check pilots are those persons who perform the functions described in §§ 135.321(a) and 135.323(a)(4) and (c).
(b) No certificate holder may use a person, nor may any person serve as a check pilot in a training program established under this subpart unless, with respect to the aircraft type involved, that person—
(1) Holds the pilot certificates and ratings required to serve as a pilot in command in operations under this part;
(2) Has satisfactorily completed the appropriate training phases for the aircraft, including recurrent training, that are required to serve as a pilot in command in operations under this part;
(3) Has satisfactorily completed the proficiency or competency checks that are required to serve as a pilot in command in operations under this part;
(4) Has satisfactorily completed the applicable training requirements of § 135.339;
(5) Has been approved by the Administrator for the check pilot duties involved.
(c) Completion of the requirements in paragraphs (b)(2), (3), and (4) of this section, as applicable, shall be entered in the individual's training record maintained by the certificate holder.
(d) A check pilot (FSTD) must accomplish the following—
(1) Fly at least two flight segments as a required crewmember for the type, class, or category aircraft involved within the 12-month period preceding the performance of any check-pilot duty in an FSTD; or
(2) Satisfactorily complete an approved line-observation program within the period prescribed by that program and that must precede the performance of any check pilot duty in an FSTD.
(e) The flight segments or line-observation program required in paragraph (d) of this section are considered to be completed in the month required if completed in the calendar month before or the calendar month after the month in which they are due.
(f) A person who serves as a required flightcrew member while performing check pilot duties must also meet the requirements of this chapter for the duty position in which they are serving.
(a) For the purposes of this part:
(1) A flight instructor (aircraft) is a person who is qualified to instruct in an aircraft for a particular type, class, or category aircraft.
(2) A flight instructor (FSTD) is a person who is qualified to instruct only in an FSTD for a particular type, class, or category aircraft.
(3) Flight instructors are those instructors who perform the functions described in §§ 135.321(a) and 135.323(a)(4) and (c).
(b) No certificate holder may use a person, nor may any person serve as a flight instructor in a training program established under this subpart unless, with respect to the type, class, or category aircraft involved, that person—
(1) Holds the pilot certificates and ratings required to serve as a pilot in command in operations under this part;
(2) Has satisfactorily completed the appropriate training phases for the aircraft, including recurrent training, that are required to serve as a pilot in command in operations under this part;
(3) Has satisfactorily completed the proficiency or competency checks that are required to serve as a pilot in command in operations under this part;
(4) Has satisfactorily completed the applicable training requirements of § 135.340.
(c) Completion of the requirements in paragraphs (b)(2), (3), and (4) of this section shall be entered in the individual's training record maintained by the certificate holder.
(d) A flight instructor (FSTD) must accomplish the following—
(1) Fly at least two flight segments as a required crewmember for the type, class, or category aircraft involved within the 12-month period preceding the performance of any flight instructor duty in an FSTD; or
(2) Satisfactorily complete an approved line-observation program within the period prescribed by that program preceding the performance of any flight instructor duty in an FSTD.
(e) The flight segments or line-observation program required in paragraph (d) of this section are considered completed in the month required if completed in the calendar month before, or in the calendar month after, the month in which they are due.
(f) A person who serves as a required flightcrew member while performing flight instructor duties must also meet the requirements of this chapter for the duty position in which they are serving.
(a) No certificate holder may use a person nor may any person serve as a check pilot unless—
(1) That person has satisfactorily completed initial or transition check pilot training; and
(2) Within the preceding 24 calendar months, that person satisfactorily conducts a proficiency or competency check under the observation of an FAA inspector or an aircrew designated examiner employed by the operator. The observation check may be accomplished in part or in full in an aircraft, in a flight simulator, or in a flight training device. This paragraph applies after March 19, 1997.
(b) The observation check required by paragraph (a)(2) of this section is considered to have been completed in the month required if completed in the calendar month before or the calendar month after the month in which it is due.
(c) The initial ground training for check pilots must include the following:
(1) Check pilot duties, functions, and responsibilities.
(2) The applicable Code of Federal Regulations and the certificate holder's policies and procedures.
(3) The applicable methods, procedures, and techniques for conducting the required checks.
(4) Proper evaluation of student performance including the detection of—
(i) Improper and insufficient training; and
(ii) Personal characteristics of an applicant that could adversely affect safety.
(5) The corrective action in the case of unsatisfactory checks.
(6) The approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures in the aircraft.
(d) The transition ground training for check pilots must include the approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures applicable to the aircraft to which the check pilot is in transition.
(e) The initial and transition flight training for check pilots (aircraft) must include the following—
(1) The safety measures for emergency situations that are likely to develop during a check;
(2) The potential results of improper, untimely, or nonexecution of safety measures during a check;
(3) Training and practice in conducting flight checks from the left and right pilot seats, or in the case of powered-lift with one pilot seat from that seat as well as providing training and instruction from an observation seat, in the required normal, abnormal, and emergency procedures to ensure competence to conduct the pilot flight checks required by this part; and
(4) The safety measures to be taken from either pilot seat, or in the case of powered-lift with one pilot seat from that seat as well as providing training and instruction from an observation seat, for emergency situations that are likely to develop during checking.
(f) The requirements of paragraph (e) of this section may be accomplished in full or in part in flight, in a flight simulator, or in a flight training device, as appropriate.
(g) The initial and transition flight training for check pilots (FSTD) must include the following:
(1) Training and practice in conducting flight checks in the required normal, abnormal, and emergency procedures to ensure competence to conduct the flight checks required by this part. This training and practice must be accomplished in a flight simulator or in a flight training device.
(2) Training in the operation of flight simulators, flight training devices, or both, to ensure competence to conduct the flight checks required by this part.
(a) No certificate holder may use a person nor may any person serve as a flight instructor unless—
(1) That person has satisfactorily completed initial or transition flight instructor training; and
(2) Within the preceding 24 calendar months, that person satisfactorily conducts instruction under the observation of an FAA inspector, an operator check pilot, or an aircrew designated examiner employed by the operator. The observation check may be accomplished in part or in full in an aircraft, in a flight simulator, or in a flight training device.
(b) The observation check required by paragraph (a)(2) of this section is considered to have been completed in the month required if completed in the calendar month before, or the calendar month after, the month in which it is due.
(c) The initial ground training for flight instructors must include the following:
(1) Flight instructor duties, functions, and responsibilities.
(2) The applicable Code of Federal Regulations and the certificate holder's policies and procedures.
(3) The applicable methods, procedures, and techniques for conducting flight instruction.
(4) Proper evaluation of student performance including the detection of—
(i) Improper and insufficient training; and
(ii) Personal characteristics of an applicant that could adversely affect safety.
(5) The corrective action in the case of unsatisfactory training progress.
(6) The approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures in the aircraft.
(7) Except for holders of a flight instructor certificate—
(i) The fundamental principles of the teaching-learning process;
(ii) Teaching methods and procedures; and
(iii) The instructor-student relationship.
(d) The transition ground training for flight instructors must include the approved methods, procedures, and limitations for performing the required normal, abnormal, and emergency procedures applicable to the type, class, or category aircraft to which the flight instructor is in transition.
(e) The initial and transition flight training for flight instructors (aircraft) must include the following—
(1) The safety measures for emergency situations that are likely to develop during instruction;
(2) The potential results of improper or untimely safety measures during instruction;
(3) Training and practice from the left and right pilot seats, or in the case of powered-lift with one pilot seat from that seat as well as providing training and instruction from an observation seat, in the required normal, abnormal, and emergency maneuvers to ensure competence to conduct the flight instruction required by this part; and
(4) The safety measures to be taken from either the left or right pilot seat, or in the case of powered-lift with one pilot seat from that seat as well as providing training and instruction from an observation seat, for emergency situations that are likely to develop during instruction.
(f) The requirements of paragraph (e) of this section may be accomplished in full or in part in flight, in a flight simulator, or in a flight training device, as appropriate.
(g) The initial and transition flight training for a flight instructor (FSTD) must include the following:
(1) Training and practice in the required normal, abnormal, and emergency procedures to ensure competence to conduct the flight instruction required by this part. These maneuvers and procedures must be accomplished in full or in part in a flight simulator or in a flight training device.
(2) Training in the operation of flight simulators, flight training devices, or both, to ensure competence to conduct the flight instruction required by this part.
(a) Each certificate holder, other than one who uses only one pilot in the certificate holder's operations, shall establish and maintain an approved pilot training program, and each certificate holder who uses a flight attendant crewmember shall establish and maintain an approved flight attendant training program, that is appropriate to the operations to which each pilot and flight attendant is to be assigned, and will ensure that they are adequately trained to meet the applicable knowledge and practical testing requirements of §§ 135.293 through 135.301. However, the Administrator may authorize a deviation from this section if the Administrator finds that, because of the limited size and scope of the operation, safety will allow a deviation from these requirements. This deviation authority does not extend to the training provided under § 135.336.
(b) Each certificate holder required to have a training program by paragraph (a) of this section shall include in that program ground and flight training curriculums for—
(1) Initial training;
(2) Transition training;
(3) Upgrade training;
(4) Differences training; and
(5) Recurrent training.
(c) Each certificate holder required to have a training program by paragraph (a) of this section shall provide current and appropriate study materials for use by each required pilot and flight attendant.
(d) The certificate holder shall furnish copies of the pilot and flight attendant crewmember training program, and all changes and additions, to the assigned representative of the Administrator. If the certificate holder uses training facilities of other persons, a copy of those training programs or appropriate portions used for those facilities shall also be furnished. Curricula that follow FAA published curricula may be cited by reference in the copy of the training program furnished to the representative of the Administrator and need not be furnished with the program.
No certificate holder may use a person, nor may any person serve, as a crewmember in operations under this part unless that crewmember has completed the appropriate initial or recurrent training phase of the training program appropriate to the type of operation in which the crewmember is to serve since the beginning of the 12th calendar month before that service. This section does not apply to a certificate holder that uses only one pilot in the certificate holder's operations.
Initial, transition, and upgrade ground training for pilots must include instruction in at least the following, as applicable to their duties:
(a) General subjects—
(1) The certificate holder's flight locating procedures;
(2) Principles and methods for determining weight and balance, and runway limitations for takeoff and landing;
(3) Enough meteorology to ensure a practical knowledge of weather phenomena, including the principles of frontal systems, icing, fog, thunderstorms, windshear and, if appropriate, high altitude weather situations;
(4) Air traffic control systems, procedures, and phraseology;
(5) Navigation and the use of navigational aids, including instrument approach procedures;
(6) Normal and emergency communication procedures;
(7) Visual cues before and during descent below DA/DH or MDA;
(8) ETOPS, if applicable;
(9) After August 13, 2008, passenger recovery plan for any passenger-carrying operation (other than intrastate operations wholly within the state of Alaska) in the North Polar area; and
(10) Other instructions necessary to ensure the pilot's competence.
(b) For each aircraft type—
(1) A general description;
(2) Performance characteristics;
(3) Engines and propellers;
(4) Major components;
(5) Major aircraft systems (i.e., flight controls, electrical, and hydraulic), other systems, as appropriate, principles of normal, abnormal, and emergency operations, appropriate procedures and limitations;
(6) Knowledge and procedures for—
(i) Recognizing and avoiding severe weather situations;
(ii) Escaping from severe weather situations, in case of inadvertent encounters, including low-altitude windshear (except that rotorcraft pilots are not required to be trained in escaping from low-altitude windshear);
(iii) Operating in or near thunderstorms (including best penetrating altitudes), turbulent air (including clear air turbulence), icing, hail, and other potentially hazardous meteorological conditions; and
(iv) Operating airplanes during ground icing conditions, (i.e., any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the airplane), if the certificate holder expects to authorize takeoffs in ground icing conditions, including:
(A) The use of holdover times when using deicing/anti-icing fluids;
(B) Airplane deicing/anti-icing procedures, including inspection and check procedures and responsibilities;
(C) Communications;
(D) Airplane surface contamination (i.e., adherence of frost, ice, or snow) and critical area identification, and knowledge of how contamination adversely affects airplane performance and flight characteristics;
(E) Types and characteristics of deicing/anti-icing fluids, if used by the certificate holder;
(F) Cold weather preflight inspection procedures;
(G) Techniques for recognizing contamination on the airplane;
(7) Operating limitations;
(8) Fuel consumption and cruise control;
(9) Flight planning;
(10) Each normal and emergency procedure; and
(11) The approved Aircraft Flight Manual, or equivalent.
(a) Initial, transition, upgrade, and differences training for pilots must include flight and practice in each of the maneuvers and procedures in the approved training program curriculum.
(b) The maneuvers and procedures required by paragraph (a) of this section must be performed in flight, except to the extent that certain maneuvers and procedures may be performed in an aircraft simulator, or an appropriate training device, as allowed by this subpart.
(c) If the certificate holder's approved training program includes a course of training using an aircraft simulator or other training device, each pilot must successfully complete—
(1) Training and practice in the simulator or training device in at least the maneuvers and procedures in this subpart that are capable of being performed in the aircraft simulator or training device; and
(2) A flight check in the aircraft or a check in the simulator or training device to the level of proficiency of a pilot in command or second in command, as applicable, in at least the maneuvers and procedures that are capable of being performed in an aircraft simulator or training device.
Initial and transition ground training for flight attendants must include instruction in at least the following—
(a) General subjects—
(1) The authority of the pilot in command; and
(2) Passenger handling, including procedures to be followed in handling deranged persons or other persons whose conduct might jeopardize safety.
(b) For each aircraft type—
(1) A general description of the aircraft emphasizing physical characteristics that may have a bearing on ditching, evacuation, and inflight emergency procedures and on other related duties;
(2) The use of both the public address system and the means of communicating with other flight crewmembers, including emergency means in the case of attempted hijacking or other unusual situations; and
(3) Proper use of electrical galley equipment and the controls for cabin heat and ventilation.
(a) Each certificate holder must ensure that each crewmember receives recurrent training and is adequately trained and currently proficient for the type aircraft and crewmember position involved.
(b) Recurrent ground training for crewmembers must include at least the following:
(1) A quiz or other review to determine the crewmember's knowledge of the aircraft and crewmember position involved.
(2) Instruction as necessary in the subjects required for initial ground training by this subpart, as appropriate, including low-altitude windshear training and training on operating during ground icing conditions as prescribed in § 135.341 and described in § 135.345, crew resource management training as prescribed in § 135.330, and emergency training as prescribed in § 135.331.
(c) Recurrent flight training for pilots must include, at least, flight training in the maneuvers or procedures in this subpart, except that satisfactory completion of the check required by § 135.293 within the preceding 12 calendar months may be substituted for recurrent flight training.
(a) This subpart prescribes airplane performance operating limitations applicable to the operation of the categories of airplanes listed in § 135.363 when operated under this part.
(b) For the purpose of this subpart, effective length of the runway, for landing means the distance from the point at which the obstruction clearance plane associated with the approach end of the runway intersects the centerline of the runway to the far end of the runway.
(c) For the purpose of this subpart, obstruction clearance plane means a plane sloping upward from the runway at a slope of 1:20 to the horizontal, and tangent to or clearing all obstructions within a specified area surrounding the runway as shown in a profile view of that area. In the plan view, the centerline of the specified area coincides with the centerline of the runway, beginning at the point where the obstruction clearance plane intersects the centerline of the runway and proceeding to a point at least 1,500 feet from the beginning point. After that the centerline coincides with the takeoff path over the ground for the runway (in the case of takeoffs) or with the instrument approach counterpart (for landings), or, where the applicable one of these paths has not been established, it proceeds consistent with turns of at least 4,000-foot radius until a point is reached beyond which the obstruction clearance plane clears all obstructions. This area extends laterally 200 feet on each side of the centerline at the point where the obstruction clearance plane intersects the runway and continues at this width to the end of the runway; then it increases uniformly to 500 feet on each side of the centerline at a point 1,500 feet from the intersection of the obstruction clearance plane with the runway; after that it extends laterally 500 feet on each side of the centerline.
(a) Each certificate holder operating a reciprocating engine powered large transport category airplane shall comply with §§ 135.365 through 135.377.
(b) Each certificate holder operating a turbine engine powered large transport category airplane shall comply with §§ 135.379 through 135.387, except that when it operates a turbopropeller-powered large transport category airplane certificated after August 29, 1959, but previously type certificated with the same number of reciprocating engines, it may comply with §§ 135.365 through 135.377.
(c) Each certificate holder operating a large nontransport category airplane shall comply with §§ 135.389 through 135.395 and any determination of compliance must be based only on approved performance data. For the purpose of this subpart, a large nontrans- port category airplane is an airplane that was type certificated before July 1, 1942.
(d) Each certificate holder operating a small transport category airplane shall comply with § 135.397.
(e) Each certificate holder operating a small nontransport category airplane shall comply with § 135.399.
(f) The performance data in the Airplane Flight Manual applies in determining compliance with §§ 135.365 through 135.387. Where conditions are different from those on which the performance data is based, compliance is determined by interpolation or by computing the effects of change in the specific variables, if the results of the interpolation or computations are substantially as accurate as the results of direct tests.
(g) No person may take off a reciprocating engine powered large transport category airplane at a weight that is more than the allowable weight for the runway being used (determined under the runway takeoff limitations of the transport category operating rules of this subpart) after taking into account the temperature operating correction factors in section 4a.749a-T or section 4b.117 of the Civil Air Regulations in effect on January 31, 1965, and in the applicable Airplane Flight Manual.
(h) The Administrator may author- ize in the operations specifications deviations from this subpart if special circumstances make a literal observ- ance of a requirement unnecessary for safety.
(i) The 10-mile width specified in §§ 135.369 through 135.373 may be reduced to 5 miles, for not more than 20 miles, when operating under VFR or where navigation facilities furnish reliable and accurate identification of high ground and obstructions located outside of 5 miles, but within 10 miles, on each side of the intended track.
(j) Each certificate holder operating a commuter category airplane shall comply with § 135.398.
After August 13, 2008, no certificate holder may operate an airplane, other than an all-cargo airplane with more than two engines, on a planned route that exceeds 180 minutes flying time (at the one-engine-inoperative cruise speed under standard conditions in still air) from an Adequate Airport outside the continental United States unless the operation is approved by the FAA in accordance with Appendix G of this part, Extended Operations (ETOPS).
(a) No person may take off a reciprocating engine powered large transport category airplane from an airport located at an elevation outside of the range for which maximum takeoff weights have been determined for that airplane.
(b) No person may take off a reciprocating engine powered large transport category airplane for an airport of intended destination that is located at an elevation outside of the range for which maximum landing weights have been determined for that airplane.
(c) No person may specify, or have specified, an alternate airport that is located at an elevation outside of the range for which maximum landing weights have been determined for the reciprocating engine powered large transport category airplane concerned.
(d) No person may take off a reciprocating engine powered large transport category airplane at a weight more than the maximum authorized takeoff weight for the elevation of the airport.
(e) No person may take off a reciprocating engine powered large transport category airplane if its weight on arrival at the airport of destination will be more than the maximum authorized landing weight for the elevation of that airport, allowing for normal consumption of fuel and oil en route.
(a) No person operating a reciprocating engine powered large transport category airplane may take off that airplane unless it is possible—
(1) To stop the airplane safely on the runway, as shown by the accelerate-stop distance data, at any time during takeoff until reaching critical-engine failure speed;
(2) If the critical engine fails at any time after the airplane reaches critical-engine failure speed V
(3) To clear all obstacles either by at least 50 feet vertically (as shown by the takeoff path data) or 200 feet horizontally within the airport boundaries and 300 feet horizontally beyond the boundaries, without banking before reaching a height of 50 feet (as shown by the takeoff path data) and after that without banking more than 15 degrees.
(b) In applying this section, corrections must be made for any runway gradient. To allow for wind effect, takeoff data based on still air may be corrected by taking into account not more than 50 percent of any reported headwind component and not less than 150 percent of any reported tailwind component.
(a) No person operating a reciprocating engine powered large transport category airplane may take off that airplane at a weight, allowing for normal consumption of fuel and oil, that does not allow a rate of climb (in feet per minute), with all engines operating, of at least 6.90 Vs
(b) This section does not apply to large transport category airplanes certificated under part 4a of the Civil Air Regulations.
(a) Except as provided in paragraph (b) of this section, no person operating a reciprocating engine powered large transport category airplane may take off that airplane at a weight, allowing for normal consumption of fuel and oil, that does not allow a rate of climb (in feet per minute), with one engine inoperative, of at least (0.079−0.106/N) Vs
(b) In place of the requirements of paragraph (a) of this section, a person may, under an approved procedure, operate a reciprocating engine powered large transport category airplane at an all-engines-operating altitude that allows the airplane to continue, after an engine failure, to an alternate airport where a landing can be made under § 135.377, allowing for normal consumption of fuel and oil. After the assumed failure, the flight path must clear the ground and any obstruction within five miles on each side of the intended track by at least 2,000 feet.
(c) If an approved procedure under paragraph (b) of this section is used, the certificate holder shall comply with the following:
(1) The rate of climb (as prescribed in the Airplane Flight Manual for the appropriate weight and altitude) used in calculating the airplane's flight path shall be diminished by an amount in feet per minute, equal to (0.079−0.106/N) Vs
(2) The all-engines-operating altitude shall be sufficient so that in the event the critical engine becomes inoperative at any point along the route, the flight will be able to proceed to a predetermined alternate airport by use of this procedure. In determining the takeoff weight, the airplane is assumed to pass over the critical obstruction following engine failure at a point no closer to the critical obstruction than the nearest approved navigational fix, unless the Administrator approves a procedure established on a different basis upon finding that adequate operational safeguards exist.
(3) The airplane must meet the provisions of paragraph (a) of this section at 1,000 feet above the airport used as an alternate in this procedure.
(4) The procedure must include an approved method of accounting for winds and temperatures that would otherwise adversely affect the flight path.
(5) In complying with this procedure, fuel jettisoning is allowed if the certificate holder shows that it has an adequate training program, that proper instructions are given to the flight crew, and all other precautions are taken to ensure a safe procedure.
(6) The certificate holder and the pilot in command shall jointly elect an alternate airport for which the appropriate weather reports or forecasts, or any combination of them, indicate that weather conditions will be at or above the alternate weather minimum specified in the certificate holder's operations specifications for that airport when the flight arrives.
(a) No person may operate an airplane certificated under part 25 and having four or more engines unless—
(1) There is no place along the intended track that is more than 90 minutes (with all engines operating at cruising power) from an airport that meets § 135.377; or
(2) It is operated at a weight allowing the airplane, with the two critical engines inoperative, to climb at 0.013 Vs
(b) For the purposes of paragraph (a)(2) of this section, it is assumed that—
(1) The two engines fail at the point that is most critical with respect to the takeoff weight;
(2) Consumption of fuel and oil is normal with all engines operating up to the point where the two engines fail with two engines operating beyond that point;
(3) Where the engines are assumed to fail at an altitude above the prescribed minimum altitude, compliance with the prescribed rate of climb at the prescribed minimum altitude need not be shown during the descent from the cruising altitude to the prescribed minimum altitude, if those requirements can be met once the prescribed minimum altitude is reached, and assuming descent to be along a net flight path and the rate of descent to be 0.013 Vs
(4) If fuel jettisoning is provided, the airplane's weight at the point where the two engines fail is considered to be not less than that which would include enough fuel to proceed to an airport meeting § 135.377 and to arrive at an altitude of at least 1,000 feet directly over that airport.
(a) Except as provided in paragraph (b) of this section, no person operating a reciprocating engine powered large transport category airplane may take off that airplane, unless its weight on arrival, allowing for normal consumption of fuel and oil in flight, would allow a full stop landing at the intended destination within 60 percent of the effective length of each runway described below from a point 50 feet directly above the intersection of the obstruction clearance plane and the runway. For the purposes of determining the allowable landing weight at the destination airport the following is assumed:
(1) The airplane is landed on the most favorable runway and in the most favorable direction in still air.
(2) The airplane is landed on the most suitable runway considering the probable wind velocity and direction (forecast for the expected time of arrival), the ground handling characteristics of the type of airplane, and other conditions such as landing aids and terrain, and allowing for the effect of the landing path and roll of not more than 50 percent of the headwind component or not less than 150 percent of the tailwind component.
(b) An airplane that would be prohibited from being taken off because it could not meet paragraph (a)(2) of this section may be taken off if an alternate airport is selected that meets all of this section except that the airplane can accomplish a full stop landing within 70 percent of the effective length of the runway.
No person may list an airport as an alternate airport in a flight plan unless the airplane (at the weight anticipated at the time of arrival at the airport), based on the assumptions in § 135.375(a) (1) and (2), can be brought to a full stop landing within 70 percent of the effective length of the runway.
(a) No person operating a turbine engine powered large transport category airplane may take off that airplane at a weight greater than that listed in the Airplane Flight Manual for the elevation of the airport and for the ambient temperature existing at take- off.
(b) No person operating a turbine engine powered large transport category airplane certificated after August 26, 1957, but before August 30, 1959 (SR422, 422A), may take off that airplane at a weight greater than that listed in the Airplane Flight Manual for the minimum distance required for takeoff. In the case of an airplane certificated after September 30, 1958 (SR422A, 422B), the takeoff distance may include a clearway distance but the clearway distance included may not be greater than one-half of the takeoff run.
(c) No person operating a turbine engine powered large transport category airplane certificated after August 29, 1959 (SR422B), may take off that airplane at a weight greater than that listed in the Airplane Flight Manual at which compliance with the following may be shown:
(1) The accelerate-stop distance, as defined in § 25.109 of this chapter, must not exceed the length of the runway plus the length of any stopway.
(2) The takeoff distance must not exceed the length of the runway plus the length of any clearway except that the length of any clearway included must not be greater than one-half the length of the runway.
(3) The takeoff run must not be greater than the length of the runway.
(d) No person operating a turbine engine powered large transport category airplane may take off that airplane at a weight greater than that listed in the Airplane Flight Manual—
(1) For an airplane certificated after August 26, 1957, but before October 1, 1958 (SR422), that allows a takeoff path that clears all obstacles either by at least (35 + 0.01 D) feet vertically (D is the distance along the intended flight path from the end of the runway in feet), or by at least 200 feet horizontally within the airport boundaries and by at least 300 feet horizontally after passing the boundaries; or
(2) For an airplane certificated after September 30, 1958 (SR422A, 422B), that allows a net takeoff flight path that clears all obstacles either by a height of at least 35 feet vertically, or by at least 200 feet horizontally within the airport boundaries and by at least 300 feet horizontally after passing the boundaries.
(e) In determining maximum weights, minimum distances, and flight paths under paragraphs (a) through (d) of this section, correction must be made for the runway to be used, the elevation of the airport, the effective runway gradient, the ambient temperature and wind component at the time of takeoff, and, if operating limitations exist for the minimum distances required for takeoff from wet runways, the runway surface condition (dry or wet). Wet runway distances associated with grooved or porous friction course runways, if provided in the Airplane Flight Manual, may be used only for runways that are grooved or treated with a porous friction course (PFC) overlay, and that the operator determines are designed, constructed, and maintained in a manner acceptable to the Administrator.
(f) For the purposes of this section, it is assumed that the airplane is not banked before reaching a height of 50 feet, as shown by the takeoff path or net takeoff flight path data (as appropriate) in the Airplane Flight Manual, and after that the maximum bank is not more than 15 degrees.
(g) For the purposes of this section, the terms, takeoff distance, takeoff run, net takeoff flight path, have the same meanings as set forth in the rules under which the airplane was certificated.
(a) No person operating a turbine engine powered large transport category airplane may take off that airplane at a weight, allowing for normal consumption of fuel and oil, that is greater than that which (under the approved, one engine inoperative, en route net flight path data in the Airplane Flight Manual for that airplane) will allow compliance with paragraph (a) (1) or (2) of this section, based on the ambient temperatures expected en route.
(1) There is a positive slope at an altitude of at least 1,000 feet above all terrain and obstructions within five statute miles on each side of the intended track, and, in addition, if that airplane was certificated after August 29, 1958 (SR422B), there is a positive slope at 1,500 feet above the airport where the airplane is assumed to land after an engine fails.
(2) The net flight path allows the airplane to continue flight from the cruising altitude to an airport where a landing can be made under § 135.387 clearing all terrain and obstructions within five statute miles of the intended track by at least 2,000 feet vertically and with a positive slope at 1,000 feet above the airport where the airplane lands after an engine fails, or, if that airplane was certificated after September 30, 1958 (SR422A, 422B), with a positive slope at 1,500 feet above the airport where the airplane lands after an engine fails.
(b) For the purpose of paragraph (a)(2) of this section, it is assumed that—
(1) The engine fails at the most critical point en route;
(2) The airplane passes over the critical obstruction, after engine failure at a point that is no closer to the obstruction than the approved navigation fix, unless the Administrator authorizes a different procedure based on adequate operational safeguards;
(3) An approved method is used to allow for adverse winds;
(4) Fuel jettisoning will be allowed if the certificate holder shows that the crew is properly instructed, that the training program is adequate, and that all other precautions are taken to ensure a safe procedure;
(5) The alternate airport is selected and meets the prescribed weather minimums; and
(6) The consumption of fuel and oil after engine failure is the same as the consumption that is allowed for in the approved net flight path data in the Airplane Flight Manual.
(a) Airplanes certificated after August 26, 1957, but before October 1, 1958 (SR422). No person may operate a turbine engine powered large transport category airplane along an intended route unless that person complies with either of the following:
(1) There is no place along the intended track that is more than 90 minutes (with all engines operating at cruising power) from an airport that meets § 135.387.
(2) Its weight, according to the two-engine-inoperative, en route, net flight path data in the Airplane Flight Manual, allows the airplane to fly from the point where the two engines are assumed to fail simultaneously to an airport that meets § 135.387, with a net flight path (considering the ambient temperature anticipated along the track) having a positive slope at an altitude of at least 1,000 feet above all terrain and obstructions within five statute miles on each side of the intended track, or at an altitude of 5,000 feet, whichever is higher.
(b) Airplanes certificated after September 30, 1958, but before August 30, 1959 (SR422A). No person may operate a turbine engine powered large transport category airplane along an intended route unless that person complies with either of the following:
(1) There is no place along the intended track that is more than 90 minutes (with all engines operating at cruising power) from an airport that meets § 135.387.
(2) Its weight, according to the two-engine-inoperative, en route, net flight path data in the Airplane Flight Manual allows the airplane to fly from the point where the two engines are assumed to fail simultaneously to an airport that meets § 135.387 with a net flight path (considering the ambient temperatures anticipated along the track) having a positive slope at an altitude of at least 1,000 feet above all terrain and obstructions within five statute miles on each side of the intended track, or at an altitude of 2,000 feet, whichever is higher.
(c) Aircraft certificated after August 29, 1959 (SR422B). No person may operate a turbine engine powered large transport category airplane along an intended route unless that person complies with either of the following:
(1) There is no place along the intended track that is more than 90 minutes (with all engines operating at cruising power) from an airport that meets § 135.387.
(2) Its weight, according to the two-engine-inoperative, en route, net flight path data in the Airplane Flight Manual, allows the airplane to fly from the point where the two engines are assumed to fail simultaneously to an airport that meets § 135.387, with the net flight path (considering the ambient temperatures anticipated along the track) clearing vertically by at least 2,000 feet all terrain and obstructions within five statute miles on each side of the intended track. For the purposes of this paragraph, it is assumed that—
(i) The two engines fail at the most critical point en route;
(ii) The net flight path has a positive slope at 1,500 feet above the airport where the landing is assumed to be made after the engines fail;
(iii) Fuel jettisoning will be approved if the certificate holder shows that the crew is properly instructed, that the training program is adequate, and that all other precautions are taken to ensure a safe procedure;
(iv) The airplane's weight at the point where the two engines are assumed to fail provides enough fuel to continue to the airport, to arrive at an altitude of at least 1,500 feet directly over the airport, and after that to fly for 15 minutes at cruise power or thrust, or both; and
(v) The consumption of fuel and oil after the engines fail is the same as the consumption that is allowed for in the net flight path data in the Airplane Flight Manual.
(a) No person operating a turbine engine powered large transport category airplane may take off that airplane at a weight that (allowing for normal consumption of fuel and oil in flight to the destination or alternate airport) the weight of the airplane on arrival would exceed the landing weight in the Airplane Flight Manual for the elevation of the destination or alternate airport and the ambient temperature anticipated at the time of landing.
(b) Except as provided in paragraph (c), (d), (e), or (f) of this section, no person operating a turbine engine powered large transport category airplane may take off that airplane unless its weight on arrival, allowing for normal consumption of fuel and oil in flight (in accordance with the landing distance in the Airplane Flight Manual for the elevation of the destination airport and the wind conditions expected there at the time of landing), would allow a full stop landing at the intended destination airport within 60 percent of the effective length of each runway described below from a point 50 feet above the intersection of the obstruction clearance plane and the runway. For the purpose of determining the allowable landing weight at the destination airport the following is assumed:
(1) The airplane is landed on the most favorable runway and in the most favorable direction, in still air.
(2) The airplane is landed on the most suitable runway considering the probable wind velocity and direction and the ground handling characteristics of the airplane, and considering other conditions such as landing aids and terrain.
(c) A turbopropeller powered airplane that would be prohibited from being taken off because it could not meet paragraph (b)(2) of this section, may be taken off if an alternate airport is selected that meets all of this section except that the airplane can accomplish a full stop landing within 70 percent of the effective length of the runway.
(d) Unless, based on a showing of actual operating landing techniques on wet runways, a shorter landing distance (but never less than that required by paragraph (b) of this section) has been approved for a specific type and model airplane and included in the Airplane Flight Manual, no person may take off a turbojet airplane when the appropriate weather reports or forecasts, or any combination of them, indicate that the runways at the destination airport may be wet or slippery at the estimated time of arrival unless the effective runway length at the destination airport is at least 115 percent of the runway length required under paragraph (b) of this section.
(e) A turbojet airplane that would be prohibited from being taken off because it could not meet paragraph (b)(2) of this section may be taken off if an alternate airport is selected that meets all of paragraph (b) of this section.
(f) An eligible on-demand operator may take off a turbine engine powered large transport category airplane on an on-demand flight if all of the following conditions exist:
(1) The operation is permitted by an approved Destination Airport Analysis in that person's operations manual.
(2) The airplane's weight on arrival, allowing for normal consumption of fuel and oil in flight (in accordance with the landing distance in the Airplane Flight Manual for the elevation of the destination airport and the wind conditions expected there at the time of landing), would allow a full stop landing at the intended destination airport within 80 percent of the effective length of each runway described below from a point 50 feet above the intersection of the obstruction clearance plane and the runway. For the purpose of determining the allowable landing weight at the destination airport, the following is assumed:
(i) The airplane is landed on the most favorable runway and in the most favorable direction, in still air.
(ii) The airplane is landed on the most suitable runway considering the probable wind velocity and direction and the ground handling characteristics of the airplane, and considering other conditions such as landing aids and terrain.
(3) The operation is authorized by operations specifications.
(a) Except as provided in paragraph (b) of this section, no person may select an airport as an alternate airport for a turbine engine powered large transport category airplane unless (based on the assumptions in § 135.385(b)) that airplane, at the weight expected at the time of arrival, can be brought to a full stop landing within 70 percent of the effective length of the runway for turbo-propeller-powered airplanes and 60 percent of the effective length of the runway for turbojet airplanes, from a point 50 feet above the intersection of the obstruction clearance plane and the runway.
(b) Eligible on-demand operators may select an airport as an alternate airport for a turbine engine powered large transport category airplane if (based on the assumptions in § 135.385(f)) that airplane, at the weight expected at the time of arrival, can be brought to a full stop landing within 80 percent of the effective length of the runway from a point 50 feet above the intersection of the obstruction clearance plane and the runway.
(a) No person operating a large nontransport category airplane may take off that airplane at a weight greater than the weight that would allow the airplane to be brought to a safe stop within the effective length of the runway, from any point during the takeoff before reaching 105 percent of minimum control speed (the minimum speed at which an airplane can be safely controlled in flight after an engine becomes inoperative) or 115 percent of the power off stalling speed in the takeoff configuration, whichever is greater.
(b) For the purposes of this section—
(1) It may be assumed that takeoff power is used on all engines during the acceleration;
(2) Not more than 50 percent of the reported headwind component, or not less than 150 percent of the reported tailwind component, may be taken into account;
(3) The average runway gradient (the difference between the elevations of the endpoints of the runway divided by the total length) must be considered if it is more than one-half of one percent;
(4) It is assumed that the airplane is operating in standard atmosphere; and
(5) For takeoff, effective length of the runway means the distance from the end of the runway at which the takeoff is started to a point at which the obstruction clearance plane associated with the other end of the runway intersects the runway centerline.
(a) Except as provided in paragraph (b) of this section, no person operating a large nontransport category airplane may take off that airplane at a weight that does not allow a rate of climb of at least 50 feet a minute, with the critical engine inoperative, at an altitude of at least 1,000 feet above the highest obstruction within five miles on each side of the intended track, or 5,000 feet, whichever is higher.
(b) Without regard to paragraph (a) of this section, if the Administrator finds that safe operations are not impaired, a person may operate the airplane at an altitude that allows the airplane, in case of engine failure, to clear all obstructions within five miles on each side of the intended track by 1,000 feet. If this procedure is used, the rate of descent for the appropriate weight and altitude is assumed to be 50 feet a minute greater than the rate in the approved performance data. Before approving such a procedure, the Administrator considers the following for the route, route segement, or area concerned:
(1) The reliability of wind and weather forecasting.
(2) The location and kinds of navigation aids.
(3) The prevailing weather conditions, particularly the frequency and amount of turbulence normally encountered.
(4) Terrain features.
(5) Air traffic problems.
(6) Any other operational factors that affect the operations.
(c) For the purposes of this section, it is assumed that—
(1) The critical engine is inoperative;
(2) The propeller of the inoperative engine is in the minimum drag position;
(3) The wing flaps and landing gear are in the most favorable position;
(4) The operating engines are operating at the maximum continuous power available;
(5) The airplane is operating in standard atmosphere; and
(6) The weight of the airplane is progressively reduced by the anticipated consumption of fuel and oil.
(a) No person operating a large nontransport category airplane may take off that airplane at a weight that—
(1) Allowing for anticipated consumption of fuel and oil, is greater than the weight that would allow a full stop landing within 60 percent of the effective length of the most suitable runway at the destination airport; and
(2) Is greater than the weight allowable if the landing is to be made on the runway—
(i) With the greatest effective length in still air; and
(ii) Required by the probable wind, taking into account not more than 50 percent of the headwind component or not less than 150 percent of the tailwind component.
(b) For the purpose of this section, it is assumed that—
(1) The airplane passes directly over the intersection of the obstruction clearance plane and the runway at a height of 50 feet in a steady gliding approach at a true indicated airspeed of at least 1.3 V
(2) The landing does not require exceptional pilot skill; and
(3) The airplane is operating in standard atmosphere.
No person may select an airport as an alternate airport for a large nontransport category airplane unless that airplane (at the weight anticipated at the time of arrival), based on the assumptions in § 135.393(b), can be brought to a full stop landing within 70 percent of the effective length of the runway.
(a) No person may operate a reciprocating engine powered small transport category airplane unless that person complies with the weight limitations in § 135.365, the takeoff limitations in § 135.367 (except paragraph (a)(3)), and the landing limitations in §§ 135.375 and 135.377.
(b) No person may operate a turbine engine powered small transport category airplane unless that person complies with the takeoff limitations in § 135.379 (except paragraphs (d) and (f)) and the landing limitations in §§ 135.385 and 135.387.
(a) No person may operate a commuter category airplane unless that person complies with the takeoff weight limitations in the approved Airplane Flight Manual.
(b) No person may take off an airplane type certificated in the commuter category at a weight greater than that listed in the Airplane Flight Manual that allows a net takeoff flight path that clears all obstacles either by a height of at least 35 feet vertically, or at least 200 feet horizontally within the airport boundaries and by at least 300 feet horizontally after passing the boundaries.
(c) No person may operate a commuter category airplane unless that person complies with the landing limitations prescribed in §§ 135.385 and 135.387 of this part. For purposes of this paragraph, §§ 135.385 and 135.387 are applicable to all commuter category airplanes notwithstanding their stated applicability to turbine-engine-powered large transport category airplanes.
(d) In determining maximum weights, minimum distances and flight paths under paragraphs (a) through (c) of this section, correction must be made for the runway to be used, the elevation of the airport, the effective runway gradient, and ambient temperature, and wind component at the time of takeoff.
(e) For the purposes of this section, the assumption is that the airplane is not banked before reaching a height of 50 feet as shown by the net takeoff flight path data in the Airplane Flight Manual and thereafter the maximum bank is not more than 15 degrees.
(a) No person may operate a reciprocating engine or turbopropeller-powered small airplane that is certificated under § 135.169(b) (2), (3), (4), (5), or (6) unless that person complies with the takeoff weight limitations in the approved Airplane Flight Manual or equivalent for operations under this part, and, if the airplane is certificated under § 135.169(b) (4) or (5) with the landing weight limitations in the Approved Airplane Flight Manual or equivalent for operations under this part.
(b) No person may operate an airplane that is certificated under § 135.169(b)(6) unless that person complies with the landing limitations prescribed in §§ 135.385 and 135.387 of this part. For purposes of this paragraph, §§ 135.385 and 135.387 are applicable to reciprocating and turbopropeller-powered small airplanes notwithstanding their stated applicability to turbine engine powered large transport category airplanes.
(a) This subpart prescribes rules in addition to those in other parts of this chapter for the maintenance, preventive maintenance, and alterations for each certificate holder as follows:
(1) Aircraft that are type certificated for a passenger seating configuration, excluding any pilot seat, of nine seats or less, shall be maintained under parts 91 and 43 of this chapter and §§ 135.415, 135.417, 135.421 and 135.422. An approved aircraft inspection program may be used under § 135.419.
(2) Aircraft that are type certificated for a passenger seating configuration, excluding any pilot seat, of ten seats or more, shall be maintained under a maintenance program in §§ 135.415, 135.417, 135.423 through 135.443.
(b) A certificate holder who is not otherwise required, may elect to maintain its aircraft under paragraph (a)(2) of this section.
(c) Single engine aircraft used in passenger-carrying IFR operations shall also be maintained in accordance with § 135.421 (c), (d), and (e).
(d) A certificate holder who elects to operate in accordance with § 135.364 must maintain its aircraft under paragraph (a)(2) of this section and the additional requirements of Appendix G of this part.
(a) Each certificate holder is primarily responsible for the airworthiness of its aircraft, including airframes, aircraft engines, propellers, rotors, appliances, and parts, and shall have its aircraft maintained under this chapter, and shall have defects repaired between required maintenance under part 43 of this chapter.
(b) Each certificate holder who maintains its aircraft under § 135.411(a)(2) shall—
(1) Perform the maintenance, preventive maintenance, and alteration of its aircraft, including airframe, aircraft engines, propellers, rotors, appliances, emergency equipment and parts, under its manual and this chapter; or
(2) Make arrangements with another person for the performance of maintenance, preventive maintenance, or alteration. However, the certificate holder shall ensure that any maintenance, preventive maintenance, or alteration that is performed by another person is performed under the certificate holder's manual and this chapter.
(a) Each certificate holder shall report the occurrence or detection of each failure, malfunction, or defect in an aircraft concerning—
(1) Fires during flight and whether the related fire-warning system functioned properly;
(2) Fires during flight not protected by related fire-warning system;
(3) False fire-warning during flight;
(4) An exhaust system that causes damage during flight to the engine, adjacent structure, equipment, or components;
(5) An aircraft component that causes accumulation or circulation of smoke, vapor, or toxic or noxious fumes in the crew compartment or passenger cabin during flight;
(6) Engine shutdown during flight because of flameout;
(7) Engine shutdown during flight when external damage to the engine or aircraft structure occurs;
(8) Engine shutdown during flight due to foreign object ingestion or icing;
(9) Shutdown of more than one engine during flight;
(10) A propeller feathering system or ability of the system to control overspeed during flight;
(11) A fuel or fuel-dumping system that affects fuel flow or causes hazardous leakage during flight;
(12) An unwanted landing gear extension or retraction or opening or closing of landing gear doors during flight;
(13) Brake system components that result in loss of brake actuating force when the aircraft is in motion on the ground;
(14) Aircraft structure that requires major repair;
(15) Cracks, permanent deformation, or corrosion of aircraft structures, if more than the maximum acceptable to the manufacturer or the FAA; and
(16) Aircraft components or systems that result in taking emergency actions during flight (except action to shut-down an engine).
(b) For the purpose of this section, during flight means the period from the moment the aircraft leaves the surface of the earth on takeoff until it touches down on landing.
(c) In addition to the reports required by paragraph (a) of this section, each certificate holder shall report any other failure, malfunction, or defect in an aircraft that occurs or is detected at any time if, in its opinion, the failure, malfunction, or defect has endangered or may endanger the safe operation of the aircraft.
(d) Each certificate holder shall submit each report required by this section, covering each 24-hour period beginning at 0900 local time of each day and ending at 0900 local time on the next day, to the FAA offices in Oklahoma City, Oklahoma. Each report of occurrences during a 24-hour period shall be submitted to the collection point within the next 96 hours. However, a report due on Saturday or Sunday may be submitted on the following Monday, and a report due on a holiday may be submitted on the next workday.
(e) The certificate holder shall transmit the reports required by this section on a form and in a manner prescribed by the Administrator, and shall include as much of the following as is available:
(1) The type and identification number of the aircraft.
(2) The name of the operator.
(3) The date.
(4) The nature of the failure, malfunction, or defect.
(5) Identification of the part and system involved, including available information pertaining to type designation of the major component and time since last overhaul, if known.
(6) Apparent cause of the failure, malfunction or defect (e.g., wear, crack, design deficiency, or personnel error).
(7) Other pertinent information necessary for more complete identification, determination of seriousness, or corrective action.
(f) A certificate holder that is also the holder of a type certificate (including a supplemental type certificate), a Parts Manufacturer Approval, or a Technical Standard Order Authorization, or that is the licensee of a type certificate need not report a failure, malfunction, or defect under this section if the failure, malfunction, or defect has been reported by it under § 21.3 or § 37.17 of this chapter or under the accident reporting provisions of 49 CFR part 830 of the regulations of the National Transportation Safety Board.
(g) No person may withhold a report required by this section even though all information required by this section is not available.
(h) When the certificate holder gets additional information, including information from the manufacturer or other agency, concerning a report required by this section, it shall expeditiously submit it as a supplement to the first report and reference the date and place of submission of the first report.
Each certificate holder shall mail or deliver, before the end of the 10th day of the following month, a summary report of the following occurrences in multiengine aircraft for the preceding month to the responsible Flight Standards office:
(a) Each interruption to a flight, unscheduled change of aircraft en route, or unscheduled stop or diversion from a route, caused by known or suspected mechanical difficulties or malfunctions that are not required to be reported under § 135.415.
(b) The number of propeller featherings in flight, listed by type of propeller and engine and aircraft on which it was installed. Propeller featherings for training, demonstration, or flight check purposes need not be reported.
(a) Whenever the Administrator finds that the aircraft inspections required or allowed under part 91 of this chapter are not adequate to meet this part, or upon application by a certificate holder, the Administrator may amend the certificate holder's operations specifications under § 119.51, to require or allow an approved aircraft inspection program for any make and model aircraft of which the certificate holder has the exclusive use of at least one aircraft (as defined in § 135.25(b)).
(b) A certificate holder who applies for an amendment of its operations specifications to allow an approved aircraft inspection program must submit that program with its application for approval by the Administrator.
(c) Each certificate holder who is required by its operations specifications to have an approved aircraft inspection program shall submit a program for approval by the Administrator within 30 days of the amendment of its operations specifications or within any other period that the Administrator may prescribe in the operations specifications.
(d) The aircraft inspection program submitted for approval by the Administrator must contain the following:
(1) Instructions and procedures for the conduct of aircraft inspections (which must include necessary tests and checks), setting forth in detail the parts and areas of the airframe, engines, propellers, rotors, and appliances, including emergency equipment, that must be inspected.
(2) A schedule for the performance of the aircraft inspections under paragraph (d)(1) of this section expressed in terms of the time in service, calendar time, number of system operations, or any combination of these.
(3) Instructions and procedures for recording discrepancies found during inspections and correction or deferral of discrepancies including form and disposition of records.
(e) After approval, the certificate holder shall include the approved aircraft inspection program in the manual required by § 135.21.
(f) Whenever the Administrator finds that revisions to an approved aircraft inspection program are necessary for the continued adequacy of the program, the certificate holder shall, after notification by the Administrator, make any changes in the program found by the Administrator to be necessary. The certificate holder may petition the Administrator to reconsider the notice to make any changes in a program. The petition must be filed with the representatives of the Administrator assigned to it within 30 days after the certificate holder receives the notice. Except in the case of an emergency requiring immediate action in the interest of safety, the filing of the petition stays the notice pending a decision by the Administrator.
(g) Each certificate holder who has an approved aircraft inspection program shall have each aircraft that is subject to the program inspected in accordance with the program.
(h) The registration number of each aircraft that is subject to an approved aircraft inspection program must be included in the operations specifications of the certificate holder.
(a) Each certificate holder who operates an aircraft type certificated for a passenger seating configuration, excluding any pilot seat, of nine seats or less, must comply with the manufacturer's recommended maintenance programs, or a program approved by the Administrator, for each aircraft engine, propeller, rotor, and each item of emergency equipment required by this chapter.
(b) For the purpose of this section, a manufacturer's maintenance program is one which is contained in the maintenance manual or maintenance instructions set forth by the manufacturer as required by this chapter for the aircraft, aircraft engine, propeller, rotor or item of emergency equipment.
(c) For each single engine aircraft to be used in passenger-carrying IFR operations, each certificate holder must incorporate into its maintenance program either:
(1) The manufacturer's recommended engine trend monitoring program, which includes an oil analysis, if appropriate, or
(2) An FAA approved engine trend monitoring program that includes an oil analysis at each 100 hour interval or at the manufacturer's suggested interval, whichever is more frequent.
(d) For single engine aircraft to be used in passenger-carrying IFR operations, written maintenance instructions containing the methods, techniques, and practices necessary to maintain the equipment specified in §§ 135.105, and 135.163 (f) and (h) are required.
(e) No certificate holder may operate a single engine aircraft under IFR, carrying passengers, unless the certificate holder records and maintains in the engine maintenance records the results of each test, observation, and inspection required by the applicable engine trend monitoring program specified in (c) (1) and (2) of this section.
(a) Applicability. This section applies to multiengine airplanes certificated with nine or fewer passenger seats, operated by a certificate holder in a scheduled operation under this part, except for those airplanes operated by a certificate holder in a scheduled operation between any point within the State of Alaska and any other point within the State of Alaska.
(b) Operation after inspections and records review. After the dates specified in this paragraph, a certificate holder may not operate a multiengine airplane in a scheduled operation under this part unless the Administrator has notified the certificate holder that the Administrator has completed the aging airplane inspection and records review required by this section. During the inspection and records review, the certificate holder must demonstrate to the Administrator that the maintenance of age-sensitive parts and components of the airplane has been adequate and timely enough to ensure the highest degree of safety.
(1) Airplanes exceeding 24 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has exceeded 24 years in service on December 8, 2003, no later than December 5, 2007, and thereafter at intervals not to exceed 7 years.
(2) Airplanes exceeding 14 years in service but not 24 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has exceeded 14 years in service, but not 24 years in service, on December 8, 2003, no later than December 4, 2008, and thereafter at intervals not to exceed 7 years.
(3) Airplanes not exceeding 14 years in service on December 8, 2003; initial and repetitive inspections and records reviews. For an airplane that has not exceeded 14 years in service on December 8, 2003, no later than 5 years after the start of the airplane's 15th year in service and thereafter at intervals not to exceed 7 years.
(c) Unforeseen schedule conflict. In the event of an unforeseen scheduling conflict for a specific airplane, the Administrator may approve an extension of up to 90 days beyond an interval specified in paragraph (b) of this section.
(d) Airplane and records availability. The certificate holder must make available to the Administrator each airplane for which an inspection and records review is required under this section, in a condition for inspection specified by the Administrator, together with the records containing the following information:
(1) Total years in service of the airplane;
(2) Total time in service of the airframe;
(3) Date of the last inspection and records review required by this section;
(4) Current status of life-limited parts of the airframe;
(5) Time since the last overhaul of all structural components required to be overhauled on a specific time basis;
(6) Current inspection status of the airplane, including the time since the last inspection required by the inspection program under which the airplane is maintained;
(7) Current status of applicable airworthiness directives, including the date and methods of compliance, and, if the airworthiness directive involves recurring action, the time and date when the next action is required;
(8) A list of major structural alterations; and
(9) A report of major structural repairs and the current inspection status for these repairs.
(e) Notification to the Administrator. Each certificate holder must notify the Administrator at least 60 days before the date on which the airplane and airplane records will be made available for the inspection and records review.
(a) Each certificate holder that performs any of its maintenance (other than required inspections), preventive maintenance, or alterations, and each person with whom it arranges for the performance of that work, must have an organization adequate to perform the work.
(b) Each certificate holder that performs any inspections required by its manual under § 135.427(b) (2) or (3), (in this subpart referred to as required inspections), and each person with whom it arranges for the performance of that work, must have an organization adequate to perform that work.
(c) Each person performing required inspections in addition to other maintenance, preventive maintenance, or alterations, shall organize the performance of those functions so as to separate the required inspection functions from the other maintenance, preventive maintenance, and alteration functions. The separation shall be below the level of administrative control at which overall responsibility for the required inspection functions and other maintenance, preventive maintenance, and alteration functions is exercised.
Each certificate holder shall have an inspection program and a program covering other maintenance, preventive maintenance, and alterations, that ensures that—
(a) Maintenance, preventive maintenance, and alterations performed by it, or by other persons, are performed under the certificate holder's manual;
(b) Competent personnel and adequate facilities and equipment are provided for the proper performance of maintenance, preventive maintenance, and alterations; and
(c) Each aircraft released to service is airworthy and has been properly maintained for operation under this part.
(a) A certificate holder may arrange with another person for the performance of maintenance, preventive maintenance, and alterations as authorized in § 135.437(a) only if the certificate holder has met all the requirements in this section. For purposes of this section—
(1) A maintenance provider is any person who performs maintenance, preventive maintenance, or an alteration for a certificate holder other than a person who is trained by and employed directly by that certificate holder.
(2) Covered work means any of the following:
(i) Essential maintenance that could result in a failure, malfunction, or defect endangering the safe operation of an aircraft if not performed properly or if improper parts or materials are used;
(ii) Regularly scheduled maintenance; or
(iii) A required inspection item on an aircraft.
(3) Directly in charge means having responsibility for covered work performed by a maintenance provider. A representative of the certificate holder directly in charge of covered work does not need to physically observe and direct each maintenance provider constantly, but must be available for consultation on matters requiring instruction or decision.
(b) Each certificate holder must be directly in charge of all covered work done for it by a maintenance provider.
(c) Each maintenance provider must perform all covered work in accordance with the certificate holder's maintenance manual.
(d) No maintenance provider may perform covered work unless that work is carried out under the supervision and control of the certificate holder.
(e) Each certificate holder who contracts for maintenance, preventive maintenance, or alterations must develop and implement policies, procedures, methods, and instructions for the accomplishment of all contracted maintenance, preventive maintenance, and alterations. These policies, procedures, methods, and instructions must provide for the maintenance, preventive maintenance, and alterations to be performed in accordance with the certificate holder's maintenance program and maintenance manual.
(f) Each certificate holder who contracts for maintenance, preventive maintenance, or alterations must ensure that its system for the continuing analysis and surveillance of the maintenance, preventive maintenance, and alterations carried out by a maintenance provider, as required by § 135.431(a), contains procedures for oversight of all contracted covered work.
(g) The policies, procedures, methods, and instructions required by paragraphs (e) and (f) of this section must be acceptable to the FAA and included in the certificate holder's maintenance manual, as required by § 135.427(b)(10).
(h) Each certificate holder who contracts for maintenance, preventive maintenance, or alterations must provide to its responsible Flight Standards office, in a format acceptable to the FAA, a list that includes the name and physical (street) address, or addresses, where the work is carried out for each maintenance provider that performs work for the certificate holder, and a description of the type of maintenance, preventive maintenance, or alteration that is to be performed at each location. The list must be updated with any changes, including additions or deletions, and the updated list provided to the FAA in a format acceptable to the FAA by the last day of each calendar month.
(a) Each certificate holder shall put in its manual the chart or description of the certificate holder's organization required by § 135.423 and a list of persons with whom it has arranged for the performance of any of its required inspections, other maintenance, preventive maintenance, or alterations, including a general description of that work.
(b) Each certificate holder shall put in its manual the programs required by § 135.425 that must be followed in performing maintenance, preventive maintenance, and alterations of that certificate holder's aircraft, including airframes, aircraft engines, propellers, rotors, appliances, emergency equipment, and parts, and must include at least the following:
(1) The method of performing routine and nonroutine maintenance (other than required inspections), preventive maintenance, and alterations.
(2) A designation of the items of maintenance and alteration that must be inspected (required inspections) including at least those that could result in a failure, malfunction, or defect endangering the safe operation of the aircraft, if not performed properly or if improper parts or materials are used.
(3) The method of performing required inspections and a designation by occupational title of personnel authorized to perform each required inspection.
(4) Procedures for the reinspection of work performed under previous required inspection findings (buy-back procedures).
(5) Procedures, standards, and limits necessary for required inspections and acceptance or rejection of the items required to be inspected and for periodic inspection and calibration of precision tools, measuring devices, and test equipment.
(6) Procedures to ensure that all required inspections are performed.
(7) Instructions to prevent any person who performs any item of work from performing any required inspection of that work.
(8) Instructions and procedures to prevent any decision of an inspector regarding any required inspection from being countermanded by persons other than supervisory personnel of the inspection unit, or a person at the level of administrative control that has overall responsibility for the management of both the required inspection functions and the other maintenance, preventive maintenance, and alterations functions.
(9) Procedures to ensure that required inspections, other maintenance, preventive maintenance, and alterations that are not completed as a result of work interruptions are properly completed before the aircraft is released to service.
(10) Policies, procedures, methods, and instructions for the accomplishment of all maintenance, preventive maintenance, and alterations carried out by a maintenance provider. These policies, procedures, methods, and instructions must be acceptable to the FAA and ensure that, when followed by the maintenance provider, the maintenance, preventive maintenance, and alterations are performed in accordance with the certificate holder's maintenance program and maintenance manual.
(c) Each certificate holder shall put in its manual a suitable system (which may include a coded system) that provides for the retention of the following information—
(1) A description (or reference to data acceptable to the Administrator) of the work performed;
(2) The name of the person performing the work if the work is performed by a person outside the organization of the certificate holder; and
(3) The name or other positive identification of the individual approving the work.
(d) For the purposes of this part, the certificate holder must prepare that part of its manual containing maintenance information and instructions, in whole or in part, in printed form or other form, acceptable to the Administrator, that is retrievable in the English language.
(a) No person may use any person to perform required inspections unless the person performing the inspection is appropriately certificated, properly trained, qualified, and authorized to do so.
(b) No person may allow any person to perform a required inspection unless, at the time, the person performing that inspection is under the supervision and control of an inspection unit.
(c) No person may perform a required inspection if that person performed the item of work required to be inspected.
(d) In the case of rotorcraft that operate in remote areas or sites, the Administrator may approve procedures for the performance of required inspection items by a pilot when no other qualified person is available, provided—
(1) The pilot is employed by the certificate holder;
(2) It can be shown to the satisfaction of the Administrator that each pilot authorized to perform required inspections is properly trained and qualified;
(3) The required inspection is a result of a mechanical interruption and is not a part of a certificate holder's continuous airworthiness maintenance program;
(4) Each item is inspected after each flight until the item has been inspected by an appropriately certificated mechanic other than the one who originally performed the item of work; and
(5) Each item of work that is a required inspection item that is part of the flight control system shall be flight tested and reinspected before the aircraft is approved for return to service.
(e) Each certificate holder shall maintain, or shall determine that each person with whom it arranges to perform its required inspections maintains, a current listing of persons who have been trained, qualified, and authorized to conduct required inspections. The persons must be identified by name, occupational title and the inspections that they are authorized to perform. The certificate holder (or person with whom it arranges to perform its required inspections) shall give written information to each person so authorized, describing the extent of that person's responsibilities, authorities, and inspectional limitations. The list shall be made available for inspection by the Administrator upon request.
(a) Each certificate holder shall establish and maintain a system for the continuing analysis and surveillance of the performance and effectiveness of its inspection program and the program covering other maintenance, preventive maintenance, and alterations and for the correction of any deficiency in those programs, regardless of whether those programs are carried out by the certificate holder or by another person.
(b) Whenever the Administrator finds that either or both of the programs described in paragraph (a) of this section does not contain adequate procedures and standards to meet this part, the certificate holder shall, after notification by the Administrator, make changes in those programs requested by the Administrator.
(c) A certificate holder may petition the Administrator to reconsider the notice to make a change in a program. The petition must be filed with the responsible Flight Standards office within 30 days after the certificate holder receives the notice. Except in the case of an emergency requiring immediate action in the interest of safety, the filing of the petition stays the notice pending a decision by the Administrator.
Each certificate holder or a person performing maintenance or preventive maintenance functions for it shall have a training program to ensure that each person (including inspection personnel) who determines the adequacy of work done is fully informed about procedures and techniques and new equipment in use and is competent to perform that person's duties.
(a) Except for maintenance, preventive maintenance, alterations, and required inspections performed by a certificated repair station that is located outside the United States, each person who is directly in charge of maintenance, preventive maintenance, or alterations, and each person performing required inspections must hold an appropriate airman certificate.
(b) For the purpose of this section, a person directly in charge is each person assigned to a position in which that person is responsible for the work of a shop or station that performs maintenance, preventive maintenance, alterations, or other functions affecting airworthiness. A person who is directly in charge need not physically observe and direct each worker constantly but must be available for consultation and decision on matters requiring instruction or decision from higher authority than that of the person performing the work.
(a) A certificate holder may perform or make arrangements with other persons to perform maintenance, preventive maintenance, and alterations as provided in its maintenance manual. In addition, a certificate holder may perform these functions for another certificate holder as provided in the maintenance manual of the other certificate holder.
(b) A certificate holder may approve any airframe, aircraft engine, propeller, rotor, or appliance for return to service after maintenance, preventive maintenance, or alterations that are performed under paragraph (a) of this section. However, in the case of a major repair or alteration, the work must have been done in accordance with technical data approved by the Administrator.
(a) Each certificate holder shall keep (using the system specified in the manual required in § 135.427) the following records for the periods specified in paragraph (b) of this section:
(1) All the records necessary to show that all requirements for the issuance of an airworthiness release under § 135.443 have been met.
(2) Records containing the following information:
(i) The total time in service of the airframe, engine, propeller, and rotor.
(ii) The current status of life-limited parts of each airframe, engine, propeller, rotor, and appliance.
(iii) The time since last overhaul of each item installed on the aircraft which are required to be overhauled on a specified time basis.
(iv) The identification of the current inspection status of the aircraft, including the time since the last inspections required by the inspection program under which the aircraft and its appliances are maintained.
(v) The current status of applicable airworthiness directives, including the date and methods of compliance, and, if the airworthiness directive involves recurring action, the time and date when the next action is required.
(vi) A list of current major alterations and repairs to each airframe, engine, propeller, rotor, and appliance.
(b) Each certificate holder shall retain the records required to be kept by this section for the following periods:
(1) Except for the records of the last complete overhaul of each airframe, engine, propeller, rotor, and appliance the records specified in paragraph (a)(1) of this section shall be retained until the work is repeated or superseded by other work or for one year after the work is performed.
(2) The records of the last complete overhaul of each airframe, engine, propeller, rotor, and appliance shall be retained until the work is superseded by work of equivalent scope and detail.
(3) The records specified in paragraph (a)(2) of this section shall be retained and transferred with the aircraft at the time the aircraft is sold.
(c) The certificate holder shall make all maintenance records required to be kept by this section available for inspection by the Administrator or any representative of the National Transportation Safety Board.
Each certificate holder who sells a United States registered aircraft shall transfer to the purchaser, at the time of the sale, the following records of that aircraft, in plain language form or in coded form which provides for the preservation and retrieval of information in a manner acceptable to the Administrator:
(a) The records specified in § 135.439(a)(2).
(b) The records specified in § 135.439(a)(1) which are not included in the records covered by paragraph (a) of this section, except that the purchaser may allow the seller to keep physical custody of such records. However, custody of records by the seller does not relieve the purchaser of its responsibility under § 135.439(c) to make the records available for inspection by the Administrator or any representative of the National Transportation Safety Board.
(a) No certificate holder may operate an aircraft after maintenance, preventive maintenance, or alterations are performed on the aircraft unless the certificate holder prepares, or causes the person with whom the certificate holder arranges for the performance of the maintenance, preventive maintenance, or alterations, to prepare—
(1) An airworthiness release; or
(2) An appropriate entry in the aircraft maintenance log.
(b) The airworthiness release or log entry required by paragraph (a) of this section must—
(1) Be prepared in accordance with the procedure in the certificate holder's manual;
(2) Include a certification that—
(i) The work was performed in accordance with the requirements of the certificate holder's manual;
(ii) All items required to be inspected were inspected by an authorized person who determined that the work was satisfactorily completed;
(iii) No known condition exists that would make the aircraft unairworthy; and
(iv) So far as the work performed is concerned, the aircraft is in condition for safe operation; and
(3) Be signed by an authorized certificated mechanic or repairman, except that a certificated repairman may sign the release or entry only for the work for which that person is employed and for which that person is certificated.
(c) Notwithstanding paragraph (b)(3) of this section, after maintenance, preventive maintenance, or alterations performed by a repair station located outside the United States , the airworthiness release or log entry required by paragraph (a) of this section may be signed by a person authorized by that repair station.
(d) Instead of restating each of the conditions of the certification required by paragraph (b) of this section, the certificate holder may state in its manual that the signature of an authorized certificated mechanic or repairman constitutes that certification.
(a) This subpart prescribes the requirements applicable to each certificate holder for training each crewmember and person performing or directly supervising any of the following job functions involving any item for transport on board an aircraft:
(1) Acceptance;
(2) Rejection;
(3) Handling;
(4) Storage incidental to transport;
(5) Packaging of company material; or
(6) Loading.
(b) Definitions. For purposes of this subpart, the following definitions apply:
(1) Company material (COMAT)—Material owned or used by a certificate holder.
(2) Initial hazardous materials training—The basic training required for each newly hired person, or each person changing job functions, who performs or directly supervises any of the job functions specified in paragraph (a) of this section.
(3) Recurrent hazardous materials training—The training required every 24 months for each person who has satisfactorily completed the certificate holder's approved initial hazardous materials training program and performs or directly supervises any of the job functions specified in paragraph (a) of this section.
(a) Each certificate holder must establish and implement a hazardous materials training program that:
(1) Satisfies the requirements of Appendix O of part 121 of this part;
(2) Ensures that each person performing or directly supervising any of the job functions specified in § 135.501(a) is trained to comply with all applicable parts of 49 CFR parts 171 through 180 and the requirements of this subpart; and
(3) Enables the trained person to recognize items that contain, or may contain, hazardous materials regulated by 49 CFR parts 171 through 180.
(b) Each certificate holder must provide initial hazardous materials training and recurrent hazardous materials training to each crewmember and person performing or directly supervising any of the job functions specified in § 135.501(a).
(c) Each certificate holder's hazardous materials training program must be approved by the FAA prior to implementation.
(a) Training requirement. Except as provided in paragraphs (b), (c) and (f) of this section, no certificate holder may use any crewmember or person to perform any of the job functions or direct supervisory responsibilities, and no person may perform any of the job functions or direct supervisory responsibilities, specified in § 135.501(a) unless that person has satisfactorily completed the certificate holder's FAA-approved initial or recurrent hazardous materials training program within the past 24 months.
(b) New hire or new job function. A person who is a new hire and has not yet satisfactorily completed the required initial hazardous materials training, or a person who is changing job functions and has not received initial or recurrent training for a job function involving storage incidental to transport, or loading of items for transport on an aircraft, may perform those job functions for not more than 30 days from the date of hire or a change in job function, if the person is under the direct visual supervision of a person who is authorized by the certificate holder to supervise that person and who has successfully completed the certificate holder's FAA-approved initial or recurrent training program within the past 24 months.
(c) Persons who work for more than one certificate holder. A certificate holder that uses or assigns a person to perform or directly supervise a job function specified in § 135.501(a), when that person also performs or directly supervises the same job function for another certificate holder, need only train that person in its own policies and procedures regarding those job functions, if all of the following are met:
(1) The certificate holder using this exception receives written verification from the person designated to hold the training records representing the other certificate holder that the person has satisfactorily completed hazardous materials training for the specific job function under the other certificate holder's FAA approved hazardous material training program under appendix O of part 121 of this chapter; and
(2) The certificate holder who trained the person has the same operations specifications regarding the acceptance, handling, and transport of hazardous materials as the certificate holder using this exception.
(d) Recurrent hazardous materials training—Completion date. A person who satisfactorily completes recurrent hazardous materials training in the calendar month before, or the calendar month after, the month in which the recurrent training is due, is considered to have taken that training during the month in which it is due. If the person completes this training earlier than the month before it is due, the month of the completion date becomes his or her new anniversary month.
(e) Repair stations. A certificate holder must ensure that each repair station performing work for, or on the certificate holder's behalf is notified in writing of the certificate holder's policies and operations specification authorization permitting or prohibition against the acceptance, rejection, handling, storage incidental to transport, and transportation of hazardous materials, including company material. This notification requirement applies only to repair stations that are regulated by 49 CFR parts 171 through 180.
(f) Certificate holders operating at foreign locations. This exception applies if a certificate holder operating at a foreign location where the country requires the certificate holder to use persons working in that country to load aircraft. In such a case, the certificate holder may use those persons even if they have not been trained in accordance with the certificate holder's FAA approved hazardous materials training program. Those persons, however, must be under the direct visual supervision of someone who has successfully completed the certificate holder's approved initial or recurrent hazardous materials training program in accordance with this part. This exception applies only to those persons who load aircraft.
(a) General requirement. Each certificate holder must maintain a record of all training required by this part received within the preceding three years for each person who performs or directly supervises a job function specified in § 135.501(a). The record must be maintained during the time that the person performs or directly supervises any of those job functions, and for 90 days thereafter. These training records must be kept for direct employees of the certificate holder, as well as independent contractors, subcontractors, and any other person who performs or directly supervises these job functions for the certificate holder.
(b) Location of records. The certificate holder must retain the training records required by paragraph (a) of this section for all initial and recurrent training received within the preceding 3 years for all persons performing or directly supervising the job functions listed in Appendix O of part 121 of this chapter at a designated location. The records must be available upon request at the location where the trained person performs or directly supervises the job function specified in § 135.501(a). Records may be maintained electronically and provided on location electronically. When the person ceases to perform or directly supervise a hazardous materials job function, the certificate holder must retain the hazardous materials training records for an additional 90 days and make them available upon request at the last location where the person worked.
(c) Content of records. Each record must contain the following:
(1) The individual's name;
(2) The most recent training completion date;
(3) A description, copy or reference to training materials used to meet the training requirement;
(4) The name and address of the organization providing the training; and
(5) A copy of the certification issued when the individual was trained, which shows that a test has been completed satisfactorily.
(d) New hire or new job function. Each certificate holder using a person under the exception in § 135.505(b) must maintain a record for that person. The records must be available upon request at the location where the trained person performs or directly supervises the job function specified in § 135.501(a). Records may be maintained electronically and provided on location electronically. The record must include the following:
(1) A signed statement from an authorized representative of the certificate holder authorizing the use of the person in accordance with the exception;
(2) The date of hire or change in job function;
(3) The person's name and assigned job function;
(4) The name of the supervisor of the job function; and
(5) The date the person is to complete hazardous materials training in accordance with Appendix O of part 121 of this chapter.
(a) Applicability. This subpart prescribes the requirements applicable to each certificate holder conducting helicopter air ambulance operations.
(b) Definitions. For purposes of this subpart, the following definitions apply:
(1) Helicopter air ambulance operation means a flight, or sequence of flights, with a patient or medical personnel on board, for the purpose of medical transportation, by a part 135 certificate holder authorized by the Administrator to conduct helicopter air ambulance operations. A helicopter air ambulance operation includes, but is not limited to—
(i) Flights conducted to position the helicopter at the site at which a patient or donor organ will be picked up.
(ii) Flights conducted to reposition the helicopter after completing the patient, or donor organ transport.
(iii) Flights initiated for the transport of a patient or donor organ that are terminated due to weather or other reasons.
(2) Medical personnel means a person or persons with medical training, including but not limited to flight physicians, flight nurses, or flight paramedics, who are carried aboard a helicopter during helicopter air ambulance operations in order to provide medical care.
(3) Mountainous means designated mountainous areas as listed in part 95 of this chapter.
(4) Nonmountainous means areas other than mountainous areas as listed in part 95 of this chapter.
After April 24, 2017, no certificate holder may use, nor may any person serve as, a pilot in command of a helicopter air ambulance operation unless that person meets the requirements of § 135.243 and holds a helicopter instrument rating or an airline transport pilot certificate with a category and class rating for that aircraft, that is not limited to VFR.
(a) After April 24, 2017, no person may operate a helicopter in helicopter air ambulance operations unless that helicopter is equipped with a helicopter terrain awareness and warning system (HTAWS) that meets the requirements in TSO-C194 and Section 2 of RTCA DO-309.
(b) The certificate holder's Rotorcraft Flight Manual must contain appropriate procedures for—
(1) The use of the HTAWS; and
(2) Proper flight crew response to HTAWS audio and visual warnings.
(c) Certificate holders with HTAWS required by this section with an approved deviation under § 21.618 of this chapter are in compliance with this section.
(d) The standards required in this section are incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the FAA must publish notice of change in the
(1) U.S. Department of Transportation, Subsequent Distribution Office, DOT Warehouse M30, Ardmore East Business Center, 3341 Q 75th Avenue, Landover, MD 20785; telephone (301) 322-5377. Copies are also available on the FAA's Web site. Use the following link and type the TSO number in the search box: http://rgl.faa.gov/Regulatory_and_Guidance_Library/rgTSO.nsf/Frameset?OpenPage.
(i) TSO C-194, Helicopter Terrain Awareness and Warning System (HTAWS), Dec. 17, 2008.
(ii) [Reserved]
(2) RTCA, Inc., 1150 18th Street NW., Suite 910, Washington, DC 20036, telephone (202) 833-9339, and are also available on RTCA's Web site at http://www.rtca.org/onlinecart/index.cfm.
(i) RTCA DO-309, Minimum Operational Performance Standards (MOPS) for Helicopter Terrain Awareness and Warning System (HTAWS) Airborne Equipment, Mar. 13, 2008.
(ii) [Reserved]
After April 23, 2018, no person may operate a helicopter in air ambulance operations unless it is equipped with an approved flight data monitoring system capable of recording flight performance data. This system must:
(a) Receive electrical power from the bus that provides the maximum reliability for operation without jeopardizing service to essential or emergency loads, and
(b) Be operated from the application of electrical power before takeoff until the removal of electrical power after termination of flight.
(a) Unless otherwise specified in the certificate holder's operations specifications, when conducting VFR helicopter air ambulance operations in Class G airspace, the weather minimums in the following table apply:
(b) A certificate holder may designate local flying areas in a manner acceptable to the Administrator, that must—
(1) Not exceed 50 nautical miles in any direction from each designated location;
(2) Take into account obstacles and terrain features that are easily identifiable by the pilot in command and from which the pilot in command may visually determine a position; and
(3) Take into account the operating environment and capabilities of the certificate holder's helicopters.
(c) A pilot must demonstrate a level of familiarity with the local flying area by passing an examination given by the certificate holder within the 12 calendar months prior to using the local flying area.
(a) If a certificate holder is authorized to conduct helicopter IFR operations, the Administrator may authorize the certificate holder to conduct IFR helicopter air ambulance operations at airports with an instrument approach procedure and at which a weather report is not available from the U.S. National Weather Service (NWS), a source approved by the NWS, or a source approved by the FAA, subject to the following limitations:
(1) The certificate holder must obtain a weather report from a weather reporting facility operated by the NWS, a source approved by the NWS, or a source approved by the FAA, that is located within 15 nautical miles of the airport. If a weather report is not available, the certificate holder may obtain weather reports, forecasts, or any combination of them from the NWS, a source approved by the NWS, or a source approved by the FAA, for information regarding the weather observed in the vicinity of the airport;
(2) Flight planning for IFR flights conducted under this paragraph must include selection of an alternate airport that meets the requirements of §§ 135.221 and 135.223;
(3) In Class G airspace, IFR departures with visual transitions are authorized only after the pilot in command determines that the weather conditions at the departure point are at or above takeoff minimums depicted in a published departure procedure or VFR minimum ceilings and visibilities in accordance with § 135.609.
(4) All approaches must be conducted at Category A approach speeds as established in part 97 or those required for the type of approach being used.
(b) Each helicopter air ambulance operated under this section must be equipped with functioning severe weather detection equipment, unless the pilot in command reasonably determines severe weather will not be encountered at the destination, the alternate destination, or along the route of flight.
(c) Pilots conducting operations pursuant to this section may use the weather information obtained in paragraph (a) to satisfy the weather report and forecast requirements of § 135.213 and § 135.225(a).
(d) After completing a landing at the airport at which a weather report is not available, the pilot in command is authorized to determine if the weather meets the takeoff requirements of part 97 of this chapter or the certificate holder's operations specification, as applicable.
(a) Approaches. When conducting an authorized instrument approach and transitioning from IFR to VFR flight, upon transitioning to VFR flight the following weather minimums apply—
(1) For Point-in-Space (PinS) Copter Instrument approaches annotated with a “Proceed VFR” segment, if the distance from the missed approach point to the landing area is 1 NM or less, flight visibility must be at least 1 statute mile and the ceiling on the approach chart applies;
(2) For all instrument approaches, including PinS when paragraph (a)(1) of this section does not apply, if the distance from the missed approach point to the landing area is 3 NM or less, the applicable VFR weather minimums are—
(i) For Day Operations: No less than a 600-foot ceiling and 2 statute miles flight visibility;
(ii) For Night Operations: No less than a 600-foot ceiling and 3 statute miles flight visibility; or
(3) For all instrument approaches, including PinS, if the distance from the missed approach point to the landing area is greater than 3 NM, the VFR weather minimums required by the class of airspace.
(b) Departures. For transitions from VFR to IFR upon departure—
(1) The VFR weather minimums of paragraph (a) of this section apply if—
(i) An FAA-approved obstacle departure procedure is followed; and
(ii) An IFR clearance is obtained on or before reaching a predetermined location that is not more than 3 NM from the departure location.
(2) If the departure does not meet the requirements of paragraph (b)(1) of this section, the VFR weather minimums required by the class of airspace apply.
(a) Pre-flight. Prior to conducting VFR operations, the pilot in command must—
(1) Determine the minimum safe cruise altitude by evaluating the terrain and obstacles along the planned route of flight;
(2) Identify and document the highest obstacle along the planned route of flight; and
(3) Using the minimum safe cruise altitudes in paragraphs (b)(1)-(2) of this section, determine the minimum required ceiling and visibility to conduct the planned flight by applying the weather minimums appropriate to the class of airspace for the planned flight.
(b) Enroute. While conducting VFR operations, the pilot in command must ensure that all terrain and obstacles along the route of flight are cleared vertically by no less than the following:
(1) 300 feet for day operations.
(2) 500 feet for night operations.
(c) Rerouting the planned flight path. A pilot in command may deviate from the planned flight path for reasons such as weather conditions or operational considerations. Such deviations do not relieve the pilot in command of the weather requirements or the requirements for terrain and obstacle clearance contained in this part and in part 91 of this chapter. Rerouting, change in destination, or other changes to the planned flight that occur while the helicopter is on the ground at an intermediate stop require evaluation of the new route in accordance with paragraph (a) of this section.
(d) Operations manual. Each certificate holder must document its VFR flight planning procedures in its operations manual.
(a) Each certificate holder conducting helicopter air ambulance operations must establish, and document in its operations manual, an FAA-approved preflight risk analysis that includes at least the following—
(1) Flight considerations, to include obstacles and terrain along the planned route of flight, landing zone conditions, and fuel requirements;
(2) Human factors, such as crew fatigue, life events, and other stressors;
(3) Weather, including departure, en route, destination, and forecasted;
(4) A procedure for determining whether another helicopter air ambulance operator has refused or rejected a flight request; and
(5) Strategies and procedures for mitigating identified risks, including procedures for obtaining and documenting approval of the certificate holder's management personnel to release a flight when a risk exceeds a level predetermined by the certificate holder.
(b) Each certificate holder must develop a preflight risk analysis worksheet to include, at a minimum, the items in paragraph (a) of this section.
(c) Prior to the first leg of each helicopter air ambulance operation, the pilot in command must conduct a preflight risk analysis and complete the preflight risk analysis worksheet in accordance with the certificate holder's FAA-approved procedures. The pilot in command must sign the preflight risk analysis worksheet and specify the date and time it was completed.
(d) The certificate holder must retain the original or a copy of each completed preflight risk analysis worksheet at a location specified in its operations manual for at least 90 days from the date of the operation.
(a) Operations control center. After April 22, 2016, certificate holders authorized to conduct helicopter air ambulance operations, with 10 or more helicopter air ambulances assigned to the certificate holder's operations specifications, must have an operations control center. The operations control center must be staffed by operations control specialists who, at a minimum—
(1) Provide two-way communications with pilots;
(2) Provide pilots with weather briefings, to include current and forecasted weather along the planned route of flight;
(3) Monitor the progress of the flight; and
(4) Participate in the preflight risk analysis required under § 135.617 to include the following:
(i) Ensure the pilot has completed all required items on the preflight risk analysis worksheet;
(ii) Confirm and verify all entries on the preflight risk analysis worksheet;
(iii) Assist the pilot in mitigating any identified risk prior to takeoff; and
(iv) Acknowledge in writing, specifying the date and time, that the preflight risk analysis worksheet has been accurately completed and that, according to their professional judgment, the flight can be conducted safely.
(b) Operations control center staffing. Each certificate holder conducting helicopter air ambulance operations must provide enough operations control specialists at each operations control center to ensure the certificate holder maintains operational control of each flight.
(c) Documentation of duties and responsibilities. Each certificate holder must describe in its operations manual the duties and responsibilities of operations control specialists, including preflight risk mitigation strategies and control measures, shift change checklist, and training and testing procedures to hold the position, including procedures for retesting.
(d) Training requirements. No certificate holder may use, nor may any person perform the duties of, an operations control specialist unless the operations control specialist has satisfactorily completed the training requirements of this paragraph.
(1) Initial training. Before performing the duties of an operations control specialist, each person must satisfactorily complete the certificate holder's FAA-approved operations control specialist initial training program and pass an FAA-approved knowledge and practical test given by the certificate holder. Initial training must include a minimum of 80 hours of training on the topics listed in paragraph (f) of this section. A certificate holder may reduce the number of hours of initial training to a minimum of 40 hours for persons who have obtained, at the time of beginning initial training, a total of at least 2 years of experience during the last 5 years in any one or in any combination of the following areas—
(i) In military aircraft operations as a pilot, flight navigator, or meteorologist;
(ii) In air carrier operations as a pilot, flight engineer, certified aircraft dispatcher, or meteorologist; or
(iii) In aircraft operations as an air traffic controller or a flight service specialist.
(2) Recurrent training. Every 12 months after satisfactory completion of the initial training, each operations control specialist must complete a minimum of 40 hours of recurrent training on the topics listed in paragraph (f) of this section and pass an FAA-approved knowledge and practical test given by the certificate holder on those topics.
(e) Training records. The certificate holder must maintain a training record for each operations control specialist employed by the certificate holder for the duration of that individual's employment and for 90 days thereafter. The training record must include a chronological log for each training course, including the number of training hours and the examination dates and results.
(f) Training topics. Each certificate holder must have an FAA-approved operations control specialist training program that covers at least the following topics—
(1) Aviation weather, including:
(i) General meteorology;
(ii) Prevailing weather;
(iii) Adverse and deteriorating weather;
(iv) Windshear;
(v) Icing conditions;
(vi) Use of aviation weather products;
(vii) Available sources of information; and
(viii) Weather minimums;
(2) Navigation, including:
(i) Navigation aids;
(ii) Instrument approach procedures;
(iii) Navigational publications; and
(iv) Navigation techniques;
(3) Flight monitoring, including:
(i) Available flight-monitoring procedures; and
(ii) Alternate flight-monitoring procedures;
(4) Air traffic control, including:
(i) Airspace;
(ii) Air traffic control procedures;
(iii) Aeronautical charts; and
(iv) Aeronautical data sources;
(5) Aviation communication, including:
(i) Available aircraft communications systems;
(ii) Normal communication procedures;
(iii) Abnormal communication procedures; and
(iv) Emergency communication procedures;
(6) Aircraft systems, including:
(i) Communications systems;
(ii) Navigation systems;
(iii) Surveillance systems;
(iv) Fueling systems;
(v) Specialized systems;
(vi) General maintenance requirements; and
(vii) Minimum equipment lists;
(7) Aircraft limitations and performance, including:
(i) Aircraft operational limitations;
(ii) Aircraft performance;
(iii) Weight and balance procedures and limitations; and
(iv) Landing zone and landing facility requirements;
(8) Aviation policy and regulations, including:
(i) 14 CFR Parts 1, 27, 29, 61, 71, 91, and 135;
(ii) 49 CFR Part 830;
(iii) Company operations specifications;
(iv) Company general operations policies;
(v) Enhanced operational control policies;
(vi) Aeronautical decision making and risk management;
(vii) Lost aircraft procedures; and
(viii) Emergency and search and rescue procedures, including plotting coordinates in degrees, minutes, seconds format, and degrees, decimal minutes format;
(9) Crew resource management, including:
(i) Concepts and practical application;
(ii) Risk management and risk mitigation; and
(iii) Pre-flight risk analysis procedures required under § 135.617;
(10) Local flying area orientation, including:
(i) Terrain features;
(ii) Obstructions;
(iii) Weather phenomena for local area;
(iv) Airspace and air traffic control facilities;
(v) Heliports, airports, landing zones, and fuel facilities;
(vi) Instrument approaches;
(vii) Predominant air traffic flow;
(viii) Landmarks and cultural features, including areas prone to flat-light, whiteout, and brownout conditions; and
(ix) Local aviation and safety resources and contact information; and
(11) Any other requirements as determined by the Administrator to ensure safe operations.
(g) Operations control specialist duty time limitations. (1) Each certificate holder must establish the daily duty period for an operations control specialist so that it begins at a time that allows that person to become thoroughly familiar with operational considerations, including existing and anticipated weather conditions in the area of operations, helicopter operations in progress, and helicopter maintenance status, before performing duties associated with any helicopter air ambulance operation. The operations control specialist must remain on duty until relieved by another qualified operations control specialist or until each helicopter air ambulance monitored by that person has completed its flight or gone beyond that person's jurisdiction.
(2) Except in cases where circumstances or emergency conditions beyond the control of the certificate holder require otherwise—
(i) No certificate holder may schedule an operations control specialist for more than 10 consecutive hours of duty;
(ii) If an operations control specialist is scheduled for more than 10 hours of duty in 24 consecutive hours, the certificate holder must provide that person a rest period of at least 8 hours at or before the end of 10 hours of duty;
(iii) If an operations control specialist is on duty for more than 10 consecutive hours, the certificate holder must provide that person a rest period of at least 8 hours before that person's next duty period;
(iv) Each operations control specialist must be relieved of all duty with the certificate holder for at least 24 consecutive hours during any 7 consecutive days.
(h) Drug and alcohol testing. Operations control specialists must be tested for drugs and alcohol according to the certificate holder's Drug and Alcohol Testing Program administered under part 120 of this chapter.
(a) Except as provided in paragraph (b) of this section, prior to each helicopter air ambulance operation, each pilot in command, or other flight crewmember designated by the certificate holder, must ensure that all medical personnel have been briefed on the following—
(1) Passenger briefing requirements in § 135.117(a) and (b); and
(2) Physiological aspects of flight;
(3) Patient loading and unloading;
(4) Safety in and around the helicopter;
(5) In-flight emergency procedures;
(6) Emergency landing procedures;
(7) Emergency evacuation procedures;
(8) Efficient and safe communications with the pilot; and
(9) Operational differences between day and night operations, if appropriate.
(b) The briefing required in paragraphs (a)(2) through (9) of this section may be omitted if all medical personnel on board have satisfactorily completed the certificate holder's FAA-approved medical personnel training program within the preceding 24 calendar months. Each training program must include a minimum of 4 hours of ground training, and 4 hours of training in and around an air ambulance helicopter, on the topics set forth in paragraph (a)(2) through (9) of this section.
(c) Each certificate holder must maintain a record for each person trained under this section that—
(1) Contains the individual's name, the most recent training completion date, and a description, copy, or reference to training materials used to meet the training requirement.
(2) Is maintained for 24 calendar months following the individual's completion of training.
1. Applicability. This appendix prescribes the additional airworthiness standards required by § 135.169.
2. References. Unless otherwise provided, references in this appendix to specific sections of part 23 of the Federal Aviation Regulations (FAR part 23) are to those sections of part 23 in effect on March 30, 1967.
3. General. Compliance must be shown with the applicable requirements of subpart B of FAR part 23, as supplemented or modified in §§ 4 through 10.
4. General. (a) Unless otherwise prescribed in this appendix, compliance with each applicable performance requirement in sections 4 through 7 must be shown for ambient atmospheric conditions and still air.
(b) The performance must correspond to the propulsive thrust available under the particular ambient atmospheric conditions and the particular flight condition. The available propulsive thrust must correspond to engine power or thrust, not exceeding the approved power or thrust less—
(1) Installation losses; and
(2) The power or equivalent thrust absorbed by the accessories and services appropriate to the particular ambient atmospheric conditions and the particular flight condition.
(c) Unless otherwise prescribed in this appendix, the applicant must select the take-off, en route, and landing configurations for the airplane.
(d) The airplane configuration may vary with weight, altitude, and temperature, to the extent they are compatible with the operating procedures required by paragraph (e) of this section.
(e) Unless otherwise prescribed in this appendix, in determining the critical engine inoperative takeoff performance, the accelerate-stop distance, takeoff distance, changes in the airplane's configuration, speed, power, and thrust must be made under procedures established by the applicant for operation in service.
(f) Procedures for the execution of balked landings must be established by the applicant and included in the Airplane Flight Manual.
(g) The procedures established under paragraphs (e) and (f) of this section must—
(1) Be able to be consistently executed in service by a crew of average skill;
(2) Use methods or devices that are safe and reliable; and
(3) Include allowance for any time delays, in the execution of the procedures, that may reasonably be expected in service.
5. Takeoff. (a) General. Takeoff speeds, the accelerate-stop distance, the takeoff distance, and the one-engine-inoperative takeoff flight path data (described in paragraphs (b), (c), (d), and (f) of this section), must be determined for—
(1) Each weight, altitude, and ambient temperature within the operational limits selected by the applicant;
(2) The selected configuration for takeoff;
(3) The center of gravity in the most unfavorable position;
(4) The operating engine within approved operating limitations; and
(5) Takeoff data based on smooth, dry, hard-surface runway.
(b) Takeoff speeds. (1) The decision speed V
(i) 1.10V
(ii) 1.10V
(iii) A speed that allows acceleration to V
(iv) A speed at which the airplane can be rotated for takeoff and shown to be adequate to safely continue the takeoff, using normal piloting skill, when the critical engine is suddenly made inoperative.
(2) The initial climb out speed V
(3) Other essential take off speeds necessary for safe operation of the airplane.
(c) Accelerate-stop distance. (1) The accelerate-stop distance is the sum of the distances necessary to—
(i) Accelerate the airplane from a standing start to V
(ii) Come to a full stop from the point at which V
(2) Means other than wheel brakes may be used to determine the accelerate-stop distance if that means is available with the critical engine inoperative and—
(i) Is safe and reliable;
(ii) Is used so that consistent results can be expected under normal operating conditions; and
(iii) Is such that exceptional skill is not required to control the airplane.
(d) All engines operating takeoff distance. The all engine operating takeoff distance is the horizontal distance required to takeoff and climb to a height of 50 feet above the takeoff surface under the procedures in FAR 23.51(a).
(e) One-engine-inoperative takeoff. Determine the weight for each altitude and temperature within the operational limits established for the airplane, at which the airplane has the capability, after failure of the critical engine at V
(f) One-engine-inoperative takeoff flight path data. The one-engine-inoperative takeoff flight path data consist of takeoff flight paths extending from a standing start to a point in the takeoff at which the airplane reaches a height 1,000 feet above the takeoff surface under paragraph (e) of this section.
6. Climb. (a) Landing climb: All-engines-operating. The maximum weight must be determined with the airplane in the landing configuration, for each altitude, and ambient temperature within the operational limits established for the airplane, with the most unfavorable center of gravity, and out-of-ground effect in free air, at which the steady gradient of climb will not be less than 3.3 percent, with:
(1) The engines at the power that is available 8 seconds after initiation of movement of the power or thrust controls from the minimum flight idle to the takeoff position.
(2) A climb speed not greater than the approach speed established under section 7 and not less than the greater of 1.05V
(b) Takeoff climb: one-engine-inoperative. The maximum weight at which the airplane meets the minimum climb performance specified in paragraphs (1) and (2) of this paragraph must be determined for each altitude and ambient temperature within the operational limits established for the airplane, out of ground effect in free air, with the airplane in the takeoff configuration, with the most unfavorable center of gravity, the critical engine inoperative, the remaining engines at the maximum takeoff power or thrust, and the propeller of the inoperative engine windmilling with the propeller controls in the normal position except that, if an approved automatic feathering system is installed, the propellers may be in the feathered position:
(1) Takeoff: landing gear extended. The minimum steady gradient of climb must be measurably positive at the speed V
(2) Takeoff: landing gear retracted. The minimum steady gradient of climb may not be less than 2 percent at speed V
(c) En route climb: one-engine-inoperative. The maximum weight must be determined for each altitude and ambient temperature within the operational limits established for the airplane, at which the steady gradient of climb is not less 1.2 percent at an altitude 1,000 feet above the takeoff surface, with the airplane in the en route configuration, the critical engine inoperative, the remaining engine at the maximum continuous power or thrust, and the most unfavorable center of gravity.
7. Landing. (a) The landing field length described in paragraph (b) of this section must be determined for standard atmosphere at each weight and altitude within the operational limits established by the applicant.
(b) The landing field length is equal to the landing distance determined under FAR 23.75(a) divided by a factor of 0.6 for the destination airport and 0.7 for the alternate airport. Instead of the gliding approach specified in FAR 23.75(a)(1), the landing may be preceded by a steady approach down to the 50-foot height at a gradient of descent not greater than 5.2 percent (3°) at a calibrated airspeed not less than 1.3V
8. Trim. (a) Lateral and directional trim. The airplane must maintain lateral and directional trim in level flight at a speed of V
(b) Longitudinal trim. The airplane must maintain longitudinal trim during the following conditions, except that it need not maintain trim at a speed greater than V
(1) In the approach conditions specified in FAR 23.161(c) (3) through (5), except that instead of the speeds specified in those paragraphs, trim must be maintained with a stick force of not more than 10 pounds down to a speed used in showing compliance with section 7 or 1.4V
(2) In level flight at any speed from V
9. Static longitudinal stability. (a) In showing compliance with FAR 23.175(b) and with paragraph (b) of this section, the airspeed must return to within ±7
(b) Cruise stability. The stick force curve must have a stable slope for a speed range of ±50 knots from the trim speed except that the speeds need not exceed V
(1) Landing gear retracted;
(2) Wing flaps retracted;
(3) The maximum cruising power as selected by the applicant as an operating limitation for turbine engines or 75 percent of maximum continuous power for reciprocating engines except that the power need not exceed that required at V
(4) Maximum takeoff weight; and
(5) The airplane trimmed for level flight with the power specified in paragraph (3) of this paragraph.
V
(c) Climb stability (turbopropeller powered airplanes only). In showing compliance with FAR 23.175(a), an applicant must, instead of the power specified in FAR 23.175(a)(4), use the maximum power or thrust selected by the applicant as an operating limitation for use during climb at the best rate of climb speed, except that the speed need not be less than 1.4V
10. Stall warning. If artificial stall warning is required to comply with FAR 23.207, the warning device must give clearly distinguishable indications under expected conditions of flight. The use of a visual warning device that requires the attention of the crew within the cockpit is not acceptable by itself.
11. Electric trim tabs. The airplane must meet FAR 23.677 and in addition it must be shown that the airplane is safely controllable and that a pilot can perform all the maneuvers and operations necessary to effect a safe landing following any probable electric trim tab runaway which might be reasonably expected in service allowing for appropriate time delay after pilot recognition of the runaway. This demonstration must be conducted at the critical airplane weights and center of gravity positions.
12. Arrangement and visibility. Each instrument must meet FAR 23.1321 and in addition:
(a) Each flight, navigation, and powerplant instrument for use by any pilot must be plainly visible to the pilot from the pilot's station with the minimum practicable deviation from the pilot's normal position and line of vision when the pilot is looking forward along the flight path.
(b) The flight instruments required by FAR 23.1303 and by the applicable operating rules must be grouped on the instrument panel and centered as nearly as practicable about the vertical plane of each pilot's forward vision. In addition—
(1) The instrument that most effectively indicates the attitude must be in the panel in the top center position;
(2) The instrument that most effectively indicates the airspeed must be on the panel directly to the left of the instrument in the top center position;
(3) The instrument that most effectively indicates altitude must be adjacent to and directly to the right of the instrument in the top center position; and
(4) The instrument that most effectively indicates direction of flight must be adjacent to and directly below the instrument in the top center position.
13. Airspeed indicating system. Each airspeed indicating system must meet FAR 23.1323 and in addition:
(a) Airspeed indicating instruments must be of an approved type and must be calibrated to indicate true airspeed at sea level in the standard atmosphere with a minimum practicable instrument calibration error when the corresponding pitot and static pressures are supplied to the instruments.
(b) The airspeed indicating system must be calibrated to determine the system error, i.e., the relation between IAS and CAS, in flight and during the accelerate-takeoff ground run. The ground run calibration must be obtained between 0.8 of the minimum value of V
(c) The airspeed error of the installation excluding the instrument calibration error, must not exceed 3 percent or 5 knots whichever is greater, throughout the speed range from V
(d) Information showing the relationship between IAS and CAS must be shown in the Airplane Flight manual.
14. Static air vent system. The static air vent system must meet FAR 23.1325. The altimeter system calibration must be determined and shown in the Airplane Flight Manual.
15. Maximum operating limit speed V
(a) The maximum operating limit speed must not exceed the design cruising speed V
(b) The speed V
16. Minimum flight crew. In addition to meeting FAR 23.1523, the applicant must establish the minimum number and type of qualified flight crew personnel sufficient for safe operation of the airplane considering—
(a) Each kind of operation for which the applicant desires approval;
(b) The workload on each crewmember considering the following:
(1) Flight path control.
(2) Collision avoidance.
(3) Navigation.
(4) Communications.
(5) Operation and monitoring of all essential aircraft systems.
(6) Command decisions; and
(c) The accessibility and ease of operation of necessary controls by the appropriate crewmember during all normal and emergency operations when at the crewmember flight station.
17. Airspeed indicator. The airspeed indicator must meet FAR 23.1545 except that, the airspeed notations and markings in terms of V
18. General. The Airplane Flight Manual must be prepared under FARs 23.1583 and 23.1587, and in addition the operating limitations and performance information in sections 19 and 20 must be included.
19. Operating limitations. The Airplane Flight Manual must include the following limitations—
(a) Airspeed limitations. (1) The maximum operating limit speed V
(2) If an airspeed limitation is based upon compressibility effects, a statement to this effect and information as to any symptoms, the probable behavior of the airplane, and the recommended recovery procedures; and
(3) The airspeed limits, shown in terms of V
(b) Takeoff weight limitations. The maximum takeoff weight for each airport elevation ambient temperature and available takeoff runway length within the range selected by the applicant may not exceed the weight at which—
(1) The all-engine-operating takeoff distance determined under section 5(b) or the accelerate-stop distance determined under section 5(c), whichever is greater, is equal to the available runway length;
(2) The airplane complies with the one-engine-inoperative takeoff requirements specified in section 5(e); and
(3) The airplane complies with the one-engine-inoperative takeoff and en route climb requirements specified in sections 6 (b) and (c).
(c) Landing weight limitations. The maximum landing weight for each airport elevation (standard temperature) and available landing runway length, within the range selected by the applicant. This weight may not exceed the weight at which the landing field length determined under section 7(b) is equal to the available runway length. In showing compliance with this operating limitation, it is acceptable to assume that the landing weight at the destination will be equal to the takeoff weight reduced by the normal consumption of fuel and oil en route.
20. Performance information. The Airplane Flight Manual must contain the performance information determined under the performance requirements of this appendix. The information must include the following:
(a) Sufficient information so that the takeoff weight limits specified in section 19(b) can be determined for all temperatures and altitudes within the operation limitations selected by the applicant.
(b) The conditions under which the performance information was obtained, including the airspeed at the 50-foot height used to determine landing distances.
(c) The performance information (determined by extrapolation and computed for the range of weights between the maximum landing and takeoff weights) for—
(1) Climb in the landing configuration; and
(2) Landing distance.
(d) Procedure established under section 4 related to the limitations and information required by this section in the form of guidance material including any relevant limitations or information.
(e) An explanation of significant or unusual flight or ground handling characteristics of the airplane.
(f) Airspeeds, as indicated airspeeds, corresponding to those determined for takeoff under section 5(b).
21. Maximum operating altitudes. The maximum operating altitude to which operation is allowed, as limited by flight, structural, powerplant, functional, or equipment characteristics, must be specified in the Airplane Flight Manual.
22. Stowage provision for airplane flight manual. Provision must be made for stowing the Airplane Flight Manual in a suitable fixed container which is readily accessible to the pilot.
23. Operating procedures. Procedures for restarting turbine engines in flight (including the effects of altitude) must be set forth in the Airplane Flight Manual.
24. Engine torque. (a) Each turbopropeller engine mount and its supporting structure must be designed for the torque effects of:
(1) The conditions in FAR 23.361(a).
(2) The limit engine torque corresponding to takeoff power and propeller speed multiplied by a factor accounting for propeller control system malfunction, including quick feathering action, simultaneously with 1g level flight loads. In the absence of a ration- al analysis, a factor of 1.6 must be used.
(b) The limit torque is obtained by multiplying the mean torque by a factor of 1.25.
25. Turbine engine gyroscopic loads. Each turbopropeller engine mount and its supporting structure must be designed for the gyroscopic loads that result, with the engines at maximum continuous r.p.m., under either—
(a) The conditions in FARs 23.351 and 23.423; or
(b) All possible combinations of the following:
(1) A yaw velocity of 2.5 radians per second.
(2) A pitch velocity of 1.0 radians per second.
(3) A normal load factor of 2.5.
(4) Maximum continuous thrust.
26. Unsymmetrical loads due to engine failure. (a) Turbopropeller powered airplanes must be designed for the unsymmet- rical loads resulting from the failure of the critical engine including the following conditions in combination with a single malfunction of the propeller drag limiting system, considering the probable pilot corrective action on the flight controls:
(1) At speeds between V
(2) At speeds between V
(3) The time history of the thrust decay and drag buildup occurring as a result of the prescribed engine failures must be substantiated by test or other data applicable to the particular engine-propeller combination.
(4) The timing and magnitude of the probable pilot corrective action must be conserv- atively estimated, considering the characteristics of the particular engine-propeller-airplane combination.
(b) Pilot corrective action may be assumed to be initiated at the time maximum yawing velocity is reached, but not earlier than 2 seconds after the engine failure. The magnitude of the corrective action may be based on the control forces in FAR 23.397 except that lower forces may be assumed where it is shown by analysis or test that these forces can control the yaw and roll resulting from the prescribed engine failure conditions.
27. Dual wheel landing gear units. Each dual wheel landing gear unit and its supporting structure must be shown to comply with the following:
(a) Pivoting. The airplane must be assumed to pivot about one side of the main gear with the brakes on that side locked. The limit vertical load factor must be 1.0 and the coefficient of friction 0.8. This condition need apply only to the main gear and its supporting structure.
(b) Unequal tire inflation. A 60-40 percent distribution of the loads established under FAR 23.471 through FAR 23.483 must be applied to the dual wheels.
(c) Flat tire. (1) Sixty percent of the loads in FAR 23.471 through FAR 23.483 must be applied to either wheel in a unit.
(2) Sixty percent of the limit drag and side loads and 100 percent of the limit vertical load established under FARs 23.493 and 23.485 must be applied to either wheel in a unit except that the vertical load need not exceed the maximum vertical load in paragraph (c)(1) of this section.
28. Fatigue evaluation of wing and associated structure. Unless it is shown that the structure, operating stress levels, materials and expected use are comparable from a fatigue standpoint to a similar design which has had substantial satisfactory service experience, the strength, detail design, and the fabrication of those parts of the wing, wing carrythrough, and attaching structure whose failure would be catastrophic must be evaluated under either—
(a) A fatigue strength investigation in which the structure is shown by analysis, tests, or both to be able to withstand the repeated loads of variable magnitude expected in service; or
(b) A fail-safe strength investigation in which it is shown by analysis, tests, or both that catastrophic failure of the structure is not probable after fatigue, or obvious partial failure, of a principal structural element, and that the remaining structure is able to withstand a static ultimate load factor of 75 percent of the critical limit load factor at V
29. Flutter. For multiengine turbopropeller powered airplanes, a dynamic evaluation must be made and must include—
(a) The significant elastic, inertia, and aerodynamic forces associated with the rotations and displacements of the plane of the propeller; and
(b) Engine-propeller-nacelle stiffness and damping variations appropriate to the particular configuration.
30. Flap operated landing gear warning device. Airplanes having retractable landing gear and wing flaps must be equipped with a warning device that functions continuously when the wing flaps are extended to a flap position that activates the warning device to give adequate warning before landing, using normal landing procedures, if the landing gear is not fully extended and locked. There may not be a manual shut off for this warning device. The flap position sensing unit may be installed at any suitable location. The system for this device may use any part of the system (including the aural warning device) provided for other landing gear warning devices.
31. Cargo and baggage compartments. Cargo and baggage compartments must be designed to meet FAR 23.787 (a) and (b), and in addition means must be provided to protect passengers from injury by the contents of any cargo or baggage compartment when the ultimate forward inertia force is 9g.
32. Doors and exits. The airplane must meet FAR 23.783 and FAR 23.807 (a)(3), (b), and (c), and in addition:
(a) There must be a means to lock and safeguard each external door and exit against opening in flight either inadvertently by persons, or as a result of mechanical failure. Each external door must be operable from both the inside and the outside.
(b) There must be means for direct visual inspection of the locking mechanism by crewmembers to determine whether external doors and exits, for which the initial opening movement is outward, are fully locked. In addition, there must be a visual means to signal to crewmembers when normally used external doors are closed and fully locked.
(c) The passenger entrance door must qualify as a floor level emergency exit. Each additional required emergency exit except floor level exits must be located over the wing or must be provided with acceptable means to assist the occupants in descending to the ground. In addition to the passenger entrance door:
(1) For a total seating capacity of 15 or less, an emergency exit as defined in FAR 23.807(b) is required on each side of the cabin.
(2) For a total seating capacity of 16 through 23, three emergency exits as defined in FAR 23.807(b) are required with one on the same side as the door and two on the side opposite the door.
(d) An evacuation demonstration must be conducted utilizing the maximum number of occupants for which certification is desired. It must be conducted under simulated night conditions utilizing only the emergency exits on the most critical side of the aircraft. The participants must be representative of average airline passengers with no previous practice or rehearsal for the demonstration. Evacuation must be completed within 90 seconds.
(e) Each emergency exit must be marked with the word “Exit” by a sign which has white letters 1 inch high on a red background 2 inches high, be self-illuminated or independently internally electrically illuminated, and have a minimum luminescence (brightness) of at least 160 microlamberts. The colors may be reversed if the passenger compartment illumination is essentially the same.
(f) Access to window type emergency exits must not be obstructed by seats or seat backs.
(g) The width of the main passenger aisle at any point between seats must equal or exceed the values in the following table:
| Total seating capacity | Minimum main passenger aisle width | |
|---|---|---|
| Less than 25 inches from floor | 25 inches and more from floor | |
| 10 through 23 | 9 inches | 15 inches. |
33. Lightning strike protection. Parts that are electrically insulated from the basic airframe must be connected to it through lightning arrestors unless a lightning strike on the insulated part—
(a) Is improbable because of shielding by other parts; or
(b) Is not hazardous.
34. Ice protection. If certification with ice protection provisions is desired, compliance with the following must be shown:
(a) The recommended procedures for the use of the ice protection equipment must be set forth in the Airplane Flight Manual.
(b) An analysis must be performed to establish, on the basis of the airplane's operational needs, the adequacy of the ice protection system for the various components of the airplane. In addition, tests of the ice protection system must be conducted to demonstrate that the airplane is capable of operating safely in continuous maximum and intermittent maximum icing conditions as described in appendix C of part 25 of this chapter.
(c) Compliance with all or portions of this section may be accomplished by reference, where applicable because of similarity of the designs, to analysis and tests performed by the applicant for a type certificated model.
35. Maintenance information. The applicant must make available to the owner at the time of delivery of the airplane the information the applicant considers essential for the proper maintenance of the airplane. That information must include the following:
(a) Description of systems, including electrical, hydraulic, and fuel controls.
(b) Lubrication instructions setting forth the frequency and the lubricants and fluids which are to be used in the various systems.
(c) Pressures and electrical loads applicable to the various systems.
(d) Tolerances and adjustments necessary for proper functioning.
(e) Methods of leveling, raising, and towing.
(f) Methods of balancing control surfaces.
(g) Identification of primary and secondary structures.
(h) Frequency and extent of inspections necessary to the proper operation of the airplane.
(i) Special repair methods applicable to the airplane.
(j) Special inspection techniques, such as X-ray, ultrasonic, and magnetic particle inspection.
(k) List of special tools.
36. Vibration characteristics. For turbopropeller powered airplanes, the engine installation must not result in vibration characteristics of the engine exceeding those established during the type certification of the engine.
37. In flight restarting of engine. If the engine on turbopropeller powered airplanes cannot be restarted at the maximum cruise altitude, a determination must be made of the altitude below which restarts can be consistently accomplished. Restart information must be provided in the Airplane Flight Manual.
38. Engines. (a) For turbopropeller powered airplanes. The engine installation must comply with the following:
(1) Engine isolation. The powerplants must be arranged and isolated from each other to allow operation, in at least one configuration, so that the failure or malfunction of any engine, or of any system that can affect the engine, will not—
(i) Prevent the continued safe operation of the remaining engines; or
(ii) Require immediate action by any crewmember for continued safe operation.
(2) Control of engine rotation. There must be a means to individually stop and restart the rotation of any engine in flight except that engine rotation need not be stopped if continued rotation could not jeopardize the safety of the airplane. Each component of the stopping and restarting system on the engine side of the firewall, and that might be exposed to fire, must be at least fire resistant. If hydraulic propeller feathering systems are used for this purpose, the feathering lines must be at least fire resistant under the operating conditions that may be expected to exist during feathering.
(3) Engine speed and gas temperature control devices. The powerplant systems associated with engine control devices, systems, and instrumentation must provide reasonable assurance that those engine operating limitations that adversely affect turbine rotor structural integrity will not be exceeded in service.
(b) For reciprocating engine powered airplanes. To provide engine isolation, the powerplants must be arranged and isolated from each other to allow operation, in at least one configuration, so that the failure or malfunction of any engine, or of any system that can affect that engine, will not—
(1) Prevent the continued safe operation of the remaining engines; or
(2) Require immediate action by any crewmember for continued safe operation.
39. Turbopropeller reversing systems. (a) Turbopropeller reversing systems intended for ground operation must be designed so that no single failure or malfunction of the system will result in unwanted reverse thrust under any expected operating condition. Failure of structural elements need not be considered if the probability of this kind of failure is extremely remote.
(b) Turbopropeller reversing systems intended for in flight use must be designed so that no unsafe condition will result during normal operation of the system, or from any failure (or reasonably likely combination of failures) of the reversing system, under any anticipated condition of operation of the airplane. Failure of structural elements need not be considered if the probability of this kind of failure is extremely remote.
(c) Compliance with this section may be shown by failure analysis, testing, or both for propeller systems that allow propeller blades to move from the flight low-pitch position to a position that is substantially less than that at the normal flight low-pitch stop position. The analysis may include or be supported by the analysis made to show compliance with the type certification of the propeller and associated installation components. Credit will be given for pertinent analysis and testing completed by the engine and propeller manufacturers.
40. Turbopropeller drag-limiting systems. Turbopropeller drag-limiting systems must be designed so that no single failure or malfunction of any of the systems during normal or emergency operation results in propeller drag in excess of that for which the airplane was designed. Failure of structural elements of the drag-limiting systems need not be considered if the probability of this kind of failure is extremely remote.
41. Turbine engine powerplant operating characteristics. For turbopropeller powered airplanes, the turbine engine powerplant operating characteristics must be investigated in flight to determine that no adverse characteristics (such as stall, surge, or flameout) are present to a hazardous degree, during normal and emergency operation within the range of operating limitations of the airplane and of the engine.
42. Fuel flow. (a) For turbopropeller powered airplanes—
(1) The fuel system must provide for continuous supply of fuel to the engines for normal operation without interruption due to depletion of fuel in any tank other than the main tank; and
(2) The fuel flow rate for turbopropeller engine fuel pump systems must not be less than 125 percent of the fuel flow required to develop the standard sea level atmospheric conditions takeoff power selected and included as an operating limitation in the Airplane Flight Manual.
(b) For reciprocating engine powered airplanes, it is acceptable for the fuel flow rate for each pump system (main and reserve supply) to be 125 percent of the takeoff fuel consumption of the engine.
43. Fuel pumps. For turbopropeller powered airplanes, a reliable and independent power source must be provided for each pump used with turbine engines which do not have provisions for mechanically driving the main pumps. It must be demonstrated that the pump installations provide a reliability and durability equivalent to that in FAR 23.991(a).
44. Fuel strainer or filter. For turbopropeller powered airplanes, the following apply:
(a) There must be a fuel strainer or filter between the tank outlet and the fuel metering device of the engine. In addition, the fuel strainer or filter must be—
(1) Between the tank outlet and the engine-driven positive displacement pump inlet, if there is an engine-driven positive displacement pump;
(2) Accessible for drainage and cleaning and, for the strainer screen, easily removable; and
(3) Mounted so that its weight is not supported by the connecting lines or by the inlet or outlet connections of the strainer or filter itself.
(b) Unless there are means in the fuel system to prevent the accumulation of ice on the filter, there must be means to automatically maintain the fuel-flow if ice-clogging of the filter occurs; and
(c) The fuel strainer or filter must be of adequate capacity (for operating limitations established to ensure proper service) and of appropriate mesh to insure proper engine operation, with the fuel contaminated to a degree (for particle size and density) that can be reasonably expected in service. The degree of fuel filtering may not be less than that established for the engine type certification.
45. Lightning strike protection. Protection must be provided against the ignition of flammable vapors in the fuel vent system due to lightning strikes.
46. Cooling test procedures for turbopropeller powered airplanes. (a) Turbopropeller powered airplanes must be shown to comply with FAR 23.1041 during takeoff, climb, en route, and landing stages of flight that correspond to the applicable performance requirements. The cooling tests must be conducted with the airplane in the configuration, and operating under the conditions that are critical relative to cooling during each stage of flight. For the cooling tests a temperature is “stabilized” when its rate of change is less than 2 °F. per minute.
(b) Temperatures must be stabilized under the conditions from which entry is made into each stage of flight being investigated unless the entry condition is not one during which component and engine fluid temperatures would stabilize, in which case, operation through the full entry condition must be conducted before entry into the stage of flight being investigated to allow temperatures to reach their natural levels at the time of entry. The takeoff cooling test must be preceded by a period during which the powerplant component and engine fluid temperatures are stabilized with the engines at ground idle.
(c) Cooling tests for each stage of flight must be continued until—
(1) The component and engine fluid temperatures stabilize;
(2) The stage of flight is completed; or
(3) An operating limitation is reached.
47. Air induction. For turbopropeller powered airplanes—
(a) There must be means to prevent hazardous quantities of fuel leakage or overflow from drains, vents, or other components of flammable fluid systems from entering the engine intake systems; and
(b) The air inlet ducts must be located or protected so as to minimize the ingestion of foreign matter during takeoff, landing, and taxiing.
48. Induction system icing protection. For turbopropeller powered airplanes, each turbine engine must be able to operate throughout its flight power range without adverse effect on engine operation or serious loss of power or thrust, under the icing conditions specified in appendix C of part 25 of this chapter. In addition, there must be means to indicate to appropriate flight crewmembers the functioning of the powerplant ice protection system.
49. Turbine engine bleed air systems. Turbine engine bleed air systems of turbopropeller powered airplanes must be investigated to determine—
(a) That no hazard to the airplane will result if a duct rupture occurs. This condition must consider that a failure of the duct can occur anywhere between the engine port and the airplane bleed service; and
(b) That, if the bleed air system is used for direct cabin pressurization, it is not possible for hazardous contamination of the cabin air system to occur in event of lubrication system failure.
50. Exhaust system drains. Turbopropeller engine exhaust systems having low spots or pockets must incorporate drains at those locations. These drains must discharge clear of the airplane in normal and ground attitudes to prevent the accumulation of fuel after the failure of an attempted engine start.
51. Engine controls. If throttles or power levers for turbopropeller powered airplanes are such that any position of these controls will reduce the fuel flow to the engine(s) below that necessary for satisfactory and safe idle operation of the engine while the airplane is in flight, a means must be provided to prevent inadvertent movement of the control into this position. The means provided must incorporate a positive lock or stop at this idle position and must require a separate and distinct operation by the crew to displace the control from the normal engine operating range.
52. Reverse thrust controls. For turbopropeller powered airplanes, the propeller reverse thrust controls must have a means to prevent their inadvertent operation. The means must have a positive lock or stop at the idle position and must require a separate and distinct operation by the crew to displace the control from the flight regime.
53. Engine ignition systems. Each turbopropeller airplane ignition system must be considered an essential electrical load.
54. Powerplant accessories. The powerplant accessories must meet FAR 23.1163, and if the continued rotation of any accessory remotely driven by the engine is hazardous when malfunctioning occurs, there must be means to prevent rotation without interfering with the continued operation of the engine.
55. Fire detector system. For turbopropeller powered airplanes, the following apply:
(a) There must be a means that ensures prompt detection of fire in the engine compartment. An overtemperature switch in each engine cooling air exit is an acceptable method of meeting this requirement.
(b) Each fire detector must be constructed and installed to withstand the vibration, inertia, and other loads to which it may be subjected in operation.
(c) No fire detector may be affected by any oil, water, other fluids, or fumes that might be present.
(d) There must be means to allow the flight crew to check, in flight, the functioning of each fire detector electric circuit.
(e) Wiring and other components of each fire detector system in a fire zone must be at least fire resistant.
56. Fire protection, cowling and nacelle skin. For reciprocating engine powered airplanes, the engine cowling must be designed and constructed so that no fire originating in the engine compartment can enter either through openings or by burn through, any other region where it would create additional hazards.
57. Flammable fluid fire protection. If flammable fluids or vapors might be liberated by the leakage of fluid systems in areas other than engine compartments, there must be means to—
(a) Prevent the ignition of those fluids or vapors by any other equipment; or
(b) Control any fire resulting from that ignition.
58. Powerplant instruments. (a) The following are required for turbopropeller airplanes:
(1) The instruments required by FAR 23.1305 (a) (1) through (4), (b) (2) and (4).
(2) A gas temperature indicator for each engine.
(3) Free air temperature indicator.
(4) A fuel flowmeter indicator for each engine.
(5) Oil pressure warning means for each engine.
(6) A torque indicator or adequate means for indicating power output for each engine.
(7) Fire warning indicator for each engine.
(8) A means to indicate when the propeller blade angle is below the low-pitch position corresponding to idle operation in flight.
(9) A means to indicate the functioning of the ice protection system for each engine.
(b) For turbopropeller powered airplanes, the turbopropeller blade position indicator must begin indicating when the blade has moved below the flight low-pitch position.
(c) The following instruments are required for reciprocating engine powered airplanes:
(1) The instruments required by FAR 23.1305.
(2) A cylinder head temperature indicator for each engine.
(3) A manifold pressure indicator for each engine.
59. Function and installation. The systems and equipment of the airplane must meet FAR 23.1301, and the following:
(a) Each item of additional installed equipment must—
(1) Be of a kind and design appropriate to its intended function;
(2) Be labeled as to its identification, function, or operating limitations, or any applicable combination of these factors, unless misuse or inadvertent actuation cannot create a hazard;
(3) Be installed according to limitations specified for that equipment; and
(4) Function properly when installed.
(b) Systems and installations must be designed to safeguard against hazards to the aircraft in the event of their malfunction or failure.
(c) Where an installation, the functioning of which is necessary in showing compliance with the applicable requirements, requires a power supply, that installation must be considered an essential load on the power supply, and the power sources and the distribution system must be capable of supplying the following power loads in probable operation combinations and for probable durations:
(1) All essential loads after failure of any prime mover, power converter, or energy storage device.
(2) All essential loads after failure of any one engine on two-engine airplanes.
(3) In determining the probable operating combinations and durations of essential loads for the power failure conditions described in paragraphs (1) and (2) of this paragraph, it is permissible to assume that the power loads are reduced in accordance with a monitoring procedure which is consistent with safety in the types of operations authorized.
60. Ventilation. The ventilation system of the airplane must meet FAR 23.831, and in addition, for pressurized aircraft, the ventilating air in flight crew and passenger compartments must be free of harmful or hazardous concentrations of gases and vapors in normal operation and in the event of reasonably probable failures or malfunctioning of the ventilating, heating, pressurization, or other systems, and equipment. If accumulation of hazardous quantities of smoke in the cockpit area is reasonably probable, smoke evacuation must be readily accomplished.
61. General. The electrical systems and equipment of the airplane must meet FAR 23.1351, and the following:
(a) Electrical system capacity. The required generating capacity, and number and kinds of power sources must—
(1) Be determined by an electrical load analysis; and
(2) Meet FAR 23.1301.
(b) Generating system. The generating system includes electrical power sources, main power busses, transmission cables, and associated control, regulation and protective devices. It must be designed so that—
(1) The system voltage and frequency (as applicable) at the terminals of all essential load equipment can be maintained within the limits for which the equipment is designed, during any probable operating conditions;
(2) System transients due to switching, fault clearing, or other causes do not make essential loads inoperative, and do not cause a smoke or fire hazard;
(3) There are means, accessible in flight to appropriate crewmembers, for the individual and collective disconnection of the electrical power sources from the system; and
(4) There are means to indicate to appropriate crewmembers the generating system quantities essential for the safe operation of the system, including the voltage and current supplied by each generator.
62. Electrical equipment and installation. Electrical equipment, controls, and wiring must be installed so that operation of any one unit or system of units will not adversely affect the simultaneous operation of any other electrical unit or system essential to the safe operation.
63. Distribution system. (a) For the purpose of complying with this section, the distribution system includes the distribution busses, their associated feeders, and each control and protective device.
(b) Each system must be designed so that essential load circuits can be supplied in the event of reasonably probable faults or open circuits, including faults in heavy current carrying cables.
(c) If two independent sources of electrical power for particular equipment or systems are required under this appendix, their electrical energy supply must be ensured by means such as duplicate electrical equipment, throwover switching, or multichannel or loop circuits separately routed.
64. Circuit protective devices. The circuit protective devices for the electrical circuits of the airplane must meet FAR 23.1357, and in addition circuits for loads which are essential to safe operation must have individual and exclusive circuit protection.
| Parameters | Range | Installed system 1 minimum accuracy (to recovered data) | Sampling interval (per second) | Resolution 4 read out |
|---|---|---|---|---|
| Relative time (from recorded on prior to takeoff) | 25 hr minimum | ±0.125% per hour | 1 | 1 sec. |
| Indicated airspeed | V | ±5% or ±10 kts., whichever is greater. Resolution 2 kts. below 175 KIAS | 1 | 1% 3. |
| Altitude | −1,000 ft. to max cert. alt. of A/C | ±100 to ±700 ft. (see Table 1, TSO C51-a) | 1 | 25 to 150 |
| Magnetic heading | 360° | ±5° | 1 | 1° |
| Vertical acceleration | −3g to + 6g | ±0.2g in addition to ±0.3g maximum datum | 4 (or 1 per second where peaks, ref. to 1g are recorded) | 0.03g. |
| Longitudinal acceleration | ±1.0g | ±1.5% max. range excluding datum error of ±5% | 2 | 0.01g. |
| Pitch attitude | 100% of usable | ±2° | 1 | 0.8° |
| Roll attitude | ±60° or 100% of usable range, whichever is greater | ±2° | 1 | 0.8° |
| Stabilizer trim position | Full range | ±3% unless higher uniquely required | 1 | 1% 3. |
| Or | ||||
| Pitch control position | Full range | ±3% unless higher uniquely required | 1 | 1% 3. |
| Fan or N | Maximum range | ±5% | 1 | 1% 3. |
| Or | ||||
| Prop. speed and torque (sample once/sec as close together as practicable) | 1 (prop speed), 1 (torque) | |||
| Altitude rate 2 (need depends on altitude resolution) | ±8,000 fpm | ±10%. Resolution 250 fpm below 12,000 ft. indicated | 1 | 250 fpm Below 12,000 |
| Angle of attack 2 (need depends on altitude resolution) | −20° to 40° or of usable range | ±2° | 1 | 0.8% 3 |
| Radio transmitter keying (discrete) | On/off | 1 | ||
| TE flaps (discrete or analog) | Each discrete position (U, D, T/O, AAP) | 1 | ||
| Or | ||||
| Analog 0-100% range | ±3° | 1 | 1% 3 | |
| LE flaps (discrete or analog) | Each discrete position (U, D, T/O, AAP) | 1 | ||
| Or | ||||
| Analog 0-100% range | ±3° | 1 | 1% 3. | |
| Thrust reverser, each engine (Discrete) | Stowed or full reverse | 1 | ||
| Spoiler/speedbrake (discrete) | Stowed or out | 1 | ||
| Autopilot engaged (discrete) | Engaged or disengaged | 1 |
1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.
2 If data from the altitude encoding altimeter (100 ft. resolution) is used, then either one of these parameters should also be recorded. If however, altitude is recorded at a minimum resolution of 25 feet, then these two parameters can be omitted.
3 Per cent of full range.
4 This column applies to aircraft manufacturing after October 11, 1991.
| Parameters | Range | Installed system 1 minimum accuracy (to recovered data) | Sampling interval (per second) | Resolution 3 read out |
|---|---|---|---|---|
| Relative time (from recorded on prior to takeoff) | 25 hr minimum | ±0.125% per hour | 1 | 1 sec. |
| Indicated airspeed | V | ±5% or ±10 kts., whichever is greater | 1 | 1 kt. |
| Altitude | −1,000 ft. to 20,000 ft. pressure altitude | ±100 to ±700 ft. (see Table 1, TSO C51-a) | 1 | 25 to 150 ft. |
| Magnetic heading | 360° | ±5° | 1 | 1°. |
| Vertical acceleration | −3g to + 6g | ±0.2g in addition to ±0.3g maximum datum | 4 (or 1 per second where peaks, ref. to 1g are recorded) | 0.05g. |
| Longitudinal acceleration | ±1.0g | ±1.5% max. range excluding datum error of ±5% | 2 | 0.03g. |
| Pitch attitude | 100% of usable range | ±2° | 1 | 0.8°. |
| Roll attitude | ±60° or 100% of usable range, whichever is greater | ±2° | 1 | 0.8°. |
| Altitude rate | ±8,000 fpm | ±10% Resolution 250 fpm below 12,000 ft. indicated | 1 | 250 fpm below 12,000. |
| Main rotor speed | Maximum range | ±5% | 1 | 1% 2 |
| Free or power turbine | Maximum range | + 5% | 1 | 1% 2 |
| Engine torque | Maximum range | ±5% | 1 | 1% 2 |
| Primary (discrete) | High/low | 1 | ||
| Secondary—if applicable (discrete) | High/low | 1 | ||
| Radio transmitter keying (discrete) | On/off | 1 | ||
| Autopilot engaged (discrete) | Engaged or disengaged | 1 | ||
| SAS status—engaged (discrete) | Engaged/disengaged | 1 | ||
| SAS fault status (discrete) | Fault/OK | 1 | ||
| Collective 4 | Full range | ±3% | 2 | 1% 2 |
| Pedal Position 4 | Full range | ±3% | 2 | 1% 2 |
| Lat. Cyclic 4 | Full range | ±3% | 2 | 1% 2 |
| Long. Cyclic 4 | Full range | ±3% | 2 | 1% 2 |
| Controllable Stabilator Position 4 | Full range | ±3% | 2 | 1% 2 |
1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.
2 Per cent of full range.
3 This column applies to aircraft manufactured after October 11, 1991.
4 For all aircraft manufactured on or after December 6, 2010, the sampling interval per second is 4.
| Parameters | Range | Accuracy sensor input to DFDR readout | Sampling interval (per second) | resolution 4 read out |
|---|---|---|---|---|
| Time (GMT or Frame Counter) (range 0 to 4095, sampled 1 per frame) | 24 Hrs | ±0.125% Per Hour | 0.25 (1 per 4 seconds) | 1 sec. |
| Altitude | −1,000 ft to max certificated altitude of aircraft | ±100 to ±700 ft (See Table 1, TSO-C51a) | 1 | 5′ to 35′ 1. |
| Airspeed | 50 KIAS to V | ±5%, ±3% | 1 | 1kt |
| Heading | 360° | ±2° | 1 | 0.5° |
| Normal Acceleration (Vertical) | −3g to + 6g | ±1% of max range excluding datum error of ±5% | 8 | 0.01g |
| Pitch Attitude | ±75° | ±2° | 1 | 0.5° |
| Roll Attitude | ±180° | ±2° | 1 | 0.5°. |
| Radio Transmitter Keying | On-Off (Discrete) | 1 | ||
| Thrust/Power on Each Engine | Full range forward | ±2% | 1 (per engine) | 0.2% 2. |
| Trailing Edge Flap or Cockpit Control Selection | Full range or each discrete position | ±3° or as pilot's indicator | 0.5 | 0.5% 2. |
| Leading Edge Flap on or Cockpit Control Selection | Full range or each discrete position | ±3° or as pilot's indicator | 0.5 | 0.5% 2. |
| Thrust Reverser Position | Stowed, in transit, and reverse (discretion) | 1 (per 4 seconds per engine) | ||
| Ground Spoiler Position/Speed Brake Selection | Full range or each discrete position | ±2% unless higher accuracy uniquely required | 1 | 0.22 2. |
| Marker Beacon Passage | Discrete | 1 | ||
| Autopilot Engagement | Discrete | 1 | ||
| Longitudinal Acceleration | ±1g | ±1.5% max range excluding datum error of ±5% | 4 | 0.01g. |
| Pilot Input And/or Surface Position-Primary Controls (Pitch, Roll, Yaw) 3 | Full range | ±2° unless higher accuracy uniquely required | 1 | 0.2% 2. |
| Lateral Acceleration | ±1g | ±1.5% max range excluding datum error of ±5% | 4 | 0.01g. |
| Pitch Trim Position | Full range | ±3% unless higher accuracy uniquely required | 1 | 0.3% 2. |
| Glideslope Deviation | ±400 Microamps | ±3% | 1 | 0.3% 2. |
| Localizer Deviation | ±400 Microamps | ±3% | 1 | 0.3% 2. |
| AFCS Mode And Engagement Status | Discrete | 1 | ||
| Radio Altitude | −20 ft to 2,500 ft | ±2 Ft or ±3% whichever is greater below 500 ft and ±5% above 500 ft | 1 | 1 ft + 5% 2 above 500′. |
| Master Warning | Discrete | 1 | ||
| Main Gear Squat Switch Status | Discrete | 1 | ||
| Angle of Attack (if recorded directly) | As installed | As installed | 2 | 0.3% 2. |
| Outside Air Temperature or Total Air Temperature | −50 °C to + 90 °C | ±2° c | 0.5 | 0.3° c |
| Hydraulics, Each System Low Pressure | Discrete | 0.5 | or 0.5% 2. | |
| Groundspeed | As installed | Most accurate systems installed (IMS equipped aircraft only) | 1 | 0.2% 2. |
| If additional recording capacity is available, recording of the following parameters is recommended. The parameters are listed in order of significance: | ||||
| Drift Angle | When available. As installed | As installed | 4 | |
| Wind Speed and Direction | When available. As installed | As installed | 4 | |
| Latitude and Longitude | When available. As installed | As installed | 4 | |
| Brake pressure/Brake pedal position | As installed | As installed | 1 | |
| Additional engine parameters: | ||||
| EPR | As installed | As installed | 1 (per engine) | |
| N 1 | As installed | As installed | 1 (per engine) | |
| N 2 | As installed | As installed | 1 (per engine) | |
| EGT | As installed | As installed | 1 (per engine) | |
| Throttle Lever Position | As installed | As installed | 1 (per engine) | |
| Fuel Flow | As installed | As installed | 1 (per engine) | |
| TCAS: | ||||
| TA | As installed | As installed | 1 | |
| RA | As installed | As installed | 1 | |
| Sensitivity level (as selected by crew) | As installed | As installed | 2 | |
| GPWS (ground proximity warning system) | Discrete | 1 | ||
| Landing gear or gear selector position | Discrete | 0.25 (1 per 4 seconds) | ||
| DME 1 and 2 Distance | 0-200 NM; | As installed | 0.25 | 1mi. |
| Nav 1 and 2 Frequency Selection | Full range | As installed | 0.25 | |
1 When altitude rate is recorded. Altitude rate must have sufficient resolution and sampling to permit the derivation of altitude to 5 feet.
2 Per cent of full range.
3 For airplanes that can demonstrate the capability of deriving either the control input on control movement (one from the other) for all modes of operation and flight regimes, the “or” applies. For airplanes with non-mechanical control systems (fly-by-wire) the “and” applies. In airplanes with split surfaces, suitable combination of inputs is acceptable in lieu of recording each surface separately.
4 This column applies to aircraft manufactured after October 11, 1991.
| Parameters | Range | Accuracy sensor input to DFDR readout | Sampling interval (per second) | Resolution 2 read out |
|---|---|---|---|---|
| Time (GMT) | 24 Hrs | ±0.125% Per Hour | 0.25 (1 per 4 seconds) | 1 sec |
| Altitude | −1,000 ft to max certificated altitude of aircraft | ±100 to ±700 ft (See Table 1, TSO-C51a) | 1 | 5′ to 30′. |
| Airspeed | As the installed measuring system | ±3% | 1 | 1 kt |
| Heading | 360° | ±2° | 1 | 0.5°. |
| Normal Acceleration (Vertical) | −3g to + 6g | ±1% of max range excluding datum error of ±5% | 8 | 0.01g |
| Pitch Attitude | ±75° | ±2° | 2 | 0.5° |
| Roll Attitude | ±180° | ±2° | 2 | 0.5°. |
| Radio Transmitter Keying | On-Off (Discrete) | 1 | 0.25 sec | |
| Power in Each Engine: Free Power Turbine Speed | 0-130% (power Turbine Speed) Full range (Torque) | ±2% | 1 speed 1 torque (per engine) | 0.2% 1 to 0.4% 1 |
| Main Rotor Speed | 0-130% | ±2% | 2 | 0.3% 1 |
| Altitude Rate | ±6,000 ft/min | As installed | 2 | 0.2% 1 |
| Pilot Input—Primary Controls (Collective, Longitudinal Cyclic, Lateral Cyclic, Pedal) 3 | Full range | ±3% | 2 | 0.5% 1 |
| Flight Control Hydraulic Pressure Low | Discrete, each circuit | 1 | ||
| Flight Control Hydraulic Pressure Selector Switch Position, 1st and 2nd stage | Discrete | 1 | ||
| AFCS Mode and Engagement Status | Discrete (5 bits necessary) | 1 | ||
| Stability Augmentation System Engage | Discrete | 1 | ||
| SAS Fault Status | Discrete | 0.25 | ||
| Main Gearbox Temperature Low | As installed | As installed | 0.25 | 0.5% 1 |
| Main Gearbox Temperature High | As installed | As installed | 0.5 | 0.5% 1 |
| Controllable Stabilator Position | Full Range | ±3% | 2 | 0.4% 1. |
| Longitudinal Acceleration | ±1g | ±1.5% max range excluding datum error of ±5% | 4 | 0.01g. |
| Lateral Acceleration | ±1g | ±1.5% max range excluding datum of ±5% | 4 | 0.01g. |
| Master Warning | Discrete | 1 | ||
| Nav 1 and 2 Frequency Selection | Full range | As installed | 0.25 | |
| Outside Air Temperature | −50 °C to + 90 °C | ±2° c | 0.5 | 0.3° c |
1 Per cent of full range.
2 This column applies to aircraft manufactured after October 11, 1991.
3 For all aircraft manufactured on or after December 6, 2010, the sampling interval per second is 4.
The recorded values must meet the designated range, resolution and accuracy requirements during static and dynamic conditions. Dynamic condition means the parameter is experiencing change at the maximum rate attainable, including the maximum rate of reversal. All data recorded must be correlated in time to within one second.
| Parameters | Range | Accuracy (sensor input) | Seconds per sampling interval | Resolution | Remarks |
|---|---|---|---|---|---|
| 1. Time or Relative Time Counts 1 | 24 Hrs, 0 to 4095 | ±0.125% Per Hour | 4 | 1 sec | UTC time preferred when available. Counter increments each 4 seconds of system operation. |
| 2. Pressure Altitude | −1000 ft to max certificated altitude of aircraft. + 5000 ft | ±100 to ±700 ft (see table, TSO C124a or TSO C51a) | 1 | 5′ to 35″ | Data should be obtained from the air data computer when practicable. |
| 3. Indicated airspeed or Calibrated airspeed | 50 KIAS or minimum value to Max V | ±5% and ±3% | 1 | 1 kt | Data should be obtained from the air data computer when practicable. |
| 4. Heading (Primary flight crew reference) | 0−360° and Discrete “true” or “mag” | ±2° | 1 | 0.5° | When true or magnetic heading can be selected as the primary heading reference, a discrete indicating selection must be recorded. |
| 5. Normal Acceleration (Vertical) 9 | −3g to + 6g | ±1% of max range excluding datum error of ±5% | 0.125 | 0.004g | |
| 6. Pitch Attitude | ±75% | ±2° | 1 or 0.25 for airplanes operated under § 135.152(j) | 0.5° | A sampling rate of 0.25 is recommended. |
| 7. Roll Attitude 2 | ±180° | ±2° | 1 or 0.5 0.5 airplanes operated under § 135.152(j) | 0.5° | A sampling rate of 0.5 is recommended. |
| 8. Manual Radio Transmitter Keying or CVR/DFDR synchronization reference | On-Off (Discrete)
None | 1 | Preferably each crew member but one discrete acceptable for all transmission provided the CVR/FDR system complies with TSO C124a CVR synchronization requirements (paragraph 4.2.1 ED-55). | ||
| 9. Thrust/Power on each engine—primary flight crew reference | Full Range Forward | ±2% | 1 (per engine) | 0.3% of full range | Sufficient parameters (e.g. EPR, N1 or Torque, NP) as appropriate to the particular engine being recorded to determine power in forward and reverse thrust, including potential overspeed condition. |
| 10. Autopilot Engagement | Discrete “on” or “off” | 1 | |||
| 11. Longitudinal Acceleration | ±1g | ±1.5% max. range excluding datum error of ±5% | 0.25 | 0.004g. | |
| 12a. Pitch control(s) position (nonfly-by-wire systems) 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 135.152(j) | 0.5% of full range | For airplanes that have a flight control breakaway capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 12b. Pitch control(s) position (fly-by-wire systems) 3 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 135.152(j) | 0.2% of full range | |
| 13a. Lateral control position(s) (nonfly-by-wire) 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 135.152(j) | 0.2% of full range | For airplanes that have a flight control breakaway capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 13b. Lateral control position(s) (fly-by-wire) 4 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 135.152(j) | 0.2% of full range | |
| 14a. Yaw control position(s) (nonfly-by-wire) 5 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 | 0.3% of full range | For airplanes that have a flight control breakaway capability that allows either pilot to operate the controls independently, record both control inputs. The control inputs may be sampled alternately once per second to produce the sampling of 0.5 or 0.25, as applicable. |
| 14b. Yaw control position(s) (fly-by-wire) 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 | 0.2% of full range | |
| 15. Pitch control surface(s) position 6 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 135.152(j). | 0.3% of full range | For airplanes fitted with multiple or split surfaces, a suitable combination of inputs is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 16. Lateral control surface(s) position 7 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 or 0.25 for airplanes operated under § 135.152(j) | 0.2% of full range | A suitable combination of surface position sensors is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately to produce the sampling interval of 0.5 or 0.25, as applicable. |
| 17. Yaw control surface(s) position 8 18 | Full Range | ±2° unless higher accuracy uniquely required | 0.5 | 0.2% of full range | For airplanes with multiple or split surfaces, a suitable combination of surface position sensors is acceptable in lieu of recording each surface separately. The control surfaces may be sampled alternately to produce the sampling interval of 0.5. |
| 18. Lateral Acceleration | ±1g | ±1.5% max. range excluding datum error of ±5% | 0.25 | 0.004g | |
| 19. Pitch Trim Surface Position | Full Range | ±3° Unless Higher Accuracy Uniquely Required | 1 | 0.6% of full range | |
| 20. Trailing Edge Flap or Cockpit Control Selection 10 | Full Range or Each Position (discrete) | ±3° or as Pilot's Indicator | 2 | 0.5% of full range | Flap position and cockpit control may each be sampled alternately at 4 second intervals, to give a data point every 2 seconds. |
| 21. Leading Edge Flap or Cockpit Control Selection 11 | Full Range or Each Discrete Position | ±3° or as Pilot's Indicator and sufficient to determine each discrete position | 2 | 0.5% of full range | Left and right sides, of flap position and cockpit control may each be sampled at 4 second intervals, so as to give a data point to every 2 seconds. |
| 22. Each Thrust reverser Position (or equivalent for propeller airplane) | Stowed, In Transit, and reverse (Discrete) | 1 (per engine | Turbo-jet—2 discretes enable the 3 states to be determined
Turbo-prop—1 discrete | ||
| 23. Ground Spoiler Position or Speed Brake Selection 12 | Full Range or Each Position (discrete) | ±2° Unless Higher Accuracy Uniquely Required | 1 or 0.5 for airplanes operated under § 135.152(j) | 0.5% of full range | |
| 24. Outside Air Temperature or Total Air Temperature 13 | −50 °C to + 90 °C | ±2 °C | 2 | 0.3 °C | |
| 25. Autopilot/Autothrottle/AFCS Mode and Engagement Status | A suitable combination of discretes | 1 | Discretes should show which systems are engaged and which primary modes are controlling the flight path and speed of the aircraft. | ||
| 26. Radio Altitude 14 | −20 ft to 2,500 ft | ±2 ft or ±3% Whichever is Greater Below 500 ft and ±5% Above 500 ft | 1 | 1 ft + 5% above 500 ft | For autoland/category 3 operations. Each radio altimeter should be recorded, but arranged so that at least one is recorded each second. |
| 27. Localizer Deviation, MLS Azimuth, or GPS Lateral Deviation | ±400 Microamps or available sensor range as installed ±62° | As installed ±3% recommended. | 1 | 0.3% of full range | For autoland/category 3 operations. Each system should be recorded but arranged so that at least one is recorded each second. It is not necessary to record ILS and MLS at the same time, only the approach aid in use need be recorded. |
| 28. Glideslope Deviation, MLS Elevation, or GPS Vertical Deviation | ±400 Microamps or available sensor range as installed
0.9 to + 30° | As installed ±3% recommended | 1 | 0.3% of full range | For autoland/category 3 operations. Each system should be recorded but arranged so that at least one is recorded each second. It is not necessary to record ILS and MLS at the same time, only the approach aid in use need be recorded. |
| 29. Marker Beacon Passage | Discrete “on” or “off” | 1 | A single discrete is acceptable for all markers. | ||
| 30. Master Warning | Discrete | 1 | Record the master warning and record each “red” warning that cannot be determined from other parameters or from the cockpit voice recorder. | ||
| 31. Air/ground sensor (primary airplane system reference nose or main gear) | Discrete “air” or “ground” | 1 (0.25 recommended.) | |||
| 32. Angle of Attack (If measured directly) | As installed | As installed | 2 or 0.5 for airplanes operated under § 135.152(j) | 0.3% of full range | If left and right sensors are available, each may be recorded at 4 or 1 second intervals, as appropriate, so as to give a data point at 2 seconds or 0.5 second, as required. |
| 33. Hydraulic Pressure Low, Each System | Discrete or available sensor range, “low” or “normal” | ±5% | 2 | 0.5% of full range. | |
| 34. Groundspeed | As installed | Most Accurate Systems Installed | 1 | 0.2% of full range. | |
| 35. GPWS (ground proximity warning system) | Discrete “warning” or “off” | 1 | A suitable combination of discretes unless recorder capacity is limited in which case a single discrete for all modes is acceptable. | ||
| 36. Landing Gear Position or Landing gear cockpit control selection | Discrete | 4 | A suitable combination of discretes should be recorded. | ||
| 37. Drift Angle 15 | As installed | As installed | 4 | 0.1° | |
| 38. Wind Speed and Direction | As installed | As installed | 4 | 1 knot, and 1.0°. | |
| 39. Latitude and Longitude | As installed | As installed | 4 | 0.002°, or as installed | Provided by the Primary Navigation System Reference. Where capacity permits latitude/longitude resolution should be 0.0002°. |
| 40. Stick shaker and pusher activation | Discrete(s) “on” or “off” | 1 | A suitable combination of discretes to determine activation. | ||
| 41. Windshear Detection | Discrete “warning” or “off” | 1. | |||
| 42. Throttle/power lever position 16 | Full Range | ±2% | 1 for each lever | 2% of full range | For airplanes with non-mechanically linked cockpit engine controls. |
| 43. Additional Engine Parameters | As installed | As installed | Each engine each second | 2% of full range | Where capacity permits, the preferred priority is indicated vibration level, N2, EGT, Fuel Flow, Fuel Cut-off lever position and N3, unless engine manufacturer recommends otherwise. |
| 44. Traffic Alert and Collision Avoidance System (TCAS) | Discretes | As installed | 1 | A suitable combination of discretes should be recorded to determine the status of—Combined Control, Vertical Control, Up Advisory, and down advisory. (ref. ARINC Characteristic 735 Attachment 6E, TCAS VERTICAL RA DATA OUTPUT WORD.) | |
| 45. DME 1 and 2 Distance | 0-200 NM; | As installed | 4 | 1 NM | 1 mile. |
| 46. Nav 1 and 2 Selected Frequency | Full range | As installed | 4 | Sufficient to determine selected frequency. | |
| 47. Selected barometric setting | Full Range | ±5% | (1 per 64 sec.) | 0.2% of full range. | |
| 48. Selected altitude | Full Range | ±5% | 1 | 100 ft. | |
| 49. Selected speed | Full Range | ±5% | 1 | 1 knot. | |
| 50. Selected Mach | Full Range | ±5% | 1 | .01. | |
| 51. Selected vertical speed | Full Range | ±5% | 1 | 100 ft./min. | |
| 52. Selected heading | Full Range | ±5% | 1 | 1°. | |
| 53. Selected flight path | Full Range | ±5% | 1 | 1°. | |
| 54. Selected decision height | Full Range | ±5% | 64 | 1 ft. | |
| 55. EFIS display format | Discrete(s) | 4 | Discretes should show the display system status (e.g., off, normal, fail, composite, sector, plan, nav aids, weather radar, range, copy. | ||
| 56. Multi-function/Engine Alerts Display format | Discrete(s) | 4 | Discretes should show the display system status (e.g., off, normal, fail, and the identity of display pages for emergency procedures, need not be recorded. | ||
| 57. Thrust comand 17 | Full Range | ±2% | 2 | 2% of full range | |
| 58. Thrust target | Full Range | ±2% | 4 | 2% of full range. | |
| 59. Fuel quantity in CG trim tank | Full Range | ±5% | (1 per 64 sec.) | 1% of full range. | |
| 60. Primary Navigation System Reference | Discrete GPS, INS, VOR/DME, MLS, Localizer Glideslope | 4 | A suitable combination of discretes to determine the Primary Navigation System reference. | ||
| 61. Ice Detection | Discrete “ice” or “no ice” | 4. | |||
| 62. Engine warning each engine vibration | Discrete | 1. | |||
| 63. Engine warning each engine over temp. | Discrete | 1. | |||
| 64. Engine warning each engine oil pressure low | Discrete | 1. | |||
| 65. Engine warning each engine over speed | Discrete | 1. | |||
| 66. Yaw Trim Surface Position | Full Range | ±3% Unless Higher Accuracy Uniquely Required | 2 | 0.3% of full range. | |
| 67. Roll Trim Surface Position | Full Range | ±3% Unless Higher Accuracy Uniquely Required | 2 | 0.3% of full range. | |
| 68. Brake Pressure (left and right) | As installed | ±5% | 1 | To determine braking effort applied by pilots or by autobrakes. | |
| 69. Brake Pedal Application (left and right) | Discrete or Analog “applied” or “off” | ±5% (Analog) | 1 | To determine braking applied by pilots. | |
| 70. Yaw or sideslip angle | Full Range | ±5% | 1 | 0.5°. | |
| 71. Engine bleed valve position | Discrete “open” or “closed” | 4. | |||
| 72. De-icing or anti-icing system selection | Discrete “on” or “off” | 4. | |||
| 73. Computed center of gravity | Full Range | ±5% | (1 per 64 sec.) | 1% of full range. | |
| 74. AC electrical bus status | Discrete “power” or “off” | 4 | Each bus. | ||
| 75. DC electrical bus status | Discrete “power” or “off” | 4 | Each bus. | ||
| 76. APU bleed valve position | Discrete “open” or “closed” | 4. | |||
| 77. Hydraulic Pressure (each system) | Full range | ±5% | 2 | 100 psi. | |
| 78. Loss of cabin pressure | Discrete “loss” or “normal” | 1. | |||
| 79. Computer failure (critical flight and engine control systems) | Discrete “fail” or “normal” | 4. | |||
| 80. Heads-up display (when an information source is installed) | Discrete(s) “on” or “off” | 4. | |||
| 81. Para-visual display (when an information source is installed) | Discrete(s) “on” or “off” | 1. | |||
| 82. Cockpit trim control input position—pitch | Full Range | ±5% | 1 | 0.2% of full range | Where mechanical means for control inputs are not available, cockpit display trim positions should be recorded. |
| 83. Cockpit trim control input position—roll | Full Range | ±5% | 1 | 0.7% of full range | Where mechanical means for control inputs are not available, cockpit display trim position should be recorded. |
| 84. Cockpit trim control input position—yaw | Full Range | ±5% | 1 | 0.3% of full range | Where mechanical means for control input are not available, cockpit display trim positions should be recorded. |
| 85. Trailing edge flap and cockpit flap control position | Full Range | ±5% | 2 | 0.5% of full range | Trailing edge flaps and cockpit flap control position may each be sampled alternately at 4 second intervals to provide a sample each 0.5 second. |
| 86. Leading edge flap and cockpit flap control position | Full Range or Discrete | ±5% | 1 | 0.5% of full range. | |
| 87. Ground spoiler position and speed brake selection | Full Range or Discrete | ±5% | 0.5 | 0.3% of full range | |
| 88. All cockpit flight control input forces (control wheel, control column, rudder pedal) 18 | Full Range Control wheel ±70 lbs. Control column ±85 lbs. Rudder pedal ±165 lbs | ±5° | 1 | 0.3% of full range | For fly-by-wire flight control systems, where flight control surface position is a function of the displacement of the control input device only, it is not necessary to record this parameter. For airplanes that have a flight control breakaway capability that allows either pilot to operate the control independently, record both control force inputs. The control force inputs may be sampled alternately once per 2 seconds to produce the sampling interval of 1. |
1 For A300 B2/B4 airplanes, resolution = 6 seconds.
2 For A330/A340 series airplanes, resolution = 0.703°.
3 For A318/A319/A320/A321 series airplanes, resolution = 0.275% (0.088°>0.064°). For A330/A340 series airplanes, resolution = 2.20% (0.703°>0.064°).
4 For A318/A319/A320/A321 series airplanes, resolution = 0.22% (0.088°>0.080°). For A330/A340 series airplanes, resolution = 1.76% (0.703°>0.080°).
5 For A330/A340 series airplanes, resolution = 1.18% (0.703°>0.120°).
6 For A330/A340 series airplanes, resolution = 0.783% (0.352°>0.090°).
7 For A330/A340 series airplanes, aileron resolution = 0.704% (0.352°>0.100°). For A330/A340 series airplanes, spoiler resolution = 1.406% (0.703°>0.100°).
8 For A330/A340 series airplanes, resolution = 0.30% (0.176°>0.12°). For A330/A340 series airplanes, seconds per sampling interval = 1.
9 For B-717 series airplanes, resolution = .005g. For Dassault F900C/F900EX airplanes, resolution = .007g.
10 For A330/A340 series airplanes, resolution = 1.05% (0.250°>0.120°).
11 For A330/A340 series airplanes, resolution = 1.05% (0.250°>0.120°). For A300 B2/B4 series airplanes, resolution = 0.92% (0.230°>0.125°).
12 For A330/A340 series airplanes, spoiler resolution = 1.406% (0.703°>0.100°).
13 For A330/A340 series airplanes, resolution = 0.5 °C.
14 For Dassault F900C/F900EX airplanes, Radio Altitude resolution = 1.25 ft.
15 For A330/A340 series airplanes, resolution = 0.352 degrees.
16 For A318/A319/A320/A321 series airplanes, resolution = 4.32%. For A330/A340 series airplanes, resolution is 3.27% of full range for throttle lever angle (TLA); for reverse thrust, reverse throttle lever angle (RLA) resolution is nonlinear over the active reverse thrust range, which is 51.54 degrees to 96.14 degrees. The resolved element is 2.8 degrees uniformly over the entire active reverse thrust range, or 2.9% of the full range value of 96.14 degrees.
17 For A318/A319/A320/A321 series airplanes, with IAE engines, resolution = 2.58%.
18 For all aircraft manufactured on or after December 6, 2010, the seconds per sampling interval is 0.125. Each input must be recorded at this rate. Alternately sampling inputs (interleaving) to meet this sampling interval is prohibited.
G135.1 Definitions.
G135.1.1 Adequate Airport means an airport that an airplane operator may list with approval from the FAA because that airport meets the landing limitations of § 135.385 or is a military airport that is active and operational.
G135.1.2 ETOPS Alternate Airport means an adequate airport that is designated in a dispatch or flight release for use in the event of a diversion during ETOPS. This definition applies to flight planning and does not in any way limit the authority of the pilot in command during flight.
G135.1.3 ETOPS Entry Point means the first point on the route of an ETOPS flight, determined using a one-engine inoperative cruise speed under standard conditions in still air, that is more than 180 minutes from an adequate airport.
G135.1.4 ETOPS Qualified Person means a person, performing maintenance for the certificate holder, who has satisfactorily completed the certificate holder's ETOPS training program.
G135.2 Requirements.
G135.2.1 General. After August 13, 2008, no certificate holder may operate an airplane, other than an all-cargo airplane with more than two engines, outside the continental United States more than 180 minutes flying time (at the one-engine-inoperative cruise speed under standard conditions in still air) from an airport described in § 135.364 unless—
(a) The certificate holder receives ETOPS approval from the FAA;
(b) The operation is conducted in a multi-engine transport category turbine-powered airplane;
(c) The operation is planned to be no more than 240 minutes flying time (at the one engine inoperative cruise speed under standard conditions in still air) from an airport described in § 135.364; and
(d) The certificate holder meets the requirements of this appendix.
G135.2.2 Required certificate holder experience prior to conducting ETOPS.
Before applying for ETOPS approval, the certificate holder must have at least 12 months experience conducting international operations (excluding Canada and Mexico) with multi-engine transport category turbine-engine powered airplanes. The certificate holder may consider the following experience as international operations:
(a) Operations to or from the State of Hawaii.
(b) For certificate holders granted approval to operate under part 135 or part 121 before February 15, 2007, up to 6 months of domestic operating experience and operations in Canada and Mexico in multi-engine transport category turbojet-powered airplanes may be credited as part of the required 12 months of international experience required by paragraph G135.2.2(a) of this appendix.
(c) ETOPS experience with other aircraft types to the extent authorized by the FAA.
G135.2.3 Airplane requirements. No certificate holder may conduct ETOPS in an airplane that was manufactured after February 17, 2015 unless the airplane meets the standards of § 25.1535.
G135.2.4 Crew information requirements. The certificate holder must ensure that flight crews have in-flight access to current weather and operational information needed to comply with § 135.83, § 135.225, and § 135.229. This includes information on all ETOPS Alternate Airports, all destination alternates, and the destination airport proposed for each ETOPS flight.
G135.2.5 Operational Requirements.
(a) No person may allow a flight to continue beyond its ETOPS Entry Point unless—
(1) The weather conditions at each ETOPS Alternate Airport are forecast to be at or above the operating minima in the certificate holder's operations specifications for that airport when it might be used (from the earliest to the latest possible landing time), and
(3) All ETOPS Alternate Airports within the authorized ETOPS maximum diversion time are reviewed for any changes in conditions that have occurred since dispatch.
(b) In the event that an operator cannot comply with paragraph G135.2.5(a)(1) of this appendix for a specific airport, another ETOPS Alternate Airport must be substituted within the maximum ETOPS diversion time that could be authorized for that flight with weather conditions at or above operating minima.
(c) Pilots must plan and conduct ETOPS under instrument flight rules.
(d) Time-Limited Systems. (1) Except as provided in paragraph G135.2.5(d)(3) of this appendix, the time required to fly the distance to each ETOPS Alternate Airport (at the all-engines-operating cruise speed, corrected for wind and temperature) may not exceed the time specified in the Airplane Flight Manual for the airplane's most limiting fire suppression system time required by regulation for any cargo or baggage compartments (if installed), minus 15 minutes.
(2) Except as provided in G135.2.5(d)(3) of this appendix, the time required to fly the distance to each ETOPS Alternate Airport (at the approved one-engine-inoperative cruise speed, corrected for wind and temperature) may not exceed the time specified in the Airplane Flight Manual for the airplane's most time limited system time (other than the airplane's most limiting fire suppression system time required by regulation for any cargo or baggage compartments), minus 15 minutes.
(3) A certificate holder operating an airplane without the Airplane Flight Manual information needed to comply with paragraphs G135.2.5(d)(1) and (d)(2) of this appendix, may continue ETOPS with that airplane until February 17, 2015.
G135.2.6 Communications Requirements.
(a) No person may conduct an ETOPS flight unless the following communications equipment, appropriate to the route to be flown, is installed and operational:
(1) Two independent communication transmitters, at least one of which allows voice communication.
(2) Two independent communication receivers, at least one of which allows voice communication.
(3) Two headsets, or one headset and one speaker.
(b) In areas where voice communication facilities are not available, or are of such poor quality that voice communication is not possible, communication using an alternative system must be substituted.
G135.2.7 Fuel Requirements. No person may dispatch or release for flight an ETOPS flight unless, considering wind and other weather conditions expected, it has the fuel otherwise required by this part and enough fuel to satisfy each of the following requirements:
(a) Fuel to fly to an ETOPS Alternate Airport. (1) Fuel to account for rapid decompression and engine failure. The airplane must carry the greater of the following amounts of fuel:
(i) Fuel sufficient to fly to an ETOPS Alternate Airport assuming a rapid decompression at the most critical point followed by descent to a safe altitude in compliance with the oxygen supply requirements of § 135.157;
(ii) Fuel sufficient to fly to an ETOPS Alternate Airport (at the one-engine-inoperative cruise speed under standard conditions in still air) assuming a rapid decompression and a simultaneous engine failure at the most critical point followed by descent to a safe altitude in compliance with the oxygen requirements of § 135.157; or
(iii) Fuel sufficient to fly to an ETOPS Alternate Airport (at the one-engine-inoperative cruise speed under standard conditions in still air) assuming an engine failure at the most critical point followed by descent to the one engine inoperative cruise altitude.
(2) Fuel to account for errors in wind forecasting. In calculating the amount of fuel required by paragraph G135.2.7(a)(1) of this appendix, the certificate holder must increase the actual forecast wind speed by 5% (resulting in an increase in headwind or a decrease in tailwind) to account for any potential errors in wind forecasting. If a certificate holder is not using the actual forecast wind based on a wind model accepted by the FAA, the airplane must carry additional fuel equal to 5% of the fuel required by paragraph G135.2.7(a) of this appendix, as reserve fuel to allow for errors in wind data.
(3) Fuel to account for icing. In calculating the amount of fuel required by paragraph G135.2.7(a)(1) of this appendix, (after completing the wind calculation in G135.2.7(a)(2) of this appendix), the certificate holder must ensure that the airplane carries the greater of the following amounts of fuel in anticipation of possible icing during the diversion:
(i) Fuel that would be burned as a result of airframe icing during 10 percent of the time icing is forecast (including the fuel used by engine and wing anti-ice during this period).
(ii) Fuel that would be used for engine anti-ice, and if appropriate wing anti-ice, for the entire time during which icing is forecast.
(4) Fuel to account for engine deterioration. In calculating the amount of fuel required by paragraph G135.2.7(a)(1) of this appendix (after completing the wind calculation in paragraph G135.2.7(a)(2) of this appendix), the certificate holder must ensure the airplane also carries fuel equal to 5% of the fuel specified above, to account for deterioration in cruise fuel burn performance unless the certificate holder has a program to monitor airplane in-service deterioration to cruise fuel burn performance.
(b) Fuel to account for holding, approach, and landing. In addition to the fuel required by paragraph G135.2.7 (a) of this appendix, the airplane must carry fuel sufficient to hold at 1500 feet above field elevation for 15 minutes upon reaching the ETOPS Alternate Airport and then conduct an instrument approach and land.
(c) Fuel to account for APU use. If an APU is a required power source, the certificate holder must account for its fuel consumption during the appropriate phases of flight.
G135.2.8 Maintenance Program Requirements. In order to conduct an ETOPS flight under § 135.364, each certificate holder must develop and comply with the ETOPS maintenance program as authorized in the certificate holder's operations specifications for each two-engine airplane-engine combination used in ETOPS. This provision does not apply to operations using an airplane with more than two engines. The certificate holder must develop this ETOPS maintenance program to supplement the maintenance program currently approved for the operator. This ETOPS maintenance program must include the following elements:
(a) ETOPS maintenance document. The certificate holder must have an ETOPS maintenance document for use by each person involved in ETOPS. The document must—
(1) List each ETOPS Significant System,
(2) Refer to or include all of the ETOPS maintenance elements in this section,
(3) Refer to or include all supportive programs and procedures,
(4) Refer to or include all duties and responsibilities, and
(5) Clearly state where referenced material is located in the certificate holder's document system.
(b) ETOPS pre-departure service check. The certificate holder must develop a pre-departure check tailored to their specific operation.
(1) The certificate holder must complete a pre-departure service check immediately before each ETOPS flight.
(2) At a minimum, this check must:
(i) Verify the condition of all ETOPS Significant Systems;
(ii) Verify the overall status of the airplane by reviewing applicable maintenance records; and
(iii) Include an interior and exterior inspection to include a determination of engine and APU oil levels and consumption rates.
(3) An appropriately trained maintenance person, who is ETOPS qualified must accomplish and certify by signature ETOPS specific tasks. Before an ETOPS flight may commence, an ETOPS pre-departure service check (PDSC) Signatory Person, who has been authorized by the certificate holder, must certify by signature, that the ETOPS PDSC has been completed.
(4) For the purposes of this paragraph (b) only, the following definitions apply:
(i) ETOPS qualified person: A person is ETOPS qualified when that person satisfactorily completes the operator's ETOPS training program and is authorized by the certificate holder.
(ii) ETOPS PDSC Signatory Person: A person is an ETOPS PDSC Signatory Person when that person is ETOPS Qualified and that person:
(A) When certifying the completion of the ETOPS PDSC in the United States:
(1) Works for an operator authorized to engage in part 135 or 121 operation or works for a part 145 repair station; and
(2) Holds a U.S. Mechanic's Certificate with airframe and powerplant ratings.
(B) When certifying the completion of the ETOPS PDSC outside of the U.S. holds a certificate in accordance with § 43.17(c)(1) of this chapter; or
(C) When certifying the completion of the ETOPS PDSC outside the U.S. holds the certificates needed or has the requisite experience or training to return aircraft to service on behalf of an ETOPS maintenance entity.
(iii) ETOPS maintenance entity: An entity authorized to perform ETOPS maintenance and complete ETOPS pre-departure service checks and that entity is:
(A) Certificated to engage in part 135 or 121 operations;
(B) Repair station certificated under part 145 of this title; or
(C) Entity authorized pursuant to § 43.17(c)(2) of this chapter.
(c) Limitations on dual maintenance. (1) Except as specified in paragraph G135.2.8(c)(2) of this appendix, the certificate holder may not perform scheduled or unscheduled dual maintenance during the same maintenance visit on the same or a substantially similar ETOPS Significant System listed in the ETOPS maintenance document, if the improper maintenance could result in the failure of an ETOPS Significant System.
(2) In the event dual maintenance as defined in paragraph G135.2.8(c)(1) of this appendix cannot be avoided, the certificate holder may perform maintenance provided:
(i) The maintenance action on each affected ETOPS Significant System is performed by a different technician, or
(ii) The maintenance action on each affected ETOPS Significant System is performed by the same technician under the direct supervision of a second qualified individual; and
(iii) For either paragraph G135.2.8(c)(2)(i) or (ii) of this appendix, a qualified individual conducts a ground verification test and any in-flight verification test required under the program developed pursuant to paragraph G135.2.8(d) of this appendix.
(d) Verification program. The certificate holder must develop a program for the resolution of discrepancies that will ensure the effectiveness of maintenance actions taken on ETOPS Significant Systems. The verification program must identify potential problems and verify satisfactory corrective action. The verification program must include ground verification and in-flight verification policy and procedures. The certificate holder must establish procedures to clearly indicate who is going to initiate the verification action and what action is necessary. The verification action may be performed on an ETOPS revenue flight provided the verification action is documented as satisfactorily completed upon reaching the ETOPS entry point.
(e) Task identification. The certificate holder must identify all ETOPS-specific tasks. An ETOPS qualified person must accomplish and certify by signature that the ETOPS-specific task has been completed.
(f) Centralized maintenance control procedures. The certificate holder must develop procedures for centralized maintenance control for ETOPS.
(g) ETOPS parts control program. The certificate holder must develop an ETOPS parts control program to ensure the proper identification of parts used to maintain the configuration of airplanes used in ETOPS.
(h) Enhanced Continuing Analysis and Surveillance System (E-CASS) program. A certificate holder's existing CASS must be enhanced to include all elements of the ETOPS maintenance program. In addition to the reporting requirements of § 135.415 and § 135.417, the program includes reporting procedures, in the form specified in § 135.415(e), for the following significant events detrimental to ETOPS within 96 hours of the occurrence to the responsible Flight Standards office:
(1) IFSDs, except planned IFSDs performed for flight training.
(2) Diversions and turnbacks for failures, malfunctions, or defects associated with any airplane or engine system.
(3) Uncommanded power or thrust changes or surges.
(4) Inability to control the engine or obtain desired power or thrust.
(5) Inadvertent fuel loss or unavailability, or uncorrectable fuel imbalance in flight.
(6) Failures, malfunctions or defects associated with ETOPS Significant Systems.
(7) Any event that would jeopardize the safe flight and landing of the airplane on an ETOPS flight.
(i) Propulsion system monitoring. The certificate holder, in coordination with the responsible Flight Standards office, must—
(1) Establish criteria as to what action is to be taken when adverse trends in propulsion system conditions are detected, and
(2) Investigate common cause effects or systemic errors and submit the findings to the responsible Flight Standards office within 30 days.
(j) Engine condition monitoring. (1) The certificate holder must establish an engine-condition monitoring program to detect deterioration at an early stage and to allow for corrective action before safe operation is affected.
(2) This program must describe the parameters to be monitored, the method of data collection, the method of analyzing data, and the process for taking corrective action.
(3) The program must ensure that engine limit margins are maintained so that a prolonged engine-inoperative diversion may be conducted at approved power levels and in all expected environmental conditions without exceeding approved engine limits. This includes approved limits for items such as rotor speeds and exhaust gas temperatures.
(k) Oil consumption monitoring. The certificate holder must develop an engine oil consumption monitoring program to ensure that there is enough oil to complete each ETOPS flight. APU oil consumption must be included if an APU is required for ETOPS. The operator's consumption limit may not exceed the manufacturer's recommendation. Monitoring must be continuous and include oil added at each ETOPS departure point. The program must compare the amount of oil added at each ETOPS departure point with the running average consumption to identify sudden increases.
(l) APU in-flight start program. If an APU is required for ETOPS, but is not required to run during the ETOPS portion of the flight, the certificate holder must have a program acceptable to the FAA for cold soak in-flight start and run reliability.
(m) Maintenance training. For each airplane-engine combination, the certificate holder must develop a maintenance training program to ensure that it provides training adequate to support ETOPS. It must include ETOPS specific training for all persons involved in ETOPS maintenance that focuses on the special nature of ETOPS. This training must be in addition to the operator's maintenance training program used to qualify individuals for specific airplanes and engines.
(n) Configuration, maintenance, and procedures (CMP) document. The certificate holder must use a system to ensure compliance with the minimum requirements set forth in the current version of the CMP document for each airplane-engine combination that has a CMP.
(o) Reporting. The certificate holder must report quarterly to the responsible Flight Standards office and the airplane and engine manufacturer for each airplane authorized for ETOPS. The report must provide the operating hours and cycles for each airplane.
G135.2.9 Delayed compliance date for all airplanes. A certificate holder need not comply with this appendix for any airplane until August 13, 2008.
(a) This subpart applies to each person operating or intending to operate a commercial air tour in an airplane, powered-lift, or rotorcraft and, when applicable, to all occupants of those aircraft engaged in a commercial air tour. When any requirement of this subpart is more stringent than any other requirement of this chapter, the person operating the commercial air tour must comply with the requirement in this subpart.
(b) This subpart applies to:
(1) Part 121 or 135 operators conducting a commercial air tour and holding a part 119 certificate;
(2) Part 91 operators conducting flights as described in § 119.1(e)(2); and
(3) Part 91 operators conducting flights as described in 14 CFR 91.146
(c) This subpart does not apply to operations conducted in balloons, gliders (powered and un-powered), parachutes (powered and un-powered), gyroplanes, or airships.
(d) For the purposes of this subpart the following definitions apply:
Commercial air tour means a flight conducted for compensation or hire in an airplane, powered-lift, or rotorcraft where a purpose of the flight is sightseeing. The FAA may consider the following factors in determining whether a flight is a commercial air tour for purposes of this subpart:
(i) Whether there was a holding out to the public of willingness to conduct a sightseeing flight for compensation or hire;
(ii) Whether the person offering the flight provided a narrative that referred to areas or points of interest on the surface below the route of the flight;
(iii) The area of operation;
(iv) How often the person offering the flight conducts such flights;
(v) The route of the flight;
(vi) The inclusion of sightseeing flights as part of any travel arrangement package;
(vii) Whether the flight in question would have been canceled based on poor visibility of the surface below the route of the flight; and
(viii) Any other factors that the FAA considers appropriate.
Commercial Air Tour operator means any person who conducts a commercial air tour.
Life preserver means a flotation device used by an aircraft occupant if the aircraft ditches in water. If an inflatable device, it must be un-inflated and ready for its intended use once inflated. In evaluating whether a non-inflatable life preserver is acceptable to the FAA, the operator must demonstrate to the FAA that such a preserver can be used during an evacuation and will allow all passengers to exit the aircraft without blocking the exit. Each occupant must have the physical capacity to wear and inflate the type of device used once briefed by the commercial air tour operator. Seat cushions do not meet this definition.
Raw terrain means any area on the surface, including water, devoid of any person, structure, vehicle, or vessel.
Shoreline means that area of the land adjacent to the water of an ocean, sea, lake, pond, river or tidal basin that is above the high water mark and excludes land areas unsuitable for landing such as vertical cliffs or land intermittently under water during the particular flight.
Suitable landing area for rotorcraft means an area that provides the operator reasonable capability to land in an emergency without causing serious injury to persons. These suitable landing areas must be site specific, designated by the operator, and accepted by the FAA.
(e) In an in-flight emergency requiring immediate action, the pilot in command may deviate from any rule of this subpart to the extent required to meet that emergency.
(f) Additional requirements for powered-lift operations are set forth in part 194 of this chapter.
Operators subject to this subpart who have Letters of Authorization may use the procedures described in § 119.51 of this chapter to amend or have the FAA reconsider those Letters of Authorization.
Any operator subject to this subpart who meets the criteria of § 136.71 must comply with the additional requirements and restrictions in subpart D of this part.
(a) Before takeoff each pilot in command shall ensure that each passenger has been briefed on the following:
(1) Procedures for fastening and unfastening seatbelts;
(2) Prohibition on smoking; and
(3) Procedures for opening exits and exiting the aircraft.
(b) For flight segments over water beyond the shoreline, briefings must also include:
(1) Procedures for water ditching;
(2) Use of required life preservers; and
(3) Procedures for emergency exit from the aircraft in the event of a water landing.
(c) If any passengers on board a flight conducted under this part are secured with a supplemental restraint system, the pilot in command of that flight must ensure those passengers are briefed in accordance with § 91.108(g) of this chapter.
(a) Except as provided in paragraphs (b) or (c) of this section, the operator and pilot in command of commercial air tours over water beyond the shoreline must ensure that each occupant is wearing a life preserver from before takeoff until flight is no longer over water.
(b) The operator and pilot in command of a commercial air tour over water beyond the shoreline must ensure that a life preserver is readily available for its intended use and easily accessible to each occupant if:
(1) The aircraft is equipped with floats;
(2) The airplane is within power-off gliding distance to the shoreline for the duration of the time that the flight is over water; or
(3) The aircraft is a multiengine that can be operated with the critical engine inoperative at a weight that will allow it to climb, at least 50 feet a minute, at an altitude of 1,000 feet above the surface, as provided in the approved aircraft flight manual for that aircraft.
(c) No life preserver is required if the overwater operation is necessary only for takeoff or landing.
(a) A rotorcraft used in commercial air tours over water beyond the shoreline must be equipped with fixed floats or an inflatable flotation system adequate to accomplish a safe emergency ditching, if—
(1) It is a single-engine rotorcraft; or
(2) It is a multi-engine rotorcraft that cannot be operated with the critical engine inoperative at a weight that will allow it to climb, at least 50 feet a minute, at an altitude of 1,000 feet above the surface, as provided in the approved aircraft flight manual for that aircraft.
(b) Each rotorcraft that is required to be equipped with an inflatable flotation system under this section must have:
(1) The activation switch for the flotation system on one of the primary flight controls; and
(2) The flotation system armed when the rotorcraft is over water beyond the shoreline and is flying at a speed that does not exceed the maximum speed prescribed in the approved aircraft flight manual for flying with the flotation system armed.
(c) Neither fixed floats nor an inflatable flotation system is required for a rotorcraft under this section when that rotorcraft is:
(1) Over water only during the takeoff or landing portion of the flight; or
(2) Operated within power-off gliding distance to the shoreline for the duration of the flight and each occupant is wearing a life preserver from before takeoff until the aircraft is no longer over water.
(a) Each operator that uses a rotorcraft must complete a performance plan before each commercial air tour or flight operated under § 91.146 or § 91.147 of this chapter. The pilot in command must review for accuracy and comply with the performance plan on the day the flight occurs. The performance plan must be based on information in the approved aircraft flight manual for that aircraft taking into consideration the maximum density altitude for which the operation is planned, in order to determine:
(1) Maximum gross weight and center of gravity (CG) limitations for hovering in ground effect;
(2) Maximum gross weight and CG limitations for hovering out of ground effect; and
(3) Maximum combination of weight, altitude, and temperature for which height/velocity information in the approved aircraft flight manual is valid.
(b) Except for the approach to and transition from a hover for the purpose of takeoff and landing, or during takeoff and landing, the pilot in command must make a reasonable plan to operate the rotorcraft outside of the caution/warning/avoid area of the limiting height/velocity diagram.
(c) Except for the approach to and transition from a hover for the purpose of takeoff and landing, during takeoff and landing, or when necessary for safety of flight, the pilot in command must operate the rotorcraft in compliance with the plan described in paragraph (b) of this section.
(a) This part restates and paraphrases several sections of the National Parks Air Tour Management Act of 2000, including section 803 (codified at 49 U.S.C. 40128) and sections 806 and 809. This subpart clarifies the requirements for the development of an air tour management plan for each park in the national park system where commercial air tour operations are flown.
(b) Except as provided in paragraph (c) of this section, this subpart applies to each commercial air tour operator who conducts a commercial air tour operation over—
(1) A unit of the national park system;
(2) Tribal lands as defined in this subpart; or
(3) Any area within one-half mile outside the boundary of any unit of the national park system.
(c) This subpart does not apply to a commercial air tour operator conducting a commercial air tour operation—
(1) Over the Grand Canyon National Park;
(2) Over that portion of tribal lands within or abutting the Grand Canyon National Park;
(3) Over any land or waters located in the State of Alaska; or
(4) While flying over or near the Lake Mead Recreation Area, solely as a transportation route, to conduct a commercial air tour over the Grand Canyon National Park.
For purposes of this subpart—
(a) Commercial air tour operator means any person who conducts a commercial air tour operation.
(b) Existing commercial air tour operator means a commercial air tour operator that was actively engaged in the business of providing commercial air tour operations over a national park at any time during the 12-month period ending on April 5, 2000.
(c) New entrant commercial air tour operator means a commercial air tour operator that—
(1) Applies for operating authority as a commercial air tour operator for a national park or tribal lands; and
(2) Has not engaged in the business of providing commercial air tour operations over the national park or tribal lands for the 12-month period preceding enactment.
(d) Commercial air tour operation—
(1) Means any flight, conducted for compensation or hire in a powered aircraft where a purpose of the flight is sightseeing over a national park, within
(i) Below 5,000 feet above ground level (except for the purpose of takeoff or landing, or as necessary for the safe operation of an aircraft as determined under the rules and regulations of the Federal Aviation Administration requiring the pilot-in-command to take action to ensure the safe operation of the aircraft);
(ii) Less than 1 mile laterally from any geographic feature within the park (unless more than
(iii) Except as provided in § 136.35.
(2) The Administrator may consider the following factors in determining whether a flight is a commercial air tour operation for purposes of this subpart—
(i) Whether there was a holding out to the public of willingness to conduct a sightseeing flight for compensation or hire;
(ii) Whether a narrative that referred to areas or points of interest on the surface below the route of the flight was provided by the person offering the flight;
(iii) The area of operation;
(iv) The frequency of flights conducted by the person offering the flight;
(v) The route of flight;
(vi) The inclusion of sightseeing flights as part of any travel arrangement package offered by the person offering the flight;
(vii) Whether the flight would have been canceled based on poor visibility of the surface below the route of the flight; and
(viii) Any other factors that the Administrator and Director consider appropriate.
(3) For purposes of § 136.35, means any flight conducted for compensation or hire in a powered aircraft where a purpose of the flight is sightseeing over a national park.
(e) National park means any unit of the national park system. (See title 16 of the U.S. Code, section 1, et seq.)
(f) Tribal lands means that portion of Indian country (as that term is defined in section 1151 of title 18 of the U.S. Code) that is within or abutting a national park.
(g) Administrator means the Administrator of the Federal Aviation Administration.
(h) Director means the Director of the National Park Service.
(i) Superintendent means the duly appointed representative of the National Park Service for a particular unit of the national park system.
All commercial air tour operations in the airspace over the Rocky Mountain National Park are prohibited regardless of altitude.
(a) General. A commercial air tour operator may not conduct commercial air tour operations over a national park or tribal land except—
(1) In accordance with this section;
(2) In accordance with conditions and limitations prescribed for that operator by the Administrator; and
(3) In accordance with any applicable air tour management plan for the park or tribal lands.
(b) Application for operating authority. Before commencing commercial air tour operations over a national park or tribal lands, a commercial air tour operator shall apply to the Administrator for authority to conduct the operations over the park or tribal lands.
(c) Number of operations authorized. In determining the number of authorizations to issue to provide commercial air tour operations over a national park, the Administrator, in cooperation with the Director, shall take into consideration the provisions of the air tour management plan, the number of existing commercial air tour operators and current level of service and equipment provided by any such operators, and the financial viability of each commercial air tour operation.
(d) Cooperation with National Park Service. Before granting an application under this subpart, the Administrator, in cooperation with the Director, shall develop an air tour management plan in accordance with § 136.39 and implement such a plan.
(e) Time limit on response to applications. Every effort will be made to act on any application under this subpart and issue a decision on the application not later than 24 months after it is received or amended.
(f) Priority. In acting on applications under this paragraph to provide commercial air tour operations over a national park, the Administrator shall give priority to an application under this paragraph in any case where a new entrant commercial air tour operator is seeking operating authority with respect to that national park.
(g) Exception. Notwithstanding this section, commercial air tour operators may conduct commercial air tour operations over a national park under part 91 of this chapter if—
(1) Such activity is permitted under part 119 of this chapter;
(2) The operator secures a letter of agreement from the Administrator and the Superintendent for that park describing the conditions under which the operations will be conducted; and
(3) The number of operations under this exception is limited to not more than a total of 5 flights by all operators in any 30-day period over a particular park.
(h) Special rule for safety requirement. Notwithstanding § 136.41, an existing commercial air tour operator shall apply, not later than January 23, 2003 for operating authority under part 119 of this chapter, for certification under part 121 or part 135 of this chapter. A new entrant commercial air tour operator shall apply for such authority before conducting commercial air tour operations over a national park or tribal lands that are within or abut a national park. The Administrator shall make every effort to act on such application for a new entrant and issue a decision on the application not later than 24 months after it is received or amended.
(a) Establishment. The Administrator, in cooperation with the Director, shall establish an air tour management plan for any national park or tribal land for which such a plan is not in effect whenever a person applies for authority to conduct a commercial air tour operation over the park. The air tour management plan shall be developed by means of a public process in accordance with paragraph (d) of this section. The objective of any air tour management plan is to develop acceptable and effective measures to mitigate or prevent the significant adverse impacts, if any, of commercial air tour operations upon the natural and cultural resources, visitor experiences, and tribal lands.
(b) Environmental determination. In establishing an air tour management plan under this section, the Administrator and the Director shall each sign the environmental decision document required by section 102 of the National Environmental Policy Act of 1969 (42 U.S.C. 4332) which may include a finding of no significant impact, an environmental assessment, or an environmental impact statement and the record of decision for the air tour management plan.
(c) Contents. An air tour management plan for a park—
(1) May prohibit commercial air tour operations in whole or in part;
(2) May establish conditions for the conduct of commercial air tour operations, including, but not limited to, commercial air tour routes, maximum number of flights per unit of time, maximum and minimum altitudes, time of day restrictions, restrictions for particular events, intrusions on privacy on tribal lands, and mitigation of noise, visual, or other impacts;
(3) Shall apply to all commercial air tour operations within
(4) Shall include incentives (such as preferred commercial air tour routes and altitudes, and relief from caps and curfews) for the adoption of quiet technology aircraft by commercial air tour operators conducting commercial air tour operations at the park;
(5) Shall provide for the initial allocation of opportunities to conduct commercial air tour operations if the plan includes a limitation on the number of commercial air tour operations for any time period; and
(6) Shall justify and document the need for measures taken pursuant to paragraphs (c)(1) through (c)(5) of this section and include such justification in the record of decision.
(d) Procedure. In establishing an ATMP for a national park or tribal lands, the Administrator and Director shall—
(1) Hold at least one public meeting with interested parties to develop the air tour management plan;
(2) Publish the proposed plan in the
(3) Comply with the regulations set forth in 40 CFR 1501.3 and 1501.5 through 1501.8 (for the purposes of complying with 40 CFR 1501.3 and 1501.5 through 1501.8, the Federal Aviation Administration is the lead agency and the National Park Service is a cooperating agency); and
(4) Solicit the participation of any Indian tribe whose tribal lands are, or may be, overflown by aircraft involved in a commercial air tour operation over the park or tribal lands to which the plan applies, as a cooperating agency under the regulations referred to in paragraph (d)(3) of this section.
(e) Amendments. The Administrator, in cooperation with the Director, may make amendments to an air tour management plan. Any such amendments will be published in the
(a) General. Upon application for operating authority, the Administrator shall grant interim operating authority under this section to a commercial air tour operator for commercial air tour operations over a national park or tribal land for which the operator is an existing commercial air tour operator.
(b) Requirements and limitations. Interim operating authority granted under this section—
(1) Shall provide annual authorization only for the greater of—
(i) The number of flights used by the operator to provide the commercial air tour operations within the 12-month period prior to April 5, 2000; or
(ii) The average number of flights per 12-month period used by the operator to provide such operations within the 36-month period prior to April 5, 2000, and for seasonal operations, the number of flights so used during the season or seasons covered by that 12-month period;
(2) May not provide for an increase in the number of commercial air tour operations conducted during any time period by the commercial air tour operator above the number the air tour operator was originally granted unless such an increase is agreed to by the Administrator and the Director;
(3) Shall be published in the
(4) May be revoked by the Administrator for cause;
(5) Shall terminate 180 days after the date on which an air tour management plan is established for the park and tribal lands;
(6) Shall promote protection of national park resources, visitor experiences, and tribal lands;
(7) Shall promote safe commercial air tour operations;
(8) Shall promote the adoption of quiet technology, as appropriate, and
(9) Shall allow for modifications of the interim operating authority based on experience if the modification improves protection of national park resources and values and of tribal lands.
(c) New entrant operators. The Administrator, in cooperation with the Director, may grant interim operating authority under this paragraph (c) to an air tour operator for a national park or tribal lands for which that operator is a new entrant air tour operator if the Administrator determines the authority is necessary to ensure competition in the provision of commercial air tour operations over the park or tribal lands.
(1) Limitation. The Administrator may not grant interim operating authority under this paragraph (c) if the Administrator determines that it would create a safety problem at the park or on the tribal lands, or if the Director determines that it would create a noise problem at the park or on the tribal lands.
(2) ATMP limitation. The Administrator may grant interim operating authority under this paragraph (c) only if the ATMP for the park or tribal lands to which the application relates has not been developed within 24 months after April 5, 2000.
(a) Except as provided in paragraph (b) of this section, this subpart prescribes operating rules for air tour flights conducted in airplanes, powered-lift, or rotorcraft under visual flight rules in the State of Hawaii pursuant to parts 91, 121, and 135 of this chapter.
(b) This subpart does not apply to:
(1) Operations conducted under part 121 of this chapter in airplanes with a passenger seating configuration of more than 30 seats or a payload capacity of more than 7,500 pounds.
(2) Flights conducted in gliders or hot air balloons.
For the purposes of this subpart:
Air tour means any sightseeing flight conducted under visual flight rules in an airplane, powered-lift, or rotorcraft for compensation or hire.
Air tour operator means any person who conducts an air tour.
(a) Flotation equipment. No person may conduct an air tour in Hawaii in a single-engine rotorcraft beyond the shore of any island, regardless of whether the rotorcraft is within gliding distance of the shore, unless:
(1) The rotorcraft is amphibious or is equipped with floats adequate to accomplish a safe emergency ditching and approved flotation gear is easily accessible for each occupant; or
(2) Each person on board the rotorcraft is wearing approved flotation gear.
(b) Performance plan. Each operator must complete a performance plan that meets the requirements of this paragraph (b) before each air tour flight conducted in a rotorcraft.
(1) The performance plan must be based on information from the current approved aircraft flight manual for that aircraft, considering the maximum density altitude for which the operation is planned to determine the following:
(i) Maximum gross weight and center of gravity (CG) limitations for hovering in ground effect;
(ii) Maximum gross weight and CG limitations for hovering out of ground effect; and
(iii) Maximum combination of weight, altitude, and temperature for which height-velocity information from the performance data is valid.
(2) The pilot in command (PIC) must comply with the performance plan.
(c) Operating limitations. Except for approach to and transition from a hover, and except for the purpose of takeoff and landing, the PIC of a rotorcraft may only operate such aircraft at a combination of height and forward speed (including hover) that would permit a safe landing in event of engine power loss, in accordance with the height-speed envelope for that rotorcraft under current weight and aircraft altitude.
(d) Minimum flight altitudes. Except when necessary for takeoff and landing, or operating in compliance with an air traffic control clearance, or as otherwise authorized by the Administrator, no person may conduct an air tour in Hawaii:
(1) Below an altitude of 1,500 feet above the surface over all areas of the State of Hawaii;
(2) Closer than 1,500 feet to any person or property; or
(3) Below any altitude prescribed by Federal statute or regulation.
(e) Passenger briefing. Before takeoff, each PIC of an air tour flight of Hawaii with a flight segment beyond the ocean shore of any island shall ensure that each passenger has been briefed on the following, in addition to requirements set forth in § 91.107, § 121.571, or § 135.117 of this chapter:
(1) Water ditching procedures;
(2) Use of required flotation equipment; and
(3) Emergency egress from the aircraft in event of a water landing.
(a) This part prescribes rules governing—
(1) Agricultural aircraft operations within the United States; and
(2) The issue of commercial and private agricultural aircraft operator certificates for those operations.
(b) In a public emergency, a person conducting agricultural aircraft operations under this part may, to the extent necessary, deviate from the operating rules of this part for relief and welfare activities approved by an agency of the United States or of a State or local government.
(c) Each person who, under the authority of this section, deviates from a rule of this part shall, within 10 days after the deviation send to the responsible Flight Standards office a complete report of the aircraft operation involved, including a description of the operation and the reasons for it.
For the purposes of this part—
Agricultural aircraft operation means the operation of an aircraft for the purpose of (1) dispensing any economic poison, (2) dispensing any other substance intended for plant nourishment, soil treatment, propagation of plant life, or pest control, or (3) engaging in dispensing activities directly affecting agriculture, horticulture, or forest preservation, but not including the dispensing of live insects.
Economic poison means (1) any substance or mixture of substances intended for preventing, destroying, repelling, or mitigating any insects, rodents, nematodes, fungi, weeds, and other forms of plant or animal life or viruses, except viruses on or in living man or other animals, which the Secretary of Agriculture shall declare to be a pest, and (2) any substance or mixture of substances intended for use as a plant regulator, defoliant or desiccant.
(a) Except as provided in paragraphs (c) and (d) of this section, no person may conduct agricultural aircraft operations without, or in violation of, an agricultural aircraft operator certificate issued under this part.
(b) Notwithstanding part 133 of this chapter, an operator may, if he complies with this part, conduct agricultural aircraft operations with a rotorcraft with external dispensing equipment in place without a rotorcraft external-load operator certificate.
(c) A Federal, State, or local government conducting agricultural aircraft operations with public aircraft need not comply with this subpart.
(d) The holder of a rotorcraft external-load operator certificate under part 133 of this chapter conducting an agricultural aircraft operation, involving only the dispensing of water on forest fires by rotorcraft external-load means, need not comply with this subpart.
An application for an agricultural aircraft operator certificate is made on a form and in a manner prescribed by the Administrator, and filed with the responsible Flight Standards office for the area in which the applicant's home base of operations is located.
(a) An agricultural aircraft operator certificate may be amended—
(1) On the Administrator's own initiative, under section 609 of the Federal Aviation Act of 1958 (49 U.S.C. 1429) and part 13 of this chapter; or
(2) Upon application by the holder of that certificate.
(b) An application to amend an agricultural aircraft operator certificate is submitted on a form and in a manner prescribed by the Administrator. The applicant must file the application with the responsible Flight Standards office for the area in which the applicant's home base of operations is located at least 15 days before the date that it proposes the amendment become effective, unless a shorter filing period is approved by that office.
(c) The responsible Flight Standards office grants a request to amend a certificate if it determines that safety in air commerce and the public interest so allow.
(d) Within 30 days after receiving a refusal to amend, the holder may petition the Executive Director, Flight Standards Service, to reconsider the refusal.
(a) General. An applicant for a private agricultural aircraft operator certificate is entitled to that certificate if he shows that he meets the requirements of paragraphs (b), (d), and (e) of this section. An applicant for a commercial agricultural aircraft operator certificate is entitled to that certificate if he shows that he meets the requirements of paragraphs (c), (d), and (e) of this section. However, if an applicant applies for an agricultural aircraft operator certificate containing a prohibition against the dispensing of economic poisons, that applicant is not required to demonstrate the knowledge required in paragraphs (e)(1) (ii) through (iv) of this section.
(b) Private operator—pilot. The applicant must hold a current U.S. private, commercial, or airline transport pilot certificate and be properly rated for the aircraft to be used.
(c) Commercial operator—pilots. The applicant must have available the services of at least one person who holds a current U.S. commercial or airline transport pilot certificate and who is properly rated for the aircraft to be used. The applicant himself may be the person available.
(d) Aircraft. The applicant must have at least one certificated and airworthy aircraft, equipped for agricultural operation.
(e) Knowledge and skill tests. The applicant must show, or have the person who is designated as the chief supervisor of agricultural aircraft operations for him show, that he has satisfactory knowledge and skill regarding agricultural aircraft operations, as described in paragraphs (e) (1) and (2) of this section.
(1) The test of knowledge consists of the following:
(i) Steps to be taken before starting operations, including survey of the area to be worked.
(ii) Safe handling of economic poisons and the proper disposal of used containers for those poisons.
(iii) The general effects of economic poisons and agricultural chemicals on plants, animals, and persons, with emphasis on those normally used in the areas of intended operations; and the precautions to be observed in using poisons and chemicals.
(iv) Primary symptoms of poisoning of persons from economic poisons, the appropriate emergency measures to be taken, and the location of poison control centers.
(v) Performance capabilities and operating limitations of the aircraft to be used.
(vi) Safe flight and application procedures.
(2) The test of skill consists of the following maneuvers that must be shown in any of the aircraft specified in paragraph (d) of this section, and at that aircraft's maximum certificated take-off weight, or the maximum weight established for the special purpose load, whichever is greater:
(i) Short-field and soft-field takeoffs (airplanes and gyroplanes only).
(ii) Approaches to the working area.
(iii) Flare-outs.
(iv) Swath runs.
(v) Pullups and turnarounds.
(vi) Rapid deceleration (quick stops) in helicopters only.
An agricultural aircraft operator certificate is effective until it is surrendered, suspended, or revoked. The holder of an agricultural aircraft operator certificate that is suspended or revoked shall return it to the Administrator.
If the holder of a certificate issued under this part permits any aircraft owned or leased by that holder to be engaged in any operation that the certificate holder knows to be in violation of § 91.19(a) of this chapter, that operation is a basis for suspending or revoking the certificate.
(a) Except as provided in paragraphs (d) and (e) of this section, this subpart prescribes rules that apply to persons and aircraft used in agricultural aircraft operations conducted under this part.
(b) [Reserved]
(c) The holder of an agricultural aircraft operator certificate may deviate from the provisions of part 91 of this chapter without a certificate of waiver, as authorized in this subpart for dispensing operations, when conducting nondispensing aerial work operations related to agriculture, horticulture, or forest preservation in accordance with the operating rules of this subpart.
(d) Sections 137.31 through 137.35, §§ 137.41, and 137.53 through 137.59 do not apply to persons and aircraft used in agricultural aircraft operations conducted with public aircraft.
(e) Sections 137.31 through 137.35, §§ 137.39, 137.41, 137.51 through 137.59, and subpart D do not apply to persons and rotorcraft used in agricultural aircraft operations conducted by a person holding a certificate under part 133 of this chapter and involving only the dispensing of water on forest fires by rotorcraft external-load means. However, the operation shall be conducted in accordance with—
(1) The rules of part 133 of this chapter governing rotorcraft external-load operations; and
(2) The operating rules of this subpart contained in §§ 137.29, 137.37, and §§ 137.43 through 137.49.
No person may operate an aircraft unless that aircraft—
(a) Meets the requirements of § 137.19(d); and
(b) Is equipped with a suitable and properly installed shoulder harness for use by each pilot.
(a) No person may operate an aircraft unless a facsimile of the agricultural aircraft operator certificate, under which the operation is conducted, is carried on that aircraft. The facsimile shall be presented for inspection upon the request of the Administrator or any Federal, State, or local law enforcement officer.
(b) Notwithstanding part 91 of this chapter, the registration and airworthiness certificates issued for the aircraft need not be carried in the aircraft. However, when those certificates are not carried in the aircraft they shall be kept available for inspection at the base from which the dispensing operation is conducted.
No person may conduct an agricultural aircraft operation under the authority of a private agricultural aircraft operator certificate—
(a) For compensation or hire;
(b) Over a congested area; or
(c) Over any property unless he is the owner or lessee of the property, or has ownership or other property interest in the crop located on that property.
No persons may dispense, or cause to be dispensed, from an aircraft, any material or substance in a manner that creates a hazard to persons or property on the surface.
(a) Except as provided in paragraph (b) of this section, no person may dispense or cause to be dispensed from an aircraft, any economic poison that is registered with the U.S. Department of Agriculture under the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 135-135k)—
(1) For a use other than that for which it is registered;
(2) Contrary to any safety instructions or use limitations on its label; or
(3) In violation of any law or regulation of the United States.
(b) This section does not apply to any person dispensing economic poisons for experimental purposes under—
(1) The supervision of a Federal or State agency authorized by law to conduct research in the field of economic poisons; or
(2) A permit from the U.S. Department of Agriculture issued pursuant to the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 135-135k).
(a) Except as specified in paragraph (c) of this section, no certificate holder may knowingly employ or make a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual, in the preceding 2 years—
(1) Served as, or was directly responsible for the oversight of, a Flight Standards Service aviation safety inspector; and
(2) Had direct responsibility to inspect, or oversee the inspection of, the operations of the certificate holder.
(b) For the purpose of this section, an individual shall be considered to be acting as an agent or representative of a certificate holder in a matter before the agency if the individual makes any written or oral communication on behalf of the certificate holder to the agency (or any of its officers or employees) in connection with a particular matter, whether or not involving a specific party and without regard to whether the individual has participated in, or had responsibility for, the particular matter while serving as a Flight Standards Service aviation safety inspector.
(c) The provisions of this section do not prohibit a certificate holder from knowingly employing or making a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual was employed by the certificate holder before October 21, 2011.
(a) Information. The holder of an agricultural aircraft operator certificate shall insure that each person used in the holder's agricultural aircraft operation is informed of that person's duties and responsibilities for the operation.
(b) Supervisors. No person may supervise an agricultural aircraft operation unless he has met the knowledge and skill requirements of § 137.19(e).
(c) Pilot in command. No person may act as pilot in command of an aircraft unless he holds a pilot certificate and rating prescribed by § 137.19 (b) or (c), as appropriate to the type of operation conducted. In addition, he must demonstrate to the holder of the Agricultural Aircraft Operator Certificate conducting the operation that he has met the knowledge and skill requirements of § 137.19(e). If the holder of that certificate has designated a person under § 137.19(e) to supervise his agricultural aircraft operations the demonstration must be made to the person so designated. However, a demonstration of the knowledge and skill requirement is not necessary for any pilot in command who—
(1) Is, at the time of the filing of an application by an agricultural aircraft operator, working as a pilot in command for that operator; and
(2) Has a record of operation under that applicant that does not disclose any question regarding the safety of his flight operations or his competence in dispensing agricultural materials or chemicals.
No person may operate an aircraft in operations required to be conducted under part 137 without a safety belt and shoulder harness properly secured about that person except that the shoulder harness need not be fastened if that person would be unable to perform required duties with the shoulder harness fastened.
(a) Except for flights to and from a dispensing area, no person may operate an aircraft within the lateral boundaries of the surface area of Class D airspace designated for an airport unless authorization for that operation has been obtained from the ATC facility having jurisdiction over that area.
(b) No person may operate an aircraft in weather conditions below VFR minimums within the lateral boundaries of a Class E airspace area that extends upward from the surface unless authorization for that operation has been obtained from the ATC facility having jurisdiction over that area.
(c) Notwithstanding § 91.157(b)(4) of this chapter, an aircraft may be operated under the special VFR weather minimums without meeting the requirements prescribed therein.
Notwithstanding part 91 of this chapter, the pilot in command of an aircraft may deviate from an airport traffic pattern when authorized by the control tower concerned. At an airport without a functioning control tower, the pilot in command may deviate from the traffic pattern if—
(a) Prior coordination is made with the airport management concerned;
(b) Deviations are limited to the agricultural aircraft operation;
(c) Except in an emergency, landing and takeoffs are not made on ramps, taxiways, or other areas of the airport not intended for such use; and
(d) The aircraft at all times remains clear of, and gives way to, aircraft conforming to the traffic pattern for the airport.
Notwithstanding part 91 of this chapter, an aircraft may be operated without position lights if prominent unlighted objects are visible for at least 1 mile and takeoffs and landings at—
(a) Airports with a functioning control tower are made only as authorized by the control tower operator; and
(b) Other airports are made only with the permission of the airport management and no other aircraft operations requiring position lights are in progress at that airport.
Notwithstanding part 91 of this chapter, during the actual dispensing operation, including approaches, departures, and turnarounds reasonably necessary for the operation, an aircraft may be operated over other than congested areas below 500 feet above the surface and closer than 500 feet to persons, vessels, vehicles, and structures, if the operations are conducted without creating a hazard to persons or property on the surface.
(a) Notwithstanding part 91 of this chapter, an aircraft may be operated over a congested area at altitudes required for the proper accomplishment of the agricultural aircraft operation if the operation is conducted—
(1) With the maximum safety to persons and property on the surface, consistent with the operation; and
(2) In accordance with the requirements of paragraph (b) of this section.
(b) No person may operate an aircraft over a congested area except in accordance with the requirements of this paragraph.
(1) Prior written approval must be obtained from the appropriate official or governing body of the political subdivision over which the operations are conducted.
(2) Notice of the intended operation must be given to the public by some effective means, such as daily newspapers, radio, television, or door-to-door notice.
(3) A plan for each complete operation must be submitted to, and approved by appropriate personnel of the responsible Flight Standards office for the area where the operation is to be conducted. The plan must include consideration of obstructions to flight; the emergency landing capabilities of the aircraft to be used; and any necessary coordination with air traffic control.
(4) Single engine aircraft must be operated as follows:
(i) Except for helicopters, no person may take off a loaded aircraft, or make a turnaround over a congested area.
(ii) No person may operate an aircraft over a congested area below the altitudes prescribed in part 91 of this chapter except during the actual dispensing operation, including the approaches and departures necessary for that operation.
(iii) No person may operate an aircraft over a congested area during the actual dispensing operation, including the approaches and departures for that operation, unless it is operated in a pattern and at such an altitude that the aircraft can land, in an emergency, without endangering persons or property on the surface.
(5) Multiengine aircraft must be operated as follows:
(i) No person may take off a multiengine airplane over a congested area except under conditions that will allow the airplane to be brought to a safe stop within the effective length of the runway from any point on takeoff up to the time of attaining, with all engines operating at normal takeoff power, 105 percent of the minimum control speed with the critical engine inoperative in the takeoff configuration or 115 percent of the power-off stall speed in the takeoff configuration, whichever is greater, as shown by the accelerate stop distance data. In applying this requirement, takeoff data is based upon still-air conditions, and no correction is made for any uphill gradient of 1 percent or less when the percentage is measured as the difference between elevation at the end points of the runway divided by the total length. For uphill gradients greater than 1 percent, the effective takeoff length of the runway is reduced 20 percent for each 1-percent grade.
(ii) No person may operate a multiengine airplane at a weight greater than the weight that, with the critical engine inoperative, would permit a rate of climb of at least 50 feet per minute at an altitude of at least 1,000 feet above the elevation of the highest ground or obstruction within the area to be worked or at an altitude of 5,000 feet, whichever is higher. For the purposes of this subdivision, it is assumed that the propeller of the inoperative engine is in the minimum drag position; that the wing flaps and landing gear are in the most favorable positions; and that the remaining engine or engines are operating at the maximum continuous power available.
(iii) No person may operate any multiengine aircraft over a congested area below the altitudes prescribed in part 91 of this chapter except during the actual dispensing operation, including the approaches, departures, and turnarounds necessary for that operation.
(a) General. No person may operate an aircraft over a congested area except in accordance with the pilot and aircraft rules of this section.
(b) Pilots. Each pilot in command must have at least—
(1) 25 hours of pilot-in-command flight time in the make and basic model of the aircraft, at least 10 hours of which must have been acquired within the preceding 12 calendar months; and
(2) 100 hours of flight experience as pilot in command in dispensing agricultural materials or chemicals.
(c) Aircraft. (1) Each aircraft must—(i) If it is an aircraft not specified in paragraph (c)(1)(ii) of this section, have had within the preceding 100 hours of time in service a 100-hour or annual inspection by a person authorized by part 65 or 145 of this chapter, or have been inspected under a progressive inspection system; and
(ii) If it is a large or turbine-powered multiengine civil airplane of U.S. registry, have been inspected in accordance with the applicable inspection program requirements of § 91.409 of this chapter.
(2) If other than a helicopter, it must be equipped with a device capable of jettisoning at least one-half of the aircraft's maximum authorized load of agricultural material within 45 seconds. If the aircraft is equipped with a device for releasing the tank or hopper as a unit, there must be a means to prevent inadvertent release by the pilot or other crewmember.
No person may operate under a business name that is not shown on his commercial agricultural aircraft operator certificate.
Each holder of an agricultural aircraft operator certificate shall keep that certificate at his home base of operations and shall present it for inspection on the request of the Administrator or any Federal, State, or local law enforcement officer.
Each holder of an agricultural aircraft operator certificate shall allow the Administrator at any time and place to make inspections, including on-the-job inspections, to determine compliance with applicable regulations and his agricultural aircraft operator certificate.
(a) Each holder of a commercial agricultural aircraft operator certificate shall maintain and keep current, at the home base of operations designated in his application, the following records:
(1) The name and address of each person for whom agricultural aircraft services were provided;
(2) The date of the service;
(3) The name and quantity of the material dispensed for each operation conducted; and
(4) The name, address, and certificate number of each pilot used in agricultural aircraft operations and the date that pilot met the knowledge and skill requirements of § 137.19(e).
(b) The records required by this section must be kept at least 12 months and made available for inspection by the Administrator upon request.
Each holder of an agricultural aircraft operator certificate shall notify the FAA in writing in advance of any change in the address of his home base of operations.
Whenever a person holding an agricultural aircraft operator certificate ceases operations under this part, he shall surrender that certificate to the responsible Flight Standards office last having jurisdiction over his operation.
(a) This part prescribes rules governing the certification and operation of airports in any State of the United States, the District of Columbia, or any territory or possession of the United States serving any—
(1) Scheduled passenger-carrying operations of an air carrier operating aircraft configured for more than 9 passenger seats, as determined by the regulations under which the operation is conducted or the aircraft type certificate issued by a competent civil aviation authority; and
(2) Unscheduled passenger-carrying operations of an air carrier operating aircraft configured for at least 31 passenger seats, as determined by the regulations under which the operation is conducted or the aircraft type certificate issued by a competent civil aviation authority.
(b) This part applies to those portions of a joint-use or shared-use airport that are within the authority of a person serving passenger-carrying operations defined in paragraphs (a)(1) and (a)(2) of this section.
(c) This part does not apply to—
(1) Airports serving scheduled air carrier operations only by reason of being designated as an alternate airport;
(2) Airports operated by the United States;
(3) Airports located in the State of Alaska that only serve scheduled operations of small air carrier aircraft and do not serve scheduled or unscheduled operations of large air carrier aircraft;
(4) Airports located in the State of Alaska during periods of time when not serving operations of large air carrier aircraft; or
(5) Heliports.
The authority of the Administrator to issue, deny, and revoke Airport Operating Certificates is delegated to the Associate Administrator for Airports, Director of Airport Safety and Standards, and Regional Airports Division Managers.
The following are definitions of terms used in this part:
Accountable executive means an individual designated by the certificate holder to act on its behalf for the implementation and maintenance of the Airport Safety Management System. The accountable executive has control of the certificate holder's human and financial resources for operations conducted under an Airport Operating Certificate. The accountable executive has ultimate responsibility to the FAA, on behalf of the certificate holder, for the safety performance of operations conducted under the certificate holder's Airport Operating Certificate.
AFFF means aqueous film forming foam agent.
Air carrier aircraft means an aircraft that is being operated by an air carrier and is categorized as either a large air carrier aircraft if designed for at least 31 passenger seats or a small air carrier aircraft if designed for more than 9 passenger seats but less than 31 passenger seats, as determined by the aircraft type certificate issued by a competent civil aviation authority.
Air carrier operation means the takeoff or landing of an air carrier aircraft and includes the period of time from 15 minutes before until 15 minutes after the takeoff or landing.
Airport means an area of land or other hard surface, excluding water, that is used or intended to be used for the landing and takeoff of aircraft, including any buildings and facilities.
Airport Operating Certificate means a certificate, issued under this part, for operation of a Class I, II, III, or IV airport.
Airport Safety Management System (SMS) means an integrated collection of processes and procedures that ensures a formalized and proactive approach to system safety through risk management.
Average daily departures means the average number of scheduled departures per day of air carrier aircraft computed on the basis of the busiest 3 consecutive calendar months of the immediately preceding 12 consecutive calendar months. However, if the average daily departures are expected to increase, then “average daily departures” may be determined by planned rather than current activity, in a manner authorized by the Administrator.
Certificate holder means the holder of an Airport Operating Certificate issued under this part.
Class I airport means an airport certificated to serve scheduled operations of large air carrier aircraft that can also serve unscheduled passenger operations of large air carrier aircraft and/or scheduled operations of small air carrier aircraft.
Class II airport means an airport certificated to serve scheduled operations of small air carrier aircraft and the unscheduled passenger operations of large air carrier aircraft. A Class II airport cannot serve scheduled large air carrier aircraft.
Class III airport means an airport certificated to serve scheduled operations of small air carrier aircraft. A Class III airport cannot serve scheduled or unscheduled large air carrier aircraft.
Class IV airport means an airport certificated to serve unscheduled passenger operations of large air carrier aircraft. A Class IV airport cannot serve scheduled large or small air carrier aircraft.
Clean agent means an electrically nonconducting volatile or gaseous fire extinguishing agent that does not leave a residue upon evaporation and has been shown to provide extinguishing action equivalent to halon 1211 under test protocols of FAA Technical Report DOT/FAA/AR-95/87.
Hazard means a condition that could foreseeably cause or contribute to: (1) injury, illness, death, damage to or loss of system, equipment, or property, or (2) an aircraft accident as defined in 49 CFR 830.2.
Heliport means an airport, or an area of an airport, used or intended to be used for the landing and takeoff of helicopters.
Index means the type of aircraft rescue and firefighting equipment and quantity of fire extinguishing agent that the certificate holder must provide in accordance with § 139.315.
Joint-use airport means an airport owned by the Department of Defense, at which both military and civilian aircraft make shared use of the airfield.
Movement area means the runways, taxiways, and other areas of an airport that are used for taxiing, takeoff, and landing of aircraft, exclusive of loading ramps and aircraft parking areas.
Non-movement area means the area, other than that described as the movement area, used for the loading, unloading, parking, and movement of aircraft on the airside of the airport (including ramps, apron areas, and on-airport fuel farms).
Regional Airports Division Manager means the airports division manager for the FAA region in which the airport is located.
Risk means the composite of predicted severity and likelihood of the potential effect of a hazard.
Risk analysis means the process whereby a hazard is characterized for its likelihood and the severity of its effect or harm. Risk analysis can be either a quantitative or qualitative analysis; however, the inability to quantify or the lack of historical data on a particular hazard does not preclude the need for analysis.
Risk mitigation means any action taken to reduce the risk of a hazard's effect.
Safety area means a defined area comprised of either a runway or taxiway and the surrounding surfaces that is prepared or suitable for reducing the risk of damage to aircraft in the event of an undershoot, overshoot, or excursion from a runway or the unintentional departure from a taxiway.
Safety assurance means processes within the SMS that function systematically to ensure the performance and effectiveness of risk controls or mitigations and that the organization meets or exceeds its safety objectives through the collection, analysis, and assessment of information.
Safety policy means the certificate holder's documented commitment to safety, which defines its safety objectives and the accountabilities and responsibilities of its employees in regard to safety.
Safety promotion means a combination of training and communication of safety information to support the implementation and operation of a SMS in an organization.
Safety risk management means a process within the SMS composed of describing the system, identifying the hazards, and analyzing, assessing, and controlling or mitigating the risk.
Scheduled operation means any common carriage passenger-carrying operation for compensation or hire conducted by an air carrier for which the air carrier or its representatives offers in advance the departure location, departure time, and arrival location. It does not include any operation that is conducted as a supplemental operation under 14 CFR part 121 or public charter operations under 14 CFR part 380.
Shared-use airport means a U.S. Government-owned airport that is co-located with an airport specified under § 139.1(a) and at which portions of the movement areas and safety areas are shared by both parties.
Unscheduled operation means any common carriage passenger-carrying operation for compensation or hire, using aircraft designed for at least 31 passenger seats, conducted by an air carrier for which the departure time, departure location, and arrival location are specifically negotiated with the customer or the customer's representative. It includes any passenger-carrying supplemental operation conducted under 14 CFR part 121 and any passenger-carrying public charter operation conducted under 14 CFR part 380.
Wildlife hazard means a potential for a damaging aircraft collision with wildlife on or near an airport. As used in this part, “wildlife” includes feral animals and domestic animals out of the control of their owners.
Special Statutory Requirement To Operate to or From a Part 139 Airport. Each air carrier that provides—in an aircraft designed for more than 9 passenger seats—regularly scheduled charter air transportation for which the public is provided in advance a schedule containing the departure location, departure time, and arrival location of the flight must operate to and from an airport certificated under part 139 of this chapter in accordance with 49 U.S.C. 41104(b). That statutory provision contains stand-alone requirements for such air carriers and special exceptions for operations in Alaska and outside the United States. Certain operations by air carriers that conduct public charter operations under 14 CFR part 380 are covered by the statutory requirements to operate to and from part 139 airports. See 49 U.S.C. 41104(b).
Certificate holders must comply with requirements prescribed by subparts C and D of this part in a manner authorized by the Administrator. FAA Advisory Circulars contain methods and procedures for compliance with this part that are acceptable to the Administrator.
(a) Except as otherwise authorized by the Administrator, no person may operate an airport specified under § 139.1 of this part without an Airport Operating Certificate or in violation of that certificate, the applicable provisions, or the approved Airport Certification Manual.
(b) Each certificate holder shall adopt and comply with an Airport Certification Manual as required under § 139.203.
Each applicant for an Airport Operating Certificate must—
(a) Prepare and submit an application, in a form and in the manner prescribed by the Administrator, to the Regional Airports Division Manager.
(b) Submit with the application, two copies of an Airport Certification Manual, and a Safety Management System Manual (where applicable), prepared in accordance with subparts C and E of this part.
Each applicant for, or holder of, an Airport Operating Certificate must allow the Administrator to make any inspections, including unannounced inspections, or tests to determine compliance with 49 U.S.C. 44706 and the requirements of this part.
An applicant for an Airport Operating Certificate is entitled to a certificate if—
(a) The applicant provides written documentation that air carrier service will begin on a date certain.
(b) The applicant meets the provisions of § 139.103.
(c) The Administrator, after investigation, finds the applicant is properly and adequately equipped and able to provide a safe airport operating environment in accordance with—
(1) Any limitation that the Administrator finds necessary to ensure safety in air transportation.
(2) The requirements of the Airport Certification Manual, as specified under § 139.203.
(3) Any other provisions of this part that the Administrator finds necessary to ensure safety in air transportation.
(d) The Administrator approves the Airport Certification Manual.
An Airport Operating Certificate issued under this part is effective until the certificate holder surrenders it or the certificate is suspended or revoked by the Administrator.
(a) An applicant or a certificate holder may petition the Administrator under 14 CFR part 11, General Rulemaking Procedures, of this chapter for an exemption from any requirement of this part.
(b) Under 49 U.S.C. 44706(c), the Administrator may exempt an applicant or a certificate holder that enplanes annually less than one-quarter of 1 percent of the total number of passengers enplaned at all air carrier airports from all, or part, of the aircraft rescue and firefighting equipment requirements of this part on the grounds that compliance with those requirements is, or would be, unreasonably costly, burdensome, or impractical.
(1) Each petition filed under this paragraph must—
(i) Be submitted in writing at least 120 days before the proposed effective date of the exemption;
(ii) Set forth the text of §§ 139.317 or 139.319 from which the exemption is sought;
(iii) Explain the interest of the certificate holder in the action requested, including the nature and extent of relief sought; and
(iv) Contain information, views, or arguments that demonstrate that the requirements of §§ 139.317 or 139.319 would be unreasonably costly, burdensome, or impractical.
(2) Information, views, or arguments provided under paragraph (b)(1) of this section shall include the following information pertaining to the airport for which the Airport Operating Certificate is held:
(i) An itemized cost to comply with the requirement from which the exemption is sought;
(ii) Current staffing levels;
(iii) The current annual financial report, such as a single audit report or FAA Form 5100-127, Operating and Financial Summary;
(iv) Annual passenger enplanement data for the previous 12 calendar months;
(v) The type and frequency of air carrier operations served;
(vi) A history of air carrier service;
(vii) Anticipated changes to air carrier service;
(c) Each petition filed under this section must be submitted in duplicate to the—
(1) Regional Airports Division Manager and
(2) Federal Docket Management System, as specified under 14 CFR part 11.
In emergency conditions requiring immediate action for the protection of life or property, the certificate holder may deviate from any requirement of subpart D of this part, or the Airport Certification Manual, to the extent required to meet that emergency. Each certificate holder who deviates from a requirement under this section must, within 14 days after the emergency, notify the Regional Airports Division Manager of the nature, extent, and duration of the deviation. When requested by the Regional Airports Division Manager, the certificate holder must provide this notification in writing.
(a) No person may operate an airport subject to this part unless that person adopts and complies with an Airport Certification Manual, as required under this part, that—
(1) Has been approved by the Administrator;
(2) Contains only those items authorized by the Administrator;
(3) Is in printed form and signed by the certificate holder acknowledging the certificate holder's responsibility to operate the airport in compliance with the Airport Certification Manual approved by the Administrator; and
(4) Is in a form that is easy to revise and organized in a manner helpful to the preparation, review, and approval processes, including a revision log. In addition, each page or attachment must include the date of the Administrator's initial approval or approval of the latest revision.
(b) Each holder of an Airport Operating Certificate must—
(1) Keep its Airport Certification Manual current at all times;
(2) Maintain at least one complete and current copy of its approved Airport Certification Manual on the airport, which will be available for inspection by the Administrator; and
(3) Furnish the applicable portions of the approved Airport Certification Manual to airport personnel responsible for its implementation.
(c) Each certificate holder must ensure that the Regional Airports Division Manager is provided a complete copy of its most current approved Airport Certification Manual, as specified under paragraph (b)(2) of this section, including any amendments approved under § 139.205.
(d) FAA Advisory Circulars contain methods and procedures for the development of Airport Certification Manuals that are acceptable to the Administrator.
(a) Except as otherwise authorized by the Administrator, each certificate holder must include in the Airport Certification Manual a description of operating procedures, facilities and equipment, responsibility assignments, and any other information needed by personnel concerned with operating the airport in order to comply with applicable provisions of subpart D of this part and paragraph (b) of this section.
(b) Except as otherwise authorized by the Administrator, the certificate holder must include in the Airport Certification Manual the following elements, as appropriate for its class:
Required Airport Certification Manual Elements
| Manual elements | Airport certificate class | |||
|---|---|---|---|---|
| Class I | Class II | Class III | Class IV | |
| 1. Lines of succession of airport operational responsibility | X | X | X | X |
| 2. Each current exemption issued to the airport from the requirements of this part | X | X | X | X |
| 3. Any limitations imposed by the Administrator | X | X | X | X |
| 4. A grid map or other means of identifying locations and terrain features on and around the airport that are significant to emergency operations | X | X | X | X |
| 5. The location of each obstruction required to be lighted or marked within the airport's area of authority | X | X | X | X |
| 6. A description of each movement area available for air carriers and its safety areas, and each road described in § 139.319(k) that serves it | X | X | X | X |
| 7. Procedures for avoidance of interruption or failure during construction work of utilities serving facilities or NAVAIDS that support air carrier operations | X | X | X | |
| 8. A description of the system for maintaining records, as required under § 139.301 | X | X | X | X |
| 9. A description of personnel training, as required under § 139.303 | X | X | X | X |
| 10. Procedures for maintaining the paved areas, as required under § 139.305 | X | X | X | X |
| 11. Procedures for maintaining the unpaved areas, as required under § 139.307 | X | X | X | X |
| 12. Procedures for maintaining the safety areas, as required under § 139.309 | X | X | X | X |
| 13. A plan showing the runway and taxiway identification system, including the location and inscription of signs, runway markings, and holding position markings, as required under § 139.311 | X | X | X | X |
| 14. A description of, and procedures for maintaining, the marking, signs, and lighting systems, as required under § 139.311 | X | X | X | X |
| 15. A snow and ice control plan, as required under § 139.313 | X | X | X | |
| 16. A description of the facilities, equipment, personnel, and procedures for meeting the aircraft rescue and firefighting requirements, in accordance with §§ 139.315, 139.317 and 139.319 | X | X | X | X |
| 17. A description of any approved exemption to aircraft rescue and firefighting requirements, as authorized under § 139.111 | X | X | X | X |
| 18. Procedures for protecting persons and property during the storing, dispensing, and handling of fuel and other hazardous substances and materials, as required under § 139.321 | X | X | X | X |
| 19. A description of, and procedures for maintaining, the traffic and wind direction indicators, as required under § 139.323 | X | X | X | X |
| 20. An emergency plan as required under § 139.325 | X | X | X | X |
| 21. Procedures for conducting the self-inspection program, as required under § 139.327 | X | X | X | X |
| 22. Procedures for controlling pedestrians and ground vehicles in movement areas and safety areas, as required under § 139.329 | X | X | X | X |
| 23. Procedures for obstruction removal, marking, or lighting, as required under § 139.331 | X | X | X | X |
| 24. Procedures for protection of NAVAIDS, as required under § 139.333 | X | X | X | |
| 25. A description of public protection, as required under § 139.335 | X | X | X | |
| 26. Procedures for wildlife hazard management, as required under § 139.337 | X | X | X | |
| 27. Procedures for airport condition reporting, as required under § 139.339 | X | X | X | X |
| 28. Procedures for identifying, marking, and lighting construction and other unserviceable areas, as required under § 139.341 | X | X | X | |
| 29. Policies and procedures for the development of, implementation of, maintenance of, and adherence to, the Airport's Safety Management System, as required under subpart E of this part. Section 139.401(1) prescribes which certificate holders are subject to this requirement. | X | X | X | X |
| 30. Any other item that the Administrator finds is necessary to ensure safety in air transportation | X | X | X | X |
(a) Under § 139.3, the Regional Airports Division Manager may amend any Airport Certification Manual approved under this part, either—
(1) Upon application by the certificate holder or
(2) On the Regional Airports Division Manager's own initiative, if the Regional Airports Division Manager determines that safety in air transportation requires the amendment.
(b) A certificate holder must submit in writing a proposed amendment to its Airport Certification Manual to the Regional Airports Division Manager at least 30 days before the proposed effective date of the amendment, unless a shorter filing period is allowed by the Regional Airports Division Manager.
(c) At any time within 30 days after receiving a notice of refusal to approve the application for amendment, the certificate holder may petition the Associate Administrator for Airports to reconsider the refusal to amend.
(d) In the case of amendments initiated by the FAA, the Regional Airports Division Manager notifies the certificate holder of the proposed amendment, in writing, fixing a reasonable period (but not less than 7 days) within which the certificate holder may submit written information, views, and arguments on the amendment. After considering all relevant material presented, the Regional Airports Division Manager notifies the certificate holder within 30 days of any amendment adopted or rescinds the notice. The amendment becomes effective not less than 30 days after the certificate holder receives notice of it, except that, prior to the effective date, the certificate holder may petition the Associate Administrator for Airports to reconsider the amendment, in which case its effective date is stayed pending a decision by the Associate Administrator for Airports.
(e) Notwithstanding the provisions of paragraph (d) of this section, if the Regional Airports Division Manager finds there is an emergency requiring immediate action with respect to safety in air transportation, the Regional Airports Division Manager may issue an amendment, effective without stay on the date the certificate holder receives notice of it. In such a case, the Regional Airports Division Manager incorporates the finding of the emergency and a brief statement of the reasons for the finding in the notice of the amendment. Within 30 days after the issuance of such an emergency amendment, the certificate holder may petition the Associate Administrator for Airports to reconsider either the finding of an emergency, the amendment itself, or both. This petition does not automatically stay the effectiveness of the emergency amendment.
In a manner authorized by the Administrator, each certificate holder must—
(a) Furnish upon request by the Administrator all records required to be maintained under this part.
(b) Maintain records required under this part as follows:
(1) Personnel training. Twenty-four consecutive calendar months for personnel training records and orientation materials, as required under §§ 139.303, 139.327, and 139.402(d).
(2) Emergency personnel training. Twenty-four consecutive calendar months for aircraft rescue and firefighting and emergency medical service personnel training records, as required under § 139.319.
(3) Airport fueling agent inspection. Twelve consecutive calendar months for records of inspection of airport fueling agents, as required under § 139.321.
(4) Fueling personnel training. Twelve consecutive calendar months for training records of fueling personnel, as required under § 139.321.
(5) Self-inspection. Twelve consecutive calendar months for self-inspection records, as required under § 139.327.
(6) Movement areas and safety areas training. Twenty-four consecutive calendar months for records of training given to pedestrians and ground vehicle operators with access to movement areas and safety areas, as required under § 139.329.
(7) Accident and incident. Twelve consecutive calendar months for each accident or incident in movement areas and safety areas involving an air carrier aircraft and/or ground vehicle, as required under § 139.329.
(8) Airport condition. Twelve consecutive calendar months for records of airport condition information dissemination, as required under § 139.339.
(9) Safety risk management documentation. The longer of thirty-six consecutive calendar months after the risk analysis of identified hazards under § 139.402(b)(2) has been completed, or twelve consecutive calendar months after mitigations required under § 139.402(b)(2)(v) have been completed.
(10) Safety communications. Twelve consecutive calendar months for safety communications, as required under § 139.402(d).
(c) Make and maintain any additional records required by the Administrator, this part, and the Airport Certification Manual.
In a manner authorized by the Administrator, each certificate holder must—
(a) Provide sufficient and qualified personnel to comply with the requirements of its Airport Certification Manual and the requirements of this part.
(b) Equip personnel with sufficient resources needed to comply with the requirements of this part.
(c) Train all persons who access movement areas and safety areas and perform duties in compliance with the requirements of the Airport Certification Manual and the requirements of this part. This training must be completed prior to the initial performance of such duties and at least once every 12 consecutive calendar months. The curriculum for initial and recurrent training must include at least the following areas:
(1) Airport familiarization, including airport marking, lighting, and signs system.
(2) Procedures for access to, and operation in, movement areas and safety areas, as specified under § 139.329.
(3) Airport communications, including radio communication between the air traffic control tower and personnel, use of the common traffic advisory frequency if there is no air traffic control tower or the tower is not in operation, and procedures for reporting unsafe airport conditions.
(4) Duties required under the Airport Certification Manual and the requirements of this part.
(5) Any additional subject areas required under §§ 139.319, 139.321, 139.327, 139.329, 139.337, and 139.339, as appropriate.
(d) Make a record of all training completed after June 9, 2004 by each individual in compliance with this section that includes, at a minimum, a description and date of training received. Such records must be maintained for 24 consecutive calendar months after completion of training.
(e) As appropriate, comply with the following training requirements of this part:
(1) § 139.319, Aircraft rescue and firefighting: Operational requirements;
(2) § 139.321, Handling and storage of hazardous substances and materials;
(3) § 139.327, Self-inspection program;
(4) § 139.329, Pedestrians and Ground Vehicles;
(5) § 139.337, Wildlife hazard management;
(6) § 139.339, Airport condition reporting; and
(7) § 139.402, Components of airport safety management system.
(f) Use an independent organization, or designee, to comply with the requirements of its Airport Certification Manual and the requirements of this part only if—
(1) Such an arrangement is authorized by the Administrator;
(2) A description of responsibilities and duties that will be assumed by an independent organization or designee is specified in the Airport Certification Manual; and
(3) The independent organization or designee prepares records required under this part in sufficient detail to assure the certificate holder and the Administrator of adequate compliance with the Airport Certification Manual and the requirements of this part.
(a) In a manner authorized by the Administrator, each certificate holder must maintain, and promptly repair the pavement of, each runway, taxiway, loading ramp, and parking area on the airport that is available for air carrier use as follows:
(1) The pavement edges must not exceed 3 inches difference in elevation between abutting pavement sections and between pavement and abutting areas.
(2) The pavement must have no hole exceeding 3 inches in depth nor any hole the slope of which from any point in the hole to the nearest point at the lip of the hole is 45 degrees or greater, as measured from the pavement surface plane, unless, in either case, the entire area of the hole can be covered by a 5-inch diameter circle.
(3) The pavement must be free of cracks and surface variations that could impair directional control of air carrier aircraft, including any pavement crack or surface deterioration that produces loose aggregate or other contaminants.
(4) Except as provided in paragraph (b) of this section, mud, dirt, sand, loose aggregate, debris, foreign objects, rubber deposits, and other contaminants must be removed promptly and as completely as practicable.
(5) Except as provided in paragraph (b) of this section, any chemical solvent that is used to clean any pavement area must be removed as soon as possible, consistent with the instructions of the manufacturer of the solvent.
(6) The pavement must be sufficiently drained and free of depressions to prevent ponding that obscures markings or impairs safe aircraft operations.
(b) Paragraphs (a)(4) and (a)(5) of this section do not apply to snow and ice accumulations and their control, including the associated use of materials, such as sand and deicing solutions.
(c) FAA Advisory Circulars contain methods and procedures for the maintenance and configuration of paved areas that are acceptable to the Administrator.
(a) In a manner authorized by the Administrator, each certificate holder must maintain and promptly repair the surface of each gravel, turf, or other unpaved runway, taxiway, or loading ramp and parking area on the airport that is available for air carrier use as follows:
(1) No slope from the edge of the full-strength surfaces downward to the existing terrain must be steeper than 2:1.
(2) The full-strength surfaces must have adequate crown or grade to assure sufficient drainage to prevent ponding.
(3) The full-strength surfaces must be adequately compacted and sufficiently stable to prevent rutting by aircraft or the loosening or build-up of surface material, which could impair directional control of aircraft or drainage.
(4) The full-strength surfaces must have no holes or depressions that exceed 3 inches in depth and are of a breadth capable of impairing directional control or causing damage to an aircraft.
(5) Debris and foreign objects must be promptly removed from the surface.
(b) FAA Advisory Circulars contain methods and procedures for the maintenance and configuration of unpaved areas that are acceptable to the Administrator.
(a) In a manner authorized by the Administrator, each certificate holder must provide and maintain, for each runway and taxiway that is available for air carrier use, a safety area of at least the dimensions that—
(1) Existed on December 31, 1987, if the runway or taxiway had a safety area on December 31, 1987, and if no reconstruction or significant expansion of the runway or taxiway was begun on or after January 1, 1988; or
(2) Are authorized by the Administrator at the time the construction, reconstruction, or expansion began if construction, reconstruction, or significant expansion of the runway or taxiway began on or after January 1, 1988.
(b) Each certificate holder must maintain its safety areas as follows:
(1) Each safety area must be cleared and graded and have no potentially hazardous ruts, humps, depressions, or other surface variations.
(2) Each safety area must be drained by grading or storm sewers to prevent water accumulation.
(3) Each safety area must be capable under dry conditions of supporting snow removal and aircraft rescue and firefighting equipment and of supporting the occasional passage of aircraft without causing major damage to the aircraft.
(4) No objects may be located in any safety area, except for objects that need to be located in a safety area because of their function. These objects must be constructed, to the extent practical, on frangibly mounted structures of the lowest practical height, with the frangible point no higher than 3 inches above grade.
(c) FAA Advisory Circulars contain methods and procedures for the configuration and maintenance of safety areas acceptable to the Administrator.
(a) Marking. Each certificate holder must provide and maintain marking systems for air carrier operations on the airport that are authorized by the Administrator and consist of at least the following:
(1) Runway markings meeting the specifications for takeoff and landing minimums for each runway.
(2) A taxiway centerline.
(3) Taxiway edge markings, as appropriate.
(4) Holding position markings.
(5) Instrument landing system (ILS) critical area markings.
(b) Signs. (1) Each certificate holder must provide and maintain sign systems for air carrier operations on the airport that are authorized by the Administrator and consist of at least the following:
(i) Signs identifying taxiing routes on the movement area.
(ii) Holding position signs.
(iii) Instrument landing system (ILS) critical area signs.
(2) Unless otherwise authorized by the Administrator, the signs required by paragraph (b)(1) of this section must be internally illuminated at each Class I, II, and IV airport.
(3) Unless otherwise authorized by the Administrator, the signs required by paragraphs (b)(1)(ii) and (b)(1)(iii) of this section must be internally illuminated at each Class III airport.
(c) Lighting. Each certificate holder must provide and maintain lighting systems for air carrier operations when the airport is open at night, during conditions below visual flight rules (VFR) minimums, or in Alaska, during periods in which a prominent unlighted object cannot be seen from a distance of 3 statute miles or the sun is more than six degrees below the horizon. These lighting systems must be authorized by the Administrator and consist of at least the following:
(1) Runway lighting that meets the specifications for takeoff and landing minimums, as authorized by the Administrator, for each runway.
(2) One of the following taxiway lighting systems:
(i) Centerline lights.
(ii) Centerline reflectors.
(iii) Edge lights.
(iv) Edge reflectors.
(3) An airport beacon.
(4) Approach lighting that meets the specifications for takeoff and landing minimums, as authorized by the Administrator, for each runway, unless provided and/or maintained by an entity other than the certificate holder.
(5) Obstruction marking and lighting, as appropriate, on each object within its authority that has been determined by the FAA to be an obstruction.
(d) Maintenance. Each certificate holder must properly maintain each marking, sign, or lighting system installed and operated on the airport. As used in this section, to “properly maintain” includes cleaning, replacing, or repairing any faded, missing, or nonfunctional item; keeping each item unobscured and clearly visible; and ensuring that each item provides an accurate reference to the user.
(e) Lighting interference. Each certificate holder must ensure that all lighting on the airport, including that for aprons, vehicle parking areas, roadways, fuel storage areas, and buildings, is adequately adjusted or shielded to prevent interference with air traffic control and aircraft operations.
(f) Standards. FAA Advisory Circulars contain methods and procedures for the equipment, material, installation, and maintenance of marking, sign, and lighting systems listed in this section that are acceptable to the Administrator.
(g) Implementation. The sign systems required under paragraph (b)(3) of this section must be implemented by each holder of a Class III Airport Operating Certificate not later than 36 consecutive calendar months after June 9, 2004.
(a) As determined by the Administrator, each certificate holder whose airport is located where snow and icing conditions occur must prepare, maintain, and carry out a snow and ice control plan in a manner authorized by the Administrator.
(b) The snow and ice control plan required by this section must include, at a minimum, instructions and procedures for—
(1) Prompt removal or control, as completely as practical, of snow, ice, and slush on each movement area;
(2) Positioning snow off the movement area surfaces so all air carrier aircraft propellers, engine pods, rotors, and wing tips will clear any snowdrift and snowbank as the aircraft's landing gear traverses any portion of the movement area;
(3) Selection and application of authorized materials for snow and ice control to ensure that they adhere to snow and ice sufficiently to minimize engine ingestion;
(4) Timely commencement of snow and ice control operations; and
(5) Prompt notification, in accordance with § 139.339, of all air carriers using the airport when any portion of the movement area normally available to them is less than satisfactorily cleared for safe operation by their aircraft.
(c) FAA Advisory Circulars contain methods and procedures for snow and ice control equipment, materials, and removal that are acceptable to the Administrator.
(a) An index is required by paragraph (c) of this section for each certificate holder. The Index is determined by a combination of—
(1) The length of air carrier aircraft and
(2) Average daily departures of air carrier aircraft.
(b) For the purpose of Index determination, air carrier aircraft lengths are grouped as follows:
(1) Index A includes aircraft less than 90 feet in length.
(2) Index B includes aircraft at least 90 feet but less than 126 feet in length.
(3) Index C includes aircraft at least 126 feet but less than 159 feet in length.
(4) Index D includes aircraft at least 159 feet but less than 200 feet in length.
(5) Index E includes aircraft at least 200 feet in length.
(c) Except as provided in § 139.319(c), if there are five or more average daily departures of air carrier aircraft in a single Index group serving that airport, the longest aircraft with an average of five or more daily departures determines the Index required for the airport. When there are fewer than five average daily departures of the longest air carrier aircraft serving the airport, the Index required for the airport will be the next lower Index group than the Index group prescribed for the longest aircraft.
(d) The minimum designated index shall be Index A.
(e) A holder of a Class III Airport Operating Certificate may comply with this section by providing a level of safety comparable to Index A that is approved by the Administrator. Such alternate compliance must be described in the ACM and must include:
(1) Pre-arranged firefighting and emergency medical response procedures, including agreements with responding services.
(2) Means for alerting firefighting and emergency medical response personnel.
(3) Type of rescue and firefighting equipment to be provided.
(4) Training of responding firefighting and emergency medical personnel on airport familiarization and communications.
Unless otherwise authorized by the Administrator, the following rescue and firefighting equipment and agents are the minimum required for the Indexes referred to in § 139.315:
(a) Index A. One vehicle carrying at least—
(1) 500 pounds of sodium-based dry chemical, halon 1211, or clean agent; or
(2) 450 pounds of potassium-based dry chemical and water with a commensurate quantity of AFFF to total 100 gallons for simultaneous dry chemical and AFFF application.
(b) Index B. Either of the following:
(1) One vehicle carrying at least 500 pounds of sodium-based dry chemical, halon 1211, or clean agent and 1,500 gallons of water and the commensurate quantity of AFFF for foam production.
(2) Two vehicles—
(i) One vehicle carrying the extinguishing agents as specified in paragraphs (a)(1) or (a)(2) of this section; and
(ii) One vehicle carrying an amount of water and the commensurate quantity of AFFF so the total quantity of water for foam production carried by both vehicles is at least 1,500 gallons.
(c) Index C. Either of the following:
(1) Three vehicles—
(i) One vehicle carrying the extinguishing agents as specified in paragraph (a)(1) or (a)(2) of this section; and
(ii) Two vehicles carrying an amount of water and the commensurate quantity of AFFF so the total quantity of water for foam production carried by all three vehicles is at least 3,000 gallons.
(2) Two vehicles—
(i) One vehicle carrying the extinguishing agents as specified in paragraph (b)(1) of this section; and
(ii) One vehicle carrying water and the commensurate quantity of AFFF so the total quantity of water for foam production carried by both vehicles is at least 3,000 gallons.
(d) Index D. Three vehicles—
(1) One vehicle carrying the extinguishing agents as specified in paragraphs (a)(1) or (a)(2) of this section; and
(2) Two vehicles carrying an amount of water and the commensurate quantity of AFFF so the total quantity of water for foam production carried by all three vehicles is at least 4,000 gallons.
(e) Index E. Three vehicles—
(1) One vehicle carrying the extinguishing agents as specified in paragraphs (a)(1) or (a)(2) of this section; and
(2) Two vehicles carrying an amount of water and the commensurate quantity of AFFF so the total quantity of water for foam production carried by all three vehicles is at least 6,000 gallons.
(f) Foam discharge capacity. Each aircraft rescue and firefighting vehicle used to comply with Index B, C, D, or E requirements with a capacity of at least 500 gallons of water for foam production must be equipped with a turret. Vehicle turret discharge capacity must be as follows:
(1) Each vehicle with a minimum-rated vehicle water tank capacity of at least 500 gallons, but less than 2,000 gallons, must have a turret discharge rate of at least 500 gallons per minute, but not more than 1,000 gallons per minute.
(2) Each vehicle with a minimum-rated vehicle water tank capacity of at least 2,000 gallons must have a turret discharge rate of at least 600 gallons per minute, but not more than 1,200 gallons per minute.
(g) Agent discharge capacity. Each aircraft rescue and firefighting vehicle that is required to carry dry chemical, halon 1211, or clean agent for compliance with the Index requirements of this section must meet one of the following minimum discharge rates for the equipment installed:
(1) Dry chemical, halon 1211, or clean agent through a hand line—5 pounds per second.
(2) Dry chemical, halon 1211, or clean agent through a turret—16 pounds per second.
(h) Extinguishing agent substitutions. Other extinguishing agent substitutions authorized by the Administrator may be made in amounts that provide equivalent firefighting capability.
(i) AFFF quantity requirements. In addition to the quantity of water required, each vehicle required to carry AFFF must carry AFFF in an appropriate amount to mix with twice the water required to be carried by the vehicle.
(j) Methods and procedures. FAA Advisory Circulars contain methods and procedures for ARFF equipment and extinguishing agents that are acceptable to the Administrator.
(k) Implementation. Each holder of a Class II, III, or IV Airport Operating Certificate must implement the requirements of this section no later than 36 consecutive calendar months after June 9, 2004.
(a) Rescue and firefighting capability. Except as provided in paragraph (c) of this section, each certificate holder must provide on the airport, during air carrier operations at the airport, at least the rescue and firefighting capability specified for the Index required by § 139.317 in a manner authorized by the Administrator.
(b) Increase in Index. Except as provided in paragraph (c) of this section, if an increase in the average daily departures or the length of air carrier aircraft results in an increase in the Index required by paragraph (a) of this section, the certificate holder must comply with the increased requirements.
(c) Reduction in rescue and firefighting. During air carrier operations with only aircraft shorter than the Index aircraft group required by paragraph (a) of this section, the certificate holder may reduce the rescue and firefighting to a lower level corresponding to the Index group of the longest air carrier aircraft being operated.
(d) Procedures for reduction in capability. Any reduction in the rescue and firefighting capability from the Index required by paragraph (a) of this section, in accordance with paragraph (c) of this section, must be subject to the following conditions:
(1) Procedures for, and the persons having the authority to implement, the reductions must be included in the Airport Certification Manual.
(2) A system and procedures for recall of the full aircraft rescue and firefighting capability must be included in the Airport Certification Manual.
(3) The reductions may not be implemented unless notification to air carriers is provided in the Airport/Facility Directory or Notices to Airmen (NOTAM), as appropriate, and by direct notification of local air carriers.
(e) Vehicle communications. Each vehicle required under § 139.317 must be equipped with two-way voice radio communications that provide for contact with at least—
(1) All other required emergency vehicles;
(2) The air traffic control tower;
(3) The common traffic advisory frequency when an air traffic control tower is not in operation or there is no air traffic control tower, and
(4) Fire stations, as specified in the airport emergency plan.
(f) Vehicle marking and lighting. Each vehicle required under § 139.317 must—
(1) Have a flashing or rotating beacon and
(2) Be painted or marked in colors to enhance contrast with the background environment and optimize daytime and nighttime visibility and identification.
(g) Vehicle readiness. Each vehicle required under § 139.317 must be maintained as follows:
(1) The vehicle and its systems must be maintained so as to be operationally capable of performing the functions required by this subpart during all air carrier operations.
(2) If the airport is located in a geographical area subject to prolonged temperatures below 33 degrees Fahrenheit, the vehicles must be provided with cover or other means to ensure equipment operation and discharge under freezing conditions.
(3) Any required vehicle that becomes inoperative to the extent that it cannot perform as required by paragraph (g)(1) of this section must be replaced immediately with equipment having at least equal capabilities. If replacement equipment is not available immediately, the certificate holder must so notify the Regional Airports Division Manager and each air carrier using the airport in accordance with § 139.339. If the required Index level of capability is not restored within 48 hours, the airport operator, unless otherwise authorized by the Administrator, must limit air carrier operations on the airport to those compatible with the Index corresponding to the remaining operative rescue and firefighting equipment.
(h) Response requirements. (1) With the aircraft rescue and firefighting equipment required under this part and the number of trained personnel that will assure an effective operation, each certificate holder must—
(i) Respond to each emergency during periods of air carrier operations; and
(ii) When requested by the Administrator, demonstrate compliance with the response requirements specified in this section.
(2) The response required by paragraph (h)(1)(ii) of this section must achieve the following performance criteria:
(i) Within 3 minutes from the time of the alarm, at least one required aircraft rescue and firefighting vehicle must reach the midpoint of the farthest runway serving air carrier aircraft from its assigned post or reach any other specified point of comparable distance on the movement area that is available to air carriers, and begin application of extinguishing agent.
(ii) Within 4 minutes from the time of alarm, all other required vehicles must reach the point specified in paragraph (h)(2)(i) of this section from their assigned posts and begin application of an extinguishing agent.
(i) Personnel. Each certificate holder must ensure the following:
(1) All rescue and firefighting personnel are equipped in a manner authorized by the Administrator with protective clothing and equipment needed to perform their duties.
(2) All rescue and firefighting personnel are properly trained to perform their duties in a manner authorized by the Administrator. Such personnel must be trained prior to initial performance of rescue and firefighting duties and receive recurrent instruction every 12 consecutive calendar months. The curriculum for initial and recurrent training must include at least the following areas:
(i) Airport familiarization, including airport signs, marking, and lighting.
(ii) Aircraft familiarization.
(iii) Rescue and firefighting personnel safety.
(iv) Emergency communications systems on the airport, including fire alarms.
(v) Use of the fire hoses, nozzles, turrets, and other appliances required for compliance with this part.
(vi) Application of the types of extinguishing agents required for compliance with this part.
(vii) Emergency aircraft evacuation assistance.
(viii) Firefighting operations.
(ix) Adapting and using structural rescue and firefighting equipment for aircraft rescue and firefighting.
(x) Aircraft cargo hazards, including hazardous materials/dangerous goods incidents.
(xi) Familiarization with firefighters' duties under the airport emergency plan.
(3) All rescue and firefighting personnel must participate in at least one live-fire drill prior to initial performance of rescue and firefighting duties and every 12 consecutive calendar months thereafter.
(4) At least one individual, who has been trained and is current in basic emergency medical services, is available during air carrier operations. This individual must be trained prior to initial performance of emergency medical services. Training must be at a minimum 40 hours in length and cover the following topics:
(i) Bleeding.
(ii) Cardiopulmonary resuscitation.
(iii) Shock.
(iv) Primary patient survey.
(v) Injuries to the skull, spine, chest, and extremities.
(vi) Internal injuries.
(vii) Moving patients.
(viii) Burns.
(ix) Triage.
(5) A record is maintained of all training given to each individual under this section for 24 consecutive calendar months after completion of training. Such records must include, at a minimum, a description and date of training received.
(6) Sufficient rescue and firefighting personnel are available during all air carrier operations to operate the vehicles, meet the response times, and meet the minimum agent discharge rates required by this part.
(7) Procedures and equipment are established and maintained for alerting rescue and firefighting personnel by siren, alarm, or other means authorized by the Administrator to any existing or impending emergency requiring their assistance.
(j) Hazardous materials guidance. Each aircraft rescue and firefighting vehicle responding to an emergency on the airport must be equipped with, or have available through a direct communications link, the “North American Emergency Response Guidebook” published by the U.S. Department of Transportation or similar response guidance to hazardous materials/dangerous goods incidents. Information on obtaining the “North American Emergency Response Guidebook” is available from the Regional Airports Division Manager.
(k) Emergency access roads. Each certificate holder must ensure that roads designated for use as emergency access roads for aircraft rescue and firefighting vehicles are maintained in a condition that will support those vehicles during all-weather conditions.
(l) Methods and procedures. FAA Advisory Circulars contain methods and procedures for aircraft rescue and firefighting and emergency medical equipment and training that are acceptable to the Administrator.
(m) Implementation. Each holder of a Class II, III, or IV Airport Operating Certificate must implement the requirements of this section no later than 36 consecutive calendar months after June 9, 2004.
(a) Each certificate holder who acts as a cargo handling agent must establish and maintain procedures for the protection of persons and property on the airport during the handling and storing of any material regulated by the Hazardous Materials Regulations (49 CFR 171 through 180) that is, or is intended to be, transported by air. These procedures must provide for at least the following:
(1) Designated personnel to receive and handle hazardous substances and materials.
(2) Assurance from the shipper that the cargo can be handled safely, including any special handling procedures required for safety.
(3) Special areas for storage of hazardous materials while on the airport.
(b) Each certificate holder must establish and maintain standards authorized by the Administrator for protecting against fire and explosions in storing, dispensing, and otherwise handling fuel (other than articles and materials that are, or are intended to be, aircraft cargo) on the airport. These standards must cover facilities, procedures, and personnel training and must address at least the following:
(1) Bonding.
(2) Public protection.
(3) Control of access to storage areas.
(4) Fire safety in fuel farm and storage areas.
(5) Fire safety in mobile fuelers, fueling pits, and fueling cabinets.
(6) Training of fueling personnel in fire safety in accordance with paragraph (e) of this section. Such training at Class III airports must be completed within 12 consecutive calendar months after June 9, 2004.
(7) The fire code of the public body having jurisdiction over the airport.
(c) Each certificate holder must, as a fueling agent, comply with, and require all other fueling agents operating on the airport to comply with, the standards established under paragraph (b) of this section and must perform reasonable surveillance of all fueling activities on the airport with respect to those standards.
(d) Each certificate holder must inspect the physical facilities of each airport tenant fueling agent at least once every 3 consecutive months for compliance with paragraph (b) of this section and maintain a record of that inspection for at least 12 consecutive calendar months.
(e) The training required in paragraph (b)(6) of this section must include at least the following:
(1) At least one supervisor with each fueling agent must have completed an aviation fuel training course in fire safety that is authorized by the Administrator. Such an individual must be trained prior to initial performance of duties, or enrolled in an authorized aviation fuel training course that will be completed within 90 days of initiating duties, and receive recurrent instruction at least every 24 consecutive calendar months.
(2) All other employees who fuel aircraft, accept fuel shipments, or otherwise handle fuel must receive at least initial on-the-job training and recurrent instruction every 24 consecutive calendar months in fire safety from the supervisor trained in accordance with paragraph (e)(1) of this section.
(f) Each certificate holder must obtain a written confirmation once every 12 consecutive calendar months from each airport tenant fueling agent that the training required by paragraph (e) of this section has been accomplished. This written confirmation must be maintained for 12 consecutive calendar months.
(g) Unless otherwise authorized by the Administrator, each certificate holder must require each tenant fueling agent to take immediate corrective action whenever the certificate holder becomes aware of noncompliance with a standard required by paragraph (b) of this section. The certificate holder must notify the appropriate FAA Regional Airports Division Manager immediately when noncompliance is discovered and corrective action cannot be accomplished within a reasonable period of time.
(h) FAA Advisory Circulars contain methods and procedures for the handling and storage of hazardous substances and materials that are acceptable to the Administrator.
In a manner authorized by the Administrator, each certificate holder must provide and maintain the following on its airport:
(a) A wind cone that visually provides surface wind direction information to pilots. For each runway available for air carrier use, a supplemental wind cone must be installed at the end of the runway or at least at one point visible to the pilot while on final approach and prior to takeoff. If the airport is open for air carrier operations at night, the wind direction indicators, including the required supplemental indicators, must be lighted.
(b) For airports serving any air carrier operation when there is no control tower operating, a segmented circle, a landing strip indicator and a traffic pattern indicator must be installed around a wind cone for each runway with a right-hand traffic pattern.
(c) FAA Advisory Circulars contain methods and procedures for the installation, lighting, and maintenance of traffic and wind indicators that are acceptable to the Administrator.
(a) In a manner authorized by the Administrator, each certificate holder must develop and maintain an airport emergency plan designed to minimize the possibility and extent of personal injury and property damage on the airport in an emergency. The plan must—
(1) Include procedures for prompt response to all emergencies listed in paragraph (b) of this section, including a communications network;
(2) Contain sufficient detail to provide adequate guidance to each person who must implement these procedures; and
(3) To the extent practicable, provide for an emergency response for the largest air carrier aircraft in the Index group required under § 139.315.
(b) The plan required by this section must contain instructions for response to—
(1) Aircraft incidents and accidents;
(2) Bomb incidents, including designation of parking areas for the aircraft involved;
(3) Structural fires;
(4) Fires at fuel farms or fuel storage areas;
(5) Natural disaster;
(6) Hazardous materials/dangerous goods incidents;
(7) Sabotage, hijack incidents, and other unlawful interference with operations;
(8) Failure of power for movement area lighting; and
(9) Water rescue situations, as appropriate.
(c) The plan required by this section must address or include—
(1) To the extent practicable, provisions for medical services, including transportation and medical assistance for the maximum number of persons that can be carried on the largest air carrier aircraft that the airport reasonably can be expected to serve;
(2) The name, location, telephone number, and emergency capability of each hospital and other medical facility and the business address and telephone number of medical personnel on the airport or in the communities it serves who have agreed to provide medical assistance or transportation;
(3) The name, location, and telephone number of each rescue squad, ambulance service, military installation, and government agency on the airport or in the communities it serves that agrees to provide medical assistance or transportation;
(4) An inventory of surface vehicles and aircraft that the facilities, agencies, and personnel included in the plan under paragraphs (c)(2) and (3) of this section will provide to transport injured and deceased persons to locations on the airport and in the communities it serves;
(5) A list of each hangar or other building on the airport or in the communities it serves that will be used to accommodate uninjured, injured, and deceased persons;
(6) Plans for crowd control, including the name and location of each safety or security agency that agrees to provide assistance for the control of crowds in the event of an emergency on the airport; and
(7) Procedures for removing disabled aircraft, including, to the extent practical, the name, location, and telephone numbers of agencies with aircraft removal responsibilities or capabilities.
(d) The plan required by this section must provide for—
(1) The marshalling, transportation, and care of ambulatory injured and uninjured accident survivors;
(2) The removal of disabled aircraft;
(3) Emergency alarm or notification systems; and
(4) Coordination of airport and control tower functions relating to emergency actions, as appropriate.
(e) The plan required by this section must contain procedures for notifying the facilities, agencies, and personnel who have responsibilities under the plan of the location of an aircraft accident, the number of persons involved in that accident, or any other information necessary to carry out their responsibilities, as soon as that information becomes available.
(f) The plan required by this section must contain provisions, to the extent practicable, for the rescue of aircraft accident victims from significant bodies of water or marsh lands adjacent to the airport that are crossed by the approach and departure flight paths of air carriers. A body of water or marshland is significant if the area exceeds one-quarter square mile and cannot be traversed by conventional land rescue vehicles. To the extent practicable, the plan must provide for rescue vehicles with a combined capacity for handling the maximum number of persons that can be carried on board the largest air carrier aircraft in the Index group required under § 139.315.
(g) Each certificate holder must—
(1) Coordinate the plan with law enforcement agencies, rescue and firefighting agencies, medical personnel and organizations, the principal tenants at the airport, and all other persons who have responsibilities under the plan;
(2) To the extent practicable, provide for participation by all facilities, agencies, and personnel specified in paragraph (g)(1) of this section in the development of the plan;
(3) Ensure that all airport personnel having duties and responsibilities under the plan are familiar with their assignments and are properly trained; and
(4) At least once every 12 consecutive calendar months, review the plan with all of the parties with whom the plan is coordinated, as specified in paragraph (g)(1) of this section, to ensure that all parties know their responsibilities and that all of the information in the plan is current.
(h) Each holder of a Class I Airport Operating Certificate must hold a full-scale airport emergency plan exercise at least once every 36 consecutive calendar months.
(i) Each airport subject to applicable FAA and Transportation Security Administration security regulations must ensure that instructions for response to paragraphs (b)(2) and (b)(7) of this section in the airport emergency plan are consistent with its approved airport security program.
(j) FAA Advisory Circulars contain methods and procedures for the development of an airport emergency plan that are acceptable to the Administrator.
(k) The emergency plan required by this section must be submitted by each holder of a Class II, III, or IV Airport Operating Certificate no later than 24 consecutive calendar months after June 9, 2004.
(a) In a manner authorized by the Administrator, each certificate holder must inspect the airport to assure compliance with this subpart according to the following schedule:
(1) Daily, except as otherwise required by the Airport Certification Manual;
(2) When required by any unusual condition, such as construction activities or meteorological conditions, that may affect safe air carrier operations; and
(3) Immediately after an accident or incident.
(b) Each certificate holder must provide the following:
(1) Equipment for use in conducting safety inspections of the airport;
(2) Procedures, facilities, and equipment for reliable and rapid dissemination of information between the certificate holder's personnel and air carriers; and
(3) Procedures to ensure qualified personnel perform the inspections. Such procedures must ensure personnel are trained, as specified under § 139.303, and receive initial and recurrent instruction every 12 consecutive calendar months in at least the following areas:
(i) Airport familiarization, including airport signs, marking and lighting.
(ii) Airport emergency plan.
(iii) Notice to Airmen (NOTAM) notification procedures.
(iv) Procedures for pedestrians and ground vehicles in movement areas and safety areas.
(v) Discrepancy reporting procedures; and
(4) A reporting system to ensure prompt correction of unsafe airport conditions noted during the inspection, including wildlife strikes.
(c) Each certificate holder must—
(1) Prepare, and maintain for at least 12 consecutive calendar months, a record of each inspection prescribed by this section, showing the conditions found and all corrective actions taken.
(2) Prepare records of all training given after June 9, 2004 to each individual in compliance with this section that includes, at a minimum, a description and date of training received. Such records must be maintained for 24 consecutive calendar months after completion of training.
(d) FAA Advisory Circulars contain methods and procedures for the conduct of airport self-inspections that are acceptable to the Administrator.
In a manner authorized by the Administrator, each certificate holder must—
(a) Limit access to movement areas and safety areas only to those pedestrians and ground vehicles necessary for airport operations;
(b) Establish and implement procedures for the safe and orderly access to and operation in movement areas and safety areas by pedestrians and ground vehicles, including provisions identifying the consequences of noncompliance with the procedures by all persons;
(c) When an air traffic control tower is in operation, ensure that each pedestrian and ground vehicle in movement areas or safety areas is controlled by one of the following:
(1) Two-way radio communications between each pedestrian or vehicle and the tower;
(2) An escort with two-way radio communications with the tower accompanying any pedestrian or vehicle without a radio; or
(3) Measures authorized by the Administrator for controlling pedestrians and vehicles, such as signs, signals, or guards, when it is not operationally practical to have two-way radio communications between the tower and the pedestrian, vehicle, or escort;
(d) When an air traffic control tower is not in operation, or there is no air traffic control tower, provide adequate procedures to control pedestrians and ground vehicles in movement areas or safety areas through two-way radio communications or prearranged signs or signals;
(e) Ensure that all persons are trained on procedures required under paragraph (b) of this section prior to the initial performance of such duties and at least once every 12 consecutive calendar months, including consequences of noncompliance, prior to moving on foot, or operating a ground vehicle, in movement areas or safety areas; and
(f) Maintain the following records:
(1) A description and date of training completed after June 9, 2004 by each individual in compliance with this section. A record for each individual must be maintained for 24 consecutive months after the termination of an individual's access to movement areas and safety areas.
(2) A description and date of any accidents or incidents in the movement areas and safety areas involving air carrier aircraft, a ground vehicle or a pedestrian. Records of each accident or incident occurring after the June 9, 2004 must be maintained for 12 consecutive calendar months from the date of the accident or incident.
In a manner authorized by the Administrator, each certificate holder must ensure that each object in each area within its authority that has been determined by the FAA to be an obstruction is removed, marked, or lighted, unless determined to be unnecessary by an FAA aeronautical study. FAA Advisory Circulars contain methods and procedures for the lighting of obstructions that are acceptable to the Administrator.
In a manner authorized by the Administrator, each certificate holder must—
(a) Prevent the construction of facilities on its airport that, as determined by the Administrator, would derogate the operation of an electronic or visual NAVAID and air traffic control facilities on the airport;
(b) Protect—or if the owner is other than the certificate holder, assist in protecting—all NAVAIDS on its airport against vandalism and theft; and
(c) Prevent, insofar as it is within the airport's authority, interruption of visual and electronic signals of NAVAIDS.
(a) In a manner authorized by the Administrator, each certificate holder must provide—
(1) Safeguards to prevent inadvertent entry to the movement area by unauthorized persons or vehicles; and
(2) Reasonable protection of persons and property from aircraft blast.
(b) Fencing that meets the requirements of applicable FAA and Transportation Security Administration security regulations in areas subject to these regulations is acceptable for meeting the requirements of paragraph (a)(l) of this section.
(a) In accordance with its Airport Certification Manual and the requirements of this section, each certificate holder must take immediate action to alleviate wildlife hazards whenever they are detected.
(b) In a manner authorized by the Administrator, each certificate holder must ensure that a wildlife hazard assessment is conducted when any of the following events occurs on or near the airport:
(1) An air carrier aircraft experiences multiple wildlife strikes;
(2) An air carrier aircraft experiences substantial damage from striking wildlife. As used in this paragraph, substantial damage means damage or structural failure incurred by an aircraft that adversely affects the structural strength, performance, or flight characteristics of the aircraft and that would normally require major repair or replacement of the affected component;
(3) An air carrier aircraft experiences an engine ingestion of wildlife; or
(4) Wildlife of a size, or in numbers, capable of causing an event described in paragraphs (b)(1), (b)(2), or (b)(3) of this section is observed to have access to any airport flight pattern or aircraft movement area.
(c) The wildlife hazard assessment required in paragraph (b) of this section must be conducted by a wildlife damage management biologist who has professional training and/or experience in wildlife hazard management at airports or an individual working under direct supervision of such an individual. The wildlife hazard assessment must contain at least the following:
(1) An analysis of the events or circumstances that prompted the assessment.
(2) Identification of the wildlife species observed and their numbers, locations, local movements, and daily and seasonal occurrences.
(3) Identification and location of features on and near the airport that attract wildlife.
(4) A description of wildlife hazards to air carrier operations.
(5) Recommended actions for reducing identified wildlife hazards to air carrier operations.
(d) The wildlife hazard assessment required under paragraph (b) of this section must be submitted to the Administrator for approval and determination of the need for a wildlife hazard management plan. In reaching this determination, the Administrator will consider—
(1) The wildlife hazard assessment;
(2) Actions recommended in the wildlife hazard assessment to reduce wildlife hazards;
(3) The aeronautical activity at the airport, including the frequency and size of air carrier aircraft;
(4) The views of the certificate holder;
(5) The views of the airport users; and
(6) Any other known factors relating to the wildlife hazard of which the Administrator is aware.
(e) When the Administrator determines that a wildlife hazard management plan is needed, the certificate holder must formulate and implement a plan using the wildlife hazard assessment as a basis. The plan must—
(1) Provide measures to alleviate or eliminate wildlife hazards to air carrier operations;
(2) Be submitted to, and approved by, the Administrator prior to implementation; and
(3) As authorized by the Administrator, become a part of the Airport Certification Manual.
(f) The plan must include at least the following:
(1) A list of the individuals having authority and responsibility for implementing each aspect of the plan.
(2) A list prioritizing the following actions identified in the wildlife hazard assessment and target dates for their initiation and completion:
(i) Wildlife population management;
(ii) Habitat modification; and
(iii) Land use changes.
(3) Requirements for and, where applicable, copies of local, State, and Federal wildlife control permits.
(4) Identification of resources that the certificate holder will provide to implement the plan.
(5) Procedures to be followed during air carrier operations that at a minimum includes—
(i) Designation of personnel responsible for implementing the procedures;
(ii) Provisions to conduct physical inspections of the aircraft movement areas and other areas critical to successfully manage known wildlife hazards before air carrier operations begin;
(iii) Wildlife hazard control measures; and
(iv) Ways to communicate effectively between personnel conducting wildlife control or observing wildlife hazards and the air traffic control tower.
(6) Procedures to review and evaluate the wildlife hazard management plan every 12 consecutive months or following an event described in paragraphs (b)(1), (b)(2), and (b)(3) of this section, including:
(i) The plan's effectiveness in dealing with known wildlife hazards on and in the airport's vicinity and
(ii) Aspects of the wildlife hazards described in the wildlife hazard assessment that should be reevaluated.
(7) A training program conducted by a qualified wildlife damage management biologist to provide airport personnel with the knowledge and skills needed to successfully carry out the wildlife hazard management plan required by paragraph (d) of this section.
(g) FAA Advisory Circulars contain methods and procedures for wildlife hazard management at airports that are acceptable to the Administrator.
In a manner authorized by the Administrator, each certificate holder must—
(a) Provide for the collection and dissemination of airport condition information to air carriers.
(b) In complying with paragraph (a) of this section, use the NOTAM system, as appropriate, and other systems and procedures authorized by the Administrator.
(c) In complying with paragraph (a) of this section, provide information on the following airport conditions that may affect the safe operations of air carriers:
(1) Construction or maintenance activity on movement areas, safety areas, or loading ramps and parking areas.
(2) Surface irregularities on movement areas, safety areas, or loading ramps and parking areas.
(3) Snow, ice, slush, or water on the movement area or loading ramps and parking areas.
(4) Snow piled or drifted on or near movement areas contrary to § 139.313.
(5) Objects on the movement area or safety areas contrary to § 139.309.
(6) Malfunction of any lighting system, holding position signs, or ILS critical area signs required by § 139.311.
(7) Unresolved wildlife hazards as identified in accordance with § 139.337.
(8) Nonavailability of any rescue and firefighting capability required in §§ 139.317 or 139.319.
(9) Any other condition as specified in the Airport Certification Manual or that may otherwise adversely affect the safe operations of air carriers.
(d) Each certificate holder must prepare and keep, for at least 12 consecutive calendar months, a record of each dissemination of airport condition information to air carriers prescribed by this section.
(e) FAA Advisory Circulars contain methods and procedures for using the NOTAM system and the dissemination of airport information that are acceptable to the Administrator.
(a) In a manner authorized by the Administrator, each certificate holder must—
(1) Mark and, if appropriate, light in a manner authorized by the Administrator—
(i) Each construction area and unserviceable area that is on or adjacent to any movement area or any other area of the airport on which air carrier aircraft may be operated;
(ii) Each item of construction equipment and each construction roadway, which may affect the safe movement of aircraft on the airport; and
(iii) Any area adjacent to a NAVAID that, if traversed, could cause derogation of the signal or the failure of the NAVAID; and
(2) Provide procedures, such as a review of all appropriate utility plans prior to construction, for avoiding damage to existing utilities, cables, wires, conduits, pipelines, or other underground facilities.
(b) FAA Advisory Circulars contain methods and procedures for identifying and marking construction areas that are acceptable to the Administrator.
Unless otherwise authorized by the Administrator, whenever the requirements of subpart D of this part cannot be met to the extent that uncorrected unsafe conditions exist on the airport, the certificate holder must limit air carrier operations to those portions of the airport not rendered unsafe by those conditions.
(a) Each certificate holder or applicant for an Airport Operating Certificate meeting at least one of the following criteria must develop, implement, maintain, and adhere to an Airport Safety Management System pursuant to the requirements established in this subpart. If the certificate holder:
(1) Is classified as a large, medium, or small hub based on passenger data extracted from the Air Carrier Activity Information System;
(2) Has an average of 100,000 or more total annual operations, meaning the sum of all arrivals and departures, over the previous three calendar years; or
(3) Is classified as a port of entry, designated international airport, landing rights airport, or user fee airport.
(b) The scope of an Airport Safety Management System must encompass aircraft operation in the movement area, aircraft operation in the non-movement area, and other airport operations addressed in this part.
(c) The Airport Safety Management System should correspond in size, nature, and complexity to the operations, activities, hazards, and risks associated with the certificate holder's operations.
(d) If a certificate holder qualifies exclusively under paragraph (a)(3) of this section and has no tenants that are required to comply with SMS requirements of any jurisdiction, the certificate holder is eligible for a waiver from the requirements of paragraph (a) of this section.
(1) To obtain the waiver, the certificate holder must submit a written request to the Regional Airports Division Manager justifying its request.
(2) If FAA grants a certificate holder's request for a waiver, the certificate holder must validate its waiver eligibility to the Regional Airports Division Manager every two years.
(e) If an airport has a tenant required to maintain a SMS subject to the requirements of part 5 of this title, then the certificate holder may develop a data sharing and reporting plan to address the reporting and sharing of hazard and safety data with the tenant.
(1) Any data sharing and reporting plan must include, at a minimum:
(i) The types of information the certificate holder expects the tenant to share;
(ii) The timeliness of sharing relevant safety data and reports;
(iii) Processes for analyzing joint safety issues or hazards;
(iv) Other processes, procedures, and policies to aid the certificate holder's compliance with its obligations under the Airport Safety Management System; and
(v) Identification of the mechanisms through which the certificate holder will ensure compliance with the plan to achieve the full implementation of the requirements.
(2) With a data sharing and reporting plan, the requirement for the certificate holder to provide safety awareness orientation to the tenants or their employees under § 139.402(d)(1) is waived.
(3) The certificate holder remains the ultimate responsible party for compliance with its Airport Safety Management System.
(f) Each certificate holder required to develop, implement, maintain, and adhere to an Airport Safety Management System under this subpart must describe its compliance with the requirements identified in § 139.402, either:
(1) Within a separate section of the certificate holder's Airport Certification Manual titled Airport Safety Management System; or
(2) Within a separate Airport Safety Management System Manual. If the certificate holder chooses to use a separate Airport Safety Management System Manual, the Airport Certification Manual must incorporate by reference the Airport Safety Management System Manual.
(g) On an annual basis or upon FAA request, the certificate holder shall provide the FAA copies of any changes to the Airport Safety Management System Manual.
(h) A certificate holder that starts implementation of an Airport Safety Management System but no longer qualifies under paragraph (a) of this section must continue to develop, implement, maintain, and adhere to its Airport Safety Management System for the longest of the following periods:
(1) Twenty-four consecutive calendar months after full implementation; or
(2) Twenty-four consecutive calendar months from the date it no longer qualifies under paragraph (a) of this section.
An Airport Safety Management System must include:
(a) Safety Policy. A Safety Policy that, at a minimum:
(1) Identifies the accountable executive;
(2) Establishes and maintains a safety policy statement signed by the accountable executive;
(3) Ensures the safety policy statement is available to all employees and tenants;
(4) Identifies and communicates the safety organizational structure;
(5) Describes management responsibility and accountability for safety issues;
(6) Establishes and maintains safety objectives; and
(7) Defines methods, processes, and organizational structure necessary to meet safety objectives.
(b) Safety Risk Management. Safety Risk Management processes and procedures for identifying hazards and their associated risks within airport operations and for changes to those operations covered by this part that, at a minimum:
(1) Establish a system for identifying operational safety issues.
(2) Establish a systematic process to analyze hazards and their associated risks, which include:
(i) Describing the system;
(ii) Identifying hazards;
(iii) Analyzing the risk of identified hazards and/or analyzing proposed mitigations;
(iv) Assessing the level of risk associated with identified hazards; and
(v) Mitigating the risks of identified hazards, when appropriate.
(3) Establish and maintain records that document the certificate holder's Safety Risk Management processes.
(i) The records shall provide a means for airport management's acceptance of responsibility for assessed risks and mitigations.
(ii) Records associated with the certificate holder's Safety Risk Management processes must be retained for the longer of:
(A) Thirty-six consecutive calendar months after the risk analysis of identified hazards under paragraph (b)(2) of this section has been completed; or
(B) Twelve consecutive calendar months after mitigations required under paragraph (b)(2)(v) of this section have been completed.
(c) Safety assurance. Safety assurance processes and procedures to ensure mitigations developed through the certificate holder's Safety Risk Management processes and procedures are adequate, and the Airport's Safety Management System is functioning effectively. Those processes and procedures must, at a minimum:
(1) Provide a means for monitoring safety performance including a means for ensuring that safety objectives identified under paragraph (a)(6) of this section are being met.
(2) Establish and maintain a safety reporting system that provides a means for reporter confidentiality.
(3) Report pertinent safety information and data on a regular basis to the accountable executive. Reportable data includes:
(i) Compliance with the requirements under this subpart and subpart D of this part;
(ii) Performance of safety objectives established under paragraph (a)(6) of this section;
(iii) Safety critical information distributed in accordance with paragraph (d)(5)(ii) of this section;
(iv) Status of ongoing mitigations required under the Airport's Safety Risk Management processes as described under paragraph (b)(2)(v) of this section; and
(v) Status of a certificate holder's schedule for implementing the Airport Safety Management System as described under § 139.403.
(d) Safety Promotion. Safety Promotion processes and procedures to foster an airport operating environment that encourages safety. Those processes and procedures must, at a minimum:
(1) Provide all persons authorized to access the airport areas regulated under this part with a safety awareness orientation, which includes hazard identification and reporting. The safety awareness orientation materials must be readily available and must be reviewed and updated every twenty-four calendar months or sooner if necessary.
(2) Maintain a record of all safety awareness orientation materials made available under paragraph (d)(1) of this section including any revisions and means of distribution. Such records must be retained for twenty-four consecutive calendar months after the materials are made available.
(3) Provide safety training on those requirements of SMS and its implementation to each employee with responsibilities under the certificate holder's SMS that is appropriate to the individual's role. This training must be completed at least every twenty-four months.
(4) Maintain a record of all training by each individual under paragraph (d)(3) of this section that includes, at a minimum, a description and date of training received. Such records must be retained for twenty-four consecutive calendar months after completion of training.
(5) Develop and maintain formal means for communicating important safety information that, at a minimum:
(i) Ensures all persons authorized to access the airport areas regulated under this part are aware of the SMS and their safety roles and responsibilities;
(ii) Conveys critical safety information;
(iii) Provides feedback to individuals using the airport's safety reporting system required under paragraph (c)(2) of this section; and
(iv) Disseminates safety lessons learned to relevant airport employees or other stakeholders.
(6) Maintain records of communications required under this section for 12 consecutive calendar months.
(a) Each certificate holder required to develop, implement, maintain, and adhere to an Airport Safety Management System under this subpart must submit an Implementation Plan to the FAA for approval according to the following schedule:
(1) For certificate holders identified under § 139.401(a)(1), on or before April 24, 2024;
(2) For certificate holders identified under § 139.401(a)(2), on or before October 24, 2024;
(3) For certificate holders identified under § 139.401(a)(3), on or before April 24, 2025.
(4) For a certificate holder that qualifies under § 139.401(a) after April 24, 2023, on or before 18 months after the certificate holder receives notification from the Regional Airports Division Manager of the change in its status.
(b) An Implementation Plan must provide:
(1) A detailed proposal on how the certificate holder will meet the requirements prescribed in this subpart.
(2) A schedule for implementing SMS components and elements prescribed in § 139.402. The schedule must include timelines for the following requirements:
(i) Developing the safety policy statement as prescribed in § 139.402(a)(2) and when it will be made available to all employees and tenants as prescribed in § 139.402(a)(3);
(ii) Identifying and communicating the safety organizational structure as prescribed in § 139.402(a)(4);
(iii) Establishing a system for identifying operational safety issues as prescribed in § 139.402(b)(1);
(iv) Establishing a safety reporting system as prescribed in § 139.402(c)(2);
(v) Developing, providing, and maintaining safety awareness orientation materials as prescribed in § 139.402(d)(1);
(vi) Providing SMS-specific training to employees with responsibilities under the certificate holder's SMS as prescribed in § 139.402(d)(3); and
(vii) Developing, implementing, and maintaining formal means for communicating important safety information as prescribed in § 139.402(d)(5).
(3) A description of any existing programs, policies, or procedures that the certificate holder intends to use to meet the requirements of this subpart.
(c) Each certificate holder required to develop, implement, maintain, and adhere to an Airport Safety Management System under this subpart must submit its amended Airport Certification Manual and Airport Safety Management System Manual, if applicable, to the FAA in accordance with its Implementation Plan but not later than 12 months after receiving FAA approval of the certificate holder's Implementation Plan.
(d) A certificate holder that qualifies under § 139.401(a) must fully implement its Airport Safety Management System no later than 36 months after the approval of its Implementation Plan.
This part prescribes the requirements for issuing pilot school certificates, provisional pilot school certificates, and associated ratings, and the general operating rules applicable to a holder of a certificate or rating issued under this part. Additional requirements for pilot schools seeking to provide training courses for powered-lift certification and ratings are set forth in part 194 of this chapter.
No person may operate as a certificated pilot school without, or in violation of, a pilot school certificate or provisional pilot school certificate issued under this part.
The FAA may issue a pilot school certificate with the appropriate ratings if, within the 24 calendar months before the date application is made, the applicant—
(a) Completes the application for a pilot school certificate on the form and in the manner prescribed by the FAA;
(b) Has held a provisional pilot school certificate;
(c) Meets the applicable requirements under subparts A through C of this part for the school certificate and associated ratings sought;
(d) Has established a pass rate of 80 percent or higher on the first attempt for all:
(1) Knowledge tests leading to a certificate or rating;
(2) Practical tests leading to a certificate or rating;
(3) End-of-course tests for an approved training course specified in appendix K of this part; and
(4) End-of-course tests for special curricula courses approved under § 141.57.
(e) Has graduated at least 10 different people from the school's approved training courses.
An applicant that meets the applicable requirements of subparts A, B, and C of this part, but does not meet the recent training activity requirements of § 141.5(d) of this part, may be issued a provisional pilot school certificate with ratings.
The FAA issues examining authority to a pilot school for a training course if the pilot school and its training course meet the requirements of subpart D of this part.
(a) The ratings listed in paragraph (b) of this section may be issued to an applicant for:
(1) A pilot school certificate, provided the applicant meets the requirements of § 141.5 of this part; or
(2) A provisional pilot school certificate, provided the applicant meets the requirements of § 141.7 of this part.
(b) An applicant may be authorized to conduct the following courses:
(1) Certification and rating courses. (Appendixes A through J).
(i) Recreational pilot course.
(ii) Private pilot course.
(iii) Commercial pilot course.
(iv) Instrument rating course.
(v) Airline transport pilot course.
(vi) Flight instructor course.
(vii) Flight instructor instrument course.
(viii) Ground instructor course.
(ix) Additional aircraft category or class rating course.
(x) Aircraft type rating course.
(2) Special preparation courses. (Appendix K).
(i) Pilot refresher course.
(ii) Flight instructor refresher course.
(iii) Ground instructor refresher course.
(iv) Agricultural aircraft operations course.
(v) Rotorcraft external-load operations course.
(vi) Special operations course.
(vii) Test pilot course.
(viii) Airline transport pilot certification training program.
(ix) Flight instructor enhanced qualification training program.
(3) Pilot ground school course. (Appendix L).
(4) Combined Private Pilot Certification and Instrument Rating Course. (Appendix M).
(a) Application for an original certificate and rating, an additional rating, or the renewal of a certificate under this part must be made on a form and in a manner prescribed by the Administrator.
(b) Application for the issuance or amendment of a certificate or rating must be accompanied by two copies of each proposed training course curriculum for which approval is sought.
(a) Unless surrendered, suspended, or revoked, a pilot school's certificate or a provisional pilot school's certificate expires:
(1) On the last day of the 24th calendar month from the month the certificate was issued;
(2) Except as provided in paragraph (b) of this section, on the date that any change in ownership of the school occurs;
(3) On the date of any change in the facilities upon which the school's certificate is based occurs; or
(4) Upon notice by the Administrator that the school has failed for more than 60 days to maintain the facilities, aircraft, or personnel required for any one of the school's approved training courses.
(b) A change in the ownership of a pilot school or provisional pilot school does not terminate that school's certificate if, within 30 days after the date that any change in ownership of the school occurs:
(1) Application is made for an appropriate amendment to the certificate; and
(2) No change in the facilities, personnel, or approved training courses is involved.
(c) An examining authority issued to the holder of a pilot school certificate expires on the date that the pilot school certificate expires, or is surrendered, suspended, or revoked.
If the holder of a certificate issued under this part permits any aircraft owned or leased by that holder to be engaged in any operation that the certificate holder knows to be in violation of § 91.19(a) of this chapter, that operation is a basis for suspending or revoking the certificate.
(a) Each holder of a pilot school certificate or a provisional pilot school certificate must display that certificate in a place in the school that is normally accessible to the public and is not obscured.
(b) A certificate must be made available for inspection upon request by:
(1) The Administrator;
(2) An authorized representative of the National Transportation Safety Board; or
(3) A Federal, State, or local law enforcement officer.
Each holder of a certificate issued under this part must allow the Administrator to inspect its personnel, facilities, equipment, and records to determine the certificate holder's:
(a) Eligibility to hold its certificate;
(b) Compliance with 49 U.S.C. 40101 et seq., formerly the Federal Aviation Act of 1958, as amended; and
(c) Compliance with the Federal Aviation Regulations.
(a) The holder of a pilot school certificate or a provisional pilot school certificate may not make any statement relating to its certification and ratings that is false or designed to mislead any person contemplating enrollment in that school.
(b) The holder of a pilot school certificate or a provisional pilot school certificate may not advertise that the school is certificated unless it clearly differentiates between courses that have been approved under part 141 of this chapter and those that have not been approved under part 141 of this chapter.
(c) The holder of a pilot school certificate or a provisional pilot school certificate must promptly remove:
(1) From vacated premises, all signs indicating that the school was certificated by the Administrator; or
(2) All indications (including signs), wherever located, that the school is certificated by the Administrator when its certificate has expired or has been surrendered, suspended, or revoked.
(a) Each holder of a pilot school or a provisional pilot school certificate must maintain a principal business office with a mailing address in the name shown on its certificate.
(b) The facilities and equipment at the principal business office must be adequate to maintain the files and records required to operate the business of the school.
(c) The principal business office may not be shared with, or used by, another pilot school.
(d) Before changing the location of the principal business office or the operations base, each certificate holder must notify the responsible Flight Standards office for the area of the new location, and the notice must be:
(1) Submitted in writing at least 30 days before the change of location; and
(2) Accompanied by any amendments needed for the certificate holder's approved training course outline.
(e) A certificate holder may conduct training at an operations base other than the one specified in its certificate, if:
(1) The Administrator has inspected and approved the base for use by the certificate holder; and
(2) The course of training and any needed amendments have been approved for use at that base.
(a) A training center certificated under part 142 of this chapter may provide the training, testing, and checking for pilot schools certificated under this part and is considered to meet the requirements of this part, provided—
(1) There is a training agreement between the certificated training center and the pilot school;
(2) The training, testing, and checking provided by the certificated training center is approved and conducted under part 142;
(3) The pilot school certificated under this part obtains the Administrator's approval for a training course outline that includes the training, testing, and checking to be conducted under this part and the training, testing, and checking to be conducted under part 142; and
(4) Upon completion of the training, testing, and checking conducted under part 142, a copy of each student's training record is forwarded to the part 141 school and becomes part of the student's permanent training record.
(b) A pilot school that provides flight training for an institution of higher education that holds a letter of authorization under § 61.169 of this chapter must have a training agreement with that institution of higher education.
(a) Pilot school. (1) A pilot school may apply for renewal of its school certificate and ratings within 30 days preceding the month the pilot school's certificate expires, provided the school meets the requirements prescribed in paragraph (a)(2) of this section for renewal of its certificate and ratings.
(2) A pilot school may have its school certificate and ratings renewed for an additional 24 calendar months if the Administrator determines the school's personnel, aircraft, facility and airport, approved training courses, training records, and recent training ability and quality meet the requirements of this part.
(3) A pilot school that does not meet the renewal requirements in paragraph (a)(2) of this section, may apply for a provisional pilot school certificate if the school meets the requirements of § 141.7 of this part.
(b) Provisional pilot school. (1) Except as provided in paragraph (b)(3) of this section, a provisional pilot school may not have its provisional pilot school certificate or the ratings on that certificate renewed.
(2) A provisional pilot school may apply for a pilot school certificate and associated ratings provided that school meets the requirements of § 141.5 of this part.
(3) A former provisional pilot school may apply for another provisional pilot school certificate, provided 180 days have elapsed since its last provisional pilot school certificate expired.
(a) This subpart prescribes:
(1) The personnel and aircraft requirements for a pilot school certificate or a provisional pilot school certificate; and
(2) The facilities that a pilot school or provisional pilot school must have available on a continuous basis.
(b) As used in this subpart, to have continuous use of a facility, including an airport, the school must have:
(1) Ownership of the facility or airport for at least 6 calendar months after the date the application for initial certification and on the date of renewal of the school's certificate is made; or
(2) A written lease agreement for the facility or airport for at least 6 calendar months after the date the application for initial certification and on the date of renewal of the school's certificate is made.
(a) An applicant for a pilot school certificate or for a provisional pilot school certificate must meet the following personnel requirements:
(1) Each applicant must have adequate personnel, including certificated flight instructors, certificated ground instructors, or holders of a commercial pilot certificate with a lighter-than-air rating, and a chief instructor for each approved course of training who is qualified and competent to perform the duties to which that instructor is assigned.
(2) If the school employs dispatchers, aircraft handlers, and line and service personnel, then it must instruct those persons in the procedures and responsibilities of their employment.
(3) Each instructor to be used for ground or flight training must hold a flight instructor certificate, ground instructor certificate, or commercial pilot certificate with a lighter-than-air rating, as appropriate, with ratings for the approved course of training and any aircraft used in that course.
(4) In addition to meeting the requirements of paragraph (a)(3) of this section, each instructor used for the airline transport pilot certification training program in § 61.156 of this chapter must:
(i) Hold an airline transport pilot certificate with an airplane category multiengine class rating;
(ii) Have at least 2 years of experience as a pilot in command in operations conducted under § 91.1053(a)(2)(i) or § 135.243(a)(1) of this chapter, or as a pilot in command or second in command in any operation conducted under part 121 of this chapter; and
(iii) If providing training in a flight simulation training device, have received training and evaluation within the preceding 12 months from the certificate holder on—
(A) Proper operation of flight simulator and flight training device controls and systems;
(B) Proper operation of environmental and fault panels,
(C) Data and motion limitations of simulation;
(D) Minimum equipment requirements for each curriculum; and
(E) The maneuvers that will be demonstrated in the flight simulation training device.
(b) An applicant for a pilot school certificate or for a provisional pilot school certificate must designate a chief instructor for each of the school's approved training courses, who must meet the requirements of § 141.35 of this part.
(c) When necessary, an applicant for a pilot school certificate or for a provisional pilot school certificate may designate a person to be an assistant chief instructor for an approved training course, provided that person meets the requirements of § 141.36 of this part.
(d) A pilot school and a provisional pilot school may designate a person to be a check instructor for conducting student stage checks, end-of-course tests, and instructor proficiency checks, provided:
(1) That person meets the requirements of § 141.37 of this part; and
(2) The school has an enrollment of at least 10 students at the time designation is sought.
(e) A person, as listed in this section, may serve in more than one position for a school, provided that person is qualified for each position.
(a) Except as specified in paragraph (c) of this section, no holder of a pilot school certificate or a provisional pilot school certificate may knowingly employ or make a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual, in the preceding 2 years—
(1) Served as, or was directly responsible for the oversight of, a Flight Standards Service aviation safety inspector; and
(2) Had direct responsibility to inspect, or oversee the inspection of, the operations of the certificate holder.
(b) For the purpose of this section, an individual shall be considered to be acting as an agent or representative of a certificate holder in a matter before the agency if the individual makes any written or oral communication on behalf of the certificate holder to the agency (or any of its officers or employees) in connection with a particular matter, whether or not involving a specific party and without regard to whether the individual has participated in, or had responsibility for, the particular matter while serving as a Flight Standards Service aviation safety inspector.
(c) The provisions of this section do not prohibit a holder of a pilot school certificate or a provisional pilot school certificate from knowingly employing or making a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual was employed by the certificate holder before October 21, 2011.
(a) To be eligible for designation as a chief instructor for a course of training, a person must meet the following requirements:
(1) Hold a commercial pilot certificate or an airline transport pilot certificate, and, except for a chief instructor for a course of training solely for a lighter-than-air rating, a current flight instructor certificate. The certificates must contain the appropriate aircraft category and class ratings for the category and class of aircraft used in the course and an instrument rating, if an instrument rating is required for enrollment in the course of training;
(2) Meet the pilot-in-command recent flight experience requirements of § 61.57 of this chapter;
(3) Pass a knowledge test on—
(i) Teaching methods;
(ii) Applicable provisions of the “Aeronautical Information Manual”;
(iii) Applicable provisions of parts 61, 91, and 141 of this chapter; and
(iv) The objectives and approved course completion standards of the course for which the person seeks to obtain designation.
(4) Pass a proficiency test on instructional skills and ability to train students on the flight procedures and maneuvers appropriate to the course;
(5) Except for a course of training for gliders, balloons, or airships, the chief instructor must meet the applicable requirements in paragraphs (b), (c), and (d) of this section; and
(6) A chief instructor for a course of training for gliders, balloons or airships is only required to have 40 percent of the hours required in paragraphs (b) and (d) of this section.
(b) For a course of training leading to the issuance of a recreational or private pilot certificate or rating, a chief instructor must have:
(1) At least 1,000 hours as pilot in command; and
(2) Primary flight training experience, acquired as either a certificated flight instructor or an instructor in a military pilot flight training program, or a combination thereof, consisting of at least—
(i) 2 years and a total of 500 flight hours; or
(ii) 1,000 flight hours.
(c) For a course of training leading to the issuance of an instrument rating or a rating with instrument privileges, a chief instructor must have:
(1) At least 100 hours of flight time under actual or simulated instrument conditions;
(2) At least 1,000 hours as pilot in command; and
(3) Instrument flight instructor experience, acquired as either a certificated flight instructor-instrument or an instructor in a military pilot flight training program, or a combination thereof, consisting of at least—
(i) 2 years and a total of 250 flight hours; or
(ii) 400 flight hours.
(d) For a course of training other than one leading to the issuance of a recreational or private pilot certificate or rating, or an instrument rating or a rating with instrument privileges, a chief instructor must have:
(1) At least 2,000 hours as pilot in command; and
(2) Flight training experience, acquired as either a certificated flight instructor or an instructor in a military pilot flight training program, or a combination thereof, consisting of at least—
(i) 3 years and a total of 1,000 flight hours; or
(ii) 1,500 flight hours.
(e) To be eligible for designation as chief instructor for a ground school course, a person must have 1 year of experience as a ground school instructor at a certificated pilot school.
(a) To be eligible for designation as an assistant chief instructor for a course of training, a person must meet the following requirements:
(1) Hold a commercial pilot or an airline transport pilot certificate and, except for the assistant chief instructor for a course of training solely for a lighter-than-air rating, a current flight instructor certificate. The certificates must contain the appropriate aircraft category, class, and instrument ratings if an instrument rating is required by the course of training for the category and class of aircraft used in the course;
(2) Meet the pilot-in-command recent flight experience requirements of § 61.57 of this chapter;
(3) Pass a knowledge test on—
(i) Teaching methods;
(ii) Applicable provisions of the “Aeronautical Information Manual”;
(iii) Applicable provisions of parts 61, 91, and 141 of this chapter; and
(iv) The objectives and approved course completion standards of the course for which the person seeks to obtain designation.
(4) Pass a proficiency test on the flight procedures and maneuvers appropriate to that course; and
(5) Meet the applicable requirements in paragraphs (b), (c), and (d) of this section. However, an assistant chief instructor for a course of training for gliders, balloons, or airships is only required to have 40 percent of the hours required in paragraphs (b) and (d) of this section.
(b) For a course of training leading to the issuance of a recreational or private pilot certificate or rating, an assistant chief instructor must have:
(1) At least 500 hours as pilot in command; and
(2) Flight training experience, acquired as either a certificated flight instructor or an instructor in a military pilot flight training program, or a combination thereof, consisting of at least—
(i) 1 year and a total of 250 flight hours; or
(ii) 500 flight hours.
(c) For a course of training leading to the issuance of an instrument rating or a rating with instrument privileges, an assistant chief flight instructor must have:
(1) At least 50 hours of flight time under actual or simulated instrument conditions;
(2) At least 500 hours as pilot in command; and
(3) Instrument flight instructor experience, acquired as either a certificated flight instructor-instrument or an instructor in a military pilot flight training program, or a combination thereof, consisting of at least—
(i) 1 year and a total of 125 flight hours; or
(ii) 200 flight hours.
(d) For a course of training other than one leading to the issuance of a recreational or private pilot certificate or rating, or an instrument rating or a rating with instrument privileges, an assistant chief instructor must have:
(1) At least 1,000 hours as pilot in command; and
(2) Flight training experience, acquired as either a certificated flight instructor or an instructor in a military pilot flight training program, or a combination thereof, consisting of at least—
(i) 1
(ii) 750 flight hours.
(e) To be eligible for designation as an assistant chief instructor for a ground school course, a person must have 6 months of experience as a ground school instructor at a certificated pilot school.
(a) To be designated as a check instructor for conducting student stage checks, end-of-course tests, and instructor proficiency checks under this part, a person must meet the eligibility requirements of this section:
(1) For checks and tests that relate to either flight or ground training, the person must pass a test, given by the chief instructor, on—
(i) Teaching methods;
(ii) Applicable provisions of the “Aeronautical Information Manual”;
(iii) Applicable provisions of parts 61, 91, and 141 of this chapter; and
(iv) The objectives and course completion standards of the approved training course for the designation sought.
(2) For checks and tests that relate to a flight training course, the person must—
(i) Meet the requirements in paragraph (a)(1) of this section;
(ii) Hold a commercial pilot certificate or an airline transport pilot certificate and, except for a check instructor for a course of training for a lighter-than-air rating, a current flight instructor certificate. The certificates must contain the appropriate aircraft category, class, and instrument ratings for the category and class of aircraft used in the course;
(iii) Meet the pilot-in-command recent flight experience requirements of § 61.57 of this chapter; and
(iv) Pass a proficiency test, given by the chief instructor or assistant chief instructor, on the flight procedures and maneuvers of the approved training course for the designation sought.
(3) For checks and tests that relate to ground training, the person must—
(i) Meet the requirements in paragraph (a)(1) of this section;
(ii) Except for a course of training for a lighter-than-air rating, hold either a current flight instructor certificate with the appropriate category and class of aircraft, or ground instructor certificate with appropriate ratings, to be used in the course of training; and
(iii) For a course of training for a lighter-than-air rating, hold a commercial pilot certificate with a lighter-than-air category rating and the appropriate class rating.
(b) A person who meets the eligibility requirements in paragraph (a) of this section must:
(1) Be designated, in writing, by the chief instructor to conduct student stage checks, end-of-course tests, and instructor proficiency checks; and
(2) Be approved by the responsible Flight Standards office for the school.
(c) A check instructor may not conduct a stage check or an end-of-course test of any student for whom the check instructor has:
(1) Served as the principal instructor; or
(2) Recommended for a stage check or end-of-course test.
(a) An applicant for a pilot school certificate or a provisional pilot school certificate must show that he or she has continuous use of each airport at which training flights originate.
(b) Each airport used for airplanes and gliders must have at least one runway or takeoff area that allows training aircraft to make a normal takeoff or landing under the following conditions at the aircraft's maximum certificated takeoff gross weight:
(1) Under wind conditions of not more than 5 miles per hour;
(2) At temperatures in the operating area equal to the mean high temperature for the hottest month of the year;
(3) If applicable, with the powerplant operation, and landing gear and flap operation recommended by the manufacturer; and
(4) In the case of a takeoff—
(i) With smooth transition from liftoff to the best rate of climb speed without exceptional piloting skills or techniques; and
(ii) Clearing all obstacles in the takeoff flight path by at least 50 feet.
(c) Each airport must have a wind direction indicator that is visible from the end of each runway at ground level;
(d) Each airport must have a traffic direction indicator when:
(1) The airport does not have an operating control tower; and
(2) UNICOM advisories are not available.
(e) Except as provided in paragraph (f) of this section, each airport used for night training flights must have permanent runway lights;
(f) An airport or seaplane base used for night training flights in seaplanes is permitted to use adequate nonpermanent lighting or shoreline lighting, if approved by the Administrator.
(a) When the school's training facility is located within the U.S., an applicant for a pilot school certificate or provisional pilot school certificate must show that each aircraft used by the school for flight training and solo flights:
(1) Is a civil aircraft of the United States;
(2) Is certificated with a standard airworthiness certificate, a primary airworthiness certificate, or a special airworthiness certificate in the light-sport category unless the FAA determines otherwise because of the nature of the approved course;
(3) Is maintained and inspected in accordance with the requirements for aircraft operated for hire under part 91, subpart E, of this chapter;
(4) Has two pilot stations with engine-power controls that can be easily reached and operated in a normal manner from both pilot stations (for flight training); and
(5) Is equipped and maintained for IFR operations if used in a course involving IFR en route operations and instrument approaches. For training in the control and precision maneuvering of an aircraft by reference to instruments, the aircraft may be equipped as provided in the approved course of training.
(b) When the school's training facility is located outside the U.S. and the training will be conducted outside the U.S., an applicant for a pilot school certificate or provisional pilot school certificate must show that each aircraft used by the school for flight training and solo flights:
(1) Is either a civil aircraft of the United States or a civil aircraft of foreign registry;
(2) Is certificated with a standard or primary airworthiness certificate or an equivalent certification from the foreign aviation authority;
(3) Is maintained and inspected in accordance with the requirements for aircraft operated for hire under part 91, subpart E of this chapter, or in accordance with equivalent maintenance and inspection from the foreign aviation authority's requirements;
(4) Has two pilot stations with engine-power controls that can be easily reached and operated in a normal manner from both pilot stations (for flight training); and
(5) Is equipped and maintained for IFR operations if used in a course involving IFR en route operations and instrument approaches. For training in the control and precision maneuvering of an aircraft by reference to instruments, the aircraft may be equipped as provided in the approved course of training.
An applicant for a pilot school certificate or a provisional pilot school certificate must show that its full flight simulators, flight training devices, aviation training devices, training aids, and equipment meet the following requirements:
(a) Full flight simulators and flight training devices. Each full flight simulator and flight training device used to obtain flight training credit in an approved pilot training course curriculum must be:
(1) Qualified under part 60 of this chapter, or a previously qualified device, as permitted in accordance with § 60.17 of this chapter; and
(2) Approved by the Administrator for the tasks and maneuvers.
(b) Aviation training devices. Each basic or advanced aviation training device used to obtain flight training credit in an approved pilot training course curriculum must be evaluated, qualified, and approved by the Administrator.
(c) Training aids and equipment. Each training aid, including any audiovisual aid, projector, mockup, chart, or aircraft component listed in the approved training course outline, must be accurate and relevant to the course for which it is used.
(a) An applicant for a pilot school certificate or provisional pilot school certificate must show that the applicant has continuous use of a briefing area located at each airport at which training flights originate that is:
(1) Adequate to shelter students waiting to engage in their training flights;
(2) Arranged and equipped for the conduct of pilot briefings; and
(3) Except as provided in paragraph (c) of this section, for a school with an instrument rating or commercial pilot course, equipped with private landline or telephone communication to the nearest FAA Flight Service Station.
(b) A briefing area required by paragraph (a) of this section may not be used by the applicant if it is available for use by any other pilot school during the period it is required for use by the applicant.
(c) The communication equipment required by paragraph (a)(3) of this section is not required if the briefing area and the flight service station are located on the same airport, and are readily accessible to each other.
An applicant for a pilot school or provisional pilot school certificate must show that:
(a) Except as provided in paragraph (c) of this section, each room, training booth, or other space used for instructional purposes is heated, lighted, and ventilated to conform to local building, sanitation, and health codes.
(b) Except as provided in paragraph (c) of this section, the training facility is so located that the students in that facility are not distracted by the training conducted in other rooms, or by flight and maintenance operations on the airport.
(c) If a training course is conducted through an internet-based medium, the holder of a pilot school certificate or provisional pilot school certificate that provides such training need not comply with paragraphs (a) and (b) of this section but must maintain in current status a permanent business location and business telephone number.
This subpart prescribes the curriculum and course outline requirements for the issuance of a pilot school certificate or provisional pilot school certificate and ratings.
(a) General. An applicant for a pilot school certificate or provisional pilot school certificate must obtain the Administrator's approval of the outline of each training course for which certification and rating is sought.
(b) Application. (1) An application for the approval of an initial or amended training course must be submitted in duplicate to the responsible Flight Standards office for the area where the school is based.
(2) An application for the approval of an initial or amended training course must be submitted at least 30 days before any training under that course, or any amendment thereto, is scheduled to begin.
(3) An application for amending a training course must be accompanied by two copies of the amendment.
(c) Training courses. An applicant for a pilot school certificate or provisional pilot school certificate may request approval for the training courses specified under § 141.11(b).
(d) Additional rules for internet based training courses. An application for an initial or amended training course offered through an internet based medium must comply with the following:
(1) All amendments must be identified numerically by page, date, and screen. Minor editorial and typographical changes do not require FAA approval, provided the school notifies the FAA within 30 days of their insertion.
(2) For monitoring purposes, the school must provide the FAA an acceptable means to log-in and log-off from a remote location to review all elements of the course as viewed by attendees and to by-pass the normal attendee restrictions.
(3) The school must incorporate adequate security measures into its internet-based courseware information system and into its operating and maintenance procedures to ensure the following fundamental areas of security and protection:
(i) Integrity.
(ii) Identification/Authentication.
(iii) Confidentiality.
(iv) Availability.
(v) Access control.
(a) Each training course for which approval is requested must meet the minimum curriculum requirements in accordance with the appropriate appendix of this part.
(b) Except as provided in paragraphs (d) and (e) of this section, each training course for which approval is requested must meet the minimum ground and flight training time requirements in accordance with the appropriate appendix of this part.
(c) Each training course for which approval is requested must contain:
(1) A description of each room used for ground training, including the room's size and the maximum number of students that may be trained in the room at one time, unless the course is provided via an internet-based training medium;
(2) A description of each type of audiovisual aid, projector, tape recorder, mockup, chart, aircraft component, and other special training aids used for ground training;
(3) A description of each flight simulator or flight training device used for training;
(4) A listing of the airports at which training flights originate and a description of the facilities, including pilot briefing areas that are available for use by the school's students and personnel at each of those airports;
(5) A description of the type of aircraft including any special equipment used for each phase of training;
(6) The minimum qualifications and ratings for each instructor assigned to ground or flight training; and
(7) A training syllabus that includes the following information—
(i) The prerequisites for enrolling in the ground and flight portion of the course that include the pilot certificate and rating (if required by this part), training, pilot experience, and pilot knowledge;
(ii) A detailed description of each lesson, including the lesson's objectives, standards, and planned time for completion;
(iii) A description of what the course is expected to accomplish with regard to student learning;
(iv) The expected accomplishments and the standards for each stage of training; and
(v) A description of the checks and tests to be used to measure a student's accomplishments for each stage of training.
(d) A pilot school may request and receive initial approval for a period of not more than 24 calendar months for any training course under this part that does not meet the minimum ground and flight training time requirements, provided the following provisions are met:
(1) The school holds a pilot school certificate issued under this part and has held that certificate for a period of at least 24 consecutive calendar months preceding the month of the request;
(2) In addition to the information required by paragraph (c) of this section, the training course specifies planned ground and flight training time requirements for the course;
(3) The school does not request the training course to be approved for examining authority, nor may that school hold examining authority for that course; and
(4) The practical test or knowledge test for the course is to be given by—
(i) An FAA inspector; or
(ii) An examiner who is not an employee of the school.
(e) A pilot school may request and receive final approval for any training course under this part that does not meet the minimum ground and flight training time requirements, provided the following conditions are met:
(1) The school has held initial approval for that training course for at least 24 calendar months.
(2) The school has—
(i) Trained at least 10 students in that training course within the preceding 24 calendar months and recommended those students for a pilot, flight instructor, or ground instructor certificate or rating; and
(ii) At least 80 percent of those students passed the practical or knowledge test, as appropriate, on the first attempt, and that test was given by—
(A) An FAA inspector; or
(B) An examiner who is not an employee of the school.
(3) In addition to the information required by paragraph (c) of this section, the training course specifies planned ground and flight training time requirements for the course.
(4) The school does not request that the training course be approved for examining authority nor may that school hold examining authority for that course.
An applicant for a pilot school certificate or provisional pilot school certificate may apply for approval to conduct a special course of airman training for which a curriculum is not prescribed in the appendixes of this part, if the applicant shows that the training course contains features that could achieve a level of pilot proficiency equivalent to that achieved by a training course prescribed in the appendixes of this part or the requirements of part 61 of this chapter.
This subpart prescribes the requirements for the issuance of examining authority to the holder of a pilot school certificate, and the privileges and limitations of that examining authority.
(a) A pilot school must meet the following prerequisites to receive initial approval for examining authority:
(1) The school must complete the application for examining authority on a form and in a manner prescribed by the Administrator;
(2) The school must hold a pilot school certificate and rating issued under this part;
(3) The school must have held the rating in which examining authority is sought for at least 24 consecutive calendar months preceding the month of application for examining authority;
(4) The training course for which examining authority is requested may not be a course that is approved without meeting the minimum ground and flight training time requirements of this part; and
(5) Within 24 calendar months before the date of application for examining authority, that school must meet the following requirements—
(i) The school must have trained at least 10 students in the training course for which examining authority is sought and recommended those students for a pilot, flight instructor, or ground instructor certificate or rating; and
(ii) At least 90 percent of those students passed the required practical or knowledge test, or any combination thereof, for the pilot, flight instructor, or ground instructor certificate or rating on the first attempt, and that test was given by—
(A) An FAA inspector; or
(B) An examiner who is not an employee of the school.
(b) A pilot school must meet the following requirements to retain approval of its examining authority:
(1) The school must complete the application for renewal of its examining authority on a form and in a manner prescribed by the Administrator;
(2) The school must hold a pilot school certificate and rating issued under this part;
(3) The school must have held the rating for which continued examining authority is sought for at least 24 calendar months preceding the month of application for renewal of its examining authority; and
(4) The training course for which continued examining authority is requested may not be a course that is approved without meeting the minimum ground and flight training time requirements of this part.
A pilot school that holds examining authority may recommend a person who graduated from its course for the appropriate pilot, flight instructor, or ground instructor certificate or rating without taking the FAA knowledge test or practical test in accordance with the provisions of this subpart.
A pilot school that holds examining authority may only recommend the issuance of a pilot, flight instructor, or ground instructor certificate and rating to a person who does not take an FAA knowledge test or practical test, if the recommendation for the issuance of that certificate or rating is in accordance with the following requirements:
(a) The person graduated from a training course for which the pilot school holds examining authority.
(b) Except as provided in this paragraph, the person satisfactorily completed all the curriculum requirements of that pilot school's approved training course. A person who transfers from one part 141 approved pilot school to another part 141 approved pilot school may receive credit for that previous training, provided the following requirements are met:
(1) The maximum credited training time does not exceed one-half of the receiving school's curriculum requirements;
(2) The person completes a knowledge and proficiency test conducted by the receiving school for the purpose of determining the amount of pilot experience and knowledge to be credited;
(3) The receiving school determines (based on the person's performance on the knowledge and proficiency test required by paragraph (b)(2) of this section) the amount of credit to be awarded, and records that credit in the person's training record;
(4) The person who requests credit for previous pilot experience and knowledge obtained the experience and knowledge from another part 141 approved pilot school and training course; and
(5) The receiving school retains a copy of the person's training record from the previous school.
(c) Tests given by a pilot school that holds examining authority must be approved by the Administrator and be at least equal in scope, depth, and difficulty to the comparable knowledge and practical tests prescribed by the Administrator under part 61 of this chapter.
(d) A pilot school that holds examining authority may not use its knowledge or practical tests if the school:
(1) Knows, or has reason to believe, the test has been compromised; or
(2) Is notified by the responsible Flight Standards office that there is reason to believe or it is known that the test has been compromised.
(e) A pilot school that holds examining authority must maintain a record of all temporary airman certificates it issues, which consist of the following information:
(1) A chronological listing that includes—
(i) The date the temporary airman certificate was issued;
(ii) The student to whom the temporary airman certificate was issued, and that student's permanent mailing address and telephone number;
(iii) The training course from which the student graduated;
(iv) The name of person who conducted the knowledge or practical test;
(v) The type of temporary airman certificate or rating issued to the student; and
(vi) The date the student's airman application file was sent to the FAA for processing for a permanent airman certificate.
(2) A copy of the record containing each student's graduation certificate, airman application, temporary airman certificate, superseded airman certificate (if applicable), and knowledge test or practical test results; and
(3) The records required by paragraph (e) of this section must be retained for 1 year and made available to the Administrator upon request. These records must be surrendered to the Administrator when the pilot school ceases to have examining authority.
(f) Except for pilot schools that have an airman certification representative, when a student passes the knowledge test or practical test, the pilot school that holds examining authority must submit that student's airman application file and training record to the FAA for processing for the issuance of a permanent airman certificate.
This subpart prescribes the operating rules applicable to a pilot school or provisional pilot school certificated under the provisions of this part.
(a) The holder of a pilot school certificate or a provisional pilot school certificate may advertise and conduct approved pilot training courses in accordance with the certificate and any ratings that it holds.
(b) A pilot school that holds examining authority for an approved training course may recommend a graduate of that course for the issuance of an appropriate pilot, flight instructor, or ground instructor certificate and rating, without taking an FAA knowledge test or practical test, provided the training course has been approved and meets the minimum ground and flight training time requirements of this part.
The following items must be carried on each aircraft used for flight training and solo flights:
(a) A pretakeoff and prelanding checklist; and
(b) The operator's handbook for the aircraft, if one is furnished by the manufacturer, or copies of the handbook if furnished to each student using the aircraft.
(a) The holder of a pilot school certificate or a provisional pilot school certificate may not issue a graduation certificate to a student, or recommend a student for a pilot certificate or rating, unless the student has:
(1) Completed the training specified in the pilot school's course of training; and
(2) Passed the required final tests.
(b) Except as provided in paragraph (c) of this section, the holder of a pilot school certificate or a provisional pilot school certificate may not graduate a student from a course of training unless the student has completed all of the curriculum requirements of that course;
(c) A student may be given credit towards the curriculum requirements of a course for previous training under the following conditions:
(1) If the student completed a proficiency test and knowledge test that was conducted by the receiving pilot school and the previous training was based on a part 141- or a part 142-approved flight training course, the credit is limited to not more than 50 percent of the flight training requirements of the curriculum.
(2) If the student completed a knowledge test that was conducted by the receiving pilot school and the previous training was based on a part 141- or a part 142-approved aeronautical knowledge training course, the credit is limited to not more than 50 percent of the aeronautical knowledge training requirements of the curriculum.
(3) If the student completed a proficiency test and knowledge test that was conducted by the receiving pilot school and the training was received from other than a part 141- or a part 142-approved flight training course, the credit is limited to not more than 25 percent of the flight training requirements of the curriculum.
(4) If the student completed a knowledge test that was conducted by the receiving pilot school and the previous training was received from other than a part 141- or a part 142-approved aeronautical knowledge training course, the credit is limited to not more than 25 percent of the aeronautical knowledge training requirements of the curriculum.
(5) Completion of previous training must be certified in the student's training record by the training provider or a management official within the training provider's organization, and must contain—
(i) The kind and amount of training provided; and
(ii) The result of each stage check and end-of-course test, if appropriate.
(a) No person other than a certificated flight instructor or commercial pilot with a lighter-than-air rating who has the ratings and the minimum qualifications specified in the approved training course outline may give a student flight training under an approved course of training.
(b) No student pilot may be authorized to start a solo practice flight from an airport until the flight has been approved by a certificated flight instructor or commercial pilot with a lighter-than-air rating who is present at that airport.
(c) Each chief instructor and assistant chief instructor assigned to a training course must complete, at least once every 12 calendar months, an approved syllabus of training consisting of ground or flight training, or both, or an approved flight instructor refresher course.
(d) Each certificated flight instructor or commercial pilot with a lighter-than-air rating who is assigned to a flight training course must satisfactorily complete the following tasks, which must be administered by the school's chief instructor, assistant chief instructor, or check instructor:
(1) Prior to receiving authorization to train students in a flight training course, must—
(i) Accomplish a review of and receive a briefing on the objectives and standards of that training course; and
(ii) Accomplish an initial proficiency check in each make and model of aircraft used in that training course in which that person provides training; and
(2) Every 12 calendar months after the month in which the person last complied with the requirements of paragraph (d)(1)(ii) of this section, accomplish a recurrent proficiency check in one of the aircraft in which the person trains students.
(a) Except as provided in paragraph (b) of this section, each instructor who is assigned to a ground training course must hold a flight or ground instructor certificate, or a commercial pilot certificate with a lighter-than-air rating, with the appropriate rating for that course of training.
(b) A person who does not meet the requirements of paragraph (a) of this section may be assigned ground training duties in a ground training course, if:
(1) The chief instructor who is assigned to that ground training course finds the person qualified to give that training; and
(2) The training is given while under the supervision of the chief instructor or the assistant chief instructor who is present at the facility when the training is given.
(c) An instructor may not be used in a ground training course until that instructor has been briefed on the objectives and standards of that course by the chief instructor, assistant chief instructor, or check instructor.
(a) Each pilot school or provisional pilot school must meet the following requirements:
(1) Comply with its approved training course; and
(2) Provide training of such quality that meets the requirements of § 141.5(d) of this part.
(b) The failure of a pilot school or provisional pilot school to maintain the quality of training specified in paragraph (a) of this section may be the basis for suspending or revoking that school's certificate.
(c) When requested by the Administrator, a pilot school or provisional pilot school must allow the FAA to administer any knowledge test, practical test, stage check, or end-of-course test to its students.
(d) When a stage check or end-of-course test is administered by the FAA under the provisions of paragraph (c) of this section, and the student has not completed the training course, then that test will be based on the standards prescribed in the school's approved training course.
(e) When a practical test or knowledge test is administered by the FAA under the provisions of paragraph (c) of this section, to a student who has completed the school's training course, that test will be based upon the areas of operation approved by the Administrator.
(a) A chief instructor designated for a pilot school or provisional pilot school is responsible for:
(1) Certifying each student's training record, graduation certificate, stage check and end-of-course test reports, and recommendation for course completion, unless the duties are delegated by the chief instructor to an assistant chief instructor or recommending instructor;
(2) Ensuring that each certificated flight instructor, certificated ground instructor, or commercial pilot with a lighter-than-air rating passes an initial proficiency check prior to that instructor being assigned instructing duties in the school's approved training course, and thereafter that the instructor passes a recurrent proficiency check every 12 calendar months after the month in which the initial test was accomplished;
(3) Ensuring that each student accomplishes the required stage checks and end-of-course tests in accordance with the school's approved training course; and
(4) Maintaining training techniques, procedures, and standards for the school that are acceptable to the Administrator.
(b) The chief instructor or an assistant chief instructor must be available at the pilot school or, if away from the pilot school, be available by telephone, radio, or other electronic means during the time that training is given for an approved training course.
(c) The chief instructor may delegate authority for conducting stage checks, end-of-course tests, and flight instructor proficiency checks to the assistant chief instructor or a check instructor.
Whenever a pilot school or provisional pilot school makes a change of designation of its chief instructor, that school:
(a) Must immediately provide the FAA responsible Flight Standards office in which the school is located with written notification of the change;
(b) May conduct training without a chief instructor for that training course for a period not to exceed 60 days while awaiting the designation and approval of another chief instructor;
(c) May, for a period not to exceed 60 days, have the stage checks and end-of-course tests administered by:
(1) The training course's assistant chief instructor, if one has been designated;
(2) The training course's check instructor, if one has been designated;
(3) An FAA inspector; or
(4) An examiner.
(d) Must, after 60 days without a chief instructor, cease operations and surrender its certificate to the Administrator; and
(e) May have its certificate reinstated, upon:
(1) Designating and approving another chief instructor;
(2) Showing it meets the requirements of § 141.27(a)(2) of this part; and
(3) Applying for reinstatement on a form and in a manner prescribed by the Administrator.
The holder of a pilot school certificate or provisional pilot school certificate may not provide training to a student who is enrolled in an approved course of training unless:
(a) Each airport, aircraft, and facility necessary for that training meets the standards specified in the holder's approved training course outline and the appropriate requirements of this part; and
(b) Except as provided in § 141.87 of this part, each chief instructor, assistant chief instructor, check instructor, or instructor meets the qualifications specified in the holder's approved course of training and the appropriate requirements of this part.
The holder of a pilot school certificate or provisional pilot school certificate may conduct ground training or flight training in an approved course of training at a base other than its main operations base if:
(a) An assistant chief instructor is designated for each satellite base, and that assistant chief instructor is available at that base or, if away from the premises, by telephone, radio, or other electronic means during the time that training is provided for an approved training course;
(b) The airport, facilities, and personnel used at the satellite base meet the appropriate requirements of subpart B of this part and its approved training course outline;
(c) The instructors are under the direct supervision of the chief instructor or assistant chief instructor for the appropriate training course, who is readily available for consultation in accordance with § 141.85(b) of this part; and
(d) The responsible Flight Standards office for the area in which the school is located is notified in writing if training is conducted at a base other than the school's main operations base for more than 7 consecutive days.
(a) The holder of a pilot school certificate or a provisional pilot school certificate must, at the time a student is enrolled in an approved training course, furnish that student with a copy of the following:
(1) A certificate of enrollment containing—
(i) The name of the course in which the student is enrolled; and
(ii) The date of that enrollment.
(2) A copy of the student's training syllabus.
(3) Except for a training course offered through an internet based medium, a copy of the safety procedures and practices developed by the school that describe the use of the school's facilities and the operation of its aircraft. Those procedures and practices shall include training on at least the following information—
(i) The weather minimums required by the school for dual and solo flights;
(ii) The procedures for starting and taxiing aircraft on the ramp;
(iii) Fire precautions and procedures;
(iv) Redispatch procedures after unprogrammed landings, on and off airports;
(v) Aircraft discrepancies and approval for return-to-service determinations;
(vi) Securing of aircraft when not in use;
(vii) Fuel reserves necessary for local and cross-country flights;
(viii) Avoidance of other aircraft in flight and on the ground;
(ix) Minimum altitude limitations and simulated emergency landing instructions; and
(x) A description of and instructions regarding the use of assigned practice areas.
(b) The holder of a pilot school certificate or provisional pilot school certificate must maintain a monthly listing of persons enrolled in each training course offered by the school.
(a) The holder of a pilot school certificate or provisional pilot school certificate must issue a graduation certificate to each student who completes its approved course of training.
(b) The graduation certificate must be issued to the student upon completion of the course of training and contain at least the following information:
(1) The name of the school and the certificate number of the school;
(2) The name of the graduate to whom it was issued;
(3) The course of training for which it was issued;
(4) The date of graduation;
(5) A statement that the student has satisfactorily completed each required stage of the approved course of training including the tests for those stages;
(6) A certification of the information contained on the graduation certificate by the chief instructor for that course of training; and
(7) A statement showing the cross-country training that the student received in the course of training.
(8) Certificates issued upon graduating from a course based on internet media must be uniquely identified using an alphanumeric code that is specific to the student graduating from that course.
(a) Each holder of a pilot school certificate or provisional pilot school certificate must establish and maintain a current and accurate record of the participation of each student enrolled in an approved course of training conducted by the school that includes the following information:
(1) The date the student was enrolled in the approved course;
(2) A chronological log of the student's course attendance, subjects, and flight operations covered in the student's training, and the names and grades of any tests taken by the student; and
(3) The date the student graduated, terminated training, or transferred to another school. In the case of graduation from a course based on internet media, the school must maintain the identifying graduation certificate code required by § 141.95(b)(8).
(b) The records required to be maintained in a student's logbook will not suffice for the record required by paragraph (a) of this section.
(c) Whenever a student graduates, terminates training, or transfers to another school, the student's record must be certified to that effect by the chief instructor.
(d) The holder of a pilot school certificate or a provisional pilot school certificate must retain each student record required by this section for at least 1 year from the date that the student:
(1) Graduates from the course to which the record pertains;
(2) Terminates enrollment in the course to which the record pertains; or
(3) Transfers to another school.
(e) The holder of a pilot school certificate or a provisional pilot school certificate must make a copy of the student's training record available upon request by the student.
1. Applicability. This appendix prescribes the minimum curriculum required for a recreational pilot certification course under this part, for the following ratings:
(a) Airplane single-engine.
(b) Rotorcraft helicopter.
(c) Rotorcraft gyroplane.
2. Eligibility for enrollment. A person must hold a student pilot certificate prior to enrolling in the flight portion of the recreational pilot certification course.
3. Aeronautical knowledge training. Each approved course must include at least 20 hours of ground training on the following aeronautical knowledge areas, appropriate to the aircraft category and class for which the course applies:
(a) Applicable Federal Aviation Regulations for recreational pilot privileges, limitations, and flight operations;
(b) Accident reporting requirements of the National Transportation Safety Board;
(c) Applicable subjects in the “Aeronautical Information Manual” and the appropriate FAA advisory circulars;
(d) Use of aeronautical charts for VFR navigation using pilotage with the aid of a magnetic compass;
(e) Recognition of critical weather situations from the ground and in flight, windshear avoidance, and the procurement and use of aeronautical weather reports and forecasts;
(f) Safe and efficient operation of aircraft, including collision avoidance, and recognition and avoidance of wake turbulence;
(g) Effects of density altitude on takeoff and climb performance;
(h) Weight and balance computations;
(i) Principles of aerodynamics, powerplants, and aircraft systems;
(j) Stall awareness, spin entry, spins, and spin recovery techniques, if applying for an airplane single-engine rating;
(k) Aeronautical decision making and judgment; and
(l) Preflight action that includes—
(1) How to obtain information on runway lengths at airports of intended use, data on takeoff and landing distances, weather reports and forecasts, and fuel requirements; and
(2) How to plan for alternatives if the planned flight cannot be completed or delays are encountered.
4. Flight training. (a) Each approved course must include at least 30 hours of flight training (of which 15 hours must be with a certificated flight instructor and 3 hours must be solo flight training as provided in section No. 5 of this appendix) on the approved areas of operation listed in paragraph (c) of this section that are appropriate to the aircraft category and class rating for which the course applies, including:
(1) Except as provided in § 61.100 of this chapter, 2 hours of dual flight training to and at an airport that is located more than 25 nautical miles from the airport where the applicant normally trains, with at least three takeoffs and three landings; and
(2) 3 hours of dual flight training in an aircraft that is appropriate to the aircraft category and class for which the course applies, in preparation for the practical test within 60 days preceding the date of the test.
(b) Each training flight must include a preflight briefing and a postflight critique of the student by the flight instructor assigned to that flight.
(c) Flight training must include the following approved areas of operation appropriate to the aircraft category and class rating—
(1) For an airplane single-engine course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Emergency operations; and
(x) Postflight procedures.
(2) For a rotorcraft helicopter course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Navigation;
(viii) Emergency operations; and
(ix) Postflight procedures.
(3) For a rotorcraft gyroplane course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Flight at slow airspeeds;
(ix) Emergency operations; and
(x) Postflight procedures.
5. Solo flight training. Each approved course must include at least 3 hours of solo flight training on the approved areas of operation listed in paragraph (c) of section No. 4 of this appendix that are appropriate to the aircraft category and class rating for which the course applies.
6. Stage checks and end-of-course tests. (a) Each student enrolled in a recreational pilot course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation listed in paragraph (c) of section No. 4 of this appendix that are appropriate to the aircraft category and class rating for which the course applies.
(b) Each student must demonstrate satisfactory proficiency prior to receiving an endorsement to operate an aircraft in solo flight.
1. Applicability. This appendix prescribes the minimum curriculum for a private pilot certification course required under this part, for the following ratings:
(a) Airplane single-engine.
(b) Airplane multiengine.
(c) Rotorcraft helicopter.
(d) Rotorcraft gyroplane.
(e) Powered-lift.
(f) Glider.
(g) Lighter-than-air airship.
(h) Lighter-than-air balloon.
2. Eligibility for enrollment. A person must hold either a recreational pilot certificate, sport pilot certificate, or student pilot certificate before enrolling in the solo flight phase of the private pilot certification course.
3. Aeronautical knowledge training.
(a) Each approved course must include at least the following ground training on the aeronautical knowledge areas listed in paragraph (b) of this section, appropriate to the aircraft category and class rating:
(1) 35 hours of training if the course is for an airplane, rotorcraft, or powered-lift category rating.
(2) 15 hours of training if the course is for a glider category rating.
(3) 10 hours of training if the course is for a lighter-than-air category with a balloon class rating.
(4) 35 hours of training if the course is for a lighter-than-air category with an airship class rating.
(b) Ground training must include the following aeronautical knowledge areas:
(1) Applicable Federal Aviation Regulations for private pilot privileges, limitations, and flight operations;
(2) Accident reporting requirements of the National Transportation Safety Board;
(3) Applicable subjects of the “Aeronautical Information Manual” and the appropriate FAA advisory circulars;
(4) Aeronautical charts for VFR navigation using pilotage, dead reckoning, and navigation systems;
(5) Radio communication procedures;
(6) Recognition of critical weather situations from the ground and in flight, windshear avoidance, and the procurement and use of aeronautical weather reports and forecasts;
(7) Safe and efficient operation of aircraft, including collision avoidance, and recognition and avoidance of wake turbulence;
(8) Effects of density altitude on takeoff and climb performance;
(9) Weight and balance computations;
(10) Principles of aerodynamics, powerplants, and aircraft systems;
(11) If the course of training is for an airplane category or glider category rating, stall awareness, spin entry, spins, and spin recovery techniques;
(12) Aeronautical decision making and judgment; and
(13) Preflight action that includes—
(i) How to obtain information on runway lengths at airports of intended use, data on takeoff and landing distances, weather reports and forecasts, and fuel requirements; and
(ii) How to plan for alternatives if the planned flight cannot be completed or delays are encountered.
4. Flight training. (a) Each approved course must include at least the following flight training, as provided in this section and section No. 5 of this appendix, on the approved areas of operation listed in paragraph (d) of this section, appropriate to the aircraft category and class rating:
(1) 35 hours of training if the course is for an airplane, rotorcraft, powered-lift, or airship rating.
(2) 6 hours of training if the course is for a glider rating.
(3) 8 hours of training if the course is for a balloon rating.
(b) Each approved course must include at least the following flight training:
(1) For an airplane single-engine course: 20 hours of flight training from a certificated flight instructor on the approved areas of operation in paragraph (d)(1) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a single-engine airplane;
(ii) 3 hours of night flight training in a single-engine airplane that includes—
(A) One cross-country flight of more than 100-nautical-miles total distance; and
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) Three hours of flight training in a single engine airplane on the control and maneuvering of a single engine airplane solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) 3 hours of flight training in a single-engine airplane in preparation for the practical test within 60 days preceding the date of the test.
(2) For an airplane multiengine course: 20 hours of flight training from a certificated flight instructor on the approved areas of operation in paragraph (d)(2) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a multiengine airplane;
(ii) 3 hours of night flight training in a multiengine airplane that includes—
(A) One cross-country flight of more than 100-nautical-miles total distance; and
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) Three hours of flight training in a multiengine airplane on the control and maneuvering of a multiengine airplane solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) 3 hours of flight training in a multiengine airplane in preparation for the practical test within 60 days preceding the date of the test.
(3) For a rotorcraft helicopter course: 20 hours of flight training from a certificated flight instructor on the approved areas of operation in paragraph (d)(3) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a helicopter.
(ii) 3 hours of night flight training in a helicopter that includes—
(A) One cross-country flight of more than 50-nautical-miles total distance; and
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) 3 hours of flight training in a helicopter in preparation for the practical test within 60 days preceding the date of the test.
(4) For a rotorcraft gyroplane course: 20 hours of flight training from a certificated flight instructor on the approved areas of operation in paragraph (d)(4) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a gyroplane.
(ii) 3 hours of night flight training in a gyroplane that includes—
(A) One cross-country flight over 50-nautical-miles total distance; and
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) 3 hours of flight training in a gyroplane in preparation for the practical test within 60 days preceding the date of the test.
(5) For a powered-lift course: 20 hours of flight training from a certificated flight instructor on the approved areas of operation in paragraph (d)(5) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a powered-lift;
(ii) 3 hours of night flight training in a powered-lift that includes—
(A) One cross-country flight of more than 100-nautical-miles total distance; and
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) Three hours of flight training in a powered-lift on the control and maneuvering of a powered-lift solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) 3 hours of flight training in a powered-lift in preparation for the practical test, within 60 days preceding the date of the test.
(6) For a glider course: 4 hours of flight training from a certificated flight instructor on the approved areas of operation in paragraph (d)(6) of this section that includes at least—
(i) Five training flights in a glider with a certificated flight instructor on the launch/tow procedures approved for the course and on the appropriate approved areas of operation listed in paragraph (d)(6) of this section; and
(ii) Three training flights in a glider with a certificated flight instructor in preparation for the practical test within 60 days preceding the date of the test.
(7) For a lighter-than-air airship course: 20 hours of flight training from a commercial pilot with an airship rating on the approved areas of operation in paragraph (d)(7) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in an airship;
(ii) 3 hours of night flight training in an airship that includes—
(A) One cross-country flight over 25-nautical-miles total distance; and
(B) Five takeoffs and five landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) 3 hours of instrument training in an airship; and
(iv) 3 hours of flight training in an airship in preparation for the practical test within 60 days preceding the date of the test.
(8) For a lighter-than-air balloon course: 8 hours of flight training, including at least five training flights, from a commercial pilot with a balloon rating on the approved areas of operation in paragraph (d)(8) of this section, that includes—
(i) If the training is being performed in a gas balloon—
(A) Two flights of 1 hour each;
(B) One flight involving a controlled ascent to 3,000 feet above the launch site; and
(C) Two flights in preparation for the practical test within 60 days preceding the date of the test.
(ii) If the training is being performed in a balloon with an airborne heater—
(A) Two flights of 30 minutes each;
(B) One flight involving a controlled ascent to 2,000 feet above the launch site; and
(C) Two flights in preparation for the practical test within 60 days preceding the date of the test.
(c) For use of full flight simulators or flight training devices:
(1) The course may include training in a full flight simulator or flight training device, provided it is representative of the aircraft for which the course is approved, meets the requirements of this paragraph, and the training is given by an authorized instructor.
(2) Training in a full flight simulator that meets the requirements of § 141.41(a) may be credited for a maximum of 20 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(3) Training in a flight training device that meets the requirements of § 141.41(a) may be credited for a maximum of 15 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(4) Training in full flight simulators or flight training devices described in paragraphs (c)(2) and (3) of this section, if used in combination, may be credited for a maximum of 20 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less. However, credit for training in a flight training device that meets the requirements of § 141.41(a) cannot exceed the limitation provided for in paragraph (c)(3) of this section.
(d) Each approved course must include the flight training on the approved areas of operation listed in this paragraph that are appropriate to the aircraft category and class rating—
(1) For a single-engine airplane course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Basic instrument maneuvers;
(x) Emergency operations;
(xi) Night operations, and
(xii) Postflight procedures.
(2) For a multiengine airplane course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Basic instrument maneuvers;
(x) Emergency operations;
(xi) Multiengine operations;
(xii) Night operations; and
(xiii) Postflight procedures.
(3) For a rotorcraft helicopter course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Navigation;
(viii) Emergency operations;
(ix) Night operations; and
(x) Postflight procedures.
(4) For a rotorcraft gyroplane course:
(i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Flight at slow airspeeds;
(ix) Emergency operations;
(x) Night operations; and
(xi) Postflight procedures.
(5) For a powered-lift course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Ground reference maneuvers;
(viii) Navigation;
(ix) Slow flight and stalls;
(x) Basic instrument maneuvers;
(xi) Emergency operations;
(xii) Night operations; and
(xiii) Postflight procedures.
(6) For a glider course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and gliderport operations;
(iv) Launches/tows, as appropriate, and landings;
(v) Performance speeds;
(vi) Soaring techniques;
(vii) Performance maneuvers;
(viii) Navigation;
(ix) Slow flight and stalls;
(x) Emergency operations; and
(xi) Postflight procedures.
(7) For a lighter-than-air airship course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Emergency operations; and
(ix) Postflight procedures.
(8) For a lighter-than-air balloon course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Launches and landings;
(v) Performance maneuvers;
(vi) Navigation;
(vii) Emergency operations; and
(viii) Postflight procedures.
5. Solo flight training. Each approved course must include at least the following solo flight training:
(a) For an airplane single-engine course: 5 hours of solo flight training in a single-engine airplane on the approved areas of operation in paragraph (d)(1) of section No. 4 of this appendix that includes at least—
(1) One solo 100 nautical miles cross country flight with landings at a minimum of three points and one segment of the flight consisting of a straight-line distance of more than 50 nautical miles between the takeoff and landing locations; and
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(b) For an airplane multiengine course: 5 hours of flight training in a multiengine airplane performing the duties of a pilot in command while under the supervision of a certificated flight instructor. The training must consist of the approved areas of operation in paragraph (d)(2) of section No. 4 of this appendix, and include at least—
(1) One 100 nautical miles cross country flight with landings at a minimum of three points and one segment of the flight consisting of a straight-line distance of more than 50 nautical miles between the takeoff and landing locations; and
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(c) For a rotorcraft helicopter course: 5 hours of solo flight training in a helicopter on the approved areas of operation in paragraph (d)(3) of section No. 4 of this appendix that includes at least—
(1) One solo 100 nautical miles cross country flight with landings at a minimum of three points and one segment of the flight consisting of a straight-line distance of more than 25 nautical miles between the takeoff and landing locations; and
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(d) For a rotorcraft gyroplane course: 5 hours of solo flight training in gyroplanes on the approved areas of operation in paragraph (d)(4) of section No. 4 of this appendix that includes at least—
(1) One solo 100 nautical miles cross country flight with landings at a minimum of three points and one segment of the flight consisting of a straight-line distance of more than 25 nautical miles between the takeoff and landing locations; and
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(e) For a powered-lift course: 5 hours of solo flight training in a powered-lift on the approved areas of operation in paragraph (d)(5) of section No. 4 of this appendix that includes at least—
(1) One solo 100 nautical miles cross country flight with landings at a minimum of three points and one segment of the flight consisting of a straight-line distance of more than 50 nautical miles between the takeoff and landing locations; and
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(f) For a glider course: Two solo flights in a glider on the approved areas of operation in paragraph (d)(6) of section No. 4 of this appendix, and the launch and tow procedures appropriate for the approved course.
(g) For a lighter-than-air airship course: 5 hours of flight training in an airship performing the duties of pilot in command while under the supervision of a commercial pilot with an airship rating. The training must consist of the approved areas of operation in paragraph (d)(7) of section No. 4 of this appendix.
(h) For a lighter-than-air balloon course: Two solo flights in a balloon with an airborne heater if the course involves a balloon with an airborne heater or, if the course involves a gas balloon, at least two flights in a gas balloon performing the duties of pilot in command while under the supervision of a commercial pilot with a balloon rating. The training must consist of the approved areas of operation in paragraph (d)(8) of section No. 4 of this appendix, in the kind of balloon for which the course applies.
6. Stage checks and end-of-course tests.
(a) Each student enrolled in a private pilot course must satisfactorily accomplish the stage checks and end-of-course tests in accordance with the school's approved training course, consisting of the approved areas of operation listed in paragraph (d) of section No. 4 of this appendix that are appropriate to the aircraft category and class rating for which the course applies.
(b) Each student must demonstrate satisfactory proficiency prior to receiving an endorsement to operate an aircraft in solo flight.
1. Applicability. This appendix prescribes the minimum curriculum for an instrument rating course and an additional instrument rating course, required under this part, for the following ratings:
(a) Instrument—airplane.
(b) Instrument—helicopter.
(c) Instrument—powered-lift.
2. Eligibility for enrollment. A person must hold at least a private pilot certificate with an aircraft category and class rating appropriate to the instrument rating for which the course applies prior to enrolling in the flight portion of the instrument rating course.
3. Aeronautical knowledge training. (a) Each approved course must include at least the following ground training on the aeronautical knowledge areas listed in paragraph (b) of this section appropriate to the instrument rating for which the course applies:
(1) 30 hours of training if the course is for an initial instrument rating.
(2) 20 hours of training if the course is for an additional instrument rating.
(b) Ground training must include the following aeronautical knowledge areas:
(1) Applicable Federal Aviation Regulations for IFR flight operations;
(2) Appropriate information in the “Aeronautical Information Manual”;
(3) Air traffic control system and procedures for instrument flight operations;
(4) IFR navigation and approaches by use of navigation systems;
(5) Use of IFR en route and instrument approach procedure charts;
(6) Procurement and use of aviation weather reports and forecasts, and the elements of forecasting weather trends on the basis of that information and personal observation of weather conditions;
(7) Safe and efficient operation of aircraft under instrument flight rules and conditions;
(8) Recognition of critical weather situations and windshear avoidance;
(9) Aeronautical decision making and judgment; and
(10) Crew resource management, to include crew communication and coordination.
4. Flight training. (a) Each approved course must include at least the following flight training on the approved areas of operation listed in paragraph (d) of this section, appropriate to the instrument-aircraft category and class rating for which the course applies:
(1) 35 hours of instrument training if the course is for an initial instrument rating.
(2) 15 hours of instrument training if the course is for an additional instrument rating.
(b) For the use of full flight simulators, flight training devices, or aviation training devices—
(1) The course may include training in a full flight simulator, flight training device, or aviation training device, provided it is representative of the aircraft for which the course is approved, meets the requirements of this paragraph, and the training is given by an authorized instructor.
(2) Credit for training in a full flight simulator that meets the requirements of § 141.41(a) cannot exceed 50 percent of the total flight training hour requirements of the course or of this section, whichever is less.
(3) Credit for training in a flight training device that meets the requirements of § 141.41(a), an advanced aviation training device that meets the requirements of § 141.41(b), or a combination of these devices cannot exceed 40 percent of the total flight training hour requirements of the course or of this section, whichever is less. Credit for training in a basic aviation training device that meets the requirements of § 141.41(b) cannot exceed 25 percent of the total training hour requirements permitted under this paragraph.
(4) Credit for training in full flight simulators, flight training devices, and aviation training devices if used in combination, cannot exceed 50 percent of the total flight training hour requirements of the course or of this section, whichever is less. However, credit for training in a flight training device or aviation training device cannot exceed the limitation provided for in paragraph (b)(3) of this section.
(c) Each approved course must include the following flight training—
(1) For an instrument airplane course: Instrument training time from a certificated flight instructor with an instrument rating on the approved areas of operation in paragraph (d) of this section including at least one cross-country flight that—
(i) Is in the category and class of airplane that the course is approved for, and is performed under IFR;
(ii) Is a distance of at least 250 nautical miles along airways or ATC-directed routing with one segment of the flight consisting of at least a straight-line distance of 100 nautical miles between airports;
(iii) Involves an instrument approach at each airport; and
(iv) Involves three different kinds of approaches with the use of navigation systems.
(2) For an instrument helicopter course: Instrument training time from a certificated flight instructor with an instrument rating on the approved areas of operation in paragraph (d) of this section including at least one cross-country flight that—
(i) Is in a helicopter and is performed under IFR;
(ii) Is a distance of at least 100 nautical miles along airways or ATC-directed routing with one segment of the flight consisting of at least a straight-line distance of 50 nautical miles between airports;
(iii) Involves an instrument approach at each airport; and
(iv) Involves three different kinds of approaches with the use of navigation systems.
(3) For an instrument powered-lift course: Instrument training time from a certificated flight instructor with an instrument rating on the approved areas of operation in paragraph (d) of this section including at least one cross-country flight that—
(i) Is in a powered-lift and is performed under IFR;
(ii) Is a distance of at least 250 nautical miles along airways or ATC-directed routing with one segment of the flight consisting of at least a straight-line distance of 100 nautical miles between airports;
(iii) Involves an instrument approach at each airport; and
(iv) Involves three different kinds of approaches with the use of navigation systems.
(d) Each course must include flight training on the areas of operation listed under this paragraph appropriate to the instrument aircraft category and class rating (if a class rating is appropriate) for which the course applies:
(1) Preflight preparation;
(2) Preflight procedures;
(3) Air traffic control clearances and procedures;
(4) Flight by reference to instruments;
(5) Navigation systems;
(6) Instrument approach procedures;
(7) Emergency operations; and
(8) Postflight procedures.
5. Stage checks and end-of-course tests. Each student enrolled in an instrument rating course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation listed in paragraph (d) of section No. 4 of this appendix that are appropriate to the aircraft category and class rating for which the course applies.
1. Applicability. This appendix prescribes the minimum curriculum for a commercial pilot certification course required under this part, for the following ratings:
(a) Airplane single-engine.
(b) Airplane multiengine.
(c) Rotorcraft helicopter.
(d) Rotorcraft gyroplane.
(e) Powered-lift.
(f) Glider.
(g) Lighter-than-air airship.
(h) Lighter-than-air balloon.
2. Eligibility for enrollment. A person must hold the following prior to enrolling in the flight portion of the commercial pilot certification course:
(a) At least a private pilot certificate; and
(b) If the course is for a rating in an airplane or a powered-lift category, then the person must:
(1) Hold an instrument rating in the aircraft that is appropriate to the aircraft category rating for which the course applies; or
(2) Be concurrently enrolled in an instrument rating course that is appropriate to the aircraft category rating for which the course applies, and pass the required instrument rating practical test prior to completing the commercial pilot certification course.
3. Aeronautical knowledge training. (a) Each approved course must include at least the following ground training on the aeronautical knowledge areas listed in paragraph (b) of this section, appropriate to the aircraft category and class rating for which the course applies:
(1) 35 hours of training if the course is for an airplane category rating or a powered-lift category rating.
(2) 65 hours of training if the course is for a lighter-than-air category with an airship class rating.
(3) 30 hours of training if the course is for a rotocraft category rating.
(4) 20 hours of training if the course is for a glider category rating.
(5) 20 hours of training if the course is for lighter-than-air category with a balloon class rating.
(b) Ground training must include the following aeronautical knowledge areas:
(1) Federal Aviation Regulations that apply to commercial pilot privileges, limitations, and flight operations;
(2) Accident reporting requirements of the National Transportation Safety Board;
(3) Basic aerodynamics and the principles of flight;
(4) Meteorology, to include recognition of critical weather situations, windshear recognition and avoidance, and the use of aeronautical weather reports and forecasts;
(5) Safe and efficient operation of aircraft;
(6) Weight and balance computations;
(7) Use of performance charts;
(8) Significance and effects of exceeding aircraft performance limitations;
(9) Use of aeronautical charts and a magnetic compass for pilotage and dead reckoning;
(10) Use of air navigation facilities;
(11) Aeronautical decision making and judgment;
(12) Principles and functions of aircraft systems;
(13) Maneuvers, procedures, and emergency operations appropriate to the aircraft;
(14) Night and high-altitude operations;
(15) Descriptions of and procedures for operating within the National Airspace System; and
(16) Procedures for flight and ground training for lighter-than-air ratings.
4. Flight training. (a) Each approved course must include at least the following flight training, as provided in this section and section No. 5 of this appendix, on the approved areas of operation listed in paragraph (d) of this section that are appropriate to the aircraft category and class rating for which the course applies:
(1) 120 hours of training if the course is for an airplane or powered-lift rating.
(2) 155 hours of training if the course is for an airship rating.
(3) 115 hours of training if the course is for a rotocraft rating.
(4) 6 hours of training if the course is for a glider rating.
(5) 10 hours of training and 8 training flights if the course is for a balloon rating.
(b) Each approved course must include at least the following flight training:
(1) For an airplane single-engine course: 55 hours of flight training from a certificated flight instructor on the approved areas of operation listed in paragraph (d)(1) of this section that includes at least—
(i) Ten hours of instrument training using a view-limiting device including attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. Five hours of the 10 hours required on instrument training must be in a single engine airplane;
(ii) Ten hours of training in a complex airplane, a turbine-powered airplane, or a technically advanced airplane that meets the requirements of § 61.129(j) of this chapter, or any combination thereof. The airplane must be appropriate to land or sea for the rating sought;
(iii) One 2-hour cross country flight in daytime conditions in a single engine airplane that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iv) One 2-hour cross country flight in nighttime conditions in a single engine airplane that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(v) 3 hours in a single-engine airplane in preparation for the practical test within 60 days preceding the date of the test.
(2) For an airplane multiengine course: 55 hours of flight training from a certificated flight instructor on the approved areas of operation listed in paragraph (d)(2) of this section that includes at least—
(i) Ten hours of instrument training using a view-limiting device including attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. Five hours of the 10 hours required on instrument training must be in a multiengine airplane;
(ii) 10 hours of training in a multiengine complex or turbine-powered airplane, or any combination thereof;
(iii) One 2-hour cross country flight in daytime conditions in a multiengine airplane that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iv) One 2-hour cross country flight in nighttime conditions in a multiengine airplane that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(v) 3 hours in a multiengine airplane in preparation for the practical test within 60 days preceding the date of the test.
(3) For a rotorcraft helicopter course: 30 hours of flight training from a certificated flight instructor on the approved areas of operation listed in paragraph (d)(3) of this section that includes at least—
(i) Five hours on the control and maneuvering of a helicopter solely by reference to instruments, including using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. This aeronautical experience may be performed in an aircraft, full flight simulator, flight training device, or an aviation training device;
(ii) One 2-hour cross country flight in daytime conditions in a helicopter that consists of a total straight-line distance of more than 50 nautical miles from the original point of departure;
(iii) One 2-hour cross country flight in nighttime conditions in a helicopter that consists of a total straight-line distance of more than 50 nautical miles from the original point of departure; and
(iv) 3 hours in a helicopter in preparation for the practical test within 60 days preceding the date of the test.
(4) For a rotorcraft gyroplane course: 30 hours of flight training from a certificated flight instructor on the approved areas of operation listed in paragraph (d)(4) of this section that includes at least—
(i) 2.5 hours on the control and maneuvering of a gyroplane solely by reference to instruments, including using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. This aeronautical experience may be performed in an aircraft, full flight simulator, flight training device, or an aviation training device;
(ii) One 2-hour cross country flight in daytime conditions in a gyroplane that consists of a total straight-line distance of more than 50 nautical miles from the original point of departure;
(iii) Two hours of flight training in nighttime conditions in a gyroplane at an airport, that includes 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern); and
(iv) 3 hours in a gyroplane in preparation for the practical test within 60 days preceding the date of the test.
(5) For a powered-lift course: 55 hours of flight training from a certificated flight instructor on the approved areas of operation listed in paragraph (d)(5) of this section that includes at least—
(i) Ten hours of instrument training using a view-limiting device including attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. Five hours of the 10 hours required on instrument training must be in a powered-lift;
(ii) One 2-hour cross country flight in daytime conditions in a powered-lift that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iii) One 2-hour cross country flight in nighttime conditions in a powered-lift that consists of a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(iv) 3 hours in a powered-lift in preparation for the practical test within 60 days preceding the date of the test.
(6) For a glider course: 4 hours of flight training from a certificated flight instructor on the approved areas of operation in paragraph (d)(6) of this section, that includes at least—
(i) Five training flights in a glider with a certificated flight instructor on the launch/tow procedures approved for the course and on the appropriate approved areas of operation listed in paragraph (d)(6) of this section; and
(ii) Three training flights in a glider with a certificated flight instructor in preparation for the practical test within 60 days preceding the date of the test.
(7) For a lighter-than-air airship course: 55 hours of flight training in airships from a commercial pilot with an airship rating on the approved areas of operation in paragraph (d)(7) of this section that includes at least—
(i) Three hours of instrument training in an airship, including using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems;
(ii) One hour cross country flight in daytime conditions in an airship that consists of a total straight-line distance of more than 25 nautical miles from the original point of departure;
(iii) One hour cross country flight in nighttime conditions in an airship that consists of a total straight-line distance of more than 25 nautical miles from the original point of departure; and
(iv) 3 hours in an airship, in preparation for the practical test within 60 days preceding the date of the test.
(8) For a lighter-than-air balloon course: Flight training from a commercial pilot with a balloon rating on the approved areas of operation in paragraph (d)(8) of this section that includes at least—
(i) If the course involves training in a gas balloon:
(A) Two flights of 1 hour each;
(B) One flight involving a controlled ascent to at least 5,000 feet above the launch site; and
(C) Two flights in preparation for the practical test within 60 days preceding the date of the test.
(ii) If the course involves training in a balloon with an airborne heater:
(A) Two flights of 30 minutes each;
(B) One flight involving a controlled ascent to at least 3,000 feet above the launch site; and
(C) Two flights in preparation for the practical test within 60 days preceding the date of the test.
(c) For the use of full flight simulators or flight training devices:
(1) The course may include training in a full flight simulator or flight training device, provided it is representative of the aircraft for which the course is approved, meets the requirements of this paragraph, and is given by an authorized instructor.
(2) Training in a full flight simulator that meets the requirements of § 141.41(a) may be credited for a maximum of 30 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(3) Training in a flight training device that meets the requirements of § 141.41(a) may be credited for a maximum of 20 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(4) Training in the flight training devices described in paragraphs (c)(2) and (3) of this section, if used in combination, may be credited for a maximum of 30 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less. However, credit for training in a flight training device that meets the requirements of § 141.41(a) cannot exceed the limitation provided for in paragraph (c)(3) of this section.
(d) Each approved course must include the flight training on the approved areas of operation listed in this paragraph that are appropriate to the aircraft category and class rating—
(1) For an airplane single-engine course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Navigation;
(vii) Slow flight and stalls;
(viii) Emergency operations;
(ix) High-altitude operations; and
(x) Postflight procedures.
(2) For an airplane multiengine course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and seaplane base operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Navigation;
(vii) Slow flight and stalls;
(viii) Emergency operations;
(ix) Multiengine operations;
(x) High-altitude operations; and
(xi) Postflight procedures.
(3) For a rotorcraft helicopter course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Navigation;
(viii) Emergency operations;
(ix) Special operations; and
(x) Postflight procedures.
(4) For a rotorcraft gyroplane course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport operations;
(iv) Takeoffs, landings, and go-arounds;
(v) Performance maneuvers;
(vi) Ground reference maneuvers;
(vii) Navigation;
(viii) Flight at slow airspeeds;
(ix) Emergency operations; and
(x) Postflight procedures.
(5) For a powered-lift course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and heliport operations;
(iv) Hovering maneuvers;
(v) Takeoffs, landings, and go-arounds;
(vi) Performance maneuvers;
(vii) Navigation;
(viii) Slow flight and stalls;
(ix) Emergency operations;
(x) High altitude operations;
(xi) Special operations; and
(xii) Postflight procedures.
(6) For a glider course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Airport and gliderport operations;
(iv) Launches/tows, as appropriate, and landings;
(v) Performance speeds;
(vi) Soaring techniques;
(vii) Performance maneuvers;
(viii) Navigation;
(ix) Slow flight and stalls;
(x) Emergency operations; and
(xi) Postflight procedures.
(7) For a lighter-than-air airship course: (i) Fundamentals of instructing;
(ii) Technical subjects;
(iii) Preflight preparation;
(iv) Preflight lessons on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport operations;
(vii) Takeoffs, landings, and go-arounds;
(viii) Performance maneuvers;
(ix) Navigation;
(x) Emergency operations; and
(xi) Postflight procedures.
(8) For a lighter-than-air balloon course: (i) Fundamentals of instructing;
(ii) Technical subjects;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport operations;
(vii) Launches and landings;
(viii) Performance maneuvers;
(ix) Navigation;
(x) Emergency operations; and
(xi) Postflight procedures.
5. Solo training. Each approved course must include at least the following solo flight training:
(a) For an airplane single engine course. Ten hours of solo flight time in a single engine airplane, or 10 hours of flight time while performing the duties of pilot in command in a single engine airplane with an authorized instructor on board. The training must consist of the approved areas of operation under paragraph (d)(1) of section 4 of this appendix, and include—
(1) One cross-country flight, if the training is being performed in the State of Hawaii, with landings at a minimum of three points, and one of the segments consisting of a straight-line distance of at least 150 nautical miles;
(2) One cross-country flight, if the training is being performed in a State other than Hawaii, with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 250 nautical miles; and
(3) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight with a traffic pattern) at an airport with an operating control tower.
(b) For an airplane multiengine course. Ten hours of solo flight time in a multiengine airplane, or 10 hours of flight time while performing the duties of pilot in command in a multiengine airplane with an authorized instructor on board. The training must consist of the approved areas of operation under paragraph (d)(2) of section 4 of this appendix, and include—
(1) One cross-country flight, if the training is being performed in the State of Hawaii, with landings at a minimum of three points, and one of the segments consisting of a straight-line distance of at least 150 nautical miles;
(2) One cross-country flight, if the training is being performed in a State other than Hawaii, with landings at a minimum of three points and one segment of the flight consisting of straight-line distance of at least 250 nautical miles; and
(3) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight with a traffic pattern) at an airport with an operating control tower.
(c) For a rotorcraft helicopter course. Ten hours of solo flight time in a helicopter, or 10 hours of flight time while performing the duties of pilot in command in a helicopter with an authorized instructor on board. The training must consist of the approved areas of operation under paragraph (d)(3) of section 4 of this appendix, and include—
(1) One cross-country flight with landings at a minimum of three points and one segment of the flight consisting of a straight-line distance of at least 50 nautical miles from the original point of departure; and
(2) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight with a traffic pattern) at an airport with an operating control tower.
(d) For a rotorcraft-gyroplane course. Ten hours of solo flight time in a gyroplane, or 10 hours of flight time while performing the duties of pilot in command in a gyroplane with an authorized instructor on board. The training must consist of the approved areas of operation under paragraph (d)(4) of section 4 of this appendix, and include—
(1) One cross-country flight with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 50 nautical miles from the original point of departure; and
(2) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight with a traffic pattern) at an airport with an operating control tower.
(e) For a powered-lift course. Ten hours of solo flight time in a powered-lift, or 10 hours of flight time while performing the duties of pilot in command in a powered-lift with an authorized instructor on board. The training must consist of the approved areas of operation under paragraph (d)(5) of section No. 4 of this appendix, and include—
(1) One cross-country flight, if the training is being performed in the State of Hawaii, with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 150 nautical miles;
(2) One cross-country flight, if the training is being performed in a State other than Hawaii, with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 250 nautical miles; and
(3) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight with a traffic pattern) at an airport with an operating control tower.
(f) For a glider course: 5 solo flights in a glider on the approved areas of operation in paragraph (d)(6) of section No. 4 of this appendix.
(g) For a lighter-than-air airship course: 10 hours of flight training in an airship performing the duties of pilot in command while under the supervision of a commercial pilot with an airship rating. The training must consist of the approved areas of operation in paragraph (d)(7) of section No. 4 of this appendix and include at least—
(1) One cross-country flight with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 25 nautical miles from the original point of departure; and
(2) 5 hours in night VFR conditions with 10 takeoffs and 10 landings (with each landing involving a flight with a traffic pattern).
(h) For a lighter-than-air balloon course: Two solo flights if the course is for a hot air balloon rating, or, if the course is for a gas balloon rating, at least two flights in a gas balloon, while performing the duties of pilot in command under the supervision of a commercial pilot with a balloon rating. The training shall consist of the approved areas of operation in paragraph (d)(8) of section No. 4 of this appendix, in the kind of balloon for which the course applies.
6. Stage checks and end-of-course tests. (a) Each student enrolled in a commercial pilot course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation listed in paragraph (d) of section No. 4 of this appendix that are appropriate to aircraft category and class rating for which the course applies.
(b) Each student must demonstrate satisfactory proficiency prior to receiving an endorsement to operate an aircraft in solo flight.
1. Applicability. This appendix prescribes the minimum curriculum for an airline transport pilot certification course under this part, for the following ratings:
(a) Airplane single-engine.
(b) Airplane multiengine.
(c) Rotorcraft helicopter.
(d) Powered-lift.
2. Eligibility for enrollment. Before completing the flight portion of the airline transport pilot certification course, a person must meet the aeronautical experience requirements for an airline transport pilot certificate under part 61, subpart G of this chapter that is appropriate to the aircraft category and class rating for which the course applies, and:
(a) Hold a commercial pilot certificate and an instrument rating, or an airline transport pilot certificate with instrument privileges;
(b) Meet the military experience requirements under § 61.73 of this chapter to qualify for a commercial pilot certificate and an instrument rating, if the person is a rated military pilot or former rated military pilot of an Armed Force of the United States; or
(c) Hold either a foreign airline transport pilot license or foreign commercial pilot license and an instrument rating, if the person holds a pilot license issued by a contracting State to the Convention on International Civil Aviation.
3. Aeronautical knowledge areas. (a) Each approved course must include at least 40 hours of ground training on the aeronautical knowledge areas listed in paragraph (b) of this section, appropriate to the aircraft category and class rating for which the course applies.
(b) Ground training must include the following aeronautical knowledge areas:
(1) Applicable Federal Aviation Regulations of this chapter that relate to airline transport pilot privileges, limitations, and flight operations;
(2) Meteorology, including knowledge of and effects of fronts, frontal characteristics, cloud formations, icing, and upper-air data;
(3) General system of weather and NOTAM collection, dissemination, interpretation, and use;
(4) Interpretation and use of weather charts, maps, forecasts, sequence reports, abbreviations, and symbols;
(5) National Weather Service functions as they pertain to operations in the National Airspace System;
(6) Windshear and microburst awareness, identification, and avoidance;
(7) Principles of air navigation under instrument meteorological conditions in the National Airspace System;
(8) Air traffic control procedures and pilot responsibilities as they relate to en route operations, terminal area and radar operations, and instrument departure and approach procedures;
(9) Aircraft loading; weight and balance; use of charts, graphs, tables, formulas, and computations; and the effects on aircraft performance;
(10) Aerodynamics relating to an aircraft's flight characteristics and performance in normal and abnormal flight regimes;
(11) Human factors;
(12) Aeronautical decision making and judgment; and
(13) Crew resource management to include crew communication and coordination.
4. Flight training. (a) Each approved course must include at least 25 hours of flight training on the approved areas of operation listed in paragraph (c) of this section appropriate to the aircraft category and class rating for which the course applies. At least 15 hours of this flight training must be instrument flight training.
(b) For the use of full flight simulators or flight training devices—
(1) The course may include training in a full flight simulator or flight training device, provided it is representative of the aircraft for which the course is approved, meets the requirements of this paragraph, and the training is given by an authorized instructor.
(2) Training in a full flight simulator that meets the requirements of § 141.41(a) may be credited for a maximum of 50 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(3) Training in a flight training device that meets the requirements of § 141.41(a) may be credited for a maximum of 25 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(4) Training in full flight simulators or flight training devices described in paragraphs (b)(2) and (3) of this section, if used in combination, may be credited for a maximum of 50 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less. However, credit for training in a flight training device that meets the requirements of § 141.41(a) cannot exceed the limitation provided for in paragraph (b)(3) of this section.
(c) Each approved course must include flight training on the approved areas of operation listed in this paragraph appropriate to the aircraft category and class rating for which the course applies:
(1) Preflight preparation;
(2) Preflight procedures;
(3) Takeoff and departure phase;
(4) In-flight maneuvers;
(5) Instrument procedures;
(6) Landings and approaches to landings;
(7) Normal and abnormal procedures;
(8) Emergency procedures; and
(9) Postflight procedures.
5. Stage checks and end-of-course tests. (a) Each student enrolled in an airline transport pilot course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation listed in paragraph (c) of section No. 4 of this appendix that are appropriate to the aircraft category and class rating for which the course applies.
(b) Each student must demonstrate satisfactory proficiency prior to receiving an endorsement to operate an aircraft in solo flight.
1. Applicability. This appendix prescribes the minimum curriculum for a flight instructor certification course and an additional flight instructor rating course required under this part, for the following ratings:
(a) Airplane single-engine.
(b) Airplane multiengine.
(c) Rotorcraft helicopter.
(d) Rotorcraft gyroplane.
(e) Powered-lift.
(f) Glider category.
2. Eligibility for enrollment. A person must hold the following prior to enrolling in the flight portion of the flight instructor or additional flight instructor rating course:
(a) A commercial pilot certificate or an airline transport pilot certificate, with an aircraft category and class rating appropriate to the flight instructor rating for which the course applies; and
(b) An instrument rating or privilege in an aircraft that is appropriate to the aircraft category and class rating for which the course applies, if the course is for a flight instructor airplane or powered-lift instrument rating.
3. Aeronautical knowledge training. (a) Each approved course must include at least the following ground training in the aeronautical knowledge areas listed in paragraph (b) of this section:
(1) 40 hours of training if the course is for an initial issuance of a flight instructor certificate; or
(2) 20 hours of training if the course is for an additional flight instructor rating.
(b) Ground training must include the following aeronautical knowledge areas:
(1) The fundamentals of instructing including—
(i) The learning process;
(ii) Elements of effective teaching;
(iii) Student evaluation and testing;
(iv) Course development;
(v) Lesson planning; and
(vi) Classroom training techniques.
(2) The aeronautical knowledge areas in which training is required for—
(i) A recreational, private, and commercial pilot certificate that is appropriate to the aircraft category and class rating for which the course applies; and
(ii) An instrument rating that is appropriate to the aircraft category and class rating for which the course applies, if the course is for an airplane or powered-lift aircraft rating.
(c) A student who satisfactorily completes 2 years of study on the principles of education at a college or university may be credited with no more than 20 hours of the training required in paragraph (a)(1) of this section.
4. Flight training. (a) Each approved course must include at least the following flight training on the approved areas of operation of paragraph (c) of this section appropriate to the flight instructor rating for which the course applies:
(1) 25 hours, if the course is for an airplane, rotorcraft, or powered-lift rating; and
(2) 10 hours, which must include 10 flights, if the course is for a glider category rating.
(b) For the use of flight simulators or flight training devices:
(1) The course may include training in a full flight simulator or flight training device, provided it is representative of the aircraft for which the course is approved, meets the requirements of this paragraph, and the training is given by an authorized instructor.
(2) Training in a full flight simulator that meets the requirements of § 141.41(a), may be credited for a maximum of 10 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(3) Training in a flight training device that meets the requirements of § 141.41(a), may be credited for a maximum of 5 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(4) Training in full flight simulators or flight training devices described in paragraphs (b)(2) and (3) of this section, if used in combination, may be credited for a maximum of 10 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less. However, credit for training in a flight training device that meets the requirements of § 141.41(a) cannot exceed the limitation provided for in paragraph (b)(3) of this section.
(c) Each approved course must include flight training on the approved areas of operation listed in this paragraph that are appropriate to the aircraft category and class rating for which the course applies—
(1) For an airplane—single-engine course: (i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and seaplane base operations;
(vii) Takeoffs, landings, and go-arounds;
(viii) Fundamentals of flight;
(ix) Performance maneuvers;
(x) Ground reference maneuvers;
(xi) Slow flight, stalls, and spins;
(xii) Basic instrument maneuvers;
(xiii) Emergency operations; and
(xiv) Postflight procedures.
(2) For an airplane—multiengine course: (i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and seaplane base operations;
(vii) Takeoffs, landings, and go-arounds;
(viii) Fundamentals of flight;
(ix) Performance maneuvers;
(x) Ground reference maneuvers;
(xi) Slow flight and stalls;
(xii) Basic instrument maneuvers;
(xiii) Emergency operations;
(xiv) Multiengine operations; and
(xv) Postflight procedures.
(3) For a rotorcraft—helicopter course: (i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and heliport operations;
(vii) Hovering maneuvers;
(viii) Takeoffs, landings, and go-arounds;
(ix) Fundamentals of flight;
(x) Performance maneuvers;
(xi) Emergency operations;
(xii) Special operations; and
(xiii) Postflight procedures.
(4) For a rotorcraft—gyroplane course: (i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport operations;
(vii) Takeoffs, landings, and go-arounds;
(viii) Fundamentals of flight;
(ix) Performance maneuvers;
(x) Flight at slow airspeeds;
(xi) Ground reference maneuvers;
(xii) Emergency operations; and
(xiii) Postflight procedures.
(5) For a powered-lift course: (i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and heliport operations;
(vii) Hovering maneuvers;
(viii) Takeoffs, landings, and go-arounds;
(ix) Fundamentals of flight;
(x) Performance maneuvers;
(xi) Ground reference maneuvers;
(xii) Slow flight and stalls;
(xiii) Basic instrument maneuvers;
(xiv) Emergency operations;
(xv) Special operations; and
(xvi) Postflight procedures.
(6) For a glider course: (i) Fundamentals of instructing;
(ii) Technical subject areas;
(iii) Preflight preparation;
(iv) Preflight lesson on a maneuver to be performed in flight;
(v) Preflight procedures;
(vi) Airport and gliderport operations;
(vii) Tows or launches, landings, and go-arounds, if applicable;
(viii) Fundamentals of flight;
(ix) Performance speeds;
(x) Soaring techniques;
(xi) Performance maneuvers;
(xii) Slow flight, stalls, and spins;
(xiii) Emergency operations; and
(xiv) Postflight procedures.
5. Stage checks and end-of-course tests. (a) Each student enrolled in a flight instructor course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the appropriate approved areas of operation listed in paragraph (c) of section No. 4 of this appendix appropriate to the flight instructor rating for which the course applies.
(b) In the case of a student who is enrolled in a flight instructor-airplane rating or flight instructor-glider rating course, that student must have:
(1) Received a logbook endorsement from a certificated flight instructor certifying the student received ground and flight training on stall awareness, spin entry, spins, and spin recovery procedures in an aircraft that is certificated for spins and is appropriate to the rating sought; and
(2) Demonstrated instructional proficiency in stall awareness, spin entry, spins, and spin recovery procedures.
1. Applicability. This appendix prescribes the minimum curriculum for a flight instructor instrument certification course required under this part, for the following ratings:
(a) Flight Instructor Instrument—Airplane.
(b) Flight Instructor Instrument—Helicopter.
(c) Flight Instructor Instrument—Powered-lift aircraft.
2. Eligibility for enrollment. A person must hold the following prior to enrolling in the flight portion of the flight instructor instrument course:
(a) A commercial pilot certificate or airline transport pilot certificate with an aircraft category and class rating appropriate to the flight instructor category and class rating for which the course applies; and
(b) An instrument rating or privilege on that flight instructor applicant's pilot certificate that is appropriate to the flight instructor instrument rating (for an airplane-, helicopter-, or powered-lift-instrument rating, as appropriate) for which the course applies.
3. Aeronautical knowledge training. (a) Each approved course must include at least 15 hours of ground training on the aeronautical knowledge areas listed in paragraph (b) of this section, appropriate to the flight instructor instrument rating (for an airplane-, helicopter-, or powered-lift-instrument rating, as appropriate) for which the course applies:
(b) Ground training must include the following aeronautical knowledge areas:
(1) The fundamentals of instructing including:
(i) The learning process;
(ii) Elements of effective teaching;
(iii) Student evaluation and testing;
(iv) Course development;
(v) Lesson planning; and
(vi) Classroom training techniques.
(2) The aeronautical knowledge areas in which training is required for an instrument rating that is appropriate to the aircraft category and class rating for the course which applies.
4. Flight training. (a) Each approved course must include at least 15 hours of flight training in the approved areas of operation of paragraph (c) of this section appropriate to the flight instructor rating for which the course applies.
(b) For the use of full flight simulators or flight training devices:
(1) The course may include training in a full flight simulator or flight training device, provided it is representative of the aircraft for which the course is approved for, meets requirements of this paragraph, and the training is given by an instructor.
(2) Training in a full flight simulator that meets the requirements of § 141.41(a), may be credited for a maximum of 10 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(3) Training in a flight training device that meets the requirements of § 141.41(a), may be credited for a maximum of 5 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(4) Training in full flight simulators or flight training devices described in paragraphs (b)(2) and (3) of this section, if used in combination, may be credited for a maximum of 10 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less. However, credit for training in a flight training device that meets the requirements of § 141.41(b) cannot exceed the limitation provided for in paragraph (b)(3) of this section.
(c) An approved course for the flight instructor-instrument rating must include flight training on the following approved areas of operation that are appropriate to the instrument-aircraft category and class rating for which the course applies:
(1) Fundamentals of instructing;
(2) Technical subject areas;
(3) Preflight preparation;
(4) Preflight lesson on a maneuver to be performed in flight;
(5) Air traffic control clearances and procedures;
(6) Flight by reference to instruments;
(7) Navigation systems;
(8) Instrument approach procedures;
(9) Emergency operations; and
(10) Postflight procedures.
5. Stage checks and end-of-course tests. Each student enrolled in a flight instructor instrument course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation listed in paragraph (c) of section No. 4 of this appendix that are appropriate to the flight instructor instrument rating (for an airplane-, helicopter-, or powered-lift-instrument rating, as appropriate) for which the course applies.
1. Applicability. This appendix prescribes the minimum curriculum for a ground instructor certification course and an additional ground instructor rating course, required under this part, for the following ratings:
(a) Ground Instructor—Basic.
(b) Ground Instructor—Advanced.
(c) Ground Instructor—Instrument.
2. Aeronautical knowledge training. (a) Each approved course must include at least the following ground training on the knowledge areas listed in paragraphs (b), (c), (d), and (e) of this section, appropriate to the ground instructor rating for which the course applies:
(1) 20 hours of training if the course is for an initial issuance of a ground instructor certificate; or
(2) 10 hours of training if the course is for an additional ground instructor rating.
(b) Ground training must include the following aeronautical knowledge areas:
(1) Learning process;
(2) Elements of effective teaching;
(3) Student evaluation and testing;
(4) Course development;
(5) Lesson planning; and
(6) Classroom training techniques.
(c) Ground training for a basic ground instructor certificate must include the aeronautical knowledge areas applicable to a recreational and private pilot.
(d) Ground training for an advanced ground instructor rating must include the aeronautical knowledge areas applicable to a recreational, private, commercial, and airline transport pilot.
(e) Ground training for an instrument ground instructor rating must include the aeronautical knowledge areas applicable to an instrument rating.
(f) A student who satisfactorily completed 2 years of study on the principles of education at a college or university may be credited with 10 hours of the training required in paragraph (a)(1) of this section.
3. Stage checks and end-of-course tests. Each student enrolled in a ground instructor course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved knowledge areas in paragraph (b), (c), (d), and (e) of section No. 2 of this appendix appropriate to the ground instructor rating for which the course applies.
1. Applicability. This appendix prescribes the minimum curriculum for an additional aircraft category rating course or an additional aircraft class rating course required under this part, for the following ratings:
(a) Airplane single-engine.
(b) Airplane multiengine.
(c) Rotorcraft helicopter.
(d) Rotorcraft gyroplane.
(e) Powered-lift.
(f) Glider.
(g) Lighter-than-air airship.
(h) Lighter-than-air balloon.
2. Eligibility for enrollment. A person must hold the level of pilot certificate for the additional aircraft category and class rating for which the course applies prior to enrolling in the flight portion of an additional aircraft category or additional aircraft class rating course.
3. Aeronautical knowledge training.
(a) For a recreational pilot certificate, the following aeronautical knowledge areas must be included in a 10-hour ground training course for an additional aircraft category and/or class rating:
(1) Applicable regulations issued by the Federal Aviation Administration for recreational pilot privileges, limitations, and flight operations;
(2) Safe and efficient operation of aircraft, including collision avoidance, and recognition and avoidance of wake turbulence;
(3) Effects of density altitude on takeoff and climb performance;
(4) Weight and balance computations;
(5) Principles of aerodynamics, powerplants, and aircraft systems;
(6) Stall awareness, spin entry, spins, and spin recovery techniques if applying for an airplane single engine rating; and
(7) Preflight action that includes how to obtain information on runway lengths at airports of intended use, data on takeoff and landing distances, weather reports and forecasts, and fuel requirements.
(b) For a private pilot certificate, the following aeronautical knowledge areas must be included in a 10-hour ground training course for an additional class rating or a 15-hour ground training course for an additional aircraft category and class rating:
(1) Applicable regulations issued by the Federal Aviation Administration for private pilot privileges, limitations, and flight operations;
(2) Safe and efficient operation of aircraft, including collision avoidance, and recognition and avoidance of wake turbulence;
(3) Effects of density altitude on takeoff and climb performance;
(4) Weight and balance computations;
(5) Principles of aerodynamics, powerplants, and aircraft systems;
(6) Stall awareness, spin entry, spins, and spin recovery techniques if applying for an airplane single engine rating; and
(7) Preflight action that includes how to obtain information on runway lengths at airports of intended use, data on takeoff and landing distances, weather reports and forecasts, and fuel requirements.
(c) For a commercial pilot certificate, the following aeronautical knowledge areas must be included in a 15-hour ground training course for an additional class rating or a 20-hour ground training course for an additional aircraft category and class rating:
(1) Applicable regulations issued by the Federal Aviation Administration for commercial pilot privileges, limitations, and flight operations;
(2) Basic aerodynamics and the principles of flight;
(3) Safe and efficient operation of aircraft;
(4) Weight and balance computations;
(5) Use of performance charts;
(6) Significance and effects of exceeding aircraft performance limitations;
(7) Principles and functions of aircraft systems;
(8) Maneuvers, procedures, and emergency operations appropriate to the aircraft;
(9) Nighttime and high-altitude operations; and
(10) Procedures for flight and ground training for lighter-than-air ratings.
(d) For an airline transport pilot certificate, the following aeronautical knowledge areas must be included in a 25-hour ground training course for an additional aircraft category and/or class rating:
(1) Applicable regulations issued by the Federal Aviation Administration for airline transport pilot privileges, limitations, and flight operations;
(2) Meteorology, including knowledge and effects of fronts, frontal characteristics, cloud formations, icing, and upper-air data;
(3) General system of weather and NOTAM collection, dissemination, interpretation, and use;
(4) Interpretation and use of weather charts, maps, forecasts, sequence reports, abbreviations, and symbols;
(5) National Weather Service functions as they pertain to operations in the National Airspace System;
(6) Windshear and microburst awareness, identification, and avoidance;
(7) Principles of air navigation under instrument meteorological conditions in the National Airspace System;
(8) Air traffic control procedures and pilot responsibilities as they relate to en route operations, terminal area and radar operations, and instrument departure and approach procedures;
(9) Aircraft loading; weight and balance; use of charts, graphs, tables, formulas, and computations; and the effects on aircraft performance;
(10) Aerodynamics relating to an aircraft's flight characteristics and performance in normal and abnormal flight regimes;
(11) Human factors;
(12) Aeronautical decision making and judgment; and
(13) Crew resource management to include crew communication and coordination.
4. Flight training.
(a) Course for an additional airplane category and single engine class rating.
(1) For the recreational pilot certificate, the course must include 15 hours of flight training on the areas of operations under part 141, appendix A, paragraph 4(c)(1) that include—
(i) Two hours of flight training to an airport and at an airport that is located more than 25 nautical miles from the airport where the applicant normally trains, with three takeoffs and three landings, except as provided under § 61.100 of this chapter; and
(ii) Three hours of flight training in an aircraft with the airplane category and single engine class within 2 calendar months before the date of the practical test.
(2) For the private pilot certificate, the course must include 20 hours of flight training on the areas of operations under part 141, appendix B, paragraph 4(d)(1). A flight simulator and flight training device cannot be used to meet more than 4 hours of the training requirements, and the use of the flight training device is limited to 3 hours of the 4 hours permitted. The course must include—
(i) Three hours of cross country training in a single engine airplane, except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in a single engine airplane that includes one cross country flight of more than 100 nautical miles total distance, and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport;
(iii) Three hours of flight training in a single engine airplane on the control and maneuvering of the airplane solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) Three hours of flight training in a single engine airplane within 2 calendar months before the date of the practical test.
(3) For the commercial pilot certificate, the course must include 55 hours of flight training on the areas of operations under part 141, appendix D, paragraph 4(d)(1). A flight simulator and flight training device cannot be used to meet more than 16.5 hours of the training requirements, and the use of the flight training device is limited to 11 hours of the 16.5 hours permitted. The course must include—
(i) Five hours of instrument training in a single engine airplane that includes training using a view-limiting device on attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems;
(ii) Ten hours of training in a complex airplane, a turbine-powered airplane, or a technically advanced airplane that meets the requirements of § 61.129(j), or any combination thereof. The airplane must be appropriate to land or sea for the rating sought;
(iii) One 2-hour cross country flight during daytime conditions in a single engine airplane, a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iv) One 2-hour cross country flight during nighttime conditions in a single engine airplane, a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(v) Three hours in a single engine airplane within 2 calendar months before the date of the practical test.
(4) For the airline transport pilot certificate, the course must include 25 hours flight training, including 15 hours of instrument training, in a single engine airplane on the areas of operation under part 141, appendix E, paragraph 4.(c). A flight simulator and flight training device cannot be used to meet more than 12.5 hours of the training requirements; and the use of the flight training device is limited to 6.25 hours of the 12.5 hours permitted.
(b) Course for an additional airplane category and multiengine class rating.
(1) For the private pilot certificate, the course requires 20 hours flight training on the areas of operations under part 141, appendix B, paragraph 4.(d)(2). A flight simulator and flight training device cannot be used more than 4 hours to meet the training requirements, and use of the flight training device is limited to 3 hours of the 4 hours permitted. The course must include—
(i) Three hours of cross country training in a multiengine airplane, except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in a multiengine airplane that includes one cross country flight of more than 100 nautical miles total distance, and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport;
(iii) Three hours of flight training in a multiengine airplane on the control and maneuvering of a multiengine airplane solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) Three hours of flight training in a multiengine airplane in preparation for the practical test within 2 calendar months before the date of the test.
(2) For the commercial pilot certificate, the course requires 55 hours flight training on the areas of operations under part 141, appendix D, paragraph 4.(d)(2). A flight simulator and flight training device cannot be used more than 16.5 hours to meet the training requirements, and use of the flight training device is limited to 11 hours of the 16.5 hours permitted. The course must include—
(i) Five hours of instrument training in a multiengine airplane including training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems;
(ii) Ten hours of training in a multiengine airplane that has retractable landing gear, flaps, and a controllable pitch propeller, or is turbine-powered;
(iii) One 2-hour cross country flight during daytime conditions in a multiengine airplane, and a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iv) One 2-hour cross country flight during nighttime conditions in a multiengine airplane, and a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(v) Three hours in a multiengine airplane within 2 calendar months before the date of the practical test.
(3) For the airline transport pilot certificate, the course requires 25 hours of flight training in a multiengine airplane on the areas of operation under part 141, appendix E, paragraph 4.(c) that includes 15 hours of instrument training. A flight simulator and flight training device cannot be used more than 12.5 hours to meet the training requirements, and use of the flight training device is limited to 6.25 hours of the 12.5 hours permitted.
(c) Course for an additional rotorcraft category and helicopter class rating.
(1) For the recreational pilot certificate, the course requires 15 hours of flight training on the areas of operations under part 141, appendix A, paragraph 4.(c)(2) that includes—
(i) Two hours of flight training to and at an airport that is located more than 25 nautical miles from the airport where the applicant normally trains, with three takeoffs and three landings, except as provided under § 61.100 of this chapter; and
(ii) Three hours of flight training in a rotorcraft category and a helicopter class aircraft within 2 calendar months before the date of the practical test.
(2) For the private pilot certificate, the course requires 20 hours flight training on the areas of operations under part 141, appendix B, paragraph 4.(d)(3). A flight simulator and flight training device cannot be used more than 4 hours to meet the training requirements, and use of the flight training device is limited to 3 hours of the 4 hours permitted. The course must include—
(i) Except as provided under § 61.111 of this chapter, 3 hours of cross country flight training in a helicopter;
(ii) Three hours of nighttime flight training in a helicopter that includes one cross country flight of more than 50 nautical miles total distance, and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; and
(iii) Three hours of flight training in a helicopter within 2 calendar months before the date of the practical test.
(3) The commercial pilot certificate level requires 30 hours flight training on the areas of operations under appendix D of part 141, paragraph 4.(d)(3). A flight simulator and flight training device cannot be used more than 9 hours to meet the training requirements, and use of the flight training device is limited to 6 hours of the 9 hours permitted. The course must include—
(i) Five hours on the control and maneuvering of a helicopter solely by reference to instruments, and must include training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. This aeronautical experience may be performed in an aircraft, flight simulator, flight training device, or an aviation training device;
(ii) One 2-hour cross country flight during daytime conditions in a helicopter, a total straight-line distance of more than 50 nautical miles from the original point of departure;
(iii) One 2-hour cross country flight during nighttime conditions in a helicopter, a total straight-line distance of more than 50 nautical miles from the original point of departure; and
(iv) Three hours in a helicopter within 2 calendar months before the date of the practical test.
(4) For the airline transport pilot certificate, the course requires 25 hours of flight training, including 15 hours of instrument training, in a helicopter on the areas of operation under part 141, appendix E, paragraph 4.(c). A flight simulator and flight training device cannot be used more than 12.5 hours to meet the training requirements, and use of the flight training device is limited to 6.25 hours of the 12.5 hours permitted.
(d) Course for an additional rotorcraft category and a gyroplane class rating.
(1) For the recreational pilot certificate, the course requires 15 hours flight training on the areas of operations under part 141, appendix A, paragraph 4.(c)(3) that includes—
(i) Two hours of flight training to and at an airport that is located more than 25 nautical miles from the airport where the applicant normally trains, with three takeoffs and three landings, except as provided under § 61.100 of this chapter; and
(ii) Three hours of flight training in a gyroplane class within 2 calendar months before the date of the practical test.
(2) For the private pilot certificate, the course requires 20 hours flight training on the areas of operations under part 141, appendix B, paragraph 4.(d)(4). A flight simulator and flight training device cannot be used more than 4 hours to meet the training requirements, and use of the flight training device is limited to 3 hours of the 4 hours permitted. The course must include—
(i) Three hours of cross country flight training in a gyroplane, except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in a gyroplane that includes one cross country flight of more than 50 nautical miles total distance, and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; and
(iii) Three hours of flight training in a gyroplane within 2 calendar months before the date of the practical test.
(3) For the commercial pilot certificate, the course requires 30 hours flight training on the areas of operations of appendix D to part 141, paragraph 4.(d)(4). A flight simulator and flight training device cannot be used more than 6 hours to meet the training requirements, and use of the flight training device is limited to 6 hours of the 9 hours permitted. The course must include—
(i) 2.5 hours on the control and maneuvering of a gyroplane solely by reference to instruments, and must include training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. This aeronautical experience may be performed in an aircraft, flight simulator, flight training device, or an aviation training device.
(ii) One 2-hour cross country flight during daytime conditions in a gyroplane, a total straight-line distance of more than 50 nautical miles from the original point of departure;
(iii) Two hours of flight training during nighttime conditions in a gyroplane at an airport, that includes 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern); and
(iv) Three hours in a gyroplane within 2 calendar months before the date of the practical test.
(e) Course for an additional lighter-than-air category and airship class rating.
(1) For the private pilot certificate, the course requires 20 hours of flight training on the areas of operation under part 141, appendix B, paragraph 4.(d)(7). A flight simulator and flight training device cannot be used more than 4 hours to meet the training requirements, and use of the flight training device is limited to 3 hours of the 4 hours permitted. The course must include—
(i) Three hours of cross country flight training in an airship, except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in an airship that includes one cross country flight of more than 25 nautical miles total distance and 5 takeoffs and 5 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport;
(iii) Three hours of flight training in an airship on the control and maneuvering of an airship solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) Three hours of flight training in an airship within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 55 hours of flight training on the areas of operation under part 141, appendix D, paragraph 4.(d)(7). A flight simulator and flight training device cannot be used more than 16.5 hours to meet the training requirements, and use of the flight training device is limited to 11 hours of the 16.5 hours permitted. The course must include—
(i) Three hours of instrument training in an airship that must include training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems;
(ii) One hour cross country flight during daytime conditions in an airship that consists of, a total straight-line distance of more than 25 nautical miles from the original point of departure;
(iii) One hour cross country flight during nighttime conditions in an airship that consists of a total straight-line distance of more than 25 nautical miles from the original point of departure; and
(iv) Three hours of flight training in an airship within 2 calendar months before the date of the practical test.
(f) Course for an additional lighter-than-air category and a gas balloon class rating.
(1) For the private pilot certificate, the course requires eight hours of flight training that includes 5 training flights on the areas of operations under part 141, appendix B, paragraph 4(d)(8). A flight simulator and flight training device cannot be used more than 1.6 hours to meet the training requirements, and use of the flight training device is limited to 1.2 hours of the 1.6 hours permitted. The course must include—
(i) Two flights of 1 hour each;
(ii) One flight involving a controlled ascent to 3,000 feet above the launch site; and
(iii) Two flights within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 10 hours of flight training that includes eight training flights on the areas of operations under part 141, appendix D, paragraph 4(d)(8). A flight simulator and flight training device cannot be used more than 3 hours to meet the training requirements, and use of the flight training device is limited to 2 hours of the 3 hours permitted. The course must include—
(i) Two flights of 1 hour each;
(ii) One flight involving a controlled ascent to 5,000 feet above the launch site; and
(iii) Two flights within 2 calendar months before the date of the practical test.
(g) Course for an additional lighter-than-air category and a hot air balloon class rating.
(1) For the private pilot certificate, the course requires eight hours of flight training that includes 5 training flights on the areas of operations under part 141, appendix B, paragraph 4(d)(8). A flight simulator and flight training device cannot be used more than 1.6 hours to meet the training requirements, and use of the flight training device is limited to 1.2 hours of the 1.6 hours permitted. The course must include—
(i) Two flights of 30 minutes each;
(ii) One flight involving a controlled ascent to 2,000 feet above the launch site; and
(iii) Two flights within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 10 hours of flight training that includes eight training flights on the areas of operation under part 141, appendix D, paragraph 4(d)(8). A flight simulator and flight training device cannot be used more than 3 hours to meet the training requirements, and use of the flight training device is limited to 2 hours of the 3 hours permitted. The course must include—
(i) Two flights of 30 minutes each;
(ii) One flight involving a controlled ascent to 3,000 feet above the launch site; and
(iii) Two flights within 2 calendar months before the date of the practical test.
(h) Course for an additional powered-lift category rating.
(1) For the private pilot certificate, the course requires 20 hours flight training on the areas of operations under part 141, appendix B, paragraph 4(d)(5). A flight simulator and flight training device cannot be used more than 4 hours to meet the training requirements, and use of the flight training device is limited to 3 hours of the 4 hours permitted. The course must include—
(i) Three hours of cross country flight training in a powered-lift except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in a powered-lift that includes one cross-country flight of more than 100 nautical miles total distance, and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport;
(iii) Three hours of flight training in a powered-lift on the control and maneuvering of a powered-lift solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight;
(iv) Three hours of flight training in a powered-lift within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 55 hours flight training on the areas of operations under part 141, appendix D, paragraph 4(d)(5). A flight simulator and flight training device cannot be used more than 16.5 hours to meet the training requirements, and use of the flight training device is limited to 11 hours of the 16.5 hours permitted. The course includes—
(i) Five hours of instrument training in a powered-lift that must include training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems;
(ii) One 2-hour cross country flight during daytime conditions in a powered-lift, a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iii) One 2-hour cross country flight during nighttime conditions in a powered-lift, a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(iv) Three hours of flight training in a powered-lift within 2 calendar months before the date of the practical test.
(3) For the airline transport pilot certificate, the course requires 25 hours flight training in a powered-lift on the areas of operation under part 141, appendix E, paragraph 4(c) that includes 15 hours of instrument training. A flight simulator and flight training device cannot be used more than 12.5 hours to meet the training requirements, and use of the flight training device is limited to 6.25 hours of the 12.5 hours permitted.
(i) Course for an additional glider category rating.
(1) For the private pilot certificate, the course requires 4 hours of flight training in a glider on the areas of operations under part 141, appendix B, paragraph 4(d)(6). A flight simulator and flight training device cannot be used more than 0.8 hours to meet the training requirements, and use of the flight training device is limited to 0.6 hours of the 0.8 hours permitted. The course must include—
(i) Five training flights in a glider with a certificated flight instructor on the launch/tow procedures approved for the course and on the appropriate approved areas of operation listed under appendix B, paragraph 4(d)(6) of this part; and
(ii) Three training flights in a glider with a certificated flight instructor within 2 calendar months before the date of the practical test.
(2) The commercial pilot certificate level requires 4 hours of flight training in a glider on the areas of operation under part 141, appendix D, paragraph 4.(d)(6). A flight simulator and flight training device cannot be used more than 0.8 hours to meet the training requirements, and use of the flight training device is limited to 0.6 hours of the 0.8 hours permitted. The course must include—
(i) Five training flights in a glider with a certificated flight instructor on the launch/tow procedures approved for the course and on the appropriate approved areas of operation listed in appendix D of part 141, paragraph 4.(d)(6); and
(ii) Three training flights in a glider with a certificated flight instructor in preparation for the practical test within 2 calendar months preceding the date of the test.
(j) Course for an airplane additional single engine class rating.
(1) For the private pilot certificate, the course requires 3 hours of flight training in the areas of operations under part 141, appendix B, paragraph 4.(d)(1). A flight simulator and flight training device cannot be used more than 0.6 hours to meet the training requirements, and use of the flight training device is limited to 0.4 hours of the 0.6 hours permitted. The course must include—
(i) Three hours of cross country training in a single engine airplane, except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in a single engine airplane that includes one cross country flight of more than 100 nautical miles total distance in a single engine airplane and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport;
(iii) Three hours of flight training in a single engine airplane on the control and maneuvering of a single engine airplane solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) Three hours of flight training in a single engine airplane within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 10 hours of flight training on the areas of operations under part 141, appendix D, paragraph 4.(d)(1).
(i) Five hours of instrument training in a single engine airplane that must include training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems.
(ii) Ten hours of flight training in an airplane that has retractable landing gear, flaps, and a controllable pitch propeller, or is turbine-powered.
(iii) One 2-hour cross country flight during daytime conditions in a single engine airplane and a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iv) One 2-hour cross country flight during nighttime conditions in a single engine airplane and a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(v) Three hours of flight training in a single engine airplane within 2 calendar months before the date of the practical test.
(3) For the airline transport pilot certificate, the course requires 25 hours flight training in a single engine airplane on the areas of operation under appendix E to part 141, paragraph 4.(c), that includes 15 hours of instrument training. A flight simulator and flight training device cannot be used more than 12.5 hours to meet the training requirements, and use of the flight training device is limited to 6.25 hours of the 12.5 hours permitted.
(k) Course for an airplane additional multiengine class rating.
(1) For the private pilot certificate, the course requires 3 hours of flight training on the areas of operations of appendix B to part 141, paragraph 4(d)(2). A flight simulator and flight training device cannot be used more than 0.6 hours to meet the training requirements, and use of the flight training device is limited to 0.4 hours of the 0.6 hours permitted. The course must include—
(i) Three hours of cross country training in a multiengine airplane, except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in a multiengine airplane that includes one cross country flight of more than 100 nautical miles total distance in a multiengine airplane, and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport;
(iii) Three hours of flight training in a multiengine airplane on the control and maneuvering of a multiengine airplane solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) Three hours of flight training in a multiengine airplane within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 10 hours of training on the areas of operations under appendix D of part 141, paragraph 4(d)(2). A flight simulator and flight training device cannot be used more than 3 hours to meet the training requirements, and use of the flight training device is limited to 2 hours of the 3 hours permitted. The course must include—
(i) Five hours of instrument training in a multiengine airplane that must include training using a view-limiting device on for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems;
(ii) Ten hours of training in a multiengine airplane that has retractable landing gear, flaps, and a controllable pitch propeller, or is turbine-powered;
(iii) One 2-hour cross country flight during daytime conditions in a multiengine airplane and, a total straight-line distance of more than 100 nautical miles from the original point of departure;
(iv) One 2-hour cross country flight during nighttime conditions in a multiengine airplane and, a total straight-line distance of more than 100 nautical miles from the original point of departure; and
(v) Three hours of flight training in a multiengine airplane within 2 calendar months before the date of the practical test.
(3) For the airline transport pilot certificate, the course requires 25 hours of training in a multiengine airplane on the areas of operation of appendix E to part 141, paragraph 4.(c) that includes 15 hours of instrument training. A flight simulator and flight training device cannot be used more than 12.5 hours to meet the training requirements, and use of the flight training device is limited to 6.25 hours of the 12.5 hours permitted.
(l) Course for a rotorcraft additional helicopter class rating.
(1) For the recreational pilot certificate, the course requires 3 hours of flight training on the areas of operations under appendix A of part 141, paragraph 4.(c)(2) that includes—
(i) Two hours of flight training to and at an airport that is located more than 25 nautical miles from the airport where the applicant normally trains, with three takeoffs and three landings, except as provided under § 61.100 of this chapter; and
(ii) Three hours of flight training in a helicopter within 2 calendar months before the date of the practical test.
(2) For the private pilot certificate, the course requires 3 hours flight training on the areas of operations under appendix B of part 141, paragraph 4.(d)(3). A flight simulator and flight training device cannot be used more than 0.6 hours to meet the training requirements, and use of the flight training device is limited to 0.4 hours of the 0.6 hours permitted. The course must include—
(i) Three hours of cross country training in a helicopter, except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in a helicopter that includes one cross country flight of more than 50 nautical miles total distance, and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; and
(iii) Three hours of flight training in a helicopter within 2 calendar months before the date of the practical test.
(3) For the commercial pilot certificate, the course requires 5 hours flight training on the areas of operations under appendix D of part 141, paragraph 4.(d)(3). Use of a flight simulator and flight training device in the approved training course cannot exceed 1 hour; however, use of the flight training device cannot exceed 0.7 of the one hour. The course must include—
(i) Five hours on the control and maneuvering of a helicopter solely by reference to instruments, and must include training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. This aeronautical experience may be performed in an aircraft, flight simulator, flight training device, or an aviation training device;
(ii) One 2-hour cross country flight during daytime conditions in a helicopter and, a total straight-line distance of more than 50 nautical miles from the original point of departure;
(iii) One 2-hour cross country flight during nighttime conditions in a helicopter and a total straight-line distance of more than 50 nautical miles from the original point of departure; and
(iv) Three hours of flight training in a helicopter within 2 calendar months before the date of the practical test.
(4) For the airline transport pilot certificate, the course requires 25 hours of flight training in a helicopter on the areas of operation under appendix E of part 141, paragraph 4.(c) that includes 15 hours of instrument training. A flight simulator and flight training device cannot be used more than 12.5 hours to meet the training requirements, and use of the flight training device is limited to 6.25 hours of the 12.5 hours permitted.
(m) Course for a rotorcraft additional gyroplane class rating.
(1) For the recreational pilot certificate, the course requires 3 hours flight training on the areas of operations of appendix A to part 141, paragraph 4.(c)(3) that includes—
(i) Except as provided under § 61.100 of this chapter, 2 hours of flight training to and at an airport that is located more than 25 nautical miles from the airport where the applicant normally trains, with three takeoffs and three landings; and
(ii) Within 2 calendar months before the date of the practical test, 3 hours of flight training in a gyroplane.
(2) For the private pilot certificate, the course requires 3 hours flight training on the areas of operations of appendix B to part 141, paragraph 4.(d)(4). A flight simulator and flight training device cannot be used more than 0.6 hours to meet the training requirements, and use of the flight training device is limited to 0.4 hours of the 0.6 hours permitted. The course must include—
(i) Three hours of cross country training in a gyroplane;
(ii) Three hours of nighttime flight training in a gyroplane that includes one cross country flight of more than 50 nautical miles total distance, and 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport; and
(iii) Three hours of flight training in a gyroplane within 2 calendar months before the date of the practical test.
(3) For the commercial pilot certificate, the course requires 5 hours flight training on the areas of operations of appendix D to part 141, paragraph 4.(d)(4). A flight simulator and flight training device cannot be used more than 1 hour to meet the training requirements, and use of the flight training device is limited to 0.7 hours of the 1 hour permitted. The course must include—
(i) 2.5 hours on the control and maneuvering of a gyroplane solely by reference to instruments, and must include training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems. This aeronautical experience may be performed in an aircraft, flight simulator, flight training device, or an aviation training device.
(ii) Three hours of cross country flight training in a gyroplane, except as provided under § 61.111 of this chapter;
(iii) Two hours of flight training during nighttime conditions in a gyroplane at an airport that includes 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern); and
(iv) Three hours of flight training in a gyroplane within 2 calendar months before the date of the practical test.
(n) Course for a lighter-than-air additional airship class rating.
(1) For the private pilot certificate, the course requires 20 hours of flight training on the areas of operation under appendix B of part 141, paragraph 4.(d)(7). A flight simulator and flight training device cannot be used more than 4 hours to meet the training requirements, and use of the flight training device is limited to 3 hours of the 4 hours permitted. The course must include—
(i) Three hours of cross country training in an airship, except as provided under § 61.111 of this chapter;
(ii) Three hours of nighttime flight training in an airship that includes one cross country flight of more than 25 nautical miles total distance, and 5 takeoffs and 5 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport;
(iii) Three hours of flight training in an airship on the control and maneuvering of an airship solely by reference to instruments, including straight and level flight, constant airspeed climbs and descents, turns to a heading, recovery from unusual flight attitudes, radio communications, and the use of navigation systems/facilities and radar services appropriate to instrument flight; and
(iv) Three hours of flight training in an airship within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 55 hours of flight training on the areas of operation under appendix D of part 141, paragraph 4.(d)(7). A flight simulator and flight training device cannot be used more than 16.5 hours to meet the training requirements, and use of the flight training device is limited to 11 hours of the 16.5 hours permitted. The course must include—
(i) Three hours of instrument training in an airship that must include training using a view-limiting device for attitude instrument flying, partial panel skills, recovery from unusual flight attitudes, and intercepting and tracking navigational systems;
(ii) One hour cross country flight during daytime conditions in an airship that consists of a total straight-line distance of more than 25 nautical miles from the original point of departure;
(iii) One hour cross country flight during nighttime conditions in an airship that consists of a total straight-line distance of more than 25 nautical miles from the original point of departure; and
(iv) Three hours of flight training in an airship within 2 calendar months before the date of the practical test.
(o) Course for a lighter-than-air additional gas balloon class rating.
(1) For the private pilot certificate, the course requires eight hours of flight training that includes 5 training flights on the areas of operations under appendix B of part 141, paragraph 4.(d)(8). A flight simulator and flight training device cannot be used more than 1.6 hours to meet the training requirements, and use of the flight training device is limited to 1.2 hours of the 1.6 hours permitted. The course must include—
(i) Two flights of 1 hour each;
(ii) One flight involving a controlled ascent to 3,000 feet above the launch site; and
(iii) Two flights within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 10 hours of flight training that includes eight training flights on the areas of operations of appendix D to part 141, paragraph 4.(d)(8). A flight simulator and flight training device cannot be used more than 3 hours to meet the training requirements, and use of the flight training device is limited to 2 hours of the 3 hours permitted. The course must include—
(i) Two flights of 1 hour each;
(ii) One flight involving a controlled ascent to 5,000 feet above the launch site; and
(iii) Two flights within 2 calendar months before the date of the practical test.
(p) Course for a lighter-than-air additional hot air balloon class rating.
(1) For the private pilot certificate, the course requires 8 hours of flight training that includes 5 training flights on the areas of operations of appendix B to part 141, paragraph 4.(d)(8). A flight simulator and flight training device cannot be used more than 1.6 hours to meet the training requirements, and use of the flight training device is limited to 1.2 hours of the 1.6 hours permitted. The course must include—
(i) Two flights of 30 minutes each;
(ii) One flight involving a controlled ascent to 2,000 feet above the launch site; and
(iii) Two flights within 2 calendar months before the date of the practical test.
(2) For the commercial pilot certificate, the course requires 10 hours of flight training that includes eight training flight on the areas of operation of appendix D to part 141, paragraph 4.(d)(8). A flight simulator and flight training device cannot be used more than 3 hours to meet the training requirements, and use of the flight training device is limited to 2 hours of the 3 hours permitted. The course must include—
(i) Two flights of 30 minutes each.
(ii) One flight involving a controlled ascent to 3,000 feet above the launch site; and
(iii) Two flights within 2 calendar months before the date of the practical test.
5. Stage checks and end-of-course tests. (a) Each student enrolled in an additional aircraft category rating course or an additional aircraft class rating course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation in section No. 4 of this appendix that are appropriate to the aircraft category and class rating for which the course applies at the appropriate pilot certificate level.
(b) Each student must demonstrate satisfactory proficiency prior to receiving an endorsement to operate an aircraft in solo flight.
1. Applicability. This appendix prescribes the minimum curriculum for an aircraft type rating course other than an airline transport pilot certificate, for:
(a) A type rating in an airplane category—single-engine class.
(b) A type rating in an airplane category—multiengine class.
(c) A type rating in a rotorcraft category—helicopter class.
(d) A type rating in a powered-lift category.
(e) Other aircraft type ratings specified by the Administrator through the aircraft type certificate procedures.
2. Eligibility for enrollment. Prior to enrolling in the flight portion of an aircraft type rating course, a person must hold at least a private pilot certificate and:
(a) An instrument rating in the category and class of aircraft that is appropriate to the aircraft type rating for which the course applies, provided the aircraft's type certificate does not have a VFR limitation; or
(b) Be concurrently enrolled in an instrument rating course in the category and class of aircraft that is appropriate to the aircraft type rating for which the course applies, and pass the required instrument rating practical test concurrently with the aircraft type rating practical test.
3. Aeronautical knowledge training. (a) Each approved course must include at least 10 hours of ground training on the aeronautical knowledge areas listed in paragraph (b) of this section, appropriate to the aircraft type rating for which the course applies.
(b) Ground training must include the following aeronautical areas:
(1) Proper control of airspeed, configuration, direction, altitude, and attitude in accordance with procedures and limitations contained in the aircraft's flight manual, checklists, or other approved material appropriate to the aircraft type;
(2) Compliance with approved en route, instrument approach, missed approach, ATC, or other applicable procedures that apply to the aircraft type;
(3) Subjects requiring a practical knowledge of the aircraft type and its powerplant, systems, components, operational, and performance factors;
(4) The aircraft's normal, abnormal, and emergency procedures, and the operations and limitations relating thereto;
(5) Appropriate provisions of the approved aircraft's flight manual;
(6) Location of and purpose for inspecting each item on the aircraft's checklist that relates to the exterior and interior preflight; and
(7) Use of the aircraft's prestart checklist, appropriate control system checks, starting procedures, radio and electronic equipment checks, and the selection of proper navigation and communication radio facilities and frequencies.
4. Flight training. (a) Each approved course must include at least:
(1) Flight training on the approved areas of operation of paragraph (c) of this section in the aircraft type for which the course applies; and
(2) 10 hours of training of which at least 5 hours must be instrument training in the aircraft for which the course applies.
(b) For the use of full flight simulators or flight training devices:
(1) The course may include training in a full flight simulator or flight training device, provided it is representative of the aircraft for which the course is approved, meets requirements of this paragraph, and the training is given by an authorized instructor.
(2) Training in a full flight simulator that meets the requirements of § 141.41(a), may be credited for a maximum of 50 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(3) Training in a flight training device that meets the requirements of § 141.41(a), may be credited for a maximum of 25 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(4) Training in the full flight simulators or flight training devices described in paragraphs (b)(2) and (3) of this section, if used in combination, may be credited for a maximum of 50 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less. However, credit training in a flight training device that meets the requirements of § 141.41(a) cannot exceed the limitation provided for in paragraph (b)(3) of this section.
(c) Each approved course must include the flight training on the areas of operation listed in this paragraph, that are appropriate to the aircraft category and class rating for which the course applies:
(1) A type rating for an airplane—single-engine course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoff and departure phase;
(iv) In-flight maneuvers;
(v) Instrument procedures;
(vi) Landings and approaches to landings;
(vii) Normal and abnormal procedures;
(viii) Emergency procedures; and
(ix) Postflight procedures.
(2) A type rating for an airplane—multiengine course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoff and departure phase;
(iv) In-flight maneuvers;
(v) Instrument procedures;
(vi) Landings and approaches to landings;
(vii) Normal and abnormal procedures;
(viii) Emergency procedures; and
(ix) Postflight procedures.
(3) A type rating for a powered-lift course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoff and departure phase;
(iv) In-flight maneuvers;
(v) Instrument procedures;
(vi) Landings and approaches to landings;
(vii) Normal and abnormal procedures;
(viii) Emergency procedures; and
(ix) Postflight procedures.
(4) A type rating for a rotorcraft—helicopter course: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoff and departure phase;
(iv) In-flight maneuvers;
(v) Instrument procedures;
(vi) Landings and approaches to landings;
(vii) Normal and abnormal procedures;
(viii) Emergency procedures; and
(ix) Postflight procedures.
(5) Other aircraft type ratings specified by the Administrator through aircraft type certificate procedures: (i) Preflight preparation;
(ii) Preflight procedures;
(iii) Takeoff and departure phase;
(iv) In-flight maneuvers;
(v) Instrument procedures;
(vi) Landings and approaches to landings;
(vii) Normal and abnormal procedures;
(viii) Emergency procedures; and
(ix) Postflight procedures.
5. Stage checks and end-of-course tests. (a) Each student enrolled in an aircraft type rating course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation that are appropriate to the aircraft type rating for which the course applies at the airline transport pilot certificate level; and
(b) Each student must demonstrate satisfactory proficiency prior to receiving an endorsement to operate an aircraft in solo flight.
1. Applicability. This appendix prescribes the minimum curriculum for the special preparation courses that are listed in § 141.11 of this part.
2. Eligibility for enrollment. Prior to enrolling in the flight portion of a special preparation course, a person must hold a pilot certificate, flight instructor certificate, or ground instructor certificate that is appropriate for the exercise of the operating privileges or authorizations sought.
3. General requirements. (a) To be approved, a special preparation course must:
(1) Meet the appropriate requirements of this appendix; and
(2) Prepare the graduate with the necessary skills, competency, and proficiency to exercise safely the privileges of the certificate, rating, or authorization for which the course is established.
(b) An approved special preparation course must include ground and flight training on the operating privileges or authorization sought, for developing competency, proficiency, resourcefulness, self-confidence, and self-reliance in the student.
4. Use of full flight simulators, flight training devices, or aviation training devices. (a) The approved special preparation course may include training in a full flight simulator or flight training device, provided it is representative of the aircraft for which the course is approved, meets requirements of this paragraph, and the training is given by an authorized instructor. A flight instructor enhanced qualification training program may include training in an advanced aviation training device in accordance with paragraph 14 of this appendix and § 61.195(h)(3)(v) of this chapter.
(b) Except for the airline transport pilot certification program in paragraph 13 of this appendix and the flight instructor enhanced qualification training program in paragraph 14 of this appendix, training in a full flight simulator that meets the requirements of § 141.41(a) may be credited for a maximum of 10 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(c) Except for the airline transport pilot certification program in paragraph 13 of this appendix and the flight instructor enhanced qualification training program in paragraph 14 of this appendix, training in a flight training device that meets the requirements of § 141.41(a), may be credited for a maximum of 5 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(d) Training in the full flight simulators or flight training devices described in paragraphs (b) and (c) of this section, if used in combination, may be credited for a maximum of 10 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less. However, credit for training in a flight training device that meets the requirements of § 141.41(a) cannot exceed the limitation provided for in paragraph (c) of this section.
5. Stage check and end-of-course tests. Each person enrolled in a special preparation course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation that are appropriate to the operating privileges or authorization sought, and for which the course applies.
6. Agricultural aircraft operations course. An approved special preparation course for pilots in agricultural aircraft operations must include at least the following—
(a) 25 hours of training on:
(1) Agricultural aircraft operations;
(2) Safe piloting and operating practices and procedures for handling, dispensing, and disposing agricultural and industrial chemicals, including operating in and around congested areas; and
(3) Applicable provisions of part 137 of this chapter.
(b) 15 hours of flight training on agricultural aircraft operations.
7. Rotorcraft external-load operations course. An approved special preparation course for pilots of external-load operations must include at least the following—
(a) 10 hours of training on:
(1) Rotorcraft external-load operations;
(2) Safe piloting and operating practices and procedures for external-load operations, including operating in and around congested areas; and
(3) Applicable provisions of part 133 of this chapter.
(b) 15 hours of flight training on external-load operations.
8. Test pilot course. An approved special preparation course for pilots in test pilot duties must include at least the following—
(a) Aeronautical knowledge training on:
(1) Performing aircraft maintenance, quality assurance, and certification test flight operations;
(2) Safe piloting and operating practices and procedures for performing aircraft maintenance, quality assurance, and certification test flight operations;
(3) Applicable parts of this chapter that pertain to aircraft maintenance, quality assurance, and certification tests; and
(4) Test pilot duties and responsibilities.
(b) 15 hours of flight training on test pilot duties and responsibilities.
9. Special operations course. An approved special preparation course for pilots in special operations that are mission-specific for certain aircraft must include at least the following—
(a) Aeronautical knowledge training on:
(1) Performing that special flight operation;
(2) Safe piloting operating practices and procedures for performing that special flight operation;
(3) Applicable parts of this chapter that pertain to that special flight operation; and
(4) Pilot in command duties and responsibilities for performing that special flight operation.
(b) Flight training:
(1) On that special flight operation; and
(2) To develop skills, competency, proficiency, resourcefulness, self-confidence, and self-reliance in the student for performing that special flight operation in a safe manner.
10. Pilot refresher course. An approved special preparation pilot refresher course for a pilot certificate, aircraft category and class rating, or an instrument rating must include at least the following—
(a) 4 hours of aeronautical knowledge training on:
(1) The aeronautical knowledge areas that are applicable to the level of pilot certificate, aircraft category and class rating, or instrument rating, as appropriate, that pertain to that course;
(2) Safe piloting operating practices and procedures; and
(3) Applicable provisions of parts 61 and 91 of this chapter for pilots.
(b) 6 hours of flight training on the approved areas of operation that are applicable to the level of pilot certificate, aircraft category and class rating, or instrument rating, as appropriate, for performing pilot-in-command duties and responsibilities.
11. Flight instructor refresher course. An approved special preparation flight instructor refresher course must include at least a combined total of 16 hours of aeronautical knowledge training, flight training, or any combination of ground and flight training on the following—
(a) Aeronautical knowledge training on:
(1) The aeronautical knowledge areas of part 61 of this chapter that apply to student, recreational, private, and commercial pilot certificates and instrument ratings;
(2) The aeronautical knowledge areas of part 61 of this chapter that apply to flight instructor certificates;
(3) Safe piloting operating practices and procedures, including airport operations and operating in the National Airspace System; and
(4) Applicable provisions of parts 61 and 91 of this chapter that apply to pilots and flight instructors.
(b) Flight training to review:
(1) The approved areas of operations applicable to student, recreational, private, and commercial pilot certificates and instrument ratings; and
(2) The skills, competency, and proficiency for performing flight instructor duties and responsibilities.
12. Ground instructor refresher course. An approved special preparation ground instructor refresher course must include at least 16 hours of aeronautical knowledge training on:
(a) The aeronautical knowledge areas of part 61 of this chapter that apply to student, recreational, private, and commercial pilots and instrument rated pilots;
(b) The aeronautical knowledge areas of part 61 of this chapter that apply to ground instructors;
(c) Safe piloting operating practices and procedures, including airport operations and operating in the National Airspace System; and
(d) Applicable provisions of parts 61 and 91 of this chapter that apply to pilots and ground instructors.
13. Airline transport pilot certification training program. An approved airline transport pilot certification training program must include the academic and FSTD training set forth in § 61.156 of this chapter. The FAA will not approve a course with fewer hours than those prescribed in § 61.156 of this chapter.
14. Flight instructor enhanced qualification training program. An approved flight instructor enhanced qualification training program must include the ground and flight training specified in § 61.195(h)(3) of this chapter. The FAA will not approve a course with fewer hours than those prescribed in § 61.195(h)(3) of this chapter.
1. Applicability. This appendix prescribes the minimum curriculum for a pilot ground school course required under this part.
2. General requirements. An approved course of training for a pilot ground school must include training on the aeronautical knowledge areas that are:
(a) Needed to safely exercise the privileges of the certificate, rating, or authority for which the course is established; and
(b) Conducted to develop competency, proficiency, resourcefulness, self-confidence, and self-reliance in each student.
3. Aeronautical knowledge training requirements. Each approved pilot ground school course must include:
(a) The aeronautical knowledge training that is appropriate to the aircraft rating and pilot certificate level for which the course applies; and
(b) An adequate number of total aeronautical knowledge training hours appropriate to the aircraft rating and pilot certificate level for which the course applies.
4. Stage checks and end-of-course tests. Each person enrolled in a pilot ground school course must satisfactorily accomplish the stage checks and end-of-course tests, in accordance with the school's approved training course, consisting of the approved areas of operation that are appropriate to the operating privileges or authorization that graduation from the course will permit and for which the course applies.
1. Applicability. This appendix prescribes the minimum curriculum for a combined private pilot certification and instrument rating course required under this part, for the following ratings:
(a) Airplane.
(1) Airplane single-engine.
(2) Airplane multiengine.
(b) Rotorcraft helicopter.
(c) Powered-lift.
2. Eligibility for enrollment. A person must hold a sport pilot, recreational, or student pilot certificate prior to enrolling in the flight portion of a combined private pilot certification and instrument rating course.
3. Aeronautical knowledge training.
(a) Each approved course must include at least 65 hours of ground training on the aeronautical knowledge areas listed in paragraph (b) of this section that are appropriate to the aircraft category and class rating of the course:
(b) Ground training must include the following aeronautical knowledge areas:
(1) Applicable Federal Aviation Regulations for private pilot privileges, limitations, flight operations, and instrument flight rules (IFR) flight operations.
(2) Accident reporting requirements of the National Transportation Safety Board.
(3) Applicable subjects of the “Aeronautical Information Manual” and the appropriate FAA advisory circulars.
(4) Aeronautical charts for visual flight rules (VFR) navigation using pilotage, dead reckoning, and navigation systems.
(5) Radio communication procedures.
(6) Recognition of critical weather situations from the ground and in flight, windshear avoidance, and the procurement and use of aeronautical weather reports and forecasts.
(7) Safe and efficient operation of aircraft under instrument flight rules and conditions.
(8) Collision avoidance and recognition and avoidance of wake turbulence.
(9) Effects of density altitude on takeoff and climb performance.
(10) Weight and balance computations.
(11) Principles of aerodynamics, powerplants, and aircraft systems.
(12) If the course of training is for an airplane category, stall awareness, spin entry, spins, and spin recovery techniques.
(13) Air traffic control system and procedures for instrument flight operations.
(14) IFR navigation and approaches by use of navigation systems.
(15) Use of IFR en route and instrument approach procedure charts.
(16) Aeronautical decision making and judgment.
(17) Preflight action that includes—
(i) How to obtain information on runway lengths at airports of intended use, data on takeoff and landing distances, weather reports and forecasts, and fuel requirements.
(ii) How to plan for alternatives if the planned flight cannot be completed or delays are encountered.
(iii) Procurement and use of aviation weather reports and forecasts, and the elements of forecasting weather trends on the basis of that information and personal observation of weather conditions.
4. Flight training.
(a) Each approved course must include at least 70 hours of training, as described in section 4 and section 5 of this appendix, on the approved areas of operation listed in paragraph (d) of section 4 of this appendix that are appropriate to the aircraft category and class rating of the course:
(b) Each approved course must include at least the following flight training:
(1) For an airplane single engine course: 70 hours of flight training from an authorized instructor on the approved areas of operation in paragraph (d)(1) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a single engine airplane.
(ii) 3 hours of night flight training in a single-engine airplane that includes—
(A) One cross-country flight of more than 100 nautical miles total distance.
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) 35 hours of instrument flight training in a single-engine airplane that includes at least one cross-country flight that is performed under IFR and—
(A) Is a distance of at least 250 nautical miles along airways or air traffic control-directed (ATC-directed) routing with one segment of the flight consisting of at least a straight-line distance of 100 nautical miles between airports.
(B) Involves an instrument approach at each airport.
(C) Involves three different kinds of approaches with the use of navigation systems.
(iv) 3 hours of flight training in a single-engine airplane in preparation for the practical test within 60 days preceding the date of the test.
(2) For an airplane multiengine course: 70 hours of training from an authorized instructor on the approved areas of operation in paragraph (d)(2) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a multiengine airplane.
(ii) 3 hours of night flight training in a multiengine airplane that includes—
(A) One cross-country flight of more than 100 nautical miles total distance.
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) 35 hours of instrument flight training in a multiengine airplane that includes at least one cross-country flight that is performed under IFR and—
(A) Is a distance of at least 250 nautical miles along airways or ATC-directed routing with one segment of the flight consisting of at least a straight-line distance of 100 nautical miles between airports.
(B) Involves an instrument approach at each airport.
(C) Involves three different kinds of approaches with the use of navigation systems.
(iv) 3 hours of flight training in a multiengine airplane in preparation for the practical test within 60 days preceding the date of the test.
(3) For a rotorcraft helicopter course: 70 hours of training from an authorized instructor on the approved areas of operation in paragraph (d)(3) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a helicopter.
(ii) 3 hours of night flight training in a helicopter that includes—
(A) One cross-country flight of more than 50 nautical miles total distance.
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) 35 hours of instrument flight training in a helicopter that includes at least one cross-country flight that is performed under IFR and—
(A) Is a distance of at least 100 nautical miles along airways or ATC-directed routing with one segment of the flight consisting of at least a straight-line distance of 50 nautical miles between airports.
(B) Involves an instrument approach at each airport.
(C) Involves three different kinds of approaches with the use of navigation systems.
(iv) 3 hours of flight training in a helicopter in preparation for the practical test within 60 days preceding the date of the test.
(4) For a powered-lift course: 70 hours of training from an authorized instructor on the approved areas of operation in paragraph (d)(4) of this section that includes at least—
(i) Except as provided in § 61.111 of this chapter, 3 hours of cross-country flight training in a powered-lift.
(ii) 3 hours of night flight training in a powered-lift that includes—
(A) One cross-country flight of more than 100 nautical miles total distance.
(B) 10 takeoffs and 10 landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport.
(iii) 35 hours of instrument flight training in a powered-lift that includes at least one cross-country flight that is performed under IFR and—
(A) Is a distance of at least 250 nautical miles along airways or ATC-directed routing with one segment of the flight consisting of at least a straight-line distance of 100 nautical miles between airports.
(B) Involves an instrument approach at each airport.
(C) Involves three different kinds of approaches with the use of navigation systems.
(iv) 3 hours of flight training in a powered-lift in preparation for the practical test, within 60 days preceding the date of the test.
(c) For use of full flight simulators or flight training devices:
(1) The course may include training in a combination of full flight simulators, flight training devices, and aviation training devices, provided it is representative of the aircraft for which the course is approved, meets the requirements of this section, and the training is given by an authorized instructor.
(2) Training in a full flight simulator that meets the requirements of § 141.41(a) may be credited for a maximum of 35 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(3) Training in a flight training device that meets the requirements of § 141.41(a) or an aviation training device that meets the requirements of § 141.41(b) may be credited for a maximum of 25 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less.
(4) Training in a combination of flight simulators, flight training devices, or aviation training devices, described in paragraphs (c)(2) and (3) of this section, may be credited for a maximum of 35 percent of the total flight training hour requirements of the approved course, or of this section, whichever is less. However, credit for training in a flight training device and aviation training device, that meets the requirements of § 141.41(b), cannot exceed the limitation provided for in paragraph (c)(3) of this section.
(d) Each approved course must include the flight training on the approved areas of operation listed in this section that are appropriate to the aircraft category and class rating course—
(1) For a combined private pilot certification and instrument rating course involving a single-engine airplane:
(i) Preflight preparation.
(ii) Preflight procedures.
(iii) Airport and seaplane base operations.
(iv) Takeoffs, landings, and go-arounds.
(v) Performance maneuvers.
(vi) Ground reference maneuvers.
(vii) Navigation and navigation systems.
(viii) Slow flight and stalls.
(ix) Basic instrument maneuvers and flight by reference to instruments.
(x) Instrument approach procedures.
(xi) Air traffic control clearances and procedures.
(xii) Emergency operations.
(xiii) Night operations.
(xiv) Postflight procedures.
(2) For a combined private pilot certification and instrument rating course involving a multiengine airplane:
(i) Preflight preparation.
(ii) Preflight procedures.
(iii) Airport and seaplane base operations.
(iv) Takeoffs, landings, and go-arounds.
(v) Performance maneuvers.
(vi) Ground reference maneuvers.
(vii) Navigation and navigation systems.
(viii) Slow flight and stalls.
(ix) Basic instrument maneuvers and flight by reference to instruments.
(x) Instrument approach procedures.
(xi) Air traffic control clearances and procedures.
(xii) Emergency operations.
(xiii) Multiengine operations.
(xiv) Night operations.
(xv) Postflight procedures.
(3) For a combined private pilot certification and instrument rating course involving a rotorcraft helicopter:
(i) Preflight preparation.
(ii) Preflight procedures.
(iii) Airport and heliport operations.
(iv) Hovering maneuvers.
(v) Takeoffs, landings, and go-arounds.
(vi) Performance maneuvers.
(vii) Navigation and navigation systems.
(viii) Basic instrument maneuvers and flight by reference to instruments.
(ix) Instrument approach procedures.
(x) Air traffic control clearances and procedures.
(xi) Emergency operations.
(xii) Night operations.
(xiii) Postflight procedures.
(4) For a combined private pilot certification and instrument rating course involving a powered-lift:
(i) Preflight preparation.
(ii) Preflight procedures.
(iii) Airport and heliport operations.
(iv) Hovering maneuvers.
(v) Takeoffs, landings, and go-arounds.
(vi) Performance maneuvers.
(vii) Ground reference maneuvers.
(viii) Navigation and navigation systems.
(ix) Slow flight and stalls.
(x) Basic instrument maneuvers and flight by reference to instruments.
(xi) Instrument approach procedures.
(xii) Air traffic control clearances and procedures.
(xiii) Emergency operations.
(xiv) Night operations.
(xv) Postflight procedures.
5. Solo flight training. Each approved course must include at least the following solo flight training:
(a) For a combined private pilot certification and instrument rating course involving an airplane single engine: Five hours of flying solo in a single-engine airplane on the appropriate areas of operation in paragraph (d)(1) of section 4 of this appendix that includes at least—
(1) One solo cross-country flight of at least 100 nautical miles with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 50 nautical miles between the takeoff and landing locations.
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(b) For a combined private pilot certification and instrument rating course involving an airplane multiengine: Five hours of flying solo in a multiengine airplane or 5 hours of performing the duties of a pilot in command while under the supervision of an authorized instructor. The training must consist of the appropriate areas of operation in paragraph (d)(2) of section 4 of this appendix, and include at least—
(1) One cross-country flight of at least 100 nautical miles with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 50 nautical miles between the takeoff and landing locations.
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(c) For a combined private pilot certification and instrument rating course involving a helicopter: Five hours of flying solo in a helicopter on the appropriate areas of operation in paragraph (d)(3) of section 4 of this appendix that includes at least—
(1) One solo cross-country flight of more than 50 nautical miles with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 25 nautical miles between the takeoff and landing locations.
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
(d) For a combined private pilot certification and instrument rating course involving a powered-lift: Five hours of flying solo in a powered-lift on the appropriate areas of operation in paragraph (d)(4) of section 4 of this appendix that includes at least—
(1) One solo cross-country flight of at least 100 nautical miles with landings at a minimum of three points, and one segment of the flight consisting of a straight-line distance of at least 50 nautical miles between the takeoff and landing locations.
(2) Three takeoffs and three landings to a full stop (with each landing involving a flight in the traffic pattern) at an airport with an operating control tower.
6. Stage checks and end-of-course tests.
(a) Each student enrolled in a private pilot course must satisfactorily accomplish the stage checks and end-of-course tests in accordance with the school's approved training course that consists of the approved areas of operation listed in paragraph (d) of section 4 of this appendix that are appropriate to the aircraft category and class rating for which the course applies.
(b) Each student must demonstrate satisfactory proficiency prior to receiving an endorsement to operate an aircraft in solo flight.
(a) This subpart prescribes the requirements governing the certification and operation of training centers. Except as provided in paragraph (b) of this section, this part provides an alternative means to accomplish training required by parts 61, 63, 65, 91, 121, 125, 135, or 137 of this chapter.
(b) Certification under this part is not required for training that is—
(1) Approved under the provisions of parts 63, 91, 121, 127, 135, or 137 of this chapter;
(2) Approved under subpart Y of part 121 of this chapter, Advanced Qualification Programs, for the authorization holder's own employees;
(3) Conducted under part 61 unless that part requires certification under this part;
(4) Conducted by a part 121 certificate holder for another part 121 certificate holder;
(5) Conducted by a part 135 certificate holder for another part 135 certificate holder; or
(6) Conducted by a part 91 fractional ownership program manager for another part 91 fractional ownership program manager.
(c) Except as provided in paragraph (b) of this section, after August 3, 1998, no person may conduct training, testing, or checking in advanced flight training devices or flight simulators without, or in violation of, the certificate and training specifications required by this part.
(d) Additional requirements for training centers seeking to provide curriculums for powered-lift certification and ratings are set forth in part 194 of this chapter.
As used in this part:
Advanced Flight Training Device as used in this part, means a flight training device as defined in part 61 of this chapter that has a cockpit that accurately replicates a specific make, model, and type aircraft cockpit, and handling characteristics that accurately model the aircraft handling characteristics.
Core Curriculum means a set of courses approved by the Administrator, for use by a training center and its satellite training centers. The core curriculum consists of training which is required for certification. It does not include training for tasks and circumstances unique to a particular user.
Course means—
(1) A program of instruction to obtain pilot certification, qualification, authorization, or currency;
(2) A program of instruction to meet a specified number of requirements of a program for pilot training, certification, qualification, authorization, or currency; or
(3) A curriculum, or curriculum segment, as defined in subpart Y of part 121 of this chapter.
Courseware means instructional material developed for each course or curriculum, including lesson plans, flight event descriptions, computer software programs, audiovisual programs, workbooks, and handouts.
Evaluator means a person employed by a training center certificate holder who performs tests for certification, added ratings, authorizations, and proficiency checks that are authorized by the certificate holder's training specification, and who is authorized by the Administrator to administer such checks and tests.
Flight training equipment means full flight simulators, as defined in § 1.1 of this chapter, flight training devices, as defined in § 1.1 of this chapter, and aircraft.
Instructor means a person employed by a training center and designated to provide instruction in accordance with subpart C of this part.
Line-Operational Simulation means simulation conducted using operational-oriented flight scenarios that accurately replicate interaction among flightcrew members and between flightcrew members and dispatch facilities, other crewmembers, air traffic control, and ground operations. Line operational simulation simulations are conducted for training and evaluation purposes and include random, abnormal, and emergency occurrences. Line operational simulation specifically includes line-oriented flight training, special purpose operational training, and line operational evaluation.
Specialty Curriculum means a set of courses that is designed to satisfy a requirement of the Federal Aviation Regulations and that is approved by the Administrator for use by a particular training center or satellite training center. The specialty curriculum includes training requirements unique to one or more training center clients.
Training center means an organization governed by the applicable requirements of this part that provides training, testing, and checking under contract or other arrangement to airmen subject to the requirements of this chapter.
Training program consists of courses, courseware, facilities, flight training equipment, and personnel necessary to accomplish a specific training objective. It may include a core curriculum and a specialty curriculum.
Training specifications means a document issued to a training center certificate holder by the Administrator that prescribes that center's training, checking, and testing authorizations and limitations, and specifies training program requirements.
(a) No person may operate a certificated training center without, or in violation of, a training center certificate and training specifications issued under this part.
(b) An applicant will be issued a training center certificate and training specifications with appropriate limitations if the applicant shows that it has adequate facilities, equipment, personnel, and courseware required by § 142.11 to conduct training approved under § 142.37.
(a) Except as provided in paragraph (b) of this section, a training center certificate issued under this part is effective until the certificate is surrendered or until the Administrator suspends, revokes, or terminates it.
(b) Unless sooner surrendered, suspended, or revoked, a certificate issued under this part for a training center located outside the United States expires at the end of the twelfth month after the month in which it is issued or renewed.
(c) If the Administrator suspends, revokes, or terminates a training center certificate, the holder of that certificate shall return the certificate to the Administrator within 5 working days after being notified that the certificate is suspended, revoked, or terminated.
(a) The Administrator may issue deviations or waivers from any of the requirements of this part.
(b) A training center applicant requesting a deviation or waiver under this section must provide the Administrator with information acceptable to the Administrator that shows—
(1) Justification for the deviation or waiver; and
(2) That the deviation or waiver will not adversely affect the quality of instruction or evaluation.
(a) An application for a training center certificate and training specifications shall—
(1) Be made on a form and in a manner prescribed by the Administrator;
(2) Be filed with the responsible Flight Standards office for the area in which the applicant's principal business office is located; and
(3) Be made at least 120 calendar days before the beginning of any proposed training or 60 calendar days before effecting an amendment to any approved training, unless a shorter filing period is approved by the Administrator.
(b) Each application for a training center certificate and training specification shall provide—
(1) A statement showing that the minimum qualification requirements for each management position are met or exceeded;
(2) A statement acknowledging that the applicant shall notify the Administrator within 10 working days of any change made in the assignment of persons in the required management positions;
(3) The proposed training authorizations and training specifications requested by the applicant;
(4) The proposed evaluation authorization;
(5) A description of the flight training equipment that the applicant proposes to use;
(6) A description of the applicant's training facilities, equipment, qualifications of personnel to be used, and proposed evaluation plans;
(7) A training program curriculum, including syllabi, outlines, courseware, procedures, and documentation to support the items required in subpart B of this part, upon request by the Administrator;
(8) A description of a recordkeeping system that will identify and document the details of training, qualification, and certification of students, instructors, and evaluators;
(9) A description of quality control measures proposed; and
(10) A method of demonstrating the applicant's qualification and ability to provide training for a certificate or rating in fewer than the minimum hours prescribed in part 61 of this chapter if the applicant proposes to do so.
(c) The facilities and equipment described in paragraph (b)(6) of this section shall—
(1) Be available for inspection and evaluation prior to approval; and
(2) Be in place and operational at the location of the proposed training center prior to issuance of a certificate under this part.
(d) An applicant who meets the requirements of this part and is approved by the Administrator is entitled to—
(1) A training center certificate containing all business names included on the application under which the certificate holder may conduct operations and the address of each business office used by the certificate holder; and
(2) Training specifications, issued by the Administrator to the certificate holder, containing—
(i) The type of training authorized, including approved courses;
(ii) The category, class, and type of aircraft that may be used for training, testing, and checking;
(iii) For each flight simulator or flight training device, the make model, and series of aircraft or the set of aircraft being simulated and the qualification level assigned;
(iv) For each flight simulator and flight training device subject to qualification evaluation by the Administrator, the identification number assigned by the FAA;
(v) The name and address of all satellite training centers, and the approved courses offered at each satellite training center;
(vi) Authorized deviations or waivers from this part; and
(vii) Any other items the Administrator may require or allow.
(e) The Administrator may deny, suspend, revoke, or terminate a certificate under this part if the Administrator finds that the applicant or the certificate holder—
(1) Held a training center certificate that was revoked, suspended, or terminated within the previous 5 years; or
(2) Employs or proposes to employ a person who—
(i) Was previously employed in a management or supervisory position by the holder of a training center certificate that was revoked, suspended, or terminated within the previous 5 years;
(ii) Exercised control over any certificate holder whose certificate has been revoked, suspended, or terminated within the last 5 years; and
(iii) Contributed materially to the revocation, suspension, or termination of that certificate and who will be employed in a management or supervisory position, or who will be in control of or have a substantial ownership interest in the training center.
(3) [RESERVED];
(4) Should not be granted a certificate if the grant would not foster aviation safety.
(f) At any time, the Administrator may amend a training center certificate—
(1) On the Administrator's own initiative, under section 609 of the Federal Aviation Act of 1958 (49 U.S.C. 1429), as amended, and part 13 of this chapter; or
(2) Upon timely application by the certificate holder.
(g) The certificate holder must file an application to amend a training center certificate at least 60 calendar days prior to the applicant's proposed effective amendment date unless a different filing period is approved by the Administrator.
An applicant for a training center certificate must show that—
(a) For each proposed curriculum, the training center has, and shall maintain, a sufficient number of instructors who are qualified in accordance with subpart C of this part to perform the duties to which they are assigned;
(b) The training center has designated, and shall maintain, a sufficient number of approved evaluators to provide required checks and tests to graduation candidates within 7 calendar days of training completion for any curriculum leading to airman certificates or ratings, or both;
(c) The training center has, and shall maintain, a sufficient number of management personnel who are qualified and competent to perform required duties; and
(d) A management representative, and all personnel who are designated by the training center to conduct direct student training, are able to understand, read, write, and fluently speak the English language.
(a) Except as specified in paragraph (c) of this section, no holder of a training center certificate may knowingly employ or make a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual, in the preceding 2 years—
(1) Served as, or was directly responsible for the oversight of, a Flight Standards Service aviation safety inspector; and
(2) Had direct responsibility to inspect, or oversee the inspection of, the operations of the certificate holder.
(b) For the purpose of this section, an individual shall be considered to be acting as an agent or representative of a certificate holder in a matter before the agency if the individual makes any written or oral communication on behalf of the certificate holder to the agency (or any of its officers or employees) in connection with a particular matter, whether or not involving a specific party and without regard to whether the individual has participated in, or had responsibility for, the particular matter while serving as a Flight Standards Service aviation safety inspector.
(c) The provisions of this section do not prohibit a holder of a training center certificate from knowingly employing or making a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual was employed by the certificate holder before October 21, 2011.
(a) An applicant for, or holder of, a training center certificate shall ensure that—
(1) Each room, training booth, or other space used for instructional purposes is heated, lighted, and ventilated to conform to local building, sanitation, and health codes; and
(2) The facilities used for instruction are not routinely subject to significant distractions caused by flight operations and maintenance operations at the airport.
(b) An applicant for, or holder of, a training center certificate shall establish and maintain a principal business office that is physically located at the address shown on its training center certificate.
(c) The records required to be maintained by this part must be located in facilities adequate for that purpose.
(d) An applicant for, or holder of, a training center certificate must have available exclusively, for adequate periods of time and at a location approved by the Administrator, adequate flight training equipment and courseware, including at least one flight simulator or advanced flight training device.
(a) The holder of a training center certificate may conduct training in accordance with an approved training program at a satellite training center if—
(1) The facilities, equipment, personnel, and course content of the satellite training center meet the applicable requirements of this part;
(2) The instructors and evaluators at the satellite training center are under the direct supervision of management personnel of the principal training center;
(3) The Administrator is notified in writing that a particular satellite is to begin operations at least 60 days prior to proposed commencement of operations at the satellite training center; and
(4) The certificate holder's training specifications reflect the name and address of the satellite training center and the approved courses offered at the satellite training center.
(b) The certificate holder's training specifications shall prescribe the operations required and authorized at each satellite training center.
(a) Each holder of a training center certificate must prominently display that certificate in a place accessible to the public in the principal business office of the training center.
(b) A training center certificate and training specifications must be made available for inspection upon request by—
(1) The Administrator;
(2) An authorized representative of the National Transportation Safety Board; or
(3) Any Federal, State, or local law enforcement agency.
Each certificate holder must allow the Administrator to inspect training center facilities, equipment, and records at any reasonable time and in any reasonable place in order to determine compliance with or to determine initial or continuing eligibility under 49 U.S.C. 44701, 44707, formerly the Federal Aviation Act of 1958, as amended, and the training center's certificate and training specifications.
(a) A certificate holder may not conduct, and may not advertise to conduct, any training, testing, and checking that is not approved by the Administrator if that training is designed to satisfy any requirement of this chapter.
(b) A certificate holder whose certificate has been surrendered, suspended, revoked, or terminated must—
(1) Promptly remove all indications, including signs, wherever located, that the training center was certificated by the Administrator; and
(2) Promptly notify all advertising agents, or advertising media, or both, employed by the certificate holder to cease all advertising indicating that the training center is certificated by the Administrator.
A pilot school certificated under part 141 of this chapter may provide training, testing, and checking for a training center certificated under this part if—
(a) There is a training, testing, and checking agreement between the certificated training center and the pilot school;
(b) The training, testing, and checking provided by the certificated pilot school is approved and conducted in accordance with this part;
(c) The pilot school certificated under part 141 obtains the Administrator's approval for a training course outline that includes the portion of the training, testing, and checking to be conducted under part 141; and
(d) Upon completion of training, testing, and checking conducted under part 141, a copy of each student's training record is forwarded to the part 142 training center and becomes part of the student's permanent training record.
This subpart prescribes the curriculum and syllabus requirements for the issuance of a training center certificate and training specifications for training, testing, and checking conducted to meet the requirements of part 61 of this chapter.
(a) Except as provided in paragraph (b) of this section, each applicant for, or holder of, a training center certificate must apply to the Administrator for training program approval.
(b) A curriculum approved under SFAR 58 of part 121 of this chapter is approved under this part without modifications.
(c) Application for training program approval shall be made in a form and in a manner acceptable to the Administrator.
(d) Each application for training program approval must indicate—
(1) Which courses are part of the core curriculum and which courses are part of the specialty curriculum;
(2) Which requirements of part 61 of this chapter would be satisfied by the curriculum or curriculums; and
(3) Which requirements of part 61 of this chapter would not be satisfied by the curriculum or curriculums.
(e) If, after a certificate holder begins operations under an approved training program, the Administrator finds that the certificate holder is not meeting the provisions of its approved training program, the Administrator may require the certificate holder to make revisions to that training program.
(f) If the Administrator requires a certificate holder to make revisions to an approved training program and the certificate holder does not make those required revisions, within 30 calendar days, the Administrator may suspend, revoke, or terminate the training center certificate under the provisions of § 142.11(e).
Each training program curriculum submitted to the Administrator for approval must meet the applicable requirements of this part and must contain—
(a) A syllabus for each proposed curriculum;
(b) Minimum aircraft and flight training equipment requirements for each proposed curriculum;
(c) Minimum instructor and evaluator qualifications for each proposed curriculum;
(d) A curriculum for initial training and continuing training of each instructor or evaluator employed to instruct in a proposed curriculum; and
(e) For each curriculum that provides for the issuance of a certificate or rating in fewer than the minimum hours prescribed by part 61 of this chapter—
(1) A means of demonstrating the ability to accomplish such training in the reduced number of hours; and
(2) A means of tracking student performance.
This subpart prescribes the personnel and flight training equipment requirements for a certificate holder that is training to meet the requirements of part 61 of this chapter.
(a) A certificate holder may not employ a person as an instructor in a flight training course that is subject to approval by the Administrator unless that person—
(1) Is at least 18 years of age;
(2) Is able to read, write, and speak and understand in the English language;
(3) If instructing in an aircraft in flight, is qualified in accordance with subpart H of part 61 of this chapter;
(4) Satisfies the requirements of paragraph (c) of this section; and
(5) Meets at least one of the requirements in paragraphs (a)(5)(i) through (iv) of this section:
(i) Except as allowed by paragraph (a)(5)(ii) of this section, meets the aeronautical experience requirements of § 61.129(a), (b), (c), or (e) of this chapter, as applicable, excluding the required hours of instruction in preparation for the commercial pilot practical test, or holds a commercial pilot certificate with the appropriate ratings;
(ii) Meets the aeronautical experience requirements of § 61.159, § 61.161, or § 61.163 of this chapter, as applicable, or holds an unrestricted airline transport pilot certificate with the appropriate ratings, if instructing:
(A) In a flight simulation training device that represents an airplane or rotorcraft requiring a type rating, a powered-lift over 12,500 pounds, or a turbojet powered powered-lift, except as provided in paragraph (a)(5)(iv) of this section, or
(B) In a curriculum leading to the issuance of an airline transport pilot certificate or an added rating to an airline transport pilot certificate.
(iii) Is employed as a flight simulator instructor or a flight training device instructor for a training center providing instruction and testing to meet the requirements of part 61 of this chapter on August 1, 1996.
(iv) A person employed as an instructor and providing training in an FSTD that represents a rotorcraft requiring a type rating is not required to meet the aeronautical experience requirements of paragraph (a)(5)(ii) of this section and may instead meet the experience requirements of paragraph (a)(5)(i) of this section if:
(A) The person meets the experience requirements of paragraph (a)(5)(i) of this section;
(B) The person is not providing training in a curriculum leading to the issuance of an airline transport pilot certificate or an added rating to an airline transport pilot certificate, and
(C) The person was employed and met the remaining requirements of this section on March 21, 2025.
(b) A training center must designate each instructor in writing to instruct in each approved course, prior to that person functioning as an instructor in that course.
(c) Prior to initial designation, each instructor shall:
(1) Complete at least 8 hours of ground training on the following subject matter:
(i) Instruction methods and techniques.
(ii) Training policies and procedures.
(iii) The fundamental principles of the learning process.
(iv) Instructor duties, privileges, responsibilities, and limitations.
(v) Proper operation of simulation controls and systems.
(vi) Proper operation of environmental control and warning or caution panels.
(vii) Limitations of simulation.
(viii) Minimum equipment requirements for each curriculum.
(ix) Revisions to the training courses.
(x) Cockpit resource management and crew coordination.
(2) Satisfactorily complete a written test—
(i) On the subjects specified in paragraph (c)(1) of this section; and
(ii) That is accepted by the Administrator as being of equivalent difficulty, complexity, and scope as the tests provided by the Administrator for the applicable flight instructor and instrument flight instructor knowledge tests to the aircraft category in which they are instructing.
(a) A certificate holder may allow an instructor to provide:
(1) Instruction for each curriculum for which that instructor is qualified.
(2) Testing and checking for which that instructor is qualified.
(3) Instruction, testing, and checking intended to satisfy the requirements of any part of this chapter.
(b) A training center whose instructor or evaluator is designated in accordance with the requirements of this subpart to conduct training, testing, or checking in qualified and approved flight training equipment, may allow its instructor or evaluator to give endorsements required by part 61 of this chapter if that instructor or evaluator is authorized by the Administrator to instruct or evaluate in a part 142 curriculum that requires such endorsements.
(c) A training center may not allow an instructor to—
(1) Excluding briefings and debriefings, conduct more than 8 hours of instruction in any 24-consecutive-hour period;
(2) Provide flight training equipment instruction unless that instructor meets the requirements of § 142.53 (a)(1) through (a)(4), and § 142.53(b), as applicable; or
(3) Provide flight instruction in an aircraft unless that instructor—
(i) Meets the requirements of § 142.53(a)(1), (a)(2), and (a)(5);
(ii) Is qualified and authorized in accordance with subpart H of part 61 of this chapter;
(iii) Holds certificates and ratings specified by part 61 of this chapter appropriate to the category, class, and type aircraft in which instructing;
(iv) If instructing or evaluating in an aircraft in flight while serving as a required crewmember, holds at least a valid second class medical certificate; and
(v) Meets the recency of experience requirements of part 61 of this chapter.
(a) Except as provided in paragraph (c) of this section, prior to designation and every 12 calendar months beginning the first day of the month following an instructor's initial designation, a certificate holder must ensure that each of its instructors meets the following requirements:
(1) Each instructor must satisfactorily demonstrate to an authorized evaluator knowledge of, and proficiency in, instructing in a representative segment of each curriculum for which that instructor is designated to instruct under this part.
(2) Each instructor must satisfactorily complete an approved course of ground instruction in at least—
(i) The fundamental principles of the learning process;
(ii) Elements of effective teaching, instruction methods, and techniques;
(iii) Instructor duties, privileges, responsibilities, and limitations;
(iv) Training policies and procedures;
(v) Cockpit resource management and crew coordination; and
(vi) Evaluation.
(3) Each instructor who instructs in a qualified and approved flight simulator or flight training device must satisfactorily complete an approved course of training in the operation of the flight simulator, and an approved course of ground instruction, applicable to the training courses the instructor is designated to instruct.
(4) The flight simulator training course required by paragraph (a)(3) of this section which must include—
(i) Proper operation of flight simulator and flight training device controls and systems;
(ii) Proper operation of environmental and fault panels;
(iii) Limitations of simulation; and
(iv) Minimum equipment requirements for each curriculum.
(5) Each flight instructor who provides training in an aircraft must satisfactorily complete an approved course of ground instruction and flight training in an aircraft, flight simulator, or flight training device.
(6) The approved course of ground instruction and flight training required by paragraph (a)(5) of this section which must include instruction in—
(i) Performance and analysis of flight training procedures and maneuvers applicable to the training courses that the instructor is designated to instruct;
(ii) Technical subjects covering aircraft subsystems and operating rules applicable to the training courses that the instructor is designated to instruct;
(iii) Emergency operations;
(iv) Emergency situations likely to develop during training; and
(v) Appropriate safety measures.
(7) Each instructor who instructs in qualified and approved flight training equipment must pass a written test and annual proficiency check—
(i) In the flight training equipment in which the instructor will be instructing; and
(ii) On the subject matter and maneuvers of a representative segment of each curriculum for which the instructor will be instructing.
(b) In addition to the requirements of paragraphs (a)(1) through (a)(7) of this section, each certificate holder must ensure that each instructor who instructs in a flight simulator that the Administrator has approved for all training and all testing for the airline transport pilot certification test, aircraft type rating test, or both, has met at least one of the following three requirements:
(1) Each instructor must have performed 2 hours in flight, including three takeoffs and three landings as the sole manipulator of the controls of an aircraft of the same category and class, and, if a type rating is required, of the same type replicated by the approved flight simulator in which that instructor is designated to instruct;
(2) Each instructor must have participated in an approved line-observation program under part 121 or part 135 of this chapter, and that—
(i) Was accomplished in the same aircraft type as the airplane represented by the flight simulator in which that instructor is designated to instruct; and
(ii) Included line-oriented flight training of at least 1 hour of flight during which the instructor was the sole manipulator of the controls in a flight simulator that replicated the same type aircraft for which that instructor is designated to instruct; or
(3) Each instructor must have participated in an approved in-flight observation training course that—
(i) Consisted of at least 2 hours of flight time in an airplane of the same type as the aircraft replicated by the flight simulator in which the instructor is designated to instruct; and
(ii) Included line-oriented flight training of at least 1 hour of flight during which the instructor was the sole manipulator of the controls in a flight simulator that replicated the same type aircraft for which that instructor is designated to instruct.
(c) An instructor who satisfactorily completes a curriculum required by paragraph (a) or (b) of this section in the calendar month before or after the month in which it is due is considered to have taken it in the month in which it was due for the purpose of computing when the next training is due.
(d) The Administrator may give credit for the requirements of paragraph (a) or (b) of this section to an instructor who has satisfactorily completed an instructor training course for a part 121 or part 135 certificate holder if the Administrator finds such a course equivalent to the requirements of paragraph (a) or (b) of this section.
No certificate holder may use a person nor may any person serve as an instructor in a training program approved to meet the requirements of § 61.156 of this chapter unless the instructor:
(a) Holds an airline transport pilot certificate with an airplane category multiengine class rating;
(b) Has at least 2 years of experience as a pilot in command in operations conducted under § 91.1053(a)(2)(i) or § 135.243(a)(1) of this chapter, or as a pilot in command or second in command in any operation conducted under part 121 of this chapter;
(c) Except for the holder of a flight instructor certificate, receives initial training on the following topics:
(1) The fundamental principles of the learning process;
(2) Elements of effective teaching, instruction methods, and techniques;
(3) Instructor duties, privileges, responsibilities, and limitations;
(4) Training policies and procedures; and
(5) Evaluation.
(d) If providing training in a flight simulation training device—
(1) Holds an aircraft type rating for the aircraft represented by the flight simulation training device utilized in the training program and have received training and evaluation within the preceding 12 months from the certificate holder on the maneuvers that will be demonstrated in the flight simulation training device; and
(2) Satisfies the requirements of § 142.53(a)(4).
(e) A certificate holder may not issue a graduation certificate to a student unless that student has completed all the curriculum requirements of the course.
(f) A certificate holder must conduct evaluations to ensure that training techniques, procedures, and standards are acceptable to the Administrator.
(a) Except as provided by paragraph (d) of this section, a training center must ensure that each person authorized as an evaluator—
(1) Is approved by the Administrator;
(2) Is in compliance with §§ 142.47, 142.49, and 142.53 and applicable sections of part 183 of this chapter; and
(3) Prior to designation, and except as provided in paragraph (b) of this section, every 12-calendar-month period following initial designation, the certificate holder must ensure that the evaluator satisfactorily completes a curriculum that includes the following:
(i) Evaluator duties, functions, and responsibilities;
(ii) Methods, procedures, and techniques for conducting required tests and checks;
(iii) Evaluation of pilot performance; and
(iv) Management of unsatisfactory tests and subsequent corrective action; and
(4) If evaluating in qualified and approved flight training equipment must satisfactorily pass a written test and annual proficiency check in a flight simulator or aircraft in which the evaluator will be evaluating.
(b) An evaluator who satisfactorily completes a curriculum required by paragraph (a) of this section in the calendar month before or the calendar month after the month in which it is due is considered to have taken it in the month is which it was due for the purpose of computing when the next training is due.
(c) The Administrator may give credit for the requirements of paragraph (a)(3) of this section to an evaluator who has satisfactorily completed an evaluator training course for a part 121 or part 135 certificate holder if the Administrator finds such a course equivalent to the requirements of paragraph (a)(3) of this section.
(d) An evaluator who is qualified under subpart Y of part 121 of this chapter shall be authorized to conduct evaluations under the Advanced Qualification Program without complying with the requirements of this section.
(a) An applicant for, or holder of, a training center certificate must ensure that each aircraft used for flight instruction and solo flights meets the following requirements:
(1) Except for flight instruction and solo flights in a curriculum for agricultural aircraft operations, external load operations, and similar aerial work operations, the aircraft must have an FAA standard airworthiness certificate or a foreign equivalent of an FAA standard airworthiness certificate, acceptable to the Administrator.
(2) The aircraft must be maintained and inspected in accordance with—
(i) The requirements of part 91, subpart E, of this chapter; and
(ii) An approved program for maintenance and inspection.
(3) The aircraft must be equipped as provided in the training specifications for the approved course for which it is used.
(b) Except as provided in paragraph (c) of this section, an applicant for, or holder of, a training center certificate must ensure that each aircraft used for flight instruction is at least a two-place aircraft with engine power controls and flight controls that are easily reached and that operate in a conventional manner from both pilot stations.
(c) Aircraft with controls such as nose-wheel steering, switches, fuel selectors, and engine air flow controls that are not easily reached and operated in a conventional manner by both pilots may be used for flight instruction if the certificate holder determines that the flight instruction can be conducted in a safe manner considering the location of controls and their nonconventional operation, or both.
(a) An applicant for, or holder of, a training center certificate must show that each flight simulator and flight training device used for training, testing, and checking (except AQP) will be or is specifically qualified and approved by the Administrator for—
(1) Each maneuver and procedure for the make, model, and series of aircraft, set of aircraft, or aircraft type simulated, as applicable; and
(2) Each curriculum or training course in which the flight simulator or flight training device is used, if that curriculum or course is used to satisfy any requirement of 14 CFR chapter I.
(b) The approval required by paragraph (a)(2) of this section must include—
(1) The set of aircraft, or type aircraft;
(2) If applicable, the particular variation within type, for which the training, testing, or checking is being conducted; and
(3) The particular maneuver, procedure, or crewmember function to be performed.
(c) Each qualified and approved flight simulator or flight training device used by a training center must—
(1) Be maintained to ensure the reliability of the performances, functions, and all other characteristics that were required for qualification;
(2) Be modified to conform with any modification to the aircraft being simulated if the modification results in changes to performance, function, or other characteristics required for qualification;
(3) Be given a functional preflight check each day before being used; and
(4) Have a discrepancy log in which the instructor or evaluator, at the end of each training session, enters each discrepancy.
(d) Unless otherwise authorized by the Administrator, each component on a qualified and approved flight simulator or flight training device used by a training center must be operative if the component is essential to, or involved in, the training, testing, or checking of airmen.
(e) Training centers shall not be restricted to specific—
(1) Route segments during line-oriented flight training scenarios; and
(2) Visual data bases replicating a specific customer's bases of operation.
(f) Training centers may request evaluation, qualification, and continuing evaluation for qualification of flight simulators and flight training devices without—
(1) Holding an air carrier certificate; or
(2) Having a specific relationship to an air carrier certificate holder.
This subpart prescribes the operating rules applicable to a training center certificated under this part and operating a course or training program curriculum approved in accordance with subpart B of this part.
A certificate holder may allow flight simulator instructors and evaluators to meet recency of experience requirements through the use of a qualified and approved flight simulator or qualified and approved flight training device if that flight simulator or flight training device is—
(a) Used in a course approved in accordance with subpart B of this part; or
(b) Approved under the Advanced Qualification Program for meeting recency of experience requirements.
(a) A certificate holder shall—
(1) Ensure that a flight simulator or flight training device freeze, slow motion, or repositioning feature is not used during testing or checking; and
(2) Ensure that a repositioning feature is used during line operational simulation for evaluation and line-oriented flight training only to advance along a flight route to the point where the descent and approach phase of the flight begins.
(b) When flight testing, flight checking, or line operational simulation is being conducted, the certificate holder must ensure that one of the following occupies each crewmember position:
(1) A crewmember qualified in the aircraft category, class, and type, if a type rating is required, provided that no flight instructor who is giving instruction may occupy a crewmember position.
(2) A student, provided that no student may be used in a crewmember position with any other student not in the same specific course.
(c) The holder of a training center certificate may not recommend a trainee for a certificate or rating, unless the trainee—
(1) Has satisfactorily completed the training specified in the course approved under § 142.37; and
(2) Has passed the final tests required by § 142.37.
(d) The holder of a training center certificate may not graduate a student from a course unless the student has satisfactorily completed the curriculum requirements of that course.
This subpart prescribes the training center recordkeeping requirements for trainees enrolled in a course, and instructors and evaluators designated to instruct a course, approved in accordance with subpart B of this part.
(a) A certificate holder must maintain a record for each trainee that contains—
(1) The name of the trainee;
(2) A copy of the trainee's pilot certificate, if any, and medical certificate;
(3) The name of the course and the make and model of flight training equipment used;
(4) The trainee's prerequisite experience and course time completed;
(5) The trainee's performance on each lesson and the name of the instructor providing instruction;
(6) The date and result of each end-of-course practical test and the name of the evaluator conducting the test; and
(7) The number of hours of additional training that was accomplished after any unsatisfactory practical test.
(b) A certificate holder shall maintain a record for each instructor or evaluator designated to instruct a course approved in accordance with subpart B of this part that indicates that the instructor or evaluator has complied with the requirements of §§ 142.13, 142.45, 142.47, 142.49, and 142.53, as applicable.
(c) The certificate holder shall—
(1) Maintain the records required by paragraphs (a) of this section for at least 1 year following the completion of training, testing or checking;
(2) Maintain the qualification records required by paragraph (b) of this section while the instructor or evaluator is in the employ of the certificate holder and for 1 year thereafter; and
(3) Maintain the recurrent demonstration of proficiency records required by paragraph (b) of this section for at least 1 year.
(d) The certificate holder must provide the records required by this section to the Administrator, upon request and at a reasonable time, and shall keep the records required by—
(1) Paragraph (a) of this section at the training center, or satellite training center where the training, testing, or checking, if appropriate, occurred; and
(2) Paragraph (b) of this section at the training center or satellite training center where the instructor or evaluator is primarily employed.
(e) The certificate holder shall provide to a trainee, upon request and at a reasonable time, a copy of his or her training records.
(a) An applicant for, or holder of, a training center certificate may apply for approval to conduct a course for which a curriculum is not prescribed by this part.
(b) The course for which application is made under paragraph (a) of this section may be for flight crewmembers other than pilots, airmen other than flight crewmembers, material handlers, ground servicing personnel, and security personnel, and others approved by the Administrator.
(c) An applicant for course approval under this subpart must comply with the applicable requirements of subpart A through subpart F of this part.
(d) The Administrator approves the course for which the application is made if the training center or training center applicant shows that the course contains a curriculum that will achieve a level of competency equal to, or greater than, that required by the appropriate part of this chapter.
This part describes how to obtain a repair station certificate. This part also contains the rules a certificated repair station must follow related to its performance of maintenance, preventive maintenance, or alterations of an aircraft, airframe, aircraft engine, propeller, appliance, or component part to which part 43 applies. It also applies to any person who holds, or is required to hold, a repair station certificate issued under this part.
For the purposes of this part, the following definitions apply:
(a) Accountable manager means the person designated by the certificated repair station who is responsible for and has the authority over all repair station operations that are conducted under part 145, including ensuring that repair station personnel follow the regulations and serving as the primary contact with the FAA.
(b) Article means an aircraft, airframe, aircraft engine, propeller, appliance, or component part.
(c) Directly in charge means having the responsibility for the work of a certificated repair station that performs maintenance, preventive maintenance, alterations, or other functions affecting aircraft airworthiness. A person directly in charge does not need to physically observe and direct each worker constantly but must be available for consultation on matters requiring instruction or decision from higher authority.
(d) Line maintenance means—
(1) Any unscheduled maintenance resulting from unforeseen events; or
(2) Scheduled checks that contain servicing and/or inspections that do not require specialized training, equipment, or facilities.
(a) No person may operate as a certificated repair station without, or in violation of, a repair station certificate, ratings, or operations specifications issued under this part.
(b) The certificate and operations specifications issued to a certificated repair station must be available on the premises for inspection by the public and the FAA.
(a) An application for a repair station certificate and rating must be made in a format acceptable to the FAA and must include the following:
(1) A repair station manual acceptable to the FAA as required by § 145.207;
(2) A quality control manual acceptable to the FAA as required by § 145.211(c);
(3) A list by type, make, or model, as appropriate, of each article for which the application is made;
(4) An organizational chart of the repair station and the names and titles of managing and supervisory personnel;
(5) A description of the housing and facilities, including the physical address, in accordance with § 145.103;
(6) A list of the maintenance functions, for approval by the FAA, to be performed for the repair station under contract by another person in accordance with § 145.217; and
(7) A training program for approval by the FAA in accordance with § 145.163.
(b) The equipment, personnel, technical data, and housing and facilities required for the certificate and rating, or for an additional rating, must be in place for inspection at the time of certification or rating approval by the FAA. However, the requirement to have the equipment in place at the time of initial certification or rating approval may be met if the applicant has a contract acceptable to the FAA with another person to make the equipment available to the repair station at any time it is necessary when the relevant work is being performed.
(c) In addition to meeting the other applicable requirements for a repair station certificate and rating, an applicant for a repair station certificate and rating located outside the United States must meet the following requirements:
(1) The applicant must show that the repair station certificate and/or rating is necessary for maintaining or altering the following:
(i) U.S.-registered aircraft and articles for use on U.S.-registered aircraft, or
(ii) Foreign-registered aircraft operated under the provisions of part 121 or part 135, and articles for use on these aircraft.
(2) The applicant must show that the fee prescribed by the FAA has been paid.
(d) An application for an additional rating, amended repair station certificate, or renewal of a repair station certificate must be made in a format acceptable to the FAA. The application must include only that information necessary to substantiate the change or renewal of the certificate.
(e) The FAA may deny an application for a repair station certificate if the FAA finds that:
(1) The applicant holds a repair station certificate in the process of being revoked, or previously held a repair station certificate that was revoked;
(2) The applicant intends to fill or fills a management position with an individual who exercised control over or who held the same or a similar position with a certificate holder whose repair station certificate was revoked, or is in the process of being revoked, and that individual materially contributed to the circumstances causing the revocation or causing the revocation process; or
(3) An individual who will have control over or substantial ownership interest in the applicant had the same or similar control or interest in a certificate holder whose repair station certificate was revoked, or is in the process of being revoked, and that individual materially contributed to the circumstances causing the revocation or causing the revocation process.
(f) If the FAA revokes a repair station certificate, an individual described in paragraphs (e)(2) and (3) of this section is subject to an order under the procedures set forth in 14 CFR 13.20, finding that the individual materially contributed to the circumstances causing the revocation or causing the revocation process.
(a) Except as provided in § 145.51(e) or paragraph (b), (c), or (d) of this section, a person who meets the requirements of subparts A through E of this part is entitled to a repair station certificate with appropriate ratings prescribing such operations specifications and limitations as are necessary in the interest of safety.
(b) If the person is located in a country with which the United States has a bilateral aviation safety agreement, the FAA may find that the person meets the requirements of this part based on a certification from the civil aviation authority of that country. This certification must be made in accordance with implementation procedures signed by the Administrator or the Administrator's designee.
(c) Before a repair station certificate can be issued for a repair station that is located within the United States, the applicant shall certify in writing that all “hazmat employees” (see 49 CFR 171.8) for the repair station, its contractors, or subcontractors are trained as required in 49 CFR part 172 subpart H.
(d) Before a repair station certificate can be issued for a repair station that is located outside the United States, the applicant shall certify in writing that all employees for the repair station, its contractors, or subcontractors performing a job function concerning the transport of dangerous goods (hazardous material) are trained as outlined in the most current edition of the International Civil Aviation Organization Technical Instructions for the Safe Transport of Dangerous Goods by Air.
(a) A certificate or rating issued to a repair station located in the United States is effective from the date of issue until the repair station surrenders the certificate and the FAA accepts it for cancellation, or the FAA suspends or revokes it.
(b) A certificate or rating issued to a repair station located outside the United States is effective from the date of issue until the last day of the 12th month after the date of issue unless the repair station surrenders the certificate and the FAA accepts it for cancellation, or the FAA suspends or revokes it. The FAA may renew the certificate or rating for 24 months if the repair station has operated in compliance with the applicable requirements of part 145 within the preceding certificate duration period.
(c) A certificated repair station located outside the United States that applies for a renewal of its repair station certificate must—
(1) Submit its request for renewal no later than 30 days before the repair station's current certificate expires. If a request for renewal is not made within this period, the repair station must follow the application procedures in § 145.51.
(2) Send its request for renewal to the FAA office that has jurisdiction over the certificated repair station.
(3) Show that the fee prescribed by the FAA has been paid.
(d) The holder of an expired, surrendered, suspended, or revoked certificate must return it to the FAA.
(a) A repair station certificate holder applying for a change to its certificate must submit a request in a format acceptable to the Administrator. A change to the certificate must include certification in compliance with § 145.53(c) or (d), if not previously submitted. A certificate change is necessary if the certificate holder—
(1) Changes the name or location of the repair station, or
(2) Requests to add or amend a rating.
(b) If the holder of a repair station certificate sells or transfers its assets and the new owner chooses to operate as a repair station, the new owner must apply for an amended or new certificate in accordance with § 145.51.
The following ratings are issued under this subpart:
(a) Airframe ratings. (1) Class 1: Composite construction of small aircraft.
(2) Class 2: Composite construction of large aircraft.
(3) Class 3: All-metal construction of small aircraft.
(4) Class 4: All-metal construction of large aircraft.
(b) Powerplant ratings. (1) Class 1: Reciprocating engines of 400 horsepower or less.
(2) Class 2: Reciprocating engines of more than 400 horsepower.
(3) Class 3: Turbine engines.
(c) Propeller ratings. (1) Class 1: Fixed-pitch and ground-adjustable propellers of wood, metal, or composite construction.
(2) Class 2: Other propellers, by make.
(d) Radio ratings. (1) Class 1: Communication equipment. Radio transmitting and/or receiving equipment used in an aircraft to send or receive communications in flight, regardless of carrier frequency or type of modulation used. This equipment includes auxiliary and related aircraft interphone systems, amplifier systems, electrical or electronic intercrew signaling devices, and similar equipment. This equipment does not include equipment used for navigating or aiding navigation of aircraft, equipment used for measuring altitude or terrain clearance, other measuring equipment operated on radio or radar principles, or mechanical, electrical, gyroscopic, or electronic instruments that are a part of communications radio equipment.
(2) Class 2: Navigational equipment. A radio system used in an aircraft for en route or approach navigation. This does not include equipment operated on radar or pulsed radio frequency principles, or equipment used for measuring altitude or terrain clearance.
(3) Class 3: Radar equipment. An aircraft electronic system operated on radar or pulsed radio frequency principles.
(e) Instrument ratings. (1) Class 1: Mechanical. A diaphragm, bourdon tube, aneroid, optical, or mechanically driven centrifugal instrument used on aircraft or to operate aircraft, including tachometers, airspeed indicators, pressure gauges drift sights, magnetic compasses, altimeters, or similar mechanical instruments.
(2) Class 2: Electrical. Self-synchronous and electrical-indicating instruments and systems, including remote indicating instruments, cylinder head temperature gauges, or similar electrical instruments.
(3) Class 3: Gyroscopic. An instrument or system using gyroscopic principles and motivated by air pressure or electrical energy, including automatic pilot control units, turn and bank indicators, directional gyros, and their parts, and flux gate and gyrosyn compasses.
(4) Class 4: Electronic. An instrument whose operation depends on electron tubes, transistors, or similar devices, including capacitance type quantity gauges, system amplifiers, and engine analyzers.
(f) Accessory ratings. (1) Class 1: A mechanical accessory that depends on friction, hydraulics, mechanical linkage, or pneumatic pressure for operation, including aircraft wheel brakes, mechanically driven pumps, carburetors, aircraft wheel assemblies, shock absorber struts and hydraulic servo units.
(2) Class 2: An electrical accessory that depends on electrical energy for its operation, and a generator, including starters, voltage regulators, electric motors, electrically driven fuel pumps magnetos, or similar electrical accessories.
(3) Class 3: An electronic accessory that depends on the use of an electron tube transistor, or similar device, including supercharger, temperature, air conditioning controls, or similar electronic controls.
(a) The FAA may issue a limited rating to a certificated repair station that maintains or alters only a particular type of airframe, powerplant, propeller, radio, instrument, or accessory, or part thereof, or performs only specialized maintenance requiring equipment and skills not ordinarily performed under other repair station ratings. Such a rating may be limited to a specific model aircraft, engine, or constituent part, or to any number of parts made by a particular manufacturer.
(b) The FAA issues limited ratings for—
(1) Airframes of a particular make and model;
(2) Engines of a particular make and model;
(3) Propellers of a particular make and model;
(4) Instruments of a particular make and model;
(5) Radio equipment of a particular make and model;
(6) Accessories of a particular make and model;
(7) Landing gear components;
(8) Floats, by make;
(9) Nondestructive inspection, testing, and processing;
(10) Emergency equipment;
(11) Rotor blades, by make and model;
(12) Aircraft fabric work;
(13) Any other purpose for which the FAA finds the applicant's request is appropriate.
(c) For a limited rating for specialized services, the operations specifications of the repair station must contain the specification used to perform the specialized service. The specification may be—
(1) A civil or military specification currently used by industry and approved by the FAA, or
(2) A specification developed by the applicant and approved by the FAA.
A certificated repair station must provide housing, facilities, equipment, materials, and data that meet the applicable requirements for the issuance of the certificate and ratings the repair station holds.
(a) Each certificated repair station must provide—
(1) Housing for the facilities, equipment, materials, and personnel consistent with its ratings and limitations.
(2) Facilities for properly performing the maintenance, preventive maintenance, or alterations of articles or the specialized service for which it is rated. Facilities must include the following:
(i) Sufficient work space and areas for the proper segregation and protection of articles during all maintenance, preventive maintenance, or alterations.
(ii) Segregated work areas enabling environmentally hazardous or sensitive operations such as painting, cleaning, welding, avionics work, electronic work, and machining to be done properly and in a manner that does not adversely affect other maintenance or alteration articles or activities;
(iii) Suitable racks, hoists, trays, stands, and other segregation means for the storage and protection of all articles undergoing maintenance, preventive maintenance, or alterations, and;
(iv) Space sufficient to segregate articles and materials stocked for installation from those articles undergoing maintenance, preventive maintenance, or alterations to the standards required by this part.
(v) Ventilation, lighting, and control of temperature, humidity, and other climatic conditions sufficient to ensure personnel perform maintenance, preventive maintenance, or alterations to the standards required by this part.
(b) A certificated repair station may perform maintenance, preventive maintenance, or alterations on articles outside of its housing if it provides suitable facilities that are acceptable to the FAA and meet the requirements of § 145.103(a) so that the work can be done in accordance with the requirements of part 43 of this chapter.
(a) A certificated repair station may not change the location of its housing without written approval from the FAA.
(b) A certificated repair station may not make any changes to its housing or facilities required by § 145.103 that could have a significant effect on its ability to perform the maintenance, preventive maintenance, or alterations under its repair station certificate and operations specifications without written approval from the FAA.
(c) The FAA may prescribe the conditions, including any limitations, under which a certificated repair station must operate while it is changing its location, housing, or facilities.
(a) A certificated repair station under the managerial control of another certificated repair station may operate as a satellite repair station with its own certificate issued by the FAA. A satellite repair station—
(1) May not hold a rating not held by the certificated repair station with managerial control;
(2) Must meet the requirements for each rating it holds;
(3) Must submit a repair station manual acceptable to the FAA as required by § 145.207; and
(4) Must submit a quality control manual acceptable to the FAA as required by § 145.211(c).
(b) Unless the FAA indicates otherwise, personnel and equipment from the certificated repair station with managerial control and from each of the satellite repair stations may be shared. However, inspection personnel must be designated for each satellite repair station and available at the satellite repair station any time a determination of airworthiness or return to service is made. In other circumstances, inspection personnel may be away from the premises but must be available by telephone, radio, or other electronic means.
(c) A satellite repair station may not be located in a country other than the domicile country of the certificated repair station with managerial control.
(a) Except as otherwise prescribed by the FAA, a certificated repair station must have the equipment, tools, and materials necessary to perform the maintenance, preventive maintenance, or alterations under its repair station certificate and operations specifications in accordance with part 43. The equipment, tools, and material must be located on the premises and under the repair station's control when the work is being done.
(b) A certificated repair station must ensure all test and inspection equipment and tools used to make airworthiness determinations on articles are calibrated to a standard acceptable to the FAA.
(c) The equipment, tools, and material must be those recommended by the manufacturer of the article or must be at least equivalent to those recommended by the manufacturer and acceptable to the FAA.
(d) A certificated repair station must maintain, in a format acceptable to the FAA, the documents and data required for the performance of maintenance, preventive maintenance, or alterations under its repair station certificate and operations specifications in accordance with part 43. The following documents and data must be current and accessible when the relevant work is being done:
(1) Airworthiness directives,
(2) Instructions for continued airworthiness,
(3) Maintenance manuals,
(4) Overhaul manuals,
(5) Standard practice manuals,
(6) Service bulletins, and
(7) Other applicable data acceptable to or approved by the FAA.
Each certificated repair station must—
(a) Designate a repair station employee as the accountable manager;
(b) Provide qualified personnel to plan, supervise, perform, and approve for return to service the maintenance, preventive maintenance, or alterations performed under the repair station certificate and operations specifications;
(c) Ensure it has a sufficient number of employees with the training or knowledge and experience in the performance of maintenance, preventive maintenance, or alterations authorized by the repair station certificate and operations specifications to ensure all work is performed in accordance with part 43; and
(d) Determine the abilities of its noncertificated employees performing maintenance functions based on training, knowledge, experience, or practical tests.
(a) A certificated repair station must ensure it has a sufficient number of supervisors to direct the work performed under the repair station certificate and operations specifications. The supervisors must oversee the work performed by any individuals who are unfamiliar with the methods, techniques, practices, aids, equipment, and tools used to perform the maintenance, preventive maintenance, or alterations.
(b) Each supervisor must—
(1) If employed by a repair station located inside the United States, be appropriately certificated as a mechanic or repairman under part 65 of this chapter for the work being supervised.
(2) If employed by a repair station located outside the United States—
(i) Have a minimum of 18 months of practical experience in the work being performed; or
(ii) Be trained in or thoroughly familiar with the methods, techniques, practices, aids, equipment, and tools used to perform the maintenance, preventive maintenance, or alterations.
(c) A certificated repair station must ensure its supervisors understand, read, and write English.
(a) A certificated repair station must ensure that persons performing inspections under the repair station certificate and operations specifications are—
(1) Thoroughly familiar with the applicable regulations in this chapter and with the inspection methods, techniques, practices, aids, equipment, and tools used to determine the airworthiness of the article on which maintenance, preventive maintenance, or alterations are being performed; and
(2) Proficient in using the various types of inspection equipment and visual inspection aids appropriate for the article being inspected.
(b) A certificated repair station must ensure its inspectors understand, read, and write English.
(a) A certificated repair station located inside the United States must ensure each person authorized to approve an article for return to service under the repair station certificate and operations specifications is appropriately certificated as a mechanic or repairman under part 65.
(b) A certificated repair station located outside the United States must ensure each person authorized to approve an article for return to service under the repair station certificate and operations specifications is—
(1) Trained in or has 18 months practical experience with the methods, techniques, practices, aids, equipment, and tools used to perform the maintenance, preventive maintenance, or alterations; and
(2) Thoroughly familiar with the applicable regulations in this chapter and proficient in the use of the various inspection methods, techniques, practices, aids, equipment, and tools appropriate for the work being performed and approved for return to service.
(c) A certificated repair station must ensure each person authorized to approve an article for return to service understands, reads, and writes English.
A certificated repair station that chooses to use repairmen to meet the applicable personnel requirements of this part must certify in a format acceptable to the FAA that each person recommended for certification as a repairman—
(a) Is employed by the repair station, and
(b) Meets the eligibility requirements of § 65.101.
(a) Except as specified in paragraph (c) of this section, no holder of a repair station certificate may knowingly employ or make a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual, in the preceding 2 years—
(1) Served as, or was directly responsible for the oversight of, a Flight Standards Service aviation safety inspector; and
(2) Had direct responsibility to inspect, or oversee the inspection of, the operations of the certificate holder.
(b) For the purpose of this section, an individual shall be considered to be acting as an agent or representative of a certificate holder in a matter before the agency if the individual makes any written or oral communication on behalf of the certificate holder to the agency (or any of its officers or employees) in connection with a particular matter, whether or not involving a specific party and without regard to whether the individual has participated in, or had responsibility for, the particular matter while serving as a Flight Standards Service aviation safety inspector.
(c) The provisions of this section do not prohibit a holder of a repair station certificate from knowingly employing or making a contractual arrangement which permits an individual to act as an agent or representative of the certificate holder in any matter before the Federal Aviation Administration if the individual was employed by the certificate holder before October 21, 2011.
(a) A certificated repair station must maintain and make available in a format acceptable to the FAA the following:
(1) A roster of management and supervisory personnel that includes the names of the repair station officials who are responsible for its management and the names of its supervisors who oversee maintenance functions.
(2) A roster with the names of all inspection personnel.
(3) A roster of personnel authorized to sign a maintenance release for approving a maintained or altered article for return to service.
(4) A summary of the employment of each individual whose name is on the personnel rosters required by paragraphs (a)(1) through (a)(3) of this section. The summary must contain enough information on each individual listed on the roster to show compliance with the experience requirements of this part and must include the following:
(i) Present title,
(ii) Total years of experience and the type of maintenance work performed,
(iii) Past relevant employment with names of employers and periods of employment,
(iv) Scope of present employment, and
(v) The type of mechanic or repairman certificate held and the ratings on that certificate, if applicable.
(b) Within 5 business days of the change, the rosters required by this section must reflect changes caused by termination, reassignment, change in duties or scope of assignment, or addition of personnel.
(a) A certificated repair station must have and use an employee training program approved by the FAA that consists of initial and recurrent training. An applicant for a repair station certificate must submit a training program for approval by the FAA as required by § 145.51(a)(7).
(b) The training program must ensure each employee assigned to perform maintenance, preventive maintenance, or alterations, and inspection functions is capable of performing the assigned task.
(c) A certificated repair station must document, in a format acceptable to the FAA, the individual employee training required under paragraph (a) of this section. These training records must be retained for a minimum of 2 years.
(d) A certificated repair station must submit revisions to its training program to its responsible Flight Standards office in accordance with the procedures required by § 145.209(e).
(a) Each repair station that meets the definition of a hazmat employer under 49 CFR 171.8 must have a hazardous materials training program that meets the training requirements of 49 CFR part 172 subpart H.
(b) A repair station employee may not perform or directly supervise a job function listed in § 121.1001 or § 135.501 for, or on behalf of the part 121 or 135 operator including loading of items for transport on an aircraft operated by a part 121 or part 135 certificate holder unless that person has received training in accordance with the part 121 or part 135 operator's FAA approved hazardous materials training program.
(a) A certificated repair station may—
(1) Perform maintenance, preventive maintenance, or alterations in accordance with part 43 on any article for which it is rated and within the limitations in its operations specifications.
(2) Arrange for another person to perform the maintenance, preventive maintenance, or alterations of any article for which the certificated repair station is rated. If that person is not certificated under part 145, the certificated repair station must ensure that the noncertificated person follows a quality control system equivalent to the system followed by the certificated repair station.
(3) Approve for return to service any article for which it is rated after it has performed maintenance, preventive maintenance, or an alteration in accordance with part 43.
(b) A certificated repair station may not maintain or alter any article for which it is not rated, and may not maintain or alter any article for which it is rated if it requires special technical data, equipment, or facilities that are not available to it.
(c) A certificated repair station may not approve for return to service'
(1) Any article unless the maintenance, preventive maintenance, or alteration was performed in accordance with the applicable approved technical data or data acceptable to the FAA.
(2) Any article after a major repair or major alteration unless the major repair or major alteration was performed in accordance with applicable approved technical data; and
(3) Any experimental aircraft after a major repair or major alteration performed under § 43.1(b) unless the major repair or major alteration was performed in accordance with methods and applicable technical data acceptable to the FAA.
A certificated repair station may temporarily transport material, equipment, and personnel needed to perform maintenance, preventive maintenance, alterations, or certain specialized services on an article for which it is rated to a place other than the repair station's fixed location if the following requirements are met:
(a) The work is necessary due to a special circumstance, as determined by the FAA; or
(b) It is necessary to perform such work on a recurring basis, and the repair station's manual includes the procedures for accomplishing maintenance, preventive maintenance, alterations, or specialized services at a place other than the repair station's fixed location.
(a) A certificated repair station that performs maintenance, preventive maintenance, or alterations for an air carrier or commercial operator that has a continuous airworthiness maintenance program under part 121 or part 135 must follow the air carrier's or commercial operator's program and applicable sections of its maintenance manual.
(b) A certificated repair station that performs inspections for a certificate holder conducting operations under part 125 must follow the operator's FAA-approved inspection program.
(c) A certificated repair station that performs maintenance, preventive maintenance, or alterations for a foreign air carrier or foreign person operating a U.S.-registered aircraft under part 129 must follow the operator's FAA-approved maintenance program.
(d) The FAA may grant approval for a certificated repair station to perform line maintenance for an air carrier certificated under part 121 or part 135 of this chapter, or a foreign air carrier or foreign person operating a U.S.-registered aircraft in common carriage under part 129 of this chapter on any aircraft of that air carrier or person, provided-
(1) The certificated repair station performs such line maintenance in accordance with the operator's manual, if applicable, and approved maintenance program;
(2) The certificated repair station has the necessary equipment, trained personnel, and technical data to perform such line maintenance; and
(3) The certificated repair station's operations specifications include an authorization to perform line maintenance.
(a) Each repair station must acknowledge receipt of the part 121 or part 135 operator notification required under §§ 121.1005(e) and 135.505(e) of this chapter prior to performing work for, or on behalf of that certificate holder.
(b) Prior to performing work for or on behalf of a part 121 or part 135 operator, each repair station must notify its employees, contractors, or subcontractors that handle or replace aircraft components or other items regulated by 49 CFR parts 171 through 180 of each certificate holder's operations specifications authorization permitting, or prohibition against, carrying hazardous materials. This notification must be provided subsequent to the notification by the part 121 or part 135 operator of such operations specifications authorization/designation.
(a) A certificated repair station must prepare and follow a repair station manual acceptable to the FAA.
(b) A certificated repair station must maintain a current repair station manual.
(c) A certificated repair station's current repair station manual must be accessible for use by repair station personnel required by subpart D of this part.
(d) A certificated repair station must provide to its responsible Flight Standards office the current repair station manual in a format acceptable to the FAA.
(e) A certificated repair station must notify its responsible Flight Standards office of each revision of its repair station manual in accordance with the procedures required by § 145.209(j).
A certificated repair station's manual must include the following:
(a) An organizational chart identifying—
(1) Each management position with authority to act on behalf of the repair station,
(2) The area of responsibility assigned to each management position, and
(3) The duties, responsibilities, and authority of each management position;
(b) Procedures for maintaining and revising the rosters required by § 145.161;
(c) A description of the certificated repair station's operations, including the housing, facilities, equipment, and materials as required by subpart C of this part;
(d) Procedures for—
(1) Revising the capability list provided for in § 145.215 and notifying the responsible Flight Standards office of revisions to the list, including how often the responsible Flight Standards office will be notified of revisions; and
(2) The self-evaluation required under § 145.215(c) for revising the capability list, including methods and frequency of such evaluations, and procedures for reporting the results to the appropriate manager for review and action;
(e) Procedures for revising the training program required by § 145.163 and submitting revisions to the responsible Flight Standards office for approval;
(f) Procedures to govern work performed at another location in accordance with § 145.203;
(g) Procedures for maintenance, preventive maintenance, or alterations performed under § 145.205;
(h) Procedures for—
(1) Maintaining and revising the contract maintenance information required by § 145.217(a)(2)(i), including submitting revisions to the responsible Flight Standards office for approval; and
(2) Maintaining and revising the contract maintenance information required by § 145.217(a)(2)(ii) and notifying the responsible Flight Standards office of revisions to this information, including how often the responsible Flight Standards office will be notified of revisions;
(i) A description of the required records and the recordkeeping system used to obtain, store, and retrieve the required records;
(j) Procedures for revising the repair station's manual and notifying its responsible Flight Standards office of revisions to the manual, including how often the responsible Flight Standards office will be notified of revisions; and
(k) A description of the system used to identify and control sections of the repair station manual.
(a) A certificated repair station must establish and maintain a quality control system acceptable to the FAA that ensures the airworthiness of the articles on which the repair station or any of its contractors performs maintenance, preventive maintenance, or alterations.
(b) Repair station personnel must follow the quality control system when performing maintenance, preventive maintenance, or alterations under the repair station certificate and operations specifications.
(c) A certificated repair station must prepare and keep current a quality control manual in a format acceptable to the FAA that includes the following:
(1) A description of the system and procedures used for—
(i) Inspecting incoming raw materials to ensure acceptable quality;
(ii) Performing preliminary inspection of all articles that are maintained;
(iii) Inspecting all articles that have been involved in an accident for hidden damage before maintenance, preventive maintenance, or alteration is performed;
(iv) Establishing and maintaining proficiency of inspection personnel;
(v) Establishing and maintaining current technical data for maintaining articles;
(vi) Qualifying and surveilling noncertificated persons who perform maintenance, prevention maintenance, or alterations for the repair station;
(vii) Performing final inspection and return to service of maintained articles;
(viii) Calibrating measuring and test equipment used in maintaining articles, including the intervals at which the equipment will be calibrated; and
(ix) Taking corrective action on deficiencies;
(2) References, where applicable, to the manufacturer's inspection standards for a particular article, including reference to any data specified by that manufacturer;
(3) A sample of the inspection and maintenance forms and instructions for completing such forms or a reference to a separate forms manual; and
(4) Procedures for revising the quality control manual required under this section and notifying the responsible Flight Standards office of the revisions, including how often the responsible Flight Standards office will be notified of revisions.
(d) A certificated repair station must notify its responsible Flight Standards office of revisions to its quality control manual.
(a) A certificated repair station must inspect each article upon which it has performed maintenance, preventive maintenance, or alterations as described in paragraphs (b) and (c) of this section before approving that article for return to service.
(b) A certificated repair station must certify on an article's maintenance release that the article is airworthy with respect to the maintenance, preventive maintenance, or alterations performed after—
(1) The repair station performs work on the article; and
(2) An inspector inspects the article on which the repair station has performed work and determines it to be airworthy with respect to the work performed.
(c) For the purposes of paragraphs (a) and (b) of this section, an inspector must meet the requirements of § 145.155.
(d) Except for individuals employed by a repair station located outside the United States, only an employee appropriately certificated as a mechanic or repairman under part 65 is authorized to sign off on final inspections and maintenance releases for the repair station.
(a) A certificated repair station with a limited rating may perform maintenance, preventive maintenance, or alterations on an article if the article is listed on a current capability list acceptable to the FAA or on the repair station's operations specifications.
(b) The capability list must identify each article by make and model or other nomenclature designated by the article's manufacturer and be available in a format acceptable to the FAA.
(c) An article may be listed on the capability list only if the article is within the scope of the ratings of the repair station's certificate, and only after the repair station has performed a self-evaluation in accordance with the procedures under § 145.209(d)(2). The repair station must perform this self-evaluation to determine that the repair station has all of the housing, facilities, equipment, material, technical data, processes, and trained personnel in place to perform the work on the article as required by part 145. The repair station must retain on file documentation of the evaluation.
(d) Upon listing an additional article on its capability list, the repair station must provide its responsible Flight Standards office with a copy of the revised list in accordance with the procedures required in § 145.209(d)(1).
(a) A certificated repair station may contract a maintenance function pertaining to an article to an outside source provided—
(1) The FAA approves the maintenance function to be contracted to the outside source; and
(2) The repair station maintains and makes available to its responsible Flight Standards office, in a format acceptable to the FAA, the following information:
(i) The maintenance functions contracted to each outside facility; and
(ii) The name of each outside facility to whom the repair station contracts maintenance functions and the type of certificate and ratings, if any, held by each facility.
(b) A certificated repair station may contract a maintenance function pertaining to an article to a noncertificated person provided—
(1) The noncertificated person follows a quality control system equivalent to the system followed by the certificated repair station;
(2) The certificated repair station remains directly in charge of the work performed by the noncertificated person; and
(3) The certificated repair station verifies, by test and/or inspection, that the work has been performed satisfactorily by the noncertificated person and that the article is airworthy before approving it for return to service.
(c) A certificated repair station may not provide only approval for return to service of a complete type-certificated product following contract maintenance, preventive maintenance, or alterations.
(a) A certificated repair station must retain records in English that demonstrate compliance with the requirements of part 43. The records must be retained in a format acceptable to the FAA.
(b) A certificated repair station must provide a copy of the maintenance release to the owner or operator of the article on which the maintenance, preventive maintenance, or alteration was performed.
(c) A certificated repair station must retain the records required by this section for at least 2 years from the date the article was approved for return to service.
(d) A certificated repair station must make all required records available for inspection by the FAA and the National Transportation Safety Board.
(a) A certificated repair station must report to the FAA within 96 hours after it discovers any serious failure, malfunction, or defect of an article. The report must be in a format acceptable to the FAA.
(b) The report required under paragraph (a) of this section must include as much of the following information as is available:
(1) Aircraft registration number;
(2) Type, make, and model of the article;
(3) Date of the discovery of the failure, malfunction, or defect;
(4) Nature of the failure, malfunction, or defect;
(5) Time since last overhaul, if applicable;
(6) Apparent cause of the failure, malfunction, or defect; and
(7) Other pertinent information that is necessary for more complete identification, determination of seriousness, or corrective action.
(c) The holder of a repair station certificate that is also the holder of a part 121, 125, or 135 certificate; type certificate (including a supplemental type certificate); parts manufacturer approval; or technical standard order authorization, or that is the licensee of a type certificate holder, does not need to report a failure, malfunction, or defect under this section if the failure, malfunction, or defect has been reported under parts 21, 121, 125, or 135 of this chapter.
(d) A certificated repair station may submit a service difficulty report for the following:
(1) A part 121 certificate holder, provided the report meets the requirements of part 121 of this chapter, as appropriate.
(2) A part 125 certificate holder, provided the report meets the requirements of part 125 of this chapter, as appropriate.
(3) A part 135 certificate holder, provided the report meets the requirements of part 135 of the chapter, as appropriate.
(e) A certificated repair station authorized to report a failure, malfunction, or defect under paragraph (d) of this section must not report the same failure, malfunction, or defect under paragraph (a) of this section. A copy of the report submitted under paragraph (d) of this section must be forwarded to the certificate holder.
(a) A certificated repair station must allow the FAA to inspect that repair station at any time to determine compliance with this chapter.
(b) A certificated repair station may not contract for the performance of a maintenance function on an article with a noncertificated person unless it provides in its contract with the noncertificated person that the FAA may make an inspection and observe the performance of the noncertificated person's work on the article.
(c) A certificated repair station may not return to service any article on which a maintenance function was performed by a noncertificated person if the noncertificated person does not permit the FAA to make the inspection described in paragraph (b) of this section.
This part prescribes the requirements for issuing aviation maintenance technician school certificates and associated ratings and the general operating rules for the holders of those certificates and ratings.
No person may operate an aviation maintenance technician school without, or in violation of, an aviation maintenance technician school certificate and the operations specifications issued under this part.
(a) To be issued a certificate or rating under this part, an applicant must demonstrate compliance with the requirements of this part.
(b) An application for a certificate and rating to operate an aviation maintenance technician school must include the following:
(1) A description of the facilities, including the physical address of the applicant's primary location for operation of the school, and any additional fixed locations where training will be provided, and the equipment and materials to be used at each location;
(2) A description of the manner in which the school's curriculum will ensure the student has the knowledge and skills necessary for attaining a mechanic certificate and associated ratings under subpart D of part 65 of this chapter;
(3) A description of the manner in which the school will ensure it provides the necessary qualified instructors to meet the requirements of § 147.19; and
(4) Any additional information necessary to demonstrate compliance with the requirements of this part.
(c) An application for an additional rating or amended certificate must include only the information required by paragraph (b) of this section that is necessary to substantiate the reason for the additional rating or change sought.
An aviation maintenance technician school certificate or rating issued under this part is effective from the date of issue until the certificate or rating is surrendered, suspended, or revoked.
The following ratings may be issued under this part:
(a) Airframe.
(b) Powerplant.
(c) Airframe and powerplant.
(a) Each certificated aviation maintenance technician school must provide and maintain the facilities, equipment, and materials that are appropriate to the rating or ratings held by the school and the number of students taught.
(b) For certificated aviation maintenance technician schools that provide training at more than one location in accordance with § 147.15, the facilities, equipment, and materials used at each location must be appropriate to the curriculum or portion of the curriculum, and the number of students being taught, at that location.
A certificated aviation maintenance technician school may provide training at any fixed location other than its primary location, provided the additional training location meets the requirements of this part and is listed in the certificate holder's operations specifications.
(a) Each certificated aviation maintenance technician school must:
(1) Establish, maintain, and utilize a curriculum that is designed to continually align with the mechanic airman certification standards referenced in paragraph (b) of this section, as appropriate for the ratings held;
(2) Provide training of a quality that meets the requirements of § 147.25; and
(3) Ensure students have the knowledge and skills necessary to be prepared to test for a mechanic certificate and associated ratings under subpart D of part 65 of this chapter.
(b) FAA-S-ACS-1, Aviation Mechanic General, Airframe, and Powerplant Airman Certification Standards, November 1, 2021, is incorporated by reference into this section with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. This material is available for inspection at the Federal Aviation Administration (FAA) and the National Archives and Records Administration (NARA). For information on the availability of this material at FAA, contact Training and Certification Group, 202-267-1100, ACSPTSinquiries@faa.gov. For information on the availability of this material at NARA, email: fr.inspection@nara.gov, or go to www.archives.gov/federal-register/cfr/ibr-locations. This material may be obtained from FAA, 800 Independence Avenue SW, Washington, DC 20591, 866-835-5322, www.faa.gov/training_testing.
Each certificated aviation maintenance technician school must:
(a) Provide qualified instructors to teach in a manner that ensures positive educational outcomes are achieved;
(b) Ensure instructors either—
(1) Hold a mechanic certificate with one or more appropriate ratings; or
(2) If they do not hold a mechanic certificate, are otherwise specifically qualified to teach their assigned content; and
(c) Ensure the student-to-instructor ratio does not exceed 25:1 for any shop class.
Each certificated aviation maintenance technician school must provide an authenticated document to each graduating student, indicating the student's date of graduation and curriculum completed.
(a) Each certificated aviation maintenance technician school must—
(1) Be accredited within the meaning of 20 U.S.C. 1001(a)(5); or
(2) Establish and maintain a quality control system that meets the requirements specified in paragraph (b) of this section, and is approved by the Administrator.
(b) The quality control system specified in paragraph (a)(2) of this section must provide procedures for recordkeeping, assessment, issuing credit, issuing of final course grades, attendance, ensuring sufficient number of instructors, granting of graduation documentation, and corrective action for addressing deficiencies.
(a) Each certificated aviation maintenance technician school must maintain the pass rate specified in paragraph (b) of this section for the most recent 3-year period.
(b) For students who take an FAA mechanic test under part 65 of this chapter within 60 days after graduation, at least 70 percent of students must pass one of the following tests or any combination thereof:
(1) Written test;
(2) Oral test; or
(3) Practical test.
(c) For students who take a combination of tests within the 60-day window specified in paragraph (b) of this section, an aviation maintenance technician school must count a failure on any one test as a student failure for purposes of determining the pass rate, unless that failed test is subsequently passed within the 60-day window.
A certificated aviation maintenance technician school must allow the Administrator such access as the Administrator determines necessary to inspect the one or more locations of the school for purposes of determining the school's compliance with the requirements of this part.
A certificated aviation maintenance technician school must display its aviation maintenance technician school certificate at a place in each location of the school, including the primary location and any additional fixed locations, that is visible by and normally accessible to the public.
When a student satisfactorily completes the general portion of a certificated aviation maintenance technician school's curriculum, the school may issue an authenticated document that demonstrates the student's preparedness to take the mechanic general written test in accordance with § 65.75(c) of this chapter.
This part prescribes the procedures, standards, and methodology governing the development, submission, and review of airport noise exposure maps and airport noise compatibility programs, including the process for evaluating and approving or disapproving those programs. It prescribes single systems for—(a) measuring noise at airports and surrounding areas that generally provides a highly reliable relationship between projected noise exposure and surveyed reaction of people to noise; and (b) determining exposure of individuals to noise that results from the operations of an airport. This part also identifies those land uses which are normally compatible with various levels of exposure to noise by individuals. It provides technical assistance to airport operators, in conjunction with other local, State, and Federal authorities, to prepare and execute appropriate noise compatibility planning and implementation programs.
This part applies to the airport noise compatibility planning activities of the operators of “public use airports,” including heliports, as that term is used in section 47501(2) as amended (49 U.S.C. 47501 et seq.) and as defined in section 47102(17) of 49 U.S.C.
(a) Pursuant to 49 U.S.C. 47501 et seq., this part provides for airport noise compatibility planning and land use programs necessary to the purposes of those provisions. No submittal of a map, or approval or disapproval, in whole or part, of any map or program submitted under this part is a determination concerning the acceptability or unacceptability of that land use under Federal, State, or local law.
(b) Approval of a noise compatibility program under this part is neither a commitment by the FAA to financially assist in the implementation of the program, nor a determination that all measures covered by the program are eligible for grant-in-aid funding from the FAA.
(c) Approval of a noise compatibility program under this part does not by itself constitute an FAA implementing action. A request for Federal action or approval to implement specific noise compatibility measures may be required, and an FAA decision on the request may require an environmental assessment of the proposed action, pursuant to the National Environmental Policy Act (42 U.S.C. 4332 et seq.) and guidelines.
(d) Acceptance of a noise exposure map does not constitute an FAA determination that any specific parcel of land lies within a particular noise contour. Responsibility for interpretation of the effects of noise contours upon subjacent land uses, including the relationship between noise contours and specific properties, rests with the sponsor or with other state or local government.
As used in this part, unless the context requires otherwise, the following terms have the following meanings.
Airport means any public use airport, including heliports, as defined by the ASNA Act, including: (a) Any airport which is used or to be used for public purposes, under the control of a public agency, the landing area of which is publicly owned; (b) any privately owned reliever airport; and (c) any privately owned airport which is determined by the Secretary to enplane annually 2,500 or more passengers and receive scheduled passenger service of aircraft, which is used or to be used for public purposes.
Airport noise compatibility program and program mean that program, and all revisions thereto, reflected in documents (and revised documents) developed in accordance with appendix B of this part, including the measures proposed or taken by the airport operator to reduce existing noncompatible land uses and to prevent the introduction of additional noncompatible land uses within the area.
Airport Operator means, the operator of an airport as defined in the ASNA Act.
ASNA Act means 49 U.S.C. 47501 et seq.
Average sound level means the level, in decibels, of the mean-square, A-weighted sound pressure during a specified period, with reference to the square of the standard reference sound pressure of 20 micropascals.
Compatible land use means the use of land that is identified under this part as normally compatible with the outdoor noise environment (or an adequately attenuated noise level reduction for any indoor activities involved) at the location because the yearly day-night average sound level is at or below that identified for that or similar use under appendix A (Table 1) of this part.
Day-night average sound level (DNL) means the 24-hour average sound level, in decibels, for the period from midnight to midnight, obtained after the addition of ten decibels to sound levels for the periods between midnight and 7 a.m., and between 10 p.m., and midnight, local time. The symbol for DNL is L
Noise exposure map means a scaled, geographic depiction of an airport, its noise contours, and surrounding area developed in accordance with section A150.1 of Appendix A of this part, including the accompanying documentation setting forth the required descriptions of forecast aircraft operations at that airport during the fifth calendar year (or later) beginning after submission of the map, together with the ways, if any, those operations will affect the map (including noise contours and the forecast land uses).
Noise level reduction (NLR) means the amount of noise level reduction in decibels achieved through incorporation of noise attenuation (between outdoor and indoor levels) in the design and construction of a structure.
Noncompatible land use means the use of land that is identified under this part as normally not compatible with the outdoor noise environment (or an adequately attenuated noise reduction level for the indoor activities involved at the location) because the yearly day-night average sound level is above that identified for that or similar use under appendix A (Table 1) of this part.
Regional Airports Division Manager means the Airports Division Manager having responsibility for the geographic area in which the airport in question is located.
Restriction affecting flight procedures means any requirement, limitation, or other action affecting the operation of aircraft, in the air or on the ground.
Sound exposure level means the level, in decibels, of the time integral of squared A-weighted sound pressure during a specified period or event, with reference to the square of the standard reference sound pressure of 20 micropascals and a duration of one second.
Yearly day-night average sound level (YDNL) means the 365-day average, in decibels, day-night average sound level. The symbol for YDNL is also L
For purposes of this part, the following designations apply:
(a) The noise at an airport and surrounding areas covered by a noise exposure map must be measured in A-weighted sound pressure level (L
(b) The exposure of individuals to noise resulting from the operation of an airport must be established in terms of yearly day-night average sound level (YDNL) calculated in accordance with the specifications and methods prescribed under appendix A of this part.
(c) Uses of computer models to create noise contours must be in accordance with the criteria prescribed under appendix A of this part.
For the purposes of this part, uses of land which are normally compatible or noncompatible with various noise exposure levels to individuals around airports must be identified in accordance with the criteria prescribed under appendix A of this part. Determination of land use must be based on professional planning criteria and procedures utilizing comprehensive, or master, land use planning, zoning, and building and site designing, as appropriate. If more than one current or future land use is permissible, determination of compatibility must be based on that use most adversely affected by noise.
(a) General. This part prescribes certain standards and procedures which are not set forth in full text in the rule. Those standards and procedures are hereby incorporated by reference and were approved for incorporation by reference by the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51.
(b) Changes to incorporated matter. Incorporated matter which is subject to subsequent change is incorporated by reference according to the specific reference and to the identification statement. Adoption of any subsequent change in incorporated matter that affects compliance with standards and procedures of this part will be made under 14 CFR part 11 and 1 CFR part 51.
(c) Identification statement. The complete title or description which identifies each published matter incorporated by reference in this part is as follows:
International Electrotechnical Commission (IEC) Publication No. 179, entitled “Precision Sound Level Meters,” dated 1973.
(d) Availability for purchase. Published material incorporated by reference in this part may be purchased at the price established by the publisher or distributor at the following mailing addresses.
IEC publications:
(1) The Bureau Central de la Commission Electrotechnique, Internationale, 1, rue de Varembe, Geneva, Switzerland.
(2) American National Standards Institute, 1430 Broadway, New York, NY 10018.
(e) Availability for inspection. A copy of each publication incorporated by reference in this part is available for public inspection at the following locations:
(1) FAA Office of the Chief Counsel, Rules Docket, AGC-200, Federal Aviation Administration Headquarters Building, 800 Independence Avenue, SW., Washington, DC 20591.
(2) The respective Regional Offices of the Federal Aviation Administration as follows. The most current mailing address, phone numbers, and States covered by each region are available on the FAA's Web site at http://www.faa.gov/arp/index.cfm?nav = hq.
(i) New England Regional Office, 12 New England Executive Park, Burlington, Massachusetts 01803.
(ii) Eastern Regional Office, Airports Division, 1 Aviation Plaza, Jamaica, NY 11434-4809.
(iii) Southern Regional Office, Federal Aviation Administration, ATTN: ASO-600, P.O. Box 20636, Atlanta, GA 30320-0631.
(iv) Great Lakes Regional Office, 2300 East Devon, Des Plaines, Illinois 60018.
(v) Central Regional Office, Federal Aviation Administration, ACE-600, 901 Locust, Kansas City, MO 64106-2325.
(vi) Southwest Regional Office, Federal Aviation Administration, 2601 Meacham Blvd., Fort Worth, TX 76137-4298.
(vii) Northwest Mountain Regional Office, Federal Aviation Administration, Airports Division, 1601 Lind Avenue SW., Suite 315, Renton, WA 98055-4056.
(viii) Western Pacific Regional Office, 15000 Aviation Boulevard, Hawthorne, California (P.O. Box 92007, Worldway Postal Center, Los Angeles) 90009.
(ix) Alaskan Regional Office, 222 W. 7th Avenue #14, Anchorage, AK 9951.
(3) National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(a) Each airport operator may after completion of the consultations and public procedure specified under paragraph (b) of this section submit to the Regional Airports Division Manager five copies of the noise exposure map (or revised map) which identifies each noncompatible land use in each area depicted on the map, as of the date of submission, and five copies of a map each with accompanying documentation setting forth—
(1) The noise exposure based on forecast aircraft operations at the airport for a forecast period that is at least 5 years in the future, beginning after the date of submission (based on reasonable assumptions concerning future type and frequency of aircraft operations, number of nighttime operations, flight patterns, airport layout including any planned airport development, planned land use changes, and demographic changes in the surrounding areas); and
(2) The nature and extent, if any, to which those forecast operations will affect the compatibility and land uses depicted on the map.
(b) Each map, and related documentation submitted under this section must be developed and prepared in accordance with appendix A of this part, or an FAA approved equivalent, and in consultation with states, and public agencies and planning agencies whose area, or any portion of whose area, of jurisdiction is within the L
(c) The Regional Airports Division Manager acknowledges receipt of noise exposure maps and descriptions and indicates whether they are in compliance with the applicable requirements. The Regional Airports Division Manager publishes in the
(d) The airport operator shall, in accordance with this section, promptly prepare and submit a revised noise exposure map.
(1) If, after submission of a noise exposure map under paragraph (a) of this section, any change in the operation of the airport would create any “substantial, new noncompatible use” in any area depicted on the map beyond that which is forecast for a period of at least five years after the date of submission, the airport operator shall, in accordance with this section, promptly prepare and submit a revised noise exposure map. A change in the operation of an airport creates a substantial new noncompatible use if that change results in an increase in the yearly day-night average sound level of 1.5 dB or greater in either a land area which was formerly compatible but is thereby made noncompatible under Appendix A (Table 1), or in a land area which was previously determined to be noncompatible under that Table and whose noncompatibility is now significantly increased.
(2) If, after submission of a noise exposure map under paragraph (a) of this section, any change in the operation of the airport would significantly reduce noise over existing noncompatible uses that is not reflected in either the existing conditions or forecast noise exposure map on file with the FAA, the airport operator shall, in accordance with this section, promptly prepare and submit a revised noise exposure map. A change in the operation of the airport creates a significant reduction in noise over existing noncompatible uses if that change results in a decrease in the yearly day-night average sound level of 1.5 dB or greater in a land area which was formerly noncompatible but is thereby made compatible under Appendix A (Table 1).
(3) Such updating of the map shall include a reassessment of those areas excluded under section A150.101(e)(5) of Appendix A because of high ambient noise levels.
(4) If the forecast map is based on assumptions involving recommendations in a noise compatibility program which are subsequently disapproved by the FAA, a revised map must be submitted if revised assumptions would create a substantial, new noncompatible use not indicated on the forecast map. Revised noise exposure maps are subject to the same requirements and procedures as initial submissions of noise exposure maps under this part.
(e) Each map, or revised map, and description of consultation and opportunity for public comment, submitted to the FAA, must be certified as true and complete under penalty of 18 U.S.C. 1001.
(f)(1) Title 49, section 47506 provides that no person who acquires property or an interest therein after the date of enactment of the Act in an area surrounding an airport with respect to which a noise exposure map has been submitted under section 47503 of the Act shall be entitled to recover damages with respect to the noise attributable to such airport if such person had actual or constructive knowledge of the existence of such noise exposure map unless, in addition to any other elements for recovery of damages, such person can show that—
(i) A significant change in the type or frequency of aircraft operations at the airport; or
(ii) A significant change in the airport layout; or
(iii) A significant change in the flight patterns; or
(iv) A significant increase in nighttime operations; occurred after the date of the acquisition of such property or interest therein and that the damages for which recovery is sought have resulted from any such change or increase.”
(f)(2) Title 49 section 47506(b) further provides:
(i) Prior to the date of such acquisition, notice of the existence of a noise exposure map for such area was published at least three times in a newspaper of general circulation in the county in which such property is located; or
(ii) A copy of such noise exposure map is furnished to such person at the time of such acquisition.
(g) For this purpose, the term significant in paragraph (f) of this section means that change or increase in one or more of the four factors which results in a “substantial new noncompatible use” as defined in § 150.21(d), affecting the property in issue. Responsibility for applying or interpreting this provision with respect to specific properties rests with local government.
(a) Any airport operator who has submitted an acceptable noise exposure map under § 150.21 may, after FAA notice of acceptability and other consultation and public procedure specified under paragraphs (b) and (c) of this section, as applicable, submit to the Regional Airports Division Manager five copies of a noise compatibility program.
(b) An airport operator may submit the noise compatibility program at the same time as the noise exposure map. In this case, the Regional Airports Division Manager will not begin the statutory 180-day review period (for the program) until after FAA reviews the noise exposure map and finds that it and its supporting documentation are in compliance with the applicable requirements.
(c) Each noise compatibility program must be developed and prepared in accordance with appendix B of this part, or an FAA approved equivalent, and in consultation with FAA regional officials, the officials of the state and of any public agencies and planning agencies whose area, or any portion or whose area, of jurisdiction within the L
(d) Prior to and during the development of a program, and prior to submission of the resulting draft program to the FAA, the airport operator shall afford adequate opportunity for the active and direct participation of the States, public agencies and planning agencies in the areas surrounding the airport, aeronautical users of the airport, the airport operator, and the general public to submit their views, data, and comments on the formulation and adequacy of that program. Prior to submitting the program to the FAA, the airport operator shall also provide notice and the opportunity for a public hearing.
(e) Each noise compatibility program submitted to the FAA must consist of at least the following:
(1) A copy of the noise exposure map and its supporting documentation as found in compliance with the applicable requirements by the FAA, per § 150.21(c).
(2) A description and analysis of the alternative measures considered by the airport operator in developing the program, together with a discussion of why each rejected measure was not included in the program.
(3) Program measures proposed to reduce or eliminate present and future noncompatible land uses and a description of the relative contribution of each of the proposed measures to the overall effectiveness of the program.
(4) A description of public participation and the consultation with officials of public agencies and planning agencies in areas surrounding the airport, FAA regional officials and other Federal officials having local responsibility for land uses depicted on the map, any air carriers and other users of the airport.
(5) The actual or anticipated effect of the program on reducing noise exposure to individuals and noncompatible land uses and preventing the introduction of additional noncompatible uses within the area covered by the noise exposure map. The effects must be based on expressed assumptions concerning the type and frequency of aircraft operations, number of nighttime operations, flight patterns, airport layout including planned airport development, planned land use changes, and demographic changes within the L
(6) A description of how the proposed future actions may change any noise control or compatibility plans or actions previously adopted by the airport proprietor.
(7) A summary of the comments at any public hearing on the program and a copy of all written material submitted to the operator under paragraphs (c) and (d) of this section, together with the operator's response and disposition of those comments and materials to demonstrate the program is feasible and reasonably consistent with obtaining the objectives of airport noise compatibility planning under this part.
(8) The period covered by the program, the schedule for implementation of the program, the persons responsible for implementation of each measure in the program, and, for each measure, documentation supporting the feasibility of implementation, including any essential governmental actions, costs, and anticipated sources of funding, that will demonstrate that the program is reasonably consistent with achieving the goals of airport noise compatibility planning under this part.
(9) Provision for revising the program if made necessary by revision of the noise exposure map.
(a) Upon receipt of a noise compatibility program submitted under § 150.23, the Regional Airports Division Manager acknowledges to the airport operator receipt of the program and conducts a preliminary review of the submission.
(b) If, based on the preliminary review, the Regional Airports Division Manager finds that the submission does not conform to the requirements of this part, he disapproves and returns the unacceptable program to the airport operator for reconsideration and development of a program in accordance with this part.
(c) If, based on the preliminary review, the Regional Airports Division Manager finds that the program conforms to the requirements of this part, the Regional Airports Division Manager publishes in the
(1) The airport covered by the program, and the date of receipt.
(2) The availability of the program for examination in the offices of the Regional Airports Division Manager and the airport operator.
(3) That comments on the program are invited and, will be considered by the FAA.
(d) The date of signature of the published notice of receipt starts the 180-day approval period for the program.
(a) The FAA conducts an evaluation of each noise compatibility program and, based on that evaluation, either approves or disapproves the program. The evaluation includes consideration of proposed measures to determine whether they—
(1) May create an undue burden on interstate or foreign commerce (including unjust discrimination);
(2) Are reasonably consistent with obtaining the goal of reducing existing noncompatible land uses and preventing the introduction of additional noncompatible land uses; and
(3) Include the use of new or modified flight procedures to control the operation of aircraft for purposes of noise control, or affect flight procedures in any way.
(b) The evaluation may also include an evaluation of those proposed measures to determine whether they may adversely affect the exercise of the authority and responsibilities of the Administrator under the Federal Aviation Act of 1958, as amended.
(c) To the extent considered necessary, the FAA may—
(1) Confer with the airport operator and other persons known to have information and views material to the evaluation;
(2) Explore the objectives of the program and the measures, and any alternative measures, for achieving the objectives.
(3) Examine the program for developing a range of alternatives that would eliminate the reasons, if any, for disapproving the program.
(4) Convene an informal meeting with the airport operator and other persons involved in developing or implementing the program for the purposes of gathering all facts relevant to the determination of approval or disapproval of the program and of discussing any needs to accommodate or modify the program as submitted.
(d) If requested by the FAA, the airport operator shall furnish all information needed to complete FAA's review under (c).
(e) An airport operator may, at any time before approval or disapproval of a program, withdraw or revise the program. If the airport operator withdraws or revises the program or indicates to the Regional Airports Division Manager, in writing, the intention to revise the program, the Regional Airports Division Manager terminates the evaluation and notifies the airport operator of that action. That termination cancels the 180-day review period. The FAA does not evaluate a second program for any airport until any previously submitted program has been withdrawn or a determination on it is issued. A new evaluation is commenced upon receipt of a revised program, and a new 180-day approval period is begun, unless the Regional Airports Division Manager finds that the modification made, in light of the overall revised program, can be integrated into the unmodified portions of the revised program without exceeding the original 180-day approval period or causing undue expense to the government.
(a) The FAA issues a determination approving or disapproving each airport noise compatibility program (and revised program). Portions of a program may be individually approved or disapproved. No conditional approvals will be issued. A determination on a program acceptable under this part is issued within 180 days after the program is received under § 150.23 of this part or it may be considered approved, except that this time period may be exceeded for any portion of a program relating to the use of flight procedures for noise control purposes. A determination on portions of a program covered by the exceptions to the 180-day review period for approval will be issued within a reasonable time after receipt of the program. Determinations relating to the use of any flight procedure for noise control purposes may be issued either in connection with the determination on other portions of the program or separately. Except as provided by this paragraph, no approval of any noise compatibility program, or any portion of a program, may be implied in the absence of the FAA's express approval.
(b) The Administrator approves programs under this part, if—
(1) It is found that the program measures to be implemented would not create an undue burden on interstate or foreign commerce (including any unjust discrimination) and are reasonably consistent with achieving the goals of reducing existing noncompatible land uses around the airport and of preventing the introduction of additional noncompatible land uses;
(2) The program provides for revision if made necessary by the revision of the noise map; and
(3) Those aspects of programs relating to the use of flight procedures for noise control can be implemented within the period covered by the program and without—
(i) Reducing the level of aviation safety provided;
(ii) Derogating the requisite level of protection for aircraft, their occupants and persons and property on the ground;
(iii) Adversely affecting the efficient use and management of the Navigable Airspace and Air Traffic Control Systems; or
(iv) Adversely affecting any other powers and responsibilities of the Administrator prescribed by law or any other program, standard, or requirement established in accordance with law.
(c) When a determination is issued, the Regional Airports Division Manager notifies the airport operator and publishes a notice of approval or disapproval in the
(d) Approvals issued under this part for a program or portion thereof become effective as specified therein and may be withdrawn when one of the following occurs:
(1) The program or portion thereof is required to be revised under this part or under its own terms, and is not so revised;
(2) If a revision has been submitted for approval, a determination is issued on the revised program or portion thereof, that is inconsistent with the prior approval.
(3) A term or condition of the program, or portion thereof, or its approval is violated by the responsible government body.
(4) A flight procedure or other FAA action upon which the approved program or portion thereof is dependent is subsequently disapproved, significantly altered, or rescinded by the FAA.
(5) The airport operator requests rescission of the approval.
(6) Impacts on flight procedures, air traffic management, or air commerce occur which could not be foreseen at the time of approval.
(e) Determinations may contain conditions which must be satisfied prior to implementation of any portion of the program relating to flight procedures affecting airport or aircraft operations.
(f) Noise exposure maps for current and forecast year map conditions that are submitted and approved with noise compatibility programs are considered to be the new FAA accepted noise exposure maps for purposes of part 150.
(a) This appendix establishes a uniform methodology for the development and preparation of airport noise exposure maps. That methodology includes a single system of measuring noise at airports for which there is a highly reliable relationship between projected noise exposure and surveyed reactions of people to noise along with a separate single system for determining the exposure of individuals to noise. It also identifies land uses which, for the purpose of this part are considered to be compatible with various exposures of individuals to noise around airports.
(b) This appendix provides for the use of the FAA's Integrated Noise Model (INM) or an FAA approved equivalent, for developing standardized noise exposure maps and predicting noise impacts. Noise monitoring may be utilized by airport operators for data acquisition and data refinement, but is not required by this part for the development of noise exposure maps or airport noise compatibility programs. Whenever noise monitoring is used, under this part, it should be accomplished in accordance with Sec. A150.5 of this appendix.
(a) Airport Noise Measurement. The A-Weighted Sound Level, measured, filtered and recorded in accordance with Sec. A150.5 of this appendix, must be employed as the unit for the measurement of single event noise at airports and in the areas surrounding the airports.
(b) Airport Noise Exposure. The yearly day-night average sound level (YDNL) must be employed for the analysis and characterization of multiple aircraft noise events and for determining the cumulative exposure of individuals to noise around airports.
(a) Sound levels must be measured or analyzed with equipment having the “A” frequency weighting, filter characteristics, and the “slow response” characteristics as defined in International Electrotechnical Commission (IEC) Publication No. 179, entitled “Precision Sound Level Meters” as incorporated by reference in part 150 under § 150.11. For purposes of this part, the tolerances allowed for general purpose, type 2 sound level meters in IEU 179, are acceptable.
(b) Noise measurements and documentation must be in accordance with accepted acoustical measurement methodology, such as those described in American National Standards Institute publication ANSI 51.13, dated 1971 as revised 1979, entitled “ANS—Methods for the Measurement of Sound Pressure Levels”; ARP No. 796, dated 1969, entitled “Measurement of Aircraft Exterior Noise in the Field”; “Handbook of Noise Measurement,” Ninth Ed. 1980, by Arnold P.G. Peterson; or “Acoustic Noise Measurement,” dated Jan., 1979, by J.R. Hassell and K. Zaveri. For purposes of this part, measurements intended for comparison to a State or local standard or with another transportation noise source (including other aircraft) must be reported in maximum A-weighted sound levels (L
(a) To determine the extent of the noise impact around an airport, airport proprietors developing noise exposure maps in accordance with this part must develop L
(b) Table 1 of this appendix describes compatible land use information for several land uses as a function of YDNL values. The ranges of YDNL values in Table 1 reflect the statistical variability for the responses of large groups of people to noise. Any particular level might not, therefore, accurately assess an individual's perception of an actual noise environment. Compatible or noncompatible land use is determined by comparing the predicted or measured YDNL values at a site with the values given. Adjustments or modifications of the descriptions of the land-use categories may be desirable after consideration of specific local conditions.
(c) Compatibility designations in Table 1 generally refer to the major use of the site. If other uses with greater sensitivity to noise are permitted by local government at a site, a determination of compatibility must be based on that use which is most adversely affected by noise. When appropriate, noise level reduction through incorporation of sound attenuation into the design and construction of a structure may be necessary to achieve compatibility.
(d) For the purpose of compliance with this part, all land uses are considered to be compatible with noise levels less than L
(e) Except as provided in (f) below, the noise exposure maps must also contain and indentify:
(1) Runway locations.
(2) Flight tracks.
(3) Noise contours of L
(4) Outline of the airport boundaries.
(5) Noncompatible land uses within the noise contours, including those within the L
(6) Location of noise sensitive public buildings (such as schools, hospitals, and health care facilities), and properties on or eligible for inclusion in the National Register of Historic Places.
(7) Locations of any aircraft noise monitoring sites utilized for data acquisition and refinement procedures.
(8) Estimates of the number of people residing within the L
(9) Depiction of the required noise contours over a land use map of a sufficient scale and quality to discern streets and other identifiable geographic features.
(f) Notwithstanding any other provision of this part, noise exposure maps prepared in connection with studies which were either Federally funded or Federally approved and which commenced before October 1, 1981, are not required to be modified to contain the following items:
(1) Flight tracks depicted on the map.
(2) Use of ambient noise to determine land use compatibility.
(3) The L
(4) Estimates of the number of people residing within the L
Table 1—Land Use Compatibility* With Yearly Day-Night Average Sound Levels
| Land use | Yearly day-night average sound level (L | |||||
|---|---|---|---|---|---|---|
| Below 65 | 65-70 | 70-75 | 75-80 | 80-85 | Over 85 | |
| Residential, other than mobile homes and transient lodgings | Y | N(1) | N(1) | N | N | N |
| Mobile home parks | Y | N | N | N | N | N |
| Transient lodgings | Y | N(1) | N(1) | N(1) | N | N |
| Schools | Y | N(1) | N(1) | N | N | N |
| Hospitals and nursing homes | Y | 25 | 30 | N | N | N |
| Churches, auditoriums, and concert halls | Y | 25 | 30 | N | N | N |
| Governmental services | Y | Y | 25 | 30 | N | N |
| Transportation | Y | Y | Y(2) | Y(3) | Y(4) | Y(4) |
| Parking | Y | Y | Y(2) | Y(3) | Y(4) | N |
| Offices, business and professional | Y | Y | 25 | 30 | N | N |
| Wholesale and retail—building materials, hardware and farm equipment | Y | Y | Y(2) | Y(3) | Y(4) | N |
| Retail trade—general | Y | Y | 25 | 30 | N | N |
| Utilities | Y | Y | Y(2) | Y(3) | Y(4) | N |
| Communication | Y | Y | 25 | 30 | N | N |
| Manufacturing, general | Y | Y | Y(2) | Y(3) | Y(4) | N |
| Photographic and optical | Y | Y | 25 | 30 | N | N |
| Agriculture (except livestock) and forestry | Y | Y(6) | Y(7) | Y(8) | Y(8) | Y(8) |
| Livestock farming and breeding | Y | Y(6) | Y(7) | N | N | N |
| Mining and fishing, resource production and extraction | Y | Y | Y | Y | Y | Y |
| Outdoor sports arenas and spectator sports | Y | Y(5) | Y(5) | N | N | N |
| Outdoor music shells, amphitheaters | Y | N | N | N | N | N |
| Nature exhibits and zoos | Y | Y | N | N | N | N |
| Amusements, parks, resorts and camps | Y | Y | Y | N | N | N |
| Golf courses, riding stables and water recreation | Y | Y | 25 | 30 | N | N |
Numbers in parentheses refer to notes.
*The designations contained in this table do not constitute a Federal determination that any use of land covered by the program is acceptable or unacceptable under Federal, State, or local law. The responsibility for determining the acceptable and permissible land uses and the relationship between specific properties and specific noise contours rests with the local authorities. FAA determinations under part 150 are not intended to substitute federally determined land uses for those determined to be appropriate by local authorities in response to locally determined needs and values in achieving noise compatible land uses.
SLUCM = Standard Land Use Coding Manual.
Y (Yes) = Land Use and related structures compatible without restrictions.
N (No) = Land Use and related structures are not compatible and should be prohibited.
NLR = Noise Level Reduction (outdoor to indoor) to be achieved through incorporation of noise attenuation into the design and construction of the structure.
25, 30, or 35 = Land use and related structures generally compatible; measures to achieve NLR of 25, 30, or 35 dB must be incorporated into design and construction of structure.
(1) Where the community determines that residential or school uses must be allowed, measures to achieve outdoor to indoor Noise Level Reduction (NLR) of at least 25 dB and 30 dB should be incorporated into building codes and be considered in individual approvals. Normal residential construction can be expected to provide a NLR of 20 dB, thus, the reduction requirements are often stated as 5, 10 or 15 dB over standard construction and normally assume mechanical ventilation and closed windows year round. However, the use of NLR criteria will not eliminate outdoor noise problems.
(2) Measures to achieve NLR 25 dB must be incorporated into the design and construction of portions of these buildings where the public is received, office areas, noise sensitive areas or where the normal noise level is low.
(3) Measures to achieve NLR of 30 dB must be incorporated into the design and construction of portions of these buildings where the public is received, office areas, noise sensitive areas or where the normal noise level is low.
(4) Measures to achieve NLR 35 dB must be incorporated into the design and construction of portions of these buildings where the public is received, office areas, noise sensitive areas or where the normal level is low.
(5) Land use compatible provided special sound reinforcement systems are installed.
(6) Residential buildings require an NLR of 25.
(7) Residential buildings require an NLR of 30.
(8) Residential buildings not permitted.
(a) The airport operator shall acquire the aviation operations data necessary to develop noise exposure contours using an FAA approved methodology or computer program, such as the Integrated Noise Model (INM) for airports or the Heliport Noise Model (HNM) for heliports. In considering approval of a methodology or computer program, key factors include the demonstrated capability to produce the required output and the public availability of the program or methodology to provide interested parties the opportunity to substantiate the results.
(b) Except as provided in paragraph (c) of this section, the following information must be obtained for input to the calculation of noise exposure contours:
(1) A map of the airport and its environs at an adequately detailed scale (not less than 1 inch to 2,000 feet) indicating runway length, alignments, landing thresholds, takeoff start-of-roll points, airport boundary, and flight tracks out to at least 30,000 feet from the end of each runway.
(2) Airport activity levels and operational data which will indicate, on an annual average-daily-basis, the number of aircraft, by type of aircraft, which utilize each flight track, in both the standard daytime (0700-2200 hours local) and nighttime (2200-0700 hours local) periods for both landings and takeoffs.
(3) For landings—glide slopes, glide slope intercept altitudes, and other pertinent information needed to establish approach profiles along with the engine power levels needed to fly that approach profile.
(4) For takeoffs—the flight profile which is the relationship of altitude to distance from start-of-roll along with the engine power levels needed to fly that takeoff profile; these data must reflect the use of noise abatement departure procedures and, if applicable, the takeoff weight of the aircraft or some proxy for weight such as stage length.
(5) Existing topographical or airspace restrictions which preclude the utilization of alternative flight tracks.
(6) The government furnished data depicting aircraft noise characteristics (if not already a part of the computer program's stored data bank).
(7) Airport elevation and average temperature.
(c) For heliports, the map scale required by paragraph (b)(1) of this section shall not be less than 1 inch to 2,000 feet and shall indicate heliport boundaries, takeoff and landing pads, and typical flight tracks out to at least 4,000 feet horizontally from the landing pad. Where these flight tracks cannot be determined, obstructions or other limitations on flight tracks in and out of the heliport shall be identified within the map areas out to at least 4,000 feet horizontally from the landing pad. For static operation (hover), the helicopter type, the number of daily operations based on an annual average, and the duration in minutes of the hover operation shall be identified. The other information required in paragraph (b) shall be furnished in a form suitable for input to the HNM or other FAA approved methodology or computer program.
(a) The airport proprietor shall identify each public agency and planning agency whose jurisdiction or responsibility is either wholly or partially within the L
(b) For those agencies identified in (a) that have land use planning and control authority, the supporting documentation shall identify their geographic areas of jurisdiction.
The following mathematical descriptions provide the most precise definition of the yearly day-night average sound level (L
The following symbols are used in the computation of L
| Measure (in dB) | Symbol |
|---|---|
| Average Sound Level, During Time T | L |
| Day-Night Average Sound Level (individual day) | L |
| Yearly Day-Night Average Sound Level | L |
| Sound Exposure Level | L |
(a) Average sound level must be computed in accordance with the following formula:
When a noise environment is caused by a number of identifiable noise events, such as aircraft flyovers, average sound level may be conveniently calculated from the sound exposure levels of the individual events occurring within a time period T:
When T is one hour, L
(b) Day-night average sound level (individual day) must be computed in accordance with the following formula:
(c) Yearly day-night average sound level must be computed in accordance with the following formula:
(d) Sound exposure level must be computed in accordance with the following formula:
The time interval should be sufficiently large that it encompasses all the significant sound of a designated event.
The requisite integral may be approximated with sufficient accuracy by integrating L
(a) This appendix prescribes the content and the methods for developing noise compatibility programs authorized under this part. Each program must set forth the measures which the airport operator (or other person or agency responsible) has taken, or proposes to take, for the reduction of existing noncompatible land uses and the prevention of the introduction of additional noncompatible land uses within the area covered by the noise exposure map submitted by the operator.
(b) The purpose of a noise compatibility program is:
(1) To promote a planning process through which the airport operator can examine and analyze the noise impact created by the operation of an airport, as well as the costs and benefits associated with various alternative noise reduction techniques, and the responsible impacted land use control jurisdictions can examine existing and forecast areas of noncompatibility and consider actions to reduce noncompatible uses.
(2) To bring together through public participation, agency coordination, and overall cooperation, all interested parties with their respective authorities and obligations, thereby facilitating the creation of an agreed upon noise abatement plan especially suited to the individual airport location while at the same time not unduly affecting the national air transportation system.
(3) To develop comprehensive and implementable noise reduction techniques and land use controls which, to the maximum extent feasible, will confine severe aircraft YDNL values of L
(a) It is required that a current and complete noise exposure map and its supporting documentation as found in compliance with the applicable requirements by the FAA, per § 150.21(c) be included in each noise compatibility program:
(1) To identify existing and future noncompatible land uses, based on airport operation and off-airport land uses, which have generated the need to develop a program.
(2) To identify changes in noncompatible uses to be derived from proposed program measures.
(b) If the proposed noise compatibility program would yield maps differing from those previously submitted to FAA, the program shall be accompanied by appropriately revised maps. Such revisions must be prepared in accordance with the requirements of Sec. A150.101(e) of appendix A and will be accepted by FAA in accordance with § 150.35(f).
Based upon the airport noise exposure and noncompatible land uses identified in the map, the airport operator shall evaluate the several alternative noise control actions and develop a noise compatibility program which—
(a) Reduces existing noncompatible uses and prevents or reduces the probability of the establishment of additional noncompatible uses;
(b) Does not impose undue burden on interstate and foreign commerce;
(c) Provides for revision in accordance with § 150.23 of this part.
(d) Is not unjustly discriminatory.
(e) Does not derogate safety or adversely affect the safe and efficient use of airspace.
(f) To the extent practicable, meets both local needs and needs of the national air transportation system, considering tradeoffs between economic benefits derived from the airport and the noise impact.
(g) Can be implemented in a manner consistent with all of the powers and duties of the Administrator of FAA.
(a) Noise control alternatives must be considered and presented according to the following categories:
(1) Noise abatement alternatives for which the airport operator has adequate implementation authority.
(2) Noise abatement alternatives for which the requisite implementation authority is vested in a local agency or political subdivision governing body, or a state agency or political subdivision governing body.
(3) Noise abatement options for which requisite authority is vested in the FAA or other Federal agency.
(b) At a minimum, the operator shall analyze and report on the following alternatives, subject to the constraints that the strategies are appropriate to the specific airport (for example, an evaluation of night curfews is not appropriate if there are no night flights and none are forecast):
(1) Acquisition of land and interests therein, including, but not limited to air rights, easements, and development rights, to ensure the use of property for purposes which are compatible with airport operations.
(2) The construction of barriers and acoustical shielding, including the soundproofing of public buildings.
(3) The implementation of a preferential runway system.
(4) The use of flight procedures (including the modifications of flight tracks) to control the operation of aircraft to reduce exposure of individuals (or specific noise sensitive areas) to noise in the area around the airport.
(5) The implementation of any restriction on the use of airport by any type or class of aircraft based on the noise characteristics of those aircraft. Such restrictions may include, but are not limited to—
(i) Denial of use of the airport to aircraft types or classes which do not meet Federal noise standards;
(ii) Capacity limitations based on the relative noisiness of different types of aircraft;
(iii) Requirement that aircraft using the airport must use noise abatement takeoff or approach procedures previously approved as safe by the FAA;
(iv) Landing fees based on FAA certificated or estimated noise emission levels or on time of arrival; and
(v) Partial or complete curfews.
(6) Other actions or combinations of actions which would have a beneficial noise control or abatement impact on the public.
(7) Other actions recommended for analysis by the FAA for the specific airport.
(c) For those alternatives selected for implementation, the program must identify the agency or agencies responsible for such implementation, whether those agencies have agreed to the implementation, and the approximate schedule agreed upon.
(a) Notwithstanding any other provision of this part, noise compatibility programs prepared in connection with studies which were either Federally funded or Federally approved and commenced before October 1, 1981, are not required to be modified to contain the following items:
(1) Flight tracks.
(2) A noise contour of L
(3) The categorization of alternatives pursuant to Sec. B150.7(a), although the persons responsible for implementation of each measure in the program must still be identified in accordance with § 150.23(e)(8).
(4) Use of ambient noise to determine land use compatibility.
(b) Previously prepared noise compatibility program documentation may be supplemented to include these and other program requirements which have not been excepted.
This part prescribes the policies and procedures for administering the Federal-aid Airport Program under the Federal Airport Act, as amended (49 U.S.C. 1101 et seq.).
(a) Under the Federal Airport Act, the FAA prepares each year a “National Airport Plan” for developing public airports in the United States, Puerto Rico, the Virgin Islands, and Guam. In terms of general location and type of development, the National Airport Plan specifies the maximum limits of airport development that is necessary to provide a system of public airports adequate to anticipate and meet the needs of civil aeronautics.
(b) If, within the forecast period, an airport will have a substantial aeronautical necessity, it may be included in the National Airport Plan. Only work on an airport included in the current Plan is eligible for inclusion in the Federal-aid Airport Program to be undertaken within currently available appropriations and authorizations. However, the inclusion of an airport in the National Airport Plan does not commit the United States to include it in the Federal-aid Airport Program. In addition, the local community concerned is not required to proceed with planning or development of an airport included in the National Airport Plan.
(a) Airport layout plan. As used in this part, “airport layout plan” means the basic plan for the layout of an eligible airport that shows, as a minimum—
(1) The present boundaries of the airport and of the offsite areas that the sponsor owns or controls for airport purposes, and of their proposed additions;
(2) The location and nature of existing and proposed airport facilities (such as runways, taxiways, aprons, terminal buildings, hangars, and roads) and of their proposed modifications and extensions; and
(3) The location of existing and proposed non-aviation areas, and of their existing improvements.
(b) Safe, useful, and usable unit. Except as provided in paragraph (d) of this section, each advance planning and engineering proposal or airport development project must provide for the planning or development of—
(1) An airport or unit of an airport that is safe, useful, and usable; or
(2) An additional facility that increases the safety, usefulness, or usability of an airport.
(c) National defense needs. The needs of national defense are fully considered in administering the Federal-aid Airport Program. However, approval of an advance planning and engineering proposal or a project application is limited to planning or airport development necessary for civil aviation.
(d) Stage development. In any case in which airport development can be accomplished more economically under stage construction, federal funds may be programmed in advance for the development over two or more years under two or more grant agreements. In such a case, the FAA makes a tentative allocation of funds for both the current and future fiscal years, rather than allocating the entire federal share in one fiscal year. A grant agreement is made only during the fiscal year in which funds are authorized to be obligated. Advance planning and engineering grants are not made under this paragraph.
(a) Compliance with sponsorship requirements. The FAA authorizes the expenditure of funds under the Federal-aid Airport Program for airport planning and engineering or for airport development only if the Administrator is satisfied that the sponsor has met or will meet the requirements established by existing and proposed agreements with the United States with respect to any airport that the sponsor owns or controls.
(1) Agreements with the United States to which this requirement of compliance applies include—
(i) Any grant agreement made under the Federal-aid Airport Program;
(ii) Any covenant in a conveyance under section 16 of the Federal Airport Act;
(iii) Any covenant in a conveyance of surplus airport property either under section 13(g) of the Surplus Property Act (50 U.S.C. App. 1622(g)) or under Regulation 16 of the War Assets Administration; and
(iv) Any AP-4 agreement made under the terminated Development Landing Areas National Defense Program and the Development Civil Landing Areas Program.
(2) If it appears that a sponsor has failed to comply with a requirement of an agreement with the United States with respect to an airport, the FAA notifies him of this fact and affords him an opportunity to submit materials to refute the allegation of noncompliance or to achieve compliance.
(3) If a project is otherwise eligible under the Federal-aid Airport Program, a grant may be made to a sponsor who has not complied with an agreement if the sponsor shows—
(i) That the noncompliance is caused by factors beyond his control; or
(ii) That the following circumstances exist:
(a) The noncompliance consisted of a failure, through mistake or ignorance, to perform minor conditions in old agreements with the Federal Government; and
(b) The sponsor is taking reasonable action promptly to correct the deficiency or the deficiency relates to an obligation that is no longer required for the safe and efficient use of the airport under existing law and policy.
(b) Small proposals and projects. Unless there is otherwise a special need for U.S. participation, the FAA includes an advance planning and engineering proposal or an airport development project in the Federal-aid Airport Program only if—
(1) The advance planning and engineering proposal involves more than $1,000 in United States funds; and
(2) The project application involves more than $5,000 in U.S. funds.
(c) Previously obligated work. Unless the Administrator specifically authorizes it, no advance planning and engineering proposal or project application may include any planning, engineering, or construction work included in a prior agreement with the United States obligating the sponsor or any other non-U.S. public agency to do the work, and entitling the sponsor or any other non-United States public agency to payment of U.S. funds for all or part of the work.
(a) Whenever funds are allocated for developing new runways or landing strips, or to improve or repair existing runways, the sponsor must own, acquire, or agree to acquire, runway clear zones. Exceptions are considered (on the basis of a full statement of facts by the sponsor) upon a showing of uneconomical acquisition costs, or lack of necessity for the acquisition.
(b) For the purpose of this part, a runway clear zone is an area at ground level which begins at the end of each primary surface defined in § 77.27(a) and extends with the width of each approach surface defined in § 77.27 (b) and (c), to terminate directly below each approach surface slope at the point, or points, where the slope reaches a height of 50 feet above the elevation of the runway or 50 feet above the terrain at the outer extremity of the clear zone, whichever distance is shorter.
(c) For the purposes of this section, an airport operator or owner is considered to have an adequate property interest if it has an easement (or a covenant running with the land) giving it enough control to rid the clear zone of all obstructions (objects so far as they project above the approach surfaces established by § 77.27 (b) and (c) of part 77 of this chapter), and to prevent the creation of future obstructions; together with the right of entrance and exit for those purposes, to ensure the safe and unrestricted passage of aircraft in and over the area.
(a) In projects involving grants-in-aid under the Federal-aid Airport Program, a sponsor must own, acquire, or agree to acquire an adequate property interest in runway clear zone areas as prescribed in paragraph (b), (c), (d), or (e) of this section, as applicable. Property interests that a sponsor acquires to meet the requirements of this section are eligible for inclusion in the Program.
(b) On new airports, the sponsor must own, acquire, or agree to acquire adequate property interests in runway clear zone areas (in connection with initial land acquisition) for all eligible runways or landing strips, without substantial deviation from standard configuration and length.
(c) On existing airports where new runways or landing strips are developed, the sponsor must own, acquire, or agree to acquire adequate property interests in runway clear zone areas for each runway and landing strip to be developed or extended, to the extent that the Administrator determines practical and feasible considering all facts presented by the airport owner or operator, preferably without substantial deviation from standard configuration and length.
(d) On existing airports where improvements are made to runways or landing strips, the sponsor must own, acquire, or agree to acquire adequate property interests in runway clear zone areas for each runway or landing strip that is to be improved to the extent that the Administrator determines is practical and feasible with regard to standard configuration, length, and property interests, considering all facts presented by the airport owner or operator. Any development that improves a specific runway or landing strip is considered to be a runway improvement, including runway lighting and the developing or lighting of taxiways serving a runway.
(e) On existing airports where substantial improvements are made that do not benefit a specific runway or landing strip, such as overall grading or drainage, terminal area or building developments, the sponsor must own, acquire, or agree to acquire adequate property interests in runway clear zone areas for the dominant runway or landing strip to the extent that the Administrator determines is practical and feasible, with regard to standard configuration, length, and property interests, considering all facts presented by the airport owner or operator.
(f) If a sponsor or other public agency shows that it is legally able to prevent the future erection or creation of obstructions in the runway clear zone area, and adopts protective measures to prohibit their future erection or creation, that showing is acceptable for the purposes of paragraphs (d) and (e) of this section in place of an adequate property interest (except for rights required for removing existing obstructions). In such a case, there must be an agreement between the FAA and the sponsor for removing or marking or lighting (to be determined in each case) any existing obstruction to air navigation In each case, the sponsor must furnish information as to the specific height limitations established and as to the current and foreseeable future use of the property to which they apply. The information must include an acceptable legal opinion of the validity of the measures adopted, including a conclusion that the height limitations are not unreasonable in view of current and foreseeable future use of the property, and are a reasonable exercise of the police power, together with the reasons or basis supporting the opinion.
(g) The authority exercised by the Administrator under paragraphs (b), (c), (d), and (e) of this section to allow a deviation from, or the extent of conformity to, standard configuration or length of runway clear zones, or to determine the adequacy of property interests therein, is also exercised by Regional Directors.
(a) Landing aid requirements. No project for developing or improving an airport may be approved for the Program unless it provides for acquiring or installing such of the following landing aids as the Administrator determines are needed for the safe and efficient use of the airport by aircraft, considering the category of the airport and the type and volume of traffic using it:
(1) Land needed for installing approach lighting systems (ALS).
(2) In-runway lighting.
(3) High intensity runway lighting.
(4) Runway distance markers.
(b) Specific landing aid requirements. The landing aids set forth in paragraphs (a) (1) through (4) of this section are required for the safe and efficient use of airports by aircraft in the following cases:
(1) Lands for installing approach lighting systems are required as part of a project if the installing of the components of the system on the airport is in an approved FAA budget, unless the sponsor has already acquired the land necessary for the system or is otherwise undertaking to acquire that land. If the sponsor is otherwise undertaking to acquire the land, the grant agreement for the project must obligate the sponsor to complete the acquisition within a time limit prescribed by the Administrator. The Administrator immediately notifies a sponsor when a budget is approved providing for installing an approach lighting system at the airport concerned.
(2) In-runway lighting is required as part of a project:
(i) If the project includes:
(a) Construction of a new runway designated by the FAA as an instrument landing runway for which the installation of an IFR precision approach system including ALS and ILS, has been programmed by the FAA with funds then available therefor;
(b) An extension of 3,000 feet or more (usable for landing purposes) of the approach end of a designated instrument landing runway equipped, or programed by the FAA, with funds then available therefor, to be equipped, with an IFR precision approach system including ALS and ILS;
(c) Reconstruction of a designated instrument landing runway equipped, or programed by the FAA, with funds then available therefor, to be equipped with an IFR precision approach system including ALS and ILS, if the reconstruction requires the closing of the runway; or
(d) Any other airport development on an airport whose designated instrument landing runway is equipped, or programed by the FAA, with funds then available therefor, to be equipped with an IFR precision approach system including ALS and ILS; and
(ii) Only if a study of the airport shows that in-runway lighting is required for the safe and efficient use of the airport by aircraft, after the Administrator considers the following:
(a) The type and volume of flight activity;
(b) Other existing or planned navigational aids;
(c) Airport environmental factors such as local weather conditions and adjacent geographic profiles;
(d) Approach and departure paths;
(e) Effect on landing and takeoff minima; and
(f) In the case of projects under paragraph (b)(2)(i)(d) of this section, whether installing in-runway lighting requires closing the runway for so long a time that the adverse effect on safety of its closing would outweigh the contribution to safety that would be gained by the in-runway lights or whether it would unduly interfere with the efficiency of aircraft operations.
(3) High intensity runway edge lighting on the designated instrument landing runway is required as a part of a project whenever that runway is equipped or programmed for the installation of an ILS and high intensity runway edge lights are not then installed on the runway or included in another project. A project for extending a runway that has high intensity runway edge lights on the existing runway requires, as a part of the project, the extension of the high intensity runway edge lights.
(4) Runway distance markers whose design standards have been approved and published by the FAA are required as a part of a project on a case-by-case basis if, after reviewing the pertinent facts and circumstances of the case, the Administrator determines that they are needed for the safe and efficient use of the airport by aircraft.
No project for developing or improving an airport may be approved for the Program unless it provides for runway or taxiway remarking if the present marking is obliterated by construction, alteration or repair work included in a FAAP project or by the required routing of construction equipment used therein.
(a) An eligible sponsor that desires to obtain Federal aid for eligible airport development must submit to the Area Manager of the area in which the sponsor is located (hereinafter in this part referred to as the “Area Manager”), a request on FAA Form 5100-3, accompanied by—
(1) The sponsor's written statement as to whether the proposed project involves the displacement and relocation of persons residing on land physically acquired or to be acquired for the project development; and
(2) The sponsor's written assurance, if the project involves displacement and relocation of such persons, that adequate replacement housing will be available or provided for (built, if necessary), without regard to their race, color, religion, sex, or national origin, before the execution of a grant agreement for the project.
(b) A proposed project is selected for inclusion in a program only if the sponsor has submitted a written assurance when required by paragraph (a)(2) of this section, or if the Administrator has determined that the project does not involve the displacement and relocation of persons residing on land to be physically acquired or to be acquired for the project development. If the Administrator selects a proposed project for inclusion in a program, a tentative allocation of funds is made for it and the sponsor is notified of the allocation. The tentative allocation may be withdrawn if the sponsor fails to submit an acceptable project application as provided in paragraph (c) of this section or fails to proceed diligently with the project, or if adequate replacement housing is not available or provided for in accordance with a written assurance when required by paragraph (a)(2) of this section.
(c) As soon as practicable after receiving notice of the tentative allocation, the sponsor must submit a project application on FAA Form 1624 to the Area Manager, without changing the language of the form, unless the change is approved in advance by the Administrator. In the case of a joint project, each sponsor executes only those provisions of the project application that apply to it. A sponsor who has executed a grant agreement for a project for the development of an airport under the Program, may, in the Administrator's discretion, submit additional project applications on FAA Form 1624 for further development of that airport.
Each sponsor must state in its application that it has on hand, or show that it can obtain as needed, funds to pay all estimated costs of the proposed project that are not borne by the United States or by another sponsor. If any of the funds are to be furnished to a sponsor, or used to pay project costs on behalf of a sponsor, by a State agency or any other public agency that is not a sponsor of the project, that agency may, instead of the sponsor, submit evidence that the funds will be provided if the project is approved.
(a) If any part of the estimated project costs consists of the value of donated land, labor, materials, or equipment, or of the value of a property interest in land acquired at a cost that (as represented by the sponsor) is not the actual cost or the amount of an award in eminent domain proceedings, the sponsor must so state in the application, indicating the nature of the donation or other transaction and the value it places on it.
(b) If, after the grant agreement is executed and before the final payment of the allowable project costs is made under § 151.63, it appears that the sponsor inadvertently or unknowingly failed to comply with paragraph (a) of this section as to any item, the Administrator—
(1) Makes or obtains an appraisal of the item, and if the appraised value is less than the value placed on the item in the project application, notifies the sponsor that it may, within a stated time, ask in writing for reconsideration of the appraisal and submit statements of pertinent facts and opinion; and
(2) Adjusts the U.S. share of the project costs to reflect any decrease in value of the item below that stated in the project application.
(a) Each sponsor must state in its application all of the property interests that he holds in the lands to be developed or used as part of, or in connection with, the airport as it will be when the project is completed. Each project application contains a covenant on the part of the sponsor to acquire, before starting construction work, or within a reasonable time if not needed for the construction, property interests satisfactory to the Administrator in all the lands in which it does not hold those property interests at the time it submits the application. In the case of a joint project, any one or more of the sponsors may hold or acquire the necessary property interests. In such a case, each sponsor may show on its application only those property interests that it holds or is to acquire.
(b) Each sponsor of a project must send with its application a property map (designated as Exhibit A) or incorporate such a map by reference to one in a previous application that was approved. The sponsor must clearly identify on the map all property interests required in paragraph (a) of this section, showing prior and proposed acquisitions for which United States aid is requested under the project.
(c) For the purposes of paragraphs (a) and (b) of this section, the property interest that the sponsor must have or agree to obtain, is—
(1) Title free and clear of any reversionary interest, lien, easement, lease, or other encumbrance that, in the opinion of the Administrator, would create an undue risk that it might deprive the sponsor of possession or control, interfere with its use for public airport purposes, or make it impossible for the sponsor to carry out the agreements and covenants in the application;
(2) A lease of not less than 20 years granted to the sponsor by another public agency that has title as described in paragraph (c)(1) of this section, on terms that the Administrator considers satisfactory; or
(3) In the case of an offsite area an agreement, easement, leasehold, or other right or property interest that, in the Administrator's opinion, provides reasonable assurance that the sponsor will not be deprived of its right to use the land for the intended purpose during the period necessary to meet the requirements of the grant agreement.
(d) For the purposes of this section, the word “land” includes landing areas, building areas, runway clear zones, clearways and approach zones, and areas required for offsite construction, entrance roads, drainage, protection of approaches, installation of air navigation facilities, or other airport purposes.
(a) Each sponsor must state in its application the action that it has taken to restrict the use of land adjacent to or in the immediate vicinity of the airport to activities and purposes compatible with normal airport operations including landing and take-off of aircraft. The sponsor's statement must include information on—
(1) Any property interests (such as airspace easements or title to airspace) acquired by the sponsor to assure compatible land use, or to protect or control aerial approaches;
(2) Any zoning laws enacted or in force restricting the use of land adjacent to or in the vicinity of the airport, or assuring protection or control of aerial approaches, whether or not enacted by the sponsor; and
(3) Any action taken by the sponsor to induce the appropriate government authority to enact zoning laws restricting the use of land adjacent to or in the vicinity of the airport, or assuring protection or control of aerial approaches, when the sponsor lacks the power to zone the land.
(b) Each sponsor must submit with his application—
(1) A written statement—
(i) Specifying what consideration has been given to the interest of all communities in or near which the project is located; and
(ii) Containing the substance of any objection to, or approval of, the proposed project made known to the sponsor by any local individual, group or community; and
(2) A written statement showing that adequate replacement housing that is open to all persons, regardless of race, color, religion, sex, or national origin, is available and has been offered on the same nondiscriminatory basis to persons who have resided on land physically acquired or to be acquired for the project development and who will be displaced thereby.
(a) Except as provided in paragraph (b) of this section, each sponsor shall incorporate by reference in its project application the final plans and specifications, describing the items of airport development for which it requests United States aid. It must submit the plans and specifications with the application unless they were previously submitted or are submitted with that of another sponsor of the project.
(b) In special cases, the Administrator authorizes the postponement of the submission of final plans and specifications until a later date to be specified in the grant agreement, if the sponsor has submitted—
(1) An airport layout plan approved by the Administrator; and
(2) Preliminary plans and specifications in enough detail to identify all items of development included in the project, and prepared so as to provide for accomplishing the project in accordance with the master plan layout, the rules in subparts B and C and applicable local laws and regulations.
(c) If the project involves acquiring a property interest in land by donation, or at a cost that (as represented by the sponsor) is not the actual cost or the amount of an award in eminent domain proceedings, the Administrator, before passing on the eligibility of the project makes or obtains an appraisal of the interest. If the appraised value is less than the value placed on the interest by the sponsor (§ 151.23), the Administrator notifies the sponsor that he may within a stated time, ask in writing for reconsideration of the appraisal and submit statements of pertinent facts and opinion.
(a) Upon approving a project, the Administrator makes an offer to the sponsor to pay the United States share of the allowable project costs. The offer states a definite amount as the maximum obligation of the United States, and is subject to change or withdrawal by the Administrator, in his discretion, at any time before it is accepted.
(b) If, before the sponsor accepts the offer, it is determined that the maximum obligation of the United States stated in the offer is not enough to pay the United States share of the allowable project costs, the sponsor may request an increase in the amount in the offer, through the Area Manager.
(c) An official of the sponsor must accept the offer for the sponsor within the time prescribed in the offer, and in the required number of counterparts, by signing it in the space provided. The signing official must have been authorized to sign the acceptance by a resolution or ordinance adopted by the sponsor's governing body. The resolution or ordinance must, as appropriate under the local law—
(1) Set forth the terms of the offer at length; or
(2) Have a copy of the offer attached to the resolution or ordinance and incorporated into it by reference.
(a) An offer by the Administrator, and acceptance by the sponsor, as set forth in § 151.29, constitute a grant agreement between the sponsor and the United States. Except as provided in § 151.41(c)(3), the United States does not pay, and is not obligated to pay, any part of the project costs that have been or may be incurred, before the grant agreement is executed.
(b) The Administrator and the sponsor may agree to a change in a grant agreement if—
(1) The change does not increase the maximum obligation of the United States under the grant agreement by more than 10 percent;
(2) The change provides only for airport development that meets the requirements of subparts B and C; and
(3) The change does not prejudice the interests of the United States.
(c) When a change is agreed to, the Administrator issues a supplemental agreement incorporating the change. The sponsor must accept the supplemental agreement in the manner provided in § 151.29(c).
(a) Any two or more public agencies that desire to participate either in accomplishing development under a project or in maintaining or operating the airport, may cosponsor it if they meet the requirements of subparts B and C, including—
(1) The eligibility requirements of § 151.37; and
(2) The submission of a single project application, executed by each sponsor, clearly stating the certifications, representations, warranties, and obligations made or assumed by each, or a separate application by each that does not meet all the requirements of subparts B and C if in the Administrator's opinion, the applications collectively meet the requirements of subparts B and C as applied to a project with a single sponsor.
(b) A public agency that desires to participate in a project only by contributing funds to a sponsor need not become a sponsor or an agent of the sponsor, as provided in this section. However, any funds that it contributes are considered as funds of the sponsor for the purposes of the Federal Airport Act and this part.
(c) If the sponsors of a joint project are not each willing to assume, jointly and severally, the obligations that subparts B and C requires a sponsor to assume, they must send a true copy of an agreement between them, satisfactory to the Administrator, to be incorporated into the grant agreement. Each agreement must state—
(1) The responsibilities of each sponsor to the others with respect to accomplishing the proposed development and operating and maintaining the airport;
(2) The obligations that each will assume to the United States; and
(3) The name of the sponsor or sponsors who will accept, receipt for, and disburse grant payments.
(d) A public agency may, if it is authorized by local law, act as agent of the public agency that is to own and operate the airport, with or without participating financially and without becoming a sponsor. The terms and conditions of the agency and the agent's authority to act for the sponsor must be set forth in an agency agreement that is satisfactory to the Administrator. The sponsor must submit a true copy of the agreement with the project application. Such an agent may accept, on behalf of the sponsor, an offer made under § 151.29, only if that acceptance has been specifically and legally authorized by the sponsor's governing body and the authority is specifically set forth in the agency agreement.
(e) When the cosponsors of an airport are not located in the same area, they must submit a joint request to the Area Manager of the area in which the airport development will be located.
(a) Subparts B and C applies to the following kinds of airport development:
(1) Any work involved in constructing, improving, or repairing a public airport or part thereof, including the constructing, altering, or repairing of only those buildings or parts thereof that are intended to house facilities or activities directly related to the safety of persons at the airport.
(2) Removing, lowering, relocating, marking, and lighting of airport hazards as defined in § 151.39(b).
(3) Acquiring land or an interest therein, or any easement through or other interest in air space, that is necessary to allow any work covered by paragraph (a)(1) or (2) of this section, or to remove or mitigate, or prevent or limit the establishment of, airport hazards as defined in § 151.39(b).
(b) The airport facilities to which subparts B and C applies are those structures, runways, or other items, on or at an airport, that are—
(1) Used or intended to be used, in connection with the landing, takeoff, or maneuvering of aircraft, or for or in connection with operating and maintaining the airport itself; or
(2) Required to be located at the airport for use by the users of its aeronautical facilities or by airport operators, concessionaires, and other users of the airport in connection with providing services or commodities to the users of those aeronautical facilities.
(c) For the purposes of subparts B and C, “public airport” means an airport used for public purposes, under the control of a public agency named in § 151.37(a), with a publicly owned landing area.
To be eligible to apply for an individual or joint project for development with respect to a particular airport a sponsor must—
(a) Be a public agency, which includes for the purposes of this part only, a State, the District of Columbia, Puerto Rico, the Virgin Islands, Guam or an agency of any of them; a municipality or other political subdivision; a tax-supported organization; or the United States or an agency thereof;
(b) Be legally, financially, and otherwise able to—
(1) Make the certifications, representations, and warranties in the application form prescribed in § 151.67(a);
(2) Make, keep, and perform the assurances, agreements, and covenants in that form; and
(3) Meet the other applicable requirements of the Federal Airport Act and subparts B and C;
(c) Have, or be able to obtain, enough funds to meet the requirements of § 151.23; and
(d) Have, or be able to obtain, property interests that meet the requirements of § 151.25(a).
(1) Is located in Puerto Rico, the Virgin Islands, or Guam;
(2) Is in or is in close proximity to a national park, a national recreation area, or a national monument; or
(3) Is in a national forest or a special reservation for United States purposes.
(a) A project for construction or land acquisition may not be approved under subparts B and C unless—
(1) It is an item of airport development described in § 151.35(a);
(2) The airport development is within the scope of the current National Airport Plan;
(3) The airport development is, in the opinion of the Administrator, reasonably necessary to provide a needed civil airport facility;
(4) The Administrator is satisfied that the project is reasonably consistent with existing plans of public agencies for the development of the area in which the airport is located and will contribute to the accomplishment of the purposes of the Federal-aid Airport Program;
(5) The Administrator is satisfied, after considering the pertinent information including the sponsor's statements required by § 151.26(b), that—
(i) Fair consideration has been given to the interest of all communities in or near which the project is located; and
(ii) Adequate replacement housing that is open to all persons, regardless of race, color, religion, sex, or national origin, is available and has been offered on the same nondiscriminatory basis to persons who have resided on land physically acquired or to be acquired for the project development and have been or will be displaced thereby;
(6) The project provides for installing such of the landing aids specified in section 10(d) of the Federal Airport Act (49 U.S.C. 1109(d)) as the Administrator considers are needed for the safe and efficient use of the airport by aircraft, based on the category of the airport and the type and volume of its traffic.
(b) Only the following kinds of airport development described in § 151.35(a) are eligible to be included in a project under subparts B and C:
(1) Preparing all or part of an airport site, including clearing, grubbing filling and grading.
(2) Dredging of seaplane anchorages and channels.
(3) Drainage work, on or off the airport or airport site.
(4) Constructing, altering, or repairing airport buildings or parts thereof to the extent that it is covered by § 151.35(a).
(5) Constructing, altering, or repairing runways, taxiways, and aprons, including—
(i) Bituminous resurfacing of pavements with a minimum of 100 pounds of plant-mixed material for each square yard;
(ii) Applying bituminous surface treatment on a pavement (in accordance with FAA Specification P-609), the existing surface of which consists of that kind of surface treatment; and
(iii) Resealing a runway that has been substantially extended or partially reconstructed, if that resealing is necessary for the uniform color and appearance of the runway.
(6) Fencing, erosion control, seeding and sodding of an airport or airport site.
(7) Installing, altering, or repairing airport markers and runway, taxiway and apron lighting facilities and equipment.
(8) Constructing, altering, or repairing entrance roads and airport service roads.
(9) Constructing, installing, or connecting utilities, either on or off the airport or airport site.
(10) Removing, lowering, relocating marking, or lighting any airport hazard.
(11) Clearing, grading, and filling to allow the installing of landing aids.
(12) Relocating structures, roads, and utilities necessary to allow eligible airport development.
(13) Acquiring land or an interest therein, or any easement through or other interest in airspace, when necessary to—
(i) Allow other airport development to be made, whether or not a part of the Federal-aid Airport Program;
(ii) Prevent or limit the establishment of airport hazards;
(iii) Allow the removal, lowering, relocation, marking, and lighting of existing airport hazards;
(iv) Allow the installing of landing aids; or
(v) Allow the proper use, operation, maintenance, and management of the airport as a public facility.
(14) Any other airport development described in § 151.35(a) that is specifically approved by the Administrator.
(c) A project for acquiring land that has been or will be donated to the sponsor is not eligible for inclusion in the Federal-aid Airport Program, unless the project also includes other items of airport development that would require a sponsor's contribution equal to or more than the United States share of the value of the donated land as appraised by the Administrator.
(a) For the purposes of subparts B and C, project costs consist of any costs involved in accomplishing a project, including those of—
(1) Making field surveys;
(2) Preparing plans and specifications;
(3) Accomplishing or procuring the accomplishing of the work;
(4) Supervising and inspecting construction work;
(5) Acquiring land, or an interest therein, or any casement through or other interest in airspace; and
(6) Administrative and other incidental costs incurred specifically in connection with accomplishing a project, and that would not have otherwise been incurred.
(b) The costs described in paragraph (a) of this section, including the value of land, labor, materials, and equipment donated or loaned to the sponsor and appropriated to the project by the sponsor, are eligible for consideration as to their allowability, except for—
(1) That part of the cost of rehabilitation or repair for which funds have been appropriated under section 17 of the Federal Airport Act (49 U.S.C. 1116);
(2) That part of the cost of acquiring an existing private airport that represents the cost of acquiring passenger automobile parking facilities, buildings to be used as hangars, living quarters, or for nonairport purposes, at the airport, and those buildings or parts of buildings the construction of which is not airport development within the meaning of § 151.35(a);
(3) The cost of materials and supplies owned by the sponsor or furnished from a source of supply owned by the sponsor if—
(i) Those materials and supplies were used for airport development before the grant agreement was executed; or
(ii) The cost is not supported by proper evidence of quantity and value;
(4) The cost of nonexpendable machinery, tools, or equipment owned by the sponsor and used under a project by the sponsors force account, except to the extent of the fair rental value of that machinery, tools, or equipment for the period it is used on the project;
(5) The costs of general area, urban, or statewide planning of airports, as distinguished from planning a specific project;
(6) The value of any land, including improvements, donated to the sponsor by another public agency; and
(7) Any costs incurred in connection with raising funds by the sponsor, including interest and premium charges and administrative expenses involved in conducting bond elections and in the sale of bonds.
(c) To be an allowable project cost, for the purposes of computing the amount of a grant, an item that is paid or incurred must, in the opinion of the Administrator—
(1) Have been necessary to accomplish airport development in conformity with the approved plans and specifications for an approved project and with the terms of the grant agreement for the project;
(2) Be reasonable in amount (or be subject to partial disallowance under section 13(a)(3) of the Federal Airport Act (49 U.S.C. 1112(a)(3));
(3) Have been incurred after the date the grant agreement was executed, except that costs of land acquisition, field surveys, planning, preparing plans and specifications, and administrative and incidental costs, may be allowed even though they were incurred before that date, if they were incurred after May 13, 1946; and
(4) Be supported by satisfactory evidence.
(a) The United States share of the allowable costs of a project is stated in the grant agreement for the project, to be paid from appropriations made under the Federal Airport Act.
(b) Except as provided in paragraphs (c) and (d) of this section and in subpart C of this part, the United States share of the costs of an approved project for airport development (regardless of its size or location) is 50 percent of the allowable costs of the project.
(c) The U.S. share of the costs of an approved project for airport development in a State in which the unappropriated and unreserved public lands and nontaxable Indian lands (individual and tribal) is more than 5 percent of its total land, is the percentage set forth in the following table:
| State | Percent |
|---|---|
| Alaska | 62.50 |
| Arizona | 60.80 |
| California | 53.72 |
| Colorado | 52.98 |
| Idaho | 55.80 |
| Montana | 52.99 |
| Nevada | 62.50 |
| New Mexico | 56.14 |
| Oregon | 55.64 |
| South Dakota | 52.53 |
| Utah | 60.65 |
| Washington | 51.53 |
| Wyoming | 56.33 |
(d) The United States share of the costs of an approved project, representing the costs of any of the following, is 75 percent:
(1) The costs of installing high intensity runway edge lighting on a designated instrument landing runway or other runway with an approved straight-in approach procedure.
(2) The costs of installing in-runway lighting (touchdown zone lighting system, and centerline lighting system).
(3) The costs of installing runway distance markers.
(4) The costs of acquiring land, or a suitable property interest in land or in or over water, needed for installing operating, and maintaining an ALS (as described in § 151.13).
(5) The costs of any project in the Virgin Islands.
(a) All construction work under a project must be performed under contract, except in a case where the Administrator determines that the project, or a part of it, can be more effectively and economically accomplished on a force account basis by the sponsor or by another public agency acting for or as agent of the sponsor.
(b) Each contract under a project must meet the requirements of local law.
(c) No sponsor may issue any change order under any of its construction contracts or enter into a supplemental agreement unless three copies of that order or agreement have been sent to and approved by the Area Manager. §§ 151.47 and 151.49 apply to supplemental agreements as well as to original contracts.
(d) This section and §§ 151.47 through 151.49 do not apply to contracts with the owners of airport hazards, (as described in § 151.39(b)), buildings, pipe lines, power lines, or other structures or facilities, for installing, extending, changing, removing, or relocating that structure or facility. However, the sponsor must obtain the approval of the Area Manager before entering into such a contract.
(e) No sponsor may allow a contractor or subcontractor to begin work under a project until—
(1) The sponsor has furnished three conformed copies of the contract to the Area Manager; and
(2) The Area Manager agrees to the issuance of a notice to proceed with the work to the contractor. However, the Area Manager does not agree to the issuance of such a notice unless he is satisfied that adequate replacement housing is available and has been offered to affected persons, as required for project eligibility by § 151.39(a)(5).
(f) Except when the Area Manager determines that the sponsor has previously demonstrated satisfactory engineering and construction supervision and inspection, no sponsor may allow a contractor or subcontractor to begin work, nor may the sponsor begin force account work, until the sponsor has notified the Area Manager in writing that engineering and construction supervision and inspection have been arranged to insure that construction will conform to FAA approved plans and specifications, and that the sponsor has caused a review to be made of the qualifications of personnel who will be performing such supervision and inspection and is satisfied that they are qualified to do so.
(a) Advertising required; exceptions. Unless the Administrator approves another method for use on a particular airport development project, each contract for construction work on a project in the amount of more than $2,000 must be awarded on the basis of public advertising and open competitive bidding under the local law applicable to the letting of public contracts. Any oral or written agreement or understanding between a sponsor and another public agency that is not a sponsor of the project, under which that public agency undertakes construction work for or as agent of the sponsor, is not considered to be a construction contract for the purposes of this section, or §§ 151.45, 151.49, and 151.51.
(b) Advertisement; conditions and contents. There may be no advertisement for bids on, or negotiation of, a construction contract until the Administrator has approved the plans and specifications. The advertisement shall inform the bidders of the contract and reporting provisions required by § 151.54. Unless the estimated contract price or construction cost is $2,000 or less, there may be no advertisement for bids or negotiation until the Administrator has given the sponsor a copy of a decision of the Secretary of Labor establishing the minimum wage rates for skilled and unskilled labor under the proposed contract. In each case, a copy of the wage determination decision must be set forth in the initial invitation for bids or proposed contract or incorporated therein by reference to a copy set forth in the advertised or negotiated specifications.
(c) Procedure for the Secretary of Labor's wage determinations. At least 60 days before the intended date of advertising or negotiating under paragraph (b) of this section, the sponsor shall send to the Area Manager, completed Department of Labor Form DB-11, with only the classifications needed in the performance of the work checked. General entries (such as “entire schedule” or “all applicable classifications”) may not be used. Additional necessary classifications not on the form may be typed in the blank spaces or on an attached separate list. A classification that can be fitted into classifications on the form, or a classification that is not generally recognized in the area or in the industry, may not be used. Except in areas where the wage patterns are clearly established, the Form must be accompanied by any available pertinent wage payment or locally prevailing fringe benefit information.
(d) Use and effectiveness of the Secretary of Labor's wage determinations. (1) Wage determinations are effective only for 120 days from the date of the determinations. If it appears that a determination may expire between bid opening and award, the sponsor shall so advise the FAA as soon as possible. If he wishes a new request for wage determination to be made and if any pertinent circumstances have changed, he shall submit a new Form DB-11 and accompanying information. If he claims that the determination expires before award and after bid opening due to unavoidable circumstances, he shall submit proof of the facts which he claims support a finding to that effect.
(2) The Secretary of Labor may modify any wage determination before the award of the contract or contracts for which it was sought. If the proposed contract is awarded on the basis of public advertisement and open competitive bidding, any modification that the FAA receives less than 10 days before the opening of bids is not effective, unless the Administrator finds that there is reasonable time to notify bidders. A modification may not continue in effect beyond the effective period of the wage determination to which it relates. The Administrator sends any modification to the sponsor as soon as possible. If the modification is effective, it must be incorporated in the invitation for bids, by issuing an addendum to the specifications or otherwise.
(e) Requirements for awarding construction contracts. A sponsor may not award a construction contract without the written concurrence of the Administrator (through the Area Manager) that the contract prices are reasonable and that the contract conforms to the sponsor's grant agreement with the United States. A sponsor that awards contracts on the basis of public advertising and open competitive bidding, shall, after the bids are opened, send a tabulation of the bids and its recommendations for award to the Area Manager. The allowable project costs of the work, on which the Federal participation is computed, may not be more than the bid of the lowest responsible bidder. The sponsor may not accept a bid by a contractor whose name appears on the current list of ineligible contractors published by the Comptroller General of the United States under § 5.6(b) of Title 29 of the regulations of the Secretary of Labor (29 CFR part 5), or a bid by any firm, corporation, partnership, or association in which that contractor has a substantial interest.
(f) Secretary of Labor's interpretations apply. Where applicable by their terms, the regulations of the Secretary of Labor (29 CFR 5.20-5.32) interpreting the fringe benefit provisions of the Davis-Bacon Act apply to this section.
(a) Contract provisions. In addition to any other provisions necessary to ensure completion of the work in accordance with the grant agreement, each sponsor entering into a construction contract for an airport development project shall insert in the contract the provisions required by the Secretary of Labor, as set forth in appendix H of this part. The Director, Airports Service, may amend any provision in appendix H from time to time to accord with rule-making action of the Secretary of Labor. The provisions in the following paragraphs also must be inserted in the contract:
(1) Federal Aid to Airport Program Project. The work in this contract is included in Federal-aid Airport Project No. __, which is being undertaken and accomplished by the [insert sponsor's name] in accordance with the terms and conditions of a grant agreement between the [insert sponsor's name] and the United States, under the Federal Airport Act (49 U.S.C. 1101) and part 151 of the Federal Aviation Regulations (14 CFR part 151), pursuant to which the United States has agreed to pay a certain percentage of the costs of the project that are determined to be allowable project costs under that Act. The United States is not a party to this contract and no reference in this contract to the FAA or any representative thereof, or to any rights granted to the FAA or any representative thereof, or the United States, by the contract, makes the United States a party to this contract.
(2) Consent to assignment. The contractor shall obtain the prior written consent of the [insert sponsor's name] to any proposed assignment of any interest in or part of this contract.
(3) Convict labor. No convict labor may be employed under this contract.
(4) Veterans' preference. In the employment of labor (except in executive, administrative, and supervisory positions), preference shall be given to qualified individuals who have served in the military service of the United States (as defined in section 101(1) of the Soldiers' and Sailors' Civil Relief Act of 1940) and have been honorably discharged from that service, except that preference may be given only where that labor is available locally and is qualified to perform the work to which the employment relates.
(5) Withholding: Sponsor from contractor. Whether or not payments or advances to the [insert sponsor's name] are withheld or suspended by the FAA, the [insert sponsor's name] may withhold or cause to be withheld from the contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics employed by the contractor or any subcontractor on the work the full amount of wages required by this contract.
(6) Nonpayment of wages. If the contractor or subcontractor fails to pay any laborer or mechanic employed or working on the site of the work any of the wages required by this contract the [insert sponsor's name] may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment or advance of funds until the violations cease.
(7) FAA inspection and review. The contractor shall allow any authorized representative of the FAA to inspect and review any work or materials used in the performance of this contract.
(8) Subcontracts. The contractor shall insert in each of his subcontracts the provisions contained in paragraphs [insert designations of 6 paragraphs of contract corresponding to paragraphs (1), (3), (4), (5), (6) and (7) of this paragraph], and also a clause requiring the subcontractors to include these provisions in any lower tier subcontracts which they may enter into, together with a clause requiring this insertion in any further subcontracts that may in turn be made.
(9) Contract termination. A breach of paragraphs [insert designation of 3 paragraphs corresponding to paragraphs (6), (7) and (8) of this paragraph] may be grounds for termination of the contract.
(b) Exemption of certain contracts. Appendix H to this part and paragraph (a)(5) of this section do not apply to prime contracts of $2,000 or less.
(c) Adjustment in liquidated damages. A contractor or subcontractor who has become liable for liquidated damages under paragraph G of appendix H and who claims that the amount administratively determined as liquidated damages under section 104(a) of the Contract Work Hours Standards Act is incorrect or that he violated inadvertently the Contract Work Hours Standards Act notwithstanding the exercise of due care, may—
(1) If the amount determined is more than $100, apply to the Administrator for a recommendation to the Secretary of Labor that an appropriate adjustment be made or that he be relieved of liability for such liquidated damages; or
(2) If the amount determined is $100 or less, apply to the Administrator for an appropriate adjustment in liquidated damages or for release from liability for the liquidated damages.
(d) Corrected wage determinations. The Secretary of Labor corrects any wage determination included in any contract under this section whenever the wage determination contains clerical errors. A correction may be made at the Administrator's request or on the initiative of the Secretary of Labor.
(e) Secretary of Labor's interpretations apply. Where applicable by their terms, the regulations of the Secretary of Labor (29 CFR 5.20-5.32) interpreting the “fringe benefit provisions” of the Davis-Bacon Act apply to the contract provisions in appendix H, and to this section.
(a) Before undertaking any force account construction work, the sponsor (or any public agency acting as agent for the sponsor) must obtain the written consent of the Administrator through the Area Manager. In requesting that consent, the sponsor must submit—
(1) Adequate plans and specifications showing the nature and extent of the construction work to be performed under that force account;
(2) A schedule of the proposed construction and of the construction equipment that will be available for the project;
(3) Assurance that adequate labor, material, equipment, engineering personnel, as well as supervisory and inspection personnel as required by § 151.45(f), will be provided; and
(4) A detailed estimate of the cost of the work, broken down for each class of costs involved, such as labor, materials, rental of equipment, and other pertinent items of cost.
(b) [Reserved]
A sponsor who is required to include in a construction contract the labor provisions required by § 151.49 shall require the contractor to comply with those provisions and shall cooperate with the FAA in effecting that compliance. For this purpose the sponsor shall—
(a) Keep, and preserve, for a three-year period beginning on the date the contract is completed, each affidavit and payroll copy furnished by the contractor, and make those affidavits and copies available to the FAA, upon request, during that period;
(b) Have each of those affidavits and payrolls examined by its resident engineer (or any other of its employees or agents who are qualified to make the necessary determinations), as soon as possible after receiving it, to the extent necessary to determine whether the contractor is complying with the labor provisions required by § 151.49 and particularly with respect to whether the contractor's employees are correctly classified;
(c) Have investigations made during the performance of work under the contract, to the extent necessary to determine whether the contractor is complying with those labor provisions, particularly with respect to whether the contractor's employees are correctly classified, including in the investigations, interviews with employees and examinations of payroll information at the work site by the sponsor's resident engineer (or any other of its employees or agents who are qualified to make the necessary determinations); and
(d) Keep the Area Manager fully advised of all examinations and investigations made under this section, all determinations made on the basis of those examinations and investigations, and all efforts made to obtain compliance with the labor provisions of the contract.
In conformity with Executive Order 11246 of September 24, 1965 (30 FR 12319, 3 CFR, 1965 Supp., p. 167) the regulations of the former President's Committee on Equal Employment Opportunity, 41 CFR part 60-1 (28 FR 9812, 11305), as adopted “to the extent not inconsistent with Executive Order 11246” by the Secretary of Labor (“Transfer of Functions,” Oct. 19, 1965, 30 FR 13441), are incorporated by reference into subparts B and C of this part as set forth below. They are referred to in this section by section numbers of part 60-1 of title 41.
(a) Equal employment opportunity requirements. There are hereby incorporated by reference into subparts B and C, as requirements, the provisions of § 60-1.3(b)(1). The FAA is primarily responsible for the sponsor's compliance.
(b) Equal employment opportunity requirements in construction contracts. The sponsor shall cause the “equal opportunity clause” in § 60-1.3(b)(1) to be incorporated into all prime contracts and subcontracts as required by § 60-1.3(c).
(c) Reporting requirements for contractors and subcontractors. The sponsor shall cause the filing of compliance reports by contractors and subcontractors as provided in § 60-1.6(a) and the furnishing of such other information as may be required under that provision.
(d) Bidders' reports. (1) The sponsor shall include in his invitations for bids or negotiations for contracts, and shall require his contractors to include in their invitations for bids or negotiations for subcontracts, the following provisions based on § 60-1.6(b)(1):
Each bidder, prospective contractor or proposed subcontractor shall state as an initial part of the bid or negotiations of the contract whether he has participated in any previous contract or subcontract subject to the equal opportunity clause and, if so, whether he has filed with the Office of Federal Contract Compliance in the United States Department of Labor or the contracting or administering agency all compliance reports due under applicable instructions. In any case in which a bidder or prospective contractor or proposed subcontractor who has participated in a previous contract or subcontract subject to the equal opportunity clause has not filed a compliance report due under applicable instructions, such bidder, prospective contractor or proposed subcontractors shall submit a compliance report prior to the award of the proposed contract or subcontract. When a determination has been made to award a contract to a specific contractor, such contractor shall, prior to award, furnish such other pertinent information regarding his own employment policies and practices as well as those of his proposed subcontractors as the FAA, the sponsor, or the Director of the Office of Federal Contract compliance may require.
(2) The sponsor or his contractors shall give express notice of the requirements of this paragraph (d) in all invitations for bids or negotiations for contracts.
(e) Enforcement. The FAA conducts compliance reviews, handles complaints and, where appropriate, conducts hearings and imposes, or recommends to the Office of Federal Contract Compliance, sanctions, as provided in subpart B—General Enforcement; Complaint Procedure of part 60-1.
(f) Exempted contracts. Except for subcontracts for the performance of construction work at the site of construction, the requirements of this section do not apply to subcontracts below the second tier (§ 60-1.3(c)). The requirements of this section do not apply to contracts and subcontracts exempted by § 60-1.4.
(g) Meaning of terms. The term “applicant” in the provisions of part 60-1 incorporated by reference in this section means the sponsor, except where part 60-1 refers to an applicant for employment, and the term “administering agency” therein means the FAA.
(h) Applicability to existing agreements and contracts. This section applies to grant agreements made after December 20, 1964, and before July 1, 1968. Except as provided in § 151.54A(b), it applies to contracts and subcontracts as defined in § 60-1.2 (i) and (k) of Title 41 made in accordance with a grant agreement to which this section applies.
(a) Incorporation by reference. There are hereby incorporated by reference into this part the regulations issued by the Secretary of Labor on May 21, 1968, and published in the
(1) Paragraph (a), “Government contracts”, of § 60-1.4, “Equal opportunity clause”.
(2) Section 60-1.6, “Duties of agencies”.
(b) Applicability and effectiveness. The regulations incorporated by reference in paragraph (a) of this section apply to grant agreements made after June 30, 1968. They also apply to contracts, as defined in § 60-1.3(f) of Title 41, entered into under any grant agreement made before or after that date, as provided in § 60-1.47 of Title 41.
(a) Each sponsor shall establish and maintain, for each individual project, an adequate accounting record to allow appropriate personnel of the FAA to determine all funds received (including funds of the sponsor and funds received from the United States or other sources), and to determine the allowability of all incurred costs of the project. The sponsor shall segregate and group project costs so that it can furnish, on due notice, cost information in the following cost classifications:
(1) Purchase price or value of land.
(2) Incidental costs of land acquisition.
(3) Costs of contract construction.
(4) Costs of force account construction.
(5) Engineering costs of plans and designs.
(6) Engineering costs of supervision and inspection.
(7) Other administrative costs.
(b) The sponsor shall obtain and retain in its files for a period of three years after the date of the final grant payment, documentary evidence such as invoices, cost estimates, and payrolls supporting each item of project costs.
(c) The sponsor shall retain, for a period of three years after the date of the final grant payment, evidence of all payments for items of project costs including vouchers, cancelled checks or warrants, and receipts for cash payments.
(d) The sponsor shall allow the Administrator and the Comptroller General of the United States, or an authorized representative of either of them, access to any of its books, documents, papers, and records that are pertinent to grants received under the Federal-aid Airport Program for the purposes of accounting and audit. Appropriate FAA personnel may make progress audits at any time during the project, upon notice to the sponsor. If work is suspended on the project for an appreciable period of time, an audit will be made before any semi-final payment is made. In each case an audit is made before the final payment.
(a) An application for a grant payment is made on FAA Form 5100-6, accompanied by—
(1) A summary of project costs on Form FAA-1630;
(2) A periodic cost estimate on Form FAA-1629 for each contract representing costs for which payment is requested; and
(3) Any supporting information, including appraisals of property interests, that the FAA needs to determine the allowability of any costs for which payment is requested.
(b) Contractor's certifications. Each application that involves work performed by a contractor must contain, in the contractor's certification in the periodic cost estimate, a statement that “there has been full compliance with all labor provisions included in the contract identified above and in all subcontracts made under that contract”, and, in the case of a substantial dispute as to the nature of the contractor's or a subcontractor's obligation under the labor provisions of the contract or a subcontract, and additional phrase “except insofar as a substantial dispute exists with respect to these provisions”.
(c) If a contractor or subcontractor fails or refuses to comply with the labor provisions of the contract with the sponsor, further grant payments to the sponsor are suspended until the violations stop, until the Administrator determines the allowability of the project costs to which the violations related, or, to the extent that the violations consist of underpayments to labor, until the sponsor furnishes satisfactory assurances to the FAA that restitution has been or will be made to the affected employees.
(d) If, upon final determination of the allowability of all project costs of a project, it is found that the total of grant payments to the sponsor was more than the total United States share of the allowable costs of the project, the sponsor shall promptly return the excess to the FAA.
If an approved project includes land acquisition as an item of airport development, the sponsor may, at any time after executing the grant agreement and after title evidence has been approved by the Administrator for the property interest for which payment is requested, apply to the FAA, through the Area Manager, for payment of the United States share of the allowable project costs of the acquisition, including any acquisition that is completed before executing the grant agreement and is part of the airport development included in the project.
(a) Subject to the final determination of allowable project costs as provided in § 151.63 partial grant payments for project costs may be made to a sponsor upon application. Unless previously agreed otherwise, a sponsor may apply for partial payments on a monthly basis. The payments may be paid, upon application, on the basis of the costs of airport development that is accomplished or on the basis of the estimated cost of airport development expected to be accomplished.
(b) Except as otherwise provided, partial grant payments are made in amounts large enough to bring the aggregate amount of all partial payments to the estimated United States share of the project costs of the airport development accomplished under the project as of the date of the sponsor's latest application for payment. In addition, if the sponsor applies, a partial grant payment is made as an advance payment in an amount large enough to bring the aggregate amount of all partial payments to the estimated United States share of the estimated project costs of the airport development expected to be accomplished within 30 days after the date of the sponsor's application for advance payment. However, no partial payment may be made in an amount that would bring the aggregate amount of all partial payments for the project to more than 90 percent of the estimated United States share of the total estimated cost of all airport development included in the project, but not including contingency items, or 90 percent of the maximum obligation of the United States as stated in the grant agreement, whichever amount is the lower. In determining the amount of a partial grant payment, those project costs that the Administrator considers to be of questionable allowability are deducted both from the amount of proj- ect costs incurred and from the amount of the estimated total project cost.
(a) Whenever airport development on a project is delayed or suspended for an appreciable period of time for reasons beyond the sponsor's control and the allowability of the project costs of all airport development completed has been determined on the basis of an audit and review of all costs, a semifinal grant payment may be made in an amount large enough to bring the aggregate amount of all partial grant payments for the project to the United States share of all allowable project costs incurred, even if the amount is more than the 90 percent limitation prescribed in § 151.61(b). However, it may not be more than the maximum obligation of the United States as stated in the grant agreement.
(b) Whenever the project is completed in accordance with the grant agreement, the sponsor may apply for final payment. The final payment is made to the sponsor if—
(1) A final inspection of all work at the airport site has been made jointly by the Area Manager and representatives of the sponsor and the contractor, unless the Area Manager agrees to a different procedure for final inspection.
(2) A final audit of the project account has been completed by appropriate personnel of the FAA; and
(3) The sponsor has furnished final “as constructed” plans, unless otherwise agreed to by the Administrator.
(c) Based upon the final inspection, the final audit, the plans, and the documents and supporting information required by § 151.57(a), the Administrator determines the total amount of the allowable project costs and pays the sponsor the United States' share, less the total amount of all prior payments.
(a) At any time before the FAA issues a grant offer for a project, any public agency or person having a substantial interest in the disposition of the project application may file a memorandum supporting or opposing it with the Area Manager of the area in which the project is located. In addition, that public agency or person may request a public hearing on the location of the airport to be developed. If, in the Administrator's opinion, that public agency or person has a substantial interest in the matter, a public hearing is held.
(b) The Administrator sets the time and place of each hearing under this section, to avoid undue delay in disposing of the application, to afford reasonable time for all parties concerned to prepare for it, and to hold it at a place convenient to the sponsor. Notice of the time and place is mailed to the public agency or person filing the memorandum, the sponsor, and any other necessary persons.
(c) The purpose of the hearing is to help the Administrator discover facts relating to the location of the airport that is proposed to be developed under an application pending before him. There are no adverse parties or interests and no defendant or respondent. They are not hearings for the purposes of 5 U.S.C. 554, 556, and 557, and do not terminate in an adjudication as defined in that Act.
(d) Each hearing under this section is conducted by a hearing officer designated by the Administrator. The hearing officer decides the length of the hearing, the kind of testimony to be heard, and all other matters respecting the conduct of the hearing. The hearing is recorded in a manner determined by the hearing officer and the record becomes a part of the record of the project application. The Administrator's decision is not made solely on the basis of the hearing, but on all relevant facts.
(a) The various forms used for the purposes of subparts B and C are as follows:
(1) Requests for Federal-aid, FAA Form 5100-3: Contains a statement requesting Federal-aid in carrying out a project under the Federal Airport Act, with appropriate spaces for inserting information needed for considering the request, including the location of the airport, the amount of funds available to the sponsor, a description of the proposed work, and its estimated cost.
(2) Project application, Form FAA-1624: A formal application for Federal-aid to carry out a project under this part. It contains four parts:
(i) Part I—For pertinent information regarding the airport and proposed work included in the project.
(ii) Part II—For incorporating the representations of the sponsor relating to its legal authority to undertake the project, the availability of funds for its share of the project costs, approvals of other non-United States agencies, the existence of any default on the compliance requirements of § 151.77(a), possible disabilities, and the ownership of lands and interests in lands to be used in carrying out the project and operating the airport.
(iii) Part III—For incorporating the sponsor's assurances regarding the operation and maintenance of the airport, further development of the airport, and the acquisition of any additional interests in lands that may be needed to carry out the project or for operating the airport.
(iv) Part IV—For a statement of the sponsor's acceptance, to be executed by the sponsor and certificated by its attorney.
(3) [Reserved]
(4) Grant agreement, Form FAA-1632:
(i) Part I—Offer by the United States to pay a specified percentage of the allowable costs of the project, as described therein, on specified terms relating to the undertaking and carrying out of the project, determination of allowability of costs, payment of the United States share, and operation and maintenance of the airport in accordance with assurances in the proj- ect application.
(ii) Part II—Acceptance of the offer by the sponsor, execution of the acceptance by the sponsor, and certification by its attorney.
(5) Periodic cost estimate, Form FAA-1629: a certification to be executed by the contractor, with space for information regarding the progress of construction work as of a specific date, and the value of the completed work.
(6) Application for grant payment, FAA Form 5100-6: Application for payment under a grant agreement for work completed as of a specific date or to be completed by a specific date, with space for an appropriate breakdown of project costs among the categories shown therein, and certification provisions to be executed by the sponsor and the Area Manager.
(7) Summary of project costs, Form FAA-1630: For inserting the latest revised estimate of total project costs, the total costs incurred as of a specific date, an estimate of the aggregate of those total costs incurred to date and those to be incurred before a specific date in the future.
(b) Copies of the forms named in this section, and assistance in completing and executing them, are available from the Area Manager.
(a) This subpart prescribes programming and design and construction standards for projects under the Federal-Aid Airport Program to assure the most efficient use of Program funds and to assure that the most important elements of a national system of airports are provided.
(b) Except for the standards made mandatory by § 151.72(a), the standards prescribed in this subpart that apply to any particular project are those in effect on the date the sponsor accepts the Administrator's offer under § 151.29(c). The standards of § 151.72(a) applicable to a project are those in effect on the date written on the notification of tentative allocation of funds (§ 151.21(b)). Standards that become effective after that date may be applied to the project by agreement between the sponsor and the Administrator.
(a) Provisions incorporated; mandatory standards. The technical guidelines in the Advisory Circulars, or parts of Circulars, listed in appendix I of this part, are incorporated into this subpart by reference. Guidelines so incorporated are mandatory standards and apply in addition to the other standards in this subpart. No provision so incorporated and made mandatory supersedes any provision of this part 151 (other than of App. I) or of any other part of the Federal Aviation Regulations. Each Circular is incorporated with all amendments outstanding at any time unless the entry in appendix I of this part states otherwise.
(b) Amendments of Appendix I. The Director, Airports Service, may add to, or delete from, appendix I of this part any Advisory Circular or part thereof.
(c) Availability of Advisory Circulars. The Advisory Circulars listed in appendix I of this part may be inspected and copied at any FAA Regional Office, Area Office, or Airports District Office. Copies of the Circulars that are available free of charge may be obtained from any of the offices or from the Federal Aviation Administration, Printing Branch, HQ-438, Washington, D.C. 20553. Copies of the Circulars that are for sale may be bought from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 for the price listed.
(a) The acquisition of land or any interest therein, or of any easement or other interest in airspace, is eligible for inclusion in a project if it was made after May 13, 1946, and is necessary—
(1) To allow the initial development of the airport;
(2) For improvement indicated in the current National Airport Plan;
(3) For ultimate development of the airport, as indicated in the current approved airport layout plan to the extent consistent with the National Airport Plan;
(4) For approach protection meeting the standards of § 77.23 as applied to §§ 77.25 and 77.27 of this chapter;
(5) To allow installing an ALS (as described in § 151.13), in which case the costs of acquiring land needed for it are eligible for 75 percent United States participation if the need is shown in the National Airport Plan, based on the best information available to the FAA for the forecast period;
(6) To allow proper use, operation, or maintenance of the airport as a public facility, including offsite lands needed for locating necessary parts of the utility systems serving the airport;
(7) To allow installing navigational aids by the FAA, if the land is within the airport boundaries; or
(8) To allow relocation of navigational aids.
(b) Appendix A of this part sets forth typical eligible and ineligible items of land acquisition as covered by this section.
(a) Grading, drainage, and associated items of site preparation are eligible for inclusion in a project, but only with respect to one landing strip at any airport, unless the airport qualifies for more than one runway, based on traffic volume or wind conditions (as outlined in § 151.77) and the overall site preparation required for development in accordance with the airport layout plan. The complete clearance of runway clear zone areas is desirable, but, as a minimum, all obstructions as determined by § 77.23 as applied to § 77.27 (b) and (c) of this chapter must be removed. Grading in runway clear zones is eligible only to remove terrain that is an obstruction. The clear zone is not a graded overrun area. Specific site preparation for an airport terminal building is eligible on the same basis as the building itself. The site preparation cost is prorated based on eligible and ineligible building space. Appendix B of this part sets forth typical eligible and ineligible items of site preparation as covered by this section.
(b) For the purposes of this section, eligible drainage work off the airport site includes drainage outfalls, drainage disposal, and interception ditches. If there is damage to adjacent property, its correction is an eligible item for inclusion in the project.
(a) On any airport, paving of the designated instrument landing runway (or dominant runway if there is no designated instrument runway) is eligible for inclusion in a project, within the limits of the current National Airport Plan. Program participation in constructing, reconstructing or resurfacing is limited to a single runway at each airport, unless more than one runway is eligible under a standard in § 151.79 or § 151.80.
(b) The kinds of runway paving that are eligible for inclusion in a project include pavement construction and reconstruction, and include runway grooving to improve skid resistance, and resurfacing to increase the load bearing capacity of the runway or to provide a leveling course to correct major irregularities in the pavement. Runway resealing or refilling joints as an ordinary maintenance matter are not eligible items, except for bituminous resurfacing consisting of at least 100 pounds of plant-mixed material for each square yard, and except for the application of a bituminous surface treatment (two applications of material and cover aggregate as prescribed in FAA Specification P-609) on a pavement the current surface of which consists of that kind of a bituminous surface treatment.
(c) On new pavement construction, the applying of a bituminous seal coat on plant hot-mix bituminous surfaces only, is an eligible item only if initial engineering analysis and design indicate the need for a seal coat. However, any delay in applying it that is caused other than by construction difficulties, makes the application a maintenance item that is not eligible.
(d) In any case in which the need for a seal coat is necessary for a new runway extension or partial reconstruction of a runway, the entire runway may be sealed.
(e) Appendix C to this part sets forth typical eligible and ineligible items of runway paving.
(a) All airports. Paving a second runway on the basis of wind conditions is eligible for inclusion in a project only if the sponsor shows that—
(1) The airport meets the applicable standards of paragraph (b), (c), or (d) of this section;
(2) The operational experience, and the economic factors of air traffic at the location, justify an additional runway for the airport; and
(3) The second runway is oriented with the existing paved runway to achieve the maximum wind coverage, with due consideration to the airport noise factor, topography, soil conditions, and other pertinent factors affecting the economy and efficiency of the runway development.
(b) Airports serving large and small aircraft. The airport serves both large and small aircraft and the existing paved runway is subject to a crosswind component of more than 15 miles per hour (13 knots) more than 5 percent of the time.
(c) Airports serving small aircraft only. The airport serves small aircraft exclusively, and—
(1) The airport has 10,000, or more, aircraft operations each year; and
(2) The existing paved runway is subject to a crosswind component of more than 12 miles per hour (10.5 knots) more than 5 percent of the time.
(d) Airports serving aircraft of less than 8,000 pounds only. The airport serves small aircraft of less than 8,000 pounds maximum certificated takeoff weight exclusively and—
(1) The airport has 5,000, or more, aircraft operations each year; and
(2) The existing paved runway is subject to a crosswind component of more than 12 miles per hour (10.5 knots) more than 5 percent of the time.
Paving an additional runway on an airport that does not qualify for a second runway under § 151.79 is eligible if the Administrator, upon consideration on a case-to-case basis, is satisfied that—
(a) The volume of traffic justifies an additional paved runway and the layout and orientation of the additional runway will expedite traffic; or
(b) A combination of traffic volume and aircraft noise problems justifies an additional paved runway for that airport.
(a) The construction, alteration, and repair of taxiways needed to expedite the flow of ground traffic between runways and aircraft parking areas available for general public use are eligible items under the program. Taxiways to serve an area or facility that is primarily for the exclusive or near exclusive use of a tenant or operator that does not furnish aircraft servicing to the public are not eligible. In addition, the policies on resealing or refilling joints, as set forth in § 151.77, apply also to taxiway paving.
(b) Appendix D of this part sets forth typical eligible and ineligible items of taxiway paving.
(a) The construction, alteration, and repair of aprons are eligible program items upon being shown that they are needed as public use facilities. An apron to serve an area that is primarily for the exclusive or near exclusive use of a tenant or operator who does not furnish aircraft servicing to the public is not eligible. In addition, the policies on resealing or refilling joints, as set forth in § 151.77 apply also to apron paving.
(b) In determining public use for the purposes of this section, the current use being made of a hangar governs, unless there is definite information regarding its future use. In the case of an apron area being built for future hangars, it should be shown that early hangar development is assured and that the hangars will be public facilities.
(c) Appendix E of this part sets forth typical eligible and ineligible items of apron paving.
The following special treatment for areas adjacent to pavement is eligible for inclusion in a project in cases where, due to the operation of turbojet powered aircraft, it may be necessary to treat those areas adjacent to runway ends, holding aprons, and taxiways to prevent erosion from the blast effects of the turbojet:
(a) Runway ends—a stabilized area the width of the runway and extending 100 to 150 feet from the end of the runway.
(b) Holding aprons—a stabilized area up to 50 feet from the edge of the pavement.
(c) Taxiway intersections—a stabilized area 25 feet on each side of the taxiway and extending 300 feet from the intersection.
(d) Taxiway (continuous movement of aircraft)—dense turf 25 feet on each side of the taxiway, or in a geographic area where dense turf cannot be established, stabilization.
(a) The installing of lighting facilities and related electrical work, as provided in § 151.87, is eligible for inclusion in a project only if the Administrator determines, for the particular airport involved, that they are needed to ensure—
(1) Its safe and efficient use by aircraft under § 151.13; or
(2) Its continued operation and adequate maintenance, and it has a large enough volume (actual or potential) of night operations.
(b) Before the Administrator makes a grant offer to the sponsor of a project that includes installing lighting facilities and related electrical work under paragraph (a) of this section, the sponsor must—
(1) Provide in the project for removing, relocating, or adequately marking and lighting, each obstruction in the approach and turning zones, as provided in § 151.91(a);
(2) Acknowledge its awareness of the cost of operating and maintaining airport lighting; and
(3) Agree to operate the airport lighting installed—
(i) Throughout each night of the year; or
(ii) According to a satisfactory plan of operation, submitted under paragraph (c) of this section.
(c) The sponsor of a project that includes installing airport lighting and related electrical work, under paragraph (a) of this section, may—
(1) Submit to the Administrator a proposed plan of operation of the airport lighting installed for periods less than throughout each night of the year;
(2) Specify, in the proposed plan, the times when the airport lighting installed will be operated; and
(3) Satisfy the Administrator that the proposed plan provides for safety in air commerce, and justifies the investment of Program funds.
(d) Paragraph (b)(3) of this section also applies to each sponsor of a project that includes installing airport lighting and related electrical work if that sponsor has not entered into a grant agreement for the project before September 5, 1968.
(e) If it agrees to comply with paragraph (b)(3) of this section, the sponsor of a project that includes installing airport lighting facilities and related electrical work that has entered into a grant agreement for that project before September 5, 1968, may—
(1) Surrender its air navigation certificate authorizing operation of a “true light” issued before that date; or
(2) Terminate its application for authority to operate a “true light” made before that date.
(a)-(b) [Reserved]
(c) The number of runways that are eligible for lighting is the same as the number eligible for paving under § 151.77, § 151.79, or § 151.80.
(d) The installing of high intensity runway edge lighting is eligible on a designated instrument landing runway and any other runway with approved straight-in approach procedures. A runway that is eligible for lighting, but does not meet the requirements for 75 percent U.S. participation under § 151.43(d), is eligible for 50 percent U.S. participation in the costs of high intensity runway edge lighting (or the allowable percentage in § 151.43(c) for public land States), if the airport is served by a navigational aid that will allow using instrument approach procedures. If a runway is not eligible for 75 or 50 percent Federal participation in high intensity runway edge lighting but is otherwise eligible for runway lighting, the U.S. share of the cost of runway edge lighting is 50 percent of the cost of the lighting installed but not more than 50 percent of the cost of medium intensity lighting.
(e) In-runway lighting (touchdown zone lighting system, and centerline lighting system) is eligible on the designated instrument landing runway.
(f) Taxiways to eligible runways on airports served by transport aircraft are eligible for lighting. On airports serving only general aviation, the lighting of connecting taxiways is eligible if the runway served is lighted or is programed to be lighted. The lighting of a parallel taxiway is eligible if the taxiway is eligible for paving. Lighting of other taxiways is eligible or not, depending on the complexity of the taxiway system.
(g) Floodlighting of aprons is eligible if there is a proven need for it, including a showing of night operations where the runway is lighted.
(h) Any airport that is eligible to participate in the costs of runway lighting is eligible for the installing of an airport beacon, lighted wind indicator, obstruction lights, lighting control equipment, and other components of basic airport lighting, including separate transformer vaults and connection to the nearest available power source.
(i) The interconnection of two or more power sources on an airport property, the providing of second sources of power, and the installing of standby engine generators of reasonable capacity, are eligible under the program.
(j) Economy approach lighting aids are eligible for inclusion in a project at an airport that will not qualify within the next three years for approach lighting aids installed by FAA under the Facilities and Equipment Program if the economy approach lighting aids—
(1) Will correct a visual deficiency on one of the lighted runways of the airport; or
(2) Will permit operations at an airport at lower minimums.
(k) Appendix F of this part sets forth typical eligible and ineligible items of airport lighting covered by § 151.86 and this section.
(a) Federal-aid Airport Program funds may not be used to resolve highway problems. Only those airport entrance roads that are definitely needed and are intended only as a way in and out of the airport are eligible.
(b) The construction, alteration, and repair of airport roads and streets that are entirely within the airport boundaries are eligible under the program, if needed for operating and maintaining the airport. In the case of an entrance road, a strip right-of-way joining the main body of the airport to the nearest public road may be considered a part of the normal boundary of the airport if—
(1) Adequate title is obtained;
(2) It was acquired to provide an airport entrance road and was not, before the existence of the airport, a public thoroughfare;
(3) The entrance road is intended only as a way in and out of the airport; and
(4) The entrance road extends only to the nearest public highway, road, or street.
(c) An entrance road may be joined to an existing highway or street with a normal fillet connection. However, acceleration-deceleration strips or grade separations are not eligible.
(d) Offsite road or street relocation needed to allow airport development or to remove an obstruction, and is not for entrance road purposes, is eligible.
(e) Appendix G sets forth typical eligible and ineligible items of road construction covered by this section.
(a) The removal or relocation, or both, of obstructions, as defined in Technical Standard Order N18 is eligible under the Program in cases where definite arrangements are made to prevent the obstruction from being recreated. In a case where removal is not feasible, the cost of marking or lighting it is eligible. The removal and relocation of structures necessary for essential airport development is eligible. The removal of structures that are not obstructions under § 77.23 of this chapter as applied to § 77.27 of this chapter are eligible when they are located within a runway clear zone.
(b) The removal and relocation of an airport hangar that is an airport hazard (as described in § 151.39(b)) is eligible, if the reerected hangar will be substantially identical to the disassembled one.
(c) Whenever a hangar must be relocated (either for clearance of the site for other airport development or to remove a hazard) and the existing structure is to be relocated with or without disassembly, the cost of the relocation is an eligible item of project costs, including costs incidental to the relocation such as necessary footings and floors. However, if the existing structure is to be demolished and a new hangar is to be built, only the cost of demolishing the existing hangar is an eligible item.
(a) Only buildings or parts of buildings intended to house facilities or activities directly related to the safety of persons at the airport, including fire and rescue equipment buildings, are eligible items under the Federal-aid Airport Program. To the extent they are necessary to house snow removal and abrasive spreading equipment, and to provide minimum protection for abrasive materials, field maintenance equipment buildings are eligible items in any airport development project for an airport in a location having a mean daily minimum temperature of zero degrees Fahrenheit, or less, for at least 20 days each year for the 5 years preceding the year when Federal aid is requested under § 151.21(a), based on the statistics of the U.S. Department of Commerce Weather Bureau if available, or other evidence satisfactory to the Administrator.
(b) Airport utility construction, installation, and connection are eligible under the Federal-aid Airport Program as follows:
(1) An airport utility serving only eligible areas and facilities is eligible; and
(2) An airport utility serving both eligible and ineligible airport areas and facilities is eligible only to the extent of the additional cost of providing the capacity needed for eligible areas and facilities over and above the capacity necessary for the ineligible areas and facilities.
(c) No part of the constructing, altering, or repairing (including grading, drainage, and other site preparation work) of a facility or area that is to be used as a public parking facility for passenger automobiles is eligible for inclusion in a project.
(d) Landscaping is not eligible for inclusion in a project. However, the establishment of turf on graded areas and special treatment to prevent slope erosion is eligible to the extent of the eligibility of the facilities or areas served, preserved, or protected by the turf or treatment. In the case of turfing or treatment for an area or facility that is partly eligible and partly ineligible, the eligibility of the turfing or treatment is established on a pro rata basis.
(e) The construction of sidewalks is not eligible for inclusion in a project.
(a) Boundary or perimeter fences for security purposes are eligible for inclusion in a project.
(b) A blast fence is eligible for inclusion in a project whenever—
(1) It is necessary for safety at a runway end or a holding area near the end of a runway and its installation would be more economical than the acquiring of additional property interests; or
(2) Its installation for safety at a turbojet-passenger gate will result in less separation being needed for gate positions, thereby reducing the need for apron expansion, and it is more economical to build the fence than to expand the apron.
(c) The eligibility of runway distance markers for inclusion in a project is decided on a case-by-case basis.
(d) The relocation of navigational aids is eligible for inclusion in a proj- ect whenever necessitated by development on the airport under a Program project and the sponsor is responsible under FAA Order OA 6030.1 (Agency Order 53).
(e) The installation of any of the following landing aids is eligible for inclusion in a project:
(1) Segmented circle.
(2) Wind and landing direction indicators.
(3) Boundary markers.
(f) The initial marking of runway and taxiway systems is eligible for inclusion in a project. The remarking of existing runways or taxiways is eligible if—
(1) Present marking is obsolete under current FAA standards; or
(2) Present marking is obliterated by construction, alteration or repair work included in a FAAP project or by the required routing of construction equipment used therein.
(g) The following offsite work performed outside of the boundaries of an airport or airport site is eligible for inclusion in a project:
(1) Removal of obstruction as provided in § 151.91.
(2) Outfall drainage ditches, and the correction of any damage resulting from their construction.
(3) Relocating of roads and utilities that are airport hazards as defined in § 151.39(b).
(4) Clearing, grading, and grubbing to allow installing of navigational aids.
(5) Constructing and installing utilities.
(6) Lighting of obstructions.
(a) Maintenance work is not airport development as defined in the Federal Airport Act and is not eligible for inclusion in the Program. Therefore, it is necessary in many cases that a determination be made whether particular proposed development is maintenance or repair. For the purpose of these determinations, maintenance includes any regular or recurring work necessary to preserve existing airport facilities in good condition, any work involved in cleaning or caring for existing airport facilities, and any incidental or minor repair work on existing airport facilities, such as—
(1) Mowing and fertilizing of turfed areas;
(2) Trimming and replacing of land- scaping material;
(3) Cleaning of drainage systems including ditches, pipes, catch basins, and replacing and restoring eroded areas, except when caused by act of God or improper design;
(4) Painting of buildings (inside and outside) and replacement of damaged items normally anticipated;
(5) Repairing and replacing burned out or broken fixtures and cables, unless major reconstruction is needed;
(6) Paving repairs in localized areas, except where the size of the work is such that it constitutes a major repair item or is part of a reconstruction project; and
(7) Refilling joints and resealing surface of pavements.
(b) Repair includes any work not included in paragraph (a) of this section that is necessary to restore existing airport facilities to good condition or preserve them in good condition.
The Director, Airports, Service, or the Regional Director concerned may, on individual projects, when necessary for adaptation to meet local conditions, modify any standard set forth in or incorporated into this subpart, if he determines that the modification will provide an acceptable level of safety, economy, durability, or workmanship.
(a) Each advance planning and engineering proposal must relate to an airport layout plan or plans and specifications for the development of a new airport, or the further development of an existing airport. Each proposal must relate to a specific airport, either existing or planned, and may not be for general area planning.
(b) Each proposal for the development or further development of an airport must have as its objective either the development of an airport layout plan, under § 151.5(a), or the development of plans designed to lead to a project application, under §§ 151.21(c) and 151.27, or both.
(c) Each proposal must relate to planning and engineering for an airport that—
(1) Is in a location shown on the National Airport Plan; and
(2) Is not served by scheduled air carrier service and located in a large or medium hub, as identified in the current edition of “Airport Activity Statistics of Certificated Route Air Carriers” (published jointly by FAA and the Civil Aeronautics Board), that is available for inspection at any FAA Area or Regional Office, or for sale by the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402.
(d) Each proposal must relate to future airport development projects eligible under subparts B and C.
The sponsor of an advance planning and engineering proposal must be a public agency, as defined in § 151.37(a), and must be legally, financially, and otherwise able to—
(a) Make the certifications, representations, and warranties required in the advance planning proposal, FAA Form 3731;
(b) Enter into and perform the advance planning agreement;
(c) Provide enough funds to pay all estimated proposal costs not borne by the United States; and
(d) Meet any other applicable requirements of the Federal Airport Act and this subpart.
Any two or more public agencies desiring to jointly participate in an advance planning proposal may cosponsor it. The cosponsorship and agency requirements and procedures set forth in § 151.33, except § 151.33(a)(1), also apply to advance planning proposals. In addition, the sponsor eligibility requirements set forth in § 151.113 must be met by each participating public agency.
(a) Each eligible sponsor desiring to obtain Federal aid for the purpose of advance planning and engineering must submit a completed FAA Form 3731, “Advance Planning Proposal”, to the Area Manager.
(b) The airport layout plan, if in existence, must accompany the advance planning proposal. If the advance planning proposal includes preparation of plans and specifications, enough details to identify the items of development to be covered by the plans and specifications must be shown. The proposal must be accompanied by evidentiary material establishing the basis for the estimated costs under the proposal, such as an offer from an engineering firm containing a schedule of services and charges therefor.
The funding information required by § 151.23, except the last sentence, also is required in connection with an advance planning proposal. The sponsor's share of estimated proposal costs may not consist of or include the value of donated labor, materials, or equipment.
Each sponsor must adopt the following covenant implementing the exclusive rights provisions of section 308(a) of the Federal Aviation Act of 1958, that is incorporated by reference into Part I of the Advance Planning Agreement:
The sponsor—
(a) Will not grant or permit any exclusive right forbidden by section 308(a) of the Federal Aviation Act of 1958 (49 U.S.C. 1349(a)) at the airport, or at any other airport now or hereafter owned or controlled by it;
(b) Agrees that, in furtherance of the policy of the FAA under this covenant, unless authorized by the Administrator, it will not, either directly or indirectly, grant or permit any person, firm or corporation the exclusive right at the airport, or at any other airport now or hereafter owned or controlled by it, to conduct any aeronautical activities, including, but not limited to, charter flights, pilot training, aircraft rental and sightseeing, aerial photography, crop dusting, aerial advertising and surveying, air carrier operations, aircraft sales and services, sale of aviation petroleum products whether or not conducted in conjunction with other aeronautical activity, repair and maintenance of aircraft, sale of aircraft parts, and any other activities which because of their direct relationship to the operation of aircraft can be regarded as an aeronautical activity;
(c) Agrees that it will terminate any existing exclusive right to engage in the sale of gasoline or oil, or both, granted before July 17, 1962, at such an airport, at the earliest renewal, cancellation, or expiration date applicable to the agreement that established the exclusive right; and
(d) Agrees that it will terminate any other exclusive right to conduct any aeronautical activity now existing at such an airport before the grant of any assistance under the Federal Airport Act.
(a) The procedures and requirements of § 151.29 also apply to approved advance planning proposals. FAA's offer and the sponsor's acceptance constitute an advance planning grant agreement between the sponsor and the United States. The United States does not pay any of the advance planning costs incurred before the advance planning grant agreement is executed.
(b) No grant is made unless the sponsor intends to begin airport development within three years after the date of sponsor's written acceptance of a grant offer. The sponsor's intention must be evidenced by an appropriate written statement in the proposal.
(a) The United States' share of the allowable costs of an advance planning proposal is stated in the advance planning grant agreement, but is not more than 50 percent of the total cost of the necessary and reasonable planning and engineering services.
(b) The allowable advance planning costs consist of planning and engineering expenses necessarily incurred in effecting the advance planning proposal. Allowable cost items include—
(1) Location surveys, such as preliminary topographic and soil exploration;
(2) Site evaluation;
(3) Preliminary engineering, such as stage construction outlines, cost estimates, and cost/benefit evaluation reports;
(4) Contract drawings and specifications;
(5) Testing; and
(6) Incidental costs incurred to accomplish the proposal, that would not have been incurred otherwise.
(c) To qualify as allowable, the advance planning costs paid or incurred by the sponsor must be—
(1) Reasonably necessary and directly related to the planning or engineering included in the proposal as approved by FAA;
(2) Reasonable in amount; and
(3) Verified by sufficient evidence.
The requirements of § 151.55 relating to accounting and audit of project costs are also applicable to advance planning proposal costs. However, the requirement of segregating and grouping costs applies only to § 151.55(a) (5) and (7) classifications.
(a) The United States' share of advance planning costs is paid in two installments unless the advance planning grant agreement provides otherwise. Upon request by sponsor, the first payment may be made in an amount not more than 50 percent of the maximum obligation of the United States stipulated in the advance planning grant agreement upon certification by sponsor that 50 percent or more of the proposed work has been completed. The final payment is made upon the sponsor's request after—
(1) The conditions of the advance planning grant agreement have been met;
(2) Evidence of cost of each item has been submitted; and
(3) Audit of submitted evidence or audit of sponsor's records, if considered desirable by FAA, has been made.
(b) When the advance planning proposal relates to the selection of an airport site, the advance planning grant agreement provides that Federal funds are paid to the sponsor only after the site is selected and the Administrator is satisfied that the site selected for the airport is reasonably consistent with existing plans of public agencies for development of the area in which the site is located, and will contribute to the accomplishment of the purposes of the Federal-aid Airport Program.
The forms used for the purpose of obtaining an advance planning and engineering grant are as follows:
(a) Advance planning proposal, FAA Form 3731—(1) Part I. This part of the form contains a request for the grant of Federal funds under the Federal Airport Act for the purpose of aiding in financing a proposal for the development of an airport layout plan or plans, or both, designed to lead to a project application, with spaces provided for inserting information needed for considering the request, including the location of the airport, a description of the plan or plans to be developed, and the estimate of planning and engineering costs.
(2) Part II. This part of the form includes the sponsor's representation that it will comply with the provisions of part 15 of the Federal Aviation Regulations (14 CFR part 15), and representations concerning its legal authority to undertake the proposal, the availability of funds for its share of the proposal costs, its intention to initiate construction of a safe, useful and usable airport facility shown on an airport layout plan developed under the proposal, or initiate the construction of the item or items of airport development shown on the plans developed under the proposal and designed to lead to a project application, or both, within three years after the date of acceptance of the offer. It also includes the sponsor's representation as to the method of financing the intended construction, approval of other agencies, defaults, possible disabilities, and a statement concerning accept- ance to be executed by the sponsor and certified by its attorney.
(b) Advance planning agreement, FAA Form 3732—(1) Part I. This part of the form contains an offer by the United States to pay a specified percentage not to exceed 50% of the allowable proposal costs, as described therein, on specific terms relating to the carrying out of the proposal, allowability of costs, payment of the United States' share and sponsor's agreement to comply with the exclusive rights provision of section 308(a) of the Federal Aviation Act of 1958.
(2) Part II. This part of the form contains the acceptance of the offer by the sponsor, execution of the acceptance by the sponsor, and the certification by the sponsor's attorney.
There is set forth below an itemization of typical eligible and ineligible items of land acquisition as covered by § 151.73:
1. Land for:
(a) Initial acquisition for entire airport developments, including building areas as delineated on the approved airport layout plan.
(b) Expansion of airport facilities.
(c) Clear zones at ends of eligible runways.
(d) Approach lights (land for ALS eligible for 75 percent participation will be limited to an area 3200′ × 400′ for a Standard ALS and to an area 1700′ × 400′ for a short ALS located symmetrically about the runway centerline extended, beginning at the end of the runway).
(e) Approach protection.
(f) Airport utilities.
2. Easements for:
(a) Use of air space by aircraft.
(b) Storm-water run-off.
(c) Powerlines to serve offsite obstruction lights.
(d) Airport utilities.
3. Extinguishment of easements which interfere with airport development.
1. Land required only for:
(a) Industrial and other non-airport purposes.
There is set forth below an itemization of typical eligible and ineligible items of site preparation as covered by § 151.75 of this chapter:
1. General site preparation:
(a) Clearing of site.
(b) Grubbing of site.
(c) Grading of site.
(d) Storm drainage of site.
2. Erosion control.
3. Grading to remove obstructions.
4. Grading for installing navigation aids on airport property.
5. Dredging of seaplane anchorages and channels.
1. Specific site preparation (not a part of an over-all site preparation project) for:
(a) Hangars and other buildings ineligible under the Act.
(b) Public parking facilities for passenger automobiles.
(c) Industrial and other non-airport purposes.
There is set forth below an itemization of typical eligible and ineligible items of runway paving as covered by § 151.77 of this chapter:
1. New runways for specified loadings.
2. Runway widening of extensions for specified loadings.
3. Reconstruction of existing runways for specified loadings.
4. Resurfacing runways for specified strength or for smoothness.
5. Runway grooving to improve skid resist- ance.
1. Maintenance-type work, including:
(a) Seal coats.
(b) Crack filling.
(c) Resealing joints.
(d) Runway patching.
(e) Isolated repair.
There is set forth below an itemization of typical eligible and ineligible items of taxiway paving as covered by § 151.81 of this chapter:
1. Basic types of pavement listed as eligible under § 151.77.
2. Taxiway providing access to ends and intermediate points of eligible runways.
3. Bleed-off taxiways.
4. Bypass taxiways.
5. Run-up pads.
6. Primary taxiway systems providing access to hangar areas and other building areas delineated on approved airport layout plan.
7. Secondary taxiways providing access to groups of individual storage hangars and/or multiple-unit tee hangars.
1. Basic types of pavement listed as ineligible under § 151.77.
2. Taxiways providing access to an area not offering aircraft storage and/or service to the public.
3. Lead-ins to individual storage hangars.
There is set forth below an itemization of typical eligible and ineligible items of apron paving as covered by § 151.83 of this chapter:
1. Basic types of pavement listed as eligible under § 151.77.
2. Loading ramps.
3. Aprons available for public parking, storage, and service or a combination of any of the three.
4. Aprons serving hangars used for public storage of aircraft or service to the public, or both.
5. Aprons for cargo buildings used for public storage or service to the public, or both.
1. Basic types of pavement listed as ineligible under § 151.77.
2. Aprons serving installations for nonpublic use.
3. Paving inside a hangar or on the proposed site of a hangar.
4. Aprons for cargo buildings not under Item 5 of the “Typical Eligible Items”.
5. Apron services (pits or pipes for chemicals) will not be eligible.
There is set forth below an itemization of typical eligible and ineligible items of airport lighting covered by §§ 151.86 and 151.87 of this chapter:
1. Runway edge lights (high intensity, medium intensity, and low intensity).
2. In-runway lighting (touchdown zone lighting system, centerline lighting system, and exit taxiway lighting system).
3. Taxiway lights.
4. Taxiway guidance signs.
5. Obstruction lights.
6. Apron floodlights.
7. Beacons.
8. Wind and landing direction indicators.
9. Electrical ducts and manholes.
10. Transformer or generator vaults.
11. Control panels for field lighting.
12. Control equipment for field lighting.
13. Auxiliary power.
14. Lighting offsite obstructions.
15. Electrical vaults for field lighting.
1. Electronic navigation aids.
2. Approach lights.
3. Horizon lights.
4. Isolated repair and reconstruction of airport lighting.
5. Lighting of public parking area for passenger automobiles.
6. Street or road lighting.
There is set forth below an itemization of typical eligible and ineligible items of road construction covered by § 151.89 of this chapter:
1. Entrance roads.
2. Service roads for access to public areas.
3. Service roads for airport maintenance (including perimeter airport service road within airport boundary and not for general public access).
4. Relocation of roads to permit airport development or expansion or to remove obstructions.
1. Offsite roads.
2. Roads to areas of exclusive use.
There is set forth below the contract provision required by the regulations of the Secretary of Labor in part 5 of title 29 of the Code of Federal Regulations. Section 151.49(a) requires sponsors to insert this provision in full in each construction contract.
A. Minimum wages. (1) All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act [29 CFR part 3]), the full amounts due at time of payment computed at wage rates not less than those contained in the wage determination decision(s) of the Secretary of Labor which is (are) attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics; and the wage determination decision(s) shall be posted by the contractor at the site of the work in a prominent place where it (they) can be easily seen by the workers. For the purpose of this paragraph, contributions made or costs reasonably anticipated under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of subparagraph (4) below. Also for the purpose of this paragraph, regular contributions made or costs incurred for more than a weekly period under plans, funds, or programs, but covering the particular weekly period, are deemed to be constructively made or incurred during such weekly period (29 CFR 5.5(a)(1)(i)).
(2) Any class of laborers or mechanics which is not listed in the wage determination(s) and which is to be employed under the contract, shall be classified or reclassified comformably to the wage determination(s), and a report of the action taken shall be sent by the [insert sponsor's name] to the FAA for approval and transmittal to the Secretary of Labor. In the event that the interested parties cannot agree on the proper classification or reclassification of a particular class of laborers and mechanics to be used, the question accompanied by the recommendation of the FAA shall be referred to the Secretary of Labor for final determination (29 CFR 5.5(a)(1)(ii)).
(3) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly wage rate and the contractor is obligated to pay a cash equivalent of such a fringe benefit, an hourly cash equivalent thereof shall be established. In the event the interested parties cannot agree upon a cash equivalent of the fringe benefit, the question, accompanied by the recommendation of the FAA shall be referred to the Secretary of Labor for determination (29 CFR 5.5(a)(1)(iii)).
(4) If the contractor does not make payments to a trustee or other third person, he may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing benefits under a plan or program of a type expressly listed in the wage determination decision of the Secretary of Labor which is a part of this contract: Provided, however, The Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.
B. Withholding: FAA from sponsor. Pursuant to the terms of the grant agreement between the United States and [insert sponsor's name], relating to Federal-aid Airport Project No. __, and part 151 of the Federal Aviation Regulations (14 CFR part 151), the FAA may withhold or cause to be withheld from the [insert sponsor's name] so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics employed by the contractor or any subcontractor on the work the full amount of wages required by this contract. In the event of failure to pay any laborer or mechanic employed or working on the site of the work all or part of the wages required by this contract, the FAA may, after written notice to the [insert sponsor's name], take such action as may be necessary to cause the suspension of any further payment or advance of funds until such violations have ceased (29 CFR 5.5(a)(2)).
C. Payrolls and basic records. (1) Payrolls and basic records relating thereto will be maintained during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records will contain the name and address of each such employee, his correct classification, rates of pay (including rates of contributions or costs anticipated of the types described in section 1(b)(2) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found, under 29 CFR 5.5(a)(1)(iv) (see subparagraph (4) of subparagraph (A) above), that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits (29 CFR 5.5(a)(3)(i)).
(2) The contractor will submit weekly a copy of all payrolls to the [insert sponsor's name] for transmission to the FAA, as required by § 151.53(a). The copy shall be accompanied by a statement signed by the employer or his agent indicating that the payrolls are correct and complete, that the wage rates contained therein are not less than those determined by the Secretary of Labor and that the classifications set forth for each laborer or mechanic conform with the work he performed. A submission of a “Weekly Statement of Compliance” which is required under this contract and the Copeland regulations of the Secretary of Labor (29 CFR part 3) and the filing with the initial payroll or any subsequent payroll of a copy of any findings by the Secretary of Labor, under 29 CFR 5.5(a)(1)(iv) (see subparagraph (4) of paragraph (A) above), shall satisfy this requirement. The prime contractor shall be responsible for the submission of copies of payrolls of all subcontractors. The contractor will make the records required under the labor standards clauses of the contract available for inspection by authorized representatives of the FAA and the Department of Labor, and will permit such representatives to interview employees during working hours on the job (29 CFR 5.5(a)(3)(ii)).
D. Apprentices. Apprentices will be permitted to work as such only when they are registered, individually, under a bona fide apprenticeship program registered with a State apprenticeship agency which is recognized by the Bureau of Apprenticeship and Training, United States Department of Labor; or, if no such recognized agency exists in a State, under a program registered with the Bureau of Apprenticeship and Training, United States Department of Labor. The allowable ratio of apprentices to journeymen in any craft classification shall not be greater than the ratio permitted to the contractor as to his entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered as above, shall be paid the wage rate determined by the Secretary of Labor for the classification of work he actually performed. The contractor or subcontractor will be required to furnish to the [insert sponsor's name] written evidence of the registration of his program and apprentices as well as of the appropriate ratios and wage rates, for the area of construction prior to using any apprentices on the contract work (29 CFR 5.5(a)(4)).
E. Compliance with Copeland Regulations. The contractor shall comply with the Copeland Regulations (29 CFR part 3) of the Secretary of Labor which are herein incorporated by reference (29 CFR 5.5(a)(5)).
F. Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any laborer or mechanic in any workweek in which he is employed on such work to work in excess of eight hours in any calendar day or in excess of forty hours in such workweek unless such laborer or mechanic received compensation at a rate not less than one and one-half times his basic rate of pay for all hours worked in excess of eight hours in any calendar day or in excess of forty hours in such workweek, as the case may be (29 CFR 5.5(c)(1)).
G. Violations; liability for unpaid wages; liquidated damages. In the event of any violation of paragraph F of this provision, the contractor and any subcontractor responsible therefore shall be liable to any affected employee for his unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States for liquidated damages. Such liquidated damages shall be computed, with respect to each individual laborer or mechanic employed in violation of said paragraph F of this provision, in the sum of $10 for each calendar day on which such employee was required or permitted to work in excess of eight hours or in excess of the standard workweek of forty hours without payment of the overtime wages required by said paragraph F of this provision (29 CFR 5.5 (c)(2)).
H. Withholding for unpaid wages and liquidated damages, and priority of payment (1) The FAA may withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor, such sums as may administratively be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in paragraph G of this provision (29 CFR 5.5(c)(3)).
(2) In the event of failure or refusal of the contractor or any subcontractor to comply with overtime pay requirements of the Contract Work Hours Standards Act, if the funds withheld by the FAA for the violations are not sufficient to pay fully both the unpaid wages due laborers and mechanics and the liquidated damages due the United States, the available funds shall be used first to compensate the laborers and mechanics for the wages to which they are entitled (or an equitable portion thereof when the funds are not adequate for this purpose); and the balance, if any, shall be used for the payment of liquidated damages (29 CFR 5.14 (d)(2)).
I. Subcontracts. The contractor will insert in each of his subcontracts the clauses contained in paragraphs A through H and J of this provision, and also a clause requiring the subcontractors to include these provisions in any lower tier subcontracts which they may enter into, together with a clause requiring this insertion in any further subcontracts that may in turn be made (29 CFR 5.5(a)(6), 5.5(c)(4)).
J. Contract termination; debarment. A breach of paragraphs A through I of this provision may be grounds for termination of the contract. A breach of paragraphs A through E and I may also be grounds for debarment as provided in 29 CFR 5.6 of the regulations of the Secretary of Labor (29 CFR 5.5(a)(8)).
[Lists of Advisory Circulars incorporated by § 151.72: (a)
| Number | Subject |
|---|---|
| AC 150/5300-3 | Adaptation of TSO-N18 Criterion to Clearways and Stopways. |
| AC 150/5325-2A | Airport Surface Areas Gradient Standards. |
| AC 150/5325-4 | Runway Length Requirements for Airport Design. |
| AC 150/5330-2 | Runway/Taxiway Widths and Clearances. |
| AC 150/5335-1 | Airway Taxiways. |
| AC 150/5340-1A | Marking of Serviceable Runways and Taxiways. |
| AC 150/5340-3 | Configuration Details of In-Runway Lighting: Touchdown Zone, Runway Centerline, and Taxiway Turnoff Lighting Systems. |
| AC 150/5340-4A | Installation Details for Centerline and Touchdown Zone Lighting Systems. |
| AC 150/5340-5 | Segmented Circle Airport Marker System. |
| AC 150/5340-7 | Marking of Deceptive, Closed, and Hazardous Areas on Airports. |
| AC 150/5340-13 | High Intensity Lighting System. |
| AC 150/5340-14 | Economy Approach Lighting Aids. |
| AC 150/5340-15 | Taxiway Lighting System. |
| AC 150/5345-1A | Approved Airport Lighting Equipment. |
| AC 150/5345-2 | Specification for L-810 Obstruction Light. |
| AC 150/5345-3 | Specification for L-821 Airport Lighting Panel for Remote Control of Airport Lighting. |
| AC 150/5345-4 | Specification for L-829 Internally Lighted Airport Taxi Guidance Sign. |
| AC 150/5345-5 | Specification for L-847 Circuit Selector Switch, 5000 Volt 20 Ampere. |
| AC 150/5345-6 | Specification for L-809 Airport Light Base and Transformer Housing. |
| AC 150/5345-7 | Specification for L-824 Underground Electrical Cables for Airport Lighting Circuits. |
| AC 150/5345-8 | Specification for L-840 Low Intensity Runway, Landing Strip and Taxiway Light. |
| AC 150/5345-9A | Specification for L-819 Fixed Focus Bidirectional High Intensity Runway Light. |
| AC 150/5345-10A | Specification for L-828 Constant Current Regulator with Stepless Brightness Control. |
| AC 150/5345-11 | Specification for L-812 Static Indoor Type Constant Current Regulator Assembly, 4 KW and 7
|
| AC 150/5345-12 | Specification for L-801 Beacon for Small Airports. |
| AC 150/5345-13 | Specification for L-841 Auxiliary Relay Cabinet Assembly for Pilot Control of Airport Lighting Circuits. |
| AC 150/5345-14 | Specification for L-827 “A” Frame Hinged Support for 12-Foot Wind Cone. |
| AC 150/5345-15 | Specification for L-842 Airport Centerline Light. |
| AC 150/5345-16 | Specification for L-843 Airport In-Runway Touchdown Zone Light. |
| AC 150/5345-17 | Specification for L-845 Semiflush Inset Prismatic Airport Light. |
| AC 150/5345-18 | Specification for L-811 Static Indoor Type Constant Current Regulator Assembly, 4 KW; With Brightness Control and Runway Selection for Direct Operation. |
| AC 150/5345-19 | Specification for L-838 Semiflush Prismatic Airport Light. |
| AC 150/5345-20 | Specification for L-802 Runway and Strip Light. |
| AC 150/5345-21 | Specification for L-813 Static Indoor Type Constant Current Regulator Assembly; 4 KW and 7
|
| AC 150/5345-22 | Specification for L-834 Individual Lamp Series-to-Series Type Insulating Transformer for 5,000 Volt Series Circuit. |
| AC 150/5345-23 | Specification for L-822 Taxiway Edge Light. |
| AC 150/5345-24 | Specification for L-849 Condenser Discharge Type Flashing Light. |
| AC 150/5345-25 | Specification for L-848 Medium Intensity Approach Light Bar Assembly. |
| AC 150/5345-26 | Specification for L-823 Plug and Receptacle, Cable Connectors. |
| AC 150/5345-27 | Specification for L-807 Eight-Foot Illuminated Wind Cone. |
| AC 150/5345-30 | Specification for L-846 Electrical Wire for Lighting Circuits To Be Installed in Airport Pavements. |
| AC 150/5345-31 | Specification for L-833 Individual Lamp Series-to-Series Type Insulating Transformer for 600 Volt or 3,000 Volt Series Circuits. |
| AC 150/5345-32 | Specification for L-837 Large-Size Light Base and Transformer Housing. |
| AC 150/5345-33 | Specification for L-844 Individual Lamp Series-to-Series Type Insulating Transformer for 5,000 Volt Series Circuit 20/6.6 Amperes 200 Watt. |
| AC 150/5345-34 | Specification for L-839 Individual Lamp Series-to-Series Type Insulating Transformer for 5,000 Volt Series Circuit 6.6/20 Amperes 300 Watt. |
| AC 150/5345-35 | Specification for L-816 Circuit Selector Cabinet Assembly for 600 Volt Series Circuits. |
| AC 150/5345-36 | Specification for L-808 Lighted Wind Tee. |
| AC 150/5345-37A | FAA Specification L-850, Light Assembly, Airport Runway, Centerline. |
| AC 150/5370-3 | Materials and Tests Required by AC 150/5370-1, Standard Specifications for Construction of Airports. |
| AC 150/5310-1 | Preparation of Airport Layout Plans. |
| (b) | |
| AC 150/5370-1 | Standard Specifications for Construction of Airports; $2.75. |
| AC 150/5370-1, CH 1 | Standard Specifications for Construction of Airports; $0.35. |
This part applies to airport planning and development under the Airport and Airway Development Act of 1970, as amended (49 U.S.C. 1701 et seq.).
The following are definitions of terms used throughout this part:
AADA means the Airport and Airway Development Act of 1970, as amended (49 U.S.C. 1701 et seq.).
Air carrier airport means—
(1) An existing public airport regularly served, or a new public airport that the Administrator determines will be regularly served, by an air carrier, other than a charter air carrier, certificated by the Civil Aeronautics Board under section 401 of the Federal Aviation Act of 1958; and
(2) A commuter service airport.
Airport means—
(1) Any area of land or water that is used, or intended for use, for the landing and takeoff of aircraft;
(2) Any appurtenant areas that are used, or intended for use, for airport buildings, other airport facilities, or rights-of-way; and
(3) All airport buildings and facilities located on the areas specified in this definition.
Airport development means—
(1) Any work involved in constructing, improving, or repairing a public airport or portion thereof, including the removal, lowering, relocation, and marking and lighting or airport hazards, and including navigation aids used by aircraft landing at, or taking off from, a public airport, and including safety equipment required by rule or regulation for certification of the airport under section 612 of the Federal Aviation Act of 1958, and security equipment required of the sponsor by the FAA by rule or regulation for the safety and security of persons or property on the airport, and including snow removal equipment, and including the purchase of noise suppressing equipment, the construction of physical barriers, and landscaping for the purpose of diminishing the effect of aircraft noise on any area adjacent to a public airport.
(2) Any acquisition of land or of any interest therein, or of any easement through or other interest in airspace, including land for future airport development, which is necessary to permit any such work or to remove or mitigate or prevent or limit the establishment of, airport hazards; and
(3) Any acquisition of land or of any interest therein necessary to insure that such land is used only for purposes which are compatible with the noise levels of the operation of a public airport.
Airport hazard means any structure or object of natural growth located on or in the vicinity of a public airport, or any use of land near a public airport, that—
(1) Obstructs the airspace required for the flight of aircraft landing or taking off at the airport; or
(2) Is otherwise hazardous to aircraft landing or taking off at the airport.
Airport layout plan means a plan for the layout of an airport, showing existing and proposed airport facilities.
Airport master planning means the development for planning purposes of information and guidance to determine the extent, type, and nature of development needed at a specific airport.
Airport system planning means the development for planning purposes of information and guidance to determine the extent, type, nature, location, and timing of airport development needed in a specific area to establish a viable and balanced system of public airports.
Audit means the examination and verification of part or all of the documentary evidence supporting an item of project cost in accordance with Attachment P of Office of Management and Budget Circular A-102 (44 FR 60958).
Commuter service airport means an air carrier airport—
(1) That is not served by an air carrier certificated under section 401 of the Federal Aviation Act of 1958;
(2) That is regularly served by one or more air carriers operating under an exemption granted by the Civil Aeronautics Board from section 401(a) of the Federal Aviation Act of 1958; and
(3) At which not less than 2,500 passengers were enplaned during the preceding calendar year by air carriers operating under an exemption from section 401(a).
Force account means—
(1) The sponsor's or planning agency's own labor force; or
(2) The labor force of another public agency acting as an agent of the sponsor or planning agency.
General aviation airport means a public airport other than an air carrier airport.
Landing area means an area used, or intended to be used, for the landing, takeoff, or surface maneuvering of aircraft.
NASP means the National Airport System Plan.
National Airport System Plan means the plan for the development of public airports in the United States formulated by the Administrator under section 12 of the AADA.
Nonrevenue producing public-use areas means areas that are directly related to the movement of passengers and baggage in air commerce within the boundaries of the airport.
Passengers enplaned means—
(1) United States domestic, territorial, and international revenue passenger enplanements in scheduled and nonscheduled service of air carriers; and
(2) Revenue passenger enplanements by foreign air carriers in intrastate and interstate commerce.
Planning agency means a planning agency designated by the Administrator that is authorized by the laws of a State, the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, the Trust Territory of the Pacific Islands, or Guam, or by the laws of a political subdivision of any of those entities, to engage in areawide planning for the areas in which assistance under this part is to be used.
Project means a project for the accomplishment of airport development, airport master planning, or airport system planning.
Project costs means any costs involved in accomplishing a project.
Project formulation costs means, with respect to projects for airport development, any necessary costs of formulating a project including—
(1) The costs of field surveys and the preparation of plans and specifications;
(2) The acquisition of land or interests in land, or easement through or other interests in airspace; and
(3) Any necessary administrative or other incidental costs incurred by the sponsor specifically in connection with the accomplishment of a project for airport development, that would not have been incurred otherwise.
Public agency means—
(1) A state, the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, the Trust Territory of the Pacific Islands, the Government of the Northern Marianas, Guam, or any agency of those entities;
(2) A municipality or other political subdivision;
(3) A tax-supported organization; or
(4) An Indian tribe or pueblo.
Public airport means any airport that—
(1) Is used, or intended to be used, for public purposes;
(2) Is under the control of a public agency; and
(3) Has a property interest satisfactory to the Administrator in the landing area.
Reliever airport means a general aviation airport designated by the Administrator as having the primary function of relieving congestion at an air carrier airport by diverting from that airport general aviation traffic.
Runway clear zone means an area at ground level underlying a portion of the approach surface specified in the standards incorporated into this part by § 152.11.
Satisfactory property interest means—
(1) Title free and clear of any reversionary interest, lien, easement, lease, or other encumbrance that, in the opinion of the Administrator would—
(i) Create an undue risk that it might deprive the sponsor of possession or control;
(ii) Interfere with the use of the airport for public airport purposes; or
(iii) Make it impossible for the sponsor to carry out the agreements and convenants in its grant application;
(2) Unless a shorter term is authorized by the Administrator, a lease of not less than 20 years granted to the sponsor by another public agency, or the United States, that has title as described in paragraph (1) of this definition, on terms that the Administrator considers satisfactory;
(3) In the case of an off-airport area, title or an agreement, easement, leasehold or other right or property interest that, in the Administrator's opinion, provides reasonable assurance that the sponsor will not be deprived of its right to use the land for the intended purpose during the period necessary to meet the requirements of the grant agreement; or
(4) In the case of a runway clear zone, an easement or a covenant running with the land, giving the airport operator or owner enough control to rid the clear zone of all airport hazards and prevent the creation of future airport hazards.
Sponsor means any public agency that, whether individually or jointly with one or more other public agencies, submits to the Administrator, in accordance with this part, an application for financial assistance.
Stage development means airport development accomplished under stage construction over not less than two years where the sponsor assures that any development not funded under the initial grant agreement will be completed with or without Federal funds.
State means a State of the United States or the District of Columbia.
Terminal development means airport development in the nonrevenue producing public-use areas which are associated with the terminal and which are directly related to the movement of passengers and baggage in air commerce within the boundaries of the airport, including, but not limited to, vehicles for the movement of passengers between terminal facilities and aircraft.
Unified Planning Work Program means a single document prepared by a local areawide planning agency that identifies all transportation and related planning activities that will be undertaken within the metropolitan area during a one-year or two-year period.
(a) Except as provided in paragraph (b) of this section, any interested person may petition the Regional Director concerned for a temporary or permanent exemption from any requirement of this part.
(b) The Regional Director concerned does not issue an exemption from any rule of this part if the grant of exemption would be inconsistent with a specific provision of, or the purpose of, the AADA, or any other applicable Federal law.
(c) Each petition filed under this section must—
(1) Unless otherwise authorized by the Regional Director concerned, be submitted not less than 60 days before the proposed effective date of the exemption;
(2) Be submitted in duplicate to the FAA Regional Office or Airports District Office having jurisdiction over the area in which the airport is located;
(3) Contain the text or substance of the rule from which the exemption is sought;
(4) Explain the nature and extent of the relief sought; and
(5) Contain any information, views, or arguments in support of the exemption.
(d) The Regional Director concerned either grants or denies the exemption and notifies the petitioner of the decision. The FAA publishes a summary of the grant or denial of petition for exemption in the
The summary includes—
(1) The docket number of the petition;
(2) The name of the petitioner;
(3) A citation of each rule from which relief is requested;
(4) A brief description of the general nature of the relief requested; and
(5) The disposition of the petition.
(e) Official FAA records, including grants and denials of exemptions, relating to petitions for exemption are maintained in current docket form in the Office of the Regional Counsel for the region concerned.
(f) Any interested person may—
(1) Examine any docketed material at the Office of the Regional Counsel, at any time after the docket is established, except material that is ordered withheld from the public under section 1104 of the Federal Aviation Act of 1958 (49 U.S.C. 1504); and
(2) Obtain a photostatic or similar copy of docketed material upon paying the same fee as that prescribed in 49 CFR part 7.
(a) Subject to such terms and conditions as the Administrator may prescribe, a sponsor or a planning agency may submit, with respect to any provision of this part implementing a statutory or administrative requirement imposed on the sponsor or planning agency under the AADA, a certification that the sponsor or planning agency has complied or will comply with the provision, instead of making the showing required.
(b) The Administrator exercises discretion in determining whether to accept a certification.
(c) Acceptance by the Administrator of a certification from a sponsor or planning agency may be rescinded by the Administrator at any time if, in the Administrator's opinion, it is necessary to do so.
(d) If the Administrator determines that it is necessary, the sponsor or planning agency, on request, shall show compliance with any requirement for which a certification was accepted.
Any form needed to comply with this part may be obtained at any FAA Regional Office or Airports District Office.
(a) Mandatory standards. The advisory circulars listed in appendix B to this part are incorporated into this part by reference. The Director, Office of Airport Standards, determines the scope and content of the technical standards to be included in each advisory circular in appendix B, and may add to, or delete from, appendix B any advisory circular or part thereof. Except as provided in paragraph (c) of this section, these guidelines are mandatory standards.
(b) Modification of standards. When necessary to meet local conditions, any technical standard set forth in appendix B may be modified for individual projects, if it is determined that the modifications will provide an acceptable level of safety, economy, durability, and workmanship. The determination and modification may be made by the Director, Office of Airport Standards, or the appropriate Regional Director, in instances where the authority has not been specifically reserved by the Director, Office of Airport Standards.
(c) State standards. Standards established by a state for airport development at general aviation airports in the state may be the standards applicable to those airports when they have been approved by the Director, Office of Airport Standards, or the appropriate Regional Director, in instances where approval authority has not been specifically reserved by the Director, Office of Airport Standards.
(d) Availability of advisory circulars. The advisory circulars listed in appendix B may be inspected and copied at any FAA Regional Office or Airports District Office. Copies of the circulars that are available free of charge may be obtained from any of those offices or from the FAA Distribution Unit, M-443.1, Washington, DC 20590. Copies of the circulars that are for sale may be bought from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402.
This subpart contains requirements and application procedures applicable to airport development and planning projects.
(a) To be eligible to apply for a project for airport development with respect to a particular airport the following requirements must be met:
(1) Each sponsor must be a public agency authorized by law to submit the project application;
(2) If a sponsor is the holder of an airport operating certificate issued for the airport under part 139 of this chapter, it must be in compliance with the requirements of part 139.
(3) When any of the following agreements is applicable to an airport which the sponsor owns or controls, the sponsor must have complied with the agreement, or show to the satisfaction of the Administrator that it will comply or, for reasons beyond its control, cannot comply with the agreement:
(i) Each grant agreement made with it under the Federal Airport Act (49 U.S.C. 1101 et seq.), or the AADA.
(ii) Each convenant in a conveyance to it under section 16 of the Federal Airport Act or section 23 of the AADA.
(iii) Each convenant in a conveyance to it of surplus airport property under section 13(a) of the Surplus Property Act (50 U.S.C. App 1622(g)) or under Regulation 16 of the War Assets Administration.
(4) The sponsor, in the case of a single sponsor, or one or more of the cosponsors must have, or be able to obtain—
(i) Funds to pay all estimated costs of the project that are not to be born by the United States; and
(ii) Satisfactory property interests in the lands to be developed or used as part of, or in connection with, the airport as it will be after the project is completed.
(b) Another public agency may act as agent of the public agency that is to own and operate the airport, for the purpose of channeling grant funds in accordance with state or local law, without becoming a sponsor.
(a) To be eligible to apply for a project for airport planning—
(1) If the project is for airport master planning—
(i) Each sponsor must be a public agency and meet the requirements of § 152.103(a)(3); and
(ii) The sponsor, in the case of a single sponsor, or one or more cosponsors must be legally able to implement the planning, within the existing or proposed airport boundaries, that results from the project study.
(2) If the project is for airport system planning, each sponsor must be a planning agency.
(b) Another public agency or planning agency may act as agent of another public agency or planning agency, for the purpose of channeling grant funds in accordance with state or local law, without becoming a sponsor.
(a) Except in the case of approved stage development, each project for airport development must provide for—
(1) Development of an airport or unit of an airport that is safe, useful, and usable; or,
(2) An additional facility that increases the safety, usefulness, and usability of an airport.
(b) Unless otherwise authorized by the Administrator, a project for airport development must involve more than $25,000 in United States funds.
(c) The development included in a project for airport development must—
(1) In the opinion of the Administrator, be “airport development” as defined in § 152.3;
(2) Be identified as airport development in the mandatory standards incorporated into this part by § 152.11; and
(3) Be described in an approved airport layout plan.
(d) The airport involved in a project for airport development must be included in the current NASP.
(e) In complying with paragraph (a) of this section, the sponsor must—
(1) Own, acquire, or agree to acquire control over, or a property interest in, runway clear zones that the Administrator considers adequate; and
(2) Provide for approach and runway lighting systems satisfactory to the Administrator.
(a) Airport master planning. A proposed project for airport master planning is not approved unless—
(1) The location of the existing or proposed airport is included in the current NASP;
(2) In the opinion of the Administrator, the proposed planning would promote the effective location of public airports and the development of an adequate NASP;
(3) The project is airport master planning as defined in § 152.3;
(4) If the project has been determined to have areawide significance by an appropriate areawide agency, it has been incorporated into a unified planning work program; and
(5) In the case of a proposed project for airport master planning in a large or medium air traffic hub, in the opinion of the Administrator—
(i) There is an appropriate system plan identifying the need for the airport;
(ii) The absence of a system plan is due to the failure of the responsible planning agency to proceed with its preparation; or
(iii) An existing system plan is not acceptable.
(b) Airport system planning. A proposed project for airport system planning is not approved unless—
(1) In the opinion of the Administrator, the project promotes the effective location of public airports;
(2) In the opinion of the Administrator, the project promotes the development of an adequate NASP;
(3) The project is airport system planning as defined in § 152.3; and
(4) When the project encompasses a metropolitan area that includes a large or medium hub airport, the project is incorporated in a unified planning work program.
(a) An eligible sponsor that desires to obtain Federal aid for eligible airport development must apply to the FAA in accordance with this section. The sponsor must apply on a form and in a manner prescribed by the Administrator, through the FAA Airports District Office or Airports Field Office having jurisdiction over the area where the sponsor is located or, where there is no such office, the Regional Office having that jurisdiction.
(b) Preapplication for Federal assistance. A preapplication for Federal assistance must be submitted unless—
(1) The Federal fund request is for $100,000 or less; or,
(2) The project does not include construction, land acquisition, or land improvement.
(c) Unless otherwise authorized by the Administrator, the preapplication required by paragraph (b) of this section must be accompanied by the following:
(1) A list of the items of airport development requested for programming, together with an itemized estimated cost of the work involved.
(2) A sketch or sketches of the airport layout indicating the location for each item of work proposed, using the same item numbers used in the list required by paragraph (c)(1) of this section.
(3) If the proposed project involves the displacement of persons or the acquisition of real property, the assurances required by §§ 25.57 and 25.59, as applicable, of the Regulations of the Office of the Secretary of Transportation (49 CFR 25.57 and 25.59), whether or not reimbursement is being requested for the costs of displacement or real property acquisition.
(4) Any comments or statements required by appendix E, Procedures Implementing Office of Management and Budget Circular A-95, to this part, with a showing that they have been considered by the sponsor.
(5) If the proposed development involves the construction of eligible airport buildings or the acquisition of eligible fixed equipment to be contained in those buildings, a statement whether the proposed development will be in an area of the community that has been identified by the Department of Housing and Urban Development as an area of special flood hazard as defined in the Flood Disaster Protection Act of 1973 (42 U.S.C. 4002 et seq.).
(6) If the proposed development is in an area of special flood hazard, a statement whether the community is participating in the National Flood Insurance Program (42 U.S.C. 4011 et seq.).
(7) The sponsor's environmental assessment prepared in conformance with appendix 6 of FAA Order 1050.1C, “Policies and Procedures for Considering Environmental Impacts” (45 FR 2244; Jan. 10, 1980), and FAA Order 5050.4, “Airport Environmental Handbook” (45 FR 56624; Aug. 24, 1980), if an assessment is required by Order 5050.4. Copies of these orders may be examined in the Rules Docket, Office of the Chief Counsel, FAA, Washington, D.C., and may be obtained on request at any FAA regional office headquarters or any airports district office.
(8) A showing that the sponsor has complied with the public hearing requirements in § 152.117.
(9) In the case of a proposed new airport serving any area that does not include a metropolitan area, a showing that each community in which the proposed airport is to be located has approved the proposed airport site through the body having general legislative jurisdiction over it.
(10) In the case of a proposed project at an air carrier airport, a statement that the sponsor, in making the decision to undertake the project, has consulted with air carriers using the airport.
(11) In the case of a proposed project at a general aviation airport, a statement that the sponsor, in making the decision to undertake the project, has consulted with fixed-base operators using the airport.
(12) In the case of terminal development, a certification that the airport has, or will have, all safety and security equipment required for certification of the airport under part 139 and has provided, or will provide, for access to the passenger enplaning and deplaning area to passengers enplaning or deplaning from aircraft other than air carrier aircraft.
(d) Allocation of funds. If the proposed project for airport development is selected by the Administrator for inclusion in a program, a tentative allocation of funds is made for the project and the sponsor is notified of the allocation. The tentative allocation may be withdrawn if the sponsor does not submit a project application in accordance with paragraph (f) of this section.
(e) Application for Federal assistance. As soon as practicable after receiving notice of a tentative allocation or, if a preapplication is not required (as provided in paragraph (b) of this section), an application for Federal assistance must be submitted.
(f) Unless otherwise authorized by the Administrator, the application required by paragraph (e) of this section must be accompanied by the following:
(1) When a preapplication has not been previously submitted, the information required by paragraph (c) of this section.
(2) A property map of the airport showing—
(i) The property interests of each sponsor in all the lands to be developed or used as part of, or in connection with, the airport as it will be when the project is completed; and
(ii) All property interests acquired or to be acquired, for which U.S. aid is requested under the project.
(3) With respect to all lands to be developed or used as a part of, or in connection with, the airport (as it will be when the project is completed) in which a satisfactory property interest is not held by a sponsor, a covenant by the sponsor that it will obtain a satisfactory property interest before construction is begun or within a reasonable time if not needed for construction.
(4) If the proposed project involves the displacement of persons, the relocation plan required by § 25.55 of the Regulations of the Office of the Secretary of Transportation.
(5) When the project involves an airport location, a runway location, or a major runway extension, a written certification from the Governor of the state in which the project may be located (or a delegatee), providing reasonable assurance that the project will be located, designed, constructed, and operated so as to comply with applicable air and water quality standards.
(6) A statement whether any building, installation, structure, location, or site of operations to be utilized in the performance of the grant or any contract made pursuant to the grant appears on the list of violating facilities distributed by the Environmental Protection Agency under the provisions of the Clean Air Act and Federal Water Pollution Control Act (40 CFR part 15).
(7) The assurances on Civil Rights required by § 21.7 of the Regulations of the Office of the Secretary of Transportation (49 CFR 21.7) and § 152.405.
(8) Plans and specifications for the proposed development in accordance with the design and construction standards listed in appendix B to this part.
(9) The applicable assurances required by appendix D to this part.
(10) If cosponsors are not willing to assume, jointly and severally, the obligations imposed on them by this part and the grant agreement, a statement satisfactory to the Administrator indicating—
(i) The responsibilities of each sponsor with respect to the accomplishment of the proposed project and the operation and maintenance of the airport;
(ii) The obligations each will assume to the United States; and
(iii) The name of the sponsor or sponsors who will accept, receipt for, and disburse grant payments.
(g) Additional documentation. The Administrator may request additional documentation as needed to support specific items of development or to comply with other Federal and local requirements as they pertain to the requested development.
(a) Application for Federal assistance. An eligible sponsor or planning agency that desires to obtain Federal aid for eligible airport master planning or airport system planning must submit an application for Federal assistance, on a form and in a manner prescribed by the Administrator, to the appropriate FAA Airports District Office or Airports Field Office having jurisdiction over the area where the sponsor or planning agency is located or, where there is no such office, the Regional Office having that jurisdiction.
(b) Unless otherwise authorized by the Administrator, the application required by paragraph (a) of this section must be accompanied by the following:
(1) Any comments or statements required by appendix E, Procedures Implementing Office of Management and Budget Circular A-95, to this part.
(2) Budget (project costs) information subdivided into the following functions, as appropriate, and the basis for computation of these costs:
(i) Third party contracts.
(ii) Sponsor force account costs.
(iii) Administrative costs.
(3) A program narrative describing the proposed planning project including—
(i) The objective;
(ii) The results and benefits expected;
(iii) A Work Statement including—
(A) A detailed description of each work element;
(B) A list of each organization, consultant, and key individual who will work on the planning project, and the nature of the contribution of each; and
(C) A proposed schedule of work accomplishment; and
(iv) The geographic location of the airport or the boundaries of the planning area.
(4) If the sponsor proposes to accomplish the project with its own forces or those of another public or planning agency—
(i) An assurance that adequate, competent personnel are available to satisfactorily accomplish the proposed planning project, and
(ii) A description of the qualifications of the key personnel.
(5) If cosponsors are not willing to assume, jointly, and severally, the obligations imposed on them by this part and the grant agreement, a statement satisfactory to the Administrator indicating—
(i) The responsibilities of each sponsor with respect to the accomplishment of the proposed project;
(ii) The obligations each will assume to the United States; and
(iii) The name of the sponsor or sponsors who will accept, receipt for, and disburse grant payments.
(6) The assurances on Civil Rights required by § 21.7 of the Regulations of the Office of the Secretary of Transportation (49 CFR 21.7).
(7) The applicable assurances required by appendix D of this part.
(c) Additional documentation. The Administrator may request additional documentation as needed to support a master plan or system plan, or to comply with other Federal and local requirements as they pertain to the requested plan.
(a) Offer. Upon approving a project for airport development, airport master planning, or airport system planning, the Administrator issues a written offer that sets forth the terms, limitations, and requirements of the proposed agreement.
(b) Acceptance. The acceptance of an offer or an amendment to a grant agreement must be in writing. The sponsor's or planning agency's attorney must certify that the acceptance complies with all applicable law, and constitutes a legal and binding obligation of the sponsor or planning agency.
(c) Amendment: Airport development grants. The maximum obligation of the United States under a grant agreement for an airport development project may be increased by an amendment if—
(1) Except as otherwise provided by the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, the maximum obligation of the United States is not increased by more than 10 percent;
(2) Funds are available for the increase;
(3) The sponsor shows that the increase is justified; and
(4) The change does not prejudice the interest of the United States.
(d) Reduction of U.S. Share: Airport development grants. When project work for which costs have been incurred is deleted from a grant agreement, the Administrator reduces the maximum obligation of the United States proportionately, based on the cost or value of the deleted work as shown on the project application.
(e) Amendment: Airport planning. A grant agreement for airport planning may be changed if—
(1) The change does not increase the maximum obligation of the United States under the grant agreement; and
(2) The change does not prejudice the interest of the United States.
(a) Before submitting a preapplication for Federal assistance for an airport development project involving the location of an airport, an airport runway, or a runway extension, the sponsor must give notice of opportunity for a public hearing, in accordance with paragraph (b) of this section, for the purpose of—
(1) Considering the economic, social, and environmental effects of the location of the airport, the airport runway, or the runway extension; and
(2) Determining the consistency of the location with the goals and objectives of any urban planning that has been carried out by the community.
(b) The notice of opportunity for public hearing must—
(1) Include a concise statement of the proposed development;
(2) Be published in a newspaper of general circulation in the communities in or near which the project may be located;
(3) Provide a minimum of 30 days from the date of the notice for submission of requests for a hearing by persons having an interest in the economic, social, or environmental effects of the project; and
(4) State that a copy is available of the sponsor's environmental assessment, if one is required by appendix 6 of FAA Order 1050.1C, “Policies and Procedures for Considering Environmental Impacts” (45 FR 2244; Jan. 10, 1980), and FAA Order 5050.4, “Airport Environmental Handbook” (45 FR 56624; Aug. 25, 1980), and will remain available, at the sponsor's place of business for examination by the public for a minimum of 30 days, beginning with the date of the notice, before any hearing held under the notice.
(c) A public hearing must be provided if requested. If a public hearing is to be held, the sponsor must publish a notice of that fact, in the same newspaper in which the notice of opportunity for a hearing was published.
(d) The notice required by paragraph (c) of this section must—
(1) Be published not less than 15 days before the date set for the hearing;
(2) Specify the date, time, and place of the hearings;
(3) Contain a concise description of the proposed project; and
(4) Indicate where and at what time more detailed information may be obtained.
(e) If a public hearing is held, the sponsor must—
(1) Provide the Administrator a summary of the issues raised, the alternatives considered, the conclusion reached, and the reasons for that conclusion; and
(2) If requested by the Administrator before the hearing, prepare a verbatim transcript of the hearing for submission to the Administrator.
(f) If a hearing is not held the sponsor must submit with its preapplication a certification that notice of opportunity for a hearing has been provided in accordance with this section and that no request for a public hearing has been received.
To the extent applicable, all grant agreements, contracts, and subcontracts involving airport development projects or airport planning must be in accordance with the contract requirements in appendices A and C, as applicable, and the procurement standards in Attachment O of Office of Management and Budget Circular A-102 (42 FR 45828).
This subpart contains the requirements for funding projects for airport development, airport master planning, and airport system planning.
(a) Airport development. To be an allowable project cost, for the purposes of computing the amount of an airport development grant, an item that is paid or incurred must, in the opinion of the Administrator—
(1) Have been necessary to accomplish airport development in conformity with—
(i) The approved plans and specifications for an approved project; and
(ii) The terms of the grant agreement for the project;
(2) Be reasonable in amount (subject to partial disallowance to the extent the Administrator determines it is unreasonable);
(3) Have been incurred after the date the grant agreement was executed, except that project formulation costs may be allowed even though they were incurred before that date;
(4) Be supported by satisfactory evidence;
(5) Have not been included in an airport planning grant; and
(6) Be a cost determined in accordance with the cost principles for State and local governments in Federal Management Circular 74-4 (39 FR 27133; 43 FR 50977).
(b) Airport Planning. To be an allowable project cost, for the purposes of computing the amount of an airport planning grant, an item that is paid or incurred must, in the opinion of the Administrator—
(1) Have been necessary to accomplish airport planning in comformity with an approved project and the terms of the grant agreement for the project;
(2) Be reasonable in amount;
(3) Have been incurred after the date the grant agreement was entered into, except for substantiated and reasonable costs incurred in designing the study effort;
(4) Be supported by satisfactory evidence; and
(5) Be figured in accordance with Federal Management Circular 74-4 (39 FR 27133; 43 FR 50977).
(a) Airport development. Except as provided in paragraphs (b) and (c) of this section, the following is the United States share of the allowable cost of an airport development project approved for the specified year:
(1) 90 percent in the case of grants made from funds for fiscal years 1976, 1977, and 1978, and grants from funds for fiscal year 1980 made after February 17, 1980, for—
(i) Each air carrier airport, other than a commuter service airport, which enplanes less than one quarter of one percent of the total annual passengers enplaned as determined for purposes of making the latest annual apportionment under section 15(a)(3) of the AADA;
(ii) Each commuter service airport; and
(iii) Each general aviation or reliever airport.
(2) 80 percent in the case of grants made from funds for fiscal year 1979 and grants from funds for fiscal year 1980 made before February 18, 1980, for the airports specified in paragraph (a)(1) of this section.
(3) 75 percent in the case of grants made from funds for fiscal years 1976 through 1980 for airports other than those specified in paragraph (a)(1) of this section.
(b) In a State in which the unappropriated and unreserved public lands and nontaxable Indian lands, both individual and tribal, are more than five percent of the total land in that State, the United States' share under paragraph (a) of this section—
(1) Except as provided in paragraph (b)(2) of this section, shall be increased by the smaller of—
(i) 25 percent; or
(ii) A percentage (rounded to the nearest one-tenth of a percent) equal to one-half of the percentage which the area of those lands is of the total land area of the state; and
(2) May not exceed the greater of—
(i) The percentage share determined under paragraph (a) of this section; or
(ii) The percentage share applying on June 30, 1975, as determined under paragraph (b)(1) of this section.
(c) In the case of terminal development, the United States share shall be 50 percent.
(d) Airport planning. The United States share of the allowable project costs of an airport planning project shall be—
(1) In the case of an airport master plan, that percent for which a project for airport development at that airport would be eligible;
(2) In the case of an airport system plan, 75 percent.
Unless otherwise authorized by the Administrator, when a release has been granted authorizing the sponsor to dispose of land acquired with assistance under part 151 of this chapter or this part, or through conveyances under the Surplus Property Act, the proceeds realized from the disposal may not be used as matching funds for any airport development project or airport planning grant, but may be used for any other airport purpose.
(a) An application for a grant payment is made on a form and in a manner prescribed by the Administrator, and must be accompanied by any supporting information, that the FAA needs to determine the allowability of any costs for which payment is requested.
(b) Methods of payment. Grant payments to sponsors and planning agencies will be made by—
(1) Letter of credit;
(2) Advance by Treasury check; or
(3) Reimbursement by Treasury checks.
(c) Letter of credit funding. Letter of credit funding may not be used unless—
(1) There is or will be a continuing relationship between a sponsor or planning agency and the FAA for at least a 12-month period and the total amount of advances to be received within that period is $120,000 or more;
(2) The sponsor or planning agency has established or demonstrated to the FAA the willingness and ability to establish procedures that will minimize the time elapsing between the transfer of funds and their disbursement by the grantee; and
(3) The sponsor's or planning agency's financial management system meets the standards for fund control and accountability prescribed in Attachment G of Office of Management and Budget Circular A-102 (42 FR 45828).
(d) Advance by Treasury check. Advance of funds by Treasury check may be made subject to the following conditions—
(1) The sponsor or planning agency meets the requirements of paragraphs (c) (2) and (3) of this section;
(2) The timing and amount of cash advances are as close as administratively feasible to actual disbursements by the sponsor or planning agency; and
(3) Except as provided in paragraph (e) of this section, in the case of an airport development project, advance payments do not exceed the estimated project costs of the airport development expected to be accomplished within 30 days after the date of the sponsor's application for the advance payment.
(e) No advance payment for airport development projects may be made in an amount that would bring the aggregate amount of all partial payments to more than the lower of the following:
(i) 90 percent of the estimated United States' share of the total estimated cost of all airport development included in the project, but not including contingency items; or
(ii) 90 percent of the maximum obligation of the United States as stated in the grant agreement.
(f) Reimbursement by Treasury check. Reimbursement by Treasury check will be made if the sponsor or planning agency does not meet the requirements of paragraphs (c) (2) and (3) of this section.
(g) Withholding of payments. Payment to the sponsor or planning agency may be withheld at any time during the grant period under the following circumstances:
(1) The sponsor or planning agency has failed to comply with the program objectives, grant award conditions, or Federal reporting requirements.
(2) The sponsor or planning agency is indebted to the United States and collection of the indebtedness will not impair accomplishment of the objectives of any grant program sponsored by the United States.
(3) The sponsor or planning agency has withheld payment to a contractor to assure satisfactory completion of work. Payment will be made to the sponsor or planning agency when it has made final payment to the contractor, including the amounts withheld.
(h) Labor violations. If a contractor or a subcontractor fails or refuses to comply with the labor provisions of a contract under a grant agreement for an airport development project, further grant payments to the sponsor are suspended until—
(1) The violations are corrected;
(2) The Administrator determines the allowability of the project costs to which the violations relate; or
(3) If the violations consist of underpayments to labor, the sponsor furnishes satisfactory assurances to the FAA that restitution has been or will be made to the affected employees.
(i) Excess payments. Upon determination of the allowability of all project costs of a project, if it is found that the total of grant payments to the sponsor or planning agency was more than the total United States share of the allowable costs of the project, the sponsor or planning agency shall promptly return the excess to FAA.
If an approved project for airport development includes land acquisition as an item for which payment is requested, the sponsor may apply to the FAA for payment of the United States share of the allowable project costs of the acquisition, after—
(a) The Administrator determines that the sponsor has acquired satisfactory title to the land; or
(b) In the case of a request for advance payment under § 152.209(d), the Administrator is assured that a satisfactory title will be acquired.
(a) Program income. Sponsors or planning agencies that are units of local government shall return all interest earned on advances of grant-in-aid funds to the Federal Government in accordance with a decision of the Comptroller General (42 Comp. Gen. 289). All other program income (gross income) earned by grant-supported activities during the grant period shall be retained by the sponsor and, if required by the grant agreement—
(1) Be added to funds committed to the project by the FAA and the sponsor and used to further eligible program objectives; or
(2) Be deducted from the total project cost for the purpose of determining the net costs on which the Federal share of costs will be based.
(b) Financial reports. The sponsor or planning agency shall furnish, within 90 days after completion of all items in a grant, all reports, including financial performance reports, required as a condition of the grant.
(c) Project completion. When the project for airport development or planning is completed in accordance with the grant agreement, the sponsor or planning agency may apply for payment for all incurred costs, as follows:
(1) Airport development. When allowability of costs can be determined under § 152.203, payment may be made to the sponsor if—
(i) A final inspection of all work at the airport site has been made jointly by the appropriate FAA office and representatives of the sponsor and the contractor, unless that office agrees to a different procedure for final inspection; and
(ii) The sponsor has furnished final “as constructed” plans, unless otherwise agreed to by the Administrator.
(2) Airport planning. When the final planning report has been received and accepted by the FAA.
(d) Property accounting reports: Airport development projects. The sponsor of an airport development project shall account for any property acquired with grant funds or received from the United States, in accordance with the provisions of Attachment N of Office of Management and Budget Circular A-102 (42 FR 45828).
(e) Final determination of U.S. share. Based upon an audit or other information considered sufficient in lieu of an audit, the Administrator determines the total amount of the allowable project costs and makes settlement for any adjustments to the Federal share of costs.
This subpart contains accounting and reporting requirements applicable to—
(a) Each sponsor of a project for airport development;
(b) Each sponsor of a project for airport master planning; and
(c) Each planning agency conducting a project for airport system planning.
Each sponsor or planning agency shall establish and maintain a financial management system that meets the standards of Attachment G of Office of Management and Budget Circular A-102 (42 FR 45828).
(a) Airport development. Each sponsor of a project for airport development shall establish and maintain, for each individual project, an accounting record satisfactory to the Administrator which segregates cost information into the cost classifications set forth in Standard Form 271 (42 FR 45841).
(b) Airport planning. Each sponsor of a project for airport master planning and each planning agency conducting a project for airport system planning shall establish and maintain, for each planning project, an adequate accounting record that segregates and groups direct and indirect cost information in the following classifications:
(1) Third party contract costs.
(2) Force account costs.
(3) Administrative costs.
Each sponsor or planning agency shall retain, for a period of 3 years after the date of submission of the final expenditure report—
(a) Documentary evidence, such as invoices, cost estimates, and payrolls, supporting each item of project costs; and
(b) Evidence of all payments for items of project costs, including vouchers, cancelled checks or warrants, and receipts for cash payments.
(a) The sponsor or planning agency shall allow any authorized representative of the Administrator, the Secretary of Transportation, or the Comptroller General of the United States access to any of its books, documents, papers, and records that are pertinent to grants received under this part for the purposes of accounting and audit.
(b) The sponsor or planning agency shall allow appropriate FAA or DOT representatives to make progress audits at any time during the project, upon reasonable notice to the sponsor or planning agency.
(c) It audit findings have not been resolved, the applicable records shall be retained by the sponsor or planning agency until those findings have been resolved.
(d) Records for nonexpendable property that was acquired with Federal funds shall be retained for three years after final disposition of the property.
(e) Microfilm copies of original records may be substituted for original records with the approval of the FAA.
(f) If the FAA determines that certain records have long-term retention value, the FAA may require transfer of custody of those records to the FAA.
The sponsor or planning agency shall include in each contract of the cost reimbursable type a clause that allows any authorized representative of the Administrator, the Secretary of Transportation, or the Comptroller General of the United States access to the contractor's records pertinent to the contract for the purposes of accounting and audit.
(a) The sponsor shall establish and maintain property management standards in accordance with Attachment N of Office of Management and Budget Circular A-102 (42 FR 45828) for the utilization and disposition of property furnished by the Federal Government, or acquired in whole or in part by the sponsor with Federal funds.
(b) A sponsor may use its own property management standards and procedures as long as the standards required by paragraph (a) of this section are included.
(a) Except as provided in paragraph (b) of this section each sponsor or planning agency shall submit all financial reports on an accrual basis.
(b) If records are not maintained on an accrual basis by a sponsor or planning agency, reports may be based on an analysis of records or best estimates.
When funds are advanced to a sponsor or planning agency by Treasury check, the sponsor or planning agency shall submit the report form prescribed by the Administrator within 15 working days following the end of the quarter in which check was received.
(a) The sponsor or planning agency shall monitor performance under the project to ensure that—
(1) Time schedules are being met;
(2) Work units projected by time periods are being accomplished; and,
(3) Other performance goals are being achieved.
(b) Reviews shall be made for—
(1) Each item of development or work element included in the project; and
(2) All other work to be performed as a condition of the grant agreement.
(c) Airport development. Unless otherwise requested by the Administrator, the sponsor of a project for airport development shall submit a performance report, on an annual basis, that must include—
(1) A comparison of actual accomplishments to the goals established for the period, made, if applicable, on a quantitative basis related to cost data for computation of unit costs;
(2) The reasons for slippage in each case where an established goal was not met; and
(3) Other pertinent information including, when appropriate, an analysis and explanation of each cost overrun and high unit cost.
(d) Airport planning. The sponsor of a project for airport master planning or a planning agency conducting a project for airport system planning shall submit a performance report, on a quarterly basis, that must include:
(1) A comparison of actual accomplishments to the goals established for the period, made, if applicable, on a quantitative basis related to costs for computation of work element costs;
(2) Reasons for slippage in each case where an established goal was not met; and
(3) Other pertinent information including, when appropriate, an analysis and explanation of each cost overrun and high work element cost.
(a) The sponsor or planning agency shall promptly notify the FAA of each condition or event that may delay or accelerate accomplishment of the project.
(b) In the event that delay is anticipated, the notice required by paragraph (a) of this section must include—
(1) A statement of actions taken or contemplated; and
(2) Any Federal assistance needed.
(a) If any performance review conducted by the sponsor discloses a need for change in the budget estimates, the sponsor shall submit a request for budget revision on a form prescribed by the Administrator.
(b) A request for prior approval for budget revision shall be made promptly by the sponsor whenever—
(1) The revision results from changes in the scope or objective of the project; or
(2) The revision increases the budgeted amounts of Federal funds needed to complete the project.
(c) The sponsor shall promptly notify the FAA whenever the amount of the grant is expected to exceed the needs of the sponsor by more than $5,000, or 5 percent of the grant amount, whichever is greater.
Each sponsor of a project for airport master planning and each planning agency conducting a project for airport system planning shall submit a financial status report on a form prescribed by the Administrator at the completion of the project.
(a) This subpart is applicable to all grantees and other covered organizations under this part, and implements the requirements of section 30 of the Airport and Airway Development Act of 1970, which provides:
(b) Each grantee, covered organization, or covered suborganization under this part shall negotiate reformation of any contract, subcontract, lease, sublease, or other agreement to include any appropriate provision necessary to effect compliance with this subpart by July 17, 1980.
As used in this subpart—
AADA means the Airport and Airway Development Act of 1970, as amended (49 U.S.C. 1701 et seq.).
Affirmative action plan means a set of specific and result-oriented procedures to which a sponsor, planning agency, state, or the aviation related activity on an airport commits itself to achieve equal employment opportunity.
Airport development means—(1) Any work involved in constructing, improving, or repairing a public airport or portion thereof, including the removal, lowering, relocation, and marking and lighting of airport hazards, and including navigation aids used by aircraft landing at, or taking off from, a public airport, and including safety equipment required by rule or regulation for certification of the airport under section 612 of the Federal Aviation Act of 1958, and security equipment required of the sponsor by the Secretary by rule or regulation for the safety and security of persons and property on the airport, and including snow removal equipment, and including the purchase of noise suppressing equipment, the construction of physical barriers, and landscaping for the purpose of diminishing the effect of aircraft noise on any area adjacent to a public airport;
(2) Any acquisition of land or of any interest therein, or of any easement through or other interest in airspace, including land for future airport development, which is necessary to permit any such work or to remove or mitigate or prevent or limit the establishment of, airport hazards; and
(3) Any acquisition of land or of any interest therein necessary to insure that such land is used only for purposes which are compatible with the noise levels of the operation of a public airport.
Aviation related activity means a commercial enterprise—(1) Which is operated on the airport pursuant to an agreement with the grantee or airport operator or to a derivative subagreement;
(2) Which employs persons on the airport; and
(3) Which—(i) Is related primarily to the aeronautical activities on the airport;
(ii) Provides goods or services to the public which is attracted to the airport by aeronautical activities;
(iii) Provides services or supplies to other aeronautical related or public service airport businesses or to the airport; or
(iv) Performs construction work on the airport.
Aviation workforce includes, with respect to grantees, each person employed by the grantee on an airport or, for an aviation purpose, off the airport.
Covered organization means a grantee, a subgrantee, or an aviation related activity.
Covered suborganization is a subgrantee or sub-aviation related activity, of a covered organization.
Department means the United States Department of Transportation;
Grant means Federal financial assistance in the form of funds provided to a sponsor, planning agency, or state under this part;
Grantee means the recipient of a grant.
Minority means a person who is—(1) Black and not of Hispanic origin: A person having origins in any of the black racial groups of Africa;
(2) Hispanic: A person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race;
(3) Asian or Pacific Islander: A person having origins in any or the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands, including, but not limited to China, Japan, Korea, the Philippine Islands, and Samoa; or
(4) American Indian or Alaskan Native: A person having origins in any of the original peoples of North America who maintains cultural identification through tribal affiliation or community recognition.
Planning agency means any planning agency designated by the Secretary which is authorized by the laws of the State or States (including the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, the Trust Territory of the Pacific Islands, and Guam) or political subdivisions concerned to engage in areawide planning for the area in which assistance under this part is to be used;
Secretary means the Secretary of Transportation or an authorized representative of the Secretary within the Department of Transportation;
SMSA means Standard Metropolitan Statistical Area.
Sponsor means any public agency that, either individually or jointly with one or more other public agencies, submits to the Administrator, in accordance with this part, an application for financial assistance, or that conducts a project for airport development or airport master planning, funded under this part;
Underutilization means having fewer minorities or women in a particular job group than would reasonable be expected from their availability in—
(1) The SMSA; or
(2) In the absence of a defined SMSA, in the counties contiguous to the employer's location, or the location where the work is to be performed, and in the areas from which persons may reasonably be expected to commute.
The following assurances shall be included in each application for financial assistance under this part:
(a) Assurance. The grantee assures that it will undertake an affirmative action program, as required by 14 CFR part 152, subpart E, to ensure that no person shall, on the grounds of race, creed, color, national origin, or sex, be excluded from participating in any employment, contracting, or leasing activities covered in 14 CFR part 152, subpart E. The grantee assures that no person shall be excluded, on these grounds, from participating in or receiving the services or benefits of any program or activity covered by this subpart. The grantee assures that it will require that its covered organizations provide assurances to the grantee that they similarly will undertake affirmative action programs and that they will require assurances from their suborganizations, as required by 14 CFR part 152, subpart E, to the same effect.
(b) Assurance. The grantee agrees to comply with any affirmative action plan or steps for equal employment opportunity required by 14 CFR part 152, subpart E, as part of the affirmative action program, and by any Federal, State, or local agency or court, including those resulting from a conciliation agreement, a consent decree, court order, or similar mechanism. The grantee agrees that State or local affirmative action plans will be used in lieu of any affirmative action plan or steps required by 14 CFR part 152, subpart E, only when they fully meet the standards set forth in 14 CFR 152.409. The grantee agrees to obtain a similar assurance from its covered organizations, and to cause them to require a similar assurance of their covered suborganizations, as required by 14 CFR part 152, subpart E.
(a) Except as provided in paragraph (b) of this section, each of the following shall have an affirmative action plan that meets the requirements of § 152.409 and is kept on file for review by the FAA Office of Civil Rights:
(1) Each sponsor who employs 50 or more employees in its aviation workforce.
(2) Each planning Agency which employs 50 or more employees in its agency for aviation purposes.
(3) Each state political division, administering a grant under the AADA to develop standards for airport development at general aviation airports, which employs 50 or more employees in its aviation workforce.
(b) A grantee is in compliance with paragraph (a) of this section, if it is subject to, and keeps on file for review by the FAA Office of Civil Rights, one of the following:
(1) An affirmative action plan acceptable to another Federal agency.
(2) An affirmative action plan for a State or local agency that the covered organization certifies meets the standards in § 152.409.
(3) A conciliation agreement, consent decree, or court order which provides short and long-range goals for equal employment opportunity similar to those which would be established in an affirmative action plan meeting the standards in § 152.409.
(c) Each sponsor shall require each aviation related activity (other than construction contractors) which employs 50 or more employees on the airport to prepare, and keep on file for review by the FAA Office of Civil Rights, an affirmative action plan developed in accordance with the standards in § 152.409, unless the activity is subject to one of the mechanisms described in paragraphs (b) (1) through (3) of this section.
(d) Each sponsor shall require each aviation related activity described in paragraph (c) of this section to similarly require each of its covered suborganizations (other than construction contractors) which employs 50 or more employees on the airport to prepare, and to keep on file for review by the FAA Office of Civil Rights, an affirmative action plan developed in accordance with the standards in § 152.409, unless the suborganization is subject to one of the mechanisms described in paragraphs (b) (1) through (3) of this section.
(a) Each affirmative action plan required by this subpart shall be developed in accordance with the following:
(1) An analysis of the employer's aviation workforce which groups employees into the following job categories:
(i) Officials and managers.
(ii) Professionals.
(iii) Technicians.
(iv) Sales workers.
(v) Office and clerical workers.
(vi) Craft workers (skilled).
(vii) Operatives (semi-skilled).
(viii) Laborers (unskilled).
(ix) Service workers.
(2) A comparison separately made of the percent of minorities and women in the employer's present aviation workforce (in each of the job categories listed in paragraph (a)(1) of this section) with the percent of minorities and women in each of those categories in the total workforce located in the SMSA, or, in the absence of an SMSA, in the counties contiguous to the employer's location or the location where the work is to be performed and in the areas from which persons may reasonably be expected to commute. This data on the total workforce of the applicable area will be supplied to grantees by the FAA. Grantees shall make this data available to the other organizations covered by this subpart. The comparison for minorities must be made only when minorities constitute at least 2 percent of the total workforce in the geographical area used for the comparison.
(3) A comparison, for the aviation workforce, of the total number of applicants and persons hired with the total number of minority and female applicants, and minorities and females hired, for the past year. Where this data is unavailable, the employer shall establish and maintain a system to provide the data, and shall make the comparison 120 days after establishing the data system.
(4) Where the percentage of minorities and women in the employer's aviation workforce, in each job category, is less than the minority and female percentage in any job category in the workforce of the geographical area used, an analysis, based on the comparison required by paragraph (a)(3) of this section, determining whether any of the following exists:
(i) Insufficient flow of minority and female applicants.
(ii) Disparate rejection of minority and female applicants. The FAA generally considers disparate rejection to exist whenever a selection rate for any race, sex, or ethnic group is less than 80 percent of the rate for the race, sex, or ethnic group with the highest selection rate.
(b) Each affirmative action plan required by this part shall be implemented through an action-oriented program with goals and timetables designed to eliminate obstacles to equal opportunity for women and minorities in recruitment and hiring, which shall include, but not be limited to:
(1) Where disparate rejection of minority and female applicants is indicated by the analysis required by paragraph (a)(4) of this section, validation of those portions of the testing or selection procedures which cause the disparity in accordance with the “Uniform Guidelines on Employee Selection” (43 FR 38290; August 25, 1978), within 120 days of the analysis.
(2) Where testing or selection procedures cannot be validated, discontinuation of their use.
(3) Where an insufficient flow of minority and female applicants (less than the percentage available) is indicated by the analysis required by paragraph (a)(4) of this section, good faith efforts to increase the flow of minority and female applicants through the following steps, as appropriate:
(i) Development or reaffirmation of an equal opportunity policy and dissemination of that policy internally and externally.
(ii) Contact with minority and women's organizations, schools with predominant minority or female enrollments, and other recruitment sources for minorities and women.
(iii) Encouragement of State and local employment agencies, unions, and other recruiting sources to ensure that minorities and women have ample information on, and opportunity to apply for, vacancies and to participate in examinations.
(iv) Participation in special employment programs such as Co-operative Education Programs with predominantly minority and women's colleges, “After School” or Work Study programs, and Summer Employment.
(v) Participation in “Job Fairs.”
(vi) Participation of minority and female employees in Career Days, Youth Motivation Programs, and counseling and related activities in the community.
(vii) Encouragement of minority and female employees to refer applicants.
(viii) Motivation, training, and employment programs for minority and female hard-core unemployed.
(a) Each grantee which is not described in § 152.407(a) and is not subject to an affirmative action plan, regulatory goals and timetables, or other mechanism providing for short and long-range goals for equal employment opportunity, shall make good faith efforts to recruit and hire minorities and women for its aviation workforce as vacancies occur, by taking the affirmative action steps in § 152.409(b)(3), as follows:
(1) If it has 15 or more employees in its aviation workforce or employed for aviation purposes, by taking the affirmative action steps in § 152.409(b)(3), as appropriate; or
(2) If it has less than 15 employees in its aviation workforce or employed for aviation purposes, by taking the affirmative action steps in § 152.409(b)(3) (i) and (ii), as appropriate.
(b) Except as provided in paragraph (c) of this section, each sponsor shall require each of its aviation related activities on its airport, that is not subject to an affirmative action plan, regulatory goals and timetables, or other mechanism which provides short and long-range goals for equal employment opportunity, to take affirmative action steps and cause them to similarly require affirmative action steps of their covered suborganizations, as follows:
(1) Each aviation related activity or covered suborganization with less than 50 but more than 14 employees, must take the affirmative action steps enumerated in § 152.409(b)(3), as appropriate.
(2) Each aviation related activity or covered suborganization with less than 15 employees, must take the affirmative action steps enumerated in § 152.409(b)(3) (i) and (ii), as appropriate.
(c) Each sponsor shall require each construction contractor, that has a contract of $10,000 or more on its airport and that is not subject to an affirmative action plan, regulatory goals or timetables, or other mechanism which provides short and long-range goals for equal employment opportunity, to take the following affirmative action steps:
(1) The contractor must establish and maintain a current list of minority and female recruitment sources; provide written notification to these recruitment sources and to community organizations when employment opportunities are available; and maintain a record of each organization's response.
(2) The contractor must maintain a current file of the names, addresses, and telephone numbers of each minority and female walk-in applicant and each referral from a union, a recruitment source, or community organization and the action taken with respect to each individual. Where an individual is sent to the union hiring hall for referral, but not referred back to the contractor, or, if referred, not employed by the contractor, this shall be documented. The documentation shall include an explanation of, and information on, any additional actions that the contractor may have taken.
(3) The contractor must disseminate its equal employment opportunity policy internally—
(i) By providing notice of the policy to unions and training programs;
(ii) By including it in policy manuals and collective bargaining agreements;
(iii) By publicizing it in the company newspaper, report, or other publication; and
(iv) By specific review of the policy with all management personnel and with all employees at least once a year.
(4) The contractor must disseminate the contractors's equal employment opportunity policy externally—
(i) By stating it in each employment advertisement in the news media, including news media with high minority and female readership; and
(ii) By providing written notification to, or participating in discussions with, other contractors and subcontractors with whom the contractor does business.
(5) The contractor must direct its recruitment efforts to minority and female organizations, to schools with minority and female students, and to organizations which recruit and train minorities and women, in the contractor's recruitment area.
(6) The contractor must encourage present minority and female employees to recruit other minorities and women.
(7) The contractor must, where possible, provide after school, summer, and vacation employment to minority and female youth.
(d) Each sponsor shall require each of its prime construction contractors on its airport, with a contract of $10,000 or more, to require each of the contractor's subcontractors on the airport to comply with the affirmative action steps in paragraph (c) of this section, with which it does not already comply, unless the subcontractor is subject to an affirmative action plan, regulatory goals or timetables, or other mechanism which provides short and long-range goals for equal employment opportunity, or the subcontract is less than $10,000.
Each grantee shall give adequate notice to employees and applicants for employment, through posters provided by the Secretary, that the FAA is committed to the requirements of section 30 of the AADA, to ensure that no person shall, on the grounds of race, creed, color, national origin, or sex, be excluded from participating in any activity conducted with funds authorized under this part.
(a) Each grantee shall keep on file for a period of three years or for the period during which the Federal financial assistance is made available, whichever is longer, reports (other than those transmitted to the FAA), records, and affirmative action plans, if applicable, that will enable the FAA Office of Civil Rights to ascertain if there has been and is compliance with this subpart.
(b) Each sponsor shall require its covered organizations to keep on file, for the period set forth in paragraph (a) of this section, reports (other than those submitted to the FAA), records, and affirmative action plans, if applicable, that will enable the FAA Office of Civil Rights to ascertain if there has been and is compliance with this subpart, and shall cause them to require their covered suborganizations to keep similar records as applicable.
(c) Each grantee, employing 15 or more person, shall annually submit to the FAA a compliance report on a form provided by the FAA and a statistical report on a Form EEO-1 of the Equal Employment Opportunity Commission (EEOC) or any superseding EEOC form. If a grantee already is submitting a Form EEO-1 to another agency, the grantee may submit a copy of that form to the FAA as its statistical report. The information provided shall include goals and timetables, if established in compliance with the requirements of § 152.409 or with the requirements of another Federal agency or a State or local agency.
(d) Each sponsor shall—
(1) Require each of its aviation-related activities (except construction contractors), employing 15 or more persons, to annually submit to the sponsor the reports required by paragraph (c) of this section, on the same basis as stated in paragraph (c) of this section, and shall cause each aviation-related activity to require its covered suborganizations, with 15 or more employees, to annually submit the reports required by paragraph (c) of this section through the prime organization to the sponsor, for transmittal by the sponsor to the FAA.
(2) Annually collect from its aviation related activities employing less than 15 employees, and transmit to the FAA an aggregate employment report, that includes the employment of sponsors with less than 15 employees, on an EEO-1 or any superseding EEOC form.
(e) Each sponsor shall require each of its construction contractors on its airport, with a contract of $10,000 or more, which is not subject to E.O. 11246 and the regulations of the Department of Labor (DOL), to submit to the sponsor, at the conclusion of the project, a compliance report on a form provided by the FAA and a statistical report on a DOL Form 257 or any superseding DOL form. For projects exceeding six months, the sponsor shall require a midway compliance report. The sponsor shall submit these reports to the FAA.
(f) Each sponsor shall cause each of its construction contractors on its airport to require each of the contractor's subcontractors, with a subcontract of $10,000 or more, which are not subject to E.O. 11246 and the regulations of the DOL, to submit the reports required by paragraph (e) of this section to the prime contractor for submission to the sponsor. The sponsor shall transmit these reports to the FAA.
(g) Each organization required to prepare an affirmative action plan for the FAA under this subpart shall update it annually and as changed circumstances require. Each organization that has prepared a plan in compliance with the requirements of another Federal agency or a State or local agency, shall update it in accordance with the requirements of that agency.
(a) Each grantee shall allow the FAA Office of Civil Rights to monitor its equal employment opportunity compliance with this subpart through on-site reviews and desk audits. Reviews or audits will include the records submitted under § 152.415.
(b) As it deems necessary, the FAA Office of Civil Rights will conduct on-site or desk audits of covered aviation related activities on airports.
Each person subject to this subpart is required to comply with the Minority Business Enterprise Regulations of the Department.
Requirements relating to the provision of public accommodations, services, and other benefits to beneficiaries under Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.) and part 21 of the regulations of the Office of the Secretary of Transportation (49 CFR part 21) implementing Title VI are made applicable, where appropriate, to nondiscrimination and affirmative action on the basis of sex or creed, and shall be complied with by each applicant for assistance and each grantee.
(a) Complaints. Any person who believes that he or she has been subjected to discrimination prohibited by this subpart may personally, or through a representative, file a complaint with the Director of the Departmental Office of Civil Rights. A complaint must be in writing and filed not later than 180 days after the date of the alleged discrimination, unless the time for filing is extended by the Director.
(b) Investigations and informal resolutions. The Departmental Office of Civil Rights will make a prompt investigation whenever a complaint, compliance review, report, or any other information indicates a possible failure to comply with this subpart. The procedures in 49 CFR part 21, augmented as appropriate by the investigative procedures of part 13 of this chapter, will be followed, except that—
(1) Compliance with a regulation of the Department applicable to minority business enterprise will be investigated and enforced through the procedures contained in that regulation; and
(2) Except as provided in paragraph (c) of this section, allegations of noncompliance with regulations governing equal employment opportunity of another Federal agency or a State or local agency, will be referred, for investigation and enforcement, to the Federal agency or, in the discretion of the Departmental Office of Civil Rights, to the State or local agency.
(c) When the FAA (under section 30 of the AADA) and another Federal agency, a referral agency recognized by the Equal Employment Opportunity Commission, or a court have concurrent jurisdiction over a matter—
(1) If the other agency or court makes a finding on the record that noncompliance or discrimination has occurred, the FAA will accept the finding, and determine what sanctions or remedies are appropriate under section 30 as a result of the finding, after permitting the party against whom the finding was made to be heard on the determination of the sanctions or remedies; or
(2) If it appears that delay, through referral to another agency, will result in the continued expenditure of Federal funds under this part without compliance with this subpart, the Secretary may—
(i) Investigate the matter;
(ii) Make a determination as to compliance with section 30; and
(iii) Impose appropriate sanctions and remedies.
(d) Nothing in this section shall preclude the Director of the Departmental Office of Civil Rights from initiating an investigation when it appears that the investigation of the complaint may reveal a pattern or practice of discrimination or noncompliance with the requirements of this subpart in the employment practices of a grantee or other covered organization.
Nothing contained in this subpart diminishes or supersedes the obligations imposed by Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d), Executive Order 11246 (42 U.S.C. 2000e (note)), or any other Federal law or Executive Order relating to civil rights.
This subpart contains procedures for suspending or terminating grants for airport development projects and airport planning.
(a) If the sponsor or planning agency fails to comply with the conditions of the grant, the FAA may, by written notice to the sponsor or planning agency, suspend the grant and withhold further payments pending—
(1) Corrective action by the sponsor or planning agency; or
(2) A decision to terminate the grant.
(b) Except as provided in paragraph (c), after receipt of notice of suspension, the sponsor or planning agency may not incur additional obligations of grant funds during the suspension.
(c) All necessary and proper costs that the sponsor or planning agency could not reasonably avoid during the period of suspension will be allowed, if those costs are in accordance with appendix C of this part.
(a) If the sponsor or planning agency fails to comply with the conditions of the grant, the FAA may, by written notice to the sponsor or planning agency, terminate the grant in whole, or in part.
(b) The notice of termination will contain—
(1) The reasons for the termination, and
(2) The effective date of termination.
(c) After receipt of the notice of termination, the sponsor or planning agency may not incur additional obligations of grant funds.
(d) Payments to be made to the sponsor or planning agency, or recoveries of payments by the FAA, under the grant shall be in accordance with the legal rights and liabilities of the parties.
(a) When the continuation of the project would not produce beneficial results commensurate with the further expenditure of funds, the grant may be terminated in whole, or in part, upon mutual agreement of the FAA and the sponsor or planning agency.
(b) If an agreement to terminate is made, the sponsor or planning agency—
(1) May not incur new obligations for the terminated portion after the effective date; and
(2) Shall cancel as many obligations, relating to the terminated portion, as possible.
(c) The sponsor or planning agency is allowed full credit for the Federal share of the noncancellable obligations that were properly incurred by the sponsor before the termination.
If a grant is suspended or terminated under this subpart, the sponsor or planning agency may request the Administrator to reconsider the suspension or termination.
This subpart implements section 403 of the Powerplant and Industrial Fuel Use Act of 1978 (92 Stat. 3318; Pub. L. 95-620) in order to encourage conservation of petroleum and natural gas by recipients of Federal financial assistance.
This subpart applies to each recipient of Federal financial assistance from the Federal Aviation Administration through the Airport Development Aid Program (ADAP) unless otherwise excluded by definition.
As used in this subpart—
Building construction means construction of any building which receives Federal assistance under the program, which will exceed $200,000 in construction cost.
Energy assessment means an analysis of total energy requirements of a building, which, within the scope of the proposed construction activity, and at a level of detail appropriate to that scope, considers the following:
(a) Overall design of the facility or modification, and alternative designs;
(b) Materials and techniques used in construction or rehabilitation;
(c) Special or innovative conservation features that may be used;
(d) Fuel requirements for heating, cooling, and operations essential to the function of the structure, projected over the life of the facility and including projected costs of this fuel; and
(e) Kind of energy to be used, including—
(1) Consideration of opportunities for using fuels other than petroleum and natural gas, and
(2) Consideration of using alternative, renewable energy sources.
Major building modification means modification of any building which receives Federal assistance under the program, which will exceed $200,000 in construction cost.
Each sponsor shall perform an energy assessment for each federally-assisted building construction or major building modification project proposed at the airport. The building design, construction, and operation shall incorporate, to the extent consistent with good engineering practice, the most cost-effective energy conservation features identified in the energy assessment.
Each sponsor shall require fuel and energy conservation practices in the operation and maintenance of the airport and shall encourage airport tenants to use these practices.
This appendix sets forth contract and labor provisions applicable to grants under the Airport and Airway Development Act of 1970.
This appendix does not apply to: (1) Any contract with the owner of airport hazards, buildings, pipelines, powerlines, or other structures or facilities, for installing, extending, changing, removing, or relocating that structure or facility, and (2) any written agreement or understanding between a sponsor and another public agency that is not a sponsor of the project, under which the public agency undertakes construction work for or as agent of the sponsor.
Each sponsor entering into a construction contract for an airport development project shall insert in the contract and any supplemental agreement:
(1) The provisions required by the Secretary of Labor, as set forth in paragraphs A through K;
(2) The provisions set forth in paragraph L, and
(3) Any other provisions necessary to ensure completion of the work in accordance with the grant agreement.
A. Minimum wages. (1) All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act [29 CFR part 3], the full amounts due at time of payment computed at wage rates not less than those contained in the wage determination decision(s) of the Secretary of Labor which is (are) attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics; and the wage determination decision(s) shall be posted by the contractor at the site of the work in a prominent place where it (they) can be easily seen by the workers. For the purpose of this paragraph, contributions made or costs reasonably anticipated under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (4) below. Also for the purpose of this paragraph, regular contributions made or costs incurred for more than a weekly period under plans, funds, or programs, but covering the particular weekly period, are deemed to be constructively made or incurred during such weekly period (29 CFR 5.5(a)(1)(i)).
(2) Any class of laborers or mechanics, including apprentices and trainees, which is not listed in the wage determination(s) and which is to be employed under the contract, shall be classified or reclassified conformably to the wage determination(s), and a report of the action taken shall be sent by the [insert sponsor's name] to the FAA for approval and transmittal to the Secretary of Labor. In the event that the interested parties cannot agree on the proper classification or reclassification of a particular class of laborers and mechanics, including apprentices and trainees, to be used, the question accompanied by the recommendation of the FAA shall be referred to the Secretary of Labor for final determination (29 CFR 5.5(a)(1)(ii)).
(3) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly wage rate and the contractor is obligated to pay a cash equivalent of such a fringe benefit, an hourly cash equivalent thereof shall be established. In the event the interested parties cannot agree upon a cash equivalent of the fringe benefit, the question accompanied by the recommendation of the FAA shall be referred to the Secretary of Labor for determination (29 CFR 5.5(a)(1)(iii)).
(4) If the contractor does not make payments to a trustee or other third person, he may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing benefits under a plan or program of a type expressly listed in the wage determination decision of the Secretary of Labor which is a part of this contract: Provided, however, the Secretary of Labor has found, upon written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program (29 CFR 5.5(a)(1)(iv)).
B. Withholding: FAA from sponsor. Pursuant to the terms of the grant agreement between the United States and [insert sponsor's name], relating to Airport Development Aid Project No. __, and part 152 of the Federal Aviation Regulations (14 CFR part 152), the FAA may withhold or cause to be withheld from the [insert sponsor's name] so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices and trainees, employed by the contractor or any subcontractor on the work the full amount of wages required by this contract. In the event of failure to pay any laborer or mechanics, including any apprentice or trainee, employed or working on the site of the work all or part of the wages required by this contract, the FAA may, after written notice to the [insert sponsor's name], take such action as may be necessary to cause the suspension of any further payment or advance of funds until such violations have ceased (29 CFR 5.5(a)(2)).
C. Payrolls and basic records. (1) Payrolls and basic records relating thereto will be maintained during the course of the work and preserved for a period of 3 years thereafter for all laborers and mechanics working at the site of the work. Such records will contain the name and address of each such employee, his correct classification, rates of pay (including rates of contributions or costs anticipated of the types described in section 1(b)(2) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found, under 29 CFR 5.5(a)(1)(iv) (see paragraph (4) of paragraph A above), that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual costs incurred in providing such benefits (29 CFR 5.5(a)(3)(i)).
(2) The contractor will submit weekly a copy of all payrolls to the [insert sponsor's name] for availability to the FAA. The copy shall be accompanied by a statement signed by the employer or his agent indicating that the payrolls are correct and complete, that the wage rates contained therein are not less than those determined by the Secretary of Labor and that the classifications set forth for each laborer or mechanic conform with the work he performed. A submission of a “Weekly Statement of Compliance” which is required under this contract and the Copeland regulations of the Secretary of Labor (29 CFR part 3) and the filing with the initial payroll or any subsequent payroll of a copy of any findings by the Secretary of Labor under 29 CFR 5.5(a)(1)(iv) (see paragraph (4) of paragraph A above), shall satisfy this requirement. The prime contractor shall be responsible for submission of copies of payrolls of all subcontractors. The contractor will make the records required under the labor standards clauses of the contract available for inspection by authorized representatives of the FAA and the Department of Labor, and will permit such representatives to interview employees during working hours on the job. Contractors employing apprentices or trainees under approved programs shall include a notation on the first weekly certified payrolls submitted to the [insert sponsor's name] for availability to the FAA, that their employment is pursuant to an approved program and shall identify the program (29 CFR 5.5(a)(3)(ii)).
D. Apprentices and trainees—(1) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen in any craft classification shall not be greater than the ratio permitted to the contractor as to his entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not a trainee as defined in paragraph (2) of this paragraph or is not registered or otherwise employed as stated above, shall be paid the wage rate determined by the Secretary of Labor for the classification of work he actually performed. The contractor or subcontractor will be required to furnish to the [insert sponsor's name] or a representative of the Wage-Hour Division of the U.S. Department of Labor written evidence of the registration of his program and apprentices as well as the appropriate ratios and wage rates (expressed in percentages of the journeyman hourly rates), for the area of construction prior to using any apprentices on the contract work. The wage rate paid apprentices shall be not less than the appropriate percentage of the journeyman's rate contained in the applicable wage determination (29 CFR 5.5(a)(4)(i)).
(2) Trainees. Except as provided in 29 CFR 5.15 trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. Bureau of Apprenticeship and Training. The ratio of trainees to journeymen shall not be greater than permitted under the plan approved by the Bureau of Apprenticeship and Training. Every trainee must be paid at not less than the rate specified in the approved program for his level of progress. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Bureau of Apprenticeship and Training shall be paid not less than the wage rate determined by the Secretary of Labor for the classification of work he actually performed. The contractor or subcontractor will be required to furnish the [insert sponsor's name] or a representative of the Wage-Hour Division of the U.S. Department of Labor written evidence of the certification of his program, the registration of the trainees, and the ratios and wage rates prescribed in that program. In the event the Bureau of Apprenticeship and Training withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved (29 CFR 5.5(a)(4)(ii)).
(3) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this paragraph shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30 (29 CFR 5.5(a)(4)(iii)).
(4) Application of 29 CFR 5.5(a)(4). On contracts in excess of $2,000 the employment of all apprentices and trainees as defined in 29 CFR 5.2(c) shall be subject to the provisions of 29 CFR 5.5(a)(4) (see paragraph D(1), (2), and (3) above).
E. Compliance with Copeland Regulations. The contractor shall comply with the Copeland Regulations (29 CFR part 3) of the Secretary of Labor which are herein incorporated by reference (29 CFR 5.5(a)(5)).
F. Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any laborer or mechanic in any workweek in which he is employed on such work to work in excess of 8 hours in any calendar day or in excess of 40 hours in such workweek unless such laborer or mechanic received compensation at a rate not less than 1
G. Violations; liability for unpaid wages; liquidated damages. In the event of any violation of paragraph F of this provision, the contractor and any subcontractor responsible therefor shall be liable to any affected employee for his unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States for liquidated damages. Such liquidated damages shall be computed, with respect to each individual laborer or mechanic employed in violation of said paragraph F of this provision, in the sum of $10 for each calendar day on which such employee was required or permitted to work in excess of 8 hours or in excess of the standard workweek of 40 hours without payment of the overtime wages required by said paragraph F of this provision (29 CFR 5.5(c)(2)).
H. Withholding for unpaid wages and liquidated damages. The FAA may withhold or cause to be withheld, from any monies payable on account of work performed by the contractor or subcontractor, such sums as may administratively be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in paragraph G of this provision (29 CFR 5.5(c)(3)).
I. Working conditions. No contractor may require any laborer or mechanic employed in the performance of any contract to work in surroundings or under working conditions that are unsanitary, hazardous, or dangerous to his health or safety as determined under construction safety and health standards (29 CFR part 1926) and other occupational and health standards (29 CFR part 1910) issued by the Department of Labor.
J. Subcontracts. The contractor will insert in each of his subcontracts the clauses contained in paragraphs A through K of this provision, and also a clause requiring the subcontractors to include these provisions in any lower tier subcontracts which they may enter into, together with a clause requiring this insertion in any further subcontracts that may in turn be made (29 CFR 5.5(a)(6), 5.5(c)(4)).
K. Contract termination debarment. A breach of clause A, B, C, D, E, or J may be grounds for termination of the contract, and for debarment as provided in § 5.6 of the Regulations of the Secretary of Labor as codified in 29 CFR 5.6 (29 CFR 5.5(a)(7)).
L. Additional contract provisions—(1) Airport Development Aid Program Project. The work in this contract is included in Airport Development Aid Program Project No. __, which is being undertaken and accomplished by the [insert sponsor's name] in accordance with the terms and conditions of a grant agreement between the [insert sponsor's name] and the United States, under the Airport and Airway Development Act of 1970 (84 Stat. 219) and part 152 of the Federal Aviation Regulations (14 CFR part 152), pursuant to which the United States has agreed to pay a certain percentage of the costs of the project that are determined to be allowable project costs under that Act. The United States is not a party to this contract and no reference in this contract to the FAA or any representative thereof, or to any rights granted to the FAA or any representative thereof, or the United States, by the contract, makes the United States a party to this contract.
(2) Consent to assignment. The contractor shall obtain the prior written consent of the [insert sponsor's name] to any proposed assignment of any interest in or part of this contract.
(3) Convict labor. No convict labor may be employed under this contract.
(4) Veterans preference. In the employment of labor (except in executive, administrative, and supervisory positions), preference shall be given to qualified individuals who have served in the military service of the United States (as defined in section 101(1) of the Soldiers' and Sailors' Civil Relief Act of 1940 (50 U.S.C. App. 501) and have been honorably discharged from the service, except that preference may be given only where that labor is available locally and is qualified to perform the work to which the employment relates.
(5) Withholding: sponsor from contractor. Whether or not payments or advances to the [insert sponsor's name] are withheld or suspended by the FAA, the [insert sponsor's name] may withhold or cause to be withheld from the contractor so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics employed by the contractor or any subcontractor on the work the full amount of wages required by this contract.
(6) Nonpayment of wages. If the contractor or subcontractor fails to pay any laborer or mechanic employed or working on the site of the work any of the wages required by this contract the [insert sponsor's name] may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment or advance of funds until the violations cease.
(7) FAA inspection and review. The contractor shall allow any authorized representative of the FAA to inspect and review any work or materials used in the performance of this contract.
(8) Subcontracts. The contractor shall insert in each of his subcontracts the provisions contained in paragraphs [insert designation of 6 paragraphs of contract corresponding to paragraphs (1), (3), (4), (5), (6), and (7) of this paragraph], and also a clause requiring the subcontractors to include these provisions in any lower tier subcontracts which they may enter into, together with a clause requiring this insertion in any further subcontracts that may in turn be made.
(9) Contract termination. A breach of paragraphs [insert designation of 3 paragraphs corresponding to paragraphs (6), (7), and (8) of this paragraph] may be grounds for termination of the contract.
A contractor or subcontractor who has become liable for liquidated damages under the provision set out in paragraph I.G of this appendix and who claims that the amount administratively determined as liquidated damages under section 104(a) of the Contract Work Hours and Safety Standards Act is incorrect or that he violated inadvertently the Contract Work Hours and Safety Standards Act, notwithstanding the exercise of due care, may—
(1) If the amount determined is more than $100, apply to the Administrator for a recommendation to the Secretary of Labor that an appropriate adjustment be made or that he be relieved of liability for the liquidated damages; or
(2) If the amount determined is $100 or less, apply to the Administrator for an appropriate adjustment in liquidated damages or for release from liability for the liquidated damages.
The Secretary of Labor corrects any wage determination included in any contract under this appendix whenever the wage determination contains clerical errors. A correction may be made at the Administrator's request or on the initiative of the Secretary of Labor.
When applicable by their terms, the regulations of the Secretary of Labor (29 CFR 5.20-5.32) interpreting the “fringe benefit provisions” of the Davis-Bacon Act apply to the contract provisions in this appendix.
A sponsor who is required to include in a construction contract the labor provisions required by this appendix shall require the contractor to comply with those provisions and shall cooperate with the FAA in effecting that compliance. For this purpose the sponsor shall—
(1) Keep, and preserve, the record described in paragraph IC for a 3-year period beginning on the date the contract is completed, each affidavit and payroll copy furnished by the contractor, and make those affidavits and copies available to the FAA, upon request, during that period;
(2) Have each of those affidavits and payrolls examined by its resident engineer (or any other of its employees or agents who is qualified to make the necessary determinations), as soon as possible after receiving it, to the extent necessary to determine whether the contractor is complying with the labor provisions required by this appendix and particularly with respect to whether the contractor's employees are correctly classified;
(3) Have investigations made during the performance of work under the contract, to the extent necessary to determine whether the contractor is complying with those labor provisions, including in the investigations, interviews with employees and examinations of payroll information at the work site by the sponsor's resident engineer (or any other of its employees or agents who is qualified to make the necessary determinations);
(4) Keep the appropriate FAA office fully advised of all examinations and investigations made under this appendix, all determinations made on the basis of those examinations and investigations, and all efforts made to obtain compliance with the labor provisions of the contract; and
(5) Give priority to complaints of alleged violations, and treat as confidential any written or oral statements made by any employee in connection with a complaint, and not disclose an employee's statement made in connection with a complaint to a contractor without the employee's consent.
(a) Circulars available free of charge.
(b) Circulars for sale.
There is set forth below procurement procedures and requirements applicable to grants for airport development under the Airport and Airway Development Act of 1970.
1. General. Each contract under a project must meet the requirements of local law and the requirements and standards contained in this appendix. The sponsor shall establish procedures for procurement of supplies, equipment, construction, and services funded under the project which meet the requirements of Attachment O of Office of Management and Budget (OMB) Circular A-102 (44 FR 47874) and of this appendix. Subject to funding and time limitations, the FAA reviews the sponsor's procurement system to determine whether it may be certified in accordance with Attachment O of OMB Circular A-102.
2. Out-of-state labor. No procedure or requirement shall be imposed by any grantee which will operate to discriminate against the employment of labor from any other State, possession, or territory of the United States in the construction of a project.
3. Bid guarantee. All bids for construction or facility improvement in excess of $100,000 shall be accompanied by a bid guarantee consisting of a firm commitment such as a bid bond, certified check or other negotiable instrument equivalent to five percent of the bid price as assurance that the bidder will, upon acceptance of his bid, execute such contractual documents as may be required within the time specified.
4. Construction work. All construction work under a project must be performed under contract, except in a case where the Administrator determines that the project, or a part of it, can be more effectively and economically accomplished on a force account basis by the sponsor or by another public agency acting for or as agent of the sponsor.
5. Change order. Unless otherwise authorized by the Administrator, no sponsor may issue any change order under any of its construction contracts or enter into a supplemental agreement unless three copies of that order or agreement have been sent to, and approved by, the FAA.
6. Beginning work. No sponsor may allow a contractor or subcontractor to begin work under a project until—
a. The sponsor has furnished three conformed copies of the contract to the appropriate FAA office;
b. The sponsor has, if applicable, submitted a statement that comparable replacement housing, as defined in § 25.15 of the Regulations of the Office of the Secretary of Transportation, will be available within a reasonable period of time before displacement.
c. The appropriate FAA office has agreed to the issuance of a notice to proceed with the work to the contractor.
7. Supervision and inspection. No work will be commenced until the sponsor has provided for adequate supervision and inspection of construction and advised the appropriate FAA office.
8. Engineering and planning services. Unless otherwise authorized by the Administrator, each proposal for engineering and planning services shall be reviewed by FAA before the commencement of the development of design plans and specifications.
9. Advertising general. Unless the Administrator approves another method for use on a particular airport development project, each contract and supplemental agreement for construction work on a project in the amount of more than $10,000 must be awarded on the basis of public advertising and open competitive bidding under the local law applicable to the letting of public contracts.
10. Advertising: conditions and contents. There may be no advertisement for bids on, or negotiation of, a construction contract or supplemental agreement until the Administrator has either approved the plans and specifications or accepted a certification in accordance with § 152.7 that they meet all applicable standards prescribed by this part. The advertisement shall inform the bidders of the equal employment opportunity requirements of part 152. Unless the estimated contract price or construction cost in $2,000 or less, there may be no advertisement for bids or negotiations until the Administrator has given the sponsor a copy of a decision of the Secretary of Labor establishing the minimum wage rates for skilled and unskilled labor under the proposed contract. In each case, a copy of the wage determination decision, including fringe benefits, must be set forth in the initial invitation for bids or proposed contract, or incorporated therein by reference to a copy set forth in the advertised or negotiated specifications.
11. Procedures for obtaining wage determinations. (a) Specific request for wage determination. At least 60 days before the intended date of advertising or negotiating of this section, the sponsor shall send to the appropriate FAA office, completed Department of Labor Form DB-11 or DB-11(a), as appropriate, with only the classifications needed in the performance of the work checked. General entries (such as “entire schedule” or “all applicable classifications”) may not be used. Additional necessary classifications not on the form may be typed in the blank spaces or on an attached separate list. A classification that can be fitted into classifications on the form, or a classification that is not generally recognized in the area or in the industry, may not be used. Except in areas where the wage patterns are clearly established, the Form must be accompanied by any available pertinent wage payment or locally prevailing fringe benefit information.
(b) General wage determination. Whenever the wage patterns in a particular area for a particular type of construction are well settled and whenever it may be reasonably anticipated that there will be a large volume of procurement in that area for that type of construction, the Secretary of Labor, upon the request of a Federal agency or in his discretion, may issue a general wage determination when, after consideration of the facts and circumstances involved, he finds that the applicable statutory standards and those of part 1, 29 CFR, subtitle A, will be met. This general wage determination is used for all projects located in the area and for the type of construction covered by the general wage determination.
12. Advertising: wage determinations. (a) Wage determinations are effective only for 120 days from the date of the determinations. If it appears that a determination may expire between bid opening and award, the sponsor shall so advise the FAA as soon as possible. If it wishes a new request for wage determination to be made and if any pertinent circumstances have changed, it shall submit the appropriate form of the Department of Labor and accompanying information. If it claims that the determination expires before award and after bid opening due to unavoidable circumstances, it shall submit proof of the facts which it claims support a finding to that effect.
(b) The Secretary of Labor may modify any wage determination before the award of the contract or contracts for which it was sought. If the proposed contract is awarded on the basis of public advertisement and open competitive bidding, any modification that the FAA receives less than 10 days before the opening of bids is not effective, unless the Administrator finds that there is reasonable time to notify bidders. A modification may not continue in effect beyond the effective period of the wage determination to which it relates. The Administrator sends any modification to the sponsor as soon as possible. If the modification is effective, it must be incorporated in the invitation for bids, by issuing an addendum to the specifications or otherwise.
13. Awarding contracts. (a) A sponsor may not award a construction contract without the written concurrence of the Administrator (through the appropriate FAA office) that the contract prices are reasonable. A sponsor that awards contracts on the basis of public advertising and open competitive bidding, shall, after the bids are opened, send a tabulation of the bids and its recommendations for award to the appropriate FAA office. The sponsor may not accept a bid by a contractor whose name appears on the current list of ineligible contractors published by the Comptroller General of the United States under § 5.6(b) of the regulations of the Secretary of Labor (29 CFR part 5), or a bid by any firm, corporation, partnership, or association in which an ineligible contractor has a substantial interest.
(b) A sponsor's proposed contract must have pre-award review and approval by the FAA in any of the following circumstances:
(1) The sponsor's procurement system is not in compliance with one or more significant aspects of Attachment O of OMB Circular A-102 or with the standards of this appendix.
(2) The procurement is expected to exceed $10,000 and is to be awarded without competition or only one bid or offer is received in response to solicitation.
(3) The procurement is expected to exceed $10,000 and specifies a “brand name” product.
(c) The FAA may require pre-award review and approval of a sponsor's proposed contract under any of the following circumstances:
(1) The sponsor's procurement system has not yet been reviewed by the FAA for compliance with OMB Circular A-102 and this appendix.
(2) The sponsor has requested pre-award assistance.
(3) The proposal is for automatic data processing in accordance with paragraph C1 of Attachment B to Federal Management Circular 74-4 (39 FR 27133; 43 FR 50977).
(4) The proposal is one of a series with the same firm.
(5) The proposal is to be performed outside the recipient's established procurement system or office.
(6) The proposal is for construction and is to be awarded through the negotiation procurement method or without competition.
14. Force account work. Before undertaking any force account construction work, the sponsor (or any public agency acting as agent for the sponsor) must obtain the written consent of the Administrator through the appropriate FAA office. In requesting that consent, the sponsor must submit—
(a) Adequate plans and specifications showing the nature and extent of the construction work to be performed under that force account;
(b) A schedule of the proposed construction and of the construction equipment that will be available for the project;
(c) Assurance that adequate labor, material, equipment, engineering personnel, as well as supervisory and inspection personnel as required by this appendix, will be provided; and
(d) A detailed estimate of the cost of the work, broken down for each class of costs involved, such as labor, materials, rental of equipment, and other pertinent items of cost.
15. Each sponsor shall—
(a) Include the equal opportunity clause required by 41 CFR 60-1.4(b) in each nonexempt construction contract and subcontract;
(b) Prior to the award of each nonexempt contract, require each prime contractor and subcontractor to submit the certification required by 41 CFR 60-1.8(b);
(c) Include the Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246) required by 41 CFR 60-4.2 in all solicitations for offers and bids on each nonexempt construction contract and subcontract;
(d) Include the Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246) required by 41 CFR 60-4.3(a) in each nonexempt construction contract and subcontract.
16. Exceptions. (a) Paragraphs 1 through 5 and paragraphs 9 through 13 of this section do not apply to contracts with the owners of airport hazards, buildings, pipelines, powerlines, or other structures or facilities, for installing, extending, changing, removing, or relocating any of those structures or facilities. However, the sponsor must obtain the approval of the appropriate FAA office before entering into such a contract.
(b) Any oral or written agreement or understanding between a sponsor and another public agency that is not a sponsor of the project, under which that public agency undertakes construction work for or as agent of the sponsor, is not considered to be a construction contract for the purposes of this appendix.
There is set forth below the assurances that the sponsor or planning agency must submit with its application in accordance with §§ 152.111 or 152.113, as applicable.
Each applicant for an airport development grant or an airport planning grant shall submit the following assurance:
The applicant hereby assures and certifies that it will comply with the regulations, policies, guidelines, and requirements, including Office of Management and Budget Circulars No. A-95 (41 FR 2052), A-102 (42 FR 45828), and FMC 74-4 (39 FR 27133; as amended by 43 FR 50977), as they relate to the application, acceptance, and use of Federal funds for this federally-assisted project.
A. Assurances. Each applicant for an airport development grant shall submit the following assurances:
1. Authority of applicant. It possesses legal authority to apply for the grant, and to finance and construct the proposed facilities; that a resolution, motion or similar action has been duly adopted or passed as an official act of the applicant's governing body, authorizing the filing of the application, including all understandings and assurances contained therein, and directing and authorizing the person identified as the official representative of the applicant to act in connection with the application and to provide such additional information as may be required.
2. E.O. 11296 and E.O. 11288. It will comply with the provisions of: Executive Order 11296, relating to evaluation of flood hazards, and Executive Order 11288, relating to the prevention, control, and abatement of water pollution.
3. Sufficiency of funds. It will have sufficient funds available to meet the non-Federal share of the cost for construction projects. Sufficient funds will be available when construction is completed to assure effective operation and maintenance of the facility for the purposes constructed.
4. Construction. It will obtain approval by the appropriate Federal agency of the final working drawings and specifications before the project is advertised or placed on the market for bidding; that it will construct the project, or cause it to be constructed, to final completion in accordance with the application and approved plans and specification; that it will submit to the appropriate Federal agency for prior approval changes that alter the costs of the project, use of space, or functional layout; that it will not enter into a construction contract(s) for the project or undertake other activities until the conditions of the construction grant program(s) have been met.
5. Supervision, inspection, and reporting. It will provide and maintain competent and adequate architectural engineering supervision and inspection at the construction site to insure that the completed work conforms with the approved plans and specifications; that it will furnish progress reports and such other information as the Federal grantor agency may require.
6. Operation of facility. It will operate and maintain the facility in accordance with the minimum standards as may be required or prescribed by the applicable Federal, State and local agencies for the maintenance and operation of such facilities.
7. Access to records. It will give the grantor agency and the Comptroller General through any authorized representative access to and the right to examine all records, books, papers, or documents related to the grant.
8. Access for handicapped. It will require the facility to be designed to comply with part 27, Nondiscrimination on the Basis of Handicap in Federally Assisted Programs and Activities Receiving or Benefiting from Federal Financial Assistance, of the Regulations of the Office of the Secretary of Transportation (49 CFR part 27). The applicant will be responsible for conducting inspections to insure compliance with these specifications by the contractor.
9. Commencement and completion. It will cause work on the project to be commenced within a reasonable time after receipt of notification from the approving Federal agency that funds have been approved and that the project will be prosecuted to completion with reasonable diligence.
10. Disposition of interest. It will not dispose of or encumber its title or other interests in the site and facilities during the period of Federal interest or while the Government holds bonds, whichever is the longer.
11. Civil Rights. It will comply with Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352) and in accordance with Title VI of that Act, no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the applicant receives Federal financial assistance and will immediately take any measures necessary to effectuate this agreement. If any real property or structure thereon is provided or improved with the aid of Federal financial assistance extended to the Applicant, this assurance shall obligate the Applicant, or in the case of any transfer of such property, any transferee, for the period during which the real property or structure is used for a purpose for which the Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits.
12. Private gain. It will establish safeguards to prohibit employees from using their positions for a purpose that is or gives the appearance of being motivated by a desire for private gain for themselves or others, particularly those with whom they have family, business, or other ties.
13. Relocation assistance. It will comply with the requirements of Title II and Title III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L. 91-646) which provides for fair and equitable treatment of persons displaced as a result of Federal and federally assisted programs.
14. OMB Circular A-102. It will comply with all requirements imposed by the Federal grantor agency concerning special requirements of law, program requirements, and other administrative requirements approved in accordance with Office of Management and Budget Circular No. A-102.
15. Hatch Act. It will comply with the provisions of the Hatch Act which limit the political activity of employees.
16. Federal Fair Labor Standards Act. It will comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act, as they apply to hospital and eduational institution employees of State and local governments.
17. Effective date and duration. These covenants shall become effective upon acceptance by the sponsor of an offer of Federal aid for the Project or any portion thereof, made by the FAA and shall constitute a part of the Grant Agreement thus formed. These covenants shall remain in full force and effect throughout the useful life of the facilities developed under this Project, but in any event not to exceed twenty (20) years from the date of said acceptance of an offer of Federal aid for the Project. However, these limitations on the duration of the covenants do not apply to the covenant against exclusive rights and real property acquired with Federal funds. Any breach of these covenants on the part of the sponsor may result in the suspension or termination of, or refusal to grant Federal assistance under, FAA administered programs, or such other action which may be necessary to enforce the rights of the United States under this agreement.
18. Conditions and limitations on airport use. The Sponsor will operate the Airport as such for the use and benefit of the public. In furtherance of this covenant (but without limiting its general applicability and effect), the Sponsor specifically agrees that it will keep the Airport open to all types, kinds, and classes of aeronautical use on fair and reasonable terms without discrimination between such types, kinds, and classes. Provided, that the sponsor may establish such fair, equal, and not unjustly discriminatory conditions to be met by all users of the airport as may be necessary for the safe and efficient operation of the Airport; and Provided further, That the Sponsor may prohibit or limit any given type, kind, or class of aeronautical use of the Airport if such action is necessary for the safe operation of the Airport or necessary to serve the civil aviation needs of the public.
19. Exclusive right. The Sponsor—
a. Will not grant or permit any exclusive right forbidden by Section 308(a) of the Federal Aviation Act of 1958 (49 U.S.C. 1349(a)) at the Airport, or at any other airport now owned or controlled by it;
b. Agrees that, in furtherance of the policy of the FAA under this covenant, unless authorized by the Administrator, it will not, either directly or indirectly, grant or permit any person, firm or corporation the exclusive right at the Airport, or at any other airport now owned or controlled by it, to conduct any aeronautical activities, including, but not limited to charter flights, pilot training, aircraft rental and sightseeing, aerial photography, crop dusting, aerial advertising and surveying, air carrier operations, aircraft sales and services, sale of aviation petroleum products whether or not conducted in conjunction with other aeronautical activity, repair and maintenance of aircraft, sale of aircraft parts, and any other activities which because of their direct relationship to the operation of aircraft can be regarded as an aeronautical activity.
c. Agrees that it will terminate any existing exclusive right to engage in the sale of gasoline or oil, or both, granted before July 17, 1962, at such an airport, at the earliest renewal, cancellation, or expiration date applicable to the agreement that established the exclusive right; and
d. Agrees that it will terminate any other exclusive right to conduct an aeronautical activity now existing at such an airport before the grant of any assistance under the Airport and Airway Development Act.
20. Public use and benefit. The Sponsor agrees that it will operate the Airport for the use and benefit of the public, on fair and reasonable terms, and without unjust discrimination. In furtherance of the covenant (but without limiting its general applicability and effect), the Sponsor specifically covenants and agrees:
a. That in its operation and the operation of all facilities on the Airport, neither it nor any person or organization occupying space or facilities thereon will discriminate against any person or class of persons by reason of race, color, creed, or national origin in the use of any of the facilities provided for the public on the Airport.
b. That in any agreement, contract, lease or other arrangement under which a right or privilege at the Airport is granted to any person, firm, or corporation to conduct or engage in any aeronautical activity for furnishing services to the public at the Airport, the Sponsor will insert and enforce provisions requiring the contractor—
(1) To furnish said service on a fair, equal, and not unjustly discriminatory basis to all users thereof, and
(2) To charge fair, reasonable, and not unjustly discriminatory prices for each unit or service; Provided, That the contractor may be allowed to make reasonable and nondiscriminatory discounts, rebates, or other similar types of price reductions to volume purchasers.
c. That it will not exercise or grant any right or privilege which would operate to prevent any person, firm or corporation operating aircraft on the Airport from performing any services on its own aircraft with its own employees (including, but not limited to maintenance and repair) that it may choose to perform.
d. In the event the Sponsor itself exercises any of the rights and privileges referred to in subsection b, the services involved will be provided on the same conditions as would apply to the furnishing of such services by contractors or concessionaires of the Sponsor under the provisions of such subsection b.
21. Nonaviation activities. Nothing contained herein shall be construed to prohibit the granting or exercise of an exclusive right for the furnishing of nonaviation products and supplies or any service of a nonaeronautical nature or to obligate the Sponsor to furnish any particular nonaeronautical service at the Airport.
22. Operation and maintenance of the airport. The Sponsor will operate and maintain in a safe and serviceable condition the Airport and all facilities thereon and connected therewith which are necessary to serve the aeronautical users of the Airport other than facilities owned or controlled by the United States, and will not permit any activity thereon which would interfere with its use for airport purposes; Provided, That nothing contained herein shall be construed to require that the Airport be operated for aeronautical uses during temporary periods when snow, flood, or other climatic conditions interfere with such operation and maintenance; and Provided further, That nothing herein shall be construed as requiring the maintenance, repair, restoration or replacement of any structure or facility which is substantially damaged or destroyed due to an act of God or other condition or circumstance beyond the control of the Sponsor. In furtherance of this covenant the sponsor will have in effect at all times arrangements for—
a. Operating the airport's aeronautical facilities whenever required;
b. Promptly marking and lighting hazards resulting from airport conditions, including temporary conditions; and
c. Promptly notifying airmen of any condition affecting aeronautical use of the Airport.
23. Airport Hazards. Insofar as it is within its power and reasonable, the Sponsor will, either by the acquisition and retention of easements or other interests in or rights for the use of land or airspace or by the adoption and enforcement of zoning regulations, prevent the construction, erection, alteration, or growth of any structure, tree, or other object in the approach areas of the runways of the Airport, which would constitute an airport hazard.
In addition, the Sponsor will not erect or permit the erection of any permanent structure or facility which would interfere materially with the use, operation, or future development of the Airport, in any portion of a runway approach area in which the Sponsor has acquired, or hereafter acquires, property interests permitting it to so control the use made of the surface of the land.
24. Use of adjacent land. Insofar as it is within its power and reasonable, the Sponsor will, either by the acquisition and retention of easements or other interests in or rights for the use of land or airspace or by the adoption and enforcement of zoning regulations, take action to restrict the use of land adjacent to or in the immediate vicinity of the Airport to activities and purposes compatible with normal airport operations including landing and takeoff of aircraft.
25. Airport layout plan. The Sponsor will keep up to date at all times an airport layout plan of the Airport showing (1) boundaries of the Airport and all proposed additions thereto, together with the boundaries of all offsite areas owned or controlled by the Sponsor for airport purposes, and proposed additions thereto; (2) the location and nature of all existing and proposed airport facilities and structures (such as runways, taxiways, aprons, terminal buildings, hangars and roads), including all proposed extensions and reductions of existing airport facilities; and (3) the location of all existing and proposed nonaviation areas and of all existing improvements thereon. Such airport layout plan and each amendment, revision, or modification thereof, shall be subject to the approval of the FAA, which approval shall be evidenced by the signature of a duly authorized representative of the FAA on the face of the airport layout plan. The Sponsor will not make or permit any changes or alterations in the airport or in any of its facilities other than in conformity with the airport layout plan as so approved by the FAA, if such changes or alterations might adversely affect the safety, utility, or efficiency of the Airport.
26. Federal use of facilities. All facilities of the Airport developed with Federal aid and all those usable for the landing and taking off of aircraft, will be available to the United States at all times, without charge, for use by government aircraft in common with other aircraft, except that if the use by government aircraft is substantial, a reasonable share, proportional to such use, of the cost of operating and maintaining facilities so used, may be charged. Unless otherwise determined by the FAA, or otherwise agreed to by the Sponsor and the using agency, substantial use of an airport by government aircraft will be considered to exist when operations of such aircraft are in excess of those which, in the opinion of the FAA, would unduly interfere with use of the landing area by other authorized aircraft, or during any calendar month that—
a. Five (5) or more government aircraft are regularly based at the airport or on land adjacent thereto; or
b. The total number of movements (counting each landing as a movement and each takeoff as a movement) of government aircraft is 300 or more, or the gross accumulative weight of government aircraft using the Airport (the total movements of government aircraft multiplied by gross certified weights of such aircraft) is in excess of five million pounds.
27. Areas for FAA Use. Whenever so requested by the FAA, the Sponsor will furnish without cost to the Federal Government, for construction, operation, and maintenance of facilities for air traffic control activities, or weather reporting activities and communication activities related to air traffic control, such areas of land or water, or estate therein, or rights in buildings of the Sponsor as the FAA may consider necessary or desirable for construction at Federal expense of space or facilities for such purposes. The approximate amounts of areas and the nature of the property interests and/or rights so required will be set forth in the Grant Agreement relating to the project. Such areas or any portion thereof will be made available as provided herein within 4 months after receipt of written requests from the FAA.
28. Fee and rental structure. The airport operator or owner will maintain a fee and rental structure for the facilities and services being provided the airport users which will make the Airport as self-sustaining as possible under the circumstances existing at the Airport, taking into account such factors as the volume of traffic and economy of collection.
29. Reports to FAA. The Sponsor will furnish the FAA with such annual or special airport financial and operational reports as may be reasonably requested. Such reports may be submitted on forms furnished by the FAA, or may be submitted in such manner as the Sponsor elects so long as the essential data are furnished. The Airport and all airport records and documents affecting the Airport, including deeds, leases, operation and use agreements, regulations, and other instruments, will be made available of inspection and audit by the Secretary and the Comptroller General of the United States, or their duly authorized representatives, upon reasonable request. The Sponsor will furnish to the FAA or to the General Accounting Office, upon request, a true copy of any such document.
30. System of accounting. All project accounts and records will be kept in accordance with a standard system of accounting if so prescribed by the Secretary.
31. Interfering right. If at any time it is determined by the FAA that there is any outstanding right or claim of right in or to the Airport property, other than those set forth in Part II of the Application for Federal Assistance, the existence of which creates an undue risk of interference with the operation of the Airport or the performance of the covenants of this part, the sponsor will acquire, extinguish, or modify such right or claim of right in a manner acceptable to the FAA.
32. Performance obligation. The Sponsor will not enter into any transaction which would operate to deprive it of any of the rights and powers necessary to perform any or all of the covenants made herein, unless by such transaction the obligation to perform all such covenants is assumed by another public agency found by the FAA to be eligible under the Act and Regulations to assume such obligations and having the power, authority, and financial resources to carry out all such obligations. If an arrangement is made for management or operation of the Airport by any agency or person other than the Sponsor or an employee of the Sponsor, the Sponsor will reserve sufficient rights and authority to insure that the Airport will be operated and maintained in accordance with the Act, the Regulations, and these covenants.
33. Meaning of terms. Unless the context otherwise requires, all terms used in these covenants which are defined in the Act and the Regulations shall have the meanings assigned to them therein.
B. Airport Layout Plan Approval. A sponsor seeking FAA approval of a new or revised airport layout plan shall submit with the plan an environmental assessment prepared in conformance with Appendix 6 of FAA Order 1050.1C, “Policies and Procedures for Considering Environmental Impacts” (45 FR 2244; January 10, 1980) and FAA Order 5050.4 “Airport Environmental Handbook” (45 FR 56622; August 25, 1980), if an assessment is required by Order 5050.4.
Each applicant for an airport planning grant shall submit the assurances numbered 1 (except for the phrase “and to finance and construct the proposed facilities”), 7, 9, 11 (except for the last sentence), and 12, 14, 15, 30, and 33 of Part II of this appendix.
This subpart prescribes requirements governing Aviation Safety Inspector access to public-use airports and facilities to perform official duties.
The following definitions apply in this subpart:
Air Operations Area (AOA) means a portion of an airport, specified in the airport security program, in which security measures specified in Title 49 of the Code of Federal Regulations are carried out. This area includes aircraft movement areas, aircraft parking areas, loading ramps, and safety areas, for use by aircraft regulated under 49 CFR parts 1542, 1544, and 1546, and any adjacent areas (such as general aviation areas) that are not separated by adequate security systems, measures, or procedures. This area does not include the secured area.
Airport means any public-use airport, including heliports, as defined in 49 U.S.C. 47102, including:
(1) A public airport; or
(2) A privately-owned airport used or intended to be used for public purposes that is—
(i) A reliever airport; or
(ii) Determined by the Secretary to have at least 2,500 passenger boardings each year and to receive scheduled passenger aircraft service.
Aviation Safety Inspector means a properly credentialed individual who bears FAA Form 110A and is authorized under the provisions of 49 U.S.C. 40113 to perform inspections and investigations.
FAA Form 110A means the credentials issued to qualified Aviation Safety Inspectors by the FAA for use in the performance of official duties.
Secured area means a portion of an airport, specified in the airport security program, in which certain security measures specified in Title 49 of the Code of Federal Regulations are carried out. This area is where aircraft operators and foreign air carriers that have a security program under 49 CFR part 1544 or part 1546 enplane and deplane passengers and sort and load baggage and any adjacent areas that are not separated by adequate security systems, measures, or procedures.
Security Identification Display Area (SIDA) means a portion of an airport, specified in the airport security program, in which security measures specified in Title 49 of the Code of Federal Regulations are carried out. This area includes the secured area and may include other areas of the airport.
Airports, aircraft operators, aircraft owners, airport tenants, and air agencies must grant Aviation Safety Inspectors bearing FAA Form 110A free and uninterrupted access to public-use airports and facilities, including AOAs, SIDAs, and other secured and restricted areas. Aviation Safety Inspectors displaying FAA Form 110A do not require access media or identification media issued or approved by an airport operator or aircraft operator in order to inspect or test compliance, or perform other such duties as the FAA may direct.
This part applies to releases from terms, conditions, reservations, or restrictions in any deed, surrender of leasehold, or other instrument of transfer or conveyance (in this part called “instrument of disposal”) by which some right, title, or interest of the United States in real or personal property was conveyed to a non-Federal public agency under section 13 of the Surplus Property Act of 1944 (58 Stat. 765; 61 Stat. 678) to be used by that agency in developing, improving, operating, or maintaining a public airport or to provide a source of revenue from non-aviation business at a public airport.
(a) Section 4 of the Act of October 1, 1949 (63 Stat. 700) authorizes the Administrator to grant the releases described in § 155.1, if he determines that—
(1) The property to which the release relates no longer serves the purpose for which it was made subject to the terms, conditions, reservations, or restrictions concerned; or
(2) The release will not prevent accomplishing the purpose for which the property was made subject to the terms, conditions, reservations, or restrictions, and is necessary to protect or advance the interests of the United States in civil aviation.
(b) Section 2 of the Act of October 1, 1949 (63 Stat. 700) provides that the restrictions against using structures for industrial purposes in any instrument of disposal issued under section 13(g)(2)(A) of the Surplus Property Act of 1944, as amended (61 Stat. 678) are considered to be extinguished. In addition, section 2 authorizes the Administrator to issue any instruments of release or conveyance necessary to remove, of record, such a restriction, without monetary consideration to the United States.
(c) Section 68 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2098) releases, remises, and quitclaims, to persons entitled thereto, all reserved rights of the United States in radioactive minerals in instruments of disposal of public or acquired lands. In addition, section 3 of the Act of October 1, 1949 (50 U.S.C. App. 1622b) authorizes the Administrator to issue instruments that he considers necessary to correct any instrument of disposal by which surplus property was transferred to a non-Federal public agency for airport purposes or to conform the transfer to the requirements of applicable law. Based on the laws cited in this paragraph, the Administrator issues appropriate instruments of correction upon the written request of persons entitled to ownership, occupancy, or use of the lands concerned.
This part applies to—
(a) Any real or personal property that is subject to the terms, conditions, reservations, or restrictions in an instrument of disposal described in § 155.1; and
(b) Any release from a term, condition, reservation, or restriction in such an instrument, including a release of—
(1) Personal property, equipment, or structures from any term, condition, reservation, or restriction so far as necessary to allow it to be disposed of for salvage purposes;
(2) Land, personal property, equipment or structures from any term, condition, reservation, or restriction requiring that it be used for airport purposes to allow its use, lease, or sale for nonairport use in place;
(3) Land, personal property, equipment, or structures from any term, condition, reservation, or restriction requiring its maintenance for airport use;
(4) Land, personal property, equipment, or structures from all terms, conditions, restrictions, or reservations to allow its use, lease, sale, or other disposal for nonairport purposes; and
(5) Land, personal property, equipment, or structures from the reservation of right of use by the United States in time of war or national emergency, to facilitate financing the operation and maintenance or further development of a public airport.
(a) Upon a request under § 155.11, the Administrator issues any instrument that is necessary to remove, of record, any restriction against the use of property for industrial purposes that is in an instrument of disposal covered by this part.
(b) The Administrator does not issue a release under this part if it would allow the sale of the property concerned to a third party, unless the public agency concerned has obligated itself to use the proceeds from the sale exclusively for developing, improving, operating, or maintaining a public airport.
(c) Except for a release from a restriction against using property for industrial purposes, the Administrator does not issue a release under this part unless it is justified under § 155.3(a) (1) or (2).
(d) The Administrator may issue a release from the terms, conditions, reservations, or restrictions of an instrument of disposal subject to any other terms or conditions that he considers necessary to protect or advance the interests of the United States in civil aviation. Such a term or condition, including one regarding the use of proceeds from the sale of property, is imposed as a personal covenant or obligation of the public agency concerned rather than as a term or condition to the release or as a covenant running with the land, unless the Administrator determines that the purpose of the term or condition would be better achieved as a condition or covenant running with the land.
(e) A letter or other document issued by the Administrator that merely grants consent to or approval of a lease, or to the use of the property for other than the airport use contemplated by the instrument of disposal, does not otherwise release the property from the terms, conditions, reservations, or restrictions of the instrument of disposal.
(a) The primary purpose of each transfer of surplus airport property under section 13 of the Surplus Property Act of 1944 was to make the property available for public or civil airport needs. However, it was also intended to ensure the availability of the property transferred, and of the entire airport, for use by the United States during a war or national emergency, if needed. As evidence of this purpose, most instruments of disposal of surplus airport property reserved or granted to the United States a right of exclusive possession and control of the airport during a war or emergency, substantially the same as one of the following:
(1) That during the existence of any emergency declared by the President or the Congress, the Government shall have the right without charge except as indicated below to the full, unrestricted possession, control, and use of the landing area, building areas, and airport facilities or any part thereof, including any additions or improvements thereto made subsequent to the declaration of the airport property as surplus: Provided, however, That the Government shall be responsible during the period of such use for the entire cost of maintaining all such areas, facilities, and improvements, or the portions used, and shall pay a fair rental for the use of any installations or structures which have been added thereto without Federal aid.
(2) During any national emergency declared by the President or by Congress, the United States shall have the right to make exclusive or nonexclusive use and have exclusive or nonexclusive control and possession, without charge, of the airport at which the surplus property is located or used or of such portion thereof as it may desire: Provided, however, That the United States shall be responsible for the entire cost of maintaining such part of the airport as it may use exclusively, or over which it may have exclusive possession and control, during the period of such use, possession, or control and shall be obligated to contribute a reasonable share, commensurate with the use made by it, of the cost of maintenance of such property as it may use nonexclusively or over which it may have nonexclusive control and possession: Provided further, That the United States shall pay a fair rental for its use, control, or possession, exclusively or nonexclusively, of any improvements to the airport made without U.S. aid.
(b) A release from the terms, conditions, reservations, or restrictions of an instrument of disposal that might prejudice the needs or interests of the armed forces, is granted only after consultation with the Department of Defense.
(a) A request for the release of surplus airport property from a term, condition, reservation, or restriction in an instrument of disposal need not be in any special form, but must be in writing and signed by an authorized official of the public agency that owns the airport.
(b) A request for a release under this part must be submitted in triplicate to the District Airport Engineer in whose district the airport is located.
(c) Each request for a release must include the following information, if applicable and available:
(1) Identification of the instruments of disposal to which the property concerned is subject.
(2) A description of the property concerned.
(3) The condition of the property concerned.
(4) The purpose for which the property was transferred, such as for use as a part of, or in connection with, operating the airport or for producing revenues from nonaviation business.
(5) The kind of release requested.
(6) The purpose of the release.
(7) A statement of the circumstances justifying the release on the basis set forth in § 155.3(a) (1) or (2) with supporting documents.
(8) Maps, photographs, plans, or similar material of the airport and the property concerned that are appropriate to determining whether the release is justified under § 155.9.
(9) The proposed use or disposition of the property, including the terms and conditions of any proposed sale or lease and the status of negotiations therefor.
(10) If the release would allow sale of any part of the property, a certified copy of a resolution or ordinance of the governing body of the public agency that owns the airport obligating itself to use the proceeds of the sale exclusively for developing, improving, operating, or maintaining a public airport.
(11) A suggested letter or other instrument of release that would meet the requirements of State and local law for the release requested.
(12) The sponsor's environmental assessment prepared in conformance with Appendix 6 of FAA Order 1050.1C, “Policies and Procedures for Considering Environmental Impacts” (45 FR 2244; Jan. 10, 1980), and FAA Order 5050.4, “Airport Environmental Handbook” (45 FR 56624; Aug. 25, 1980), if an assessment is required by Order 5050.4. Copies of these orders may be examined in the Rules Docket, Office of the Chief Counsel, FAA, Washington, D.C., and may be obtained on request at any FAA regional office headquarters or any airports district office.
(a) An FAA office that receives a request for a release under this part, and supporting documents therefore, examines it to determine whether the request meets the requirements of the Act of October 1, 1949 (63 Stat. 700) so far as it concerns the interests of the United States in civil aviation and whether it might prejudice the needs and interests of the armed forces. Upon a determination that the release might prejudice those needs and interests, the Department of Defense is consulted as provided in § 155.9(b).
(b) Upon completing the review, and receiving the advice of the Department of Defense if the case was referred to it, the FAA advises the airport owner as to whether the release or a modification of it, may be granted. If the release, or a modification of it acceptable to the owner, is granted, the FAA prepares the necessary instruments and delivers them to the airport owner.
(a) This part applies to grant applicants for the State block grant pilot program and to those States receiving block grants available under the Airport and Airway Improvement Act of 1982, as amended.
(b) This part sets forth—
(1) The procedures by which a State may apply to participate in the State block grant pilot program;
(2) The program administration requirements for a participating State;
(3) The program responsibilities for a participating State; and
(4) The enforcement responsibilities of a participating State.
(a) Any state that desires to participate in the State block grant pilot program shall submit a letter of interest, by November 30, 1988, to the Associate Administrator for Airports, Federal Aviation Administration, 800 Independence Avenue SW., Room 1000E, Washington, DC 20591.
(b) A State's letter of interest shall contain the name, title, address, and telephone number of the individual who will serve as the liaison with the Administrator regarding the State block grant pilot program.
(c) The FAA will provide an application form and program guidance material to each State that submits a letter of interest to the Associate Administrator for Airports.
(a) A State desiring to participate shall submit a completed application to the Associate Administrator for Airports.
(b) After review of the applications submitted by the States, the Administrator shall select three States for participation in the State block grant pilot program.
(c) The Administrator shall issue a written grant offer that sets forth the terms and conditions of the State block grant agreement to each selected State.
(d) A State's participation in the State block grant pilot program begins when a State accepts the Administrator's written grant offer in writing and within any time limit specified by the Administrator. The State shall certify, in its written acceptance, that the acceptance complies with all applicable Federal and State law, that the acceptance constitutes a legal and binding obligation of the State, and that the State has the authority to carry out all the terms and conditions of the written grant offer.
(a) A participating State shall use monies distributed pursuant to a State block grant agreement for airport development and airport planning, for airport noise compatibility planning, or to carry out airport noise compatibility programs, in accordance with the Airport and Airway Improvement Act of 1982, as amended.
(b) A participating State shall administer the airport development and airport planning projects for airports within the State.
(c) A participating State shall not use any monies distributed pursuant to a State block grant agreement for integrated airport system planning, projects related to any primary airport, or any airports—
(1) Outside the State's boundaries; or
(2) Inside the State's boundaries that are not included in the National Plan of Integrated Airport Systems.
(a) A participating State shall not use State block grant funds for reimbursement of project costs that would not be eligible for reimbursement under a project grant administered by the FAA.
(b) A participating State shall not use State block grant funds for reimbursement or funding of administrative costs incurred by the State pursuant to the State block grant program.
(a) A participating State shall comply with the terms of the State block grant agreement.
(b) A participating State shall ensure that each person or entity, to which the State distributes funds received pursuant to the State block grant pilot program, complies with any terms that the State block grant agreement requires to be imposed on a recipient for airport projects funded pursuant to the State block grant pilot program.
(c) Unless otherwise agreed by a participating State and the Administrator in writing, a participating State shall not delegate or relinquish, either expressly or by implication, any State authority, rights, or power that would interfere with the State's ability to comply with the terms of a State block grant agreement.
The Administrator may take any action, pursuant to the authority of the Airport and Airway Improvement Act of 1982, as amended, to enforce the terms of a State block grant agreement including any terms imposed upon subsequent recipients of State block agreement funds.
This part applies to persons proposing to construct, alter, activate, or deactivate a civil or joint-use (civil/military) airport or to alter the status or use of such an airport. Requirements for persons to notify the Administrator concerning certain airport activities are prescribed in this part. This part does not apply to projects involving:
(a) An airport subject to conditions of a Federal agreement that requires an approved current airport layout plan to be on file with the Federal Aviation Administration; or
(b) An airport at which flight operations will be conducted under visual flight rules (VFR) and which is used or intended to be used for a period of less than 30 consecutive days with no more than 10 operations per day.
(c) The intermittent use of a site that is not an established airport, which is used or intended to be used for less than one year and at which flight operations will be conducted only under VFR. For the purposes of this part, intermittent use of a site means:
(1) The site is used or is intended to be used for no more than 3 days in any one week; and
(2) No more than 10 operations will be conducted in any one day at that site.
For the purpose of this part:
Airport means any airport, heliport, helistop, vertiport, gliderport, seaplane base, ultralight flightpark, manned balloon launching facility, or other aircraft landing or takeoff area.
Heliport means any landing or takeoff area intended for use by helicopters or other rotary wing type aircraft capable of vertical takeoff and landing profiles.
Private use means available for use by the owner only or by the owner and other persons authorized by the owner.
Private use of public lands means that the landing and takeoff area of the proposed airport is publicly owned and the proponent is a non-government entity, regardless of whether that landing and takeoff area is on land or on water and whether the controlling entity be local, State, or Federal Government.
Public use means available for use by the general public without a requirement for prior approval of the owner or operator.
Traffic pattern means the traffic flow that is prescribed for aircraft landing or taking off from an airport, including departure and arrival procedures utilized within a 5-mile radius of the airport for ingress, egress, and noise abatement.
Each person who intends to do any of the following shall notify the Administrator in the manner prescribed in § 157.5:
(a) Construct or otherwise establish a new airport or activate an airport.
(b) Construct, realign, alter, or activate any runway or other aircraft landing or takeoff area of an airport.
(c) Deactivate, discontinue using, or abandon an airport or any landing or takeoff area of an airport for a period of one year or more.
(d) Construct, realign, alter, activate, deactivate, abandon, or discontinue using a taxiway associated with a landing or takeoff area on a public-use airport.
(e) Change the status of an airport from private use to public use or from public use to another status.
(f) Change any traffic pattern or traffic pattern altitude or direction.
(g) Change status from IFR to VFR or VFR to IFR.
(a) Notice shall be submitted on FAA Form 7480-1, copies of which may be obtained from an FAA Airport District/Field Office or Regional Office, to one of those offices and shall be submitted at least—
(1) In the cases prescribed in paragraphs (a) through (d) of § 157.3, 90 days in advance of the day that work is to begin; or
(2) In the cases prescribed in paragraphs (e) through (g) of § 157.3, 90 days in advance of the planned implementation date.
(b) Notwithstanding paragraph (a) of this section—
(1) In an emergency involving essential public service, public health, or public safety or when the delay arising from the 90-day advance notice requirement would result in an unreasonable hardship, a proponent may provide notice to the appropriate FAA Airport District/Field Office or Regional Office by telephone or other expeditious means as soon as practicable in lieu of submitting FAA Form 7480-1. However, the proponent shall provide full notice, through the submission of FAA Form 7480-1, when otherwise requested or required by the FAA.
(2) notice concerning the deactivation, discontinued use, or abandonment of an airport, an airport landing or takeoff area, or associated taxiway may be submitted by letter. Prior notice is not required; except that a 30-day prior notice is required when an established instrument approach procedure is involved or when the affected property is subject to any agreement with the United States requiring that it be maintained and operated as a public-use airport.
(a) The FAA will conduct an aeronautical study of an airport proposal and, after consultations with interested persons, as appropriate, issue a determination to the proponent and advise those concerned of the FAA determination. The FAA will consider matters such as the effects the proposed action would have on existing or contemplated traffic patterns of neighboring airports; the effects the proposed action would have on the existing airspace structure and projected programs of the FAA; and the effects that existing or proposed manmade objects (on file with the FAA) and natural objects within the affected area would have on the airport proposal. While determinations consider the effects of the proposed action on the safe and efficient use of airspace by aircraft and the safety of persons and property on the ground, the determinations are only advisory. Except for an objectionable determination, each determination will contain a determination-void date to facilitate efficient planning of the use of the navigable airspace. A determination does not relieve the proponent of responsibility for compliance with any local law, ordinance or regulation, or state or other Federal regulation. Aeronautical studies and determinations will not consider environmental or land use compatibility impacts.
(b) An airport determination issued under this part will be one of the following:
(1) No objection.
(2) Conditional. A conditional determination will identify the objectionable aspects of a project or action and specify the conditions which must be met and sustained to preclude an objectionable determination.
(3) Objectionable. An objectionable determination will specify the FAA's reasons for issuing such a determination.
(c) Determination void date. All work or action for which notice is required by this sub-part must be completed by the determination void date. Unless otherwise extended, revised, or terminated, an FAA determination becomes invalid on the day specified as the determination void date. Interested persons may, at least 15 days in advance of the determination void date, petition the FAA official who issued the determination to:
(1) Revise the determination based on new facts that change the basis on which it was made; or
(2) Extend the determination void date. Determinations will be furnished to the proponent, aviation officials of the state concerned, and, when appropriate, local political bodies and other interested persons.
Within 15 days after completion of any airport project covered by this part, the proponent of such project shall notify the FAA Airport District Office or Regional Office by submission of FAA Form 5010-5 or by letter. A copy of FAA Form 5010-5 will be provided with the FAA determination.
This part applies to passenger facility charges (PFC's) as may be approved by the Administrator of the Federal Aviation Administration (FAA) and imposed by a public agency that controls a commercial service airport. This part also describes the procedures for reducing funds to a large or medium hub airport that imposes a PFC.
The following definitions apply in this part:
Airport means any area of land or water, including any heliport, that is used or intended to be used for the landing and takeoff of aircraft, and any appurtenant areas that are used or intended to be used for airport buildings or other airport facilities or rights-of-way, together with all airport buildings and facilities located thereon.
Airport capital plan means a capital improvement program that lists airport-related planning, development or noise compatibility projects expected to be accomplished with anticipated available funds.
Airport layout plan (ALP) means a plan showing the existing and proposed airport facilities and boundaries in a form prescribed by the Administrator.
Airport revenue means revenue generated by a public airport (1) through any lease, rent, fee, PFC or other charge collected, directly or indirectly, in connection with any aeronautical activity conducted on an airport that it controls; or (2) In connection with any activity conducted on airport land acquired with Federal financial assistance, or with PFC revenue under this part, or conveyed to such public agency under the provisions of any Federal surplus property program or any provision enacted to authorize the conveyance of Federal property to a public agency for airport purposes.
Air travel ticket includes all documents, electronic records, boarding passes, and any other ticketing medium about a passenger's itinerary necessary to transport a passenger by air, including passenger manifests.
Allowable cost means the reasonable and necessary costs of carrying out an approved project including costs incurred prior to and subsequent to the approval to impose a PFC, and making payments for debt service on bonds and other indebtedness incurred to carry out such projects. Allowable costs include only those costs incurred on or after November 5, 1990. Costs of terminal development incurred after August 1, 1986, at an airport that did not have more than .25 percent of the total annual passenger boardings in the U.S. in the most recent calendar year for which data is available and at which total passenger boardings declined by at least 16 percent between calendar year 1989 and calendar year 1997 are allowable.
Approved project means a project for which the FAA has approved using PFC revenue under this part. The FAA may also approve specific projects contained in a single or multi-phased project or development described in an airport capital plan separately. This includes projects acknowledged by the FAA under § 158.30 of this part.
Bond financing costs means the costs of financing a bond and includes such costs as those associated with issuance, underwriting discount, original issue discount, capitalized interest, debt service reserve funds, initial credit enhancement costs, and initial trustee and paying agent fees.
Charge effective date means the date on which carriers are obliged to collect a PFC.
Charge expiration date means the date on which carriers are to cease to collect a PFC.
Collecting carrier means an issuing carrier or other carrier collecting a PFC, whether or not such carrier issues the air travel ticket.
Collection means the acceptance of payment of a PFC from a passenger.
Commercial service airport means a public airport that annually enplanes 2,500 or more passengers and receives scheduled passenger service of aircraft.
Covered air carrier means an air carrier that files for bankruptcy protection or has an involuntary bankruptcy proceeding started against it after December 12, 2003. An air carrier that is currently in compliance with PFC remittance requirements and has an involuntary bankruptcy proceeding commenced against it has 90 days from the date such proceeding was filed to obtain dismissal of the involuntary petition before becoming a covered air carrier. An air carrier ceases to be a covered air carrier when it emerges from bankruptcy protection.
Covered airport means a medium or large hub airport at which one or two air carriers control more than 50 percent of passenger boardings.
Debt service means payments for such items as principal and interest, sinking funds, call premiums, periodic credit enhancement fees, trustee and paying agent fees, coverage, and remarketing fees.
Exclusive long-term lease or use agreement means an exclusive lease or use agreement between a public agency and an air carrier or foreign air carrier with a term of 5 years or more.
FAA Airports office means a regional, district or field office of the Federal Aviation Administration that administers Federal airport-related matters.
Financial need means that a public agency cannot meet its operational or debt service obligations and does not have at least a 2-month capital reserve fund.
Frequent flier award coupon means a zero-fare award of air transportation that an air carrier or foreign air carrier provides to a passenger in exchange for accumulated travel mileage credits in a customer loyalty program, whether or not the term “frequent flier” is used in the definition of that program. The definition of “frequent flier award coupon” does not extend to redemption of accumulated credits for awards of additional or upgraded service on trips for which the passenger has paid a published fare, “two-for-the-price-of-one” and similar marketing programs, or to air transportation purchased for a passenger by other parties.
Ground support equipment means service and maintenance equipment used at an airport to support aeronautical operations and related activities. Baggage tugs, belt loaders, cargo loaders, forklifts, fuel trucks, lavatory trucks, and pushback tractors are among the types of vehicles that fit this definition.
Implementation of an approved project means: (1) With respect to construction, issuance to a contractor of notice to proceed or the start of physical construction; (2) with respect to nonconstruction projects other than property acquisition, commencement of work by a contractor or public agency to carry out the statement of work; or (3) with respect to property acquisition projects, commencement of title search, surveying, or appraisal for a significant portion of the property to be acquired.
Issuing carrier means any air carrier or foreign air carrier that issues an air travel ticket or whose imprinted ticket stock is used in issuing such ticket by an agent.
Medium or large hub airport means a commercial service airport that has more than 0.25 percent of the total number of passenger boardings at all such airports in the U.S. for the prior calendar year, as determined by the Administrator.
Non-hub airport means a commercial service airport (as defined in 49 U.S.C. 47102) that has less than 0.05 percent of the passenger boardings in the U.S. in the prior calendar year on an aircraft in service in air commerce.
Nonrevenue passenger means a passenger receiving air transportation from an air carrier or foreign air carrier for which remuneration is not received by the air carrier or foreign air carrier as defined under Department of Transportation Regulations or as otherwise determined by the Administrator. Air carrier employees or others receiving air transportation against whom token service charges are levied are considered nonrevenue passengers. Infants for whom a token fare is charged are also considered nonrevenue passengers.
Notice of intent (to impose or use PFC revenue) means a notice under § 158.30 from a public agency controlling a non-hub airport that it intends to impose a PFC and/or use PFC revenue. Except for §§ 158.25 through 30, “notice of intent” can be used interchangeably with “application.”
One-way trip means any trip that is not a round trip.
Passenger enplaned means a domestic, territorial or international revenue passenger enplaned in the States in scheduled or nonscheduled service on aircraft in intrastate, interstate, or foreign commerce.
PFC means a passenger facility charge covered by this part imposed by a public agency on passengers enplaned at a commercial service airport it controls.
PFC administrative support costs means the reasonable and necessary costs of developing a PFC application or amendment, issuing and maintaining the required PFC records, and performing the required audit of the public agency's PFC account. These costs may include reasonable monthly financial account charges and transaction fees.
Project means airport planning, airport land acquisition or development of a single project, a multi-phased development program, (including but not limited to development described in an airport capital plan) or a new airport for which PFC financing is sought or approved under this part.
Public agency means a State or any agency of one or more States; a municipality or other political subdivision of a State; an authority created by Federal, State or local law; a tax-supported organization; an Indian tribe or pueblo that controls a commercial service airport; or for the purposes of this part, a private sponsor of an airport approved to participate in the Pilot Program on Private Ownership of Airports.
Round trip means a trip on a complete air travel itinerary which terminates at the origin point.
Significant business interest means an air carrier or foreign air carrier that:
(1) Had no less than 1.0 percent of passenger boardings at that airport in the prior calendar year,
(2) Had at least 25,000 passenger boardings at the airport in that prior calendar year, or
(3) Provides scheduled service at that airport.
State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, American Samoa, the Commonwealth of the Northern Mariana Islands, and Guam.
Unliquidated PFC revenue means revenue received by a public agency from collecting carriers but not yet used on approved projects.
Subject to the provisions of this part, the Administrator may grant authority to a public agency that controls a commercial service airport to impose a PFC of $1, $2, $3, $4, or $4.50 on passengers enplaned at such an airport. No public agency may impose a PFC under this part unless authorized by the Administrator. No State or political subdivision or agency thereof that is not a public agency may impose a PFC covered by this part.
(a) A State, political subdivision of a State, or authority of a State or political subdivision that is not the eligible public agency may not tax, regulate, prohibit, or otherwise attempt to control in any manner the imposition or collection of a PFC or the use of PFC revenue.
(b) No contract or agreement between an air carrier or foreign air carrier and a public agency may impair the authority of such public agency to impose a PFC or use the PFC revenue in accordance with this part.
(a) No public agency may impose a PFC on any passenger—
(1) For more than 2 boardings on a one-way trip or in each direction of a round trip;
(2) On any flight to an eligible point on an air carrier that receives essential air service compensation on that route. The Administrator makes available a list of carriers and eligible routes determined by the Department of Transportation for which PFC's may not be imposed under this section;
(3) Who is a nonrevenue passenger or obtained the ticket for air transportation with a frequent flier award coupon;
(4) On flights, including flight segments, between 2 or more points in Hawaii;
(5) In Alaska aboard an aircraft having a certificated seating capacity of fewer than 60 passengers; or
(6) Enplaning at an airport if the passenger did not pay for the air transportation that resulted in the enplanement due to Department of Defense charter arrangements and payments.
(b) No public agency may require a foreign airline that does not serve a point or points in the U.S. to collect a PFC from a passenger.
(a) Subject to the requirements of this part, a public agency may request that collection of PFC's not be required for—
(1) Passengers enplaned by any class of air carrier or foreign air carrier if the number of passengers enplaned by the carriers in the class constitutes not more than one percent of the total number of passengers enplaned annually at the airport at which the fee is imposed; or
(2) Passengers enplaned on a flight to an airport—
(i) That has fewer than 2,500 passenger boardings each year and receives scheduled passenger service; or
(ii) In a community that has a population of less than 10,000 and is not connected by a land highway or vehicular way to the land-connected National Highway System within a State.
(b) The public agency may request this exclusion authority under paragraph (a)(1) or (a)(2) of this section or both.
PFC revenue, including any interest earned after such revenue has been remitted to a public agency, may be used only to finance the allowable costs of approved projects at any airport the public agency controls.
(a) Total cost. PFC revenue may be used to pay all or part of the allowable cost of an approved project.
(b) PFC administrative support costs. Public agencies may use PFC revenue to pay for allowable administrative support costs. Public agencies must submit these costs as a separate project in each PFC application.
(c) Maximum cost for certain low-emission technology projects. If a project involves a vehicle or ground support equipment using low emission technology eligible under § 158.15(b), the FAA will determine the maximum cost that may be financed by PFC revenue. The maximum cost for a new vehicle is the incremental amount between the purchase price of a new low emission vehicle and the purchase price of a standard emission vehicle, or the cost of converting a standard emission vehicle to a low emission vehicle.
(d) Bond-associated debt service and financing costs. (1) Public agencies may use PFC revenue to pay debt service and financing costs incurred for a bond issued to carry out approved projects.
(2) If the public agency's bond documents require that PFC revenue be commingled in the general revenue stream of the airport and pledged for the benefit of holders of obligations, the FAA considers PFC revenue to have paid the costs covered in § 158.13(d)(1) if—
(i) An amount equal to the part of the proceeds of the bond issued to carry out approved projects is used to pay allowable costs of such projects; and
(ii) To the extent the PFC revenue collected in any year exceeds the debt service and financing costs on such bonds during that year, an amount equal to the excess is applied as required by § 158.39.
(e) Exception providing for the use of PFC revenue to pay for debt service for non-eligible projects. The FAA may authorize a public agency under § 158.18 to impose a PFC for payments for debt service on indebtedness incurred to carry out an airport project that is not eligible if the FAA determines that such use is necessary because of the financial need of the airport.
(f) Combination of PFC revenue and Federal grant funds. A public agency may combine PFC revenue and airport grant funds to carry out an approved project. These projects are subject to the record keeping and auditing requirements of this part, as well as the reporting, record keeping and auditing requirements imposed by the Airport and Airway Improvement Act of 1982 (AAIA).
(g) Non-Federal share. Public agencies may use PFC revenue to meet the non-Federal share of the cost of projects funded under the Federal airport grant program or the FAA “Program to Permit Cost-Sharing of Air Traffic Modernization Projects” under 49 U.S.C. 44517.
(h) Approval of project following approval to impose a PFC. The public agency may not use PFC revenue or interest earned thereon except on an approved project.
(a) To be eligible, a project must—
(1) Preserve or enhance safety, security, or capacity of the national air transportation system;
(2) Reduce noise or mitigate noise impacts resulting from an airport; or
(3) Furnish opportunities for enhanced competition between or among air carriers.
(b) Eligible projects are any of the following projects—
(1) Airport development eligible under subchapter I of chapter 471 of 49 U.S.C.;
(2) Airport planning eligible under subchapter I of chapter 471 of 49 U.S.C.;
(3) Terminal development as described in 49 U.S.C. 47110(d);
(4) Airport noise compatibility planning as described in 49 U.S.C. 47505;
(5) Noise compatibility measures eligible for Federal assistance under 49 U.S.C. 47504, without regard to whether the measures are approved under 49 U.S.C. 47504;
(6) Construction of gates and related areas at which passengers are enplaned or deplaned and other areas directly related to the movement of passengers and baggage in air commerce within the boundaries of the airport. These areas do not include restaurants, car rental and automobile parking facilities, or other concessions. Projects required to enable added air service by an air carrier with less than 50 percent of the annual passenger boardings at an airport have added eligibility. Such projects may include structural foundations and floor systems, exterior building walls and load-bearing interior columns or walls, windows, door and roof systems, building utilities (including heating, air conditioning, ventilation, plumbing, and electrical service), and aircraft fueling facilities next to the gate;
(7) A project approved under the FAA's “Program to Permit Cost-Sharing of Air Traffic Modernization Projects” under 49 U.S.C. 44517; or
(8) If the airport is in an air quality nonattainment area (as defined by section 171(2) of the Clean Air Act (42 U.S.C. 7501(2)) or a maintenance area referred to in section 175A of such Act (42 U.S.C. 7505a), and the project will result in the airport receiving appropriate emission credits as described in 49 U.S.C. 47139, a project for:
(i) Converting vehicles eligible under § 158.15(b)(1) and ground support equipment powered by a diesel or gasoline engine used at a commercial service airport to low-emission technology certified or verified by the Environmental Protection Agency to reduce emissions or to use cleaner burning conventional fuels; or
(ii) Acquiring for use at a commercial service airport vehicles eligible under § 158.15(b)(1) and, subject to § 158.13(c), ground support equipment that include low-emission technology or use cleaner burning fuels.
(c) An eligible project must be adequately justified to qualify for PFC funding.
(a) A project for any airport is eligible for PFC funding at levels of $4 or $4.50 if—
(1) The project meets the eligibility requirements of § 158.15;
(2) The project costs requested for collection at $4 or $4.50 cannot be paid for from funds reasonably expected to be available for the programs referred to in 49 U.S.C. 48103; and
(3) In the case of a surface transportation or terminal project, the public agency has made adequate provision for financing the airside needs of the airport, including runways, taxiways, aprons, and aircraft gates.
(b) In addition, a project for a medium or large airport is only eligible for PFC funding at levels of $4 or $4.50 if the project will make a significant contribution to improving air safety and security, increasing competition among air carriers, reducing current or anticipated congestion, or reducing the impact of aviation noise on people living near the airport.
(a) The FAA may authorize a public agency to impose a PFC to make payments for debt service on indebtedness incurred to carry out at the airport a project that is not eligible if the FAA determines it is necessary because of the financial need of the airport. The FAA defines financial need in § 158.3.
(b) A public agency may request authority to impose a PFC and use PFC revenue under this section using the PFC application procedures in § 158.25. The public agency must document its financial position and explain its financial recovery plan that uses all available resources.
(c) The FAA reviews the application using the procedures in § 158.27. The FAA will issue its decision on the public agency's request under § 158.29.
(a) Beginning in fiscal year 2001, no public agency may impose a PFC with respect to a covered airport unless the public agency has submitted a written competition plan. This requirement does not apply to PFC authority approved prior to April 5, 2000.
(b) The Administrator will review any plan submitted under paragraph (a) of this section to ensure that it meets the requirements of 49 U.S.C. 47106(f) and periodically will review its implementation to ensure that each covered airport successfully implements its plan.
(a) Letters and reports required by this part may be transmitted to the appropriate recipient (the public agency, air carrier, and/or the FAA) via e-mail, courier, facsimile, or U.S. Postal Service.
(1) Documents sent electronically to the FAA must be prepared in a format readable by the FAA. Interested parties can obtain the format at their local FAA Airports Office.
(2) Any transmission to FAA Headquarters, using regular U.S. Postal Service, is subject to inspection that may result in delay and damage due to the security process.
(b) Once the database development is completed with air carrier capability, public agencies and air carriers may use the FAA's national PFC database to post their required quarterly reports, and, in that case, do not have to distribute the reports in any other way.
This subpart specifies the consultation and application requirements under which a public agency may obtain approval to impose a PFC and use PFC revenue on a project. This subpart also establishes the procedure for the Administrator's review and approval of applications and amendments and establishes requirements for use of excess PFC revenue.
(a) Notice by public agency. A public agency must provide written notice to air carriers and foreign air carriers having a significant business interest at the airport where the PFC is proposed. A public agency must provide this notice before the public agency files an application with the FAA for authority to impose a PFC under § 158.25(b). In addition, public agencies must provide this notice before filing an application with the FAA for authority to use PFC revenue under § 158.25(c). Public agencies must also provide this notice before filing a notice of intent to impose and/or use a PFC under § 158.30. Finally, a public agency must provide this notice before filing a request to amend the FAA's decision with respect to an approved PFC as discussed in § 158.37(b)(1). The notice shall include:
(1) Descriptions of projects being considered for funding by PFC's;
(2) The PFC level for each project, the proposed charge effective date, the estimated charge expiration date, and the estimated total PFC revenue;
(3) For a request by a public agency that any class or classes of carriers not be required to collect the PFC—
(i) The designation of each such class,
(ii) The names of the carriers belonging to each such class, to the extent the names are known,
(iii) The estimated number of passengers enplaned annually by each such class, and
(iv) The public agency's reasons for requesting that carriers in each such class not be required to collect the PFC; and
(4) Except as provided in § 158.25(c)(2), the date and location of a meeting at which the public agency will present such projects to air carriers and foreign air carriers operating at the airport.
(b) Meeting. The meeting required by paragraph (a)(4) of this section shall be held no sooner than 30 days nor later than 45 days after issuance of the written notice required by paragraph (a) of this section. At or before the meeting, the public agency shall provide air carriers and foreign air carriers with—
(1) A description of projects;
(2) An explanation of the need for the projects; and
(3) A detailed financial plan for the projects, including—
(i) The estimated allowable project costs allocated to major project elements;
(ii) The anticipated total amount of PFC revenue that will be used to finance the projects; and
(iii) The source and amount of other funds, if any, needed to finance the projects.
(c) Requirements of air carriers and foreign air carriers. (1) Within 30 days following issuance of the notice required by paragraph (a) of this section, each carrier must provide the public agency with a written acknowledgement that it received the notice.
(2) Within 30 days following the meeting, each carrier must provide the public agency with a written certification of its agreement or disagreement with the proposed project. A certification of disagreement shall contain the reasons for such disagreement. The absence of such reasons shall void a certification of disagreement.
(3) If a carrier fails to provide the public agency with timely acknowledgement of the notice or timely certification of agreement or disagreement with the proposed project, the carrier is considered to have certified its agreement.
(a)(1) Notice by public agency. A public agency must provide written notice and an opportunity for public comment before:
(i) Filing an application with the FAA for authority to impose a PFC under § 158.25(b);
(ii) Filing an application with the FAA for authority to use PFC revenue under § 158.25(c);
(iii) Filing a notice of intent to impose and/or use a PFC under § 158.30; and
(iv) Filing a request to amend a previously approved PFC as discussed in § 158.37(b)(1).
(2) The notice must allow the public to file comments for at least 30 days, but no more than 45 days, after the date of publication of the notice or posting on the public agency's Web site, as applicable.
(b)(1) Notice contents. The notice required by § 158.24(a) must include:
(i) A description of the project(s) the public agency is considering for funding by PFC's;
(ii) A brief justification for each project the public agency is considering for funding by PFC's;
(iii) The PFC level for each project;
(iv) The estimated total PFC revenue the public agency will use for each project;
(v) The proposed charge effective date for the application or notice of intent;
(vi) The estimated charge expiration date for the application or notice of intent;
(vii) The estimated total PFC revenue the public agency will collect for the application or notice of intent; and
(viii) The name of and contact information for the person within the public agency to whom comments should be sent.
(2) The public agency must make available a more detailed project justification or the justification documents to the public upon request.
(c) Distribution of notice. The public agency must make the notice available to the public and interested agencies through one or more of the following methods:
(1) Publication in local newspapers of general circulation;
(2) Publication in other local media;
(3) Posting the notice on the public agency's Internet Web site; or
(4) Any other method acceptable to the Administrator.
(a) General. This section specifies the information the public agency must file when applying for authority to impose a PFC and for authority to use PFC revenue on a project. A public agency may apply for such authority at any commercial service airport it controls. The public agency must use the proposed PFC to finance airport-related projects at that airport or at any existing or proposed airport that the public agency controls. A public agency may apply for authority to impose a PFC before or concurrent with an application to use PFC revenue. If a public agency chooses to apply, it must do so by using FAA Form 5500-1, PFC Application (latest edition) and all applicable Attachments. The public agency must provide the information required under paragraphs (b) or (c), or both, of this section.
(b) Application for authority to impose a PFC. This paragraph sets forth the information to be submitted by all public agencies seeking authority to impose a PFC. A separate application shall be submitted for each airport at which a PFC is to be imposed. The application shall be signed by an authorized official of the public agency, and, unless otherwise authorized by the Administrator, must include the following:
(1) The name and address of the public agency.
(2) The name and telephone number of the official submitting the application on behalf of the public agency.
(3) The official name of the airport at which the PFC is to be imposed.
(4) The official name of the airport at which a project is proposed.
(5) A copy of the airport capital plan or other documentation of planned improvements for each airport at which a PFC financed project is proposed.
(6) A description of each project proposed.
(7) The project justification, including the extent to which the project achieves one or more of the objectives set forth in § 158.15(a) and (if a PFC level above $3 is requested) the requirements of § 158.17. In addition—
(i) For any project for terminal development, including gates and related areas, the public agency shall discuss any existing conditions that limit competition between and among air carriers and foreign air carriers at the airport, any initiatives it proposes to foster opportunities for enhanced competition between and among such carriers, and the expected results of such initiatives; or
(ii) For any terminal development project at a covered airport, the public agency shall submit a competition plan in accordance with § 158.19.
(8) The charge to be imposed for each project.
(9) The proposed charge effective date.
(10) The estimated charge expiration date.
(11) Information on the consultation with air carriers and foreign air carriers having a significant business interest at the airport and the public comment process, including:
(i) A list of such carriers and those notified;
(ii) A list of carriers that acknowledged receipt of the notice provided under § 158.23(a);
(iii) Lists of carriers that certified agreement and that certified disagreement with the project;
(iv) Information on which method under § 158.24(b) the public agency used to meet the public notice requirement; and
(v) A summary of substantive comments by carriers contained in any certifications of disagreement with each project and disagreements with each project provided by the public, and the public agency's reasons for continuing despite such disagreements.
(12) If the public agency is also filing a request under § 158.11—
(i) The request;
(ii) A copy of the information provided to the carriers under § 158.23(a)(3);
(iii) A copy of the carriers' comments with respect to such information;
(iv) A list of any class or classes of carriers that would not be required to collect a PFC if the request is approved; and
(v) The public agency's reasons for submitting the request in the face of opposing comments.
(13) A copy of information regarding the financing of the project presented to the carriers and foreign air carriers under § 158.23 of this part and as revised during the consultation.
(14) A copy of all comments received as a result of the carrier consultation and public comment processes.
(15) For an application not accompanied by a concurrent application for authority to use PFC revenue:
(i) A description of any alternative methods being considered by the public agency to accomplish the objectives of the project;
(ii) A description of alternative uses of the PFC revenue to ensure such revenue will be used only on eligible projects in the event the proposed project is not ultimately approved for use of PFC revenue;
(iii) A timetable with projected dates for completion of project formulation activities and submission of an application to use PFC revenue; and
(iv) A projected date of project implementation and completion.
(16) A signed statement certifying that the public agency will comply with the assurances set forth in Appendix A to this part.
(17) Such additional information as the Administrator may require.
(c) Application for authority to use PFC revenue. A public agency may use PFC revenue only for projects approved under this paragraph. This paragraph sets forth the information that a public agency shall submit, unless otherwise authorized by the Administrator, when applying for the authority to use PFC revenue to finance specific projects.
(1) An application submitted concurrently with an application for the authority to impose a PFC, must include:
(i) The information required under paragraphs (b)(1) through (15) of this section;
(ii) An FAA Form 5500-1, Attachment G, Airport Layout Plan, Airspace, and Environmental Findings (latest edition) providing the following information:
(A) For projects required to be shown on an ALP, the ALP depicting the project has been approved by the FAA and the date of such approval;
(B) All environmental reviews required by the National Environmental Policy Act (NEPA) of 1969 have been completed and a copy of the final FAA environmental determination with respect to the project has been approved, and the date of such approval, if such determination is required; and
(C) The final FAA airspace determination with respect to the project has been completed, and the date of such determination, if an airspace study is required.
(iii) The information required by §§ 158.25(b)(16) and 158.25(b)(17).
(2) An application where the authority to impose a PFC has been previously approved:
(i) Must not be filed until the public agency conducts further consultation with air carriers and foreign air carriers under § 158.23. However, the meeting required under § 158.23(a)(4) is optional if there are no changes to the projects after approval of the impose authority and further opportunity for public comment under § 158.24; and
(ii) Must include a summary of further air carrier consultation and the public agency's response to any disagreements submitted under the air carrier consultation and public comment processes conducted under paragraph (c)(2)(i) of this section;
(iii) Must include the following, updated and changed where appropriate:
(A) FAA Form 5500-1 without attachments except as required below;
(B) For any projects where there have been no changes since the FAA approved authority to impose a PFC for those projects, a list of projects included in this application for use authority. The FAA will consider the information on these projects, filed with the impose authority application, incorporated by reference; and
(C) For any project that has changed since receiving impose authority, the public agency must file an Attachment B for that project clearly describing the changes to the project.
(iv) An FAA Form 5500-1, Attachment G, Airport Layout Plan, Airspace, and Environmental Findings (latest edition) providing the following information:
(A) For projects required to be shown on an ALP, the ALP depicting the project has been approved by the FAA and the date of such approval;
(B) All environmental reviews required by the National Environmental Policy Act (NEPA) of 1969 have been completed and a copy of the final FAA environmental determination with respect to the project has been approved, and the date of such approval, if such determination is required; and
(C) The final FAA airspace determination with respect to the project has been completed, and the date of such determination, if an airspace study is required; and
(v) The information required by §§ 158.25(b)(16) and 158.25(b)(17).
(a) General. This section describes the process for review of all applications filed under § 158.25 of this part.
(b) Determination of completeness. Within 30 days after receipt of an application by the FAA Airports office, the Administrator determines whether the application substantially complies with the requirements of § 158.25.
(c) Process for substantially complete application. If the Administrator determines the application is substantially complete, the following procedures apply:
(1) The Administrator advises the public agency by letter that its application is substantially complete.
(2) The Administrator may opt to publish a notice in the
(3) If the Administrator publishes a notice, the public agency—
(i) Shall make available for inspection, upon request, a copy of the application, notice, and other documents germane to the application, and
(ii) May publish the notice in a newspaper of general circulation in the area where the airport covered by the application is located.
(4) After reviewing the application and any public comments received from a
(d) Process for applications not substantially complete. If the Administrator determines an application is not substantially complete, the following procedures apply:
(1) The Administrator notifies the public agency in writing that its application is not substantially complete. The notification will list the information required to complete the application.
(2) Within 15 days after the Administrator sends such notification, the public agency shall advise the Administrator in writing whether it intends to supplement its application.
(3) If the public agency declines to supplement the application, the Administrator follows the procedures for review of an application set forth in paragraph (c) of this section and issues a final decision approving or disapproving the application, in whole or in part, no later than 120 days after the application was received by the FAA Airports office.
(4) If the public agency supplements its application, the original application is deemed to be withdrawn for purposes of applying the statutory deadline for the Administrator's decision. Upon receipt of the supplement, the Administrator issues a final decision approving or disapproving the supplemented application, in whole or in part, no later than 120 days after the supplement was received by the FAA Airports office.
(e) The Federal Register notice. The
(1) The name of the public agency and the airport at which the PFC is to be imposed;
(2) A brief description of the PFC project, the level of the proposed PFC, the proposed charge effective date, the proposed charge expiration date and the total estimated PFC revenue;
(3) The address and telephone number of the FAA Airports office at which the application may be inspected;
(4) The Administrator's determination on whether the application is substantially complete and any information required to complete the application; and
(5) The due dates for any public comments.
(f) Public comments. (1) Interested persons may file comments on the application within 30 days after publication of the Administrator's notice in the
(2) Three copies of these comments shall be submitted to the FAA Airports office identified in the
(3) Commenters shall also provide one copy of their comments to the public agency.
(4) Comments from air carriers and foreign air carriers may be in the same form as provided to the public agency under § 158.23.
(a) Authority to impose a PFC. (1) An application to impose a PFC will be approved in whole or in part only after a determination that—
(i) The amount and duration of the PFC will not result in revenue that exceeds amounts necessary to finance the project;
(ii) The project will achieve the objectives and criteria set forth in § 158.15 except for those projects approved under § 158.18.
(iii) If a PFC level above $3 is being approved, the project meets the criteria set forth in § 158.17;
(iv) The collection process, including any request by the public agency not to require a class of carriers to collect PFC's, is reasonable, not arbitrary, nondiscriminatory, and otherwise in compliance with the law;
(v) The public agency has not been found to be in violation of 49 U.S.C. 47524 and 47526;
(vi) The public agency has not been found to be in violation of 49 U.S.C. 47107(b) governing the use of airport revenue;
(vii) If the public agency has not applied for authority to use PFC revenue, a finding that there are alternative uses of the PFC revenue to ensure that such revenue will be used on approved projects; and
(viii) If applicable, the public agency has submitted a competition plan in accordance with § 158.19.
(2) The Administrator notifies the public agency in writing of the decision on the application. The notification will list the projects and alternative uses that may qualify for PFC financing under § 158.15, and (if a PFC level above $3 is being approved) § 158.17, PFC level, total approved PFC revenue including the amounts approved at $3 and less, $4, and/or $4.50, duration of authority to impose and earliest permissible charge effective date.
(b) Authority to use PFC revenue on an approved project. (1) An application for authority to use PFC revenue will be approved in whole or in part only after a determination that—
(i) The amount and duration of the PFC will not result in revenue that exceeds amounts necessary to finance the project;
(ii) The project will achieve the objectives and criteria set forth in § 158.15 except for those projects approved under § 158.18.
(iii) If a PFC level above $3 is being approved, the project meets the criteria set forth in § 158.17; and
(iv) All applicable requirements pertaining to the ALP for the airport, airspace studies for the project, and the National Environmental Policy Act of 1969 (NEPA), have been satisfied.
(2) The Administrator notifies the public agency in writing of the decision on the application. The notification will list the approved projects, PFC level, total approved PFC revenue, total approved for collection, including the amounts approved at $3 and less, $4, and/or $4.50, and any limit on the duration of authority to impose a PFC as prescribed under § 158.33.
(3) Approval to use PFC revenue to finance a project shall be construed as approval of that project.
(c) Disapproval of application. (1) If an application is disapproved, the Administrator notifies the public agency in writing of the decision and the reasons for the disapproval.
(2) A public agency reapplying for approval to impose or use a PFC must comply with §§ 158.23, 158.24, and 158.25.
(d) The Administrator publishes a monthly notice of PFC approvals and disapprovals in the
(a) General. This section specifies the procedures a public agency controlling a non-hub airport must follow when notifying the FAA of its intent to impose a PFC and to use PFC revenue on a project under this section. In addition, this section describes the FAA's rules for reviewing and acknowledging a notice of intent filed under this section. A public agency may notify the FAA of its intent to impose a PFC before or concurrent with a notice of intent to use PFC revenue. A public agency must file a notice of intent in the manner and form prescribed by the Administrator and must include the information required under paragraphs (b), (c), or both, of this section.
(b) Notice of intent to impose a PFC. This paragraph sets forth the information a public agency must file to notify the FAA of its intent to impose a PFC under this section. The public agency must file a separate notice of intent for each airport at which the public agency plans on imposing a PFC. An authorized official of the public agency must sign the notice of intent and, unless authorized by the Administrator, must include:
(1) A completed FAA Form 5500-1, PFC Application (latest edition) without attachments except as required below;
(2) Project information (in the form and manner prescribed by the FAA) including the project title, PFC funds sought, PFC level sought, and, if an existing Airport Improvement Program (AIP) grant already covers this project, the grant agreement number.
(3) If an existing AIP grant does not cover this project, the notice of intent must include the information in paragraph (b)(2) of this section as well as the following:
(i) Additional information describing the proposed schedule for the project,
(ii) A description of how this project meets one of the PFC objectives in § 158.15(a), and
(iii) A description of how this project meets the adequate justification requirement in § 158.15(c).
(4) A copy of any comments received by the public agency during the air carrier consultation and public comment processes (§§ 158.23 and 158.24) and the public agency's response to any disagreements.
(5) If applicable, a request to exclude a class of carriers from the requirement to collect the PFC (§ 158.11).
(6) A signed statement certifying that the public agency will comply with the assurances set forth in Appendix A to this part.
(7) Any additional information the Administrator may require.
(c) Notice of intent to use PFC revenue. A public agency may use PFC revenue only for projects included in notices filed under this paragraph or approved under § 158.29. This paragraph sets forth the information that a public agency must file, unless otherwise authorized by the Administrator, in its notice of intent to use PFC revenue to finance specific projects under this section.
(1) A notice of intent to use PFC revenue filed concurrently with a notice of intent to impose a PFC must include:
(i) The information required under paragraphs (b)(1) through (7) of this section;
(ii) A completed FAA Form 5500-1, Attachment G, Airport Layout Plan, Airspace, and Environmental Findings (latest edition) for all projects not included in an existing Federal airport program grant.
(2) A notice of intent to use PFC revenue where the FAA has previously acknowledged a notice of intent to impose a PFC must:
(i) Be preceded by further consultation with air carriers and the opportunity for public comment under §§ 158.23 and 158.24 of this part. However, a meeting with the air carriers is optional if all information is the same as that provided with the impose authority notice;
(ii) Include a copy of any comments received by the public agency during the air carrier consultation and public comment processes (§§ 158.23 and 158.24) and the public agency's response to any disagreements or negative comments; and
(iii) Include any updated and changed information:
(A) Required by paragraphs (b)(1), (2), (5), (6), and (7) of this section; and
(B) Required by paragraph (c)(1)(ii) of this section.
(d) FAA review of notices of intent. (1) The FAA will review the notice of intent to determine that:
(A) The amount and duration of the PFC will not result in revenue that exceeds the amount necessary to finance the project(s);
(B) Each proposed project meets the requirements of § 158.15;
(C) Each project proposed at a PFC level above $3.00 meets the requirements of § 158.17(a)(2) and (3);
(D) All applicable airport layout plan, airspace, and environmental requirements have been met for each project;
(E) Any request by the public agency to exclude a class of carriers from the requirement to collect the PFC is reasonable, not arbitrary, nondiscriminatory, and otherwise complies with the law; and
(F) The consultation and public comment processes complied with §§ 158.23 and 158.24.
(2) The FAA will also make a determination regarding the public agency's compliance with 49 U.S.C. 47524 and 47526 governing airport noise and access restrictions and 49 U.S.C. 47107(b) governing the use of airport revenue. Finally, the FAA will review all comments filed during the air carrier consultation and public comment processes.
(e) FAA acknowledgment of notices of intent. Within 30 days of receipt of the public agency's notice of intent about its PFC program, the FAA will issue a written acknowledgment of the public agency's notice. The FAA's acknowledgment may concur with all proposed projects, may object to some or all proposed projects, or may object to the notice of intent in its entirety. The FAA's acknowledgment will include the reason(s) for any objection(s).
(f) Public agency actions following issuance of FAA acknowledgment letter. If the FAA does not object to either a project or the notice of intent in its entirety, the public agency may implement its PFC program. The public agency's implementation must follow the information specified in its notice of intent. If the FAA objects to a project, the public agency may not collect or use PFC revenue on that project. If the FAA objects to the notice of intent in its entirety, the public agency may not implement the PFC program proposed in that notice. When implementing a PFC under this section, except for § 158.25, a public agency must comply with all sections of part 158.
(g) Acknowledgment not an order. An FAA acknowledgment issued under this section is not considered an order issued by the Secretary for purposes of 49 U.S.C. 46110 (Judicial Review).
(h) Sunset provision. This section will expire May 9, 2008.
A public agency that has begun implementing an approved project may impose a PFC until—
(a) The charge expiration date is reached;
(b) The total PFC revenue collected plus interest earned thereon equals the allowable cost of the approved project;
(c) The authority to collect the PFC is terminated by the Administrator under subpart E of this part; or
(d) The public agency is determined by the Administrator to be in violation of 49 U.S.C. 47524 and 47526, and the authority to collect the PFC is terminated under that statute's implementing regulations under this title.
(a) A public agency shall not impose a PFC beyond the lesser of the following—
(1) 2 years after approval to use PFC revenue on an approved project if the project has not been implemented, or
(2) 5 years after the charge effective date; or
(3) 5 years after the FAA's decision on the application (if the charge effective date is more than 60 days after the decision date) if an approved project is not implemented.
(b) If, in the Administrator's judgment, the public agency has not made sufficient progress toward implementation of an approved project within the times specified in paragraph (a) of this section, the Administrator begins termination proceedings under subpart E of this part.
(c) The authority to impose a PFC following approval shall automatically expire without further action by the Administrator on the following dates:
(1) 3 years after the charge effective date; or 3 years after the FAA's decision on the application if the charge effective date is more than 60 days after the decision date unless—
(i) The public agency has filed an application for approval to use PFC revenue for an eligible project that is pending before the FAA;
(ii) An application to use PFC revenue has been approved; or
(iii) A request for extension (not to exceed 2 years) to submit an application for project approval, under § 158.35, has been granted; or
(2) 5 years after the charge effective date; or 5 years after the FAA's decision on the application (if the charge effective date is more than 60 days after the decision date) unless the public agency has obtained project approval.
(d) If the authority to impose a PFC expires under paragraph (c) of this section, the public agency must provide the FAA with a list of the air carriers and foreign air carriers operating at the airport and all other collecting carriers that have remitted PFC revenue to the public agency in the preceding 12 months. The FAA notifies each of the listed carriers to terminate PFC collection no later than 30 days after the date of notification by the FAA.
(e) Restriction on reauthorization to impose a PFC. Whenever the authority to impose a PFC has expired or been terminated under this section, the Administrator will not grant new approval to impose a PFC in advance of implementation of an approved project.
(a) A public agency may request an extension of time to submit an application to use PFC revenue after approval of an application to impose PFC's. At least 30 days prior to submitting such request, the public agency shall publish notice of its intention to request an extension in a local newspaper of general circulation and shall request comments. The notice shall include progress on the project, a revised schedule for obtaining project approval and reasons for the delay in submitting the application.
(b) The request shall be submitted at least 120 days prior to the charge expiration date and, unless otherwise authorized by the Administrator, shall be accompanied by the following:
(1) A description of progress on the project application to date.
(2) A revised schedule for submitting the application.
(3) An explanation of the reasons for delay in submitting the application.
(4) A summary financial report depicting the total amount of PFC revenue collected plus interest, the projected amount to be collected during the period of the requested extension, and any public agency funds used on the project for which reimbursement may be sought.
(5) A summary of any further consultation with air carriers and foreign air carriers operating at the airport.
(6) A summary of comments received in response to the local notice.
(c) The Administrator reviews the request for extension and accompanying information, to determine whether—
(1) The public agency has shown good cause for the delay in applying for project approval;
(2) The revised schedule is satisfactory; and
(3) Further collection will not result in excessive accumulation of PFC revenue.
(d) The Administrator, upon determining that the agency has shown good cause for the delay and that other elements of the request are satisfactory, grants the request for extension to the public agency. The Administrator advises the public agency in writing not more than 90 days after receipt of the request. The duration of the extension shall be as specified in § 158.33 of this part.
(a)(1) A public agency may amend the FAA's decision with respect to an approved PFC to:
(i) Increase or decrease the level of PFC the public agency wants to collect from each passenger,
(ii) Increase or decrease the total approved PFC revenue,
(iii) Change the scope of an approved project,
(iv) Delete an approved project, or
(v) Establish a new class of carriers under § 158.11 or amend any such class previously approved.
(2) A public agency may not amend the FAA's decision with respect to an approved PFC to add projects, change an approved project to a different facility type, or alter an approved project to accomplish a different purpose.
(b) The public agency must file a request to the Administrator to amend the FAA's decision with respect to an approved PFC. The request must include or demonstrate:
(1)(i) Further consultation with the air carriers and foreign air carriers and seek public comment in accordance with §§ 158.23 and 158.24 when applying for those requests to:
(A) Amend the approved PFC amount for a project by more than 25 percent of the original approved amount if the amount was $1,000,000 or greater,
(B) Amend the approved PFC amount for a project by any percentage if the original approved amount was below $1,000,000 and the amended approved amount is $1,000,000 or greater,
(C) Change the scope of a project, or
(D) Increase the PFC level to be collected from each passenger.
(ii) No further consultation with air carriers and foreign air carriers or public comment is required by a public agency in accordance with §§ 158.23 and 158.24 when applying for an amendment in the following situations:
(A) To institute a decrease in the level of PFC to be collected from each passenger;
(B) To institute a decrease in the total PFC revenue;
(C) To institute an increase of 25 percent or less of the original approved amount if the amount was more than $1,000,000; or
(D) To institute an increase of any amount if the original approved amount of the project was less than $1,000,000 and if the amended approved amount of the project remains below $1,000,000; or
(E) To establish a new class of carriers under § 158.11 or amend any such class previously approved; or
(F) To delete an approved project.
(2) A copy of any comments received from the processes in paragraph (b)(1)(A) of this section for the carrier consultation and the opportunity for public comment in accordance with §§ 158.23 and 158.24;
(3) The public agency's reasons for continuing despite any objections;
(4) A description of the proposed amendment;
(5) Justification, if the amendment involves an increase in the PFC amount for a project by more than 25 percent of the original approved amount if that amount is $1,000,000 or greater, an increase in the PFC amount by any percentage if the original approved amount was less than $1,000,000 and the amended approved amount is $1,000,000 or greater, a change in the approved project scope, or any increase in the approved PFC level to be collected from each passenger.
(6) A description of how each project meets the requirements of § 158.17(b), for each project proposed for an increase of the PFC level above $3.00 at a medium or large hub airport;
(7) A signed statement certifying that the public agency has met the requiements of § 158.19, if applicable, for any amendment proposing to increase the PFC level above $3.00 at a medium or large hub airport; and
(8) Any other information the Administrator may require.
(c) The Administrator will approve, partially approve or disapprove the amendment request and notify the public agency of the decision within 30 days of receipt of the request. If a PFC level of more than $3.00 is approved, the Administrator must find the project meets the requirements of §§ 158.17 and 158.19, if applicable, before the public agency can implement the new PFC level.
(d) The public agency must notify the carriers of any change to the FAA's decision with respect to an approved PFC resulting from an amendment. The effective date of any new PFC level must be no earlier than the first day of a month which is at least 30 days from the date the public agency notifies the carriers.
(a) If the PFC revenue remitted to the public agency, plus interest earned thereon, exceeds the allowable cost of the project, the public agency must use the excess funds for approved projects or to retire outstanding PFC-financed bonds.
(b) For bond-financed projects, any excess PFC revenue collected under debt servicing requirements shall be retained by the public agency and used for approved projects or retirement of outstanding PFC-financed bonds.
(c) When the authority to impose a PFC has expired or has been terminated, accumulated PFC revenue shall be used for approved projects or retirement of outstanding PFC-financed bonds.
(d) Within 30 days after the authority to impose a PFC has expired or been terminated, the public agency must present a plan to the appropriate FAA Airports office to begin using accumulated PFC revenue. The plan must include a timetable for submitting any necessary application under this part. If the public agency fails to submit such a plan, or if the plan is not acceptable to the Administrator, the Administrator may reduce Federal airport grant program apportioned funds.
This subpart contains the requirements for notification, collection, handling and remittance of PFC's.
(a) Following approval of an application to impose a PFC under subpart B of this part, the public agency shall notify the air carriers and foreign air carriers required to collect PFC's at its airport of the Administrator's approval. Each notified carrier shall notify its agents, including other issuing carriers, of the collection requirement.
(b) The notification shall be in writing and contain at a minimum the following information:
(1) The level of PFC to be imposed.
(2) The total revenue to be collected.
(3) The charge effective date will always be the first day of the month; however, it must be at least 30 days after the date the public agency notified the air carriers of the FAA's approval to impose the PFC.
(4) The proposed charge expiration date.
(5) A copy of the Administrator's notice of approval.
(6) The address where remittances and reports are to be filed by carriers.
(c) The public agency must notify air carriers required to collect PFCs at its airport and the FAA of changes in the charge expiration date at least 30 days before the existing charge expiration date or new charge expiration date, whichever comes first. Each notified air carrier must notify its agents, including other issuing carriers, of such changes.
(d) The public agency shall provide a copy of the notification to the appropriate FAA Airports office.
(a) On and after the charge effective date, tickets issued in the U.S. shall include the required PFC except as provided in paragraphs (c) and (d) of this section.
(1) Issuing carriers shall be responsible for all funds from time of collection to remittance.
(2) The appropriate charge is the PFC in effect at the time the ticket is issued.
(3) Issuing carriers and their agents shall collect PFCs based on the itinerary at the time of issuance.
(i) Any change in itinerary initiated by a passenger that requires an adjustment to the amount paid by the passenger is subject to collection or refund of the PFC as appropriate.
(ii) Failure to travel on a nonrefundable or expired ticket is not a change in itinerary. If the ticket purchaser is not permitted any fare refund on the unused ticket, the ticket purchaser is not permitted a refund of any PFC associated with that ticket.
(b) Issuing carriers and their agents shall note as a separate item on each air travel ticket upon which a PFC is shown, the total amount of PFC's paid by the passenger and the airports for which the PFC's are collected.
(c) For each one-way trip shown on the complete itinerary of an air travel ticket, issuing air carriers and their agents shall collect a PFC from a passenger only for the first two airports where PFC's are imposed. For each round trip, a PFC shall be collected only for enplanements at the first two enplaning airports and the last two enplaning airports where PFC's are imposed.
(d) In addition to the restriction in paragraph (c) of this section, issuing carriers and their agents shall not collect PFC's from a passenger covered by any of the other limitations described in § 158.9(a).
(e) Collected PFC's shall be distributed as noted on the air travel ticket.
(f) Issuing carriers and their agents shall stop collecting the PFC's on the charge expiration date stated in a notice from the public agency, or as required by the Administrator.
(a) For tickets issued outside the U.S., an air carrier or foreign air carrier may follow the requirements of either § 158.45 or this section, unless the itinerary is for travel wholly within the U.S. Air carriers and foreign air carriers must comply with § 158.45 where the itinerary is for travel wholly within the U.S. regardless of where the ticket is issued.
(b) Notwithstanding any other provisions of this part, no foreign airline is required to collect a PFC on air travel tickets issued on its own ticket stock unless it serves a point or points in the U.S.
(c) If an air carrier or foreign air carrier elects not to comply with § 158.45 for tickets issued outside the U.S.—
(1) The carrier is required to collect PFC's on such tickets only for the public agency controlling the last airport at which the passenger is enplaned prior to departure from the U.S.
(2) The carrier may collect the PFC either at the time the ticket is issued or at the time the passenger is last enplaned prior to departure from the U.S. The carrier may vary the method of collection among its flights.
(3) The carrier shall provide a written record to the passenger that a PFC has been collected. Such a record shall appear on or with the air travel ticket and shall include the same information as required by § 158.45(b), but need not be preprinted on the ticket stock.
(4) Issuing carriers and their agents shall collect PFCs based on the itinerary at the time of issuance.
(i) Any change in itinerary initiated by a passenger that requires an adjustment to the amount paid by the passenger is subject to collection or refund of the PFC as appropriate.
(ii) Failure to travel on a nonrefundable or expired ticket is not a change in itinerary. If the ticket purchaser is not permitted any fare refund on the unused ticket, the ticket purchaser is not permitted a refund of any PFC associated with that ticket.
(d) With respect to a flight on which the air carrier or foreign air carrier chooses to collect the PFC at the time the air travel ticket is issued—
(1) The carrier and its agents shall collect the required PFC on tickets issued on or after the charge effective date.
(2) The carrier is not required to collect PFC's at the time of enplanement for tickets sold by other air carriers or foreign air carriers or their agents.
(e) With respect to a flight on which the air carrier or foreign air carrier chooses to collect the PFC at the time of enplanement, the carrier shall examine the air travel ticket of each passenger enplaning at the airport on and after the charge effective date and shall collect the PFC from any passenger whose air travel ticket does not include a written record indicating that the PFC was collected at the time of issuance.
(f) Collected PFC's shall be distributed as noted on the written record provided to the passenger.
(g) Collecting carriers shall be responsible for all funds from time of collection to remittance.
(h) Collecting carriers and their agents shall stop collecting the PFC on the charge expiration date stated in a notice from the public agency, or as required by the Administrator.
(a) Collecting carriers shall establish and maintain a financial management system to account for PFC's in accordance with the Department of Transportation's Uniform System of Accounts and Reports (14 CFR part 241). For carriers not subject to 14 CFR part 241, such carriers shall establish and maintain an accounts payable system to handle PFC revenue with subaccounts for each public agency to which such carrier remits PFC revenue.
(b) Collecting carriers must account for PFC revenue separately. PFC revenue may be commingled with the air carrier's other sources of revenue except for covered air carriers discussed in paragraph (c) of this section. PFC revenues held by an air carrier or an agent of the air carrier after collection are held in trust for the beneficial interest of the public agency imposing the PFC. Such air carrier or agent holds neither legal nor equitable interest in the PFC revenues except for any handling fee or interest collected on unremitted proceeds as authorized in § 158.53.
(c)(1) A covered air carrier must segregate PFC revenue in a designated separate PFC account. Regardless of the amount of PFC revenue in the covered air carrier's account at the time the bankruptcy petition is filed, the covered air carrier must deposit into the separate PFC account an amount equal to the average monthly liability for PFCs collected under this section by such air carrier or any of its agents.
(i) The covered air carrier is required to create one PFC account to cover all PFC revenue it collects. The designated PFC account is solely for PFC transactions and the covered air carrier must make all PFC transactions from that PFC account. The covered air carrier is not required to create separate PFC accounts for each airport where a PFC is imposed.
(ii) The covered air carrier must transfer PFCs from its general accounts into the separate PFC account in an amount equal to the average monthly liability for PFCs as the “PFC reserve.” The PFC reserve must equal a one-month average of the sum of the total PFCs collected by the covered air carrier, net of any credits or handling fees allowed by law, during the past 12-month period of PFC collections immediately before entering bankruptcy.
(iii) The minimum PFC reserve balance must never fall below the fixed amount defined in paragraph (c)(1)(ii) of this section.
(iv) A covered air carrier may continue to deposit the PFCs it collects into its general operating accounts combined with ticket sales revenue. However, at least once every business day, the covered air carrier must remove all PFC revenue (Daily PFC amount) from those accounts and transfer it to the new PFC account. An estimate based on
(A) In the event a covered air carrier ceases operations while still owing PFC remittances, the PFC reserve fund may be used to make those remittances. If there is any balance in the PFC reserve fund after all PFC remittances are made, that balance will be returned to the covered air carrier's general account.
(B) In the event a covered air carrier emerges from bankruptcy protection and ceases to be a covered air carrier, any balance remaining in the PFC reserve fund after any outstanding PFC obligations are met will be returned to the air carrier's general account.
(v) If the covered air carrier uses an estimate rather than the daily PFC amount, the covered air carrier shall reconcile the estimated amount with the actual amount of PFCs collected for the prior month (Actual Monthly PFCs). This reconciliation must take place no later than the 20th day of the month (or the next business day if the date is not a business day). In the event the Actual Monthly PFCs are greater than the aggregate estimated PFC amount, the covered air carrier will, within one business day of the reconciliation, deposit the difference into the PFC account. If the Actual Monthly PFCs are less than the aggregate estimated PFC amount, the covered air carrier will be entitled to a credit in the amount of the difference to be applied to the daily PFC amount due.
(vi) The covered air carrier is permitted to recalculate and reset the PFC reserve and daily PFC amount on each successive anniversary date of its bankruptcy petition using the methodology described above.
(2) If a covered air carrier or its agent fails to segregate PFC revenue in violation of paragraph (c)(1) of this section, the trust fund status of such revenue shall not be defeated by an inability of any party to identify and trace the precise funds in the accounts of the air carrier.
(3) A covered air carrier and its agents may not grant to any third party any security or other interest in PFC revenue.
(4) A covered air carrier that fails to comply with any requirement of paragraph (c) of this section, or causes an eligible public agency to spend funds to recover or retain payment of PFC revenue, must compensate that public agency for those cost incurred to recover the PFCs owed.
(5) The provisions of paragraph (b) of this section that allow the commingling of PFCs with other air carrier revenue do not apply to a covered air carrier.
(d) All collecting air carriers must disclose the existence and amount of PFC funds regarded as trust funds in their financial statements.
Passenger facility charges collected by carriers shall be remitted to the public agency on a monthly basis. PFC revenue recorded in the accounting system of the carrier, as set forth in § 158.49 of this part, shall be remitted to the public agency no later than the last day of the following calendar month (or if that date falls on a weekend or holiday, the first business day thereafter).
(a) As compensation for collecting, handling, and remitting the PFC revenue, the collecting air carrier is entitled to:
(1) $0.11 of each PFC collected.
(2) Any interest or other investment return earned on PFC revenue between the time of collection and remittance to the public agency.
(b) A covered air carrier that fails to designate a separate PFC account is prohibited from collecting interest on the PFC revenue. Where a covered air carrier maintains a separate PFC account in compliance with § 158.49(c), it will receive the interest on PFC accounts as described in paragraph (a)(2) of this section.
(c)(1) Collecting air carriers may provide collection cost data periodically to the FAA after the agency issues a notice in the
(i) Credit card fees;
(ii) Audit fees;
(iii) PFC disclosure fees;
(iv) Reservations costs;
(v) Passenger service costs;
(vi) Revenue accounting, data entry, accounts payable, tax, and legal fees;
(vii) Corporate property department costs;
(viii) Training for reservations agents, ticket agents, and other departments;
(ix) Ongoing carrier information systems costs;
(x) Ongoing computer reservations systems costs; and
(xi) Airline Reporting Corporation fees.
(2) The FAA may determine a new compensation level based on an analysis of the data provided under paragraph (c)(1) of this section, if the data is submitted by carriers representing at least 75 percent of PFCs collected nationwide.
(3) Any new compensation level determined by the FAA under paragraph (c)(2) of this section will replace the level identified in paragraph (a)(1) of this section.
This subpart contains the requirements for reporting, recordkeeping and auditing of accounts maintained by collecting carriers and by public agencies.
(a) The public agency must provide quarterly reports to air carriers collecting PFCs for the public agency with a copy to the appropriate FAA Airports Office. The quarterly report must include:
(1) Actual PFC revenue received from collecting air carriers, interest earned, and project expenditures for the quarter;
(2) Cumulative actual PFC revenue received, interest earned, project expenditures, and the amount committed for use on currently approved projects, including the quarter;
(3) The PFC level for each project; and
(4) Each project's current schedule.
(b) The report shall be provided on or before the last day of the calendar month following the calendar quarter or other period agreed by the public agency and collecting carrier.
(c) For medium and large hub airports, the public agency must provide to the FAA, by July 1 of each year, an estimate of PFC revenue to be collected for each airport in the following fiscal year.
(a) Each air carrier collecting PFCs for a public agency must provide quarterly reports to the public agency unless otherwise agreed by the collecting air carrier and public agency, providing an accounting of funds collected and funds remitted.
(1) Unless otherwise agreed by the collecting air carrier and public agency, reports must state:
(i) The collecting air carrier and airport involved,
(ii) The total PFC revenue collected,
(iii) The total PFC revenue refunded to passengers,
(iv) The collected revenue withheld for reimbursement of expenses under § 158.53, and
(v) The dates and amounts of each remittance for the quarter.
(2) The report must be filed by the last day of the month following the calendar quarter or other period agreed by the collecting carrier and public agency for which funds were collected.
(b) A covered air carrier must provide the FAA with:
(1) A copy of its quarterly report by the established schedule under paragraph (a) of this section; and
(2) A monthly PFC account statement delivered not later than the fifth day of the following month. This monthly statement must include:
(i) The balance in the account on the first day of the month,
(ii) The total funds deposited during the month,
(iii) The total funds disbursed during the month, and
(iv) The closing balance in the account.
(a) Each public agency shall keep any unliquidated PFC revenue remitted to it by collecting carriers on deposit in an interest bearing account or in other interest bearing instruments used by the public agency's airport capital fund. Interest earned on such PFC revenue shall be used, in addition to the principal, to pay the allowable costs of PFC-funded projects. PFC revenue may only be commingled with other public agency airport capital funds in deposits or interest bearing instruments.
(b) Each public agency shall establish and maintain for each approved application a separate accounting record. The accounting record shall identify the PFC revenue received from the collecting carriers, interest earned on such revenue, the amounts used on each project, and the amount reserved for currently approved projects.
(c) At least annually during the period the PFC is collected, held or used, each public agency shall provide for an audit of its PFC account. The audit shall be performed by an accredited independent public accountant and may be of limited scope. The accountant shall express an opinion of the fairness and reasonableness of the public agency's procedures for receiving, holding, and using PFC revenue. The accountant shall also express an opinion on whether the quarterly report required under § 158.63 fairly represents the net transactions within the PFC account. The audit may be—
(1) Performed specifically for the PFC account; or
(2) Conducted as part of an audit under Office of Management and Budget Circular A-133 (the Single Audit Act of 1984, Pub. L. 98-502, and the Single Audit Act Amendments of 1996, Pub. L. 104-156) provided the auditor specifically addresses the PFC.
(3) Upon request, a copy of the audit shall be provided to each collecting carrier that remitted PFC revenue to the public agency in the period covered by the audit and to the Administrator.
(a) Collecting carriers shall establish and maintain for each public agency for which they collect a PFC an accounting record of PFC revenue collected, remitted, refunded and compensation retained under § 158.53(a) of this part. The accounting record shall identify the airport at which the passengers were enplaned.
(b) Each collecting carrier that collects more than 50,000 PFC's annually shall provide for an audit at least annually of its PFC account.
(1) The audit shall be performed by an accredited independent public accountant and may be of limited scope. The accountant shall express an opinion on the fairness and reasonableness of the carrier's procedures for collecting, holding, and dispersing PFC revenue. The opinion shall also address whether the quarterly reports required under § 158.65 fairly represent the net transactions in the PFC account.
(2) For the purposes of an audit under this section, collection is defined as the point when agents or other intermediaries remit PFC revenue to the carrier.
(3) Upon request, a copy of the audit shall be provided to each public agency for which a PFC is collected.
(a) The Administrator may periodically audit and/or review the use of PFC revenue by a public agency. The purpose of the audit or review is to ensure that the public agency is in compliance with the requirements of this part and 49 U.S.C. 40117.
(b) The Administrator may periodically audit and/or review the collection and remittance by the collecting carriers of PFC revenue. The purpose of the audit or review is to ensure collecting carriers are in compliance with the requirements of this part and 49 U.S.C. 40117.
(c) Public agencies and carriers shall allow any authorized representative of the Administrator, the Secretary of Transportation, or the Comptroller General of the U.S., access to any of its books, documents, papers, and records pertinent to PFC's
This subpart contains the procedures for termination of PFCs or loss of Federal airport grant funds for violations of this part or 49 U.S.C. 40117. This subpart does not address the circumstances under which the authority to collect PFCs may be terminated for violations of 49 U.S.C. 47523 through 47528.
The Administrator shall undertake informal resolution with the public agency or any other affected party if, after review under § 158.71, the Administrator cannot determine that PFC revenue is being used for the approved projects in accordance with the terms of the Administrator's approval to impose a PFC for those projects or with 49 U.S.C. 40117.
(a) The FAA begins proceedings to terminate the public agency's authority to impose a PFC only if the Administrator determines that informal resolution is not successful.
(b) The Administrator publishes a notice of proposed termination in the
(c) If corrective action has not been taken as prescribed by the Administrator, the FAA holds a public hearing, and notice is given to the public agency and published in the
(d) The Administrator publishes the final decision in the
(e) Within 10 days of the date of publication of the notice of the Administrator's decision, the public agency shall—
(1) Advise the FAA in writing that it will complete any corrective action prescribed in the decision within 30 days; or
(2) Provide the FAA with a listing of the air carriers and foreign air carriers operating at the airport and all other issuing carriers that have remitted PFC revenue to the public agency in the preceding 12 months.
(f) When the Administrator's decision does not provide for corrective action or the public agency fails to complete such action, the FAA provides a copy of the
(a) If the Administrator determines that revenue derived from a PFC is excessive or is not being used as approved, the Administrator may reduce the amount of funds otherwise payable to the public agency under 49 U.S.C. 47114. Such a reduction may be made as a corrective action under § 158.83 or § 158.85 of this part.
(b) The amount of the reduction under paragraph (a) of this section shall equal the excess collected, or the amount not used in accordance with this part.
(c) A reduction under paragraph (a) of this section shall not constitute a withholding of approval of a grant application or the payment of funds under an approved grant within the meaning of 49 U.S.C. 47111(d).
This subpart describes the required reduction in funds apportioned to a large or medium hub airport that imposes a PFC.
The funds apportioned under 49 U.S.C. 47114 to a public agency for a specific primary commercial service airport that it controls are reduced if—
(a) Such airport enplanes 0.25 percent or more of the total annual enplanements in the U.S., and
(b) The public agency imposes a PFC at such airport.
(a) A reduction in apportioned funds will not take effect until the first fiscal year following the year in which the collection of the PFC is begun and will be applied in each succeeding fiscal year in which the public agency imposes the PFC.
(b) The reduction in apportioned funds is calculated at the beginning of each fiscal year and shall be an amount equal to—
(1) In the case of a fee of $3 or less, 50 percent of the projected revenues from the fee in the fiscal year but not by more than 50 percent of the amount that otherwise would be apportioned under this section; and
(2) In the case of a fee of more than $3, 75 percent of the projected revenues from the fee in the fiscal year but not by more than 75 percent of the amount that otherwise would be apportioned under this section.
(c) If the projection of PFC revenue in a fiscal year is inaccurate, the reduction in apportioned funds may be increased or decreased in the following fiscal year, except that any further reduction shall not cause the total reduction to exceed 50 percent of such apportioned amount as would otherwise be apportioned in any fiscal year.
A. General.
1. These assurances shall be complied with in the conduct of a project funded with passenger facility charge (PFC) revenue.
2. These assurances are required to be submitted as part of the application for approval of authority to impose a PFC under the provisions of 49 U.S.C. 40117.
3. Upon approval by the Administrator of an application, the public agency is responsible for compliance with these assurances.
B. Public agency certification. The public agency hereby assures and certifies, with respect to this project that:
1. Responsibility and authority of the public agency. It has legal authority to impose a PFC and to finance and carry out the proposed project; that a resolution, motion or similar action has been duly adopted or passed as an official act of the public agency's governing body authorizing the filing of the application, including all understandings and assurances contained therein, and directing and authorizing the person identified as the official representative of the public agency to act in connection with the application.
2. Compliance with regulation. It will comply with all provisions of 14 CFR part 158.
3. Compliance with state and local laws and regulations. It has complied, or will comply, with all applicable State and local laws and regulations.
4. Environmental, airspace and airport layout plan requirements. It will not use PFC revenue on a project until the FAA has notified the public agency that—
(a) Any actions required under the National Environmental Policy Act of 1969 have been completed;
(b) The appropriate airspace finding has been made; and
(c) The FAA Airport Layout Plan with respect to the project has been approved.
5. Nonexclusivity of contractual agreements. It will not enter into an exclusive long-term lease or use agreement with an air carrier or foreign air carrier for projects funded by PFC revenue. Such leases or use agreements will not preclude the public agency from funding, developing, or assigning new capacity at the airport with PFC revenue.
6. Carryover provisions. It will not enter into any lease or use agreement with any air carrier or foreign air carrier for any facility financed in whole or in part with revenue derived from a passenger facility charge if such agreement for such facility contains a carryover provision regarding a renewal option which, upon expiration of the original lease, would operate to automatically extend the term of such agreement with such carrier in preference to any potentially competing air carrier or foreign air carrier seeking to negotiate a lease or use agreement for such facilities.
7. Competitive access. It agrees that any lease or use agreements between the public agency and any air carrier or foreign air carrier for any facility financed in whole or in part with revenue derived from a passenger facility charge will contain a provision that permits the public agency to terminate the lease or use agreement if—
(a) The air carrier or foreign air carrier has an exclusive lease or use agreement for existing facilities at such airport; and
(b) Any portion of its existing exclusive use facilities is not fully utilized and is not made available for use by potentially competing air carriers or foreign air carriers.
8. Rates, fees and charges.
(a) It will not treat PFC revenue as airport revenue for the purpose of establishing a rate, fee or charge pursuant to a contract with an air carrier or foreign air carrier.
(b) It will not include in its rate base by means of depreciation, amortization, or any other method, that portion of the capital costs of a project paid for by PFC revenue for the purpose of establishing a rate, fee or charge pursuant to a contract with an air carrier or foreign air carrier.
(c) Notwithstanding the limitation provided in subparagraph (b), with respect to a project for terminal development, gates and related areas, or a facility occupied or used by one or more air carriers or foreign air carriers on an exclusive or preferential basis, the rates, fees, and charges payable by such carriers that use such facilities will be no less than the rates, fees, and charges paid by such carriers using similar facilities at the airport that were not financed by PFC revenue.
9. Standards and specifications. It will carry out the project in accordance with FAA airport design, construction and equipment standards and specifications contained in advisory circulars current on the date of project approval.
10. Recordkeeping and Audit. It will maintain an accounting record for audit purposes for 3 years after physical and financial completion of the project. All records must satisfy the requirements of 14 CFR part 158 and contain documentary evidence for all items of project costs.
11. Reports. It will submit reports in accordance with the requirements of 14 CFR part 158, subpart D, and as the Administrator may reasonably request.
12. Compliance with 49 U.S.C. 47523 through 47528. It understands 49 U.S.C. 47524 and 47526 require that the authority to impose a PFC be terminated if the Administrator determines the public agency has failed to comply with those sections of the United States Code or with the implementing regulations published under the Code.
This part implements the Airport Noise and Capacity Act of 1990 (49 U.S.C. App. 2153, 2154, 2155, and 2156). It prescribes:
(a) Notice requirements and procedures for airport operators implementing Stage 3 aircraft noise and access restrictions pursuant to agreements between airport operators and aircraft operators;
(b) Analysis and notice requirements for airport operators proposing Stage 2 aircraft noise and access restrictions;
(c) Notice, review, and approval requirements for airport operators proposing Stage 3 aircraft noise and access restrictions; and
(d) Procedures for Federal Aviation Administration reevaluation of agreements containing restrictions on Stage 3 aircraft operations and of aircraft noise and access restrictions affecting Stage 3 aircraft operations imposed by airport operators.
(a) This part applies to airports imposing restrictions on Stage 2 aircraft operations proposed after October 1, 1990, and to airports imposing restrictions on Stage 3 aircraft operations that became effective after October 1, 1990.
(b) This part also applies to airports enacting amendments to airport noise and access restrictions in effect on October 1, 1990, but amended after that date, where the amendment reduces or limits aircraft operations or affects aircraft safety.
(c) The notice, review, and approval requirements set forth in this part apply to all airports imposing noise or access restrictions as defined in § 161.5 of this part.
For the purposes of this part, the following definitions apply:
Agreement means a document in writing signed by the airport operator; those aircraft operators currently operating at the airport that would be affected by the noise or access restriction; and all affected new entrants planning to provide new air service within 180 days of the effective date of the restriction that have submitted to the airport operator a plan of operations and notice of agreement to the restriction.
Aircraft operator, for purposes of this part, means any owner of an aircraft that operates the aircraft, i.e., uses, causes to use, or authorizes the use of the aircraft; or in the case of a leased aircraft, any lessee that operates the aircraft pursuant to a lease. As used in this part, aircraft operator also means any representative of the aircraft owner, or in the case of a leased aircraft, any representative of the lessee empowered to enter into agreements with the airport operator regarding use of the airport by an aircraft.
Airport means any area of land or water, including any heliport, that is used or intended to be used for the landing and takeoff of aircraft, and any appurtenant areas that are used or intended to be used for airport buildings or other airport facilities or rights-of-way, together with all airport buildings and facilities located thereon.
Airport noise study area means that area surrounding the airport within the noise contour selected by the applicant for study and must include the noise contours required to be developed for noise exposure maps specified in 14 CFR part 150.
Airport operator means the airport proprietor.
Aviation user class means the following categories of aircraft operators: air carriers operating under parts 121 or 129 of this chapter; commuters and other carriers operating under part 135 of this chapter; general aviation, military, or government operations.
Day-night average sound level (DNL) means the 24-hour average sound level, in decibels, for the period from midnight to midnight, obtained after the addition of ten decibels to sound levels for the periods between midnight and 7 a.m., and between 10 p.m. and midnight, local time, as defined in 14 CFR part 150. (The scientific notation for DNL is L
Noise or access restrictions means restrictions (including but not limited to provisions of ordinances and leases) affecting access or noise that affect the operations of Stage 2 or Stage 3 aircraft, such as limits on the noise generated on either a single-event or cumulative basis; a limit, direct or indirect, on the total number of Stage 2 or Stage 3 aircraft operations; a noise budget or noise allocation program that includes Stage 2 or Stage 3 aircraft; a restriction imposing limits on hours of operations; a program of airport-use charges that has the direct or indirect effect of controlling airport noise; and any other limit on Stage 2 or Stage 3 aircraft that has the effect of controlling airport noise. This definition does not include peak-period pricing programs where the objective is to align the number of aircraft operations with airport capacity.
Stage 2 aircraft means an aircraft that has been shown to comply with the Stage 2 requirements under 14 CFR part 36.
Stage 3 aircraft means an aircraft that has been shown to comply with the Stage 3 requirements under 14 CFR part 36.
(a) Aircraft operational procedures that must be submitted for adoption by the FAA, such as preferential runway use, noise abatement approach and departure procedures and profiles, and flight tracks, are not subject to this part. Other noise abatement procedures, such as taxiing and engine runups, are not subject to this part unless the procedures imposed limit the total number of Stage 2 or Stage 3 aircraft operations, or limit the hours of Stage 2 or Stage 3 aircraft operations, at the airport.
(b) The notice, review, and approval requirements set forth in this part do not apply to airports with restrictions as specified in 49 U.S.C. App. 2153(a)(2)(C):
(1) A local action to enforce a negotiated or executed airport aircraft noise or access agreement between the airport operator and the aircraft operator in effect on November 5, 1990.
(2) A local action to enforce a negotiated or executed airport aircraft noise or access restriction the airport operator and the aircraft operators agreed to before November 5, 1990.
(3) An intergovernmental agreement including airport aircraft noise or access restriction in effect on November 5, 1990.
(4) A subsequent amendment to an airport aircraft noise or access agreement or restriction in effect on November 5, 1990, where the amendment does not reduce or limit aircraft operations or affect aircraft safety.
(5) A restriction that was adopted by an airport operator on or before October 1, 1990, and that was stayed as of October 1, 1990, by a court order or as a result of litigation, if such restriction, or a part thereof, is subsequently allowed by a court to take effect.
(6) In any case in which a restriction described in paragraph (b)(5) of this section is either partially or totally disallowed by a court, any new restriction imposed by an airport operator to replace such disallowed restriction, if such new restriction would not prohibit aircraft operations in effect on November 5, 1990.
(7) A local action that represents the adoption of the final portion of a program of a staged airport aircraft noise or access restriction, where the initial portion of such program was adopted during calendar year 1988 and was in effect on November 5, 1990.
(c) The notice, review, and approval requirements of subpart D of this part with regard to Stage 3 aircraft restrictions do not apply if the FAA has, prior to November 5, 1990, formed a working group (outside of the process established by 14 CFR part 150) with a local airport operator to examine the noise impact of air traffic control procedure changes. In any case in which an agreement relating to noise reductions at such airport is then entered into between the airport proprietor and an air carrier or air carrier constituting a majority of the air carrier users of such airport, the requirements of subparts B and D of this part with respect to restrictions on Stage 3 aircraft operations do apply to local actions to enforce such agreements.
(d) Except to the extent required by the application of the provisions of the Act, nothing in this part eliminates, invalidates, or supersedes the following:
(1) Existing law with respect to airport noise or access restrictions by local authorities;
(2) Any proposed airport noise or access regulation at a general aviation airport where the airport proprietor has formally initiated a regulatory or legislative process on or before October 1, 1990; and
(3) The authority of the Secretary of Transportation to seek and obtain such legal remedies as the Secretary considers appropriate, including injunctive relief.
For purposes of this part, the following requirements apply:
(a) The sound level at an airport and surrounding areas, and the exposure of individuals to noise resulting from operations at an airport, must be established in accordance with the specifications and methods prescribed under appendix A of 14 CFR part 150; and
(b) Use of computer models to create noise contours must be in accordance with the criteria prescribed under appendix A of 14 CFR part 150.
For the purposes of this part, uses of land that are normally compatible or noncompatible with various noise-exposure levels to individuals around airports must be identified in accordance with the criteria prescribed under appendix A of 14 CFR part 150. Determination of land use must be based on professional planning, zoning, and building and site design information and expertise.
(a) This subpart applies to an airport operator's noise or access restriction on the operation of Stage 3 aircraft that is implemented pursuant to an agreement between an airport operator and all aircraft operators affected by the proposed restriction that are serving or will be serving such airport within 180 days of the date of the proposed restriction.
(b) For purposes of this subpart, an agreement shall be in writing and signed by:
(1) The airport operator;
(2) Those aircraft operators currently operating at the airport who would be affected by the noise or access restriction; and
(3) All new entrants that have submitted the information required under § 161.105(a) of this part.
(c) This subpart does not apply to restrictions exempted in § 161.7 of this part.
(d) This subpart does not limit the right of an airport operator to enter into an agreement with one or more aircraft operators that restricts the operation of Stage 2 or Stage 3 aircraft as long as the restriction is not enforced against aircraft operators that are not party to the agreement. Such an agreement is not covered by this subpart except that an aircraft operator may apply for sanctions pursuant to subpart F of this part for restrictions the airport operator seeks to impose other than those in the agreement.
(a) An airport operator may not implement a Stage 3 restriction pursuant to an agreement with all affected aircraft operators unless there has been public notice and an opportunity for comment as prescribed in this subpart.
(b) In order to establish a restriction in accordance with this subpart, the airport operator shall, at least 45 days before implementing the restriction, publish a notice of the proposed restriction in an areawide newspaper or newspapers that either singly or together has general circulation throughout the airport vicinity or airport noise study area, if one has been delineated; post a notice in the airport in a prominent location accessible to airport users and the public; and directly notify in writing the following parties:
(1) Aircraft operators providing scheduled passenger or cargo service at the airport; affected operators of aircraft based at the airport; potential new entrants that are known to be interested in serving the airport; and aircraft operators known to be routinely providing non-scheduled service;
(2) The Federal Aviation Administration;
(3) Each Federal, state, and local agency with land use control jurisdiction within the vicinity of the airport, or the airport noise study area, if one has been delineated;
(4) Fixed-base operators and other airport tenants whose operations may be affected by the proposed restriction; and
(5) Community groups and business organizations that are known to be interested in the proposed restriction.
(c) Each direct notice provided in accordance with paragraph (b) of this section shall include:
(1) The name of the airport and associated cities and states;
(2) A clear, concise description of the proposed restriction, including sanctions for noncompliance and a statement that it will be implemented pursuant to a signed agreement;
(3) A brief discussion of the specific need for and goal of the proposed restriction;
(4) Identification of the operators and the types of aircraft expected to be affected;
(5) The proposed effective date of the restriction and any proposed enforcement mechanism;
(6) An invitation to comment on the proposed restriction, with a minimum 45-day comment period;
(7) Information on how to request copies of the restriction portion of the agreement, including any sanctions for noncompliance;
(8) A notice to potential new entrant aircraft operators that are known to be interested in serving the airport of the requirements set forth in § 161.105 of this part; and
(9) Information on how to submit a new entrant application, comments, and the address for submitting applications and comments to the airport operator, including identification of a contact person at the airport.
(d) The Federal Aviation Administration will publish an announcement of the proposed restriction in the
(a) Within 45 days of the publication of the notice of a proposed restriction by the airport operator under § 161.103(b) of this part, any person intending to provide new air service to the airport within 180 days of the proposed date of implementation of the restriction (as evidenced by submission of a plan of operations to the airport operator) must notify the airport operator if it would be affected by the restriction contained in the proposed agreement, and either that it—
(1) Agrees to the restriction; or
(2) Objects to the restriction.
(b) Failure of any person described in § 161.105(a) of this part to notify the airport operator that it objects to the proposed restriction will constitute waiver of the right to claim that it did not consent to the agreement and render that person ineligible to use lack of signature as ground to apply for sanctions under subpart F of this part for two years following the effective date of the restriction. The signature of such a person need not be obtained by the airport operator in order to comply with § 161.107(a) of this part.
(c) All other new entrants are also ineligible to use lack of signature as ground to apply for sanctions under subpart F of this part for two years.
(a) To be eligible to implement a Stage 3 noise or access restriction under this subpart, an airport operator shall have the restriction contained in an agreement as defined in § 161.101(b) of this part.
(b) An airport operator may not implement a restriction pursuant to an agreement until the notice and comment requirements of § 161.103 of this part have been met.
(c) Each airport operator must notify the Federal Aviation Administration of the implementation of a restriction pursuant to an agreement and must include in the notice evidence of compliance with § 161.103 and a copy of the signed agreement.
An airport operator must notify the FAA within 10 days of the date of termination of a restriction pursuant to an agreement under this subpart.
The airport operator shall retain all relevant supporting data and all comments relating to a restriction implemented pursuant to an agreement for as long as the restriction is in effect. The airport operator shall make these materials available for inspection upon request by the FAA. The information shall be made available for inspection by any person during the pendency of any petition for reevaluation found justified by the FAA.
(a) Except as otherwise provided in this subpart, a restriction implemented by an airport operator pursuant to this subpart shall have the same force and effect as if it had been a restriction implemented in accordance with subpart D of this part.
(b) A restriction implemented by an airport operator pursuant to this subpart may be subject to reevaluation by the FAA under subpart E of this part.
(a) This subpart applies to:
(1) An airport imposing a noise or access restriction on the operation of Stage 2 aircraft, but not Stage 3 aircraft, proposed after October 1, 1990.
(2) An airport imposing an amendment to a Stage 2 restriction, if the amendment is proposed after October 1, 1990, and reduces or limits Stage 2 aircraft operations (compared to the restriction that it amends) or affects aircraft safety.
(b) This subpart does not apply to an airport imposing a Stage 2 restriction specifically exempted in § 161.7 or a Stage 2 restriction contained in an agreement as long as the restriction is not enforced against aircraft operators that are not parties to the agreement.
(a) An airport operator may not implement a Stage 2 restriction within the scope of § 161.201 unless the airport operator provides an analysis of the proposed restriction, prepared in accordance with § 161.205, and a public notice and opportunity for comment as prescribed in this subpart. The notice and analysis required by this subpart shall be completed at least 180 days prior to the effective date of the restriction.
(b) Except as provided in § 161.211, an airport operator must publish a notice of the proposed restriction in an areawide newspaper or newspapers that either singly or together has general circulation throughout the airport noise study area; post a notice in the airport in a prominent location accessible to airport users and the public; and directly notify in writing the following parties:
(1) Aircraft operators providing scheduled passenger or cargo service at the airport; operators of aircraft based at the airport; potential new entrants that are known to be interested in serving the airport; and aircraft operators known to be routinely providing nonscheduled service that may be affected by the proposed restriction;
(2) The Federal Aviation Administration;
(3) Each Federal, state, and local agency with land-use control jurisdiction within the airport noise study area;
(4) Fixed-base operators and other airport tenants whose operations may be affected by the proposed restriction; and
(5) Community groups and business organizations that are known to be interested in the proposed restriction.
(c) Each notice provided in accordance with paragraph (b) of this section shall include:
(1) The name of the airport and associated cities and states;
(2) A clear, concise description of the proposed restriction, including a statement that it will be a mandatory Stage 2 restriction, and where the complete text of the restriction, and any sanctions for noncompliance, are available for public inspection;
(3) A brief discussion of the specific need for, and goal of, the restriction;
(4) Identification of the operators and the types of aircraft expected to be affected;
(5) The proposed effective date of the restriction, the proposed method of implementation (e.g., city ordinance, airport rule, lease), and any proposed enforcement mechanism;
(6) An analysis of the proposed restriction, as required by § 161.205 of this subpart, or an announcement of where the analysis is available for public inspection;
(7) An invitation to comment on the proposed restriction and analysis, with a minimum 45-day comment period;
(8) Information on how to request copies of the complete text of the proposed restriction, including any sanctions for noncompliance, and the analysis (if not included with the notice); and
(9) The address for submitting comments to the airport operator, including identification of a contact person at the airport.
(d) At the time of notice, the airport operator shall provide the FAA with a full text of the proposed restriction, including any sanctions for noncompliance.
(e) The Federal Aviation Administration will publish an announcement of the proposed Stage 2 restriction in the
(a) Each airport operator proposing a noise or access restriction on Stage 2 aircraft operations shall prepare the following and make it available for public comment:
(1) An analysis of the anticipated or actual costs and benefits of the proposed noise or access restriction;
(2) A description of alternative restrictions; and
(3) A description of the alternative measures considered that do not involve aircraft restrictions, and a comparison of the costs and benefits of such alternative measures to costs and benefits of the proposed noise or access restriction.
(b) In preparing the analyses required by this section, the airport operator shall use the noise measurement systems and identify the airport noise study area as specified in §§ 161.9 and 161.11, respectively; shall use currently accepted economic methodology; and shall provide separate detail on the costs and benefits of the proposed restriction with respect to the operations of Stage 2 aircraft weighing less than 75,000 pounds if the restriction applies to this class. The airport operator shall specify the methods used to analyze the costs and benefits of the proposed restriction and the alternatives.
(c) The kinds of information set forth in § 161.305 are useful elements of an adequate analysis of a noise or access restriction on Stage 2 aircraft operations.
Each airport operator shall establish a public docket or similar method for receiving and considering comments, and shall make comments available for inspection by interested parties upon request. Comments must be retained as long as the restriction is in effect.
(a) Each airport operator shall promptly advise interested parties of any changes to a proposed restriction, including changes that affect noncompatible land uses, and make available any changes to the proposed restriction and its analysis. Interested parties include those that received direct notice under § 161.203(b), or those that were required to be consulted in accordance with the procedures in § 161.211 of this part, and those that have commented on the proposed restriction.
(b) If there are substantial changes to the proposed restriction or the analysis during the 180-day notice period, the airport operator shall initiate new notice following the procedures in § 161.203 or, alternatively, the procedures in § 161.211. A substantial change includes, but is not limited to, a proposal that would increase the burden on any aviation user class.
(c) In addition to the information in § 161.203(c), new notice must indicate that the airport operator is revising a previous notice, provide the reason for making the revision, and provide a new effective date (if any) for the restriction. The effective date of the restriction must be at least 180 days after the date the new notice and revised analysis are made available for public comment.
(a) An airport operator may use the procedures in part 150 of this chapter, instead of the procedures described in §§ 161.203(b) and 161.209(b), as a means of providing an adequate public notice and comment opportunity on a proposed Stage 2 restriction.
(b) If the airport operator elects to use 14 CFR part 150 procedures to comply with this subpart, the operator shall:
(1) Ensure that all parties identified for direct notice under § 161.203(b) are notified that the airport's 14 CFR part 150 program will include a proposed Stage 2 restriction under part 161, and that these parties are offered the opportunity to participate as consulted parties during the development of the 14 CFR part 150 program;
(2) Provide the FAA with a full text of the proposed restriction, including any sanctions for noncompliance, at the time of the notice;
(3) Include the information in § 161.203 (c)(2) through (c)(5) and 161.205 in the analysis of the proposed restriction for the part 14 CFR part 150 program;
(4) Wait 180 days following the availability of the above analysis for review by the consulted parties and compliance with the above notice requirements before implementing the Stage 2 restriction; and
(5) Include in its 14 CFR part 150 submission to the FAA evidence of compliance with paragraphs (b)(1) and (b)(4) of this section, and the analysis in paragraph (b)(3) of this section, together with a clear identification that the 14 CFR part 150 program includes a proposed Stage 2 restriction under part 161.
(c) The FAA determination on the 14 CFR part 150 submission does not constitute approval or disapproval of the proposed Stage 2 restriction under part 161.
(d) An amendment of a restriction may also be processed under 14 CFR part 150 procedures in accordance with this section.
If a proposed restriction has been through the procedures prescribed in this subpart and the restriction is not subsequently implemented, the airport operator shall so advise the interested parties. Interested parties are described in § 161.209(a).
(a) This subpart applies to:
(1) An airport imposing a noise or access restriction on the operation of Stage 3 aircraft that first became effective after October 1, 1990.
(2) An airport imposing an amendment to a Stage 3 restriction, if the amendment becomes effective after October 1, 1990, and reduces or limits Stage 3 aircraft operations (compared to the restriction that it amends) or affects aircraft safety.
(b) This subpart does not apply to an airport imposing a Stage 3 restriction specifically exempted in § 161.7, or an agreement complying with subpart B of this part.
(c) A Stage 3 restriction within the scope of this subpart may not become effective unless it has been submitted to and approved by the FAA. The FAA will review only those Stage 3 restrictions that are proposed by, or on behalf of, an entity empowered to implement the restriction.
(a) Each airport operator or aircraft operator (hereinafter referred to as applicant) proposing a Stage 3 restriction shall provide public notice and an opportunity for public comment, as prescribed in this subpart, before submitting the restriction to the FAA for review and approval.
(b) Except as provided in § 161.321, an applicant shall publish a notice of the proposed restriction in an areawide newspaper or newspapers that either singly or together has general circulation throughout the airport noise study area; post a notice in the airport in a prominent location accessible to airport users and the public; and directly notify in writing the following parties:
(1) Aircraft operators providing scheduled passenger or cargo service at the airport; operators of aircraft based at the airport; potential new entrants that are known to be interested in serving the airport; and aircraft operators known to be routinely providing nonscheduled service that may be affected by the proposed restriction;
(2) The Federal Aviation Administration;
(3) Each Federal, state, and local agency with land-use control jurisdiction within the airport noise study area;
(4) Fixed-base operators and other airport tenants whose operations may be affected by the proposed restriction; and
(5) Community groups and business organizations that are known to be interested in the proposed restriction.
(c) Each notice provided in accordance with paragraph (b) of this section shall include:
(1) The name of the airport and associated cities and states;
(2) A clear, concise description of the proposed restriction (and any alternatives, in order of preference), including a statement that it will be a mandatory Stage 3 restriction; and where the complete text of the restriction, and any sanctions for noncompliance, are available for public inspection;
(3) A brief discussion of the specific need for, and goal of, the restriction;
(4) Identification of the operators and types of aircraft expected to be affected;
(5) The proposed effective date of the restriction, the proposed method of implementation (e.g., city ordinance, airport rule, lease, or other document), and any proposed enforcement mechanism;
(6) An analysis of the proposed restriction, in accordance with § 161.305 of this part, or an announcement regarding where the analysis is available for public inspection;
(7) An invitation to comment on the proposed restriction and the analysis, with a minimum 45-day comment period;
(8) Information on how to request a copy of the complete text of the restriction, including any sanctions for noncompliance, and the analysis (if not included with the notice); and
(9) The address for submitting comments to the airport operator or aircraft operator proposing the restriction, including identification of a contact person.
(d) Applicants may propose alternative restrictions, including partial implementation of any proposal, and indicate an order of preference. If alternative restriction proposals are submitted, the requirements listed in paragraphs (c)(2) through (c)(6) of this section should address the alternative proposals where appropriate.
Each applicant proposing a noise or access restriction on Stage 3 operations shall prepare and make available for public comment an analysis that supports, by substantial evidence, that the six statutory conditions for approval have been met for each restriction and any alternatives submitted. The statutory conditions are set forth in 49 U.S.C. App. 2153(d)(2) and paragraph (e) of this section. Any proposed restriction (including alternatives) on Stage 3 aircraft operations that also affects the operation of Stage 2 aircraft must include analysis of the proposals in a manner that permits the proposal to be understood in its entirety. (Nothing in this section is intended to add a requirement for the issuance of restrictions on Stage 2 aircraft to those of subpart C of this part.) The applicant shall provide:
(a) The complete text of the proposed restriction and any submitted alternatives, including the proposed wording in a city ordinance, airport rule, lease, or other document, and any sanctions for noncompliance;
(b) Maps denoting the airport geographic boundary, and the geographic boundaries and names of each jurisdiction that controls land use within the airport noise study area;
(c) An adequate environmental assessment of the proposed restriction or adequate information supporting a categorical exclusion in accordance with FAA orders and procedures regarding compliance with the National Environmental Policy Act of 1969 (42 U.S.C. 4321);
(d) A summary of the evidence in the submission supporting the six statutory conditions for approval; and
(e) An analysis of the restriction, demonstrating by substantial evidence that the statutory conditions are met. The analysis must:
(1) Be sufficiently detailed to allow the FAA to evaluate the merits of the proposed restriction; and
(2) Contain the following essential elements needed to provide substantial evidence supporting each condition for approval:
(i) Condition 1: The restriction is reasonable, nonarbitrary, and nondiscriminatory. (A) Essential information needed to demonstrate this condition includes the following:
(1) Evidence that a current or projected noise or access problem exists, and that the proposed action(s) could relieve the problem, including:
(i) A detailed description of the problem precipitating the proposed restriction with relevant background information on factors contributing to the proposal and any court-ordered action or estimated liability concerns; a description of any noise agreements or noise or access restrictions currently in effect at the airport; and measures taken to achieve land-use compatibility, such as controls or restrictions on land use in the vicinity of the airport and measures carried out in response to 14 CFR part 150; and actions taken to comply with grant assurances requiring that:
(A) Airport development projects be reasonably consistent with plans of public agencies that are authorized to plan for the development of the area around the airport; and
(B) The sponsor give fair consideration to the interests of communities in or near where the project may be located; take appropriate action, including the adoption of zoning laws, to the extent reasonable, to restrict the use of land near the airport to activities and purposes compatible with normal airport operations; and not cause or permit any change in land use, within its jurisdiction, that will reduce the compatibility (with respect to the airport) of any noise compatibility program measures upon which federal funds have been expended.
(ii) An analysis of the estimated noise impact of aircraft operations with and without the proposed restriction for the year the restriction is expected to be implemented, for a forecast timeframe after implementation, and for any other years critical to understanding the noise impact of the proposed restriction. The analysis of noise impact with and without the proposed restriction including:
(A) Maps of the airport noise study area overlaid with noise contours as specified in §§ 161.9 and 161.11 of this part;
(B) The number of people and the noncompatible land uses within the airport noise study area with and without the proposed restriction for each year the noise restriction is analyzed;
(C) Technical data supporting the noise impact analysis, including the classes of aircraft, fleet mix, runway use percentage, and day/night breakout of operations; and
(D) Data on current and projected airport activity that would exist in the absence of the proposed restriction.
(2) Evidence that other available remedies are infeasible or would be less cost-effective, including descriptions of any alternative aircraft restrictions that have been considered and rejected, and the reasons for the rejection; and of any land use or other nonaircraft controls or restrictions that have been considered and rejected, including those proposed under 14 CFR part 150 and not implemented, and the reasons for the rejection or failure to implement.
(3) Evidence that the noise or access standards are the same for all aviation user classes or that the differences are justified, such as:
(i) A description of the relationship of the effect of the proposed restriction on airport users (by aviation user class); and
(ii) The noise attributable to these users in the absence of the proposed restriction.
(B) At the applicant's discretion, information may also be submitted as follows:
(1) Evidence not submitted under paragraph (e)(2)(ii)(A) of this section (Condition 2) that there is a reasonable chance that expected benefits will equal or exceed expected cost; for example, comparative economic analyses of the costs and benefits of the proposed restriction and aircraft and nonaircraft alternative measures. For detailed elements of analysis, see paragraph (e)(2)(ii)(A) of this section.
(2) Evidence not submitted under paragraph (e)(2)(ii)(A) of this section that the level of any noise-based fees that may be imposed reflects the cost of mitigating noise impacts produced by the aircraft, or that the fees are reasonably related to the intended level of noise impact mitigation.
(ii) Condition 2: The restriction does not create an undue burden on interstate or foreign commerce. (A) Essential information needed to demonstrate this statutory condition includes:
(1) Evidence, based on a cost-benefit analysis, that the estimated potential benefits of the restriction have a reasonable chance to exceed the estimated potential cost of the adverse effects on interstate and foreign commerce. In preparing the economic analysis required by this section, the applicant shall use currently accepted economic methodology, specify the methods used and assumptions underlying the analysis, and consider:
(i) The effect of the proposed restriction on operations of aircraft by aviation user class (and for air carriers, the number of operations of aircraft by carrier), and on the volume of passengers and cargo for the year the restriction is expected to be implemented and for the forecast timeframe.
(ii) The estimated costs of the proposed restriction and alternative nonaircraft restrictions including the following, as appropriate:
(A) Any additional cost of continuing aircraft operations under the restriction, including reasonably available information concerning any net capital costs of acquiring or retrofitting aircraft (net of salvage value and operating efficiencies) by aviation user class; and any incremental recurring costs;
(B) Costs associated with altered or discontinued aircraft operations, such as reasonably available information concerning loss to carriers of operating profits; decreases in passenger and shipper consumer surplus by aviation user class; loss in profits associated with other airport services or other entities: and/or any significant economic effect on parties other than aviation users.
(C) Costs associated with implementing nonaircraft restrictions or nonaircraft components of restrictions, such as reasonably available information concerning estimates of capital costs for real property, including redevelopment, soundproofing, noise easements, and purchase of property interests; and estimates of associated incremental recurring costs; or an explanation of the legal or other impediments to implementing such restrictions.
(D) Estimated benefits of the proposed restriction and alternative restrictions that consider, as appropriate, anticipated increase in real estate values and future construction cost (such as sound insulation) savings; anticipated increase in airport revenues; quantification of the noise benefits, such as number of people removed from noise contours and improved work force and/or educational productivity, if any; valuation of positive safety effects, if any; and/or other qualitative benefits, including improvements in quality of life.
(B) At the applicant's discretion, information may also be submitted as follows:
(1) Evidence that the affected carriers have a reasonable chance to continue service at the airport or at other points in the national airport system.
(2) Evidence that other air carriers are able to provide adequate service to the airport and other points in the system without diminishing competition.
(3) Evidence that comparable services or facilities are available at another airport controlled by the airport operator in the market area, including services available at other airports.
(4) Evidence that alternative transportation service can be attained through other means of transportation.
(5) Information on the absence of adverse evidence or adverse comments with respect to undue burden in the notice process required in § 161.303, or alternatively in § 161.321, of this part as evidence that there is no undue burden.
(iii) Condition 3: The proposed restriction maintains safe and efficient use of the navigable airspace. Essential information needed to demonstrate this statutory condition includes evidence that the proposed restriction maintains safe and efficient use of the navigable airspace based upon:
(A) Identification of airspace and obstacles to navigation in the vicinity of the airport; and
(B) An analysis of the effects of the proposed restriction with respect to use of airspace in the vicinity of the airport, substantiating that the restriction maintains or enhances safe and efficient use of the navigable airspace. The analysis shall include a description of the methods and data used.
(iv) Condition 4: The proposed restriction does not conflict with any existing Federal statute or regulation. Essential information needed to demonstrate this condition includes evidence demonstrating that no conflict is presented between the proposed restriction and any existing Federal statute or regulation, including those governing:
(A) Exclusive rights;
(B) Control of aircraft operations; and
(C) Existing Federal grant agreements.
(v) Condition 5: The applicant has provided adequate opportunity for public comment on the proposed restriction. Essential information needed to demonstrate this condition includes evidence that there has been adequate opportunity for public comment on the restriction as specified in § 161.303 or § 161.321 of this part.
(vi) Condition 6: The proposed restriction does not create an undue burden on the national aviation system. Essential information needed to demonstrate this condition includes evidence that the proposed restriction does not create an undue burden on the national aviation system such as:
(A) An analysis demonstrating that the proposed restriction does not have a substantial adverse effect on existing or planned airport system capacity, on observed or forecast airport system congestion and aircraft delay, and on airspace system capacity or workload;
(B) An analysis demonstrating that nonaircraft alternative measures to achieve the same goals as the proposed subject restrictions are inappropriate;
(C) The absence of comments with respect to imposition of an undue burden on the national aviation system in response to the notice required in § 161.303 or § 161.321.
(a) Each applicant proposing a restriction shall establish a public docket or similar method for receiving and considering comments, and shall make comments available for inspection by interested parties upon request. Comments must be retained as long as the restriction is in effect.
(b) Each applicant shall submit to the FAA a summary of any comments received. Upon request by the FAA, the applicant shall submit copies of the comments.
(a) Each applicant shall promptly advise interested parties of any changes to a proposed restriction or alternative restriction that are not encompassed in the proposals submitted, including changes that affect noncompatible land uses or that take place before the effective date of the restriction, and make available these changes to the proposed restriction and its analysis. For the purpose of this paragraph, interested parties include those who received direct notice under § 161.303(b) of this part, or those who were required to be consulted in accordance with the procedures in § 161.321 of this part, and those who commented on the proposed restriction.
(b) If there are substantial changes to a proposed restriction or the analysis made available prior to the effective date of the restriction, the applicant proposing the restriction shall initiate new notice in accordance with the procedures in § 161.303 or, alternatively, the procedures in § 161.321. These requirements apply to substantial changes that are not encompassed in submitted alternative restriction proposals and their analyses. A substantial change to a restriction includes, but is not limited to, any proposal that would increase the burden on any aviation user class.
(c) In addition to the information in § 161.303(c), a new notice must indicate that the applicant is revising a previous notice, provide the reason for making the revision, and provide a new effective date (if any) for the restriction.
(d) If substantial changes requiring a new notice are made during the FAA's 180-day review of the proposed restriction, the applicant submitting the proposed restriction shall notify the FAA in writing that it is withdrawing its proposal from the review process until it has completed additional analysis, public review, and documentation of the public review. Resubmission to the FAA will restart the 180-day review.
Each applicant proposing a Stage 3 restriction shall submit to the FAA the following information for each restriction and alternative restriction submitted, with a request that the FAA review and approve the proposed Stage 3 noise or access restriction:
(a) A summary of evidence of the fulfillment of conditions for approval, as specified in § 161.305;
(b) An analysis as specified in § 161.305, as appropriate to the proposed restriction;
(c) A statement that the entity submitting the proposal is the party empowered to implement the restriction, or is submitting the proposal on behalf of such party; and
(d) A statement as to whether the airport requests, in the event of disapproval of the proposed restriction or any alternatives, that the FAA approve any portion of the restriction or any alternative that meets the statutory requirements for approval. An applicant requesting partial approval of any proposal should indicate its priorities as to portions of the proposal to be approved.
(a) Determination of completeness. The FAA, within 30 days of receipt of an application, will determine whether the application is complete in accordance with § 161.311. Determinations of completeness will be made on all proposed restrictions and alternatives. This completeness determination is not an approval or disapproval of the proposed restriction.
(b) Process for complete application. When the FAA determines that a complete application has been submitted, the following procedures apply:
(1) The FAA notifies the applicant that it intends to act on the proposed restriction and publishes notice of the proposed restriction in the
(2) Following review of the application, public comments, and any other information obtained under § 161.317(b), the FAA will issue a decision approving or disapproving the proposed restriction. This decision is a final decision of the Administrator for purpose of judicial review.
(c) Process for incomplete application. If the FAA determines that an application is not complete with respect to any submitted restriction or alternative restriction, the following procedures apply:
(1) The FAA shall notify the applicant in writing, returning the application and setting forth the type of information and analysis needed to complete the application in accordance with § 161.311.
(2) Within 30 days after the receipt of this notice, the applicant shall advise the FAA in writing whether or not it intends to resubmit and supplement its application.
(3) If the applicant does not respond in 30 days, or advises the FAA that it does not intend to resubmit and/or supplement the application, the application will be denied. This closes the matter without prejudice to later application and does not constitute disapproval of the proposed restriction.
(4) If the applicant chooses to resubmit and supplement the application, the following procedures apply:
(i) Upon receipt of the resubmitted application, the FAA determines whether the application, as supplemented, is complete as set forth in paragraph (a) of this section.
(ii) If the application is complete, the procedures set forth in § 161.315 shall be followed. The 180-day review period starts on the date of receipt of the last supplement to the application.
(iii) If the application is still not complete with respect to the proposed restriction or at least one submitted alternative, the FAA so advises the applicant as set forth in paragraph (c)(1) of this section and provides the applicant with an additional opportunity to supplement the application as set forth in paragraph (c)(2) of this section.
(iv) If the environmental documentation (either an environmental assessment or information supporting a categorical exclusion) is incomplete, the FAA will so notify the applicant in writing, returning the application and setting forth the types of information and analysis needed to complete the documentation. The FAA will continue to return an application until adequate environmental documentation is provided. When the application is determined to be complete, including the environmental documentation, the 180-day period for approval or disapproval will begin upon receipt of the last supplement to the application.
(v) Following review of the application and its supplements, public comments, and any other information obtained under § 161.317(b), the FAA will issue a decision approving or disapproving the application. This decision is a final decision of the Administrator for the purpose of judicial review.
(5) The FAA will deny the application and return it to the applicant if:
(i) None of the proposals submitted are found to be complete;
(ii) The application has been returned twice to the applicant for reasons other than completion of the environmental documentation; and
(iii) The applicant declines to complete the application. This closes the matter without prejudice to later application, and does not constitute disapproval of the proposed restriction.
(a) When a complete application has been received, the FAA will notify the applicant by letter that the FAA intends to act on the application.
(b) The FAA will publish notice of the proposed restriction in the
(a) Upon determination that an application is complete with respect to at least one of the proposals submitted by the applicant, the FAA will act upon the complete proposals in the application. The FAA will not act on any proposal for which the applicant has declined to submit additional necessary information.
(b) The FAA will review the applicant's proposals in the preference order specified by the applicant. The FAA may request additional information from aircraft operators, or any other party, and may convene an informal meeting to gather facts relevant to its determination.
(c) The FAA will evaluate the proposal and issue an order approving or disapproving the proposed restriction and any submitted alternatives, in whole or in part, in the order of preference indicated by the applicant. Once the FAA approves a proposed restriction, the FAA will not consider any proposals of lower applicant-stated preference. Approval or disapproval will be given by the FAA within 180 days after receipt of the application or last supplement thereto under § 161.313. The FAA will publish its decision in the
(d) The applicant's failure to provide substantial evidence supporting the statutory conditions for approval of a particular proposal is grounds for disapproval of that proposed restriction.
(e) The FAA will approve or disapprove only the Stage 3 aspects of a restriction if the restriction applies to both Stage 2 and Stage 3 aircraft operations.
(f) An order approving a restriction may be subject to requirements that the applicant:
(1) Comply with factual representations and commitments in support of the restriction; and
(2) Ensure that any environmental mitigation actions or commitments by any party that are set forth in the environmental documentation provided in support of the restriction are implemented.
(a) The applicant may withdraw or revise a proposed restriction at any time prior to FAA approval or disapproval, and must do so if substantial changes are made as described in § 161.309. The applicant shall notify the FAA in writing of a decision to withdraw the proposed restriction for any reason. The FAA will publish a notice in the
(b) A subsequent amendment to a Stage 3 restriction that was in effect after October 1, 1990, or an amendment to a Stage 3 restriction previously approved by the FAA, is subject to the procedures in this subpart if the amendment will further reduce or limit aircraft operations or affect aircraft safety. The applicant may, at its option, revise or amend a restriction previously disapproved by the FAA and resubmit it for approval. Amendments are subject to the same requirements and procedures as initial submissions.
(a) An airport operator may use the procedures in part 150 of this chapter, instead of the procedures described in §§ 161.303(b) and 161.309(b) of this part, as a means of providing an adequate public notice and opportunity to comment on proposed Stage 3 restrictions, including submitted alternatives.
(b) If the airport operator elects to use 14 CFR part 150 procedures to comply with this subpart, the operator shall:
(1) Ensure that all parties identified for direct notice under § 161.303(b) are notified that the airport's 14 CFR part 150 program submission will include a proposed Stage 3 restriction under part 161, and that these parties are offered the opportunity to participate as consulted parties during the development of the 14 CFR part 150 program;
(2) Include the information required in § 161.303(c) (2) through (5) and § 161.305 in the analysis of the proposed restriction in the 14 CFR part 150 program submission; and
(3) Include in its 14 CFR part 150 submission to the FAA evidence of compliance with the notice requirements in paragraph (b)(1) of this section and include the information required for a part 161 application in § 161.311, together with a clear identification that the 14 CFR part 150 submission includes a proposed Stage 3 restriction for FAA review and approval under §§ 161.313, 161.315, and 161.317.
(c) The FAA will evaluate the proposed part 161 restriction on Stage 3 aircraft operations included in the 14 CFR part 150 submission in accordance with the procedures and standards of this part, and will review the total 14 CFR part 150 submission in accordance with the procedures and standards of 14 CFR part 150.
(d) An amendment of a restriction, as specified in § 161.319(b) of this part, may also be processed under 14 CFR part 150 procedures.
If a Stage 3 restriction has been approved by the FAA and the restriction is not subsequently implemented, the applicant shall so advise the interested parties specified in § 161.309(a) of this part.
The applicant shall retain all relevant supporting data and all comments relating to an approved restriction for as long as the restriction is in effect and shall make these materials available for inspection upon request by the FAA. This information shall be made available for inspection by any person during the pendency of any petition for reevaluation found justified by the FAA.
This subpart applies to an airport imposing a noise or access restriction on the operation of Stage 3 aircraft that first became effective after October 1, 1990, and had either been agreed to in compliance with the procedures in subpart B of this part or approved by the FAA in accordance with the procedures in subpart D of this part. This subpart does not apply to Stage 2 restrictions imposed by airports. This subpart does not apply to Stage 3 restrictions specifically exempted in § 161.7.
(a) A request for reevaluation must be submitted by an aircraft operator.
(b) An aircraft operator must demonstrate to the satisfaction of the FAA that there has been a change in the noise environment of the affected airport and that a review and reevaluation pursuant to the criteria in § 161.305 is therefore justified.
(1) A change in the noise environment sufficient to justify reevaluation is either a DNL change of 1.5 dB or greater (from the restriction's anticipated target noise level result) over noncompatible land uses, or a change of 17 percent or greater in the noncompatible land uses, within an airport noise study area. For approved restrictions, calculation of change shall be based on the divergence of actual noise impact of the restriction from the estimated noise impact of the restriction predicted in the analysis required in § 161.305(e)(2)(i)(A)(1)(ii). The change in the noise environment or in the noncompatible land uses may be either an increase or decrease in noise or in noncompatible land uses. An aircraft operator may submit to the FAA reasons why a change that does not fall within either of these parameters justifies reevaluation, and the FAA will consider such arguments on a case-by-case basis.
(2) A change in the noise environment justifies reevaluation if the change is likely to result in the restriction not meeting one or more of the conditions for approval set forth in § 161.305 of this part for approval. The aircraft operator must demonstrate that such a result is likely to occur.
(c) A reevaluation may not occur less than 2 years after the date of the FAA approval. The FAA will normally apply the same 2-year requirement to agreements under subpart B of this part that affect Stage 3 aircraft operations. An aircraft operator may submit to the FAA reasons why an agreement under subpart B of this part should be reevaluated in less than 2 years, and the FAA will consider such arguments on a case-by-case basis.
(d) An aircraft operator must demonstrate that it has made a good faith attempt to resolve locally any dispute over a restriction with the affected parties, including the airport operator, before requesting reevaluation by the FAA. Such demonstration and certification shall document all attempts of local dispute resolution.
(a) A request for reevaluation submitted to the FAA by an aircraft operator must include the following information:
(1) The name of the airport and associated cities and states;
(2) A clear, concise description of the restriction and any sanctions for noncompliance, whether the restriction was approved by the FAA or agreed to by the airport operator and aircraft operators, the date of the approval or agreement, and a copy of the restriction as incorporated in a local ordinance, airport rule, lease, or other document;
(3) The quantified change in the noise environment using methodology specified in this part;
(4) Evidence of the relationship between this change and the likelihood that the restriction does not meet one or more of the conditions in § 161.305;
(5) The aircraft operator's status under the restriction (e.g., currently affected operator, potential new entrant) and an explanation of the aircraft operator's specific objection; and
(6) A description and evidence of the aircraft operator's attempt to resolve the dispute locally with the affected parties, including the airport operator.
(b) The FAA will evaluate the aircraft operator's submission and determine whether or not a reevaluation is justified. The FAA may request additional information from the airport operator or any other party and may convene an informal meeting to gather facts relevant to its determination.
(c) The FAA will notify the aircraft operator in writing, with a copy to the affected airport operator, of its determination.
(1) If the FAA determines that a reevaluation is not justified, it will indicate the reasons for this decision.
(2) If the FAA determines that a reevaluation is justified, the aircraft operator will be notified to complete its analysis and to begin the public notice procedure, as set forth in this subpart.
(a) After receiving an FAA determination that a reevaluation is justified, an aircraft operator desiring continuation of the reevaluation process shall publish a notice of request for reevaluation in an areawide newspaper or newspapers that either singly or together has general circulation throughout the airport noise study area (or the airport vicinity for agreements where an airport noise study area has not been delineated); post a notice in the airport in a prominent location accessible to airport users and the public; and directly notify in writing the following parties:
(1) The airport operator, other aircraft operators providing scheduled passenger or cargo service at the airport, operators of aircraft based at the airport, potential new entrants that are known to be interested in serving the airport, and aircraft operators known to be routinely providing nonscheduled service;
(2) The Federal Aviation Administration;
(3) Each Federal, State, and local agency with land-use control jurisdiction within the airport noise study area (or the airport vicinity for agreements where an airport noise study area has not been delineated);
(4) Fixed-base operators and other airport tenants whose operations may be affected by the agreement or the restriction;
(5) Community groups and business organizations that are known to be interested in the restriction; and
(6) Any other party that commented on the original restriction.
(b) Each notice provided in accordance with paragraph (a) of this section shall include:
(1) The name of the airport and associated cities and states;
(2) A clear, concise description of the restriction, including whether the restriction was approved by the FAA or agreed to by the airport operator and aircraft operators, and the date of the approval or agreement;
(3) The name of the aircraft operator requesting a reevaluation, and a statement that a reevaluation has been requested and that the FAA has determined that a reevaluation is justified;
(4) A brief discussion of the reasons why a reevaluation is justified;
(5) An analysis prepared in accordance with § 161.409 of this part supporting the aircraft operator's reevaluation request, or an announcement of where the analysis is available for public inspection;
(6) An invitation to comment on the analysis supporting the proposed reevaluation, with a minimum 45-day comment period;
(7) Information on how to request a copy of the analysis (if not in the notice); and
(8) The address for submitting comments to the aircraft operator, including identification of a contact person.
(a) An aircraft operator that has petitioned the FAA to reevaluate a restriction shall assume the burden of analysis for the reevaluation.
(b) The aircraft operator's analysis shall be made available for public review under the procedures in § 161.407 and shall include the following:
(1) A copy of the restriction or the language of the agreement as incorporated in a local ordinance, airport rule, lease, or other document;
(2) The aircraft operator's status under the restriction (e.g., currently affected operator, potential new entrant) and an explanation of the aircraft operator's specific objection to the restriction;
(3) The quantified change in the noise environment using methodology specified in this part;
(4) Evidence of the relationship between this change and the likelihood that the restriction does not meet one or more of the conditions in § 161.305; and
(5) Sufficient data and analysis selected from § 161.305, as applicable to the restriction at issue, to support the contention made in paragraph (b)(4) of this section. This is to include either an adequate environmental assessment of the impacts of discontinuing all or part of a restriction in accordance with the aircraft operator's petition, or adequate information supporting a categorical exclusion under FAA orders implementing the National Environmental Policy Act of 1969 (42 U.S.C. 4321).
(c) The amount of analysis may vary with the complexity of the restriction, the number and nature of the conditions in § 161.305 that are alleged to be unsupported, and the amount of previous analysis developed in support of the restriction. The aircraft operator may incorporate analysis previously developed in support of the restriction, including previous environmental documentation to the extent applicable. The applicant is responsible for providing substantial evidence, as described in § 161.305, that one or more of the conditions are not supported.
(a) Each aircraft operator requesting a reevaluation shall establish a docket or similar method for receiving and considering comments and shall make comments available for inspection to interested parties specified in paragraph (b) of this section upon request. Comments must be retained for two years.
(b) Each aircraft operator shall promptly notify interested parties if it makes a substantial change in its analysis that affects either the costs or benefits analyzed, or the criteria in § 161.305, differently from the analysis made available for comment in accordance with § 161.407. Interested parties include those who received direct notice under paragraph (a) of § 161.407 and those who have commented on the reevaluation. If an aircraft operator revises its analysis, it shall make the revised analysis available to an interested party upon request and shall extend the comment period at least 45 days from the date the revised analysis is made available.
(a) Each aircraft operator requesting a reevaluation shall submit to the FAA:
(1) The analysis described in § 161.409;
(2) Evidence that the public review process was carried out in accordance with §§ 161.407 and 161.411, including the aircraft operator's summary of the comments received; and
(3) A request that the FAA complete a reevaluation of the restriction and issue findings.
(b) Following confirmation by the FAA that the aircraft operator's documentation is complete according to the requirements of this subpart, the FAA will publish a notice of reevaluation in the
(c) The FAA will review all submitted documentation and comments pursuant to the conditions of § 161.305. To the extent necessary, the FAA may request additional information from the aircraft operator, airport operator, and others known to have information material to the reevaluation, and may convene an informal meeting to gather facts relevant to a reevaluation finding.
(a) Upon completing the reevaluation, the FAA will issue appropriate orders regarding whether or not there is substantial evidence that the restriction meets the criteria in § 161.305 of this part.
(b) If the FAA's reevaluation confirms that the restriction meets the criteria, the restriction may remain as previously agreed to or approved. If the FAA's reevaluation concludes that the restriction does not meet the criteria, the FAA will withdraw a previous approval of the restriction issued under subpart D of this part to the extent necessary to bring the restriction into compliance with this part or, with respect to a restriction agreed to under subpart B of this part, the FAA will specify which criteria are not met.
(c) The FAA will publish a notice of its reevaluation findings in the
If the FAA has withdrawn all or part of a previous approval made under subpart D of this part, the relevant portion of the Stage 3 restriction must be rescinded. The operator of the affected airport shall notify the FAA of the operator's action with regard to a restriction affecting Stage 3 aircraft operations that has been found not to meet the criteria of § 161.305. Restrictions in agreements determined by the FAA not to meet conditions for approval may not be enforced with respect to Stage 3 aircraft operations.
(a) This subpart describes the procedures to terminate eligibility for airport grant funds and authority to impose or collect passenger facility charges for an airport operator's failure to comply with the Airport Noise and Capacity Act of 1990 (49 U.S.C. App. 2151 et seq.) or this part. These procedures may be used with or in addition to any judicial proceedings initiated by the FAA to protect the national aviation system and related Federal interests.
(b) Under no conditions shall any airport operator receive revenues under the provisions of the Airport and Airway Improvement Act of 1982 or impose or collect a passenger facility charge under section 1113(e) of the Federal Aviation Act of 1958 if the FAA determines that the airport is imposing any noise or access restriction not in compliance with the Airport Noise and Capacity Act of 1990 or this part. Recision of, or a commitment in writing signed by an authorized official of the airport operator to rescind or permanently not enforce, a noncomplying restriction will be treated by the FAA as action restoring compliance with the Airport Noise and Capacity Act of 1990 or this part with respect to that restriction.
Prior to the initiation of formal action to terminate eligibility for airport grant funds or authority to impose or collect passenger facility charges under this subpart, the FAA shall undertake informal resolution with the airport operator to assure compliance with the Airport Noise and Capacity Act of 1990 or this part upon receipt of a complaint or other evidence that an airport operator has taken action to impose a noise or access restriction that appears to be in violation. This shall not preclude a FAA application for expedited judicial action for other than termination of airport grants and passenger facility charges to protect the national aviation system and violated federal interests. If informal resolution is not successful, the FAA will notify the airport operator in writing of the apparent violation. The airport operator shall respond to the notice in writing not later than 20 days after receipt of the notice, and also state whether the airport operator will agree to defer implementation or enforcement of its noise or access restriction until completion of the process under this subpart to determine compliance.
(a) The FAA begins proceedings under this section to terminate an airport operator's eligibility for airport grant funds and authority to impose or collect passenger facility charges only if the FAA determines that informal resolution is not successful.
(b) The following procedures shall apply if an airport operator agrees in writing, within 20 days of receipt of the FAA's notice of apparent violation under § 161.503, to defer implementation or enforcement of a noise or access restriction until completion of the process under this subpart to determine compliance.
(1) The FAA will issue a notice of proposed termination to the airport operator and publish notice of the proposed action in the
(2) The FAA will review the comments, statements, and data supplied by the airport operator, and any other available information, to determine if the airport operator has provided satisfactory evidence of compliance or has taken satisfactory corrective action. The FAA will consult with the airport operator to attempt resolution and may request additional information from other parties to determine compliance. The review and consultation process shall take not less than 30 days. If the FAA finds satisfactory evidence of compliance, the FAA will notify the airport operator in writing and publish notice of compliance in the
(3) If the FAA determines that the airport operator has taken action to impose a noise or access restriction in violation of the Airport Noise and Capacity Act of 1990 or this part, the FAA will notify the airport operator in writing of such determination. Where appropriate, the FAA may prescribe corrective action, including corrective action the airport operator may still need to take. Within 10 days of receipt of the FAA's determination, the airport operator shall—
(i) Advise the FAA in writing that it will complete any corrective action prescribed by the FAA within 30 days; or
(ii) Provide the FAA with a list of the domestic air carriers and foreign air carriers operating at the airport and all other issuing carriers, as defined in § 158.3 of this chapter, that have remitted passenger facility charge revenue to the airport in the preceding 12 months.
(4) If the FAA finds that the airport operator has taken satisfactory corrective action, the FAA will notify the airport operator in writing and publish notice of compliance in the
(i) Terminates eligibility for new airport grant agreements and discontinues payments of airport grant funds, including payments of costs incurred prior to the notice; and
(ii) Terminates authority to impose or collect a passenger facility charge or, if the airport operator has not received approval to impose a passenger facility charge, advises the airport operator that future applications for such approval will be denied in accordance with § 158.29(a)(1)(v) of this chapter.
(5) The FAA will publish notice of the order in the
(c) The following procedures shall apply if an airport operator does not agree in writing, within 20 days of receipt of the FAA's notice of apparent violation under § 161.503, to defer implementation or enforcement of its noise or access restriction until completion of the process under this subpart to determine compliance.
(1) The FAA will issue a notice of proposed termination to the airport operator and publish notice of the proposed action in the
(2) The FAA will review the comments, statements, and data supplied by the airport operator, and any other available information, to determine if the airport operator has provided satisfactory evidence of compliance or has taken satisfactory corrective action. If the FAA finds satisfactory evidence of compliance, the FAA will notify the airport operator in writing and publish notice of compliance in the
(3) If the FAA determines that the airport operator has taken action to impose a noise or access restriction in violation of the Airport Noise and Capacity Act of 1990 or this part, the procedures in paragraphs (b)(3) through (b)(5) of this section will be followed.
(a) This part prescribes the requirements for issuing a written recommendation and certification that a proposed project is reasonably necessary for use in air commerce or in the interests of national defense. The first two sentences of section 308(a) of the Federal Aviation Act of 1958 (49 U.S.C. 1349(a)): (1) Require such a recommendation and certification where Federal funds are to be expended for nonmilitary purposes for airports or air navigation facilities thereon; and (2) provide that any interested person may apply to the Administrator, under regulations prescribed by him, for a recommendation and certification.
(b) This part does not apply to projects for the expenditure of Federal funds for military purposes or for airports, or air navigation facilities thereon, operated by the Federal Aviation Administration.
(a) Any interested person may apply to the Administrator for a recommendation and certification with respect to a proposed project for the acquisition, establishment, construction, alteration, repair, maintenance, or operation of an airport or an air navigation facility thereon by or in his interests, on which Federal funds are proposed to be expended for nonmilitary purposes. The application shall be filed with the Regional Airports Division or Airports District Office, whichever is appropriate, in whose geographical area the airport is located. The application must state—
(1) The name and address of the applicant, the owner of the airport, and the individual responsible for its operation and maintenance, and the interest of the applicant in the matter;
(2) The location of the airport, and of any air navigation facilities thereon;
(3) A technical description of the project;
(4) The information contained in the notice required by § 157.3 of this chapter; and
(5) All available pertinent data relating to the necessity of the airport or air navigation facility for use in air commerce including where applicable—
(i) The number and type of aircraft that use or would use the airport or facility;
(ii) The present and expected level of activity;
(iii) Any special use of the airport or facility such as its providing access to places of recreation as national forests or parks or to isolated communities where access by other means is not available or is curtailed by climatic condition; and
(iv) In the case of an airport or air navigation facility owned, operated, or maintained by a Federal agency other than the FAA, the relationship of the airport or facility to the performance of that agency's functions.
(b) Each of the following has the effect of a recommendation and certification, and a separate application under this part with respect thereto is not required:
(1) Approval of a project under section 16 of the Airport and Airway Development Act of 1970 (49 U.S.C. 1701).
(2) Inclusion of an airport in the National Airport System Plan, if—
(i) Notice of construction or alteration required by § 157.3 of this chapter has been given; and
(ii) The Administrator has determined that there is no objection to the proposed construction or alteration.
(a) The Administrator issues a recommendation and certification if he finds that the airport or facility is reasonably necessary for use in air commerce or in the interests of national defense; that it conforms to all applicable plans and policies for, and allocations of, airspace; and that it otherwise complies with requirements of Federal law properly considered by the Administrator. The Administrator may grant the recommendation and certification subject to conditions that ensure conformity of the airport or facility with these standards.
(b) A recommendation and certification under this part, express or implied, does not extend to a modified version of an airport or facility to which it applies, or to an additional area or facility at the same airport.
(c) If the application is denied the Administrator notifies the applicant of the grounds for the denial. The Administrator may revoke a recommendation and certification for proper cause.
(d) The authority of the Administrator under this part is exercised by Regional Airports Division Managers as to airports or facilities within their respective regions.
This subpart sets forth establishment and discontinuance criteria for navigation aids operated and maintained by the United States.
For purposes of this subpart—
Air navigation facility (NAVAID) means any facility used, available for use, or designated for use in the aid of air navigation. Included are landing areas; lights; signaling, radio direction-finding, or radio or other electronic communication; and any other structure or mechanism having a similar purpose of guiding or controlling flight or the landing or takeoff of aircraft.
Air traffic clearance means an authorization by air traffic control for an aircraft to proceed under specified traffic conditions within controlled airspace for the purpose of preventing collision between known aircraft.
Air traffic control (ATC) means a service that promotes the safe, orderly, and expeditious flow of air traffic, including airport, approach, departure, and en route air traffic control.
Air traffic controller means a person authorized to provide air traffic service, specifically en route and terminal control personnel.
Aircraft operations means the airborne movement of aircraft in controlled or noncontrolled airport terminal areas, and counts at en route fixes or other points where counts can be made. There are two types of operations: local and itinerant.
(1) Local operations mean operations performed by aircraft which:
(i) Operate in the local traffic pattern or within sight of the airport;
(ii) Are known to be departing for, or arriving from flight in local practice areas located within a 20-mile radius of the airport; or
(iii) Execute simulated instrument approaches or low passes at the airport.
(2) Itinerant operations mean all aircraft operations other than local operations.
Airport traffic control tower means a terminal facility, which through the use of air/ground communications, visual signaling, and other devices, provides ATC services to airborne aircraft operating in the vicinity of an airport and to aircraft operating on the airport area.
Alternate airport means an airport, specified on a flight plan, to which a flight may proceed when a landing at the point of first intended landing becomes inadvisable.
Approach means the flight path established by the FAA to be used by aircraft landing on a runway.
Approach control facility means a terminal air traffic control facility providing approach control service.
Arrival means any aircraft arriving at an airport.
Benefit-cost ratio means the quotient of the discounted life cycle benefits of an air traffic control service or navigation aid facility (i.e., ATCT) divided by the discounted life cycle costs.
Ceiling means the vertical distance between the ground or water and the lowest layer of clouds or obscuring phenomena that is reported as “broken,” “overcast,” or “obstruction.”
Control Tower—See Airport Traffic Control Tower.
Criteria means the standards used by the FAA for the determination of establishment or discontinuance of a service or facility at an airport.
Departure means any aircraft taking off from an airport.
Discontinuance means the withdrawal of a service and/or facility from an airport.
Establishment means the provision of a service or facility at a candidate airport.
Instrument approach means a series of predetermined maneuvers for the orderly transfer of an aircraft under instrument flight conditions from the beginning of the initial approach to a landing, or to a point from which a landing may be made visually. It is prescribed and approved for a specific airport by competent authority.
Instrument flight rules (IFR) means rules governing the procedures for conducting flight under instrument meteorological conditions (IMC) instrument flight.
Instrument landing system (ILS) means an instrument landing system whereby the pilot guides his approach to a runway solely by reference to instruments in the cockpit. In some instances, the signals received from the ground can be fed into the automatic pilot for automatically controlled approaches.
Instrument meteorological conditions (IMC) means weather conditions below the minimums prescribed for flight under Visual Flight Rules (VFR).
Instrument operation means an aircraft operation in accordance with an IFT flight plan or an operation where IFR separation between aircraft is provided by a terminal control facility or air route traffic control center (ARTCC).
Life cycle benefits means the value of services provided to aviation users over the life span of a facility or service.
Life cycle costs means the value of research and development costs, investment costs, operation costs, maintenance costs, and termination costs over the life span of a facility or service.
Maintenance costs means the costs incurred in servicing and maintaining a facility after establishment.
Mean sea level (MSL) means the base commonly used in measuring altitudes.
Microwave landing system (MLS) means a landing system which enables equipped aircraft to make curved and closely spaced approaches to properly instrumented airports.
Noncommercial traffic means all aircraft operations that are conducted free of compensation.
Nonprecision approach procedure means an FAA standard for approaching an IFR runway where no electronic glide slope is available.
Nonscheduled commercial service means the carriage by aircraft in air commerce of persons or property for compensation or hire that are not operated in regularly scheduled service such as charter flights.
Present value (PV) means the value of a stream of future benefits or costs that are discounted to the present.
PVB or BPV means the discounted value of life cycle benefits.
PVC or CPV means the discounted value of life cycle benefits.
PVCM or CMPV means the discounted value of operations and maintenance costs less termination costs over a facility's remaining life cycle.
Runway means a defined rectangular area on a land airport prepared for the landing and takeoff of aircraft along its length.
Runway visual range means an instrumentally derived value based on standard calibrations that represent the horizontal distance a pilot will see down the runway from the approach end.
Scheduled commercial service means the carriage by aircraft in air commerce under parts 121 and 135 of persons or property for compensation or hire based on published flight schedules.
Separation means the spacing of aircraft in flight and while landing and taking off to achieve their safe and orderly movement.
Takeoff clearance means authorization by an airport traffic control tower for an aircraft to take off.
Tower cab means an ATC facility located at an airport. Controllers at these facilities direct ground traffic, takeoffs, and landings.
Traffic advisories means advisories issued to alert pilots to other known or observed air traffic which may be in such proximity to the position or intended route of flight of their aircraft to warrant attention.
Traffic pattern means the flow of aircraft operating on and in the vicinity of an airport during specified wind conditions as established by appropriate authority.
VFR traffic means aircraft operated solely in accordance with Visual Flight Rules.
Visual flight rules (VFR) means rules that govern the procedures for conducting flight under visual conditions. The term “VFR” is also used in the United States to indicate weather conditions that are equal to or greater than minimum VFR requirements. In addition, “VFR” is used by pilots and controllers to indicate the type of flight plan.
Visual meteorological conditions (VMC) means meteorological conditions expressed in terms of visibility, distance from clouds, and ceiling equal to or better than specified minima.
This subpart sets forth establishment and discontinuance criteria for Airport Traffic Control Towers.
(a) The following criteria along with general facility establishment standards must be met before an airport can qualify for an ATCT:
(1) The airport, whether publicly or privately owned, must be open to and available for use by the public as defined in the Airport and Airway Improvement Act of 1982;
(2) The airport must be recognized by and contained within the National Plan of Integrated Airport Systems;
(3) The airport owners/authorities must have entered into appropriate assurances and covenants to guarantee that the airport will continue in operation for a long enough period to permit the amortization of the ATCT investment;
(4) The FAA must be furnished appropriate land without cost for construction of the ATCT; and
(5) The airport must meet the benefit-cost ratio criteria specified herein utilizing three consecutive FAA annual counts and projections of future traffic during the expected life of the tower facility. (An FAA annual count is a fiscal year or a calendar year activity summary. Where actual traffic counts are unavailable or not recorded, adequately documented FAA estimates of the scheduled and nonscheduled activity may be used.)
(b) An airport meets the establishment criteria when it satisfies paragraphs (a)(1) through (a)(5) of this section and its benefit-cost ratio equals or exceeds one. As defined in § 170.3 of this part, the benefit-cost ratio is the ratio of the present value of the ATCT life cycle benefits (BPV) to the present value of ATCT life cycle costs (CPV).
(c) The satisfaction of all the criteria listed in this section does not guarantee that the airport will receive an ATCT.
An ATCT will be subject to discontinuance when the continued operation and maintenance costs less termination costs (CMPV) of the ATCT exceed the present value of its remaining life-cycle benefits (BPV):
This subpart sets forth minimum requirements for the approval and operation on non-Federal VOR facilities that are to be involved in the approval of instrument flight rules and air traffic control procedures related to those facilities.
(a) Each person who requests an IFR procedure based on a VOR facility that he owns must submit the following information with that request:
(1) A description of the facility and evidence that the equipment meets the performance requirements of § 171.7 and is installed in accordance with § 171.9.
(2) A proposed procedure for operating the facility.
(3) A proposed maintenance organization and maintenance manual that meets the requirements of § 171.11.
(4) A statement of intention to meet the requirements of this subpart.
(5) A showing that the facility has an acceptable level of operational reliability and an acceptable standard of performance. Previous equivalent operational experience with a facility with identical design and operational characteristics will be considered in showing compliance with this paragraph.
(b) After the FAA inspects and evaluates the facility, it advises the owner of the results and of any required changes in the facility or the maintenance manual or maintenance organization. The owner must then correct the deficiencies, if any, and operate the facility for an in-service evaluation by the FAA.
(a) The following are the minimum requirements that must be met before the FAA will approve an IFR procedure for a non-Federal VOR:
(1) The facility's performance, as determined by air and ground inspection, must meet the requirements of § 171.7.
(2) The installation of the equipment must meet the requirements of § 171.9.
(3) The owner must agree to operate and maintain the facility in accord- ance with § 171.11.
(4) The owner must agree to furnish periodic reports, as set forth in § 171.13, and must agree to allow the FAA to inspect the facility and its operation whenever necessary.
(5) The owner must assure the FAA that he will not withdraw the facility from service without the permission of the FAA.
(6) The owner must bear all costs of meeting the requirements of this section and of any flight or ground inspections made before the facility is commissioned, except that the Federal Aviation Administration may bear certain of these costs subject to budgetary limitations and policy established by the Administrator.
(b) If the applicant for approval meets the requirements of paragraph (a) of this section, the FAA commissions the facility as a prerequisite to its approval for use in an IFR procedure. The approval is withdrawn at any time the facility does not continue to meet those requirements.
(a) The VOR must perform in accordance with the “International Standards and Recommended Practices, Aeronautical Telecommunications,” Part I, paragraph 3.3 (Annex 10 to the Convention on International Civil Aviation), except that part of paragraph 3.3.2.1 specifying a radio frequency tolerance of 0.005 percent, and that part of paragraph 3.3.7 requiring removal of only the bearing information. In place thereof, the frequency tolerance of the radio frequency carrier must not exceed plus or minus 0.002 percent, and all radiation must be removed during the specified deviations from established conditions and during periods of monitor failure.
(b) Ground inspection consists of an examination of the design features of the equipment to determine that there will not be conditions that will allow unsafe operations because of component failure or deterioration.
(c) The monitor is checked periodi- cally, during the in-service test evaluation period, for calibration and stability The tests are made with a standard “Reference and variable phase signal generator” and associated test equipment, including an oscilloscope and portable field detector. In general, the ground check is conducted in accord- ance with section 8.4 of FAA Handbook AF P 6790.9 “Maintenance Instruction for VHF Omniranges”, adapted for the facility concerned.
(d) Flight tests to determine the facility's adequacy for operational requirements and compliance with applicable “Standards and Recommended Practices” are conducted in accordance with the “U.S. Standard Flight Inspection Manual”, particularly section 201.
(e) After January 1, 1975, the owner of the VOR shall modify the facility to perform in accordance with paragraph 3.3.5.7 of Annex 10 to the Convention on International Civil Aviation within 180 days after receipt of notice from the Administrator that 50 kHz channel spacing is to be implemented in the area and that a requirement exists for suppression of 9960 Hz subcarrier harmonics.
(a) The facility must be installed according to accepted good engineering practices, applicable electric and safety codes, and the installation must meet at least the Federal Communication Commission's licensing requirements.
(b) The facility must have a reliable source of suitable primary power, either from a power distribution system or locally generated, with a supplemental standby system, if needed.
(c) Dual transmitting equipment with automatic changeover is preferred and may be required to support certain IFR procedures.
(d) There must be a means for determining, from the ground, the performance of the equipment, including the antenna, initially and periodically.
(e) A facility intended for use as an instrument approach aid for an airport must have or be supplemented by (depending on circumstances) the following ground-air or landline communications services:
(1) At facilities outside of and not immediately adjacent to controlled airspace, there must be ground-air communications from the airport served by the facility. Separate communications channels are acceptable.
(2) At facilities within or immediately adjacent to controlled airspace, there must be the ground-air communications required by paragraph (e)(1) of this section and reliable communications (at least a landline telephone) from the airport to the nearest FAA air traffic control or communication facility.
(a) The owner of the facility must establish an adequate maintenance system and provide qualified maintenance personnel to maintain the facility at the level attained at the time it was commissioned. Each person who maintains a facility must meet at least the Federal Communications Commission's licensing requirements and show that he has the special knowledge and skills needed to maintain the facility including proficiency in maintenance procedures and the use of specialized test equipment.
(b) The owner must prepare, and obtain FAA approval of, an operations and maintenance manual that sets forth mandatory procedures for operations, preventive maintenance, and emergency maintenance, including instructions on each of the following:
(1) Physical security of the facility.
(2) Maintenance and operations by authorized persons only.
(3) FCC licensing requirements for operating and maintenance personnel.
(4) Posting of licenses and signs.
(5) Relations between the facility and FAA air traffic control facilities, with a description of the boundaries of controlled airspace over or near the facility, instructions for relaying air traffic control instructions and information (if applicable), and instructions for the operation of an air traffic advisory service if the VOR is located outside of controlled airspace.
(6) Notice to the Administrator of any suspension of service.
(7) Detailed and specific maintenance procedures and servicing guides stating the frequency of servicing.
(8) Air-ground communications, if provided, expressly written or incorporating appropriate sections of FAA manuals by reference.
(9) Keeping of station logs and other technical reports, and the submission of reports required by § 171.13.
(10) Monitoring of the facility.
(11) Inspections by United States personnel.
(12) Names, addresses, and telephone numbers of persons to be notified in an emergency.
(13) Shutdowns for routine maintenance and issue of “Notices to Airmen” for routine or emergency shutdowns (private use facilities may omit the “Notices to Airmen”).
(14) An explanation of the kinds of activity (such as construction or grading) in the vicinity of the facility that may require shutdown or recertification of the facility by FAA flight check.
(15) Procedures for conducting a ground check of course accuracy.
(16) Commissioning of the facility.
(17) An acceptable procedure for amending or revising the manual.
(18) The following information concerning the facility:
(i) Location by latitude and longitude to the nearest second, and its position with respect to airport layouts.
(ii) The type, make, and model of the basic radio equipment that will provide the service.
(iii) The station power emission and frequency.
(iv) The hours of operation.
(v) Station identification call letters and method of station identification, whether by Morse code or recorded voice announcement, and the time spacing of the identification.
(vi) A description of the critical parts that may not be changed, adjusted, or repaired without an FAA flight check to confirm published operations.
(c) The owner shall make a ground check of course accuracy each month in accordance with procedures approved by the FAA at the time of commissioning, and shall report the results of the checks as provided in § 171.13.
(d) If the owner desires to modify the facility, he must submit the proposal to the FAA and may not allow any modifications to be made without specific approval.
(e) The owner's maintenance personnel must participate in initial inspections made by the FAA. In the case of subsequent inspections, the owner or his representative shall participate.
(f) Whenever it is required by the FAA, the owner shall incorporate improvements in VOR maintenance brought about by progress in the state of the art. In addition, he shall provide a stock of spare parts, including vacuum tubes, of such a quantity to make possible the prompt replacement of components that fail or deteriorate in service.
(g) The owner shall provide all approved test instruments needed for maintenance of the facility.
(h) The owner shall close the facility upon receiving two successive pilot reports of its malfunctioning.
The owner of each facility to which this subpart applies shall make the following reports on forms furnished by the FAA, at the times indicated, to the FAA Regional office for the area in which the facility is located:
(a) Record of meter readings and adjustments (Form FAA-198). To be filled out by the owner with the equipment adjustments and meter readings as of the time of commissioning, with one copy to be kept in the permanent records of the facility and two copies to the appropriate Regional office of the FAA. The owner shall revise the form after any major repair, modernization, or returning, to reflect an accurate record of facility operation and adjustment.
(b) Facility maintenance log (FAA Form 6003-1). This form is a permanent record of all equipment malfunctioning met in maintaining the facility, including information on the kind of work and adjustments made, equipment failures, causes (if determined), and corrective action taken. The owner shall keep the original of each report at the facility and send a copy to the appropriate Regional office of the FAA at the end of the month in which it is prepared.
(c) Radio equipment operation record (Form FAA-418). To contain a complete record of meter readings, recorded on each scheduled visit to the facility. The owner shall keep the original of each month's record at the facility and send a copy of it to the appropriate Regional office of the FAA.
(d) [Reserved]
(e) VOR ground check error data (Forms FAA-2396 and 2397). To contain results of the monthly course accuracy ground check in accordance with FAA Handbook AF P 6790.9 “Maintenance Instructions for VHF Omniranges”. The owner shall keep the originals in the facility and send a copy of each form to the appropriate Regional office of the FAA on a monthly basis.
(a) This subpart sets forth minimum requirements for the approval and operation of non-Federal, nondirectional radio beacon facilities that are to be involved in the approval of instrument flight rules and air traffic control procedures related to those facilities.
(b) A nondirectional radio beacon (“H” facilities domestically—NDB facilities internationally) radiates a continuous carrier of approximately equal intensity at all azimuths. The carrier is modulated at 1020 cycles per second for station identification purposes.
(a) Each person who requests an IFR procedure based on a nondirectional radio beacon facility that he owns must submit the following information with that request:
(1) A description of the facility and evidence that the equipment meets the performance requirements of § 171.27 and is installed in accordance with § 171.29.
(2) A proposed procedure for operating the facility.
(3) A proposed maintenance arrangement and a maintenance manual that meets the requirements of § 171.31.
(4) A statement of intention to meet the requirements of this subpart.
(5) A showing that the facility has an acceptable level of operational reliability and an acceptable standard of performance. Previous equivalent operational experience with a facility with identical design and operational characteristics will be considered in showing compliance with this subparagraph.
(b) After the FAA inspects and evaluates the facility, it advises the owner of the results and of any required changes in the facility or the maintenance manual or maintenance organization. The owner must then correct the deficiencies, if any, and operate the facility for an in-service evaluation by the FAA.
(a) The following are the minimum requirements that must be met before the FAA will approve an IFR procedure for a non-Federal, nondirectional radio beacon facility under this subpart:
(1) The facility's performances, as determined by air and ground inspection, must meet the requirements of § 171.27.
(2) The installation of the equipment must meet the requirements of § 171.29.
(3) The owner must agree to operate and maintain the facility in accord- ance with § 171.31.
(4) The owner must agree to furnish periodic reports, as set forth in § 171.33, and agree to allow the FAA to inspect the facility and its operation whenever necessary.
(5) The owner must assure the FAA that he will not withdraw the facility from service without the permission of the FAA.
(6) The owner must bear all costs of meeting the requirements of this section and of any flight or ground inspections made before the facility is commissioned, except that the Federal Aviation Administration may bear certain of these costs subject to budgetary limitations and policy established by the Administrator.
(b) If the applicant for approval meets the requirements of paragraph (a) of this section, the FAA commissions the facility as a prerequisite to its approval for use in an IFR procedure. The approval is withdrawn at any time the facility does not continue to meet those requirements. In addition, the facility may be de-commissioned whenever the frequency channel is needed for higher priority common system service.
(a) The facility must meet the performance requirements set forth in the “International Standards and Recommended Practices, Aeronautical Telecommunications, Part I, paragraph 3.4” (Annex 10 to the Convention on International Civil Aviation), except that identification by on-off keying of a second carrier frequency, separated from the main carrier by 1020 Hz plus or minus 50 Hz, is also acceptable.
(b) The facility must perform in accordance with recognized and accepted good electronic engineering practices for the desired service.
(c) Ground inspection consists of an examination of the design features of the equipment to determine (based on recognized and accepted good engineering practices) that there will not be conditions that will allow unsafe operations because of component failure or deterioration.
(d) Flight tests to determine the facility's adequacy for operational requirements and compliance with applicable “Standards and Recommended Practices” are conducted in accord- ance with the “U.S. Standard Flight Inspection Manual”, particularly section 207. The original test is made by the FAA and later tests shall be made under arrangements, satisfactory to the FAA, that are made by the owner.
(a) The facility must be installed according to accepted good engineering practices, applicable electric and safety codes, and FCC licensing requirements.
(b) The facility must have a reliable source of suitable primary power.
(c) Dual transmitting equipment may be required to support some IFR procedures.
(d) A facility intended for use as an instrument approach aid for an airport must have or be supplemented by (depending on the circumstances) the following ground-air or landline communications services:
(1) At facilities outside of and not immediately adjacent to controlled airspace, there must be ground-air communications from the airport served by the facility. Voice on the aid controlled from the airport is acceptable.
(2) At facilities within or immediately adjacent to controlled airspace, there must be the ground-air communications required by paragraph (d)(1) of this section and reliable communications (at least a landline telephone) from the airport to the nearest FAA air traffic control or communication facility.
(a) The owner of the facility must establish an adequate maintenance system and provide qualified maintenance personnel to maintain the facility at the level attained at the time it was commissioned. Each person who maintains a facility must meet at least the Federal Communications Commission's licensing requirements and show that he has the special knowledge and skills needed to maintain the facility including proficiency in maintenance procedures and the use of specialized test equipment.
(b) The owner must prepare, and obtain approval of, an operations and maintenance manual that sets forth mandatory procedures for operations, preventive maintenance, and emergency maintenance, including instructions on each of the following:
(1) Physical security of the facility.
(2) Maintenance and operations by authorized persons only.
(3) FCC licensing requirements for operating and maintenance personnel.
(4) Posting of licenses and signs.
(5) Relations between the facility and FAA air traffic control facilities, with a description of the boundaries of controlled airspace over or near the facility, instructions for relaying air traffic control instructions and information (if applicable), and instructions for the operation of an air traffic advisory service if the facility is located outside of controlled airspace.
(6) Notice to the Administrator of any suspension of service.
(7) Detailed arrangements for maintenance flight inspection and servicing stating the frequency of servicing.
(8) Air-ground communications, if provided, expressly written or incorporating appropriate sections of FAA manuals by reference.
(9) Keeping of station logs and other technical reports, and the submission of reports required by § 171.33.
(10) Monitoring of the facility, at least once each half hour, to assure continuous operation.
(11) Inspections by United States personnel.
(12) Names, addresses, and telephone numbers of persons to be notified in an emergency.
(13) Shutdowns for routine maintenance and issue of “Notices to Airmen” for routine or emergency shutdowns (private use facilities may omit the “Notices to Airmen”).
(14) Commissioning of the facility.
(15) An acceptable procedure for amending or revising the manual.
(16) The following information concerning the facility:
(i) Location by latitude and longitude to the nearest second, and its position with respect to airport layouts.
(ii) The type, make, and model of the basic radio equipment that will provide the service.
(iii) The station power emission and frequency.
(iv) The hours of operation.
(v) Station identification call letters and method of station identification, whether by Morse code or recorded voice announcement, and the time spacing of the identification.
(c) If the owner desires to modify the facility, he must submit the proposal to the FAA and meet applicable requirements of the FCC.
(d) The owner's maintenance personnel must participate in initial inspections made by the FAA. In the case of subsequent inspections, the owner or his representative shall participate.
(e) The owner shall provide a stock of spare parts, including vacuum tubes, of such a quantity to make possible the prompt replacement of components that fail or deteriorate in service.
(f) The owner shall close the facility upon receiving two successive pilot reports of its malfunctioning.
The owner of each facility to which this subpart applies shall make the following reports, at the times indicated, to the FAA Regional office for the area in which the facility is located:
(a) Record of meter readings and adjustments (Form FAA-198). To be filled out by the owner or his maintenance representative with the equipment adjustments and meter readings as of the time of commissioning, with one copy to be kept in the permanent records of the facility and two copies to the appropriate Regional Office of the FAA. The owner shall revise the form after any major repair, modernization, or returning, to reflect an accurate record of facility operation and adjustment.
(b) Facility maintenance log (FAA Form 6030-1). This form is a permanent record of all equipment malfunctioning met in maintaining the facility, including information on the kind of work and adjustments made, equipment failures, causes (if determined), and corrective action taken. The owner shall keep the original of each report at the facility and send a copy to the appropriate Regional Office of the FAA at the end of the month in which it is prepared.
(c) Radio equipment operation record (Form FAA-418). To contain a complete record of meter readings, recorded on each scheduled visit to the facility. The owner shall keep the original of each month's record at the facility and send a copy of it to the appropriate Regional Office of the FAA.
This subpart sets forth minimum requirements for the approval and operation of non-Federal Instrument Landing System (ILS) Facilities that are to be involved in the approval of instrument flight rules and air traffic control procedures related to those facilities.
(a) Each person who requests an IFR procedure based on an ILS facility that he owns must submit the following information with that request:
(1) A description of the facility and evidence that the equipment meets the performance requirements of § 171.47 and is installed in accordance with § 171.49.
(2) A proposed procedure for operating the facility.
(3) A proposed maintenance organization and a maintenance manual that meets the requirements of § 171.51.
(4) A statement of intent to meet the requirements of this subpart.
(5) A showing that the facility has an acceptable level of operational reliability and an acceptable standard of performance. Previous equivalent operational experience with a facility with identical design and operational characteristics will be considered in showing compliance with this subparagraph.
(b) After the FAA inspects and evaluates the facility, it advises the owner of the results and of any required changes in the facility or the maintenance manual or maintenance organization. The owner must then correct the deficiencies, if any, and operate the facility for an in-service evaluation by the FAA.
(a) The following are the minimum requirements that must be met before the FAA will approve an IFR procedure for a non-Federal Instrument Landing System:
(1) The facility's performance, as determined by air and ground inspection, must meet the requirements of § 171.47.
(2) The installation of the equipment must meet the requirements of § 171.49.
(3) The owner must agree to operate and maintain the facility in accord- ance with § 171.51.
(4) The owner must agree to furnish periodic reports, as set forth in § 171.53 and agree to allow the FAA to inspect the facility and its operation whenever necessary.
(5) The owner must assure the FAA that he will not withdraw the facility from service without the permission of the FAA.
(6) The owner must bear all costs of meeting the requirements of this section and of any flight or ground inspections made before the facility is commissioned, except that the Federal Aviation Administration may bear certain of these costs subject to budgetary limitations and policy established by the Administrator.
(b) If the applicant for approval meets the requirements of paragraph (a) of this section, the FAA commissions the facility as a prerequisite to its approval for use in an IFR procedure. The approval is withdrawn at any time the facility does not continue to meet those requirements. In addition, the facility may be de-commissioned whenever the frequency channel is needed for higher priority common system service.
(a) The Instrument Landing System must perform in accordance with the “International Standards and Recommended Practices, Aeronautical Telecommunications, Part I, Paragraph 3.1” (Annex 10 to the Convention on International Civil Aviation) except as follows:
(1) The first part of paragraph 3.1.3, relating to suppression of radiation wholly or in part in any or all directions outside the 20-degree sector centered on the course line to reduce localizer does not apply.
(2) Radiation patterns must conform to limits specified in 3.1.3.3 and 3.1.3.4, but this does not mean that suppression of radiation to the rear of the antenna array to satisfy difficult siting positions (as per 3.1.3.1.4) is not allowed. For example, if a reflector screen for the antenna array is required to overcome a siting problem, the area to the rear of the localizer may be made unusable and should be so advertised.
(3) A third marker beacon (inner marker) is not required.
(4) The frequency tolerance of the radio frequency carrier must not exceed plus or minus 0.002 percent.
(b) Ground inspection consists of an examination of the design features of the equipment to determine that there will not be conditions that will allow unsafe operations because of component failure or deterioration.
(c) The monitor is checked periodically, during the in-service test evaluation period, for calibration and stability. These tests, and ground checks of glide slope and localizer radiation characteristics, are conducted in accordance with FAA Handbooks AF P 6750.1 and AF P 6750.2 “Maintenance Instructions for ILS Localizer Equipment” and “Maintenance Instructions for ILS Glide Slope Equipment”.
(d) Flight tests to determine the facility's adequacy for operational requirements and compliance with applicable “Standards and Recommended Practices” are conducted in accord- ance with the “U.S. Standard Flight Inspection Manual”, particularly section 217.
(a) The facility must be of a permanent nature, located, constructed, and installed according to ICAO Standards (Annex 10), accepted good engineering practices, applicable electric and safety codes, and FCC licensing requirements.
(b) The facility must have a reliable source of suitable primary power, either from a power distribution system or locally generated. A determination by the Administrator as to whether a facility will be required to have stand-by power for the localizer, glide slope and monitor accessories to supplement the primary power, will be made for each airport based upon operational minimums and density of air traffic.
(c) A determination by the Administrator as to whether a facility will be required to have dual transmitting equipment with automatic changeover for localizer and glide slope components, will be made for each airport based upon operational minimums and density of air traffic.
(d) There must be a means for determining, from the ground, the perform- ance of the equipment (including antennae), initially and periodically.
(e) The facility must have, or be supplemented by (depending on the circumstances) the following ground-air or landline communications services:
(1) At facilities outside of and not immediately adjacent to controlled airspace, there must be ground-air communications from the airport served by the facility. The utilization of voice on the ILS frequency should be determined by the facility operator on an individual basis.
(2) At facilities within or immediately adjacent to controlled airspace, there must be the ground-air communications required by paragraph (e)(1) of this section and reliable communications (at least a landline telephone) from the airport to the nearest FAA air traffic control or communications facility.
(a) The owner of the facility must establish an adequate maintenance system and provide qualified maintenance personnel to maintain the facility at the level attained at the time it was commissioned. Each person who maintains a facility must meet at least the Federal Communications Commission's licensing requirements and show that he has the special knowledge and skills needed to maintain the facility including proficiency in maintenance procedures and the use of specialized test equipment.
(b) The owner must prepare, and obtain approval of, an operations and maintenance manual that sets forth mandatory procedures for operations, preventive maintenance, and emergency maintenance, including instructions on each of the following:
(1) Physical security of the facility.
(2) Maintenance and operations by authorized persons only.
(3) FCC licensing requirements for operating and maintenance personnel.
(4) Posting of licenses and signs.
(5) Relation between the facility and FAA air traffic control facilities, with a description of the boundaries of controlled airspace over or near the facility, instructions for relaying air traffic control instructions and information (if applicable), and instructions for the operations of an air traffic advisory service if the facility is located outside of controlled airspace.
(6) Notice to the Administrator of any suspension of service.
(7) Detailed and specific maintenance procedures and servicing guides stating the frequency of servicing.
(8) Air-ground communications, if provided, expressly written or incorporating appropriate sections of FAA manuals by reference.
(9) Keeping of station logs and other technical reports, and the submission of reports required by § 171.53.
(10) Monitoring of the facility.
(11) Inspections by United States personnel.
(12) Names, addresses, and telephone numbers of persons to be notified in an emergency.
(13) Shutdowns for routine maintenance and issue of “Notices to Airmen” for routine or emergency shutdowns (private use facilities may omit the “Notices to Airmen”).
(14) Commissioning of the facility.
(15) An acceptable procedure for amending or revising the manual.
(16) An explanation of the kinds of activities (such as construction or grading) in the vicinity of the facility that may require shutdown or recertification of the facility by FAA flight check.
(17) Procedures for conducting a ground check or localizer course alignment width, and clearance, and glide slope elevation angle and width.
(18) The following information concerning the facility:
(i) Facility component locations with respect to airport layout, instrument runway, and similar areas.
(ii) The type, make, and model of the basic radio equipment that will provide the service.
(iii) The station power emission and frequencies of the localizer, glide slope, markers, and associated compass locators, if any.
(iv) The hours of operation.
(v) Station identification call letters and method of station identification and the time spacing of the identification.
(vi) A description of the critical parts that may not be changed, adjusted, or repaired without an FAA flight check to confirm published operations.
(c) The owner shall make a ground check of the facility each month in accordance with procedures approved by the FAA at the time of commissioning, and shall report the results of the checks as provided in § 171.53.
(d) If the owner desires to modify the facility, he must submit the proposal to the FAA and may not allow any modifications to be made without specific approval.
(e) “The owner's maintenance personnel must participate in initial inspections made by the FAA. In the case of subsequent inspections, the owner or his representative shall participate.”
(f) Whenever it is required by the FAA, the owner shall incorporate improvements in ILS maintenance brought about by progress in the state of the art. In addition, he shall provide a stock of spare parts, including vacuum tubes, of such a quantity to make possible the prompt replacement of components that fail or deteriorate in service.
(g) The owner shall provide FAA approved test instruments needed for maintenance of the facility.
(h) The owner shall close the facility upon receiving two successive pilot reports of its malfunctioning.
The owner of each facility to which this subpart applies shall make the following reports, at the times indicated, to the FAA Regional Office for the area in which the facility is located:
(a) Record of meter readings and adjustments (Form FAA-198). To be filled out by the owner or his maintenance representative with the equipment adjustments and meter readings as of the time of commissioning, with one copy to be kept in the permanent records of the facility and two copies to the appropriate Regional Office of the FAA. The owner shall revise the form after any major repair, modernization, or retuning, to reflect an accurate record of facility operation and adjustment.
(b) Facility maintenance log (FormFAA 6030-1). This form is a permanent record of all equipment malfunctioning met in maintaining the facility, including information on the kind of work and adjustments made, equipment failures, causes (if determined), and corrective action taken. The owner shall keep the original of each report at the facility and send a copy to the appropriate Regional Office of the FAA at the end of each month in which it is prepared.
(c) Radio equipment operation record (Form FAA-418). To contain a complete record of meter readings, recorded on each scheduled visit to the facility. The owner shall keep the original of each month's record at the facility and send a copy of it to the appropriate Regional Office of the FAA.
(a) Except as provided in paragraph (b) of this section, each air navigation certificate of “Lawful Authority to Operate a True Light” is hereby revoked, and each application therefor is hereby terminated.
(b) Paragraph (a) of this section does not apply to—
(1) A certificate issued to a Federal-Aid Airport Program sponsor who was required to apply for that certificate under regulations then in effect, and who has not surrendered that certificate under § 151.86(e) of this chapter; or
(2) An application made by a Federal-Aid Airport Program sponsor who was required to make that application under regulations then in effect, and who has not terminated that application under § 151.86(e) of this chapter.
Copies of standards, recommended practices and documents incorporated by reference in this part are available for the use of interested persons at any FAA Regional Office and FAA Headquarters. An historical file of these materials is maintained at Headquarters, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20590.
On a case-by-case basis, a Regional Administrator may accept any report in a format other than the FAA form required by this part if he is satisfied that the report contains all the information required on the FAA form and can be processed by FAA as conveniently as the FAA form.
(a) Requests for approval of facilities not having design and operational characteristics identical to those of facilities currently approved under this part, including requests for deviations from this part for such facilities, must be submitted to the Director, Advanced Systems Design Service.
(b) The following requests must be submitted to the Regional Administrator of the region in which the facility is located:
(1) Requests for approval of facilities that have design and operational characteristics identical to those of facilities currently approved under this part, including requests for deviations from this part for such facilities.
(2) Requests for deviations from this part for facilities currently approved under this part.
(3) Requests for modification of facilities currently approved under this part.
This subpart sets forth minimum requirements for the approval and operation of non-Federal Simplified Directional Facilities (SDF) that are to be involved in the approval of instrument flight rules and air traffic control procedures related to those facilities.
(a) Each person who requests an IFR procedure based on an SDF that he owns must submit the following information with that request:
(1) A description of the facility and evidence that the equipment meets the performance requirements of § 171.109 and the standards and tolerances of § 171.111, and is installed in accordance with § 171.113.
(2) A proposed procedure for operating the facility.
(3) A proposed maintenance organization and a maintenance manual that meets the requirements of § 171.115.
(4) A statement of intent to meet the requirements of this subpart.
(5) A showing that the facility has an acceptable level of operational reliability as prescribed in § 171.111(k), and an acceptable standard of performance. Previous equivalent operational experience with a facility with identical design and operational characteristics will be considered in showing compliance with this paragraph.
(b) After the Federal Aviation Administration inspects and evaluates the facility, it advises the owner of the results and of any required changes in the facility or the maintenance manual or maintenance organization. The owner must then correct the deficiencies, if any, and operate the facility for an in-service evaluation by the Federal Aviation Administration.
(a) The following are the minimum requirements that must be met before the Federal Aviation Administration will approve an IFR procedure for a non-Federal Simplified Directional Facility:
(1) A suitable frequency channel must be available.
(2) The facility's performance, as determined by air and ground inspection, must meet the requirements of §§ 171.109 and 171.111.
(3) The installation of the equipment must meet the requirements of § 171.113.
(4) The owner must agree to operate and maintain the facility in accordance with § 171.115.
(5) The owner must agree to furnish periodic reports as set forth in § 171.117, and agree to allow the FAA to inspect the facility and its operation whenever necessary.
(6) The owner must assure the FAA that he will not withdraw the facility from service without the permission of the FAA.
(7) The owner must bear all costs of meeting the requirements of this section and of any flight or ground inspections made before the facility is commissioned, except that the FAA may bear certain of these costs subject to budgetary limitations and policy established by the Administrator.
(b) If the applicant for approval meets the requirements of paragraph (a) of this section, the FAA commissions the facility as a prerequisite to its approval for use in an IFR procedure. The approval is withdrawn at any time the facility does not continue to meet those requirements. In addition, the facility is licensed by the Federal Communications Commission. The Federal Aviation Administration recommends cancellation or nonrenewal of the Federal Communications Commission license whenever the frequency channel is needed for higher priority common system service.
As used in this subpart:
SDF (simplified directional facility) means a directional aid facility providing only lateral guidance (front or back course) for approach from a final approach fix.
DDM (difference in depth of modulation) means the percentage modulation depth of the larger signal minus the percentage modulation depth of the smaller signal, divided by 100.
Angular displacement sensitivity means the ratio of measured DDM to the corresponding angular displacement from the appropriate reference line.
Back course sector means the course sector on the opposite end of the runway from the front course sector.
Course line means the locus of points along the final approach course at which the DDM is zero.
Course sector means a sector in a horizontal plane containing the course line and limited by the loci of points nearest to the course line at which the DDM is 0.155.
Displacement sensitivity means the ratio of measured DDM to the corresponding lateral displacement from the appropriate reference line.
Front course sector means the course sector centered on the course line in the direction from the runway in which a normal final approach is made.
Half course sector means the sector in a horizontal plane containing the course line and limited by the loci of points nearest to the course line, at which the DDM is 0.0775.
Point A means a point on the front course in the approach direction a distance of 4 nautical miles from the threshold.
Point A1 means a point on the front course in the approach direction a distance of 1 statute mile from the threshold.
Point A2 means a point on the front course at the threshold.
Reference datum means a point at a specified height located vertically above the intersection of the course and the threshold.
Missed approach point means the point on the final approach course, not farther from the final approach fix than Point “A2”, at which the approach must be abandoned, if the approach and subsequent landing cannot be safely completed by visual reference, whether or not the aircraft has descended to the minimum descent altitude.
(a) The Simplified Directional Facility must perform in accordance with the following standards and practices:
(1) The radiation from the SDF antenna system must produce a composite field pattern which is amplitude modulated by a 90 Hz and a 150 Hz tone. The radiation field pattern must produce a course sector with the 90 Hz tone predominating on one side of the course and with the 150 Hz tone predominating on the opposite side.
(2) When an observer faces the SDF from the approach end of runway, the depth of modulation of the radio frequency carrier due to the 150 Hz tone must predominate on his right hand and that due to the 90 Hz tone must predominate on his left hand.
(3) All horizontal angles employed in specifying the SDF field patterns must originate from the center of the antenna system which provides the signals used in the front course sector.
(4) The SDF must operate on odd tenths or odd tenths plus a twentieth MHz within the frequency band 108.1 MHz to 111.95 MHz. The frequency tolerance of the radio frequency carrier must not exceed plus or minus 0.002 percent.
(5) The radiated emission from the SDF must be horizontally polarized. The vertically polarized component of the radiation on the course line must not exceed that which corresponds to an error one-twentieth of the course sector width when an aircraft is positioned on the course line and is in a roll attitude of 20° from the horizontal.
(6) The SDF must provide signals sufficient to allow satisfactory operation of a typical aircraft installation within the sector which extends from the center of the SDF antenna system to distances of 18 nautical miles within a plus or minus 10° sector and 10 nautical miles within the remainder of the coverage when alternative navigational facilities provide satisfactory coverage within the intermediate approach area. SDF signals must be receivable at the distances specified at and above a height of 1,000 feet above the elevation of the threshold, or the lowest altitude authorized for transition, whichever is higher. Such signals must be receivable, to the distances specified, up to a surface extending outward from the SDF antenna and inclined at 7° above the horizontal.
(7) The modulation tones must be phase-locked so that within the half course sector, the demodulated 90 Hz and 150 Hz wave forms pass through zero in the same direction within 20° of phase relative to the 150 Hz component, every half cycle of the combined 90 Hz and 150 Hz wave form. However, the phase need not be measured within the half course sector.
(8) The angle of convergence of the final approach course and the extended runway centerline must not exceed 30°. The final approach course must be aligned to intersect the extended runway centerline between points A1 and the runway threshold. When an operational advantage can be achieved, a final approach course that does not intersect the runway or that intersects it at a distance greater than point A1 from the threshold, may be established, if that course lies within 500 feet laterally of the extended runway centerline at a point 3,000 feet outward from the runway threshold. The mean course line must be maintained within ±10 percent of the course sector width.
(9) The nominal displacement sensitivity within the half course sector must be 50 microamperes/degree. The nominal course sector width must be 6°. When an operational advantage can be achieved, a nominal displacement sensitivity of 25 microamperes/degree may be established, with a nominal course sector width of 12° with proportional displacement sensitivity. The lateral displacement sensitivity must be adjusted and maintained within the limits of plus or minus 17 percent of the nominal value.
(10) The off-course (clearance) signal must increase at a substantially linear rate with respect to the angular displacement from the course line up to an angle on either side of the course line where 175 microamperes of deflection is obtained. From that angle to ±10°, the off-course deflection must not be less than 175 microamperes. From ±10° to ±35° the off-course deflection must not be less than 150 microamperes. With the course adjusted to cause any of several monitor alarm conditions, the aforementioned values of 175 microamperes in the sector 10° each side of course and 150 microamperes in the sector ±10° to ±35° may be reduced to 160 microamperes and 135 microamperes, respectively. These conditions must be met at a distance of 18 nautical miles from the SDF antenna within the sector 10° each side of course line and 10 nautical miles from the SDF antenna within the sector ±10° to ±35° each side of course line.
(11) The SDF may provide a ground-to-air radiotelephone communication channel to be operated simultaneously with the navigation and identification signals, if that operation does not interfere with the basic function. If a channel is provided, it must conform with the following standards:
(i) The channel must be on the same radio frequency carrier or carriers as used for the SDF function, and the radiation must be horizontally polarized. Where two carriers are modulated with speech, the relative phases of the modulations on the two carriers must avoid the occurrence of nulls within the coverage of the SDF.
(ii) On centerline, the peak modulation depth of the carrier or carriers due to the radiotelephone communications must not exceed 50 percent but must be adjusted so that the ratio of peak modulation depth due to the radiotelephone communications to that due to the identification signal is approximately 9:1.
(iii) The audio frequency characteristics of the radiotelephone channel must be flat to within 3 db relative to the level at 1,000 Hz over the range from 300 Hz to 3,000 Hz.
(12)(i) The SDF must provide for the simultaneous transmission of an identification signal, specific to the runway and approach direction, on the same radio frequency carrier or carriers as used for the SDF function. The transmission of the identification signal must not interfere in any way with the basic SDF function.
(ii) The identification signal must be produced by Class A2 modulation of the radio frequency carrier or carriers using a modulation tone of 1020 Hz within ±50 Hz. The depth of modulation must be between the limits of 5 and 15 percent except that, where a radiotelephone communication channel is provided, the depth of modulation must be adjusted so that the ratio of peak modulation depth due to radiotelephone communications to that due to the identification signal modulation is approximately 9:1. The emissions carrying the identification signal must be horizontally polarized.
(iii) The identification signal must employ the International Morse Code and consist of three letters.
(iv) The identification signal must be transmitted at a speed corresponding to approximately seven words per minute, and must be repeated at approximately equal intervals, not less than six times per minute. When SDF transmission is not available for operational use, including periods of removal of navigational components or during maintenance or test transmissions, the identification signal must be suppressed.
(b) It must be shown during ground inspection of the design features of the equipment that there will not be conditions that will allow unsafe operations because of component failure or deterioration.
(c) The monitor must be checked periodically during the in-service test evaluation period for calibration and stability. These tests, and ground checks of SDF radiation characteristics must be conducted in accordance with the maintenance manual required by § 171.115(c) and must meet the standards and tolerances contained in § 171.111(j).
(d) The monitor system must provide a warning to the designated control point(s) when any of the conditions of § 171.111(j) occur, within the time periods specified in that paragraph.
(e) Flight inspection to determine the adequacy of the facility's operational performance and compliance with applicable performance requirements must be conducted in accordance with the “U.S. Standard Flight Inspection Manual.” Tolerances contained in the U.S. Standard Flight Inspection Manual, section 217, must be complied with except as stated in paragraph (f) of this section.
(f) Flight inspection tolerances specified in section 217 of the “U.S. Standard Flight Inspection Manual” must be complied with except as follows:
(1) Course sector width. The nominal course sector width must be 6°. When an operational advantage can be achieved, a nominal course sector width of 12° may be established. Course sector width must be adjusted and maintained within the limits of ±17 percent of the nominal value.
(2) Course alignment. The mean course line must be adjusted and maintained within the limits of ±10 percent of the nominal course sector width.
(3) Course structure. Course deviations due to roughness, scalloping, or bends must be within the following limitations:
(i) Front course. (a) Course structure from 18 miles from runway threshold to Point A must not exceed ±40 microamperes;
(b) Point A to Point A-1—linear decrease from not more than ±40 microamperes at Point A to not more than ±20 microamperes at Point A-1;
(c) Point A-1 to Missed Approach Point—not more than ±20 microamperes;
(d) Monitor tolerances: width ±17 percent of nominal; alignment—±10 percent of nominal course sector width.
(ii) Back course. (a) Course structure 18 miles from runway threshold to 4 miles from runway threshold must not exceed ±40 microamperes. Four miles to 1 mile from R/W must not exceed ±40 microamperes decreasing to not more than ±20 microamperes, at a linear rate.
(b) Monitor tolerances: width—±17 percent of nominal; alignment—±10 percent of nominal course sector width.
Compliance with this section must be shown as a condition to approval and must be maintained during operation of the SDF.
(a) Frequency. (1) The SDF must operate on odd tenths or odd tenths plus a twentieth MHz within the frequency band 108.1 MHz to 111.95 MHz. The frequency tolerance of the radio frequency carrier must not exceed plus or minus 0.002 percent.
(2) The modulating tones must be 90 Hz and 150 Hz within ±2.5 percent.
(3) The identification signal must be 1020 Hz within ±50 Hz.
(4) The total harmonic content of the 90 Hz tone must not exceed 10 percent.
(5) The total harmonic content of the 150 Hz tone must not exceed 10 percent.
(b) Power output. The normal carrier power output must be of a value which will provide coverage requirements of § 171.109(a)(6) when reduced by 3 dB to the monitor RF power reduction alarm point specified in § 171.111(j)(3).
(c) VSWR. (1) The VSWR of carrier and sideband feedlines must be a nominal value of 1/1 and must not exceed 1.2/1.
(2) The sponsor will also provide additional manufacturer's ground standards and tolerances for all VSWR parameters peculiar to the equipment which can effect performance of the facility in meeting the requirements specified in §§ 171.109 and 171.111.
(d) Insulation resistance. The insulation resistance of all coaxial feedlines must be greater than 20 megohms.
(e) Depth of modulation. (1) The depth of modulation of the radio frequency carrier due to each of the 90 Hz and 150 Hz tones must be 20 percent ±2 percent along the course line.
(2) The depth of modulation of the radio frequency carrier due to the 1020 Hz identification signal must be within 5 percent to 15 percent.
(f) Course sector width. The standard course sector width must be 6° or 12°. The course sector must be maintained with ±17 percent of the standard.
(g) Course alignment. Course alignment must be as specified in § 171.109(a)(8).
(h) Back course alignment and width. If a back course is provided, standards and tolerances for back course sector width and alignment must be the same as course sector width and course alignment specified in paragraphs (f) and (g) of this section.
(i) Clearance. Clearance must be as specified in § 171.109(a)(10).
(j) Monitor standards and tolerances. (1) The monitor system must provide a warning to the designated control point(s) when any of the conditions described in this paragraph occur, within the time periods specified in paragraph (j)(6) of this section.
(2) Course shift alarm: The monitor must alarm and cause radiation to cease, or identification and navigation signals must be removed, if the course alignment deviates from standard alignment by 10 percent or more of the standard course sector width.
(3) RF power reduction alarm: The monitor must alarm and cause radiation to cease, or identification and navigation signals must be removed, if the output power is reduced by 3 db or more from normal.
(4) Modulation level alarm: The monitor must alarm and cause radiation to cease, or identification and navigation signals must be removed, if the 90 Hz and 150 Hz modulation levels decrease by 17 percent or more.
(5) Course sector width alarm: The monitor must alarm and cause radiation to cease, or identification and navigation signals must be removed, for a change in course sector width to a value differing by ±17 percent or more from the standard.
(6) Monitor delay before shutdown: Radiation must cease, or identification and navigation signals must be removed, within 10 seconds after a fault is detected by the monitor, and no attempt must be made to resume radiation for a period of at least 20 seconds. If an automatic recycle device is used, not more than three successive recycles may be permitted before a complete SDF shutdown occurs.
(k) Mean time between failures. The mean time between failures must not be less than 800 hours. This measure is applied only to equipment failures (monitor or transmitting equipment, including out of tolerance conditions) which result in facility shutdown. It does not relate to the responsiveness of the maintenance organization.
(l) Course alignment stability. Drift of the course alignment must not exceed one-half the monitor limit in a 1-week period.
(a) The facility must be installed according to accepted good engineering practices, applicable electric and safety codes, and FCC requirements.
(b) The SDF facility must have the following basic components:
(1) VHF SDF equipment and associated monitor system;
(2) Remote control, and indicator equipment (remote monitor) when required by the FAA;
(3) A final approach fix; and
(4) Compass locator (COMLO) or marker if suitable fixes and initial approach routes are not available from existing facilities.
(c) The facility must have a reliable source of suitable primary power, either from a power distribution system or locally generated. Also, adequate power capacity must be provided for operation of test and working equipment at the SDF. A determination by the Federal Aviation Administration as to whether a facility will be required to have standby power for the SDF and monitor accessories to supplement the primary power will be made for each airport based upon operational minimums and density of air traffic.
(d) A determination by the Federal Aviation Administration as to whether a facility will be required to have dual transmitting equipment with automatic changeover for the SDF will be made for each airport based upon operational minimums and density of air traffic.
(e) There must be a means for determining, from the ground, the performance of the equipment (including antennae), initially and periodically.
(f) The facility must have the following ground-air or landline communication services:
(1) At facilities outside of and not immediately adjacent to controlled airspace, there must be ground-air communications from the airport served by the facility. The utilization of voice on the SDF should be determined by the facility operator on an individual basis.
(2) At facilities within or immediately adjacent to controlled airspace, there must be ground/air communications required by paragraph (b)(1) of this section and reliable communications (at least a landline telephone) from the airport to the nearest Federal Aviation Administration air traffic control or communications facility.
(g) At those locations where two separate SDF facilities serve opposite ends of a single runway, an interlock must insure that only the facility serving the approach direction in use can radiate, except where no operationally harmful interference results.
(h) At those locations where, in order to alleviate frequency congestion, the SDF facilities serving opposite ends of one runway employ identical frequencies, an interlock must insure that the facility not in operational use cannot radiate.
(i) Provisions for maintenance and operations by authorized persons only.
(j) Where an operational advantage exists, the installation may omit a back course.
(a) The owner of the facility shall establish an adequate maintenance system and provide qualified maintenance personnel to maintain the facility at the level attained at the time it was commissioned. Each person who maintains a facility shall meet at a minimum the Federal Communications Commission's licensing requirements and show that he has the special knowledge and skills needed to maintain the facility, including proficiency in maintenance procedures and the use of specialized test equipment.
(b) The SDF must be designed and maintained so that the probability of operation within the performance requirements specified is high enough to insure an adequate level of safety. In the event out-of-tolerance conditions develop, the facility shall be removed from operation, and the designated control point notified.
(c) The owner must prepare, and obtain approval of, and each person operating or maintaining the facility shall comply with, an operations and maintenance manual that sets forth procedures for operations, preventive maintenance, and emergency maintenance, including instructions on each of the following:
(1) Physical security of the facility. This includes provisions for designating critical areas relative to the facility and preventing or controlling movements within the facility that may adversely affect SDF operations.
(2) Maintenance and operations by authorized persons only.
(3) Federal Communications Commission requirements for operating personnel and maintenance personnel.
(4) Posting of licenses and signs.
(5) Relation between the facility and Federal Aviation Administration air traffic control facilities, with a description of the boundaries of controlled airspace over or near the facility, instructions for relaying air traffic control instructions and information (if applicable), and instructions for the operation of an air traffic advisory service if the facility is located outside of controlled airspace.
(6) Notice to the Administrator of any suspension of service.
(7) Detailed and specific maintenance procedures and servicing guides stating the frequency of servicing.
(8) Air-ground communications, if provided, expressly written or incorporating appropriate sections of Federal Aviation Administration manuals by reference.
(9) Keeping of station logs and other technical reports, and the submission of reports required by § 171.117.
(10) Monitoring of the facility.
(11) Names, addresses, and telephone numbers of persons to be notified in an emergency.
(12) Inspection by U.S. personnel.
(13) Shutdowns for routine maintenance and issue of “Notices to Airmen” for routine or emergency shutdowns, except that private use facilities may omit “Notices to Airmen.”
(14) Commissioning of the facility.
(15) An acceptable procedure for amending or revising the manual.
(16) An explanation of the kinds of activities (such as construction or grading) in the vicinity of the facility that may require shutdown or certification of the facility by Federal Aviation Administration flight check.
(17) Procedure for conducting a ground check of SDF course alignment, width and clearance.
(18) The following information concerning the facility:
(i) Facility component locations with respect to airport layout, instrument runway, and similar areas;
(ii) The type, make, and model of the basic radio equipment that will provide the service;
(iii) The station power emission and frequencies of the SDF, markers and associated COMLOs, if any;
(iv) The hours of operation;
(v) Station identification call letters and method of station identification and the time spacing of the identification;
(vi) A description of the critical parts that may not be changed, adjusted, or repaired without a Federal Aviation Administration flight check to confirm published operations.
(d) The owner shall make a ground check of the facility each month in accordance with procedures approved by the Federal Aviation Administration at the time of commissioning, and shall report the results of the checks as provided in § 171.117.
(e) If the owner desires to modify the facility, he shall submit the proposal to the Federal Aviation Administration and may not allow any modifications to be made without specific approval.
(f) The owner's maintenance personnel shall participate in initial inspections made by the Federal Aviation Administration. In the case of subsequent inspections, the owner or his representatives shall participate.
(g) Whenever it is required by the Federal Aviation Administration, the owner shall incorporate improvements in SDF maintenance. In addition, he shall provide a stock of spare parts, of such a quantity, to make possible the prompt replacement of components that fail or deteriorate in service.
(h) The owner shall provide Federal Aviation Administration approved test instruments needed for maintenance of the facility.
(i) The owner shall close the facility by ceasing radiation and shall issue a “Notice to Airmen” that the facility is out of service (except that private use facilities may omit “Notices to Airmen”), upon receiving two successive pilot reports of its malfunctioning.
The owner of each facility to which this subpart applies shall make the following reports, at the time indicated, to the Federal Aviation Administration Regional Office for the area in which the facility is located:
(a) Record of meter readings and adjustments (Form FAA-198). To be filled out by the owner or his maintenance representative with the equipment adjustments and meter readings as of the time of commissioning, with one copy to be kept in the permanent records of the facility and two copies to the appropriate Regional Office of the Federal Aviation Administration. The owner shall revise the form after any major repair, modification, or retuning, to reflect an accurate record of facility operation and adjustment.
(b) Facility maintenance log (FAA Form 6030-1) This form is a permanent record of all equipment malfunctioning met in maintaining the facility, including information on the kind of work and adjustments made, equipment failures, causes (if determined), and corrective action taken. The owner shall keep the original of each report at the facility and send a copy to the appropriate Regional Office of the Federal Aviation Administration at the end of each month in which it is prepared.
(c) Radio equipment operation record (Form FAA-418), containing a complete record of meter readings, recorded on each scheduled visit to the facility. The owner shall keep the original of each month's record at the facility and send a copy of it to the appropriate Regional Office of the Federal Aviation Administration.
This subpart sets forth minimum requirements for the approval and operation of non-Federal DME facilities that are to be involved in the approval of instrument flight rules and air traffic control procedures related to those facilities.
(a) Each person who requests an IFR procedure based on a DME facility that he owns must submit the following information with that request:
(1) A description of the facility and evidence that the equipment meets the performance requirements of § 171.157 and is installed in accordance with § 171.159.
(2) A proposed procedure for operating the facility.
(3) A proposed maintenance organization and maintenance manual that meets the requirement of § 171.161.
(4) A statement of intention to meet the requirements of this subpart.
(5) A showing that the facility has an acceptable level of operational reliability and an acceptable standard of performance. Previous equivalent operational experience with a facility with identical design and operational characteristics will be considered in showing compliance with this paragraph.
(b) After the Federal Aviation Administration inspects and evaluates the facility, it advises the owner of the results and of any required changes in the facility or the maintenance manual or maintenance organization. The owner must then correct the deficiencies, if any, and operate the facility for an in-service evaluation by the Federal Aviation Administration.
(a) The following are the minimum requirements that must be met before the Federal Aviation Administration will approve an IFR procedure for a non-Federal DME:
(1) A suitable frequency channel must be available.
(2) The facility's performance, as determined by air and ground inspection, must meet the requirements of § 171.157.
(3) The installation of the equipment must meet the requirements of § 171.159.
(4) The owner must agree to operate and maintain the facility in accordance with § 171.161.
(5) The owner must agree to furnish periodic reports, as set forth in § 171.163, and must agree to allow the Federal Aviation Administration to inspect the facility and its operation whenever necessary.
(6) The owner must assure the Federal Aviation Administration that he will not withdraw the facility from service without the permission of the Federal Aviation Administration.
(7) The owner must bear all costs of meeting the requirements of this section and of any flight or ground inspections made before the facility is commissioned, except that the Federal Aviation Administration may bear certain of these costs subject to budgetary limitations and policy established by the Administrator.
(b) If the applicant for approval meets the requirements of paragraph (a) of this section, the Federal Aviation Administration commissions the facility as a prerequisite to its approval for use in an IFR procedure. The approval is withdrawn at any time the facility does not continue to meet those requirements.
(a) The DME must meet the performance requirements set forth in the “International Standards and Recommended Practices. Aeronautical Telecommunications, Part I, Paragraph 3.5” (Annex 10 to the Convention of International Civil Aviation).
(b) It must be shown during ground inspection of the design features of the equipment that there will not be conditions that will allow unsafe operations because of component failure or deterioration.
(c) The monitor must be checked periodically, during the in-service test evaluation period, for calibration and stability. These tests and ground tests of the functional and performance characteristics of the DME transponder must be conducted in accordance with the maintenance manual required by § 171.161(b).
(d) Flight inspection to determine the adequacy of the facility's operational performance and compliance with applicable “Standards and Recommended Practices” must be accomplished in accordance with the “U.S. Standard Flight Inspection Manual.”
(a) The facility must be installed according to accepted good engineering practices, applicable electric and safety codes, and Federal Communications Commission requirements.
(b) The facility must have a reliable source of suitable primary power, either from a power distribution system or locally generated, with a supplemental standby system, if needed.
(c) Dual transmitting equipment with automatic changeover is preferred and may be required to support certain IFR procedures.
(d) There must be a means for determining from the ground, the performance of the equipment, initially and periodically.
(e) A facility intended for use as an instrument approach aid for an airport must have or be supplemented by the following ground air or landline communications services:
(1) At facilities outside of and not immediately adjacent to controlled airspace, there must be ground-air communications from the airport served by the facility. Separate communications channels are acceptable.
(2) At facilities within or immediately adjacent to controlled airspace, there must be the ground-air communications required by paragraph (e)(1) of this section and reliable communications (at least a landline telephone) from the airport to the nearest Federal Aviation Administration air traffic control or communications facility. Separate communications channels are acceptable.
(a) The owner of the facility shall establish an adequate maintenance system and provide qualified maintenance personnel to maintain the facility at the level attained at the time it was commissioned. Each person who maintains a facility shall meet at a minimum the Federal Communications Commission's licensing requirements and show that he has the special knowledge and skills needed to maintain the facility, including proficiency in maintenance procedures and the use of specialized test equipment.
(b) The owner must prepare and obtain Federal Aviation Administration approval of, and each person operating or maintaining the facility shall comply with, an operations and maintenance manual that sets forth procedures for operations, preventive maintenance, and emergency maintenance, including instructions on each of the following:
(1) Physical security of the facility.
(2) Maintenance and operations by authorized persons only.
(3) Federal Communications Commission's requirements and maintenance personnel.
(4) Posting of licenses and signs.
(5) Relations between the facility and Federal Aviation Administration air traffic control facilities, with a description of the boundaries of controlled airspace over or near the facility, instructions for relaying air traffic control instructions and information (if applicable), and instructions for the operation of an air traffic advisory service if the DME is located outside of controlled airspace.
(6) Notice to the Administrator of any suspension of service.
(7) Detailed and specific maintenance procedures and servicing guides stating the frequency of servicing.
(8) Air-ground communications, if provided, expressly written or incorporating appropriate sections of Federal Aviation Administration manuals by reference.
(9) Keeping of station logs and other technical reports, and the submission of reports required by § 171.163.
(10) Monitoring of the facility.
(11) Inspections by U.S. personnel.
(12) Names, addresses, and telephone numbers of persons to be notified in an emergency.
(13) Shutdowns for routine maintenance and issue of “Notices to Airmen” for routine or emergency shutdowns, except that private use facilities may omit the “Notices to Airmen.”
(14) An explanation of the kinds of activity (such as construction or grading) in the vicinity of the facility that may require shutdown or reapproval of the facility by Federal Aviation Administration flight check.
(15) Commissioning of the facility.
(16) An acceptable procedure for amending or revising the manual.
(17) The following information concerning the facility:
(i) Location by latitude and longitude to the nearest second, and its position with respect to airport layouts.
(ii) The type, make, and model of the basic radio equipment that will provide the service.
(iii) The station power emission and frequency.
(iv) The hours of operation.
(v) Station identification call letters and methods of station identification, whether by Morse code or recorded voice announcement, and the time spacing of the identification.
(vi) A description of the critical parts that may not be changed, adjusted, or repaired without an FAA flight check to confirm published operations.
(c) The owner shall make a monthly ground operational check in accordance with procedures approved by the FAA at the time of commissioning, and shall report the results of the checks as provided in § 171.163.
(d) If the owner desires to modify the facility, he shall submit the proposal to the FAA and may not allow any modifications to be made without specific approval.
(e) The owner's maintenance personnel shall participate in initial inspections made by the FAA. In the case of subsequent inspections, the owner or his representative shall participate.
(f) Whenever it is required by the FAA, the owner shall incorporate improvements in DME maintenance.
(g) The owner shall provide a stock of spare parts of such a quantity to make possible the prompt replacement of components that fail or deteriorate in service.
(h) The owner shall provide FAA-approved test instruments needed for maintenance of the facility.
(i) The owner shall shut down the facility (i.e., cease radiation and issue a NOTAM that the facility is out-of-service) upon receiving two successive pilot reports of its malfunctioning.
The owner of each facility to which this subpart applies shall make the following reports on forms furnished by the FAA, at the time indicated, to the FAA Regional office for the area in which the facility is located:
(a) Record of meter readings and adjustments (Form FAA-198). To be filled out by the owner with the equipment adjustments and meter readings as of the time of commissioning, with one copy to be kept in the permanent records of the facility and two copies to the appropriate Regional office of the FAA. The owner shall revise the form after any major repair, modification, or returning, to reflect an accurate record of facility operation and adjustment.
(b) Facility maintenance log (FAA Form 6030-1). This form is a permanent record of all equipment malfunctioning met in maintaining the facility, including information on the kind of work and adjustments made, equipment failures, causes (if determined), and corrective action taken. The owner shall keep the original of each report at the facility and send a copy to the appropriate Regional Office of the Federal Aviation Administration at the end of the month in which it is prepared.
(c) Radio equipment operation record (Form FAA-418), containing a complete record of meter readings, recorded on each scheduled visit to the facility. The owner shall keep the original of each month's record at the facility and send a copy of it to the appropriate Regional Office of the Federal Aviation Administration.
(a) This subpart sets forth minimum requirements for the approval and operation of non-Federal VHF marker beacon facilities that are to be involved in the approval of instrument flight rules and air traffic control procedures related to those facilities.
(b) [Reserved]
(a) Each person who requests an IFR procedure which will incorporate the use of a VHF marker beacon facility that he owns must submit the following information with that request:
(1) A description of the facility and evidence that the equipment meets the performance requirements of § 171.207 and is installed in accordance with § 171.209.
(2) A proposed procedure for operating the facility.
(3) A proposed maintenance organization and a maintenance manual that meets the requirements of § 171.211.
(4) A statement of intent to meet the requirement of this subpart.
(5) A showing that the facility has an acceptable level of operational reliability, and an acceptable standard of performance. Previous equivalent operational experience may be shown to comply with this subparagraph.
(b) After the Federal Aviation Administration inspects and evaluates the facility, it advises the owner of the results and of any required changes in the facility or the maintenance manual or maintenance organization. The owner shall then correct the deficiencies, if any, and operate the facility for an in-service evaluation by the Federal Aviation Administration.
(a) The following are the minimum requirements that must be met before the Federal Aviation Administration will approve an IFR procedure which incorporates the use of a non-Federal VHF marker beacon facility under this subpart:
(1) The facility's performances, as determined by air and ground inspection, must meet the requirements of § 171.207.
(2) The installation of the equipment must meet the requirements of § 171.209.
(3) The owner must agree to operate and maintain the facility in accordance with § 171.211.
(4) The owner must agree to furnish periodic reports, as set forth in § 171.213, and agree to allow the Federal Aviation Administration to inspect the facility and its operation whenever necessary.
(5) The owner must assure the Federal Aviation Administration that he will not withdraw the facility from service without the permission of the Federal Aviation Administration.
(6) The owner must bear all costs of meeting the requirements of this section and of any flight or ground inspections made before the facility is commissioned, except that the Federal Aviation Administration may bear certain of these costs subject to budgetary limitations and policy established by the Administrator.
(b) If the applicant for approval meets the requirements of paragraph (a) of this section, the Federal Aviation Administration commissions the facility as a prerequisite to its approval for use in an IFR procedure. The approval is withdrawn at any time the facility does not continue to meet those requirements.
(a) VHF Marker Beacons must meet the performance requirements set forth in the “International Standards and Recommended Practices, Aeronautical Telecommunications, Part I, paragraphs 3.1.6 and 3.6.” (Annex 10 to the Convention on International Civil Aviation) except those portions that pertain to identification. Identification of a marker beacon (75 MHz) must be in accordance with “U.S. Standard Flight Inspection Manual,” § 219.
(b) The facility must perform in accordance with recognized and accepted good electronic engineering practices for the desired service. The facility must be checked periodically during the in-service test evaluation period for calibration and stability. These tests and ground tests of the marker radiation characteristics must be conducted in accordance with the maintenance manual required by § 171.211(b).
(c) It must be shown during ground inspection of the design features of the equipment that there will not be conditions that will allow unsafe operations because of component failure or deterioration.
(d) Flight inspection to determine the adequacy of the facility's operational performance and compliance with applicable “Standards and Recommended Practices” are conducted in accordance with the “U.S. Standard Flight Inspection Manual.” The original test is made by the Federal Aviation Administration and later tests must be made under arrangements, satisfactory to the Federal Aviation Administration, that are made by the owner.
(a) The facility must be installed according to accepted good engineering practices, applicable electric and safety codes, and Federal Communications Commission requirements.
(b) The facility must have a reliable source of suitable primary power.
(c) Dual transmitting equipment may be required, if applicable, to support certain IFR procedures.
(d) At facilities within or immediately adjacent to controlled airspace and that are intended for use as instrument approach aids for an airport, there must be ground-air communications or reliable communications (at least a landline telephone) from the airport to the nearest Federal Aviation Administration air traffic control or communication facility. Compliance with this paragraph need not be shown at airports where an adjacent Federal Aviation Administration facility can communicate with aircraft on the ground at the airport and during the entire proposed instrument approach procedure. In addition, at low traffic density airports within or immediately adjacent to controlled airspace, and where extensive delays are not a factor, the requirements of this paragraph may be reduced to reliable communications (at least a landline telephone) from the airport to the nearest Federal Aviation Administration air traffic control or communications facility, if an adjacent Federal Aviation Administration facility can communicate with aircraft during the proposed instrument approach procedure, at least down to the minimum en route altitude for the controlled airspace area.
(a) The owner of the facility shall establish an adequate maintenance system and provide qualified maintenance personnel to maintain the facility at the level attained at the time it was commissioned. Each person who maintains a facility shall meet at a minimum the Federal Communications Commission's licensing requirements and show that he has the special knowledge and skills needed to maintain the facility, including proficiency in maintenance procedures and the use of specialized test equipment.
(b) The owner must prepare, and obtain approval of, and each person who operates or maintains the facility shall comply with, an operations and maintenance manual that sets forth procedures for operations, preventive maintenance, and emergency maintenance, including instructions on each of the following:
(1) Physical security of the facility.
(2) Maintenance and operations by authorized persons only.
(3) Federal Communications Commission's requirements for operating and maintenance personnel.
(4) Posting of licenses and signs.
(5) Relations between the facility and Federal Aviation Administration air traffic control facilities, with a description of the boundaries of controlled airspace over or near the facility, instructions for relaying air traffic control instructions and information (if applicable).
(6) Notice to the Administrator of any suspension of service.
(7) Detailed arrangements for maintenance, flight inspection, and servicing, stating the frequency of servicing.
(8) Keeping of station logs and other technical reports, and the submission of reports required by § 171.213.
(9) Monitoring of the facility, at least once each half hour, to assure continuous operation.
(10) Inspections by U.S. personnel.
(11) Names, addresses, and telephone numbers of persons to be notified in an emergency.
(12) Shutdowns for routine maintenance and issue of “Notices to Airmen” for routine or emergency shutdowns (private use facilities may omit the “Notice to Airmen”).
(13) Commissioning of the facility.
(14) An acceptable procedure for amending or revising the manual.
(15) The following information concerning the facility:
(i) Location by latitude and longitude to the nearest second, and its position with respect to airport layouts.
(ii) The type, make, and model of the basic radio equipment that will provide the service.
(iii) The station power emission and frequency.
(iv) The hours of operation.
(v) Station identification call letters and methods of station identification, whether by Morse Code or recorded voice announcement, and the time spacing of the identification.
(c) If the owner desires to modify the facility, he shall submit the proposal to the Federal Aviation Administration and meet applicable requirements of the Federal Communications Commission, and must not allow any modification to be made without specific approval by the Federal Aviation Administration.
(d) The owner's maintenance personnel shall participate in initial inspections made by the Federal Aviation Administration. In the case of subsequent inspections, the owner or his representative shall participate.
(e) The owner shall provide a stock of spare parts, of such a quantity to make possible the prompt replacement of components that fail or deteriorate in service.
(f) The owner shall shut down the facility by ceasing radiation, and shall issue a “Notice to Airmen” that the facility is out of service (except that private use facilities may omit “Notices to Airmen”) upon receiving two successive pilot reports of its malfunctioning.
The owner of each facility to which this subpart applies shall make the following reports, at the times indicated, to the Federal Aviation Administration Regional Office for the area in which the facility is located:
(a) Record of meter readings and adjustments (Form FAA-198). To be filled out by the owner or his maintenance representative with the equipment adjustments and meter readings as of the time of commissioning, with one copy to be kept in the permanent records of the facility and two copies to the appropriate Regional Office of the Federal Aviation Administration. The owner must revise the form after any major repair, modification, or retuning, to reflect an accurate record of facility operation and adjustment.
(b) Facility maintenance log (FAA Form 6030-1). This form is a permanent record of all equipment malfunctioning met in maintaining the facility, including information on the kind of work and adjustments made, equipment failures, causes (if determined), and corrective action taken. The owner shall keep the original of each report at the facility and send a copy to the appropriate Regional Office of the Federal Aviation Administration at the end of the month in which it is prepared.
(c) Radio equipment operation record (Form FAA-418), containing a complete record of meter readings, recorded on each scheduled visit to the facility. The owner shall keep the original of each month's record at the facility and send a copy of it to the appropriate Regional Office of the Federal Aviation Administration.
This subpart sets forth minimum requirements for the approval and operation of non-Federal Interim Standard Microwave Landing System (ISMLS) facilities that are to be involved in the approval of instrument flight rules and air traffic control procedures related to those facilities.
As used in this subpart:
Angular displacement sensitivity (Glide Slope) means the ratio of measured DDM to the corresponding angular displacement from the appropriate reference line.
Collocated ground station means the type of ground station which transmits two or more guidance signals simultaneously from a common location.
Course line means the locus of points nearest to the runway centerline in any horizontal plane at which the DDM is zero.
Course sector (full) means a sector in a horizontal plane containing the course line and limited by the loci of points nearest to the course line at which the DDM is 0.155.
Course sector (half) means the sector in a horizontal plane containing the course line and limited by the loci of points nearest to the course line at which DDM is 0.0775.
DDM means difference in depth of modulation. The percentage modulation depth of the larger signal minus the percentage modulation depth of the smaller signal, divided by 100.
Displacement sensitivity (Localizer) means the ratio of measured DDM to the corresponding lateral displacement from the appropriate reference line.
Facility Performance Category I—ISMLS means an ISMLS which provides guidance information from the coverage limit of the ISMLS to the point at which the localizer course line intersects the ISMLS glide path at a height of 200 feet or less above the horizontal plane containing the threshold.
Glide path means that locus of points in the vertical plane containing the runway center line at which the DDM is zero, which, of all such loci, is the closest to the horizontal plane.
Glide path angle (θ) means the angle between a straight line which represents the mean of the ISMLS glide path and the horizontal.
Glide path sector (full) means the sector in the vertical plane containing the ISMLS glide path and limited by the loci of points nearest to the glide path at which the DDM is 0.175. The ISMLS glide path sector is located in the vertical plane containing the runway centerline, and is divided by the radiated glide path in two parts called upper sector and lower sector, referring respectively to the sectors above and below the glide path.
Glide path sector (half) means the sector in the vertical plane containing the ISMLS glide path and limited by the loci of points nearest to the glide path at which the DDM is 0.0875.
ISMLS Point ‘A’ means an imaginary point on the glide path/localizer course measured along the runway centerline extended, in the approach direction, four nautical miles from the runway threshold.
ISMLS Point ‘B’ means an imaginary point on the glide path/localizer course measured along the runway centerline extended, in the approach direction, 3500 feet from the runway threshold.
ISMLS Point ‘C’ means a point through which the downward extended straight portion of the glide path (at the commissioned angle) passes at a height of 100 feet above the horizontal plane containing the runway threshold.
Interim standard microwave landing system (ISMLS) means a ground station which transmits azimuth and elevation angle information which, when decoded and processed by the airborne unit, provides signal performance capable of supporting approach minima for V/STOL and CTOL operations and operates with the signal format and tolerances specified in §§ 171.259, 171.261, 171.263, 171.265, and 171.267.
Integrity means that quality which relates to the trust which can be placed in the correctness of the information supplied by the facility.
Mean corrective time means the average time required to correct an equipment failure over a given period, after a service man reaches the facility.
Mean time between failures means the average time between equipment failure over a given period.
Reference datum means a point at a specified height located vertically above the intersection of the runway centerline and the threshold and through which the downward extended straight portion of the ISMLS glide path passes.
Split type ground station means the type of ground station in which the electronic components for the azimuth and elevation guidance are contained in separate housings or shelters at different locations, with the azimuth portion of the ground station located at the stop end of the runway, and the elevation guidance near the approach end of the runway.
(a) Each person who requests an IFR procedure based on an ISMLS facility that he owns must submit the following information with that request:
(1) A description of the facility and evidence that the equipment meets the performance requirements of §§ 171.259, 171.261, 171.263, 171.265, 171.267, and 171.269, and is installed in accordance with § 171.271.
(2) A proposed procedure for operating the facility.
(3) A proposed maintenance organization and a maintenance manual that meets the requirements of § 171.273.
(4) A statement of intent to meet the requirements of this subpart.
(5) A showing that the ISMLS facility has an acceptable level of operational reliability, maintainability and acceptable standard of performance. Previous equivalent operational experience with a facility with identical design and operational characteristics will be considered in showing compliance with this paragraph.
(b) After the FAA inspects and evaluates the ISMLS facility, it advises the owner of the results and of any required changes in the ISMLS facility or in the maintenance manual or maintenance organization. The owner must then correct the deficiencies, if any, and operate the ISMLS facility for an inservice evaluation by the FAA.
(a) The following are the minimum requirements that must be met before the FAA approves an IFR procedure for a non-Federal ISMLS facility:
(1) The performance of the ISMLS facility, as determined by flight and ground inspection conducted by the FAA, must meet the requirements of §§ 171.259, 171.261, 171.263, 171.265, 171.267, and 171.269.
(2) The installation of the equipment must meet the requirements of § 171.271.
(3) The owner must agree to operate and maintain the ISMLS facility in accordance with § 171.273.
(4) The owner must agree to furnish periodic reports as set forth in § 171.275 and agree to allow the FAA to inspect the facility and its operation whenever necessary.
(5) The owner must assure the FAA that he will not withdraw the ISMLS facility from service without the permission of the FAA.
(6) The owner must bear all costs of meeting the requirements of this section and of any flight or ground inspection made before the ISMLS facility is commissioned, except that the FAA may bear certain costs subject to budgetary limitations and policy established by the Administrator.
(b) If the applicant for approval meets the requirements of paragraph (a) of this section, the FAA approves the ISMLS facility for use in an IFR procedure. The approval is withdrawn at any time that the ISMLS facility does not continue to meet those requirements. In addition, the ISMLS facility may be de-commissioned whenever the frequency channel is needed for higher priority common system service.
(a) The ISMLS consists of the following basic components:
(1) C-Band (5000 MHz-5030 MHz) localizer equipment, associated monitor system, and remote indicator equipment;
(2) C-Band (5220 MHz-5250 MHz) glide path equipment, associated monitor system, and remote indicator equipment;
(3) VHF marker beacons (75 MHz), associated monitor systems, and remote indicator equipment.
(4) An ISMLS airborne receiver or a VHF/UHF ILS receiver modified to be capable of receiving the ISMLS signals. This modification requires the addition of a C-Band antenna, a converter unit, a microwave/ILS mode control, and a VHF/UHF receiver modification kit.
(b) The electronic ground equipments in paragraph (a)(1), (2), and (3) of this section, must be designed to operate on a nominal 120/240 volt, 60 Hz, 3-wire single phase AC power source.
(c) ISMLS ground equipment must meet the following service conditions:
(1) AC line parameters, DC voltage, elevation, and duty:
120 V nominal value, 102 V to 138 V (±1 V).*
208 V nominal value, 177 V to 239 V (±2 V).*
240 V nominal value, 204 V to 276 V (±0.2 V).*
AC line frequency (60 Hz), 57 Hz to 63 Hz (±0.2 Hz).*
DC voltage (48 V), 44 V to 52 V (±0.5 V).*
*
Elevation, 0 to 10,000 ft. above sea level.
Duty, continuous, unattended.
(2) Ambient conditions for localizer and glide path equipment:
Temperature, −10 °C to + 50 °C.
Relative humidity, 5% to 90%.
(3) Ambient conditions for marker beacon facilities and all other equipment installed outdoors (for example, antennae, field detectors, and shelters):
Temperature, −50 °C. to + 70 °C.
Relative humidity, 5% to 100%.
(4) All equipment installed outdoors must operate satisfactorily under the following conditions:
Wind velocity, 0-100 MPH (not including gusts).
Hail stones,
Rain, provide coverage through a distance of 5 nautical miles with rain falling at a rate of 50 millimeters per hour, and with rain falling at the rate of 25 millimeters per hour for the additional design performance range of the system.
Ice loading, encased in
(d) The ISMLS must perform in accordance with the following standards and practices for Facility Performance Category I operation:
(1) The ISMLS must be constructed and adjusted so that, at a specified distance from the threshold, similar instrumental indications in the aircraft represent similar displacements from the course line or ISMLS glide path, as appropriate, regardless of the particular ground installation in use.
(2) The localizer and glide path components listed in paragraphs (a)(1) and (a)(2) of this section which form part of an ISMLS, must comply at least with the standard performance requirements specified herein. The marker beacon components listed in paragraph (a)(3) of this section which form part of an ISMLS, must comply at least with the standard performance requirements specified in subpart H of this part.
(3) The ISMLS must be so designed and maintained that the probability of operation is within the performance requirements specified in § 171.273(k).
(e) The signal format and pairing of the runway localizer and glide path transmitter frequencies of an ISMLS must be in accordance with the frequency plan approved by the FAA, and must meet the following signal format requirements:
(1) The localizer and glide slope stations must transmit angular guidance information on a C-band microwave carrier on narrow, scanned antenna beams that are encoded to produce a modulation in space which, after averaging over several beam scans, is equivalent to the modulation used for conventional ILS as specified in subpart C of this part, except that the frequency tolerance may not exceed ±0.0001 percent.
(2) Guidance modulation must be impressed on the microwave carrier of the radiated signal in the form of a summation of 90 Hz and 150 Hz sinusoidal modulation corresponding to the pointing direction of the particular beam which radiates the signal.
(3) Each of the effective beam positions must be illuminated in a particular sequence for a short time interval. The modulation impressed on each beam must be a sample of the combined 90 Hz and 150 Hz waveform appropriate for that particular beam direction and time slot, and must be accomplished by appropriately varying the length of time the carrier is radiated during each beam illumination interval.
(4) For those cases where the scanning beam fills the coverage space in steps, the incremental step must not exceed 0.6 times the beam width where the beam is in the proportional guidance sector. In the clearance region, the step may not exceed 0.8 times the beam width.
(5) At least one pulse duration modulation (pdm) sample pulse per beam width of scan must be provided.
(6) The minimum pulse duration must be 40 microseconds.
(7) The minimum beam scan cycle must be 600 Hz.
(8) The minimum duty ratio detectable by a receiver located anywhere in the coverage areas defined by this specification may not be less than 0.1. Detected duty ratio means the ratio of the average energy per scan detected at a point in space to the average energy per scan transmitted in all directions through the transmitting antenna.
(9) The localizer must produce a C-band unmodulated reference frequency signal of sufficient strength to allow satisfactory operation of an aircraft receiver within the specified localizer and glide path coverage sectors. Pairing of this reference frequency with the localizer and glide slope frequencies must be in accordance with a frequency plan approved by the FAA.
This section prescribes the performance requirements for localizer equipment components of the ISMLS.
(a) The localizer antenna system must:
(1) Be located on the extension of the centerline of the runway at the stop end;
(2) Be adjusted so that the course line be on a vertical plane containing the centerline of the runway served;
(3) Have the minimum height necessary to comply with the coverage requirements prescribed in paragraph (j) of this section;
(4) Be located at a distance from the stop end of the runway that is consistent with safe obstruction clearance practices;
(5) Not obscure any light of the approach landing system; and
(6) Be installed on frangible mounts or beyond the 1000′ light bar.
(b) On runways where limited terrain prevents the localizer antennae from being positioned on the runway centerline extended, and the cost of the land fill or a tall tower antenna support is prohibitive, the localizer antenna array may be offset, including a collocated ground station, so that the course intercepts the centerline at a point determined by the amount of the angular offset and the glide path angle. If other than a runway centerline localizer is used, the criteria in subpart C of part 97 of this chapter is applicable.
(c) At locations where two separate ISMLS facilities serve opposite ends of of a single runway, an interlock must ensure that only the facility serving the approach direction being used will radiate.
(d) The radiation from the localizer antenna system must produce a composite field pattern which is pulse duration modulated, the time average equivalent to amplitude modulation by a 90 Hz and 150 Hz tone. The localizer station must transmit angular guidance information over a C-band microwave carrier on narrow, scanned antenna beams that are encoded to produce a modulation in space which, after averaging over several beam scans, is equivalent to the modulation used for conventional ILS as specified in subpart C of this part. The radiation field pattern must produce a course sector with one tone predominating on one side of the course and with the other tone predominating on the opposite side. When an observer faces the localizer from the approach end of the runway, the depth of modulation of the radio frequency carrier due to the 150 Hz tone must predominate on his right hand and that due to the 90 Hz tone must predominate on his left hand.
(e) All horizontal angles employed in specifying the localizer field patterns must originate from the center of the localizer antenna system which provides the signals used in the front course sector.
(f) The ISMLS course sector angle must be adjustable between 3 degrees and 9 degrees. The applicable course sector angle will be established and approved on an individual basis.
(g) The ISMLS localizer must operate in the band 5000 MHz to 5030 MHz. The frequency tolerance may not exceed ±0.0001 percent.
(h) The emission from the localizer must be vertically polarized. The horizontally polarized component of the radiation of the course line may not exceed that which corresponds to a DDM error of 0.016 when an aircraft is positioned on the course line and is in a roll attitude of 20 degrees from the horizontal.
(i) The localizer must provide signals sufficient to allow satisfactory operation of a typical aircraft installation within the localizer and glide path coverage sectors. The localizer coverage sector must extend from the center of the localizer antenna system to distances of 18 nautical miles minimum within ±10 degrees from the front course line, and 10 nautical miles minimum between ±10 degrees and ±35 degrees from the front course line. The ISMLS localizer signals must be receivable at the distances specified up from a surface extending outward from the localizer antenna and within a sector in the elevation plane from 0.300 to 1.750 of the established glide path angle (θ).
(j) Except as provided in paragraph (k) of this section, in all parts of the coverage volume specified in paragraph (i) of this section, the peak field strength may not be less than −87 dBW/m
(k) The minimum peak field strength on the ISMLS glide path and within the localizer course sector from a distance of 10 nautical miles to a height of 100 feet (30 meters) above the horizontal plane containing the threshold, may not be less than + 87 dBW/m
(l) Above 16 degrees, the ISMLS localizer signals must be reduced to as low a value as practicable.
(m) Bends in the course line may not have amplitudes which exceed the following:
| Zone | Amplitude (DDM)
(95 pct. probability) |
|---|---|
| Outer limit of coverage to: | |
| ISMLS point “A” | 0.031. |
| ISMLS point “A” to ISMLS point “B” | 0.031 at ISMLS point “A” decreasing at linear rate to 0.015 at ISMLS point “B”. |
| ISMLS point “B” to ISMLS point “C” | 0.015. |
(n) The amplitudes referred to in paragraph (m) of this section are the DDMs due to bends as realized on the mean course line, when correctly adjusted.
(o) The radio frequency carrier must meet the following requirements:
(1) The nominal depth of modulation of the radio frequency carrier due to each of the 90 Hz and 150 Hz tones must be 20 percent along the course line.
(2) The depth of modulation of the radio frequency carrier due to each of the 90 Hz and 150 Hz tones must be between 18 and 22 percent.
(3) The frequency tolerance of the 90 Hz and 150 Hz modulated tones must be within ±25 percent.
(4) Total harmonic content of the 90 Hz tone may not exceed 10 percent.
(5) Total harmonic content of the 150 Hz tone may not exceed 10 percent. However, a 300 Hz tone may be transmitted for identification purposes.
(6) At every half cycle of the combined 90 Hz and 150 Hz wave form, the modulation tones must be phase-locked so that within the half course sector, the demodulated 90 Hz and 150 Hz wave forms pass through zero in the same direction within 20 degrees with phase relative to the 150 Hz component. However, the phase need not be measured within the half course sector.
(p) The mean course line must be adjusted and maintained within ±.015DDM from the runway centerline at the ISMLS reference datum.
(q) The nominal displacement sensitivity within the half course sector at the ISMLS reference datum, must be 0.00145 DDM/meter (0.00044DDM/foot). However, where the specified nominal displacement sensitivity cannot be met, the displacement sensitivity must be adjusted as near as possible to that value.
(r) The lateral displacement sensitivity must be adjusted and maintained within 17 percent of the nominal value. Nominal sector width at the ISMLS reference datum is 210 meters (700 feet).
(s) The increase of DDM must be substantially linear with respect to angular displacement from the front course line where DDM is zero, up to angle on either side of the front course line where the DDM is 0.180. From that angle to ±10 degrees, the DDM may not be less than 0.180. From ±10 degrees to ±35 degrees, the DDM may not be less than 0.155.
(t) The localizer must provide for the simultaneous transmission of an identification signal which meets the following:
(1) It must be specific to the runway and approach direction, on the same radio frequency carrier, as used for the localizer function.
(2) Transmission of the identification signal may not interfere in any way with the basic localizer function.
(3) The signal must be produced by pulse duration modulation of the radio frequency carrier resulting in a detected audio tone in the airborne VHF receiver of 1020 Hz ±50Hz.
(4) The depth of modulation must be between the limits of 10 and 12 percent.
(5) The emissions carrying the identification signal must be vertically polarized.
(6) The identification signal must employ the International Morse Code and consist of three letters. It must be preceded by the International Morse Code signal of the letter “M” followed by a short pause where it is necessary to distinguish the ISMLS facility from other navigational facilities in the immediate area. At airports where both an ISMLS and an ILS are in operation, each facility must have a different identification call sign.
(7) The signal must be transmitted at a speed corresponding to approximately seven words per minute, and must be repeated at approximately equal intervals, not less than six times per minute, during which time the localizer is available for operational use. When the localizer is not available for transmission, the identification signal must be suppressed.
(a) The ISMLS localizer equipment must provide an automatic monitor system that transmits a warning to designated local and remote control points when any of the following occurs:
(1) A shift of the mean course line of the localizer from the runway centerline equivalent to more than 0.015 DDM at the ISMLS reference datum.
(2) For localizers in which the basic functions are provided by the use of a single-frequency system, a reduction of power output to less than 50 percent of normal or a loss of ground station identification transmissions.
(3) Changes of displacement sensitivity to a value differing by more than 17 percent from nominal value for the localizer.
(4) Failure of any part of the monitor itself. Such failure must automatically produce the same results as the malfunctioning of the element being monitored.
(b) Within 10 seconds of the occurrence of any of the conditions prescribed in paragraph (a) of this section, including periods of zero radiation, localizer signal radiation must cease or the navigation and identification components must be removed.
This section prescribes the performance requirements for glide path equipment components of the ISMLS. These requirements are based on the assumption that the aircraft is heading directly toward the facility.
(a) The glide slope antenna system must be located near the approach end of the runway, and the equipment must be adjusted so that the vertical path line will be in a sloping horizontal plane containing the centerline of the runway being served, and satisfy the coverage requirements prescribed in paragraph (g) of this section. For the purpose of obstacle clearance, location of the glide slope antenna system must be in accordance with the criteria specified in subpart C of part 97 of this chapter.
(b) The radiation from the glide path antenna system must produce a composite field pattern which is pulse duration modulated by a 90 Hz and a 150 Hz tone, which is the time average equivalent to amplitude modulation. The pattern must be arranged to provide a straight line descent path in the vertical plane containing the centerline of the runway, with the 150 Hz tone predominating below the path and the 90 Hz tone predominating above the path to at least an angle equal to 1.752θ. As used in this section theta (θ), denotes the nominal glide path angle. The glide path angle must be adjusted and maintained within 0.075θ.
(c) The glide path equipment must be capable of producing a radiated glide path from 3 to 9 degrees with respect to the horizontal. However, ISMLS glide path angles in excess of 3 degrees may be used to satisfy instrument approach procedures or to overcome an obstruction clearance problem, only in accordance with the criteria specified in subpart C of part 97 of this chapter.
(d) The downward extended straight portion of the ISMLS glide path must pass through the ISMLS reference datum at a height ensuring safe guidance over obstructions and safe and efficient use of the runway served. The height of the ISMLS reference datum must be in accordance with subpart C of part 97 of this chapter.
(e) The glide path equipment must operate in the band 5220 MHz to 5250 MHz. The frequency tolerance may not exceed ±0.0001 percent.
(f) The emission from the glide path equipment must be vertically polarized.
(g) The glide path equipment must provide signals sufficient to allow satisfactory operation of a typical aircraft installation insectors of 8 degrees on each side of the centerline of the ISMLS glide path, to a distance of at least 10 nautical miles up to 1.75θ and down to 0.45θ above the horizontal or to such lower angle at which 0.22 DDM is realized.
(h) To provide the coverage for glide path performance specified in paragraph (g) of this section, the minimum peak field strength within this coverage sector must be −82 dBW/m
(i) Bends in the glide path may not have amplitudes which exceed the following:
| Zone | Amplitude (DDM) (95 pct. probability) |
|---|---|
| Outer limit of coverage to ISMLS point “C.” | 0.035. |
(j) Guidance modulation must be impressed on the microwave carrier of the radiated glide slope signal in the form of a unique summation of 90 Hz and 150 Hz sinusoidal modulation corresponding to the point direction of the particular beam which radiates the signal. Each of the effective beam positions must be illuminated in sequence for a short time interval. The scan rate must be synchronous with the 90 and 150 Hz tone base. The modulation impressed on each beam must be a sample of the combined 90 Hz and 150 Hz waveform appropriate for that particular beam direction and time slot. The actual modulation must be accomplished by appropriately varying the length of time the carrier is radiated during each beam illumination interval.
(k) The nominal depth of modulation of the radio frequency carrier due to each of the 90 Hz and 150 Hz tones must be 40 percent along the ISMLS glide path. The depth of modulation may not deviate outside the limits of 37.5 percent to 42.5 percent.
(l) The following tolerances apply to the frequencies of the modulating tones:
(1) The modulating tones must be 90 Hz and 150 Hz within 2.5 percent.
(2) The total harmonic content of the 90 Hz tone may not exceed 10 percent.
(3) The total harmonic content of the 150 Hz tone may not exceed 10 percent.
(m) At every half cycle of the combined 90 Hz and 150 Hz wave form, the modulation must be phase-locked so that, within the ISMLS half glide path sector, the demodulated 90 Hz and 150 Hz wave forms pass through zero in the same direction within 20 degrees of phase relative to the 150 Hz component. However, the phase need not be measured within the ISMLS half glide path sector.
(n) The nominal angular displacement sensitivity must correspond to a DDM of 0.0875 at an angular displacement above and below the glide path of 0.12θ. The glide path angular displacement sensitivity must be adjusted and maintained within ±25 percent of the nominal value selected. The upper and lower sectors must be as symmetrical as practicable within the limits prescribed in this paragraph.
(o) The DDM below the ISMLS glide path must increase smoothly for decreasing angle until a value of 0.22 DDM is reached. This value must be achieved at an angle not less than 0.30θ above the horizontal. However, if it is achieved at an angle above 0.45θ, the DDM value may not be less than 0.22 at least down to an angle of 0.45θ.
(a) The ISMLS glide path equipment must provide an automatic monitor system that transmits a warning to designated local and remote control points when any of the following occurs:
(1) A shift of the mean ISMLS glide path angle equivalent to more than 0.075θ.
(2) For glide paths in which the basic functions are provided by the use of a single frequency system, a reduction of power output to less than 50 percent.
(3) A change of the angle between the glide path and the line below the glide path (150 Hz predominating), at which a DDM of 0.0875 is realized by more than ±0.0375θ.
(4) Lowering of the line beneath the ISMLS glide path at which a DDM of 0.0875 is realized to less than 0.75θ from the horizontal.
(5) Failure of any part of the monitor itself. Such failure must automatically produce the same results as the malfunctioning of the element being monitored.
(b) At glide path facilities where the selected nominal angular displacement sensitivity corresponds to an angle below the ISMLS glide path, which is close to or at the maximum limits specified, an adjustment to the monitor operating limits may be made to protect against sector deviations below 0.75θ from the horizontal.
(c) Within 10 seconds of the occurrence of any of the conditions prescribed in paragraph (a) of this section, including periods of zero radiation, glide path signal radiation must cease.
ISMLS marker beacon equipment must meet the performance requirements prescribed in subpart H of this part.
(a) The ISMLS facility must be permanent in nature, located, constructed, and installed according to accepted good engineering practices, applicable electric and safety codes, FCC licensing requirements, and paragraphs (a) and (c) of § 171.261.
(b) The ISMLS facility must have a reliable source of suitable primary power, either from a power distribution system or locally generated. Adequate power capacity must be provided for the operation of test and working equipment of the ISMLS.
(c) The ISMLS facility must have a continuously engaged or floating battery power source for the ground station for continued normal operation if the primary power fails. A trickle charge must be supplied to recharge the batteries during the period of available primary power. Upon loss and subsequent restoration of power, the batteries must be restored to full charge within 24 hours. When primary power is applied, the state of the battery charge may not affect the operation of the ISMLS ground station. The battery must permit continuation of normal operation for at least two hours under the normal operating conditions. The equipment must meet all specification requirements with or without batteries installed.
(d) There must be a means for determining, from the ground, the performance of the equipment including antennae, both initially and periodically.
(e) The facility must have, or be supplemented by, ground-air or landline communications services. At facilities within or immediately adjacent to controlled airspace and that are intended for use as instrument approach aids for an airport, there must be ground-air communications or reliable communications (at least a landline telephone) from the airport to the nearest Federal Aviation Administration air traffic control or communication facility. Compliance with this paragraph need not be shown at airports where an adjacent Federal Aviation Administration facility can communicate with aircraft on the ground at the airport and during the entire proposed instrument approach procedure. In addition, at low traffic density airports within or immediately adjacent to controlled airspace, and where extensive delays are not a factor, the requirements of this paragraph may be reduced to reliable communications (at least a landline telephone) from the airport to the nearest Federal Aviation Administration air traffic control or communications facility, if an adjacent Federal Aviation Administration facility can communicate with aircraft during the proposed instrument approach procedure, at least down to the minimum en route altitude for the controlled area.
(f) Except where no operationally harmful interference will result, at locations where two separate ISMLS facilities serve opposite ends of a single runway, an interlock must ensure that only the facility serving the approach direction in use can radiate.
(a) The owner of the facility must establish an adequate maintenance system and provide qualified maintenance personnel to maintain the facility at the level attained at the time it was commissioned. Each person who maintains a facility must meet at least the Federal Communications Commission's licensing requirements and show that he has the special knowledge and skills needed to maintain the facility, including proficiency in maintenance procedures and the use of specialized test equipment.
(b) In the event of out-of-tolerance conditions or malfunctions, as evidenced by receiving two successive pilot reports, the owner must close the facility be ceasing radiation, and issue a “Notice to Airman” (NOTAM) that the facility is out of service.
(c) The owner must prepare, and obtain approval of, an operations and maintenance manual that sets forth mandatory procedures for operations, periodic maintenance, and emergency maintenance, including instructions on each of the following:
(1) Physical security of the facility.
(2) Maintenance and operations by authorized persons.
(3) FCC licensing requirements for operations and maintenance personnel.
(4) Posting of licenses and signs.
(5) Relation between the facility and FAA air traffic control facilities, with a description of the boundaries of controlled airspace over or near the facility, instructions for relaying air traffic control instructions and information, if applicable, and instructions for the operation of an air traffic advisory service if the facility is located outside of controlled airspace.
(6) Notice to the Administrator of any suspension of service.
(7) Detailed and specific maintenance procedures and servicing guides stating the frequency of servicing.
(8) Air-ground communications, if provided, expressly written or incorporating appropriate sections of FAA manuals by reference.
(9) Keeping of station logs and other technical reports, and the submission of reports required by § 171.275.
(10) Monitoring of the ISMLS facility.
(11) Inspections by United States personnel.
(12) Names, addresses, and telephone numbers of persons to be notified in an emergency.
(13) Shutdowns for periodic maintenance and issue of “Notices to Airmen” for routine or emergency shutdowns.
(14) Commissioning of the ISMLS facility.
(15) An acceptable procedure for amending or revising the manual.
(16) An explanation of the kinds of activities (such as construction or grading) in the vicinity of the ISMLS facility that may require shutdown or recertification of the ISMLS facility by FAA flight check.
(17) Procedures for conducting a ground check of the localizer course alignment, width, and clearance, glide path elevation angle and course width, and marker beacon power, and modulation.
(18) The following information concerning the ISMLS facility:
(i) Facility component locations with respect to airport layout, instrument runways, and similar areas.
(ii) The type, make, and model of the basic radio equipment that provides the service.
(iii) The station power emission and frequencies of the ISMLS localizer, glide path, beacon markers, and associated compass locators, if any.
(iv) The hours of operation.
(v) Station identification call letters and method of station identification and the time spacing of the identification.
(vi) A description of the critical parts that may not be changed, adjusted, or repaired without an FAA flight check to confirm published operations.
(d) The owner or his maintenance representative must make a ground check of the ISMLS facility periodically in accordance with procedures approved by the FAA at the time of commissioning, and must report the results of the checks as provided in § 171.275.
(e) Modifications to an ISMLS facility may be made only after approval by the FAA of the proposed modification submitted by the owner.
(f) The owner or the owner's maintenance representative must participate in inspections made by the FAA.
(g) Whenever it is required by the FAA, the owner must incorporate improvements in ISMLS maintenance.
(h) The owner or his maintenance representative must provide a sufficient stock of spare parts, including solid state components, or modules to make possible the prompt replacement of components or modules that fail or deteriorate in service.
(i) FAA approved test instruments must be used for maintenance of the ISMLS facility.
(j) The mean corrective maintenance time of the ISMLS equipment may not exceed 0.5 hours, with a maximum corrective maintenance time of not greater than 1.5 hours. This measure applies to failures of the monitor, transmitter and associated antenna assemblies, limited to unscheduled outage and out-of-tolerance conditions.
(k) The mean time between failures of the ISMLS equipment may not be less than 1,500 hours. This measure applies to unscheduled outages, out-of-tolerance conditions, and failures of the monitor, transmitter, and associated antenna assemblies.
(l) Inspection consists of an examination of the ISMLS equipment to ensure that unsafe operating conditions do not exist.
(m) Monitoring of the ISMLS radiated signal must ensure a high degree of integrity and minimize the requirements for ground and flight inspection. The monitor must be checked periodically during the in-service test evaluation period for calibration and stability. These tests and ground checks of glide slope, localizer, and marker beacon radiation characteristics must be conducted in accordance with the maintenance requirements of this section.
The owner of the ISMLS facility or his maintenance representative must make the following reports at the indicated time to the appropriate FAA Regional Office where the facility is located.
(a) Facility Equipment Performance and Adjustment Data (FAA Form 198). The FAA Form 198 shall be filled out by the owner or his maintenance representative with the equipment adjustments and meter readings as of the time of facility commissioning. One copy must be kept in the permanent records of the facility and two copies must be sent to the appropriate FAA Regional Office. The owner or his maintenance representative must revise the FAA Form 198 data after any major repair, modernization, or retuning to reflect an accurate record of facility operation and adjustment. In the event the data are revised, the owner or his maintenance representative shall notify the appropriate FAA Regional Office of such revisions, and forward copies of the revisions to the appropriate FAA Regional Office.
(b) Facility Maintenance Log (FAA Form 6030-1). FAA Form 6030-1 is a permanent record of all the activities required to maintain the ISMLS facility. The entries must include all malfunctions met in maintaining the facility including information on the kind of work and adjustments made, equipment failures, causes (if determined) and corrective action taken. In addition, the entries must include completion of periodic maintenance required to maintain the facility. The owner or his maintenance representative must keep the original of each form at the facility and send a copy to the appropriate FAA Regional Office at the end of each month in which it is prepared. However, where an FAA approved remote monitoring system is installed which precludes the need for periodic maintenance visits to the facility, monthly reports from the remote monitoring system control point must be forwarded to the appropriate FAA Regional Office, and a hard copy retained at the control point.
(c) Technical Performance Record (FAA Form 418). FAA Form 418 contains a record of system parameters, recorded on each scheduled visit to the facility. The owner or his maintenance representative shall keep the original of each month's record at the facility and send a copy of the form to the appropriate FAA Regional Office.
This subpart sets forth minimum requirements for the approval, installation, operation and maintenance of non-Federal Microwave Landing System (MLS) facilities that provide the basis for instrument flight rules (IFR) and air traffic control procedures.
As used in this subpart:
Auxiliary data means data transmitted in addition to basic data that provide ground equipment siting information for use in refining airborne position calculations and other supplementary information.
Basic data means data transmitted by the ground equipment that are associated directly with the operation of the landing guidance system.
Beam center means the midpoint between the −3 dB points on the leading and trailing edges of the scanning beam main lobe.
Beamwidth means the width of the scanning beam main lobe measured at the −3 dB points and defined in angular units on the boresight, in the horizontal plane for the azimuth function and in the vertical plane for the elevation function.
Clearance guidance sector means the volume of airspace, inside the coverage sector, within which the azimuth guidance information provided is not proportional to the angular displacement of the aircraft, but is a constant fly-left or fly-right indication of the direction relative to the approach course the aircraft should proceed in order to enter the proportional guidance sector.
Control Motion Noise (CMN) means those fluctuations in the guidance which affect aircraft attitude, control surface motion, column motion, and wheel motion. Control motion noise is evaluated by filtering the flight error record with a band-pass filter which has corner frequencies at 0.3 radian/sec and 10 radians/sec for azimuth data and 0.5 radian/sec and 10 radians/sec for elevation data.
Data rate means the average number of times per second that transmissions occur for a given function.
Differential Phase Shift Keying (DPSK) means differential phase modulation of the radio frequency carrier with relative phase states of 0 degree or 180 degrees.
Failure means the inability of an item to perform within previously specified limits.
Guard time means an unused period of time provided in the transmitted signal format to allow for equipment tolerances.
Integrity means that quality which relates to the trust which can be placed in the correctness of the information supplied by the facility.
Mean corrective time means the average time required to correct an equipment failure over a given period, after a service technician reaches the facility.
Mean course error means the mean value of the azimuth error along a specified radial of the azimuth function.
Mean glide path error means the mean value of the elevation error along a specified glidepath of the elevation function.
Mean-time-between-failures (MTBF) means the average time between equipment failures over a given period.
Microwave Landing System (MLS) means the MLS selected by ICAO for international standardization.
Minimum glidepath means the lowest angle of descent along the zero degree azimuth that is consistent with published approach procedures and obstacle clearance criteria.
MLS Approach Reference Datum is a point at a specified height located vertically above the intersection of the runway centerline and the threshold.
MLS back azimuth reference datum means a point 15 meters (50 feet) above the runway centerline at the runway midpoint.
MLS datum point means a point defined by the intersection of the runway centerline with a vertical plane perpendicular to the centerline and passing through the elevation antenna phase center.
Out of coverage indication (OCI) means a signal radiated into areas outside the intended coverage sector, where required, to specifically prevent invalid removal of an airborne warning indication in the presence of misleading guidance information.
Path Following Error (PFE) means the guidance perturbations which could cause aircraft displacement from the desired course or glidepath. It is composed of the path following noise and of the mean course error in the case of azimuth functions, or the mean glidepath error in the case of elevation functions. Path following errors are evaluated by filtering the flight error record with a second order low pass filter which has a corner frequency at 0.5 radian/sec for azimuth data or 1.5 radians/sec for elevation data.
Path following noise (PFN) means that portion of the guidance signal error which could cause displacement from the actual mean course line or mean glidepath as appropriate.
Split-site ground station means the type of ground station in which the azimuth portion of the ground station is located near the stop end of the runway, and the elevation portion is located near the approach end.
Time division multiplex (TDM) means that each function is transmitted on the same frequency in time sequence, with a distinct preamble preceding each function transmission.
(a) Each person who requests an IFR procedure based on an MLS facility which that person owns must submit the following information with that request:
(1) A description of the facility and evidence that the equipment meets the performance requirements of §§ 171.309, 171.311, 171.313, 171.315, 171.317, 171.319, and 171.321 and is fabricated and installed in accordance with § 171.323.
(2) A proposed procedure for operating the facility.
(3) A proposed maintenance organization and a maintenance manual that meets the requirements of § 171.325.
(4) A statement of intent to meet the requirements of this subpart.
(5) A showing that the facility has an acceptable level of operational reliability and an acceptable standard of performance. Previous equivalent operational experience with a facility with identical design and operational characteristics will be considered in showing compliance with this subparagraph.
(b) FAA inspects and evaluates the MLS facility; it advises the owner of the results, and of any required changes in the MLS facility or in the maintenance manual or maintenance organization. The owner must then correct the deficiencies, if any, and operate the MLS facility for an in-service evaluation by the FAA.
(a) The following are the minimum requirements that must be met before the FAA approves an IFR procedure for a non-Federal MLS facility:
(1) The performance of the MLS facility, as determined by flight and ground inspection conducted by the FAA, must meet the requirements of §§ 171.309, 171.311, 171.313, 171.315, 171.317, 171.319, and 171.321.
(2) The fabrication and installation of the equipment must meet the requirements of § 171.323.
(3) The owner must agree to operate and maintain the MLS facility in accordance with § 171.325.
(4) The owner must agree to furnish operational records as set forth in § 171.327 and agree to allow the FAA to inspect the facility and its operation whenever necessary.
(5) The owner must assure the FAA that he will not withdraw the MLS facility from service without the permission of the FAA.
(6) The owner must bear all costs of meeting the requirements of this section and of any flight or ground inspection made before the MLS facility is commissioned.
(b) [Reserved]
The MLS is a precision approach and landing guidance system which provides position information and various ground-to-air data. The position information is provided in a wide coverage sector and is determined by an azimuth angle measurement, an elevation angle measurement and a range (distance) measurement.
(a) An MLS constructed to meet the requirements of this subpart must include:
(1) Approach azimuth equipment, associated monitor, remote control and indicator equipment.
(2) Approach elevation equipment, associated monitor, remote control and indicator equipment.
(3) A means for the encoding and transmission of essential data words, associated monitor, remote control and indicator equipment. Essential data are basic data words 1, 2, 3, 4, and 6 and auxiliary data words A1, A2 and A3.
(4) Distance measuring equipment (DME), associated monitor, remote control and indicator equipment.
(5) Remote controls for paragraphs (a) (1), (2), (3), and (4) of this section must include as a minimum on/off and reset capabilities and may be integrated in the same equipment.
(6) At locations where a VHF marker beacon (75 MHz) is already installed, it may be used in lieu of the DME equipment.
(b) In addition to the equipment required in paragraph (a) of this section the MLS may include:
(1) Back azimuth equipment, associated monitor, remote control and indicator equipment. When Back Azimuth is provided, a means for transmission of Basic Data Word 5 and Auxiliary Data Word A4 shall also be provided.
(2) A wider proportional guidance sector which exceeds the minimum specified in §§ 171.313 and 171.317.
(3) Precision DME, associated monitor, remote control and indicator equipment.
(4) VHF marker beacon (75 MHz), associated monitor, remote control and indicator equipment.
(5) The MLS signal format will accommodate additional functions (e.g., flare elevation) which may be included as desired. Remote controls for paragraphs (b) (1), (3) and (4) of this section must include as a minimum on/off and reset capabilities, and may be integrated in the same equipment.
(6) Provisions for the encoding and transmission of additional auxiliary data words, associated monitor, remote control and indicator equipment.
(c) MLS ground equipment must be designed to operate on a nominal 120/240 volt, 60 Hz, 3-wire single phase AC power source and must meet the following service conditions:
(1) AC line parameters, DC voltage, elevation and duty:
*
(2) Ambient conditions within the shelter for electronic equipment installed in shelters are:
(3) Ambient conditions for electronic equipment and all other equipment installed outdoors (for example, antenna, field detectors, and shelters):
(4) All equipment installed outdoors must operate satisfactorily under the following conditions:
(d) The transmitter frequencies of an MLS must be in accordance with the frequency plan approved by the FAA.
(e) The DME component listed in paragraph (a)(4) of this section must comply with the minimum standard performance requirements specified in subpart G of this part.
(f) The marker beacon components listed in paragraph (b)(4) of this section must comply with the minimum standard performance requirements specified in subpart H of this part.
The signals radiated by the MLS must conform to the signal format in which angle guidance functions and data functions are transmitted sequentially on the same C-band frequency. Each function is identified by a unique digital code which initializes the airborne receiver for proper processing. The signal format must meet the following minimum requirements:
(a) Frequency assignment. The ground components (except DME/Marker Beacon) must operate on a single frequency assignment or channel, using time division multiplexing. These components must be capable of operating on any one of the 200 channels spaced 300 KHz apart with center frequencies from 5031.0 MHz to 5090.7 MHz and with channel numbering as shown in Table 1a. The operating radio frequencies of all ground components must not vary by more than ±10 KHz from the assigned frequency. Any one transmitter frequency must not vary more than ±50 Hz in any one second period. The MLS angle/data and DME equipment must operate on one of the paired channels as shown in Table 1b.
Table
| Channel No. | Frequency (MHz) |
|---|---|
| 500 | 5031.0 |
| 501 | 5031.3 |
| 502 | 5031.6 |
| 503 | 5031.9 |
| 504 | 5032.2 |
| 505 | 5032.5 |
| 506 | 5032.8 |
| 507 | 5033.1 |
| 508 | 5033.4 |
| 509 | 5033.7 |
| 510 | 5034.0 |
| 511 | 5034.3 |
| * * * * * | |
| 598 | 5060.4 |
| 599 | 5060.7 |
| 600 | 5061.0 |
| 601 | 5061.3 |
| * * * * * | |
| 698 | 5090.4 |
| 699 | 5090.7 |
Table
| Channel pairing | DME parameters | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| DME No. | VHF freq. MHz | MLS angle freq. MHz | MLS Ch. No. | Interrogation | Reply | ||||
| Freq. MHz | Pulse codes | Freq. MHz | Pulse codes µs | ||||||
| DME/N µs | DME/P Mode | ||||||||
| IA µs | FA µs | ||||||||
| * 1X | 1025 | 12 | 962 | 12 | |||||
| ** 1Y | 1025 | 36 | 1088 | 30 | |||||
| * 2X | 1026 | 12 | 963 | 12 | |||||
| ** 2Y | 1026 | 36 | 1089 | 30 | |||||
| * 3X | 1027 | 12 | 964 | 12 | |||||
| ** 3Y | 1027 | 36 | 1090 | 30 | |||||
| * 4X | 1028 | 12 | 965 | 12 | |||||
| ** 4Y | 1028 | 36 | 1091 | 30 | |||||
| * 5X | 1029 | 12 | 966 | 12 | |||||
| ** 5Y | 1029 | 36 | 1092 | 30 | |||||
| * 6X | 1030 | 12 | 967 | 12 | |||||
| ** 6Y | 1030 | 36 | 1093 | 30 | |||||
| * 7X | 1031 | 12 | 968 | 12 | |||||
| ** 7Y | 1031 | 36 | 1094 | 30 | |||||
| * 8X | 1032 | 12 | 969 | 12 | |||||
| ** 8Y | 1032 | 36 | 1095 | 30 | |||||
| * 9X | 1033 | 12 | 970 | 12 | |||||
| ** 9Y | 1033 | 36 | 1096 | 30 | |||||
| * 10X | 1034 | 12 | 971 | 12 | |||||
| ** 10Y | 1034 | 36 | 1097 | 30 | |||||
| * 11X | 1035 | 12 | 972 | 12 | |||||
| ** 11Y | 1035 | 36 | 1098 | 30 | |||||
| * 12X | 1036 | 12 | 973 | 12 | |||||
| ** 12Y | 1036 | 36 | 1099 | 30 | |||||
| * 13X | 1037 | 12 | 974 | 12 | |||||
| ** 13Y | 1037 | 36 | 1100 | 30 | |||||
| * 14X | 1038 | 12 | 975 | 12 | |||||
| ** 14Y | 1038 | 36 | 1101 | 30 | |||||
| * 15X | 1039 | 12 | 976 | 12 | |||||
| ** 15Y | 1039 | 36 | 1102 | 30 | |||||
| * 16X | 1040 | 12 | 977 | 12 | |||||
| ** 16Y | 1040 | 36 | 1103 | 30 | |||||
| ▽17X | 108.00 | 1041 | 12 | 978 | 12 | ||||
| 17Y | 108.05 | 5043.0 | 540 | 1041 | 36 | 36 | 42 | 1104 | 30 |
| 17Z | 5043.3 | 541 | 1041 | 21 | 27 | 1104 | 15 | ||
| 18X | 108.10 | 5031.0 | 500 | 1042 | 12 | 12 | 18 | 979 | 12 |
| 18W | 5031.3 | 501 | 1042 | 24 | 30 | 979 | 24 | ||
| 18Y | 108.15 | 5043.6 | 542 | 1042 | 36 | 36 | 42 | 1105 | 30 |
| 18Z | 5043.9 | 543 | 1042 | 21 | 27 | 1105 | 15 | ||
| 19X | 108.20 | 1043 | 12 | 980 | 12 | ||||
| 19Y | 108.25 | 5044.2 | 544 | 1043 | 36 | 36 | 42 | 1106 | 30 |
| 19Z | 5044.5 | 545 | 1043 | 21 | 27 | 1106 | 15 | ||
| 20X | 108.30 | 5031.6 | 502 | 1044 | 12 | 12 | 18 | 981 | 12 |
| 20W | 5031.9 | 503 | 1044 | 24 | 30 | 981 | 24 | ||
| 20Y | 108.35 | 5044.8 | 546 | 1044 | 36 | 36 | 42 | 1107 | 30 |
| 20Z | 5045.1 | 547 | 1044 | 21 | 27 | 1107 | 15 | ||
| 21X | 108.40 | 1045 | 12 | 982 | 12 | ||||
| 21Y | 108.45 | 5045.4 | 548 | 1045 | 36 | 36 | 42 | 1108 | 30 |
| 21Z | 5045.7 | 549 | 1045 | 21 | 27 | 1108 | 15 | ||
| 22X | 108.50 | 5032.2 | 504 | 1046 | 12 | 12 | 18 | 983 | 12 |
| 22W | 5032.5 | 505 | 1046 | 24 | 30 | 983 | 24 | ||
| 22Y | 108.55 | 5046.0 | 550 | 1046 | 36 | 36 | 42 | 1109 | 30 |
| 22Z | 5046.3 | 551 | 1046 | 21 | 27 | 1109 | 15 | ||
| 23X | 108.60 | 1047 | 12 | 984 | 12 | ||||
| 23Y | 108.65 | 5046.6 | 552 | 1047 | 36 | 36 | 42 | 1110 | 30 |
| 23Z | 5046.9 | 553 | 1047 | 21 | 27 | 1110 | 15 | ||
| 24X | 108.70 | 5032.8 | 506 | 1048 | 12 | 12 | 18 | 985 | 12 |
| 24W | 5033.1 | 507 | 1048 | 24 | 30 | 985 | 24 | ||
| 24Y | 108.75 | 5047.2 | 554 | 1048 | 36 | 36 | 42 | 1111 | 30 |
| 24Z | 5047.5 | 555 | 1048 | 21 | 27 | 1111 | 15 | ||
| 25X | 108.80 | 1049 | 12 | 986 | 12 | ||||
| 25Y | 108.85 | 5047.8 | 556 | 1049 | 36 | 36 | 42 | 1112 | 30 |
| 25Z | 5048.1 | 557 | 1049 | 21 | 27 | 1112 | 15 | ||
| 26X | 108.90 | 5033.4 | 508 | 1050 | 12 | 12 | 18 | 987 | 12 |
| 26W | 5033.7 | 509 | 1050 | 24 | 30 | 987 | 24 | ||
| 26Y | 108.95 | 5048.4 | 558 | 1050 | 36 | 36 | 42 | 1113 | 30 |
| 26Z | 5048.7 | 559 | 1050 | 21 | 27 | 1113 | 15 | ||
| 27X | 109.00 | 1051 | 12 | 988 | 12 | ||||
| 27Y | 109.05 | 5049.0 | 560 | 1051 | 36 | 36 | 42 | 1114 | 30 |
| 27Z | 5049.3 | 561 | 1051 | 21 | 27 | 1114 | 15 | ||
| 28X | 109.10 | 5034.0 | 510 | 1052 | 12 | 12 | 18 | 989 | 12 |
| 28W | 5034.3 | 511 | 1052 | 24 | 30 | 989 | 24 | ||
| 28Y | 109.15 | 5049.6 | 562 | 1052 | 36 | 36 | 42 | 1115 | 30 |
| 28Z | 5049.9 | 563 | 1052 | 21 | 27 | 1115 | 15 | ||
| 29X | 109.20 | 1053 | 12 | 990 | 12 | ||||
| 29Y | 109.25 | 5050.2 | 564 | 1053 | 36 | 36 | 42 | 1116 | 30 |
| 29Z | 5050.5 | 565 | 1043 | 21 | 27 | 1116 | 15 | ||
| 30X | 109.30 | 5034.6 | 512 | 1054 | 12 | 12 | 18 | 991 | 12 |
| 30W | 5034.9 | 513 | 1054 | 24 | 30 | 991 | 24 | ||
| 30Y | 109.35 | 5050.8 | 566 | 1054 | 36 | 36 | 42 | 1117 | 30 |
| 30Z | 5051.1 | 567 | 1054 | 21 | 27 | 1117 | 15 | ||
| 31X | 109.40 | 1055 | 12 | 992 | 12 | ||||
| 31Y | 109.45 | 5051.4 | 568 | 1055 | 36 | 36 | 42 | 1118 | 30 |
| 31Z | 5051.7 | 569 | 1055 | 21 | 27 | 1118 | 15 | ||
| 32X | 109.50 | 5035.2 | 514 | 1056 | 12 | 12 | 18 | 993 | 12 |
| 32W | 5035.5 | 515 | 1056 | 24 | 30 | 993 | 24 | ||
| 32Y | 109.55 | 5052.0 | 570 | 1056 | 36 | 36 | 42 | 1119 | 30 |
| 32Z | 5052.3 | 571 | 1056 | 21 | 27 | 1119 | 15 | ||
| 33X | 109.60 | 1057 | 12 | 994 | 12 | ||||
| 33Y | 109.65 | 5052.6 | 572 | 1057 | 36 | 36 | 42 | 1120 | 30 |
| 33Z | 5052.9 | 573 | 1057 | 21 | 27 | 1120 | 15 | ||
| 34X | 109.70 | 5035.8 | 516 | 1058 | 12 | 12 | 18 | 995 | 12 |
| 34W | 5036.1 | 517 | 1058 | 24 | 30 | 995 | 24 | ||
| 34Y | 109.75 | 5053.2 | 574 | 1058 | 36 | 36 | 42 | 1121 | 30 |
| 34Z | 5053.5 | 575 | 1058 | 21 | 27 | 1121 | 15 | ||
| 35X | 109.80 | 1059 | 12 | 996 | 12 | ||||
| 35Y | 109.85 | 5053.8 | 576 | 1059 | 36 | 36 | 42 | 1122 | 30 |
| 35Z | 5054.1 | 577 | 1059 | 21 | 27 | 1122 | 15 | ||
| 36X | 109.90 | 5036.4 | 518 | 1060 | 12 | 12 | 18 | 997 | 12 |
| 36W | 5036.7 | 519 | 1060 | 24 | 30 | 997 | 24 | ||
| 36Y | 109.95 | 5054.4 | 578 | 1060 | 36 | 36 | 42 | 1123 | 30 |
| 36Z | 5054.7 | 579 | 1060 | 21 | 27 | 1123 | 15 | ||
| 37X | 110.00 | 1061 | 12 | 998 | 12 | ||||
| 37Y | 110.05 | 5055.0 | 580 | 1061 | 36 | 36 | 42 | 1124 | 30 |
| 37Z | 5055.3 | 581 | 1061 | 21 | 27 | 1124 | 15 | ||
| 38X | 110.10 | 5037.0 | 520 | 1062 | 12 | 12 | 18 | 999 | 12 |
| 38W | 5037.3 | 521 | 1062 | 24 | 30 | 999 | 24 | ||
| 38Y | 110.15 | 5055.6 | 582 | 1062 | 36 | 36 | 42 | 1125 | 30 |
| 38Z | 5055.9 | 583 | 1062 | 21 | 27 | 1125 | 15 | ||
| 39X | 110.20 | 1063 | 12 | 1000 | 12 | ||||
| 39Y | 110.25 | 5056.2 | 584 | 1063 | 36 | 36 | 42 | 1126 | 30 |
| 39Z | 5056.5 | 585 | 1063 | 21 | 27 | 1126 | 15 | ||
| 40X | 110.30 | 5037.6 | 522 | 1064 | 12 | 12 | 18 | 1001 | 12 |
| 40W | 5037.9 | 523 | 1064 | 24 | 30 | 1001 | 24 | ||
| 40Y | 110.35 | 5056.8 | 586 | 1064 | 36 | 36 | 42 | 1127 | 30 |
| 40Z | 5057.1 | 587 | 1064 | 21 | 27 | 1127 | 15 | ||
| 41X | 110.40 | 1065 | 12 | 1002 | 12 | ||||
| 41Y | 110.45 | 5057.4 | 588 | 1065 | 36 | 36 | 42 | 1128 | 30 |
| 41Z | 5057.7 | 589 | 1065 | 21 | 27 | 1128 | 15 | ||
| 42X | 110.50 | 5038.2 | 524 | 1066 | 12 | 12 | 18 | 1003 | 12 |
| 42W | 5038.5 | 525 | 1066 | 24 | 30 | 1003 | 24 | ||
| 42Y | 110.55 | 5058.0 | 590 | 1066 | 36 | 36 | 42 | 1129 | 30 |
| 42Z | 5058.3 | 591 | 1066 | 21 | 27 | 1129 | 15 | ||
| 43X | 110.60 | 1067 | 12 | 1004 | 12 | ||||
| 43Y | 110.65 | 5058.6 | 592 | 1067 | 36 | 36 | 42 | 1130 | 30 |
| 43Z | 5058.9 | 593 | 1067 | 21 | 27 | 1130 | 15 | ||
| 44X | 110.70 | 5038.8 | 526 | 1068 | 12 | 12 | 18 | 1005 | 12 |
| 44W | 5039.1 | 527 | 1068 | 24 | 30 | 1005 | 24 | ||
| 44Y | 110.75 | 5059.2 | 594 | 1068 | 36 | 36 | 42 | 1131 | 30 |
| 44Z | 5059.5 | 595 | 1068 | 21 | 27 | 1131 | 15 | ||
| 45X | 110.80 | 1069 | 12 | 1006 | 12 | ||||
| 45Y | 110.85 | 5059.8 | 596 | 1069 | 36 | 36 | 42 | 1132 | 30 |
| 45Z | 5060.1 | 597 | 1069 | 21 | 27 | 1132 | 15 | ||
| 46X | 110.90 | 5039.4 | 528 | 1070 | 12 | 12 | 18 | 1007 | 12 |
| 46W | 5039.7 | 529 | 1070 | 24 | 30 | 1007 | 24 | ||
| 46Y | 110.95 | 5060.4 | 598 | 1070 | 36 | 36 | 42 | 1133 | 30 |
| 46Z | 5060.7 | 599 | 1070 | 21 | 27 | 1133 | 15 | ||
| 47X | 111.00 | 1071 | 12 | 1008 | 12 | ||||
| 47Y | 111.05 | 5061.0 | 600 | 1071 | 36 | 36 | 42 | 1134 | 30 |
| 47Z | 5061.3 | 601 | 1071 | 21 | 27 | 1134 | 15 | ||
| 48X | 111.10 | 5040.0 | 530 | 1072 | 12 | 12 | 18 | 1009 | 12 |
| 48W | 5040.3 | 531 | 1072 | 24 | 30 | 1009 | 24 | ||
| 48Y | 111.15 | 5061.6 | 602 | 1072 | 36 | 36 | 42 | 1135 | 30 |
| 48Z | 5061.9 | 603 | 1072 | 21 | 27 | 1135 | 15 | ||
| 49X | 111.20 | 1073 | 12 | 1010 | 12 | ||||
| 49Y | 111.25 | 5062.2 | 604 | 1073 | 36 | 36 | 42 | 1136 | 30 |
| 49Z | 5062.5 | 605 | 1073 | 21 | 27 | 1136 | 15 | ||
| 50X | 111.30 | 5040.6 | 532 | 1074 | 12 | 12 | 18 | 1011 | 12 |
| 50W | 5040.9 | 533 | 1074 | 24 | 30 | 1011 | 24 | ||
| 50Y | 111.35 | 5062.8 | 606 | 1074 | 36 | 36 | 42 | 1137 | 30 |
| 50Z | 5063.1 | 607 | 1074 | 21 | 27 | 1137 | 15 | ||
| 51X | 111.40 | 1075 | 12 | 1012 | 12 | ||||
| 51Y | 111.45 | 5063.4 | 608 | 1075 | 36 | 36 | 42 | 1138 | 30 |
| 51Z | 5063.7 | 609 | 1075 | 21 | 27 | 1138 | 15 | ||
| 52X | 111.50 | 5041.2 | 534 | 1076 | 12 | 12 | 18 | 1013 | 12 |
| 52W | 5041.5 | 535 | 1076 | 24 | 30 | 1013 | 24 | ||
| 52Y | 111.55 | 5064.0 | 610 | 1076 | 36 | 36 | 42 | 1139 | 30 |
| 52Z | 5064.3 | 611 | 1076 | 21 | 27 | 1139 | 15 | ||
| 53X | 111.60 | 1077 | 12 | 1014 | 12 | ||||
| 53Y | 111.65 | 5064.6 | 612 | 1077 | 36 | 36 | 42 | 1140 | 30 |
| 53Z | 5064.9 | 613 | 1077 | 21 | 27 | 1140 | 15 | ||
| 54X | 111.70 | 5041.8 | 536 | 1078 | 12 | 12 | 18 | 1015 | 12 |
| 54W | 5042.1 | 537 | 1078 | 24 | 30 | 1015 | 24 | ||
| 54Y | 111.75 | 5065.2 | 614 | 1078 | 36 | 36 | 42 | 1141 | 30 |
| 54Z | 5065.5 | 615 | 1078 | 21 | 27 | 1141 | 15 | ||
| 55X | 111.80 | 1079 | 12 | 1016 | 12 | ||||
| 55Y | 111.85 | 5065.8 | 616 | 1079 | 36 | 36 | 42 | 1142 | 30 |
| 55Z | 5066.1 | 617 | 1079 | 21 | 27 | 1142 | 15 | ||
| 56X | 111.90 | 5042.4 | 538 | 1080 | 12 | 12 | 18 | 1017 | 12 |
| 56W | 5042.7 | 539 | 1080 | 24 | 30 | 1017 | 24 | ||
| 56Y | 111.95 | 5066.4 | 618 | 1080 | 36 | 36 | 42 | 1143 | 30 |
| 56Z | 5066.7 | 619 | 1080 | 21 | 27 | 1143 | 15 | ||
| 57X | 112.00 | 1081 | 12 | 1018 | 12 | ||||
| 57Y | 112.05 | 1081 | 36 | 1144 | 30 | ||||
| 58X | 112.10 | 1082 | 12 | 1019 | 12 | ||||
| 58Y | 112.15 | 1082 | 36 | 1145 | 30 | ||||
| 59X | 112.20 | 1083 | 12 | 1020 | 12 | ||||
| 59Y | 122.25 | 1083 | 36 | 1146 | 30 | ||||
| ** 60X | 1084 | 12 | 1021 | 12 | |||||
| ** 60Y | 1084 | 36 | 1147 | 30 | |||||
| ** 61X | 1085 | 12 | 1022 | 12 | |||||
| ** 61Y | 1085 | 36 | 1148 | 30 | |||||
| ** 62X | 1086 | 12 | 1023 | 12 | |||||
| ** 62Y | 1086 | 36 | 1149 | 30 | |||||
| ** 63X | 1037 | 12 | 1024 | 12 | |||||
| ** 63Y | 1087 | 36 | 1150 | 30 | |||||
| ** 64X | 1088 | 12 | 1151 | 12 | |||||
| ** 64Y | 1088 | 36 | 1025 | 30 | |||||
| ** 65X | 1089 | 12 | 1152 | 12 | |||||
| ** 65Y | 1089 | 36 | 1026 | 30 | |||||
| ** 66X | 1090 | 12 | 1153 | 12 | |||||
| ** 66Y | 1090 | 36 | 1027 | 30 | |||||
| ** 67X | 1091 | 12 | 1154 | 12 | |||||
| ** 67Y | 1091 | 36 | 1028 | 30 | |||||
| ** 68X | 1092 | 12 | 1155 | 12 | |||||
| ** 68Y | 1092 | 36 | 1029 | 30 | |||||
| ** 69X | 1093 | 12 | 1156 | 12 | |||||
| ** 69Y | 1093 | 36 | 1030 | 30 | |||||
| 70X | 112.30 | 1094 | 12 | 1157 | 12 | ||||
| ** 70Y | 112.35 | 1094 | 36 | 1031 | 30 | ||||
| 71X | 112.40 | 1095 | 12 | 1158 | 12 | ||||
| ** 71Y | 112.45 | 1095 | 36 | 1032 | 30 | ||||
| 72X | 112.50 | 1096 | 12 | 1159 | 12 | ||||
| ** 72Y | 112.55 | 1096 | 36 | 1033 | 30 | ||||
| 73X | 112.60 | 1097 | 12 | 1160 | 12 | ||||
| ** 73Y | 112.65 | 1097 | 36 | 1034 | 30 | ||||
| 74X | 112.70 | 1098 | 12 | 1161 | 12 | ||||
| ** 74Y | 112.75 | 1098 | 36 | 1035 | 30 | ||||
| 75X | 112.80 | 1099 | 12 | 1162 | 12 | ||||
| ** 75Y | 112.85 | 1099 | 36 | 1036 | 30 | ||||
| 76X | 112.90 | 1100 | 12 | 1163 | 12 | ||||
| ** 76Y | 112.95 | 1100 | 36 | 1037 | 30 | ||||
| 77X | 113.00 | 1101 | 12 | 1164 | 12 | ||||
| ** 77Y | 113.05 | 1101 | 36 | 1038 | 30 | ||||
| 78X | 113.10 | 1102 | 12 | 1165 | 12 | ||||
| ** 78Y | 113.15 | 1102 | 36 | 1039 | 30 | ||||
| 79X | 113.20 | 1103 | 12 | 1166 | 12 | ||||
| ** 79Y | 113.25 | 1103 | 36 | 1040 | 30 | ||||
| 80X | 113.30 | 1104 | 12 | 1167 | 12 | ||||
| 80Y | 113.35 | 5067.0 | 620 | 1104 | 36 | 36 | 42 | 1041 | 30 |
| 80Z | 5067.3 | 621 | 1104 | 21 | 27 | 1041 | 15 | ||
| 81X | 113.40 | 1105 | 12 | 1168 | 12 | ||||
| 81Y | 113.45 | 5067.6 | 622 | 1105 | 36 | 36 | 42 | 1042 | 30 |
| 81Z | 5067.9 | 623 | 1005 | 21 | 27 | 1042 | 15 | ||
| 82X | 113.50 | 1106 | 12 | 1169 | 12 | ||||
| 82Y | 113.55 | 5068.2 | 624 | 1106 | 36 | 36 | 42 | 1043 | 30 |
| 82Z | 5068.5 | 625 | 1106 | 21 | 27 | 1043 | 15 | ||
| 83X | 113.60 | 1107 | 12 | 1170 | 12 | ||||
| 83Y | 113.65 | 5068.8 | 626 | 1107 | 36 | 36 | 42 | 1044 | 30 |
| 83Z | 5069.1 | 627 | 1107 | 21 | 27 | 1044 | 15 | ||
| 84X | 113.70 | 1108 | 12 | 1171 | 12 | ||||
| 84Y | 113.75 | 5069.4 | 628 | 1108 | 36 | 36 | 42 | 1045 | 30 |
| 84Z | 6069.7 | 629 | 1108 | 21 | 27 | 1045 | 15 | ||
| 85X | 113.80 | 1109 | 12 | 1172 | 12 | ||||
| 85Y | 113.85 | 5070.0 | 630 | 1109 | 36 | 36 | 42 | 1046 | 30 |
| 85Z | 5070.3 | 631 | 1109 | 21 | 27 | 1046 | 15 | ||
| 86X | 113.90 | 1110 | 12 | 1173 | 12 | ||||
| 86Y | 113.95 | 5070.6 | 632 | 1110 | 36 | 36 | 42 | 1047 | 30 |
| 86Z | 5070.9 | 633 | 1110 | 21 | 27 | 1047 | 15 | ||
| 87X | 114.00 | 1111 | 12 | 1174 | 12 | ||||
| 87Y | 114.05 | 5071.2 | 634 | 1111 | 36 | 36 | 42 | 1048 | 30 |
| 87Z | 5071.5 | 635 | 1111 | 21 | 27 | 1048 | 15 | ||
| 88X | 114.10 | 1112 | 12 | 1175 | 12 | ||||
| 88Y | 114.15 | 5071.8 | 636 | 1112 | 36 | 36 | 42 | 1049 | 30 |
| 88Z | 5072.1 | 637 | 1112 | 21 | 27 | 1049 | 15 | ||
| 89X | 114.20 | 1113 | 12 | 1176 | 12 | ||||
| 89Y | 114.25 | 5072.4 | 638 | 1113 | 36 | 36 | 42 | 1050 | 30 |
| 89Z | 5072.7 | 639 | 1113 | 21 | 27 | 1050 | 15 | ||
| 90X | 114.30 | 1114 | 12 | 1177 | 12 | ||||
| 90Y | 114.35 | 5073.0 | 640 | 1114 | 36 | 36 | 42 | 1051 | 30 |
| 90Z | 5073.3 | 641 | 1114 | 21 | 27 | 1051 | 15 | ||
| 91X | 114.40 | 1115 | 12 | 1178 | 12 | ||||
| 91Y | 114.45 | 5073.6 | 642 | 1115 | 36 | 36 | 42 | 1052 | 30 |
| 91Z | 5073.9 | 643 | 1115 | 21 | 27 | 1052 | 15 | ||
| 92X | 114.50 | 1116 | 12 | 1179 | 12 | ||||
| 92Y | 114.55 | 5074.2 | 644 | 1116 | 36 | 36 | 42 | 1053 | 30 |
| 92Z | 5074.5 | 645 | 1116 | 21 | 27 | 1053 | 15 | ||
| 93X | 114.60 | 1117 | 12 | 1180 | 12 | ||||
| 93Y | 114.65 | 5074.8 | 646 | 1117 | 36 | 36 | 42 | 1054 | 30 |
| 93Z | 5075.1 | 647 | 1117 | 21 | 27 | 1054 | 15 | ||
| 94X | 114.70 | 1118 | 12 | 1181 | 12 | ||||
| 94Y | 114.75 | 5075.4 | 648 | 1118 | 36 | 36 | 42 | 1055 | 30 |
| 94Z | 5075.7 | 649 | 1118 | 21 | 27 | 1055 | 15 | ||
| 95X | 114.80 | 1119 | 12 | 1182 | 12 | ||||
| 95Y | 114.85 | 5076.0 | 650 | 1119 | 36 | 36 | 42 | 1056 | 30 |
| 95Z | 5076.3 | 651 | 1119 | 21 | 27 | 1056 | 15 | ||
| 96X | 114.90 | 1120 | 12 | 1183 | 12 | ||||
| 96Y | 114.95 | 5076.6 | 652 | 1120 | 36 | 36 | 42 | 1057 | 30 |
| 96Z | 5076.9 | 653 | 1120 | 21 | 27 | 1057 | 15 | ||
| 97X | 115.00 | 1121 | 12 | 1184 | 12 | ||||
| 97Y | 115.05 | 5077.2 | 654 | 1121 | 36 | 36 | 42 | 1058 | 30 |
| 97Z | 5077.5 | 655 | 1121 | 21 | 27 | 1058 | 15 | ||
| 98X | 115.10 | 1122 | 12 | 1185 | 12 | ||||
| 98Y | 115.15 | 5077.8 | 656 | 1122 | 36 | 36 | 42 | 1059 | 30 |
| 98Z | 5078.1 | 657 | 1122 | 21 | 27 | 1059 | 15 | ||
| 99X | 115.20 | 1123 | 12 | 1186 | 12 | ||||
| 99Y | 115.25 | 5078.4 | 658 | 1123 | 36 | 36 | 42 | 1060 | 30 |
| 99Z | 5078.7 | 659 | 1123 | 21 | 27 | 1060 | 15 | ||
| 100X | 115.30 | 1124 | 12 | 1187 | 12 | ||||
| 100Y | 115.35 | 5079.0 | 660 | 1124 | 36 | 36 | 42 | 1061 | 30 |
| 100Z | 5079.3 | 661 | 1124 | 21 | 27 | 1061 | 15 | ||
| 101X | 115.40 | 1125 | 12 | 1188 | 12 | ||||
| 101Y | 115.45 | 5079.6 | 662 | 1125 | 36 | 36 | 42 | 1062 | 30 |
| 101Z | 5079.9 | 663 | 1125 | 21 | 27 | 1062 | 15 | ||
| 102X | 115.50 | 1126 | 12 | 1189 | 12 | ||||
| 102Y | 115.55 | 5080.2 | 664 | 1126 | 36 | 36 | 42 | 1063 | 30 |
| 102Z | 5080.5 | 665 | 1126 | 21 | 27 | 1063 | 15 | ||
| 103X | 115.60 | 1127 | 12 | 1190 | 12 | ||||
| 103Y | 115.65 | 5080.B | 666 | 1127 | 36 | 36 | 42 | 1064 | 30 |
| 103Z | 5081.1 | 667 | 1127 | 21 | 27 | 1064 | 19 | ||
| 104X | 115.70 | 1128 | 12 | 1191 | 12 | ||||
| 104Y | 115.75 | 5081.4 | 668 | 1128 | 36 | 36 | 42 | 1065 | 30 |
| 104Z | 5081.7 | 669 | 1128 | 21 | 27 | 1065 | 19 | ||
| 105X | 115.80 | 1129 | 12 | 1192 | 12 | ||||
| 105Y | 115.85 | 5082.0 | 670 | 1129 | 36 | 36 | 42 | 1066 | 30 |
| 105Z | 5082.3 | 671 | 1129 | 21 | 27 | 1066 | 15 | ||
| 106X | 115.90 | 1130 | 12 | 1193 | 12 | ||||
| 106Y | 115.95 | 5082.6 | 672 | 1130 | 36 | 36 | 42 | 1067 | 30 |
| 106Z | 5082.9 | 673 | 1130 | 21 | 27 | 1067 | 15 | ||
| 107X | 116.00 | 1131 | 12 | 1194 | 12 | ||||
| 107Y | 116.05 | 5083.2 | 674 | 1131 | 36 | 36 | 42 | 1068 | 30 |
| 107Z | 5083.5 | 675 | 1131 | 21 | 27 | 1068 | 15 | ||
| 108X | 116.10 | 508 | 1132 | 12 | 1195 | 12 | |||
| 108Y | 116.15 | 5083.8 | 676 | 1132 | 36 | 36 | 42 | 1069 | 30 |
| 108Z | 5084.1 | 677 | 1132 | 21 | 27 | 1069 | 15 | ||
| 109X | 116.20 | 1133 | 12 | 1196 | 12 | ||||
| 109Y | 116.25 | 5084.4 | 678 | 1133 | 36 | 36 | 42 | 1070 | 30 |
| 109Z | 5084.7 | 679 | 1133 | 21 | 27 | 1070 | 15 | ||
| 110X | 116.30 | 1134 | 12 | 1197 | 12 | ||||
| 110Y | 116.35 | 5085.0 | 680 | 1134 | 36 | 36 | 42 | 1071 | 30 |
| 110Z | 5085.3 | 681 | 1134 | 21 | 27 | 1071 | 15 | ||
| 111X | 116.40 | 1135 | 12 | 1198 | 12 | ||||
| 111Y | 116.45 | 5086.6 | 682 | 1135 | 36 | 36 | 42 | 1072 | 30 |
| 111Z | 5085.9 | 683 | 1135 | 21 | 27 | 1072 | 15 | ||
| 112X | 116.50 | 1136 | 12 | 1199 | 12 | ||||
| 112Y | 116.55 | 5086.2 | 684 | 1136 | 36 | 36 | 42 | 1073 | 30 |
| 112Z | 5086.5 | 685 | 1136 | 21 | 27 | 1073 | 15 | ||
| 113X | 116.60 | 1137 | 12 | 1200 | 12 | ||||
| 113Y | 116.65 | 5086.8 | 686 | 1137 | 36 | 36 | 42 | 1074 | 30 |
| 113Z | 5087.1 | 687 | 1137 | 21 | 27 | 1074 | 15 | ||
| 114X | 116.70 | 1138 | 12 | 1201 | 12 | ||||
| 114Y | 116.75 | 5087.4 | 688 | 1138 | 36 | 36 | 42 | 1075 | 30 |
| 114Z | 5087.7 | 689 | 1138 | 21 | 27 | 1075 | 15 | ||
| 115X | 116.80 | 1139 | 12 | 1202 | 12 | ||||
| 115Y | 116.85 | 5088.0 | 690 | 1139 | 36 | 36 | 42 | 1076 | 30 |
| 115Z | 5088.3 | 691 | 1139 | 21 | 27 | 1076 | 15 | ||
| 116X | 116.90 | 1140 | 12 | 1203 | 12 | ||||
| 116Y | 116.95 | 5088.6 | 692 | 1140 | 36 | 36 | 42 | 1077 | 30 |
| 116Z | 5088.9 | 693 | 1140 | 21 | 27 | 1077 | 15 | ||
| 117X | 117.00 | 1141 | 12 | 1204 | 12 | ||||
| 117Y | 117.05 | 5089.2 | 694 | 1141 | 36 | 36 | 42 | 1078 | 30 |
| 117Z | 5089.5 | 695 | 1141 | 21 | 27 | 1078 | 15 | ||
| 118X | 117.10 | 1142 | 12 | 12.5 | 12 | ||||
| 118Y | 117.15 | 5089.8 | 696 | 1142 | 36 | 36 | 42 | 1079 | 30 |
| 118Z | 5090.1 | 697 | 1142 | 21 | 27 | 1079 | 12 | ||
| 119X | 117.20 | 1143 | 12 | 1206 | 12 | ||||
| 119Y | 117.25 | 5090.4 | 698 | 1143 | 36 | 36 | 42 | 1080 | 30 |
| 119Z | 5090.7 | 699 | 1143 | 21 | 27 | 1080 | 15 | ||
| 120X | 117.30 | 1144 | 12 | 1207 | 12 | ||||
| 120Y | 117.35 | 1144 | 36 | 1081 | 30 | ||||
| 121X | 117.40 | 1145 | 12 | 1208 | 12 | ||||
| 121Y | 117.45 | 1145 | 36 | 1082 | 30 | ||||
| 122X | 117.50 | 1146 | 12 | 1209 | 12 | ||||
| 122Y | 117.55 | 1146 | 36 | 1083 | 30 | ||||
| 123X | 117.60 | 1147 | 12 | 1210 | 12 | ||||
| 123Y | 117.65 | 1147 | 36 | 1084 | 30 | ||||
| 124X | 117.70 | 1148 | 12 | 1211 | 12 | ||||
| ** 124Y | 117.75 | 1148 | 36 | 1085 | 30 | ||||
| 125X | 117.80 | 1149 | 12 | 1212 | 12 | ||||
| ** 125Y | 117.85 | 1149 | 36 | 1086 | 30 | ||||
| 126X | 117.90 | 1150 | 12 | 1213 | 12 | ||||
| ** 126Y | 117.95 | 1150 | 36 | 1087 | 30 | ||||
* These channels are reserved exclusively for national allotments.
** These channels may be used for national allotment on a secondary basis. The primary reason for reserving these channels is to provide protection for the secondary Surveillance Radar (SSR) system.
▽ 108.0 MHz is not scheduled for assignment to ILS service. The associated DME operating channel No. 17X may be assigned to the emergency service.
(b) Polarization. (1) The radio frequency emissions from all ground equipment must be nominally vertically polarized. Any horizontally polarized radio frequency emission component from the ground equipment must not have incorrectly coded angle information such that the limits specified in paragraphs (b) (2) and (3) of this section are exceeded.
(2) Rotation of the receiving antenna thirty degrees from the vertically polarized position must not cause the path following error to exceed the allowed error at that location.
(c) Modulation requirements. Each function transmitter must be capable of DPSK and continuous wave (CW) modulations of the RF carrier which have the following characteristics.
(1) DPSK. The DPSK signal must have the following characteristics:
| bit rate | 15.625 KHz |
| bit length | 64 microseconds |
| logic “0” | no phase transition |
| logic “1” | phase transition |
| phase transition | less than 10 microseconds |
| phase tolerance | ±10 degrees |
(2) CW. The CW pulse transmissions and the CW angle transmissions as may be required in the signal format of any function must have characteristics such that the requirements of paragraph (d) of this section are met.
(d) Radio frequency signal spectrum. The transmitted signal must be such that during the transmission time, the mean power density above a height of 600 meters (2000 feet) does not exceed −100.5 dBW/m
(e) Synchronization. Synchronization between the azimuth and elevation components is required and, in split-site configurations, would normally be accomplished by landline interconnections. Synchronization monitoring must be provided to preclude function overlap.
(f) Transmission rates. Angle guidance and data signals must be transmitted at the following average repetition rates:
| Function | Average data rate (Hertz) |
|---|---|
| Approach Azimuth | 13 ±0.5 |
| High Rate Approach Azimuth | 1 39 ±1.5 |
| Approach Elevation | 39 ±1.5 |
| Back Azimuth | 6.5 ±0.25 |
| Basic Data | ( 2) |
| Auxiliary Data | ( 3) |
1 The higher rate is recommended for azimuth scanning antennas with beamwidths greater than two degrees. It should be noted that the time available in the signal format for additional functions is limited when the higher rate is used.
2 Refer to Table 8a.
3 Refer to Table 8c.
(g) Transmission sequences. Sequences of angle transmissions which will generate the required repetition rates are shown in Figures 2 and 3.
(h) TDM cycle. The time periods between angle transmission sequences must be varied so that exact repetitions do not occur within periods of less than 0.5 second in order to protect against synchronous interference. One such combination of sequences is shown in Figure 4 which forms a full multiplex cycle. Data may be transmitted during suitable open times within or between the sequences.
(i) Function Formats (General). Each angle function must contain the following elements: a preamble; sector signals; and a TO and FRO angle scan organized as shown in Figure 5a. Each data function must contain a preamble and a data transmission period organized as shown in Figure 5b.
(1) Preamble format. The transmitted angle and date functions must use the preamble format shown in Figure 6. This format consists of a carrier acquisition period of unmodulated CW transmission followed by a receiver synchronization code and a function identification code. The preamble timing must be in accordance with Table 2.
(i) Digital codes. The coding used in the preamble for receiver synchronization is a Barker code logic 11101. The time of the last phase transition midpoint in the code shall be the receiver reference time (see Table 2). The function identification codes must be as shown in Table 3. The last two bits (I
(ii) Data modulation. The digital code portions of the preamble must be DPSK modulated in accordance with § 171.311(c)(1) and must be transmitted throughout the function coverage volume.
(2) Angle function formats. The timing of the angle transmissions must be in accordance with Tables 4a, 4b, and 5. The actual timing of the TO and FRO scans must be as required to meet the accuracy requirements of §§ 171.313 and 171.317.
(i) Preamble. Must be in accordance with requirements of § 171.311(i)(1).
Table 2—Preamble Timing 1
| Event | Event time slot begins at— | |
|---|---|---|
| 15.625 kHz clock pulse (number) | Time (milliseconds) | |
| Carrier acquisition: | ||
| (CW transmission) | 0 | 0 |
| Receiver reference time code: | ||
| I | 13 | 0.832 |
| I | 14 | 0.896 |
| I | 15 | 0.960 |
| I | 16 | 1.024 |
| I | 17 | 2 1.088 |
| Function identification: | ||
| I | 18 | 1.152 |
| I | 19 | 1.216 |
| I | 20 | 1.280 |
| I | 21 | 1.344 |
| I | 22 | 1.408 |
| I | 23 | 1.472 |
| I | 24 | 1.536 |
| END PREAMBLE | 25 | 1.600 |
1 Applies to all functions transmitted.
2 Reference time for receiver synchronization for all function timing.
Table 3—Function Identification Codes
| Function | Code | ||||||
|---|---|---|---|---|---|---|---|
| I | I | I | I | I | I | I | |
| Approach azimuth | 0 | 0 | 1 | 1 | 0 | 0 | 1 |
| High rate approach azimuth | 0 | 0 | 1 | 0 | 1 | 0 | 0 |
| Approach elevation | 1 | 1 | 0 | 0 | 0 | 0 | 1 |
| Back azimuth | 1 | 0 | 0 | 1 | 0 | 0 | 1 |
| Basic data 1 | 0 | 1 | 0 | 1 | 0 | 0 | 0 |
| Basic data 2 | 0 | 1 | 1 | 1 | 1 | 0 | 0 |
| Basic data 3 | 1 | 0 | 1 | 0 | 0 | 0 | 0 |
| Basic data 4 | 1 | 0 | 0 | 0 | 1 | 0 | 0 |
| Basic data 5 | 1 | 1 | 0 | 1 | 1 | 0 | 0 |
| Dasic data 6 | 0 | 0 | 0 | 1 | 1 | 0 | 1 |
| Auxiliary data A | 1 | 1 | 1 | 0 | 0 | 1 | 0 |
| Auxiliary data B | 1 | 0 | 1 | 0 | 1 | 1 | 1 |
| Auxiliary data C | 1 | 1 | 1 | 1 | 0 | 0 | 0 |
(ii) Sector signals. In all azimuth formats, sector signals must be transmitted to provide Morse Code identification, airborne antenna selection, and system test signals. These signals are not required in the elevation formats. In addition, if the signal from an installed ground component results in a valid indication in an area where no valid guidance should exist, OCI signals must be radiated as provided for in the signal format (see Tables 4a, 4b, and 5). The sector signals are defined as follows:
(A) Morse Code. DPSK transmissions that will permit Morse Code facility identification in the aircraft by a four letter code starting with the letter “M” must be included in all azimuth functions. They must be transmitted and repeated at approximately equal intervals, not less than six times per minute, during which time the ground subsystem is available for operational use. When the transmissions of the ground subsystem are not available, the identification signal must be suppressed. The audible tone in the aircraft is started by setting the Morse Code bit to logic “1” and stopped by a logic “0” (see Tables 4a and 4b). The identification code characteristics must conform to the following: the dot must be between 0.13 and 0.16 second in duration, and the dash between 0.39 and 0.48 second. The duration between dots and/or dashes must be one dot plus or minus 10%. The duration between characters (letters) must not be less than three dots. When back azimuth is provided, the code shall be transmitted by the approach azimuth and back azimuth within plus or minus 0.08 seconds.
(B) Airborne antenna selection. A signal for airborne antenna selection shall be transmitted as a “zero” DPSK signal lasting for a six-bit period (see Tables 4a and 4b).
Table
| Event | Event time slot
begins at— | |
|---|---|---|
| 15.625 kHz clock pulse (number) | Time
(milliseconds) | |
| Preamble | 0 | 0 |
| Morse code | 25 | 1.600 |
| Antenna select | 26 | 1.664 |
| Rear OCI | 32 | 2.048 |
| Left OCI | 34 | 2.176 |
| Right OCI | 36 | 2.304 |
| To test | 38 | 2.432 |
| To scan 1 | 40 | 2.560 |
| Pause | 8.760 | |
| Midscan point | 9.060 | |
| FRO scan 1 | 9.360 | |
| FRO test | 15.560 | |
| End Function (Airborne) | 15.688 | |
| End guard time; end function (ground) | 15.900 | |
AA 1 The actual commencement and completion of the TO and the FRO scan transmissions are dependent on the amount of proportional guidance provided. The time slots provided shall accommodate a maximum scan of plus or minus 62.0 degrees. Scan timing shall be compatible with accuracy requirements.
Table
| Event | Event time slot
begins at— | |
|---|---|---|
| 15.625 kHz clock pulse (number) | Time
(milliseconds) | |
| Preamble | 0 | 0 |
| Morse Code | 25 | 1.600 |
| Antenna select | 26 | 1.664 |
| Rear OCI | 32 | 2.048 |
| Left OCI | 34 | 2.176 |
| Right OCI | 36 | 2.304 |
| To test | 38 | 2.432 |
| To scan 1 | 40 | 2.560 |
| Pause | 6.760 | |
| Midscan point | 7.060 | |
| FRO scan 1 | 7.360 | |
| FRO test pulse | 11.560 | |
| End function (airborne) | 11.688 | |
| End guard time; end function (ground) | 11.900 | |
1 The actual commencement and completion of the TO and the FRO scan transmissions are dependent on the amount of proportional guidance provided. The time slots provided will accommodate a maximum scan of plus or minus 42.0 degrees. Scan timing shall be compatible with accuracy requirements.
(C) OCI. Where OCI pulses are used, they must be: (1) greater than any guidance signal in the OCI sector; (2) at least 5 dB less than the level of the scanning beam within the proportional guidance sector; and (3) for azimuth functions with clearance signals, at least 5 dB less than the level of the left (right) clearance pulses within the left (right) clearance sector.
Table 5—Approach Elevation Function Timing
| Event | Event time slot
begins at: | |
|---|---|---|
| 15.625 kHz clock pluse (number) | Time
(milliseconds) | |
| Preamble | 0 | 0 |
| Processor pause | 25 | 1.600 |
| OCI | 27 | 1.728 |
| To scan 1 | 29 | 1.856 |
| Pause | 3.406 | |
| Midscan point | 3.606 | |
| FRO scan 1 | 3.806 | |
| End function (airborne) | 5.356 | |
| End guard time; end function (ground) | 5.600 | |
1 The actual commencement and completion of the TO and FRO scan transmissions are dependent upon the amount of proportional guidance provided. The time slots provided will accommodate a maximum scan of −1.5 degrees to + 29.5 degrees. Scan timing shall be compatible with accuracy requirements.
The duration of each pulse measured at the half amplitude point shall be at least 100 microseconds, and the rise and fall times shall be less then 10 microseconds. It shall be permissible to sequentially transmit two pulses in each out-of-coverage indication time slot. Where pulse pairs are used, the duration of each pulse shall be at least 50 microseconds, and the rise and fall times shall be less then 10 microseconds. The transmission of out-of-coverage indication pulses radiated from antennas with overlapping coverage patterns shall be separated by at least 10 microseconds.
If desired, two pulses may be sequentially transmitted in each OCI time slot. Where pulse pairs are used, the duration of each pulse must be 45 (±5) microseconds and the rise and fall times must be less than 10 microseconds.
(D) System test. Time slots are provided in Tables 4a and 4b to allow radiation of TO and FRO test pulses. However, radiation of these pulses is not required since the characteristics of these pulses have not yet been standardized.
(iii) Angle encoding. The encoding must be as follows:
(A) General. Azimuth and elevation angles are encoded by scanning a narrow beam between the limits of the proportional coverage sector first in one direction (the TO scan) and then in the opposite direction (the FRO scan). Angular information must be encoded by the amount of time separation between the beam centers of the TO and FRO scanning beam pulses. The TO and FRO transmissions must be symmetrically disposed about the midscan point listed in Tables 4a, 4b, 5, and 7. The midscan point and the center of the time interval between the TO and FRO scan transmissions must coincide with a tolerance of ±10 microseconds. Angular coding must be linear with angle and properly decoded using the formula:
(B) Azimuth angle encoding. Each guidance angle transmitted must consist of a clockwise TO scan followed by a counterclockwise FRO scan as viewed from above the antenna. For approach azimuth functions, increasing angle values must be in the direction of the TO scan; for the back azimuth function, increasing angle values must be in the direction of the FRO scan. The antenna has a narrow beam in the plane of the scan direction and a broad beam in the orthogonal plane which fills the vertical coverage.
(C) Elevation angle encoding. The radiation from elevation equipment must produce a beam which scans from the horizon up to the highest elevation angle and then scans back down to the horizon. The antenna has a narrow beam in the plane of the scan direction and a broad beam in the orthogonal plane which fills the horizontal coverage. Elevation angles are defined from the horizontal plane containing the antenna phase center; positive angles are above the horizontal and zero angle is along the horizontal.
(iv) Clearance guidance. The timing of the clearance pulses must be in accordance with Figure 8. For azimuth elements with proportional coverage of less than ±40 degrees (±20 degrees for back azimuth), clearance guidance information must be provided by transmitting pulses in a TO and FRO format adjacent to the stop/start times of the scanning beam signal. The fly-right clearance pulses must represent positive angles and the fly-left clearance pulses must represent negative angles. The duration of each clearance pulse must be 50 microseconds with a tolerance of ±5 microseconds. The transmitter switching time between the clearance pulses and the scanning beam transmissions must not exceed 10 microseconds. The rise time at the edge of each clearance pulse must be less than 10 microseconds. Within the fly-right clearance guidance section, the fly-right clearance guidance signal shall exceed scanning beam antenna sidelobes and other guidance and OCI signals by at least 5 dB; within the fly-left clearance guidance sector, the fly left clearance guidance signal shall exceed scanning beam antenna sidelobes and all other guidance and OCI signals by at least 5 dB; within the proportional guidance sector, the clearance guidance signals shall be at least 5dB below the proportional guidance signal. Optionally, clearance guidance may be provided by scanning throughout the approach guidance sector. For angles outside the approach azimuth proportional coverage limits as set in Basic Data Word One (Basic Data Word 5 for back azimuth), proper decode and display of clearance guidance must occur to the limits of the guidance region. Where used, clearance pulses shall be transmitted adjacent to the scanning beam signals at the edges of proportional coverage as shown in Figure 8. The proportional coverage boundary shall be established at one beamwidth inside the scan start/stop angles, such that the transition between scanning beam and clearance signals occurs outside the proportional coverage sector. When clearance pulses are provided in conjunction with a narrow beamwidth (e.g., one degree) scanning antenna, the scanning beam antenna shall radiate for 15 microseconds while stationary at the scan start/stop angles.
(3) Data function format. Basic data words provide equipment characteristics and certain siting information. Basic data words must be transmitted from an antenna located at the approach azimuth or back azimuth site which provides coverage throughout the appropriate sector. Data function timing must be in accordance with Table 7a.
Table 6—Angle Scan Timing Constants
| Function | Max value of | T | V(deg/usec) | T | Pause time (usec) | T |
|---|---|---|---|---|---|---|
| Approach azimuth | 13,000 | 6,800 | 0.02 | 7,972 | 600 | 13,128 |
| High rate approach azimuth | 9,000 | 4,800 | 0.02 | 5,972 | 600 | 9,128 |
| Approach elevation | 3,500 | 3,350 | 0.02 | 2,518 | 400 | N/A |
| Back azimuth | 9,000 | 4,800 | −0.02 | 5,972 | 600 | 9,128 |
Table
| Event | Event time slot
begins at: 1 | |
|---|---|---|
| 15.625 kHz clock pulse (number) | Time
(milliseconds) | |
| Preamble | 0 | 0 |
| Data transmission (bits I | 25 | 1.600 |
| Parity transmission (bits I | 43 | 2.752 |
| End function (airborne) | 45 | 2.880 |
| End guard time: end function (ground) | 3.100 | |
1 The previous event time slot ends at this time.
Table
| Event | Event time slot
begins at: | |
|---|---|---|
| 15.625 kHz clock pulse (number) | Time
(milliseconds) | |
| Preamble | 0 | 0 |
| Address transmission (bits I | 25 | 1.600 |
| Data transmission: (bits I | 33 | 2.112 |
| Parity transmission (bits I | 82 | 5.248 |
| End function (airborne) | 89 | 5.696 |
| End guard time; end function (ground) | 5.900 | |
Table
| Event | Event time slot
begins at: | |
|---|---|---|
| 15.615 kHz clock pulse (number) | Time
(milliseconds) | |
| Preamble | 0 | 0 |
| Address transmission (bits I | 25 | 1.600 |
| Data transmission: (bits I | 33 | 2.112 |
| End function (airborne) | 89 | 5.696 |
| End guard time; (end function ground) | 5.900 | |
(i) Preamble. Must be in accordance with requirements of § 171.311(i)(1).
(ii) Data transmissions. Basic data must be transmitted using DPSK modulation. The content and repetition rate of each basic data word must be in accordance with Table 8a. For data containing digital information, binary number 1 must represent the lower range limit with increments in binary steps to the upper range limit shown in Table 8a. Data containing digital information shall be transmitted with the least significant bit first.
(j) Basic Data word requirements. Basic Data shall consist of the items specified in Table 8a. Basic Data word contents shall be defined as follows:
(1) Approach azimuth to threshold distance shall represent the minimum distance between the Approach Azimuth antenna phase center and the vertical plane perpendicular to the centerline which contains the landing threshold.
(2) Approach azimuth proportional coverage limit shall represent the limit of the sector in which proportional approach azimuth guidance is transmitted.
(3) Clearance signal type shall represent the type of clearance when used. Pulse clearance is that which is in accordance with § 171.311 (i) (2) (iv). Scanning Beam (SB) clearance indicates that the proportional guidance sector is limited by the proportional coverage limits set in basic data.
Table
| Data bit # | Data item definition | LSB value | Data bit value |
|---|---|---|---|
| 1 | Preamble | N/A | 1 |
| 2 | 1 | ||
| 3 | 1 | ||
| 4 | 0 | ||
| 5 | 1 | ||
| 6 | 0 | ||
| 7 | 1 | ||
| 8 | 0 | ||
| 9 | 1 | ||
| 10 | 0 | ||
| 11 | 0 | ||
| 12 | 0 | ||
| 13 | Approach azimuth to threshold distance (Om−630m) | 100m | 100m |
| 14 | 200m | ||
| 15 | 400m | ||
| 16 | 800m | ||
| 17 | 1600m | ||
| 18 | 3200m | ||
| 19 | Approach azimuth proportional coverage limit (negative limit) (0° to −62°) | 2° | −2° |
| 20 | −4° | ||
| 21 | −8° | ||
| 22 | −16° | ||
| 23 | −32° | ||
| 24 | Approach azimuth proportional coverage limit (positive limit) (0° to + 62°) | 2° | 2° |
| 25 | 4° | ||
| 26 | 8° | ||
| 27 | 16° | ||
| 28 | 32° | ||
| 29 | Clearance signal type | N/A | 0 = pulse; 1 = SB |
| 30 | Spare | Transmit zero | |
| 31 | Parity: (13 + 14 + 15. . . + 30 + 31 = odd) | N/A | N/A |
| 32 | Parity: (14 + 16 + 18. . . + 30 + 32 = odd) | N/A | N/A |
| 1 | Preamble | N/A | 1 |
| 2 | 1 | ||
| 3 | 1 | ||
| 4 | 0 | ||
| 5 | 1 | ||
| 6 | 0 | ||
| 7 | 1 | ||
| 8 | 1 | ||
| 9 | 1 | ||
| 10 | 1 | ||
| 11 | 0 | ||
| 12 | 0 | ||
| 13 | Minimum glide path (2.0° to 14.7°) | 0.1° | 0.1° |
| 14 | 0.2° | ||
| 15 | 0.4° | ||
| 16 | 0.8° | ||
| 17 | 1.6° | ||
| 18 | 3.2° | ||
| 19 | 6.4° | ||
| 20 | Back azimuth status | see note 4 | |
| 21 | DME status | see note 6 | |
| 22 | |||
| 23 | Approach azimuth status | see note 4 | |
| 24 | Approach azimuth status | see note 4 | |
| 25 | Spare | Transmit zero | |
| 26 | ......do | Do. | |
| 27 | ......do | Do. | |
| 28 | ......do | Do. | |
| 29 | ......do | Do. | |
| 30 | ......do | Do. | |
| 31 | Parity: (13 + 14 + 15. . . + 30 + 31) = odd) | N/A | N/A |
| 32 | Parity: (14 + 16 + 18. . . + 30 + 32 = odd) | N/A | N/A |
| 1 | Preamble | N/A | 1 |
| 2 | 1 | ||
| 3 | 1 | ||
| 4 | 0 | ||
| 5 | 1 | ||
| 6 | 1 | ||
| 7 | 0 | ||
| 8 | 1 | ||
| 9 | 0 | ||
| 10 | 0 | ||
| 11 | 0 | ||
| 12 | 0 | ||
| 13 | Approach azimuth beamwidth (0.5°−4.0°) See note 7 | 0.5° | 0.5° |
| 14 | 1.0° | ||
| 15 | 2.0° | ||
| 16 | Approach elevation beamwidth (0.5° to 2.5°) See note 7 | 0.5° | 0.5° |
| 17 | 1.0° | ||
| 18 | Note: values greater than 2.5° are invalid | 2.0° | |
| 19 | DME distance (Om to 6387.5m | 12.5m | 12.5m |
| 20 | 25.0m | ||
| 21 | 50.0m | ||
| 22 | 100.0m | ||
| 23 | 200.0m | ||
| 24 | 400.0m | ||
| 25 | 800.0m | ||
| 26 | 1600.0m | ||
| 27 | 3200.0m | ||
| 28 | Spare | Transmit zero | |
| 29 | ......do | Do. | |
| 30 | ......do | Do. | |
| 31 | Parity: (13 + 14 + 15. . . + 30 + 31 = odd) | ||
| 32 | Parity: (14 + 16 + 18. . . + 30 + 32 = odd) | N/A | N/A |
| 1 | Preamble | N/A | 1 |
| 2 | 1 | ||
| 3 | 1 | ||
| 4 | 0 | ||
| 5 | 1 | ||
| 6 | 1 | ||
| 7 | 0 | ||
| 8 | 0 | ||
| 9 | 0 | ||
| 10 | 1 | ||
| 11 | 0 | ||
| 12 | 0 | ||
| 13 | Approach azimuth magnetic orientation (0° to 359°) | 1° | 1° |
| 14 | 2° | ||
| 15 | 4° | ||
| 16 | 8° | ||
| 17 | 16° | ||
| 18 | 32° | ||
| 19 | 64° | ||
| 20 | 128° | ||
| 21 | 256° | ||
| 22 | Back azimuth magnetic orientation (0° to 359°) | 1° | 1° |
| 23 | 2° | ||
| 24 | 4° | ||
| 25 | 8° | ||
| 26 | 16° | ||
| 27 | 32° | ||
| 28 | 64° | ||
| 29 | 128° | ||
| 30 | 256° | ||
| 31 | Parity: (13 + 14 + 15. . . + 30 + 31 = odd) | N/A | N/A |
| 32 | Parity: (14 + 16 + 18. . . + 30 + 32 = odd) | N/A | N/A |
| 1 | Preamble | N/A | 1 |
| 2 | 1 | ||
| 3 | 1 | ||
| 4 | 0 | ||
| 5 | 1 | ||
| 6 | 1 | ||
| 7 | 1 | ||
| 8 | 0 | ||
| 9 | 1 | ||
| 10 | 1 | ||
| 11 | 0 | ||
| 12 | 0 | ||
| 13 | Back azimuth proportional coverage negative limit (0° to −42°) | 2° | −2° |
| 14 | −4° | ||
| 15 | −8° | ||
| 16 | −16° | ||
| 17 | −32° | ||
| 18 | Back azimuth proportional coverage positive limit (0° to + 42°) | 2° | 2° |
| 19 | 4° | ||
| 20 | 8° | ||
| 21 | 16° | ||
| 22 | 32° | ||
| 23 | Back azimuth beamwidth (0.5° to 4.0°) See note 7 | 0.5° | 0.5° |
| 24 | 1.0° | ||
| 25 | 2.0° | ||
| 26 | Back azimuth status | See Note 10 | |
| 27 | ......do | Do. | |
| 28 | ......do | Do. | |
| 29 | ......do | Do. | |
| 30 | ......do | Do. | |
| 31 | Parity: (13 + 14 + 15. . . + 30 + 31 = odd) | N/A | N/A |
| 32 | Parity: (14 + 16 + 18. . . + 30 + 32 = odd) | N/A | N/A |
| 1 | Preamble | N/A | 1 |
| 2 | 1 | ||
| 3 | 1 | ||
| 4 | 0 | ||
| 5 | 1 | ||
| 6 | 0 | ||
| 7 | 0 | ||
| 8 | 0 | ||
| 9 | 1 | ||
| 10 | 1 | ||
| 11 | 0 | ||
| 12 | 1 | ||
| (13-
30) | MLS ground equipment identification (Note 3) | ||
| 13 | Character 2 | N/A | B1 |
| 14 | B2 | ||
| 15 | B3 | ||
| 16 | B4 | ||
| 17 | B5 | ||
| 18 | B6 | ||
| 19 | Character 3 | N/A | B1 |
| 20 | B2 | ||
| 21 | B3 | ||
| 22 | B4 | ||
| 23 | B5 | ||
| 24 | B6 | ||
| 25 | Character 4 | N/A | B1 |
| 26 | B2 | ||
| 27 | B3 | ||
| 28 | B4 | ||
| 29 | B5 | ||
| 30 | B6 | ||
| 31 | Parity: (13 + 14 + 15. . . + 30 + 31 = odd) | N/A | N/A |
| 32 | Parity: (14 + 16 + 18. . . + 30 + 32 = odd) | N/A | N/A |
0 = Function not radiated, or radiated in test mode (not reliable for navigation).
1 = Function radiated in normal mode (for Back Azimuth, this also indicates that a Back Azimuth transmission follows).
| I | I | |
| 0 | 0 | DME transponder inoperative or not available. |
| 1 | 0 | Only IA mode or DME/N available. |
| 0 | 0 | FA mode, Standard 1, available. |
| 1 | 1 | FA mode, Standard 2, available. |
0 = Function not radiated, or radiated in test mode (not reliable for navigation).
1 = Function radiated in normal mode.
(4) Minimum glidepath the lowest angle of descent along the zero degree azimuth that is consistent with published approach procedures and obstacle clearance criteria.
(5) Back azimuth status shall represent the operational status of the Back Azimuth equipment.
(6) DME status shall represent the operational status of the DME equipment.
(7) Approach azimuth status shall represent the operational status of the approach azimuth equipment.
(8) Approach elevation status shall represent the operational status of the approach elevation equipment.
(9) Beamwidth the width of the scanning beam main lobe measured at the −3 dB points and defined in angular units on the antenna boresight, in the horizontal plane for the azimuth function and in the vertical plane for the elevation function.
(10) DME distance shall represent the minimum distance between the DME antenna phase center and the vertical plane perpendicular to the runway centerline which contains the MLS datum point.
(11) Approach azimuth magnetic orientation shall represent the angle measured in the horizontal plane clockwise from Magnetic North to the zero-degree angle guidance radial originating from the approach azimuth antenna phase center. The vertex of the measured angle shall be at the approach azimuth antenna phase center.
For example, this data item would be encoded 090 for an approach azimuth antenna serving runway 27 (assuming the magnetic heading is 270 degrees) when sited such that the zero degree radial is parallel to centerline.
(12) Back azimuth magnetic orientation shall represent the angle measured in the horizontal plane clockwise from Magnetic North to the zero-degree angle guidance radial originating from the Back Azimuth antenna. The vertex of the measured angle shall be at the Back Azimuth antenna phase center.
For example, this data item would be encoded 270 for a Back Azimuth Antenna serving runway 27 (assuming the magnetic heading is 270 degrees) when sited such that the zero degree radial is parallel to centerline.
(13) Back azimuth proportional coverage limit shall represent the limit of the sector in which proportional back azimuth guidance is transmitted.
(14) MLS ground equipment identification shall represent the last three characters of the system identification specified in § 171.311(i)(2). The characters shall be encoded in accordance with International Alphabet No. 5 (IA-5) using bits b
Bit b
(k) Residual radiation. The residual radiation of a transmitter associated with an MLS function during time intervals when it should not be transmitting shall not adversely affect the reception of any other function. The residual radiation of an MLS function at times when another function is radiating shall be at least 70 dB below the level provided when transmitting.
(l) Symmetrical scanning. The TO and FRO scan transmissions shall be symmetrically disposed about the mid-scan point listed in Tables 4a, 4b and 5. The mid-scan point and the center of the time interval between the TO and FRO scan shall coincide with a tolerance of plus or minus 10 microseconds.
(m) Auxiliary data—(1) Addresses. Three function identification codes are reserved to indicate transmission of Auxiliary Data A, Auxiliary Data B, and Auxiliary Data C. Auxiliary Data A contents are specified below, Auxiliary Data B contents are reserved for future use, and Auxiliary Data C contents are reserved for national use. The address codes of the auxiliary data words shall be as shown in Table 8b.
(2) Organization and timing. The organization and timing of digital auxiliary data must be as specified in Table 7b. Data containing digital information must be transmitted with the least significant bit first. Alphanumeric data characters must be encoded in accordance with the 7-unit code character set as defined by the American National Standard Code for Information Interchange (ASCII). An even parity bit is added to each character. Alphanumeric data must be transmitted in the order in which they are to be read. The serial transmission of a character must be with the lower order bit transmitted first and the parity bit transmitted last. The timing for alphanumeric auxiliary data must be as shown in Table 7c.
(3) Auxiliary Data A content: The data items specified in Table 8c are defined as follows:
(i) Approach azimuth antenna offset shall represent the minimum distance between the Approach Azimuth antenna phase center and the vertical plane containing the runway centerline.
(ii) Approach azimuth to MLS datum point distance shall represent the minimum distance between the Approach Azimuth antenna phase center and the vertical plane perpendicular to the centerline which contains the MLS datum point.
(iii) Approach azimuth alignment with runway centerline shall represent the minimum angle between the approach azimuth antenna zero-degree guidance plane and the runway certerline.
(iv) Approach azimuth antenna coordinate system shall represent the coordinate system (planar or conical) of the angle data transmitted by the approach azimuth antenna.
(v) Approach elevation antenna offset shall represent the minimum distance between the elevation antenna phase center and the vertical plane containing the runway centerline.
(vi) MLS datum point to threshold distance shall represent the distance measured along the runway centerline from the MLS datum point to the runway threshold.
(vii) Approach elevation antenna height shall represent the height of the elevation antenna phase center relative to the height of the MLS datum point.
(viii) DME offset shall represent the minimum distance between the DME antenna phase center and the vertical plane containing the runway centerline.
(ix) DME to MLS datum point distance shall represent the minimum distance between the DME antenna phase center and the vertical plane perpendicular to the centerline which contains the MLS datum point.
(x) Back azimuth antenna offset shall represent the minimum distance between the back azimuth antenna phase center and the vertical plane containing the runway centerline.
(xi) Back azimuth to MLS datum point distance shall represent the minimum distance between the Back Azimuth antenna and the vertical plane perpendicular to the centerline which contains the MLS datum point.
(xii) Back azimuth antenna alignment with runway centerline shall represent the minimum angle between the back azimuth antenna zero-degree guidance plane and the runway centerline.
This section prescribes the performance requirements for the azimuth equipment of the MLS as follows:
(a) Approach azimuth coverage requirements. The approach azimuth equipment must provide guidance information in at least the following volume of space (see Figure 9):
Table
| No. | I | I | I | I | I | I | I | I |
|---|---|---|---|---|---|---|---|---|
| 1. | 0 | 0 | 0 | 0 | 0 | 1 | 1 | 1 |
| 2. | 0 | 0 | 0 | 0 | 1 | 0 | 1 | 0 |
| 3. | 0 | 0 | 0 | 0 | 1 | 1 | 0 | 1 |
| 4. | 0 | 0 | 0 | 1 | 0 | 0 | 1 | 1 |
| 5. | 0 | 0 | 0 | 1 | 0 | 1 | 0 | 0 |
| 6. | 0 | 0 | 0 | 1 | 1 | 0 | 0 | 1 |
| 7. | 0 | 0 | 0 | 1 | 1 | 1 | 1 | 0 |
| 8. | 0 | 0 | 1 | 0 | 0 | 0 | 1 | 0 |
| 9. | 0 | 0 | 1 | 0 | 0 | 1 | 0 | 1 |
| 10. | 0 | 0 | 1 | 0 | 1 | 0 | 0 | 0 |
| 11. | 0 | 0 | 1 | 0 | 1 | 1 | 1 | 1 |
| 12. | 0 | 0 | 1 | 1 | 0 | 0 | 0 | 1 |
| 13. | 0 | 0 | 1 | 1 | 0 | 1 | 1 | 0 |
| 14. | 0 | 0 | 1 | 1 | 1 | 0 | 1 | 1 |
| 15. | 0 | 0 | 1 | 1 | 1 | 1 | 0 | 0 |
| 16. | 0 | 1 | 0 | 0 | 0 | 0 | 1 | 1 |
| 17. | 0 | 1 | 0 | 0 | 0 | 1 | 0 | 0 |
| 18. | 0 | 1 | 0 | 0 | 1 | 0 | 0 | 1 |
| 19. | 0 | 1 | 0 | 0 | 1 | 1 | 1 | 0 |
| 20. | 0 | 1 | 0 | 1 | 0 | 0 | 0 | 0 |
| 21. | 0 | 1 | 0 | 1 | 0 | 1 | 1 | 1 |
| 22. | 0 | 1 | 0 | 1 | 1 | 0 | 1 | 0 |
| 23. | 0 | 1 | 0 | 1 | 1 | 1 | 0 | 1 |
| 24. | 0 | 1 | 1 | 0 | 0 | 0 | 0 | 1 |
| 25. | 0 | 1 | 1 | 0 | 0 | 1 | 1 | 0 |
| 26. | 0 | 1 | 1 | 0 | 1 | 0 | 1 | 1 |
| 27. | 0 | 1 | 1 | 0 | 1 | 1 | 0 | 0 |
| 28. | 0 | 1 | 1 | 1 | 0 | 0 | 1 | 0 |
| 29. | 0 | 1 | 1 | 1 | 0 | 1 | 0 | 1 |
| 30. | 0 | 1 | 1 | 1 | 1 | 0 | 0 | 0 |
| 31. | 0 | 1 | 1 | 1 | 1 | 1 | 1 | 1 |
| 32. | 1 | 0 | 0 | 0 | 0 | 0 | 1 | 0 |
| 33. | 1 | 0 | 0 | 0 | 0 | 1 | 0 | 1 |
| 34. | 1 | 0 | 0 | 0 | 1 | 0 | 0 | 0 |
| 35. | 1 | 0 | 0 | 0 | 1 | 1 | 1 | 1 |
| 36. | 1 | 0 | 0 | 1 | 0 | 0 | 0 | 1 |
| 37. | 1 | 0 | 0 | 1 | 0 | 1 | 1 | 0 |
| 38. | 1 | 0 | 0 | 1 | 1 | 0 | 1 | 1 |
| 39. | 1 | 0 | 0 | 1 | 1 | 1 | 0 | 0 |
| 40. | 1 | 0 | 1 | 0 | 0 | 0 | 0 | 0 |
| 41. | 1 | 0 | 1 | 0 | 0 | 1 | 1 | 1 |
| 42. | 1 | 0 | 1 | 0 | 1 | 0 | 1 | 0 |
| 43. | 1 | 0 | 1 | 0 | 1 | 1 | 0 | 1 |
| 44. | 1 | 0 | 1 | 1 | 0 | 0 | 1 | 1 |
| 45. | 1 | 0 | 1 | 1 | 0 | 1 | 0 | 0 |
| 46. | 1 | 0 | 1 | 1 | 1 | 0 | 0 | 1 |
| 47. | 1 | 0 | 1 | 1 | 1 | 1 | 1 | 0 |
| 48. | 1 | 1 | 0 | 0 | 0 | 0 | 0 | 1 |
| 49. | 1 | 1 | 0 | 0 | 0 | 1 | 1 | 0 |
| 50. | 1 | 1 | 0 | 0 | 1 | 0 | 1 | 1 |
| 51. | 1 | 1 | 0 | 0 | 1 | 1 | 0 | 0 |
| 52. | 1 | 1 | 0 | 1 | 0 | 0 | 1 | 0 |
| 53. | 1 | 1 | 0 | 1 | 0 | 1 | 0 | 1 |
| 54. | 1 | 1 | 0 | 1 | 1 | 0 | 0 | 0 |
| 55. | 1 | 1 | 0 | 1 | 1 | 1 | 1 | 1 |
| 56. | 1 | 1 | 1 | 0 | 0 | 0 | 1 | 1 |
| 57. | 1 | 1 | 1 | 0 | 0 | 1 | 0 | 0 |
| 58. | 1 | 1 | 1 | 0 | 1 | 0 | 0 | 1 |
| 59. | 1 | 1 | 1 | 0 | 1 | 1 | 1 | 0 |
| 60. | 1 | 1 | 1 | 1 | 0 | 0 | 0 | 0 |
| 61. | 1 | 1 | 1 | 1 | 0 | 1 | 1 | 1 |
| 62. | 1 | 1 | 1 | 1 | 1 | 0 | 1 | 0 |
| 63. | 1 | 1 | 1 | 1 | 1 | 1 | 0 | 1 |
| 64. | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
Table 8c—Auxiliary Data
| Word (See note 6) | Data content | Type of data | Maximun time between transmissions (Seconds) | Bits used | Range of values | Least significant bit |
|---|---|---|---|---|---|---|
| A1 | Preamble | Digital | 1.0 | 12 | ||
| Address | 8 | |||||
| Approach azimuth antenna offset | 10 | −511 m to + 511 m (See note 3) | 1 m | |||
| Approach azimuth to MLS datum point distance | 13 | 0 m to 8 191 m | 1 m | |||
| Approach azimuth antenna alignment with runway centerline | 12 | −20.47° to 20.47° (See note 3) | 0.01° | |||
| Approach azimuth antenna coordinate system | 1 | (See note 2) | ||||
| Spare | 13 | |||||
| Parity | 7 | (See note 1) | ||||
| A2 | Preamble | Digital | 1.0 | 12 | ||
| Address | 8 | |||||
| Approach elevation antenna offset | 10 | −511 m to + 511 m (See note 3) | 1 m | |||
| MLS datum point to threshold distance | 10 | 0 m to 1 023 m | 1 m | |||
| Approach elevation antenna height | 7 | −6.3 m to + 6.3 m (See note 3) | 0.1 m | |||
| Spare | 22 | |||||
| Parity | 7 | (See note 1) | ||||
| A3 | Preamble | Digital | (See note 4) | 12 | ||
| Address | 8 | |||||
| DME offset | 10 | −511 m to + 511 m | 1 m | |||
| DME to MLS datum point distance | 14 | −8 191 m to + 8 191 m (See note 3) | 1 m | |||
| Spare | 25 | |||||
| Parity | 7 | (See note 1) | ||||
| A4 | Preamble | Digital | (See note 5) | 12 | ||
| Address | 8 | |||||
| Back azimuth antenna | 10 | −511 m to + 511 m (See note 3) | 1 m | |||
| Back azimuth to MLS datum point distance | 11 | 0 m to 2 047 m | 1 m | |||
| Back azimuth antenna alignment with runway centerline | 12 | −20.47° to 20.47° (See note 3) | 0.01° | |||
| Spare | 16 | |||||
| Parity | 7 | (See note 1) |
Parity bits I
Even = (I
Even = (I
Even = (I
Even = (I
Even = (I
Even = (I
Even = I
Code for I
The convention for the coding of negative numbers is as follows: − MSB is the sign bit; 0 = + ; 1 = −.
—Other bits represent the absolute value.
The convention for the antenna location is as follows: As viewed from the MLS approach reference datum looking toward the datum point, a positive number shall represent a location to the right of the runway centerline (lateral offset) or above the runway (vertical offset), or towards the stop end of the runway (longitudinal distance).
The convention for the antenna alignment is as follows: As viewed from above, a positive number shall represent clockwise rotation from the runway centerline to the respective zero-degree guidance plane.
Data Word A3 is transmitted at intervals of 1.0 seconds or less throughout the approach Azimuth coverage sector, except when back Azimuth guidance is provided. Where back Azimuth is provided transmit at intervals of 1.33 seconds or less throughout the approach Azimuth sector and 4.0 seconds or less throughout the back Azimuth coverage sector.
When back Azimuth guidance is provided, transmit at intervals of 1.33 seconds or less throughout the back Azimuth coverage sector and 4.0 seconds or less throughout the approach Azimuth coverage sector.
The designation “A1” represents the function identification code for “Auxiliary Data A” and address code number 1.
(1) Horizontally within a sector plus or minus 40 degrees about the runway centerline originating at the datum point and extending in the direction of the approach to 20 nautical miles from the runway threshold. The minimum proportional guidance sector must be plus or minus 10 degrees about the runway centerline. Clearance signals must be used to provide the balance of the required coverage, where the proportional sector is less than plus or minus 40 degrees. When intervening obstacles prevent full coverage, the ±40° guidance sector can be reduced as required. For systems providing ±60° lateral guidance the coverage requirement is reduced to 14 nm beyond ±40°.
(2) Vertically between:
(i) A conical surface originating 2.5 meters (8 feet) above the runway centerline at threshold inclined at 0.9 degree above the horizontal.
(ii) A conical surface originating at the azimuth ground equipment antenna inclined at 15 degrees above the horizontal to a height of 6,000 meters (20,000 feet).
(iii) Where intervening obstacles penetrate the lower surface, coverage need be provided only to the minimum line of sight.
(3) Runway region:
(i) Proportional guidance horizontally within a sector 45 meters (150 feet) each side of the runway centerline beginning at the stop end and extending parallel with the runway centerline in the direction of the approach to join the approach region. This requirement does not apply to offset azimuth installations.
(ii) Vertically between a horizontal surface which is 2.5 meters (8 feet) above the farthest point of runway centerline which is in line of sight of the azimuth antenna, and in a conical surface originating at the azimuth ground equipment antenna inclined at 20 degrees above the horizontal up to a height to 600 meters (2,000 feet). This requirement does not apply to offset azimuth installations.
(4) Within the approach azimuth coverage sector defined in paragraphs (a) (1), and (2) and (3) of this section, the power densities must not be less than those shown in Table 9 but the equipment design must also allow for:
(i) Transmitter power degradation from normal by −1.5 dB;
Table 9—Minimum Power Density Within Coverage Boundaries(dBW/m 2)
| Function | Data signals | Angle signals for various antenna beamwidths | Clearance signals | |||
|---|---|---|---|---|---|---|
| 1° | 1.5° | 2° | 3° | |||
| Approach azimuth | −89.5 | −88 | −85.5 | −82 | −88 | |
| High rate approach azimuth | −89.5 | −88 | −88 | −86.5 | −88 | |
| Back azimuth | −89.5 | −88 | −85.5 | −82 | −88 | |
| Approach elevation | −89.5 | −88 | −88 | −88 | ||
(ii) Rain loss of −2.2 dB at the longitudinal coverage extremes.
(b) Siting requirements. The approach azimuth antenna system must, except as allowed in paragraph (c) of this section:
(1) Be located on the extension of the centerline of the runway beyond the stop end;
(2) Be adjusted so that the zero degree azimuth plane will be a vertical plane which contains the centerline of the runway served;
(3) Have the minimum height necessary to comply with the coverage requirements prescribed in paragraph (a) of this section;
(4) Be located at a distance from the stop end of the runway that is consistent with safe obstruction clearance practices;
(5) Not obscure any light of an approach lighting system; and
(6) Be installed on frangible mounts or beyond the 300 meter (1,000 feet) light bar.
(c) On runways where limited terrain prevents the azimuth antenna from being positioned on the runway centerline extended, and the cost of the land fill or a tall tower antenna support is prohibitive, the azimuth antenna may be offset.
(d) Antenna coordinates. The scanning beams transmitted by the approach azimuth equipment within ±40° of the centerline may be either conical or planar.
(e) Approach azimuth accuracy. (1) The system and subsystem errors shall not exceed those listed in Table 10 at the approach reference datum.
At the approach reference datum, temporal sinusoidal noise components shall not exceed 0.025 degree peak in the frequency band 0.01 Hz to 1.6 Hz, and the CMN shall not exceed 0.10 degree. From the approach reference datum to the coverage limit, the PFE, PFN and CMN limits, expressed in angular terms, shall be allowed to linearly increase as follows:
(i) With distance along the runway centerline extended, by a factor of 1.2 for the PFE and PFN limits and to ±0.10 degree for the CMN limits.
(ii) With azimuth angle, by a factor of 1.5 at the ±40 degree and a factor of 2.0 at the ±60 degree azimuth angles for the PFE, PFN and CMN limits.
(iii) With elevation angle from + 9 degrees to + 15 degrees, by a factor of 1.5 for the PFE and PFN limits.
(iv) Maximum angular limits. The PFE limits shall not exceed ±0.25 degree in any coverage region below an elevation angle of + 9 degrees nor exceed ±0.50 degree in any coverage region above that elevation angle. The CMN limits shall not exceed ±0.10 degree in any coverage region within ±10 degrees of runway centerline extended nor exceed ±0.20 degree in any other region within coverage.
It is desirable that the CMN not exceed ±0.10 degree throughout the coverage.
(f) Approach azimuth antenna characteristics are as follows:
(1) Drift. Any azimuth angle as encoded by the scanning beam at any point within the proportional coverage must not vary more than ±0.07 degree over the range of service conditions specified in § 171.309(d) without the use of internal environmental controls. Multipath effects are excluded from this requirement.
(2) Beam pointing errors. The azimuth angle as encoded by the scanning beam at any point within ±0.5 degree of the zero degree azimuth must not deviate from the true azimuth angle at that point by more than ±.05 degree. Multipath and drift effects are excluded from this requirement.
Table 10—Approach Azimuth Accuracies at the Approach Reference Datum
| Error type | System | Angular error (degrees) | |
|---|---|---|---|
| Ground subsystem | Airborne subsystem | ||
| PFE | ±20 ft. (6.1m) 1 2 | ±0.118° 3 | ±0.017° |
| CMN | ±10.5 ft. (3.2m) 1 2 4 | ±0.030° | ±0.050° |
Notes:
1 Includes errors due to ground and airborne equipment and propagation effects.
2 The system PFN component must not exceed ±3.5 meters (11.5 feet).
3 The mean (bias) error component contributed by the ground equipment should not exceed ±10 feet.
4 The system control motion noise must not exceed 0.1 degree.
5 The airborne subsystem angular errors are provided for information only.
(3) Antenna alignment. The antenna must be equipped with suitable optical, electrical or mechanical means or any combination of the three, to bring the zero degree azimuth radial into coincidence with the approach reference datum (for centerline siting) with a maximum error of 0.02 degree. Additionally, the azimuth antenna bias adjustment must be electronically steerable at least to the monitor limits in steps not greater than 0.005 degree.
(4) Antenna far field patterns in the plane of scan. On boresight, the azimuth antenna mainlobe pattern must conform to Figure 10, and the beamwidth must be such that, in the installed environment, no significant lateral reflections of the mainlobe exist along the approach course. In any case the beamwidth must not exceed three degrees. Anywhere within coverage the −3 dB width of the antenna mainlobe, while scanning normally, must not be less than 25 microseconds (0.5 degree) or greater than 250 microseconds (5 degrees). The antenna mainlobe may be allowed to broaden from the value at boresight by a factor of 1/cosθ, where θ is the angle off boresight. The sidelobe levels must be as follows:
(i) Dynamic sidelobe levels. With the antenna scanning normally, the dynamic sidelobe level that is detected by a receiver at any point within the proportional coverage sector must be down at least 10 dB from the peak of the main beam. Outside the coverage sector, the radiation from the scanning beam antenna must be of such a nature that receiver warning will not be removed or suitable OCI signals must be provided.
(ii) Effective sidelobe levels. With the antenna scanning normally, the sidelobe levels in the plane of scan must be such that, in the installed environment, the CMN contributed by sidelobe reflections will not exceed the angular equivalent of 9 feet at approach reference datum over the required range of aircraft approach speeds.
(5) Antenna far field pattern in the vertical plane. The azimuth antenna free space radiation pattern below the horizon must have a slope of at least −8 dB/degree at the horizon and all sidelobes below the horizon must be at least 13 dB below the pattern peak. The antenna radiation pattern above the horizon must satisfy both the system coverage requirements and the spurious radiation requirement.
(6) Data antenna. The data antenna must have horizontal and vertical patterns as required for its function.
(g) Back azimuth coverage requirements. The back azimuth equipment where used must provide guidance information in at least the following volume of space (see Figure 11):
(1) Horizontally within a sector ±40 degrees about the runway centerline originating at the back azimuth ground equipment antenna and extending in the direction of the missed approach at least to 20 nautical miles from the runway stop end. The minimum proportional guidance sector must be ±10 degrees about the runway centerline. Clearance signals must be used to provide the balance of the required coverage where the proportional sector is less than ±40 degrees.
(2) Vertically in the runway region between:
(i) A horizontal surface 2.5 meters (8 feet) above the farthest point of runway centerline which is in line of sight of the azimuth antenna, and,
(ii) A conical surface originating at the azimuth ground equipment antenna inclined at 20 degrees above the horizontal up to a height of 600 meters (2000 feet).
(3) Vertically in the back azimuth region between:
(i) A conical surface originating 2.5 meters (8 feet) above the runway stop end, included at 0.9 degree above the horizontal, and,
(ii) A conical surface orginating at the missed approach azimuth ground equipment antenna, inclined at 15 degrees above the horizontal up to a height of 1500 meters (5000 feet).
(iii) Where obstacles penetrate the lower coverage limits, coverage need be provided only to minimum line of sight.
(4) Within the back azimuth coverage sector defined in paragraph (q) (1), (2), and (3) of this section the power densities must not be less than those shown in Table 9, but the equipment design must also allow for:
(i) Transmitter power degradation from normal −1.5 dB.
(ii) Rain loss of −2.2 dB at the longitudinal coverage extremes.
(h) Back azimuth siting. The back azimuth equipment antenna must:
(1) Normally be located on the extension of the runway centerline at the threshold end;
(2) Be adjusted so that the vertical plane containing the zero degree course line contains the back azimuth reference datum;
(3) Have minimum height necessary to comply with the course requirements prescribed in paragraph (g) of this section;
(4) Be located at a distance from the threshold end that is consistent with safe obstruction clearance practices;
(5) Not obscure any light of an approach lighting system; and
(6) Be installed on frangible mounts or beyond the 300 meter (1000 feet) light bar.
(i) Back azimuth antenna coordinates. The scanning beams transmitted by the back azimuth equipment may be either conical or planar.
(j) Back azimuth accuracy. The requirements specified in § 171.313(e) apply except that the reference point is the back azimuth reference datum.
(k) Back azimuth antenna characteristics. The requirements specified in § 171.313(f) apply.
(l) Scanning conventions. Figure 12 shows the approach azimuth and back azimuth scanning conventions.
(m) False guidance. False courses which can be acquired and tracked by an aircraft shall not exist anywhere either inside or outside of the MLS coverage sector. False courses which exist outside of the minimum coverage sector may be suppressed by the use of OCI.
False courses may be due to (but not limited to) MLS airborne receiver acquisition of the following types of false guidance: reflections of the scanning beam, scanning beam antenna sidelobes and grating lobes, and incorrect clearance.
(a) The approach azimuth or back azimuth monitor system must cause the radiation to cease and a warning must be provided at the designated control point if any of the following conditions persist for longer than the periods specified:
(1) There is a change in the ground equipment contribution to the mean course error component such that the path following error at the reference datum or in the direction of any azimuth radial, exceeds the limits specified in §§ 171.313(e)(1) or 171.313(j) for a period of more than one second.
The above requirement and the requirement to limit the ground equipment mean error to ±10 ft. can be satisfied by the following procedure. The integral monitor alarm limit should be set to the angular equivalent of ±10 ft. at the approach reference datum. This will limit the electrical component of the mean course error to ±10 ft. The field monitor alarm limit should be set such that with the mean course error at the alarm limit the total allowed PFE is not exceeded on any commissioned approach course from the limit of coverage to an altitude of 100 feet.
(2) There are errors in two consecutive transmissions of Basic Data Words 1, 2, 4 or 5.
(3) There is a reduction in the radiated power to a level not less than that specified in §§ 171.313(a)(4) or 171.313(g)(4) for a period of more than one second.
(4) There is an error in the preamble DPSK transmissions which occurs more than once in any one second period.
(5) There is an error in the time division multiplex synchronization of a particular azimuth function that the requirement specified in § 171.311(e) is not satisfied and if this condition persists for more than one second.
(6) A failure of the monitor is detected.
(b) Radiation of the following fuctions must cease and a warning provided at the designated control point if there are errors in 2 consecutive transmissions:
(1) Morse Code Identification,
(2) Basic Data Words 3 and 6,
(3) Auxiliary Data Words.
(c) The period during which erroneous guidance information is radiated must not exceed the periods specified in § 171.315(a). If the fault is not cleared within the time allowed, the ground equipment must be shut down. After shutdown, no attempt must be made to restore service until a period of 20 seconds has elapsed.
This section prescribes the performance requirements for the elevation equipment components of the MLS as follows:
(a) Elevation coverage requirements. The approach elevation facility must provide proportional guidance information in at least the following volume of space (see Figure 13):
(1) Laterally within a sector originating at the datum point which is at least equal to the proportional guidance sector provided by the approach azimuth ground equipment.
(2) Longitudinally from 75 meters (250 feet) from the datum point to 20 nautical miles from threshold in the direction of the approach.
(3) Vertically within the sector bounded by:
(i) A surface which is the locus of points 2.5 meters (8 feet) above the runway surface;
(ii) A conical surface originating at the datum point and inclined 0.9 degree above the horizontal and,
(iii) A conical surface originating at the datum point and inclined at 15.0 degrees above the horizontal up to a height of 6000 meters (20,000 feet).
(4) Within the elevation coverage sector defined in paragraphs (a) (1), (2) and (3) of this section, the power densities must not be less than those shown in Table 9, but the equipment design must also allow for:
(i) Transmitter power degradation from normal by −1.5 dB.
(ii) Rain loss of −2.2 dB at the coverage extremes.
(b) Elevation siting requirements. The Elevation Antenna System must:
(1) Be located as close to runway centerline as possible (without violating obstacle clearance criteria).
(2) Be located near runway threshold such that the asymptote of the minimum glidepath crosses the threshold of the runway at the Approach Reference Datum height. Normally, the minimum glidepath should be 3 degrees and the Approach Reference Datum height should be 50 feet. However, there are circumstances where other glideslopes and reference datum heights are appropriate. Some of these instances are discussed in FAA Order 8260.34 (Glide Slope Threshold Crossing Height Requirements) and Order 8260.3 (IFR Approval of MLS.)
(3) Be located such that the MLS Approach Reference Datum and ILS Reference Datum heights are coincident within a tolerance of 3 feet when MLS is installed on a runway already served by an ILS. This requirement applies only if the ILS glide slope is sited such that the height of the reference datum meets the requirements of FAA Order 8260.34.
(c) Antenna coordinates. The scanning beams transmitted by the elevation subsystem must be conical.
(d) Elevation accuracy. (1) The accuracies shown in Table 13 are required at the approach reference datum. From the approach reference datum to the coverage limit, the PFE, PFN and CMN limits shall be allowed to linearly increase as follows:
(i) With distance along the runway centerline extended at the minimum glide path angle, by a factor of 1.2 for the PFE and PFN limits and to ±0.10 degree for the CMN limits;
(ii) With azimuth angle, from runway centerline extended to the coverage extreme, by a factor of 1.2 for the PFE and PFN limits and by a factor of 2.0 for the CMN limits;
(iii) With increasing elevation angles from + 3 degrees to + 15 degrees, by a factor of 2.0 for the PFE and PFN limits;
Table 13—Elevation Accuracies at the Approach Reference Datum
| Error type | System | Angular error (degrees) | |
|---|---|---|---|
| Ground subsystem | Airborne subsystem 4 | ||
| PFE | 1 2 ±0.133 | ( 3) | ±0.017 |
| CMN | 1±0.050 | ±0.020 | ±0.010 |
Notes:
1 Includes errors due to ground and airborne equipment and propagation effects.
2 The system PFN component must not exceed ±0.087 degree.
3 The mean (bias) error component contributed by the ground equipment should not exceed ±0.067 degree.
4 The airborne subsystem angular errors are provided for information only.
(iv) With decreasing elevation angle from + 3 degrees (or 60% of the minimum glide path angle, whichever is less) to the coverage extreme, by a factor of 3 for the PFE, PFN and CMN limits; and
(v) Maximum angular limits. the CMN limits shall not exceed ±0.10 degree in any coverage region within ±10 degrees laterally of runway centerline extended which is above the elevation angle specified in (iv) above.
It is desirable that the CMN not exceed ±0.10 degree throughout the coverage region above the elevation angle specified in paragraph (d)(1)(iv) of this section.
(2) The system and ground subsystem accuracies shown in Table 13 are to be demonstrated at commissioning as maximum error limits. Subsequent to commissioning, the accuracies are to be considered at 95% probability limits.
(e) Elevation antenna characteristics are as follows:
(1) Drift. Any elevation angle as encoded by the scanning beam at any point within the coverage sector must not vary more than 0.04 degree over the range of service conditions specified in § 171.309(d) without the use of internal environmental controls. Multipath effects are excluded from this requirement.
(2) Beam pointing errors. The elevation angle as encoded by the scanning beam at any point within the coverage sector must not deviate from the true elevation angle at that point by more than ±0.04 degree for elevation angles from 2.5° to 3.5°. Above 3.5° these errors may linearly increase to ±0.1 degree at 7.5°. Multipath and drift effects are excluded from this requirement.
(3) Antenna alignment. The antenna must be equipped with suitable optical, electrical, or mechanical means or any combination of the three, to align the lowest operationally required glidepath to the true glidepath angle with a maximum error of 0.01 degree. Additionally, the elevation antenna bias adjustment must be electronically steerable at least to the monitor limits in steps not greater than 0.005 degrees.
(4) Antenna far field patterns in the plane of scan. On the lowest operationally required glidepath, the antenna mainlobe pattern must conform to Figure 10, and the beamwidth must be such that in the installed environment, no significant ground reflections of the mainlobe exist. In any case, the beamwidth must not exceed 2 degrees. The antenna mainlobe may be allowed to broaden from the value at boresight by a factor of 1/cosθ, where θ is the angle of boresight. Anywhere within coverage, the −3 dB width of the antenna mainlobe, while scanning normally, must not be less than 25 microseconds (0.5 degrees) or greater than 250 microseconds (5 degrees). The sidelobe levels must be as follows:
(i) Dynamic sidelobe levels. With the antenna scanning normally, the dynamic sidelobe level that is detected by a receiver at any point within the proportional coverage sector must be down at least 10 dB from the peak of the mainlobe. Outside the proportional coverage sector, the radiation from the scanning beam antenna must be of such a nature that receiver warnings will not be removed or a suitable OCI signal must be provided.
(ii) Effective sidelobe levels. With the antenna scanning normally, the sidelobe levels in the plane of scan must be such that, when reflected from the ground, the resultant PFE along any glidepath does not exceed 0.083 degrees.
(5) Antenna far field pattern in the horizontal plane. The horizontal pattern of the antenna must gradually de-emphasize the signal away from antenna boresight. Typically, the horizontal pattern should be reduced by at least 3 dB at 20 degrees off boresight and by at least 6 dB at 40 degrees off boresight. Depending on the actual multipath conditions, the horizontal radiation patterns may require more or less de-emphasis.
(6) Data antenna. The data antenna must have horizontal and vertical patterns as required for its function.
(f) False guidance. False courses which can be acquired and tracked by an aircraft shall not exist anywhere either inside or outside of the MLS coverage sector. False courses which exist outside of the minimum coverage sector may be suppressed by the use of OCI.
False courses may be due to (but not limited to) MLS airborne receiver acquisition of the following types of false guidance: reflections of the scanning beam and scanning beam antenna sidelobes and grating lobes.
(a) The monitor system must act to ensure that any of the following conditions do not persist for longer than the periods specified when:
(1) There is a change in the ground component contribution to the mean glidepath error component such that the path following error on any glidepath exceeds the limits specified in § 171.317(d) for a period of more than one second.
The above requirement and the requirement to limit the ground equipment mean error to ±0.067 degree can be satisfied by the following procedure. The integral monitor alarm limit should be set to ±0.067 degree. This will limit the electrical component of mean glidepath error to ±0.067 degree. The field monitor alarm limit should be set such that with the mean glidepath error at the alarm limit the total allowed PFE is not exceeded on any commissioned glidepath from the limit of coverage to an altitude of 100 feet.
(2) There is a reduction in the radiated power to a level not less than that specified in § 171.317(a)(4) for a period of more than one second.
(3) There is an error in the preamble DPSK transmission which occurs more than once in any one second period.
(4) There is an error in the time division multiplex synchronization of a particular elevation function such that the requirement specified in § 171.311(e) is not satisfied and this condition persists for more than one second.
(5) A failure of the monitor is detected.
(b) The period during which erroneous guidance information is radiated must not exceed the periods specified in § 171.319(a). If the fault is not cleared within the time allowed, radiation shall cease. After shutdown, no attempt must be made to restore service until a period of 20 seconds has elapsed.
(a) The DME equipment must meet the performance requirements prescribed in subpart G of the part. This subpart imposes requirements that performance features must comply with International Standards and Recommended Practices, Aeronautical Telecommunications, Vol. I of Annex 10 to ICAO. It is available from ICAO, Aviation Building, 1080 University Street, Montreal 101, Quebec, Canada, Attention: Distribution Officer and also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(b) MLS marker beacon equipment must meet the performance requirements prescribed in subpart H of this part. This subpart imposes requirements that performance features must comply with International Standards and Recommended Practices, Aeronautical Telecommuncations, Vol. I of Annex 10 to ICAO.
(a) The MLS facility must be permanent and must be located, constructed, and installed in accordance with best commercial engineering practices, using applicable electric and safety codes and Federal Communications Commission (FCC) licensing requirements and siting requirements of §§ 171.313(b) and 171.317(b).
(b) The MLS facility components must utilize solid state technology except that traveling wave tube amplifiers (TWTA) may be used. A maximum level of common modularity must be provided along with diagnostics to facilitate maintenance and troubleshooting.
(c) An approved monitoring capability must be provided which indicates the status of the equipment at the site and at a remotely located maintenance area, with monitor capability that provides pre-alarm of impending system failures. This monitoring feature must be capable of transmitting the status and pre-alarm over standard phone lines to a remote section. In the event the sponsor requests the FAA to assume ownership of the facility, the monitoring feature must also be capable of interfacing with FAA remote monitoring requirements. This requirement may be complied with by the addition of optional software and/or hardware in space provided in the original equipment.
(d) The mean corrective maintenance time of the MLS equipment must be equal to or less than 0.5 hours with a maximum corrective maintenance time not to exceed 1.5 hours. This measure applies to correction of unscheduled failures of the monitor, transmitter and associated antenna assemblies, limited to unscheduled outage and out of tolerance conditions.
(e) The mean-time-between-failures of the MLS angle system must not be less than 1,500 hours. This measure applies to unscheduled outage, out-of-tolerance conditions, and failures of the monitor, transmitter, and associated antenna assemblies.
(f) The MLS facility must have a reliable source of suitable primary power, either from a power distribution system or locally generated. Adequate power capacity must be provided for the operation of the MLS as well as the test and working equipment of the MLS.
(g) The MLS facility must have a continuously engaged or floating battery power source for the continued normal operation of the ground station operation if the primary power fails. A trickle charge must be supplied to recharge the batteries during the period of available primary power. Upon loss and subsequent restoration of power, the battery must be restored to full charge within 24 hours. When primary power is applied, the state of the battery charge must not affect the operation of the MLS ground station. The battery must allow continuation of normal operation of the MLS facility for at least 2 hours without the use of additional sources of power. When the system is operating from the battery supply without prime power, the radome deicers and the environmental system need not operate. The equipment must meet all specification requirements with or without batteries installed.
(h) There must be a means for determining, from the ground, the performance of the system including antenna, both initially and periodically.
(i) The facility must have, or be supplemented by, ground, air, or landline communications services. At facilities within or immediately adjacent to controlled airspace, that are intended for use as instrument approach aids for an airport, there must be ground air communications or reliable communications (at least a landline telephone) from the airport to the nearest FAA air traffic control or communication facility. Compliance with this paragraph need not be shown at airports where an adjacent FAA facility can communicate with aircraft on the ground at the airport and during the entire proposed instrument approach procedure. In addition, at low traffic density airports within or immediately adjacent to controlled airspace, and where extensive delays are not a factor, the requirements of this paragraph may be reduced to reliable communications from the airport to the nearest FAA air traffic control or communications facility. If the adjacent FAA facility can communicate with aircraft during the proposed instrument approach procedure down to the airport surface or at least down to the minimum en route altitude, this would require at least a landline telephone.
(j) The location of the phase center for all antennas must be clearly marked on the antenna enclosures.
(k) The latitude, longitude and mean sea level elevation of all MLS antennas, runway threshold and runway stop end must be determined by survey with an accuracy of ±3 meters (±10 feet) laterally and ±0.3 meter (±1.0 foot) vertically. The relative lateral and vertical offsets of all antenna phase centers, and both runway ends must be determined with an accuracy of ±0.3 meter (±1.0 foot) laterally and ±0.03 meter (±0.1 foot) vertically. The owner must bear all costs of the survey. The results of this survey must be included in the “operations and maintenance” manual required by section 171.325 of this subpart and will be noted on FAA Form 198 required by § 171.327.
(a) The owner of the facility must establish an adequate maintenance system and provide MLS qualified maintenance personnel to maintain the facility at the level attained at the time it was commissioned. Each person who maintains a facility must meet the FCC licensing requirements and demonstrate that he has the special knowledge and skills needed to maintain an MLS facility, including proficiency in maintenance procedures and the use of specialized test equipment.
(b) In the event of out-of-tolerance conditions or malfunctions, as evidenced by receiving two successive pilot reports, the owner must close the facility by encasing radiation, and issue a “Notice to Airmen” (NOTAM) that the facility is out of service.
(c) The owner must prepare, and obtain approval of, an operations and maintenance manual that sets forth mandatory procedures for operations, periodic maintenance, and emergency maintenance, including instructions on each of the following:
(1) Physical security of the facility.
(2) Maintenance and operations by authorized persons.
(3) FCC licensing requirements for operations and maintenance personnel.
(4) Posting of licenses and signs.
(5) Relations between the facility and FAA air traffic control facilities, with a description of the boundaries of controlled airspace over or near the facility, instructions for relaying air traffic control instructions and information, if applicable, and instructions for the operation of an air traffic advisory service if the facility is located outside of controlled airspace.
(6) Notice to the Administrator of any suspension of service.
(7) Detailed and specific maintenance procedures and servicing guides stating the frequency of servicing.
(8) Air-ground communications, if provided, expressly written or incorporating appropriate sections of FAA manuals by reference.
(9) Keeping the station logs and other technical reports, and the submission of reports required by § 171.327.
(10) Monitoring of the MLS facility.
(11) Inspections by United States personnel.
(12) Names, addresses, and telephone numbers of persons to be notified in an emergency.
(13) Shutdowns for periodic maintenance and issuing of NOTAM for routine or emergency shutdowns.
(14) Commissioning of the MLS facility.
(15) An acceptable procedure for amending or revising the manual.
(16) An explanation of the kinds of activities (such as construction or grading) in the vicinity of the MLS facility that may require shutdown or recertification of the MLS facility by FAA flight check.
(17) Procedures for conducting a ground check of the azimuth and elevation alignment.
(18) The following information concerning the MLS facility:
(i) Facility component locations with respect to airport layout, instrument runways, and similar areas.
(ii) The type, make and model of the basic radio equipment that provides the service including required test equipment.
(iii) The station power emission, channel, and frequency of the azimuth, elevation, DME, marker beacon, and associated compass locators, if any.
(iv) The hours of operation.
(v) Station identification call letters and method of station identification and the time spacing of the identification.
(vi) A description of the critical parts that may not be changed, adjusted, or repaired without an FAA flight check to confirm published operations.
(d) The owner or his maintenance representative must make a ground check of the MLS facility periodically in accordance with procedures approved by the FAA at the time of commissioning, and must report the results of the checks as provided in § 171.327.
(e) The only modifications permitted are those that are submitted to FAA for approval by the MLS equipment manufacturer. The owner or sponsor of the facility must incorporate these modifications in the MLS equipment. Associated changes must also be made to the operations and maintenance manual required in paragraph (c) of this section. This and all other corrections and additions to this operations and maintenance manual must also be submitted to FAA for approval.
(f) The owner or the owner's maintenance representative must participate in inspections made by the FAA.
(g) The owner must ensure the availability of a sufficient stock of spare parts, including solid state components, or modules to make possible the prompt replacement of components or modules that fail or deteriorate in service.
(h) FAA approved test instruments must be used for maintenance of the MLS facility.
(i) Inspection consists of an examination of the MLS equipment to ensure that unsafe operating conditions do not exist.
(j) Monitoring of the MLS radiated signal must ensure a high degree of integrity and minimize the requirements for ground and flight inspection. The monitor must be checked daily during the in-service test evaluation period (96 hour burn in) for calibration and stability. These tests and ground checks or azimuth, elevation, DME, and marker beacon radiation characteristics must be conducted in accordance with the maintenance requirements of this section.
The owner of the MLS facility or his maintenance representative must submit the following operational records at the indicated time to the appropriate FAA regional office where the facility is located.
(a) Facility Equipment Performance & Adjustment Data (FAA Form 198). The FAA Form 198 shall be filled out by the owner or his maintenance representative with the equipment adjustments and meter readings as of the time of facility commissioning. One copy must be kept in the permanent records of the facility and two copies must be sent to the appropriate FAA regional office. The owner or his maintenance representative must revise the FAA Form 198 data after any major repair, modernization, or retuning to reflect an accurate record of facility operation and adjustment.
(b) Facility Maintenance Log (FAA Form 6030-1). FAA Form 6030-1 is permanent record of all the activities required to maintain the MLS facility. The entries must include all malfunctions met in maintaining the facility including information on the kind of work and adjustments made, equipment failures, causes (if determined) and corrective action taken. In addition, the entries must include completion of periodic maintenance required to maintain the facility. The owner or his maintenance representative must keep the original of each form at the facility and send a copy to the appropriate FAA regional office at the end of each month in which it is prepared. However, where an FAA approved remote monitoring system is installed which precludes the need for periodic maintenance visits to the facility, monthly reports from the remote monitoring system control point must be forwarded to the appropriate FAA regional office, and a hard copy retained at the control point.
(c) Technical Performance Record (FAA Form 6830 (formerly FAA Form 418)). This form contains a record of system parameters as specified in the manufacturer's equipment manual. This data will be recorded on each scheduled visit to the facility. The owner or his maintenance representative shall keep the original of each record at the facility and send a copy of the form to the appropriate FAA regional office.
This part describes the requirements for designating private persons to act as representatives of the Administrator in examining, inspecting, and testing persons and aircraft for the purpose of issuing airman, operating, and aircraft certificates. In addition, this part states the privileges of those representatives and prescribes rules for the exercising of those privileges, as follows:
(a) An individual may be designated as a representative of the Administrator under subparts B or C of this part.
(b) An organization may be designated as a representative of the Administrator by obtaining an Organization Designation Authorization under subpart D of this part.
(a) The Federal Air Surgeon, or his or her authorized representatives within the FAA, may select Aviation Medical Examiners from qualified physicians who apply. In addition, the Federal Air Surgeon may designate qualified forensic pathologists to assist in the medical investigation of aircraft accidents.
(b) Any local Flight Standards Inspector may select a pilot examiner, technical personnel examiner, or a designated aircraft maintenance inspector whenever he determines there is a need for one.
(c)(1) The Aircraft Certification Service may select Designated Engineering Representatives from qualified persons who apply by a letter accompanied by a “Statement of Qualifications of Designated Engineering Representative.”
(2) The Aircraft Certification Service may select Designated Manufacturing Inspection Representatives from qualified persons who apply by a letter accompanied by a “Statement of Qualifications of Designated Manufacturing Inspection Representative.”
(d) The Associate Administrator for Aviation Safety, may select Designated Air Traffic Control Tower Operator Examiners.
(e) The Aircraft Certification Service may select Designated Airworthiness Representatives from qualified persons who apply by a letter accompanied by a “Statement of Qualifications of Designated Airworthiness Representative.”
(a) A “Certificate of Designation” and an appropriate Identification Card is issued to each Aviation Medical Examiner and to each forensic pathologist designated under § 183.11(a).
(b) A “Certificate of Authority” specifying the kinds of designation for which the person concerned is qualified and stating an expiration date is issued to each Flight Standards Designated Representative, along with a “Certificate of Designation” for display purposes, designating the holder as a Flight Standards Representative and specifying the kind of designation for which he is qualified.
(c) A “Certificate of Authority,” stating the specific functions which the person concerned is authorized to perform and stating an expiration date, is issued to each Designated Airworthiness Representative, along with a “Certificate of Designation” for display purposes.
(a) Unless sooner terminated under paragraph (b) of this section, a designation as an Aviation Medical Examiner or as a Flight Standards or Aircraft Certification Service Designated Representative as described in §§ 183.21, 183.23, 183.25, 183.27, 183.29, 183.31, or 183.33 is effective until the expiration date shown on the document granting the authorization.
(b) A designation made under this subpart terminates:
(1) Upon the written request of the representative;
(2) Upon the written request of the employer in any case in which the recommendation of the employer is required for the designation;
(3) Upon the representative being separated from the employment of the employer who recommended him or her for certification;
(4) Upon a finding by the Administrator that the representative has not properly performed his or her duties under the designation;
(5) Upon the assistance of the representative being no longer needed by the Administrator; or
(6) For any reason the Administrator considers appropriate.
Each representative designated under this part shall make such reports as are prescribed by the Administrator.
An Aviation Medical Examiner may—
(a) Accept applications for physical examinations necessary for issuing medical certificates under part 67 of this chapter;
(b) Under the general supervision of the Federal Air Surgeon or the appropriate senior regional flight surgeon, conduct those physical examinations;
(c) Issue or deny medical certificates in accordance with part 67 of this chapter, subject to reconsideration by the Federal Air Surgeon or his or her authorized representatives within the FAA; and
(d) [Reserved]
(e) As requested, participate in investigating aircraft accidents.
Any pilot examiner, instrument rating examiner, or airline transport pilot examiner may—
(a) As authorized in his designation, accept applications for flight tests necessary for issuing pilot certificates and ratings under this chapter;
(b) Under the general supervision of the appropriate local Flight Standards Inspector, conduct those tests;
(c) In the discretion of the appropriate local Flight Standards Inspector, issue temporary pilot certificates and ratings to qualified applicants; and
(d) Accept an application for a remote pilot certificate with a small UAS rating and verify the identity of the applicant in a form and manner acceptable to the Administrator.
(a) A designated mechanic examiner (DME) (airframe and power plant) may—
(1) Accept applications for, and conduct, mechanic, oral and practical tests necessary for issuing mechanic certificates under part 65 of this chapter; and
(2) In the discretion of the appropriate local Flight Standards Inspector, issue temporary mechanic certificates to qualified applicants.
(b) A designated parachute rigger examiner (DPRE) may—
(1) Accept applications for, and conduct, oral and practical tests necessary for issuing parachute rigger certificates under part 65 of this chapter; and
(2) In the discretion of the appropriate local Flight Standards Inspector, issue temporary parachute rigger certificates to qualified applicants.
(c) A designated air traffic control tower operator examiner may—
(1) Accept applications for, and conduct, written and practical tests necessary for issuing control tower operator certificates under part 65 of this chapter; and
(2) In the discretion of the Associate Administrator for Aviation Safety issue temporary control tower operator certificates to qualified applicants.
(d) A designated flight engineer examiner (DFEE) may—
(1) Accept applications for, and conduct, oral and practical tests necessary for issuing flight engineer certificates under part 63 of this chapter; and
(2) In the discretion of the appropriate local Flight Standards Inspector, issue temporary flight engineer certificates to qualified applicants.
(e) A designated flight navigator examiner (DFNE) may—
(1) Accept applications for, and conduct, oral and practical tests necessary for issuing flight navigator certificates under part 63 of this chapter; and
(2) In the discretion of the appropriate local Flight Standards Inspector, issue temporary flight navigator certificates to qualified applicants.
(f) A designated aircraft dispatcher examiner (DADE) may—
(1) Accept applications for, and conduct, written and practical tests necessary for issuing aircraft dispatcher certificates under part 65 of this chapter; and
(2) In the discretion of the appropriate local Flight Standards Inspector, issue temporary aircraft dispatcher certificates to qualified applicants.
A designated aircraft maintenance inspector (DAMI) may approve maintenance on civil aircraft used by United States military flying clubs in foreign countries.
(a) A structural engineering representative may approve structural engineering information and other structural considerations within limits prescribed by and under the general supervision of the Administrator, whenever the representative determines that information and other structural considerations comply with the applicable regulations of this chapter.
(b) A power plant engineering representative may approve information relating to power plant installations within limitations prescribed by and under the general supervision of the Administrator whenever the representative determines that information complies with the applicable regulations of this chapter.
(c) A systems and equipment engineering representative may approve engineering information relating to equipment and systems, other than those of a structural, powerplant, or radio nature, within limits prescribed by and under the general supervision of the Administrator, whenever the representative determines that information complies with the applicable regulations of this chapter.
(d) A radio engineering representative may approve engineering information relating to the design and operating characteristics of radio equipment, within limits prescribed by and under the general supervision of the Administrator whenever the representative determines that information complies with the applicable regulations of this chapter.
(e) An engine engineering representative may approve engineering information relating to engine design, operation and service, within limits prescribed by and under the general supervision of the Administrator, whenever the representative determines that information complies with the applicable regulations of this chapter.
(f) A propeller engineering representative may approve engineering information relating to propeller design, operation, and maintenance, within limits prescribed by and under the general supervision of the Administrator whenever the representative determines that information complies with the applicable regulations of this chapter.
(g) A flight analyst representative may approve flight test information, within limits prescribed by and under the general supervision of the Administrator, whenever the representative determines that information complies with the applicable regulations of this chapter.
(h) A flight test pilot representative may make flight tests, and prepare and approve flight test information relating to compliance with the regulations of this chapter, within limits prescribed by and under the general supervision of the Administrator.
(i) An acoustical engineering representative may witness and approve aircraft noise certification tests and approve measured noise data and evaluated noise data analyses, within the limits prescribed by, and under the general supervision of, the Administrator, whenever the representative determines that the noise test, test data, and associated analyses are in conformity with the applicable regulations of this chapter. Those regulations include, where appropriate, the methodologies and any equivalencies previously approved by the Director of Environment and Energy, for that noise test series. No designated acoustical engineering representative may determine that a type design change is not an acoustical change, or approve equivalencies to prescribed noise procedures or standards.
A designated manufacturing inspection representative (DMIR) may, within limits prescribed by, and under the general supervision of, the Administrator, do the following:
(a) Issue—
(1) Original airworthiness certificates for aircraft and airworthiness approvals for engines, propellers, and product parts that conform to the approved design requirements and are in a condition for safe operation;
(2) Export certificates of airworthiness and airworthiness approval tags in accordance with subpart L of part 21 of this chapter;
(3) Experimental certificates for aircraft for which the manufacturer holds the type certificate and which have undergone changes to the type design requiring a flight test; and
(4) Special flight permits to export aircraft.
(b) Conduct any inspections that may be necessary to determine that—
(1) Prototype products and related parts conform to design specifications; and
(2) Production products and related parts conform to the approved type design and are in condition for safe operation.
(c) Perform functions authorized by this section for the manufacturer, or the manufacturer's supplier, at any location authorized by the FAA.
A Designated Airworthiness Representative (DAR) may, within limits prescribed by and under the general supervision of the Administrator, do the following:
(a) Perform examination, inspection, and testing services necessary to issue, and to determine the continuing effectiveness of, certificates, including issuing certificates, as authorized by the Executive Director, Flight Standards Service in the area of maintenance or as authorized by the Executive Director, Aircraft Certification Service in the areas of manufacturing and engineering.
(b) Charge a fee for his or her services.
(c) Perform authorized functions at any authorized location.
(a) This subpart contains the procedures required to obtain an Organization Designation Authorization, which allows an organization to perform specified functions on behalf of the Administrator related to engineering, manufacturing, operations, airworthiness, or maintenance.
(b) Definitions. For the purposes of this subpart:
Organization Designation Authorization (ODA) means the authorization to perform approved functions on behalf of the Administrator.
ODA Holder means the organization that obtains the authorization from the Administrator, as identified in a Letter of Designation.
ODA Unit means an identifiable group of two or more individuals within the ODA Holder's organization that performs the authorized functions.
An application for an ODA may be submitted after November 14, 2006. An application for an ODA must be submitted in a form and manner prescribed by the Administrator and must include the following:
(a) A description of the functions for which authorization is requested.
(b) A description of how the applicant satisfies the requirements of § 183.47 of this part;
(c) A description of the applicant's organizational structure, including a description of the proposed ODA Unit as it relates to the applicant's organizational structure; and
(d) A proposed procedures manual as described in § 183.53 of this part.
(a) The Administrator may issue an ODA Letter of Designation if:
(1) The applicant meets the applicable requirements of this subpart; and
(2) A need exists for a delegation of the function.
(b) An ODA Holder must apply to and obtain approval from the Administrator for any proposed changes to the functions or limitations described in the ODA Holder's authorization.
To qualify for consideration as an ODA, the applicant must—
(a) Have sufficient facilities, resources, and personnel, to perform the functions for which authorization is requested;
(b) Have sufficient experience with FAA requirements, processes, and procedures to perform the functions for which authorization is requested; and
(c) Have sufficient, relevant experience to perform the functions for which authorization is requested.
(a) Consistent with an ODA Holder's qualifications, the Administrator may delegate any function determined appropriate under 49 U.S.C. 44702(d).
(b) Under the general supervision of the Administrator, an ODA Unit may perform only those functions, and is subject to the limitations, listed in the ODA Holder's procedures manual.
Each ODA Holder must have within its ODA Unit—
(a) At least one qualified ODA administrator; and either
(b) A staff consisting of the engineering, flight test, inspection, or maintenance personnel needed to perform the functions authorized. Staff members must have the experience and expertise to find compliance, determine conformity, determine airworthiness, issue certificates or issue approvals; or
(c) A staff consisting of operations personnel who have the experience and expertise to find compliance with the regulations governing the issuance of pilot, crew member, or operating certificates, authorizations, or endorsements as needed to perform the functions authorized.
No ODA Letter of Designation may be issued before the Administrator approves an applicant's procedures manual. The approved manual must:
(a) Be available to each member of the ODA Unit;
(b) Include a description of those changes to the manual or procedures that may be made by the ODA Holder. All other changes to the manual or procedures must be approved by the Administrator before they are implemented.
(c) Contain the following:
(1) The authorized functions and limitations, including the products, certificates, and ratings;
(2) The procedures for performing the authorized functions;
(3) Description of the ODA Holder's and the ODA Unit's organizational structure and responsibilities;
(4) A description of the facilities at which the authorized functions are performed;
(5) A process and a procedure for periodic audit by the ODA Holder of the ODA Unit and its procedures;
(6) The procedures outlining actions required based on audit results, including documentation of all corrective actions;
(7) The procedures for communicating with the appropriate FAA offices regarding administration of the delegation authorization;
(8) The procedures for acquiring and maintaining regulatory guidance material associated with each authorized function;
(9) The training requirements for ODA Unit personnel;
(10) For authorized functions, the procedures and requirements related to maintaining and submitting records;
(11) A description of each ODA Unit position, and the knowledge and experience required for each position;
(12) The procedures for appointing ODA Unit members and the means of documenting Unit membership, as required under § 183.61(a)(4) of this part;
(13) The procedures for performing the activities required by § 183.63 or § 183.65 of this part;
(14) The procedures for revising the manual, pursuant to the limitations of paragraph (b) of this section; and
(15) Any other information required by the Administrator necessary to supervise the ODA Holder in the performance of its authorized functions.
(a) If any change occurs that may affect an ODA Unit's qualifications or ability to perform a function (such as a change in the location of facilities, resources, personnel or the organizational structure), no Unit member may perform that function until the Administrator is notified of the change, and the change is approved and appropriately documented as required by the procedures manual.
(b) No ODA Unit member may issue a certificate, authorization, or other approval until any findings reserved for the Administrator have been made.
(c) An ODA Holder is subject to any other limitations as specified by the Administrator.
The ODA Holder must—
(a) Comply with the procedures contained in its approved procedures manual;
(b) Give ODA Unit members sufficient authority to perform the authorized functions;
(c) Ensure that no conflicting non-ODA Unit duties or other interference affects the performance of authorized functions by ODA Unit members.
(d) Cooperate with the Administrator in his performance of oversight of the ODA Holder and the ODA Unit.
(e) Notify the Administrator of any change that could affect the ODA Holder's ability to continue to meet the requirements of this part within 48 hours of the change occurring.
The Administrator, at any time and for any reason, may inspect an ODA Holder's or applicant's facilities, products, components, parts, appliances, procedures, operations, and records associated with the authorized or requested functions.
(a) Each ODA Holder must ensure that the following records are maintained for the duration of the authorization:
(1) [Reserved]
(2) For any approval or certificate issued by an ODA Unit member (except those airworthiness certificates and approvals not issued in support of type design approval projects):
(i) The application and data required to be submitted under this chapter to obtain the certificate or approval; and
(ii) The data and records documenting the ODA Unit member's approval or determination of compliance.
(3) A list of the products, components, parts, or appliances for which ODA Unit members have issued a certificate or approval.
(4) The names, responsibilities, qualifications and example signature of each member of the ODA Unit who performs an authorized function.
(5) A copy of each manual approved or accepted by the ODA Unit, including all historical changes.
(6) Training records for ODA Unit members and ODA administrators.
(7) Any other records specified in the ODA Holder's procedures manual.
(8) The procedures manual required under § 183.53 of this part, including all changes.
(b) Each ODA Holder must ensure that the following are maintained for five years:
(1) A record of each periodic audit and any corrective actions resulting from them; and
(2) A record of any reported service difficulties associated with approvals or certificates issued by an ODA Unit member.
(c) For airworthiness certificates and approvals not issued in support of a type design approval project, each ODA Holder must ensure the following are maintained for two years;
(1) The application and data required to be submitted under this chapter to obtain the certificate or approval; and
(2) The data and records documenting the ODA Unit member's approval or determination of compliance.
(d) For all records required by this section to be maintained, each ODA Holder must:
(1) Ensure that the records and data are available to the Administrator for inspection at any time;
(2) Submit all records and data to the Administrator upon surrender or termination of the authorization.
(e) Each ODA Holder must compile and submit any report required by the Administrator to exercise his supervision of the ODA Holder.
For any approval or certificate for a product, part or appliance issued under the authority of this subpart, an ODA Holder must:
(a) Monitor reported service problems related to certificates or approvals it holds;
(b) Notify the Administrator of:
(1) A condition in a product, part or appliance that could result in a finding of unsafe condition by the Administrator; or
(2) A product, part or appliance not meeting the applicable airworthiness requirements for which the ODA Holder has obtained or issued a certificate or approval.
(c) Investigate any suspected unsafe condition or finding of noncompliance with the airworthiness requirements for any product, part or appliance, as required by the Administrator, and report to the Administrator the results of the investigation and any action taken or proposed.
(d) Submit to the Administrator the information necessary to implement corrective action needed for safe operation of the product, part or appliance.
For any operational authorization, airman certificate, air carrier certificate, air operator certificate, or air agency certificate issued under the authority of this subpart, an ODA Holder must:
(a) Notify the Administrator of any error that the ODA Holder finds it made in issuing an authorization or certificate;
(b) Notify the Administrator of any authorization or certificate that the ODA Holder finds it issued to an applicant not meeting the applicable requirements;
(c) When required by the Administrator, investigate any problem concerning the issuance of an authorization or certificate; and
(d) When notified by the Administrator, suspend issuance of similar authorizations or certificates until the ODA Holder implements all corrective action required by the Administrator.
(a) An ODA is effective until the date shown on the Letter of Designation, unless sooner terminated by the Administrator.
(b) No ODA may be transferred at any time.
(c) The Administrator may terminate or temporarily suspend an ODA for any reason, including that the ODA Holder:
(1) Has requested in writing that the authorization be suspended or terminated;
(2) Has not properly performed its duties;
(3) Is no longer needed; or
(4) No longer meets the qualifications required to perform authorized functions.
(a) The purpose of this part is to name the FAA officials who, pursuant to part 9 of the regulations of the Office of the Secretary of Transportation (49 CFR part 9) as amended (34 FR 11972, July 16, 1969), are those:
(1) Upon whom legal process or pleadings may be served in any legal proceeding concerning the FAA, and who have authority to acknowledge the service and take further action thereon; and
(2) Who otherwise perform the functions prescribed by part 9 in legal proceedings concerning the FAA with respect to testimony by FAA employees and production of FAA records in legal proceedings.
(b) For purposes of this part, “legal proceedings” includes any proceeding before a court of law, administrative board or commission, hearing officer, or other body conducting a legal or administrative proceeding.
Legal process or pleadings in any legal proceeding concerning the FAA may be served, at the option of the server, on the Chief Counsel, Deputy Chief Counsel, Assistant Chief Counsel, Litigation Division, of the FAA, or any other FAA official designated by the Chief Counsel, with the same effect as if served upon the Secretary of Transportation or the Administrator. The official accepting the service under this section acknowledges the service and takes further action as appropriate.
The Chief Counsel, and each Assistant Chief Counsel, each Regional Counsel, the Aeronautical Center Counsel, and the Technical Center Counsel, with respect to matters arising within their respective jurisdictions, and any other FAA official designated by the Chief Counsel, perform the functions in legal proceedings (other than one described in § 185.3 of this part) as prescribed by part 9 of the regulations of the Office of the Secretary of Transportation, with respect to testimony by FAA employees and production of FAA records in legal proceedings.
This part prescribes fees only for FAA services for which fees are not prescribed in other parts of this chapter or in 49 CFR part 7. The fees for services furnished in connection with making information available to the public are prescribed exclusively in 49 CFR part 7. Appendix A to this part prescribes the methodology for computation of fees for certification services performed outside the United States. Appendix C to this part prescribes the methodology for computation of fees for production certification-related services performed outside the United States.
For the purpose of this part:
Great circle distance means the shortest distance between two points on the surface of the Earth.
Overflight means a flight through U.S.-controlled airspace that does not include a landing in or takeoff from the United States.
Overflight through Enroute airspace means an overflight through U.S.-controlled airspace where primarily radar-based air traffic services are provided.
Overflight through Oceanic airspace means an overflight through U.S.-controlled airspace where primarily procedural air traffic services are provided.
U.S.-controlled airspace means all airspace over the territory of the United States, extending 12 nautical miles from the coastline of U.S. territory; any airspace delegated to the United States for U.S. control by other countries or under a regional air navigation agreement; or any international airspace, or airspace of undetermined sovereignty, for which the United States has accepted responsibility for providing air traffic control services.
The fee for furnishing to a person entitled thereto a replacement, duplicate, or facsimile of a certificate or other document evidencing a license, for which a fee is not specifically provided elsewhere in this chapter, is $2.
The fees for furnishing photostatic or similar copies of documents and for affixation of the seal for a certification or validation are the same as those provided in subpart H of 49 CFR part 7.
(a) The fees of this part are payable to the Federal Aviation Administration by check, money order, wire transfers, draft, payable in U.S. currency and drawn on a U.S. bank, or by credit card payable in U.S. currency, prior to the provision of any service under this part.
(b) Applicants for the FAA services provided under this part shall pay any bank processing charges on fees collected under this part, when such charges are assessed on U.S. Government.
(c) Applicants for the FAA services described in Appendix A of this part shall pay bank processing charges, when such charges are assessed by banks on U.S. Government deposits.
(d) The fees described in appendix B of this part are payable to the Federal Aviation Administration in U.S. currency. Remittance of fees of $1,000 or more are to be paid by electronic funds transfer. Remittance of amounts less than $1,000 may be paid by electronic funds transfer, check, money order, credit card, or draft.
If an applicant fails to pay fees agreed to under appendix C of this part, the FAA may suspend or deny any application for service and may suspend or revoke any production certification-related approval granted.
(a) Except as provided in paragraphs (c) or (d) of this section, any person who conducts an overflight through either Enroute or Oceanic airspace must pay a fee as calculated in § 187.53.
(b) Services. Persons covered by paragraph (a) of this section must pay a fee for the FAA's rendering or providing of certain services, including but not limited to the following:
(1) Air traffic management.
(2) Communications.
(3) Navigation.
(4) Radar surveillance, including separation services.
(5) Flight information services.
(6) Procedural control.
(7) Emergency services and training.
(c) The FAA does not assess a fee for any military or civilian overflight operated by the United States Government or by any foreign government.
(d) Fees for overflights through U.S.-controlled airspace covered by a written FAA agreement or other binding arrangement are charged according to the terms of that agreement or arrangement unless the terms are silent on fees.
(a) The FAA assesses a total fee that is the sum of the Enroute and Oceanic calculated fees.
(1) Enroute fee. The Enroute fee is calculated by multiplying the Enroute rate in paragraph (c) of this section by the total number of nautical miles flown through each segment of Enroute airspace divided by 100 (because the Enroute rate is expressed per 100 nautical miles).
(2) Oceanic fee. The Oceanic fee is calculated by multiplying the Oceanic rate in paragraph (c) of this section by the total number of nautical miles flown through each segment of Oceanic airspace divided by 100 (because the Oceanic rate is expressed per 100 nautical miles).
(b) Distance flown through each segment of Enroute or Oceanic airspace is based on the great circle distance (GCD) from the point of entry into U.S.-controlled airspace to the point of exit from U.S.-controlled airspace based on FAA flight data. Where actual entry and exit points are not available, the FAA will use the best available flight data to calculate the entry and exit points.
(c) The rate for each 100 nautical miles flown through Enroute or Oceanic airspace is:
| Time period | Enroute rate | Oceanic rate |
|---|---|---|
| January 1, 2017 to January 1, 2018 | 58.45 | 23.15 |
| January 1,2018 to January 1, 2019 | 60.07 | 24.77 |
| January 1, 2019 and Beyond | 61.75 | 26.51 |
(d) The formula for the total overflight fee is:
(e) The FAA will review the rates described in this section at least once every 2 years and will adjust them to reflect the current costs and volume of the services provided.
(a) The FAA will send an invoice to each user when fees are owed to the FAA. If the FAA cannot identify the user, then an invoice will be sent to the registered owner. Users will be billed at the address of record in the country where the aircraft is registered, unless a billing address is otherwise provided.
(b) The FAA will send an invoice if the monthly (based on Universal Coordinated Time) fees equal or exceed $400.
(c) Payment must be made by one of the methods described in § 187.15(d).
(a) Fixed fees and hourly rates have been derived using the methodology described below to ensure full cost recovery for certification actions or approvals provided by the FAA for persons outside the United States.
(b) These rates are based on aviation safety inspector time rather than calculating a separate rate for managerial or clerical time because the inspector is the individual performing the actual service. Charging for inspector time, while building in all costs into the rate base, provides for efficient cost recovery and time management.
(c) The hourly billing rate has been determined by using the annual operations budget of the Flight Standards Service. The budget is comprised of the following:
(1) Personnel compensation and benefits, budget code series 1100 (excluding codes 1151 and 1152—overtime, Sunday and holiday pay), 1200, and 1300.
(2) Travel and transportation of persons, budget code series 2100 (excluding code 2100—site visit travel).
(3) Transportation of things, budget code series 2200.
(4) Rental, communications, utilities, budget code series 2300.
(5) Printing and reproduction, budget code series 2400.
(6) Contractual services, budget code series 2500.
(7) Supplies and materials, budget code series 2600.
(8) Equipment, budget code series 3100.
(9) Lands and structures, budget code series 3200.
(10) Insurance claims and indemnities, budget code series 4200.
(d) In order to recover overhead costs attributable to the budget, all costs other than direct inspector transportation and subsistence, overtime, and Sunday/holiday costs, are assigned to the number of inspector positions. An hourly cost per inspector is developed by dividing the annual Flight Standards Operations Budget, excluding the items enumerated above, by the number of aviation safety inspections (OMB position series 1825) on board at the beginning of the fiscal year, to determine the annual cost of an aviation safety inspector. This annual cost of an aviation safety inspector is divided by 2,087 hours, which is the annual paid hours of a U.S. Federal Government employee. This result in the hourly government paid cost of an aviation safety inspector.
(e) To ensure that the hourly inspector cost represents a billing rate that ensures full recovery of costs, the hourly cost per inspector must be multiplied by an indirect work factor to determine the hourly inspector billing rate. This is necessary for the following reasons:
(1) Inspectors spend a significant amount of time in indirect work to support their inspection activities, much of which cannot be allocated to any one client.
(2) Not all 2,087 annual paid hours are available as work hours because training, providing technical assistance, leave, and other indirect work activities reduce the work time that may be directly billed. Consequently, the hourly cost per inspector must be adjusted upwards by an indirect work factor. The calculation of an indirect work factor is discussed in paragraph (f) of this appendix.
(f)(1) The indirect work factor is determined using the following formula:
(2) The components of the formula are derived as follows:
(i) a = indirect work rate. Indirect work rate is take from the Flight Standards Staffing Standard Order and is used to project the amount of time an aviation safety inspector spends in indirect activities, as opposed to certification and surveillance work. The indirect work activities are:
(A) Development of master minimum equipment lists on Flight Operations Evaluation Board.
(B) Development of aircraft training documents on Flight Standardization Board.
(C) Development of Maintenance program documents on Maintenance Review Board.
(D) Providing technical assistance.
(E) Assisting legal counsel.
(F) Evaluation of technical documents.
(G) Leave (all types).
(H) Training.
(I) Administrative time.
(J) Travel for indirect work.
(ii) b = leave usage (total leave hours divided by total hours available for work). This is computed by using OMB guidelines of 280 average annual leave hours and 1,800 average annual hours available for work for computer manpower requirements.
(g) The hourly inspector cost, when multiplied by the indirect work factor, yields the hourly inspector billing rate and ensures full cost recovery by incorporating the total amount of FAA paid hours needed to produce one hour of direct billable inspector time.
(h) Certifications and approvals for which there are fixed times, such as airman tests, are determined by multiplying the time used in the Flight Standards Staffing Standard or airman test guidelines by the inspector hourly billing rate.
(i) Certifications and approvals for which there are no fixed work rates, such as airman and repair station facilities (air agencies), are billed at the hourly inspector billing rate.
(j) Actual transportation and subsistence expenses incurred in certification or approval actions will be billed in addition to the hourly inspector billing rate, where such expenses are incurred.
(k) In no event will the fees exceed the actual costs of providing certification or approval services.
(l) The methodology for computing user fees is published in this Appendix. The User fee schedule is published in an FAA Advisory Circular entitled “Flight Standards Service Schedule of Charges Outside the United States.” A copy of this publication may be obtained from: New Orders, Superintendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250-7954.
(m) Fees will be reviewed every year, at the beginning of the fiscal year, and adjusted either upward or downward in order to reflect the current costs of performing tests, authorizations, certifications, permits, or ratings.
(n) Notice of each change to a fee for a service described in the user fee schedule will be published in the “Notices” section of the
(a) Purpose. This appendix describes the methodology for the calculation of fees for production certification-related services outside the United States that are performed by the FAA.
(b) Applicability. This appendix applies to production approval holders who elect to use manufacturing facilities or supplier facilities located outside the United States to manufacture or assemble aeronautical products after September 30, 1997.
(c) Definitions. For the purpose of this appendix, the following definitions apply:
Manufacturing facility means a place where production of a complete aircraft, aircraft engine, propeller, part, component, or appliance is performed.
Production certification-related service means a service associated with initial production approval holder qualification; ongoing production approval holder and supplier surveillance; designee management; initial production approval holder qualification and ongoing surveillance for production certificate extensions outside the United States; conformity inspections; and witnessing of tests.
Supplier facility means a place where production of a part, component, or subassembly is performed for a production approval holder.
Production approval holder means a person who holds an FAA approval for production under type certificate only, an FAA approval for production under an approved production inspection system, a production certificate, a technical standard order authorization, or a parts manufacturer approval.
(d) Procedural requirements. (1) Applicants may apply for FAA production certification-related services provided outside the United States by a letter of application to the FAA detailing when and where the particular services are required.
(2) The FAA will notify the applicant in writing of the estimated cost and schedule to provide the services.
(3) The applicant will review the estimated costs and schedule of services. If the applicant agrees with the estimated costs and schedule of services, the applicant will propose to the FAA that the services be provided. If the FAA agrees and can provide the services requested, a written agreement will be executed between the applicant and the FAA.
(4) The applicant must provide advance payment for each 12-month period of agreed FAA service unless a shorter period is agreed to between the Production Approval Holder and FAA.
(e) Fee determination. (1) Fees for FAA production certification-related services will consist of: personnel compensation and benefit (PC&B) for each participating FAA employee, actual travel and transportation expenses incurred in providing the service, other agency costs and an overhead percentage.
(2) Fees will be determined on a case-by-case basis according to the following general formula:
(3) In no event will the applicant be charged more than the actual FAA costs of providing production certification-related services.
(4) If the actual FAA costs vary from the estimated fees by more than 10 percent, written notice by the FAA will be given to the applicant as soon as possible.
(5) If FAA costs exceed the estimated fees, the applicant will be required to pay the difference prior to receiving further services. If the estimated fees exceed the FAA costs, the applicant may elect to apply the balance to future agreements or to receive a refund.
(f) Fees will be reviewed by the FAA periodically and adjusted either upward or downward in order to reflect the current costs of performing production certification-related services outside the United States.
(1) Notice of any change to the elements of the fee formula in this Appendix will be published in the
(2) Notice of any change to the methodology in this Appendix and other changes for the fees will be published in the
This part describes the kinds of messages that may be transmitted or relayed by FAA Flight Service Stations.
(a) Flight Service Stations may accept for transmission over FAA communication systems any messages concerning international or overseas aircraft operations described in paragraphs (a) (1) through (6) of this section. In addition, Flight Service Stations may relay any message described in this section that was originally accepted for transmission at an FAA Flight Service Station outside the 48 contiguous States, or was received from a foreign station of the Aeronautical Fixed Telecommunications Network that, in normal routing, would require transit of the United States to reach an overseas address:
(1) Distress messages and distress traffic.
(2) Messages concerning the safety of human life.
(3) Flight safety messages concerning—
(i) Air traffic control, including—
(A) Messages concerning aircraft in flight or about to depart;
(B) Departure messages;
(C) Flight plan departure messages;
(D) Arrival messages;
(E) Flight plan messages;
(F) Flight notification messages;
(G) Messages concerning flight cancellation; and
(H) Messages concerning delayed departure;
(ii) Position reports from aircraft;
(iii) Messages originated by an aircraft operating agency of immediate concern to an aircraft in flight or about to depart; and
(iv) Meteorological advice of immediate concern to an aircraft in flight or about to depart.
(4) Meteorological messages concerning—
(i) Meteorological forecasts;
(ii) Meteorological observations exclusively; or
(iii) Other meteorological information exchanged between meteorological offices.
(5) Aeronautical administrative messages—
(i) Concerning the operation or maintenance of facilities essential to the safety or regulatory of aircraft operation;
(ii) Essential to efficient functioning of aeronautical telecommunications; or
(iii) Between civil aviation authorities concerning aircraft operation.
(6) Notices to airmen.
(b) The following messages may only be relayed through the FAA communications systems:
(1) Flight regularity messages—
(i) Addressed to the point of intended landing and to not more than two other addressees in the general area of the route segment of the flight to which the message refers, containing information required for weight and balance computation and remarks essential to the rapid unloading of the aircraft;
(ii) Concerning changes, taking effect within 72 hours, in aircraft operating schedules;
(iii) Concerning the servicing of aircraft en route or scheduled to depart within 48 hours;
(iv) Concerning changes in the collective requirements for passengers, crew, or cargo of aircraft en route or about to depart, if the changes are caused by unavoidable deviations from normal operating schedules and are necessary for flight regularity;
(v) Concerning non-routine landings to be made by aircraft en route or about to depart;
(vi) Concerning parts or materials urgently needed to operate aircraft en route or scheduled to depart within 48 hours; or
(vii) Concerning pre-flight arrangement of air navigation services and, in the case of non-scheduled or irregular operations, operational servicing of aircraft scheduled to depart within 48 hours.
(2) Messages originated by and addressed to aircraft operating agencies or their representatives that directly bear on the efficient and economic conduct or day to day operations, if adequate non-United States communications facilities are not available and the messages concern—
(i) Matter described in paragraph (b)(1) of this section, but not meeting the time limitations described in paragraph (b)(1) of this section;
(ii) Aircraft parts, equipment, or supplies, air navigation or communications, or essential ground facilities;
(iii) Train or hotel reservations for passengers or employees;
(iv) Lost baggage or personal effects;
(v) Tickets or cargo shipments and payment therefore;
(vi) Location of passengers and cargo;
(vii) New or revised passenger or cargo rates;
(viii) Crew assignments and similar operations personnel matters taking effect within 7 days;
(ix) Post flight reports for record purposes;
(x) Publicity and special handling regarding dignitaries; or
(xi) Reservations, when originated by aircraft operating agencies to secure space required in transport aircraft.
The United States is not liable for any omission, error, or delay in transmitting or relaying, or for any failure to transmit or relay, any message accepted for transmission or relayed under this part, even if the omission, error, delay, or failure to transmit or relay is caused by the negligence of an employee of the United States.
This part describes when and how the FAA protects from disclosure safety and security information that you submit voluntarily to the FAA. This part carries out 49 U.S.C. 40123, protection of voluntarily submitted information.
Agency means each authority of the Government of the United States, whether or not the agency is within or subject to review by another agency, but does not include—
(1) The Congress;
(2) The courts of the United States;
(3) The governments of the territories or possessions of the United States;
(4) The government of the District of Columbia;
(5) Court martial and military commissions.
De-identified means that the identity of the source of the information, and the names of persons have been removed from the information.
Disclose means to release information to a person other than another agency. Examples are disclosures under the Freedom of Information Act (5 U.S.C. 552), in rulemaking proceedings, in a press release, or to a party to a legal action.
Information includes data, reports, source, and other information. “Information” may be used to describe the whole or a portion of a submission of information.
Summarized means that individual incidents are not specifically described, but are presented in statistical or other general form.
Voluntary means that the information was not required to be submitted as part of a mandatory program, and was not submitted as a condition of doing business with the government. “Voluntarily-provided information” does not include information submitted as part of complying with statutory, regulatory, or contractual requirements, except that information submitted as part of complying with a voluntary program under this part is considered to be voluntarily provided.
(a) You may do so under a program under this part. The program may be developed based on your proposal, a proposal from another person, or a proposal developed by the FAA.
(b) You may be any person, including an individual, a company, or an organization.
(c) You may propose to develop a program under this part using either the notice procedure in § 193.11 or the no-notice procedure in § 193.13.
(d) If the FAA decides to protect the information that you propose to submit it issues an order designating the information as protected under this part.
(e) The FAA only issues an order designating information as protected if the FAA makes the findings in § 193.7.
(f) The designation may be for a program in which all similar persons may participate, or for a program in which only you submit information.
(g) Even if you receive protection from disclosure under this part, this part does not establish the extent to which the FAA may or may not use the information to take enforcement action. Limits on enforcement action applicable to a program under this part will be in another policy or rule.
(a) General. When the FAA issues an order designating information as protected under this part, the FAA does not disclose the information except as provided in this part.
(b) What findings does the FAA make before designating information as protected? The FAA designates information as protected under this part when the FAA finds that—
(1) The information is provided voluntarily;
(2) The information is safety or security related;
(3) The disclosure of the information would inhibit the voluntary provision of that type of information;
(4) The receipt of that type of information aids in fulfilling the FAA's safety and security responsibilities; and
(5) Withholding such information from disclosure, under the circumstances provided in this part, will be consistent with the FAA's safety and security responsibilities.
(c) How will the FAA handle requests for information under the Freedom of Information Act (FOIA)? The FAA does not disclose information that is designated as protected under this part in response to a FOIA request.
(d) What if the FAA obtains from another source the same information I submit? Only information received under a program under this part is protected from disclosure under this part. Information obtained by the FAA through another means is not protected under this part.
(e) Sharing information with other agencies. The FAA may provide information that you have submitted under this part to other agencies with safety or security responsibilities. The agencies are subject to the requirements of 49 U.S.C. 40123 regarding nondisclosure of information. The FAA will give the information to another agency only if, for each such request, the other agency provides the FAA with adequate assurance, in writing, that—
(1) The agency has a safety or security need for the information, including the general nature of the need.
(2) The agency will protect the information from disclosure as required in 49 U.S.C. 40123, this part, and the designation. This includes a commitment that the agency will mark the information as provided in the designation.
(3) The agency will limit access to those with a need to know to carry out safety or security responsibilities.
(f) What if the FAA receives a subpoena for the information I submit? When the FAA receives a subpoena for information you have submitted under this part, the FAA contacts you to determine whether you object to disclosure of the information or you wish to participate in responding to the subpoena. If both you and the FAA determine that release of the information is appropriate, the information is released. Otherwise, the FAA will not release information designated as protected under this part unless ordered to do so by a court of competent jurisdiction.
The FAA discloses information that is designated as protected under this part when withholding it would not be consistent with the FAA's safety and security responsibilities, as follows:
(a) Disclosure in all programs. (1) The FAA may disclose de-identified, summarized information submitted under this part to explain the need for changes in policies and regulations. An example is the FAA publishing a notice of proposed rulemaking based on your information, and including a de-identified, summarized version of your information (and the information from other persons, if applicable) to explain the need for the notice of proposed rulemaking.
(2) The FAA may disclose information provided under this part to correct a condition that compromises safety or security, if that condition continues uncorrected.
(3) The FAA may disclose information provided under this part to carry out a criminal investigation or prosecution.
(4) The FAA may disclose information provided under this part to comply with 49 U.S.C. 44905, regarding information about threats to civil aviation.
(b) Additional disclosures. For each program, the FAA may find that there are additional circumstances under which withholding information provided under this part would not be consistent with the FAA's safety and security responsibilities. Those circumstances are described in the designation for that program.
This section states the notice procedure for the FAA to designate information as protected under this part. This procedure is used when there is not an immediate safety or security need for the information. This procedure generally is used to specify a type of information that you and others like you will provide on an on-going basis.
(a) Application. You may apply to have information designated as protected under this part by submitting an application addressed to the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590 for paper submissions, and the Federal Docket Management System (FDMS) Web page at http://www.regulations.gov for electronic submissions. Your application must include the designation described in paragraph (c) of this section that you want the FAA to issue. You should not include in your application any information that you do not want available to the public. The FAA may issue a proposed designation based on the application or may deny your application.
(b) Proposed designation. Before issuing a designation under this section, based either on your application or the FAA's own initiative, the FAA publishes a proposed designation in the
(c) Designation. The FAA designates information as protected under this part if, after review of the comments, the FAA makes the findings in § 193.7. The FAA publishes in the
(1) A summary of why the FAA finds that you and others, if applicable, will provide the information voluntarily.
(2) A description of the type of information that you and others, if applicable, may voluntarily provide under the program and a summary of why the FAA finds that the information is safety or security related.
(3) A summary of why the FAA finds that the disclosure of the information would inhibit you and others, if applicable, from voluntarily providing of that type of information.
(4) A summary of why the receipt of that type of information aids in fulfilling the FAA's safety and security responsibilities.
(5) A summary of why withholding such information from disclosure would be consistent with the FAA's safety and security responsibilities, including a statement as to the circumstances under which, and a summary of why, withholding such information from disclosure would not be consistent with the FAA's safety and security responsibilities, as described in § 193.9.
(6) A summary of how the FAA will distinguish information protected under this part from information the FAA receives from other sources.
(7) A summary of the significant comments received and the FAA's responses.
(d) Amendment of designation. The FAA may amend a designation using the procedures in paragraphs (a), (b), and (c) of this section.
(e) Withdrawal of designation. The FAA may withdraw a designation under this section at any time the FAA finds that continuation of the designation does not meet the elements of § 193.7, or if the requirements of the designation are not met. The FAA withdraws the designation by publishing a notice in the
This section states the no-notice procedure for the FAA to designate information as protected under this part. This procedure is used when there is an immediate safety or security need for the information. This procedure generally is used for specific information that you will provide on a short-term basis.
(a) Application. You may request that the FAA designate information you are offering as protected under this part. You must state your name, at least the general nature of information, and whether you will provide the information without the protection of this part. Your request may be verbal or writing.
(b) Designation. The FAA issues a written order designating information provided under this section as protected under this part. The FAA designates the information as protected under this part if the FAA—
(1) Makes the findings as § 193.7; and
(2) Finds that there is an immediate safety or security need to obtain the information without carrying out the procedures in § 193.11 of this part.
(c) Time limit. Except as provided in paragraphs (c)(1) and (c)(2) of this section, no designation under this section continues in effect for more than 60 days after the date of designation. Information provided during the time the designation was in effect remains protected under this part. Information provided that the designation ceases to be in effect is not protected under this part. The designation remains in effect for more than 60 days if—
(1) The procedures to designate such information under § 193.11(a) have been initiated, or
(2) There is an ongoing enforcement or criminal investigation, in which case the designation may continue until the investigation is completed.
(d) Amendment of designation. The FAA may amend a designation under this section using the procedures in paragraphs (a) and (b) of this section.
(e) Withdrawal of designation. The FAA may withdraw a designation under this section at any time the FAA finds that continuation does not meet the elements of § 193.7, or if the requirements of the designation are not met. The FAA withdraws the designation by notifying the person in writing that the designation is withdrawn. The withdrawal is effective on the date of receipt of the notice or such later date as the notice may state. Information provided during the time the designation was in effect remains protected under this part. Information provided after the withdrawal is effective is not protected under this part.
(a) The authority to issue proposed and final designations, to issue proposed and final amendments of designations, and to withdraw designations under this part, and to disclose information that has been designated as protected under this part, is delegated by the Administrator to Associate Administrators and Assistant Administrators and to the Chief Counsel, their Deputies, and any individual formally designated as Acting Associate or Assistant Administrator, Acting Chief Counsel, or Acting Deputy of such offices.
(b) The officials identified in paragraph (a) of this section may further delegate the authority to issue proposed designations and proposed amendments to designations.
(a) If the FAA discloses information under § 193.9(a)(2) to the holders of design approvals of production approvals issued by the FAA, the approval holder must disclose that information only to persons who need to know the information to address the safety or security condition.
(b) Unless an emergency exists, before disclosing information to approval holders the FAA will contact the submitter of the information.
(a) The Special Federal Aviation Regulation (SFAR) in this part prescribes:
(1) Certain requirements that may be satisfied in lieu of the requirements of part 61 of this chapter for persons seeking a powered-lift pilot certificate and rating, the conditions under which those certificates and ratings are necessary, and the privileges and limitations of those certificates and ratings;
(2) The general operating rules applicable to all persons operating powered-lift, including those an operator must meet to conduct powered-lift operations under parts 91, 135, and 136 of this chapter;
(3) The requirements for persons conducting training, testing, and checking utilizing a powered-lift or flight simulation training device (FSTD) representing a powered-lift under parts 135, 141, and 142 of this chapter; and
(4) The requirements for persons conducting maintenance, preventative maintenance, rebuilds, alterations, or inspections on powered-lift pursuant to part 43 of this chapter.
(b) In addition to the requirements in this part, the following parts continue to apply to those persons described in paragraph (a) of this section unless otherwise specified in this part: parts 43, 60, 61, 91, 97, 135, 136, 141, and 142 of this chapter.
For the purpose of this part:
Aviation Safety Inspector means a pilot employed by the FAA to conduct operations of a powered-lift for the purpose of establishing a type rating in that particular powered-lift under part 21 of this chapter, as appropriate.
Extended over-water operation means a powered-lift operation over water at a horizontal distance of more than 50 nautical miles from the nearest shoreline and more than 50 nautical miles from an off-shore heliport structure under part 91 or 135 of this chapter.
FAA test pilot means a pilot employed by the FAA to conduct operations of a powered-lift for the purpose of FAA examination or inspection of a type design for which an application for type certification has been submitted under part 21 of this chapter.
Heliport means an area of land, water, or structure used or intended to be used for the landing and takeoff of helicopters and powered-lift.
Instructor pilot means a pilot employed or used by a manufacturer of a powered-lift to conduct operations of the powered-lift for the purpose of developing a proposed training curriculum and providing crew training.
Manufacturer means any person who holds, or is an applicant for, a type or production certificate for an aircraft. An amateur builder under § 21.191(g) of this chapter, builder of a kit aircraft under § 21.191(h) of this chapter, or the holder of a restricted category type certificate are not considered manufacturers for the purpose of this part.
Test pilot means a pilot employed or used by a manufacturer of a powered-lift to conduct operations of the powered-lift for the purpose of research and development and showing compliance with this chapter.
Vertical-lift flight mode means a mode of flight where a powered-lift:
(1) Is in a configuration that allows vertical takeoff, vertical landing, and low-speed flight; and
(2) Depends principally on engine-driven lift devices or engine thrust for lift.
Wing-borne flight mode means a mode of flight where a powered-lift is not operating in the vertical-lift flight mode as defined and depends exclusively or partially on nonrotating airfoil(s) for lift during takeoff, landing, or horizontal flight.
(a) For flight simulation training devices (FSTDs) representing powered-lift for which qualification standards have not been issued under part 60 of this chapter, the applicable requirements will be the portions of the flight simulation training device qualification performance standards contained in appendices A through D to part 60 of this chapter that are found by the Administrator to be appropriate for the powered-lift and applicable to a specific type design, or such FSTD qualification criteria as the Administrator may find provide an equivalent level of safety to those FSTD qualification standards.
(b) Proposed qualification performance standards as set forth by paragraph (a) of this section will be published in the
This part, consisting of Special Federal Aviation Regulation (SFAR) No. 120, will remain in effect until January 21, 2035.
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved incorporation by reference (IBR) material is available for inspection at the FAA and at the National Archives and Records Administration (NARA). Contact the FAA's Office of Rulemaking, 800 Independence Avenue SW, Washington, DC 20590; phone: (202) 267-9677. For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email fr.inspection@nara.gov. The material may be obtained from the sources in the following paragraphs:
(a) RTCA, Inc., 1150 18th St. NW, Suite 910, Washington, DC 20036; phone: (202) 833-9339; website: www.rtca.org/products.
(1) Section 2 of RTCA DO-309, Minimum Operational Performance Standards (MOPS) for Helicopter Terrain Awareness and Warning System (HTAWS) Airborne Equipment (Mar. 13, 2008); into §§ 194.302; 194.306.
(2) [Reserved]
(b) U.S. Department of Transportation, Subsequent Distribution Office, DOT Warehouse M30, Ardmore East Business Center, 3341 Q 75th Avenue, Landover, MD 20785; phone (301) 322-5377; website: www.faa.gov/aircraft/air_cert/design_approvals/tso/ (select the link “Search Technical Standard Orders”).
(1) TSO-C194, Technical Standard Order: Helicopter Terrain Awareness and Warning System, effective Dec. 17, 2008; into §§ 194.302; 194.306.
(2) [Reserved]
Notwithstanding the cross-country time definitions in § 61.1(b) of this chapter, a person may log flight time in a powered-lift as cross-country time provided the time was acquired during a flight—
(a) That includes a point of landing that was at least a straight-line distance of more than 25 nautical miles from the original point of departure; and
(b) That involves the use of dead reckoning, pilotage, electronic navigation aids, radio aids, or other navigation systems to navigate to the landing point.
(a) Instructor pilots at a manufacturer. In addition to the provisions specified in § 61.3(d)(3) of this chapter, a flight instructor certificate issued under part 61 of this chapter is not necessary to conduct flight training if the training is given by an instructor pilot in a powered-lift at the manufacturer, provided the training is conducted in accordance with the manufacturer's training curriculum and is given to either—
(1) A test pilot;
(2) A person authorized by the Administrator to serve as an initial check pilot, chief instructor, assistant chief instructor, or training center evaluator for the purpose of initiating training in a powered-lift under an approved training program under part 135, 141, or 142 of this chapter, as appropriate; or
(3) An FAA test pilot or aviation safety inspector.
(b) Flight instructors under part 135 of this chapter. Notwithstanding the requirement in § 61.3(d)(3)(ii) of this chapter, a person must hold a flight instructor certificate with the appropriate powered-lift ratings to conduct training in accordance with a training curriculum approved to meet the requirements of § 194.243(a)(1).
Notwithstanding the privileges in § 61.167(a)(2) of this chapter, a person who holds an airline transport pilot certificate with powered-lift ratings must hold a flight instructor certificate with the appropriate powered-lift ratings to instruct pilots in accordance with a training curriculum approved to meet the requirements of § 194.243(a)(1).
(a) Required equipment for the practical test. Notwithstanding the equipment requirement in § 61.45(b)(1)(ii) of this chapter and the limitation specified in § 61.45(b)(2) of this chapter, an applicant for a certificate or rating may use a powered-lift that is precluded from performing all of the tasks required for the practical test without receiving a limitation on the applicant's certificate or rating, as appropriate.
(b) Waiver authority for a practical test conducted in a powered-lift. An Examiner who conducts a practical test in a powered-lift may waive any task for which the FAA has provided waiver authority.
(c) Flight training on waived tasks. Notwithstanding the requirements in §§ 61.107(a) and 61.127(a) of this chapter for training to include the areas of operation listed in § 61.107(b)(5) or § 61.127(b)(5) of this chapter, as applicable, an applicant seeking a private pilot certificate or commercial pilot certificate with a powered-lift category rating concurrently with a powered-lift type rating is not required to receive and log flight training on a task specified in an area of operation if the powered-lift is not capable of performing the task, provided the FAA has issued waiver authority for that task in accordance with paragraph (b) of this section.
(a) A person who obtains at least a private pilot certificate with a powered-lift category rating by satisfactorily completing the practical test in a powered-lift that is precluded from performing each task required by § 61.43(a)(1) of this chapter may not serve as second-in-command of a powered-lift that is capable of performing the tasks that were waived on the person's practical test until the person has—
(1) Received and logged ground and flight training from an authorized instructor on the specific tasks that were waived on the person's practical test; and
(2) Received a logbook or training record endorsement from an authorized instructor certifying the person has satisfactorily demonstrated proficiency of those tasks.
(b) The training and endorsement required by paragraph (a) of this section are not required if, prior to serving as second-in-command, a person meets one of the following requirements—
(1) Successfully completes the practical test for a powered-lift type rating, and the practical test includes each task required by § 61.43(a)(1) of this chapter; or
(2) Has received ground and flight training under an approved training program and has satisfactorily completed a competency check under § 135.293 or § 91.1065 of this chapter in a powered-lift, and the approved training and checking include each task that was previously waived in accordance with § 194.207(b).
(c) An applicant receiving flight training under § 194.221, § 194.223, § 194.229, or § 194.231 may serve as second-in-command in a powered-lift type certificated for more than one required pilot flight crewmember without meeting the requirements of § 61.55(a)(1), (a)(2), and (b)(2) of this chapter.
(a) General applicability. The requirements specified in paragraphs (b) and (c) of this section apply only to persons seeking a type rating in a powered-lift that is capable of performing instrument maneuvers and procedures.
(b) Obtaining an initial powered-lift type rating without concurrently obtaining the instrument-powered-lift rating. (1) Notwithstanding the requirement to hold or concurrently obtain an appropriate instrument rating in § 61.63(d)(1) of this chapter, a person who applies for an initial powered-lift type rating to be completed concurrently with a powered-lift category rating may apply for the type rating without holding or concurrently obtaining a powered-lift instrument rating, but the type rating will be limited to “visual flight rules (VFR) only.”
(2) Notwithstanding the requirement in § 61.63(d)(4) of this chapter, a person who applies for a powered-lift type rating pursuant to paragraph (b)(1) of this section is not required to perform the type rating practical test in actual or simulated instrument conditions.
(3) Except as specified in paragraph (b)(6) of this section, a person who obtains a powered-lift type rating with a “VFR only” limitation pursuant to paragraph (b)(1) of this section must remove the limitation in accordance with paragraph (b)(4) of this section within 2 calendar months from the month in which the person passes the type rating practical test.
(4) The “VFR only” limitation may be removed after the person—
(i) Passes an instrument rating practical test in a powered-lift in actual or simulated instrument conditions; and
(ii) Passes a practical test in the powered-lift type for which the “VFR only” limitation applies on the appropriate areas of operation listed in § 61.157(e)(3) of this chapter that consist of performing instrument maneuvers and procedures in actual or simulated instrument conditions.
(5) Except as specified in paragraph (b)(6) of this section, if a person who obtains a powered-lift type rating with a “VFR only” limitation pursuant to paragraph (b)(1) of this section does not remove the limitation within 2 calendar months from the month in which the person completed the type rating practical test, the powered-lift type rating for which the “VFR only” limitation applies will become invalid for use until the person removes the limitation in accordance with paragraph (b)(4) of this section.
(6) A person holding a private pilot certificate is not required to remove the “VFR only” limitation if the limitation applies to a powered-lift type that is not a large aircraft or turbojet-powered.
(c) Obtaining an additional powered-lift type rating with a “VFR Only” limitation. (1) Notwithstanding the requirement to hold or concurrently obtain an appropriate instrument rating in § 61.63(d)(1) of this chapter, a person holding a private pilot certificate may apply for a powered-lift type rating for a powered-lift that is not a large aircraft or turbojet-powered without holding or concurrently obtaining a powered-lift instrument rating, but the type rating will be limited to “VFR only.”
(2) Notwithstanding the requirement in § 61.63(d)(4) of this chapter, a person who applies for a powered-lift type rating pursuant to paragraph (c)(1) of this section is not required to perform the type rating practical test in actual or simulated instrument conditions.
(3) A person who obtains a powered-lift type rating with a “VFR only” limitation pursuant to paragraph (c)(1) of this section may remove the “VFR only” limitation for that powered-lift type as specified in paragraph (b)(4) of this section.
(d) Concurrent practical tests for removal of “VFR only” limitation. If a task required for the practical test specified in paragraph (b)(4)(i) of this section overlaps with a task required for the practical test specified in paragraph (b)(4)(ii) of this section, a person may perform the task a single time provided the task is performed to the highest standard required for the task.
(a) Notwithstanding the requirements in part 61 of this chapter for an authorized instructor to provide endorsements for certificates and ratings, including endorsements for solo flight, the following persons may provide the required logbook or training record endorsements under part 61 of this chapter and this part for a commercial pilot certificate with a powered-lift category rating, an instrument-powered-lift rating, a powered-lift type rating, or a flight instructor certificate with powered-lift ratings—
(1) An instructor pilot, provided the applicant is either—
(i) A test pilot or instructor pilot for the manufacturer seeking type certification of an experimental powered-lift;
(ii) A person authorized by the Administrator to serve as an initial check pilot, chief instructor, assistant chief instructor, or training center evaluator for the purpose of initiating training in a powered-lift under an approved training program under part 135, 141, or 142 of this chapter, as appropriate; or
(iii) An FAA test pilot or aviation safety inspector; or
(2) A management official within the manufacturer's organization, provided the applicant is an instructor pilot for the manufacturer of an experimental powered-lift.
(b) The endorsements for training time under this section must include a description of the training given, length of training lesson, and the endorsement provider's signature and identifying information, including certificate number and expiration date, if applicable.
(a) The alternate requirements set forth in §§ 194.216 through 194.231 apply only to persons who hold at least a commercial pilot certificate with the following ratings:
(1) An airplane category rating with a single-engine or multi-engine class rating and an instrument-airplane rating; or
(2) A rotorcraft category rating with a helicopter class rating and an instrument-helicopter rating.
(b) If no alternate aeronautical experience or logging requirement is provided under this part, the person must meet the applicable requirements under part 61 of this chapter, as appropriate.
(a) Pilot-in-command flight time in a powered-lift. Notwithstanding the eligibility requirement specified in § 61.123(f) of this chapter, an applicant for a commercial pilot certificate with a powered-lift category rating under § 194.217, § 194.219, § 194.221, or § 194.223 may log 35 hours of pilot-in-command flight time in a powered-lift in lieu of the aeronautical experience requirement of § 61.129(e)(2)(i) of this chapter.
(b) Use of full flight simulators. In addition to the permitted credit for use of a full flight simulator in § 61.129(i) of this chapter, an applicant for a commercial pilot certificate with a powered-lift category rating may credit a maximum of 15 hours toward the 35 hours of pilot-in-command flight time requirement in paragraph (a) of this section, provided—
(1) The aeronautical experience was obtained performing the duties of pilot-in-command in a Level C or higher full flight simulator that represents the powered-lift category; and
(2) The full flight simulator sessions are conducted in accordance with:
(i) For test pilots, instructor pilots, FAA test pilots, or FAA aviation safety inspectors under § 194.217 or § 194.219, as applicable, the manufacturer's proposed training curriculum;
(ii) For the initial cadre of instructors under § 194.221, the manufacturer's training curriculum; or
(iii) For pilots under § 194.223, an approved training program under part 135, 141, or 142 of this chapter.
(a) General applicability. An applicant for a commercial pilot certificate with a powered-lift category rating who is a test pilot for the manufacturer of an experimental powered-lift, an FAA test pilot, or an aviation safety inspector may satisfy the alternate aeronautical experience and logging requirements set forth in paragraphs (b) and (c) of this section, provided—
(1) The flights are conducted in an experimental powered-lift at the manufacturer;
(2) The applicant is authorized by the Administrator to act as pilot in command of the experimental powered-lift.
(b) Alternate aeronautical experience requirements. Notwithstanding the eligibility requirement specified in § 61.123(f) of this chapter, a test pilot, FAA test pilot, or aviation safety inspector may meet the requirements in paragraphs (b)(1) through (4) of this section in lieu of the aeronautical experience requirements of § 61.129(e)(3) and (4) of this chapter.
(1) A test pilot, FAA test pilot, or aviation safety inspector may receive 20 hours of flight training on the areas of operation listed in § 61.127(b)(5) of this chapter from an instructor pilot for the manufacturer of an experimental powered-lift in lieu of an authorized instructor, provided—
(i) The training is conducted in accordance with the manufacturer's proposed training curriculum in the experimental powered-lift; and
(ii) The test pilot, FAA test pilot, or aviation safety inspector receives a logbook or training record endorsement from the instructor pilot certifying that the test pilot satisfactorily completed the training curriculum specified in paragraph (b)(1)(i) of this section.
(2) A test pilot, FAA test pilot, or aviation safety inspector may accomplish the practical test preparation requirements in § 61.129(e)(3)(iv) of this chapter with a pilot who serves as an instructor pilot for the manufacturer of the experimental powered-lift.
(3) A test pilot, FAA test pilot, or aviation safety inspector may satisfy the aeronautical experience requirement in § 61.129(e)(4) of this chapter by logging at least 10 hours of solo flight time under an endorsement from an instructor pilot or performing the duties of pilot-in-command in an experimental powered-lift with one of the following individuals onboard (which may be credited towards the flight time requirement in §§ 61.129(e)(2), and (e)(2)(ii) of this chapter and 194.216(a))—
(i) A test pilot for the manufacturer of the powered-lift who is authorized by the Administrator to act as pilot-in-command of the experimental powered-lift; or
(ii) An instructor pilot for the manufacturer of the powered-lift who is authorized by the Administrator to act as pilot-in-command of the experimental powered-lift.
(4) A test pilot, FAA test pilot, or aviation safety inspector may satisfy the alternate requirements in § 194.233 in lieu of the cross-country aeronautical experience requirements specified in § 61.129(e)(3)(ii) and (iii) and (e)(4)(i) of this chapter.
(c) Alternate logging requirement. Notwithstanding the logging requirements in § 61.51(e)(1) of this chapter, an applicant for a commercial pilot certificate with a powered-lift category rating may log pilot-in-command flight time for the purpose of satisfying the aeronautical experience requirements in §§ 61.129(e)(2)(ii) and 194.216(a) of this chapter for flights when the pilot is the sole manipulator of the controls of an experimental powered-lift for which the pilot is not rated, provided—
(1) The test pilot, FAA test pilot, or aviation safety inspector is acting as pilot-in-command of the experimental powered-lift in accordance with a letter of authorization issued by the Administrator; and
(2) The flight is conducted for the purpose of research and development or showing compliance with the regulations in this chapter in accordance with the experimental certificate issued to the powered-lift pursuant to § 21.191 of this chapter.
(a) General applicability. An applicant for a commercial pilot certificate with a powered-lift category rating who is an instructor pilot for the manufacturer of an experimental powered-lift may satisfy the alternate aeronautical experience and logging requirements set forth in paragraphs (b) and (c) of this section, provided—
(1) The flights are conducted in an experimental powered-lift at the manufacturer; and
(2) The applicant is authorized by the Administrator to act as pilot-in-command of the experimental powered-lift.
(b) Alternate aeronautical experience requirements. Notwithstanding the eligibility requirement specified in § 61.123(f) of this chapter, an instructor pilot may meet the requirements in paragraphs (b)(1) through (4) of this section in lieu of the aeronautical experience requirements of § 61.129(e)(3) and (4) of this chapter.
(1) An instructor pilot may meet the requirements of paragraphs (b)(1)(i) and (ii) of this section in lieu of the 20 hours of training with an authorized instructor required by § 61.129(e)(3) of this chapter.
(i) The instructor pilot provided the manufacturer's proposed training curriculum to a test pilot, FAA test pilot, or aviation safety inspector in the experimental powered-lift, which includes 20 hours of training on the areas of operation listed in § 61.127(b)(5) of this chapter; and
(ii) The instructor pilot receives a logbook or training record endorsement from a management official within the manufacturer's organization certifying that the instructor pilot provided the training specified in paragraph (b)(1)(i) of this section.
(2) An instructor pilot may accomplish the practical test preparation requirements in § 61.129(e)(3)(iv) of this chapter with a pilot who serves as an instructor pilot for the manufacturer of the experimental powered-lift.
(3) An instructor pilot may satisfy the aeronautical experience requirement in § 61.129(e)(4) of this chapter by logging at least 10 hours of solo flight time under an endorsement from another instructor pilot or performing the duties of pilot-in-command in an experimental powered-lift with one of the following individuals onboard (which may be credited towards the flight time requirement in §§ 61.129(e)(2), and (e)(2)(ii) of this chapter and 194.216(a))—
(i) A test pilot for the manufacturer of the powered-lift who is authorized by the Administrator to act as pilot-in-command of the experimental powered-lift;
(ii) Another instructor pilot for the manufacturer of the powered-lift who is authorized by the Administrator to act as pilot-in-command of the experimental powered-lift; or
(iii) An FAA test pilot or aviation safety inspector.
(4) An instructor pilot may satisfy the alternate requirements in § 194.233 in lieu of the cross-country aeronautical experience requirements specified in § 61.129(e)(3)(ii) and (iii) and (e)(4)(i) of this chapter.
(c) Alternate logging requirement. Notwithstanding the logging requirements in § 61.51(e)(3) of this chapter, an applicant for a commercial pilot certificate with a powered-lift category rating may log pilot-in-command flight time for the purpose of satisfying the aeronautical experience requirements in §§ 61.129(e)(2)(ii) of this chapter and 194.216(a) for flights when the pilot is serving as an instructor pilot for the manufacturer of an experimental powered-lift for which the pilot is not rated, provided—
(1) The pilot is acting as pilot-in-command of the experimental powered-lift in accordance with a letter of authorization issued by the Administrator; and
(2) The flight is conducted for the purpose of crew training in accordance with the experimental certificate issued to the powered-lift pursuant to § 21.191 of this chapter.
(a) General applicability. An applicant for a commercial pilot certificate with a powered-lift category rating may satisfy the alternate aeronautical experience and logging requirements set forth in paragraphs (b) and (c) of this section, provided—
(1) The applicant is authorized by the Administrator to serve as an initial check pilot, chief instructor, assistant chief instructor, or training center evaluator for the purpose of initiating training in a powered-lift under an approved training program under part 135, 141, or 142 of this chapter, as appropriate; and
(2) The flights are conducted in type-certificated powered-lift at the manufacturer.
(b) Alternate aeronautical experience requirements. Notwithstanding the eligibility requirement specified in § 61.123(f) of this chapter, an applicant may meet the requirements in paragraphs (b)(1) through (4) of this section in lieu of the aeronautical experience requirements of § 61.129(e)(3) and (4) of this chapter.
(1) An applicant may receive 20 hours of flight training on the areas of operation listed in § 61.127(b)(5) of this chapter from an instructor pilot for the manufacturer of the powered-lift in lieu of an authorized instructor, provided—
(i) The training is conducted in accordance with the manufacturer's training curriculum in the powered-lift; and
(ii) The applicant receives a logbook or training record endorsement from the instructor pilot certifying that the test pilot satisfactorily completed the training curriculum specified in paragraph (b)(1)(i) of this section.
(2) An applicant may accomplish the practical test preparation requirements in § 61.129(e)(3)(iv) of this chapter with a pilot who serves as an instructor pilot for the manufacturer of the powered-lift.
(3) An applicant may satisfy the aeronautical experience requirement in § 61.129(e)(4) of this chapter by logging at least 10 hours of solo flight time in a powered-lift under an endorsement from an instructor pilot or performing the duties of pilot-in-command in a powered-lift with a person onboard who serves as an instructor pilot for the manufacturer of the powered-lift (which may be credited towards the flight time requirement in § 61.129(e)(2) and (e)(2)(ii) of this chapter and 194.216(a)).
(4) An applicant may satisfy the alternate requirements in § 194.233 in lieu of the cross-country aeronautical experience requirements specified in § 61.129(e)(3)(ii) and (iii) and (e)(4)(i) of this chapter.
(c) Alternate logging requirements. Notwithstanding the logging requirements in § 61.51(e)(1) of this chapter, an applicant for a commercial pilot certificate with a powered-lift category rating may log up to 25 hours of pilot-in-command flight time for the purpose of satisfying the aeronautical experience requirements in §§ 61.129(e)(2)(ii) of this chapter and 194.216(a) for flights when the pilot is the sole manipulator of the controls of a powered-lift for which the pilot is not rated, provided—
(1) The applicant is manipulating the controls of the powered-lift with a person onboard who serves as an instructor pilot for the manufacturer;
(2) The applicant is performing the duties of pilot-in-command; and
(3) The flight is conducted in accordance with the manufacturer's training curriculum for the powered-lift.
(a) General applicability. An applicant for a commercial pilot certificate with a powered-lift category rating may satisfy the alternate requirements set forth in paragraphs (b) through (d) of this section, provided the applicant is receiving training under an approved training program under part 135, 141, or 142 of this chapter for the purpose of obtaining a powered-lift category rating.
(b) Alternate aeronautical experience requirements. An applicant may satisfy the alternate requirements in § 194.233 in lieu of the cross-country aeronautical experience requirements specified in § 61.129(e)(3)(ii) and (iii) and (e)(4)(i) of this chapter.
(c) Alternate logging requirement. Notwithstanding the logging requirements in § 61.51(e)(1) of this chapter, an applicant for a commercial pilot certificate with a powered-lift category rating may log up to 25 hours of pilot-in-command time towards the aeronautical experience requirement in § 194.216(a) for flights when the applicant is the sole manipulator of the controls of a powered-lift for which the pilot is not rated, provided—
(1) The applicant is manipulating the controls of the powered-lift with an authorized instructor onboard;
(2) The applicant is performing the duties of pilot-in-command; and
(3) The flight is conducted in accordance with an approved training program under part 135, 141, or 142 of this chapter.
(a) General applicability. An applicant for an instrument-powered-lift rating who is test pilot for the manufacturer of an experimental powered-lift, an FAA test pilot, or aviation safety inspector may satisfy the alternate aeronautical experience and logging requirements set forth in paragraphs (b) and (c) of this section, provided—
(1) The flights are conducted in an experimental powered-lift at the manufacturer; and
(2) The applicant is authorized by the Administrator to act as pilot-in-command of the experimental powered-lift.
(b) Alternate aeronautical experience requirements. A test pilot, FAA test pilot, or aviation safety inspector may meet the aeronautical experience requirements of paragraphs (b)(1) through (4) of this section in lieu of the aeronautical experience requirements of § 61.65(f)(2) of this chapter.
(1) Notwithstanding the eligibility requirement in § 61.65(a)(5) of this chapter, a test pilot, FAA test pilot, or aviation safety inspector may receive 15 hours of instrument training on the areas of operation listed in § 61.65(c) of this chapter from an instructor pilot for the manufacturer of an experimental powered-lift in lieu of an authorized instructor, provided—
(i) The training is conducted in accordance with the manufacturer's proposed training curriculum in the experimental powered-lift; and
(ii) The test pilot, FAA test pilot, or aviation safety inspector receives a logbook or training record endorsement from the instructor pilot certifying that the applicant satisfactorily completed the training curriculum specified in paragraph (b)(1)(i) of this section.
(2) A test pilot, FAA test pilot, or aviation safety inspector may accomplish the practical test preparation requirements in § 61.65(f)(2)(i) of this chapter with an instructor pilot for the manufacturer of the experimental powered-lift.
(3) A test pilot, FAA test pilot, or aviation safety inspector may accomplish the cross-country flight specified in § 61.65(f)(2)(ii) of this chapter for an instrument-powered-lift rating without an authorized instructor, provided the test pilot, FAA test pilot, or aviation safety inspector—
(i) Completes the cross-country flight specified in § 61.65(f)(2)(ii) of this chapter with a pilot who serves as an instructor pilot for the manufacturer of the experimental powered-lift; and
(ii) Obtains a logbook or training record endorsement from the instructor pilot certifying that the person completed the cross-country flight.
(4) A test pilot, FAA test pilot, or aviation safety inspector may satisfy the alternate requirements in § 194.235 in lieu of the cross-country aeronautical experience requirements specified in § 61.65(f)(2)(ii) of this chapter.
(c) Alternate logging requirement. Notwithstanding the logging requirements in § 61.51(e)(1) of this chapter, a test pilot, FAA test pilot, or aviation safety inspector may log pilot-in-command flight time for the purpose of satisfying the 10-hour cross-country requirement in § 61.65(f)(1) of this chapter for flights when the pilot is the sole manipulator of the controls of an experimental powered-lift for which the pilot is not rated, provided—
(1) The test pilot, FAA test pilot, or aviation safety inspector is acting as pilot-in-command of the experimental powered-lift in accordance with a letter of authorization issued by the Administrator; and
(2) The flight is conducted for the purpose of research and development or showing compliance with the regulations in this chapter in accordance with the experimental certificate issued to the powered-lift pursuant to § 21.191 of this chapter.
(a) General applicability. An applicant for an instrument-powered-lift rating who is an instructor pilot for the manufacturer of an experimental powered-lift may satisfy the alternate aeronautical experience and logging requirements set forth in paragraphs (b) and (c) of this section, provided—
(1) The flights are conducted in an experimental powered-lift at the manufacturer; and
(2) The applicant is authorized by the Administrator to act as pilot-in-command of the experimental powered-lift.
(b) Alternate aeronautical experience requirements. An instructor pilot may meet the aeronautical experience requirements of paragraphs (b)(1) through (4) of this section in lieu of the aeronautical experience requirements of § 61.65(f)(2) of this chapter.
(1) Notwithstanding the eligibility requirement in § 61.65(a)(5) of this chapter, an instructor pilot may meet the requirements of paragraphs (b)(1)(i) and (ii) of this section in lieu of the 15 hours of training with an authorized instructor required by § 61.65(f)(2) of this chapter.
(i) The instructor pilot provided the manufacturer's proposed training curriculum to a test pilot, FAA test pilot, or aviation safety inspector in the experimental powered-lift, which includes 15 hours of training on the areas of operation listed in § 61.65(c) of this chapter; and
(ii) The instructor pilot receives a logbook or training record endorsement from a management official within the manufacturer's organization certifying that the instructor pilot provided the training specified in paragraph (b)(1)(i) of this section.
(2) An instructor pilot may accomplish the practical test preparation requirements in § 61.65(f)(2)(i) of this chapter with another pilot who serves as an instructor pilot for the manufacturer of the experimental powered-lift.
(3) An instructor pilot may accomplish the cross-country flight specified in § 61.65(f)(2)(ii) of this chapter for an instrument-powered-lift rating without an authorized instructor, provided the instructor pilot—
(i) Completes the cross-country flight specified in § 61.65(f)(2)(ii) of this chapter with another pilot who serves as an instructor pilot for the manufacturer of the experimental powered-lift; and
(ii) Obtains a logbook or training record endorsement from the instructor pilot certifying that the person completed the cross-country flight.
(4) An instructor pilot may satisfy the alternate requirements in § 194.235 in lieu of the cross-country aeronautical experience requirements specified in § 61.65(f)(2)(ii) of this chapter.
(c) Alternate logging requirement. Notwithstanding the logging requirements in § 61.51(e)(3) of this chapter, an instructor pilot may log pilot-in-command flight time for the purpose of satisfying the 10-hour cross-country requirement in § 61.65(f)(1) of this chapter for flights when the pilot is serving as an instructor pilot for the manufacturer of an experimental powered-lift for which the pilot is not rated, provided the pilot—
(1) Is acting as pilot-in-command of the experimental powered-lift in accordance with a letter of authorization issued by the Administrator; and
(2) The flight is conducted for the purpose of crew training in accordance with the experimental certificate issued to the powered-lift pursuant to § 21.191 of this chapter.
(a) General applicability. An applicant for an instrument-powered-lift rating may satisfy the alternate aeronautical experience and logging requirements set forth in paragraphs (b) and (c) of this section, provided—
(1) The applicant is authorized by the Administrator to serve as an initial check pilot, chief instructor, assistant chief instructor, or training center evaluator for the purpose of initiating training in a powered-lift under an approved training program under part 135, 141, or 142 of this chapter, as appropriate; and
(2) The flights are conducted in type-certificated powered-lift at the manufacturer.
(b) Alternate aeronautical experience requirements. Notwithstanding the instrument rating requirements of § 61.65 of this chapter, an applicant may meet the requirements in paragraphs (b)(1) through (4) of this section in lieu of the aeronautical experience requirements of § 61.65(f)(2) of this chapter.
(1) Notwithstanding the eligibility requirement in § 61.65(a)(5) of this chapter, an applicant may receive 15 hours of instrument training on the areas of operation listed in § 61.65(c) of this chapter from an instructor pilot for the manufacturer of a powered-lift in lieu of an authorized instructor, provided—
(i) The training is conducted in accordance with the manufacturer's training curriculum in the powered-lift; and
(ii) The applicant receives a logbook or training record endorsement from the instructor pilot certifying that the applicant satisfactorily completed the training curriculum specified in paragraph (b)(1)(i) of this section.
(2) An applicant may accomplish the practical test preparation requirements in § 61.65(f)(2)(i) of this chapter with a pilot who serves as an instructor pilot for the manufacturer of the powered-lift.
(3) An applicant may accomplish the cross-country flight specified in § 61.65(f)(2)(ii) of this chapter for an instrument-powered-lift rating without an authorized instructor, provided the applicant—
(i) Completes the cross-country flight specified in § 61.65(f)(2)(ii) of this chapter with a pilot who serves as an instructor pilot for the manufacturer of the powered-lift; and
(ii) Obtains a logbook or training record endorsement from the instructor pilot certifying that the person completed the cross-country flight.
(4) An applicant may satisfy the alternate requirements in § 194.235 in lieu of the cross-country aeronautical experience requirements specified in § 61.65(f)(2)(ii) of this chapter.
(c) Alternate logging requirement. Notwithstanding the logging requirements in § 61.51(e)(1) of this chapter, an applicant for an instrument-powered-lift rating may log pilot-in-command flight time for the purpose of satisfying the 10-hour cross-country requirement in § 61.65(f)(1) of this chapter for flights when the applicant is the sole manipulator of the controls of a powered-lift for which the pilot is not rated, provided—
(1) The applicant is manipulating the controls of the powered-lift with a person onboard who serves as an instructor pilot for the manufacturer;
(2) The applicant is performing the duties of pilot-in-command; and
(3) The flight is conducted in accordance with the manufacturer's training curriculum for the powered-lift.
(a) General applicability. An applicant for an instrument-powered-lift rating may satisfy the alternate requirements set forth in paragraphs (b) and (c) of this section, provided the applicant is receiving training under an approved training program under part 135, 141, or 142 of this chapter for the purpose of obtaining an instrument-powered-lift rating.
(b) Alternate aeronautical experience requirements. An applicant may satisfy the alternate requirements in § 194.235 in lieu of the cross-country aeronautical experience requirements specified in § 61.65(f)(2)(ii) of this chapter.
(c) Use of full flight simulators. In addition to the permitted credit for use of a full flight simulator in § 61.65(h) of this chapter, an applicant for an instrument-powered-lift rating may credit a maximum of 4 hours toward the aeronautical experience requirement in § 61.65(f)(1) of this chapter that requires 10 hours of cross-country time in a powered-lift, provided—
(1) The aeronautical experience was obtained performing the duties of pilot-in-command during a simulated cross-country flight in a Level C or higher full flight simulator that represents the powered-lift category;
(2) The cross-country flight includes the performance of instrument procedures under simulated instrument conditions; and
(3) The sessions are conducted in accordance with an approved training program under part 135, 141, or 142 of this chapter.
Notwithstanding the eligibility requirement in § 61.123(f) of this chapter, an applicant who does not meet the cross-country aeronautical experience requirements specified in § 61.129(e) of this chapter will be considered eligible for a commercial pilot certificate with a powered-lift category rating as specified in paragraphs (a) and (b) of this section.
(a) An applicant who does not meet the cross-country aeronautical experience requirements specified in § 61.129(e)(3)(ii) and (iii) of this chapter will be considered eligible for a commercial pilot certificate with a powered-lift category rating, provided the applicant has logged at least three cross-country flights consisting of—
(1) One 2-hour cross-country flight in a powered-lift in daytime conditions that consists of a total straight-line distance of more than 50 nautical miles from the original point of departure;
(2) One 2-hour cross-country flight in a powered-lift in nighttime conditions that consists of a total straight-line distance of more than 50 nautical miles from the original point of departure; and
(3) An additional cross-country flight with landings at a minimum of three points, with one segment consisting of a straight-line distance of at least 50 nautical miles from the original point of departure. Except for the original point of departure, this additional cross-country flight must include landings at different points than the cross-country flights specified in paragraphs (a)(1) and (2) of this section.
(b) An applicant who does not have the cross-country aeronautical experience specified in § 61.129(e)(4)(i) of this chapter will be considered eligible for a commercial pilot certificate with a powered-lift category, provided the applicant has logged at least two cross-country flights with landings at a minimum of three points, with one segment consisting of a straight-line distance of at least 50 nautical miles from the original point of departure. Except for the original point of departure, the second cross-country flight must include landings at different points than the first cross-country flight.
(a) An applicant who does not meet the cross-country aeronautical experience requirements specified in § 61.65(f)(2)(ii) of this chapter will be considered eligible for an instrument-powered-lift rating, provided the applicant has logged instrument time that includes instrument flight training on cross-country flight procedures, including two cross-country flights in a powered-lift, provided each cross-country flight—
(1) Is conducted with either an authorized instructor or an instructor pilot; and
(2) Involves—
(i) A flight of 100 nautical miles along airways or by directed routing from an air traffic control facility;
(ii) An instrument approach at each airport; and
(iii) Three different kinds of approaches with the use of navigation systems.
(b) Notwithstanding the requirements in § 61.65(f)(2)(ii) of this chapter for the cross-country flight in a powered-lift, an applicant for an instrument-powered-lift rating is not required to file a flight plan and perform the cross-country flight under instrument flight rules, provided—
(1) The powered-lift is not certificated for instrument flight; and
(2) The applicant holds one of the following—
(i) An instrument-airplane rating;
(ii) An instrument-helicopter rating; or
(iii) An airline transport pilot certificate.
Notwithstanding the eligibility requirement in § 61.103(g) of this chapter, an applicant who does not meet the cross-country aeronautical experience requirements specified in § 61.109(e) of this chapter will be considered eligible for a private pilot certificate with a powered-lift category rating as specified in paragraphs (a) and (b) of this section.
(a) Cross-country aeronautical experience at night. An applicant who does not meet the cross-country aeronautical experience specified in § 61.109(e)(2)(i) of this chapter will be considered eligible for a private pilot certificate with a powered-lift category rating, provided the applicant has received 3 hours of night flight training that includes two cross-country flights that are each over 50 nautical miles total distance.
(b) Solo cross-country aeronautical experience. An applicant who does not meet the solo cross-country aeronautical experience specified in § 61.109(e)(5)(ii) of this chapter will be considered eligible for a private pilot certificate with a powered-lift category rating, provided the applicant has completed—
(1) One solo cross-country flight of 100 nautical miles total distance, with landings at three points, and one segment of the flight being a straight-line distance of more than 25 nautical miles between the takeoff and landing locations; and
(2) An additional solo cross-country flight in a powered-lift with landings at a minimum of three points, with one segment consisting of a straight-line distance of at least 50 nautical miles from the original point of departure. Except for the original point of departure, the additional cross-country flight must include landings at different points than the first cross-country flight.
(a) Flight training minimum curriculum content. Notwithstanding the minimum curriculum requirements in § 141.55(a) of this chapter, a training course for which approval is requested is not required to consist of training on a task specified in an area of operation listed in the applicable appendix to part 141, provided—
(1) The training course for which approval is requested is for a powered-lift course;
(2) The powered-lift to be used in the course is not capable of performing the task specified in an area of operation listed in the applicable appendix to part 141; and
(3) The FAA has issued waiver authority for that task in accordance with § 194.207(b).
(b) Cross-country minimum curriculum content. Notwithstanding the minimum curriculum requirements in § 141.55(a) of this chapter, a training course for which approval is requested is not required to meet the minimum curriculum content specified in appendices B, C, and D to part 141, provided—
(1) The training course for which approval is requested is for a powered-lift course.
(2) The minimum curriculum content that is not met may consist of the training specified in—
(i) Appendix B, paragraph 4.(b)(5)(ii)(A);
(ii) Appendix B, paragraph 5.(e)(1);
(iii) Appendix C, paragraph 4.(c)(3)(ii);
(iv) Appendix D, paragraph 4.(b)(5)(ii) and (iii);
(v) Appendix D, paragraph 5.(e)(2); or
(vi) Appendix M, paragraphs 4.(b)(4)(ii)(A), 4.(b)(4)(iii)(A), and 5.(d)(1).
(3) For each provision of training specified in paragraph (b)(2) of this section that is not met, the training course must include an additional cross-country flight consistent with the requirements of §§ 194.233, 194.235, and 194.237.
(a) Notwithstanding the qualification requirements in §§ 141.35(a)(1), 141.36(a)(1), and 141.37(a)(2)(ii) of this chapter, for a course of training under part 141 of this chapter that uses a powered-lift, a person seeking designation as a chief instructor, an assistant chief instructor, or a check instructor for checks and tests that relate to flight training must meet the following requirements—
(1) Hold a commercial pilot certificate or an airline transport pilot certificate with the following ratings—
(i) A powered-lift category rating;
(ii) A type rating for the powered-lift used in the course; and
(iii) An instrument-powered-lift rating or an airline transport pilot certificate with instrument privileges.
(2) Hold a current flight instructor certificate with the following ratings—
(i) A powered-lift category rating; and
(ii) An instrument-powered-lift rating, if an instrument rating is required for the course.
(b) Notwithstanding the qualification requirements in § 141.37(a)(3)(ii) of this chapter, for a course of training under part 141 of this chapter that uses a powered-lift, a person seeking designation as a check instructor for checks and tests that relate to ground training must hold a current flight instructor certificate with a powered-lift category rating or a ground instructor rating appropriate for the course.
(a) Part 135 airman certification training program. (1) Subject to the requirements in subpart H to part 135 of this chapter, a certificate holder under part 119 of this chapter authorized to conduct part 135 operations may obtain approval under § 135.325 of this chapter to establish and implement a training curriculum to satisfy the following:
(i) Ground training, flight training, and aeronautical experience requirements in § 61.65 of this chapter and § 194.231 for the addition of an instrument-powered-lift rating to a commercial pilot certificate;
(ii) Ground training, flight training, and aeronautical experience requirements in § 61.63(b) of this chapter for the addition of an aircraft category rating to a commercial pilot certificate; and
(iii) Ground and flight training requirements in § 61.63(d) of this chapter to add a type rating to a commercial pilot certificate.
(2) No certificate holder may use a person, nor may any person serve, as an instructor in a training curriculum approved to meet the requirements of paragraph (a)(1) of this section unless, in addition to being qualified under §§ 135.338 and 135.340 of this chapter, the person holds a flight instructor certificate with a powered-lift category rating and instrument-powered-lift rating issued under part 61 of this chapter.
(3) A certificate holder may train a pilot in a training curriculum approved to meet the requirements of paragraph (a)(1) of this section only if the pilot is employed by the certificate holder under part 119 of this chapter and holds at least the certificates and ratings set forth by § 194.215(a).
(4) In addition to § 135.327 of this chapter, any curriculum approved under paragraphs (a)(1)(i) through (iii) of this section must include the applicable aeronautical knowledge areas, areas of operation, and flight training required by part 61 of this chapter. If an alternative requirement is provided in this part, that alternative may be used.
(b) Part 135 airman certification and checking. (1) A pilot who is employed by a certificate holder under part 119 of this chapter authorized to conduct operations under part 135 who completes the approved curricula in paragraphs (a)(1)(i) through (iii) of this section may apply to add a powered-lift category rating concurrently with a powered-lift instrument rating and an initial powered-lift type rating to a commercial pilot certificate if the person meets the following requirements:
(i) Meets the requirements of §§ 61.63(b) and 61.65(f) of this chapter, or if an alternative requirement is provided in this part, that alternative may be used;
(ii) Has a training record endorsement from the certificate holder certifying that the pilot satisfactorily completed the applicable ground and flight training curricula in the approved part 135 airman certification training program; and
(iii) Successfully completes the written or oral testing under § 135.293(a)(2) and (3) of this chapter, a competency check under § 135.293(b) of this chapter, and an instrument proficiency check under § 135.297 of this chapter provided the following conditions are met:
(A) The competency check includes the maneuvers and procedures required for the issuance of a commercial pilot certificate with a powered-lift category rating, for the issuance of an instrument-powered-lift rating and for the issuance of a powered-lift type rating.
(B) The instrument proficiency check meets the requirements of § 135.297 of this chapter as applicable to a pilot in command (PIC) holding a commercial pilot certificate except that the instrument approaches to be included in the check must include all instrument approaches required for the issuance of an instrument-powered-lift rating and not only those for which the pilot is to be authorized to perform in part 135 operations.
(2) Sections 135.293(d) and 135.301(b) of this chapter are not applicable to the competency check and instrument proficiency check required by paragraph (b)(1)(iii) of this section.
(3) A pilot who meets paragraph (b)(1) of this section will be issued a commercial pilot certificate with a powered-lift category rating, an instrument-powered-lift rating, and a powered-lift type rating.
(4) An applicant who fails a check under paragraph (b)(1) of this section may reapply for the check only after the applicant has received:
(i) The necessary training from an authorized instructor or instructor pilot who has determined that the applicant is proficient to pass the test; and
(ii) An endorsement from an authorized instructor or instructor pilot who gave the applicant the additional training.
(c) Part 135 certification testing and checking personnel. The testing, competency checks, and instrument proficiency checks required by paragraph (b) of this section must be administered by one of the following:
(1) An FAA Aviation Safety Inspector.
(2) An Aircrew Program Designee who is authorized to perform competency checks and instrument proficiency checks for the certificate holder whose approved ground and flight training curricula has been satisfactorily completed by the pilot applicant.
(3) A Training Center Evaluator with appropriate certification authority who is also authorized to perform competency checks and instrument proficiency checks for the certificate holder whose approved ground and flight training curricula has been satisfactorily completed by the pilot applicant.
(a) Section 91.1055(a) of this chapter applies to powered-lift operating under subpart K to part 91.
(b) Reference to class of aircraft in § 91.1055(b)(2) of this chapter is inapplicable when a powered-lift is used for the operation under subpart K to part 91.
(a) Unless otherwise directed in this chapter, powered-lift must continue to comply with rules applicable to aircraft specified in part 135.
(b) To comply with § 135.3 of this chapter, each certificate holder that conducts commuter operations under part 135 with powered-lift for which two pilots are required by the type certificate must:
(1) Comply with subpart Y to part 121 of this chapter instead of the requirements of subparts G and H to part 135; and
(2) Include in initial ground training for pilots in command and upgrade ground training, instruction and facilitated discussion on the following:
(i) Leadership and command; and
(ii) Mentoring, including techniques for instilling and reinforcing the highest standards of technical performance, airmanship, and professionalism in newly hired pilots.
(3) Include the training required by paragraph (b)(2)(ii) of this section in recurrent ground training for pilots in command every 36 calendar months.
(4) Include in initial flight training for pilots in command and upgrade flight training, sufficient scenario-based training incorporating crew resource management and leadership and command skills, to ensure the pilot's proficiency as pilot in command.
(c) In lieu of compliance with the operating experience requirements listed in § 135.244(a)(1) through (4) of this chapter, no certificate holder may use a person, nor may any person serve, as pilot in command of a powered-lift unless that person possesses 20 hours of operating experience in each make and basic model of powered-lift to be flown.
(d) To comply with § 135.345 of this chapter, initial, transition, and upgrade ground training for powered-lift pilots must include instruction in § 135.345(b)(6)(iv) of this chapter, as applicable.
(a) References to class of aircraft in §§ 135.4(b)(2), 135.247(a)(1) and (2), and 135.603 of this chapter are inapplicable when a powered-lift is used for the operation under part 135.
(b) Notwithstanding the course content contained in the appendices to part 141, references to a class rating or a class of aircraft in those appendices is inapplicable when a powered-lift is used for the course of training.
(c) References to class of aircraft in §§ 142.11(d)(2)(ii), 142.49(c)(3)(iii), 142.53(b)(1), and 142.65(b)(1) of this chapter are inapplicable when a powered-lift or flight simulation training device representing a powered-lift is used for the operation under part 142.
A training course for which approval is requested is not required to consist of training on a task specified in an area of operation if the powered-lift is not capable of performing the task, provided the FAA has issued waiver authority for that task in accordance with § 194.207(b).
(a) Powered-lift equipped with an instantly accessible single, functioning control. (1) A person may utilize the alternate requirement provided in paragraph (a)(2) of this section only if the applicant holds at least the certificates and ratings set forth by § 194.215(a) and instruction is provided by:
(i) An instructor pilot for the manufacturer of the powered-lift under the manufacturer's proposed training curriculum, or
(ii) A flight instructor under an approved training curriculum under part 135, 141, or 142 of this chapter, as applicable.
(2) Notwithstanding the requirements of §§ 61.195(g) and 91.109(a) of this chapter, a person may operate a powered-lift that is being used for flight training without fully functioning dual controls provided—
(i) The powered-lift is equipped with a single functioning flight control that is instantly accessible by both the applicant and the instructor;
(ii) The single functioning flight control meets the certification standards for both pilot stations; and
(iii) The instructor has determined that the flight can be conducted safely.
(b) Full flight simulator training for powered-lift with single functioning controls and a single pilot station. A person may apply for a powered-lift category rating, an instrument-powered-lift rating, and a powered-lift type rating concurrently for a powered-lift with single controls and a single pilot station under an approved part 135, 141, or 142 training program by meeting the requirements set forth in appendix A to this part.
(c) Deviation authority. Notwithstanding the requirements of §§ 61.195(g) and 91.109 of this chapter, the Administrator may authorize a deviation to operate a powered-lift that is being used for flight training in an approved training program under part 135, 141, or 142 without fully functioning dual controls provided:
(1) The certificate holder demonstrates in a form and manner acceptable to the Administrator that—
(i) The person providing the flight training and the PIC observing any applicable supervised operating experience can take immediate corrective action and full control of the powered-lift;
(ii) The flight training and any applicable supervised operating experience can be effectively conducted in the powered-lift; and
(2) The Administrator determines that the alternate flight training and applicable supervised operating experience set forth by paragraph (c)(1) of this section will not adversely affect safety.
(3) The FAA may cancel or amend a letter of deviation authority at any time if the Administrator determines that the requirements of this section are not met or if such action is necessary in the interest of safety.
(a) Notwithstanding § 61.64(f) of this chapter, a person who holds a powered-lift category, instrument-powered-lift rating, and powered-lift type rating and seeks an additional type rating for a powered-lift with a single functioning control and a single pilot station in accordance with §§ 61.63(d) and 61.64(a) of this chapter, and does not meet requirements of § 61.64(e), will receive a limitation on the certificate restricting the person operating the powered-lift type from carrying any person or property on the aircraft, other than necessary for the purpose of paragraph (b) of this section.
(b) The limitation described in paragraph (a) of this section may be removed from the rating if the person complies with the following:
(1) Performs 25 hours of flight time in the type of powered-lift for which the limitation applies under the observation of a fully rated pilot without limitations for the aircraft, maintaining full communication with the observing pilot,
(2) Logs each flight and the observing pilot attests in writing to each flight, and
(3) Presents evidence of the supervised operating experience to any examiner or Flight Standards office to have the limitation removed.
(c) The observing pilot must have unobstructed visual sight of the controls and instrumentation.
Unless otherwise specified by this part, persons operating powered-lift must continue to comply with rules applicable to all aircraft in parts 91, 135, and 136 of this chapter, as applicable to the operation. In addition, any sections or paragraphs within sections under parts 91 and 135 that refer to specific categories of aircraft and that are not referenced in the SFAR table to § 194.302 or § 194.306, do not apply to powered-lift.
No person may operate a powered-lift under part 91 of this chapter unless that person complies with the regulations listed in the first column of table 1 to this section, notwithstanding their applicability to airplanes, helicopters, or rotorcraft, subject to the applicability provisions in the second column, and any additional requirements or clarification specified in the third column:
Table 1 to § 194.302
| Regulation | Applicability | Additional requirements or clarification |
|---|---|---|
| (a) Section 91.9(a) and (b) of this chapter | Applies to all powered-lift | The requirement for an approved Aircraft Flight Manual is set forth in the airworthiness criteria established under § 21.17(b) of this chapter. |
| (b) Section 91.103(b)(1) of this chapter | Applies to powered-lift for which an approved Aircraft Flight Manual containing takeoff and landing distance data is required | |
| (c) Section 91.107(a)(3)(i) through (iii) of this chapter | Applies to all powered-lift | The exception under § 91.107(a)(3) of this chapter for seaplane and float equipped rotorcraft operations during movement on the surface applies to persons pushing off a powered-lift from the dock or persons mooring the powered-lift at the dock. |
| (d) Section 91.119(d) of this chapter | Applies to powered-lift operating in vertical-lift flight mode | Under § 91.119(d) of this chapter, a powered-lift may be operated in vertical-lift flight mode at less than the minimums prescribed in § 91.119(b) or (c) of this chapter, provided each person operating the powered-lift complies with any routes or altitudes specifically prescribed for powered-lift by the FAA. |
| (e) Section 91.126(b)(1) of this chapter | Applies to powered-lift operating in wing-borne flight mode | If the powered-lift is operating in vertical-lift flight mode, see paragraph (f) of this section. |
| (f) Section 91.126(b)(2) of this chapter | Applies to powered-lift operating in vertical-lift flight mode | If the powered-lift is operating in wing-borne flight mode, see paragraph (e) of this section. |
| (g) Section 91.129(e)(1) and (2), (g)(2), and (h) of this chapter | Applies to large or turbine-powered powered-lift | |
| (h) Section 91.129(e)(3) of this chapter | Applies to powered-lift preparing to land in wing-borne flight mode | |
| (i) Section 91.129(f)(1) of this chapter | Applies to powered-lift operating in wing-borne flight mode | (1) If the powered-lift is operating in vertical-lift flight mode, see paragraph (j) of this section. |
| (2) Section 91.129(f)(1) of this chapter does not apply when the operator of a powered-lift is conducting a circling approach under part 97 of this chapter or when otherwise requested by air traffic control (ATC). | ||
| (j) Section 91.129(f)(2) of this chapter | Applies to powered-lift operating in vertical-lift flight mode | (1) If the powered-lift is operating in wing-borne flight mode, see paragraph (i) of this section. |
| (2) Section 91.129(f)(2) does not apply when the operator of a powered-lift is conducting a circling approach under part 97 of this chapter or when otherwise requested by ATC. | ||
| (k) Section 91.131(a)(2) of this chapter | Applies to large powered-lift | |
| (l) Section 91.151(a) and (b) of this chapter | Applies to powered-lift | (1) A powered-lift with the performance capability, as outlined in the Aircraft Flight Manual, to conduct a landing in the vertical-lift flight mode along the entire route of flight may use the VFR fuel requirements outlined in § 91.151(b) of this chapter. |
| (2) Powered-lift unable to meet the requirements of paragraph (l)(1) of this section must use the rule requirements outlined in § 91.151(a) of this chapter. | ||
| (m) Section 91.155(a) of this chapter | The helicopter provision under § 91.155(a) of this chapter applies to powered-lift operating in vertical-lift flight mode and at a speed that allows the pilot to see any other traffic or obstructions in time to avoid a collision | (1) Except as provided in § 91.155(b) of this chapter, powered-lift that meet the requirements of paragraph (m) of this section may operate under the helicopter VFR visibility minimums outlined under § 91.155(a) of this chapter in class G airspace. |
| (2) Powered-lift unable to meet the requirements of paragraph (m) of this section must use the VFR visibility minimums in § 91.155(a) of this chapter for aircraft other than helicopters. | ||
| (n) Section 91.155(b)(1) of this chapter | Applies to powered-lift operating in the vertical-lift flight mode and at a speed that allows the pilot to see any other traffic or obstructions in time to avoid a collision | (1) Powered-lift that meet the requirements of paragraph (n) of this section may use the VFR visibility minimums outlined in § 91.155(b)(1) of this chapter in Class G airspace. |
| (2) Powered-lift unable to meet the requirements of paragraph (n) of this section must use the visibility minimums outlined in § 91.155(b)(2) of this chapter. | ||
| (o) Section 91.155(b)(2) of this chapter | Applies to powered-lift | Powered-lift operating in Class G airspace that cannot meet the requirements of paragraph (n) of this section must use the VFR visibility minimums outlined under § 91.155(b)(2) of this chapter. |
| (p) Section 91.157(b)(3), (b)(4), and (c) of this chapter | The helicopter exceptions outlined in § 91.157(b)(3), (b)(4), and (c) of this chapter apply to powered-lift operating in vertical-lift flight mode when those aircraft are operated at a speed that allows the pilot to see any other traffic or obstructions in time to avoid a collision | |
| (q) Section 91.167(a)(3) and (b)(2)(ii) of this chapter | The helicopter provisions in § 91.167(a)(3) and (b)(2)(ii) of this chapter apply to powered-lift authorized to conduct copter procedures and that have the performance capability for the entire flight to conduct a landing in the vertical-lift flight mode, as outlined in the Aircraft Flight Manual | (1) Powered-lift that meet the requirements of paragraph (q) of this section may use the helicopter provisions under § 91.167(a)(3) and (b)(2)(ii) of this chapter.
(2) Powered-lift that are unable to meet the requirements outlined in paragraph (q) of this section must use the 45-minute fuel requirement outlined in § 91.167(a)(3) of this chapter and the aircraft requirement outlined in § 91.167(b)(2)(i) of this chapter. |
| (r) Section 91.169(b)(2)(ii) and (c)(1)(ii) of this chapter | Applies to powered-lift authorized to conduct copter procedures and that have the performance capability to land in the vertical-lift flight mode, as outlined in the Aircraft Flight Manual | (1) Powered-lift that meet the requirements of paragraph (r) of this section may use the helicopter provisions specified in § 91.169(b)(2)(ii) and (c)(1)(ii) of this chapter. |
| (2) Powered-lift that are unable to meet the requirements outlined in paragraph (r) of this section must use the requirements for aircraft other than helicopters under § 91.169(b)(2)(i) and (c)(1)(i) of this chapter. | ||
| (s) Section 91.175(f)(2)(iii) of this chapter | Applies to powered-lift with two engines or less, that takeoff in vertical-lift flight mode, and that are authorized to conduct copter procedures | Powered-lift with two engines or less that are unable to meet the requirements outlined in this paragraph (s) must comply with § 91.175(f)(2)(i) of this chapter. |
| (t) Section 91.175(f)(4)(i) of this chapter | Applies to part 135 of this chapter powered-lift operators required to comply with subpart I to part 135 of this chapter | |
| (u) Section 91.205(b)(11) and (14) of this chapter | Applies to small powered-lift | Position and anti-collision lights must meet § 23.2530(b) of this chapter. |
| (v) Section 91.205(d)(3)(i) of this chapter | Applies to powered-lift certified for instrument flight rules operations | |
| (w) Section 91.207 of this chapter | Applies to all powered-lift | |
| (x) Section 91.219 of this chapter | Applies to all powered-lift | |
| (y) Section 91.223(a) and (c) of this chapter | Applies to powered-lift configured with 6 or more passenger seats, excluding any pilot seat | Instead of terrain awareness and warning system (TAWS), powered-lift must be equipped with a helicopter terrain awareness and warning system (HTAWS) that meets the requirements in TSO-C194 and Section 2 of RTCA DO-309 (incorporated by reference, see § 194.109) or a FAA-approved TAWS A/HTAWS hybrid system. |
| (z) Section 91.313(g) of this chapter | Applies to restricted category small powered-lift | |
| (aa) Section 91.409(e) through (h) of this chapter | Applies to technically-advanced powered-lift which are powered-lift equipped with an electronically advanced system in which the pilot interfaces with a multi-computer system with increasing levels of automation in order to aviate, navigate, or communicate | (1) Unless otherwise authorized by the Administrator, a technically advanced powered-lift must be equipped with an electronically advanced multi-computer system that includes one or more of the following installed components:
(i) An electronic Primary Flight Display (PFD) that includes, at a minimum, an airspeed indicator, turn coordinator, attitude indicator, heading indicator, altimeter, and vertical speed indicator; |
| (ii) An electronic Multifunction Display (MFD) that includes, at a minimum, a moving map using Global Positioning System (GPS) navigation with the aircraft position displayed; | ||
| (iii) A multi-axis autopilot integrated with the navigation and heading guidance system; and | ||
| (iv) Aircraft design with advanced fly-by-wire-flight control system that utilizes electronically operated controls with no direct mechanical link from the pilot to the control surfaces. | ||
| (2) The display elements described in paragraphs (aa)(1)(i) and (ii) of this section must be continuously visible. | ||
| (bb) Section 91.411 of this chapter | Applies to all powered-lift | |
| (cc) Section 91.501 of this chapter | Applies to large powered-lift regardless of powerplant, as well as powered-lift operating under subpart K to part 91 of this chapter, and subject to any limitations outlined in this part | Any sections or paragraphs within sections to subpart F to part 91 of this chapter that refer to a specific category of aircraft and that are not referenced in this table or the table to § 194.306, do not apply to powered-lift. |
| (dd) Section 91.503 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | Powered-lift may comply with § 91.503(a)(5) of this chapter by having the appropriate engine or multiple-engines inoperative climb performance data available at the pilot station of the aircraft. |
| (ee) Section 91.505 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | |
| (ff) Section 91.507 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | |
| (gg) Section 91.509 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | (1) Powered-lift operating over water under § 91.509(a) or (b) of this chapter may use either the nearest shore or the nearest off-shore heliport structure by which to measure the nautical mile limits provided in § 91.509(a) and (b). |
| (2) The lifeline required by § 91.509(b)(5) of this chapter must be stored in accordance with § 25.1411(g) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. | ||
| (hh) Section 91.511 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | Powered-lift operating over water under § 91.511(a) of this chapter may use either the nearest shore or the nearest off-shore heliport structure by which to measure the nautical mile limits provided in § 91.511(a). |
| (ii) Section 91.513 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | |
| (jj) Section 91.515 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | |
| (kk) Section 91.517 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | |
| (ll) Section 91.519 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | |
| (mm) Section 91.521 of this chapter | Applies to large powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | The safety belt and shoulder harness required by § 91.521 of this chapter must comply with § 25.785 of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (nn) Section 91.523 of this chapter | Applies to powered-lift having a seating capacity of more than 19 passengers subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | The carry-on baggage required by § 91.523 of this chapter must be stowed such that it can withstand the inertia forces specified in § 25.561(b)(3) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (oo) Section 91.525 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | |
| (pp) Section 91.527(a) of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | (1) Powered-lift critical surfaces, as outlined in the Aircraft Flight Manual for that aircraft, must also be determined to be free of frost, ice, or snow. |
| (2) Powered-lift critical surfaces under this section are determined by the manufacturer. | ||
| (qq) Section 91.527(b)(2) and (3) of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | Instead of § 91.527(b)(2) and (3) of this chapter, to operate instrument flight rules (IFR) into known light or moderate icing conditions or VFR into known light or moderate icing conditions, an operator must comply with § 194.306(xx). |
| (rr) Section 91.527(c) of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | No pilot may fly a powered-lift into known or forecast severe icing conditions. |
| (ss) Section 91.531(a)(1) and (2), (b), and (c) of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section and that meet the additional requirements as set forth in each paragraph of § 91.531 of this chapter; § 91.531(b)(2) of this chapter applies to large powered-lift that meet the additional requirements set forth in that paragraph | |
| (tt) Section 91.533 of this chapter | Applies to powered-lift subject to the requirements of subpart F to part 91 of this chapter as specified in paragraph (cc) of this section | |
| (uu) Section 91.603 of this chapter | Applies to large powered-lift | The aural speed warning device required by § 91.603 of this chapter must comply with § 25.1303(c)(1) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (vv) Section 91.605(b)(1) of this chapter | Applies to large powered-lift | The Aircraft Flight Manual must contain the takeoff weight performance information. |
| (ww) Section 91.605(b)(2) of this chapter | Applies to large powered-lift | The Aircraft Flight Manual must contain the landing performance information. |
| (xx) Section 91.605(b)(3), (b)(4)(ii), and (c) of this chapter | Applies to large powered-lift that execute takeoff operations using wing-borne lift and that have takeoff performance information contained in the Aircraft Flight Manual | |
| (yy) Section 91.609(c), (d), (e), (i), and (j) of this chapter | Paragraph (c) of § 91.609 of this chapter applies to powered-lift with a passenger seating configuration, excluding any pilot seats, of 10 or more seats; § 91.609(e) of this chapter applies to powered-lift with a passenger seating configuration of six or more seats and for which two pilots are required by type certification or operating rule; § 91.609(d) of this chapter applies to powered-lift required by that section to have a flight data recorder; and § 91.609(i) and (j) of this chapter apply to powered-lift required by that section to have a cockpit voice recorder and a flight data recorder | (1) Operators of powered-lift having a passenger seating configuration, excluding any pilot seat, of 10 or more must comply with § 194.310 or § 194.311 in lieu of the appendices referenced in § 91.609(c)(1) of this chapter.
(2) For compliance with § 91.609(c)(3), (e)(1), and (i) of this chapter, powered-lift must comply with the certification provisions listed in those paragraphs or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. (3) Under § 91.609(d) of this chapter, the flight recorder must operate continuously from the earlier of when the powered-lift begins the takeoff roll or begins lift-off until the later of when the powered-lift completes the landing roll or lands at its destination. |
| (zz) Section 91.613(b)(2) of this chapter | Applies to large powered-lift | The thermal/acoustic installation materials required by § 91.613(b)(2) of this chapter must meet the requirements of § 25.856 of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (aaa) Section 91.1037 of this chapter | Applies to large powered-lift subject to the requirements of subpart K to part 91 of this chapter that are certificated to conduct landing operations in wing-borne flight mode as indicated in the Aircraft Flight Manual | If a powered-lift operator is required to comply with this section, the operator must also comply with § 91.1025(o)(7) of this chapter. |
| (bbb) Section 91.1041(b) and (d) of this chapter | Applies to all powered-lift subject to the requirements of subpart K to part 91 of this chapter | |
| (ccc) Section 91.1045(a) of this chapter | Applies to powered-lift subject to the requirements of subpart K to part 91 of this chapter with a passenger-seat configuration of more than 30 seats or a payload capacity of more than 7,500 pounds | Under § 91.1045(a)(3) of this chapter, instead of TAWS, powered-lift must be equipped with a helicopter terrain awareness and warning system (HTAWS) that meets the requirements in TSO-C194 and Section 2 of RTCA DO-309 (incorporated by reference, see § 194.109) or a FAA-approved TAWS A/HTAWS hybrid system. |
| (ddd) Section 91.1045(b) of this chapter | Applies to powered-lift subject to the requirements of subpart K to part 91 of this chapter with a passenger-seat configuration of 30 seats or fewer, excluding each crewmember, and a payload capacity of 7,500 pounds or less | Compliance with § 91.1045(b)(3) of this chapter requires a helicopter terrain awareness and warning system that complies with § 194.306(s). |
Section 91.1039(c) of this chapter applies to all powered-lift operated under subpart K to part 91 of this chapter regardless of powerplant type.
Notwithstanding § 194.301, the exceptions outlined in § 91.215(b)(3) and (5) of this chapter for aircraft not certificated with an engine-driven electrical system do not apply to powered-lift.
Persons operating powered-lift may use copter procedures as defined in § 97.3 of this chapter if the aircraft is certified for instrument flight rule operations and does not contain a limitation prohibiting use of such procedures in its Aircraft Flight Manual.
No person may operate a powered-lift under part 135 of this chapter unless that person complies with the regulations listed in the first column of table 1 to this section, notwithstanding their applicability to airplanes, helicopters, or rotorcraft, subject to the applicability provisions in the second column and any additional requirements or clarification specified in the third column.
Table 1 to § 194.306
| Regulation | Applicability | Additional requirements or clarification |
|---|---|---|
| (a) Section 135.1(a)(9) of this chapter | Applies to powered-lift conducting operations in accordance with subpart L of part 135 of this chapter | |
| (b) Section 135.23(r) of this chapter | Applies to powered-lift required to comply with § 135.385 of this chapter as set forth in paragraphs (hhh) and (iii) of this section | |
| (c) Section 135.93(a) through (f) of this chapter | Applies to all powered-lift | (1) The requirements referencing an Airplane Flight Manual under § 135.93(b) of this chapter apply to a powered-lift's Aircraft Flight Manual. |
| (2) Under § 135.93(c) of this chapter, no person operating a powered-lift may use an autopilot enroute, including climb and descent, below the following— | ||
| (i) Either: | ||
| (A) At a minimum engagement altitude specified in the Aircraft Flight Manual; or | ||
| (B) If no minimum engagement altitude is specified, 500 feet, or at an altitude that is no lower than twice the altitude loss specified in the Aircraft Flight Manual for an autopilot malfunction in cruise conditions, whichever is greater; or | ||
| (ii) Notwithstanding the requirements of paragraphs (c)(2)(i)(A) and (B) of this section, at an altitude specified by the Administrator. | ||
| (d) Section 135.117(a)(9) of this chapter | Applies to powered-lift conducting operations beyond the autorotational distance from the shoreline, as defined in § 135.168(a) of this chapter, or gliding distance of a shoreline | |
| (e) Section 135.128(a) of this chapter | Applies to all powered-lift | The exception under § 135.128(a) of this chapter for seaplane and float equipped rotorcraft operations during movement on the surface applies to persons pushing off a powered-lift from the dock or persons mooring the powered-lift at the dock. |
| (f) Section 135.145(b) of this chapter | Applies to all powered-lift unless the certificate holder has previously proven a powered-lift under part 135 of this chapter | |
| (g) Section 135.145(d)(1) of this chapter | Applies to all powered-lift unless a powered-lift of the same make or similar design has been proven or validated by that certificate holder under part 135 of this chapter | |
| (h) Section 135.150(a)(7) of this chapter | Applies to large powered-lift with a passenger seating configuration, excluding any pilot seat, of more than 19 | The public address system required by § 135.150(a)(7) of this chapter must comply with § 25.1423 of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (i) Section 135.150(b)(7) of this chapter | Applies to large powered-lift with a passenger seating configuration, excluding any pilot seat, of more than 19 | The crewmember interphone system must comply with the requirements of § 135.150(b)(7) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (j) Section 135.151(a) of this chapter | Applies to powered-lift with a passenger seating configuration of six or more seats and for which two pilots are required by certification or operating rules | The cockpit voice recorder must be installed and equipped in accordance with the certification provisions listed in § 135.151(a)(1) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (k) Section 135.151(b) of this chapter | Applies to powered-lift with a passenger seating configuration of 20 or more seats | The cockpit voice recorder must be installed and equipped in accordance with the certification provisions listed in § 135.151(b)(1) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (l) Section 135.151(d) of this chapter | Applies to large powered-lift or powered-lift equipped with a cockpit voice recorder | The cockpit voice recorder required by § 135.151(d) of this chapter must record the uninterrupted audio signal received by a boom or mask microphone in accordance with § 25.1457(c)(5) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (m) Section 135.151(g)(1) of this chapter | Applies to powered-lift with a passenger seating configuration of six or more seats, for which two pilots are required by certification or operating rules, and that are required to have a flight data recorder under § 135.152 of this chapter | The cockpit voice recorder must be installed and equipped in accordance with the appropriate certification provisions listed in § 135.151(g)(1)(i) and (iv) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (n) Section 135.151(g)(2) of this chapter | Applies to powered-lift with a passenger seating configuration of 20 or more seats and that is required to have a flight data recorder under § 135.152 of this chapter | The cockpit voice recorder must be installed and equipped in accordance with the appropriate certification provisions listed in § 135.151(g)(2)(i) and (iv) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (o) Section 135.151(h) of this chapter | Applies to powered-lift required to have a cockpit voice recorder and a flight data recorder under part 135 with installed datalink communication equipment | |
| (p) Section 135.152(a) of this chapter | Section 135.152(a) of this chapter applies to powered-lift with a passenger seating configuration of 10 to 19 seats | Powered-lift operators must comply with § 194.312 or § 194.313 in lieu of the appendices referenced in § 135.152 of this chapter. |
| (q) Section 135.152(b) introductory text and (b)(3) of this chapter | Section 135.152(b) introductory text and (b)(3) apply to powered-lift with a passenger seating configuration of 20 to 30 seats | |
| (r) Section 135.152(c), (d), (f), and (j) of this chapter | Applies to powered-lift with a passenger seating configuration, excluding crewmember seats, of 10 to 30 | (1) The flight recorder must be installed and equipped in accordance with the appropriate certification provisions listed in § 135.152 of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (2) Certificate holders must keep the recorded data until the powered-lift has been operating for at least 25 hours. | ||
| (3) The powered-lift flight recorder must be operated continuously from the instant the powered-lift begins the takeoff roll or lift-off until the landing is completed. | ||
| (s) Section 135.154(a) and (c) of this chapter | Applies to powered-lift configured with 6 or more passenger seats, excluding any pilot seat | Instead of TAWS, powered-lift must be equipped with a helicopter terrain awareness and warning system (HTAWS) that meets the requirements in TSO-C194 and Section 2 of RTCA DO-309 (incorporated by reference, see § 194.109) or a FAA-approved TAWS A/HTAWS hybrid system. |
| (t) Section 135.158 of this chapter | Applies to powered-lift equipped with a flight instrument pitot heating system | Under § 135.158(a) of this chapter, no person may operate a powered-lift equipped with a flight instrument pitot heating system unless the aircraft is also equipped with an operable pitot heat indication system that complies with § 23.2605 or § 25.1326 of this chapter, or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter that provides an alert that is in clear view of a flightcrew member. |
| (u) Section 135.159(a)(1) of this chapter | Applies to powered-lift with a third attitude instrument system that meets the requirements of § 135.159(a)(1) of this chapter | |
| (v) Section 135.160 of this chapter | Applies to all powered-lift | |
| (w) Section 135.163(g) of this chapter | Applies to all powered-lift | The two required generators may be mounted on a drivetrain that is driven by two separate powerplants as outlined in § 135.163(g) of this chapter for multi-engine helicopters. |
| (x) Section 135.165(d) of this chapter | Applies to powered-lift having a passenger seat configuration, excluding any pilot seat, of 10 seats or more, or a powered-lift in a commuter operation, as defined in part 119 of this chapter | |
| (y) Section 135.165(g)(1) of this chapter | Applies to powered-lift for purposes of approving a single long-range navigation system and a single long-range communication system for extended over-water operations | |
| (z) Section 135.168 of this chapter | Applies to powered-lift operating beyond autorotational distance or gliding distance from the shoreline | (1) The life preserver required by § 135.168(b)(1) of this chapter need not be worn but must be readily available for its intended use and easily accessible to each occupant when the powered-lift is a multiengine aircraft operated at a weight that will allow it to climb, with the critical engine inoperative or while experiencing a critical change of thrust, at least 50 feet a minute, at an altitude of 1,000 feet above the surface. |
| (2) For powered-lift unable to meet the requirements of paragraph (z)(1) of this section, the occupants must wear life preservers during the flight. | ||
| (3) For purposes of paragraphs (z), (ii), (jj), and (kk) of this section, | ||
| (aa) Section 135.169(a) of this chapter | Applies to large powered-lift | Powered-lift must comply with appropriate certification provisions listed in § 135.169(a) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (bb) Section 135.169(b)(1) and (b)(8) of this chapter | Applies to small powered-lift with a passenger seating configuration, excluding pilot seats, of 10 seats or more | (1) Under § 135.169(b)(1) of this chapter, small powered-lift with a passenger seating configuration of 10 seats or more must comply with the applicable requirements for transport category powered-lift or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (2) Under § 135.169(b)(8) of this chapter, small powered-lift with a passenger seating configuration of 10 seats or more must comply with the applicable requirements under part 23 of this chapter referenced in § 135.169(b)(8) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. | ||
| (cc) Section 135.169(d) of this chapter | Applies to large powered-lift with a cargo or baggage compartment of 200 cubic feet or greater | The cargo and baggage compartments required by § 135.169(d) of this chapter must comply with the certification provisions listed in that paragraph or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (dd) Section 135.170(b)(1) of this chapter | Applies to large powered-lift; § 135.170(b)(1)(ii) applies to large powered-lift with a passenger capacity of 20 or more | Powered-lift must comply with appropriate certification provisions listed in § 135.170(b)(1) of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (ee) Section 135.170(b)(2) of this chapter | Applies to large powered-lift | The seat cushions required by § 135.170(b)(2) of this chapter must comply with § 25.853 of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (ff) Section 135.170(c)(2) of this chapter | Applies to large powered-lift | The seat cushions required by § 135.170(c)(2) of this chapter must comply with § 25.856 of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (gg) Section 135.178 of this chapter | Applies to powered-lift having a passenger-seating configuration of more than 19 seats | The additional emergency equipment must comply with appropriate certification provisions listed in § 135.178 of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (hh) Section 135.180 of this chapter | Applies to powered-lift with a passenger seat configuration, excluding any pilot seat, of 10 to 30 seats | The Aircraft Flight Manual must contain the information outlined in § 135.180(b) of this chapter. |
| (ii) Section 135.181(a)(2) of this chapter | Applies to powered-lift | No person may operate a multiengine powered-lift carrying passengers over-the-top or in IFR conditions at a weight that will not allow it to climb, with the critical engine inoperative or while experiencing a critical change of thrust as defined in paragraph (z) of this section, at least 50 feet a minute when operating at the MEAs of the route to be flown or 5,000 feet MSL, whichever is higher. |
| (jj) Section 135.181(b) of this chapter | Applies to powered-lift conducting offshore passenger operations | Multiengine powered-lift carrying passengers offshore may conduct such operations in over-the-top or in IFR conditions at a weight that will allow the powered-lift to climb at least 50 feet per minute with the critical engine inoperative or while experiencing a critical change of thrust as defined in paragraph (z) of this section, when operating at the MEA of the route to be flown or 1,500 feet MSL, whichever is higher. |
| (kk) Section 135.183(c) of this chapter | Applies to powered-lift | No person may operate a land aircraft carrying passengers over water unless it is a multiengine aircraft operated at a weight that will allow it to climb, with the critical engine inoperative or while experiencing a critical change of thrust as defined in paragraph (z) of this section, at least 50 feet a minute, at an altitude of 1,000 feet above the surface. |
| (ll) Section 135.183(d) of this chapter | Applies if the powered-lift is equipped with flotation devices and carrying passengers over water | |
| (mm) Section 135.203(a) of this chapter | Applies to powered-lift except those operating in the vertical-lift flight mode under paragraph (nn) of this section | The Administrator may authorize a lower minimum altitude for a powered-lift if the FAA has determined, during type certification, the lower minimum altitude enables a transition from wing-borne to vertical-lift flight mode and the aircraft can conduct a safe autorotation, or an approved equivalent maneuver, to a landing but no lower than 300 feet above the surface. |
| (nn) Section 135.203(b) of this chapter | Applies to powered-lift operating in vertical-lift flight mode that are certificated and able to conduct an autorotation or an approved equivalent maneuver to a landing | Powered-lift that do not meet the requirements of this paragraph (nn) must use the VFR minimum altitudes outlined in paragraph (mm) of this section. |
| (oo) Section 135.205(a) of this chapter | Applies to all powered-lift except as provided in paragraph (pp) of this section | |
| (pp) Section 135.205(b) of this chapter | Applies to powered-lift operating in vertical-lift flight mode and at a speed that allows the pilot adequate opportunity to see and avoid any other air traffic or any obstructions in time to avoid a collision | Powered-lift that do not meet the requirements of this paragraph (pp) must use the VFR visibility requirements outlined in § 135.205(a) of this chapter. |
| (qq) Section 135.207 of this chapter | Applies if the powered-lift does not have the flight instrumentation listed in § 135.159 of this chapter installed and operable | |
| (rr) Section 135.209(a) of this chapter | Applies to all powered-lift except as provided in paragraph (ss) of this section | (1) The Administrator may authorize deviations from § 135.209(a) of this chapter for specific routes with one or more predetermined suitable landing areas if the FAA finds the operation can be conducted safely. If the Administrator authorizes such a deviation, an operations specification will be issued to the operator containing, at a minimum, the specific routes and the VFR fuel reserve specified in minutes. The Administrator may, at any time, terminate any grant of deviation authority issued under this paragraph. |
| (2) | ||
| (ss) Section 135.209(b) of this chapter | Applies to powered-lift with the performance capability, as provided in the Aircraft Flight Manual, for the entire flight to conduct a landing in the vertical-lift flight mode | The Administrator may authorize deviations from § 135.209(b) of this chapter for specific routes with one or more predetermined suitable landing areas if the FAA finds the operation can be conducted safely. If the Administrator authorizes such a deviation, an operations specification will be issued to the operator containing, at a minimum, the specific routes and the VFR fuel reserve specified in minutes. The Administrator may, at any time, terminate any grant of deviation authority issued under this paragraph. |
| (tt) Section 135.221(b) of this chapter | Applies to powered-lift authorized to conduct copter procedures and which can land in the vertical-lift flight mode, as provided in the Aircraft Flight Manual | Powered-lift that do not meet these criteria must use the alternate airport minimums specified for aircraft in § 135.221(a) of this chapter. |
| (uu) Section 135.223(a)(3) of this chapter | Applies to powered-lift authorized to conduct copter procedures and that have the performance capability, as provided in the Aircraft Flight Manual, to conduct a landing in the vertical-lift flight mode for the entire flight | (1) A powered-lift that meets the requirements of paragraph (uu) of this section may use the 30-minute fuel requirements specified for helicopters in § 135.223(a)(3) of this chapter.
(2) Powered-lift that are unable to meet the requirements outlined in paragraph (uu) of this section must use the 45-minute fuel requirement outlined in § 135.223(a)(3) of this chapter. |
| (vv) Section 135.225(e) of this chapter | Applies to all powered-lift | |
| (ww) Section 135.227(b) of this chapter | Applies to all powered-lift | (1) Powered-lift critical surfaces, as outlined in the aircraft flight manual for that aircraft, must also be determined to be free of frost, ice, or snow. |
| (2) Powered-lift critical surfaces under this section are determined by the manufacturer. | ||
| (xx) Section 135.227(d) of this chapter | Applies to powered-lift that are type certificated and appropriately equipped for operations in icing conditions | |
| (yy) Section 135.229(b)(2)(ii) of this chapter | Applies to powered-lift taking off or landing in vertical-lift flight mode and equipped with landing lights oriented in a direction that enables the pilot to see the area to be used for landing or takeoff marked by reflective material | If a powered-lift is not taking off or landing in vertical-lift flight mode and is not equipped with landing lights oriented in a direction that enables the pilot to see the area to be used for landing or takeoff marked by reflective material, the powered-lift must take off or land at an airport with boundary or runway marker lights. |
| (zz) Section 135.271 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | |
| (aaa) Section 135.361(a) of this chapter | As applicable to each powered-lift considering size and certification basis and subject to any limitations outlined in this part | Any sections or paragraphs within sections to subpart I to part 135 of this chapter that refer to a specific category of aircraft and that are not referenced in the table 1 to § 194.302 or this table, do not apply to powered-lift. |
| (bbb) Section 135.363(b) through (e) of this chapter | As applicable to each powered-lift, regardless of power plant type, considering size and certification basis | |
| (ccc) Section 135.363(f) of this chapter | Applies to powered-lift that must comply with §§ 135.365 through 135.387 of this chapter as set forth in paragraphs (ddd) through (jjj) of this section | |
| (ddd) Section 135.379(a) and (d) of this chapter | Applies to large powered-lift | The Aircraft Flight Manual must contain the takeoff weight performance information. |
| (eee) Section 135.379(c), (e), (f), and (g) of this chapter | Applies to large powered-lift certificated to conduct takeoff operations that utilize wing-borne lift as indicated in the aircraft flight manual | The accelerate-stop distance required by § 135.379(c)(1) of this chapter must comply with § 25.109 of this chapter or such airworthiness criteria as the FAA may find provide an equivalent level of safety in accordance with § 21.17(b) of this chapter. |
| (fff) Section 135.381 of this chapter | Applies to large powered-lift | |
| (ggg) Section 135.383(c) of this chapter | Applies to large powered-lift | |
| (hhh) Section 135.385(a) of this chapter | Applies to large powered-lift | The Aircraft Flight Manual must contain the landing weight performance information. |
| (iii) Section 135.385(b), (d), (e), and (f) of this chapter | Applies to large powered-lift certificated to conduct landing operations that utilize wing-borne lift and that have landing performance information contained in the aircraft flight manual | Section 135.385(f) only applies to eligible on-demand operators. |
| (jjj) Section 135.387(a) and (b) of this chapter | Applies to large powered-lift certificated to conduct landing operations that utilize wing-borne lift and that have landing performance information contained in the aircraft flight manual | (1) Powered-lift operating under § 135.387(a) of this chapter must be able to complete a full stop landing within 60 percent of the effective length of the runway. |
| (2) Section 135.387(b) only applies to eligible on-demand operators. | ||
| (kkk) Section 135.397(b) of this chapter | Applies to small powered-lift having a passenger-seating configuration of more than 19 seats and that utilize wing-borne lift during takeoff and landing | The Aircraft Flight Manual must contain the takeoff and landing weight performance information. |
| (lll) Section 135.429(d) of this chapter | Applies to powered-lift that operate in remote areas or sites | |
| (mmm) Section 135.601 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | |
| (nnn) Section 135.603 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | (1) Under § 135.603 of this chapter, no certificate holder may use, nor may any person serve as, a pilot in command of an air ambulance operation unless that person meets the requirements of § 135.243 of this chapter and holds a powered-lift instrument rating or an airline transport pilot certificate with a category rating for that aircraft, that is not limited to VFR. |
| (2) See § 194.249 of this chapter for references to class in part 135 of this chapter. | ||
| (ooo) Section 135.605 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | Powered-lift must be equipped with a helicopter terrain awareness and warning system (HTAWS) that meets the requirements in TSO-C194 and Section 2 of RTCA DO-309 (incorporated by reference, see § 194.109) or a FAA-approved TAWS A/HTAWS hybrid system. |
| (ppp) Section 135.607 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | |
| (qqq) Section 135.609 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | (1) For nonmountainous local flying areas, powered-lift must comply with the following weather minimums: |
| (i) During day operations in a vertical-lift or wing-borne flight mode, a ceiling of 800 feet and visibility of 2 SM; | ||
| (ii) During night operations in a vertical-lift flight mode, a ceiling of 800 feet and visibility of 3 SM; and | ||
| (iii) During night operations in a wing-borne flight mode, a ceiling of 1,500 feet and visibility of 3 SM. | ||
| (2) For nonmountainous, non-local flying areas, powered-lift must comply with the following weather minimums: | ||
| (i) During day operations in a vertical-lift or wing-borne flight mode, a ceiling of 800 feet and visibility of 3 SM; | ||
| (ii) During night operations in a vertical-lift flight mode, a ceiling of 1,000 feet and visibility of 3 SM. | ||
| (iii) During night operations in a wing-borne flight mode, a ceiling of 1,500 feet and visibility of 3 SM. | ||
| (3) For mountainous local flying areas, powered-lift must comply with the following weather minimums: | ||
| (i) During day operations in a vertical-lift or wing-borne flight mode, a ceiling of 800 feet and visibility of 3 SM; | ||
| (ii) During night operations in a vertical-lift flight mode, a ceiling of 1,000 feet and visibility of 3 SM. | ||
| (iii) During night operations in a wing-borne flight mode, a ceiling of 2,500 feet and visibility of 3 SM. | ||
| (4) For mountainous non-local flying areas, powered-lift must comply with the following weather minimums: | ||
| (i) During day operations in a vertical-lift or wing-borne flight mode, a ceiling of 1,000 feet and visibility of 3 SM; and | ||
| (ii) During night operations in a vertical-lift flight mode, a ceiling of 1,000 feet and visibility of 5 SM; | ||
| (iii) During night operations in a wing-borne flight mode, a ceiling of 2,500 feet and visibility of 5 SM. | ||
| (rrr) Section 135.611 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | |
| (sss) Section 135.613(a) of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | (1) Section 135.613(a)(1) of this chapter only applies to powered-lift equipped and certified to conduct PinS approaches annotated with a “Proceed VFR” segment. |
| (2) The applicable VFR weather minimums under § 135.613(a)(2) of this chapter for powered-lift operating in the wing-borne flight mode are:
(i) For Day Operations: No less than a 1,000-foot ceiling and 2 statute miles flight visibility; and | ||
| (ii) For Night Operations: No less than a 1,500-foot ceiling and 3 statute miles flight visibility. | ||
| (3) The applicable VFR weather minimums under § 135.613(a)(2) of this chapter for powered-lift operating in the vertical-lift mode are: | ||
| (i) For Day Operations: No less than a 600-foot ceiling and 2 statute miles flight visibility; and | ||
| (ii) For Night Operations: No less than a 600-foot ceiling and 3 statute miles flight visibility. | ||
| (ttt) Section 135.613(b) of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 | (1) Under § 135.613(b)(1) of this chapter, for transitions from VFR to IFR upon departure, the VFR weather minimums outlined for powered-lift under paragraph (sss) of this section apply if: |
| (i) An FAA-approved obstacle departure procedure is followed; and | ||
| (ii) An IFR clearance is obtained on or before reaching a predetermined location that is not more than 3 NM from the departure location. | ||
| (2) Under § 135.613(b)(2) of this chapter, if the departure does not meet the requirements of paragraph (ttt)(1) of this section, the VFR weather minimums required by the SFAR for the class of airspace apply. | ||
| (uuu) Section 135.615 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | (1) For powered-lift operating in wing-borne flight mode during the enroute phase of flight, under § 135.615(a)(3), (b), and (c) of this chapter, the following minimums apply: |
| (i) For day operations: no less than 500 feet above the surface or no less than 500 feet horizontally from any obstacle; or | ||
| (ii) For night operations: at an altitude no less than 1,000 feet above the highest obstacle within a horizontal distance of 5 miles from the course intended to be flown or, in designated mountainous terrain, no less than 2,000 feet above the highest obstacle within a horizontal distance of 5 miles from the course intended to be flown. | ||
| (2) For powered-lift operating in vertical-lift flight mode during the enroute phase of flight, under § 135.615(a)(3), (b), and (c) of this chapter, the following minimums apply: | ||
| (i) No less than 300 feet for day operations. | ||
| (ii) No less than 500 feet for night operations. | ||
| (vvv) Section 135.617 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | |
| (www) Section 135.619 of this chapter | Applies to powered-lift operators with 10 or more powered-lift, helicopters, or any combination thereof, assigned to the certificate holder's operations specifications for air ambulance operations | |
| (xxx) Section 135.621 of this chapter | Applies to powered-lift conducting operations in accordance with subpart L to part 135 of this chapter | |
No person may operate a powered-lift in an eligible on-demand operation under part 135 of this chapter without complying with the requirements specified for the second in command of a fixed-wing aircraft contained in § 135.4(a)(3) of this chapter.
(a) Persons operating powered-lift in commercial air tours must continue to comply with rules applicable to all aircraft in part 136 of this chapter, as applicable to the operation.
(b) Suitable landing area, as defined in § 136.1 of this chapter, applies to powered-lift conducting commercial air tours.
(c) Critical change of thrust for purposes of this section means a failure that would most adversely affect the performance or handling qualities of an aircraft.
(d) No person may operate a powered-lift in a commercial air tour unless that person complies with the regulations listed in the first column of table 1 to this section, notwithstanding their applicability to airplanes or rotorcraft, subject to the applicability provisions in the second column, and any additional requirements or clarification specified in the third column:
Table 1 to § 194.308
| Regulation | Applicability | Additional Requirements or Clarification |
|---|---|---|
| (1) Section 136.9 | Applies to powered-lift used in commercial air tours over water beyond the shoreline. | (i) Section 136.9(b)(2) applies to powered-lift operating in wing-borne flight mode within power-off gliding distance to the shoreline for the duration of the time that the flight is over water.
(ii) Section 136.9(b)(3), applies to multiengine powered-lift that can be operated with the critical engine inoperative or while experiencing a critical change of thrust, at a weight that will allow it to climb, at least 50 feet a minute, at an altitude of 1,000 feet above the surface, as provided in the approved aircraft flight manual for that aircraft. |
| (2) Section 136.11 | Applies to powered-lift used in commercial air tours over water beyond the shoreline. | (i) Section 136.11(a)(1) applies to single-engine powered-lift.
(ii) Section 136.11(a)(2) applies to multi-engine powered-lift that cannot be operated with the critical engine inoperative or while experiencing a critical change of thrust, at a weight that will allow it to climb, at least 50 feet a minute, at an altitude of 1,000 feet above the surface, as provided in the approved aircraft flight manual for that aircraft. |
| (3) Section 136.13 | Applies to powered-lift. | |
| (4) Section 136.75(a) | Applies to all single-engine powered-lift conducting air tours in Hawaii beyond the shore of any island. | |
| (5) Section 136.75(b) | Applies to powered-lift. | |
| (6) Section 136.75(c) | Applies to powered-lift with an Aircraft Flight Manual containing height velocity information. | Except for approach to and transition from a hover, and except for the purpose of takeoff and landing, the PIC of a powered-lift may only operate such aircraft at a combination of height and forward speed (including hover) that would permit a safe landing in the event of engine power loss or critical change of thrust, in accordance with the height-speed envelope for that powered-lift under current weight and aircraft altitude. |
The requirement to hold the appropriate category and class rating in § 91.109(c)(1)(i) of this chapter is not applicable to operations conducted to meet alternate aeronautical experience requirements set forth in §§ 194.225, 194.227, and 194.229.
Table 1 to § 194.310
| Parameters | Range | Installed system
1 minimum
accuracy (to recovered data) | Sampling interval (per second) | Resolution 3 read out |
|---|---|---|---|---|
| Relative Time (From Recorded on Prior to Takeoff) | 4 hr minimum | ±0.125% per hour | 1 | 1 sec. |
| Indicated Airspeed | VM in to VD (KIAS) (minimum airspeed signal attainable with installed pilot-static system) | ±5% or ±10 kts., whichever is greater | 1 | 1 kt. |
| Altitude | −1,000 ft. to 20,000 ft. pressure altitude | ±100 to ±700 ft. (see Table 1, TSO C51-a) | 1 | 25 to 150 ft. |
| Magnetic Heading | 360° | ±5° | 1 | 1° |
| Vertical Acceleration | −3g to + 6g | ±0.2g in addition to ±0.3g maximum datum | 4 (or 1 per second where peaks, ref. to 1g are recorded) | 0.05g. |
| Longitudinal Acceleration | ±1.0g | ±1.5% max. range excluding datum error of ±5% | 2 | 0.03g. |
| Pitch Attitude | 100% of usable range | ±2° | 1 | 0.8°. |
| Roll Attitude | ±60 or 100% of usable range, whichever is greater | ±2° | 1 | 0.8°. |
| Altitude Rate | ±8,000 fpm | ±10% Resolution 250 fpm below 12,000 ft. indicated | 1 | 250 fpm below 12,000. |
| Main Rotor Speed | Maximum Range | ±5% | 1 | 1%. 2 |
| Free or Power Turbine | Maximum Range | ±5% | 1 | 1%. 2 |
| Engine Torque | Maximum Range | ±5% | 1 | 1%. 2 |
| Primary (Discrete) | High/Low | 1 | ||
| Secondary—if applicable (Discrete) | High/Low | 1 | ||
| Radio Transmitter Keying (Discrete) | On/Off | 1 | ||
| Autopilot Engaged (Discrete) | Engaged or Disengaged | 1 | ||
| SAS Status-Engaged (Discrete) | Engaged or Disengaged | 1 | ||
| SAS Fault Status (Discrete) | Fault/OK | 1 | ||
| Pilot Inputted—Primary Controls (I.E. Ascent, descent, acceleration, and deceleration, heading and directional control for all axis) | Full range | ±3% | 2 | 1%. 2 |
| Controllable Stabilator Position | Full range | ±3% | 2 | 1%. 2 |
1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.
2 Percent of full range.
Table 1 to § 194.311
| Parameters | Range | Installed system
1 minimum
accuracy (to recovered data) | Sampling interval (per second) | Resolution read out |
|---|---|---|---|---|
| Relative Time (From Recorded on Prior to Takeoff) | 8 hr minimum | ±0.125% per hour | 1 | 1 sec. |
| Indicated Airspeed | Vso to VD (KIAS) | ±5% or ±10 kts., whichever is greater. Resolution 2 kts. below 175 KIAS | 1 | 1%. 3 |
| Altitude | −1,000 ft. to max cert. alt. of A/C | ±100 to ±700 ft. (see Table 1, TSO C51-a) | 1 | 25 to 150 ft. |
| Magnetic Heading | 360° | ±5° | 1 | 1.° |
| Vertical Acceleration | −3g to + 6g | ±0.2g in addition to ±0.3g maximum datum | 4 (or 1 per second where peaks, ref. to 1g are recorded) | 0.03g. |
| Longitudinal Acceleration | ±1.0g | ±1.5% max. range excluding datum error of ±5% | 2 | 0.01g. |
| Pitch Attitude | 100% of usable | ±2° | 1 | 0.8.° |
| Roll Attitude | ±60° or 100% of usable range, whichever is greater | ±2° | 1 | 0.8.° |
| Stabilizer Trim Position, or | Full Range | ±3% unless higher uniquely required | 1 | 1%. 3 |
| Pitch Control Position | ||||
| Engine Power, Each Engine: | Full Range | ±3% unless higher uniquely required | 1 | 1%. 3 |
| Fan or N 1 Speed or EPR or Cockpit indications Used for Aircraft Certification OR | Maximum Range | ±5% | 1 | 1%. 3 |
| Prop. speed and Torque (Sample Once/Sec as Close together as Practicable) | 1 (prop Speed)
1 (torque) | 1%.
3
1%. 3 | ||
| Altitude Rate 2 (need depends on altitude resolution) | ±8,000 fpm | ±10%. Resolution 250 fpm below 12,000 ft. indicated. | 1 | 250 fpm. below 12,000. |
| Angle of Attack 2 (need depends on altitude resolution) | −20° to 40° or 100% of usable range | ±2° | 1 | 0.8%. 3 |
| Radio Transmitter Keying (Discrete) | On/Off | 1 | ||
| TE Flaps (Discrete or Analog) | Each discrete position (U, D, T/O, AAP) OR | 1 | ||
| LE Flaps (Discrete or Analog) | Analog 0-100% range | ±3% | 1 | 1%. 3 |
| Each discrete position (U, D, T/O, AAP) OR | 1 | |||
| Thrust Reverser, Each Engine (Discrete) | Analog 0-100% range | ±3° | 1 | 1%. 3 |
| Stowed or full reverse | ||||
| Spoiler/Speedbrake (Discrete) | Stowed or out | 1 | ||
| Autopilot Engaged (Discrete) | Engaged or Disengaged | 1 |
1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.
2 If data from the altitude encoding altimeter (100 ft. resolution) is used, then either one of these parameters should also be recorded. If, however, altitude is recorded at a minimum resolution of 25 feet, then these two parameters can be omitted.
3 Percent of full range.
Table 1 to § 194.312
| Parameters | Range | Installed system
1 minimum
accuracy (to recovered data) | Sampling interval (per second) | Resolution read out |
|---|---|---|---|---|
| Relative time (from recorded on prior to takeoff) | 25 hr minimum | ±0.125% per hour | 1 | 1 sec. |
| Indicated airspeed | V | ±5% or ±10 kts., whichever is greater | 1 | 1 kt. |
| Altitude | −1,000 ft. to 20,000 ft. pressure altitude | ±100 to ±700 ft. (see Table 1, TSO C51-a) | 1 | 25 to 150 ft. |
| Magnetic heading | 360° | ±5° | 1 | 1°. |
| Vertical acceleration | −3g to + 6g | ±0.2g in addition to ±0.3g maximum datum | 4 (or 1 per second where peaks, ref. to 1g are recorded) | 0.05g. |
| Longitudinal acceleration | ±1.0g | ±1.5% max. range excluding datum error of ±5% | 2 | 0.03g. |
| Pitch attitude | 100% of usable range | ±2° | 1 | 0.8°. |
| Roll attitude | ±60° or 100% of usable range, whichever is greater | ±2° | 1 | 0.8°. |
| Altitude rate | ±8,000 fpm | ±10% Resolution 250 fpm below 12,000 ft. indicated | 1 | 250 fpm below 12,000. |
| Main rotor speed | Maximum range | ±5% | 1 | 1%. 2 |
| Free or power turbine | Maximum range | + 5% | 1 | 1%. 2 |
| Engine torque | Maximum range | ±5% | 1 | 1%. 2 |
| Primary (discrete) | High/low | 1 | ||
| Secondary—if applicable (discrete) | High/low | 1 | ||
| Radio transmitter keying (discrete) | On/off | 1 | ||
| Autopilot engaged (discrete) | Engaged or disengaged | 1 | ||
| SAS status—engaged (discrete) | Engaged/disengaged | 1 | ||
| SAS fault status (discrete) | Fault/OK | 1 | ||
| Primary Controls (I.E. Ascent, descent, acceleration, and deceleration, heading and directional control for all axis) 3 | Full range | ±3% | 2 | 1%. 2 |
| Controllable Stabilator Position 3 | Full range | ±3% | 2 | 1%. 2 |
1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.
2 Percent of full range.
3 For all aircraft manufactured on or after December 6, 2010, the sampling interval per second is 4.
Table 1 to § 194.313
| Parameters | Range | Installed system
1 minimum
accuracy (to recovered data) | Sampling interval (per second) | Resolution read out |
|---|---|---|---|---|
| Relative time (from recorded on prior to takeoff) | 25 hr minimum | ±0.125% per hour | 1 | 1 sec. |
| Indicated airspeed | V | ±5% or ±10 kts., whichever is greater. Resolution 2 kts. below 175 KIAS | 1 | 1%. 3 |
| Altitude | −1,000 ft. to max cert. alt. of A/C | ±100 to ±700 ft. (see Table 1, TSO C51-a) | 1 | 25 to 150 |
| Magnetic heading | 360° | ±5° | 1 | 1° |
| Vertical acceleration | −3g to + 6g | ±0.2g in addition to ±0.3g maximum datum | 4 (or 1 per second where peaks, ref. to 1g are recorded) | 0.03g. |
| Longitudinal acceleration | ±1.0g | ±1.5% max. range excluding datum error of ±5% | 2 | 0.01g. |
| Pitch attitude | 100% of usable | ±2° | 1 | 0.8° |
| Roll attitude | ±60° or 100% of usable range, whichever is greater | ±2° | 1 | 0.8° |
| Stabilizer trim position | Full range | ±3% unless higher uniquely required | 1 | 1%. 3 |
| Or | ||||
| Pitch control position | Full range | ±3% unless higher uniquely required | 1 | 1%. 3 |
| Fan or N | Maximum range | ±5% | 1 | 1%. 3 |
| Or | ||||
| Prop. speed and torque (sample once/sec as close together as practicable) | 1 (prop speed), 1 (torque) | |||
| Altitude rate 2 (need depends on altitude resolution) | ±8,000 fpm | ±10%. Resolution 250 fpm below 12,000 ft. indicated | 1 | 250 fpm Below 12,000 |
| Angle of attack 2 (need depends on altitude resolution) | −20° to 40° or of usable range | ±2° | 1 | 0.8%. 3 |
| Radio transmitter keying (discrete) | On/off | 1 | ||
| TE flaps (discrete or analog) | Each discrete position (U, D, T/O, AAP) | 1 | ||
| Or | ||||
| Analog 0-100% range | ±3° | 1 | 1%. 3 | |
| LE flaps (discrete or analog) | Each discrete position (U, D, T/O, AAP) | 1 | ||
| Or | ||||
| Analog 0-100% range | ±3° | 1 | 1%. 3 | |
| Thrust reverser, each engine (Discrete) | Stowed or full reverse | 1 | ||
| Spoiler/speedbrake (discrete) | Stowed or out | 1 | ||
| Autopilot engaged (discrete) | Engaged or disengaged | 1 |
1 When data sources are aircraft instruments (except altimeters) of acceptable quality to fly the aircraft the recording system excluding these sensors (but including all other characteristics of the recording system) shall contribute no more than half of the values in this column.
2 If data from the altitude encoding altimeter (100 ft. resolution) is used, then either one of these parameters should also be recorded. If, however, altitude is recorded at a minimum resolution of 25 feet, then these two parameters can be omitted.
3 Percent of full range.
Unless otherwise specified by this part, powered-lift must continue to comply with rules applicable to all aircraft in part 43 of this chapter.
The following maintenance provisions under part 43 of this chapter that pertain to rotorcraft also apply to powered-lift:
(a) Section 43.3(h) of this chapter applies to certificate holders operating powered-lift under part 135 of this chapter in a remote area; and
(b) In lieu of complying with § 43.15(b) of this chapter, each person performing an inspection required by part 91 of this chapter on a powered-lift shall inspect critical parts in accordance with the maintenance manual or Instruction for Continuous Airworthiness, or as otherwise approved by the Administrator.
(1) A “critical part” has the same meaning as provided in §§ 27.602 and 29.602 of this chapter.
(2) [Reserved]
(a) This appendix prescribes the minimum requirements to apply for a pilot training program for the following ratings in a powered-lift originally type certificated or seeking type certification with one set of controls and a single pilot station:
(1) Powered-lift Category;
(2) Powered-lift Type;
(3) Instrument-Powered-lift.
(b) Notwithstanding the exceptions in § 194.211, a person utilizing the alternate pathway set forth in this appendix must apply for all three ratings simultaneously.
(a) To utilize the alternate framework set forth by this appendix, an applicant must be qualified in accordance with the requirements set forth by § 194.215(a).
(b) The alternate framework set forth in this appendix may only be provided under a part 135, 141, or 142 approved training program.
(a) An applicant must receive and log all required ground training set forth by §§ 61.63(b) and 61.65(b) of this chapter prior to receiving training in accordance with section 4. of this appendix.
(b) Following the required ground training as set forth in paragraph (a) of this section, an applicant must successfully complete a written or oral check administered by the training provider.
(a) In lieu of flight training in a powered-lift with single controls and a single pilot station, an applicant seeking a powered-lift category rating, instrument rating, and a type rating may complete all applicable flight training requirements prescribed in part 61 of this chapter or the corresponding framework prescribed in §§ 194.217 through 194.235 (except for the cross-country requirements in § 194.233), as applicable, in a qualified Level C or higher full flight simulator representative of the powered-lift type with single controls and a single pilot station.
(b) Following the training set forth in paragraph (a) of this section, the applicant must satisfactorily accomplish a check with a check pilot, a training center evaluator, an authorized instructor, instructor pilot, an FAA aviation safety inspector, or another person authorized by the FAA to administer this check in a qualified Level C or higher full flight simulator in accordance with the approved training program. The check must consist of oral questioning followed by the satisfactory performance of all the maneuvers and procedures required for the issuance of a commercial pilot certificate with a powered-lift category rating, for the issuance of an instrument-powered-lift rating and for the issuance of a powered-lift type rating, except those tasks waived in accordance with § 194.207(c).
(a) Within 90 days of an applicant's successful completion of the check set forth by section 4.(b) of this appendix, the applicant must observe an aircraft familiarity flight with an authorized instructor.
(b) The aircraft familiarity flight must include the following components:
(1) The authorized instructor must demonstrate the flight maneuvers and procedures required for the issuance of a commercial pilot certificate with a powered-lift category rating, for the issuance of an instrument-powered-lift rating and for the issuance of a powered-lift type rating, except those tasks waived in accordance with § 194.207(c), in the aircraft in flight, and
(2) The applicant must have unobstructed visual sight of the controls and instrumentation and maintain active communication with the authorized instructor for the entire flight.
(c) The aircraft familiarity flight may occur during one flight or over multiple flights.
(d) Following successful completion of the aircraft familiarity flight, the authorized instructor may endorse the applicant to act as pilot in command of the specific powered-lift to accomplish the demonstration flight with an authorized instructor on board as set forth in section 6.(a) of this appendix. The endorsement is valid for 90 days from the date of successful completion of the full flight simulator check set forth by section 4.(b) of this appendix.
(a) Demonstration flight.
(1) After an applicant receives an endorsement to act as PIC in accordance with section 5.(d) of this appendix, the applicant must complete a demonstration flight under the direct observation of an authorized instructor.
(2) The demonstration flight must include the following components:
(i) The applicant must demonstrate the flight maneuvers and procedures required for the issuance of a commercial pilot certificate with a powered-lift category rating, for the issuance of an instrument-powered-lift rating and for the issuance of a powered-lift type rating, except those tasks waived in accordance with § 194.207(c), in the aircraft in flight, and
(ii) The authorized instructor must have unobstructed visual sight of the controls and instrumentation and maintain active communication with the applicant for the entire flight.
(3) The demonstration flight may occur during one flight or over multiple flights.
(4) Upon determination that the applicant has demonstrated satisfactory proficiency in the aircraft, the check pilot, training center evaluator, authorized instructor, instructor pilot, FAA aviation safety inspector, or another person authorized by the FAA to administer this check may endorse the applicant to act as pilot in command of the specific powered-lift to conduct solo flight in accordance with paragraph (c) of this section. The endorsement is valid for 90 days from the day the demonstration flight is successfully completed.
(b) Failure to complete demonstration flight during endorsement period.
(1) If the applicant does not successfully complete the demonstration flight in paragraph (a) of this section within the 90-day endorsement period, the applicant may receive another endorsement by:
(i) Completing a demonstration of proficiency in the full flight simulator consisting of the tasks and maneuvers set forth by section 10. of this appendix, in addition to any maneuvers or procedures deemed necessary by the check pilot, training center evaluator, authorized instructor, instructor pilot, an FAA aviation safety inspector, or other person authorized by the FAA to administer this check to ensure proficiency, and
(ii) Completing an aircraft familiarity flight meeting the requirements of section 5.(b) of this appendix.
(2) After the applicant meets the requirements of paragraph (b)(1) of this section, the applicant may receive another endorsement for the applicant to act as pilot in command of the specific powered-lift to accomplish the demonstration flight with an authorized instructor on board as set forth in section 6.(a) of this appendix. This endorsement is valid for 90 days from the day the demonstration of proficiency in the full flight simulator was successfully completed.
(c) Solo Flights. After an applicant receives an endorsement to conduct solo flights in accordance with section 6.(a)(4) of this appendix, the applicant must complete 20 hours of solo flight in the aircraft, which must include:
(1) 10 hours of solo flight time in accordance with § 61.129(e)(4) or the corresponding alternate provision set forth in §§ 194.217 through 194.231 of this part;
(2) 10 hours of solo flight time that includes the maneuvers and procedures required for the issuance of a commercial pilot certificate with a powered-lift category rating, for the issuance of an instrument-powered-lift rating and for the issuance of a powered-lift type rating; and
(3) The alternate cross-country aeronautical experience requirements prescribed in § 194.233 of this part.
(d) Lapse of endorsement for solo flights. If the applicant does not successfully complete the solo flight time required in paragraph (c) of this section within the 90-day endorsement period, the applicant may receive another 90-day endorsement by satisfying the requirements of paragraph (d)(1) or (2) of this section, as applicable.
(1) If the applicant seeks to renew the endorsement for another 90-day period and is within the 90-day period of the original endorsement, the applicant must complete a demonstration flight consisting of the tasks and maneuvers set forth by section 10. of this appendix, in addition to any maneuvers or procedures deemed necessary by the check pilot, training center evaluator, authorized instructor, instructor pilot, FAA aviation safety inspector, or another person authorized by the FAA to ensure proficiency.
(2) If the applicant seeks another endorsement outside the 90-day period of the original endorsement, the applicant must:
(i) The applicant must satisfactorily complete a demonstration of proficiency in the full flight simulator consisting of the tasks and maneuvers set forth by section 10. of this appendix, in addition to any maneuvers or procedures deemed necessary by the authorized instructor to ensure proficiency, successful completion of which will result in a 90-day endorsement to accomplish a demonstration flight with an authorized instructor on board; and
(ii) The applicant must complete a demonstration flight with a check pilot, training center evaluator, authorized instructor, instructor pilot, FAA aviation safety inspector, or another person authorized by the FAA to administer this check consisting of the tasks and maneuvers set forth by section 10. of this appendix, in addition to any maneuvers or procedures deemed necessary by the authorized instructor to ensure proficiency.
(a) The applicant may meet the training requirements of § 61.129(e)(3)(iv) in a Level C or higher FFS.
(b) A person who uses a flight simulator or flight training device for any portion of the practical test in accordance with § 61.64(a) of this chapter after training in accordance with this appendix and does not meet the requirements of § 61.64(e) of this chapter will—
(1) Receive a limitation that states “the certificate is subject to certain pilot in command limitations,” in lieu of the limitation set forth by § 61.64(f); and
(2) Be restricted from the carriage of persons or property other than necessary for the conduct of the flight.
(c) The limitation described under paragraph (b) of this section may be removed from the pilot certificate by meeting the requirements set forth in section 8. of this appendix.
(a) The limitation set forth in paragraph 7.(b) of this appendix may be removed if the pilot complies with the following:
(1) Performs 10 hours of flight time in an aircraft of category and type for which the limitation applies under the observation of a pilot who holds a category and type rating without limitations for the aircraft, maintaining full communication with the observing pilot;
(2) Logs each flight and the observing pilot attests in writing to each flight; and
(3) Presents evidence of the supervised operating experience to any examiner or Flight Standards office to have the limitation removed.
(b) The flight time required in paragraph (a)(1) of this section must include a cross-country flight in a powered-lift under instrument flight rules on a flight plan filed with an air traffic control facility that involves—
(i) A flight of at least 100 nautical miles along airways or by directed routing from an air traffic control facility;
(ii) An instrument approach at each airport; and
(iii) Three different kinds of approaches with the use of navigation systems.
(c) The observing pilot must have unobstructed visual sight of the controls and instrumentation.
The Administrator may authorize a deviation from the simulator qualification requirement in section 4. of this appendix stipulating that training must be completed in a qualified Level C or higher full flight simulator upon a determination by the Administrator that—
(a) The alternative training device is of adequate fidelity to be used as a substitution for in-aircraft flight training; and
(b) The effectiveness and objectives of the training program can be met utilizing the alternative training device.
This section sets forth the maneuvers and procedures required for flights required in accordance with sections 6.(b)(1)(i), 6.(d)(1), 6.(d)(2)(i), and 6.(d)(2)(ii) of this appendix, except those maneuvers and procedures under tasks waived in accordance with § 194.207(c).
(a) Proper flight preparation procedures, including preflight planning and preparation, powerplant operation, and aircraft systems;
(b) Taxiing or surface operations, including runups;
(c) Takeoffs and landings, including normal and crosswind;
(d) Straight and level flight, and turns in both directions;
(e) Climbs and climbing turns;
(f) Airport traffic patterns, including entry and departure procedures;
(g) Collision avoidance, windshear avoidance, and wake turbulence avoidance;
(h) Descents with and without turns;
(i) Flight at various airspeeds from cruise to slow flight;
(j) Stall entries from various flight attitudes and power combinations with recovery initiated at the first indication of a stall, and recovery from a full stall;
(k) Emergency procedures and equipment malfunctions;
(l) Ground reference maneuvers;
(m) Approaches to a landing with simulated engine malfunctions;
(n) Go-arounds;
(o) Approaches to the landing area;
(p) Hovering and hovering turns; and
(q) For a multiengine powered-lift, simulated one-engine-inoperative approaches and landings.
An aircraft operation is eligible for insurance if—
(a) The President of the United States has determined that the continuation of that aircraft operation is necessary to carry out the foreign policy of the United States;
(b) The aircraft operation is—
(1) In foreign air commerce or between two or more places all of which are outside the United States if insurance with premium is sought; or
(2) In domestic or foreign air commerce, or between two or more places all of which are outside the United States if insurance without premium is sought; and
(c) The Administrator finds that commercial insurance against loss or damage arising out of any risk from the aircraft operation cannot be obtained on reasonable terms from an insurance carrier.
(a) Premium insurance may be issued by the FAA is the requirements of § 198.1 (a), (b)(1) and (c) are met.
(b) Subject to § 198.9(c), standby insurance without premium may be issued by the FAA if all of the following conditions have been met:
(1) A department, agency, or instrumentality of the U.S. Government seeks performance of air services operations, pursuant to a contract of the department, agency, or instrumentality; or transportation of military forces or materiel on behalf of the United States, pursuant to an agreement between the United States and a foreign government.
(2) Such department, agency, or instrumentality of the U.S. Government has agreed in writing to indemnify the Secretary of Transportation against all losses covered by such insurance. Such an agreement, when countersigned by the President, constitutes a determination that the continuation of that aircraft operation is necessary to carry out the foreign policy of the United States.
(3) A current copy of the aircraft operator's applicable commercial insurance policy or policies is on file with the FAA, including every endorsement making a material change to the policy. Updated copies of these policies must be provided upon each renewal of the commercial policy. Every subsequent material change by endorsement must be promptly provided to the FAA.
(c) Insurance is activated, placing the insurance in full force, as specified by the FAA's written notification to the operator and remains in force until such time as either of the following occurs:
(1) The requirements in § 198.1 are no longer met; or
(2) In the case of non-premium insurance, an aircraft operation is no longer performed under contract to a department, agency, or instrumentality of the U.S. Government; or pursuant to an agreement between the United States and a foreign government; or the Administrator finds that commercial insurance can now be obtained on reasonable terms.
(d) Insurance policies revert to standby status upon written notification by the FAA to the aircraft operator. A policy will remain in standby status until either—
(1) The insurance is activated by written notice; or
(2) The policy is canceled.
Application may be made for insurance against loss or damage to the following persons, property, or interests:
(a) Aircraft, or insurable items of an aircraft, engaged in eligible operations under § 198.1.
(b) Any individual employed or transported on the aircraft referred to in paragraph (a) of this section.
(c) The baggage of persons referred to in paragraph (b) of this section.
(d) Property transported, or to be transported, on the aircraft referred to in paragraph (a) of this section.
(e) Statutory or contractual obligations, or any other liability, of the aircraft referred to in paragraph (a) of this section or of its owner or operator, of the nature customarily covered by insurance.
(a) For each aircraft or insurable item, the amount insured may not exceed the amount for which the applicant has otherwise insured or self-insured the aircraft or insurable item against damage or liability arising from any risk. In the case of hull insurance, the amount insured may not exceed the reasonable value of the aircraft as determined by the FAA or its designated agent.
(b) Policies issued without premium may be revised from time to time by the FAA with notice to the insured, to add aircraft or insurable items or to amend amounts of coverage if the insured has changed the amount by which it has otherwise insured or self-insured the aircraft or itself.
(a) Application for premium or non-premium insurance must be made in accordance with the applicable form supplied by the FAA.
(b) Each applicant for insurance with the premium under this part must submit to the FAA with its application a letter describing in detail the operations in which the aircraft is or will be engaged and stating the type of insurance coverage being sought and the reason it is being sought. The applicant must also submit any other information deemed pertinent by the FAA.
(c) Each applicant for premium or non-premium insurance must, upon request by the FAA, submit to the FAA evidence that commercial insurance is not available on reasonable terms for each flight or ground operation for which insurance is sought. Each aircraft operator who has a standby non-premium insurance policy must, upon request by the FAA, submit evidence to the FAA that commercial insurance is not available on reasonable terms before the FAA activates that policy. The adequacy of the evidence submitted is determined solely by the FAA.
(d) The standby non-premium policy issued to the aircraft operator does not provide actual coverage until formally activated by the FAA.
In the event of sale, lease, confiscation, requisition, total loss, or other change in the status of an aircraft or insurable items covered by insurance under this part, the insured party must notify the office administering the Aviation Insurance Program before, or as soon as practicable after, the change in status.
The insured must pay the premium for insurance issued under this part within the stated period after receipt of notice that premium payment is due and in accordance with the provisions of the applicable FAA insurance policy. Premiums must be sent to the FAA, and made payable to the FAA.
(a) The binder for initial registration is $575 for each aircraft or insurable item. This binder is adjusted not more frequently than annually based on changes in the Consumer Price Index of All Urban Consumers published by the Secretary of Labor.
(b) An application for non-premium insurance must be accompanied by the proper binder, payable to the FAA. A binder is not returnable unless the application is rejected.
(c) Requests made after issuance of a non-premium policy for the addition of an aircraft or insurable item must be accompanied by the binder for each aircraft and insurable item.
(d) When an operator acquires an aircraft or insurable item that was previously covered under an active or standby policy, the new operator must register that aircraft or item on its policy and pay the binder for each aircraft and insurable item.
An aircraft operator may apply for insurance to cover any risks arising from the provision of goods or services directly supporting the operation of an aircraft that meets the requirements of § 198.3(b).
For purposes of this chapter—
(a) Unless otherwise specifically stated, words and phrases other than those listed in this section have the meaning defined in 49 U.S.C. Subtitle VII.
(b) Department or DOT means the Department of Transportation.
(c) Predecessor means the Civil Aeronautics Board (CAB).
(d) Order refers to the rules, regulations, and orders prescribed by the Department pursuant to the 49 U.S.C. Subtitle VII or its orders that are, by law, still in effect.
(e) FAA means the Federal Aviation Administration, U.S. Department of Transportation.
(f) OST-R means the Office of the Assistant Secretary for Research and Technology, U.S. Department of Transportation.
(g) Secretary means the Secretary of Transportation, U.S. Department of Transportation.
The regulations of the Department may be cited by section numbers. For example, this regulation may be cited as “§ 200.2 of the Aviation Economic Regulations.” The sections contained in the Rules of Practice may also be cited by appropriate rule numbers. (See § 302.1(c) of this chapter.) For example, 14 CFR 302.10 may be cited as “rule 10 of the Rules of Practice.”
(a) Applications for certificates of public convenience and necessity under section 41102 of 49 U.S.C. Subtitle VII and for interstate all-cargo air transportation certificates under section 41103 of 49 U.S.C. Subtitle VII shall meet the requirements set forth in part 302 of this chapter as to general requirements, execution, number of copies, service, and formal specifications of papers.
(b) Any person desiring to provide air transportation as a commuter air carrier must comply with the provisions of part 298 of this chapter and submit data to support a fitness determination in accordance with part 204 of this chapter. An executed original plus two (2) true copies of the fitness data shall be filed with Docket Operations Office, U.S. Department of Transportation, Room W12-140, 1200 New Jersey Avenue SE, Washington, DC 20590-0001. Requests for confidential treatment of documents should be filed in accordance with the requirements of part 302 of this chapter.
If, after receipt of any application, the Department asks the applicant to supply additional information, such information shall be furnished in the form of a supplement to the original application.
Incorporation by reference shall be avoided. However, where two or more applications are filed by a single carrier, lengthy exhibits or other documents attached to one may be incorporated in the others by reference if that procedure will substantially reduce the cost to the applicant.
(a) All pages of an application shall be consecutively numbered, and the application shall clearly describe and identify each exhibit by a separate number or symbol. All exhibits shall be deemed to constitute a part of the application to which they are attached.
(b) All amendments to applications shall be consecutively numbered and shall comply with the requirements of this part.
(c) Requests for authority to engage in interstate air transportation shall not be included in the same application with requests for authority to engage in foreign air transportation. Similarly, requests for authority to engage in scheduled air transportation under section 41102 of 49 U.S.C. Subtitle VII shall not be included in the same application with requests for authority to engage in charter air transportation under section 41102 of 49 U.S.C. Subtitle VII or with requests for authority to engage in interstate all-cargo air transportation under section 41103 of 49 U.S.C. Subtitle VII.
(d) Each application shall specify the type or types of service (passengers, property or mail) to be rendered and whether such services are to be rendered on scheduled or charter operations.
(e) Each application for foreign scheduled air transportation shall include an adequate identification of each route for which a certificate is desired, including the terminal and intermediate points to be included in the certificate for which application is made.
(f) Each application shall give full and adequate information with respect to each of the relevant filing requirements set forth in part 204 of this chapter. In addition, the application may contain such other information and data as the applicant shall deem necessary or appropriate in order to acquaint the Department fully with the particular circumstances of its case; however, the statements contained in an application shall be restricted to significant and relevant facts.
(a) An applicant for new or amended certificate or commuter air carrier authority shall not:
(1) Advertise, list schedules, or accept reservations for the air transportation covered by its application until the application has been approved by the Department; or
(2) Accept payment or issue tickets for the air transportation covered by its application until the authority or amended authority has become effective or the Department issues a notice authorizing sales.
(b) An applicant for new or amended certificate or commuter air carrier authority may not advertise or publish schedule listings for the air transportation covered by its application after the application has been approved by the Department (but before all authority issued by DOT, including the FAA, becomes effective) unless such advertising or schedule listings prominently state: “This service is subject to receipt of government operating authority.”
Unless the certificate or the order authorizing its issuance shall otherwise provide, such terms, conditions and limitations as are set forth in this part, and as may from time to time be prescribed by the Department, shall apply to the exercise of the privileges granted by each certificate issued under section 41102 or section 41103 of 49 U.S.C. Subtitle VII.
(a) It shall be a condition upon the holding of a certificate that any intentional failure by the holder to comply with any provision of Statute or any order, rule, or regulation issued thereunder or any term, condition, or limitation of such certificate shall be a failure to comply with the terms, conditions, and limitations of the certificate within the meaning of section 41110 of 49 U.S.C. Subtitle VII even though the failure to comply occurred outside the territorial limits of the United States, except to the extent that such failure shall be necessitated by an obligation, duty, or liability imposed by a foreign country.
(b) Failure to file the reports required by part 241, 291, or 298 of this chapter shall be sufficient grounds to revoke a certificate.
(c) The authority to transport U.S. mail under a certificate is permissive, unless the Department, by order or rule, directs a carrier or class of carriers to transport mail on demand of the U.S. Postal Service; such certificate confers no right to receive subsidy, for the carriage of mail or otherwise.
(d) An all-cargo air transportation certificate shall confer no right to carry passengers, other than cargo attendants accompanying a shipment, or to engage in any air transportation outside the geographical scope of interstate cargo transportation. Such certificate shall not, however, restrict the right of the holder to provide scheduled, charter, contract, or other transportation of cargo, by air, within that geographical scope.
(e) It shall be a condition upon the holding of a certificate that the holder have and maintain in effect and on file with the Department a signed counterpart of Agreement 18900 (OST Form 4523), and a tariff (for those carriers otherwise generally required to file tariffs) that includes its terms, and that the holder comply with all other requirements of part 203. OST Form 4523 may be obtained from the Office of International Aviation, Special Authorities Division.
This part requires that certain U.S. and foreign direct air carriers waive the passenger liability limits and certain carrier defenses in the Warsaw Convention in accordance with the provisions of Agreement 18900, dated May 13, 1966, and provides that acceptance of authority for, or operations by the carrier in, air transportation shall be considered to act as such a waiver by that carrier.
This part applies to all direct U.S. and foreign direct air carriers, except for air taxi operators as defined in part 298 of this chapter that (a) are not commuter air carriers, (b) do not participate in interline agreements, and (c) do not engage in foreign air transportation.
All direct U.S. and foreign air carriers shall have and maintain in effect and on file in the Department's Docket Operations Office (DOT-OST-1995-236) on OST Form 4523 a signed counterpart to Agreement 18900, an agreement relating to liability limitations of the Warsaw Convention and Hague Protocol, (the Montreal Agreement), dated May 13, 1966, and/or a signed counterpart of any amendment or replacement to such Agreement that may be approved by the Department and to which the air carrier or foreign air carrier becomes a party. U.S. air taxi operators registering under part 298 of this chapter and Canadian charter air taxi operators registering under part 294 of this chapter may comply with this requirement by filing completed OST Forms 4507 and 4523, respectively, in accordance with the provisions of those parts.
(a) As required by the Montreal Agreement, carriers that are otherwise generally required to file tariffs shall file with the Department's Pricing and Multilateral Affairs Division a tariff that includes the provisions of the counterpart to Agreement 18900.
(b) As further required by that Agreement, each participating carrier shall include the Agreement's terms as part of its conditions of carriage. The participating carrier shall give each of its passengers the notice required by the Montreal Agreement as provided in § 221.105 of this chapter.
(c) Participation in the Montreal Agreement, whether by signing the Agreement, filing a signed counterpart to it under § 203.3, or by operation of law under § 203.5, shall constitute a special agreement between the carrier and its passengers as a condition of carriage that a liability limit of not less than $75,000 (U.S.) shall apply under Article 22(1) of the Warsaw Convention for passenger injury and death. Such participation also constitutes a waiver of the defense under Article 20(1) of the Convention that the carrier was not negligent.
It shall be a condition on the authority of all direct U.S. and foreign carriers to operate in air transportation that they have and maintain in effect and on file with the Department a signed counterpart of Agreement 18900, and a tariff (for those carriers otherwise generally required to file tariffs) that includes its provisions, as required by this subpart. Notwithstanding any failure to file that counterpart and such tariff, any such air carrier or foreign air carrier issued license authority (including exemptions) by the Department or operating in air transportation shall be deemed to have agreed to the provisions of Agreement 18900 as fully as if that air carrier or foreign air carrier had in fact filed a properly executed counterpart to that Agreement and tariff.
This part sets forth the fitness data that must be submitted by applicants for certificate authority, by applicants for authority to provide service as a commuter air carrier to an eligible place, by carriers proposing to provide essential air transportation, and by certificated air carriers and commuter air carriers proposing a substantial change in operations, ownership, or management. This part also contains the procedures and filing requirements applicable to carriers that hold dormant authority.
As used in this part:
(a) All-cargo air carrier or section 41103 carrier means an air carrier holding an all-cargo air transportation certificate issued under section 41103 of 49 U.S.C. Subtitle VII authorizing the transportation by aircraft in interstate air transportation of only property or only mail, or both.
(b) Certificate authority means authority to provide air transportation granted by the Secretary of Transportation in the form of a certificate of public convenience and necessity under 49 U.S.C. 41102 or an all-cargo air transportation certificate to perform all-cargo air transportation under 49 U.S.C. 41103. Certificated carriers are those that hold certificate authority, including those carriers operating by law under the regulatory provisions under the Department's predecessor.
(c) Citizen of the United States means:
(1) An individual who is a citizen of the United States;
(2) A partnership each of whose partners is an individual who is a citizen of the United States; or
(3) A corporation or association organized under the laws of the United States or a State, the District of Columbia, or a territory or possession of the United States, of which the president and at least two-thirds of the board of directors and other managing officers are citizens of the United States, which is under the actual control of citizens of the United States, and in which at least 75 percent of the voting interest is owned or controlled by persons that are citizens of the United States.
(d) Commuter air carrier means an air carrier holding or seeking authority under part 298 of this Chapter that carries passengers on at least five round trips per week on at least one route between two or more points according to its published flight schedules that specify the times, days of the week, and places between which those flights are performed.
(e) Eligible place means a place in the United States that meets the specified criteria outlined in 49 U.S.C. Chapter 417.
(f) Essential air service is that air transportation which the Department has found to be essential under Subchapter II of Chapter 417 of 49 U.S.C. Subtitle VII.
(g) Fit means fit, willing, and able to perform the air transportation in question properly and to conform to the provisions of 49 U.S.C. Subtitle VII and the rules, regulations and requirements issued under 49 U.S.C. Subtitle VII.
(h) Interstate air transportation means the transportation of passengers or property by aircraft as a common carrier for compensation, or the transportation of mail by aircraft—
(1) Between a place in—
(i) A State, territory, or possession of the United States and a place in the District of Columbia or another State, territory, or possession of the United States;
(ii) Hawaii and another place in Hawaii through the airspace over a place outside Hawaii;
(iii) The District of Columbia and another place in the District of Columbia; or
(iv) A territory or possession of the United States and another place in the same territory or possession; and
(2) When any part of the transportation is by aircraft.
(i) Key personnel include the directors, president, chief executive officer, chief operating officer, all vice presidents, the directors or supervisors of operations, maintenance, and finance, and the chief pilot of the applicant or air carrier, as well as any part-time or full-time advisors or consultants to the management of the applicant or air carrier.
(j) Normalized operations are those which are relatively free of start-up costs and temporary barriers to full-scale operations posed by the carrier's limited experience.
(k) Relevant corporations are the applicant or air carrier, any subsidiary thereof, any predecessor thereof (i.e., any air carrier in which any directors, principal officers or persons having a substantial interest have or once had a substantial interest), and any company (including a sole proprietorship or partnership) which has a significant financial or managerial influence on the applicant or air carrier. The latter includes:
(1) Any company (including a sole proprietorship or partnership) holding more than 50 percent of the outstanding voting stock of the applicant or air carrier; and
(2) Any company (including a sole proprietorship or partnership) holding between 20 percent and 50 percent of the outstanding voting stock of the applicant or air carrier and which has significant influence over the applicant or air carrier as indicated, for example, by 25 percent representation on the board of directors, participation in policy-making processes, substantial inter-company transactions, or managerial personnel with common responsibilities in both companies.
(l) Substantial change in operations, ownership, or management includes, but is not limited to, the following events:
(1) Changes in operations from charter to scheduled service, cargo to passenger service, short-haul to long-haul service, or (for a certificated air carrier) small-aircraft to large-aircraft operations;
(2) The filing of a petition for reorganization or a plan of reorganization under Chapter 11 of the federal bankruptcy laws;
(3) The acquisition by a new shareholder or the accumulation by an existing shareholder of beneficial control of 10 percent or more of the outstanding voting stock in the corporation; and
(4) A change in the president, chief executive officer or chief operating officer, and/or a change in at least half of the other key personnel within any 12-month period or since its latest fitness review, whichever is the more recent period.
(m) Substantial interest means beneficial control of 10 percent or more of the outstanding voting stock.
An applicant for a type of certificate authority it does not currently hold or for commuter air carrier authority shall file the data set forth in paragraphs (a) through (v) of this section. In addition, the Department may require an applicant to provide additional data if necessary to reach an informed judgment about its fitness. If the applicant has previously formally filed any of the required data with the Department or with another Federal agency and they are available to the Department, and those data continue to reflect the current state of the carrier's fitness, the applicant may instead identify the data and provide a citation for the date(s) and place(s) of filing. Prior to filing any data, the applicant may contact the Air Carrier Fitness Division to ascertain what data required by this section are already available to the Department and need not be included in the filing.
If the applicant intends to use as evidence data it has previously filed pursuant to part 241 reporting requirements and those data contain errors, the applicant must first file corrected reports in accordance with § 241.22(g).
(a) The name, address, and telephone number of the applicant.
(b) The form of the applicant's organization.
(c) The State law(s) under which the applicant is organized.
(d) If the applicant is a corporation, a statement provided by the Office of the Secretary of State, or other agent of the State in which the applicant is incorporated, certifying that the applicant corporation is in good standing.
(e) A sworn affidavit stating that the applicant is a citizen of the United States.
(f) The identity of the key personnel who would be employed by the applicant, including:
(1) Their names and addresses;
(2) The experience, expertise, and responsibilities of each;
(3) The number of shares of the applicant's voting stock held by each and the percentage of the total number of such shares issued and outstanding, and the citizenship and principal business of any person for whose account, if other than the holder, such interest is held;
(4) The citizenship of each; and
(5) A description of the officerships, directorships, shares of stock (if 10 percent or more of total voting stock outstanding), and other interests each holds or has held in any air carrier, foreign air carrier, common carrier, person substantially engaged in the business of aeronautics or persons whose principal business (in purpose or fact) is the holding of stock in or control of any air carrier, common carrier or person substantially engaged in the business of aeronautics.
(g) A list of all persons having a substantial interest in the applicant. Such list shall include:
(1) Each person's name, address and citizenship;
(2) The number of shares of the applicant's voting stock held by each such person and the corresponding percentage of the total number of such shares issued and outstanding, and the citizenship and principal business of any person for whose account, if other than the holder, such interest is held;
(3) If any two or more persons holding a substantial interest in the applicant are related by blood or marriage, such relationship(s) shall be included in the list; and
(4) If any person or subsidiary of a person having a substantial interest in the applicant is or has ever been
(i) An air carrier, a foreign air carrier, a common carrier, or
(ii) Substantially engaged in the business of aeronautics, or
(iii) An officer or director of any such entity, or
(iv) A holder of 10 percent or more of total outstanding voting stock of any such entity, the list shall describe such relationship(s).
(h) A list of the applicant's subsidiaries, if any, including a description of each subsidiary's principal business and relationship to the applicant.
(i) A list of the applicant's shares of stock in, or control of, any air carrier, foreign air carrier, common carrier, or person substantially engaged in the business of aeronautics.
(j) To the extent any relevant corporation has been engaged in any business prior to the filing of the application, each applicant shall provide:
(1) Copies of the 10K Annual Reports filed in the past 3 years by any relevant corporation required to file such reports with the Securities and Exchange Commission, and
(2) Copies of recently filed 10Q Quarterly Reports, as necessary, in order to show the financial condition and results of operations of the enterprise current to within 3 months of the date of the filing of the application.
(k) If 10K Reports are not filed with the Securities and Exchange Commission, the following, for the 3 most recent calendar or fiscal years, reflecting the financial condition and results of operations of the enterprise current to within 3 months of the date of the filing of the application:
(1) The Balance Sheet of each relevant corporation;
(2) The Income Statement of each relevant corporation;
(3) All footnotes applicable to the financial statements, including:
(i) A statement as to whether the documents were prepared in accordance with Generally Accepted Accounting Principles, and
(ii) A description of the significant accounting policies of each relevant corporation, such as for depreciation, amortization of intangibles, overhauls, unearned revenues, and cost capitalization;
(4) A statement of significant events occurring subsequent to the most recent Balance Sheet date for each relevant corporation; and
(5) A statement identifying the person who has prepared the financial statements, his or her accounting qualifications, and any affiliation he or she has with the applicant.
(l) A list of all actions and outstanding judgments for more than $5,000 against any relevant corporation, key personnel employed (or to be employed) by any relevant corporation, or person having a substantial interest in any relevant corporation, including the amount of each judgment, the party to whom it is payable, and how long it has been outstanding.
(m) The number of actions and outstanding judgments of less than $5,000 against each relevant corporation, key personnel employed (or to be employed) by any relevant corporation, or person having a substantial interest in any relevant corporation, and the total amount owed by each on such judgments.
(n) A description of the applicant's fleet of aircraft, including:
(1) The number of each type of aircraft owned, leased and to be purchased or leased;
(2) Applicant's plans, including financing plans, for the purchase or lease of additional aircraft; and
(3) A sworn affidavit stating that each aircraft owned or leased has been certified by the FAA and currently complies with all FAA safety standards.
(o) A description of the current status of all pending investigations, enforcement actions, and formal complaints filed by the Department, including the FAA, involving the applicant or any relevant corporation, any personnel employed (or to be employed) by any relevant corporation or person having a substantial interest in any relevant corporation, regarding compliance with 49 U.S.C. Subtitle VII or orders, rules, regulations, or requirements issued pursuant to 49 U.S.C. Subtitle VII, and any corrective actions taken. (If an applicant has a compliance history that warrants it, additional information may be required.)
(p) A description of all charges of unfair or deceptive or anticompetitive business practices, or of fraud, felony or antitrust violation, brought against any relevant corporation or person having a substantial interest in any relevant corporation, or member of the key personnel employed (or to be employed) by any relevant corporation in the past 10 years. Such descriptions shall include the disposition or current status of each such proceeding.
(q) A description of any aircraft accidents or incidents (as defined in the National Transportation Safety Board Regulations, 49 CFR 830.2) experienced by the applicant, its personnel, or any relevant corporation, which occurred either during the year preceding the date of application or at any time in the past and which remain under investigation by the FAA, the NTSB, or by the company itself, including:
(1) The date of the occurrence;
(2) The type of flight;
(3) The number of passengers and crew on board and an enumeration of any injuries or fatalities;
(4) A description of any damage to the aircraft;
(5) The FAA and NTSB file numbers and the status of the investigations, including any enforcement actions initiated against the carrier or any of its personnel; and
(6) Positive actions taken to prevent recurrence. (If an applicant's history of accidents or incidents warrants it, additional information may be required.)
(r) A brief narrative history of the applicant.
(s) A description of all Federal, State and foreign authority under which the applicant has conducted or is conducting transportation operations, and the identify of the local FAA office and personnel responsible for processing an application for any additional FAA authority needed to conduct the proposed operations.
(t) A description of the service to be operated if the application is granted, including:
(1) A forecast Balance Sheet for the first normal year ending after the initially proposed operations have been incorporated, along with the assumptions underlying the accounts and amounts shown; and
(2) A forecast Income Statement, broken down by quarters, for the first year ending after the initially proposed operations are normalized, and an itemization of all pre-operating and start-up costs associated with the initiation of the proposed service. Such Income Statement shall include estimated revenue block hours (or airborne hours, for charter operators) and revenue miles by type of aircraft, number of passengers and number of tons of mail and cargo to be carried, transport revenues and an estimate of the traffic which would be generated in each market receiving the proposed service. Such statements shall also include a statement as to whether the statements were prepared on the accrual or cash basis, an explanation of how the estimated costs and revenues were developed, a description of the manner in which costs and revenues are allocated, how the underlying traffic forecasts were made, and what load factor has been assumed for the average and peak month. Pre-operating and start-up costs should include, but are not limited to, the following: Obtaining necessary government approval; establishing stations; introductory advertising; aircraft, equipment and space facility deposits and rent; training; and salaries earned prior to start-up.
(u) A signed counterpart of Agreement 18900 (OST Form 4523) as required by part 203 of this chapter.
(v) The following certification, which shall accompany the application and all subsequent written submissions filed by the applicant in connection with its application:
Pursuant to title 18 United States Code section 1001, I [the individual signing the application, who shall be a principal owner, senior officer, or internal counsel of the applicant], in my individual capacity and as the authorized representative of the applicant, have not in any manner knowingly and willfully falsified, concealed or covered up any material fact or made any false, fictitious, or fraudulent statement or knowingly used any documents which contain such statements in connection with the preparation, filing or prosecution of the application. I understand that an individual who is found to have violated the provisions of 18 U.S.C. section 1001 shall be fined nor more than $10,000 or imprisoned not more than five years, or both.
(a) A certificated or commuter air carrier proposing a substantial change in operations, ownership or management shall file the data set forth in § 204.3. These data must be submitted in cases where:
(1) The proposed change requires new or amended authority, or
(2) The change substantially alters the factors upon which its latest fitness finding is based, even if no new authority is required.
(b) Information which a carrier has previously formally filed with the Department, or with another Federal agency where they are available to the Department, which continues to reflect the current state of the carrier's fitness may be omitted. The carrier instead should identify the data and provide a citation for the date(s) and place(s) of filing. Prior to filing any data, the carrier may contact the Department (Air Carrier Fitness Division) to ascertain what data required by this section, if any, are already available to the Department or are not applicable to the substantial change in question and need not be included in the filing.
(c) Information filings pursuant to this section made to support an application for new or amended certificate authority shall be filed with the application and addressed to Docket Operations, M-30, U.S. Department of Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590, or by electronic submission at http://www.regulations.gov
(d) Information filed in support of a certificated or commuter air carrier's continuing fitness to operate under its existing authority in light of substantial changes in its operations, management, or ownership, including changes that may affect the air carrier's citizenship, shall be addressed to the Chief, Air Carrier Fitness Division, Office of the Secretary, U.S. Department of Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590.
Carriers proposing to make a change which would not substantially affect their operations, management, or ownership, such as certificated carriers applying for additional authority which would not substantially change their operations, will be presumed to be fit and need not file any information relating to their fitness at time of the change. However, if the Department concludes, from its own analysis or based on information submitted by third parties, that such change may bring the carrier's fitness into question, the Department may require the applicant carrier to file additional information.
(a) An air carrier that has not commenced any type of air transportation operations for which it was found fit, willing, and able within one year of the date of that finding, or an air carrier that, for any period of one year after the date of such a finding, has not provided any type of air transportation for which that kind of finding is required, is deemed no longer to continue to be fit to provide the air transportation for which it was found fit and, accordingly, its authority to provide such air transportation shall be revoked.
(b) An air carrier found fit which commences operations within one year after being found fit but then ceases operations, shall not resume operations without first filing all of the data required by § 204.3 at least 45 days before it intends to provide any such air transportation. Such filings shall be addressed to the Docket Operations Office, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. The Department will entertain requests for exemption from this 45-day advance filing requirement for good cause shown. If there has been no change in fitness data previously formally filed with the Department, the carrier shall file a sworn statement to that effect signed by one of its officers. The carrier may contact the Department (Air Carrier Fitness Division) to ascertain which data are already available to the Department and need not be refiled. A carrier to which this paragraph applies shall not provide any air transportation for which it is required to be found fit, willing, and able until the Department decides that the carrier continues to be fit, willing, and able to perform such air transportation. During the pendency of the Department's consideration of a data submission under this paragraph, the expiration period set out in paragraph (a) of this section shall be stayed. If the decision or finding by the Department on the issue of the carrier's fitness is favorable, the date or that decision or finding shall be the date considered in applying paragraph (a) of this section.
(c) For purposes of this section, the date of a Department decision or finding shall be the service date of the Department's order containing such decision or finding, or, in cases where the Department's decision or finding is made by letter, the date of such letter.
(d) For purposes of this section, references to operations and to the providing of air transportation shall refer only to the actual performance of flight operations under an operating certificate issued to the carrier by the FAA.
This part contains the rules for aircraft accident liability insurance coverage needed by U.S. direct air carriers to obtain or to exercise authority from the Department to operate in interstate or foreign air transportation, and by foreign direct air carriers to operate under permit or other authority in foreign air transportation. It further requires a disclosure statement to shippers about cargo liability limits and insurance coverage for U.S. and foreign direct air carriers.
These rules apply to all U.S. direct air carriers, including commuter air carriers and air taxi operators as defined in § 298.2 of this chapter, and foreign direct air carriers, including Canadian charter air taxi operators as defined in § 294.2(c) of this chapter.
(a) A U.S. or foreign direct air carrier shall not engage in air transportation unless it has in effect aircraft accident liability insurance coverage that meets the requirements of this part for its air carrier or foreign air carrier operations. The minimum amounts of coverage required by this part may be provided either by insurance policies or by self-insurance plans. The currently effective policy of insurance or complete plan for self-insurance shall be available for inspection by the Department at the carrier's principal place of business. The current certificate of insurance or a summary of the complete self-insurance plan on file with the Department, as required by § 205.4, shall be available for public inspection at the carrier's principal place of business.
(b) For purposes of this part, a certificate of insurance is one or more certificates showing insurance by one or more insurers (excluding reinsurers) of currently effective and properly endorsed policies of aircraft accident liability insurance in compliance with this part. When more than one such insurer is providing coverage, the limits and types of liability assumed by each insurer (excluding reinsurers) shall be clearly stated in the certificate of insurance. Insurance policies and self-insurance plans named in a certificate of insurance that accompanies an application for initial registration or for operating authority shall become effective not later than the proposed starting date for air carrier operations as shown in the application.
(c) The certificate of insurance shall list the types or classes of aircraft, or the specific aircraft by FAA or foreign government registration number, with respect to which the policy of insurance applies, or shall state that the policy applies to all aircraft owned or operated by the carrier in its air transportation operations. With respect to certificates of insurance that list aircraft by government registration number, the policy or self-insurance plan shall state that, while an aircraft owned or leased by the carrier and declared in the policy is withdrawn from normal use because of its breakdown, repair, or servicing, such insurance as is provided by the policy or plan for that aircraft shall apply also to another aircraft of similar type, horsepower, and seating capacity, whether or not owned by the insured, while temporarily used as a substitute aircraft.
(d) Each certificate of insurance shall be signed by an authorized officer, agent, or other representative of the insurer or the insurance broker.
(e) Insurance coverage to meet the requirements of this part shall be obtained from one or more of the following:
(1) An insurer licensed to issue aircraft accident liability policies in any State, Commonwealth, or Territory of the United States, or in the District of Columbia;
(2) Surplus line insurers named on a current list of such insurers issued and approved by the insurance regulatory authority of any State, Commonwealth, or Territory of the United States or of the District of Columbia; or
(3) Insurers licensed or approved by a foreign government.
(a) A U.S. or foreign air carrier shall file a certificate of insurance or a complete plan for self-insurance with the Department. Each carrier shall ensure that the evidence of aircraft accident liability coverage filed with the Department is correct at all times. The Department will normally notify the carrier within 20 days of receipt if the certificate or plan does not meet the requirements of this part. Certificates of Insurance shall be filed on OST Form 6410 for U.S. air carriers, including commuter air carriers and air taxi operators, and OST Form 6411 for foreign air carriers, including Canadian air taxi operators. The Department may return the certificate or self-insurance plan to the carrier if it finds for good cause that such certificate or plan does not show adequate evidence of insurance coverage under this part. Forms may be obtained from and should be filed with the Department at the addresses specified in paragraph (c) of this section. Forms may also be obtained on the Internet at https://www.transportation.gov/policy/aviation-policy/licensing/US-carriers.
(b) If the coverage is by type or class of aircraft or by specific aircraft, endorsements that add previously unlisted aircraft or aircraft types or classes to coverage, or that delete listed aircraft, types, or classes from coverage, shall be filed with the Department at the addresses specified in paragraph (c) of this section not more than 30 days after the effective date of the endorsements. Aircraft shall not be listed in the carrier's operations specifications with the FAA and shall not be operated unless liability insurance coverage is in force.
(c) Certificates of insurance and endorsements required in paragraphs (a) and (b) of this section shall be submitted to the Department of Transportation, Federal Aviation Administration, Program Management Branch, AFS-260, 800 Independence Avenue, SW., Washington, DC 20591. For those air carriers that have a mailing address in the State of Alaska, the forms shall be submitted to the Department of Transportation, Federal Aviation Administration, Alaskan Region Headquarters, AAL-230, 222 West 7th Avenue, Box 14, Anchorage, Alaska 99513. For Canadian air taxis, the forms shall be submitted to the Department of Transportation, Special Authorities Division, X-46, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(a) Insurance contracts and self-insurance plans shall provide for payment on behalf of the carrier, within the specific limits of liability in this section, of all sums that the carrier shall become legally obligated to pay as damages, excluding any deductible in the policy, for bodily injury to or death of a person, or for damage to the property of others, resulting from the carrier's operation or maintenance of aircraft in air transportation provided under its authority from the Department.
(b) U.S. and foreign direct air carriers, including commuter air carriers but excluding U.S. air taxi operators and Canadian charter air taxi operators, shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily injury to or death of persons, including nonemployee cargo attendants, other than passengers, and for damage to property, with minimum limits of $300,000 for any one person in any one occurrence, and a total of $20,000,000 per involved aircraft for each occurrence, except that for aircraft of not more than 60 seats or 18,000 pounds maximum payload capacity, carriers need only maintain coverage of $2,000,000 per involved aircraft for each occurrence.
(2) Any such carrier providing air transportation for passengers shall, in addition to the coverage required in paragraph (b)(1) of this section, maintain aircraft accident liability insurance coverage for bodily injury to or death of aircraft passengers, with minimum limits of $300,000 for any one passenger, and a total per involved aircraft for each occurrence of $300,000 times 75 percent of the number of passenger seats installed in the aircraft.
(c) U.S. air taxi operators registered under part 298 shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily injury to or death of persons, including nonemployee cargo attendants, other than passengers, with minimum limits of:
(i) $75,000 for any one person in any one occurrence, and a total of $300,000 per involved aircraft for each occurrence, and
(ii) A limit of a least $100,000 for each occurrence for loss of or damage to property.
(2) U.S. air taxi operators carrying passengers in air transportation shall, in addition to the coverage required in paragraph (c)(1) of this section, maintain aircraft accident liability insurance coverage for bodily injury to or death of aircraft passengers, with minimum limits of $75,000 for any one passenger, and a total per involved aircraft for each occurrence of $75,000 times 75 percent of the number of passenger seats installed in the aircraft.
(d) Canadian charter air taxi operators registered under part 294 of this chapter shall maintain the following coverage:
(1) Third-party aircraft accident liability coverage for bodily injury to or death of persons, including nonemployee cargo attendants, other than passengers, and for damage to property, with a minimum coverage of $75,000 for any one person in any one occurrence, and a total of $2,000,000 per involved aircraft for each occurrence, except that Canadian charter air taxi operators operating aircraft of more than 30 seats or 7,500 pounds maximum cargo payload capacity, and a maximum authorized takeoff weight on wheels not greater than 35,000 pounds shall maintain coverage for those aircraft of $20,000,000 per involved aircraft for each occurrence.
(2) Canadian charter air taxi operators engaging in passenger charter air service under part 294 of this chapter shall, in addition to the coverage required in paragraph (d)(1) of this section, maintain aircraft accident liability coverage for bodily injury to or death of aircraft passengers, with a minimum coverage of $75,000 for any one passenger and a total per involved aircraft for each occurrence of $75,000 times 75 percent of the total number of passenger seats installed in the aircraft.
(e) Notwithstanding paragraphs (b), (c) and (d) of this section, the carrier may be insured for a combined single limit of liability for each occurrence. The combined single-limit coverage must be not less than the combined required minimums for bodily injury and property damage coverage plus, if the aircraft is used in passenger service, the required total passenger coverages stipulated in paragraph (b) of this section for U.S. and foreign direct air carriers and commuter carriers, paragraph (c) of this section for U.S. air taxi operators, or paragraph (d) of this section for Canadian charter air taxi operators.
(f) The liability coverage shall not be contingent upon the financial condition, solvency, or freedom from bankruptcy of the carrier. The limits of the liability for the amounts required by this part shall apply separately to each occurrence. Any payment made under the policy or plan because of any one occurrence shall not reduce the coverage for payment of other damages resulting from any other occurrence.
(a) No warranty or exclusion in the policy or plan or in any endorsement or amendment to the policy or plan, nor any violation of the policy or plan by the carrier, shall remove the liability coverage required by this part, except as specifically approved by the Department. This requirement shall not limit the right of insurers to recover from the carrier for amounts paid.
(b) A policy of insurance or a self-insurance plan required by this part shall not contain the following exclusions:
(1) Violation of any safety-related requirement imposed by statute or by rule of a government agency.
(2) Liability assumed by the carrier under an agreement to raise the liability limitations of the Warsaw Convention by signing a counterpart to an agreement of carriers (such as the Montreal Agreement, 18900, signed May 13, 1966, agreeing to a limit on the carrier's liability for injury or death of passengers of $75,000 per passenger), or any amendment to such agreement that may be approved by the Department and to which the carrier becomes a party.
(a) Each policy of aircraft accident liability insurance and plan for self insurance shall specify that it shall remain in force, and may not be replaced, canceled, withdrawn, or in any way modified to reduce the minimum standards set forth in this part, or to change the extent of coverage, by the insurer or the carrier, nor expire by its own terms, in regard to coverage for the carrier in its common carrier operations in air transportation, until 10 days after written notice by the insurer (in the event of replacement, by the retiring insurer), or by the insurer's representative, or by the carrier, describing the change, to the Department at the addresses specified in § 205.4(c), which 10-day notice period shall start to run from the date such notice is actually received at the Department. For purposes of this part, a policy will not be considered to have expired if the same insurer renews its coverage without reduction in the extent of coverage or amounts of coverage, and without a break in coverage, whether or not a new policy is issued, and notice to the Department is not required in that event. If the coverage being changed is by type or class of aircraft or by specific aircraft, endorsements adding or deleting specific aircraft or types or classes of aircraft, for which prior notice would be required by this paragraph, shall be filed in accordance with § 205.4(b), and prior notice of the change need not be given under this paragraph.
(b) The requirements of this section shall not apply if the policy contains a lesser time period for cancellation in a war risk exclusion. If the war risk exclusion is activated by the insurer, the insurer or its representative shall immediately notify the Department.
Every direct U.S. or foreign air carrier providing air cargo service in air transportation shall give notice in writing to the shipper, when a shipment is accepted, of the existence or absence of cargo liability insurance, and the limits on the extent of its liability, if any. The notice shall be clearly and conspicuously included on or attached to all of its rate sheets and airwaybills.
Notwithstanding the provisions of section 41101 of 49 U.S.C. Subtitle VII, and any term, condition or limitation attached to the exercise of the privileges of an air carrier certificate of public convenience and necessity which prohibits an air carrier from engaging in air transportation between any points on its route, the air carrier may carry between such points (a) any person or persons certified by a physician to be in need of immediate air transportation in order to secure emergency medical or surgical treatment together with any necessary attendant or attendants and (b) any medical supplies certified by a physician as requiring immediate air transportation for the protection of life. Air carriers offering to provide this emergency transportation shall file appropriate tariffs pursuant to Chapter 415 of 49 U.S.C. Subtitle VII.
All air carriers are hereby exempted from the requirements of section 41902(b) of 49 U.S.C. Subtitle VII, which provides that each air carrier must periodically provide the Department and the U.S. Postal Service a listing of all of its regularly operated aircraft schedules and schedule changes, showing for each schedule the points served and the departure and arrival times.
Notwithstanding the provisions of section 41101 and Chapter 415 of 49 U.S.C. Subtitle VII and part 221 of this chapter, an air carrier holding a certificate of public convenience and necessity for the transportation of only property and mail may provide transportation to persons on regularly scheduled cargo flights for the purpose of collecting data for preparation of feature news, pictorial or like articles provided that the transportation is limited to the writer, journalist, or photographer engaged in the preparation of data for use in feature news, pictorial, or like articles which are to appear in newspapers or magazines, or on radio or television programs and which will publicize the regularly scheduled cargo operations of the carrier.
Air carriers providing air transportation pursuant to a contract with the Department of Defense are hereby exempted from Chapter 415 of 49 U.S.C. Subtitle VII, and from part 221, §§ 207.4 and 208.32, of this chapter, with respect to those services.
(a) A carrier holding an effective certificate issued under section 41102 of 49 U.S.C. Subtitle VII, when conducting operations with small aircraft, is exempt from the requirements of 49 U.S.C. Subtitle VII as set forth in subpart B of part 298 of this chapter, except section 41708 of 49 U.S.C. Subtitle VII, and is subject to the requirements set forth in the following provisions of this chapter:
(1) Part 205, with the minimum coverage requirements of § 205.5(b),
(2) Part 215,
(3) Part 298, subpart D, §§ 298.30, and 298.38, and subpart H, and
(4) Part 298, subpart F, if the certificated carrier conducts operations with small aircraft only (a certificated carrier conducting operations with both small and large aircraft is subject only to the reporting requirements contained in part 241 of this chapter).
(b) If a certificated carrier, when conducting operations with small aircraft, provides foreign air transportation that includes a segment for which tariff filing is required and another segment for which tariff filing is not required, then for through service over that routing the carrier has the option of filing a tariff or charging the sum of the applicable local rates, fares, or charges. If the carrier files a tariff for through service, it is not exempt from Chapter 415 or section 41310 of 49 U.S.C. Subtitle VII for that air transportation.
This part sets forth the filing and evidence requirements for foreign air carriers applying for authority to engage in foreign air transportation under section 41301 of Title 49 of the United States Code (Transportation).
(a) Except as provided in paragraph (b) of this section, this part applies to all foreign air carriers seeking initial foreign air carrier permits or the transfer, renewal, or amendment of an existing foreign air carrier permit.
(b) Canadian charter air taxi operators, foreign indirect air carriers of property, and foreign charter operators are not required to submit applications under this part. Instead, Canadian charter air taxi operators shall register under part 294 of this chapter, foreign indirect air carriers of property shall register under part 297 of this chapter, and foreign charter operators shall register under subpart E of part 380 of this chapter.
(a) Except as provided in paragraph (b) of this section, applicants shall follow the requirements in § 302.3 of this chapter as to execution, number of copies, and formal specifications of papers.
(b) Mexican air taxi operators filing applications for foreign air carrier permits authorizing charter flights across the Mexico-United States border with small aircraft (a maximum passenger capacity of 60 seats or less, or a maximum payload capacity of 18,000 pounds or less) shall file an original and two copies of the application. The application shall conform to the instruction document available from the Foreign Air Carrier Licensing Division, Office of International Aviation, Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(c) An application shall have consecutively numbered pages, and shall clearly describe and identify each exhibit by a separate number or symbol. All exhibits are part of the application to which they are attached.
(d) Applications shall state all weights, measures and monetary units in U.S. terms, and all text in English.
Applications shall be verified and subscribed and sworn to before a Notary Public or other officer authorized to administer oaths in the jurisdiction in which the application is executed. An application verified before a United States consular officer meets the requirements of this section.
All types of applications for foreign air carrier permits (initial, renewal, amendment, or transfer) are filed as of the date the applications are received at the Department's Docket Facility. Each applicant shall serve those persons as required in part 302, subpart B, of this chapter.
An applicant shall submit any information required by this part that is omitted from the original application, or any additional information, as an amendment to the original application. Applicants shall consecutively number amendments to applications and shall comply with the requirements of this subpart.
Where two or more applications are filed by a single carrier, the applicant may incorporate lengthy exhibits, or other documents, attached to one application into others by reference. The applicant may not incorporate by reference and update any information from a previous docket unless submitted within the past 2 years. The applicant must identify the docket, and the page number or exhibit number being incorporated, and state that there has been no change in that information since submitting the original information.
The applicant shall include only significant and relevant facts in an application. Each application shall contain adequate information with respect to the evidence required in subpart C of this part. The application may contain other information and data the applicant considers necessary to explain particular circumstances.
If an oral evidentiary hearing is convened, the applicant must make available witnesses who are competent and able to testify to the accuracy of the statements and documents submitted.
A person applying for an initial foreign air carrier permit or the transfer of a permit shall submit the information listed below. The applicant must fully comply with this requirement. If the applicant is unable to respond to an item, the application shall contain an explanation, and include substitute information most closely approximating the information requested. The Department may require an applicant to provide additional information as necessary.
(a) State the name and address of the applicant, the nature of its organization (individual, partnership, corporation, etc.), and, if other than an individual, the name of the country under the laws of which it is organized and the statutory citation of such laws, if any.
(b) State the name and official address of the government air transport authority of applicant's country of citizenship having regulatory jurisdiction over applicant.
(c) Supply the following information regarding the services proposed:
(1) A complete statement of the authority sought; and
(2) A description of the services proposed, specifying:
(i) The point or points in the United States proposed to be served;
(ii) The frequency of service planned at the start of operations, indicating any seasonal variations; whether the service proposed is to be scheduled, nonscheduled or charter; whether the service would be passenger, or property and mail, or a combination; and the type of equipment (and configuration) to be used; and
(iii) A service schedule stating the manner in which the service will be operated (e.g., nonstop or multi-stop, and the identity of proposed intermediate traffic and nontraffic points).
(d) Provide the names, addresses (both residence and business), and citizenship of all Directors, Officers and key management personnel, including the President, Vice Presidents, the Directors or Supervisors of Operations, Maintenance, and Finance, and the chief pilot and chief inspector. Indicate whether any of these persons are related by blood or marriage.
(e) Provide the names and citizenship of all persons holding five percent (5%) or more of the capital stock or capital of the applicant. Also indicate the number and percentage of shares of stock or percentage of capital held by each. If five percent or more of the applicant's stock is held by a corporation or partnership, set forth the name and citizenship of each person holding five percent or more of the entire capital stock or capital of that corporation or partnership and the respective interest of each. If any shares are held for the benefit of another person, give the name and citizenship of that person.
(f) If the applicant is not wholly owned by its homeland government, state whether the applicant (each officer, director, manager, or holder of five percent or more of the capital stock) holds any interest directly or indirectly (through brokers or holding companies) in any of the entities listed below. If no interest is held, so state.
(1) Any U.S. carrier;
(2) Any other foreign air carrier;
(3) Any persons engaged in the business of aeronautics; and
(4) Any common carrier, or any person whose principal business is the holding of stock in, or control of, any air carrier.
(g) Indicate the relationship between the applicant and its homeland government. If the applicant is wholly owned or substantially owned by the government, indicate which governmental department has responsibility for managerial decisions.
(h) State whether the applicant's insurance coverage meets or exceeds the liability limits of 14 CFR part 205. State the name(s) of its insurance carrier(s).
(i) Supply certified evidence, in English, of the applicant's operating authority issued by its government that relates to the operations proposed. This evidence must include a description of the applicant's present authority, the expiration date of this authority, and the manner in which it is expected to be renewed.
(j) Summarize the operating history of the applicant. Include the types of transportation services rendered, points served, etc., from the beginning of operations to the present. Also, if the applicant is a new airline (i.e., an airline that began direct air services within the past 12 months), briefly summarize the business experience of each officer, director and key management personnel, emphasizing any air transportation experience.
(k) Provide a list of the aircraft owned, leased and operated by the applicant. State each aircraft registration number and the country of registration. If leased, state the address and citizenship of each lessor. Describe any plans for the acquisition or lease of additional aircraft if the present permit application is granted as proposed. If any of the listed aircraft will not be used exclusively by the applicant, explain its proposed use. State whether any aircraft are or will be wet-leased.
(l) State where and by whom the maintenance of the aircraft is or will be performed. State whether the applicant's maintenance program complies with the provisions of ICAO Pilots and Airmen Annexes 1, 6 (Part 1) and 7. Also state whether the applicant's home country is a contracting State to the Convention on International Civil Aviation.
(m) Briefly describe any agreements or cooperative working arrangements (e.g., block-space, wet-lease), both oral and written, entered with and between the applicant, or on behalf of the applicant, and any U.S. or foreign air carrier, affecting the proposed services to the United States that are not on file with the Department. If there are no such agreements, so state.
(n) Supply financial data summaries, setting forth in U.S. dollars the applicant's profit and loss statements and balance sheets for the 2 most recent available years (calendar or fiscal). These summaries must be accompanied by a statement from the applicant's official responsible for preparation of the summaries that the submissions are complete and accurate. These summaries must include the following data, but need not be more detailed than the financial data summaries published by ICAO:
(1) The profit and loss summary shall identify:
(i) Total air transport operating revenues (separated into three categories: passenger, cargo, and other transport revenues);
(ii) Total air transport operating expenses;
(iii) Operating result (difference between (i) and (ii));
(iv) Non-operating items; and
(v) Profit or loss after income taxes.
(2) The balance sheet summary shall state and identify:
(i) Current assets;
(ii) Flight equipment (after depreciation);
(iii) Other assets;
(iv) Total assets (sum of (i) through (iii));
(v) Current liabilities;
(vi) Other liabilities;
(vii) Long-term debt;
(viii) Capital stock;
(ix) Retained earnings (balance including capital surplus); and
(x) Total liabilities and equity (sum of (v) through (ix)).
(o) Describe the amount, type and reason for financial assistance received or expected from the applicant's home government, if any.
(p) Submit an estimate showing the total traffic and the financial results of the proposed services for the first full year of normal operations and the supporting data employed to calculate the financial forecast.
(q) If the air transportation proposed is not covered by an air transport agreement, state in narrative form each of the elements of reciprocity or comity relied upon for the requested authority. If the authority requested is governed by an agreement, state whether the applicant has been formally designated by its homeland government, and, if so, cite the diplomatic note.
(r) To the extent not described in paragraph (q), state the policy of the applicant's homeland government with respect to U.S. carriers' applications for scheduled and charter authority. Specifically state whether the homeland government grants Fifth Freedom traffic rights to U.S. carriers.
(s) For the preceding 5 years, state whether the applicant has been involved in any safety or tariff violations or any fatal accidents. If so, furnish details.
(t) Submit 3 completed copies of OST Form 4523 (Waiver of liability limits under the Warsaw Convention).
A person applying for an amendment or renewal of a foreign air carrier permit shall submit the information listed below. The applicant must comply fully with this requirement. If the applicant is unable to respond to an item, the application shall contain an explanation and include substitute information most closely approximating the information requested. The Department may require an applicant to provide any additional information necessary.
(a) The information required in paragraphs (a), (b), (i), (o), (q), (r), and (s), of § 211.20.
(b) Except if seeking renewal of existing authority, the information specified in paragraphs (c) and (p) of § 211.20 regarding the new or altered services proposed to be operated.
(c) If the financial material for the applicant on file with the Department is more than 2 years old, financial summaries setting forth, in U.S. dollars, the applicant's profit and loss statements and balance sheets for the 2 most recent available years (calendar or fiscal) as required in paragraph (n) of § 211.20, together with the statement of completeness and accuracy required by that paragraph. If the financial material on file with the Department is 2 years old or less, the applicant may incorporate that information by reference as described in § 211.14 of this part.
(d) If the ownership and control of the applicant are substantially unchanged, so state. If a change has occurred, the applicant shall respond to the paragraph in § 211.20 that most closely relates to the change that has taken place.
(e) A statement that applicant's maintenance program continues to comply with the provisions of ICAO Pilots and Airmen Annexes 1, 6 (Part 1) and 7.
Foreign carriers owned and controlled by citizens of the Federated States of Micronesia, the Marshall Islands, Palau and/or the United States may, in accordance with the provisions of paragraph 5(b) of Article IX of the Federal Programs and Services Agreement, implementing section 221(a)(5) of the Compact of Free Association between the United States and those governments, apply for authority as “Freely Associated State Air Carriers.” The permit application for such authority shall be labeled on the front page, “Application for Freely Associated State Foreign Air Carrier Permit.”
The application shall include, in addition to other requirements of this part, documentation clearly establishing:
(a) That the carrier is organized under the laws of the Federated States of Micronesia, the Marshall Islands, Palau or the United States;
(b) That substantial ownership and effective control of the carrier are held by citizens of the Federated States of Micronesia, the Marshall Islands, Palau and/or the United States;
(c) That citizens of other countries do not have interests in the carrier sufficient to permit them substantially to influence its actions, or that substantial justification exists for a temporary waiver of this requirement;
(d) That the Administrator of the Federal Aviation Administration has determined that the carrier complies with such safety standards as the Administrator considers to be required; and
(e) That the government or governments of the Freely Associated States concerned have consented to the carrier's operation as a “Freely Associated State Air Carrier.”
If the Department is satisfied that the applicant meets the requirements of § 211.31 (a) through (e), and that grant of all or part of the requested authority would otherwise be in the public interest, the Department may, subject to Presidential review under 49 U.S.C. 41307, issue a “Freely Associated State Foreign Air Carrier Permit” to the applicant, including such terms, conditions or limitations as the Department may find to be in the public interest.
(a) An application under this subpart may include a request, in addition to other foreign air transportation, for authority to engage in interstate air transportation between Guam, the Commonwealth of the Northern Mariana Islands and Honolulu, Hawaii, and interstate air transportation within the Commonwealth of the Northern Mariana Islands. A request for all or part of such limited interstate air transportation authority shall be supported by documentation establishing:
(1) The impact of such interstate air transportation services on the economic projections of the carrier's proposed operations;
(2) The need for such proposed interstate air transportation by the affected U.S. points;
(3) The economic impact of such interstate air transportation on services provided by other carriers providing essential air transportation services to eligible Freely Associated State points within the scope of part 272 of this chapter.
(b) The Department may grant a Freely Associated State Air Carrier authority to engage in all or part of the interstate air transportation requested in paragraph (a) of this section provided that the Department finds:
(1) That grant of such interstate air transportation authority would be in furtherance of the objectives of the Compact of Free Association and related agreements between the United States and the Freely Associated States, and would otherwise be in the public interest; and
(2) That grant of such interstate air transportation authority would not significantly impair the economic viability of existing services providing essential air transportation to any eligible Freely Associated State point within the scope of part 272 of this chapter, or significantly increase compensation that may be required to maintain any such essential air transportation.
(c) The Department may, at any time, subject to Presidential review under section 41307, suspend, modify, or revoke such interstate authority if it concludes that the requirements specified in paragraph (b) of this section are not then being met.
Nothing in this section shall be construed as limiting the authority of the Department to issue a foreign air carrier permit, other than a Freely Associated State Foreign Air Carrier Permit, to a carrier owned or controlled, in whole or in part, by citizens of the Federated States of Micronesia, the Marshall Islands or Palau, that does not meet the requirements of this section.
The eligibility of a carrier owned or controlled, in whole or in part, by citizens of the Federated States of Micronesia, the Marshall Islands or Palau, respectively, for issuance of a Freely Associated State Foreign Air Carrier Permit under this subpart shall exist only for such period as subparagraphs (a), (d), and (e) (eligibility for Freely Associated State essential air transportation subsidy compensation), or subparagraph (c) (limited interstate air transportation authority), of paragraph (5) of the Agreement on Civil Aviation Economic Services and Related Programs (Article IX of the Federal Programs and Services Agreement) remain in effect between the Government of those States and the Government of the United States, insofar as authority is conferred by such permits for purposes specified in those subparagraphs.
This part applies to all charter flights, and all other flights carrying charter passengers or cargo, in interstate and/or foreign air transportation by U.S. certificated air carriers or in foreign air transportation by foreign air carriers. It does not apply to any flights performed by a commuter air carrier, air taxi operator, or certificated air carrier operating “small aircraft” under part 298 of this chapter. Nothing in this part gives authority to operate a type or level of service not authorized by certificate, foreign air carrier permit, or exemption, except that a certificated air carrier authorized to conduct scheduled operations may conduct charter flights, in interstate and/or foreign air transportation, without limitation as to the points served.
For the purposes of this part:
Affinity (pro rata) charter means a charter arranged by an organization on behalf of its membership, and which meets the requirements of § 212.5.
Certificated air carrier means a U.S. direct air carrier holding a certificate issued under 49 U.S.C. 41102.
Charter flight means a flight operated under the terms of a charter contract between a direct air carrier and its charterer or lessee. It does not include scheduled interstate air transportation, scheduled foreign air transportation, or nonscheduled cargo foreign air transportation, sold on an individually ticketed or individually waybilled basis.
Charter operator means:
(1) A “Public Charter operator” as defined in § 380.2 of this chapter, or
(2) An “Overseas Military Personnel Charter operator” as defined in § 372.2 of this chapter.
Direct air carrier means a certificated or foreign air carrier that directly engages in the operation of aircraft under a certificate, permit, or exemption issued by the Department.
Fifth freedom charter means a charter flight carrying traffic that originates and terminates in countries other than the carrier's home country, regardless of whether the flight operates via the home country.
Foreign air carrier means a direct air carrier which is not a citizen of the United States as defined in 49 U.S.C. 40102(a) that holds a foreign air carrier permit issued under 49 U.S.C. 41302 or an exemption issued under 49 U.S.C. 40109 authorizing direct foreign air transportation.
Fourth freedom charter means a charter flight carrying traffic that terminates in the carrier's home country having originated in another country.
Gambling junket charter means a charter arranged by a casino, hotel, cruise line, or its agents, the purpose of which is to transport passengers to the casino, hotel, or cruise ship where gambling facilities are available, and which meets the requirements of § 212.6.
Long-term wet lease means a wet lease which either—
(1) Lasts more than 60 days, or
(2) Is part of a series of such leases that amounts to a continuing arrangement lasting more than 60 days.
Mixed charter means a charter, the cost of which is borne partly by the charter participants and partly by the charterer, where all the passengers meet the eligibility requirements for “affinity (pro rata)” charters of § 212.5.
Part charter means flight carrying both charter and scheduled passenger traffic.
Seventh-freedom charter means a charter flight carrying traffic that originates and terminates in a country other than the foreign air carrier's home country, where the flight does not have a prior, intermediate, or subsequent stop in the foreign air carrier's home country.
Single entity charter means a charter the cost of which is borne by the charterer and not by individual passengers, directly or indirectly.
Sixth-freedom charter means a charter flight carrying traffic that originates and terminates in a country other than the country of the foreign air carrier's home country, provided the flight operates via the home country of the foreign air carrier.
Third freedom charter means a charter flight carrying traffic that originates in the carrier's home country and terminates in another country.
Wet lease means a lease between direct air carriers by which the lessor provides all or part of the capacity of an aircraft, and its crew, including operations where the lessor is conducting services under a blocked space or code-sharing arrangement.
(a) Certificated and foreign air carriers may conduct charter flights as described in this part, and may carry charter passengers on scheduled flights, or charter cargo on scheduled or nonscheduled flights (or on the main deck or in the belly of passenger charter flights), subject to the requirements of this chapter and any orders of, or specific conditions imposed by, the Department.
(b) Charter flights may be operated on a round-trip or one-way basis, with no minimum group, shipment, or contract size.
(c) Contracts to perform charter flights must be in writing and signed by an authorized representative of the certificated or foreign air carrier and the charterer prior to the operation of the flights involved. The written agreement shall include:
(1) The name and address of either the surety whose bond secures advance charter payments received by the carrier, or of the carrier's depository bank to which checks or money orders for the advance charter payments are to be made payable as escrow holder pending completion of the charter trip; and
(2) A statement that unless the charterer files a claim with the carrier, or, if the carrier is unavailable, with the surety, within 60 days after the cancellation of a charter trip with respect to which the charterer's advance payments are secured by the bond, the surety shall be released from all liability under the bond to such charterer for such trips.
(d) A certificated or foreign air carrier must make a reasonable effort to verify that any charterer with which it contracts, and any charter it conducts, meets the applicable requirements of this chapter.
(e) The certificated or foreign air carriers shall require full payment of the total charter price, including payment for the return portion of a round trip, or the posting of a satisfactory bond for full payment, prior to the commencement of any portion of the air transportation, provided, however, that in the case of a passenger charter for less than the entire of an aircraft, the carrier shall require full payment of the total charter price, including payment for the return portion of a round trip, from the charterers not less than 10 days prior to the commencement of any portion of the transportation, and such payment shall not be refundable unless the charter is canceled by the carrier or unless the carrier accepts a substitute charterer for one which has canceled a charter, in which case the amount paid by the latter shall be refunded. For the purpose of this section, payment to the carrier's depository bank, as designated in the charter contract, shall be deemed payment to the carrier.
(f) A certificated or foreign air carrier operating a U.S.-originating passenger charter shall be responsible to return to his or her point of origin any passenger who purchased round trip transportation on that charter and who was transported by that carrier on his or her outbound flight; except that this provision shall not apply in cases where the return transportation is to be provided by another certificated or foreign air carrier.
(g) A certificated or foreign air carrier may not perform any charter flight for which a statement of authorization is required under § 212.9 until one has been granted by the Department. In addition, if a foreign air carrier is required to obtain a statement of authorization under paragraph (e) of that section, neither it, not any charter operator, or any other person shall advertise or sell any passenger charter services except those that have been specifically authorized by the Department.
(h) A certificated air carrier may not operate charters where such operations would result in a substantial change in the scope of its operations within the meaning of part 204 of this chapter.
(i) A certificated air carrier may not limit its baggage liability for interstate charter flights except as set forth in part 254 of this chapter.
(j) A certificated air carrier may not, except as set forth in part 121 of the Federal Aviation Regulations (14 CFR part 121), limit the availability, upon reasonable request, of air transportation and related services to a person who may require help from another person in expeditiously moving to an emergency exit for evacuation of an aircraft.
(k) A certificated air carrier holding a certificate to conduct only cargo operations may not conduct passenger charters.
(l) A certificated air carrier may not perform any charter in interstate commerce within the State of Alaska.
(m) A foreign air carrier may operate charters in foreign air transportation only to the extent authorized by its foreign air carrier permit under 49 U.S.C. 41302 or exemption authority under 49 U.S.C. 40109, and only to the extent to which such operations are consistent with the provisions of any applicable bilateral aviation undertaking.
Certificated and foreign air carriers may conduct the following charter types, subject to the provisions of this part:
(a) Affinity (pro rata) charters.
(b) Single entity charters, including:
(1) Wet leases involving the carriage of passengers and/or cargo, provided, that the wet lessee holds appropriate economic authority from the Department to conduct the proposed operations; and
(2) Charters pursuant to contracts with the Department of Defense, provided, that foreign air carriers may conduct charters for the Department of Defense only to the extent that such operations are consistent with the provisions of 49 U.S.C. 40118.
(c) Mixed charters.
(d) Gambling junket charters.
(e) Public Charters in accordance with part 380 of this chapter (including operations by educational institutions as defined in that part).
(f) Overseas military personnel charters in accordance with part 372 of this chapter.
(g) Cargo charters.
An affinity (pro rata) charter operated by a certificated or foreign air carrier must meet the following criteria:
(a) The aircraft must be chartered by an organization, no part of whose business is the formation of groups for transportation or solicitation or sale of transportation services, for the purpose of providing air transportation to its members and their immediate families.
(b) The charter must be organized by the organization itself, or by a person or company who acts not as a principal, but as an agent for the chartering organization or the certificated or foreign air carrier.
(c) No solicitation, sales, or participation may take place beyond the bona fide members of an eligible chartering organization, and their immediate families (spouse, children, and parents). All printed solicitation materials shall contain the following notice in boldface, 10-point or larger type—
Some of the Federal rules that protect against tour changes and loss of passengers' money in publicly sold charters do not apply to this charter flight.
(d) “Bona fide members” are members of an organization who: Have not joined the organization merely to travel on a charter flight; and who have been members of the chartering organization for a minimum of six months prior to the date of commencement of the affected flight; provided, that the “six month” rule does not apply to:
(1) Employees of a single commercial establishment, industrial plant, or government agency, or
(2) Students and employees of a single school.
(e) The charter price due the direct air carrier shall be prorated equally among all the charter passengers, except that children under 12 may be offered discounted or free transportation.
(f) The certificated or foreign air carrier shall make reasonable efforts to assure that passengers transported meet the eligibility requirements of this section. The certificated or foreign air carrier shall also obtain (no later than the date of departure), and maintain for two years, a certification by an authorized representative of the chartering organization that all passengers are eligible for transportation under this section.
A gambling junket charter operated by a certificated or foreign air carrier must meet the following criteria:
(a) The aircraft must be chartered by
(1) A casino, hotel, or cruise line duly licensed by the government of any state, territory or possession of the United States, or by a foreign government, or
(2) An agent of such a casino, or cruise line on behalf of that casino, hotel, or cruise line.
(b) The casino, hotel, or cruise line or its agents, may not require a passenger to incur any expense in taking the trip, provided, that this provision shall not preclude the casino, hotel, or cruise line or its agents, from requiring prospective passengers to pay nominal reservation fees that are duly refundable by the casino, hotel, or cruise line before the flight, establish a minimum line-of-credit at the casino, hotel, or cruise line, bring (but not necessarily spend) a specified minimum amount of money, or meet other requirements that do not place them in financial jeopardy; nor does it preclude the casino, hotel, or cruise line, or its agents, from offering operational land packages for a fee.
(a) Certificated and foreign air carriers may sell or offer for sale, and operate, as principal, Public Charter flights under part 380 of this chapter directly to the public.
(b) Each certificated or foreign air carrier operating a charter trip under this section shall comply with all the requirements of part 380 of this chapter, except that:
(1) Those provisions of part 380 relating to the existence of a contract between a charter operator and a direct air carrier do not apply;
(2) A depository agreement shall comply with § 380.34a (d) and (f);
(3) A security agreement shall comply with § 380.34 (c) and (d); and
(i) If no depository agreement is used, protect charter participant payments (including those for ground accommodations and services) and assure the certificated or foreign air carrier's contractual and regulatory responsibilities to charter participants in an unlimited amount (except that the liability of the securer with respect to any charter participant may be limited to the charter price paid by or on behalf of such participant);
(ii) If used in combination with a depository agreement, protect charter participant payments (including those for ground accommodations and services) and assure the certificated or foreign air carrier's contractual and regulatory responsibilities to charter participants in the amount of at least $10,000 times the number of flights, except that the amount need not be more than $200,000. The liability of the securer with respect to any charter participant may be limited to the charter price paid by or on behalf of such participant.
(c) The Department reserves the right to limit or prohibit the operation of direct sales Public Charters by a foreign air carrier upon a finding that such action is necessary in the public interest.
(a) Except as provided in paragraph (c) of this section, no certificated air carrier or foreign air carrier shall perform any charter trip (other than a cargo charter trip) originating in the United States or any Overseas Military Personnel Charter trip, as defined in part 372 of this chapter, nor shall such carrier accept any advance payment in connection with any such charter trip, unless there is on file with the Department a copy of a currently effective agreement made between said carrier and a designated bank, by the terms of which all sums payable in advance to the carrier by charterers, in connection with any such trip to be performed by said carrier, shall be deposited with and maintained by the bank, as escrow holder, the agreement to be subject to the following conditions:
(1) The charterer (or its agent) shall pay the carrier either by check or money order made payable to the depository bank. Such check or money order and any cash received by the carrier from a charterer (or its agent) shall be deposited in, or mailed to, the bank no later than the close of the business day following the receipt of the check or money order or the cash, along with a statement showing the name and address of the charterer (or its agent); provided, however, that where the charter transportation to be performed by a carrier is sold through a travel agent, the agent may be authorized by the carrier to deduct its commission and remit the balance of the advance payment to the carrier either by check or money order made payable to the designated bank.
(2) The bank shall pay over to the carrier escrowed funds with respect to a specific charter only after the carrier has certified in writing to the bank that such charter has been completed; provided, however, that the bank may be required by the terms of the agreement to pay over to the carrier a specified portion of such escrowed funds, as payment for the performance of the outbound segment of a round-trip charter upon the carrier's written certification that such segment has been so completed.
(3) Refunds to a charterer from sums in the escrow account shall be paid directly to such charterer its assigns. Upon written certification from the carrier that a charter has been canceled, the bank shall turn over directly to the charterer or its assigns all escrowed sums (less any cancellation penalties as provided in the charter contract) which the bank holds with respect to such canceled charter, provided however, that in the case of a split charter escrowed funds shall be turned over to a charterer or its assigns only if the carrier's written certification of cancellation of such charter includes a specific representation that either the charter has been canceled by the carrier or, if the charter has been canceled by the charterer, that the carrier has accepted a substitute charterer.
(4) The bank shall maintain a separate accounting for each charter flight.
(5) As used in this section the term “bank” means a bank insured by the Federal Deposit Insurance Corporation.
(b) The escrow agreement required under paragraph (a) of this section shall not be effective until approved by the Department. Claims against the escrow may be made only with respect to the non-performance of air transportation.
(c) The carrier may elect, in lieu of furnishing an escrow agreement pursuant to paragraph (a) of this section, to furnish and file with the Department a surety bond with guarantees to the United States Government the performance of all charter trips (other than cargo charter trips) originating in the United States and of all overseas military personnel charter trips, as defined in part 372 of this chapter, to be performed, in whole or in part, by such carrier pursuant to any contracts entered into by such carrier. The amount of such bond shall be unlimited.
(d) The bond permitted by this section shall be in the form set forth as the appendix to this part. Such bond shall be issued by a bonding or surety company—
(1) Which is listed in Best's Insurance Reports (Fire and Casualty) with a general policyholders' rating of “A” or better or
(2) Which is listed in the U.S. Department of Treasury's notice listing companies holding Certificates of Authority as acceptable sureties on Federal bonds and as acceptable reinsuring companies, published in the
(e) The bond required by this section shall provide that unless the charterer files a claim with the carrier, or, if the carrier is unavailable, with the surety, within 60 days after cancellation of a charter trip with respect to which the charterer's advance payments are secured by the bond, the surety shall be released from all liability under the bond to such charterer for such charter trip. The contract between the carrier and the charterer shall contain notice of this provision.
(a) Certificated air carriers shall obtain a statement of authorization for each long-term wet lease to a foreign air carrier.
(b) Foreign air carriers shall obtain a statement of authorization for each:
(1) Fifth-, sixth- and/or seventh-freedom charter flights to or from the United States;
(2) Long-term wet lease;
(3) Charter flight for which the Department specifically requires prior authorization under paragraph (e) or (f) of this section; or
(4) Part charter.
(c) The Department may issue blanket statements of authorization to foreign air carriers to conduct fifth freedom charters. The standards for issuing such blanket authorizations shall be those stated in § 212.11. The Department may revoke any authority granted under this paragraph at any time without hearing.
(d) The Department may at any time, with or without hearing, but with at least 30 days' notice, require a foreign air carrier to obtain a statement of authorization before operating any charter flight. In deciding whether to impose such a requirement, the Department will consider (but not be limited to considering) whether the country of the carrier's nationality:
(1) Requires prior approval for third or fourth freedom charter flights by U.S. air carriers;
(2) Has, over the objection of the U.S. Government, denied rights of a U.S. air carrier guaranteed by a bilateral agreement; or
(3) Has otherwise impaired, limited, or denied the operating rights of U.S. air carriers, or engaged in unfair, discriminatory, or restrictive practices with respect to air transportation services to, from, through, or over its territory.
(e) The Department, in the interest of national security, may require a foreign air carrier to provide prior notification or to obtain a statement of authorization before operating any charter flight over U.S. territory.
(a) Application for a statement of authorization shall be submitted on OST Form 4540 except that for part charters or long-term wet leases the application may be in letter form. An application for a long-term wet lease shall describe the purpose and terms of the wet lease agreement. Except for an application for a long-term wet lease involving a codeshare agreement, an original and two copies of an application shall be submitted to the Department of Transportation, Office of International Aviation, U.S. Air Carrier Licensing Division, X-44 (for an application by a certificated air carrier), or Foreign Air Carrier Licensing Division, X-45 (for an application by a foreign air carrier), 1200 New Jersey Avenue, SE., Washington, DC 20590; an original and two copies of an application for a long-term wet lease involving a codeshare agreement shall be submitted to DOT Dockets, PL-401, 1200 New Jersey Avenue, SE., Washington, DC 20590, or by electronic submission to DOT Dockets according to procedures at the DOT Dockets website. Upon a showing of good cause, the application may be transmitted by facsimile (fax) or telegram, or may be made by telephone, provided, that in the case of a fax or telephone application, the applicant must confirm its request (by filing an original and two copies of its application as described above) within three business days.
(b) A copy of each application for a long-term wet lease shall also be served on the Director of Flight Standards Service (AFS-1), Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591, and on each certificated air carrier that is authorized to serve the general area in which the proposed transportation is to be performed.
(c)(1) Applicants for statements of authorization filed by foreign air carriers shall include documentation to establish the extent to which the country of the applicant's nationality deals with U.S. air carriers on the basis of reciprocity for similar flights, if such flights are not subject to a bilateral agreement, and
(i) The Department has not established that the country accords reciprocity;
(ii) The Department has found reciprocity defective in the most recent prior approval application involving the country; or
(iii) Changes in reciprocity have occurred since the most recent Department finding for the country in question.
(2) Applications filed by certificated or foreign air carriers to conduct long-term wet leases shall include, for the country of the lessee's nationality, the documentation specified in paragraph (c)(1) of this section.
(d)(1) Applications shall be filed at least 5 business days before commencement of the proposed flight or flights, except as specified in paragraphs (d)(2), (d)(3), and (d)(4) of this section. Late applications may be considered upon a showing of good cause for the lateness.
(2) Applications for a part charter or for a long-term wet lease shall be filed at least 45 calendar days before the date of the first proposed flight.
(3) Applications specifically required under § 212.9(d) shall be filed at least 30 calendar days before the proposed flight or flights (10 calendar days for cargo charters), unless otherwise specified by the Department.
(4) Applications required by a Department order under § 212.9(e) shall be filed at least 14 calendar days before the proposed flight or flights, unless otherwise specified by the Department.
(5) Where an application is required by more than one provision of this part and/or order of the Department, only one application need be filed, but it must conform to the earliest applicable filing deadline.
(6) The Department may require service of applications as it deems necessary.
(e)(1) Any person may file a memorandum supporting or opposing an application. Three copies of each memorandum shall be filed within 7 business days after service of the application or before the date of the proposed flight or flights, whichever is earlier. Memorandums will be considered to the extent practicable; the Department may act on an application without waiting for supporting or opposing memorandums to be filed.
(2) Each memorandum shall set forth the reasons why the application should be granted or denied, accompanied by whatever data, including affidavits, the Department is requested to consider.
(3) A copy of each memorandum shall be served on the certified or foreign air carrier applying for approval.
(f)(1) Unless otherwise ordered by the Department, each application and memorandum filed in response will be available for public inspection at the Office of International Aviation immediately upon filing. Such information with respect to codeshare applications and responsive pleadings will be available for public inspection at DOT Dockets or at the DOT Dockets website. Notice of the filing of all applications shall be published in the Department's Weekly List of Applications Filed.
(2) Any person objecting to public disclosure of any information in an application or memorandum must state the grounds for the objection in writing. If the Department finds that disclosure of all or part of the information would adversely affect the objecting person, and that the public interest does not require disclosure, it will order that the injurious information be withheld.
(a) The Department will issue a statement of authorization if it finds that the proposed charter flight, part charter, or wet lease meets the requirements of this part and that it is in the public interest. Statements of authorization may be conditioned or limited.
(b) In determining the public interest the Department will consider (but not be limited to) the following factors:
(1) The extent to which the authority sought is covered by and consistent with bilateral agreements to which the United States is a party.
(2) The extent to which an applicant foreign air carrier's home country (and, in the case of a long-term wet lease, the lessee's home country) deals with U.S. air carriers on the basis of substantial reciprocity.
(3) Whether the applicant or its agent has previously violated the provisions of this part.
(4) Where the application concerns a long-term wet lease:
(i) Whether the lessor (applicant) or its agent or the lessee (charterer) or its agent has previously violated the provisions of the Department's charter regulations.
(ii) Whether, because of the nature of the arrangement and the benefits involved, the authority sought should be the subject of a bilateral agreement.
(iii) To what extent the lessor owns and/or controls the lessee, or is owned and/or controlled by the lessee.
(c) The Department will submit any denial of an authorization specifically required of a foreign air carrier under § 212.9(d) to the President of the United States at least 10 days before the proposed departure. The denial will be subject to stay or disapproval by the President within 10 days after it is submitted. A shorter period for Presidential review may be specified by the Department where the application for authorization is not timely or properly filed. Denial of a late-filed application need not be submitted to the President. For the purposes of this paragraph, an application filed by a foreign air carrier under § 212.9(d) to conduct a cargo charter will be considered as timely filed only if it is filed at least 30 calendar days before the proposed flight, notwithstanding the 10-day filing requirement for cargo charters in § 212.10(d)(3).
(d) The Department will publish notice of its actions on applications for statements of authorization in its Weekly List of Applications Filed. Interested persons may upon request obtain copies of letters of endorsed forms advising applicants of action taken on their applications.
The Department may grant a waiver of any of the provisions of this part upon a finding that such waiver is in the public interest. A certificated or foreign air carrier may request a waiver by filing a written application with the Department, citing the specific provision to be waived and providing justification for such waiver.
Know all persons by these presents, that we __________ (Name of certificated or foreign air carrier) of __________, (City) __________ (State or Country) as Principal (hereinafter called Principal), and __________ (name of Surety) a corporation created and existing under the laws of the State of ________ (State) as Surety (hereinafter called Surety) are held and firmly bound unto the United States of America in an unlimited amount, as required by 14 CFR 212.8, for which payment, well and truly to be made, we bind ourselves and our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.
Whereas the principal, a certificated air carrier holding a certificate of public convenience and necessity issued under 49 U.S.C. 41102, or a foreign air carrier holding a foreign air carrier permit issued under 49 U.S.C. 41302 or an exemption issued under 49 U.S.C. 40109 authorizing that foreign air carrier to engage in charter trips in foreign air transportation, is subject to rules and regulations of the Department of Transportation relating to security for the protection of charterers of civil aircraft and has elected to file with the Department of Transportation such a bond as will guarantee to the United States Government the performance of all charter trips (other than cargo charter trips) originating in the United States and of all Overseas Military Personnel Charters, as defined in 14 CFR part 372, to be performed, in whole or in part, by such certificated or foreign air carrier pursuant to contracts entered into by such carrier after the execution date of this bond, and
Whereas this bond is written to assure compliance by the Principal with rules and regulations of the Department of Transportation relating to security for the protection of charterer of civil aircraft for charter trips (other than cargo charters) originating in the United States or of Overseas Military Personnel Charter trips and shall inure to the benefit of any and all such charterers to whom the Principal may be held legally liable for any of the damages herein described.
Now, therefore, the condition of this obligation is such that if the Principal shall pay or cause to be paid to such charterer any sum or sums for which the Principal may be held legally liable by reason of the Principal's failure faithfully to perform, fulfill, and carry out all contracts made by the Principal while this bond is in effect for the performance of charter trips (other than cargo charter trips) originating in the United States and of Overseas Military Personnel Charter trips, then this obligation shall be void, otherwise to remain in full force and effect.
The liability of the Surety shall not be discharged by any payment or succession of payments hereunder in any specified amount. The surety agrees to furnish written notice to the Department of Transportation forthwith of all suits filed, judgments rendered, and payments made by said Surety under this bond.
This bond is effective the ___ day of ________, ____, 12:01 a.m., standard time at the address of the Principal as stated herein and shall continue in force until terminated as hereinafter provided. The Principal or the Surety may at any time terminate this bond by written notice to the Department of Transportation at its office in Washington, D.C., such termination to become effective thirty (30) days after actual receipt of said notice by the Department. The Surety shall not be liable hereunder for the payment of the damages hereinbefore described which arise as the result of any contracts for the performance of air transportation services made by the Principal after the termination of this bond becomes effective, as herein provided, but such termination shall not affect the liability of the Surety hereunder for the payment of any such damages arising as the result of contracts for the performance of air transportation services made by the Principal after the termination of this bond becomes effective. Liability of the Surety under this bond shall in all events be limited only to a charterer who shall within sixty (60) days after the cancellation of a charter trip with respect to which the charterer's advance payments are secured by this bond give written notice of claim to the certificated or foreign air carrier, or, if it is unavailable, to the Surety, and all liability on this bond for such charter trip shall automatically terminate sixty (60) days after the termination date thereof except for claims filed within the time provided herein.
In witness whereof, the said Principal and Surety have executed this instrument on the ___ day of ________, ____.
I declare under penalty of perjury under the laws of the United States of America that the foregoing is true and correct.
This part sets forth terms, conditions, and limitations applicable to foreign air carrier permits issued under section 41302 of Title 49 of the United States Code (Transportation) authorizing scheduled foreign air transportation. Unless such permits or the orders issuing such permits otherwise provide, the exercises of the privileges to engage in scheduled foreign air transportation granted by any such permit shall be subject to the terms, conditions, and limitations as are set forth in this part, and as may from time to time be prescribed by the Department.
The Department may at any time require any foreign air carrier to file with the Department traffic data disclosing the nature and extent of such carrier's engagement in transportation between points in the United States and points outside thereof. The Department will specify the traffic data required in each such instance. Interested persons seeking reconsideration of a Department determination under this section may file a petition pursuant to § 302.14 of this chapter (Rule 14 of part 302) within 10 days after Department action.
(a) In the absence of provisions to the contrary in the permit and of Department action pursuant to this section, a foreign air carrier may determine the schedules (including type of equipment used) pursuant to which it engages in transportation between points in the United States and points outside thereof.
(b) In the case of a foreign air carrier permit for scheduled air transportation which is not the subject of an air transport agreement between the United States and the government of the holder, the Department, if it finds that the public interest so requires, may with or without hearing order the foreign air carrier to file with it within 7 days after service of such order, an original and three copies of any or all of its existing schedules of service between any point in the United States and any point outside thereof, and may require such carrier thereafter to file an original and three copies of any proposed schedules of service between such points at least 30 days prior to the date of inauguration of such service. Such schedules shall contain all schedules of aircraft which are or will be operated by such carrier between each pair of points set forth in the order, the type of equipment used or to be used, the time of arrival and departure at each point, the frequency of each schedule, and the effective date of any proposed schedule.
(c) In the case of any foreign air carrier permit for scheduled air transportation which is the subject of an air transport agreement between the United States and the government of the holder, the Department may with or without hearing issue an order, similar to that provided for in paragraph (b) of this section, if it makes the findings provided for in that subsection and, in addition, finds that the government or aeronautical authorities of the government of the holder, over the objections of the U.S. Government, have: (1) Taken action which impairs, limits, terminates, or denies operating rights, or (2) otherwise denied or failed to prevent the denial of, in whole or in part, the fair and equal opportunity to exercise the operating rights, provided for in such air transport agreement, of any U.S. air carrier designated thereunder with respect to flight operations to, from, through, or over the territory of such foreign government.
(d) The carrier may continue to operate existing schedules, and may inaugurate operations under proposed schedules 30 days after the filing of such schedules with the Department, unless the Department with or without hearing issues an order, subject to stay or disapproval by the President of the United States within 10 days after adoption, notifying the carrier that such operations, or any part of them, may be contrary to applicable law or may adversely affect the public interest. If the notification pertains to a proposed schedule, service under such schedule shall not be inaugurated; if the notification pertains to existing schedules, service under such schedules shall be discontinued on the date specified in the Department's order. Such date shall be not less than ten days after adoption of the Department's order unless affirmative Presidential approval is obtained at an earlier date.
(e) No petitions for reconsideration may be filed with respect to Department orders issued pursuant to paragraph (b), (c), or (d) of this section. Nevertheless, if the Department serves a notification under paragraph (d) of this section, the carrier may make application to the Department for approval of any or all existing or proposed schedules, pursuant to the provisions of § 213.5. The Department may with or without hearing withdraw, in whole or in part, its notification at any time and may permit existing or proposed schedules to be operated for such period or periods as the Department may determine.
(f) The date of service on a foreign air carrier of orders and notifications pursuant to this section shall be the date of mailing thereof, by certified or registered mail, to the agent designated by the foreign air carrier pursuant to 49 U.S.C. 46103 or, if the foreign air carrier has failed to designate an agent, the date of mailing by registered air mail to the foreign air carrier's home office.
(a) Number of copies and certificate of service. An original and three copies of each schedule, and an original and seven (7) copies of application for approval of schedules (§ 213.3(e)) shall be filed with the Department, each setting forth the names and addresses of the persons, if any, required to be served, and stating that service has been made on all such persons by personal service or by registered or certified mail (if the addressee is located within the United States, its territories and possessions) or by registered air mail (if the addressee is located outside the United States, its territories and possessions) and the date of such service. In the case of service by mail, the date of mailing shall be considered the date of service.
(b) Pleadings by interested persons. Any interested person may file and serve upon the foreign air carrier a memorandum in opposition to, or in support of, schedules or an application for approval of schedules within 10 days of the filing opposed or supported. All memoranda shall set forth in detail the reasons for the position taken together with a statement of economic data and other matters which it is desired that the Department officially notice, and affidavits stating other facts relied upon. Memoranda shall contain a certificate of service as prescribed in paragraph (a) of this section. An executed original and seven (7) true copies shall be filed with the Department's Docket Facility. Unless otherwise provided by the Department, further pleadings will not be entertained.
(c) Determination and petitions for reconsideration. The Department may make its determination upon the application and other pleadings or, in its discretion, after hearing. Interested persons seeking reconsideration of the Department's determination on an application approval of schedules may file a petition pursuant to § 302.14 of this chapter (Rule 14 of part 302) within 10 days of Department action. Any interested person may file an answer in opposition to, or in support of, the petition within 10 days after it is filed. An executed original and 19 copies of such petition for reconsideration or memorandum shall be filed with the Docket Facility. All petitions for reconsideration shall contain a certificate of service in the form prescribed by paragraph (a) of this section. Unless ordered by the Department upon application or upon its own motion, further pleadings will not be entertained.
Any violation by the foreign air carrier of applicable provisions of Subtitle VII of Title 49 of the U.S. Code or of orders, rules or regulations issued thereunder, or of the terms, conditions or limitations applicable to the exercise of the privileges granted by the permit shall constitute a failure to comply with the terms, conditions and limitations of such permit: Provided, That upon a showing that a violation of a provision not mandatorily prescribed by law resulted from the observance by the holder of an obligation, duty or liability imposed by a foreign country, the Department may excuse the violation.
It shall be a condition upon the holding of a foreign air carrier permit or other authority authorizing direct foreign scheduled air transportation that the holder have and maintain in effect and on file with the Department a signed counterpart of Agreement 18900 (OST Form 4523), and a tariff (for those carriers otherwise generally required to file tariffs) that includes its provisions, and comply with all other requirements of part 203 of this chapter. That form can be obtained from the Foreign Air Carrier Licensing Division (X-45), Office of International Aviation, Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590.
This part establishes the terms, conditions, and limitations applicable to charter foreign air transportation pursuant to foreign air carrier permits authorizing the holder to engage in charter transportation only.
Charter air transportation under this part shall be performed in accordance with the provisions of part 212 of this chapter.
This part applies to all certificated air carriers, commuter air carriers, and foreign direct air carriers and to initial and amended applications for authority, applications for certificate or permit transfers or reissuances, and registration of business names.
This part sets rules under which direct air carriers may use the names in their operating authorizations and change those names. It further provides for notification to air carriers that may be affected by the use by other air carriers of the same or similar names. Its purpose is to place the responsibility for resolving private disputes about the use of similar names with the air carriers involved, through recourse to the trade names statutes and the courts. These rules do not preclude Department intervention or enforcement action should there be evidence of a significant potential for, or of actual, public confusion.
In holding out to the public and in performing air transportation services, a direct air carrier or foreign direct air carrier subject to this part shall use only the name in which its operating authorization is issued or trade name is registered, and shall not operate or hold out to the public in a name not acknowledged by the Department to be so registered. Minor variations in the use of this name, including abbreviations, contractions, initial letters, or other variations of the name that are identifiable with the authorized name, are permitted. Slogans and service marks shall not be considered names for the purpose of this part, and their use is not restricted.
(a) Registrations. Any air carrier subject to this part that desires to change the name in which its operating authorization has been issued, or to use a trade name, or to obtain initial operating authority must register the name with the Department. The Department will construe any application for initial, reissued, or transferred authority as containing a “registration” of the intended name. A separate name registration document need not be filed. A carrier registering use of a trade name, without seeking reissuance of its underlying certificate commuter or foreign air carrier permit or exemption authority, must file a statement that complies with §§ 302.3 and 302.4 of this chapter registering its intended name with the Air Carrier Fitness Division if it is a U.S. certificated or commuter carrier, or within the Foreign Air Carrier Licensing Divisionif it is a foreign air carrier.
(b) Montreal Agreement. Each registration under this section shall be accompanied by three copies of a counterpart to the Montreal Agreement (Agreement 18900) (OST Form 4523) signed by the carrier using the proposed name. Upon arrival of the application, the Department will place a copy of the signed OST form 4523 in Docket DOT-OST-1995-236.
The Department will compare the proposed name in any registration filed under this part or in an application for new, reissued, or transferred authority with a list of names used by existing certificated, commuter and foreign direct air carriers. The Department will notify the applicant of any other certificated, foreign or commuter carriers that may have an identical or similar name. The registrant must then notify those carriers of its registration. The notification will identify the applicant and state its proposed name or the name requested, area of operation or proposed area of operation, type of business, and other pertinent matters. The registrant must then file a certificate of service of the notification with the Department.
After completion of the filing and notification requirements of this part, the Department may acknowledge the registration by notice in the action granting the application for initial operating authority, transfer, or reissuance or by separate notice in the case of use of a trade name. Non-action under this provision shall not be construed as an adjudication of any rights or liabilities.
(a) As used in this part, unless the context otherwise requires:
Blind sector traffic means revenue traffic, carried by a foreign air carrier on a flight operating in air transportation, which is enplaned at one foreign point and deplaned at another foreign point, where at least one of such points is not named as a terminal or intermediate point in the carrier's applicable foreign air carrier permit.
This definition shall not be deemed to include the carriage of authorized beyond homeland traffic (i.e., traffic carried between a point named in a carrier's foreign air carrier permit and a point beyond a homeland terminal point authorized under such permit).
Revenue traffic means persons, property or mail carried for compensation or hire.
(b) Terms defined in 49 U.S.C. 40102 have the meaning expressed in such definitions.
This part sets forth the requirements applicable to foreign air carriers for obtaining a Special Authorization from the Department with respect to any deviation from an authorized foreign air transportation route for the purpose of commingling blind sector traffic with air transportation traffic carried pursuant to a foreign air carrier permit issued by the Department. The deviation by a foreign air carrier from its authorized route for the purpose of combined carriage to or from the United States of nonrevenue or other traffic, the carriage of which does not constitute engaging in foreign air transportation, is governed by the provisions of part 375 of this chapter.
No foreign air carrier shall carry any blind sector traffic, as defined in this part, on any flight operating in air transportation pursuant to the authority of a foreign air carrier permit issued under 49 U.S.C. 41301, unless the combined carriage of such traffic has been specifically authorized by such permit, or by a Special Authorization issued under § 216.4.
(a) Applications. Any foreign air carrier may apply to the Department for a Special Authorization, as required by this part, for the carriage of blind sector traffic on a particular flight, series of flights, or for a specified or indefinite period of time between specified points. Applications shall be submitted directly to the Department, addressed to the attention of the Director, Office of International Aviation. One original and two copies in conformity with the requirements of §§ 302.3(b) and 302.4 (a) and (b) of this chapter shall be filed. The applications shall contain a proper identification of the applicant; the flight or flights upon which it is proposed to carry such blind sector traffic, including routing, nontraffic stops, and dates or duration of the authority sought; a full description of such traffic, and points between which such traffic will be carried; information or documentation as to whether the country of which the applicant is a national grants reciprocal privileges to U.S. carriers; and the reasons for requesting such authorization together with such additional information as will establish that the grant of such authority will otherwise be in the public interest. Such additional information as may be specifically requested by the Department shall also be furnished.
(b) Service. Applications shall be served upon each direct U.S. air carrier certificated to engage in individually ticketed or waybilled foreign air transportation over any portion of the route to which the application pertains, and on such other persons as the Department may require, and proof of such service shall accompany the application as provided in § 302.7 of this chapter. Notice of such applications shall also be published in the Department's Weekly List of Applications Filed.
(c) Memoranda in support or opposition. Any interested person may file a memorandum in support of or in opposition to the grant of an application. Such memorandum shall set forth in detail the reasons why it is believed that the application should be granted or denied and shall be accompanied by such data, including affidavits, which it is desired that the Department consider. Copies of the memorandum shall be served upon the applicant. Nothing in this subparagraph shall be deemed to preclude the Department from granting or denying an application when the circumstances so warrant without awaiting the filing of memoranda in support of or in opposition to the application.
(d) Time for filing. (1) Applications seeking authority to engage in blind sector operations for a period of 3 months or longer, shall be submitted at least 60 days in advance of the proposed commencement of such operations. Memoranda in response to such an application shall be submitted within 15 days after the date of filing thereof.
(2) Applications seeking authority to engage in blind sector operations for a period less than three months shall be filed at least 20 days in advance of the proposed commencement of such operations, and memoranda in response thereto within 7 days after the date of filing thereof: Provided, That the Department may consider late filed applications upon a showing of good cause for failure to adhere to this requirement.
(e) General procedural requirements. Except as otherwise provided herein, the provisions of part 302, subpart A, of this chapter shall apply to the extent applicable.
(f) Issuance of Special Authorization. A Special Authorization authorizing the carriage of blind sector traffic will be issued only if the Department finds that the proposed carriage is fully consistent with applicable law and this part, and that grant of such authority would be in the public interest. The application may be granted or denied in whole or in part without hearing, and a Special Authorization made subject to any conditions or limitations, to the extent that such action is deemed by the Department to be in the public interest. Special Authorizations are not transferable.
(g) Nature of the privilege conferred. A Special Authorization issued pursuant to this section shall constitute a privilege conferred upon a carrier, which may be enjoyed only to the extent that its continued exercise remains in the interest of the public. Accordingly, any Special Authorization issued pursuant to this section may be revoked, suspended, amended or restricted without hearing.
“Foreign aircraft permits” issued by the Department under the provisions of part 375 of this chapter (the Department's Special Regulations), authorizing the combined carriage of blind sector traffic as defined in this part, shall continue in effect in accordance with their terms until their expiration date unless sooner terminated, revoked or modified by the Department. Such permits shall, upon the effective date of this part, be deemed to constitute a Special Authorization issued pursuant to § 216.4.
Notwithstanding the provisions of § 216.3, if within 30 days after the effective date of this part a carrier files an application for a Special Authorization to continue to perform existing blind sector operations which have been regularly performed by such carrier commencing on a date prior to August 9, 1967, such carrier may continue to engage in such blind sector operations until final decision by the Department on such application: Provided, That any such application shall, in addition to the requirements of § 216.4(a), contain a statement that the carrier is relying upon this section for continuance of preexisting blind sector operations, and shall fully describe such operations including the date inaugurated, and the frequency and continuity of performance.
As used in this part:
Foreign Air Carrier means a non-U.S. air carrier holding a foreign air carrier permit or exemption authority from the Department of Transportation.
Nonrevenue passenger means: a person traveling free or under token charges, except those expressly named in the definition of revenue passenger; a person traveling at a fare or discount available only to employees or authorized persons of air carriers or their agents or only for travel on the business of the carriers; and an infant who does not occupy a seat. (This definition is for 14 CFR part 217 traffic reporting purposes and may differ from the definitions used in other parts by the Federal Aviation Administration and the Transportation Security Administration for the collection of Passenger Facility Charges and Security Fees.)
The definition includes, but is not limited to the following examples of passengers when traveling free or pursuant to token charges:
(1) Directors, officers, employees, and others authorized by the air carrier operating the aircraft;
(2) Directors, officers, employees, and others authorized by the air carrier or another carrier traveling pursuant to a pass interchange agreement;
(3) Travel agents being transported for the purpose of familiarizing themselves with the carrier's services;
(4) Witnesses and attorneys attending any legal investigation in which such carrier is involved;
(5) Persons injured in aircraft accidents, and physicians, nurses, and others attending such persons;
(6) Any persons transported with the object of providing relief in cases of general epidemic, natural disaster, or other catastrophe;
(7) Any law enforcement official, including any person who has the duty of guarding government officials who are traveling on official business or traveling to or from such duty;
(8) Guests of an air carrier on an inaugural flight or delivery flights of newly-acquired or renovated aircraft;
(9) Security guards who have been assigned the duty to guard such aircraft against unlawful seizure, sabotage, or other unlawful interference;
(10) Safety inspectors of the National Transportation Safety Board or the FAA in their official duties or traveling to or from such duty;
(11) Postal employees on duty in charge of the mails or traveling to or from such duty;
(12) Technical representatives of companies that have been engaged in the manufacture, development or testing of a particular type of aircraft or aircraft equipment, when the transportation is provided for the purpose of in-flight observation and subject to applicable FAA regulations;
(13) Persons engaged in promoting air transportation;
(14) Air marshals and other Transportation Security officials acting in their official capacities and while traveling to and from their official duties; and
(15) Other authorized persons, when such transportation is undertaken for promotional purpose.
Reporting carrier for T-100(f) purposes means the air carrier in operational control of the flight, i.e., the carrier that uses its flight crews under its own operating authority.
Revenue passenger means: a passenger for whose transportation an air carrier receives commercial remuneration. (This definition is for 14 CFR part 217 traffic reporting purposes and may differ from the definitions used in other parts by the Federal Aviation Administration and the Transportation Security Administration for the collection of Passenger Facility Charges and Security Fees.) This includes, but is not limited to, the following examples:
(1) Passengers traveling under publicly available tickets including promotional offers (for example two-for-one) or loyalty programs (for example, redemption of frequent flyer points);
(2) Passengers traveling on vouchers or tickets issued as compensation for denied boarding or in response to consumer complaints or claims;
(3) Passengers traveling at corporate discounts;
(4) Passengers traveling on preferential fares (Government, seamen, military, youth, student, etc.);
(5) Passengers traveling on barter tickets; and
(6) Infants traveling on confirmed-space tickets.
Statement of Authorization under this part means a statement of authorization from the Department, pursuant to 14 CFR part 207, 208, or 212, as appropriate, that permits joint service transportation, such as blocked space agreements, part-charters, code-sharing or wet-leases, between two direct air carriers holding underlying economic authority from the Department.
Wet-Lease Agreement means an agreement under which one carrier leases an aircraft with flight crew to another air carrier.
This part applies to foreign air carriers that are authorized by the Department to provide civilian passenger and/or cargo service to or from the United States, whether performed pursuant to a permit or exemption authority.
(a) Each foreign air carrier shall file BTS Form 41 Schedule T-100(f) “Foreign Air Carrier Traffic Data by Nonstop Segment and On-flight Market.” All traffic statistics shall be compiled in terms of each flight stage as actually performed.
(b) The traffic statistics reported on Schedule T-100(f) shall be accumulated in accordance with the data elements prescribed in § 217.5 of this part, and these data elements are patterned after those in section 19-5 of part 241 of this chapter.
(c) One set of Form 41 Schedule T-100(f) data shall be filed.
(d) Schedule T-100(f) shall be submitted to the Department within thirty (30) days following the end of each reporting month.
(e) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(a) The statistical classifications are designed to reflect the operating elements attributable to each distinctive class of service offered for scheduled, nonscheduled and charter service.
(b) The service classes that foreign air carriers shall report on Schedule T-100(f) are:
(1) F Scheduled Passenger/Cargo
(2) G Scheduled All-Cargo
(3) L Nonscheduled Civilian Passenger/Cargo Charter
(4) P Nonscheduled Civilian All-Cargo Charter
(5) Q Nonscheduled Services (Other than Charter). This service class is reserved for special nonscheduled cargo flights provided by a few foreign air carriers under special authority granted by the Department.
(a) Within each of the service classifications prescribed in § 217.4, data shall be reported in applicable traffic elements.
(b) The statistical data to be reported on Schedule T-100(f) are:
(1) Air carrier. The name and code of the air carrier reporting the data. The carrier code is assigned by DOT. The Office of Airline Information (OAI'S) will confirm the assigned code upon request; OAI's address is in appendix A of this part.
(2) Reporting period date. The year and month to which the reported data are applicable.
(3) Origin airport code. This code represents the industry designator as described in appendix A of this part. A common private industry source of these industry designator codes is the Official Airline Guides (OAG). Where none exists, OAI will furnish a code upon request. OAI's address is in appendix A of this part.
(4) Destination airport code. This represents the industry designator, from the source described in § 217.5(b)(3).
(5) Service class code. For scheduled and other services, the applicable service class prescribed in § 217.4 of this part shall be reported.
(6) Aircraft type code. This code represents the aircraft type, as specified in appendix A of this part. Where none exists, OAI will furnish a code upon request.
(7) Revenue aircraft departures performed (Code 510). The number of revenue aircraft departures performed.
(8) Revenue passengers transported (Code 130). The total number of revenue passengers on board over a flight stage, including those already on the aircraft from previous flight stages. Includes both local and through passengers on board the aircraft.
(9) Revenue freight transported (kilograms) (Code 237). The volume, expressed in kilograms, of revenue freight that is transported. As used in this part, “Freight” means revenue cargo other than passengers or mail.
(10) Total revenue passengers in market (Code 110). The total number of revenue passengers enplaned in a market, boarding the aircraft for the first time. While passengers may be transported over several flight stages in a multi-segment market, this data element (code 110) is an unduplicated count of passengers originating within the market.
(11) Total revenue freight in market (kilograms) (Code 217). The amount of revenue freight cargo (kilograms) that is enplaned in a market, loaded on the aircraft for the first time.
(12) Available capacity-payload (Code 270). The available capacity is collected in kilograms. This figure shall reflect the available load (see load, available in 14 CFR part 241 Section 03) or total available capacity for passengers, mail and freight applicable to the aircraft with which each flight stage is performed.
(13) Available seats (Code 310). The number of seats available for sale. This figure reflects the actual number of seats available, excluding those blocked for safety or operational reasons. Report the total available seats in item 310.
(a) If circumstances prevent the filing of a Schedule T-100(f) report on or before the due date prescribed in section 22 of part 241 of this chapter and appendix A of this part, a request for an extension must be filed with the Director, Office of Airline Information.
(b) The extension request must be received at the address provided in § 217.10 at least 3 days in advance of the due date, and must set forth reasons to justify granting an extension, and the date when the report can be filed. If a request is denied, the air carrier must submit the required report within 5 days of its receipt of the denial of extension.
The certification for BTS Form 41 Schedule T-100(f) shall be signed by an officer of the air carrier with the requisite authority over the collection of data and preparation of reports to ensure the validity and accuracy of the reported data.
Reporting guidelines and procedures for Schedule T-100(f) are prescribed in appendix A of this part.
(a) A waiver from any reporting requirement contained in Schedule T-100(f) may be granted by the Department upon its own initiative, or upon the submission of a written request of the air carrier to the Director, Office of Airline Information, when such a waiver is in the public interest.
(b) Each request for waiver must demonstrate that: Existing peculiarities or unusual circumstances warrant a departure from the prescribed procedure or technique; a specifically defined alternative procedure or technique will result in substantially equivalent or more accurate portrayal of the operations reported; and the application of such alternative procedure will not adversely affect the uniformity in reporting applicable to all air carriers.
(a) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(b) The detailed instructions for preparing Schedule T-100(f) are contained in appendix A to this part.
(a) Failure to file reports required by this part will subject an air carrier to civil penalties prescribed in Title 49 United States Code section 46301.
(b) Title 18 U.S.C. 1001, Crimes and Criminal Procedure, makes it a criminal offense to knowingly and willfully make, or cause to be made, any false or fraudulent statements or representations in any matter within the jurisdiction of any agency of the United States.
(a) General instructions.
(1) Description. Form 41 Schedule T-100(f) provides flight stage data covering both passenger/cargo and all cargo operations in scheduled and nonscheduled services. The schedule is used to report all flights which serve points in the United States or its territories as defined in this part.
(2) Applicability. Each foreign air carrier holding a section 41302 permit or exemption authority shall file Schedule T-100(f).
(3) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(4) Filing period. Form 41 Schedule T-100(f) shall be filed monthly and is due at the Department thirty (30) days following the end of the reporting month to which the data are applicable.
(b) Preparation of Form 41 Schedule T-100(f):
(1) Explanation of nonstop segments and on-flight markets. There are two basic categories of data, one pertaining to nonstop segments and the other pertaining to on-flight markets. For example, the routing (A-B-C-D) consists of three nonstop segment records A-B, B-C, and C-D, and six on-flight market records A-B, A-C, A-D, B-C, B-D, and C-D.
(2) Guidelines for reporting a nonstop segment. A nonstop segment is reported when one or both points are in the United States or its territories. These data shall be merged with that for all of the other reportable nonstop operations over the same segment. Nonstop segment data must be summarized by aircraft type, under paragraph (h)(1) of this appendix, and class of service, paragraph (g)(1)(v) of this appendix.
(3) Rules for determining a reportable on-flight market. On-flight markets are reportable when one or both points are within the U.S., with the following exceptions: (i) Do not report third country to U.S. markets resulting from flight itineraries which serve a third country prior to a homeland point in flights passing through the homeland bound for the U.S.; and (ii) do not report U.S. to third country markets resulting from itineraries serving third country points subsequent to a homeland point in flights outbound from the U.S. and passing through the homeland. In reporting data pertaining to these two exceptions, the traffic moving to or from the U.S. relating to the applicable prior or subsequent third countries (referred to as “behind” or “beyond” traffic) is to be combined with the applicable foreign homeland gateway point, just as though the traffic were actually enplaned or deplaned at the homeland gateway, without disclosure of the actual prior or subsequent points. Applicable flights are illustrated in examples (6) and (7) under paragraph (c) of this appendix.
(c) Examples of flights. Following are some typical flight itineraries that show the reportable nonstop segment and on-flight market entries. The carrier's homeland is the key factor in determining which on-flight markets are reportable.
(1) SQ flight # 11 LAX—NRT—SIN. This is an example of a flight with an intermediate foreign country. It is not necessary to report anything on the NRT—SIN leg.
| A-3—Airport code | A-4—Airport code | A-5—Service class
(mark an X) | By aircraft type— | Sum of all aircraft types— | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Origin | Destination | F | G | L | P | Q | B-1—Aircraft type code | B-2—
Revenue aircraft departures | B-3—
Revenue passengers transported | B-4—
Revenue freight transported (kg) | C-1—Total revenue
passengers in market | C-2—Total revenue freight in market (kg) |
| LAX | NRT | X | 8161 | 12 | 2400 | 4800 | 400 | 500 | ||||
| LAX | SIN | X | 2000 | 4300 | ||||||||
(2) SQ flight #15 LAX—HNL—TPE—SIN. This is an example of two U.S. points, an intermediate third country, and a homeland point. Information is reportable on only the on-flight markets and nonstop segments that consist of one or both U.S. points.
| A-3—Airport code | A-4—Airport code | A-5—Service class
(mark an X) | By aircraft type— | Sum of all aircraft types— | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Origin | Destination | F | G | L | P | Q | B-1—Aircraft type code | B-2—
Revenue aircraft departures | B-3—
Revenue passengers transported | B-4—
Revenue freight transported (kg) | C-1—Total revenue
passengers in market | C-2—Total revenue freight in market (kg) |
| LAX | HNL | X | 8161 | 12 | 2700 | 5300 | 0 | 0 | ||||
| LAX | TPE | X | 700 | 1300 | ||||||||
| LAX | SIN | X | 2000 | 4000 | ||||||||
| HNL | TPE | X | 8161 | 12 | 2200 | 6800 | 1200 | 800 | ||||
| HNL | SIN | X | 1000 | 6000 | ||||||||
(3) LB flight # 902 LPB-VVI-MAO-CCS-MIA. This flight serves two homeland points and two different foreign countries before terminating in the U.S. Nonstop segment information is required only for the nonstop segment involving a U.S. point. On-flight market information is required in 4 of the 10 markets, LPB-MIA and VVI-MIA, since these involve homeland and U.S. points; MAO-MIA is necessary to show traffic carried into the U.S., and CCS-MIA for the same reason, and also because in all cases where a nonstop segment entry is required, a corresponding on-flight market entry must also be reported.
| A-3—Airport code | A-4—Airport code | A-5—Service class
(mark an X) | By aircraft type— | Sum of all aircraft types— | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Origin | Destination | F | G | L | P | Q | B-1—Aircraft type code | B-2—
Revenue aircraft departures | B-3—
Revenue passengers transported | B-4—
Revenue freight transported (kg) | C-1—Total revenue
passengers in market | C-2—Total revenue freight in market (kg) |
| CCS | MIA | X | 8161 | 31 | 6900 | 71000 | 0 | 0 | ||||
| LPB | MIA | X | 1100 | 20000 | ||||||||
| VVI | MIA | X | 4000 | 30000 | ||||||||
| MAO | MIA | X | 1000 | 12000 | ||||||||
(4) LY flight #005 TLV-AMS-ORD-LAX. This flight serves a single foreign intermediate point and two U.S. points after its homeland origination. The information on the TLV-AMS leg is not reportable.
| A-3—Airport code | A-4—Airport code | A-5—Service class
(mark an X) | By aircraft type— | Sum of all aircraft types— | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Origin | Destination | F | G | L | P | Q | B-1—Aircraft type code | B-2—
Revenue aircraft departures | B-3—
Revenue passengers transported | B-4—
Revenue freight transported (kg) | C-1—Total revenue
passengers in market | C-2—Total revenue freight in market (kg) |
| AMS | ORD | X | 8161 | 1 | 350 | 10000 | 50 | 1500 | ||||
| TLV | ORD | X | 150 | 4000 | ||||||||
| TLV | LAX | X | 125 | 3000 | ||||||||
| ORD | LAX | X | 8161 | 1 | 150 | 4500 | 0 | 0 | ||||
| AMS | LAX | X | 25 | 1500 | ||||||||
(5) QF flight #25 SYD—BNE—CNS—HNL—YVR. This flight serves three homeland points, a U.S. point, and a subsequent third country. Nonstop segment information is required on the respective legs into and out of the United States. All on-flight market entries involving the U.S. point HNL are also required. Data are not required on the homeland to homeland markets, or the homeland—third country markets.
| A-3—Airport code | A-4—Airport code | A-5—Service class
(mark an X) | By aircraft type— | Sum of all aircraft types— | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Origin | Destination | F | G | L | P | Q | B-1—Aircraft type code | B-2—
Revenue aircraft departures | B-3—
Revenue passengers transported | B-4—
Revenue freight transported (kg) | C-1—Total revenue
passengers in market | C-2—Total revenue freight in market (kg) |
| CNS | HNL | X | 8161 | 5 | 2200 | 41000 | 400 | 8000 | ||||
| SYD | HNL | X | 600 | 10000 | ||||||||
| BNE | HNL | X | 600 | 9000 | ||||||||
| HNL | YVR | X | 8161 | 5 | 750 | 15700 | 150 | 1700 | ||||
(6) JL flight #002 HKG—NRT—SFO. This flight originates in a third country prior to the homeland. No data is required on the HKG-NRT leg, but the HKG-SFO passengers and cargo shall be shown as enplanements in the NRT-SFO on-flight market entry. These volumes are included by definition in the passenger and cargo transported volumes of the NRT-SFO nonstop segment entry.
| A-3—Airport code | A-4—Airport code | A-5—Service class
(mark an X) | By aircraft type— | Sum of all aircraft types— | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Origin | Destination | F | G | L | P | Q | B-1—Aircraft type code | B-2—
Revenue aircraft departures | B-3—
Revenue passengers transported | B-4—
Revenue freight transported (kg) | C-1—Total revenue
passengers in market | C-2—Total revenue freight in market (kg) |
| NRT | SFO | X | 8161 | 3 | 1200 | 18000 | 1200 | 18000 | ||||
(7) JL flight #001 SFO-NRT-HKG. This flight is the reverse sequence of flight #002 above; it requires a nonstop segment entry covering SFO-NRT, and a single on-flight market entry also for SFO-NRT. In this case, the on flight traffic enplaned at SFO and destined for HKG, a beyond homeland point, shall be included in the SFO-NRT entry; a separate SFO-HKG entry is not required.
| A-3—Airport code | A-4—Airport code | A-5—Service class
(mark an X) | By aircraft type— | Sum of all aircraft types— | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Origin | Destination | F | G | L | P | Q | B-1—Aircraft type code | B-2—
Revenue aircraft departures | B-3—
Revenue passengers transported | B-4—
Revenue freight transported (kg) | C-1—Total revenue
passengers in market | C-2—Total revenue freight in market (kg) |
| SFO | NRT | X | 8161 | 1 | 400 | 20000 | 400 | 20000 | ||||
(8) BA flight #5 LHR-ANC-NRT-OSA. This example contains a single homeland point and a single U.S. point followed by two third country points. It is necessary to report the nonstop segments into and out of the U.S., and all three of the on-flight markets which have the U.S. point ANC as either an origin or destination.
| A-3—Airport code | A-4—Airport code | A-5—Service class
(mark an X) | By aircraft type— | Sum of all aircraft types— | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Origin | Destination | F | G | L | P | Q | B-1—Aircraft type code | B-2—
Revenue aircraft departures | B-3—
Revenue passengers transported | B-4—
Revenue freight transported (kg) | C-1—Total revenue
passengers in market | C-2—Total revenue freight in market (kg) |
| LHR | ANC | X | 8161 | 10 | 3000 | 50000 | 100 | 1000 | ||||
| ANC | NRT | X | 8161 | 10 | 3150 | 55000 | 100 | 2500 | ||||
| ANC | OSA | X | 150 | 1500 | ||||||||
(d) Provisions to reduce paperwork:
(1) Nonstop Segment Entries. The flight stage data applicable to nonstop segment entries must be summarized to create totals by aircraft equipment type, within service class, within pairs-of-points.
(2) On-flight Market Entries. The applicable on-flight market entries shall be summarized to create totals by service class within pair-of-points.
(e) Preparation of Schedule T-100 (f):
(1) Section A—Indicative and flight pattern information. A copy of Schedule T-100(f) is shown at the end of this appendix. Section A defines the origin and destination points and the service class code to which the nonstop segment data in Section B and the on-flight market data in Section C are applicable. Section A information, along with the carrier code and report date, must be included on each schedule.
(2) Section B—Nonstop segment information. Section B of the schedule is used for reporting nonstop segment information by aircraft type. To reduce the number of schedules reported, space is provided for including data on multiple different aircraft types. Similarly, the on-flight market section has been included on a single Schedule T-100(f), along with the nonstop segment data, rather than on a separate schedule.
(3) Section C—On-flight market information. Section C of the schedule is used for reporting on-flight market data. There will always be an on-flight market that corresponds to the nonstop segment. Because the on-flight market data are reported at the service class level rather than by aircraft type, a specific flight may produce more on-flight markets than nonstop segments, (see examples in paragraph (c) of this appendix), resulting in data reported in sections A and C only.
(f) [Reserved]
(g) Data element definitions:
(1) Service pattern information.
(i) Line A-1 Carrier code. Use the carrier code established by the Department. This code is provided to each carrier in the initial reporting letter from the Office of Airline Information (OAI). If there are any questions about these codes, contact the OAI Data Administration Division at the address in paragraph (a)(3) of this appendix.
(ii) Line A-2 Report date. This is the year and month to which the data are applicable. For example, 200009 indicates the year 2000, and the month of September.
(iii) Line A-3 Origin airport code. This is the departure airport, where an aircraft begins a flight segment, and where the passengers originate in an on-flight market. Use the 3-letter code from the City/Airport Codes section of the Official Airline Guide Worldwide Edition. If no 3-letter code is available, OAI will assign one; the address is in paragraph (a)(3) of this appendix.
(iv) Line A-4 Destination airport code. This is the arrival airport, where an aircraft stops on a flight segment, and where passengers deplane (get off the flight) after reaching their destination in a market. Use the 3-letter code from the source described in paragraph (g)(1)(iii) of this appendix.
(v) Line A-5 Service class code. Select one of the following single letter codes which describes the type of service being reported on a given flight operation.
(2) Nonstop segment information:
(i) Line B-1 Aircraft type code. Use the four digit numeric code prescribed in paragraph (h)(1) of this appendix. If no aircraft type code is available, OAI will assign one. The address is in paragraph (a)(3) of this appendix.
(ii) Line B-2 Aircraft departures performed. This is the total number of physical departures performed with a given aircraft type, within service class and pair-of-points.
(iii) Line B-3 Revenue passengers transported. This is the total number of revenue passengers transported on a given nonstop segment. It represents the total number of revenue passengers on board over the segment without regard to their actual point of enplanement.
(iv) Line B-4 Revenue freight transported. This item is the total weight in kilograms (kg) of the revenue freight transported on a given nonstop segment without regard to its actual point of enplanement.
(3) On-flight market information:
(i) Line C-1 Total revenue passengers in market. This item represents the total number of revenue passengers, within service class, that were enplaned at the origin airport and deplaned at the destination airport.
(ii) Line C-2 Total revenue freight in market. This item represents the total weight in kilograms (kg) of revenue freight enplaned at the origin and deplaned at the destination airport.
(i) Joint Service.
(1) The Department may authorize joint service operations between two direct air carriers. Examples of these joint service operations are:
Blocked-space agreements;
Part-charter agreements;
Code-sharing agreements;
Wet-lease agreements, and similar arrangements.
(2) Joint-service operations shall be reported on BTS Form 41 Schedules T-100 and T-100(f) by the air carrier in operational control of the flight, i.e., the air carrier that uses its flight crew to perform the operation. If there are questions about reporting a joint-service operation, contact the BTS Assistant Director—Airline Information at the address in paragraph (a)(3) of this appendix.
(j) [Reserved]
For the purpose of this part the term lease shall mean an agreement under which an aircraft is furnished by one party to the agreement to the other party, irrespective of whether the agreement constitutes a true lease, charter arrangement, or some other arrangement.
This part applies to foreign air carriers and other persons not citizens of the United States which, as lessors or lessees, enter into agreements providing for the lease of aircraft with crew to a foreign air carrier for use in foreign air transportation. For purposes of 49 U.S.C. 41301, the person who has operational control and safety responsibility is deemed to be the carrier, and is required to have appropriate operating authority.
(a) No foreign air carrier, or other person not a citizen of the United States, shall lease an aircraft with crew to a foreign air carrier for use by the latter in performing foreign air transportation unless either:
(1) The lessor holds a foreign air carrier permit issued under 49 U.S.C. 41301 or an approved registration issued under part 294 of this chapter, and any statement of authorization required by part 212 of this chapter; or
(2) The Department has issued an exemption under 49 U.S.C. 40109 specifically authorizing the lessor to engage in the foreign air transportation to be performed under the lease; or
(3) The Department has issued an order under § 218.6 disclaiming jurisdiction over the matter.
(b) For purposes of this part, an aircraft shall be considered to be leased with crew if:
(1) The pilot in command or a majority of the crew of the aircraft, other than cabin attendants:
(i) Is to be furnished by the lessor;
(ii) Is employed by the lessor;
(iii) Continues in the employ of the lessor in the operation of services other than those provided for in the agreement between the parties; or
(iv) Has been employed by the lessor prior to the lease, and the employment of whom by the lessee is coextensive with the period or periods for which the aircraft is available to the lessee under the lease; or
(2) The aircraft is operated under operations specifications issued to the lessor by the Federal Aviation Administration.
In any case where a foreign air carrier leases from another foreign air carrier or other person not a citizen of the United States an aircraft with crew for use in performing foreign air transportation, it shall be a condition upon the authority of the lessee to perform such foreign air transportation that compliance be achieved with the requirements of this part.
The parties to a lease with crew as described in § 218.3(b) may apply to the Department for an order disclaiming jurisdiction over the matter. The application shall be filed jointly by both parties to the lease, and shall generally conform to the procedural requirements of part 302, subpart A, of this chapter. It shall be served upon any air carrier providing services over all or any part of the route upon which air transportation services will be provided pursuant to the agreement. The application should set forth in detail all evidence and other factors relied upon to demonstrate that true operational control and safety responsibility for the air transportation services to be provided are in the hands of the lessee rather than the lessor. A copy of the agreement and all amendments thereof, as well as a summary interpretation of its pertinent provisions, shall be included with the applications. Any interested person may file an answer to the application within 7 days after service hereof. Until the Department has acted upon the application, no operations in foreign transportation shall be performed pursuant to the agreement.
If the Department finds that true operational control and safety responsibility will be vested in the lessee and not in the lessor (i.e., that the lease transaction is in substance a true lease of aircraft rather than a charter or series of charters), and that the performance of the operations provided for in such lease will not result in the lessor's being engaged in foreign air transportation, it will issue an order disclaiming jurisdiction over the matter. Otherwise the application for disclaimer of jurisdiction will be denied.
Whether under a particular lease agreement the lessor of the aircraft is engaged in foreign air transportation is a question of fact to be determined in the light of all the facts and circumstances. However, in circumstances where the lessor furnishes both the aircraft and the crew, there is a presumption that true operational control and safety responsibility are exercised by the lessor, and that the agreement constitutes a charter arrangement under which the lessor is engaged in foreign air transportation. The burden shall rest upon the applicants for disclaimer of jurisdiction in each instance to demonstrate by an appropriate factual showing that the operation contemplated will not constitute foreign air transportation by the lessor.
All tariffs and amendments to tariffs of air carriers and foreign air carriers filed with the Department pursuant to chapter 415 of 49 U.S.C. Subtitle VII shall be constructed, published, filed, posted and kept open for public inspection in accordance with the regulations in this part and orders of the Department.
(a) Must file tariffs. (1) Except as provided in paragraph (d) of this section, every air carrier and every foreign air carrier shall file with the Department, and provide and keep open to public inspection, tariffs showing all fares, and charges for foreign air transportation between points served by it, and between points served by it and points served by any other air carrier or foreign air carrier, when through service and through rates shall have been established, and showing to the extent required by regulations and orders of the Department, all classifications, rules, regulations, practices, and services in connection with such foreign air transportation.
(2) Tariffs shall be filed, and provided in such form and manner, and shall contain such information as the Department shall by regulation or order prescribe. Any tariff so filed which is not consistent with chapter 415 of 49 U.S.C. Subtitle VII and such regulations and orders may be rejected. Any tariff so rejected shall be void, and may not be used.
(b) Must observe tariffs. No air carrier or foreign air carrier shall charge or demand or collect or receive a greater or less or different compensation for foreign air transportation or for any service in connection therewith, than the fares and charges specified in its currently effective tariffs; and no air carrier or foreign air carrier shall, in any manner or by any device, directly or indirectly, or through any agent or broker, or otherwise, refund or remit any portion of the fares, or charges so specified, or extend to any person any privileges or facilities, with respect to matters required by the Department to be specified in such tariffs, except those specified in such tariffs.
(c) No relief from violations. Nothing contained in this part shall be construed as relieving any air carrier or foreign air carrier from liability for violations of 49 U.S.C. Subtitle VII, nor shall the filing of a tariff, or amendment thereto, relieve any air carrier or foreign air carrier from such violations or from violations of regulations issued under the statute.
(d) Exemption authority. Air carriers and foreign air carriers, both direct and indirect, are exempted from the requirement of section 41504 of 49 U.S.C. Subtitle VII and any requirement of this chapter to file, and shall not file with the Department, tariffs for operations under the following provisions:
(1) Part 291, Domestic Cargo Transportation;
(2) Part 296, Indirect Air Transportation of Property;
(3) Part 297, Foreign Air Freight Forwarders and Foreign Cooperative Shippers Association;
(4) Part 298, Exemption for Air Taxi Operations, except to the extent noted in § 298.11(b);
(5) Part 380, Public Charters;
(6) Part 207, Charter Trips and Special Services;
(7) Part 208, Terms, Conditions, and Limitations of Certificates to Engage in Charter Air Transportation;
(8) Part 212, Charter Trips by Foreign Air Carriers;
(9) Part 292, International Cargo Transportation, except as provided in part 292.
(10) Part 293 International Passenger Transportation, except as provided in part 293.
As used in this part, terms shall be defined as follows:
Add-on means an amount published for use only in combination with other fares for the construction of through fares. It is also referred to as “proportional fare” and “arbitrary fare”.
Add-on tariff means a tariff which contains add-on fares.
Area No. 1 means all of the North and South American Continents and the islands adjacent thereto; Greenland; Bermuda; the West Indies and the islands of the Caribbean Sea; and the Hawaiian Islands (including Midway and Palmyra).
Area No. 2 means all of Europe (including that part of the former Union of the Soviet Socialist Republics in Europe) and the islands adjacent thereto; Iceland; the Azores; all of Africa and the islands adjacent thereto; Ascension Island; and that part of Asia lying west of and including Iran.
Area No. 3 means all of Asia and the islands adjacent thereto except that portion included in Area No. 2; all of the East Indies, Australia, New Zealand, and the islands adjacent thereto; and the islands of the Pacific Ocean except those included in Area No. 1.
Bundled normal economy fare means the lowest one-way fare available for unrestricted, on-demand service in any city-pair market.
CRT means a video display terminal that uses a cathode ray tube as the image medium.
Capacity controlled fare means a fare for which a carrier limits the number of seats available for sale.
Carrier means an air carrier or foreign air carrier subject to section 41504 of 49 U.S.C. subtitle VII.
Charge means the amount charged for baggage, in excess of the free allowance, accompanying or checked by a passenger or for any other service ancillary to the passenger's carriage.
Conditions of carriage means those rules of general applicability that define the rights and obligations of the carrier(s) and any other party to the contract of carriage with respect to the transportation services provided.
Contract of carriage means those fares, rules, and other provisions applicable to the foreign air transportation of passengers or their baggage, as defined in the statute.
Direct-service market means an international market where the carrier provides service either on a nonstop or single-flight-number basis, including change-of-gauge.
Electronic tariff means an international passenger fares or rules tariff or a special tariff permission application transmitted to the Department by means of an electronic medium, and containing fares for the transportation of persons and their baggage, and including such associated data as arbitraries, footnotes, routings, and fare class explanations.
Fare means the amount per passenger or group of persons stated in the applicable tariff for the air transportation thereof and includes baggage unless the context otherwise requires.
Field means a specific area of a record used for a particular category of data.
Filer means an air carrier, foreign air carrier, or tariff publishing agent of such a carrier filing tariffs on its behalf in conformity with this subpart.
Item means a small subdivision of a tariff and identified by a number, a letter, or other definite method for the purpose of facilitating reference and amendment.
Joint fare means a fare that applies to transportation over the joint lines or routes of two or more carriers and which is made and published by arrangement or agreement between such carriers evidenced by concurrence or power of attorney.
Joint tariff means a tariff that contains joint fares.
Local fare means a fare that applies to transportation over the lines or routes of one carrier only.
Local tariff means a tariff that contains local fares.
Machine-readable data means encoded computer data, normally in a binary format, which can be read electronically by another computer with the requisite software without any human interpretation.
On-line tariff database means the remotely accessible, on-line version, maintained by the filer, of:
(1) The electronically filed tariff data submitted to the Department pursuant to this part and Department orders, and
(2) The Departmental approvals, disapprovals, and other actions, as well as any Departmental notation concerning such approvals, disapprovals, or other actions, that subpart R of this part requires the filer to maintain in its database.
Original tariff refers to the tariff as it was originally filed exclusive of any supplements, revised records or additional records.
Passenger means any person who purchases, or who contacts a ticket office or travel agent for the purpose of purchasing, or considering the purchase of, foreign air transportation.
Passenger tariff means a tariff containing fares, charges, or governing provisions applicable to the foreign air transportation of persons and their baggage.
Publish means to display tariff material in either electronic or paper media.
Record means an electronic tariff data set that contains information describing one (1) tariff price or charge, or information describing one (1) related element associated with that tariff price or charge.
SFFL means the Standard Foreign Fare Level as established by the Department of Transportation under 49 U.S.C. 41509.
Statutory notice means the number of days required for tariff filings in § 221.160(a).
Tariff publication means a tariff, a supplement to a tariff, or an original or revised record of a tariff, including an index of tariffs and an adoption notice (§ 221.161).
Through fare means the total fare from point of origin to destination. It may be a local fare, a joint fare, or combination of separately established fares.
Ticket office means a station, office or other location where tickets are sold or similar documents are issued, that is under the charge of a person employed exclusively by the carrier, or by it jointly with another person.
Unbundled normal economy fare means the lowest one-way fare available for on-demand service in any city-pair market which is restricted in some way, e.g., by limits set and/or charges imposed for enroute stopovers or transfers, exclusive of capacity control.
United States means the several States, the District of Columbia, and the several Territories and possessions of the United States, including the Territorial waters and the overlying air space thereof.
Warsaw Convention means the Convention for the Unification of Certain Rules Relating to International Transportation by Air, 49 Stat. 3000.
All tariffs and other documents and material filed with the Department pursuant to this part shall be in the English language.
Tariff publications shall not contain fares or charges, or their governing provisions, applicable to foreign air transportation which the issuing or participating carriers are not authorized by the Department to perform, except where the Department expressly requests or authorizes tariff publications to be filed prior to the Department's granting authority to perform the foreign air transportation covered by such tariff publications. Any tariff publication filed pursuant to such express request or authorization which is not consistent with chapter 415 and this part may be rejected; any tariff publication so rejected shall be void.
(a) Local or joint tariffs. A carrier may issue and file, in its own name, tariff publications which contain:
(1) Local fares of such carrier only, and provisions governing such local fares, and/or
(2) Joint fares which apply jointly via such issuing carrier in connection with other carriers (participating in the tariff publications under authority of their concurrences given to the issuing carrier as provided in § 221.140) and provisions governing such joint fares. Provisions for account of an individual participating carrier may be published to govern such joint fares provided § 221.40(a)(9) is complied with. A carrier shall not issue and file tariff publications containing local fares of other carriers, joint rates or fares in which the issuing carrier does not participate, or provisions governing such local or joint fares.
(3) Rules and regulations governing foreign air transportation to the extent provided by this part and/or Department order. Rules and regulations may be published in separate governing tariffs, as provided in subpart G.
(b) Issuing officer. An officer or designated employee of the issuing carrier shall be shown as the issuing officer of a tariff publication issued by a carrier, and such issuing officer shall file the tariff publication with the Department on behalf of the issuing carrier and all carriers participating in the tariff publication.
An agent may issue and file, in his or its own name, tariff publications naming local fares and/or joint fares, and provisions governing such fares, and rules and regulations governing foreign air transportation to the extent provided by this part and/or Department order, for account of carriers participating in such tariff publications, under authority of their powers of attorney given to such issuing agent as provided in § 221.150. The issuing agent shall file such tariff publications with the Department on behalf of all carriers participating therein. Only one issuing agent may act in issuing and filing each such tariff publication.
(a) Numerical order. All items in a tariff shall be arranged in numerical or alphabetical order. Each item shall bear a separate item designation and the same designation shall not be assigned to more than one item.
(b) Carrier's name. Wherever the name of a carrier appears in a tariff publication, such name shall be shown in full exactly as it appears in the carrier's certificate of public convenience and necessity, foreign air carrier permit, letter of registration, or whatever other form of operating authority of the Department to engage in air transportation is held by the carrier, or such other name which has specifically been authorized by order of the Department. A carrier's name may be abbreviated, provided the abbreviation is explained in the tariff.
(c) Agent's name and title. Wherever the name of an agent appears in tariff publications, such name shall be shown in full exactly as it appears in the powers of attorney given to such agent by the participating carriers and the title “Agent” or “Alternate Agent” (as the case may be) shall be shown immediately in connection with the name.
(d) Statement of prices. All fares and charges shall be clearly and explicitly stated and shall be arranged in a simple and systematic manner. Complicated plans and ambiguous or indefinite terms shall not be used. So far as practicable, the fares and charges shall be subdivided into items or similar units, and an identifying number shall be assigned to each item or unit to facilitate reference thereto.
(e) Statement of rules. The rules and regulations of each tariff shall be clear, explicit and definite, and except as otherwise provided in this part, shall contain:
(1) Such explanatory statements regarding the fares, charges, rules or other provisions contained in the tariff as may be necessary to remove all doubt as to their application.
(2) All of the terms, conditions, or other provisions which affect the fares or charges for air transportation named in the tariff.
(3) All provisions and charges which in any way increase or decrease the amount to be paid by any passenger, or which in any way increase or decrease the value of the services rendered to the passenger.
(f) Separate rules tariff. If desired, rules and regulations may be published in separate governing tariffs to the extent authorized and in the manner required by subpart G.
(g) Rules of limited application. A rule affecting only a particular fare or other provision in the tariff shall be specifically referred to in connection with such fare or other provision, and such rule shall indicate that it is applicable only in connection with such fare or other provision. Such rule shall not be published in a separate governing rules tariff.
(h) Conflicting or duplicating rules prohibited. The publication of rules or regulations which duplicate or conflict with other rules or regulations published in the same or any other tariff for account of the same carrier or carriers and applicable to or in connection with the same transportation is prohibited.
(i) Each tariff shall include:
(1) A prominent D.O.T. or other number identifying the tariff in the sequence of tariffs published by the carrier or issuing agent;
(2) The name of the issuing carrier or agent;
(3) The cancellation of any tariffs superseded by the tariff;
(4) A description of the tariff contents, including geographic coverage;
(5) Identification by number of any governing tariffs;
(6) The date on which the tariff is issued;
(7) The date on which the tariff provisions will become effective; and
(8) the expiration date, if applicable to the entire tariff.
(a) Fares tariffs, including associated data, shall be filed electronically in conformity with subpart R. Associated data includes arbitraries, footnotes, routing numbers and fare class explanations. See § 221.202(b)(8).
(b) Upon application by a carrier, the Department's Office of International Aviation shall have the authority to waive the electronic filing requirement in this paragraph and in Subpart R in whole or in part, for a period up to one year, and to permit, under such terms and conditions as may be necessary to carry out the purposes of this part, the applicant carrier to file fare tariffs in a paper format. Such waivers shall only be considered where electronic filing, compared to paper filing, is impractical and will produce a significant economic hardship for the carrier due to the limited nature of the carrier's operations subject to the requirements of this part, or other unusual circumstances. Paper filings pursuant to this paragraph shall normally conform to the requirements of § 221.195 and other applicable requirements of this part.
(a) Tariff rules and regulations governing passenger fares and services other than those subject to § 221.30 may be filed electronically in conformity with subpart R. Such filings shall conform to criteria approved by the Department's Office of International Aviation as provided in § 221.180 and shall contain at a minimum the information required by § 221.202(b)(9).
(b) Applications for special tariff permission may be filed electronically, as provided in § 221.212.
(c) Tariff publications and applications for special tariff permission covered by paragraphs (a) and (b) of this section may be filed in a paper format, subject to the requirements of this part and Department orders.
(a) In addition to the general requirements in § 221.20, the rules and regulations of each tariff shall contain:
(1) Aircraft and seating. For individually ticketed passenger service, the name of each type of aircraft used in rendering such service by manufacturer model designation and a description of the seating configuration (or configurations if there are variations) of each type of aircraft. Where fares are provided for different classes or types of passenger service (that is, first class, coach, day coach, night coach, tourist, economy or whatever other class or type of service is provided under the tariff), the tariff shall specify the type of aircraft and the seating configuration used on such aircraft for each class or type of passenger service. When two or more classes or types of passenger service are performed in a single aircraft, the seating configuration for each type or class shall be stated and described.
(2) Rule numbers. Each rule or regulation shall have a separate designation. The same designation shall not be assigned to more than one rule in the tariff.
(3) Penalties. Where a rule provides a charge in the nature of a penalty, the rule shall state the exact conditions under which such charge will be imposed.
(4) Vague or indefinite provisions. Rules and regulations shall not contain indefinite statements to the effect that traffic of any nature will be “taken only by special arrangements”, or that services will be performed or penalties imposed “at carrier's option”, or that the carrier “reserves the right” to act or to refrain from acting in a specified manner, or other provisions of like import; instead, the rules shall state definitely what the carrier will or will not do under the exact conditions stated in the rules.
(5) Personal liability rules. Except as provided in this part, no provision of the Department's regulations issued under this part or elsewhere shall be construed to require the filing of any tariff rules stating any limitation on, or condition relating to, the carrier's liability for personal injury or death. No subsequent regulation issued by the Department shall be construed to supersede or modify this rule of construction except to the extent that such regulation shall do so in express terms.
(6) Notice of limitation of liability for death or injury under the Warsaw Convention. Notwithstanding the provisions of paragraph (a)(5) of this section, each air carrier and foreign air carrier shall publish in its tariffs a provision stating whether it avails itself of the limitation on liability to passengers as provided in Article 22(1) of the Warsaw Convention or whether it has elected to agree to a higher limit of liability by a tariff provision. Unless the carrier elects to assume unlimited liability, its tariffs shall contain a statement as to the applicability and effect of the Warsaw Convention, including the amount of the liability limit in dollars. Where applicable, a statement advising passengers of the amount of any higher limit of liability assumed by the carrier shall be added.
(7) Extension of credit. Air carriers and foreign air carriers shall not file tariffs that set forth charges, rules, regulations, or practices relating to the extension of credit for payment of charges applicable to air transportation.
(8) Individual carrier provisions governing joint fares. Provisions governing joint fares may be published for account of an individual carrier participating in such joint fares provided that the tariff clearly indicates how such individual carrier's provisions apply to the through transportation over the applicable joint routes comprised of such carrier and other carriers who either do not maintain such provisions or who maintain different provisions on the same subject matter.
(9) Passenger property which cannot lawfully be carried in the aircraft cabin. Each air carrier shall set forth in its tariffs governing the transportation of persons, including passengers' baggage, charges, rules, and regulations providing that such air carrier receiving as baggage any property of a person traveling in air transportation, which property cannot lawfully be carried by such person in the aircraft cabin by reason of any Federal law or regulation, shall assume liability to such person, at a reasonable charge and subject to reasonable terms and conditions, within the amount declared to the air carrier by such person, for the full actual loss or damage to such property caused by such air carrier.
(b) [Reserved]
(a) Required routing. The route or routes over which each fare applies shall be stated in the tariff in such manner that the following information can be definitely ascertained from the tariff:
(1) The carrier or carriers performing the transportation,
(2) The point or points of interchange between carriers if the route is a joint route (via two or more carriers),
(3) The intermediate points served on the carrier's or carriers' routes applicable between the origin and destination of the fare and the order in which such intermediate points are served.
(b) Individually stated routings—Method of publication. The routing required by paragraph (a) of this section shall be shown directly in connection with each fare or charge for transportation, or in a routing portion of the tariff (following the fare portion of the tariff), or in a governing routing tariff. When shown in the routing portion of the tariff or in a governing routing tariff, the fare from each point of origin to each point of destination shall bear a routing number and the corresponding routing numbers with their respective explanations of the applicable routings shall be arranged in numerical order in the routing portion of the tariff or in the governing routing tariff.
(a) Statement in United States currency required. All fares and charges shall be stated in cents or dollars of the United States except as provided in paragraph (b) of this section.
(b) Statements in both United States and foreign currencies permitted. Fares and charges applying between points in the United States, on the one hand, and points in foreign countries, on the other hand, or applying between points in foreign countries, may also be stated in the currencies of foreign countries in addition to being stated in United States currency as required by paragraph (a) of this section: Provided, that:
(1) The fares and charges stated in currencies of countries other than the United States are substantially equivalent in value to the respective fares and charges stated in cents or dollars of the United States.
(2) Each record containing fares and charges shall clearly indicate the respective currencies in which the fares and charges thereon are stated, and
(3) The fares and charges stated in cents or dollars of the United States are published separately from those stated in currencies of other countries. This shall be done in a systematic manner and the fares and charges in the respective currencies shall be published in separate records.
(a) Specific points of origin and destination. Except as otherwise provided in this part, the specific points of origin and destination from and to which the fares apply shall be specifically named directly in connection with the respective fares.
(b) Directional application. A tariff shall specifically indicate directly in connection with the fares therein whether they apply “from” and “to” or “between” the points named. Where the fares apply in one direction, the terms “From” and “To” shall be shown in connection with the point of origin and point of destination, respectively, and, where the fares apply in both directions between the points, the terms “Between” and “And” shall be shown in connection with the respective points.
Tariffs shall specify whether or not the fares therein include services in addition to airport-to-airport transportation.
(a) Definite application. Add-on fares shall be specifically designated as “add-on” fares on each page where they appear.
(b) A tariff may provide that fares from (or to) particular points shall be determined by the addition of add-ons to, or the deduction of add-ons from, fares therein which apply from (or to) a base point. Provisions for the addition or deduction of such add-ons shall be shown either directly in connection with the fare applying to or from the base point or in a separate provision which shall specifically name the base point. The tariff shall clearly and definitely state the manner in which such add-ons shall be applied.
(c) Restrictions upon beyond points or connecting carriers. If an add-on fare is intended for use only on traffic originating at and/or destined to particular beyond points or is to apply only in connection with particular connecting carriers, such application shall be clearly and explicitly stated directly in connection with such add-on fare.
(a) Fares for foreign air transportation of persons or property shall not be stated in the form of percentages, multiples, fractions, or other relationships to other fares except to the extent authorized in paragraphs (b), (c), and (d) of this section with respect to passenger fares and baggage charges.
(b) A basis of fares for refund purposes may be stated, by rule, in the form of percentages of other fares.
(c) Transportation rates for the portion of passengers' baggage in excess of the baggage allowance under the applicable fares may be stated, by rule, as percentages of fares.
(d) Children's, infants' and senior citizen's fares, may be stated, by rule, as percentages of other fares published specifically in dollars and cents (hereinafter referred to as base fares): Provided, that:
(1) Fares stated as percentages of base fares shall apply from and to the same points, via the same routes, and for the same class of service and same type of aircraft to which the applicable base fares apply, and shall apply to all such base fares in a fares tariff.
(2) Fares shall not be stated as percentages of base fares for the purpose of establishing fares applying from and to points, or via routes, or on types of aircraft, or for classes of service different from the points, routes, types of aircraft, or classes of service to which the base fares are applicable.
The publication of fares or charges of a carrier which duplicate or conflict with the fares of the same carrier published in the same or any other tariff for application over the same route or routes is hereby prohibited.
Where no applicable local or joint fare is provided from point of origin to point of destination over the route of movement, whichever combination of applicable fares provided over the route of movement produces the lowest charge shall be applicable, except that a carrier may provide explicitly that a fare cannot be used in any combination or in a combination on particular traffic or under specified conditions, provided another combination is available.
(a) Reference to other tariffs prohibited except as authorized. A tariff shall not refer to nor provide that it is governed by any other tariff, document, or publication, or any part thereof, except as specifically authorized by this part.
(b) Reference by fare tariff to governing tariffs. A fare tariff may be made subject to a governing tariff or governing tariffs authorized by this subpart: Provided, that reference to such governing tariffs is published in the fare tariff in the manner required by § 221.20(h).
(c) Participation in governing tariffs. A fare tariff may refer to a separate governing tariff authorized by this subpart only when all carriers participating in such fare tariff are also shown as participating carriers in the governing tariff: Provided, that:
(1) If such reference to a separate governing tariff does not apply for account of all participating carriers and is restricted to apply only in connection with local or joint fares applying over routes consisting of only particular carriers, only the carriers for whom such reference is published are required to be shown as participating carriers in the governing tariff to which such qualified reference is made.
(2) [Reserved]
(d) Maximum number of governing tariffs. A single fare tariff shall not make reference to conflicting governing tariffs.
Instead of being included in the fares tariffs, the rules and regulations governing foreign air transportation required to be filed by §§ 221.20 and 221.30 and/or Department order which do not govern the applicability of particular fares may be filed in separate governing tariffs, conforming to this subpart. Governing rules tariffs shall contain an index of rules.
Carriers may publish rules and regulations governing the transportation of explosives and other dangerous or restricted articles in separate governing tariffs, conforming to this subpart, instead of being included in the fares tariffs or in the governing rules tariff authorized by § 221.61. This separate governing tariff shall contain no other rules or governing provisions.
Subject to approval of the Department, carriers may publish other types of governing tariffs not specified in this subpart, such as routing guides.
A tariff shall be amended only by the carrier or agent who issued the tariff (except as otherwise authorized in subparts P and Q).
Amendments to tariffs shall identify with specificity and clarity the material being amended and the changes being made. Amendments to paper tariffs shall be accomplished by reissuing each page upon which a change occurs with the change made and identified by uniform amendment symbols. Each revised page shall identify and cancel the previously effective page, show the effective date of the previous page, and show the intended effective date of the revised page. Amendments in electronic format shall conform to the requirements of § 221.202 and other applicable provisions of subpart R.
Any fares, rules, or other tariff provisions which have been canceled or which have expired may be reinstated only by republishing such provisions and posting and filing the tariff publications (containing such republished provisions) on lawful notice in the form and manner required by this part.
(a) Suspended matter not to be used. A fare, charge, or other tariff provision which is suspended by the Department, under authority of chapter 415 of 49 U.S.C. Subtitle VII, shall not be used during the period of suspension specified by the Department's order.
(b) Suspended matter not to be changed. A fare, charge, or other tariff provision which is suspended by the Department shall not be changed in any respect or withdrawn or the effective date thereof further deferred except by authority of an order or special tariff permission of the Department.
(c) Suspension continues former matter in effect. If a tariff publication containing matter suspended by the Department directs the cancellation of a tariff or any portion thereof, which contains fares, charges, or other tariff provisions sought to be amended by the suspended matter, such cancellation is automatically suspended for the same period insofar as it purports to cancel any tariff provisions sought to be amended by the suspended matter.
(d) Matter continued in effect not to be changed. A fare, charge, or other tariff provision which is continued in effect as a result of a suspension by the Department shall not be changed during the period of suspension unless the change is authorized by order or special tariff permission of the Department, except that such matter may be reissued without change during the period of suspension.
(a) Suspension supplement. Upon receipt of an order of the Department suspending any tariff publication in part or in its entirety, the carrier or agent who issued such tariff publication shall immediately issue and file with the Department a consecutively numbered supplement for the purpose of announcing such suspension.
(b) The suspension supplement shall not contain an effective date and it shall contain the suspension notice required by paragraph (c) of this section.
(c) Suspension notice. The suspension supplement shall contain a prominent notice of suspension which shall:
(1) Indicate what particular fares, charges, or other tariff provisions are under suspension,
(2) State the date to which such tariff matter is suspended,
(3) State the Department's docket number and order number which suspended such tariff matter, and
(4) Give specific reference to the tariffs (specifying their D.O.T. or other identifying numbers), original or revised records and paragraphs or provisions which contain the fares, charges, or other tariff provisions continued in effect.
When tariff provisions continued in effect by a suspension are reissued during the period of such suspension, the termination of the suspension and the coming into effect of the suspended matter will not accomplish the cancellation of such reissued matter. In such circumstances, prompt action shall be taken by the issuing agent or carrier to cancel such reissued provisions upon the termination of the suspension in order that they will not conflict with the provisions formerly under suspension.
(a) When the Department vacates an order which suspended certain tariff matter in full or in part, such matter will not become effective until the termination of the suspension period unless the issuing agent or carrier amends the pertinent tariffs in the manner prescribed in this subpart (except as provided in paragraph (b) of this section).
(b) If the Department vacates its suspension order prior to the original published effective date of the tariff provisions whose suspension is vacated, such provisions will become effective on their published effective date.
(a) Endeavor to cancel prior to expiration of suspension period. When an order of the Department requires the cancellation of tariff provisions which were suspended by the Department and such cancellation is required to be made effective on or before a date which is after the date to which such tariff provisions were suspended, the issuing carrier or agent shall, if possible, make the cancellation effective prior to the date to which such tariff provisions were suspended.
(b) When necessary to republish matter continued in effect by suspension. If suspended tariff provisions become effective upon expiration of their suspension period and thereby accomplish the cancellation of the tariff provisions continued in effect by the suspension, the issuing agent or carrier shall republish and reestablish such canceled tariff provisions effective simultaneously with the cancellation of the suspended provisions in compliance with the Department's order. The tariff amendments which reestablish such canceled tariff provisions shall bear reference to this subpart and the Department's order.
(a) Statutory notice required. Unless otherwise authorized by the Department or specified in a bilateral agreement between the United States and a foreign country, all tariff filings shall be made on the following schedule, whether or not they effect any changes:
(1) At least 30 days before they are to become effective, for tariffs stating a passenger fare within the zone created by section 41509(e) of 49 U.S.C. Subtitle VII or stating a rule that affects only such a fare;
(2) At least 25 days before they are to become effective, for matching tariffs that are to become effective on the same date as the tariff to be matched and that meet competition as described in § 221.94(c)(1)(v); and
(3) At least 60 days before they are to become effective, for all other tariffs.
(b) Computing number of days' notice. A tariff publication shall be deemed to be filed only upon its actual receipt by the Department, and the first day of any required period of notice shall be the day of actual receipt by the Department.
(c) Issued date. All tariff publications must be received by the Department on or before the designated issued date.
Tariff publications will be received for filing only by delivery thereof to the Department electronically, through normal mail channels, or by delivery thereof during established business hours directly to that office of the Department charged with the responsibility of processing tariffs. No tariff publication will be accepted by the Department unless it is delivered free from all charges, including claims for postage.
Two copies of each paper tariff, tariff revision and adoption notice to be filed shall be sent to the Office of International Aviation, Department of Transportation, Washington, DC 20428. All such copies shall be included in one package and shall be accompanied by a letter of tariff transmittal.
When a tariff is filed on behalf of a carrier participating therein under authority of its concurrence or power of attorney, such concurrence or power of attorney shall, if not previously filed with the Department, be transmitted at the same time such tariff is submitted for filing.
When a tariff is filed with the Department which contains new or changed local or joint fares or charges for foreign air transportation, or new or changed classifications, rules, regulations, or practices affecting such fares or charges, or the value of the service thereunder, the issuing air carrier, foreign air carrier, or agent shall submit with the filing of such tariff:
(a) An explanation of the new or changed matter and the reasons for the filing, including (if applicable) the basis of rate making employed. Where a tariff is filed pursuant to an intercarrier agreement approved by the Department, the explanation shall identify such agreement by DOT Docket number, DOT order of approval number, IATA resolution number, or if none is designated, then by other definite identification. Where a tariff is filed on behalf of a foreign air carrier pursuant to a Government order, a copy of such order shall be submitted with the tariff.
(b) Appropriate Economic data and/or information in support of the new or changed matter.
(c) Exceptions. (1) The requirement for data and/or information in paragraph (b) of this section will not apply to tariff publications containing new or changed matter which are filed:
(i) In response to Department orders or specific policy pronouncements of the Department directly related to such new or changed matter;
(ii) Pursuant to an intercarrier agreement approved by the Department setting forth the fares, charges (or specific formulas therefor) or other matter: Provided that the changes are submitted with the number of the DOT order of approval and fully comply with any conditions set forth in that order;
(iii) To the extent fares for scheduled passenger service are within a statutory or Department-established zone of fare flexibility; and
(iv) To meet competition: Provided, that
(A) Changed matter will be deemed to have been filed to meet competition only when it effects decreases in fares or charges and/or increases the value of service so that the level of the fares or charges and the services provided will be substantially similar to the level of fares or charges and the services of a competing carrier or carriers.
(B) New matter will be deemed to have been filed to meet competition only when it establishes or affects a fare or charge and a service which will be substantially similar to the fares or charges and the services of a competing carrier or carriers.
(C) When new or changed matter is filed to meet competition over a portion of the filing air carrier's system and is simultaneously made applicable to the balance of the system, such matter, insofar as it applies over the balance of the system, will be deemed to be within the exception in this paragraph (c)(1)(iv) of this section only if such carrier submits an explanation as to the necessity of maintaining uniformity over its entire system with respect to such new or changed matter.
(D) In any case where new or changed matter is filed to meet competition, the filing carrier or agent must supply, as part of the filing justification, the complete tariff references which will serve to identify the competing tariff matter which the tariff purports to meet. In such case the justification or attachment shall state whether the new or changed matter is identical to the competing tariff matter which it purports to meet or whether it approximates the competing tariff matter. If the new or changed matter is not identical, the transmittal letter or attachment shall contain a statement explaining, in reasonable detail, the basis for concluding that the tariff publication being filed is substantially similar to the competing tariff matter.
(2) [Reserved]
Carriers must make tariff information available to the general public, and in so doing must comply with either:
(a) Sections 221.101, 221.102, 221.103, 221.104, 221.105, and 221.106, or
(b) Sections 221.105, 221.106 and 221.107 of this subpart.
(a) Each carrier shall make available for public inspection at each of its stations, offices, or other locations at which tickets for passenger transportation are sold and which is in charge of a person employed exclusively by the carrier, or by it jointly with another person, all tariffs applicable to passenger traffic from or to the point where such station, office, or location is situated, including tariffs covering any terminal services, charges, or practices whatsoever, which apply to passenger traffic from or to such point.
(b) A carrier will be deemed to have complied with the requirement that it “post” tariffs, if it maintains at each station, office, or location a file in complete form of all tariffs required to be posted; and in the case of tariffs involving passenger fares, rules, charges or practices, notice to the passenger as required in § 221.105.
(c) Tariffs shall be posted by each carrier party thereto no later than the filed date designated thereon except that in the case of carrier stations, offices or locations situated outside the United States, its territories and possessions, the time shall be not later than five days after the filed date, and except that a tariff which the Department has authorized to be filed on shorter notice shall be posted by the carrier on like notice as authorized for filing.
Each file of tariffs shall be kept in complete and accessible form. Employees of the carrier shall be required to give any desired information contained in such tariffs, to lend assistance to seekers of information therefrom, and to afford inquirers opportunity to examine any of such tariffs without requiring the inquirer to assign any reason for such desire.
Each carrier shall cause to be displayed continuously in a conspicuous public place at each station, office, or location at which tariffs are required to be posted, a notice printed in large type reading as follows:
All the currently effective passenger tariffs to which this company is a party and all passenger tariff publications which have been issued but are not yet effective are on file in this office, so far as they apply to traffic from or to. (Here name the point.) These tariffs may be inspected by any person upon request and without the assignment of any reason for such inspection. The employees of this company on duty in this office will lend assistance in securing information from the tariffs.
In addition, a complete file of all tariffs of this company, with indexes thereof, is maintained and kept available for public inspection at. (Here indicate the place or places where complete tariff files are maintained, including the street address, and where appropriate, the room number.)
(a)(1) In addition to the other requirements of this subpart, each air carrier and foreign air carrier which, to any extent, avails itself of the limitation on liability to passengers provided by an international treaty, shall, at the time of delivery of the ticket, furnish to each passenger whose transportation is governed by the international treaty and whose place of departure or place of destination is in the United States, the following statement in writing:
Passengers embarking upon a journey involving an ultimate destination or a stop in a country other than the country of departure are advised that the provisions of an international treaty (the Warsaw Convention, the 1999 Montreal Convention, or other treaty), as well as a carrier's own contract of carriage or tariff provisions, may be applicable to their entire journey, including any portion entirely within the countries of departure and destination. The applicable treaty governs and may limit the liability of carriers to passengers for death or personal injury, destruction or loss of, or damage to, baggage, and for delay of passengers and baggage.
Additional protection can usually be obtained by purchasing insurance from a private company. Such insurance is not affected by any limitation of the carrier's liability under an international treaty. For further information please consult your airline or insurance company representative.
(2) The statement prescribed in paragraph (a)(1) of this section shall be printed or displayed in type at least as large as 10-point modern type and in a form that contrasts with the stock or background on:
(i) Each ticket, including electronic tickets;
(ii) A piece of paper either placed in the ticket envelope with the ticket or attached to the ticket; or
(iii) The ticket envelope.
(3) When a carrier is a signatory of a Department-approved intercarrier agreement implementing an international treaty, and such agreement contains specific text a carrier may use as a notice to international passengers regarding carrier liability, the carrier may substitute the exact text contained in the intercarrier agreement in lieu of the required text of the notice quoted in paragraph (a)(1) of this section.
(b) By December 31, 2019, each air carrier and foreign air carrier which, to any extent, avails itself of the limitation on liability to passengers provided by an international treaty, shall also cause to be displayed continuously in a conspicuous public place at each desk, station, and position in the United States which is in the charge of a person employed exclusively by it or by it jointly with another person, or by any agent employed by such air carrier or foreign air carrier to sell tickets to passengers whose transportation may be governed by an international treaty and whose place of departure or destination may be in the United States, a sign which shall have printed thereon the statement prescribed in paragraph (a)(1) of this section.
(c) It shall be the responsibility of each carrier to ensure that travel agents authorized to sell air transportation for such carrier comply with the notice provisions of paragraphs (a) and (b) of this section.
(d) Any air carrier or foreign air carrier subject to the provisions of this section which wishes to use a notice of limited liability of its own wording, but containing the substance of the language prescribed in paragraphs (a) and (b) of this section, may substitute a notice of its own wording upon approval by the Department.
(e) The requirements as to time and method of delivery of the notice (including the size of type) specified in paragraphs (a) and (b) of this section and the requirement with respect to travel agents specified in paragraph (c) of this section may be waived by the Department upon application and showing by the carrier that special and unusual circumstances render the enforcement of the regulations impractical and unduly burdensome and that adequate alternative means of giving notice are employed.
(f) Applications for relief under paragraphs (d) and (e) of this section shall be filed with the Department's Office of International Aviation not later than 15 days before the date on which such relief is requested to become effective.
(g) Notwithstanding any other provisions of this section, no air taxi operator subject to part 298 of this subchapter shall be required to give the notices prescribed in this section, either in its capacity as an air carrier or in its capacity as an agent for an air carrier or foreign air carrier.
(a) Terms incorporated in the contract of carriage. (1) A ticket, or other written instrument that embodies the contract of carriage for foreign air transportation shall contain or be accompanied by notice to the passenger as required in paragraphs (b) and (d) of this section.
(2) Each carrier shall make the full text of all terms that are incorporated in a contract of carriage readily available for public inspection at each airport or other ticket sales office of the carrier: Provided, That the medium, i.e., printed or electronic, in which the incorporated terms and conditions are made available to the consumer shall be at the discretion of the carrier.
(3) Each carrier shall display continuously in a conspicuous public place at each airport or other ticket sales office of the carrier a notice printed in large type reading as follows:
All passenger (and/or cargo as applicable) contract terms incorporated into the contract of carriage to which this company is a party are available in this office. These provisions may be inspected by any person upon request and for any reason. The employees of this office will lend assistance in securing information, and explaining any terms.
In addition, a file of all tariffs of this company, with indexes thereof, from which incorporated contract terms may be obtained is maintained and kept available for public inspection at. (Here indicate the place or places where tariff files are maintained, including the street address and, where appropriate, the room number.)
(4) Each carrier shall provide to the passenger a complete copy of the text of any/all terms and conditions applicable to the contract of carriage, free of charge, immediately, if feasible, or otherwise promptly by mail or other delivery service, upon request at any airport or other ticket sales office of the carrier. In addition, all other locations where the carrier's tickets may be issued shall have available at all times, free of charge, information sufficient to enable the passenger to request a copy of such term(s).
(b) Notice of incorporated terms. Each carrier and ticket agent shall include on or with a ticket or other written instrument given to the passenger, that embodies the contract of carriage, a conspicuous notice that:
(1) The contract of carriage may incorporate terms and conditions by reference; passengers may inspect the full text of each applicable incorporated term at any of the carrier's airport locations or other ticket sales offices of the carrier; and passengers, shippers and consignees have the right to receive, upon request at any airport or other ticket sales office of the carrier, a free copy of the full text of any/all such terms by mail or other delivery service;
(2) The incorporated terms may include, among others, the terms shown in paragraphs (b)(2) (i) through (iv) of this section. Passengers may obtain a concise and immediate explanation of the terms shown in paragraphs (b)(2) (i) through (iv) of this section from any location where the carrier's tickets are sold.
(i) Limits on the carrier's liability for personal injury or death of passengers (subject to § 221.105), and for loss, damage, or delay of goods and baggage, including fragile or perishable goods.
(ii) Claim restrictions, including time periods within which passengers must file a claim or bring an action against the carrier for its acts or omissions or those of its agents.
(iii) Rules about re-confirmations or reservations, check-in times, and refusal to carry.
(iv) Rights of the carrier and limitations concerning delay or failure to perform service, including schedule changes, substitution of alternate carrier or aircraft, and rerouting.
(c) Explanation of incorporated terms. Each carrier shall ensure that any passenger can obtain from any location where its tickets are sold or any similar documents are issued, a concise and immediate explanation of any term incorporated concerning the subjects listed in paragraph (b)(2) or identified in paragraph (d) of this section.
(d) Direct notice of certain terms. A passenger must receive conspicuous written notice, on or with the ticket, or other similar document, of the salient features of any terms that restrict refunds of the price of the transportation, impose monetary penalties on customers, or permit a carrier to raise the price or impose more restrictive conditions of contract after issuance of the ticket.
(a) Each carrier required to file tariffs in accordance with this part shall make available to any person so requesting a subscription service as described in paragraph (b) of this section for its passenger tariffs issued by it or by a publishing agent on its behalf.
(b) Under the required subscription service one copy of each new tariff publication, including the justification required by § 221.94, must be transmitted to each subscriber thereto by first-class mail (or other equivalent means agreed upon by the subscriber) not later than one day following the time the copies for official filing are transmitted to the Department. The subscription service described in this section shall not preclude the offering of additional types of subscription services by carriers or their agents.
(c) The carriers or their publishing agents at their option may establish a charge for providing the required subscription service to subscribers: Provided, That the charge may not exceed a reasonable estimate of the added cost of providing the service.
The Department may reject any tariff which is not consistent with section 41504 of 49 U.S.C. Subtitle VII, with the regulations in this part, or with Department orders.
When a tariff is rejected, the issuing carrier or agent thereof will be notified electronically or in writing that the tariff is rejected and of the reason for such rejection.
A tariff rejected by the Department is void and is without any force or effect whatsoever. Such rejected tariff must not be used.
(a) General authority. The Department may permit changes in fares, charges or other tariff provisions on less than the statutory notice required by section 41505 of 49 U.S.C. Subtitle VII.
(b) Grounds for approval. The following facts and circumstances constitute some of the grounds for approving applications for Special Tariff Permission in the absence of other facts and circumstances warranting denial:
(1) Clerical or typographical errors. Clerical or typographical errors in tariffs constitute grounds for approving applications for Special Tariff Permission to file on less than statutory notice the tariff changes necessary to correct such errors. Each application for Special Tariff Permission based on such grounds shall plainly specify the errors and contain a complete statement of all the attending facts and circumstances, and such application shall be presented to the Department with reasonable promptness after issuance of the defective tariff.
(2) Rejection caused by clerical or typographical errors or unintelligibility. Rejection of a tariff caused by clerical or typographical errors constitute grounds for approving applications for Special Tariff Permission to file on less than statutory notice, effective not earlier than the original effective dates in the rejected tariff, all changes contained in the rejected tariff but with the errors corrected. Each application for the grant of Special Tariff Permission based on such grounds shall plainly specify the errors and contain a complete statement of all the attending facts and circumstances, and such application shall be filed with the Department within five days after receipt of the Department's notice of rejection.
(3) Newly authorized transportation. The fact that the Department has newly authorized a carrier to perform foreign air transportation constitutes grounds for approving applications for Special Tariff Permission to file on less than statutory notice the fares, rates, and other tariff provisions covering such newly authorized transportation.
(4) The fact that a passenger fare is within a statutory or Department-established zone of fare flexibility constitutes grounds for approving an application for Special Tariff Permission to file a tariff stating that fare and any rules affecting them exclusively, on less than statutory notice. The Department's policy on approving such applications is set forth in § 399.35 of this chapter.
(5) Lowered fares and charges. The prospective lowering of fares or charges to the traveling public constitutes grounds for approving an application for Special Tariff Permission to file on less than statutory notice a tariff stating the lowered fares or charges and any rules affecting them exclusively. However, the Department will not approve the application if the proposed tariff raises significant questions of lawfulness, as set forth in § 399.35 of this chapter.
(c) Filing notice required by formal order. When a formal order of the Department requires the filing of tariff matter on a stated number of days' notice, an application for Special Tariff Permission to file on less notice will not be approved. In any such instance a petition for modification of the order should be filed in the formal docket.
(a) Form. Each application for Special Tariff Permission to file a tariff on less than statutory notice shall conform to the requirements of § 221.212 if filed electronically.
(b) Number of paper copies and place of filing. For paper format applications, the original and one copy of each such application for Special Tariff Permission, including all exhibits thereto and amendments thereof, shall be sent to the Office of International Aviation, Department of Transportation, Washington, DC 20590.
(c) Who may make application. Applications for Special Tariff Permission to file fares, or other tariff provisions on less than statutory notice shall be made only by the issuing carrier or agent authorized to issue and file the proposed tariff. Such application by the issuing carrier or agent will constitute application on behalf of all carriers participating in the proposed fares, or other tariff provisions.
(d) When notice is required. Notice in the manner set forth in paragraph (e) of this section is required when a carrier files an application for Special Tariff Permission:
(1) To offer passenger fares that would be outside a Department-established zone of price flexibility or, in markets for which the Department has not established such a zone, outside the statutory zone of price flexibility; or
(2) To file any price increase or rule change that the carrier believes is likely to be controversial.
(e) Form of notice. When notice of filing of a Special Tariff Permission application affecting passenger fares is required by paragraph (d) of this section, the carrier shall, when it files the application, give immediate telegraphic notice or other notice approved by the Office of International Aviation, to all certificated and foreign route carriers authorized to provide nonstop or one-stop service in the markets involved, and to civic parties that would be substantially affected. The application shall include a list of the parties notified.
Each Special Tariff Permission to file fares, or other tariff provisions on less than statutory notice shall be used in its entirety as granted. If it is not desired to use the permission as granted, and lesser or more extensive or different permission is desired, a new application for Special Tariff Permission conforming with § 221.121 in all respects and referring to the previous permission shall be filed.
If a tariff containing matter issued under Special Tariff Permission is rejected, the same Special Tariff Permission may be used in a tariff issued in lieu of such rejected tariff provided that such re-use is not precluded by the terms of the Special Tariff Permission, and is made within the time limit thereof or within seven days after the date of the Department's notice of rejection, whichever is later, but in no event later than fifteen days after the expiration of the time limit specified in the Special Tariff Permission.
Applications for waiver or modification of any of the requirements of this part 221 or for modification of chapter 415 of 49 U.S.C. Subtitle VII with respect to the filing and posting of tariffs shall be made by the issuing carrier or issuing agent.
Applications for waivers shall be in the form of a letter addressed to the Office of International Aviation, Department of Transportation Washington, DC 20590, and shall:
(a) Specify (by section and paragraph) the particular regulation which the applicant desires the Department to waive.
(b) Show in detail how the proposed provisions will be shown in the tariff under authority of such waiver if granted (submitting exhibits of the proposed provision where necessary to clearly show this information).
(c) Set forth all facts and circumstances on which the applicant relies as warranting the Department's granting the authority requested. No tariff or other documents shall be filed pursuant to such application prior to the Department's granting the authority requested.
(a) A concurrence prepared in a manner acceptable to the Office of International Aviation shall be used by a carrier to give authority to another carrier to issue and file with the Department tariffs which contain joint fares or charges, including provisions governing such fares or charges, applying to, from, or via points served by the carrier giving the concurrence. A concurrence shall not be used as authority to file joint fares or charges in which the carrier to whom the concurrence is given does not participate, and it shall not be used as authority to file local fares or charges.
(b) Number of copies. Each concurrence shall be prepared in triplicate. The original of each concurrence shall be filed with the Department, the duplicate thereof shall be given to the carrier in whose favor the concurrence is issued, and the third copy shall be retained by the carrier who issued the concurrence.
(c) Conflicting authority to be avoided. Care should be taken to avoid giving authority to two or more carriers which, if used, would result in conflicting or duplicate tariff provisions.
(a) A concurrence may be revoked by filing with the Department a Notice of Revocation of Concurrence prepared in a form acceptable to the Office of International Aviation.
(b) Sixty days' notice required. Such Notice of Revocation of Concurrence shall be filed on not less than sixty days' notice to the Department. A Notice of Revocation of Concurrence will be deemed to be filed only upon its actual receipt by the Department, and the period of notice shall commence to run only from such actual receipt.
(c) Number of copies. Each Notice of Revocation of Concurrence shall be prepared in triplicate. The original thereof shall be filed with the Department and, at the same time that the original is transmitted to the Department, the duplicate thereof shall be sent to the carrier to whom the concurrence was given. The third copy shall be retained by the carrier issuing such notice.
(d) Amendment of tariffs when concurrence revoked. When a concurrence is revoked, a corresponding amendment of the tariff or tariffs affected shall be made by the issuing carrier of such tariffs, on not less than statutory notice, to become effective not later than the effective date stated in the Notice of Revocation of Concurrence. In the event of failure to so amend the tariff or tariffs, the provisions therein shall remain applicable until lawfully canceled.
If a carrier desires to issue a concurrence conferring less authority than a previous concurrence given to the same carrier, the new concurrence shall not direct the cancellation of such previous concurrence. In such circumstances, such previous concurrence shall be revoked by issuing and filing a Notice of Revocation of Concurrence in a form acceptable to the Office of International Aviation. Such revocation notice shall include reference to the new concurrence.
(a) Prescribed form of power of attorney. A power of attorney prepared in accordance with a form acceptable to the Office of International Aviation shall be used by a carrier to give authority to an agent and (in the case of the agent being an individual) such agent's alternate to issue and file with the Department tariffs which contain local or joint fares or charges, including provisions governing such fares or charges, applicable via and for account of such carrier. Agents may be only natural persons or corporations (other than incorporated associations of air carriers). The authority conferred in a power of attorney may not be delegated to any other person.
(b) Designation of tariff issuing person by corporate agent. When a corporation has been appointed as agent it shall forward to the Department a certified excerpt of the minutes of the meeting of its Board of Directors designating by name and title the person responsible for issuing tariffs and filing them with the Department. Only one such person may be designated by a corporate agent, and the title of such designee shall not contain the word “Agent”. When such a designee is replaced the Department shall be immediately notified in like manner of his successor. An officer or employee of an incorporated tariff-publishing agent may not be authorized to act as tariff agent in his/her individual capacity. Every tariff issued by a corporate agent shall be issued in its name as agent.
(c) Number of copies. Each power of attorney shall be prepared in triplicate. The original of each power of attorney shall be filed with the Department, the duplicate thereof shall be given to the agent in whose favor the power of attorney is issued, and the third copy shall be retained by the carrier who issued the power of attorney.
(d) Conflicting authority prohibited. In giving powers of attorney, carriers shall not give authority to two or more agents which, if used, would result in conflicting or duplicate tariff provisions.
(a) A power of attorney may be revoked only by filing with the Department in the manner specified in this section a Notice of Revocation of Power of Attorney in a form acceptable to the Office of International Aviation.
(b) Sixty days' notice required. Such Notice of Revocation of Power of Attorney shall be filed on not less than sixty days' notice to the Department. A Notice of Revocation of Power of Attorney will be deemed to be filed only upon its actual receipt by the Department, and the period of notice shall commence to run only from such actual receipt.
(c) Number of copies. Each Notice of Revocation of Power of Attorney shall be prepared in triplicate. The original thereof shall be filed with the Department and, at the same time that the original is transmitted to the Department, the duplicate thereof shall be sent to the agent in whose favor the power of attorney was issued (except, if the alternate agent has taken over the tariffs, the duplicate of the Notice of Revocation of Power of Attorney shall be sent to the alternate agent). The third copy of the notice shall be retained by the carrier.
(d) Amendment of tariffs when power of attorney is revoked. When a power of attorney is revoked, a corresponding amendment of the tariff or tariffs affected shall be made by the issuing agent of such tariffs, on not less than statutory notice, to become effective not later than the effective date stated in the Notice of Revocation of Power of Attorney. In the event of failure to so amend the tariff or tariffs, the provisions therein shall remain applicable until lawfully canceled.
If a carrier desires to issue a power of attorney conferring less authority than a previous power of attorney issued in favor of the same agent, the new power of attorney shall not direct the cancellation of such previous power of attorney. In such circumstances, such previous power of attorney shall be revoked by issuing and filing a Notice of Revocation of Power of Attorney in a form acceptable to the Office of International Aviation. Such revocation notice shall include reference to the new power of attorney.
(a) When the name of a carrier is changed or when its operating control is transferred to another carrier (including another company which has not previously been a carrier), the carrier which will thereafter operate the properties shall immediately issue, file with the Department, and post for public inspection, an adoption notice in a form and containing such information as is approved by the Office of International Aviation. (The carrier under its former name or the carrier from whom the operating control is transferred shall be referred to in this subpart as the “former carrier”, and the carrier under its new name or the carrier, company, or fiduciary to whom the operating control is transferred shall be referred to in this subpart as the “adopting carrier”.)
(b) The adoption notice shall be prepared, filed, and posted as a tariff. The adoption notice shall be issued and filed by the adopting carrier and not by an agent.
(c) Copies to be sent to agents and other carriers. At the same time that the adoption notice is transmitted to the Department for filing, the adopting carrier shall send copies of such adoption notice to each agent and carrier to whom the former carrier has given a power of attorney or concurrence. (See § 221.163.)
At the same time that the adoption notice is issued, posted, and filed pursuant to § 221.160, the adopting carrier shall issue, post and file with the Department a notice in each effective tariff issued by the former carrier providing specific notice of the adoption in a manner authorized by the Office of International Aviation and which shall contain no matter other than that authorized.
A receiver shall, immediately upon assuming control of a carrier, issue and file with the Department an adoption notices as prescribed by §§ 221.160 and 221.161 and shall comply with the requirements of this subpart.
If the former carrier is shown as a participating carrier under concurrence in tariffs issued by other carriers or is shown as a participating carrier under power of attorney in tariffs issued by agents, the issuing carriers and agents of such tariffs shall, upon receipt of the adoption notice, promptly file on statutory notice the following amendments to their respective tariffs:
(a) Cancel the name of the former carrier from the list of participating carriers.
(b) Add the adopting carrier (in alphabetical order) to the list of participating carriers. If the adopting carrier already participates in such tariff, reference to the substitution notice shall be added in connection with such carrier's name in the list of participating carriers.
(a) Adopting carrier shall reissue adopted concurrences and powers of attorney. Within a period of 120 days after the date on which the change in name or transfer of operating control occurs, the adopting carrier shall reissue all effective powers of attorney and concurrences of the former carrier by issuing and filing new powers of attorney and concurrences, in the adopting carrier's name, which shall direct the cancellation of the respective powers of attorney and concurrences of the former carrier. The adopting carrier shall consecutively number its powers of attorney and concurrences in its own series of power of attorney numbers and concurrence numbers (commencing with No. 1 in each series if it had not previously filed any such instruments with the Department), except that a receiver or other fiduciary shall consecutively number its powers of attorney or concurrences in the series of the former carrier. The cancellation reference shall show that the canceled power of attorney or concurrence was issued by the former carrier.
(b) If such new powers of attorney or concurrences confer less authority than the powers of attorney or concurrences which they are to supersede, the new issues shall not direct the cancellation of the former issues; in such instances, the provisions of §§ 221.142 and 221.152 shall be observed. Concurrences and powers of attorney which will not be replaced by new issues shall be revoked in the form and manner and upon the notice required by §§ 221.141 and 221.151.
(c) Reissue of other carriers' concurrences issued in favor of former carrier. Each carrier which has given a concurrence to a carrier whose tariffs are subsequently adopted shall reissue the concurrence in favor of the adopting carrier. If the carrier which issued the concurrence to the former carrier desires to revoke it or desires to replace it with a concurrence conferring less authority, the provisions of §§ 221.141 and 221.142 shall be observed.
If a carrier ceases operations without having a successor, it shall:
(a) File a notice in each tariff of its own issue and cancel such tariff in its entirety.
(b) Revoke all powers of attorney and concurrences which it has issued.
(a) Every air carrier and foreign air carrier shall file its international passenger fares tariffs consistent with the provisions of this subpart, and part 221 generally. Additionally, any air carrier and any foreign air carrier may file its international passenger rules tariffs electronically in machine-readable form as an alternative to the filing of printed paper tariffs as provided for elsewhere in part 221. This subpart applies to all carriers and tariff publishing agents and may be used by either if the carrier or agent complies with the provisions of subpart R. Any carrier or agent that files electronically under this subpart must transmit to the Department the remainder of the tariff in a form consistent with part 221, Subparts A through Q, on the same day that the electronic tariff would be deemed received under § 221.190(b).
(b) To the extent that subpart R is inconsistent with the remainder of part 221, subpart R shall govern the filing of electronic tariffs. In all other respects, part 221 remains in full force and effect.
(a) No carrier or filing agent shall file an electronic tariff unless, prior to filing, it has signed a maintenance agreement or agreements, furnished by the Department of Transportation, for the maintenance and security of the on-line tariff database.
(b) No carrier or agent shall file an electronic tariff unless, prior to filing, it has submitted to the Department's Office of International Aviation, Pricing and Multilateral Affairs Division, and received approval of, an application containing the following commitments:
(1) The filer shall file tariffs electronically only in such format as shall be agreed to by the filer and the Department. (The filer shall include with its application a proposed format of tariff. The filer shall also submit to the Department all information necessary for the Department to determine that the proposed format will accommodate the data elements set forth in § 221.202.)
(2) The filer shall provide, maintain and install in the Public Reference Room at the Department (as may be required from time to time) one or more CRT devices and printers connected to its on-line tariff database. The filer shall be responsible for the transportation, installation, and maintenance of this equipment and shall agree to indemnify and hold harmless the Department and the U.S. Government from any claims or liabilities resulting from defects in the equipment, its installation or maintenance.
(3) The filer shall provide public access to its on-line tariff database, at Departmental headquarters, during normal business hours.
(4) The access required at Departmental headquarters by this subpart shall be provided at no cost to the public or the Department.
(5) The filer shall provide the Department access to its on-line tariff database 24 hours a day, 7 days a week, except, that the filer may bring its computer down between 6:00 a.m. and 6:00 p.m. Eastern Standard Time or Eastern Daylight Saving Time, as the case may be, on Sundays, when necessary, for maintenance or for operational reasons.
(6) The filer shall ensure that the Department shall have the sole ability to approve or disapprove electronically any tariff filed with the Department and the ability to note, record and retain electronically the reasons for approval or disapproval. The carrier or agent shall not make any changes in data or delete data after it has been transmitted electronically, regardless of whether it is approved, disapproved, or withdrawn. The filer shall be required to make data fields available to the Department in any record which is part of the on-line tariff database.
(7) The filer shall maintain all fares and rules filed with the Department and all Departmental approvals, disapprovals and other actions, as well as all Departmental notations concerning such approvals, disapprovals or other actions, in the on-line tariff database for a period of two (2) years after the fare or rule becomes inactive. After this period of time, the carrier or agent shall provide the Department, free of charge, with a copy of the inactive data on a machine-readable tape or other mutually acceptable electronic medium.
(8) The filer shall ensure that its on-line tariff database is secure against destruction or alteration (except as authorized by the Department), and against tampering.
(9) Should the filer terminate its business or cease filing tariffs, it shall provide to the Department on a machine-readable tape or any other mutually acceptable electronic medium, contemporaneously with the cessation of such business, a complete copy of its on-line tariff database.
(10) The filer shall furnish to the Department, on a daily basis, on a machine-readable tape or any other mutually acceptable electronic medium, all transactions made to its on-line tariff database.
(11) The filer shall afford any authorized Departmental official full, free, and uninhibited access to its facilities, databases, documentation, records, and application programs, including support functions, environmental security, and accounting data, for the purpose of ensuring continued effectiveness of safeguards against threats and hazards to the security or integrity of its electronic tariffs, as defined in this subpart.
(12) The filer must provide a field in the Government Filing File for the signature of the approving U.S. Government Official through the use of a Personal Identification Number (PIN).
(13) The filer shall provide a leased dedicated data conditioned circuit with sufficient capacity (not less than 28.8K baud rate) to handle electronic data transmissions to the Department. Further, the filer must provide for a secondary or a redundancy circuit in the event of the failure of the dedicated circuit. The secondary or redundancy circuit must be equal to or greater than 14.4K baud rate. In the event of a failure of the primary circuit the filer must notify the Chief of the Pricing and Multilateral Affairs Division of the Department's Office of International Aviation, as soon as possible, after the failure of the primary circuit, but not later than two hours after failure, and must provide the name of the contact person at the telephone company who has the responsibility for dealing with the problem.
(c) Each time a filer's on-line tariff database is accessed by any user during the sign-on function the following statement shall appear:
The information contained in this system is for informational purposes only, and is a representation of tariff data that has been formally submitted to the Department of Transportation in accordance with applicable law or a bilateral treaty to which the U.S. Government is a party.
(a) A tariff, or revision thereto, or a special tariff permission application may be electronically filed with the Department immediately upon compliance with § 221.180, and anytime thereafter, subject to § 221.400. The actual date and time of filing shall be noted with each filing.
(b) For the purpose of determining the date that a tariff, or revision thereto, filed pursuant to this subpart, shall be deemed received by the Department:
(1) For all electronic tariffs, or revisions thereto, filed before 5:30 p.m. local time in Washington, DC, on Federal business days, such date shall be the actual date of filing.
(2) For all electronic tariffs, or revisions thereto, filed after 5:30 p.m. local time in Washington, DC, on Federal business days, and for all electronic tariffs, or revisions thereto, filed on days that are not Federal business days, such date shall be the next Federal business day.
(a) Any tariff, or revision thereto, filed in paper format which accompanies, governs, or otherwise affects, a tariff filed electronically, must be received by the Department on the same date that a tariff or revision thereto, is filed electronically with the Department under § 221.190(b). Further, such paper tariff, or revision thereto, shall be filed in accordance with the requirements of subparts A through Q of part 221. No tariff or revision thereto, filed electronically under this subpart, shall contain an effective date which is at variance with the effective date of the supporting paper tariff, except as authorized by the Department.
(b) Any printed justifications, or other information accompanying a tariff, or revision thereto, filed electronically under this subpart, must be received by the Department on the same date as any tariff, or revision thereto, filed electronically.
(c) If a filer submits a filing which fails to comply with paragraph (a) of this section, or if the filer fails to submit the information in conformity with paragraph (b) of this section, the filing will be subject to rejection, denial, or disapproval, as applicable.
(a) Content. The format to be used for any electronic tariff must be that agreed to in advance as provided for in § 221.180, and must include those data elements set forth in § 221.202. Those portions that are filed in paper form shall comply in all respects with part 221, subparts A through Q.
(b) Explanation of abbreviations, reference marks and symbols. Abbreviations, reference marks and symbols which are used in the tariff shall be explained in each tariff.
(1) The following symbols shall be used:
(2) Other symbols may be used only when an explanation is provided in each tariff and such symbols are consistent throughout all the electronically filed tariffs from that time forward.
(a) Every electronic tariff filed by or on behalf of an air carrier that contains fares which, by international convention or agreement entered into between any other country and the United States, are required to be filed with that country, shall include the following statement:
The rates, fares, charges, classifications, rules, regulations, practices, and services provided herein have been filed in each country in which filing is required by treaty, convention, or agreement entered into between that country and the United States, in accordance with the provisions of the applicable treaty, convention, or agreement.
(b) The statement referenced in § 221.201(a) may be included with each filing advice by the inclusion of a symbol which is properly explained.
(c) The required symbol may be omitted from an electronic tariff or portion thereof if the tariff publication that has been filed with any other country pursuant to its tariff regulations bears a tariff filing designation of that country in addition to the D.O.T. number appearing on the tariff.
All electronic tariffs and amendments filed under this subpart, including those for which authority is sought to effect changes on less than bilateral/statutory notice under § 221.212, shall contain the following data elements:
(a) A Filing Advice Status File—which shall include:
(1) Filing date and time;
(2) Filing advice number;
(3) Reference to carrier;
(4) Reference to geographic area;
(5) Effective date of amendment or tariff;
(6) A place for government action to be recorded; and
(7) Reference to the Special Tariff Permission when applicable.
(b) A Government Filing File—which shall include:
(1) Filing advice number;
(2) Carrier reference;
(3) Filing date and time;
(4) Proposed effective date;
(5) Justification text; reference to geographic area and affected tariff number;
(6) Reference to the Special Tariff Permission when applicable;
(7) Government control data, including places for:
(i) Name of the government analyst, except that this data shall not be made public, notwithstanding any other provision in this or any other subpart;
(ii) Action taken and reasons therefor.
(iii) Remarks, except that internal Departmental data shall not be made public, notwithstanding any other provision in this or any other subpart;
(iv) Date action is taken; and
(v) Personal Identification Number; and
(8) Fares tariff, or proposed changes to the fares tariffs, including:
(i) Market;
(ii) Fare code;
(iii) One-way/roundtrip (O/R);
(iv) Fare Amount;
(v) Currency;
(vi) Footnote (FN);
(vii) Rule Number, provided that, if the rule number is in a tariff, reference shall be made to that tariff containing the rule;
(viii) Routing (RG) Number(s), provided that the abbreviation MPM (Maximum Permissible Routing) shall be considered a number for the purpose of this file;
(ix) Effective date and discontinue date if the record has been superseded;
(x) Percent of change from previous fares; and
(xi) Expiration date.
(9) Rules tariff, or proposed changes to the rules tariffs.
(i) Rules tariffs shall include:
(A) Title: General description of fare rule type and geographic area under the rule;
(B) Application: Specific description of fare class, geographic area, type of transportation (one way, round-trip, etc.);
(C) Period of Validity: Specific description of permissible travel dates and any restrictions on when travel is not permitted;
(D) Reservations/ticketing: Specific description of reservation and ticketing provisions, including any advance reservation/ticketing requirements, provisions for payment (including prepaid tickets), and charges for any changes;
(E) Capacity Control: Specific description of any limitation on the number of passengers, available seats, or tickets;
(F) Combinations: Specific description of permitted/restricted fare combinations;
(G) Length of Stay: Specific description of minimum/maximum number of days before the passenger may/must begin return travel;
(H) Stopovers: Specific description of permissible conditions, restrictions, or charges on stopovers;
(I) Routing: Specific description of routing provisions, including transfer provisions, whether on-line or inter-line;
(J) Discounts: Specific description of any limitations, special conditions, and discounts on status fares, e.g. children or infants, senior citizens, tour conductors, or travel agents, and any other discounts;
(K) Cancellation and Refunds: Specific description of any special conditions, charges, or credits due for cancellation or changes to reservations, or for request for refund of purchased tickets;
(L) Group Requirements: Specific description of group size, travel conditions, group eligibility, and documentation;
(M) Tour Requirements: Specific description of tour requirements, including minimum price, and any stay or accommodation provisions;
(N) Sales Restrictions: Specific description of any restrictions on the sale of tickets;
(O) Rerouting: Specific description of rerouting provisions, whether on-line or inter-line, including any applicable charges; and
(P) Miscellaneous provisions: Any other applicable conditions.
(ii) Rules tariffs shall not contain the phrase “intentionally left blank”.
(10) Any material accepted by the Department for informational purposes only shall be clearly identified as “for informational purposes only, not part of official tariff”, in a manner acceptable to the Department.
(c) A Historical File—which shall include:
(1) Market;
(2) Fare code;
(3) One-way/roundtrip (O/R);
(4) Fare amount;
(5) Currency;
(6) Footnote (FN);
(7) Rule Number, provided that, if the rule number is in a tariff other than the fare tariff, reference shall be made to that tariff containing the rule;
(8) Rule text applicable to each fare at the time that the fare was in effect.
(9) Routing (RG) Number(s), provided that the abbreviation MPM (Maximum Permissible Routing) shall be considered a number for the purpose of this file;
(10) Effective Date;
(11) Discontinue Date;
(12) Government Action;
(13) Carrier;
(14) All inactive fares (two years);
(15) Any other fare data which is essential; and
(16) Any necessary cross reference to the Government Filing File for research or other purposes.
(a) Each “bundled” and “unbundled” normal economy fare applicable to foreign air transportation shall bear a unique rule number.
(b) The unique rule numbers for the fares specified in this section shall be set by mutual agreement between the filer and the Department prior to the implementation of any electronic filing system.
When one carrier adopts the tariffs of another carrier, the effective and prospective fares of the adopted carrier shall be changed to reflect the name of the adopting carrier and the effective date of the adoption. Further, each adopted fare shall bear a notation which shall reflect the name of the adopted carrier and the effective date of the adoption, provided that any subsequent revision of an adopted fare may omit the notation.
Any carrier or its agent must provide, as to any new or increased bundled or unbundled (whichever is lower) on-demand economy fare in a direct-service market, a comparison between, on the one hand, that proposed fare and, on the other hand, the ceiling fare allowed in that market based on the SFFL.
All fares filed electronically in direct-service markets shall be filed as single factor fares.
(a) A fare, charge, rule or other tariff provision that is suspended by the Department pursuant to section 41509 of 49 U.S.C. Subtitle VII shall be noted by the Department in the Government Filing File and the Historical File.
(b) When the Department vacates a tariff suspension, in full or in part, and after notification of the carrier by the Department, such event shall be noted by the carrier in the Government Filing File and the Historical File.
(c) When a tariff suspension is vacated or when the tariff becomes effective upon termination of the suspension period, the carrier or its agent shall refile the tariff showing the effective date.
When, pursuant to an order of the Department, the cancellation of rules, fares, charges, or other tariff provision is required, such action shall be made by the carrier by appropriate revisions to the tariff.
(a) When a filer submits an electronic tariff or an amendment to an electronic tariff for which authority is sought to effect changes on less than bilateral/statutory notice, and no related tariff material is involved, the submission shall bear a sequential filing advice number. The submission shall appear in the Government Filing File and the Filing Advice Status File, and shall be referenced in such a manner to clearly indicate that such changes are sought to be made on less than bilateral/statutory notice.
(b) When a filer submits an electronic tariff or an amendment to the electronic tariff for which authority is sought to effect changes on less than bilateral/statutory notice, and it contains related paper under § 221.195, the paper submission must bear the same filing advice number as that used for the electronic submission. Such paper submission shall be in the form of a revised tariff page rather than as a separate request for Special Tariff Permission. All material being submitted on a paper tariff page as part of an electronic submission will clearly indicate the portion(s) of such tariff page that is being filed pursuant to, and in conjunction with, the electronic submission on less than bilateral/statutory notice.
(c) Departmental action on the Special Tariff Permission request shall be noted by the Department in the Government Filing File and the Filing Advice Status File.
(d) When the paper portion of a Special Tariff Permission that has been filed with the Department pursuant to paragraph (b) of this section is disapproved or other action is taken by the Department, such disapproval or other action will be reflected on the next consecutive revision of the affected tariff page(s) in the following manner:
(1) Example of disapproval statement:
(2) Example of other action:
(e) When the Department disapproves in whole or in part or otherwise takes an action against any submission filed under this part, the filer must take corrective action within two business days following the disapproval or notice of other action.
(f) All submissions under this section shall comply with the requirements of § 221.202.
In the event that the electronic tariff system is discontinued, or the source of the data is changed, or a filer discontinues its business, all electronic data records prior to such date shall be provided immediately to the Department, free of charge, on a machine-readable tape or other mutually acceptable electronic medium.
(a) After approval of any application filed under § 221.180 of this subpart to allow a filer to file tariffs electronically, the filer in addition to filing electronically must continue to file printed tariffs as required by subparts A through Q of part 221 for a period of 90 days, or until such time as the Department shall deem such filing no longer to be necessary: Provided that during the period specified by this section the filed printed tariff shall continue to be the official tariff.
(b) Upon notification to the filer that it may commence to file its tariffs solely in an electronic mode, concurrently with the implementation of filing electronically the filer shall:
(1) Furnish the Department with a copy of all the existing effective and prospective records on a machine-readable tape or other mutually acceptable electronic medium accompanied by an affidavit attesting to the accuracy of such records; and
(2) Simultaneously cancel such records from the paper tariff in the manner prescribed by subparts A through Q of part 221.
(a) Each filer that files an electronic tariff under this subpart shall make available to any person so requesting, a subscription service meeting the terms of paragraph (b) of this section.
(b) Under the required subscription service, remote access shall be allowed to any subscriber to the on-line tariff database, including access to the justification required by § 221.205. The subscription service shall not preclude the offering of additional services by the filer or its agent.
(c) The filer at its option may establish a charge for providing the required subscription service to subscribers: Provided that the charge may not exceed a reasonable estimate of the added cost of providing the service.
(d) Each filer shall provide to any person upon request, a copy of the machine-readable data (raw tariff data) of all daily transactions made to its on-line tariff database. The terms and prices for such value-added service may be set by the filer: Provided that such terms and prices shall be non-discriminatory, i.e., that they shall be substantially equivalent for all similarly-situated persons.
Copies of information contained in a filer's on-line tariff database may be obtained by any user at Departmental Headquarters from the printer or printers placed in Tariff Public Reference Room by the filer. The filer may assess a fee for copying, provided it is reasonable and that no administrative burden is placed on the Department to require the collection of the fee or to provide any service in connection therewith.
(a) When an electronically filed record which has been submitted to the Department under this subpart, is disapproved (rejected), or a special tariff permission is approved or denied, under authority assigned by the Department of Transportation's Regulations, 14 CFR 385.13, such actions shall be understood to include the following provisions:
(1) Applicable to a record or records which is/are disapproved (rejected). The record(s) disapproved (rejected) is/are void, without force or effect, and must not be used.
(2) Applicable to a record or records which is/are disapproved (rejected), and to special tariff permissions which are approved or denied. This action is taken under authority assigned by the Department of Transportation in its Organization Regulations, 14 CFR 385.13. Persons entitled to petition for review of this action pursuant to the Department's Regulations, 14 CFR 385.50, may file such petitions within seven days after the date of this action. This action shall become effective immediately, and the filing of a petition for review shall not preclude its effectiveness.
(b) [Reserved]
This part applies to all air transportation of property that includes both air movement by a direct foreign air carrier and surface transportation to or from any point within the United States (hereafter referred to as “intermodal cargo services”).
(a) Under its foreign air carrier permit, a direct foreign air carrier may provide or control the surface portion of intermodal cargo services within a zone extending 35 miles from the boundary of the airport or city it is authorized to serve. A direct foreign air carrier shall not provide or control the surface portion of intermodal cargo services outside of this 35-mile zone unless authorized to do so by the Department in accordance with §§ 222.3, 222.4 and 222.5.
(b) A direct foreign air carrier shall be considered to control the surface portion of intermodal cargo services if it has or publicly represents that it has any responsibility for or control over the movement of, or has any ownership, controlling or exclusive dealing relationship with, the carrier actually providing the surface transportation.
(c) Except as provided in paragraphs (a) and (b) of this section with respect to control by a direct foreign air carrier, any U.S. or foreign indirect air carrier, surface carrier or surface freight forwarder may provide the surface portion of intermodal cargo services without limitation as to geographic area within the United States.
(d) The Department may withdraw the authority of an indirect foreign air carrier to provide the surface portion of intermodal cargo services, or the authority of a direct foreign air carrier to offer intermodal cargo services pursuant to joint fares with other carriers providing the surface transportation, at any time, with or without hearing, if the Department finds it in the public interest.
(a) Application for a Statement of Authorization shall be filed with the Department's Foreign Air Carrier Licensing Division, Office of International Aviation, in duplicate, on OST Form 4500. In most cases, the Department will act upon applications for Statements of Authorization within 60 days.
(b) Persons objecting to an application for a Statement of Authorization shall file their objections with the Foreign Air Carrier Licensing Division, Office of International Aviation, within 28 days of the filing date of the application. The Department will list the names and nationalities of all persons applying for Statements of Authorization in its Weekly Summary of Filings.
(c) An application shall include a copy of any bilateral agreement, memorandum of consultations, or diplomatic note or letter, in support of the authority requested. Documents that appear in official U.S. publications may be incorporated by reference.
(a) After review of an application form filed under § 222.3, the Department will take one or more of the following actions:
(1) Indicate by stamp on OST Form 4500 the effective date of the Statement of Authorization, and return to the carrier the duplicate copy of Form 4500 as evidence of approval under this part;
(2) Request additional information from the applicant;
(3) Set the application for notice and hearing procedures;
(4) Disapprove the application or approve it subject to such terms, conditions, or limitations as may be required by the public interest; or
(5) Reject the application on the grounds that there is no agreement by the United States authorizing the proposed services.
(b) An order disapproving an application or subjecting it to conditions or limitations shall be transmitted to the President for stay or disapproval. If the President does not stay or disapprove the Department's order, it shall become effective on the 31st day after transmittal to the President, or within any longer time period established in the order.
A Statement of Authorization may be canceled or made subject to additional terms, conditions, or limitations, at any time, with or without hearing, if the Department finds that it is in the public interest to do so. An order canceling or conditioning a Statement of Authorization shall be submitted to the President for stay or disapproval and shall become effective on the 31st day after transmittal or within any longer time period established by the Department.
As used in this part, unless the context otherwise requires:
Affiliate of a carrier means a person:
(1) Who controls that carrier, or is controlled by that carrier or by another person who controls or is controlled by that carrier; and
(2) Whose principal business in purpose or in fact is:
(i) The holding of stock in one or more carriers;
(ii) Transportation by air or the sale of tickets therefor;
(iii) The operation of one or more airports, one or more of which are used by that carrier or by another carrier who controls or is controlled by that carrier or that is under common control with that carrier by another person; or
(iv) Activities related to the transportation by air conducted by that carrier or by another carrier that controls or is controlled by that carrier or which is under common control with that carrier by another person.
Air carrier means the holder of a certificate of public convenience and necessity issued by the Department under 49 U.S.C. 41102 authorizing the carriage of persons. This definition is applicable to a holder of a certificate issued by the Civil Aeronautics Board before its sunset in 1984.
Attendant means any person required by a passenger with a disability in order to travel, whether or not that person's services are required while the passenger with a disability is in an aircraft.
Carrier means:
(1) An air carrier;
(2) An all-cargo air carrier operating under 49 U.S.C. 41102, 41103;
(3) A foreign air carrier;
(4) An intrastate carrier;
(5) An air taxi (including a commuter air carrier) operating under part 294 or 298 of this chapter; and
(6) Any person operating as a common carrier by air, or in the carriage of mail by air, or conducting transportation by air, in a foreign country.
Delivery flight means a flight from a point in the United States where a carrier has taken delivery of a newly manufactured aircraft to any point or points on its route system.
Foreign air carrier means the holder of a permit issued by the Department under 49 U.S.C. 41302 authorizing the carriage of persons. This definition is applicable to a holder of a certificate issued by the Civil Aeronautics Board before its sunset in 1984.
Free transportation means the carriage by an air carrier or foreign air carrier of any person or property (other than property owned by that carrier) in air transportation without compensation therefore.
Inaugural flight means a flight on an aircraft type being introduced by a carrier for the first time on a route, even if that aircraft type has been used by that carrier on other routes or on that route by other carriers.
Passenger with a disability means any person who has a physical or mental impairment (other than drug addiction or alcoholism), that substantially limits one or more major life activities.
Pass means a written authorization, other than actual ticket stock, issued by a carrier for free or reduced-rate transportation of persons or property.
Reduced-rate transportation means the carriage by an air carrier or foreign air carrier of any person or property (other than property owned by such carrier) in air transportation for a compensation less than that specified in the tariffs of that carrier on file with the Department and otherwise applicable to such carriage.
Retired means:
(1) With respect to carrier directors, officers, and employees, persons receiving retirement benefits from any carrier; and
(2) With respect to the general public, persons not regularly working at a full-time paying job, and not intending to do so in the future.
(a) Any all-cargo carrier is exempted from 49 U.S.C. 41102 to the extent necessary to carry, for purposes of in-flight observation, technical representatives of companies that have been engaged in the manufacture, development, or testing of aircraft or aircraft equipment.
(b) Every carrier providing transportation under this section shall also comply with the applicable regulations of the Federal Aviation Administration such as regulations pertaining to admission of persons to the aircraft flight deck.
Every air carrier shall carry, without charge, on any aircraft that it operates, the following persons:
(a) Security guards who have been assigned to the duty of guarding such aircraft against unlawful seizure, sabotage or other unlawful interference, upon the exhibition of such credentials as may be prescribed by the Administrator of the Federal Aviation Administration;
(b) Safety inspectors of the National Transportation Safety Board or of the Federal Aviation Administration who have been assigned to the duty of inspecting during flight such aircraft or its equipment, route facilities, operational procedures, or airman competency upon the exhibition of credentials or a certificate from the agency involved in authorizing such transportation; and
(c) Postal employees on duty in charge of the mails or traveling to or from such duty, upon the exhibition of the credentials issued by the Postmaster General.
Any pass authorizing free or reduced-rate transportation issued by a carrier may be made transferable to the extent specified by the granting carrier.
The Federal Aviation Administration, National Transportation Safety Board, National Weather Service, and the Postal Service shall be responsible for the following:
(a) The issuance of any credentials or certificates to their personnel eligible for free or reduced-rate transportation under this part; and
(b) The promulgation of any internal rules that are necessary to obtain compliance by such personnel with this part.
(a) Each air carrier and foreign air carrier shall maintain at its principal office either a copy or all instructions to its employees and of all company rules governing its practice in connection with the issuance and interchange of free and reduced-rate transportation passes or a statement describing those practices.
(b) The rules or statement required by this section shall, at a minimum, include the following:
(1) The titles of its officials upon whose authorizations passes may be issued;
(2) The titles of other officials who are authorized by these officials to countersign passes on their behalf, and the extent of the authority granted to them; and
(3) The titles of persons who are authorized to request passes from other carriers.
(c) The rules, instructions, or statement required by this section shall be furnished to the Department upon request or to a member of the public upon payment of a reasonable charge for this service.
Air carriers may charge any rate or fare for interstate and overseas air transportation.
(a) Any air carrier or foreign air carrier may provide free or reduced-rate foreign air transportation to any classes of persons specifically named in 49 U.S.C. 41511 or free transportation to those named in § 375.35 of this chapter.
(b) Air carriers and foreign air carriers may offer reduced fares for foreign air transportation to ministers of religion, the elderly, retired, and handicapped passengers, and to attendants required by handicapped passengers, but shall file tariffs for such fares. Carriers may establish reasonable tariff rules to assist in identifying those who qualify for reduced fares.
Air carriers and foreign air carriers are exempted from 49 U.S.C. 41510 and 41310(b) and part 221 of this chapter to the extent necessary to provide free or reduced-rate foreign air transportation, including passes, to the following:
(a) Directors, officers, employees, and retirees and members of their immediate families, of any carrier or of any affiliate of such carrier, subject to the requirements of § 223.25.
(b) Persons to whom the carrier is required to furnish such transportation by law or government directive or by a contract or agreement between the carrier and the government of any country served by the carrier. The Department may, without prior notice, direct the carrier to file a tariff covering such transportation if it finds that the law or government directive in question requires the provision of such transportation. This transportation may be provided only if:
(1) The contract or agreement is filed with the Department, and it is not disapproved by the Department; and
(2) The law or government directive does not require the furnishing of such transportation to the general public or any segment thereof.
(c) Technical representatives of companies that have been engaged in the manufacture, development or testing of a particular type of aircraft or aircraft equipment, when the transportation is provided for the purposes of in-flight observation, and subject to applicable regulations of the Federal Aviation Administration such as regulations pertaining to admission of persons to the aircraft flight deck.
(d) Any person in return for goods or services provided by such person whether the transportation is used by that person or any designee of such person;
(e) Persons engaged in promoting transportation and their immediate families, when such transportation is undertaken for a promotional purpose;
(f) Persons being transported on an inaugural flight or delivery flight of the carrier except that, in the case of delivery flights, this exemption extends only to free, and not reduced-rate, transportation;
(g) Any law-enforcement official, including any person who has the duty of guarding government officials traveling on official business against unlawful interference;
(h) As compensation to persons that file a complaint or claim against the carrier;
(i) Charitable organizations; and
(j) Any person in an aviation-related occupation when the transportation is provided for the purpose of technical in-flight observation.
(a) Any air carrier or foreign air carrier desiring special authorization to provide free or reduced-rate foreign air transportation to persons to whom the carrier would not otherwise be authorized to furnish such transportation under the previous provisions of this part may apply to the Department, by letter or other writing, for such authorization.
(b) The application shall include the following information:
(1) The identity of the persons to whom the transportation is to be furnished;
(2) The points between which the transportation is to be furnished;
(3) The approximate time of departure; and
(4) The carrier's reasons for desiring to furnish such transportation.
(c) No transportation for which approval is required shall be furnished by the carrier until that approval is received by the carrier.
Any carrier authorized to engage in foreign air transportation may transport in foreign air transportation empty air mail bags from any country to the country of origin of such bags, free of charge, on a voluntary space-available basis.
(a) Each carrier shall maintain at its principal office a list containing all of that carrier's affiliates, showing the exact relationship of each affiliate to the carrier.
(b) No pass may be issued under § 223.22(a) to a director, officer, employee, or members of their immediate family, of any affiliate, unless that affiliate is on the list required by paragraph (a) of this section.
(c) The list required by paragraph (a) of this section shall be furnished to the Department upon request.
The reporting requirements contained in this part have been approved by the Office of Management and Budget under control number 2138-0041.
The purpose of this part is to set forth required data that certain air carriers must submit to the Department and to computer reservations system vendors in computerized form, except as otherwise provided, so that information on air carriers' quality of service can be made available to consumers of air transportation. This part also requires that service quality data be disclosed directly to consumers.
For the purpose of this part:
Cancelled flight means a flight operation that was not operated, but was listed in a carrier's computer reservation system within seven calendar days of the scheduled departure.
Discontinued flight means a flight dropped from a carrier's computer reservation system more than seven calendar days before its scheduled departure.
Diverted flight means a flight which is operated from the scheduled origin point to a point other than the scheduled destination point in the carrier's published schedule. For example, a carrier has a published schedule for a flight from A to B to C. If the carrier were to actually fly an A to C operation, the A to B segment is a diverted flight, and the B to C segment is a cancelled flight.
Extra-section flight means a flight conducted as an integral part of scheduled passenger service, that has not been provided for in published schedules and is required for transportation of traffic that cannot be accommodated on the regularly scheduled flight.
Flight means any nonstop scheduled passenger flight segment with a specific flight number scheduled to be operated pursuant to a published schedule within a specific origin-destination city pair, other than transborder or foreign air transportation. In the case of reporting to computer reservations system vendors, flight also means one-stop or multi-stop single plane scheduled operations that include any flight segments for which performance is reported pursuant to this part.
Late or late flight means a flight that arrives at the gate 15 minutes or more after its published arrival time.
Mishandled-baggage report means a report filed with a carrier by or on behalf of a passenger that claims loss, delay, damage or pilferage of baggage.
Mishandled checked bag means a checked bag that is lost, delayed, damaged or pilfered, as reported to a carrier by or on behalf of a passenger.
New flight means a flight added to a carrier's schedule to operate in a specific origin-destination city pair and not scheduled to depart within 30 minutes of any discontinued flight that was contained in the carrier's published schedules for the same city pair during the previous month.
On-time means a flight that arrives less than 15 mintues after its published arrival time.
On-time performance means the percentage of scheduled operations of a specific flight that an air carrier operates on-time during a month.
On-time performance code means a single character determined in accordance with the provisions of this part that reflects the monthly on-time performance of certain nonstop flights and single plane one-stop or multi-stop flights, the schedule and availability of which are listed in a computer reservation system (CRS) regulated by 14 CFR part 255.
Reportable flight. (1) Reportable flight for air transportation taking place before January 1, 2018 means any nonstop flight, including a mechanically delayed flight, to or from any airport within the contiguous 48 states that accounts for at least 1 percent of domestic scheduled-passenger enplanements in the previous calendar year, as reported to the Department pursuant to part 241 of this title. Qualifying airports will be specified periodically in accounting and reporting directives issued by the Office of Airline Information.
(2) Reportable flight for air transportation taking place on or after January 1, 2018 means any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out to the public under the reporting carrier's code, to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102. Qualifying airports will be specified periodically in accounting and reporting directives issued by the Office of Airline Information.
Reporting carrier. (1) Reporting carrier for air transportation taking place before January 1, 2018 means an air carrier certificated under 49 U.S.C. 41102 that accounted for at least 1 percent of domestic scheduled-passenger revenues in the most recently reported 12-month period as defined by the Department's Office of Airline Information, and as reported to the Department pursuant to part 241 of this title. Reporting carriers will be identified periodically in accounting and reporting directives issued by the Office of Airline Information.
(2) Reporting carrier for air transportation taking place on or after January 1, 2018 means an air carrier certificated under 49 U.S.C. 41102 that accounted for at least 0.5 percent of domestic scheduled-passenger revenus in the most recently reported 12-month period as defined by the Department's Office of Airline Information, and as reported to the Department pursuant to part 241 of this chapter. Reporting carriers will be identified periodically in accounting and reporting directives issued by the Office of Airline Information.
For air transportation taking place before January 1, 2018, this part applies to reportable flights as defined in § 234.2 that are held out to the public by certificated air carriers that account for at least 1 percent of domestic scheduled passenger revenues. As stated in § 234.7, certain provisions also apply to voluntary reporting of on-time performance by carriers. For air transportation taking place on or after January 1, 2018, this part applies to reportable flights as defined in § 234.2 that are held out to the public by certificated air carriers that account for at least 0.5 percent of domestic scheduled passenger revenues. As stated in § 234.7, certain provisions also apply to voluntary reporting of on-time performance by carriers.
(a) Each reporting carrier shall file BTS Form 234 “On-Time Flight Performance Report” with the Office of Airline Information of the Department's Bureau of Transportation Statistics on a monthly basis, setting forth the information for each of its reportable flights operated by the reporting carrier and held out to the public on the reporting carrier's Web site and the Web sites of major online travel agencies, or in other generally recognized sources of schedule information. (See also paragraph (k) of this section.) The reportable flights include, but are not limited to, cancelled flights, mechanically cancelled flights, diverted flights, new flights and wet-leased flights. The report shall be made in the form and manner set forth in accounting and reporting directives issued by the Director, Office of Airline Statistics, and shall contain the following information:
(1) Carrier and flight number.
(2) Aircraft tail number.
(3) Origin and Destination airport codes.
(4) Published OAG departure and arrival times for each scheduled operation of the flight.
(5) CRS scheduled arrival and departure time for each scheduled operation of the flight.
(6) Actual departure and arrival time for each operation of the flight.
(7) Difference in minutes between OAG and CRS scheduled arrival times.
(8) Difference in minutes between OAG and CRS scheduled departure times.
(9) Actual wheels-off and wheels-on times for each operation of the flight.
(10) Date and day of week of scheduled flight operation.
(11) Scheduled elapsed time, according to CRS schedule.
(12) Actual elapsed time.
(13) Amount of departure delay, if any.
(14) Amount of arrival delay, if any.
(15) Amount of elapsed time difference, if any.
(16) Causal code for cancellation, if any.
(17) Minutes of delay attributed to the air carrier, if any.
(18) Minutes of delay attributed to extreme weather, if any.
(19) Minutes of delay attributed to the national aviation system, if any.
(20) Minutes of delay attributed to security, if any.
(21) Minutes of delay attributed to a previous late arriving aircraft, if any.
(22) For gate returns, first gate-departure time at origin airport.
(23) Total ground time away from gate for all gate/air returns at origin airport, including cancelled flights—actual minutes.
(24) Longest time away from gate for gate return or cancelled flight.
(25) Three-letter code of airport where diverted flight landed.
(26) Wheels-on time at diverted airport.
(27) Total time away from gate at diverted airport.
(28) Longest period of time away from gate at diverted airport.
(29) Wheels-off time at diverted airport.
(b) Repeat fields (25) through (29) for each subsequent diverted airport landing.
(c) When reporting the information specified in paragraph (a) of this section for diverted flights, a reporting carrier shall use the original scheduled flight number and the origin and destination airport codes except for item (25).
(d) A reporting carrier shall report the information specified in paragraph (a) of this section for a new flight beginning with the first day of the new scheduled operation.
(e) A reporting carrier shall not report the information specified in paragraph (a) of this section for any discontinued or extra-section flight.
(f) Actual arrival, departure and elapsed times shall be measured by the times at which the aircraft arrived at and departed from the gate or passenger loading area.
(g) The published arrival time and departure time of a flight shall be, respectively, the scheduled arrival and departure times in effect on the date of the scheduled operation of the flight, as shown in the most recent Official Airline Guide, and in computer reservations systems. Each carrier shall designate a single computer reservations system in addition to the Official Airline Guide as the sources of scheduled arrival time and departure time data in its reports to the Department and shall report the scheduled arrival times and departure times listed in those sources for each flight. Scheduled elapsed times, amount of departure and/or arrival delay, and elapsed time difference shall be calculated using the scheduled times shown in the designated CRS source.
(h) Reporting carriers should use the following codes to identify causes for cancelled flights:
(1) Air Carrier cancellations are due to circumstances that were within the control of the air carrier (e.g., lack of flight crew, maintenance, etc.).
(2) Extreme weather cancellations are caused by weather conditions (e.g., significant meteorological conditions), actual or forecasted at the point of departure, en route, or point of arrival that, in accordance with applicable regulatory standards and/or in the judgment of the air carrier, prevents operation of that flight and/or prevents operations of subsequent flights due to the intended aircraft being out of position as a result of a prior cancellation or delay attributable to weather.
(3) NAS cancellations are caused by circumstances within the National Aviation System. This term is used to refer to a broad set of conditions: weather-non-extreme, airport operations, heavy traffic volume, air traffic control, etc.
(4) Security cancellations may be the result of malfunctioning screening or other security equipment or a breech of security that causes the evacuation of the airport or individual concourses, or the need to re-screen passengers.
(i) Reporting carriers should use the following causes to identify the reasons for delayed flights:
(1) Air carrier delays are due to circumstances within the control of the air carrier.
(2) Extreme weather delays are caused by weather conditions (e.g., significant meteorological conditions, actual or forecasted at the point of departure, en route, or point of arrival that, in accordance with applicable regulatory standards and/or in the judgment of the air carrier, prevents operation of that flight and/or prevents operations of subsequent flights due to the intended aircraft being out of position as a result of a prior cancellation or delay attributable to weather.
(3) NAS delays are caused by circumstances within the National Aviation System. This term is used to refer to a broad set of conditions: weather-non-extreme, airport operations, heavy traffic volume, air traffic control, etc.
(4) Security delays may be the result of malfunctioning screening or other security equipment or a breech of security that causes the evacuation of the airport or individual concourses or the need to re-screen passengers.
(5) Late arriving aircraft delays are the result of a late incoming aircraft from the previous flight.
(j) When reporting causal codes in paragraph (a) of this section, reporting carriers are required to code delays only when the arrival delay is 15 minutes or greater; and reporting carriers must report each causal component of the reportable delay when the causal component is 5 minutes or greater.
(k) For air transportation taking place on or after January 1, 2018, each reporting carrier shall also file a separate BTS Form 234 “On-Time Flight Performance Report” with the Office of Airline Information on a monthly basis, setting forth the information for each of its reportable flights held out with only the reporting carrier's airline designator code on the reporting carrier's Web site, on the Web sites of major online travel agencies, or in other generally recognized sources of schedule information, and operated by any code-share partner that is a certificated air carrier or commuter air carrier. If the operating carrier of the flight is not a reporting carrier, the non-operating reporting carrier must file a BTS Form 234 “On-time Flight Performance Report” with the Office of Airline Information on a monthly basis, setting forth the information regarding those flights in a form and manner consistent with the requirements set forth in paragraph (a) through (j) of this section. If the operating carrier of the flight is a reporting carrier, the non-operating reporting carrier must file a simplified BTS Form 234 “On-Time Flight Performance Report” with the Office of Airline Information on a monthly basis, setting forth the information regarding those flights in a form and manner consistent with the requirements set forth in paragraph (a)(1) through (a)(4) and paragraph (a)(10) of this section, and in accordance with the requirements set forth in accounting and reporting directives issued by the Office of Airline Information.
Except where otherwise noted, all reports required by this part shall be filed within 15 days of the end of the month for which data are reported. The reports must be submitted to the Office of Airline Information in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Assistant Director for Airline Information.
(a) For air transportation taking place before January 1, 2019, an air carrier certificated under 49 U.S.C. 41102 that accounts for at least 1 percent of domestic scheduled-passenger revenues in the most recently reported 12-month period as defined by the Department's Office of Airline Information, and as reported to the Department pursuant to part 241 of this title shall, for the flights it operates, report monthly to the Department on a domestic system basis, excluding charter flights, the total number of passengers enplaned system-wide and the total number of mishandled-baggage reports filed with the carrier for any nonstop flight, including a mechanically delayed flight, to or from any airport within the contiguous 48 states that accounts for at least 1 percent of domestic scheduled-passenger enplanements in the previous calendar year, as reported to the Department pursuant to part 241 of this title.
(b) For air transportation taking place on or after January 1, 2019, an air carrier certificated under 49 U.S.C. 41102 that accounts for at least 0.5 percent of domestic scheduled-passenger revenues in the most recently reported 12-month period as defined by the Department's Office of Airline Information, and as reported to the Department pursuant to part 241 of this title shall report monthly to the Department on a domestic system basis, excluding charter flights:
(1) The total number of checked bags enplaned, including gate checked baggage, “valet bags,” interlined bags, and wheelchairs and scooters enplaned in the aircraft cargo compartment for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, operated by the carrier to or from any U.S. large, medium, small or non-hub airport as defined in 49 U.S.C. 41702 and separately for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out with only the carrier's designator code to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102 and operated by any code-share partner that is a certificated air carrier or commuter air carrier;
(2) The total number of wheelchairs and scooters that were enplaned in the aircraft cargo compartment for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, operated by the carrier to or from any U.S. large, medium, small or non-hub airport as defined in 49 U.S.C. 41702 and separately for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out with only the carrier's designator code to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102 and operated by any code-share partner that is a certificated air carrier or commuter air carrier;
(3) The number of mishandled checked bags, including gate-checked baggage, “valet bags,” interlined bags and wheelchairs and scooters that were enplaned in the aircraft cargo compartment for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, operated by the carrier to or from any U.S. large, medium, small or non-hub airport as defined in 49 U.S.C. 41702 and separately for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out with only the carrier's designator code to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102 and operated by any code-share partner that is a certificated air carrier or commuter air carrier; and
(4) The number of mishandled wheelchairs and scooters that were enplaned in the aircraft cargo compartment for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, operated by the carrier to or from any U.S. large, medium, small or non-hub airport as defined in 49 U.S.C. 41702 and separately for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out with only the carrier's designator code to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102 and operated by any code-share partner that is a certificated air carrier or commuter air carrier.
(c) The information in paragraphs (a) and (b) of this section shall be submitted to the Department within 15 days after the end of the month to which the information applies and must be submitted with the transmittal accompanying the data for on-time performance in the form and manner set forth in accounting and reporting directives issued by the Director, Office of Airline Information.
(a) In addition to the data for each reportable flight required to be reported by this part, a reporting carrier may report to DOT for every other nonstop domestic flight that it schedules, the reportable flight data specified in this part.
(b) Any air carrier that is not a reporting carrier may file the data specified in this part for every reportable flight that it schedules, or for every nonstop domestic flight that it schedules.
(c) Voluntary reports containing information not required to be filed (1) must be submitted in the same form and manner, and at the same time, as reports containing data required to be filed, and (2) must be accompanied by a written statement describing in detail the information that is being voluntarily submitted. A carrier that files a voluntary report must continue to do so for a period of not less than 12 consecutive months.
(a) Each reporting carrier shall calculate an on-time performance code in accordance with this section and as provided in more detail in accounting and reporting directives issued by the Director, Office of Airline Information. The calculations shall be performed for each reportable flight, except those scheduled to operate three times or less during a month. In addition, each reporting carrier shall assign an on-time performance code to each of its single plane one-stop or multi-stop flights, or portion thereof, that the carrier holds out to the public through a CRS, the last segment of which is a reportable flight.
(b) The on-time performance code shall be calculated as follows:
(1) Based on reportable flight data provided to the Department, calculate the percentage of on-time arrivals of each nonstop flight. Calculations shall not include discontinued or extra-section flights for which data are not reported to the Department.
(2) Based upon the on-time performance percentage calculated in paragraph (b)(1) of this section, assign a single digit code to each flight that reflects the percentile of on-time performance achieved by the flight, as set forth in the following table:
On Time Performance
| Code: | Percentage |
|---|---|
| 9 | 90-100 |
| 8 | 80-89.9 |
| 7 | 70-79.9 |
| 6 | 60-69.9 |
| 5 | 50-59.9 |
| 4 | 40-49.9 |
| 3 | 30-39.9 |
| 2 | 20-29.9 |
| 1 | 10-19.9 |
| 0 | 0-9.9 |
(3) For a one-stop or multi-stop flight, or portion thereof, listed in a CRS, the performance code for the nonstop flight segment arriving at the destination listed in the CRS shall be used.
(4) In the case of a new flight, carriers shall assign a performance code consisting of the letter “N.” A flight that is not a new flight shall be assigned the performance code calculated for the flight that it replaces, even if the two flights do not have the same flight number. In the case of a flight scheduled to operate three times or less during a month, carriers shall assign a performance code consisting of the letter “U.”
(c) Carriers shall calculate on-time performance percentages and assign on-time performance codes on a monthly basis. This process shall be completed no later than the 15th day of each month, when the reports required by this part are due to the Department, and the codes shall reflect the previous month's operations.
No later than the 15th day of each month, each reporting carrier shall deliver, or arrange to have delivered, to each system vendor, as defined in 14 CFR part 255, the on-time performance codes required to be determined above. Carriers may report the codes by insuring that they are included in basic schedule tapes provided to CRS vendors or by providing a separate tape that will permit the CRS vendors to match the performance codes with basic schedule tapes.
(a) Any air carrier may determine, in accordance with the provisions of § 234.8 of this part, the on-time performance codes for the flights for which it voluntarily provides flight information to the Department pursuant to § 234.7 of this part.
(b) A carrier may supply these additional on-time performance codes to system vendors at the same time and in the same manner as the required disclosures are made to system vendors, provided that voluntary disclosures must continue for a period of not less than 12 consecutive months, and must be supplied either
(1) For each of the carrier's reportable flights and each of its single plane one-stop or multi-stop flights, or portions thereof, that it holds out to the public through a CRS, the last segment of which is a reportable flight or
(2) For each of the carrier's domestic flights.
(a) During the course of reservations or ticketing discussions or transactions, or inquiries about flights, between a carrier's employees or contractors and the public, the carrier shall disclose upon reasonable request the on-time performance code for any flight that has been assigned a code pursuant to this part.
(b) For each domestic flight for which schedule information is available on its Web site, including domestic code-share flights, a reporting carrier shall display the following information regarding the flight's performance during the most recent calendar month for which the carrier has reported on-time performance data to the Department: the percentage of arrivals that were on time—i.e., within 15 minutes of scheduled arrival time, the percentage of arrivals that were more than 30 minutes late (including special highlighting if the flight was late more than 30 minutes of scheduled arrival time more than 50 percent of the time), and the percentage of flight cancellations if 5 percent or more of the flight's operations were canceled in the month covered. The information must be provided by showing all of the required information on the initial listing of flights or by showing all of the required information via a prominent hyperlink in close proximity to each flight on the page with the initial listing of flights.
(c) The first time each carrier must load the information whose disclosure is required under paragraphs (a) and (b) of this section onto its Web site is on Saturday, July 24, 2010, for June data. Carriers must load all subsequent flight performance information on the fourth Saturday of the month following the month that is being reported.
(d) A reporting carrier must meet the requirements of paragraphs (b) and (c) of this section by June 29, 2010.
Any carrier may request a waiver from the reporting requirements of this part. Such a request, at the discretion of the Director, Bureau of Transportation Statistics may be granted for good cause shown. The requesting party shall state the basis for such a waiver.
For the purposes of this part:
Air transport includes the entire period during which an animal is in the custody of an air carrier, from the time that the animal is tendered to the air carrier prior to departure until the air carrier tenders the animal to the owner, guardian or representative of the shipper of the animal at the animal's final destination. It does not include animals that accompany a passenger at his or her seat in the cabin and of which the air carrier does not take custody.
Animal means any warm- or cold-blooded animal which, at the time of transportation, is being kept as a pet in a family household in the United States and any dog or cat which, at the time of transportation, is shipped as part of a commercial shipment on a scheduled passenger flight, including shipments by trainers and breeders.
This part applies to the scheduled domestic and international passenger service of any U.S. air carrier that operates such service with at least one aircraft having a designed seating capacity of more than 60 passenger seats. The reporting requirements of this part apply to all scheduled-service passenger flights of such carriers, including flights that are operated with aircraft having 60 or fewer seats.
(a) Each covered carrier shall, within 15 days after the end of the month to which the information applies, submit to the United States Department of Transportation's Aviation Consumer Protection Division a report on any incidents involving the loss, injury, or death of an animal during air transport provided by the air carrier, including incidents on flights by that carrier that are operated with aircraft having 60 or fewer seats. The report shall be made in the form and manner set forth in reporting directives issued by the Deputy General Counsel for the U.S. Department of Transportation and shall contain the following information:
(1) Carrier and flight number;
(2) Date and time of the incident;
(3) Description of the animal, including name, if known;
(4) Name and contact information of the owner(s), guardian, and/or shipper of the animal;
(5) Narrative description of the incident;
(6) Narrative description of the cause of the incident;
(7) Narrative description of any corrective action taken in response to the incident; and
(8) Name, title, address, and telephone number of the individual filing the report on behalf of the air carrier.
(b) Within 15 days after the end of December of each year, each covered carrier shall submit the following information (this information may be included in any report that the carrier may file for the loss, injury, or death of animals during the month of December):
(1) The total number of incidents involving an animal during air transport provided by the air carrier for the entire calendar year, including incidents on flights by that carrier that are operated with aircraft having 60 or fewer seats. The report shall include subtotals for loss, injury, and death of animals. Report “0” for any category for which there were no such incidents. If the carrier had no reportable incidents for that calendar year, it shall report “0” in each category. Covered carriers shall use the following data table when reporting the total number of animal incidents during air transport provided by the air carrier for the entire calendar year:
| Total number in the calendar year | |
|---|---|
| Deaths | |
| Injuries | |
| Loss |
(2) The total number of animals transported in the calendar year. If the carrier did not transport any animals for that calendar year, it shall report “0.”
(3) The December report must contain the following certification signed by the carrier's authorized representative: “I, the undersigned, do certify that this report has been prepared under my direction in accordance with the regulations in 14 CFR part 235. I affirm that, to the best of my knowledge and belief, this is a true, correct and complete report.”
(a) In the exercise of the authority granted by 49 U.S.C. 41709, the authority of any special agent or auditor to inspect and examine lands, buildings, equipment, accounts, records, memorandums, papers or correspondence shall include the authority to make such notes and copies thereof as he or she deems appropriate.
(b) The terms “special agent” and “auditor” are construed to mean any employee of the Office of Aviation Enforcement and Proceedings and any other employee of the Department specifically designated by it or by the Director, Office of Security.
(c) The issuance in the form set forth in this paragraph (c) of an identification card and credentials to any such employee shall be construed to be an order and direction of the Department to such individual to inspect and examine lands, buildings, equipment, accounts, records, and memorandums in accordance with the authority conferred on the Department by 49 U.S.C. Subtitle VII.
The bearer of this credential whose name and photograph appear hereon is authorized to enter upon, to inspect, and examine lands, buildings (including airport facilities), and equipment (including aircraft) of air carriers and foreign air carriers, and to inspect and copy records and papers of air carriers, foreign air carriers and ticket agents, in performance of his/her duties under 49 U.S.C. 41709, related acts, and regulations of the Department.
Upon the demand of a special agent or auditor of the Department, and upon the presentation of the identification card and credentials issued to him or her in accordance with this part: Any air carrier or foreign air carrier shall forthwith permit such special agent or auditor to inspect and examine all lands, buildings and equipment; any air carrier, foreign air carrier or ticket agent shall forthwith permit such special agent or auditor to inspect and examine all accounts, records, memorandums, documents, papers and correspondence now or hereafter existing, and kept or required to be kept by the air carrier, foreign air carrier, or ticket agent, and shall permit such special agent or auditor to make such notes and copies thereof as he or she deems appropriate.
Account, clearing. An account used as a medium for the temporary accumulation of costs that are redistributed to appropriate applicable accounts.
Acquisition, date of. The date on which the title to owned property or equipment (or the right to use or control the reassignment of leased property or equipment) passes to the air carrier.
Addition, property. Additional equipment, land, structures, and other tangible property; extensions of fuel, water, and oil distribution equipment; additions to buildings and other structures; and additional safety devices applied to equipment not previously thus equipped. (See also Modification.)
Affiliated group. A combination of companies comprised of the air carrier, any person controlling the air carrier or under common control with the air carrier, and organizational divisions (as defined in sections 1-6) of and persons controlled by the air carrier.
Agency, cargo. Any person (other than the air carrier preforming the direct air transportation or one of its bona fide regular employees or an indirect air carrier lawfully engaged in air transportation under authority conferred by any applicable part of the Economic Regulations of the Department) who for compensation or profit: (1) Solicits, obtains, receives or furnishes directly or indirectly property or consolidated shipments of property for transportation upon the aircraft of an air carrier subject to this part, or (2) procures or arranges for air transportation of property upon aircraft of an air carrier subject to this part by charter, lease, or any other arrangement.
Agent, ticket. Any person (other than the air carrier performing the direct air transportation or one of its bona fide regular employees, or an air carrier which subcontracts the performance of charter air transportation which it has contracted to perform) who for compensation or profit: (1) Solicits, obtains, receives, or furnishes directly or indirectly passengers or groups of passengers for transportation upon the aircraft of an air carrier subject to this part, or (2) procures or arranges for air transportation of passengers or groups of passengers upon aircraft of an air carrier subject to this part by charter, lease, or any other arrangement.
Agreement. Any oral or written agreement, contract, understanding, or arrangement, and any amendment, revision, modification, renewal, extension, cancellation or termination thereof.
Air carrier. Any citizen of the United States who undertakes, whether directly or indirectly or by a lease or any other arrangement, to engage in air transportation.
Air carrier, charter. An air carrier holding a certificate issued under 49 U.S.C. 41102(a)(3).
Air carrier, large certificated. An air carrier holding a certificate issued under 49 U.S.C. 41102, as amended, that: (1) Operates aircraft designed to have a maximum passenger capacity of more than 60 seats or a maximum payload capacity of more than 18,000 pounds; or (2) conducts operations where one or both terminals of a flight stage are outside the 50 states of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the U.S. Virgin Islands.
Air carrier, surviving. An entity (air carrier) which, as the result of a business combination, has acquired the net assets, and carries on the operations of, one or more predecessor air carriers, and which may be newly organized at the time of the combination or may be one of the predecessor air carriers.
Aircraft. Any contrivance now known or hereafter invented, used or designed for navigation of or flight in the air.
Aircraft days assigned to service-carrier's equipment means the number of days that aircraft owned or acquired through rental or lease are in the possession of the reporting air carrier and are available for service on the reporting carrier's routes plus the number of days such aircraft are in service on routes of others under wet-lease agreements. Includes days in overhaul, or temporarily out of service due to schedule cancellations. Excludes days that newly acquired aircraft are on hand but not available for productive use, days dry-leased or rented to others, and days in possession but formally withdrawn from air transportation service.
Aircraft day assigned to service-carrier routes—same as aircraft days assigned to service carrier's equipment but excluding the number of days owned or rented equipment are in the possession of others under interchange agreements and including the number of days aircraft of others are in the possession of the air carrier under interchange agreements.
Aircraft, leased (rented). Aircraft obtained from (or furnished to) others under lease or rental arrangements. Leased and rented aircraft do not include those used under interchange agreements designed to provide oneplane service over the routes of the air carriers involved.
Aircraft type. A distinctive model as designated by the manufacturer.
Airport. A landing area regularly used by aircraft for receiving or discharging passengers or cargo.
Airport, alternate. An approved airport to which a flight may proceed if a landing at the airport to which the flight was dispatched becomes inadvisable.
Airport-to-airport distance. The great circle distance between airports, measured in statute miles in accordance with part 247 of this chapter.
Air transportation. The carriage by aircraft of persons, property, or mail.
Air transportation, charter. Air transportation authorized pursuant to 49 U.S.C. 41102.
Airworthiness (or Airworthy). When applied to a particular aircraft or component part, it denotes the ability of such aircraft or component part to perform its function satisfactorily through a range of operations determined by the Federal Aviation Administration.
Allocate. To assign an item or group of items of investment, revenue, or cost to an object, activity, process, or operation, in accordance with cost responsibilities, benefits received, or other measure of apportionment.
Allocation, bases of. Bases of distribution whereby revenues, expenses, and/or costs are equitably apportioned among revenue, expense, property and equipment, and other accounts.
Amortization. The gradual extinguishment of an amount in an account by distributing such amount over a fixed period, over the life of the asset or liability to which it applies or over the period during which it is anticipated the benefit will be realized.
Asset, contingent. An asset the existence, value, or ownership of which depend upon the occurrence or nonoccurrence of a specific event or upon the performance or nonperformance of a specified act.
Associated company. A company in which the accounting air carrier holds 5 percent or more of the outstanding proprietary interest; or a company which holds 5 percent or more of the outstanding proprietary interest of the accounting air carrier; or a company that, directly or through one or more intermediaries, controls or is controlled by, or is under common control with the accounting air carrier. Companies owned or controlled jointly with other air carriers shall be regarded as associated companies for purposes of this system of accounts. (See also Control.)
Betterment. Any improvement to property or equipment through the substitution of superior parts for inferior parts retired, the object of which is to make such property more useful or of greater capacity than at the time of acquisition or installation. (See also Modification.)
BTS. The Bureau of Transportation Statistics.
Cargo. All traffic other than passengers.
Cargo transported. Cargo on board each flight stage.
Certificated point. A city, place or population center authorized to receive scheduled air service under a Certificate of Public Convenience and Necessity or under an exemption issued to an air carrier.
Certificate of Public Convenience and Necessity. A certificate issued to an air carrier under 49 U.S.C. 41102, by the Department of Transportation authorizing the carrier to engage in air transportation.
Company, predecessor. An air carrier whose net assets and operations have been taken over by one or more other air carriers.
Compensation (of personnel). Remuneration to air carrier employees for personal services. Includes salaries, wages, overtime pay, cost-of-living differentials, bonuses, etc., as distinguished from per diem allowances or reimbursement for expenses incurred by personnel for the benefit of the air carrier.
Continental United States. The 48 contiguous States and the District of Columbia.
Control (including the terms Controlling, Controlled by, and Under common control). The possession, directly or indirectly, of the power positively to direct, or cause the direction of or negate the direction of, the management and policies of a company, whether such power is through one or more intermediary companies or alone or in conjunction with or pursuant to an agreement, and whether such power is established through a majority or minority ownership or voting of securities, common directors, officers, or stockholders, voting trusts, holding trusts, associated companies, contract, or any other direct or indirect means.
Controlling person. (See Person Controlling an air carrier)
Cost. The amount of cash (or its equivalent) actually paid for property, materials and supplies, and services, including that amount paid to put the property or materials and supplies in readiness for use. It includes such items as transportation charges, installation charges, and customs duties, less any cash or other discounts.
Cost, book. The amount at which an asset is recorded in an account without the deduction of amounts in related allowances or other accounts.
Cost, depreciated. The cost of property and equipment less the related allowances for depreciation.
Cost, removal. The cost of demolishing, dismantling, tearing down, or otherwise removing property and equipment, including the cost of related transportation and handling.
Debt, expense on. Expenses incurred by or for the air carrier in connection with the issuance and sale of evidences of debt (exclusive of the sale of reacquired securities), such as fees for drafting mortgages and trust deeds; fees and taxes for issuing or recording evidences of debt; cost of engraving and printing bonds, certificates of indebtedness, and other commercial paper; specific costs of obtaining governmental authority for issuance and filing notices thereunder; fees for legal services; fees and commissions paid underwriters, brokers, and salesmen for marketing such evidences of debt; fees and expenses of listing on exchanges; and other like costs.
Deferred taxes. Tax effects which are deferred for allocation to income tax expense of future periods.
Department. Department of Transportation.
Departures completed, percent scheduled. The percent of scheduled departures that were performed.
Departures completed, scheduled. The number of takeoffs performed at each airport pursuant to published schedules, exclusive of extra sections to scheduled departures.
Departure performed. A takeoff made at an airport.
Departure, scheduled. A takeoff scheduled at an airport, as set forth in published schedules.
Depreciation (of depreciable property and equipment). The loss in service value, not restored by current maintenance, incurred in the course of service from causes known to be in current operation, against which the carrier is not protected by insurance, and the effect of which can be forecast with reasonable accuracy. The causes of depreciation include wear and tear, decay, action of the elements, inadequacy, obsolescence, changes in the art, changes in demand, and requirements of public authorities.
Discount (of securities issued or assumed by the air carrier). The excess of (1) the par or stated value of securities over (2) the then current money value of the consideration received from their sale less the amount included for dividends or for interest accrued.
DOT. Department of Transportation.
Equipment. Tangible property other than land, structures, and improvements.
Equity security. Any instrument representing ownership shares (for example, common, preferred, and other capital stock), or the right to acquire (for example, warrants, rights, and call options) or dispose of (for example, put options) ownership shares in an enterprise at fixed or determinable prices. The term does not encompass preferred stock that by its terms either must be redeemed by the issuing enterprise or is redeemable at the option of the investor, nor does it include treasury stock or convertible bonds.
Equivalent unit. A new unit substituted for an existing unit that is worn out, is damaged beyond repair, or has become inadequate in service, the substituted unit having substantially no greater capacity than the unit for which substituted.
Estimated economic life of leased property. The estimated remaining period during which the property is expected to be economically usable by one or more users, with normal repairs and maintenance, for the purpose for which it was intended at the inception of the lease, without limitation by the lease term.
Expense, capital stock. Expenses incurred by or for the air carrier in connection with the initial issuance and sale of capital stock (exclusive of the sale of reacquired capital stock), such as fees and commissions paid to promoters, underwriters, brokers, and salesmen; fees for legal services; cost of soliciting subscriptions for capital stock; including fees, commissions, and advertising; specific costs of obtaining governmental authority for issuance and filing notices thereunder; fees and taxes for issuance of capital stock and listing on exchanges; and the cost of preparing, engraving, printing, issuing, and distributing prospectuses and stock certificates.
Flight, developmental. A flight for (1) the development of a new route either prior or subsequent to certification by the Department of Transportation; (2) the extension of an existing route; or (3) the integration of a new type of aircraft or service.
Flight, extra section. A flight, conducted as an integral part of scheduled service, that has not been provided for in published schedules and is required for transportation of traffic that cannot be accommodated on a regularly scheduled flight. Flights made in ferrying aircraft to meet schedules, or for similar operational reasons, are not extra sections and are classified as nonrevenue flights even if an occasional shipment, as a matter of special accommodation, is on board.
Flight, ferry. A flight for the purpose of returning an aircraft to base, equipment equalization, or moving an aircraft to and from a maintenance base.
Flight, paid positioning. A flight for the purpose of positioning an empty aircraft in connection with a charter flight for which a specific charge is set forth in a tariff or contract for application directly to the positioning miles operated. Such flights are considered revenue flights for Form 41 reporting purposes.
Flight, personnel training. A flight for the purpose of obtaining flying time for flight personnel or a flight in connection with a personnel training program.
Flight stage. The operation of an aircraft from takeoff to landing. For purposes of classifying flight stages as between “domestic”, “territorial”, and “international”, technical stops are disregarded. (See Stops, technical.)
Freight. Property, other than mail, transported by air.
Generally accepted accounting principles (GAAP). The body of authoritative accounting knowledge governing the recording, presenting and disclosing of financial transactions, as incorporated in the pronouncements of the Financial Accounting Standards Board.
Group basis (in depreciation accounting). A plan under which (1) depreciation is based upon the application of a single depreciation rate to the total book cost of all property included in a given depreciable property and equipment account or class, despite differences in service life of individual items of property and equipment, (2) the full original cost, less any salvage realized, of an item of depreciable property or equipment retired is charged to the allowance for depreciation regardless of the age of the item, and (3) no gain or loss is recognized on the retirement of individual items of property or equipment.
Horsepower, maximum continuous for reciprocating engines. The brake horsepower developed in standard atmosphere at a specified altitude and under the maximum conditions of crankshaft rotational speed and engine manifold pressure, and approved for use during periods of unrestricted duration.
Horsepower, maximum continuous for turbine engines. The brake horsepower developed at specified altitudes, atmospheric temperatures, and flight speeds and under the maximum conditions of rotor shaft rotational speed and gas temperature, and approved for use during periods of unrestricted duration.
Thrust, maximum continuous for turbine engines. The jet thrust developed at specified altitudes, atmospheric temperatures, and flight speeds and under the maximum conditions of rotor shaft rotational speed and gas temperature, and approved for use during periods of unrestricted duration.
Hours, aircraft. The airborne hours of aircraft computed from the moment an aircraft leaves the ground until it touches the ground at the end of a flight.
Hours flown, revenue aircraft. The aircraft hours of flights performed in revenue service.
Hours in capitalized projects, aircraft. Aircraft hours applicable to ferrying newly acquired aircraft from the factory, to capitalized extension and development preoperating projects and to other costs which have been capitalized.
Hours per aircraft per day—carrier's equipment, revenue. Average hours of productive use per day in revenue service of reporting carrier's equipment determined by dividing (1) Aircraft days assigned to service—carrier's equipment into (2) Revenue aircraft hours minus Revenue hours on other carrier's interchange equipment plus Total hours by others on the carrier's interchange equipment.
Hours per aircraft per day—carrier's routes, revenue. Average hours of productive use per day in revenue service on reporting carrier's routes determined by dividing (1) Aircraft days assigned to service-carrier's routes into (2) Revenue aircraft hours.
Hours, ramp-to-ramp. The aircraft hours computed from the moment the aircraft first moves under it own power for purposes of flight, until it comes to rest at the next point of landing.
Improvement. An addition or alteration to land, a building, or a unit of equipment that results in a better piece of property, in the sense of greater durability, or in increased productivity or efficiency. (See also Modification.)
Income tax expense. The amount of income taxes (whether or not currently payable or refundable) allocable to a period in the determination of net income.
Income taxes. Taxes based on income determined under provisions of the United States Internal Revenue Code and foreign, State, and other taxes (including franchise taxes) based on income.
Insurance, self. The assumption by an air carrier of a risk of loss or liability arising from an accident or other contingent event.
Interchange agreement. An agreement under which aircraft of one air carrier are utilized to provide one-plane service over its own routes and the routes of other air carriers.
Interperiod tax allocation. The process of apportioning income taxes among periods.
Inventory, perpetual. A book inventory kept in continuous agreement with stock on hand by means of a detailed record.
Investor controlled company (for purposes of applying the equity method of accounting). Any business entity in which the accounting air carrier is able to exercise significant influence over operating and financial policies of the issuing company. Significant influence will be presumed, unless established to the contrary by waiver request, with ownership of 20 percent or more of the outstanding voting capital stock. Ability to exercise influence may be indicated in several ways, such as representation on the Board of Directors, participation in policy-making processes, material intercompany transactions, interchange of managerial personnel, or technological dependency. Investor controlled companies shall also be regarded as associated companies for purposes of this system of accounts (see also Associated company).
Item, delayed. An item relating to transactions that occurred during a prior accounting period and that requires further accounting treatment for a true statement of financial condition or operating results. It includes adjustments of errors in the operating revenue, operating expense, and other income accounts for prior periods.
Liability, contingent. A possible source of obligation of an air carrier dependent upon the fulfillment of conditions regarded as uncertain.
Load, available. Represents the maximum salable load. It is the allowable gross weight less the empty weight, less all justifiable aircraft equipment, and less the operating load (consisting of minimum fuel load, oil, flight crew, steward's supplies, etc.). For passenger aircraft, the available load must not exceed the weight of the maximum number of passengers who can be accommodated in the seats installed in the aircraft plus the weight of the traffic that can be accommodated in the cargo space.
Load, average revenue. The average total revenue tons carried in revenue services, determined by dividing total revenue ton-miles by aircraft miles flown in revenue services.
Load, average revenue passenger. Average number of revenue passengers carried in passenger services, determined by dividing revenue passenger-miles by aircraft miles flown in revenue passenger services.
Load factor, over-all revenue. The percent that total revenue ton-miles (passenger plus nonpassenger) are of available ton-miles in revenue services.
Load factor, revenue passenger. The percent that revenue passenger-miles are of available seat-miles in revenue passenger services.
Load, minimum fuel. The minimum quantity of fuel with which an aircraft may be dispatched in accordance with the safety operating needs of the air carrier.
Load, salable. (See Load, available.)
Mail, nonpriority. All mail for which transportation by air is provided on a space available basis.
Mail, priority. All mail for which transportation by air is provided on a priority basis.
Mile. A statute mile (5,280 feet).
Miles completed, percent scheduled aircraft. The percent of scheduled aircraft miles which were performed.
Miles completed, scheduled aircraft. The aircraft miles performed on scheduled flights computed between only those scheduled points actually served.
Miles flown, aircraft. The miles (computed in airport-to-airport distances) for each flight stage actually completed, whether or not performed in accordance with the scheduled pattern. For this purpose, operation to a flag stop is a stage completed even though a landing is not actually made. In cases where the interairport distances are inapplicable, aircraft miles flown are determined by multiplying the normal crusing speed for the aircraft type by the airborne hours.
Miles flown, nonrevenue aircraft. The aircraft miles flown on nonrevenue flights, such as ferry (including empty backhauls to MAC one-way charters), personnel training, extension and development, and abortive revenue flights.
Miles, revenue aircraft. The aircraft miles flown in revenue service.
Miles, scheduled aircraft. The sum of the airport-to-airport distances of all flights scheduled to be performed over the air carrier's certificated routes pursuant to published flight schedules. Flights listed in the published schedules for operation only as extra sections, when traffic warrants, are excluded.
Modification. An alteration in a structure or unit of equipment that changes its design and is made to correct an error, increase production, improve efficiency of operation, or for some other reason.
Obsolescence. The process of becoming out of date due to progress of the arts and sciences, changed economic conditions, legislation, etc., which ultimately results in the retirement or other disposition of property.
Off-Line. Installations maintained or facilities used for other than scheduled certificated air services.
On-Line. Installations maintained or facilities used in conducting scheduled certificated air services.
Domestic. Flight stages with both terminals within the 50 States of the United States and the District of Columbia.
Territorial. Flight stages with both terminals within territory under U.S. jurisdiction where at least one of the terminals is not within a State or the District of Columbia.
International. Flight stages with one or both terminals outside of territory under U.S. jurisdiction.
Operations, systems. The over-all operations of an air carrier including all of the operating entities of an air carrier having multiple operations.
Passenger-mile. One passenger transported 1 mile. Passenger-miles are computed by multiplying the aircraft miles flown on each flight stage by the number of passengers transported on that stage.
Passenger-mile, nonrevenue. One nonrevenue passenger transported one mile.
Passenger-mile, revenue. One revenue passenger transported one mile.
Passenger, nonrevenue. A person traveling free or under token charges, except those expressly named in the definition of revenue passenger; a person traveling at a fare or discount available only to employees or authorized persons of air carriers or their agents or only for travel on the business of the carriers; and an infant who does not occupy a seat. (This definition is for 14 CFR part 241 traffic reporting purposes and may differ from the definitions used in other parts by the Federal Aviation Administration and the Transportation Security Administration for the collection of Passenger Facility Charges and Security Fees.)
The definition includes, but is not limited to following examples of passengers when traveling free or pursuant to token charges:
(1) Directors, officers, employees, and others authorized by the air carrier operating the aircraft;
(2) Directors, officers, employees, and others authorized by the air carrier or another carrier traveling pursuant to a pass interchange agreement;
(3) Travel agents being transported for the purpose of familiarizing themselves with the carrier's services;
(4) Witnesses and attorneys attending any legal investigation in which such carrier is involved;
(5) Persons injured in aircraft accidents, and physicians, nurses, and others attending such persons;
(6) Any persons transported with the object of providing relief in cases of general epidemic, natural disaster, or other catastrophe;
(7) Any law enforcement official, including any person who has the duty of guarding government officials who are traveling on official business or traveling to or from such duty;
(8) Guests of an air carrier on an inaugural flight or delivery flights of newly-acquired or renovated aircraft;
(9) Security guards who have been assigned the duty to guard such aircraft against unlawful seizure, sabotage, or other unlawful interference;
(10) Safety inspectors of the National Transportation Safety Board or the FAA in their official duties or traveling to or from such duty;
(11) Postal employees on duty in charge of the mails or traveling to or from such duty;
(12) Technical representatives of companies that have been engaged in the manufacture, development or testing of a particular type of aircraft or aircraft equipment, when the transportation is provided for the purpose of in-flight observation and subject to applicable FAA regulations;
(13) Persons engaged in promoting air transportation;
(14) Air marshals and other Transportation Security officials acting in their official capacities and while traveling to and from their official duties; and
(15) Other authorized persons, when such transportation is undertaken for promotional purpose.
Passenger, revenue. A passenger for whose transportation an air carrier receives commercial remuneration. (This definition is for 14 CFR part 241 traffic reporting purposes and may differ from the definitions used in other parts by the Federal Aviation Administration and the Transportation Security Administration for the collection of Passenger Facility Charges and Security Fees.) This includes, but is not limited to, the following examples:
(1) Passengers traveling under publicly available tickets including promotional offers (for example two-for-one) or loyalty programs (for example, redemption of frequent flyer points);
(2) Passengers traveling on vouchers or tickets issued as compensation for denied boarding or in response to consumer complaints or claims;
(3) Passengers traveling at corporate discounts;
(4) Passengers traveling on preferential fares (Government, seamen, military, youth, student, etc.);
(5) Passengers traveling on barter tickets; and
(6) Infants traveling on confirmed-space tickets.
Passengers transported. Passengers on board each flight stage.
Person controlling an air carrier. Any person, as defined in 49 U.S.C. 40102, whom the Department has found, in any proceeding, to control an air carrier, or who holds, directly or indirectly, the legal or beneficial ownership of more than 50 percent of the outstanding voting capital stock or capital of an air carrier, and who does not make a proper showing to the Department that he or she does not control the carrier despite such stock ownership, shall be deemed to be a person controlling the carrier for the purpose of this part. A brokerage firm which holds record ownership of securities merely for the convenience of the customer beneficially owning the stock shall not be deemed a person controlling an air carrier.
Premium (as applied to securities issued or assumed by the air carrier). The excess of (1) the then current money value of the consideration received from their sale, less the amount included therein for dividends or interest accrued, over (2) their par or stated value.
Pretax accounting income. Income or loss for a period exclusive of related income tax expense.
Property (as applied to traffic). (See Cargo.)
Replacement. Substitution of new for existing facilities that are worn out, damaged beyond repair, or have become inadequate in service.
Reporting carrier for T-100 purposes means the air carrier in operational control of the flight, i.e., the carrier that uses its flight crew under its own FAA operating authority.
Residual value. The predetermined portion of the cost of a unit of property or equipment excluded from depreciation. It shall represent a fair and reasonable estimate of recoverable value as at the end of the service life over which the property or equipment is depreciated and shall give due consideration to the proceeds anticipated from disposition of the property or equipment and the extent to which costs attaching to property or equipment are otherwise recoverable through charges against income.
Retirement. The permanent withdrawal of assets from services of the corporate entity through sale, abandonment, demolition, or other disposal.
Retirement, date of. The date on which property or equipment is permanently withdrawn from services of the corporate entity.
Route, certificated. The route(s) over which an air carrier is authorized to provide air transportation by a Certificate of Public Convenience and Necessity issued by the Department of Transportation pursuant to 49 U.S.C. 41102. This definition is applicable to an air carrier issued a Certificate of Public Convenience by the Civil Aeronautics Board before its sunset in 1984.
Salvage value. The amount received for property retired, less the expenses incurred in connection with the sale or in the preparation of the property for sale; or, if retained, the amount at which the material recovered is charged to materials and supplies or other appropriate account.
Seats available. Installed seats in an aircraft (including seats in lounges) exclusive of any seats not offered for sale to the public by the carrier; provided that in no instance shall any seat sold be excluded from the count of available seats.
Seats, average available. The average number of seats available for passengers, determined by dividing available seat-miles by revenue aircraft miles flown in passenger service.
Seat-miles available, revenue. The aircraft miles flown on each flight stage multiplied by the number of seats available for revenue use on that stage.
Section 41103 cargo operations. The carriage, pursuant to 49 U.S.C. 41103, by aircraft of property and/or mail as a common carrier for compensation or hire in commerce between a place in any State of the United States, or the District of Columbia, or Puerto Rico, or the U.S. Virgin Islands, and a place in any other of those entities, or between places in the same State or other entity through the air-space over any place outside thereof, or between places within the District of Columbia, Puerto Rico, or the U.S. Virgin Islands. This includes commerce moving partly by aircraft and partly by other forms of transportation, as well as commerce moving wholly by aircraft.
Segment, service. A pair of points served or scheduled to be served by a single stage of at least one flight within any given time period.
Service, charter. Nonscheduled air transport service in which the party receiving transportation obtains exclusive use of an agreed upon portion of the total capacity of an aircraft with the remuneration paid by the party receiving transportation accruing directly to, and the responsibility for providing transportation is that of, the accounting air carrier.
Service, coach (tourist). Transport service specifically established for the carriage of passengers at special reduced passenger fares that are predicated on both the operation of specifically designated aircraft space and a reduction in the quality of service regularly and ordinarily provided.
Service, first class. Transport service established for the carriage of passengers moving at either standard fares or premium fares, or at reduced fares not predicated upon the operation of specifically allocated aircraft space, and for whom standard or premium quality services are provided.
Service life. The period between the date of installation of property or equipment and its date of retirement.
Service, mixed. Transport service for the carriage of both first-class and coach passengers on the same aircraft.
Service, nonpassenger. Transport service established for the carriage of traffic other than passengers.
Service, nonscheduled. Includes transport service between points not covered by Certificates of Public Convenience and Necessity issued by the Department of Transportation to the air carrier; services pursuant to the charter or hiring of aircraft; other revenue services not constituting an integral part of the services performed pursuant to published schedules; and related nonrevenue flights.
Service, passenger-cargo. Transport service established for the carriage of passengers which may also be used jointly for the transportation of cargo.
Service, scheduled. Transport service operated pursuant to published flight schedules, including extra sections and related nonrevenue flights.
Service, transport. The operation of facilities for the carriage of traffic by air.
Services, all. The total of scheduled and nonscheduled transport services.
Stop, flag. A point on an air carrier's operating system that is scheduled to be served only when traffic is to be picked up or discharged.
Stops, technical. Aircraft landing made for purposes other than enplaning or deplaning traffic. For purposes of identifying reporting entities, landings made for stopover passengers are regarded as technical stops.
Tariff, published. A publication containing fares and rates applicable to the transportation of persons or cargo and rules relating to or affecting such fares or rates of transportation, filed with the Department of Transportation.
Taxable income. The excess of revenues over deductions or the excess of deductions over revenues to be reported for income tax purposes for a period.
Tax effects. Differentials in income taxes of a period attributable to (1) revenue or expense transactions which enter into the determination of pretax accounting income in one period and into the determination of taxable income in another period, (2) deductions or credits that may be carried backward or forward for income tax purposes, and (3) adjustments of prior periods (or of the opening balance of retained earnings) and direct entries to other stockholders' equity accounts which enter into the determination of taxable income in a period but which do not enter into the determination of pretax accounting income of that period. A permanent difference does not result in a “tax effect” as the term is used in this System of Accounts and Reports.
Ton. A short ton (2,000 pounds).
Ton-mile. One ton transported 1 mile. Ton-miles are computed by multiplying the aircraft miles flown on each flight stage by the number of tons transported on that stage.
Ton-mile, nonrevenue. One ton of nonrevenue traffic transported 1 mile.
Ton-mile, passenger. One ton of passenger weight (including all baggage) transported 1 mile. (See also Weight, passenger.)
Ton-mile, revenue. One ton of revenue traffic transported 1 mile.
Ton-miles available, revenue. The aircraft miles flown on each flight stage multiplied by the ton capacity available for use on that stage.
Traffic, deplaned. A count of the number of passengers getting off and tons of cargo unloaded from an aircraft. For this purpose, passengers and cargo on aircraft leaving a carrier's system on interchange flights are considered as deplaning and the interchange point; and passengers and cargo moving from one operation to another operation of the same carrier, for which separate reports are required by the Department of Transportation, are considered as deplaning at the junction point.
Traffic, enplaned. A count of the number of passengers boarding and tons of cargo loaded on an aircraft. For this purpose, passengers and cargo on aircraft entering a carrier's system on interchange flights are considered as enplaning at the interchange point; and passengers and cargo moving from one operation to another operation of the same carrier, for which separate reports are required by the Department of Transportation, are considered as enplaning at the junction point.
Traffic, nonrevenue. Passengers and cargo transported by air for which no remuneration or token service charges are received by the air carrier. Airline employees, officers and directors, or other persons, except for ministers of religion, who are traveling under reduced-rate transportation authorized by 49 U.S.C. 41511(a) and 14 CFR part 223, as well as travel agents, cargo agents, and tour conductors traveling at reduced fares are also considered nonrevenue traffic.
Traffic office. A facility where air transportation is sold, and related processes of documentation and reservation confirmation are performed.
Traffic, revenue. Passengers and cargo transported by air for which remuneration is received by the air carrier. Airline employees, officers and directors, or other persons, except for ministers of religion, who are traveling under reduced-rate transportation authorized by 49 U.S.C. 41511(a) and 14 CFR part 223, travel agents, cargo agents, and tour conductors traveling at reduced fares, and other passengers and cargo carried for token service charges, are not considered as revenue traffic.
Transportation, free. The carriage of any person or cargo (other than cargo owned by the air carrier) without compensation.
Unit basis (in depreciation accounting). A plan under which depreciation expenses is accrued upon the basis of the book cost of the individual item of property in relation to the service life and salvage value of the particular item.
Value, service. The difference between the book cost and the residual value of property and equipment.
Weight, allowable gross. The maximum gross weight (of the aircraft and its contents) which an aircraft is licensed to carry into the air on each flight stage.
Weight, average available. The average capacity available for revenue traffic, determined by dividing available ton-miles by aircraft miles in revenue service.
Weight, empty. The weight of the airframe, engines, propellers, and fixed equipment of an aircraft. Empty weight excludes the weight of the crew and payload, but includes the weight of all fixed ballast, unusable fuel supply, undrainable oil, total quantity of engine coolant, and total quantity of hydraulic fluid.
Weight, passenger. For the purposes of this part, a standard weight of 200 pounds per passenger (including all baggage) is used for all civil operations and classes of service. Other weights may be prescribed in specific instances upon the initiative of the Department of Transportation or upon a factually supported request by an air carrier.
Wet-Lease Agreement means an agreement under which one carrier leases an aircraft with flight crew to another air carrier.
(a) All large certificated air carriers are placed into three basic air carrier groupings based upon their level of operations and the nature of these operations. In order to determine the level of operations, total operating revenues for a twelve-month period are used. The following operating revenue ranges are used to establish air carrier groupings:
| Carrier Group | Total Annual Operating Revenues |
|---|---|
| I | 0-$100,000,000 |
| II | $100,000,001-$1,000,000,000 |
| III | $1,000,000,001 + |
For reporting purposes, Group I air carriers are further divided into two subgroups: (1) Air carriers with total annual operating revenues from $20,000,000 to $100,000,000 and (2) Air carriers with total annual operating revenues below $20,000,000.
(b) Both the criteria for establishing air carrier groupings and the assignment of each air carrier to a specific group of carriers will be reviewed periodically by the Director, Office of Airline Information, to assure the maintenance of appropriate standards for the grouping of carriers. When an air carrier's level of operations passes the upper or lower limit of its currently assigned carrier grouping, the carrier is not automatically transferred to a different group and a new level of reporting. The Office of Airline Information will issue an updated listing of the carrier groups on an annual basis. A carrier may petition for reconsideration of its assigned carrier grouping or request a waiver from the accounting and reporting requirements that are applicable to a particular group under the provisions of section 1-2 of this Uniform System of Accounts and Reports.
Each large certificated air carrier shall keep its books of account, records and memoranda and make reports to the BTS in accordance with this system of accounts and reports. The BTS reserves the right, however, under the provisions of sections 49 U.S.C. 41701 and 41708, to expand or otherwise modify the classes of carriers subject to this system of accounts and reports.
A waiver from any provision of this system of accounts or reports may be made by the BTS upon its own initiative or upon the submission of written request therefor from any air carrier, or group of air carriers, provided that such a waiver is in the public interest and each request for waiver expressly demonstrates that: existing peculiarities or unusual circumstances warrant a departure from a prescribed procedure or technique; a specifically defined alternative procedure or technique will result in a substantially equivalent or more accurate portrayal of operating results or financial condition, consistent with the principles embodied in the provisions of this system of accounts and reports; and the application of such alternative procedure will maintain or improve uniformity in substantive results as between air carriers.
(a) This system of accounts and reports is designed to permit limited contraction or expansion to reflect the varying needs and capacities of different air carriers without impairing basic accounting comparability as between air carriers. In its administration three air carrier groups, designated Group I, Group II, and Group III, respectively (see section 04), are established by the BTS. This grouping will be reviewed from time to time upon petition of individual air carriers or by initiative of the BTS with the view of a possible regrouping of the air carriers.
(b) Under the system of accounts prescribed, balance sheet elements are accounted for by all air carrier groups within a fixed uniform pattern of specific accounts. All profit and loss elements are accounted for within specific objective accounts established for each air carrier group resulting from dual classifications, designated for each air carrier group, which are descriptive of both basic areas of financial activity, or functional operation, and objective served. The profit and loss elements of the three air carrier groups can be reduced to broad objectives and general or functional classifications which are comparable for all air carrier groups. Both balance sheet and profit and loss accounts and account groupings are designed, in general, to embrace all activities, both air transport and other than air transport, in which the air carrier engages and provide for the separation of elements identifiable exclusively with other than air transport activities. Profit and loss elements which are recorded during the current accounting year are subclassified as between (1) those which relate to the current accounting year and adjustments of a recurrent nature applicable to prior accounting years, and (2) extraordinary items of material magnitude.
(c) In order to afford air carriers as much flexibility and freedom as possible in establishing ledger and subsidiary accounts to meet their individual needs, a minimum number of account subdivisions have been prescribed in this Uniform System of Accounts. It is intended, however, that each air carrier, in maintaining its accounting records, will provide subaccount and subsidiary account segregations of accounting elements which differ in nature of accounting characteristics, in a manner which will render individual elements readily discernible and traceable throughout the accounting system, and will provide for relating profit and loss elements to applicable balance sheet counterparts.
(a) A four digit control number is assigned for each balance sheet and profit and loss account. Each balance sheet account is numbered sequentially, within blocks, designating basic balance sheet classifications. The first two digits of the four digit code assigned to each profit and loss account denote a detailed area of financial activity or functional operation. The first two digits, thus assigned to each profit and loss account, are numbered sequentially within blocks, designating more general classifications of financial activity and functional operation. The second two digits assigned to profit and loss accounts denote objective classifications.
(b) A fifth digit, appended as a decimal, has been assigned for internal control by the BTS of prescribed subdivisions of the primary objective balance sheet and profit and loss classifications. A different fifth digit code number from that assigned by the BTS may be adopted for internal recordkeeping by the air carrier provided the prescribed subclassification of objective accounts is not impaired and the code number assigned by the BTS is employed in reporting to the BTS on Form 41 Reports.
(a) The general books of account and all books, records, and memoranda which support in any way the entries therein shall be kept in such manner as to provide at any time full information relating to any account. The entries in each account shall be supported by such detailed information as will render certain the identification of all facts essential to a verification of the nature and character of each entry and its proper classification under the prescribed Uniform System of Accounts. Registers, or other appropriate records, shall be maintained of the history and nature of each note receivable and each note payable.
(b) The books and records referred to herein include not only accounting records in a limited technical sense, but all other records such as organization tables and charts, internal accounting manuals and revisions thereto, minute books, stock books, reports, cost distributions and other accounting work sheets, correspondence, memoranda, etc., which may constitute necessary links in developing the history of, or facts regarding, any accounting or financial transaction.
(c) All books, records and memoranda shall be preserved and filed in such manner as to readily permit the audit and examination thereof by representatives of the DOT. All books, records, and memoranda shall be housed or stored in such manner as to afford protection from loss, theft, or damage by fire, flood or otherwise and no such books and records shall be destroyed or otherwise disposed of, except in conformance with 14 CFR part 249 for the preservation of records.
(a) Separate accounting records shall be maintained for each air transport entity for which separate reports to the BTS are required to be made by sections 21(g) and for each separate corporate or organizational division of the air carrier. For purposes of this Uniform System of Accounts and Reports, each nontransport entity conducting an activity which is not related to the air carrier's transport activities and each transport-related activity or group of activities qualifying as a nontransport venture pursuant to paragraph (b) of this section, whether or not formally organized within a distinct organizational unit, shall be treated as a separately operated organizational division; except that provisions of this paragraph and paragraph (b) shall not apply to leasing activities.
(b) As a general rule, any activity or group of activities comprising a transport-related service provided for in transport-related revenue and expense accounts 09 through 18 shall be considered a separate nontransport venture under circumstances in which either: (1) A separate corporate or legal entity has been established to perform such services, (2) the aggregate annual revenue rate, as determined in section 2-1(d), during either of the prior two years exceeds the greater of $1 million per annum or one percent of the air carrier's total annual transport revenues, or (3) the aggregate annual expense rate, as determined in section 2-1(d), during either of the prior two years exceeds the greater of $1 million or one percent of the carrier's total annual operating expenses: Provided, That revenues and expenses from in-flight sales, and interchange sales shall be considered related to air transportation and accounted for accordingly, regardless of the revenue or expense standard set forth above.
(c) The records for each required accounting entity shall be maintained with sufficient particularity to permit a determination that the requirements of section 2-1 have been complied with.
To the end that uniform accounting may be maintained, questions involving matters of accounting significance which are not clearly provided for should be submitted to the Director, Office of Airline Information, K-25, Bureau of Transportation Statistics, for explanation, interpretation, or resolution.
Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(a) The accounting provisions contained in this part are based on generally accepted accounting principles (GAAP). Persons subject to this part are authorized to implement, as prescribed by the Financial Accounting Standards Board, newly issued GAAP pronouncements until and unless the Director, Office of Airline Information (OAI), issues an Accounting Directive making an initial determination that implementation of a new pronouncement would adversely affect the Department's programs.
(b) The Director, OAI, shall review each newly issued GAAP pronouncement to determine its affect on the Department's regulatory programs. If adopting a specific change in GAAP would adversely affect the Department's programs, the Director will issue the results of the review in the form of an Accounting Directive. The directive will state the reasons why the particular change should not be incorporated in the uniform system of accounts and contain accounting guidance for maintaining the integrity of the Department's air carrier accounting provisions.
(c) Objections and comments relating to the Department's decision not to implement a change in generally accepted principles may be addressed to Director, Office of Airline Information, K-25, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. If significant objections are raised urging adoption of a particular GAAP pronouncement, the Department will institute a rulemaking.
(a) The provisions of this section shall apply to each person controlling an air carrier, each person controlled by the air carrier, as well as each transport entity and organizational division of the air carrier for which separate records must be maintained pursuant to section 1-6.
(b) Each transaction shall be recorded and placed initially under accounting controls of the particular air transport entity or organizational division of the air carrier or member of an affiliated group to which directly traceable. If applicable to two or more accounting entities, a proration shall be made from the entity of original recording to other participating entities on such basis that the statements of financial condition and operating results of each entity are comparable to those of distinct legal entities. The allocations involved shall include all debits and credits associated with each entity.
(c) For purposes of this section, investments by the air carrier in resources or facilities used in common by the regulated air carrier and those transport-related revenue services defined as separate nontransport ventures under section 1-6(b) shall not be allocated between such entities but shall be reflected in total in the appropriate accounts of the entity which predominately uses those investments. Where the entity of predominate use is a nontransport venture, the air carrier shall reflect the investment in account 1510.3, Advances to Associated Companies.
(d) For purposes of this Uniform System of Accounts and Reports, all revenues shall be assigned to or apportioned between accounting entities on bases which will fully recognize the services provided by each entity, and expenses, or costs, shall be apportioned between accounting entities on such bases as will result: (1) With respect to transport-related services, in the assignment thereto of proportionate direct overheads, as well as direct labor and materials, of the applicable expense functions prescribed by this system of accounts and reports, and (2) with respect to separate ventures, in the assignment thereto of proportional general and administrative overheads as well as the direct overheads, labor, and materials.
(a) Revenues and expenses attributable to a single natural objective account or functional classification shall be assigned accordingly.
(b) Revenue and expense items which are common to two or more natural objective accounts shall be recorded in the objective accounts to which they predominantly relate.
(c) Expense items contributing to more than one function shall be charged to the general overhead functions to which applicable except that where only incidental contribution is made to more than a single function an item may be included in the function to which primarily related, provided such function is not distorted by including an aggregation of amounts applicable to other functions. When assignment of expense items on the basis of the primary activity to which related does not in the aggregate result in a fair presentation of the expenses applicable to each function, apportionment shall be made between functions based upon a study of the contribution to each function during a representative period.
(a) The accounting year of each air carrier subject to this Uniform System of Accounts shall be the calendar year unless otherwise approved by the BTS.
(b) Each air carrier shall keep its financial accounts and records on a full accrual basis for each quarter so that all transactions, as nearly as may reasonably be ascertained, shall be fully reflected in the air carrier's books for the quarter in which revenues have been earned and the costs attaching to the revenues so earned in each quarter have been incurred independently of the incidence of sales or purchases and settlement with debtors or creditors.
(c) Expenditures incurred during the current accounting year which demonstrably benefit operations to be performed during subsequent accounting years to a significant extent shall be deferred and amortized to the period in which the related operations are performed when of sufficient magnitude to distort the accounting results of the year in which incurred.
(d) Expenditures charged directly or amortized to operations within one accounting year shall not be reversed in a subsequent accounting year and reamortized or charged directly against operations of subsequent years except that retroactive adjustments are permitted where necessary to conform with adjustments required by the DOT for ratemaking purposes.
(a) Revenue accounting practices shall conform to the provisions of account 2160, Air Traffic Liability.
(b) Each route air carrier shall physically verify the reliability of its passenger revenue accounting practice at least once each accounting year.
(c) For those carriers who use the yield or average-fare method to determine earned revenue, the analysis supporting the verification shall include:
(1) The cutoff date for the liability to be verified; such cutoff date shall be at the end of a calendar month.
(2) The number of months after the cutoff date during which documents were examined to verify the liability; the number of months after the cutoff date during which documents are examined shall not exceed the maximums set forth below:
| Class of carrier | Maximum months 1 |
|---|---|
| TWA | 18 |
| Trunks (except TWA) | 12 |
| All other route air carriers | 6 |
1 Applies only to carriers on a yield or average-fare basis.
(3) The nature of the documents which were examined for purposes of the verification.
(4) The totals for each of the various types of documents examined, on actual or sampling basis.
(5) A description of the sampling technique and conversion to totals, if sampling was employed.
(6) The amount and basis for all estimates employed in the verification.
(7) The amount of resulting adjustments and the quarter in which such adjustments were, or are to be, made in the accounts.
(d) For those carriers who use the sales-lift match method to determine earned revenue, the analysis supporting the physical inventory verification shall include:
(1) The cutoff date for the liability to be verified; such cutoff date shall be at the end of a calendar month.
(2) A trial balance as of the cutoff date of all subaccounts supporting the Air Traffic Liability control account; the subsidiary trial balance must agree with the Air Traffic Liability control account or a reconciliation statement furnished.
(3) A statement to the effect that a sales listing of the value of all unmatched auditor coupons has been compiled and compared to the general ledger control figure; the statement required by this subparagraph shall indicate whether or not the value of the unmatched coupons is in agreement with the general ledger. If the sales listing is not in agreement with the Air Traffic Liability control account, the amount of such difference shall be shown on such statement.
[See footnotes at end of table]
| Name of account | General classification | |
|---|---|---|
| Current assets: | ||
| Cash | 1010 | |
| Short-term investments | 1100 | |
| Notes receivable | 1200 | |
| Accounts receivable | 1270 | |
| Allowance for uncollectible accounts | 1290 | |
| Spare parts and supplies | 1300 | |
| Allowance for obsolescence—Spare parts and supplies | 1311 | |
| Prepaid items | 1410 | |
| Other current assets | 1420 | |
| Investments and special funds: | ||
| Investments in associated companies | 1510 | |
| Investments in investor controlled companies | 1510. | |
| Investments in other associated companies | 1510. | |
| Advances to associated companies | 1510. | |
| Other investments and receivables | 1530 | |
| Special funds | 1550 | |
| Property and equipment | 1600-1700 | |
| Operating | Nonoperat- | |
| ing | ||
| Airframes | 1601 | 1701 |
| Airframes | 1601. | 1701. |
| Unamortized airframe overhauls | 1601. | 1701. |
| Aircraft engines | 1602 | 1702 |
| Aircraft engines | 1602. | 1702. |
| Unamortized aircraft engine overhauls | 1602. | 1702. |
| Improvements to leased flight equipment | 1607 | 1707 |
| Flight equipment rotable parts and assemblies | 1608 | 1708 |
| Airframe parts and assemblies |
1 1608. |
1 1708. |
| Aircraft engine parts and assemblies |
1 1608. |
1 1708. |
| Other parts and assemblies |
1 1608. |
1 1708. |
| Flight equipment | 1609 | 1709 |
| Allowance for depreciation: | ||
| Airframes | 1611 | 1711 |
| Aircraft engines | 1612 | 1712 |
| Improvements to leased flight equipment | 1617 | 1717 |
| Flight equipment rotable parts and assemblies | 1618 | 1718 |
| Flight equipment airworthiness allowance | 2 1629 | 2 1729 |
| Equipment | 1630 | 1730 |
| Furniture, fixtures and office equipment | 1636 | 1736 |
| Improvements to leased buildings and equipment | 1639 | 1739 |
| General classification | ||
| Buildings | 1640 | 1740 |
| Maintenance buildings and improvements | 1640. | 1740. |
| Other buildings and improvements | 1640. | 1740. |
| Ground property and equipment | 1649 | 1749 |
| Allowance for depreciation: | ||
| Equipment | 1650 | 1750 |
| Improvements to leased buildings and equipment | 1654 | 1754 |
| Furniture, fixtures, and office equipment | 1656 | 1756 |
| Buildings | 1660 | 1760 |
| Maintenance buildings and improvements | 1660. | 1760. |
| Other buildings and improvements | 1660. | 1760. |
| Allowance for depreciation of flight equipment and ground property and equipment, and amortization of overhaul and airworthiness costs | 1668 | 1768 |
| Land | 1679 | 1779 |
| Equipment purchase deposits and advance payments | 1685 | 1785 |
| Construction work in progress | 1689 | 1789 |
| Leased property under capital leases | 1695 | 1795 |
| Capital leases—flight equipment | 1695. | 1795. |
| Capital leases—other property and equipment | 1695. | 1795. |
| Leased property under capital leases, accumulated amortization | 1696 | 1796 |
| Accumulated amortization—capitalized flight equipment | 1696. | 1796. |
| Accumulated amortization—capitalized other property and equipment | 1696. | 1796. |
| Property on operating-type lease to others and property held for lease | 1797 | |
| Property on operating-type lease to others and property held for lease, accumulated depreciation | 1798 | |
| Other assets: | ||
| Long-term prepayments | 1820 | |
| Unamortized developmental and preoperating costs | 1830 | |
| Other assets and deferred charges | 1890 | |
| Current liabilities: | ||
| Current maturities of long-term debt | 2000 | |
| Notes payable: | ||
| Banks | 2005 | |
| Other | 2015 | |
| Trade accounts payable | 2021 | |
| Accounts payable—other | 2025 | |
| Current obligations under capital leases | 2080 | |
| Accrued salaries, wages | 2110 | |
| Accrued vacation liability | 2120 | |
| Accrued interest | 2125 | |
| Accrued taxes | 2130 | |
| Dividends declared | 2140 | |
| Air traffic liability | 2160 | |
| Other current liabilities | 2190 | |
| Noncurrent liabilities: | ||
| Long-term debt | 2210 | |
| Advances from associated companies | 2240 | |
| Pension liability | 2250 | |
| Noncurrent obligations under capital leases | 2280 | |
| Other noncurrent liabilities | 2290 | |
| Deferred credits: | ||
| Deferred income taxes | 2340 | |
| Deferred investment tax credits | 2345 | |
| Other deferred credits | 2390 | |
| Stockholders' equity: | ||
| Preferred stock | 2820 | |
| Common stock | 2840 | |
| Additional capital invested | 2890 | |
| Premium on capital stock | 2890. | |
| Discount on capital stock | 2890. | |
| Other capital stock transactions | 2890. | |
| Retained earnings | 2900 | |
| Subscribed and unissued stock | 2860 | |
| Treasury stock | 2990 | |
1 Prescribed for group II and group III air carriers only.
2 At the option of the air carrier, these accounts may be assigned Nos. 2629 and 2729, respectively, for accounting purposes.
Note: Digits to right of decimals and italicized codes established for BTS control purposes only.
(a) The balance sheet accounts are designed to show the financial condition of the air carrier as at a given date, reflecting the asset and liability balances carried forward subsequent to the closing or constructive closing of the air carrier's books of account.
(b) The balance sheet accounts prescribed in this system of accounts for each air carrier group are set forth in Section 3, Chart of Balance Sheet Accounts. The balance sheet elements to be included in each account are presented in section 6.
(a) Record here all general and working funds available on demand as of the date of the balance sheet which are not formally restricted or earmarked for specific objectives. Funds deposited for special purposes which are to be satisfied within one year shall be included in account 1100 Short-term Investments and funds restricted as to general availability, which are not offset by current liabilities, shall be included in account 1550 Special Funds.
(b) Each air carrier shall subdivide this account in such manner that the balance can be readily segregated as between balances in United States currency and the balances in each foreign currency.
(a) Record here the cost of short-term investments such as special deposits and United States Government securities, any other temporary cash investments, and the allowance for unrealized gain or loss on current marketable equity securities.
(b) Special deposits for more than one year, not offset by current liabilities, shall not be included in this account but in account 1550 Special Funds.
(c) This account should be charged or credited for discount or premium on United States Government securities or other securities which should be amortized to profit and loss account 80 Interest Income.
(a) Record here current notes receivable including those from associated companies, company personnel, and all other sources.
(b) Balances of notes payable to associated companies shall not be offset against amounts carried in this account. Balances with associated companies which are not normally settled currently shall not be included in this account but in balance sheet account 1510.3 Advances to Associated Companies.
(a) Record here current accounts receivable including those due from the United States Government, foreign governments, associated companies, company personnel, and other amounts due for the performance of air transportation.
(b) Amounts due from the United States Government shall be maintained in such fashion as will clearly and separately identify service mail pay receivables, subsidy receivables and other than mail transportation receivables.
(c) Amounts due for the performance of air transportation shall include gross amounts due whether settled through airline clearing houses or with individual carriers. Amounts payable collected as agent shall not be credited to this account, but should be included in account 2190 Other Current Liabilities.
(d) Balances payable to associated companies shall not be offset against amounts carried in this account. Balances with associated companies which are not normally settled currently shall not be included in this account but in balance sheet account 1510.3 Advances to Associated Companies.
(a) Record here accruals for estimated losses from uncollectible accounts.
(b) All accounts against which allowances have been established shall be examined quarterly for the purpose of redetermining the basis of accruals to be applied to subsequent accounting periods and the reasonableness of allowances already provided.
(a) Record here the cost of:
(1) Flight equipment replacement parts of a type which ordinarily would be recurrently expended and replaced rather than repaired and reused;
(2) Unissued fuel inventories for use in the overall or system operations of the carrier. Adjustments of inventories for aircraft fuel due to retroactive price increases and decreases shall not be entered in this account but in profit and loss account 45, Aircraft Fuels and Oils; and
(3) Unissued and unapplied materials and supplies held in stock such as unissued shop materials, expendable tools, stationery and office supplies, passenger service supplies, and restaurant and food service supplies.
(b) Costs paid by the air carrier such as transportation charges and customs duties; excise, sales, use and other taxes; special insurance; and other charges applicable to the cost of spare parts and supplies shall be charged to this account when they can be definitely allocated to specific items or units of property. If such costs cannot be so allocated, or if of minor significance in relation to the cost of such property, such amounts may be charged to balance sheet account 1890 Other Assets and Deferred Charges and cleared either by a suitable “loading charge” as the parts are used or by current charges to appropriate expense or property accounts; so long as the method of application does not cause material distortion in operating expenses from one accounting period to another.
(c) Reusable spare parts and supplies recovered in connection with construction, maintenance, or retirement of property and equipment shall be included in this account at fair and reasonable values but in no case shall such values exceed original cost. Recoveries of normally reparable and reusable parts of a type for which losses in value may be covered on a practical basis through valuation allowance provisions shall be included in this account on an original cost basis. Scrap and nonusable parts, expensed from this account and recovered, shall be included at net amounts realizable therefrom with contra credit to the expense accounts initially charged.
(d) The cost of rotable parts and assemblies of material value included in this account which ordinarily are repaired and reused and possess a service life approximating that of the primary property types to which related shall not be recorded in this account but in balance sheet account 1608 Flight Equipment Rotable Parts and Assemblies. For purposes of identifying rotable parts and assemblies of insignificant unit value which may be included in this account, a reasonable maximum unit value limitation may be established.
(e) Any losses sustained or gains realized upon the abandonment or other disposition of flight equipment expendable parts shall be taken up as capital gains or losses in the periods in which sustained or realized. (See balance sheet account 1311.)
(f) Items in this account shall be charged to appropriate expense accounts as issued for use. Profit and loss on sales of inventory items as a routine service to others shall be included in profit and loss accounts 14 General Service Sales—Associated Companies, or 16 General Service Sales—Outside, and the parts sold shall be removed from this accounts at full cost.
(g) Materials and supplies held in small supply and purchased currently may be charged to appropriate expense accounts when purchased.
(h) An allowance for inventory adjustment applicable to materials and supplies is prohibited. Items in this account shall be charged to appropriate expense accounts as issued for use.
(i) Subaccounts shall be established within this account for the separate recording of each class or type of spare parts and supplies.
(a) Accruals shall be made to this account when allowances are established for losses in the value of expendable parts. The accruals to this account shall be made by charges to profit and loss account 73 Provisions for Obsolescence and Deterioration—Expendable Parts. Records shall be maintained with sufficient detail to permit association of the allowances with each class or type of expendable parts.
(b) The accruals to this account shall be based upon a predetermination by the air carrier of that portion of the total inventory of each class and type of expendable parts against which an allowance for loss is to be accrued. Expendable parts issued for use in operations shall be charged to operating expenses as issued and shall not be charged to this account. If at the end of any calendar year the amount of the allowance exceeds the product of the applicable inventory for the year determined consistently on a year-end or average basis, and the sum of the standard percentage accrual rates for all prior years including the current, the allowance shall be adjusted downward by the amount of the excess. Such adjustments shall be charged to this account and credited to profit and loss account 73 Provisions for Obsolescence and Deterioration—Expendable Parts.
(c) Where changing conditions necessitate a revision or adjustment in rates of accrual, such revision or adjustment shall be made applicable to current and subsequent accounting periods and shall not be applied retroactively to prior accounting periods. Following retirement of airframe or aircraft engine types to which related, any balance remaining in this account shall be offset against related balances carried in balance sheet account 1300 Spare Parts and Supplies and the net cleared to profit and loss accounts 88.5 Capital Gains and Losses—Operating Property or 88.6 Capital Gains and Losses—Other.
Record here prepayments of obligations which if not paid in advance would require the expenditure of working capital within one year, such as prepaid rent, insurance, taxes, interest, etc. Unexpired insurance and miscellaneous prepayments applicable to periods extending beyond one year where significant in amount shall be charged to balance sheet account 1820 Long-Term Prepayments.
Record here current assets not provided for in balance sheet accounts 1010 to 1410, inclusive.
(a) Record here net investments in associated companies.
(b) [Reserved]
(c) This account shall be subdivided by all air carrier groups as follows:
Record here the cost of investments in investor controlled companies except that permanent impairment in the value of securities may be reflected through charges to profit and loss classification 8100, Nonoperating Income or Expense—Net. This account shall also include the equity in undistributed earnings or losses since acquisition. In the event dividends are declared by such companies, the air carrier shall credit this account for its share in dividends declared and debit balance sheet account 1270 Accounts Receivable. This account shall separately state: (a) The cost of such investments at date of acquisition and (b) the equity in undistributed earnings or losses since acquisition.
Record here the cost of investments in associated companies other than investor controlled companies. Cost shall represent the amount paid at the date of acquisition without regard to subsequent changes in the net assets through earnings or losses of such associated companies. However, permanent impairment in the value of securities may be reflected through charges to profit and loss classification 8100, Nonoperating Income or Expense—Net.
(a) Record here advances, loans, and other amounts not settled currently with investor controlled and other associated companies and nontransport divisions. Balances receivable from and payable to different associated companies and different nontransport divisions shall not be offset.
(b) In the case of nontransport divisions three subaccounts shall be maintained:
(1) Net investment;
(2) current net profit or loss; and
(3) current accounts receivable or payable between the air carrier and the nontransport division.
(c) Each nontransport division shall be accounted for separately in net amounts receivable which shall be included in this account or net amounts payable which shall be included in balance sheet account 2240 Advances from Associated Companies.
Record here notes and accounts receivable not due within one year, investments in securities issued by others, investments in leveraged leases, the noncurrent net investment in direct financing and sales-type leases, and the allowance for unrealized gain or loss on noncurrent marketable equity securities. Securities held as temporary cash investments shall not be included in this account but in balance sheet account 1100 Short-Term Investments. Investments in and receivables from associated companies which are not settled currently shall be included in balance sheet account 1510 Investments in Associated Companies.
Record here special funds not of a current nature and restricted as to general availability. Include items such as sinking funds, cash and securities posted with courts of law, employee's funds for purchase of capital stock, pension funds under the control of the air carrier and equipment purchase funds.
“Operating Property and Equipment” shall encompass items used in air transportation services and services related thereto.
(a) Record here the total cost to the air carrier of airframes of all types and classes together with the full complement of instruments, appurtenances and fixtures comprising complete airframes including accessories necessary to the installation of engines and flight control and transmission systems, except as specifically provided otherwise in accounts 1602 and 1607. Also record here in separate subaccounts the costs of airframes overhauls accounted for on a deferral and amortization basis.
(b) Airframes designed to permit multiple payload configurations shall be recorded in this account at the total cost of the maximum complement of instruments, appurtenances, and fixtures used in the air carrier's operations.
(c) This account shall be subdivided as follows by all air carriers:
(a) Record here the total cost to the air carrier of complete units of aircraft engines of all types and classes together with a full complement of accessories, appurtenances, parts and fixtures comprising fully assembled engines as delivered by the engine manufacturer ready for operation in test but without the accessories necessary to its installation in airframes. Also record here in separate subaccounts the costs of aircraft engine overhauls accounted for on a deferral and amortization basis.
(b) This account shall be subdivided as follows by all air carriers:
Record here the total cost incurred by the air carrier for modification, conversion or other improvements to leased flight equipment. Also record here, in separate subaccounts, the costs of airframe and aircraft engine overhauls of leased aircraft accounted for on a deferral and amortization basis.
(a) Record here the total cost to the air carrier of all spare instruments, parts, appurtenances and subassemblies related to the primary components of flight equipment units provided for in balance sheet accounts 1601 through 1607, inclusive. This account shall include all parts and assemblies of material value which are rotable in nature, are generally reserviced or repaired, are used repeatedly and possess a service life approximating that of the property type to which they relate. Items of an expendable nature which generally may not be repaired and reused, shall not be recorded in this account but in account 1300 Spare Parts and Supplies. Except for recurrent service sales, flight equipment parts recorded in this account shall not be charged to operating expenses as retired. Profit or loss on sales of parts as a routine service to others shall be included in profit and loss account 14 General Service Sales, and parts sold shall be removed from this account at full cost irrespective of any allowance for depreciation which has been provided.
(b) This account shall be subdivided as follows by Group II and Group III air carriers:
This classification is established only for purposes of control by the BTS and shall reflect the total cost of property and equipment of all types and classes used in the in-flight operations of aircraft.
(a) Record here accumulated provisions for overhauls of flight equipment.
(b) Separate subaccounts shall be established for recording accumulated provisions related to each type of airframe and aircraft engine, respectively.
At the option of the air carrier, the number “2629” may be assigned to this account for accounting purposes. However, for purposes of reporting on BTS Form 41, the balance in this account shall be reported under account “1629.”
Record here the total cost to the air carrier of ground equipment to include the following:
(a) Equipment assigned to aircraft or active line operations as opposed to items held in stock for servicing passengers such as broilers, bottleware, dishes, food boxes, thermos jugs, blankets, first aid kits, etc. Spare items shall be carried in balance sheet account 1300 Spare Parts and Supplies and shall be charged directly to expense upon withdrawal from stock for replacing original complements.
(b) Equipment used in restaurants and kitchens.
(c) Equipment of all types and classes used in enplaning and handling traffic and in handling aircraft while on ramps, including motorized vehicles used in ramp service. Classes of equipment used interchangeably between handling aircraft on ramps and in maintaining aircraft may be classified in accordance with normal predominant use.
(d) Nonairborne equipment of all types and classes used in meteorological and communication services which is not a part of buildings.
(e) Equipment of all types and classes including motorized vehicles used in engineering and drafting services and in maintaining, overhauling, repairing and testing other classes of property and equipment.
(f) Property and equipment of all types and classes used in ground and marine transportation services.
(g) Property and equipment of all types and classes used in storing and distributing fuel, oil and water, such as fueling trucks, tanks, pipelines, etc.
(h) All other ground equipment of all types and classes such as medical, photographic, employees' training equipment, and airport and airway lighting equipment.
Record here the total cost to the air carrier of furniture, fixtures and office equipment of all types and classes wherever used or located.
Record here the total cost to the air carrier incurred in connection with modification, conversion, or other improvements to leased buildings and equipment.
Record here the total cost to the air carrier of owned buildings, structures and equipment and related improvements. Each air carrier shall maintain the following subaccounts in which the values fairly assignable to maintenance and other operations shall be separately recorded:
This classification is established only for purposes of control by the BTS and shall reflect the total cost of property and equipment of all types and classes other than flight equipment, equipment purchase deposits and advance payments, land, and work in progress.
(a) Record in accounts 1611 and 1618, inclusive, and 1650 through 1660, inclusive, accruals for depreciation of flight equipment and ground property and equipment.
(b) As set forth in section 3, Chart of Balance Sheet Accounts, separate accounts shall be established for depreciation allowances to parallel balance sheet accounts 1601 through 1608 established for recording the cost of flight equipment and accounts 1630 through 1640 established for recording the cost of ground property and equipment.
(c) This account shall be used as a control account and shall reflect the total amounts recorded in balance sheet accounts 1611 through 1618 and 1650 through 1660 in addition to account 1629 Flight Equipment Airworthiness Allowance.
Record here the initial cost and the cost of improving land.
Record here the amount of purchase deposits and advance payments made to acquire operating property and equipment under outstanding purchase commitments. Funds set aside but not deposited or used as advance payments should not be included in this account but in Account 1550 Special Funds.
(a) Record here all direct and indirect costs of the air carrier that are expended for constructing and readying property and equipment of all types and classes for installation in operations. The amount reported shall reflect all such expenses that are accumulated to the balance sheet date. Where properly includable in the property and equipment classification, record here also the accumulated costs for uncompleted overhauls of airframes, aircraft engines, or other material units of property.
(b) At the option of the air carrier this account may be used as a clearing account for recording the cost of property and equipment acquisitions prior to a distribution thereof to the appropriate property accounts, whether or not conditioning or modification is necessary before placing in service.
(a) Record here the total costs to the air carrier for all property obtained under capital leases.
(b) This account shall be subdivided by all air carrier groups as follows:
(a) Record here accruals for amortization of leased property obtained under capital leases.
(b) This account shall be subdivided by all air carrier groups as follows:
“Nonoperating Property and Equipment” includes investments in property and equipment not separately accounted for within a nontransport division but assigned to other than air transportation and transport-related services, and property and equipment held for future use.
The total cost to the air carrier of nonoperating property and equipment and related allowances for depreciation shall be recorded in balance sheet accounts 1701 through 1796 which, as set forth in section 3, Chart of Balance Sheet Accounts, parallel balance sheet accounts 1601 through 1689, for recording the cost of operating property and equipment. In addition to these accounts, Account 1797 has been established for recording the cost of property on operating-type leases to others and property held for lease; any accumulated depreciation applicable to the assets contained in Account 1797 shall be recorded in Account 1798.
Record here the total cost to the air carrier of property on operating-type lease to others and property held for lease.
Record here accruals for depreciation of property on operating-type leases to others and property held for lease.
Record here prepayments of obligations applicable to periods extending beyond one year such as payments on leased property and equipment and other payments and advances for rents, rights, or other privileges.
(a) Record here costs accumulated and deferred by the air carrier pertaining to the development of new routes or extension of existing routes, preparation for operation of new routes subsequent to certification by the DOT, the integration of new types of aircraft or services, and other preparations for substantial alterations in operational characteristics.
(b) Costs chargeable to this account shall include items directly related to each specific developmental or preoperating project, such as travel and incidental expenses, legal expenses, flight crew training expenses, and regulatory proceedings expenses. Expenses which would be otherwise incurred in the normal air transport operations conducted by the air carrier during the current accounting period shall not be allocated to developmental or preoperating projects and charged to this account. Nor shall this account be credited for revenues from aircraft flights of a developmental or preoperating character the operating costs of which are charged to this account. Any such revenues shall be included in the profit and loss account for the respective type of revenue. This account shall include charges for only those costs associated with projects directed at obtaining new operating authority or expanding the physical capacity of the air carrier and shall not include costs incurred for the purpose of generating revenues through rate adjustment. Accordingly, costs associated with regulatory proceedings involving route awards or amendments, whether successful or unsuccessful to the carrier, shall be included in this account whereas costs associated with regulatory proceedings involving rate or other revenue generation matters shall be charged to appropriate expense accounts.
(c) Records shall be established for new routes or extensions of existing routes to record separately: (1) Costs incurred in acquiring or applying for the routes, including all costs incurred prior to certification by the DOT and inauguration of service by the air carrier, and (2) costs incurred after revenue operations begin over the new routes or extensions.
(d) Subclassifications shall be established to record for each developmental project the period covered and the purpose of each item of expense. Each air carrier shall classify the costs of all projects included in this account between: (1) Those related and contributing to the normal air transportation services currently conducted by the air carrier; (2) those related to services conducted by the air carrier which are extraneous to or are not otherwise related to the air transportation services currently conducted; and (3) those held in suspense pending status determination in terms of possible contribution to the air transportation services and inauguration of the service or operation to which related.
(e) Amounts included in this account which contribute to or protect the position of the normal air transportation services currently conducted by the carrier shall be amortized to profit and loss account 74 Amortization, unless otherwise approved or directed by the DOT. Other amounts included in this account shall be amortized or charged to profit and loss account 89.9 Other Miscellaneous Nonoperating Debits.
(a) Record here other assets and deferred charges not provided for elsewhere.
(b) Record here debits, the proper final disposition of which cannot be determined until additional information has been received. This account shall include the accumulated cost of labor, materials and outside services used in the process of manufacturing flight equipment expendable parts and materials and supplies for stock, the accumulated cost of jobs in process for others, projects to be charged to expense upon completion. This account shall also include unamortized debt expense, property acquisition adjustments and intangible assets.
(c) This account shall be charged with property loss and other costs related to casualties and credited with recoveries from purchased insurance and salvage. A debit or credit balance in this account related to property retired as a result of a casualty shall be recorded in profit and loss account 88.5 Capital Gains and Losses—Operating Property or 88.6 Capital Gains and Losses—Other; however, any balances related to property not retired or to other casualties shall be recorded in profit and loss account 58 Injuries, Loss and Damage. Proceeds from purchased insurance for property damage, received prior to repair of such damage, shall not be credited to this account but to balance sheet account 2390 Other Deferred Credits pending repair. The records for each major casualty shall be kept in such manner as to clearly disclose insurance recoveries and the total costs, which shall include charges for the depreciated cost of property damaged or destroyed, costs for clearing wrecks and damaged property and equipment, including salaries and wages for the repair thereof, and payments for damages to property of others. The cost of casualties shall not be charged directly against retained earnings or appropriations thereof, but shall be cleared through the applicable profit and loss accounts in accordance with the foregoing.
(d) Record here the unamortized debt expense related to the assumption by the air carrier of debt of all types and classes. Amounts recorded shall be amortized to profit and loss account 84 Amortization of Debt Discount, Premium and Expense.
(e) Unamortized debt expense shall not include the excess of the par value of debt securities over the cash value of consideration received. Instead, discounts shall be recorded in a subaccount of the related liability.
(f) Record here the cost of patents, copyrights and other intangible properties, rights and privileges acquired as a part of a business from other air carriers and other intangibles not provided for elsewhere. This account shall be subdivided to reflect the nature of each intangible asset included in this account.
(g) Record here the difference between the purchase price to the air carrier of property and equipment acquired as a part of a business from another air carrier through consolidation, merger, or reorganization, pursuant to a plan approved by the DOT, and the depreciated cost to the predecessor company at date of acquisition. Record here also such differences relating to purchases of property and equipment from associated companies unless other treatment is approved by the BTS. Separate subaccounts shall be established to record the amounts applicable to each such acquisition.
(h) Balances in this account relating to property acquisition adjustments shall be amortized by charges to profit and loss account 89.9 Other Miscellaneous Nonoperating Debits unless otherwise directed or approved by the BTS.
Record here the face value or principal amount of debt securities issued or assumed by the air carrier which is payable within 12 months of the balance sheet date unless such debt is to refinance, or where payment is to be made from assets of a type not properly classifiable as current.
Record here the face value of all notes, drafts, acceptances, or other similar evidences of indebtedness payable on demand or within one year to a bank or another financial institution with the exception of current maturities of long-term debt which should be included in account 2000.
Record here the face value of all notes, drafts, acceptances, or other similar evidences of indebtedness payable on demand or within one year to an associated company or party other than a financial institution.
Record here all accounts payable within one year which accrued from generally recognized trade practices.
Record here all accounts payable within one year which are not provided for in accounts 2000 to 2021, inclusive.
Record here the total current liability applicable to property obtained under capital leases.
Record here amounts accrued for unpaid compensation to personnel, which have been charged to profit and loss or capitalized, as compensation for the period in which accrued.
(a) Record here accruals of liabilities for personnel vacations. All vacation policies, plans, or agreements whether oral or written shall be accounted for on an accrual basis whenever a lag exists between vacations earned and vacations taken, thereby resulting in a liability against the carrier under the applicable policy, plan or agreement.
(b) This account shall be credited and the applicable personnel compensation expense account concurrently charged with the cost of any lag between vacations accrued and vacations taken. Accruals may be based upon standard rates of lag, if such standard rates are verified by physical inventory and adjusted accordingly at least once each calendar year. Adjustments of balances in this account shall be cleared to applicable compensation expense accounts.
Record here interest payable within one year for all outstanding obligations.
(a) Record here accruals for currently payable income and other forms of taxes which constitute a charge borne by the air carrier as opposed to those collected as an agent for others.
(b) Each air carrier shall disclose in the footnotes of its BTS Form 41 for each calendar quarter whether utilized credits are accounted for by the flow-through method or the deferred method. The method selected shall be consistently followed by the carrier.
Record here in separate subdivisions for each class and series of capital stock, all dividends declared but unpaid on capital stock.
(a) Record here balances representing the value of unused transportation sold. Transportation sold includes both sales for transportation to be provided by the air carrier and transportation to be provided by another air carrier.
(b) Earned revenue, determined by the yield or average fare method or by the sales-lift-match method, shall be consistently and periodically cleared by debit to this account, and by credit to the appropriate profit and loss revenue account. Amounts receivable for transportation to be provided by the air carrier shall be debited to balance sheet account 1270 Accounts Receivable.
(c) Carriers who determine earned revenue on a yield or average fare method may not accrue income during the accounting year in anticipation of a favorable annual physical inventory determination, nor for unused or unpresented tickets.
(d) Subaccounts to this account shall be established to record balances pertaining to passenger and cargo transportation sold, respectively, and separately to sales in scheduled and non-scheduled services.
Record here current and accrued liabilities, including amounts payable collected as an agent, not provided for in accounts 2110 to 2160, inclusive.
(a) Record here the face value of principal amount of debt securities issued or assumed by the air carrier and held by other than associated companies, which has not been retired or cancelled and is not payable within 12 months of the balance sheet date.
(b) In cases where debt coming due within 12 months is to be refunded, or where payment is to be made from assets of a type not properly classifiable as current, the amount payable shall not be removed from this account. In addition, this account shall include short-term debt obligations when both the intent to refinance the short-term obligations on a long-term basis is established and the ability to consummate this refinancing can be demonstrated.
Record here net amounts due associated companies and nontransport divisions for notes, loans and advances which are not settled currently. Balances payable to and receivable from different associated companies shall not be offset.
Record here the liability of the air carrier under employee pension plans, to which either or both employees and the air carrier contribute, if the plan is administered by the air carrier.
Record here the total noncurrent liability applicable to property obtained under capital leases.
Record here noncurrent liabilities not provided for in balance sheet accounts 2210 to 2280, inclusive, such as the liability for installments received on capital stock from company personnel who are not bound by legally enforceable subscription contracts, accruals for personnel dismissal liability, and accruals of other demonstrable miscellaneous noncurrent liabilities.
Record here credits and debits representing the net tax effect of material timing differences originating and reversing in the current accounting period, giving appropriate recognition to the portion of investment tax credits which would have been allowed if taxes were based on pretax accounting income by a reduction of the deferred tax provision.
Record here investment tax credits utilized as reduction of tax liabilities, when the carrier exercises the option to defer such credits for amortization over the service life of the related equipment.
Record here credits, not provided for elsewhere, the proper final disposition of which cannot be effected until additional information has been received.
Record here in separate subdivisions for each class and series, the par or stated value of preferred capital stock issued or in the case of no-par stock without stated value, the full consideration received.
Record here in separate subdivisions for each class and series, the par or stated value of common stock issued or in case of no-par stock without stated value, the full consideration received.
Record here in separate subdivisions for each class and series, the par or stated value, or the subscription price in the case of stock without par or stated value, of legally enforceable subscriptions to the capital stock of the air carrier.
(a) Record herein separate subdivisions for each class and series, the difference between the price at which capital stock is sold and the par or stated value of the stock; gains or losses arising from the reacquisition and the resale or retirement of each class and series of capital stock; donations; the excess of retained earnings capitalized over par or stated value of capital stock issued; adjustments in capital resulting from reorganization or recapitalization; and proceeds attributable to detachable stock purchase warrants related to debt issues. This account shall also include balances of contributions to the business enterprise of individual proprietors or partners.
(b) Each air carrier shall maintain the following subaccounts:
2890.1 Premium on capital stock. Record here in separate subdivisions for each class and series of capital stock issued the excess of the cash value of consideration received over the par or stated value and accrued dividends of stock issued together with assessments against stockholders representing payments required in excess of par or stated value.
2890.2 Discount on capital stock. Record here in separate subdivisions for each class and series of capital stock issued, the excess of the par or stated value over the cash value of consideration received, less accrued dividends. Discounts applicable to a particular class and series of capital stock may be offset against premiums from the same class and series of capital stock. Discounts and premiums on different classes and series of capital stock shall not be offset. The air carrier may, at its option, record in this subaccount commissions and expenses incurred in the issuance of capital stock and may charge balance sheet account 2900 Retained Earnings to the extent capital stock expense may exceed any existing balance of paid-in capital over the par or stated value of capital stock.
2890.3 Other Capital Stock Transactions. Record here in separate subdivisions for each class and series, the balance of credits arising from the reacquisition and resale or cancellation of capital stock, credits arising from a reduction in the par or stated value of capital stock or the net balance of credits or debits resulting from other paid-in capital transactions such as proceeds attributable to detachable stock purchase warrants related to debt issues, not provided for elsewhere, which is identified with a particular class and series of capital stock.
(a) Record here the net income or loss from operations of the air carrier and dividends declared on capital stock.
(b) This account shall not be charged with dividends on treasury stock. If a dividend is not payable in cash, the values entered in this account shall be completely described.
(c) Delayed credits or charges to income shall not be entered in this account directly but in appropriate profit and loss accounts.
(d) Net income or loss accounted for during the current fiscal year shall not be entered in this account until the close of the fiscal year. Individual proprietorships or partnerships may clear net income or loss accounted for during the year directly to balance sheet account 2890 Additional Capital Invested, or optionally, to this account for subsequent transfer to balance sheet account 2890 Additional Capital Invested.
(e) A separate subaccount to this account shall be maintained to record changes in the valuation of marketable equity securities included in noncurrent assets. Such changes shall be reflected in this subaccount to the extent the balance in this subaccount represents a net unrealized loss as of the current balance sheet date.
(a) Record here the cost of capital stock issued by the air carrier reacquired by it and not retired or canceled.
(b) Separate records shall be established for each class and series of capital stock held in this account.
| Objective classification of profit and loss elements | Functional or financial activity to which applicable (00) | ||
|---|---|---|---|
| Group I carriers | Group II carriers | Group III carriers | |
| Transport revenues: | |||
| 01 Passenger: | |||
| 01. | 31, 32 | 31, 32 | 31, 32. |
| 01. | 31, 32 | 31, 32 | 31, 32. |
| 05 Mail: | |||
| 05. | 31, 32 | 31, 32 | 31, 32. |
| 05. | 31, 32 | 31, 32 | 31, 32. |
| 05. | 31, 32 | 31, 32 | 31, 32. |
| 06 Property: | |||
| 06. | 31, 32 | 31, 32 | 31, 32. |
| 06. | 31, 32 | 31, 32 | 31, 32. |
| 07 Charter: | |||
| 07. | 32 | 32 | 32. |
| 07. | 32 | 32 | 32. |
| 19 Air transport—other: | |||
| 19. | 31, 32 | 31, 32 | 31, 32. |
| 19. | 31, 32 | 31, 32 | 31, 32. |
| 08 Public service revenues (subsidy) | 48 | 48 | 48. |
| Transport-related revenues and expenses: | |||
| 09 In-flight sales: | |||
| 09. | 48 | 48 | 48. |
| 09. | 48 | 48 | 48. |
| 09. | 48 | 48 | 48. |
| 09. | 71 | 71 | 71. |
| 09. | 71 | 71 | 71. |
| 09. | 71 | 71 | 71. |
| 09. | 71 | 71 | 71. |
| 09. | 71 | 71 | 71. |
| 09. | 71 | 71 | 71. |
| 10 Restaurant and food service (ground): | |||
| 10. | 48 | 48 | 48. |
| 10. | 71 | 71 | 71. |
| 10. | 71 | 71 | 71. |
| 11 Rents: | |||
| 11. | 48 | 48 | 48. |
| 11. | 71 | 71 | 71. |
| 11. | 71 | 71 | 71. |
| 12 Limousine service: | |||
| 12. | 48 | 48 | 48. |
| 12. | 71 | 71 | 71. |
| 12. | 71 | 71 | 71. |
| 13 Interchange sales: | |||
| 13. | 48 | 48 | 48. |
| 13. | 48 | 48 | 48. |
| 13. | 71 | 71 | 71. |
| 13. | 71 | 71 | 71. |
| 13. | 71 | 71 | 71. |
| 13. | 71 | 71 | 71. |
| 14 General service sales: | |||
| 14. | 48 | 48 | 48. |
| 14. | 48 | 48 | 48. |
| 14. | 71 | 71 | 71. |
| 14. | 71 | 71 | 71. |
| 14. | 71 | 71 | 71. |
| 14. | 71 | 71 | 71. |
| 16 Substitute (replacement) service: | |||
| 16. | 48 | 48 | 48. |
| 16. | 71 | 71 | 71. |
| 17 Air cargo service: | |||
| 17. | 48 | 48 | 48. |
| 17. | 71 | 71 | 71. |
| 17. | 71 | 71 | 71. |
| 18 Other transport related items: | |||
| 18. | 48 | 48 | 48. |
| 18. | 71 | 71 | 71. |
| 18. | 71 | 71 | 71. |
| 19 Other operating revenues: | |||
| 19. | 31, 32 | 31, 32 | 31, 32. |
| 19. | 31, 32, 41 | 31, 32, 41 | 31, 32, 41. |
| Transport expenses: | |||
| 21 General management personnel | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 23 Pilots and copilots | 51 | 51 | 51. |
| 24 Other flight personnel | 51, 69 | 51, 55 | 51, 55. |
| 25 Maintenance labor: | |||
| 25. | 52 | 52. | |
| 25. | 52 | 52. | |
| 25. | 52 | ||
| 25. | 52, 53 | 52, 53 | 52, 53. |
| 26 Aircraft and traffic handling personnel | 69 | ||
| 26. | 64, 67 | 61, 62, 63, 65. | |
| 26. | 64 | 61. | |
| 26. | 64, 67 | 62, 65. | |
| 26. | 64, 67 | 62, 65. | |
| 28 Trainees, instructors and unallocated shop labor: | |||
| 28. | 51, 53, 69 | 51, 53, 55, 64,67, 68 | 51, 53, 55, 61, 62, 63, 65, 66, 68. |
| 28. | 53 | 53 | 53. |
| 30 Communications personnel | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 31 Recordkeeping and statistical personnel | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 32 Lawyers and law clerks | 69 | 68 | 68. |
| 33 Traffic solicitors | 69 | 67 | 65. |
| 34 Purchasing personnel | 53, 69 | 53, 68 | 53, 68. |
| 35 Other personnel | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 36 Personnel expenses | 51, 53, 69 | 51, 53, 55, 64, 67, 68 | 51, 53, 55, 61, 62, 63, 65, 66, 68. |
| 37 Communications purchased | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 38 Light, heat, power, and water | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 39 Traffic commissions | 69 | ||
| 39. | 67 | 65. | |
| 39. | 67 | 65. | |
| 40 Legal fees and expenses | 69 | 68 | 68. |
| 41 Professional and technical fees and expenses | 51, 53, 69 | 51, 53, 55, 64, 67, 68 | 51, 53, 55, 61, 62, 63, 65, 66, 68 |
| 43 General services purchased: | |||
| 43. | 52 | 52 | |
| 43. | 52 | 52 | |
| 43. | 52 | ||
| 43. | 51, 52 | 51, 52 | 51, 52 |
| 43. | 52, 69 | 52, 55, 64, 67, 68 | 52, 55, 61, 62, 63, 65, 66, 68 |
| 43. | 52, 53, 69 | 52, 53, 55, 64, 67, 68 | 52, 53, 55, 61, 62, 63, 65, 66, 68 |
| 44 Landing fees | 69 | 64 | 61. |
| 45 Aircraft fuels and oils | 51 | ||
| 45. | 51 | 51. | |
| 45. | 51 | 51. | |
| 46 Maintenance materials: | |||
| 46. | 52 | 52 | |
| 46. | 52 | 52. | |
| 46. | 52 | ||
| 46. | 52, 53 | 52, 53 | 52, 53. |
| 47 Rentals | 51, 53, 69 | 51, 53, 55, 64, 67, 68 | 51, 53, 55, 61, 62, 63, 65, 66, 68. |
| 49 Shop and servicing supplies | 53, 69 | 53, 64 | 53, 61. |
| 50 Stationery, printing, and office supplies | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 51 Passenger food expense | 69 | 55 | 55. |
| 53 Other supplies | 51, 53, 69 | 51, 53, 55, 64, 67, 68 | 51, 53, 55, 61, 62, 63, 65, 66, 68. |
| 54 Inventory adjustments | 53, 69 | 53, 55 | 53, 55. |
| 55 Insurance—general | 51, 53, 69 | 51, 53, 68 | 51, 53, 68. |
| 56 Insurance—traffic liability | 69 | 55, 64 | 55, 62. |
| 57 Employee benefits and pensions | 51, 53, 69 | 51, 53, 55, 64, 67, 68 | 51, 53, 55, 61, 62, 63, 65, 66, 68. |
| 58 Injuries, loss and damage | 51, 53, 69 | 51, 53, 55, 64, 67, 68 | 51, 53, 55, 61, 62, 63, 65, 66, 68. |
| 59 Schedules and timetables | 69 | 67 | 65, 66. |
| 60 Advertising | 69 | 67 | 66. |
| 61 Foreign exchange gains and losses | 69 | 68 | 68. |
| 62 Other promotional and publicity expenses | 69 | 67 | 66. |
| 63 Interrupted trips expense | 69 | 55 | 55. |
| 64 Memberships | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 65 Corporate and fiscal expenses | 69 | 68 | 68. |
| 66 Uncollectible accounts | 69 | 68 | 68. |
| 67 Clearance, customs and duties | 69 | 64 | 61, 62. |
| 68 Taxes—payroll | 51, 53, 69 | 51, 53, 55, 64, 67, 68 | 51, 53, 55, 61, 62, 63, 65, 66, 68. |
| 69 Taxes—other than payroll | 51, 69 | 51, 68 | 51, 68. |
| 71 Other expenses | 51, 53, 69 | 51, 53, 55, 64, 67, 68 | 51, 53, 55, 61, 62, 63, 65, 66 68. |
| 72 Aircraft overhauls | 52, 53 | 52, 53 | 52, 53. |
| 72. | 52, 53 | 52, 53 | 52, 53. |
| 72. | 52, 53 | 52, 53 | 52, 53. |
| 72. | 52, 53 | 52, 53 | 52, 53. |
| 72. | 52, 53 | 52, 53 | 52, 53. |
| 73 Provisions for obsolescence and deterioration—expendable parts: | |||
| 73. | 70 | 70 | 70. |
| 73. | 70 | 70 | 70. |
| 74 Amortizations: | |||
| 74. | 70 | 70 | 70. |
| 74. | 70 | 70 | 70. |
| 75 Depreciation: | |||
| 75. | 70 | 70 | 70. |
| 75. | 70 | 70 | 70. |
| 75. | 70 | 70 | 70. |
| 75. | 70 | 70 | 70. |
| 75. | 70 | 70 | 70. |
| 75. | 70 | 70 | 70. |
| 75. | 70 | 70 | 70. |
| 75. | 70 | 70 | 70. |
| 76 Amortization expense, capital leases: | |||
| 76. | 70 | 70 | 70 |
| 76. | 70 | 70 | 70 |
| 77 Uncleared expense credits: | |||
| 77. | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 77. | 53, 69 | 53, 55, 64, 67, 68 | 53, 55, 61, 62, 63, 65, 66, 68. |
| 78 Direct maintenance—flight equipment | 52 | 52 | 52. |
| 79 Applied burden Dr/Cr: | |||
| 79. | 52 Dr, 53 Cr | 52 Dr, 53 Cr | 52 Dr, 53 Cr. |
| 79. | 52 Dr, 53 Cr | 52 Dr, 53 Cr | 52 Dr, 53 Cr. |
| 81 Interest on long-term debt and capital leases: | |||
| 81. | 81 | 81 | 81 |
| 81. | 81 | 81 | 81 |
| 82 Other interest: | |||
| 82. | 81 | 81 | 81 |
| 83. | 81 | 81 | 81 |
| 83. | 81 | 81 | 81 |
| 83. | 81 | 81 | 81 |
| 83. | 81 | 81 | 81 |
| 84. | 81 | 81 | 81 |
| 84. | 81 | 81 | 81 |
| 85 Foreign exchange gains and losse | 81 | 81 | 81 |
| 89 Other nonoperating income and expense-net: | |||
| 80. | 81 | 81 | 81 |
| 86. | 81 | 81 | 81 |
| 87. | 81 | 81 | 81 |
| 88. | 81 | 81 | 81 |
| 88. | 81 | 81 | 81 |
| 88. | 81 | 81 | 81. |
| 88. | 81 | 81 | 81. |
| 88. | 81 | 81 | 81. |
| 88. | 81 | 81 | 81. |
| 88. | 81 | 81 | 81. |
| 88. | 81 | 81 | 81. |
| 89. | 81 | 81 | 81. |
| 89. | 81 | 81 | 81. |
| 91 Provision for income taxes: | |||
| 91. | 91 | 91 | 91. |
| 91. | 91 | 91 | 91. |
| 92 Provisions for deferred income taxes: | |||
| 92. | 91 | 91 | 91. |
| 92. | 91 | 91 | 91. |
| 92. | 91 | 91 | 91. |
| 93 Investment tax credits deferred and amortized: | |||
| 93. | 91 | 91 | 91. |
| 93. | 91 | 91 | 91. |
| 94 Excess profits taxes | 91 | 91 | 91. |
| 95 Discontinued operations: | |||
| 95. | 96 | 96 | 96. |
| 95. | 96 | 96 | 96. |
| 96 Extraordinary items | 97 | 97 | 97. |
| 97 Income taxes applicable to extraordinary items | 97 | 97 | 97. |
| 98 Cumulative effects of change in accounting principles | 98 | 98 | 98. |
(a) The profit and loss accounts are designed to reflect, through natural groupings, the elements entering into the derivation of income or loss accruing to the proprietary interests during each accounting period.
(b) The prescribed system of accounts provides for the co-ordinate grouping of all revenues and expenses in terms of both major natural objectives and functional activities and for subdivision of both to provide varying degrees of detail for air carriers of differing accounting capacities and/or requirements.
(c) The detailed objective accounts established for each air carrier group, by the dual subdivision of profit and loss elements in terms of both natural objectives and functional activities, are set forth in section 7, Chart of Profit and Loss Accounts.
(d) The prescribed system of accounts provides generally that profit and loss elements shall be grouped in accordance with their inherent characteristics within the following primary classifications:
(1) Operating revenues. (i) This primary classification shall include revenues of a character usually and ordinarily derived from the performance of air transportation and air transportation-related services, which relate to services performed during the current accounting year, and adjustments of a recurrent nature applicable to services performed in prior accounting years.
(ii) Operating revenues shall be subclassified in terms of functional activities as provided in section 9.
(2) Operating expenses. (i) This primary classification shall include expenses of a character usually and ordinarily incurred in the performance of air transportation and air transportation-related services, which relate to services performed during the current accounting year, and adjustments of a recurring nature attributable to services performed in prior accounting years.
(ii) Operating expenses shall be subclassified in terms of functional activities as provided in sections 10 and 11.
(3) Nonoperating income and expense—net. This primary classification (8100) shall include income and loss incident to commercial ventures not inherently related to the performance of the common carrier air transport services of the accounting entity; other revenues and expenses attributable to financing or other activities which are extraneous to and not an integral part of air transportation or its incidental services; and special recurrent items of a nonperiod nature.
(4) Income taxes for current period. This primary classification (9100) shall include provisions for Federal, state, local, and foreign taxes which are based upon the net income of the air carrier for the current period together with refunds for excess profits credits or carryback of losses and increases or reductions of income taxes of prior years of a magnitude which will not distort net income of the current accounting year. Income taxes applicable to special income credits or debits recorded in profit and loss classification 9700 Extraordinary Items, and other material income tax items not allocable to income of the current accounting year, shall not be included in this classification but in profit and loss classification 9700 Extraordinary Items.
(5) Discontinued operations. This primary classification (9600) shall include earnings and losses of discontinued nontransport operations and gains or losses from the disposal of nontransport operations the result of which are customarily accounted for through profit and loss objective accounts 86, 87 and 88.2.
(6) Extraordinary items. This primary classification (9700) shall include material items characterized by their unusual nature and infrequent occurrence.
(7) Cumulative effect of changes in accounting principles. This primary classification (9800) shall include the cumulative effect of material changes in accounting principles.
This classification is prescribed for all air carrier groups and shall include all revenues from the air transportation of traffic of all classes. It shall consist of the following subclassifications:
This subclassification shall include revenues from the transportation by air of individual passengers or cargo shipments (as opposed to charter flights) pursuant to published schedules, including extra sections and other flights performed as an integral part of published flight schedules.
This subclassification shall include revenues from the transportation by air of traffic applicable to the performance of aircraft charters, and other air transportation services not part of services performed pursuant to published flight schedules (but shall not include data applicable to flights performed as extra sections to published flight schedules, which shall be reported in the subclassification 3100 Scheduled Services).
(a) This classification is prescribed for all air carrier groups and shall include all revenues from the United States Government as direct grants or aids for providing air transportation facilities and all revenues from services which grow from and are incidental to the air transportation services performed by the air carrier.
(b) Revenues related to services of a magnitude or scope beyond an incidental adjunct to air transportation services shall not be included in this classification (see section 1-6(b)). Revenues applicable to such services shall be included in profit and loss classification 8100, Nonoperating Income and Expense-Net, and the accounting modified to conform with that of a nontransport division whether or not the service is organized as a nontransport division.
(a) This function shall include expenses incurred directly in the in-flight operation of aircraft and expenses attaching to the holding of aircraft and aircraft operational personnel in readiness for assignment to an in-flight status.
(b) This function shall not include expenses incurred in repairing, servicing or storing aircraft, expenses incurred on the ground in protecting and controlling the inflight movement of aircraft, or the compensation of ground personnel and other expenses incurred in scheduling or preparing aircraft or aircraft operational personnel for flight assignment. Such expenses shall be included in function 5400 Maintenance or function 6900 General Services and Administration.
(a) This function shall include all expenses, both direct and indirect, specifically identifiable with the repair and upkeep of property and equipment as may be required to meet operating and safety standards; in inspecting or checking property and equipment in accordance with prescribed operational standards; and in polishing or cleaning property and equipment when such polishing or cleaning is not an incidental routine in connection with the normal productive use of property and equipment.
(b) This function shall include the cost of direct labor, materials, and outside services and maintenances overhead or other costs specifically associated with maintenance operations regardless of the location at which incurred.
(c) This function shall not include costs incurred in the construction, improvement, or modification of property and equipment even when necessitated to meet new or changed operating or safety standards. Such costs shall be charged to appropriate property and equipment accounts.
(d) Costs incurred by aircraft handling personnel in visual inspection, minor check and servicing of aircraft, while in line service, shall not be included in this function when performed as an incidental routine during the normal productive use of aircraft but shall be included in function 6900 General Services and Administration.
(e) Each Group I air carrier shall maintain the following subfunctions:
a. This subfunction shall include the costs of labor, materials and outside services consumed directly in periodic maintenance operations and the maintenance and repair of property and equipment, of all types and classes, regardless of the location at which incurred, exclusive of costs specifically identified with maintenance property and equipment expenses in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1640.1 Maintenance Buildings and Improvements which shall be included in subfunction 5300 Maintenance Burden.
b. The cost of direct labor, materials and supplies, as well as outside repairs, used in the maintenance and repair of property and equipment shall be recorded on running job orders or tickets covering repairs and periodic inspections except servicing. Where a number of like items are maintained on a group basis, it will be necessary to maintain only one job order for each group.
c. When supervisory personnel such as crew chiefs, inspectors and foremen are engaged in direct labor in connection with equipment maintenance, a proportionate part of their salaries and wages shall be charged to the appropriate direct labor accounts. The cost of transporting property to and from shops for repair and maintenance shall be included as a part of the cost of the materials and supplies used in the repair or maintenance of such property and equipment. Transportation charges, customs and duties, etc.; shall be included in the cost of repairs and maintenance operations when made by outside parties.
a. This subfunction shall include all overhead or general expenses which are specifically identified with activities involved in periodic maintenance operations and the maintenance and repair of property and equipment of all types and classes, including the cost of direct labor, materials and outside services identified with the maintenance and repair of maintenance property and equipment included in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1604.1 Maintenance Buildings and Improvements. It shall include expenses specifically related to the administration of maintenance stocks and stores, the keeping of pertinent maintenance operations records, and the scheduling, controlling, planning and supervision of maintenance operations.
b. This subfunction shall not include expenses related to financial accounting, purchasing or other overhead activities which are of general applicability to all operating functions. Such expenses shall be included in function 6900 General Services and Administration.
c. This subfunction shall include only those expenses attributable to the current air transport operations of the air carrier. Maintenance burden associated with capital projects of the air carrier, other than overhauls of airframes and aircraft engines shall be allocated to such projects. Maintenance burden incurred in common with services to other companies and operating entities shall be allocated to such services on a pro rata basis unless the services are so infrequent in performance or small in volume as to result in no appreciable demands upon the air carrier's maintenance facilities. When overhauls of airframes or aircraft engines are as a consistent practice accounted for on an accrual basis instead of being expensed directly, maintenance burden shall be allocated to such overhauls on a pro rata basis. Standard burden rates may be employed for quarterly allocations of maintenance burden provided the rates are reviewed at the close of each calendar year. When the actual burden rate for the year differs materially from the standard burden rate applied, adjustment shall be made to reflect the actual cost incurred for the full accounting year. Allocations of maintenance burden to capital projects, and service sales to others shall be made through the individual maintenance burden objective accounts, except that the air carrier may make such allocations by credits to profit and loss account 77 Uncleared Expense Credits provided that use of that account will not undermine the significance of the individual maintenance burden objective accounts in terms of the expense levels associated with the air carrier's air transport services. Maintenance burden allocated to overhauls shall be credited to profit and loss subaccounts 5372.1 or 5372.6 Airworthiness Allowance Provisions.
This function shall include expenses incurred on the ground in controlling and protecting the in-flight movement of aircraft; landing, handling, or servicing aircraft on the ground; selling transportation; servicing and handling traffic of all classes; promoting the development of traffic; administering operations generally; and all other expenses not otherwise provided for in functions 5100 Flying Operations, 5400 Maintenance and 7000 Depreciation and Amortization.
This function shall include all charges to expense to record losses suffered through current exhaustion of the serviceability of property and equipment due to wear and tear from use and the action of time and the elements, which are not replaced by current repairs, as well as losses in serviceability caused by obsolescence, supersession, discoveries, change in demand or actions by public authority. It shall also include charges for the amortization of capitalized developmental and preoperating costs, leased property under capital leases and other intangible assets applicable to the performance of air transportation. (See sections 6-1696, 1830 and 1890.)
(a) This function shall include all expense items applicable to the generation of transport-related revenues included in section 9, Function 4800.
(b) Such expense related to services of a magnitude or scope beyond an incidental adjunct to air transportation services shall not be included in this function (see section 1-6(b)). Expenses applicable to the generation of such revenues shall be included in profit and loss classification 8100, Nonoperating Income and Expense-Net, and the accounting modified to conform with that of a nontransport division whether or not the service is organized as a nontransport division.
(c) This function shall also include expenses representing increases in costs incurred in common with the air transport service, to the extent such increases result from the added transport-related services, as well as a pro rata share of the costs incurred by the air carrier in operating facilities which are used jointly with others. As a general rule, this function shall not include those expenses, other than joint facilities costs, which would remain as an essential part of the air transport services if the transport-related services were terminated.
(a) This function shall include expenses incurred directly in the in-flight operation of aircraft and expenses attaching to the holding of aircraft and aircraft operational personnel in readiness for assignment to an in-flight status.
(b) This function shall not include expenses incurred in repairing, servicing or storing aircraft, expenses incurred on the ground in protecting and controlling the in-flight movement of aircraft, or compensation of ground personnel and other expenses incurred in scheduling or preparing aircraft or aircraft operational personnel for flight assignment. Such expenses shall be included in function 5400 Maintenance, or function 6400 Aircraft and Traffic Servicing.
(a) This function shall include all expenses, both direct and indirect, incurred in the repair and upkeep of property and equipment as may be required to meet operating and safety standards; in inspecting or checking property and equipment in accordance with prescribed operational standards; and in polishing or cleaning property and equipment when such polishing or cleaning is not an incidental routine in connection with the normal productive use of property and equipment.
(b) This function shall include the cost of direct labor, materials, and outside services and maintenance overhead or other costs associated with maintenance operations regardless of the location at which incurred.
(c) This function shall not include costs incurred in the construction, improvement, or modification of property and equipment even when necessitated to meet new or changed operating or safety standards. Such costs shall be charged to appropriate property and equipment accounts.
(d) Costs incurred by aircraft handling personnel in visual inspection, minor check and servicing of aircraft, while in line service, shall not be included in this function when performed as an incidental routine during the normal productive use of aircraft but shall be included in function 6400 Aircraft and Tariff Servicing.
(e) Both Group II air carriers and Group III air carriers shall maintain the following subfunctions:
a. This subfunction shall include the costs of labor, materials and outside services consumed directly in periodic maintenance operations and the maintenance and repair of property and equipment of all types and classes, regardless of the location at which incurred, exclusive of maintenance property and equipment included in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1640.1 Maintenance Buildings and Improvements, which shall be included in subfunction 5300 Maintenance Burden.
b. The cost of direct labor, materials and supplies, as well as outside repairs, used in the maintenance and repair of property and equipment shall be recorded on running job orders or tickets covering repairs and periodic inspections except servicing. Where a number of like items are maintained on a group basis, it will be necessary to maintain only one job order for each group.
c. When supervisory personnel such as crew chiefs, inspectors and foremen are engaged in direct labor in connection with equipment maintenance, a proportionate part of their salaries and wages shall be charged to the appropriate direct labor accounts. The cost of transporting property to and from shops for repair and maintenance shall be included as a part of the cost of the materials and supplies used in the repair or maintenance of such property and equipment. Transportation charges, customs and duties, etc., shall be included in the cost of repairs and maintenance operations when made by outside parties.
a. This subfunction shall include all overhead or general expenses used directly in the activities involved in periodic maintenance operations and the maintenance and repair of property and equipment of all types and classes, including the cost of direct labor, materials and outside services used in the maintenance and repair of maintenance property and equipment included in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1640.1 Maintenance Buildings and Improvements. It shall include expenses related to the administration of maintenance stocks and stores, the keeping of pertinent maintenance operation records, and the scheduling, controlling, planning and supervision of maintenance operations.
b. This subfunction shall not include expenses related to financial accounting, purchasing or other overhead activities which are of general applicability to all operating functions. Such expenses shall be included in function 6800 General and Administrative.
c. This subfunction shall include only those expenses attributable to the current air transport operations of the air carrier. Maintenance burden associated with capital projects of the air carrier, other than overhauls of airframes and aircraft engines, shall be allocated to such projects. Maintenance burden incurred in common with services to other companies and operating entities shall be allocated to such services on a pro rata basis unless the services are so infrequent in performance or small in volume as to result in no appreciable demands upon the air carrier's maintenance facilities. When overhauls of airframes or aircraft engines are as a consistent practice accounted for on an accrual basis instead of being expensed directly, maintenance burden shall be allocated to such overhauls on a pro rata basis. Standard burden rates may be employed for quarterly allocations of maintenance burden provided the rates are reviewed at the close of each calendar year. When the actual burden rate for the year differs materially from the standard burden rate applied, adjustment shall be made to reflect the actual costs incurred for the full accounting year. Allocations of maintenance burden to capital projects, and service sales to others shall be made through the individual maintenance burden objective accounts, except that the air carrier may make such allocations by credits to profit and loss account 77 Uncleared Expense Credits under such circumstances in which the use of that account will not undermine the significance of the individual maintenance burden objective accounts in terms of the expense levels associated with the air carrier's air transport services. Maintenance burden allocated to overhauls shall be credited to profit and loss subaccounts 5372.1 or 5372.6 Airworthiness Allowance Provisions.
This function shall include all expenses chargeable directly to activities contributing to the comfort, safety and convenience of passengers while in flight and when flights are interrupted. It shall not include expenses incurred in enplaning or deplaning passengers, or in securing and selling passenger transportation and caring for passengers prior to entering a flight status. Such expenses shall be included in functions 6400 Aircraft and Traffic Servicing and 6700 Promotion and Sales, respectively.
(a) This function shall include the compensation of ground personnel and other expenses incurred on the ground incident to the protection and control of the in-flight movement of aircraft, scheduling and preparing aircraft operational crews for flight assignment, handling and servicing aircraft while in line operation, servicing and handling traffic on the ground, subsequent to the issuance of documents establishing the air carrier's responsibility to provide air transportation, and in-flight expenses of handling and protecting all nonpassenger traffic including passenger baggage.
(b) This function shall include only those aircraft servicing and cleaning expenses which are incurred as an incidental routine during the normal productive use of aircraft in line operations. It shall not include expenses incurred in the repair and maintenance of property and equipment, or in checking or inspecting property and equipment in accordance with prescribed operational standards when such activities are not an incidental routine during the normal productive use of aircraft. Such expenses shall be included in function 5400 Maintenance.
(c) This function shall not include expenses incurred in securing traffic, arranging aircraft space for traffic sold or in issuing documents confirming traffic sales and establishing the air carrier's responsibilities to provide air transportation. Such expenses shall be included in function 6700 Promotion and Sales. However, for purposes of this system of accounts, expenses attributable to the operation of airport traffic offices, excluding reservation centers, shall be included in this function. Expenses attributable to the operation of reservation or aircraft space control centers shall be included in function 6700 Promotion and Sales regardless of the location at which incurred.
(d) Group III air carriers shall further subdivide this function as follows:
a. This subfunction shall include the compensation of ground personnel and other expenses incurred on the ground incident to the protection and control of the in-flight movement of aircraft; scheduling or preparing aircraft operational crews for flight assignment; landing and parking aircraft; visual inspection, routine checking, servicing and fueling of aircraft; and other expenses incurred on the ground incident to readying for arrival and takeoff of aircraft.
a. This subfunction shall include the compensation of ground personnel and other expenses incurred on the ground incident to handling traffic of all types and classes on the ground subsequent to the issuance of documents establishing the air carrier's responsibility to provide air transportation. Expenses attributable to the operation of airport traffic offices shall also be included in this subfunction; expenses attributable to reservations centers shall be excluded. It shall include expenses incurred in both enplaning and deplaning traffic as well as expenses incurred in preparation for enplanement and all expenses subsequent to deplanement.
b. This subfunction shall also include costs incurred in handling and protecting all nonpassenger traffic while in flight. It shall not include expenses incurred in contributing to the comfort, safety and convenience of passengers while in flight or when flights are interrupted. Such expenses shall be included in function 5500 Passenger Service.
a. This subfunction shall include expenses of a general nature incurred in performing supervisory or administrative activities relating solely and in common to subfunctions 6100 Aircraft Servicing and 6200 Traffic Servicing.
b. This subfunction shall not include supervisory or administrative expenses which can be charged directly to subfunction 6100 Aircraft Servicing or subfunction 6200 Traffic Servicing. Nor shall this subfunction include expenses of a general administrative character and of significant amount regularly contributing to operating functions generally. Such expenses shall be included in function 6800 General and Administrative.
c. The expenses in this subfunction shall be recorded separately for each geographic location at which incurred.
(a) This function shall include expenses incurred in creating public preference for the air carrier and its services; stimulating the development of the air transport market; and promoting the air carrier or developing air transportation generally.
(b) It shall also include the compensation of personnel and other expenses incident to documenting sales; expenses incident to controlling and arranging or confirming aircraft space for traffic sold; expenses incurred in direct sales solicitation and selling of aircraft space; and expenses incurred in developing tariffs and schedules for publication.
(c) This function shall not include expenses incurred in handling traffic subsequent to the issuance of documents establishing the air carrier's responsibility to provide air transportation which shall be included in functions 5500 Passenger Service and 6400 Aircraft and Traffic Servicing. However, for purposes of this system of accounts, expenses attributable to the operation of airport traffic offices, excluding reservation centers, shall be included in function 6400 Aircraft and Traffic Servicing. Expenses attributable to the operation of reservation or aircraft space control centers shall be included in function 6700 Promotion and Sales regardless of the location at which incurred.
(d) Group III air carriers shall subdivide this function as follows:
This subfunction shall include expenses incident to direct sales solicitation, documenting sales, controlling and arranging or confirming aircraft space sold, and in developing tariffs and schedules for publication. It shall also include expenses attributable to the operation of city traffic offices. Expenses incurred in stimulating traffic and promoting the air carrier or air transportation generally shall not be included in this subfunction but in subfunction 6600 Advertising and Publicity.
a. This subfunction shall include expenses incurred in creating public preference for the air carrier and its services; stimulating development of the air transport market; and promoting the air carrier or developing air transportation generally.
b. This subfunction shall not include expenses incurred in direct sales solicitation and selling of aircraft space. Such costs shall be included in subfunction 6500 Reservations and Sales.
(a) This function shall include expenses of a general corporate nature and expenses incurred in performing activities which contribute to more than a single operating function such as general financial accounting activities, purchasing activities, representation at law, and other general operational administration, which are not directly applicable to a particular function.
(b) This function shall not include expenses incurred directly in promoting traffic or in promoting relations of the air carrier generally with the public which shall be included in function 6700 Promotion and Sales. Nor shall this function include expenses, regularly applicable in large part to a specific function, which contribute only incidentally, or in small amount, to various other functions. Such expenses when of such size as will not distort the function to which predominantly related, shall be included in the specific function to which regularly related. However, expenses of a general administrative character and of significant amount regularly contributing to operating functions generally shall be included in this function.
This function shall include all charges to expense to record losses suffered through current exhaustion of the serviceability of property and equipment due to wear and tear from use and the action of time and the elements, which are not replaced by current repairs, as well as losses in serviceability occasioned by obsolescence, supersession, discoveries, change in popular demand or action by public authority. It shall also include charges for the amortization of capitalized developmental and preoperating costs, leased property under capital leases, and other intangible assets applicable to the performance of air transportation. (See sections 6-1696, 1830 and 1890.)
(a) This function shall include all expense items applicable to the generation of transport-related revenues included in section 9, Function 4800.
(b) Such expense related to services of a magnitude or scope beyond an incidental adjunct to air transportation services shall not be included in this function (see section 1-6(b)). Expenses applicable to the generation of such revenues shall be included in profit and loss classification 8100, Nonoperating Income and Expense-Net, and the accounting modified to conform with that of a nontransport division whether or not the service is organized as a nontransport division.
(c) This function shall also include expenses representing increases in costs incurred in common with the air transport service, to the extent such increases result from the added transport-related services, as well as a pro rata share of the costs incurred by the air carrier in operating facilities which are used jointly with others. As a general rule, this function shall not include those expenses, other than joint facilities, costs, which would remain as an essential part of the air transport services if the transport-related services were terminated.
(a) Basic objective accounts, applicable to all air carrier groups, are established for recording all revenue and expense elements. These basic accounts are in certain areas subdivided to provide greater detail for indicated air carrier groups.
(b) Each air carrier shall credit the gross revenues accruing from services ordinarily associated with air transportation and transportation-related services to the appropriate account established for each revenue source. Expenses incident to transport and transport-related services shall be charged to the accounts established in this section in accordance with the objectives served by each expenditure. However, direct costs of forwarding traffic as a result of interrupted trips, and refunds of sales, shall be charged to the applicable revenue account.
(c) To the end that the integrity of the prescribed objective accounts shall not be impaired, each air carrier shall:
(1) Charge the appropriate account prescribed for each service purchased or expense element incurred expressly for the benefit of the air carrier regardless of whether incurred directly by the air carrier or through an agent or other intermediary, and (2) except as provided in objective account 77, Uncleared Expense Credits, credit or charge, as appropriate, the account prescribed for each expense element which may be involved in distributions of expenses between (i) separate operating entities of the air carrier, (ii) transport-related services and transport services, or transport functions, (iii) balance sheet and profit and loss elements, and (iv) the air carrier and others, when the expenses are incurred initially by or for the benefit of the air carrier. At the option of the air carrier, standard rates applicable to each objective account comprising a particular pool of expenses subject to assignment between two or more activities, may be established for proration purposes, provided the rates established are predicated upon the experience of the air carrier and are reviewed and modified as appropriate at least once each year.
(a) Record here revenue from the transportation of passengers by air, including infants transported at reduced fares, berth charges, surcharges for premium services and other similar charges. Revenue from airline employees, officers and directors, or other persons, except for ministers of religion, who are traveling under reduced-rate transportation authorized by 49 U.S.C. 41511(a) and 14 CFR part 223, as well as revenue from travel agents, cargo agents and tour conductors traveling at reduced fares, and revenues from service charges for passengers traveling on a nonrevenue basis shall be recorded in objective account 19 Air Transport—Other.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here revenue from the air transportation of passengers moving at either standard fares or premium fares, or at reduced fares not predicated upon the use of aircraft space specifically separated from first class, and for whom standard or premium quality services are provided.
Record here revenue from the air transportation of passengers moving at special fares reduced from the first class or premium fares which are predicated upon both the operation of specifically designated aircraft space and a reduction in the quality of service regularly and ordinarily provided.
(a) Record here revenue from the transportation by air of both United States and foreign mail.
(b) Fines and penalties imposed by the United States Government and foreign governments in connection with the carriage of mail shall not be charged to this account but to profit and loss account 89.9 Other Miscellaneous Nonoperating Debits.
(c) This account shall be subdivided as follows by all air carrier groups:
Record here revenue from United States mail for which transportation by air is provided on a priority basis.
Record here revenue from United States mail for which transportation by air is provided on a space available basis.
Record here revenue from the transportation by air of mail other than United States mail.
(a) Record here revenue from the transportation by air of property including excess passenger baggage.
(b) Revenues resulting from services incidental to the transportation services such as collection of shipper's interest insurance premiums and charges and fees for service such as pick-up and delivery, assembly and distribution, storage and handling, and C.O.D. collection shall not be credited to this account but to profit and loss account 17 Air Cargo Services.
(c) This account shall be subdivided as follows by all air carrier groups:
Record here revenue from the transportation by air of property other than passenger baggage.
Record here revenue from the transportation by air of passener baggage in excess of fixed free allowance.
(a) Record here the revenue from nonscheduled air transport services (except as otherwise required by profit and loss Account 86 Income from Nontransport Ventures) where the party receiving the transportation obtains exclusive use of an aircraft at either published tariff or other contractual rates and the remuneration paid by the party receiving transportation accrues directly to, and the responsibility for providing transportation is that of, the accounting air carrier. This account shall also include revenues from air transport services other than inter-airport services, whether scheduled or nonscheduled, where each passenger or shipment receiving transportation is individually documented and does not obtain exclusive use of an aircraft.
(b) This account shall not include revenues or fees received from other air carriers for flight facilities furnished or operated by the accounting air carrier where the remuneration paid by the party receiving transportation accrues directly to, and the responsibility for providing transportation is that of other air carriers. Such revenues and related expenses shall be included in profit and loss accounts 11, Rents; 13, Interchange Sales; or 18, Other Transport-Related Revenues and Expenses.
(c) This account shall be subdivided as follows by all air carrier groups:
Record here revenue from the transportation of passengers and their personal baggage.
Record here revenue from the transportation of property.
Record here amounts of compensation received pursuant to the provisions of 49 U.S.C. 41733 under rates established by the Department of Transportation for the provision of essential air service to small communities.
(a) Record here revenues from and expenses related to transport-related services performed while in flight.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues from and expenses related to the operation of restaurants and similar facilities, and from sales of food. (See section 12-51.)
(b) This account shall be subdivided as follows by all air carrier groups.
(a) Record here revenues from and expenses related to property and equipment owned or leased which has been rented or subleased to others exclusive of associated companies. This account shall not include fees from the use by others of air carrier aircraft under aircraft interchange agreements.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues from and expenses related to the operation of passenger limousine surface transportation services.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here the revenues or fees from and the expenses related to services provided associated companies and other than associated companies by the air carrier under aircraft interchange agreements. This account shall be charged and the applicable operating expense objective accounts shall be credited, except as provided in operating expense objective account 77, Uncleared Expense Credits, with the expenses attaching to services provided all companies under aircraft interchange agreements.
(b) This account shall not include revenues or expenses related to air transportation services performed in the name of and for the account of the accounting air carrier. Such revenues shall be included in applicable transport revenue and operating expense objective accounts.
(c) This account shall be subdivided as follows by all air carrier groups:
(a) Record here the revenues, commissions or fees from and expenses related to other than air transportation and aircraft interchange services provided to associated and outside companies by the air carrier. This account shall include the contractual fees or other revenues from and expenses related to services provided to associated and other companies in the operation of facilities which are used jointly with associated and other companies as well as revenues from and the costs related to the sale of supplies, parts and repairs sold directly or furnished as a part of services to associated and other companies.
(b) This account shall not include consideration received from sales of property, equipment, materials or supplies when disposed of as a part of a program involving retirement of property and equipment as opposed to routine sales and services to associated and other companies unless such disposition is conducted as a normal part of the incidental sales activity. Such retirement gain or loss shall be included in capital gains and losses accounts. Maintenance parts, materials or supplies sold as a service to others shall be charged to this account at cost without adjustment of related obsolescence or depreciation allowances.
(c) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues from and expenses related to substitute service. This account shall include as revenues all monies received from substitute carriers and as expense all monies paid to substitute carriers.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here fees and other revenues from and expenses related to incidental services performed in connection with cargo shipments such as pickup and delivery fees, shipper's interest insurance charges, storage and handling fees, etc.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues from and expenses related to transport-related services not provided for in profit and loss accounts 10 through 17, inclusive, such as revenues and expenses incident to the operation of flight facilities by the accounting air carrier, except those operated under aircraft interchange agreements, where the remuneration paid by the party receiving transportation accrues directly to, and the responsibility for providing transportation is that of, other air carriers; and the revenues and expenses incident to vending machines, parcel rooms, storage facilities, etc.
(b) [Reserved]
(c) Revenues from the renting or leasing of property and equipment to others shall not be included in this account but in profit and loss account 11 Rents.
(d) This account shall be subdivided as follows by all air carrier groups:
(a) Record here revenues associated with air transportation conducted by the air carrier, not provided for in profit and loss accounts 01 through 09, inclusive, such as revenue from (1) airline employees, officers and directors, or other persons, except for ministers of religion, who are traveling under reduced-rate transportation authorized by 49 U.S.C. 41511(a) and 14 CFR part 223, as well as travel agents, cargo agents and tour conductors traveling at reduced fares, (2) service charges for failure to cancel or for late cancellation of air transportation reservations, and (3) nontransportation service charges collected on both revenue and nonrevenue flights.
(b) Revenues derived from sightseeing, aerial photography, advertising, or other special flights shall not be included in this account but in account 07 Charter.
(c) This account shall be subdivided as follows by all air carrier groups:
(a) Each element of expense ordinarily associated with air transportation services shall be charged to the accounts established in this section in accordance with the objectives served by each expenditure. Basic objective accounts, applicable to all air carrier groups, are established for recording all expense elements. These basic accounts are in certain areas subdivided to provide greater detail for indicated air carrier groups.
(b) To the end that the integrity of the prescribed objective accounts shall not be impaired, each air carrier shall:
(1) Charge the appropriate account prescribed for each service purchased or expense element incurred expressly for the benefit of the air carrier regardless of whether incurred directly by the air carrier or through an agent or other intermediary, and (2) except as provided in objective account 77 Uncleared Expense Credits, credit or charge, as appropriate, the account prescribed for each expense element which may be involved in distributions of expenses between (i) separate operating entities of the air carrier, (ii) incidental and transport services or transport functions, (iii) balance sheet and profit and loss elements and (iv) the air carrier and others, when the expenses are incurred initially by or for the benefit of the air carrier. At the option of the air carrier, standard rates applicable to each objective account comprising a particular pool of expenses subject to assignment between two or more activities, may be established for proration purposes, provided the rates established are predicated upon the experience of the air carrier and are reviewed and modified as appropriate at least once each year.
Record here the compensation, including vacation and sick leave pay, of general officers and supervisors, and immediate assistants regardless of locality at which based, responsible for an activity not provided for in profit and loss accounts 25 through 35, inclusive, or an activity involving two or more such accounts.
Record here the compensation, including vacation and sick leave pay, of pilots and copilots assigned or held inactive awaiting assignment to flight duty.
Record here the compensation, including vacation and sick leave pay, of other flight personnel assigned or held inactive awaiting assignment to flight status, not responsible for the in-flight management of aircraft, such as engineers, navigation officers and cabin attendants.
(a) Record here the compensation for time of personnel spent directly on specific property and equipment maintenance projects. (See sections 10 and 11-5200.) Vacation and sick leave pay shall be charged to profit and loss account 28 Trainees, Instructors and Unallocated Shop Labor.
(b) This account shall be subdivided as follows:
Record here the direct labor expended upon airframes, spare parts related to airframes, and other flight equipment (Other than aircraft engines and spare parts related to aircraft engines). Other flight equipment shall include instruments, which encompass all gauges, meters, measuring devices, and indicators, together with appurtenances thereto for installation in aircraft and aircraft engines which are maintaned separately from airframes and aircraft engines.
Record here the direct labor expended upon aircraft engines and spare parts related to aircraft engines.
Record here the direct labor expended upon flight equipment of all types and classes.
Record here the direct labor expended upon ground property and equipment of all types and classes. Direct labor expended upon general ground properties shall be charged to subfunction 5200 Direct Maintenance; and direct labor expended upon maintenance buildings and equipment shall be charged to subfunction 5300 Maintenance Burden.
(a) Record here the compensation, including vacation and sick leave pay, of personnel of all types and classes, including direct supervisory personnel, assigned to ground activities, engaged directly in protecting and controlling aircraft in flight, scheduling and preparing flight crews for flight assignment, parking and servicing aircraft incidental to line operations, and of personnel of all types and classes engaged in servicing and handling traffic of all types and classes on the ground.
(b) This account shall be subdivided as follows by Group II and Group III air carriers:
Record here compensation of personnel handling or controlling aircraft and generally servicing or handling traffic of all types and classes whose activities are not identifiable with the particular activities provided for in subaccounts 26.2, 26.3, or 26.4, inclusive.
Record here compensation of personnel whose activities are identifiable with the protection and control of aircraft in flight and in scheduling or preparing flight crews for flight assignment.
Record here compensation of personnel whose activities are identifiable with the handling of passengers.
Record here compensation of personnel whose activities are identifiable with the handling of passenger baggage, mail, express, or freight.
(a) Record here the compensation, including vacation and sick leave pay, of instructors and personnel in an off-the-job training status; direct maintenance personnel compensation not assigned to specific projects; and vacation or sick leave pay of direct maintenance personnel.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here the compensation of instructors and personnel in a training status.
Record here the pay of direct maintenance personnel which has not been assigned to profit and loss account 25 Maintenance Labor for time spent on specific maintenance projects, and vacation or sick leave pay of direct maintenance personnel.
Record here the compensation, including vacation and sick leave pay, of personnel of all types and classes, including direct supervisory personnel, engaged in local, interstation, or groundair communication activities. This account shall include compensation of personnel such as radio operators, telephone operators, switchboard operators, teletype operators, messengers, etc.
Record here the compensation, including vacation and sick leave pay, of personnel including supervisory personnel, whose primary duties relate to maintaining records or conducting economic or other analyses required for general management controls, such as accountants, economists, statisticians, maintenance record clerks, stores record clerks, stores receiving and issuing clerks and file clerks. The account shall not include personnel engaged in documentation or other activities constituting an integral part of activities encompassed by other objective accounts.
Record here the compensation, including vacation and sick leave pay, of air carrier personnel engaged in law research or representing the air carrier in matters of law.
Record here the compensation, including vacation and sick leave pay, of personnel engaged directly in solicitation of traffic of all types and classes. This account shall not include compensation of traffic office personnel engaged in soliciting activities incidental to the documenting of sales and assigning aircraft space which shall be included in profit and loss account 26 Aircraft and Traffic Handling Personnel.
(a) Record here the compensation, including vacation and sick leave pay, of personnel, including direct supervisory personnel, engaged in purchasing activities.
(b) This account shall include compensation of personnel engaged in maintaining purchasing records but shall not include compensation of personnel responsible for the control of inventories or stores which shall be included in objective account 31 Record Keeping and Statistical Personnel. In cases where the responsibility for maintaining purchasing and stores records are inseparable, the related compensation may be accounted for in accordance with dominant responsibilities.
Record here the compensation, including vacation and sick leave pay, of personnel whose activities are not identifiable with activities provided for in profit and loss accounts 21 through 34, inclusive.
(a) Record here expenses incurred by officers, executives, directors and other personnel, whether for the benefit of the air carrier or for the private benefit of such persons, which are directly or indirectly borne by the air carrier.
(b) This account shall include allowances in lieu of expenses as well as expenses incurred for travel, lodgings, meals, entertainment of individuals or groups of individuals, and membership fees and dues in professional or social clubs and associations.
(c) Records shall be maintained in a conveniently accessible form which will separately and clearly document each charge to this account in terms of its natural characteristics and contribution to the performance of the air carrier's transport operations. The records shall be maintained in such manner as will identify specifically the persons incurring the cost. Costs for standby hotel or other facilities maintained for the air carrier's personnel generally need not be allocated among the individuals using such facilities; however, sufficiently detailed records are required to identify the use made of such facilities by each individual.
Record here expenses, including related taxes, incurred for rental of communication services and for communication services of all types and classes not provided by personnel of the air carrier, such as telegraph, telephone, teletype, private line services, and charges for communication services from organizations operated jointly with associated companies or others.
Record here charges related to the provision of light, heat, power and water including related taxes.
(a) Record here charges by others, including associated companies, for commissions arising from sales of transportation. Commissions, fees or other charges incurred for general agency services, as opposed to commissions arising from sales of transportation, shall not be included in this account but in profit and loss account 43 General Services Purchased.
(b) This account shall be subdivided as follows by Group II and Group III air carriers.
Record here charges for commissions arising from sales of passenger transportation.
Record here charges for commissions arising from sales of nonpassenger transportation.
Record here expenditures incurred for legal services by counsel retained on a fee basis and related expenses reimbursed or borne directly by the air carrier and other expenses incurred directly by the air carrier for legal supplies not obtainable from the air carrier's general stationery stock. This account shall not be charged with legal fees or expenses incurred in connection with claims occasioned by accidents or other casualties. Such charges shall be accumulated in balance sheet account 1890 Other Assets and cleared to profit and loss account 58 Injuries, Loss and Damage upon settlement of insurance claims. Nor should this account include fees or expenses related to developmental projects. Such expenses shall be included, as appropriate, in profit and loss account 89.9 Other Miscellaneous Nonoperating Debits or balance sheet account 1830 Unamortized Developmental and Preoperating Costs.
Record here fees and expenses, other than legal fees and expenses, incurred for outside professional and technical services which are reimbursed or borne directly by the air carrier. This account shall not include fees or expenses related to developmental projects. Such expenses shall be included, as appropriate, in profit and loss account 89.9 Other Miscellaneous Nonoperating Debits or balance sheet account 1830 Unamortized Developmental and Preoperating Costs.
(a) Record here charges for services performed for the air carrier by outside and associated companies which are not identifiable with services provided for in profit and loss accounts 37 through 41, inclusive, or which are not expressly identified with other objective expense accounts.
(b) Charges from outside and associated companies for services provided the air carrier under aircraft interchange agreements or other agreements embracing a complete activity or service, such as the operating of jointly used ground facilities, shall be included in this account for each operating function to which the services contribute. Charges for providing aircraft capacity, including charges for depreciation and interest on the capital related to the flight equipment provided, shall be included in function 5100 Flying Operations.
(c) This account shall be subdivided by each air carrier group, as follows:
Record here charges for maintenance or repair of airframes and spare parts related to airframes owned or leased by the air carrier. Charges for maintenance or repair of other flight equipment (including instruments) owned or leased by the air carrier, excluding aircraft engines and spare parts related to aircraft engines, shall also be recorded here. Instruments shall include all gauges, meters, measuring devices, and indicators, together with appurtenances thereto for installation in aircraft and aircraft engines, which are maintained separately from airframes and aircraft engines. Charges by outside and associated companies for maintenance of flight equipment provided under aircraft interchange agreements shall not be included in this subaccount but in subaccount 43.7 Aircraft Interchange Charges.
Record here charges for maintenance of repair or aircraft engines, including spare parts related to aircraft engines owned or leased by the air carrier. Charges by outside and associated companies for maintenance of aircraft engines provided under aircraft interchange agreements shall not be included in this subaccount but in subaccount 43.7 Aircraft Interchange Charges.
Record here charges for maintenance or repair of flight equipment of all types and classes owned or leased by the air carrier. Charges by outside and associated companies for maintenance of flight equipment provided under aircraft interchange agreements shall not be included in this subaccount but in subaccount 43.7 Aircraft Interchange Charges.
Record here charges by outside and associated companies for providing aircraft capacity or services related to the direct operation or maintenance of flight equipment under aircraft interchange agreements.
Record here charges by outside and associated companies for services provided the air carrier under aircraft interchange agreements, other than charges related to the direct operation or maintenance of flight equipment, including all charges for maintenance and repair of group properties, as well as fees or charges for traffic solicitation and sales, or supervision and administration covered by the aircraft interchange agreements. Charges for depreciation or interest on capital related to flight equipment provided under interchange agreements shall not be included in this subaccount but in subaccount 43.7 Aircraft Interchange Charges.
Record here charges for maintenance and repair of ground property and equipment of all types and classes and other charges for services performed by outside and associated companies not provided for elsewhere. This subaccount shall include only those charges for services not provided for elsewhere in profit and loss accounts 37 to 41, inclusive, and subaccounts 43.1 to 43.8, inclusive, embracing a complete activity or service provided by outside and associated companies such as the operation of traffic offices or other facilities used jointly with the air carrier which do not represent reimbursement of specific expense elements incurred expressly for the benefit of the air carrier. Reimbursement of expenses incurred expressly for the benefit of the air carrier shall be entered in appropriate personnel compensation or other objective expense accounts. The cost of services received in the repair of general ground properties shall be charged to subfunction 5200 Direct Maintenance; and services received in the repair of maintenance buildings and equipment shall be charged to subfunction 5300 Maintenance Burden.
Record here the charges and fees incurred for landing of aircraft while in line operation.
(a) Record here the cost of fuels and oils issued from stocks of the air carrier, or delivery directly by others, to aircraft for use in flight operations. Adjustments of inventories of aircraft fuel and oil shall also be entered in this account. The cost of fuels and oils used in repairs and maintenance services and nonrefundable fuel and oil taxes shall not be included in this account but in profit and loss accounts 49 Shop and Servicing Supplies and 69 Taxes—Other than Payroll, respectively.
(b) This account shall be subdivided as follows by Group II and Group III air carriers:
Record here the cost of fuels used in flight operations.
Record here the cost of oils used in flight operations.
(a) Record here the cost of materials and supplies consumed directly in specific property and equipment maintenance projects.
(b) This account shall be subdivided as follows:
Record here the cost of materials and supplies consumed directly in maintenance of airframes and spare parts related to airframes. Other flight equipment (including instruments), excluding aircraft engines and spare parts related to aircraft engines, shall also be recorded here. Instruments shall include all gauges, meters, measuring devices, and indicators, together with appurtenances thereto for installation in aircraft and aircraft engines, which are maintained separately from airframes and aircraft engines.
Record here the cost of materials and supplies consumed directly in maintenance of aircraft engines and spare parts related to aircraft engines.
Record here the cost of materials and supplies consumed directly in the maintenance of flight equipment of all types and classes.
Record here the cost of materials and supplies consumed directly in the maintenance of ground property and equipment of all types and classes. The cost of materials and supplies consumed in the repair of general ground properties shall be charged to subfunction 5200 Direct Maintenance and materials and supplies consumed in the repair of maintenance buildings and equipment shall be charged to subfunction 5300 Maintenance Burden.
Record here rentals, fee, or charges incurred in the use of property and equipment provided by others. When a lease arrangement provides that the amounts paid include charges for maintenance, insurance, or taxes, the amounts related thereto shall not be recorded in this account but in the appropriate expense account to which related.
Record here the cost of supplies and expendable small tools and equipment used in maintaining, servicing and cleaning property or equipment the cost of which cannot be directly assigned to a specific job or type of work.
Record here the cost of stationery and forms used by the air carrier including the cost of engineering and shipping supplies.
(a) Record here the cost of food and refreshments served passengers except food costs arising from interrupted trips.
(b) If the air carrier prepares its own food, the initial cost and expenses incurred in the preparation thereof shall be accumulated in a clearly identified clearing account through which the cost of food shall be cleared to this account, to profit and loss account 36 Personnel Expenses, and to profit and loss account 10 Hotel, Restaurant and Food Service on bases which appropriately allocate the cost of food served passengers, the cost of food provided employees without charge and the cost of food sold.
Record here the cost of supplies consumed and not provided for otherwise.
Record here adjustments for overage, shortage or shrinkage of inventories carried in balance sheet account 1300 Spare Parts and Supplies. Adjustment of aircraft fuel and oil inventories due to retroactive price increases and decreases shall not be included in this account but in profit and loss account 45 Aircraft Fuels and Oils. Gains or losses from retirements of materials and supplies shall not be recorded in this account but in profit and loss account 88.5 Capital Gains and Losses—Operating Property.
Record here the cost of public liability and property damage insurance and all other general insurance except insurance covering liability for injuries, loss, and damage to passengers and cargo, and insurance carried for the protection or welfare of employees.
Record here the cost of purchased insurance covering liability for injuries, loss and damage to passengers and cargo.
(a) Record here all costs for the benefit or protection of employees including all pension expenses whether for payments to or on behalf of retired employees or for accruals or annuity payments to provide for pensions; and all expenses for accident, sickness, hospital, and death benefits to employees or the cost of insurance to provide these benefits. Include, also, expenses incurred in medical, educational, or recreational activities for the benefit of employees. Do not include vacation and sick leave pay, or salaries of doctors, nurses, trainees, or instructors, which shall be recorded in the regular salary accounts.
(b) [Reserved]
Record here the remainder of gains, losses or costs resulting from accidents, casualties or mishandlings, after offsetting insurance recoveries, as accumulated until finally determined in balance sheet account 1890 Other Assets and Deferred Charges. This account shall not include gains or losses from retirement of property and equipment resulting from casualties. Such gains or losses shall be recorded in appropriate capital gains or losses accounts.
Record here the production and distribution cost, excluding compensation of air carrier personnel, of all operating schedules, timetables, circulars and related quick reference charts.
Record here the cost, excluding compensation of air carrier personnel, of all space, direct mail, spot and other advertising for the purpose of increasing air travel, disseminating air travel information and publicizing services offered by the air carrier.
Record here gains or losses from transactions involving currency translations resulting from normal, routine, current fluctuations in rates of foreign exchange. Gains or losses of a nonroutine abnormal character and gains or losses which arise from long-term debt principal and interest transactions shall not be entered in this account but in profit and loss account 85, Foreign Exchange Gains and Losses.
Record here the costs, excluding compensation of air carrier personnel, of producing and distributing publicity releases and other expenses, not chargeable to profit and loss accounts 59 and 60, incurred for the purpose of publicizing or improving the public relations of the air carrier generally.
Record here expenses allowed or paid for the care and serving of passengers because of unscheduled interruptions in passenger journeys. Transportation refunds and the cost of forwarding traffic by surface common carrier or otherwise as a result of such interruptions shall not be charged to this account but to the appropriate operating revenue account.
Record here the cost of membership dues in trade associations, chambers of commerce, or other business associations and organizations together with special assessments related thereto.
Record here corporate and fiscal fees and expenses of the air carrier and all expenses in connection with exchange and transfer of capital stock excluding expenses in connection with original issuance of capital stock.
Record here losses from uncollectible accounts and allowance provisions and adjustments thereto, for such losses. When allowances for uncollectible accounts are established, losses as realized shall be charged against such allowances and shall not be charged to this account.
Record here clearance, customs, duties and brokerage fees and charges applicable to clearing aircraft and traffic.
Record here all taxes levied against the air carrier based upon or directly relating to compensation of personnel.
(a) Record here all taxes levied against the air carrier not otherwise provided for including nonrefundable aircraft fuel and oil taxes. Interest and penalties on delinquent taxes shall not be charged to this account but to profit and loss accounts 82 Other Interest and 89.9 Other Miscellaneous Nonoperating Debits, respectively.
(b) Entries to this account shall clearly reveal each kind of tax and the governmental agency to which paid or payable.
Record here all expenses ordinarily associated with air transportation and its incidental services not provided for otherwise.
(a) Record here airframe and aircraft engine overhauls of the current period which are transferred to balance sheet subaccounts 1601.2 Unamortized Airframe Overhauls or 1602.2 Unamortized Aircraft Engine Overhauls. This account shall also include the amount of deferred overhauls costs being amortized for the current period. For carriers which elect to continue accruing for aircraft overhauls for aircraft types acquired before January 1, 1976, as well as for other aircraft of the same type acquired after January 1, 1976, the related provisions and charges shall be recorded in the appropriate subaccounts of this account.
(b) This account shall be subdivided as follows by all carrier groups:
Record here current provisions for effecting an equitable distribution of airframe overhaul costs between different accounting periods. Record here also credits for airframe overhaul costs incurred in the current period which have been charged against related airworthiness allowances.
Record here airframe overhauls of the current period transferred to subaccount 1601.2, Unamortized Airframe Overhauls, and the amount of deferred airframe overhaul costs amortized for the current period.
Record here current provisions for effecting an equitable distribution of aircraft engine overhauls costs between different accounting periods. Record here also credits for aircraft engine overhaul costs incurred in the current period which have been charged against related airworthiness allowances.
Record here airframe overhauls of the current period transferred to subaccount 1602.2, Unamortized Aircraft Engine Overhauls, and the amount of deferred aircraft engine overhaul costs amortized for the current period.
(a) Where allowances for loss in value of flight equipment expendable parts are established, provisions for accruals to such allowances shall be charged to this account and credited to balance sheet account 1311 Allowance for Obsolescence in accordance with the provisions of that account.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here provisions during the current period for losses in value of expendable parts.
Record here credits applicable to the current period for any adjustments for excess inventory allowance levels determined pursuant to section 6-1311.
(a) Record here amortization of deferred changes attaching to the air transportation services conducted by the air carrier which are not prepayments of recurrent expenses ordinarily requiring expenditures of working capital within one year.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here amortization of the cost of projects carried in balance sheet account 1830 Unamortized Developmental and Preoperating Costs.
Record here mortization of the cost of intangibles not provided for otherwise.
(a) Record here provisions for depreciation of property and equipment carried in balance sheet accounts 1601 through 1640, inclusive.
(b) This account shall be subdivided as follows:
Record here provisions for depreciation of property and equipment carried in balance subaccount 1601.1 Airframes.
Record here provisions for depreciation of property and equipment carried in balance sheet subaccount 1602.1 Aircraft Engines.
Record here provisions for depreciation of spare airframe instruments and parts carried in balance sheet subaccount 1608.1 Airframe Parts and Assemblies.
Record here provisions for depreciation of spare aircraft engine instruments and parts carried in balance sheet subaccount 1608.5 Aircraft Engine Parts and Assemblies.
Record here provisions for depreciation of property and equipment carried in balance sheet account 1607 Improvements to Leased Flight Equipment (exclusive of capitalized overhauls accounted for on a deferral and amortization basis) and balance sheet subaccount 1608.9 Other Parts and Assemblies. Group I air carriers shall also include in this subaccount provisions for depreciation of property carried in balance sheet account 1608 Flight Equipment Rotable Parts and Assemblies.
This classification is established only for purposes of control by the BTS and shall include all charges to operating expenses for depreciation of flight equipment of all types and classes.
Record here provisions for depreciation of maintenance property and equipment included in balance sheet accounts 1630 Equipment, 1639 Improvements to Leased Buildings and Equipment, and 1640.1 Maintenance Buildings and Improvements.
Record here provisions for depreciation of property and equipment included in balance of property and equipment included in balance sheet accounts 1630 through 1640, exclusive of provision for depreciation of maintenance property and equipment included in account 75.8.
(a) Record here amortization charges applicable to assets recorded under capital leases in Account 1695—Leased Property under Capital Leases.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here amortization charges applicable to flight equipment acquired under capital leases.
Record here the amortization charges applicable to property and equipment, other than flight equipment, acquired under capital leases.
(a) Record here credits to operating expenses, which have not been cleared to the objective accounts to which applicable.
(b) Each air carrier shall credit, or charge as appropriate, the objective account prescribed for each expense element which may be involved in distribution of expenses between separate reporting entities or nontransport divisions of the air carrier. At the option of the air carrier, either the individual applicable objective accounts or this account may be credited with amounts capitalized, charged against incidental services, or otherwise assigned to other than separate operating entities of the air carrier provided the aggregate credits to this account in each function do not, for any accounting year, distort the individual objective accounts of the function to which related and all expense credits applicable to complete individual transactions are consistently credited either to this account or the individual objective accounts to which related. Each air carrier using this account shall establish such standard practices as may be prescribed by the BTS or, such standard practices as will prevent credits to this account from significantly distorting the individual objective accounts of each function to which related.
(c) This account shall not be credited with amounts applicable to objective accounts of the Flying Operations, Depreciation, and Direct Maintenance functions. Credits applicable to such functions shall be carried to the individual objective accounts to which applicable.
(d) This account shall be subdivided as follows by all air carrier groups:
Record here credits to operating expenses, from operations performed for others under aircraft interchange agreements, which have not been cleared to the objective accounts to which applicable.
Record here credits to operating expenses, from other than operations under aircraft interchange agreements, which have not been cleared to the objective accounts to which applicable.
This classification is established for purposes of control by the BTS and shall include all charges to operating expenses for maintenance of flight equipment of all types and classes.
(a) This classification is established only for purposes of control by the BTS and reporting on Form 41 by air carriers, and shall reflect all maintenance burden applied in accordance with the provisions of section 24, schedule P-5 of this system of accounts and reports.
(b) This classification shall be subdivided as follows by all air carrier groups:
Included under account 89 Other Nonoperating Income and Expense—Net.
(a) Record here interest expense applicable to long-term debt and capitalized leases.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here interest on all classes of long-term debt. This includes interest expense applicable to all portions of long-term debt which are classified as either current (Account 2000) or long-term (Account 2210) for balance sheet classification purposes.
Record here for all capitalized leases, that portion of each lease payment which represents interest expense.
(a) This account shall be subdivided as follows by all air carrier groups:
Record here interest on all classes of short-term debt.
Record here credits related to imputed interest capitalized and recorded in asset accounts.
Record here debits related to imputed interest deferred in balance sheet account 2390, Other deferred credits.
Record here periodic credits for imputed interest, cleared to this account as the amount of such interest in the asset accounts is amortized.
Record here interest which is capitalized and recorded in asset accounts.
Record here for all classes of debt the amortizations of discount and expense on short-term and long-term obligations.
Record here for all classes of debt the amortizations of premium on short-term and long-term obligations.
(b) [Reserved]
Included under account 82 Other Interest.
Included under account 82 Other Interest.
Record here gains and losses from transactions involving currency translations resulting from nonroutine abnormal changes in rates of foreign exchange and gains or losses which arise from translations of long-term debt principal and interest transactions.
Included under account 89 Other Non-Operating Income and Expense—Net.
Included under account 89 Other Nonoperating Income and Expense—Net.
(a) Record here all debits and credits of a nonoperating character which are not otherwise provided for in this section.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here interest income from all sources. This account shall include as an increase or reduction of interest received the proportionate amortization of any discount or premium on the purchase price of securities of others held by the air carrier.
(b) This account shall not include interest on securities issued or assumed by the air carrier and subsequently reacquired.
(a) Record here the gross revenues and expenses applicable to operations not reasonably considered as incidental to the commercial air transport services of the accounting entity; rents from nonoperating properties used by others; income or loss from nontransport divisions; and other income or loss from activities of the air carrier which are extraneous to the air transport and incidental services of the accounting entity.
(b) This account shall include revenues and expenses applicable to nonscheduled transport services performed for the defense establishment when separate reports for such services are required in accordance with section 21 “Introduction to System of Reports.” Where the foregoing transport services are not required to be separately reported, gross revenues from such services shall be included in profit and loss account 07 Charter, or other appropriate revenue account, and gross expenses shall be included in the appropriate operating expense functions.
Record here the equity in the current earnings or losses of investor controlled companies. Dividends declared on the stock of such companies shall not be included in this account as income but shall be entered in balance sheet subaccount 1510.1 Investments in Investor Controlled Companies as a return on investment.
Record here all intercompany credits for any differences between amounts at which transactions between the air carrier and its nontransport divisions or associated companies are initially recorded and are to be settled.
Record here income from dividends declared on stocks of other than investor controlled companies. Dividends declared on stock of investor controlled companies shall not be included in this account but shall be entered in balance sheet subaccount 1510.1 Investments in Investor Controlled Companies.
Record here the net unrealized gain or loss on the valuation of marketable equity securities.
Record here the net realized gain or loss on the valuation of marketable equity securities.
Record here gains or losses on retirements of operating property and equipment, flight equipment expendable parts, or miscellaneous materials and supplies sold or otherwise retired in connection with a general retirement program as opposed to incidental sales performed as a service to others.
Record here gains or losses not required to be reported in accounts 88.3, 88.4 and 88.5 such as gains or losses on retirement of nonoperating property and equipment, investments in other than marketable equity securities, and the transfer of assets in a troubled debt restructuring.
Record here cash discounts on routine purchases of materials, repair parts or supplies. Cash discounts on classes of assets included in property and equipment accounts shall not be recorded in this account but shall be applied as a reduction of the cost of such accounts.
Record here all credits of a nonoperating character not provided for otherwise, such as royalties from patents, gains from reacquisition and retirement or resale of debt securities issued by the air carrier, and gains resulting from troubled debt restructurings.
Record here all intercompany debits for any differences between amounts at which transactions between the air carrier and its nontransport divisions or associated companies are initially recorded and are to be settled.
Record here all debits of a nonoperating character not provided for otherwise, such as the following:
(a) Fines or penalties imposes by governmental authorities;
(b) Costs associated with employment discrimination that include the following:
(1) Fines or penalties paid by the carrier as a result of a judicial or administrative decree; or the amount paid to the complainant in settling or securing a consent decree;
(2) Back pay awards as a result of a judicial or administrative decree or a compromise settlement regardless of admission of guilt;
(3) Attorneys' fees or court costs awarded to the complainant by a judicial or administrative decree or as a result of a compromise settlement regardless of admission of guilt;
(4) The fees of outside legal counsel or of experts retained in the unsuccessful defense of a discrimination suit or in securing a compromise settlement or consent decree, unless the amounts attributable to the discrimination are not reasonably identifiable; or
(5) Any other expenses, such as employee salaries, resulting from employment practices that were found to be discriminatory or that were the subject of a compromise settlement or consent decree where the amounts attributable to discrimination are reasonably identifiable.
(c) Amortization expense attributable to capital leases recorded in balance sheet Account 1795, Leased Property under Capital Leases;
(d) Costs related to property held for future use;
(e) Donations for charitable, social or community welfare purposes;
(f) Losses on reacquired and retired or resold debt securities of the air carrier;
(g) Losses resulting from troubled debt restructurings;
(h) Losses on uncollectible nonoperating receivables; or
(i) Accruals to allowance for uncollectible nonoperating receivables.
(a) Record here quarterly provisions for accruals of Federal, State, local, and foreign taxes based upon net income, computed at the normal tax and surtax rates in effect during the current accounting year. In general, this account shall reflect provisions within each period for currently accruing tax liabilities as actually or constructively computed on tax returns, and any subsequent adjustments. This account shall include credits for refund claims arising from the carryback of losses in the year in which the loss occurs, credits for the carry-forward of losses in the year to which the loss is carried, and investment tax credits in the year in which each credit is utilized to reduce the liability for income taxes.
(b) Income taxes shall be allocated among the transport entities of the air carrier, its nontransport divisions, and members of an affiliated group. Under circumstances in which income taxes are determined on a consolidated basis by an air carrier and other members of an affiliated group, the income tax expense to be recorded by the air carrier shall be the same as would result if determined for the air carrier separately for all time periods, except that the tax effect of carryback and carryforward operating losses, investment tax credits, or other tax credits generated by operations of the air carrier shall be recorded by the air carrier during the period in which applied in settlement of the taxes otherwise attributable to any member, or combination of members, of the affiliated group. Any difference between the income tax so recorded and the amount at which settlement is to be made shall be recorded in subaccount 88.1 Intercompany Transaction Adjustment—Credit or in subaccount 89.1 Intercompany Transaction Adjustment—Debit, as is appropriate.
(c) This account shall be subdivided as follows by all carrier groups:
Record here accruals of income taxes based upon taxable income of the period.
Record here investment tax credits utilized to reduce the accrued liability for income taxes.
(a) Record here income tax debits and credits deferred in accordance with the provisions of balance sheet account 2340 Deferred Income Taxes for all material timing differences.
(b) This account shall be subdivided as follows by all air carrier groups:
(a) Record here investment tax credits of the current period which are transferred to balance sheet account 2345 Deferred Investment Tax Credits in accordance with the provisions of balance sheet account 2130 Accrued Taxes. This account shall also include amounts for previously deferred investment tax credits amortized during the current period.
(b) This account shall be subdivided as follows by all carrier groups:
(a) Record here the earnings (losses) of discontinued nontransport operations. For the purposes of this system of accounts and reports discontinued operations shall refer to the disposal of investor controlled companies and nontransport ventures whether sold, abandoned, spun off, or otherwise disposed of. This account shall not include earnings or losses from discontinued transport or transport-related operations.
(b) This account shall be subdivided as follows by all air carrier groups:
Record here the results of operations of the discontinued operations.
Record here the gain or loss on the disposal of an operation. If loss is anticipated it should be provided for at the measurement date. If gain is anticipated it should be recognized when realized.
Record here material items characterized by their unusual nature and infrequent occurrence. Events or transactions which are material and either unusual or nonrecurring, but not both, shall be recorded in the profit and loss accounts to which they relate and disclosed on BTS Form 41 Schedule P-2 with identification as to their nature and financial effects.
Record here income taxes allocable to items of income included in profit and loss account 96 Extraordinary Items and income tax assessments that do not constitute ordinary adjustments of a recurrent nature. Records supporting entries to this account shall be maintained with sufficient particularity to identify the nature and gross amount of each extraordinary credit and each extraordinary debit.
Record here the difference between the amount of retained earnings at the beginning of the period of a change in accounting principle and the amount of retained earnings that would have been reported at that date if the new accounting principle had been applied retroactively for all periods which would have been affected and by recognizing only the direct effects of a change and the related income tax effect.
(a) United States air carrier. Each large certificated U.S. air carrier shall file with the Department, on a monthly basis, Form 41 Schedule T-100 “U.S. Air Carrier Traffic and Capacity Data By Nonstop Segment and On-flight Market,” and summary data as prescribed in this section and in sections 22 and 25 of this part.
(b) Foreign (non-U.S.) air carrier: Each foreign air carrier as required by part 217 of this chapter shall file Form 41 Schedule T-100(f) “Foreign Air Carrier Traffic Data by Nonstop Segment and On-flight Market.” The “Instructions to Foreign Air Carriers for Reporting Traffic Data on Form 41 Schedule T-100(f),” (Instructions-Foreign Air Carriers) are included in the Appendix to § 217.10 of this chapter.
(c) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(d) On-flight market and nonstop segment detail data by carrier shall be made public only as provided in section 19-6.
(a) Each air carrier required to file Form 41 Schedule T-100 data shall maintain its operating statistics, covering the movement of traffic in accordance with the uniform classifications prescribed. Codes are prescribed for each operating element and service class. All traffic statistics shall be compiled in terms of each flight stage as actually performed.
(b) Each carrier shall maintain data applicable to the specified traffic and capacity elements prescribed in section 19-5 and section 25, and by general service classes prescribed in section 19-4 of this part.
(c) Operating statistics shall be maintained in accordance with the type of record, either nonstop segment or on-flight market.
(d) Schedule T-100 collects summarized flight stage data and on-flight market data. All traffic statistics shall be compiled in terms of each revenue flight stage as actually performed. The detail T-100 data shall be maintained in a manner permitting monthly summarization and organization into two basic groupings: The nonstop segment information that must be summarized by equipment type, within class of service, within pair-of-points, without regard to individual flight numbers. The second grouping requires that the enplanement/deplanement information be broken out into separate units called “on-flight market records.” These records must be summarized by class of service, within pair-of-points, without regard for equipment type or flight number.
(e) The Department may authorize joint-service operations between two direct air carriers. Examples of these joint-services are blocked-space agreements, part-charter agreements, code-share agreements, wet-lease agreements, and other similar arrangements. Joint services operations are reported by the air carrier in operational control of the aircraft. The traffic moving under these agreements is reported on Schedule T-100 the same way as any other traffic on the aircraft.
(f) Any questions regarding T-100 should be e-mailed to T100.Support@dot.gov.
(a) Each reporting air carrier shall maintain its prescribed operating statistics in a manner and at such locations as will permit ready accessability for examination by representatives of the Department. The record retention requirements are prescribed in part 249 of this chapter.
(b) [Reserved]
(c) Form 41 Schedule T-100 reports shall be transmitted in accordance with the standard practices established by the Department, and must be received by the Department within 30 days following the end of each reporting month.
The statistical classifications are designed to reflect the operating elements attributable to each distinctive class of service offered. The operating elements shall be grouped in accordance with their inherent characteristics as follows:
(a) Scheduled services. Scheduled services shall include traffic and capacity elements applicable to air transportation provided pursuant to published schedules and extra sections to scheduled flights. Scheduled Passenger/Cargo (Service Class F) is a composite of first class, coach, and mixed passenger/cargo service. The following classifications shall be reported, as applicable:
(b) Nonscheduled services. Nonscheduled services shall include all traffic and capacity elements applicable to the performance of nonscheduled aircraft charters, and other air transportation services not constituting an integral part of services performed pursuant to published flight schedules. The following classifications shall be reported, as applicable:
(c) All Services. This classification shall reflect, for the applicable elements, the aggregate amounts for all services performed by the operating entity:
(a) Within each of the service classifications prescribed in section 19-4, data shall be reported as applicable to specified air transport traffic and capacity elements.
(b) These reported items are as follows:
| Code | Description | Segment | Market | Computed by DOT |
|---|---|---|---|---|
| Carrier, carrier entity code | S | M | ||
| Reporting period date | S | M | ||
| Origin airport code | S | M | ||
| Destination airport code | S | M | ||
| Service class code | S | M | ||
| Aircraft type code | S | |||
| 110 | Revenue passengers enplaned | M | ||
| 130 | Revenue passengers transported | S | ||
| 140 | Revenue passenger-miles | CFD * | ||
| 210 | Revenue cargo tons enplaned | CFD * | ||
| 217 | Enplaned freight | M | ||
| 219 | Enplaned mail | M | ||
| 230 | Revenue tons transported | CFD * | ||
| 237 | Transported freight | S | ||
| 239 | Transported mail | S | ||
| 240 | Revenue ton-miles | CFD * | ||
| 241 | Revenue ton-miles passenger | CFD * | ||
| 247 | Revenue ton-miles freight | CFD * | ||
| 249 | Revenue ton-miles mail | CFD * | ||
| 270 | Available capacity payload | S | ||
| 280 | Available ton-miles | CFD * | ||
| 310 | Available seats, total | S | ||
| 320 | Available seat-miles | CFD * | ||
| 410 | Revenue aircraft miles flown | CFD * | ||
| 430 | Revenue aircraft miles scheduled | CFD * | ||
| 501 | Inter-airport distance | CFD * | ||
| 510 | Revenue aircraft departures performed | S | ||
| 520 | Revenue aircraft departures scheduled | S | ||
| 610 | Revenue aircraft hours (airborne) | S | ||
| 630 | Aircraft hours (ramp-to-ramp) | S | ||
| 650 | Total aircraft hours (airborne) | S |
* CFD = Computed by DOT from detail Schedule T-100 and T-100(f) data.
(c) These reported items are further described as follows:
(1) Reporting period date. The year and month or quarter to which the reported data are applicable.
(2) Carrier, Carrier entity code. Each foreign air carrier shall report its name and code (assigned by DOT). Each U.S. air carrier shall report its name and entity code (a five digit code assigned by DOT that identifies both the carrier and its entity) for its particular operations. The Office of Airline Information (OAI) will assign or confirm codes upon request; OAI's address is in the Appendix to section 25 of this part and the Appendix to § 217.10 of this chapter.
(3) Service class code. The service class codes are prescribed in section 19-4 of this part. In general, classes are divided into two broad categories, either K (scheduled) or V (nonscheduled), where K = F + G for all carriers and V = L + N + P + R for U.S. air carriers and comprises L + P and Q for foreign air carriers. Refer to section 19-4 for the more information on service class codes F, G, L, N, P, R and Q.
(4) Record type code. This code indicates whether the data pertain to nonstop segment (record type S) or on-flight market (record type M).
(5) Aircraft type code. This code represents the aircraft types, as described in the Appendix to section 25 of this part.
(6) Origin, Destination airport code(s). These codes represent the industry designators described in the Appendix to section 25 of this part. A common private industry source of these industry designator codes is the Official Airline Guides (OAG). OAI will assign codes upon request if not listed in the OAG.
(7) 110 Revenue passengers enplaned. The total number of revenue passengers enplaned at the origin point of a flight, boarding the flight for the first time; an unduplicated count of passengers in a market. Under the T-100 system of reporting, these enplaned passengers are the sum of the passengers in the individual on-flight markets. Report only the total revenue passengers enplaned in item 110. For all air carriers and all entities, item 110 revenue passengers enplaned is reported on Form 41 Schedule T-100 in column C-1, as follows:
| Col. | All carrier groups and entities | |
|---|---|---|
| C-1 | 110 | Revenue passengers enplaned. |
(8) 130 Revenue passengers transported. The total number of revenue passengers transported over single flight stage, including those already on board the aircraft from a previous flight stage. Report only the total revenue passengers transported in item 130. For all air carriers and all entities, item 130 revenue passengers transported is reported on Form 41 Schedule T-100 in Column B-7, as follows:
| Col. | All carrier groups and entities | |
|---|---|---|
| B-7 | 130 | Revenue passengers transported. |
(9) 140 Revenue passenger-miles. Computed by multiplying the interairport distance of each flight stage by the number of passengers transported on that flight stage.
(10) 210 Revenue cargo tons enplaned. The total number of cargo tons enplaned. This data element is a sum of the individual on-flight market figures for each of the following categories: 217 Freight and 219 mail. This element represents an unduplicated count of the revenue traffic in a market.
(11) 230 Revenue tons transported. The number of tons of revenue traffic transported. This element is the sum of the following elements: 231 Passengers transported-total, 237 Freight, and 239 Mail.
(12) 240 Revenue ton-miles—total. Ton-miles are computed by multiplying the revenue aircraft miles flown (410) on each flight stage by the number of tons transported on that stage. This element is the sum of 241 through 249.
(13) 241 Revenue ton-miles—passenger. Equals the number of passengers times 200, times interairport distance, divided by 2000. A standard weight of 200 pounds per passenger, including baggage, is used for all operations and service classes.
(14) 247 Revenue ton-miles—freight. Equals the volume of freight in whole tons times the interairport distance.
(15) 249 Revenue ton-miles—mail. Equals the volume of mail in whole tons times the interairport distance.
(16) 270 Available capacity-payload. The available capacity is collected in pounds. This figure shall reflect the payload or total available capacity for passengers, mail and freight applicable to the aircraft with which each flight stage is performed.
(17) 280 Available ton-miles. The aircraft miles flown on each flight stage multiplied by the available capacity on the aircraft in tons.
(18) 310 Available seats. The number of seats available for sale. This figure reflects the actual number of seats available, excluding those blocked for safety or operational reasons. Report the total available seats in item 310. For all air carriers and all entities, item 310 available seats, total is reported on Form 41 Schedule T-100 in column B-4, as follows.
| Col. | All carrier groups and entities | |
|---|---|---|
| B-4 | 310 | Available seats, total. |
(19) 320 Available seat-miles. The aircraft miles flown on each flight stage multiplied by the seat capacity available for sale.
(20) 410 Revenue aircraft miles flown. Revenue aircraft miles flown are computed in accordance with the airport pairs between which service is actually performed; miles are generated from the data for scheduled aircraft departures (Code 520) times the interairport distances (Code 501).
(21) 430 Revenue aircraft miles scheduled. The number of revenue aircraft miles scheduled. All such data shall be maintained in conformity with the airport pairs between which service is scheduled, whether or not in accordance with actual performance.
(22) 501 Interairport distance. The great circle distance, in official statute miles as prescribed in part 247 of this chapter, between airports served by each flight stage. Official interairport mileage may be obtained from the Office of Airline Information at the address included in section 25 of this part.
(23) Revenue aircraft departures performed. The number of revenue aircraft departures performed.
(24) 520 Revenue aircraft departures scheduled. The number of revenue aircraft departures scheduled, whether or not actually performed.
(25) 610 Revenue aircraft hours (airborne). The elapsed time, computed from the moment the aircraft leaves the ground until its next landing.
(26) 630 Aircraft hours (ramp-to-ramp). The elapsed time, computed from the moment the aircraft first moves under its own power from the boarding ramp at one airport to the time it comes to rest at the ramp for the next point of landing. This data element is also referred to as “block” and block-to-block aircraft hours.
(27) 650 Total aircraft hours (airborne). The elapsed time, computed from the moment the aircraft leaves the ground until it touches down at the next landing. This includes flight training, testing, and ferry flights.
(28) 810 Aircraft days assigned to service—carrier's equipment. The number of days that aircraft owned or acquired through rental or lease (but not interchange) are in the possession of the reporting air carrier and are available for service on the reporting carrier's routes plus the number of days such aircraft are in service on routes of others under interchange agreements. Includes days in overhaul, or temporarily out of service due to schedule cancellations. Excludes days that newly acquired aircraft are on hand, but not available for productive use, days rented or leased to others (for other than interchange) and days in possession but formally withdrawn from air transportation service.
(29) 820 Aircraft days assigned to service—carrier's routes. The same as “aircraft days assigned to service—carrier's equipment,” but excluding the number of days that the reporting carrier's owned or rented equipment are in the possession of others under interchange agreements and including the number of days aircraft of others are in the possession of the reporting air carrier under interchange agreements.
(30) 921 Aircraft fuels issued (gallons). The amount of aircraft fuels issued, in U.S. gallons, during the reporting period for both revenue and nonrevenue flights.
(a) Detailed domestic on-flight market data and nonstop segment data except military data shall be made publicly available after processing. Domestic data are defined as data from air transportation operations from a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession to a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession. Domestic military operations are reported under service codes N or R.
(b) Detailed international on-flight market and nonstop segment data in Schedule T-100 and Schedule T-100(f) reports, except military data, shall be publicly available immediately following the Department's determination that the database is complete. Military operations are reported under service codes N or R. Data for on-flight markets and nonstop segments involving no U.S. point shall not be made publicly available for three years. Industry and carrier summary data may be made public before the end of six months or the end of three years, as applicable, provided there are three or more carriers in the summary data disclosed. The Department may, at any time, publish international summary statistics without carrier detail. Further, the Department may release nonstop segment and on-flight market detail data by carrier before the end of the confidentiality period as follows:
(1) To foreign governments as provided in reciprocal arrangements between the foreign country and U.S. Government for exchange of on-flight market and/or nonstop segment data submitted by air carriers of that foreign country and U.S. carriers serving that foreign country;
(2) To parties to any proceeding before the Department under 49 U.S.C. Subtitle VII, as required by the Administrative Law Judge or other decisionmaker of the Department. Parties may designate agents or consultants to receive the data in their behalf, provided the agents or consultants agree to abide by the disclosure restrictions. Any data to which access is granted pursuant to this provision may be introduced into evidence, subject to the normal rules of admissibility of evidence.
(3) To agencies and other components of the U.S. Government for their internal use only.
(a) All U.S. large certificated air carriers conducting scheduled passenger operations (except helicopter carriers) shall participate in a Passenger Origin-Destination (O & D) Survey covering domestic and international operations, as described in the instructions manual entitled, Instructions to Air Carriers for Collecting and Reporting Passenger Origin-Destination Survey Statistics (Appendix A to this section), and in Passenger Origin-Destination Directives issued by the Department's Bureau of Transportation Statistics (BTS), Office of Airline Information (OAI). Copies of these Instructions and Directives are provided to each large carrier participating in the Survey. Copies are also available from the Office of Airline Information, RTS-42, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. Copies of these Instructions and Directives are available on the BTS Web page at (http://www.bts.gov/programs/airline_information/).
(b) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(c) A statistically valid sample of light coupons shall be selected for reporting purposes. The sample shall consist of at least 1 percent of the total lifted ticket flight coupons for all large domestic markets listed in the Instructions and 10 percent for all others—including domestic and international markets. The sample shall be selected and reported in accordance with the requirements of paragraph (a) of their section, except that the participating O & D carriers with nonstandard ticketing procedures, or other special operating characteristics, may propose alternative procedures. Such departures from standard O & D Survey practices shall not be authorized unless approved in writing by the Director, Office of Airline Information under the procedures in Sec. 1-2 of 14 CFR part 241. The data to be recorded and reported from selected lifted ticket flight coupons, as stipulated in the Instructions and Directives shall include the following data elements: Point of origin, carrier on each flight-coupon stage, fare-basis code for each flight-coupon stage, points of stopover or connection (interline and intraline), point of destination, number of passengers, and total dollar value of ticket (fare plus tax).
(d) Data covering the operations of foreign air carriers that are similar to the information collected in the Passenger Origin-Destination Survey are generally not available to the Department, the U.S. carriers, or U.S. interests. Therefore, because of the damaging competitive impact on U.S. carriers and the adverse effect upon the public interest that would result from unilateral disclosure of the U.S. survey data, the Department has determined its policy to be that the international data in the Passenger Origin-Destination Survey shall be disclosed only as follows:
(1) To an air carrier directly participating in and contributing input data to the Survey or to a legal or consulting firm designated by an air carrier to use on its behalf O & D data in connection with a specific assignment by such carrier.
(2) To parties to any proceeding before the Department to the extent that such data are relevant and material to the issues in the proceeding upon a determination to this effect by the Administrative Law Judge or by the Department's decision-maker. Any data to which access is granted pursuant to this section may be introduced into evidence subject to the normal rules of admissability of evidence.
(3) To agencies and other components of the U.S. Government.
(4) To other persons upon a showing that the release of the data will serve specifically identified needs of U.S. users which are consistent with U.S. interests.
(5) To foreign governments and foreign users as provided in formal reciprocal arrangements between the foreign and U.S. governments for the exchange of comparable O & D data.
(e) The Department reserves the right to make such other disclosures of the O & D data as is consistent with its regulatory functions and responsibilities.
A single O&D Survey is conducted continuously by the large U.S. certificated air carriers. Foreign air carriers do not directly participate in the Survey, although some of their data are captured in the Survey, since passengers who share a ticketed itinerary between a U.S. carrier and a foreign carrier may be sampled by the U.S. carrier. The authority for these instructions is found in 14 CFR part 241, sec. 19-7.
The Survey samples revenue passenger trips moving in whole or in part on domestic and/or international scheduled services of the carriers participating in the Survey. In general, these requirements do not apply to small certificated, all-cargo and all charter carriers.
The source documents for the Survey data are passenger tickets. These data are collected from the “lifted” flight coupons of tickets (a portion of a multi-part ticket booklet of three
The Survey data are taken from the coupon that is lifted by a participating carrier, unless it is apparent from the lifted coupon that another participating carrier has already recorded and reported the data, in which instance the ticket coupon is non-reportable for the second honoring/participating carrier. The complete passenger itinerary, and related data on type of fare and dollar value of the ticket, is recorded as one entry from the sampled, reportable flight coupon.
The recording of data from the sampled flight coupon normally consists of transcribing the information exactly as indicated on the ticket. The detail recorded for each trip shows the complete routing from the origin city (airport code) to the destination city (airport code) including, in sequence from the origin, each point of transfer and stopover (intraline and interline), the summarized fare-basis code shown for each flight coupon stage of the itinerary, and the total dollar value of the fare and tax for the entire ticket.
Prior to 1987, the Survey was generally based on a 10-percent sample of passenger tickets. Beginning July 1, 1987, the Survey is collected primarily on the basis of a stratified, scientific sample of at least 1 percent of tickets in domestic major markets and 10 percent of tickets in all other domestic and in all international city-pair markets. The Survey data are taken from the selected flight coupons of the tickets sampled: single-coupon or double-coupon round trips in domestic major markets where the ticket serial number ends in double zero (00) and all other ticket coupons ending in zero (0). This procedure yields a “two-tiered” stratified sample.
Group tickets are included on the basis of a 10-percent sample when the number of passengers on such a group ticket is 10 or less. Group tickets with more than 10 passengers on each ticket are included on the basis of a 100 percent census, i.e., all such tickets are sampled, regardless of serial number, and the total data listed are conformed to a 10 percent sample for inclusion in the O&D Survey.
Following the selection of reportable flight coupons and the recording of data, each participating carrier shall edit and summarize
These data collection and reporting instructions are effective on and after July 1, 1987 and apply to all flight coupons lifted on or after July 1, 1987.
A. Participating carriers. As defined in section 19-7 of the Department's Economic Regulations (14 CFR part 241), the participants in the O&D Survey include all large certificated air carriers conducting scheduled passenger services (except helicopter carriers). These participating carriers collect and report data in accordance with these Instructions, and supplemental Passenger Origin-Destination Directives that may be issued periodically. The list of participating carriers will be issued by reporting directive under the authority in 14 CFR 385.27(b).
B. Amendments to list of participating carriers. As new carriers begin service, they will be required to file O&D Survey Data. These carriers will not be added to the participating carrier list automatically, but will be added when the next annual review is made.
A. Period covered by reports. Reports are to be filed for each calendar quarter of the year as shown below:
| Report | Time period covered |
|---|---|
| 1st quarter | Jan. 1 through Mar. 31. |
| 2nd quarter | Apr. 1 through June 30. |
| 3rd quarter | July 1 through Sept. 30. |
| 4th quarter | Oct. 1 through Dec. 31. |
B. Filing date for reports. Reports are to be filed with the Department on or before the dates listed below. The mailing address is on the inside cover to these instructions.
| Report | Due date 1 |
|---|---|
| 1st quarter | May 15 |
| 2nd quarter | Aug. 15 |
| 3rd quarter | Nov. 15 |
| 4th quarter | Feb. 15 |
1 Due dates falling on Saturday, Sunday or national holiday will become effective the first following work day.
C. Format of the Report. Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
D. [Reserved]
E. All reports shall be filed with the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
A. Sampling Basis. Each participating carrier in this O&D Survey shall search all listed flight coupons, whether the coupons are its own ticket stock or on the ticket stock of another U.S. or foreign carrier (either standard IATA and ARC ticket stock or nonstandard ticket stock), and is to select for reporting purposes the following flight coupons:
(1) Major domestic markets. All single-passenger flight coupons that are either a single flight coupon ticket or part of a round trip, two coupon ticket where the ticket serial number ends in the digits double-zero (00).
The list of major domestic markets will be issued by reporting directive under the authority in 14 CFR 385.27(b).
(2) International markets and all other domestic markets. (a) All single-passenger flight coupons with ticket serial numbers ending with the digit zero (0);
(b) Those group-ticket flight coupons with 10 or fewer passengers with ticket serial numbers ending with the digit zero (0);
(c) Those group-ticket flight coupons with 11 or more passengers without regard to serial number; and
(d) Itineraries in major domestic markets that comprise more than two coupons are sampled on a uniform 10 percent basis, by selecting all ticket serial numbers ending with the digit zero (0).
B. Selection of Reportable Flight Coupons. The flight coupons identified above are to be examined to isolate the reportable flight coupons, i.e. coupons from which data are to be recorded. Flight coupon data are reported only by the first honoring and participating carrier (operating carrier). Such carriers shall report the required data for the entire ticketed itinerary.
If a participating carrier has preceded an examining carrier on any stage in the trip itinerary, including any stage in a conjunction itinerary and any stage in a reissued ticket (either before or after reissue) that coupon is not reportable.
For conjunction tickets, the ticket number for the first ticket booklet determines if the conjunction tickets should be reported in the Survey. Otherwise, conjunction tickets do not require special treatment and are governed by the rules for regular tickets.
No adjustment is made in the Survey for alterations or changes in the trip itinerary subsequent to the stage covered by the reportable coupon.
C. Optional Use of Other Sampling Procedures.
(1) Alternative sampling procedures or alternative O&D data systems may be proposed by participating carriers with nonstandard ticketing procedures, or other special operating characteristics. Data reported under proposed alternative procedures must approximate the usefulness and statistical validity of the O&D Survey.
(2) Such departures from the prescribed O&D Survey practices shall not be authorized unless approved in writing by the Director, Office of Airline Information (address inside front cover). The proposed alternative O&D Survey procedures must be described in detail in the letter requesting the waiver.
D. Recording of Data from Reportable Flight Coupons. (1) The following items are to be reported from the reportable flight coupons:
(a) Point of origin,
(b) Operating carrier on each flight stage (if unknown, identify ticketed carrier),
(c) Ticketed carrier on each flight stage,
(d) Fare-basis on each flight coupon, C, D, F, G, X or Y,
(e) Points of stopover or connection (interline and intraline),
(f) Point of destination,
(g) Number of passengers, and
(h) Total dollar value of ticket (fare plus tax and other charges, such as Passenger Facility Charges).
(2) The individual items are to be recorded in the sequence of occurrence in the itinerary as follows:
(a) All entries for points (airport codes
| 000001 | UCA | YV | UA | Y | JFK | TW | TW | X |
|---|---|---|---|---|---|---|---|---|
| Passenger(s) | Utica | Mesa
Operating Carrier | United
Ticketed Carrier | Fare Code | New York
Kennedy Airport | TWA
Operating Carrier | TWA
Ticketed Carrier | Fare Code |
Surface Transportation
| SFO | (Blank space) | ||
|---|---|---|---|
| San Francisco | Operating Carrier | Ticketed Carrier | Fare Code |
| OAK | UA | UA | G | LAX | DL | DL | F |
|---|---|---|---|---|---|---|---|
| Oakland | United
Operating Carrier | United
Ticketed Carrier | Fare | Los Angeles | Delta
Operating Carrier | Delta
Operating Carrier | Fare Code |
| SLC | NW | NW | D | PHX | AA | AA | C | LAX |
|---|---|---|---|---|---|---|---|---|
| Salt Lake City | Northwest
Operating Carrier | Northwest
Ticketed Carrier | Fare Code | Phoenix | American
Operating Carrier | American
Ticketed Carrier | Fare Code | Los Angeles |
| JL | JL | C | NRT | 04596 |
|---|---|---|---|---|
| Japan Air Lines
Operating Carrier | Japan Air Lines
Ticketed Carrier | Fare Code | Tokyo Narita | Dollars of Fare + Tax |
In the above example, the passenger trip stages or segments are compressed into the maximum of 7 stages so that several intermediate city-pairs (Los Angeles to Seattle to Anchorage, or LAX—SEA—Anc) and the related carriers have not been recorded, as prescribed below in this Section V.D.(3)(e). In addition, after the fourth city-pair (Los Angeles-Salt Lake City), the passenger trip itinerary moves from the initial four-part ticket booklet onto another “conjunction” ticket, and the summary fare code data are not recorded beyond the initial four-part ticket.
(b) All entries for operating and ticketed carriers for a coupon stage of an itinerary are to be recorded using two character IATA-assigned or DOT codes, as in the above example. Note that the fare code summary was properly inserted after the ticketed carrier's code, i.e., UA for United Air Lines and Y for unrestricted coach class service. When a two-character carrier code is shown on the ticket, record that code for the ticketed carrier. However, if a code is obviously incorrect, record the correct carrier code. If the reporting carrier does not know the operating carrier on a downline code-share segment, it would use the ticketed carrier's code for both the operating and ticketed carriers. The reporting carrier is not responsible for knowing the operating carrier of a downline code-share where it is not a party to the code-share segment. Except for the infrequent compression of data to fit into the stage-length limitation (7 or 23 stages at the carrier's option), all carrier codes are to be recorded, including data on air taxis, commuters, intra-state, and other carrier portions of itineraries. On tickets involving interchange service or other cooperative carrier arrangements, the juncture point(s) where the passenger moves from one carrier system to another is to be recorded as an intermediate point in the itinerary, even when not shown on the ticket and even though the flight may overfly the juncture point.
(c) Entries for fare-basis codes are to be taken from the “fare basis” and “fare description” portions of the ticket and simplified into the appropriate category, as shown below. No attempt shall be made to determine and record fare-basis codes for that portion of a conjunction ticket appearing in the ticket. Fare-basis codes are to be recorded in one-character alphabetic codes. The fare-basis codes are recorded as follows:
(d) In recording the number of passengers, each single-passenger ticket is to be recorded as one passenger. Tickets for infants under two years of age not occupying a seat are not to be counted. A revenue passenger is defined in Section X.
For group tickets of 10 or fewer passengers per ticket record the actual number of passengers on each ticket, i.e., either 2, 3, 4, 5, 6, 7, 8, 9 or 10. For group tickets with 11 or more passengers (those sampled at a 100-percent rate) record the actual number of passengers traveling on each ticket, but keep these entries separate from the group ticket records with 10 or fewer passengers and from the single-passenger ticket records. Group tickets with 11 or more passengers are to be sorted and summarized to combine all passengers for all itineraries which are identical in every respect, i.e., points, carriers, fare basis codes, and average dollar value (as defined in paragraph (e), below). The total number of passengers on each summarized record is to be divided by 10, rounding to the nearest whole passenger. If the quotient ends in 0.5 or more, raise to the next whole passenger. If the quotient ends in less than 0.5, drop the fraction. These large group-ticket records, after division by 10 for compatibility with the other data, are to be merged with the single-passenger records and with the group-ticket entries from tickets of 10 or fewer passengers for the quarterly O&D Survey report.
(e) The total dollar value shall be taken from the “Total” box on each ticket and shall be the sum of the fare plus tax for the entire ticket. Record this amount in whole U.S. dollars, with the cents dropped. Do not round cents to nearest whole dollar.
Amounts on tickets stated in foreign currency are to be converted to U.S. dollar equivalents. For all group tickets, the dollar value to be recorded shall be the average amount per passenger, determined by dividing the total dollar value for the entire group by the number of passengers on the group ticket, dropping cents in the average amount.
(3) The length of the itineraries to be recorded is limited to a maximum of seven stages or twenty-three stages, at the carrier's option. This recognizes that the vast majority of tickets sampled have seven stages or fewer and that the rare occurrences of extremely lengthy itineraries do not impact the overall Survey results enough to justify their reporting burden. Therefore, trips longer than these limits are compressed to fall within the stated maximums. The ticketed origin and destination are retained, but the intermediate routing is compressed by applying the following rules, in sequence:
(a) Combine any contiguous open, unknown carrier, or surface stages eliminating the connecting point, and ignoring the fare-basis codes, if different:
(b) Combine any contiguous stages via the same non-U.S. carrier, eliminating the connecting point, and ignoring the fare-basis codes, if different;
(c) Combine any contiguous stages via different non-U.S. carrier, making the carrier “UK”, eliminating the connecting point, and ignoring fare-basis codes, if different:
(d) Combine any contiguous stages via the same U.S. carrier, eliminating the connecting point, and ignoring the fare-basis codes, if different, and;
(e) If the trip, after applying the four steps above, is still too long, record the compressed routing through to the stage length limitation city (seventh or twenty-third city), enter UK as the final carrier, and then record the ticketed destination as the next (the 8th or 24th) city.
A. General. Prior to the submission of each quarterly report to the Department, each carrier is to summarize the data in accordance with the rules in Section VI.B. In special hardship cases, carriers may submit a waiver request (with justification under Section 1-2 of 14 CFR part 241) requesting permission to report their flight coupon records exactly as represented on their lifted tickets. Waiver requests must provide the documentation described in Section VI.C. so that the Department can develop the necessary procedures and edit routines to ensure the accuracy and reliability of the overall O&D Survey results. The granting of such waivers will depend upon the availability of resources for the Department to assume this additional burden, which can only be determined on a case by case basis, after evaluating each carrier's need.
B. Rules for Summarization. Sort the recorded entries into sequence by the entire record (excluding the passenger field) i.e., by origin, complete routing (including fare-basis codes), tickets destination, and dollar value of ticket. All identical records are then to be combined into one summary record. The number of passengers on the summary record is to be the sum of the passenger amounts of all the individual records combined. Passengers are only summarized where records are identical in all respects except in the number of passengers including dollar value of ticket. Note: Do not summarize dollars over identical records. This summarization is to include the entries from group tickets, but only after the entries for group tickets with 11 or more passengers have been summarized and divided by 10, as stated in Section V.D.(2)(d).
C. Waiver Requests. Requests for permission to depart from the required O&D Survey procedures should include a procedural statement describing the process the carrier proposed to employ in examining, selecting and editing the data from reportable flight coupons for the O&D Survey, as well as a flow chart diagramming the proposed procedures.
D. Quantity and Quality Controls. Carriers are expected to establish and maintain continuous quantity and quality controls on the flow of all lifted flight coupons through their system processes to determine the total number of coupons handled and the number of reportable coupons selected. Such data controls and tests have not been specified by the Department, and necessarily must be developed by each carrier. Each participating carrier shall develop and use on a continuous basis such control tests as are necessary to ensure that all reportable coupons are being selected, recorded and reported as intended by these O&D Survey Instructions. Such controls should extend over all ADP processing, both in-house and that from external service bureaus.
A. City and Airport Codes. Prior to submission of O&D Survey reports, each carrier is to edit the recorded data to validate city and airport codes. This edit is to verify that the codes recorded are valid official codes, and it is independent of whether or not the carriers shown actually operated into or out of the airport shown. Any questions about airport codes should be addressed to the Director, Office of Airline Information (see inside of cover).
B. Edit Responsibility of Carriers. Each carrier is responsible for developing edit procedures and internal controls over its data entry and processing procedures so that valid and reliable data are captured in the O&D Survey inputs and are properly summarized in the outputs. Since the carriers have many different statistical systems, it is not practicable for the Department of Transportation to prescribe specific controls in this area, and each carrier is responsible for developing the appropriate internal control procedures to edit the O&D Survey data and ensure the integrity of these data. The Department will control the accuracy of its processing of the sampled data upon receipt from the carriers.
C. System Documentation of Edits. Carriers are required to maintain written O&D Survey procedural statements and flow charts. As provided in Section VIII, these must be established, or re-certified as of July 1, 1987, and thereafter when significant procedural revisions occur.
A. Sample Accuracy and Reliability. In order to maximize the accuracy and reliability of the sample selection and data recording, each carrier is to:
(1) Develop a written statement describing the procedures it will employ in examining and selecting reportable flight coupons and in recording, summarizing, editing, and testing the Survey data.
(2) Submit any proposed changes in the above procedures to the Department's Office of Airline Information, prior to implementation of such changes.
(3) Establish continuous quantity controls on the flow of all lifted flight coupons through the carrier's accounting processing to determine the total number of coupons handled, and the number of reportable coupons selected. Tests are to be made continuously to assure that all reportable coupons are being selected and the data recorded. Such tests should be completed while the “lifted” flight coupons (representing earned passenger revenues for flight segments operated) remain in the possession of the carrier. Establish such other internal control procedures as are necessary for supervising and monitoring the accuracy of the recording of data from reportable flight coupons.
B. Staff Review. The OAI staff will review the carrier procedures and practices and may request modifications or the use of special procedures necessary to improve the sample or to bolster the controls for accuracy and reliability.
[Reserved]
Selected terms used in the foregoing instructions are here defined and explained in the context of the O&D Survey.
ADP. An abbreviation for automated data processing, which is the term applied to all forms of machine processed data.
Carrier. Any scheduled air carrier, U.S. or foreign, that appears on a coupon stage in a ticketed itinerary, including helicopter, air taxi, commuter, intra-Alaska carriers, and intra-state carriers.
City or origin. (See origin.)
Conjunction ticket. Two or more tickets concurrently issued to a passenger and which together constitute a single contract of carriage.
Connecting point. An intermediate point in an itinerary at which the passenger deplanes from one flight and boards another flight, either on the same carrier or from the flight of one carrier to a flight of another carrier, for continuation of the journey.
Coupon stage. (See flight-coupon stage.)
Destination. The last point in the itinerary and the last point at which the passenger is to deplane at the completion of the journey. (In roundtrip itineraries, the destination and the origin are the same.)
Dollar value of ticket. (See total dollar value of ticket.)
Domestic. Itineraries within or between the 50 U.S. States and the District of Columbia are considered domestic for this Survey.
Fare basis code. The alphabetic code(s) or combination of alphabetic and numeric codes appearing in the “Fare basis” box on the flight coupon which describe the applicable service and discount to which the passenger is entitled. All fare basis codes are summarized into basic categories; namely C—Unrestricted Business Class, D—Restricted Business Class, F—Unrestricted First Class, G—Restricted First Class, X—Restricted Coach/Economy Class, Y—Unrestricted Coach/Economy Class, and U—Unknown (This fare category is used when none is shown on a ticket coupon, or when a fare category is not discernible, or when two or more carrier fare codes are compressed into a single stage of a passenger trip).
Fare ladder. The “For-issuing-office-only” box of a ticket.
Flight-coupon stage. The portion of an itinerary which lies between two contiguous points in the itinerary and between which points the passenger is to travel on a single flight.
Group ticket. A single ticket valid for the transportation of two or more passengers over the same itinerary.
Interline transfer. An occurrence at an intermediate point in an itinerary where a passenger changes from one carrier to another carrier, with or without a stopover.
Intermediate point. Any point in an itinerary, other than the origin or destination, at which the passenger makes an interline or intraline connection or stopover.
International. The world area outside the 50 U.S. States and the District of Columbia. Itineraries between points outside the 50 States are considered as international for this Survey, as well as itineraries between the 50 States and U.S. possessions, and between or within U.S. possessions.
Intraline transfer. An occurrence at an intermediate point in an itinerary where a passenger changes from a flight of one carrier to another flight of that same carrier, with or without stopover, or where the passenger changes from one class of service to another class of service on the same flight.
Itinerary. All points in the passenger journey, beginning with the origin, followed by the routing, and ending with the destination, in the sequence shown on the ticket.
Operating air carrier. Under a code-share arrangement, the air carrier whose aircraft and flight crew are used to perform a flight segment.
Origin. The first point in the itinerary and the point where the passenger first boards a carrier at the beginning of the itinerary.
Participating carrier. A carrier which is governed by the Survey data collection and reporting instructions contained herein and which is required to file Survey reports with the Department of Transportation.
Point. A city or airport (always identified by its airport code).
Reissued ticket. A ticket issued in exchange for all or part of the unused portion of a previously issued ticket.
Reportable flight coupon. A flight coupon in an itinerary in which the carrier examining the coupon is the first participating carrier to lift a flight coupon in the itinerary and from which coupon the examining carrier records the Survey data.
Reporting carrier. The carrier in a given itinerary which has lifted the reportable flight coupon in that itinerary and which carrier is required to record the Survey data for that itinerary for the report to the Department.
Routing. The carrier on each flight-coupon stage in an itinerary and the intermediate points of routing stopover or connection (interline or intraline) in the sequence of occurrence in the movement of the passenger from origin to destination. The routing also includes fare-basis summary codes on each flight-coupon stage, to the extent these are available from the ticket.
Scheduled service. Transport service operated on a certificated large air carrier's routes pursuant to published flight schedules, including extra sections of scheduled flights.
Stage. (See flight-coupon stage.)
Ticketed air carrier. Under a code-share arrangement, the air carrier whose two-character air carrier code is used for a flight segment, whether or not it actually operates the flight segment.
Total dollar value of ticket. The sum of the fare plus tax for the entire ticketed itinerary, in whole U.S. dollars with cents dropped. For a group ticket, the amount is the average per passenger. For fares stated in foreign currency, it is the equivalent in U.S. dollars.
Transfer. (See interline transfer and intraline transfer.)
[Reserved]
The purpose of this part is to set forth required data that certain air carriers must submit to the Department, either themselves or via third party vendors, so that information on air carriers' ticket pricing, passenger volumes, and trip routings can be made available to consumers of air transportation.
For purposes of this part:
Airport see Origin or Destination.
As Sold means to report ticket information as it appears on the ticket at the time the ticket was issued or reissued just prior to first known flown lift usage. For purposes of this part, any change to an existing ticket prior to the first segment being flown that results in a change to the ticket amount should be considered as requiring the ticket to be reissued. Any changes made to the ticket after the first segment is flown or that are incidental to the ticket value should not be considered as requiring the ticket to be reissued. For example, a last-minute schedule change by the carrier to an itinerary before first known flown lift usage that does not result in a change in the amount paid and does not change the intended trip destination should not be considered as a reissued ticket in this context. Partial reissued tickets shall not be included in the collection.
Commuter Air Carrier means a commuter air carrier as defined in 14 CFR 298.2.
Connecting point means an intermediate point in a sequence of travel at which the passenger deplanes from one flight and boards another flight, either on the same carrier or from the flight of one carrier to a flight of another carrier, for continuation of the journey.
Coupon Stage (See Flight-Coupon).
Destination means the airport code or terminus in the ticket sequence of travel where a passenger deplanes from a flight stage. Qualifying airports or terminus will be specified periodically in accounting and reporting directives issued by the OAI. Airport, or terminus, codes are most commonly assigned by the International Air Transport Association (IATA) and occasionally by the International Civil Aviation Organization (ICAO) or the Federal Aviation Administration (FAA) depending on the jurisdiction of the airport. A common private industry source of these industry designator codes is 3rd party schedule products and OAI will use one of these products as a source where possible. Where none exists, OAI will furnish a code upon request.
Dwell Time means scheduled elapsed time (in minutes) between each ticketed coupon. Dwell time is not required to be reported at Via Airport stops. When dwell time exceeds 1,440 minutes, or 24 hours, report “9999”.
Eligible Ticket means a ticket that meets the 40% sampling criteria where the right-most digit is equal to “0” (zero), “2” (two), “7” (seven) or “9” (nine) when following the standard sampling procedure. For ad-hoc procedures, an eligible ticket is any ticket that meets the approved sampling procedure selected.
Flight Coupon means a defined origin and destination for a single stage of flight provided by a single Operating Carrier. Tickets are composed of one or more flight stages, also known as coupons or coupon stages.
First Reporting Carrier Rule means a rule applied during the Reporting Event Evaluation. The rule states that the first Reporting Carrier in the sequence of travel for a Category Two ticket is designated as the carrier responsible for reporting the ticket.
Flown Lift Usage is a record or indicator in the accounting system of the issuing carrier that represents a passenger ticket coupon that has been used by the passenger for travel on a flight.
International Ticket means a ticket that involves an international point and is submitted by a Reporting Carrier, or a ticket submitted under 49 U.S.C. 41308 and 41309 for certain foreign air carriers granted antitrust immunity that includes a Reporting Carrier (or affiliate) operated leg in an itinerary. An international point is a point that resides outside of the 50 States. U.S. possessions are considered International Points.
Issuing Carrier means an air carrier or foreign air carrier that issues an air travel ticket.
Marketing Carrier means the air carrier that markets the seat on the aircraft, regardless of whether it operates the flight segment.
Operating Carrier means the carrier that has operational control over the aircraft that is scheduled to depart from an airport. Under a code-share arrangement, the air carrier whose flight crew are used to perform a flight segment.
Origin means an airport or terminus in the ticket sequence of travel where a passenger boards a flight stage. Qualifying airports or terminus will be specified periodically in accounting and reporting directives issued by the Office of Airline Information. Airport, or terminus, codes are most commonly assigned by the International Air Transport Association (IATA) and occasionally by the International Civil Aviation Organization (ICAO) or the Federal Aviation Administration (FAA) depending on the jurisdiction of the airport. A common private industry source of these industry designator codes is 3rd party schedule products and OAI will use one of these products as a source where possible. Where none exists, OAI will furnish a code upon request.
Purchase Window Group means one of three groups indicating the advance purchase window of the ticket. “21AP” is less than or equal to 21 days prior to departure, “2290” is 22 to 90 days prior to departure, and “91UP” is more than 90 days prior to departure.
Record Identification Number (RIN) means an air carrier assigned number that uniquely identifies each ticket within each reporting period.
Reporting Carrier means the U.S. Certificated Air Carrier or Commuter Air Carrier that is required to report O&D data and reported a given itinerary to the Department.
Reporting Event means the occurrence of a Reporting Carrier recognizing that a ticket has been flown and evaluating the ticket to determine if it should be reported to the O&D.
Reporting Carrier List means a list maintained and published by the Office of Airline Information (OAI). Carriers report O&D data consistent with these regulations, but a carrier is not required to report until OAI adds the carrier to the Reporting Carriers List. Carriers must also determine the responsible reporting carrier for Category Two tickets using the first reporting carrier rule and should use the Reporting Carriers List to determine the responsible reporting carrier.
Reporting Month means the month applicable to the ticket submission.
Reportable Ticket means that the combination of flown lift usage, sampling process criteria, and the Category One and Category Two ticket evaluation determines if a ticket is reportable.
Reporting Year means the year applicable to the ticket submission.
Revenue Passenger has the same meaning as the definition in 14 CFR 241 Section 03—Definitions for Purposes of This System of Accounts and Reports—Passenger, Revenue.
Routing means the sequence of travel for each flight stage including all intermediate points of routing stopover or connection (interline or intraline) in the movement of the passenger from the first airport in the sequence of travel to the last airport in the sequence of travel for the ticket.
Scheduled Flight Month means month for a departure from an airport in the sequence of travel for a ticket.
Scheduled Flight Year means year for a departure from an airport in the sequence of travel for a ticket.
Scheduled Service means transport service held out and operated on a certificated air carrier or commuter carrier's routes pursuant to published flight schedules, including extra sections of scheduled flights.
Tax Amount means all aggregated taxes and fees imposed by the U.S., government entity, or a foreign government, such as, but not limited to, Federal excise taxes, flight segment taxes, U.S. passenger facility surcharges, September 11 security fees, U.S. or international departure and arrival charges, and immigration charges. Taxes and mandatory fees charged by other foreign authorities, such as passenger service charges and airport taxes, are also considered part of Tax Amount.
Ticket means a legal contract between an Issuing Carrier and a Revenue Passenger for transportation.
Total Amount means:
(1) Gross total of funds collected on a ticket by the Issuing Carrier for the transportation of a passenger, inclusive of taxes and fees imposed by non-carrier entities or air carriers, and exclusive of ancillary fees not required to board the plane charged by the air carrier. Factors considered in determining what should be included in the Total Amount are as follows:
(i) Total Amount includes charges required to board the aircraft (domestic and international) that are recognized as revenue at the time of purchase of the ticket and at the time of first lift of the ticket.
(ii) Where a charge assessed at the time of purchase of the ticket is associated with a choice, such as seat assignment, where the consumer must pay the fee or charge regardless of the choice made, the charge is considered part of the Total Amount.
(iii) The Total Amount does not include charges for optional services (services offered which the consumer may choose not to utilize and thus not incur the fee or charge) such as baggage fees, seat upgrade fees, or ticket change fees. When a fee is assessed and there is a no cost option, that fee is considered an ancillary fee. When a fee is assessed for a service that provides something distinct from the air travel product then that fee is considered an ancillary fee.
(iv) The term Total Amount should align with standard passenger ticket documents; however, for air carriers that do not follow such standards or have, or may have, created new fees that may not be included in the standard passenger ticket document and yet are required to be paid to board the aircraft, these must also be included in Total Amount.
(2) Based on the criteria, the following is a non-exhaustive list of carrier-imposed fees and charges that must be reported as part of the Total Amount of the ticket: fuel surcharges, carrier usage charges, carrier interface fees, check-in fees, electronic usage charges, peak/holiday travel fees, transaction processing charges, and credit card surcharge fees. When a customer is assessed a fee based on how the customer acquires a ticket to board the aircraft, a booking fee, the fee is included in the Total Amount. Being required to pay a fee or charge for electronic or phone booking where there is no fee for purchase at the counter must be reported in the Total Amount. Being charged a call center fee for booking by phone when the customer could have booked online at no charge is not an example of a booking fee that must be reported. Carriers must also include all taxes and fees imposed by the U.S. or a foreign government, such as, but not limited to, Federal excise taxes, flight segment taxes, U.S. passenger facility surcharges, September 11 security fees, U.S. or international departure and arrival charges, and immigration charges. Carriers must also include taxes and mandatory fees charged by other foreign authorities, such as passenger service charges and airport taxes.
USD means United States Dollars.
Via Airport (Point(s)) means any point(s) of stopover at intermediate airports as part of a “direct” or “through” flight. These are points that are not usually recorded on a ticket as the passenger does not generally deplane from the aircraft at the intermediate point.
(a) All U.S. certificated and commuter air carriers conducting scheduled passenger services (except helicopter carriers) shall participate in a Passenger Origin-Destination (O&D) Survey covering domestic and international air carrier operations, as prescribed by the Department's Office of Airline Information (OAI) in the instructions manual entitled, Instructions to Air Carriers for Collecting and Reporting Passenger Origin-Destination Survey Statistics and in Passenger Origin-Destination Directives issued by OAI. Copies of these Instructions and Directives are available on the BTS web page and will be provided to each reporting carrier at the time it becomes a reporting carrier.
(b) Air carriers are not required to begin reporting O&D until placed on the Reporting Carrier List that will be published by BTS/OAI 75 days prior to the beginning of each period of reporting. The Reporting Carrier List will identify each U.S. Certificated and Commuter Air Carrier required by this part to report O&D as designated by BTS OAI. Carriers may be added to this list as a result of consideration under this part or under 49 U.S.C. 41308 and 41309 for certain Foreign Air Carriers granted antitrust immunity. Foreign Air Carriers granted antitrust immunity under 49 U.S.C. 41308 and 41309 are not considered Reporting Carriers under this part but do report the same data under different legal authority.
(c) This section applies for air transportation taking place on or after July 1, 2025. Reporting pursuant to section 19-7 of this part is not required for air travel taking place on or after April 1, 2025.
(a) Each reporting carrier must file O&D data with the Bureau of Transportation Statistics Office of Airline Information (BTS/OAI) on a monthly basis for each of its reportable O&D tickets as follows. Collect the ticket information once there is an indication that the ticket has been flown, i.e. first known Flown Lift Usage. Report routing (and other ticket information) As Sold. Reporting carriers must determine the points ticketed and integrate the ticketed information required for reporting. It is at each reporting carrier's discretion whether to use a third-party provider to manage their O&D data submissions. The use of a third-party provider will not remove the responsibility of the reporting carrier to ensure that their data is reported accurately and on schedule.
(b) A statistically valid sample of flight coupons must be selected for reporting purposes. Flight coupons should only be sampled from tickets:
(1) issued for scheduled service itineraries;
(2) issued to revenue passengers who are individually ticketed (i.e. no group tickets, no infants flying without their own tickets); and
(3) that involve a U.S. airport or a U.S. air carrier operation at some point in the scheduled itinerary. The sample must consist of 40 percent of the total lifted ticket flight coupons for all domestic and international markets. Partially reissued tickets, which are tickets issued for changes to an itinerary after the first segment is flown, should not be included in the total lifted ticket flight coupons for all domestic and international markets from which the sample is drawn.
(c) The data recorded and reported from selected lifted flight ticket coupons must include the following information elements:
(1) Reporting Carrier,
(2) Reporting Month and Reporting Year,
(3) Record Identification Number (RIN),
(4) Issuing Carrier,
(5) Total Amount,
(6) Tax Amount,
(7) Airport code,
(8) Operating Carrier code,
(9) Marketing Carrier code,
(10) Scheduled Flight Year,
(11) Scheduled Flight Month,
(12) Dwell Time,
(13) Via Airport (if any),
(14) Purchase Window Group.
(d) Report Total Amount and Tax Amount in United States Dollars (USD) rounded to two decimal places.
(e) A Reporting Event evaluation occurs when a Reporting Carrier's revenue accounting system recognizes that any portion of a ticket has been flown, i.e., first known lift usage. This evaluation will inform the Reporting Carrier if a ticket in their system has been recognized that meets criteria that may require the ticket be reported. Situations may occur where the Reporting Carrier's revenue accounting system identifies a ticket from a flight that occurs after the first flight in the ticket sequence. This may occur when the first flight in the ticket sequence is not used for travel, or the Reporting Carrier's revenue accounting system does not recognize the first flight in the ticket for some other reason. When this occurs, the second (or subsequent) flight is the first known lift usage and becomes the Reporting Event. The Reporting Carrier is responsible for reporting the complete ticket information as it appears at the time of the Reporting Event which should correspond with the information at the time the ticket was sold. Reporting carriers should not report ticket information as flown if the ticket information changes after first known lift usage.
(f) Ticket reporting. (1) A ticket will be reported when:
(i) The criteria of the sampling process are met, and
(ii) The ticket meets either the criteria of a Category One or Category Two ticket.
(A) Category One ticket reporting process. Tickets issued by a Reporting Carrier are known as Category One tickets. These tickets will be reported by the Reporting Carrier if the sampling process criteria conditions are satisfied. The carrier that issues the ticket remains the Reporting Carrier regardless of which flight from the ticket is first recognized by the revenue accounting system as the first flown lift usage.
(B) Category Two ticket reporting process. Tickets issued by carriers that do not appear on the published Reporting Carrier List but are recognized by a carrier that participates on the ticket and is on the Reporting Carrier List are known as Category Two tickets. The examining Reporting Carrier must apply the “First Reporting Carrier” rule: The first carrier in a ticket's sequence of travel that also appears on the Reporting Carrier List is responsible for submitting the ticket to the O&D if the sampling criteria are also met. The first Reporting Carrier in the sequence of a Category Two ticket remains the Reporting Carrier regardless of which flight from the ticket is first recognized by the revenue accounting system. For the purposes of the First Reporting Carrier Rule, any carrier that appears on the Reporting Carrier List is considered a Reporting Carrier.
(iii) Additional provisions for Category Two tickets. Reporting Carriers should use all reasonable efforts to determine the required information from Category Two tickets. If the information for Operating Carrier, Via Airports, Dwell Time, Tax Amount, and Purchase Window Group is unavailable to the Reporting Carrier, however, then leave the fields for which information is unavailable blank. In cases where a carrier is unable to determine Dwell Time between coupons insert a “B” (for Break) in the appropriate dwell time slot where the reporting carrier provides an estimate of where in the itinerary the trip break occurs. Record a surface segment indicator (--, dash dash) where two consecutive stops within the itinerary have no air carrier operator. Record surface segments at the beginning and end of itineraries when the segments are designated with an airline flight number, appear on the ticket, and have a designator code that appears in an airline schedule source.
(g) The primary ticket's right-most digit of the standard ticket document number forms the basis for the random sample size. All required information associated with a primary ticket must be reported, which may include information from a related conjunction ticket. A conjunction ticket is a ticket that is a continuation of a primary ticket itinerary. Conjunction tickets should not be included in the sample process on their own. Any Reporting Carrier that does not assign ticket numbers to passenger journeys, does not assign ticket numbers such that the final, right-most digit is not randomly assigned, or otherwise seeks to use an alternative method must develop an alternative method of creating a valid 40 percent sample. Those Reporting Carriers would need to submit their alternative sample methods to DOT for approval within 90 days of the date that the Reporting Carrier recognizes that it must make use of the alternative sample selection method to comply with the proposed reporting regulation for determining a Reportable Ticket.
Reporting carriers should report individual tickets as separate records where the Record Identifier Number (RIN) uniquely identifies each record in a submission. Except where otherwise noted, all reports required by this part shall be filed within 45 days of the end of the month for which data are reported. The reports should be submitted to the Office of Airline Information in a format specified in the Instructions to Air Carriers for Collecting and Reporting Passenger Origin-Destination Survey Data or accounting and reporting directives issued by BTS/OAI.
(a) Each Reporting Carrier shall maintain its prescribed reportable records in a manner and at such locations as will permit ready accessibility for examination by representatives of DOT. The record retention requirements are prescribed in part 249 of this chapter.
(b) [Reserved]
Any Ticket that is submitted that involves a Reporting Carrier and an International Point providing service in whole or in part under this part are generally not available to the Department, the U.S. carriers, or U.S. interests. Therefore, because of the damaging competitive impact on U.S. carriers and the adverse effect upon the public interest that would result from unilateral disclosure of international ticket survey data that involves a Reporting Carrier, the Department will not disclose international ticket data that involves a Reporting Carrier in the Passenger Origin-Destination Survey to citizens or non-citizens except:
(a) To an air carrier directly participating in and contributing input data to the Survey under this part or to a legal or consulting firm designated by a directly participating air carrier to use on its behalf and in connection with a specific assignment by such carrier;
(b) To parties to any proceeding before the Department to the extent that such data are relevant and material to the issues in the proceeding upon a determination to this effect by the Administrative Law Judge or by the Department's decision-maker. Any data to which access is granted pursuant to this section may be introduced into evidence subject to the normal rules of admissibility of evidence;
(c) To agencies and other components of the U.S. Government;
(d) To other persons upon a showing that the release of the data will serve specifically identified needs of U.S. users which are consistent with U.S. interests; and
(e) To foreign governments and foreign users as provided in formal reciprocal arrangements between the foreign and U.S. Governments for the exchange of comparable O&D data.
(a) Period of coverage by submission. Reporting carriers must file data for each calendar month as shown in Table 1 to paragraph (a).
Table 1 to Paragraph (
| Data report | Time period covered |
|---|---|
| January | Jan 1 through Jan 31. |
| February | Feb 1 through Feb 28/29. |
| March | Mar 1 through Mar 31. |
| April | Apr 1 through Apr 30. |
| May | May 1 through May 31. |
| June | Jun 1 through Jun 30. |
| July | Jul 1 through Jul 29. |
| August | Aug 1 through Aug 31. |
| September | Sep 1 through Sep 30. |
| October | Oct 1 through Oct 31. |
| November | Nov 1 through Nov 30. |
| December | Dec 1 through Dec 31. |
(b) Filing date for data. Reporting carriers must file data with the Department on or before the dates listed below, 45 days after the end of each reporting period. Reporting carriers must file all data through BTS approved channels as specified in accounting and reporting directives issued by BTS/OAI.
Table 2 to Paragraph (
| Report | Due date 1 |
|---|---|
| January | March 17. |
| February | April 15. |
| March | May 16. |
| April | June 15. |
| May | July 16. |
| June | August 15. |
| July | September 15. |
| August | October 16. |
| September | November 15. |
| October | December 16. |
| November | January 15. |
| December | February 15. |
1 Due dates falling on Saturday, Sunday or national holiday will become effective the first following workday.
(c) Waiver requests. Requests for permission to depart from the required O&D Survey procedures should include a procedural statement describing the process the carrier proposes to employ in examining, selecting, and editing the data from reportable flight coupons for the O&D Survey, as well as a flow chart diagramming the proposed procedures.
(d) Quantity and quality controls. Carriers are expected to establish and maintain continuous quantity and quality controls on the flow of all lifted flight coupons through their system processes to determine the total number of coupons handled and the number of reportable coupons selected. Such data controls and tests have not been specified by the Department, and necessarily must be developed by each carrier. Each participating carrier shall develop and use on a continuous basis such control tests as are necessary to ensure that all reportable coupons are being selected, recorded, and reported as intended by these regulations, the Instructions to Air Carriers for Collecting and Reporting Passenger Origin—Destination Survey Data, and any related accounting and reporting directives. (Instructions and accounting and reporting directives are available from the Bureau of Transportation Statistics Office of Airline Information. Please visit https://www.bts.gov/ or call 800-853-1351 for more information.) Such controls should extend over all ADP processing, both in-house and that from third-party service providers.
(a) City and airport, or terminus, codes. Prior to submission of O&D, each carrier is to edit the recorded data to validate city and airport or terminus codes. This edit is to verify that the codes recorded are valid official codes, and it is independent of whether the carriers shown operated into or out of the airport or terminus shown. Any questions about airport or terminus codes should be addressed to the Director, Office of Airline Information.
(b) Edit responsibility of carriers. Each carrier is responsible for developing edit procedures and internal controls over its data entry and processing procedures so that valid and reliable data are captured in the O&D inputs. Since the carriers have many different statistical systems, it is not practicable for the Department of Transportation to prescribe specific controls in this area, and each carrier is responsible for developing the appropriate internal control procedures to edit the O&D data and ensure the integrity of these data. The Department will control the accuracy of its processing of the sampled data upon receipt from the carriers or their third-party providers.
(c) System documentation of edits. Carriers are required to maintain written O&D procedural statements and flow charts.
Sample accuracy and reliability. To maximize the accuracy and reliability of the sample selection and data recording, each carrier is to:
(a) Develop a written statement describing the procedures it will employ in examining and selecting reportable flight coupons and in recording, summarizing, editing, and testing the Survey data;
(b) Submit any proposed changes in the procedures specified in paragraph (a) of this section to the Department's Office of Airline Information, prior to implementation of such changes;
(c) Establish continuous quantity controls on the flow of all lifted flight coupons through the carrier's accounting processing to determine the total number of coupons handled, and the number of reportable coupons selected. Tests are to be made continuously to assure that all reportable coupons are being selected and the data recorded. Such tests should be completed while the “lifted” flight coupons (representing earned passenger revenues for flight segments operated) remain in the possession of the carrier. Establish such other internal control procedures as are necessary for supervising and monitoring the accuracy of the recording of data from reportable flight coupons.
The OAI staff will review the carrier procedures and practices and may request modifications or the use of special procedures necessary to improve the sample or to bolster the controls for accuracy and reliability.
(a) Each large certificated air carrier shall file with the BTS, monthly, quarterly, semiannually, and annually BTS Form 41 Reports of financial and operating statistics as prescribed herein unless waiver has been made by the BTS.
(b) The system prescribed provides for the submission by each air carrier of four classes of financial and operating statistics, on individual schedules of the BTS Form 41 Report, grouped as follows:
(c) The prescribed system of reports provides that the frequency of reporting shall be monthly for some schedules, quarterly for some, semiannually for some and annually for others. It also provides in some areas for the classification of large certificated air carriers into Group I, Group II, and Group III with the form and content differentiated as between groups.
(d) Each schedule of the prescribed BTS Form 41 Report has been assigned a specific code. The prefix alphabetical codes A, B, P and T, respectively, have been employed to denote certification, balance sheet, profit and loss, and traffic and capacity. The digits immediately following the alphabetical prefix designate the particular schedule.
(e) [Reserved]
(f) [Reserved]
(g) Four separate air carrier entities shall be established for large certificated air carriers conducting scheduled service for the purpose of submitting the prescribed reports. They are as follows: (1) Domestic operations; (2) operations via the Atlantic Ocean; (3) operations via the Pacific Ocean; and (4) operations in Latin American areas. With respect to the first classification, the domestic entity shall embrace all operations within and between the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the U.S. Virgin Islands, and shall also include Canadian transborder operations. The reports to be submitted by each entity shall be comparable to those required of a distinct legal entity whether the reporting entity constitutes such an entity, a semiautonomous physically separated operating division of the carrier, or an entity established for reporting purposes only.
(h) Two separate entities shall be established for large certificated air carriers predominantly engaged in conducting charter activities for the purpose of submitting the prescribed reports: (1) Domestic operations; and (2) international operations. The domestic entity includes all operations within and between the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and the U.S. Virgin Islands. All other operations will be in the international entity.
(i) The entities for which separate reports shall be made by the different route and charter air carriers will be set semiannually by the Office of Airline Information.
(j) As a general rule separate reports shall be filed for the air carrier and for each associated company air carriers as defined in section 03 which is an air carrier. However, transactions of associated companies in which 100 percent equity control resides in the reporting air carrier shall be consolidated with transactions of the reporting air carrier when such associated companies perform services related to the transport operations of the reporting air carrier almost exclusively and are not engaged in air transportation for their own account.
(k) Generally, route air carriers' nonscheduled services shall be treated as an integral part of the reporting entity to which most closely related without regard to the geographic area in which such nonscheduled services may actually be performed. However, supplemental reports shall be made of nonscheduled services (including service for the Department of Defense) in areas not encompassed by the prescribed reporting entity in any month in which the available ton-miles of such nonscheduled services exceed 5 percent of the available ton-miles of the reporting entity. Such supplemental reports shall continue until waived by the BTS upon a showing that such nonscheduled operations will not in the subsequent 12-month period exceed the 5-percent limit. The supplemental reports to be filed each month or calendar quarter, as applicable, shall be comprised of report Schedules P-5, T-1, and T-2. Transport and nontransport revenues pertaining to such separately reported nonscheduled services shall be reported on Schedule P-2 each quarter.
(l) When and as required in the national interest, any air carrier which performs nonscheduled transport services for the Department of Defense shall, when directed by the Department, make separate reports for such services as if they were conducted by a physically separate transport entity, such reports shall consist of Schedules P-1 through P-7, T-1, and T-2. The letter “D” shall be inserted on such reports, following the schedule number of each P and T schedule. When a carrier has more than one reporting entity, nonscheduled transport and nonscheduled Defense services shall be assigned to the reporting entity to which more closely related.
(a) One copy of each schedule in the BTS Form 41 report shall be filed with the BTS and shall be received on or before the due date indicated for each such schedule in the list titled “Due Dates of Schedules in BTS Form 41 Report.”
List of Schedules in BTS Form 41 Report
[See footnotes at end of table]
| Schedule No. | Title | Filing frequency | Applicability by carrier group | ||
|---|---|---|---|---|---|
| I | II | III | |||
| A | Certification | Q | (1) | X | X |
| B-1 | Balance sheet | Q | (1) | X | X |
| B-1.1 | Balance sheet | SA | (2) | NA | NA |
| B-7 | Airframe and aircraft engine acquisitions and retirements | Q | NA | X | X |
| B-12 | Statement of changes in financial position | Q | (1) | X | X |
| B-43 | Inventory of airframes and aircraft engines | A | X | X | X |
| P-1.1 | Statement of operations | SA | (2) | NA | NA |
| P-1.2 | Statement of operations | Q | (1) | X | X |
| P-1(a) | Interim operations report | M | X | X | X |
| P-2 | Notes to BTS Form 41 report | Q | (1) | X | X |
| P-5.1 | Aircraft operating expenses | Q(1), SA(2) | X | NA | NA |
| P-5.2 | Aircraft operating expenses | Q | NA | X | X |
| P-6 | Operating expenses by objective groupings | Q | (1) | X | X |
| P-7 | Operating expenses by functional groupings—Group III air carriers | Q | NA | NA | X |
| P-10 | Employment statistics by labor category | A | (1) | X | X |
| P-12(a) | Fuel consumption by type of service and entity | M | (1) | X | X |
| T-100 | U.S. air carrier traffic and capacity data by nonstop segment and on-flight market | M | X | X | X |
| T-100(f) | Foreign air carrier traffic data by nonstop segment and on-flight market | M | |||
| (see 14 CFR 217) | |||||
| T-8 | Report of all-cargo operations | A | (3) | (3) | (3) |
M = Monthly, Q = Quarterly, SA = Semiannually, A = Annually, NA = Not Applicable, X = All Carriers.
(1) Applicable to Group I Air Carriers with annual operating revenues of $20 million or more.
(2) Appilcable to Group I Air Carriers with annual operating revenues below $20 million.
(3) Applicable to Air Carriers conducting 49 U.S.C. 41103 all-cargo operations.
Due Dates of Schedules in BTS Form 41 Report
| Due dates 1 | Financial data on schedule No. | Traffic and capacity data on schedule No. |
|---|---|---|
| January 20 | P-12(a) | |
| January 30 | P-1(a) | T-100, T-100(f) |
| February 10 2 | A, B-1, B-1.1, B-7, B-12, P-1.1, P-1.2, P-2, P-5.1, P-5.2, P-6, P-7, P-10. | |
| February 20 | P-12(a) | |
| March 1 | P-1(a) | T-100, T-100(f), |
| March 20 | P-12(a) | |
| March 30 | B-43, P-1(a). | T-100, T-100(f), T-8 |
| April 20 | P-12(a) | |
| April 30 | P-1(a) | T-100, T-100(f) |
| May 10 | A, B-1, B-7, B-12, P-1.2, P-2, P-5.1, P-5.2, P-6, P-7. | |
| May 20 | P-12(a) | |
| May 30 | P-1(a) | T-100, T-100(f) |
| June 20 | P-12(a) | |
| June 30 | P-1(a) | T-100, T-100(f) |
| July 20 | P-12(a) | |
| July 30 | P-1(a) | T-100, T-100(f) |
| August 10 | A, B-1, B-1.1, B-7, B-12, P-1.1, P-1.2, P-2, P-5.1, P-5.2, P-6, P-7. | |
| August 20 | P-12(a) | |
| August 30 | P-1(a) | T-100, T-100(f) |
| September 20 | P-12(a) | |
| September 30 | P-1(a) | T-100, T-100(f) |
| October 20 | P-12(a) | |
| October 30 | P-1(a) | T-100, T-100(f) |
| November 10 | A, B-1, B-7, B-12, P-1.2, P-2, P-5.1, P-5.2, P-6, P-7. | |
| November 20 | P-12(a) | |
| November 30 | P-1(a) | T-100, T-100(f) |
| December 20 | P-12(a) | |
| December 30 | P-1(a) | T-100, T-100(f) |
1 Due dates falling on a Saturday, Sunday or national holiday will become effective the first following work day.
2 Reporting due dates on Form 41 Schedules B and P are extended to March 30 if preliminary schedules are filed at the Department by February 10
(b) Each large certificated air carrier shall file the applicable schedules of the BTS Form 41 Report with the BTS in accordance with the above instructions with the following exceptions:
(1) The time for filing B and P report schedules for the final quarter or semiannual period of each calendar year may be extended to the following March 30 if the preliminary Schedules B-1 or B-1.1 and P-1.1 or P-1.2 are submitted, as applicable, and are received on or before their respective due dates.
(2) For the third month of any calendar quarter, Schedule P-1(a) need not be filed if Schedule P-1.1 or P-1.2 for the quarter or semiannual period, as applicable, is received on the due date prescribed for Schedule P-1(a).
(3) Income and expense data on Schedule P-1(a) for each month will be withheld by the BTS from public disclosure, until such time as (i) the semiannual or quarterly financial reports are due, (ii) the semiannual or quarterly financial reports are filed, or (iii) information covered by monthly reports is publicly released by the carrier concerned, whichever occurs first. Before that time, income and expense data reported on Schedule P-1(a) will be disclosed to parties to any proceeding before the DOT to the extent that such data are relevant and material to the issues in the proceeding upon a determination to this effect by the administrative law judge assigned to the case or by the DOT. Any data to which access is granted may be introduced into evidence, subject to the normal rules of admissibility of evidence. The DOT will make other disclosure of these data upon its own motion or upon application of any interested person, when the DOT finds the public interest so requires. The BTS may, from time to time, publish summary information compiled from Schedule P-1(a) in a form which will not identify the individual carrier. At the request of an air carrier, and upon a showing by such air carriers that public disclosure of its preliminary year-end report would adversely affect its interests and would not be in the public interest, the BTS will withhold such preliminary year-end report from public disclosure until such time as (i) the final report is filed, (ii) the final report is due, or (iii) information covered by the preliminary report is publicly released by the carrier concerned, whichever occurs first.
(c) If circumstances prevent the filing of a report on or before the prescribed due date, consideration will be given to the granting of an extension upon receipt of a written request therefor. To provide ample time for consideration and communication to the air carrier of the action taken, such a request must be delivered to the BTS in writing at least three (3) days in advance of the due date, setting forth good and sufficient reason to justify the granting of the extension and the date when the report can be filed. Except in cases of emergency, no such request will be entertained which is not in writing and received by the BTS at least three (3) days before the prescribed due date. If a request is denied, the air carrier remains subject to the filing requirements to the same extent as if no request for extension of time had been made.
(d) [Reserved]
(e) All financial data reported on B, P and G schedules shall reflect the status of the air carrier's books of account for the period for which the report is being made and shall conform to the instructions contained in this Uniform System of Accounts and Reports. At the option of the air carrier, Group III air carriers may round reported financial data to the nearest thousands of dollars by typing “($000)” at the top of each amount column. All Group I and Group II air carriers may, at their option, round reported financial data to the nearest whole dollars by dropping the cents. All rounded amounts must be balanced within and between schedules. This option applies only to the submission of hardcopy reports. Instructions for the submission of data in ADP format are contained in the Accounting and Reporting Directives, which are available from OAI.
(f) Traffic and other operational statistics included in schedules of the BTS Form 41 reports shall reflect data pertaining to the month, quarter or 12-months-to-date period for which the report is being made.
(g) Adjustments correcting errors in previously reported traffic and other operational statistics shall not be included in data reported in schedules for the current period but shall be effected by submission of corrected schedules for the period to which applicable or, if only a few items are involved, by written notice and authorization to the BTS to correct previously filed reports except that any correction which amounts to less than one-half of one percent (0.5%) of the corrected amount for the month to which related may be included in the report for the current month provided the amount of the correction is clearly noted on the Form 41 Report.
(h) All letters and statements of correction or revision of reported data shall be a part of the BTS Form 41 reports.
(i) All changes in accounting methods having a material impact upon the particular financial elements involved, and all changes in methods of computing and reporting traffic and capacity statistics having a material impact upon the particular statistic involved shall be adequately explained and identified in the report first reflecting such changes. Such explanations related to financial position or financial results shall be made on BTS Form 41 Schedule P-2. Changes in methods for computing or reporting traffic and capacity statistics shall be identified and explained on a separate sheet attached to the first report affected. (See sec. 2-16.) The reporting requirements shall not be construed, in any sense, as relieving the air carrier of the responsibility for conforming its procedures to those otherwise prescribed in this system of accounts and reports.
(j) All financial statements released by carriers to the public reflecting a financial position or operating results for dates or reporting periods not covered by reports on file with the BTS shall be filed with the Board simultaneously with their public release.
(a) The certification of the BTS Form 41 Report shall be signed by an elective corporate officer, executive, or director. Other persons may be authorized by the carrier to sign the certification provided a written authorization disclosing the individual's name and title is forwarded to the Department of Transportation. Since corrections or revisions of reported data are a part of the BTS Form 41 Report, all correspondence relating to such matters shall be signed only by the person(s) authorized to sign the certification.
(b) The certification of the Form 41 reports, embodied in Schedule A thereof, shall read as follows:
I, the undersigned (Title of officer in charge of accounts) ____ of the (Full name of the reporting company) ___ do certify that this report and all schedules, ADP-media submissions, Passenger Origin-Destination Survey submissions and supporting documents which are submitted herewith or have been submitted heretofore as parts of this report filed for the above indicated period have been prepared under my direction; that I have carefully examined them and declare that they correctly reflect the accounts and records of the company, and to the best of my knowledge and belief are a complete and accurate statement, after adjustments to reflect full accruals, of the operating revenues and expenses, income items, assets, liabilities, capital, retained earnings, and operating statistics for the periods reported in the several schedules, the Schedule T-100 ADP-media submissions, and the Passenger Origin-Destination Survey; that the various items herein reported were determined in accordance with the Uniform System of Accounts and Reports for Large Certificated Air Carriers prescribed by the Department of Transportation; and that the data contained herein are reported on a basis consistent with that of the preceding report except as specifically noted in the financial and statistical statements.
(a) This schedule shall be filed by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) This schedule shall reflect the balances at the close of business on the last day of each calendar quarter for the overall or system operations of each air carrier in conformance with the provisions of sections 4, 5 and 6.
(c) Individual proprietors or partners shall report the aggregate capital contributed by the proprietor or partners in account 2890 Additional Capital Invested.
(a) This schedule shall be filed semiannually by Group I air carriers with annual operating revenues below $20 million.
(b) Each carrier shall insert in the space provided for “OAG Code” its carrier code as contained in the Official Airlines Guide (OAG). If the OAG does not contain a carrier code for the reporting carrier, a code will be provided by the Office of Airline Information upon request. This code will then be inserted in the space provided for “carrier code.”
(c) This schedule shall show the account balances at the close of business on June 30 or December 31, as applicable, of each semiannual reporting period.
(d) “Current Assets” shall include all resources that may reasonably be expected to be realized in cash or sold or consumed within one year. This group of assets is classified into three basic accounts:
(1) “Cash and Equivalents” shall include cash on hand and on deposit, U.S. Government securities, and other temporary cash investments.
(2) “Notes and Accounts Receivable-Net” shall include general traffic accounts receivable, government receivables, notes and receivables from associated companies, officers, employees and others, and a deduction for a reasonable allowance for bad debts.
(3) “Other Current Assets” shall contain all other current assets not provided for in the above classifications. This account shall include, but is not limited to, short-term prepayments, expendable spare parts, supplies and other inventories of flight equipment replacement parts that are usually replaced rather than repaired, and materials and supplies held in stock, such as fuel and oil, expendable tools, office supplies and food service supplies. Spare parts may be reduced by an allowance for obsolescence to provide for losses in value.
(e) “Property and Equipment” shall be segregated into that which is owned and that which is leased under capital leases. All property and equipment, with the deception of land, shall be reported net of accumulated depreciation or amortization.
(f) “Other Assets” shall included all assets not included in the above categories, such as long-term investments, long-term prepayments, long-term receivables, deferred charges, intangible assets, equipment purchase deposits, and construction work in progress.
(g) “Current Liabilities” shall include all obligations, the liquidation of which is reasonably expected to require the use of existing resources within one year. This group of liabilities is classified into three basic accounts:
(1) “Notes and Accounts Payable” shall include any payments on long-term debt, short-term notes and accounts payable, and accrued expenses that are payable within one year.
(2) “Accrued Taxes” shall include tax liabilities, such as those imposed on income, property and payroll, which are reasonably expected to be liquidated within one year.
(3) “Other Current Liabilities” shall include all current liabilities which are not provided for elsewhere, such as air traffic liabilities for unused transportation sold (includes sales of transportation on both the reporting carrier and other carriers).
(h) “Long-Term Debt” shall include all obligations which are not reasonably expected to be liquidated within one year. Typical examples include bonds payable, long-term notes payable, lease obligations, and pension obligations.
(i) “Other Liabilities” shall include any debts or obligations which are not properly listed in the “Current Liabilities” or “Long-Term Debt” sections.
(j) “Deferred Credits” shall include all credit balances of a general clearing nature, including credits held in suspense pending receipt of further information necessary for final disposition. Included in this account are deferred income taxes and deferred investment tax credits.
(k) “Stockholder's Equity” shall be reported as follows:
(1) “Capital Stock” shall be segregated as between common and preferred. The number of shares outstanding, along with the par or stated value of the stock, shall be reported. In the case of no-par stock without stated value, the full consideration received shall be reported.
(2) “Other Paid-In Capital” shall include the difference between the price at which the capital stock is sold and the par or stated value of the stock.
(3) “Retained Earnings” shall represent the net income or loss from all operations of the corporate entity less dividends.
(4) “Treasury Stock” shall represent the cost of stock issued by the carrier and reacquired by it but not retired or cancelled.
(l) The statement of certification shall be signed by the carrier's chief accounting officer.
(m) All substantive matters that may materially influence interpretations or conclusions in regard to the financial condition or the earnings position of the air carrier which are not clearly identified in the body of the schedule or which represent information that cannot be expressed adequately in monetary terms shall be completely and clearly stated in a note attached to this schedule and cross-referenced to the affected account or accounts.
(a) This schedule shall be filed by all Group II and Group III air carriers.
(b) Data applicable to acquisitions and data applicable to retirements shall be grouped and reported separately. The data reported within each group (acquisitions; retirements) shall be further subgrouped and reported as follows:
(1) Acquisitions: the indicated data shall be reported for each individual airframe, identified by type, model, and design of cabin as to use for passengers exclusively, cargo exclusively, or both passengers and cargo in combination. Data pertaining to aircraft engines shall be reported in aggregate for each type or model; however, leased aircraft engines shall be separately reported under captions entitled: Capital Leases—Aircraft Engines; and Operating Leases—Aircraft Engines. Airframe units leased from others for a period of more than 90 days shall be reported in a separate subsection of this schedule, captioned as follows: Capital Leases—Airframe Units; and Operating Leases—Airframe Units. In addition, a notation shall be made by license number of airframe units of the air carrier returned after lease to others for a period of more than 90 days. Airframe units obtained through interchange lease arrangements shall not be so reported.
(2) Retirements: The indicated data shall be reported for the sale or retirement of each airframe, each type of aircraft engine (stating the number of units retired) and, to the extent retired along with airframes and engines, in aggregates by accounts, operating property and equipment included in accounts 1607 and 1608 and nonoperating property and equipment included in accounts 1707 and 1708. Disposition of properties in accounts 1608 and 1708 not related to airframe and aircraft engine retirements shall be reported in a separate group for each account. Airframe units leased from others for a period of more than 90 days shall be reported, upon return to the lessor, in a separate subsection of this schedule and captioned as follows: Capital Leases—Airframe Units; and Operating Leases—Airframe Units. In addition, a notation shall be made by license number and name of lessee of airframe units leased to others for a period of more than 90 days; moreover, airframe units leased to others under sales-type or direct financing leases shall be separately captioned and reported on this schedule. Airframe units leased under interchange arrangements shall not be so reported. Aircraft engines leased from others for a period of more than 90 days shall be reported, upon return to the lessor, in a separate subsection of this schedule and captioned as follows: Capital Leases—Aircraft Engines; and Operating Leases—Aircraft Engines. In addition, a notation shall be made by model number, number of units, and name of lessee of aircraft engines leased to others for a period of more than 90 days; moreover, aircraft engines leased to others under sales-type or direct financing leases shall be separately captioned and reported on this schedule. Aircraft engines leased under interchange arrangements shall not be so reported.
(c) All dates shall indicate the day, the month and the year; shall be provided on a unit basis for airframes only, and, shall be reported for each aircraft engine group by date of transaction.
(d) Column 1, “Year of First Delivery—Airframe,” shall reflect, for each reported airframe, the year that the airframe was first delivered by its manufacturer.
(e) Column 2, “Airframe Manufacturer's Serial Number,” shall reflect the serial number assigned to each reported airframe by its manufacturer.
(f) Column 4, “Acquisitions or Retirements,” shall be used to indicate, for each item entered, whether it represents an acquisition or retirement. This shall be indicated by inserting in Column 4 an “A” for acquisition or an “R” for retirement.
(g) Column 8, “Maximum Seating Capacity,” shall reflect the number of passenger seats installed in each airframe acquired. When airframes are designed for multiple adjustable seating configurations, the maximum number of seats for which designed shall be reported. When the seating configuration of airframes is modified subsequent to original acquisition, the revised passenger capacity of each airfame shall be reported in the quarter in which modified and referenced to identify original capacity reported.
(h) Column 9, “Cost,” shall reflect the book cost of reported airframe and aircraft engine acquisitions and retirements.
(i) Column 10, “Amortization/Depreciated Cost,” shall reflect the book cost, less amortization or depreciation expense, for airframes and aircraft engines that have been retired.
(j) Column 11, “Realization,” shall reflect the proceeds from the disposition of airframes and aircraft engines, including any insurance proceeds.
(k) Column 12, “Acquired From/Disposition,” shall reflect: (1) for acquisitions: the name of the person or organization from which airframes and aircraft engines are acquired and (2) for dispositions (retirements): the name of the person or organization to which airframes and aircraft engines are sold or a notation as to the nature of the retirement and the account to which any depreciated cost has been charged, if not sold. Items included in accounts 1607, 1608, 1707, and 1708, sold as a part of an airframe or aircraft sales transaction, shall also be identified by the name of the buyer. Other sales of items included in these accounts shall be reported in a separate group in aggregate for each property account affected.
(a) This Schedule shall be filed quarterly by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) This schedule shall be filed for the overall or system operations of the air carrier.
(c) The statement of cash flows shall separately disclose the amount of net cash provided or used during the reporting period from the carrier's operating activities, investing activities and financing activities. The effect on cash and cash equivalents of the total amount of net cash provided or used during the quarter from each of the above activities shall be clearly disclosed so as to reconcile beginning and ending cash and cash equivalents.
(d) Carriers may use either the direct or indirect method of reporting cash flows. Under either method, the reporting of cash flows from investing and financing activities will remain the same. However, the reporting of cash flows from operating activities does differ between the two methods.
(e) For carriers electing to use the direct method, cash flows from operating activities are reported as gross amounts of the principal components of cash receipts and cash payments from operating activities, such as cash received from passengers and shippers, cash paid to suppliers, and cash paid to employees. Each carrier using the direct method shall provide as part of its statement of cash flows, a separate schedule that reconciles net income (as reported on Schedule P-1.2 in Account 9899) to cash flow from operating activities.
(f) For carriers electing to use the indirect method, cash flows from operating activities shall reflect net income (as reported on Schedule P-1.2 in Account 9899) along with the adjustments necessary to reconcile net income (Account 9899) to net cash for the period (Net Cash Provided or Used By Operating Activities).
(g) Regardless of the method used, the statement of cash flows shall reflect the amount of net cash flow provided or used by operating activities during the reporting period.
(h) The balance of “Cash and Cash Equivalents,” at the beginning and ending of the quarterly period covered by the report, should equal the sum of Accounts 1010, “Cash,” and 1100, “Short-term Investments,” as reported on the immediately preceding and current quarterly Schedule B-1, “Balance Sheet.” If the sum of these two accounts does not equal the total “Cash and Cash Equivalents” reported on the statement of cash flows, then a footnote explaining the difference shall be provided as part of the statement of cash flows.
(i) Carriers shall submit Schedule B-12 in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(a) This schedule shall be filed by all Group I, Group II and Group III air carriers.
(b) The indicated data shall be reported for each individual airframe, identified by type, model and design of cabin (main deck) as to use for passengers exclusively, cargo exclusively, or both passengers and cargo in combination. Type and model refers to aircraft models such as B-707-100, B-707-200, DC-10-40, Beech-18, Piper PA-32, etc. Aircraft type designations are prescribed in Accounting and Reporting Directive No. 178, “List of Aircraft Type Numeric Codes.” Copies of this directive and subsequent updates to the list of aircraft type codes are available from the Department's Office of Airline Information. Airframes that are authorized for operation over water under FAA regulation FAR 121 shall be so indicated by asterisk.
(c) Data pertaining to aircraft engines shall be reported on a group basis by type of engine and by type of aircraft to which related.
(d) Data in this schedule shall be grouped and subtotaled as data pertaining to airframes and data pertaining to aircraft engines. Data pertaining to nonoperating airframes and aircraft engines shall be reported in a group below the data for operating equipment. Data pertaining to airframes and aircraft engines obtained under operating and capital leases shall be reported, by type of lease, in a separately captioned grouping below nonoperating airframes and aircraft engines and subgrouped within those groups according to operating and nonoperating equipment.
(e) Column 1, “Year of First Delivery—Airframe,” shall reflect, for each reported airframe, the year that the airframe was first delivered by its manufacturer.
(f) Column 2, “Airframe Manufacturer's Serial Number,” shall reflect the serial number assigned to each reported airframe by its manufacturer.
(g) Data pertaining to airframes and aircraft engines obtained under operating leases shall be listed in Columns 1 through 9; the cost of improvements to equipment under operating leases shall be reported in Columns 10 through 12.
(h) Column 9, “Available Capacity (Weight),” shall reflect, for each reported aircraft type, the available capacity (stated in pounds) that is used in computing the available ton-miles reported on Schedules T-100, T-1, and T-2.
(i) Column 10, “Acquired Cost or Capitalized Value,” shall include (1) the acquisition cost of owned airframes and aircraft engines; (2) the total capitalized cost of obtaining airframes and engines under capital leases; and (3) the cost of improvements to airframes and engines obtained under operating leases.
(j) Column 11, “Allowance for Depreciation or Amortization,” shall include (1) the accumulations of all provisions for losses due to use and obsolescence that are applicable to owned airframes and aircraft engines, (2) the amount of amortization recorded for amortizing the value of airframes and engines obtained under capital leases, and (3) the amount of amortization recorded for amortizing the value of improvements to airframes and aircraft engines obtained under operating leases.
(k) Column 12, “Depreciated Cost or Amortized Value,” shall be calculated as either (1) Acquired Cost (Column 10) less the Allowance for Depreciation (Column 11) or (2) Capitalized Value (Column 10) less Amortization (Column 11).
(l) Column 13, “Estimated Residual Value,” shall state, in dollars, the residual value assigned to owned and capital-leased airframes and aircraft engines, including any overhaul value not subject to depreciation.
(m) Column 14, “Estimated Depreciable or Amortizable Life (Months),” shall state the estimated depreciable or amortizable life from the date of acquisition of each airframe and each group of aircraft engines.
(a) This schedule shall be filed semiannually by Group I air carriers with annual operating revenues below $20 million. Data reported on this schedule shall be for the overall or system operations of the air carrier.
(b) This schedule shall show the results of operations for six-month periods ending June 30 and December 31. Data reported in the “12 Months-to-Date” column shall represent for each individual item the sum of the amount reported in the “Current Period” column and the next previous six-month period.
(c) Each carrier shall insert in the space provided for “OAG Code” its carrier code as contained in the Official Airlines Guide (OAG). If the OAG does not contain a carrier code for the reporting carrier, a code will be provided by the Office of Airline Information upon request. This code will then be placed in the space provided for “carrier code.”
(d) “Operating Revenue” shall be put in categories as follows:
(1) “Transport Revenue” shall include the revenue generated by the performance of air transportation services. This category shall be subdivided as follows:
(i) “Scheduled Service” shall include all transport revenue derived from operations between pairs of points which are served on a regularly scheduled basis. Transport revenue received from scheduled service operations shall be subdivided as follows:
(A) Passengers. Revenue generated from the transportation of passengers shall be included in this category.
(B) Other. Revenue generated by the transportation of property and mail shall be included in this category.
(ii) “Nonscheduled Service” shall include all transport revenue derived from operations between pairs of points which are not served on a regularly scheduled basis.
(2) “Transport-Related Revenue” shall include monies received for providing air transportation facilities associated with the performance of services which flow from and are incidental to air transportation services performed by the air carrier. This category shall be subdivided as follows:
(i) Public Service Revenue. This category shall include amounts of compensation paid to the carrier under 49 U.S.C 41733.
(ii) Other. This category shall include other transport-related revenue such as in-flight sales, restaurant and food service (ground), rental of property or equipment, limousine service, interchange sales, and cargo pick-up and delivery charges.
(e) “Operating Expense” shall be segregated as follows:
(1) “Flying Operations” shall include expenses incurred directly in the in-flight operation of aircraft and expenses incurred in the holding of aircraft and aircraft operation personnel in readiness for assignment to an in-flight status.
(2) “Maintenance” shall include all expenses which are specifically identifiable with the repair and upkeep of property and equipment used in the performance of air transportation.
(3) “General and Administrative” shall include that portion of all expenses of a general corporate nature and all other expenses not provided for elsewhere which are related to air transport operations either directly or indirectly.
(4) “Depreciation and Amortization” shall include all depreciation and amortization expenses applicable to property and equipment used in providing air transportation services. These expenses shall be segregated between those applicable to owned property and equipment and those applicable to property and equipment which is leased.
(5) “Transport-Related Expense” shall include all expenses associated with the transport-related revenues reported on line 5 of this schedule.
(f) “Operating Profit (Loss)” shall be computed by subtracting the total operating expenses from the total operating revenues.
(g) “Nonoperating Income and Expense” shall include all revenues and expenses resulting from commercial ventures which are not inherently related to the performance of air transport services. For example, the revenues and expenses related to operating a hotel or motel would be reported under this category. This category shall also include the total interest expense incurred from all sources and shall be subdivided as follows:
(1) Interest Expense.
(2) Other Nonoperating (Net).
(h) “Income Tax” shall reflect the provisions for accruals of Federal, State, local, and foreign taxes based upon taxable income, and computed at the normal and surtax rates in effect during the current accounting year.
(i) “Discontinued Operations, Extraordinary Items or Accounting Changes” shall reflect any earnings or losses from discontinued operations, the net of the tax amount of extraordinary items, and the cumulative effect of any changes in accounting principles.
(j) Any air carrier that does not file Schedule P-1(a) in accordance with the filing option described in section 22—General Reporting Instructions shall, for the sixth month of any semi-annual period during which the option is exercised, type in the bottom margin of this statement of operations the total number of full-time and part-time employees to be labeled as such and calculated in accordance with paragraph (d) of the reporting instructions for Schedule P-1(a).
(a) This schedule shall be filed quarterly by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) Route and charter carriers shall file separate statements of operations for each separate operating entity and for the overall, or system operations.
(c) Data reported on this schedule shall conform with the instructions pertaining to profit and loss classifications within this Uniform System of Accounts and Reports.
(d) Data reported in the “12 Months-to-Date” column shall represent for each item the sum of amounts reported in the “Quarter” column for the current and next previous three quarters.
(e) Group III air carriers shall subdivide total Transport Revenues-Passenger (Account 3901) between Accounts 3901.1, Passenger-Flight Class and Account 3901.2 Passenger-Coach, only for operations that are reported in the international entity (Atlantic, Pacific and Latin American). First class and coach passenger revenues associated with transport operations reported in the domestic entity shall be reported as a combined total in Account 3901 Transport Revenues-Passenger.
(f) All Group I and Group II air carriers shall report first class and coach passenger revenues as a combined total in Account 3901 Transport Revenues-Passenger, for both domestic and international entity operations. However, U.S. air carriers in any carrier group that elect to do so may continue to report first class and coach revenue data, if they consider such voluntary reporting to be less burdensome than changing their existing financial reporting system.
(g) Any air carrier that does not file Schedule P-1(a) in accordance with the filing option described in section 22—General Reporting Instructions shall, for the third month of any calendar quarter during which the option is exercised, type in the bottom margin of the system statement of operations the total number of full-time and part-time employees to be labeled as such and calculated in accordance with paragraph (d) of the reporting instructions for Schedule P-1(a).
(a) This schedule shall be filed by all air carriers.
(b) This schedule shall be filed for the overall or system operations of the air carrier.
(c) Data reported on this schedule shall reflect the results of operations for the month covered by the report and shall conform to the instructions pertaining to profit and loss classifications within this Uniform System of Accounts and Reports.
(d) Air carriers shall report on this schedule:
(1) Total operating revenues,
(2) Total operating expenses,
(3) Operating profit or loss,
(4) Net income,
(5) Passenger revenues—scheduled service,
(6) Public service revenues (subsidy) and other information on
(7) The total number of full-time and
(8) Part-time employees. Total number of full-time employees and total number of part-time employees shall reflect for the overall or system operations of the air carrier the total number of full-time and part-time employees, respectively, who worked or received pay for any part of the pay period(s) ending nearest the 15th day of the month. For the purposes of this part, “part-time employees” means those employees hired to work less than the number of hours that is customary or standard for their occupational specialty.
(e) In the event of a labor strike, the “number of employees” to be reported on this schedule shall be determined on and actual payroll basis. Actual payroll shall be determined in accordance with paragraph (d) of these reporting instructions. An air carrier that on October 24, 1978, held a certificate issued under 49 U.S.C. 41102 shall also report in a footnote on this schedule the number of full-time employees who were deprived of employment because of a strike (i.e., the number of full-time employees who, but for a strike, would have been included in the number reported in accordance with paragraph (d)(7)).
(a) This schedule shall be filed quarterly by all Group II and Group III air carriers and Group I air carriers with annual revenues of $20 million or more. Carriers shall submit Schedule P-2 in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(b) Route and charter air carriers shall file this schedule for each separate operating entity and for the overall, or system operations of the carrier.
(c) All substantive matters which may influence materially interpretations or conclusions in regard to the financial condition or the earnings position of the air carrier which are not clearly identified in the body of the Form 41 report or which represent information that cannot be expressed adequately in monetary terms shall be completely and clearly stated in this schedule and cross-referenced to the affected account or accounts. The informative disclosure on this schedule for the system operations of the air carrier shall conform, at the end of each carrier's fiscal or calendar year, with the footnotes prepared for audited financial statements.
(d) The amounts and estimated delivery dates of any purchase commitments of material size and not of a recurrent routine character shall be explained on this schedule. In the case of commitments involving flight equipment, the amount for each equipment type may be given in total, including any engines, airframes and spares; but the number of airframes and the number of engines by type shall be given, as well as the estimated delivery date for each complete aircraft. Reports on commitments other than for flight equipment are required only in the December 31 report of each calendar year.
(e) Each scheduled air carrier shall include on this schedule a description of each interruption in air transport operations, the aggregate effect of which is ten (10) percent or more of the scheduled revenue plane-miles which, except for the interruption, would have been operated during the month or either of 2 consecutive months affected. The information to be reported for each such interruption in operations shall consist of:
(1) For the report period in which partial or complete interruption first occurs, the nature of the interruption and dates of partial and/or complete cessation of operations, as applicable;
(2) For each report period until full resumption of operations, an estimate of the revenue plane-miles canceled in each month of the quarter because of the interruption; and
(3) For the report period in which scheduled operations are resumed, dates of partial and/or complete resumption, as applicable.
(a) This schedule shall be filed by all Group I air carriers. Group I air carriers that have annual operating revenues of $20 million or more shall file this schedule quarterly and only report direct operating expense data (lines 1 thru 9). Group I air carriers with annual operating revenues below $20 million shall file this schedule semiannually and report both direct and indirect operating expense data (lines 1 thru 16).
(b) Subject to the provisions of Section 22(a), quarterly reports are due on May 10, August 10, November 10 and February 10 for the first, second, third and fourth calendar quarters, respectively. Semiannual reports are due on August 10 and February 10.
(c) Each carrier shall indicate in the space provided its full corporate name and an “X” shall be inserted in the appropriate box to indicate whether the data being reported are quarterly or six months data. The period-ending data shall be indicated in the space provided.
(d) Route and charter air carriers subject to the quarterly filing requirement shall file this schedule for each operating entity of the air carrier. Air carriers subject to the semiannual filing requirement shall file this schedule for the overall or system operations of the air carrier.
(e) This schedule shall show the direct and indirect expenses incurred in aircraft operations plus total aircraft hours, gallons of fuel issued, and aircraft days assigned to service. Direct expense data applicable to each aircraft type operated by the carrier shall be reported in separate colums of this schedule. Each aircraft type reported shall be identified at the head of each column in the space provided. “Aircraft Type” refers to aircraft models such as B-707-100, B-707-200, DC-10-40, Beech-18, Piper PA-32, etc, Aircraft Type designations are prescribed in the Accounting and Reporting Directives, which is available from the Office of Airline Information, RTS-42. In the space provided for “Aircraft Code” carriers shall insert the four digit code which is prescribed in the Accounting and Reporting Directives for the reported aircraft type.
(f) Direct aircraft operating expenses shall be reported in the following categories:
(1) Line 2 “Flying Operations (Less Rental)” shall be subdivided as follows:
(i) Line 3 “Pilot and Copilot” expense shall include pilots' and copilots' salaries, and related employee benefits, pensions, payroll taxes and personnel expenses.
(ii) Line 4 “Aircraft Fuel and Oil” expense shall include the cost of fuel and oil used in flight operations and nonrefundable aircraft fuel and oil taxes.
(iii) Line 5 “Other” expenses shall include general (hull) insurance, and all other expenses incurred in the in-flight operation of aircraft and holding of aircraft and aircraft operational personnel in readiness for assignment to an in-flight status that are not provided for otherwise on this schedule.
(2) Line 6 “Total Flying Operations (Less Rentals)” shall equal the sum of lines 3, 4 and 5.
(3) Line 7 “Maintenance-Flight Equipment” shall include the cost of labor, material and related overhead expended by the carrier to maintain flight equipment, general services purchased for flight equipment maintenance from associated or other outside companies, and provisions for flight equipment overhauls.
(4) Line 8 “Depreciation and Rental-Flight Equipment” expense shall include depreciation of flight equipment, amortization of capitalized leases for flight equipment, provision for obsolescence and deterioration of spare parts, and rental expense of flight equipment.
(5) Line 9 “Total Direct Expense” shall equal the sum of lines 6, 7 and 8.
(g) Line 10 Indirect aircraft operating expenses shall be reported only in total for all aircraft types and shall be segregated according to the following categories:
(1) Line 11 “Flight Attendant Expense” shall include flight attendants' salaries, and related employee benefits, pensions, payroll taxes and personnel expenses.
(2) Line 12 “Traffic Related Expense” shall include traffic solicitor salaries, traffic commissions, passenger food expense, traffic liability insurance, advertising and other promotion and publicity expenses, and the fringe benefit expenses related to all salaries in this classification.
(3) Line 13 “Departure Related (Station) Expense” shall include aircraft and traffic handling salaries, landing fees, clearance, customs and duties, related fringe benefit expenses and maintenance and depreciation on ground property and equipment.
(4) Line 14 “Capacity Related Expense” shall include salaries and fringe benefits for general management personnel, recordkeeping and statistical personnel, lawyers, and law clerks, and purchasing personnel; legal fees and expenses; stationery; printing; uncollectible accounts; insurance purchased-general; memberships; corporate and fiscal expenses; and all other expenses which cannot be identified or allocated to some other specifically identified indirect cost category.
(h) Line 15 “Total Indirect Expense” shall equal the sum of lines 11, 12, 13 and 14.
(i) Line 16 “Total Operating Expense” shall equal the sum of lines 9 and 15.
(j) Line 17 “Total Aircraft Hours” shall equal the sum of revenue and nonrevenue aircraft hours.
(k) Line 18 “Gallons of Fuel Issued” shall equal the aircraft fuels issued (account Z921).
(l) Line 19 “Aircraft Days Assigned to Service” equals the number of days that aircraft owned or acquired through rental or lease are in the possession of the reporting air carrier and are available for service on the reporting carrier's routes plus the number of days such aircraft are in service on routes of others under wet-lease agreements. Includes days in overhaul, or temporarily out of service due to schedule cancellations. Excludes days that newly acquired aircraft are on hand but not available for productive use, days dry-leased or rented to others, and days in possession but formally withdrawn from air transportation service.
(a) This schedule shall be filed by all Group II and Group III air carriers.
(b) Route and charter air carriers shall file this schedule for each operating entity of the air carrier.
(c) Data applicable to each aircraft type operated by the air carrier shall be reported in separate columns of this schedule. “Aircraft Type” refers to aircraft models (such as B-707-100, B-707-300, DC-9-30, etc.) that are prescribed in the Accounting and Reporting Directives, which is available from the Office of Airline Information. In the space provided for “Aircraft Code” carriers shall insert the four digit code which is prescribed in the Accounting and Reporting Directives for the reported aircraft type. For route air carriers, expenses of operating aircraft provided by other carriers under interchange agreements shall be separately reported in total for all such aircraft as if for a distinct aircraft type. Interchange expenses applicable to aircraft of the same type as those owned or operated by the air carrier shall be distributed in summary memo form as item 98.1 and 98.2 to each aircraft type owned or operated by that air carrier. Aircraft types not generally used in revenue service shall be separately reported. If more than one type of aircraft is involved, a separation of data relating to each type of aircraft shall not be required.
(d) Each aircraft type for which a report is being made shall be identified at the head of each column in the space provided. Data applicable to aircraft designed primarily for cargo services and only incidentally used for passenger services shall be reported in separate columns, and the word “cargo” shall be inserted after the aircraft type at the head of the column. The prescribed reporting by aircraft types may be reviewed from time to time upon request by individual air carriers, or upon the initiative of the BTS, and groupings of aircraft types for reporting purposes may be prescribed or amended in specific instances.
(e) Italicized codes and item titles do not constitute accounts or account numbers prescribed for air carrier accounting, but shall be used for reporting purposes only.
(f) Item 79.6 “Applied Maintenance Burden” shall reflect a memorandum allocation by each air carrier of the total expenses included in subfunction 5300 “Maintenance Burden” between maintenance of flight equipment, by aircraft type, and maintenance of ground property and equipment. The allocation of subfunction 5300 (maintenance burden) shall include the net effect of charges and credits to profit and loss account 5272 Flight Equiment Airworthiness Provisions.
(g) Item 73 “Obsolescence and Deterioration—Expendable Parts” shall reflect (for obsolescence and deterioration of flight equipment expandable parts) the gross provisions for losses in value of expendable parts during the current accounting period offset by any credits applicable to the current period for adjustments for excess inventory levels determined pursuant to section 6-1311.
(h) The total of function 5100 “Flying Operations” reported on this schedule shall agree with corresponding amounts reported on Schedule P-1.2.
(a) This schedule shall be filed quarterly by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) Route and charter air carriers shall file this schedule for each separate operating entity.
(c) Line 36 “Total Operating Expenses” shall agree with the corresponding amount reported on Schedule P-1.
(a) This schedule shall be filed by all Group III air carriers.
(b) Route and charter air carriers shall file this schedule for each operating entity of the air carrier.
(c) Line 38 “Total Operating Expenses” shall agree with the corresponding amount reported on Schedule P-1.2.
(a) This schedule shall be filed annually by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) Separate sets of this schedule shall be filed for each operating entity of the air carrier. Employees will be allocated to the reporting entities on a basis consistent with that used in the allocation of salaries for Form 41 financial reporting purposes.
(c) Column 3, “Number of Employees,” shall reflect, for each category in column 1, the weighted average number of full-time employees who received pay for any part of the calendar year. In determining the weighted average, all temporary or part-time employees shall be restated, based on their hours paid, as an equivalent number of full-time employees. The calculation shall be based on a standard full-time 2,080/hour year with overtime hours excluded from the computation.
(d) Labor category description—“Other personnel” shall include all employees whose salary is chargeable to accounts 30, 32, 34 and 35 in this Uniform System of Accounts and Reports.
(e) Labor category description—“Transport-related” shall include all employees whose salary is not chargeable to one of the various salary accounts contained in the Uniform System of Accounts and Reports. For example, this category would include those employees who work in transport-related operations and other activities for which a separate payroll account is not prescribed. The number of employees reported as transport-related shall be calculated in accordance with paragraph (c) of these reporting instructions.
(a) This schedule shall be filed monthly by all Group II and Group III air carriers and Group I air carriers that have annual operating revenues of $20 million or more.
(b) A single copy (original only) of this schedule shall be filed to report monthly fuel consumption data by type of service and entity.
(c) For the purposes of this schedule, type of service shall be either scheduled service or nonscheduled service as those terms are defined in section 03 of part 241.
(d) For the purpose of this schedule, scheduled service shall be reported separately for: (1) Intra-Alaskan operations; (2) domestic operations, which shall include all operations within and between the 50 States of the United States (except Intra-Alaska), the District of Columbia, the Commonwealth of Puerto Rico and the United States Virgin Islands and Canadian transborder operations; (3) Atlantic operations (excluding Bermuda); (4) Pacific operations which shall include the North/Central Pacific, South Pacific (including Australia) and the Trust Territories; and (5) Latin American operations which shall include the Caribbean (including Bermuda and the Guianas), Mexico and South/Central America.
(e) For the purpose of this schedule, nonscheduled service shall be reported separately for domestic operations and international operations as defined in paragraph (d) above, except that domestic and international MAC operations shall be reported on separate lines.
(f) The cost data reported on each line shall represent the average cost of fuel, as determined at the station level, consumed in that entity.
(g) The cost of fuel shall include shrinkage but exclude (1) “through-put” and “in to plane” fees, i.e., service charges or gallonage levies assessed by or against the fuel vendor or concessionaire and passed on to the carrier in a separately identifiable form and (2) nonrefundable Federal and State excise taxes. However, “through-put” and “in to plane” charges that cannot be identified or segregated from the cost of fuel shall remain a part of the cost of fuel as reported on this schedule.
(h) Each air carrier shall maintain records for each station showing the computation of fuel inventories and consumption for each fuel type. The periodic average cost method shall be used in computing fuel inventories and consumption. Under this method, an average unit cost for each fuel type shall be computed by dividing the total cost of fuel available (Beginning Inventory plus Purchases) by the total gallons available. The resulting unit cost shall then be used to determine the ending inventory and the total consumption costs to be reported on this schedule.
(i) Where amounts reported for a specific entity include other than Jet A fuel, a footnote shall be added indicating the number of gallons and applicable costs of such other fuel included in amounts reported for that entity.
(j) Where any adjustment(s) recorded on the books of the carrier results in a material distortion of the current month's schedule, carriers shall file a revised schedule P-12(a) for the month(s) affected.
(k) Data reported on this schedule shall be withheld from public release until the quarterly Form 41 P schedules for the calendar quarter to which the monthly schedules relate are due at the BTS. However, aggregate data may be released before that time without identifying individual carriers. Provisions governing the due dates for submitting the quarterly P schedules are contained in paragraphs (a) and (b) of section 22 of this part. Individual carrier fuel data withheld from public disclosure may be disclosed by the BTS to:
(1) Parties to any proceeding before the DOT to the extent such material is relevant and material to the issues in the proceeding upon a determination to this effect by the administrative law judge assigned to the case or by the DOT;
(2) Agencies and other components of the Federal Government for their internal use only; and
(3) Such persons and in such circumstances as the BTS determines to be in the public interest or consistent with its regulatory functions and responsibilities.
General Instructions. (a) All prescribed reporting for traffic and capacity elements shall conform with the data compilation standards set forth in section 19—Uniform Classification of Operating Statistics.
(b) Carriers submitting Schedule T-100 shall use magnetic computer tape or IBM compatible disk for transmitting the prescribed data to the Department. Upon good cause shown, OAI may approve the request of a U.S. air carrier, under section 1-2 of this part, to use hardcopy data input forms or submit data via e-mail.
(a) This schedule shall be filed annually by all air carriers that conduct all-cargo operations under certificates issued under 49 U.S.C. 41103.
(b) [Reserved]
(c) Statement of operations. This statement shall include the following elements:
(1) Total operating revenue, categorized as follows:
(i) Transport revenues from the carriage of property in scheduled and nonscheduled service;
(ii) Transport revenues from the carriage of mail in scheduled and nonscheduled service; and
(iii) Transport-related revenues.
(2) Total operating expenses; and
(3) Operating profit or loss, computed by subtracting the total operating expenses from the total operating revenues.
(d) Summary of traffic and capacity statistics. This summary shall include the following elements:
(1) Total revenue ton-miles, which are the aircraft miles flown on each flight stage times the number of tons of revenue traffic carried on that stage. They shall be categorized as follows:
(i) Property; and
(ii) Mail.
(2) Revenue tons enplaned, reflecting the total revenue tons of cargo loaded on aircraft during the annual period;
(3) Available ton-miles, reflecting the total revenue ton-miles available for all-cargo service during the annual period, and computed by multiplying aircraft miles flown on each flight stage by the number of tons of aircraft capacity available for that stage;
(4) Aircraft miles flown, reflecting the total number of aircraft miles flown in cargo service during the annual period;
(5) Aircraft departures performed, reflecting the total number of take-offs performed in cargo service during the annual period; and
(6) Aircraft hours airborne, reflecting the aircraft hours of flight (from take-off to landing) performed in cargo service during the annual period.
(a) Schedule T-100 collects detailed on-flight market and nonstop segment data on all revenue flights flown by U.S. certificated air carriers. This schedule is filed monthly. Separate data shall be reported for each operating entity (Latin America, Atlantic, Pacific; International, or Domestic) of the air carrier. Data for each operating entity shall be reported using the five digit entity code prescribed under section 19-5(c) of this part.
(b) Guidelines for reporting the automated monthly Schedule T-100 are included in the Appendix to this section.
(c) Reported data shall be compiled as aggregates of the basic data elements and service classes contained in sections 19-4 and 19-5 of this part.
(d) Joint-service operations. The air carrier in operational control of the aircraft (the carrier that uses its flight crews under its own FAA operating authority) must report joint-service operations.
The purpose of this part is to ensure that the U.S. government has prompt and adequate information in case of an aviation disaster on covered flight segments.
Air piracy means any seizure of or exercise of control over an aircraft, by force or violence or threat of force or violence, or by any other form of intimidation, and with wrongful intent.
Aviation disaster means:
(1) An occurrence associated with the operation of an aircraft that takes place between the time any passengers have boarded the aircraft with the intention of flight and the time all such persons have disembarked or have been removed from the aircraft, and in which any person suffers death or serious injury, and in which the death or injury was caused by a crash, fire, collision, sabotage or accident;
(2) A missing aircraft; or
(3) An act of air piracy.
Contact means a person not on the covered flight or an entity that should be contacted in case of an aviation disaster. The contact need not have any particular relationship to a passenger.
Covered airline means:
(1) certificated air carriers, and
(2) foreign air carriers, except those that hold Department of Transportation authority to conduct operations in foreign air transportation using only small aircraft (i.e., aircraft designed to have a maximum passenger capacity of not more than 60 seats or a maximum payload capacity of not more than 18,000 pounds).
Covered flight segment means a passenger-carrying flight segment operating to or from the United States (i.e., the flight segment where the last point of departure or the first point of arrival is in the United States). A covered flight segment does not include a flight segment in which both the point of departure and point of arrival are in the United States.
Full name means the given name, middle initial or middle name, if any, and family name or surname as provided by the passenger.
Passenger means every person aboard a covered flight segment regardless of whether he or she paid for the transportation, had a reservation, or occupied a seat, except the crew. For the purposes of this part, passenger includes, but is not limited to, a revenue and non-revenue passenger, a person holding a confirmed reservation, a standby or walkup, a person rerouted from another flight or airline, an infant held upon a person's lap and a person occupying a jump seat. Airline personnel who are on board but not working on that particular flight segment would be considered passengers for the purpose of this part.
United States means the States comprising the United States of America, the District of Columbia, and the territories and possessions of the United States, including the territorial sea and the overlying airspace.
U.S. citizen means United States nationals as defined in 8 U.S.C. 1101(a)(22).
This part applies to covered flight segments operated by covered airlines. (See § 243.3 of this part)
(a) For covered flight segments, each covered airline shall:
(1) Collect, or cause to be collected, the full name for each passenger who is a U.S. citizen. U.S.-citizen passengers for whom this information is not obtained shall not be boarded;
(2) Solicit, or cause to be solicited, a name and telephone number of a contact from each passenger who is a U.S. citizen; and
(3) Maintain a record of the information collected pursuant to this section.
(b) The covered airline operating the flight segment shall be responsible for ensuring compliance with paragraph (a) of this section.
Covered airlines may use any method or procedure to collect, store and transmit the required information, subject to the following conditions:
(a) Information on individual passengers shall be collected before each passenger boards the aircraft on a covered flight segment.
(b) The information shall be kept until all passengers have disembarked from the covered flight segment.
(c) The contact information collected pursuant to section 243.7(a)(2) of this part shall be kept confidential and released only to the U.S. Department of State, the National Transportation Safety Board (upon NTSB's request), and the U.S. Department of Transportation pursuant to oversight of this part. This paragraph does not preempt other governments or governmental agencies that have an independent, legal right to obtain this information.
(d) The contact information collected pursuant to section 243.7(a)(2) of this part shall only be used by covered airlines for notification of family members or listed contacts following an aviation disaster. The information shall not be used for commercial or marketing purposes.
(a) Each covered airline shall inform the Managing Director of Overseas Citizen Services, Bureau of Consular Affairs, U.S. Department of State immediately upon learning of an aviation disaster involving a covered flight segment operated by that carrier. The Managing Director may be reached 24 hours a day through the Department of State Operations Center at (202) 647-1512.
(b) Each covered airline shall transmit a complete and accurate compilation of the information collected pursuant to § 243.7 of this part to the U.S. Department of State as quickly as possible, but not later than 3 hours, after the carrier learns of an aviation disaster involving a covered flight segment operated by that carrier.
(c) Upon request, a covered airline shall transmit a complete and accurate compilation of the information collected pursuant to § 243.7 of this part to the Director, Transportation Disaster AssistanceNational Transportation Safety Board.
(a) Each covered airline that operates one or more covered flight segments shall file with the U.S. Department of Transportation a brief statement summarizing how it will collect the passenger manifest information required by this part and transmit the information to the Department of State following an aviation disaster. This description shall include a contact at the covered airline, available at any time the covered airline is operating a covered flight segment, who can be consulted concerning information gathered pursuant to this part.
(b) Each covered airline shall file any contact change as well as a description of any significant change in its means of collecting or transmitting manifest information on or before the date the change is made.
(c) All filings under this section should be submitted to OST Docket 98-3305, Dockets Management Facility (M-90) U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590. The statement shall be filed prior to the date a covered airline operates a covered flight segment.
(a) If a covered airline obtains a waiver in the manner described in this section, it will not be required to solicit, collect or transmit information under this part in countries where such solicitation or collection would violate applicable foreign law, but only to the extent it is established by the carrier that such solicitation or collection would violate applicable foreign law.
(b) Covered airlines that claim that such solicitation, collection or transmission would violate applicable foreign law in certain foreign countries shall file a petition requesting a waiver in the Docket Facility, on or before October 1, 1998, or on or before beginning service between that country and United States. Such petition shall include copies of the pertinent foreign law, as well as a certified translation, and shall include opinions of appropriate legal experts setting forth the basis for the conclusion that collection would violate such foreign law. Statements from foreign governments on the application of their laws will also be accepted.
(c) The U.S. Department of Transportation will notify the covered airline of the extent to which it has been satisfactorily established that compliance with all or part of the data collection requirements of this part would constitute a violation of foreign law.
(d) The U.S. Department of Transportation will maintain an up-to-date listing in OST Docket 98-3305 of countries where adherence to all or a portion of this part is not required because of a conflict with applicable foreign law.
The U.S. Department of Transportation may at any time require a covered airline to produce a passenger manifest including emergency contacts and phone numbers for a specified covered flight segment to ascertain the effectiveness of the carrier's system. In addition, it may require from any covered airline further information about collection, storage and transmission procedures at any time. If the Department finds a covered airline's system to be deficient, it will require appropriate modifications, which must be implemented within the period specified by the Department. In addition, a covered airline not in compliance with this part may be subject to enforcement action by the Department.
Cancelled flight means a flight operation that was not operated, but was listed in an air carrier or a foreign air carrier's computer reservation system within seven calendar days of the scheduled departure.
Certificated air carrier means a U.S. carrier holding a certificate issued under 49 U.S.C. 41102 to conduct passenger service or holding an exemption to conduct passenger operations under 49 U.S.C. 40109.
Commuter air carrier means a U.S. carrier that has been found fit under 49 U.S.C. 41738 and is authorized to carry passengers on at least five round trips per week on at least one route between two or more points according to a published flight schedule using small aircraft as defined in 14 CFR 298.2.
Covered carrier means a certificated carrier, a commuter carrier, or a foreign air carrier operating to, from, or within the United States, conducting scheduled passenger service or public charter service with at least one aircraft having a designed passenger seating capacity of 30 or more seats.
Diverted flight means a flight which is operated from the scheduled origin point to a point other than the scheduled destination point in the carrier's published schedule. For example, a carrier has a published schedule for a flight from A to B to C. If the carrier were to actually fly an A to C operation, the A to B segment is a diverted flight, and the B to C segment is a cancelled flight. The same would apply if the flight were to operate from A to an airport other than B or C.
Excessive tarmac delay means a tarmac delay of more than three hours for a domestic flight and more than four hours for an international flight.
Foreign air carrier means a carrier that is not a citizen of the United States as defined in 49 U.S.C. 40102(a) that holds a foreign air carrier permit issued under 49 U.S.C. 41302 or an exemption issued under 49 U.S.C. 40109 authorizing direct foreign air transportation.
Gate arrival time is the instant when the pilot sets the aircraft parking brake after arriving at the airport gate or passenger unloading area. If the parking brake is not set, record the time for the opening of the passenger door. Also, for purposes of § 244.3 carriers using a Docking Guidance System (DGS) may record the official “gate-arrival time” when the aircraft is stopped at the appropriate parking mark.
Gate departure time is the instant when the pilot releases the aircraft parking brake after passengers have boarded and aircraft doors have closed. In cases where the flight returned to the departure gate before wheels-off time and departs a second time, the reportable gate departure time for purposes of this part is the last gate departure time before wheels-off time. In cases of a return to the gate after wheels-off time, the reportable gate departure time is the last gate departure time before the gate return. If passengers were boarded without the parking brake being set, the reportable gate departure time is the time that the last passenger door was closed. Also, the official “gate-departure time” may be based on aircraft movement for carriers using a Docking Guidance System (DGS). For example, one DGS records gate departure time when the aircraft moves more than 1 meter from the appropriate parking mark within 15 seconds. Fifteen seconds is then subtracted from the recorded time to obtain the appropriate “out” time.
Gate Return time means the time that an aircraft that has left the boarding gate returns to a gate or other position at an airport for the purpose of allowing passengers the opportunity to disembark from the aircraft.
Large hub airport means an airport that accounts for at least 1.00 percent of the total enplanements in the United States.
Medium hub airport means an airport accounting for at least 0.25 percent but less than 1.00 percent of the total enplanements in the United States.
Non-hub airport means an airport with 10,000 or more annual enplanements but less than 0.05 percent of the total enplanements in the United States.
Small hub airport means an airport accounting for at least 0.05 percent but less than 0.25 percent of the total enplanements in the United States.
Tarmac delay means the period of time when an aircraft is on the ground with passengers and the passengers have no opportunity to deplane.
(a) Covered operations. Except as provided in paragraph (b) of this section, this part applies to U.S. certificated air carriers, U.S. commuter air carriers and foreign air carriers that operate passenger service to or from a U.S. airport with at least one aircraft that has an original manufacturer's design capacity of 30 or more seats. Covered carriers must report all passenger operations that experience an excessive tarmac delay at a U.S. airport.
(b) Exceptions. (1) For foreign air carriers that operate charter flights from foreign airports to U.S. airports, and return to foreign airports, and do not pick up any new passengers in the United States, the charter flights are not flights subject to the reporting requirements of this part.
(2) For U.S. air carriers whose flights are reported under 14 CFR part 234 (Airline Service Quality Performance Reports), their scheduled domestic flights are not subject to the reporting requirements of this part.
(a) Each covered carrier shall file BTS Form 244 “Tarmac Delay Report” with the Office of Airline Information of the Department's Bureau of Transportation Statistics setting forth the information for each of its covered flights that experienced an excessive tarmac delay at a U.S. airport, including diverted flights and cancelled flights on which the passengers were boarded and then deplaned before the cancellation. The reports are due within 15 days after the end of any month during which the carrier experienced the excessive tarmac delay. The reports shall be made in the form and manner set forth in accounting and reporting directives issued by the Director, Office of Airline Information, and shall contain the following information:
(1) Carrier code.
(2) Flight number.
(3) Departure airport (three letter code).
(4) Arrival airport (three letter code).
(5) Date of flight operation (year/month/day).
(6) Gate departure time (actual) in local time.
(7) Wheels-off time (actual) in local time.
(8) Wheels-on time (actual) in local time.
(9) Gate arrival time (actual) in local time.
(10) Aircraft tail number.
(11) Total ground time away from gate for all gate return/fly return at origin airports including cancelled flights.
(12) Longest time away from gate for gate return or canceled flight.
(13) Three letter code of airport where flight diverted.
(14) Wheels-on time at diverted airport.
(15) Total time away from gate at diverted airport.
(16) Longest time away from gate at diverted airport.
(17) Wheels-off time at diverted airport.
(b) Covered carriers that experience an excessive tarmac delay at a U.S. airport and are filing a form under this section must also report the length of the excessive tarmac delay to the Office of Airline Information of the Department's Bureau of Transportation Statistics, if the length of the excessive tarmac delay experienced is not otherwise represented by the data points listed in paragraph (a) of this section (e.g., the pilot sets the aircraft parking brake after arriving at the passenger unloading area, but passengers are not provided an opportunity to deplane at that time).
(c) The same information required by paragraphs (a)(13) through (17) of this section must be provided for each subsequent diverted airport landing.
The direct airport-to-airport mileage record now maintained, and as hereafter amended or revised from time to time by the Office of Airline Information of the Bureau of Transportation Statistics of the Department of Transportation in the regular performance of its duties, is hereby adopted as the official mileage record of the Department and the mileages set forth therein shall be used in all instances where it shall be necessary to determine direct airport-to-airport mileages pursuant to the provisions of 49 U.S.C. Subtitle VII (Transportation)or any rule, regulation, or order of the Department pursuant thereto.
The requirements of this part shall be applicable to all air carriers subject to the requirements of part 241 of this subchapter.
(a) Whenever any air carrier subject to § 248.1 shall have caused an annual audit of its books, records, and accounts to be made by independent public accountants, such air carrier shall file with the Office of Airline Information, in duplicate, a special report consisting of a true and complete copy of the audit report submitted by such independent public accountants, including all schedules, exhibits, and certificates included in, attached to, or submitted with or separately as a part of, the audit report.
(b) Each air carrier subject to § 248.1 that does not cause an annual audit to be made of its books, records, and accounts for any fiscal year shall, at the close of such fiscal year file with the Bureau of Transportation Statistics' (BTS) Office of Airline Information, as a part of its periodic reports, a statement that no such audit has been performed.
(c) Carriers shall submit their audit reports or their statement that no audit was performed in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
The report required by this part shall be filed with the Office of Airline Information within 15 days after the due date of the appropriate periodic BTS Form 41 Report, filed for the 12-month period covered by the audit report, or the date the accountant submits its audit report to the air carrier, whichever is later.
The special reports required to be filed by § 248.2 shall be withheld from public disclosure, until further order of the BTS, if such treatment is requested by the air carrier at the time of filing.
The recordkeeping requirements contained in this part have been approved by the Office of Management and Budget under control number 2138-0006.
Subparts A and B of this part apply to:
(a) Air carriers, as defined in 49 U.S.C. 40102, that hold either certificates of public convenience and necessity or certificates for all-cargo air service.
(b) Public charter operators, as defined in part 380 of this chapter.
(c) Overseas military personnel charter operators, as defined in part 372 of this chapter.
For the purposes of this part:
Authorized representatives of the DOT means any persons, including special agents and auditors, designated by the DOT to perform inspections, audits, or examinations within the purview of the DOT's authority.
Certificated air carrier means the holder of a certificate of public convenience and necessity issued by the Department of Transportation under 49 U.S.C. 41102 or a certificate for all-cargo air service issued by the Department of Transportation under 49 U.S.C. 41103.
Final adjudication means the expiration date of the last possible period of review or reconsideration of a given case, by the DOT or by a court, that is provided by applicable statute or regulation.
Open mail rate period means the time interval between the date of institution of a new mail rate proceeding or the start of service over a new route for which no mail rate has previously been fixed, and the date upon which a DOT order setting the final mail rate becomes legally effective.
Pending case means any case that the DOT is empowered to hear before its final adjudication.
Records include all documents that are related to, or constitute integral links in developing the history of, or facts regarding, financial transactions or physical operations of a particular segment, operating division, or entire system of the carrier's operations. The term includes any copy of initially prepared documents which bear approvals, comments, or notations which were added and are of significance to a full explanation of recorded facts or information. The term records means not only accounting records in a limited technical sense but all other evidentiary accounts of events such as memoranda, correspondence, working sheets, tabulating equipment listings punched cards, computer-produced listings, microfilm, and magnetic storage media (i.e., magnetic tapes, disks). The term records also means microform and/or tape reproductions of documents made as authorized by this subpart. In addition, the term records includes any of the above-described materials coming into the possession of the air carrier through merger, consolidation, succession, transfer, or other acquisition.
Supporting papers (records) means any group of documentary papers, such as memoranda, correspondence, working sheets, etc., that assist in upholding the accuracy or clarity of related records.
(a) All records listed in §§ 249.20 and 249.21 may be preserved on either paper or nonerasable microfilm (see § 249.4). However, a paper or microfilm record need not be created to satisfy the requirements of this part if the record is initially prepared in a machine-readable medium such as punched cards, magnetic tapes, and disks. The records maintained in machine-readable media and the underlying data used in their preparation shall be preserved for the periods prescribed in §§ 249.20 and 249.21. A paper or microfilm record shall not be destroyed after transfer to a machine-readable medium before expiration of the prescribed period: however, a waiver permitting the early destruction of paper or microfilm records transferred to a machine-readable medium may be granted by the Director, Office of Airline Information, when it is demonstrated by the requesting carrier that the substantive purpose of the retention requirement will be met by retention of the information in machine-readable form (see § 249.10).
(b) Each record kept in a machine-readable medium shall be accompanied by a statement clearly indicating the type of data included in the record and certifying that the information contained in it is complete and accurate. This statement shall be executed by a person having personal knowledge of the facts contained in the records. The records shall be indexed and retained in such a manner so that they are easily accessible, and the carrier shall have the facilities available to locate, identify and reproduce the records in readable form without loss of clarity. Authorized representatives of the DOT shall be given immediate access to the carrier's facilities upon request.
(c) If any record which must be retained under the provisions of §§ 249.20 and 249.21 is included as an exhibit to another document which must also be retained, the carrier need only keep in its files one copy of the record to satisfy these record retention requirements. In these cases, the carrier shall establish adequate cross-references to assist in locating the record.
(d) The provisions in this part do not excuse noncompliance with requirements of any other governmental body, Federal or State, prescribing longer retention periods for any records.
(a) Any record may be transferred to nonerasable microfilm (including microfiche, computer output microfilm, and aperture cards) at any time. Records so maintained on microfilm shall satisfy the minimum requirements listed in paragraphs (b) through (f) of this section.
(b) The microfilm shall be of a quality that can be easily read and that can be reproduced in paper similar in size to an original without loss of clarity or detail during the periods the records are required to be retained in §§ 249.20 and 249.21.
(c) Microfilm records shall be indexed and retained in such a manner as will render them readily accessible, and the company shall have facilities available to locate, identify and read the microfilm and reproduce in paper form. Authorized representatives of the DOT shall be given immediate access to these facilities upon request.
(d) Any significant characteristic, feature, or other attribute which microfilm will not preserve shall be clearly indicated at the beginning of each roll of film or series of microfilm records if applicable to all records on the roll or series, or on the individual record, as appropriate.
(e) The printed side of printed forms need not be microfilmed for each record if nothing has been added to the printed matter common to all such forms, but an identified specimen of the form shall be on the film for reference.
(f) Each roll of film or series of microfilm records shall include a microfilm of a certificate stating that the photographs are direct and facsimile reproductions of the original records and they have been made in accordance with prescribed regulations. Such a certificate shall be executed by a person having personal knowledge of these facts. Where the microfilm is computer output, the microfilm certificate shall state that the information is complete and accurate.
Each carrier shall provide reasonable protection from damage by fire, floods, and other hazards for records subject to the provisions of this part.
(a) Upon the expiration of the period of preservation prescribed in this part, records may be destroyed at the option of the carrier.
(b) Unless otherwise specified, duplicate copies of records may be destroyed at any time if they contain no significant information not shown on the originals.
(a) Each carrier that has been named a party to a pending mail rate case shall retain all records remaining in its custody as of the beginning of an “open mail rate period” until the occurrence of one of the following contingencies, whichever is first:
(1) Final adjudication of a DOT order fixing the final mail compensation payable for services rendered during an “open mail rate period.”
(2) Receipt of a notice issued by the Director, Office of Airline Information in response to a written application filed by the carrier, authorizing the destruction of specifically identified categories of records. An application should be filed when the carrier believes that certain categories of records are not relevant to the proper processing of a pending mail proceeding. The application should list those categories of records which the carrier wants to destroy and its reasons for believing that the records are not necessary or useful in determining its satutory mail pay.
(b) Each carrier shall preserve records supporting the computation of subsidy mail pay in accordance with the provisions of § 249.20 unless the carrier has been advised that these computations are subject to further review and disposition by the Department. When the DOT is still reviewing the compensation amount after expiration of the normal retention period specified in § 249.20, these records must be retained until the carrier is notified by the Director, Office of Airline Information, that the records may be destroyed.
(c) Each carrier that has been named a party to an enforcement proceeding or against whom a third-party complaint has been filed shall retain all records relating to the case until the receipt of formal notification from the Director, Office of Airline Information, following a written application from the carrier, which authorizes the destruction of these records.
(d) Each carrier that has been named a party to a pending case which is not of a type discussed in paragraphs (a), (b), and (c) of this section, shall preserve all records according to the provisions of § 249.20 unless the Director, Office of Airline Information, notifies the carrier in writing that specific records shall be preserved until final adjudication of the pending case.
(e) Each carrier that is a party to litigation in a Federal court of which the DOT is also a party shall retain all records relating to the case until the receipt of formal notification from the Director, Office of Airline Information, following a written application from the carrier, which authorizes the destruction of these records.
If records are destroyed or lost before the expiration of the prescribed retention period, a statement shall be prepared and submitted to the Director, Office of Airline Information, which lists, as accurately as possible, the unavailable records and describes the circumstances under which they became unavailable.
The records referred to in these regulations may be destroyed after the business is discontinued and the carrier is completely liquidated. The records may not be destroyed until dissolution is final and all transactions and litigations are completed. When a carrier is merged with another company which is regulated by the DOT, the successor company shall preserve records of the merged company in accordance with this part.
A waiver from any provision of this part may be made by the Director, Office of Airline Information, upon the Director's own initiative or upon submission of a written request by a carrier or group of carriers. Each request for waiver shall demonstrate that unusual circumstances warrant a departure from prescribed retention periods, procedures, or techniques, or that compliance with the prescribed requirements would impose an unreasonable burden on the carrier, and that granting the waiver would be in the public interest.
Each certificated air carrier shall retain its records according to the provisions of this section. Unless otherwise specified in the “Schedule of Records,” each retention period shall begin on the date when the records are created or otherwise come into the possession of the carrier.
Schedule of Records
[See footnote at end of table]
| Category of records | Retention period |
|---|---|
| 1. General and subsidiary ledgers or their equivalents: | |
| (a) General ledgers; subsidiary or auxiliary ledgers | 3 years. |
| (b) Indexes to general and subsidiary ledgers | Do. |
| 2. Journals and journal vouchers: | |
| (a) General and subsidiary journals, and journal vouchers | 3 years. |
| (b) Papers forming a part of, or necessary to explain, journal entries; entry numbers | Do. |
| 3. Voucher distribution registers or their equivalent | Do. |
| 4. Accounts receivables and payables: | |
| (a) Traffic accounts receivable or payable, detailed journals and ledgers or their equivalents, together with supporting papers | Do. |
| (b) General accounts receivable or payable, detailed journals and ledgers or their equivalents, together with supporting papers | Do. |
| (c) Copies of invoices issued by the carrier which have been settled and all supporting papers | 1 year. |
| (d) Copies of Postal Service Forms: Weekly Summary of Airmail Dispatch (No. 2729) and POD Airmail Exemption Record (No. 2734) supporting mail pay claims which have been settled | 30 days. |
| 5. Subsidy records: | |
| (a) For each calendar year, all monthly records of operations, such as tabulations and summaries of miles flown and passenger-miles flown, pertaining to or part of operational records relevant to computation of subsidy mail pay | 3 years. |
| (b) For each calendar year, all basic original documents, such as pilots' flight logs and passenger lists relevant to a determination of the validity of a carrier's operations described in item (a) above | Do. |
| 6. The papers, records, or other evidence supporting financial and statistical reports to the BTS. These should include among others the following specific records: Internal administrative or operating reports; system reports of aircraft movements by trip number, showing arrivals, departures, flight delays and related information; bonds and other long-term debt records; stock records; corporate organization records; financial data in support of subsidy claims; minutes of meetings; carrier internal reports on internal controls and other internal audits and procedural studies; operational, management, accounting, financial, and legal service contracts and agreements; records and agreements relating to the lease or purchase and sale of company assets, including title papers, deeds, and similar records; insurance records; property and equipment records; tax records; accountants' and auditors' reports; records of receipts and disbursements including bank statements, check registers and cancelled checks; payroll registers of salaries and wages paid; cost accounting records for work orders; inventories of materials and supplies; and other source documents | Do. |
| 7. Funds reports and estimates of funds | 1 year. |
| 8. Consumer complaints: | |
| (a) Initial correspondence and record of action taken | 3 years. |
| (b) Initial trip reports: | |
| (1) Traffic Data: Basic documents showing the number of passengers, and pounds of mail and property carried | ( 1). |
| (c) Reservations reports and records: | |
| (1) Cards and charts constituting original source of passengers' names, telephone numbers, etc | 2 months. |
| (2) Telegrams and radio messages relating to the clearance of space, passenger dispatching, etc | 1 month. |
| (d) System report of airplane movements by trip number showing arrivals, departures, delays and related information | 3 years. |
| (e) Sales reports: | |
| (1) Sales ticket or other similar reports from stations, offices and agents | 2 years. |
| (f) Auditors' coupons | 1 year. |
| (g) Air waybills | Do. |
| (h) Flight coupons | Do. |
| (i) Ticket refund claims records and reports | Do. |
| (j) Records and reports relating to errors, oversales, irregularities and delays in handling passengers | Do. |
| 9. All documents which relate to the furnishing of transportation to candidates for political office or persons acting on their behalf which are required to be maintained following § 374a.7 of the subchapter | 2 years. |
| 10. Correspondence and working papers relating to rate and route proceedings | 3 years. |
1 One year-mail-property; 2 years-passengers.
Each operator authorized under parts 372 and 380 of this chapter shall retain the following records for 6 months after completion or cancellation of the flight or series of flights. The records shall be made available upon request of an authorized representative of the DOT.
(a) All receipts and statements of travel agents and all other documents which show deposits made by each charter participant or which show refunds to charter participants.
(b) All receipts and statements of travel agents and all other documents which show or reflect commissions received, paid to, or deducted by travel agents in connection with the flight or series of flights.
(c) All statements, invoices, bills, and receipts from suppliers for furnishing of goods or services in connection with the tour or series of tours.
(d) All customer reservations records for each flight.
(e) All contracts with individual tour participants.
(f) All bank statements and reconciliations for escrow bank accounts opened and maintained in accordance with DOT regulations.
This subpart is applicable to all air carriers and foreign air carriers as defined in 49 U.S.C. 40102, including, without limitation, direct carriers, air taxi operators registered under part 298 of this chapter, indirect air carriers registered under part 296 of this chapter, charter operators authorized under parts 372 and 380 of this chapter, and foreign air carriers holding permits to engage in indirect foreign air transportation issued under 49 U.S.C. 41302.
Air carriers and foreign air carriers shall preserve evidence of compliance with the requirements imposed under Regulation Z of the Board of Governors of the Federal Reserve System (12 CFR part 226), implementing the provisions of Title I (Truth in Lending) and Title V (General Provisions) of the Consumer Credit Protection Act, as amended (15 U.S.C. 1601 et seq.) other than the advertising requirements under § 226.10 of regulation Z. This evidence shall be preserved for no less than 2 years after the date each disclosure is required to be made and shall be made available for inspection by authorized representatives of the DOT.
Airport means the airport at which the direct or connecting flight, on which the passenger holds confirmed reserved space, is planned to arrive or some other airport serving the same metropolitan area, provided that transportation to the other airport is accepted (i.e., used) by the passenger.
Alternate transportation means air transportation with a confirmed reservation at no additional charge, operated by a carrier as defined below, or other transportation accepted and used by the passenger in the case of denied boarding.
Carrier means: (1) a direct air carrier, except a helicopter operator, holding a certificate issued by the Department of Transportation pursuant to 49 U.S.C. 41102 or that has been found fit to conduct commuter operations under 49 U.S.C. 41738, or an exemption from 49 U.S.C. 41102, authorizing the scheduled transportation of persons; or (2) a foreign air carrier holding a permit issued by the Department pursuant to 49 U.S.C. 41302, or an exemption from that provision, authorizing the scheduled foreign air transportation of persons.
Class of service means seating in the same cabin class such as First, Business, or Economy class, or in the same seating zone if the carrier has more than one seating product in the same cabin such as Economy and Premium Economy class.
Confirmed reserved space means space on a specific date and on a specific flight and class of service of a carrier which has been requested by a passenger, including a passenger with a “zero fare ticket,” and which the carrier or its agent has verified, by appropriate notation on the ticket or in any other manner provided therefore by the carrier, as being reserved for the accommodation of the passenger.
Fare means the price paid for air transportation including all mandatory taxes and fees. It does not include ancillary fees for optional services.
Stopover means a deliberate interruption of a journey by the passenger, scheduled to exceed 4 hours, at a point between the place of departure and the final destination.
Zero fare ticket means a ticket acquired without a substantial monetary payment such as by using frequent flyer miles or vouchers, or a consolidator ticket obtained after a monetary payment that does not show a fare amount on the ticket. A zero fare ticket does not include free or reduced rate air transportation provided to airline employees and guests.
Except for § 250.7, this part applies to every carrier, as defined in § 250.1, with respect to scheduled flight segments using an aircraft that has a designed passenger capacity of 30 or more passenger seats, operating in interstate air transportation or foreign air transportation with respect to nonstop flight segments originating at a point within the United States. Section 250.7 applies to any air carrier or foreign air carrier as those terms are defined in 49 U.S.C. 40102.
In the event of an oversold flight, every carrier shall ensure that the smallest practicable number of persons holding confirmed reserved space on that flight are denied boarding involuntarily.
(a) In the event of an oversold flight, every carrier shall request volunteers for denied boarding before using any other boarding priority. A “volunteer” is a person who responds to the carrier's request for volunteers and who willingly accepts the carriers' offer of compensation, in any amount, in exchange for relinquishing the confirmed reserved space. Any other passenger denied boarding is considered for purposes of this part to have been denied boarding involuntarily, even if that passenger accepts the denied boarding compensation.
(b) Every carrier shall advise each passenger solicited to volunteer for denied boarding, no later than the time the carrier solicits that passenger to volunteer, whether he or she is in danger of being involuntarily denied boarding and, if so, the compensation the carrier is obligated to pay if the passenger is involuntarily denied boarding. If an insufficient number of volunteers come forward, the carrier may deny boarding to other passengers in accordance with its boarding priority rules.
(c) If a carrier offers free or reduced rate air transportation as compensation to volunteers, the carrier must disclose all material restrictions, including but not limited to administrative fees, advance purchase or capacity restrictions, and blackout dates applicable to the offer before the passenger decides whether to give up his or her confirmed reserved space on the flight in exchange for the free or reduced rate transportation. If the free or reduced rate air transportation is offered orally to potential volunteers, the carrier shall also orally provide a brief description of the material restrictions on that transportation at the same time that the offer is made.
(d) Carriers must proactively offer to pay compensation to a passenger who is voluntarily or involuntarily denied boarding on an oversold flight, rather than waiting until the passenger requests the compensation.
(a) Every carrier shall establish priority rules and criteria for determining which passengers holding confirmed reserved space shall be denied boarding on an oversold flight in the event that an insufficient number of volunteers come forward. Such rules and criteria shall reflect the obligations of the carrier set forth in §§ 250.2a and 250.2b to minimize involuntary denied boarding and to request volunteers, and shall be written in such manner as to be understandable and meaningful to the average passenger. Such rules and criteria shall not make, give, or cause any undue or unreasonable preference or advantage to any particular person or subject any particular person to any unjust or unreasonable prejudice or disadvantage in any respect whatsoever.
(b) Boarding priority factors may include, but are not limited to, the following:
(1) A passenger's time of check-in;
(2) Whether a passenger has a seat assignment before reaching the departure gate for carriers that assign seats;
(3) The fare paid by a passenger;
(4) A passenger's frequent-flyer status; and
(5) A passenger's disability or status as an unaccompanied minor.
(a) Subject to the exceptions provided in § 250.6, a carrier to whom this part applies as described in § 250.2 shall pay compensation in interstate air transportation to passengers who are denied boarding involuntarily from an oversold flight as follows:
(1) No compensation is required if the carrier offers alternate transportation that, at the time the arrangement is made, is planned to arrive at the airport of the passenger's first stopover, or if none, the airport of the passenger's final destination not later than one hour after the planned arrival time of the passenger's original flight;
(2) Compensation shall be at least 200 percent of the fare to the passenger's destination or first stopover, or $1,075, whichever is lower, if the carrier offers alternate transportation that, at the time the arrangement is made, is planned to arrive at the airport of the passenger's first stopover, or if none, the airport of the passenger's final destination more than one hour but less than two hours after the planned arrival time of the passenger's original flight; and
(3) Compensation shall be at least 400 percent of the fare to the passenger's destination or first stopover, or $2,150, whichever is lower, if the carrier does not offer alternate transportation that, at the time the arrangement is made, is planned to arrive at the airport of the passenger's first stopover, or if none, the airport of the passenger's final destination less than two hours after the planned arrival time of the passenger's original flight.
(b) Subject to the exceptions provided in § 250.6, a carrier to whom this part applies as described in § 250.2 shall pay compensation to passengers in foreign air transportation who are denied boarding involuntarily at a U.S. airport from an oversold flight as follows:
(1) No compensation is required if the carrier offers alternate transportation that, at the time the arrangement is made, is planned to arrive at the airport of the passenger's first stopover, or if not, the airport of the passenger's final destination not later than one hour after the planned arrival time of the passenger's original flight;
(2) Compensation shall be at least 200 percent of the fare to the passenger's destination or first stopover, or $1,075, whichever is lower, if the carrier offers alternate transportation that, at the time the arrangement is made, is planned to arrive at the airport of the passenger's first stopover, or if not, the airport of the passenger's final destination more than one hour but less than four hours after the planned arrival time of the passenger's original flight; and
(3) Compensation shall be at least 400 percent of the fare to the passenger's destination or first stopover, or $2,150, whichever is lower, if the carrier does not offer alternate transportation that, at the time the arrangement is made, is planned to arrive at the airport of the passenger's first stopover, or if not, the airport of the passenger's final destination less than four hours after the planned arrival time of the passenger's original flight.
(c) Carriers may offer free or reduced rate air transportation in lieu of the cash or check due under paragraphs (a) and (b) of this section, if—
(1) The value of the transportation benefit offered, excluding any fees or other mandatory charges applicable for using the free or reduced rate air transportation, is equal to or greater than the cash/check payment otherwise required;
(2) The carrier fully informs the passenger of the amount of cash/check compensation that would otherwise be due and that the passenger may decline the transportation benefit and receive the cash/check payment; and
(3) The carrier fully discloses all material restrictions, including but not limited to, administrative fees, advance purchase or capacity restrictions, and blackout dates applicable to the offer, on the use of such free or reduced rate transportation before the passenger decides to give up the cash/check payment in exchange for such transportation. (See also § 250.9(c)).
(d) The requirements of this section apply to passengers with “zero fare tickets.” The fare paid by these passengers for purposes of calculating denied boarding compensation shall be the lowest cash, check, or credit card payment charged for a ticket in the same class of service on that flight.
(e) The Department of Transportation will review the denied boarding compensation liability limit amounts prescribed in this part every two years except for the first review, which will take place in 2012, to put the reviews specified in this section on the same cycle as the reviews of domestic baggage liability limits specified in 14 CFR 254.6. The Department will use any increase in the Consumer Price Index for All Urban Consumers (CPI-U) as of July of each review year to calculate the increased denied boarding compensation liability limit amounts. The Department will use the following formula:
(1) Current Denied Boarding Compensation liability limit in paragraph (a)(2) of this section multiplied by (a/b) rounded to the nearest $25 where a = July CPI-U of year of current adjustment and b = the CPI-U figure in August 2011 when the inflation adjustment provision was added to this part.
(2) The Denied Boarding Compensation liability limit in paragraph (a)(3) of this section shall be twice the revised limit for paragraph (a)(2) of this section.
(3) The Denied Boarding Compensation liability limit in paragraph (b)(2) of this section shall be the same as the revised limit for paragraph (a)(2) of this section, and the Denied Boarding Compensation liability limit in paragraph (b)(3) of this section shall be twice the revised limit for paragraph (a)(2) of this section.
(f) In addition to the denied boarding compensation specified in this part, a carrier shall refund all unused ancillary fees for optional services paid by a passenger who is voluntarily or involuntarily denied boarding. The carrier is not required to refund the ancillary fees for services that are provided with respect to the passenger's alternate transportation.
(g) Nothing in this part prohibits carriers from offering denied boarding compensations in an amount more than the amount calculated according to paragraphs (a) through (d) of this section, or more than the denied boarding compensation liability limit amounts effective at the time of denied boarding.
A passenger denied boarding involuntarily from an oversold flight shall not be eligible for denied boarding compensation if:
(a) The passenger does not comply fully with the carrier's contract of carriage or tariff provisions regarding ticketing, reconfirmation, check-in, and acceptability for transportation;
(b) The flight for which the passenger holds confirmed reserved space is unable to accommodate that passenger because of substitution of equipment of lesser capacity when required by operational or safety reasons; or, on an aircraft with a designed passenger capacity of 60 or fewer seats, the flight for which the passenger holds confirmed reserved space is unable to accommodate that passenger due to weight/balance restrictions when required by operational or safety reasons;
(c) The passenger is offered accommodations or is seated in a section of the aircraft other than that specified on the ticket at no extra charge, except that a passenger seated in a section for which a lower fare is charged shall be entitled to an appropriate refund; or
(d) The carrier arranges comparable air transportation, or other transportation used by the passenger at no extra cost to the passenger, that at the time such arrangements are made is planned to arrive at the airport of the passenger's next stopover or, if none, at the airport of the final destination not later than 1 hour after the planned arrival time of the passenger's original flight or flights.
(a) Boarded passengers. A covered air carrier may not deny a revenue passenger traveling on a confirmed reservation permission to board, or involuntarily remove that passenger from the aircraft, once a revenue passenger has:
(1) Checked in for the flight prior to the check-in deadline; and
(2) Had their ticket or boarding pass collected or electronically scanned and accepted by the gate agent.
(b) Limitations. The prohibition pursuant to paragraph (a) of this section shall not apply when:
(1) There is a safety, security, or health risk with respect to that revenue passenger or there is a safety or security issue requiring removal of a revenue passenger; or
(2) The revenue passenger is engaging in behavior that is obscene, disruptive, or otherwise unlawful.
(c) Rule of construction. Nothing in this section may be construed to limit or otherwise affect the responsibility or authority of a pilot in command of an aircraft under 14 CFR 121.533, or limit any penalty under section 46504 of title 49, United States Code.
(a) Every carrier shall tender to a passenger eligible for denied boarding compensation, on the day and place the denied boarding occurs, except as provided in paragraph (b), cash or an immediately negotiable check for the appropriate amount of compensation provided in § 250.5.
(b) Where a carrier arranges, for the passenger's convenience, alternate means of transportation that departs before the payment can be prepared and given to the passenger, tender shall be made by mail or other means within 24 hours after the time the denied boarding occurs.
(a) Every carrier shall furnish passengers who are denied boarding involuntarily from flights on which they hold confirmed reserved space immediately after the denied boarding occurs, a written statement explaining the terms, conditions, and limitations of denied boarding compensation, and describing the carriers' boarding priority rules and criteria. The carrier shall also furnish the statement to any person upon request at all airport ticket selling positions which are in the charge of a person employed exclusively by the carrier, or by it jointly with another person or persons, and at all boarding locations being used by the carrier.
(b) The statement shall read as follows:
If you have been denied a reserved seat on (name of air carrier), you are probably entitled to monetary compensation. This notice explains the airline's obligation and the passenger's rights in the case of an oversold flight, in accordance with regulations of the U.S. Department of Transportation.
If a flight is oversold (more passengers hold confirmed reservations than there are seats available), no one may be denied boarding against his or her will until airline personnel first ask for volunteers who will give up their reservation willingly, in exchange for compensation of the airline's choosing. If there are not enough volunteers, other passengers may be denied boarding involuntarily in accordance with the following boarding priority of (name of air carrier): (In this space the carrier inserts its boarding priority rules or a summary thereof, in a manner to be understandable to the average passenger.)
If you are denied boarding involuntarily, you are entitled to a payment of “denied boarding compensation” from the airline unless:
(1) you have not fully complied with the airline's ticketing, check-in and reconfirmation requirements, or you are not acceptable for transportation under the airline's usual rules and practices; or
(2) you are denied boarding because the flight is canceled; or
(3) you are denied boarding because a smaller capacity aircraft was substituted for safety or operational reasons; or
(4) on a flight operated with an aircraft having 60 or fewer seats, you are denied boarding due to safety-related weight/balance restrictions that limit payload; or
(5) you are offered accommodations in a section of the aircraft other than specified in your ticket, at no extra charge (a passenger seated in a section for which a lower fare is charged must be given an appropriate refund); or
(6) the airline is able to place you on another flight or flights that are planned to reach your next stopover or final destination within one hour of the planned arrival time of your original flight.
Passengers traveling between points within the United States (including the territories and possessions) who are denied boarding involuntarily from an oversold flight are entitled to: (1) No compensation if the carrier offers alternate transportation that is planned to arrive at the passenger's destination or first stopover not later than one hour after the planned arrival time of the passenger's original flight; (2) at least 200 percent of the fare to the passenger's destination or first stopover, or $1,075, whichever is lower, if the carrier offers alternate transportation that is planned to arrive at the passenger's destination or first stopover more than one hour but less than two hours after the planned arrival time of the passenger's original flight; and (3) at least 400 percent of the fare to the passenger's destination or first stopover, or $2,150, whichever is lower, if the carrier does not offer alternate transportation that is planned to arrive at the airport of the passenger's destination or first stopover less than two hours after the planned arrival time of the passenger's original flight.
0 to 1 hour arrival delay: No compensation.
1 to 2 hour arrival delay: 200% of one-way fare (carriers may limit this amount to $1,075 if it is higher than $1,075).*
* Nothing in the Department of Transportation's regulation prohibits carriers from offering denied boarding compensations in an amount more than the amount calculated according to the chart above, or more than the denied boarding compensation liability limit amounts stated in the chart.
Over 2 hours arrival delay: 400% of one-way fare (carriers may limit this amount to $2,150 if it is higher than $2,150).*
Passengers traveling from the United States to a foreign point who are denied boarding involuntarily from an oversold flight originating at a U.S. airport are entitled to: (1) No compensation if the carrier offers alternate transportation that is planned to arrive at the passenger's destination or first stopover not later than one hour after the planned arrival time of the passenger's original flight; (2) at least 200 percent of the fare to the passenger's destination or first stopover, or $1,075, whichever is lower, if the carrier offers alternate transportation that is planned to arrive at the passenger's destination or first stopover more than one hour but less than four hours after the planned arrival time of the passenger's original flight; and (3) at least 400 percent of the fare to the passenger's destination or first stopover, or $2,150, whichever is lower, if the carrier does not offer alternate transportation that is planned to arrive at the airport of the passenger's destination or first stopover less than four hours after the planned arrival time of the passenger's original flight.
0 to 1 hour arrival delay: No compensation.
1 to 4 hour arrival delay: 200% of one-way fare (carriers may limit this amount to $1,075 if it is higher than $1,075).**
** Nothing in the Department of Transportation's regulation prohibits carriers from offering denied boarding compensations in an amount more than the amount calculated according to the chart above, or more than the denied boarding compensation liability limit amounts stated in the chart.
Over 4 hours arrival delay: 400% of one-way fare (carriers may limit this amount to $2,150 if it is higher than $2,150).**
“Alternate transportation” is air transportation with a confirmed reservation at no additional charge (by any scheduled airline licensed by DOT), or other transportation accepted and used by the passenger in the case of denied boarding.
Except as provided below, the airline must give each passenger who qualifies for involuntary denied boarding compensation a payment by cash or check for the amount specified above, on the day and at the place the involuntary denied boarding occurs. If the airline arranges alternate transportation for the passenger's convenience that departs before the payment can be made, the payment shall be sent to the passenger within 24 hours. The air carrier may offer free or discounted transportation in place of the cash payment. In that event, the carrier must disclose all material restrictions on the use of the free or discounted transportation before the passenger decides whether to accept the transportation in lieu of a cash or check payment. The passenger may insist on the cash/check payment or refuse all compensation and bring private legal action.
Acceptance of the compensation may relieve (name of air carrier) from any further liability to the passenger caused by its failure to honor the confirmed reservation. However, the passenger may decline the payment and seek to recover damages in a court of law or in some other manner.
(c) In addition to furnishing passengers with the carrier's written statement as specified in paragraphs (a) and (b) of this section, if the carrier orally advises involuntarily bumped passengers that they are entitled to receive free or discounted transportation as denied boarding compensation, the carrier must also orally advise the passengers of any material restrictions or conditions applicable to the free or discounted transportation and that they are entitled to choose a check instead (or cash if that option is offered by the carrier).
(a) Each reporting carrier as defined in § 234.2 of this chapter and any carrier that voluntarily submits data pursuant to § 234.7 of this chapter shall file, on a quarterly basis, the information specified in BTS Form 250. The reporting basis shall be flight segments originating in the United States operated by the reporting carrier. The reports must be submitted within 30 days after the end of the quarter covered by the report. The calendar quarters end March 31, June 30, September 30 and December 31. “Total Boardings” on Line 6 of Form 250 shall include only passengers on flights for which confirmed reservations are offered. Data shall not be included for inbound international flights.
(b) For air transportation taking place on or after January 1, 2018, each reporting carrier and voluntary reporting carrier shall file a separate BTS Form 250 for all flight segments originating in the United States marketed under only the reporting carrier's code, and operated by a code-share partner that is a certificated air carrier or commuter air carrier using aircraft that have a designed passenger capacity of 30 or more seats.
(a) Every carrier shall cause to be displayed continuously in a conspicuous public place at each desk, station and position in the United States which is in the charge of a person employed exclusively by it, or by it jointly with another person, or by any agent employed by such air carrier or foreign air carrier to sell tickets to passengers, a sign located so as to be clearly visible and clearly readable to the traveling public, which shall have printed thereon the following statement in boldface type at least one-fourth of an inch high:
Airline flights may be overbooked, and there is a slight chance that a seat will not be available on a flight for which a person has a confirmed reservation. If the flight is overbooked, no one will be denied a seat until airline personnel first ask for volunteers willing to give up their reservation in exchange for compensation of the airline's choosing. If there are not enough volunteers, the airline will deny boarding to other persons in accordance with its particular boarding priority. With few exceptions, including failure to comply with the carrier's check-in deadline (carrier shall insert either “of _ minutes prior to each flight segment” or “(which are available upon request from the air carrier)” here), persons denied boarding involuntarily are entitled to compensation. The complete rules for the payment of compensation and each airline's boarding priorities are available at all airport ticket counters and boarding locations. Some airlines do not apply these consumer protections to travel from some foreign countries, although other consumer protections may be available. Check with your airline or your travel agent.
(b) Every carrier shall include with each ticket sold in the United States the notices set forth in paragraph (a) of this section, printed in at least 12-point type. The notice may be printed on a separate piece of paper, on the ticket stock, or on the ticket envelope. The last two sentences of the notice shall be printed in a type face contrasting with that of the rest of the notice.
(c) It shall be the responsibility of each carrier to ensure that travel agents authorized to sell air transportation for that carrier comply with the notice provisions of paragraphs (a) and (b) of this section.
(d) [Reserved]
(e) Any air carrier or foreign air carrier engaged in foreign air transportation that complies fully with this part for inbound traffic to the United States need not use the last two sentences of the notices required by paragraph (a) of this subsection.
As used in this part:
Certificated air carrier means a U.S. carrier holding a certificate issued under 49 U.S.C. 41102 to conduct passenger service or holding an exemption to conduct passenger operations under 49 U.S.C. 40109.
Commuter air carrier means a U.S. carrier that has been found fit under 49 U.S.C. 41738 and is authorized to carry passengers on at least five round trips per week on at least one route between two or more points according to a published flight schedule using small aircraft as defined in 14 CFR 298.2.
Covered carrier means a certificated carrier, a commuter carrier, an air taxi, or a U.S. indirect carrier operating to, from, or within the United States, conducting scheduled passenger service or public charter service.
Indirect carrier means a person not directly involved in the operation of an aircraft who sells air transportation services to the general public other than as an authorized agent of a carrier.
This part applies to U.S. certificated air carriers, U.S. commuter air carriers, air taxis, and U.S. indirect carriers that operate passenger service to, from, or within the United States.
Each covered carrier shall permit a passenger to carry a violin, guitar, or other small musical instrument in the aircraft cabin, without charging the passenger a fee in addition to any standard fee that carrier may require for comparable carry-on baggage, if:
(a) The instrument can be stowed safely in a suitable baggage compartment in the aircraft cabin or under a passenger seat, in accordance with the requirements for carriage of carry-on baggage or cargo established by the FAA; and
(b) There is space for such stowage at the time the passenger boards the aircraft.
Each covered carrier shall permit a passenger to carry a musical instrument that is too large to meet the requirements of § 251.3 in the aircraft cabin, without charging the passenger a fee in addition to the cost of an additional ticket described in paragraph (e) of this section, if:
(a) The instrument is contained in a case or covered so as to avoid injury to other passengers;
(b) The weight of the instrument, including the case or covering, does not exceed 165 pounds or the applicable weight restrictions for the aircraft;
(c) The instrument can be stowed in accordance with the requirements for carriage of carry-on baggage or cargo established by the FAA;
(d) Neither the instrument nor the case contains any object not otherwise permitted to be carried in an aircraft cabin because of a law or regulation of the United States; and
(e) The passenger wishing to carry the instrument in the aircraft cabin has purchased an additional seat to accommodate the instrument.
Each covered carrier shall transport as baggage a musical instrument that is the property of a passenger traveling in air transportation that may not be carried in the aircraft cabin if
(a) The sum of the length, width, and height measured in inches of the outside linear dimensions of the instrument (including the case) does not exceed 150 inches or the applicable size restrictions for the aircraft;
(b) The weight of the instrument does not exceed 165 pounds or the applicable weight restrictions for the aircraft; and
(c) The instrument can be stowed in accordance with the requirements for carriage of carry-on baggage or cargo established by the FAA.
For smoking rules of the Federal Aviation Administration, see 14 CFR 121.317(c), 121.571(a)(1)(i), 129.29, 135.117(a)(1), and 135.127(a).
This part implements a ban on smoking as defined in § 252.3, including the use of electronic cigarettes and certain other devices, on flights by air carriers and foreign air carriers.
This part applies to operations of air carriers engaged in interstate, intrastate and foreign air transportation and to foreign air carriers engaged in foreign air transportation.
As used in this part:
Air carrier means a carrier that is a citizen of the United States undertaking to provide air transportation as defined in 49 U.S.C. 40102.
Foreign air carrier means a carrier that is not a citizen of the United States undertaking to provide foreign air transportation as defined in 49 U.S.C. 40102.
Smoking means the use of a tobacco product, electronic cigarettes whether or not they are a tobacco product, or similar products that produce a smoke, mist, vapor, or aerosol, with the exception of products (other than electronic cigarettes) which meet the definition of a medical device in section 201(h) of the Federal Food, Drug and Cosmetic Act, such as nebulizers.
Air carriers shall prohibit smoking on the following flights:
(a) Scheduled passenger flights.
(b) Nonscheduled passenger flights, except for the following flights where a flight attendant is not a required crewmember on the aircraft as determined by the Administrator of the Federal Aviation Administration:
(1) Single entity charters.
(2) On-demand services of air taxi operators.
(c) Nothing in this section shall be deemed to require air carriers to permit smoking aboard aircraft.
(a)(1) Foreign air carriers shall prohibit smoking on flight segments that occur between points in the United States, and between the United States and any foreign point, in the following types of operations:
(i) Scheduled passenger foreign air transportation.
(ii) Nonscheduled passenger foreign air transportation, if a flight attendant is a required crewmember on the aircraft as determined by the Administrator of the Federal Aviation Administration or a foreign carrier's government.
(2) Nothing in this section shall be deemed to require foreign air carriers to permit smoking aboard aircraft.
(b) A foreign government objecting to the application of paragraph (a) of this section on the basis that paragraph (a) provides for extraterritorial application of the laws of the United States may request and obtain a waiver of paragraph (a) from the Assistant Secretary for Aviation and International Affairs, provided that an alternative smoking prohibition resulting from bilateral negotiations is in effect.
The restrictions on smoking described in §§ 252.4 and 252.5 shall apply to all locations within the aircraft.
Air carriers shall prohibit smoking whenever the ventilation system is not fully functioning. Fully functioning for this purpose means operating so as to provide the level and quality of ventilation specified and designed by the manufacturer for the number of persons currently in the passenger compartment.
(a) Air carriers shall prohibit smoking whenever the aircraft is on the ground.
(b) With respect to the restrictions on smoking described in § 252.5, foreign air carriers shall prohibit smoking from the time an aircraft begins enplaning passengers until the time passengers complete deplaning.
Air carriers and foreign air carriers shall take such action as is necessary to ensure that smoking by passengers or crew is not permitted where smoking is prohibited by this part, including but not limited to aircraft lavatories.
The purpose of this part is to set uniform disclosure requirements, which preempt any State requirements on the same subject, for terms incorporated by reference into contracts of carriage for scheduled service in interstate and overseas passenger air transportation.
This part applies to all scheduled direct air carrier operations in interstate and overseas air transportation. It applies to all contracts with passengers, for those operations, that incorporate terms by reference.
Large aircraft means any aircraft designed to have a maximum passenger capacity of more than 60 seats.
Passenger means any person who purchases, or who contacts a ticket office or travel agent for the purpose of purchasing, or considering the purchase of, air transportation.
Ticket office means station, office, or other location where tickets are sold that is under the charge of a person employed exclusively by the carrier, or by it jointly with another person.
(a) A ticket or other written instrument that embodies the contract of carriage may incorporate contract terms by reference (i.e., without stating their full text), and if it does so shall contain or be accompanied by notice to the passenger as required by this part. In addition to other remedies at law, an air carrier may not claim the benefit as against the passenger of, and the passenger shall not be bound by, any contract term incorporated by reference if notice of the term has not been provided to that passenger in accordance with this part.
(b) Each air carrier shall make the full text of each term that it incorporates by reference in a contract of carriage available for public inspection at each of its airport and city ticket offices.
(c) Each air carrier shall provide free of charge by mail or other delivery service to passengers, upon their request, a copy of the full text of its terms incorporated by reference in the contract. Each carrier shall keep available at all times, free of charge, at all locations where its tickets are sold within the United States information sufficient to enable passengers to order the full text of such terms.
Except as provided in § 253.8, each air carrier shall include on or with a ticket, or other written instrument given to a passenger, that embodies the contract of carriage and incorporates terms by reference in that contract, a conspicuous notice that:
(a) Any terms incorporated by reference are part of the contract, passengers may inspect the full text of each term incorporated by reference at the carrier's airport or city ticket offices, and passengers have the right, upon request at any location where the carrier's tickets are sold within the United States, to receive free of charge by mail or other delivery service the full text of each such incorporated term;
(b) The incorporated terms may include and passengers may obtain from any location where the carrier's tickets are sold within the United States further information concerning:
(1) Limits on the air carrier's liability for personal injury or death of passengers, and for loss, damage, or delay of goods and baggage, including fragile or perishable goods;
(2) Claim restrictions, including time periods within which passengers must file a claim or bring an action against the carrier for its acts or omissions or those of its agents;
(3) Rights of the carrier to change terms of the contract. (Rights to change the price, however, are governed by § 253.7);
(4) Rules about reconfirmation of reservations, check-in times, and refusal to carry;
(5) Rights of the carrier and limitations concerning delay or failure to perform service, including schedule changes, substitution of alternate air carrier or aircraft, and rerouting.
Each air carrier shall ensure that any passenger can obtain from any location where its tickets are sold within the United States a concise and immediate explanation of any terms incorporated by reference, concerning the subjects listed in § 253.5(b).
A carrier may not impose any terms restricting refunds of the ticket price, imposing monetary penalties on passengers, or raising the ticket price consistent with § 399.88 of the chapter, unless the passenger receives conspicuous written notice of the salient features of those terms on or with the ticket.
(a) If notice is not provided in accordance with § 253.5 at a ticket sales location outside of the United States that is not a U.S. air carrier ticket office, the price paid for the portion of such ticket that is for interstate and overseas air transportation shall be refundable without penalty if the passenger refuses transportation by the carrier. Each air carrier shall ensure that passengers who have bought tickets at those locations without the notice required in § 253.5 are given that notice not later than check-in for the travel in interstate or overseas air transportation, and that conspicuous notice is included on or with the ticket stating that the price for that travel is refundable without penalty.
(b) An air taxi operator (including a commuter air carrier) not operating under subpart I of part 298 of this chapter shall not be considered to have incorporated terms by reference into its contract of carriage merely because a passenger has purchased a flight segment on that carrier that appears on ticket stock that contains a statement that terms have been incorporated by reference. However, such an air taxi operator may not claim the benefit as against the passenger of, and the passenger shall not be bound by, any contract term incorporated by reference if notice of the term has not been provided to the passenger in accordance with this part.
An air carrier may not retroactively apply to persons who have already bought a ticket any material amendment to its contract of carriage that has significant negative implications for consumers.
No carrier may impose any contract of carriage provision containing a choice-of-forum clause that attempts to preclude a passenger, or a person who purchases a ticket for air transportation on behalf of a passenger, from bringing a claim against a carrier in any court of competent jurisdiction, including a court within the jurisdiction of that passenger's residence in the United States (provided that the carrier does business within that jurisdiction).
The purpose of this part is to establish rules for the carriage of baggage in interstate and intrastate air transportation. The part sets permissible limitations of air carrier liability for loss, damage, or delay in the carriage of passenger baggage and requires air carriers to provide certain types of notice to passengers.
This part applies to any air carrier that provides charter or scheduled passenger service in interstate or intrastate air transportation.
Large aircraft means any aircraft designed to have a maximum passenger capacity of more than 60 seats.
On any flight segment using large aircraft, or on any flight segment that is included on the same ticket as another flight segment that uses large aircraft, an air carrier shall not limit its liability for provable direct or consequential damages resulting from the disappearance of, damage to, or delay in delivery of a passenger's personal property, including baggage, in its custody to an amount less than $4,700 for each passenger.
In any flight segment using large aircraft, or on any flight segment that is included on the same ticket as another flight segment that uses large aircraft, an air carrier shall provide to passengers, by conspicuous written material included on or with its ticket, either:
(a) Notice of any monetary limitation on its baggage liability to passengers; or
(b) The following notice: “Federal rules require any limit on an airline's baggage liability to be at least $4,700 per passenger.”
The Department of Transportation will review the domestic baggage liability limit prescribed in this part every two years. The Department will use the Consumer Price Index for All Urban Consumers as of July of each review year to calculate the revised domestic baggage liability limit amount. The Department will use the following formula: $2500 × (a/b) rounded to the nearest $100, where a = July CPI-U of year of current adjustment and b = the CPI-U figure in December 1999 when the inflation adjustment provision was added to this part.
(a) The purpose of this part is to set forth requirements for the display of flight options by electronic airline information systems that provide air carrier or foreign air carrier schedule, fare, or availability information, including, but not limited to, global distribution systems (GDSs), corporate booking tools, and internet flight search tools, for use by consumers, carriers, ticket agents, and other business entities so as to prevent unfair or deceptive practices in the distribution and sale of air transportation.
(b) Nothing in this part exempts any person from the operation of the antitrust laws set forth in subsection (a) of the first section of the Clayton Act (15 U.S.C. 12).
(a) This part applies to any air carrier, foreign air carrier, or ticket agent that operates an electronic airline information system, e.g., GDS, corporate booking tool, or internet flight search tool, that combines the schedules, fares or availability information of more than one air carrier or foreign air carrier for the distribution or sale in the United States of interstate or foreign air transportation.
(b) This part applies only if the electronic airline information system is displayed on a Web site marketed to consumers in the United States or on a proprietary display available to travel agents, business entities, or a limited segment of consumers of air transportation in the United States.
For purposes of this part:
Availability means information provided in displays with respect to the ability to make a reservation on a particular flight.
Display means the presentation of air carrier or foreign air carrier schedules, fares, or availability to a consumer or agent or other individual involved in arranging air travel for a consumer by means of a computer or mobile electronic device.
Electronic airline information system or EAIS means a system that combines air carrier or foreign air carrier schedule, fare, or availability information for transmission or display to air carriers or foreign air carriers, ticket agents, other business entities, or consumers.
Integrated display means any display that includes the schedules, fares or availability of more than one listed carrier.
Each air carrier, foreign air carrier, and ticket agent that operates an EAIS must comply with the requirements of this section.
(a) Each EAIS that uses any factor, not based on user selection or corporate contract travel arrangement, directly or indirectly relating to carrier identity in ordering the information contained in an integrated display must clearly disclose as provided for in § 256.5 that the identity of the carrier is a factor in the order in which information is displayed.
(b) An EAIS's integrated display must not give any carrier's flights a system-imposed preference over any other carrier's flights in that market based on carrier identity unless the preference is prominently disclosed as provided for in § 256.5.
(c) Each EAIS must display information in an objective manner based on search criteria selected by the user (e.g., lowest fare, lowest total cost, date and time of travel, class of service, stopovers, total elapsed time or duration of travel, number of stops, limitations on carriers to be used, particular airport(s), number of passengers, etc.) When providing information in response to a search by a user of the EAIS, the EAIS must order the information provided so that the flight options that best satisfy the parameters of the user-selected search criteria are displayed conspicuously and no less prominently (e.g., in the same or larger font size and the same or more noticeable font color) than any other flight option displayed. Flight options may be presented in sequence, matrix, or other formats, but the flight options that best satisfy the parameters of the user-selected search criteria must be ranked in lists above other flight options, or identified more prominently than other flight options in a matrix or other format. This does not preclude systems from setting default display parameters that are not deceptive or offering users the option to choose a variety of display methods within those parameters.
To the extent an EAIS engages in display bias based on carrier identity, it must clearly and conspicuously disclose that fact at the top of each search result display presented to the user in response to the user-selected search criteria. The notice must state that the flights are not displayed in neutral order and that certain airlines' fare, schedule or availability information is given preferential treatment in how it is displayed.
Nothing in this section requires an air carrier, foreign air carrier, or ticket agent to allow a system to access its internal computer reservation system or to permit “screen scraping” or “content scraping” of its Web site; nor does it require an air carrier or foreign air carrier to permit the marketing or sale of the carrier's services through any ticket agent or other carrier's system. “Screen scraping” as used in this paragraph refers to a process whereby a company uses computer software techniques to extract information from other companies' Web sites without permission from the company operating the targeted Web site.
The purpose of this part is to ensure that ticket agents doing business in the United States, air carriers, and foreign air carriers tell consumers clearly when the air transportation they are buying or considering buying involves a code-sharing arrangement or a long-term wet lease, and that they disclose to consumers the transporting carrier's identity.
This part applies to the following:
(a) Direct air carriers and foreign air carriers that participate in code-sharing arrangements or long-term wet leases involving scheduled passenger air transportation; and
(b) Ticket agents doing business in the United States that sell scheduled passenger air transportation services involving code-sharing arrangements or long-term wet leases.
As used in this part:
Air transportation means foreign air transportation or interstate air transportation as defined in 49 U.S.C. 40102 (a)(23) and (25) respectively.
Carrier means any air carrier or foreign air carrier as defined in 49 U.S.C. 40102(2) or 49 U.S.C. 40102(21), respectively, that is engaged directly in scheduled passenger air transportation, including by wet lease.
Code-sharing arrangement means an arrangement whereby a carrier's designator code is used to identify a flight operated by another carrier.
Designator code means the airline designations originally allotted, administered, and prescribed by the Department of Transportation (DOT), by operation of law, pursuant to 49 U.S.C. Subtitle VII or its predecessor's statutory provisions still in effect by law.
Long-term wet lease means a lease by which the lessor provides both an aircraft and crew dedicated to a particular route(s), and which either:
(1) Lasts more than 60 days; or
(2) Is part of a series of such leases that amounts to a continuing arrangement lasting more than 60 days.
Operating carrier means the carrier that is operating the aircraft in a code-sharing arrangement or long-term wet lease.
Ticket agent has the meaning ascribed to it in 49 U.S.C. 40102(45).
The holding out or sale of scheduled passenger air transportation involving a code-sharing arrangement or long-term wet lease is prohibited as unfair and deceptive in violation of 49 U.S.C. 41712 unless, in conjunction with such holding out or sale, carriers and ticket agents follow the requirements of this part.
(a) Notice in flight itineraries and schedules. Each air carrier, foreign air carrier, or ticket agent providing flight itineraries and/or schedules for scheduled passenger air transportation to the public in the United States and to the Official Airline Guides and comparable publications, and, where applicable, computer reservation systems, shall ensure that each flight on which the designator code is not that of the operating carrier is clearly and prominently identified and contains the following disclosures. If there is more than one operating carrier for a particular flight (e.g., change of gauge), the required disclosures shall be made for each flight segment where the designator code is not that of the operating carrier.
(1) In flight schedule information provided by an air carrier, foreign air carrier, or ticket agent to U.S. consumers on desktop browser-based Web sites or applications in response to any requested itinerary search, for each flight in scheduled passenger air transportation that is operated by a carrier other than the one listed for that flight, the corporate name of the transporting carrier and any other name under which the service is held out to the public must appear prominently in text format, with font size not smaller than the font size of the flight itinerary itself, on the first display following the input of a search query, immediately adjacent to each code-share flight in that search-results list. Roll-over, pop-up and linked disclosures do not comply with this paragraph.
(2) In flight schedule information provided by an air carrier, foreign air carrier, or ticket agent to U.S. consumers on mobile browser-based Web sites or applications in response to any requested itinerary search, for each flight in scheduled passenger air transportation that is operated by a carrier other than the one listed for that flight, the corporate name of the transporting carrier must appear prominently in text format, with font size not smaller than the font size of the flight itinerary itself, on the first display following the input of a search query, immediately adjacent to each code-share flight in that search-results list. Roll-over, pop-up and linked disclosures do not comply with this paragraph.
(3) For static written schedules, each flight in scheduled passenger air transportation that is operated by a carrier other than the one listed for that flight shall be identified by an asterisk or other easily identifiable mark that leads to disclosure of the corporate name of the operating carrier and any other name under which that service is held out to the public.
(4) Each air carrier and foreign air carrier that provides flight schedule information to any computer reservation system or global distribution system that receives and distributes the U.S. or foreign carrier's fare, schedule, or availability information shall ensure that each flight on which the designator code is not that of the operating carrier is clearly and prominently identified and the corporate name of the transporting carrier and any other name under which the service is held out to the public appears prominently in text format, with font size that is not smaller than the font size of the flight itinerary itself, immediately adjacent to each code-share flight in that search-results list.
(b) Notice in oral communications with prospective consumers. In any direct oral communication in the United States with a prospective consumer, and in any telephone call placed from the United States by a prospective consumer, concerning a flight within, to, or from the United States that is part of a code-sharing arrangement or long-term wet lease, a ticket agent doing business in the United States or a carrier shall inform the consumer, the first time that such a flight is offered to the consumer, or, if no such offer was made, the first time a consumer inquires about such a flight, that the operating carrier is not the carrier whose name or designator code will appear on the ticket and shall identify the transporting carrier by its corporate name and any other name under which that service is held out to the public.
(c) Notice in ticket confirmations. At the time of purchase, each selling carrier or ticket agent shall provide written disclosure of the actual operator of the flight to each consumer of scheduled passenger air transportation sold in the United States that involves a code-sharing arrangement or long-term wet lease. For any flight on which the designator code is not that of the operating carrier the notice shall state “Operated by” followed by the corporate name of the transporting carrier and any other name in which that service is held out to the public. The following form of statement will satisfy the requirement of this paragraph:
Important Notice: Service between XYZ City and ABC City will be operated by Jane Doe Airlines d/b/a QRS Express. At the purchaser's request, the notice required by this part may be delivered in person, or by fax, electronic mail, or any other reliable method of transmitting written material.
(d) In any written advertisement distributed in or mailed to or from the United States (including those that appear on an internet Web site that is marketed to consumers in the United States) for service in a city-pair market that is provided under a code-sharing arrangement or long-term wet lease, the advertisement shall prominently disclose that the advertised service may involve travel on another carrier and clearly indicate the nature of the service in reasonably sized type and shall identify all potential operating carriers involved in the markets being advertised by corporate name and by any other name under which that service is held out to the public. In any radio or television advertisement broadcast in the United States for service in a city-pair market that is provided under a code-sharing or long-term wet lease, the advertisement shall include at least a generic disclosure statement, such as “Some flights are operated by other airlines.”
(a) This Part is effective as of August 25, 1999.
(b) Compliance with the following sections is mandatory as of August 25, 1999:
(1) § 257.1, § 257.2, § 257.3, § 257.4, § 257.5(d), and § 257.6.
(2) § 257.5(b) to the extent that it requires sellers of air transportation to give consumers oral notice before booking transportation involving a code-share arrangement
(i) Of the fact that the selling carrier is not the transporting carrier and
(ii) Of the transporting carrier's identity (as shown by its two-letter designator code in CRS displays).
(c) Compliance with the following sections is mandatory as of March 15, 2000:
(1) § 257.5(a) and § 257.5(c) in their entirety.
(2) § 257.5(b) insofar as it requires sellers of air transportation to give consumers
(i) Oral notice before booking transportation involving a code-share arrangement of the transporting carrier's corporate name and any other name under which the service is held out to the public and
(ii) The same disclosures for long-term wet leases as for code-sharing arrangements.
The purpose of this part is to ensure that consumers are adequately informed before they book air transportation or embark on travel involving change-of-gauge services that these services require a change of aircraft en route.
This part applies to the following:
(a) Direct air carriers and foreign air carriers that sell or issue tickets in the United States for scheduled passenger air transportation on change-of-gauge services or that operate such transportation; and
(b) Ticket agents doing business in the United States that sell or issue tickets for scheduled passenger air transportation on change-of-gauge services.
As used in this part:
(a) Air transportation has the meaning ascribed to it in 49 U.S.C. 40102(5).
(b) Carrier means any air carrier or foreign air carrier as defined in 49 U.S.C. 40102(2) or 49 U.S.C. 40102(21), respectively, that engages directly in scheduled passenger air transportation.
(c) Change-of-gauge service means a service that requires a change of aircraft en route but has only a single flight number.
(d) Ticket agent has the meaning ascribed to it in 49 U.S.C. 40102(a)(45).
The holding out or sale of scheduled passenger air transportation that involves change-of-gauge service is prohibited as an unfair or deceptive practice or an unfair method of competition within the meaning of 49 U.S.C. 41712 unless, in conjunction with such holding out or sale, carriers and ticket agents follow the requirements of this part.
(a) Notice in schedules. Carriers holding out or operating change-of-gauge services to, from, or within the United States shall ensure that in the written and electronic schedule information they provide to the public, to the Official Airline Guide and comparable publications, and to computer reservations systems, these services are shown as requiring a change of aircraft.
(b) Oral notice to prospective consumers. In any direct oral communication with a consumer in the United States concerning a change-of-gauge service, any carrier or ticket agent doing business in the United States shall tell the consumer before booking scheduled passenger air transportation to, from, or within the United States that the service requires a change of aircraft en route.
(c) Written notice. At the time of sale in the United States of transportation that includes a change-of-gauge service to, from, or within the United States, or, if no ticket is issued, no later than the time when the passenger checks in at the airport for the first flight in an itinerary that includes such a service, the selling carrier or ticket agent shall provide the following written notice:
For at least one of your flights, you must change aircraft en route even though your ticket may show only one flight number and have only one flight coupon for that flight. Further, in the case of some travel, one of your flights may not be identified at the airport by the number on your ticket, or it may be identified by other flight numbers in addition to the one on your ticket. At your request, the seller of this ticket will give you details of your change of aircraft, such as where it will occur and what aircraft types are involved.
(a) This Part is effective as of August 25, 1999.
(b) Compliance with the following sections is mandatory as of August 25, 1999: §§ 258.1, 258.2, 258.3, 258.4, 258.5(a), 258.5(b), and 258.6.
(c) Compliance with § 258.5(c) is mandatory as of March 15, 2000.
The purpose of this part is to mitigate hardships for airline passengers during lengthy tarmac delays and otherwise to bolster air carriers' accountability to consumers.
This part applies to all the flights of a certificated or commuter air carrier if the carrier operates scheduled passenger service or public charter service using any aircraft originally designed to have a passenger capacity of 30 or more seats, and to all flights to and from the U.S. of a foreign air carrier if the carrier operates scheduled passenger service or public charter service to and from the U.S. using any aircraft originally designed to have a passenger capacity of 30 or more seats, except as otherwise provided in this part. This part does not apply to foreign air carrier charters that operate to and from the United States if no new passengers are picked up in the United States. Section 259.4 does not apply to a flight that diverts to the United States when the flight is operated by a foreign air carrier and scheduled to operate between two foreign points.
Business days means Monday through Friday excluding Federal holidays in the United States.
Certificated air carrier means a U.S. carrier holding a certificate issued under 49 U.S.C. 41102 to conduct passenger service or holding an exemption to conduct passenger operations under 49 U.S.C. 41102.
Commuter air carrier means a U.S. carrier that has been found fit under 49 U.S.C. 41738 and is authorized to carry passengers on at least five round trips per week on at least one route between two or more points according to a published flight schedule using small aircraft as defined in 14 CFR 298.2.
Covered carrier means a certificated carrier, a commuter carrier, or a foreign air carrier operating to, from or within the United States, conducting scheduled passenger service or public charter service with at least one aircraft having a designed seating capacity of 30 or more seats.
Foreign air carrier means a carrier that is not a citizen of the United States as defined in 49 U.S.C. 40102(a) that holds a foreign air carrier permit issued under 49 U.S.C. 41302 or an exemption issued under 49 U.S.C. 40109 authorizing direct foreign air transportation.
Large hub airport means an airport that accounts for at least 1.00 percent of the total enplanements in the United States.
Main aircraft door means the door used for boarding. In situations in which there are multiple doors that can be used for boarding, the last door closed is the main aircraft door.
Medium hub airport means an airport accounting for at least 0.25 percent but less than 1.00 percent of the total enplanements in the United States.
Non-hub airport means an airport with 10,000 or more annual enplanements but less than 0.05 percent of the country's annual passenger boardings.
Prompt refund means refunds made within 7 business days after the earliest date the refund was requested as set forth in 14 CFR 260.6(a)(2) as required by 14 CFR 374.3 for credit card purchases, and within 20 calendar days after the earliest date the refund was requested as set forth in 14 CFR 260.6(a)(2) for cash, check, debit card, or other forms of purchases.
Serious communicable disease means a communicable disease as defined in 42 CFR 70.1 that can cause serious health consequences (e.g., breathing problems, organ damage, neurological difficulties, death) and can be easily transmitted by casual contact in an aircraft cabin environment (i.e., easily spread to others in an aircraft cabin through general activities of passengers such as sitting next to someone, shaking hands, talking to someone, or touching communal surfaces). For example, the common cold is readily transmissible in an aircraft cabin environment but does not have severe health consequences. AIDS has serious health consequences but is not readily transmissible in an aircraft cabin environment. Both the common cold and AIDS would not be considered serious communicable diseases for purposes of this part. SARS is readily transmissible in an aircraft cabin environment and has severe health consequences. SARS would be considered a serious communicable disease for purposes of this part.
Small hub airport means an airport accounting for at least 0.05 percent but less than 0.25 percent of the total enplanements in the United States.
Suitable disembarkation point means a location at an airport where passengers can deplane from an aircraft.
Tarmac delay means the period of time when an aircraft is on the ground with passengers and the passengers have no opportunity to deplane.
(a) Adoption of plan. Each covered carrier, as defined by § 259.3, shall adopt a Contingency Plan for Lengthy Tarmac Delays for its scheduled and public charter flights at each U.S. large hub airport, medium hub airport, small hub airport, and non-hub airport at which it operates or markets such air service, except as specified in § 259.2, and shall adhere to its plan's terms.
(b) Contents of plan. Each Contingency Plan for Lengthy Tarmac Delays shall include, at a minimum, assurances that the covered carrier shall comply with the requirements set forth in paragraph (c) of this section.
(c) Requirements. Covered carriers must comply with the following requirements:
(1) For all domestic flights, each covered U.S. air carrier shall provide a passenger on a flight experiencing a tarmac delay at a U.S. airport the opportunity to deplane before the tarmac delay exceeds three hours in duration, subject to the exceptions in paragraph (c)(3) of this section;
(2) For all international flights, each covered carrier shall provide a passenger on a flight experiencing a tarmac delay at a U.S. airport the opportunity to deplane before the tarmac delay exceeds four hours in duration, subject to the exceptions in paragraph (c)(3) of this section;
(3) A covered U.S. carrier that experiences a tarmac delay at a U.S. airport must comply with paragraphs (c)(1) and (2) of this section, and a covered foreign air carrier must comply with paragraph (c)(2) of this section, unless:
(i) For departing flights, the flight begins to return to a suitable disembarkation point no later than three hours (for domestic flights) or four hours (for international flights) after the main aircraft door is closed in order to deplane passengers. If the aircraft is in an area that is not under the carrier's control, the aircraft has begun to return to a suitable disembarkation point when a request is made to the Federal Aviation Administration control tower, airport authority, or other relevant authority directing the aircraft's operations. If the aircraft is in an area that is under the carrier's control, the aircraft has begun to return to a suitable disembarkation point when the pilot begins maneuvering the aircraft to a suitable disembarkation point;
(ii) The pilot-in-command determines that deplaning passengers at a suitable disembarkation point would jeopardize passenger safety or security, or there is a safety related or security related reason why the aircraft cannot leave its position on the tarmac to deplane passengers; or
(iii) Air traffic control advises the pilot-in-command that returning to a suitable disembarkation point to deplane passengers would significantly disrupt airport operations;
(4) For all flights during a tarmac delay, each covered carrier must provide adequate food and potable water no later than two hours after the start of the tarmac delay, unless the pilot-in-command determines that safety or security considerations preclude such service;
(5) For all flights, each covered carrier must ensure operable lavatory facilities, as well as adequate medical attention if needed, during a tarmac delay;
(6) For all flights, each covered carrier must notify the passengers on board the aircraft during a tarmac delay regarding the status of the delay when the tarmac delay exceeds 30 minutes, and thereafter each covered carrier may provide subsequent updates, including flight status changes, as the carrier deems appropriate;
(7) For all departing flights and diversions, each time the opportunity to deplane exists at a suitable disembarkation point, each covered carrier must timely notify the passengers on board the aircraft that the passengers have the opportunity to deplane;
(8) Each covered carrier must ensure that it has sufficient resources to implement its Contingency Plan for Lengthy Tarmac Delays, as set forth in paragraphs (a) and (b) of this section; and
(9) Each covered carrier must ensure that its Contingency Plan for Lengthy Tarmac Delays, as set forth in paragraphs (a) and (b) of this section, has been coordinated with the following entities:
(i) Airport authorities (including terminal facility operators where applicable) at each U.S. large hub airport, medium hub airport, small hub airport, and non-hub airport that the carrier serves, as well as its regular U.S. diversion airports;
(ii) U.S. Customs and Border Protection (CBP) at each large U.S. hub airport, medium hub airport, small hub airport, and non-hub airport that is regularly used for that carrier's international flights, including regular U.S. diversion airports; and
(iii) The Transportation Security Administration (TSA) at each U.S. large hub airport, medium hub airport, small hub airport, and non-hub airport that the carrier serves, including regular U.S. diversion airports.
(d) Diversions. For purposes of this section, a diverted flight is treated as an arriving flight up to the point that an opportunity to deplane is provided to passengers. Once an opportunity to deplane is provided, the diversion is treated as a departing flight, and after that point, the departure delay exception in paragraph (c)(3)(i) of this section applies if the carrier begins to return to a suitable disembarkation point in order to deplane passengers as required by the exception.
(e) Code-share responsibility. The tarmac delay contingency plan of the carrier under whose code the service is marketed governs, if different from the operating carrier, unless the marketing carrier specifies in its contract of carriage that the operating carrier's plan governs.
(f) Amendment of plan. At any time, a carrier may amend its Contingency Plan for Lengthy Tarmac Delays to decrease the time for aircraft to remain on the tarmac for domestic flights covered in paragraph (c)(1) of this section, for aircraft to remain on the tarmac for international flights covered in paragraph (c)(2) of this section, for aircraft to begin to return to a suitable disembarkation point covered in paragraph (c)(3)(i) of this section, and for providing food and water covered in paragraph (c)(4) of this section. A carrier may also amend its plan to increase these intervals (up to the limits in this part), in which case the amended plan shall apply only to departures that are first offered for sale after the plan's amendment.
(g) Written reports. (1) Each covered operating carrier subject to this part shall submit to the Office of Aviation Consumer Protection of the U.S. Department of Transportation a written description of each of the flights it operates that experiences a tarmac delay of more than three hours (on domestic flights) and more than four hours (on international flights) at a U.S. airport no later than 30 days after the tarmac delay occurs.
(2) The written description referenced in paragraph (g)(1) of this section shall include, at a minimum, the following information:
(i) The name of the operating carrier, the name of the marketing carrier if the operating carrier is not the marketing carrier, and the flight number;
(ii) The originally scheduled origin and destination airports of the flight;
(iii) The airport at which the tarmac delay occurred and the date it occurred;
(iv) The length of the tarmac delay that occurred; and
(v) An explanation of the incident, including the precise cause of the tarmac delay, the actions taken to minimize hardships for passengers (including the provision of food and water, the maintenance and servicing of lavatories, and medical assistance), and the resolution of the incident.
(3) The written description referenced in paragraph (g)(1) of this section shall be accompanied by a signed certification statement that reads as follows:
I, (Name) and (Title), of (Carrier Name), certify that the enclosed report has been prepared under my direction, and affirm that, to the best of my knowledge and belief, the report is true and correct, based on information available at the time of this report's submission.
Date:
Signature:
Email address and phone number:
(4) A U.S. air carrier that submits a report in accordance with paragraph (g) of this section is in compliance with the reporting mandate for U.S. air carriers in 49 U.S.C. 42301(h) with respect to the excessive tarmac delay reported.
(h) Unfair and deceptive practice. A carrier's failure to comply with the assurances required by this part and contained in its Contingency Plan for Lengthy Tarmac Delays will be considered to be an unfair and deceptive practice within the meaning of 49 U.S.C. 41712 that is subject to enforcement action by the Department.
(a) Adoption of Plan. Each covered carrier must adopt a Customer Service Plan applicable to its scheduled flights as specified in paragraphs (b)(1) through (14) of this section and adhere to the plan's terms.
(b) Contents of Plan. Each Customer Service Plan shall address the following subjects and comply with the minimum standards set forth:
(1) Disclosing on the carrier's website, at the ticket counter, or when a customer calls the carrier's reservation center to inquire about a fare or to make a reservation, that the lowest fare offered by the carrier may be available elsewhere if that is the case;
(2) Notifying consumers of known delays, cancellations, and diversions as required by 14 CFR 259.8 of this chapter;
(3) Delivering baggage on time, including making every reasonable effort to return mishandled baggage within 12 hours for domestic flights and within 15 or 30 hours for international flights consistent with the requirement of 14 CFR 260.5, compensating passengers for reasonable expenses that result due to delay in delivery as required by 14 CFR part 254 for domestic flights and as required by applicable international treaties for international flights, and reimbursing passengers for any fee charged to transport a bag if that bag is significantly delayed or lost as required by 14 CFR 260.5;
(4) Allowing reservations to be held at the quoted fare without payment, or cancelled without penalty, for at least twenty-four hours after the reservation is made if the reservation is made one week or more prior to a flight's departure;
(5) Providing prompt refunds in the original form of payment (i.e., money is returned to an individual using whatever payment method the individual used to make the original payment, such as a check, credit card, debit card, cash, or airline miles) when ticket or ancillary service fee refunds, including checked bag fee refunds, are due pursuant to 14 CFR part 260 unless the consumer agrees to receive the refunds in a different form of payment that is a cash equivalent payment as defined in 14 CFR 260.2. Carriers may not retain a processing fee for issuing refunds that are due;
(6) Disclosing that consumers are entitled to a refund if that is the case when offering alternative transportation, travel credits, vouchers, or other compensation in lieu of refunds consistent with the requirement in 14 CFR 260.7. Disclosing any material restrictions, conditions, or limitations on travel credits, vouchers, or other compensation offered, regardless of whether consumers are entitled to a refund as described in 14 CFR 260.8 and 14 CFR 262.8.
(7) Providing, upon request, travel credits or vouchers that are transferrable and do not expire for at least five years from the date of issuance to a consumer due to a serious communicable disease impacting travel as described in 14 CFR part 262.
(8) Properly accommodating passengers with disabilities as required by part 382 of this chapter and as set forth in the carrier's policies and procedures and properly refunding passengers with disabilities and individuals in the same reservation as the individual with a disability who do not want to continue travel without the individual with a disability as required by 14 CFR 260.6(c);
(9) Meeting customers' essential needs during lengthy tarmac delays as required by § 259.4 of this chapter and as provided for in each covered carrier's contingency plan;
(10) Handling “bumped” passengers with fairness and consistency in the case of oversales as required by part 250 of this chapter and as described in each carrier's policies and procedures for determining boarding priority;
(11) Disclosing refund policies as required by 14 CFR part 260, cancellations policies, frequent flyer rules, aircraft seating configuration, and lavatory availability on the selling carrier's website, and upon request, from the selling carrier's telephone reservations staff;
(12) Notifying consumers in a timely manner of changes in their travel itineraries;
(13) Ensuring responsiveness to consumer problems as required by § 259.7 of this chapter; and
(14) Identifying the services it provides to mitigate passenger inconveniences resulting from flight cancellations and misconnections.
(c) Self-auditing of plan and retention of records. Each carrier that is required to adopt a Customer Service Plan shall audit its own adherence to its plan annually. Carriers shall make the results of their audits available for the Department's review upon request for two years following the date any audit is completed.
(a) Each U.S. air carrier that has a website and each foreign air carrier that has a website marketed to U.S. consumers, and that is required to adopt a contingency plan for lengthy tarmac delays, shall post its current contingency plan on its website in easily accessible form.
(b) Each U.S. air carrier that has a website and each foreign air carrier that has a website marketed to U.S. consumers, and that is required to adopt a customer service plan, shall post its current customer service plan on its website in easily accessible form.
(c) Each U.S. air carrier that has a website and each foreign air carrier that has a website marketed to U.S. consumers shall post its current contract of carriage on its website in easily accessible form.
(a) Designated advocates for passengers' interests. Each covered carrier shall designate for its scheduled flights an employee who shall be responsible for monitoring the effects of flight delays, flight cancellations, and lengthy tarmac delays on passengers. This employee shall have input into decisions on which flights to cancel and which will be delayed the longest.
(b) Informing consumers how to complain. Each covered carrier shall make available the mailing address and e-mail or web address of the designated department in the airline with which to file a complaint about its scheduled service. This information shall be provided on the U.S. carrier's website (if any) and the foreign carrier's website (if marketed to U.S. consumers), on all e-ticket confirmations and, upon request, at each ticket counter and boarding gate staffed by the carrier or a contractor of the carrier.
(c) Response to complaints. Each covered carrier shall acknowledge in writing receipt of each complaint regarding its scheduled service to the complainant within 30 days of receiving it and shall send a substantive written response to each complainant within 60 days of receiving the complaint. A complaint is a specific written expression of dissatisfaction concerning a difficulty or problem which the person experienced when using or attempting to use an airline's services.
(d) Social networking sites. Each covered carrier that uses a social networking site (e.g. Facebook, Twitter) and that does not intend for that site to be a vehicle for receipt of written consumer complaints subject to this section shall clearly indicate on the carrier's primary page on that social networking site that it will not reply to consumer complaints on that site and shall direct consumers to the carrier's mailing address and e-mail or website location for filing written complaints.
(a) Each covered carrier for its scheduled flights to, from or within the U.S. must promptly provide to passengers who are ticketed or hold reservations, and to the public, information about a change in the status of a flight within 30 minutes after the carrier becomes aware of such a change in the status of a flight. A change in the status of a flight means, at a minimum, a cancellation, diversion or delay of 30 minutes or more in the planned operation of a flight that occurs within seven calendar days of the scheduled date of the planned operation. The flight status information must at a minimum be provided in the boarding gate area for the flight at a U.S. airport, on the carrier's website, and via the carrier's telephone reservation system upon inquiry by any person.
(1) With respect to any U.S. air carrier or foreign air carrier that permits passengers and other
(2) The U.S. carrier or foreign air carrier shall incorporate such notification service commitment into its Customer Service Plan as specified in section 259.5 of this chapter.
(b) For its scheduled flights to, from or within the U.S, within 30 minutes after the carrier becomes aware of a flight cancellation, a flight delay of 30 minutes or more, or a flight diversion, each covered carrier must update all flight status displays and other sources of flight information that are under the carrier's control at U.S. airports with information on that flight irregularity.
(c) If an airport-controlled display system at a U.S. airport accepts flight status updates from carriers, covered carriers must provide flight irregularity information to that airport for the carrier's scheduled flights to, from or within the U.S. within 30 minutes after the carrier becomes aware of such a change in the status of a flight. Flight irregularity refers to flight cancellations, flight delays of 30 minutes or more, and diversions.
(a) Submission requirement. Each covered air carrier shall submit to the Department of Transportation a one-page summary document that describes the rights of air passengers in air transportation (Passenger Rights Summary).
(b) Content. The Passenger Rights Summary described in paragraph (a) of this section shall include guidelines for the following:
(1) Compensation (regarding rebooking options, refunds, meals, and lodging) for flight delays of various lengths;
(2) Compensation (regarding rebooking options, refunds, meals, and lodging) for flight diversions;
(3) Compensation (regarding rebooking options, refunds, meals, and lodging) for flight cancellations;
(4) Compensation for mishandled baggage, including delayed, damaged, pilfered, or lost baggage;
(5) Voluntary relinquishment of a ticketed seat due to overbooking or priority of other passengers; and
(6) Involuntary denial of boarding and forced removal for whatever reason, including for safety and security reasons.
(c) website publication. Not later than 90 days after a covered air carrier submits the Passenger Rights Summary described in paragraph (a) of this section, the covered air carrier shall make the Passenger Rights Summary available in a prominent location on its website.
(d) Definition. For the purposes of this section, the term covered air carrier means an air carrier or a foreign air carrier as those terms are defined by 49 U.S.C. 40102.
The purpose of this part is to ensure that carriers promptly refund consumers for:
(a) Fees for ancillary services related to air travel that consumers paid for but were not provided;
(b) Fees to transport checked bags that are lost or significantly delayed; and
(c) Airfare including nonrefundable airfare for a flight that is cancelled or significantly changed where the consumer does not accept the significantly changed flight or rebooking on an alternative flight, or accept any voucher, credit, or other compensation offered by the carrier.
As used in this part:
Air carrier means a citizen of the United States undertaking by any means, directly or indirectly, to provide air transportation.
Ancillary service means any optional service related to air travel that a covered carrier provides for a fee, beyond passenger air transportation. Such services may include, but are not limited to, transport of checked or carry-on baggage, advance seat selection, access to in-flight entertainment programs or Wi-Fi, in-flight beverages, snacks, meals, pillows and blankets, seat upgrades, and lounge access.
Automatic refund means issuing a refund to a consumer without waiting to receive an explicit refund request, when the consumer's right to a refund is undisputed because the contracted service was not provided and either the consumer rejected the alternative offered or no alternative was offered.
Break in journey means any deliberate interruption by a passenger of a journey between a point in the United States and a point in a foreign country where there is a stopover at a foreign point scheduled to exceed 24 hours. If the stopover is 24 hours or less, whether it is a break in journey depends on various factors such as whether the segment between two foreign points and the segment between a foreign point and the United States were purchased in a single transaction and as a single ticket/itinerary, whether the segment between two foreign points is operated or marketed by a carrier that has no codeshare or interline agreement with the carrier operating or marketing the segment to or from the United States, and whether the stopover at a foreign point involves the passenger picking up checked baggage, leaving the airport, and continuing the next segment after a substantial amount of time.
Business days means Monday through Friday, excluding Federal holidays in the United States.
Cancelled flight or flight cancellation means a covered flight with a specific flight number scheduled to be operated between a specific origin-destination city pair that was published in the carrier's Computer Reservation System at the time of the ticket sale but not operated by the carrier.
Cash equivalent means a form of payment that can be used like cash, including but not limited to a check, a prepaid card, funds transferred to a consumer's bank account, funds provided through digital payment methods (e.g., PayPal, Venmo), or a gift card that is widely accepted in commerce. It is not cash equivalent if consumers bear the burden for transaction, maintenance, or usage fees related to the payment.
Checked bag means a bag, special item (e.g., musical instrument or a pet), or sports equipment (e.g., golf clubs) that was provided to a covered carrier by or on behalf of a passenger for transportation in the cargo compartment of a scheduled passenger flight. A checked bag includes a gate-checked bag and a valet bag.
Class of service means seating in the same cabin class such as First, Business, Premium Economy, or Economy class, which is defined based on seat location in the aircraft and seat characteristics such as width, seat recline angles, or pitch (including the amount of legroom).
Covered carrier means an air carrier or a foreign air carrier operating to, from, or within the United States, conducting scheduled passenger service.
Covered flight means a scheduled flight operated or marketed by a covered carrier to, from, or within the United States, including itineraries with brief and incidental stopover(s) at a foreign point without a break in journey.
Foreign air carrier means a person, not a citizen of the United States, undertaking by any means, directly or indirectly, to provide foreign air transportation.
Individual with a disability has the same meaning as defined in 14 CFR 382.3.
Merchant of record means the entity (carrier or ticket agent) responsible for processing payments by consumers for airfare or ancillary services or products (including the transport of checked bags), as shown in the consumer's financial charge statements, such as debit or credit card charge statements.
Prompt refund means refunds made within 7 business days after the earliest date the refund was requested as set forth in § 260.6(a)(2) as required by 14 CFR 374.3 for credit card purchases and within 20 calendar days after the earliest date the refund was requested as set forth in § 260.6(a)(2) for cash, check, debit card, or other forms of purchases.
Significantly delayed or changed flight means a covered flight itinerary with a delay or change made by a covered carrier where, as the result of the delay or change:
(1) The consumer is scheduled to depart from the origination airport three hours or more for domestic itineraries and six hours or more for international itineraries earlier than the original scheduled departure time;
(2) The consumer is scheduled to arrive at the destination airport three or more hours for domestic itineraries or six or more hours for international itineraries after the original scheduled arrival time;
(3) The consumer is scheduled to depart from a different origination airport or arrive at a different destination airport;
(4) The consumer is scheduled to travel on an itinerary with more connection points than that of the original itinerary;
(5) The consumer is downgraded to a lower class of service;
(6) The consumer who is an individual with a disability is scheduled to travel through one or more connecting airports different from the original itinerary; or
(7) The consumer who is an individual with a disability is scheduled to travel on substitute aircraft on which one or more accessibility features needed by the customer are unavailable.
Significantly delayed checked bag means a checked bag not delivered to or picked up by the consumer or another person authorized to act on behalf of the consumer within 12 hours of the last flight segment's arrival for domestic itineraries, within 15 hours of the last flight segment's arrival for international itineraries with a non-stop flight segment between the United States and a foreign point that is 12 hours or less in duration, and within 30 hours of the last flight segment's arrival for international itineraries with a non-stop flight segment between the United States and a foreign point that is more than 12 hours in duration. The 15-hour and 30-hour standards apply to domestic segments of international itineraries.
This part applies to: covered carriers that are the merchants of record; covered carriers that operate the flight or, for multiple-carrier itineraries, covered carriers that operate the last segment of a flight where a ticket agent is the merchant of record for a checked bag fee; and covered carriers that fail to provide an ancillary service (other than checked bag service) for which the consumer paid where a ticket agent is the merchant of record for an ancillary service fee other than checked bag fee.
(a) A covered carrier that is the merchant of record shall provide a prompt and automatic refund to a consumer for any fees it collected from the consumer for ancillary services if the service was not provided through no fault of the consumer (e.g., prepaid ancillary service not utilized by the consumer because of flight cancellation, significant change, or oversale situation; service not provided because of aircraft substitution, equipment malfunction, etc.). If a ticket agent is the merchant of record for a checked bag fee and the checked bag service was not provided (or was significantly delayed) through no fault of the consumer, the carrier that operated the flight, or for multiple-carrier itineraries, the carrier that operated the last segment of the consumer's itinerary is responsible for providing a prompt and automatic refund of the checked bag fee, consistent with § 260.5. If a ticket agent is the merchant of record for fees for all other ancillary services, the carrier that operated the flight and failed to provide the service through no fault of the consumer is responsible for providing a prompt and automatic refund.
(b) In situations where the ancillary service the consumer paid for (other than the service of transporting a checked bag) is not available for all the passengers who paid for that service (e.g., Wi-Fi not available for all passengers on a flight, lounge access not available for all passengers on a certain date), a carrier's obligation under paragraph (a) of this section to provide a prompt and automatic refund begins when the information about the unavailability of the service is known by the carrier that failed to provide the service, and, if applicable, relayed as provided in paragraph (d) of this section to the carrier responsible for providing a prompt refund as specified in paragraph (a) of this section.
(c) In situations where the ancillary service the consumer paid for (other than the service of transporting a checked bag) is not available to an individual or several individuals, rather than to all the passengers who paid for that service, a carrier's obligation under paragraph (a) of this section to provide a prompt and automatic refund begins when the consumer affected by the service failure notifies the operating carrier that failed to provide the ancillary service about the unavailability of the service and that information has been confirmed and, if applicable, relayed as provided in paragraph (d) of this section to the carrier responsible for providing a prompt refund as specified in paragraph (a) of this section. Notification of the unavailability of the ancillary service by a consumer is considered a request for a refund.
(d) In situations where a carrier is the merchant of record for a fee for an ancillary service and the carrier that operates the flight where the ancillary service was not provided are different entities, the operating carrier that failed to provide the ancillary service must timely notify the carrier that is the merchant of record about the unavailability of the ancillary service. Notification by the operating carrier as set forth in this paragraph is necessary for the obligation to provide a prompt refund of ancillary service fees in paragraphs (b) and (c) of this section to apply. The obligation set forth in this paragraph for the operating carrier to timely notify the carrier that is the merchant of record does not apply when the failure to provide service relates to transporting checked bags. Timely notification requirements pertaining to refunds for fees charged to transport checked bags are set forth in § 260.5(c).
A covered carrier that is the merchant of record or, if a ticket agent is the merchant of record, the covered carrier that operated the flight or the last flight segment in a multiple-carrier itinerary, must provide a prompt refund to a consumer of any fee charged for transporting a lost bag or a significantly delayed checked bag, as defined in § 260.2 of this part and determined according to paragraph (a) of this section, subject to the conditions in paragraphs (b) and (c) of this section.
(a) Determining the length of delay for the bag. For the purpose of determining whether a checked bag is significantly delayed as defined in § 260.2, the length of delay is calculated from the time the passenger is given the opportunity to deplane from a flight at the passenger's final destination airport (the beginning of the delay) to the time that the carrier has delivered the bag to a location agreed upon by the passenger and carrier (e.g., passenger's home or hotel) or the time that the bag has been picked up by the passenger or another person acting on behalf of the passenger at the passenger's final destination airport (the end of the delay).
(b) Notification by passenger about lost or significantly delayed bag. A covered carrier does not have an obligation to provide a refund of the fee for a lost or significantly delayed checked bag unless a passenger files a Mishandled Baggage Report (MBR) for the lost or delayed bag with the carrier that operated the flight, or for multiple-carrier itineraries, the carrier that operated the last segment of the consumer's itinerary.
(c) Notification by carrier that received an MBR about lost or significantly delayed checked bag. Except when the carrier responsible for providing a prompt refund for a baggage fee as specified in this section is the same carrier that received the MBR, a covered carrier that received the MBR must timely notify the carrier responsible for providing a prompt refund that the bag has been lost or significantly delayed when this is the case. A covered carrier's obligation to provide a prompt refund of a baggage fee for a lost bag or a significantly delayed checked bag as defined in § 260.2 is conditioned upon the carrier that received the MBR notifying the carrier responsible for providing a prompt refund that the bag has been lost or significantly delayed.
(d) Automatic refunds. An automatic refund of a bag fee is due when a checked bag is significantly delayed as determined according to paragraph (a) of this section, the passenger has filed an MBR as provided in paragraph (b) of this section, and, if applicable, notification has been provided by the carrier that received the MBR as set forth in paragraph (c) of this section.
(e) Amount of the refund. The amount of the refund issued to a consumer must be a value equal to or greater than the fee that the consumer paid to transport his/her checked bag.
(1) For carriers that adopt an escalated baggage fee scale for multiple bags checked by one passenger, the amount of baggage fee refund issued to the passenger can be determined based on the unique identifier assigned to the significantly delayed or lost bag that correlates to the baggage fee charged for that bag at the time of checking. If there is no such unique identifier assigned, carriers must refund the highest per bag fee or fees charged for the multiple bags.
(2) For a carrier that offers a baggage fee subscription program where consumers can pay a subscription fee that covers fees for checked bags for a specified period, the carrier must refund the lowest amount of the baggage fee the carrier charges another passenger of similar frequent flyer status and in the same class of service without the subscription when a passenger subscribing to the program has a significantly delayed or lost bag.
(f) Exemptions from the refund obligation. A covered carrier is exempted from the obligation to refund the fee for a significantly delayed bag in situations where the delay resulted from:
(1) A passenger's failure to pick up and recheck a bag at the first international entry point into the United States as required by U.S. Customs and Border Protection;
(2) A passenger's failure to pick up a checked bag that arrived on time at the passenger's ticketed final destination due to the fault of the passenger if documented by the carrier (e.g., passenger ended the travel before reaching the final destination on the itinerary—“hidden city” itinerary, or the passenger failed to pick up the bag before taking a flight on a separate itinerary); and
(3) A passenger's voluntary agreement to travel without the checked bag on the same flight as described in paragraph (g) of this section.
(g) Voluntary separation from bag. A carrier may require a passenger who fails to meet the minimum check-in time requirement for a flight or is a standby passenger for a flight (i.e., a passenger who lacks a reservation on that flight and is waiting at the gate for a seat to be available on the flight) to agree to a new baggage delivery date and location in situations where the carrier is unable to place the passenger's checked bag on that flight because of the limited time available. The carrier must not require the passenger to waive the right to a refund of bag fees if the bag is lost, the right to compensation for damaged, lost, or pilfered bags, or the right to incidental expenses reimbursement arising from delayed bags beyond the agreed upon delivery date, consistent with the Department's regulation in 14 CFR part 254 and applicable international treaties.
(a) Carriers' obligation to provide refunds—(1) Carriers' obligation. A covered carrier that is the merchant of record must provide a full and prompt refund of the airfare, including any taxes and ancillary fees, as set forth in paragraph (a)(2) of this section to a consumer that holds a nonrefundable ticket on a scheduled flight to, from, or within the United States for any cancelled flight or significantly delayed or changed flight where the consumer chooses not to:
(i) Fly on the significantly delayed or changed flight or accept rebooking on an alternative flight; or
(ii) Accept any voucher, credit, or other form of compensation offered by the air carrier or foreign air carrier pursuant to paragraph (c) of this section.
(2) Automatic refunds. A full refund of the airfare, including any taxes and ancillary fees, is due to a consumer as described in paragraphs (a)(2)(i) through (iii) of this section:
(i) A flight is canceled and a consumer is not offered an alternative flight or any voucher, credit, or other form of compensation by the air carrier or foreign air carrier pursuant to paragraph (c) of this section;
(ii) A consumer rejects the significantly delayed or changed flight, rebooking on an alternative flight, or any voucher, credit, or other form of compensation offered by the covered carrier pursuant to paragraph (c) of this section; or
(iii) A consumer does not respond to an offer of:
(A) A significantly delayed or changed flight or an alternative flight and the flight departs without the consumer; or
(B) A voucher, credit, or other form of compensation by the date on which the cancelled flight was scheduled to depart or the date that the significantly delayed or changed flight departs.
(b) Individuals with a disability. A carrier that is the merchant of record must provide a full and prompt refund to an individual with a disability upon notification by the individual with a disability that he/she does not want to continue travel because of the significant changes described in paragraphs (b)(1) through (3) of this section. The covered carrier must also provide a full and prompt refund to any individuals in the same reservation as the individual with a disability who do not want to continue travel without the individual with a disability in situations described in paragraphs (b)(1) through (3).
(1) The individual with a disability is downgraded to a lower class of service that results in one or more accessibility features needed by the individual becoming unavailable.
(2) The individual with a disability is scheduled to travel through one or more connecting airports that are different from the original itinerary.
(3) The individual with a disability is scheduled to travel on a substitute aircraft on which one or more accessibility features available on the original aircraft needed by the individual are unavailable.
(c) Alternative to refund. A covered carrier may offer a voucher, credit, or other form of compensation as an explicit alternative to providing a refund required by paragraph (a) of this section if:
(1) The offer includes a clear and conspicuous notice of—
(i) The terms of the offer as specified in § 260.8; and
(ii) The consumer's right to a full refund under this section.
(2) The voucher, credit, or other form of compensation offered explicitly as an alternative to providing a refund required by paragraph (a) of this section remains valid and redeemable by the consumer for a period of at least five years from the date on which such voucher, credit, or other form of compensation is issued;
(3) Upon the issuance of such voucher, credit, or other form of compensation, a covered carrier notifies the recipient of the expiration date of the voucher, credit, or other form of compensation; and
(4) Upon request by an individual who self identifies as an individual with a disability a covered carrier provides a notification under paragraph (c)(3) of this section in an electronic format accessible to the recipient.
(d) Carriers' obligation to notify ticket agents. In situations where a ticket agent is the merchant of record for the transaction, after receiving a refund request by a consumer through the ticket agent, the carrier that canceled or significantly delayed or changed the flight must inform the ticket agent without delay whether the consumer is eligible for a refund under this section (i.e., whether the consumer has accepted the significantly changed flight, the alternative flight, or other compensation offered in lieu of refunds).
(e) Carriers' obligation to transfer funds to ticket agents. In situations where a ticket agent is responsible for providing the refund to the consumer pursuant to 14 CFR 399.80(l) and the ticket agent does not possess the funds of the consumer, that carrier that has the funds must promptly transfer the funds to the ticket agent.
A covered carrier must not deem a consumer to have accepted an offer for travel credits, vouchers, or other compensation in lieu of a refund under § 260.6(c) unless the consumer affirmatively agrees to the alternative form of compensation.
In carrying out the requirements of § 260.6(c), a covered carrier must clearly and conspicuously disclose, no later than at the time of voucher or credit offer, any material restrictions, limitations, or conditions on travel credits, vouchers, or other compensation, including but not limited to validity period, advance purchase requirement, capacity restrictions, and blackout dates, regardless of whether consumers are entitled to a refund.
(a) Upon the occurrence of a flight cancellation or a significant delay or change, a covered carrier must timely notify affected consumers about the cancellation or significant delay or change, and the information relating to any alternative to refund as provided in § 260.6(c).
(b) Covered air carriers must ensure that their passenger notification systems notify passengers owed a refund pursuant to § 260.6(a) and (b) of their right to receive a refund. Covered carriers that provide notification subscription services to passengers must ensure notifications under this paragraph be provided through media that the carriers offer and the subscribers choose, including emails, text messages, and push notices from mobile apps.
When a refund of a fare or a fee for an ancillary service, including a fee for lost or significantly delayed checked baggage, is due pursuant to this part, the refund must be issued promptly in the original form of payment (i.e., money is returned to an individual using whatever payment method the individual used to make the original payment, such as a check, credit card, debit card, cash, or airline miles) unless the consumer agrees to receive the refunds in a different form of payment that is a cash equivalent as defined in § 260.2. Carriers may not retain a processing fee for issuing refunds that are due.
A carrier must not include terms or conditions in its contract of carriage inconsistent with the carriers' obligations as specified by this part. Any such action will be considered an unfair and deceptive practice within the meaning of 49 U.S.C. 41712.
The purpose of this part is to ensure that carriers provide travel credits or vouchers, upon request, to consumers who are restricted or prohibited from traveling by a governmental entity due to a serious communicable disease (e.g., as a result of a stay at home order, entry restriction, or border closure) or are advised by a licensed treating medical professional consistent with public health guidance issued by the U.S. Centers for Disease Control and Prevention (CDC) or the World Health Organization (WHO) not to travel to protect themselves or others from a serious communicable disease.
As used in this part:
Air carrier means a citizen of the United States undertaking by any means, directly or indirectly, to provide air transportation.
Break in journey means any deliberate interruption by a passenger of a journey between a point in the United States and a point in a foreign country where there is a stopover at a foreign point scheduled to exceed 24 hours. If the stopover is 24 hours or less, whether it is a break in journey depends on various factors such as whether the segment between two foreign points and the segment between a foreign point and the United States were purchased in a single transaction and as a single ticket/itinerary, whether the segment between two foreign points is operated or marketed by a carrier that has no codeshare or interline agreement with the carrier operating or marketing the segment to or from the United States, and whether the stopover at a foreign point involves the passenger picking up checked baggage, leaving the airport, and continuing the next segment after a substantial amount of time.
Covered carrier means an air carrier or a foreign air carrier operating to, from or within the United States, conducting scheduled passenger service.
Covered flight means a scheduled flight operated or marketed by a covered carrier to, from, or within the United States, including itineraries with brief and incidental stopover(s) at a foreign point without a break in journey.
Licensed treating medical professional means an individual, including a physician, a nurse practitioner, a physician's assistant, or other medical provider, who is licensed or authorized under the law of a State or territory in the United States or a comparable jurisdiction in another country to engage in the practice of medicine to diagnose or treat a patient for a health condition that is the reason for the passenger to request a travel credit or voucher under § 262.4(b) and (c).
Merchant of record means the entity (carrier or ticket agent) responsible for processing payment by the consumer for airfare or ancillary services or products, as shown in the consumer's financial charge statements such as debit or credit card charge statements.
Foreign air carrier means a person, not a citizen of the United States, undertaking by any means, directly or indirectly, to provide foreign air transportation.
Public health emergency has the same meaning as defined in 42 CFR 70.1.
Serious communicable disease means a communicable disease as defined in 42 CFR 70.1 that can cause serious health consequences (e.g., breathing problems, organ damage, neurological difficulties, death) and can be easily transmitted by casual contact in an aircraft cabin environment (i.e., easily spread to others in an aircraft cabin through general activities of passengers such as sitting next to someone, shaking hands, talking to someone, or touching communal surfaces). For example, the common cold is readily transmissible in an aircraft cabin environment but does not have severe health consequences. AIDS has serious health consequences but is not readily transmissible in an aircraft cabin environment. Both the common cold and AIDS would not be considered serious communicable diseases for purposes of this part. SARS is readily transmissible in an aircraft cabin environment and has severe health consequences. SARS would be considered a serious communicable disease for purposes of this part.
This part applies to all covered carriers that are the merchant of record for a covered flight or the operating carrier of a covered flight when a ticket agent is the merchant of record.
A covered carrier as identified in § 262.3 must provide a transferrable travel credit or voucher that does not expire for at least five years from the date of issuance to consumers described in paragraphs (a) to (c) of this section.
(a) The consumer is prohibited from travel to, from, or within the United States or is required to quarantine at the destination as shown on the consumer's itinerary for more than 50% of the length of the trip (excluding travel dates) because of a U.S. (Federal, State, or local) or foreign government restriction or prohibition (e.g., stay at home order, entry restriction, border closure, or quarantine notice) in relation to a serious communicable disease. The consumer must have purchased the airline ticket before a public health emergency was declared for the origination or destination of the consumer's scheduled travel or, if there is no declaration of a public health emergency, before the government prohibition or restriction applicable to the origination or the destination of the consumer's scheduled travel was imposed.
(b) There is a public health emergency applicable to the origination or destination of the consumer's itinerary, the consumer purchased the airline ticket before the public health emergency was declared, the consumer is scheduled to travel during the public health emergency, and the consumer is advised by a licensed treating medical professional not to travel by air to protect himself or herself from a serious communicable disease.
(c) Regardless of whether there is a public health emergency, the consumer is advised by a licensed treating medical professional not to travel by air because the consumer has or is likely to have contracted a serious communicable disease, and the consumer's condition is such that traveling on a commercial flight would pose a direct threat to the health of others.
In the absence of an applicable determination issued by the Department of Health and Human Services that requiring the documentation specified in paragraphs (b) or (c) of this section is not in the public interest, as a condition for issuing the travel credits or vouchers in § 262.4, carriers may require, as appropriate, documentation specified in paragraphs (a) to (c) of this section.
(a) For any consumer requesting a travel credit or voucher because of a government restriction or prohibition pursuant to § 262.4(a), carriers may require the consumer to provide the applicable current government order or other document demonstrating how the government order prohibits the consumer from travel to, from, or within the United States as scheduled or requires the consumer to quarantine for more than 50% of the length of the consumer's scheduled trip at the destination (excluding travel dates) as shown on the passenger's itinerary.
(b) For any consumer requesting a travel credit or voucher to protect his or her health pursuant to § 262.4(b), carriers may require the consumer to provide a valid medical certificate as set forth in paragraphs (b)(1) and (b)(2) of this section.
(1) For purposes of paragraph (b) of this section, a medical certificate means a written statement from a licensed treating medical professional stating that it is his/her professional opinion, based on the medical condition of the individual and current medical knowledge on the relevant serious communicable disease, including public health guidance issued by CDC or WHO, if available, that the individual should not travel during the current public health emergency by commercial air transportation to protect his or her health from a serious communicable disease.
(2) To be valid, a medical certificate under paragraph (b) of this section must be dated after the declaration of the relevant public health emergency and no earlier than one year before the scheduled travel date and include information regarding the licensed treating medical professional's license (the date of issuance, type of the license, State or other jurisdiction in which the license was issued).
(c) For any consumer requesting a travel credit or a voucher to protect the health of others pursuant to § 262.4(c), carriers may require the consumer to provide a valid medical certificate as set forth in paragraphs (c)(1) through (c)(3) of this section. For any consumer who informed carriers that there is not adequate time to obtain and submit a valid medical certificate as set forth in paragraphs (c)(1) through (c)(3) of this section before the scheduled travel date, carriers must allow submission of the medical certificate within a reasonable time after the scheduled travel date.
(1) For purposes of paragraph (c) of this section, a medical certificate means a written statement from a licensed treating medical professional stating that it is his/her professional opinion, based on the medical condition of the individual and current medical knowledge of the relevant serious communicable disease, including public health guidance issued by CDC or WHO, if available, that the individual should not travel by commercial air transportation on the date of the scheduled travel to protect the health of others from a serious communicable disease because the individual has or is likely to have contracted a serious communicable disease .
(2) To be valid, a medical certificate under paragraph (c) of this section must include information regarding the licensed treating medical professional's license (the date of issuance, type of the license, State or other jurisdiction in which license was issued).
(3) For a medical certificate under paragraph (c) of this section, carriers may require that it be dated close to the travel date, as determined based on the current medical knowledge and applicable public health guidance issued by CDC or WHO regarding the contagious period of the relevant serious communicable disease.
Upon confirming a consumer's eligibility for a travel credit or voucher pursuant to this paragraph, a carrier must promptly issue the travel credit or voucher with a value equal to or greater than the fare (including government-imposed taxes and fees and carrier-imposed charges and prepaid ancillary service fees for services not utilized by the consumer). If a consumer has obtained a refund of the September 11th Security Fee or other government-imposed taxes and fees, then those fee amounts may be deducted from the consumer's travel credit or voucher. Nothing in this section relieves the carrier of its obligation to comply with the requirements of other Federal agencies relating to the refund of government-imposed taxes and fees.
A carrier may retain a processing fee for issuing the travel voucher or credit, as long as the fee is on a per-passenger basis and the existence and amount of the fee is clearly and prominently disclosed to consumers at the time they purchased the airfare.
A carrier shall not impose unreasonable restrictions, conditions or limitations on the travel credits or vouchers, including a validity period that is shorter than five years from the date of issuance, a restriction on the transferability of the credits or vouchers to another individual, conditions that severely restrict booking with respect to travel date, time, route, or class of service; a limitation that allows redemption only in one booking and renders any residual value void; or a limitation that only allows the value of the credits or vouchers to apply to the base fare of a new booking but not government-imposed taxes or fees, carrier imposed fees, or ancillary service fees. A carrier must clearly disclose, no later than at the time of voucher or credit issuance, any material restrictions, limitations, or conditions on the use of the credits and vouchers that are not deemed unreasonable, including but not limited to advance purchase requirement or capacity restrictions and blackout dates.
A carrier shall not include terms or conditions in its contract of carriage inconsistent with the carriers' obligations as specified by this part. Any such action will be considered an unfair and deceptive practice within the meaning of 49 U.S.C. 41712.
This part establishes the guidelines required by 49 U.S.C. 41736 to be used by the Department in establishing the fair and reasonable amount of compensation needed to ensure the continuation of essential air service to an eligible place under 49 U.S.C. 41731 and 41734. These guidelines are intended to cover normal carrier selection cases and rate renewal cases, and not necessarily emergency carrier selection cases.
As used in this part:
Eligible place means a place in the United States that meets the specified criteria outlined in 49 U.S.C. Chapter 417.
Essential air service is that air transportation which the Department has found to be essential under Subchapter II of Chapter 417 of the Statute.
In establishing the subsidy for an air carrier providing essential air service at an eligible place, the Department will consider the following:
(a) The reasonable projected costs of a carrier in serving that place;
(b) The carrier's reasonable projected revenues for serving that place;
(c) The appropriate size of aircraft for providing essential air service at that place; and
(d) A reasonable profit for a carrier serving that place.
(a) The reasonable costs projected for a carrier providing essential air service at an eligible place will be evaluated:
(1) For costs attributable to the carrier's flying operations (direct expenses), by comparing the projected costs submitted by the carrier with the following:
(i) The carrier's historical direct operating costs with the same or similar aircraft types;
(ii) The direct operating unit costs of similar carriers using the same or similar equipment; and
(iii) Data supplied by the manufacturer of the carrier's aircraft.
(2) For other costs, by one or more of the following methods:
(i) By direct assignment where the indirect costs are attributable to the carrier's operations at the eligible place;
(ii) By comparing the carrier's systemwide indirect operating expenses to those submitted by the carrier for the eligible place; or
(iii) By comparing the indirect operating expenses submitted by the carrier with the ratio of indirect to direct costs that have been experienced by the carrier in other markets or to costs that are representative of the industry.
(3) By considering the unique circumstances of the carrier or the community being served that justify deviations from the costs that would otherwise be established for that carrier under this paragraph.
(4) By determining whether the aircraft to be used by the carrier at the eligible place, and on which its costs are derived, are appropriate for providing essential air service there. The appropriateness of the aircraft to be used is based on the following characteristics of the eligible place:
(i) Traffic levels;
(ii) The level of air service that the Department has decided is essential for the eligible place;
(iii) Distance to the designated hub;
(iv) The altitude at which the carrier must fly to the designated hub; and
(v) Other operational elements involved.
(b) When the essential air service would be made part of the carrier's linear system, the Department might, instead of the factors in paragraph (a) of this section, consider only the incremental costs that the carrier will incur in adding that service to its system.
(a) The projected passenger revenue for a carrier providing essential air service at an eligible place will be calculated by multiplying the following:
(1) A reasonable projected net fare, which is the standard fare expected to be charged for service between the eligible place and the designated hub less any dilution caused by joint fare arrangements, discount fares that it offers, or prorates of fares for through one-line passengers; and
(2) The traffic (including both local and beyond traffic) projected to flow between the eligible place and the designated hub or hubs, which is based on the carrier's own estimates, Department estimates, and on traffic levels in the market at issue when such data are available.
(b) The reasonableness of a carrier's passenger revenue projections will be evaluated by:
(1) Comparing the carrier's proposed fare with the fare charged in other city-pair markets of similar distances and traffic densities; and
(2) Comparing the carrier's proposed pricing structure with historical pricing practices in the market at issue, with the pricing practices of that carrier in other markets, and with any standard industry pricing guidelines that may be available.
(c) An estimate of freight and other transport-related revenue will be included as a component of projected revenues and will be based on recent experience in the market involved and on the experience of the carrier involved in other markets.
The reasonable return for a carrier for providing essential air service at an eligible place generally will be set at a flat percentage, typically 5 percent of that carrier's projected operating costs as established under § 271.4, plus any applicable interest expenses on flight equipment.
(a) Subsidy will be paid by the Department to the air carrier monthly, based on the subsidy rate established by the Department for the carrier under this part. Payments will not vary except as provided in this section.
(b) While a carrier's subsidy rate will not vary even if actual revenues or costs differ from projections, the actual amount of each payment may vary depending on the following factors:
(1) Seasonal characteristics of the carrier's operations at the eligible place;
(2) The actual number of flights completed, aircraft miles flown, available seat-miles flown, or variations in other operational elements upon which the subsidy rate is based; or
(3) Adjustments to the carrier's subsidy required by § 271.8(b).
(c) Payments will continue for the duration of the rate term established under § 271.8 provided that the carrier continues to provide the required service.
(a) The subsidy rate generally will be set for a 2-year period, or two consecutive 1-year periods. The Department may set the rate for a shorter period in the following situations:
(1) A commuter air carrier is replacing a larger certificated carrier at the eligible place;
(2) Traffic at the eligible place has substantially decreased;
(3) The Department considers the cost or revenue projections of the carrier for the second year to be unrealistic;
(4) It is likely that there will be changes in the eligible place essential air service level; or
(5) The uncertainties of the market or other circumstances warrant a shorter rate period.
(b) The subsidy rate established for a carrier under this part will not be changed during the rate period unless an adjustment is required in the public interest.
(c) At the end of the rate period, the carrier will not have a continuing right to receive subsidy for providing essential air service at the eligible place.
(a) All air carriers receiving subsidy under this part shall comply with the following:
(1) The Age Discrimination Act of 1975;
(2) The Civil Rights Act of 1964 and 49 CFR part 21; and
(3) The Rehabilitation Act of 1973, 49 CFR part 27, and part 382 of this chapter.
(b) Within 1 year after it first receives a subsidy under this part, the carrier shall evaluate its practices and procedures for accommodating the handicapped in accordance with § 382.23 of this chapter.
(c) All air carriers seeking a subsidy under this part shall include in their subsidy application the assurances required by 49 CFR parts 20, 21, 27 and 29, and § 382.21 of this chapter.
This part applies to cargo operations in interstate air transportation by air carriers certificated under section 41102 or 41103 of 49 U.S.C. Subtitle VII. It also applies to applicants for an all-cargo air transportation certificate under section 41103 of 49 U.S.C. Subtitle VII.
All-cargo air transportation means the transportation by aircraft in interstate air transportation of only property or only mail, or both.
Interstate air transportation means the transportation of passengers or property by aircraft as a common carrier for compensation, or the transportation of mail by aircraft—
(1) Between a place in—
(i) A State, territory, or possession of the United States and a place in the District of Columbia or another State, territory, or possession of the United States;
(ii) Hawaii and another place in Hawaii through the airspace over a place outside Hawaii;
(iii) The District of Columbia and another place in the District of Columbia; or
(iv) A territory or possession of the United States and another place in the same territory or possession; and
(2) When any part of the transportation is by aircraft.
Reporting carrier for Schedule T-100 purposes means the air carrier in operational control of the aircraft, i.e., the carrier that uses its flight crew under its own FAA operating authority.
Section 41102 carrier means an air carrier certificated under section 41102 of 49 U.S.C. Subtitle VII to transport persons, property and mail or property and mail only.
Section 41103 carrier means an air carrier holding a certificate issued under section 41103 of 49 U.S.C. Subtitle VII to provide all-cargo air transportation.
Service, scheduled cargo means transport service operated pursuant to published flight schedules including extra sections. There is no requirement on the number of weekly flights nor is there a requirement that the schedule be published in the Official Airline Guide.
Wet-Lease Agreement means an agreement under which one carrier leases an aircraft with flight crew to another air carrier.
Applications for all-cargo air service certificates shall comply with the provisions of part 201 and subpart B of part 302 of this chapter with regard to filing procedures, and with the provisions of part 204 of this chapter with regard to evidentiary requirements.
The rules in this subpart apply to cargo operations in interstate air transportation performed by air carriers certificated under sections 41102 or 41103 of 49 U.S.C. Subtitle VII. Section 41103 carriers that operate passenger-only or combination aircraft under section 41102, part 298 of this chapter, or other Department authority, must comply with the rules in this subpart in connection with cargo operations in interstate air transportation, whether provided on all-cargo or combination aircraft, operated pursuant to this authority or otherwise. In case a carrier may operate a particular flight under either a section 41102 certificate or a section 41103 certificate, the flight is presumed to be operated under the carrier's section 41103 authority.
No air carrier shall operate all-cargo aircraft or provide all-cargo air transportation unless such carrier has and maintains in effect aircraft accident liability coverage that meets the requirements of part 205 of this chapter.
(a) The provisions of 14 CFR part 249, Preservation of air carrier accounts, records and memoranda, shall apply to all carriers, except that records pertaining to transportation provided on aircraft eligible to be operated under part 298 of this title, and records concerning transportation outside the geographic scope of interstate air transportation, need not be maintained unless required by other Department regulations.
(b) Each carrier shall retain for 1 year a copy of each rate sheet, airwaybill contract, and other document reflecting changed, new, or other previously unreported general or special prices or rules governing the carriage of freight in interstate air transportation (except mail), unless the transportation was performed in accordance with an effective tariff on file with the Department. Each carrier shall retain for 1 year a copy of any formula based on standard weight, mileage, or other method used to determine an individual airbill or contract.
Except for this part and those parts of the Department's Economic Regulations (parts 200 through 299 of this title) specifically referred to in this part, carriers providing cargo operations in interstate air transportation are, with respect to that transportation, relieved from all obligations imposed on air carriers by those economic regulations. Flights operated entirely within interstate air transportation shall be free from those obligations, even though they may also carry shipments to or from points outside that geographic area. This waiver shall not apply to the requirements of part 239 of this title.
The following exemptions, except as otherwise specifically noted, apply only to cargo operations in interstate air transportation. They do not relieve a carrier from obligations derived from other transportation.
(a) Each section 41102 or 41103 air carrier providing cargo operations in interstate air transportation is, with respect to such transportation, exempted from the following portions of 49 U.S.C. Subtitle VII only if and so long as it complies with the provisions of this part and the conditions imposed herein, and to the extent necessary to permit it to conduct cargo operations in interstate air transportation:
(1) Sections 41310, 41705,
(2) Chapter 415, and
(3) Chapter 419 for all-cargo operations under section 41103.
(b) Each air carrier providing cargo operations in interstate air transportation under section 41103 of 49 U.S.C. Subtitle VII is exempted from the provisions of section 41106(a) of 49 U.S.C. Subtitle VII to the extent necessary to permit it to compete for and operate cargo charters in interstate air transportation for the Department of Defense under contracts of more than 30 days' duration.
(c) The Department of Defense is exempted from section 41106(a) of 49 U.S.C. Subtitle VII to the extent necessary to permit it to negotiate and enter into contracts of more than 30 days' duration with any section 41103 carrier for operation of cargo charters in interstate air transportation.
(a) Carriers providing cargo operations in interstate air transportation that also conduct other operations under section 41102 shall comply with the provisions of part 241 of this title.
(b) Carriers providing cargo operations in interstate air transportation under section 41103 certificates shall comply with § 291.42.
(c) Carriers providing cargo operations in interstate air transportation under section 41103, and also providing other services under part 298 of this title, shall report their cargo operations in interstate air transportation operations in accordance with § 291.42, and shall report all other traffic in accordance with the provisions of subpart F of part 298.
(a) General instructions. Carriers operating under section 41103 certificates that are not subject to part 241 of this chapter shall file Form 291-A, “Statement of Operations for Section 41103 Operations”, Schedule T-100, “U.S. Air Carrier Traffic and Capacity Data by Nonstop Segment and On-Flight Market”, and Schedule P-12(a), “Fuel Consumption by Type of Service and Entity” with the Department's Bureau of Transportation Statistics (BTS).
(1) A single copy of the BTS Form 291-A report shall be filed annually with the Office of Airline Information (OAI) for the year ended December 31, to be received on or before February 10 of the immediately following year. A single copy of the monthly BTS Schedule P-12(a) is due at OAI within 20 days after the end of each month. An electronic filing of the monthly Schedule T-100 is due at OAI within 30 days after the end of each month. Due dates falling on a Saturday, Sunday or Federal holiday will become effective on the next work day.
(2) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(b) Statement of Operations and Statistics Summary for section 41103 operations. This statement shall include the following elements:
(1) Total operating revenue, categorized as follows:
(i) Transport revenues from the carriage of property in scheduled and nonscheduled service;
(ii) Transport revenue from the carriage of mail in scheduled and nonscheduled service; and
(iii) Transport-related revenues.
(2) Total operating expenses;
(3) Operating profit or loss, computed by subtracting the total operating expenses from the total operating revenues; and
(4) Net income, computed by subtracting the total operating and nonoperating expenses, including interest expenses and income taxes, from the total operating and nonoperating revenues.
(c) Summary of traffic and capacity statistics. This summary shall include the following elements:
(1) Total revenue ton-miles, which are the aircraft miles flown on each flight stage times the number of tons of revenue traffic carried on that stage. They shall be categorized as follows:
(i) Property; and
(ii) Mail.
(2) Revenue tons enplaned, reflecting the total revenue tons of cargo loaded on aircraft during the annual period;
(3) Available ton-miles, reflecting the total revenue ton-miles available for all-cargo service during the annual period, and computed by multiplying aircraft miles flown on each flight stage by the number of tons of aircraft capacity available for that stage;
(4) Aircraft miles flown, reflecting the total number of aircraft miles flown in cargo service during the annual period;
(5) Aircraft departures performed, reflecting the total number of take-offs performed in cargo service during the annual period; and
(6) Aircraft hours airborne, reflecting the aircraft hours of flight (from takeoff to landing) performed in cargo service during the annual period.
Form 291-A contains the following data elements:
(a) Total operating revenue, categorized as follows:
(1) Transport revenues from the carriage of property in scheduled and nonscheduled service;
(2) Transport revenues from the carriage of mail in scheduled and nonscheduled service; and
(3) Transport-related revenues;
(b) Total operating expenses;
(c) Operating profit or loss, computed by subtracting the total operating expenses from the total operating revenues; and
(d) Net income, computed by subtracting the total operating and nonoperating expenses, including interest expenses and income taxes, from the total operating and nonoperating revenues.
(a) For the purposes of BTS schedule P-12(a), type of service shall be either scheduled service or nonscheduled service as those terms are defined in § 291.45(c)(2) and (3).
(b) For the purpose of this schedule, scheduled service shall be reported separately for:
(1) Intra-Alaskan operations;
(2) Domestic operations, which shall include all operations within and between the 50 States of the United States (except Intra-Alaska), the District of Columbia, the Commonwealth of Puerto Rico and the United States Virgin Islands, or a U.S. territory or possession to a place in any State of the United States the District of Columbia, the Commonwealth of Puerto Rico and the United States Virgin Islands, or a U.S. territory or possession;
(3) International operations are flight stages with one or both terminals outside the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the United States Virgin Islands, or a U.S. territory or possession.
(c) For the purpose of this schedule, nonscheduled service shall be reported separately for domestic operations and international operations as defined in paragraphs (b)(2) and (b)(3) of this section, except that domestic and international Military Airlift Command (MAC) operations shall be reported on separate lines.
(d) The cost data reported on each line shall represent the average cost of fuel, as determined at the station level, consumed in that geographic entity.
(e)(1) The cost of fuel shall include shrinkage, but excludes:
(i) “Throughput” and “in to plane” fees, i.e., service charges or gallonage levies assessed by or against the fuel vendor or concessionaire and passed on to the carrier in a separately identifiable form; and
(ii) Nonrefundable Federal and State excise taxes.
(2) However, “through-put” and “in to plane” charges that cannot be identified or segregated from the cost of fuel shall remain a part of the cost of fuel as reported on this schedule.
(f) Each air carrier shall maintain records for each station showing the computation of fuel inventories and consumption for each fuel type. The periodic average cost method shall be used in computing fuel inventories and consumption. Under this method, an average unit cost for each fuel type shall be computed by dividing the total cost of fuel available (Beginning Inventory plus Purchases) by the total gallons available. The resulting unit cost shall then be used to determine the ending inventory and the total consumption costs to be reported on this schedule.
(g) Where amounts reported for a specific entity include other than Jet A fuel, a footnote shall be added indicating the number of gallons and applicable costs of such other fuel included in amounts reported for that entity.
(h) Where any adjustment(s) recorded on the books of the carrier results in a material distortion of the current month's schedule, carriers shall file a revised Schedule P-12(a) for the month(s) affected.
(a) Each section 41103 all-cargo air carrier shall file Schedule T-100, “U.S. Air Carrier Traffic and Capacity Data by Nonstop Segment and On-Flight Market”.
(b) Schedule T-100 shall be filed monthly.
(1) Schedule T-100 collects summarized flight stage data and on-flight market data for revenue flights. All traffic statistics shall be compiled in terms of each flight stage as actually performed. The detail T-100 data shall be maintained in such a manner as to permit monthly summarization and organization into two basic groupings. First, the nonstop segment information which is to be summarized by equipment type, within class of service, within pair-of-points, without regard to individual flight number. The second grouping requires that the enplanement/deplanement information be broken out into separate units called on-flight market records, which shall be summarized by class of service, within pair-of-points, without regard for equipment type or flight number.
(2) Joint-service operations. The Department may authorize joint-service operations between two direct air carriers. Examples of these joint-service operations are: blocked-space agreements; part-charter agreements; code-sharing agreements; wet-lease agreements, and similar arrangements.
(i) Joint-service operations are reported by the carrier in operational control of the flight, i.e., the carrier that uses its flight crews under its own FAA operating authority. The traffic moving under these agreements is reported on Schedule T-100 the same way as any other traffic on the aircraft.
(ii) If there are questions about reporting a joint-service operation, contact the BTS Assistant Director—Airline Information (fax no. 202 366-3383, telephone no. 202 366-4373). Joint-service operations are reported in Schedule T-100 in accordance with this paragraph (b).
(iii) Operational control. The air carrier in operational control of the aircraft (the carrier that uses its flight crews under its own FAA operating authority) must report joint services.
(c) Service classes. (1) The statistical classifications are designed to reflect the operating characteristics attributable to each distinctive type of service offered. The combination of scheduled and nonscheduled operations with passenger, all-cargo, and military services are placed into service classes as follows:
| Code | Type of service |
|---|---|
| F | Scheduled Passenger/Cargo. |
| G | Scheduled All-Cargo. |
| L | Nonscheduled Civilian Passenger/Cargo/ |
| P | Nonscheduled Civilian Cargo. |
| N | Nonscheduled Military Passenger/Cargo. |
| R | Nonscheduled Military Cargo. |
(2) Scheduled services include traffic and capacity elements applicable to air transportation provided pursuant to published schedules and extra sections of scheduled flights. Scheduled Passenger/Cargo (Service Class F) is a composite of first-class, coach, and mixed passenger/cargo service.
(3) Nonscheduled services include all traffic and capacity elements applicable to the performance of nonscheduled aircraft charters, and other air transportation services not constituting an integral part of services performed pursuant to published flight schedules.
(d) Air transport traffic and capacity elements. Within each of the service classifications, carriers shall report air transport traffic and capacity elements. The elements are reported on segment and/or market records as follows:
| Code | Description | Segment | Market | Computed by DOT |
|---|---|---|---|---|
| Carrier, carrier entity code | S | M | ||
| Reporting period date | S | M | ||
| Origin airport code | S | M | ||
| Destination airport code | S | M | ||
| Service class code | S | M | ||
| Aircraft type code | S | |||
| 110 | Revenue passengers enplaned | M | ||
| 130 | Revenue passengers transported | S | ||
| 140 | Revenue passenger-miles | CFD* | ||
| 210 | Revenue cargo tons enplaned | CFD* | ||
| 217 | Enplaned freight | M | ||
| 219 | Enplaned mail | M | ||
| 230 | Revenue tons transported | CFD* | ||
| 237 | Transported freight | S | ||
| 239 | Transported mail | S | ||
| 240 | Revenue ton-miles | CFD* | ||
| 241 | Revenue ton-miles passenger | CFD* | ||
| 247 | Revenue ton-miles freight | CFD* | ||
| 249 | Revenue ton-miles mail | CFD* | ||
| 270 | Available capacity payload | S | ||
| 280 | Available ton-miles | CFD* | ||
| 310 | Available seats, total | S | ||
| 320 | Available seat-miles | CFD* | ||
| 410 | Revenue aircraft miles flown | CFD* | ||
| 430 | Revenue aircraft miles scheduled | CFD* | ||
| 501 | Inter-airport distance | CFD* | ||
| 510 | Revenue aircraft departures performed | S | ||
| 520 | Revenue aircraft departures scheduled | S | ||
| 610 | Revenue aircraft hours (airborne) | S | ||
| 630 | Aircraft hours (ramp-to-ramp) | S | ||
| 650 | Total aircraft hours (airborne) | S |
* CFD = Computed by DOT from detail Schedule T-100 and T-100(f) data.
(e) These reported items are further described as follows:
(1) Reporting period date. The year and month to which the reported data are applicable.
(2) Carrier, Carrier entity code. Each air carrier shall report its name and entity code (a five digit code assigned by BTS that identifies both the air carrier and its entity) for its particular operations. The Office of Airline Information (OAI) will assign or confirm codes upon request. Such requests should be transmitted by e-mail to T100.Support@DOT.gov.
(3) Service class code. The service class codes are prescribed in section 298.45(c). In general, classes are divided into two broad categories, either scheduled or nonscheduled, where scheduled = F + G and nonscheduled = L + N + P + R.
(4) Record type code. This code indicates whether the data pertain to non-stop segment (record type S) or on-flight market (record type M).
(5) Aircraft type code. This code represents the aircraft types, as described in the BTS' Accounting and Reporting Directives.
(6) Origin, Destination airport code(s). These codes represent the industry designators. An industry source of these industry designator codes is the Official Airline Guide (OAG). OAI assigns codes, upon request, if not listed in the OAG.
(7) 110 Revenue passengers enplaned. The total number of revenue passengers enplaned at the origin point of a flight, boarding the flight for the first time; an unduplicated count of passengers in a market.
(8) 130 Revenue passengers transported. The total number of revenue passengers transported over a single flight stage, including those already on the aircraft from a previous flight stage.
(9) 140 Revenue passenger-miles. Computed by multiplying the inter-airport distance of each flight stage by the number of passengers transported on that flight stage.
(10) 210 Revenue cargo tons enplaned. The total number of cargo tons enplaned. This data element is a sum of the individual on-flight market figures for each of the following categories: 217 Freight and 219 Mail. This element represents an unduplicated count of the revenue traffic in a market.
(11) 217 Enplaned freight. The total weight of revenue freight enplaned at the origin point of a flight, loaded onto the flight for the first time; an unduplicated count of freight in a market.
(12) 219 Enplaned mail. The total weight of mail enplaned at the origin point of a flight, loaded onto the flight for the first time; an unduplicated count of mail in a market.
(13) 230 Revenue tons transported. The number of tons of revenue traffic transported. This element is the sum of the following elements: 231 Passengers transported-total, 237 Freight, and 239 Mail.
(14) 237 Transported freight. The total weight of freight transported over a single flight stage, including freight already on the aircraft from a previous flight stage.
(15) 239 Transported mail. The total weight of mail transported over a single flight stage, including mail already on the aircraft from a previous flight stage.
(16) 240 Revenue ton-miles—total. Ton-miles are computed by multiplying the revenue aircraft miles flown (410) on each flight stage by the number of tons transported on that stage. This element is the sum of 241 through 249.
(17) 241 Revenue ton-miles—passenger. Equals the number of passengers times 200, times inter-airport distance, divided by 2000. A standard weight of 200 pounds per passenger, including baggage, is used for all operations and service classes.
(18) 247 Revenue ton-miles—freight. Equals the volume of freight in whole tons times the inter-airport distance.
(19) 249 Revenue ton-miles—mail. Equals the volume of mail in whole tons times the inter-airport distance.
(20) 270 Available capacity-payload. The available capacity is collected in pounds. This figure shall reflect the payload or total available capacity for passengers, mail and freight applicable to the aircraft with which each flight stage is performed.
(21) 280 Available ton-miles. The aircraft miles flown on each flight stage multiplied by the available capacity on the aircraft in tons.
(22) 310 Available seats. The number of seats available for sale. This figure reflects the actual number of seats available, excluding those blocked for safety or operational reasons. In the domestic entity, report the total available seats in item 130. Scheduled and nonscheduled available seats are reported in item 130.
(23) 320 Available seat-miles. The aircraft miles flown on each flight stage multiplied by the seat capacity available for sale.
(24) 410 Revenue aircraft miles flown. Revenue aircraft miles flown are computed based on the airport pairs between which service is actually performed; miles are generated from the data for scheduled aircraft departures (Code 520) times the inter-airport distances (Code 501).
(25) 430 Revenue aircraft miles scheduled. The number of revenue aircraft miles scheduled. All such data shall be maintained in conformity with the airport pairs between which service is scheduled, whether or not in accordance with actual performance.
(26) 501 Inter-airport distance. The great circle distance, in official statute miles as prescribed in part 247 of this chapter, between airports served by each flight stage. Official inter-airport mileage may be obtained from the Office of Airline Information.
(27) 510 Revenue aircraft departures performed. The number of revenue aircraft departures performed.
(28) 520 Revenue aircraft departures scheduled. The number of revenue aircraft departures scheduled, whether or not actually performed.
(29) 610 Revenue aircraft hours (airborne). The elapsed time, computed from the moment the aircraft leaves the ground until its next landing.
(30) 630 Aircraft hours (ramp-to-ramp). The elapsed time, computed from the moment the aircraft first moves under its own power from the boarding ramp at one airport to the time it comes to rest at the ramp for the next point of landing. This data element is also referred to as ‘block’ and ‘block-to-block’ aircraft hours.
(31) 650 Total aircraft hours (airborne). The elapsed time, computed from the moment the aircraft leaves the ground until it touches down at the next landing. This includes flight training, testing, and ferry flights.
(f) Public availability of Schedule T-100 data. Detailed domestic on-flight market and nonstop segment data in Schedule T-100, except military data, shall be publicly available after processing. Domestic data are defined as data from air transportation operations from a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession to a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession.
(a) Format of reports—(1) Automatic Data Processing (ADP) magnetic tape. Refer to paragraph (d) of this appendix for instructions pertaining to mainframe and minicomputer reporting. The Department will issue “Accounting and Reporting Directives” to make necessary technical changes to these T-100 instructions. Technical changes which are minor in nature do not require public notice and comment.
(2) Microcomputer diskette—(i) Optional specification. If an air carrier desires to use its personal computers (PC's), rather than mainframe or minicomputers to prepare its data submissions, the following specifications for filing data on diskette media apply.
(ii) Reporting medium. Microcomputer ADP data submission of T-100 information must be on IBM compatible disks. Carriers wishing to use a different ADP procedure must obtain written approval to do so from the BTS Assistant Director—Airline Information. Requests for approval to use alternate methods must disclose and describe the proposed data transmission methodology. Refer to paragraph (i) of this appendix for microcomputer record layouts.
(iii) Microcomputer file characteristics. The files will be created in ASCII delimited format, sometimes called Data Interchange Format (DIF). This form of recording data provides for variable length fields (data elements) which, in the case of alphabetic data, are enclosed by quotation marks (“) and separated by a comma (,) or tab. Numeric data elements that are recorded without editing symbols are also separated by a comma (,) or tab. The data are identified by their juxtaposition within a given record. Therefore, each record must contain the exact number of data elements, all of which must be juxtapositionally correct. Personal computer software including most spreadsheets, data base management programs, and BASIC are capable of producing files in this format.
(b) Filing date for reports. The reports must be received at BTS within 30 days following the end of each reporting period.
(c) Address for filing. Data Administration Division, RTS-42, Office of Airline Information, Bureau of Transportation Statistics, U.S. Department of Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590-0001.
(d) ADP format for magnetic tape—(1) Magnetic tape specifications. IBM compatible 9-track EBCDIC recording. Recording density of 6250 or 1600 bpi. The order of recorded information is:
(i) Volume label.
(ii) Header label.
(iii) Data records.
(iv) Trailer label.
(2) [Reserved]
(e) External tape label information. (1) Carrier name.
(2) Report date.
(3) File identification.
(4) Carrier address for return of tape reel.
(f) Standards. It is the policy of the Department to be consistent with the American National Standards Institute and the Federal Standards Activity in all data processing and telecommunications matters. It is our intention that all specifications in this application are in compliance with standards promulgated by these organizations.
(g) Volume, header, and trailer label formats—(1) Use standard IBM label formats. The file identifier field of the header labels should be “T-100.SYSTEM”.
(h) Magnetic tape record layouts for T-100—(1) Nonstop segment record layout.
| Field No. | Positions | Mode | Description |
|---|---|---|---|
| 1 | 1 | 1T | Record type code (S = nonstop segment). |
| 2 | 2-6 | 5T | Carrier entity code. |
| 3 | 7-12 | 6T | Report date (YYYYMM). |
| 4 | 13-15 | 3T | Origin airport code. |
| 5 | 16-18 | 3T | Destination airport code. |
| 6 | 19 | 1T | Service class code (F, G, L, N, P or R). |
| 7 | 20-23 | 4T | Aircraft type code. |
| 8 | 24-28 | 5N | Revenue departures performed (F, G, L, N, P, R510). |
| 9 | 29-38 | 10N | Available capacity payload (lbs) (F, G, L, N, P, R270). |
| 10 | 39-45 | 7N | Available seats (F, L, N310). |
| 11 | 46-52 | 7N | Passengers transported (F, L, N130). |
| 12 | 53-62 | 10N | Rev freight transported (F, G, L, N, P, R237) (in lbs). |
| 13 | 63-72 | 10N | Revenue mail transported (F, G, L, N, P, R239) (in lbs). |
| 14 | 73-77 | 5N | Revenue aircraft departures scheduled (F, G520). |
| 15 | 78-87 | 10N | Rev hrs, ramp-to-ramp (F, G, L, N, P, R630) (in minutes). |
| 16 | 88-97 | 10N | Rev hrs, airborne (F, G, L, N, P, R610) (in minutes). |
T = Text.
N = Numeric.
(2) On-flight market record layout.
| Field No. | Positions | Mode | Description |
|---|---|---|---|
| 1 | 1 | 1T | Record type: M = on-flight market record. |
| 2 | 2-6 | 5T | Carrier entity code. |
| 3 | 7-12 | 4T | Report date (YYYYMM). |
| 4 | 13-15 | 3T | Origin airport code. |
| 5 | 16-18 | 3T | Destination airport code. |
| 6 | 19 | 1T | Service class code (F, G, L, N, P or R). |
| 7 | 20-26 | 7N | Total passengers in market (F, L, N110). |
| 8 | 27-36 | 10N | Rev freight in market (F, G, L, N, P, R217) (in lbs). |
| 9 | 37-46 | 10N | Revenue mail in market (F, G, L, N, P, R219) (in lbs). |
T = Text.
N = numeric.
(i) Record layouts for microcomputer diskettes. The record layouts for diskette are generally identical to those shown for magnetic tape, with the exception that delimiters (quotation marks, tabs and commas) are used to separate fields. It is necessary that the order of fields be maintained in all records.
(1) File characteristics. The files will be created in ASCII delimited format, sometimes called Data Interchange Format (DIF). This form of recording data provides for variable length fields (data elements) which, in the case of alphabetic data, are enclosed by quotation marks (”) and separated by a comma (,) or tab. Numeric data elements that are recorded without editing symbols are also separated by a comma (,) or tab. The data are identified by their juxtaposition within a given record. Therefore, it is critical that each record contain the exact number of data elements, all of which must be juxtapositionally correct. PC software including most spreadsheets, data base management programs, and BASIC produce minidisk files in this format.
(2) File naming conventions for diskettes. For microcomputer reports, each record type should be contained in a separate DOS file on the same physical diskette. The following DOS naming conventions should be followed:
(i) Record type S = SEGMENT.DAT
(ii) Record type M = MARKET.DAT
In case of any violation of any of the provisions of 49 U.S.C. Subtitle VII , or this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding pursuant to section 46101 of 49 U.S.C. Subtitle VII before the Department, or sections 46106 through 46108 of 49 U.S.C. Subtitle VII before a U.S. District Court, as the case may be, to compel compliance therewith; or to civil penalties pursuant to the provisions of section 46301 of 49 U.S.C. Subtitle VII.
(a) Detailed domestic on-flight market data and nonstop segment data, except military data, shall be made publicly available after processing. Domestic data are defined as data from air transportation operations from a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession to a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession. Domestic military operations are reported under service codes N or R.
(b) Detailed international on-flight market and nonstop segment data in Schedule T-100 and Schedule T-100(f) reports, except military data, shall be publicly available immediately following the Department's determination that the database is complete, but no earlier than six months after the date of the data. Military operations are reported under service codes N or R. Data for on-flight markets and nonstop segments involving no U.S. points shall not be made publicly available for three years. Industry and carrier summary data may be made public before the end of six months or the end of three years, as applicable, provided there are three or more carriers in the summary data disclosed. The Department may, at any time, publish international summary statistics without carrier detail. Further, the Department may release nonstop segment and on-flight market detail data by carrier before the end of the confidentiality period as follows:
(1) To foreign governments as provided in reciprocal arrangements between the foreign country and the U.S. Government for exchange of on-flight market and/or nonstop segment data submitted by air carriers of that foreign country and U.S. carriers serving that foreign country.
(2) To parties to any proceeding before the Department under 49 U.S.C. Subtitle VII (Transportation) as required by an Administrative Law Judge or other decision-maker of the Department. Parties may designate agents or consultants to receive the data in their behalf, provided the agents or consultants agree to abide by the disclosure restrictions. Any data to which access is granted pursuant to this provision may be introduced into evidence, subject to the normal rules of admissibility.
(3) To agencies or other components of the U.S. Government for their internal use only.
This part applies to direct air carriers providing scheduled transportation of cargo in foreign air transportation.
For purposes of this part:
Cargo means property other than baggage accompanied or checked by passengers, or mail.
Cargo tariff means a tariff containing rates, charges or provisions governing the application of such rates or charges, or the conditions of service, applicable to the scheduled transportation of cargo in foreign air transportation.
Direct air carrier means an air carrier or foreign air carrier directly engaged in the operation of aircraft under a certificate, regulation, order, exemption or permit issued by the Department or its predecessor, the Civil Aeronautics Board.
Direct air carriers are exempted from the requirement to file cargo tariffs with the Department of Transportation provided in 49 U.S.C. 41504 and 14 CFR Part 221.
(a) The Department, upon complaint or upon its own initiative, may, immediately and without hearing, revoke, in whole or in part, the exemption granted by this part with respect to a carrier or carriers, when such action is in the public interest.
(b) Any such action will be taken in an order issued by the Assistant Secretary for Aviation and International Affairs, and will identify:
(1) The tariff matter to be filed; and
(2) The deadline for carrier compliance.
(c) Revocations under this section will have the effect of reinstating all applicable tariff requirements and procedures specified in the Department's regulations for the tariff material to be filed, unless otherwise specified by Department order.
Carriers holding an effective exemption from the duty to file tariffs under this part shall not, unless otherwise directed by order of the Department, be subject to tariff posting, notification or subscription requirements set forth in 49 U.S.C. 41504 or 14 CFR part 221, except as provided in § 292.21 of this part.
(a) Carriers holding an effective exemption from the duty to file tariffs under this part may incorporate contract terms by reference (i.e. without stating their full text) into the waybill or other document embodying the contract of carriage for the scheduled transportation of cargo in foreign air transportation, provided that:
(1) The notice, inspection, explanation and other requirements set forth in 14 CFR 221.177(a)(1), (a)(2), (a)(4), (b), (c) and (d) are complied with, to the extent applicable, except that the notice required under 14 CFR 221.177(b)(1) shall refer to the title or general nature of the publication(s) or document(s) containing the full text of the referenced terms rather than to “terms and conditions filed in public tariffs with U.S. authorities”;
(b) In addition to other remedies at law, a carrier may not claim the benefit as against a shipper or consignee of, and a shipper or consignee shall not be bound by, any contract term which is incorporated by reference under this part unless the requirements of paragraph (a)(1) of this section are complied with, to the extent applicable; and
(c) The purpose of this section is to set uniform disclosure requirements, which preempt any State requirements on the same subject, for terms incorporated by reference into contracts of carriage for the scheduled transportation of cargo in foreign air transportation.
(a) Cargo rate tariffs on file with the Department, including related classification and/or applicability rules, cease to be effective as tariffs under 49 U.S.C. 41504 and 41510, as well as under the provisions of 14 CFR Part 221, and they are canceled by operation of law.
(b) As of March 1, 1996, all remaining cargo tariffs on file with the Department cease to be effective as tariffs under 49 U.S.C. 41504 and the provisions of 14 CFR part 221, and are cancelled by operation of law. Any such tariffs may be cancelled voluntarily prior to that date. With respect to terms expressly agreed in the contract of carriage, carriers, agents and other persons are relieved from the requirement of adherence to filed tariffs in 49 U.S.C. 41510 and the related provisions of 14 CFR part 221 as of November 30, 1995.
(c) Applications for filing and/or effectiveness of any cargo tariffs pending on November 30, 1995 are dismissed by operation of law. No new filings or applications will be permitted except as provided under § 292.11.
This part applies to air carriers and foreign air carriers providing scheduled transportation of passengers and their baggage in foreign air transportation.
For purposes of this part the definitions in § 221.3 of this chapter apply.
(a) Air carriers and foreign air carriers are exempted from the duty to file passenger tariffs with the Department of Transportation, as required by 49 U.S.C. 41504 and 14 CFR part 221, as follows:
(1) The Assistant Secretary for Aviation and International Affairs will, by notice, issue and periodically update a list establishing the following categories of markets:
(i) In Category A markets, carriers are exempted from the duty to file all passenger tariffs unless they are nationals of countries listed in Category C, or are subject to the provisions of paragraph (c) of this section.
(ii) In Category B markets, carriers are exempted from the duty to file all passenger tariffs except those setting forth one-way economy-class fares and governing provisions thereto, unless they are nationals of countries listed in Category C, or are subject to the provisions of paragraph (c) of this section.
(iii) In Category C markets, carriers shall continue to file all passenger tariffs, except as provided in § 293.10(b);
(2) The Assistant Secretary will list country-pair markets falling in Categories A and C, taking into consideration the factors in paragraphs (a)(2) (i) through (iv) of this section. All country-pair markets not listed in Categories A or C shall be considered to be in Category B and need not be specifically listed.
(i) Whether the U.S. has an aviation agreement in force with that country providing double-disapproval treatment of prices filed by the carriers of the Parties;
(ii) Whether the country's Government has disapproved or deterred U.S. carrier price leadership or matching tariff filings in any market;
(iii) Whether the country's Government has placed significant restrictions on carrier entry or capacity in any market; and
(iv) Whether the country's government is honoring the provisions of the bilateral aviation agreement and there are no significant bilateral problems.
(b) By notice of the Assistant Secretary, new country-pair markets will be listed in the appropriate category, and existing country-pair markets may be transferred between categories.
(c) Notwithstanding a determination that a country is in Category A or B, if the Assistant Secretary finds that effective price leadership opportunities for U.S. carriers are not available between that country and any third country, carriers that are nationals of such country may be required to file tariffs, as provided under part 221 or as otherwise directed in the notice, for some or all of their services between the U.S. and third countries.
(d) Air carriers and foreign air carriers are exempted from the duty to file governing rules tariffs containing general conditions of carriage with the Department of Transportation, as required by 49 U.S.C. 41504 and 14 CFR part 221. A description of the general conditions of carriage will be included in the Assistant Secretary's initial notice.
(e) Notwithstanding paragraph (d) of this section, air carriers and foreign air carriers shall file and maintain a tariff with the Department to the extent required by 14 CFR 203.4 and other implementing regulations.
(f) Authority for determining what rules are covered by paragraph (d) of this section and for determining the filing format for the tariffs required by paragraph (e) of this section is delegated to the Director of the Office of International Aviation.
Each governing rules tariff shall include the following statements:
(a) “Rules herein containing general conditions of carriage are not part of the official U.S. D.O.T. tariff.”
(b) “The rules and provisions contained herein apply only to the passenger fares and charges that the U.S. Department of Transportation requires to be filed as tariffs.”
(a) The Department, upon complaint or upon its own initiative, may, immediately and without hearing, revoke, in whole or in part, the exemption granted by this part with respect to a carrier or carriers, when such action is in the public interest.
(b) Any such action will be taken in a notice issued by the Assistant Secretary for Aviation and International Affairs, and will identify the tariff matter to be filed, and the deadline for carrier compliance.
(c) Revocations under this section will have the effect of reinstating all applicable tariff requirements and procedures specified in the Department's Regulations for the tariff material to be filed, unless otherwise specified by the Department.
To the extent that a carrier holds an effective exemption from the duty to file tariffs under this part, it shall not, unless otherwise directed by order of the Department, be subject to tariff posting, notification or subscription requirements set forth in 49 U.S.C. 41504 or 14 CFR part 221, except as provided in § 293.21.
Carriers holding an effective exemption from the duty to file tariffs under this part may incorporate contract terms by reference (i.e., without stating their full text) into the passenger ticket or other document embodying the contract of carriage for the scheduled transportation of passengers in foreign air transportation, provided that:
(a) The notice, inspection, explanation and other requirements set forth in 14 CFR 221.107, paragraphs (a), (b), (c) and (d) are complied with, to the extent applicable;
(b) In addition to other remedies at law, a carrier may not claim the benefit under this section as against a passenger, and a passenger shall not be bound by incorporation of any contract term by reference under this part, unless the requirements of paragraph (a), of this section are complied with, to the extent applicable; and
(c) The purpose of this section is to set uniform disclosure requirements, which preempt any State requirements on the same subject, for incorporation of terms by reference into contracts of carriage for the scheduled transportation of passengers in foreign air transportation.
(a) One hundred and eighty days after the date of effectiveness of the Assistant Secretary's notice, passenger tariffs on file with the Department covered by the scope of the exemption will cease to be effective as tariffs under 49 U.S.C. 41504 and 41510, and the provisions of 14 CFR part 221, and will be canceled by operation of law.
(b) One hundred and eighty days after the date of effectiveness of the Assistant Secretary's notice, pending applications for filing and/or effectiveness of any passenger tariffs covered by the scope of the exemption, will be dismissed by operation of law. No new filings or applications will be permitted after the date of effectiveness of the Assistant Secretary's notice except as provided under § 293.12.
This part establishes a classification of foreign air carriers known as “Canadian charter air taxi operators,” and establishes registration procedures for these carriers operating or seeking to operate transborder services between Canada and the United States. This part also exempts Canadian charter air taxi operators from certain provisions of the Subtitle VII of Title 49 of the United States Code (Transportation), and establishes rules applicable to their operations in the United States. This part does not provide exemption from the safety regulatory provisions of 49 U.S.C. Subtitle VII that are administered by the U.S. Department of Transportation through the Federal Aviation Administration (FAA), and Canadian charter air taxi operators in the conduct of their operations must observe all applicable safety standards and requirements.
As used in this part:
(a) Agreement means the Air Transport Agreement Between the Government of the United States and the Government of Canada, signed at Ottawa, February 24, 1995, with Annexes and any amendments, supplements, reservations, or supersessions to it.
(b) Canadian charter air taxi operator means a foreign air carrier that is substantially owned and effectively controlled by Canadian citizens, the Government of Canada, or both, whose foreign air transportation operations are limited to charter air service between points in Canada and points in the United States, and that does not use large aircraft in those operations.
(c) Charter air service means nonscheduled commercial air transportation of persons and their accompanied baggage, and of property, on a time, mileage, or trip basis where the entire planeload capacity of one or more aircraft has been engaged, or the transportation of mail by aircraft.
(d) Large aircraft means any aircraft that are not small aircraft as defined in this section.
(e) Maximum authorized takeoff weight has the meaning assigned to it in regulations of the Canadian Transport Commission.
(f) Maximum certificated takeoff weight means the maximum takeoff weight authorized by the terms of the aircraft airworthiness certificate. This weight may be found in the airplane operating record or in the airplane flight manual that is incorporated by regulation into the airworthiness certificate.
(g) Maximum passenger capacity means the maximum number of passenger seats for which an aircraft is configured.
(h) Maximum payload capacity means the maximum certificated takeoff weight of an aircraft less the empty weight as defined in section 03 of part 241 of this chapter, less all justifiable aircraft equipment, and less the operating load (consisting of minimum fuel load, oil, flight crew, steward's supplies, etc.). For purposes of this part, the allowance for weight of the crew, oil and fuel is as follows:
(1) Crew—200 pounds per crew member required under FAA regulations in 14 CFR chapter I, (2) oil—350 pounds, (3) fuel—the minimum weight of fuel required under FAA regulations in 14 CFR chapter I for a flight between domestic points 200 miles apart, assuming VFR weather conditions and flights not involving extended overwater operations. However, in the case of aircraft for which a maximum zero fuel weight is prescribed by the FAA, maximum payload capacity means the maximum zero fuel weight less the empty weight, less all justifiable aircraft equipment, and less the operating load (consisting of minimum flight crew, steward's supplies, etc., but not including disposable fuel or oil).
(2) [Reserved]
(i) Small aircraft means any aircraft designed to have:
(1) A maximum passenger capacity of not more than 30 seats and a maximum payload capacity of not more than 7,500 pounds, and/or
(2) maximum authorized takeoff weight on wheels not greater than 35,000 pounds.
A Canadian charter air taxi operator shall conduct charter air service between the United States and Canada only if it:
(a) Has been registered by the Department under this part;
(b) Does not directly or indirectly utilize large aircraft in charter air services;
(c) Has and maintains in effect liability insurance coverage that complies with the requirements set forth in subpart E of this part and has and maintains a current certificate of insurance evidencing such coverage on file with the Department;
(d) Has and maintains in effect and on file with the Department a signed counterpart of Agreement 18900 (OST Form 4523) and complies with all other requirements of part 203 of this chapter;
(e) Has effective authority from the Government of Canada to conduct charter air service between the United States and Canada.
(f) Has been granted Federal Aviation Administration operations specifications required under part 129 of this title (the Federal Aviation Regulations);
(g) Is substantially owned and effectively controlled by Canadian citizens, or the Government of Canada, or a combination of both; and
(h) Complies with the terms, conditions, and limitations of this part.
Canadian charter air taxi operators registered under this part are exempt from the following provisions of 49 U.S.C. Subtitle VII to the extent necessary to perform charter air service between the United States and Canada, and as long as they comply with the terms, conditions, and limitations of this part:
(a) Section 41302 (permits).
(b) Section 41501 (carrier's duty to observe reasonable rates).
(c) Section 41310 (discrimination).
(d) Section 41313 (aviation disaster family assistance plans for foreign air carriers).
To apply for registration under this part, a Canadian charter air taxi operator shall file with the Department's Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, the following:
(a) A currently effective certificate of insurance (see § 294.40); and
(b) Three copies of OST Forms 4523 and 4505, which may be obtained from the Department's Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division. All the information required by OST Form 4505 shall be filled in, and it shall be certified by a responsible officer of the applicant Canadian charter air taxi operator.
(a) The Department will list the names and addresses of all persons applying for registration under this part in its Weekly Summary of Filings.
(b) Any person objecting to the registration of a Canadian charter air taxi operator shall file an objection with the Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, and serve a copy on the applicant within 28 days after the Department receives the properly completed registration application. Objections shall include any facts and arguments upon which they are based.
(c) Any answers to objections shall be filed within 14 days after the date that the objections were due.
(d) After receipt of OST Form 4505, the Department may request additional information.
(e) After the period for objections and answers has expired, the Department will take one of the following actions:
(1) Issue the registration by stamping its effective date on OST Form 4505 and sending a copy of it to the carrier.
(2) Reject the application for failure to comply with this part;
(3) Issue the registration subject to such terms, conditions, or limitations as may be consistent with the public interest; or
(4) Institute evidentiary proceedings to consider whether the registration should be issued.
(f) An action described in paragraph (e) of this section will normally be taken within 60 days after the registration application is received. The Department will consider requests for faster action that include a full explanation of the need for expedited action.
(g) A registration shall not be issued until the Department receives evidence that the applicant has effective authority issued by the Government of Canada. The applicant must provide copies of its Air Carrier Operating certificate and non-scheduled international license issued by the Government of Canada.
(h) Rejection of an application for registration will not preclude the filing of a new application by the same carrier.
Registrants shall refile a copy of OST Form 4505 with the Department's Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, upon any of the following events. The refiling shall be sent by electronic mail, or other means, so as to be received by the Department not later than 30 days after the reported event has occurred.
(a) The carrier changes its name. When a carrier refiles OST Form 4505 to indicate a change of name:
(1) A registration ceases to be in effect unless the Government of Canada amends the registrant's Air Carrier Operating Certificate to reflect the registrant's new name within 60 days of the name change and the registrant submits to the Department a copy of its amended Canadian authority.
(2) The registrant must also refile three copies of Agreement 18900 (OST Form 4523) under its new name;
(3) The registrant must also refile its certificate of insurance under its new name; and
(4) The registrant must also advise the appropriate FAA office referred to in § 294.33 of the carrier's new name.
(b) The carrier changes its designated agent.
(c) A change occurs in the carrier's ownership and control resulting in a person acquiring a beneficial or voting interest in the registrant of 10 percent or more. The name(s), address(es), citizenship(s), and percentages of ownership of the new owners shall be indicated on the form. Acquisition of ownership interest by persons who are not citizens of the country of citizenship of the registrant may invalidate the registration.
(d) The carrier temporarily or permanently ceases operations.
(a) Upon fulfillment of the requirements of § 294.3 of this part, the registrant will have Department authority to engage in charter air services between any point or points in Canada and any point or points in the United States using small aircraft.
(b) Nothing in this part shall be construed as authorizing the operation of large aircraft in charter air service, and the exemption provided by this part to Canadian charter air taxi operators that register with the Department extends only to the direct operations of charter air service in accordance with the limitations and conditions of this part using aircraft designed to have:
(1) A maximum passenger capacity of no more than 30 seats and a maximum payload capacity of no more than 7,500 pounds, and/or
(2) A maximum authorized takeoff weight on wheels not greater than 35,000 pounds.
(c) A Canadian charter air taxi operator shall not use large aircraft for charter air service until it has been granted a permit by the Department under section 41302 of 49 U.S.C. Subtitle VII or granted an exemption under 49 U.S.C. 40109 of 49 U.S.C. Subtitle VII. Its application for such a permit or exemption should refer to the registration under this part. Registration under this part will be canceled when a section 41302 permit has been granted by the Department for the use of large aircraft in foreign charter air service.
(a) A Canadian charter air taxi operator, in holding out charter air service to the public and performing its charter operations, shall do so only in the names in which its registration is issued under this part. The Department may require a Canadian charter air taxi operator to change such names where they appear to be inconsistent with the public interest.
(b) [Reserved]
When a Canadian charter air taxi operator performs a Public Charter under part 380 of this chapter, either:
(a) The Canadian charter air taxi operator shall meet the bonding or escrow requirements applicable to foreign air carriers as set forth in § 212.8 of this chapter.
(b) The Canadian charter air taxi operator shall ensure that it does not receive any payments for the charter until after the charter has been completed. In this case, its contracts with the charter operator and the charter operator's depository bank, if any, shall state that the charter operator or bank, as applicable, shall retain control of and responsibility for all participant funds intended for payment for charter air service until after the charter has been completed, notwithstanding any provision of part 380.
(a) Registrants under this part shall obtain FAA operations specifications required under part 129 or other applicable rules of this title (the Federal Aviation Regulations) prior to beginning operations into the United States. Registrants should write to the FAA office at one of the following addresses to obtain instructions on how to apply for FAA authority.
(b) If the registrant's business address is located on or east of 76 degrees West Longitude (in or east of Ottawa, Ontario) it should write to: Federal Aviation Administration, General Aviation District Office No. 1, Albany County Airport, Albany, New York 12211.
(c) If the registrant's business address is located on or east of 100 degrees West Longitude (in or east of Winnipeg, Manitoba) and west of 76 degrees West Longitude (west of, but not including, Ottawa, Ontario) it should write to: Federal Aviation Administration, Flight Standards District Office, 1 Airport Way, Rochester, New York 14624.
(d) If the registrant's business address is west of Winnipeg, Manitoba, it should write to: Federal Aviation Administration, General Aviation District Office, 1601 Lind Avenue, SW., Renton, Washington 98055.
The Department, by order or regulation and without hearing, may require advance approval of individual charter trips conducted by the registrant under the authority granted by this part, if it finds such action to be consistent with the public interest.
No Canadian charter air taxi operator shall engage in charter air service unless such carrier has and maintains in effect aircraft accident liability coverage that meets the requirements of part 205 of this chapter. Evidence of such insurance coverage, in the form of a certificate of insurance, as required in part 205 of this chapter, shall be maintained on file with the Department's Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, at all times.
The registration of a carrier subject to this part may be revoked, canceled, suspended, modified, or otherwise subjected to additional terms and conditions by the Department if:
(a) The carrier files with the Department a written notice that it is discontinuing operations;
(b) The carrier is the holder of a section 41302 permit to perform large aircraft charters under the Agreement;
(c) Substantial ownership or effective control is acquired by persons who are not (1) citizens of Canada, (2) the Government of Canada, or (3) a combination of both;
(d) The Government of Canada terminates or suspends authority it granted to the registrant to conduct charter air service between the United States and Canada.
(e) The Agreement between the two countries is terminated;
(f) The registrant fails to have proper insurance coverage, or fails to file or keep a current insurance certificate on file with the Department;
(g) The registrant fails to comply with the terms, conditions, or limitations of this part;
(h) The carrier's operations specifications issued by the FAA are suspended or terminated;
(i) The Department finds that it is in the public interest to do so.
A Department order under § 294.50 (e), (g) or (i) shall be subject to stay or disapproval by the President within 60 days.
(a) Where the terms, conditions, or limitations of this part, particularly § 294.81, require prior approval of individual flights or charter programs, the registrant shall apply for such approval by filing three copies of OST Form 4540 with the Office of International Aviation, Foreign Air Carrier Licensing Division. OST Form 4540 may be obtained from the Foreign Air Carrier Licensing Division.
(b) Action on the application for authorization filed under paragraph (a) of this section will normally be taken within 30 days after the application is filed. The Department will consider requests for faster action that include a full explanation of the need for expedited action.
The Department upon application or on its own initiative may waive any of the provisions of this part if it finds such action to be in the public interest.
In case of any violation of any of the provisions of 49 U.S.C. Subtitle VII , or this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding under section 46101 of 49 U.S.C. Subtitle VII before the Department, or sections 46106 through 46108 of 49 U.S.C. Subtitle VII before a U.S. District Court, as the case may be, to compel compliance; or to impose civil penalties under the provisions of section 46301 of 49 U.S.C. Subtitle VII; or in the case of a willful violation, to impose criminal penalties under the provisions of section 46316 of 49 U.S.C. Subtitle VII; or to impose other lawful sanctions, including revocation of registration.
By accepting an approved registration under this part, a registrant waives any right it may possess to assert any defense of sovereign immunity in any action or proceeding instituted against it in any court or other tribunal in the United States based upon any claim arising out of its operations under this part.
(a) Except as set forth in paragraph (b) of this section or § 294.60, a registrant shall not carry passengers, cargo, or mail between two or more United States points for compensation or hire.
(b) A registrant may grant stopover privileges at any point or points in the United States to passengers and their accompanied baggage as part of a single continuous operation to or from Canada.
A registrant shall not operate any aircraft under this part unless it:
(a) Complies with operational safety requirements at least equivalent to Annex 6 of the Chicago Convention;
(b) Complies with all applicable provisions of the Agreement; and
(c) Complies with all applicable provisions of any treaty, convention, or agreement affecting international air transportation to which the United States and Canada are parties.
Registrants shall conform to the airworthiness and airman competency requirements prescribed by the Government of Canada for Canadian international air service.
(a) Registrants may perform U.S.-originating charters authorized under Annex B (III)(A) of the Agreement as follows: Commercial air transportation of passengers and their accompanied baggage, and of property, on a time, mileage, or trip basis, where the entire planeload capacity of one or more aircraft has been engaged by a person for his own use or by a person for the transportation of a group of persons and/or their property, as agent or representative of such group, or other small aircraft operations as may be authorized under any amendments, supplements, reservations, or supersessions of the Agreement.
(b) Registrants may perform Canadian-originating charters authorized by Annex B (III)(B) of the Agreement and any amendments, supplements, reservations or supersessions of it. Such charters may be performed only to the extent authorized by the Air Carrier Regulations of the Canadian Transport Commission applicable to operations by small aircraft.
A registrant shall not engage in flights for the purpose of industrial or agricultural operations (e.g., crop dusting, pest control, pipeline patrol, mapping, surveying, banner towing, skywriting, aerial photography) within the United States unless it has obtained a permit from the Department under part 375 of this chapter.
A registrant shall not, in the performance of operations authorized by this part, use any aircraft or conduct any operations except in accordance with the authority and conditions contained in the registrant's applicable Canadian licenses.
Air charter brokers, defined as an indirect air carrier, foreign indirect air carrier or a bona fide agent, provide indirect air transportation of passengers on single entity charters aboard large and small aircraft. This part grants exemptions to such air charter brokers from certain provisions of Subtitle VII of Title 49 of the United States Code (Transportation), and establishes rules, including consumer protection provisions, for the provision of such air transportation by air charter brokers.
This part applies to any person or entity acting as an air charter broker as defined in this part with respect to single entity charter air transportation that the air charter broker, as an indirect air carrier, foreign indirect air carrier, or a bona fide agent, holds out, sells or undertakes to arrange aboard large and small aircraft.
For the purposes of this part:
(a) Air transportation means interstate or foreign air transportation, as defined in 49 U.S.C. 40102(a)(5), 40102(a)(23), and 40102(a)(25).
(b) Air charter broker means a person or entity that, as an indirect air carrier, foreign indirect air carrier, or a bona fide agent, holds out, sells, or arranges single entity charter air transportation using a direct air carrier.
(c) Bona fide agent means a person or entity that acts as an agent on behalf of a single entity charterer seeking air transportation or a direct air carrier seeking to provide single entity charter air transportation, when such charterer or direct air carrier, as principal, has appointed or authorized such agent to act on the principal's behalf.
(d) Charterer means the person or entity that contracts with an air charter broker, direct air carrier, or foreign direct air carrier, for the transportation of the passengers flown on a charter flight.
(e) Charter air transportation means charter flights in air transportation authorized under Part A of Subtitle VII of Title 49 of the United States Code.
(f) Direct air carrier and foreign direct air carrier mean a U.S. or foreign air carrier that provides or offers to provide air transportation and that has control over the operational functions performed in providing that transportation.
(g) Indirect air carrier and foreign indirect air carrier mean a person or entity that, as a principal, holds out, sells, or arranges air transportation and separately contracts with direct air carriers and/or foreign direct air carriers.
(h) Single entity charter means a charter for the entire capacity of the aircraft, the cost of which is borne by the charterer and not directly or indirectly by individual passengers, except when individual passengers self-aggregate to form a single entity for flights to be operated using small aircraft.
(i) Statute means Subtitle VII of Title 49 of the United States Code (Transportation).
(j) Large aircraft means any aircraft originally designed to have a maximum passenger capacity of more than 60 seats or a maximum payload capacity of more than 18,000 pounds.
(k) Small aircraft means any aircraft originally designed to have a maximum passenger capacity of 60 seats or fewer or a maximum payload capacity of 18,000 pounds or less.
An air charter broker acting as an indirect air carrier or foreign indirect air carrier may choose to act as a bona fide agent in individual cases where a charterer, direct air carrier, or foreign direct air carrier has expressly authorized such agency relationship.
To the extent necessary to permit air charter brokers, acting as indirect air carriers or foreign indirect air carriers, to hold out, sell, and undertake to arrange single entity charter air transportation, such air charter brokers are exempted from the following provisions of Subtitle VII of Title 49 of the United States Code, except for the provisions noted, only if and so long as they comply with the provisions and the conditions imposed by this part: 49 U.S.C. 41101-41113, 49 U.S.C. 41301-41313, and 49 U.S.C. 41501-41511. Air charter brokers are not exempt from the following provision: 49 U.S.C. 41310 (nondiscrimination) with respect to foreign air transportation.
The Department reserves the power to alter, suspend, or revoke the exemption authority of any air charter broker acting as an indirect air carrier, without a hearing, if it finds that such action is in the public interest or is otherwise necessary to protect the traveling public.
Air charter brokers are not authorized under this part to hold out, sell, or otherwise arrange charter air transportation to be operated by a person or entity that does not hold the requisite form of economic authority from the Department and appropriate safety authority from the Federal Aviation Administration and, if applicable, a foreign safety authority. Air charter brokers are not authorized under this part to hold out, sell, or arrange air transportation to be performed by a direct air carrier or direct foreign air carrier that the direct carrier is not authorized in its own right to hold out, sell, or operate. Only direct air carriers that are citizens of the United States as defined in 49 U.S.C. 40102(a)(15) may provide direct air transportation operations in interstate or intrastate air transportation.
An air charter broker shall not engage in any unfair or deceptive practice or unfair method of competition.
(a) All solicitation materials and advertisements, including internet web pages, published or caused to be published by air charter brokers shall clearly and conspicuously state that the air charter broker is an air charter broker, and that it is not a direct air carrier or a direct foreign air carrier in operational control of aircraft, and that the air service advertised shall be provided by a properly licensed direct air carrier or direct foreign air carrier.
(b) Air charter brokers may display their name and logo on aircraft provided the name of the direct air carrier is displayed prominently and clearly on the aircraft and consumers are not otherwise misled into thinking that the air charter broker is a direct air carrier or direct foreign air carrier.
(a) Before entering a contract for a specific flight or series of flights with charterers, air charter brokers must disclose to the charterer the information in paragraphs (a)(1),(2), and (6) of this section. Before entering a contract for a specific flight or series of flights with charterers, air charter brokers must, upon request of the charterer, disclose to the charterer the information in paragraphs (a)(3), (4), and (5) of this section. The six disclosures may be accomplished through electronic transmissions.
(1) The corporate name of the direct air carrier or direct foreign air carrier in operational control of the aircraft on which the air transportation is to be performed and any other names in which that direct carrier holds itself out to the public.
(2) The capacity in which the air charter broker is acting in contracting for the air transportation, i.e., as an indirect air carrier, indirect foreign air carrier, as an agent of the charterer, or as an agent of the direct air carrier or direct foreign air carrier that will be in operational control of the flight.
(3) If the air charter broker is acting as the agent of the charterer, the air charter broker must disclose the existence of any corporate or business relationship, including a preexisting contract, between the air charter broker and the direct air carrier or direct foreign air carrier that will be in operational control of the flight that may have a bearing on the air charter broker's selection of the direct carrier that will be in operational control of the flight.
(4) The total cost of the air transportation paid by the charterer to or through the air charter broker, including any air charter broker or carrier-imposed fees or government-imposed taxes and fees. Specific individual fees, taxes, or costs may, but are not required to be itemized.
(5) The existence of any fees and their amounts collected by third-parties, if known (or a good faith estimate if not known), including fuel, landing fees, and aircraft parking or hangar fees, for which the charterer will be responsible for paying directly.
(6) The existence or absence of liability insurance held by the air charter broker covering the charterer and passengers and property on the charter flight, and the monetary limits of any such insurance.
(b) If any of the information in paragraph (a) of this section that is required to be disclosed to the charterer or requested by the charterer to be disclosed is not known at the time the contract is entered into or changes thereafter, air charter brokers must provide the information to the charterer within a reasonable time after such information becomes available to the air charter broker, such that the charterer has enough time to make an informed decision as to whether to accept the additional information or accept the change.
(c) If the information in paragraph (a) of this section that is required to be disclosed to the charterer or requested by the charterer to be disclosed is not provided to the charterer within a reasonable time after such information becomes available to the air charter broker, air charter brokers must provide the charterer with the opportunity to cancel the contract for charter air transportation, including any services in connection with such contract, and receive a full refund of any monies paid for the charter air transportation and services.
(d) In all circumstances, air charter brokers must disclose prior to the start of the air transportation the information in paragraph (a) of this section that is required to be disclosed or that the charterer has requested to be disclosed.
(e) If the information in paragraph (a) of this section that is required to be disclosed to the charterer or requested by the charterer to be disclosed changes after the air transportation covered by the contract has begun, air charter brokers must provide information regarding any such changes to the charterer within a reasonable time after such information becomes available to the air charter broker.
(f) If the changes in information described in paragraph (e) of this section are not provided to the charterer within a reasonable time after becoming available to the air charter broker, air charter brokers must provide the charterer with the opportunity to cancel the remaining portion of the contract for charter air transportation, including any services paid in connection with such contract, and receive a full refund of any monies paid for the charter air transportation and services not yet provided.
Air charter brokers must make prompt refunds of all monies paid for charter air transportation when such transportation cannot be performed or when such refunds are otherwise due, as required by 14 CFR 374.3 and 12 CFR part 226 for credit card purchases, and within 20 days after receiving a complete refund request for cash and check purchases.
(a) Violations of this Part shall be considered to constitute unfair or deceptive practices or unfair methods of competition in violation of 49 U.S.C. 41712.
(b) In addition to paragraph (a) of this section, the following enumerated practices, among others, by an air charter broker are unfair or deceptive practices or unfair methods of competition in violation of 49 U.S.C. 41712:
(1) Misrepresentations that may induce members of the public to reasonably believe that the air charter broker is a direct air carrier or direct foreign air carrier when that is not the case.
(2) Misrepresentations as to the quality or kind of service or type of aircraft.
(3) Misrepresentations as to the time of departure or arrival, points served, route to be flown, stops to be made, or total trip-time from point of departure to destination.
(4) Misrepresentations as to the qualifications of pilots or safety record or certification of pilots, aircraft, or air carriers.
(5) Misrepresentations that passengers are directly insured when they are not so insured. For example, where the only insurance in force is that protecting the direct air carrier or air charter broker in event of liability.
(6) Misrepresentations as to fares or charges for air transportation or services in connection therewith.
(7) Misrepresentations as to membership in or involvement with an organization that audits air charter brokers, direct air carriers, or direct foreign air carriers, or that the air charter broker or any direct carriers to be used for a particular flight meets a standard set by an auditing organization.
(8) Representing that a contract for a specified direct air carrier, direct foreign air carrier, aircraft, flight, or time has been arranged without a binding commitment with a direct air carrier or direct foreign air carrier for the furnishing of such transportation as represented.
(9) Selling or contracting for air transportation while knowing or having reason to know or believe that such air transportation cannot be legally performed by the direct air carrier or foreign direct air carrier that is to perform the air transportation.
(10) Misrepresentations as to the requirements that must be met by charterers to qualify for charter flights.
(11) Using or displaying or permitting or suffering to be used or displayed the name, trade name, slogan or any abbreviation thereof, of the air charter broker in advertisements, on or in places of business, or on or in aircraft or any other place in connection with the name of an air carrier or foreign air carrier or with services in connection with air transportation, in such manner that it may mislead or confuse potential consumers with respect to the status of the air charter broker.
In case of any violation of any of the provisions of the Statute, or of this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding under 49 U.S.C. 46101 before the Department, or 49 U.S.C. 46106-46108 before a U.S. District Court, as the case may be, to compel compliance. The violator may also be subject to civil penalties under the provisions of 49 U.S.C. 46301, or other lawful sanctions, including revocation of the exemption authority granted in this part. In the case of a willful violation, the violator may be subject to criminal penalties under the provisions of 49 U.S.C. 46316.
This part establishes rules for the indirect air transportation of property. It creates a class of air carriers to provide this air transportation and grants exemptions from certain provisions of the Subtitle VII of Title 49 of the United States Code (Transportation).
This part applies to air transportation of property by indirect cargo air carriers, and to persons entering into control relationships with indirect cargo air carriers.
An indirect cargo air carrier is any U.S. citizen who undertakes to engage indirectly in air transportation of property, and uses for the whole or any part of such transportation the services of an air carrier or a foreign air carrier that directly engages in the operation of aircraft under a certificate, regulation, order, or permit issued by the Department of Transportation or its predecessor to the extent that those actions, by law, are still in effect, or the services of its agent, or of another indirect cargo air carrier.
Nothing in this part shall preclude joint loading, meaning the pooling of shipments and their delivery to a direct air carrier for transportation as one shipment, under an agreement between two or more indirect air carriers or foreign indirect air carriers.
An indirect cargo air carrier may act as agent of a shipper, or of a direct air carrier that has authorized such agency, rather than as an air carrier, if it expressly reserves the option to do so when the shipment is accepted.
Every indirect cargo air carrier shall give notice in writing to the shipper, when any shipment is accepted, of the existence or absence of cargo liability accident insurance, and of the limits on the extent of its liability, if any. The notice shall be clear and conspicuously included on or attached to all of its rate sheets and airwaybills.
(a) Indirect cargo air carriers are exempted from the provisions of 49 U.S.C. Subtitle VII only if and so long as they comply with the provisions of this part and its conditions, and to the extent necessary to permit them to organize and arrange their air freight shipments to provide indirect air transportation, except for the following sections:
(1) Section 41510(b) (solicitation of rebates). However, indirect cargo air carriers are exempt from section 41510(b) to the extent necessary to permit them to solicit, accept, or receive fees from direct air carriers.
(2) Section 41702 to the extent required to provide safe service, equipment, and facilities in connection with air transportation.
(3) Section 41310 (nondiscrimination) with respect to foreign air transportation.
(4) Section 41708 (accounts, records, and reports) and section 41709 (inspection of accounts and property);
(5) Section 41712 (unfair or deceptive practices or method of competition);
(6) Section 40102(b) (form of control); and
(7) Section 41711 (inquiry into air carrier management).
(b)-(c) [Reserved]
(d) Direct air carriers are exempted from Chapter 415 of 49 U.S.C. Subtitle VII to the extent necessary to permit them to pay, directly or indirectly, fees to indirect cargo air carriers.
In case of any violation of any of the provisions of 49 U.S.C. Subtitle VII, or of this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding under section 46101 of 49 U.S.C. Subtitle VII before the Department, or sections 46106 through 46108 of 49 U.S.C. Subtitle VII before a U.S. District Court, as the case may be, to compel compliance. The violator may also be subject to civil penalties under the provisions of section 46301 of 49 U.S.C. Subtitle VII, or other lawful sanctions.
This part establishes registration procedures and operating rules for foreign air carriers that engage indirectly in interstate or foreign air transportation of property. It relieves these carriers from certain provisions of Subtitle VII of Title 49 of the United States Code (Transportation), and establishes simplified reports for them.
This part applies to interstate air transportation of property and to foreign air transportation of property outbound from the United States by foreign indirect air carriers. It also applies to applications for registration as a foreign indirect air carrier of property.
For purpose of this part:
(a) Foreign air freight forwarder means a foreign indirect air carrier that is responsible for the transportation of property from the point of receipt to point of destination, and utilizes for the whole or any part of such transportation the services of a direct air carrier or its agent, of another foreign indirect cargo air carrier as defined in part 296 of this chapter.
(b) Foreign cooperative shippers association means a bona fide association of shippers operating as a foreign indirect air carrier on a nonprofit basis that undertakes to ship property by air for the account of such association or its members, and utilizes for the whole or any part of such transportation the services of a direct air carrier or its agent, of a foreign indirect cargo air carrier as defined in part 296 of this chapter.
(c) Direct air carrier means an air carrier or foreign air carrier directly engaged in the operation of aircraft under a certificate, regulation, order, or permit issued by the Department of Transportation or the Civil Aeronautics Board.
(d) Foreign indirect air carrier means any person, not a citizen of the United States, who undertakes indirectly to engage in the air transportation of property.
Nothing in this part shall preclude joint loading, meaning the pooling of shipments and their delivery to a direct air carrier for transportation as one shipment, under an agreement between two or more indirect air carriers or foreign indirect air carriers.
A foreign air freight forwarder may act as agent of a shipper, or of a direct air carrier that has authorized such agency, if it expressly reserves the option to do so when the shipment is accepted. A foreign air freight forwarder shall not act as the agent of any direct air carrier with respect to shipments accepted for forwarding.
A foreign cooperative shippers association may act as agent of a shipper, or of a direct air carrier that has authorized such agency, if it expressly reserves the option to do so when the shipment is accepted. A cooperative shippers association shall not act as an agent of any direct air carrier with respect to shipments accepted in its capacity as an indirect air carrier.
(a) Foreign indirect air carriers with an effective registration under this part are exempted from the following provisions of 49 U.S.C. Subtitle VII only if and so long as they comply with the provisions of this part and the conditions imposed herein, and to the extent necessary to permit them to arrange their air freight shipments:
(1) Section 41302 (Permits);
(2) Sections 41504 and 41510(a) (Tariffs);
(3) Section 41510(b) (Solicitation of rebates) to the extent necessary to permit them to solicit, accept, or receive fees from direct air carriers;
(4) Section 41501 (Carrier's duty to establish just and reasonable rates, etc.); and
(5) If awarded interstate air transportation operating rights, any other provision of 49 U.S.C. Subtitle VII that would otherwise prohibit them from engaging in the interstate indirect air transportation of property.
(6) Section 41310 (nondiscrimination) with respect to interstate and overseas air transportation.
(b) Direct air carriers are exempted from Chapter 415 of 49 U.S.C. Subtitle VII to the extent necessary to permit them to pay, directly or indirectly, fees to foreign air freight forwarders and foreign cooperative shippers associations on consolidated shipments.
The Department declines to exercise its jurisdiction over foreign indirect air carriers of property with respect to shipments that originate in a foreign country. The Department reserves the right to exercise its jurisdiction over any foreign indirect air carrier of property at any time it finds that such action is in the public interest.
(a) The direct air transportation provided must be performed by direct air carriers that hold authority under section 41102, 41103, 41302, or 41701 of 49 U.S.C. Subtitle VII or are operating under part 298 of this chapter;
(b) Only U.S. citizen direct air carriers may provide direct air transportation operations in interstate air transportation.
(c) Foreign indirect air carriers that hold authority to engage in foreign air transportation must apply additionally for permission to consolidate freight in interstate air transportation.
(a) Not later than 60 days before the start of operations as a foreign indirect air carrier, every foreign air freight forwarder and foreign cooperative shippers association shall apply for registration with the Department, unless upon a showing of good cause, the Director, Office of International Aviation, allows application at a later time.
(b) Application shall consist of filing with the Department's Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, two copies of completed OST Form 4506, which may be obtained from the Department of Transportation, U.S. Air Carrier Licensing/Special Authorities Division.
Persons objecting to registration by a foreign air freight forwarder or foreign cooperative shippers association shall file their objections with the Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, within 28 days of the filing date of the registration forms. The Department will list the names and nationality of all persons applying for registration in its Weekly Summary of Filings.
After review of a registration form filed under § 297.20, the Department will take one or more of the following actions:
(a) Indicate by stamp on OST Form 4506 the effective date of registration, and return to the carrier the duplicate copy of OST Form 4506 as evidence of registration with the Department under this part;
(b) Reject an application for registration for failure to comply with this part, for reasons relating to the failure of effective reciprocity, or if the Department finds that it is in the public interest to do so.
(c) Request additional information from the applicant;
(d) Issue an order subjecting a carrier's exercise of authority under this part to such terms, conditions, or limitations as may be required by the public interest; or
(e) Institute a proceeding under section 41302 of 49 U.S.C. Subtitle VII.
By accepting an approval registration form under this part, a carrier waives any right it may possess to assert any defense of sovereign immunity from suit in any action or proceeding instituted against the carrier in any court or other tribunal in the United States based upon any claim arising out of operations by the carrier under this part.
(a) Not later than 30 days before any change in its name or address or any temporary or permanent cessation of operations, each foreign indirect air carrier shall notify the Department's Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, of the change by resubmitting OST Form 4506.
(b) The registrant shall apply for an amendment of its registration not later than 30 days after any person listed on its existing registration as owning or holding beneficial ownership of 10 percent or more of the registrant's stock no longer has an interest of 10 percent or more, or after any person not so listed becomes an owner or holder of 10 percent or more. Application for amendment shall be made by resubmitting OST Form 4506, but the existing registration shall remain valid pending Department action on the amendment.
The registration of a foreign indirect air carrier may be canceled or subjected to additional terms, conditions or limitations if:
(a) It files with the Department a written notice that it is discontinuing foreign indirect air carrier activities;
(b) It fails to perform air transportation services as authorized;
(c) It fails to file the reports required by this part;
(d) A substantial ownership or control interest is acquired by persons who are not citizens of the country of citizenship of the registrant;
(e) There is a failure of effective reciprocity; or
(f) The Department finds that it is in the public interest to do so.
Every foreign air freight forwarder shall give notice in writing to the shipper, when any shipment is accepted, of the limits of its cargo liability insurance, or of the absence of such insurance, and the limits of its liability, if any. The notice shall be included clearly and conspicuously on all of its rate sheets and airwaybills, and on any other documentation that is given to a shipper at the time of acceptance of the shipment.
(a) Each registered foreign indirect air carrier shall prepare an accurate airwaybill describing completely all services rendered to or on behalf of the shipper, including the conditions under which the contract will be completed, in its capacity as a foreign indirect air carrier. A copy of the airwaybill shall be given to the consignor and to the consignee.
(b) Each registered foreign indirect air carrier shall prepare an accurate manifest showing every individual shipment included in each shipment consigned for transportation to a direct air carrier.
(c) A waiver of paragraph (a) of this section may be granted by the Department upon a written application by the foreign indirect air carrier not less than 30 days before the shipment to which it relates is transported, if the waiver is in the public interest, and is warranted by special or unusual circumstances.
In case of any violation of any of the provisions of 49 U.S.C. Subtitle VII , or this part, or any other rule, regulation or order issued under the Statute, the violator may be subject to a proceeding under section 46101 of 49 U.S.C. Subtitle VII before the Department, or sections 46106 through 46108 of 49 U.S.C. Subtitle VII before a U.S. District Court, as the case may be, to compel to compliance; or to civil penalties under the provisions of section 46301 of 49 U.S.C. Subtitle VII; or in the case of willful violation, to criminal penalties under the provisions of section 46316 of 49 U.S.C. Subtitle VII; or other lawful sanctions including cancellation of registration.
This part establishes classifications of air carriers known as “air taxi operators” and “commuter air carriers,” provides certain exemptions to them from some of the economic regulatory provisions of Subtitle VII of Title 49 of the United States Code (Transportation), specifies procedures by which such air carriers may obtain authority to conduct operations, and establishes rules applicable to their operations in interstate and/or foreign air transportation in all States, Territories and possessions of the United States. This part also establishes reporting requirements for commuter air carriers and small certificated air carriers.
As used in this part:
Air taxi operator means an air carrier as established by § 298.3(a).
Air transportation means interstate air transportation, foreign air transportation, or the transportation of mail by aircraft as defined by the Statute.
Foreign air transportation is defined in section 40102(a)(23) of 49 U.S.C. Subtitle VII as the transportation of passengers or property by aircraft as a common carrier for compensation, or the transportation of mail by aircraft, between a place in the United States and a place outside the United States when any part of the transportation is by aircraft.
Air transportation also is defined to include the transportation of mail by aircraft. Section 5402 of the Postal Reorganization Act, 39 U.S.C. 5402, authorizes the carriage of mail by air taxi operators and commuter air carriers in some circumstances under contract with the U.S. Postal Service.
Aircraft-hours means the airborne hours of aircraft computed from the moment an aircraft leaves the ground until it touches the ground at the end of a flight stage.
Aircraft miles means the miles (computed in airport-to-airport distances) for each flight stage actually completed, whether or not performed in accordance with the scheduled pattern.
Certificated air carrier means an air carrier holding a certificate issued under section 41102 of 49 U.S.C. Subtitle VII.
Citizen of the United States means:
(1) An individual who is a citizen of the United States;
(2) A partnership each of whose partners is an individual who is a citizen of the United States; or
(3) A corporation or association organized under the laws of the United States or a state, the District of Columbia, or a territory or possession of the United States, of which the president and at least two-thirds of the board of directors and other managing officers are citizens of the United States, which is under the actual control of citizens of the United States, and in which at least 75 percent of the voting interest is owned or controlled by persons that are citizens of the United States.
Commuter air carrier means an air carrier as established by § 298.3(b) that carries passengers on at least five round trips per week on at least one route between two or more points according to its published flight schedules that specify the times, days of the week, and places between which those flights are performed.
Departure means takeoff from an airport.
Eligible place means a place in the United States that meets the specified criteria outlined in 49 U.S.C. Chapter 417.
Flight stage means the operation of an aircraft from takeoff to landing.
Large aircraft means any aircraft originally designed to have a maximum passenger capacity of more than 60 seats or a maximum payload capacity of more than 18,000 pounds.
Maximum certificated takeoff weight means the maximum takeoff weight authorized by the terms of the aircraft airworthiness certificate.
Maximum passenger capacity means the maximum number of passenger seats for which an aircraft is configured.
Maximum payload capacity means: (1) The maximum certificated take-off weight of an aircraft, less the empty weight,
(i) Crew—200 pounds per crew member required under FAA regulations in 14 CFR chapter I,
(ii) Oil—350 pounds,
(iii) Fuel—the minimum weight of fuel required under FAA regulations in 14 CFR chapter I for a flight between domestic points 200 miles apart,
(2) Provided, however, That in the case of aircraft for which a maximum zero fuel weight is prescribed by the FAA,
Mile means a statute mile, i.e., 5,280 feet.
Nonrevenue passenger means a person traveling free or under token charges, except those expressly named in the definition of revenue passenger; a person traveling at a fare or discount available only to employees or authorized persons of air carriers or their agents or only for travel on the business of the carriers; and an infant who does not occupy a seat. (This definition is for 14 CFR part 298 traffic-reporting purposes and may differ from the definitions used in other parts by the Federal Aviation Administration and the Transportation Security Administration for the collection of Passenger Facility Charges and Security Fees.) The definition includes, but is not limited to, the following examples of passengers when traveling free or pursuant to token charges:
(1) Directors, officers, employees, and others authorized by the air carrier operating the aircraft;
(2) Directors, officers, employees, and others authorized by the air carrier or another carrier traveling pursuant to a pass interchange agreement;
(3) Travel agents being transported for the purpose of familiarizing themselves with the carrier's services;
(4) Witnesses and attorneys attending any legal investigation in which such carrier is involved;
(5) Persons injured in aircraft accidents, and physicians, nurses, and others attending such persons;
(6) Any persons transported with the object of providing relief in cases of general epidemic, natural disaster, or other catastrophe;
(7) Any law enforcement official, including any person who has the duty of guarding government officials who are traveling on official business or traveling to or from such duty;
(8) Guests of an air carrier on an inaugural flight or delivery flights of newly-acquired or renovated aircraft;
(9) Security guards who have been assigned the duty to guard such aircraft against unlawful seizure, sabotage, or other unlawful interference;
(10) Safety inspectors of the National Transportation Safety Board or the FAA in their official duties or traveling to or from such duty;
(11) Postal employees on duty in charge of the mails or traveling to or from such duty;
(12) Technical representatives of companies that have been engaged in the manufacture, development or testing of a particular type of aircraft or aircraft equipment, when the transportation is provided for the purpose of in-flight observation and subject to applicable FAA regulations in 14 CFR chapter I;
(13) Persons engaged in promoting air transportation;
(14) Air marshals and other Transportation Security officials acting in their official capacities and while traveling to and from their official duties; and
(15) Other authorized persons, when such transportation is undertaken for promotional purpose.
Passengers carried means passengers on board each flight stage.
Point when used in connection with any territory or possession of the United States, or the States of Alaska and Hawaii, means any airport or place where aircraft may be landed or taken off, including the area within a 25-mile radius of such airport or place; when used in connection with the continental United States, except Alaska, it shall have the same meaning except be limited to the area within a 3-mile radius of such airport or place: Provided, That for the purposes of this part, West 30th Street Heliport and Pan Am Building Heliport, both located in New York City, shall be regarded as separate points.
Reporting carrier for Schedule T-100 purposes means the air carrier in operational control of the flight, i.e., the carrier that uses its flight crews under its own FAA operating authority.
Revenue passenger means a passenger for whose transportation an air carrier receives commercial remuneration. (This definition is for 14 CFR part 298 traffic-reporting purposes and may differ from the definitions used in other parts by the Federal Aviation Administration and the Transportation Security Administration for the collection of Passenger Facility Charges and Security Fees.) This includes, but is not limited to, the following examples:
(1) Passengers traveling under publicly available tickets including promotional offers (for example two-for-one) or loyalty programs (for example, redemption of frequent flyer points);
(2) Passengers traveling on vouchers or tickets issued as compensation for denied boarding or in response to consumer complaints or claims;
(3) Passengers traveling at corporate discounts;
(4) Passengers traveling on preferential fares (Government, seamen, military, youth, student, etc.);
(5) Passengers traveling on barter tickets; and
(6) Infants traveling on confirmed-space tickets.
Revenue passenger-mile means one revenue passenger transported one mile. Revenue passenger-miles are computed by multiplying the aircraft miles flown on each flight stage by the number of revenue passengers carried on that flight stage.
Revenue seat-miles available means the aircraft-miles flown on each flight stage multiplied by the number of seats available for sale on that flight stage.
Revenue ton-mile means one ton of revenue traffic transported one mile. Revenue ton-miles are computed by multiplying the aircraft-miles flown on each flight stage by the number of pounds of revenue traffic carried on that flight stage and converted to ton-miles by dividing total revenue pound-miles by 2,000 pounds.
Revenue ton-miles available means the aircraft-miles flown on each flight stage multiplied by the number of pounds of aircraft capacity available for use on that stage and converted to ton-miles by dividing total pound-miles available by 2,000 pounds.
Scheduled service means transport service operated over routes pursuant to published flight schedules or pursuant to mail contracts with the U.S. Postal Service.
Small aircraft means any aircraft originally designed to have a maximum passenger capacity of 60 seats or less or a maximum payload capacity of 18,000 pounds or less.
Small certificated air carrier means an air carrier holding a certificate issued under section 41102 of 49 U.S.C. Subtitle VII that provides scheduled passenger air service within and between only the 50 States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, and the U.S. Virgin Islands with small aircraft as defined in this section.
Ton means a short ton, i.e., 2,000 pounds.
Wet-Lease Agreement means an agreement under which one carrier leases an aircraft with flight crew to another air carrier.
(a) There is hereby established a classification of air carriers, designated as “air taxi operators,” which directly engage in the air transportation of persons or property or mail or in any combination of such transportation and which:
(1) Do not directly or indirectly utilize large aircraft in air transportation;
(2) Do not hold a certificate of public convenience and necessity and do not engage in scheduled passenger operations as specified in paragraph (b) of this section;
(3) Have and maintain in effect liability insurance coverage in compliance with the requirements set forth in part 205 of this chapter and have and maintain a current certificate of insurance evidencing such coverage on file with the Department;
(4) If operating in foreign air transportation or participating in an interline agreement, subscribe to Agreement 18900 (OST Form 4523 or OST Form 4507) and comply with all other requirements of part 203 of this chapter; and
(5) Have registered with the Department in accordance with subpart C of this part.
(b) There is hereby established a classification of air carriers, designated as “commuter air carriers,” which directly engage in the air transportation of persons, property or mail, and which:
(1) Do not directly or indirectly utilize large aircraft in air transportation;
(2) Do not hold a certificate of public convenience and necessity;
(3) Carry passengers on at least five round trips per week on at least one route between two or more points according to its published flight schedules that specify the times, days of the week, and places between which those flights are performed;
(4) Have and maintain in effect liability insurance coverage in compliance with the requirements set forth in part 205 of this chapter and have and maintain a current certificate of insurance evidencing such coverage on file with the Department;
(5) Have and maintain in effect and on file with the Department a signed counterpart of Agreement 18900 (OST Form 4523) and comply with all other requirements of part 203 of this chapter; and
(6) Hold a Commuter Air Carrier Authorization issued in accordance with subpart E of this part.
(c) A person who does not observe the conditions set forth in paragraph (a) or (b) of this section shall not be an air taxi operator or commuter air carrier within the meaning of this part with respect to any operations conducted while such conditions are not being observed, and during such periods is not entitled to any of the exemptions set forth in this part.
In any instance where an air taxi operator or commuter air carrier is required by a foreign government to produce evidence of its authority to engage in foreign air transportation under the laws of the United States, the Director, Office of Aviation Analysis (X-50), Office of the Secretary, 1200 New Jersey Avenue, SE., Washington, DC 20590, will, upon request, furnish the carrier with a written statement, outlining its general operating privileges under this part for presentation to the proper authorities of the foreign government.
Air taxi operators and commuter air carriers are hereby relieved from the following provisions of 49 U.S.C. Subtitle VII only if and so long as they comply with the provisions of this part and the conditions imposed herein, and to the extent necessary to permit them to conduct air taxi or commuter air carrier operations:
(a) Section 41101;
(b) Section 41504; except that the requirements of that section shall apply to:
(1) Tariffs for through rates, fares, and charges filed jointly by air taxi operators or commuter air carriers with air carriers or with foreign air carriers subject to the tariff-filing requirements of Chapter 415; and
(2) Tariffs required to be filed by air taxi operators or commuter air carriers which embody the provisions of the counterpart to Agreement 18900 as specified in part 203 of this chapter;
(c) Section 41702, except for the requirements that air taxi operators and commuter air carriers shall:
(1) Provide safe service, equipment, and facilities in connection with air transportation;
(2) Provide adequate service insofar as that requires them to comply with parts 252 and 382 of this chapter;
(3) Observe and enforce just and reasonable joint rates, fares, and charges, and just and reasonable classifications, rules, regulations and practices as provided in tariffs filed jointly by air taxi operators or commuter air carriers with certificated air carriers or with foreign air carriers; and
(4) Establish just, reasonable, and equitable divisions of such joint rates, fares, and charges as between air carriers participating therein which shall not unduly prefer or prejudice any of such participating air carriers;
(d) Section 41310, except that the requirements of that subsection shall apply to through service provided pursuant to tariffs filed jointly by air taxi operators or commuter air carriers with certificated air carriers or with foreign air carriers and to transportation of the handicapped to the extent that that is required by part 382 of this chapter;
(e) Section 41902;
(f) Section 41708.
The exemption from any provision of 49 U.S.C. Subtitle VII provided by this part shall continue in effect only until such time as the Department shall find that enforcement of that provision would be in the public interest, at which time the exemption shall terminate or be conditioned with respect to the person, class of persons, or service (e.g., limited-entry foreign air transportation market) subject to the finding.
(a) Every air taxi operator who plans to commence operations under this part shall register with the Department not later than 30 days prior to the commencement of such operations, unless, upon a showing of good cause satisfactory to the Manager, Technical Programs Branch (AFS-260), Federal Aviation Administration, registration within a lesser period of time is allowed.
(b) The registration of an air taxi operator shall remain in effect until it is amended by the carrier or canceled by the Department.
(c) Registration by all air taxi operators shall be accomplished by filing with the Department at the address specified in paragraph (d) of this section the following:
(1) Air Taxi Registration (OST Form 4507), executed in duplicate.
(i) The name of the carrier and its mailing address;
(ii) The carrier's principal place of business, if different from its mailing address, and its telephone number and fax number;
(iii) The carrier's FAA certificate number, if any, and the address and telephone number of the carrier's local FAA office;
(iv) The type of service the carrier will offer (scheduled passenger,
(v) A list of the aircraft that the carrier proposes to operate, or, in the case of an amendment to the registration, the aircraft that it is currently operating in its air taxi operations, and the aircraft type, FAA registration number and passenger capacity of each aircraft;
(vi) For initial registration, the proposed date of commencement of air taxi operations;
(vii) For amendments, whether the carrier has carried passengers in foreign air transportation during the previous 12 months;
(viii) Whether the carrier is a citizen of the United States; and
(ix) A certification that the registration is complete and accurate and that, if the carrier is engaged in foreign air transportation, or participating in an interline agreement, it subscribes to the terms of Agreement 18900 (see OST Form 4523).
(2) A certificate of insurance (OST Form 6410) which is currently effective (or in case of initial registration, is to become effective), as defined in part 205 of this chapter;
(3) An 8 dollar ($8) registration filing fee in the form of a check, draft, or postal money order payable to the Department of Transportation.
(d) Registrations required in paragraph (c) of this section shall be submitted to the Department of Transportation, Federal Aviation Administration,Technical Programs Branch (AFS-260), 800 Independence Avenue SW, Room 831, Washington, DC 20591. For those air taxi operators that have a mailing address in the State of Alaska, the registrations shall be filed with the Department of Transportation, Federal Aviation Administration, Alaskan Region Headquarters (AAL-230), 222 West 7th Avenue, Box 14, Anchorage, Alaska 99513.
After examination of the OST Form 4507 submitted by the carrier, the Department will stamp the effective date of the registration on the form and return the duplicate copy to the carrier to confirm that it has registered with the Department as required by this part. The effective date of the registration shall not be earlier than the effective date of the insurance policy or policies named in the certificate of insurance filed by the carrier under § 298.21(c)(2).
(a) If any of the information contained on its registration changes, an air taxi operator shall submit an amendment reflecting the updated information. This amendment shall be filed no later than 30 days after the change occurs. There is no filing fee for submitting an amendment.
(b) An amendment shall be made by resubmitting OST Form 4507 to the Department of Transportation, Federal Aviation Administration, Technical Programs Branch (AFS-260), 800 Independence Avenue SW, Room 831, Washington, DC 20591. If the air taxi operator has a mailing address in the State of Alaska, the form shall be mailed to the Department of Transportation, Federal Aviation Administration, Alaskan Region Headquarters Technical Standards Branch, (AAL-231), 222 West 7th Avenue, Box 14, Anchorage, Alaska 99513.
The registration of an air taxi operator may be canceled by the Department if any of the following occur:
(a) The operator ceases its operations;
(b) The operator's insurance coverage changes or lapses;
(c) The operator fails to file an amended registration when required by § 298.23;
(d) The operator's Air Carrier Certificate and/or Operations Specifications is revoked by the Federal Aviation Administration;
(e) The operator fails to qualify as a citizen of the United States;
(f) The Department determines that it is otherwise in the public interest to do so.
(a) Every air taxi and commuter air carrier shall cause to be displayed continuously in a conspicuous public place at each desk, station and position in the United States that is in charge of a person employed exclusively by it, or by it jointly with another person, or by any agent employed by it to sell tickets to passengers, a sign located so as to be clearly visible and readable to the traveling public, containing a statement setting forth the air taxi and commuter air carrier's policy on baggage liability and denied boarding compensation.
(b) An air taxi or commuter air carrier shall provide a written notice on or with a passenger's ticket concerning baggage liability as provided in § 254.5 of this chapter. These ticket notices are required only for passengers whose ticket includes a flight segment that uses large aircraft (more than 60 seats).
(c) If the substantive terms of the counter sign and ticket notice required by this section differ, the terms contained in the required ticket notice govern.
Nothing in this part shall be construed as authorizing the operation of large aircraft in air transportation, and the exemption provided by this part to air taxi operators and commuter air carriers that register with the Department extends only to the direct operation in air transportation in accordance with the limitations and conditions of this part of aircraft originally designed to have a maximum passenger capacity of 60 seats or less or a maximum payload capacity of 18,000 pounds or less.
No person shall provide scheduled passenger service as a commuter air carrier at an eligible place unless it has been found by the Department to be fit, willing, and able to conduct such service and issued a Commuter Air Carrier Authorization as provided in subpart E of this part.
In conducting operations under this part, an air taxi operator or a commuter air carrier is required to adhere to all security requirements established by the Department of Transportation and the Department of Homeland Security applicable to such operations.
An air taxi operator or commuter air carrier is not authorized to carry mail except pursuant to contract with the U.S. Postal Service entered into pursuant to section 5402 of the Postal Reorganization Act (39 U.S.C. 5402).
(a) An air taxi operator or commuter air carrier in holding out to the public and in performing its services in air transportation shall do so only in the name or names in which its air carrier certificate is issued pursuant to section 44702 of 49 U.S.C. Subtitle VII by the Federal Aviation Administration, and in which it is registered with the Department under this part, or in which its Commuter Air Carrier Authorization is issued or other trade name is registered.
(b) Slogans shall not be considered names for the purposes of this section, and their use is not restricted hereby.
(c) Commuter air carriers are subject to the provisions of part 215 of this chapter with regard to the use and change of air carrier names.
(d) Neither the provisions of this section nor the grant of a permission hereunder shall preclude Department intervention or enforcement action should there be evidence of a significant potential for, or of actual, public confusion.
An air taxi operator or commuter air carrier shall not operate in air transportation or provide or offer to provide air transportation unless there is in effect liability insurance which covers such transportation and which is evidenced by a current certificate of insurance on file with the Department as required by part 205 of this chapter.
When an air taxi operator or commuter air carrier performs a Public Charter under part 380 of this chapter, either:
(a) The air taxi operator or commuter air carrier shall meet the bonding or escrow requirements applicable to certificated air carriers as set forth in § 212.8 of this chapter; or
(b) The air taxi operator or commuter air carrier shall ensure that it does not receive any payments for the charter until after the charter has been completed. In this case, its contracts with the charter operator and the charter operator's depository bank, if any, shall state that the charter operator or bank, as applicable, shall retain control of and responsibility for all participant funds intended for payment for air transportation until after the charter has been completed, notwithstanding any provision of part 380 of this chapter.
(a) Any person desiring to provide air transportation as a commuter air carrier must first obtain a Commuter Air Carrier Authorization. This shall be accomplished by filing with the Department—
(1) An application in accordance with the requirements of parts 201 and 302 of this chapter;
(2) Data in accordance with part 204 of this chapter to support a determination by the Department that the person is “fit, willing, and able” to operate the proposed commuter service; and
(3) A $670 filing fee submitted in accordance with the provisions of § 389.21 of this chapter.
(b) An executed original and two true copies of an application for a Commuter Air Carrier Authorization shall be filed with Docket Operations Office, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590.
In processing applications filed in accordance with § 298.50, the Department will generally follow the procedures set forth in §§ 302.207 through 302.211 of this chapter.
(a) A commuter air carrier that holds an effective Commuter Air Carrier Authorization and otherwise meets the requirements of this part is also authorized to conduct air taxi operations (e.g., scheduled cargo, mail under a U.S. Postal Service contract, on-demand passenger, on-demand cargo, or other service such as air ambulance operations, firefighting or seasonal operations) without having to meet the registration requirements of subpart C of this part, except as provided in paragraph (b) of this section.
(b) Should a commuter air carrier cease conducting all scheduled passenger operations and its Commuter Air Carrier Authorization is suspended pursuant to §§ 298.53 and/or 204.7 of this chapter, it may continue to conduct air taxi operations provided that the carrier maintains in effect liability insurance coverage as required for such operations by part 205 of this chapter and, within 10 days of the cessation of scheduled passenger operations, registers as an air taxi operator in accordance with subpart C of this part; and provided further that the carrier continues to hold authority from the Federal Aviation Administration to conduct such air taxi operations.
A Commuter Air Carrier Authorization may be suspended or revoked if any of the following occur:
(a) The operator fails to maintain insurance coverage as required by part 205 of this chapter for commuter operations;
(b) The scheduled passenger authority under the operator's Air Carrier Certificate is suspended or revoked by the Federal Aviation Administration;
(c) The operator does not commence operations for which it has been found fit, or the operator ceases those operations as provided in § 204.7 of this chapter;
(d) The Department finds that the carrier is not fit, willing, and able to conduct scheduled service or fails to qualify as a citizen of the United States; or
(e) The Department determines that it is otherwise in the public interest to do so.
(a) Each commuter air carrier and each small certificated air carrier shall file the applicable schedules of Form 298-C, “Report of Financial and Operating Statistics for Small Aircraft Operators,” Schedule T-100, “U.S. Air Carrier Traffic and Capacity Data by Nonstop Segment and On-Flight Market,” and the “Passenger Origin—Destination Survey” prescribed in part 241, Sec. 19-8, of this subchapter.
(b) A single copy of the BTS Form 298-C report shall be filed quarterly with the Office of Airline Information (OAI) for the periods ended March 31, June 30, September 30 and December 31 of each year to be received on or before May 10, August 10, November 10, and February 10, respectively. An electronic filing of the monthly Schedule T-100 is due at OAI within 30 days after the end of each month. Due dates falling on a Saturday, Sunday or Federal holiday will become effective on the next work day.
(c) Reports required by this section shall be submitted to the Bureau of Transportation Statistics in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Director of Airline Information.
(a) Each commuter air carrier and small certificated air carrier shall file Schedule T-100, U.S. Air Carrier Traffic and Capacity Data by Nonstop Segment and On-Flight Market.”
(b) Schedule T-100 shall be filed monthly as set forth in§ 298.60.
(1) Schedule T-100 collects summarized flight stage data and on-flight market data from revenue flights. All traffic statistics shall be compiled in terms of each flight stage as actually performed. The detail T-100 data shall be maintained in such a manner as to permit monthly summarization and organization into two basic groupings. The first grouping, the nonstop segment information, is to be summarized by equipment type, within class of service, within pair-of-points, without regard to individual flight number. The second grouping requires that the enplanement/deplanement information be broken out into separate units called on-flight market records, which shall be summarized by class of service, within pair-of-points, without regard for equipment type or flight number.
(2) Joint-service operations. The Department may authorize joint service operations between two direct air carriers. Examples of these joint-service operations are: blocked-space agreements; part-charter agreements; code-sharing agreements; wet-lease agreements, and similar arrangements.
(i) Joint-service operations are reported by the carrier in operational control of the flight, i.e., the carrier that uses its flight crews under its own FAA operating authority. The traffic moving under these agreements is reported on Schedule T-100 the same way as any other traffic on the aircraft.
(ii) If there are questions about reporting a joint-service operation, contact the BTS Assistant Director—Airline Information (fax no. 202 366-3383, telephone no. 202 366-4373). Joint-service operations are reported in Schedule T-100 in accordance with this paragraph (b).
(iii) Operational control. The air carrier in operational control of the aircraft (the carrier that uses its flight crews under its own FAA operating authority) must report joint-service operations.
(c) Service classes. (1) The statistical classifications are designed to reflect the operating characteristics attributable to each distinctive type of service offered. The combination of scheduled and nonscheduled operations with passenger, all-cargo, and military services are placed into service classes as follows:
| Code | Type of Service |
|---|---|
| F | Scheduled Passenger/Cargo |
| G | Scheduled All-Cargo |
| L | Nonscheduled Civilian Passenger/Cargo |
| P | Nonscheduled Civilian Cargo |
| N | Nonscheduled Military Passenger/Cargo |
| R | Nonscheduled Military Cargo |
(2) Scheduled services include traffic and capacity elements applicable to air transportation provided pursuant to published schedules and extra sections of scheduled flights. Scheduled Passenger/Cargo (Service Class F) is a composite of first class, coach, and mixed passenger/cargo service.
(3) Nonscheduled services include all traffic and capacity elements applicable to the performance of nonscheduled aircraft charters, and other air transportation services not constituting an integral part of services performed pursuant to published flight schedules.
(d) Air transport traffic and capacity elements. (1) Within each of the service classifications, carriers shall report air transport traffic and capacity elements. The elements are reported on segment or market records as follows:
| Code | Description | Segment | Market | Computed by DOT |
|---|---|---|---|---|
| Carrier, carrier entity code | S | M | ||
| Reporting period date | S | M | ||
| Origin airport code | S | M | ||
| Destination airport code | S | M | ||
| Service class code | S | M | ||
| Aircraft type code | S | |||
| 110 | Revenue passengers enplaned | M | ||
| 130 | Revenue passengers transported | S | ||
| 140 | Revenue passenger-miles | CFD* | ||
| 210 | Revenue cargo tons enplaned | CFD* | ||
| 217 | Enplaned freight | M | ||
| 219 | Enplaned mail | M | ||
| 230 | Revenue tons transported | CFD* | ||
| 237 | Transported freight | S | ||
| 239 | Transported mail | S | ||
| 240 | Revenue ton-miles | CFD* | ||
| 241 | Revenue ton-miles passenger | CFD* | ||
| 247 | Revenue ton-miles freight | CFD* | ||
| 249 | Revenue ton-miles mail | CFD* | ||
| 270 | Available capacity payload | S | ||
| 280 | Available ton-miles | CFD* | ||
| 310 | Available seats, total | S | ||
| 320 | Available seat-miles | CFD* | ||
| 410 | Revenue aircraft miles flown | CFD* | ||
| 430 | Revenue aircraft miles scheduled | CFD* | ||
| 501 | Inter-airport distance | CFD* | ||
| 510 | Revenue aircraft departures performed | S | ||
| 520 | Revenue aircraft departures scheduled | S | ||
| 610 | Revenue aircraft hours (airborne) | S | ||
| 630 | Aircraft hours (ramp-to-ramp) | S | ||
| 650 | Total aircraft hours (airborne) | S |
*CFD = Computed by DOT from detail Schedule T-100 and T-100(f) data.
(2) [Reserved]
(e) These reported items are further described as follows:
(1) Reporting period date. The year and month to which the reported data are applicable.
(2) Carrier, Carrier entity code. Each air carrier shall report its name and entity code (a five digit code assigned by BTS that identifies both the carrier and its entity) for its particular operations. The Office of Airline Information (OAI) will assign or confirm codes upon request; OAI's address is Office of Airline Information, BTS, DOT, RTS-42, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.
(3) Service class code. The service class codes are prescribed in section 298.61(c). In general, classes are divided into two broad categories, either scheduled or nonscheduled, where scheduled = F + G and nonscheduled = L + N + P + R.
(4) Record type code. This code indicates whether the data pertain to non-stop segment (record type S) or on-flight market (record type M).
(5) Aircraft type code. This code represents the aircraft types, as described in the BTS' Accounting and Reporting Directives.
(6) Origin, Destination airport code(s). These codes represent the industry designators. An industry source of these industry designator codes is the Official Airline Guide (OAG). OAI assigns codes upon request if not listed in the OAG.
(7) 110 Revenue passengers enplaned. The total number of revenue passengers enplaned at the origin point of a flight, boarding the flight for the first time; an unduplicated count of passengers in a market. Under the T-100 system of reporting, these enplaned passengers are the sum of the passengers in the individual on-flight markets. In the domestic entity, report only the total revenue passengers enplaned in item 110.
(8) 130 Revenue passengers transported. The total number of revenue passengers transported over a single flight stage, including those already on the aircraft from a previous flight stage. In the domestic entity, report only the total revenue passengers transported in item 130.
(9) 140 Revenue passenger-miles. Computed by multiplying the inter-airport distance of each flight stage by the number of passengers transported on that flight stage.
(10) 210 Revenue cargo tons enplaned. The total number of cargo tons enplaned. This data element is a sum of the individual on-flight market figures for each of the following categories: 217 Freight and 219 Mail. This element represents an unduplicated count of the revenue traffic in a market.
(11) 217 Enplaned freight. The total weight of revenue freight enplaned at the origin point of a flight, loaded onto the flight for the first time; an unduplicated count of freight in a market.
(12) 219 Enplaned mail. The total weight of mail enplaned at the origin point of a flight, loaded onto the flight for the first time; an unduplicated count of mail in a market.
(13) 230 Revenue tons transported. The number of tons of revenue traffic transported. This element is the sum of the following elements: 231 Passengers transported-total, 237 Freight, and 239 Mail.
(14) 237 Transported freight. The total weight of freight transported over a single flight stage, including freight already on the aircraft from a previous flight stage.
(15) 239 Transported mail. The total weight of mail transported over a single flight stage, including mail already on the aircraft from a previous flight stage.
(16) 240 Revenue ton-miles—total. Ton-miles are computed by multiplying the revenue aircraft miles flown (410) on each flight stage by the number of tons transported on that stage. This element is the sum of 241 through 249.
(17) 241 Revenue ton-miles—passenger. Equals the number of passengers times 200, times inter-airport distance, divided by 2000. A standard weight of 200 pounds per passenger, including baggage, is used for all operations and service classes.
(18) 247 Revenue ton-miles—freight. Equals the volume of freight in whole tons times the inter-airport distance.
(19) 249 Revenue ton-miles—mail. Equals the volume of mail in whole tons times the inter-airport distance.
(20) 270 Available capacity-payload. The available capacity is collected in pounds. This figure shall reflect the payload or total available capacity for passengers, mail, and freight applicable to the aircraft with which each flight stage is performed.
(21) 280 Available ton-miles. The aircraft miles flown on each flight stage multiplied by the available capacity on the aircraft in tons.
(22) 310 Available seats. The number of seats available for sale. This figure reflects the actual number of seats available, excluding those blocked for safety or operational reasons. In the domestic entity, report the total available seats in item 130. Scheduled and nonscheduled available seats are reported in item 130.
(23) 320 Available seat-miles. The aircraft miles flown on each flight stage multiplied by the seat capacity available for sale.
(24) 410 Revenue aircraft miles flown. Revenue aircraft miles flown are computed based on the airport pairs between which service is actually performed; miles are generated from the data for scheduled aircraft departures (Code 520) times the inter-airport distances (Code 501).
(25) 430 Revenue aircraft miles scheduled. The number of revenue aircraft miles scheduled. All such data shall be maintained in conformity with the airport pairs between which service is scheduled, whether or not in accordance with actual performance.
(26) 501 Inter-airport distance. The great circle distance, in official statute miles as prescribed in part 247 of this chapter, between airports served by each flight stage. Official inter-airport mileage may be obtained from the Office of Airline Information.
(27) 510 Revenue aircraft departures performed. The number of revenue aircraft departures performed.
(28) 520 Revenue aircraft departures scheduled. The number of revenue aircraft departures scheduled, whether or not actually performed.
(29) 610 Revenue aircraft hours (airborne). The elapsed time, computed from the moment the aircraft leaves the ground until its next landing.
(30) 630 Aircraft hours (ramp-to-ramp). The elapsed time, computed from the moment the aircraft first moves under its own power from the boarding ramp at one airport to the time it comes to rest at the ramp for the next point of landing. This data element is also referred to as ‘block’ and ‘block-to-block’ aircraft hours.
(31) 650 Total aircraft hours (airborne). The elapsed time, computed from the moment the aircraft leaves the ground until it touches down at the next landing. This includes flight training, testing, and ferry flights.
(f) Public availability of Schedule T-100 data. Detailed domestic on-flight market and nonstop segment data in Schedule T-100, except military data, shall be publicly available after processing. Domestic data are defined as data from air transportation operations from a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession to a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession.
(a) Each commuter air carrier and each small certificated air carrier shall file BTS Form 298-C, Schedule F-1 “Report of Financial Data.” This report shall be filed quarterly as set forth in § 298.60 of this part.
(b) Each carrier shall indicate in the space provided, its full corporate name and the quarter for which the report is filed.
(c) This schedule shall be used to report financial data for the overall or system operations of the carrier. At the option of the carrier, the data may be reported in whole dollars by dropping the cents. Financial data shall be reported in the following categories:
(1) Line 1 “Total Operating Revenues” shall include gross revenues accruing from services ordinarily associated with air transportation and air transportation-related services. This category shall include revenue derived from scheduled service operations, revenue derived from nonscheduled service operations, amounts of compensation paid to the carrier under section 41732 of 49 U.S.C. Subtitle VII and other transport-related revenue such as in-flight sales, restaurant and food service (ground), rental of property or equipment, limousine service, cargo pick-up and delivery charges, and fixed-base operations involving the selling or servicing of aircraft, flying instructions, charter flights, etc.
(2) Line 2 “Total Operating Expenses” shall include expenses of a character usually and ordinarily incurred in the performance of air transporation and air transportation services. This category shall include expenses incurred: directly in the in-flight operation of aircraft; in the holding of aircraft and aircraft personnel in readiness for assignment to an in-flight status; on the ground in controlling and protecting the in-flight movement of aircraft; landing, handling or servicing aircraft on the ground; selling transportation; servicing and handling traffic; promoting the development of traffic; and administering operations generally. This category shall also include expenses which are specifically identifiable with the repair and upkeep of property and equipment used in the performance of air transportation, all depreciation and amortization expenses applicable to property and equipment used in providing air transportation services, all expenses associated with the transport-related revenues included on line 1 of this schedule, and all other expenses not specifically mentioned which are related to transport operations. Interest expense and other nonoperating expenses attributable to financing or other activities which are extraneous to and not an integral part of air transportation or its incidental services shall not be included in this category.
(3) Line 3 “Net Income or (Loss)” shall reflect all operating and nonoperating items of profit and loss recognized during the period except for prior period adjustments.
(4) Line 4 “Passenger Revenues-Scheduled Service” shall include revenue generated from the transportation of passengers between pairs of points which are served on a regularly scheduled basis.
(d) Data reported on this schedule shall be withheld from public release for a period of 3 years after the close of the calendar quarter to which the report relates.
(a) Each small certificated air carrier shall file BTS Form 298-C, Schedule F-2 “Report of Aircraft Operating Expenses and Related Statistics.” This schedule shall be filed quarterly as prescribed in § 298.60. Data reported on this report shall be for the overall or system operations of the air carrier.
(b) Each carrier shall indicate in the space provided its full corporate name and the quarter for which the report is filed.
(c) This schedule shall show the direct and indirect expenses incurred in aircraft operations. Direct expense data applicable to each aircraft type operated by the carrier shall be reported in separate columns of this schedule. Each aircraft type reported shall be identified at the head of each column in the space provided for “Aircraft Type.” “Aircraft Type” refers to aircraft models such as Beech-18, Piper PA-32, etc. Aircraft Type designations are prescribed in the Accounting and Reporting Directives, which is available from the BTS' Office of Airline Information. In the space provided for “Aircraft Code” carriers shall insert the three digit code prescribed in the Accounting and Reporting Directives for the reported aircraft type. (
(d) Line 1 Direct aircraft operating expenses shall be reported in the following categories:
(1) Line 2 “Flying Operations (Less Rental)” shall be subdivided as follows:
(i) Line 3 “Pilot and Copilot” expense shall include pilots' and copilots' salaries, and related employee benefits, pensions, payroll taxes and personnel expenses.
(ii) Line 4 “Aircraft Fuel and Oil” expense shall include the cost of fuel and oil used in flight operations and nonrefundable aircraft fuel and oil taxes.
(iii) Line 5 “Other” expenses shall include general (hull) insurance, and all other expenses incurred in the in-flight operation of aircraft and holding of aircraft and aircraft operational personnel in readiness for assignment to an in-flight status, which are not provided for otherwise on this schedule.
(2) Line 6 “Total Flying Operations (Less Rentals)” shall equal the sum of lines 3, 4 and 5.
(3) Line 7 “Maintenance-Flight Equipment” shall include the cost of labor, material and related overhead expended by the carrier to maintain flight equipment, general services purchased for flight equipment maintenance from associated or other outside companies, and provisions for flight equipment overhauls.
(4) Line 8 “Depreciation and Rental-Flight Equipment” expense shall include depreciation of flight equipment, amortization of capitalized leases for flight equipment, provision for obsolescence and deterioration of spare parts, and rental expense of flight equipment.
(5) Line 9 “Total Direct Expense” shall equal the sum of lines 6, 7 and 8.
(e) Line 10 Indirect aircraft operating expenses shall be reported only in total for all aircraft types and shall be segregated according to the following categories:
(1) Line 11 “Flight Attendant Expense” shall include flight attendants' salaries, and related employee benefits, pensions, payroll taxes and personnel expenses.
(2) Line 12 “Traffic Related Expense” shall include traffic solicitor salaries, traffic commissions, passenger food expense, traffic liability insurance, advertising and other promotion and publicity expenses, and the fringe benefit expenses related to all salaries in this classification.
(3) Line 13 “Departure Related (Station) Expense” shall include aircraft and traffic handling salaries, landing fees, clearance, customs and duties, related fringe benefit expenses and maintenance and depreciation on ground property and equipment.
(4) Line 14 “Capacity Related Expense” shall include salaries and fringe benefits for general management personnel, recordkeeping and statistical personnel, lawyers and law clerks, and purchasing personnel; legal fees and expenses; stationery; printing; uncollectible accounts; insurance purchased-general; memberships; corporate and fiscal expenses; and all other expenses which cannot be identified or allocated to some other specifically identified indirect cost category.
(f) Line 15 “Total Indirect Expense” shall equal the sum of lines 11, 12, 13 and 14.
(g) Line 16 “Total Operating Expense” shall equal the sum of lines 9 and 15.
(h) Line 17 “Total Gallons of Fuel Issued” shall include the gallons of fuel used in flight operations related to fuel cost reported in total and by aircraft type on Line 4.
(a) If circumstances prevent the filing of BTS Form 298-C on or before the due date, a written request for an extension may be submitted. Except in cases of emergency, the request must be delivered to the BTS's Office of Airline Information in writing at least three days in advance of the due date. The request must state good and sufficient reason to justify the granting of the extension and the date when the reports can be filed. If the request is denied, the air carrier remains subject to the filing requirements to the same extent as if no request for extension of time had been made.
(b) The Office of Airline Information may waive any reporting requirements contained in §§ 298.61, 298.62, 298.63 and 298.64 of this part, upon its own initiative or upon written request from any air carrier if the waiver is in the public interest and the request demonstrates that:
(1) Unusual circumstances warrant such a departure;
(2) A specifically defined alternative procedure or technique will result in a substantially equivalent or more accurate portrayal; and
(3) The application of the alternative procedure will maintain or improve uniformity in reporting between air carriers.
(a) The Office of Airline Information may exempt a commuter air carrier from the reporting requirements of § 298.61 of this part if a State government collects the information specified in that section and provides it to the Department by the dates specified. The data provided to the Department in this manner must be at least as reliable as if they were collected by the Department directly.
(b) The Office of Airline Information will provide assistance to any State agency interested in participating in this exemption program.
(a) Detailed domestic on-flight market data and nonstop segment data except military data shall be made publicly available after processing. Domestic data are defined as data from air transportation operations from a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession to a place in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico and the Virgin Islands, or a U.S. territory or possession. Domestic military operations are reported under service codes N or R.
(b) Detailed international on-flight market and nonstop segment data in Schedule T-100 and Schedule T-100(f) reports, except military data, shall be publicly available immediately following the Department's determination that the database is complete, but no earlier than six months after the date of the data. Military operations are reported under service codes N or R. Data for on-flight markets and nonstop segments involving no U.S. points shall not be made publicly available for three years. Industry and carrier summary data may be made public before the end of six months or the end of three years, as applicable, provided there are three or more carriers in the summary data disclosed. The Department may, at any time, publish international summary statistics without carrier detail.
(c) Schedule F-1 “Report of Financial Data” shall be withheld from public release for a period of 3 years after the close of the calendar quarter to which the report relates.
(d) The Department may release nonstop segment and on-flight market detail data by carrier or individual Schedule F-1 “Report of Financial Data” before the end of the confidentiality period as follows:
(1) To foreign governments as provided in reciprocal arrangements between the foreign country and the U.S. Government for exchange of on-flight market and/or nonstop segment data submitted by air carriers of that foreign country and U.S. carriers serving that foreign country.
(2) To parties to any proceeding before the Department under 49 U.S.C. Subtitle VII (Transportation), as required by an Administrative Law Judge or other decision-maker of the Department. Parties may designate agents or consultants to receive the data in their behalf, provided the agents or consultants agree to abide by the disclosure restrictions. Any data to which access is granted pursuant to this provision may be introduced into evidence, subject to the normal rules of admissibility.
(3) To agencies or other components of the U.S. Government for their internal use only.
(a) Before entering a contract for a specific flight or series of flights with charterers, air taxi operators and commuter air carriers must disclose to the charterer the information in paragraphs (a)(1) and (2) of this section. Before entering a contract for a specific flight or series of flights with charterers, air taxi operators and commuter air carriers must, upon request of the charterer, disclose to the charterer the information in paragraphs (a)(3), (4), and (5) of this section. The disclosures may be accomplished through electronic transmissions.
(1) That the flight will be performed by another direct air carrier or direct foreign air carrier if that is the case. The corporate name of the direct air carrier or direct foreign air carrier in operational control of the aircraft on which the air transportation is to be performed and any other names in which that direct carrier holds itself out to the public.
(2) If the flight is to be performed by another direct air carrier or direct foreign air carrier, the capacity in which the air taxi operator or commuter air carrier is acting in contracting for the air transportation, i.e., as a principal, as an agent of the charterer, or as an agent of the direct air carrier that will be in operational control of the flight.
(3) If the flight is to be performed by another direct air carrier or foreign direct air carrier and the air taxi operator or commuter air carrier is acting as the agent of the charterer, the air taxi operator or commuter air carrier must disclose the existence of any corporate or business relationship, including a preexisting contract, between the air taxi operator or commuter air carrier and the direct carrier that will be in operational control of the flight that may have a bearing on the air taxi operator's or commuter air carrier's selection of the direct carrier that will be in operational control of the flight.
(4) The total cost of the air transportation paid by the charterer to or through the air taxi operator or commuter air carrier, including any carrier-imposed fees or government-imposed taxes and fees. Specific individual fees, taxes, or costs may, but are not required to be itemized.
(5) The existence of any fees and their amounts collected by third parties, if known (or a good faith estimate if not known), including fuel, landing fees, and aircraft parking or hangar fees for which the charterer will be responsible for paying directly.
(b) If any of the information in paragraph (a) of this section that is required to be disclosed to the charterer or requested by the charterer to be disclosed is not known at the time the contract is entered into or changes thereafter, air taxi operators and commuter air carriers must provide the information to the charterer within a reasonable time after such information becomes available to the air taxi operator or commuter air carrier, such that the charterer has enough time to make an informed decision as to whether to accept the additional information or accept the change.
(c) If the information in paragraph (a) of this section that is required to be disclosed to the charterer or requested by the charterer to be disclosed is not provided to the charterer within a reasonable time after such information becomes available to the air taxi operator or commuter air carrier, air taxi operators and commuter air carriers must provide the charterer with the opportunity to cancel the contract for air transportation, including any services in connection with such contract, and receive a full refund of any monies paid for the charter air transportation and services.
(d) Except in exigent circumstances particular to a passenger, air taxi operators and commuter air carriers must disclose prior to the start of the air transportation the information in paragraph (a) of this section that is required or requested to be disclosed.
(e) If the information in paragraph (a) of this section that is required to be disclosed to the charterer or requested by the charterer to be disclosed changes after the air transportation covered by the contract has begun, air taxi operators and commuter air carriers must provide information regarding any such changes to the charterer within a reasonable time after such information becomes available to the air taxi operator or commuter air carrier.
(f) If the changes in information described in paragraph (e) of this section are not provided to the charterer within a reasonable time after becoming available to the air taxi operator or commuter air carrier, air taxi operators and commuter air carriers must provide the charterer with the opportunity to cancel the remaining portion of the contract for charter air transportation, including any services paid for in connection with such contract, and receive a full refund of any monies paid for the charter air transportation and services not yet provided.
(a) Violations of this Part shall be considered to constitute unfair or deceptive practices or unfair methods of competition in violation of 49 U.S.C. 41712.
(b) In addition to paragraph (a) of this section, the following enumerated practices, among others, by an air taxi operator or commuter air carrier are unfair or deceptive practices or unfair methods of competition in violation of 49 U.S.C. 41712:
(1) Misrepresentations that may induce members of the public to reasonably believe that the air taxi operator or commuter air carrier will be, or is, in operational control of a flight when that is not the case.
(2) Misrepresentations as to the quality or kind of service or type of aircraft.
(3) Misrepresentations as to the time of departure or arrival, points served, route to be flown, stops to be made, or total trip-time from point of departure to destination.
(4) Misrepresentations as to the qualifications of pilots or safety record or certification of pilots, aircraft, or air carriers.
(5) Misrepresentations that passengers are directly insured when they are not so insured. For example, where the only insurance in force is that protecting the air taxi operator or commuter air carrier in the event of liability.
(6) Misrepresentations as to fares or charges for air transportation or services in connection therewith.
(7) Misrepresentations as to membership in or involvement with an organization that audits direct air carriers or that the direct air carrier to be used for a flight meets a standard set by an auditing organization.
(8) Representing that a contract for a specified direct air carrier, aircraft, flight, or time has been arranged without a binding commitment with a direct air carrier for the furnishing of such transportation as represented.
(9) Selling or contracting for air transportation while knowing or having reason to know or believe that such air transportation cannot be legally performed by the direct air carrier or foreign direct air carrier that is to perform the air transportation.
(10) Misrepresentations as to the requirements that must be met by charterers in order to qualify for charter flights.
(11) Using or displaying or permitting or suffering to be used or displayed the name, tradename, slogan or any abbreviation thereof, of an air charter broker in advertisements, on or in places of business, or on or in aircraft or any other place in connection with the name of the air taxi or commuter air carrier in such manner that it may mislead or confuse potential consumers with respect to the status of the air charter broker.
In case of any violation of the provisions of 49 U.S.C. Subtitle VII, or this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding pursuant to section 46101 of 49 U.S.C. Subtitle VII before the Department, or sections 46106 through 46108 of 49 U.S.C. Subtitle VII before a U.S. District Court, as the case may be, to compel compliance therewith; or to civil penalties pursuant to the provisions of section 46301 of 49 U.S.C. Subtitle VII; or, in the case of a willful violation, to criminal penalties pursuant to the provisions of section 46316 of 49 U.S.C. Subtitle VII; or other lawful sanctions including revocation of operating authority.
The rules of conduct set forth in this part except as otherwise provided in this or any other DOT regulation shall govern the conduct of the parties and their representatives, and the relationships between the Office of the Secretary of Transportation, the Office of the Assistant Secretary for Aviation and International Affairs, and the Office of the General Counsel, including regular personnel, and officials, special Government employees, consultants, or experts under contract to the Department of Transportation (DOT) and administrative law judges (hereinafter referred to as “DOT employee(s)”) and all other persons in all DOT matters involving aviation economic and enforcement proceedings.
Certain of DOT's functions involving aviation economic and enforcement proceedings are similar to those of a court, and parties to cases before DOT and those who represent such parties are expected—in fact and in appearance—to conduct themselves with honor and dignity as they would before a court. By the same token, any DOT employee or administrative law judge carrying out DOT's quasi-judicial functions and any DOT employee making recommendations or advising them are expected to conduct themselves with the same fidelity to appropriate standards of propriety that characterize a court and its staff. The standing and effectiveness of DOT in carrying out its quasi-judicial functions are in direct relation to the observance by DOT, DOT employees, and the parties and attorneys appearing before DOT of the highest standards of judicial and professional ethics. The rules of conduct set forth in this part are to be interpreted in light of those standards.
(a) Basic requirement. Except as provided in paragraphs (c), (d) and (e) there shall be no substantive communication in either direction between any concerned DOT employee and any interested person outside DOT, concerning a public proceeding, until after final disposition of the proceeding, other than as provided by Federal statute or published DOT rule or order.
(b) Definitions. For purposes of this part:
(1) A “substantive communication” is any written or oral communication relevant to the merits of the proceeding.
(2) The “DOT decisionmaker” is defined in 14 CFR 302.2 and 302.18.
(3) A “concerned DOT employee” is a DOT employee who is or may reasonably be expected to be directly involved in a decision which is subject to a public proceeding.
(4) A “public proceeding” is one of the following:
(i) A hearing proceeding (i.e., proceeding conducted on-the record after notice and opportunity for an oral evidentiary hearing as provided in §§ 302.17-302.38)
(ii) A rulemaking proceeding involving a hearing as described in paragraph (b)(4)(i) of this section or an exemption proceeding covered by this chapter. (Other rulemaking proceedings are covered by the ex parte communication policies of DOT Order 2100.6B and 49 CFR 5.19).
(iii) A tariff filing after DOT has ordered an investigation or a complaint has been filed or docketed.
(iv) A proceeding initiated by DOT show-cause order, after the filing in the docket of an identifiable written opposition to the order's tentative findings.
(v) Any other proceeding initiated by a docket filing, other than a petition for generally applicable rulemaking, after the filing in the docket of an identifiable written opposition to the initiating document.
(c) General exceptions. Paragraph (a) of this section shall not apply to the following:
(1) Informal communications between legal counsel, including discussions about stipulations and other communications considered proper in Federal court proceedings.
(2) Information given to a DOT employee who is participating in a hearing case on behalf of an office that is a party, to another DOT employee who is reviewing that work, or to his or her supervisors within that office.
(3) Communications made in the course of an investigation to determine whether formal enforcement action should be begun.
(4) Settlement discussions and mediation efforts.
(5) Information given at the request of a DOT employee acting upon a specific direction of DOT, in a case other than a hearing proceeding as described in paragraphs (b)(4) (i) and (ii) (a “nonhearing case”), where DOT has decided that emergency conditions exist and this section would otherwise prevent the obtaining of needed information in a timely manner.
(6) Information given at the request of a DOT employee in a tariff matter after a complaint is filed but before an investigation is ordered.
(7) Nonhearing cases that are to be decided within 30 days after the filing of the initiating document.
(8) Nonhearing cases arising under 49 U.S.C. 41731-42.
(9) In nonhearing cases, communications with other Federal agencies not exempted by paragraph (e) of this section, provided the agencies have not participated as parties in the proceeding by making filings on-the-record.
(10) Information given at the request of a DOT career employee in the course of investigating or clarifying information filed, or pursuant to a waiver granted to an applicant or other interested person, in docketed proceedings involving determinations of fitness and/or U.S. citizenship only, for that portion of the proceeding that precedes the issuance of a show-cause order or an order instituting a formal proceeding. Motions for such waivers and any answers shall be filed in the applicable docket in accordance with § 302.11 of the Department's Procedural Regulations (14 CFR 302.11) and served upon all parties to the proceeding.
(d) Status and expedition requests. Paragraph (a) of this section shall not apply to oral or written communications asking about the status, or requesting expeditious treatment, of a public proceeding. However, any request for expeditious treatment should be made in accordance with the Rules of Practice, particularly Rule 11, § 302.11 of this chapter.
(e) National defense and foreign policy. In nonhearing cases, paragraph (a) of this section shall not apply to communications concerning national defense or foreign policy matters, including international aviation matters. In hearing cases, any communications on those subjects that would be barred by paragraph (a) of this section are permitted if the communicator's position with respect thereto cannot otherwise be fairly presented, but such communications shall not be included as part of the record on which decisions must be made.
(f) Communications not considered. A communication in violation of this section shall not be considered part of a record, or included as available material, for decision in any proceeding.
(a) General. The following types of substantive communication shall be reported as specified in paragraph (b) of this section:
(1) Any communication in violation of § 300.2(a) of this chapter.
(2) Information given upon determination of an emergency under § 300.2(c)(5) of this chapter.
(3) Information given at the request of a DOT employee in a tariff matter under § 300.2(c)(6) of this chapter.
(4) Communications in nonhearing cases to be decided within 30 days under § 300.2(c)(7) of this chapter.
(5) Communications in nonhearing cases arising under 49 U.S.C. 41731-42, made under § 300.2(c)(8).
(b) Public filing. (1) A written communication shall be placed onto the electronic docket management system (http://www.regulations.gov) in the file of the docket number corresponding to the proceeding, which shall be available for inspection and copying during business hours in Office of Docket Operations.
(2) An oral communication shall be summarized by the DOT employee receiving it. One copy shall be put into a public file as described in paragraph (b) (1) of this section, and another copy shall be mailed to the communicator.
(3) Electronic copies of written communications and oral summaries shall be posted to the DOT's electronic docket. Such docketed materials may be searched, viewed, and downloaded through the Internet at www.regulations.gov
(4) Copies of all filings under this part dealing with discontinuances or reductions of air transportation shall be mailed to the directly affected local communities, State agencies, and airport managers.
(c) Status and expedition requests. A DOT decisionmaker who receives a communication asking about the status or requesting expeditious treatment of a public proceeding, other than a communication concerning national defense or foreign policy (including international aviation), shall either:
(1) Refer the communicator to Office of Docket Operations.
(2) If the DOT decisionmaker responds by advising on the status, put a memorandum describing the exchange in the public file as described in paragraph (b)(1) of this section.
(a) This section applies after the initiation of a hearing or enforcement case by the Department.
(b) A DOT employee who is participating in a hearing case on behalf of an office that is a party, another DOT employee who is in fact reviewing the position taken, or who has participated in developing the position taken in that case, or, in cases involving accusatory or disciplinary issues (including all enforcement cases) such employees' supervisors within that office, shall have no substantive communication with any DOT decisionmaker, administrative law judge in the case, or other DOT employee advising them, with respect to that or any factually related hearing case, except in accordance with a published DOT rule or order. In addition, each bureau or office supervisor of a DOT employee who is participating in a hearing case on behalf of that office when it is a party shall have no substantive communication with any administrative law judge in the case, or DOT employee advising the judge, in that or any factually related hearing case, except in accordance with a published DOT rule or order. For each hearing case, bureau or office heads shall maintain a publicly available record of those employees who are participating or are in fact reviewing the position taken, or who have participated in developing the position taken in that case.
(c) In hearing cases involving fares or rates, or applications for a certificate or permit under 49 U.S.C. 41102 and 41302, or applications by a holder for a change in a certificate or permit, a supervisor who would not be permitted to advise the DOT decisionmaker under paragraph (b) of this section may advise the DOT decisionmaker in the following manner: The supervisor's advice must either be made orally in an open DOT meeting or by a memorandum placed in the docket or other public file of such matter. Oral advice must be summarized in writing by the supervisor and placed in the docket or file of the matter. A copy of such written memorandum or summary of oral advice must be served on each party to the proceeding within 3 business days after such advice is given to the concerned DOT decisionmaker. Each of the parties may comment in writing on such advice within 5 business days after service or the summary. In no event, however, may a supervisor advise the DOT decisionmaker if he or she acted as the office's counsel or witness in the matter.
(d) In enforcement cases, the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings, under the supervision of the career Deputy General Counsel and the General Counsel, will conduct all enforcement proceedings and related investigative functions, while the non-career Deputy General Counsel will advise the DOT decisionmaker in the course of the decisional process. The Office of the Assistant General Counsel for Aviation Enforcement and Proceedings will report to the career Deputy General Counsel and the General Counsel. To ensure the independence of these functions, this Office and the General Counsel, for the purpose of this section, shall be considered an “office” as that term is used in paragraph (b) of this section, separate from the non-career Deputy General Counsel and the rest of the Office of the General Counsel.
No person shall: (a) Attempt to influence the judgment of a concerned DOT employee by any unlawful means such as deception or the payment of money or other consideration; or
(b) Disrupt or interfere with the fair and orderly disposition of a DOT proceeding.
Every person representing a client in matters before DOT in all contacts with DOT employees, should:
(a) Strictly observe the standards of professional conduct;
(b) Refrain from statements or other actions designed to mislead DOT or to cause unwarranted delay;
(c) Avoid offensive or intemperate behavior;
(d) Advise all clients to avoid improprieties and to obey the law as the attorney believes it to be; and
(e) Terminate the professional relationship with any client who persists in improprieties in proceedings before DOT.
Every oral or written statement made in a DOT proceding shall be as concise as possible. Verbose or redundant presentations may be rejected.
The General Counsel is authorized to render opinions or rulings to the public on the application of the provisions of this part. When written request is made for such opinions and rulings, they shall be transmitted to DOT and shall be available to the public in the Documentary Services Division after any appeal to or review by the Secretary has been completed or after the time for review has expired. Identifying details shall normally be stricken from copies available to the public unless the public interest requires disclosure of such details.
No partner of a DOT employee shall act as agent or attorney for anyone other than the United States in any DOT proceeding or matter in which such employee participates or has participated personally and substantially through decision, approval, disapproval, recommendation, rendering advice, investigation, or otherwise, or which is the subject of his or her official responsibility.
In cases to be determined on an evidentiary record, a party desiring that a concerned DOT employee disqualify himself or herself from participating in a DOT decision shall file a motion supported by an affidavit setting forth the grounds for such disqualification in the form and within the periods prescribed in § 302.11 of this chapter. Where review of the administrative law judge's decision can be obtained only upon the filing of a petition for discretionary review, such motions must be filed on or before the date answers are due pursuant to § 302.32. In cases where exceptions are filed to recommended, initial, or tentative decisions or where the DOT decisionmaker orders review of an initial or recommended decision on his or her own initiative, such motions must be filed on or before the date briefs are due pursuant to § 302.35 or § 302.218, as applicable. Failure to file a timely motion will be deemed a waiver of disqualification. Applications for leave to file an untimely motion seeking disqualification of a concerned DOT employee must be accompanied by an affidavit setting forth in detail why the facts relied upon as grounds for disqualification were not known and could not have been discovered with reasonable diligence within the prescribed time.
No former CAB member or employee or DOT employee, or any person associated with him or her, shall ever use or undertake to use in any DOT proceeding or matter any confidential facts or information which came into the possession of such Member or employee or to his or her attention by reason of his or her employment with the CAB or DOT without first applying for and obtaining the consent of the appropriate ethics counselor for the use of such facts or information.
(a) DOT may disqualify, and deny temporarily or permanently the privilege of appearing or practicing before it in any way to, any person who is found by DOT after written notice of charges and hearing to have engaged in unethical or improper professional conduct. Any violation of this part shall be deemed to be such conduct.
(b) When appropriate in the public interest, DOT may deny any application or other request of a party in a proceeding subject to this part where DOT finds after hearing that such party has, in connection with any DOT proceeding, violated any of the provisions of this part or any of the provisions of Chapter 11 of Title 18 of the United States Code. DOT may also condition its further consideration of such party's application or other request or the effectiveness of any order granting such application or other request upon such party's first taking such action as DOT may deem necessary or appropriate to remedy the violation of this part or Chapter 11 of Title 18 of the United States Code to prevent or deter any repetition of such violation. DOT may in addition issue a cease and desist order against any repetition of such or similar misconduct.
(c) The actions authorized by this section may take place within the framework of the matter during or concerning which the violations occur or in a separate matter, as the DOT decisionmaker or the presiding administrative law judge may direct. A complaint alleging that a violation has occurred in the course of a matter shall be filed in the docket or appropriate public file of such matter unless such complaint is made after DOT's decision of the matter has become final, in which event such complaint may be filed pursuant to part 302, subpart D of the rules of practice. A violation in the course of a matter which may be attributable to or affect the fitness of a party will ordinarily either be disposed of within the framework of such matter or be considered within the context of any subsequent matter involving the interests of such party. Other violations will ordinarily be disposed of in a separate proceeding.
(d) In the case of any violation of the provisions of this part, the violator may be subject to civil penalties under the provisions of 49 U.S.C. 46301. The violator may also be subject to a proceeding brought under 49 U.S.C. 46101 before the Department, or sections 46106 through 46108 of the Statute before a U.S. District Court, as the case may be, to compel compliance with civil penalties which have been imposed.
(a) Applicability. This part governs the conduct of all aviation economic proceedings before the Department whether instituted by order of the Department or by the filing with the Department of an application, complaint, petition, motion, or other authorized or required document. This part also contains delegations to administrative law judges and to the DOT decisionmaker of the Department's function to render the agency decision in certain cases and the procedures for review of those decisions. This part applies unless otherwise specified by order of the Department.
(b) Description. Subpart A of this part sets forth general rules applicable to all types of proceedings. Each of the other subparts of this part sets forth special rules applicable to the type of proceedings described in the title of the subpart. Therefore, for information as to applicable rules, reference should be made to subpart A and to the rules in the subpart relating to the particular type of proceeding, if any. In addition, reference should be made to Subtitle VII of Title 49 of the United States Code (Transportation) (“the Statute”), and to the substantive rules, regulations and orders of the Department relating to the proceeding. Wherever there is any conflict between one of the general rules in subpart A and a special rule in another subpart applicable to a particular type of proceeding, the special rule will govern.
(c) Reference to part and method of citing rules. This part may be referred to as the “Rules of Practice”. Each section, and any paragraph or subparagraph thereof, may be referred to as a “Rule”. The number of each rule need include only the numbers and letters at the right of the decimal point. For example, “302.7 Service of documents”, may be referred to as “Rule 7”.
Administrative law judge as used in this part means an administrative law judge appointed pursuant to 5 U.S.C. 3105.
DOT Decisionmaker as used in this part is the official authorized to issue final decisions of the Department as set forth in § 302.18. This includes the Assistant Secretary for Aviation and International Affairs, the senior career official in the Office of the Assistant Secretary for Aviation and International Affairs, the Deputy Secretary, and the Secretary.
Hearing case or oral hearing case means any proceeding that the Department has determined will be conducted on the record using oral evidentiary procedures subject to 5 U.S.C. 556 and 557.
Non-hearing case means any proceeding not involving oral evidentiary procedures.
Party as used in this part includes the person initiating a proceeding, such as an applicant, complainant, or petitioner; any person filing an answer to such filing; and any other persons as set forth in § 302.10.
(a) Filing address, date of filing, hours. (1) Documents required by any section of this part to be filed with the Department must be filed with Department of Transportation Dockets at the Department's offices in Washington, DC. Documents may be filed either on paper or by electronic means using the process set at http://www.regulations.gov.
(2) Such documents will be deemed to be filed on the date on which they are actually received by the Department. Documents must be filed between the hours of 9:00 a.m. and 5:00 p.m., eastern standard or daylight savings time, whichever is in effect in the District of Columbia at the time, Monday to Friday, inclusive, except on legal holidays. Electronic filings may be made at any time under the process set by the Department. Electronic filings that are received after the specified Dockets Facility hours shall be deemed to be constructively received on the next Dockets Facility business day.
(b) Formal specifications of documents. (1) Documents filed under this part must be on white paper not larger than 8
(2) Papers may be reproduced by any duplicating process, provided all copies are clear and legible. Appropriate notes or other indications must be used, so that the existence of any matters shown in color on the original will be accurately indicated on all copies.
(c) Number of copies. Unless otherwise specified, an executed original, along with the number of true copies set forth below for each type of proceeding, must be filed with Department of Transportation Dockets. The copies filed need not be signed, but the name of the person signing the original document, as distinguished from the firm or organization he or she represents, must also be typed or printed on all copies below the space provided for signature. Electronic filers need only submit one copy of the document, which must conform to the submission requirements given in the electronic filing instructions at http://www.regulations.gov and in this part, as applicable.
| Number
of copies | |
|---|---|
| Airport Fees | 9 |
| Agreements: | |
| International Air Transport Association (IATA) | 6 |
| Other (under 49 U.S.C. 41309) | 9 |
| Complaints: | |
| Enforcement | 5 |
| Mail Contracts | 4 |
| Rates, Fares and Charges in Foreign Air Transportation | 6 |
| Unfair Practices in Foreign Air Transportation | 7 |
| Employee Protection Program (14 CFR 314) | 7 |
| Exemptions: | |
| Computer Reservations Systems (14 CFR 255) | 8 |
| Slot Exemptions (under 49 U.S.C. 41714) | 7 |
| Tariffs (under 49 U.S.C. Chapter 415 or 14 CFR 221) | 5 |
| Other (under 49 U.S.C. 40109) | 7 |
| Foreign Air Carrier Permits/Exemptions | 7 |
| International Authority for U.S. Air Carriers (certificates, exemptions, allocation of limited frequencies, designations, or charters) | 7 |
| Mail Rate Proceedings | 4 |
| Name Change/Trade Name Registrations | 4 |
| Suspension of Service (14 CFR 323) | 4 |
| Tariff Justifications to exceed Standard International Fare Level | 6 |
| U.S. Air Carrier Certificates (involving Initial or Continuing Fitness) | 6 |
| Other matters | 3 |
(d) Prohibition and dismissal of certain documents. (1) No document that is subject to the general requirements of this subpart concerning form, filing, subscription, service or similar matters will be accepted for filing by the Department, and will not be physically incorporated in the docket of the proceeding, unless:
(i) Such document and its filing by the person submitting it have been expressly authorized or required in the Statute, any other law, this part, other Department regulations, or any order, notice or other document issued by the DOT decisionmaker, the Chief Administrative Law Judge or an administrative law judge assigned to the proceeding, and
(ii) Such document complies with each of the requirements of this paragraph and 302.7, and for those electronically filed, the requirements specified at http://www.regulations.gov, and is submitted as a formal application, complaint, petition, motion, answer, pleading, or similar paper rather than as a letter, telegram, or other informal written communication; Provided, however, That for good cause shown, pleadings of any public body or civic organization or comments concerning tariff agreements that have not been docketed, may be submitted in the form of a letter.
(2) If any document initiating, or filed in, a proceeding is not in substantial conformity with the applicable rules or regulations of the Department as to the contents thereof, or is otherwise insufficient, the Department, on its own initiative, or on motion of any party, may reject, strike or dismiss such document, or require its amendment.
(e) Official docket copy. With respect to all documents filed under this part, the electronic record produced by the Department shall thereafter be the official docket copy of the document and any subsequent copies generated by the Department's electronic records system will be usable for admission as record copies in any proceeding before the Department.
(f) Retention of documents by the Department. All documents filed with or presented to the Department Dockets will be retained in the permanent docket of the Department of Transportation.
(a) Contents. (1) In case there is no rule, regulation, or order of the Department that prescribes the contents of a formal application, petition, complaint, motion or other authorized or required document, such document shall contain a proper identification of the parties concerned, a concise but complete statement of the facts relied upon and the relief sought, and, where required, such document shall be accompanied by an Energy Statement, in conformity with the provisions of part 313 of this chapter.
(2)(i) Each document must include with or provide on its first page:
(A) The docket title and subject;
(B) The relevant operating administration before which the application or request is filed;
(C) The identity of the filer and its filing agent, if applicable;
(D) The name and mailing address of the designated agent for service of any documents filed in the proceeding, along with the telephone and facsimile numbers and, if available, electronic mail address of that person; and
(E) The title of the specific action being requested.
(ii) Department of Transportation Dockets has an Expedited Processing Sheet that filers can use to assist in preparing this index for submission of paper documents, and an electronic registration for electronic filing at http://www.regulations.gov.
(3) All documents filed under this part consisting of twenty (20) or more pages must contain a subject index of the matter in such document, with page references.
(b) Verification: The following certification shall be included with every pleading filed under this part: “Pursuant to Title 18 United States Code Section 1001, I [the individual signing the pleading, who shall be a principal owner, senior officer, or internal counsel of the pleader], in my individual capacity and as the authorized representative of the pleader, have not in any manner knowingly and willfully falsified, concealed or failed to disclose any material fact or made any false, fictitious, or fraudulent statement or knowingly used any documents which contain such statements in connection with the preparation, filing or prosecution of the pleading. I understand that an individual who is found to have violated the provisions of 18 U.S.C. section 1001 shall be fined or imprisoned not more than five years, or both.” In addition, electronic subscription requirements shall be those specified at http://www.regulations.gov.
(a) An application may be amended prior to the filing of answers thereto, or, if no answer is filed, prior to the issuance of an order establishing further procedures, disposing of the application, or setting the case for hearing. Thereafter, applications may be amended only if leave is granted pursuant to the procedures set forth in § 302.11.
(b) Except as otherwise provided, if properly amended, a document and any statutory deadline shall be made effective as of the date of original filing but the time prescribed for the filing of an answer or any further responsive document directed towards the amended document shall be computed from the date of the filing of the amendment.
(a) Answers. Answers to applications, complaints, petitions, motions or other documents or orders instituting proceedings may be filed by any person. In hearing cases, answers may be filed by any party to such proceedings or any person who has a petition for intervention pending. Except as otherwise provided, answers are not required.
(b) Further responsive documents. Except as otherwise provided, a reply to an answer, reply to a reply, or any further responsive document is not authorized.
(c) Motions for leave to file otherwise unauthorized documents. (1) The Department will accept otherwise unauthorized documents for filing only if leave has been obtained from the DOT decisionmaker or, if applicable, the administrative law judge, on written motion and for good cause shown.
(2) Such motions shall contain a concise statement of the matters relied upon as good cause and shall be attached to the pleading or other document for which leave to file is sought, or the written motion may be incorporated into the otherwise unauthorized document for which admission is sought. In such event, the document filed shall be titled to describe both the motion and the underlying documents.
(3) Where unauthorized responsive documents are not permitted, all new matter contained in an answer filed pursuant to paragraph (a) of this section shall be deemed controverted.
(d) Time for filing. Except as otherwise provided, an answer, motion, or other further responsive document shall be filed within seven (7) days after service of any document, order, or ruling to which the proposed filing is responsive and must be served on all parties to the proceeding.
(a) Who makes service—(1) The Department. Formal complaints, notices, orders, and similar documents issued by the Department will be served by the Department upon all parties to the proceeding.
(2) The parties. Answers, petitions, motions, briefs, exceptions, notices, protests, or memoranda, or any other documents filed by any party or other person with the Department shall be served by such party or other person upon all parties to the proceeding in which it is filed; including, where applicable, all persons who have petitioned for intervention in, or consolidation of applications with, such proceeding. Proof of service shall accompany all documents when they are filed. The Department may require additional service of any document(s).
(b) How service may be made. Service may be made by first class mail, express mail, priority mail, registered or certified mail, facsimile transmission, personal delivery, or by electronic mail. The Department may prescribe other means of service by order or notice. The means of service selected must be done in such manner so as to have the same attributes as section 46103 of 49 U.S.C. Subtitle VII, which provides for service of notices and processes in a proceeding by personal service or registered or certified mail.
(c) Who may be served. Service upon a party or person may be made upon an individual, or upon a member of a partnership or firm to be served, or upon the president or other officer of the corporation, company, firm, or association to be served, or upon the assignee or legal successor of any of the foregoing, or upon any attorney of record for the party, or upon the agent designated by an air carrier or foreign air carrier under section 46103 of 49 U.S.C. Subtitle VII, but it shall be served upon a person designated by a party to receive service of documents in a particular proceeding in accordance with § 302.4(a)(2)(i)(D) once a proceeding has been commenced.
(d) Where service may be made. Service shall be made at the principal place of business of the party to be served, or at his or her usual residence if he or she is an individual, or at the office of the party's attorney of record, or at the office or usual residence of the agent designated by an air carrier or foreign air carrier under section 46103 of 49 U.S.C. Subtitle VII, or at the post office or electronic address or facsimile number stated for a person designated to receive service pursuant to§ 302.4(a)(2)(i)(D).
(e) Proof of service. Proof of service of any document shall consist of one of the following:
(1) A certificate of mailing executed by the person mailing the document.
(2) A certificate of successful transmission executed by the person transmitting the document by facsimile or electronic mail, listing the facsimile numbers or electronic mail address to which the document was sent, and stating that no indication was received that any transmission had failed. In the event of an electronic transmission failure, any other authorized means of service may be substituted and the appropriate proof of service provided.
(f) Date of service. The date of service by post office or electronic mail is the date of mailing. Whenever proof of service by personal delivery or facsimile transmission is made, the date of such delivery or facsimile transmission shall be the date of service.
(g) Freely Associated State Proceedings. In any proceeding directly involving air transportation to the Federated States of Micronesia, the Marshall Islands, or Palau, the Department and any party or participant in the proceeding shall serve all documents on the President and the designated authorities of the government(s) involved. This requirement shall apply to all proceedings where service is otherwise required, and shall be in addition to any other service required by this chapter.
In computing any period of time prescribed or allowed by this part, by notice, order or regulation or by any applicable statute, the day of the act, event, or default after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Saturday, Sunday, or legal holiday for the Department, in which event the period runs until the end of the next day that is neither a Saturday, Sunday, nor holiday. When the period of time prescribed is seven (7) days or fewer, intermediate Saturdays, Sundays, and holidays shall be excluded in the computation, unless otherwise specified by the DOT decisionmaker or the administrative law judge assigned to the proceeding, as the case may be.
(a) Whenever a party has the right or obligation to take action within a period prescribed by this part, by a notice given thereunder, or by an order or regulation, the DOT decisionmaker or the administrative law judge assigned to the proceeding, as appropriate, may:
(1) Before the expiration of the prescribed period, with or without notice, extend such period, or
(2) Upon motion, permit the act to be done after the expiration of the specified period, where good cause for the failure to act on time is clearly shown.
(b) Except where an administrative law judge has been assigned to a proceeding, requests for continuance or extensions of time, as described in paragraph (a) of this section, shall be directed to the DOT decisionmaker. Requests for continuances and extensions of time may be directed to the Chief Administrative Law Judge in the absence of the administrative law judge assigned to the proceeding.
(a) In addition to the persons set forth in § 302.2, in hearing cases, parties shall include Department staff designated to participate in the proceeding and any persons authorized to intervene or granted permission to participate in accordance with §§ 302.19 and 302.20. In any proceeding directly involving air transportation to the Federated States of Micronesia, the Marshall Islands or Palau, these governments or their designated authorities shall be a party.
(b) Upon motion and for good cause shown, the Department may order a substitution of parties, except that in case of the death of a party, substitution may be ordered without the filing of a motion.
(c) An association composed entirely or in part of air carriers may participate in any proceedings of the Department to which the Department's procedural regulations apply if the association represents members that are identified in any documents filed with the Department, and that have specifically authorized the positions taken by the association in that proceeding. The specific authorizations may be informal and evidence of them shall be provided only upon request of the Department. Upon motion of any interested person or upon its own initiative, the Department may issue an order requiring an association to withdraw from a case on the grounds of significant divergence of interest or position within the association.
(a) Generally. An application to the DOT decisionmaker or an administrative law judge for an order or ruling not otherwise specifically provided for in this part shall be by motion. If an administrative law judge is assigned to a proceeding and before the issuance of a recommended or initial decision or the certification of the record to the DOT decisionmaker, all motions shall be addressed to the administrative law judge. At all other times, motions shall be addressed to the DOT decisionmaker. All motions shall be made at an appropriate time depending upon the nature thereof and the relief requested therein. This paragraph should not be construed as authorizing motions in the nature of petitions for reconsideration.
(b) Form and contents. Unless made during a hearing, motions shall be made in writing in conformity with §§ 302.3 and 302.4, shall state their grounds and the relief or order sought, and shall be accompanied by any affidavits or other evidence desired to be relied upon. Motions made during hearings, answers to them, and rulings on them, may be made orally on the record unless the administrative law judge directs otherwise. Written motions shall be filed as separate documents, and shall not be incorporated in any other documents, except where incorporation of a motion in another document is specifically authorized by the Department, or where a document is filed that requests alternative forms of relief and one of these alternative requests is properly to be made by motion. In these instances the document filed shall be appropriately titled and identified to indicate that it incorporates a motion; otherwise, the motion will be disregarded.
(c) Answers to motions. Within seven (7) days after a motion is served, or such other period as the DOT decisionmaker or the administrative law judge may fix, any party to the proceeding may file an answer in support of or in opposition to the motion, accompanied by such affidavits or other evidence as it desires to rely upon. Except as otherwise provided, no reply to an answer, reply to a reply, or any further responsive document shall be filed.
(d) Oral arguments; briefs. No oral argument will be heard on motions unless the DOT decisionmaker or the administrative law judge otherwise directs. Written memoranda or briefs may be filed with motions or answers to motions, stating the points and authorities relied upon in support of the position taken.
(e) Requests for expedition. Any interested person may by motion request expedition of any proceeding or file an answer in support of or in opposition to such motions.
(f) Effect of pendency of motions. The filing or pendency of a motion shall not automatically alter or extend the time to take action fixed by this part or by any order of the Department or of an administrative law judge (or any extension granted thereunder).
(g) Disposition of motions. The DOT decisionmaker shall pass upon all motions properly submitted to him or her for decision. The administrative law judge shall pass upon all motions properly addressed to him or her, except that, if the administrative law judge finds that a prompt decision by the DOT decisionmaker on a motion is essential to the proper conduct of the proceeding, the administrative law judge may refer such motion to the DOT decisionmaker for decision.
(h) Appeals to the DOT decisionmaker from rulings of administrative law judges. Rulings of administrative law judges on motions may not be appealed to the DOT decisionmaker prior to his or her consideration of the entire proceeding except in extraordinary circumstances and with the consent of the administrative law judge. An appeal shall be disallowed unless the administrative law judge finds, either on the record or in writing, that the allowance of such an appeal is necessary to prevent substantial detriment to the public interest or undue prejudice to any party. If an appeal is allowed, any party may file a brief with the DOT decisionmaker within such period as the administrative law judge directs. No oral argument will be heard unless the DOT decisionmaker directs otherwise. The rulings of the administrative law judge on a motion may be reviewed by the DOT decisionmaker in connection with his or her final action in the proceeding or at any other appropriate time irrespective of the filing of an appeal or any action taken on it.
(a) Generally. Part 7 of the Office of the Secretary regulations, Public Availability of Information, governs the availability of records and documents of the Department to the public. (49 CFR 7.1 et seq.)
(b) Information contained in written documents. Any person who objects to the public disclosure of any information filed in any proceeding, or pursuant to the provisions of 49 U.S.C. Subtitle VII, or any Department rule, regulation, or order, shall segregate, or request the segregation of, such information into a separate submission and shall file it separately in a sealed envelope, bearing the caption of the enclosed submission, and the notation “Confidential Treatment Requested Under § 302.12.” At the time of filing such submission (or, when the objection is made by a person who is not the filer, within five (5) days after the filing of such submission), the objecting party shall file a motion to withhold the information from public disclosure, in accordance with the procedure outlined in paragraph (d) or (f) of this section, as appropriate. Notwithstanding any other provision of this section, copies of the filed submission and of the motion need not be served upon any other party unless so ordered by the Department.
(c) Information contained in oral testimony. Any person who objects to the public disclosure of any information sought to be elicited from a witness or deponent on oral examination shall, before such information is disclosed, make his or her objection known. Upon such objection duly made, the witness or deponent shall be compelled to disclose such information only in the presence of the administrative law judge or the person before whom the deposition is being taken, as the case may be, the official stenographer and such attorneys for and representative of each party as the administrative law judge or the person before whom the deposition is being taken shall designate, and after all present have been sworn to secrecy. The transcript of testimony containing such information shall be segregated and filed in a sealed envelope, bearing the title and docket number of the proceeding, and the notation “Confidential Treatment Requested Under § 302.12 Testimony Given by (name of witness or deponent).” Within five (5) days after such testimony is given, the objecting person shall file a motion in accordance with the procedure outlined in paragraph (d) of this section, to withhold the information from public disclosure. Notwithstanding any other provision of this section, copies of the segregated portion of the transcript and of the motion need not be served upon any other party unless so ordered by the Department.
(d) Form of motion. Motions to withhold from public disclosure information covered by paragraphs (b) and (c) of this section shall be filed with the Department in accordance with the following procedure:
(1) The motion shall include:
(i) An index listing the information or document sought to be withheld by an identifying number, and including its title, description and number of pages, and, if relevant, the specific location within a document;
(ii) A statement explaining how and why the information falls within one or more of the exemptions from the Freedom of Information Act (5 U.S.C. 552(b)(1)-(9)); and
(iii) A statement explaining how and why public disclosure of the information would adversely affect the interests of the objecting persons and is not required in the interest of the public.
(2) Such motion shall be filed with the person conducting the proceeding, or with the person with whom said application, report, or submission is required to be filed. Such motion will be denied when the complete justification required by this paragraph is not provided.
(3) During the pendency of such motion, the ruling official may, by notice or order, allow limited disclosure to parties' representatives, for purposes of participating in the proceeding, upon submission by them of affidavits swearing to protect the confidentiality of the documents at issue.
(e) Conditions of disclosure. The order, notice or other action of the Department containing its ruling upon each such motion will specify the extent to which, and the conditions upon which, the information may be disclosed to the parties and to the public, which ruling shall become effective upon the date stated therein, unless, within five (5) days after the date of the entry of the Department's order with respect thereto, a petition is filed by the objecting person requesting reconsideration by the Department, or a written statement is filed indicating that the objecting person in good faith intends to seek judicial review of the Department's order.
(f) Objection by Government departments or representative thereof. In the case of objection to the public disclosure of any information filed by or elicited from any United States Government department or agency, or representative thereof, under paragraph (b) or (c) of this section, the department or agency making such objection shall be exempted from the provisions of paragraphs (b), (c), and (d) of this section insofar as said paragraphs require the filing of a written objection to such disclosure. However, any department, agency, or representative thereof may, if it so desires, file a memorandum setting forth the reasons why it is claimed that a public disclosure of the information should not be made. If such a memorandum is submitted, it shall be filed and handled as is provided by this section in the case of a motion to withhold information from public disclosure.
(a) Initiation of consolidations. The Department, upon its own initiative or upon motion, may consolidate for hearing or for other purposes or may contemporaneously consider two or more proceedings that involve substantially the same parties, or issues that are the same or closely related, if it finds that such consolidation or contemporaneous consideration will be conducive to the proper dispatch of its business and to the ends of justice and will not unduly delay the proceedings. Although the Department may, in any particular case, consolidate or contemporaneously consider two or more proceedings on its own motion, the burden of seeking consolidation or contemporaneous consideration of a particular application shall rest upon the applicant and the Department will not undertake to search its docket for all applications that might be consolidated or contemporaneously considered.
(b) Time for filing. Unless the Department has provided otherwise in a particular proceeding, a motion to consolidate or contemporaneously consider an application with any other application shall be filed within 21 days of the original application in the case of international route awards under section 41102 of 49 U.S.C. Subtitle VII (see § 302.212), or, where a proceeding has been set for hearing before an administrative law judge, not later than the prehearing conference in the proceeding with which consolidation or contemporaneous consideration is requested. If made at such conference, the motion may be oral. All motions for consolidation or consideration of issues that enlarge, expand, or otherwise change the nature of the proceeding shall be addressed to the DOT decisionmaker, unless made orally at the prehearing conference, in which event the presiding administrative law judge shall present such motion to the DOT decisionmaker for his or her decision. A motion that is not timely filed, or that does not relate to an application pending at such time, shall be dismissed unless the movant shall clearly show good cause for failure to file such motion or application on time.
(c) Answer. If a motion to consolidate two or more proceedings is filed with the Department, any party to any of such proceedings, or any person who has a petition for intervention pending, may file an answer to such motion within such period as the DOT decisionmaker may permit. The administrative law judge may require that answers to such motions be stated orally at the prehearing conference in the proceeding with which the consolidation is proposed.
(a) Department orders subject to reconsideration; time for filing. (1) Unless an order or a rule of the Department specifically provides otherwise:
(i) Any interested person may file a petition for reconsideration of any interlocutory order issued by the Department that institutes a proceeding; and
(ii) Any party to a proceeding may file a petition for reconsideration, rehearing, or reargument of final orders issued by the Department (See § 302.38), or an interlocutory order that defines the scope and issues of a proceeding or suspends a provision of a tariff on file with the Department.
(2) Unless otherwise provided, petitions for reconsideration shall be filed, in the case of a final order, within twenty (20) days after service thereof, and, in the case of an interlocutory order, within ten (10) days after service. However, neither the filing nor the granting of such a petition shall operate as a stay of such final or interlocutory order unless specifically so ordered by the DOT decisionmaker. Within ten (10) days after a petition for reconsideration, rehearing, or reargument is filed, any party to the proceeding may file an answer in support of or in opposition. Motions for extension of time to file a petition or answer, and for leave to file a petition or answer after the time for the filing has expired, will not be granted except on a showing of unusual and exceptional circumstances, constituting good cause for the movant's inability to meet the established procedural dates.
(b) Contents of petition. A petition for reconsideration, rehearing, or reargument shall state, briefly and specifically, the matters of record alleged to have been erroneously decided, the ground relied upon, and the relief sought. If a decision by the Secretary or Deputy Secretary is requested, the petition should describe in detail the reasons for such request and specify any important national transportation policy issues that are presented. If the petition is based, in whole or in part, on allegations as to the consequences that would result from the final order, the basis of such allegations shall be set forth. If the petition is based, in whole or in part, on new matter, such new matter shall be set forth, accompanied by a statement to the effect that petitioner, with due diligence, could not have known or discovered such new matter prior to the date the case was submitted for decision. Unless otherwise directed by the DOT decisionmaker upon a showing of unusual or exceptional circumstances, petitions for reconsideration, rehearing or reargument or answers thereto that exceed twenty-five (25) pages (including appendices) in length shall not be accepted for filing by Department of Transportation Dockets.
(c) Successive petitions. A successive petition for rehearing, reargument, reconsideration filed by the same party or person, and upon substantially the same ground as a former petition that has been considered or denied will not be entertained.
In cases where oral evidentiary hearing procedures will not be used, § 302.17 through § 302.37, relating to hearing procedures, shall not be applicable except to the extent that the DOT decisionmaker shall determine that the application of some or all of such rules in the particular case will be conducive to the proper dispatch of its business and to the public interest. References in these and other sections of this part to powers or actions by administrative law judges shall not apply.
Any interested person may petition the Department for the issuance, amendment, modification, or repeal of any regulation or guidance document, or for the Department to perform a retrospective review of an existing rule, subject to the provisions of 49 CFR 5.13(c) and 5.43.
(a) Powers and delegation of authority. (1) An administrative law judge shall have the following powers, in addition to any others specified in this part:
(i) To give notice concerning and to hold hearings;
(ii) To administer oaths and affirmations;
(iii) To examine witnesses;
(iv) To issue subpoenas and to take or cause depositions to be taken;
(v) To rule upon offers of proof and to receive relevant evidence;
(vi) To regulate the course and conduct of the hearing;
(vii) To hold conferences before or during the hearing for the settlement or simplification of issues;
(viii) To rule on motions and to dispose of procedural requests or similar matters;
(ix) To make initial or recommended decisions as provided in § 302.31;
(x) To take any other action authorized by this part or by the Statute.
(2) The administrative law judge shall have the power to take any other action authorized by part 385 of this chapter or by the Administrative Procedure Act.
(3) The administrative law judge assigned to a particular case is delegated the DOT decisionmaker's function of making the agency decision on the substantive and procedural issues remaining for disposition at the close of the hearing in such case, except that this delegation does not apply in cases where the record is certified to the DOT decisionmaker, with or without an initial or recommended decision by the administrative law judge, or in cases requiring Presidential approval under section 41307 of 49 U.S.C. Subtitle VII. This delegation does not apply to the review of rulings by the administrative law judge on interlocutory matters that have been appealed to the DOT decisionmaker in accordance with the requirements of § 302.11.
(4) The administrative law judge's authority in each case will terminate either upon the certification of the record in the proceeding to the DOT decisionmaker, or upon the issuance of an initial or recommended decision, or when he or she shall have withdrawn from the case upon considering himself or herself disqualified.
(b) Disqualification. An administrative law judge shall withdraw from the case if at any time he or she deems himself or herself disqualified. If, prior to the initial or recommended decision in the case, there is filed with the administrative law judge, in good faith, an affidavit of personal bias or disqualification with substantiating facts and the administrative law judge does not withdraw, the DOT decisionmaker shall determine the matter, if properly presented by exception or brief, as a part of the record and decision in the case. The DOT decisionmaker shall not otherwise consider any claim of bias or disqualification. The DOT decisionmaker, in his or her discretion, may order a hearing on a charge of bias or disqualification.
(a) Assistant Secretary for Aviation and International Affairs. Except as provided in paragraphs (b) and (c) of this section, the Assistant Secretary for Aviation and International Affairs is the DOT decisionmaker. The Assistant Secretary shall have all of the powers set forth in § 302.17(a)(1) and those additional powers delegated by the Secretary. The Assistant Secretary may delegate this authority in appropriate non-hearing cases to subordinate officials.
(b) Oral hearing cases assigned to the senior career official. Carrier selection proceedings for international route authority that are set for oral hearing and such other oral hearing cases as the Secretary deems appropriate will be assigned to the senior career official in the Office of the Assistant Secretary for Aviation and International Affairs, who will serve as the DOT decisionmaker. In all such cases, the administrative law judge shall render a recommended decision to the senior career official, who shall have all of the powers set forth in § 302.17(a)(1) and those additional powers delegated by the Secretary.
(1) Decisions of the senior career official are subject to review by, and at the discretion of, the Assistant Secretary for Aviation and International Affairs. Petitions for discretionary review of decisions of the senior career official will not be entertained. A notice of review by the Assistant Secretary will establish the procedures for review. Unless a notice of review is issued, the decision of the senior career official will be issued as a final decision of the Department and will be served fourteen (14) days after it is adopted by the senior career official.
(2) Final decisions of the senior career official may be reviewed upon a petition for reconsideration filed pursuant to § 302.14. Such a petition shall state clearly the basis for requesting reconsideration and shall specify any questions of national transportation policy that may be involved. The Assistant Secretary will either grant or deny the petition.
(3) Upon review or reconsideration, the Assistant Secretary may either affirm the decision or remand the decision to the senior career official for further action consistent with such order of remand.
(4) Subject to the provisions of paragraphs (b)(1) through (3) of this section, final decisions of the senior career official will be transmitted to the President of the United States when required under 49 U.S.C. 41307.
(c) Secretary and Deputy Secretary. The Secretary or Deputy Secretary may exercise any authority of the Assistant Secretary whenever he or she believes a decision involves important questions of national transportation policy.
Any person, including any State, subdivision thereof, State aviation commission, or other public body, may appear at any hearing, other than in an enforcement proceeding, and present any evidence that is relevant to the issues. With the consent of the administrative law judge or the DOT decisionmaker, such person may also cross-examine witnesses directly. Such persons may also present to the administrative law judge a written statement on the issues involved in the proceeding. Such written statements shall be filed and served on all parties prior to the close of the hearing.
(a) Who may intervene. Any person who has a statutory right to be made a party to an oral evidentiary hearing proceeding shall be permitted to intervene. Any person whose intervention will be conducive to the public interest and will not unduly delay the conduct of such proceeding may be permitted to intervene.
(b) Considerations relevant to determination of petition to intervene. In passing upon a petition to intervene, the following factors, among other things, will be considered and will be liberally interpreted to facilitate the effective participation by members of the public in Department proceedings:
(1) The nature of the petitioner's right under the statute to be made a party to the proceeding;
(2) The nature and extent of the property, financial or other interest of the petitioner;
(3) The effect of the order that may be entered in the proceeding on petitioner's interest;
(4) The availability of other means whereby the petitioner's interest may be protected;
(5) The extent to which petitioner's interest will be represented by existing parties;
(6) The extent to which petitioner's participation may reasonably be expected to assist in the development of a sound record; and
(7) The extent to which participation of the petitioner will broaden the issues or delay the proceeding.
(c) Petition to intervene—(1) Contents. Any person desiring to intervene in a proceeding shall file a petition in conformity with this part setting forth the facts and reasons why he or she thinks he or she should be permitted to intervene. The petition should make specific reference to the factors set forth in paragraph (b) of this section.
(2) Time for filing. Unless otherwise ordered by the Department:
(i) A petition to intervene shall be filed with the Department prior to the first prehearing conference, or, in the event that no such conference is to be held, not later than fifteen (15) days prior to the hearing.
(ii) A petition to intervene filed by a city, other public body, or a chamber of commerce shall be filed with the Department not later than the last day prior to the beginning of the hearing.
(iii) A petition to intervene that is not timely filed shall be dismissed unless the petitioner shall clearly show good cause for his or her failure to file such petition on time.
(3) Answer. Any party to a proceeding may file an answer to a petition to intervene, making specific reference to the factors set forth in paragraph (b) of this section, within seven (7) days after the petition is filed.
(4) Disposition. The decision granting, denying or otherwise ruling on any petition to intervene may be issued without receiving testimony or oral argument either from the petitioner or other parties to the proceeding.
(d) Effect of granting intervention. A person permitted to intervene in a proceeding thereby becomes a party to the proceeding. However, interventions provided for in this section are for administrative purposes only, and no decision granting leave to intervene shall be deemed to constitute an expression by the Department that the intervening party has such a substantial interest in the order that is to be entered in the proceeding as will entitle it to judicial review of such order.
(a) Any party to a proceeding may appear and be heard in person or by a designated representative.
(b) No register of persons who may practice before the Department is maintained and no application for admission to practice is required.
(c) Any person practicing or desiring to practice before the Department may, upon hearing and good cause shown, be suspended or barred from practicing.
(a) Purpose and scope of conference. At the discretion of the administrative law judge, a prehearing conference may be called prior to any hearing. Written notice of the prehearing conference shall be sent by the administrative law judge to all parties to a proceeding and to other persons who appear to have an interest in such proceeding. The purpose of such a conference is to define the issues and the scope of the proceeding, to secure statements of the positions of the parties and amendments to the pleadings, to schedule the exchange of exhibits before the date set for hearing, and to arrive at such agreements as will aid in the conduct and disposition of the proceeding. For example, consideration will be given to:
(1) Matters that the DOT decisionmaker can consider without the necessity of proof;
(2) Admissions of fact and of the genuineness of documents;
(3) Requests for documents;
(4) Admissibility of evidence;
(5) Limitation of the number of witnesses;
(6) Reducing of oral testimony to exhibit form;
(7) Procedure at the hearing; and
(8) Use of electronic media as a basis for exchange of briefs, hearing transcripts and exhibits, etc., in addition to the official record copy.
(b) Actions during prehearing conference. The administrative law judge may require a further conference, or responsive pleadings, or both. If a party refuses to produce documents requested by another party at the conference, the administrative law judge may compel the production of such documents prior to a hearing by subpoena issued in accordance with the provisions of § 302.25 as though at a hearing. Applications for the production prior to hearing of documents in the Department's possession shall be addressed to the administrative law judge, in accordance with the provisions of § 302.25(g), in the same manner as provided therein for production of documents at a hearing. The administrative law judge may also, on his or her own initiative or on motion of any party, direct any party to the proceeding (air carrier or non-air carrier) to prepare and submit exhibits setting forth studies, forecasts, or estimates on matters relevant to the issues in the proceeding.
(c) Report of prehearing conference. The administrative law judge shall issue a report of prehearing conference, defining the issues, giving an account of the results of the conference, specifying a schedule for the exchange of exhibits and rebuttal exhibits, the date of hearing, and specifying a time for the filing of objections to such report. The report shall be served upon all parties to the proceeding and any person who appeared at the conference. Objections to the report may be filed by any interested person within the time specified therein. The administrative law judge may revise his or her report in the light of the objections presented. The revised report, if any, shall be served upon the same persons as was the original report. Exceptions may be taken on the basis of any timely written objection that has not been met by a revision of the report if the exceptions are filed within the time specified in the revised report. Such report shall constitute the official account of the conference and shall control the subsequent course of the proceeding, but it may be reconsidered and modified at any time to protect the public interest or to prevent injustice.
The administrative law judge to whom the case is assigned or the DOT decisionmaker shall give the parties reasonable notice of a hearing or of the change in the date and place of a hearing and the nature of such hearing.
(a) Presenting evidence. Presenting evidence at the hearing shall be limited to material evidence relevant to the issues as drawn by the pleadings or as defined in the report of prehearing conference, subject to such later modifications of the issues as may be necessary to protect the public interest or to prevent injustice, and shall not be unduly repetitious. Evidence shall be presented in such form by all parties as the administrative law judge may direct.
(b) Objections to evidence. Objections to the admission or exclusion of evidence shall be in short form, stating the grounds of objections relied upon, and the transcript shall not include argument or debate except as ordered by the administrative law judge. Rulings on such objections shall be a part of the transcript.
(c) Exhibits. When exhibits are offered in evidence, one copy must be furnished to each of the parties at the hearing, and two copies to the administrative law judge, unless the parties previously have been furnished with copies or the administrative law judge directs otherwise. If the administrative law judge has not fixed a time for the exchange of exhibits, the parties shall exchange copies of exhibits at the earliest practicable time, preferably before the hearing or, at the latest, at the commencement of the hearing. Copies of exhibits may, at the discretion of the administrative law judge or the DOT decisionmaker, be furnished by use of electronic media in lieu of or in addition to a paper record copy.
(d) Substitution of copies for original exhibits. In his or her discretion, the administrative law judge may permit a party to withdraw original documents offered in evidence and substitute true copies in lieu thereof.
(e) Designation of parts of documents. When relevant and material matter offered in evidence by any party is embraced in a book, paper, or document containing other matter not material or relevant, the party offering the same shall plainly designate the matter so offered. The immaterial and irrelevant parts shall be excluded and shall be segregated insofar as practicable. If the volume of immaterial or irrelevant matter would unduly encumber the record, such submission will not be received in evidence, but may be marked for identification, and, if properly authenticated, the relevant or material matter may be read into the record, or, if the administrative law judge so directs, a true copy of such matter, in proper form, shall be received as an exhibit, and like copies delivered by the party offering the same to opposing parties or their attorneys appearing at the hearing, who shall be afforded an opportunity to examine the submission, and to offer in evidence in like manner other portions of the exhibit.
(f) Records in other proceedings. In case any portion of the record in any other proceeding or civil or criminal action is offered in evidence, a true copy of such portion shall be presented for the record in the form of an exhibit unless:
(1) The portion is specified with particularity in such manner as to be readily identified;
(2) The party offering the same agrees unconditionally to supply such copies later, or when required by the DOT decisionmaker;
(3) The parties represented at the hearing stipulate upon the record that such portion may be incorporated by reference, and that any portion offered by any other party may be incorporated by like reference upon compliance with paragraphs (f)(1) and (2) of this section; and
(4) The administrative law judge directs such incorporation or waives the requirement in paragraph (f)(3) of this section with the consent of the parties.
(g) Official notice of facts contained in certain documents. (1) Without limiting, in any manner or to any extent, the discretionary powers of the DOT decisionmaker and the administrative law judge to notice other matters or documents properly the subject of official notice, facts contained in any document within the categories enumerated in this subdivision are officially noticed in all formal economic proceedings except those subject to subpart D of this part. Each such category shall include any document antedating the final Department decision in the proceeding where such notice is taken. The matters officially noticed under the provisions of this paragraph are:
(i) Air carrier certificates or applications therefor, together with any requests for amendment, and pleadings responding to applications when properly filed.
(ii) All Form 41 reports required to be filed by air carriers with the Department.
(iii) Reports of Traffic and Financial Data of all U.S. Air Carriers issued by the Department or by its predecessor.
(iv) Airline Traffic Surveys and Passenger Origin-Destination Surveys, Domestic or International, compiled by the Department or its predecessor and published and/or made available either to the public or to parties in proceedings.
(v) Compilations of data relating to competition in the airline industry and made available to the public by the Department or its predecessor.
(vi) Passenger, mail, express, and freight data submitted to the Department and its predecessor as part of ER-586 Service Segment Data by U.S. carriers, or similar data submitted to the Department by U.S. air carriers (T-100) or (T-100F) that are not confidential.
(vii) All tariffs, including the electronic versions, and amendments thereof, of all air carriers, on file with the Department.
(viii) Service Mail Pay and Subsidy for U.S. Certificated Air Carriers published by the Department or its predecessor, including any supplemental data and subsequent issues published by the Department or its predecessor.
(ix) Airport Activity Statistics of Certificated Air Carriers compiled and published by the Federal Aviation Administration (FAA) or the Department.
(x) Air Traffic Activity Data issued by the FAA.
(xi) National Plan of Integrated Airport Systems (NPIAS) issued by the FAA.
(xii) Chart Supplements, issued by the FAA.
(xiii) The Airman's Information Manual issued by the FAA.
(xiv) Monthly, quarterly and annual reports of the Immigration and Naturalization Service, U.S. Department of Justice.
(xv) All forms and reports required by the U.S. Postal Service to be filed by air carriers authorized to transport mail.
(xvi) All orders of the Postmaster General designating schedules for the transportation of mail.
(xvii) Publications of the Bureau of the Census of the U.S. Department of Commerce (DOC) relating, but not necessarily limited, to population, manufacturing, business, statistics, and any yearbooks, abstracts, or similar publications published by DOC.
(xviii) All Official Airline Guides, including the North American, Worldwide, All-Cargo and quick reference editions, including electronic versions.
(xix) Official Railways Guide and Russell's Official National Motor Coach Guide.
(xx) The Rand McNally Commercial Atlas and Marketing Guide, and the Rand McNally Road Atlas, United States, Canada, and Mexico.
(xxi) The Rand McNally Commercial Atlas and Marketing Guide, and the Rand McNally Road Atlas, United States, Canada, and Mexico.
(xxii) Survey of Buying Power published by Sales Management Magazine.
(2) Any fact contained in a document belonging to a category enumerated in paragraph (g)(1) of this section shall be deemed to have been physically incorporated into and made part of the record in such proceedings. However, such taking of official notice shall be subject to the rights granted to any party or intervener to the proceeding under section 7(d) of the Administrative Procedure Act (5 U.S.C. 557(d)).
(3) The decisions of the Department and its administrative law judges may officially notice any appropriate matter without regard to whether or not such items are contained in a document belonging to the categories enumerated in paragraph (g)(1) of this section. However, where the decision rests on official notice of a material fact or facts, it will set forth such items with sufficient particularity to advise interested persons of the matters that have been noticed.
(h) Receipt of documents after hearing. No document or other writings shall be accepted for the record after the close of the hearing except in accordance with an agreement of the parties and the consent of the administrative law judge or the DOT decisionmaker.
(i) Exceptions. Formal exceptions to the rulings of the administrative law judge made during the course of the hearing are unnecessary. For all purposes for which an exception otherwise would be taken, it is sufficient that a party, at the time the ruling of the administrative law judge is made or sought, makes known the action he or she desires the administrative law judge to take or his or her objection to an action taken, and his or her grounds therefor.
(j) Offers of proof. Any offer of proof made in connection with an objection taken to any ruling of the administrative law judge rejecting or excluding proffered oral testimony shall consist of a statement of the substance of the evidence that counsel contends would be adduced by such testimony, and if the excluded evidence consists of evidence in documentary or written form or of reference to documents or records, a copy of such evidence shall be marked for identification and shall constitute the offer of proof.
(a) An application for a subpoena requiring the attendance of a witness at a hearing or the production of documentary evidence may be made without notice by any party to the administrative law judge or, in the event that an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or the Chief Administrative Law Judge, for action.
(b) An application for a subpoena shall be in duplicate except that if it is made during the course of a hearing, it may be made orally on the record with the consent of the administrative law judge.
(c) All such applications, whether written or oral, shall contain a statement or showing of general relevance and reasonable scope of the evidence sought, and shall be accompanied by two copies of a draft of the subpoena sought that, in the case of evidence, shall describe the documentary or tangible evidence to be subpoenaed with as much particularity as is feasible, or, in the case of a witness, the name of the witness and a general description of the matters concerning which the witness will be asked to testify.
(d) The administrative law judge or DOT decisionmaker considering any application for a subpoena shall issue the subpoena requested if the application complies with this section. No attempt shall be made to determine the admissibility of evidence in passing upon an application for a subpoena, and no detailed or burdensome showing shall be required as a condition to the issuance of a subpoena.
(e) Where it appears during the course of a proceeding that the testimony of a witness or documentary evidence is relevant to the issues in a proceeding, the administrative law judge, Chief Administrative Law Judge or DOT decisionmaker may issue on his or her own initiative a subpoena requiring such witness to attend and testify or requiring the production of such documentary evidence.
(f) Subpoenas issued under this section shall be served upon the person to whom directed in accordance with § 302.7(b). Any person upon whom a subpoena is served may within seven (7) days after service or at any time prior to the return date thereof, whichever is earlier, file a motion to quash or modify the subpoena with the administrative law judge or, in the event an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or the Chief Administrative Law Judge for action. If the person to whom the motion to modify or quash the subpoena has been addressed or directed, has not acted upon such a motion by the return date, such date shall be stayed pending his or her final action thereon. The DOT decisionmaker may at any time review, upon his or her own initiative, the ruling of an administrative law judge or the Chief Administrative Law Judge denying a motion to quash a subpoena. In such cases, the DOT decisionmaker may order that the return date of a subpoena be stayed pending action thereon.
(g) The provisions of this section are not applicable to the attendance of DOT employees or the production of documentary evidence in the custody thereof at a hearing. The attendance of DOT employees and the production of documentary evidence in their custody are governed by 49 CFR Parts 9 and 7, respectively.
(a) For good cause shown, the DOT decisionmaker or administrative law judge assigned to a proceeding may order that the testimony of a witness be taken by deposition and that the witness produce documentary evidence in connection with such testimony. Ordinarily an order to take the deposition of a witness will be entered only if:
(1) The person whose deposition is to be taken would be unavailable at the hearing,
(2) The deposition is deemed necessary to perpetuate the testimony of the witness, or
(3) The taking of the deposition is necessary to prevent undue and excessive expense to a party and will not result in an undue burden to other parties or in undue delay.
(b) Any party desiring to take the deposition of a witness shall make application therefor in duplicate to the administrative law judge or, in the event that an administrative law judge has not been assigned to a proceeding or is not available, to the DOT decisionmaker or Chief Administrative Law Judge, setting forth the reasons why such deposition should be taken, the name and residence of the witness, the time and place proposed for the taking of the deposition, and a general description of the matters concerning which the witness will be asked to testify. If good cause be shown, the administrative law judge, the DOT decisionmaker, or the Chief Administrative Law Judge, as the case may be, may, in his or her discretion, issue an order authorizing such deposition and specifying the witness whose deposition is to be taken, the general scope of the testimony to be taken, the time when, the place where, the designated officer (authorized to take oaths) before whom the witness is to testify, and the number of copies of the deposition to be supplied. Such order shall be served upon all parties by the person proposing to take the deposition a reasonable period in advance of the time fixed for taking testimony.
(c) Witnesses whose testimony is taken by deposition shall be sworn or shall affirm before any questions are put to them. Each question shall be recorded and the answers shall be taken down in the words of the witness.
(d) Objections to questions or evidence shall be in short form, stating the grounds of objection relied upon, but no transcript filed by the designated officer shall include argument or debate. Objections to questions or evidence shall be noted by the designated officer upon the deposition, but he or she shall not have power to decide on the competency or materiality or relevance of evidence, and he or she shall record the evidence subject to objection. Objections to questions or evidence not made before the designated officer shall not be deemed waived unless the ground of the objection is one that might have been obviated or removed if presented at that time.
(e) The testimony shall be reduced to writing by the designated officer, or under his or her direction, after which the deposition shall be signed by the witness unless the parties by stipulation waive the signing or the witness is ill or cannot be found or refuses to sign, and certified in usual form by the designated officer. If the deposition is not signed by the witness, the designated officer shall state on the record this fact and the reason therefor. The original deposition and exhibits shall be forwarded to Department of Transportation Dockets and shall be filed in the proceedings.
(f) Depositions may also be taken and submitted on written interrogatories in substantially the same manner as depositions taken by oral examination. Ordinarily such procedure will be authorized only if necessary to achieve the purposes of an oral deposition and to serve the balance of convenience of the parties. The interrogatories shall be filed in quadruplicate with two copies of the application and a copy of each shall be served on each party. Within seven (7) days after service any party may file with the person to whom application was made two copies of his or her objections, if any, to such interrogatories and may file such cross-interrogatories as he or she desires to submit. Cross-interrogatories shall be filed in quadruplicate, and a copy thereof together with a copy of any objections to interrogatories, shall be served on each party, who shall have five (5) days thereafter to file and serve his or her objections, if any, to such cross-interrogatories. Objections to interrogatories or cross-interrogatories, shall be served on the DOT decisionmaker or the administrative law judge considering the application. Objections to interrogatories shall be made before the order for taking the deposition issues and if not so made shall be deemed waived. When a deposition is taken upon written interrogatories, and cross-interrogatories, no party shall be present or represented, and no person other than the witness, a reporter, and the designated officer shall be present at the examination of the witness, which fact shall be certified by the designated officer, who shall ask the interrogatories and cross-interrogatories to the witness in their order and reduce the testimony to writing in the witness's own words. The provisions of paragraph (e) of this section shall be applicable to depositions taken in accordance with this paragraph.
(g) All depositions shall conform to the specifications of § 302.3 except that the filing of three copies thereof shall be sufficient. Any fees of a witness, the reporter, or the officer designated to take the deposition shall be paid by the person at whose instance the deposition is taken.
(h) The fact that a deposition is taken and filed in a proceeding as provided in this section does not constitute a determination that it is admissible in evidence or that it may be used in the proceeding. Only such part or the whole of a deposition as is received in evidence shall constitute a part of the record in such proceeding upon which a decision may be based.
(a) Any person appearing as a witness in any proceeding governed by this part, whether in response to a subpoena or by request or permission of the Department, may be accompanied, represented, and advised by counsel and may be examined by that counsel after other questioning.
(b) Any person who submits data or evidence in a proceeding governed by this part, whether in response to a subpoena or by request or permission of the Department, may retain, or, on payment of lawfully prescribed costs, procure, a copy of any document so submitted or a copy of any transcript made of such testimony.
(c) No person whose attendance at a hearing or whose deposition is to be taken shall be obliged to respond to a subpoena unless upon a service of the subpoena he or she is tendered attendance fees and mileage by the party at whose instance he or she is called in accordance with the requirements of paragraphs (c)(1) and (2) of this section; Provided, That a witness summoned at the instance of the Department or one of its employees, or a salaried employee of the United States summoned to testify as to matters related to his or her public employment, need not be tendered such fees or mileage at that time.
(1) Witnesses who are not salaried employees of the United States, or such employees summoned to testify on matters not related to their public employment, shall be paid the same per diem, subsistence, and mileage fees paid to witnesses for like service in the courts of the United States that are in effect at the time of travel; Provided, That no employee, officer, or attorney of an air carrier who travels under the free or reduced rate provisions of section 41511 of 49 U.S.C. Subtitle VII shall be entitled to any fees or mileage; And provided further, That such fees and mileage shall not be applicable for witnesses summoned to testify in Alaska, and that, in Alaska, where permitted by section 41511 of 49 U.S.C. Subtitle VII, the witness may, at his or her option, accept a pass for travel by air. Such witnesses shall be furnished appropriate forms and instructions for the submission of claims for attendance fees, subsistence, and mileage from the Government before the close of the proceedings that they are required to attend. Only persons summoned by subpoena shall be entitled to claim attendance fees, subsistence, or mileage from the Government.
(2) Witnesses who are salaried employees of the United States and who are summoned to testify on matters relating to their public employment, irrespective of at whose instance they are summoned, shall be paid in accordance with applicable Government regulations.
(a) Hearings shall be recorded and transcribed under supervision of the administrative law judge, by a reporting firm under contract with the Department. Copies of the transcript that may, at the discretion of the administrative law judge, be furnished by use of electronic media in addition to the official copy, shall be supplied to the parties to the proceeding by said reporting firm, at the contract price for copies.
(b) The administrative law judge shall determine whether “ordinary transcript” or “daily transcript” (as those terms are defined in the contract) will be necessary and required for the proper conduct of the proceeding and the Department will pay the reporting firm the cost of reporting its proceedings at the contract price for such type of transcript. If the administrative law judge has determined that ordinary transcript is adequate, and has notified the parties of such determination (in the notice of hearings, or otherwise), then any party may request reconsideration of such determination and that daily transcript be required. In determining what is necessary and required for the proper conduct of the proceeding, the administrative law judge shall consider, among other things:
(1) The nature of the proceeding itself;
(2) The DOT decisionmaker's needs as well as the reasonable needs of the parties;
(3) The cost to the Department; and
(4) The requirements of a fair hearing.
(c) If the administrative law judge has determined that ordinary transcript is adequate, or, upon reconsideration, has adhered to such determination, then any party may request the reporting firm to provide daily transcript. In that case, pursuant to its contract with the Department, the reporting firm will be obligated to furnish to the Department daily transcript upon the agreement by the requesting party to pay to the reporting firm an amount equal to the difference between the contract prices for ordinary transcript and daily transcript, provided that the requesting party makes such agreement with the reporting firm at least twenty-four (24) hours in advance of the date for which such transcript is requested.
(d) Any party may obtain from the Office of the Assistant Secretary for Administration, the name and address of the private reporting company with which the Department currently has a contract for transcripts and copies, as well as the contract prices then in effect for such services.
(e) Copies of transcripts ordered by parties other than the Department shall be prepared for delivery to the requesting person at the reporting firm's place of business, within the stated time for the type of transcript ordered. The requesting party and the reporting firm may agree upon some other form or means of delivery (mail, messenger, electronic media, etc.) and the reporting firm may charge for such special service, provided that such charge shall not exceed the reasonable cost of such service.
(f) Changes in the official transcript may be made only when they involve errors affecting substance. A motion to correct a transcript shall be filed with Department of Transportation Dockets, within ten (10) days after receipt of the completed transcript by the Department. If no objections to the motion are filed within ten (10) days thereafter, the transcript may, upon the approval of the administrative law judge, be changed to reflect such corrections. If objections are received, the motion and objections shall be submitted to the official reporter by the administrative law judge together with a request for a comparison of the transcript with the reporter's record of the hearing. After receipt of the report of the official reporter an order shall be entered by the administrative law judge settling the record and ruling on the motion.
(a) The administrative law judge shall give the parties to the proceeding adequate opportunity during the course of the hearing for the presentation of arguments in support of or in opposition to motions, and objections and exceptions to rulings of the administrative law judge.
(b) When, in the opinion of the administrative law judge, the volume of the evidence or the importance or complexity of the issues involved warrants, he or she may, either on his or her own motion or at the request of a party, permit the presentation of oral argument, and may impose such time limits on the argument as he or she may determine appropriate. Such argument shall be transcribed and bound with the transcript of testimony and will be available to the Department decisionmaker for consideration in deciding the case.
Within such limited time after the close of the reception of evidence fixed by the administrative law judge, any party may, upon request and under such conditions as the administrative law judge may prescribe, file for his or her consideration briefs which may include proposed findings of fact and conclusions of law that shall contain exact references to the record and authorities relied upon.
(a) Action by administrative law judge after hearing. Except where the DOT decisionmaker directs otherwise, after the taking of evidence and the receipt of briefs which may include proposed findings of fact and conclusions of law, if any, the administrative law judge shall take the following action:
(1) Initial decision. If the proceeding does not involve foreign air transportation, the administrative law judge shall render an “initial decision.” Such decision shall encompass the administrative law judge's decision on the merits of the proceeding and on all ancillary procedural issues remaining for disposition at the close of the hearing.
(2) Recommended decision. In cases where the action of the Department involves foreign air transportation and is subject to review by the President of the United States pursuant to section 41307 of 49 U.S.C. Subtitle VII, the administrative law judge shall render a “recommended decision.” Such decision shall encompass the administrative law judge's decision on the merits of the proceeding and on all ancillary procedural issues remaining for disposition at the close of the hearing.
(b) Certification to the DOT decisionmaker for decision. At any time prior to the close of the hearing, the DOT decisionmaker may direct the administrative law judge to certify any question or the entire record in the proceeding to the DOT decisionmaker for decision. In cases where the record is thus certified, the administrative law judge shall not render a decision but shall make a recommendation to the DOT decisionmaker as required by section 8(a) of the Administrative Procedure Act (5 U.S.C. 558(a)) unless advised by the DOT decisionmaker that he or she intends to issue a tentative decision.
(c) Every initial or recommended decision issued shall state the names of the persons who are to be served with copies of it, the time within which exceptions to, or petitions for review of, such decision may be filed, and the time within which briefs in support of the exceptions may be filed. In addition, every such decision shall recite that it is made under delegated authority, and contain notice of the provisions of paragraph (d) of this section. In the event the administrative law judge certifies the record to the DOT decisionmaker without an initial or recommended decision, he or she shall notify the parties of the time within which to file with the DOT decisionmaker briefs which may include proposed findings of fact and conclusions of law.
(d) Unless a petition for discretionary review is filed pursuant to § 302.32, exceptions are filed pursuant to § 302.217, or the DOT decisionmaker issues an order to review upon his or her own initiative, the initial decision shall become effective as the final order of the Department thirty (30) days after service thereof; in the case of a recommended decision, that decision shall be transmitted to the President of the United States under 49 U.S.C. 41307. If a petition for discretionary review or exceptions are timely filed or action to review is taken by the DOT decisionmaker upon his or her own initiative, the effectiveness of the initial decision or the transmission of the recommended decision is stayed until the further order of the DOT decisionmaker.
(a) Petitions for discretionary review. (1) Review by the DOT decisionmaker pursuant to this section is not a matter of right but is at the sole discretion of the DOT decisionmaker. Any party may file and serve a petition for discretionary review by the DOT decisionmaker of an initial decision or recommended decision within twenty-one (21) days after service thereof, unless the DOT decisionmaker sets a different period for filing.
(2) Petitions for discretionary review shall be filed only upon one or more of the following grounds:
(i) A finding of a material fact is erroneous;
(ii) A necessary legal conclusion is without governing precedent or is a departure from or contrary to law, the Department's rules, or precedent;
(iii) A substantial and important question of law, policy or discretion is involved; or
(iv) A prejudicial procedural error has occurred.
(3) Each issue shall be separately numbered and plainly and concisely stated. Petitioners shall not restate the same point in repetitive discussions of an issue. Each issue shall be supported by detailed citations of the record when objections are based on the record, and by statutes, regulations or principal authorities relied upon. Any matters of fact or law not argued before the administrative law judge, but that the petitioner proposes to argue on brief to the DOT decisionmaker, shall be stated.
(4) Petitions for discretionary review shall be self-contained and shall not incorporate by reference any part of another document. Except by permission of the DOT decisionmaker, petitions shall not exceed twenty (20) pages including appendices and other papers physically attached to the petition.
(5) Requests for oral argument on petitions for discretionary review will not be entertained by the DOT decisionmaker.
(b) Answers. Within fifteen (15) days after service of a petition for discretionary review, any party may file and serve an answer of not more than fifteen (15) pages in support of or in opposition to the petition. If any party desires to answer more than one petition for discretionary review in the same proceeding, he or she shall do so in a single document of not more than twenty (20) pages.
(c) Orders declining review. The DOT decisionmaker's order declining to exercise the discretionary right of review will specify the date upon which the administrative law judge's decision shall become effective as the final decision of the Department. A petition for reconsideration of a Department order declining review will be entertained only when the order exercises, in part, the DOT decisionmaker's discretionary right of review, and such petition shall be limited to the single question of whether any issue designated for review and any issue not so designated are so inseparably interrelated that the former cannot be reviewed independently or that the latter cannot be made effective before the final decision of the Department in the review proceeding.
(d) Review proceedings. (1) The DOT decisionmaker may take review of an initial or recommended decision upon petition or on his or her own initiative or both. The DOT decisionmaker will issue a final order upon such review without further proceedings on any or all the issues where he or she finds that matters raised do not warrant further proceedings.
(2) Where the DOT decisionmaker desires further proceedings, he or she will issue an order for review that will:
(i) Specify the issues to which review will be limited. Only those issues specified in the order shall be argued on brief to the DOT decisionmaker, pursuant to § 302.35, and considered by the DOT decisionmaker;
(ii) Specify the portions of the administrative law judge's decision, if any, that are to be stayed as well as the effective date of the remaining portions thereof; and
(iii) Designate the parties to the review proceeding.
(a) Except as provided in paragraph (b) of this section, whenever the administrative law judge certifies the record in a proceeding directly to the DOT decisionmaker without issuing an initial or recommended decision in the matter, the DOT decisionmaker shall, after consideration of any briefs submitted by the parties, prepare a tentative decision and serve it upon the parties. Every tentative decision of the DOT decisionmaker shall state the names of the persons who are to receive copies of it, the time within which exceptions to such decision and briefs, if any, in support of or in opposition to the exceptions may be filed, and the date when such decision will become final in the absence of exceptions thereto. If no exceptions are filed to the tentative decision of the DOT decisionmaker within the period fixed, it shall become final at the expiration of such period unless the DOT decisionmaker orders otherwise.
(b) The DOT decisionmaker may, in his or her discretion, omit a tentative decision in proceedings under subpart B. Final decisions of the DOT decisionmaker are subject to review as provided in § 302.18.
(a) Time for filing. Within ten (10) days after service of any tentative decision of the DOT decisionmaker, any party to a proceeding may file exceptions to such decision with the DOT decisionmaker.
(b) Form and contents of exceptions. Each exception shall be separately numbered and shall be stated as a separate point, and appellants shall not restate the same point in several exceptions. Each exception shall state, sufficiently identify, and be limited to, an ultimate conclusion in the decision to which exception is taken (such as, selection of one carrier rather than another to serve any point or points; points included in or excluded from a new route; imposition or failure to impose a given restriction; determination of a rate at a given amount rather than another). No specific exception shall be taken with respect to underlying findings or statements, but exceptions to an ultimate conclusion shall be deemed to include exceptions to all underlying findings and statements pertaining thereto; Provided, however, That exceptions shall specify any matters of law, fact, or policy that were not argued before the administrative law judge but will be set forth for the first time on brief to the DOT decisionmaker.
(c) Effect of failure to file timely and adequate exceptions. No objection may be made on brief or at a later time to an ultimate conclusion that is not expressly made the subject of an exception in compliance with the provisions of this section; Provided, however, That any party may file a brief in support of the decision and in opposition to the exceptions filed by any other party.
(a) Time for filing. Within such period after the date of service of any tentative decision by the DOT decisionmaker as may be fixed therein, any party may file a brief addressed to the DOT decisionmaker in support of his or her exceptions to such decision or in opposition to the exceptions filed by any other party. Briefs to the DOT decisionmaker on initial or recommended decisions of administrative law judges shall be filed only in those cases where the DOT decisionmaker grants discretionary review and orders further proceedings, pursuant to § 302.32(d)(2), and only upon those issues specified in the order. Such briefs shall be filed within thirty (30) days after date of service of the order granting discretionary review unless otherwise specified in the order. In cases where, because of the limited number of parties and the nature of the issues, the filing of opening, answering, and reply briefs will not unduly delay the proceeding and will assist in its proper disposition, the DOT decisionmaker may direct that the parties file briefs at different times rather than at the same time.
(b) Effect of failure to restate objections in briefs. In determining the merits of an appeal, the DOT decisionmaker will not consider the exceptions or the petition for discretionary review but will consider only the brief. Each objection contained in the exceptions or each issue specified in the DOT decisionmaker's order exercising discretionary review must be restated and supported by a statement and adequate discussion of all matters relied upon, in a brief filed pursuant to and in compliance with the requirements of this section.
(c) Formal specifications of briefs—(1) Contents. Each brief shall discuss every point of law, fact, or precedent that the party submitting it is entitled to raise and that it wishes the DOT decisionmaker to consider. Each brief shall include a summary of the argument not to exceed five (5) pages. Support and justification for every point raised shall include itemized references to the pages of the transcript of hearing, exhibit or other matter of record, and citations of the statutes, regulations, or principal authorities relied upon. If a brief or any point discussed in the brief is not in substantial conformity with the requirement for such support and justification, no motion to strike or dismiss such document shall be made but the DOT decisionmaker may disregard the points involved. Copies of briefs may be furnished by use of electronic media in a format acceptable to the Department and the parties.
(2) Incorporation by reference. Briefs to the DOT decisionmaker shall be completely self-contained and shall not incorporate by reference any portion of any other brief or pleading; Provided, however, That instead of submitting a brief to the DOT decisionmaker a party may adopt by reference specifically identified pages or the whole of his or her prior brief to the administrative law judge if the latter complies with all requirements of this section. In such cases, the party shall file with Department of Transportation Dockets a letter exercising this privilege and serve all parties in the same manner as a brief to the DOT decisionmaker.
(3) Length. Except by permission or direction of the DOT decisionmaker, briefs shall not exceed fifty (50) pages including pages contained in any appendix, table, chart, or other document physically attached to the brief, but excluding maps and the summary of the argument. In this case “map” means only those pictorial representations of routes, flight paths, mileage, and similar ancillary data that are superimposed on geographic drawings and contain only such text as is needed to explain the pictorial representation.
(a) If any party desires to argue a case orally before the DOT decisionmaker, he or she shall request leave to make such argument in his or her exceptions or brief. Such request shall be filed no later than the date when briefs before the DOT decisionmaker are due in the proceeding. The DOT decisionmaker will rule on such request, and, if oral argument is to be allowed, all parties to the proceeding will be advised of the date and hour set for such argument and the amount of time allowed to each party. Requests for oral argument on petitions for discretionary review will not be entertained.
(b) Pamphlets, charts, and other written data may be offered to the DOT decisionmaker at oral argument only in accordance with the following rules: All such material shall be limited to facts in the record of the case being argued and shall be served on all parties to the proceeding with four (4) copies transmitted to Department of Transportation Dockets at least five (5) calendar days in advance of the argument.
The parties to any proceeding may agree to waive any one or more of the procedural steps provided in § 302.29 through § 302.36.
When a case stands submitted to the DOT decisionmaker for final decision on the merits, he or she will dispose of the issues presented by entering an appropriate order that will include a statement of the reasons for his or her findings and conclusions. Such orders shall be deemed “final orders” within the purview of § 302.14(a), in the manner provided by § 302.18.
(a) This subpart sets forth the specific rules applicable to proceedings on:
(1) U.S. air carrier certificates of public convenience and necessity and U.S. all-cargo air service certificates under Chapter 411 of 49 U.S.C. Subtitle VII, including renewals, amendments, modifications, suspensions and transfers of such certificates.
(2) Foreign air carrier permits under Chapter 413 of 49 U.S.C. Subtitle VII , including renewals, amendments, modifications, suspensions, and transfers of such permits.
(b) Except as modified by this subpart, the provisions of subpart A of this part apply.
(a) Certificate applications filed under this subpart shall contain the information required by part 201 of this chapter and, where applicable, part 204 of this chapter, and foreign air carrier permit applications shall contain the information required by part 211 of this chapter, along with any other information that the applicant desires the Department to notice officially.
(b) Applications shall include a notice on the cover page stating that any person may support or oppose the application by filing an answer and serving a copy of the answer on all persons served with the application. The notice shall also state the due date for answers. Amendments to applications will be considered new applications for the purpose of calculating the time limitations of this subsection.
(c) Applications shall include a list of the names and addresses of all persons who have been served in accordance with § 302.203.
(d) Where required, each application shall be accompanied by an Energy Statement in conformity with part 313 of this chapter.
(a) General requirements. (1) Applicants shall serve on the persons listed in paragraph (b) of this section a notice that an application has been filed, and upon request shall promptly provide those persons with copies of the application and supporting documents. The notice must clearly state the authority sought and the due date for other pleadings.
(2) Applicants shall serve a complete copy of the application on the Manager of the FAA Flight Standards District Office responsible for processing the application for any FAA authority needed to conduct the proposed operations.
(3) After an order under § 302.210 has been issued, parties need only serve documents on those persons listed in the service list accompanying the order.
(4) In the case of an application sought to be consolidated, the applicant shall serve the notice required in paragraph (a)(1) of this section on all persons served by the original applicant.
(b) Persons to be served—(1) U.S. air carriers. (i) In certificate proceedings, except for those proceedings that involve charter-only authority under section 41102(a)(3) of 49 U.S.C. Subtitle VII:
(A) Applicants for certificates to engage in interstate air transportation and other persons who file a pleading in the docket shall serve:
(1) The airport authority of each airport that the applicant initially proposes to serve, and
(2) Any other person who has filed a pleading in the docket.
(B) Applicants for certificates to engage in foreign air transportation and other persons who file a pleading in the docket shall serve:
(1) All U.S. air carriers (including commuter air carriers) that publish schedules in the Official Airline Guide or in the Air Cargo Guide for the country-pair market(s) specified in the application,
(2) The airport authority of each U.S. airport that the applicant initially proposes to serve, and
(3) Any other person who has filed a pleading in the docket.
(ii) In certificate proceedings involving charter-only authority under 41102(a)(3) of 49 U.S.C. Subtitle VII, applicants and other persons who file a pleading in the docket shall serve any other person who has filed a pleading in the docket.
(2) Foreign air carriers. (i) In permit proceedings, except for those proceedings involving charter-only authority, applicants and other persons who have filed a pleading in the docket shall serve:
(A) All U.S. air carriers (including commuter air carriers) that publish schedules in the Official Airline Guide or the Air Cargo Guide for the country-pair market(s) specified in the application,
(B) The U.S. Department of State,
(C) The airport authority of each U.S. airport that the applicant initially proposes to serve, and
(D) Any other person who has filed a pleading in the docket.
(ii) In foreign air carrier permit proceedings for charter-only authority, applicants and other persons who file a pleading in the docket shall serve the U.S. Department of State and any other person who has filed a pleading in the docket.
(c) Additional service. The Department may, at its discretion, order additional service upon such persons as the facts of the situation warrant. Where only notices are required, parties are encouraged to serve copies of their actual pleadings where feasible. In any proceeding directly involving air transportation to the Federated States of Micronesia, the Marshall Islands or Palau, the Department and any party or participant in the proceeding shall serve all documents on the President and the designated authorities of the government(s) involved.
(a) Any person may file an answer in support of or in opposition to any application. Answers shall set forth the basis for the position taken, including any economic data or other facts relied on. Except as otherwise provided in § 302.212(d), answers shall be filed within twenty one (21) days of the original or amended application and shall be served in accordance with § 302.203.
(b) Replies to answers shall be filed within fourteen (14) days after the filing of the answer.
(c) Persons having common interests shall, to the extent practicable, arrange for the joint preparation of pleadings.
Whenever economic data and other facts are provided in any pleading, such information shall include enough detail so that final results can be obtained without further clarification. Sources, bases, and methodology used in constructing exhibits, including any estimates or judgments, shall be provided.
Any pleading filed under this subpart shall include a certification as provided in § 302.4(b).
(a) Applications under this subpart will be decided on the basis of written submissions unless the DOT decisionmaker, on petition as provided in § 302.208 or on his or her own initiative, determines that an oral presentation or an administrative law judge's decision is required because:
(1) Use of written procedures will prejudice a party;
(2) Material issues of decisional fact cannot adequately be resolved without oral evidentiary hearing procedures; or
(3) Assignment of an application for oral evidentiary hearing procedures or an initial or recommended decision by an administrative law judge is otherwise required by the public interest.
(b) The standards employed in deciding cases under § 302.210(a)(1) or (5) shall be the same as the standards applied in cases decided under § 302.210(a)(4). These are the standards set forth in the Statute as interpreted and expanded upon under that Statute.
(a) Any person may file a petition for oral evidentiary hearing, oral argument, an initial or recommended decision, or any combination of these. Petitions shall demonstrate that one or more of the criteria set forth in § 302.207 are applicable to the issues for which an oral presentation or judge's decision is requested. Such petitions shall be supported by a detailed explanation of the following:
(1) Why the evidence or argument to be presented cannot be submitted in the form of written evidence or briefs;
(2) Which issues should be examined by an administrative law judge and why such issues should not be presented directly to the DOT decisionmaker for decision;
(3) An estimate of the time required for the oral presentation and the number of witnesses whom the petitioner would present; and
(4) If cross-examination of any witness is desired, the name of the witness, if known, the subject matter of the desired cross-examination or the title or number of the exhibit to be cross-examined, what the petitioner expects to establish by the cross-examination, and an estimate of the time needed for it.
(b) Petitions for an oral hearing, oral argument, or an administrative law judge's decision shall be filed no later than the due date for answers in proceedings governed by §§ 302.211, 302.212 and 302.213, and be accompanied with the information specified in paragraphs (a)(1) and (a)(2) of this section. Filing of the information required in paragraphs (a)(3) and (a)(4) of this section may be deferred until the DOT decisionmaker has decided to hold a formal proceeding.
(c) Where a stipulation of disputed facts would eliminate the need for an oral presentation or an administrative law judge's decision, parties shall include in their petitions an offer to withdraw the request should the stipulation be made.
Within twenty-eight (28) days after the filing of an application under this subpart, the DOT decisionmaker may defer further processing of the application until all of the information necessary to process that application is submitted. The time periods contained in this subpart with respect to the disposition of the application shall not begin to run until the application is complete. In addition, the DOT decisionmaker may defer action on a foreign air carrier permit application for foreign policy reasons.
(a) General requirements. The DOT decisionmaker will take one of the following actions with respect to all or any portion of each application:
(1) Issue an Order to Show Cause why the application should not be granted, denied or dismissed, in whole or in part.
(2) Issue a Final Order granting the application if the DOT decisionmaker determines that there are no material issues of fact that warrant further procedures for their resolution.
(3) Issue a Final Order dismissing or rejecting the application for lack of prosecution or if the application does not comply with this subpart or is otherwise materially deficient.
(4) Issue an order setting the application for oral evidentiary hearing. The order will establish the scope of the issues to be considered and the procedures to be employed, and will indicate whether one or more attorneys from the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings will participate as a party. All of the procedures set forth in §§ 302.214 through 302.218 will apply unless the DOT decisionmaker decides otherwise.
(5) Begin to make a determination with respect to the application under simplified procedures without oral evidentiary hearing. In this event, the DOT decisionmaker may indicate which, if any, of the procedural steps set forth in §§ 302.215 through 302.219 will be employed. The DOT decisionmaker may also indicate that other non-oral evidentiary hearing procedures will be employed.
(b) Additional evidence. An order establishing further procedures under paragraph (a)(1), (4) or (5) of this section may provide for the filing of additional evidence.
(c) Petitions for reconsideration. Petitions for reconsideration of an order issued under this section will not be entertained except to the extent that the order dismissed or rejected all or part of an application. If a petition for reconsideration results in the reinstatement of all or part of an application, the deadline for final Department decision established in § 302.220 will be calculated from the date of the order reinstating the application.
(a) Applicability. This section applies to cases involving certificate authority under sections 41102 and 41103 of 49 U.S.C. Subtitle VII , including applications for new authority, renewals, amendments, modifications, suspensions, and transfers of such certificates, where the issues involve a determination of the applicant's fitness to operate. Where such applications propose the operation of scheduled service in limited entry international markets, the provisions of § 302.212 also apply.
(b) Order establishing further procedures. Within 90 days after a complete application is filed, the DOT decisionmaker will take action as provided in § 302.210.
(a) Applicability. This section applies to cases involving certificates under section 41102 of 49 U.S.C. Subtitle VII that involve international routes, including applications to obtain, renew, amend, transfer, or remove restrictions in such certificates.
(b) Answers to applications. Answers shall be filed within twenty one (21) days after the filing of the original application.
(c) Conforming applications or motions to modify scope. Any person may file an application for the same authority as sought in an application to obtain, renew, or amend a certificate filed under paragraph (a) of this section. Requests to modify the issues to be decided and to consolidate applications filed in other dockets shall be filed as a “motion to modify scope.” Motions and applications under this section shall include economic data, other facts, and any argument in support of the person's position and must be filed within twenty one (21) days after the original application is filed. Later-filed competing applications shall conform to the base and forecast years used by the original applicant and need not contain traffic and financial data for markets for which data have already been submitted by another person.
(d) Answers to conforming applications or motions to modify scope. Answers to conforming applications and motions to modify scope filed in accordance with paragraph (b) of this section shall be filed within fourteen (14) days after the filing of the conforming application or motion. Answers may argue that an application should be dismissed. Answers may also seek to consolidate an application filed in another docket if that application conforms to the scope of the proceeding proposed in the motion to modify scope and includes the information prescribed in § 302.202. Answers and applications shall not, however, propose the consideration of additional markets.
(e) Order establishing further procedures. Within 90 days after a complete application is filed, the DOT decisionmaker will issue an order as provided in § 302.210.
(a) Applicability. This section applies to cases involving foreign air carrier permits under section 41302 of 49 U.S.C. Subtitle VII, including applications for new authority, renewals, amendments, modifications, suspensions, and transfers of such permits.
(b) Executive departments. In addition to the standards set forth in § 302.207(b), the views of other executive agencies, such as the Department of State, and the Federal Aviation Administration's evaluation of the applicant's operational fitness, may be sought in determining the appropriate action on applications filed under this section.
(c) Order establishing further procedures. As soon as possible after the date that answers are due and all information needed to reach a decision is filed, the DOT decisionmaker will issue an order as provided in § 302.210.
If the DOT decisionmaker determines under § 302.210(a)(4) that an oral evidentiary hearing should be held, the application or applications will be set for oral hearing before an administrative law judge. The issues will be those set forth in the order establishing further procedures. The procedures in §§ 302.17 to 302.38 governing the conduct of oral evidentiary hearings will apply.
Briefs to the administrative law judge shall be filed within the following periods, as applicable:
(a) Fourteen (14) days after the close of the oral evidentiary hearing, unless the administrative law judge determines that, under the circumstances of the case, briefs are not necessary or that the parties will require more time to prepare briefs; or
(b) Fourteen (14) days after the filing of additional evidence called for in the order establishing further procedures if no oral evidentiary hearing is called for, unless the DOT decisionmaker determines that some other period should be allowed.
(a) In a case that has been set for oral evidentiary hearing under § 302.210(a)(4), the administrative law judge shall adopt and serve an initial or recommended decision within one hundred thirty-six (136) days after the issuance of the order establishing further procedures unless:
(1) The DOT decisionmaker, having found extraordinary circumstances, has by order delayed the initial or recommended decision by a period of not more than thirty (30) days; or
(2) An applicant has failed to meet the procedural schedule adopted by the judge or the DOT decisionmaker. In this case, the administrative law judge may, by notice, extend the due date for the issuance of an initial or recommended decision for a period not to exceed the period of delay caused by the applicant.
(b) In a case in which some of the issues have not been set for oral hearing under § 302.210(a)(4), the administrative law judge shall adopt and serve an initial or recommended decision within the time established by the DOT decisionmaker in the order establishing further procedures, except that that due date may be extended in accordance with paragraph (a)(2) of this section.
(c) The initial or recommended decision shall be issued by the administrative law judge fourteen (14) days after it is served. Unless exceptions are filed under § 302.217 or the DOT decisionmaker issues an order to review on his or her own initiative, an initial decision shall become effective as the final order of the Department the day it is issued. Where exceptions are timely filed or the DOT decisionmaker takes action to review on his or her own initiative, the effectiveness of the initial decision is stayed until further order of the DOT decisionmaker.
(d) In all other respects, the provisions of § 302.31 shall apply.
(a) Within seven (7) days after service of any initial or recommended decision of an administrative law judge, any party may file exceptions to the decision with the DOT decisionmaker.
(b) If timely and adequate exceptions are filed, review of the initial or recommended decision is automatic.
(c) In all other respects, the provisions of § 302.34 shall apply.
(a) In a case in which an initial or recommended decision has been served and exceptions have been filed, any party may file a brief in support of or in opposition to any exceptions. Such briefs shall be filed within fourteen (14) days after service of the initial or recommended decision.
(b) In a case in which no exceptions have been filed, briefs shall not be filed unless the DOT decisionmaker has taken review of the initial or recommended decision on his or her own initiative and has specifically provided for the filing of such briefs.
(c) In all other respect, the provisions of § 302.35 shall apply.
If the order establishing further procedures provides for an oral argument, or if the DOT decisionmaker otherwise decides to hear oral argument, all parties will be notified of the date and hour set for that argument and the amount of time allowed each party. The provisions of § 302.36(b) shall also apply.
In addition to the provisions of § 302.38, the following provisions shall apply:
(a) In the case of a certificate application that has been set for oral evidentiary hearing under § 302.210(a)(4), the Department will issue its final order within ninety (90) days after the initial or recommended decision is issued. If an application has failed to meet the procedural schedule established by the Department, the DOT decisionmaker may, by notice, extend the date for a final decision for a period equal to the period of delay caused by the applicant.
(b) If the DOT decisionmaker does not act in the time period established in paragraph (a) of this section:
(1) in the case of an application for a certificate to engage in foreign air transportation, the recommended decision shall be transmitted to the President of the United States under 49 U.S.C. 41307; or
(2) in the case of an application not subject to review by the President of the United States, the initial decision shall become effective as the final order of the Department.
(c) In the case of a certificate application that has been processed under § 302.210(a)(1) or (5), the Department will issue its final order within one hundred eighty (180) days after the order establishing further procedures. If an applicant has failed to meet the procedural schedule established by the Department, the DOT decisionmaker may, by notice, extend the due date for a final decision for a period equal to the period of delay caused by the applicant.
(a) This subpart sets forth the specific rules applicable to proceedings for exemptions under sections 40109 and 41714 of 49 U.S.C. Subtitle VII, including the granting of emergency exemptions, as well as applications for frequency allocations and other limited authority under international agreements. Except as modified by this subpart, the provisions of subpart A of this part apply.
(b) Proceedings for the issuance of exemptions by regulation are subject to the provisions governing rulemaking.
(a) Except as provided in paragraphs (b) and (c) of this section, applications for exemption shall conform to the requirements of §§ 302.3 and 302.4.
(b) Applications for exemption from section 41101 or 41301 of 49 U.S.C. Subtitle VII (including those that incorporate an exemption from section 41504) that involve ten (10) or fewer flights may be submitted to the U.S. Air Carrier Licensing Division or the Foreign Air Carrier Licensing Division (as appropriate), Office of International Aviation, on OST Form 4536. However, that form may not be used for:
(1) Applications filed under section 40109(g) of 49 U.S.C. Subtitle VII;
(2) Applications by persons who do not have either:
(i) An effective air carrier certificate or foreign air carrier permit from the Department, or
(ii) A properly completed application for such a certificate or permit, and an effective exemption from the Department for operations similar to those proposed;
(3) Successive applications for the same or similar authority that would total more than ten (10) flights; or
(4) Any other application for which the Department decides the requirements of §§ 302.3 and 302.4 are more appropriate. Upon a showing of good cause, an application may be filed by cablegram, telegram, facsimile, electronic mail (when available), or telephone; all such telephonic requests must be confirmed by written application within three (3) business days of the original request.
(c) Applications for exemption from Chapter 415 of 49 U.S.C. Subtitle VII, from tariffs (except for waivers filed under subpart Q of part 221 of this chapter), or from Department regulations concerning tariffs may be submitted by letter. Three copies of such applications shall be sent to Department of Transportation Dockets. Upon a showing of good cause, the application may also be filed by cablegram, telegram, facsimile, electronic mail (when available), or telephone; all such requests must be confirmed by written application within three (3) business days of the original request.
(d) Applications filed under paragraph (a) of this section shall be docketed and any additional documents filed shall be identified by the assigned docket number.
(e) Applications filed under paragraph (b) or (c) of this section will normally not be docketed. The Department may require such applications to be docketed if appropriate. The Department will publish a notice of such applications in its Weekly List of Applications Filed.
(a) Title. An application filed under § 302.302(a) shall be entitled “Application for . . .” (followed by the type of authority request, e.g., exemption, frequency allocation) and, where applicable, shall state if the application involves renewal and/or amendment of existing exemption authority.
(b) Factual statement. Each application shall state:
(1) The section(s) of 49 U.S.C. Subtitle VII or the rule, regulation, term, condition, or limitation from which the exemption is requested;
(2) The proposed effective date and duration of the exemption;
(3) A description of how the applicant proposes to exercise the authority (for example, applications for exemption from section 41101 or 41301 of 49 U.S.C. Subtitle VII should include at least: places to be served; equipment types, capacity and source; type and frequency or service; and other operations that the proposed service will connect with or support); and
(4) Any other facts the applicant relies upon to establish that the proposed service will be consistent with the public interest.
(c) Supporting evidence. (1) Each application shall be accompanied by:
(i) A statement of economic data, or other matters or information that the applicant desires the Department to officially notice;
(ii) Affidavits, or statements under penalty of 18 U.S.C. 1001, establishing any other facts the applicant wants the Department to rely upon; and
(iii) Information showing the applicant is qualified to perform the proposed services.
(2) In addition to the information required by paragraph (c)(1) of this section, an application for exemption from section 41101 or 41301 of 49 U.S.C. Subtitle VII (except exemptions under section 40109(g)) shall state whether the authority sought is governed by a bilateral agreement or by principles of comity and reciprocity. Applications by foreign carriers shall state whether the applicant's homeland government grants U.S. carriers authority similar to that requested. If so, the application shall state whether the fact of reciprocity has been established by the Department and cite the pertinent finding. If the fact of reciprocity has not been established by the Department, the application shall include documentation to establish such reciprocity.
(d) Emergency cabotage. Applications under section 40109(g) of 49 U.S.C. Subtitle VII shall, in addition to the information required in paragraphs (b) and (c) of this section, contain evidence showing that:
(1) Because of an emergency created by unusual circumstances not arising in the normal course of business, traffic in the markets requested cannot be accommodated by air carriers holding certificates under section 41102 of 49 U.S.C. Subtitle VII;
(2) All possible efforts have been made to accommodate the traffic by using the resources of such air carriers (including, for example, the use of foreign aircraft, or sections of foreign aircraft, under lease or charter to such air carriers, and the use of such air carriers' reservation systems to the extent practicable);
(3) The authority requested is necessary to avoid unreasonable hardship for the traffic in the market that cannot be accommodated by air carriers; and
(4) In any case where an inability to accommodate traffic in a market results from a labor dispute, the grant of the requested exemption will not result in an unreasonable advantage to any party in the dispute.
(e) Renewal applications. An application requesting renewal of an exemption or other limited authority under this subpart that is intended to invoke the automatic extension provisions of 5 U.S.C. 558(c) shall comply with, and contain the statements and information required by part 377 of this chapter.
(f) Record of service. An application shall list the parties served as required by § 302.304.
(a) General requirements. (1) An application for exemption and responsive pleadings shall be served as provided by § 302.7.
(2) Applicants shall serve on the persons listed in paragraph (b) of this section a complete copy of the application and any supporting documents. Responsive pleadings shall be served on the same persons as applications.
(b) Persons to be served. (1) Applicants for scheduled interstate air transportation authority shall serve:
(i) All U.S. air carriers (including commuter air carriers) that publish schedules in the Official Airline Guide or the Air Cargo Guide for the city-pair market(s) specified in the application,
(ii) The airport authority of each U.S. airport that the applicant proposes to serve, and
(iii) Any other person who has filed a pleading in a related proceeding under section 41102, 41302, or 40109 of 49 U.S.C. Subtitle VII.
(2) Applicants for scheduled foreign air transportation authority shall serve:
(i) All U.S. air carriers (including commuter air carriers) that publish schedules in the Official Airline Guide or in the Air Cargo Guide for the country-pair market(s) specified in the application,
(ii)The airport authority of each U.S. airport that the applicant proposes to serve, and
(iii) Any other person who has filed a pleading in a related proceeding under section 41102, 41302, or 40109 of 49 U.S.C. Subtitle VII.
(3) Applicants for charter-only or nonscheduled-only authority shall serve any person who has filed a pleading in a related proceeding under section 41102, 41302, or 40109 of 49 U.S.C. Subtitle VII. However, applicants that file fewer than sixteen (16) days prior to the proposed start of service must also serve:
(i) Those U.S. carriers (including commuter carriers) that are known to be operating in the general market(s) at issue and
(ii) Those persons who may be presumed to have an interest in the subject matter of the application.
(4) Applicants for slot exemptions under section 41714 of 49 U.S.C. Subtitle VII shall serve:
(i) All U.S. air carriers (including commuter air carriers) that publish schedules in the Official Airline Guide or the Air Cargo Guide for the airport(s) specified in the application,
(ii) The manager of each of the affected airports,
(iii) The mayor of the city that each affected airport serves,
(iv) The Governor of the State in which each affected airport is located, and
(v) Any other person who has filed a pleading in a related proceeding under section 41714 of 49 U.S.C. Subtitle VII.
(5) Additional service. The Department may, in its discretion, order additional service upon any other person.
A copy of every docketed application for exemption shall be posted in Department of Transportation Dockets and listed in the Department's Weekly List of Applications Filed. A copy of every undocketed application shall be posted in the Licensing Division's lobby of the Office of International Aviation.
(a) Dismissal or rejection. The Department may dismiss or reject any application for exemption that does not comply with the requirements of this part.
(b) Additional data. The Department may require the filing of additional data with respect to any application for exemption, answer, or reply.
Within fifteen (15) days after the filing of an application for exemption, any person may file an answer in support of or in opposition to the grant of a requested exemption. Such answer shall set forth in detail the reasons why the exemption should be granted or denied. An answer shall include a statement of economic data or other matters the Department is requested to officially notice, and shall be accompanied by affidavits establishing any other facts relied upon.
Within seven (7) days after the last day for filing an answer, any interested party may file a reply to one or more answers.
The Department will not normally conduct oral evidentiary hearings concerning applications for exemption. However, the Department may, in its discretion, order such a hearing on an application. Any applicant, or any person opposing an application, may request an oral evidentiary hearing. Such a request shall set forth in detail the reasons why the filing of affidavits or other written evidence will not permit the fair and expeditious disposition of the application. A request relying on factual assertions shall be accompanied by affidavits establishing such facts. If the Department orders an oral evidentiary hearing, the procedures in subpart A of this part shall apply.
The Department may grant exemptions on its own initiative when it finds that such exemptions are required by the circumstances and consistent with the public interest.
(a) Shortened procedures. When required by the circumstances and consistent with the public interest, the Department may take action, without notice, on exemption applications prior to the expiration of the normal period for filing answers and replies. When required in a particular proceeding, the Department may specify a lesser time for the filing of answers and replies, and notify interested persons of this time period.
(b)(1) Applications. Applications for emergency exemption need not conform to the requirements of this subpart or of subpart A of this part (except as provided in this section and in § 302.303(d) concerning emergency cabotage requests). However, an application for emergency exemption must normally be in writing and must state in detail the facts and evidence that support the application, the grounds for the exemption, and the public interest basis for the authority sought. In addition, the application shall state specific reasons that justify departure from the normal exemption application procedures. The application shall also identify those persons notified as required by paragraph (c) of this section. The Department may require additional information from any applicant before acting on an application.
(2) Oral requests. The Department will consider oral requests, including telephone requests, for emergency exemption authority under this section in circumstances that do not permit the immediate filing of a written application. All oral requests must, however, provide the information required in paragraph (b)(1) of this section, except that actual evidence in support of the application need not be tendered when the request is made. All oral requests must be confirmed by written application, together with all supporting evidence, within three (3) business days of the original request.
(c) Notice. Except when the Department decides that no notice need be given, applicants for emergency exemption shall notify, as appropriate, those persons specified in § 302.304(b) of this subpart. Such notification shall be made in the same manner, contain the same information, and be dispatched at the same time, as the application made to the Department.
This subpart contains the specific rules that apply to Department proceedings to enforce the provisions of the Statute, and the rules, regulations, orders and other requirements issued by the Department, as well as the filing of informal and formal complaints. Except as modified by this subpart, the provisions of subpart A of this part apply.
Assistant General Counsel, when used in this subpart, refers to the Assistant General Counsel for Aviation Enforcement and Proceedings.
Complainant refers to the person filing a complaint.
Parties, when used in this subpart, include the Office of the Assistant General Counsel, the respondent, the complainant, and any other person permitted to intervene under § 302.20.
Respondent refers to the person against whom a complaint is filed.
Any person may submit in writing to the Assistant General Counsel an informal complaint with respect to anything done or omitted to be done by any person in contravention of any provision of 49 U.S.C. Subtitle VII or any requirement established thereunder. Such informal complaints need not otherwise comply with the provisions of this part. Matters so presented may, if their nature warrants, be handled by correspondence or conference with the appropriate persons. Any matter not disposed of informally may be made the subject of an enforcement proceeding pursuant to this subpart. The filing of an informal complaint shall not bar the subsequent filing of a formal complaint.
(a) Filing. Any person may make a formal complaint to the Assistant General Counsel about any violation of the economic regulatory provisions of 49 U.S.C. Subtitle VII or of the Department's rules, regulations, orders, or other requirements. Every formal complaint shall conform to the requirements of §§ 302.3 and 302.4, concerning the form and filing of documents. The filing of a complaint shall result in the institution of an enforcement proceeding only if the Assistant General Counsel issues a notice instituting such a proceeding as to all or part of the complaint under § 302.406(a) or the General Counsel does so under § 302.406(c).
(b) Amendment. A formal complaint may be amended at any time before service of an answer to the complaint. After service of an answer but before institution of an enforcement proceeding, the complaint may be amended with the permission of the Assistant General Counsel. After institution of an enforcement proceeding, the complaint may be amended only on grant of a motion filed under § 302.11.
(c) Insufficiency of formal complaint. In any case where the Assistant General Counsel is of the opinion that a complaint does not sufficiently set forth matters required by any applicable rule, regulation or order of the Department, or is otherwise insufficient, he or she may advise the complainant of the deficiency and require that any additional information be supplied by amendment.
(d) Joinder of complaints or complainants. Two or more grounds of complaints involving substantially the same purposes, subject or state of facts may be included in one complaint even though they involve more than one respondent. Two or more complainants may join in one complaint if their respective causes of complaint are against the same party or parties and involve substantially the same purposes, subject or state of facts. The Assistant General Counsel may separate or split complaints if he or she finds that the joinder of complaints, complainants, or respondents will not be conducive to the proper dispatch of the Department's business or the ends of justice.
(e) Service. A formal complaint, and any amendments thereto, shall be served by the person filing such documents upon each party complained of, upon the General Counsel, and upon the Assistant General Counsel.
(a) Answers. Within fifteen (15) days after the date of service of a formal complaint, each respondent shall file an answer in conformance with and subject to the requirements of § 302.408(b). Extensions of time for filing an answer may be granted by the Assistant General Counsel for good cause shown.
(b) Offers to satisfy. A respondent in a formal complaint may offer to satisfy the complaint through submission of facts, offer of settlement or proposal of adjustment. Such offer shall be in writing and shall be served, within fifteen (15) days after service of the complaint, upon the same persons and in the same manner as an answer. The submittal of an offer to satisfy the complaint shall not excuse the filing of an answer.
(c) Motions to dismiss. Motions to dismiss a formal complaint shall not be filed prior to the filing of a notice instituting an enforcement proceeding with respect to such complaint or a portion thereof.
(a) Within a reasonable time after an answer to a formal complaint is filed, the Assistant General Counsel shall either:
(1) Issue a notice instituting a formal enforcement proceeding in accordance with § 302.407 or
(2) Issue an order dismissing the complaint in whole or in part, stating the reasons for such dismissal.
(b) An order dismissing a complaint issued pursuant to paragraph (a)(2) of this section shall become effective as a final order of the Department thirty (30) days after service thereof.
(c) Whenever the Assistant General Counsel has failed to act on a formal complaint within a reasonable time after an answer is due, the following motions may be addressed to the General Counsel:
(1) By the complainant to institute an enforcement proceeding by docketing the complaint upon a showing that it is in the public interest to do so; and
(2) By the respondent to dismiss the complaint upon a showing that it is in the public interest to do so.
(d) The General Counsel may grant, deny, or defer any of the motions, in whole or in part, and take appropriate action to carry out his or her decision.
(a) Whenever in the opinion of the Assistant General Counsel there are reasonable grounds to believe that any economic regulatory provision of 49 U.S.C. Subtitle VII, or any rule, regulation, order, limitation, condition, or other requirement established pursuant thereto, has been or is being violated, that efforts to satisfy a complaint as provided by § 302.405 have failed, and that the investigation of any or all of the alleged violations is in the public interest, the Assistant General Counsel may issue a notice instituting an enforcement proceeding before an administrative law judge.
(b) The notice shall incorporate by reference the formal complaint submitted pursuant to § 302.404 or shall be accompanied by a complaint by an attorney from the Office of the Assistant General Counsel. The notice and accompanying complaint, if any, shall be formally served upon each respondent and each complainant.
(c) The proceedings thus instituted shall be processed in regular course in accordance with this part. However, nothing in this part shall be construed to limit the authority of the Department to institute or conduct any investigation or inquiry within its jurisdiction in any other manner or according to any other procedures that it may deem necessary or proper.
(d) Whenever the Assistant General Counsel seeks an assessment of civil penalties in an enforcement proceeding, he or she shall serve on all parties to the proceeding a notice of the violations alleged and the amount of penalties for which the respondent may be liable. The notice may be included in the notice instituting a formal enforcement proceeding or in a separate document.
(e) In any proceeding in which civil penalties are sought, any decisions issued by the Department shall state the amount of any civil penalties assessed upon a finding of violation, and the time and manner in which payment shall be made to the United States.
(a) Within fifteen (15) days after the date of service of a notice issued pursuant to § 302.407, the respondent shall file an answer to the complaint attached thereto or incorporated therein unless an answer has already been filed in accordance with § 302.405. Any requests for extension of time for filing of an answer to such complaint shall be filed in accordance with § 302.11.
(b) All answers shall be served in accordance with § 302.7 and shall fully and completely advise the parties and the Department as to the nature of the defense and shall admit or deny specifically and in detail each allegation of the complaint unless the respondent is without knowledge, in which case, his or her answer shall so state and the statement shall operate as a denial. Allegations of fact not denied or controverted shall be deemed admitted. Matters alleged as affirmative defenses shall be separately stated and numbered and shall, in the absence of a reply, be deemed to be controverted. Any answer to a complaint, or response to a notice, proposing the assessment of civil penalties shall specifically present any matters that the respondent intends to rely upon in opposition to, or in mitigation of, such civil penalties.
(c) The DOT decisionmaker or the administrative law judge may, in his or her discretion, require or permit the filing of a reply in appropriate cases; otherwise, no reply may be filed.
Failure of a respondent to file and serve an answer within the time and in the manner prescribed by § 302.408 shall be deemed to authorize the DOT decisionmaker or administrative law judge, as a matter of discretion, to find the facts alleged in the complaint incorporated in or accompanying the notice instituting a formal enforcement proceeding to be true and to enter such orders as may be appropriate without notice or hearing, or, as a matter of discretion, to proceed to take proof, without notice, of the allegations or charges set forth in the complaint or order; Provided, that the DOT decisionmaker or administrative law judge may permit late filing of an answer for good cause shown.
The DOT decisionmaker or Chief Administrative Law Judge may, upon his or her own initiative, or upon motion of any party, consolidate for hearing or for other purposes, or may contemporaneously consider, two or more enforcement proceedings that involve substantially the same parties or issues that are the same or closely related, if he or she finds that such consolidation or contemporaneous hearing will be conducive to the dispatch of business and to the ends of justice and will not unduly delay the proceedings.
(a) At any time after an answer has been filed, any party may file with the DOT decisionmaker or the administrative law judge a motion to dismiss or a motion for summary judgment, including supporting affidavits. The procedure on such motions shall be in accordance with the Federal Rules of Civil Procedure (28 U.S.C.), particularly Rules 6(d), 7(b), 12, and 56, except that answers and supporting papers to a motion to dismiss or for summary judgment shall be filed within seven (7) days after service of the motion.
(b) Parties may petition the DOT decisionmaker to review any action by the administrative law judge granting summary judgment or dismissing an enforcement proceeding under the procedure established for review of an initial decision in § 302.32.
(a) At any time after an answer has been filed, any party may file with the DOT decisionmaker or administrative law judge and serve upon the opposing side a written request for the admission of the genuineness and authenticity of any relevant documents described in and exhibited with the request or for the admission of the truth of any relevant matters of fact stated in the request with respect to such documents.
(b) Each of the matters of which an admission is requested shall be deemed admitted unless within a period designated in the request, not less than ten (10) days after service thereof, or within such further time as the DOT decisionmaker or the administrative law judge may allow upon motion and notice, the party to whom the request is directed serves upon the requesting party a sworn statement either denying specifically the matters of which an admission is requested or setting forth in detail the reasons why he or she cannot truthfully either admit or deny such matters.
(c) Service of such request and answering statement shall be made as provided in § 302.7. Any admission made by a party pursuant to such request is only for the purposes of the pending proceeding, or any proceeding or action instituted for the enforcement of any order entered therein, and shall not constitute an admission by him or her for any other purpose or be used against him or her in any other proceeding or action.
Evidence of previous violations by any person or of any provision of 49 U.S.C. Subtitle VII or any requirement thereunder found by the Department or a court in any other proceeding or criminal or civil action may, if relevant and material, be admitted in any enforcement proceeding involving such person.
A prehearing conference may be held in an enforcement proceeding whenever the administrative law judge believes that the fair and expeditious disposition of the proceeding requires one. If a prehearing conference is held, it shall be conducted in accordance with § 302.22.
After the issues have been formulated, whether by the pleadings or otherwise, the administrative law judge shall give the parties reasonable written notice of the time and place of the hearings. Except as may be modified by the provisions of this subpart, the procedures in §§ 302.17 to 302.38 governing the conduct of oral evidentiary hearings will apply.
With consent of the administrative law judge, appearances may be entered without request for or grant of permission to intervene by interested persons who are not parties to the proceeding. Such persons may, with the consent of the administrative law judge, cross-examine a particular witness or suggest to any party or counsel therefor questions or interrogations to be asked witnesses called by any party, but may not otherwise examine witnesses and may not introduce evidence or otherwise participate in the proceeding. However, such persons may present to both the administrative law judge and the DOT decisionmaker an oral or written statement of their position on the issues involved in the proceeding.
(a) The General Counsel and the respondent may agree to settle all or some of the issues in an enforcement proceeding at any time before a final decision is issued by the DOT decisionmaker. The General Counsel shall serve a copy of any proposed settlement on each party and shall submit the proposed settlement to the administrative law judge for approval. The submission of a proposed settlement shall not automatically delay the proceeding.
(b) Any party to the proceeding may submit written comments supporting or opposing the proposed settlement within ten (10) days from the date of service.
(c) The administrative law judge shall approve the proposed settlement, as submitted, if it appears to be in the public interest, or otherwise shall disapprove it.
(d) Information relating to settlement offers and negotiations will be withheld from public disclosure if the General Counsel determines that disclosure would interfere with the likelihood of settlement of an enforcement proceeding.
All motions for the suspension of the economic operating authority of an air carrier during the pendency of proceedings to revoke such authority shall be filed with, and decided by, the DOT decisionmaker. Proceedings on the motion shall be in accordance with § 302.11. In addition, the DOT decisionmaker shall afford the parties an opportunity for oral argument on such motion.
Whenever any party to a proceeding, in which an order of the Department has been issued pursuant to section 46101 of 49 U.S.C. Subtitle VII or an injunction or other form of enforcement action has been issued by a court of competent jurisdiction pursuant to section 46106 of 49 U.S.C. Subtitle VII, believes that changed conditions of fact or law or the public interest require that said order or judicial action be modified or set aside, in whole or in part, such party may file with the Department a motion requesting that the Department take such administrative action or join in applying to the appropriate court for such judicial action, as the case may be. The motion shall state the changes desired and the changed circumstances warranting such action, and shall include the materials and argument in support thereof. The motion shall be served on each party to the proceeding in which the enforcement action was taken. Within thirty (30) days after the service of such motion, any party so served may file an answer thereto. The Department shall dispose of the motion by such procedure as it deems appropriate.
Repeal, revision or amendment of any of the economic regulatory provisions of 49 U.S.C. Subtitle VII or of the Department's rules, regulations, orders, or other requirements shall not affect any pending enforcement proceeding or any enforcement proceeding initiated thereafter with respect to causes arising or acts committed prior to said repeal, revision or amendment, unless the act of repeal, revision or amendment specifically so provides.
This subpart sets forth the special rules applicable to proceedings with respect to rates, fares and charges in foreign air transportation under Chapter 415 of 49 U.S.C. Subtitle VII. Except as modified by this subpart, the provisions of subpart A apply.
A proceeding to determine the lawfulness of rates, fares, or charges for the foreign air transportation of persons or property by aircraft, or the lawfulness of any classification, rule, regulation, or practice affecting such rates, fares or charges, may be instituted by the filing of a petition or complaint by any person, or by the issuance of an order by the Department.
(a) If a petition or complaint is filed it shall state the reasons why the rates, fares, or charges, or the classification, rule, regulation, or practice complained of are unlawful and shall support such reasons with a full factual analysis.
(b) A petition or complaint shall be served by the petitioner or complainant upon the air carrier against whose tariff provision the petition or complaint is filed.
(c) Answers to complaints, other than those filed under § 302.506, shall be filed within seven (7) working days after the complaint is filed.
If the Department is of the opinion that a petition or complaint does not state facts that warrant an investigation or action on its part, it may dismiss such petition or complaint without hearing.
The Department, on its own initiative, or if it is of the opinion that the facts stated in a petition or complaint warrant it, may issue an order instituting an investigation of the lawfulness of any present or proposed rates, fares, or charges for the foreign air transportation of persons or property by aircraft or the lawfulness of any classification, rule, regulation, or practice affecting such rates, fares, or charges, and may assign the proceeding for hearing before an administrative law judge. If a hearing is held, except as modified by this subpart, the provisions of § 302.17 through § 302.38 of this part shall apply.
(a) Formal complaints seeking suspension of tariffs pursuant to section 41509 of 49 U.S.C. Subtitle VII shall fully identify the tariff and include reference to:
(1) The issued or posting date,
(2) The effective date,
(3) The name of the publishing carrier or agent,
(4) The Department number, and
(5) Specific items or particular provisions protested or complained against. The complaint should indicate in what respect the tariff is considered to be unlawful, and state what complainant suggests by way of substitution.
(b) A complaint requesting suspension of a tariff ordinarily will not be considered unless made in conformity with this section and filed no more than ten (10) days after the issued date contained within such tariff.
(c) A complaint requesting suspension, pursuant to section 41509 of 49 U.S.C. Subtitle VII, of an existing tariff for foreign air transportation may be filed at any time. However, such a complaint must be accompanied by a statement setting forth compelling reasons for not having requested suspension within the time limitations provided in paragraph (b) of this section.
(d) In an emergency satisfactorily shown by the complainant, and within the time limits herein provided, a complaint may be sent by facsimile, telegram, or electronic mail (when available) to the Department and to the carrier against whose tariff provision the complaint is made. Such complaint shall state the grounds relied upon, and must be confirmed in writing within three (3) business days and filed and served in accordance with this part.
(e) Answers to complaints shall be filed within six (6) working days after the complaint is filed.
In computing the time for filing formal complaints pursuant to § 302.506, with respect to tariffs that do not contain a posting date, the first day preceding the effective date of the tariff shall be the first day counted, and the last day so counted shall be the last day for filing unless such day is a Saturday, Sunday, or legal holiday for the Department, in which event the period for filing shall be extended to the next successive day that is not a Saturday, Sunday, or holiday. The computation of the time for filing complaints as to tariffs containing a posting date shall be governed by § 302.8.
(a) This subpart contains the specific rules that apply to a complaint filed by one or more air carriers or foreign air carriers (“carriers”), pursuant to 49 U.S.C. 47129(a), for a determination of the reasonableness of a fee increase or a newly established fee for aeronautical uses that is imposed upon the carrier by the owner or operator of an airport. This subpart also applies to requests by the owner or operator of an airport for such a determination. An airport owner or operator is considered to have imposed a fee on a carrier when it has taken all steps necessary under its procedures to establish the fee, whether or not the fee is being collected or carriers are currently required to pay it.
(b) This subpart does not apply to—
(1) A fee imposed pursuant to a written agreement with a carrier using the facilities of an airport;
(2) A fee imposed pursuant to a financing agreement or covenant entered into prior to August 23, 1994, or
(3) Any other existing fee not in dispute as of August 23, 1994.
(c) Except as modified by this subpart, the provisions of subpart A of this part apply.
(a) Any carrier may file a complaint with the Secretary for a determination as to the reasonableness of any fee imposed on the carrier by the owner or operator of an airport. Any airport owner or operator may also request such a determination with respect to a fee it has imposed on one or more carriers. The complaint or request for determination shall conform to the requirements of this subpart and §§ 302.3 and 302.4 concerning the form and filing of documents.
(b) If a carrier has previously filed a complaint with respect to the same airport fee or fees, any complaint by another carrier and any airport request for determination shall be filed no later than seven (7) calendar days following the initial complaint. In addition, all complaints or requests for determination must be filed on or before the sixtieth (60th) day after the carrier receives written notice of the imposition of the new fee or the imposition of the increase in the fee.
(c) To ensure an orderly disposition of the matter, all complaints and any request for determination filed with respect to the same airport fee or fees will be considered in a consolidated proceeding, as provided in § 302.606.
(a) The complaint or request for determination shall set forth the entire grounds for requesting a determination of the reasonableness of the airport fee. The complaint or request shall include a copy of the airport owner or operator's written notice to the carrier of the imposition of the fee, a statement of position with a brief, and all supporting testimony and exhibits on which the filing party intends to rely. In lieu of submitting duplicative exhibits or testimony, the filing party may incorporate by reference testimony and exhibits already filed in the same proceeding.
(b) All exhibits and briefs prepared on electronic spreadsheet or word processing programs should be accompanied by standard-format electronic media containing those submissions. Parties should submit three copies the electronic media to Department of Transportation Dockets Operations Office: One copy for the docket, one copy for the Office of Hearings, and one copy for the Office of Aviation Analysis. Filers should ensure that files on the electronic media are unalterably locked.
(c) When a carrier files a complaint, it must also certify:
(1) That it has served on the airport owner or operator and all other carriers serving the airport the complaint, brief, and all supporting testimony and exhibits, and that those parties have received or will receive these documents no later than the date the complaint is filed. Such service shall be by hand, by electronic transmission, or by overnight express delivery. (Unless a carrier has informed the complaining carrier that a different person should be served, service may be made on the person responsible for communicating with the airport on behalf of the carrier about airport fees.);
(2) That the carrier has previously attempted to resolve the dispute directly with the airport owner or operator;
(3) That when there is information on which the carrier intends to rely that is not included with the brief, exhibits, or testimony, the information has been omitted because the airport owner or operator has not made that information available to the carrier. The certification shall specify the date and form of the carrier's request for information from the airport owner or operator; and
(4) That any submission on computer diskette is a true copy of the data file used to prepare the printed versions of the exhibits or briefs.
(d) When an airport owner or operator files a request for determination, it must also certify:
(1) That it has served on all carriers serving the airport the request, brief, and all supporting testimony and exhibits, and that those parties have received or will receive these documents no later than the date the request is filed. Such service shall be in the same manner as provided in § 302.603(c)(1).
(2) That the airport owner or operator has previously attempted to resolve the dispute directly with the carriers; and
(3) That any submission on computer diskette is a true copy of the data file used to prepare the printed versions of the exhibits or briefs.
(a)(1) When a carrier files a complaint under this subpart, the owner or operator of the airport and any other carrier serving the airport may file an answer to the complaint as provided in paragraphs (b) and (c) of this section.
(2) When the owner or operator of an airport files a request for determination of the reasonableness of a fee it has imposed, any carrier serving the airport may file an answer to the request.
(b) The answer to a complaint or request for determination shall set forth the answering party's entire response. When one or more additional complaints or a request for determination has been filed pursuant to § 302.602(b) with respect to the same airport's fee or fees, the answer shall set forth the answering party's entire response to all complaints and any such request for determination. The answer shall include a statement of position with a brief and any supporting testimony and exhibits on which the answering party intends to rely. In lieu of submitting duplicative exhibits or testimony, the answering party may incorporate by reference testimony and exhibits already filed in the same proceeding.
(c) Answers to a complaint shall be filed no later than fourteen (14) calendar days after the filing date of the first complaint with respect to the fee or fees in dispute at a particular airport. Answers to a request for determination shall be filed no later than fourteen (14) calendar days after the filing date of the request.
(d) All exhibits and briefs prepared on electronic spreadsheet or word processing programs should be accompanied by standard-format computer diskettes containing those submissions as provided in § 302.603(b).
(e) The answering party must also certify that:
(1) it has served the answer, brief, and all supporting testimony and exhibits by hand, by electronic transmission, or by overnight express delivery on the carrier filing the complaint or the airport owner or operator requesting the determination, and that those parties have received or will receive these documents no later than the date the answer is filed; and
(2) that any submission on computer diskette is a true copy of the data file used to prepare the printed versions of the exhibits or briefs.
(a) The carrier submitting a complaint may file a reply to any or all of the answers to the complaint. The airport owner or operator submitting a request for determination may file a reply to any or all of the answers to the request for determination.
(b) The reply shall be limited to new matters raised in the answers. It shall constitute the replying party's entire response to the answers. It shall be in the form of a reply brief and may include supporting testimony and exhibits responsive to new matters raised in the answers. In lieu of submitting duplicative exhibits or testimony, the replying party may incorporate by reference testimony and exhibits already filed in the same proceeding.
(c) The reply shall be filed no later than two (2) calendar days after answers are filed.
(d) All exhibits and briefs prepared on electronic spreadsheet or word processing programs should be accompanied by standard-format computer diskettes containing those submissions as provided in § 302.603(b).
(e) The carrier or airport owner or operator submitting the reply must certify that it has served the reply and all supporting testimony and exhibits on the party or parties submitting the answer to which the reply is directed, and that those parties have received or will receive these documents no later than the date the reply is filed, and that any submission on computer diskette is a true copy of the data file used to prepare the printed versions of the exhibits or briefs.
(a) Within thirty (30) days after a complaint or request for determination is filed under this subpart, the Secretary will determine whether the complaint or request meets the procedural requirements of this subpart and whether a significant dispute exists, and take appropriate action pursuant to paragraph (b), (c), or (d) of this section. When both a complaint and a request for determination have been filed with respect to the same airport fee or fees, the Secretary will issue a determination as to whether the complaint, the request, or both meet the procedural requirements of this subpart and whether a significant dispute exists within thirty (30) days after the complaint is filed.
(b) If the Secretary determines that a significant dispute exists, he or she will issue an instituting order assigning the complaint or request for hearing before an administrative law judge. The instituting order will—
(1) Establish the scope of the issues to be considered and the procedures to be employed;
(2) Indicate the parties to participate in the hearing;
(3) Consolidate into a single proceeding all complaints and any request for determination with respect to the fee or fees in dispute; and
(4) Include any special provisions for exchange or disclosure of information by the parties.
(c) If the Secretary determines that the complaint or request does not meet the procedural requirements of this subpart, the complaint or request for determination will be dismissed without prejudice to filing a new complaint. The order of the Secretary will set forth the terms and conditions under which a revised complaint or request may be filed.
(d) If the Secretary finds that no significant dispute exists—
(1) If the proceeding was instituted by a complaint, the Secretary will issue an order dismissing the complaint, which will contain a concise explanation of the reasons for the determination that the dispute is not significant.
(2) If the proceeding was instituted by a request for determination, the Secretary will either issue a final order as provided in § 302.610 or set forth the schedule for any additional procedures required to complete the proceeding.
The administrative law judge shall issue a decision recommending a disposition of a complaint or request for determination within sixty (60) days after the date of the instituting order, unless a shorter period is specified by the Secretary.
(a) Within five (5) calendar days after service of a decision by an administrative law judge, any party may file with the Secretary a petition for discretionary review of the administrative law judge's decision.
(b) Petitions for discretionary review shall comply with § 302.32(a). The petitioner must also certify that it has served the petition by hand, by electronic transmission, or by overnight express delivery on all parties to the proceeding and that those parties have received or will receive the petition no later than the date it is filed.
(c) Any party may file an answer in support of or in opposition to any petition for discretionary review. The answer shall be filed within four (4) calendar days after service of the petition for discretionary review. The answer shall comply with the page limits specified in § 302.32(b).
(a) When a complaint or a request for determination with respect to an airport fee or fees has been filed under this subpart and has not been dismissed, the Secretary will issue a determination as to whether the fee is reasonable within 120 days after the complaint or request is filed.
(b) When both a complaint and a request for determination have been filed with respect to the same airport fee or fees and have not been dismissed, the Secretary will issue a determination as to whether the fee is reasonable within 120 days after the complaint is filed.
(a) When a complaint or request for determination stands submitted to the Secretary for final decision on the merits, he or she may dispose of the issues presented by entering an appropriate order, which will include a statement of the reasons for his or her findings and conclusions. Such an order shall be deemed a final order of the Secretary.
(b) The final order of the Secretary shall include, where necessary, directions regarding an appropriate refund or credit of the fee increase or newly established fee which is the subject of the complaint or request for determination.
(c) If the Secretary has not issued a final order within 120 days after the filing of a complaint by an air carrier or foreign air carrier, the decision of the administrative law judge shall be deemed to be the final order of the Secretary.
(a) This subpart sets forth the special rules applicable to proceedings for the establishment of mail rates by the Department for foreign air transportation and air transportation between points in Alaska, and certain contractual arrangements between the U.S. Postal Service and certificated air carriers for the carriage of mail in foreign air transportation entered into pursuant to 39 U.S.C. 5402(a), 84 Stat. 772.
(b) Such contracts must be for the transportation of at least 750 pounds of mail per flight, and no more than five (5) percent, based on weight, of the international mail transported under any such contract may consist of letter mail.
(a) Proceedings for the determination of rates of compensation for the transportation of mail may be commenced by the filing of a petition by an air carrier whose rate is to be fixed, or the U.S. Postal Service, or upon the issuance of an order by the DOT decisionmaker.
(b) The petition shall set forth the rate or rates sought to be established, a statement that they are believed to be fair and reasonable, the reasons supporting the request for a change in rates, and a detailed economic justification sufficient to establish the reasonableness of the rate or rates proposed.
(c) In any case where an air carrier is operating under a final mail rate uniformly applicable to an entire rate-making unit as established by the DOT decisionmaker, a petition must clearly and unequivocally challenge the rate for such entire rate-making unit and not only a part of such unit.
(d) All petitions, amended petitions, and documents relating thereto shall be served upon the U.S. Postal Service by sending a copy to the Assistant General Counsel, Transportation Division, Washington, DC 20260-1124, by registered or certified mail, postpaid, prior to the filing thereof with the Department. Proof of service on the U.S. Postal Service shall consist of a statement in the document that the person filing it has served a copy as required by this section.
(e) Answers to petitions shall be filed within twenty (20) days after service of the petition.
Whether the proceeding is commenced by the filing of a petition or upon the Department's own initiative, the DOT decisionmaker may issue an order directing the respondent to show cause why it should not adopt such findings and conclusions and such final rates as may be specified in the order to show cause, or may issue an order setting the matter for hearing before an administrative law judge.
(a) Where an order to show cause is issued, any person having objections to the rates specified in such order shall file with the DOT decisionmaker an answer within forty-five (45) days after the date of service of such order or within such other period as the order may specify.
(b) An answer to an order to show cause shall contain specific objections, and shall set forth the findings and conclusions, the rates, and the supporting exhibits that would be substituted for the corresponding items in the findings and conclusions of the show cause order, if such objections were found valid.
(c) An answer filed by a person who is neither a party nor a person ultimately permitted to intervene in an oral evidentiary hearing if such proceeding is established shall be treated as a memorandum filed under § 302.706.
(a) If no answer is filed within the designated time, or if a timely filed answer raises no material issue of fact, the DOT decisionmaker may, upon the basis of the record in the proceeding, enter a final order fixing the rate or rates.
(b) If an answer raising a material issue of fact is filed within the time designated in the Department's order, the DOT decisionmaker may then issue an order authorizing additional pleadings and/or establishing further procedural steps, including setting the matter for oral evidentiary hearing before an administrative law judge.
(a) If a hearing is ordered under § 302.705, the issues at such hearing shall be formulated in accordance with the instituting order, except that at a prehearing conference, the administrative law judge may permit the parties to raise such additional issues as he or she deems necessary to make a full determination of a fair and reasonable rate.
(b)(1) The parties to the proceeding shall be the air carrier or carriers for whom rates are to be fixed, the U.S. Postal Service, the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings and any other person whom the DOT decisionmaker or administrative law judge permits to intervene in accordance with § 302.20.
(2) In addition to participation in hearings in accordance with § 302.19, persons other than parties may, within the time fixed for filing an answer to an order to show cause as provided in § 302.704, submit a memorandum of opposition to, or in support of, the position taken in the petition or order. Such memorandum shall not be received as evidence in the proceeding.
(c) All direct evidence shall be in writing and shall be filed in exhibit form within the times specified by the DOT decisionmaker or by the administrative law judge.
(d) Except as modified by this subpart, the provisions of §§ 302.17 through 302.38 of this part shall apply.
At any time during the pendency of a proceeding for the determination of final mail rates, the DOT decisionmaker, upon his or her own initiative, or on petition by the air carrier whose rates are in issue or by the U.S. Postal Service, may fix temporary rates of compensation for the transportation of mail subject to downward or upward adjustment upon the determination of final mail rates.
(a) Conferences between DOT employees, representatives of air carriers, the U.S. Postal Service and other interested persons may be called by DOT employees for the purpose of considering and clarifying issues and factual material in pending proceedings for the establishment of rates for the transportation of mail.
(b) At the commencement of an informal mail rate conference pursuant to this section, the authorized DOT employees conducting such conference shall issue to each person present at such conference a written statement to the effect that such conference is being conducted pursuant to this section and stating the time of commencement of such conference; and at the termination of such conference the DOT employees conducting such conference shall note in writing on such statement the time of termination of such conference.
The mail rate conferences shall be limited to the discussion of, and possible agreement on, particular issues and related factual material in accordance with sound rate-making principles. The duties and powers of DOT employees in rate conferences essentially will not be different, therefore, from the duties and powers they have in the processing of rate cases not involving a rate conference. The employees' function in both instances is to present clearly to the DOT decisionmaker the issues and the related material facts, together with recommendations. The DOT decisionmaker will make an independent determination of the soundness of the employees's analyses and recommendations.
The persons entitled to be present in mail rate conferences will be the representatives of the carrier whose rates are in issue, the staff of the U.S. Postal Service, and the authorized DOT employees. No other person will attend unless the DOT employees deem his or her presence necessary in the interest of one or more purposes to be accomplished, and in such case his or her participation will be limited to such specific purposes. No person, however, shall have the duty to attend merely by reason of invitation by the authorized DOT employees.
(a) Nondisclosure of information. As a condition to participation, every participant, during the period of the conference and for ninety (90) days after its termination, or until the Department takes public action with respect to the facts and issues covered in the conference, whichever is earlier:
(1) Shall, except for necessary disclosures in the course of employment in connection with conference business, hold the information obtained in conference in absolute confidence and trust;
(2) Shall not deal, directly or indirectly, for the account of himself or herself, his or her immediate family, members of his or her firm or company, or as a trustee, in securities of the air carrier involved in the rate conference except that under exceptional circumstances special permission may be obtained in advance from the DOT decisionmaker; and
(3) Shall adopt effective controls for the confidential handling of such information and shall instruct personnel under his or her supervision, who by reason of their employment come into possession of information obtained at the conference, that such information is confidential and must not be disclosed to anyone except to the extent absolutely necessary in the course of employment, and must not be misused. (The term “information”, as used in this section, shall refer only to information obtained at the conference regarding the future course of action or position of the Department or its employees with respect to the facts or issues discussed at the conference.)
(b) Signed statement required. Every representative of an air carrier actually present at any conference shall sign a statement that he or she has read this entire instruction and promises to abide by it and advise any other participant to whom he or she discloses any confidential information of the restrictions imposed above. Every representative of the U.S. Postal Service actually present at any conference shall, on his or her own behalf, sign a statement to the same effect.
(c) Presumption of having conference information. A director of any air carrier that has had a representative at the conference, who deals either directly or indirectly for himself or herself, his or her immediate family, members of his or her firm or company, or as a trustee, in securities of the air carrier involved in the conference, during the restricted period set forth above, shall be presumed to have come into possession of information obtained at the conference knowing that such information was subject to the restrictions imposed above; but such presumption can be rebutted.
(d) Compliance report required. Within ten (10) days after the expiration of the time specified for keeping conference matters confidential, every participant, as defined in paragraph (e) of this section, shall file a verified compliance report with Department of Transportation Dockets stating that he or she has complied in every respect with the conditions of this section, or if he or she has not so complied, stating in detail in what respects he or she has failed to comply.
(e) Persons subject to the provisions of this section. For the purposes of this section, participants shall include:
(1) Any representative of any air carrier and any representative of the U.S. Postal Service actually present at the conference;
(2) The directors and the officers of any air carrier that had a representative at the conference;
(3) The members of any firm of attorneys or consultants that had a representative at the conference; and
(4) The members of the U.S. Postal Service staff who come into possession of information obtained at the conference, knowing that such information is subject to the restrictions imposed in this section.
When an air carrier is requested to submit detailed estimates as to traffic, revenues and expenses by appropriate periods and the investment that will be required to perform the operations for a future period, full and adequate support shall be presented for all estimates, particularly where such estimates deviate materially from the air carrier's experience. With respect to the rate for a past period, essentially the same procedure shall be followed. Other information or data likewise may be requested by the DOT employees. All data submitted by the air carrier shall be certified by a responsible officer.
After a careful analysis of these data, the DOT employees will, in most cases, send the air carrier a statement of exceptions showing areas of differences. Where practicable, the air carrier may submit an answer to these exceptions. Conferences will then be scheduled to resolve the issues and facts in accordance with sound ratemaking principles.
The representatives of the U.S. Postal Service shall have access to all conference data and, insofar as practicable, shall be furnished copies of all pertinent data prepared by the DOT employees and the air carrier, and a reasonable time shall be allowed to review the facts and issues and to make any presentation deemed necessary; Provided, That in cases other than those involving an issue as to the service mail rates payable by the U.S. Postal Service pursuant to section 41901 of 49 U.S.C. Subtitle VII, representatives of the U.S. Postal Service shall be furnished with copies of data under this provision only upon their written request.
No briefs, argument, or any formal steps will be entertained by the DOT decisionmaker after the rate conferences. The form, content and time of the staff's presentation to the DOT decisionmaker are entirely matters of internal procedure. Any party to the mail rate proceeding may, through an authorized DOT employee, request the opportunity to submit a written or oral statement to the DOT decisionmaker on any unresolved issue. The DOT decisionmaker will grant such requests whenever he or she deems such action desirable in the interest of further clarification and understanding of the issues. The granting of an opportunity for such further presentation shall not, however, impair the rights that any party might otherwise have under the Statute and this part.
No agreements or understandings reached in rate conferences as to facts or issues shall in any respect be binding on the Department or any participant. Any party to mail rate proceedings will have the same rights to file an answer and take other procedural steps as though no rate conference had been held. The fact, however, that a rate conference was held and certain agreements or understandings may have been reached on certain facts and issues renders it proper to provide that, upon the filing of an answer by any party to the rate proceeding, all issues going to the establishment of a rate shall be open, except insofar as limited in prehearing conference in accordance with § 302.22.
After the termination of a mail rate conference hereunder, the air carrier whose rates were in issue may petition the DOT decisionmaker for a release from the obligations imposed upon it and all other persons by § 302.711. The DOT decisionmaker will grant such petition only after a detailed and convincing showing is made in the petition and supporting exhibits and documents that there is no reasonable possibility that any of the abuses sought to be prevented will occur or that the Department's processes will in any way be prejudiced. There will be no hearing or oral argument on the petition and the DOT decisionmaker will grant or deny the request without being required to assign reasons therefor.
Any air carrier that is a party to a contract to which this subpart is applicable shall file three (3) copies of the contract in the Office of Aviation Analysis, X-50, Department of Transportation, Washington, DC 20590, not later than ninety (90) days before the effective date of the contract. A copy of such contract shall be served upon the persons specified in § 302.720 and the certificate of service shall specify the persons upon whom service has been made. One copy of each contract filed shall bear the certification of the secretary or other duly authorized officer of the filing air carrier to the effect that such copy is a true and complete copy of the original written instrument executed by the parties.
Each contract filed pursuant to this subpart shall be accompanied by economic data and such other information in support of the contract upon which the filing air carrier intends that the Department rely, including, in cases where pertinent, estimates of the annual volume of contract mail (weight and ton-miles) under the proposed contract, the nature of such mail (letter mail, parcel post, third class, etc.), together with a statement as to the extent to which this traffic is new or diverted from existing classes of air and surface mail services and the priority assigned to this class of mail.
A copy of each contract filed pursuant to § 302.718, and a copy of all material and data filed pursuant to § 302.719, shall be served upon each of the following persons:
(a) Each certificated and commuter (as defined in § 298.2 of this chapter) air carrier, other than the contracting carrier, that is actually providing scheduled mail services between any pair of points between which mail is to be transported pursuant to the contract; and
(b) The Assistant General Counsel, Transportation Division, U.S. Postal Service, Washington, DC 20260-1124.
Within fifteen (15) days of the filing of a contract, any interested person may file with the Office of Aviation Analysis, X-50, Department of Transportation, Washington, DC 20590, a complaint with respect to the contract setting forth the basis for such complaint and all pertinent information in support of same. A copy of the complaint shall be served upon the air carrier filing the contract and upon each of the persons served with such contract pursuant to § 302.720.
Answers to the complaint may be filed within ten (10) days of the filing of the complaint, with service being made as provided in § 302.720.
(a) In any case where a complaint is filed, the DOT decisionmaker shall issue an order dismissing the complaint, disapproving the contract, or taking such other action as may be appropriate. Any such order shall be issued not later than ten (10) days prior to the effective date of the contract.
(b) In cases where no complaint is filed, the DOT decisionmaker may issue a letter of notification to all persons upon whom the contract was served indicating that the Department does not intend to disapprove the contract.
(c) Unless the DOT decisionmaker disapproves the contract not later than ten (10) days prior to its effective date, the contract automatically becomes effective.
Except in the case of a Department determination to disapprove a contract, no petitions for reconsideration of any Department determination pursuant to this subpart shall be entertained.
Appendix A shows the subjects covered by part 302 and the section numbers used before and after the final rule revising part 302, published in the
| Subject | Old rule | New rule |
|---|---|---|
| ADMINISTRATIVE LAW JUDGES: | ||
| Actions after hearings | § 302.27(b) | § 302.31(a) |
| Actions during prehearing conference | § 302.23(a) | § 302.22(b) |
| Arguments before | § 302.25 | § 302.29 |
| Briefs | § 302.26 | § 302.30 |
| Licensing cases | § 302.1752 | § 302.215 |
| Certification for decision | § 302.22(d) | § 302.31(b) |
| Definition | § 302.22(a) | § 302.2 |
| Delegation of authority | § 302.27(a) | § 307.17(a)(3) |
| Exceptions | § 302.27(a) | § 307.17(a)(3) |
| Interlocutory matters | § 302.27(a) | § 307.17(a)(3) |
| Disqualification | § 302.22(b) | § 302.17(b) |
| Exceptions | § 302.24(e) | § 302.24(i) |
| Licensing cases | § 302.1754 | § 302.217 |
| Hearings before | § 302.24 | § 302.23 |
| Initial decision ( | ||
| Powers | § 302.22(c) | § 302.17(a) |
| Prehearing conference report | § 302.23(b) | § 302.22(c) |
| Recommended decision ( | ||
| Termination of authority | § 302.22(c) | § 307.17(a)(4) |
| ADMISSIONS: | ||
| Enforcement proceeding | § 302.212 | § 302.412 |
| Limitation on use | § 302.212 | § 302.412(c) |
| AIRPORT FEES: | ||
| Administrative law judge decision | § 302.615 | § 302.607 |
| Complaints by U.S. or foreign air carriers | § 302.603(a) | § 302.602(a) |
| Answers | § 302.607 | § 302.604 |
| Additional complaints | § 302.603(b) | § 302.602(b) |
| Contents | § 302.605 | § 302.603 |
| Format of exhibits and briefs | § 302.605(b) | § 302.603(b) |
| Service | § 302.605(c)(1) | § 302.603(c)(1) |
| Replies | § 302.609 | § 302.605 |
| Consolidation of proceedings | § 302.603(c) | § 302.602(c) |
| Dismissal | §§ 302.611(c), (d) | §§ 302.606(c), (d) |
| Final order | § 302.621 | § 302.610 |
| Timing | § 302.619 | § 302.609 |
| Instituting order | § 302.611(b) | § 302.606(b) |
| Petitions for discretionary review | § 302.617 | § 302.608 |
| Answers | § 302.617(c) | § 302.608(c) |
| Request for determination by airport owner/operator | § 302.603(a) | § 302.602(a) |
| Answers | § 302.607 | § 302.604 |
| Contents | § 302.605 | § 302.603 |
| Format of exhibits and briefs | § 302.605(b) | § 302.603(b) |
| Service | § 302.605(d)(1) | § 302.603(d)(1) |
| Replies | § 302.609 | § 302.605 |
| Review procedures | § 302.611 | § 302.606 |
| Significant dispute determination | § 302.611(b) | § 302.606(b) |
| AMENDMENTS OF DOCUMENTS ( | ||
| ANSWERS ( | ||
| Airport fees | § 302.607 | § 302.604 |
| Certificate applications: | ||
| Initial fitness | § 302.1730(c) | § 302.204 |
| International route awards | ||
| Conforming applications | § 302.1720(d) | § 302.212(d) |
| Motions to modify scope | § 302.1720(e) | § 302.212(d) |
| New authority | § 302.1720(d) | § 302.212(b) |
| Complaints | ||
| Air mail contracts | § 302.1506 | § 302.722 |
| Airport fees | § 302.607 | § 302.604 |
| Enforcement matters | § 302.204(b) | § 302.405 |
| Suspension of tariffs | § 302.505 | § 302.506 |
| Consolidation of proceedings | § 302.12(c) | § 302.13(c) |
| Enforcement proceeding, notice instituting | § 302.207 | § 302.408 |
| Exemption applications | § 302.406 | § 302.307 |
| Foreign air carrier permit applications | § 302.1740(c) | § 302.204 |
| Generally | § 302.6 | § 302.6 |
| Mail rate proceedings show cause orders | § 302.305 | § 302.704 |
| Motions, generally | § 302.18(c) | § 302.11(c) |
| Motions to consolidate | § 302.12(c) | § 302.13(c) |
| Motions to dismiss and for summary judgment | § 302.212 | § 302.411 |
| Motions for modification/dissolution of enforcement proceedings | § 302.218 | § 302.419 |
| Petitions for discretionary review | § 302.28(b) | § 302.32(b) |
| Petitions for final mail rates | § 302.303 | § 302.702(e) |
| Petitions for intervention | § 302.15(c)(3) | § 302.20(c)(3) |
| Petitions for reconsideration | § 302.37a | § 302.14 |
| Requests for determination of airport fees | § 302.607 | § 302.607 |
| APPEALS: | ||
| Administrative Law Judge's ruling | § 302.18(f) | § 302.11(h) |
| Enforcement complaints | § 302.206(b) | § 302.406(c) |
| APPEARANCES: | ||
| Generally | § 302.11 | § 302.21 |
| Application for admission to practice unnecessary | § 302.11(a) | § 302.21(b) |
| Copy of transcript | § 302.11(c) | § 302.27(b) |
| Retention of counsel | § 302.11(b) | § 302.27(a) |
| Enforcement proceedings | § 302.214 | § 302.416 |
| APPLICATIONS: | ||
| Admission to practice unnecessary | § 302.11(a) | § 302.21(b) |
| Suspension from practicing before DOT | § 302.11(a) | § 302.21(c) |
| Amendment | § 302.5 | § 302.5 |
| Certificates for international route awards | §§ 302.1701-1713, 1720 | §§ 302.201-206 |
| Conforming applications | § 302.1720(c) | § 302.212(c) |
| Certificates involving initial fitness | §§ 302.1701-1713, 1730 | §§ 302.201-206 |
| Consolidation | § 302.12 | § 302.13 |
| Exemptions | §§ 302.401-405 | §§ 302.302-304 |
| Exemptions, emergency | §§ 302.410(b), (c) | § 302.311 |
| Foreign Air Carrier Permits | §§ 302.1701-1713, 1740 | §§ 302.201-206 |
| Licensing cases | §§ 302.1701-1790 | §§ 302.201-206 |
| ARGUMENT: | ||
| Before Administrative Law Judge | § 302.25 | § 302.29 |
| Oral ( | ||
| ATTENDANCE FEES AND MILEAGE | § 302.21 | § 302.27(c) |
| BRIEFS: | ||
| Accompanying motions or answers | § 302.18(d) | § 302.11(d) |
| Failure to restate objections | § 302.31(b) | § 302.35(b) |
| Filing time | § 302.31(a) | § 302.35(a) |
| Formal specifications | § 302.31(c) | § 302.35(c) |
| Incorporation by reference | § 302.31(b) | § 302.35(c)(2) |
| Licensing cases | §§ 302.302.1752, 1755 | §§ 302.215, 218 |
| To Administrative Law Judge | § 302.26 | § 302.30 |
| Licensing cases | § 302.1752 | § 302.215 |
| To DOT decisionmaker | § 302.31 | § 302.35 |
| Licensing cases | § 302.1755 | § 302.218 |
| CERTIFICATE CASES FOR U.S. AIR CARRIERS: | ||
| Application: | ||
| Answers to | §§ 302.1720(d) 1730(d) | § 302.204(a) |
| Contents of | § 302.1704 | § 302.202 |
| Incomplete | § 302.1713 | § 302.209 |
| Replies to answers | § 302.204(b) | |
| Service of | § 302.1705 | § 302.203 |
| Supporting evidence | § 302.1710 | §§ 302.202(a), 205 |
| Verification | § 302.1707 | § 302.206 |
| Continuing Fitness | § 302.1730 | § 302.211 |
| Non-hearing procedures | § 302.1712(a) | § 302.207 |
| Generally | §§ 302.1701-1790 | §§ 302.201-220 |
| Initial Fitness | § 302.1730 | § 302.211 |
| International Route Awards | § 302.1720 | § 302.212 |
| Oral evidentiary hearing proceedings | §§ 302.1751-1757 | §§ 302.214-220 |
| Petition for | § 302.1712(b) | § 302.208 |
| CERTIFICATION: | ||
| Documents | § 302.4(b) | § 302.4(b) |
| Record | §§ 302.22(d), 27, 29 | § 302.31(b) |
| CHARGES ( | ||
| CITATION OF RULES | § 302.2 | § 302.1(c) |
| CIVIL PENALTIES | § 302.206(a) | §§ 302.407(d), (e) |
| COMPLAINANTS, JOINDER | § 302.13 | § 302.404(d) |
| COMPLAINTS: | ||
| Airport fees | §§ 302.603-605 | §§ 302.602-603 |
| Contracts for transportation of mail | §§ 302.1505-1507 | § 302.721 |
| Enforcement proceedings | §§ 302.200-204 | §§ 302.403-404 |
| Joinder | § 302.13 | § 302.404(d) |
| Rates, fares, and charges | §§ 302.501-508 | §§ 302.501-507 |
| Suspension of tariffs | §§ 302.505-508 | § 302.506 |
| COMPUTATION OF TIME ( | § 302.16 | § 302.8 |
| CONSOLIDATION OF PROCEEDINGS | § 302.12 | § 302.13 |
| Airport fees | § 302.603(c) | § 302.602(c) |
| Answer to motion for | § 302.12(c) | § 302.13(c) |
| Enforcement proceedings | § 302.210(a) | § 302.410 |
| Filing time | § 302.12(b) | § 302.13(b) |
| Initiation of | § 302.12(a) | § 302.13(a) |
| CONTINUING FITNESS CERTIFICATE CASES | § 302.1701-1713 | § 302.212 |
| CONTRACTS ( | ||
| DECISIONS: | ||
| Final | § 302.36 | §§ 302.38, 220 |
| Initial ( | ||
| Recommended ( | ||
| Tentative | § 302.29 | § 302.33 |
| Exceptions to | § 302.30 | § 302.34 |
| DEFINITIONS | NA | §§ 302.2, 402 |
| DELEGATION OF AUTHORITY | § 302.27 | §§ 302.17(a), 18(a) |
| DEPOSITIONS: | ||
| Application by party for | § 302.20(b) | § 302.26(b) |
| Criteria for order to issue | § 302.20(a) | § 302.26(a) |
| Evidential status | §§ 302.20(h) | § 302.26(h) |
| Objections to questions or evidence | § 302.2(d) | § 302.26(d) |
| Specifications | § 302.20(g) | § 302.26(g) |
| Subscription by witness | § 302.20(e) | § 302.26(e) |
| Written interrogatories | § 302.20(f) | § 302.26(f) |
| DISCRETIONARY REVIEW: | ||
| Initial and Recommended decisions | § 302.28 | § 302.32 |
| Answers in opposition or support | § 302.28(b) | § 302.32(b) |
| Formal requirements | § 302.28(a)(3) | §§ 302.32(a)(3), (4) |
| Grounds for | § 302.28(a)(2) | § 302.32(a)(2) |
| Orders declining review | § 302.28(c) | § 302.32(c) |
| Oral arguments | § 302.28(a)(5) | § 302.32(a)(5) |
| Petitions for | § 302.28(a)(1) | § 302.32(a)(1) |
| Review proceedings | § 302.28(d) | § 302.32(d) |
| DISSOLUTION OF ENFORCEMENT ACTION | § 302.218 | § 302.419 |
| DOCUMENTS: | ||
| Amendments | § 302.5 | § 302.5 |
| Leave of Department | § 302.5 | § 302.5(a) |
| Timing of | § 302.5 | § 302.5(b) |
| Answers ( | ||
| Briefs ( | ||
| Dismissal | § 302.5 | § 302.3(d) |
| Electronic filing | NA | § 302.3(c) |
| Exhibits | §§ 302.24(g) | § 302.24(c) |
| Filing | § 302.3 | § 302.3 |
| Address | § 302.3(a) | § 302.3(a) |
| Date | § 302.3(a) | § 302.3(a) |
| Improper filing | § 302.4e | § 302.3(d) |
| Formal specifications | § 302.3(b) | § 302.3(b) |
| General requirements | § 302.4 | § 302.4 |
| Contents | § 302.4(a) | § 302.4(a)(2) |
| Designation of person to receive service | § 302.4(c) | § 302.4(a) |
| Subscription | § 302.4(b) | § 302.4(b) |
| Memoranda of opposition or support | § 302.6(c) | § 302.706(b)(2) |
| Number of copies | § 302.3(c) | § 302.3(c) |
| Objections to public disclosure | § 302.39(b) | § 302.12 |
| Official Notice of facts | § 302.24(n) | § 302.24(g) |
| Partial relevance of | § 302.24(I) | § 302.24(e) |
| Presented at oral argument | § 302.32(b) | § 302.36(b) |
| Receipt after hearing | § 302.24(k) | § 302.24(h) |
| Responsive | § 302.6 | § 302.6 |
| Retention | § 302.7 | § 302.3(f) |
| Service ( | ||
| Table of contents/Index | § 302.3(d) | § 302.4(a)(3) |
| Unauthorized | § 302.4(f) | § 302.6(c) |
| DOT DECISIONMAKER: | ||
| Briefs to | § 302.31 | § 302.35 |
| Licensing cases | § 302.1755 | § 302.218 |
| Certification of record to | § 302.22(d) | § 302.31(b) |
| Definition | § 302.22a | §§ 302.2, 18 |
| Final decision | § 302.36 | § 302.38 |
| Licensing cases | § 302.1757 | § 302.220 |
| Oral argument | § 302.32 | § 302.36 |
| Licensing cases | § 302.1756 | § 302.219 |
| Petitions for reconsideration | § 302.37 | § 302.14 |
| Review of Administrative Law Judge decision | § 302.38 | § 302.32 |
| Tentative decision | § 302.29 | § 302.33 |
| Exceptions | § 302.30 | § 302.34 |
| ENFORCEMENT PROCEEDINGS: | ||
| Admissions as to facts and documents | § 302.212 | § 302.412 |
| Complaints: | ||
| Formal | § 302.201 | § 302.404 |
| Informal | § 302.200 | § 302.403 |
| Insufficiency of | § 302.203 | § 302.404(c) |
| Consolidation of proceedings | § 302.210a | § 302.410 |
| Evidence of previous violations | § 302.216 | § 302.413 |
| Generally | §§ 302.200-217 | §§ 302.401-420 |
| Hearings | § 302.213 | § 302.415 |
| Modification or dissolution of enforcement action | § 302.218 | § 302.419 |
| Motions to dismiss | § 302.212 | § 302.411 |
| Motions for summary judgment | § 302.212 | § 302.402 |
| Settlement proceedings | § 302.215 | § 302.417 |
| EVIDENCE: | ||
| Exhibits | §§ 302.24(g), (h) | §§ 302.24(c), (d) |
| Generally | § 302.24(c) | § 302.24(a) |
| Objections to | § 302.24(d) | § 302.24(b) |
| Offers of proof | § 302.24(f) | § 302.24(j) |
| Official notice of facts in certain documents | § 302.24(n) | § 302.24(g) |
| Partial relevance of | § 302.24(I) | § 302.24(e) |
| Previous violations | § 302.216 | § 302.413 |
| Records in other proceedings | § 302.24(j) | § 302.24(f) |
| EXAMINERS ( | ||
| EXCEPTIONS: | ||
| Administrative Law Judge's rulings | § 302.24(e) | § 302.24(i) |
| Initial decisions | § 302.30 | § 302.31(c) |
| Licensing cases | § 302.1754 | § 302.217 |
| Recommended decisions | § 302.30 | § 302.31(c) |
| Request for oral argument | § 302.32 | § 302.36 |
| Tentative decisions | § 302.30 | § 302.34 |
| Waiver | § 302.33 | § 302.37 |
| EXEMPTION PROCEEDINGS: | ||
| Application: | ||
| Answers to | § 302.406 | § 302.307 |
| Contents of | § 302.402 | § 302.303 |
| Filing of | § 302.401 | § 302.302 |
| Incomplete | § 302.405 | § 302.306 |
| Posting of | § 302.404 | § 302.305 |
| Service of | § 302.403 | § 302.304 |
| Reply to answer | § 302.407 | § 302.308 |
| Supporting evidence | § 302.402(c) | § 302.302(c) |
| DOT's initiative | § 302.409 | § 302.310 |
| Emergencies | § 302.410 | § 302.311 |
| Cabotage | § 302.402(d) | § 302.303(d) |
| Hearing request | § 302.408 | § 302.309 |
| EXHIBITS ( | ||
| Generally | § 302.24(g) | §§ 302.24(c), (d) |
| FARES ( | ||
| FEE ( | ||
| FINAL MAIL RATE PROCEEDINGS ( | ||
| FINAL ORDERS ( | ||
| FITNESS CASES ( | ||
| FOREIGN AIR CARRIER PERMIT CASES: | ||
| Application: | ||
| Answers to | § 302.1740(c) | § 302.204(a) |
| Contents of | § 302.1704 | § 302.202 |
| Incomplete | § 302.1713 | § 302.209 |
| Replies to answers | § 302.204(b) | |
| Service of | § 302.1705 | § 302.203 |
| Supporting evidence | § 302.1710 | §§ 302.202(a), 205 |
| Verification | § 302.1707 | § 302.206 |
| Non-hearing procedures | § 302.1712(a) | § 302.207 |
| Generally | §§ 302.1701-1713, 1740-1790 | §§ 302.201-220 |
| Oral evidentiary hearing proceedings | § 302.1751-1757 | §§ 302.214-220 |
| Petition for | § 302.1712(b) | § 302.208 |
| HEARINGS: | ||
| Airport fee dispute proceedings | § 302.611(b) | § 302.606(b) |
| Argument before Administrative Law Judge | § 302.25 | § 302.29 |
| Change in rates, fares, or charges | § 302.506 | § 302.706 |
| Consolidated ( | ||
| Documents of partial relevance | § 302.24(i) | § 302.24(e) |
| Enforcement proceedings | § 302.213 | § 302.415 |
| Evidence ( | ||
| Expedition of | § 302.14(a) | § 302.11(e) |
| Generally | § 302.24 | § 302.23 |
| Intervention | § 302.15 | § 302.20 |
| Licensing cases | § 302.1751 | § 302.214 |
| Notice | § 302.24(b) | § 302.23 |
| Offers of proof | § 302.24(f) | § 302.24(j) |
| Official notice of facts in certain documents | § 302.24(n) | § 302.24(g) |
| Participation by non parties | § 302.14(b) | § 302.19 |
| Receipt of documents after hearing | § 302.24(k) | § 302.24(h) |
| Records in other proceedings | § 302.24(j) | § 302.24(f) |
| Request for, on application for exemption | § 302.408 | § 302.309 |
| Shortened procedure | § 302.35 | § 302.15 |
| Transcripts | §§ 302.24(l), (m) | § 302.28 |
| INITIAL DECISION: | ||
| Answer in support or opposition | § 302.28(b) | § 302.32(b) |
| Contents | § 302.27(b) | § 302.31(c) |
| Effect of | § 302.27(c) | § 302.31(d) |
| Licensing cases | § 302.1753 | § 302.216 |
| Exceptions to | § 302.1754 | § 302.217 |
| Oral arguments | § 302.28(a)(5) | § 302.32(a)(5) |
| Orders declining review | § 302.28(c) | § 302.32(c) |
| Petitions for discretionary review | § 302.28 | § 302.32 |
| Service | § 302.27(b) | § 302.31(c) |
| Scope | § 302.27(a) | § 302.31(a)(1) |
| INITIAL FITNESS CERTIFICATE CASES ( | ||
| INSTITUTING ORDERS ( | ||
| INTERROGATORIES ( | ||
| INTERVENTION: | ||
| Generally | § 302.15 | § 302.20 |
| JOINDER OF COMPLAINTS OR COMPLAINANTS | § 302.13 | § 302.404(d) |
| JOINT PLEADINGS: | ||
| Enforcement cases | § 302.13 | § 302.404(d) |
| Licensing cases | § 302.1708 | § 302.204(c) |
| LAW JUDGE ( | ||
| LICENSING CASES ( | ||
| MAIL CONTRACTS: | ||
| Complaint against contract | §§ 302.1505-1507 | §§ 302.721-723 |
| Data supporting contract | § 302.1503 | § 302.719 |
| Explanation of contract | § 302.1503 | § 302.719 |
| Filing of contract | § 302.1502 | § 302.718 |
| Petition for reconsideration | § 302.1508 | § 302.724 |
| Service of contract | § 302.1504 | § 302.720 |
| MAIL RATE CONFERENCES: | ||
| Availability of data to Postal Service | § 302.317 | § 302.714 |
| Conditions upon participation | § 302.314 | § 302.711 |
| Compliance report | § 302.314(d) | § 302.711(d) |
| Non-disclosure of information | § 302.314(a) | § 302.711(a) |
| Signed statement required | § 302.314(b) | § 302.711(b) |
| DOT analysis of data for submission of answers | § 302.316 | § 302.713 |
| Effect of conference agreements | § 302.319 | § 302.716 |
| Information to be requested from carrier | § 302.315 | § 302.712 |
| Participants in conferences | § 302.313 | § 302.710 |
| Post conference procedure | § 302.318 | § 302.715 |
| Scope of conferences | § 302.312 | § 302.709 |
| Time of commencing and terminating conference | § 302.321 | § 302.708(b) |
| Waiver of participant conditions | § 302.320 | § 302.717 |
| MAIL RATE PROCEEDINGS: | ||
| Evidence | § 302.308 | § 302.706(c) |
| Further procedures | § 302.306, 307 | § 302.705 |
| Hearing | § 302.309 | § 302.706 |
| Institution of proceedings | § 302.302 | § 302.702 |
| Objections and answers to show cause order | § 302.305 | § 302.704 |
| Order to show cause | § 302.303 | § 302.703 |
| Parties and persons other than parties | § 302.301, 302 | § 302.706(b) |
| MILEAGE FEES | § 302.21 | § 302.27(c) |
| MODIFICATION OF ENFORCEMENT ACTION | § 302.218 | § 302.419 |
| MOTIONS ( | ||
| Answers to | § 302.18(c) | § 302.11(c) |
| Appeals from rulings of Administrative Law Judges | § 302.18(f) | § 302.11(h) |
| Briefs | § 302.18(d) | § 302.11(d) |
| Consolidation of proceedings | § 302.12 | § 302.13 |
| Enforcement cases | § 302.210a | § 302.410 |
| Continuances and extension of time | § 302.17 | § 302.9 |
| Disposition of | § 302.18(e) | § 302.11(g) |
| Effect of pendency | § 302.18(g) | § 302.11(f) |
| Expedition of case | § 302.14(a) | § 302.11(e) |
| For suspension of operating authority pendente lite | § 302.217 | § 302.418 |
| For modification or dissolution of orders | § 302.218 | § 302.419 |
| Form and contents | § 302.18(b) | § 302.11(b) |
| Generally | § 302.18 | § 302.11(a) |
| Oral arguments | § 302.18(d) | § 302.11(d) |
| Substitution of parties | § 302.10 | § 302.10(b) |
| To correct transcripts | § 302.24(m) | § 302.28(f) |
| To dismiss and for summary judgment | § 302.212 | § 302.411 |
| To dismiss formal complaint | § 302.204 | § 302.405(c) |
| To file unauthorized documents | § 302.4(f) | § 302.6(c) |
| To modify scope in Licensing cases | § 302.1720(c) | § 302.212(b) |
| To quash or modify subpoena | § 302.19(f) | § 302.25(f) |
| To whom motions addressed | § 302.18(a) | § 302.11(a) |
| To withhold information from public disclosure | §§ 302.39(b), (e), (f) | §§ 302.12(d), (e) |
| NON-HEARING PROCEDURES | § 302.35 | § 302.15 |
| Licensing cases | § 302.1712(a) | § 302.207 |
| OBJECTIONS ( | ||
| To Public Disclosure of Information | § 302.39 | § 302.12 |
| OFFERS OF PROOF | § 302.24(f) | § 302.24(j) |
| OFFICIAL NOTICE | § 302.24(n) | § 302.24(g) |
| ORAL ARGUMENTS: | ||
| Before DOT decisionmakers | § 302.32 | § 302.36 |
| Request for leave | § 302.32(a) | § 302.36(a) |
| Rules on documentary evidence | § 302.32(b) | § 302.36(b) |
| Before Administrative Law Judges | § 302.25 | § 302.29 |
| Discretionary review | § 302.28(a)(5) | § 302.32(a)(5) |
| Licensing cases | § 302.1756 | § 302.219 |
| Waivers | § 302.33 | § 302.37 |
| ORAL EVIDENTIARY HEARINGS ( | ||
| ORDERS: | ||
| Declining review of initial decisions | § 302.28(c) | § 302.32(c) |
| Dismissal: | ||
| Airport fee dispute proceedings | §§ 302.611(c), (d) | §§ 302.606(c), (d) |
| Enforcement complaints | § 302.205 | § 302.406 |
| Licensing cases | § 302.1750(a)(2) | § 302.210(a)(3) |
| Establishing further procedures (Licensing cases) | § 302.1750 | § 302.210 |
| Final | § 302.36 | § 302.38 |
| Airport fee dispute proceedings | § 302.621 | § 302.610 |
| Licensing cases | § 302.1750 | § 302.210 |
| Mail contracts | § 302.1507(a) | § 302.723(a) |
| Mail rate proceedings | § 302.306 | § 302.705 |
| Instituting oral evidentiary hearing: | ||
| Airport fee dispute proceedings | § 302.611(b) | § 302.606(b) |
| Licensing cases | § 302.1750(a)(1) | § 302.210(a)(4) |
| Mail rate proceedings | §§ 302.307, 309 | §§ 302.703, 705(b) |
| Instituting investigation of rates, fares, and charges | § 302.504 | § 302.505 |
| Show cause: | ||
| Licensing cases | § 302.1730(d) | § 302.210(a)(1) |
| Mail rate proceedings | § 302.304 | § 302.703 |
| PARTIES: | ||
| Appearances of | § 302.11 | § 302.21(a) |
| Defined | § 302.9 | § 302.2, 10(a) |
| Enforcement proceedings | § 302.210 | § 302.402 |
| Licensing cases | § 302.1709 | § 302.210(a)(4) |
| Mail rate proceedings | § 302.301 | § 302.706(b) |
| Participation by Air Carrier Associations | § 302.10(a) | § 302.10(c) |
| Persons other than parties | § 302.14 | § 302.19 |
| Substitution of | § 302.10 | § 302.10(b) |
| PETITIONS: | ||
| Determination of rates, fares, or charges | § 302.502(a) | § 302.502-503 |
| Discretionary review ( | ||
| Filing Time | § 302.37(a) | § 302.14(a) |
| Institution of mail rate proceedings | § 302.303 | § 302.302 |
| Intervention | § 302.15(c) | § 302.20 |
| Orders subject to reconsideration | § 302.37(a) | § 302.14(a) |
| Repetitive | § 302.37(c) | § 302.14(c) |
| Reconsideration | § 302.37 | § 302.14 |
| Rulemaking | § 302.38 | § 302.16 |
| PREHEARING CONFERENCE | § 302.23 | § 302.22 |
| Actions during | § 302.23(a) | § 302.22(b) |
| Enforcement proceeding | § 302.211 | § 302.414 |
| Purposed § 302.23(a) | § 302.23(a) | § 302.22(a) |
| Report of | § 302.23(b) | § 302.22(c) |
| Scope | § 302.23(a) | § 302.22(a) |
| PROCEEEDINGS: | ||
| Airport fee dispute proceedings | §§ 302.601-621 | §§ 302.601-610 |
| Consolidation of ( | ||
| Contemporaneous consideration ( | ||
| Enforcement | §§ 302.200-217 | § 302.401-420 |
| Exemption | §§ 302.400-410 | § 302.301-311 |
| Licensing cases | §§ 302.1701-1790 | § 302.201-220 |
| Mail rate | §§ 302.300-321 | § 302.701-717 |
| Rates, fares, and charges | §§ 302.500-508 | § 302.501-507 |
| PUBLIC DISCLOSURE OF INFORMATION: | ||
| Documents | § 302.39(b) | § 302.12(b) |
| Generally | § 302.39(a) | § 302.12(a) |
| Objection to by government | § 302.39(d) | § 302.12(f) |
| Oral testimony | § 302.39(c) | § 302.12(c) |
| RATES, FARES, AND CHARGES—PROCEEDINGS ( | ||
| Institution of | § 302.501 | § 302.502 |
| Order of investigation | § 302.504 | § 302.505 |
| Petition | § 302.501 | § 302.503 |
| Contents | § 302.502(a) | § 302.503(a) |
| Dismissed | §§ 302.503 | § 302.504 |
| Service | § 302.502(b) | § 302.503(b) |
| Suspension of tariffs | § 302.505 | § 302.506 |
| Answers | § 302.505 | § 302.506(e) |
| Complaints | § 302.505 | § 302.506 |
| Time for filing complaint | § 302.508 | § 302.507 |
| RECOMMENDED DECISIONS ( | ||
| Answer in support or opposition | § 302.28(b) | § 302.32(b) |
| Contents | § 302.27(b) | § 302.31(c) |
| Effect of | § 302.27(c) | § 302.31(d) |
| Licensing cases | § 302.1753 | § 302.216 |
| Exceptions to | § 302.1754 | § 302.217 |
| Oral arguments | § 302.28(a)(5) | § 302.32(a)(5) |
| Orders declining review | § 302.28(c) | § 302.32(c) |
| Petitions for discretionary review | § 302.28 | § 302.32 |
| Service | § 302.27(b) | § 302.31(c) |
| Scope | § 302.27(a) | § 302.31(a)(2) |
| RECONSIDERATION, REHEARING, REARGUMENT ( | ||
| RECORD, CERTIFICATION | §§ 302.22(d), 27(a), 29(a) | § 302.31(b) |
| REPLIES: | ||
| Airport fee dispute proceedings | § 302.609 | § 302.605 |
| Exemption cases | § 302.407 | § 302.308 |
| Generally | § 302.6(b) | § 302.6(b) |
| Licensing cases | § 302.204(b) | |
| Motions | § 302.18(c) | § 302.11(c) |
| Enforcement proceedings | § 302.209 | § 302.408 |
| RESPONSIVE DOCUMENTS ( | ||
| REVIEW ( | ||
| ROUTE PROCEEDINGS ( | ||
| International route awards | §§ 302.1701-1790 | § 302.201-220 |
| RULEMAKING PETITIONS | § 302.38 | § 302.16 |
| SERVICE: | ||
| Airport fee dispute proceedings | §§ 302.605(c)(1), (d)(1) | §§ 302.603(c)(1), (d)(1) |
| By the Department | § 302.8(a)(1) | § 302.7(a)(1) |
| Date of | § 302.8(f) | § 302.7(f) |
| Enforcement complaints | § 302.204(a) | § 302.404(e) |
| Exemption cases | § 302.403 | § 302.304 |
| Generally | § 302.8 | § 302.7 |
| Licensing cases | § 302.1705 | § 302.203 |
| Mail rate petitions | § 302.303(c) | § 302.702(d) |
| Persons eligible for service | § 302.8(c) | § 302.7(c), (g), (h) |
| Procedures | § 302.8(b) | § 302.7(b) |
| Proof of | § 302.8(e) | § 302.7(e) |
| Rates, fares, and charges complaints | § 302.502(b) | § 302.503(b) |
| Where to be made | § 302.8(d) | § 302.7(d) |
| SETTLEMENT OFFERS: | ||
| Enforcement proceedings | § 302.215 | § 302.417 |
| Public disclosure | § 302.215(d) | § 302.417(d) |
| SHORTENED PROCEDURE | § 302.35 | § 302.15 |
| SHOW CAUSE ORDERS ( | ||
| SUBPOENAS | § 302.19 | § 302.25 |
| SUSPENSION OF PRACTICE BEFORE DOT | § 302.11(a) | § 302.25(f) |
| TARIFFS: | ||
| Complaints requesting suspension | § 302.505 | § 302.506 |
| TEMPORARY RATE PROCEEDINGS | § 302.310 | § 302.707 |
| TENTATIVE DECISIONS ( | ||
| TESTIMONY ( | ||
| TIME: | ||
| Computation of | § 302.16 | § 302.8 |
| Continuances of | § 302.17 | § 302.9 |
| Extensions of | § 302.17 | § 302.9 |
| Licensing cases | §§ 302.1706, 1711 | § 302.209 |
| TRANSCRIPTS OF HEARINGS | § 302.24(l) | § 302.28 |
| U.S. AIR CARRIER CERTIFICATION ( | ||
| VERIFICATION: | ||
| Licensing cases | § 302.1707 | § 302.206 |
| WAIVERS OF PROCEDURAL STEPS | § 302.33 | § 302.37 |
| WITNESSES: | ||
| Attendance fees and mileage | § 302.21 | § 302.27(c) |
| Cross-examination by nonparties | § 302.14(b) | § 302.19 |
| Depositions | § 302.20 | § 302.26 |
| Objections to public disclosure of testimony | § 302.39(c) | § 302.12(c) |
| Represented by counsel | § 302.11(a) | § 302.27(a) |
| Subpoenas | § 302.19 | § 302.25 |
| VIOLATIONS—EVIDENTIAL STATUS IN ENFORCEMENT PROCEEDINGS | § 302.216 | § 302.413 |
This part sets forth the procedures by which applications may be made to the Department of Transportation under 49 U.S.C. 41308 and 41309 and procedures governing proceedings to enforce these provisions. These procedures supplement the rules described in part 302 of this chapter, which also apply to the review of air carrier agreements.
(a) The term Assistant Secretary means the Assistant Secretary for Aviation and International Affairs, or as delegated. As provided in 49 CFR 1.21, the Secretary or Deputy Secretary may exercise any authority in lieu of the Assistant Secretary under the provisions of this part.
(b) The term documents means:
(1) All written, recorded, transcribed or graphic matter including letters, telegrams, memoranda, reports, studies, forecasts, lists, directives, tabulations, logs, or minutes and records of meetings, conferences, telephone or other conversations or communications; and
(2) All information contained in data processing equipment or materials. The term does not include daily or weekly statistical reports in whose place an annual or monthly summary is submitted.
(c) The term hearing means either a show-cause proceeding as provided in § 303.44 or a full evidentiary hearing as provided in § 303.45, whichever is determined by the Assistant Secretary to be appropriate.
(d)-(g) [Reserved]
(h) The term Section 41309 transaction means any contract, agreement or discussion of a cooperative working arrangement within the scope of 49 U.S.C. 41309.
(i) [Reserved]
A person who seeks approval of a section 41309 transaction must file the application with the Docket Operations Office, M-30, U.S. Department of Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590, or by electronic submission at http://www.regulations.gov. The application must conform to the requirements set forth in §§ 303.04 and 303.05.
(a) Unless specifically exempted by this part or by an order of the Assistant Secretary, a person filing an application pursuant to § 303.03 of this part shall prepare and file the application in the manner specified in this section. The application shall also contain the information required by subpart D of this part. An application may be deemed incomplete if it is not in substantial compliance with these requirements.
(b) The parties to the transaction may file either separate applications or one joint application so long as all the information required herein is submitted for each party to the transaction. The Assistant Secretary or Administrative Law Judge, if the matter has been assigned to a judge, upon his or her initiative or upon application, may order the target company or other persons to submit some or all of the information required by this subpart, or other information under 14 CFR 302.25.
(c) Each page of the application and each document submitted with the application shall be marked with the name, initials, or some other identifying symbol of the applicant. The application shall also indicate the date of preparation and the name and corporate position of the preparer.
(d) Where the required information is in data processing equipment, on microfilm, or is otherwise not eye-readable, the applicant shall provide such information in eye-readable form.
(e) The information provided by the applicant shall be updated in a timely fashion throughout the period of consideration of the application.
(f) If any information or documents required by the applicable subpart are not available, the applicants shall file an affidavit executed by the individual responsible for the search explaining why they cannot be produced.
(g) The Assistant Secretary or the Administrative Law Judge may order any applicant to submit information in addition to that required by the applicable subpart.
(h) An applicant may withhold a document required by this part on the grounds that it is privileged, but each document so withheld shall be identified and the applicant shall supply a brief description of the nature of the document, a written statement indicating the basis of the privilege claimed, and the names of the preparers and recipients of the document. If any interested party contests the assertion of privilege, the document shall be promptly submitted to the Assistant Secretary, or the Administrative Law Judge, if the matter has been assigned to a Judge. Where appropriate, an in camera inspection may be ordered.
(i) The person submitting the application to the Department shall send a complete copy of the application to the Chief, Transportation Section, Antitrust Division of the Department of Justice, at the same time as it is filed with the Docket Operations Office.
(j) The applicant shall, if requested, be responsible for expeditiously providing the application to any interested person, whether or not a party.
(k) Unless otherwise specified in this subpart, all applications shall conform generally to the requirements set forth in 14 CFR part 302, subpart A.
(l) In exceptional circumstances, the Assistant Secretary may waive or alter the procedural requirements of this part to permit a transaction to proceed on an expedited basis.
(a) Each application must state explicitly whether or not the applicant seeks antitrust immunity under the provisions of 49 U.S.C. 41308. If antitrust immunity is requested, the application should specify whether the applicant seeks full immunity or immunity only from the provisions of sections 4, 4a and 4c of the Clayton Act, 15 U.S.C. 15, 15a, 15c. Each application seeking antitrust immunity shall contain a statement explaining why the applicant believes immunity is in the public interest and necessary in order for the transaction to proceed.
(b) [Reserved]
(c) Any material misrepresentation of fact in such an application shall be grounds for rescission nunc pro tunc of any antitrust immunity granted as a result of the misrepresentation.
(d) A request for renewal of any immunity granted does not operate under section 558 of Administrative Procedure Act, 5 U.S.C. 558(c), to extend the period of immunity conferred.
The Assistant Secretary may initiate a proceeding to review any antitrust immunity previously conferred by the Department's predecessor or the Department in any section 41309 transaction. The Assistant Secretary may terminate or modify such immunity if the Assistant Secretary finds after notice and hearing that the previously conferred immunity is not consistent with the provisions of section 41308. In any proceeding to review such immunity, the proponents of the immunity shall have the burden of justifying the continuation of previously conferred immunity under the provisions of section 41308.
If a section 41309 application or a request for antitrust immunity under section 41308 is pending on May 16, 2019, such application or request shall be deemed made pursuant to the provisions of this part as amended May 16, 2019.
A section 41309 application shall contain the following general information:
(a) The name, mailing address and primary line of business of each party to the contract, agreement or request for authority to discuss a possible cooperative working arrangement.
(b) If the contract or agreement for which approval is sought is not evidenced by a resolution of an air carrier association, the application shall contain a copy of the contract or agreement that is certified to be true and complete by each party to the contract of agreement. If the contract or agreement is set forth in an exchange of correspondence, copies of all such correspondence must be submitted and must be certified as true and complete by all parties to the contract or agreement. If the contract or agreement is oral, a memorandum fully describing the agreement must be submitted and must be certified as true and complete by all parties to the contract or agreement. If approval is sought for a request for authority to discuss a possible cooperative working arrangement, the application shall contain a complete description of the possible cooperative working arrangement and all matters to be discussed. The description shall be certified to be true and complete by each party to the proposed discussion.
(c) If the contract, agreement or request for authority to discuss a cooperative working arrangement is evidenced by a resolution or other action of an air carrier association, the application shall contain the resolution or other action and a certification by an authorized employee of the association that the resolution or other action was duly adopted on a certain date. The authorized employee shall also specify in such certification the name of each air carrier that concurred in such resolution or other action and the name of each air carrier member that did not concur.
A section 41309 application shall explain the nature and purpose of the contract, agreement or request to discuss a cooperative working arrangement and describe how it changes any price, rule, or practice existing under a previously approved application. The application also, consistent with Department of Transportation and the precedent of DOT's predecessor, shall contain factual material, documentation, and argument in support of the application. Economic analyses, when required, shall include full explanatory details, including data sources and allocation methods. If the applicants intend to rely upon market data sources, other than those available to the public by the Department, the complete market data shall be included with the application at the time of filing. If the applicants intend to rely on public benefits to justify approval, they shall describe these benefits, including foreign policy and comity considerations.
(a) Except as provided in paragraph (b) of this section, a section 41309 application described in § 303.30(c) of this subpart and any related pleadings shall be served on any person or organization that has previously advised the air carrier association of its desire for service of such agreements. Each application shall contain the names and addresses of all persons served and a notice that any party in interest may within 21 days of the date of the application file comments with the Assistant Secretary in support or opposition to the application.
(b) Service of IATA Traffic Conference agreements and amendments thereto upon any person or organization that previously has advised IATA of its desire for service of agreements may be accomplished by sending a summary notice specifying the filing date; the IATA memorandum number; the particular Conferences involved; the subject matter (e.g., cargo/passenger, tariffs/agency matters/ procedures); the proposed effective date(s); the markets or Conference areas affected; the names of the carriers participating in the agreement; the names of all persons served; and a notice that any party in interest may within 21 days of the date of filing of the application file comments with the Assistant Secretary in support of or opposition to the application. A request for a complete copy of the application can be made under the provisions of § 303.04(j).
This subpart also applies to all modifications or cancellations of contracts or agreements or requests for authority to discuss a possible cooperative working arrangement.
(a) Within 10 days after an application is filed pursuant to § 303.03, the Assistant Secretary will determine whether the application complies with the requirements of §§ 303.04 and 303.05.
(b) If the Assistant Secretary determines that the application is incomplete, he or she may issue a notice dismissing the application without prejudice. If the application is dismissed, and statutory time period for completion of proceedings will not begin to run until a completed application is filed.
(a) The Documentary Service Division shall compile a weekly list of all applications filed under §§ 303.04 and 303.05. The list shall include a description of the application, the docket number, date of filing, state that it may be reviewed in the Documentary Services Division, and indicate that interested parties may comment on the application or request a hearing within 21 days of the date of filling or other period as specified. The weekly list will normally be prepared on the following Monday, or as soon as possible, and will be posted on a public bulletin board in the Documentary Services Division. The list also shall be submitted for publication in the
(b) In appropriate case, particularly when an application concerns a matter of broad public significance, the Assistant Secretary may cause a notice of an application and request for public comment to be published separately in the
(a) Unless a different comment period is specified by notice or order, or in a notice of filing published in the
(b) Comments supporting or opposing an application or proposing conditions and responses thereto shall state with particularity the factual basis on which the person commenting relies, and provide affidavits or other material in support of the factual basis, if appropriate.
(c) Requests for a formal oral evidentiary hearing must set out with specificity the material issues of fact in dispute that cannot be resolved without such a hearing. Vague, unsupported allegations will not suffice.
(a) [Reserved]
(b) Section 41309 applications. After the period for which comments, requests for a hearing or responses to an order to show cause are due concerning a section 41309 application, the Assistant Secretary may proceed by order requesting further information or justification or by order of approval or disapproval or, in appropriate cases, may proceed by order to show cause or by order instituting a full evidentiary hearing.
(c) Notice to the public of any full evidentiary hearing or order to show cause concerning an application shall be made by publication in the
If the Assistant Secretary determines that an application, or review of a previously granted application, will be considered in a show cause proceeding, a tentative decision shall be issued inviting interested persons to show cause why the tentative decision should not be made final. Interested persons may respond to the order within the time specified in the order. Replies to such responses shall be permitted within the time specified in the order. Persons wishing to introduce additional facts into the record should incorporate such information in their responses or replies by affidavit. In the case of applications, show cause orders may be issued after the receipt of initial comments on the application.
(a) If the Assistant Secretary determines that an application, or review of a previous granted application, should be the subject of a full evidentiary hearing, he or she shall issue an order so stating. The term “full evidentiary hearing” includes any hybrid format set out in the instituting order. This order shall set forth the issues that are to be considered in such hearing.
(b) After the issuance of an order for a full evidentiary hearing, the Chief Administrative Law Judge shall promptly appoint an Administrative Law Judge to conduct such hearing in accordance with section 7 of the Administrative Procedure Act, 5 U.S.C. 556, and the Rules of Practice in part 302 of this chapter.
(c) The applicants and the Assistant General Counsel for Aviation Enforcement and Proceedings shall be parties in any full evidentiary hearing held under this part. The Assistant Attorney General, Antitrust, shall be a party upon notice filed with the Administrative Law Judge. Other persons may intervene as parties as provided by § 302.20 of this chapter.
(d) Within the time specified in the order instituting the full evidentiary hearing, the Administrative Law Judge shall recommend to the Assistant Secretary that the application be approved or denied or that the previously granted exemption approval or immunity should be terminated or continued in accordance with the standards of the Act. The recommendation shall be in writing, shall be based solely on the hearing record, and shall include a statement of the Administrative Law Judge's findings and conclusions, and the reasons or basis therefore, or all material issues of fact, law or discretion presented on the record. Copies of the recommendation shall be served on each party.
(e) Within 10 days after the date the Administrative Law Judge serves his or her recommendation, any party may file written exceptions to the recommendation for consideration by the Assistant Secretary. Within 21 days after the service date of the judge's recommendation, any party may file a brief in support of or in opposition to any exceptions. This period may be altered by order of the Assistant Secretary, who may also authorize the filing of reply briefs.
The Assistant Secretary shall decide, on the basis of the record and in accordance with the procedures prescribed in part 302 of this chapter, whether to grant or deny, in whole or in part, the application. A copy of the Assistant Secretary's final decision shall be served on all parties.
The provisions of this part shall govern informal nonpublic investigations, as distinguished from formal investigations and adjudicatory proceedings, undertaken by the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings with a view to obtaining information from any person. While the Department seeks and encourages voluntary cooperation and believes that it is in the best interest of all parties concerned, it will utilize the procedures provided by this part to compel the disclosure of information by any person where DOT wishes to determine whether such person, or any other person, has been or is violating any provisions of 49 U.S.C. Subtitle VII, Chapter 411 or 49 U.S.C. 40102(2), 41502, 41507, 41508, 41509, 41702, 41703, or 46101, or any rule, regulation, order, certificate, permit, or letter or registration issued pursuant thereto by DOT and when the information appears to be relevant to the matter under investigation. This part shall not apply to employees or records of other agencies of the U.S. Government, the District of Columbia, or the several States and their political subdivisions.
For the purpose of, and as used in this part, the term investigation means a non-adjudicatory, informal nonpublic investigation for the purpose of determining whether formal enforcement action should be instituted with respect to alleged violations of law.
An investigation may be initiated by order of the Department. Attorneys of the Office of the Assistant General Counsel for Aviation Enforcement and Proceedings shall conduct such investigations pursuant to the provisions of this part and they shall be designated Investigation Attorneys. Investigation Attorneys, administrative law judges and the DOT decisionmaker are hereby authorized to exercise and perform their duties and functions under this part in accordance with the provisions of the Act and the rules and regulations of the Department.
Witnesses may be required to appear before any administrative law judge for the purpose of receiving their testimony or receiving from them documents or other data relating to any subject under investigation. Such testimony shall be mechanically or stenographically recorded, and a transcript thereof shall be made and incorporated in the record of the investigation.
(a) The General Counsel, the DOT decisionmaker, the chief administrative law judge or the administrative law judge designated to preside at the reception of evidence, may issue a subpena directing the person named therein to appear before a designated administrative law judge at a designated time and place to testify or to produce documentary evidence relating to any matter under investigation, or both. Each such subpena shall briefly advise the person required to testify or submit documentary evidence of the purpose and scope of the investigation, and a copy of the order initiating the investigation shall be attached to the subpena.
(b) Witnesses subpoenaed to appear shall be paid the fees and mileage prescribed in § 302.27(c) of the Rules of Practice (14 CFR 302.27(c)). Service of such subpoenas shall be made in accordance with the provisions of § 302.7 of the Rules of Practice (14 CFR 302.7).
Any person required to testify or to submit documentary evidence shall be entitled to procure, on payment of lawfully prescribed costs, a copy of any document produced by such person and of his or her own testimony as stenographically reported. Any person compelled to testify or to produce documentary evidence may be accompanied, represented, and advised by counsel.
Investigations shall be attended only by the witnesses and their counsel, the administrative law judge, the Investigation Attorney, other DOT personnel concerned with the conduct of the proceeding and the official stenographer. All orders initiating investigations, motions to quash or modify investigation subpenas, orders disposing of such motions, documents, and transcripts of testimony shall be part of the record in the investigation. Unless DOT determines otherwise, all orders initiating investigations which do not disclose the identity of the particular persons of firms under investigation shall be published in the
Upon completion of the investigation, where the General Counsel, determines that no corrective action is warranted, the investigation will be closed. Where remedial action is indicated by the investigation, the General Counsel will proceed pursuant to subpart D of part 302 of this chapter (the Rules of Practice) or will take such other action as may be appropriate.
Any person upon whom an investigation subpena is served may, within seven (7) days after such service or at any time prior to the return date thereof, whichever is earlier, file a motion to quash or modify such subpena with the administrative law judge who issued such subpena, or in the event the administrative law judge is not available, with the chief administrative law judge for action by himself or herself or by the DOT decisionmaker. Such motions shall be made in writing in conformity with Rules 3 and 4 of the Rules of Practice (part 302 of this subchapter); shall state with particularity the grounds therefor and the relief sought; shall be accompanied by the evidence relied upon and all such factual matter shall be verified in accordance with the provisions of Rule 4(b) of the aforesaid Rules of Practice. Written memoranda or briefs may be filed with the motions, stating the points and authorities relied upon. No oral argument will be heard on such motions unless the chief administrative law judge, the administrative law judge or the DOT decisionmaker directs otherwise. A subpena will be quashed or modified if the evidence whose production is required is not reasonably relevant to the matter under investigation, or the demand made does not describe with sufficient particularity the information sought, or the subpena is unlawful or unduly burdensome. The filing of a motion to quash or modify an investigation subpena shall stay the return date of such subpena until such motion is granted or denied. The DOT decisionmaker may at any time review, upon his or her own initiative, the ruling of an administrative law judge or the chief administrative law judge denying a motion to quash a subpena. In such cases, the DOT decisionmaker may order that the return date of a subpena which he or she has elected to review be stayed pending DOT action thereon.
(a) Chapter 77 (Energy Conservation) of Title 42 (The Public Health and Welfare), authorizes and directs certain actions to conserve energy supplies through energy conservation programs and where necessary, the regulation of certain energy uses, and to provide for improved energy efficiency of motor vehicles, major appliances, and certain other consumer products. In furtherance of these purposes, 42 U.S.C. 6362 requires several transportation regulatory agencies, including DOT, to submit a number of reports to the Congress with respect to energy conservation and efficiency, and where practicable and consistent with the exercise of DOT's authority under other law, to include in any major regulatory action a statement of its probable impact on energy efficiency and energy conservation. 42 U.S.C. 6362(b) directs DOT to define the term “major regulatory action” by rule.
(b) Section 40113 of Subtitle VII of Title 49 of the United States Code (Transportation)(“the Statute”), authorizes DOT to establish such rules, regulations, and procedures as are necessary to the exercise of its functions and are consistent with the purposes of 49 U.S.C. Subtitle VII.
(c) The purpose of these regulations is to establish procedures and guidelines for the implementation of DOT's responsibility under 42 U.S.C. 6362 to include in any major regulatory action taken by DOT a statement of the probable impact on energy efficiency and energy conservation.
(d) These regulations apply to all proceedings before DOT, as provided herein.
(a) General. It is the policy of DOT to view the conservation of energy and the energy efficiency improvement goals of Chapter 77 of Title 42 as part of DOT's overall mandate, to be considered along with the several public interest and public convenience and necessity factors enumerated in section 40101 of 49 U.S.C. Subtitle VII. To the extent practicable and consistent with DOT's authority under the Statute and other law, energy conservation and efficiency are to be weighed in the decisionmaking process just as are DOT's traditional policies and missions.
(b) Implementation. Implementation of this policy is through the integration of energy findings and conclusions into decisions, opinions, or orders in proceedings involving a major regulatory action, as defined in this part.
(c) Proceedings in progress. The provisions of this part are intended primarily for prospective application. Proceedings in progress on the effective date of this part, in which an application has been docketed but no final decision made public, shall adhere to § 313.6(a) of this part, provided that the fair, efficient, and timely administration of DOT's regulatory activities is not compromised thereby. Nothing herein shall imply a requirement for new or additional hearings, a reopening of the record, or any other procedures which would tend to delay a timely decision in proceedings in progress.
(d) Hearings. Public hearings will not normally be held for the purpose of implementing 42 U.S.C. 6362, particularly in connection with proposed actions which do not require notice and hearing as a prerequisite to decision under the Statute. Hearings may be ordered in exceptional circumstances where the proposed action is of great magnitude or widespread public interest and, in addition, presents complex issues peculiarly subject to resolution through evidentiary hearings and the process of cross-examination.
As used in this part:
(a) Energy efficiency means the ratio of the useful output of services in air transportation to the energy consumption of such services.
(b) Energy statement is a statement of the probable impact of a major regulatory action on energy efficiency and energy conservation, contained in a decision, opinion, order, or rule.
(c) Major regulatory action is any decision by the DOT decisionmaker or administrative law judge requiring an energy statement pursuant to § 313.4 of this part.
(d) NEPA means the National Environmental Policy Act of 1969.
(a) Any initial, recommended, tentative or final decision, opinion, order, or final rule is a major regulatory action requiring an energy statement, if it:
(1) May cause a near-term net annual change in aircraft fuel consumption of 10 million (10,000,000) gallons or more, compared to the probable consumption of fuel were the action not to be taken; or
(2) Is specifically so designated by DOT because of its precedential value, substantial controversy with respect to energy conservation and efficiency, or other unusual circumstances.
(b) Notwithstanding paragraph (a)(1) of this section, the following types of actions shall not be deemed as major regulatory actions requiring an energy statement:
(1) Tariff suspension orders under section 41509 of 49 U.S.C. Subtitle VII, emergency exemptions or temporary exemptions not exceeding 24 months under section 40109 of 49 U.S.C. Subtitle VII and other proceedings in which timely action is of the essence;
(2) Orders instituting or declining to institute investigations or rulemaking, setting or declining to set applications for hearing, on reconsideration, or on requests for stay;
(3) Other procedural or interlocutory orders;
(4) Actions taken under delegated authority; and
(5) Issuance of a certificate where no determination of public convenience and necessity is required.
(c) Notwithstanding paragraph (a)(1) of this section, DOT may provide that an energy statement shall not be prepared in a proceeding which may result in a major regulatory action, if it finds that:
(1) The inclusion of an energy statement is not consistent with the exercise of DOT's authority under the Statute or other law;
(2) The inclusion of an energy statement is not practicable because of time constraints, lack of information, or other unusual circumstances; or
(3) The action is taken under laws designed to protect the public health or safety.
(a) It shall be the responsibility of applicants and other parties or participants to a proceeding which may involve a major regulatory action to submit sufficient information about the energy consumption and energy efficiency consequences of their proposals or positions in the proceeding to enable the administrative law judge or the DOT decisionmaker, as the case may be, to determine whether the proceeding will in fact involve a major regulatory action for purposes of this part, and if so, to consider the relevant energy factors in the decision and prepare the energy statement.
(b) In proceedings involving evidentiary hearings, the energy information shall be submitted at such hearings pursuant to DOT's usual procedural regulations and practices, under control of the administrative law judge or other hearing officer.
(c) In proceedings not involving evidentiary hearings, the energy information shall be submitted at such time as other materials in justification of an application are submitted. Where an application itself is intended as justification for DOT action, the energy information shall be submitted with the application. In rulemakings not involving hearings, the energy information shall normally be submitted along with comments on the notice of proposed rulemaking, or as directed in any such notice or any advance notice.
(a) Each major regulatory action shall include, to the extent practicable, consideration of the probable impact of the action taken or to be taken upon energy efficiency and conservation. The administrative law judge or the DOT decisionmaker, as the case may be, shall normally make findings and conclusions about:
(1) The net change in energy consumption;
(2) The net change in energy efficiency; and
(3) The balance struck between energy factors and other public interest and public convenience and necessity factors in the decision.
(b) Energy findings and conclusions contained in any initial or recommended decision are a part of that decision and thus subject to discretionary review by DOT.
(c) In the case of orders to show cause initiated by DOT, energy findings and conclusions may be omitted if adequate information is not available. In such instances, the energy statement shall be integrated into the final decision.
(a) In proceedings in which an environmental impact statement or a finding of no significant impact is prepared by a responsible official pursuant to DOT's procedures implementing the National Environmental Policy Act of 1969 (NEPA), the energy information called for by this part may be included in that statement or declaration in order to yield a single, comprehensive document. In such instances, the DOT's NEPA procedures shall govern the submission of the energy information. However, it shall remain the responsibility of the administrative law judge or the DOT decisionmaker, as the case may be, to make the findings and conclusions required by § 313.6(a) of this part.
(b) A determination that a major regulatory action within the meaning of 42 U.S.C. 6362 and this part may be involved in a proceeding is independent from any determination that the proceeding is a “major Federal action significantly affecting the quality of the human environment” within the meaning of NEPA, and vice versa.
This part applies to certificated air carriers who terminate or suspend service to a point, or in a market, and to all air carriers who terminate, suspend, or reduce service below the level of essential air service under 49 U.S.C. 41731-41742.
As used in this part:
Certificated carrier means a direct air carrier holding authority to provide air transportation granted by the Department in the form of a certificate of public convenience and necessity under 49 U.S.C. 41102 (Transportation) or an all-cargo air transportation certificate to perform all-cargo air transportation under 49 U.S.C. 41103.
Eligible place means a place in the United States that meets the specified criteria outlined in 49 U.S.C. Chapter 417.
Essential air service is that air transportation which the Department has found to be essential under Subchapter II of Chapter 417 of 49 U.S.C. Subtitle VII.
FAA-designated hub means any airport serving a small, medium, or large air traffic hub listed in the Department of Transportation publication, Airport Activity Statistics of Certificated Route Carriers.
United States includes the several States, the District of Columbia, and the several territories and possessions of the United States. State includes any of the individual entities comprising the United States.
(a) Terminations, suspensions, or reductions by certificated carriers. The notice described in § 323.4(a) shall be filed by any certificated carrier that intends to:
(1) Terminate or suspend all passenger air transportation that it is providing to any eligible place in the United States when that termination or suspension will leave no certificated carriers serving that place. Service shall be considered to be terminated or suspended whenever it is operated less than 5 days per week, with three or more intermediate stops, or in one direction only between the two places;
(2) Reduce passenger air transportation so that any eligible place receives less than the level of essential air service determined by DOT;
(3) Terminate or suspend all passenger air transportation that it is providing to any eligible place in the United States for which DOT has not issued an essential air service determination under either § 325.5 or § 325.7 of this chapter, when that termination or suspension will leave only one certificated carrier serving that place. Service shall be considered to be terminated or suspended whenever it is operated less than 5 days per week, with three or more intermediate stops, or in one direction only between the two places;
(4) Reduce passenger air transportation to any eligible place in Alaska for which DOT has not determined the level of essential air service so that the service between that place and every other place served by a certificated carrier is either:
(i) Less than two round trip flights per week, or
(ii) Less than the average weekly number of round trip flights actually provided during calendar year 1976, or
(iii) Less than the number of flights specified under an agreement between DOT and the State of Alaska; or
(5) Terminate, suspend, or reduce passenger air transportation at an eligible place for which DOT has issued, or is required to issue, an essential air service determination under section 41731 or section 41733 of 49 U.S.C. Subtitle VII so that the total available seats of all the carriers linking that place to FAA-designated hubs will be reduced by 33 percent or more during a 90-day period. Service to a hub shall be considered to be terminated or suspended whenever it is operated less than 5 days per week, with three or more intermediate stops, or in one direction only between two places.
(b) [Reserved]
(c) Uncertificated carriers. The notice described in § 323.4(a) shall be filed by any uncertificated carrier that intends to terminate, suspend, or reduce:
(1) Air transportation so that any eligible place receives less than the level of essential air service determined by the DOT;
(2) Passenger air transportation to any eligible place for which DOT has not determined the level of essential air service, other than a place in Alaska, so that there is no FAA-designated hub from which the place receives at least two round trip flights per day, 5 days per week; or
(3) Passenger air transportation to any eligible place in Alaska, for which DOT has not determined the level of essential air service, so that the service between that place and every other place served by a certificated carrier is either:
(i) Less than two round trip flights per week, or
(ii) Less than the average number of weekly round trip flights actually provided during calendar year 1976, or
(iii) Less than the number of flights specified under an agreement between DOT and the State of Alaska.
(d) For the purpose of this section, in ascertaining the level of air transportation being provided to a place or between two places, air transportation that has been the subject of a notice filed under this section shall be considered not in operation for the duration of the notice period.
(e) If a certificated carrier was, before October 24, 1978, granted authority to suspend air transportation, and that authority ends on a stated date, the carrier shall comply with the requirements of this part before continuing the suspension beyond that date.
(f) If a certificated carrier was, before October 24, 1978, granted authority to terminate or suspend air transportation, but has not suspended service, the carrier shall comply with the requirements of this part before terminating or suspending service.
(a) The notice required under § 323.3 (a) and (c) shall contain:
(1) Identification of the carrier, including address and telephone number.
(2) Statement whether the carrier is a certificated carrier or an uncertificated carrier.
(3) Names of all other air carriers serving the point at the time of filing.
(4) Description of the service to be terminated, suspended, or reduced, including:
(i) Arrival and departure times at the affected points of the flights to be discontinued,
(ii) Aircraft type used,
(iii) Routes of the flights to be discontinued, and a statement of which routes, if any, will be left without nonstop or single-plane service from a certificated carrier by the intended change, and
(iv) Date of intended termination, suspension, or reduction of service.
(5) A statement whether DOT has determined the level of essential air service for the point, and
(i) If such a determination has been made, a statement whether the intended termination, suspension, or reduction will reduce air transportation to the place below the essential level; or
(ii) If such a determination has not been made, and the place is an eligible place, a statement whether the intended termination, suspension, or reduction reasonably appears to deprive the place of essential air service, and an explanation.
(6) If the place is an eligible place, the calendar date when objections are due under § 323.10.
(7) Proof of service upon all persons specified in § 323.7(a). The proof of service shall include the names of all carriers served and the names and addresses of all other persons served.
(b) [Reserved]
(c) DOT may require any carrier filing notice to supply additional information.
(a) Except as specified by paragraph (b) of this section, a notice required by § 323.3 shall be filed at least:
(1) 90 days before the intended termination, suspension, or reduction, if it is filed by a certificated carrier or by an uncertificated carrier receiving compensation under 49 U.S.C. 41731-41742 for service to the place;
(2) 30 days before the intended termination, suspension, or reduction, if it is filed by an uncertificated carrier not receiving compensation under section 419 of the Act for service to the place.
(b) The notice required by § 323.3(a)(3) shall be filed at least 30 days, and the notice required by § 323.3(a)(1) shall be filed at least 60 days, before the intended termination or suspension.
(a) Each notice filed under this part shall, unless otherwise specified, conform to the procedural rules of general applicability in subpart A of part 302 of this chapter.
(b) Each notice filed under this part shall be titled to indicate the place(s) involved, and to indicate whether it is a 30-, 60-, or 90-day notice and whether it involves a termination, a suspension, or a reduction of air transportation.
(a) A copy of each notice required by § 323.3 shall be served upon:
(1) The chief executive of the principal city or other unit of local government at the affected place. The principal city is the one named, or previously named, in the section 41102 certificate by virtue of which the place qualifies as an eligible place. For places in Alaska or Hawaii that are designated as eligible places without having been listed on a section 41102 certificate, the principal city is the most populous municipality at the place.
(2) [Reserved]
(3) The State agency with jurisdiction over transportation by air in the State containing any community required to be served under paragraph (a)(1) of this section. If there is no such State agency, the notice shall be sent to the governor of that State.
(4) The manager of, or other individual with direct supervision over and responsibility for, the airport at any community required to be served under paragraph (a)(1) of this section.
(5) The Postmaster General (marked for the attention of the Assistant General Counsel, Transportation), if the carrier filing the notice is authorized to transport United States mail to or from any community required to be served under paragraph (a)(1) of this section.
(6) Each air carrier providing scheduled service to a non-hub or FAA-designated small hub that is directly affected by the notice.
(7) The DOT Regional Office for the region in which the affected point is located.
(8) Any other person designated by DOT.
(b) [Reserved]
(c) Local communities, State agencies, and airport managers shall be served personally or by registered or certificated mail. All other persons may be served by ordinary mail.
Carriers are exempted from paragraphs (a)(1), (a)(3), and (a)(5) of § 323.3 to the extent that those provisions require them to file a notice when terminating or suspending the domestic leg of an international flight (fill-up service).
(a) Any person may file an objection requesting DOT to prohibit any termination, suspension, or reduction of air transportation to an eligible place that is the subject of a notice filed under this part.
(b) Objections shall contain:
(1) Identification of the objector, including address and telephone number.
(2) A statement of DOT action requested.
(3) The schedules, routes, carriers, and aircraft types for all air transportation to the affected place other than that proposed to be terminated, suspended, or reduced.
(4) A suggested reasonable level of essential air service to the affected place.
(5) [Reserved]
(6) A justification of the suggested level of essential air service.
(7) Proof of service on the carrier filing the notice objected to, on all airport managers and State and local governments on whom the notice was filed, and any other person designated by DOT. The proof of service shall include the names of all carriers served and the names and addresses of all other persons served.
(c) Objectors are strongly urged to include in their objections facts to support the suggested level of essential air service (e.g., traffic and enplanement data, other market studies, facts descriptive of the place's isolation or dependence on air transportation).
(a) Objections shall be filed not later than:
(1) 12 days from the date of filing of a 30-day notice;
(2) 15 days from the date of filing of a 60-day notice; or
(3) 20 days from the date of filing of a 90-day notice.
(b) The Department may accept late-filed objections, upon motion, for good cause shown.
(c) Whenever a notice has been filed earlier than required under § 323.5, the Department may extend the time for filing an objection to that notice.
(a) Any person may file an answer to an objection filed under this part.
(b) An answer must be filed not later than 7 business days after the filing of the objection to which it responds. Late-filed answers may be allowed, and extensions of filing time granted, by the Department for the same reasons as for objections.
(c) An answer may contain the same type of facts and discussion permitted for objections under this part, and must contain:
(1) Proof of service on the objector, on all persons on whom the objection was required to be served, and on any other person designated by the Department. The proof of service shall include the names and addresses of all persons served.
(2) Identification of the answering party, including address and telephone number.
(a) Each objection and answer filed under this part shall, unless otherwise specified, conform to the procedural rules of general applicability in subpart A of part 302 of this chapter.
(b) Each objection shall be titled “Objection to Termination, Suspension, or Reduction of Air Service,” and shall identify the notice to which it responds. Each answer shall be titled “Answer to Objection to Termination, Suspension, or Reduction of Air Service,” and shall identify the objection to which it responds.
(a) If an objection has been filed under this part, DOT will dispose of the objection by order.
(b) If no objection has been filed within the time allowed by § 323.10(a), DOT may:
(1) By order prohibit a termination, suspension, or reduction that reasonably appears to deprive any eligible place of essential air transportation;
(2) Issue a notice or a final order that it will take no action on a notice filed under § 323.3; or
(3) Take no action.
(a) Any air carrier may temporarily suspend service without filing a notice under § 323.3 for any interruption of service that the carrier cannot reasonably be expected to foresee or control, such as rules, standards, or other action, or inaction, of the Administrator of the Federal Aviation Administration or of a foreign government, emergency measures, strikes, weather conditions, construction work on airports, or disasters. However, the provisions of this paragraph shall apply to interruptions due to airport inadequacies only if the carrier is unable to serve the place through any airport convenient to the place with the type of equipment last regularly used to serve the place.
(b) In the case of an interruption of service caused by a strike, the carrier shall give immediate notice of the interruption to DOT. Suspension authority under this section due to a strike shall expire 90 days after employees return to work.
(c) If service to a place is interrupted for more than 3 consecutive days for reasons beyond the carrier's control other than a strike, the holder shall give notice to DOT within 3 days following the date of first interruption, setting forth the date of first interruption and a full statement of the reasons for the interruption.
(d) The notice required by paragraph (b) or (c) of this section shall be marked for the attention of the Director, Office of Aviation Analysis.
(a) Within 15 days following resumption of service after a strike, an air carrier shall file a report with DOT containing a list of all flights that were canceled, the date they were canceled, and the date service was resumed.
(b) The report shall be marked for the attention of the Director, Office of Aviation Analysis.
Each air carrier filing a notice under § 323.3 (a)(2), (a)(4), (a)(5), or (c) shall continue to list the affected flights in all generally-distributed schedule publications in which the flight was listed before the notice. The listings shall continue until DOT permits the flights to be discontinued. The listings may include a notice stating that the flights are “to be discontinued as of (date) subject to government approval.”
If transportation that is the subject of a notice under this part is not discontinued within 90 days of the intended date stated in the notice, a new notice must be filed before the service may be discontinued. However, if DOT requires the carrier to provide service beyond the stated date, the carrier need not file a new notice if it discontinues the service within 90 days after DOT permits it to do so.
Any air carrier that terminates, suspends, or reduces air service, whether or not subject to the notice requirements of this part, shall make reasonable efforts to contact all passengers holding reservations on the affected flights to inform them of the flights' cancellation.
As a condition on the exemption, an air carrier operating under exemption authority in an international market which is the subject of a carrier selection proceeding shall file a notice with the Department at least ninety days before it terminates service in that market. Once such a notice has been filed, the carrier may not terminate service in that market during the notice period unless the air carrier chosen in the selection proceeding enters the market and the Department grants the operating carrier permission to do so. The Department may allow earlier termination for good cause when in the public interest.
The purpose of this part is to establish procedures to be followed in designating eligible places and in determining essential air transportation levels for eligible places, and in the appeals and periodic reviews of these determinations, under 49 U.S.C. 41732.
This part applies to essential air service determinations for communities designated as eligible under 49 U.S.C. 41731 and to eligible place designations and essential air service determinations for communities that qualify under 49 U.S.C. 41732 and 41733. It applies to the gathering of data by the Department, and to the participation of State, local, and other officials and other interested persons in the designation and determination processes.
Note to § 325.2: Criteria for designating eligible points under section 419(b) are contained in part 270 of this chapter. Guidelines for deciding essential air service levels are contained in part 398 of this chapter.
As used in this part, eligible place means a place in the United States that meets the specified criteria outlined in 49 U.S.C. Chapter 417.
(a) DOT, on a periodic basis, will send a questionnaire to each eligible place that is served by not more than one certificated air carrier, or is designated as an eligible place under 49 U.S.C. 41731, or for which DOT is reviewing its essential air service needs. The questionnaire will be addressed to:
(1) The chief executive of the principal city, or other unit of local government at the affected place, that is named or has been previously named in a qualifying section 41102 certificate. For places in Alaska or Hawaii that are named DOT as eligible place without having been listed on a section 41102 certificate, the principal city is the most populous municipality at the place;
(2) The individual or entity with direct supervision over and responsibility for the airport at the eligible place; and
(3) The State agency with jurisdiction over air transportation in the State containing the eligible place. If there is no such State agency, the questionnaire will be sent to the governor of that State.
(b) Within 60 days after receipt of the questionnaire, five copies of the response shall be filed in the Docket Operations Office, unless the Department specifies another date. If no response is received within the period, essential air service for that eligible place may temporarily be set at the minimum level prescribed in 49 U.S.C. 41737.
(c) Any other interested person may, during the 60-day response period, submit information relevant to the essential air service level of that eligible place by filing in the Docket Operations Office, five copies of a document titled with the name of the place involved.
(d) As necessary, the DOT may request additional information to supplement the questionnaire.
DOT will issue a determination of the essential level of air service for a place within 6 months after each of the following events:
(a) A notice is received that service to an eligible place will be reduced to only one carrier that holds a section 41102 certificate;
(b) A place is designated as an eligible place under 49 U.S.C. 41731 and either paragraph (c) or (d) of this section or § 325.7(e); or
(c) A review was conducted of essential air service of that place under § 325.6.
(a) The Department will start a periodic review of essential air service within 1 year of the date of the previous determination of essential air service for eligible places receiving subsidized service, within 2 years of the date of the previous determination for eligible places in Alaska, and within 3 years of the date of the previous determination for eligible places without subsidized air service.
(b) The review shall be conducted in accordance with the procedures in §§ 325.4, 325.5 and 325.7.
(c) The Department may review the designation under 49 U.S.C. 41733 to determine whether the community designated as an eligible place continues to meet the criteria in part 270 of this chapter.
(a) Any person may file with DOT a petition titled “Petition for Modification of Essential Air Service Level,” asking to modify the essential air service level at a place.
(b) The petition shall identify the place affected, and specifically state the reasons why the petitioner believes the designated essential level is inadequate. It should contain any facts and arguments that support its requests, and describe the level of essential air service that should be substituted.
(c) Any person may, within 30 days after the filing of a petition for modification, file an answer to that petition titled “Answer to Petition for Modification.”
(d) After review, the Department may seek more information and the procedures of §§ 325.5 and 325.7 will be followed.
All documents filed under this part shall be filed in the Documentary Services Division, U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Washington, D.C. 20590, and on their front page state:
(a) The title of the document;
(b) The name of the affected community;
(c) The name, address, and telephone number of a person who can be contacted for further information concerning the subject of the document; and
(d) In the case of a responsive document, the docket number of the document to which it responds.
Any person, except one filing individually as a consumer, who files a document under this part, including responses to the questionnaire, shall serve that document upon those listed in § 325.4(a) of this part and upon the following:
(a) The governor of the State in which the eligible place is located;
(b) Each air carrier providing scheduled service to the affected eligible place;
(c) In the case of a responsive document, the one who filed the document to which it responds; and
(d) The U.S. Postal Service, Assistant General Counsel, Transportation Division, Law Department, Washington, D.C. 20260.
Notwithstanding any provision of part 312 or part 313 of this chapter, a person filing a petition or appeal under this part is not required to file an environmental evaluation or energy information with the application.
Except where they are inconsistent, the provisions of subpart A of part 302 of this chapter shall apply to proceedings under this part.
This part establishes the terms and conditions governing the furnishing of overseas military personnel charters in air transportation by direct air carriers or foreign air carriers and by overseas military charter operators. This part also relieves charter operators from the provisions of section 41102 of Title 49 of the United States Code (“the Statute”), for the purpose of enabling them to provide overseas military personnel charters utilizing aircraft chartered from such direct air carriers or foreign air carriers. Nothing contained in this part shall be construed as repealing or amending any provisions of any of the Department's regulations, unless the context so requires.
As used in this part, unless the context otherwise requires:
Charter means overseas military personnel charter.
Charter operator means overseas military personnel charter operator.
Charter participant means a member of the overseas military personnel charter group.
Charter price means the total amount of money paid by the charter participant to the charter operator for air transportation.
Immediate family means only the following persons: the spouse, children, parents, parents of the spouse, children of the parents, and children of the parents of the spouse of (1) military personnel on active duty with the United States Armed Forces (including Coast Guard) stationed outside the contiguous states of the United States and the District of Columbia, and (2) civilian employees of the Department of Defense who are citizens of the United States and are stationed in a foreign country, or in a U.S. territory or possession, where U.S. military personnel are stationed.
Overseas military personnel charter means a charter, either one-way or round-trip, limited to military personnel on active duty with the U.S. Armed Forces (including the Coast Guard), stationed outside the 48 contiguous States of the United States and the District of Columbia, and/or civilian employees of the Department of Defense who are citizens of the United States and are stationed in a foreign country, or in a U.S. territory or possession, where such U.S. military personnel are stationed, and/or the immediate families of the foregoing persons, where the following conditions are met: (a) All military personnel and civilian employees of the Department of Defense participating in the charter are on official furlough, leave, pass, or other authorized absence from duty, and (b) the transportation is between a place in the 48 contiguous States of the United States or the District of Columbia and a place in Alaska, Hawaii, or a territory or possession of the United States, or a foreign country in which military personnel of the United States are stationed: Provided, however, That nothing contained herein shall preclude an overseas military personnel charter operator from utilizing any unused space on an aircraft chartered by it pursuant to this part for the transportation, on a free or reduced-rate basis, of such charter operator's employees, directors, and officers, and the parents and immediate families of such persons, subject to the provisions of part 223 of this chapter.
Overseas military personnel charter operator means any citizen of the United States, as defined in section 40102(a)(15) of 49 U.S.C. Subtitle VII authorized hereunder to engage in the formation of overseas military personnel charter groups and who complies with the provisions of this part.
Person means any individual, firm, association, partnership, or corporation.
A waiver of any of the provisions of this part may be granted by the Department upon its own initiative, or upon the submission by a charter operator of a written request therefor: Provided, That such a waiver is in the public interest and it appears to the Department that special or unusual circumstances warrant a departure from the provisions set forth herein.
In case of any violation of the provisions of 49 U.S.C. Subtitle VII, or this part, or any other rule, regulation, or order issued under the Statute, the violator may be subject to a proceeding pursuant to section 46101 of 49 U.S.C. Subtitle VII before the Department, or sections 46106 through 46108 of 49 U.S.C. Subtitle VII before a U.S. district court, as the case may be, to compel compliance therewith, to civil penalties pursuant to the provisions of section 46301 of 49 U.S.C. Subtitle VII, or in the case of willful violation, to criminal penalties pursuant to the provisions of section 46316 of 49 U.S.C. Subtitle VII; or other lawful sanctions.
The Department reserves the power to suspend the authority of any charter operator, without hearing, if it finds that such action is necessary in order to protect the rights of the traveling public, or to revoke such authority for cause.
Charter operators are hereby relieved from the provisions of section 41102 of 49 U.S.C. Subtitle VII only if and so long as they comply with the provisions of this part and the conditions imposed herein, and to the extent necessary to permit them to organize and arrange overseas military personnel charters.
No person shall engage in air transportation as an overseas military personnel charter operator by organizing, providing, selling, or offering to sell, soliciting, or advertising an overseas military personnel charter or charters unless there is in force an operating authorization issued pursuant to § 372.31 authorizing such person to engage in such transportation.
Solicitation of charter participants through advertising by charter operators shall be restricted to the following:
(a) Radio and television stations operated by the U.S. Armed Forces;
(b) Newspapers, periodicals, or other printed media disseminated and distributed primarily among military personnel or civilian employees of the Department of Defense: Provided, however, That any printed advertisement of a charter operator shall include a statement explaining that eligibility for participation in such charters is limited to military servicemen who are stationed outside of the 48 contiguous States and the District of Columbia, and/or U.S. citizen civilian DOD employees who are stationed in a foreign country, or a U.S. territory or possession, where U.S. military personnel are stationed, and their respective immediate families.
No charter operator shall make, give, or cause any undue or unreasonable preference or advantage to any particular person, port, locality, or description of traffic in air transportation in any respect whatsoever or subject any particular person, port, locality, or description of traffic in air transportation to any unjust discrimination or any undue or unreasonable prejudice or disadvantage in any respect whatsoever.
No charter operator shall engage in unfair or deceptive practices or unfair methods of competition in air transportation or the sale thereof.
(a) Before selling or offering to sell, soliciting or advertising any charter flight, a charter operator shall comply with one of the three following requirements:
(1) The charter operator shall furnish a surety bond in an amount not less than the maximum fare held out for charter flights proposed to be operated during each calendar month multiplied by 90 percent of the number of available seats on such flights: Provided, however, That the liability of the surety to any charter participant shall not exceed the charter operator's applicable tariff fare. Such bond shall be filed with the Department not less than 45 days prior to the commencement of the calendar month covered by the bond together with a list of flights proposed to be operated during the month showing charter price, departure dates, equipment to be used for each flight and the seating capacity: Provided, however, That the amount of the bond shall be increased if additional charter flights are proposed or may be reduced if proposed charter flights are canceled, in which event a substitute bond and amended list of proposed flights shall be filed with the Department within 10 days of the date that the charter operator adds flights or cancels flights previously proposed, but in no event later than 2 days prior to the operation of any such additional charter flights; or
(2) The charter operator shall:
(i) Furnish and file with the Department a surety bond in the amount of $100,000 for the protection of the charter participants: Provided, however, That the liability of the surety to any charter participant shall not exceed the charter operator's applicable tariff fare; and
(ii) Enter into an agreement with a bank, the terms of which shall include the following:
(a) Each participant shall pay for his deposit and subsequent payments comprising the charter participant's tariff fare only by check or money order payable to such bank which shall maintain a separate accounting for each flight: Provided, however, That if the participant makes a cash deposit, the charter operator who receives such cash deposit shall forthwith remit to the designated bank a check for the full amount of the deposit;
(b) The bank shall not pay the air carrier or foreign air carrier the charter price for the transportation earlier than 60 days (including day of departure) prior to the scheduled day of departure of the originating or returning flight, upon certification of the departure date and price by the charter operator;
(c) The bank shall reimburse the charter operator for refunds made by the latter to the participants upon written notification from the charter operator;
(d) If the charter operator notifies the bank that a flight has been canceled, the bank shall make the applicable refunds directly to the participants;
(e) Except as provided in paragraph (a)(2)(ii)(c) of this section, the bank shall not pay any funds from the account to the charter operator prior to 2 banking days after completion of each flight when the balance in the account shall be paid to the charter operator upon certification of the completion date by the charter operator and direct air carrier;
(f) Notwithstanding any provisions above, the amount of total cash deposits required to be maintained in the depository account of the bank may be reduced by one or both of the following: The amount of surety bond in the form prescribed herein in excess of the minimum bond required by paragraph (a)(2)(i) of this section; an escrow with the designated bank of Federal, State, or municipal bonds or other securities, consisting of certificates of deposit issued by banks having a stated policy of redeeming such certificates before maturity at the request of the holder (subject only to such interest penalties or other conditions as may be required by law), or negotiable securities which are publicly traded on a securities exchange, all such securities to be made payable to the escrow account: Provided, That such other securities shall be substituted in an amount no greater than 80 percent of the total market value of the escrow account at the time of such substitution: And provided, further, That should the market value of such other securities subsequently decrease, from time to time, then additional cash or securities qualified for investment hereunder shall promptly be added to the escrow account, in an amount equal to the amount of such decreased value; or
(3) The charter operator shall:
(i) Furnish and file with the Department a surety bond in the amount of $100,000 for the protection of the charter participants: Provided, however, That the liability of the surety to any charter participant shall not exceed the charter operator's applicable tariff fare; and
(ii) Enter into an agreement with a bank, the terms of which shall include the following:
(a) Whenever the gross amount of customers' deposits exceeds 25 percent of the charter operator's net worth, as computed under generally accepted accounting principles, the charter operator shall, on or before the 30th day of the succeeding month, place in escrow or in trust with the bank cash in an amount at least equal to the amount by which such deposits exceed 25 percent of its net worth: Provided, That negotiable securities may be substituted for cash, but the market value thereof shall at all times be not less than the amount of cash for which they are substituted;
(b) The escrow agreement or the trust agreement between the bank and the operator shall not be effective until approved by the Department. Claims against the escrow or trust may be made only with respect to the nonperformance of air transportation.
(b) As used in this section, the term bank means a bank insured by the Federal Deposit Insurance Corporation.
(c) Any bond furnished under this section shall insure the financial responsibility of the charter operator and the supplying of the air transportation in accordance with the contract between the charter operator and the charter participants, and shall be in the form set forth as appendix A to this part. Such bond shall be issued by a bonding or surety company (1) whose surety bonds are accepted by the Interstate Commerce Commission under 49 CFR 1084.6; or (2) which is listed in Best's Insurance Reports (fire and casualty) with a general policyholders' rating of “A” or better. The bonding or surety company shall be one legally authorized to issue bonds of that type in the State in which the charter originates or in which the charter operator is incorporated. For purposes of this section, the term “State” includes any territory or possession of the United States, or the District of Columbia. The bond shall be specifically identified by the issuing surety with a company bond numbering system so that the Department may identify the bond with the specific charter or charters to which it relates: Provided, however, That these data may be set forth in an addendum attached to the bond which addendum must be signed by the charter operator and the surety company. It shall be effective on or before the date the operating authorization becomes effective. If the bond does not comply with the requirements of this section, or for any reason fails to provide satisfactory or adequate protection for the public, the Department will notify the direct air carrier and the charter operator, by registered or certified mail, stating the deficiencies of the bond. Unless such deficiencies are corrected within the time set forth in such notification, the subject charters shall in no event be operated.
(d) Any bond furnished under this section shall provide that unless the charter participant files a claim with the charter operator, or, if he is unavailable, with the surety, within sixty (60) days after termination of the charter, the surety shall be released from all liability under the bond to such charter participant. The contract between the charter operator and the charter participants shall contain notice of this provision.
Effective October 1, 1972, a charter operator shall not operate or sell or offer to sell, solicit or advertise, any charter trips unless such operator shall have on file with the Department a currently effective tariff showing all rates, fares, and charges for such charter trips and showing the rules, regulations, practices, and services in connection with such transportation.
It shall be an express condition upon the exercise of the exemption herein granted and the operating authorizations issued hereunder, that the charter operator concerned, in holding out to the public and performing air transportation services, shall do so only in a name the use of which is authorized under the provisions of part 215 of this chapter.
(a) Every charter operator conducting a charter pursuant to this part shall retain for 2 years after completion of the charter or series of charters true copies of the following documents at its principal or general office in the United States:
(1) All documents which evidence or reflect deposits made by, and refunds made to, each charter participant;
(2) All statements, invoices, bills, and receipts from suppliers or furnishers of goods and services in connection with the charter or series of charters.
(b) Every charter operator shall make the documents listed in this section available upon request by an authorized representative of the Department and shall permit such representative to make such notes and copies thereof as he deems appropriate.
(a) Application. Any person desiring to operate as an overseas military personnel charter operator may apply to the Department for an appropriate operating authorization. Contact the Office of International Aviation, Special Authorities Division, for filing instructions. The application shall be certified by a responsible official of such person and shall contain the following information:
(1) Date;
(2) Name of applicant, trade names, and name in which authorization is to be issued;
(3) Address of principal office and mailing address;
(4) Form of organization (i.e., corporation, partnership, etc.), State under whose laws company is authorized to operate and date company was formed;
(5) A list containing the names of each officer, director, partner, owner, or member of applicant, and holder of more than 5 percent of outstanding stock if a corporation, or owner of more than a 5-percent interest if other than a corporation; an indication as to whether or not 75 percent or more of the voting interest is owned or controlled by citizens of the United States or one of its possessions; if more than 5 percent of applicant's stock is held by a corporation, an indication must be made as to whether or not 75 percent or more of the voting interest in such corporation is owned or controlled by citizens of the United States or one of its possessions;
(6) A description of current business activities and of former business experience in, or related to, the transportation field;
(7) Description of operating authority granted applicant by agencies of the U.S. Government (such as customs broker, surface or air freight forwarder, motor carrier, ocean freight forwarder, etc.), and, if applicable, reasons for revocation or other termination;
(8) List of names of the officers, owners, etc., of applicants who have at any time applied for any type of authority or registration from the Civil Aeronautics Board or the Department of Transportation and, if applicable, reasons for revocation or other termination;
(9) List of officers, owners, etc., of applicants who have at any time been employed by or associated with any air carrier authorized to operate by the Civil Aeronautics Board or the Department of Transportation indicating dates of employment and capacity in which employed;
(10) Any additional information in support of application;
(11) Balance sheet as of a date not more than 3 months prior to application and profit and loss statement for the full year ending as of date of balance sheet;
(12) Brief account of any arrangement by which applicant will have available financial sources and facilities of other companies or individuals;
(13) The charter operator's surety bond and, where applicable, a copy of the depository, escrow or trust agreement with a bank as provided in § 372.24.
(b) Additional information. The applicant shall also submit such other additional information pertinent to its proposed activities as may be requested by the Department with respect to any individual application.
(a) If, after the filing of an application for an operating authorization, it appears that the applicant is capable of performing the air transportation authorized by this part as an overseas military personnel charter operator and of conforming to the provisions of the Act and all rules and requirements thereunder, and that the conduct of such operations by the applicant will not be inconsistent with the public interest, the applicant will be notified by letter. Such notification will advise the applicant that, upon the filing of a valid tariff pursuant to § 372.25, an operating authorization will be issued to the applicant.
(b) If, after the filing of an application for an operating authorization, it appears that the applicant has not made a due showing of capability or that the conduct of operations by the applicant might otherwise be inconsistent with the public interest, the Department shall by letter notify the applicant of its findings to that effect. The Department may dismiss any such application unless within 30 days of the date of the mailing of such letter, the applicant has in writing requested reconsideration and submitted such additional information as it believes will make the necessary showing, or requested that the application be assigned for hearing, in which case the applicant shall outline the evidence to be presented at such hearing and shall show the need for hearing in order properly to present its case.
(c) In the event that reconsideration or hearing is requested, the Department may, without notice or hearing, enter an order of approval or of disapproval in accordance without notice or hearing, enter an order of approval or of disapproval in accordance with its determination of the public interest upon the showing made, or on its own initiative may assign the application for hearing.
Each operating authorization shall be effective upon the date specified therein, and shall continue in effect, unless sooner suspended or revoked, during such period as the authority provided by this part shall remain in effect, or if issued for a limited period of time, shall continue in effect until the expiration thereof unless sooner suspended or revoked.
(a) An operating authorization shall be nontransferable and shall be effective only with respect to the person named therein or his successor by operation of law, subject to the provisions of this section. The following persons may temporarily continue operations under an operating authorization issued in the name of another person, for a maximum period of 6 months from the effective date of succession, by giving written notice of such succession to the Department within 60 days after the succession:
(1) Administrators or executors of deceased persons;
(2) Guardians of incapacitated persons;
(3) Surviving partner or partners collectively of dissolved partnerships; and
(4) Trustees, receivers, conservators, assignees, or other such persons who are authorized by law to collect and preserve the property of financially disabled persons.
(b) All operations by successors, as above authorized, shall be performed in the name or names of the prior holder of the operating authorization and the name of the successor, whose capacity shall also be designated. Any successor desiring to continue operations after the expiration of the 6-month period above authorized must file an application for a new operating authorization within 120 days after such succession. If a timely application is filed, such successor may continue operations until final disposition of the application by the Department.
Know all persons by these presents, that we ______ (name of charter operator) of ______ (address) as Principal (hereinafter called “Principal”), and ______ (name of surety) a corporation created and existing under the laws of the State of ______ (State) as Surety (hereinafter called “Surety”) are held and firmly bound unto the United States of America in the sum of ______ (see § 372.24(a), 14 CFR part 372) for which payment, well and truly to be made, we bind ourselves and our heirs, executors, administrators, successors, and assigns, jointly and severally firmly by these presents.
Whereas Principal is an overseas military personnel charter operator pursuant to the provisions of part 372 of the Department's regulations and other rules and regulations of the Department relating to security for the protection of charter participants, and has elected to file with the Department of Transportation such a bond as will insure financial responsibility with respect to all monies received from charter participants for services in connection with overseas military personnel charters to be operated subject to part 372 of the Department's Special Regulations in accordance with contracts, agreements, or arrangements therefor, and
Whereas this bond is written to assure compliance by Principal as an authorized charter operator with part 372 of the Department's regulations, and other rules and regulations of the Department relating to security for the protection of charter participants, and shall inure to the benefit of any and all charter participants to whom Principal may be held legally liable for any damages herein described.
Now, therefore, the condition of this obligation is such that if Principal shall pay or cause to be paid to charter participants any sum or sums for which Principal may be held legally liable by reason of Principal's failure faithfully to perform, fulfill and carry out all contracts, agreements, and arrangements made by Principal while this bond is in effect with respect to the receipt of moneys from charter participants, and proper disbursement thereof pursuant to and in accordance with the provisions of part 372 of the Department's regulations, then this obligation shall be void, otherwise to remain in full force and effect.
The liability of Surety with respect to any charter participant shall not exceed the charter price paid by or on behalf of such participant.
The liability of Surety shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall amount in the aggregate to the penalty (face amount) of the bond, but in no event shall Surety's obligation hereunder exceed the amount of said penalty.
Surety agrees to furnish written notice to the Office of International Aviation, Department of Transportation, forthwith of all suits or claims made and judgments rendered, and payments made by Surety under this bond.
This bond shall cover the following Charters:
This bond is effective on the ______ of ______, 20______, 12:01 a.m., standard time at the address of Principal as stated herein and as hereinafter provided. Principal or Surety may at any time terminate this bond by written notice to: U.S. Air Carrier Licensing/Special Authorities Division, Office of International Aviation, U.S. Department of Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590, such termination to become effective thirty (30) days after the actual receipt of said notice by the Department. Surety shall not be liable hereunder for the payment of any damages hereinbefore described which arise as a result of any contracts, agreements, undertakings, or arrangements for the supplying of transportation and other services made by Principal after the termination of this bond as herein provided, but such termination shall not affect the liability of the bond hereunder for the payment of any damages arising as a result of contracts, agreements, or arrangements for the supplying of transportation and other services made by Principal prior to the date that such termination becomes effective. Liability of Surety under this bond shall in all events be limited only to a charter participant or charter participants who shall within sixty (60) days after the termination of the particular charter described herein give written notice of claim to the charter operator or, if it is unavailable, to Surety, and all liability on this bond shall automatically terminate sixty (60) days after the termination date of each particular charter covered by this bond except for claims made in the time provided herein.
In witness whereof, the said Principal and Surety have executed this instrument on the ______ day of ______, ______.
Only corporations may qualify to act as surety and they must meet the requirements set forth in § 372.24(c) of part 372.
The purpose of this part is to state the Department of Transportation's responsibility to enforce air carrier and foreign air carrier compliance with Subchapters I, III, IV, V and VI of the Consumer Credit Protection Act and Regulations B and Z of the Board of Governors of the Federal Reserve System.
This part is applicable to all air carriers and foreign air carriers engaging in consumer credit transactions.
(a) Each air carrier and foreign air carrier shall comply with the requirements of the Consumer Credit Protection Act, 15 U.S.C. 1601-1693r. Any violation of the following requirements of that Act will be a violation of 49 U.S.C. Subtitle VII, enforceable by the Department of Transportation:
(1) The Truth in Lending Act, as supplemented by the Fair Credit Billing Act, 15 U.S.C. 1601-1667, requiring disclosure of credit terms to the consumer and prohibiting inaccurate or unfair credit billing and credit card practices.
(2) The Fair Credit Reporting Act, 15 U.S.C. 1681-1681 setting forth requirements to be met by consumer credit reporting agencies and persons who use consumer credit reports.
(b) Each air carrier and foreign air carrier shall comply with the requirements of Regulation B, 12 CFR part 1002, and Regulation Z, 12 CFR part 1026, of the Board of Governors of the Federal Reserve Board. Any violation of the requirements of those regulations will be a violation of 49 U.S.C. Subtitle VII, enforceable by the Department of Transportation.
The statutes and regulations referred to in § 374.3 may be enforced by an enforcement procedure as set forth in part 302 of this chapter or by the assessment of civil penalties under 49 U.S.C. 46301.
The purpose of this part is to issue rules pursuant to the Federal Election Campaign Act of 1971, as amended, in accordance with the Department's responsibility thereunder.
This part shall be applicable to all air carriers as defined herein.
Adequate security means (a) a bond, issued by a surety meeting the standards prescribed for sureties in part 380 of this chapter, in an amount not less than one hundred and fifty percent (150%) of the credit limit established by the air carrier for the candidate, or the person acting on behalf of the candidate, as the case may be, by the terms of which bond the surety undertakes to pay to the air carrier any and all amounts (not exceeding the face amount of the bond) for which the assured candidate or the assured person acting on behalf of a candidate, as the case may be, is or may become legally liable to the air carrier for transportation, as defined in this part; or (b) collateral with a market value equal to one hundred and fifty percent (150%) of the established credit limit for such account, which collateral must be deposited in escrow and must consist of Federal, State, or municipal bonds or other negotiable securities which are publicly traded on a securities exchange.
Air carrier means any air carrier holding a certificate of public convenience and necessity issued under 49 U.S.C. 41102.
Candidate means an individual who seeks nomination for election, or election, to Federal office, whether or not such individual is elected. For purposes of this part, an individual shall be deemed to seek nomination for election, or election, if he has (a) taken the action necessary under the law of a State to qualify himself for nomination for election, or election, to Federal office; or (b) received contributions or made expenditures, or given his consent for any other person to receive contributions or make expenditures, with a view to bringing about his nomination for election, or election, to such office.
Election shall have reference to (a) a general, special, primary, or runoff election; (b) a convention or caucus of a political party held to nominate a candidate; (c) a primary election held for the selection of delegates to a national nominating convention of a political party; or (d) a primary election held for the expression of a preference for the nomination of persons for election to Federal office.
Established credit limit means the dollar limit of credit established by the carrier extending credit.
Federal office means the office of President or Vice President of the United States, or of Senator or Representative in, or Delegate or Resident Commissioner to, the Congress of the United States.
Person acting on behalf of a candidate means (a) a political committee acting on behalf of, or a person employed by such candidate or by such political committee to act on behalf of, such candidate in connection with such candidate's campaign for nomination for election, or election, to Federal office; (b) a person acting under a contract with, or as an agent of, such candidate or political committee to engage in activities in connection with such candidate's campaign for nomination for election, or election, to Federal office; or (c) a person for whom such candidate or political committee pays, directly or indirectly, for services purchased by such person. The term includes persons acting on behalf of more than one candidate.
Payment in advance means payment by cash, check, money order, or by credit card (if the issuer of such card is not an air carrier or a subsidiary, parent, or affiliate thereof) prior to performance of such transportation by an air carrier.
Political committee means any committee, association, corporation, or organization which accepts contributions, or makes expenditures, for the purpose of supporting a candidate or candidates for nomination for election, or election, to Federal office.
Transportation means (a) the carriage of persons or property (including services connected therewith) for compensation or hire to or from any place in the United States, or (b) the lease or rental of aircraft, with or without crew.
(a) Unless adequate security is posted, or full payment in advance is made, no air carrier shall provide transportation to any person it knows, or has reasons to know, is a candidate or a person acting on behalf of such candidate, in connection with the campaign of such candidate, except in accordance with, and subject to, the following conditions:
(1) At least once a month the air carrier shall submit to each such candidate or person a statement covering all unsecured credit extended to such candidate or person, as the case may be (whether in connection with the campaign of such candidate or otherwise.)
(2) Such statements shall be mailed no later than the second business day following the last day of the billing period, covered by the statement.
(3) The amount of indebtedness shown on each such statement shall be payable in full no later than 25 days after the last day of the billing period, after which time the indebtedness shall be overdue.
(4)(i) Unsecured credit shall not be extended by an air carrier to a candidate, or to any person acting on his behalf in connection with the campaign of such candidate, so long as any overdue indebtedness of such candidate to such air carrier shall remain unpaid, in whole or in part, or so long as such air carrier shall know that any overdue indebtedness of such candidate to any other air carrier remains unpaid, in whole or in part.
(ii) Unsecured credit shall not be extended by an air carrier to a person acting on behalf of a candidate, for transportation in connection with the campaign of such candidate, so long as any overdue indebtedness of such person to such carrier shall remain unpaid, in whole or in part, or so long as such air carrier shall know that any overdue indebtedness of such person to any other air carrier remains unpaid, in whole or in part.
(5)(i) With respect to transportation in connection with the campaign of any candidate to be performed after June 1, 1972, unsecured credit shall not be extended by an air carrier to any person acting on behalf of such candidate unless the carrier is authorized in writing by such candidate to extend such credit. The foregoing sentence shall not be construed as requiring the candidate to assume liability to the carrier for credit so extended.
(ii) Within 7 days after indebtedness becomes overdue for any unsecured credit extended by an air carrier to a person acting on behalf of a candidate in accordance with paragraph (a)(5)(i) of this section, the carrier shall notify the candidate in writing of the amount of the overdue indebtedness, and, unless paid in full within 25 days after the date of such notice, the overdue indebtedness shall be deemed to be the overdue indebtedness of the candidate, for the purposes of paragraph (b)(4)(i) of this section.
(b) It shall be presumed that a candidate or person acting on behalf of a candidate intends to use transportation in connection with the campaign of such candidate for nomination for election, or election, to Federal office.
Air carriers are exempt from the following provisions of 49 U.S.C. Subtitle VII:
(a) Section 41510.
(b) Section 41310, and any and all other provisions of 49 U.S.C. Subtitle VII, to the extent necessary to enable air carriers to comply with the provisions of this part.
(a) Air carriers shall make monthly reports to the Bureau of Transportation Statistics with respect to the credit for transportation furnished to candidates, or persons acting on behalf of candidates, during the period from 6 months before nomination, if any, or from 6 months before election, until the date of election. After that 6-month period, air carriers shall file such a report with the Bureau of Transportation Statistics not later than the 20th day following the end of the calendar month in which the election or nomination takes place, and thereafter when any change occurs in that report, until a negative report is filed showing that no debt for such extension of credit is owed to the carrier.
(b)(1) A separate report shall be filed for each candidate with an aggregate indebtedness balance of over $5,000 on the last day of the month to which the report pertains. The report shall cover all debts incurred by the candidate, whether or not incurred in connection with his campaign, and all debts incurred by persons acting on his behalf in connection with such campaign. The indebtedness accounts reported shall be those which the air carrier knows, or has reason to know, have been incurred by or on behalf of a candidate; and it shall be presumed that the transportation for which the indebtedness has been incurred is intended to be used in connection with the campaign of such candidate for nomination for election, or election, to Federal office.
(2) The reports required by this paragraph (b) shall be filed with the Office of Airline Information not later than the 20th day following the end of the calendar month to which the report pertains. They shall include the following data: (i) Name of account; (ii) the credit limit established for such account; (iii) the balance, if any, of the amount payable for transportation not paid for in advance; (iv) any unpaid balance of the charges for such transportation as of the last day of the month covered by the report, and the length of time that such balance has remained unpaid; and (v) a description of the type and value of any bond, collateral, or other security securing such unpaid balance.
(3) The report required by this paragraph (b) shall be in the form attached hereto as appendix A.
(c) A separate report shall be filed for each person acting on behalf of any candidate, if the aggregate indebtedness balance of such person to the reporting air carrier (including all debts incurred by such person, whether or not incurred in connection with the campaign of a candidate, as defined in this part) is over $5,000 on the last day of the month to which the report pertains. The report shall be filed with the Office of Airline Information not later than the 20th day following the end of the calendar month to which the report pertains and shall include (1) the credit limitation established for such person; (2) the balance, if any, of the amount payable for transportation not paid for in advance; (3) any unpaid balance of the charges for such transportation as of the last day of the month covered by the report, and the length of time that such balance has remained unpaid; and (4) a description of the type and value of any bond, collateral, or other security securing such unpaid balance.
(a) Every air carrier subject to the part shall retain for 2 years after a Federal election true copies of the following documents at its principal or general office in the United States:
(1) All documents which evidence or reflect the furnishing of transportation to a candidate for political office or a person acting on his behalf;
(2) All statements, invoices, bills, and receipts with respect to the furnishing of such transportation referred to in paragraph (a)(1) of this section.
(b) Every air carrier shall make the documents listed in this section available in the United States upon request by an authorized representative of the DOT and shall permit such representative to make such notes and copies thereof as he deems appropriate.
The provisions of this part shall apply only to the extension of credit by an air carrier to a candidate, or to a person acting on his behalf, which is made subsequent to the effective date of this part, and shall not be applicable to debts incurred prior to such date but which are unpaid as of the effective date of this part. The provisions of this part will be applicable, however, to all credit transactions which occur subsequent to the effective date of the part even though the credit account in which the transaction takes place was opened prior to the effective date of the part.
As used in this part:
Air transportation means the carriage by aircraft of persons or property as a common carrier for compensation or hire or the carriage of mail by aircraft in interstate, overseas, or foreign commerce (see 49 U.S.C. 40102 (a)(5) and (a)(24));
Category shall indicate a classification of aircraft such as airplane, helicopter, glider, etc.;
Commercial air operations shall mean operations by foreign civil aircraft engaged in flights for the purpose of crop dusting, pest control, pipeline patrol, mapping, surveying, banner towing, skywriting, or similar agricultural and industrial operations performed in the United States, and any operations for remuneration or hire to, from or within the United States including air carriage involving the discharging or taking on of passengers or cargo at one or more points in the United States, including carriage of cargo for the operator's own account if the cargo is to be resold or otherwise used in the furtherance of a business other than the business of providing carriage by aircraft, but excluding operations pursuant to foreign air carrier permits issued under 49 U.S.C. 41301, exemptions, and all other operations in air transportation.
Exemption means an exemption granted, under 49 U.S.C. 40109, authorizing air transportation by a foreign air carrier;
Foreign air carrier permit means a permit authorizing foreign air transportation by a foreign air carrier pursuant to 49 U.S.C. 41301;
Foreign aircraft permit means a permit authorizing navigation of foreign civil aircraft in the United States pursuant to 49 U.S.C. 41703 and this part;
Foreign civil aircraft means (a) an aircraft of foreign registry that is not part of the armed forces of a foreign nation, or (b) a U.S.-registered aircraft owned, controlled or operated by persons who are not citizens or permanent residents of the United States;
Stop for non-traffic purposes means a landing for any purpose other than taking on or discharging passengers, cargo or mail, and does not include landings for embarking or disembarking stopover passengers or transshipped cargo or mail, or for other than strictly operational purposes.
Type means all aircraft of the same basic design including all modifications thereto except those modifications that result in a change in handling or flight characteristics.
The provisions of this part regulate the admission to, and navigation in, the United States of foreign civil aircraft other than aircraft operated under authority contained in a foreign air carrier permit or exemption. This part also contains provisions that specify the extent to which certain classes of flight operations by foreign civil aircraft may be conducted, and the terms and conditions applicable to such operations. Nothing in this part shall authorize any foreign civil aircraft to engage in air transportation nor be deemed to provide for such authorization by the Department.
Subject to the observance of the applicable rules, conditions, and limitations set forth in this part:
(a) Foreign civil aircraft manufactured in a State that at the time of manufacture was a member of the International Civil Aviation Organization (ICAO), and registered in a State that at the time of flight is a member of ICAO, may be navigated in the United States;
(b) Foreign civil aircraft manufactured in a State that at the time of manufacture was not a member of ICAO, and registered in a State that at the time of flight is a member of ICAO, may be navigated in the United States,
(1) If the State of registry has notified ICAO that the requirements under which it issues or renders valid certificates of airworthiness are equal to or above the minimum standards established pursuant to the Chicago Convention, or
(2) If such notification has not been made to ICAO at the time of flight, there is on file with the Department a statement by the State of registry that, with regard to aircraft of the type that is proposed to be operated hereunder, the requirements under which certificates of airworthiness are issued or rendered valid are equal to or above the minimum standards established pursuant to the Chicago Convention.
A foreign civil aircraft, including unmanned aircraft as defined in § 1.1 of this title, other than those referred to in § 375.10 may be navigated in the United States only when:
(a) The operation is authorized by the Department under the provisions of this part, and
(b) The aircraft complies with any applicable airworthiness standards of the Federal Aviation Administration for its operation.
The provisions of this part, and of any permit issued hereunder, together with 49 U.S.C. 41703, are designed, among other purposes, to carry out the international undertakings of the United States in the Chicago Convention, in particular Article 5. That article gives foreign aircraft the privilege of “taking on or discharging passengers, cargo or mail” subject to the right of the State where such embarkation or discharge takes place to impose such regulations, conditions or limitations as it may consider desirable. The U.S. Congress by the 1953 amendment to section 6 of the Air Commerce Act of 1926, now designated as 49 U.S.C. 41703, authorizes the Department to permit such operations only where conditions of reciprocity and the interest of the public in the United States are met. Thus, the operator of any foreign registered aircraft is not entitled as a matter of right to the issuance, renewal or freedom from modification or change in a permit issuable pursuant to this authority. Accordingly, any authority conferred by this part may be withheld, revoked, amended, modified, restricted, suspended, withdrawn, or canceled by the Department in the interest of the public of the United States, without notice or hearing.
Foreign civil aircraft shall carry currently effective certificates of registration and airworthiness issued or rendered valid by the country of registry and shall display the nationality and registration markings of that country. However, a foreign civil aircraft may carry, in lieu of such certificate of airworthiness, an effective special flight authorization issued by the Federal Aviation Administration for the operations being performed.
Members of the flight crew of a foreign civil aircraft shall have in their personal possession valid airman certificates or licenses authorizing them to perform their assigned functions in the aircraft and for the operation involved issued or rendered valid by the country of registry of the aircraft or by the United States. No such flight crew members shall perform any flight duty within the United States that they are not currently authorized to perform in the country issuing or validating the certificate.
Flights of foreign civil aircraft in the United States shall be conducted in accordance with the currently applicable rules of the Federal Aviation Administration in 14 CFR chapter I.
Foreign civil aircraft that are permitted to navigate in the United States on the basis of foreign airworthiness certificates must conform to the limitations on maximum certificated weights prescribed or authorized for the particular variation of the aircraft type, and for the particular category of use, by the country of manufacture of the aircraft type involved.
All U.S. entry and clearance requirements for aircraft, passengers, crews, baggage and cargo shall be followed.
No foreign civil aircraft shall be navigated in the United States unless authorized by this part. Commercial air operations (other than those authorized by § 375.36) shall not be undertaken without a permit issued by the Department.
Owners and operators of aircraft operated under this part that are engaged in proprietary of commercial activities waive any defense of sovereign immunity from suit in any action or proceeding instituted against any of them in any court or other tribunal in the United States for any claim relating to that operation.
Foreign civil aircraft that are not engaged in commercial air operations into, out of, or within the United States may be operated in the United States and may carry non-revenue traffic to, from or between points in the United States.
Flights of foreign civil aircraft within the United States may be made for the purpose of demonstration of the aircraft or any component thereof (including demonstrations at airshows), provided no persons, cargo or mail are carried for remuneration or hire.
Foreign civil aircraft that are engaged in agricultural or industrial operations to be performed wholly outside the United States may be navigated into, out of, and within the United States in connection with those operations provided that the aircraft is not at the time engaged in the carriage of passengers, cargo, or mail for remuneration or hire.
Foreign civil aircraft carrying passengers, property or mail for remuneration or hire, but not engaged in scheduled international air services, are authorized to navigate nonstop across the territory of the United States and to make stops for non-traffic purposes. The navigation of foreign civil aircraft in the United States is not authorized under this section when the elapsed time between landing and takeoff at a stop in the United States exceeds 24 hours and passengers are permitted to leave the airport or when passengers, property or mail are transferred to another aircraft. Flights involving stops under such circumstances may, however, be performed in the case of emergency relating to the safety of the aircraft, passengers, cargo or crew.
Foreign civil aircraft may be operated in the United States for the purpose of giving indoctrination training in the operation of the aircraft concerned to a buyer or a buyer's employees or designees. This section does not, however, authorize foreign civil aircraft to be used within the United States for the purpose of flight instruction for remuneration or hire.
(a) Foreign civil aircraft may be navigated in the United States by a foreign air carrier for the transportation of persons and property specified in paragraph (b) of this section over the following non-traffic segments provided such transportation is not for compensation or hire:
(1) Between two or more points in the United States;
(2) Between a point in the United States named in the carrier's section 41301 permit or exemption, and a point outside the United States not so named, when authorized in accordance with the provisions of part 216 of this chapter to carry blind sector traffic to or from such unnamed foreign point; and
(3) Between a point in the United States and a point outside thereof when the carrier lands at the United States point for non-traffic purposes in exercise of the privilege granted under the International Air Services Transit Agreement.
(b) Free transportation may be provided under this section for the following categories of persons and property:
(1) Directors, officers and employees, and their parents and immediate families, of the foreign air carrier operating the aircraft;
(2) Directors, officers and employees, and their parents and immediate families, of an air carrier or another foreign air carrier traveling pursuant to a pass interchange arrangement;
(3) Travel agents being transported for the purpose of familiarizing themselves with the carrier's services, if the agents are under no obligation to sell the transporting carrier's services;
(4) Witnesses and attorneys attending any legal investigation in which any such foreign air carrier is involved;
(5) Persons injured in aircraft accidents and physicians and nurses attending such persons;
(6) Any persons or property with the object of providing relief in cases of general epidemic, natural disaster or other catastrophe;
(7) Any person who has the duty of guarding foreign government officials travelling on official business; and
(8) Guests of a foreign air carrier (including members of the press) on delivery flights of newly-acquired or newly-renovated aircraft.
(c) A charge reasonably related to the value of meals and beverages furnished enroute shall not be deemed to constitute compensation or hire for purposes of this section.
Foreign civil aircraft that are leased without crew to an air carrier or citizen or permanent resident of the United States, and used by the lessee in otherwise authorized air transportation or commercial air operations, may be operated into, out of, and within the United States in accordance with any applicable regulations prescribed by the Federal Aviation Administration.
For purposes of this section, “company” is defined as a person that operates civil aircraft in furtherance of a business other than air transportation. U.S.-registered foreign civil aircraft that are not otherwise engaged in commercial air operations, or foreign air transportation, and which are operated by a company in the furtherance of a business other than transportation by air, when the carriage is within the scope of, and incidental to, the business of the company (other than transportation by air), may be operated to, from, and within the United States as follows:
(a) Intra-company operations. A company operating a U.S.-registered foreign civil aircraft may conduct operations for a subsidiary or parent or a subsidiary of its parent on a fully-allocated cost reimbursable basis; provided, that the operator of the U.S.-registered foreign civil aircraft must hold majority ownership in, be majority owned by, or have a common parent with, the company for which it provides operations;
(b) Interchange operations. A company may lease a U.S.-registered foreign civil aircraft to another company in exchange for equal time when needed on the other company's U.S. registered aircraft, where no charge, assessment, or fee is made, except that a charge may be made not to exceed the difference between the cost of owning, operating, and maintaining the two aircraft;
(c) Joint ownership operations. A company that jointly owns a U.S.-registered foreign civil aircraft and furnishes the flight crew for that aircraft may collect from the other joint owners of that aircraft a share of the actual costs involved in the operation of the aircraft; and
(d) Time-sharing operations. A company may lease a U.S.-registered foreign civil aircraft, with crew, to another company; provided, that the operator may collect no charge for the operation of the aircraft except reimbursement for:
(1) Fuel, oil, lubricants, and other additives.
(2) Travel expenses of the crew, including food, lodging, and ground transportation.
(3) Hanger and tie-down costs away from the aircraft's base of operations.
(4) Insurance obtained for the specific flight.
(5) Landing fees, airport taxes, and similar assessments.
(6) Customs, foreign permit, and similar fees directly related to the flight.
(7) In flight food and beverages.
(8) Passenger ground transportation.
(9) Flight planning and weather contract services.
(10) An additional charge equal to 100 percent of the expenses for fuel, oil, lubricants, and other additives.
Foreign civil aircraft that are small unmanned aircraft used exclusively as model aircraft may be operated in the United States only when the individual:
(a) Completes the registration process in accordance with §§ 48.30, 48.100(b) and (c), 48.105, and 48.115 of this title;
(b) Identifies the aircraft in accordance with the aircraft marking requirements in §§ 48.200 and 48.205 of this title; and
(c) Complies with the requirements of Sec. 336 of Pub. L. 112-95 (Feb. 14, 2012).
(a) Permit required. Except for aircraft being operated under a foreign air carrier permit, an exemption, or as otherwise provided in subpart D or H of this part, foreign civil aircraft may engage in commercial air operations only if there is carried on board the aircraft a permit issued by the Department in accordance with this subpart authorizing the operations involved.
(b) Aircraft are not authorized to engage in air transportation under this section. Where an operation involves the carriage of persons, property or mail for compensation or hire, the Department will determine whether particular flights for which a permit is sought will be in common carriage, and therefore in air transportation, based on all the facts and circumstances surrounding the applicant's entire operations. The burden rests upon the applicant in each instance to demonstrate by an appropriate factual showing that the contemplated operation will not constitute common carriage from, to or within the United States. In general, an applicant that holds itself out to the public, or to a particular class or segment, as willing to furnish transportation for hire is a common carrier.
Foreign civil aircraft shall not be used for such commercial air operations as crop dusting, pest control, pipeline patrol, mapping, surveying, banner towing, skywriting or similar agricultural or industrial operations within the United States, including its territorial waters and overlying airspace, unless a permit has been issued by the Department and the operation is conducted in accordance with all applicable State and local laws and regulations as well as the applicable provisions of this part.
Occasional planeload charters may be authorized where, because of their limited nature and extent, special equipment or facilities utilized, or other circumstances pertaining to them, it appears that they are not within the scope of the applicant's normal holding out of transportation services to the general public. Such charters are normally limited to those in which the entire capacity of the aircraft is engaged by a single charterer, and since they are occasional in nature, should not exceed for any one applicant more than six flights during a calendar year. This part does not authorize operations that involve solicitation of the general public such as is usually involved in the transportation of individually-ticketed passengers or individually-waybilled cargo, or in which the charterer is a travel agent, a charter operator, a broker, an air freight forwarder or any other organization that holds itself out to the general public to provide transportation services. Carriage of cargo for the operator's own account is governed by the provisions of this section if the cargo is to be resold or otherwise used in the furtherance of a business other than the business of providing carriage by aircraft.
(a) Applications for foreign aircraft permits shall be submitted on OST Form 4509 (see appendix A to this part), in duplicate, addressed to the Chief, Foreign Air Carrier Licensing Division, X-45, Office of International Aviation. Applications should be submitted by email; see “Application Procedures under Part 375” at www.transportation.gov/policy/aviation-policy/licensing/foreign-carriers.
(b) Applications shall contain a proper identification (including citizenship) of the applicant (the operator of the aircraft concerned) and of the owner thereof (if different from the applicant), a description of the aircraft by make, model, and registration marks; and a full description of the operations for which authority is desired, indicating type and dates of operations and number of flights, and routing. In the case of cargo flights, the names of all contractors, agents, if any, and the beneficial owner of the cargo, and a description of the cargo and of the proposed operations shall be provided. In the case of passenger flights, a full identification and description of the group chartering the aircraft, and identification of the travel agent, if any, shall be provided. Applications shall also contain a statement as to whether the applicant's homeland allows operators of U.S.-registered aircraft to conduct similar operations.
(c) Applications shall be filed at least 15 days in advance of the proposed commencement date of the operations. The Department may direct the applicant to serve copies of its application on additional persons. Late applications may be considered by the Department upon a showing of good cause.
(d)(1) Any party in interest may file a memorandum supporting or opposing an application. Two copies of each memorandum shall be filed within 7 business days after the application is filed but no later than the proposed commencement date of the operations. Memoranda will be considered to the extent practicable; the Department may act on an application without waiting for supporting or opposing memoranda to be filed.
(2) Each memorandum shall set forth the reasons why the applications should be granted or denied, accompanied by whatever data, including affidavits, the Department is asked to consider.
(3) A copy of each memorandum shall be served on the applicant.
(e)(1) Unless otherwise ordered by the Department, each application and memorandum filed in response shall be available for public inspection at the Licensing Division of the Office of International Aviation immediately upon filing. Notice of the filing of all applications shall be published in the Department's Weekly List of Applications Filed.
(2) Any person objecting to public disclosure of any information in an application or memorandum must state the grounds for the objection in writing. If the Department finds that disclosure of all or part of the information should be withheld under applicable provisions of law, and the public interest does not require disclosure, it will order that the injurious information be withheld.
(a) The Department will issue a foreign aircraft permit if it finds that the proposed operations meet the requirements of this part and are in the public interest. Foreign aircraft permits may be conditioned or limited by the Department. Permits must be carried aboard the applicant's aircraft during flight over U.S. territory, and are not transferable.
(b) In determining whether to grant a particular application, the Department will consider, among other factors, the extent to which the country of the applicant's nationality deals with U.S. civil aircraft operators on the basis of substantial reciprocity, and whether the operation is otherwise in the public interest.
(a) Cargo documents. The holder of a permit for cargo operations shall issue a manifest or shipping document to its shipper with respect to each shipment.
(b) [Reserved]
(c) Contents of documents for passenger flights. The holder of a permit for passenger charters originating or terminating in the United States shall require each charterer to file with it prior to flight a list of names and addresses of all passengers to be transported on each flight.
(d) Reports of unused authority. All foreign operators of occasional planeload charters for which authority is granted must notify the Department, in writing, not later than 15 days after the expiration of their permits, or their failure to use this authority. The unused authority shall otherwise be deemed to have been exercised.
(a) Requirement of notice. Scheduled international air services proposed to be operated pursuant to the International Air Services Transit Agreement in transit across the United States may not be undertaken by foreign civil aircraft unless the operator of such aircraft, and (if other than the operator) the carrier offering such service to the public, has, not less than 30 days prior to the date of commencement of such service, filed a Notice of Proposed Transit Flights Pursuant to the International Air Services Transit Agreement in accordance with the provisions of paragraphs (b) and (c) of this section.
(b) Filing of the notice. An original and two copies of the Notice shall be filed with the Chief, Foreign Air Carrier Licensing Division, X-45, Office of International Aviation. Copies of the Notice shall be served upon the Department of State and the Administrator of the Federal Aviation Administration. The filing date shall be the date of actual receipt by the Department.
(c) Content of notice. A “Notice of Proposed Transit Flights Pursuant to the International Air Services Transit Agreement” shall be clearly labeled as such, and as a minimum shall set forth, with whatever detail may be necessary, the following information:
(1) The name, country or organization, and citizenship of the operator, and, if other than the operator, of the carrier offering the services to the public. If any interest (direct or indirect) in the operator or offeror of services is held by nationals of a country other than the country of organization or citizenship, the nature and extent of such interest must be fully disclosed. If any officer or director of the operator or carrier offering the services is a national of a country other than the country of organization or citizenship, the position of duties of such officer or director, and the officer and director's relevant position in relation to other officers and directors must similarly be fully disclosed. If the information required in this subsection has been previously supplied to the Department, the applicant may incorporate it by reference.
(2) The State of registration of the aircraft proposed to be operated.
(3) A full description of the proposed operations including the type of operations (passenger, property, mail, or combination), date of commencement, duration and frequency of flights, and routing (including each terminal and intermediate point to be served).
(4) A statement as to whether or not any advertisement or publication of the proposed operations has been made in the United States. If there has been any advertisement or publication of the operations in the United States, copies of all such advertisements or publications shall be included.
(5) Any change with respect to these matters (minor changes in schedules or routing excepted) shall also be filed with the Department.
(d) Authorized operations. If the operator and the carrier offering services to the public (if different from the operator) have filed a “Notice of Proposed Transit Flights Pursuant to the International Air Services Transit Agreement,” at least 30 days before the date of commencement of the proposed operations in accordance with paragraphs (a), (b), and (c) of this section, the described operations may be commenced and performed without further authorization from the Department, unless and until the Department issues an order notifying the operator and/or the carrier offering the services to the public that, considering the matters submitted in the Notice, the Department is of the view that a question may exist as to whether:
(1) The proposed services are authorized pursuant to the terms of the International Air Services Transit Agreement;
(2) Substantial ownership and effective control are vested in nationals of a State party to the International Air Services Transit Agreement;
(3) The proposed operations will be in compliance with the laws of the United States, the Department's rules, or the provisions of this section; or
(4) The operator or its government have performed their obligations under the International Air Services Transit Agreement.
(e) Prohibited operations. If the Department issues an order of notification as described in paragraph (d) of this section, neither the operator, nor the carrier offering the services to the public, shall commence the proposed operations, or, except as may be otherwise specified in the order, operate any flights subsequent to receipt of the order, unless and until the Department issues a foreign aircraft permit pursuant to the provisions of 49 U.S.C. 41703 and this part specifically authorizing such operations.
(f) Foreign aircraft permit—application and procedures. If the Department issues an Order of Notification as described in paragraph (d) of this section, the carrier's Notice of Proposed Transit Flights Pursuant to the International Air Services Transit Agreement shall be treated as an application for the required foreign aircraft permit, and further procedures on such application shall be as directed by the Department.
(g) Short notice filing. Nothing in this section shall be construed as precluding the filing of an application for a foreign aircraft permit to perform transit operations pursuant to the International Air Services Transit Agreement less than 30 days in advance of the proposed operation. No such flights shall be operated, however, unless or until a specific foreign aircraft permit has been issued by the Department.
(h) Nature of privilege conferred. Air transportation is not authorized under this section, and the burden rests upon each operator and carrier to show that the proposed operations will not constitute air transportation within the meaning of 49 U.S.C. Subtitle VII. In addition, each operator and carrier has the burden of demonstrating that the proposed operations are authorized by the International Air Services Transit Agreement, and that the appropriate authorization should not be withheld pursuant to section 5 of Article I thereof. Stopovers for the convenience or pleasure of the passengers are not authorized under this section and stops other than for strictly operational reasons shall not be made. The consolidation on the same aircraft of an operation under this section with a service authorized under 49 U.S.C. 41301 or 41709 is not authorized by this section. Any authorization or permit granted under this section is nontransferable, and may be withheld, revoked, suspended, withdrawn, or cancelled by the Department, without notice or hearing, if required by the public interest. Operators of aircraft registered in countries not parties to the International Air Services Transit Agreement shall make special application to the Department under § 375.70.
The operation of a foreign aircraft within the United States or over adjacent territorial waters in violation of the provisions of this part constitutes a violation of 49 U.S.C. Subtitle VII and of this chapter, and may, in addition, constitute a violation of the rules of the Federal Aviation Administration. Such operation makes the person or persons responsible for the violation or violations subject to a civil penalty as provided in 49 U.S.C. 46301, and to the alteration, amendment, modification, suspension or revocation of any permit issued under this part and of any U.S. certificate involved as provided in 49 U.S.C. 44709. Engaging in air transportation as defined in 49 U.S.C. Subtitle VII by a foreign aircraft without a foreign air carrier permit issued pursuant to 49 U.S.C. 41301 or an exemption, or in violation of the terms of such authority constitutes not only a violation of this part but of Title 49, subtitle VII, as well, which entails a criminal penalty as set forth in 49 U.S.C. 46316.
Any person desiring to navigate a foreign civil aircraft within the United States other than as specifically provided in this part may petition the Department for a special authorization to conduct the particular flight or series of flights. Such authorization may be issued only if the Department finds that the proposed operation is fully consistent with the applicable law, that the applicant's homeland grants a similar privilege with respect to operators of U.S.-registered aircraft, and that the proposed operation is in the interest of the public of the United States.
As used in this part:
Authorization means any agency certificate, approval, statutory exemption or other form of permission granted pursuant to 49 U.S.C. 40102, 41102, 41302, 41309, and 41708. Where any operating authorization creates more than one separate route, each of these shall be deemed a separate authorization for the purposes of this part.
Renewal application means any application filed in conformity with the requirements of this part which requests either a renewal or a new license and is intended to invoke the provisions of the last sentence of 5 U.S.C. 558(c).
Route means an authorization which permits an air carrier to render unlimited regularly scheduled service between a specifically designated pair of terminal points and intermediate points, if any.
(a) This part implements the last sentence of 5 U.S.C. 558(c) with regard to temporary authorizations granted by the Department.
The last sentence of 5 U.S.C. 558(c) provides: “When the licensee has made timely and sufficient application for a renewal or a new license in accordance with agency rules, a license with reference to an activity of a continuing nature does not expire until the application has been finally determined by the agency.”
(b) Nothing in this part prevents the Department from terminating at any time, in accordance with law, any authorization or any extension of an authorization.
(c) Nothing in this part constitutes a determination that any given authorization is a “license with reference to an activity of a continuing nature” within the meaning of 5 U.S.C. 558(c).
The Department hereby determines that the following authorizations are not licenses “with reference to an activity of a continuing nature” within the meaning of 5 U.S.C. 558(c):
(a) Authorizations granted for a specified period of 180 days or less; and
(b) Authorizations, other than those granted under 49 U.S.C. 41102, that by their terms are subject to termination at an uncertain date upon the happening of an event, including fulfillment of a condition subsequent or occurrence of a contingency.
Unless granted under 49 U.S.C. 41102, an authorization that by its terms is subject to termination alternatively, either at an uncertain date upon the happening of an event or upon the arrival of a specified date:
(a) Will not be considered a “license with reference to an activity of a continuing nature” within the meaning of 5 U.S.C. 558(c), if the event occurs before the specified date; and
(b) Ordinarily (subject to interpretation under § 377.5) will be considered such a license, if the event does not occur before the specified date and that date is more than 180 days after the effective date of the authorization.
(a) The Department will determine upon written request by the holder of a temporary authorization or by any competitively affected air carrier or foreign air carrier, or upon its own initiative, whether the temporary authorization is a “license with reference to an activity of a continuing nature” within the meaning of 5 U.S.C. 558(c).
(b) A written request for such a Department determination shall be filed at least 60 days before the deadline set forth in § 377.10 for a timely renewal application.
(c) The filing of such a written request shall not affect the timeliness requirements for renewal applications that are set forth in § 377.10 or any other applicable Department rule or order.
(a) Identification of authorization covered by renewal application. Each renewal application shall identify the authorization or authorizations to which it is intended to relate. The application shall indicate the applicant's intention to rely upon 5 U.S.C. 558(c) as implemented by this part. In case of applications for renewal of an authorization for route service, the renewal application shall specifically identify the separate routes which the applicant proposes to continue serving pursuant to the expiring authorization, pending final determination of the renewal application.
(b) Contents of renewal application. The application must contain all the information required by law and the Department's regulations, and meet the requirements thereof as to form. The new authorization sought need not be of the same duration as the expiring authorization. If the application relates to renewal of route authority, it must contain, as a minimum, a request for renewed authority to render route service between the terminals named in each separate route for which renewal is requested.
(c) Timeliness. The application must be filed and served in compliance with applicable law and the Department's regulations at least 60 days before the expiration date of the outstanding temporary authorization, except that:
(1) For certificates issued under 49 U.S.C. 41102 with a specified expiration date, the deadline is 180 days before the expiration date;
(2) For certificates issued under 49 U.S.C. 41102 that terminate by their terms upon the happening of an event that could not be foreseen, the deadline is 30 days after the time that the carrier has notice that the event will occur or has occurred;
(3) For foreign air carrier permits issued under 49 U.S.C. 41301 and exemptions issued under 49 U.S.C. 41708 to non-U.S. citizens, the deadline is the expiration date itself;
(4) For renewal by substantially equivalent certificate authority of fixed term route authorizations granted by exemption and for interim extension of the exemption, pursuant to § 399.18 of this chapter, the deadline is 90 days before the expiration date; and
(5) Nothing in this part supersedes a requirement for earlier filing contained in any law, Department rule or order, or temporary authorization.
(d) Effect. In the case of authorizations which constitute licenses with reference to activities of a continuing nature within the meaning of 5 U.S.C. 558(c), the filing of an application complying in all respects with the requirements of paragraphs (a) through (c) of this section shall extend the authorization to which it relates as then outstanding in its entirety, together with all applicable terms, conditions and limitations, until the application has been finally determined by the Department. In the case of routes granted under 49 U.S.C. 41102, the duty to render adequate service continues to attach to every point as provided in the expired authorization which is extended pursuant to this provision. The date of final determination of the application shall be the date when the final order determining the application takes effect, or when the applicable period for filing of petitions for rehearing, reargument or reconsideration expires, or when a timely filed petition therefor is denied, whichever occurs latest.
When the Department determines that a renewal application does not comply with the requirements of this part, or that it does not relate to a license with reference to an activity of a continuing nature, it will so notify the applicant. The applicant may amend his application to cure the deficiency as a matter of right at any time prior to the date when the application was due pursuant to § 377.10(c).
This part applies to Public Charter air transportation of passengers in interstate or foreign air transportation, whether furnished by direct air carriers or Public Charter operators. This part also relieves such charter operators from various provisions of subtitle VII of Title 49 of the United States Code (statute), for the purpose of enabling them to provide Public Charters utilizing aircraft chartered from such direct air carriers. It also declines jurisdiction over foreign Public Charter operators operating foreign-originating Public Charters.
For the purposes of this part:
Certificated air carrier means a U.S. direct air carrier holding a certificate issued under the statute.
Charter flight means a flight operated under the terms of a charter contract between a direct air carrier and its customer. It does not include scheduled air transportation, scheduled foreign air transportation, or nonscheduled cargo air transportation, sold on an individually ticketed or individually waybilled basis.
Direct air carrier means a certificated commuter or foreign air carrier, or an air taxi operator registered under part 298 of this chapter, or a Canadian charter air taxi operator registered under part 294 of this chapter, that directly engages in the operation of aircraft under a certificate, authorization, permit or exemption issued by the Department.
Educational institution means a school that is operated as such on a year-round basis and is empowered to grant academic degrees or secondary school diplomas by any government in the United States or by a foreign government.
Foreign air carrier means a direct air carrier that holds a foreign air carrier permit issued under the statute or an exemption issued under the statute authorizing direct foreign air transportation.
Foreign Public Charter operator means an indirect air carrier which is not a citizen of the United States as defined in the statute, that is authorized to engage in the formation of groups for transportation on Public Charters in accordance with this part.
Indirect air carrier means any person who undertakes to engage indirectly in air transportation operations and who uses for such transportation the services of a direct air carrier.
Public Charter means a one-way or round-trip charter flight to be performed by one or more direct air carriers that is arranged and sponsored by a charter operator.
Public Charter operator means a U.S. or foreign Public Charter operator.
Security agreement means:
(1) A surety bond issued by a company—
(i) That is listed in the Best's Insurance Reports (Fire and Casualty) with a general policyholders' rating of “A” or better, or
(ii) That is listed in the U.S. Department of Treasury's notice listing companies holding Certificates of Authority as acceptable sureties on Federal bonds and as acceptable reinsuring companies, published in the
(2) A Surety trust agreement or a letter-of-credit, issued by a Federal Deposit Insurance Corporation-insured financial institution, which provides substantially equivalent protection.
Sub-operator means a Public Charter operator that has contracted for its charter seats from a Public Charter operator that has contracted from one or more direct air carriers. A sub-operator is itself an indirect air carrier, not an agent of the Public Charter operator from which it has obtained its seat.
U.S. Public Charter operator means an indirect air carrier that is a citizen of the United States as defined in 49 U.S.C. 40102(a) and that is authorized to engage in the formation of groups for transportation on Public Charters in accordance with this part.
(a) Public Charters may be operated on a one-way or round-trip basis, with no minimum group or contract size. Public Charters may be sold on an air-only basis, or with mandatory or optional land arrangements.
(b) A U.S. Public Charter operator operating a Public Charter which originates in a foreign country shall not be subject to the requirements of §§ 380.25, 380.28, 380.30 through 380.35.
(c) The Department declines to exercise jurisdiction over a foreign Public Charter operator which operates a Public Charter originating in a foreign country, but reserves the right to exercise its jurisdiction over any foreign Public Charter operator at any time its finds that such action is in the public interest.
(d)(1) An educational institution operating a Public Charter need not comply with the financial security requirements of § 380.34 if each student participant in the charter is enrolled in a formal academic course of study outside the United States, sponsored by or in conjunction with that institution, that is of at least four weeks' duration.
(2) The spouse, children, and parents of a student participant may accompany the participant on a charter operated under this section.
(e) The Department, upon application or on its own initiative, may waive any of the provision of this part if it finds such action to be in the public interest.
In the case of any violation of the provision of 49 U.S.C. Subtitle VII or of this part, or any other rule, regulations, or order issued under the Statute, the violator may be subject to a proceeding pursuant to the Statute before the Department or a U.S district court, as the case may be, to compel compliance therewith; to civil penalties pursuant to the provisions of 49 U.S.C. Subtitle VII, or to criminal penalties pursuant to the provisions of 49 U.S.C. Subtitle VII, or other lawful sanctions.
Public Charters under this part shall meet the following requirements:
(a)-(b) [Reserved]
(c) If the charter is on a round-trip basis, the departing flight and returning need not be performed by the same direct air carrier.
(d) The air transportation portion of the charter must be performed by direct air carriers that hold authority under Chapter 411 and 413 of 49 U.S.C. Subtitle VII, or are operating under 14 CFR part 298, except that only U.S. citizen direct air carriers may provide air transportation for operations in interstate air transportation.
Except for air taxi operators and commuter air carriers (which are governed by 14 CFR 298.38) and Canadian charter air taxi operators (which are governed by 14 CFR 294.32), the direct air carrier(s) shall be paid in full for the cost of the charter transportation (for both legs, if a round-trip charter) prior to the scheduled date of flight departure, as provided for in the basic charter regulations applicable to the direct air carrier(s) under part 212 of this chapter.
(a) The charter operator may not cancel a charter for any reason (including insufficient participation), except for circumstances that make it physically impossible to perform the charter trip, less than 10 days before the scheduled date of departure of the outbound trip.
(b) If the charter operator cancels 10 or more days before the scheduled date of departure, the operator must so notify each participant in writing within 7 days after the cancellation but in any event not less than 10 days before the scheduled departure date of the outbound trip. If a charter is canceled less than 10 days before scheduled departure (i.e., for circumstances that make it physically impossible to perform the charter trip), the operator must get the message to each participant as soon as possible.
The charter operator shall not accept any participant's payment for return transportation unless the participant has specified a particular return flight.
Nothing contained in this part shall preclude a charter operator from utilizing any unused space on an aircraft by it for a Public Charter for the transportation, on a free or reduced basis, of such charter operator's employees, directors, and officers, and parents and immediate families of such persons.
Substitutes may be arranged for charter participants at any time preceding departure. Participants who provide the charter operator or its sales agent with a substitute participant, or who are substituted for by a participant found by the operator, shall receive a refund of all moneys paid to the operator, except that the operator may reserve the right to retain an administrative fee not to exceed $25 for effecting the substitution.
(a) This section shall apply only to charters conducted by educational institutions for charter groups comprised of bona fide participants in a formal academic course of study abroad which is of at least 4 weeks duration. The charter group may also include a student participant's immediate family (spouse, children, and parents). Except as modified in this section, all terms and conditions of this part applicable to the operation of Public Charters shall apply to charters conducted by educational institutions.
(b) An educational institution conducting such a charter shall submit to theOffice of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, a statement, signed by its president, certifying that it meets the definition of “educational institution” set forth in § 380.2.
(c) An educational institution conducting such a charter need not comply with the requirements of §§ 380.25, 380.28, 380.34, and 380.35.
(a) To the extent necessary to permit them to organize and arrange public charters, charter operators and foreign charter operators are hereby relieved from the following provisions of Subtitle VII of Title 49 of the U.S. Code, only if and so long as they comply with the provisions and the conditions imposed by this part:
(1) Chapter 411.
(2) Chapter 413.
(3) Chapter 415.
(4) Chapter 419.
(5) If foreign charter operators receive interstate air transportation rights, any other provision of 49 U.S.C. Subtitle VII that would otherwise prohibit them from organizing and arranging Public Charters in interstate air transportation.
(b) A charter operator who is a citizen of the United States shall not be subject to the following requirements with respect to Public Charters that originate in a foreign country: §§ 380.25, 380.28, and 380.30 through 380.35.
The Department reserves the power to deny the exemption authority of any charter operator, without hearing, if it finds that such action is necessary in the public interest or is otherwise necessary in order to protect the rights of the traveling public.
A charter operator may organize and operate a Public Charter only in accordance with this part, and subject to the following conditions:
(a) No charter operator shall operate, sell, receive money from any prospective participant for, or offer to sell or otherwise advertise a charter or series of charters until the Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division , has accepted a Public Charter prospectus as described in § 380.28.
(b) If within 10 days after the filing the Department notifies the charter operator that it has rejected the prospectus for noncompliance with this part, the prohibitions set forth in paragraph (a) of this section shall continue until the Department advises that it has accepted the prospectus.
(c) The following amendments to a filed prospectus may be made:
(1) The addition or cancellation of any flight;
(2) A change in any flight, date, origin city or destination city; and
(3) A change in or addition of any direct air carrier, securer, or depository bank.
(d) The charter operator shall amend the prospectus to reflect any change described in paragraph (c) of this section. The amendment shall be filed in the manner and form used for the original prospectus. It shall become effective upon filing unless the operator is otherwise notified.
(e) The charter operator shall notify the depository bank (if any) and the securer of any change described in paragraph (c) of this section not later than when filing a prospectus amendment to reflect the change. If the securer is unable to adjust the security agreement as required by the change, the Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division shall be advised of this fact within 2 business days.
No charter operator shall make, give, or cause any undue or unreasonable preference or advantage to any particular person, port, locality, or description of traffic in air transportation in any respect whatsoever, or subject any particular person, port, locality, or description of traffic in air transportation to any unjust discrimination or any undue or unreasonable prejudice or disadvantage in any respect whatsoever.
No charter operator shall engage in unfair or deceptive practices or unfair methods of competition in air transportation or the sale thereof.
(a) The charter prospectus shall include an original and two copies of the following:
(1) From the charter operator and the direct air carrier:
(i) The proposed flight schedule, listing the origin and destination cities, dates, type of aircraft, number of seats, and charter price for each flight;
(ii) The tour itinerary (if any) including hotels (name and length of stay at each), and other ground accommodations and services; and
(iii) A statement that they have entered into a charter contract that covers the proposed flight schedule, that the contract complies with all applicable Department regulations, and that a copy of the schedule has been sent to the depository bank (if any) and the operator's securer. The schedule shall be identified with a number assigned by the charter operator that does not duplicate any schedule numbers assigned by the operator to other proposed flight schedules. The proposed flight schedule, tour itinerary (if any), and statement shall be filed on OST Form 4532.
(2)(i) From the charter operator and the securer, a statement:
(A) That they have entered into a security agreement covering the proposed flight schedule that complies with § 380.34, including the amount of the coverage, the number assigned to it by the securer, and the amount of any outstanding claims against it, and
(B) That the securer has received a copy of the proposed flight schedule. The statement shall identify the proposed flight schedule by the schedule number assigned by the charter operator in accordance with paragraph (a) of this section. If there are any outstanding claims against the agreement, the charter operator and securer shall also state that they have executed a rider or amendment increasing the coverage by the amount of the claims, or that the securer will separately pay any claims for which it may be liable without impairing the agreement or reducing the amount of its coverage.
(ii) These statements shall be filed an OST Form 4533.
(3) If a depository agreement is used, a statement from the charter operator, the direct air carrier, and the depository bank:
(i) That they have entered into a depository agreement covering the proposed flight schedule that complies with § 380.34, and
(ii) That the bank has received a copy of the proposed flight schedule by the schedule number assigned by the charter operator in accordance with paragraph (a)(1) of this section. This statement shall be filed on OST Form 4534.
(b) Each of the statements described in paragraph (a) of this section shall also include the names and addresses of the parties to it, and the originals shall be signed by those parties.
(c) The prospectus may cover a series of charters performed by one charter operator if the departure of the last charter is not more than one year after the departure of the first.
(d) If the prospectus covers a series of charters and the air transportation will be performed by more than one direct air carrier, the prospectus shall include separate statements in accordance with paragraphs (a)(1) and (a)(3) of this section to cover the flights that will be performed by each direct carrier.
The charter contract between the charter operator or foreign charter operator and the direct air carrier shall evidence a binding commitment on the part of the carrier to furnish the air transportation required for the trip or trips covered by the contract.
(a) All solicitation materials for a Public Charter shall include the name of the charter operator and the name of the direct air carrier.
(b) Any solicitation material that states a price per passenger shall also include one of the following:
(1) A statement referring to the operator-participant contract for further information about conditions applicable to the charter; or
(2) The full text of the operator-participant contract.
(c) Except as set forth in § 380.33a for operator's option plan contracts, if the charter prospectus names alternative dates or cities, any solicitation material that states a price per passenger shall also state that the actual dates or cities have not yet been selected, if that is the case.
(d) Any solicitation material that names a hotel but does not name every hotel named in the operator-participant contract shall also state that substitutions may be made.
(e) In any solicitation material from a direct air carrier, indirect air carrier, or an agent of either, for a charter, charter tour (i.e., a combination of air transportation and ground accommodations), or a charter tour component (e.g., a hotel stay), any price stated for such charter, tour, or component shall be the entire price to be paid by the participants to the air carrier, or agent, for such charter, tour, or component.
(a) Except for telephone sales for which payment is made by credit card as described in paragraph (b) of this section, the charter operator shall not accept payment from or on behalf of a prospective participant unless the participant has agreed to the conditions of the charter by signing an operator-participant contract as described in § 380.32. If a member of a group that will travel together pays for the group, that member may sign the contract on behalf of the group.
(b) For telephone sales only, the charter operator may accept payment by credit card without the participant having first signed an operator-participant contract provided that the charter operator first advises the customer:
(1) That he or she has the right to receive the operator-participant contract before making a booking;
(2) That the operator-participant contract will be mailed to the participant within 24 hours of accepting payment by credit card; and
(3) That the operator-participant contract must be signed, and the signed portion returned to the operator, before travel.
(4) A full refund must be made of any amounts charged to a credit card for any participant who cancels before the operator-participant contract is signed.
(c) The contract form may include a space that participants may check to authorize the charter operator to retain their money while attempting to make other arrangements for them if there is no space available on the flight or on specific alternative flights they have requested.
(d) If there is no space available on the flight or specific alternative flights requested by the participant the operator shall return all the participant's money within 7 days after receiving it unless the participant, in accordance with paragraph (c) of this section, has authorized the operator to retain the payments while the operator attempts to make other arrangements for the participant. If the operator retains the payments while attempting to make other arrangements for the participant, it shall notify the participant of the fact within 7 days after receiving the payments, but in no event later than the departure. For the purpose of the time periods in this paragraph, receipt of money by a travel agent on behalf of a charter operator will not be considered as receipt by the operator.
(e) Except as set forth in § 380.33a for operator's option plan contracts, the operator-participant contract shall not specify alternative dates for the outbound or return flights, or alternative origin or destination cities for any flight leg.
(f) The contract form shall be printed in 7-point or larger type. The statements required by paragraph (a), (f), (h), (l), (r), (s), and (x) of § 380.32 shall be printed so as to contrast with the rest of the contract by the use of bold-faced type, capital letters, or a type size that is at least 50 percent larger than that used for the rest of the contract.
(g) The contract form shall include a space that participants may check to indicate that they wish to be furnished details of trip cancellation, health, and accident insurance.
(h) The contract form shall be designed so as to enable participants to retain a copy of the general terms and conditions after signing it. The specific information supplied by participants (such as choices of dates, cities, or other options) need not be retainable.
Contracts between charter operators and charter participants shall state:
(a) The name and complete mailing address of the charter operator;
(b) The name of the direct air carrier, the dollar amounts of that carrier's liability limitations for participant's baggage, the type and capacity of the aircraft to be used for the flight, and the conditions governing aircraft-equipment substitutions;
(c) The dates of the outbound and return flights;
(d) The origin and destination cities of each flight leg;
(e) The amount and schedule of payments;
(f) If a depository agreement as provided in § 380.34(b) is used: That all checks, money orders, and credit card drafts must be made payable to the escrow account at the depository bank (identifying bank)
(g) The tour itinerary, if any, including the name and location of the hotels, length of stay at each, and other ground accommodations and services that are part of the tour;
(h) That the charter operator may not cancel the charter less than 10 days before the scheduled departure date, except for circumstances that make it physically impossible to perform the charter tip;
(i) That if a charter is canceled 10 or more days before the scheduled departure date, the operator will notify the participant in writing within 7 days after the cancellation, but in any event at least 10 days before the scheduled departure;
(j) That if a charter is canceled less than 10 days before departure (i.e., for circumstances that make it physically impossible to perform the charter trip), the operator will get the message to the participant as soon as possible;
(k) That if the charter is canceled, a refund will be made to the participant within 14 days after the cancellation;
(l) The right to refunds if the participant changes plans is limited;
(m) The right to refunds if the participant changes plans, including
(1) The right to a full refund, for sales made by credit card, until an operator-participant contract is signed; and
(2) That any participant who wishes to cancel will receive a full refund (less any applicable administrative fee, not to exceed $25) upon providing a substitute participant to the charter operator or its sales agent, or upon being substituted for by a participant found by the charter operator;
(n) The procedure for obtaining the refunds described in paragraph (m) of this section, including that they will be made within 14 days after the cancellation or substitution;
(o) The meaning of “major change”, as set forth in § 380.33(a);
(p) That if the charter operator knows of a major change 10 or more days before scheduled departure, the operator will notify the participant of the change within 7 days after first knowing of it, but in any event at least 10 days before scheduled departure;
(q) That if the operator first knows of a major change less than 10 days before scheduled departure, the operator will get the message to the participant as soon as possible;
(r) That within 7 days after receiving a pre-departure notification of a major change but in no event later than departure, the participant may cancel, and that a full refund will be made to the participant within 14 days after canceling;
(s) That upon a post-departure notification of a major change, the participant may reject the substituted hotel or the changed date, origin, or destination of a flight leg and be sent, within 14 days after the return date named in the contract, a refund of the portion of his payment allocable to the hotel accommodations or air transportation not provided;
(t) That the participant's rights and remedies set forth in the contract, including the procedures for major changes, shall be in addition to any other rights or remedies available under applicable law, although the operator may condition a refund on the participant's waiver of additional remedies;
(u) That trip cancellation, health, and accident insurance is available and that the operator will furnish details of the insurance to participants who check the space provided for this purpose on the contract form;
(v) The name and address of the surety company or bank issuing the security agreement; and that unless the charter participant files a claim with the charter operator or, if he is unavailable, with the securer, within 60 days after termination of the charter, the securer shall be released from all liability under the security agreement to that participant. Termination means the date of arrival (or in the case of a canceled charter, the intended date of arrival) of the return flight. If there is no return flight in a participant's itinerary, termination means the date or intended date of departure of the last flight in the participant's itinerary;
(w) For international flights only: That additional restrictions may be imposed on the flight by the foreign government involved, and that if landing rights are denied by a foreign government the flight will be canceled with a full refund to the participant. This statement need not be included in the contract if—
(1) The prospectus includes a certification by the charter operator and the direct air carrier that landing rights have been obtained from all the foreign governments involved, and
(2) All the foreign governments involved have adopted country-of-origin rules for charterworthiness;
(x) That the charter operator is the principal and is responsible to the participants for all services and accommodations offered in connection with the charter. However, the contract may expressly provide that the charter operator, unless negligent, is not responsible for personal injury or property damage caused by any direct air carrier, hotel or other supplier of services in connection with the charter.
(a) For the purposes of this section, “major change” means any of the following:
(1) A change in the departure or return date shown in the operator-participant contract, (or, if the contract states alternative dates, the date designated to the participant by the charter operator in accordance with § 380.33a(b)), unless the change results from a flight delay. In any event, however, a date change that the operator knows of more than 2 days before the scheduled flight date, and any delay of more than 48 hours, will be considered a major change.
(2) A change in the origin or destination city shown in the operator-participant contract for any flight leg (or, if the contract states alternative cities, the city designated to the participant by the operator in accordance with § 380.33a(b)), unless the change affects only the order in which cities named in a tour package are visited.
(3) A substitution of any hotel that is not named in the operator-participant contract; and
(4) A price increase to the participant that occurs 10 or more days before departure and results in an aggregate price increase of more than 10 percent.
(b) The charter operator shall not increase the price to any participant less than 10 days before departure.
(c) The charter operator shall notify all participants of major changes, as required by the operator-participant contracts. This notification shall include the participants' rights to refunds required to be described in the operator-participant contract. The operator shall, if applicable, also notify the participants that the acceptance of a refund constitutes a waiver of their legal rights.
(d) Except as otherwise specified, notifications and refunds required by this part are considered made at the time they are mailed or sent by an equivalent method.
(e) The charter operator shall make all refunds required to be described in the operator-participant contract within the time limits set forth in paragraphs (k), (n), (r), and (s) of § 380.32, as applicable.
(a) For the purposes of this part, an operator's option plan contract that states alternative dates for the outbound or return flights, or alternative origin or destination cities for any flight leg.
(b) Operator's option plan contracts shall state, in addition to the information required by § 380.32, that the selection of the actual dates or cities, as applicable, is at the charter operator's option and will not entitle the participant to a refund, and that the operator will notify the participant of the actual dates or cities at least 10 days before the earliest of any alternative dates for the outbound flight.
(c) Contract forms for all operator's option plan contracts shall be labeled “OPERATOR'S OPTION PLAN” in bold-faced capital letters at least
(d) Any solicitation material that states a price per passenger for an operator's option plan contract shall clearly and conspicuously—
(1) Identify that price as being for the operator's option plan,
(2) Name all the possible dates or cities, as applicable, and
(3) State that the selection of the actual dates or cities is at the charter operator's option.
(e) Charter operators and their agents shall not misrepresent to prospective participants, orally, in solicitation materials, or otherwise, the probability that any particular city or date will be selected from among the alternatives named in an operator's option plan contract.
(f) The charter operator shall notify all participants with operator's option plan contracts of the actual dates or cities, as applicable, as required by contracts.
(a) Except as provided in paragraph (b) of this section, the charter operator or foreign charter operator shall furnish a security agreement in an amount for not less than the charter price for the air transportation, if only air transportation is involved, or, if the charter involves land accommodations in addition to air transportation, a security agreement in one of the following amounts dependent upon the length of the charter or series of charters:
(1) For a charter or series of charters of 14 days or less, security in an amount of not less than the charter price for the air transportation to be furnished in connection with such charter or series of charters;
(2) For a charter or series of charters of more than 14 days but less than 28 days security in an amount of not less than twice the charter price; and
(3) For a charter or series of charters of 28 days or more, security in an amount of not less than three times the charter price: Provided, however, That the liability of the securer to any charter participant shall not exceed amounts paid by that participant to the charter operator with respect to the charter.
(b) The direct air carrier and the charter operator or foreign charter operator may elect, in lieu of furnishing a security agreement as provided under paragraph (a) of this section, to comply with the requirements of paragraphs (b)(1) and (b)(2) of this section, as follows:
(1) The charter operator shall furnish a security agreement in an amount of at least $10,000 times the number of flights, except that the amount need not be more than $200,000. The liability of the securer to any charter participant shall not exceed the amount paid by the participant to the charter operator for that charter.
(2) The direct air carrier and charter operator or foreign charter operator shall enter into an agreement with a designated bank, the terms of which shall provide that all payments by charter participants paid to charter operators or foreign charter operators and their retail travel agents shall be deposited with and maintained by the bank subject to the following conditions:
(i) On sales made to charter participants by charter operators or foreign charter operators the participant shall pay by check, money order, or credit card draft payable to the bank;
(ii) The bank shall pay the direct air carrier the charter price for the transportation not earlier than 60 days (including day of departure) prior to the scheduled day of departure of the originating or returning flight, upon certification of the departure date by the air carrier: Provided, That, in the case of a round trip charter contract to be performed by one carrier, the total round trip charter price shall be paid to the carrier not earlier than 60 days prior to the scheduled day of departure of the originating flight;
(iii) The bank shall reimburse the charter operator or foreign charter operator for refunds made by the latter to the charter participant upon written notification from the charter operator or foreign charter operator;
(iv) If the charter operator, foreign charter operator or the direct air carrier notifies the bank that a charter has been canceled, the bank shall make applicable refunds directly to the charter participants;
(v) After the charter price has been paid in full to the direct air carrier, the bank shall pay funds from the account directly to the hotels, sightseeing enterprises, or other persons or companies furnishing ground accommodations and services, if any, in connection with the charter or series of charters upon presentation to the bank of vendors' bills and upon certification by the charter operator or foreign charter operator of the amounts payable for such ground accommodations and services and the person or companies to whom payment is to be made: Provided, however, That the total amounts paid by the bank pursuant to paragraphs (b)(2) (ii) and (v) of this section shall not exceed either the total cost of the air transportation, or 80 percent of the total deposits received by the bank less any refunds made to charter participants pursuant to paragraphs (b)(2) (ii) and (iv) of this section, whichever is greater;
(vi) As used in this section, the term “bank” means a bank insured by the Federal Deposit Insurance Corporation;
(vii) The bank shall maintain a separate accounting for each charter group;
(viii) Notwithstanding any other provisions of this section, the amount of total cash deposits required to be maintained in the depository account of the bank may be reduced by one or both of the following: The amount of the security agreement in the form prescribed in this section in excess of the minimum coverage required by paragraph (b)(1) of this section; an escrow with the designated bank of Federal, State, or municipal bonds or other securities, consisting of certificates of deposit issued by banks having a stated policy of redeeming such certificates before maturity at the request of the holder (subject only to such interest penalties or other conditions as may be required by law), or negotiable securities which are publicly traded on a securities exchange, all such securities to be made payable to the escrow account: Provided, That such other securities shall be substituted in an amount no greater than 80 percent of the total market value of the escrow account at the time of such substitution: And provided, further, That should the market value of such other securities subsequently decrease, from time to time, then additional cash or securities qualified for investment hereunder shall promptly be added to the escrow account, in an amount equal to the amount of such decreased value; and
(ix) Except as provided in paragraph (b)(2)(i), (iii), (iv), (v), and (viii) of this section, the bank shall not pay out any funds from the account prior to 2 banking days after completion of each charter, when the balance in the account shall be paid the charter operator or foreign charter operator, upon certification of the completion date by the direct air carrier: Provided, however, That if the Charter involves air transportation only and the bank has paid the direct air carrier(s) the charter price for the originating flight, and the returning flight if any, and has paid all refunds due to participants, as provided in paragraph (b)(2)(ii) and (iii), respectively, of this section, then the bank may pay the balance in the account to the charter operator upon certification by the direct air carrier performing the originating flight that such flight has in fact departed.
(c)(1) The security agreement required under paragraphs (a) and (b) of this section shall insure the financial responsibility of the charter operator or foreign charter operator and the supplying of the transportation and all other accommodations, services, and facilities in accordance with the contract between the charter operator or foreign charter operator and the charter participants.
(2) The security agreement may be either:
(i) A surety bond in the form set forth as appendix A to this part;
(ii) A surety trust agreement in the form set forth as appendix B to this part; or
(iii) An arrangement with a bank (for instance, a standby letter of credit) that provides protection of charter participants' funds equivalent to or greater than that provided by the Bond in appendix A. An arrangement that furnishes a lesser degree of protection than would be provided under the bond shall be invalid to that extent, and instead the bank, the charter operator or foreign charter operator, and the charter participants shall have the same rights and liabilities as provided under a bond in the form of appendix A. If the arrangement does not give as much protection as a bond against the risk of the charter operator's bankruptcy, the bank shall be liable in the event of bankruptcy to the same extent as if it had entered into a bond.
(3) Any agreement under paragraph (c)(2)(iii) of this section shall include a statement that, in the event that the other provisions of the agreement do not provide protection to charter participants comparable to that provided under a bond in the form of appendix A, the bank shall assume, for the benefit of the charter participants, all the liabilities it would have if it entered into the bond.
(4) The security agreement shall be effective on or before the date the charter prospectus is filed with the Department.
(5) The security agreement shall be specifically identified by the issuing securer with a numbering system so that the Department can identify the security agreement with the specific charter or charters to which it relates. These data may be set forth in an addendum attached to the security agreement, which addendum must be signed by the charter operator or foreign charter operator and the securer.
(6) When security is provided by a surety bond, such bond shall be issued by a bonding or surety company that is listed in Best's Insurance Reports (Fire and Casualty) with a general policyholders' rating of “A” or better. The bonding or surety company shall be one legally authorized to issue bonds of that type in the State in which the charter originates. For purposes of this section the term “State” includes any territory or possession of the United States, or the District of Columbia.
(7) When security is provided by a security agreement other than a bond, the agreement shall be issued by a national bank complying with the provisions of 12 CFR 7.7010(a), or by a State bank complying with applicable State laws that give authority to issue such agreements, and all such banks must be insured by the Federal Deposit Insurance Corporation.
(d) The security agreement required by this section shall provide that unless the charter participant files a claim with the charter operator or foreign charter operator, or, if it is unavailable, with the securer, within 60 days after termination of the charter, the securer shall be released from all liability under the security agreement to such charter participant. Terminations means the date of arrival (or in the case of a canceled charter, the intended date of arrival) of the return flight. If there is no return flight in a participant's itinerary, termination means the date or intended date of departure of the last flight in the participant's itinerary.
(a) A direct air carrier may substitute its own security agreement and/or depository arrangements, as specified in this section, for those required of the charter operator under § 380.34, but only for charter trips in which all the air transportation is provided by one direct air carrier. Charter operators are relieved from § 380.34 to the extent that the direct carrier substitutes its own arrangements.
(b) The direct air carrier may substitute its security agreement for all of the arrangements required of the charter operator under § 380.34 (a) or (b). Alternatively, it may substitute its depository agreement for the depository agreement required of the charter operator under § 380.34(b)(2). If the direct carrier substitutes its depository agreement, it may also obtain and substitute a security agreement for the one otherwise required of the charter operator under § 380.34(b)(1). If the direct carrier substitutes its depository agreement only, the charter operator must supply the security agreement required under § 380.34(b)(1).
(c) If the direct carrier substitutes a security agreement for all the charter operator's requirements under § 380.34, the charter operator shall include in the charter prospectus, in place of the information in § 380.28(a)(2) regarding the charter operator's security agreement:
(1) A statement by the direct air carrier on OST Form 4535 that it will take responsibility for all charter participant payments (including those for ground accommodations and services) and for the fulfillment of all the charter operator's contractual and regulatory obligations to the charter participants.
(2) A statement from the direct air carrier and its securer (under § 212.12 of this chapter), OST Form 4533, that they have entered into a security agreement assuring the direct air carrier's responsibilities to charter participants under this section in an unlimited amount (except that the liability of the securer with respect to any charter participant may be limited to the charter price paid by or on behalf of such participant), and that the securer has received a copy of the proposed flight schedule identified by the schedule number assigned by the charter operator under this part.
(d) A substitute depository agreement under this section shall be signed by the direct air carrier, the charter operator, and the depository bank, and shall provide, in addition to existing requirements under § 212.8 of this chapter, that:
(1) Payments by or on behalf of charter participants shall be allocated to the flight accounts matching the participant's itinerary in the following way: Each account shall have allocated to it the charter cost of the participant's air transportation on that flight. The portion of each payment not intended for air transportation services shall be allocated to the account for the return flight in the participant's itinerary. If there is only one flight in the itinerary, the entire payment shall be allocated to that account.
(2) The bank shall pay funds from a flight account directly to the hotels, sightseeing enterprises, or other persons or companies furnishing ground accommodations and services, if any, in connection with the charter flight, upon presentation to the bank of vendor's bills and upon certification by the person who contracted for the ground accommodations or services of the amounts payable and the persons or companies to whom payment is to be made, except that no disbursement shall be made that would reduce the balance in the account below the charter cost of the flight.
(3) On sales made to participants by a person other than a retail travel agent, the participant shall pay by check, money order, or credit card draft payable to the bank. On sales made to participants by a retail travel agent, payments shall be made in the same manner unless the agent deducts its commission and remits the balance to the bank by check, money order, or electronic transfer. The agent may deduct its commission only if it agrees in writing with its principal (the charter operator or direct air carrier, as applicable) that, if the charter is canceled, the agent shall remit to the bank the full amount of the commission previously deducted or received within 10 days after receipt of notification of the cancellation. The depository bank shall pay refunds directly to participants according to the terms of the operator-participant contract and the terms of this part.
(e) If the direct carrier substitutes a security agreement in addition to substituting a depository agreement, the charter prospectus information must include all the information required by paragraphs (c) and (d) of this section, except for the amount of the security agreement. That agreement shall be in an amount of at least $10,000 times the number of flights, except that the amount need not be more than $200,000.
(f) A copy of the depository agreement under paragraph (d) of this section shall be filed with the Department, and it shall not be effective until approved by the Department.
(g) A copy of the security agreement under paragraph (c) or paragraph (e) of this section shall be filed with the Department. It shall insure the financial responsibility of the direct air carrier for supplying the transportation and all other accommodations, services, and facilities in accordance with the contracts between the charter operator and the charter participants. Such security agreement shall meet all the other requirements of § 380.34 (c) and (d).
No charter operator or direct air carrier shall cause its agents or the depository bank to make disbursements or payments from deposits except in accordance with the provisions of this part.
Every charter operator conducting a charter pursuant to this part shall comply with the applicable record-retention provisions of part 249 of this chapter.
(a) For all Public Charters other than foreign-originating charters organized by foreign charter operators: A direct air carrier shall not perform air transportation in connection with such a charter unless it has made a reasonable effort to verify that all provisions of this part have been complied with and that the charter operator's authority under this part has not been suspended by the Department.
(b) For foreign-originating Public Charters organized by foreign charter operators: A direct air carrier shall not perform air transportation in connection with such a charter unless—
(1) The charter is conducted in accordance with subpart B of this part and
(2) The charter operator conforms to all requirements of this part that are applicable to charter operators within the Department's jurisdiction, other than §§ 380.25, 380.28, 380.30 through 380.36, and 380.50.
The direct air carrier shall not cancel any charter under this part less than 10 days before the scheduled departure date, except for circumstances that make it physically impossible to perform the charter trip.
The Department reserves the power to suspend the exemption authority of any air carrier, without hearing, if it finds that such action is necessary in order to protect the rights of the traveling public.
The direct air carrier shall promptly notify the Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, regarding any charters covered by a prospectus filed under § 380.28 that are later canceled.
This subpart establishes registration procedures for foreign charter operators intending to engage in the formation of groups for transportation on Public Charters that originate in the United States.
(a) Each foreign charter operator shall be registered under this subpart and file a prospectus under § 380.25 before organizing groups for transportation on Public Charters that originate in the United States.
(b) Each foreign charter registered under this subpart shall comply with the other provisions of this part directed to charter operators.
(a) To be registered under this subpart, a foreign charter operator shall file two copies of an application for registration with the Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division. The Department will list the names and nationalities of all persons applying for registration in its Weekly Summary of Filings.
(b) The application shall be made on OST Form 4530, which can be obtained from the Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division.
(c) The applicant shall clearly indicate in its application for registration whether it requests authority to engage in foreign and/or interstate air transportation.
Any person objecting to the registration application of a foreign charter operator or to a proposed change in the name or ownership of that operator shall file an objection with the Office of International Aviation, U.S. Air Carrier Licensing/Special Authorities Division, within 28 days after the Department receives the properly completed registration application.
(a) After a registration is received, one of the following actions will be taken.
(1) The application will be approved by the stamping of the effective date of registration on OST Form 4530 and returning the duplicate copy of the form to the operator;
(2) Additional information will be requested for the applicant;
(3) The applicant will be notified that its application will require further analysis or procedures, or is being referred to the Department for formal action;
(4)The registration application will be rejected if it does not comply with the filing requirements of this subpart;
(5) The application will be approved subject to such terms, conditions, or limitations as may be required by the public interest; or
(6) The registration application will be rejected for reasons relating to the failure of effective reciprocity or if the Department finds that it would be in the public interest to do so.
(b) One of the actions described in paragraph (a) of this section will normally be taken within 60 days after the registration application is received. The Department will also consider requests for faster action that include a full explanation of the need for expedited action.
(a) Not later than 30 days before any change in its name or address or before a temporary or permanent cessation of operations, each foreign charter operator registered under this subpart shall notify the Office of International Aviation , U.S. Air Carrier Licensing/Special Authorities Division, of the change by resubmitting OST Form 4530.
(b) A foreign charter operator registered under this subpart shall apply for an amendment to that registration not later than 30 days after either of the following events:
(1) A person listed on its existing registration as owning or holding beneficial interest in at least 10 percent of the operator or of the operator's stock reduces its holding to below 10 percent;
(2) A person not listed on the existing registration as owning or holding beneficial interest in at least 10 percent of the operator or of the operator's stock becomes an owner or holder of 10 percent or more of the company or of its stock.
(c) An application for an amendment shall be made by resubmitting OST Form 4530. The existing registration shall remain valid pending Department action on the amendment.
The registration of a foreign charter operator may be canceled or subjected to additional terms, conditions, or limitations if any of the following occur:
(a) The operator files a written notice with the Department that it is discontinuing its charter operations;
(b) A substantial ownership interest is acquired by persons who are not citizens of the same country as the registrant; or
(c) The Department finds, after notice and an opportunity for responses, that it is in the public interest to do so. In making this finding, the Department will consider whether effective reciprocity exists between the United States and the government of the foreign charter operator.
By accepting an approved registration form under this subpart, an operator waives any right it may have to assert any defense of sovereign immunity from suit in any proceeding against it, in any court or other tribunal of the United States, that is based upon a claim arising out of operations by the operator under this part.
Know all persons by these presents, that we ______ (name of charter operator) ______ of______ (city) ______ (state) as Principal (hereinafter called Principal), and ______ (name of surety) a corporation created and existing under the laws of the State of ______ (State) as Surety (hereinafter called Surety) are held and firmly bound unto the United States of America in the sum of $____________________________(see 14 CFR 380.34) for which payment, well and truly to be made, we bind ourselves and our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.
Whereas Principal intends to become a Public Charter operator pursuant to the provisions of 14 CFR part 380 and other rules and regulations of the Department relating to insurance or other security for the protection of charter participants, and has elected to file with the Department of Transportation such a bond as will insure financial responsibility with respect to all moneys received from charter participants for services in connection with a Public Charter to be operated subject to part 380 of the Department's regulations in accordance with contracts, agreements, or arrangements therefore, and
Whereas this bond is written to assure compliance by Principal as an authorized charter operator with 14 CFR part 380 and other rules and regulations of the Department relating to insurance and other security for the protection of charter participants, and shall inure to the benefit of any and all charter participants to whom Principal may be held legally liable for any damages herein described.
Now, therefore, the condition of this obligation is such that if Principal shall pay or cause to be paid to charter participants any sum or sums for which Principal may be held legally liable by reason of Principal's failure faithfully to perform, fulfill and carry out all contracts, agreements, and arrangements made by Principal while this bond is in effect with respect to the receipt of moneys from charter participants, and proper disbursement thereof pursuant to and in accordance with the provisions of 14 CFR part 380, then this obligation shall be void, otherwise to remain in full force and effect.
The liability of Surety with respect to any charter participant shall not exceed the charter price paid by or on behalf of such participant.
The liability of Surety shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments shall amount in the aggregate to the penalty of the bond, but in no event shall Surety's obligation hereunder exceed the amount of said penalty.
Surety agrees to furnish written notice to the U.S. Air Carrier Licensing/Special Authorities Division, X-44, Office of International Aviation, Department of Transportation, forthwith of all suits or claims filed and judgments rendered, and payments made by Surety under this bond.
The bond shall cover the following charters
This bond is effective on the ____ day of __________________, 20__, 12:01 a.m., standard time at the address of Principal as stated herein and as hereinafter provided. Principal or Surety may at any time terminate this bond by written notice to: “U.S. Air Carrier Licensing/Special Authorities Division (X-44), Office of International Aviation, U.S. Department of Transportation, 1200 New Jersey Avenue SE, W-86-445, Washington, DC 20590,” such termination to become effective thirty (30) days after the actual receipt of said notice by the Department. Surety shall not be liable hereunder for the payment of any damages hereinbefore described which arise as a result of any contracts, agreements, undertakings, or arrangements for the supplying of transportation and other services made by Principal after the termination of this bond as herein provided, but such termination shall not affect the liability of the bond hereunder for the payment of any damages arising as a result of contracts, agreements, or arrangements for the supplying of transportation and other services made by Principal prior to the date that such termination becomes effective. Liability of Surety under this bond shall in all events be limited only to a charter participant or charter participants who shall within sixty (60) days after the termination of the particular charter described herein give written notice of claim to the charter operator or, if it is unavailable, to Surety, and all liability on this bond shall automatically terminate sixty (60) days after the termination date of each particular charter covered by this bond except for claims made in the time provided herein.
In witness whereof, the said Principal and Surety have executed this instrument on the ____ day of __________________, 20__.
Bonding or surety company must be listed in Best's Insurance Reports (Fire and Casualty) with a general policyholders' rating of “A” or better or in the Department of the Treasury listing of companies holding certificates of authority as acceptable sureties on Federal bonds. In addition, the bonding or surety company shall be one legally authorized to issue bonds of that type in the State(s) in which the charter flight(s) originate. Agents must provide satisfactory proof that they have the requisite authority to issue this bond.
This Trust Agreement is entered into between ______________________ (charter operator) incorporated under the laws of ________________________ with its principal place of business being ____________________________________________ (hereinafter called “Operator”), and ________________________________________(Bank) with its principal place of business being________________________________________ (hereinafter called “Trustee”), for the purpose of creating a trust to become effective as of the ____________ day of ____________, 20__, which trust shall continue until terminated as hereinafter provided.
Operator intends to become a Public Charter operator pursuant to the provisions of part 380 of the Department's regulations and other rules and regulations of the Department relating to insurance or other security for the protection of charter participants, and has elected to file with the Department of Transportation such a Surety Trust Agreement as will insure financial responsibility with respect to all monies received from charter participants for services in connection with a Public Charter to be operated subject to part 380 of the Department's regulations in accordance with contracts, agreements, or arrangements therefore.
This Surety Trust Agreement is written to assure compliance by Operator with the provisions of part 380 of the Department's regulations and other rules and regulations of the Department relating to insurance or other security for the protection of charter participants. It shall inure to the benefit of any and all charter participants to whom Operator may be held legally liable for any of the damages herein described.
It is mutually agreed by and between Operator and Trustee that Trustee shall manage the corpus of the trust and carry out the purposes of the trust as hereinafter set forth during the term of the trust for the benefit of charter participants (who are hereinafter referred to as “Beneficiaries.”)
Beneficiaries of the trust created by this Agreement shall be limited to those charter participants who meet the following requirements:
1. Those for whom Operator or Operator's agent has received payment toward participation in one or more charters operated by or proposed to be operated by Operator.
2. Who have legal claim or claims for money damages against Operator by reason of Operator's failure faithfully to perform, fulfill, and carry out all contracts, agreements, and arrangements made by Operator while this trust is in effect with respect to the receipt of monies and proper disbursement thereof pursuant to part 380 of the Department's regulations; and
3. Who have given notice of such claim or claims in accordance with this Trust Agreement, but who have not been paid by Operator.
The operator shall convey to Trustee legal title to the trust corpus, which has a value of $__________ by the time of the execution of this Agreement.
Trustee shall assume the responsibilities of Trustee over the said trust corpus and shall distribute from the trust corpus to any and all Beneficiaries to whom Operator, in its capacity as a Public Charter operator, may be held legally liable by reason of Operator's failure faithfully to perform, fulfill, and carry out all contracts, agreements, and arrangements made by Operator, while this trust is in effect with respect to the receipt of monies and proper disbursement thereof pursuant to part 380 of the Department's regulations in connection with said charters, such damages as will discharge such liability while this trust is in effect; Provided, however, that the liability of the trust to any Beneficiary shall not exceed the charter price (as defined in part 380 of the Department's regulations) paid by or on behalf of any such Beneficiary; Provided, further, that there shall be no obligation of the trust to any Beneficiary if Operator shall pay or cause to be paid to any Beneficiary any sum or sums for which Operator may be held legally liable by reasons of its failure faithfully to perform, fulfill, and carry out all contracts, agreements, and arrangements made by Operator in its capacity as Public Charter Operator while this trust is in effect with respect to the receipt of monies and proper disbursement thereof pursuant to part 380 of the Department's regulations; and provided still further, that the liability of the trust as administered by Trustee shall not be discharged by any payment or succession of payments hereunder, unless and until such payment or payments, shall amount in the aggregate to $__________. Notwithstanding anything herein to the contrary, in no event shall the obligation of the trust or Trustee hereunder exceed the aggregate amount of $__________.
Trustee agrees to furnish written notice to the U.S. Air Carrier Licensing/Special Authorities Division, X-44, Office of International Aviation, Department of Transportation, forthwith of all suits or claims filed and judgments rendered (of which it has knowledge), and of payments made by Trustee under the terms of this trust.
The trust shall not be liable hereunder for the payment of any damages hereinbefore described which arise as a result of any contracts, agreements, undertakings, or arrangements for the supplying of transportation and other services made by Operator after the termination of this trust as herein provided, but such termination shall not affect the liability of the trust hereunder for the payment of any damages arising as a result of contracts, agreements, or arrangements for the supplying of transportation and other services made by Operator prior to the date that such termination becomes effective.
Liability of the trust shall in all events be limited only to a Beneficiary or Beneficiaries who shall within sixty days after the termination of the particular charter give written notice of claim to Operator or, if it is unavailable, to Trustee, and all liability of the trust with respect to participants in a charter shall automatically terminate sixty days after the termination date of each particular charter covered by this trust except for claims made in the time provided herein.
Sixty-one days after the completion of the last charter covered by this Trust Agreement, the trust shall automatically terminate except for claims of any Beneficiary or Beneficiaries previously made in accordance with this Agreement still pending on and after said sixty-first day. To the extent of such claims, the trust shall continue until those claims are discharged, dismissed, dropped, or otherwise terminated. After all remaining claims which are covered by this Trust Agreement pending on and after the said sixty-first day have been discharged, dismissed, dropped, or otherwise terminated; Trustee shall convey forthwith the remainder of the trust corpus, if any, to Operator.
Either Operator or Trustee may at any time terminate this trust by written notice to: “U.S. Air Carrier Licensing/Special Authorities Division, X-44, Office of International Aviation, U.S. Department of Transportation, 1200 New Jersey Avenue SE, W-86-445, Washington, DC 20590,” such termination to become effective thirty days after the actual receipt of said notice by the Department.
In the event of any controversy or claim arising hereunder, Trustee shall not be required to determine same or take any other action with respect thereto, but may await the settlement of such controversy or claim by final appropriate legal proceedings, and in such event shall not be liable for interest or damages of any kind.
Any Successor to Trustee by merger, consolidation, or otherwise, shall succeed to this trusteeship and shall have the powers and obligations set forth in this Agreement.
The trust created under this Agreement shall be operated and administered under the laws of the State of __________________.
In Witness Whereof, Operator and Trustee have executed this instrument on the date(s) shown below.
The purpose of this part is ensure that air travelers who have purchased tours to special events will receive the promised admission to the event. This part expands the “Super Bowl rule” to other events.
This part applies to Special Event Tours that are in interstate air transportation, or in foreign air transportation originating at a point in the United States. This part applies to U.S. and foreign operators of Special Event Tours, whether they be air carriers or ticket agents. This part applies to scheduled, charter, and other air transportation.
Special Event Tour means a tour that is organized for the purpose of attending a sporting, social, religious, educational, cultural, political or other event of a special nature and limited duration, which exists for reasons apart from the tour itself, and which is represented by the operator of the tour as including admission to that event. Examples of such events include, but are not limited to, college and professional sporting events, the Olympics, concerts, the Passion Play in Oberammergau, etc.
No operator of a Special Event Tour or agent of such an operator shall conduct, or cause or allow to be conducted, any advertising, solicitation or other promotion for a Special Event Tour unless:
(a) The operator is in physical possession of enough tickets for admission to the event to provide such tickets for a substantial number of seats on the tour; or
(b) The operator has entered into a written contract with an organization that is the distributor of such tickets or an organization that receives such tickets directly from the distributor (e.g., a bowl committee; football conference, league or team; concert promoter or arena; etc.), the terms of which provide for that organization to furnish the operator enough admission tickets to provide such tickets for a substantial number of seats on the tour; or
(c) The operator has entered into a written contract with another person or organization that has a written contract or series of written contracts with the distributor of such tickets or with an organization that receives such tickets directly from the distributor, the terms of which provide for that organization (the organization with which the operator has contracted) to furnish the operator enough admission tickets to provide such tickets for a substantial number of seats on the tour.
(a) Except as provided in paragraph (b) of this section:
(1) No operator of a Special Event Tour shall accept money for a seat on a Special Event Tour, or authorize an agent to accept such money, unless the operator has physical possession of, or written contracts (in the manner described in § 381.7) for, a ticket for admission to the event for that individual. To the extent that the operator receives an unsolicited booking for which the operator does not have physical possession of or written contracts for a ticket for admission to the event, any payment accompanying that booking must be returned within 3 business days.
(2) Upon acceptance of the money for a sale, the operator must reserve one event ticket for that individual. An operator may not sell more seats on the tour than it has event tickets in hand or under contract. (An operator need not continue to reserve an event ticket for an individual who withdraws from the tour by providing notice to the operator or by being notified by the operator that the individual's participation has been canceled due to failure to remit a required installment payment.)
(b) An operator of a Special Event Tour may accept a booking and payment from an individual for whom the operator does not have an event ticket in hand or under contract if that individual agrees in writing that he or she understands that no event ticket has been reserved for him or her. This agreement shall specify whether the person has agreed to participate in the tour without an event ticket and/or the operator has agreed to attempt to acquire an event ticket for this person. If the two parties agree that the operator will attempt to acquire an event ticket, the agreement shall specify any penalties that will apply if the individual later cancels because an event ticket did not become available. If the operator notifies this person that an event ticket has become available, that person shall enjoy all the other protections of this part from that time.
If promised admission to the primary event for which a Special Event Tour was organized is not furnished by the tour operator, at the tour price agreed to before departure (including any increases that the participant has accepted pursuant to § 381.13(a)), the operator must provide each tour participant affected in this way a refund of the total tour price. This refund is to be provided within 14 calendar days after the scheduled return date of the tour.
(a) Should the tour operator increase a participant's tour price by more than 10 percent (aggregate of all increases to that participant), that participant shall have the option of canceling his or her participation in the tour and receiving a full refund within 14 days after the cancellation.
(b) The tour operator shall not increase the tour price to any participant less than ten days before departure.
The purpose of this part is to carry out the Air Carrier Access Act of 1986, as amended. This rule prohibits both U.S. and foreign carriers from discriminating against passengers on the basis of disability; requires carriers to make aircraft, other facilities, and services accessible; and requires carriers to take steps to accommodate passengers with a disability.
In this regulation, the terms listed in this section have the following meanings:
Air Carrier Access Act or ACAA means the Air Carrier Access Act of 1986, as amended, the statute that provides the principal authority for this part.
Air transportation means interstate or foreign air transportation or the transportation of mail by aircraft, as defined in 49 U.S.C. 40102. Generally this refers to transportation by aircraft within, to or from the United States.
Assistive device means any piece of equipment that assists a passenger with a disability to cope with the effects of his or her disability. Such devices are intended to assist a passenger with a disability to hear, see, communicate, maneuver, or perform other functions of daily life, and may include medical devices and medications.
Automated airport kiosk means a self-service transaction machine that a carrier owns, leases, or controls and makes available at a U.S. airport to enable customers to independently obtain flight-related services.
Battery-powered mobility aid means an assistive device that is used by individuals with mobility impairments such a wheelchair, a scooter, or a Segway when it is used as a mobility device by a person with a mobility-related disability.
Carrier means a U.S. citizen (“U.S. carrier”) or foreign citizen (“foreign carrier”) that undertakes, directly or indirectly, or by a lease or any other arrangement, to engage in air transportation.
Commuter carrier means an air taxi operator as defined in 14 CFR part 298 that carries passengers on at least 5 round trips per week on at least one route between two or more points according to its published flight schedules that specify the times, days of the week and places between which those flights are performed.
Conforming alternate version means a Web page that allows a corresponding non-conforming Web page on the primary Web site to be included within the scope of conformance as long as it meets the WCAG 2.0 Level AA success criteria, is up-to-date and contains the same information and functionality in the same language as the non-conforming page. At least one of the following applies to a conforming alternative version:
(1) The conforming version can be reached from the non-conforming page via an accessibility-supported mechanism; or
(2) The non-conforming version can only be reached from the conforming version; or
(3) The non-conforming version can only be reached from a conforming page that also provides a mechanism to reach the conforming version.
CPAP machine means a continuous positive airway pressure machine.
Custody means the time period when a passenger has checked a wheelchair, scooter, or other assistive device with a carrier and the carrier has control of a passenger's wheelchair, scooter, or other assistive device.
(1) An airline's custody begins when the passenger hands the device to an airline's representative or agent or leaves the wheelchair, scooter, or other assistive device at a location as instructed by the airline.
(2) An airline's custody ends when the passenger, or someone acting on behalf of the passenger, or another airline takes physical possession of the wheelchair, scooter, or other assistive device.
Department or DOT means the United States Department of Transportation.
Dignified means assistance provided in a manner that respects a passenger's independence, autonomy, and privacy, which includes but is not limited to: airline personnel providing transfer assistance in a manner that ensures the passenger's clothing is not removed; airline personnel not unduly delaying requests for access to a restroom such that the individual soils himself or herself; and, to the maximum extent possible, airline personnel communicating directly with the individual with disability (e.g., rather than his or her companion or another individual) when the individual with disability is interacting with them.
Direct threat means a significant risk to the health or safety of others that cannot be eliminated by a modification of policies, practices, or procedures, or by the provision of auxiliary aids or services.
Equivalent alternative means a policy, practice, or other accommodation that provides substantially equivalent accessibility to passengers with disabilities, compared to compliance with a provision of this Part.
Expected maximum flight duration means the carrier's best estimate of the total duration of the flight from departure gate to arrival gate, including taxi time to and from the terminals, based on the scheduled flight time and factors such as (a) wind and other weather conditions forecast; (b) anticipated traffic delays; (c) one instrument approach and possible missed approach at destination; and (d) any other conditions that may delay arrival of the aircraft at the destination gate.
FAA means the Federal Aviation Administration, an operating administration of the Department of Transportation.
Facility means a carrier's aircraft and any portion of an airport that a carrier owns, leases, or controls (e.g., structures, roads, walks, parking lots, ticketing areas, baggage drop-off and retrieval sites, gates, other boarding locations, loading bridges) normally used by passengers or other members of the public.
Flight-related services mean functions related to air travel including, but not limited to, ticket purchase, rebooking cancelled flights, seat selection, and obtaining boarding passes or bag tags.
Hands-on training means in-person training that is received by an employee or contractor where the employee or contractor can learn and practice real-life scenarios in a safe and controlled environment without the possibility of real-life consequences to passengers with disabilities and with the use of a suitable life-sized model or equipment, as appropriate.
High-contrast captioning means captioning that is at least as easy to read as white letters on a consistent black background.
Indirect carrier means a person not directly involved in the operation of an aircraft who sells air transportation services to the general public other than as an authorized agent of a carrier.
Individual with a disability means any individual who has a physical or mental impairment that, on a permanent or temporary basis, substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having such an impairment. As used in this definition, the phrase:
(a) Physical or mental impairment means:
(1) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological, musculoskeletal, special sense organs, respiratory including speech organs, cardio-vascular, reproductive, digestive, genito-urinary, hemic and lymphatic, skin, and endocrine; or
(2) Any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities.
The term physical or mental impairment includes, but is not limited to, such diseases and conditions as orthopedic, visual, speech, and hearing impairments; cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, diabetes, mental retardation, emotional illness, drug addiction, and alcoholism.
(b) Major life activities means functions such as caring for one's self, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning, and working.
(c) Has a record of such impairment means has a history of, or has been classified, or misclassified, as having a mental or physical impairment that substantially limits one or more major life activities.
(d) Is regarded as having an impairment means:
(1) Has a physical or mental impairment that does not substantially limit major life activities but that is treated by an air carrier as constituting such a limitation;
(2) Has a physical or mental impairment that substantially limits a major life activity only as a result of the attitudes of others toward such an impairment; or
(3) Has none of the impairments set forth in this definition but is treated by an air carrier as having such an impairment.
Mishandled means lost, delayed, damaged, or pilfered.
On-demand air taxi means an air taxi operator that carries passengers or property and is not a commuter carrier as defined in this section.
PHMSA means the Pipeline and Hazardous Materials Safety Administration, an operating administration of the Department of Transportation.
POC means portable oxygen concentrator.
Primary (or Main) Web site means the Web site that is accessed upon entering the uniform resource locator (e.g., www.carrier name.com, www.airline designator code.com) in an Internet browser from a standard desktop or laptop computer where the carrier advertises or sells air transportation to the public.
Qualified individual with a disability means an individual with a disability—
(a) Who, as a passenger (referred to as a “passenger with a disability”),
(1) With respect to obtaining a ticket for air transportation on a carrier, offers, or makes a good faith attempt to offer, to purchase or otherwise validly to obtain such a ticket;
(2) With respect to obtaining air transportation, or other services or accommodations required by this Part,
(i) Buys or otherwise validly obtains, or makes a good faith effort to obtain, a ticket for air transportation on a carrier and presents himself or herself at the airport for the purpose of traveling on the flight to which the ticket pertains; and
(ii) Meets reasonable, nondiscriminatory contract of carriage requirements applicable to all passengers; or
(b) Who, with respect to accompanying or meeting a traveler, using ground transportation, using terminal facilities, or obtaining information about schedules, fares, reservations, or policies, takes those actions necessary to use facilities or services offered by an air carrier to the general public, with reasonable accommodations, as needed, provided by the carrier.
Safe means assistance provided to individuals with disabilities that does not put them at heightened risk of bodily injury, which may include loss or damage to wheelchairs and other assistive devices that result in bodily injury.
Scheduled service means any flight scheduled in the current edition of the Official Airline Guide, the carrier's published schedule, or the computer reservation system used by the carrier.
Service animal means a dog, regardless of breed or type, that is individually trained to do work or perform tasks for the benefit of a qualified individual with a disability, including a physical, sensory, psychiatric, intellectual, or other mental disability. Animal species other than dogs, emotional support animals, comfort animals, companionship animals, and service animals in training are not service animals for the purposes of this part.
A Service animal handler is a passenger in air transportation who is a qualified individual with a disability who receives assistance from a service animal(s) that does work or performs tasks that are directly related to the individual's disability, or a third party who accompanies the individual with a disability traveling with a service animal such as a parent of a minor child or a caretaker. The service animal handler is responsible for keeping the animal under control at all times, and caring for and supervising the service animal, which includes toileting and feeding.
Shared-use automated airport kiosk means a self-service transaction machine that is jointly owned, controlled or leased by an airport operator and carriers and/or an independent service provider and that provides carrier software applications which enable customers to independently access flight-related services.
TSA means the Transportation Security Administration, an agency of the Department of Homeland Security.
United States or U.S. means the United States of America, including its territories and possessions.
As a U.S. or foreign carrier, you are required to comply with the requirements of this part on May 13, 2009, except as otherwise provided in individual sections of this part.
(a) If you are a U.S. carrier, this Part applies to you with respect to all your operations and aircraft, regardless of where your operations take place, except as otherwise provided in this part.
(b) If you are a foreign carrier, this part applies to you only with respect to flights you operate that begin or end at a U.S. airport and to aircraft used for these flights. For purposes of this part, a “flight” means a continuous journey in the same aircraft or with one flight number that begins or ends at a U.S. airport. The following are some examples of the application of this term:
(c) As a foreign carrier, you are not subject to the requirements of this part with respect to flights between two foreign points, even with respect to flights involving code-sharing arrangements with U.S. carriers. As a U.S. carrier that participates in a code-sharing arrangement with a foreign carrier with respect to flights between two foreign points, you (as distinct from the foreign carrier) are responsible for ensuring compliance with the service provisions of subparts A through C, E through H, and K of this part, with respect to passengers traveling under your code on such a flight.
(d) As a foreign carrier, if you operate a charter flight from a foreign airport to a U.S. airport, and return to a foreign airport, and you do not pick up any passengers in the U.S., the charter flight is not a flight subject to the requirements of this part.
(e) Unless a provision of this Part specifies application to a U.S. carrier or a foreign carrier, the provision applies to both U.S. and foreign carriers.
(f) If you are an indirect carrier, §§ 382.1 through 382.15 of this part apply to you. §§ 382.17 through 382.157 of this part do not apply to you except insofar as provided by § 382.11(b).
(g) Notwithstanding any provisions of this part, you must comply with all FAA safety regulations, TSA security regulations, and foreign safety and security regulations having legally mandatory effect that apply to you.
(a) If you are a foreign carrier, and you believe that an applicable provision of the law of a foreign nation precludes you from complying with a provision of this part, you may request a waiver of the provision of this Part.
(b) You must send such a waiver request to the following address: Assistant General Counsel for Aviation Enforcement and Proceedings, C-70 U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Room W96-322, Washington, DC 20590.
(c) Your waiver request must be in English and include the following elements:
(1) A copy, in the English language, of the foreign law involved;
(2) A description of how the foreign law applies and how it precludes compliance with a provision of this part;
(3) A description of the alternative means the carrier will use, if the waiver is granted, to effectively achieve the objective of the provision of this part subject to the waiver or, if applicable, a justification of why it would be impossible to achieve this objective in any way.
(d) The Department may grant the waiver request, or grant the waiver request subject to conditions, if it determines that the foreign law applies, that it does preclude compliance with a provision of this part, and that the carrier has provided an effective alternative means of achieving the objective of the provisions of this part subject to the waiver or have demonstrated by clear and convincing evidence that it would be impossible to achieve this objective in any way.
(e)(1) If you submit a waiver request on or before September 10, 2008, the Department will, to the maximum extent feasible, respond to the request before May 13, 2009. If the Department does not respond to the waiver request by May 13, 2009, you may continue to implement the policy or practice that is the subject of your request until the Department does respond. The Department will not take enforcement action with respect to your implementation of the policy or practice during the time prior to the Department's response.
(2) If you submit a waiver request after September 10, 2008, the Department will, to the maximum extent feasible, respond to the request by May 13, 2009 or within 180 days of receiving it, whichever is later. If the Department does not respond to the waiver request by this date, you may continue to implement the policy or practice that is the subject of your request until the Department does respond. However, the Department may take enforcement action with respect to your implementation of the policy or practice during the time between May 13, 2009 and the date of the Department's response.
(3) If you submit a waiver request after September 10, 2008, and the request pertains to an applicable provision of the law of a foreign nation that did not exist on September 10, 2008, you may continue to implement the policy or practice that is the subject of your request until the Department responds to the request. The Department will, to the maximum extent feasible, respond to such requests within 180 days of receiving them. The Department will not take enforcement action with respect to your implementation of the policy or practice during the time prior to the Department's response.
(f) Notwithstanding any other provision of this section, the Department may commence enforcement action at any time after May 13, 2009 with respect to the policy or practice that is the subject of the request if it finds the request to be frivolous or dilatory.
(g) If you have not submitted a request for a waiver under this section with respect to a provision of this part, or such a request has been denied, you cannot raise the alleged existence of such a conflict as a defense to an enforcement action.
(a) As a U.S. or foreign carrier, you may apply to the Department for a determination that you are providing an equivalent alternative to passengers with disabilities.
(b) You must send your application for an equivalent alternative determination to the following address: Assistant General Counsel for Aviation Enforcement and Proceedings (C-70), U.S. Department of Transportation, 1200 New Jersey Avenue, SE., Room W96-322, Washington, DC 20590.
(c) Your application must be in English and include the following elements:
(1) A citation to the specific provision of this part concerning which you are proposing an equivalent alternative.
(2) A detailed description of the alternative policy, practice, or other accommodation you are proposing to use in place of compliance with the provision of this part that you cite, and an explanation of how it provides substantially equivalent accessibility to passengers with disabilities.
(d) The Department may grant the application, or grant the application subject to conditions, if it determines that the proposed facilitation does provide substantially equivalent accessibility to passengers with disabilities, compared to compliance with the provision of this part in question.
(e) If your application is granted, you will be deemed to be in compliance with this Part through implementing the equivalent alternative. If your application is denied, you must implement this part as written.
(f)(1) If you submit your application on or before September 10, 2008, the Department will respond to the request before May 13, 2009 to the maximum extent feasible. If the Department does not respond to the application by May 13, 2009, you may implement your policy or practice that is the subject of your application until the Department does respond.
(2) With respect to an application you make after September 10, 2008, you must comply with the provisions of this part without change from May 13, 2009 until the Department responds to your application.
(a) As a carrier, you must not do any of the following things, either directly or through a contractual, licensing, or other arrangement:
(1) You must not discriminate against any qualified individual with a disability, by reason of such disability, in the provision of air transportation;
(2) You must not require a qualified individual with a disability to accept special services (including, but not limited to, preboarding) that the individual does not request. However, you may require preboarding as a condition of receiving certain seating or in-cabin stowage accommodations, as specified in §§ 382.83(c), 382.85(b), and 382.123(a) of this part.
(3) You must not exclude a qualified individual with a disability from or deny the person the benefit of any air transportation or related services that are available to other persons, except where specifically permitted by this Part. This is true even if there are separate or different services available for individuals with a disability, except when specifically permitted by another section of this Part; and
(4) You must not take any adverse action against an individual (e.g., refusing to provide transportation) because the individual asserts, on his or her own behalf or through or on behalf of others, rights protected by this part or the Air Carrier Access Act.
(b) As a carrier or an indirect carrier, the assistance you provide with respect to this part must be performed in a safe and dignified manner.
(c) As an indirect carrier, you must comply with §§ 382.17 through 382.157 of this part when providing facilities or services to passengers that would have otherwise been provided by a direct air carrier.
(a) As a carrier, you must modify your policies, practices, and facilities when needed to provide nondiscriminatory service to a particular individual with a disability, consistent with the standards of section 504 of the Rehabilitation Act, as amended.
(b) This requirement is part of your general nondiscrimination obligation, and is in addition to your duty to make the specific accommodations required by this part.
(c) However, you are not required to make modifications that would constitute an undue burden or would fundamentally alter your program.
(a) As a carrier, you must make sure that your contractors that provide services to the public (including airports where applicable) meet the requirements of this part that would apply to you if you provided the services yourself.
(b) As a carrier, you must include an assurance of compliance with this part in your contracts with any contractors that provide services to the public that are subject to the requirements of this part. Noncompliance with this assurance is a material breach of the contract on the contractor's part.
(1) This assurance must commit the contractor to compliance with all applicable provisions of this Part in activities performed on behalf of the carrier.
(2) The assurance must also commit the contractor to implementing directives issued by your CROs under §§ 382.151 through 382.153.
(c) As a U.S. carrier, you must also include such an assurance of compliance in your contracts or agreements of appointment with U.S. travel agents. You are not required to include such an assurance in contracts with foreign travel agents.
(d) You remain responsible for your contractors' compliance with this part and for enforcing the assurances in your contracts with them.
(e) It is not a defense against an enforcement action by the Department under this part that your noncompliance resulted from action or inaction by a contractor.
As a carrier, you must not limit the number of passengers with a disability who travel on a flight. (See also § 382.27(c)(6) of this part.)
(a) As a carrier, you must not refuse to provide transportation to a passenger with a disability on the basis of his or her disability, except as specifically permitted by this part.
(b) You must not refuse to provide transportation to a passenger with a disability because the person's disability results in appearance or involuntary behavior that may offend, annoy, or inconvenience crewmembers or other passengers.
(c) You may refuse to provide transportation to any passenger on the basis of safety, as provided in 49 U.S.C. 44902 or 14 CFR 121.533, or to any passenger whose carriage would violate FAA or TSA requirements or applicable requirements of a foreign government.
(1) You can determine that there is a disability-related safety basis for refusing to provide transportation to a passenger with a disability if you are able to demonstrate that the passenger poses a direct threat (see definition in § 382.3). In determining whether an individual poses a direct threat, you must make an individualized assessment, based on reasonable judgment that relies on current medical knowledge or on the best available objective evidence, to ascertain:
(i) The nature, duration, and severity of the risk;
(ii) The probability that the potential harm to the health and safety of others will actually occur; and
(iii) Whether reasonable modifications of policies, practices, or procedures will mitigate the risk.
(2) If you determine that the passenger does pose a direct threat, you must select the least restrictive response from the point of view of the passenger, consistent with protecting the health and safety of others. For example, you must not refuse transportation to the passenger if you can protect the health and safety of others by means short of a refusal.
(3) In exercising this authority, you must not act inconsistently with the provisions of this part.
(4) If your actions are inconsistent with any of the provisions of this part, you are subject to enforcement action under Subpart K of this part.
(d) If you refuse to provide transportation to a passenger on his or her originally-scheduled flight on a basis relating to the individual's disability, you must provide to the person a written statement of the reason for the refusal. This statement must include the specific basis for the carrier's opinion that the refusal meets the standards of paragraph (c) of this section or is otherwise specifically permitted by this part. You must provide this written statement to the person within 10 calendar days of the refusal of transportation.
(a) You must not do any of the following things on the basis that a passenger has a communicable disease or infection, unless you determine that the passenger's condition poses a direct threat:
(1) Refuse to provide transportation to the passenger;
(2) Delay the passenger's transportation (e.g., require the passenger to take a later flight);
(3) Impose on the passenger any condition, restriction, or requirement not imposed on other passengers; or
(4) Require the passenger to provide a medical certificate.
(b) In assessing whether the passenger's condition poses a direct threat, you must apply the provisions of § 382.19(c)(1)-(2) of this subpart.
(1) In making this assessment, you may rely on directives issued by public health authorities (e.g., the U.S. Centers for Disease Control or Public Health Service; comparable agencies in other countries; the World Health Organization).
(2) In making this assessment, you must consider the significance of the consequences of a communicable disease and the degree to which it can be readily transmitted by casual contact in an aircraft cabin environment.
(c) If a passenger with a communicable disease meeting the direct threat criteria of this section gives you a medical certificate of the kind outlined in § 382.23(c)(2) describing measures for preventing transmission of the disease during the normal course of the flight, you must provide transportation to the passenger, unless you are unable to carry out the measures.
(d) If your action under this section results in the postponement of a passenger's travel, you must permit the passenger to travel at a later time (up to 90 days from the date of the postponed travel) at the fare that would have applied to the passenger's originally scheduled trip without penalty or, at the passenger's discretion, provide a refund for any unused flights, including return flights.
(e) If you take any action under this section that restricts a passenger's travel, you must, on the passenger's request, provide a written explanation within 10 days of the request.
(a) Except as provided in this section, you must not require a passenger with a disability to have a medical certificate as a condition for being provided transportation.
(b)(1) You may require a medical certificate for a passenger with a disability—
(i) Who is traveling in a stretcher or incubator;
(ii) Who needs medical oxygen during a flight; or
(iii) Whose medical condition is such that there is reasonable doubt that the individual can complete the flight safely, without requiring extraordinary medical assistance during the flight.
(2) For purposes of this paragraph, a medical certificate is a written statement from the passenger's physician saying that the passenger is capable of completing the flight safely, without requiring extraordinary medical assistance during the flight.
(3) To be valid, a medical certificate under this paragraph must be dated within 10 days of the scheduled date of the passenger's initial departing flight.
(c)(1) You may also require a medical certificate for a passenger if he or she has a communicable disease or condition that could pose a direct threat to the health or safety of others on the flight.
(2) For purposes of this paragraph, a medical certificate is a written statement from the passenger's physician saying that the disease or infection would not, under the present conditions in the particular passenger's case, be communicable to other persons during the normal course of a flight. The medical certificate must state any conditions or precautions that would have to be observed to prevent the transmission of the disease or infection to other persons in the normal course of a flight. A medical certificate under this paragraph must be dated within 10 days of the date of the flight for which it is presented.
(d) As a carrier, you may require that a passenger with a medical certificate undergo additional medical review by you if there is a legitimate medical reason for believing that there has been a significant adverse change in the passenger's condition since the issuance of the medical certificate or that the certificate significantly understates the passenger's risk to the health of other persons on the flight. If the results of this medical review demonstrate that the passenger, notwithstanding the medical certificate, is likely to be unable to complete the flight without requiring extraordinary medical assistance (e.g., the passenger has apparent significant difficulty in breathing, appears to be in substantial pain, etc.) or would pose a direct threat to the health or safety of other persons on the flight, you may take an action otherwise prohibited under § 382.21(a) of this part.
As a carrier, you must not require a passenger with a disability to provide advance notice of the fact that he or she is traveling on a flight.
(a) Except as provided in paragraphs (b) and (c) of this section and §§ 382.75 and 382.133(e)(4), (5), (f)(5) and (6), as a carrier you must not require a passenger with a disability to provide advance notice in order to obtain services or accommodations required by this part.
(b)(1) You may require a passenger with a disability to provide up to 72 hours' advance notice and check in one hour before the check-in time for the general public to receive carrier-supplied in-flight medical oxygen on international flights, and 48 hours' advance notice and check-in one hour before the check-in time for the general public to receive carrier-supplied in-flight medical oxygen on domestic flights. This service is optional; you are not required to provide carrier-supplied in-flight medical oxygen, but you may choose to do so.
(2) You may require a passenger with a disability to provide 48 hours' advance notice and check-in one hour before the check-in time for the general public to use his/her ventilator, respirator, CPAP machine or POC.
(3) You may require a passenger with a disability seeking to travel with a service animal in the cabin of the aircraft to provide up to 48 hours' advance notice through submission of the forms identified in § 382.75 (a) and (b) as a condition of permitting the service animal to travel in the cabin if the reservation is made more than 48 hours prior to a flight's departure. In the alternative, you may require a passenger with a disability seeking to travel with a service animal in the cabin of the aircraft to provide the forms identified in § 382.75 (a) and (b) at the passenger's departure gate on the date of travel as a condition of permitting the service animal to travel in the cabin.
(c) You may require a passenger with a disability to provide up to 48 hours' advance notice and check in one hour before the check-in time for the general public to receive the following services and accommodations. The services listed in paragraphs (c)(1) through (c)(3) of this section are optional; you are not required to provide them, but you may choose to do so.
(1) Carriage of an incubator;
(2) Hook-up for a respirator, ventilator, CPAP machine or POC to the aircraft electrical power supply;
(3) Accommodation for a passenger who must travel in a stretcher;
(4) Transportation for an electric wheelchair on an aircraft with fewer than 60 seats;
(5) Provision of hazardous materials packaging for batteries or other assistive devices that are required to have such packaging;
(6) Accommodation for a group of ten or more qualified individuals with a disability, who make reservations and travel as a group; and
(7) Provision of an on-board wheelchair on an aircraft with more than 60 seats that does not have an accessible lavatory.
(8) Accommodation of a passenger who has both severe vision and hearing impairments (see § 382.29(b)(4)).
(d) If the passenger with a disability provides the advance notice you require, consistent with this section, for a service that you must provide (see paragraphs (b)(2) through (3) and (c)(4) through (8) of this section) or choose to provide (see paragraphs (b)(1) and (c)(1) through (c)(3) of this section), you must provide the requested service or accommodation except to comply with any applicable safety regulations.
(e) Your reservation and other administrative systems must ensure that when passengers provide the advance notice that you require, consistent with this section, for services and accommodations, the notice is communicated, clearly and on time, to the people responsible for providing the requested service or accommodation.
(f) If a passenger with a disability provides the advance notice you require, consistent with this section, and the passenger is forced to change to another flight (e.g., because of a flight cancellation), you must, to the maximum extent feasible, provide the accommodation on the new flight. If the new flight is another carrier's flight, you must provide the maximum feasible assistance to the other carrier in providing the accommodation the passenger requested from you.
(g) If a passenger does not meet advance notice or check-in requirements you establish consistent with this section, you must still provide the service or accommodation if you can do so by making reasonable efforts, without delaying the flight.
(a) Except as provided in paragraph (b) of this section, you must not require that a passenger with a disability travel with another person as a condition of being provided air transportation.
(b) You may require a passenger with a disability in one of the following categories to travel with a safety assistant as a condition of being provided air transportation, if you determine that a safety assistant is essential for safety:
(1) A passenger traveling in a stretcher or incubator. The safety assistant for such a person must be capable of attending to the passenger's in-flight medical needs;
(2) A passenger who, because of a mental disability, is unable to comprehend or respond appropriately to safety instructions from carrier personnel, including the safety briefing required by 14 CFR 121.571(a)(3) and (a)(4) or 14 CFR 135.117(b) or the safety regulations of a foreign carrier's government, as applicable;
(3) A passenger with a mobility impairment so severe that the person is unable to physically assist in his or her own evacuation of the aircraft;
(4) A passenger who has both severe hearing and severe vision impairments, if the passenger cannot establish some means of communication with carrier personnel that is adequate both to permit transmission of the safety briefing required by 14 CFR 121.57(a)(3) and (a)(4), 14 CFR 135,117(b) or the safety regulations of a foreign carrier's government, as applicable, and to enable the passenger to assist in his or her own evacuation of the aircraft in the event of an emergency. You may require a passenger with severe hearing and vision impairment who wishes to travel without a safety assistant to notify you at least 48 hours in advance to provide this explanation. If the passenger fails to meet this notice requirement, however, you must still accommodate him or her to the extent practicable.
(c)(1) If you determine that a person meeting the criteria of paragraph (b)(2), (b)(3) or (b)(4) of this section must travel with a safety assistant, contrary to the individual's self-assessment that he or she is capable of traveling independently, you must not charge for the transportation of the safety assistant. You are not required to find or provide the safety assistant, however.
(2) For purposes of paragraph (b)(4) of this section, you may require, contrary to the individual's self-assessment, that an individual with both severe hearing and vision impairments must travel with a safety assistant if you determine that—
(i) The means of communication that the individual has explained to you does not adequately satisfy the objectives identified in paragraph (b)(4) of this section; or
(ii) The individual proposes to establish communication by means of finger spelling and you cannot, within the time following the individual's notification, arrange for a flight crew member who can communicate using this method to serve the passenger's flight.
(3) If a passenger voluntarily chooses to travel with a personal care attendant or safety assistant that you do not require, you may charge for the transportation of that person.
(d) If, because there is not a seat available on a flight for a safety assistant whom the carrier has determined to be necessary, a passenger with a disability holding a confirmed reservation is unable to travel on the flight, you must compensate the passenger with a disability in an amount to be calculated as provided for instances of involuntary denied boarding under 14 CFR part 250, where part 250 applies.
(e) For purposes of determining whether a seat is available for a safety assistant, you must deem the safety assistant to have checked in at the same time as the passenger with a disability.
(f) Concern that a passenger with a disability may need personal care services (e.g., assistance in using lavatory facilities or with eating) is not a basis for requiring the passenger to travel with a safety assistant. You must explain this clearly in training or information you provide to your employees. You may advise passengers that your personnel are not required to provide such services.
(a) Except as otherwise provided in this part you must not, as a carrier, impose charges for providing facilities, equipment, or services that this rule requires to be provided to passengers with a disability. You may charge for services that this part does not require.
(b) You may charge a passenger for the use of more than one seat if the passenger's size or condition (e.g., use of a stretcher) causes him or her to occupy the space of more than one seat. This is not considered a special charge under this section.
(a) As a carrier, you must not subject passengers with a disability to restrictions that do not apply to other passengers, except as otherwise permitted in this part (e.g., advance notice requirements for certain services permitted by § 382.27).
(b) Restrictions you must not impose on passengers with a disability include, but are not limited to, the following:
(1) Restricting passengers” movement within the terminal;
(2) Requiring passengers to remain in a holding area or other location in order to receive transportation, services, or accommodations;
(3) Making passengers sit on blankets on the aircraft;
(4) Making passengers wear badges or other special identification (e.g., similar to badges worn by unaccompanied minors); or
(5) Otherwise mandating separate treatment for passengers with a disability, unless permitted or required by this part or other applicable Federal requirements.
(a) As a carrier, you must not require passengers with a disability to sign a release or waiver of liability in order to receive transportation or to receive services or accommodations for a disability.
(b) You must not require passengers with a disability to sign waivers of liability for damage to or loss of wheelchairs or other assistive devices, or for the loss of, death of, or injury to service animals. Carriers may note pre-existing damage to an assistive device to the same extent that carriers do this with respect to other checked baggage.
(a) As a carrier, you must provide the following information, on request, to qualified individuals with a disability or persons making inquiries on their behalf concerning the accessibility of the aircraft expected to make a particular flight. The information you provide must be specific to the aircraft you expect to use for the flight unless it is unfeasible for you to do so (e.g., because unpredictable circumstances such as weather or a mechanical problem require substitution of another aircraft that could affect the location or availability of an accommodation). The required information is:
(1) The specific location of seats, if any, with movable armrests (i.e., by row and seat number);
(2) The specific location of seats (i.e., by row and seat number) that the carrier, consistent with this part, does not make available to passengers with a disability (e.g., exit row seats);
(3) Any aircraft-related, service-related or other limitations on the ability to accommodate passengers with a disability, including limitations on the availability of level-entry boarding to the aircraft at any airport involved with the flight. You must provide this information to any passenger who states that he or she uses a wheelchair for boarding, even if the passenger does not explicitly request the information.
(4) Any limitations on the availability of storage facilities, in the cabin or in the cargo bay, for mobility aids or other assistive devices commonly used by passengers with a disability, including storage in the cabin of a passenger's wheelchair as provided in §§ 382.67 and 382.123;
(5) Information regarding accessibility of lavatories (see § 382.63(h)); and
(6) The types of services to passengers with a disability that are or are not available on the flight.
(b) As a carrier, you must publish information in a prominent and easily accessible place on your public-facing website(s) describing the relevant dimensions and other characteristics of the cargo holds of all aircraft types you operate, including the dimensions of the cargo hold entry, that would limit the size, weight, and allowable type of cargo.
(a) If, as a carrier, you provide telephone reservation and information service to the public, you must make this service available to individuals who use a text telephone (TTY), whether via your own TTY, voice relay, or other available technology, as follows:
(1) You must provide access to TTY users during the same hours as the telephone service is available to the general public.
(2) You must ensure that the response time for answering calls and the level of service provided to TTY users is substantially equivalent to the response time and level of service provided to the general public (i.e., non-TTY users).
(3) You must not subject TTY users to charges exceeding those that apply to non-TTY users of telephone information and reservation service.
(4) In any medium in which you list the telephone number of your information and reservation service for the general public, you must also list your TTY number if you have one. If you do not have a TTY number, you must state how TTY users can reach your information and reservation service (e.g., via a voice relay service).
(5) If you are a foreign carrier, you must meet this requirement by May 13, 2010.
(b) The requirements of paragraph (a) do not apply to you in any country in which the telecommunications infrastructure does not readily permit compliance.
(c) If you are a U.S. or foreign air carrier that operates at least one aircraft having a designed seating capacity of more than 60 passengers and owns or controls a primary Web site that markets passenger air transportation, or a tour (i.e., a combination of air transportation and ground or cruise accommodations), or tour component (e.g., a hotel stay) that must be purchased with air transportation, you must ensure the public-facing Web pages on your primary Web site are accessible to individuals with disabilities as provided in paragraphs (c)(1) through (4) of this section. Only Web sites that market air transportation to the general public in the United States must be accessible to individuals with disabilities. The following are among the characteristics of a primary Web site that markets to the general public in the U.S.: the content can be viewed in English, the site advertises or sells flights operating to, from, or within the United States, and the site displays fares in U.S. dollars.
(1) Your primary Web site must conform to all Success Criteria and all Conformance Requirements from the World Wide Web Consortium (W3C) Recommendation 11 December 2008, Web site Content Accessibility Guidelines (WCAG) 2.0 for Level AA as follows:
(i) Web pages associated with obtaining the following core air travel services and information that are offered on your primary Web site are conformant by December 12, 2015:
(A) Booking or changing a reservation, including all flight amenities;
(B) Checking in for a flight;
(C) Accessing a personal travel itinerary;
(D) Accessing the status of a flight;
(E) Accessing a personal frequent flyer account;
(F) Accessing flight schedules; and
(G) Accessing carrier contact information.
(ii) All remaining Web pages on your primary Web site are conformant by December 12, 2016.
(2) Your primary Web site must be tested in consultation with individuals with disabilities or members of disability organization(s) who use or want to use carrier Web sites to research or book air transportation in order to obtain their feedback on the Web site's accessibility and usability before the dates specified in paragraph (c)(1) of this section. Collectively, such individuals must be able to provide feedback on the usability of the Web site by individuals with visual, auditory, tactile, and cognitive disabilities. Consultation is required to ensure that your Web site is usable by individuals with disabilities by the date specified in paragraph (c)(1).
(3) You are permitted to use a Level AA conforming alternate version only when conforming a public-facing Web page to all WCAG 2.0 Level AA success criteria would constitute an undue burden or fundamentally alter the information or functionality provided by that page.
(4) You must assist prospective passengers who indicate that they are unable to use your Web site due to a disability and contact you through other channels (e.g., by telephone or at the ticket counter) as follows:
(i) Disclose Web-based discount fares to the passenger if his or her itinerary qualifies for the discounted fare.
(ii) Provide Web-based amenities to the passenger, such as waiving any fee applicable to making a reservation or purchasing a ticket using a method other than your Web site (e.g., by telephone), unless the fee applies to other customers purchasing the same fare online.
(d) As a carrier covered under paragraph (c) of this section, you must provide a mechanism on your primary Web site for persons with disabilities to request disability accommodation services for future flights, including but not limited to wheelchair assistance, seating accommodation, escort assistance for a visually impaired passenger, and stowage of an assistive device no later than December 12, 2015. You may require individuals who request accommodations using this mechanism to provide contact information (e.g., name, daytime phone, evening phone, and email address) for follow-up by your customer service department or medical desk.
(e) As a carrier covered under paragraph (c) of this section, you must provide a disclaimer activated when a user clicks a link on your primary Web site to an external Web site or to third-party software informing the user that the Web site or software may not follow the same accessibility policies no later than December 12, 2016.
(a) As a carrier, you must keep a current copy of this part at each airport you serve. As a foreign carrier, you must keep a copy of this part at each airport serving a flight you operate that begins or ends at a U.S. airport. You must make this copy available for review by any member of the public on request.
(b) If you have a Web site, it must provide notice to consumers that they can obtain a copy of this part in an accessible format from the Department of Transportation by any of the following means:
(1) For calls made from within the United States, by telephone via the Toll-Free Hotline for Air Travelers with Disabilities at 1-800-778-4838 (voice) or 1-800-455-9880 (TTY),
(2) By telephone to the Aviation Consumer Protection Division at 202-366-2220 (voice) or 202-366-0511 (TTY),
(3) By mail to the Air Consumer Protection Division, C-75, U.S. Department of Transportation, 1200 New Jersey Ave., SE., West Building, Room W96-432, Washington, DC 20590, and
(4) On the Aviation Consumer Protection Division's Web site (http://airconsumer.ost.dot.gov).
(a) As a carrier, you must comply with the following requirements with respect to all terminal facilities you own, lease, or control at a U.S. airport:
(1) You must ensure that terminal facilities providing access to air transportation are readily accessible to and usable by individuals with disabilities, including individuals who use wheelchairs. You are deemed to comply with this obligation if the facilities meet requirements applying to places of public accommodation under Department of Justice (DOJ) regulations implementing Title III of the Americans with Disabilities Act (ADA).
(2) With respect to any situation in which boarding and deplaning by level-entry loading bridges or accessible passenger lounges to and from an aircraft is not available, you must ensure that there is an accessible route between the gate and the area from which aircraft are boarded (e.g., the tarmac in a situation in which level-entry boarding is not available). An accessible route is one meeting the requirements of the Americans with Disabilities Act Accessibility Guidelines (ADAAG), sections 4.3.3 through 4.3.10.
(3) You must ensure that systems of intra- and inter-terminal transportation, including, but not limited to, moving sidewalks, shuttle vehicles and people movers, comply with applicable requirements of the Department of Transportation's ADA rules (49 CFR parts 37 and 38).
(4) Your contracts or leases with airport operators concerning the use of airport facilities must set forth your airport accessibility responsibility under this part and that of the airport operator under applicable section 504 and ADA rules of the Department of Transportation and Department of Justice.
(5) In cooperation with the airport operator and in consultation with local service animal training organization(s), you must provide animal relief areas for service animals that accompany passengers departing, connecting, or arriving at an airport on your flights.
(6) You must enable captioning at all times on all televisions and other audio-visual displays that are capable of displaying captions and that are located in any portion of the terminal to which any passengers have access on May 13, 2009. The captioning must be high-contrast insofar as is feasible.
(7) You must replace any televisions and other audio-visual displays providing passengers with safety briefings, information, or entertainment that do not have high-contrast captioning capability with equipment that does have such capability whenever such equipment is replaced in the normal course of operations and/or whenever areas of the terminal in which such equipment is located are undergoing substantial renovation or expansion.
(8) If you newly acquire televisions and other audio-visual displays for passenger safety briefings, information, or entertainment on or after May 13, 2009, such equipment must have high-contrast captioning capability.
(b) As a carrier, you must ensure that passengers with a disability can readily use all terminal facilities you own, lease, or control at a foreign airport. In the case of foreign carriers, this requirement applies only to terminal facilities that serve flights covered by § 382.7 of this part.
(1) This means that passengers with a disability must be able to move readily through such terminal facilities to get to or from the gate and any other area from which passengers board the aircraft you use for such flights (e.g., the tarmac in the case of flights that do not use level-entry boarding). This obligation is in addition to your obligation to provide enplaning, deplaning, and connecting assistance to passengers.
(2) You may meet this obligation through any combination of facility accessibility, auxiliary aids, equipment, the assistance of personnel, or other appropriate means consistent with the safety and dignity of passengers with a disability.
(c) As a foreign carrier, you must meet the requirements of this section by May 13, 2010, except as otherwise indicated in paragraph (a). As a U.S. carrier, you must meet the requirements of paragraph (b) of this section by May 13, 2010.
(a)(1) As a U.S. carrier, you must ensure that passengers with a disability who identify themselves as persons needing visual or hearing assistance have prompt access to the same information provided to other passengers at each gate, ticketing area, and customer service desk that you own, lease, or control at any U.S. or foreign airport, to the extent that this does not interfere with employees' safety and security duties as set forth in FAA, TSA, and applicable foreign regulations.
(2) As a foreign carrier, you must make this information available at each gate, ticketing area, and customer service desk that you own, lease, or control at any U.S. airport. At foreign airports, you must make this information available only at gates, ticketing areas, or customer service desks that you own, lease, or control and only for flights that begin or end in the U.S.
(3) As a U.S. or foreign carrier, at any U.S. airport covered by this paragraph where the airport has effective control over the covered gates, ticketing areas, and customer service desks, you and the airport are jointly responsible for compliance.
(b) The information you must provide under paragraph (a) of this section includes, but is not limited to, the following: Information concerning flight safety, ticketing, flight check-in, flight delays or cancellations, schedule changes, boarding information, connections, gate assignments, checking baggage, volunteer solicitation on oversold flights (e.g., offers of compensation for surrendering a reservation), individuals being paged by airlines, aircraft changes that affect the travel of persons with disabilities, and emergencies (e.g., fire, bomb threat).
(c) With respect to information on claiming baggage, you must provide the information to passengers who identify themselves as persons needing visual or hearing assistance no later than you provide this information to other passengers.
(a) All passengers, including those with disabilities, are subject to TSA security screening requirements at U.S. airports. In addition, passengers at foreign airports, including those with disabilities, may be subject to security screening measures required by law of the country in which the airport is located.
(b) If, as a carrier, you impose security screening procedures for passengers with disabilities that go beyond those mandated by TSA (or, at a foreign airport, beyond the law of the country in which the airport is located), you must ensure that they meet the following requirements:
(1) You must use the same criteria for applying security screening procedures to passengers with disabilities as to other passengers.
(2) You must not subject a passenger with a disability to special screening procedures because the person is traveling with a mobility aid or other assistive device if the person using the aid or device clears the security system without activating it.
(i) However, your security personnel may examine a mobility aid or assistive device which, in their judgment, may conceal a weapon or other prohibited item.
(ii) You may conduct security searches of qualified individuals with a disability whose aids activate the security system in the same manner as for other passengers.
(3) You must not require private security screenings of passengers with a disability to a greater extent, or for any different reason, than for other passengers.
(c) Except as provided in paragraph (d) of this section, if a passenger with a disability requests a private screening in a timely manner, you must provide it in time for the passenger to enplane.
(d) If you use technology that can conduct an appropriate screening of a passenger with a disability without necessitating a physical search of the person, you are not required to provide a private screening.
(a) As a carrier, you must comply with the following requirements with respect to any automated airport kiosk you own, lease, or control at a U.S. airport with 10,000 or more enplanements per year.
(1) You must ensure that all automated airport kiosks installed on or after December 12, 2016, are models that meet the design specifications set forth in paragraph (c) of this section until at least 25 percent of automated kiosks provided in each location at the airport (i.e., each cluster of kiosks and all stand-alone kiosks at the airport) meets this specification.
(2) You must ensure that at least 25 percent of automated kiosks you own, lease, or control in each location at a U.S. airport meet the design specifications in paragraph (c) of this section by December 12, 2022.
(3) When the kiosks provided in a location at the airport perform more than one function (e.g., print boarding passes/bag tags, accept payment for flight amenities such as seating upgrades/meals/WiFi access, rebook tickets, etc.), you must ensure that the accessible kiosks provide all the same functions as the inaccessible kiosks in that location.
(4) You must ensure that a passenger with a disability who requests an accessible automated kiosk is given priority access to any available accessible kiosk you own, lease, or control in that location at the airport.
(5) You must ensure that each automated airport kiosk that meets the design specifications in paragraph (c) of this section is:
(i) Visually and tactilely identifiable to users as accessible (e.g., an international symbol of accessibility affixed to the front of the device).
(ii) Maintained in proper working condition.
(b) As a carrier, you must comply with the following requirements for any shared-use automated airport kiosks you jointly own, lease, or control at a U.S. airport with 10,000 or more enplanements per year.
(1) You must ensure that all shared-use automated airport kiosks you jointly own, lease, or control installed on or after December 12, 2016, meet the design specifications in paragraph (c) of this section until at least 25 percent of automated kiosks provided in each location at the airport (i.e., each cluster of kiosks and all stand-alone kiosks at an airport) meet this specification.
(2) You must ensure that at least 25 percent of shared-use automated kiosks you own, lease, or control in each location at the airport meet the design specifications in paragraph (c) of this section by December 12, 2022.
(3) When shared-use automated kiosks provided in a location at the airport perform more than one function (e.g., print boarding passes/bag tags, accept payment for flight amenities such as seating upgrades/meals/WiFi access, rebook tickets, etc.), you must ensure that the accessible kiosks provide all the same functions as the inaccessible kiosks in that location.
(4) You must ensure that each automated airport kiosk that meets the design specifications set forth in paragraph (c) of this section is:
(i) Visually and tactilely identifiable to users as accessible (e.g., an international symbol of accessibility affixed to the front of the device; and
(ii) Maintained in proper working condition.
(5) As a carrier, you are jointly and severally liable with airport operators and/or other participating carriers for ensuring that shared-use automated airport kiosks are compliant with the requirements of paragraphs (b) and (c) of this section.
(c) You must ensure that the automated airport kiosks provided in accordance with this section conform to the following technical accessibility standards with respect to their physical design and the functions they perform:
(1) Self contained. Except for personal headsets and audio loops, automated kiosks must be operable without requiring the user to attach assistive technology.
(2) Clear floor or ground space. A clear floor or ground space complying with section 305 of the U.S. Department of Justice's 2010 ADA Standards for Accessible Design, 28 CFR 35.104 (defining the “2010 Standards” for title II as the requirements set forth in appendices B and D to 36 CFR part 1191 and the requirements contained in 28 CFR 35.151) (hereinafter 2010 ADA Standards) must be provided.
(3) Operable parts. Operable parts must comply with section 309 of the 2010 ADA Standards, and the following requirements:
(i) Identification. Operable parts must be tactilely discernible without activation;
(ii) Timing. Where a timed response is required, the user must be alerted visually and by touch or sound and must be given the opportunity to indicate that more time is required;
(iii) Status indicators. Status indicators, including all locking or toggle controls or keys (e.g., Caps Lock and Num Lock keys), must be discernible visually and by touch or sound; and
(iv) Color. Color coding must not be used as the only means of conveying information, indicating an action, prompting a response, or distinguishing a visual element.
(4) Privacy. Automated airport kiosks must provide the opportunity for the same degree of privacy of input and output available to all individuals. However, if an option is provided to blank the screen in the speech output mode, the screen must blank when activated by the user, not automatically.
(5) Output. Automated airport kiosks must comply with paragraphs (c)(5)(i) through (iv) of this section.
(i) Speech output enabled. Automated airport kiosks must provide an option for speech output. Operating instructions and orientation, visible transaction prompts, user input verification, error messages, and all other visual information for full use must be accessible to and independently usable by individuals with vision impairments. Speech output must be delivered through a mechanism that is readily available to all users, including but not limited to, an industry standard connector or a telephone handset. Speech output must be recorded or digitized human, or synthesized. Speech output must be coordinated with information displayed on the screen. Speech output must comply with paragraphs (c)(5)(i)(A) through (F) of this section.
(A) When asterisks or other masking characters are used to represent personal identification numbers or other visual output that is not displayed for security purposes, the masking characters must be spoken (“*” spoken as “asterisk”) rather than presented as beep tones or speech representing the concealed information.
(B) Advertisements and other similar information are not required to be audible unless they convey information that can be used in the transaction being conducted.
(C) Speech for any single function must be automatically interrupted when a transaction is selected or navigation controls are used. Speech must be capable of being repeated and paused by the user.
(D) Where receipts, tickets, or other outputs are provided as a result of a transaction, speech output must include all information necessary to complete or verify the transaction, except that—
(1) Automated airport kiosk location, date and time of transaction, customer account numbers, and the kiosk identifier are not required to be audible;
(2) Information that duplicates information available on-screen and already presented audibly is not required to be repeated; and
(3) Printed copies of a carrier's contract of carriage, applicable fare rules, itineraries and other similar supplemental information that may be included with a boarding pass are not required to be audible.
(ii) Volume control. Automated kiosks must provide volume control complying with paragraphs (c)(5)(ii)(A) and (B) of this section.
(A) Private listening. Where speech required by paragraph (c)(5)(i) of this section is delivered through a mechanism for private listening, the automated kiosk must provide a means for the user to control the volume. A function must be provided to automatically reset the volume to the default level after every use.
(B) Speaker volume. Where sound is delivered through speakers on the automated kiosk, incremental volume control must be provided with output amplification up to a level of at least 65 dB SPL. Where the ambient noise level of the environment is above 45 dB SPL, a volume gain of at least 20 dB above the ambient level must be user selectable. A function must be provided to automatically reset the volume to the default level after every use.
(iii) Captioning. Multimedia content that contains speech or other audio information necessary for the comprehension of the content must be open or closed captioned. Advertisements and other similar information are not required to be captioned unless they convey information that can be used in the transaction being conducted.
(iv) Tickets and boarding passes. Where tickets or boarding passes are provided, tickets and boarding passes must have an orientation that is tactilely discernible if orientation is important to further use of the ticket or boarding pass.
(6) Input. Input devices must comply with paragraphs (c)(6)(i) through (iv) of this section.
(i) Input controls. At least one input control that is tactilely discernible without activation must be provided for each function. Where provided, key surfaces not on active areas of display screens, must be raised above surrounding surfaces. Where touch or membrane keys are the only method of input, each must be tactilely discernible from surrounding surfaces and adjacent keys.
(ii) Alphabetic keys. Alphabetic keys must be arranged in a QWERTY keyboard layout. The “F” and “J” keys must be tactilely distinct from the other keys.
(iii) Numeric keys. Numeric keys must be arranged in a 12-key ascending or descending keypad layout or must be arranged in a row above the alphabetic keys on a QWERTY keyboard. The “5” key must be tactilely distinct from the other keys.
(iv) Function keys. Function keys must comply with paragraphs (c)(6)(iv)(A) and (B) of this section.
(A) Contrast. Function keys must contrast visually from background surfaces. Characters and symbols on key surfaces must contrast visually from key surfaces. Visual contrast must be either light-on-dark or dark-on-light. However, tactile symbols required by (c)(6)(iv)(B) are not required to comply with (c)(6)(iv)(A) of this section.
(B) Tactile symbols. Function key surfaces must have tactile symbols as follows: Enter or Proceed key: raised circle; Clear or Correct key: raised left arrow; Cancel key: raised letter ex; Add Value key: raised plus sign; Decrease Value key: raised minus sign.
(7) Display screen. The display screen must comply with paragraphs (c)(7)(i) and (ii) of this section.
(i) Visibility. The display screen must be visible from a point located 40 inches (1015 mm) above the center of the clear floor space in front of the automated kiosk.
(ii) Characters. Characters displayed on the screen must be in a sans serif font. Characters must be 3/16 inch (4.8 mm) high minimum based on the uppercase letter “I.” Characters must contrast with their background with a minimum luminosity contrast ratio of 3:1.
(8) Braille instructions. Braille instructions for initiating the speech mode must be provided. Braille must comply with section 703.3 of the 2010 ADA Standards.
(9) Biometrics. Biometrics must not be the only means for user identification or control, unless at least two biometric options that use different biological characteristics are provided.
(d) You must provide equivalent service upon request to passengers with a disability who cannot readily use your automated airport kiosks (e.g., by directing a passenger who is blind to an accessible automated kiosk, assisting a passenger in using an inaccessible automated kiosk, assisting a passenger who due to his or her disability cannot use an accessible automated kiosk by allowing the passenger to come to the front of the line at the check-in counter).
(a) As a carrier, you must ensure that aircraft with 30 or more passenger seats on which passenger aisle seats have armrests are equipped with movable aisle armrests on at least one-half of the aisle seats in rows in which passengers with mobility impairments are permitted to sit under FAA or applicable foreign government safety rules.
(b) You are not required to provide movable armrests on aisle seats of rows which a passenger with a mobility impairment is precluded from using by an FAA safety rule.
(c) You must ensure that these movable aisle armrests are provided proportionately in all classes of service in the cabin. For example, if 80 percent of the aisle seats in which passengers with mobility impairments may sit are in coach, and 20 percent are in first class, then 80 percent of the movable aisle armrests must be in coach, with 20 percent in first class.
(d) For aircraft equipped with movable aisle armrests, you must configure cabins, or establish administrative systems, to ensure that passengers with mobility impairments or other passengers with a disability can readily identify and obtain seating in rows with movable aisle armrests. You must provide this information by specific seat and row number.
(e) You are not required to retrofit cabin interiors of existing aircraft to comply with the requirements of this section. However, if you replace any of an aircraft's aisle seats with newly manufactured seats, the new seats must include movable aisle armrests as required by this section. However, an aircraft is never required to have movable aisle armrests on more than one half of the aisle seats.
(f) As a foreign carrier, you must comply with the requirements of paragraphs (a) through (d) of this section with respect to new aircraft you operate that were initially ordered after May 13, 2009 or which are delivered after May 13, 2010. As a U.S. carrier, the requirements of paragraphs (a), (b), (d), and (e) of this section applies to you with respect to new aircraft you operate that were initially ordered after April 5, 1990, or which are delivered after April 5, 1992. As a U.S. carrier, paragraph (c) of this section applies to you with respect to new aircraft you operate that were initially ordered after May 13, 2009 or which were delivered after May 13, 2010.
(g) As a foreign carrier, you must comply with the requirements of paragraph (e) of this section with respect to seats ordered after May 13, 2009.
(a) As a carrier, you must ensure that aircraft with more than one aisle in which lavatories are provided shall include at least one accessible lavatory.
(1) The accessible lavatory must permit a qualified individual with a disability to enter, maneuver within as necessary to use all lavatory facilities, and leave, by means of the aircraft's on-board wheelchair.
(2) The accessible lavatory must afford privacy to persons using the on-board wheelchair equivalent to that afforded ambulatory users.
(3) The lavatory shall provide door locks, accessible call buttons, grab bars, faucets and other controls, and dispensers usable by qualified individuals with a disability, including wheelchair users and persons with manual impairments.
(b) With respect to aircraft not covered in paragraph (f) of this section with only one aisle in which lavatories are provided, you may, but are not required to, provide an accessible lavatory.
(c) You are not required to retrofit cabin interiors of existing aircraft to comply with the requirements of this section. However, if you replace a lavatory on an aircraft with more than one aisle, you must replace it with an accessible lavatory.
(d) As a foreign carrier, you must comply with the requirements of paragraph (a) of this section with respect to new aircraft you operate that were initially ordered after May 13, 2009 or which are delivered after May 13, 2010. As a U.S. carrier, this requirement applies to you with respect to new aircraft you operate that were initially ordered after April 5, 1990, or which were delivered after April 5, 1992.
(e) As a foreign carrier, you must comply with the requirements of paragraph (c) of this section beginning May 13, 2009. As a U.S. carrier, these requirements apply to you with respect to new aircraft you operate that were initially ordered after April 5, 1990, or which were delivered after April 5, 1992.
(f) As a carrier, you must ensure that all new single-aisle aircraft that you operate with an FAA-certificated maximum seating capacity of 125 or more that are delivered on or after October 2, 2026, and on which lavatories are provided shall include at least one lavatory that meets the following specifications:
(1) Grab bars must be provided and positioned as required to meet the needs of individuals with disabilities.
(2) Lavatory faucets must have controls with tactile information concerning temperature. Alternatively, carriers may comply with this requirement by ensuring that lavatory water temperature is adjusted to eliminate the risk of scalding for all passengers. Automatic or hand-operated faucets shall dispense water for a minimum of five seconds for each application or while the hand is below the faucet.
(3) Attendant call buttons and door locks must be accessible to an individual seated within the lavatory.
(4) Lavatory controls and dispensers must be discernible through the sense of touch. Operable parts within the lavatory must be operable with one hand and must not require tight grasping, pinching, or twisting of the wrist. You must comply with these requirements to the extent that such accessible components are reasonably available and certificated for the applicable aircraft type. You are not responsible for acquiring lavatory controls and dispensers with an accessible feature described above so long as you inform the Department of their unavailability despite your reasonable efforts.
(5) The lavatory door sill must provide minimum obstruction to the passage of the on-board wheelchair across the sill while preventing the leakage of fluids from the lavatory floor and trip hazards during an emergency evacuation.
(6) Toe clearance must not be reduced from current measurements.
(7) The aircraft must include a visual barrier that must be provided upon request of a passenger with a disability. The barrier must provide passengers with disabilities using the lavatory (with the lavatory door open) a level of privacy substantially equivalent to that provided to ambulatory users. Visual barriers are not an acceptable method of providing privacy with respect to lavatories covered in § 382.64.
(g) You are not required to retrofit cabin interiors of existing single-aisle aircraft to comply with the requirements of paragraph (f) of this section. However, if you replace a lavatory on a single-aisle aircraft after October 2, 2026, you must replace it with a lavatory complying with the requirements of paragraph (f) of this section. Under this paragraph (g), a lavatory is not considered replaced if it is removed for specified maintenance, safety checks, or any other action that results in returning the same lavatory into service. For retrofit lavatories, there shall be no requirement to install a visual barrier if doing so will obstruct the visibility of exit signs.
(h) As a carrier operating at least one aircraft with an FAA-certificated maximum seating capacity of 60 or more, you must comply with the following requirements:
(1) You must train flight attendants to proficiency on an annual basis to provide assistance in transporting qualified individuals with disabilities to and from the lavatory from the aircraft seat. Such training shall include hands-on training on the retrieval, assembly, stowage, transfer features, and use of the aircraft's on-board wheelchair, and regarding the accessibility features of the lavatory, including any assembly or modifications to accessibility features.
(2) You must provide information, on request, to qualified individuals with a disability or persons making inquiries on their behalf concerning, at a minimum, the accessibility features of aircraft lavatories set forth in paragraph (f) of this section. This information must also be available on the carrier's website (if the carrier markets tickets to the public), and in printed or electronic form on the aircraft, including picture diagrams of accessibility features in the lavatory and the location and usage of all controls and dispensers.
(3) You must remove or conceal the International Symbol of Accessibility from new and in-service aircraft equipped with lavatories that are not capable of facilitating a seated independent transfer (i.e., a transfer from an on-board wheelchair to the toilet seat without requiring the use of an assistant). You must include the International Symbol of Accessibility if the lavatory is capable of providing a seated independent transfer.
(4) You must develop and, upon request, inform passengers of trash disposal procedures and processes for sharps and bio-waste.
(5) You must comply with the provisions of this paragraph (h) by October 2, 2026.
(a) As a carrier, you must ensure that all new single-aisle aircraft that you operate with an FAA-certificated maximum seating capacity of 125 seats or more in which lavatories are provided, shall include at least one lavatory of sufficient size to:
(1) Permit a qualified individual with a disability equivalent in size to a 95th percentile male to approach, enter, maneuver within as necessary to use all lavatory facilities, and leave, by means of the aircraft's on-board wheelchair, in a closed space that affords privacy equivalent to that afforded to ambulatory users; and
(2) Permit an assistant equivalent in size to a 95th percentile male to assist a qualified individual with a disability, including assisting in transfers between the toilet and the aircraft's on-board wheelchair, within a closed space that affords privacy equivalent to that afforded to ambulatory users.
(b) You are not required to retrofit cabin interiors of existing single-aisle aircraft to comply with the requirements of paragraph (a) of this section.
(c) As a carrier, you must comply with the requirements of this section with respect to new aircraft that you operate that were originally ordered after October 3, 2033, or delivered after October 2, 2035, or are part of a new type-certificated design filed with the FAA or a foreign carrier's safety authority after October 2, 2024.
(a) As a carrier, you must equip aircraft that have more than 60 passenger seats, and that have an accessible lavatory (whether or not having such a lavatory is required by § 382.63 of this Part) with an on-board wheelchair. The Aerospatiale/Aeritalia ATR-72 and the British Aerospace Advanced Turboprop (ATP), in configurations having between 60 and 70 passenger seats, are exempt from this requirement.
(b) If a passenger asks you to provide an on-board wheelchair on a particular flight, you must provide it if the aircraft being used for the flight has more than 60 passenger seats, even if the aircraft does not have an accessible lavatory.
(1) The basis of the passenger's request must be that he or she can use an inaccessible lavatory but cannot reach it from a seat without using an on-board wheelchair.
(2) You may require the passenger to provide the advance notice specified in § 382.27 to receive this service.
(c) You must ensure that on-board wheelchairs meet the following standards:
(1) On-board wheelchairs must include footrests, armrests which are movable or removable, adequate occupant restraint systems, a backrest height that permits assistance to passengers in transferring, structurally sound handles for maneuvering the occupied chair, and wheel locks or another adequate means to prevent chair movement during transfer or turbulence.
(2) The chair must be designed to be compatible with the maneuvering space, aisle width, and seat height of the aircraft on which it is to be used, and to be easily pushed, pulled, and turned in the cabin environment by carrier personnel.
(d) As a foreign carrier, you must meet this requirement as of May 13, 2010. As a U.S. carrier, you must meet this requirement by May 13, 2009.
(e) As a carrier, you must ensure that all new single-aisle aircraft that you operate with an FAA-certificated maximum seating capacity of 125 or more that are delivered on or after October 2, 2026, and on which lavatories are provided include an on-board wheelchair meeting the requirements of this section. The Access Board's published nonbinding technical assistance on aircraft on-board wheelchairs may be relied upon for compliance with these requirements.
(1) The on-board wheelchair must be maneuverable both forward and backward through the aircraft aisle by an attendant.
(2) The height of the on-board wheelchair seat must align with the height of the aircraft seat so as to facilitate a safe transfer between the on-board wheelchair seat and the aircraft seat.
(3) The on-board wheelchair must have wheels that lock in the direction of travel, and that lock in place so as to permit safe transfers. Any other moving parts of the on-board wheelchair must be capable of being secured such that they do not move while the occupied on-board wheelchair is being maneuvered.
(4) The on-board wheelchair shall be designed not to tip or fall in any direction under normal operating conditions when occupied for use.
(5) The on-board wheelchair must have a padded seat and backrest and must be free of sharp or abrasive components.
(6) The on-board wheelchair must have arm supports that are sufficiently structurally sound to permit transfers and repositionable so as to allow for unobstructed transfers; adequate back support; torso and leg restraints that are adequate to prevent injury during transport; and a unitary foot support that provides sufficient clearance to traverse the threshold of the lavatory and is repositionable so as to allow for unobstructed transfer. All restraints must be operable by the passenger.
(7) The on-board wheelchair must be maneuverable in a forward orientation partially into at least one aircraft lavatory to permit transfer from the on-board wheelchair to the toilet.
(8) The on-board wheelchair must be maneuverable into the aircraft lavatory without protruding into the clear space needed to completely close the lavatory door.
(9) The on-board wheelchair must prominently display instructions for proper use.
(f) You are not required to expand the existing FAA-certificated on-board wheelchair stowage space of the aircraft, or modify the interior arrangement of the lavatory or the aircraft, in order to comply with this section. However, if the on-board wheelchair that you obtain does not fit within the original stowage space, and another space exists (e.g., an overhead compartment) where the on-board wheelchair could fit consistent with FAA safety standards, then you must stow the on-board wheelchair in that space and must request any necessary FAA approval to do so. You are not required to make the on-board wheelchair available if the pilot-in-command determines that safety or security considerations preclude its use.
(g) You must acquire an OBW that complies with as many requirements set forth in paragraph (e) of this section as are available. You are not responsible for the failure of third parties to develop and deliver an on-board wheelchair that complies with a requirement set forth in paragraph (e) of this section so long as you make reasonable efforts to purchase such an OBW and inform the Department at the address cited in § 382.159 that an on-board wheelchair meeting that requirement is unavailable despite your reasonable efforts. If you cannot provide a wheelchair meeting requirement (e)(8) of this section despite your reasonable efforts, then you must provide, on request, the use of the visual barrier (e.g., a curtain) described in § 382.63(f)(7) to enable the passenger to perform lavatory functions in privacy.
(h)(1) If you replace an on-board wheelchair supplied on aircraft with an FAA-certificated maximum seating capacity of 125 or more after October 2, 2026, then you must replace it with an on-board wheelchair that meets the standards set forth in paragraph (e) of this section.
(2) After October 2, 2026, if you purchase or otherwise obtain a new on-board wheelchair for use on aircraft with more than 60 passenger seats, it must meet the standards set forth in paragraph (e) of this section.
(3) Any on-board wheelchair supplied on aircraft with an FAA-certificated maximum seating capacity of more than 60 passenger seats and that has an accessible lavatory and that was delivered after October 2, 2026, must meet the standards set forth in paragraph (e) of this section.
(4) After October 2, 2031, any on-board wheelchair that you provide for passengers' use on aircraft with more than 60 passenger seats must meet the standards set forth in paragraph (e) of this section.
(5) For purposes of paragraphs (h)(2) through (4) of this section, you must acquire OBWs that comply with as many of the safety and accessibility requirements in paragraph (e) of this section as are available. You must inform the Department at the address cited in 14 CFR 382.159 that an on-board wheelchair meeting that requirement is unavailable, if that is the case.
(a) As a carrier, you must ensure that there is priority space (i.e., a closet, or a row of seats where a wheelchair may be strapped using a strap kit that complies with applicable Federal Aviation Administration or applicable foreign government regulations on the stowage of cargo in the cabin compartment) in the cabin of sufficient size to stow at least one typical adult-sized folding, collapsible, or break-down manual passenger wheelchair, the dimensions of which are 13 inches by 36 inches by 42 inches or less without having to remove the wheels or otherwise disassemble it. This section applies to any aircraft with 100 or more passenger seats and this space must be other than the overhead compartments and under-seat spaces routinely used for passengers' carry-on items.
(b) If you are a carrier that uses the seat-strapping method to stow a manual passenger wheelchair, you must ensure that there is priority space for at least two such wheelchairs, if stowing the second passenger wheelchair would not displace passengers.
(c) If you are a carrier that uses a closet as the priority space to stow a manual passenger wheelchair, you must install a sign or placard prominently on the closet indicating that such wheelchairs and other assistive devices are to be stowed in this area with priority over other items brought onto the aircraft by other passengers or crew, including crew luggage, as set forth in § 382.123.
(d) If passengers holding confirmed reservations are not able to travel on a flight because their seats are being used to stow a passenger's wheelchair as required by paragraph (a) of this section, carriers must compensate those passengers in an amount to be calculated as provided for in instances of involuntary denied boarding under 14 CFR part 250, where part 250 applies.
(e) As a carrier, you must never request or suggest that a passenger not stow his or her wheelchair in the cabin to accommodate other passengers (e.g., informing a passenger that stowing his or her wheelchair in the cabin will require other passengers to be removed from the flight), or for any other non-safety related reason (e.g., that it is easier for the carrier if the wheelchair is stowed in the cargo compartment).
(f) As a carrier, you must offer pre-boarding to a passenger stowing his or her wheelchair in the cabin.
(g) As a foreign carrier, you must meet the requirement of this section for new aircraft ordered after May 13, 2009, or delivered after May 13, 2010. As a U.S. carrier, this section applies to you with respect to new aircraft you operate that were ordered after April 5, 1990, or which were delivered after April 5, 1992.
(a) As a carrier, you must ensure that all new videos, DVDs, and other audio-visual displays played on aircraft for safety purposes, and all such new audio-visual displays played on aircraft for informational purposes that were created under your control, are high-contrast captioned. The captioning must be in the predominant language or languages in which you communicate with passengers on the flight.
(b) The requirements of paragraph (a) of this section go into effect with respect to audio-visual displays used for safety purposes on November 10, 2009.
(c) Between May 13, 2009 and November 9, 2009, U.S. carriers must ensure that all videos, DVDs, and other audio-visual displays played on aircraft for safety purposes have open captioning or an inset for a sign language interpreter, unless such captioning or inset either would interfere with the video presentation so as to render it ineffective or would not be large enough to be readable, in which case these carriers must use an equivalent non-video alternative for transmitting the briefing to passengers with hearing impairments.
(d) The requirements of paragraph (a) of this section go into effect with respect to informational displays on January 8, 2010.
(a) As a carrier, you must maintain all aircraft accessibility features in proper working order.
(b) You must ensure that any replacement or refurbishing of the aircraft cabin or its elements does not reduce the accessibility of that element to a level below that specified for new aircraft in this part.
You must allow a service animal to accompany a passenger with a disability. You must not deny transportation to a service animal based on the animal's breed or type or on the basis that its carriage may offend or annoy carrier personnel or persons traveling on the aircraft.
(a) You may rely on one or more of the factors set forth in paragraphs (a)(1) through)(3) of this section to determine if an animal is a service animal that must be accepted for transport.
(1) You may make two inquiries to determine whether an animal qualifies as a service animal. You may ask if the animal is required to accompany the passenger because of a disability and what work or task the animal has been trained to perform. You must not ask about the nature or extent of a person's disability or ask that the service animal demonstrate its work or task.
(2) You may observe the behavior of an animal. A trained service animal will remain under the control of its handler. It does not run freely around an aircraft or an airport gate area, bark or growl repeatedly at other persons or other animals on the aircraft or in the airport gate area, bite, jump on, or cause injury to people, or urinate or defecate in the cabin or gate area. An animal that engages in such disruptive behavior demonstrates that it has not been successfully trained to behave properly in a public setting and carriers are not required to treat it as a service animal without a carrier in the cabin, even if the animal performs an assistive function for a passenger with a disability.
(3) You may look for physical indicators, such as a harness or vest on the animal, to determine if the animal is a service animal.
(b) You may require that a service animal be harnessed, leashed, or otherwise tethered at all times by the service animal user or service animal handler while in areas of the airport that you own, lease or control, or on an aircraft.
You are not required to accept more than two service animals for a single passenger with a disability.
(a) If a passenger with a disability seeks to travel with a service animal, you may require the passenger to provide you, as a condition of permitting the service animal to travel in the cabin, a current completed U.S. Department of Transportation Service Animal Air Transportation Form. Current means the form was completed on or after the date the passenger purchased his or her airline ticket.
(b) On a flight segment scheduled to take 8 hours or more, you may, as a condition of permitting a service animal to travel in the cabin, require the passenger with a disability traveling with the service animal to confirm that the animal will not need to relieve itself on the flight, or that the animal can relieve itself in a way that does not create a health or sanitation issue on the flight by providing a current DOT Service Animal Relief Attestation Form. Current means the form was completed on or after the date the passenger purchased his or her airline ticket.
(c) You are not permitted to require documentation from passengers with disabilities traveling with service animals beyond the completion of the forms identified in paragraphs (a) and (b) of this section except to comply with requirements on transport of animals by a Federal agency, a U.S. territory or a foreign jurisdiction.
(d) As a U.S. air carrier, if you require service animal users to submit the forms identified in paragraphs (a) and (b) of this section, you must have copies of these forms available for passengers at each airport you serve. As a foreign air carrier, if you require service animal users to submit the forms identified in paragraphs (a) and (b) of this section, you must have copies of the forms available for passengers at each airport serving a flight you operate that begins or ends at a U.S. airport.
(e) If you have a website, you must have the forms identified in paragraphs (a) and (b) available to passengers in an accessible format. You must mail copies of the forms identified in paragraphs (a) and (b) to passengers upon request.
(f) If you require a passenger with a disability traveling with a service animal to submit the forms identified in paragraphs (a) and (b) of this section in advance of the passenger's date of travel, you must provide the passenger the option of submitting the completed form(s) to you electronically or by hardcopy.
(g)(1) If a passenger's reservation was made more than 48 hours in advance of the first originally scheduled departure time on the passenger's itinerary, you may require that passenger provide up to 48 hours advance notice by submitting the form identified in paragraph (a) of this section.
(2) If a passenger's reservation was made more than 48 hours in advance of the first originally scheduled departure time on the passenger's itinerary and a flight segment on the passenger's itinerary is scheduled to take 8 hours or more, you may require that the passenger provide up to 48 hours advance notice by submitting the form identified in paragraph (b) of this section.
(3) If a passenger's reservation was made less than 48 hours in advance of the first originally scheduled departure time on the passenger's itinerary, you may not require that passenger provide advance notice of his or her intent to travel with a service animal. You may require that the passenger complete the forms identified in paragraphs (a) and (b) of this section and submit a copy of the form to you at the passenger's departure gate on the date of travel.
(h) If the passenger does not meet the advance notice requirements you establish consistent with this section, you must still provide the accommodation if you can do so by making reasonable efforts, without delaying the flight.
You may not require a passenger with a disability to check-in physically at the airport, rather than using the online check-in available to the general public, on the basis that the passenger is traveling with a service animal.
(a) You must permit a service animal to accompany a passenger with a disability on the passenger's lap or in the passenger's foot space, unless this location and placement would:
(1) Be inconsistent with safety requirements set by the FAA or the foreign carrier's government; or
(2) Encroach into another passenger's space.
(b) Before refusing to transport a large service animal that cannot be accommodated on the passenger's lap or in the passenger's foot space without encroaching into another passenger's space, you must offer the passenger the opportunity to move with the animal to another seat location within the same class of service, if available on the aircraft, where the animal can be accommodated. You are not required to reseat other passengers to accommodate a service animal except as required for designated priority seats in Subpart F.
(c) If there are no alternatives available to enable the passenger to travel with the service animal in the cabin of the scheduled flight, you must offer the passenger the opportunity to transport the service animal in the cargo hold free of charge or travel on a later flight to the extent there is space available on a later flight and the transport is consistent with the safety requirements set by the FAA or a foreign carrier's government.
While you generally cannot charge an individual with a disability for transporting service animals, or for providing other services that this part requires, you may charge a passenger with a disability for damage caused by his or her service animal so long as you normally charge individuals without disabilities for similar kinds of damage.
(a) You may deny transport to a service animal under the following circumstances:
(1) The animal poses a direct threat to the health or safety of others (see definition in § 382.3);
(2) The animal causes a significant disruption in the cabin or at an airport gate area, or its behavior on the aircraft or at an airport gate area indicates that it has not been trained to behave properly in public (e.g., running freely, barking or growling repeatedly at other persons on the aircraft, biting or jumping on people, or urinating or defecating in the cabin or gate area);
(3) The animal's carriage would violate applicable safety or health requirements of any U.S. federal agency, U.S. territory or foreign government; or
(4) The passenger with a disability seeking to travel with a service animal in the cabin of the aircraft does not provide completed current forms as set forth in § 382.75 (a) and (b) to the carrier when requested to do so.
(b) In determining whether to deny transport to a service animal on the basis that the animal poses a direct threat under paragraph (a)(1) of this section, you must make an individualized assessment, independent of the dog's breed or type, based on reasonable judgment that relies on the best available objective evidence to ascertain the nature, duration, and severity of the risk; the probability that the potential injury will actually occur; and whether reasonable modifications of policies, practices, or procedure will mitigate the risk. A current completed U.S. Department of Transportation Service Animal Air Transportation Form may be used in making this determination.
(c) In determining whether to deny transport to a service animal on the basis that the animal has misbehaved and/or has caused a significant disruption in the cabin under paragraph (a)(2) of this section, you must make an individualized assessment, independent of the dog's breed or type, based on reasonable judgment that relies on the best available objective evidence to ascertain the probability that the misbehavior and/or disruption will continue to occur; and whether reasonable modifications of policies, practices, or procedure will mitigate the misbehavior and/or the disruption. A current completed U.S. Department of Transportation Service Animal Air Transportation Form and a current completed U.S. Department of Transportation Service Animal Relief Attestation Form may be used in making this determination.
(d) In conducting the analysis required under paragraphs (a)(1) and (2) of this section, you must not deny transportation to the service animal if there are means available short of refusal that would mitigate the problem (e.g., muzzling a barking service dog or taking other steps to comply with animal health regulations needed to permit entry of the service animal into a domestic territory or a foreign country).
(e) If you refuse to provide transportation to a service animal based on any provision in this part, you must provide the individual with a disability accompanied by the service animal a written statement of the reason for the refusal. This statement must include the specific basis for the carrier's opinion that the refusal meets the standards of paragraphs (a) through (c) of this section or is otherwise specifically permitted by this part. You must provide this written statement to the individual with a disability accompanied by the service animal either at the airport, or within 10 calendar days of the refusal of transportation.
Carriers are not permitted to establish additional restrictions on the transport of service animals outside of those specifically permitted by the provisions in this part, unless required by applicable FAA, TSA, or other Federal requirements or a foreign carrier's government.
As a carrier, you must provide the following seating accommodations to the following passengers on request, if the passenger self-identifies to you as having a disability specified in this section and the type of seating accommodation in question exists on the particular aircraft. Once the passenger self-identifies to you, you must ensure that the information is recorded and properly transmitted to personnel responsible for providing the accommodation.
(a) For a passenger who uses an aisle chair to access the aircraft and who cannot readily transfer over a fixed aisle armrest, you must provide a seat in a row with a movable aisle armrest. You must ensure that your personnel are trained in the location and proper use of movable aisle armrests, including appropriate transfer techniques. You must ensure that aisle seats with movable armrests are clearly identifiable.
(b) You must provide an adjoining seat for a person assisting a passenger with a disability in the following circumstances:
(1) When a passenger with a disability is traveling with a personal care attendant who will be performing a function for the individual during the flight that airline personnel are not required to perform (e.g., assistance with eating);
(2) When a passenger with a vision impairment is traveling with a reader/assistant who will be performing functions for the individual during the flight;
(3) When a passenger with a hearing impairment is traveling with an interpreter who will be performing functions for the individual during the flight; or
(4) When you require a passenger to travel with a safety assistant (see § 382.29).
(c) For a passenger with a disability traveling with a service animal, you must provide, as the passenger requests, either a bulkhead seat or a seat other than a bulkhead seat.
(d) For a passenger with a fused or immobilized leg, you must provide a bulkhead seat or other seat that provides greater legroom than other seats, on the side of an aisle that better accommodates the individual's disability.
(a) If you are a carrier that provides advance seat assignments to passengers (i.e., offer seat assignments to passengers before the day of the flight), you must comply with the requirements of § 382.81 of this part by any of the following methods:
(1) You may “block” an adequate number of the seats used to provide the seating accommodations required by § 382.81.
(i) You must not assign these seats to passengers who do not meet the criteria of § 382.81 until 24 hours before the scheduled departure of the flight.
(ii) At any time up until 24 hours before the scheduled departure of the flight, you must assign a seat meeting the requirements of this section to a passenger with a disability meeting one or more of the requirements of § 382.81 who requests it, at the time the passenger initially makes the request.
(iii) If a passenger with a disability specified in § 382.81 does not make a request at least 24 hours before the scheduled departure of the flight, you must meet the passenger's request to the extent practicable, but you are not required to reassign a seat assigned to another passenger in order to do so.
(2) You may designate an adequate number of the seats used to provide seating accommodations required by § 382.81 as “priority seats” for passengers with a disability.
(i) You must provide notice that all passengers assigned these seats (other than passengers with a disability listed in § 382.81 of this part) are subject to being reassigned to another seat if necessary to provide a seating accommodation required by this section.
(ii) You may provide this notice through your computer reservation system, verbal information provided by reservation personnel, ticket notices, gate announcements, counter signs, seat cards or notices, frequent-flier literature, or other appropriate means.
(iii) You must assign a seat meeting the requirements of this section to a passenger with a disability listed in § 382.81 of this part who requests the accommodation at the time the passenger makes the request. You may require such a passenger to check in and request the seating accommodation at least one hour before the standard check-in time for the flight. If all designated priority seats that would accommodate the passenger have been assigned to other passengers, you must reassign the seats of the other passengers as needed to provide the requested accommodation.
(iv) If a passenger with a disability listed in § 382.81 does not check in at least an hour before the standard check-in time for the general public, you must meet the individual's request to the extent practicable, but you are not required to reassign a seat assigned to another passenger in order to do so.
(b) If you assign seats to passengers, but not until the date of the flight, you must use the “priority seating” approach of paragraph (a)(2) of this section.
(c) If you do not provide advance seat assignments to passengers, you must allow passengers specified in § 382.81 to board the aircraft before other passengers, including other “preboarded” passengers, so that the passengers needing seating accommodations can select seats that best meet their needs.
(d) As a carrier, if you wish to use a different method of providing seating assignment accommodations to passengers with disabilities from those specified in this subpart, you must obtain the written concurrence of the Department of Transportation. Contact the Department at the address cited in § 382.159 of this part.
As a carrier, you must provide the following seating accommodations to a passenger who self-identifies as having a disability other than one in the four categories listed in § 382.81 (a) through (d) of this part and as needing a seat assignment accommodation in order to readily access and use the carrier's air transportation services:
(a) As a carrier that assigns seats in advance, you must provide accommodations in the following ways:
(1) If you use the “seat-blocking” mechanism of § 382.83(a)(1) of this part, you must implement the requirements of this section as follows:
(i) When a passenger with a disability not described in § 382.81(a) through (d) of this part makes a reservation more than 24 hours before the scheduled departure time of the flight, you are not required to offer the passenger one of the seats blocked for the use of passengers with a disability listed under § 382.81.
(ii) However, you must assign to the passenger any seat, not already assigned to another passenger that accommodates the passenger's needs, even if that seat is not available for assignment to the general passenger population at the time of the request.
(2) If you use the “designated priority seats” mechanism of § 382.83(a)(2) of this part, you must implement the requirements of this section as follows:
(i) When a passenger with a disability not described in § 382.81 makes a reservation, you must assign to the passenger any seat, not already assigned to another passenger, that accommodates the passenger's needs, even if that seat is not available for assignment to the general passenger population at the time of the request. You may require a passenger making such a request to check in one hour before the standard check-in time for the flight.
(ii) If such a passenger is assigned to a designated priority seat, he or she is subject to being reassigned to another seat as provided in § 382.83(a)(2)(i) of this subpart.
(b) On flights where advance seat assignments are not offered, you must provide seating accommodations under this section by allowing passengers to board the aircraft before other passengers, including other “preboarded” passengers, so that the individuals needing seating accommodations can select seats that best meet their needs.
(c) If you assign seats to passengers, but not until the date of the flight, you must use the “priority seating” approach of section 382.83(a)(2).
(a) As a carrier, you must not exclude any passenger with a disability from any seat or require that a passenger with a disability sit in any particular seat, on the basis of disability, except to comply with FAA or applicable foreign government safety requirements.
(b) In responding to requests from individuals for accommodations under this subpart, you must comply with FAA and applicable foreign government safety requirements, including those pertaining to exit seating (see 14 CFR 121.585 and 135.129).
(c) If a passenger's disability results in involuntary active behavior that would result in the person properly being refused transportation under § 382.19, and the passenger could be transported safely if seated in another location, you must offer to let the passenger sit in that location as an alternative to being refused transportation.
(d) If you have already provided a seat to a passenger with a disability to furnish an accommodation required by this subpart, you must not (except in the circumstance described in § 382.85(a)(2)(ii)) reassign that passenger to another seat in response to a subsequent request from another passenger with a disability, without the first passenger's consent.
(e) You must never deny transportation to any passenger in order to provide accommodations required by this subpart.
(f) You are not required to furnish more than one seat per ticket or to provide a seat in a class of service other than the one the passenger has purchased in order to provide an accommodation required by this part.
(a) As a carrier, the assistance you provide with respect to this subpart must be performed in a prompt manner.
(b) Whether the assistance is prompt is dependent on the totality of the circumstances, except, for as set forth in paragraph (c) of this section.
(c) Prompt assistance for a person who uses a boarding chair (i.e., aisle chair) in deplaning means:
(1) Personnel and boarding chair must be available to deplane the passenger when the last passenger who did not request deplaning assistance departs the aircraft;
(2) The passenger's personal wheelchair must be available as close as possible to the door of the aircraft to the maximum extent possible, except:
(i) Where this practice would be inconsistent with Federal regulations governing transportation security or the transportation of hazardous materials; or
(ii) When the passenger requests the wheelchair be returned at a location other than the door of the aircraft; and
(3) When a passenger's personal wheelchair is not available at the door of the aircraft for the reasons set forth in paragraph (c)(2) of this section, an airport wheelchair must be available as close as possible to the door of the aircraft for the passenger's use.
(a) As a carrier, you must provide or ensure the provision of assistance requested by or on behalf of a passenger with a disability, or offered by carrier or airport operator personnel and accepted by a passenger with a disability, in transportation between gates to make a connection to another flight. If the arriving flight and the departing connecting flight are operated by different carriers, the carrier that operated the arriving flight (i.e., the one that operates the first of the two flights that are connecting) is responsible for providing or ensuring the provision of this assistance, even if the passenger holds a separate ticket for the departing flight. It is permissible for the two carriers to mutually agree that the carrier operating the departing connecting flight (i.e., the second flight of the two) will provide this assistance, but the carrier operating the arriving flight remains responsible under this section for ensuring that the assistance is provided.
(b) You must also provide or ensure the provision of assistance requested by or on behalf of a passenger with a disability, or offered by carrier or airport operator personnel and accepted by a passenger with a disability, in moving from the terminal entrance (or a vehicle drop-off point adjacent to the entrance) through the airport to the gate for a departing flight, or from the gate to the terminal entrance (or a vehicle pick-up point adjacent to the entrance after an arriving flight).
(1) This requirement includes assistance in accessing key functional areas of the terminal, such as ticket counters and baggage claim.
(2) This requirement also includes a brief stop upon the passenger's request at the entrance to a rest room (including an accessible rest room when requested). As a carrier, you are required to make such a stop only if the rest room is available on the route to the destination of the enplaning, deplaning, or connecting assistance and you can make the stop without unreasonable delay. To receive such assistance, the passenger must self-identify as being an individual with a disability needing the assistance.
(c) As a carrier at a U.S. airport, you must, on request, in cooperation with the airport operator, provide for escorting a passenger with a service animal to an animal relief area provided under § 382.51(a)(5) of this part.
(d) As part of your obligation to provide or ensure the provision of assistance to passengers with disabilities in moving through the terminal (e.g., between the terminal entrance and the gate, between gate and aircraft, from gate to a baggage claim area), you must assist passengers who are unable to carry their luggage because of a disability with transporting their gate-checked or carry-on luggage. You may request the credible verbal assurance that a passenger cannot carry the luggage in question. If a passenger is unable to provide credible assurance, you may require the passenger to provide documentation as a condition of providing this service.
As a carrier, you must offer preboarding to passengers with a disability who self-identify at the gate as needing additional time or assistance to board, stow accessibility equipment, or be seated.
(a) As a carrier, you must provide or ensure the provision of assistance requested by or on behalf of passengers with a disability, or offered by carrier or airport operator personnel and accepted by passengers with a disability, in enplaning and deplaning. This assistance must include, as needed, the services of personnel and the use of ground wheelchairs, accessible motorized carts, boarding wheelchairs, and/or on-board wheelchairs where provided in accordance with this part, and ramps or mechanical lifts.
(b) As a carrier, you must, except as otherwise provided in this subpart, provide boarding and deplaning assistance through the use of lifts or ramps at any U.S. commercial service airport with 10,000 or more annual enplanements where boarding and deplaning by level-entry loading bridges or accessible passenger lounges is not available.
The requirement of section 382.95(b) of this part to provide boarding and deplaning assistance through the use of lifts applies with respect to all aircraft with a passenger capacity of 19 or more, with the following exceptions:
(a) Float planes;
(b) The following 19-seat capacity aircraft models: the Fairchild Metro, the Jetstream 31 and 32, the Beech 1900 (C and D models), and the Embraer EMB-120;
(c) Any other aircraft model determined by the Department of Transportation to be unsuitable for boarding and deplaning assistance by lift, ramp, or other suitable device.
The Department will make such a determination if it concludes that—
(1) No existing boarding and deplaning assistance device on the market will accommodate the aircraft without a significant risk of serious damage to the aircraft or injury to passengers or employees, or
(2) Internal barriers are present in the aircraft that would preclude passengers who use a boarding or aisle chair from reaching a non-exit row seat.
(a) As a carrier, you must negotiate in good faith with the airport operator of each U.S. airport described in § 382.95(b) to ensure the provision of lifts for boarding and deplaning where level-entry loading bridges are not available.
(b) You must have a written, signed agreement with the airport operator allocating responsibility for meeting the boarding and deplaning assistance requirements of this subpart between or among the parties. For foreign carriers, with respect to all covered aircraft, this requirement becomes effective May 13, 2010.
(c) For foreign carriers, the agreement with a U.S. airport must provide that all actions necessary to ensure accessible boarding and deplaning for passengers with a disability are completed as soon as practicable, but no later than May 13, 2011.
(d) Under the agreement, you may, as a carrier, require that passengers wishing to receive boarding and deplaning assistance requiring the use of a lift for a flight check in for the flight one hour before the standard check-in time for the flight. If the passenger checks in after this time, you must nonetheless provide the boarding and deplaning assistance by lift if you can do so by making a reasonable effort, without delaying the flight.
(e) The agreement must ensure that all lifts and other accessibility equipment are maintained in proper working condition.
(f) All carriers and airport operators involved are jointly and severally responsible for the timely and complete implementation of the agreement.
(g) You must make a copy of this agreement available, on request, to representatives of the Department of Transportation.
When level-entry boarding and deplaning assistance is not required to be provided under this subpart, you must, as a carrier, provide or ensure the provision of boarding and deplaning assistance by any available means to which the passenger consents. However, you must never use hand-carrying (i.e., directly picking up the passenger's body in the arms of one or more carrier personnel to effect a level change the passenger needs to enter or leave the aircraft), even if the passenger consents, unless this is the only way of evacuating the individual in the event of an emergency. The situations in which level-entry boarding is not required but in which you must provide this boarding and deplaning assistance include, but are not limited to, the following:
(a) The boarding or deplaning process occurs at a U.S. airport that is not a commercial service airport that has 10,000 or more enplanements per year;
(b) The boarding or deplaning process occurs at a foreign airport;
(c) You are using an aircraft subject to an exception from the lift boarding and deplaning assistance requirements under § 382.97 (a)-(c) of this subpart;
(d) The deadlines established in § 382.99(c) have not yet passed; and
(e) Circumstances beyond your control (e.g., unusually severe weather; unexpected mechanical problems) prevent the use of a lift.
As a carrier, you must not leave a passenger who has requested assistance required by this subpart unattended by the personnel responsible for enplaning, deplaning, or connecting assistance in a ground wheelchair, boarding wheelchair, or other device, in which the passenger is not independently mobile, for more than 30 minutes. This requirement applies even if another person (e.g., family member, personal care attendant) is accompanying the passenger, unless the passenger explicitly waives the obligation.
At a foreign airport at which enplaning, deplaning, or connecting assistance is provided by the airport operator, rather than by carriers, as a carrier you may rely on the services provided by the airport operator to meet the requirements of this subpart. If the services provided by the airport operator are not sufficient to meet the requirements of this subpart, you must supplement the airport operator's services to ensure that these requirements are met. If you believe you are precluded by law from supplementing the airport operator's services, you may apply for a conflict of laws waiver under § 382.9 of this part.
As a carrier, you must provide services within the aircraft cabin as requested by or on behalf of passengers with a disability, or when offered by carrier personnel and accepted by passengers with a disability, as follows:
(a) Assistance in moving to and from seats, as part of the enplaning and deplaning processes;
(b) Assistance in preparation for eating, such as opening packages and identifying food;
(c) If there is an on-board wheelchair on the aircraft, assistance with the use of the on-board wheelchair to enable the person to move to and from a lavatory;
(d) Assistance to a semi-ambulatory person in moving to and from the lavatory, not involving lifting or carrying the person; or
(e) Assistance in stowing and retrieving carry-on items, including mobility aids and other assistive devices stowed in the cabin (see also 382.91(d)). To receive such assistance, the passenger must self-identify as being an individual with a disability needing the assistance.
(f) Effective communication with passengers who have vision impairments or who are deaf or hard-of-hearing, so that these passengers have prompt access to information the carrier provides to other passengers (e.g. weather, on-board services, flight delays, connecting gates at the next airport).
As a carrier, you are not required to provide extensive special assistance to qualified individuals with a disability. For purposes of this section, extensive special assistance includes the following activities:
(a) Assistance in actual eating;
(b) Assistance within the restroom or assistance at the passenger's seat with elimination functions; and
(c) Provision of medical services.
As a carrier, you must comply with the following requirements with respect to on-board safety briefings:
(a) You must conduct an individual safety briefing for any passenger where required by 14 CFR 121.571(a)(3) and (a)(4), 14 CFR 135.117(b), or other FAA requirements.
(b) You may offer an individual briefing to any other passenger, but you may not require an individual to have such a briefing except as provided in paragraph (a) of this section.
(c) You must not require any passenger with a disability to demonstrate that he or she has listened to, read, or understood the information presented, except to the extent that carrier personnel impose such a requirement on all passengers with respect to the general safety briefing. You must not take any action adverse to a qualified individual with a disability on the basis that the person has not “accepted” the briefing.
(d) When you conduct an individual safety briefing for a passenger with a disability, you must do so as inconspicuously and discreetly as possible.
(e) The accessibility requirements for onboard video safety presentations that carriers must meet are outlined in section 382.69.
(a) As a carrier, you must ensure that passengers with a disability who identify themselves as needing visual or hearing assistance have prompt access to the same information provided to other passengers on the aircraft as described in paragraph (b) of this section, to the extent that it does not interfere with crewmembers' safety duties as set forth in FAA and applicable foreign regulations.
(b) The covered information includes but is not limited to the following: information concerning flight safety, procedures for takeoff and landing, flight delays, schedule or aircraft changes that affect the travel of persons with disabilities, diversion to a different airport, scheduled departure and arrival time, boarding information, weather conditions at the flight's destination, beverage and menu information, connecting gate assignments, baggage claim, individuals being paged by airlines, and emergencies (e.g., fire or bomb threat).
(a) As a carrier, you must permit passengers with a disability to bring the following kinds of items into the aircraft cabin, provided that they can be stowed in designated priority storage areas or in overhead compartments or under seats, consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items.
(1) Manual wheelchairs, including folding or collapsible wheelchairs;
(2) Other mobility aids, such as canes (including those used by persons with impaired vision), crutches, and walkers; and
(3) Other assistive devices for stowage or use within the cabin (e.g., prescription medications and any medical devices needed to administer them such as syringes or auto-injectors, vision-enhancing devices, and POCs, ventilators and respirators that use non-spillable batteries, as long as they comply with applicable safety, security and hazardous materials rules).
(b) In implementing your carry-on baggage policies, you must not count assistive devices (including the kinds of items listed in paragraph (a) of this section) toward a limit on carry-on baggage.
(a) The following rules apply to the stowage of passengers' wheelchairs or other assistive devices in the priority stowage area provided for in § 382.67 of this part:
(1) You must ensure that a passenger with a disability who uses a wheelchair and takes advantage of the opportunity to preboard the aircraft can stow his or her wheelchair in this area, with priority over other items brought onto the aircraft by other passengers or crew enplaning at the same airport, consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items. You must move items that you or your personnel have placed in the priority stowage area (e.g., crew luggage, an on-board wheelchair) to make room for the passenger's wheelchair, even if these items were stowed in the priority stowage area before the passenger seeking to stow a wheelchair boarded the aircraft (e.g., the items were placed there on a previous leg of the flight).
(2) You must also ensure that a passenger with a disability who takes advantage of the opportunity to preboard the aircraft can stow other assistive devices in this area, with priority over other items (except wheelchairs) brought onto the aircraft by other passengers enplaning at the same airport consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items.
(3) You must ensure that a passenger with a disability who does not take advantage of the opportunity to preboard is able to use the area to stow his or her wheelchair or other assistive device on a first-come, first-served basis along with all other passengers seeking to stow carry-on items in the area.
(b) If a wheelchair exceeds the space provided for in § 382.67 of this part while fully assembled but will fit if wheels or other components can be removed without the use of tools, you must remove the applicable components and stow the wheelchair in the designated space. In this case, you must stow the removed components in areas provided for stowage of carry-on luggage.
(a) As a carrier, you must stow wheelchairs, other mobility aids, or other assistive devices in the baggage compartment if an approved stowage area is not available in the cabin or the items cannot be transported in the cabin consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items.
(b) You must give wheelchairs, other mobility aids, and other assistive devices priority for stowage in the baggage compartment over other cargo and baggage. Only items that fit into the baggage compartment and can be transported consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of items in the baggage compartment need be transported. Where this priority results in other passengers' baggage being unable to be carried on the flight, you must make your best efforts to ensure that the other baggage reaches the passengers' destination on the carrier's next flight to the destination.
(c) You must provide for the checking and timely return of passengers' wheelchairs, other mobility aids, and other assistive devices as close as possible to the door of the aircraft, so that passengers may use their own equipment to the extent possible, except
(1) Where this practice would be inconsistent with Federal regulations governing transportation security or the transportation of hazardous materials; or
(2) When the passenger requests the return of the items at the baggage claim area instead of at the door of the aircraft.
(d) In order to achieve the timely return of wheelchairs, you must ensure that passengers' wheelchairs, other mobility aids, and other assistive devices are among the first items retrieved from the baggage compartment.
(e) You must notify passengers in writing when they check wheelchairs or scooters to be stowed in the baggage compartment that they have the right to contact a CRO, how they can contact a CRO, and the right to file a claim with the airline if their wheelchairs or scooters are mishandled while in your custody. You must provide this notification in an accessible format for individuals with disabilities.
(f)(1) You must notify passengers with disabilities, before the aircraft cabin door closes, whether their wheelchairs or scooters have been loaded in the cargo compartments of their flights, including whether their device could not fit on the passenger's scheduled flight because of its size or weight.
(2) If a passenger's wheelchair or scooter is not loaded on his or her scheduled flight for whatever reason, you must offer to disembark the passenger and rebook them at no additional cost on the next available flight operated by you or a partner carrier. In addition, when you become aware that a passenger's wheelchair or scooter does not fit on the passenger's scheduled flight, if that is the case, you must offer to rebook the passenger at no additional cost on the next available flight operated by you or a partner carrier where the wheelchair or scooter will fit, if such an aircraft is available.
(3) You must notify passengers with disabilities, before they deplane, when their wheelchairs or scooters have been unloaded from the cargo compartments of their flights upon arrival.
(4) You must provide the notifications required by paragraphs (f)(1) and (3) of this section in an accessible format for individuals with disabilities.
(a) Whenever baggage compartment size and aircraft airworthiness considerations do not prohibit doing so, you must, as a carrier, accept a passenger's battery-powered wheelchair or other similar mobility device, including the battery, as checked baggage, consistent with the requirements of 49 CFR 175.10(a)(15) and (16) and the provisions of paragraphs (b) through (f) of this section.
(b) You may require that passengers with a disability wishing to have battery-powered wheelchairs or other similar mobility devices transported on a flight check in one hour before the check-in time for the general public. If the passenger checks in after this time, you must nonetheless carry the wheelchair or other similar mobility device if you can do so by making a reasonable effort, without delaying the flight.
(c) If the battery on the passenger's wheelchair or other similar mobility device has been labeled by the manufacturer as non-spillable as provided in 49 CFR 173.159(d)(2), or if a battery-powered wheelchair with a spillable battery can be loaded, stored, secured and unloaded in an upright position, you must not require the battery to be removed and separately packaged. Notwithstanding this requirement, you must remove and package separately any battery that is inadequately secured to a wheelchair or, for a spillable battery, is contained in a wheelchair that cannot be loaded, stowed, secured and unloaded in an upright position, in accordance with 49 CFR 175.10(a)(15) and (16). A damaged or leaking battery should not be transported.
(d) When it is necessary to detach the battery from the wheelchair, you must, upon request, provide packaging for the battery meeting the requirements of 49 CFR 175.10(a)(15) and (16) and package the battery. You may refuse to use packaging materials or devices other than those you normally use for this purpose.
(e) You must not disconnect the battery on wheelchairs or other mobility devices equipped with a non-spillable battery completely enclosed within a case or compartment integral to the design of the device unless an FAA or PHMSA safety regulation, or an applicable foreign safety regulation having mandatory legal effect, requires you to do so.
(f) You must not drain batteries.
(a) As a carrier, you must permit passengers with a disability to provide written directions concerning the disassembly and reassembly of their wheelchairs, other mobility aids, and other assistive devices. You must carry out these instructions to the greatest extent feasible, consistent with FAA, PHMSA, TSA, or applicable foreign government requirements concerning security, safety, and hazardous materials with respect to the stowage of carry-on items.
(b) When wheelchairs, other mobility aids, or other assistive devices are disassembled by the carrier for stowage, you must reassemble them and ensure their prompt return to the passenger. You must return wheelchairs, other mobility aids, and other assistive devices to the passenger in the condition in which you received them.
(a) You must return checked wheelchairs, scooters, other mobility aids, and other assistive devices to the passenger in the condition in which you received them. Whenever a passenger's checked wheelchair, scooter, other mobility aid, or other assistive device that was in your custody is not returned to the passenger in the same condition it was received, there is a rebuttable presumption that you mishandled the passenger's wheelchair, scooter, other mobility aid, or other assistive device in violation of the ACAA.
(1) The presumption of a violation in this paragraph (a) can be overcome if you can successfully demonstrate that the alleged mishandling of the wheelchair, scooter, other mobility aid, or other assistive device did not occur while the wheelchair, scooter, other mobility aid, or assistive device was in your control and custody (e.g., the damage occurred before the passenger checked the wheelchair, scooter, other mobility aid, or assistive device; the damage occurred after you returned the wheelchair, scooter, other mobility aid, or assistive device to the passenger) or that the passenger's claim is false or fraudulent.
(2) The presumption of a violation in this paragraph (a) cannot be overcome by demonstrating that the mishandling of a checked wheelchair, scooter, other mobility aid, or other assistive device is the result of “an act of God” or other circumstances beyond the control of the airline.
(b) When you become aware that a passenger's wheelchair or scooter has been mishandled (i.e., your personnel notices that the wheelchair or assistive device has been mishandled or the passenger notifies airline personnel of the mishandling of the wheelchair or assistive device, whichever occurs first), you must immediately notify the impacted passenger in writing of his or her rights to file a claim with the carrier, to receive a loaner wheelchair or scooter from the carrier with certain customizations described in paragraph (e) of this section, to choose a preferred vendor for repairs or replacement of the device, and to have a Complaints Resolution Official (CRO) available and be provided information on how to contact the CRO. You must provide this notification in an accessible format for individuals with disabilities.
(c)(1) When a passenger's checked wheelchair or scooter has been delayed while in your custody, you must ensure that the device is transported to the passenger's final destination within 24 hours of the passenger's arrival for domestic flights and short international flights between the United States and a foreign point that is 12 hours or less in duration and within 30 hours of the passenger's arrival for long international flights between the United States and a foreign point that is more than 12 hours in duration. You must transport the delayed device by whatever means are available to safely do so.
(2) You must provide passengers a choice between picking up the delayed wheelchair or scooter at the passenger's final destination airport or having the delayed wheelchair or scooter delivered to a reasonable location requested by the passenger, such as the passenger's home or hotel. Depending on the passenger's choice, the delayed wheelchair or scooter is considered to be provided to the passenger either when the passenger or another person authorized to act on behalf of the passenger picks up the delayed wheelchair or scooter at his or her destination airport or when you deliver the delayed wheelchair or scooter to the passenger or another person authorized to act on behalf of the passenger at a reasonable location requested by the passenger, such as the passenger's home or hotel.
(3) If a passenger files a claim with you for a delayed wheelchair or scooter, you must provide them updates when there is a status change for the delayed device.
(4) In consultation with disability rights organizations, you must establish and provide safe and adequate seating accommodations at the airport to be used by individuals with disabilities who are waiting for delayed personal wheelchairs or scooters or waiting for loaner wheelchairs or scooters after a passenger's wheelchair or scooter is mishandled by you and cannot be promptly returned.
(5) You must reimburse passengers for the cost(s) of any transportation to or from the airport that the passenger incurred as a direct result of you delaying the passenger's wheelchair or scooter. You may require passengers to submit documentation that substantiates the cost(s), such as receipts or invoices, to receive reimbursement.
(d) When a passenger's checked wheelchair or scooter has been lost, damaged, or pilfered while in your custody, you must:
(1) Provide the passenger a reasonable timeframe to inspect the wheelchair or scooter and to file a claim with the carrier for the mishandling;
(2) Provide the passenger the following options if repair or replacement is needed:
(i) The passenger may file a claim with you and elect for the carrier to handle the repair or replacement of the wheelchair or scooter. If the passenger selects this option, you must promptly repair or replace the wheelchair or scooter, with a device of equivalent or greater function and safety, and pay the cost of repair or replacement; or
(ii) The passenger may file a claim with you and elect to use the passenger's preferred vendor to repair or replace the wheelchair or scooter. If the passenger selects this option, you are responsible for promptly transporting the passenger's wheelchair or scooter to the passenger's preferred vendor, unless the passenger has indicated that he or she will arrange for the transport themselves, and for directly paying the cost of transport and repair or replacement, with a device of equivalent or greater function and safety; and
(3) Promptly review all claims received within a reasonable time of the repaired or replaced wheelchair or scooter being returned to the passenger alleging that the provided repairs were not sufficient. If the passenger's claim is warranted and the initial repairs were insufficient, then you must promptly repair or replace the device to the passenger's satisfaction.
(e) While the passenger is waiting for his or her mishandled personal wheelchair or scooter to be returned, repaired, or replaced, you must use your best efforts to work with the passenger and to provide an adequate loaner wheelchair or scooter that meets the passenger's functional, mobility-related and safety-related needs, to the maximum extent possible. You must pay for the cost of the loaner wheelchair or scooter. If the loaner wheelchair or scooter you offer does not meet the passenger's functional and safety-related needs as well as the passenger's existing device, the passenger may find and secure an alternative loaner wheelchair or scooter that is better than the one you offered, and you must reimburse the passenger for the cost of that loaner within 30 days of the passenger's request. You may require the passenger to provide documentation substantiating the cost, such as receipts or invoices, to receive the reimbursement.
(f) The liability limits for carriers under the Montreal Convention will apply if the wheelchair or scooter mishandling occurs on an international flight.
With respect to transportation to which 14 CFR part 254 applies, the limits to liability for loss, damage, or delay concerning wheelchairs or other assistive devices provided in part 254 do not apply. The basis for calculating the compensation for a lost, damaged, or destroyed wheelchair or other assistive device shall be the original purchase price of the device.
(a) As part of your obligation under § 382.11 to not exclude a qualified individual with a disability from or deny the person the benefit of any air transportation or related services that are available to other persons, to the extent a passenger who uses a wheelchair or scooter cannot book his or her preferred flight because his or her wheelchair or scooter cannot fit in the cabin or cargo compartment of the aircraft of the preferred flight, and the passenger must book a more expensive flight that can accommodate the passenger's wheelchair or scooter, you must, upon request, reimburse the passenger the difference between the more expensive flight the passenger purchased and had to take and the preferred flight that the passenger would have purchased and taken if his or her wheelchair or scooter had been able to fit.
(b) As a condition for issuing reimbursements in paragraph (a) of this section, you may require the following from passengers with disabilities:
(1) The preferred flight and the more expensive flight are on the same airline;
(2) The preferred flight and the more expensive flight are on the same day;
(3) The preferred flight and the more expensive flight have the same origin and destination;
(4) Reasonable documentation to verify: the dimensions of the passenger's wheelchair or scooter; the cost of the passenger's preferred flight that could not accommodate the passenger's wheelchair or scooter; and the cost of the more expensive flight the passenger purchased and had to take.
(c) You must provide the reimbursement required by paragraph (a) of this section within 30 days of receiving a request and the reasonable documentation permitted in paragraph (b) of this section, if you require such documentation.
(d) You must disclose on your website accurate information on the documentation you require from the passenger to support a reimbursement claim.
(a) Except for on-demand air taxi operators, as a U.S. carrier conducting passenger service you must permit any individual with a disability to use in the passenger cabin during air transportation an electronic assistive device specified in paragraph (c) of this section on all aircraft originally designed to have a maximum passenger capacity of more than 19 seats unless:
(1) The device does not meet applicable FAA requirements for medical portable electronic device; or
(2) The device cannot be stowed and used in the passenger cabin consistent with applicable TSA, FAA, and PHMSA regulations.
(b) Except for foreign carriers conducting operations of a nature equivalent to on-demand air taxi operations by a U.S. carrier, as a foreign carrier conducting passenger service you must permit any individual with a disability to use in the passenger cabin during air transportation to, from or within the United States, an electronic assistive device specified in paragraph (d) of this section on all aircraft originally designed to have a maximum passenger capacity of more than 19 seats unless:
(1) The device does not meet requirements for medical portable electronic devices set by the foreign carrier's government if such requirements exist;
(2) The device does not meet requirements for medical portable electronic devices set by the FAA for U.S. carriers in circumstances where requirements for medical portable electronic devices have not been set by the foreign carrier's government and the foreign carrier elects to apply FAA requirements for medical portable electronic devices; or
(3) The device cannot be stowed and used in the passenger cabin consistent with applicable TSA, FAA and PHMSA regulations, and the safety or security regulations of the foreign carrier's government.
(c) Except as provided in paragraph (a) of this section, as a covered U.S. air carrier, you must accept the passenger supplied electronic assistive device in this paragraph (c):
(1) A portable oxygen concentrator (POC), a ventilator, a respirator or a continuous positive airway pressure machine that displays a manufacturer's label that indicates the device meets FAA requirements; and
(2) The following POC models whether or not they are labeled:
(i) AirSep Focus;
(ii) AirSep FreeStyle;
(iii) AirSep FreeStyle 5;
(iv) AirSep LifeStyle;
(v) Delphi RS-00400;
(vi) DeVilbiss Healthcare iGo;
(vii) Inogen One;
(viii) Inogen One G2;
(ix) Inogen One G3;
(x) Inova Labs LifeChoice;
(xi) Inova Labs LifeChoice Activox;
(xii) International Biophysics LifeChoice;
(xiii) Invacare Solo2;
(xiv) Invacare XPO2;
(xv) Oxlife Independence Oxygen Concentrator;
(xvi) Oxus RS-00400;
(xvii) Precision Medical EasyPulse;
(xviii) Respironics EverGo;
(xix) Respironics SimplyGo;
(xx) SeQual Eclipse;
(xxi) SeQual eQuinox Oxygen System (model 4000);
(xxii) SeQual Oxywell Oxygen System (model 4000);
(xxiii) SeQual SAROS; and
(xxiv) VBox Trooper Oxygen Concentrator.
(d) Except as provided in paragraph (b) of this section, as a covered foreign air carrier, you must accept the supplied electronic assistive devices in this paragraph (d):
(1) A POC, a ventilator, a respirator or a continuous positive airway pressure machine that displays a manufacturer's label according to FAA requirements in circumstances where requirements for labeling these devices have not been set by the foreign carrier's government; and
(2) The following POC models whether or not they are labeled:
(i) AirSep Focus;
(ii) AirSep FreeStyle;
(iii) AirSep FreeStyle 5;
(iv) AirSep LifeStyle;
(v) Delphi RS-00400;
(vi) DeVilbiss Healthcare iGo;
(vii) Inogen One;
(viii) Inogen One G2;
(ix) Inogen One G3;
(x) Inova Labs LifeChoice;
(xi) Inova Labs LifeChoice Activox;
(xii) International Biophysics LifeChoice;
(xiii) Invacare Solo2;
(xiv) Invacare XPO2;
(xv) Oxlife Independence Oxygen Concentrator;
(xvi) Oxus RS-00400;
(xvii) Precision Medical EasyPulse;
(xviii) Respironics EverGo;
(xix) Respironics SimplyGo;
(xx) SeQual Eclipse;
(xxi) SeQual eQuinox Oxygen System (model 4000);
(xxii) SeQual Oxywell Oxygen System (model 4000);
(xxiii) SeQual SAROS; and
(xxiv) VBox Trooper Oxygen Concentrator.
(e) As a U.S. carrier, you must provide information during the reservation process as indicated in paragraphs (e)(1) through (6) of this section upon inquiry from an individual concerning the use in the cabin during air transportation of a ventilator, respirator, continuous positive airway machine, or a POC. The information in this paragraph (e) must be provided:
(1) Any applicable requirement for a manufacturer-affixed label to reflect that the device has been tested to meet applicable FAA requirements for medical portable electronic devices;
(2) The maximum weight and dimensions (length, width, height) of the device to be used by an individual that can be accommodated in the aircraft cabin consistent with FAA safety requirements;
(3) The requirement to bring an adequate number of batteries as outlined in paragraph (h)(2) of this section and to ensure that extra batteries carried onboard to power the device are packaged and protected from short circuit and physical damage in accordance with applicable PHMSA regulations regarding spare batteries carried by passengers in an aircraft cabin;
(4) Any requirement, if applicable, that an individual contact the carrier operating the flight 48 hours before scheduled departure to learn the expected maximum duration of his/her flight in order to determine the required number of batteries for his/her particular ventilator, respirator, continuous positive airway pressure machine, or POC;
(5) Any requirement, if applicable, of the carrier operating the flight for an individual planning to use such a device to check-in up to one hour before that carrier's general check-in deadline; and
(6) For POCs, the requirement of § 382.23(b)(1)(ii) to present to the operating carrier at the airport a physician's statement (medical certificate).
(f) As a foreign carrier operating flights to, from or within the United States, you must provide the information during the reservation process as indicated in paragraphs (f)(1) through (7) of this section upon inquiry from an individual concerning the use in the cabin during air transportation on such a flight of a ventilator, respirator, continuous positive airway machine, or POC. The information in this paragraph (f) must be provided:
(1) Any applicable requirement for a manufacturer-affixed label to reflect that the device has been tested to meet requirements for medical portable electronic devices set by the foreign carrier's government if such requirements exist;
(2) Any applicable requirement for a manufacturer-affixed label to reflect that the device has been tested to meet requirements for medical portable electronic devices set by the FAA for U.S. carriers if requirements for medical portable electronic devices have not been set by the foreign carrier's government and the foreign carrier elects to apply FAA requirements for medical portable electronic devices;
(3) The maximum weight and dimensions (length, width, height) of the device to be used by an individual that can be accommodated in the aircraft cabin consistent with the safety regulations of the foreign carrier's government;
(4) The requirement to bring an adequate number of batteries as outlined in paragraph (h)(2) of this section and to ensure that extra batteries carried onboard to power the device are packaged in accordance with applicable government safety regulations;
(5) Any requirement, if applicable, that an individual contact the carrier operating the flight 48 hours before scheduled departure to learn the expected maximum duration of his/her flight in order to determine the required number of batteries for his/her particular ventilator, respirator, continuous positive airway pressure machine, or POC;
(6) Any requirement, if applicable, of the carrier operating the flight for an individual planning to use such a device to check-in up to one hour before that carrier's general check-in deadline; and
(7) Any requirement, if applicable, that an individual who wishes to use a POC onboard an aircraft present to the operating carrier at the airport a physician's statement (medical certificate).
(g) In the case of a codeshare itinerary, the carrier whose code is used on the flight must either inform the individual inquiring about using a ventilator, respirator, CPAP machine or POC onboard an aircraft to contact the carrier operating the flight for information about its requirements for use of such devices in the cabin, or provide such information on behalf of the codeshare carrier operating the flight.
(h)(1) As a U.S. or foreign carrier subject to paragraph (a) or (b) of this section, you must inform any individual who has advised you that he or she plans to operate his/her device in the aircraft cabin, within 48 hours of his/her making a reservation or 24 hours before the scheduled departure date of his/her flight, whichever date is earlier, of the expected maximum flight duration of each segment of his/her flight itinerary.
(2) You may require an individual to bring an adequate number of fully charged batteries onboard, based on the battery manufacturer's estimate of the hours of battery life while the device is in use and the information provided in the physician's statement, to power the device for not less than 150% of the expected maximum flight duration.
(3) If an individual does not comply with the conditions for acceptance of a medical portable electronic device as outlined in this section, you may deny boarding to the individual in accordance with § 382.19(c) and in that event you must provide a written explanation to the individual in accordance with § 382.19(d).
(a) As a carrier that operates aircraft with 19 or more passenger seats, you must ensure training, meeting the requirements of this paragraph, for all personnel who interact with the traveling public or who handle passengers' assistive devices, as appropriate to the duties of each employee or contractor.
(1) General. You must ensure training to proficiency concerning:
(i) The requirements of this part and other applicable Federal regulations affecting the provision of air travel to passengers with a disability;
(ii) Your procedures, consistent with this part, concerning the provision of air travel to passengers with a disability, including the proper and safe operation of any equipment used to accommodate passengers with a disability; and
(iii) Your procedures that safeguard the safety and dignity of passengers with disabilities when providing service required under this part.
(2) Communication. You must ensure employees and contractors who interact with the traveling public are trained with respect to awareness of different types of disabilities, including how to distinguish among the differing abilities of individuals with disabilities.
(i) You must ensure such employees and contractors are trained on appropriate ways to communicate and interact with passengers with disabilities, including persons with physical, sensory, speech, mental, intellectual, or emotional disabilities (e.g., communicating directly with the individual with a disability instead of to the travel companion/interpreter).
(ii) You must also ensure such employees and contractors are trained to recognize requests for effective communication accommodation from individuals who have disabilities impacting communication (e.g., hearing or vision impaired individuals, non-verbal individuals), and to use the most common methods for communicating with these individuals that are readily available, such as writing notes or taking care to enunciate clearly, for example. Training in sign language is not required. You must also train these employees to recognize requests for communication accommodations from deaf-blind passengers and to use established means of communicating with these passengers when they are available, such as passing out Braille cards if you have them, reading an information sheet that a passenger provides, or communicating with a passenger through an interpreter, for example.
(3) Physical assistance. You must ensure that employees and contractors who provide physical assistance to passengers with disabilities who use wheelchairs or scooters are trained in the matters listed in paragraphs (a)(1) and (2) of this section, and the following, as appropriate to the duties of each person:
(i) Hands-on training concerning safe and dignified physical assistance, including: transfers to and from personal or airport wheelchairs, aisle chairs, and aircraft seats; proper lifting techniques to safeguard passengers; how to troubleshoot common challenges in providing physical assistance; and proper use of equipment used to physically assist passengers with disabilities; and
(ii) Other training concerning the collecting and sharing of passenger information, such as Special Service Request (SSR) codes, needed to ensure safe, dignified, and prompt physical assistance, and effective communications with passengers with mobility disabilities, or their companion if direct communication with the individual with a disability is not possible.
(iii) As part of this training, the employees and contractors must be able to successfully demonstrate their knowledge on the matters listed in paragraphs (a)(3)(i) and (ii) of this section (e.g., competency assessments or certification exams).
(4) Handling of wheelchairs and scooters. You must ensure that employees and contractors who handle passengers' wheelchairs or scooters are trained in the matters listed in paragraphs (a)(1) and (2) of this section, and the following, as appropriate to the duties of each person:
(i) Hands-on training concerning common types of wheelchairs and scooters and their features, airport and airline equipment used to load and unload wheelchairs and scooters, and methods for safely moving and stowing wheelchairs, including lifting techniques, wheelchair disassembly, reconfiguration, and reassembly, and securement in the cargo compartment of the aircraft; and
(ii) Other training concerning the collecting and sharing of information regarding a passenger's wheelchair or scooter, including using any airline wheelchair handling form(s) that may exist, to ensure the safe and proper handling of such assistive devices, and effective communications with passengers with mobility disabilities, or their companion if direct communication with the individual with a disability is not possible.
(iii) As part of this training, the employees and contractors must be able to successfully demonstrate their knowledge on the matters listed in paragraphs (a)(4)(i) and (ii) of this section (e.g., competency assessments or certification exams).
(5) Consulting with disability rights organizations. You must consult with organizations representing individuals with disabilities in your home country when developing your training program and your policies and procedures. When making changes to such training programs and related policies and procedures that will have a significant impact on assistance provided to individuals with disabilities, you must consult with organizations representing individuals with disabilities who would be affected by those changes. If such organizations are not available in your home country, you must consult with individuals with disabilities and/or international organizations representing individuals with disabilities.
(6) Training frequency. You must ensure that all personnel who are required to receive training receive refresher training on the matters covered by this section, as appropriate to the duties of each employee and contractor, as needed to maintain proficiency. The training program must describe how proficiency will be maintained.
(i) All personnel who provide physical assistance to passengers with disabilities must receive initial training described in paragraph (a)(3) of this section by June 17, 2026, and at least once every twelve months thereafter. All personnel who provide physical assistance to passengers with disabilities hired after June 17, 2026, must receive initial training described in paragraph (a)(3) of this section prior to assuming their duties and at least once every twelve months thereafter.
(ii) All personnel who handle passengers' wheelchairs or scooters must receive initial training described in paragraph (a)(4) of this section by June 17, 2026, and at least once every twelve months thereafter. All personnel who handle passengers' wheelchairs or scooters hired after June 17, 2026, must receive initial training described in paragraph (a)(4) of this section prior to assuming their duties and at least once every twelve months thereafter.
(iii) All other personnel must receive training prior to assuming their duties and at least once every three years thereafter.
(7) Contractors. You must provide, or ensure that your contractors receive, training concerning travel by passengers with disabilities. This training is required only for those contractors who interact directly with the traveling public or who handle passengers' assistive devices, and it must be tailored to the employees' functions. Training for contractors must meet the requirements of paragraphs (a)(1) through (6) of this section.
(8) Complaint Resolution Officials (CROs). The employees you designate as CROs, for purposes of § 382.151 of this part, must receive training concerning the requirements of this part, including the training described in paragraphs (a)(3) and (4) of this section and the duties of a CRO prior to assuming their duties as a CRO and at least once every twelve months thereafter.
(b) If you are a carrier that operates only aircraft with fewer than 19 passenger seats, you must ensure that your employees and contractors who directly interact with the traveling public are trained, as appropriate to their duties, to ensure that they are familiar with the matters listed in paragraph (a)(1) of this section, as well as to ensure they are knowledgeable on how to communicate with individuals with differing disabilities, how to physically assist individuals with mobility disabilities, and how to properly handle passengers' wheelchairs and scooters.
(a) As a U.S. carrier, you must meet the training requirements of § 382.141 by the following times.
(1) Employees designated as CROs shall receive training concerning the requirements of this part and the duties of a CRO before assuming their duties under § 382.151 (see § 382.141(a)(7)). You must ensure that all employees performing the CRO function receive annual refresher training concerning their duties and the provisions of this regulation. The one-time training for CROs about the changes to Part 382 must take place by May 13, 2009. For employees who have already received CRO training, this training may be limited to changes from the previous version of Part 382.
(2) The one-time training for existing employees about changes to Part 382 (see § 382.141(a)(8)) must take place for each such employee no later than the next scheduled recurrent training taking place after May 13, 2009 or within one year after May 13, 2009, whichever comes first.
(3) For crewmembers subject to training requirements under 14 CFR Part 121 or 135 whose employment in any given position commences after May 13, 2009, before they assume their duties; and
(4) For other personnel whose employment in any given position commences after May 13, 2009, within 60 days after the date on which they assume their duties.
(b) As a foreign carrier that operates aircraft with 19 or more passenger seats, you must provide training meeting the requirements of § 382.141(a) for all personnel who deal with the traveling public in connection with flights that begin or end at a U.S. airport, as appropriate to the duties of each employee. You must ensure that personnel required to receive training complete the training by the following times:
(1) Employees designated as CROs shall receive training in accordance with paragraph (a)(1) of this section, by May 13, 2009.
(2) For crewmembers and other personnel who are employed on May 13, 2009, within one year after that date;
(3) For crewmembers whose employment commences after May 13, 2010, before they assume their duties;
(4) For other personnel whose employment in any given position commences after May 13, 2010, or within 60 days after the date on which they assume their duties; and
(5) For crewmembers and other personnel whose employment in any given position commences after May 13, 2009, but before May 13, 2010, by May 13, 2010 or a date 60 days after the date of their employment, whichever is later.
(a) As a carrier that operates aircraft with 19 or more passenger seats, you must incorporate procedures implementing the requirements of this part in the manuals or other guidance or instructional materials provided for the carrier and contract personnel who provide services to passengers, including, but not limited to, pilots, flight attendants, reservation and ticket counter personnel, gate agents, ramp and baggage handling personnel, and passenger service office personnel. You must retain these records for review by the Department on the Department's request. If, upon such review, the Department determines that any portion of these materials must be changed in order to comply with this part, DOT will direct you to make appropriate changes. You must incorporate and implement these changes.
(b) You must retain for three years individual employee training records demonstrating that all persons required to receive initial and refresher training have done so.
(a) As a carrier providing service using aircraft with 19 or more passenger seats, you must designate one or more CROs.
(b) As a U.S. carrier, you must make a CRO available at each airport you serve during all times you are operating at that airport. As a foreign carrier, you must make a CRO available at each airport serving flights you operate that begin or end at a U.S. airport. You may make the CRO available in person at the airport or via telephone, at no cost to the passenger. If a telephone link to the CRO is used, TTY service or a similarly effective technology must be available so that persons with hearing impairments may readily communicate with the CRO. You must make CRO service available in the language(s) in which you make your services available to the general public.
(c) You must make passengers with a disability aware of the availability of a CRO and how to contact the CRO in the following circumstances:
(1) In any situation in which any person complains or raises a concern with your personnel about discrimination, accommodations, or services with respect to passengers with a disability, and your personnel do not immediately resolve the issue to the customer's satisfaction or provide a requested accommodation, your personnel must immediately inform the passenger of the right to contact a CRO and then contact a CRO on the passenger's behalf or provide the passenger a means to do so (e.g., a phone, a phone card plus the location and/or phone number of the CRO available at the airport). Your personnel must provide this information to the passenger in a format he or she can use.
(2) Your reservation agents, contractors, and Web sites must provide information equivalent to that required by paragraph (c)(1) of this section to passengers with a disability using those services who complain or raise a concern about a disability-related issue.
(d) Each CRO must be thoroughly familiar with the requirements of this part and the carrier's procedures with respect to passengers with a disability. The CRO is intended to be the carrier's “expert” in compliance with the requirements of this part.
(e) You must ensure that each of your CROs has the authority to make dispositive resolution of complaints on behalf of the carrier. This means that the CRO must have the power to overrule the decision of any other personnel, except that the CRO is not required to be given authority to countermand a decision of the pilot-in-command of an aircraft based on safety.
When a complaint is made directly to a CRO for a carrier providing service using aircraft with 19 or more passenger seats, the CRO must promptly take dispositive action as follows:
(a) If the complaint is made to a CRO before the action or proposed action of carrier personnel has resulted in a violation of a provision of this part, the CRO must take, or direct other carrier personnel to take, whatever action is necessary to ensure compliance with this part.
(b) If an alleged violation of a provision of this part has already occurred, and the CRO agrees that a violation has occurred, the CRO must provide to the complainant a written statement setting forth a summary of the facts and what steps, if any, the carrier proposes to take in response to the violation.
(c) If the CRO determines that the carrier's action does not violate a provision of this part, the CRO must provide to the complainant a written statement including a summary of the facts and the reasons, under this part, for the determination.
(d) The statements required to be provided under this section must inform the complainant of his or her right to pursue DOT enforcement action under this part. The CRO must provide the statement in person to the complainant at the airport if possible; otherwise, it must be forwarded to the complainant within 30 calendar days of the complaint.
(a) As a carrier providing service using aircraft with 19 or more passenger seats, you must respond to written complaints received by any means (e.g., letter, fax, e-mail, electronic instant message) concerning matters covered buy this part.
(b) As a passenger making a written complaint, you must state whether you had contacted a CRO in the matter, provide the name of the CRO and the date of the contact, if available, and enclose any written response you received from the CRO.
(c) As a carrier, you are not required to respond to a complaint postmarked or transmitted more than 45 days after the date of the incident, except for complaints referred to you by the Department of Transportation.
(d) As a carrier, you must make a dispositive written response to a written disability complaint within 30 days of its receipt. The response must specifically admit or deny that a violation of this part has occurred.
(1) If you admit that a violation has occurred, you must provide to the complainant a written statement setting forth a summary of the facts and the steps, if any, you will take in response to the violation.
(2) If you deny that a violation has occurred, your response must include a summary of the facts and your reasons, under this part, for the determination.
(3) Your response must also inform the complainant of his or her right to pursue DOT enforcement action under this part.
(a) For the purposes of this section, a disability-related complaint means a specific written expression of dissatisfaction received from, or submitted on behalf, of an individual with a disability concerning a difficulty associated with the person's disability, which the person experienced when using or attempting to use an air carrier's or foreign carrier's services.
(b) If you are a carrier covered by this part, conducting passenger operations with at least one aircraft having a designed seating capacity of more than 60 passengers, this section applies to you. As a foreign carrier, you are covered by this section only with respect to disability-related complaints associated with any flight segment originating or terminating in the United States.
(c) You must categorize disability-related complaints that you receive according to the type of disability and nature of complaint. Data concerning a passenger's disability must be recorded separately in the following areas: vision impaired, hearing impaired, vision and hearing impaired, mentally impaired, communicable disease, allergies (e.g., food allergies, chemical sensitivity), paraplegic, quadriplegic, other wheelchair, oxygen, stretcher, other assistive device (cane, respirator, etc.), and other disability. Data concerning the alleged discrimination or service problem related to the disability must be separately recorded in the following areas: refusal to board, refusal to board without an attendant, security issues concerning disability, aircraft not accessible, airport not accessible, advance notice dispute, seating accommodation, failure to provide adequate or timely assistance, damage to assistive device, storage and delay of assistive device, service animal problem, unsatisfactory information, and other.
(d) You must submit an annual report summarizing the disability-related complaints that you received during the prior calendar year using the form specified at the following internet address: http://382reporting.ost.dot.gov. You must submit this report by the last Monday in January of each year for complaints received during the prior calendar year. You must make submissions through the World Wide Web except for situations where you can demonstrate that you would suffer undue hardship if not permitted to submit the data via paper copies, disks, or e-mail, and DOT has approved an exception. All fields in the form must be completed; carriers are to enter “0” where there were no complaints in a given category. Each annual report must contain the following certification signed by your authorized representative: “I, the undersigned, do certify that this report has been prepared under my direction in accordance with the regulations in 14 CFR Part 382. I affirm that, to the best of my knowledge and belief, this is a true, correct, and complete report.” Electronic signatures will be accepted.
(e) You must retain correspondence and record of action taken on all disability-related complaints for three years after receipt of the complaint or creation of the record of action taken. You must make these records available to Department of Transportation officials at their request.
(f)(1) As either carrier in a codeshare relationship, you must comply with paragraphs (c) through (e) of this section for—
(i) Disability-related complaints you receive from or on behalf of passengers with respect to difficulties encountered in connection with service you provide;
(ii) Disability-related complaints you receive from or on behalf of passengers when you are unable to reach agreement with your codeshare partner as to whether the complaint involves service you provide or service your codeshare partner provides; and
(iii) Disability-related complaints forwarded by another carrier or governmental agency with respect to difficulties encountered in connection with service you provide.
(2) As either carrier in a codeshare relationship, you must forward to your codeshare partner disability-related complaints you receive from or on behalf of passengers with respect to difficulties encountered in connection with service provided by your code-sharing partner.
(g) Each carrier, except for carriers in codeshare situations, shall comply with paragraphs (c) through (e) of this section for disability-related complaints it receives from or on behalf of passengers as well as disability-related complaints forwarded by another carrier or governmental agency with respect to difficulties encountered in connection with service it provides.
(h) Carriers that do not submit their data via the Web shall use the disability-related complaint data form specified in appendix A to this part when filing their annual report summarizing the disability-related complaints they received. The report shall be mailed, by the date specified in paragraph (d) of this section, to the following address: U.S. Department of Transportation, Aviation Consumer Protection Division (C-75), 1200 New Jersey Avenue, SE., West Building, Room W96-432, Washington, DC 20590.
(a) Any person believing that a carrier has violated any provision of this part may seek assistance or file an informal complaint at the Department of Transportation no later than 6 months after the date of the incident by either:
(1) Going to the web site of the Department's Aviation Consumer Protection Division at http://airconsumer.ost.dot.gov and selecting “Air Travel Problems and Complaints,” or
(2) Writing to Department of Transportation, Aviation Consumer Protection Division (C-75), 1200 New Jersey Avenue, SE., Washington, DC 20590.
(b) Any person believing that a carrier has violated any provision of this part may also file a formal complaint under the applicable procedures of 14 CFR part 302.
(c) You must file a formal complaint under this part within six months of the incident on which the complaint is based in order to ensure that the Department of Transportation will investigate the matter.
The Department is providing the following table to assist users familiar with the current Part 382 in finding material in the new, renumbered Part 382.
Section Numbers: Old and New Rules
| Old section
(382.x) | New section
(382.x) | Subject |
|---|---|---|
| General provisions: | ||
| 1 | 1 | Purpose. |
| 3 | 7 | Applicability. |
| 5 | 3 | Definitions. |
| 7 | 11, 13 | Non-discrimination generally. |
| 9 | 15 | Contractors. |
| Aircraft accessibility: | ||
| 21(a)(1) | 61 | Movable armrests. |
| 21(a)(2) | 67 | Stowage space in cabin for passenger wheelchair. |
| 21(a)(3) | 63 | Accessible lavatories. |
| 21(a)(4) | 65 | Carrier-supplied on-board wheelchair. |
| 21(e) and (f) | 71 | Aircraft accessibility: miscellaneous. |
| Airport accessibility: | ||
| 23 | 51 | General. |
| (New) | 53 | Vision/hearing impairments. |
| Services and information: | ||
| 31 | 19 | Refusal of transportation. |
| 31(c) | 17 | Number limits. |
| 33 | 25, 27 | Advance notice requirements. |
| 35 | 29 | Safety assistants (formerly “attendants”). |
| 37 | 87(a) | Seat assignments. |
| 38 | 81 through 87 | Seating accommodations. |
| 39(a) | 91 through 105 | Enplaning, deplaning and connecting assistance. |
| 39(b) | 111 through 119 | Assistance in cabin. |
| 40 and 40a | 95, 99 | Mechanical lifts. |
| 41 | 121 through 133 | Stowage of assistive devices, POCs and other respiratory assistive devices. |
| 43(a) | 129(b) | Timely return of assistive devices. |
| 43(b) | 131 | Liability limits. |
| 43(c) | 35 | Liability waivers. |
| 45(a) | 41 | Access to information (general). |
| 45(b) | 115 | Individual safety briefings. |
| 45(c) | 119 | Access to information in airport and aircraft. |
| 45(d) | 45 | Availability of copy of rule. |
| 47(a) | 43 | TTY's and reservations systems. |
| 47(b) | 69 | Accessibility of videos on aircraft. |
| 49 | 55 | Security screening. |
| 51 | 21 | Communicable diseases. |
| 53 | 23 | Medical certificates. |
| 55(a) | 117 | Service animals. |
| 55(b) | 33 | Sitting on blankets. |
| 55(c) | 33 | Restricting movement. |
| 55 | 31 | Charges for accommodations. |
| Administrative provisions: | ||
| 61 | 141, 143 | Training. |
| 63(c) and (d) | 145 | Manuals; directed changes. |
| 65(a) | 151, 153 | Complaints Resolution Officials. |
| 65(b) | 155, 157 | Written complaints to carriers. |
| 65(c) and (d) | 159 | Complaints to DOT. |
(a) Purpose. This part adjusts the civil penalty liability amounts prescribed in 49 U.S.C. 46301(a) for inflation in accordance with the Act cited in paragraph (b) of this section.
(b) Periodic adjustment. DOT will periodically adjust the maximum civil penalties set forth in 49 U.S.C. 46301 and this part as required by the Federal Civil Penalties Inflation Adjustment Act of 1990 as amended by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015.
Civil penalties payable to the U.S. Government for violations of Title 49, Chapters 401 through 421, pursuant to 49 U.S.C. 46301(a), are as follows:
(a) A general civil penalty of not more than $75,000 (or $1,875 for individuals or small businesses) applies to violations of statutory provisions and rules or orders issued under those provisions, other than those listed in paragraph (b) of this section (see 49 U.S.C. 46301(a)(1)); and
(b) With respect to small businesses and individuals, notwithstanding the general civil penalty specified in paragraph (a) of this section, the following civil penalty limits apply:
(1) A maximum civil penalty of $17,062 applies for violations of most provisions of Chapter 401, including the anti-discrimination provisions of sections 40127 (general provision), and 41705 (discrimination against the disabled) and rules and orders issued pursuant to those provisions (see 49 U.S.C. 46301(a)(5)(A));
(2) A maximum civil penalty of $8,531 applies for violations of section 41719 and rules and orders issued pursuant to that provision (see 49 U.S.C. 46301(a)(5)(C)); and
(3) A maximum civil penalty of $4,267 applies for violations of section 41712 or consumer protection rules or orders (see 49 U.S.C. 46301(a)(5)(D)).
Petition for review means a petition asking the appropriate Reviewing Official to exercise his or her discretionary right of review of staff action.
Precedent means applicable judicial decisions and decisions by the Department, or by its predecessor where consistent with Department policy.
Reviewing Official means the Assistant Secretary for Aviation and International Affairs, the General Counsel, or the Director of the Bureau of Transportation Statistics, as appropriate to the subject matter under review, but not with regard to General Counsel and Administrative Law Judge decisions made under this part.
Staff action means the exercise of a function under Subparts I, II and IV of Subtitle VII of Title 49 of the United States Code (Transportation) by a staff member pursuant to assignment under this part.
Staff members means officers and employees of the Department who are assigned authority under this part.
This part describes the organization of the Department insofar as, pursuant to authority conferred on it by section 40113 of 49 U.S.C. Subtitle VII, the Department has adopted rules herein or elsewhere which make continuing assignments of authority with respect to any of its functions of making orders or other determinations, many of which are not required to be made on an evidentiary record upon notice and hearing or which are not the subject of contest, and Department personnel have been assigned to perform such functions. Delegations by the Secretary of Transportation to Secretarial Officers of functions under Subparts I, II, and IV of 49 U.S.C. Subtitle VII appear in 49 CFR part 1. This part also sets forth the procedures governing discretionary review by the appropriate Reviewing Official of action taken under such assignments. Nothing in this part shall be construed as precluding the Department from issuing, by appropriate order, temporary delegations of authority with respect to any functions described in this part or with respect to any other functions which can be lawfully delegated.
Applications for relief which, pursuant to this part, may be granted by staff members under assigned authority, and proceedings on such requests shall be governed by applicable rules in the same manner as if no assignment had been made (see § 385.5). In such proceedings, each staff member may determine any procedural matters which may arise, including, inter alia, service of documents on additional persons; filing of otherwise unauthorized documents; waivers of procedural requirements; requests for hearing; requests for additional information; dismissal of applications upon the applicant's request, moot applications, or incomplete or otherwise defective applications; and extensions of time. Such determinations, except those which would terminate the matter, shall be subject to review only in connection with review of the staff member's decision on the merits. The dismissal of incomplete or otherwise defective applications under authority set forth in this part shall be without prejudice except where under otherwise applicable law the time for making application has run out or where the defect is not corrected within a reasonable time fixed by the staff member. Under the authority assigned to the staff as set forth in this part to approve, disapprove, grant, or deny, relief may be granted or denied in part and grants may be made subject to lawful and reasonable conditions. Moreover, where applicable, the authority to grant relief also includes authority to renew or extend an existing authorization.
Unless otherwise specified, staff action shall be by order or informal writing (letters, telegrams, decision marked on copy of application form, etc.). Such orders or informal writings shall contain a recital that action is taken pursuant to authority assigned herein, shall, in cases where there are “parties or interveners,” or where there may be an adverse effect upon a person with a substantial interest, contain a brief reference to the right of aggrieved parties to petition the Reviewing Official for review pursuant to applicable procedural rules, including a statement of the time within which petitions must be filed (§ 385.51); shall state whether the filing of a petition shall preclude the action from becoming effective; and shall be in the name of the person exercising the assigned function. They shall contain all findings, determinations and conclusions which would be required or appropriate if they were issued by the Secretary. Upon request, the appropriate Department Official shall attest as Departmental action orders or informal writings issued pursuant to this part which have become the action of the Department (§ 385.52).
Procedures set forth in this part do not supersede procedures applicable to matters on which decision has been assigned unless otherwise specifically provided herein: Provided, however, That any provisions in other regulations which provide for reconsideration of nonhearing determinations are not applicable to decisions made under authority assigned herein or to decisions made upon review thereof by the Reviewing Official.
When the staff member finds that the public interest so requires, or that, with respect to other than matters requiring immediate action as hereafter specified, there will be insufficient time for discretionary review of his or her decision upon petition, the staff member shall, in lieu of exercising the authority, submit the matter to the Reviewing Official for decision. In any case in which the staff member finds that immediate action is required with respect to any matter assigned herein, the disposition of which is governed by prior precedent and policy, the staff member may take appropriate action and specify that the filing of a petition for review shall not preclude such action from becoming effective.
Any assignment of authority to a staff member other than the Chief Administrative Law Judge, the Administrative Law Judge, and the General Counsel, shall also be deemed to be made, severally, to each such staff member's respective superiors. In accordance with the Department's principle of management responsibility, the superior may choose to exercise the assigned power personally. Moreover, the Secretary may at any time exercise any authority assigned herein.
Unless the assignment provides otherwise, staff members serving in an “acting” capacity may exercise the authority assigned to the staff members for whom they are acting.
The Chief Administrative Law Judge has authority to:
(a) Consolidate, upon recommendation of the Director, Office of International Aviation (or such staff member of the Office of International Aviation as he or she may designate), into one proceeding cases involving the investigation of a tariff or of complaints concerned with related tariffs.
(b) With respect to matters to be decided after notice and hearing:
(1) Dismiss applications or complaints (except those falling under subpart D of part 302 of this chapter (Procedural Regulations)) when such dismissal is requested or consented to by the applicant or complainant, or where such party has failed to prosecute such application or complaint;
(2) Dismiss proceedings upon his or her finding that the proceeding has become moot or that no further basis for continuation exists; and
(3) Dismiss an application subject to dismissal as stale under part 302 of this chapter.
The Administrative Law Judges, Office of Hearings, have authority to take the following actions in matters to which they are respectively assigned:
(a) Grant or deny intervention in formal proceedings.
(b) With respect to matters to be decided after notice and hearing, dismiss applications or complaints (except those falling under subpart D of part 302 of this chapter (Procedural Regulations)) when such dismissal is requested or consented to by the applicant or complainant, or where such party has failed to prosecute such application or complaint.
(c) Grant requests for consolidation of applications for route authority within the scope of the proceeding before him or her, and deny requests for consolidation of applications for route authority not within the scope of the proceeding.
(d) Approve or disapprove proposed settlements of enforcement proceedings submitted under § 302.215 of this chapter.
The Director, Office of Aviation Analysis, has authority:
(a) With respect to applications filed under section 41102 to engage in interstate or foreign scheduled or charter air transportation, section 41103 to engage in all-cargo air transportation, or section 41738 to engage in certain commuter air transportation:
(1) To issue an order stating the Department's intention to process the application through show-cause procedures or other expedited procedures, where that course of action is clear under current policy and precedent.
(2) To issue an order to show cause proposing to grant such application in those cases where no objections to the application have been filed, and where the Department has already found the applicant to be fit, willing and able to provide service of the same basic scope and character.
(3) To issue an order, subject to any Presidential review required under section 41307 of 49 U.S.C. Subtitle VII, making final an order to show cause issued under paragraph (a)(2) of this section, where no objections to the order to show cause have been filed.
(4) To issue an order dismissing an application:
(i) When dismissal is requested or consented to by the applicant;
(ii) For lack of prosecution; or
(iii) When the application has become moot.
(5) To review Air Carrier Certificates and Operations Specifications issued by the Federal Aviation Administration to carriers that have been granted certificate or commuter air carrier authority, and information concerning those carriers' fitness to operate under that authority that emerged following the issuance of orders establishing their fitness, and—
(i) To amend orders issuing the certificate or commuter air carrier authority to advance the effective dates of the authority if the review is satisfactory;
(ii) To stay the effectiveness of such orders for up to 30 days if the review is unsatisfactory;
(iii) To lift the stay of effectiveness imposed under paragraph (a)(5)(ii) of this section when the unsatisfactory conditions that required issuance of the stay have been resolved; or
(iv) To issue notices announcing the effective date of the certificate or commuter air carrier authority.
(b) To approve or deny applications of air carriers:
(1) For exemptions from section 41102 or 41103of 49 U.S.C. Subtitle VII, and from orders issued thereunder, and from applicable regulations under this chapter where the course of action is clear under current policy or precedent.
(2) For waivers of the Department's filing fee requirements under part 389 of this chapter, in accordance with current policy or precedent.
(3) For relief under section 40109 of 49 U.S.C. Subtitle VII to hold out, arrange, and coordinate the operation of air ambulance flights as indirect air carriers in accordance with established precedent.
(c) To waive the deadlines in § 377.10(c) of this chapter for filing applications for the renewal of temporary authorizations when, in the Director's judgment, the public interest would be served. The provisions of § 377.10(d) of this chapter shall apply in the same manner as to a timely filed application.
(d) With respect to air carrier names:
(1) To register names and trade names of certificated and commuter air carriers pursuant to part 215 of this chapter.
(2) To reissue certificates issued under sections 41102 or 41103 of 49 U.S.C. Subtitle VII when revisions thereof are necessitated by a change in the name of a carrier, provided that no issue of substance concerning the operating authority of the carrier is involved.
(e) To approve, deny, or cancel registrations filed with the Department by air taxi operators pursuant to part 298 of this chapter.
(f) To approve certificates of insurance filed with the Department on behalf of U.S. and foreign air carriers in accordance with the provisions of part 205 of this chapter.
(g) With respect to mail rates:
(1) To issue show-cause orders proposing to make modifications of a technical nature in the mail rate formula applicable to temporary or final service mail rate orders.
(2) To issue final orders establishing temporary and final service mail rates:
(i) In those cases where no objection has been filed following release of the show-cause order, and where the rates established are the same as those proposed in the show-cause order; and
(ii) In those cases where it is necessary to make modifications of a technical nature in the rates proposed in the show-cause order.
(3) To issue final orders amending mail rate orders of air carriers to reflect changes in the names of the carriers subject to the orders.
(4) To issue a letter, in the case of air mail contracts filed with the Department under part 302 of this chapter against which no complaints have been filed, stating that the contract will not be disapproved by the Department and may become effective immediately.
(5) To issue final orders making quarterly fuel rate adjustments to Alaska bush and mainline mail rates set by the Department under 49 U.S.C. 41901, 41902, and 41903.
(h) With respect to essential air service (EAS) proceedings:
(1) To establish procedural dates.
(2) To issue orders setting interim rates of compensation for carriers required to provide essential air service.
(3) To issue orders approving a carrier's alternate service pattern if:
(i) The resulting level of service at the eligible place would be equal to or greater than the level of service earlier determined to be essential for that place;
(ii) The community concerned does not object to the carrier's implementation of the alternate service pattern; and
(iii) The carrier is not receiving a subsidy for the service or implementation of the alternate service pattern would not increase the carrier's subsidy.
(4) To issue orders adjusting the operational and/or financial unit rates of the payout formula for a carrier receiving subsidy under section 41732 of 49 U.S.C. Subtitle VII where the adjustment will not increase the total amount of compensation that the carrier will receive.
(5) To renew, up to five times in succession, an order under section 41734 of 49 U.S.C. Subtitle VII to an air carrier to continue providing essential air service while the Department attempts to find a replacement carrier.
(6) To request service and subsidy proposals from carriers interested in providing essential air service to an eligible place.
(7) To issue final orders establishing interim or final subsidy rates under section 41732 or final adjustments of compensation for continued service under section 41732 in those cases where no objection has been filed to a show-cause order, and where the rates established are the same as or less than those proposed in the approved show-cause order.
(8) With respect to provisions for terminations, suspensions, or reductions of service under part 323 of this chapter:
(i) To require any person who files a notice, objection, or answer to supply additional information.
(ii) To require service of a notice, objection, or answer upon any person.
(iii) To accept late-filed objections or answers, upon motion, for good cause shown.
(iv) To extend the time for filing objections for answers, when the initial notice has been filed earlier than required under § 323.5 of this chapter.
(9) To issue final air carrier selection orders establishing final subsidy rates for EAS provided under 49 U.S.C. 41733:
(i) Where the compensation to be paid is the same as or less than the existing rate, and where the community does not object to the selected option;
(ii) For EAS eligible Alaska communities, when the subsidy rate to be paid is less than $125,000, and where the community does not object to the selected option; and
(iii) In cases where only one air carrier submitted one service or subsidy option.
(10) With respect to provisions for terminations, suspensions, or reductions of service under part 323 of this chapter:
(i) To require any person who files a notice, objection, or answer to supply additional information.
(ii) To require service of a notice, objection, or answer upon any person.
(iii) To accept late-filed objections or answers, upon motion, for good cause shown.
(iv) To extend the time for filing objections for answers, when the initial notice has been filed earlier than required under § 323.5 of this chapter.
(i) To issue procedural orders or notices in antitrust immunity cases filed under part 303 of this chapter with respect to:
(1) Granting or denying requests for adjustments to procedural deadlines where there is no objection;
(2) Making other adjustments to a procedural schedule where the policy is clear and consistent with precedent;
(3) Granting parties to a proceeding access to confidential documents filed under a request for public non-disclosure pursuant to § 302.12 of this chapter, where providing such access is consistent under current policy and precedent; and
(4) In uncontested proceedings, ordering the filing of additional documents deemed relevant to the Department's consideration of the application, including the filing of documents for in-camera review, where doing so is consistent with past policy and precedent.
The Director, Office of International Aviation, has authority to:
(a) Approve or deny applications for exemptions, where the course of action is clear under current policy or precedent:
(1) For air carriers, from chapter 411 of 49 U.S.C. Subtitle VII and from certificates and orders issued under that chapter;
(2) For foreign air carriers, from section 41301 and from permits and related orders issued under chapter 413;
(3) For air carriers and foreign air carriers, from chapter 415 and from orders issued and tariffs filed under that chapter; and
(4) From orders and applicable regulations under this chapter.
(b) With respect to applications for certificates of public convenience and necessity under section 41102 and foreign air carrier permits under section 41302:
(1) Issue an order to show cause proposing to grant such application in those cases where no objections to the application have been filed, and the applicant has already been found fit, willing, and able by the Department to provide service of the same basic scope and character;
(2) For general tariff exemptions that apply to all U.S. and foreign air carriers pursuant to 14 CFR part 293;
(3) Issue an order stating the Department's intention to process the application through show-cause procedures;
(4) Issue an order, subject to Presidential review under section 41307, to make final an order to show cause issued under the circumstances of paragraph (b)(1) of this section, where no objections to the show-cause order have been filed;
(5) Issue orders granting uncontested applications by U.S. carriers to provide foreign air transportation where the carrier has already been found fit, willing, and able to provide service of the same basic scope or character; and
(6) Issue orders granting uncontested applications by foreign air carriers to provide foreign air transportation where the course of action is clear under current policy or precedent.
(c) With respect to an application under section 41102 for a certificate to engage in foreign scheduled air transportation, issue an order instituting an investigation of the applicant's fitness and other issues related to the application, where no person has already filed an objection to the application and the investigation will be conducted by oral hearing procedures.
(d) Issue an order to show cause why a foreign air carrier permit should not be revoked under section 41304 when:
(1) The government of the permit holder's home country represents that it does not object to revocation of the permit; and
(2) The permit holder—
(i) Has ceased operations; or
(ii) No longer holds valid authority from its own government to operate the services in its permit.
(e) Approve or disapprove requests by foreign air carriers for authorizations provided for, or waivers of restrictions contained, in any agreement or in any permit or order of the Department, when no person disclosing a substantial interest objects or where the course of action is clear under current policy or precedent.
(f) Waive the deadlines in § 377.10(c) of this chapter for filing applications for renewal of unexpired temporary authorizations when, in the Director's judgment, the public interest would be served. The provisions of § 377.10(d) of this chapter shall apply in the same manner as to a timely filed application.
(g) Extend the time allowed for action on a complaint of unfair or discriminatory practices, filed under section 41310, for an additional period or periods of 30 days each, not to exceed the 180th day after filing unless that deadline has been waived by the complainant.
(h) Grant or deny applications for statements of authorization under parts 207, 208, and 212 of this chapter, and requests for waivers of the requirements of parts 207, 208, and 212 of this chapter, where grant or denial of the request is in accordance with current policy or precedent.
(i) Approve or disapprove charter trips by foreign air carriers, and those by air carriers that are predominantly in foreign air transportation, when prior authorization is required by:
(1) Any provision of this chapter; or
(2) An order of the Department.
(j) Approve or disapprove requests by foreign air carriers for waivers of the 30-day advance filing requirement for proposed schedules whose filing the Department has ordered under part 213 of this chapter.
(k) Approve, when no person disclosing a substantial interest objects, or disapprove requests by foreign air carriers for special authorizations provided for in part 216 of this chapter.
(l) With respect to applications for statements of authorization to conduct intermodal cargo services under part 222 of this chapter:
(1) Approve applications under part 222 of this chapter where no person with a substantial interest raises objections citing specific facts of nonreciprocity or of restraints on competition by U.S. air carriers;
(2) Reject applications under part 222 of this chapter where there is no agreement by the United States permitting the proposed services; or
(3) Require that an applicant under part 222 of this chapter submit additional information.
(m) Approve or disapprove issuance of foreign aircraft permits provided for in part 375, subparts E and H, of this chapter.
(n) Grant or deny applications of foreign air carriers for renewal of emergency exemptions granted under 49 U.S.C. 40109(g).
(o) Grant or deny applications by air carriers and foreign air carriers under part 389 of this chapter for waivers of the Department's filing fee requirements, in accordance with current policy or precedent.
(p) Determine matters in proceedings under section 40109 and chapters 411, 413 and 415, that have not been set for oral evidentiary hearing, in addition to those authorized under § 385.3, such matters to include, inter alia, filing times, service of documents, submissions of additional information, filing of otherwise unauthorized documents, access to information for which confidential treatment has been requested, rejection of incomplete or otherwise defective applications, and solicitation of applications for authority.
(q) Approve or disapprove applications under part 223 of this chapter for permission to furnish free or reduced-rate foreign air transportation.
(r) With respect to International Air Transport Association (IATA) agreements filed with the Department pursuant to sections 41309 and 41308 of 49 U.S.C. Subtitle VII, or agreements filed pursuant to previous statutory authority of the Department's predecessor:
(1) Issue orders approving, disapproving, or exempting IATA agreements relating to fare and rate matters under section 41309, and granting or denying antitrust immunity under section 41308, where the course of action is clear under current policy and precedent.
(2) Issue orders describing filed agreements, establishing procedural dates for submission of justification, comments and replies, which support or oppose agreements, and prescribing the particular types of data to be included in such submission.
(s) Reject any tariff, supplement, or revised page that is filed by any U.S. air carrier or foreign air carrier, and that is subject to rejection because it is not consistent with chapter 415 of 49 U.S.C. Subtitle VII or with part 221 or 222 of this chapter. Where a tariff, supplement or loose-leaf page is filed on more than 60 days' notice and is not rejected within the first 30 days (including the filing date), it shall not be rejected after such 30-day period under this authority unless the issuing carrier is given an opportunity to remove the cause for rejection by the effective date, by special tariff permission if necessary, and fails to take such corrective action.
(t) Approve or disapprove any application for special tariff permission under part 221, subpart P, of this chapter to make tariff changes upon less than statutory notice.
(u) Approve or disapprove applications for waiver of part 221 of this chapter.
(v) Institute an investigation of, or institute an investigation and suspend the effectiveness of, a tariff or change in a tariff which:
(1) Is substantially similar to a prior tariff under investigation or suspension; and
(2) Is filed by or on behalf of one or more of the parties to the prior tariff; and
(3) Is filed within 90 days after the expiration, modification, or cancellation of the prior tariff, or within 90 days after the effective date of an order requiring its cancellation or modification.
(w) In instances when an investigation of a tariff is pending, or the tariff is under suspension, or when a complaint requesting investigation or suspension of a tariff has been filed:
(1) Permit cancellation of the tariff; or
(2) If the grounds for the investigation or complaint have been removed through cancellation, expiration or modification of the tariff, either dismiss the investigation or complaint, or terminate the suspension.
(x) Extend the period of suspension of a tariff when the proceedings concerning the lawfulness of such tariff cannot be concluded before the expiration of the existing suspension period, provided that the aggregate of such extensions may not be for a longer period than permitted under section 41509.
(y) Cancel the suspension of and/or dismiss an investigation of a tariff relating to service predominantly in foreign air transportation where the course of action is clear under current policy and precedent.
(z) Issue orders and notices adjusting the Standard Foreign Fare Level to reflect percentage changes in actual operating costs per available seat mile.
(aa) Issue notices updating the list of country-pair markets.
(bb) With respect to Canadian charter air taxi operations:
(1) To approve applications for registration, or require that a registrant submit additional information, or reject an application for registration for failure to comply with part 294 of this chapter.
(2) To cancel, revoke, or suspend the registration of any Canadian charter air taxi operator using small aircraft registered under part 294 of this chapter that:
(i) Filed with the Department a written notice that it is discontinuing operations;
(ii) Is no longer designated by its home government to operate the services contemplated by its registration;
(iii) Holds a foreign air carrier permit under section 41302 to operate large aircraft charters between the United States and Canada;
(iv) Fails to keep its filed certificate of insurance current;
(v) No longer is substantially owned or effectively controlled by persons who are:
(A) Citizens of Canada;
(B) The Government of Canada; or
(C) A combination of both; or
(vi) No longer holds current effective Operations Specifications issued by the FAA.
(3) To grant or deny requests for a waiver of part 294 of this chapter, where grant or denial of the request is in accordance with current policy or precedent.
(cc) With respect to foreign air freight forwarders:
(1) To approve applications for registration, or require that a registrant submit additional information, or reject an application for registration for failure to comply with part 297 of this chapter.
(2) To cancel the registration of any foreign air freight forwarder or foreign cooperative shippers association that files a written notice with the Department indicating the discontinuance of common carrier activities.
(3) To exempt the registrant from the requirement contained in § 297.20 of this chapter that substantial ownership and effective control reside in citizens of the country that the applicant claims as its country of citizenship, where the course of action is clear under current precedent or policies.
(dd) With respect to charter operations:
(1) To grant or deny requests for waiver of parts 212, 372, and 380 of this chapter, where grant or denial of the request is in accordance with established precedent.
(2) To approve or disapprove direct air carrier escrow agreements filed pursuant to part 212 of this chapter.
(3) To reject or accept Public Charter prospectuses filed under part 380 of this chapter.
(4) With respect to the procedures for the registration of foreign charter operators under subpart E of part 380 of this chapter:
(i) To approve applications for registration, or require that a registrant submit additional information, or reject an application for registration for failure to comply with part 380 of this chapter.
(ii) To notify the applicant that its application will require further analysis or procedures, or is being referred to the Assistant Secretary for Aviation and International Affairs for formal action.
(iii) To cancel the registration of a foreign charter operator if it files a written notice with the Department that it is discontinuing its charter operations.
(iv) To waive provisions of subpart E of part 380 of this chapter.
The General Counsel has authority to:
(a) Issue proposed or final regulations for the purpose of making editorial changes or corrections to the Department's rules and regulations to carry out Subparts I, II and IV of Part A of Subtitle VII of the Transportation Code at 49 U.S.C. 40101 et seq., with the concurrence of the staff offices primarily responsible for the parts or sections involved: Provided, that any final regulation so issued shall have an effective date not less than 20 days after its date of publication in the
(b) Where a petition for review is duly filed, reverse any rulemaking action taken pursuant to paragraph (a) of this section by withdrawing a proposed or final regulation issued thereunder. Any action taken by the General Counsel, pursuant to the authority of this section, shall not be subject to the review procedures of this part.
(c) Issue orders deferring action until after oral argument on motions submitted by parties subsequent to the issuance of an Administrative Law Judge's initial or recommended decision.
(d) Reissue existing regulations for the purpose of incorporating prior amendments adopted by the Department.
(e) Compromise any civil penalties being imposed in enforcement cases.
(f) Issue orders initiating and terminating informal nonpublic investigations under part 305 of this chapter (Procedural Regulations).
(g) Issue orders requiring air carriers to prepare and submit within a specified reasonable period, special reports, copies of agreements, records, accounts, papers, documents, and specific answers to questions upon which information is deemed necessary. Special reports shall be under oath whenever the General Counsel so requires.
(h) Institute and prosecute in the proper court, as agent of the Department, all necessary proceedings for the enforcement of the provisions of the act or any rule, regulation, requirement, or order thereunder, or any term, condition, or limitation of any certificate or permit, and for the punishment of all violations thereof. Any action taken by the General Counsel, pursuant to the authority of this section, shall not be subject to the review procedures of this part.
(i) Make findings regarding the reasonable necessity for the application of the Department's authority to obtain access to lands, buildings, and equipment, and to inspect, examine, and make notes and copies of accounts, records, memorandums, documents, papers, and correspondence of persons having control over, or affiliated with, any person subject to regulation under Subparts I, II, and IV of Part A of Subtitle VII of the Transportation Code at 49 U.S.C. 40101 et seq. through issuance of an appropriate order, letter, or other transmittal.
(j) Issue orders denying or granting conditional or complete confidential treatment of information supplied by any person to the Office of Aviation Enforcement and Proceedings. Confidential treatment may only be granted upon a finding that, if the information were in the Department's possession and a Freedom of Information Act (FOIA) request were made for the information:
(1) At the time of the confidentiality request, the FOIA request would be denied on the basis of one or more of the FOIA exemptions; and
(2) At any later time, the FOIA request would also be denied, absent a material change in circumstances (which may include a demonstration that the asserted exemption does not apply).
The heads of Offices and Assistant General Counsels have the authority to:
(a) Grant requests for permission to withdraw petitions, applications, motions, complaints, or other pleadings or documents which the respective Office has responsibility for processing where such authority has not otherwise been assigned in this regulation.
(b) Grant extensions of time for filing of documents or reports which are required to be filed by regulation or Department order and which reports or documents the respective Office has the responsibility for processing.
(c) Grant waivers of the environmental procedures set by Department order in any proceeding or portion of a proceeding dealing with environmental matters.
(d) Establish procedures on a case-by-case basis for environmental proceedings to ensure compliance with applicable law.
The Assistant General Counsel for Regulation and Enforcement has authority to:
(a) Call public meetings in pending rulemaking proceedings,
(b) Issue a notice suspending the effective dates of final regulations issued by the General Counsel pending Departmental determination of review proceedings instituted thereon, whether by petition or upon order of the Department. (Such a notice is not subject to the review procedures of subpart C of this part.), and
(c) Approve or disapprove, for good cause shown, requests to extend the time for filing comments on all proposed or final new or amended regulations, and requests to extend comment periods following the issuance of final rules.
The Docket Officer, Docket Operations Office, has the authority to coordinate and perform all administrative functions of the Department provided for in sections 2, 3 and 5 of Executive Order 12597 issued May 13, 1987, except that this delegation shall not include the exercise of the authority delegated by the President to the Secretary by sections 2 and 5 of that Order to determine not to disapprove orders of the Department in certain cases.
The Director, Office of Airline Information, Bureau of Transportation Statistics (BTS) has authority to:
(a) Conduct all rulemaking proceedings concerning accounting, reporting, and record retention requirements for carrying out Subparts I, II, and IV of 49 U.S.C. Subtitle VII, except the issuance of final rules and the disposition of petitions for reconsideration.
(b) Interpret the accounting, reporting, and record retention requirements used to carry out Subparts I, II, and IV of 49 U.S.C. Subtitle VII.
(c) Waive any of the accounting, reporting, and record retention requirements upon a showing of the existence of such facts, circumstances or other grounds, and subject to such limitations or conditions as may be prescribed for waivers in the applicable regulations, unless such authority is otherwise specifically assigned.
(d) Dismiss petitions for Department or BTS action with respect to accounting, reporting, and record retention matters when such dismissal is requested or consented to by the petitioner.
(e) Require special reports, documentation, or modifications to reports required by this chapter from any air carrier upon a determination that such reports or documentation or modifications are necessary to meet temporary information needs, assist in an evaluation of continued financial fitness, or comply with special information requests by Congress, Department officials, or another agency or component of the Federal Government.
(f) Grant or deny a request by an air carrier or foreign air carrier for an extension of a filing date for reports required by subchapters A and D of this chapter.
(g) Grant or deny requests by air carriers for substitution of their own forms, adaptation of Department forms, or use of ADP media to meet special needs where Department approval of such forms or ADP media is required by subchapter A of this chapter.
(h) Determine the data necessary to complete the International Civil Aviation Organization reports required by U.S. Treaty; as provided in Order 81-3-120, establish any necessary supplemental reporting requirements; and dispose of petitions for extensions of filing dates or waivers with respect to the data required for such reports.
(i) Grant or deny motions filed under § 302.12 of this chapter requesting confidential treatment of aviation economic information or reports filed with BTS and place the decision in the motion's docket, which decision will be subject to review through a petition for reconsideration filed within ten days of issuance, to be acted upon by the Director, BTS.
(j) Grant or deny requests filed under § 241.22 of this chapter for confidential treatment of preliminary year-end financial reports.
(k) Grant or deny requests filed under § 248.5 of this chapter for confidential treatment of individual air carrier special reports.
(l) Grant or deny requests for use of domestic and international service segment and market data in accordance with the limitations on the availability of these data contained in § 241.19-6 of this chapter and Order 81-12-9.
(m) Grant or deny requests for use of international Origin and Destination Survey statistics in accordance with the limitations on the availability of these data contained in § 241.19-7 of this chapter.
(n) Grant or deny requests for individual air carrier fuel data in accordance with the limitations on the availability of these data contained in paragraph (k) of the reporting instructions for Schedule P-12(a), which are contained in § 241.24 of this chapter.
(o) Grant or deny requests for individual air carrier financial data in accordance with the limitation on the availability of these data contained in paragraph (d) of the reporting instructions for Schedule F-1, which are contained in § 298.62 of this chapter.
(p) Grant or deny requests for individual air carrier financial data as reported on Schedule P-1(a) in accordance with § 241.22(b)(3) of this chapter.
The Inspector General has authority to:
(a) Require special reports, including documentation, from any air carrier regarding audits and other examinations of carrier facilities, operations, and accounting and statistical records.
(b)(1) For accounting purpose, make findings regarding the reasonable necessity for the application of the Department authority to obtain access to lands, buildings, and equipment, and to inspect, examine, and make notes and copies of accounts, records, documents, papers, and correspondence of persons having control over, or affiliated with, any person subject to regulation used to carry out titles IV and X of the Act through issuance of an appropriate order, letter, or other transmittal;
(2) Authorize one or more auditors or special agents to conduct audits, inspections, and examinations and to make notes and copies in accordance with such findings.
(c) Release to the carrier that is the subject of a financial audit the audit report and other information developed during the audit.
(d) Require submission by carriers of special statements necessary to an explanation of any carrier accounting practice.
The Chief, Accounting Division, Office of Budget and Policy, Federal Transit Administration, has authority to:
(a) Approve and order the payment of refunds of filing fees paid under § 389.27(b) of this chapter when such refunds have been authorized by either the Director, Office of Aviation Analysis, or the Director, Office of International Aviation.
(b) Pay from appropriated funds all properly documented claims consistent with Treasury, OMB, GAO, and DOT policies.
(c) Make minor or routine adjustments to payments based on audit reports prepared by the Inspector General, and through routine internal examinations of claims and vouchers.
(d) Design air carrier subsidy claim forms for small community service under 49 U.S.C. 41737.
Petitions for review may be filed by the applicant; by persons who have availed themselves of the opportunity, if any, to participate in the matter at the staff action level; and by persons who have not had opportunity to so participate or show good and sufficient cause for not having participated: Provided, That such persons, other than the applicant, disclose a substantial interest which would be adversely affected by the respective staff action.
(a) Time for filing. Petitions for review shall be filed and served within seven (7) days after the date of the staff action to which they relate, but a different period may be fixed in such staff action consistent with effective preservation of the right to petition for discretionary review and the exigencies of the situation.
(b) Contents. Petitions for review shall demonstrate that (1) a finding of material fact is clearly erroneous; (2) a legal conclusion is contrary to law, Department rules, or precedent; (3) a substantial and important question of policy is involved; (4) a prejudicial procedural error has occurred; or (5) the staff action is substantially deficient on its face. The petition shall briefly and specifically state the alleged grounds for review and the relief sought. If persons who participated at the staff action level set forth any new facts, arguments, or other new matter, an explanation must be furnished as to why said matter was not previously adduced at the staff action level. In the absence of a valid explanation, the Department may disregard such new matter.
(c) Form and filing. Petitions shall comply with the form and filing requirements of §§ 302.3 and 302.4 of this chapter. (Rules of practice in Economic Proceedings). Petitions shall not exceed 10 pages in length. A greater length, however, may be specified in the staff action taken. The petitions shall be accompanied by proof of required service. However, persons who seek review of a civil penalty proposed by the Assistant General Counsel for Aviation Enforcement and Proceedings pursuant to § 385.15(a) may submit their request therefor by letter to the Department with a copy to the Assistant General Counsel for Aviation Enforcement and Proceedings and need not comply with the above form and filing requirements.
(d) Service. A petition filed by a person other than the applicant shall be served on the applicant. Petitions shall also be served on any persons who have served documents on the petitioner at the staff action level; and on such other persons as may be directed by the Department or the staff member who took the action to be reviewed.
(e) Answers. The applicant and such other persons as disclose a substantial interest which would be adversely affected by the relief sought in the petition may, within seven (7) days after filing the petition, file an answer thereto. A different period for the filing of answers may be fixed in the staff action. Such answers shall comply with the form and filing requirements applicable to petitions and shall be served on the applicant and any other person who has theretofore served a document in the matter on such respondent.
Unless, within the time provided by or pursuant to this part, a petition for review is filed or the Department gives notice that it will review on its own motion, staff action shall, without further proceedings, be effective and become the action of the Department upon the expiration of such period. A timely petition for review filed in accordance with the provisions of this section, or notice given by the Department of review on its own motion, shall stay the staff action pending disposition by the Department, unless the Department determines otherwise or unless the staff action provides otherwise in accordance with subpart A of this part. However, in cases where the Department's regulations provide that permissions or approvals are granted, or that other legal effects result, within a stated period from the filing with the Department of a prescribed document, unless the Department gives notice to the contrary or takes other action within said period, such notice given or action taken by a staff member under delegated authority shall toll the running of such period. A timely petition for review of staff action which is not stayed by its filing which is received after or not acted upon before the effective date of the action shall be entertained and disposed of on its merits as a petition for reconsideration.
Where a petition for review is duly filed, the staff member may, upon consideration of all documents properly filed, reverse his or her decision. Except in the case of Administrative Law Judges, action taken by a staff member other than an office head or Assistant General Counsel may be reversed by the respective office head or Assistant General Counsel who is in the supervisory chain of command with respect to the staff member who took the initial action. If the initial action is reversed, the petition for review will not be submitted to the Reviewing Official. Staff action reversing the initial action shall be subject to petition for Department review as any other staff action.
(a) Decline of right to review. If the Reviewing Official declines the right to exercise discretionary review, the staff action stayed by the petition for review shall become effective on the second business day following the date of service of the order, unless the order provides otherwise.
(b) Exercise of right to review. The Reviewing Official will exercise his or her discretionary right of review either upon petition or on his or her own motion. The Reviewing official may by order provide for interlocutory relief pending his or her decision on the merits and may limit the issues on review. The Reviewing Official may affirm, modify or set aside the staff action, may order the matter remanded, or may order further submittals or other proceedings before making a decison on the merits. In case the Reviewing Official affirms the staff action, staff action stayed by the petition for review shall become effective on the second business day following the date of service of the Reviewing Official's order, unless the order provides otherwise. Decisions by the Reviewing Official under this part are final and are not subject to petitions for reconsideration.
Pursuant to the provisions of 31 U.S.C. 9701, Fees and charges for Government services and things of value, and as implemented by the Office of Management and Budget's Circular A-25, dated July 8, 1993, the Department sets forth in this part fees and charges to be paid for the use of certain services and resources of the Department as prescribed in this part.
This subpart describes certain services and resources made available by the Department and prescribes the fees and charges for those services and resources.
Upon request and payment of fees as provided in this part, there are available, with respect to documents subject to inspection, services as follows:
(a) Locating and copying records and documents;
(b) Certification of copies of documents under seal of the Department; and
(c) Transcripts of hearings and proceedings.
The fees charged for services and resources shall be paid for electronically at http://www.pay.gov, a secure government-wide collection portal, except for charges for reporting services that are performed under competitive bid contracts with non-Government firms. Fees for reporting are payable to the firms providing the services. Payments to pay.gov can be made directly from a bank account or by credit/debit card.
Fees for services and resources described in this subpart and subpart C of this part are pursuant to those fees set forth in 49 CFR part 7, subpart F, §§ 7.41 through 7.43, 7.45 and 7.46.
(a) This subpart applies to the filing of certain documents and records with the Department by non-government parties, and prescribes fees for their processing.
(b) For the purpose of this subpart, record means an electronic tariff record submitted to the Department under subpart R of 14 CFR part 221, and contains a set of information that describes one (1) tariff fare, or a set of information that describes one (1) related element associated with such tariff fare.
(a) Except as provided in paragraph (b) of this section, any document for which a filing fee is required by § 389.25 shall be paid for electronically at http://www.pay.gov, a secure government-wide collection portal, unless a waiver or modification of the filing fee has been requested and approved. Payments can be made directly from a bank account or by credit/debit card.
(b) Registration for all air taxi operators shall be accompanied by an 8 dollar ($8) registration filing fee in the form of a check, draft, or postal money order payable to the U.S. Department of Transportation.
(c) Where a document seeks authority or relief in the alternative and therefore would otherwise be subject to more than one filing fee, only the highest fee shall be required.
(d) Where a document relating to a single transaction or matter seeks multiple authorities or relief and therefore would otherwise be subject to more than one filing fee, only the highest fee shall be required. Where a document relating to more than one transaction or matter seeks multiple authorities or relief, the required filing fee shall be determined by combining the highest fees for each transaction or matter. For purposes of this paragraph (d), a specific number of charters or inclusive tours described in one application will be regarded as a single transaction or matter.
(e) No fee shall be returned after the document has been filed with the Department, except as provided in §§ 389.23 and 389.27.
In accordance with 49 CFR part 7, subpart F, § 7.42, the Department will assess interest on unpaid fees on the 31st day following the day on which a notice of the amount due is first mailed to the requestor, unless the Department has granted an application for waiver or modification of the fees.
(a) Applications may be filed asking for waiver or modification of any fee paid under this subpart. Each applicant shall set forth the reasons why a waiver or modification should be granted, and by what legal authority.
(b) Applications asking for a waiver or modification of fees shall be sent to the Director, Office of Aviation Analysis, U.S. Department of Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590. This provision is in accordance § 385.30 of this chapter. When no petition for review is filed with the Department, or when the Department reviews the Director's decision, if the amount found due is not paid within 10 days after receipt of notification of the final determination, the document shall be returned to the filing party.
A foreign air carrier, or such carriers, if from the same country, acting jointly, may apply for a waiver of the requirements of this part based on reciprocity for U.S. air carriers contained in the requirement of their home governments, or as provided in a treaty or agreement with the United States. To apply for a waiver under this section, foreign air carriers shall send waiver requests to the Director, Office of International Aviation. The request should include applicable official government rules, decisions, statements of policy, or comparable evidence concerning filing fees for U.S. air carriers, or for all carriers serving that country. Once a waiver has been granted for a specific country, no further waiver applications need be filed for that country.
(a) Document-filing fees.
| Code | Document | |
|---|---|---|
| 1 | Application for Certificate of Public Convenience and Necessity Interstate Air Transportation—Charter Authority Only | 850 |
| 2 | Application for Certificate of Public Convenience and Necessity Interstate Air Transportation—Scheduled Service | 850 |
| 3 | Dormant Authority | 290 |
| 4 | Application for Certificate of Public Convenience and Necessity Interstate Air Transportation—Cargo Authority Only | 670 |
| 5 | Application to transfer Certificate of Public Convenience and Necessity Interstate Air Transportation | 290 |
| 6 | Air Taxi Registration | 8 |
| 7 | Application for Commuter Air Carrier Authorization | 670 |
| 8 | Change of Name (registration of trade name or reissuance of certificate) | 56 |
| 9 | ||
| 10 | Request for an Exemption from 49 U.S.C. Chapter 415 | 53 |
| 11 | Request for an Exemption from 49 U.S.C Chapter 411 | 280 |
| 12 | Request for an Exemption from 49 U.S.C Chapter 417 | 120 |
| 13 | Request for a Service Mail Rate Petition 49 U.S.C. Chapter 419 | 420 |
| 14 | Application for Certificate of Public Convenience and Necessity Foreign Air Transportation—Scheduled Service | 900 |
| 15 | Amendment to Application for Certificate of Public Convenience and Necessity Foreign Air Transportation—Scheduled Service | 425 |
| 16 | Application for Certificate of Public Convenience and Necessity Foreign Air Transportation—Charter Service | 600 |
| 17 | Amendment to Application for Certificate of Public Convenience and Necessity Foreign Air Transportation—Charter Service | 200 |
| 18 | Transfer of Certificate of Public Convenience and Necessity Foreign Air Transportation—Scheduled or Charter Service | 255 |
| 19 | Change of Name (registration of trade name or reissuance of certificate) | 56 |
| 20 | Foreign Air Carrier Permit—Initial Application | 760 |
| 21 | Foreign Air Carrier Permit—Amendment/Renewal of permit | 475 |
| 22 | Foreign Air Carrier Permit—Amendment to application for a permit | 215 |
| 23 | Request for an Exemption from 49 U.S.C. Chapter 415 | 53 |
| 24 | Request for an Exemption from 49 U.S.C. Chapters 411/413 (10 or fewer flights) | 77 |
| 25 | Request for an Exemption from 49 U.S.C. Chapters 411/413 (More than 10 flights) | 360 |
| 26 | Request for an Exemption from 49 U.S.C. Chapters 411/413 (Filed less than 10 days before effective date requested) | 1 17 |
| 27 | Other (U.S. and foreign air carriers) | 360 |
| 28 | Emergency cabotage (49 U.S.C. Chapter 401) | 360 |
| 29 | Relief for U.S. and foreign indirect air carriers (49 U.S.C. Chapter 401) | 370 |
| 30 | Canadian Charter Air Taxi Registration | 30 |
| 31 | Foreign Freight Forwarder Registration | 11 |
| 32 | Foreign Tour Operator Registration | 10 |
| 33 | Foreign Aircraft Permit (14 CFR part 375) | 25 |
| 34 | Special Authorization (14 CFR part 375) | 12 |
| 35 | Charter Statement of Authorization | 8 |
| 36 | Intermodal Statement of Authorization | 10 |
| 37 | Special Authority (14 CFR part 216) | 37 |
| 38 | Fee for filing items 33-37 if filed less than time required before effective date | 1 11 |
| 39 | IATA resolutions | 61 |
| Charters: | ||
| 40 | Public Charter Prospectus | 39 |
| 41 | OMPC Operation Authorization | 665 |
| 42 | Waiver of Charter Regulations | 39 |
| Tariffs: | ||
| 43 | Pages | 2 |
| 44 | Special Tariff Permission | 12 |
| 45 | Waiver of Tariff Regulations | 12 |
| 46 | Exemption request | 371 |
| Agreements filed under 49 U.S.C. Chapter 413 | ||
| 47 | Prior Approval (docketed) | 1,080 |
| 48 | Routine (non-docketed) | 64 |
| 49 | Application for free and reduced-rate transportation | 16 |
1 Additional.
(b) Electronic tariff filing fees. The filing fee for one (1) or more transactions proposed in any existing record, or for any new or canceled records, shall be 5 cents per record; Provided: That no fee shall be assessed for those records submitted to the Department pursuant to 14 CFR 221.500(b).
(a) Tariffs issued by carriers. The filing fee for tariff pages filed by U.S. air carriers will be charged even if the tariff includes matters involving participating foreign air carriers. It will also be charged if the tariff is issued by a foreign air carrier and includes matters involving participating U.S. air carriers, unless the foreign air carrier has obtained a waiver under § 389.24. The fee will not be charged for a blank looseleaf page unless it cancels matter in the preceding issue of the page.
(b) Tariffs issued by publishing agents. (1) If the tariff is issued for one or more air carriers exclusively, the fee will be charged for each page.
(2) If the tariff is issued for one or more air carriers and one or more foreign air carriers, the fee will be charged for each page, except for those pages that the issuing agent states contain only:
(i) Matters pertaining exclusively to foreign air carriers that have been granted a waiver; or
(ii) Changes in matters pertaining to foreign air carriers that have been granted a waiver and that are included on the same page with other matters that are reissued without change.
(3) The fee will not be charged for a blank looseleaf page unless it cancels matters in the preceding page.
(4) No fee will be charged when two pages are published back-to-back, one page is not subject to the fee under paragraph (b)(2) of this section, and the page on the reverse is issued without substantive change.
(5) The fee will be charged for two looseleaf pages containing a correction number check sheet unless all other pages of the tariff are exempt from the fee.
Any fee charged under this part may be refunded in full or in part upon request if the document for which it is charged is withdrawn before final action is taken. Such requests shall be filed in accordance with § 389.23.
The purpose of this part is to establish general guidelines for the determination of basic essential air service for each eligible place under 49 U.S.C. 41731 and 41732. Procedures for the determination of the essential air service level for a place are contained in part 325 of this chapter.
(a) What is a hub? The Department considers hubs as belonging to any one of three classifications:
(1) A large hub is a place accounting for at least 1.00 percent of the total enplanements in the United States;
(2) A medium hub is a place accounting for at least 0.25 percent but less than 1.00 percent of the total enplanements in the United States; and
(3) A small hub is a place accounting for at least 0.05 percent but less than 0.25 percent of the total enplanements in the United States.
(b) How many hubs? (1) As a general matter, the Department will require service to one large or medium hub.
(2) In Alaska or when the nearest large or medium hub is more than 400 miles from the eligible place, the Department may instead require service to a small hub or nonhub.
(3) In some cases, the Department may require service to two hubs, of which at least one will be a large or medium hub. The Department will require service to two hubs if an eligible place has close commercial, geographic, and political ties to both hubs and if there is sufficient traffic from the eligible place to support two round trips a day to both hubs. If traffic is not sufficient, the Department may require one round trip a day to both hubs if the community requests such service.
(4) In no event will essential air service consist of service to more than two hubs.
(c) Which hub? (1) In designating hubs, the Department will weigh all of the following factors:
(i) The extent to which candidate hubs provide access to the national air transportation system;
(ii) The commercial, geographic, and political ties of candidate hubs to the eligible place;
(iii) The traffic levels to candidate hubs, as shown by traffic studies and origin and designation data;
(iv) The distance of candidate hubs from the eligible place; and
(v) The size of candidate hubs. Large size will be a positive factor, but principally as substantiating the access and community-ties factors.
(2) For Alaska, rather than requiring service to a hub, the Department may instead require that service from an eligible place be provided to a nearby focal point for traffic which, in turn, has service to a hub.
(a) At an eligible place, essential air service may be specified as service to a particular airport. In the case of hyphenated places, essential air service will be specified as service to more than one airport only if clearly necessary and if the multi-airport service is economically feasible and justified on the basis of traffic levels at those airports.
(b) At a hub, essential air service is not usually specified as service to a particular airport.
(a) Except in Alaska, service will be provided by aircraft offering at least 15 passenger seats, unless:
(1) Average daily enplanements at the place did not exceed 11 passengers for any fiscal year from 1976 through 1986;
(2) The requirement would necessitate the payment of compensation in a fiscal year for service at the place when compensation would otherwise not be necessary; or
(3) The affected community agrees in writing to the use of smaller aircraft to provide service at the place.
(b) The aircraft must have at least two engines and use two pilots, unless scheduled air transportation has not been provided to the place in aircraft with at least two engines and using two pilots for at least 60 consecutive operating days at any time since October 31, 1978.
(c) The aircraft must be pressurized when the service regularly involves flights above 8,000 feet in altitude.
(d) All aircraft must meet the applicable safety standards of the Federal Aviation Administration.
(e) The aircraft must be conveniently accessible to passengers by stairs rather than over the wing.
(a) Except in Alaska, at least two round trips each weekday and two round trips each weekend.
(b) In Alaska, a level of service at least equal to that provided in 1976, or two round trips each week, whichever is greater, except that the Department and the appropriate State authority of Alaska may agree to a different level of service after consulting with the affected community.
(c) An essential air service level may be set at more than that stated in paragraphs (a) and (b) of this section if:
(1) Historical traffic data and studies of traffic-generating potential for the place indicate that more frequent service is needed to accommodate passengers and accompanying baggage with the aircraft used at that place;
(2) More flights are needed because the capacity available to the eligible place is being shared with traffic destined for an intermediate stop or for a place beyond the eligible place;
(3) More flights are needed to accommodate passengers because smaller aircraft are being used at the place;
(4) More flights are needed in order to ensure adequate connecting opportunities as provided for by § 398.7; or
(5) For Alaska, the appropriate state agency agrees that more frequent service is needed to accommodate cargo traffic with the aircraft used at the eligible place.
(d) For eligible places where traffic levels vary substantially with the season, a two-tier level of essential air service may be established with required flight frequencies changing accordingly.
(a) The number of seats guaranteed at the eligible place will be sufficient to accommodate the estimated passenger traffic at an average load factor of 60 percent, except that an average load factor of 50 percent will be used when service is provided with aircraft having fewer than 15 passenger seats.
(b) Only under unusual circumstances will an eligible place's essential air service level be set at a number of flights that will accommodate more than 40 passengers a day in each direction (a total of 80 inbound and outbound passengers). Generally, 40 passengers can be accommodated by guaranteeing 67 seats a day in each direction (a total of 134 inbound and outbound seats).
(c) The Department may guarantee an eligible place more than 67 seats a day if:
(1) The number of stops between or beyond the eligible place and the hub results in available aircraft capacity being shared with passengers at those other places;
(2) The distance between the eligible place and the designated hub requires the use of large aircraft;
(3) The eligible place has suffered an abrupt and significant reduction in its service that warrants a temporary increase in the maximum guaranteed capacity; or
(4) Other unusual circumstances warrant guaranteeing the eligible place more than 67 seats a day.
To qualify as essential air service, flights must depart at reasonable times, considering the needs of passengers with connecting flights at the hub. It is the policy of the Department to consider the reasonableness of the time in view of the purpose for which the local passengers are traveling. If travel is primarily to connect with other flights at the hub, local flight times should be designed to link with those flights. If travel is primarily local (i.e., to and from the hub), there should be at least one morning flight in each direction and one late-afternoon or evening flight in each direction.
(a) Except in Alaska, no more than one intermediate stop is permitted in providing essential air service between the eligible place and its hub, unless otherwise agreed to with the community. In cases where an eligible place receives service to two hubs, however, more than one intermediate stop is permitted between that place and its secondary hub.
(b) In Alaska, more than one intermediate stop is permitted if required by low traffic levels at the eligible place or by the long distance between the eligible place and its hub.
(c) The Department may specify nonstop service when necessary to make the service viable.
(d) Where an eligible place normally is an intermediate stop that shares available capacity with another place, it is the policy of the Department either to require additional capacity (more flights or larger aircraft) between the eligible place and its hub or to specify some turnaround operations on that route segment.
The load factor standards used in this part may be raised for individual eligible places under either of the following circumstances:
(a) The place is served by the carrier as part of a linear route; or
(b) It would be in the interest of the community, the carrier, or the general public to raise the load factor standard for that place.
The Department considers it a violation of 49 U.S.C. 41732 and the air service guarantees provided under this part for an air carrier providing essential air service to an eligible place to overfly that place, except under one or more of the following circumstances:
(a) The carrier is not compensated for serving that place and another carrier is providing by its flights the service required by the Department's essential air service determination for that place;
(b) Circumstances beyond the carrier's control prevent it from landing at the eligible place;
(c) The flight involved is not in a market where the Department has determined air service to be essential; or
(d) The eligible place is a place in Alaska for which the Department's essential air service determination permits the overflight.
All statements of general policy adopted by the Department for the guidance of the public will be published in this part, except as provided in § 399.2.
The following types of policies are generally not included in this part:
(a) Policies relating solely to the internal management of the Department;
(b) Policies requiring secrecy in the public interest or in the interest of national defense;
(c) Policies that are repetitive of 49 U.S.C. 40101;
(d) Policies that are fully expressed in a procedural or substantive rule of the Department, or in any opinion, decision, order, certificate, permit, exemption, or waiver of the Department;
(e) Expressions of encouragement or admonition to industry to follow a certain course of action;
(f) Positions on legislative items and on other matters that are outside the scope of the Department's current statutory powers and duties.
No statement contained in any Department opinion, decision, order, certificate, permit, exemption, or waiver shall be considered a statement of policy within the meaning of this part, even though such statements may constitute a precedent in future cases or declare future policy to be followed in like cases. Similarly, a denial by the Department or relief sought, or statements of the Department's reasons for failure to issue a rule upon which rulemaking proceedings have been commenced shall not be considered statements of policy, except to the extent that it is specifically stated that such denial or failure is based upon a policy thereafter to be followed.
Policy statements published in this part will be observed by the Department until rescinded, but any policy may be amended from time to time as experience or changing conditions may require. Changes in policy may be made with or without advance notice to the public and will become effective upon publication in the
The statements of general policy relating to the various duties and functions of the Department are grouped according to subject matter in the following subparts; the titles of the subparts indicate the general subject matter included therein.
(a) It is the policy of the Department(jointly with the Department of State) that, as a general rule, landing rights abroad for United States flag air carriers will be acquired through negotiation by the U.S. Government with foreign governments rather than by direct negotiation between an air carrier and a foreign government.
(b) It is corollary to the foregoing policy that no United States air carrier may avail itself of representations by one foreign government to further its interest with another foreign government, especially with respect to landing rights, except insofar as such representations have been specifically authorized by the U.S. Government.
It is the policy of the Department to limit the duration of exemptions which authorize fixed-term route service to a maximum period of two years, and to entertain requests for renewal of such authority only when incorporated in a duly filed application for substantially equivalent certificate authority under section 401 of the Act. (See § 377.10(c) of this chapter (Special Regulations).)
In deciding applications for exemptions from section 41102 of Title 49 of the United States Code by air carriers seeking to perform charter service in air transportation, we will give primary weight to the chartering public's own assessment of the air carrier services that best meet its transportation needs. Therefore, we will not, as a general rule, consider as relevant to our decision on such applications, objections based upon (1) offers by the objectors to perform the charter service, and/or (2) estimates of revenue or traffic diversion, unless in the latter case the objectors demonstrate that the diversion resulting from grant of the exemption would threaten their ability to fulfill their certificate obligations.
The Secretary of Transportation may approve, under such terms as the Secretary may require, a carrier's application for Special Tariff Permission to file a tariff for foreign air transportation required under part 293 of this chapter on less than the notice required by 49 U.S.C. 41504(b).
(a) As used in this section:
(1) Unreasonable discrimination means unjust discrimination or unreasonable preference or prejudice; and
(2) Rate means rate, fare, or charge.
(b) Except in unusual circumstances or as provided in paragraph (c) of this section, the Departmentwill find a rate for domestic air transportation to constitute unreasonable discrimination only if:
(1) There is a reasonable probability that the rate will result in significant long-run economic injury to passengers or shippers;
(2) The rate is in fact discriminatory according to a reasonable cost allocation or other rational basis;
(3) The rate does not provide transportation or other statutorily recognized benefits that justify the discrimination; and
(4) Actual and potential competitive forces cannot reliably be expected to eliminate the undesirable effects of the discrimination within a reasonable period.
(c) A rate that discriminates on the basis of the status of the traffic carried will not be presumed to be unreasonably discriminatory, unless the use of the status categories in question is contrary to established national anti-discrimination policy.
Equipment purchase deposits are advance payments made by air carriers to manufacturers for the purchase of equipment to be delivered in the future, or funds segregated by air carriers for this purpose. It is the policy of the Department not to recognize equipment purchase deposits in an air carrier's investment base for ratemaking purposes. When equipment is acquired by an air carrier and placed in air-transport service, the Department will recognize in the air carrier's investment base interest on purchase deposits on such equipment capitalized and amortized in accordance with the Uniform System of Accounts and Reports for Certificated Air Carriers (part 241 of this chapter).
[Methodology for determining change in operating expense per available seat-mile]
| Year ended September 1979 | Trunks | Locals | Trunks plus locals | Total passenger/cargo 16 |
|---|---|---|---|---|
| Total operating expense 1 (millions) | $16,455 | $2,522 | $18,977 | $19,384 |
| Less: | ||||
| All-cargo expenses 2 | 269 | 269 | 269 | |
| Belly offset 3 | 952 | 153 | 1,105 | 1,153 |
| Nonscheduled 4 | 141 | 46 | 187 | 205 |
| Transport related 5 | 379 | 31 | 410 | 416 |
| Plus: Capitalized lease adjustment 10 | 119 | 2 | 121 | 121 |
| Passenger operating expense | 14,833 | 2,294 | 17,127 | 17,462 |
| Passenger fuel cost 11 | 4,103 | N.A. | ||
| Scheduled service ASM's (mils.) | 281,671 | 33,051 | 314,722 | 318,459 |
| Passenger nonfuel operating expense per ASM (dollars) | .04138 | N.A. | ||
| Passenger fuel expense per ASM (dollars) | .01304 | N.A. | ||
| Total passenger expense per ASM (dollars) | .05442 | .05483 | ||
| Year ended September 1978 | ||||
| Total operating expense 1 (millions) | 14,081 | 2,033 | 16,114 | 16,448 |
| Less: | ||||
| All-cargo expenses 2 | 282 | 282 | 282 | |
| Belly offset 3 | 869 | 152 | 1,021 | 1,065 |
| Nonscheduled 4 | 193 | 53 | 246 | 256 |
| Transport related 5 | 419 | 30 | 449 | 454 |
| Plus: Capitalized lease adjustment 10 | 78 | 1 | 79 | 79 |
| Passenger operating expense | 12,396 | 1,799 | 14,195 | 14,470 |
| Passenger fuel cost 11 | 3,129 | N.A. | ||
| Scheduled service ASM's (mils.) | 262,068 | 27,067 | 289,135 | 292,255 |
| Passenger nonfuel operating expense per ASM (dollars) | .03827 | N.A. | ||
| Passenger fuel expense per ASM (dollars) | .01082 | N.A. | ||
| Total passenger expense per ASM (dollars) | .04909 | .04951 | ||
| Percent change in nonfuel operating expense per ASM (percent) | 8.13 | N.A. | ||
| Projected change in nonfuel expense from April 1, 1979 to April 1, 1980 6 | 8.13 | N.A. | ||
| Estimated change in fuel cost, year ended September 1979 average to April 1, 1980 14 | 73.06 | N.A. | ||
| Nonfuel operating expense per ASM at April 1, 1980 7 (dollars) | .04474 | N.A. | ||
| Fuel expense per ASM at April 1, 1980 7 (dollars) | .02257 | N.A. | ||
| Total expense per ASM at April 1, 1980 7 (dollars) | .06731 | 15 .06782 | ||
| Year ended March 1977 | ||||
| Total operating expense 1 (millions) | $11,726 | $1,520 | $13,316 | $13,601 |
| Less: | ||||
| All-cargo expense 2 | 238 | 238 | 238 | |
| Belly offset 3 | 729 | 96 | 825 | 865 |
| Nonscheduled 4 | 220 | 35 | 225 | 266 |
| Transport related 5 | 427 | 111 | 538 | 554 |
| Passenger operating expense | 10,112 | 1,348 | 11,460 | 11,678 |
| Passenger fuel cost | 2,190 | 230 | 2,420 | N.A. |
| Scheduled service ASM's (mils.) | 239,593 | 23,428 | 263,021 | 265,837 |
| Operating expense per ASM (dollars) | .04221 | .05754 | .04357 | .04393 |
| Projected expense per ASM (dollars) as at July 1, 1977 13 | .04593 | |||
| Projected operating expense per ASM as at April 1, 1980 (page 1) (dollars) | .06782 | |||
| Ceiling adjustment factor 8 (percent) | 47.66 | |||
| D.P.F.I. formula effective July 15, 1977 12: | |
| Terminal charge | $16.16 |
| Plus | .0884/mile (0-500 miles). |
| Plus | .0674/mile (501-1,500 miles). |
| Plus | .0648/mile (over 1,500 miles). |
| Ceiling formula through April 30, 1980 9: | |
| Terminal charge | $23.86 |
| Plus | .1305/mile (0-500 miles). |
| Plus | .0995/mile (501-1,500 miles). |
| Plus | .0957/mile (over 1,500 miles). |
1 Total operating expense for all operations and service (in millions).
2 Scheduled all-cargo operations expense.
3 Total scheduled-service cargo revenue, less scheduled all-cargo operations revenue, carried as a by-product in aircraft belly compartments. Includes freight, express, priority and non-priority U.S. mail, and excess baggage.
4 Total non-scheduled revenues times 0.95, assuming charter operations would only be conducted at a profit.
5 Total transport-related expense, less any excess of expense over total transport-related revenues.
6 We here project costs from April 1, 1979 (the midpoint of the data year ended September 1979) to April 1, 1980 the resultant increase factor effective through April 30, 1980.
7 Operating expense per ASM for year-ended September, 1979, times projected change.
8 Projected operating expense per ASM on April 1, 1980 divided by the operating expense as at July 1, 1977.
9 Adjustment results in a 2.5 percent increase in level over current January 1, 1980 factor.
10 Additional rental expense that would have been incurred had leases not been capitalized under FASB-13, less actual amortization of capitalized lease expense.
11 Total fuel cost, scheduled service, times complement of rate of All-Cargo expense to total Operating Expense.
12 Order 77-7-26.
13 Year ended March, 1977 cost per ASM, times cost escalation factor of 1.04543 (to July 5, 1977). See DPFI workpapers, Y.E. March, 1977.
14 Estimated average cost per gallon for the trunk plus local service carriers at April 1, 1980, divided by the average for the year ended September, 1979 (48.33¢).
15 Change in Trunks plus Locals cost per ASM as at April 1, 1980, to year ended September, 1979 times total Psgr/Cargo cost for the year ended September, 1979.
16 Includes Alaskan, Hawaiian and other regional carriers.
(a) General. This policy statement describes the general standards which will be used by the Department in determining the order in which it will designate for hearing those matters on its docket which are to be decided after notice and hearing. Among such matters are applications for certificates of public convenience and necessity or for foreign air carrier permits; complaint cases; and various rate-making proceedings.
(b) Standards. Matters will be assigned for hearing in accordance with the degree of relative priority which each matter is entitled to on the basis of the comparative public interest involved therein. Among other things, the Department will take into account:
(1) Statutory requirements for preference or statutory limitations on the time within which the Department shall act;
(2) The impact of delay on the public or particular persons;
(3) The need for promptly securing compliance with the provisions of the Act;
(4) The time for which the matter has already been pending and which would be required to dispose of it;
(5) Whether the application requests renewal of an existing temporary authorization; and
(6) In matters relating to operating authority:
(i) Whether a proposal might reduce subsidy or increase economy of operations;
(ii) Whether an application proposes new service;
(iii) The volume of traffic that might be affected by the grant or denial of the proposal;
(iv) The period that has elapsed since the Department considered the service needs of the places or areas involved; and
(v) The relative availability of necessary staff members of the carriers, communities and the Department, in the light of other proceedings already in progress, to handle the processing of the case.
For the purpose of implementing the Department's policy to provide for the exclusion of irrelevant, immaterial, or unduly repetitious evidence and otherwise to expedite route proceedings, and in light of experience, the following guidelines are hereby established:
(a) Public and civic bodies which represent the same geographic area or community should consolidate their presentation of evidence, briefs or oral argument to the examiner and the Department;
(b) A public body or a civic organization, or several such bodies or organizations whose presentation of evidence is consolidated, should keep to a minimum the number of witnesses used to present the factual evidence in support of the community's position;
(c) Exhibits offered in evidence by a public body or civic organization should be limited to evidence of the economic characteristics of the community and area involved, data as to community of interest and traffic, evidence with respect to the sufficiency of existing service, and airport data, and should not include data relating to number of electricity, water and gas meters, telephones, schools, freight car loadings, building permits, sewer connections, or volume of bank deposits in the community.
(a) Applicability. This section applies to initial and recommended decisions of administrative law judges, final decisions, and decisions on petitions for review or reconsideration in cases in which the Department has ordered a trial-type hearing before an administrative law judge.
(b) Issuance of target dates. In cases to which this section applies, the Department or the administrative law judge, as the situation calls for, shall issue a notice of the target date for the completion of the initial or recommended decision, final decision, or decision on a petition for review or reconsideration. The Department or the administrative law judge shall endeavor to render the pending decision not later than the target date.
(c) Time for promulgating target dates. (1) In the case of initial, recommended, or final decisions, notice of target dates shall be issued, served, and filed within 20 days of the submission of closing briefs, or the conclusion of oral argument to the administrative law judge or the Department, as may be appropriate.
(2) In the case of petitions for review or for reconsideration, notices of target dates shall be issued, served, and filed within 20 days of the date for the filing of answers: Provided, That, in the case of petitions for reconsideration of Department decisions awarding new route authority, the Department shall, in lieu of issuing individual target dates, endeavor to render its decision no later than the day preceding the effective date of the new authority awarded.
(a) General. This policy statement establishes the standards applicable to staff participation in oral hearing cases involving award of route authority.
(b) Standards. The staff's role during such hearings, primarily because it acts in the broad public interest, and not for a particular private or local interest, is to assure that essential evidence is introduced to resolve the public interest issues; that the evidence submitted by the parties is subject to adversary testing, and that decisional options are developed with the public interest in mind. In route cases designated by the Department that offer the opportunity for developing new policies to adapt to the administration of the Federal Aviation Act or that raise unusual evidentiary issues, a prehearing presentation by staff of decisional options will contribute to a better trial record, be consistent with traditional notions of fundamental fairness, better serve the Department's decisionmaking needs and ultimately serve the public interest. In any route case where the Department has not required the staff to participate by making a prehearing presentation, the staff shall present a prehearing presentation of decisional options if the administrative law judge finds that there exists unusual policy or evidentiary issues which clearly require such a presentation. We believe it is not desirable for the staff to advocate the adoption of a single decisional option at the outset of a case. Accordingly,
(1) In route cases designated by the Department that offer the opportunity for developing new policies, the staff shall make a prehearing presentation of the decisional options available, and describe the kinds of evidence needed or available to develop each option. The staff need not and should not be required to develop evidence on each option. In every case, after the close of the hearing, however, the staff shall advocate a position based upon one or more of the decisional options identified in its prehearing presentation or developed at trial.
(2) In any route case in which the administrative law judge finds that there exists unusual policy or evidentiary issues clearly requiring a prehearing presentation, the staff shall submit a prehearing statement of the decisional options available.
(3) To the extent possible, the Department, in its instituting orders, will identify or designate the cases which involve the development of new policies or unusual evidentiary issues that will require the type of staff participation described in § 399.63(b)(1).
The rules and policies relating to the disposition of rulemaking petitions by the Department of Transportation Office of the Secretary are located in its rulemaking procedures contained in 49 CFR part 5. The criteria for identifying significant rules and determining whether a regulatory analysis will be performed are set forth in the Department's Regulatory Policies and Procedures, 44 FR 11034, February 26, 1979, and Executive Order 12866.
For the purposes of the Department's implementation of chapter 6 of title 5, United States Code (Regulatory Flexibility Act), a direct air carrier or foreign air carrier is a small business if it provides air transportation only with small aircraft as defined in § 298.2 of this chapter (up to 60 seats/18,000 pound payload capacity).
(a) General. When issuing a proposed or final regulation declaring a practice in air transportation or the sale of air transportation to be unfair or deceptive to consumers under the authority of 49 U.S.C. 41712(a), unless the regulation is specifically required by statute, the Department shall employ the definitions of “unfair” and “deceptive” set forth in § 399.79.
(b) Procedural requirements. When issuing a proposed regulation under paragraph (a) of this section that is defined as high impact or economically significant within the meaning of 49 CFR 5.17(a), the Department shall follow the procedural requirements set forth in 49 CFR 5.17. When issuing a proposed regulation under paragraph (a) of this section that is not defined as high impact or economically significant within the meaning of 49 CFR 5.17(a), unless the regulation is specifically required by statute, the Department shall adhere to the following procedural requirements:
(1) Request for a hearing. Following publication of a proposed regulation, and before the close of the comment period, any interested party may file in the rulemaking docket a petition, directed to the General Counsel, to hold a hearing on the proposed regulation.
(2) Decision on petition for hearing. The petition shall be granted if the petitioner makes a clear and convincing showing that granting the petition is in the public interest. Factors in determining whether a petition is in the public interest include, but are not limited to:
(i) Whether the proposed rule depends on conclusions concerning one or more specific scientific, technical, economic, or other factual issues that are genuinely in dispute or that may not satisfy the requirements of the Information Quality Act;
(ii) Whether the ordinary public comment process is unlikely to provide an adequate examination of the issues to permit a fully informed judgment;
(iii) Whether the resolution of the disputed factual issues would likely have a material effect on the costs and benefits of the proposed rule;
(iv) Whether the requested hearing would advance the consideration of the proposed rule and the General Counsel's ability to make the rulemaking determinations required by this section; and
(v) Whether the hearing would unreasonably delay completion of the rulemaking.
(3) Explanation of decision. If a petition is granted or denied in whole or in part, the General Counsel shall provide an explanation of the basis for the decision,
(4) Hearing notice. If the General Counsel grants the petition, the General Counsel shall publish notification of the hearing in the
(5) Hearing process. (i) A hearing under this section shall be conducted using procedures approved by the General Counsel, and interested parties shall have a reasonable opportunity to participate in the hearing.
(ii) The General Counsel shall arrange for a hearing officer to preside over the hearing.
(iii) After the hearing and after the record of the hearing is closed, the hearing officer shall place on the docket minutes of the hearing with sufficient detail as to fully reflect the evidence and arguments presented on the issues. The complete record of the hearing shall be made part of the rulemaking record.
(iv) Interested parties shall be given an opportunity to file statements or comments after the hearing.
(6) Actions following hearing. (i) Following the completion of the hearing process, the General Counsel shall consider the record of the hearing, and shall make a reasoned determination whether to terminate the rulemaking; to proceed with the rulemaking as proposed; or to modify the proposed rule.
(ii) If the General Counsel decides to terminate the rulemaking, the General Counsel shall publish a document in the
(iii) If the General Counsel decides to finalize the proposed rule without material modifications, the General Counsel shall explain the reasons for the decision and its responses to the hearing record in the preamble to the final rule.
(iv) If the General Counsel decides to modify the proposed rule in material respects, the General Counsel shall publish a new or supplemental notice of proposed rulemaking in the
(7) Interagency review process. The hearing procedures under this paragraph (b) shall not impede or interfere with the interagency review process of the Office of Information and Regulatory Affairs for the proposed rulemaking.
(c) Basis for rulemaking. When issuing a proposed or final regulation declaring a practice in air transportation or the sale of air transportation to be unfair or deceptive to consumers under the authority of 49 U.S.C. 41712(a), unless the regulation is specifically required by statute, the Department shall articulate the basis for concluding that the practice is unfair or deceptive to consumers as defined in § 399.79.
(a) Applicability. This policy shall apply to the Department's aviation consumer protection actions pursuant to 49 U.S.C. 41712(a).
(b) Definitions. (1) A practice is “unfair” to consumers if it causes or is likely to cause substantial injury, which is not reasonably avoidable, and the harm is not outweighed by benefits to consumers or competition.
(2) A practice is “deceptive” to consumers if it is likely to mislead a consumer, acting reasonably under the circumstances, with respect to a material matter. A matter is material if it is likely to have affected the consumer's conduct or decision with respect to a product or service.
(c) Intent. Proof of intent is not necessary to establish unfairness or deception for purposes of 49 U.S.C. 41712(a).
(d) Specific regulations prevail. Where an existing regulation applies to the practice of an air carrier, foreign air carrier, or ticket agent, the terms of that regulation apply rather than the general definitions set forth in this section.
(e) Informal enforcement proceedings. (1) Before any determination is made on how to resolve a matter involving a potential unfair or deceptive practice, the U.S. Department of Transportation's Office of Aviation Consumer Protection will provide an opportunity for the alleged violator to be heard and present relevant evidence, including but not limited to:
(i) In cases where a specific regulation applies, evidence tending to establish that the regulation at issue was not violated and, if applicable, that mitigating circumstances apply;
(ii) In cases where a specific regulation does not apply, evidence tending to establish that the conduct at issue was not unfair or deceptive as defined in paragraph (b) of this section; and
(iii) Evidence tending to establish that consumer harm was limited, or that the air carrier, foreign air carrier, or ticket agent has taken steps to mitigate consumer harm.
(2) During this informal process, if the Office of Aviation Consumer Protection reaches agreement with the alleged violator to resolve the matter with the issuance of an order declaring a practice in air transportation or the sale of air transportation to be unfair or deceptive to consumers under the authority of 49 U.S.C. 41712(a), and when a regulation issued under the authority of section 41712 does not apply to the practice at issue, then the Department shall articulate in the order the basis for concluding that the practice is unfair or deceptive to consumers as defined in this section.
(f) Formal enforcement proceedings before an administrative law judge. When there are reasonable grounds to believe that an airline or ticket agent has violated 49 U.S.C. 41712, and efforts to settle the matter have failed, the Office of Aviation Consumer Protection may issue a notice instituting an enforcement proceeding before an administrative law judge pursuant to 14 CFR 302.407. After the issues have been formulated, if the matter has not been resolved through pleadings or otherwise, the parties will receive reasonable written notice of the time and place of the hearing as set forth in 14 CFR 302.415.
(g) Formal enforcement proceedings in U.S. District Court. Alternatively, when there are reasonable grounds to believe that an airline or ticket agent has violated 49 U.S.C. 41712 and efforts to settle the matter have failed, the Department of Transportation may bring a civil action in a district court of the United States pursuant to 49 U.S.C. 46106 or 46107.
It is the policy of the Department to regard as an unfair or deceptive practice or unfair method of competition the practices enumerated in paragraphs (a) through (n) of this section by a ticket agent of any size and the practice enumerated in paragraph (s) of this section by a ticket agent that sells air transportation online and is not considered a small business under the Small Business Administration's size standards set forth in 13 CFR 121.201:
(a) Misrepresentations
(b) Using or displaying or permitting or suffering to be used or displayed the name, trade name, slogan or any abbreviation thereof, of the ticket agent, in advertisements, on or in places of business, or on aircraft in connection with the name of an air carrier with whom it does business, in such manner that it may mislead or confuse the traveling public with respect to the agency status of the ticket agent.
(c) Misrepresentations as to the quality or kind of service, type or size of aircraft, time of departure or arrival, points served, route to be flown, stops to be made, or total trip-time from point of departure to destination.
(d) Misrepresentation as to qualifications of pilots or safety record or certification of pilots, aircraft or air carriers.
(e) Misrepresentations that passengers are directly insured when they are not so insured; for example, where the only insurance in force is that protecting the air carrier in event of liability.
(f) Misrepresentations as to fares and charges for air transportation or services in connection therewith.
(g) Misrepresentation that special discounts or reductions are available, when such discounts or reductions are not specific in the lawful tariffs of the air carrier which is to perform the transportation.
(h) [Reserved]
(i) Misrepresentations that special priorities for reservations are available when such special considerations are not in fact granted to members of the public generally.
(j) Selling air transportation to persons on a reservation or charter basis for specified space, flight, or time, or representing that such definite reservation or charter is or will be available or has been arranged, without a binding commitment with an air carrier for the furnishing of such definite reservation or charter as represented or sold.
(k) Selling or issuing tickets or other documents to passengers to be exchanged or used for air transportation knowing or having reason to know or believe that such tickets or other documents will not be or cannot be legally honored by air carriers for air transportation.
(l) Failing to make a prompt refund of airfare (including any taxes and ancillary fees) to a consumer, upon request, for a cancelled flight or a significantly delayed or changed flight if the consumer chooses not to travel or accept compensation in lieu of a refund in situations described in 14 CFR 260.6(a) and (b) when the ticket agent is the merchant of record. Failing to provide a prompt refund of airfare (including any taxes and ancillary fees), upon request, for a significantly delayed or changed flight itinerary to consumers on the same reservation as an individual with a disability who does not want to continue travel because of a significant change described in paragraph (l)(1)(vii)(E) of this section related to downgrades or paragraph (l)(1)(vii)(G) of this section related to aircraft substitution which result in one or more accessibility features needed by the individual with a disability becoming unavailable or because of the significant change described in paragraph (l)(1)(vii)(F) of this section related to change in connecting airports. A prompt refund is one that is made within 7 business days of the ticket agent receiving information from a carrier as specified in 14 CFR 260.6(d), as required by 12 CFR part 1026 for credit card purchases, and within 20 calendar days of refund becoming due for cash, check, debit card, or other forms of purchases. Ticket agents must provide the refunds in the original form of payment (i.e., money is returned to individual using whatever payment method the individual used to make the original payment, such as a check, a credit card, a debit card, cash, or airline miles), unless the consumer agrees to receive the refund in another form of payment that is cash equivalent. A ticket agent may retain a service fee charged when issuing the original ticket to the extent that service is for more than processing payment for a flight that the consumer found. That fee must be on a per-passenger basis and its existence, amount, and the non-refundable nature if that is the case must be clearly and prominently disclosed to consumers at the time they purchase the airfare. Ticket agents may offer alternative transportation, travel credits, vouchers, or other compensation that remains valid and redeemable by the consumer for a period of at least 5 years from the date on which such voucher, credit, or other form of compensation in lieu of refunds but must first inform consumers that they are entitled to a refund if that is the case. Ticket agents must clearly disclose any material restrictions, conditions, and limitations on travel credits, vouchers, or other compensation they offer, including the expiration date of the travel credits, vouchers, or other compensation, which must be provided, upon request, to an individual who self identifies as an individual with a disability in an electronic format accessible to the recipient.
(1) For purposes of this paragraph (l), the following definitions apply:
(i) Business days means Monday through Friday, excluding Federal holidays in the United States.
(ii) Cancelled flight or cancellation means a flight with a specific flight number scheduled to be operated between a specific origin-destination city pair that was published in a carrier's Computer Reservation System at the time of the ticket sale but was not operated by the carrier.
(iii) Cash equivalent means a form of payment that can be used like cash, including but not limited to a check, a prepaid card, funds transferred to the passenger's bank account, funds provided through digital payment methods (e.g., PayPal, Venmo), or a gift card that is widely accepted in commerce. It is not cash equivalent if consumers bear the burden for maintenance or usage fees related to the payment.
(iv) Class of service means seating in the same cabin class such as First, Business, Premium Economy, or Economy class, which is defined based on seat location in the aircraft and seat characteristics such as width, seat recline angles, or pitch (including the amount of legroom).
(v) Covered flight means a scheduled flight to, from, or within the United States.
(vi) Merchant of record means the entity responsible for processing payments by consumers for airfare, as shown in the consumer's financial charge statements such as debit or credit card charge statements.
(vii) Significant delayed or changed flight means a covered flight itinerary with a delay or change made by a U.S. or foreign carrier where as the result of the delay or change:
(A) The consumer is scheduled to depart from the origination airport three hours or more for domestic itineraries and six hours or more for international itineraries earlier than the original scheduled departure time;
(B) The consumer is scheduled to arrive at the destination airport three hours or more for domestic itineraries or six hours or more for international itineraries later than the original scheduled arrival time;
(C) The consumer is scheduled to depart from a different origination airport or arrive at a different destination airport;
(D) The consumer is scheduled to travel on an itinerary with more connection points than that of the original itinerary;
(E) The consumer is downgraded to a lower class of service;
(F) The consumer with a disability is scheduled to travel through one or more connecting airports that are different from the original itinerary; or
(G) The consumer with a disability is scheduled to travel on substitute aircraft on which one or more accessibility features needed by the passenger are unavailable.
(m) Misrepresentations regarding the handling, forwarding or routing of baggage or other property, or the loss or tracing thereof, or failing or refusing to honor proper claims for loss of or damage to baggage or other property.
(n) Misrepresentation as to the requirements that must be met by persons or organizations in order to qualify for charter or group fare flights.
(o)-(r) [Reserved]
(s) Failing to disclose and offer web-based discount fares to prospective passengers who contact the agent through other channels (e.g., by telephone or in the agent's place of business) and indicate they are unable to use the agent's website due to a disability.
(a) The unrealistic scheduling of flights by any air carrier providing scheduled passenger air transportation is an unfair or deceptive practice and an unfair method of competition within the meaning of 49 U.S.C. 41712.
(b) With respect to the advertising of schedule performance, it is an unfair or deceptive practice and an unfair method of competition to use any figures purporting to reflect schedule or on-time performance without indicating the basis of the calculation, the time period involved, and the pairs of points or the percentage of system-wide operations thereby represented and whether the figures include all scheduled flights or only scheduled flights actually performed.
(c) Chronically delayed flights. (1) This paragraph (c) applies to any air carrier that is a “reporting carrier” as defined in Part 234 of Department regulations (14 CFR Part 234).
(2) For the purposes of this paragraph (c), a chronically delayed flight means any domestic flight that is operated at least 10 times a month, and arrives more than 30 minutes late (including cancelled flights) more than 50 percent of the time during that month.
(3) For purposes of this paragraph (c), the Department considers all of a carrier's flights that are operated in a given city-pair market whose scheduled departure times are within 30 minutes of the most frequently occurring scheduled departure time to be one single flight.
(4) The holding out of a chronically delayed flight for more than four consecutive one-month periods represents one form of unrealistic scheduling and is an unfair or deceptive practice and an unfair method of competition within the meaning of 49 U.S.C. 41712.
(a) Applicability. This policy shall apply to proceedings in which the Department, in exercising its regulatory powers with respect to air carriers and foreign air carriers, is required to determine whether carriers have engaged in unfair or deceptive practices, or unfair methods of competition. The standards herein shall not be construed to supersede any action previously taken by the Department in a particular proceeding dealing with the subject matter of this statement, but to the extent not inconsistent therewith shall provide standards which supplement, or implement such specific Department action. The limitation of this policy statement to certain affiliated carriers should not be construed as an indication that the Department will permit other carriers to pass off by means of activities which are inconsistent with the minimum safeguards set forth in paragraph (c) of this section. In such cases the Department may determine in an adjudicatory proceeding that the activities engaged in have a tendency to pass off and constitute an unfair or deceptive practice or an unfair method of competition.
(b) Definition. For the purpose of this statement, the term affiliation, as between an air carrier and a foreign air carrier, shall mean that one of the carriers directly or indirectly has one of the following relationships to the other:
(1) Owns or controls 10 percent or more of the securities of the other, with or without an accompanying power to vote;
(2) Is jointly controlled with the other carrier, directly or indirectly by a third person; or
(3) Provides general agency services for the other carrier.
(c) Minimum safeguards. The minimum safeguards which the Department will consider as adequate to foreclose passing off by affiliated carriers are as follows:
(1) An air carrier and any affiliated foreign air carrier shall not engage in joint public relations activities at points served by both carriers which tend to pass off the services of one carrier as the services of the other carrier or as part of a unified system of which each is a part;
(2) Where one affiliated carrier provides general agency services for the other carrier, at points served by both carriers, it shall specifically identify all flights of the other carrier as flights of that carrier without reference to any relationship to the carrier performing the agency services;
(3) All forms of display (including aircraft insignia), scheduled publications, advertising, or printed matter employed by affiliated carriers shall not state or imply that the services of either carrier are performed in common with the other carrier or as part of a single system. In cases where it is necessary to indicate that any agency service is performed by one affiliated carrier for the other, the references to the carrier performing the agency should be sufficiently subordinated to the name of the other carrier as to emphasize the limited role of the agent;
(4) Telephone facilities at points served by both carriers should preserve the identity of the individual carriers;
(5) Where joint traffic or sales facilities are maintained by affiliated carriers, the separate identity of each carrier should be maintained by reasonably comparable use of display advertising, desk-space, personnel uniforms, and other facilities and activities;
(6) Where one carrier sells time payment tickets for travel over the other carrier (except interline travel), the application form should identify the carrier performing the transportation;
(7) The respective personnel of the affiliated carriers shall preserve the individual identity of the respective carriers in all public dealings.
(d) Unfair and deceptive practice. It is the policy of the Department to regard any joint activity of an affiliated air carrier and a foreign air carrier as an unfair or deceptive practice or unfair method of competition where such joint activity does not satisfy the minimum safeguards enumerated in the preceding subsection.
(e) Exceptions. Exceptions to a safeguard set forth in paragraph (c) of this section may be recognized for activities in a foreign country if the Department finds that special circumstances pertaining to the country render the safeguard inappropriate. Exceptions on other grounds may be recognized pursuant to § 399.4.
It is the policy of the Department to consider the practice of an air carrier, foreign air carrier, or ticket agent, of stating to a prospective passenger by telephone or other means of communication that a reservation of space on a scheduled flight in air transportation is confirmed before a passenger has received a ticket specifying thereon his confirmed reserved space, to be an unfair or deceptive practice and an unfair method of competition in air transportation or the sale thereof within the meaning of 49 U.S.C. 41712, unless the tariff of the particular air carrier or foreign air carrier provides for confirmation of reserved space by the means so used.
(a) The Department considers any advertising or solicitation by a direct air carrier, indirect air carrier, an agent of either, or a ticket agent, for passenger air transportation, a tour (i.e., a combination of air transportation and ground or cruise accommodations) or tour component (e.g., a hotel stay) that must be purchased with air transportation that states a price for such air transportation, tour, or tour component to be an unfair and deceptive practice in violation of 49 U.S.C. 41712, unless the price stated is the entire price to be paid by the customer to the carrier, or agent, for such air transportation, tour, or tour component. Though charges included within the single total price listed (e.g., government taxes) may be stated separately or through links or “pop ups” on websites that display the total price, such charges may not be false or misleading, may not be displayed prominently, may not be presented in the same or larger size as the total price, and must provide cost information on a per passenger basis that accurately reflects the cost of the item covered by the charge.
(b) The Department considers any advertising by the entities listed in paragraph (a) of this section of an each-way airfare that is available only when purchased for round-trip travel to be an unfair and deceptive practice in violation of 49 U.S.C. 41712, unless such airfare is advertised as “each way” and in such a manner so that the disclosure of the round-trip purchase requirement is clearly and conspicuously noted in the advertisement and is stated prominently and proximately to the each-way fare amount. The Department considers it to be an unfair and deceptive practice to advertise each-way fares contingent on a round-trip purchase requirement as “one-way” fares, even if accompanied by prominent and proximate disclosure of the round trip purchase requirement.
(c) When offering a ticket for purchase by a consumer, for passenger air transportation or for a tour (i.e., a combination of air transportation and ground or cruise accommodations) or tour component (e.g., a hotel stay) that must be purchased with air transportation, a direct air carrier, indirect air carrier, an agent of either, or a ticket agent, may not offer additional optional services in connection with air transportation, a tour, or tour component whereby the optional service is automatically added to the consumer's purchase if the consumer takes no other action, i.e., if the consumer does not opt out. The consumer must affirmatively “opt in” (i.e., agree) to such a service and the fee for it before that fee is added to the total price for the air transportation-related purchase. The Department considers the use of “opt-out” provisions to be an unfair and deceptive practice in violation of 49 U.S.C. 41712.
(a) If a U.S. or foreign air carrier has a website accessible for ticket purchases by the general public in the U.S., the carrier must promptly and prominently disclose any increase in its fee for carry-on or first and second checked bags and any change in the first and second checked bags or carry-on allowance for a passenger on the homepage of that website (e.g., provide a link that says “changed bag rules” or similarly descriptive language and takes the consumer from the homepage directly to a pop-up or a place on another web page that details the change in baggage allowance or fees and the effective dates of such changes). Such notice must remain on the homepage for at least three months after the change becomes effective.
(b) If a U.S. carrier, a foreign air carrier, an agent of either, or a ticket agent has a website accessible for ticket purchases by the general public in the U.S., the carrier or agent must clearly and prominently disclose on the first screen in which the agent or carrier offers a fare quotation for a specific itinerary selected by a consumer that additional airline fees for baggage may apply and where consumers can see these baggage fees. An agent may refer consumers to the airline websites where specific baggage fee information may be obtained or to its own site if it displays airlines' baggage fees.
(c) On all e-ticket confirmations for air transportation within, to or from the United States, including the summary page at the completion of an online purchase and a post-purchase email confirmation, a U.S. carrier, a foreign air carrier, an agent of either, or a ticket agent that advertises or sells air transportation in the United States must include information regarding the passenger's free baggage allowance and the applicable fee for a carry-on bag and the first and second checked bag. Carriers must provide this information in text form in the e-ticket confirmation. Agents may provide this information in text form in the e-ticket confirmations or through a hyperlink to the specific location on airline websites or their own website where this information is displayed. The fee information provided for a carry-on bag and the first and second checked bag must be expressed as specific charges taking into account any factors (e.g., frequent flyer status, early purchase, and so forth) that affect those charges.
(d) If a U.S. or foreign air carrier has a website marketed to U.S. consumers where it advertises or sells air transportation, the carrier must prominently disclose on its website information on fees for all optional services that are available to a passenger purchasing air transportation. Such disclosure must be clear, with a conspicuous link from the carrier's homepage directly to a page or a place on a page where all such optional services and related fees are disclosed. For purposes of this section, the term “optional services” is defined as any service the airline provides, for a fee, beyond passenger air transportation. Such fees include, but are not limited to, charges for checked or carry-on baggage, advance seat selection, in-flight beverages, snacks and meals, pillows and blankets and seat upgrades. In general, fees for particular services may be expressed as a range; however, baggage fees must be expressed as specific charges taking into account any factors (e.g., frequent flyer status, early purchase, and so forth) that affect those charges.
(e) For air transportation within, to or from the United States, a carrier marketing a flight under its identity that is operated by a different carrier, otherwise known as a code-share flight, must through its website disclose to consumers booked on a code-share flight any differences between its optional services and related fees and those of the carrier operating the flight. This disclosure may be made through a conspicuous notice of the existence of such differences on the marketing carrier's website or a conspicuous hyperlink taking the reader directly to the operating carrier's fee listing or to a page on the marketing carrier's website that lists the differences in policies among code-share partners.
(f) The Department considers the failure to give the appropriate notice described in paragraphs (a) through (e) of this section to be an unfair and deceptive practice within the meaning of 49 U.S.C. 41712.
The Department considers that payments by air carriers and foreign air carriers to shippers, indirect air carriers, or foreign indirect air carriers for non-air transportation preparation of air cargo shipments are for services ancillary to the air transportation, and are not prohibited under section 403 of the Act.
For passengers whose ultimate ticketed origin or destination is a U.S. point, U.S. and foreign carriers must apply the baggage allowances and fees that apply at the beginning of a passenger's itinerary throughout his or her entire itinerary. In the case of code-share flights that form part of an itinerary whose ultimate ticketed origin or destination is a U.S. point, U.S. and foreign carriers must apply the baggage allowances and fees of the marketing carrier throughout the itinerary to the extent that they differ from those of any operating carrier.
(a) It is an unfair and deceptive practice within the meaning of 49 U.S.C. 41712 for any seller of scheduled air transportation within, to or from the United States, or of a tour (i.e., a combination of air transportation and ground or cruise accommodations), or tour component (e.g., a hotel stay) that includes scheduled air transportation within, to or from the United States, to increase the price of that air transportation, tour or tour component to a consumer, including but not limited to an increase in the price of the seat, an increase in the price for the carriage of passenger baggage, or an increase in an applicable fuel surcharge, after the air transportation has been purchased by the consumer, except in the case of an increase in a government-imposed tax or fee. A purchase is deemed to have occurred when the full amount agreed upon has been paid by the consumer.
(b) A seller of scheduled air transportation within, to or from the United States or a tour (i.e., a combination of air transportation and ground or cruise accommodations), or tour component (e.g., a hotel stay) that includes scheduled air transportation within, to or from the United States, must notify a consumer of the potential for a post-purchase price increase due to an increase in a government-imposed tax or fee and must obtain the consumer's written consent to the potential for such an increase prior to purchase of the scheduled air transportation, tour or tour component that includes scheduled air transportation. Imposition of any such increase without providing the consumer the appropriate notice and without obtaining his or her written consent of the potential increase constitutes an unfair and deceptive practice within the meaning of 49 U.S.C. 41712.
Any seller of scheduled air transportation within, to or from the United States, or of a tour (i.e., a combination of air transportation and ground or cruise accommodations), or tour component (e.g., a hotel stay) that includes scheduled air transportation within, to or from the United States, must notify a consumer of the potential for a price increase that could take place prior to the time that the full amount agreed upon has been paid by the consumer, including but not limited to an increase in the price of the seat, an increase in the price for the carriage of passenger baggage, an increase in an applicable fuel surcharge, or an increase in a government-imposed tax or fee and must obtain the consumer's written consent to the potential for such an increase prior to accepting any payment for the scheduled air transportation, or tour or tour component that includes scheduled air transportation. Imposition of any such increase without providing the consumer the appropriate notice and obtaining his or her written consent to the potential increase constitutes an unfair and deceptive practice within the meaning of 49 U.S.C. 41712.
This policy shall apply to proceedings under 49 U.S.C. 41309 in which the Department is required to make any determination as to the public interest or consistency with 49 U.S.C. Subtitle VII of any agreement or relationship sought to be entered into by an air carrier, or officer or director thereof, with a foreign airline in connection with the performance of some activity pursuant to a technical assistance contract financed by an agency of the U.S. Government.
All certificate authority that the Department grants to U.S. air carriers in carrier selection proceedings will be awarded in the form of experimental certificates of five years' duration pursuant to49 U.S.C. 41102 and 41110. This provision does not alter or amend permanent certificates issued prior to January 1, 1985.
The basis for the regulations in this chapter is the Commercial Space Launch Act of 1984, and applicable treaties and international agreements to which the United States is party.
The regulations in this chapter set forth the procedures and requirements applicable to the authorization and supervision under 51 U.S.C. subtitle V, chapter 509, of commercial space transportation activities conducted in the United States or by a U.S. citizen. The regulations in this chapter do not apply to—
(a) Space activities carried out by the United States Government on behalf of the United States Government;
(b) The launch of an amateur rocket as defined in § 1.1 of chapter I of this title; or
(c) A launch of a tethered launch vehicle that meets all the following criteria:
(1) Launch vehicle. The launch vehicle must—
(i) Be unmanned;
(ii) Be powered by a liquid or hybrid rocket motor;
(iii) Not use any of the toxic propellants of Table I417-2 and Table I417-3 in Appendix I of part 417 of this chapter; and
(iv) Carry no more than 5,000 pounds of propellant.
(2) Tether system. The tether system must—
(i) Not yield or fail under—
(A) The maximum dynamic load on the system; or
(B) A load equivalent to two times the maximum potential engine thrust.
(ii) Have a minimum safety factor of 3.0 for yield stress and 5.0 for ultimate stress.
(iii) Constrain the launch vehicle within 75 feet above ground level as measured from the ground to the attachment point of the vehicle to the tether.
(iv) Display no damage prior to the launch.
(v) Be insulated or located such that it will not experience thermal damage due to the launch vehicle's exhaust.
(3) Separation distances. The launch operator must separate its launch from the public and the property of the public by a distance no less than that provided for each quantity of propellant listed in Table A of this section.
Table A—Separation Distances for Tethered Launches
| Propellant carried
(lbs.) | Distance (ft.) of the public and property of the public from the launch point |
|---|---|
| 1-500 | 900 |
| 501-1,000 | 1,200 |
| 1001-1,500 | 1,350 |
| 1,501-2,000 | 1,450 |
| 2,001-2,500 | 1,550 |
| 2,501-3,000 | 1,600 |
| 3,001-3,500 | 1,650 |
| 3,501-4,000 | 1,700 |
| 4,001-4,500 | 1,750 |
| 4,501-5,000 | 1,800 |
The Office of Commercial Space Transportation, referred to in these regulations as the “Office,” is a line of business within the Federal Aviation Administration and is located in the Federal Aviation Administration Headquarters, 800 Independence Avenue, SW., Room 331, Washington, DC 20591.
The Office is headed by an Associate Administrator to exercise the Secretary's authority to license or permit and otherwise regulate commercial space transportation and to discharge the Secretary's responsibility to encourage, facilitate, and promote commercial space transportation by the United States private sector.
For the purposes of this chapter unless otherwise excepted, the following definitions apply:
Act means 51 U.S.C Subtitle V, Programs Targeting Commercial Opportunities, chapter 509—Commercial Space Launch Activities, 51 U.S.C. 50901-50923.
Anomaly means any condition during licensed or permitted activity that deviates from what is standard, normal, or expected, during the verification or operation of a system, subsystem, process, facility, or support equipment.
Associate Administrator means the Associate Administrator for Commercial Space Transportation, Federal Aviation Administration, or any person designated by the Associate Administrator to exercise the authority or discharge the responsibilities of the Associate Administrator.
Casualty means serious injury or death.
Casualty area means the area surrounding each potential debris or vehicle impact point where serious injuries, or worse, can occur.
Command control system means the portion of a flight safety system that includes all components needed to send a flight abort control signal to the on-board portion of a flight safety system.
Contingency abort means a flight abort with a landing at a planned location that has been designated in advance of vehicle flight.
Countdown means the timed sequence of events that must take place to initiate flight of a launch vehicle or reentry of a reentry vehicle.
Crew means any employee or independent contractor of a licensee, transferee, or permittee, or of a contractor or subcontractor of a licensee, transferee, or permittee, who performs activities in the course of that employment or contract directly relating to the launch, reentry, or other operation of or in a launch vehicle or reentry vehicle that carries human beings. A crew consists of flight crew and any remote operator.
Critical asset means an asset that is essential to the national interests of the United States. Critical assets include property, facilities, or infrastructure necessary for national security purposes, high priority civil space purposes, or assured access to space for national priority missions.
Critical payload means a payload and essential infrastructure directly supporting such a payload that is a critical asset that:
(1) Is so costly or unique that it cannot be readily replaced; or
(2) The time frame for its replacement would adversely affect the national interests of the United States.
Crossrange means the distance measured along a line whose direction is either 90 degrees clockwise (right crossrange) or counter-clockwise (left crossrange) to the projection of a vehicle's planned nominal velocity vector azimuth onto a horizontal plane tangent to the ellipsoidal Earth model at the vehicle's sub-vehicle point. The terms right crossrange and left crossrange may also be used to indicate direction.
Deorbit means the flight of a vehicle that begins with the final command to commit to a perigee below 70 nautical miles (approximately 130 kilometers), and ends when all vehicle components come to rest on the Earth.
Disposal means the return or attempt to return, purposefully, a launch vehicle stage or component, not including a reentry vehicle, from Earth orbit to Earth, in a controlled manner.
Downrange means the distance measured along a line whose direction is parallel to the projection of a vehicle's planned nominal velocity vector azimuth into a horizontal plane tangent to the ellipsoidal Earth model at the vehicle sub-vehicle point. The term downrange may also be used to indicate direction.
Effective casualty area means the aggregate casualty area of each piece of debris created by a vehicle failure at a particular point on its trajectory. The effective casualty area for each piece of debris is a modeling construct in which the area within which 100 percent of the population are assumed to be a casualty, and outside of which 100 percent of the population are assumed not to be a casualty.
Equivalent level of safety means an approximately equal level of safety as determined by qualitative or quantitative means.
Expected casualty means the mean number of casualties predicted to occur per flight operation if the operation were repeated many times.
Expendable launch vehicle means a launch vehicle whose propulsive stages are flown only once.
Experimental permit or permit means an authorization by the FAA to a person to launch or reenter a reusable suborbital rocket.
Explosive debris means solid propellant fragments or other pieces of a vehicle or payload that result from breakup of the vehicle during flight and that explode upon impact with the Earth's surface and cause overpressure.
Federal launch or reentry site means a launch or reentry site, from which launches routinely take place, that is owned and operated by the government of the United States.
Flight abort means the process to limit or restrict the hazards to public safety, and the safety of property, presented by a launch vehicle or reentry vehicle, including any payload, while in flight by initiating and accomplishing a controlled ending to vehicle flight.
Flight abort rules means the conditions under which a flight safety system must abort the flight to ensure compliance with the safety criteria in § 450.101.
Flight crew means crew that is on board a vehicle during a launch or reentry.
Flight hazard area means any region of land, sea, or air that must be surveyed, publicized, controlled, or evacuated to ensure compliance with the safety criteria in § 450.101.
Flight safety limit means criteria to ensure that public safety and critical assets are protected from the flight of a vehicle when a flight safety system functions properly.
Flight safety system means a system used to implement flight abort. A flight safety system includes any flight safety system located on board a launch or reentry vehicle; any ground based command control system; any support system, including telemetry subsystems and tracking subsystems, necessary to support a flight abort decision; and the functions of any personnel who operate the flight safety system hardware or software.
Government astronaut means an individual who—
(1) Is designated by the National Aeronautics and Space Administration under Title 51, United States Code, Section 20113(n);
(2) Is carried within a launch vehicle or reentry vehicle in the course of their employment, which may include performance of activities directly relating to the launch, reentry, or other operation of the launch vehicle or reentry vehicle; and
(3) Is either—
(i) An employee of the United States Government, including the uniformed services, engaged in the performance of a Federal function under authority of law or an Executive act; or
(ii) An international partner astronaut.
Hazard control means a preventative measure or mitigation put in place for systems or operations to reduce the severity of a hazard or the likelihood of the hazard occurring.
Hazardous debris means any object or substance capable of causing a casualty or loss of functionality to a critical asset. Hazardous debris includes inert debris and explosive debris such as an intact vehicle, vehicle fragments, any detached vehicle component whether intact or in fragments, payload, and any planned jettison bodies.
Hazardous materials means hazardous materials as defined in 49 CFR 172.101.
Instantaneous impact point means a predicted impact point, following thrust termination of a vehicle.
International partner astronaut means an individual designated under Article 11 of the International Space Station Intergovernmental Agreement, by a partner to that agreement other than the United States, as qualified to serve as an International Space Station crew member.
International Space Station Intergovernmental Agreement means the Agreement Concerning Cooperation on the International Space Station, signed in Washington, DC, on January 29, 1998 (TIAS 12927).
Key flight safety event means a flight activity that has an increased likelihood of causing a failure compared with other portions of flight.
Launch means to place or try to place a launch vehicle or reentry vehicle and any payload or human being from Earth in a suborbital trajectory, in Earth orbit in outer space, or otherwise in outer space, including activities involved in the preparation of a launch vehicle or payload for launch, when those activities take place at a launch site in the United States.
Launch operator means a person who conducts or who will conduct the launch of a launch vehicle and any payload.
Launch or reentry system means the integrated set of subsystems, personnel, products, and processes that, when combined, carries out a launch or reentry.
Launch site means the location on Earth from which a launch takes place (as defined in a license the Secretary issues or transfers under this chapter) and necessary facilities at that location.
Launch vehicle means a vehicle built to operate in, or place a payload in, outer space or a suborbital rocket.
Launch window means an approved period of time during which the flight of a launch vehicle may be initiated.
Liftoff means any motion of the launch vehicle with intention to initiate flight.
Limits of a useful mission means the trajectory data or other parameters that bound the performance of a useful mission, including flight azimuth limits.
Mishap means any event, or series of events associated with a licensed or permitted activity resulting in any of the following:
(1) A fatality or serious injury (as defined in 49 CFR 830.2);
(2) A malfunction of a safety-critical system;
(3) A failure of the licensee's or permittee's safety organization, safety operations, safety procedures;
(4) High risk, as determined by the FAA, of causing a serious or fatal injury to any space flight participant, crew, government astronaut, or member of the public;
(5) Substantial damage, as determined by the FAA, to property not associated with licensed or permitted activity;
(6) Unplanned substantial damage, as determined by the FAA, to property associated with licensed or permitted activity;
(7) Unplanned permanent loss of a launch or reentry vehicle during licensed activity or permitted activity;
(8) The impact of hazardous debris outside the planned landing site or designated hazard area; or
(9) Failure to complete a launch or reentry as planned as reported in § 450.213(b).
Neighboring operations personnel means those members of the public located within a launch or reentry site, or an adjacent launch or reentry site, who are not associated with a specific hazardous licensed or permitted operation currently being conducted, but are required to perform safety, security, or critical tasks at the site and are notified of the operation.
Nominal means, in reference to launch vehicle performance, trajectory, or stage impact point, a launch vehicle flight where all vehicle aerodynamic parameters are as expected, all vehicle internal and external systems perform exactly as planned, and there are no external perturbing influences other than atmospheric drag and gravity.
Normal flight means the flight of a properly performing vehicle whose real-time vacuum instantaneous impact point does not deviate from the nominal vacuum instantaneous impact point by more than the sum of the wind effects and the three-sigma guidance and performance deviations in the uprange, downrange, left-crossrange, or right-crossrange directions.
Normal trajectory means a trajectory that describes normal flight.
Operating environment means an environment that a launch or reentry vehicle component will experience during its lifecycle. Operating environments include shock, vibration, thermal cycle, acceleration, humidity, thermal vacuum, or other environments relevant to system or material degradation.
Operation hazard means a hazard created by an operating environment or by an unsafe act.
Operation of a launch site means the conduct of approved safety operations at a permanent site to support the launching of vehicles and payloads.
Operation of a reentry site means the conduct of safety operations at a permanent site on Earth at which a reentry vehicle and its payload, if any, is intended to land.
Operator means a holder of a license or permit under 51 U.S.C. Subtitle V, chapter 509.
Orbital insertion means the point at which a vehicle achieves a minimum 70-nautical mile perigee based on a computation that accounts for drag.
Payload means an object that a person undertakes to place in outer space by means of a launch vehicle, including components of the vehicle specifically designed or adapted for that object.
Person means an individual or an entity organized or existing under the laws of a State or country.
Physical containment means a launch vehicle does not have sufficient energy for any hazards associated with its flight to reach the public or critical assets.
Physical electronic storage means a physical device that can store electronic documents and files including but not limited to an optical disc, a memory card, a USB flash drive, or an external hard drive.
Pilot means a flight crew member who has the ability to control, in real time, a launch or reentry vehicle's flight path.
Populated area means—
(1) An outdoor location, structure, or cluster of structures that may be occupied by people;
(2) Sections of roadways and waterways that are frequented by automobile and boat traffic; or
(3) Agricultural lands, if routinely occupied by field workers.
Probability of casualty means the likelihood that a person will suffer a serious injury or worse, including a fatal injury, due to all hazards from an operation at a specific location.
Public means, for a particular licensed or permitted launch or reentry, people that are not involved in supporting the launch or reentry and includes those people who may be located within the launch or reentry site, such as visitors, individuals providing goods or services not related to launch or reentry processing or flight, and any other operator and its personnel.
Reenter; reentry means to return or attempt to return, purposefully, a reentry vehicle and its payload or human being, if any, from Earth orbit or from outer space to Earth.
Reentry operator means a person responsible for conducting the reentry of a reentry vehicle as specified in a license issued by the FAA.
Reentry site means the location on Earth where a reentry vehicle is intended to return. It includes the area within three standard deviations of the intended landing point (the predicted three-sigma footprint).
Reentry vehicle means a vehicle designed to return from Earth orbit or outer space to Earth substantially intact. A reusable launch vehicle that is designed to return from Earth orbit or outer space to Earth substantially intact is a reentry vehicle.
Reentry window means an approved period of time during which the reentry of a reentry vehicle may be initiated.
Remote operator means a crew member who—
(1) Has the ability to control, in real time, a launch or reentry vehicle's flight path; and
(2) Is not on board the controlled vehicle.
Reusable launch vehicle (RLV) means a launch vehicle that is designed to return to Earth substantially intact and therefore may be launched more than one time or that contains vehicle stages that may be recovered by a launch operator for future use in the operation of a substantially similar launch vehicle.
Risk means a measure that accounts for both the probability of occurrence of a hazardous event and the consequence of that event to persons or property.
Safety critical means essential to safe performance or operation. A safety-critical system, subsystem, component, condition, event, operation, process, or item, is one whose proper recognition, control, performance, or tolerance, is essential to ensuring public safety and the safety of property.
Service life means, for a safety-critical system component, the sum total of the component's storage life and operating life.
Sigma means a single standard deviation from a fixed value, such as a mean.
Software function means a collection of computer code that implements a requirement or performs an action. This includes firmware and operating systems.
Space flight participant means an individual, who is not crew or a government astronaut, carried on board a launch vehicle or reentry vehicle.
State and United States means, when used in a geographical sense, the several States, the District of Columbia, the Commonwealth of Puerto Rico, American Samoa, the United States Virgin Islands, Guam, and any other commonwealth, territory, or possession of the United States.
Suborbital rocket means a vehicle, rocket-propelled in whole or in part, intended for flight on a suborbital trajectory, and the thrust of which is greater than its lift for the majority of the rocket-powered portion of its ascent.
Suborbital trajectory means the intentional flight path of a launch vehicle, reentry vehicle, or any portion thereof, whose vacuum instantaneous impact point does not leave the surface of the Earth.
Sub-vehicle point means the location on an ellipsoidal Earth model where the normal to the ellipsoid passes through the vehicle's center of gravity.
System hazard means a hazard associated with a system and generally exists even when no operation is occurring.
Tether system means a device that contains launch vehicle hazards by physically constraining a launch vehicle in flight to a specified range from its launch point. A tether system includes all components, from the tether's point of attachment to the vehicle to a solid base, that experience load during a tethered launch.
Toxic hazard area means a region on the Earth's surface where toxic concentrations and durations may be greater than accepted toxic thresholds for acute casualty, in the event of a worst case release or maximum credible release scenario during launch or reentry.
Uncontrolled area is an area of land not controlled by a launch or reentry operator, a launch or reentry site operator, an adjacent site operator, or other entity by agreement.
Unguided suborbital launch vehicle means a suborbital rocket that does not contain active guidance or a directional control system.
United States citizen means:
(1) Any individual who is a citizen of the United States;
(2) Any corporation, partnership, joint venture, association, or other entity organized or existing under the laws of the United States or any State; and
(3) Any corporation, partnership, joint venture, association, or other entity which is organized or exists under the laws of a foreign nation, if the controlling interest in such entity is held by an individual or entity described in paragraph (1) or (2) of this definition. Controlling interest means ownership of an amount of equity in such entity sufficient to direct management of the entity or to void transactions entered into by management. Ownership of at least fifty-one percent of the equity in an entity by persons described in paragraph (1) or (2) of this definition creates a rebuttable presumption that such interest is controlling.
Uprange means the distance measured along a line that is 180 degrees to the downrange direction.
Useful mission means a mission that can attain one or more objectives.
Validation means an evaluation to determine that each safety measure derived from a system safety process is correct, complete, consistent, unambiguous, verifiable, and technically feasible. Validation ensures that the right safety measure is implemented, and that the safety measure is well understood.
Verification means an evaluation to determine that safety measures derived from a system safety process are effective and have been properly implemented. Verification provides measurable evidence that a safety measure reduces risk to acceptable levels.
Wind weighting safety system means equipment, procedures, analysis and personnel functions used to determine the launcher elevation and azimuth settings that correct for wind effects that an unguided suborbital launch vehicle will experience during flight.
Window closure means a period of time when launch or reentry is not permitted in order to avoid a collision with an object in orbit. A window closure may occur within a launch or reentry window, may delay the start of a window, or terminate a window early.
(a) This part applies to any person subject to the requirements in subchapter C of this chapter.
(b) For purposes of this part, “document in any format” includes documents (electronic or physical), and also other tangible items, such as data plates or marked parts.
(a) No person may make or cause to be made any fraudulent or intentionally false statement in:
(1) Any document in any format, submitted under any provision referenced in § 402.1 of this part, consisting of or related to any acceptance, application, approval, authorization, permit, license, waiver, record, report, or similar; or
(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 402.1.
(b) No person may make or cause to be made any production, reproduction, or alteration, for fraudulent purpose, of:
(1) Any document in any format, submitted or granted under any provision referenced in § 402.1, consisting of or related to any acceptance, application, approval, authorization, permit, license, waiver, record, report, or similar; or
(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 402.1.
(c) No person may knowingly omit or cause to be omitted a material fact in:
(1) Any document in any format, submitted under any provision referenced in § 402.1, consisting of or related to any acceptance, application, approval, authorization, permit, license, waiver, record, report, or similar; or
(2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 402.1.
(d) The commission by any person of an act prohibited under paragraphs (a) through (c) of this section is a basis for:
(1) Denying, suspending, modifying, revoking, rescinding, removing, or withdrawing any acceptance, application, approval, authorization, permit, license, waiver, or similar, issued or granted by the Administrator and held by that person; or
(2) A civil penalty.
(a) The following may serve as a basis for suspending, modifying, revoking, rescinding, removing, withdrawing, or denying an acceptance, application, approval, authorization, permit, license, waiver, or similar, issued or granted by the Administrator:
(1) An incorrect statement or omission of fact, by any person, in or from any document in any format, submitted under any provision referenced in § 402.1, that was material to the issuance, validity, or granting of that acceptance, application, approval, authorization, permit, license, waiver, or similar; or
(2) An incorrect statement or omission of a material fact by any person, in or from any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 402.1, that was material to the issuance, validity, or granting of that acceptance, application, approval, authorization, permit, license, waiver, or similar.
(b) [Reserved]
This part establishes procedures for issuing regulations and for filing a petition for waiver or petition for rulemaking to the Associate Administrator for Commercial Space Transportation.
(a) Any person may petition the Associate Administrator to:
(1) Issue, amend, or repeal a regulation to eliminate as a requirement for a license or permit any requirement of Federal law applicable to commercial space launch and reentry activities and the operation of launch and reentry sites;
(2) Waive any such requirement in the context of a specific application for a license or permit; or
(3) Waive the requirement for a license, except as provided in § 404.7(b).
(b) A petition filed under this section may request, under § 413.9 of this chapter, that the Associate Administrator withhold certain trade secrets or proprietary commercial or financial data from public disclosure.
(c) Each petitioner filing under this section must:
(1) For electronic submission, send one copy of the petition by email to the Office of Commercial Space Transportation at ASTpetition@faa.gov; or
(2) For paper submission, send one copy of the petition to the Office of Commercial Space Transportation, Federal Aviation Administration, 800 Independence Avenue SW, Room 331, Washington, DC 20591.
(d) Each petition filed under this section must include the petitioner's name, mailing address, telephone number and any other contact information, such as an email address or a fax number.
(e) Notification. When the Associate Administrator determines that a petition should be granted or denied, the Associate Administrator notifies the petitioner of the Associate Administrator's action and the reasons supporting the action.
(f) Reconsideration. Any person may petition the FAA to reconsider a denial of a petition the person filed. The petitioner must send a request for reconsideration within 60 days after being notified of the denial to the same address to which the original petition was filed. For the FAA to accept the reconsideration request, the petitioner must show—
(1) There is a significant additional fact and the reason it was not included in the original petition;
(2) The FAA made an important factual error in its denial of the original petition; or
(3) The denial is not in accordance with the applicable law and regulations.
(g) Public hearing. No public hearing, argument or other proceeding is held on a petition before its disposition under this section.
(a) A petition for waiver must be submitted at least 60 days before the proposed effective date of the waiver, unless the Administrator agrees to a different time frame in accordance with § 404.15.
(b) The petition for waiver must include:
(1) The specific section or sections of 14 CFR chapter III from which the petitioner seeks relief;
(2) The extent of the relief sought and the reason the relief is being sought;
(3) The reason why granting the request for relief is in the public interest and will not jeopardize the public health and safety, safety of property, and national security and foreign policy interests of the United States; and
(4) Any additional facts, views, and data available to the petitioner to support the waiver request.
(a) Grant of waiver. The Associate Administrator may grant a waiver, except as provided in paragraph (b) of this section, if the Associate Administrator determines that the waiver is in the public interest and will not jeopardize public health and safety, the safety of property, or any national security or foreign policy interest of the United States.
(b) Waiver ineligibility. The FAA may not grant a waiver that would permit the launch or reentry of a launch vehicle or a reentry vehicle without a license or permit if a human being will be on board.
(c) Denial of waiver. If the Associate Administrator determines that the petition does not justify granting a waiver, the Associate Administrator denies the petition.
A petition for rulemaking filed under this part must be made in accordance with 14 CFR 11.71.
The FAA will process petitions for rulemaking under this part in accordance with 14 CFR 11.73.
(a) The FAA's rulemaking procedures are located in subpart A of part 11 of this title, under the General, Written Comments, and Public Meetings and Other Proceedings headings.
(b) In addition to the rulemaking procedures referenced in paragraph (a) of this section, the provisions of §§ 404.17 and 404.19 also apply.
(a) General. Unless otherwise approved by the Administrator, an applicant, a licensee, a permittee, or a safety element approval holder must meet the time frames set forth in this chapter.
(b) Request to change a time frame. An applicant, a licensee, a permittee, or a safety element approval holder may file a written request to the FAA to propose an alternative time frame to any of the time frames included in the chapter III sections listed in Appendix A to part 404. The request must be—
(1) Emailed to ASTApplications@faa.gov in accordance with § 413.7; or
(2) Mailed to the Federal Aviation Administration, Associate Administrator for Commercial Space Transportation, Room 331, 800 Independence Avenue SW, Washington, DC 20591. Attention: Alternative Time Frame Request.
(c) Administrator review. The Administrator will review and make a decision or grant a request for an alternative time frame as follows:
(1) The FAA will conduct its review on a case-by-case basis, taking into account the complexity of the request, the timeliness of the request, and whether the requested alternative allows sufficient time for the FAA to conduct its review and make the requisite public health and safety, safety of property, and national security and foreign policy findings;
(2) The FAA will provide its decision in writing; and
(3) The FAA may grant the request, deny the request, or grant an alternative time frame that differs from what was requested.
The FAA may initiate other rulemaking proceedings, if necessary or desirable. For example, it may invite interested people to present oral arguments, participate in conferences, appear at informal hearings, or participate in any other proceedings.
(a) Sections 556 and 557 of Title 5, United States Code, do not apply to hearings held under this part. As a fact-finding forum, each hearing held under this part is nonadversarial and there are no formal pleadings or adverse parties. Any rule issued in a proceeding in which a hearing is held is not based exclusively on the record of the hearing, but on the entire record of the rulemaking proceeding.
(b) The Associate Administrator designates a representative to conduct any hearing held under this part. The FAA Chief Counsel designates a legal officer for the hearing.
Alternative time frames. This appendix lists the sections and corresponding paragraphs in this chapter that provide the eligible time frames for an applicant, licensee, permittee, or safety element approval holder, as applicable, to request an alternative time frame.
Table A404.1—Eligible Time Frames
| Sections | Paragraphs |
|---|---|
| § 404.5—Filing a petition for waiver | (a). |
| § 413.23—License or permit renewal | (a). |
| § 414.31—Safety element approval renewal | (a). |
| § 420.57—Notifications | (d). |
| § 437.89—Pre-flight reporting | (a), (b). |
| § 440.15—Demonstration of compliance | (a)(1), (a)(2), (a)(3), (a)(4). |
| § 450.169—Launch and Reentry Collision Avoidance Analysis Requirements | (f)(1). |
| § 450.213—Pre-flight reporting | (b), (c), (d), (e). |
| § 450.215—Post-flight reporting | (a) |
Each licensee or permittee must allow access by and cooperate with Federal officers or employees or other individuals authorized by the Associate Administrator to observe licensed facilities and activities, including launch sites and reentry sites, as well as manufacturing, production, testing, and training facilities, or assembly sites used by any contractor, licensee, or permittee to produce, assemble, or test a launch or reentry vehicle and to integrate a payload with its launch or reentry vehicle. Observations are conducted to monitor the activities of the licensee, permittee, or contractor at such time and to such extent as the Associate Administrator considers reasonable and necessary to determine compliance with the license or permit or to perform the Associate Administrator's responsibilities pertaining to payloads for which no Federal license, authorization, or permit is required.
(a) The FAA may modify a license or permit issued under this chapter upon application by the licensee or permittee or upon the FAA's own initiative, if the FAA finds that the modification is consistent with the requirements of the Act.
(b) The FAA may suspend or revoke any license or permit issued to such licensee or permittee under this chapter if the FAA finds that a licensee or permittee has substantially failed to comply with any requirement of the Act, any regulation issued under the Act, the terms and conditions of a license or permit, or any other applicable requirement; or that public health and safety, the safety of property, or any national security or foreign policy interest of the United States so require.
(c) Unless otherwise specified by the Office, any modification, suspension or revocation made by the Office under this section:
(1) Takes effect immediately; and
(2) Continues in effect during any review of such action under Part 406 of this chapter.
(d) Whenever the FAA takes any action under this section, the FAA immediately notifies the licensee or permittee in writing of the FAA's finding and the action, which the FAA has taken or proposes to take regarding such finding.
The Associate Administrator may immediately terminate, prohibit, or suspend a licensed or permitted launch, reentry, or operation of a launch or reentry site if the Associate Administrator determines that—
(a) The licensed or permitted launch, reentry, or operation of a launch or reentry site is detrimental to public health and safety, the safety of property, or any national security or foreign policy interest of the United States; and
(b) The detriment cannot be eliminated effectively through the exercise of other authority of the Office.
(a) Pursuant to 51 U.S.C. 50912, the following are entitled to a determination on the record after an opportunity for a hearing in accordance with 5 U.S.C. 554.
(1) An applicant for a license and a proposed transferee of a license regarding any decision to issue or transfer a license with conditions or to deny the issuance or transfer of such license;
(2) An owner or operator of a payload regarding any decision to prevent the launch or reentry of the payload;
(3) A licensee regarding any decision to suspend, modify, or revoke a license or to terminate, prohibit, or suspend any licensed activity;
(4) An applicant for a permit regarding an FAA decision to issue a permit with conditions or to deny the issuance of the permit; and
(5) A permittee regarding any decision to suspend, modify, or revoke a permit or to terminate, prohibit, or suspend any permitted activity.
(b) An administrative law judge will be designated to preside over any hearing held under this part.
(a) The FAA will make decisions about license, permit, and payload actions under this subpart based on written submissions unless the administrative law judge requires an oral presentation.
(b) Submissions must include a detailed exposition of the evidence or arguments supporting the petition. Where an applicant must demonstrate an equivalent level of safety or fidelity, the applicant must make a clear and convincing demonstration.
(c) Petitions shall be filed as soon as practicable, but in no event more than 30 days after issuance of decision or finding under § 406.1.
(a) The Associate Administrator, who shall make the final decision on the matter at issue, shall review the recommended decision of the administrative law judge. The Associate Administrator shall make such final decision within thirty days of issuance of the recommended decision.
(b) The authority and responsibility to review and decide rests solely with the Associate Administrator and may not be delegated.
(a) Civil penalty liability. Under 51 U.S.C. 50917(c), a person found by the Federal Aviation Administration (FAA) to have violated a requirement of the Act, a regulation issued under the Act, or any term or condition of a license or permit issued or transferred under the Act, is liable to the United States for a civil penalty of not more than $299,772 for each violation. A separate violation occurs for each day the violation continues.
(b) Delegations. The authority to impose civil penalties is exercised by an agency attorney as described in § 406.105.
(c) Notice of proposed civil penalty. A civil penalty action is initiated when the agency attorney advises a person, referred to as the respondent, of the charges or other reasons upon which the FAA bases the proposed action and allows the respondent to answer the charges and to be heard as to why the civil penalty should not be imposed. A notice of proposed civil penalty states the facts alleged; any requirement of the Act, a regulation issued under the Act, or any term or condition of a license or permit issued or transferred under the Act allegedly violated by the respondent; and the amount of the proposed civil penalty. Not later than 30 days after receipt of the notice of proposed civil penalty the respondent may elect to proceed by one or more of the following:
(1) Pay the amount of the proposed civil penalty or an agreed upon amount, in which case the agency attorney will issue either an order imposing civil penalty or a compromise order in that amount.
(2) Submit to the agency attorney one of the following:
(i) Written information, including documents and witnesses statements, demonstrating that a violation did not occur or that a penalty, or the amount of the proposed penalty, is not warranted by the circumstances.
(ii) A written request to reduce the proposed civil penalty, the amount of reduction, and the reasons and any document supporting a reduction of the proposed civil penalty, including records indicating a financial inability to pay or records showing that payment of the proposed civil penalty would prevent the person from continuing in business.
(iii) A written request for an informal conference to discuss the matter with the agency attorney and to submit relevant information.
(3) Request that a final notice of proposed civil penalty be issued so that the respondent may request a hearing in accordance with paragraph (g) of this section.
(d) Final notice of proposed civil penalty. A final notice of proposed civil penalty (final notice) provides the last opportunity for the respondent to request a hearing.
(1) The agency attorney issues a final notice if one of the following occurs:
(i) The respondent fails to respond to the notice of proposed civil penalty not later than 30 days after the date the respondent received the notice of proposed civil penalty.
(ii) The parties have not agreed to a resolution of the action after participating in informal procedures under paragraph (c)(2) of this section.
(iii) The respondent requests the issuance of a final notice in accordance with paragraph (c)(3) of this section.
(2) Not later than 15 days after the date the respondent received the final notice of proposed civil penalty, the respondent shall do one of the following:
(i) Submit the amount of the proposed civil penalty or an agreed-upon amount, in which case the agency attorney issues either an order imposing civil penalty or a compromise order in that amount.
(ii) Request a hearing in accordance with paragraph (g) of this section.
(e) Order imposing civil penalty. An order imposing civil penalty is the final order of the Secretary imposing a civil penalty. An order imposing civil penalty is issued for a violation described in paragraph (a) of this section after notice and an opportunity for a hearing.
(1) The agency attorney either issues an order imposing civil penalty, or another document becomes an order imposing civil penalty, as described below.
(i) The agency attorney issues an order imposing civil penalty if, in response to a notice of proposed civil penalty or a final notice of proposed civil penalty, the respondent pays or agrees to pay a civil penalty in the amount proposed or an agreed upon amount (other than an agreement for a compromise order under paragraph (f) of this section).
(ii) Unless the respondent requests a hearing not later than 15 days after the date the respondent received a final notice of proposed civil penalty, the final notice of proposed civil penalty becomes an order imposing civil penalty.
(iii) Unless an appeal is filed with the FAA decisionmaker in accordance with § 406.175, if the administrative law judge finds that a violation occurred and determines that a civil penalty, in an amount found appropriate by the administrative law judge, is warranted, an initial decision of an administrative law judge under subpart B of this part becomes an order imposing civil penalty.
(iv) Unless a complaint is filed with a United States district court in accordance with § 406.176, if the FAA decisionmaker finds that a violation occurred and determines that a civil penalty, in an amount found appropriate by the FAA decisionmaker, is warranted, a final decision and order of the FAA decisionmaker under subpart B of this part becomes an order imposing civil penalty. If a person seeks judicial review not later than 60 days after the final decision and order has been served on the respondent, the final decision and order is stayed.
(2) [Reserved]
(f) Compromise order. The agency attorney at any time may agree to compromise any civil penalty with no finding of violation. Under such agreement, the agency attorney issues a compromise order stating:
(1) The respondent agrees to pay a civil penalty.
(2) The FAA makes no finding of a violation.
(3) The compromise order may not be used as evidence of a prior violation in any subsequent civil penalty action, license, or permit action.
(g) Request for hearing. Any respondent who has been issued a final notice of proposed civil penalty may, not later than 15 days after the date the respondent received the final notice, request a hearing under subpart B of this part.
(1) The respondent must file a written request for hearing with the Federal Docket Management System (U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590) and must serve a copy of the request on the agency attorney. Sections 406.113 and 406.115 state how filing and service must be done.
(2) The request for hearing must be dated and signed.
(h) Method of payment. A respondent must pay a civil penalty by check or money order, payable to the Federal Aviation Administration.
(i) Collection of civil penalties. If a respondent does not pay a civil penalty imposed by an order imposing civil penalty or a compromise order within 60 days after service of the final order, the FAA may refer the order to the United States Department of Treasury or Department of Justice to collect the civil penalty.
(j) Exhaustion of administrative remedies. A respondent may seek judicial review of a final decision and order of the FAA decisionmaker as provided in § 406.179. A respondent has not exhausted administrative remedies for purposes of judicial review if the final order is one of the following:
(1) An order imposing civil penalty issued by an agency attorney under paragraph (e)(1)(i) of this section.
(2) A final notice of proposed civil penalty that becomes an order imposing civil penalty under paragraph (e)(1)(ii) of this section.
(3) An initial decision of an administrative law judge that was not appealed to the FAA decisionmaker.
(4) A compromise order under paragraph (f) of this section.
(k) Compromise. The FAA may compromise or remit a civil penalty that has been proposed or imposed under this section.
(a) Adjudications to which these rules apply. These rules apply to the following adjudications:
(1) A civil penalty action in which the respondent has requested a hearing under § 406.9.
(2) [Reserved]
(b) [Reserved]
For the purpose of this part:
Administrative law judge means an administrative law judge appointed pursuant to the provisions of 5 U.S.C. 3105.
Attorney means a person licensed by a state, the District of Columbia, or a territory of the United States to practice law or appear before the courts of that state or territory.
Complainant in a civil penalty action means the proponent of the civil penalty in the FAA.
FAA decisionmaker means the Associate Administrator for Commercial Space Transportation, or the Administrator of the Federal Aviation Administration, acting in the capacity of the decisionmaker on appeal; or a person who has been delegated the authority to act for the FAA decisionmaker. As used in this part, the FAA decisionmaker is the official authorized to issue a final decision and order of the Secretary in an action.
Mail means U.S. first class mail, U.S. certified mail, U.S. registered mail, or an express courier service.
Party means the respondent or the complainant.
Personal delivery includes hand-delivery or use of a same-day messenger service. “Personal delivery” does not include the use of Government interoffice mail service.
Properly addressed means using an address contained in agency records; a residential, business, or other address used by a person on any document submitted under this part; or any other address determined by other reasonable and available means.
Respondent means a person who has been charged with a violation.
(a) Agency attorney. The authority to prosecute civil penalties within the FAA is exercised by an agency attorney in accordance with § 406.9.
(1) The following officials have the authority to act as the agency attorney under this part: The Deputy Chief Counsel; the Assistant Chief Counsel for Enforcement; the Assistant Chief Counsel for Regulations; the Assistant Chief Counsel for Europe, Africa, and Middle East Area Office; each Regional Counsel; and each Center Counsel. This authority may be delegated further.
(2) An agency attorney may not include:
(i) The Chief Counsel or the Assistant Chief Counsel for Litigation;
(ii) Any attorney on the staff of the Assistant Chief Counsel for Litigation who advises the FAA decisionmaker regarding an initial decision or any appeal to the FAA decisionmaker; or
(iii) Any attorney who is supervised in a civil penalty action by a person who provides such advice to the FAA decisionmaker in that action or a factually-related action.
(b) Advisors to the FAA decisionmaker. (1) The Chief Counsel, the Assistant Chief Counsel for Litigation or an attorney on the staff of the Assistant Chief Counsel for Litigation, will advise the FAA decisionmaker regarding an initial decision or any appeal of an action to the FAA decisionmaker.
(2) An agency employee engaged in the performance of investigative or prosecutorial functions must not, in that case or a factually-related case, participate or give advice in a decision by the administrative law judge or by the FAA decisionmaker on appeal, except as counsel or a witness in the public proceedings.
(a) Any party may appear and be heard in person.
(b) Any party may be accompanied, represented, or advised by an attorney or representative designated by the party.
(1) An attorney or representative who represents a party must file a notice of appearance in the action with the Docket Management System and must serve a copy of the notice of appearance on each other party before participating in any proceeding governed by this subpart.
(2) The attorney or representative must include his or her name, address, and telephone number in the notice of appearance.
(3) That attorney or representative in any proceeding governed by this subpart may examine the party.
(4) Service of a document on the party's attorney or representative is considered to be service on the party.
(c) An agency attorney represents the complainant.
(a) Powers of an administrative law judge. In accordance with the rules of this subpart, an administrative law judge may:
(1) Give notice of, and hold, prehearing conferences and hearings;
(2) Administer oaths and affirmations;
(3) Issue subpoenas authorized by law and requested by the parties;
(4) Rule on offers of proof;
(5) Receive relevant and material evidence;
(6) Regulate the course of the hearing in accordance with the rules of this subpart;
(7) Hold conferences to settle or to simplify the issues by consent of the parties;
(8) Dispose of procedural motions and requests; and
(9) Make findings of fact and conclusions of law, and issue an initial decision.
(b) Duties to maintain the record. (1) The administrative law judge must file with the FDMS, or instruct the party to file with the FDMS, a copy of each document that is submitted to the administrative law judge that has not bee filed with FDMS, except the portions of those documents that contain confidential information.
(2) The administrative law judge must file with the FDMS a copy of each ruling and order issued by the administrative law judge, except those portions that contain confidential information.
(3) The administrative law judge must file with the FDMS, or instruct the court reporter to file with the FDMS, a copy of each transcript and exhibit, except those portions that contain confidential information.
(4) The administrative law judge must maintain any confidential information filed in accordance with § 406.117 and deliver it to the Assistant Chief Counsel for Litigation when the administrative law judge no longer needs it.
(c) Limitations on the power of the administrative law judge. The administrative law judge may not issue an order of contempt, award costs to any party, or impose any sanction not specified in this subpart. If the administrative law judge imposes any sanction not specified in this subpart, a party may file an interlocutory appeal of right pursuant to § 406.173(c). This section does not preclude an administrative law judge from issuing an order that bars a person from a specific proceeding based on a finding of obstreperous or disruptive behavior in that specific proceeding.
(d) Disqualification. The administrative law judge may disqualify himself or herself at any time. A party may file a motion, pursuant to § 406.141(f)(8), requesting that an administrative law judge be disqualified from the proceedings.
(a) Signature required. The party, or the party's attorney or representative, must sign each document tendered for filing or served on each party.
(b) Effect of signing a document. By signing a document, the party, or the party's attorney or representative, certifies that he or she has read the document and, based on reasonable inquiry and to the best of that individual's knowledge, information, and belief, the document is—
(1) Consistent with these rules;
(2) Warranted by existing law or that a good faith argument exists for extension, modification, or reversal of existing law; and
(3) Not unreasonable or unduly burdensome or expensive, not made to harass any person, not made to cause unnecessary delay, not made to cause needless increase in the cost of the proceedings, or for any other improper purpose.
(c) Sanctions. If an individual signs a document in violation of this section, the administrative law judge or the FAA decisionmaker must:
(1) Strike the pleading signed in violation of this section;
(2) Strike the request for discovery or the discovery response signed in violation of this section and preclude further discovery by the party;
(3) Deny the motion or request signed in violation of this section;
(4) Exclude the document signed in violation of this section from the record;
(5) Dismiss the interlocutory appeal and preclude further appeal on that issue by the party who filed the appeal until an initial decision has been entered on the record; or
(6) Dismiss the appeal of the administrative law judge's initial decision to the FAA decisionmaker.
(a) The Federal Docket Management System (FDMS). (1) Documents filed in a civil penalty adjudication are kept in the Federal Docket Management System (FDMS), except for documents that contain confidential information in accordance with 406.117. The FDMS is an electronic docket. Documents that are filed are scanned into the electronic docket and an index is made of all documents that have been filed so that any person may view the index and documents as provided in paragraph (f) of this section.
(2) A party is not required to file written interrogatories and responses, requests for production of documents or tangible items and responses, and requests for admission and responses with the Federal Docket Management System or submit them to administrative law judge, except as provided in 406.143.
(b) Method of filing. A person filing a document must mail or personally deliver the signed original and one copy of each document to the FDMS at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. A person must serve a copy of each document on each party in accordance with 406.115.
(c) Date of filing. The date of filing is the date of personal delivery, or if mailed, the mailing date shown on any certificate of service, the date shown on the postmark if there is no certificate of service, or other mailing data shown by other evidence if there is no certificate of service or postmark. The date shown in the FDMS index is not necessarily the date of service. It is the date the FDMS received the document.
(d) Form. FDMS scans the document into its electronic docket. To ensure that FDMS can scan the document and correctly identify it in the index, each person filing a document must comply with the following:
(1) Each document must be legible. It may be handwritten, typewritten, or printed from a computer.
(2) Each document must have a caption on its first page, clearly visible, with the following information:
(i) “FAA Space Adjudication.”
(ii) Case name, such as “In the matter of X Corporation.”
(iii) FAA Case Number and FDMS docket number, if assigned.
(iv) Name of the document being filed, including the party filing the document, such as “Respondent's Motion to Dismiss.”
(v) “Confidential information filed with administrative law judge” or “Confidential information filed with Assistant Chief Counsel for Litigation” if the party is filing confidential information under 406.117.
(3) The document must be capable of being scanned and be easy to read both in paper form and as scanned into the electronic docket. A document that meets the following specifications is capable of being scanned using automatic feeders and is easy to read both in paper form and as scanned into the electronic docket. Documents that do not meet these specifications may not be legible.
(i) On white paper.
(ii) On paper not larger than 8
(iii) In black ink.
(iv) Text double-spaced. Footnotes and long quotes may be single spaced.
(v) At least 12 point type.
(vi) Margins at least 1 inch on each side.
(vii) The original not bound or hole-punched, only held together with removable metal clips or the like. The copy that is filed or sent to the administrative law judge or Assistant Chief Counsel for Litigation, and the copy served on another party, need not meet this specification.
(viii) The original has no tabs. The copy that is filed or sent to the administrative law judge or Assistant Chief Counsel for Litigation, and the copy served on another party, need not meet this specification.
(e) Sending documents to the administrative law judge or Assistant Chief Counsel for Litigation. Sending the document directly to the administrative law judge or to the Assistant Chief Counsel for Litigation is not a substitute for filing the original with the FDMS, except for confidential information under 406.117.
(f) Viewing and copying the record. Any person may view and copy the record, except for confidential information, as follows:
(1) During regular business hours at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(2) Through the Internet at http://www.regulations.gov.
(3) By requesting it from the FDMS and paying reasonable costs.
(a) Service required. A person must serve on each other party at the time of filing a copy of any document filed with the Federal Docket Management System. Service on a party's attorney or representative of record is adequate service on the party.
(b) Method of service. A person must serve documents by personal delivery or by mail.
(c) Certificate of service. A person may attach a certificate of service to a document filed with the FDMS. Any certificate of service must include a statement, dated and signed by the individual filing the document, that the document was served on each party, the method of service, and the date of service.
(d) Date of service. The date of service is the date of personal delivery; or if mailed, the mailing date shown on the certificate of service, the date shown on the postmark if there is no certificate of service, or other mailing date shown by other evidence if there is no certificate of service or postmark. The date shown in the FDMS index is not necessarily the date of service. It is the date the FDMS received the document.
(e) Additional time after service by mail. Whenever a party has a right or a duty to act or to make any response within a prescribed period after service by mail, or on a specified date after service by mail, 5 days is added to the prescribed period.
(f) Service by the administrative law judge. The administrative law judge must serve a copy of each document including, but not limited to, notices of pre-hearing conferences and hearings, rulings on motions, decisions, and orders, upon each party to the proceedings by personal delivery or by mail.
(g) Service made. A document is deemed served in accordance with this subpart if it was properly addressed; was sent in accordance with this subpart; and was returned, not claimed, or refused. Service is considered valid as of the date and the time that the document was mailed, or personal delivery of the document was refused.
(h) Presumption of service. There is a presumption of service where a party or a person, who customarily receives mail, or receives it in the ordinary course of business, at either the person's residence or the person's principal place of business, acknowledges receipt of the document.
(a) Filing confidential information. If a party wants certain information that the party is filing not made available to the public, the party must do the following:
(1) Place the information in a separate sealed envelope and clearly mark the envelope “CONFIDENTIAL.” At least the first page of the document in the envelope also must be marked “CONFIDENTIAL.”
(2) Attach to this envelope a cover document marked “Confidential information filed with administrative law judge” or “Confidential information filed with Assistant Chief Counsel for Litigation.” The cover document must include, at the least, a short statement of what is being filed, such as “Respondent's motion for confidentiality order.”
(3) Unless such a motion has already been granted, enclose a motion for confidentiality order in accordance with paragraph (c) of this section. The motion must be in the sealed envelope if it contains confidential information; otherwise the motion must be outside of the sealed envelope.
(b) Marked information not made public. If a party files a document in a sealed envelope clearly marked “CONFIDENTIAL” the document may not be made available to the public unless and until the administrative law judge or the FAA decisionmaker decides it may be made available to the public in accordance with 51 U.S.C. 50916.
(c) Motion for confidentiality order. If a party is filing, is requested to provide in discovery, or intends to offer at the hearing, information that the party does not wish to be available to the public, the party must file a motion for a confidentiality order.
(1) The party must state the specific grounds for withholding the information from the public.
(2) If the party claims that the information is protected under 51 U.S.C. 50916, and if both the complainant and the respondent agree that the information is protected under that section, the administrative law judge must grant the motion. If one party does not agree that the information is protected under 51 U.S.C. 50916 the administrative law judge must decide. Either party may file an interlocutory appeal of right under § 406.173(c).
(3) If the party claims that the information should be protected on grounds other than those provided by 51 U.S.C. 50916 the administrative law judge must grant the motion if, based on the motion and any response to the motion, the administrative law judge determines that disclosure would be detrimental to safety, disclosure would not be in the public interest, or that the information is not otherwise required to be made available to the public.
(4) If the administrative law judge determines that the information is not necessary to decide the case or would not otherwise lead to the discovery of relevant material, the administrative law judge must preclude any inquiry into the matter by any party.
(5) If the administrative law judge determines that the requested material may be disclosed during discovery, the administrative law judge may order that the material may be discovered and disclosed under limited conditions or may be used only under certain terms and conditions.
(6) If the administrative law judge determines that the requested material is necessary to decide the case, or would otherwise lead to the discovery of relevant material, and that a confidentiality order is warranted, the administrative law judge must—
(i) Provide an opportunity for review of the document by the attorneys of record off the record.
(ii) Provide procedures for excluding the information from the record, or order that portion of the record that includes confidential information be closed.
(iii) Order that the parties must not disclose the information in any manner and the parties must not use the information in any other proceeding.
(7) If an administrative law judge orders a record closed, in whole or in part:
(i) The closed record is not available to the public.
(ii) The closed record is available to the parties' attorneys of record.
(iii) The administrative law judge may determine whether the closed record is available to the parties, the parties' representatives, or other persons such as witnesses for a party.
(iv) No party, attorney of record, representative of record, or person who receives information from such persons, may disclose information that has been protected under this section except to a person authorized by this section or the administrative law judge to receive it.
(v) If a person other than one authorized by this section desires to view or copy a closed record, the person must file a motion to open the record.
(a) This section applies to any period of time prescribed or allowed by this subpart, by notice or order of the administrative law judge or the FAA decisionmaker, or by any applicable statute.
(b) The date of an act, event, or default, after which a designated time period begins to run, is not included in a computation of time under this subpart.
(c) The last day of a time period is included in a computation of time unless it is a Saturday, Sunday, or a legal holiday. If the last day of the time period is a Saturday, Sunday, or legal holiday, the time period runs until the end of the next day that is not a Saturday, Sunday, or legal holiday.
Before an appeal is filed with the FAA decisionmaker, the parties may seek an extension of time as follows:
(a) Extension of time by agreement of the parties. The parties may agree to extend for a reasonable period of time for filing a document under this subpart with the agreement of the administrative law judge. The party seeking the extension of time must submit a draft order to the administrative law judge for signature, file it with the Federal Docket Management System, and serve it on each party.
(b) Motion for extension of time. If the parties do not agree to an extension of time for filing a document, a party desiring an extension may file with the Federal Docket Management System and serve a written motion for an extension of time not later than 7 days before the document is due unless good cause for the late filing is shown. The administrative law judge may grant the extension of time if good cause for the extension is shown.
(c) Failure to rule. If the administrative law judge fails to rule on a written motion for an extension of time by the date the document is due, the motion for an extension of time is granted for no more than 20 days after the original date the document was to be filed.
Waivers of any rights provided by statute or regulation must be in writing or by stipulation made at a hearing and entered into the record. The parties must set forth the precise terms of the waiver and any conditions.
(a) Complaint—(1) Filing. The complainant must file the original and one copy of the complaint with the Federal Docket Management System, or may file a written motion pursuant to 406.141(f)(1) instead of filling a complaint, not later than 20 days after receipt by the complainant of a request for hearing. The complainant should suggest a location for the hearing when filing the complaint.
(2) Service. The complainant must personally deliver or mail a copy of the complaint to the respondent, or the respondent's attorney or representative who has filed a notice of appearance in accordance with § 406.107.
(3) Contents of complaint. The final notice of proposed civil penalty issued under § 406.9(d) may be filed as the complaint. A complaint must set forth the following in sufficient detail to provide notice:
(i) The facts alleged.
(ii) Any requirement of the Act, a regulation issued under the Act, or any term or condition of a license or permit issued or transferred under the Act allegedly violated by the respondent.
(iii) The proposed civil penalty.
(b) Answer—(1) Time for filing. The respondent must file an answer to the complaint, or may file a written motion pursuant to § 406.141(f)(2) instead of filing an answer, not later than 30 days after service of the complaint.
(2) Form. The answer must be in writing. The answer may be in the form of a letter but must be dated and signed by the person responding to the complaint. The answer must be legible, and may be handwritten, typed, or printed from a computer.
(3) Filing and service. A respondent must file the answer with the Federal Docket Management System and serve a copy of the answer on the agency attorney who filed the complaint.
(4) Contents of answer—(i) Specific denial of allegations required. The respondent must admit, deny, or state that the respondent is without sufficient knowledge or information to admit or deny, each numbered paragraph of the complaint. Any statement or allegation contained in the complaint that is not specifically denied in the answer constitutes an admission of the truth of that allegation. An administrative law judge shall treat a general denial of the complaint as a failure to file an answer.
(ii) Affirmative defenses. The answer must specifically state any affirmative defense that the respondent asserts.
(iii) Request for relief. The answer may include a brief statement of any relief requested.
(iv) Hearing location. The respondent should suggest a location for the hearing when filing the answer.
(5) Failure to file answer. A respondent's failure to file an answer without good cause constitutes an admission of the truth of each allegation contained in the complaint.
(a) Time. A party must file with the Federal Docket Management System and serve on each other party any amendment to a complaint or an answer as follows:
(1) Not later than 15 days before the scheduled date of a hearing, a party may amend a complaint or an answer without the consent of the administrative law judge.
(2) Less than 15 days before the scheduled date of a hearing, the administrative law judge may allow amendment of a complaint or an answer only for good cause shown in a motion to amend.
(b) Responses. The administrative law judge must allow a reasonable time, but not more than 20 days from the date of filing, for other parties to respond to an amendment to a complaint or answer.
At any time before or during a hearing, the complainant may withdraw a complaint or a party may withdraw a request for a hearing without the consent of the administrative law judge. If the complainant withdraws the complaint or a party withdraws the request for a hearing and the answer, the administrative law judge must dismiss the proceedings under this subpart with prejudice.
(a) A person may file with the Federal Docket Management System and serve on each other party a motion for leave to intervene as party in an adjudication. Except for good cause shown, a motion for leave to intervene must be filed not later than 10 days before the hearing.
(b) The administrative law judge may grant a motion for leave to intervene if the administrative law judge finds that—
(1) Intervention will not unduly broaden the issues or delay the proceedings, and
(2) The intervener will be bound by any order or decision entered in the action or the intervener has a property, financial, or other legitimate interest that may not be addressed adequately by the parties.
(c) The administrative law judge may determine the extent to which an intervener may participate in the proceedings.
(a) General. The parties may agree to submit a schedule for filing all prehearing motions or for conducting discovery or both.
(b) Form and content of schedule. If the parties agree to a joint procedural or discovery schedule, one of the parties must file with the Federal Docket Management System and serve the joint schedule, setting forth the dates to which the parties have agreed. One of the parties must draft an order establishing a joint schedule for the administrative law judge.
(1) The joint schedule may include, but need not be limited to, times for requests for discovery, any objections to discovery requests, responses to discovery requests, submission of prehearing motions, responses to prehearing motions, exchange of exhibits to be introduced at the hearing, and lists of witnesses that may be called at the hearing.
(2) Each party must sign the original joint schedule.
(c) Time. The parties may agree to submit all prehearing motions and responses and may agree to close discovery in the proceedings under the joint schedule within a reasonable time before the date of the hearing, but not later than 15 days before the hearing.
(d) Order establishing joint schedule. The administrative law judge must approve the joint schedule filed by the parties by signing the joint schedule and filing it with the Federal Docket Management System.
(e) Disputes. The administrative law judge must resolve any dispute regarding discovery or regarding compliance with the joint schedule as soon as possible so that the parties may continue to comply with the joint schedule.
(f) Sanctions for failure to comply with joint schedule. If a party fails to comply with the order establishing a joint schedule, the administrative law judge may direct that party to comply with a motion to compel discovery; or, limited to the extent of the party's failure to comply with a motion or discovery request, the administrative law judge may:
(1) Strike that portion of a party's pleadings;
(2) Preclude prehearing or discovery motions by that party;
(3) Preclude admission of that portion of a party's evidence at the hearing; or
(4) Preclude that portion of the testimony of that party's witnesses at the hearing.
(a) General. A party applying for an order or ruling not specifically provided in this subpart must do so by motion. A party must comply with the requirements of this section when filing a motion for consideration by the administrative law judge or the FAA decisionmaker on appeal.
(b) Contents. A party must state the relief sought by the motion and the particular grounds supporting that relief. If a party has evidence in support of a motion, the party must attach any evidence, including affidavits, to the motion.
(c) Form and time. Except for oral motions heard on the record, a motion made prior to the hearing must be in writing. Unless otherwise agreed by the parties or for good cause shown, a party must file any prehearing motion with the Federal Docket Management System and serve each other party not later than 30 days before the hearing.
(d) Answers to motions. Any party may file and serve an answer, with affidavits or other evidence in support of the answer, not later than 10 days after service of a written motion on that party. When a motion is made during a hearing, the answer may be made at the hearing on the record, orally or in writing, within a reasonable time determined by the administrative law judge.
(e) Rulings on motions. The administrative law judge must rule on all motions as follows:
(1) Discovery motions. The administrative law judge must resolve all pending discovery motions not later than 10 days before the hearing.
(2) Prehearing motions. The administrative law judge must resolve all pending prehearing motions not later than 7 days before the hearing. If the administrative law judge issues a ruling or order orally, the administrative law judge must serve a written copy of the ruling or order, within 3 days, on each party. In all other cases, the administrative law judge must issue rulings and orders in writing and must serve a copy of the ruling or order on each party.
(3) Motions made during the hearing. The administrative law judge may issue rulings and orders on motions made during the hearing orally. Oral rulings or orders on motions must be made on the record.
(f) Specific motions—(1) Complainant's motion to dismiss a request for a hearing as prematurely filed. The complainant may file a motion to dismiss a request for a hearing as prematurely filed instead of filing a complaint. If the motion is not granted, the complainant must file the complaint and must serve a copy of the complaint on each party not later than 10 days after service of the administrative law judge's ruling or order on the motion to dismiss. If the motion to dismiss is granted and the proceedings are terminated without a hearing, the respondent may file an appeal in accordance with § 406.175. If required by the decision on appeal, the complainant must file a complaint and must serve a copy of the complaint on each party not later than 10 days after service of the decision on appeal.
(2) Respondent's motions instead of an answer. A respondent may file one or more of the following motions instead of filing an answer. If the administrative law judge denies the motion, the respondent must file an answer not later than 10 days after service of the denial of the motion.
(i) Respondent's motion to dismiss complaint for failure to state a claim for which a civil penalty may be imposed. A respondent may file a motion to dismiss the complaint for failure to state a claim for which a civil penalty may be imposed instead of filing an answer. The motion must show that the complaint fails to state a violation of the Act, a regulation issued under the Act, or any term or condition of a license issued or transferred under the Act.
(ii) Respondent's motion to dismiss allegations or complaint for staleness. Instead of filing an answer to the complaint, a respondent may move to dismiss the complaint, or that part of the complaint that alleges a violation that occurred more than 5 years before an agency attorney issued a notice of proposed civil penalty to the respondent, as provided by 28 U.S.C. 2462.
(iii) Respondent's motion for more definite statement. A respondent may file a motion requesting a more definite statement of the allegations contained in the complaint instead of filing an answer. The respondent must set forth, in detail, the indefinite or uncertain allegations contained in a complaint or response to any pleading and must submit the details that the party believes would make the allegation or response definite and certain. If the administrative law judge grants the motion, the complainant must supply a more definite statement not later than 15 days after service of the ruling granting the motion. If the complainant fails to supply a more definite statement, the administrative law judge must strike the allegations in the complaint to which the motion is directed. If the administrative law judge denies the motion, the respondent must file an answer and must serve a copy of the answer on each party not later than 10 days after service of the order of denial.
(3) Other motions to dismiss. A party may file a motion to dismiss, specifying the grounds for dismissal.
(4) Complainant's motion for more definite statement. The complainant may file a motion requesting a more definite statement if an answer fails to respond clearly to the allegations in the complaint. The complainant must set forth, in detail, the indefinite or uncertain allegations contained in the answer and must submit the details that the complainant believes would make the allegation or response definite and certain. If the administrative law judge grants the motion, the respondent must supply a more definite statement not later than 15 days after service of the ruling on the motion. If the respondent fails to supply a more definite statement, the administrative law judge must strike those statements in the answer to which the motion is directed. An administrative law judge shall treat a respondent's failure to supply a more definite statement as an admission of unanswered allegations in the complaint.
(5) Other motions for more definite statement. A party may file a motion for more definite statement of any pleading that requires or permits a response under this subpart. A party must set forth, in detail, each indefinite or uncertain allegation contained in a pleading or response and must submit the details that would make each allegation definite and certain.
(6) Motion to strike. Any party may make a motion to strike any insufficient allegation or defense, or any redundant, immaterial, or irrelevant matter in a pleading. A party must file a motion to strike and must serve a copy on each party before a response to that pleading is required under this subpart or, if a response is not required, not later than 10 days after service of the pleading.
(7) Motion for decision. A party may make a motion for decision, regarding all or any part of the proceedings, at any time before the administrative law judge has issued an initial decision in the proceedings. The administrative law judge must grant a party's motion for decision if the pleadings, depositions, answers to interrogatories, admissions, matters that the administrative law judge has officially noticed, or evidence introduced during the hearing show that there is no genuine issue of material fact and that the party making the motion is entitled to a decision as a matter of law. The party making the motion for decision has the burden of showing that there is no genuine issue of material fact disputed by the parties.
(8) Motion for disqualification. A party may file a motion for disqualification. A party may file the motion at any time after the administrative law judge has been assigned to the proceedings but must make the motion before the administrative law judge files an initial decision in the proceedings.
(i) Motion and supporting affidavit. A party must state the grounds for disqualification, including, but not limited to, personal bias, pecuniary interest, or other factors showing reason for disqualification, in the motion for disqualification. A party must submit an affidavit with the motion for disqualification that sets forth, in detail, the matters alleged to constitute grounds for disqualification.
(ii) Answer. A party may respond to the motion for disqualification not later than 5 days after service of the motion for disqualification.
(iii) Decision on motion for disqualification. The administrative law judge must issue a decision on the motion for disqualification not later than 15 days after the motion has been filed. If the administrative law judge finds that the motion for disqualification and supporting affidavit show a basis for disqualification, the administrative law judge must withdraw from the proceedings immediately. If the administrative law judge finds that disqualification is not warranted, the administrative law judge must deny the motion and state the grounds for the denial on the record. If the administrative law judge fails to rule on a party's motion for disqualification within 15 days after the motion has been filed, the motion is granted.
(a) Initiation of discovery. Any party may initiate discovery described in this section, without the consent or approval of the administrative law judge, at any time after a complaint has been filed.
(b) Methods of discovery. The following methods of discovery are permitted under this section: depositions on oral examination or written questions of any person; written interrogatories directed to a party; requests for production of documents or tangible items to any person; and requests for admission by a party. A party is not required to file written interrogatories and responses, requests for production of documents or tangible items and responses, and requests for admission and responses with the Federal Docket Management System or submit any of them to the administrative law judge. In the event of a discovery dispute, a party must attach a copy of these documents in support of a motion filed under this section.
(c) Service on the agency. A party must serve each discovery request directed to the agency or any agency employee with the agency attorney.
(d) Time for response to discovery request. Unless otherwise directed by this subpart or agreed by the parties, a party must respond to a request for discovery, including filing objections to a request for discovery, not later than 30 days after service of the request.
(e) Scope of discovery. Subject to the limits on discovery set forth in paragraph (f) of this section, a party may discover any matter that is not privileged and that is relevant to the subject matter of the proceeding. A party may discover information that relates to the claim or defense of any party including the existence, description, nature, custody, condition, and location of any document or other tangible item and the identity and location of any person having knowledge of discoverable matter. A party may discover facts known, or opinions held, by an expert who any other party expects to call to testify at the hearing. A party has no ground to object to a discovery request on the basis that the information sought would not be admissible at the hearing if the information sought during discovery is reasonably calculated to lead to the discovery of admissible evidence.
(f) Limiting discovery. The administrative law judge must limit the frequency and extent of discovery permitted by this section if a party shows that—
(1) The information requested is cumulative or repetitious;
(2) The information requested can be obtained from another less burdensome and more convenient source;
(3) The party requesting the information has had ample opportunity to obtain the information through other discovery methods permitted under this section; or
(4) The method or scope of discovery requested by the party is unduly burdensome or expensive.
(g) Confidentiality order. A party or person who has received a discovery request for information that is related to a trade secret, confidential or sensitive material, competitive or commercial information, proprietary data, or information on research and development, may file and serve a motion for a confidentiality order in accordance with § 406.117.
(h) Protective order. A party or a person who has received a request for discovery may file a motion for protective order and must serve a copy of the motion for protective order on each party. The party or person making the motion must show that the protective order is necessary to protect the party or the person from annoyance, embarrassment, oppression, or undue burden or expense. As part of the protective order, the administrative law judge may:
(1) Deny the discovery request;
(2) Order that discovery be conducted only on specified terms and conditions, including a designation of the time or place for discovery or a determination of the method of discovery; or
(3) Limit the scope of discovery or preclude any inquiry into certain matters during discovery.
(i) Duty to supplement or amend response. A party who has responded to a discovery request has a duty to supplement or amend the response, as soon as the information is known, as follows:
(1) A party must supplement or amend any response to a question requesting the identity and location of any person having knowledge of discoverable matters.
(2) A party must supplement or amend any response to a question requesting the identity of each person who will be called to testify at the hearing as an expert witness and the subject matter and substance of that witness' testimony.
(3) A party must supplement or amend any response that was incorrect when made or any response that was correct when made but is no longer correct, accurate, or complete.
(j) Depositions. The following rules apply to all depositions taken pursuant to this section:
(1) Form. A deposition must be taken on the record and reduced to writing. The person being deposed must sign the deposition unless the parties agree to waive the requirement of a signature.
(2) Administration of oaths. Within the United States, or a territory or possession subject to the jurisdiction of the United States, a party must take a deposition before a person authorized to administer oaths by the laws of the United States or authorized by the law of the place where the examination is held. In a foreign country, a party must take a deposition in any manner allowed by the Federal Rules of Civil Procedure.
(3) Notice of deposition. A party must serve a notice of deposition, stating the time and place of the deposition and the name and address of each person to be examined, on the person to be deposed, must submit the notice to the administrative law judge, and must file the notice with the Federal Docket Management System, and must serve the notice on each party, not later than 7 days before the deposition. A party may serve a notice of deposition less than 7 days before the deposition only with consent of the administrative law judge. If a subpoena duces tecum is to be served on the person to be examined, the party must attach to the notice of deposition a copy of the subpoena duces tecum that describes the materials to be produced at the deposition.
(4) Use of depositions. A party may use any part or all of a deposition at a hearing authorized under this subpart only upon a showing of good cause. The deposition may be used against any party who was present or represented at the deposition or who had reasonable notice of the deposition.
(k) Interrogatories. (1) A party may not serve more than 30 interrogatories to each other party. Each subpart of an interrogatory must be counted as a separate interrogatory.
(2) A party must file a motion for leave to serve more than 30 interrogatories on a party before serving additional interrogatories on a party. The administrative law judge must grant the motion only if the party shows good cause for the party's failure to inquire about the information previously and that the information cannot reasonably be obtained using less burdensome discovery methods or be obtained from other sources.
(3) A party must answer each interrogatory separately and completely in writing.
(4) A party, or the party's attorney or representative of record, must sign the party's responses to interrogatories.
(5) If a party objects to an interrogatory, the party must state the objection and the reasons for the objection.
(6) An opposing party may offer into evidence any part or all of a party's responses to interrogatories at a hearing under this subpart to the extent that the response is relevant, material, and not repetitious.
(l) Requests for admission. A party may serve a written request for admission of the truth of any matter within the scope of discovery under this section or the authenticity of any document described in the request. A party must set forth each request for admission separately. A party must serve a copy of each document referenced in the request for admission unless the document has been provided or is reasonably available for inspection and copying.
(1) Time. A party's failure to respond to a request for admission is not later than 30 days after service of the request constitutes an admission of the truth of the statement or statements contained in the request for admission. The administrative law judge may determine that a failure to respond to a request for admission does not constitute an admission of the truth if a party shows that the failure was due to circumstances beyond the control of the party or the party's attorney or representative.
(2) Response. A party may object to a request for admission. The objection must be in writing and signed by the party or the party's attorney or representative of record, and must state the reasons for objection. A party may specifically deny the truth of the matter or describe the reasons why the party is unable to truthfully deny or admit the matter. If a party is unable to deny or admit the truth of the matter, the party must show that the party has made reasonable inquiry into the matter or that the information known to, or readily obtainable by, the party is insufficient to enable the party to admit or deny the matter. A party may admit or deny any part of the request for admission. If an administrative law judge determines that a response does not comply with the requirements of this rule or that the response is insufficient, the matter is admitted.
(3) Effect of admission. Any matter admitted or treated as admitted under this section is conclusively established for the purpose of the hearing and appeal.
(m) Motion to compel discovery. A party may make a motion to compel discovery if a person refuses to answer a question during a deposition, a party fails or refuses to answer an interrogatory, a person gives an evasive or incomplete answer during a deposition or when responding to an interrogatory, or a party fails or refuses to produce documents or tangible items. During a deposition, the proponent of a question may complete the deposition or may adjourn the examination before making a motion to compel if a person refuses to answer.
(n) Failure to comply with a discovery order or order to compel. If a party fails to comply with a discovery order or an order to compel, the administrative law judge, limited to the extent of the party's failure to comply with the discovery order or motion to compel, may:
(1) Strike that portion of a party's pleadings;
(2) Preclude prehearing or discovery motions by that party;
(3) Preclude admission of that portion of a party's evidence at the hearing; or
(4) Preclude that portion of the testimony of that party's witnesses at the hearing.
(a) Notice. The administrative law judge must give each party at least 60 days notice of the date, time, and location of the hearing.
(b) Date, time, and location of the hearing. The administrative law judge must set a reasonable date, time, and location for the hearing within the United States. The administrative law judge must consider the need for discovery and any joint procedural or discovery schedule submitted by the parties when determining the hearing date. The administrative law judge must give due regard to the convenience of the parties, the location where the majority of the witnesses reside or work, and whether a scheduled air carrier serves the location.
(c) Earlier hearing. With the consent of the administrative law judge, the parties may agree to hold the hearing on an earlier date than the date specified in the notice of hearing.
(d) Space hearing consolidated with aviation hearing under 14 CFR part 13 subpart G. With the consent of the administrative law judge, the parties may agree to hold the hearing, or parts of the hearing, together with a hearing under 14 CFR part 13 subpart G if the cases involve some common issues of fact. If the hearings are consolidated, the administrative law judge may issue a consolidated initial decision covering both cases. The Administrator will serve as the FAA decisionmaker on appeal for both cases and will issue a consolidated decision, with the Associate Administrator for Commercial Space Transportation serving as an advisor to the FAA decisionmaker.
(a) General. A party is entitled to present the party's case or defense by oral, documentary, or demonstrative evidence, to submit rebuttal evidence, and to conduct any cross-examination that may be required for a full and true disclosure of the facts.
(b) Admissibility. A party may introduce any oral, documentary, or demonstrative evidence in support of the party's case or defense. The administrative law judge must admit any oral, documentary, or demonstrative evidence introduced by a party but must exclude irrelevant, immaterial, or unduly repetitious evidence.
(c) Hearsay evidence. Hearsay evidence is admissible in proceedings governed by this subpart. The fact that evidence submitted by a party is hearsay goes only to the weight of the evidence and does not affect its admissibility.
The administrative law judge must issue an initial decision or must rule in a party's favor only if the decision or ruling is supported by, and in accordance with, the reliable, probative, and substantial evidence contained in the record. In order to prevail, the party with the burden of proof must prove the party's case or defense by a preponderance of reliable, probative, and substantial evidence.
(a) Except in the case of an affirmative defense, in a civil penalty adjudication the burden of proof is on the complainant.
(b) Except as otherwise provided by statute or rule, the proponent of a motion, request, or order has the burden of proof.
(c) A party who has asserted an affirmative defense has the burden of proving the affirmative defense.
A party whose evidence has been excluded by a ruling of the administrative law judge may offer the evidence for the record on appeal.
An employee of the FAA may not be called as an expert or opinion witness for any party other than the agency, in any proceeding governed by this part. An employee of a respondent may not be called as an expert or opinion witness for the complainant in any proceeding governed by this part to which the respondent is a party.
(a) Request for subpoena. A party may obtain from the administrative law judge a subpoena to compel the attendance of a witness at a deposition or hearing or to require the production of documents or tangible items. The administrative law judge must deliver the subpoena, signed by the administrative law judge but otherwise in blank, to the party. The party must complete the subpoena, stating the title of the action and the date and time for the witness' attendance or production of documents or items. The party who obtained the subpoena must serve the subpoena on the witness.
(b) Motion to quash or modify the subpoena. A party, or any person upon whom a subpoena has been served, may file a motion to quash or modify the subpoena at or before the time specified in the subpoena for compliance. The applicant must describe, in detail, the basis for the motion to quash or modify the subpoena including, but not limited to, a statement that the testimony, document, or tangible evidence is not relevant to the proceeding, that the subpoena is not reasonably tailored to the scope of the proceeding, or that the subpoena is unreasonable and oppressive. A motion to quash or modify the subpoena will stay the effect of the subpoena pending a decision by the administrative law judge on the motion.
(c) Enforcement of subpoena. Upon a showing that a person has failed or refused to comply with a subpoena, the Secretary may apply to the appropriate district court of the United States to seek enforcement of the subpoena in accordance with 51 U.S.C. 50917(c). A party may request the Secretary to seek such enforcement.
(a) General. Unless otherwise authorized by the administrative law judge, the party who applies for a subpoena to compel the attendance of a witness at a deposition or hearing, or the party at whose request a witness appears at a deposition or hearing, must pay the witness fees described in this section.
(b) Amount. Except for an employee of the agency who appears at the direction of the agency, a witness who appears at a deposition or hearing is entitled to the same fees and mileage expenses as are paid to a witness in a court of the United States in comparable circumstances.
(a) Exclusive record. The transcript of all testimony in the hearing; all exhibits received into evidence; the complaint, answer, and amendments thereto; all motions, applications, and requests, and responses thereto; and all rulings constitute the exclusive record for decision of the proceedings and the basis for the issuance of any orders in the proceeding.
(b) A person may keep the original document, data, or other evidence, with the consent of the administrative law judge, by substituting a legible copy for the record.
(a) Argument during the hearing. During the hearing, the administrative law judge must give the parties a reasonable opportunity to present arguments on the record supporting or opposing motions, objections, and rulings if the parties request an opportunity for argument. The administrative law judge may request written arguments during the hearing if the administrative law judge finds that submission of written arguments would be reasonable.
(b) Final oral argument. At the conclusion of the hearing and before the administrative law judge issues an initial decision in the proceedings, the parties are entitled to submit oral proposed findings of fact and conclusions of law, exceptions to rulings of the administrative law judge, and supporting arguments for the findings, conclusions, or exceptions. At the conclusion of the hearing, a party may waive final oral argument.
(c) Post-hearing briefs. The administrative law judge may request written post-hearing briefs before the administrative law judge issues an initial decision if the administrative law judge finds that submission of written briefs would be reasonable. If a party files a written post-hearing brief, the party must include proposed findings of fact and conclusions of law, exceptions to rulings of the administrative law judge, and supporting arguments for the findings, conclusions, or exceptions. The administrative law judge must give the parties a reasonable opportunity, not more than 30 days after receipt of the transcript, to prepare and submit the briefs.
(a) Contents. The administrative law judge must issue an initial decision at the conclusion of the hearing. In each oral or written decision, the administrative law judge must include findings of fact and conclusions of law, and the grounds supporting those findings and conclusions, upon all material issues of fact, the credibility of witnesses, the applicable law, any exercise of the administrative law judge's discretion, the amount of any civil penalty found appropriate by the administrative law judge, and a discussion of the basis for any order issued in the proceedings. The administrative law judge is not required to provide a written explanation for rulings on objections, procedural motions, and other matters not directly relevant to the substance of the initial decision. If the administrative law judge refers to any previous unreported or unpublished initial decision, the administrative law judge must make copies of that initial decision available to all parties and the FAA decisionmaker.
(b) Oral decision. Except as provided in paragraph (c) of this section, at the conclusion of the hearing, the administrative law judge must issue the initial decision and order orally on the record.
(c) Written decision. The administrative law judge may issue a written initial decision not later than 30 days after the conclusion of the hearing or submission of the last posthearing brief if the administrative law judge finds that issuing a written initial decision is reasonable. The administrative law judge must serve a copy of any written initial decision on each party.
(a) General. Unless otherwise provided in this subpart, a party may not appeal a ruling or decision of the administrative law judge to the FAA decisionmaker until the initial decision has been entered on the record. A decision or order of the FAA decisionmaker on an interlocutory appeal does not constitute a final order of the Secretary for the purposes of judicial review under 5 U.S.C. chapter 7.
(b) Interlocutory appeal for cause. If a party files a written request for an interlocutory appeal for cause, or orally requests an interlocutory appeal for cause, the proceedings are stayed until the administrative law judge issues a decision on the request. If the administrative law judge grants the request, the proceedings are stayed until the FAA decisionmaker issues a decision on the interlocutory appeal. The administrative law judge must grant an interlocutory appeal for cause if a party shows that delay of the interlocutory appeal would be detrimental to the public interest or would result in undue prejudice to any party.
(c) Interlocutory appeals of right. If a party notifies the administrative law judge of an interlocutory appeal of right, the proceedings are stayed until the FAA decisionmaker issues a decision on the interlocutory appeal. A party may file an interlocutory appeal, without the consent of the administrative law judge, before an initial decision has been entered in the case of:
(1) A ruling or order by the administrative law judge barring a party, or a party's attorney or representative, from the proceedings.
(2) A ruling or order by the administrative law judge allegedly in violation of the limitations on the administrative law judge under § 406.109(c).
(3) Failure of the administrative law judge to grant a motion for a confidentiality order based on 51 U.S.C. 50916, under § 406.117(c)(2).
(4) Failure of the administrative law judge to dismiss the proceedings in accordance with § 406.135.
(d) Procedure. A party must file with the Federal Docket Management System and serve each other party a notice of interlocutory appeal, with supporting documents, not later than 10 days after the administrative law judge's decision forming the basis of an interlocutory appeal of right or not later than 10 days after the administrative law judge's decision granting an interlocutory appeal for cause. A party must file with the Federal Docket Management System a reply brief, if any, and serve a copy of the reply brief on each party, not later than 10 days after service of the appeal brief. The FAA decisionmaker must render a decision on the interlocutory appeal, on the record and as a part of the decision in the proceedings, within a reasonable time after receipt of the interlocutory appeal.
(e) Rejection of interlocutory appeal. The FAA decisionmaker may reject frivolous, repetitive, or dilatory appeals, and may issue an order precluding one or more parties from making further interlocutory appeals in a proceeding in which there have been frivolous, repetitive, or dilatory interlocutory appeals.
(a) Notice of appeal. A party may appeal the initial decision, and any decision not previously appealed pursuant to 406.173, by filing with the Federal Docket Management System and serving on each party a notice of appeal. A party must file the notice of appeal not later than 10 days after entry of the oral initial decision on the record or service of the written initial decision on the parties.
(b) Issues on appeal. A party may appeal only the following issues:
(1) Whether each finding of fact is supported by a preponderance of reliable, probative, and substantial evidence;
(2) Whether each conclusion of law is made in accordance with applicable law, precedent, and public policy; and
(3) Whether the administrative law judge committed any prejudicial errors during the hearing that support the appeal.
(c) Perfecting an appeal. Unless otherwise agreed by the parties, a party must perfect an appeal, not later than 50 days after entry of the oral initial decision on the record or service of the written initial decision on the party, by filing an appeal brief.
(1) Extension of time by agreement of the parties. The parties may agree to extend the time for perfecting the appeal with the consent of the FAA decisionmaker, who serves a letter confirming the extension of time on each party.
(2) Motion for extension. If the parties do not agree to an extension of time for perfecting an appeal, a party desiring an extension of time may file a motion for an extension and must serve a copy of the motion on each party. The FAA decisionmaker may grant an extension if good cause for the extension is shown in the motion.
(d) Appeal briefs. A party must file the appeal brief with the Federal Docket Management System and serve each party.
(1) A party must set forth, in detail, the party's specific objections to the initial decision or rulings in the appeal brief. A party also must set forth, in detail, the basis for the appeal, the reasons supporting the appeal, and the relief requested in the appeal. If the party relies on evidence contained in the record for the appeal, the party must specifically refer to the pertinent evidence contained in the record in the appeal brief.
(2) The FAA decisionmaker may dismiss an appeal, on the FAA decisionmaker's own initiative or upon motion of any other party, where a party has filed a notice of appeal but fails to perfect the appeal by timely filing an appeal brief.
(e) Reply brief. Unless otherwise agreed by the parties, any party may file a reply brief with the Federal Docket Management System and serve on each other party not later than 35 days after the appeal brief has been served on that party. If the party relies on evidence contained in the record for the reply, the party must specifically refer to the pertinent evidence contained in the record in the reply brief.
(1) Extension of time by agreement of the parties. The parties may agree to extend the time for filing a reply brief with the consent of the FAA decisionmaker, who will serve a letter confirming the extension of time on each party.
(2) Motion for extension. If the parties do not agree to an extension of time for filing a reply brief, a party desiring an extension of time may file and serve a motion for an extension and must serve a copy of the motion on each party. The FAA decisionmaker may grant an extension if good cause for the extension is shown in the motion.
(f) Other briefs. The FAA decisionmaker may allow any person to submit an amicus curiae brief in an appeal of an initial decision. A party may not file more than one appeal brief or reply brief without permission of the FAA decisionmaker. A party may file with the Federal Docket Management System a motion for permission to file an additional brief and must serve a copy of the motion on each other party. The party may not file the additional brief with the motion. The FAA decisionmaker may grant permission to file an additional brief if the party demonstrates good cause for allowing additional argument on the appeal. The FAA decisionmaker will allow a reasonable time for the party to file the additional brief.
(g) Number of copies. A party must file the original brief and two copies of the brief with the Federal Docket Management System and serve one copy on each other party.
(h) Oral argument. The FAA decisionmaker has sole discretion to permit oral argument on the appeal. On the FAA decisionmaker's own initiative or upon written motion by any party, the FAA decisionmaker may find that oral argument will contribute substantially to the development of the issues on appeal and may grant the parties an opportunity for oral argument.
(i) Waiver of objections on appeal. If a party fails to object to any alleged error regarding the proceedings in an appeal or a reply brief, the party waives any objection to the alleged error. The FAA decisionmaker is not required to consider any objection or argument in a brief if the party does not specifically refer in the brief to the pertinent evidence from the record.
(j) FAA decisionmaker's decision on appeal. The FAA decisionmaker will review the record, the briefs on appeal, and the oral argument, if any, to determine if the administrative law judge committed prejudicial error in the proceedings or that the initial decision should be affirmed, modified, or reversed. The FAA decisionmaker may affirm, modify, or reverse the initial decision, make any necessary findings, or may remand the case for any proceedings that the FAA decisionmaker determines may be necessary.
(1) The FAA decisionmaker may raise any issue, on the FAA decisionmaker's own initiative, that is required for proper disposition of the proceedings. The FAA decisionmaker will give the parties a reasonable opportunity to submit arguments on the new issues before making a decision on appeal. If an issue raised by the FAA decisionmaker requires the consideration of additional testimony or evidence, the FAA decisionmaker will remand the case to the administrative law judge for further proceedings and an initial decision related to that issue. If an issue raised by the FAA decisionmaker is solely an issue of law or the issue was addressed at the hearing but was not raised by a party in the briefs on appeal, a remand of the case to the administrative law judge for further proceedings is not required but may be provided in the discretion of the FAA decisionmaker.
(2) The FAA decisionmaker will issue the final decision and order of the Administrator on appeal in writing and will serve a copy of the decision and order on each party.
(3) A final decision and order of the FAA decisionmaker is precedent in any other civil penalty action under this part. Any issue, finding or conclusion, order, ruling, or initial decision of an administrative law judge that has not been appealed to the FAA decisionmaker is not precedent in any other civil penalty action.
(a) General. Any party may petition the FAA decisionmaker to reconsider or modify a final decision and order issued by the FAA decisionmaker on appeal from an initial decision. A party must file a petition to reconsider or modify with the Federal Docket Management System not later than 30 days after service of the FAA decisionmaker's final decision and order on appeal and must serve a copy of the petition on each party. The FAA decisionmaker will not reconsider or modify an initial decision and order issued by an administrative law judge that has not been appealed by any party to the FAA decisionmaker.
(b) Contents. A party must state briefly and specifically the alleged errors in the final decision and order on appeal, the relief sought by the party, and the grounds that support, the petition to reconsider or modify.
(1) If the petition is based, in whole or in part, on allegations regarding the consequences of the FAA decisionmaker's decision, the party must describe these allegations and must describe, and support, the basis for the allegations.
(2) If the petition is based, in whole or in part, on new material not previously raised in the proceedings, the party must set forth the new material and include affidavits of prospective witnesses and authenticated documents that would be introduced in support of the new material. The party must explain, in detail, why the new material was not discovered through due diligence prior to the hearing.
(c) Repetitious and frivolous petition. The FAA decisionmaker will not consider a repetitious or frivolous petition. The FAA decisionmaker may summarily dismiss any repetitious or frivolous petition to reconsider or modify.
(d) Reply to petition. Any other party may reply to a petition to reconsider or modify, not later than 10 days after service of the petition on that party, by filing a reply. A party must serve a copy of the reply on each party.
(e) Effect of filing petition. Unless otherwise ordered by the FAA decisionmaker, filing a petition under this section stays the effective date of the FAA decisionmaker's final decision and order on appeal, and tolls the time allowed for judicial review.
(f) FAA decisionmaker's decision on petition. The FAA decisionmaker may affirm, modify, or reverse the final decision and order on appeal, or may remand the case for any proceedings that the FAA decisionmaker determines may be necessary.
(a) A person may seek judicial review of a final decision and order of the FAA decisionmaker as provided in 5 U.S.C. chapter 7 and 28 U.S.C. 1331. A party seeking judicial review must file with a United States district court.
(b) In accordance with § 406.9(e)(iv), if a person seeks judicial review not later than 60 days after the final decision and order has been served on the respondent, the final decision and order is stayed.
(c) In accordance with § 406.9(i), if a respondent does not pay a civil penalty and does not file an appeal with the United States district court within 60 days after service of the final decision and order, the FAA may refer the order to the United States Department of Treasury or Department of Justice to collect the civil penalty.
(a) This part explains how to apply for a license or experimental permit. These procedures apply to all applications for obtaining a license or permit, transferring a license, and renewing a license or permit. In this part, the term application means either an application in its entirety, or a portion of an application for incremental review and determination in accordance with § 450.33 of this chapter.
(b) Use paragraphs (b)(1) through (7) in the following table to locate specific requirements:
| Subject | Part |
|---|---|
| (1) License to Operate a Launch Site | 420 |
| (2) License to Operate a Reentry Site | 433 |
| (3) Experimental Permits | 437 |
| (4) Launch and Reentry License Requirements | 450 |
(a) A person must obtain a license in accordance with this section, unless eligible for an experimental permit under paragraph (f) of this section.
(b) A person must obtain a license to—
(1) Launch a launch vehicle from the United States;
(2) Operate a launch site within the United States;
(3) Reenter a reentry vehicle in the United States; or
(4) Operate a reentry site within the United States.
(c) A person who is a U.S. citizen or an entity organized under the laws of the United States or any State must obtain a license to—
(1) Launch a launch vehicle outside the United States;
(2) Operate a launch site outside the United States;
(3) Reenter a reentry vehicle outside the United States; or
(4) Operate a reentry site outside the United States.
(d) A foreign entity in which a United States citizen has a controlling interest must obtain a license to launch a launch vehicle from or to operate a launch site in—
(1) Any place that is outside the territory or territorial waters of any nation, unless there is an agreement in force between the United States and a foreign nation providing that such foreign nation has jurisdiction over the launch or the operation of the launch site; or
(2) The territory of any foreign nation, including its territorial waters, if there is an agreement in force between the United States and that foreign nation providing that the United States has jurisdiction over the launch or the operation of the launch site.
(e) A foreign entity in which a U.S. citizen has a controlling interest must obtain a license to reenter a reentry vehicle or to operate a reentry site in—
(1) Any place that is outside the territory or territorial waters of any nation, unless there is an agreement in force between the United States and a foreign nation providing that such foreign nation has jurisdiction over the reentry or the operation of the reentry site; or
(2) The territory of any foreign nation if there is an agreement in force between the United States and that foreign nation providing that the United States has jurisdiction over the reentry or the operation of the reentry site.
(f) A person, individual, or foreign entity otherwise requiring a license under this section may instead obtain an experimental permit to launch or reenter a reusable suborbital vehicle under part 437 of this chapter.
A prospective applicant must consult with the FAA before submitting an application to discuss the application process and possible issues relevant to the FAA's licensing or permitting decision. Early consultation helps an applicant to identify possible regulatory issues at the planning stage when changes to an application or to proposed licensed or permitted activities are less likely to result in significant delay or costs to the applicant.
(a) An applicant must make an application in writing and in English. The applicant must file the application with the Federal Aviation Administration either by paper, by use of physical electronic storage, or by email in the following manner:
(1) For applications submitted on paper, an applicant must send two copies of the application to the Federal Aviation Administration, Associate Administrator for Commercial Space Transportation, Room 331, 800 Independence Avenue SW., Washington, DC 20591. Attention: Application Review.
(2) For an application submitted by use of physical electronic storage, the applicant must either mail the application to the address specified in paragraph (a)(1) of this section or hand-deliver the application to an authorized FAA representative. The application and the physical electronic storage containing the application must also satisfy all of the following criteria:
(i) The application must include a cover letter that is printed on paper and signed by the person who signed the application or by an authorized representative of the applicant;
(ii) The cover letter must identify each document that is included on the physical electronic storage; and
(iii) The physical electronic storage must be in a format such that its contents cannot be altered.
(3) For an application submitted by email, an applicant must send the application as an email attachment, or as a link to a secure server, to ASTApplications@faa.gov. The application and the email to which the application is attached or linked must also satisfy the following criteria:
(i) The email to which the application is attached or linked must be sent from an email address controlled by the person who signed the application or by an authorized representative of the applicant;
(ii) The email must identify each document that is included as an attachment or that is stored on a secure server; and
(iii) The electronic files must be date-stamped and have version control documentation.
(b) Administrative information. An application must identify the following:
(1) The name and address of the applicant;
(2) The name, address, and telephone number of any person to whom inquiries and correspondence should be directed; and
(3) The type of license or permit for which the applicant is applying.
(c) Signature and certification of accuracy. An application must be legibly signed, dated, and certified as true, complete, and accurate by one of the following:
(1) For a corporation: An officer or other individual authorized to act for the corporation in licensing or permitting matters.
(2) For a partnership or a sole proprietorship: A general partner or proprietor, respectively.
(3) For a joint venture, association, or other entity: An officer or other individual authorized to act for the joint venture, association, or other entity in licensing or permitting matters.
(d) Safety approval. If the applicant proposes to include a safety element for which the FAA issued a safety approval under part 414 in the proposed license activity, the applicant must—
(1) Identify the safety approval in the application and explain the proposed use of the approved safety element.
(2) Show that the proposed use of the approved safety element is consistent with the designated scope specified in the safety approval.
(3) Certify that the safety element will be used according to any terms and conditions of the issued safety approval.
(e) Measurement system consistency. For each analysis, an applicant must employ a consistent measurements system, whether English or metric, in its application and licensing information.
(a) Any person furnishing information or data to the FAA may request in writing that trade secrets or proprietary commercial or financial data be treated as confidential. The request must be made at the time the information or data is submitted, and state the period of time for which confidential treatment is desired.
(b) Information or data for which any person or agency requests confidentiality must be clearly marked with an identifying legend, such as “Proprietary Information,” “Proprietary Commercial Information,” “Trade Secret,” or “Confidential Treatment Requested.” Where this marking proves impracticable, a cover sheet containing the identifying legend must be securely attached to the compilation of information or data for which confidential treatment is requested.
(c) If a person requests that previously submitted information or data be treated confidentially, the FAA will do so to the extent practicable in light of any prior distribution of the information or data.
(d) Information or data for which confidential treatment has been requested or information or data that qualifies for exemption under section 552(b)(4) of Title 5, United States Code, will not be disclosed to the public unless the Associate Administrator determines that the withholding of the information or data is contrary to the public or national interest.
The FAA will initially screen an application to determine whether it is complete enough for the FAA to start its review. After completing the initial screening, the FAA will notify the applicant in writing of one of the following:
(a) The FAA accepts the application and will initiate review; or
(b) The application is so incomplete or indefinite that the FAA cannot start to evaluate it. The FAA will reject it and notify the applicant, stating each reason for rejecting it and what action the applicant must take for the FAA to accept the application. The FAA may return a rejected application to the applicant or may hold it until the applicant takes the required actions.
The FAA's acceptance of an application does not mean it has determined that the application is complete. If, in addition to the information required by this chapter, the FAA requires other information necessary for a determination that public health and safety, safety of property, and national security and foreign policy interests of the United States are protected during the conduct of a licensed or permitted activity, an applicant must submit the additional information.
(a) Review period duration. Unless otherwise specified in this chapter, the FAA reviews and makes a license or permit determination on an accepted application in accordance with the time frame specified in 51 U.S.C. 50905(a)(1). The FAA will establish the time frame for any incremental review and determination with an applicant on a case-by-case basis during pre-application consultation.
(b) Review period tolled. If an accepted application does not provide sufficient information to continue or complete the reviews or evaluations required by this chapter for a license, permit, or incremental determination, or an issue exists that would affect a determination, the FAA notifies the applicant, in writing, and informs the applicant of any information required to complete the application. If the FAA cannot review an accepted application because of lack of information or for any other reason, the FAA will toll the review period until the FAA receives the information it needs or the applicant resolves the issue.
(c) Notice. Except for applications under incremental review and determination in accordance with § 450.33, if the FAA does not make a decision in accordance with the time frame specified in 51 U.S.C. 50905(a)(1) for an accepted license application or 51 U.S.C. 50906(a) for an accepted permit application, the FAA informs the applicant, in writing, of any outstanding information needed to complete the review, or of any issues that would affect the decision.
(a) An applicant must ensure the continuing accuracy and completeness of information furnished to the FAA as part of a pending license or permit application. If at any time the information an applicant provides is no longer accurate and complete in all material respects, the applicant must submit new or corrected information. As part of this submission, the applicant must recertify the accuracy and completeness of the application under § 413.7. If an applicant does not comply with any of the requirements set forth in this paragraph, the FAA can deny the license or permit application.
(b) An applicant may amend or supplement a license or permit application at any time before the FAA issues or transfers the license or permit.
(c) [Reserved]
After the FAA completes its reviews and makes the decisions required by this chapter, the FAA issues a license or permit to the applicant.
(a) The FAA informs an applicant, in writing, if it denies an application and states the reasons for denial.
(b) If the FAA has denied an application in its entirety, the applicant may either—
(1) Attempt to correct any deficiencies identified and ask the FAA to reconsider the revised application, in which case the FAA has 60 days or the number of days remaining in the review period, whichever is greater, within which to reconsider the decision; or
(2) Request a hearing in accordance with part 406 of this chapter, for the purpose of showing why the application should not be denied.
(c) An applicant whose application is denied after reconsideration under paragraph (b)(1) of this section may request a hearing in accordance with paragraph (b)(2) of this section.
(a) Eligibility. A licensee or permittee may apply to renew its license or permit by submitting to the FAA a written application for renewal at least 90 days before the license expires or at least 60 days before the permit expires, unless the Administrator agrees to a different time frame in accordance with § 404.15.
(b) Application. (1) A license or permit renewal application must satisfy the requirements set forth in this part and any other applicable part of this chapter.
(2) The application may incorporate by reference information provided as part of the application for the expiring license or permit, including any modifications to the license or permit.
(3) An applicant must describe any proposed changes in its conduct of licensed or permitted activities and provide any additional clarifying information required by the FAA.
(c) Review of application. The FAA reviews the application to determine whether to renew the license or permit for an additional term. The FAA may incorporate by reference any findings that are part of the record for the expiring license or permit.
(d) Renewal of license or permit. After the FAA finishes its reviews, the FAA issues an order modifying the expiration date of the license or permit. The FAA may impose additional or revised terms and conditions necessary to protect public health and safety and the safety of property and to protect U.S. national security and foreign policy interests.
(e) Denial of license or permit renewal. The FAA informs a licensee or permittee, in writing, if the FAA denies the application for renewal and states the reasons for denial. If the FAA denies an application, the licensee or permittee may follow the procedures of § 413.21 of this part.
This part establishes procedures for obtaining a safety element approval and renewing and transferring an existing safety element approval. Safety element approvals issued under this part may be used to support the application review for one or more vehicle operator license requests under other parts of this chapter.
Safety element. For purposes of this part, a safety element is any one of the items or persons (personnel) listed in paragraphs (1) and (2) of the definition of “safety element approval” in this section.
Safety element approval. For purposes of this part, a safety element approval is an FAA document containing the FAA determination that one or more of the safety elements listed in paragraphs (1) and (2) of this definition, when used or employed within a defined envelope, parameter, or situation, will not jeopardize public health and safety or safety of property. A safety element approval may be issued independent of a license, and does not confer any authority to conduct activities for which a license is required under 14 CFR chapter III. A safety element approval does not relieve its holder of the duty to comply with all applicable requirements of law or regulation that may apply to the holder's activities.
(1) Launch vehicle, reentry vehicle, safety system, process, service, or any identified component thereof; or
(2) Qualified and trained personnel, performing a process or function related to licensed activities or vehicles.
This part applies to an applicant that wants to obtain a safety element approval for any of the safety elements defined under this part and to persons granted a safety element approval under this part. Any person eligible under this part may apply to become the holder of a safety element approval.
(a) There is no citizenship requirement to obtain a safety element approval.
(b) You may be eligible for a safety element approval if you are—
(1) A designer, manufacturer, or operator of a launch or reentry vehicle or component thereof;
(2) The designer or developer of a safety system or process; or
(3) Personnel who perform safety-critical functions in conducting a licensed launch or reentry.
(c) A safety element approval applicant must have sufficient knowledge and expertise to show that the design and operation of the safety element for which safety element approval is sought qualify for a safety element approval.
(d) Only the safety elements defined under this part are eligible for a safety element approval.
The applicant must consult with the FAA before submitting an application. Unless the applicant or the FAA requests another form of consultation, consultation is oral discussion with the FAA about the application process and the potential issues relevant to the FAA's safety element approval decision.
An applicant may submit an application for a safety element approval in one of two ways:
(a) Separate from a vehicle operator license application in accordance with § 414.13; or
(b) Concurrent with a vehicle operator license application in accordance with § 414.15.
(a) An applicant must make an application in writing and in English. The applicant must file the application with the Federal Aviation Administration either by paper, by use of physical electronic storage, or by email in the following manner:
(1) For an application submitted on paper, an applicant must send two copies of the application to the Federal Aviation Administration, Associate Administrator for Commercial Space Transportation, Room 331, 800 Independence Avenue SW, Washington, DC 20591. Attention: Application Review.
(2) For an application submitted by use of physical electronic storage, the applicant must either mail the application to the address specified in paragraph (a)(1) of this section or hand-deliver the application to an authorized FAA representative. The application and the physical electronic storage containing the application must also satisfy all of the following criteria:
(i) The application must include a cover letter that is printed on paper and signed by the person who signed the application or by an authorized representative of the applicant;
(ii) The cover letter must identify each document that is included on the physical electronic storage; and
(iii) The physical electronic storage must be in a format such that its contents cannot be altered.
(3) For an application submitted by email, an applicant must send the application as an email attachment, or as a link to a secure server, to ASTApplications@faa.gov. The application and the email to which the application is attached must also satisfy the following criteria:
(i) The email to which the application is attached must be sent from an email address controlled by the person who signed the application or by an authorized representative of the applicant; and
(ii) The email must identify each document that is included as an attachment or that is stored on a secure server; and
(iii) The electronic files must be date-stamped and have version control documentation.
(b) The application must identify the following basic information:
(1) Name and address of the applicant.
(2) Name, address, and telephone number of any person to whom inquiries and correspondence should be directed.
(3) Safety element as defined under this part for which the applicant seeks a safety element approval.
(c) The application must contain the following technical information:
(1) A Statement of Conformance letter, describing the specific criteria the applicant used to show the adequacy of the safety element for which a safety element approval is sought, and showing how the safety element complies with the specific criteria.
(2) The specific operating limits for which the safety element approval is sought.
(3) The following as applicable:
(i) Information and analyses required under this chapter that may be applicable to demonstrating safe performance of the safety element for which the safety element approval is sought.
(ii) Engineering design and analyses that show the adequacy of the proposed safety element for its intended use, such that the use in a licensed launch or reentry will not jeopardize public health or safety or the safety of property.
(iii) Relevant manufacturing processes.
(iv) Test and evaluation procedures.
(v) Test results.
(vi) Maintenance procedures.
(vii) Personnel qualifications and training procedures.
(d) The application must be legibly signed, dated, and certified as true, complete, and accurate by one of the following:
(1) For a corporation, an officer or other individual authorized to act for the corporation in licensing or safety element approval matters.
(2) For a partnership or a sole proprietorship, a general partner or proprietor, respectively.
(3) For a joint venture, association, or other entity, an officer or other individual duly authorized to act for the joint venture, association, or other entity in licensing matters.
(e) Failure to comply with any of the requirements set forth in this section is sufficient basis for denial of a safety element approval application.
(a) An applicant for a vehicle operator license may also identify one or more sections of its application for which it seeks to obtain a safety element approval concurrently with a license. An applicant applying for a safety element approval concurrently with a license must—
(1) Meet the applicable requirements of part 450;
(2) Provide the information required in § 414.13(b)(3) and (c)(2) and (3); and
(3) Specify the sections of the license application that support the application for a safety element approval.
(b) The scope of the safety element approval will be limited to what the application supports. The technical criteria for reviewing a safety element submitted as part of a vehicle operator license application are limited to the applicable requirements of part 450.
(a) To ensure confidentiality of data or information in the application, the applicant must—
(1) Send a written request with the application that trade secrets or proprietary commercial or financial data be treated as confidential, and include in the request the specific time frame confidential treatment is required.
(2) Mark data or information that require confidentiality with an identifying legend, such as “Proprietary Information,” “Proprietary Commercial Information,” “Trade Secret,” or “Confidential Treatment Requested.” Where this marking proves impracticable, attach a cover sheet that contains the identifying legend to the data or information for which confidential treatment is sought.
(b) If the applicant requests confidential treatment for previously submitted data or information, the FAA will honor that request to the extent practicable in case of any prior distribution of the data or information.
(c) Data or information for which confidential treatment is requested or data or information that qualifies for exemption under section 552(b)(4) of title 5, U.S.C., will not be disclosed to the public unless the Associate Administrator determines that withholding the data or information is contrary to the public or national interest.
(a) The FAA will initially screen an application to determine if the application is complete enough for the FAA to start the review.
(b) After completing the initial screening, the FAA will inform the applicant in writing of one of the following:
(1) The FAA accepts the application and will begin the reviews or evaluations required for a safety element approval determination under this part.
(2) The FAA rejects the application because it is incomplete or indefinite, making initiation of the reviews or evaluations required for a safety element approval determination under this part inappropriate.
(c) The written notice will state the reason(s) for rejection and corrective actions necessary for the application to be accepted. The FAA may return a rejected application to the applicant or may hold it until the applicant provides more information.
(d) The applicant may withdraw, amend, or supplement an application any time before the FAA makes a final determination on the safety element approval application by making a written request to the Associate Administrator. If the applicant amends or supplements the initial application, the revised application must meet all the applicable requirements under this part.
The applicant is responsible for the continuing accuracy and completeness of information provided to the FAA as part of the safety element approval application. If at any time after submitting the application, circumstances occur that cause the information to no longer be accurate and complete in any material respect, the applicant must submit a written statement to the Associate Administrator explaining the circumstances and providing the new or corrected information. The revised application must meet all requirements under § 414.13 or § 414.15.
The FAA will determine whether a safety element is eligible for and may be issued a safety element approval. The FAA will base its determination on performance-based criteria, against which it may assess the effect on public health and safety and on safety of property, in the following hierarchy:
(a) FAA or other appropriate Federal regulations.
(b) Government-developed or adopted standards.
(c) Industry consensus performance-based criteria or standard.
(d) Applicant-developed criteria. Applicant-developed criteria are performance standards customized by the manufacturer that intends to produce the system, system component, or part. The applicant-developed criteria must define—
(1) Design and minimum performance;
(2) Quality assurance system requirements;
(3) Production acceptance test specifications; and
(4) Continued operational safety monitoring system characteristics.
(a) The FAA will issue a safety element approval to an applicant that meets all the requirements under this part.
(b) The scope of the safety element approval will be limited by the scope of the safety demonstration contained in the application on which the FAA based the decision to grant the safety element approval.
(c) The FAA will determine specific terms and conditions of a safety element approval individually, limiting the safety element approval to the scope for which it was approved. The terms and conditions will include reporting requirements tailored to the individual safety element approval.
(d) A safety element approval is valid for five years and may be renewed.
(a) The holder of a safety element approval must ensure the continued accuracy and completeness of representations contained in the safety element approval application, on which the approval was issued, for the entire term of the safety element approval.
(b) If any representation contained in the application that is material to public health and safety or safety of property ceases to be accurate and complete, the safety element approval holder must prepare and submit a revised application according to § 414.13 or § 414.15 under this part. The safety element approval holder must point out any part of the safety element approval or the associated application that would be changed or affected by a proposed modification. The FAA will review and make a determination on the revised application under the terms of this part.
The holder of a safety element approval must maintain all records necessary to verify that the holder's activities are consistent with the representations contained in the application for which the approval was issued for the duration of the safety element approval plus one year.
(a) Eligibility. A holder of a safety element approval may apply to renew it by sending the FAA a written application at least 90 days before the expiration date of the approval, unless the Administrator agrees to a different time frame in accordance with § 404.15.
(b) Application. (1) A safety element approval renewal application must meet all the requirements under § 414.13 or § 414.15.
(2) The application may incorporate by reference information provided as part of the application for the expiring safety element approval or any modification to that approval.
(3) Any proposed changes in the conduct of a safety element for which the FAA has issued a safety element approval must be described and must include any added information necessary to support the fitness of the proposed changes to meet the criteria upon which the FAA evaluated the safety element approval application.
(c) Review of application. The FAA conducts the reviews required under this part to determine whether the safety element approval may be renewed. We may incorporate by reference any findings that are part of the record for the expiring safety element approval.
(d) Grant of safety element approval renewal. If the FAA makes a favorable safety element approval determination, the FAA issues an order that amends the expiration date of the safety element approval or issues a new safety element approval. The FAA may impose added or revised terms and conditions necessary to protect public health and safety and the safety of property.
(e) Written notice. The FAA will provide written notice to the applicant of its determination on the safety element approval renewal request.
(f) Denial of a safety element approval renewal. If the FAA denies the renewal application, the applicant may correct any deficiency the FAA identified and request a reconsideration of the revised application. The applicant also has the right to appeal a denial as set forth in subpart D of this part.
(a) Only the FAA may approve a transfer of a safety element approval.
(b) Either the holder of a safety element approval or the prospective transferee may request a safety element approval transfer.
(c) Both the holder and prospective transferee must agree to the transfer.
(d) The person requesting the transfer must submit a safety element approval application according to § 414.13 or § 414.15, must meet the applicable requirements of this part, and may incorporate by reference relevant portions of the initial application.
(e) The FAA will approve a transfer of a safety element approval only after all the approvals and determinations required under this chapter for a safety element approval have been met. In conducting reviews and issuing approvals and determinations, the FAA may incorporate by reference any findings made part of the record to support the initial safety element approval determination. The FAA may modify the terms and conditions of a safety element approval to reflect any changes necessary because of a safety element approval transfer.
(f) The FAA will provide written notice to the person requesting the safety element approval transfer of our determination.
Each holder of a safety element approval must allow access by, and cooperate with, Federal officers or employees or other individuals authorized by the Associate Administrator to inspect manufacturing, production, testing, or assembly performed by a holder of a safety element approval or its contractor. The FAA may also inspect a safety element approval process or service, including training programs and personnel qualifications.
(a) The safety element approval holder. The safety element approval holder may submit an application to the FAA to modify the terms and conditions of the holder's safety element approval. The application must meet all the applicable requirements under this part. The FAA will review and make a determination on the application using the same procedures under this part applicable to an initial safety element approval application. If the FAA denies the request to modify a safety element approval, the holder may correct any deficiency the FAA identified and request reconsideration. The holder also has the right to appeal a denial as set forth in subpart D of this part.
(b) The FAA. If the FAA finds it is in the interest of public health and safety, safety of property, or if the safety element approval holder fails to comply with any applicable requirements of this part, any terms and conditions of the safety element approval, or any other applicable requirement, the FAA may—
(1) Modify the terms and conditions of the safety element approval; or
(2) Suspend or revoke the safety element approval.
(c) Effective date. Unless otherwise stated by the FAA, any modification, suspension, or revocation of a safety element approval under paragraph (b)—
(1) Takes effect immediately; and
(2) Continues in effect during any reconsideration or appeal of such action under this part.
(d) Notification and right to appeal. If the FAA determines it is necessary to modify, suspend, or revoke a safety element approval, we will notify the safety element approval holder in writing. If the holder disagrees with the FAA's determination, the holder may correct any deficiency the FAA identified and request a reconsideration of the determination. The applicant also has the right to appeal the determination as set forth in subpart D of this part.
(a) The FAA will give the safety element approval applicant or holder, as appropriate, written notice stating the reason for issuing a denial or for modifying, suspending, or revoking a safety element approval under this part.
(b) A safety element approval applicant or holder is entitled to a determination on the record after an opportunity for a hearing.
(a) Determinations in safety element approval actions under this part will be made on the basis of written submissions unless the administrative law judge, on petition or on their own initiative, determines that an oral presentation is required.
(b) Submissions must include a detailed exposition of the evidence or arguments supporting the petition.
(c) Petitions must be filed as soon as practicable, but in no event more than 30 days after issuance of decision or finding under § 414.37.
(a) The Associate Administrator, who will make the final decision on the matter at issue, will review the recommended decision of the administrative law judge. The Associate Administrator will make such final decision within 30 days of issuance of the recommended decision.
(b) The authority and responsibility to review and decide rests solely with the Associate Administrator and may not be delegated.
(a) Scope. This part prescribes the information and demonstrations that must be provided to the FAA as part of a license application, the bases for license approval, license terms and conditions, and post-licensing requirements with which a licensee shall comply to remain licensed. Requirements for preparing a license application are contained in part 413 of this subchapter.
(b) Equivalent level of safety. Each requirement of this part applies unless the applicant or licensee clearly and convincingly demonstrates that an alternative approach provides an equivalent level of safety to the requirement of this part.
This part applies to any person seeking a license to operate a launch site or to a person licensed under this part. A person operating a site that only supports amateur rocket activities as defined in 14 CFR 1.1, does not need a license under this part to operate the site.
For the purpose of this part.
Ballistic coefficient means the weight of an object divided by the quantity product of the coefficient of drag of the object and the area of the object.
Compatibility means the chemical property of materials that may be located together without increasing the probability of an accident or, for a given quantity, the magnitude of the effects of such an accident.
Debris dispersion radius (D
Downrange area means a portion of a flight corridor beginning where a launch area ends and ending 5,000 nautical miles from the launch point, or where the IIP leaves the surface of the Earth, whichever is shorter, for an orbital launch vehicle; and ending with an impact dispersion area for a guided sub-orbital launch vehicle.
E,F,G coordinate system means an orthogonal, Earth-fixed, geocentric, right-handed system. The origin of the coordinate system is at the center of an ellipsoidal Earth model. The E-axis is positive directed through the Greenwich meridian. The F-axis is positive directed though 90 degrees east longitude. The EF-plane is coincident with the ellipsoidal Earth model's equatorial plane. The G-axis is normal to the EF-plane and positive directed through the north pole.
E,N,U coordinate system means an orthogonal, Earth-fixed, topocentric, right-handed system. The origin of the coordinate system is at a launch point. The E-axis is positive directed east. The N-axis is positive directed north. The EN-plane is tangent to an ellipsoidal Earth model's surface at the origin and perpendicular to the geodetic vertical. The U-axis is normal to the EN-plane and positive directed away from the Earth.
Effective casualty area (A
Energetic liquid means a liquid, slurry, or gel, consisting of, or containing an explosive, oxidizer, fuel, or combination of the above, that may undergo, contribute to, or cause rapid exothermic decomposition, deflagration, or detonation.
Explosive means any chemical compound or mechanical mixture that, when subjected to heat, impact, friction, detonation or other suitable initiation, undergoes a rapid chemical change that releases large volumes of highly heated gases that exert pressure in the surrounding medium. The term applies to materials that either detonate or deflagrate.
Explosive division means the division within hazard class 1 of an explosive as defined in the United Nations Organization classification system for transport of dangerous goods, and as determined in accordance with 49 CFR part 173, subpart C.
Explosive equivalent means a measure of the blast effects from explosion of a given quantity of material expressed in terms of the weight of trinitrotoluene (TNT) that would produce the same blast effects when detonated.
Explosive hazard facility means a facility or location at a launch site where solid propellants, energetic liquids, or other explosives are stored or handled.
Flight azimuth means the initial direction in which a launch vehicle flies relative to true north expressed in degrees-decimal-degrees.
Flight corridor means an area on the Earth's surface estimated to contain the hazardous debris from nominal flight of a launch vehicle, and non-nominal flight of a launch vehicle assuming a perfectly functioning flight termination system or other flight safety system.
Guided suborbital launch vehicle means a suborbital rocket that employs an active guidance system.
Hazard class means the class of an explosive as defined by the United Nations Organization classification system for transport of dangerous goods, and as determined in accordance with 49 CFR part 173, subpart C.
Impact dispersion area means an area representing an estimated three standard deviation dispersion about a nominal impact point of an intermediate or final stage of a suborbital launch vehicle.
Impact dispersion factor means a constant used to estimate, using a stage apogee, a three standard deviation dispersion about a nominal impact point of an intermediate or final stage of a suborbital launch vehicle.
Impact dispersion radius (R
Impact range means the distance between a launch point and the impact point of a suborbital launch vehicle stage.
Impact range factor means a constant used to estimate, when multiplied by a stage apogee, the nominal impact point of an intermediate or final stage of a suborbital launch vehicle.
Instantaneous impact point (IIP) means an impact point, following thrust termination of a launch vehicle. IIP may be calculated with or without atmospheric drag effects
Intraline distance means the minimum distance permitted between any two explosive hazard facilities in the ownership, possession or control of one launch site customer.
Launch area means, for a flight corridor defined in accordance with appendix A of this part, the portion of a flight corridor from the launch point to a point 100 nautical miles in the direction of the flight azimuth. For a flight corridor defined in accordance with appendix B of this part, a launch area is the portion of a flight corridor from the launch point to the enveloping line enclosing the outer boundary of the last debris dispersion circle.
Launch point means a point on the Earth from which the flight of a launch vehicle begins, and is defined by its geodetic latitude, longitude and height on an ellipsoidal Earth model.
Liquid propellant means:
(1) A monopropellant on a launch vehicle or related device; or
(2) Incompatible energetic liquids co-located for purposes of serving as propellants on a launch vehicle or a related device where the incompatible energetic liquids are housed in tanks connected by piping for purposes of mixing.
Maximum credible event means a hypothesized worst-case accidental explosion, fire, or agent release that is likely to occur from a given quantity and disposition of explosives, chemical agents, or reactive material.
Net explosive weight (NEW) means the total weight, expressed in pounds, of explosive material or explosive equivalency contained in an item.
Nominal means, in reference to launch vehicle performance, trajectory, or stage impact point, a launch vehicle flight where all launch vehicle aerodynamic parameters are as expected, all vehicle internal and external systems perform as planned, and there are no external perturbing influences (e.g., winds) other than atmospheric drag and gravity.
Overflight dwell time means the period of time it takes for a launch vehicle's IIP to move past a populated area. For a given populated area, the overflight dwell time is the time period measured along the nominal trajectory IIP ground trace from the time point whose normal with the trajectory intersects the most uprange part of the populated area to the time point whose normal with the trajectory intersects the most downrange part of the populated area.
Overflight exclusion zone means a portion of a flight corridor which must remain clear of the public during the flight of a launch vehicle.
Populated area means a land area with population.
Population density means the number of people per unit area in a populated area.
Position data means data referring to the current position of a launch vehicle with respect to flight time expressed through the X, Y, Z coordinate system.
Public area means any area outside a hazard area and is an area that is not in the possession, ownership or other control of a launch site operator or of a launch site customer who possesses, owns or otherwise controls that hazard area.
Public area distance means the minimum distance permitted between a public area and an explosive hazard facility.
Public traffic route means any highway or railroad that the general public may use.
Public traffic route distance means the minimum distance permitted between a public highway or railroad line and an explosive hazard facility.
Trajectory means the position and velocity components as a function of time of a launch vehicle relative to an x, y, z coordinate system, expressed in x, y, z, x
Unguided sub-orbital launch vehicle means a sub-orbital rocket that does not have a guidance system.
X, Y, Z coordinate system means an orthogonal, Earth-fixed, topocentric, right-handed system. The origin of the coordinate system is at a launch point. The x-axis coincides with the initial launch azimuth and is positive in the downrange direction. The y-axis is positive to the left looking downrange. The xy-plane is tangent to the ellipsoidal earth model's surface at the origin and perpendicular to the geodetic vertical. The z-axis is normal to the xy-plane and positive directed away from the earth.
φ
(a) General—(1) Launch site operator. An applicant shall identify the name and address of the applicant, and the name, address, and telephone number of any person to whom inquiries and correspondence should be directed.
(2) Launch site. An applicant shall provide the name and location of the proposed launch site and include the following information:
(i) A list of downrange equipment;
(ii) A description of the layout of the launch site, including launch points;
(iii) The types of launch vehicles to be supported at each launch point;
(iv) The range of launch azimuths planned from each launch point; and
(v) The scheduled operational date.
(3) Foreign ownership. Identify foreign ownership of the applicant, as follows:
(i) For a sole proprietorship or partnership, all foreign owners or partners;
(ii) For a corporation, any foreign ownership interest of 10 percent or more; and
(iii) For a joint venture, association, or other entity, any foreign entities participating in the entity.
(b) Environmental. The FAA is responsible for complying with the procedures and policies of the National Environmental Policy Act (NEPA) and other applicable environmental laws, regulations, and Executive Orders prior to issuing a launch site license. An applicant must provide the FAA with information needed to comply with such requirements. The FAA will consider and document the potential environmental effects associated with issuing a launch site license.
(1) Environmental impact statement or environmental assessment. When directed by the FAA, an applicant must—
(i) Prepare an Environmental Assessment with FAA oversight;
(ii) Assume financial responsibility for preparation of an Environmental Impact Statement by an FAA-selected and -managed consultant contractor; or
(iii) Submit information to support a written re-evaluation of a previously submitted Environmental Assessment or Environmental Impact Statement when requested by the FAA.
(2) Categorical exclusion. The FAA may determine that a categorical exclusion is appropriate upon receipt of supporting information from an applicant.
(3) Environmental information. An application must include an approved FAA Environmental Assessment, Environmental Impact Statement, categorical exclusion determination, or written re-evaluation covering all planned licensed activities in compliance with NEPA and the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA.
(c) Launch site location. (1) Except as provided by paragraph (c)(2) of this section, an applicant shall provide the information necessary to demonstrate compliance with §§ 420.19-420.29.
(2) An applicant who is proposing to locate a launch site at an existing launch point at a federal launch range is not required to comply with paragraph (c)(1) of this section if a launch vehicle of the same type and class as proposed for the launch point has been safely launched from the launch point.
(d) Explosive site plan. (1) Except as provided by paragraph (d)(2) of this section, an applicant shall submit an explosive site plan that complies with §§ 420.63, 420.65, 420.67, and 420.69.
(2) If an applicant plans to operate a launch site located on a federal launch range, and if the applicant is required by the federal launch range to comply with the federal launch range's explosive safety requirements, the applicant shall submit the explosive site plan submitted to the federal launch range.
(e) Launch site operations. An applicant shall provide the information necessary to demonstrate compliance with the requirements of §§ 420.53, 420.55, 420.57, 420.59, 420.61, and 420.71.
(a) The FAA will issue a license under this part when the FAA determines that:
(1) The application provides the information required by § 420.15;
(2) The FAA has completed an analysis of the environmental impacts associated with the proposed operation of the launch site, in accordance with NEPA, 40 CFR parts 1500-1508, and FAA Order 1050.1D;
(3) The launch site location meets the requirements of §§ 420.19, 420.21, 420.23, 420.25, 420.27, and 420.29;
(4) The applicant has completed the agreements required by § 420.31;
(5) The application demonstrates that the applicant shall satisfy the requirements of §§ 420.53, 420.55, 420.57, 420.59, 420.61 and 420.71;
(6) The explosive site plan meets the criteria of §§ 420.63, 420.65, 420.67 and 420.69; and
(7) Issuing a license would not jeopardize foreign policy or national security interests of the United States.
(b) The FAA advises an applicant, in writing, of any issue arising during an application review that would lead to denial. The applicant may respond in writing, submit additional information, or amend its license application.
(a) To gain approval for a launch site location, an applicant shall demonstrate that for each launch point proposed for the launch site, at least one type of expendable or reusable launch vehicle can be flown from the launch point safely. For purposes of the launch site location review:
(1) A safe launch must possess a risk level estimated, in accordance with the requirements of this part, not to exceed an expected number of 1 × 10
(2) Types of launch vehicles include orbital expendable launch vehicles, guided sub-orbital expendable launch vehicles, unguided sub-orbital expendable launch vehicles, and reusable launch vehicles. Orbital expendable launch vehicles are further classified by weight class, based on the weight of payload the launch vehicle can place in a 100-nm orbit, as defined in table 1.
(b) If an applicant proposes to have more than one type of launch vehicle flown from a launch point, the applicant shall demonstrate that each type of expendable or reusable launch vehicle planned to be flown from the launch point can be flown from the launch point safely.
(c) If an applicant proposes to have more than one weight class of orbital expendable launch vehicles flown from a launch point, the applicant shall demonstrate that the heaviest weight class planned to be flown from the launch point can be flown from the launch point safely.
Table 1 of § 420.19—Orbital Expendable Launch Vehicle Classes by Payload Weight (lbs)
| 100 nm orbit | Weight class | |||
|---|---|---|---|---|
| Small | Medium | Medium large | Large | |
| 28 degrees inclination * | ≤4400 | >4400 to ≤11100 | >11100 to ≤18500 | >18500 |
| 90 degrees inclination | ≤3300 | >3300 to ≤8400 | >8400 to ≤15000 | >15000 |
* 28 degrees inclination orbit from a launch point at 28 degrees latitude.
(a) The distance from any proposed launch point to the closest launch site boundary must be at least as great as the debris dispersion radius of the largest launch vehicle type and weight class proposed for the launch point.
(b) For a launch site supporting any expendable launch vehicle, an applicant shall use the largest distance provided by table 2 for the type and weight class of any launch vehicle proposed for the launch point.
(c) For a launch site supporting any reusable launch vehicle, an applicant shall determine the debris dispersion radius that represents the maximum distance from a launch point that debris travels given a worst-case launch vehicle failure in the launch area. An applicant must clearly and convincingly demonstrate the validity of its proposed debris dispersion radius.
Table 2 of § 420.21—Minimum Distance From Launch Point to Launch Site Boundary (feet)
| Orbital expendable launch vehicle class | Type of suborbital launch vehicle | ||||
|---|---|---|---|---|---|
| Small | Medium | Medium large | Large | Guided | Unguided |
| 7300 | 9300 | 10600 | 13000 | 8000 | 1600 |
(a) Guided orbital expendable launch vehicle. For a guided orbital expendable launch vehicle, an applicant shall define a flight corridor that:
(1) Encompasses an area that the applicant estimates, in accordance with the requirements of this part, to contain debris with a ballistic coefficient of ≥3 pounds per square foot, from any non-nominal flight of a guided orbital expendable launch vehicle from the launch point to a point 5000 nm downrange, or where the IIP leaves the surface of the Earth, whichever is shorter;
(2) Includes an overflight exclusion zone where the public risk criteria of 1 × 10
(3) Uses one of the methodologies provided in appendix A or B of this part.
(b) Guided sub-orbital expendable launch vehicle. For a guided sub-orbital expendable launch vehicle, an applicant shall define a flight corridor that:
(1) Encompasses an area that the applicant estimates, in accordance with the requirements of this part, to contain debris with a ballistic coefficient of ≥3 pounds per square foot, from any non-nominal flight of a guided sub-orbital expendable launch vehicle from the launch point to impact with the earth's surface;
(2) Includes an impact dispersion area for the launch vehicle's last stage;
(3) Includes an overflight exclusion zone where the public risk criteria of 1 × 10
(4) Uses one of the methodologies provided in appendix A or B to this part.
(c) Unguided sub-orbital expendable launch vehicle. (1) For an unguided sub-orbital expendable launch vehicle, an applicant shall define the following using the methodology provided by appendix D of this part:
(i) Impact dispersion areas that the applicant estimates, in accordance with the requirements of this part, to contain the impact of launch vehicle stages from nominal flight of an unguided sub-orbital expendable launch vehicle from the launch point to impact with the earth's surface; and
(ii) An overflight exclusion zone where the public risk criteria of 1 × 10
(2) An applicant shall base its analysis on an unguided suborbital launch vehicle whose final launch vehicle stage apogee represents the intended use of the launch point.
(d) Reusable launch vehicle. For a reusable launch vehicle, an applicant shall define a flight corridor that contains the hazardous debris from nominal and non-nominal flight of a reusable launch vehicle. The applicant must provide a clear and convincing demonstration of the validity of its flight corridor.
(a) If a flight corridor or impact dispersion area defined by § 420.23 contains a populated area, the applicant shall estimate the casualty expectation associated with the flight corridor or impact dispersion area. An applicant shall use the methodology provided in appendix C to this part for guided orbital or suborbital expendable launch vehicles and appendix D for unguided suborbital launch vehicles.
(b) For licensed launches, the FAA will not approve the location of the proposed launch point if the estimated expected casualty exceeds 1 × 10
An applicant shall provide the following launch site location review information in its application:
(a) A map or maps showing the location of each launch point proposed, and the flight azimuth, IIP, flight corridor, and each impact range and impact dispersion area for each launch point;
(b) Each launch vehicle type and any launch vehicle class proposed for each launch point;
(c) Trajectory data;
(d) Wind data, including each month and any percent wind data used in the analysis;
(e) Any launch vehicle apogee used in the analysis;
(f) Each populated area located within a flight corridor or impact dispersion area;
(g) The estimated casualty expectancy calculated for each populated area within a flight corridor or impact dispersion area;
(h) The effective casualty areas used in the analysis;
(i) The estimated casualty expectancy for each flight corridor or set of impact dispersion areas; and
(j) If populated areas are located within an overflight exclusion zone, a demonstration that there are times when the public is not present or that the applicant has an agreement in place to evacuate the public from the overflight exclusion zone during a launch.
An applicant for a license to operate a launch site for an unproven launch vehicle shall provide a clear and convincing demonstration that its proposed launch site location provides an equivalent level of safety to that required by this part.
If an applicant plans to use its proposed launch site solely for launches conducted under an experimental permit, the FAA will approve a launch site location if the FAA has approved an operating area under part 437 for launches from that site.
(a) Except as provided by paragraph (c) of this section, an applicant shall complete an agreement with the local U.S. Coast Guard district to establish procedures for the issuance of a Notice to Mariners prior to a launch and other such measures as the Coast Guard deems necessary to protect public health and safety.
(b) Except as provided by paragraph (c) of this section, an applicant shall complete an agreement with the FAA Air Traffic Control (ATC) office having jurisdiction over the airspace through which launches will take place, to establish procedures for the issuance of a Notice to Airmen prior to a launch and for closing of air routes during the launch window and other such measures as the FAA ATC office deems necessary to protect public health and safety.
(c) An applicant that plans to operate a launch site located on a federal launch range does not have to comply with section 420.31 if the applicant is using existing federal launch range agreements with the U.S. Coast Guard and the FAA ATC office having jurisdiction over the airspace through which launches will take place.
(a) A license to operate a launch site authorizes a licensee to operate a launch site in accordance with the representations contained in the licensee's application, with terms and conditions contained in any license order accompanying the license, and subject to the licensee's compliance with 51 U.S.C. Subtitle V, chapter 509 and this chapter.
(b) A license to operate a launch site authorizes a licensee to offer its launch site to a launch operator for each launch point for the type and any weight class of launch vehicle identified in the license application and upon which the licensing determination is based.
(c) Issuance of a license to operate a launch site does not relieve a licensee of its obligation to comply with any other laws or regulations; nor does it confer any proprietary, property, or exclusive right in the use of airspace or outer space.
A license to operate a launch site remains in effect for five years from the date of issuance unless surrendered, suspended, or revoked before the expiration of the term and is renewable upon application by the licensee.
(a) Only the FAA may transfer a license to operate a launch site.
(b) The FAA will transfer a license to an applicant who has submitted an application in accordance with 14 CFR part 413, satisfied the requirements of § 420.15, and obtained each approval required by § 420.17 for a license.
(c) The FAA may incorporate by reference any findings made part of the record that supported a prior related licensing determination.
(a) Upon application or upon its own initiative, the FAA may modify a license to operate a launch site at any time by issuing a license order that adds, removes, or modifies a license term or condition to ensure compliance with the Act and the requirements of this chapter.
(b) After a license to operate a launch site has been issued, a licensee shall apply to the FAA for modification of its license if:
(1) The licensee proposes to operate the launch site in a manner that is not authorized by the license; or
(2) The licensee proposes to operate the launch site in a manner that would make any representation contained in the license application that is material to public health and safety or safety of property no longer accurate and complete.
(c) An application to modify a license shall be prepared and submitted in accordance with part 413 of this chapter. The licensee shall indicate any part of its license or license application that would be changed or affected by a proposed modification.
(d) The FAA approves a modification request that satisfies the requirements of this part.
(e) Upon approval of a license modification, the FAA issues either a written approval to the licensee or a license order modifying the license if a stated term or condition of the license is changed, added, or deleted. A written approval has the full force and effect of a license order and is part of the licensing record.
A licensee shall allow access by and cooperate with federal officers or employees or other individuals authorized by the FAA to observe any activities of the licensee, its customers, its contractors, or subcontractors, associated with licensed operation of the licensee's launch site.
A licensee must operate its launch site in accordance with the representations in its application.
(a) A licensee shall prevent unauthorized access to the launch site, and unauthorized, unescorted access to explosive hazard facilities or other hazard areas not otherwise controlled by a launch operator, through the use of security personnel, surveillance systems, physical barriers, or other means approved as part of the licensing process.
(b) A licensee shall notify anyone entering the launch site of safety rules and emergency and evacuation procedures prior to that person's entry unless that person has received a briefing on those rules and procedures within the previous year.
(c) A licensee shall employ warning signals or alarms to notify any persons at the launch site of any emergency.
(a) A licensee shall develop and implement procedures to schedule operations to ensure that each operation carried out by a customer at the launch site does not create the potential for a mishap that could result in harm to the public because of the proximity of the operations, in time or place, to operations of any other customer. A customer includes any launch operator, and any contractor, subcontractor or customer of the launch site operator's customer at the launch site.
(b) A licensee shall provide its launch site scheduling requirements to each customer before the customer begins operations at the launch site.
(a) A licensee shall notify each launch operator and any other customer of any limitations on the use of the launch site. A licensee shall also communicate limitations on the use of facilities provided to customers by the launch site operator.
(b) A licensee shall maintain its agreement, made in accordance with § 420.31(a), with the local U.S. Coast Guard district.
(c) A licensee shall maintain its agreement, made in accordance with § 420.31(b), with the FAA ATC office having jurisdiction over the airspace through which launches will take place.
(d) At least 2 days prior to flight of a launch vehicle, unless the Administrator agrees to a different time frame in accordance with § 404.15, the licensee must notify local officials and all owners of land adjacent to the launch site of the flight schedule.
(a) General. A licensee must report, respond to, and investigate any event that meets either paragraph (1) or (5) of the definition of “mishap” in § 401.7 of this chapter. A licensee must submit a mishap plan that meets the requirements of § 450.173(b) through (f).
(b) Launch mishaps. A launch site operator's mishap plan must also contain procedures for participating in an investigation of a launch mishap for launches launched from the launch site.
(c) Other agency procedures. Emergency response and investigation procedures developed in accordance with 29 CFR 1910.119 and 40 CFR part 68 will satisfy the requirements of § 450.173(d) and (e) to the extent that they include the elements required by § 450.173(d) and (e).
(a) A licensee shall maintain all records, data, and other material needed to verify that its operations are conducted in accordance with representations contained in the licensee's application. A licensee shall retain records for three years.
(b) For any event that meets any of paragraph (1), (5), or (8) of the definition of “mishap” in § 401.7 of this chapter, a licensee must preserve all records related to the event. Records must be retained until completion of any Federal investigation and the FAA advises the licensee that the records need not be retained.
(c) A licensee shall make available to federal officials for inspection and copying all records required to be maintained under the regulations.
(a) Except as otherwise provided by paragraph (b) of this section, a licensee must ensure the configuration of the launch site follows its explosive site plan, and the licensee's explosive site plan complies with the requirements of §§ 420.65 through 420.70. The explosive site plan must include:
(1) A scaled map that shows the location of all explosive hazard facilities at the launch site and that shows actual and minimal allowable distances between each explosive hazard facility and all other explosive hazard facilities, each public traffic route, and each public area, including the launch site boundary;
(2) A list of the maximum quantity of energetic liquids, solid propellants and other explosives to be located at each explosive hazard facility, including explosive class and division;
(3) A description of each activity to be conducted at each explosive hazard facility; and
(4) An explosive site map using a scale sufficient to show whether distances and structural relationships satisfy the requirements of this part.
(b) A licensee operating a launch site located on a federal launch range does not have to comply with the requirements in §§ 420.65 through 420.70 if the licensee complies with the federal launch range's explosive safety requirements.
(c) For explosive siting issues not addressed by the requirements of §§ 420.65 through 420.70, a launch site operator must clearly and convincingly demonstrate a level of safety equivalent to that otherwise required by this part.
(d) A launch site operator may separate an explosive hazard facility from another explosive hazard facility, public area, or public traffic route by a distance different from one required by this part only if the launch site operator clearly and convincingly demonstrates a level of safety equivalent to that required by this part.
(a) Quantity. For each explosive hazard facility, a launch site operator must determine the total quantity of division 1.1 and 1.3 explosives as follows:
(1) A launch site operator must determine the maximum total quantity of division 1.1 and 1.3 explosives by class and division, in accordance with 49 CFR part 173, Subpart C, to be located in each explosive hazard facility where division 1.1 and 1.3 explosives will be handled.
(2) When division 1.1 and 1.3 explosives are located in the same explosive hazard facility, the total quantity of explosive must be treated as division 1.1 for determining separation distances; or, a launch site operator may add the net explosive weight of the division 1.3 items to the net explosive weight of division 1.1 items to determine the total quantity of explosives.
(b) Separation of division 1.1 and 1.3 explosives and determination of distances. A launch site operator must separate each explosive hazard facility where division 1.1 and 1.3 explosives are handled from all other explosive hazard facilities, all public traffic routes, and each public area, including the launch site boundary, by a distance no less than that provided for each quantity and explosive division in appendix E of this part as follows:
(1) For division 1.1 explosives, the launch site operator must use tables E-1, E-2, and E-3 of appendix E of this part to determine the distance to each public area and public traffic route, and to determine each intraline distance.
(2) For division 1.3 explosives, the launch site operator must use table E-4 of appendix E of this part to determine the distance to each public area and public traffic route, and to determine each intraline distance.
(c) Separation distance by weight and table. A launch site operator must:
(1) Employ no less than the public area distance, calculated under paragraph (b) of this section, to separate an explosive hazard facility from each public area, including the launch site boundary.
(2) Employ no less than an intraline distance to separate an explosive hazard facility from all other explosive hazard facilities used by a single customer. For explosive hazard facilities used by different customers a launch site operator must use the greater public area distance to separate the facilities from each other.
(3) Separate each public area containing any member of the public in the open by a distance equal to −1133.9 + [389 *ln(NEW)], where the NEW is greater than 450 pounds and less than 501,500 pounds.
(d) NEW Quantities that Fall between Table Entries. A launch site operator must, when determining a separation distance for NEW quantities that fall between table entries, use the equation provided by tables E-1, E-3, or E-4 of appendix E of this part.
(e) Calculating Maximum Permissible NEW Given a Distance. A launch site operator must, when determining a permissible quantity of explosives, calculate maximum permissible NEW using the equation of tables E-1, E-3, or E-4 of appendix E of this part.
(a) Separation of energetic liquids and determination of distances. A launch site operator must separate each explosive hazard facility from each other explosive hazard facility, each public area, and each public traffic route in accordance with the minimum separation distance determined under this section for each explosive hazard facility storing:
(1) Hydrogen peroxide in concentrations of greater than 91 percent;
(2) Hydrazine;
(3) Liquid hydrogen; or
(4) Any energetic liquid that is:
(i) Incompatible with any of the energetic liquids of paragraph (a)(1) through (3) of this section; and
(ii) Stored within an intraline distance of any of them.
(b) Quantity. For each explosive hazard facility, a launch site operator must determine the total quantity of all energetic liquids in paragraph (a)(1) through (4) of this section as follows:
(1) The quantity of energetic liquid in a tank, drum, cylinder, or other container is the net weight in pounds of the energetic liquid in the container. The determination of quantity must include any energetic liquid in associated piping to any point where positive means exist for:
(i) Interrupting the flow through the pipe, or
(ii) Interrupting a reaction in the pipe in the event of a mishap.
(2) A launch site operator must convert the quantity of each energetic liquid from gallons to pounds using the conversion factors provided in table E-6 of appendix E of this part and the following equation:
(3) Where two or more containers of compatible energetic liquids are stored in the same explosive hazard facility, the total quantity of energetic liquids is the total quantity of energetic liquids in all containers, unless:
(i) The containers are each separated from each other by the distance required by paragraph (c) of this section; or
(ii) The containers are subdivided by intervening barriers that prevent mixing, such as diking.
(4) Where two or more containers of incompatible energetic liquids are stored within an intraline distance of each other, paragraph (d) of this section applies.
(c) Determination of separation distances for compatible energetic liquids. A launch site operator must determine separation distances for compatible energetic liquids as follows:
(1) To determine each intraline, public area, and public traffic route distance, a launch site operator must use the following tables in appendix E of this part:
(i) Table E-7 for hydrogen peroxide in concentrations of greater than 91 percent; and
(ii) Table E-8 for hydrazine and liquid hydrogen.
(2) For liquid hydrogen and hydrazine, a launch site operator must use the “intraline distance to compatible energetic liquids” for the energetic liquid that requires the greater distance under table E-8 of appendix E of this part as the minimum separation distance between compatible energetic liquids.
(d) Determination of separation distances for incompatible energetic liquids. If incompatible energetic liquids are stored within an intraline distance of each other, a launch site operator must determine the explosive equivalent in pounds of the combined liquids as provided by paragraph (d)(2) of this section unless intervening barriers prevent mixing.
(1) If intervening barriers prevent mixing, a launch site operator must separate the incompatible energetic liquids by no less than the intraline distance that tables E-7 and E-8 of appendix E of this part apply to compatible energetic liquids using the quantity or energetic liquid requiring the greater separation distance.
(2) A launch site operator must use the formulas provided in table E-5 of appendix E of this part, to determine the explosive equivalent in pounds of the combined incompatible energetic liquids. A launch site operator must then use the explosive equivalent in pounds requiring the greatest separation distance to determine the minimum separation distance between each explosive hazard facility and all other explosive hazard facilities and each public area and public traffic route as required by tables E-1, E-2 and E-3 of appendix E of this part.
(a) Separation of energetic liquids and determination of distances. Where incompatible energetic liquids are co-located in a launch or reentry vehicle tank or other vessel, a launch site operator must separate each explosive hazard facility from each other explosive hazard facility, each public area, and each public traffic route in accordance with the minimum separation distance determined under this section for each explosive hazard facility.
(b) Quantity. For each explosive hazard facility, a launch site operator must determine the total quantity of all energetic liquids as follows:
(1) The quantity of energetic liquid in a launch or reentry vehicle tank is the net weight in pounds of the energetic liquid. The determination of quantity must include any energetic liquid in associated piping to any point where positive means exist for:
(i) Interrupting the flow through the pipe; or
(ii) Interrupting a reaction in the pipe in the event of a mishap.
(2) A launch site operator must convert each energetic liquid's quantity from gallons to pounds using the conversion factors provided by table E-6 of appendix E of this part and the following equation:
(c) Determination of separation distances for incompatible energetic liquids. A launch site operator must determine separation distances for incompatible energetic liquids as follows:
(1) A launch site operator must use the formulas provided in table E-5 of appendix E of this part, to determine the explosive equivalent in pounds of the combined incompatible energetic liquids; and
(2) A launch site operator must then use the explosive equivalent in pounds to determine the minimum separation distance between each explosive hazard facility and all other explosive hazard facilities and each public area and public traffic route as required by tables E-1, E-2 and E-3 of appendix E of this part. Where two explosive hazard facilities contain different quantities, the launch site operator must use the quantity of liquid propellant requiring the greatest separation distance to determine the minimum separation distance between the two explosive hazard facilities.
(d) Separation distance by weight and table. For each explosive hazard facility, a launch site operator must:
(1) For an explosive equivalent weight from one pound through and including 450 pounds, determine the distance to any public area and public traffic route following table E-1 of appendix E of this part;
(2) For explosive equivalent weight greater than 450 pounds, determine the distance to any public area and public traffic route following table E-2 of appendix E of this part;
(3) Separate each public area containing any member of the public in the open by a distance equal to −1133.9 + [389 *ln(NEW)], where the NEW is greater than 450 pounds and less than 501,500 pounds;
(4) Separate each explosive hazard facility from all other explosive hazard facilities of a single customer using the intraline distance provided by table E-3 of appendix E of this part; and
(5) For explosive hazard facilities used by different customers, use the greater public area distance to separate the facilities from each other.
(a) Separation of energetic liquids and explosives and determination of distances. A launch site operator must separate each explosive hazard facility from each other explosive hazard facility, each public traffic route, and each public area in accordance with the minimum separation distance determined under this section for each explosive hazard facility where division 1.1 and 1.3 explosives are co-located with liquid propellants. A launch site operator must determine each minimum separation distance from an explosive hazard facility where division 1.1 and 1.3 explosives and liquid propellants are to be located together, to each other explosive hazard facility, public traffic route, and public area as described in paragraphs (b) through (e) of this section.
(b) Liquid propellants and division 1.1 explosives located together. For liquid propellants and division 1.1 explosives located together, a launch site operator must:
(1) Determine the explosive equivalent weight of the liquid propellants by following § 420.67(c);
(2) Add the explosive equivalent weight of the liquid propellants and the net explosive weight of division 1.1 explosives to determine the combined net explosive weight;
(3) Use the combined net explosive weight to determine the distance to each public area, public traffic route, and each other explosive hazard facility by following tables E-1, E-2, and E-3 of appendix E of this part; and
(4) Separate each public area containing any member of the public in the open by a distance equal to −1133.9 + [389 *ln(NEW)], where the net explosive weight is greater than 450 pounds and less than 501,500 pounds.
(c) Liquid propellants and division 1.3 explosives located together. For liquid propellants and division 1.3 explosives located together, a launch site operator must separate each explosive hazard facility from each other explosive hazard facility, public area, and public traffic route using either of the following two methods:
(1) Method 1. (i) Determine the explosive equivalent weight of the liquid propellants by following § 420.67(c);
(ii) Add to the explosive equivalent weight of the liquid propellants, the net explosive weight of each division 1.3 explosive, treating division 1.3 explosives as division 1.1 explosives;
(iii) Use the combined net explosive weight to determine the minimum separation distance to each public area, public traffic route, and each other explosive hazard facility by following tables E-1, E-2, and E-3 of appendix E of this part; and
(iv) Separate each public area containing any member of the public in the open by a distance equal to −1133.9 + [389 *ln(NEW)], where the net explosive weight is greater than 450 pounds and less than 501,500 pounds.
(2) Method 2. (i) Determine the explosive equivalent weight of each liquid propellant by following § 420.67(c);
(ii) Add to the explosive equivalent weight of the liquid propellants, the net explosive weight of each division 1.3 explosive to determine the combined net explosive weight;
(iii) Use the combined net explosive weight to determine the minimum separation distance to each public area, public traffic route, and each other explosive hazard facility by following tables E-1, E-2, and E-3 of appendix E of this part; and
(iv) Separate each public area containing any member of the public in the open by a distance equal to −1133.9 + [389 *ln(NEW)], where the net explosive weight is greater than 450 pounds and less than 501,500 pounds.
(d) Liquid propellants and division 1.1 and 1.3 explosives located together. For liquid propellants and division 1.1 and 1.3 explosives located together, a launch site operator must:
(1) Determine the explosive equivalent weight of the liquid propellants by following § 420.67(c);
(2) Determine the total explosive quantity of each division 1.1 and 1.3 explosive by following § 420.65(a)(2);
(3) Add the explosive equivalent weight of the liquid propellants to the total explosive quantity of division 1.1 and 1.3 explosives together to determine the combined net explosive weight;
(4) Use the combined net explosive weight to determine the distance to each public area, public traffic route, and each other explosive hazard facility by following tables E-1, E-2, and E-3 of appendix E of this part; and
(5) Separate each public area containing any member of the public in the open by a distance equal to −1133.9 + [389 *ln(NEW)], where the net explosive weight is greater than 450 pounds and less than 501,500 pounds
(e) Use of maximum credible event analysis. If a launch site operator does not want to employ paragraphs (b), (c), or (d) of this section, the launch site operator must analyze the maximum credible event (MCE) or the worst case explosion expected to occur. If the MCE shows there will be no simultaneous explosion reaction of the liquid propellant tanks and the solid propellant motors, the minimum distance between the explosive hazard facility and all other explosive hazard facilities and public areas must be based on the MCE.
(a) This section applies to all measurements of distances performed under §§ 420.63 through 420.69.
(b) A launch site operator must measure each separation distance along straight lines. For large intervening topographical features such as hills, the launch site operator must measure over or around the feature, whichever is the shorter.
(c) A launch site operator must measure each minimum separation distance from the closest hazard source, such as a container, building, segment, or positive cut-off point in piping, in an explosive hazard facility. When measuring, a launch site operator must:
(1) For a public traffic route distance, measure from the nearest side of the public traffic route to the closest point of the hazard source; and
(2) For an intraline distance, measure from the nearest point of one hazard source to the nearest point of the next hazard source. The minimum separation distance must be the distance for the quantity of energetic liquids or net explosive weight that requires the greater distance.
(a) Lightning protection. A licensee shall ensure that the public is not exposed to hazards due to the initiation of explosives by lightning.
(1) Elements of a lighting protection system. Unless an explosive hazard facility meets the conditions of paragraph (a)(3) of this section, all explosive hazard facilities shall have a lightning protection system to ensure explosives are not initiated by lightning. A lightning protection system shall meet the requirements of this paragraph and include the following:
(i) Air terminal. An air terminal to intentionally attract a lightning strike.
(ii) Down conductor. A low impedance path connecting an air terminal to an earth electrode system.
(iii) Earth electrode system. An earth electrode system to dissipate the current from a lightning strike to ground.
(2) Bonding and surge protection. A lightning protection system must meet the requirements of this paragraph and include the following:
(i) Bonding. All metallic bodies shall be bonded to ensure that voltage potentials due to lightning are equal everywhere in the explosive hazard facility. Any fence within six feet of a lightning protection system shall have a bond across each gate and other discontinuations and shall be bonded to the lightning protection system. Railroad tracks that run within six feet of the lightning protection system shall be bonded to the lightning protection system.
(ii) Surge protection. A lightning protection system shall include surge protection to reduce transient voltages due to lightning to a harmless level for all metallic power, communication, and instrumentation lines entering an explosive hazard facility.
(3) Circumstances where no lightning protection system is required. No lightning protection system is required for an explosive hazard facility when a lightning warning system is available to permit termination of operations and withdrawal of the public to public area distance prior to an electrical storm, or for an explosive hazard facility containing explosives that cannot be initiated by lightning. If no lightning protection system is required, a licensee must ensure the withdrawal of the public to a public area distance prior to an electrical storm.
(4) Testing and inspection. Lightning protection systems shall be visually inspected semiannually and shall be tested once each year for electrical continuity and adequacy of grounding. A licensee shall maintain at the explosive hazard facility a record of results obtained from the tests, including any action taken to correct deficiencies noted.
(b) Electrical power lines. A licensee shall ensure that electric power lines at its launch site meet the following requirements:
(1) Electric power lines shall be no closer to an explosive hazard facility than the length of the lines between the poles or towers that support the lines unless an effective means is provided to ensure that energized lines cannot, on breaking, come in contact with the explosive hazard facility.
(2) Towers or poles supporting electrical distribution lines that carry between 15 and 69 KV, and unmanned electrical substations shall be no closer to an explosive hazard facility than the public area distance for that explosive hazard facility.
(3) Towers or poles supporting electrical transmission lines that carry 69 KV or more, shall be no closer to an explosive hazard facility than the public area distance for that explosive hazard facility.
(1) This appendix provides a method for constructing a flight corridor from a launch point for a guided suborbital launch vehicle or any one of the four classes of guided orbital launch vehicles from table 1, § 420.19, without the use of local meteorological data or a launch vehicle trajectory.
(2) A flight corridor includes an overflight exclusion zone in a launch area and, for a guided suborbital launch vehicle, an impact dispersion area in a downrange area. A flight corridor for a guided suborbital launch vehicle ends with the impact dispersion area, and, for the four classes of guided orbital launch vehicles, 5000 nautical miles (nm) from the launch point.
(1) Maps. An applicant shall use any map for the launch site region with a scale not less than 1:250,000 inches per inch in the launch area and 1:20,000,000 inches per inch in the downrange area. As described in paragraph (b)(2), an applicant shall use a mechanical method, a semi-automated method, or a fully-automated method to plot a flight corridor on maps. A source for paper maps acceptable to the FAA is the U.S. Dept. of Commerce, National Oceanic and Atmospheric Administration, National Ocean Service.
(i) Projections for mechanical plotting method. An applicant shall use a conic projection. The FAA will accept a “Lambert-Conformal” conic projection. A polar aspect of a plane-azimuthal projection may also be used for far northern launch sites.
(ii) Projections for semi-automated plotting method. An applicant shall use cylindrical, conic, or plane projections for semi-automated plotting. The FAA will accept “Mercator” and “Oblique Mercator” cylindrical projections. The FAA will accept “Lambert-Conformal” and “Albers Equal-Area” conic projections. The FAA will accept “Lambert Azimuthal Equal-Area” and “Azimuthal Equidistant” plane projections.
(iii) Projections for fully-automated plotting method. The FAA will accept map projections used by geographical information system software scaleable pursuant to the requirements of paragraph (b)(1).
(2) Plotting Methods.
(i) Mechanical method. An applicant may use mechanical drafting equipment such as pencil, straight edge, ruler, protractor, and compass to plot the location of a flight corridor on a map. The FAA will accept straight lines for distances less than or equal to 7.5 times the map scale on map scales greater than or equal to 1:1,000,000 inches per inch (in/in); or straight lines representing 100 nm or less on map scales less than 1:1,000,000 in/in.
(ii) Semi-automated method. An applicant may employ the range and bearing techniques in paragraph (b)(3) to create latitude and longitude points on a map. The FAA will accept straight lines for distances less than or equal to 7.5 times the map scale on map scales greater than or equal to 1:1,000,000 inches per inch (in/in); or straight lines representing 100 nm or less on map scales less than 1:1,000,000 in/in.
(iii) Fully-automated method. An applicant may use geographical information system software with global mapping data scaleable in accordance with paragraph (b)(1).
(3) Range and bearing computations on an ellipsoidal Earth model.
(i) To create latitude and longitude pairs on an ellipsoidal Earth model, an applicant shall use the following equations to calculate geodetic latitude (+N) and longitude (+E) given the launch point geodetic latitude (+N), longitude (+E), range (nm), and bearing (degrees, positive clockwise from North).
(A) Input. An applicant shall use the following input in making range and bearing computations. Angle units must be in radians.
(B) Computations. An applicant shall use the following equations to determine the latitude (φ
(ii) To create latitude and longitude pairs on an ellipsoidal Earth model, an applicant shall use the following equations to calculate the distance (S) of the geodesic between two points (P
(A) Input. An applicant shall use the following input. Units must be in radians.
(B) Computations. An applicant shall use the following equations to determine the distance (S), the forward azimuth (α
(1) To define a flight corridor, an applicant shall:
(i) Select a guided suborbital or orbital launch vehicle, and, for an orbital launch vehicle, select from table 1 of § 420.19 a launch vehicle weight class that best represents the launch vehicle the applicant plans to support at its launch point;
(ii) Select a debris dispersion radius (D
(iii) Select a launch point geodetic latitude and longitude; and
(iv) Select a flight azimuth.
(2) An applicant shall define and map an overflight exclusion zone using the following method:
(i) Select a debris dispersion radius (D
(ii) An overflight exclusion zone is described by the intersection of the following boundaries, which are depicted in figure A-1:
(A) An applicant shall define an uprange boundary with a half-circle arc of radius D
(B) An applicant shall define the downrange boundary with a half-circle arc of radius D
(C) Crossrange boundaries of an overflight exclusion zone are defined by two lines segments. Each is parallel to the flight azimuth with one to the left side and one to the right side of the flight azimuth line. Each line connects an uprange half-circle arc endpoint to a downrange half-circle arc endpoint as shown in figure A-1.
(iii) An applicant shall identify the overflight exclusion zone on a map that meets the requirements of paragraph (b).
(3) An applicant shall define and map a flight corridor using the following method:
(i) In accordance with paragraph (b), an applicant shall draw a flight corridor on one or more maps with the D
(ii) An applicant shall define the flight corridor using the following boundary definitions:
(A) An applicant shall draw an uprange boundary, which is defined by an arc-line GB (figure A-2), directly uprange from and centered on the intended launch point with radius D
(B) An applicant shall draw line CF perpendicular to and centered on the flight azimuth line, and positioned 10 nm downrange from the launch point. The applicant shall use the length of line CF provided in table A-3 corresponding to the guided suborbital launch vehicle or orbital launch vehicle class selected in paragraph (c)(1)(i).
(C) An applicant shall draw line DE perpendicular to and centered on the flight azimuth line, and positioned 100 nm downrange from the launch point. The applicant shall use the length of line DE provided in table A-3 corresponding to the guided suborbital launch vehicle or orbital launch vehicle class selected in paragraph (c)(1)(i).
(D) Except for a guided suborbital launch vehicle, an applicant shall draw a downrange boundary, which is defined by line HI and is drawn perpendicular to and centered on the flight azimuth line, and positioned 5,000 nm downrange from the launch point. The applicant shall use the length of line HI provided in table A-3 corresponding to the orbital launch vehicle class selected in paragraph (c)(1)(i).
(E) An applicant shall draw crossrange boundaries, which are defined by three lines on the left side and three lines on the right side of the flight azimuth. An applicant shall construct the left flight corridor boundary according to the following, and as depicted in figure A-3 :
(1) The first line (line BC in figure A-3) is tangent to the uprange boundary arc, and ends at endpoint C of line CF, as depicted in figure A-3;
(2) The second line (line CD in figure A-3) begins at endpoint C of line BC and ends at endpoint D of line DH, as depicted in figure A-3;
(3) For all orbital launch vehicles, the third line (line DH in figure A-3) begins at endpoint D of line CD and ends at endpoint H of line HI, as depicted in figure A-3; and
(4) For a guided suborbital launch vehicle, the line DH begins at endpoint D of line CD and ends at a point tangent to the impact dispersion area drawn in accordance with paragraph (c)(4) and as depicted in figure A-4.
(F) An applicant shall repeat the procedure in paragraph (c)(3)(ii)(E) for the right side boundary.
(iii) An applicant shall identify the flight corridor on a map that meets the requirements of paragraph (b).
(4) For a guided suborbital launch vehicle, an applicant shall define a final stage impact dispersion area as part of the flight corridor and show the impact dispersion area on a map, as depicted in figure A-4, in accordance with the following:
(i) An applicant shall select an apogee altitude (H
(ii) An applicant shall define the impact dispersion area by using an impact range factor [IP(H
(A) An applicant shall calculate the impact range (D) for the final launch vehicle stage. An applicant shall set D equal to the maximum apogee altitude (H
(B) An applicant shall calculate the impact dispersion radius (R) for the final launch vehicle stage. An applicant shall set R equal to the maximum apogee altitude (H
(iii) An applicant shall draw the impact dispersion area on a map with its center on the predicted impact point. An applicant shall then draw line DH in accordance with paragraph (c)(3)(ii)(E)(4).
(1) An applicant shall evaluate the flight corridor for the presence of any populated areas. If an applicant determines that no populated area is located within the flight corridor, then no additional steps are necessary.
(2) If a populated area is located in an overflight exclusion zone, an applicant may modify its proposal or demonstrate that there are times when no people are present or that the applicant has an agreement in place to evacuate the public from the overflight exclusion zone during a launch.
(3) If a populated area is located within the flight corridor, an applicant may modify its proposal and create another flight corridor pursuant to appendix A, use appendix B to narrow the flight corridor, or complete a risk analysis in accordance with appendix C.
Table A-1—Debris Dispersion Radius (D
| Orbital launch vehicles | Suborbital launch vehicles | |||
|---|---|---|---|---|
| Small | Medium | Medium large | Large | Guided |
| 87,600
(1.20 nm) | 111,600
(1.53 nm) | 127,200
(1.74 nm) | 156,000
(2.14 nm) | 96,000
(1.32 nm) |
Table A-2—Overflight Exclusion Zone Downrange Distance (D
| Orbital launch vehicles | Suborbital launch vehicles | |||
|---|---|---|---|---|
| Small | Medium | Medium large | Large | Guided |
| 240,500
(3.30 nm) | 253,000
(3.47 nm) | 310,300
(4.26 nm) | 937,700
(12.86 nm) | 232,100
(3.18 nm) |
(1) This appendix provides a method to construct a flight corridor from a launch point for a guided suborbital launch vehicle or any one of the four weight classes of guided orbital launch vehicles from table 1, § 420.19, using local meteorological data and a launch vehicle trajectory.
(2) A flight corridor is constructed in two sections—one section comprising a launch area and one section comprising a downrange area. The launch area of a flight corridor reflects the extent of launch vehicle debris impacts in the event of a launch vehicle failure and applying local meteorological conditions. The downrange area reflects the extent of launch vehicle debris impacts in the event of a launch vehicle failure and applying vehicle imparted velocity, malfunctions turns, and vehicle guidance and performance dispersions.
(3) A flight corridor includes an overflight exclusion zone in the launch area and, for a guided suborbital launch vehicle, an impact dispersion area in the downrange area. A flight corridor for a guided suborbital launch vehicle ends with an impact dispersion area and, for the four classes of guided orbital launch vehicles, 5,000 nautical miles (nm) from the launch point, or where the IIP leaves the surface of the Earth, whichever is shorter.
(1) Launch area data requirements. An applicant shall satisfy the following data requirements to perform the launch area analysis of this appendix. The data requirements are identified in table B-1 along with sources where data acceptable to the FAA may be obtained.
(i) An applicant must select meteorological data that meet the specifications in table B-1 for the proposed launch site.
Table B-1—Launch Area Data Requirements
| Data category | Data item | Data source |
|---|---|---|
| Meteorological Data | Local statistical wind data as a function of altitude up to 50,000 feet. Required data include: altitude (ft), atmospheric density (slugs/ft 3), mean East/West meridianal (u) and North/South zonal (v) wind (ft/sec), standard deviation of u and v wind (ft/sec), correlation coefficient, number of observations and wind percentile (%) | These data may be obtained from:
Global Gridded Upper Air Statistics, Climate Applications Branch National Climatic Data Center. |
| Nominal Trajectory Data | State vector data as function of time after liftoff in topocentric launch point centered X,Y,Z,X,Y,Z coordinates with the X-axis aligned with the flight azimuth. Trajectory time intervals shall not be greater than one second. XYZ units are in feet and X,Y,Z units are in ft/sec | Actual launch vehicle trajectory data; or trajectory generation software that meets the requirements of paragraph (b)(1)(ii). |
| Debris Data | A fixed ballistic coefficient equal to 3 lbs/ft 2 is used for the launch area | N/A. |
| Geographical Data | Launch point geodetic latitude on a WGS-84 ellipsoidal Earth model | Geographical surveys or Global Positioning System. |
| Launch point longitude on an ellipsoidal Earth model | ||
| Maps using scales of not less than 1:250,000 inches per inch within 100 nm of a launch point and 1:20,000,000 inches per inch for distances greater than 100 nm from a launch point | Map types with scale and projection information are listed in the Defense Mapping Agency, Public Sale, Aeronautical Charts and Publications Catalog. The catalog and maps may be ordered through the U.S. Dept. of Commerce, National Oceanic and Atmospheric Administration, National Ocean Service. |
(ii) For a guided orbital launch vehicle, an applicant shall obtain or create a launch vehicle nominal trajectory. An applicant may use trajectory data from a launch vehicle manufacturer or generate a trajectory using trajectory simulation software. Trajectory time intervals shall be no greater than one second. If an applicant uses a trajectory computed with commercially available software, the software must calculate the trajectory using the following parameters, or clearly and convincingly demonstrated equivalents:
(A) Launch location:
(1) Launch point, using geodetic latitude and longitude to four decimal places; and
(2) Launch point height above sea level.
(B) Ellipsoidal Earth:
(1) Mass of Earth;
(2) Radius of Earth;
(3) Earth flattening factor; and
(4) Gravitational harmonic constants (J2, J3, J4).
(C) Vehicle characteristics:
(1) Mass as a function of time;
(2) Thrust as a function of time;
(3) Specific impulse (I
(4) Stage dimensions.
(D) Launch events:
(1) Stage burn times; and
(2) Stage drop-off times.
(E) Atmosphere:
(1) Density as a function of altitude;
(2) Pressure as a function of altitude;
(3) Speed of sound as a function of altitude; and
(4) Temperature as a function of altitude.
(F) Winds:
(1) Wind direction as a function of altitude; and
(2) Wind magnitude as a function of altitude.
(I) Aerodynamics: drag coefficient as a function of mach number for each stage of flight showing subsonic, transonic and supersonic mach regions for each stage.
(iii) An applicant shall use a ballistic coefficient (β) of 3 lbs/ft
(iv) An applicant shall satisfy the map and plotting requirements for a launch area of appendix A, paragraph (b).
(2) Downrange area data requirements. An applicant shall satisfy the following data requirements to perform the downrange area analysis of this appendix.
(i) The launch vehicle weight class and method of generating a trajectory used in the launch area shall be used by an applicant in the downrange area as well. Trajectory time intervals must not be greater than one second.
(ii) An applicant shall satisfy the map and plotting data requirements for a downrange area of appendix A, paragraph (b).
(1) An applicant shall construct a launch area of a flight corridor using the processes and equations of this paragraph for each trajectory position. An applicant shall repeat these processes at time points on the launch vehicle trajectory for time intervals of no greater than one second. When choosing wind data, an applicant shall use a time period of between one and 12 months.
(2) A launch area analysis must include all trajectory positions whose Z-values are less than or equal to 50,000 ft.
(3) Each trajectory time is denoted by the subscript “i”. Height intervals for a given atmospheric pressure level are denoted by the subscript “j'.
(4) Using data from the GGUAS CD-ROM, an applicant shall estimate the mean atmospheric density, maximum wind speed, height interval fall times and height interval debris dispersions for 15 mean geometric height intervals.
(i) The height intervals in the GGUAS source data vary as a function of the following 15 atmospheric pressure levels expressed in millibars: surface, 1000, 850, 700, 500, 400, 300, 250, 200, 150, 100, 70, 50, 30, 10. The actual geometric height associated with each pressure level varies depending on the time of year. An applicant shall estimate the mean geometric height over the period of months selected in subparagraph (1) of this paragraph for each of the 15 pressure levels as shown in equation B1.
(ii) The atmospheric densities in the source data also vary as a function of the 15 atmospheric pressure levels. The actual atmospheric density associated with each pressure level varies depending on the time of year. An applicant shall estimate the mean atmospheric density over the period of months selected in accordance with subparagraph (1) of this paragraph for each of the 15 pressure levels as shown in equation B2.
(iii) An applicant shall estimate the algebraic maximum wind speed at a given pressure level as follows and shall repeat the process for each pressure level.
(A) For each month, an applicant shall calculate the monthly mean wind speed (W
(B) An applicant shall select the maximum monthly mean wind speed from the 360 azimuths;
(C) An applicant shall repeat subparagraphs (c)(4)(iii)(A) and (B) for each month of interest; and
(D) An applicant shall select the maximum mean wind speed from the range of months. The absolute value of this wind is designated W
(iv) An applicant shall calculate wind speed using the means for winds from the West (u) and winds from the North (v). An applicant shall use equation B3 to resolve the winds to a specific azimuth bearing.
(v) An applicant shall estimate the interval fall time over a height interval assuming the initial descent velocity is equal to the terminal velocity (V
(vi) An applicant shall estimate the interval debris dispersion (D
(5) Once the Dj are estimated for each height interval, an applicant shall determine the total debris dispersion (D
(6) Once all the D
(i) On a map meeting the requirements of appendix A, paragraph (b), an applicant shall plot the X
(ii) An applicant shall draw a circle of radius D
(iii) An applicant shall repeat the instructions in subparagraphs (c)(6)(i)-(ii) for each D
(iv) The launch area of a flight corridor is the enveloping line that encloses the outer boundary of the D
(7) An applicant shall define an overflight exclusion zone in the launch area in accordance with the requirements of appendix A, subparagraph (c)(2).
(8) An applicant shall draw the launch area flight corridor and overflight exclusion zone on a map or maps that meet the requirements of table B-1.
(d) Construction of a Downrange Area of a Flight Corridor
(1) The downrange area analysis estimates the debris dispersion for the downrange time points on a launch vehicle trajectory. An applicant shall perform the downrange area analysis using the processes and equations of this paragraph.
(2) The downrange area analysis shall include trajectory positions at a height (the Z
(3) An applicant shall compute the downrange area of a flight corridor boundary in four steps, from each trajectory time increment: determine a reduction ratio factor; calculate the launch vehicle position after simulating a malfunction turn; rotate the state vector after the malfunction turn in the range of three degrees to one degree as a function of X
(i) Compute the downrange Distance to the final IIP position for a nominal trajectory as follows:
(A) Using equations B30 through B69, determine the IIP coordinates (φ
(B) Using the range and bearing equations of appendix A, paragraph (b)(3), determine the distance (S
(C) The distance for S
(ii) Compute the reduction ratio factor (F
(A) Using equations B30 through B69, determine the IIP coordinates (φ
(B) Using the range and bearing equations of appendix A, paragraph (b)(3), determine the distance (S
(C) The reduction ratio factor is:
(iii) An applicant shall compute the launch vehicle position and velocity components after a simulated malfunction turn for each X
(A) Turn duration (Δt) = 4 sec.
(B) Turn angle (θ)
The turn angle equations perform a turn in the launch vehicle's yaw plane, as depicted in figure B-2.
(C) Launch vehicle velocity magnitude at the beginning of the turn (V
(D) Average velocity magnitude over the turn duration (V
(E) Velocity vector path angle (γ
(F) Launch vehicle position components at the end of turn duration
(G) Launch vehicle velocity components at the end of turn duration
(iv) An applicant shall rotate the trajectory state vector at the end of the turn duration to the right and left to define the right-lateral flight corridor boundary and the left-lateral flight corridor boundary, respectively. An applicant shall perform the trajectory rotation in conjunction with a trajectory transformation from the X
(A) An applicant must calculate the flight angle (α)
(B) An applicant shall transform X
(C) An applicant shall transform to X
(D) An applicant shall transform the launch point coordinates (φ
(E) An applicant shall transform E,N,U to E
(F) An applicant shall transform to E
(v) The IIP computation implements an iterative solution to the impact point problem. An applicant shall solve equations B46 through B69, with the appropriate substitutions, up to a maximum of five times. Each repetition of the equations provides a more accurate prediction of the IIP. An applicant shall use the required IIP computations of paragraphs (d)(3)(v)(A)-(W) below. An applicant shall use this IIP computation for both the left-and right-lateral offsets. The IIP computations will result in latitude and longitude pairs for the left-lateral flight corridor boundary and the right-lateral flight corridor boundary. An applicant shall use the lines connecting the latitude and longitude pairs to describe the entire downrange area boundary of the flight corridor up to 5000 nm or a final stage impact dispersion area.
(A) An applicant shall approximate the radial distance (r
(B) An applicant shall compute the radial distance (r) from the geocenter to the launch vehicle position.
If r <r
(C) An applicant shall compute the inertial velocity components.
(D) An applicant shall compute the magnitude of the inertial velocity vector.
(E) An applicant shall compute the eccentricity of the trajectory ellipse multiplied by the cosine of the eccentric anomaly at epoch ε
(F) An applicant shall compute the semi-major axis of the trajectory ellipse (a
If a
(G) An applicant shall compute the eccentricity of the trajectory ellipse multiplied by the sine of the eccentric anomaly at epoch ε
(H) An applicant shall compute the eccentricity of the trajectory ellipse squared ε
If a
(I) An applicant shall compute the eccentricity of the trajectory ellipse multiplied by the cosine of the eccentric anomaly at impact (ε
(J) An applicant shall compute the eccentricity of the trajectory ellipse multiplied by the sine of the eccentric anomaly at impact (ε
If ε
(K) An applicant shall compute the cosine of the difference between the eccentric anomaly at impact and the eccentric anomaly at epoch (Δε
(L) An applicant shall compute the sine of the difference between the eccentric anomaly at impact and the eccentric anomaly at epoch (Δε
(M) An applicant shall compute the f-series expansion of Kepler's equations.
(N) An applicant shall compute the g-series expansion of Kepler's equations.
(O) An applicant shall compute the E,F,G coordinates at impact (E
(P) An applicant shall approximate the distance from the geocenter to the launch vehicle position at impact (r
(Q) An applicant shall let r
(R) An applicant shall compute the difference between the eccentric anomaly at impact and the eccentric anomaly at epoch (Δε).
(S) An applicant shall compute the time of flight from epoch to impact (t).
(T) An applicant shall compute the geocentric latitude at impact (φ').
(U) An applicant shall compute the geodetic latitude at impact (φ).
(V) An applicant shall compute the East longitude at impact (λ).
(W) If the range from the launch point to the impact point is equal to or greater than 5000 nm, an applicant shall terminate IIP computations.
(4) For a guided suborbital launch vehicle, an applicant shall define a final stage impact dispersion area as part of the flight corridor and show the area on a map using the following procedure:
(i) For equation B70 below, an applicant shall use an apogee altitude (H
(ii) An applicant shall define the final stage impact dispersion area by using a dispersion factor [DISP(H
(5) An applicant shall combine the launch area and downrange area flight corridor and any final stage impact dispersion area for a guided suborbital launch vehicle.
(i) On the same map with the launch area flight corridor, an applicant shall plot the latitude and longitude positions of the left and right sides of the downrange area of the flight corridor calculated in accordance with subparagraph (d)(3).
(ii) An applicant shall connect the latitude and longitude positions of the left side of the downrange area of the flight corridor sequentially starting with the last IIP calculated on the left side and ending with the first IIP calculated on the left side. An applicant shall repeat this procedure for the right side.
(iii) An applicant shall connect the left sides of the launch area and downrange portions of the flight corridor. An applicant shall repeat this procedure for the right side.
(iv) An applicant shall plot the overflight exclusion zone defined in subparagraph (c)(7).
(v) An applicant shall draw any impact dispersion area on the downrange map with the center of the impact dispersion area on the launch vehicle final stage impact point obtained from the applicant's launch vehicle trajectory analysis done in accordance with subparagraph (b)(1)(ii).
(1) An applicant shall evaluate the flight corridor for the presence of populated areas. If no populated area is located within the flight corridor, then no additional steps are necessary.
(2) If a populated area is located in an overflight exclusion zone, an applicant may modify its proposal or demonstrate that there are times when no people are present or that the applicant has an agreement in place to evacuate the public from the overflight exclusion zone during a launch.
(3) If a populated area is located within the flight corridor, an applicant may modify its proposal or complete an overflight risk analysis in accordance with appendix C.
(1) This appendix provides a method for an applicant to estimate the expected casualty (E
(2) An applicant shall perform a risk analysis when a populated area is located within a flight corridor defined by either appendix A or appendix B. If the estimated expected casualty exceeds 1 × 10
(1) An applicant shall obtain the data specified by subparagraphs (b)(2) and (3) and summarized in table C-1. Table C-1 provides sources where an applicant may obtain data acceptable to the FAA. An applicant must also employ the flight corridor information from appendix A or B, including flight azimuth and, for an appendix B flight corridor, trajectory information.
(2) Population data. Total population (N) and the total landmass area within a populated area (A) are required. Population data up to and including 100 nm from the launch point are required at the U.S. census block group level. Population data downrange from 100 nm are required at no greater than 1° × 1° latitude/longitude grid coordinates.
(3) Launch vehicle data. Launch vehicle data consist of the launch vehicle failure probability (P
Table C-1—Overflight Analysis Data Requirements
| Data category | Data item | Data source |
|---|---|---|
| Population Data | Total population within a populated area (N) | Within 100 nm of the launch point: U.S. census data at the census block-group level. Downrange from 100 nm beyond the launch point, world population data are available from: |
| Total landmass area within the populated area (A) | Carbon Dioxide Information Analysis Center (CDIAC) Oak Ridge National Laboratory
Database—Global Population Distribution (1990), Terrestrial Area and Country Name Information on a One by One Degree Grid Cell Basis (DB1016 (8-1996) | |
| Launch Vehicle Data | Failure probability—P | N/A. |
| Effective casualty area (A | See table C-3. | |
| Overflight dwell time | Determined by range from the launch point or trajectory used by applicant. | |
| Nominal trajectory data (for an appendix B flight corridor only) | See appendix B, table B-1. |
(1) A corridor casualty expectation [E
(2) An applicant shall identify and locate each populated area in the proposed flight corridor.
(3) An applicant shall determine the probability of impact in each populated area using the procedures in subparagraphs (5) or (6) of this paragraph. Figures C-1 and C-2 illustrate an area considered for probability of impact (P
(4) The P
(5) Probability of impact (P
(i) For the launch and downrange areas, but not for a final stage impact dispersion area for a guided suborbital launch vehicle, an applicant shall compute P
Table C-2—IIP Range Rate vs. IIP Range
| IIP range
(nm) | IIP range rate
(nm/s) |
|---|---|
| 0-75 | 0.75 |
| 76-300 | 1.73 |
| 301-900 | 4.25 |
| 901-1700 | 8.85 |
| 1701-2600 | 19.75 |
| 2601-3500 | 42.45 |
| 3501-4500 | 84.85 |
| 4501-5250 | 154.95 |
(ii) For each populated area within a final stage impact dispersion area, an applicant shall compute P
(A) An applicant shall estimate the probability of final stage impact in the x and y sectors of each populated area within the final stage impact dispersion area using equations C2 and C3:
(B) If a populated area intersects the impact dispersion area boundary so that the x
(C) An applicant shall calculate the probability of impact for each populated area using equation C4 below:
(6) Probability of impact computations for a populated area in an appendix B flight corridor. An applicant shall compute P
(i) For the launch and downrange areas, but not for a final stage impact dispersion area for a guided suborbital launch vehicle, an applicant shall compute P
(ii) For each populated area within a final stage impact dispersion area, an applicant shall compute P
(A) An applicant shall estimate the probability of final stage impact in the x and y sectors of each populated area within the final stage impact dispersion area using equations C6 and C7:
(B) If a populated area intersects the impact dispersion area boundary so that the x
(C) An applicant shall calculate the probability of impact for each populated area using equation C8 below:
(7) Using the P
Table C-3—Effective Casualty Area (Miles 2) as a Function of IIP Range (NM)
| Orbital launch vehicles | Suborbital launch
vehicles | ||||
|---|---|---|---|---|---|
| Instantaneous impact point range (nautical miles) | Small | Medium | Medium large | Large | Guided |
| 0-49 | 3.14 × 10 | 1.28 × 10 | 4.71 × 10 | 8.59 × 10 | 4.3 × 10 |
| 50-1749 | 2.47 × 10 | 2.98 × 10 | 9.82 × 10 | 2.45 × 10 | 1.3 × 10 |
| 1750-5000 | 3.01 × 10 | 5.52 × 10 | 7.82 × 10 | 1.14 × 10 | 3.59 × 10 |
(8) An applicant shall estimate the total corridor risk using the following summation of risk:
(9) Alternative casualty expectancy (E
(i) Assume that P
(ii) Combine populated areas into one or more larger populated areas, and use a population density for the combined area or areas equal to the most densely populated area.
(iii) For any given populated area, assume P
(iv) For any given P
(v) For a given populated area, divide the populated area into smaller rectangles, determine P
(vi) For a given populated area, use the ratio of the populated area to the area of the P
(1) If the estimated expected casualty does not exceed 1 × 10
(2) If the estimated expected casualty exceeds 1 × 10
(1) This appendix provides a method for determining the acceptability of the location of a launch point from which an unguided suborbital launch vehicle would be launched. The appendix describes how to define an overflight exclusion zone and impact dispersion areas, and how to evaluate whether the public risk presented by the launch of an unguided suborbital launch vehicle remains at acceptable levels.
(2) An applicant shall base its analysis on an unguided suborbital launch vehicle whose final launch vehicle stage apogee represents the intended use of the launch point.
(3) An applicant shall use the apogee of each stage of an existing unguided suborbital launch vehicle with a final launch vehicle stage apogee equal to the one proposed, and calculate each impact range and dispersion area using the equations provided.
(4) This appendix also provides a method for performing an impact risk analysis that estimates the expected casualty (E
(5) If the estimated E
(1) An applicant shall employ the apogee of each stage of an existing unguided suborbital launch vehicle whose final stage apogee represents the maximum altitude to be reached by unguided suborbital launch vehicles launched from the launch point. The apogee shall be obtained from one or more actual flights of an unguided suborbital launch vehicle launched at an 84 degree elevation.
(2) An applicant shall satisfy the map and plotting data requirements of appendix A, paragraph (b).
(3) Population data. An applicant shall use total population (N) and the total landmass area within a populated area (A) for all populated areas within an impact dispersion area. Population data up to and including 100 nm from the launch point are required at the U.S. census block group level. Population data downrange from 100 nm are required at no greater than 1° × 1° latitude/longitude grid coordinates.
(1) An applicant shall choose a flight azimuth from a launch point.
(2) An applicant shall define an overflight exclusion zone as a circle with a radius of 1600 feet centered on the launch point.
(3) An applicant shall define an impact dispersion area for each stage of the suborbital launch vehicle chosen in accordance with subparagraph (b)(1) in accordance with the following:
(i) An applicant shall calculate the impact range for the final launch vehicle stage (D
(ii) An applicant shall calculate the impact range for each intermediate stage (D
(iii) An applicant shall calculate the impact dispersion radius for the final launch vehicle stage (R
(iv) An applicant shall calculate the impact dispersion radius for each intermediate stage (R
(4) An applicant shall display an overflight exclusion zone, each intermediate and final stage impact point (D
(1) An applicant shall evaluate the overflight exclusion zone and each impact dispersion area for the presence of any populated areas. If an applicant determines that no populated area is located within the overflight exclusion zone or any impact dispersion area, then no additional steps are necessary.
(2) If a populated area is located in an overflight exclusion zone, an applicant may modify its proposal or demonstrate that there are times when no people are present or that the applicant has an agreement in place to evacuate the public from the overflight exclusion zone during a launch.
(3) If a populated area is located within any impact dispersion area, an applicant may modify its proposal and define a new overflight exclusion zone and new impact dispersion areas, or perform an impact risk analysis in accordance with paragraph (e).
(1) An applicant shall estimate the expected average number of casualties, E
(i) An applicant shall calculate the E
(ii) An applicant shall estimate the probability of impacting inside the X and Y sectors of each populated area within each impact dispersion area using equations D3 and D4:
(iii) If a populated area intersects the impact dispersion area boundary so that the x
(iv) If a populated area intersects the flight azimuth, an applicant shall solve equation D4 by obtaining the solution in two parts. An applicant shall determine, first, the probability between y
(v) An applicant shall calculate the probability of impact (P
(vi) An applicant shall calculate the casualty expectancy for each populated area. E
Table D-1—Effective Casualty Area (A
| Impact range (nm) | Effective casualty area
(miles 2) |
|---|---|
| 0-4 | 9 × 10 |
| 5-49 | 9 × 10 |
| 50-1,749 | 1.1 × 10 |
| 1,750-4,999 | 3.6 × 10 |
| 5,000-more | 3.6 × 10 |
(vii) An applicant shall estimate the total risk using the following summation of risk:
(viii) Alternative casualty expectancy (E
(A) Assume that P
(B) Combine populated areas into one or more larger populated areas, and use a population density for the combined area or areas equal to the most densely populated area.
(C) For any given populated area, assume P
(D) For any given populated area, assume P
(E) For a given populated area, divide the populated area into smaller rectangles, determine P
(F) For a given populated area, use the ratio of the populated area to the area of the P
(2) If the estimated expected casualty does not exceed 1 × 10
(3) If the estimated expected casualty exceeds 1 × 10
Table E-1—Division 1.1 Distances to a Public Area or Public Traffic Route for NEW ≤450 lbs
| NEW
(lbs.) | Distance to public area
(ft) 1 2 | Distance to public traffic route distance
(ft) 2 |
|---|---|---|
| ≤0.5 | 236 | 142 |
| 0.7 | 263 | 158 |
| 1 | 291 | 175 |
| 2 | 346 | 208 |
| 3 | 378 | 227 |
| 5 | 419 | 251 |
| 7 | 445 | 267 |
| 10 | 474 | 284 |
| 15 | 506 | 304 |
| 20 | 529 | 317 |
| 30 | 561 | 337 |
| 31 | 563 | 338 |
| 50 | 601 | 361 |
| 70 | 628 | 377 |
| 100 | 658 | 395 |
| 150 | 815 | 489 |
| 200 | 927 | 556 |
| 300 | 1085 | 651 |
| 450 | 1243 | 746 |
1 To calculate distance d to a public area from NEW:
NEW ≤0.5 lbs: d = 236
0.5 lbs <NEW <100 lbs: d = 291.3 + [79.2 *ln(NEW)]
100 lbs ≤NEW ≤450 lbs: d = −1133.9 + [389 *ln(NEW)]
NEW is in lbs; d is in ft; ln is natural logarithm.
To calculate maximum NEW given distance d (noting that d can never be less than 236 ft):
0 ≤d <236 ft: Not allowed (d cannot be less than 236 ft)
236 ft ≤d <658 ft: NEW = exp [(d/79.2)-3.678]
658 ft ≤d <1250 ft: NEW = exp [(d/389) + 2.914]
NEW is in lbs; d is in ft; exp[x] is e x.
2 The public traffic route distance is 60 percent of the distance to a public area.
Table E-2—Division 1.1 Distance to Public Area and Public Traffic Route for NEW >450 lbs
| NEW (lbs) | Distance to public area
(ft) 1 | Distance to public traffic route
(ft) |
|---|---|---|
| 450 lbs<NEW ≤30,000 lbs | 1,250 | 750. |
| 30,000 lbs<NEW ≤100,000 lbs | 40*NEW | 0.60*(Distance to Public Area). |
| 100,000 lbs<NEW ≤250,000 lbs | 2.42*NEW 0.577 | 0.60*(Distance to Public Area). |
| 250,000 lbs<NEW | 50*NEW | 0.60*(Distance to Public Area). |
1 To calculate NEW from distance d to a public area:
1, 243 ft<d ≤1,857 ft: NEW = d 3/64,000
1, 857 ft<d ≤3,150 ft: NEW = 0.2162 * d 1.7331
3,150 ft<d: NEW = d 3/125,000
NEW is in lbs; d is in ft.
Table E-3—Division 1.1 Intraline Distances 1 2 3
| NEW
(lbs) | Intraline
Distance (ft) |
|---|---|
| 50 | 66 |
| 70 | 74 |
| 100 | 84 |
| 150 | 96 |
| 200 | 105 |
| 300 | 120 |
| 500 | 143 |
| 700 | 160 |
| 1,000 | 180 |
| 1,500 | 206 |
| 2,000 | 227 |
| 3,000 | 260 |
| 5,000 | 308 |
| 7,000 | 344 |
| 10,000 | 388 |
| 15,000 | 444 |
| 20,000 | 489 |
| 30,000 | 559 |
| 50,000 | 663 |
| 70,000 | 742 |
| 100,000 | 835 |
| 150,000 | 956 |
| 200,000 | 1,053 |
| 300,000 | 1,205 |
| 500,000 3 | 1,429 |
| 700,000 | 1,598 |
| 1,000,000 | 1,800 |
| 1,500,000 | 2,060 |
| 2,000,000 | 2,268 |
| 3,000,000 | 2,596 |
| 5,000,000 | 3,078 |
1 To calculate intraline distance d from NEW:
d = 18*NEW
NEW is in pounds; d is in feet
2 To calculate maximum NEW from given intraline distance d:
NEW = d 3/5,832
NEW is in pounds; d is in feet.
3 NEW values of more than 500,000 lbs only apply to liquid propellants with TNT equivalents equal to those NEW values. The intraline distances for NEW greater than 500,000 pounds do not apply to division 1.1 explosives.
Table E-4—Division 1.3 Separation Distances
| NEW (lbs) | Distance to public area or public traffic route (ft) 1 | Intraline
distance (ft) 2 |
|---|---|---|
| ≤1000 | 75 | 50 |
| 1,500 | 82 | 56 |
| 2,000 | 89 | 61 |
| 3,000 | 101 | 68 |
| 5,000 | 117 | 80 |
| 7,000 | 130 | 88 |
| 10,000 | 145 | 98 |
| 15,000 | 164 | 112 |
| 20,000 | 180 | 122 |
| 30,000 | 204 | 138 |
| 50,000 | 240 | 163 |
| 70,000 | 268 | 181 |
| 100,000 | 300 | 204 |
| 150,000 | 346 | 234 |
| 200,000 | 385 | 260 |
| 300,000 | 454 | 303 |
| 500,000 | 569 | 372 |
| 700,000 | 668 | 428 |
| 1,000,000 | 800 | 500 |
| 1,500,000 | 936 | 577 |
| 2,000,000 | 1,008 | 630 |
1 To calculate distance d to a public area or traffic route from NEW:
NEW ≤1,000lbs
d= 75 ft
1,000 lbs<NEW ≤96,000 lbs
d = exp[2.47 + 0.2368*(ln(NEW)) + 0.00384*(ln(NEW)) 2]
96,000 lbs<NEW ≤1,000,000 lbs
d = exp[7.2297−0.5984*(ln(NEW)) + 0.04046*(ln(NEW)) 2]
NEW >1,000,000 lbs
d = 8*NEW
NEW is in pounds; d is in feet; exp[x] is e x; ln is natural logarithm.
To calculate NEW from distance d to a public area or traffic route (noting that d cannot be less than 75 ft):
0 ≤d <75 ft:
Not allowed (d cannot be less than 75 ft) for NEW ≤1000 lbs
75 ft ≤d≤296 ft
NEW = exp[−30.833 + (307.465 + 260.417*(ln(d)))
296 ft<d≤800 ft
NEW = exp[7.395 + (−124.002 + 24.716*(ln(d)))
800 ft<d
NEW = d 3/512
NEW is in lbs; d is in ft; exp[x] is e x; ln is natural logarithm
2 To calculate intraline distance d from NEW:
NEW ≤1,000 lbs
d = 50 ft
1,000 lbs<NEW ≤84,000 lbs
d = exp[2.0325 + 0.2488*(ln(NEW)) + 0.00313* (ln(NEW)) 2]
84,000 lbs<NEW ≤1,000,000 lbs
d= exp[4.338
1,000,000 lbs<NEW
d = 5*NEW
NEW is in pounds; d is in feet; exp[x] is e x; ln is natural logarithm
To calculate NEW from an intraline distance d:
0 ≤d <50 ft:
Not allowed (d cannot be less than 50 ft) for NEW ≤1000 lbs
50 ft ≤d≤192 ft
NEW = exp[−39.744 + (930.257 + 319.49*(ln(d)))
192 ft<d≤500 ft
NEW = exp[3.834 + (−181.58 + 45.249*(ln(d)))
500 ft≤d
NEW = d 3/125
NEW is in pounds; d is in feet; exp[x] is e x; ln is natural logarithm
Table E-5—Energetic Liquid Explosive Equivalents 1 2 3
| Energetic liquids | TNT Equivalence | TNT Equivalence |
|---|---|---|
| Static Test Stands | Launch Pads. | |
| LO | See Note 3 | See Note 3. |
| LO | Sum of (see Note 3 for LO | Sum of (see Note 3 for LO |
| LO | 10% | 20% up to 500,000 lbs
Plus 10% over 500,000 lbs |
| IRFNA/UDMH | 10% | 10%. |
| N | 5% | 10%. |
1 A launch site operator must use the percentage factors of table E-5 to determine TNT equivalencies of incompatible energetic liquids that are within an intraline distance of each other.
2 A launch site operator may substitute the following energetic liquids to determine TNT equivalency under this table as follows:
Alcohols or other hydrocarbon for RP-1
H
MMH for N
3 TNT equivalency for LO
(a) TNT equivalency of 8*W
2/3, where W is the weight of LO
(b) 14 percent of the LO
Table E-6—Factors To Use When Converting Energetic Liquid Densities
| Item | Density
(lb/gal) | Temperature
( °F) |
|---|---|---|
| Ethyl alcohol | 6.6 | 68 |
| Hydrazine | 8.4 | 68 |
| Hydrogen peroxide (90 percent) | 11.6 | 68 |
| Liquid hydrogen | 0.59 | −423 |
| Liquid oxygen | 9.5 | −297 |
| Red fuming nitric acid (IRFNA) | 12.9 | 77 |
| RP-1 | 6.8 | 68 |
| UDMH | 6.6 | 68 |
| UDMH/Hydrazine | 7.5 | 68 |
Table E-7—Separation Distance Criteria for Storage of Hydrogen Peroxide in Concentrations of More than 91 Percent 1 2
| Quantity
(lbs) | Intraline distance or distance to public area or distance to public traffic route
(ft) |
|---|---|
| 10,000 | 510 |
| 15,000 | 592 |
| 20,000 | 651 |
| 30,000 | 746 |
| 50,000 | 884 |
| 70,000 | 989 |
| 100,000 | 1114 |
| 150,000 | 1275 |
| 200,000 | 1404 |
| 300,000 | 1607 |
| 500,000 | 1905 |
1 Multiple tanks containing hydrogen peroxide in concentrations of greater than 91 percent may be located at distances less than those required by table E-7; however, if the tanks are not separated from each other by 10 percent of the distance specified for the largest tank, then the launch site operator must use the total contents of all tanks to calculate each intraline distance and the distance to each public area and each public traffic route.
2 A launch site operator may use the equations below to determine permissible distance or quantity between the entries of table E-7:
W >10,000 lbs Distance = 24 * W
Where Distance is in ft and W is in lbs.
To calculate weight of hydrogen peroxide from a distance d:
d >75 ft
W = exp[−134.286 + 71.998*(ln(d)) −12.363*(ln(d)) 2 + 0.7229*(ln(d)) 3]
Table E-8—Separation Distance Criteria for Storage of Liquid Hydrogen and Bulk Quantities of Hydrazine
| Pounds of energetic liquid | Pounds of energetic liquid | Public area and intraline distance to incompatible energetic liquids | Intraline distance to compatible energetic liquids | Pounds of energetic liquid | Pounds of energetic liquid | Public area and intraline distance to incompatible energetic liquids | Intraline distance to compatible energetic liquids |
|---|---|---|---|---|---|---|---|
| Over | Not Over | Distance in feet | Distance in feet | Over | Not Over | Distance in feet | Distance in feet |
| 60,000 | 70,000 | 1,200 | 130 | ||||
| 100 | 200 | 600 | 35 | 70,000 | 80,000 | 1,200 | 130 |
| 200 | 300 | 600 | 40 | 80,000 | 90,000 | 1,200 | 135 |
| 300 | 400 | 600 | 45 | 90,000 | 100,000 | 1,200 | 135 |
| 400 | 500 | 600 | 50 | 100,000 | 125,000 | 1,800 | 140 |
| 500 | 600 | 600 | 50 | 125,000 | 150,000 | 1,800 | 145 |
| 600 | 700 | 600 | 55 | 150,000 | 175,000 | 1,800 | 150 |
| 700 | 800 | 600 | 55 | 175,000 | 200,000 | 1,800 | 155 |
| 800 | 900 | 600 | 60 | 200,000 | 250,000 | 1,800 | 160 |
| 900 | 1,000 | 600 | 60 | 250,000 | 300,000 | 1,800 | 165 |
| 1,000 | 2,000 | 600 | 65 | 300,000 | 350,000 | 1,800 | 170 |
| 2,000 | 3,000 | 600 | 70 | 350,000 | 400,000 | 1,800 | 175 |
| 3,000 | 4,000 | 600 | 75 | 400,000 | 450,000 | 1,800 | 180 |
| 4,000 | 5,000 | 600 | 80 | 450,000 | 500,000 | 1,800 | 180 |
| 5,000 | 6,000 | 600 | 80 | 500,000 | 600,000 | 1,800 | 185 |
| 6,000 | 7,000 | 600 | 85 | 600,000 | 700,000 | 1,800 | 190 |
| 7,000 | 8,000 | 600 | 85 | 700,000 | 800,000 | 1,800 | 195 |
| 8,000 | 9,000 | 600 | 90 | 800,000 | 900,000 | 1,800 | 200 |
| 9,000 | 10,000 | 600 | 90 | 900,000 | 1,000,000 | 1,800 | 205 |
| 10,000 | 15,000 | 1,200 | 95 | 1,000,000 | 2,000,000 | 1,800 | 235 |
| 15,000 | 20,000 | 1,200 | 100 | 2,000,000 | 3,000,000 | 1,800 | 255 |
| 20,000 | 25,000 | 1,200 | 105 | 3,000,000 | 4,000,000 | 1,800 | 265 |
| 25,000 | 30,000 | 1,200 | 110 | 4,000,000 | 5,000,000 | 1,800 | 275 |
| 30,000 | 35,000 | 1,200 | 110 | 5,000,000 | 6,000,000 | 1,800 | 285 |
| 35,000 | 40,000 | 1,200 | 115 | 6,000,000 | 7,000,000 | 1,800 | 295 |
| 40,000 | 45,000 | 1,200 | 120 | 7,000,000 | 8,000,000 | 1,800 | 300 |
| 45,000 | 50,000 | 1,200 | 120 | 8,000,000 | 9,000,000 | 1,800 | 305 |
| 50,000 | 60,000 | 1,200 | 125 | 9,000,000 | 10,000,000 | 1,800 | 310 |
The FAA evaluates on an individual basis an applicant's proposal to operate a reentry site.
(a) The FAA issues a license to operate a reentry site when it determines that an applicant's operation of the reentry site does not jeopardize public health and safety, the safety of property, U.S. national security or foreign policy interests, or international obligations of the United States.
(b) A license to operate a reentry site authorizes a licensee to operate a reentry site in accordance with the representations contained in the licensee's application, subject to the licensee's compliance with terms and conditions contained in any license order accompanying the license.
A license to operate a reentry site authorizes the licensee to offer use of the site to support reentry of a reentry vehicle for which the three-sigma footprint of the vehicle upon reentry is wholly contained within the site.
(a) General. The FAA is responsible for complying with the procedures and policies of the National Environmental Policy Act (NEPA) and other applicable environmental laws, regulations, and Executive Orders prior to issuing a reentry site license. An applicant must provide the FAA with information needed to comply with such requirements. The FAA will consider and document the potential environmental effects associated with issuing a license for a reentry site.
(b) Environmental impact statement or environmental assessment. When directed by the FAA, an applicant must—
(1) Prepare an Environmental Assessment with FAA oversight;
(2) Assume financial responsibility for preparation of an Environmental Impact Statement by an FAA-selected and -managed consultant contractor; or
(3) Submit information to support a written re-evaluation of a previously submitted Environmental Assessment or Environmental Impact Statement.
(c) Categorical exclusion. The FAA may determine that a categorical exclusion is appropriate upon receipt of supporting information from an applicant.
(d) Environmental information. An application must include an approved FAA Environmental Assessment, Environmental Impact Statement, categorical exclusion determination, or written re-evaluation covering all planned licensed activities in compliance with NEPA and the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA.
(a) Scope. This part prescribes requirements for obtaining an experimental permit. It also prescribes post-permitting requirements with which a permittee must comply to maintain its permit. Part 413 of this subchapter contains procedures for applying for an experimental permit.
(b) Equivalent level of safety. Each requirement of this part applies unless the applicant or permittee clearly and convincingly demonstrates that an alternative approach provides an equivalent level of safety to the requirement of this part.
(c) Organization of this part. Subpart A contains general information about an experimental permit. Subpart B contains requirements to obtain an experimental permit. Subpart C contains the safety requirements with which a permittee must comply while conducting permitted activities. Subpart D contains terms and conditions of an experimental permit.
Envelope expansion means any portion of a flight where planned operations will subject a reusable suborbital vehicle to the effects of altitude, velocity, acceleration, or burn duration that exceed a level or duration successfully verified during an earlier flight.
Exclusion area means an area, within an operating area, that a reusable suborbital vehicle's instantaneous impact point may not traverse.
Operating area means a three-dimensional region where permitted flights may take place.
Permitted vehicle means a reusable suborbital rocket or a reusable launch vehicle that will be launched into a suborbital trajectory or reentered that is operated by a launch or reentry operator under an experimental permit.
Reentry impact point means the location of a reusable suborbital vehicle's instantaneous impact point during its unpowered exoatmospheric suborbital flight.
The FAA will issue an experimental permit to a person to launch or reenter a reusable suborbital vehicle only for—
(a) Research and development to test design concepts, equipment, or operating techniques;
(b) A showing of compliance with requirements for obtaining a license under this subchapter; or
(c) Crew training for a launch or reentry using the design of the reusable suborbital vehicle for which the permit would be issued.
An experimental permit authorizes launch or reentry of a reusable suborbital vehicle. The authorization includes pre- and post-flight ground operations as defined in this section.
(a) A pre-flight ground operation includes each operation that—
(1) Takes place at a U.S. launch site; and
(2) Meets the following criteria:
(i) Is closely proximate in time to flight,
(ii) Entails critical steps preparatory to initiating flight,
(iii) Is unique to space launch, and
(iv) Is inherently so hazardous as to warrant the FAA's regulatory oversight.
(b) A post-flight ground operation includes each operation necessary to return the reusable suborbital vehicle to a safe condition after it lands or impacts.
The FAA issues an experimental permit authorizing an unlimited number of launches or reentries for a reusable suborbital vehicle design for the uses described in § 437.5.
An experimental permit lasts for one year from the date it is issued. A permittee may apply to renew a permit yearly under part 413 of this subchapter.
The FAA may modify an experimental permit at any time by modifying or adding permit terms and conditions to ensure compliance with 51 U.S.C. Subtitle V, chapter 509.
An experimental permit is not transferable.
Issuance of an experimental permit does not relieve a permittee of its obligation to comply with any requirement of law that applies to its activities.
To obtain an experimental permit an applicant must make the demonstrations and provide the information required by this section.
(a) This subpart. An applicant must provide a program description, a flight test plan, and operational safety documentation as required by this subpart.
(b) Other regulations—(1) Environmental—(i) General. The FAA is responsible for complying with the procedures and policies of the National Environmental Policy Act (NEPA) and other applicable environmental laws, regulations, and Executive Orders to consider and document the potential environmental effects associated with proposed reusable suborbital vehicle launches or reentries. An applicant must provide the FAA with information needed to comply with such requirements. The FAA will consider and document the potential environmental effects associated with proposed reusable suborbital vehicle launches or reentries.
(ii) Environmental Impact Statement or Environmental Assessment. When directed by the FAA, an applicant must—
(A) Prepare an Environmental Assessment with FAA oversight;
(B) Assume financial responsibility for preparation of an Environmental Impact Statement by an FAA-selected and -managed consultant contractor; or
(C) Submit information to support a written re-evaluation of a previously submitted Environmental Assessment or Environmental Impact Statement.
(iii) Categorical exclusion. The FAA may determine that a categorical exclusion determination is appropriate upon receipt of supporting information from an applicant.
(iv) Information requirements. An application must include an approved FAA Environmental Assessment, Environmental Impact Statement, categorical exclusion determination, or written re-evaluation covering all planned permitted activities in compliance with NEPA and the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA.
(2) Financial responsibility. An applicant must provide the information required by part 3 of appendix A of part 440 for the FAA to conduct a maximum probable loss analysis.
(3) Human space flight. An applicant proposing to conduct a permitted operation with a space flight participant, crew, or government astronaut on board a reusable suborbital vehicle must demonstrate compliance with §§ 460.5, 460.7, 460.11, 460.13, 460.15, 460.17, 460.51, 460.53, 460.59, 460.61, and 460.67 of this subchapter.
(c) Use of a safety element approval. If an applicant proposes to use any reusable suborbital vehicle, safety system, process, service, or personnel for which the FAA has issued a safety element approval under part 414 of this chapter, the FAA will not reevaluate that safety element to the extent its use is within its approved scope. As part of the application process, the FAA will evaluate the integration of that safety element into vehicle systems or operations.
(d) Inspection before issuing a permit. Before the FAA issues an experimental permit, an applicant must make each reusable suborbital vehicle planned to be flown available to the FAA for inspection. The FAA will determine whether each reusable suborbital vehicle is built as represented in the application.
(e) Other requirements. The FAA may require additional analyses, information, or agreements if necessary to protect public health and safety, safety of property, and national security and foreign policy interests of the United States.
(a) An applicant must provide—
(1) Dimensioned three-view drawings or photographs of the reusable suborbital vehicle; and
(2) Gross liftoff weight and thrust profile of the reusable suborbital vehicle.
(b) An applicant must describe—
(1) All reusable suborbital vehicle systems, including any structural, flight control, thermal, pneumatic, hydraulic, propulsion, electrical, environmental control, software and computing systems, avionics, and guidance systems used in the reusable suborbital vehicle;
(2) The types and quantities of all propellants used in the reusable suborbital vehicle;
(3) The types and quantities of any hazardous materials used in the reusable suborbital vehicle;
(4) The purpose for which a reusable suborbital vehicle is to be flown; and
(5) Each payload or payload class planned to be flown.
(c) An applicant must identify any foreign ownership of the applicant as follows:
(1) For a sole proprietorship or partnership, identify all foreign ownership,
(2) For a corporation, identify any foreign ownership interests of 10% or more, and
(3) For a joint venture, association, or other entity, identify any participating foreign entities.
An applicant must—
(a) Describe any flight test program, including estimated number of flights and key flight-safety events.
(b) Identify and describe the geographic coordinates of the boundaries of one or more proposed operating areas where it plans to perform its flights and that satisfy § 437.57(b) of subpart C. The FAA may designate one or more exclusion areas in accordance with § 437.57(c) of subpart C.
(c) For each operating area, provide the planned maximum altitude of the reusable suborbital vehicle.
An applicant must demonstrate how it will meet the requirements of § 437.53(a) and (b) to establish a safety clear zone and verify that the public is outside that zone before and during any hazardous operation.
(a) An applicant must perform a hazard analysis that complies with § 437.55(a).
(b) An applicant must provide to the FAA all the results of each step of the hazard analysis required by paragraph (a) of this section.
(a) An applicant must identify, describe, and provide verification evidence of the methods and systems used to meet the requirement of § 437.57(a) to contain its reusable suborbital vehicle's instantaneous impact point within an operating area and outside any exclusion area. The description must include, at a minimum—
(1) Proof of physical limits on the ability of the reusable suborbital vehicle to leave the operating area; or
(2) Abort procedures and other safety measures derived from a system safety engineering process.
(b) An applicant must identify, describe, and provide verification evidence of the methods and systems used to meet the requirements of § 437.59 to conduct any key flight-safety event so that the reusable suborbital vehicle's instantaneous impact point, including its expected dispersions, is over unpopulated or sparsely populated areas, and to conduct each reusable suborbital vehicle flight so that the reentry impact point does not loiter over a populated area.
An applicant must demonstrate that each location for nominal landing or any contingency abort landing of the reusable suborbital vehicle, and each location for any nominal or contingency impact or landing of a component of that reusable suborbital vehicle, satisfies § 437.61.
An applicant must enter into the agreements required by § 437.63, and provide a copy to the FAA.
An applicant must identify and describe each method or system used to meet the tracking requirements of § 437.67.
An applicant must provide flight rules as required by § 437.71.
An applicant must submit a mishap plan that meets the requirements of § 450.173 of this chapter.
A permittee must ensure that all vehicle safety operations personnel adhere to the work and rest standards in this section during permitted activities.
(a) No vehicle safety operations personnel may work more than:
(1) 12 consecutive hours,
(2) 60 hours in the 7 days preceding a permitted activity, or
(3) 14 consecutive work days.
(b) All vehicle safety operations personnel must have at least 8 hours of rest after 12 hours of work.
(c) All vehicle safety operations personnel must receive a minimum 48-hour rest period after 5 consecutive days of 12-hour shifts.
A permittee must protect the public from adverse effects of hazardous operations and systems in preparing a reusable suborbital vehicle for flight at a launch site in the United States and returning the reusable suborbital vehicle and any support equipment to a safe condition after flight. At a minimum, a permittee must—
(a) Establish a safety clear zone that will contain the adverse effects of each operation involving a hazard; and
(b) Verify that the public is outside of the safety clear zone before and during any hazardous operation.
(a) A permittee must identify and characterize each of the hazards and assess the risk to public health and safety and the safety of property resulting from each permitted flight. This hazard analysis must—
(1) Identify and describe hazards, including but not limited to each of those that result from—
(i) Component, subsystem, or system failures or faults;
(ii) Software errors;
(iii) Environmental conditions;
(iv) Human errors;
(v) Design inadequacies; or
(vi) Procedural deficiencies.
(2) Determine the likelihood of occurrence and consequence for each hazard before risk elimination or mitigation.
(3) Ensure that the likelihood and consequence of each hazard meet the following criteria through risk elimination and mitigation measures:
(i) The likelihood of any hazardous condition that may cause death or serious injury to the public must be extremely remote.
(ii) The likelihood of any hazardous condition that may cause major property damage to the public, major safety-critical system damage or reduced capability, a significant reduction in safety margins, or a significant increase in crew workload must be remote.
(4) Identify and describe the risk elimination and mitigation measures required to satisfy paragraph (a)(3) of this section. The measures must include one or more of the following:
(i) Designing for minimum risk,
(ii) Incorporating safety devices,
(iii) Providing warning devices, or
(iv) Implementing procedures and training.
(5) Demonstrate that the risk elimination and mitigation measures achieve the risk levels of paragraph (a)(3)(i) of this section through validation and verification. Verification includes:
(i) Test data,
(ii) Inspection results, or
(iii) Analysis.
(b) A permittee must carry out the risk elimination and mitigation measures derived from its hazard analysis.
(c) A permittee must ensure the continued accuracy and validity of its hazard analysis throughout the term of its permit.
(a) During each permitted flight, a permittee must contain its reusable suborbital vehicle's instantaneous impact point within an operating area determined in accordance with paragraph (b) of this section and outside any exclusion area defined by the FAA in accordance with paragraph (c) of this section.
(b) An operating area—
(1) Must be large enough to contain each planned trajectory and all expected vehicle dispersions;
(2) Must contain enough unpopulated or sparsely populated area to perform key flight-safety events as required by § 437.59;
(3) May not contain or be adjacent to a densely populated area or large concentrations of members of the public; and
(4) May not contain or be adjacent to significant automobile traffic, railway traffic, or waterborne vessel traffic.
(c) The FAA may prohibit a reusable suborbital vehicle's instantaneous impact point from traversing certain areas within an operating area by designating one or more areas as exclusion areas, if necessary to protect public health and safety, safety of property, or foreign policy or national security interests of the United States. An exclusion area may be confined to a specific phase of flight.
(a) A permittee must conduct any key flight-safety event so that the reusable suborbital vehicle's instantaneous impact point, including its expected dispersion, is over an unpopulated or sparsely populated area. At a minimum, a key flight-safety event includes:
(1) Ignition of any primary rocket engine,
(2) Any staging event, or
(3) Any envelope expansion.
(b) A permittee must conduct each reusable suborbital vehicle flight so that the reentry impact point does not loiter over a populated area.
For a nominal or any contingency abort landing of a reusable suborbital vehicle, or for any nominal or contingency impact or landing of a component of that reusable suborbital vehicle, a permittee must use a location that—
(a) Is big enough to contain an impact, including debris dispersion upon impact; and
(b) At the time of landing or impact, does not contain any members of the public.
A permittee must comply with the agreements required by this section.
(a) A permittee must have an agreement in writing with a Federal launch range operator, a licensed launch site operator, or any other party that provides access to or use of property and services required to support the safe launch or reentry under a permit.
(b) Unless otherwise addressed in agreements with a licensed launch site operator or a Federal launch range, a permittee must have an agreement in writing with the following:
(1) For overflight of navigable water, a written agreement between the applicant and the local United States Coast Guard district to establish procedures for issuing a Notice to Mariners before a permitted flight, and
(2) A written agreement between the applicant and responsible Air Traffic Control authority having jurisdiction over the airspace through which a permitted launch or reentry is to take place, for measures necessary to ensure the safety of aircraft. The agreement must, at a minimum, demonstrate satisfaction of §§ 437.69(a) and 437.71(d).
For a permitted flight with a planned maximum altitude greater than 150 kilometers, a permittee must obtain a collision avoidance analysis in accordance with § 450.169 of this chapter.
A permittee must—
(a) During permitted flight, measure in real time the position and velocity of its reusable suborbital rocket; and
(b) Provide position and velocity data to the FAA for post-flight use.
(a) A permittee must be in communication with Air Traffic Control during all phases of flight.
(b) A permittee must record communications affecting the safety of the flight.
(a) Before initiating flight, a permittee must confirm that all systems and operations necessary to ensure that safety measures derived from §§ 437.55, 437.57, 437.59, 437.61, 437.63, 437.65, 437.67, and 437.69 are within acceptable limits.
(b) During all phases of flight, a permittee must—
(1) Follow flight rules that ensure compliance with §§ 437.55, 437.57, 437.59, and 437.61; and
(2) Abort the flight if it would endanger the public.
(c) A permittee may not operate a reusable suborbital vehicle in a careless or reckless manner that would endanger any member of the public during any phase of flight.
(d) A permittee may not operate a reusable suborbital vehicle in areas designated in a Notice to Airmen under 14 CFR 91.137, 91.138, 91.141, or 91.145, unless authorized by:
(1) Air Traffic Control; or
(2) A Flight Standards Certificate of Waiver or Authorization.
(e) For any phase of flight where a permittee operates a reusable suborbital vehicle like an aircraft in the National Airspace System, a permittee must comply with the provisions of 14 CFR part 91 specified in an experimental permit issued under this part.
(a) A permittee must record each anomaly that affects a safety-critical system, subsystem, process, facility, or support equipment.
(b) A permittee must identify all root causes of each anomaly, and implement all corrective actions for each anomaly.
(c) A permittee must report to the FAA any anomaly of any system that is necessary for complying with §§ 437.55(a)(3), 437.57, and 437.59, and must report the corrective action for each reported anomaly.
(d) A permittee must implement each corrective action before the next flight.
The FAA may impose additional safety requirements on an applicant or permittee proposing an activity with a hazard not otherwise addressed in this part. This may include a toxic hazard or the use of solid propellants. The FAA may also require the permittee to conduct additional analyses of the cause of any anomaly and corrective actions.
A permittee must ensure that a launch or reentry conducted under an experimental permit is safe, and must protect public health and safety and the safety of property.
A permittee must conduct any launch or reentry under an experimental permit in accordance with representations made in its permit application, with subparts C and D of this part, and with terms and conditions contained in the permit.
(a) The FAA will identify in the experimental permit the type of changes that the permittee may make to the reusable suborbital vehicle design without invalidating the permit.
(b) Except for design changes made under paragraph (a) of this section, a permittee must ask the FAA to modify the experimental permit if—
(1) It proposes to conduct permitted activities in a manner not authorized by the permit; or
(2) Any representation in its permit application that is material to public health and safety or the safety of property is no longer accurate or complete.
(c) A permittee must prepare an application to modify an experimental permit and submit it in accordance with part 413 of this subchapter. If requested during the application process, the FAA may approve an alternate method for requesting permit modifications. The permittee must indicate any part of its permit that would be changed or affected by a proposed modification.
(d) When a permittee proposes a modification, the FAA reviews the determinations made on the experimental permit to decide whether they remain valid.
(e) When the FAA approves a modification, it issues the permittee either a written approval or a permit order modifying the permit if a stated term or condition of the permit is changed, added, or deleted. An approval has the full force and effect of a permit order and is part of the permit record.
(a) Except as required by paragraph (b) of this section, a permittee must maintain for 3 years all records, data, and other material necessary to verify that a permittee conducted its launch or reentry in accordance with its permit.
(b) For any event that meets any of paragraphs (1) through (3), (5), or (8) of the definition of “mishap” in § 401.7 of this chapter, a permittee must preserve all records related to the event. Records shall be retained until any Federal investigation is complete and the FAA advises the permittee that the records need not be retained.
(c) A permittee must make all records that it must maintain under this section available to Federal officials for inspection and copying.
(a) Not later than 30 days before each flight or series of flights conducted under an experimental permit, unless the Administrator agrees to a different time frame in accordance with § 404.15, a permittee must provide the FAA with the following information:
(1) Any payload to be flown, including any payload operations during the flight,
(2) When the flight or series of flights are planned,
(3) The operating area for each flight, and
(4) The planned maximum altitude for each flight.
(b) Not later than 15 days before each permitted flight planned to reach greater than 150 km altitude, unless the Administrator agrees to a different time frame in accordance with § 404.15, a permittee must provide the FAA its planned trajectory for a collision avoidance analysis.
No permittee may carry any property or human being for compensation or hire on a reusable suborbital vehicle.
A permittee must allow access by, and cooperate with, federal officers or employees or other individuals authorized by the FAA to observe any activities of the permittee, or of its contractors or subcontractors, associated with the conduct of permitted activities.
A permittee may launch or reenter additional reusable suborbital vehicles of the same design under the permit after the FAA inspects each additional reusable suborbital vehicle.
This part establishes financial responsibility and allocation of risk requirements for any launch or reentry authorized by a license or permit issued under this subchapter.
Except as otherwise provided in this section, any term used in this part and defined in 51 U.S.C. 50901-50923, or in § 401.7 of this chapter shall have the meaning contained therein.
Bodily injury means physical injury, sickness, disease, disability, shock, mental anguish, or mental injury sustained by any person, including death.
Contractors and subcontractors means those entities that are involved at any level, directly or indirectly, in licensed or permitted activities, and includes suppliers of property and services, and the component manufacturers of a launch vehicle, reentry vehicle, or payload.
Customer means.
(1) Any person:
(i) Who procures launch or reentry services from a licensee or permittee;
(ii) With rights in the payload (or any part of the payload) to be launched or reentered by the licensee or permittee, including a conditional sale, lease, assignment, or transfer of rights;
(iii) Who has placed property on board the payload for launch, reentry, or payload services; or
(iv) To whom the customer has transferred its rights to the launch or reentry services.
(2) A space flight participant, for the purposes of this part, is not a customer.
Federal range facility means a U.S. Government-owned installation at which a launch or reentry takes place.
Financial responsibility means capable of satisfying a liability obligation as required by 51 U.S.C Subtitle V, chapter 509.
First-tier customer means a customer as defined in this section, and who has a contractual relationship with a license or permit holder to obtain launch or reentry services.
Government personnel means employees of the United States, its agencies, and its contractors and subcontractors, involved in launch or reentry services for an activity authorized by an FAA license or permit. Employees of the United States include members of the Armed Forces of the United States.
Hazardous operations means activities, processes, and procedures that, because of the nature of the equipment, facilities, personnel, environment involved or function being performed, may result in bodily injury or property damage.
Liability means a legal obligation to pay a claim for bodily injury or property damage resulting from a licensed or permitted activity.
License means an authorization the FAA issues under this subchapter to launch or reenter a launch or reentry vehicle.
Licensed activity means the launch of a launch vehicle or the reentry of a reentry vehicle conducted under a license the FAA issues.
Maximum probable loss (MPL) means the greatest dollar amount of loss for bodily injury or property damage that is reasonably expected to result from a licensed or permitted activity;
(1) Losses to third parties, excluding Government personnel and other launch or reentry participants' employees involved in licensed or permitted activities and neighboring operations personnel, that are reasonably expected to result from a licensed or permitted activity are those that have a probability of occurrence of no less than one in ten million.
(2) Losses to Government property and Government personnel, excluding government astronauts, involved in licensed or permitted activities and neighboring operations personnel that are reasonably expected to result from licensed or permitted activities are those that have a probability of occurrence of no less than one in one hundred thousand.
Part 440 customer means a customer as defined in this section, other than a first-tier customer.
Permit means an authorization the FAA issues under this subchapter for the launch or reentry of a reusable suborbital vehicle.
Permitted activity means the launch or reentry of a reusable suborbital vehicle conducted under a permit issued by the FAA.
Property damage means partial or total destruction, impairment, or loss of tangible property, real or personal.
Regulations mean the Commercial Space Transportation Licensing Regulations codified at 14 CFR Ch. III.
Third party means—
(1) Any person other than:
(i) The United States, any of its agencies, and its contractors and subcontractors involved in launch or reentry services for a licensed or permitted activity;
(ii) A licensee, permittee, and its contractors and subcontractors involved in launch or reentry services for a licensed or permitted activity;
(iii) A customer and its contractors and subcontractors involved in launch or reentry services for a licensed or permitted activity;
(iv) A member of a crew;
(v) A space flight participant; and
(vi) A government astronaut.
(2) Government personnel, as defined in this section and excluding government astronauts, are third parties.
United States means the United States Government, including each of its agencies.
(a) No person may commence or conduct any launch or reentry activity that requires a license or permit unless that person has demonstrated compliance with the requirements of this part.
(b) The FAA will prescribe the amount of financial responsibility a licensee or permittee must obtain and any adjustments of the amount in a license or permit order issued concurrent with or subsequent to the issuance of a license or a permit.
(c) Demonstration of financial responsibility under this part shall not relieve a licensee of ultimate responsibility for liability, loss, or damage sustained by the United States resulting from a licensed activity, except to the extent that:
(1) Liability, loss, or damage sustained by the United States results from willful misconduct of the United States or its agents;
(2) Any covered claim of a third party for bodily injury or property damage arising out of any particular licensed activity exceeds the amount of financial responsibility required under § 440.9(c) of this part and does not exceed $1,500,000,000 (as adjusted for inflation occurring after January 1, 1989) above such amount, and are payable pursuant to 51 U.S.C. 50915 and § 440.19 of this part. A claim of an employee of any entity listed in paragraphs (1)(ii) through (1)(iii) in the Third party definition in § 440.3 of this part for bodily injury or property damage is not a covered claim;
(3) A covered claim for property loss or damage exceeds the amount of financial responsibility required under § 440.9(e) of this part and does not result from willful misconduct of the licensee; or
(4) The licensee has no liability for covered claims by third parties for bodily injury or property damage arising out of any particular launch or reentry that exceeds $1,500,000,000 (as adjusted for inflation) above the amount of financial responsibility required under § 440.9(c).
(d) Demonstration of financial responsibility under this part does not relieve a permittee of ultimate responsibility for liability, loss, or damage sustained by the United States resulting from a permitted activity, except to the extent that:
(1) Liability, loss, or damage sustained by the United States results from willful misconduct of the United States or its agents; or
(2) A covered claim for property loss or damage to the United States exceeds the amount of financial responsibility required under § 440.9(e) and does not result from willful misconduct of the permittee.
(e) A licensee's or permittee's failure to comply with any requirement of this part may result in suspension or revocation of a license or permit, and subject the licensee or permittee to civil penalties as provided in part 405 of this chapter.
(a) The FAA will determine the maximum probable loss (MPL) from covered claims by a third party for bodily injury or property damage, and the United States, its agencies, and its contractors and subcontractors for covered property damage or loss, resulting from a permitted or licensed activity. The maximum probable loss determination forms the basis for financial responsibility requirements issued in a license or permit order.
(b) The FAA issues its determination of maximum probable loss no later than ninety days after a licensee or permittee has requested a determination and submitted all information required by the FAA to make the determination. The FAA will consult with Federal agencies that are involved in, or whose personnel or property are exposed to risk of damage or loss as a result of, a licensed or permitted activity before issuing a license or permit order prescribing financial responsibility requirements, and shall notify the licensee, or permittee, if interagency consultation may delay issuance of the MPL determination.
(c) Appendix A of this part contains information requirements for obtaining a maximum probable loss determination. Any person requesting a determination of maximum probable loss must submit the information required by Appendix A, unless the FAA has waived a requirement. In lieu of submitting required information, a person requesting a maximum probable loss determination may designate and certify certain information previously submitted for a prior determination as complete, valid, and equally applicable to its current request. The requester is responsible for the continuing accuracy and completeness of information submitted under this part and must promptly report any changes in writing.
(d) The FAA will amend a determination of maximum probable loss required under this section at any time prior to completion of licensed or permitted activities as warranted by supplementary information provided to or obtained by the FAA after the MPL determination is issued. Any change in financial responsibility requirements as a result of an amended MPL determination shall be set forth in a license or permit order.
(e) The FAA may make a determination of maximum probable loss at any time other than as set forth in paragraph (b) of this section upon request by any person.
(a) As a condition of each license or permit, a licensee or permittee must comply with all insurance requirements of this section and of a license or permit issued by the FAA, or otherwise demonstrate the required amount of financial responsibility.
(b) A licensee or permittee must obtain and maintain in effect a policy or policies of liability insurance, in an amount determined by the FAA under paragraph (c) of this section, that protects the following persons as additional insureds to the extent of their respective potential liabilities against covered claims by a third party for bodily injury or property damage resulting from a licensed or permitted activity:
(1) The licensee or permittee, its customer, and their respective contractors and subcontractors, and the employees of each, involved in a licensed or permitted activity;
(2) The United States, its agencies, and its contractors and subcontractors involved in a licensed or permitted activity;
(3) Government personnel; and
(4) Space flight participants. This paragraph (b)(4) shall cease to be effective on September 30, 2025, unless public law modifies the limitation in section 50914 of Title 51 of the U.S. Code.
(c) The FAA will prescribe for each licensee or permittee the amount of insurance required to compensate the total of covered third-party claims for bodily injury or property damage resulting from a licensed or permitted activity in connection with any particular launch or reentry. A covered third-party claim includes a claim by the United States, its agencies, and its contractors and subcontractors for damage or loss to property other than property for which insurance is required under paragraph (d) of this section. The amount of insurance required is based upon the FAA's determination of maximum probable loss; however, it will not exceed the lesser of:
(1) $500 million; or
(2) The maximum liability insurance available on the world market at a reasonable cost, as determined by the FAA.
(d) The licensee or permittee must obtain and maintain in effect a policy or policies of insurance, in an amount determined by the FAA under paragraph (e) of this section, that covers claims by the United States, its agencies, and its contractors and subcontractors involved in a licensed or permitted activity for property damage or loss resulting from a licensed or permitted activity. Property covered by this insurance must include all property owned, leased, or occupied by, or within the care, custody, or control of, the United States and its agencies, and its contractors and subcontractors involved in a licensed or permitted activity, at a Federal range facility. Insurance must protect the United States and its agencies, and its contractors and subcontractors involved in a licensed or permitted activity.
(e) The FAA will prescribe for each licensee or permittee the amount of insurance required to compensate claims for property damage under paragraph (d) of this section resulting from a licensed or permitted activity in connection with any particular launch or reentry. The amount of insurance is based upon a determination of maximum probable loss; however, it will not exceed the lesser of:
(1) $100 million; or
(2) The maximum available on the world market at a reasonable cost, as determined by the FAA.
(f) In lieu of a policy of insurance, a licensee or permittee may demonstrate financial responsibility in another manner meeting the terms and conditions for insurance of this part. The licensee or permittee must describe in detail the method proposed for demonstrating financial responsibility and how it ensures that the licensee or permittee is able to cover claims as required under this part.
(a) Insurance coverage required under § 440.9, or other form of financial responsibility, shall attach when a licensed launch or permitted activity starts, and remain in full force and effect as follows:
(1) Until completion of licensed launch or permitted activities at a launch or reentry site; and
(2) For orbital launch, until the later of—
(i) Thirty days following payload separation, or attempted payload separation in the event of a payload separation anomaly; or
(ii) Thirty days from ignition of the launch vehicle.
(3) For a suborbital launch, until the later of—
(i) Motor impact and payload recovery; or
(ii) The FAA's determination that risk to third parties and Government property as a result of licensed launch or permitted activities is sufficiently small that financial responsibility is no longer necessary. That determination is made through the risk analysis conducted before the launch to determine MPL and specified in a license or permit order.
(b) Financial responsibility required under this part may not be replaced, canceled, changed, withdrawn, or in any way modified to reduce the limits of liability or the extent of coverage, nor expire by its own terms, prior to the time specified in a license or permit order, unless the FAA is notified at least 30 days in advance and expressly approves the modification.
(a) For reentry, insurance coverage required under § 440.9, or other form of financial responsibility, shall attach upon commencement of licensed reentry, and remain in full force and effect as follows:
(1) For ground operations, until completion of licensed reentry at the reentry site; and
(2) For other licensed reentry activities, 30 days from initiation of reentry flight; however, in the event of an abort that results in the reentry vehicle remaining on orbit, insurance shall remain in place until the FAA's determination that risk to third parties and Government property as a result of licensed reentry is sufficiently small that financial responsibility is no longer necessary, as determined by the FAA through the risk analysis conducted to determine MPL and specified in a license order.
(b) Financial responsibility required under this part may not be replaced, canceled, changed, withdrawn, or in any way modified to reduce the limits of liability or the extent of coverage, nor expire by its own terms, prior to the time specified in a license order, unless the FAA is notified at least 30 days in advance and expressly approves the modification.
(a) Insurance obtained under § 440.9 must comply with each of the following terms and conditions of coverage:
(1) Bankruptcy or insolvency of an insured, including any additional insured, shall not relieve an insurer of any of its obligations under any policy.
(2) Policy limits shall apply separately to each occurrence and, for each occurrence to the total of claims arising out of a licensed or permitted activity in connection with any particular launch or reentry.
(3) Except as provided in this section, each policy must pay claims from the first dollar of loss, without regard to any deductible, to the limits of the policy. A licensee or permittee may obtain a policy containing a deductible amount if the amount of the deductible is placed in an escrow account or otherwise demonstrated to be unobligated, unencumbered funds of the licensee or permittee, available to compensate claims at any time claims may arise.
(4) No policy may be invalidated by any action or inaction of the licensee or permittee or any additional insured, even by nonpayment by the licensee or permittee of the policy premium, and each policy must insure the licensee or permittee and each additional insured regardless of any breach or violation of any warranties, declarations, or conditions contained in the policies by the licensee or permittee or any additional insured (other than a breach or violation by the licensee, permittee or an additional insured, and then only as against that licensee, permittee or additional insured).
(5) Each exclusion from coverage must be specified.
(6) Insurance shall be primary without right of contribution from any other insurance that is carried by the licensee or permittee or any additional insured.
(7) Each policy must expressly provide that all of its provisions, except the policy limits, operate in the same manner as if there were a separate policy with and covering the licensee or permittee and each additional insured.
(8) Each policy must be placed with an insurer of recognized reputation and responsibility that either:
(i) Is licensed to do business in any State, territory, possession of the United States, or the District of Columbia; or
(ii) Includes in each of its policies or insurance obtained under this part a contract clause in which the insurer agrees to submit to the jurisdiction of a court of competent jurisdiction within the United States and designates an authorized agent within the United States for service of legal process on the insurer.
(9) Except as to claims resulting from the willful misconduct of the United States or any of its agents, the insurer shall waive any and all rights of subrogation against each of the parties protected by required insurance.
(b) [Reserved]
(a) A licensee or permittee must submit to the FAA evidence of financial responsibility and compliance with allocation of risk requirements under this part, as follows, unless a license or permit order specifies otherwise due to the proximity of the intended date for commencement of licensed or permitted activities:
(1) All reciprocal waiver of claims agreements required under § 440.17(c) must be submitted at least 30 days before the start of any licensed or permitted activity involving a customer, crew member, or space flight participant; unless the Administrator agrees to a different time frame in accordance with § 404.15;
(2) Evidence of insurance must be submitted at least 30 days before commencement of any licensed launch or permitted activity, and for licensed reentry no less than 30 days before commencement of launch activities involving the reentry licensee, unless the Administrator agrees to a different time frame in accordance with § 404.15;
(3) Evidence of financial responsibility in a form other than insurance, as provided under § 440.9(f) must be submitted at least 60 days before commencement of a licensed or permitted activity, unless the Administrator agrees to a different time frame in accordance with § 404.15; and
(4) Evidence of renewal of insurance or other form of financial responsibility must be submitted at least 30 days in advance of its expiration date, unless the Administrator agrees to a different time frame in accordance with § 404.15.
(b) Upon a complete demonstration of compliance with financial responsibility and allocation of risk requirements under this part, the requirements of this part shall preempt each and any provision in any agreement between the licensee or permittee and an agency of the United States governing access to or use of United States launch or reentry property or launch or reentry services for a licensed or permitted activity which addresses financial responsibility, allocation of risk and related matters covered by 51 U.S.C. 50914, 50915.
(c) A licensee or permittee must demonstrate compliance as follows:
(1) The licensee or permittee must provide proof of the existence of the insurance required by § 440.9 by:
(i) Certifying to the FAA that it has obtained insurance in compliance with the requirements of this part and any applicable license or permit order;
(ii) Filing with the FAA one or more certificates of insurance evidencing insurance coverage by one or more insurers under a currently effective and properly endorsed policy or policies of insurance, applicable to a licensed or permitted activity, on terms and conditions and in amounts prescribed under this part, and specifying policy exclusions;
(iii) In the event of any policy exclusions or limitations of coverage that may be considered usual under § 440.19(c), or for purposes of implementing the Government's waiver of claims for property damage under 51 U.S.C. 50914(b), certifying that insurance covering the excluded risks is not commercially available at reasonable cost; and
(iv) Submitting to the FAA, for signature by the Department on behalf of the United States Government, the waiver of claims and assumption of responsibility agreement required by § 440.17(c), executed by the licensee or permittee and its customer.
(v) Submitting to the FAA, for signature by the Department on behalf of the United States Government, an agreement to waive claims and assume responsibility required by § 440.17(e), executed by each space flight participant.
(vi) Submitting to the FAA, for signature by the Department on behalf of the United States Government, an agreement to waive claims and assume responsibility required by § 440.17(f), executed by each member of the crew.
(2) Any certification required by this section must be signed by a duly authorized officer of the licensee or permittee.
(d) Each certificate of insurance required by paragraph (c)(1)(ii) of this section must be signed by the insurer issuing the policy and accompanied by an opinion of the insurance broker that the insurance obtained by the licensee or permittee complies with all the requirements for insurance of this part and any applicable license or permit order.
(e) The licensee or permittee must maintain, and make available for inspection by the FAA upon request, all required policies of insurance and other documents necessary to demonstrate compliance with this part.
(f) In the event the licensee or permittee demonstrates financial responsibility using means other than insurance, as provided under § 440.9(f), the licensee or permittee must provide proof that it has met the requirements of this part and of a FAA issued license or permit order.
(a) As a condition of each license or permit, the licensee or permittee must comply with the reciprocal waiver of claims requirements of this section.
(b) The licensee or permittee and each of its contractors and subcontractors, each customer, and each customer's contractors and subcontractors, must enter into a reciprocal waiver of claims agreement under which each party waives and releases claims against all the other parties to the waiver and against any other customer, and agrees to assume financial responsibility for property damage it sustains and for bodily injury or property damage sustained by its own employees, and to hold harmless and indemnify each other from bodily injury or property damage sustained by its employees, resulting from a licensed or permitted activity, regardless of fault.
(1) The licensee or permittee must extend the reciprocal waiver of claims requirements to each of its contractors and subcontractors involved in launch or reentry services, and each of its first-tier customers.
(2) Any first-tier customer must extend the reciprocal waiver of claims requirements to each of its contractors and subcontractors involved in launch or reentry services, and each of its customers.
(3) Any part 440 customer must extend the reciprocal waiver of claims requirements to each of its contractors and subcontractors involved in launch or reentry services, and each of its customers.
(c) For each licensed or permitted activity in which the United States, or its contractors and subcontractors, is involved or where property insurance is required under § 440.9(d), the Federal Aviation Administration of the Department of Transportation, the licensee or permittee, and each first-tier customer must enter into a reciprocal waiver of claims agreement. The reciprocal waiver of claims must be in a form acceptable to the Administrator, such as those contained in advisory circular AC 440.17-1, and must provide that:
(1) Each party to the reciprocal waiver of claims, including the United States but only to the extent provided in legislation:
(i) Waives and releases claims it may have against each other party to the reciprocal waiver of claims, any customer, and against their respective contractors and subcontractors, for property damage it sustains and for bodily injury or property damage sustained by its own employees, resulting from licensed or permitted activities, regardless of fault;
(ii) Assumes responsibility for property damage it sustains and for bodily injury or property damage sustained by its own employees, resulting from licensed or permitted activities, regardless of fault. A licensee or permittee and each first-tier customer shall each hold harmless and indemnify each other, the United States, any other customer, and the contractors and subcontractors of each for bodily injury or property damage sustained by its own employees, resulting from licensed or permitted activities, regardless of fault; and
(iii) Extends the requirements of the waiver and release of claims, and the assumption of responsibility, hold harmless, and indemnification, to its contractors and subcontractors involved in launch and reentry services, and, for each customer, to its contractors and subcontractors involved in launch and reentry services, and customers, by requiring them to waive and release all claims as follows:
(A) For each contractor and subcontractor of the licensee or permittee, all claims against any customer, the United States, and each of their respective contractors and subcontractors, and to agree to be responsible for property damage they sustain and to be responsible, hold harmless and indemnify any customer, the United States, and each of their respective contractors and subcontractors, for bodily injury or property damage sustained by their own employees, resulting from licensed activities, regardless of fault;
(B) For each contractor and subcontractor of any customer, all claims against the licensee or permittee, any other customer, the United States, and each of their respective contractors and subcontractors, and to agree to be responsible for property damage they sustain and to be responsible, hold harmless and indemnify the licensee or permittee, any other customer, the United States, and each of their respective contractors and subcontractors, for bodily injury or property damage sustained by their own employees, resulting from licensed activities, regardless of fault;
(C) For each contractor and subcontractor of the United States, all claims against the licensee or permittee, any customer, and each of their respective contractors and subcontractors, and to agree to be responsible for property damage they sustain and to be responsible, hold harmless and indemnify the licensee or permittee, any other customer, the United States, and each of their respective contractors and subcontractors, for bodily injury or property damage sustained by their own employees, resulting from licensed activities, regardless of fault to the extent that claims they would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(c) and (e);
(D) For each part 440 customer, all claims against the licensee or permittee, any other customer, the United States, and each of their respective contractors and subcontractors; and to agree to be responsible for property damage they sustain and to be responsible, hold harmless and indemnify the licensee or permittee, any other customer, the United States, and each of their respective contractors and subcontractors, for bodily injury or property damage sustained by their own employees, resulting from licensed activities, regardless of fault; and
(2) For the following parties—
(i) The licensee or permittee must hold harmless and indemnify each first-tier customer and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them; the United States and its servants, agents, subsidiaries, employees and assignees, or any of them; and any part 440 customer and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them from and against liability, loss or damage arising out of claims that any of licensee's or permittee's contractors and subcontractors may have for property damage sustained by them and for bodily injury or property damage sustained by their employees, resulting from licensed or permitted activities and arising out of the indemnifying party's failure to implement properly the waiver requirement. The requirement of paragraph (c)(2)(i) of this section to hold harmless and indemnify the United States and its servants, agents, subsidiaries, employees and assignees, or any of them, does not apply when:
(A) Claims result from willful misconduct of the United States or its agents;
(B) Claims for property damage sustained by the United States or its contractors and subcontractors exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(e);
(C) For licensed activity, claims by a third party for bodily injury or property damage exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(c), and do not exceed $1,500,000,000 (as adjusted for inflation after January 1, 1989) above such amount, and are payable pursuant to the provisions of 51 U.S.C. 50915 and § 440.19; or
(D) The licensee has no liability for claims exceeding $1,500,000,000 (as adjusted for inflation after January 1, 1989) above the amount of insurance or demonstration of financial responsibility required under § 440.9(c).
(ii) Each first-tier customer must hold harmless and indemnify the licensee or permittee and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them; the United States and its servants, agents, subsidiaries, employees and assignees, or any of them; and any part 440 customer and its directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims that any of each first-tier customer's customers, contractors, or subcontractors, may have for property damage sustained by them and for bodily injury or property damage sustained by their employees, resulting from licensed or permitted activities and arising out of the indemnifying party's failure to implement properly the waiver requirement.
(iii) The Federal Aviation Administration of the Department of Transportation on behalf of the United States, but only to the extent provided in legislation, must hold harmless and indemnify the licensee or permittee, each first-tier customer, any part 440 customer, and their respective directors, officers, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss or damage arising out of claims that contractors and subcontractors of the United States may have for property damage sustained by them and for bodily injury or property damage sustained by their employees, resulting from licensed or permitted activities and arising out of the indemnifying party's failure to implement properly the waiver requirement to the extent that claims they would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(c) and (e).
(d) For each licensed or permitted activity in which the United States or its contractors and subcontractors are involved, the Federal Aviation Administration of the Department of Transportation and each space flight participant must enter into or have in place a reciprocal waiver of claims agreement. The reciprocal waiver of claims must be in a form acceptable to the Administrator, such as those contained in advisory circular AC 440.17-1.
(1) The reciprocal waiver of claims must provide that each space flight participant:
(i) Waive and release claims he or she may have against the United States, and against each of its contractors and subcontractors, for bodily injury or property damage sustained by the space flight participant, resulting from licensed or permitted activities, regardless of fault;
(ii) Assume responsibility for bodily injury or property damage, sustained by the space flight participant, resulting from licensed or permitted activities, regardless of fault;
(iii) Hold harmless the United States, and its contractors and subcontractors, for bodily injury or property damage, sustained by the space flight participant, resulting from licensed or permitted activities, regardless of fault; and
(iv) Hold harmless and indemnify the United States and its servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss, or damage arising out of claims brought by anyone for property damage or bodily injury sustained by the space flight participant, resulting from licensed or permitted activities.
(2) The reciprocal waiver of claims must provide that the United States:
(i) Waive and release claims it may have against the space flight participant for property damage it sustains, and for bodily injury or property damage sustained by its own employees, resulting from licensed or permitted activities, regardless of fault;
(ii) Assume responsibility for property damage it sustains, and for bodily injury or property damage sustained by its own employees, resulting from licensed activities, regardless of fault, to the extent that claims it would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(c) and (e), respectively;
(iii) Assume responsibility for property damage it sustains, resulting from permitted activities, regardless of fault, to the extent that claims it would otherwise have for such damage exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(e);
(iv) Extend the requirements of the waiver and release of claims, and the assumption of responsibility to its contractors and subcontractors by requiring them to waive and release all claims they may have against the space flight participant, and to agree to be responsible, for any property damage they sustain and for any bodily injury or property damage sustained by their own employees, resulting from licensed activities, regardless of fault; and
(v) Extend the requirements of the waiver and release of claims, and the assumption of responsibility to its contractors and subcontractors by requiring them to waive and release all claims they may have against the space flight participant, and to agree to be responsible, for any property damage they sustain, resulting from permitted activities, regardless of fault.
(e) For each licensed or permitted activity in which the United States or its contractors and subcontractors is involved, the Federal Aviation Administration of the Department of Transportation and each crew member must enter into or have in place a reciprocal waiver of claims agreement. The reciprocal waiver of claims must in a form acceptable to the Administrator, such as those contained in advisory circular AC 440.17-1.
(1) The reciprocal waiver of claims must provide that each crew member:
(i) Waive and release claims he or she may have against the United States, and against each of its contractors and subcontractors, for bodily injury or property damage sustained by the crew member, resulting from licensed or permitted activities, regardless of fault;
(ii) Assume responsibility for bodily injury or property damage, sustained by the crew member, resulting from licensed or permitted activities, regardless of fault;
(iii) Hold harmless the United States, and its contractors and subcontractors, for bodily injury or property damage, sustained by the crew member, resulting from licensed or permitted activities, regardless of fault; and
(iv) Hold harmless and indemnify the United States and its agencies, servants, agents, subsidiaries, employees and assignees, or any of them, from and against liability, loss, or damage arising out of claims brought by anyone for property damage or bodily injury sustained by the crew member, resulting from licensed or permitted activities.
(2) The reciprocal waiver of claims must provide that the United States:
(i) Waive and release claims it may have against the crew member for property damage it sustains, and for bodily injury, including death, or property damage sustained by its own employees, resulting from licensed or permitted activities, regardless of fault;
(ii) Assume responsibility for property damage it sustains, and for bodily injury or property damage sustained by its own employees, resulting from licensed activities, regardless of fault, to the extent that claims it would otherwise have for such damage or injury exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(c) and (e), respectively;
(iii) Assume responsibility for property damage it sustains, resulting from permitted activities, regardless of fault, to the extent that claims it would otherwise have for such damage exceed the amount of insurance or demonstration of financial responsibility required under § 440.9(e);
(iv) Extend the requirements of the waiver and release of claims, and the assumption of responsibility to its contractors and subcontractors by requiring them to waive and release all claims they may have against the crew member and to agree to be responsible, for any property damage they sustain and for any bodily injury or property damage sustained by their own employees, resulting from licensed activities, regardless of fault; and
(v) Extend the requirements of the waiver and release of claims, and the assumption of responsibility to its contractors and subcontractors by requiring them to waive and release all claims they may have against the crew member and to agree to be responsible, for any property damage they sustain, resulting from permitted activities, regardless of fault.
(f) The licensee or permittee and each space flight participant must enter into a reciprocal waiver of claims agreement under which each party waives and releases claims against the other party to the waiver, and agrees to assume financial responsibility for property damage it sustains and for bodily injury or property damage, and to hold harmless and indemnify each other from bodily injury or property damage, resulting from a licensed or permitted activity, regardless of fault. This paragraph (f) shall cease to be effective as of September 30, 2025, unless public law modifies the limitation in section 50914 of Title 51 of the U.S. Code.
(g) Any waiver, release, assumption of responsibility or agreement to hold harmless and indemnify pursuant to this section does not apply to claims for bodily injury or property damage resulting from willful misconduct of any of the parties to the reciprocal waiver of claims, the contractors and subcontractors of any of the parties to the reciprocal waiver of claims, and in the case of licensee or permittee and customers and the contractors and subcontractors of each of them, the directors, officers, agents and employees of any of the foregoing, and in the case of the United States, its agents.
(a) The United States pays successful covered claims (including reasonable expenses of litigation or settlement) of a third party against a licensee, a customer, and the contractors and subcontractors of the licensee and the customer, and the employees of each involved in licensed activities, and the contractors and subcontractors of the United States and its agencies, and their employees, involved in licensed activities to the extent provided in an appropriation law or other legislative authority providing for payment of claims in accordance with 51 U.S.C. 50915, and to the extent the total amount of such covered claims arising out of any particular launch or reentry:
(1) Exceeds the amount of insurance required under § 440.9(b); and
(2) Is not more than $1,500,000,000 (as adjusted for inflation occurring after January 1, 1989) above that amount.
(b) Payment by the United States under paragraph (a) of this section shall not be made for any part of such claims for which bodily injury or property damage results from willful misconduct by the party seeking payment.
(c) The United States shall provide for payment of claims by third parties for bodily injury or property damage that are payable under 49 U.S.C. 70113 and not covered by required insurance under § 440.9(b), without regard to the limitation under paragraph (a)(1) of this section, because of an insurance policy exclusion that is usual. A policy exclusion is considered usual only if insurance covering the excluded risk is not commercially available at reasonable rates. The licensee must submit a certification in accordance with § 440.15(c)(1)(iii) of this part for the United States to cover the claims.
(d) Upon the expiration of the policy period prescribed in accordance with § 440.11(a), the United States shall provide for payment of claims that are payable under 51 U.S.C. 50915 from the first dollar of loss up to $1,500,000,000 (as adjusted for inflation occurring after January 1, 1989).
(e) Payment by the United States of excess third-party claims under 51 U.S.C. 50915 shall be subject to:
(1) Prompt notice by the licensee to the FAA that the total amount of claims arising out of licensed activities exceeds, or is likely to exceed, the required amount of financial responsibility. For each claim, the notice must specify the nature, cause, and amount of the claim or lawsuit associated with the claim, and the party or parties who may otherwise be liable for payment of the claim;
(2) Participation or assistance in the defense of the claim or lawsuit by the United States, at its election;
(3) Approval by the FAA of any settlement, or part of a settlement, to be paid by the United States; and
(4) Approval by Congress of a compensation plan prepared by the FAA and submitted by the President.
(f) The FAA will:
(1) Prepare a compensation plan outlining the total amount of claims and meeting the requirements set forth in 51 U.S.C. 50915;
(2) Recommend sources of funds to pay the claims; and
(3) Propose legislation as required to implement the plan.
(g) The FAA may withhold payment of a claim if it finds that the amount is unreasonable, unless it is the final order of a court that has jurisdiction over the matter.
Any person requesting a maximum probable loss determination shall submit the following information to the FAA, unless the FAA has waived a particular information requirement under 14 CFR 440.7(c):
A. Mission description.
1. A description of mission parameters, including:
a. Launch trajectory;
b. Orbital inclination; and
c. Orbit altitudes (apogee and perigee).
2. Flight sequence.
3. Staging events and the time for each event.
4. Impact locations.
5. Identification of the launch site facility, including the launch complex on the site, planned date of launch, and launch windows.
6. If the applicant has previously been issued a license or permit to conduct activities using the same vehicle from the same launch site, a description of any differences planned in the conduct of proposed activities.
B. Launch vehicle description.
1. General description of the launch vehicle and its stages, including dimensions.
2. Description of major systems, including safety systems.
3. Description of rocket motors and type of fuel used.
4. Identification of all propellants to be used and their hazard classification under the Hazardous Materials Table, 49 CFR 172.101.
5. Description of hazardous components.
C. Payload.
1. General description of the payload, including type (e.g., telecommunications, remote sensing), propellants, and hazardous components or materials, such as toxic or radioactive substances.
D. Flight safety system.
1. Identification of any flight safety system on the vehicle, including a description of operations and component location on the vehicle.
A. General description of pre-flight operations including vehicle processing consisting of an operational flow diagram showing the overall sequence and location of operations, commencing with arrival of vehicle components at the launch site facility through final safety checks and countdown sequence, and designation of hazardous operations, as defined in 14 CFR 440.3. For purposes of these information requirements, payload processing, as opposed to integration, is not a hazardous operation.
B. For each hazardous operation, including but not limited to fueling, solid rocket motor build-up, ordnance installation, ordnance checkout, movement of hazardous materials, and payload integration:
1. Identification of location where each operation will be performed, including each building or facility identified by name or number.
2. Identification of facilities adjacent to the location where each operation will be performed and therefore exposed to risk, identified by name or number.
3. Maximum number of Government personnel and individuals not involved in licensed activities who may be exposed to risk during each operation. For Government personnel, identification of his or her employer.
4. Identification of launch site policies or requirements applicable to the conduct of operations.
A. Identification of launch site facilities exposed to risk during licensed flight.
B. Identification of accident failure scenarios, probability assessments for each, and estimation of risks to Government personnel, individuals not involved in licensed activities, and Government property, due to property damage or bodily injury. The estimation of risks for each scenario shall take into account the number of such individuals at risk as a result of lift-off and flight of a launch vehicle (on-range, off-range, and down-range) and specific, unique facilities exposed to risk. Scenarios shall cover the range of launch trajectories, inclinations and orbits for which authorization is sought in the license application.
C. On-orbit risk analysis assessing risks posed by a launch vehicle to operational satellites.
D. Reentry risk analysis assessing risks to Government personnel and individuals not involved in licensed activities as a result of reentering debris or reentry of the launch vehicle or its components.
E. Trajectory data as follows: Nominal and 3-sigma lateral trajectory data in x, y, z and x (dot), y (dot), z (dot) coordinates in one-second intervals, data to be pad-centered with x being along the initial launch azimuth and continuing through impact for suborbital flights, and continuing through orbital insertion or the end of powered flight for orbital flights.
F. Tumble-turn data for guided vehicles only, as follows: For vehicles with gimbaled nozzles, tumble turn data with zeta angles and velocity magnitudes stated. A separate table is required for each combination of fail times (every two to four seconds), and significant nozzle angles (two or more small angles, generally between one and five degrees).
G. Identification of debris lethal areas and the projected number and ballistic coefficient of fragments expected to result from flight termination, initiated either by command or self-destruct mechanism, for lift-off, land overflight, and reentry.
A. General description of post-flight ground operations including overall sequence and location of operations for removal of vehicle components and processing equipment from the launch site facility and for handling of hazardous materials, and designation of hazardous operations.
B. Identification of all facilities used in conducting post-flight processing operations.
C. For each hazardous operation:
1. Identification of location where each operation is performed, including each building or facility identified by name or number.
2. Identification of facilities adjacent to location where each operation is performed and exposed to risk, identified by name or number.
3. Maximum number of Government personnel and individuals not involved in licensed launch activities that may be exposed to risk during each operation. For Government personnel, identification of his or her employer.
4. Identification of launch site facility policies or requirements applicable to the conduct of operations.
A. Reentry mission description.
1. A description of mission parameters, including:
a. Orbital inclination; and
b. Orbit altitudes (apogee and perigee).
c. Reentry trajectories.
2. Reentry flight sequences.
3. Reentry initiation events and the time for each event.
4. Nominal landing location, alternative landing sites and contingency abort sites.
5. Identification of landing facilities, (planned date of reentry), and reentry windows.
6. If the applicant has previously been issued a license or permit to conduct reentry activities using the same reentry vehicle to the same reentry site facility, a description of any differences planned in the conduct of proposed activities.
B. Reentry vehicle description.
1. General description of the reentry vehicle, including dimensions.
2. Description of major systems, including safety systems.
3. Description of propulsion system (reentry initiation system) and type of fuel used.
4. Identification of all propellants to be used and their hazard classification under the Hazardous Materials Table, 49 CFR 172.101.
5. Description of hazardous components.
C. Payload.
1. General description of any payload, including type (e.g., telecommunications, remote sensing), propellants, and hazardous components or materials, such as toxic or radioactive substances.
D. Flight Safety System.
1. Identification of any flight safety system on the reentry vehicle, including a description of operations and component location on the vehicle.
A. Identification of reentry site facilities exposed to risk during vehicle reentry and landing.
B. Identification of accident failure scenarios, probability assessments for each, and estimation of risks to Government personnel, individuals not involved in licensed reentry, and Government property, due to property damage or bodily injury. The estimation of risks for each scenario shall take into account the number of such individuals at risk as a result of reentry (flight) and landing of a reentry vehicle (on-range, off-range, and down-range) and specific, unique facilities exposed to risk. Scenarios shall cover the range of reentry trajectories for which authorization is sought.
C. On-orbit risk analysis assessing risks posed by a reentry vehicle to operational satellites during reentry.
D. Reentry risk analysis assessing risks to Government personnel and individuals not involved in licensed activities as a result of inadvertent or random reentry of the launch vehicle or its components.
E. Nominal and 3-sigma dispersed trajectories in one-second intervals, from reentry initiation through landing or impact. (Coordinate system will be specified on a case-by-case basis)
F. Three-sigma landing or impact dispersion area in downrange (±) and crossrange
(±) measured from the nominal and contingency landing or impact target. The applicant is responsible for including all significant landing or impact dispersion constituents in the computations of landing or impact dispersion areas. The dispersion constituents should include, but not be limited to: Variation in orbital position and velocity at the reentry initiation time; variation in re-entry initiation time offsets, either early or late; variation in the bodies' ballistic coefficient; position and velocity variation due to winds; and variations in re-entry retro-maneuvers.
G. Malfunction turn data (tumble, trim) for guided (controllable) vehicles. The malfunction turn data shall include the total angle turned by the velocity vector versus turn duration time at one second intervals; the magnitude of the velocity vector versus turn duration time at one second intervals; and an indication on the data where the re-entry body will impact the Earth, or breakup due to aerodynamic loads. A malfunction turn data set is required for each malfunction time. Malfunction turn start times shall not exceed four-second intervals along the trajectory.
H. Identification of debris casualty areas and the projected number and ballistic coefficient of fragments expected to result from each failure mode during reentry, including random reentry.
A. General description of post-flight ground operations including overall sequence and location of operations for removal of vehicle and components and processing equipment from the reentry site facility and for handling of hazardous materials, and designation of hazardous operations.
B. Identification of all facilities used in conducting post-flight processing operations.
C. For each hazardous operation:
1. Identification of location where each operation is performed, including each building or facility identified by name or number.
2. Identification of facilities adjacent to location where each operation is performed and exposed to risk, identified by name or number.
3. Maximum number of Government personnel and individuals not involved in licensed reentry activities who may be exposed to risk during each operation. For Government personnel, identification of his or her employer.
4. Identify and provide reentry site facility policies or requirements applicable to the conduct of operations.
In addition to the information required in part 437 subpart B, an applicant for an experimental permit must provide, for each permitted pre-flight and post-flight operation, the following information to the FAA:
A. Identification of location where each operation will be performed, including any U.S. Government or third party facilities identified by name or number.
B. Identification of any U.S. Government or third party facilities adjacent to the location where each operation will be performed and therefore exposed to risk, identified by name or number.
C. Maximum number of Government personnel and individuals not involved in permitted activities that may be exposed to risk during each operation. For Government personnel, identification of his or her employer.
This part prescribes requirements for obtaining and maintaining a license to launch, reenter, or both launch and reenter, a launch or reentry vehicle.
(a) General. A vehicle operator license authorizes a licensee to conduct one or more launches or reentries using the same vehicle or family of vehicles. A vehicle operator license identifies the scope of authorization as defined in paragraphs (b) and (c) of this section or as agreed to by the Administrator.
(b) Scope of launch. A vehicle operator license authorizes launch, which includes the flight of a launch vehicle and pre- and post-flight ground operations as follows:
(1) Launch begins when hazardous pre-flight operations commence at a U.S. launch site that may pose a threat to the public. Hazardous pre-flight operations that may pose a threat to the public include pressurizing or loading of propellants into the vehicle, operations involving a fueled launch vehicle, the transfer of energy necessary to initiate flight, or any hazardous activity preparing the vehicle for flight. Hazardous pre-flight operations do not include the period between the end of the previous launch and launch vehicle reuse, when the vehicle is in a safe and dormant state.
(2) At a non-U.S. launch site, launch begins at ignition or at the first movement that initiates flight, whichever occurs earlier.
(3) Launch ends when any of the following events occur:
(i) For an orbital launch of a vehicle without a reentry of the vehicle, launch ends after the licensee's last exercise of control over its vehicle on orbit, after vehicle component impact or landing on Earth, after activities necessary to return the vehicle or component to a safe condition on the ground after impact or landing, or after activities necessary to return the site to a safe condition, whichever occurs latest;
(ii) For an orbital launch of a vehicle with a reentry of the vehicle, launch ends after deployment of all payloads, upon completion of the vehicle's first steady-state orbit if there is no payload deployment, after vehicle component impact or landing on Earth, after activities necessary to return the vehicle or component to a safe condition on the ground after impact or landing, or after activities necessary to return the site to a safe condition, whichever occurs latest;
(iii) For a suborbital launch that includes a reentry, launch ends after reaching apogee;
(iv) For a suborbital launch that does not include a reentry, launch ends after vehicle or vehicle component impact or landing on Earth, after activities necessary to return the vehicle or vehicle component to a safe condition on the ground after impact or landing, or after activities necessary to return the site to a safe condition, whichever occurs latest.
(c) Scope of reentry. A vehicle operator license authorizes reentry. Reentry includes activities conducted in Earth orbit or outer space to determine reentry readiness and that are critical to ensuring public health and safety and the safety of property during reentry flight. Reentry also includes activities necessary to return the reentry vehicle, or vehicle component, to a safe condition on the ground after impact or landing.
(d) Application requirements. An applicant must identify pre- and post-flight ground operations at a U.S. launch site sufficient for the Administrator to determine the scope of activities authorized under the license.
(a) The FAA issues a vehicle operator license to an applicant who has obtained all approvals and determinations required under this part for a license.
(b) A vehicle operator license authorizes a licensee to conduct launches or reentries, in accordance with the representations contained in the licensee's application, with subparts C and D of this part, and subject to the licensee's compliance with terms and conditions contained in license orders accompanying the license, including financial responsibility requirements.
A vehicle operator license is valid for the period of time determined by the Administrator as necessary to conduct the licensed activity but may not exceed 5 years from the issuance date.
The FAA may modify a vehicle operator license at any time by modifying or adding license terms and conditions to ensure compliance with the Act and regulations.
(a) Only the FAA may transfer a vehicle operator license.
(b) Either the holder of a vehicle operator license or the prospective transferee may request a vehicle operator license transfer.
(c) Both the holder and prospective transferee must agree to the transfer.
(d) An applicant for transfer of a vehicle operator license must submit a license application in accordance with part 413 of this chapter and must meet the requirements of part 450 of this chapter.
(e) The FAA will transfer a license to an applicant that has obtained all of the approvals and determinations required under this part for a license. In conducting its reviews and issuing approvals and determinations, the FAA may incorporate by reference any findings made part of the record to support the initial licensing determination. The FAA may modify a license to reflect any changes necessary as a result of a license transfer.
(f) The FAA will provide written notice of its determination to the person requesting the vehicle operator license transfer.
Issuance of a vehicle operator license does not relieve a licensee of its obligation to comply with all applicable requirements of law or regulation that may apply to its activities, nor does issuance confer any proprietary, property, or exclusive right in the use of any Federal launch or reentry site or related facilities, airspace, or outer space.
(a) To obtain a vehicle operator license, an applicant must—
(1) Submit a license application in accordance with the procedures in part 413 of this chapter;
(2) Obtain a policy approval from the Administrator in accordance with § 450.41;
(3) Obtain a favorable payload determination from the Administrator in accordance with § 450.43, if applicable;
(4) Obtain a safety approval from the Administrator in accordance with § 450.45;
(5) Satisfy the environmental review requirements of § 450.47; and
(6) Provide the information required by appendix A of part 440 for the Administrator to conduct a maximum probable loss analysis for the applicable licensed operation.
(b) An applicant may apply for the approvals and determinations in paragraphs (a)(2) through (6) of this section separately or all together in one complete application, using the application procedures contained in part 413 of this chapter.
(c) An applicant may also apply for a safety approval in an incremental manner, in accordance with § 450.33.
(d) An applicant may reference materials previously provided as part of a license application in order to meet the application requirements of this part.
An applicant may submit its application for a safety review in modules using an incremental approach approved by the Administrator.
(a) An applicant must identify to the Administrator, prior to submitting an application, whether it will submit a modular application for any approval or determination.
(b) An applicant using an incremental approach must have the approach approved by the Administrator prior to submitting an application. In reviewing a proposed approach, the Administrator will consider the following:
(1) Whether the modules can be reviewed independently; and
(2) Whether the modules will be submitted in a workable chronological order.
(c) The Administrator may make incremental determinations as part of this review process.
(a) Prior to application acceptance, a means of compliance must be accepted by the Administrator for the following:
(1) Section 450.115(b)(1) regarding flight safety analyses;
(2) Section 450.139(e)(1) regarding toxic hazards for flight;
(3) Section 450.145(b) regarding highly-reliable flight safety system;
(4) Section 450.163(a)(1) regarding lightning hazard mitigation; and
(5) Section 450.187(e)(1) regarding toxic hazards mitigation for ground operations.
(b) A person requesting acceptance of a proposed means of compliance outside a license application must submit the proposed means of compliance to the FAA in a form and manner acceptable to the Administrator.
(a) An applicant must demonstrate compliance with each requirement of this part, unless the applicant clearly and convincingly demonstrates that an alternative approach provides an equivalent level of safety to the requirement of this part.
(b) Paragraph (a) of this section does not apply to § 450.101(a), (b), (c)(1) and (3), (d), (e)(1), and (g).
If an applicant proposes to use any vehicle, safety system, process, service, or personnel for which the FAA has issued a safety element approval under part 414 of this chapter, the FAA will not reevaluate that safety element during a license application evaluation to the extent its use is within its approved scope.
(a) General. The FAA issues a policy approval to an applicant unless the FAA determines that a proposed launch or reentry would jeopardize U.S. national security or foreign policy interests, or international obligations of the United States.
(b) Interagency consultation. (1) The FAA consults with the Department of Defense to determine whether a license application presents any issues affecting U.S. national security.
(2) The FAA consults with the Department of State to determine whether a license application presents any issues affecting U.S. foreign policy interests or international obligations.
(3) The FAA consults with other Federal agencies, including the National Aeronautics and Space Administration, authorized to address issues identified under paragraph (a) of this section, associated with an applicant's proposal.
(c) Issues during policy review. The FAA will advise an applicant, in writing, of any issue raised during a policy review that would impede issuance of a policy approval. The applicant may respond, in writing, or amend its license application as required by § 413.17 of this chapter.
(d) Denial of policy approval. The FAA notifies an applicant, in writing, if it has denied policy approval for a license application. The notice states the reasons for the FAA's determination. The applicant may seek further review of the determination in accordance with § 413.21 of this chapter.
(e) Application requirements for policy review. In its license application, an applicant must—
(1) Identify the model, type, and configuration of any vehicle proposed for launch or reentry by the applicant;
(2) Describe the vehicle by characteristics that include individual stages, their dimensions, type and amounts of all propellants, and maximum thrust;
(3) Identify foreign ownership of the applicant as follows:
(i) For a sole proprietorship or partnership, identify all foreign ownership;
(ii) For a corporation, identify any foreign ownership interests of 10 percent or more; and
(iii) For a joint venture, association, or other entity, identify any participating foreign entities; and
(4) Identify the proposed vehicle flight profile, including:
(i) Launch or reentry site, including any contingency abort locations;
(ii) Flight azimuths, trajectories, and associated ground tracks and instantaneous impact points for the duration of the licensed activity, including any contingency abort profiles;
(iii) Sequence of planned events or maneuvers during flight;
(iv) Normal impact or landing areas for all mission hardware; and
(v) For each orbital mission, the range of intermediate and final orbits of each vehicle upper stage and their estimated orbital lifetimes.
(a) General. If applicable, the FAA issues a favorable payload determination for a launch or reentry to a license applicant or payload owner or operator if—
(1) The applicant, payload owner, or payload operator has obtained all required licenses, authorizations, and permits; and
(2) Its launch or reentry would not jeopardize public health and safety, safety of property, U.S. national security or foreign policy interests, or international obligations of the United States.
(b) Relationship to other executive agencies. The FAA does not make a determination under paragraph (a)(2) of this section for—
(1) Those aspects of payloads that are subject to regulation by the Federal Communications Commission or the Department of Commerce; or
(2) Payloads owned or operated by the U.S. Government.
(c) Classes of payloads. The FAA may review and issue findings regarding a proposed class of payload, including communications, remote sensing, or navigation. However, prior to a launch or reentry, each payload is subject to verification by the FAA that its launch or reentry would not jeopardize public health and safety, safety of property, U.S. national security or foreign policy interests, or international obligations of the United States.
(d) Payload owner or payload operator may apply. In addition to a launch or reentry operator, a payload owner or payload operator may request a payload review and determination.
(e) Interagency consultation. The FAA consults with other agencies as follows:
(1) The Department of Defense to determine whether launch or reentry of a proposed payload or payload class would present any issues affecting U.S. national security;
(2) The Department of State to determine whether launch or reentry of a proposed payload or payload class would present any issues affecting U.S. foreign policy interests or international obligations; or
(3) Other Federal agencies, including the National Aeronautics and Space Administration, authorized to address issues of public health and safety, safety of property, U.S. national security or foreign policy interests, or international obligations of the United States, associated with the launch or reentry of a proposed payload or payload class.
(f) Issues during payload review. The FAA will advise a person requesting a payload determination, in writing, of any issue raised during a payload review that would impede issuance of a license to launch or reenter that payload or payload class. The person requesting payload review may respond, in writing, or amend its application as required by § 413.17 of this chapter.
(g) Denial of a payload determination. The FAA notifies an applicant, in writing, if it has denied a favorable payload determination. The notice states the reasons for the FAA's determination. The applicant may seek further review of the determination in accordance with § 413.21 of this chapter.
(h) Incorporation of payload determination in license application. A favorable payload determination issued for a payload or class of payload may be included by a license applicant as part of its application. However, any change in information provided under paragraph (i) of this section must be reported in accordance with § 413.17 of this chapter. The FAA determines whether a favorable payload determination remains valid in light of reported changes and may conduct an additional payload review.
(i) Application requirements. A person requesting review of a particular payload or payload class must identify the following:
(1) For launch of a payload:
(i) Payload name or class of payload, and function;
(ii) Description, including physical dimensions, weight, composition, and any hosted payloads;
(iii) Payload owner and payload operator, if different from the person requesting payload review and determination;
(iv) Any foreign ownership of the payload or payload operator, as specified in § 450.41(e)(3);
(v) Hazardous materials as defined in § 401.7 of this chapter, radioactive materials, and the amounts of each;
(vi) Explosive potential of payload materials, alone and in combination with other materials found on the payload;
(vii) For orbital launches, parameters for parking, transfer and final orbits, and approximate transit times to final orbit;
(viii) Delivery point in flight at which the payload will no longer be under the licensee's control;
(ix) Intended operations during the lifetime of the payload, including anticipated life span and any planned disposal;
(x) Any encryption associated with data storage on the payload and transmissions to or from the payload; and
(xi) Any other information necessary to make a determination based on public health and safety, safety of property, U.S. national security or foreign policy interests, or international obligations of the United States.
(2) For reentry of a payload:
(i) Payload name or class of payload, and function;
(ii) Physical characteristics, dimensions, and weight of the payload;
(iii) Payload owner and payload operator, if different from the person requesting the payload review and determination;
(iv) Type, amount, and container of hazardous materials and radioactive materials in the payload;
(v) Explosive potential of payload materials, alone and in combination with other materials found on the payload or reentry vehicle during reentry; and
(vi) Designated reentry site.
(a) General. The FAA issues a safety approval to an applicant if it determines that an applicant can conduct launch or reentry without jeopardizing public health and safety and safety of property. A license applicant must satisfy the application requirements in this section and subpart C of this part.
(b) Services or property provided by a Federal launch or reentry site. The FAA will accept any safety-related launch or reentry service or property provided by a Federal launch or reentry site or other Federal entity by contract, as long as the FAA determines that the launch or reentry services or property provided satisfy this part.
(c) Issues during safety review. The FAA will advise an applicant, in writing, of any issues raised during a safety review that would impede issuance of a safety approval. The applicant may respond, in writing, or amend its license application as required by § 413.17 of this chapter.
(d) Denial of a safety approval. The FAA notifies an applicant, in writing, if it has denied a safety approval for a license application. The notice states the reasons for the FAA's determination. The applicant may seek further review of the determination in accordance with § 413.21 of this chapter.
(e) Application requirements. An applicant must submit the information required in the “Application requirements” paragraphs in individual sections in subpart C of this part, as well as the following:
(1) General. An application must—
(i) Contain a glossary of unique terms and acronyms used in alphabetical order;
(ii) Contain a listing of all referenced material;
(iii) Use equations and mathematical relationships derived from or referenced to a recognized standard or text, and define all algebraic parameters;
(iv) Include the units of all numerical values provided; and
(v) Include a legend or key that identifies all symbols used for any schematic diagrams.
(2) Site description. An applicant must identify the proposed launch or reentry site, including contingency abort locations, and submit the following:
(i) Boundaries of the site;
(ii) Launch or landing point locations, including latitude and longitude;
(iii) Identity of any site operator; and
(iv) Identity of any facilities at the site that will be used for pre- or post-flight ground operations.
(3) Vehicle description. An applicant must submit the following:
(i) A written description of the vehicle or family of vehicles, including structural, thermal, pneumatic, propulsion, electrical, and avionics and guidance systems used in each vehicle, and all propellants. The description must include a table specifying the type and quantities of all hazardous materials on each vehicle and must include propellants, explosives, and toxic materials; and
(ii) A drawing of each vehicle that identifies:
(A) Each stage, including strap-on motors;
(B) Physical dimensions and weight;
(C) Location of all safety-critical systems;
(D) Location of all major vehicle control systems, propulsion systems, pressure vessels, and any other hardware that contains potential hazardous energy or hazardous material; and
(E) For an unguided suborbital launch vehicle, the location of the vehicle's center of pressure in relation to its center of gravity for the entire flight profile.
(4) Mission schedule. An applicant must submit a generic launch or reentry processing schedule that identifies any readiness activities, such as reviews and rehearsals, and each safety-critical pre-flight operation to be conducted. The mission schedule must also identify day of flight activities.
(5) Human space flight. For a proposed launch or reentry with a space flight participant, crew, or government astronaut on board a vehicle, an applicant must demonstrate compliance with §§ 460.5, 460.7, 460.11, 460.13, 460.15, 460.17, 460.51, 460.53, 460.59, 460.61, and 460.67 of this chapter.
(6) Radionuclides. The FAA will evaluate the launch or reentry of any radionuclide on a case-by-case basis, and issue an approval if the FAA finds that the launch or reentry is consistent with public health and safety, safety of property, and national security and foreign policy interests of the United States. For any radionuclide on a launch or reentry vehicle, an applicant must—
(i) Identify the type and quantity;
(ii) Include a reference list of all documentation addressing the safety of its intended use; and
(iii) Describe all approvals by the Nuclear Regulatory Commission for pre-flight ground operations.
(7) Additional material. The FAA may also request—
(i) Any information incorporated by reference in the license application; and
(ii) Additional products that allow the FAA to conduct an independent safety analysis.
(a) General. The FAA is responsible for complying with the procedures and policies of the National Environmental Policy Act (NEPA) and other applicable environmental laws, regulations, and Executive Orders prior to issuing a launch or reentry license. An applicant must provide the FAA with information needed to comply with such requirements. The FAA will consider and document the potential environmental effects associated with issuing a launch or reentry license consistent with paragraph (b) of this section.
(b) Environmental Impact Statement or Environmental Assessment. When directed by the FAA, an applicant must—
(1) Prepare an Environmental Assessment with FAA oversight;
(2) Assume financial responsibility for preparation of an Environmental Impact Statement by an FAA-selected and -managed consultant contractor; or
(3) Submit information to support a written re-evaluation of a previously submitted Environmental Assessment or Environmental Impact Statement.
(c) Categorical exclusion. The FAA may determine that a categorical exclusion is appropriate upon receipt of supporting information from an applicant.
(d) Application requirements. An application must include an approved FAA Environmental Assessment, Environmental Impact Statement, categorical exclusion determination, or written re-evaluation, which should address compliance with any other applicable environmental laws, regulations, and Executive Orders covering all planned licensed activities in compliance with NEPA and the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA.
(a) Launch risk criteria. For any launch, an operator may initiate the flight of a launch vehicle only if all risks to the public satisfy the criteria in this paragraph (a). For an orbital launch, the criteria in this paragraph apply from liftoff through orbital insertion. For a suborbital launch, or a suborbital launch and reentry, the criteria in this paragraph apply from liftoff through final impact or landing.
(1) Collective risk. The collective risk, measured as expected number of casualties (E
(i) The risk to all members of the public, excluding persons in aircraft and neighboring operations personnel, must not exceed an expected number of 1 × 10
(ii) The risk to all neighboring operations personnel must not exceed an expected number of 2 × 10
(2) Individual risk. The individual risk, measured as probability of casualty (P
(i) The risk to any individual member of the public, excluding neighboring operations personnel, must not exceed a probability of casualty of 1 × 10
(ii) The risk to any individual neighboring operations personnel must not exceed a probability of casualty of 1 × 10
(3) Aircraft risk. A launch operator must establish any aircraft hazard areas necessary to ensure the probability of impact with debris capable of causing a casualty for aircraft does not exceed 1 × 10
(4) Risk to critical assets. (i) The risk to critical assets, measured as the probability of loss of functionality, must not exceed the following probabilities:
(A) For each critical asset, except for a critical payload, 1 × 10
(B) For each critical payload, 1 × 10
(ii) The Administrator will consult with relevant Federal agencies, and each agency will identify, for purposes of this part, any critical assets that the agency owns or otherwise depends on. For purposes of this part, the Administrator will accept any identification by the Secretary of Defense that an asset is critical to national security.
(iii) The Administrator or Federal site operator will notify the licensee of any risk to critical assets above the risk criteria in paragraph (a)(4)(i) of this section.
(iv) The Administrator may determine, in consultation with relevant Federal agencies, that a more stringent probability is necessary to protect the national interests of the United States.
(v) The risk criteria in paragraph (a)(4)(i) of this section do not apply to property, facilities, or infrastructure supporting the launch that are within the public area distance, as defined in part 420, appendix E, tables E1 and E2 or associated formulae, of the vehicle's launch point.
(b) Reentry risk criteria. For any reentry, an operator may initiate the deorbit of a vehicle only if all risks to the public satisfy the criteria in this paragraph (b). The following criteria apply to each reentry, other than a suborbital reentry, from the final health check prior to initiating deorbit through final impact or landing:
(1) Collective risk. The collective risk, measured as expected number of casualties (E
(i) The risk to all members of the public, excluding persons in aircraft and neighboring operations personnel, must not exceed an expected number of 1 × 10
(ii) The risk to all neighboring operations personnel must not exceed an expected number of 2 × 10
(2) Individual risk. The individual risk, measured as probability of casualty (P
(i) The risk to any individual member of the public, excluding neighboring operations personnel, must not exceed a probability of casualty of 1 × 10
(ii) The risk to any individual neighboring operations personnel must not exceed a probability of casualty of 1 × 10
(3) Aircraft risk. A reentry operator must establish any aircraft hazard areas necessary to ensure the probability of impact with debris capable of causing a casualty for aircraft does not exceed 1 × 10
(4) Risk to critical assets. (i) The risk to critical assets, measured as the probability of loss of functionality, must not exceed the following probabilities:
(A) For each critical asset, except for a critical payload, 1 × 10
(B) For each critical payload, 1 × 10
(ii) The Administrator will consult with relevant Federal agencies, and each agency will identify, for purposes of this part, any critical assets that the agency owns or otherwise depends on. For purposes of this part, the Administrator will accept any identification by the Secretary of Defense that an asset is critical to national security.
(iii) The Administrator or Federal site operator will notify the licensee of any risk to critical assets above the risk criteria in paragraph (b)(4)(i) of this section.
(iv) The Administrator may determine, in consultation with relevant Federal agencies, that a more stringent probability is necessary to protect the national interests of the United States.
(c) High consequence event protection. An operator must protect against a high consequence event in uncontrolled areas for each phase of flight by:
(1) Using flight abort as a hazard control strategy in accordance with the requirements of § 450.108;
(2) Ensuring the consequence of any reasonably foreseeable failure mode, in any significant period of flight, is no greater than 1 × 10
(3) Establishing the launch or reentry vehicle has sufficient demonstrated reliability as agreed to by the Administrator based on conditional expected casualties criteria during that phase of flight.
(d) Disposal safety criteria. A launch operator must ensure that any disposal meets the criteria of paragraphs (b)(1) through (3) of this section, or targets a broad ocean area.
(e) Protection of people and property on orbit. (1) A launch or reentry operator must prevent the collision between a launch or reentry vehicle stage or component and people or property on orbit, in accordance with the requirements in § 450.169(a).
(2) For any launch vehicle stage or component that reaches Earth orbit, a launch operator must prevent the creation of debris through the conversion of energy sources into energy that fragments the stage or component, in accordance with the requirements in § 450.171.
(f) Notification of planned impacts. For any launch, reentry, or disposal, an operator must notify the public of any region of land, sea, or air that contains, with 97 percent probability of containment, all debris resulting from normal flight events capable of causing a casualty.
(g) Validity of the analysis. For any analysis used to demonstrate compliance with this section, an operator must use accurate data and scientific principles and the analysis must be statistically valid. The method must produce results consistent with or more conservative than the results available from previous mishaps, tests, or other valid benchmarks, such as higher-fidelity methods.
An operator must implement and document a system safety program throughout the lifecycle of a launch or reentry system that includes the following:
(a) Safety organization. An operator must maintain a safety organization that has clearly defined lines of communication and approval authority for all public safety decisions. At a minimum, the safety organization must have the following positions:
(1) Mission director. For each launch or reentry, an operator must designate a position responsible for the safe conduct of all licensed activities and authorized to provide final approval to proceed with licensed activities. This position is referred to as the mission director in this part.
(2) Safety official. For each launch or reentry, an operator must designate a position with direct access to the mission director who is—
(i) Responsible for communicating potential safety and noncompliance issues to the mission director; and
(ii) Authorized to examine all aspects of the operator's ground and flight safety operations, and to independently monitor compliance with the operator's safety policies, safety procedures, and licensing requirements.
(3) Addressing safety official concerns. The mission director must ensure that all of the safety official's concerns are addressed.
(b) Hazard management. For hazard management:
(1) An operator must implement methods to assess the system to ensure the validity of the hazard control strategy determination and any flight hazard or flight safety analysis throughout the lifecycle of the launch or reentry system;
(2) An operator must implement methods for communicating and implementing any updates throughout the organization; and
(3) Additionally, an operator required to conduct a flight hazard analysis must implement a process for tracking hazards, risks, mitigation measures, and verification activities.
(c) Configuration management and control. An operator must—
(1) Employ a process that tracks configurations of all safety-critical systems and documentation related to the operation;
(2) Ensure the use of correct and appropriate versions of systems and documentation tracked in paragraph (c)(1) of this section; and
(3) Document the configurations and versions identified in paragraph (c)(2) of this section for each licensed activity.
(d) Post-flight data review. An operator must employ a process for evaluating post-flight data to—
(1) Ensure consistency between the assumptions used for the hazard control strategy determination, any flight hazard or flight safety analyses, and associated mitigation and hazard control measures;
(2) Resolve any inconsistencies identified in paragraph (d)(1) of this section prior to the next flight of the vehicle;
(3) Identify any anomaly that may impact any flight hazard analysis, flight safety analysis, or safety-critical system, or is otherwise material to public safety; and
(4) Address any anomaly identified in paragraph (d)(3) of this section prior to the next flight as necessary to ensure public safety, including updates to any flight hazard analysis, flight safety analysis, or safety-critical system.
(e) Application requirements. An applicant must submit in its application the following:
(1) A description of the applicant's safety organization as required by paragraph (a) of this section, identifying the applicant's lines of communication and approval authority, both internally and externally, for all public safety decisions and the provision of public safety services; and
(2) A summary of the processes and products identified in the system safety program requirements in paragraphs (b), (c), and (d) of this section.
(a) General. To meet the safety criteria of § 450.101(a), (b), or (c) for the flight, or any phase of flight, of a launch or reentry vehicle, an operator must use one or more of the hazard control strategies identified in § 450.108 through § 450.111.
(b) Hazard control strategy determination. For each phase of flight during a launch or reentry, an operator must use a functional hazard analysis to determine a hazard control strategy or strategies that account for—
(1) All functional failures associated with reasonably foreseeable hazardous events that have the capability to create a hazard to the public;
(2) Safety-critical systems; and
(3) A timeline of all safety-critical events.
(c) Flight hazard analysis. An operator must conduct a flight hazard analysis in accordance with § 450.109 of this part for the flight, or phase of flight, of a launch or reentry vehicle if the public safety hazards cannot be mitigated adequately to meet the public risk criteria of § 450.101(a), (b), and (c) using physical containment, wind weighting, or flight abort.
(d) Application requirements. An applicant must submit in its application—
(1) The results of the hazard control strategy determination, including—
(i) All functional failures identified under paragraph (b)(1) of this section;
(ii) The identification of all safety-critical systems; and
(iii) A timeline of all safety-critical events.
(2) A description of its hazard control strategy or strategies for each phase of flight.
(a) Applicability. This section applies to the use of flight abort as a hazard control strategy for the flight, or phase of flight, of a launch or reentry vehicle to meet the safety criteria of § 450.101.
(b) Flight safety system. An operator must use a flight safety system that:
(1) Meets the requirements of § 450.145 if the consequence of any reasonably foreseeable failure mode in any significant period of flight is greater than 1 × 10
(2) Meets the requirements of § 450.143 if the consequence of any reasonably foreseeable failure mode in any significant period of flight is between 1 × 10
(c) Flight safety limits objectives. An operator must determine and use flight safety limits that define when an operator must initiate flight abort for each of the following—
(1) To ensure compliance with the safety criteria of § 450.101(a) and (b);
(2) To prevent continued flight from increasing risk in uncontrolled areas if the vehicle is unable to achieve a useful mission;
(3) To prevent the vehicle from entering a period of materially increased public exposure in uncontrolled areas, including before orbital insertion, if a critical vehicle parameter is outside its pre-established expected range or indicates an inability to complete flight within the limits of a useful mission;
(4) To prevent conditional expected casualties greater than 1 × 10
(5) To prevent the vehicle state from reaching identified conditions that are anticipated to compromise the capability of the flight safety system if further flight has the potential to violate a flight safety limit.
(6) In lieu of paragraphs (c)(2) and (4) of this section, to prevent debris capable of causing a casualty due to any hazard from affecting uncontrolled areas using a flight safety system that complies with § 450.145.
(d) Flight safety limits constraints. An operator must determine flight safety limits that—
(1) Account for temporal and geometric extents on the Earth's surface of any reasonably foreseeable vehicle hazards under all reasonably foreseeable conditions during normal and malfunctioning flight;
(2) Account for physics of hazard generation and transport including uncertainty;
(3) Account for the potential to lose valid data necessary to evaluate the flight abort rules;
(4) Account for the time delay, including uncertainties, between the violation of a flight abort rule and the time when the flight safety system is expected to activate;
(5) Account in individual, collective, and conditional risk evaluations both for proper functioning of the flight safety system and failure of the flight safety system;
(6) Are designed to avoid flight abort that results in increased collective risk to the public in uncontrolled areas, compared to continued flight; and
(7) Ensure that any trajectory within the limits of a useful mission that is permitted to fly without abort would meet the collective risk criteria of § 450.101(a)(1) or (b)(1) when analyzed as if it were the planned mission in accordance with § 450.213(b)(2).
(e) End of flight abort. A flight does not need to be aborted to protect against high consequence events in uncontrolled areas beginning immediately after critical vehicle parameters are validated, if the vehicle is able to achieve a useful mission and the following conditions are met for the remainder of flight:
(1) Flight abort would not materially decrease the risk from a high consequence event; and
(2) There are no key flight safety events.
(f) Flight abort rules. For each launch or reentry, an operator must establish and observe flight abort rules that govern the conduct of the launch or reentry as follows.
(1) Vehicle data required to evaluate flight abort rules must be available to the flight safety system under all reasonably foreseeable conditions during normal and malfunctioning flight.
(2) The flight safety system must abort flight:
(i) When valid, real-time data indicate the vehicle has violated any flight safety limit developed in accordance with this section;
(ii) When the vehicle state approaches identified conditions that are anticipated to compromise the capability of the flight safety system and further flight has the potential to violate a flight safety limit; and
(iii) In accordance with methods used to satisfy (d)(3) of this section, if tracking data is invalid and further flight has the potential to violate a flight safety limit.
(g) Application requirements. An applicant must submit in its application the following:
(1) A description of the methods used to demonstrate compliance with paragraph (c) of this section, including descriptions of how each analysis constraint in paragraph (d) of this section is satisfied in accordance with § 450.115.
(2) A description of how each flight safety limit and flight abort rule is evaluated and implemented during vehicle flight, including the quantitative criteria that will be used, a description of any critical parameters, and how the values required in paragraphs (c)(3) and (e) of this section are identified;
(3) A graphic depiction or series of depictions of flight safety limits for a representative mission together with the launch or landing point, all uncontrolled area boundaries, the nominal trajectory, extents of normal flight, and limits of a useful mission trajectories, with all trajectories in the same projection as each of the flight safety limits; and
(4) A description of the vehicle data that will be available to evaluate flight abort rules under all reasonably foreseeable conditions during normal and malfunctioning flight.
(a) Applicability. This section applies to the use of a flight hazard analysis as a hazard control strategy to derive hazard controls for the flight, or phase of flight, of a launch or reentry vehicle. Hazards associated with computing systems and software are further addressed in § 450.141.
(b) Analysis. A flight hazard analysis must identify, describe, and analyze all reasonably foreseeable hazards to public safety resulting from the flight of a launch or reentry vehicle. Each flight hazard analysis must—
(1) Identify all reasonably foreseeable hazards, and the corresponding failure mode for each hazard, associated with the launch or reentry system relevant to public safety, including those resulting from:
(i) Vehicle operation, including staging and release;
(ii) System, subsystem, and component failures or faults;
(iii) Software operations;
(iv) Environmental conditions;
(v) Human factors;
(vi) Design inadequacies;
(vii) Procedure deficiencies;
(viii) Functional and physical interfaces between subsystems, including any vehicle payload;
(ix) Reuse of components or systems; and
(x) Interactions of any of the above.
(2) Assess each hazard's likelihood and severity.
(3) Ensure that the likelihood of any hazardous condition that may cause death or serious injury to the public is extremely remote.
(4) Identify and describe the risk elimination and mitigation measures required to satisfy paragraph (b)(3) of this section.
(5) Document that the risk elimination and mitigation measures achieve the risk level of paragraph (b)(3) of this section through validation and verification. Verification includes:
(i) Analysis;
(ii) Test;
(iii) Demonstration; or
(iv) Inspection.
(c) New Hazards. An operator must establish and document the criteria and techniques for identifying new hazards throughout the lifecycle of the launch or reentry system.
(d) Completeness Prior to Flight. For every launch or reentry, the flight hazard analysis must be complete and all hazards must be mitigated to an acceptable level in accordance with paragraph (b)(3) of this section.
(e) Updates. An operator must continually update the flight hazard analysis throughout the lifecycle of the launch or reentry system.
(f) Application requirements. An applicant must submit in its application the following:
(1) Flight hazard analysis products of paragraphs (b)(1) through (5) of this section, including data that verifies the risk elimination and mitigation measures resulting from the applicant's flight hazard analyses required by paragraph (b)(5) of this section; and
(2) The criteria and techniques for identifying new hazards throughout the lifecycle of the launch or reentry system as required by paragraph (c) of this section.
(a) Applicability. This section applies to the use of physical containment as a hazard control strategy for the flight, or phase of flight, of a launch or reentry vehicle to meet the safety criteria of § 450.101(a), (b), and (c).
(b) Containment. To use physical containment as a hazard control strategy, an operator must—
(1) Develop the flight hazard area in accordance with § 450.133;
(2) Ensure that the launch vehicle does not have sufficient energy for any hazards associated with its flight to reach outside the flight hazard area;
(3) Ensure the hazard area is clear of the public and critical assets; and
(4) Apply other mitigation measures necessary to ensure no public or critical asset exposure to hazards, such as control of public access or wind placards.
(c) Application requirements. An applicant must submit in its application the following:
(1) A demonstration that the launch vehicle does not have sufficient energy for any hazards associated with its flight to reach outside the flight hazard area developed in accordance with § 450.133; and
(2) A description of the methods used to ensure that flight hazard areas are cleared of the public and critical assets.
(a) Applicability. This section applies to the use of wind weighting as a hazard control strategy for the flight of an unguided suborbital launch vehicle to meet the safety criteria of § 450.101(a), (b), and (c).
(b) Wind weighting safety system. The flight of an unguided suborbital launch vehicle that uses a wind weighting safety system must meet the following:
(1) The launcher azimuth and elevation settings must be wind weighted to correct for the effects of wind conditions at the time of flight to provide impact locations that will ensure compliance with the safety criteria in § 450.101; and
(2) An operator must use launcher azimuth and elevation angle settings that ensures the rocket will not fly in an unintended direction accounting for uncertainties in vehicle and launcher design and manufacturing, and atmospheric uncertainties.
(c) Analysis. An operator must—
(1) Establish flight commit criteria and other flight safety rules that control the risk to the public from potential adverse effects resulting from normal and malfunctioning flight;
(2) Establish any wind constraints under which flight may occur; and
(3) Conduct a wind weighting analysis that establishes the launcher azimuth and elevation settings that correct for the windcocking and wind-drift effects on the unguided suborbital launch vehicle.
(d) Stability. An unguided suborbital launch vehicle, in all configurations, must be stable throughout each stage of powered flight.
(e) Application requirements. An applicant must submit in its application the following:
(1) A description of its wind weighting analysis methods, including its method and schedule of determining wind speed and wind direction for each altitude layer;
(2) A description of its wind weighting safety system including all equipment used to perform the wind weighting analysis; and
(3) A representative wind weighting analysis using actual or statistical winds for the launch area and samples of the output.
(a) An operator must perform and document a flight safety analysis for all phases of flight, except as specified in paragraph (b) of this section, as follows—
(1) For orbital launch, from liftoff through orbital insertion, and through all component impacts or landings;
(2) For suborbital launch, from liftoff through all component impacts or landings;
(3) For disposal, from the initiation of the deorbit through final impact; and
(4) For reentry, from the initiation of the deorbit through all component impacts or landing.
(b) An operator is not required to perform and document a flight safety analysis for a phase of flight if agreed to by the Administrator based on demonstrated reliability. An operator demonstrates reliability by using operational and flight history to show compliance with the risk criteria in § 450.101(a) and (b).
(a) Scope of the analysis. An operator's flight safety analysis method must account for all reasonably foreseeable events and failures of safety-critical systems during nominal and non-nominal launch or reentry that could jeopardize public safety.
(b) Level of fidelity of the analysis. An operator's flight safety analysis method must have a level of fidelity sufficient to—
(1) Demonstrate that any risk to the public satisfies the safety criteria of § 450.101, including the use of mitigations, accounting for all known sources of uncertainty, using a means of compliance accepted by the Administrator; and
(2) Identify the dominant source of each type of public risk with a criterion in § 450.101(a) or (b) in terms of phase of flight, source of hazard (such as toxic exposure, inert, or explosive debris), and failure mode.
(c) Application requirements. An applicant must submit a description of the flight safety analysis methodology, including identification of:
(1) The scientific principles and statistical methods used;
(2) All assumptions and their justifications;
(3) The rationale for the level of fidelity;
(4) The evidence for validation and verification required by § 450.101(g);
(5) The extent to which the benchmark conditions are comparable to the foreseeable conditions of the intended operations; and
(6) The extent to which risk mitigations were accounted for in the analyses.
(a) General. A flight safety analysis must include a trajectory analysis that establishes, for any phase of flight within the scope as provided by § 450.113(a), the limits of a launch or reentry vehicle's normal flight as defined by the nominal trajectory, and the following sets of trajectories sufficient to characterize variability and uncertainty during normal flight:
(1) A set of trajectories to characterize variability. This set must describe how the intended trajectory could vary due to conditions known prior to initiation of flight; and
(2) A set of trajectories to characterize uncertainty. This set must describe how the actual trajectory could differ from the intended trajectory due to random uncertainties in all parameters with a significant influence on the vehicle's behavior throughout normal flight.
(b) Trajectory model. A final trajectory analysis must use a six-degree of freedom trajectory model to satisfy the requirements of paragraph (a) of this section.
(c) Atmospheric effects. A trajectory analysis must account for atmospheric conditions that have an effect on the trajectory, including atmospheric profiles that are no less severe than the worst conditions under which flight might be attempted, and for uncertainty in the atmospheric conditions.
(d) Application requirements. An applicant must submit the following:
(1) A description of the methods used to characterize the vehicle's flight behavior throughout normal flight, in accordance with § 450.115(c).
(2) The quantitative input data, including uncertainties, used to model the vehicle's normal flight in six degrees of freedom.
(3) The worst atmospheric conditions under which flight might be attempted, and a description of how the operator will evaluate the atmospheric conditions and uncertainty in the atmospheric conditions prior to initiating the operation;
(4) Representative normal flight trajectory analysis outputs, including the position velocity, and orientation for each second of flight for—
(i) The nominal trajectory;
(ii) A set of trajectories that characterize variability in the intended trajectory based on conditions known prior to initiation of flight; and
(iii) A set of trajectories that characterize how the actual trajectory could differ from the intended trajectory due to random uncertainties.
(a) General. A flight safety analysis must include a trajectory analysis that establishes—
(1) The vehicle's deviation capability in the event of a malfunction during flight,
(2) The trajectory dispersion resulting from reasonably foreseeable malfunctions, and
(3) For vehicles using flight abort as a hazard control strategy under § 450.108, trajectory data or parameters that describe the limits of a useful mission. The FAA does not consider the collection of data related to a failure to be a useful mission.
(b) Analysis constraints. A malfunction trajectory analysis must account for each cause of a malfunction flight, including software and hardware failures, for every period of normal flight. The analysis for each type of malfunction must have sufficient temporal and spatial resolution to establish flight safety limits, if any, and individual risk contours that are smooth and continuous. The analysis must account for—
(1) The relative probability of occurrence of each malfunction;
(2) The probability distribution of position and velocity of the vehicle when each malfunction trajectory will terminate due to vehicle breakup, ground impact, or orbital insertion along with the cause of termination and the state of the vehicle;
(3) The parameters with a significant influence on a vehicle's flight behavior from the time a malfunction begins to cause a flight deviation until the time each malfunction trajectory will terminate due to vehicle breakup, ground impact, or orbital insertion; and
(4) The potential for failure of the flight safety system, if any.
(c) Application requirements. An applicant must submit—
(1) A description of the methodology used to characterize the vehicle's flight behavior throughout malfunction flight, in accordance with § 450.115(c).
(2) A description of the methodology used to determine the limits of a useful mission, in accordance with § 450.115(c).
(3) A description of the input data used to characterize the vehicle's malfunction flight behavior, including:
(i) A list of each cause of malfunction flight considered;
(ii) A list of each type of malfunction flight for which malfunction flight behavior was characterized; and
(iii) A quantitative description of the parameters, including uncertainties, with a significant influence on the vehicle's malfunction behavior for each type of malfunction flight characterized.
(4) Representative malfunction flight trajectory analysis outputs, including the position and velocity as a function of flight time for—
(i) Each set of trajectories that characterizes a type of malfunction flight;
(ii) The probability of each set of trajectories that characterizes a type of malfunction flight; and
(iii) A set of trajectories that characterizes the limits of a useful mission as described in paragraph (a)(3) of this section.
(a) General. A flight safety analysis must include an analysis characterizing the hazardous debris generated from normal and malfunctioning vehicle flight as a function of vehicle flight sequence.
(b) Vehicle impact and breakup analysis. A debris analysis must account for:
(1) Each reasonably foreseeable cause of vehicle breakup and intact impact,
(2) Vehicle structural characteristics and materials, and
(3) Energetic effects during break-up or at impact.
(c) Propagation of debris. A debris analysis must compute statistically valid debris impact probability distributions. The propagation of debris from each predicted breakup location to impact must account for—
(1) All foreseeable forces that can influence any debris impact location; and
(2) All foreseeable sources of impact dispersion, including, at a minimum:
(i) The uncertainties in atmospheric conditions;
(ii) Debris aerodynamic parameters, including uncertainties;
(iii) Pre-breakup position and velocity, including uncertainties; and
(iv) Breakup-imparted velocities, including uncertainties.
(d) Application requirements. An applicant must submit:
(1) A description of all scenarios that can lead to hazardous debris;
(2) A description of the methods used to perform the vehicle impact and breakup analysis, in accordance with § 450.115(c);
(3) A description of the methods used to compute debris impact distributions, in accordance with § 450.115(c);
(4) A description of the atmospheric data used as input to the debris analysis; and
(5) A quantitative description of the physical, aerodynamic, and harmful characteristics of hazardous debris.
(a) General. A flight safety analysis must account for the distribution of people for the entire region where there is a significant probability of impact of hazardous debris.
(b) Constraints. The exposure analysis must—
(1) Characterize the distribution of people both geographically and temporally;
(2) Account for the distribution of people among structures and vehicle types;
(3) Use reliable, accurate, and timely source data; and
(4) Account for vulnerability of people to hazardous debris effects.
(c) Application requirements. An applicant must submit:
(1) A description of the methods used to develop the exposure input data in accordance with § 450.115(c), and
(2) Complete population exposure data, in tabular form.
(a) General. For each hazard and phase of flight, a flight safety analysis for a launch or reentry must account for vehicle failure probability. The probability of failure must be consistent for all hazards and phases of flight.
(1) For a vehicle or vehicle stage with fewer than two flights, the failure probability estimate must account for the outcome of all previous flights of vehicles developed and launched or reentered in similar circumstances.
(2) For a vehicle or vehicle stage with two or more flights, vehicle failure probability estimates must account for the outcomes of all previous flights of the vehicle or vehicle stage in a statistically valid manner. The outcomes of all previous flights of the vehicle or vehicle stage must account for data on any mishap and anomaly.
(b) Failure. For flight safety analysis purposes, a failure occurs when a vehicle does not complete any phase of normal flight or when any anomalous condition exhibits the potential for a stage or its debris to impact the Earth or reenter the atmosphere outside the normal trajectory envelope during the mission or any future mission of similar vehicle capability.
(c) Previous flight. For flight safety analysis purposes—
(1) The flight of a launch vehicle begins at a time in which a launch vehicle lifts off from the surface of the Earth; and
(2) The flight of a reentry vehicle or deorbiting upper stage begins at a time in which a vehicle attempts to initiate a reentry.
(d) Allocation. The vehicle failure probability estimate must be distributed across flight phases and failure modes. The distribution must be consistent with—
(1) The data available from all previous flights of vehicles developed and launched or reentered in similar circumstances; and
(2) Data from previous flights of vehicles, stages, or components developed and launched, reentered, flown, or tested by the subject vehicle developer or operator. Such data may include previous experience involving similar—
(i) Vehicle, stage, or component design characteristics;
(ii) Development and integration processes, including the extent of integrated system testing; and
(iii) Level of experience of the vehicle operation and development team members.
(e) Observed vs. conditional failure rate. Probability of failure allocation must account for significant differences in the observed failure rate and the conditional failure rate. A probability of failure analysis must use a constant conditional failure rate for each phase of flight, unless there is clear and convincing evidence of a different conditional failure rate for a particular vehicle, stage, or phase of flight.
(f) Application requirements. An applicant must submit:
(1) A description of the methods used in probability of failure analysis, in accordance with § 450.115(c); and
(2) A representative set of tabular data and graphs of the predicted failure rate and cumulative failure probability for each foreseeable failure mode.
(a) General. A flight safety analysis must include a flight hazard area analysis that identifies any region of land, sea, or air that must be surveyed, publicized, controlled, or evacuated in order to control the risk to the public. The analysis must account for, at a minimum—
(1) The regions of land, sea, and air potentially exposed to hazardous debris generated during normal flight events and all reasonably foreseeable failure modes;
(2) Any hazard controls implemented to control risk from any hazard;
(3) The limits of a launch or reentry vehicle's normal flight, including—
(i) Atmospheric conditions that are no less severe than the worst atmospheric conditions under which flight might be attempted; and
(ii) Uncertainty in the atmospheric conditions;
(4) All hazardous debris;
(5) Sources of debris dispersion in accordance with § 450.121(c); and
(6) A probability of one for any planned debris hazards or planned impacts.
(b) Waterborne vessel hazard areas. The flight hazard area analysis for waterborne vessels must determine the areas and durations for regions of water—
(1) That are necessary to contain, with 97 percent probability of containment, all debris resulting from normal flight events capable of causing a casualty to persons on waterborne vessels;
(2) That are necessary to contain either where the probability of debris capable of causing a casualty impacting on or near a vessel would exceed 1 × 10
(3) Where reduced vessel traffic is necessary to meet the collective risk criteria in § 450.101(a)(1) or (b)(1).
(c) Land hazard areas. The flight hazard area analysis for land must determine the durations and areas regions of land—
(1) That are necessary to contain, with 97 percent probability of containment, all debris resulting from normal flight events capable of causing a casualty to any person on land;
(2) Where the individual probability of casualty for any person on land would exceed the individual risk criteria in § 450.101(a)(2) or (b)(2); and
(3) Where reduced population is necessary to meet the collective risk criteria in § 450.101(a)(1) or (b)(1).
(d) Airspace hazard volumes. The flight hazard area analysis for airspace must determine the durations and volumes for regions of air to be submitted to the FAA for approval—
(1) That are necessary to contain, with 97 percent probability of containment, all debris resulting from normal flight events capable of causing a casualty to persons on an aircraft; and
(2) Where the probability of impact on an aircraft would exceed the aircraft risk criterion in § 450.101(a)(3) or (b)(3).
(e) Application requirements. An applicant must submit:
(1) A description of the methodology to be used in the flight hazard area analysis in accordance with § 450.115(c), including:
(i) Classes of waterborne vessel and vulnerability criteria employed; and
(ii) Classes of aircraft and vulnerability criteria employed.
(2) Tabular data and graphs of the results of the flight hazard area analysis, including:
(i) Geographical coordinates of all hazard areas that are representative of those to be published, in accordance with § 450.161, prior to any proposed operation;
(ii) Representative 97 percent probability of containment contours for all debris resulting from normal flight events capable of causing a casualty for all locations specified in paragraph (a) of this section;
(iii) Representative individual probability of casualty contours for all locations specified in paragraph (a) of this section, including tabular data and graphs showing the hypothetical location of any member of the public that could be exposed to a probability of casualty of 1 × 10
(iv) If applicable, representative 1 × 10
(v) Representative 1 × 10
(a) General. A flight safety analysis must include a debris risk analysis that demonstrates compliance with safety criteria in § 450.101, either—
(1) Prior to the day of the operation, accounting for all foreseeable conditions within the flight commit criteria; or
(2) During the countdown using the best available input data, including flight commit criteria and flight abort rules.
(b) Casualty area and consequence analysis. A debris risk analysis must model the casualty area, and compute the predicted consequences of each reasonably foreseeable failure mode in any significant period of flight in terms of conditional expected casualties. The casualty area and consequence analysis must account for—
(1) All relevant debris fragment characteristics and the characteristics of a representative person exposed to any potential debris hazard;
(2) Statistically-valid debris impact probability distributions;
(3) Any impact or effects of hazardous debris; and
(4) The vulnerability of people to debris impact or effects, including:
(i) Effects of buildings, ground vehicles, waterborne vessel, and aircraft upon the vulnerability of any occupants;
(ii) Effect of atmospheric conditions on debris impact and effects;
(iii) Impact speed and angle, accounting for motion of impacted vehicles;
(iv) Uncertainty in input data, such as fragment impact parameters; and
(v) Uncertainty in modeling methodology.
(c) Application requirements. An applicant must submit:
(1) A description of the methods used to demonstrate compliance with the safety criteria in § 450.101, in accordance with § 450.115(c), including a description of how the operator will account for the conditions immediately prior to enabling the flight of a launch vehicle or the reentry of a reentry vehicle, such as the final trajectory, atmospheric conditions, and the exposure of people;
(2) A description of the atmospheric data used as input to the debris risk analysis;
(3) The effective unsheltered casualty area for all fragment classes, assuming a representative impact vector;
(4) The effective casualty area for all fragment classes for a representative type of building, ground vehicle, waterborne vessel, and aircraft, assuming a representative impact vector;
(5) Collective and individual debris risk analysis outputs under representative conditions and the worst foreseeable conditions, including:
(i) Total collective casualty expectation for the proposed operation;
(ii) A list of the collective risk contribution for at least the top ten population centers and all centers with collective risk exceeding 1 percent of the collective risk criteria in § 450.101(a)(1) or (b)(1);
(iii) A list of the maximum individual probability of casualty for the top ten population centers and all centers that exceed 10 percent of the individual risk criteria in § 450.101(a)(2) or (b)(2); and
(iv) A list of the conditional collective casualty expectation for each failure mode for each significant period of flight under representative conditions and the worst foreseeable conditions.
(a) General. A flight safety analysis must include a far-field overpressure blast effect analysis that demonstrates compliance with safety criteria in § 450.101, either—
(1) Prior to the day of the operation, accounting for all foreseeable conditions within the flight commit criteria; or
(2) During the countdown using the best available input data, including flight commit criteria and flight abort rules.
(b) Analysis constraints. The analysis must account for—
(1) The explosive capability of the vehicle and hazardous debris at impact and at altitude;
(2) The potential influence of meteorological conditions and terrain characteristics; and
(3) The potential for broken windows due to peak incident overpressures below 1.0 psi and related casualties based on the characteristics of exposed windows and the population's susceptibility to injury, with considerations including, at a minimum, shelter types, window types, and the time of day of the proposed operation.
(c) Application requirements. An applicant must submit a description of the far-field overpressure analysis, including all assumptions and justifications for the assumptions, analysis methods, input data, and results. At a minimum, the application must include:
(1) A description of the population centers, terrain, building types, and window characteristics used as input to the far-field overpressure analysis;
(2) A description of the methods used to compute the foreseeable explosive yield probability pairs, and the complete set of yield-probability pairs, used as input to the far-field overpressure analysis;
(3) A description of the methods used to compute peak incident overpressures as a function of distance from the explosion and prevailing meteorological conditions, including sample calculations for a representative range of the foreseeable meteorological conditions, yields, and population center locations;
(4) A description of the methods used to compute the probability of window breakage, including tabular data and graphs for the probability of breakage as a function of the peak incident overpressure for a representative range of window types, building types, and yields accounted for;
(5) A description of the methods used to compute the probability of casualty for a representative individual, including tabular data and graphs for the probability of casualty, as a function of location relative to the window and the peak incident overpressure for a representative range of window types, building types, and yields accounted for;
(6) Tabular data and graphs showing the hypothetical location of any member of the public that could be exposed to a probability of casualty of 1 × 10
(7) The maximum expected casualties that could result from far-field overpressure hazards given foreseeable conditions; and
(8) A description of the meteorological measurements used as input to any real-time far-field overpressure analysis.
(a) Applicability. (1) Except as specified in paragraph (a)(2), this section applies to any launch or reentry vehicle, including all vehicle components and payloads, that use toxic propellants or other toxic chemicals.
(2) No toxic release hazard analysis is required for kerosene-based fuels, unless the Administrator determines that an analysis is required to protect public safety.
(b) General. An operator must—
(1) Conduct a toxic release hazard analysis in accordance with paragraph (c) of this section;
(2) Manage the risk of casualties that could arise from the exposure to toxic release through one of the following means:
(i) Contain hazards caused by toxic release in accordance with paragraph (d) of this section; or
(ii) Perform a toxic risk assessment, in accordance with paragraph (e) of this section, that protects the public in compliance with the safety criteria of § 450.101, including toxic release hazards.
(3) Establish flight commit criteria based on the results of its toxic release hazard analysis and toxic containment or toxic risk assessment for any necessary evacuation of the public from any toxic hazard area.
(c) Toxic release hazard analysis. A toxic release hazard analysis must—
(1) Account for any toxic release that could occur during nominal or non-nominal flight;
(2) Include a worst-case release scenario analysis or a maximum-credible release scenario analysis for each process that involves a toxic propellant or other chemical;
(3) Determine if toxic release can occur based on an evaluation of the chemical compositions and quantities of propellants, other chemicals, vehicle materials, and projected combustion products, and the possible toxic release scenarios;
(4) Account for both normal combustion products and any unreacted propellants and phase change or chemical derivatives of released substances; and
(5) Account for any operational constraints and emergency procedures that provide protection from toxic release.
(d) Toxic containment. An operator using toxic containment must manage the risk of any casualty from the exposure to toxic release either by—
(1) Evacuating, or being prepared to evacuate, the public from any toxic hazard area in the event of a worst-case release or maximum-credible release scenario; or
(2) Employing meteorological constraints to limit an operation to times during which prevailing winds and other conditions ensure that any member of the public would not be exposed to toxic concentrations and durations greater than accepted toxic thresholds for acute casualty in the event of a worst-case release or maximum-credible release scenario.
(e) Toxic risk assessment. An operator using toxic risk assessment must establish flight commit criteria that demonstrate compliance with the safety criteria of § 450.101. A toxic risk assessment must—
(1) Account for airborne concentration and duration thresholds of toxic propellants or other chemicals. For any toxic propellant, other chemicals, or combustion product, an operator must use airborne toxic concentration and duration thresholds identified in a means of compliance accepted by the Administrator;
(2) Account for physical phenomena expected to influence any toxic concentration and duration in the area surrounding the potential release site;
(3) Determine a toxic hazard area for the launch or reentry, surrounding the potential release site for each toxic propellant or other chemical based on the amount and toxicity of the propellant or other chemical, the exposure duration, and the meteorological conditions involved;
(4) Account for all members of the public who may be exposed to the toxic release, including all members of the public on land and on any waterborne vessels, populated offshore structures, and aircraft that are not operated in direct support of the launch or reentry; and
(5) Account for any risk mitigation measures applied in the risk assessment.
(f) Application requirements. An applicant must submit:
(1) The identity of toxic propellant, chemical, or combustion products or derivatives in the possible toxic release;
(2) The applicant's selected airborne toxic concentration and duration thresholds;
(3) The meteorological conditions for the atmospheric transport and buoyant cloud rise of any toxic release from its source to downwind receptor locations;
(4) Characterization of the terrain, as input for modeling the atmospheric transport of a toxic release from its source to downwind receptor locations;
(5) The identity of the toxic dispersion model used, and any other input data;
(6) Representative results of an applicant's toxic dispersion modeling to predict concentrations and durations at selected downwind receptor locations, to determine the toxic hazard area for a released quantity of the toxic substance;
(7) A toxic release hazard analysis in accordance with paragraph (c) of this section:
(i) A description of the failure modes and associated relative probabilities for potential toxic release scenarios used in the risk evaluation; and
(ii) The methodology and representative results of an applicant's determination of the worst-case or maximum-credible quantity of any toxic release that might occur during the flight of a vehicle;
(8) In accordance with § 450.139(b)(2),
(i) A toxic containment in accordance with paragraph (d) of this section, identify the evacuation plans or meteorological constraints and associated launch commit criteria needed to ensure that the public will not be within a toxic hazard area in the event of a worst-case release or maximum-credible release scenario; or
(ii) A toxic risk assessment in accordance with paragraph (e) of this section:
(A) A demonstration that the safety criteria in § 450.101 will be met;
(B) The population characteristics in receptor locations that are identified by toxic dispersion modeling as toxic hazard areas;
(C) A description of any risk mitigations applied in the toxic risk assessment; and
(D) A description of the population exposure input data used in accordance with § 450.123.
(a) Identification of computing system safety items. An operator must identify:
(1) Any software or data that implements a capability that, by intended operation, unintended operation, or non-operation, can present a hazard to the public; and
(2) The level of criticality of each computing system safety item identified in paragraph (a)(1) of this section, commensurate with its degree of control over hazards to the public and the severity of those hazards.
(b) Safety requirements. An operator must develop safety requirements for each computing system safety item. In doing so, the operator must:
(1) Identify and evaluate safety requirements for each computing system safety item;
(2) Ensure the safety requirements are complete and correct;
(3) Implement each safety requirement; and
(4) Verify and validate the implementation of each safety requirement by using a method appropriate for the level of criticality of the computing system safety item. For each computing system safety item that is safety critical under § 401.7, verification and validation must include testing by a test team independent of the development division or organization.
(c) Development process. An operator must implement and document a development process for computing system safety items appropriate for the level of criticality of the computing system safety item. A development process must define:
(1) Responsibilities for each task associated with a computing system safety item;
(2) Processes for internal review and approval—including review that evaluates the implementation of all safety requirements—such that no person approves that person's own work;
(3) Processes to ensure development personnel are trained, qualified, and capable of performing their role;
(4) Processes that trace requirements to verification and validation evidence;
(5) Processes for configuration management that specify the content of each released version of a computing system safety item;
(6) Processes for testing that verify and validate all safety requirements to the extent required by paragraph (b)(4) of this section;
(7) Reuse policies that verify and validate the safety requirements for reused computing system safety items; and
(8) Third-party product use policies that verify and validate the safety requirements for any third-party product.
(d) Application requirements. An applicant must:
(1) Identify and describe all computing system safety items involved in the proposed operations;
(2) Provide the safety requirements for each computing system safety item;
(3) Provide documentation of the development processes that meets paragraph (c) of this section;
(4) Provide evidence of the execution of the appropriate development process for each computing system safety item; and
(5) Provide evidence of the implementation of each safety requirement.
(a) Applicability. This section applies to all safety-critical systems, except for—
(1) Highly reliable flight safety systems covered under § 450.145; or
(2) Safety-critical systems for which an operator demonstrates through its flight hazard analysis that the likelihood of any hazardous condition specifically associated with the system that may cause death or serious injury to the public is extremely remote, pursuant to § 450.109(b)(3).
(b) Design. An operator must design safety-critical systems such that no credible fault can lead to increased risk to the public beyond nominal safety-critical system operation.
(c) Qualification testing of design. An operator must functionally demonstrate the design of the vehicle's safety-critical systems at conditions beyond its predicted operating environments. The operator must select environmental test levels that ensure the design is sufficiently stressed to demonstrate that system performance is not degraded due to design tolerances, manufacturing variances, or uncertainties in the environment.
(d) Acceptance of hardware. An operator must—
(1) Functionally demonstrate any safety-critical system, while exposed to its predicted operating environments with margin, is free of defects, free of integration and workmanship errors, and ready for operational use; or
(2) Combine in-process controls and a quality assurance process to ensure functional capability of any safety-critical system during its service life.
(e) Lifecycle of safety-critical systems. (1) The predicted operating environments must be based on conditions predicted to be encountered in all phases of flight, recovery, and transportation.
(2) An operator must monitor the flight environments experienced by safety-critical system components to the extent necessary to—
(i) Validate the predicted operating environments; and
(ii) Assess the actual component life remaining or adjust any inspection period.
(f) Application requirements. An applicant must submit to the FAA the following as part of its application:
(1) A list and description of each safety-critical system;
(2) Drawings and schematics for each safety-critical system;
(3) A summary of the analysis to determine the predicted operating environments and duration to be applied to qualification and acceptance testing covering the service life of any safety-critical system;
(4) A description of any method used to validate the predicted operating environments;
(5) A description of any instrumentation or inspection processes to monitor aging of any safety-critical system;
(6) The criteria and procedures for disposal or refurbishment for service life extension of safety-critical system components; and
(7) A description of the standards used in all phases of the lifecycle of each safety-critical system.
(a) General. For each phase of flight for which an operator must implement flight abort to meet the requirement of § 450.108(b)(1), the operator must use a highly reliable flight safety system on the launch or reentry vehicle, vehicle component, or payload with a design reliability in accordance with this section.
(b) Reliability. A highly reliable flight safety system must, using a means of compliance accepted by the Administrator—
(1) Have a design reliability of 0.999 at 95 percent confidence and commensurate design, analysis, and testing for the portion of the flight safety system onboard the vehicle; and
(2) Have a design reliability of 0.999 at 95 percent confidence and commensurate design, analysis, and testing for the portion of the flight safety system not onboard the vehicle, if used.
(c) Monitoring. An operator must monitor the flight environments experienced by any flight safety system component to the extent necessary to—
(1) Validate the predicted operating environment; and
(2) Assess the actual component life remaining or adjust any inspection period.
(d) Application requirements. An applicant must submit the information identified below, for any highly reliable flight safety system:
(1) Flight safety system description. An applicant must describe the flight safety system and its operation in detail, including all components, component functions, and possible operational scenarios.
(2) Flight safety system diagram. An applicant must submit a diagram that identifies all flight safety system subsystems and shows the interconnection of all the elements of the flight safety system. The diagram must include any subsystems used to implement flight abort both on and off the vehicle, including any subsystems used to make the decision to abort flight.
(3) Flight safety system analyses. An applicant must submit any analyses and detailed analysis reports of all flight safety system subsystems necessary to calculate the reliability and confidence levels required by paragraph (a) of this section.
(4) Tracking validation procedures. An applicant must document and submit the procedures for validating the accuracy of any vehicle tracking data utilized by the flight safety system to make the decision to abort flight.
(5) Flight safety system test plans. An applicant must submit acceptance, qualification, and preflight test plans of any flight safety system, subsystems, and components. The test plans must include test procedures and test environments.
(6) Monitoring plan. An applicant must submit a description of any method used to validate the predicted operating environments.
(a) General. An operator must establish a written agreement with any entity that provides a service or property that meets a requirement in this part, including:
(1) Launch and reentry site use agreements. A Federal launch or reentry site operator, a licensed launch or reentry site operator, or any other person that provides services or access to or use of property required to support the safe launch or reentry under this part;
(2) Agreements for notices to mariners. Unless otherwise addressed in agreements with the site operator, for overflight of navigable water, the U.S. Coast Guard or other applicable maritime authority to establish procedures for the issuance of a Notice to Mariners prior to a launch or reentry and other measures necessary to protect public health and safety;
(3) Agreements for notices to airmen. Unless otherwise addressed in agreements with the site operator, the FAA Air Traffic Organization or other applicable air navigation authority to establish procedures for the issuance of a Notice to Airmen prior to a launch or reentry, for closing of air routes during the respective launch and reentry windows, and for other measures necessary to protect public health and safety; and
(4) Mishap response. Emergency response providers, including local government authorities, to satisfy the requirements of § 450.173.
(b) Roles and responsibilities. The agreements required in this section must clearly delineate the roles and responsibilities of each party to support the safe launch or reentry under this part.
(c) Effective date. The agreements required in this section must be in effect before a license can be issued, unless otherwise agreed to by the Administrator.
(d) Application requirements. An applicant must—
(1) Describe each agreement in this section; and
(2) Provide a copy of any agreement, or portion thereof, to the FAA upon request.
(a) General. An operator must ensure safety-critical personnel are trained, qualified, and capable of performing their safety-critical tasks, and that their training is current.
(b) Application requirements. An applicant must—
(1) Identify safety-critical tasks that require qualified personnel;
(2) Provide internal training and currency requirements, completion standards, or any other means of demonstrating compliance with the requirements of this section; and
(3) Describe the process for tracking training currency.
(a) General. For any launch or reentry, an operator must document and implement rest requirements that ensure safety-critical personnel are physically and mentally capable of performing all assigned tasks.
(b) Work shifts and deviation approval process. An operator's rest requirements must address the following:
(1) Duration of each work shift and the process for extending this shift, including the maximum allowable length of any extension;
(2) Number of consecutive work shift days allowed before rest is required;
(3) Minimum rest period required—
(i) Between each work shift, including the period of rest required immediately before the flight countdown work shift; and
(ii) After the maximum number of work shift days allowed; and
(4) Approval process for any deviation from the rest requirements.
(c) Application requirement. An applicant must submit rest rules that demonstrate compliance with the requirements of this section.
(a) General. For any radio frequency used, an operator must—
(1) Ensure radio frequency interference does not adversely affect performance of any flight safety system or safety-critical system; and
(2) Coordinate use of radio frequencies with any site operator and any local and Federal authorities.
(b) Application requirements. An applicant must submit procedures or other means to demonstrate compliance with the radio frequency requirements of this section.
(a) General. An operator must document and implement procedures to assess readiness to proceed with the flight of a launch or reentry vehicle. These procedures must address, at a minimum, the following:
(1) Readiness of vehicle and launch, reentry, or landing site, including any contingency abort location;
(2) Readiness of safety-critical personnel, systems, software, procedures, equipment, property, and services; and
(3) Readiness to implement the mishap plan required by § 450.173.
(b) Application requirements. An applicant must—
(1) Demonstrate compliance with the requirements of paragraph (a) of this section through procedures that may include a readiness meeting close in time to flight; and
(2) Describe the criteria for establishing readiness to proceed with the flight of a launch or reentry vehicle so that public safety is maintained.
(a) An operator must implement communication procedures during the countdown and flight of a launch or reentry vehicle that—
(1) Define the authority of personnel, by individual or position title, to issue “hold/resume,” “go/no go,” and abort commands;
(2) Assign communication networks so that personnel identified in paragraph (a)(1) of this section have direct access to real-time, safety-critical information required to issue “hold/resume,” “go/no go,” and any abort commands; and
(3) Implement a protocol for using defined radio telephone communications terminology.
(b) An operator must ensure the currency of the communication procedures, and that all personnel are working with the approved version of the communication procedures.
(c) An operator must record all safety-critical communications network channels that are used for voice, video, or data transmissions that support safety-critical systems during each countdown.
(a) An operator must implement pre-flight procedures that—
(1) Verify that each flight commit criterion is satisfied before flight is initiated; and
(2) Ensure the operator can return the vehicle to a safe state after a countdown abort or delay.
(b) An operator must ensure the currency of the pre-flight procedures, and that all personnel are working with the approved version of the pre-flight procedures.
(a) General. The operator must publicize, survey, control, or evacuate each flight hazard area identified in accordance with § 450.133 prior to initiating flight of a launch vehicle or the reentry of a reentry vehicle to the extent necessary to ensure compliance with § 450.101.
(b) Verification. The launch or reentry operator must perform surveillance sufficient to verify or update the assumptions, input data, and results of the flight safety analyses.
(c) Publication. An operator must publicize warnings for each flight hazard area, except for regions of land, sea, or air under the control of the vehicle operator, site operator, or other controlling authority with which the operator has an agreement. If the operator relies on another entity to publicize these warnings, it must:
(1) Determine whether the warnings have been issued; and
(2) Notify the FAA if the warnings have not been issued so that the FAA can determine if the launch or reentry can be conducted in a manner that sufficiently protects the public. This notification must provide sufficient information to enable FAA to issue warnings to U.S. aircraft.
(d) Application requirements. An applicant must submit—
(1) A description of how the applicant will provide for day-of-flight surveillance and control of flight hazard areas, if necessary, to ensure that the presence of any member of the public in or near a flight hazard area is consistent with flight commit criteria developed for each launch or reentry as required by § 450.165(b);
(2) A description of how the applicant will provide for any publication of flight hazard areas necessary to meet the requirements of this section; and
(3) A description of how the applicant will establish flight commit criteria based on the results of its toxic release hazard analysis, toxic containment, or toxic risk assessment for any necessary evacuation of the public from any toxic hazard area.
(a) Lightning hazard mitigation. An operator must—
(1) Establish flight commit criteria that mitigate the potential for a launch or reentry vehicle intercepting or initiating a direct lightning strike, or encountering a nearby discharge, using a means of compliance accepted by the Administrator; or
(2) Use a vehicle designed to protect safety-critical systems in the event of a direct lightning strike or nearby discharge.
(b) Application requirements. (1) An applicant electing to comply with paragraph (a)(1) of this section must submit flight commit criteria that mitigate the potential for a launch or reentry vehicle intercepting or initiating a direct lightning strike, or encountering a nearby lightning discharge.
(2) An applicant electing to comply with paragraph (a)(2) of this section must submit documentation providing evidence that the vehicle is designed to protect safety-critical systems against the effects of a direct lightning strike or nearby discharge.
(a) General. For each launch or reentry, an operator must establish and observe flight commit criteria that identify each condition necessary prior to flight to satisfy the requirements of § 450.101, and must include:
(1) Surveillance of any region of land, sea, or air in accordance with § 450.161;
(2) Monitoring of any meteorological condition necessary to—
(i) Be consistent with any safety analysis required by this part; and
(ii) If necessary in accordance with § 450.163, mitigate the potential for a launch or reentry vehicle intercepting a lightning strike, or encountering a nearby discharge;
(3) Implementation of any launch or reentry window closure in the launch or reentry window for the purpose of collision avoidance in accordance with § 450.169;
(4) Confirmation that any safety-critical system is ready for flight;
(5) Confirmation from the FAA that the risk to critical assets satisfies the requirements of § 450.101(a)(4) or (b)(4);
(6) For any reentry vehicle, except a suborbital vehicle, monitoring by the operator or an onboard system that the status of safety-critical systems is healthy before enabling reentry flight, to assure the vehicle can reenter safely to Earth; and
(7) Any other hazard controls derived from any safety analysis required by this part.
(b) Application requirements. An applicant must submit a list of all flight commit criteria.
(a) General. During the flight of a launch or reentry vehicle, an operator must measure and record in real time the position and velocity of the vehicle. The system used to track the vehicle must provide data to predict the expected impact locations of all stages and components, and to obtain vehicle performance data for comparison with the pre-flight performance predictions.
(b) Application requirements. An applicant must identify and describe each method or system used to meet the tracking requirements of paragraph (a) of this section.
(a) Criteria. Except as provided in paragraph (d) of this section, for an orbital or suborbital launch or reentry, an operator must establish window closures needed to ensure that the launch or reentry vehicle, any jettisoned components, or payloads meet the following requirements with respect to orbiting objects, not including any object being launched or reentered.
(1) For inhabitable objects, one of three criteria below must be met:
(i) The probability of collision between the launching or reentering objects and any inhabitable object must not exceed 1 × 10
(ii) The launching or reentering objects must maintain an ellipsoidal separation distance of 200 km in-track and 50 km cross-track and radially from the inhabitable object; or
(iii) The launching or reentering objects must maintain a spherical separation distance of 200 km from the inhabitable object.
(2) For objects that are neither orbital debris nor inhabitable, one of the two criteria below must be met:
(i) The probability of collision between the launching or reentering objects and any object must not exceed 1 × 10
(ii) The launching or reentering objects must maintain a spherical separation distance of 25 km from the object.
(3) For all other known orbital debris identified by the FAA or other Federal Government entity as large objects with radar cross section greater than 1 m
(i) The probability of collision between the launching or reentering objects and any known orbital debris must not exceed 1 × 10
(ii) The launching or reentering objects must maintain a spherical separation distance of 2.5 km.
(b) Screening time. A launch or reentry operator must ensure the requirements of paragraph (a) of this section are met as follows:
(1) Through the entire segment of flight of a suborbital launch vehicle above 150 km;
(2) For an orbital launch, during ascent from a minimum of 150 km to initial orbital insertion and for a minimum of 3 hours from liftoff;
(3) For reentry, during descent from initial reentry burn to 150 km altitude; and
(4) For disposal, during descent from initial disposal burn to 150 km altitude.
(c) Rendezvous. Planned rendezvous operations that occur within the screening time frame are not considered a violation of collision avoidance if the involved operators have pre-coordinated the rendezvous or close approach.
(d) Exception. A launch collision avoidance analysis is not required for any launched object if the maximum planned altitude by that object is less than 150 km.
(e) Analysis. Collision avoidance analysis must be obtained for each launch or reentry from a Federal entity identified by the FAA, or another entity agreed to by the Administrator.
(1) An operator must use the results of the collision avoidance analysis to establish flight commit criteria for collision avoidance; and
(2) The collision avoidance analysis must account for uncertainties associated with launch or reentry vehicle performance and timing, and ensure that each window closure incorporates all additional time periods associated with such uncertainties.
(f) Timing and information required. An operator must prepare a collision avoidance analysis worksheet for each launch or reentry using a standardized format that contains the input data required by appendix A to this part, as follows:
(1) Except as specified in paragraphs (f)(1)(i) and (ii) of this section, an operator must file the input data with an entity identified in paragraph (e) of this section and the FAA at least 7 days before the first attempt at the flight of a launch vehicle or the reentry of a reentry vehicle.
(i) Operators that have never received a launch or reentry conjunction assessment from the entity identified in paragraph (e) of this section, must file the input data at least 15 days in advance.
(ii) The Administrator may agree to an alternative time frame in accordance with § 404.15;
(2) An operator must obtain a collision avoidance analysis performed by an entity identified in paragraph (e) of this section, no later than 3 hours before the beginning of a launch or reentry window; and
(3) If an operator needs an updated collision avoidance analysis due to a launch or reentry delay, the operator must file the request with the entity identified in paragraph (e) of this section and the FAA at least 12 hours prior to the beginning of the new launch or reentry window.
(a) Orbital debris mitigation. An operator must ensure for any proposed launch that for all vehicle stages or components that reach Earth orbit—
(1) There is no unplanned physical contact between the vehicle or any of its components and the payload after payload separation;
(2) Debris generation does not result from the conversion of energy sources into energy that fragments the vehicle or its components. Energy sources include chemical, pressure, and kinetic energy; and
(3) For all vehicle stages or components that are left in orbit, stored energy is removed by depleting residual fuel and leaving all fuel line valves open, venting any pressurized system, leaving all batteries in a permanent discharge state, and removing any remaining source of stored energy.
(b) Application requirement. An applicant must demonstrate compliance with the requirements in paragraph (a) of this section.
(a) General. An operator must report, respond to, and investigate mishaps, as defined in § 401.7 of this chapter, in accordance with paragraphs (b) through (g) of this section using a plan or other written means.
(b) Responsibilities. An operator must document—
(1) Responsibilities for personnel assigned to implement the requirements of this section;
(2) Reporting responsibilities for personnel assigned to conduct investigations and for anyone retained by the operator to conduct or participate in investigations; and
(3) Allocation of roles and responsibilities between the launch operator and any site operator for reporting, responding to, and investigating any mishap during ground activities at the site.
(c) Mishap reporting requirements. An operator must—
(1) Immediately notify the FAA Washington Operations Center in case of a mishap that involves a fatality or serious injury (as defined in 49 CFR 830.2);
(2) Notify within 24 hours the FAA Washington Operations Center in the case of a mishap that does not involve a fatality or serious injury (as defined in 49 CFR 830.2); and
(3) Submit a written preliminary report to the FAA Office of Commercial Space Transportation within five days of any mishap. The preliminary report must include the following information, as applicable:
(i) Date and time of the mishap;
(ii) Description of the mishap and sequence of events leading to the mishap, to the extent known;
(iii) Intended and actual location of the launch or reentry or other landing on Earth;
(iv) Hazardous debris impact points, including those outside a planned landing site or designated hazard area;
(v) Identification of the vehicle;
(vi) Identification of any payload;
(vii) Number and general description of any fatalities or injuries;
(viii) Description and estimated costs of any property damage;
(ix) Identification of hazardous materials, as defined in § 401.7 of this chapter, involved in the event, whether on the vehicle, any payload, or on the ground;
(x) Action taken by any person to contain the consequences of the event;
(xi) Weather conditions at the time of the event; and
(xii) Potential consequences for other similar vehicles, systems, or operations.
(d) Emergency response requirements. An operator must—
(1) Activate emergency response services to protect the public and property following a mishap as necessary including, but not limited to:
(i) Evacuating and rescuing members of the public, taking into account debris dispersion and toxic plumes; and
(ii) Extinguishing fires;
(2) Maintain existing hazard area surveillance and clearance as necessary to protect public safety;
(3) Contain and minimize the consequences of a mishap, including:
(i) Securing impact areas to ensure that no members of the public enter;
(ii) Safely disposing of hazardous materials; and
(iii) Controlling hazards at the site or impact areas.
(4) Preserve data and physical evidence; and
(5) Implement agreements with government authorities and emergency response services, as necessary, to satisfy the requirements of this section.
(e) Mishap investigation requirements. In the event of a mishap, an operator must—
(1) Investigate the root causes of the mishap; and
(2) Report investigation results to the FAA.
(f) Preventative measures. An operator must identify and implement preventive measures for avoiding recurrence of the mishap prior to the next flight, unless otherwise approved by the Administrator.
(g) Mishap records. An operator must maintain records associated with the mishap in accordance with § 450.219(b).
(h) Application requirements. An applicant must submit the plan or other written means required by this section.
(a) Applicability. This section applies to license applicants or operators seeking an optional test-induced damage exception.
(b) Coordination of potential test-induced damage. Test-induced damage is not a mishap if all of the following are true:
(1) A license applicant or operator coordinates potential test-induced damage with the FAA before the planned activity, and with sufficient time for the FAA to evaluate the operator's proposal during the application process or as a license modification;
(2) The test-induced damage did not result in any of the following:
(i) Serious injury or fatality (as defined in 49 CFR 830.2);
(ii) Damage to property not associated with the licensed activity; or
(iii) Hazardous debris leaving the pre-defined hazard area; and
(3) The test-induced damage falls within the scope of activities coordinated with the FAA in paragraph (b)(1) of this section.
(c) Application requirements. An applicant must submit the following information—
(1) Test objectives;
(2) Test limits;
(3) Expected outcomes;
(4) Potential risks, including the applicant's best understanding of the uncertainties in environments, test limits, or system performance;
(5) Applicable procedures;
(6) Expected time and duration of the test; and
(7) Additional information as required by the FAA to ensure protection of public health and safety, safety of property, and the national security and foreign policy interests of the United States.
(a) Unique hazards. An operator must review operations, system designs, analysis, and testing, and identify any unique hazards not otherwise addressed by this part. An operator must implement any unique safety policy, requirement, or practice needed to protect the public from the unique hazard.
(b) Unique requirements. The FAA may identify and impose a unique policy, requirement, or practice as needed to protect the public health and safety.
(c) Application requirements. An applicant must—
(1) Identify any unique safety policy, requirement, or practice necessary in accordance with paragraph (a) of this section, and demonstrate that each unique safety policy, requirement, or practice protects public health and safety.
(2) Demonstrate compliance with each unique safety policy, requirement, or practice imposed by the FAA in accordance with paragraph (b) of this section.
(a) At a U.S. launch or reentry site, an operator must protect the public and property from adverse effects of hazardous operations and systems associated with—
(1) Preparing a launch vehicle for flight;
(2) Returning a launch or reentry vehicle to a safe condition after landing, or after an aborted launch attempt; and
(3) Returning a site to a safe condition.
(b) An operator is not required to comply with §§ 450.181 through 450.189 of this part if:
(1) The launch or reentry is being conducted from a Federal launch or reentry site;
(2) The operator has a written agreement with the Federal launch or reentry site for the provision of ground safety services and oversight; and
(3) The Administrator has determined that the Federal launch or reentry site's ground safety processes, requirements, and oversight are not inconsistent with the Secretary's statutory authority over commercial space activities.
(c) In making the determination required by paragraph (b)(3) of this section, the Administrator will consider the nature and frequency of launch and reentry activities conducted from the Federal launch or reentry site, coordination between the FAA and the Federal launch or reentry site safety personnel, and the Administrator's knowledge of the Federal launch or reentry site's requirements.
(a) General. For a launch or reentry conducted from or to a Federal launch or reentry site or a site licensed under part 420 or 433 of this chapter, an operator must coordinate with the site operator to—
(1) Ensure public access is controlled where and when necessary to protect public safety;
(2) Ensure launch or reentry operations are coordinated with other launch and reentry operators and other affected parties to prevent unsafe interference;
(3) Designate any ground hazard area that affects the operations of a launch or reentry site; and
(4) Ensure a prompt and effective response is undertaken in the event of a mishap that could impact the safety of the public and property.
(b) Licensed site operator. For a launch or reentry conducted from or to a site licensed under part 420 or 433 of this chapter, an operator must also coordinate with the site operator to establish roles and responsibilities for reporting, responding to, and investigating any mishap during ground activities at the site.
(c) Application requirement. An applicant must describe how it is coordinating with a Federal or licensed launch or reentry site operator in compliance with this section.
(a) Explosive siting requirements. For a launch or reentry conducted from or to a site exclusive to its own use, an operator must comply with the explosive siting requirements of §§ 420.63, 420.65, 420.66, 420.67, 420.69, and 420.70 of this chapter.
(b) Application requirement. An applicant must submit an explosive site plan in accordance with paragraph (a) of this section.
An operator must perform and document a ground hazard analysis, and continue to maintain it throughout the lifecycle of the launch or reentry system. The analysis must—
(a) Hazard identification. Identify system and operation hazards posed by the vehicle and ground hardware, including site and ground support equipment. Hazards identified must include the following:
(1) System hazards, including:
(i) Vehicle over-pressurization;
(ii) Sudden energy release, including ordnance actuation;
(iii) Ionizing and non-ionizing radiation;
(iv) Fire or deflagration;
(v) Radioactive materials;
(vi) Toxic release;
(vii) Cryogens;
(viii) Electrical discharge; and
(ix) Structural failure.
(2) Operation hazards, including:
(i) Propellant handling and loading;
(ii) Transporting of vehicle or vehicle components;
(iii) Vehicle testing; and
(iv) Vehicle or system activation.
(b) Hazard assessment. Assess each hazard's likelihood and severity.
(c) Risk acceptability criteria. Ensure that the risk associated with each hazard meets the following criteria:
(1) The likelihood of any hazardous condition that may cause death or serious injury to the public must be extremely remote; and
(2) The likelihood of any hazardous condition that may cause major damage to property not associated with the launch or reentry must be remote.
(d) Risk mitigation. Identify and describe the risk elimination and mitigation measures required to satisfy paragraph (c) of this section.
(e) Validation and verification. Document that the risk elimination and mitigation measures achieve the risk levels of paragraph (c) of this section through validation and verification. Verification includes:
(1) Analysis;
(2) Test;
(3) Demonstration; or
(4) Inspection.
(f) Application requirements. An applicant must submit—
(1) A description of the methodology used to perform the ground hazard analysis;
(2) A list of all systems and operations that may cause a hazard involving the vehicle or any payload; and
(3) The ground hazard analysis products of paragraphs (a) through (e) of this section, including data that verifies the risk elimination and mitigation measures.
(a) Applicability. (1) Except as specified in paragraph (a)(2), this section applies to any launch or reentry vehicle, including all vehicle components and payloads, that use toxic propellants or other toxic chemicals.
(2) No toxic release hazard analysis is required for kerosene-based fuels, unless the Administrator determines that an analysis is required to protect public safety.
(b) General. An operator must—
(1) Conduct a toxic release hazard analysis in accordance with paragraph (c) of this section;
(2) Manage the risk of casualties that could arise from the exposure to toxic release through one of the following means:
(i) Contain hazards caused by toxic release in accordance with paragraph (d) of this section; or
(ii) Perform a toxic risk assessment, in accordance with paragraph (e) of this section, that demonstrates compliance with the risk criteria of § 450.185(c).
(3) Establish ground hazard controls based on the results of its toxic release hazard analysis and toxic containment or toxic risk assessment for any necessary evacuation of the public from any toxic hazard area.
(c) Toxic release hazard analysis. A toxic release hazard analysis must—
(1) Account for any toxic release that could occur during nominal or non-nominal launch or reentry ground operations;
(2) Include a worst-case release scenario analysis or a maximum-credible release scenario analysis for each process that involves a toxic propellant or other chemical;
(3) Determine if toxic release can occur based on an evaluation of the chemical compositions and quantities of propellants, other chemicals, vehicle materials, and projected combustion products, and the possible toxic release scenarios;
(4) Account for both normal combustion products and any unreacted propellants and phase change or chemical derivatives of released substances; and
(5) Account for any operational constraints and emergency procedures that provide protection from toxic release.
(d) Toxic containment. An operator using toxic containment must manage the risk of casualty from the exposure to toxic release either by—
(1) Evacuating, or being prepared to evacuate, the public from any toxic hazard area in the event of a worst-case release or maximum credible release scenario; or
(2) Employing meteorological constraints to limit a ground operation to times during which prevailing winds and other conditions ensure that the public would not be exposed to toxic concentrations and durations greater than accepted toxic thresholds for acute casualty in the event of a worst-case release or maximum credible release scenario.
(e) Toxic risk assessment. An operator using toxic risk assessment must manage the risk from any toxic release hazard and demonstrate compliance with the criteria in § 450.185(c). A toxic risk assessment must—
(1) Account for airborne concentration and duration thresholds of toxic propellants or other chemicals. For any toxic propellant, other chemicals, or combustion product, an operator must use airborne toxic concentration and duration thresholds identified in a means of compliance accepted by the Administrator;
(2) Account for physical phenomena expected to influence any toxic concentration and duration in the area surrounding the potential release site;
(3) Determine a toxic hazard area for each process surrounding the potential release site for each toxic propellant or other chemical based on the amount and toxicity of the propellant or other chemical, the exposure duration, and the meteorological conditions involved;
(4) Account for all members of the public that may be exposed to the toxic release; and
(5) Account for any risk mitigation measures applied in the risk assessment.
(f) Application requirements. An applicant must submit:
(1) The identity of the toxic propellant, chemical, or combustion products or derivatives in the possible toxic release;
(2) The applicant's selected airborne toxic concentration and duration thresholds;
(3) The meteorological conditions for the atmospheric transport and buoyant cloud rise of any toxic release from its source to downwind receptor locations;
(4) Characterization of the terrain, as input for modeling the atmospheric transport of a toxic release from its source to downwind receptor locations;
(5) The identity of the toxic dispersion model used, and any other input data;
(6) Representative results of an applicant's toxic dispersion modeling to predict concentrations and durations at selected downwind receptor locations, to determine the toxic hazard area for a released quantity of the toxic substance;
(7) For toxic release hazard analysis in accordance with paragraph (c) of this section:
(i) A description of the failure modes and associated relative probabilities for potential toxic release scenarios used in the risk evaluation; and
(ii) The methodology and representative results of an applicant's determination of the worst-case or maximum-credible quantity of any toxic release that might occur during ground operations;
(8) For toxic containment in accordance with paragraph (d) of this section, identify the evacuation plans or meteorological constraints and associated ground hazard controls needed to ensure that the public will not be within any toxic hazard area in the event of a worst-case release or maximum credible release scenario.
(9) For toxic risk assessment in accordance with paragraph (e) of this section:
(i) A demonstration that the risk criteria in § 450.185(c) will be met;
(ii) The population characteristics in receptor locations that are identified by toxic dispersion modeling as toxic hazard areas;
(iii) A description of any risk mitigation measures applied in the toxic risk assessment; and
(iv) A description of the population exposure input data used in accordance with § 450.123.
(a) General. In addition to the hazard controls derived from an operator's ground hazard analysis and toxic hazard analysis, an operator must comply with paragraphs (b) through (e) of this section.
(b) Protection of public on the site. An operator must document a process for protecting members of the public who enter any area under the control of a launch or reentry operator, including:
(1) Procedures for identifying and tracking the public while on the site; and
(2) Methods the operator uses to protect the public from hazards in accordance with the ground hazard analysis and toxic hazard analysis.
(c) Countdown abort. Following a countdown abort or recycle operation, an operator must establish, maintain, and perform procedures for controlling hazards related to the vehicle and returning the vehicle, stages, or other flight hardware and site facilities to a safe condition. When a launch vehicle does not liftoff after a command to initiate flight was sent, an operator must—
(1) Ensure that the vehicle and any payload are in a safe configuration;
(2) Prohibit entry of the public into any identified hazard areas until the site is returned to a safe condition; and
(3) Maintain and verify that any flight safety system remains operational until verification that the launch vehicle does not represent a risk of inadvertent flight.
(d) Fire suppression. An operator must have reasonable precautions in place to report and control any fire caused by licensed activities.
(e) Emergency procedures. An operator must have general emergency procedures that apply to any emergencies not covered by the mishap plan of § 450.173 that may create a hazard to the public.
(f) Application requirement. An applicant must submit the process for protecting members of the public who enter any area under the control of a launch or reentry operator in accordance with paragraph (b) of this section.
A licensee is responsible for ensuring public safety and safety of property during the conduct of a licensed launch or reentry.
A licensee must conduct a licensed launch or reentry in accordance with representations made in its license application, the requirements of subparts C and D of this part, and the terms and conditions contained in the license. A licensee's failure to act in accordance with the representations made in the license application, the requirements of subparts C and D of this part, and the terms and conditions contained in the license, is sufficient basis for the revocation of a license or other appropriate enforcement action.
A licensee must comply with financial responsibility requirements of part 440 of this chapter and as specified in a license or license order.
A licensee conducting a launch or reentry with a human being on board the vehicle must comply with human spaceflight requirements of part 460 of this chapter as specified in a license or license order.
(a) A licensee must allow access by, and cooperate with, Federal officers or employees or other individuals authorized by the FAA to observe any of its activities, or any of its contractors' or subcontractors' activities, associated with the conduct of a licensed launch or reentry.
(b) For each licensed launch or reentry, a licensee must provide the FAA with a console for monitoring the progress of the countdown and communication on all channels of the countdown communications network, unless the licensee has another acceptable means. A licensee must also provide the FAA with the capability to communicate with the mission director designated by § 450.103(a)(1).
(a) A licensee is responsible for the continuing accuracy of representations contained in its application for the entire term of the license.
(b) After a license has been issued, a licensee must apply to the FAA for modification of the license if—
(1) The licensee proposes to conduct a launch or reentry in a manner not authorized by the license; or
(2) Any representation contained in the license application that is material to public health and safety or the safety of property is no longer accurate and complete or does not reflect the licensee's procedures governing the actual conduct of a launch or reentry. A change is material to public health and safety or the safety of property if it alters or affects—
(i) The class of payload;
(ii) The type of launch or reentry vehicle;
(iii) The type or quantity of hazardous material;
(iv) The flight trajectory;
(v) The launch site or reentry site or other landing site; or
(vi) Any system, policy, procedure, requirement, criteria, or standard that is safety critical.
(c) An application to modify a license must be prepared and submitted in accordance with part 413 of this chapter. If requested during the application process, the FAA may approve an alternate method for requesting license modifications. The licensee must indicate any part of its license or license application that would be changed or affected by a proposed modification.
(d) Upon approval of a modification, the FAA issues either a written approval to the licensee or a license order amending the license if a stated term or condition of the license is changed, added, or deleted. An approval has the full force and effect of a license order and is part of the licensing record.
(a) Reporting method. A licensee must send the information in this section as an email attachment to ASTOperations@faa.gov, or other method as agreed to by the Administrator in the license.
(b) Mission information. A licensee must submit to the FAA the following mission-specific information no less than 60 days before each mission conducted under the license, unless the Administrator agrees to a different time frame in accordance with § 404.15 in the license, except when the information was provided in the license application:
(1) Payload information in accordance with § 450.43(i); and
(2) Planned mission information, including the vehicle, launch site, planned flight path, staging and impact locations, each payload delivery point, intended reentry or landing sites including any contingency abort location, and the location of any disposed launch or reentry vehicle stage or component that is deorbited.
(c) Flight abort and flight safety analysis products. A licensee must submit to the FAA updated flight abort and flight safety analysis products, using methodologies previously approved by the FAA, for each mission no less than 30 days before flight, unless the Administrator agrees to a different time frame in accordance with § 404.15 in the license.
(1) A licensee is not required to submit the flight abort and flight safety analysis products if—
(i) The analysis submitted in the license application satisfies all the requirements of this section; or
(ii) The licensee demonstrated during the application process that the analysis does not need to be updated to account for mission-specific factors.
(2) If a licensee is required to submit the flight abort and flight safety analysis products, the licensee—
(i) Must account for vehicle- and mission-specific input data;
(ii) Must account for potential variations in input data that may affect any analysis product within the final 30 days before flight;
(iii) Must submit the analysis products using the same format and organization used in its license application; and
(iv) May not change an analysis product within the final 30 days before flight unless the licensee has a process, approved in the license, for making a change in that period as part of the licensee's flight safety analysis process.
(d) Flight safety system test data. Any licensee that is required by § 450.101(c) to use a flight safety system to protect public safety must submit to the FAA, or provide the FAA access to, any test reports, in accordance with approved flight safety system test plans, no less than 30 days before flight, unless the Administrator agrees to a different time frame in accordance with § 404.15 in the license. These reports must include:
(1) A summary of the system, subsystem, and component-level test results, including all test failures and corrective actions implemented;
(2) A summary of test results demonstrating sufficient margin to predicted operating environments;
(3) A comparison matrix of the actual qualification and acceptance test levels used for each component in each test compared against the predicted flight levels for each environment, including any test tolerances allowed for each test; and
(4) A clear identification of any components qualified by similarity analysis or a combination of analysis and test.
(e) Collision avoidance analysis. A licensee must submit to a Federal entity identified by the FAA and to the FAA the collision avoidance information in appendix A to part 450 in accordance with § 450.169(f).
(f) Launch or reentry schedule. A licensee must file a launch or reentry schedule that identifies each review, rehearsal, and safety-critical operation. The schedule must be filed and updated in time to allow FAA personnel to participate in the reviews, rehearsals, and safety-critical operations.
(a) A licensee must submit to the FAA the information in paragraph (b) of this section no later than 90 days after a launch or reentry, unless the Administrator agrees to a different time frame in accordance with § 404.15 of this chapter.
(b) A licensee must send the following information as an email attachment to ASTOperations@faa.gov, or other method as agreed to by the Administrator in the license:
(1) Any anomaly that occurred during countdown or flight that is material to public health and safety and the safety of property;
(2) Any corrective action implemented or to be implemented after the flight due to an anomaly or mishap;
(3) The number of humans on board the vehicle;
(4) The actual trajectory flown by the vehicle, if requested by the FAA; and
(5) For an unguided suborbital launch vehicle, the actual impact location of all impacting stages and impacting components, if requested by the FAA.
(a) To assist the U.S. Government in implementing Article IV of the 1975 Convention on Registration of Objects Launched into Outer Space, each licensee must submit to the FAA the information required by paragraph (b) of this section for all objects placed in space by a licensed launch, including a launch vehicle and any components, except any object owned and registered by the U.S. Government.
(b) For each object that must be registered in accordance with this section, no later than 30 days following the conduct of a licensed launch, a licensee must file the following information:
(1) The international designator of the space object;
(2) Date and location of launch;
(3) General function of the space object;
(4) Final orbital parameters, including:
(i) Nodal period;
(ii) Inclination;
(iii) Apogee;
(iv) Perigee; and
(5) Ownership, and country of ownership, of the space object.
(c) A licensee must notify the FAA when it removes an object that it has previously placed in space.
(a) Except as specified in paragraph (b) of this section, a licensee must maintain for 3 years all records, data, and other material necessary to verify that a launch or reentry is conducted in accordance with representations contained in the licensee's application, the requirements of subparts C and D of this part, and the terms and conditions contained in the license.
(b) For an event that meets any of paragraph (1) through (5) or paragraph (8) of the definition of “mishap” in § 401.7 of this chapter, a licensee must preserve all records related to the event. Records must be retained until completion of any Federal investigation and the FAA advises the licensee that the records need not be retained. The licensee must make all records required to be maintained under the regulations available to Federal officials for inspection and copying.
(a) Launch or reentry information. An operator must file the following information:
(1) Mission name. A mnemonic given to the launch vehicle/payload combination identifying the launch mission distinctly from all others;
(2) Launch location. Launch site location in latitude and longitude;
(3) Launch or reentry window. The launch or reentry window opening and closing times in Greenwich Mean Time (referred to as ZULU time) and the Julian dates for each scheduled launch or reentry attempts including primary and secondary launch or reentry dates;
(4) Epoch. The epoch time, in Greenwich Mean Time (GMT), of the expected launch vehicle liftoff time;
(5) Segment number. A segment is defined as a launch vehicle stage or payload after the thrusting portion of its flight has ended. This includes the jettison or deployment of any stage or payload. For each segment, an operator must determine the orbital parameters;
(6) Orbital parameters. An operator must identify the orbital parameters for all objects achieving orbit including the parameters for each segment after thrust ends;
(7) Orbiting objects to evaluate. An operator must identify all orbiting object descriptions including object name, length, width, depth, diameter, and mass;
(8) Time of powered flight and sequence of events. The elapsed time in hours, minutes, and seconds, from liftoff to passivation or disposal. The input data must include the time of powered flight for each stage or jettisoned component measured from liftoff; and
(9) Point of contact. The person or office within an operator's organization that collects, analyzes, and distributes collision avoidance analysis results.
(b) Collision avoidance analysis results transmission medium. An operator must identify the transmission medium, such as voice or email, for receiving results.
(c) Deliverable schedule/need dates. An operator must identify the times before flight, referred to as “L-times,” for which the operator requests a collision avoidance analysis. The final collision avoidance analysis must be used to establish flight commit criteria for a launch.
(d) Trajectory files. Individual position and velocity trajectory files, including:
(1) The position coordinates in the Earth-Fixed Greenwich (EFG) coordinates system measured in kilometers and the EFG velocity components measured in kilometers per second, of each launch vehicle stage or payload starting below 150 km through screening time frame;
(2) Radar cross section values for each individual file;
(3) Position Covariance, if probability of impact analysis option is desired; and
(4) Separate trajectory files identified by valid window time frames, if launch or reentry trajectory changes during launch or reentry window.
(e) Screening. An operator must select spherical, ellipsoidal, or collision probability screening as defined in this paragraph for determining any conjunction:
(1) Spherical screening. Spherical screening centers a sphere on each orbiting object's center-of-mass to determine any conjunction;
(2) Ellipsoidal screening. Ellipsoidal screening utilizes an impact exclusion ellipsoid of revolution centered on the orbiting object's center-of-mass to determine any conjunction. An operator must provide input in the UVW coordinate system in kilometers. The operator must provide delta-U measured in the radial-track direction, delta-V measured in the in-track direction, and delta-W measured in the cross-track direction; or
(3) Probability of Collision. Collision probability is calculated using position and velocity information with covariance in position.
This subpart establishes requirements for crew of a vehicle whose operator is licensed or permitted under this chapter.
(a) This subpart applies to:
(1) An applicant for a license or permit under this chapter who proposes to have flight crew on board a vehicle or proposes to employ a remote operator of a vehicle with a human on board.
(2) An operator licensed or permitted under this chapter who has flight crew on board a vehicle or who employs a remote operator of a vehicle with a human on board.
(3) A crew member participating in an activity authorized under this chapter.
(b) Each member of the crew must comply with all requirements of the laws of the United States that apply to crew.
(a) Each crew member must—
(1) Complete training on how to carry out his or her role on board or on the ground so that the vehicle will not harm the public; and
(2) Train for his or her role in nominal and non-nominal conditions. The conditions must include—
(i) Abort scenarios; and
(ii) Emergency operations.
(b) Each member of a flight crew must demonstrate an ability to withstand the stresses of space flight, which may include high acceleration or deceleration, microgravity, and vibration, in sufficient condition to safely carry out his or her duties so that the vehicle will not harm the public.
(c) A pilot and a remote operator must—
(1) Possess and carry an FAA pilot certificate with an instrument rating.
(2) Possess aeronautical knowledge, experience, and skills necessary to pilot and control the launch or reentry vehicle that will operate in the National Airspace System (NAS). Aeronautical experience may include hours in flight, ratings, and training.
(3) Receive vehicle and mission-specific training for each phase of flight by using one or more of the following—
(i) A method or device that simulates the flight;
(ii) An aircraft whose characteristics are similar to the vehicle or that has similar phases of flight to the vehicle ;
(iii) Flight testing; or
(iv) An equivalent method of training approved by the FAA through the license or permit process.
(4) Train in procedures that direct the vehicle away from the public in the event the flight crew abandons the vehicle during flight; and
(5) Train for each mode of control or propulsion, including any transition between modes, such that the pilot or remote operator is able to control the vehicle.
(d) A pilot or a remote operator may demonstrate an equivalent level of safety to paragraph (c)(1) of this section through the license or permit process.
(e) Each crew member with a safety-critical role must possess and carry an FAA second-class airman medical certificate issued in accordance with 14 CFR part 67, no more than 12 months prior to the month of launch and reentry.
(a) Implementation of training. An operator must train each member of its crew and define standards for successful completion in accordance with § 460.5.
(b) Training device fidelity. An operator must
(1) Ensure that any crew-training device used to meet the training requirements realistically represents the vehicle's configuration and mission, or
(2) Inform the crew member being trained of the differences between the two.
(c) Maintenance of training records. An operator must continually update the crew training to ensure that it incorporates lessons learned from training and operational missions. An operator must—
(1) Track each revision and update in writing; and
(2) Document the completed training for each crew member and maintain the documentation for each active crew member.
(d) Current qualifications and training. An operator must establish a recurrent training schedule and ensure that all crew qualifications and training required by § 460.5 are current before launch and reentry.
An operator must inform in writing any individual serving as crew that the United States Government has not certified the launch vehicle and any reentry vehicle as safe for carrying flight crew or space flight participants. An operator must provide this information—
(a) Before entering into any contract or other arrangement to employ that individual; or
(b) For any crew member employed as of December 23, 2004, as early as possible and prior to any launch in which that individual will participate as crew.
(a) An operator must provide atmospheric conditions adequate to sustain life and consciousness for all inhabited areas within a vehicle. The operator or flight crew must monitor and control the following atmospheric conditions in the inhabited areas or demonstrate through the license or permit process that an alternate means provides an equivalent level of safety—
(1) Composition of the atmosphere, which includes oxygen and carbon dioxide, and any revitalization;
(2) Pressure, temperature and humidity;
(3) Contaminants that include particulates and any harmful or hazardous concentrations of gases, or vapors; and
(4) Ventilation and circulation.
(b) An operator must provide an adequate redundant or secondary oxygen supply for the flight crew.
(c) An operator must
(1) Provide a redundant means of preventing cabin depressurization; or
(2) Prevent incapacitation of any of the flight crew in the event of loss of cabin pressure.
An operator or crew must have the ability to detect smoke and suppress a cabin fire to prevent incapacitation of the flight crew.
An operator must take the precautions necessary to account for human factors that can affect a crew's ability to perform safety-critical roles, including in the following safety critical areas—
(a) Design and layout of displays and controls;
(b) Mission planning, which includes analyzing tasks and allocating functions between humans and equipment;
(c) Restraint or stowage of all individuals and objects in a vehicle; and
(d) Vehicle operation, so that the vehicle will be operated in a manner that flight crew can withstand any physical stress factors, such as acceleration, vibration, and noise.
An operator must successfully verify the integrated performance of a vehicle's hardware and any software in an operational flight environment before allowing any space flight participant on board during a flight. Verification must include flight testing.
Each member of a flight crew and any remote operator must execute a reciprocal waiver of claims with the Federal Aviation Administration of the Department of Transportation in accordance with the requirements of part 440.
This subpart establishes requirements for space flight participants on board a vehicle whose operator is licensed or permitted under this chapter.
This subpart applies to:
(a) An applicant for a license or permit under this chapter who proposes to have a space flight participant on board a vehicle;
(b) An operator licensed or permitted under this chapter who has a space flight participant on board a vehicle; and
(c) A space flight participant in an activity authorized under this chapter.
(a) Before receiving compensation or making an agreement to fly a space flight participant, an operator must satisfy the requirements of this section. An operator must inform each space flight participant in writing about the risks of the launch and reentry, including the safety record of the launch or reentry vehicle type. An operator must present this information in a manner that can be readily understood by a space flight participant with no specialized education or training, and must disclose in writing—
(1) For each mission, each known hazard and risk that could result in a serious injury, death, disability, or total or partial loss of physical and mental function;
(2) That there are hazards that are not known; and
(3) That participation in space flight may result in death, serious injury, or total or partial loss of physical or mental function.
(b) An operator must inform each space flight participant that the United States Government has not certified the launch vehicle and any reentry vehicle as safe for carrying crew or space flight participants.
(c) An operator must inform each space flight participant of the safety record of all launch or reentry vehicles that have carried one or more persons on board, including both U.S. government and private sector vehicles. This information must include—
(1) The total number of people who have been on a suborbital or orbital space flight and the total number of people who have died or been seriously injured on these flights; and
(2) The total number of launches and reentries conducted with people on board and the number of catastrophic failures of those launches and reentries.
(d) An operator must describe the safety record of its vehicle to each space flight participant. The operator's safety record must cover any event that meets any of paragraph (1), (4), (5), or (8) of the definition of “mishap” in § 401.7 that occurred during and after vehicle verification performed in accordance with § 460.17, and include:
(1) The number of vehicle flights;
(2) The number of events that meet any of paragraph (1), (4), (5), or (8) of the definition of “mishap” in section § 401.7; and
(3) Whether any corrective actions were taken to resolve these mishaps.
(e) An operator must inform a space flight participant that he or she may request additional information regarding any accidents and human space flight incidents reported.
(f) Before flight, an operator must provide each space flight participant an opportunity to ask questions orally to acquire a better understanding of the hazards and risks of the mission, and each space flight participant must then provide consent in writing to participate in a launch or reentry. The consent must—
(1) Identify the specific launch vehicle the consent covers;
(2) State that the space flight participant understands the risk, and his or her presence on board the launch vehicle is voluntary; and
(3) Be signed and dated by the space flight participant.
Each space flight participant must execute a reciprocal waiver of claims with the Federal Aviation Administration of the Department of Transportation in accordance with the requirements of part 440 of this chapter.
An operator must train each space flight participant before flight on how to respond to emergency situations, including smoke, fire, loss of cabin pressure, and emergency exit.
An operator must implement security requirements to prevent any space flight participant from jeopardizing the safety of the flight crew or the public. A space flight participant may not carry on board any explosives, firearms, knives, or other weapons.
This subpart establishes requirements for operators and applicants whose licensed or permitted operations involve government astronauts on board a vehicle.
This subpart applies to:
(a) An applicant for a license or permit under this chapter who proposes to have a government astronaut with a safety-critical role on board a vehicle.
(b) An operator licensed or permitted under this chapter who has a government astronaut with a safety-critical role on board a vehicle.
(a) An operator must ensure that each government astronaut with a safety-critical role is trained on—
(1) How to carry out their safety-critical role on board or on the ground so that the vehicle will not harm the public; and
(2) Their role in nominal and non-nominal conditions, including abort scenarios and emergency operations, to the extent that performance of their role could impact public safety.
(b) An operator must ensure any government astronaut who has the capability to control, in real time, a launch or reentry vehicle's flight path during a phase of flight capable of endangering the public:
(1) Receives vehicle and mission-specific training for each phase of flight capable of endangering the public and over which the government astronaut has the capability to control the vehicle by using one or more of the following:
(i) A method or device that simulates the flight;
(ii) An aircraft whose characteristics are similar to the vehicle or that has similar phases of flight to the vehicle;
(iii) Flight testing; or
(iv) An equivalent method of training approved by the FAA through the license process.
(2) Trains for each mode of control or propulsion, including any transition between modes, such that the government astronaut is able to control the vehicle.
(3) Possesses aeronautical knowledge, experience, and skills necessary to pilot and control the launch or reentry vehicle that will operate in the National Airspace System (NAS). Aeronautical experience may include hours in flight, ratings, and training.
(c) With respect to training device fidelity, an operator must:
(1) Ensure that any government astronaut training device used to meet the training requirements realistically represents the vehicle's configuration and mission; or,
(2) Inform the government astronaut being trained of the differences between the training device and the vehicle's configuration and mission.
(d) An operator must update the government astronaut training to ensure that the training incorporates lessons learned from training and operational missions including—
(1) Providing traceability to revisions or changes; and
(2) Documenting the completed training for each government astronaut and maintaining the documentation for each active government astronaut.
(e) An operator must establish a recurrent training schedule and ensure that all training of government astronauts performing safety-critical roles is current before launch or reentry.
(f) For licensed missions supporting U.S. Government contracts, operators may meet the training requirements of this section through U.S. Government's contractual requirements.
(a) An operator must provide atmospheric conditions adequate to sustain life and consciousness for all inhabited areas within a vehicle that house a government astronaut. The operator must monitor and control the following atmospheric conditions in the inhabited areas or demonstrate through the license or permit process that an alternate means provides an equivalent level of safety—
(1) Composition of the atmosphere, which includes oxygen and carbon dioxide, and any revitalization;
(2) Pressure, temperature and humidity;
(3) Contaminants that include particulates and any harmful or hazardous concentrations of gases, or vapors; and
(4) Ventilation and circulation.
(b) An operator must provide an adequate redundant or secondary oxygen supply for any government astronaut with a safety-critical role.
(c) An operator must provide a redundant means of preventing cabin depressurization; or prevent incapacitation of any government astronaut with a safety-critical role in the event of loss of cabin pressure.
This subpart establishes requirements for operators and applicants whose licensed or permitted operations involve government astronauts on board a vehicle without a safety-critical role.
This subpart applies to:
(a) An applicant for a license or permit under this chapter who proposes to have a government astronaut without a safety-critical role on board a vehicle.
(b) An operator licensed or permitted under this chapter who has a government astronaut without a safety-critical role on board a vehicle.
An operator must ensure that each government astronaut without a safety-critical role is trained on how to respond to emergency situations, including smoke, fire, loss of cabin pressure, and emergency exit.
The National Aeronautics and Space Administration was established by the National Aeronautics and Space Act (51 U.S.C. 20111), as amended (hereafter called the “Act”).
It is the purpose of the National Aeronautics and Space Administration to carry out aeronautical and space activities of the United States. Such activities shall be the responsibility of, and shall be directed by, the National Aeronautics and Space Administration, except that activities peculiar to or primarily associated with the development of weapons systems, military operations, or the defense of the United States shall be the responsibility of, and shall be directed by, the Department of Defense.
In order to carry out the purpose of the Act, NASA is authorized to conduct research for the solution of problems of flight within and outside the Earth's atmosphere; to develop, construct, test, and operate aeronautical and space vehicles for research purposes; to operate a space transportation system including the space shuttle, upper stages, space program, space station, and related equipment; and to perform such other activities as may be required for the exploration of space. The term aeronautical and space vehicles means aircraft, missiles, satellites, and other space vehicles, together with related equipment, devices, components, and parts. It conducts activities required for the exploration of space with manned and unmanned vehicles and arranges for the most effective utilization of the scientific and engineering resources of the United States with other nations engaged in aeronautical and space activities for peaceful purposes.
(a) NASA is headed by an Administrator, who is appointed from civilian life by the President by and with the advice and consent of the Senate. The Administrator is responsible, under the supervision and direction of the President, for exercising all powers and discharging all duties of NASA.
(b) The Deputy Administrator of NASA is also appointed by the President from civilian life by and with the advice and consent of the Senate. The Deputy Administrator acts with or for the Administrator within the full scope of the Administrator's responsibilities. In the Administrator's absence, the Deputy Administrator serves as Acting Administrator.
NASA's basic organization consists of the Headquarters, nine field Centers, the Jet Propulsion Laboratory (a Federally Funded Research and Development Center), and several component installations which report to Center Directors. Responsibility for overall planning, coordination, and control of NASA programs is vested in NASA Headquarters located in Washington, DC. For additional information, visit http://www.nasa.gov/about/org_index.html.
(a) NASA's Contract Adjustment Board (CAB) and Inventions and Contributions Board (ICB) were established as part of the permanent organization structure of NASA. Charters for both Boards are set forth in part 1209 of this chapter. Procedures for the CAB are set out in 48 CFR part 1850, and procedures for the ICB are set out in 14 CFR parts 1240 and 1245.
(b) The Armed Services Board of Contract Appeals (ASBCA) is a neutral, independent forum whose primary function is to hear and decide post-award contract disputes between government contractors and those entities with whom the ASBCA has entered into agreement to provide services (NASA is one of those entities). The ASBCA functions in accordance with the Contract Disputes Act (41 U.S.C. 7101-7109), its Charter, or other remedy-granting provisions. Information about the ASBCA can be obtained by mail at ASBCA, Skyline 6, Suite 700, 5109 Leesburg Pike, Falls Church, Virginia 22041-3208, by phone at 703-681-8500, or from the Web at www.asbca.mil.
(a) Executive Order 13526 (hereinafter referred to as “the Order”). The responsibilities and authority of the Administrator of NASA with respect to the original classification of official information or material requiring protection against unauthorized disclosure in the interest of national defense or foreign relations of the United States (hereinafter collectively termed “national security”), and the standards for such classification, are established by the “the Order” and the Information Security Oversight Office Directive No. 1, as amended (32 CFR part 2001, “Classified National Security Information”);
(b) E.O. 10865. Executive Order 10865 (24 FR 1583) requires the Administrator to prescribe by regulation such specific requirements, restrictions and other safeguards as the Administrator may consider necessary to protect:
(1) Releases of classified information to or within United States industry that relate to contracts with NASA; and
(2) Other releases of classified information to industry that NASA has responsibility for safeguarding.
(c) The National Aeronautics and Space Act. (1) The National Aeronautics and Space Act (51 U.S.C. 20113) (Hereafter referred to as, “The Space Act”), states:
The Administrator shall establish such security requirements, restrictions, and safeguards as he deems necessary in the interest of the national security * * *
(2) Section 303 of the Space Act states:
Information obtained or developed by the Administrator in the performance of his functions under this Act shall be made available for public inspection, except (i) information authorized or required by Federal statute to be withheld, and (ii) information classified to protect the national security: Provided, That nothing in this Act shall authorize the withholding of information by the Administrator from the duly authorized committees of the Congress.
(a) Subpart H of this part, “Delegation of Authority to Make Determinations in Original Security Classification Matters.”
(b) Subpart I of this part, “NASA Information Security Program Committee.”
(c) NASA Procedural Requirements (NPR) 1600.2, NASA Classified National Security Information (CNSI).
(a) In establishing a civilian space program, the Congress required NASA to “provide for the widest practicable and appropriate dissemination of information concerning its activities and the results thereof,” and for the withholding from public inspection of that information that is classified to protect the national security.
(b) The Order was promulgated in recognition of the essential requirement for an informed public concerning the activities of its Government, as well as the need to protect certain national security information from unauthorized disclosure. It delegates to NASA certain responsibility for matters pertaining to national security and confers on the Administrator of NASA, or such responsible officers or employees as the Administrator may designate, the authority for original classification of official information or material which requires protection in the interest of national security. It also provides for:
(1) Basic classification, downgrading and declassification guidelines;
(2) The issuance of directives prescribing the procedures to be followed in safeguarding classified information or material;
(3) A monitoring system to ensure the effectiveness of the Order;
(4) Appropriate administrative sanctions against officers and employees of the United States Government who are found to be in violation of the Order or implementing directive; and
(5) Classification limitations and restrictions as discussed in §§ 1203.410 and 1203.411.
(c) The Order requires the timely identification and protection of that NASA information the disclosure of which would be contrary to the best interest of national security. Accordingly, the determination in each case must be based on a judgment as to whether disclosure of information could reasonably be expected to result in damage to the national security.
The objectives of the NASA Information Security Program are to:
(a) Ensure that information is classified only when a sound basis exists for such classification and only for such period as is necessary.
(b) Prevent both the unwarranted classification and the overclassification of NASA information.
(c) Ensure the greatest practicable uniformity within NASA in the classification of information.
(d) Ensure effective coordination and reasonable uniformity with other Government departments and agencies, particularly in areas where there is an exchange or sharing of information, techniques, hardware, software, or other technologies.
(e) Provide a timely and effective means for downgrading or declassifying information when the circumstances necessitating the original classification change or no longer exist.
(a) The Chairperson, NASA Information Security Program Committee (NISPC) (Subpart I of this part), who is the Assistant Administrator for Protective Services, or designee, is responsible for:
(1) Directing the NASA Information Security Program (NISP) in accordance with NASA policies and objectives and applicable laws and regulations.
(2) Ensuring effective compliance with and implementation of “the Order” and the Information Security Oversight Office Directive No. 1 relating to security classification matters.
(3) Reviewing, in consultation with the NASA Information Security Program Committee NISPC, questions, suggestions, appeals and compliance concerning the NISP and making determinations concerning them.
(4) Coordinating NASA security classification matters with NASA Centers and component facilities and other Government agencies.
(5) Ensuring Security Classification Guides for NASA are developed for NASA programs and projects.
(6) Developing, maintaining and recommending to the Administrator guidelines for the systematic review covering all classified information under NASA's jurisdiction.
(7) Reviewing and coordinating with appropriate offices all appeals of denials of requests for records under sections 552 and 552a of Title 5, United States Code (Freedom of Information and Privacy Acts) when the denials are based on the records' continued classification.
(8) Recommending to the Administrator appropriate administrative action to correct abuse or violations of any provision of the NISP, including notifications by warning letter, formal reprimand and to the extent permitted by law, suspension without pay and removal.
(b) All NASA employees are responsible for bringing to the attention of the Chairperson of the NISPC any information security problems in need of resolution, any areas of interest wherein information security guidance is lacking, and any other matters likely to impede achievement of the objectives prescribed in this section.
(c) Each NASA official to whom the authority for original classification is delegated shall be accountable for the propriety of each classification (see subpart H) and is responsible for:
(1) Ensuring that classification determinations are consistent with the policy and objectives prescribed above, and other applicable guidelines.
(2) Bringing to the attention of the Chairperson, NISPC, for resolution, any disagreement with classification determinations made by other NASA officials.
(3) Ensuring that information and material which no longer requires its present level of protection is promptly downgraded or declassified in accordance with applicable guidelines within a reasonable period.
(d) Other supervisors of NASA offices are responsible for:
(1) Ensuring that classified information or material prepared within their respective offices is appropriately marked.
(2) Ensuring that material proposed for public release is reviewed to redact classified information contained therein.
(e) Chiefs of Protective Services at NASA Centers are responsible for:
(1) Developing proposed Security Classification Guides and submitting the guide to the Office of Protective Services for review and approval.
(2) Ensuring that classified information or material prepared in their respective Center is appropriately marked.
(3) Ensuring that material proposed for public release is reviewed to redact classified information.
(4) Coordinating all security classification actions with the Center's Protective Services Office.
(f) The Director of the Office of Protective Services, NASA Headquarters, who serves as a member and Executive Secretary of the NISPC, is responsible for the NASA-wide coordination of security classification matters.
(g) The Information Security Program Manager, Office of Protective Services (OPS), is responsible for establishing procedures for the safeguarding of classified information or material (e.g., accountability, control, access, storage, transmission, and marking) and for ensuring that such procedures are systematically reviewed; and those which are duplicative or unnecessary are eliminated.
(a) General. Upon determination that information or material must be classified, the degree of protection commensurate with the sensitivity of the information must be determined. If there is reasonable doubt about the need to classify information, it shall be safeguarded as if it were classified pending a determination by an original classification authority, who shall make this determination within 30 days. If there is reasonable doubt about the appropriate level of classification, it shall be safeguarded at the higher level of classification pending a determination by an original classification authority, who shall make this determination within 30 days.
(b) Authorized categories of classification. The three categories of classification, as authorized and defined in “the Order,” are set out below. No other restrictive markings are authorized to be placed on NASA classified documents or materials except as expressly provided by statute or by NASA Directives.
(1) Top Secret. Top Secret is the designation applied to information or material, the unauthorized disclosure of which could reasonably be expected to cause exceptionally grave damage to the national security.
(2) Secret. Secret is the designation applied to information or material, the unauthorized disclosure of which could reasonably be expected to cause serious damage to the national security.
(3) Confidential. Confidential is the designation applied to that information or material for which the unauthorized disclosure could reasonably be expected to cause damage to the national security.
In general, the types of NASA-generated information and material requiring protection in the interest of national security lie in the areas of applied research, technology or operations.
Classifiers shall identify the level of classification of each classified portion of a document (including subject and titles), and those portions that are not classified.
A compilation of items that are individually unclassified may be classified if the compiled information reveals an additional association or relationship that meets the standards of classification under the Order; and is not otherwise revealed in the individual items of information. As used in the Order, compilations mean an aggregate of pre-existing unclassified items of information.
NASA shall establish controls over the distribution of classified information to ensure that it is dispersed only to organizations or individuals eligible for access to such information and with a need-to-know the information.
The effect of security protection on program progess and cost and on other functional activities of NASA should be considered. Impeditive effects and added costs inherent in a security classification must be assessed and weighed against the detrimental effects on the national security interests which would result from failure to classify.
Restricted Data or Formerly Restricted Data is so classified when originated or by operation of the law, as required by the Atomic Energy Act of 1954, as amended. Specific guidance for the classification of Restricted Data and Formerly Restricted Data is provided in “Classification Guides” published by the Department of Energy and or Department of Defense.
Technological and operational information and material, and in some exceptional cases scientific information falling within any one or more of the following categories, must be classified if its unauthorized disclosure could reasonably be expected to cause some degree of damage to the national security. In cases where it is believed that a contrary course of action would better serve the national interests, the matter should be referred to the Chairperson, NISPC, for a determination. It is not intended that this list be exclusive; original classifiers are responsible for initially classifying any other type of information which, in their judgment, requires protection under § 1.4 of “the Order.”
(a) Military plans, weapons systems, or operations;
(b) Foreign government information;
(c) Intelligence activities (including covert activities), intelligence sources or methods, or cryptology;
(d) Foreign relations or foreign activities of the United States, including confidential sources;
(e) Scientific, technological, or economic matters relating to the national security;
(f) United States Government programs for safeguarding nuclear materials or facilities;
(g) Vulnerabilities or capabilities of systems, installations, infrastructures, projects, plans, or protection services relating to the national security; or
(h) The development, production, or plans relating to the use of weapons of mass destruction.
Public disclosure, regardless of source or form, of information currently classified or being considered for classification does not preclude initial or continued classification. However, such disclosure requires an immediate reevaluation to determine whether the information has been compromised to the extent that downgrading or declassification is indicated. Similar consideration must be given to related items of information in all programs, projects, or items incorporating or pertaining to the compromised items of information. In these cases, if a release were made or authorized by an official Government source, classification of clearly identified items may no longer be warranted. Questions as to the propriety of continued classification should be referred to the Chairperson, NASA Information Security Program Committee.
Items of equipment or other physical objects may be classified only where classified information may be derived by visual observation of internal or external appearance, structure, operation, test, application or use. The overall classification assigned to equipment or objects shall be at least as high as the highest classification of any of the items of information which may be revealed by the equipment or objects, but may be higher if the classifying authority determines that the sum of classified or unclassified information warrants such higher classification. In every instance where classification of an item of equipment or object is determined to be warranted, such determination must be based on a finding that there is at least one aspect of the item or object which requires protection. If mere knowledge of the existence of the equipment or object would compromise or nullify the reason or justification for its classification, the fact of its existence should be classified.
It is the usual practice to withhold the release of raw scientific data received from spacecraft until it can be calibrated, correlated and properly interpreted by the experimenter under the monitorship of the cognizant NASA office. During this process, the data are withheld through administrative measures, and it is not necessary to resort to security classification to prevent premature release. However, if at any time during the processing of raw data it becomes apparent that the results require protection under the criteria set forth in this subpart D, it is the responsibility of the cognizant NASA office to obtain the appropriate security classification.
Proprietary information made available to NASA is subject to examination for classification purposes under the criteria set forth in this subpart D. Where the information is in the form of a proposal and accepted by NASA for support, it should be categorized in accordance with the criteria of § 1203.400. If NASA does not support the proposal but believes that security classification would be appropriate under the criteria of § 1203.400 if it were under Government jurisdiction, the contractor should be advised of the reasons why safeguarding would be appropriate, unless security considerations preclude release of the explanation to the contractor. NASA should identify the Government department, agency or activity whose national security interests might be involved and the contractor should be instructed to protect the proposal as though classified pending further advisory classification opinion by the Government activity whose interests are involved. If such a Government activity cannot be identified, the contractor should be advised that the proposal is not under NASA jurisdiction for classification purposes, and that the information should be sent, under proper safeguards, to the Director, Information Security Oversight Office for a determination.
In determining the appropriate classification category, the following additional factors should be considered:
(a) Uniformity within government activities. The effect classification will have on technological programs of other Government departments and agencies should be considered. Classification of official information must be reasonably uniform within the Government.
(b) Applicability of classification directives of other Government agencies. It is necessary to determine whether authoritative classification guidance exists elsewhere for the information under consideration which would make it necessary to assign a higher classification than that indicated by the applicable NASA guidance. The Office of Protective Services will coordinate with the Information Security Oversight Office (ISOO) Committee and the National Declassification Center to determine what classification guides are current.
(a) At the time of original classification, the original classification authority shall establish a specific date or event for declassification based on the duration of the national security sensitivity of the information. Upon reaching the date or event, the information shall be automatically declassified. Except for information that should clearly and demonstrably be expected to reveal the identity of a confidential human source or a human intelligence source or key design concepts of weapons of mass destruction, the date or event shall not exceed the timeframe established in paragraph (b) of this section.
(b) If the original classification authority cannot determine an earlier specific date or event for declassification, information shall be marked for declassification 10 years from the date of the original decision, unless the original classification authority otherwise determines that the sensitivity of the information requires that it be marked for declassification for up to 25 years from the date of the original decision.
(c) An original classification authority may extend the duration of classification up to 25 years from the date of origin of the document, change the level of classification, or reclassify specific information only when the standards and procedures for classifying information under this Order are followed.
(d) No information may remain classified indefinitely. Information that is marked for an indefinite duration of classification under predecessor orders, for example, information marked as “Originating Agency's Determination Required,” or classified information that contains either incomplete or no declassification instructions, shall have appropriate declassification information applied in accordance with part 3 of this order.
Center Security Classification Officers, as the Center point-of-contact, will assist Center personnel in:
(a) Interpreting security classification guides and classification assignments for the Center.
(b) Answering questions and considering suggestions concerning security classification matters.
(c) Ensuring a continuing review of classified information for the purpose of declassifying or downgrading in accordance with subpart E of this part.
(d) Reviewing and approving, as the representative of the contracting officer, the DD Form 254, Contract Security Classification Specification, issued to contractors by the Center.
(e) Forwarding all security classification guides to the Office of Protective Services, NASA Headquarters, for final approval.
(a) In those cases where a person not authorized to classify information originates or develops information which is believed to require classification, that person must contact the Center's or installation's Information Security Officer in the Protective Services Office to arrange for proper review and safeguarding. Persons other than NASA employees should forward the information to the NASA Central Registry at 300 E Street SW., Washington, DC 20546, Attention: Office of Protective Services.
(b) Information in which NASA does not have primary interest shall be returned promptly, under appropriate safeguards, to the sender in accordance with § 1203.405.
(c) Material received from another agency for a NASA security classification determination shall be processed within 90 days. If a classification cannot be determined during that period, the material shall be sent, under appropriate safeguards, to the Director, Information Security Oversight Office, for a determination.
(a) In no case shall information be classified, continue to be maintained as classified, or fail to be declassified in order to:
(1) Conceal violations of law, inefficiency, or administrative error;
(2) Prevent embarrassment to a person, organization, or agency;
(3) Restrain competition; or
(4) Prevent or delay the release of information that does not require protection in the interest of the national security.
(b) Basic scientific research information not clearly related to the national security may not be classified.
(c) Information may not be reclassified after declassification after being released to the public under proper authority unless: The reclassification is based on a document-by-document review by NASA and a determination that reclassification is required to prevent at least significant damage to the national security and personally approved in writing by the Administrator, the Deputy Administrator, or the Assistant Administrator for Protective Services. All reclassification actions will be coordinated with the Information Security Oversight Office before final approval; the information may be reasonably recovered without bringing undue public attention to the information; the reclassification action is reported promptly to the Assistant to the President for National Security Affairs (the National Security Advisor) and the Director of the Information Security Oversight Office; and for documents in the physical and legal custody of the National Archives and Records Administration (National Archives) that have been available for public use, the Administrator, the Deputy Administrator, or the Assistant Administrator for Protective Services, after making the determinations required by this paragraph, shall notify the Archivist of the United States (hereafter, Archivist), who shall suspend public access pending approval of the reclassification action by the Director of the Information Security Oversight Office. Any such decision by the Director may be appealed by the agency head to the President through the National Security Advisor. Public access shall remain suspended pending a prompt decision on the appeal.
(d) Information that has not previously been disclosed to the public under proper authority may be classified or reclassified after an agency has received a request for it under the Freedom of Information Act (5 U.S.C. 552), the Presidential Records Act, 44 U.S.C. 2204(c)(1), the Privacy Act of 1974 (5 U.S.C. 552a), or the mandatory review provisions of section 3.5 of this Order only if such classification meets the requirements of this Order and is accomplished by document-by-document review with the personal participation or under the direction of the Administrator, the Deputy Administrator, or the Assistant Administrator for Protective Services. The requirements in this paragraph also apply to those situations in which information has been declassified in accordance with a specific date or event determined by an original classification authority in accordance with section 1.5 of this Order.
(e) Compilations of items of information that are individually unclassified may be classified if the compiled information reveals an additional association or relationship that:
(1) Meets the standards for classification under this Order; and
(2) Is not otherwise revealed in the individual items of information.
(a) Except as provided by directives issued by the President through the National Security Council, classified information originating in one agency may not be disseminated outside any other agency to which it has been made available without the consent of the originating agency. For purposes of this section, the Department of Defense shall be considered one agency.
(b) Classified information shall not be disseminated outside the Executive Branch except under conditions that ensure the information will be given protection equivalent to that afforded within the Executive Branch.
(a) General. A classification guide, based upon classification determinations made by appropriate program and classification authorities, shall be issued for each classified system, program or project. Classification guides shall:
(1) Identify the information elements to be protected, using categorization and subcategorization to the extent necessary to ensure that the information involved can be readily and uniformly identified.
(2) State which of the classification designations (i.e., Top Secret, Secret or Confidential) apply to the identified information elements.
(3) State the duration of each specified classification in terms of a period of time or future event. If the original classification authority cannot determine an earlier specific date or event for declassification, information shall be marked for declassification 10 years from the date of the original decision, unless the original classification authority otherwise determines that the sensitivity of the information requires it be marked for declassification for up to 25 years from the date of the original decision.
(4) Indicate specifically that the designations, time limits, markings and other requirements of “the Order” are to be applied to information classified pursuant to the guide.
(5) All security classification guides should be forwarded to the Office of Protective Services for review and final approval. The Office of Protective Services will maintain a list of all classification guides in current use.
(b) Review of classification guides. Classification guides shall be reviewed by the originator for currency and accuracy not less than once every five years. Changes shall be in strict conformance with the provisions of this part 1203 and shall be issued promptly. If no changes are made, the originator shall so annotate the record copy and show the date of the review.
(a) Persons who reproduce, extract, or summarize classified information, or who apply classification markings derived from source material or as directed by a classification guide, need not possess original classification authority.
(b) Persons who apply derivative classification markings shall:
(1) Be identified by name and position or by personal identifier, in a manner that is immediately apparent for each derivative classification action;
(2) Observe and respect original classification decisions; and
(3) Carry forward to any newly created documents the pertinent classification markings. For information derivatively classified based on multiple sources, the derivative classifier shall carry forward:
(i) The date or event for declassification that corresponds to the longest period of classification among the sources or the marking established pursuant to section 1.6(a)(4)(D) of the Order; and
(ii) A listing of the source materials.
(c) Derivative classifiers shall, whenever practicable, use a classified addendum when classified information constitutes a small portion of an otherwise unclassified document or prepare a product to allow for dissemination at the lowest level of classification possible or in unclassified form.
(d) Persons who apply derivative classification markings shall receive training in the proper application of the derivative classification principles of the Order, with an emphasis on avoiding over-classification, at least once every two years. Derivative classifiers who do not receive such training at least once every two years shall have their authority to apply derivative classification markings suspended until they have received such training. A waiver may be granted by the Administrator, the Deputy Administrator, or the Assistant Administrator for Protective Services if an individual is unable to receive such training due to unavoidable circumstances. Whenever a waiver is granted, the individual shall receive such training as soon as practicable.
Persons who apply derivative classification markings shall:
(a) Observe and respect original classification decisions:
(b) Verify the information's current level of classification so far as practicable before applying the markings; and
(c) Carry forward to newly created documents any assigned authorized markings. The declassification date or event that provides the longest period of classification shall be used for documents classified on the basis of multiple sources.
Information shall be declassified or downgraded as soon as national security considerations permit. NASA reviews of classified information shall be coordinated with other agencies that have a direct interest in the subject matter. Information that continues to meet the classification requirements prescribed by § 1203.400 despite the passage of time will continue to be protected in accordance with “the Order.”
Authorized officials with Declassification Authority (DCA) may declassify or downgrade information that is subject to the final classification jurisdiction of NASA and shall take such action in accordance with the provisions of this subpart F.
Information shall be declassified or downgraded by an authorized DCA official. If that official is still serving in the same position, the originator's successor, a supervisory official of either, or officials delegated such authority in writing by the Administrator or the Chairperson, NISPC, may also make a decision to declassify or downgrade information.
(a) General. (1) NASA must establish and conduct a program for systematic declassification review of NASA-originated records of permanent historical value exempted from automatic declassification under section 3.3 of this Order. The NASA Office of Protective Services shall prioritize the review of such records in coordination with the Center Protective Service Offices.
(2) The Archivist shall conduct a systematic declassification review program for classified records:
(i) Accessioned into the National Archives;
(ii) Transferred to the Archivist pursuant to 44 U.S.C. 2203; and
(iii) For which the National Archives serves as the custodian for an agency or organization that has gone out of existence.
(3) The Chairperson, NISPC, shall designate experienced personnel to assist the Archivist in the systematic review of U.S. originated information and foreign information exempted from automated declassification. Such personnel shall:
(i) Provide guidance and assistance to the National Archives and Records Service in identifying and separating documents and specific categories of information within documents which are deemed to require continued classification; and
(ii) Develop reports of information or document categories so separated, with recommendations concerning continued classification.
(iii) Develop, in coordination with NASA organizational elements, guidelines for the systematic review for declassification of classified information under NASA's jurisdiction. The guidelines shall state specific limited categories of information which, because of their national security sensitivity, should not be declassified automatically, but should be reviewed to determine whether continued protection beyond 25 years is needed. These guidelines are authorized for use by the Archivist and the Director of the Information Security Oversight Office, with the approval of the Senior Agency Official, which is the Assistant Administrator, Office of Protective Services, for categories listed in section 3.3 of the Order. These guidelines shall be reviewed at least every five years and revised as necessary, unless an earlier review for revision is requested by the Archivist. Copies of the declassification guidelines promulgated by NASA will be provided to the Information Security Oversight Office, National Archives and Records Administration (NARA). All security classified records exempt from automatic declassification, whether held in storage areas under installation control or in Federal Records Centers, will be surveyed to identify those requiring scheduling for future disposition.
(A) Classified information or material over which NASA exercises exclusive or final original classification authority and which is to be declassified in accordance with the systematic review guidelines shall be so marked.
(B) Classified information or material over which NASA exercises exclusive or final original classification authority and which, in accordance with the systematic review guidelines is to be kept protected, shall be listed by category by the responsible custodian and referred to the Chairperson, NASA Information Security Program Committee. This listing shall:
(1) Identify the information or material involved.
(2) Recommend classification beyond 25 years to a specific event scheduled to happen or a specific period of time in accordance with the Order.
(3) The Administrator shall delegate to the Senior Agency Official the authority to determine which category shall be kept classified and the dates or event for declassification.
(4) Declassification by the Director of the Information Security Oversight Office (DISOO). If the Director determines that NASA information is classified in violation of the Order, the Director may require the information to be declassified. Any such decision by the Director may be appealed through the NASA ISPC to the National Security Council. The information shall remain classified pending a prompt decision on the appeal.
(b) [Reserved]
(a) Information covered. Except as provided in paragraph (b) of this section, all information classified under the Order or predecessor orders shall be subject to a review for declassification by the originating agency if:
(1) The request for a review describes the document or material containing the information with sufficient specificity to enable the agency to locate it in a reasonably timely manner;
(2) The document or material containing the information responsive to the request is not contained within an operational file exempted from search and review, publication, and disclosure under 5 U.S.C. 552 in accordance with law; and
(3) The information is not the subject of pending litigation.
(b) Presidential papers. Information originated by the President or Vice President; the President's White House Staff, or the Vice President's Staff; committees, commissions, or boards appointed by the President; or other entities within the Executive Office of the President that solely advise and assist the President are exempted from the provisions of paragraph (a) of this section. However, the Archivist shall have the authority to review, downgrade, and declassify papers or records of former Presidents and Vice Presidents under the control of the Archivist pursuant to 44 U.S.C. 2107, 2111, 2111 note, or 2203. Procedures developed by the Archivist shall provide for consultation with agencies having primary subject matter interest and shall be consistent with the provisions of applicable laws or lawful agreements that pertain to the respective Presidential papers or records. Agencies with primary subject matter interest shall be notified promptly of the Archivist's decision. Any final decision by the Archivist may be appealed by the requester or an agency to the Panel. The information shall remain classified pending a decision on the appeal.
(c) Submission of requests for review. Requests for mandatory review of classified information shall be submitted in accordance with the following:
(1) Requests originating within NASA shall, in all cases, be submitted directly to the NASA Office of Protective Services.
(2) For the most expeditious action, requests from other Governmental agencies or from members of the public should be submitted directly to the NASA Office of Protective Services only. The requestor may submit the request to: National Aeronautics and Space Administration (NASA), Central Registry, 300 E Street SW., Washington DC 20546, Attention: Office of Protective Services/Information Security Program Manager. The phrase, “Mandatory Declassification Review,” must be stated in the request.
(d) Requirement for processing. (1) Requests which are submitted under the Freedom of Information Act cannot be processed under the MDR process.
(2) The request describes the document or material containing the information with sufficient specificity, such as accession numbers, box titles or numbers, date and title of document, in any combination, to enable NASA to locate it with a reasonable amount of effort, not to exceed 30 days. If more time is required, NASA will notify the requester. After review, the information or any portion thereof that no longer requires protection shall be declassified and released unless withholding is otherwise warranted under applicable law.
(e) Processing of requests. Requests that meet the requirements of paragraph (d)(2) of this section will be processed as follows:
(1) The NASA Office of Protective Services review upon receiving the initial request shall be completed within 365 days.
(2) Receipt of the request shall be acknowledged promptly. The NASA Office of Protective Services shall determine whether, under the declassification provisions of this part 1203, the requested information may be declassified and, if so, shall make such information available to the requestor, unless withholding is otherwise warranted under applicable law. If the information may not be released in whole or in part, the requestor shall be given a brief statement of the reasons for denial, a notice of the right to appeal the determination to the Chairperson, NASA Information Security Program Committee, National Aeronautics and Space Administration, Washington, DC 20546, and a notice that such an appeal must be filed within 60 days in order to be considered.
(3) All appeals of denials of requests for declassification shall be acted upon and determined finally within 120 working days after receipt, and the requester shall be advised that the appeal determination is final. If the requester is dissatisfied with NASA's appeal decision, the requester may initiate an appeal to the Interagency Security Classification Appeals Panel (ISCAP), within the Information Security Oversight Office. If continued classification is required under the provisions of this part 1203, the requester shall be notified of the reasons thereof.
(4) The declassification and release of foreign government information that is subjected to mandatory review under this section shall be determined only in accordance with § 1203.703.
(5) When the NASA Office of Protective Services receives any request for declassification of information in documents in its custody that was classified by another Government agency, it shall refer copies of the request and the requested documents to the originating agency for processing and may, after consultation with the originating agency, inform the requester of the referral.
(f) Neutral response. In response to a request for information under the Freedom of Information Act, the Privacy Act of 1974, or the mandatory review provisions of “the Order,” NASA shall refuse to confirm or deny the existence or non-existence of requested information whenever the fact of its existence or non-existence is itself classifiable under “the Order.”
(g) Declassification of transferred documents or material—(1) Material officially transferred. In the case of classified information or material transferred by or pursuant to statute or Executive Order to NASA in conjunction with a transfer of functions (not merely for storage purposes) for NASA's use and as part of its official files or property, as distinguished from transfers merely for purposes of storage, NASA shall be deemed to be the original classifying authority over such material for purposes of downgrading and declassification.
(2) Material not officially transferred. When NASA has in its possession classified information or material originated by an agency which has since ceased to exist and that information has not been officially transferred to another department or agency or when it is impossible for NASA to identify the originating agency and a review of the material indicates that it should be downgraded or declassified, NASA shall be deemed to be the originating agency for the purpose of declassifying or downgrading such material. NASA will consult with the Information Security Oversight Office to assist in final disposition of the information.
(3) Transfer for storage or retirement. (i) Insofar as practicable, classified documents shall be reviewed to determine whether or not they can be downgraded or declassified prior to being forwarded to records centers or to the National Archives for storage. Any downgrading or declassification determination shall be indicated on each document by appropriate markings.
(ii) Classified information transferred to the General Services Administration for accession into the Archives of the United States shall be downgraded or declassified by the Archivist of the United States in accordance with “the Order,” the directives of the Information Security Oversight Office, GSA, and NASA guidelines.
(h) Downgrading and declassification actions—(1) Notification of changes in classification or declassification. When classified material has been marked with specific dates or events for downgrading or declassification, it is not necessary to issue notices of such actions to any holders. However, when such actions are taken earlier than originally scheduled, or the duration of classification is shortened, the authority making such changes shall, to the extent practicable, ensure prompt notification to all addressees to whom the information or material was originally transmitted. The notification shall specify the marking action to be taken, the authority therefor, and the effective date. Upon receipt of notification, recipients shall effect the proper changes and shall notify addressees to whom they have transmitted the classified information or material.
(2) Posted notice. If prompt remarking of large quantities would be unduly burdensome, the custodian may attach declassification, downgrading, or upgrading notices to the storage unit in lieu of the remarking action otherwise required. Each notice shall indicate the change, the authority for the action, the date of the action, and the storage units to which it applies. Items withdrawn from such storage units shall be promptly remarked. However, when information subject to a posted downgrading or declassification notice is withdrawn from one storage unit solely for transfer to another, or a storage unit containing such information is transferred from one place to another, the transfer may be made without remarking if the notice is attached to or remains with each shipment.
(i) Foreign Relations Series. In order to permit the State Department editors of Foreign Relations of the United States to meet their mandated goal of publishing 20 years after the event, NASA shall assist these editors by facilitating access to appropriate classified materials in its custody and by expediting declassification review of items from its files selected for publication.
(ii) [Reserved]
Pursuant to Executive Order 13526, “Classified National Security Information,” and The Space Act, in accordance with U.S.C. Title 51, National and Commercial Space Program Sections 20132 and 20133, there is established a NASA Information Security Program Committee (as part of the permanent administrative structure of NASA). The NASA Assistant Administrator for Protective Services, or designee, shall be the Chairperson of the Committee. The Information Security Program Manager, NASA Office of Protective Services, is designated to act as the Committee Executive Secretary.
(a) The Chairperson reports to the Administrator concerning the management and direction of the NASA Information Security Program as provided for in subpart B of this part. In this connection, the Chairperson is supported and advised by the Committee.
(b) The Committee shall act on all appeals from denials of declassification requests and on all suggestions and complaints with respect to administration of the NASA Information Security Program as provided for in subpart B of this part.
(c) The Executive Secretary of the Committee shall maintain all records produced by the Committee, its subcommittees, and its ad hoc panels.
(d) The Office of Protective Services will provide staff assistance and investigative and support services for the Committee.
The Committee membership will consist of the Chairperson, the Executive Secretary, and one person nominated by each of the following NASA officials:
(a) The Associate Administrators for:
(1) Aeronautics.
(2) Science Missions Directorate.
(3) Human Explorations and Operations.
(4) International and Interagency Relations.
(b) The Associate Administrator.
(c) The General Counsel.
(d) The Chief Information Officer.
(e) Other members may be designated upon specific request of the Chairperson.
The Chairperson is authorized to establish such ad hoc panels or subcommittees as may be necessary in the conduct of the Committee's work.
(a) Meetings will be held at the call of the Chairperson.
(b) Records produced by the Committee and the minutes of each meeting will be maintained by the Executive Secretary.
Pursuant to Executive Order 13526, “Classified National Security Information,” and The Space Act, in accordance with U.S.C. Title 51, National and Commercial Space Program Sections 20132 and 20133, there is established a NASA Information Security Program Committee (as part of the permanent administrative structure of NASA. The NASA Assistant Administrator for Protective Services, or designee, shall be the Chairperson of the Committee. The Information Security Program Manager, NASA Office of Protective Services, is designated to act as the Committee Executive Secretary.
(a) The Chairperson reports to the Administrator concerning the management and direction of the NASA Information Security Program as provided for in subpart B of this part. In this connection, the Chairperson is supported and advised by the Committee.
(b) The Committee shall act on all appeals from denials of declassification requests and on all suggestions and complaints with respect to administration of the NASA Information Security Program as provided for in subpart B of this part.
(c) The Executive Secretary of the Committee shall maintain all records produced by the Committee, its subcommittees, and its ad hoc panels.
(d) The Office of Protective Services, will provide staff assistance, and investigative and support services for the Committee.
The Committee will consist of the Chairperson and Executive Secretary. In addition, each of the following NASA officials will nominate one person to Committee membership:
(a) Associate Administrator for:
(1) Aero-Space Technology.
(2) Space Science.
(3) Space Flight.
(4) External Relations.
(5) Life and Microgravity Sciences and Applications.
(b) Associate Deputy Administrator.
(c) General Counsel.
Other members may be designated upon specific request of the Chairperson.
The Chairperson is authorized to establish such ad hoc panels or subcommittees as may be necessary in the conduct of the Committee's work.
(a) Meetings will be held at the call of the Chairperson.
(b) Records produced by the Committee and the minutes of each meeting will be maintained by the Executive Secretary.
A SAP or SCI program shall be created within NASA only upon specific written approval of the Administrator and must be coordinated with the Assistant Administrator for Protective Services, or designee, to ensure required security protocols are implemented and maintained.
The Committee membership will consist of the Chairperson, the Executive Secretary, and one person nominated by each of the following NASA officials:
(a) The Associate Administrators for:
(1) Aeronautics.
(2) Science Missions Directorate.
(3) Human Explorations and Operations.
(4) International and Interagency Relations.
(b) The Associate Administrator.
(c) The General Counsel.
(d) The Chief Information Officer.
(e) Other members may be designated upon specific request of the Chairperson.
The Chairperson is authorized to establish such ad hoc panels or subcommittees as may be necessary in the conduct of the Committee's work.
(a) Meetings will be held at the call of the Chairperson.
(b) Records produced by the Committee and the minutes of each meeting will be maintained by the Executive Secretary.
(a) To insure the uninterrupted and successful accomplishment of the NASA mission, certain designated security areas may be established and maintained by NASA Centers and Component Facilities in order to provide appropriate and adequate protection for facilities, property, or classified/proprietary information and material in the possession of NASA or NASA contractors located at NASA Centers and Component Facilities.
(b) This part sets forth:
(1) The designation and maintenance of security areas,
(2) The responsibilities and procedures in connection therewith, and
(3) The penalties that may be enforced through court actions against unauthorized persons entering security areas.
For the purpose of this part, the following definitions apply:
(a) Security area. A physically defined area, established for the protection or security of facilities, property, or classfied/proprietary information and material in the possession of NASA or a NASA contractor located at a NASA Center or Component Facility, entry to which is subject to security measures, procedures, or controls. Security areas which may be established are:
(1) Controlled area. An area in which security measures are taken to safeguard and control access to property and hazardous materials or other sensitive material or to protect operations that are vital to the accomplishment of the mission assigned to a Center or Component Facility. The controlled area shall have a clearly defined perimeter, but permanent physical barriers are not required.
(2) Limited area. An area in which security measures are taken to safeguard or control access to classified material or unclassified property warranting special protection or property and hazardous materials or to protect operations that are vital to the accomplishment of the mission assigned to a Center or Component Facility. A Limited Area shall also have a clearly defined perimeter, but differs from a Controlled Area in that permanent physical barriers and access control devices, including walls and doors with locks or access devices, are emplaced to assist the occupants in keeping out unauthorized personnel. All facilities designated as NASA Critical Infrastructure or a key resource will be designated at a minimum as “Limited” areas.
(3) Exclusion area. An area that is a permanent facility dedicated solely to the safeguarding and use of Classified National Security Information. It is used when vaults are unsuitable or impractical and where entry to the area alone provides visible or audible access to classified material. To prevent unauthorized access to an exclusion area, visitors will be escorted or other internal restrictions implemented, as determined by the Center Security Office.
(b) Temporary security area. A designated interim security area, the need for which will not exceed 30 days from date of establishment. A temporary security area may also be established, pending approval of its establishment as a permanent security area.
(c) Permanent security area. A designated security area, the need for which will exceed 30 days from date of establishment.
(a) Establishment. (1) Directors of NASA Centers, including Component Facilities and Technical and Service Support Centers, and the Executive Director for Headquarters Operations at NASA Headquarters may establish, maintain, and protect such areas designated as Controlled, Limited, or Exclusion, depending upon their assessment of the potential for unauthorized persons either to:
(i) Obtain knowledge of classified information,
(ii) Damage or remove property, or to
(iii) Disrupt NASA or NASA contractor operations.
(2) The concurrence of the Assistant Administrator for Protective Services NASA Headquarters, shall be obtained prior to the establishment of a permanent security area.
(3)(i) At a minimum, the following information will be submitted to the Assistant Administrator for Protective Services 15 workdays prior to establishment of each permanent security area:
(a) The name and specific location of the NASA Center or Component Facility, or property to be protected.
(b) A statement that the property is owned by, or leased to, the United States for use by NASA or is the property of a NASA contractor located on a NASA Center or Component Facility.
(c) Designation desired: i.e., controlled, limited, or Exclusion.
(d) Specific purpose(s) for the establishment of a security area.
(ii) For those areas currently designated by the Center as “permanent security areas,” the information set forth in paragraph (d)(3)(i) of this section will be furnished to the Assistant Administrator for Protective Services , NASA Headquarters, within 30 workdays of the effective date of this part.
(b) Maintenance. The security measures which may be utilized to protect such areas will be determined by the requirements of individual situations. At a minimum, such security measures will:
(1) Provide for the posting of signs at entrances and at such intervals along the perimeter of the designated area as to provide reasonable notice to persons about to enter thereon. The Assistant Administrator for Protective Services, NASA Headquarters, upon request, may approve the use of signs that are now being used pursuant to a State statute.
(2) Regulate authorized personnel entry and movement within the area.
(3) Deny entry of unauthorized persons or property.
(4) Prevent unauthorized removal of classified information and material or property from a NASA Center or Component Facility.
(c) Revocation. Once the need for an established permanent security area no longer exists, the area will be returned immediately to normal controls and procedures or as soon as practicable. The Assistant Administrator for Protective Services will be informed of permanent security area revocations within 15 workdays.
(a) Only those NASA employees, NASA contractor employees, and visitors who have a need for such access and who meet the following criteria may enter a security area:
(1) Controlled area. Be authorized to enter the area alone or be escorted by or under the supervision of a NASA employee or NASA contractor employee who is authorized to enter the area.
(2) Limited area. Possess a security clearance equal to the level of the classified information or material held, discussed, or disseminated on site or is the holder of a positive national agency check if classified material or information is not involved. Personnel who do not meet the requirements for unescorted access may be escorted by a NASA employee or NASA contractor employee who meets the access requirements and has been authorized to enter the area.
(3) Exclusion area. Possess a security clearance equal to the classified information or material involved.
(b) The Center Directors, including Component Facilities and Technical and Service Support Centers, and the Executive Director for Headquarters Operations, NASA Headquarters, may rescind previously granted authorizations to enter a security area when an individual's access is no longer required, threatens the security of the property, or is disruptive of Government operations.
(a) Removal of unauthorized persons. The Center Directors, including Component Facilities and Technical and Service Support Centers, and the Executive Director for Headquarters, NASA Headquarters may order the removal or eviction of any person whose presence in a designated security area is in violation of the provisions of this part or any regulation or order established pursuant to the provisions of this part.
(b) Criminal penalties for violation. Whoever willfully violates, attempts to violate, or conspires to violate any regulation or order establishing requirements or procedures for authorized entry into an area designated controlled, limited, or exclusion pursuant to the provisions of this part may be subject to prosecution under 18 U.S.C. 799 which provides penalties for a fine of not more than $5,000 or imprisonment for not more than 1 year, or both.
If a Director of a NASA Centers and Component Facilities, finds it necessary to issue supplemental instructions to any provision of this part, the instructions must first be published in the
This regulation implements 51 U.S.C. National and Commercial Space Programs, sections 20133 and 20134, by establishing guidelines for the exercise of arrest authority and for the exercise of physical force, including deadly force, in conjunction with such authority.
This part applies to only those NASA and NASA contractor security force personnel who are authorized to exercise arrest authority in accordance with 51 U.S.C. 20134 and this regulation.
Accredited Course of Training. A course of instruction offered by the NASA Protective Services Training Academy, or an equivalent course of instruction offered by another Federal agency. See § 1203b.103(a)(1).
Arrest. An act, resulting in the restriction of a person's movement, other than a brief detention for purposes of questioning concerning a person's identity and requesting identification, accomplished by means of force or show of authority under circumstances that would lead a reasonable person to believe that he/she was not free to leave the presence of the officer.
Contractor. NASA contractors and subcontractors at all levels.
(a) NASA security force personnel may exercise arrest authority, provided that:
(1) They have graduated from an accredited training course (see § 1203b.102(a)); and
(2) They have been certified in writing by the Assistant Administrator for Protective Services, or designee, as specifically authorized to exercise arrest authority.
(b) The authority of NASA security force personnel to make a warrantless arrest is subject to the following conditions:
(1) The arresting officer must be guarding and protecting property owned or leased by, or under the control of, the United States under the administration and control of NASA or one of its contractors or subcontractors, at facilities owned by or contracted to NASA; and
(2) The person to be arrested has committed in the arresting officer's presence an offense against the United States Government, NASA, or a NASA contractor; or
(3) The arresting officer has reasonable grounds to believe that the person to be arrested has committed or is committing any felony cognizable under the laws of the United States.
(c) The Office of the General Counsel, NASA Headquarters, or the Center Chief Counsel's Office, as appropriate, shall provide guidance as to the applicability of these regulations.
(a) In making an arrest, the security force personnel should announce their authority and that the person is under arrest prior to taking the person into custody. If the circumstances are such that making such an announcement would be useless or dangerous to the security force personnel or others, the security force personnel may dispense with these announcements, but must subsequently identify themselves and their arrest authority to the arrested person(s) as soon as reasonably possible.
(b) The security force personnel at the time and place of arrest may search the arrested person and the area immediately surrounding the arrested person for weapons and criminal evidence. This is to protect the arresting officer and to prevent the destruction of evidence.
(c) Custody of the person arrested should be transferred to other Federal law enforcement personnel (e.g., United States Marshals or FBI agents) or to local law enforcement agency personnel, as appropriate, as soon as possible, in order to ensure the person is brought before a magistrate without unnecessary delay.
When a security force personnel has the right to make an arrest, as discussed in § 1203b.103, the officer may use only that non-deadly physical force which is reasonable and necessary to apprehend and arrest the offender; to prevent the escape of the offender; or to defend himself/herself or a third person from what the security force officer reasonably believes to be the use or threat of imminent use of non-deadly physical force by the offender. Verbal abuse alone by the offender cannot be the basis under any circumstances for use of non-deadly physical force by a security force officer.
NASA security force personnel may use deadly force only when necessary, that is, when the officer has a reasonable belief that the subject of such force poses an imminent danger of death or serious physical injury to the officer or to another person.
(a) Deadly force may not be used solely to prevent the escape of a fleeing suspect.
(b) Firearms may not be fired solely to disable moving vehicles.
(c) If feasible and if to do so would not increase the danger to the officer or others, a verbal warning to submit to the authority of the officer shall be given prior to the use of deadly force.
(d) Warning shots are not permitted outside of the prison context.
(e) Officers will be trained in alternative methods and tactics for handling resisting subjects which must be used when the use of deadly force is not authorized by this policy.
(a) If it becomes necessary to use a firearm in any of the circumstances described in § 1203b.106, NASA security force personnel shall comply with the following precautions whenever possible:
(1) Give an order to halt or desist before firing.
(2) Do not fire if shots are likely to harm innocent bystanders.
(3) Shoot to stop.
(b) Warning shots are not authorized.
(c) In the event that a security force personnel discharges a weapon while in a duty status:
(1) The incident shall be reported to the Center Chief of Security who, in turn, will report it to the NASA Assistant Administrator for Protective Services as expeditiously as possible, with as many details supplied as are available.
(2) The officer shall be promptly suspended from duty with pay or reassigned to other duties not involving the use of a firearm, as the Center Director or the Assistant Administrator for Protective Services deems appropriate, pending investigation of the incident.
(3) The cognizant Center Director, or for incidents occurring at NASA Headquarters, the Executive Director for Headquarters Operations, shall appoint an investigating officer to conduct a thorough investigation of the incident. Additional personnel may also be appointed, as needed to assist the investigating officer. Upon conclusion of the investigation, the investigating officer shall submit a written report of findings and recommendations to the appropriate Installation Director or the Assistant Administrator for Protective Services.
(4) Upon conclusion of the investigation, the Center Director or the Assistant Administrator for Protective Services, with the advice of Counsel, shall determine the disposition appropriate to the case.
(d) Firearms will be periodically inspected and kept in good working order by a qualified gunsmith. Ammunition, holsters, and related equipment will be periodically inspected for deterioration and kept in good working order. Firearms and ammunition will be securely stored separately in locked containers. Firearms will not be stored in a loaded condition. Neither firearms nor ammunition will be stored in the same containers as money, drugs, precious materials, or classified information. NASA Headquarters and each Installation shall adopt procedures for the maintenance of records with respect to the issuance of firearms and ammunition.
(a) The Administrator shall establish a committee to exercise management oversight over the implementation of arrest authority.
(b) The Administrator shall establish a reporting requirement for NASA Headquarters and NASA Centers.
(c) The Assistant Administrator for Protective Services, or designee, will ensure that all persons who are authorized to exercise arrest authority will, before performing these duties:
(1) Receive instructions on regulations regarding the use of force, including deadly force; and
(2) Demonstrate requisite knowledge and skill in the use of unarmed defense techniques and their assigned firearms.
(d) The Associate Assistant Administrator for Protective Services, or designee, will also:
(1) Ensure periodic refresher training to maintain continued proficiency and current knowledge of unarmed defense techniques;
(2) Require security force personnel exercising arrest authority to requalify semiannually with their assigned firearms; and
(3) Require periodic refresher training to ensure continued familiarity with regulations.
(e) The Executive Director for Headquarters Operations, and Center Directors shall issue local policies and procedural requirements, subject to prior NASA Headquarters approval, which will supplement this regulation for NASA Headquarters or NASA Center-specific concerns.
These regulations are set forth solely for the purpose of internal National Aeronautics and Space Administration guidance. They are not intended to, and may not be relied upon to create any rights, substantive or procedural, enforceable at law by any party in any matter, civil or criminal, and they do not place any limitations on otherwise lawful activities of security force personnel or the National Aeronautics and Space Administration.
This subpart establishes NASA's small business policy and outlines the delegation of authority in implementing this policy as required by Federal law.
(a) It is NASA's policy to enable small businesses (including small disadvantaged businesses, small women-owned businesses, HUBZone small businesses, veteran-owned small businesses and service disabled veteran-owned small businesses), historically black colleges and universities, and other minority educational institutions the opportunity to participate equitably and proportionately in its total purchases and contracts that are consistent with the Agency's needs to execute its mission.
(b) In carrying out the NASA procurement program, the primary consideration shall be that of securing contract performance, including obtaining deliveries of required items or services at the time, in the quantity and of the quality prescribed. In the area of research and development (R&D) contracts, the general policy of NASA is to award such contracts to those organizations determined by responsible personnel to have a high degree of competence in the specific branch of science or technology required for the successful conduct of the work. It is in the interest of the civilian space program that the number of firms engaged inR&D, work for NASA be expanded and that there be an increase in the extent of participation in such work by competent small business firms.
(a) Office of Small Business Programs (OSBP). The Associate Administrator for Small Business Programs, NASA Headquarters, is responsible for the activities described in NASA Policy Directive 1000.3, The NASA Organization. The Associate Administrator is also responsible for representing NASA before other Government agencies on matters primarily affecting small businesses.
(b) NASA Headquarters and NASA Centers. Center Directors (including the Executive Director for the NASA Shared Services Center and the Director for the NASA Management Office, but excluding the Director for the Jet Propulsion Laboratory) along with the Associate Administrator for the Office of Small Business Programs shall nominate a qualified individual in their contracting office as a small business specialist to provide a central point of contact to which small business concerns may direct inquiries concerning small business matters and participation in NASA acquisitions. When a Center Director determines that the volume of acquisitions or the functions relating to acquisitions at the Center do not warrant a full-time small business specialist, these duties may be assigned to procurement personnel on a part-time basis, with the concurrence of the Associate Administrator for the Office of Small Business Programs. NASA Centers shall establish and maintain liaison with the Small Business Administration (SBA) Procurement Center Representative (PCR) or the appropriate SBA Regional Office in matters relating to NASA Center procurement activities. Small Business Specialists shall perform the duties delineated in NASA FAR Supplement 1819.201(e)(ii). The Associate Administrator for Small Business Programs shall assign a Small Business Technical Advisor to each contracting activity within the Agency to which the SBA has assigned a PCR, pursuant to FAR 19.201(d)(8).
NASA's general policy for small business programs is described in 48 CFR part 1819, Small Business Programs; 48 CFR part 1852, Solicitation Provisions and Contract; and NASA Policy Directive 5000.2C, Small Business Subcontracting Goals (http://nodis3.gsfc.nasa.gov/displayDir.cfm?t=NPD&c=5000&s=2).
This subpart establishes various delegations of authority to, and designations of, National Aeronautics and Space Administration officials and other Government officials acting on behalf of the agency to carry out prescribed functions of the National Aeronautics and Space Administration.
(a) Delegation of authority. The Assistant Administrator for the Office of Strategic Infrastructure and the Director, Facilities and Real Estate Division, are delegated authority, in accordance with applicable laws and regulations, and subject to conditions imposed by immediate superiors, to:
(1) Prescribe agency real estate policies, procedures, and regulations;
(2) Enter into and take other actions including, but not limited to, the following;
(i) Acquire (by purchase, lease, condemnation, or otherwise) fee and lesser interests in real property and, in the case of acquisition by condemnation, sign declarations of taking.
(ii) Use, with their consent, the facilities of Federal and other agencies with or without reimbursement, in accordance with statutory authority.
(iii) Determine entitlement to and quantum of, financial compensation under, and otherwise exercise the authority contained in the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (42 U.S.C. 4601), and regulations in implementation thereof.
(iv) Grant easements, leaseholds, licenses, permits, or other interests (wherever located) in or over real property owned or controlled by NASA.
(v) Grant the use of NASA-owned or -controlled real property and approve the acquisition and use of nongovernment owned real property for any NASA-related, nonappropriated fund activity purpose with the concurrence of the NASA Office of the Chief Financial Officer.
(vi) Sell and otherwise dispose of real property in accordance with the provisions of the Federal Property and Administrative Services Act of 1949, as amended (40 U.S.C. 471, et seq).
(vii) Exercise control over the acquisition, utilization, and disposal of movable/relocatable structures including prefabricated buildings, commercial packaged accommodations, trailers, and other like items used as facility substitutes.
(viii) Request other government agencies to act as real estate agent for NASA.
(ix) Authorize other NASA officials to take specific implementing action with regard to any real property transaction included in the scope of authority delegated in paragraph (a)(2) of this section.
(b) Redelegation. (1) The authority delegated in paragraph (a)(1) of this section may not be redelegated.
(2) The authority delegated in paragraph (a)(2) of this section may be redelegated with power of further redelegation.
(c) Reporting. The officials to whom authority is delegated in this section shall ensure that feedback is provided to keep the Administrator fully and currently informed of significant actions, problems, or other matters of substance related to the exercise of the authority delegated hereunder.
(a) Scope. 40 U.S.C. 1314 authorizes executive agencies to grant, under certain conditions, the easements as the head of the agency determines will not be adverse to the interests of the United States and subject to the provisions as the head of the agency deems necessary to protect the interests of the United States.
(b) Delegation of authority. The Assistant Administrator for the Office of Strategic Infrastructure and the Director, Facilities and Real Estate Division, are delegated authority to take actions in connection with the granting of easements.
(c) Redelegation. (1) The Real Estate Branch Chief may, subject to the restrictions in paragraph (d) of this section, exercise the authority of the National Aeronautics and Space Act of 1958, as amended, and 40 U.S.C. 1314 to authorize or grant easements in, over, or upon real property of the United States owned and/or controlled by NASA upon compliance with statute including a determination that such authorization or grant will not be adverse to the interests of the United States.
(2) The Real Estate Branch Chief may redelegate this authority to the appropriate warranted Real Estate Contracting Officer, in accordance with the requirements set forth in NASA Procedural Requirements (NPR) 8800.15, Real Estate Management Program.
(d) Restrictions. Except as otherwise specifically provided, no such easement shall be authorized or granted under the authority stated in paragraph (c) of this section unless:
(1) The responsible Center Director has provided approval that such grant is appropriate.
(2) The Center Director provides certification to the appropriate Real Estate Contracting Officer:
(i) That the interest in real property to be conveyed is not required for a NASA program.
(ii) That the grantee's exercise of rights under the easement will not be adverse to the interests of the United States or interfere with NASA operations.
(3) Monetary or other benefit, including any interest in real property, is received by the government as consideration for the granting of the easement.
(4) The instrument granting the easement is on a form or template approved or directed to be used by the Real Estate Branch Chief, and provides at a minimum:
(i) For the termination of the easement, in whole or in part, and without cost to the Government, if there has been:
(A) A failure to comply with any term or condition of the easement;
(B) A nonuse of the easement for a consecutive two-year period for the purpose for which granted; or
(C) An abandonment of the easement.
(ii) That written notice of the termination shall be given to the grantee, or its successors or assigns, by the Assistant Administrator for the Office of Strategic Infrastructure or the Director, Facilities and Real Estate Division, and that termination shall be effective as of the date of the notice.
(iii) That restoration provisions are provided for in the agreement that protect the interests of the United States and ensure the grantee is responsible for removal of any and all improvements in or on NASA real property.
(iv) Such other reservations, exceptions, limitations, benefits, burdens, terms, or conditions as are set forth in the forms and templates for easements approved for NASA use by the Real Estate Branch Chief.
(e) Waivers. If, in connection with a proposed granting of an easement, the Real Estate Contracting Officer or Center Director determines that a waiver from any of the restrictions in paragraph (d) of this section is appropriate, authority for the waiver may be requested from the Assistant Administrator for the Office of Strategic Infrastructure or the Director, Facilities Real Estate Division.
(f) Services of the Corps of Engineers. In exercising the authority herein granted, the Real Estate Contracting Officer, under the applicable provisions of any cooperative agreement between NASA and the Corps of Engineers (in effect at that time), may:
(1) Utilize the services of the Corps of Engineers, U.S. Army.
(2) Delegate authority to the Corps of Engineers to execute, on behalf of NASA, grants of easements in real property, as authorized in this section, provided that the conditions set forth in paragraphs (d) and (e) of this section are complied with.
(g) Distribution of documents. One copy of each document granting an easement interest under this authority, including instruments executed by the Corps of Engineers, will be filed in the Central Depository for Real Property Documents at National Aeronautics and Space Administration, Office of Strategic Infrastructure, Facilities and Real Estate Division, Washington, DC 20546.
(a) Delegation of authority. The National Aeronautics and Space Act, as amended, authorizes NASA to grant agreements for the use of NASA-owned and/or -controlled real property. This authority is delegated to the Assistant Administrator for the Office of Strategic Infrastructure and the Director, Facilities Real Estate Division.
(b) Definitions. The following definitions will apply:
(1) Real Property refers to land, buildings, structures (including relocatable structures), air space, utility systems, improvements, and appurtenances annexed to land referred to as real property assets. For purposes of NASA use, the term real property also includes related personal property, also known as collateral equipment.
(2) State means the States of the Union, the District of Columbia, the Commonwealth of Puerto Rico, and the possessions of the United States.
(3) Person includes any corporation, partnership, firm, association, trust, estate, or other entity.
(c) Redelegation. (1) The Real Estate Branch Chief may, subject to the restrictions in paragraph (d) of this section, grant a leasehold, permit, or license to any Person or organization, including other Government agencies, a State, or political subdivision or agency thereof. This authority may not be exercised with respect to real property which is proposed for use by a NASA exchange and subject to the provisions of NASA Policy Directive 9050.6, NASA Exchange and Morale Support Activities.
(2) The Real Estate Branch Chief may redelegate this authority to the appropriate warranted Real Estate Contracting Officer, in accordance with the requirements set forth in NPR 8800.15.
(d) Restrictions. Except as otherwise specifically provided, no leasehold, permit, or license shall be granted under the authority stated in paragraph (c) of this section unless:
(1) The responsible Center Director has provided approval that such leasehold, permit, or license is appropriate.
(2) The Center Director provides certification to the appropriate Real Estate Contracting Officer:
(i) That the interest or rights to be granted are not required for a NASA program.
(ii) That the interests or rights to be granted will not be adverse to the interests of the United States nor interfere with NASA operations.
(3) That, in the case of leaseholds fair market value monetary consideration is received by NASA.
(4) The instrument granting the leasehold, permit, or license in real property is on a form or template approved by or directed to be used by the Real Estate Branch Chief, and provides, at a minimum:
(i) For unilateral termination by NASA in the event of:
(A) Default by the grantee; or
(B) Abandonment of the property by the grantee; or
(C) Force majeure circumstances including a determination by Congress, the President, or the NASA Administrator that the interest of the national space program, the national defense, or the public welfare require the termination of the interest granted, with advance, written notice provided to the grantee.
(ii) A liability waiver, indemnification requirements, environmental requirements, and insurance provisions as needed to suitably protect the United States from damages arising from the grantee's use of NASA real property.
(iii) That restoration provisions are provided for in the agreement that protect the interests of the United States and ensure the grantee is responsible for removal of any and all improvements in or on NASA real property.
(iv) Such other reservations, exceptions, limitations, benefits, burdens, terms, or conditions as are set forth in the forms and templates for leaseholds, permits, and licenses in real property approved by and directed for use by the Real Estate Branch Chief.
(e) Waivers. If, in connection with a proposed grant, the Real Estate Contracting Officer or Center Director determines that a waiver from any of the restrictions set forth in paragraph (d) of this section is appropriate, a request may be submitted to the Assistant Administrator for the Office of Strategic Infrastructure or the Director, Facilities Real Estate Division.
(f) Distribution of documents. One copy of each document granting an interest in real property will be filed in the Central Depository for Real Property Documents at: National Aeronautics and Space Administration, Office of Strategic Infrastructure, Washington, DC 20546.
(a) Scope. This section designates NASA officials authorized to certify NASA documents to be submitted in evidence in Federal Courts.
(b) Delegation of authority. The following NASA Headquarters officials are delegated authority to execute certificates of full faith and credit certifying the signatures and authority of employees of the National Aeronautics and Space Administration, whenever such certification is required to authenticate copies of official records for possible admission in evidence in judicial proceedings pursuant to 28 U.S.C. 1733 or any other statute:
(1) General Counsel;
(2) Deputy General Counsel;
(3) [Reserved]
(4) Assistant General Counsels.
It is the National Aeronautics and Space Administration's (NASA) policy to comply with the Civil Rights Act of 1964 (Pub. L. 88-352) that prohibits discrimination in a host of areas, including employment and Federally-assisted programs and activities. To implement the provisions of this Act, NASA promulgated the following internal policies and requirements, and entered into a memorandum of understanding (MOU) with the Department of Education to ensure compliance:
(a) NASA Policy Directive (NPD) 2081.1, Nondiscrimination in Federally Assisted and Conducted Programs of NASA, describes the Agency's policy to ensure nondiscrimination in Federally-assisted and conducted programs of NASA, nondiscrimination in Federally-conducted education and training programs, and access for individuals with disabilities to Federal electronic and information technology. NPD 2081.1 is accessible at http://nodis3.gsfc.nasa.gov/;
(b) NASA Procedural Requirements (NPR) 2081.1, Nondiscrimination in Federally Assisted and Conducted Programs, describes the requirements for processing complaints of discrimination, conducting civil rights compliance reviews, and internal functional equal opportunity reviews. NPR 2081.1 is accessible at http://nodis3.gsfc.nasa.gov/; and
(c) Memorandum of Understanding between NASA and the Department of Education delegates both the agencies as responsible for specific civil rights compliance duties with respect to elementary and secondary schools, and institutions of higher education. The MOU can be accessed at http://odeo.hq.nasa.gov/documents/DOEd-NASA_MOU.pdf.
(a) Delegation of authority. The Assistant Administrator, Office of Strategic Infrastructure, is hereby delegated the authority to act for the Administrator in all matters where the “Agency Head” is authorized to act under 29 CFR part 5, labor standards provisions applicable to contracts covering federally financed and assisted construction and labor standards provisions applicable to nonconstruction contracts as they are subject to the Contract Work Hours and Safety Standards Act, in regards to the assessment of liquidated damages.
(b) Redelegation. None authorized except by virtue of succession.
(c) Reporting. The official to whom authority is delegated in this regulation will assure that feedback is provided to keep the Administrator informed of significant actions, problems, or other matters of substance related to the exercise of the authority delegated hereunder.
This subpart establishes NASA policy and prescribes baseline, procedures concerning the inspection of persons and property in their possession while entering, or on, or exiting NASA real property or facilities (including NASA Headquarters, NASA Centers, or Component Facilities). In addition, it proscribes unauthorized entry or the unauthorized introduction of weapons or other dangerous instruments or materials at any NASA facility.
(a) In the interest of national security, NASA will provide appropriate and adequate protection or security for personnel, property, facilities (including NASA Headquarters, NASA Centers, and Component Facilities), and information in its possession or custody. In furtherance of this policy, NASA reserves the right to conduct an inspection of any person, including any property in the person's possession or control, as a condition of admission to, continued presence on, or exiting any NASA facility.
(b) This policy is intended to comply with the heightened security measures for facilities owned or occupied by Federal agencies (in this case NASA), to mitigate threats to such facilities and to better protect the persons and property thereon.
The NASA Center Directors and the Executive Director for Headquarters Operations are responsible for implementing the provisions of this subpart. In implementing this subpart, these officials will coordinate their action with appropriate officials of other affected agencies.
(a) All entrances to NASA real property or facilities (including NASA Headquarters, NASA Centers, or Component Facilities) will be conspicuously posted with the following notices:
(1) CONSENT TO INSPECTION: YOUR ENTRY INTO, CONTINUED PRESENCE ON, OR EXIT FROM THIS FACILITY IS CONTINGENT UPON YOUR CONSENT TO INSPECTION OF PERSON AND PROPERTY.
(2) UNAUTHORIZED INTRODUCTION OF WEAPONS OR DANGEROUS MATERIALS IS PROHIBITED UNLESS SPECIFICALLY AUTHORIZED BY NASA. YOU MAY NOT CARRY, TRANSPORT, INTRODUCE, STORE, OR USE FIREARMS OR OTHER DANGEROUS WEAPONS, EXPLOSIVES OR OTHER INCENDIARY DEVICES, OR OTHER DANGEROUS INSTRUMENT OR MATERIAL LIKELY TO PRODUCE SUBSTANTIAL INJURY OR DAMAGE TO PERSONS OR PROPERTY UNLESS AUTHORIZED BY NASA.
(b) Only NASA security personnel or members of the facility's uniformed security force will conduct inspections pursuant to this subpart. Such inspections will be conducted in accordance with guidelines established by the Assistant Administrator for Protective Services , NASA Headquarters.
(c) If an individual does not consent to an inspection, it will not be conducted, but the individual will be denied entry to, or be escorted off the facililty.
(d) If, during an inspection, an individual is found to be in unauthorized possession of items believed to represent a threat to the safety or security of the facility, the individual will be denied entry to or be escorted off the facility, and appropriate law enforcement authorities will be notified immediately.
(e) If, during an inspection conducted pursuant to this subpart, an individual is in possession of U.S. Government property without proper authorization, that person will be required to relinquish the property to the security representative pending proper authorization for the possession of the property or its removal from the facility. The individual relinquishing the property will be provided with a receipt for the property.
Unauthorized entry upon any NASA real property or facility is prohibited.
(a) Refer to the notice in § 1204.1003, paragraph (a)(2), for a description of the consequences for unauthorized introduction of firearms or weapons, explosives, or other dangerous materials.
(b)§ 1204.1003, paragraph (a)(2) shall not apply to:
(1) The lawful performance of official duties by an officer, agent, or employee of the United States, a State, or a political subdivision thereof, or NASA contractor, who is authorized to carry firearms or other material covered by paragraph (a) of this section.
(2) The lawful carrying of firearms or other dangerous weapons at or on a NASA facility after written prior approval has been obtained from the facility Security Office in connection with sanctioned hunting, range practice, or other lawful purpose.
Anyone violating these regulations may be cited for violating Title 18 of the United States Code (U.S.C.) Section 799, which states that whoever willfully shall violate, attempt to violate, or conspire to violate any regulation or order promulgated by the Administrator of the National Aeronautics and Space Administration for the protection or security of any laboratory, station, base or other facility, or part thereof, or any aircraft, missile, spacecraft, or similar vehicle, or part thereof, or other property or equipment in the custody of the Administration [NASA], or any real or personal property or equipment in the custody of any contractor under any contract with the Administration or any subcontractor of any such contractor, shall be fined under this title [Title 18], or imprisoned not more than one year, or both.
This subpart establishes policies pursuant to the requirements of National and Commercial Space Programs (51 U.S.C.) authorizing the NASA Administrator to establish such security requirements, restrictions, and safeguards as he deems necessary in the interest of national security, under 5 U.S.C. 301, and 18 U.S.C. 799, providing for the imposition of fines and imprisonment for violating NASA regulations for the protection and security of NASA assets or assets that are in NASA's custody. The provisions of this subpart apply to all NASA installations, including NASA Headquarters, NASA Centers, and component facilities. NASA installations refers to all NASA-owned, controlled, or leased property, with exclusive or concurrent Federal jurisdiction, including non-contiguous or unfenced areas and including areas otherwise open to the public at large. These provisions are also applicable to all persons who are in or on a NASA installation over which the United States exercises exclusive or concurrent legislative jurisdiction.
(a) It is NASA policy that an effective, standardized, and comprehensive traffic safety program be established and maintained at all NASA Centers, and component facilities, as prescribed in NASA Procedural Requirement (NPR) 8715.C, NASA General Safety Program Requirements. A traffic safety program is essential for the protection and security of NASA laboratories, stations, bases, or other facilities of NASA's aircraft, missiles, spacecraft, or similar vehicles or part thereof and of NASA's real and personal property, including property in the custody of NASA contractors and subcontractors.
(b) To ensure a safe and secure workplace and to provide better for preservation of life and property, all persons on or in a NASA installation or component facility shall comply with the vehicular and pedestrian traffic requirements of the installation per this Subpart.
(c) Vehicular and pedestrian traffic. The following requirements apply to the drivers or all vehicles on or in NASA-owned, controlled, or leased property:
(1) A driver shall be in possession of a current and valid state- or territory-issued driver's license and vehicle registration, and the vehicle shall display all current and valid tags and licenses required by the jurisdiction in which it is registered.
(2) A driver who has had his or her privilege or license to drive suspended or revoked by any state or territory shall not drive any vehicle in or on such property during such period of suspension or revocation.
(3) Drivers shall drive in a careful and safe manner at all times and shall comply with the signals and directions of security personnel and other authorized individuals; all posted traffic signs, including speed limits; and all rules implemented under section 1204.1102.
(4) Drivers shall not block entrances, driveways, walks, loading platforms, or fire hydrants.
(5) Drivers shall not park without authority, park in unauthorized locations or in locations reserved for other persons, park continuously in excess of 18 hours without permission, or park in any manner contrary to the direction of posted signs.
(d) A copy of this subpart shall be posted in an appropriate place at each NASA Center or component facility.
(a) Consistent with this subpart and applicable statutes, Center Directors of NASA installations and the Executive Director for Headquarters Operations, over which the United States has exclusive or concurrent legislative jurisdiction, are delegated the authority to establish specific vehicular and pedestrian traffic rules and regulations for their installations; to specify maximum punishments for violating such rules and regulations; and to issue citations, including District Court Violation Notices to persons who violate such rules and regulations.
(b) All persons on a NASA Center or component facility are responsible for compliance with locally established vehicular and pedestrian traffic rules and regulations.
The Center Directors and the Executive Director for Headquarters Operations shall issue local policies and procedural requirements, which will implement this regulation for their respective NASA Centers and component facilities.
As authorized by and consistent with 18 U.S.C. 799, local policies and procedural requirements issued under section 1204.1103 may provide for punishments for offenses, which shall be classified in accordance with 18 U.S.C. 3559(a)(6)-(9). A person found in violation, in or on a NASA installation, of any vehicular or pedestrian traffic law, or local installation vehicular or pedestrian traffic rule or regulation made applicable to the installation under the provisions of this subpart, is subject to punishment as provided for by the applicable local policies and procedural requirements that a Center Director or the Executive Director for Headquarters Operations has issued under section 1204.1102 and in accordance with section 1204.1103.
This subpart establishes the responsibility and sets forth the conditions and procedures for the use of NASA airfield facilities by aircraft not operated for the benefit of the Federal Government.
For the purpose of this subpart, the following definitions apply:
(a) NASA Airfield Facility. Those aeronautical facilities owned and operated by NASA that consist of the following:
(1) [Reserved]
(2) Wallops Airport. The aeronautical facility which is part of the Wallops Flight Facility (WFF), Wallops Island, VA, and is located at 75°28′ west longitude and 37°56′ north latitude in the general vicinity of Chincoteague, Virginia.
(3)-(4) [Reserved]
(b) NASA owned but non-NASA operated airfield facility. Those aeronautical facilities owned by NASA but not operated by NASA that consist of the following:
(1) Shuttle Landing Facility (SLF). The aeronautical facility which is a part of the John F. Kennedy Space Center (KSC), Kennedy Space Center, Florida, and is located at 80°41′ west longitude and 28°37′ north latitude.
(2) Moffett Federal Airfield (MFA). The aeronautical facility which is part of the Ames Research Center, Moffett Field, California, and is located at 122°03′ west longitude and 37°25′ north latitude.
(c) Aircraft not Operated for the Benefit of the Federal Government. Aircraft which are not owned or leased by the United States Government or aircraft carrying crew members or passengers who do not have official business requiring the use of a NASA airfield facility in the particular circumstance in question.
(d) Official Business. Business, in the interest of the U.S. Government, which personnel aboard an aircraft must transact with U.S. Government personnel or organizations at or near a NASA facility. The use of a NASA airfield facility by transient aircraft to petition for U.S. Government business or to obtain clearance, servicing, or other items pertaining to itinerant operations is not considered official business.
(e) User. An individual partnership or corporation owning, operating, or using an aircraft not operated for the benefit of the Federal Government in whose name permission to use a NASA airfield facility is to be requested and granted.
(f) Hold Harmless Agreement. An agreement executed by the user by which the user acknowledges awareness of the conditions of the permission to use a NASA airfield facility, assumes any risks connected therewith, and releases the U.S. Government from all liability incurred by the use of such facility.
(g) Use Permit. The written permission signed by the authorized approving official to land, take off, and otherwise use a NASA airfield facility. Such use permit may be issued for single or multiple occasions. The specific terms of the use permit and the provisions of this subpart govern the use which may be made of the airport by aircraft not operated for the benefit for the Federal Government.
(h) Certificate of Insurance. A certificate signed by an authorized insurance company representative (or a facsimile of an insurance policy) evidencing that insurance is then in force with respect to any aircraft not operated for the benefit of the Federal Government, the user of which is requesting permission to use a NASA airfield facility (see § 1204.1404(b)).
(a) NASA airfields are not normally available to the general public; hence, any use of airfield facilities by aircraft not operated for the benefit of the Federal Government shall be within the sole discretion of the approving authorities.
(b) Except in the event of a declared in-flight emergency (see § 1204.1406) or as otherwise determined by an approving authority, aircraft not operated for the benefit of the Federal Government are not permitted to land or otherwise use NASA airfield facilities.
(c) Any use of a NASA airfield facility by aircraft not operated for the benefit of the Federal Government shall be free of charge and no consideration (monetary or otherwise) shall be exacted or received by NASA for such use. However, each user, as a condition of receiving permission to use such airfield facility, shall agree to become familiar with the physical condition of the airfield; abide by the conditions placed upon such use; subject the aircraft, the user, and those accompanying the user to any requirements imposed by NASA in the interest of security and safety while the aircraft or persons are on a NASA facility; use the facilities entirely at the user's own risk; hold the Federal Government harmless with respect to any and all liabilities which may arise as a result of the use of the facilities; and carry insurance covering liability to others in amounts not less than those listed in the Hold Harmless Agreement.
(d) Permission to use a NASA airfield facility will be granted only in accordance with the limitations and procedures established by an approving authority and then only when such use will not compete with another airport in the vicinity which imposes landing fees or other user charges.
(e) In no event, except for an in-flight emergency (see § 1204.1406), will permission to use NASA airfield facilities be granted to an aircraft arriving directly from, or destined for, any location outside the continental United States unless previously arranged and approved by the authorized approving official.
(f) Permission to use NASA airfields may be granted only to those users having the legal capacity to contract and whose aircraft are in full compliance with applicable Federal Aviation Administration (FAA) or other cognizant regulatory agency requirements.
(g) Permission to use NASA airfields, except in connection with a declared in-flight emergency, will consist only of the right to land, park an aircraft, and subsequently take off. NASA is not equipped to provide any other services such as maintenance or fuel and such services will not be provided except following an in-flight emergency.
The facilities available vary at each NASA Installation having an airfield. The airport facilities available are:
(a) [Reserved]
(b) Wallops Airport—(1) Runways. There are three hard surfaced runways in satisfactory condition. The runways and taxiways are concrete and/or asphalt. Runway 10-28 is 8,000 feet long, 200 feet wide with maximum wheel load of 57,500 pounds; runway 04-22 is 8,750 feet long, 150 feet wide with maximum wheel load of 57,500 pounds; and runway 17-35 is 4,820 feet long, 150 feet wide with maximum wheel load of 14,700 pounds.
(2) Parking Areas and Hangar Space. No hangar space is available. However, limited concrete parking ramp space is available as directed by the control tower.
(3) Control Tower. This control tower is normally in operation from 0630 to 1830 local time, Monday through Friday, excluding Federal holidays. The tower may be contacted on 126.5 MHz or 394.3 MHz. When the tower is in operation, FAA regulations pertaining to the operation of aircraft at airports with an operating tower (§ 91.87 of this title) will apply. When the tower is not in operation, all aircraft operations will be handled by Wallops UNICOM on the tower frequency, and FAA regulations pertaining to the operation of aircraft at airports without an operating control tower (§ 91.89 of this title) will apply. In addition to Federal Aviation Regulations (FAR's) (s 91 of this title), Wallops requires that pilots obtain clearances from the Wallops UNICOM before landings, takeoffs, and taxiing. Civil aircraft operations are normally confined to daylight hours.
(4) Navigation Aids. All runways, 04-22, 10-28, and 17-35 are lighted. Both active taxiways, parallels 04-22 and 10-28, are lighted. Airfield lighting is available upon request. All runway approaches are equipped with operating precision approach path indicator (PAPI) systems and are available on request. All airfield obstructions are equipped with red obstruction lights.
(5) Hazards. Numerous towers in airport vicinity up to 241 feet above ground level. Existing tree obstructions are located 1500 feet west of runway 10 threshold. High shore bird population exists in the Wallops area. Deer occasionally venture across runways. Light-controlled traffic crossovers are in existence. Potential radio frequency (RF) hazards exist from tracking radars. Hazards involving aircraft and rocket launch operations exist when Restricted Area R-6604 is active.
(6) Emergency Equipment. Aircraft rescue and fire-fighting equipment is normally available on a continuous basis.
(c)-(d) [Reserved]
(e) NASA owned but non-NASA operated airfields. (1) Shuttle Landing Facility (SLF) may be made available on an individual emergency basis to a user with prior permission from the airfield operator.
(2) Moffett Federal Airfield (MFA) may be made available on an individual emergency basis to a user with prior permission from the airfield operator.
(3) No facilities or services other than those described in this section are available except on an individual prior permission or emergency basis to any user.
(f) Status of facilities. Changes to the status of the KSC, WFF, and MFA facilities will be published in appropriate current FAA or Department of Defense (DOD) aeronautical publications.
(a) Request for use of a NASA airfield, whether on a one time or recurring basis, must be in writing and addressed to the appropriate NASA facility, namely:
(1) [Reserved]
(2) Wallops Airport. Director of Suborbital Projects and Operations, Goddard Space Flight Center, Wallops Flight Facility, Wallops Island, Virginia 23337.
(3) [Reserved]
(b) Such requests will:
(1) Fully identify the prospective user and aircraft.
(2) State the purpose of the proposed use and the reason why the use of the NASA airfield is proposed rather than a commercial airport.
(3) Indicate the expected annual use, to include number and approximate date(s) and time(s) of such proposed use.
(4) State that the prospective user is prepared to fully comply with the terms of this subpart 14 and the use permit which may be issued.
(c) Upon receipt of the written request for permission to use the airport, the NASA official designated by each facility will request additional information, if necessary, and forward both this regulation and the required Hold Harmless Agreement for execution by the requestor or forward, where appropriate, a denial of the request.
(d) The signed original of the Hold Harmless Agreement shall be returned to the designated NASA official, and a copy retained in the aircraft at all times. Such copy shall be exhibited upon proper demand by any designated NASA official.
(e) At the same time that the prospective user returns the executed original of the Hold Harmless Agreement, the user shall forward to the designated NASA official the required Certificate of Insurance and waiver of rights to subrogation. Such certificate shall evidence that during any period for which a permit to use is being requested, the prospective user has in force a policy of insurance covering liability in amounts not less than those listed in the Hold Harmless Agreement.
(f) When the documents (in form and substance) required by paragraphs b through e of this section have been received, they will be forwarded with a proposed use permit to the approving authority for action.
(g) The designated NASA official will forward the executed use permit or notification of denial thereof to the prospective user after the approving authority has acted.
The authority to establish limitations and procedures for use of a NASA airfield, as well as the authority to approve or disapprove the use of the NASA airfield facilities subject to the terms and conditions of this subpart and any supplemental rules or procedures established for the facility is vested in:
(a) Shuttle Landing Facility. Director of Center Support Operations, Kennedy Space Center, NASA.
(b) Wallops Airport. Director of Suborbital Projects and Operations, Goddard Space Flight Center, Wallops Flight Facility, NASA.
(c) Moffett Federal Airfield. Chief, Airfield Management Office, Ames Research Center, NASA.
(a) Any aircraft involved in a declared in-flight emergency that endangers the safety of its passengers and aircraft may land at a NASA airfield. In such situations, the requirements for this subpart for advance authorizations, do not apply.
(b) NASA personnel may use any method or means to clear the aircraft or wreckage from the runway after a landing following an in-flight emergency. Care will be taken to preclude unnecessary damage in so doing. However, the runway will be cleared as soon as possible for appropriate use.
(c) The emergency user will be billed for all costs to the Government that result from the emergency landing. No landing fee will be charged, but the charges will include the labor, materials, parts, use of equipment, and tools required for any service rendered under these circumstances.
(d) In addition to any report required by the Federal Aviation Administration, a complete report covering the landing and the emergency will be filed with the airfield manager by the pilot or, if the pilot is not available, any other crew member or passenger.
(e) Before an aircraft which has made an emergency landing is permitted to take off (if the aircraft can and is to be flown out) the owner or operator thereof shall make arrangements acceptable to the approving authority to pay any charges assessed for services rendered and execute a Hold Harmless Agreement. The owner or operator may also be required to furnish a certificate of insurance, as provided in § 1204.1404, covering such takeoff.
Any aircraft not operated for benefit of the Federal Government which lands at a NASA airfield facility without obtaining prior permission from the approving authority, except in a bona fide emergency, is in violation of this subpart. Such aircraft will experience delays while authorization for departure is obtained pursuant to this subpart and may, contrary to the other provisions of this subpart, be required, at the discretion of the approving authority, to pay a user fee of not less than $100. Before the aircraft is permitted to depart, the approving authority will require full compliance with this subpart 1204.14, including the filing of a complete report explaining the reasons for the unauthorized landing. Violators could also be subject to legal liability for unauthorized use. When it appears that the violation of this subpart was deliberate or is a repeated violation, the matter will be referred to the Aircraft Management Office, NASA Headquarters, which will then grant any departure authorization.
(a) The regulations in this part implement Executive Order 12372, “Intergovernmental Review of Federal Programs,” issued July 14, 1982, and amended on April 8, 1983. These regulations also implement applicable provisions of section 401 of the Intergovernmental Cooperation Act of 1968, as amended.
(b) These regulations are intended to foster an intergovernmental partnership and a strengthened federalism by relying on state processes and on state, areawide, regional and local coordination for review of proposed direct Federal development.
(c) These regulations are intended to aid the internal management of the Agency, and are not intended to create any right or benefit enforceable at law by a party against the agency or its officers.
Administrator means the Administrator of the U.S. National Aeronautics and Space Administration or an official or employee of the Agency acting for the Administrator under a delegation of authority.
Agency means the U.S. National Aeronautics and Space Administration.
Order means Executive Order 12372, issued July 14, 1982, and amended April 8, 1983, and titled “Intergovernmental Review of Federal Programs.”
State means any of the 50 states, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, Guam, American Samoa, the U.S. Virgin Islands, or the Trust Territory of the Pacific Islands.
The Administrator publishes in the
The Administrator to the extent practicable, consults with and seeks advice from all other substantially affected federal departments and agencies in an effort to assure full coordination between such agencies and the Agency regarding programs and activities covered under these regulations.
(a) A state may select any program or activity published in the
(b) Each state that adopts a process shall notify the Administrator of the Agency's programs and activities selected for that process.
(c) A state may notify the Administrator of changes in its selections at any time. For each change, the state shall submit to the Administrator an assurance that the state has consulted with local elected officials regarding the change. The Agency may establish deadlines by which states are required to inform the Administrator of changes in their program selections.
(d) The Administrator uses a state's process as soon as feasible, depending on individual programs and activities, after the Administrator is notified of its selections.
(a) For those programs and activities covered by a state process under § 1204.1506 the Administrator, to the extent permitted by law:
(1) Uses the official state process to determine views of state and local elected officials; and;
(2) Communicates with state and local elected officials, through the official state process, as early in a program planning cycle as is reasonably feasible to explain specific plans and actions.
(b) The Administrator provides notice to directly affected state, areawide, regional, and local entities in a state of proposed direct Federal development if:
(1) The state has not adopted a process under the Order; or
(2) The development involves a program or activity not selected for the state process.
(a) Except in unusual circumstances, the Administrator gives state processes or state, areawide, regional and local officials and entities at least 60 days from the date established by the Administrator to comment on proposed direct Federal development.
(b) This section also applies to comments in cases in which the review, coordination, and communication with the Agency has been delegated.
(a) The Administrator follows the procedures in § 1204.1510 if:
(1) A state office or official is designated to act as a single point of contact between a state process and all federal agencies; and
(2) That office or official transmits a state process recommendation for a program selected under § 1204.1506.
(b)(1) The single point of contact is not obligated to transmit comments from state, areawide, regional or local officials and entities where there is no state process recommendation.
(2) If a state process recommendation is transmitted by a single point of contact, all comments from state, areawide, regional, and local officials and entities that differ from it must also be transmitted.
(c) If a state has not established a process, or is unable to submit a state process recommendation, state, areawide, regional and local officals and entities may submit comments to the Agency.
(d) If a program or activity is not selected for a state process, state, areawide, regional and local officials and entities may submit comments to the Agency. In addition, if a state process recommendation for a nonselected program or activity is transmitted to the Agency by the single point of contact, the Administrator follows the procedures of § 1204.1510 of this part.
(e) The Administrator considers comments which do not constitute a state process recommendation submitted under these regulations and for which the Administrator is not required to apply the procedures of § 1204.1510 of this part, when such comments are provided by a single point of contact, or directly to the Agency by a commenting party.
(a) If a state provides a state process recommendation to the Agency through its single point of contact, the Administrator either:
(1) Accepts the recommendation;
(2) Reaches a mutally agreeable solution with the state process; or
(3) Provides the single point of contact with a written explanation of its decision, in such form as the Administrator in his or her discretion deems appropriate. The Administrator may also supplement the written explanation by providing the explanation to the single point of contact by telephone, other telecommunication, or other means.
(b) In any explanation under paragraph (a)(3) of this section, the Administrator informs the single point of contact that:
(1) The Agency will not implement its decision for a least ten days after the single point of contact receives the explanation; or
(2) The Administrator has reviewed the decision and determined that, because of unusual circumstances, the waiting period of at least ten days is not feasible.
(c) For purposes of computing the waiting period under paragraph (b)(1) of this section, a single point of contact is presumed to have received written notification five days after the date of mailing of such notification.
(a) The Administrator is responsible for—
(1) Identifying proposed direct Federal development that has an impact on interstate areas;
(2) Notifying appropriate officials and entities in states which have adopted a process and which select the Agency's program or activity.
(3) Making efforts to identify and notify the affected state, areawide, regional, and local officials and entities in those states that have not adopted a process under the Order or do not select the Agency's program or activity;
(4) Responding pursuant to § 1204.1510 of this part if the Administrator receives a recommendation from a designated areawide agency transmitted by a single point of contact, in cases in which the review, coordination, and communication with the Agency have been delegated.
(b) The Administrator uses the procedures in § 1204.1510 if a state process provides a state process recommendation to the Agency through a single point of contact.
In an emergency, the Administrator may waive any provision of these regulations.
When a NASA employee on temporary duty travel is authorized to travel by Government motor vehicle and the official authorizing the travel determines that there will be a significant savings in time, a Government motor vehicle may be issued at the close of the preceding working day and taken to the employee's residence prior to the commencement of official travel. Similarly, when a NASA employee is scheduled to return from temporary duty travel after the close of working hours and the official authorizing the travel determines that there will be a significant savings in time, the motor vehicle may be taken to the employee's residence and returned the next regular working day.
The items to be covered in Memoranda of Agreement between NASA Installations and state and areawide OMB Circular A-95 clearinghouses for coordinating NASA and civilian planning:
1. Clearinghouses will be contacted at the earliest practicable point in project planning. Generally, this will be during the preparation of Preliminary Engineering Reports, or possibly earlier if meaningful information is available that could practically serve as an input in the decision-making process. It should be noted that clearinghouses are generally comprehensive planning agencies. As such, they are often the best repositories of information required for development planning and constitute a resource that can often save Federal planners substantial time and effort, if consulted early enough. In addition to providing information necessary for preliminary engineering, clearinghouses can make useful inputs to the development of environmental impact statements, as well as in reviewing draft statements. Thus, consultation at the earliest stage in planning can have substantial payoffs in installation development.
2. Clearinghouses will be afforded a minimum time of 30 days in which to review and comment on a proposed project and a maximum time of 45 days in which to complete such review.
3. The minimum information to be provided to the clearinghouse will consist of project description, scope and purpose, summary technical data, maps and diagrams where relevant, and any data which would show the relationship of the proposed project or action to applicable land use plans, policies, and controls for the affected area.
4. Establish procedures for notifying clearinghouses of the actions taken on projects, such as implementation, timing, postponement, abandonment, and explaining, where appropriate, actions taken contrary to clearinghouse recommendations.
This part 1206 establishes the policies, responsibilities, and procedures for the release of Agency records which are under the jurisdiction of the National Aeronautics and Space Administration, hereinafter NASA, to members of the public. This part applies to information and Agency records located at NASA Headquarters, and NASA Centers, including Component Facilities and Technical and Service Support Centers, herein NASA Headquarters and Centers, as defined in this part.
(a) In compliance with the Freedom of Information Act (FOIA), as amended 5 U.S.C. 552, a positive and continuing obligation exists for NASA, herein Agency, to make available to the fullest extent practicable upon request by members of the public, all Agency records under its jurisdiction, as described in this regulation.
(b) Part 1206 does not entitle any person to any service or to the disclosure of any record that is not required under the FOIA.
(c) The disclosure of exempt records, without authorization by the appropriate NASA official, is not an official release of information; accordingly, it is not a FOIA release. Such a release does not waive the authority of NASA to assert FOIA exemptions to withhold the same records in response to a FOIA request. In addition, while the authority may exist to disclose records to individuals in their official capacity, the provisions of this part apply if the same individual seeks the records in a private or personal capacity.
(a) Records required to be published in the Federal Register. The following records are required to be published in the
(1) Description of NASA Headquarters and NASA Centers and the established places at which, the employees from whom, and the methods whereby, the public may secure information, make submittals or requests, or obtain decisions;
(2) Statements of the general course and method by which NASA's functions are channeled and determined, including the nature and requirements of all formal and informal procedures available;
(3) Rules of procedure, descriptions of forms available or the places at which forms may be obtained, and instructions regarding the scope and contents of all papers, reports, or examinations;
(4) Substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by NASA;
(5) Each amendment, revision, or repeal of the foregoing.
(b) Agency opinions, orders, statements, and manuals. (1) Unless they are exempt from disclosure in accordance with the FOIA, or unless they are promptly published and copies offered for sale, NASA shall make available the following records for public inspection in an electronic format or purchase:
(i) All final opinions (including concurring and dissenting opinions) and all orders made in the adjudication of cases;
(ii) Those statements of NASA policy and interpretations which have been adopted by NASA and are not published in the
(iii) Administrative staff manuals (or similar issuances) and instructions to staff that affect a member of the public;
(iv) Copies of all records, regardless of form or format, that have been released to any person under Subpart C of this part and that, because of the nature of their subject matter, the Agency determines have become or are likely to become the subject of subsequent requests for substantially the same records (frequently requested documents or documents that have been requested 3 or more times).
(2) A general index of records referred to under paragraph (b)(1)(iv) of this section.
(i) For records created after November 1, 1996, which are covered by paragraphs (b)(1)(i) through (iv) of this section, such records shall be available electronically, through an electronic library and in electronic forms or formats.
(ii) In connection with all records required to be made available or published under this paragraph (b), identifying details shall be deleted to the extent required to prevent a clearly unwarranted invasion of personal privacy. However, in each case, the justification for the deletion shall be explained fully in writing. The extent of such deletion shall be indicated on the portion of the record which is made available or published, unless including that indication would harm an interest protected by an exemption in the FOIA. If technically feasible, the extent of the deletion shall be indicated at the place in the record where the deletion is made.
(c) Other Agency records. (1) In addition to the records made available or published under paragraphs (a) and (b) of this section, NASA shall, upon request for other records made in accordance with this part, make such records promptly available to any person, unless they are exempt from disclosure, or unless they may be purchased by the public from other readily available sources, i.e., books.
(2) Furthermore, at a minimum, NASA will maintain records in its electronic library that were created after November 1, 1996, under paragraph (b)(1)(iv) of this section and a guide for requesting records or information from NASA.
Records that are required by the FOIA to be made available for public inspection and copying in an electronic format are accessible on the Agency's Web site, http://www.nasa.gov. Each Center is responsible for determining which of its records are required to be made publicly available, as well as identifying additional records of interest to the public that are appropriate for public disclosure, and for posting such records. Each Center has a FOIA Public Liaison who can assist individuals in locating records particular to a Center. A list of the Agency's FOIA Public Liaisons is available at http://www.hq.nasa.gov/office/pao/FOIA/agency/.
Publication in the
Records reasonably available to the members of the public affected thereby shall be deemed published in the
(a) A requester submitting a request for records must include his/her name, and an email or mailing address in order for the Agency to be able to send responsive records and/or to be able to contact the requester to obtain additional information or clarification of the request sought (see § 1206.301). The request must also address fees or provide justification for a fee waiver (see § 1206.302) as well as address the fee category in accordance with § 1206.507. The request should also include a telephone number in case the FOIA office needs to contact the requester regarding the request; however, this information is optional when submitting a request if an email or mailing address is provided. A requester may also submit a request online via the NASA FOIA website, https://www.nasa.gov/FOIA/Contacts.html. Do not include a social security number on any correspondence with the FOIA office. If the FOIA unit determines processing fees will exceed the fee category entitlement, the unit will require a personal mailing address for billing purposes or for commercial use requesters, a business mailing address.
(b) NASA does not have a central location for submitting FOIA requests and it does not maintain a central index or database of records in its possession. Instead, Agency records are decentralized and maintained by various Centers and offices throughout the country. All NASA Centers have the capability to receive requests electronically, either through email or a Web portal. To make a request for any of the NASA Center records, a requester should write directly to the FOIA office of the Center that maintains the records being sought. A request will receive the quickest possible response if it is addressed to the FOIA office of the Center that maintains the records requested. If a requester does not know which Center(s) may have the requested records, he/she may send his/her request(s) to the NASA's Headquarters (HQ) FOIA Public Liaison, 300 E Street SW, Room 5L19, Washington, DC 20546, Fax number: (202) 358-4332, email address: hq-foia@nasa.gov, and the HQ FOIA unit will forward the request to the Center(s) that it determines to be most likely to maintain the records that are sought.
(c) NASA has not yet implemented a records management application for automated capture and control of e-records; therefore, official files are primarily paper files.
(d) A member of the public may submit a FOIA request for an Agency record by mail, facsimile (FAX), electronic mail (email), or by submitting a written request in person to the FOIA office having responsibility over the record requested or to the NASA Headquarters (HQ) FOIA Office. A requester may also submit a request online via the NASA FOIA website.
(e) When a requester is unable to determine the proper NASA FOIA Office to direct a request to, the requester may send the request to the NASA HQ FOIA Office, 300 E. Street SW., Washington, DC 20546-0001. The HQ FOIA Office will forward the request to the Center(s) that it determines to be most likely to maintain the records that are sought.
(1) For locations, mailing/email addresses of NASA FOIA Centers, visit our website at https://www.nasa.gov/FOIA/Contacts.html.
(2) A misdirected request may take up to ten (10) additional working (meaning all days except Saturdays, Sundays and all Federal legal holidays) days to reroute to the proper FOIA office.
(f) A requester who is making a request for records about himself or herself (a Privacy Act request) must comply with the verification of identity provisions set forth in 14 CFR 1212.202.
(g) Where a request pertains to a third party, a requester may receive greater access by submitting either a notarized authorization signed by the individual who is the subject of the record requested, or a declaration by that individual made in compliance with the requirements set forth in 28 U.S.C. 1746, authorizing disclosure of the records to the requester, or submit proof that the individual is deceased (e.g., a copy of a death certificate or a verifiable obituary).
(h) As an exercise of its administrative discretion, each Center FOIA office may require a requester to supply additional information if necessary, i.e., a notarized statement from the subject of the file, in order to verify that a particular individual has consented to a third party disclosure. Information will only be released on a case-by-case basis to third party requesters if they have independently provided authorization from the individual who is the subject of the request.
In view of the time limits under 5 U.S.C. 552(a)(6) for an initial determination on a request for an Agency record, a request must meet the following requirements:
(a) The request must be addressed to an appropriate FOIA office or otherwise be clearly identified in the letter as a request for an Agency record under the “Freedom of Information Act.”
(b) Requesters must describe the records sought in sufficient detail to enable Agency personnel who are familiar with the subject area of the request to identify and locate the record with a reasonable amount of effort. To the extent possible, requesters should include specific information that may assist a FOIA office in identifying the requested records, such as the date, title or name, author, recipient, subject matter of the record, case number, file designation, or reference number. In general, requesters should include as much detail as possible about the specific records or the types of records sought.
(c) If NASA, after receiving a request, determines that the request does not reasonably describe the records sought, it shall inform the requester what additional information is needed or why the request is otherwise insufficient. Requesters who are attempting to reformulate or modify such a request may discuss their request with the NASA's designated FOIA contact or the Principal Agency FOIA Officer, each of whom is available to assist the requester in reasonably describing the records sought. If a request does not reasonably describe the records sought, the Agency's response to the request may be delayed or NASA may at its discretion close the request administratively.
(d) Requests for clarification or more information will be made in writing (either via U.S. mail or electronic mail whenever possible). Requesters may respond by U.S. mail or by electronic mail regardless of the method used by NASA to transmit the request for additional information. In order to be considered timely, responses to requests for additional information must be postmarked or received by electronic mail within twenty (20) working days of the postmark date or date of the electronic mail request for additional information or received by electronic mail by 11:59:59 p.m. ET on the 20th working day. If the requester does not respond to a request for additional information within the 20 working days, the request may be administratively closed at NASA's discretion. This administrative closure does not prejudice the requester's ability to submit a new request for further consideration with additional information.
(e) NASA need not comply with a blanket or categorical request (such as “all matters relating to” a general subject) where it is not reasonably feasible to determine what record is sought.
(f) NASA will in good faith attempt to identify and locate the record(s) sought and will consult with the requester when necessary and appropriate for that purpose in accordance with these regulations.
(g) NASA is not required to create or compile records in response to a FOIA request.
(a) A request must explicitly state a willingness to pay all fees associated with processing the request, fees up to a specified amount, or a request for a fee waiver, if processing fees will likely exceed the statutory entitlements as defined in § 1206.507(b) and (c).
(b) If the FOIA office determines that fees for processing the request will exceed the agreed upon amount or the statutory entitlements, the FOIA office will notify the requester that:
(1) He/she must provide assurance of payment for all anticipated fees or provide an advance payment if estimated fees are expected to exceed $250.00, or
(2) The FOIA office will not be able to fully comply with the FOIA request unless an assurance or advance payment as requested has been provided.
(3) He/she may wish to limit the scope of the request to reduce the processing fees.
(c) If the FOIA office does not receive a written response within 20 working days after requesting the information, it will presume the requester is no longer interested in the records requested and will administratively close the request without further notification.
(d) A commercial-use requester (as defined in§ 1206.507(c)(1)) must:
(1) State a willingness to pay all fess associated with processing a request; or
(2) State a willingness to pay fees to cover the costs of conducting an initial search for responsive records to determine a fee estimate.
(e) If a requester is only willing to pay a limited amount for processing a request and it is for more than one document, the requester must state the order in which he/she would like the request for records to be processed.
(f) If a requester is seeking a fee waiver, the request must include sufficient justification to substantiate a waiver. (See subpart E of this part for information on fee waivers.) Failure to provide sufficient justification will result in a denial of the fee waiver request.
(g) If a requester is seeking a fee waiver, he/she may also choose to state a willingness to pay fees in case the fee waiver request is denied in order to allow the FOIA office to begin processing the request while considering the fee waiver.
(h) If a fee is chargeable for search, review, duplication, or other costs incurred in connection with a request for an Agency record, the requester will be billed prior to releasing Agency documents. If the total amount of processing fees is under $50.00, the Agency will release the records when final processing is complete.
(1) If the exact amount of the fee chargeable is not known at the time of the request, the requester will be notified in the initial determination (or in a final determination in the case of an appeal) of the amount of fees chargeable.
(2) For circumstances in which advance payment of fees is required, the requester will be notified after the FOIA office has obtained an estimate of associated fees.
(i) The FOIA office will begin processing a request only after the request has been properly described in accordance with these regulations and fees have been resolved.
(j) If the requester is required to pay a fee and it is later determined on appeal that he/she was entitled to a full or partial fee waiver, a refund will be sent as appropriate.
(k) NASA may refuse to consider a waiver or reduction of fees for requesters (persons or organizations) from whom unpaid fees remain owed to the Agency for another information access request.
(a) The FOIA office will provide the records in the requested format if the records can readily be reproduced from the original file to that specific format.
(b) The FOIA office may charge direct costs associated with converting the records or files into the requested format if they are not maintained in that format. If the costs to convert the records exceed the amount the requester has agreed to pay, the FOIA office will notify the requester in writing. If the requester does not agree to pay the additional fees for converting the records, the records may not be provided in the requested format.
A requester may ask for expedited processing of a request. However, information to substantiate the request must be included in accordance with § 1206.400, Criteria for Expedited Processing; otherwise, the request for expedited processing will be denied and processed in the simple or complex queue.
(a) Except in the instances described in paragraphs (e) and (f) of this section, the FOIA office that first receives a request for a record and maintains that record is the FOIA office responsible for responding to the request. The office shall acknowledge the request and assign it an individualized tracking number if it will take longer than ten (10) working days to process. The NASA office responding to the request shall include in the acknowledgment a brief description of the records sought to allow requesters to more easily keep track of their requests.
(b) In determining what records are responsive to a request, a FOIA office ordinarily will include only records in its possession as of the date that it begins its search. If any other date is used, the FOIA office shall inform the requester of that date.
(c) A record that is excluded from the requirements of the FOIA pursuant to 5 U.S.C. 552(c)(1)-(3), shall not be considered responsive to a request.
(d) The Head of a Center, or designee, is authorized to grant or to deny any requests for records that are maintained by that Center.
(e) The FOIA office may refer a request to or consult with another Center FOIA office or Federal agency in accordance with § 1206.308, if the FOIA office receives a request for records that are in its possession that were not created at that Center. If another Center within NASA or another Federal agency has substantial interest in or created the records, the request will either be referred or they will consult with that FOIA office/agency.
(f) If a request for an Agency record is received by a FOIA office not having responsibility of the record (for example, when a request is submitted to one NASA Center or Headquarters and another NASA Center has responsibility of the record), the FOIA office receiving the request shall promptly forward it to that FOIA office within 10 working days from the date of receipt. The receiving FOIA office shall acknowledge the request and provide the requester with a tracking number.
(a) Ordinarily, NASA shall have twenty (20) working days from when a request is received to determine whether to grant or deny the request unless there are unusual or exceptional circumstances. The FOIA office will not begin processing a request until all issues regarding scope and fees have been resolved. NASA will notify the requester of the availability of the FOIA Public Liaison to offer assistance in resolving these issues.
(b) If fees are not expected to exceed the minimum threshold of $50.00, and the scope of the request is in accordance with § 1206.301, the FOIA office will begin processing the request.
(c) If the FOIA office contacts the requester regarding fees or clarification and the requester has provided a response, the FOIA office will notify the requester in writing of the decision to either grant or deny the request.
NASA shall withhold records only when it reasonably foresees that disclosure would harm an interest protected by an exemption or disclosure is prohibited by law.
(a) If the FOIA office denies records in response to a request either in full or in part, it will advise the requester in writing that:
(1) The requested record(s) is exempt in full or in part; or
(2) Records do not exist, cannot be located, are not in the Agency's control, or the request does not reasonably describe the records sought; or
(3) A record is not readily reproducible in the form or format requested; and or
(4) Denial is based on a procedural issue only and not access to the underlying records when it makes a decision that:
(i) A fee waiver or another fee-related issue will not be granted; or
(ii) Expedited processing will not be provided.
(b) The denial notification must include:
(1) The name, title, or position of the person(s) responsible for the denial;
(2) A brief statement of the reasons for the denial, including a reference to any FOIA exemption(s) applied by the FOIA office to withhold records in full or in part;
(3) An estimate of the volume of any records or information withheld, i.e., the number of pages or a reasonable form of estimation, unless such an estimate would harm an interest protected by the exemption(s) used to withhold the records or information; and
(4) A statement that the denial may be appealed under subpart G of this part and a description of the requirements set forth therein. NASA shall also inform the requester of the availability of its FOIA Public Liaison to offer assistance and include a statement notifying the requester of the dispute resolution services offered by the Office of Government Information Services (OGIS). Should the requester elect to mediate any dispute related to the FOIA request with OGIS, NASA will participate in the mediation process in good faith.
(c) If the requested records contain both exempt and non-exempt material, the FOIA office will:
(1) Segregate and release the non-exempt material unless the non-exempt material is so intertwined with the exempt material that disclosure of it would leave only meaningless words and phrases;
(2) Indicate on the released portion(s) of the records the amount of information redacted and the FOIA exemption(s) under which the redaction was made, unless doing so would harm an interest protected by the FOIA exemption used to withhold the information; and
(3) If technically feasible, place the exemption at the place of excision.
(a) Referrals and consultations can occur within the Agency or outside the Agency.
(b) If a FOIA office (other than the Office of Inspector General) receives a request for records in its possession that another NASA FOIA office has responsibility over or is substantially concerned with, it will either:
(1) Consult with the other FOIA office before deciding whether to release or withhold the records; or
(2) Refer the request, along with the records, to that FOIA office for direct response.
(c) If the FOIA office that originally received the request refers all or part of the request to another FOIA office within the Agency for further processing, they will notify the requester of the partial referral and provide that FOIA contact information.
(d) If while responding to a request, the FOIA office locates records that originated with another Federal agency, it will generally refer the request and any responsive records to that other agency for a release determination and direct response.
(e) If the FOIA office refers all the records to another agency, it will document the referral and maintain a copy of the records that it refers; notify the requester of the referral in writing, unless that identification will itself disclose a sensitive, exempt fact; and will provide the contact information for the other agency and if known, the name of a contact at the other agency.
(f) If the FOIA office locates records that originated with another Federal agency while responding to a request, the office will make the release determination itself (after consulting with the originating agency) when:
(1) The record is of primary interest to NASA (for example, a record may be of primary interest to NASA if it was developed or prepared according to Agency regulations or directives, or in response to an Agency request); or
(2) NASA is in a better position than the originating agency to assess whether the record is exempt from disclosure; or
(3) The originating agency is not subject to the FOIA; or
(4) It is more efficient or practical depending on the circumstances.
(g) If the FOIA office receives a request for records that another Federal agency has classified under any applicable executive order concerning record classification, it must refer the request to that agency for response.
(h) If the FOIA office receives a request for records that are under the purview of another Federal agency, the office will return the request to the requester and may advise the requester to submit it directly to another agency. The FOIA office will then close the request.
(i) All consultations and referrals received by the Agency will be handled according to the date that the FOIA request initially was received by the first FOIA office.
(a) The FOIA office will normally process requests in the order in which they are received in each of the processing tracks.
(b) FOIA offices use three queues for multi-track processing depending on the complexity of the request. Once it has been determined the request meets the criteria in accordance with subpart C of this part, the FOIA office will place the request in one of the following tracks:
(1) Simple—A request that can be processed within 20 working days.
(2) Complex—A request that will take over 20 working days to process. (A complex request will generally require coordination with more than one office and a legal 10 working day extension for unusual circumstances (see § 1206.403) may be taken either up front or during the first 20 days of processing the request.)
(3) Expedited processing—A request for expedited processing will be processed in this track if the requester can show exceptional need or urgency that their request should be processed out of turn in accordance with paragraph (c) of this section.
(c) Requests and appeals will be processed on an expedited basis whenever it is determined that they involve one or more of the following:
(1) Circumstances in which the lack of expedited treatment could reasonably be expected to pose an imminent threat to the life or physical safety of an individual;
(2) Circumstances in which there is an urgency to inform the public about an actual or alleged Federal Government activity if the FOIA request is made by a person primarily engaged in disseminating information;
(i) In most situations, a person primarily engaged in disseminating information will be a representative of the news media and therefore, will qualify as a person primarily engaged in disseminating information.
(ii) To substantiate paragraph (c)(2) of this section, the requested information must be the type of information which has particular value that will be lost if not disseminated quickly; this ordinarily refers to a breaking news story of general public interest. Information of historical interest only or information sought for litigation or commercial activities would not qualify, nor would a news media deadline unrelated to breaking news; or
(3) The loss of substantial due process rights.
(d) A request for expedited processing must contain a statement that:
(1) Explains in detail how the request meets one or more of the criteria in paragraph (c) of this section; and
(2) Certifies that the explanation is true and correct to the best of the requester's knowledge and belief.
(3) If the request is made referencing paragraph (c)(2) of this section, the requester must substantiate the public interest.
(e) A request for expedited processing may be made at any time. Requests must be submitted to the FOIA office responsible for processing the requested records.
(f) The FOIA office must notify the requester of its decision to grant or deny expedited processing within 10 calendar days from the date of receipt.
(g) If expedited processing is granted, the request will be processed on a first-in, first-out basis in that queue.
(h) If expedited processing is denied, the FOIA office will notify the requester and provide information on appealing this decision in accordance with Subpart G of this part and place the request in the appropriate processing queue.
(i) If the FOIA office processing the request does not provide notification of either granting or denying the request for expedited processing within 10 calendar days from the date of receipt, the requester may file an appeal for non-response in accordance with subpart G of this part.
(a) Following receipt of a request submitted under the FOIA, the FOIA staff will send an acknowledgement letter providing the case tracking number and processing track within ten (10) working days from date of receipt to the requester.
(b) An initial determination is a decision by a NASA official, in response to a request by a member of the public for an Agency record, on whether the record described in the request can be identified and located after a reasonable search and, if so, whether the record (or portions thereof) will be made available under this part or will be withheld from disclosure under the FOIA.
(c) An initial determination on a request for an Agency record addressed in accordance with this regulation (to include one submitted in person at a FOIA office) shall be made (for example, to grant, partially grant or deny a request), and the requester shall be sent an initial determination letter within 20 working days after receipt of the request, as required by 5 U.S.C. 552(a)(6) (unless unusual circumstances exist as defined in § 1206.403).
(d) The basic time limit for a misdirected FOIA request (not a referral or consultation) begins on the date on which the request is first received by the appropriate FOIA office within the Agency, but in any event no later than ten (10) working days after the date the request is first received by a FOIA office designated to receive FOIA requests.
(e) Any notification of an initial determination that does not comply fully with the request for an Agency record, including those searches that produce no responsive documents, shall include a statement of the reasons for the adverse determination, include the name and title of the person making the initial determination, and notify the requester of the right to appeal to the Administrator or the Inspector General, as appropriate, pursuant to subpart G of this part, and the right to seek dispute resolution services from the NASA FOIA Public Liaison or Office of Government Information Services.
(a) In accordance with 5 U.S.C. 552(a)(6)(A)(ii)(I), the FOIA office may make one request to the requester for information to clarify a request and temporarily suspend (toll) the time (the 20-day period) while it is awaiting such information that it has reasonably requested from the requester. Receipt of the requester's response by the FOIA office to the Agency's request for additional information or clarification ends the temporary time suspension.
(b) In accordance with 5 U.S.C. 552(a)(6)(A)(ii)(II), the FOIA office may temporarily suspend (toll) the 20-day period as many times as is necessary to clarify with the requester issues regarding fees. Receipt of the requester's response by the FOIA office to the Agency's request for information regarding fees ends the temporary time suspension.
(a) In “unusual circumstances” as defined in this section, the time limits for an initial determination and for a final determination may be extended, but not to exceed a total of 10 working days in the aggregate in the processing of any specific request for an Agency record. The extension must be taken before the expiration of the 20 working day time limits. The requester will be notified in writing of:
(1) The unusual circumstances surrounding the extension of the time limit;
(2) The date by which the FOIA office expects to complete the processing of the request.
(b) Unusual circumstances are defined as:
(1) The need to search for and collect the requested records from offices other than the office processing the request;
(2) The need to search for, collect, and appropriately examine a voluminous number of documents;
(3) The need to coordinate and/or consult with another NASA office or agency having a substantial subject-matter interest in the determination of the request.
(c) If initial processing time will exceed or is expected to exceed 30 working days, the FOIA office will notify the requester of the delay in processing and:
(1) Provide the opportunity to limit the scope of the request so that it may be processed within that time limit or an opportunity to arrange with the Agency an alternative time frame for processing the request or a modified request;
(2) Provide contact information for the NASA FOIA Public Liaison;
(3) Offer the right of the requester to seek dispute resolution services from the OGIS;
(4) Provide information regarding the intended determination; and
(5) Shall make available its designated FOIA contact and its FOIA Public Liaison for the purpose of this paragraph (c).
(d) The requester's refusal to reasonably modify the scope of a request or arrange an alternative timeframe for processing a request after being given the opportunity to do so may be considered a factor when determining whether exceptional circumstances exist. A delay that results from a predictable workload of requests does not constitute exceptional circumstances unless the Agency demonstrates reasonable progress in reducing its backlog of pending requests.
(a) Search includes all time spent looking for material that is responsive to a request, including page-by-page or line-by-line identification of material within documents. A search will determine what specific documents, if any, are responsive to a request. A search for Agency records responsive to a request may be accomplished by manual or automated means.
(b) Search charges, as set forth in this part, may be billed even when an Agency record, which has been requested, cannot be identified or located after a diligent search and consultation with a professional NASA employee familiar with the subject area of the request has been conducted or if located, cannot be made available under § 1206.308.
(c) In responding to FOIA requests, FOIA offices shall charge the following fees based on the date the request is received in the NASA FOIA Office unless a waiver or reduction of fees has been granted under § 1206.506. Fees will be determined on October 1st of each year based on the appropriate General Schedule (GS) base salary, plus the District of Columbia locality payment, plus 16 percent for benefits of employees. Fees such as search, review, and duplication will be charged in accordance with the requester's fee category as defined in § 1206.507.
(d) For each quarter hour spent by personnel searching for requested records, including electronic searches that do not require new programming, the fees will be the average hourly GS-base salary, plus the District of Columbia locality payment, plus 16 percent for benefits of employees in the following three categories, as applicable:
(1) Clerical—Based on a GS-6, Step 5 (all employees at a GS-7 and below are classified as clerical for this purpose).
(2) Professional—Based on a GS-11, Step 7 pay (all employees at a GS-8 through GS-12 are classified as professional for this purpose);
(3) Managerial—Based on GS-14, Step 2, pay (all employees at a GS-13 and above are classified as managerial for this purpose).
(e) Requesters will be charged the direct costs associated with conducting any search that requires the creation of a new program to locate the requested records.
(f) For requests that require the retrieval of records stored by an agency at a Federal records center operated by the NARA, additional costs shall be charged in accordance with the Transactional Billing Rate Schedule established by NARA.
(a) Review means the process of examining a document(s) located in response to a request to determine whether the document(s) or any portion thereof is disclosable. Review does not include time spent resolving general legal or policy issues regarding the application of exemptions.
(b) Review fees will be assessed in connection with the initial review of the record, i.e., the review conducted by Agency staff to determine whether an exemption applies to a particular record or portion of a record.
(c) Review fees will be charged to commercial use requesters.
(d) No charge will be made for review at the administrative appeal stage of exemptions applied at the initial review stage. However, when the appellate authority determines that a particular exemption no longer applies, any costs associated with an additional review of the records in order to consider the use of other exemptions may be assessed as review fees.
(e) Review fees will be charged at the same rates as those charged for a search under § 1206.500.
(f) Review fees can be charged even if the record(s) reviewed ultimately is not disclosed.
(g) Review fees will not include costs incurred in resolving issues of law or policy that may be raised in the course of processing a request under this section.
(a) Duplication is reproducing a copy of a record or of the information contained in it, necessary to respond to a FOIA request. Copies can take the form of paper, audiovisual materials, or electronic records, among others.
(b) FOIA offices shall honor a requester's preference for receiving a record in a particular form or format where it is readily reproducible by the FOIA office in the form or format requested. If the records are not readily reproducible in the requested form or format, the Agency will so inform the requester. The requester may specify an alternative form or format that is available. If in this situation the requester refuses to specify an alternative form or format, the Agency will not process the request any further.
(c) Where standard-sized photocopies or scans are supplied, the FOIA office will provide one copy per request at the regular copy rate per page.
(d) For copies of records produced on tapes, disks, or other electronic media, FOIA offices will charge the direct costs of producing the copy in the form or format requested, including the time spent by personnel duplicating the requested records. For each quarter hour spent by personnel duplicating the requested records, the fees will be the same as those charged for a search under this subpart.
(e) If NASA staff must scan paper documents in order to accommodate a requester's preference to receive the records in an electronic format, the requester shall pay the appropriate copy fee charge per page as well as each quarter hour spent by personnel scanning the requested records. Fees will be the same as those charged for search under this subpart for each quarter hour spent by personnel scanning the requested records.
(f) For other forms of duplication, FOIA offices will charge the direct costs as well as any associated personnel costs. For standard-sized copies of documents such as letters, memoranda, statements, reports, contracts, etc., $0.15 per copy of each page; charges for double-sided copies will be $0.30. For copies of oversized documents, such as maps, charts, etc., fees will be assessed as direct costs. Charges for copies (and scanning) include the time spent in duplicating the documents. For copies of computer disks, still photographs, blueprints, videotapes, engineering drawings, hard copies of aperture cards, etc., the fee charged will reflect the direct cost to NASA of reproducing, copying, or scanning the record. In circumstances where a request for a videotape or other outdated media is requested, and NASA does not have the capability to readily reproduce the record in the form or format requested and which requires the Agency to enlist the services of a private contractor to fulfill the request, the direct costs of any services by the private contractor will be charged to the requester. Specific charges will be provided upon request.
(g) If the request for an Agency record required to be made available under this part requires a computerized search or printout, the charge for the time of personnel involved shall be at the rates specified in this part or the direct costs assessed to the Agency. The charge for computer time involved and for any special supplies or materials used shall not exceed the direct cost to NASA.
(h) Reasonable standard fees may be charged for additional direct costs incurred in searching for or duplicating an Agency record in response to a request under this part. Charges made under this paragraph include, but are not limited to, the transportation of NASA personnel to places of record storage for search purposes or freight charges for transporting records to the personnel searching for or duplicating a requested record.
(i) Complying with requests for special services such as those listed in this section is entirely at the discretion of NASA. To the extent that NASA elects to provide the following services, it will levy a charge equivalent to the full cost of the service provided:
(1) Certifying that records are true copies.
(2) Sending records by special methods such as express mail.
(3) Packaging and mailing bulky records that will not fit into the largest envelope carried in the supply inventory.
(a) No search fees will be charged for requests by educational institutions, noncommercial scientific institutions, or representatives of the news media, unless the records are sought for a commercial use.
(b) If NASA fails to comply with the FOIA's time limits in which to respond to a request, it may not charge search fees, or, in the instances of requests from requesters described in paragraph (a) of this section, may not charge duplication fees, except as described in paragraphs (b)(1) through (3) of this section.
(1) If a NASA component has determined that unusual circumstances as defined by the FOIA apply, and the component provided timely written notice to the requester in accordance with the FOIA, a failure to comply with the time limit shall be excused for an additional 10 days.
(2) If NASA has determined that unusual circumstances, as defined by the FOIA, apply and more than 5,000 pages are necessary to respond to the request, the Agency may charge search fees, or, in the case of requesters described in paragraph (a) of this section, may charge duplication fees, if the following steps are taken. The Agency must have provided timely written notice of unusual circumstances to the requester in accordance with the FOIA and the component must have discussed with the requester via written mail, email, or telephone (or made not less than three good-faith attempts to do so) how the requester could effectively limit the scope of the request in accordance with 5 U.S.C. 552(a)(6)(B)(ii). If the exception in this paragraph (b)(2) is satisfied, the Agency may charge all applicable fees incurred in the processing of the request.
(3) If a court has determined that exceptional circumstances exist, as defined by the FOIA, a failure to comply with the time limits shall be excused for the length of time provided by the court order.
(c) No search or review fees will be charged for a quarter-hour period unless more than half of that period is required for search or review.
(d) Except for requesters seeking records for a commercial use, NASA will provide without charge:
(1) The first 100 pages of duplication (or the cost equivalent for other media); and
(2) The first two hours of search.
(e) When, after first deducting the 100 free pages (or its cost equivalent) and the first two hours of search, a total fee calculated under § 1206.504 is less than $50.00 for any request, no fee will be charged.
(a) NASA shall charge for processing requests under the FOIA in accordance with the provisions of this section and the OMB Guidelines. NASA will ordinarily use the most efficient and least expensive method for processing requested records. In order to resolve any fee issues that arise under this section, NASA may contact a requester for additional information. A component ordinarily will collect all applicable fees before sending copies of records to a requester. The submission of a FOIA request shall be considered a firm commitment by the requester to pay all applicable fees charged under this section, up to $50.00, unless the requester seeks a waiver of fees. Requesters must pay fees by check or money order made payable to the Treasury of the United States. When a FOIA office determines or estimates the fees to be assessed in accordance with this section will amount to or exceed $50.00, the FOIA office shall notify the requester unless the requester has indicated a willingness to pay fees as high as those anticipated. If a portion of the fees can be readily estimated, the FOIA office shall advise the requester accordingly.
(b) In cases in which a requester has been notified that actual or estimated fees are in excess of $50.00, the request shall be placed on hold and further work will not be completed until the requester commits in writing to pay the actual or estimated fees. Such a commitment must be made by the requester in writing, must indicate a given dollar amount or a willingness to pay all processing fees, and must be received by the FOIA office within 20 working days from the date of the letter providing notification of the fee estimate. If the requester is a noncommercial use requester, the notice shall specify that the requester is entitled to the statutory entitlements of 100 pages of duplication at no charge and, if the requester is charged search fees, two hours of search time at no charge, and shall advise the requester whether those entitlements have been provided.
(c) After the FOIA office begins processing a request, if it finds that the actual cost will exceed the amount the requester previously agreed to pay, the FOIA office will stop processing the request and promptly notify the requester of the higher amount. The request will be placed on hold until the fee issue has been resolved. If the issue is not resolved within 20 working days from the date of the notification letter, NASA will provide the requester, if the requester is a non-commercial use requester, the statutory entitlements of 100 pages of duplication at no charge and shall advise the requester that his statutory entitlements have been provided before closing the request.
(d) Direct costs, meaning those expenditures that NASA actually incurs in searching for, duplicating, and downloading computer files and documents in response to a FOIA request, will be included on the invoice as appropriate. Direct costs include, for example, the salary of the employee who would ordinarily perform the work (the basic rate of pay for the employee plus 16 percent of that rate to cover benefits), the cost of operating computers and other electronic equipment, such as photocopiers and scanners, the costs associated with retrieving records stored at a Federal records center operated by the NARA, as well as costs for CDs and other media tools.
(e) NASA may charge interest on any unpaid bill starting on the 31st day following the date of billing the requester. Interest charges will be assessed at the rate provided in 31 U.S.C. 3717 and will accrue from the billing date until payment is received by the FOIA office. NASA will follow the provisions of the Debt Collection Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as amended, and its administrative procedures, including the use of consumer reporting agencies, collection agencies, and offset.
(f) If processing fees are less than $50.00, NASA will send all releaseable documents (or portions thereof) following the completion of the initial determination. If fees are greater than $50.00, the documents will not be released until the invoice has been paid and verified by the FOIA office.
(g) Final billing will be sent when the initial determination has been completed. At that time the case will be closed.
(a) For requests other than those described in paragraphs (b), (c), and (f) of this section, a FOIA office shall not require the requester to make an advance payment before work is commenced or continued on a request. Payment owed for work already completed (i.e., payment for search, review and/or before records are released to a requester) is not an advance payment.
(b) When a FOIA office determines or estimates that a total fee to be charged under this section will exceed $250.00, it may require that the requester make an advance payment up to the amount of the entire anticipated fee before beginning to process the request. A FOIA office may elect to process the request prior to collecting fees when it receives a satisfactory assurance of full payment from a requester.
(c) Where a requester has previously failed to pay a properly charged FOIA fee assessed by any FOIA office in the agency within 30 calendar days of the billing date, a FOIA office may require the requester to pay the full amount due, plus any applicable interest due on the outstanding debt, before the FOIA office begins to process a new request or continues to process a pending request or any pending remand of an appeal. Once the outstanding bill has been paid, the FOIA office may also require the requester to make an advance payment of the full amount of any anticipated fee before processing the new request.
(d) Where a FOIA office has a reasonable basis to believe that a requester has misrepresented his or her identity in order to avoid paying outstanding fees, it may require that the requester provide further proof of identity.
(e) In cases in which a FOIA office requires advance payment, the request shall not be considered received, and further work will not be completed until the required payment is received. If the requester does not pay the advance payment within 20 working days after the date of the FOIA office's letter, the request will be closed without further notification.
(f) When advance payment is required in order to initiate processing, after a fee estimate has been determined, the FOIA office will require payment before continuing to process the request.
(g) The fee schedule of this section does not apply to fees charged under any statute that specifically requires an agency to set and collect fees for particular types of records. In instances where records responsive to a request are subject to a statutorily-based fee schedule program, the FOIA office will inform the requester of the contact information for that source.
(a) The burden is on the requester to justify an entitlement to a fee waiver. (See § 1206.507 for a discussion on fee categories.)
(b) Requests for a waiver or reduction of fees shall be considered on a case-by-case basis using the criteria in this section. These statutory requirements must be satisfied by the requester before properly assessable fees are waived or reduced under the statutory standard.
(c) Records shall be furnished without charge or at a reduced rate if the requester has demonstrated, based on all available information, that disclosure of the information is in the public interest because it:
(1) Is likely to contribute significantly to public understanding of the operations or activities of the Government; and
(2) Is not primarily in the commercial interest of the requester.
(d) In deciding whether the standards of paragraph (c)(1) of this section are satisfied, the Agency must consider the factors described in paragraphs (d)(1) through (3) of this section:
(1) Disclosure of the requested information would shed light on the operations or activities of the Government. The subject of the request must concern identifiable operations or activities of the Federal Government with a connection that is direct and clear, not remote or attenuated.
(2) Disclosure of the requested information would be likely to contribute significantly to public understanding of those operations or activities. The factor in this paragraph (d)(2) is satisfied when the following criteria are met:
(i) Disclosure of the requested records must be meaningfully informative about Government operations or activities. The disclosure of information that already is in the public domain, in either the same or a substantially identical form, would not be meaningfully informative if nothing new would be added to the public's understanding.
(ii) The disclosure must contribute to the understanding of a reasonably broad audience of persons interested in the subject, as opposed to the individual understanding of the requester. A requester's expertise in the subject area as well as the requester's ability and intention to effectively convey information to the public must be considered. NASA will presume that a representative of the news media will satisfy the consideration in this paragraph (d)(2)(ii).
(3) The disclosure must not be primarily in the commercial interest of the requester. To determine whether disclosure of the requested information is primarily in the commercial interest of the requester, components will consider the following criteria:
(i) NASA, and its Centers processing requests, must identify whether the requester has any commercial interest that would be furthered by the requested disclosure. A commercial interest includes any commercial, trade, or profit interest. Requesters must be given an opportunity to provide explanatory information regarding the consideration in this paragraph (d)(3)(i).
(ii) If there is an identified commercial interest, NASA must determine whether that is the primary interest furthered by the request. A waiver or reduction of fees is justified when the requirements of paragraphs (d)(1) and (2) of this section are satisfied and any commercial interest is not the primary interest furthered by the request. NASA ordinarily will presume that when a news media requester has satisfied the requirements of paragraphs (d)(1) and (2) of this section, the request is not primarily in the commercial interest of the requester. Disclosure to data brokers or others who merely compile and market government information for direct economic return will not be presumed to primarily serve the public interest.
(4) Where only some of the records to be released satisfy the requirements for a waiver of fees under this section, a waiver shall be granted for those records.
(5) Requests for a waiver or reduction of fees should be made when the request is first submitted to NASA and should address the criteria referenced in paragraph (d) of this section. A requester may submit a fee waiver request at a later time so long as the underlying record request is pending or on administrative appeal. When a requester who has committed to pay fees subsequently asks for a waiver of those fees and that waiver is denied, the requester shall be required to pay any costs incurred up to the date the fee waiver request was received.
(e) FOIA offices may make available their FOIA Public Liaison or other FOIA professional to assist any requester in reformulating a request in an effort to reduce fees; however, the FOIA staff may not assist a requester in composing a request, advising what specific records to request, or how to write a request to qualify for a fee waiver.
(f) Where only some of the records to be released satisfy the requirements for a waiver of fees, a partial waiver shall be granted for those records.
(g) Requests for a waiver or reduction of fees should be made when the request is first submitted to the Agency and should address the criteria referenced above. A requester may submit a fee waiver request at a later time so long as the underlying record request is pending or on administrative appeal.
(h) When a requester who has committed to pay fees subsequently asks for a waiver of those fees and that waiver is denied, the requester will be required to pay any costs incurred up to the date the fee waiver request was received by the office processing the original request.
(i) When deciding whether to waive or reduce fees, the FOIA office will rely on the fee waiver justification submitted in the request letter. If the request letter does not include sufficient justification, the FOIA office will either deny the fee waiver request or at its discretion, ask for additional justification from the requester.
(j) FOIA offices may make available their FOIA Public Liaison or other FOIA professional to assist any requester in reformulating a request in an effort to reduce fees; however, the FOIA staff may not assist a requester in composing a request, advising what specific records to request, or how to write a request to qualify for a fee waiver.
(a) A request should indicate the fee category. If the requester does not indicate a fee category, or it is unclear to the FOIA office, the FOIA office will make a determination of the fee category based on the request. If the requester does not agree with their determination, he/she will be afforded the opportunity to provide information to support a different fee category.
(b) If the request is submitted on behalf of another person or organization (e.g., if an attorney is submitting a request on behalf of a client), the fee category will be determined by considering the underlying requester's identity and intended use of the information. The following table outlines the basic fee categories and applicable fees:
| Requester category | Search fees | Review fees | Duplication fees |
|---|---|---|---|
| Commercial use requester | Yes | Yes | Yes. |
| Educational and non-commercial scientific institutions | No | No | Yes (first 100 pages, or equivalent volume, without charge). |
| Representative of news media requester | No | No | Yes (first 100 pages, or equivalent volume, without charge). |
| All other requesters | Yes (first 2 hours without charge) | No | Yes (first 100 pages, or equivalent volume, without charge). |
(c) The FOIA provides for three categories of requesters. However, for clarity purposes, NASA has broken them down to four for the purposes of determining fees. These four categories of FOIA requesters are: Commercial use requesters; educational and noncommercial scientific institutions; representatives of the news media; and all other requesters. The Act prescribes specific levels of fees for each of these categories, which is indicated in the FOIA fee table above.
(1) Commercial use requesters. When NASA receives a request for documents appearing to be for commercial use, meaning a request from or on behalf of one whom seeks information for a use or purpose that furthers the commercial, trade, or profit interests, which can include furthering those interests through litigation, of either the requester or the person on whose behalf the request is made, it will assess charges to recover the full direct costs of searching for, reviewing for release, and duplicating the records sought. NASA will not consider a commercial-use request for a waiver or reduction of fees based upon an assertion that disclosure would be in the public interest. A request from a corporation (not a news media corporation) may be presumed to be for commercial use unless the requester demonstrates that it qualifies for a different fee category. Commercial use requesters are not entitled to two (2) hours of search time or to 100 pages of duplication of documents without charge.
(2) Education and non-commercial scientific institution requesters. To be eligible for inclusion in the category in this paragraph (c)(2), requesters must show that the request being made is authorized by and under the auspices of a qualifying institution and that the records are not being sought for a commercial use (not operated for commerce, trade, or profit), but are being sought in furtherance of scholarly (if the request is from an educational institution) or scientific (if the request is from a non-commercial scientific institution) research.
(i) Educational institution is any school that operates a program of scholarly research. A requester in the fee category in this paragraph (c)(2) must show that the request is made in connection with the requester's role at the educational institution. NASA may seek assurance from the requester that the request is in furtherance of scholarly research and will advise requesters of their placement in the category in this paragraph (c)(2). A request for educational purposes may be presumed if submitted on the Institution's letterhead and signed by the Dean of the School or Department.
(A) Example 1. A request from a professor of geology at a university for records relating to soil erosion, written on letterhead of the Department of Geology, would be presumed to be from an educational institution.
(B) Example 2. A request from the same professor of geology seeking drug information from the Food and Drug Administration in furtherance of a murder mystery he is writing would not be presumed to be an institutional request, regardless of whether it was written on institutional stationery.
(C) Example 3. A student, who makes a request in furtherance of the student's coursework or other school-sponsored activities and provides a copy of a course syllabus or other reasonable documentation to indicate the research purpose for the request, would qualify as part of the fee category in this paragraph (c)(2).
(ii) For the purposes of a non-commercial scientific institution, it must be solely for the purpose of conducting scientific research, the results of which are not intended to promote any particular product or industry. Requests must be sent on the letterhead of the scientific institution and signed by the responsible official-in-charge of the project/program associated with the subject of the documents that are being requested.
(3) Representative of the news media. (i) NASA shall provide documents to requesters in the category in this paragraph (c)(3) for the cost of duplication alone, excluding charges for the first 100 pages.
(ii) Representative of the news media is any person or entity that gathers information of potential interest to a segment of the public, uses editorial skills to turn the raw materials into a distinct work, and distributes that work to an audience. The term “news” means information that is about current events or that would be of current interest to the public. Examples of new media entities include television or radio stations that broadcast “news” to the public at large and publishers of periodicals that disseminate “news” and make their products available through a variety of means to the general public, including news organizations that disseminate solely on the internet. These examples are not all inclusive. As methods of news delivery evolve, alternative news media entities may come into existence. A request for records supporting the news-dissemination function of the requester will not be considered to be for a commercial use. “Freelance” journalists who demonstrate a solid basis for expecting publication through a news media entity will be considered as a representative of the news media. A publishing contract would provide the clearest evidence that publication is expected; however, agencies can also consider a requester's past publication record in making this determination. Agencies will advise requesters of their placement in the category in this paragraph (c)(3).
(iii) Requesters seeking the fee category in this paragraph (c)(3) who do not articulate sufficient information to support their request will not be included in the fee category in this paragraph (c)(3). Additionally, FOIA staff may grant a reduction of fees if the requester can articulate the information of this section for some of the documents.
(4) All other requesters. NASA shall charge requesters who do not fit into any of the categories mentioned in this section fees in accordance with the fee table in paragraph (b) of this section.
(a) A requester may not file multiple requests at the same time, each seeking portions of a document or documents, solely in order to avoid payment of fees.
(b) When NASA has reason to believe that a requester or a group of requesters acting in concert is attempting to divide a request into a series of requests on a single subject or related subjects for the purpose of avoiding the assessment of fees, NASA will aggregate any such requests and charge accordingly.
(c) NASA will consider that multiple requests made within a 30-day period were so intended submitted as such to avoid fees, unless there is evidence to the contrary.
(d) NASA will aggregate requests separated by a longer period of time only when there is a reasonable basis for determining that aggregation is warranted in view of all the circumstances involved.
(e) NASA will not aggregate multiple requests on unrelated subjects from one requester or organization.
Payment shall be made by check or money order payable to the “Treasury of the United States,” or by credit card per instructions in the initial determination or billing invoice and sent to NASA.
(a) Requesters are advised that should they fail to pay the fees assessed, they may be charged interest on the amount billed starting on the 31st day following the day on which the billing was sent. Interest will be at the rate prescribed in 31 U.S.C. 3717.
(b) Applicability of Debt Collection Act of 1982 (Pub. L. 97-365). Requesters are advised that if full payment is not received within 60 days after the billing was sent, the procedures of the Debt Collection Act may be invoked (14 CFR 1261.407-1261.409). These procedures include three written demand letters at not more than 30-day intervals, disclosure to a consumer reporting agency, and the use of a collection agency, where appropriate.
Nothing in this subpart shall be construed to entitle any person to any service or to the disclosure of any record that is not required under the FOIA.
(a) Notice shall be given to a submitter whenever the information requested is commercial information and has been designated by the submitter as information deemed protected from disclosure under Exemption 4 of the Act, or the Agency otherwise has reason to believe that the information may be protected from disclosure under Exemption 4. For the purpose of applying the notice requirements, commercial information is information provided by a submitter and in the possession of NASA, that may arguably be exempt from disclosure under the provisions of Exemption 4 of the FOIA (5 U.S.C. 552(b)(4)). The meaning ascribed to this term for the purpose of this notice requirement is separate and should not be confused with use of this or similar terms in determining whether information satisfies one of the elements of Exemption 4.
(b) A submitter is a person or entity outside the Federal Government from whom the Agency directly or indirectly obtains commercial or financial information. The term submitter includes, but is not limited to corporations, state governments, individuals, and foreign governments.
(c) The notice requirements of § 1206.601 will not apply if:
(1) The information has been lawfully published or officially made available to the public; or
(2) Disclosure of the information is required by a statute (other than this part); or
(3) The submitter has received notice of a previous FOIA request which encompassed information requested in the later request, and the Agency intends to withhold and/or release information in the same manner as in the previous FOIA request.
(d) An additional limited exception to the notice requirements of § 1206.601, to be used only when all of the following exceptional circumstances are found to be present, authorizes the Agency to withhold information that is the subject of a FOIA request, based on Exemption 4 (5 U.S.C. 552(b)(4)), without providing the submitter individual notice when:
(1) The Agency would be required to provide notice to over ten (10) submitters, in which case, notification may be accomplished by posting or publishing the notice in a place reasonably calculated to accomplish notification.
(2) Absent any response to the published notice, the Agency determines that if it provided notice as is otherwise required by § 1206.601, it is reasonable to assume that the submitter would object to disclosure of the information based on Exemption 4; and,
(3) If the submitter expressed the anticipated objections, the Agency would uphold those objections.
(e) The exception shall be used only with the approval of the Chief Counsel of the Center, the Counsel to the Inspector General, or the Associate General Counsel responsible for providing advice on the request. This exception shall not be used for a class of documents or requests, but only as warranted by an individual FOIA request.
(a) Except as provided in § 1206.603(b) and § 1206.603(c), the Agency shall provide a submitter with prompt written notice of a FOIA request that seeks its commercial information whenever required under § 1206.600(a).
(b) A notice to a submitter must include:
(1) The exact language of the request or an accurate description of the request;
(2) Access to or a description of the responsive records or portions thereof containing the commercial information to the submitter;
(3) A description of the procedures for objecting to the release of the possibly confidential information under § 1206.602;
(4) A time limit for responding to the Agency that shall not exceed 10 working days from the date of the letter sent to the submitter by the FOIA Office or publication of the notice (as set forth in § 1206.603(b)) to object to the release and to explain the basis for the objection;
(5) Notice that the information contained in the submitter's objections may itself be subject to disclosure under the FOIA;
(6) Notice that the Agency, not the submitter, is responsible for deciding whether the information shall be released or withheld;
(7) Notice that failing to respond within the timeframe specified under § 1206.601(b)(4) will create a presumption that the submitter has no objection to the disclosure of the information in question.
(c) Whenever the Agency provides notice pursuant to this section, the Agency shall advise the requester that notice and opportunity to comment are being provided to the submitter.
(a) If a submitter has any objections to the disclosure of commercial information, the submitter must provide a detailed written statement to the FOIA office that specifies all factual and/or legal grounds for withholding the particular information under any FOIA exemptions.
(b) The submitter must include a daytime telephone number, an email and mailing address, and a fax number if available on a response to the FOIA office.
(c) A submitter who does not respond within the time period specified under this subpart will be considered to have no objection to disclosure of the information.
(d) Responses received by the FOIA office after the time period specified in § 1206.601(b)(4) will not be considered by the FOIA office. An extension of time to respond may be granted provided the submitter provides an explanation justifying additional time within the time period specified in § 1206.601(b)(4).
(a) The Agency shall carefully consider any objections of the submitter in the course of determining whether to disclose commercial information. The Agency, not the submitter, is responsible for deciding whether the information will be released or withheld.
(b) Whenever the Agency decides to disclose commercial information over the objection of a submitter, the Agency shall forward to the submitter a written statement which shall include the following:
(1) A brief explanation as to why the Agency did not agree with any objections;
(2) A description of the commercial information to be disclosed, sufficient to identify information to the submitter; and
(3) A date after which disclosure is expected, which shall be no less than 10 working days from the date of the letter providing notification to the submitter by the FOIA Office (§ 1206.601).
(c) The FOIA office will provide notification regarding a FOIA lawsuit:
(1) To a submitter, when a requester brings suit seeking to compel disclosure of commercial information; or
(2) To a requester, when a submitter brings suit against the Agency in order to prevent disclosure of commercial information.
(a) A member of the public who has requested an Agency record in accordance with subpart C of this part, and who has received an initial determination which does not comply fully with the request, may appeal such an adverse initial determination to the Administrator, or, for records as specified in § 1206.805, to the Inspector General within 90 days from the date of the initial determination letter.
(b) The appeal must:
(1) Be in writing;
(2) Be addressed to the Administrator, NASA Headquarters, Executive Secretariat, Washington, DC 20546, or, for records as specified in § 1206.805, to the Inspector General, NASA Headquarters, Room 8U71, 300 E Street, SW, Washington, DC 20546;
(3) Be identified clearly on the envelope and in the letter as an “Appeal under the Freedom of Information Act;”
(4) Include a copy of the initial request for the Agency record and a copy of the adverse initial determination along with any other correspondence with the FOIA office;
(5) To the extent possible, state the reasons the adverse initial determination should be reversed; and
(6) Be sent to the Administrator or the Inspector General, as appropriate, within 90 days of the date of the initial determination.
(c) An official authorized to make a final determination may waive any of the requirements of paragraph (b) of this section, in which case the time limit for the final determination (see § 1206.701(a)) shall run from the date of such waiver.
(a) Except as provided in § 1206.403, the Administrator or designee, or in the case of records as specified in § 1206.805, the Inspector General or designee, shall make a final determination on an appeal and notify the appellant thereof, within 20 working days after the receipt of the appeal by the Administrator's Office.
(b) In “unusual circumstances” as defined in § 1206.403, the time limit for a final determination may be extended, but not to exceed a total of 10 working days in the aggregate in the processing of any specific appeal for an Agency record. The extension must be taken before the expiration of the 20 working day time limit. The appellant will be notified in writing in accordance with § 1206.403.
(c) If processing time will exceed or is expected to exceed 30 working days, the appellant will be notified of the delay in processing and the reason for the delay.
(d) If the final determination reverses in whole or in part the initial determination, the record requested (or portions thereof) shall be made available promptly to the requester, as provided in the final determination.
(e) If a reversal in whole or in part of the initial determination requires additional document search or production, associated fees will be applicable in accordance with fee guidance in this regulation.
(f) If the final determination sustains in whole or in part an adverse initial determination, the notification of the final determination shall:
(1) Explain the basis on which the record (or portions thereof) will not be made available;
(2) Include the name and title of the person making the final determination;
(3) Include a statement that the final determination is subject to judicial review under 5 U.S.C. 552(a)(4);
(4) Provide a statement regarding the mediation services of the Office of Government Information Services (OGIS) as a non-exclusive alternative to litigation; and
(5) Enclose a copy of 5 U.S.C. 552(a)(4).
(g) Before seeking a review by a court of a FOIA office's adverse initial determination, a requester must generally submit a timely administrative appeal in accordance with this part.
In any instance in which a requester brings suit concerning a request for an Agency record under this part, the matter shall promptly be referred to the General Counsel with a report on the details and status of the request.
Authority necessary to carry out the responsibilities specified in this subpart is delegated from the Administrator to the officials named in this subpart.
(a) The Associate Administrator, Office of Communications, is designated as the Chief FOIA Officer for the Agency. The Chief FOIA Officer is delegated authority for administering the FOIA and all related laws and regulations within the Agency. The Associate Administrator has delegated the day-to-day oversight of the Agency FOIA Program to the Deputy Associate Administrator for Communications.
(b) The Deputy Associate Administrator for Communications has delegated the overall responsibility for developing and administering the FOIA program within NASA to the Principal Agency FOIA Officer, located in the Office of Communications. This includes:
(1) Developing regulations in consultation with the Office of General Counsel, providing guidelines, procedures, and standards for the Agency's FOIA program;
(2) Overseeing all FOIA offices and programs and ensuring they are in compliance with FOIA laws and regulations;
(3) Ensuring implementation of the FOIA Programs throughout the Agency and keeping the Chief FOIA Officer and the Deputy Associate Administrator for Communications informed of the Agency's FOIA performance;
(4) Providing program oversight, technical assistance, and training to employees to ensure compliance with the Act;
(5) Preparing the Agency's FOIA Annual Report to the Department of Justice (DOJ) and Congress, as well as the Chief FOIA Officer's Report;
(6) Preparing all other reports as required to DOJ, OGIS, and Congress or within the Agency;
(7) Developing, conducting, and reviewing all internal Agency FOIA training for NASA FOIA staff;
(8) Directly supervising the Headquarters FOIA Office.
(c) The Chief FOIA Officer is responsible for ensuring NASA has appointed FOIA Public Liaisons, who are responsible for and able to assist in reducing delays, increasing transparency and understanding of the status of requests, and assisting in the resolution of disputes at each Center or Component.
The General Counsel is responsible for the interpretation of 5 U.S.C. 552 and of this part, as well as providing legal guidance with regard to disclosure of Agency records. The General Counsel is also responsible for the handling of appeals and litigation in connection with a request for an Agency record under this part.
Except as otherwise provided under this subpart, the Deputy Associate Administrator for Communications is responsible for the following:
(a) Delegating the authority for direct oversight of the Headquarters FOIA Office to the Principal Agency FOIA Officer.
(b) When denying records in whole or in part, ensuring the Headquarters FOIA Office consults with the General Counsel charged with providing legal advice to Headquarters before releasing an initial determination under § 1206.307.
Except as otherwise provided in this subpart, in coordination with the Deputy Associate Administrator for Communications, the Director of each NASA Center or the Official-in-Charge of each Center, is responsible for ensuring the following:
(a) The Director of Public Affairs or the Head of the Public Affairs Office at the Center has delegated authority to process all FOIA requests at their respective Center.
(b) This delegated authority has further been delegated to the FOIA Officers who are designated to work at NASA Centers and supervised by the Director of Public Affairs or Head of the Public Affairs Office for that Center. If a FOIA Officer working at a particular NASA Center vacates the position, the Deputy Associate Administrator for Communications will designate a new FOIA Officer, supervised by the Principal Chief FOIA Officer, to process FOIA requests for that particular Center.
(c) When denying records in whole or in part, the FOIA Officer designated to process records for the Center will consult with the Chief Counsel or the Counsel charged with providing legal advice to that FOIA office before releasing an initial determination under § 1206.307.
(a) The Inspector General or designee is responsible for making final determinations under § 1206.701, within the time limits specified in subpart G of this part, concerning audit, inspection and investigative records originating in the Office of the Inspector General, records from outside the Government related to an audit, inspection or investigation, records prepared in response to a request from or addressed to the Office of the Inspector General, or other records originating within the Office of the Inspector General, after consultation with the General Counsel or designee on an appeal of an initial determination to the Inspector General.
(b) The Assistant Inspectors General or their designees are responsible for making initial determinations under subpart C concerning Office of Inspector General records originating in the Office of the Inspector General, records from outside the Government related to Office of Inspector General records prepared in response to a request from or addressed to the Office of the Inspector General, or other records originating with the Office of the Inspector General, after consultation with the Counsel to the Inspector General or designee.
(c) The Inspector General or designee is responsible for ensuring that requests for Agency records as specified in paragraphs (a) and (b) of this section are processed and initial determinations are made within the time limits specified in subpart D of this part.
(d) The Inspector General or designee is responsible for determining whether unusual circumstances exist under § 1206.403 that would justify extending the time limit for an initial or final determination, for records as specified in paragraphs (a) and (b) of this section.
(e) Records as specified in paragraphs (a) and (b) of this section include any records located at Regional and field Inspector General Offices, as well as records located at the Headquarters Office of the Inspector General.
(a) NASA Headquarters and each NASA Center have a FOIA Electronic Library on the Internet. The Electronic library addresses are located on the NASA FOIA homepage http://www.hq.nasa.gov/office/pao/FOIA/agency/
(b) In addition, a requester may submit a FOIA request electronically. The addresses are located on the NASA FOIA homepage under each Center link.
Employees of the National Aeronautics and Space Administration (NASA) should refer to the executive branch-wide Standards of Ethnical Conduct at 5 CFR part 2635, the NASA regulation at 5 CFR part 6901 which supplements the executive branch-wide standards with respect to prohibitions and prior approval requirements applicable to certain outside employment activities, the Office of Personnel Management provisions on employee responsibilities and conduct at 5 CFR part 735, and the executive branch-wide financial disclosure regulation at 5 CFR part 2634.
(a) Prohibition. Employees are prohibited by criminal statute, 18 U.S.C. 208(a), from participating personally and substantially in an official capacity in any particular matter in which, to their knowledge, they, or any person whose interests are imputed to them under the statute, have a financial interest, if the particular matter will have a direct and predictable effect on that interest.
(b) Specific waiver available. A NASA employee may request a waiver of this prohibition. NASA may grant a specific waiver of the prohibition only if the Agency determines that the employee's financial interest is not so substantial as to be deemed likely to affect the integrity of the employee's services. The waiver must be obtained before the employee participates in the matter.
(c) Officials authorized to make waiver determinations. (1) For the employees listed below, waivers must be approved by the Administrator or Deputy Administrator. No further delegation is authorized.
(i) Employees who are required by 5 CFR 2634.202 to file Public Financial Disclosure Reports;
(ii) Employees who are appointed under authority of section 203(c)(2) (“NASA Excepted Positions”) or section 203(c)(10) (“Alien Scientists”) of the National Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2473(c)(2) and 2473(c)(10));
(iii) Astronauts and astronaut candidates;
(iv) Chief Counsel; and
(v) Procurement Officers.
(2) For all other Headquarters employees, the Associate Administrator for Headquarters Operations may approve waivers of 18 U.S.C. 208. This authority may not be redelegated.
(3) For all other Center employees, the Center Director or Deputy Center Director may approve waivers of 18 U.S.C. 208. This authority may not be redelegated.
(d) Procedures for specific waiver. The employee's request for a waiver must be in writing. The request must describe the particular matter involved, the relevant duties of the employee, and the exact nature and amount of the disqualifying financial interest.
(1) Headquarters employees. (i) Those Headquarters employees described in paragraph (c)(1) of this section must submit their requests to the Official-in-Charge of the Headquarters office in which they are employed and to the General Counsel for concurrence. The Official-in-Charge will then submit the request to the Administrator with recommendations on the proposed waiver.
(ii) Other Headquarters employees must submit their requests to the Associate General Counsel (General) for concurrence, and to the Associate Administrator for Headquarters Operations for approval.
(2) Center employees. (i) Those Center employees described in paragraph (c)(1) of this section must submit their requests to the Center Chief Counsel for concurrence and then to the Director of the Center where they are employed. The Center Director will provide the request, with recommendations, to the appropriate Enterprise Associate Administrator and to the General Counsel for review and submission to the Administrator.
(ii) Other Center employees must submit their requests to the Center Chief Counsel for concurrence, and then to their Center Director or Deputy Center Director for approval.
(3) Copies of approved waivers must be forwarded to the Associate Administrator for Human Resources and Education, the General Counsel, and the Office of Government Ethics.
(e) Cross-references. For regulations concerning general waiver guidance and exemptions under 18 U.S.C. 208, see 5 CFR part 2640.
(a) Designated Agency Ethics Official. The General Counsel of NASA is the Designated Agency Ethics Official and is delegated the authority to coordinate and manage NASA's ethics program as set forth in 5 CFR 2638.203.
(b) Alternate Designated Agency Ethics Official. The Associate General Counsel (General) is the Alternate Designated Agency Ethics Official.
(c) Deputy Ethics Officials. The following officials are designated as Deputy Ethics Officials:
(1) The Deputy General Counsel;
(2) The Associate General Counsel (General);
(3) The Senior Ethics Attorney assigned to the Associate General Counsel (General); and
(4) The Chief Counsel at each NASA Center and Component Facility.
(d) Agency Designee. As used in 5 CFR part 2635, the term “Agency Designee” refers to the following:
(1) For employees at NASA Headquarters, or for matters affecting employees Agencywide, the Associate Deputy Administrator, the Designated Agency Ethics Official, the Alternate Designated Agency Ethics Official, or the Chief of Staff; and
(2) For Center employees, the Center Director, who may delegate specific responsibilities of the Agency Designee to the Center Chief Counsel or to another official who reports directly to the Center Director.
(e) Cross-references. For regulations on the appointment, responsibilities, and authority of the Designated Agency Ethics Official, Alternate Designated Agency Ethics Official, and Deputy Ethics Officials, see 5 CFR part 2638. For the responsibilities of the Agency Designee, see 5 CFR part 2635.
This subpart provides guidance to former NASA government employees who are subject to the restrictions of Title V of the Ethics of Government Act of 1978, as amended, and who want to communicate scientific or technical information to NASA.
(a) Whenever a former government employee who is subject to the constraints of post-employment conflict of interest, 18 U.S.C. 207, wishes to communicate with NASA under the exemption in section 207(j)(5) for the making of a communication solely for the purpose of furnishing scientific or technological information, he or she shall state to the NASA employee contracted, the following information:
(1) That he or she is a former government employee subject to the post employment restrictions of 18 U.S.C. 207 (a), (c), or (d)—specify which;
(2) That he or she worked on certain NASA programs—enumerate which; and
(3) That the communication is solely for the purpose of furnishing scientific or technological information.
(b) If the former government employee has questions as to whether the communication comes within the scientific and technological exemption, he or she should contact the General Counsel, the designated agency ethics official.
Regulations and procedures for complying with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L. 91-646, 84 Stat. 1894, 42 U.S.C. 4601), as amended by the Surface Transportation and Uniform Relocation Assistance Act of 1987 (Title IV of Pub. L. 100-17, 101 Stat. 246-255, 42 U.S.C. 4601 note) are set forth in 24 CFR part 24.
This subpart continues in effect the Contract Adjustment Board (hereinafter referred to as “the Board”) to consider and dispose of requests for extraordinary contractual adjustments by contractors of the National Aeronautics and Space Administration (hereinafter referred to as NASA).
(a) The Act of August 28, 1958 (50 U.S.C. 1431-35) (hereinafter referred to as “the Act”), empowers the President to authorize departments and agencies exercising functions in connection with the national defense to enter into contracts or into amendments or modifications of contracts and to make advance payments, without regard to other provisions of law relating to the making, performance, amendment, or modification of contracts, whenever the President deems that such action would facilitate the national defense.
(b) Executive Order No. 10789, dated November 14, 1958 (23 FR 8897), authorizes the Administrator, NASA, to exercise the authority conferred by the Act and to prescribe regulations for the carrying out of such authority.
(c) Federal Acquisition Regulation (FAR), part 50, April 1, 1985, and NASA/FAR Supplement 84-2, part 18-50, October 19, 1984, establishes standards and procedures for the disposition of requests for extraordinary contractual adjustments by NASA contractors.
The Board was established on May 15, 1961, and is continued in effect by this regulation.
(a) The Board is authorized to act for and exercise the authority of the Administrator in cases involving request by NASA contractors for extraordinary contractual adjustments under the Act. Such authority will be exercised in accordance with the standards and procedures established by the Administrator, subject to such limitations as the Administrator may prescribe.
(b) The Board shall have the power to approve, authorize or direct any action, including the modification or release of any obligations, and to make determinations and findings which are necessary or appropriate for the conduct of its functions, and may adopt such rules of procedure as it considers desirable.
(c) The concurring vote of a majority of the total Board membership shall constitute an action of the Board. Decisions of the Board shall be final but the Board may reconsider and modify, correct or reverse any Board decision previously made.
The Board will consist of a chairperson and four other members, all of whom shall be appointed by the Administrator.
The General Counsel of NASA shall provide the Board with all necessary advice and assistance.
This subpart describes the functions, authority, and membership of the NASA Inventions and Contributions Board (hereafter referred to as “the Board”).
Pursuant to the authority of the National Aeronautics and Space Act of 1958 as amended (42 U.S.C. 2457(f) and 2458) and the Government Employees Incentive Awards Act of 1954 (5 U.S.C. 4501-6), the Board was established on December 4, 1958, and is further continued in effect by this subpart 4.
(a) Waiver of rights in inventions. Under the authority of 51 U.S.C. 20135(g) and pursuant to 14 CFR part 1245 subpart 1, the Board will receive and evaluate petitions for waiver of rights of the United States to inventions, accord each interested party an opportunity for a hearing, and transmit to the Administrator its findings of fact as to such petitions and its recommendations for action to be taken with respect thereto.
(b) Monetary awards for scientific and technical contributions. (1) Under the authority of 51 U.S.C. 20136 and pursuant to 14 CFR part 1240, the Board will receive and evaluate each application for award for any scientific or technical contribution to the Administration which is determined to have significant value in the conduct of aeronautical and space activities, will accord each applicant an opportunity for a hearing upon such application, and will then transmit to the Administrator its recommendation as to the amount of the monetary award and the terms of the award, if any, to be made for such contribution.
(2) If the contribution is made by a Government employee, the Board is also authorized to consider such contribution for award under the Incentive Awards Program and to make an award, if any, on its own cognizance, up to the amount of $10,000, in accordance with NASA supplements to Chapter 451 of the Federal Personnel Manual covering this subject.
The Board shall be established within an office or department of NASA as designated by the Administrator.
(a) The Board will consist of a full-time Chairperson and at least six members appointed by the Administrator from within NASA. One of the members will be designated by the Chairperson as Vice-Chairperson. The Chairperson is responsible directly to the Administrator.
(b) The Chairperson of the Board is appointed for an unlimited period. All other Board members normally will be appointed initially for a period of 3 years. The Chairperson is authorized to extend the initial appointment of any Board member for an additional period of service. If a member resigns or is otherwise unable to participate in the Board's activities, a replacement may be appointed for the remainder of the uncompleted term and, with the approval of the Chairperson, may be appointed for a full 3-year term upon the expiration of the original term. This procedure will provide the Board with a continual infusion of new members with a variety of professional backgrounds and interests. Duties performed by the members of the Board will be in addition to their regular duties.
(c) The Chairperson is authorized to:
(1) Assemble the Board as required to discharge the duties and responsibilities of the Board;
(2) Establish such panels as may be considered necessary to discharge the responsibilities and perform the functions of the Board; and
(3) Issue implementing rules and procedures, and take such other actions as are necessary to perform the Board's functions.
(a) The staff of the Board is established to assist the Board in discharging its functions and responsibilities. The staff will:
(1) Prepare analyses of petitions for waiver of rights to inventions for the consideration of the Board;
(2) Prepare evaluation of proposed awards;
(3) Document Board actions; and
(4) Perform such other functions as may be required.
(b) A full-time director of the staff will serve as a nonvoting member of the Board, and will direct the activities of the staff of the Board.
(c) The director of the staff of the Board will report to the Chairperson of the Board.
This part 1212 implements the Privacy Act of 1974, as amended (5 U.S.C. 552a). It establishes procedures for individuals to access their Privacy Act records and to request amendment of information in records concerning them. It also provides procedures for administrative appeals and other remedies. This part applies to systems of records located at or under the cognizance of NASA Headquarters, NASA Field Centers, and NASA Component Installations, as defined in part 1201 of this chapter.
For the purposes of this part, the following definitions shall apply in addition to definitions contained in the Privacy Act of 1974, as amended (5 U.S.C. 552a):
(a) The term individual means a living person who is either a citizen of the United States or an alien lawfully admitted for permanent residence.
(b) The term maintain includes maintain, collect, use or disseminate.
(c) The term record means any item, collection, or grouping of information about an individual including, but not limited to, education, financial transactions, medical history, and criminal or employment history, and that contains a name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph.
(d) The term system of records means a group of any records from which information is retrieved by the name of the individual or by some identifying number, symbol or other identifying particular assigned to the individual.
(e) The term system manager means the NASA official who is responsible for a system of records as designated in the system notice of that system of records published in the
(f) The term systems notice means, with respect to a system of records the publication of information in the
(g) The term routine use means, with respect to the disclosure of a record, the use of the record for a purpose which is compatible with the purpose for which it was collected.
(h) The term NASA employee or NASA official, particularly for the purpose of § 1212.203(g) relates to the disclosure of a record to those who have a need for the record in the performance of their official duties, includes employees of a NASA contractor which operates or maintains a NASA system of records for or on behalf of NASA.
The procedures outlined in this subpart 1212.2 apply to the following types of requests made by individuals under the Privacy Act concerning records about themselves:
(a) To determine if information on the requester is included in a system of records;
(b) For access to a record under 5 U.S.C. 552a(d)(1); and
(c) For an accounting of disclosures of the individual's Privacy Act records under 5 U.S.C. 552a(c)(3).
(a) Individuals may request access to their Privacy Act records, either in person, in writing, or electronically.
(b) Individuals may also authorize a third party to have access to their Privacy Act records. This authorization shall be in writing, signed by the individual, or submitted electronically. Requests must contain the individual's address or email address, as well as the name, address or email address of the representative being authorized access. The identities of both the subject individual and the representative must be verified in accordance with the procedures set forth in § 1212.202.
(c)(1) In-person or written requests must be directed to the appropriate system manager, or, if unknown, to the Center Privacy Manager or Freedom of Information Act (FOIA) Office at NASA Headquarters or Field Center. The request should be identified clearly on the envelope and on the letter as a “Request Under the Privacy Act.”
(2) Electronic requests may be initiated online at https://www.nasa.gov/about/highlights/HP_Privacy.html.
(3) Where possible, requests should contain the following information to ensure timely processing:
(i) Name and address of subject.
(ii) Email address of subject, for electronic requests only.
(iii) Identity of the system of records.
(iv) Nature of the request.
(v) Identifying information specified in the applicable system notice to assist in identifying the request, such as location of the record, if known, full name, birth date, time periods in which the records are believed to have been compiled, etc.
(d) NASA has no obligation to comply with a nonspecific request for access to information concerning an individual, e.g., a request to provide copies of “all information contained in your files concerning me,” although a good faith effort will be made to locate records if there is reason to believe NASA has records on the individual. If the request is so incomplete or incomprehensible that the requested record cannot be identified, additional information or clarification will be requested in the acknowledgement, and assistance to the individual will be offered as appropriate.
(e) If the Center Privacy Manager receives a request for access, the Privacy Manager will record the date of receipt and immediately forward the request to the responsible system manager for handling.
(f) If the Center FOIA Office receives a first party request for records or access, the FOIA Office will process the request under the Privacy Act pursuant to this part.
(g) Normally, the system manager shall respond to a request for access within 10 business days of receipt of the request and the access shall be provided within 30 business days of receipt.
(1) In response to a request for access, the system manager or Privacy Act Officer shall:
(i) Notify the requester that there is no record on the individual in the system of records and inform the requester of the procedures to follow for appeal (see § 1212.4);
(ii) Notify the requester that the record is exempt from disclosure, cite the appropriate exemption, and inform the requester of the procedures to follow for appeal (see § 1212.4);
(iii) Upon request, promptly provide copies of the record, subject to the fee requirements (see § 1212.204); or
(iv) Make the individual's record available for personal inspection in the presence of a NASA representative.
(2) Unless the system manager agrees to another location, personal inspection of the record shall be at the location of the record as identified in the system notice.
(3) When an individual requests records in a system of records maintained on a third party, the request shall be processed as a FOIA request under 14 CFR part 1206. If the records requested are subject to release under FOIA (5 U.S.C. 552(b)), then a Privacy Act exemption may not be invoked to deny access.
(4) When an individual requests records in a system of records maintained on the individual, the request shall be processed under this part. NASA will not rely on exemptions contained in FOIA to withhold any record which is otherwise accessible to the individual under this part.
(a) The system manager will release records to the requester or representative in person only upon production of satisfactory identification which includes the individual's name, signature, and photograph or physical description.
(b) The system manager will release records to the requester or representative electronically via a NASA provided temporary secure storage space, after the identities of both are validated by the Agency's identity authorization process.
(c) The system manager will release copies of records by mail only when the circumstances indicate that the requester and the subject of the record are the same. The system manager may require that the requester's signature be notarized or witnessed by two individuals unrelated to the requester.
(d) Identity procedures more stringent than those required in this section may be prescribed in the system notice when the records are medical or otherwise sensitive.
(a) The system manager shall keep a disclosure accounting for each disclosure to a third party of a record from a system of records. This includes records disclosed pursuant to computer matching programs.
(b) Disclosure accountings are not required but are recommended for disclosures made:
(1) With the subject individual's consent; or
(2) In accordance with § 1212.203(f) (1) and (2), below.
(c) The disclosure accounting required by paragraph (a) of this section shall include:
(1) The date, nature, and purpose of the disclosure; and
(2) The name and address of the recipient person or Agency.
(d) The disclosure accounting shall be retained for at least 5 years after the disclosure or for the life of the record, whichever is longer.
(e) The disclosure accounting maintained under the requirements of this section is not itself a system of records.
(f) Records in a NASA system of records may not be disclosed to third parties without the consent of the subject individual. However, in consonance with 5 U.S.C. 552a(b), disclosure may be authorized without consent, if disclosure would be:
(1) To an officer or employee of NASA who has a need for the record in the performance of official duties;
(2) Required under the Freedom of Information Act (5 U.S.C. 552) and part 1206 of this chapter;
(3) For a routine use described in the system notice for the system of records;
(4) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of Title 13, U.S. Code;
(5) To a recipient who has provided NASA with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
(6) To the National Archives and Records Administration as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government or for evaluation by the Archivist of the United States or the Archivist's designee to determine whether the record has such value;
(7) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity, if the activity is authorized by law and if the head of the agency or instrumentality has made a written request to NASA specifying the particular portion desired and the law enforcement activity for which the record is sought;
(8) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if upon such disclosure notification is transmitted to the last known address of such individual;
(9) To either House of Congress or, to the extent the matter is within its jurisdiction, any committee or subcommittee, or any joint committee of Congress or subcommittee of any such joint committee;
(10) To the Comptroller General, or any of the Comptroller's authorized representative(s), in the course of the performance of the duties of the General Accounting Office;
(11) Pursuant to the order of a court of competent jurisdiction; or
(12) To a consumer reporting agency in accordance with section 3711(f) of Title 31.
(a) Fees will not be charged for:
(1) Search for a retrieval of the requesting individual's records;
(2) Review of the records;
(3) Making a copy of a record when it is a necessary part of the process of making the record available for review;
(4) Transportation of the record(s);
(5) Making a copy of an amended record to provide evidence of the amendment; or
(6) Copies of records if this is determined to be in the best interest of the Government.
(b) Fees for the hard-copy duplication of records will be assessed in accordance with § 1206.700(a) of this chapter.
(c) Where it appears that duplication fees chargeable under this section will exceed $25, the requester shall be provided an estimate of the fees before copies are made. Where possible, the requester will be afforded the opportunity to confer with Agency personnel in a manner which will reduce the fees, yet still meet the needs of the requester.
(d) Where the anticipated fee chargeable under this section exceeds $25, an advance deposit of part or all of the anticipated fee may be required.
(a) The NASA Administrator has determined that the systems of records set forth in § 1212.501 are exempt from disclosure to the extent provided therein.
(b) Medical records. Normally, an individual's medical record shall be disclosed to the individual, unless the system manager, in consultation with a medical doctor, determines that access to the record could have an adverse effect upon the individual. In this case, NASA shall allow access to the record by a medical doctor designated in writing by the requesting individual.
(c) Test and qualification materials. Testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal service the disclosure of which would compromise the objectivity or fairness of the testing or examination process and copies of certificates of eligibles and other lists of eligibles, the disclosure of which is proscribed by 5 CFR 300.201, shall be removed from an individual's record containing such information before granting access.
(d) Information compiled for civil actions or proceedings. Nothing in this part shall allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding.
Individuals may request that NASA amend their records maintained in a NASA system of records under the provisions of 5 U.S.C. 552a(d)(2). This request shall be in writing, addressed to the appropriate system manager, and shall contain the following:
(a) A notation on the envelope and on the letter that it is a “Request for Amendment of Individual Record under the Privacy Act;”
(b) The name of the system of records;
(c) Any information necessary to retrieve the record, as specified in the system notice for the system of records (See § 1212.201(c)(2));
(d) A description of that information in the record which is alleged to be inaccurate, irrelevant, untimely, or incomplete; and,
(e) Any documentary evidence or material available to support the request.
(a) Within 10 work days of receipt by NASA of a request to amend a record, the system manager shall provide the requester with a written determination or acknowledgement advising when action may be taken.
(b) When necessary, NASA may utilize up to 30 work days after receipt to provide the determination on a request to amend a record.
(c) If the request for amendment is denied, the determination shall explain the reasons for the denial and inform the requester of the procedures to follow for appeal (See § 1212.4)).
NASA shall make the requested amendment clearly on the record itself and all information deemed to be inaccurate, irrelevant, or untimely shall be deleted and destroyed. Incomplete information shall either be amended or deleted and destroyed. The individual shall then be informed in writing that the amendment has been made. If the inaccurate, irrelevant, untimely, or incomplete portion of the record has previously been disclosed, then the system manager shall notify those persons or agencies of the amended information, referencing the prior disclosures (See § 1212.402).
(a) Individuals may appeal when they:
(1) Have requested amendment of a record and have received an adverse initial determination;
(2) Have been denied access to a record; or,
(3) Have not been granted access within 30 work days of their request.
(b) The Associate Administrator or designee is responsible for making final determinations of appeals as specified in paragraphs (a)(1) through (3) of this section for all Agency records, with the exception of those records originating in the Office of the Inspector General for which the Inspector General is responsible for making final determinations of appeals.
(c) An appeal shall:
(1) Be in writing and addressed to the Associate Administrator, NASA, Washington, DC 20546 or to the Inspector General, NASA Headquarters, Washington, DC 20546, for records as specified in paragraph (b) of this section;
(2) Be identified clearly on the envelope and in the letter as an “Appeal under the Privacy Act;”
(3) Include a copy of any pertinent documents; and
(4) State the reasons for the appeal.
(d) Appeals from adverse initial determinations or denials of access must be submitted within 30 work days of the date of the requester's receipt of the initial determination. Appeals involving failure to grant access may be submitted any time after the 30 work day period has expired (See § 1212.201(f)).
(e) A final determination on an appeal shall be made within 30 work days after its receipt by the Associate Administrator or Inspector General for appeals concerning records originating in the Office of the Inspector General, unless, for good cause shown, the Associate Deputy Administrator or Inspector General extends such 30 work day period. Prior to the expiration of the 30 work day period, the requester shall be notified of any such extension.
(f) If a denial of a request to amend a record is upheld, the final determination shall:
(1) Explain the basis for the detail;
(2) Include information as to how the requester goes about filing a statement of dispute under the procedures of § 1212.401; and,
(3) Include a statement that the final determination is subject to judicial review under 5 U.S.C. 552a(g).
(a) A statement of dispute shall:
(1) Be in writing;
(2) Set forth reasons for the individual's disagreement with NASA's refusal to amend the record;
(3) Be concise;
(4) Be addressed to the system manager; and,
(5) Be identified on the envelope and in the letter as a “Statement of Dispute under the Privacy Act.”
(b) The system manager shall prepare an addendum to the statement explaining the basis for NASA's refusal to amend the disputed record. A copy of the addendum shall be provided to the individual.
(c) The system manager shall ensure that the statement of dispute and addendum are either filed with the disputed record or that a notation appears in the record clearly referencing the statement of dispute and addendum so that they may be readily retrieved.
(a) The system manager shall promptly provide persons or agencies to whom the disputed portion of a record was previously disclosed and for which an accounting of the disclosure exists under the requirements of § 1212.203 of this part, with a copy of the statement of dispute and addendum, along with a statement referencing the prior disclosure. The subject individual shall be notified as to those individuals or agencies which are provided with the statement of dispute and addendum.
(b) Any subsequent disclosure of a disputed record shall clearly note the portion of the record which is disputed and shall be accompanied by a copy of the statement of dispute and addendum.
(a) These provisions authorize the Administrator of NASA to exempt certain NASA Privacy Act systems of records from portions of the requirements of this regulation.
(b) The Administrator has delegated this authority to the Associate Administrator (See § 1212.701).
(c) For those NASA systems of records that are determined to be exempt, the system notice shall describe the exemption and the reasons.
The Administrator has determined that the following systems of records are exempt to the extent provided hereinafter.
(a) Inspector General Investigations Case Files—(1) Sections of the Act from which exempted. (i) The Inspector General Investigations Case Files system of records is exempt from all sections of the Privacy Act (5 U.S.C. 552a) except the following sections: (b) relating to conditions of disclosure; (c) (1) and (2) relating to keeping and maintaining a disclosure accounting; (e)(4) (A) through (F) relating to publishing a system notice setting forth name, location, categories of individuals and records, routine uses, and policies regarding storage, retrievability, access controls, retention and disposal of the records; (e) (6), (7), (9), (10), and (11) relating to dissemination and maintenance of records, and (i) relating to criminal penalties. This exemption applies to those records and information contained in the system of records pertaining to the enforcement of criminal laws.
(ii) To the extent that noncriminal investigative files may exist within this system of records, the Inspector General Investigations Case Files system of records is exempt from the following sections of the Privacy Act (5 U.S.C. 552a): (c)(3) relating to access to the disclosure accounting, (d) relating to access to records, (e)(1) relating to the type of information maintained in the records; (e)(4) (G), (H), and (I) relating to publishing the system notice information as to agency procedures for access and amendment and information as to the categories of sources or records, and (f) relating to developing agency rules for gaining access and making corrections.
(2) Reason for exemptions. (i) The Office of Inspector General is an office of NASA, a component of which performs as its principal function activity pertaining to the enforcement of criminal laws, within the meaning of 5 U.S.C. 552a(j)(2). This exemption applies only to those records and information contained in the system of records pertaining to criminal investigations. This system of records is exempt for one or more of the following reasons:
(A) To prevent interference with law enforcement proceedings.
(B) To avoid unwarranted invasion of personal privacy, by disclosure of information about third parties, including other subjects of investigation, investigators, and witnesses.
(C) To protect the identity of Federal employees who furnish a complaint or information to the OIG, consistent with section 7(b) of the Inspector General Act of 1978, as amended, 5 U.S.C. App.
(D) To protect the confidentiality of non-Federal employee sources of information.
(E) To assure access to sources of confidential information, including that contained in Federal, State, and local criminal law enforcement information systems.
(F) To prevent disclosure of law enforcement techniques and procedures.
(G) To avoid endangering the life or physical safety of confidential sources and law enforcement personnel.
(ii) Investigative records within this system of records which are compiled for law enforcement purposes, other than material within the scope of subsection (j)(2), are exempt under the provisions of 5 U.S.C. 552a(k)(2): Provided, however, That if any individual is denied any right, privilege, or benefit that they would otherwise be entitled by Federal law, or for which they would otherwise be eligible, as a result of the maintenance of such material, such material shall be provided to such individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to January 1, 1975, under an implied promise that the identity of the sources would be held in confidence. This system of records is exempt for one or more of the following reasons:
(A) To prevent interference with law enforcement proceedings.
(B) To protect investigatory material compiled for law enforcement purposes.
(C) To avoid unwarranted invasion of personal privacy, by disclosure of information about third parties, including other subjects of investigation, law enforcement personnel, and sources of information.
(D) To fulfill commitments made to protect the confidentiality of sources.
(E) To protect the identity of Federal employees who furnish a complaint or information to the OIG, consistent with section 7(b) of the Inspector General Act of 1978, as amended, 5 U.S.C. App.
(F) To assure access to sources of confidential information, including that contained in Federal, State, and local criminal law enforcement information systems.
(G) To prevent disclosure of law enforcement techniques and procedures.
(H) To avoid endangering the life or physical safety of confidential sources and law enforcement personnel.
(iii) Records within this system of records comprised of investigatory material compiled solely for the purpose of determining suitability or eligibility for Federal civilian employment or access to classified information, are exempt under the provisions of 5 U.S.C. 552a(k)(5), but only to the extent that disclosure would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence. This system of records is exempt for one or more of the following reasons:
(A) To fulfill commitments made to protect the confidentiality of sources.
(B) To assure access to sources of confidential information, including that contained in Federal, State, and local criminal law enforcement information systems.
(b) Security Records System—(1) Sections of the Act from which exempted. The Security Records System is exempted from the following sections of the Privacy Act (5 U.S.C. 552a): (c)(3) relating to access to the disclosure accounting; (d) relating to access to the records; (e)(1) relating to the type of information maintained in the records; (e)(4) (G), (H), and (I) relating to publishing the system notice information as to agency procedures for access and amendment, and information as to the categories of sources of records; and (f) relating to developing Agency rules for gaining access and making corrections.
(2) Reason for exemption. (i) Personnel Security Records contained in the system of records which are compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information are exempt under the provisions of 5 U.S.C. 552a(k)(5), but only to the extent that the disclosure of such material would reveal the identity of the source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to January 1, 1975, under an implied promise that the identity of the sources would be held in confidence. This system of records is exempt for one or more of the following reasons:
(A) To fulfill commitments made to protect the confidentiality of sources.
(B) To assure access to sources of confidential information, including that contained in Federal, State, and local criminal law enforcement information systems.
(ii) Criminal Matter Records are contained in the system of records and are exempt under the provisions of 5 U.S.C. 552a(k)(2): Provided, however, That if any individual is denied any right, privilege, or benefit that they would otherwise be entitled by Federal law, or for which they would otherwise be eligible, as a result of the maintenance of such material, such material shall be provided to such individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to January 1, 1975, under an implied promise that the identity of the sources would be held in confidence. This system of records is exempt for one or more of the following reasons:
(A) To prevent interference with law enforcement proceedings.
(B) To protect investigatory material compiled for law enforcement purposes.
(C) To avoid unwarranted invasion of personal privacy, by disclosure of information about third parties, including other subjects of investigation, law enforcement personnel, and sources of information.
(D) To fulfill commitments made to protect the confidentiality of sources.
(E) To assure access to sources of confidential information, including that contained in Federal, State, and local criminal law enforcement information systems.
(F) To prevent disclosure of law enforcement techniques and procedures.
(G) To avoid endangering the life or physical safety of confidential sources and law enforcement personnel.
(iii) The system of records includes records subject to the provisions of 5 U.S.C. 552(b)(1) (required by Executive order to be kept secret in the interest of national defense or foreign policy), and such records are exempt under 5 U.S.C. 552a(k)(1).
(c) Harassment Report Case Files—(1) Sections of the Act from which exempted. Harassment Report Case Files records are exempt under 5 U.S.C. 552a(k)(2) from the following sections of the Privacy Act (5 U.S.C. 552a): subsection (c)(3) relating to access to the disclosure accounting; subsection (d) relating to access to the records; subsection (e)(1) relating to the type of information maintained in the records; subsections (e)(4)(G), (H), and (I) relating to publishing in the annual system notice information as to agency procedures for access and correction and information as to the categories of sources of records; and subsection (f) relating to developing agency rules for gaining access and making corrections.
(2) Reason for exemption—(i) Subsection (c)(3). The release of the disclosure accounting to the individual who is the subject of the investigation/fact-finding would present a serious impediment to NASA's ability to conduct fact-findings into potential violations of law or policy.
(ii) Subsection (d). Access to records contained in this system would inform the subject of an actual or potential investigation, of the existence of that investigation, of the nature and scope of the investigation, of the information and evidence obtained as to their activities, and of the identity of witnesses. Such access would impede a fact-finder/investigator's ability to freely investigate such cases, including concerns that some witnesses have been promised confidentiality and would not want their statements provided to the subject of the investigation. Amendment of the records would interfere with the ongoing fact-finding process.
(iii) Subsection (e)(1). Under the provision of (e)(1), the agency must only maintain such information that is relevant and necessary. It is difficult to know during the course of an investigation what is relevant and necessary. In this connection, facts or evidence may not seem relevant at first, but later in the investigation, their relevance is borne out.
(iv) Subsections (e)(4)(G) and (H). These subsections are inapplicable to the extent that these systems are exempt from the access provisions of subsection (d) and the rules provisions of subsection (f).
(v) Subsection (e)(4)(I). The categories of sources of the records in these systems have been published in the
(vi) Subsection (f). Procedures for notice to an individual pursuant to subsection (f)(1) as to existence of records pertaining to the individual dealing with an actual or potential criminal, civil, or regulatory investigation or prosecution must be exempted because such notice to an individual would be detrimental to the successful conduct and/or completion of an investigation or case, pending or future. In addition, mere notice of the fact of an investigation could inform the subject or others that their activities are under investigation or may become the subject of an investigation and could enable the subjects to avoid detection, to influence witnesses improperly, to destroy evidence, or to fabricate testimony. Since an exemption is being claimed for subsection (d) of the Act, the rules required pursuant to subsections (f)(2) through (5) are inapplicable to these systems of records to the extent that these systems of records are exempted from subsection (d).
(3) Determination. NASA has determined that the exemption of this system of records from subsections (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act is necessary for the Agency's law enforcement efforts to address and eradicate harassment in its workplace.
In compliance with the Privacy Act and in accordance with the requirements and procedures of this regulation, NASA has an obligation to:
(a) Advise individuals, when requested, as to whether any specific system of records maintained by NASA contains records pertaining to them;
(b) Prevent records being maintained by NASA in a system of records for a specific purpose from being used or made available for another purpose without the individual's consent; and,
(c) Permit individuals to have access to information about themselves in a NASA system of records, to have a copy made, and, if appropriate under subpart 1212.3 of this part, to amend the records.
(a) In maintaining systems of records, NASA shall:
(1) Maintain any record in a system of records for necessary and lawful purposes only, assure that the information is current and accurate for its intended use, and provide adequate safeguards to prevent misuse of the information.
(2) Maintain only information about an individual relevant and necessary to accomplish a purpose or to carry out a function of NASA authorized by law or by Executive order of the President.
(3) Maintain records used by NASA officials in making any determination about any individual with such accuracy, relevance, timeliness, and completeness reasonably necessary to assure fairness to the individual in making the determination.
(4) Maintain no record describing how an individual exercises rights guaranteed by the First Amendment unless expressly authorized by statute, by the individual about whom the record is maintained or unless pertinent to and within the scope of an authorized law enforcement activity.
(5) Maintain and provide access to records of other agencies under NASA's control consistent with the regulations of this part.
(b) Any system of records maintained by NASA which is in addition to or substantially different from a Governmentwide systems of records described in a systems notice published by another agency shall be regarded as a NASA system of records subject to the requirements of this part.
(c) NASA shall provide adequate advance notice to Congress and OMB of any proposal to establish a new system of records or alter any existing system of records as prescribed by OMB Circular No. A-130, appendix I.
In collecting information for systems of records, the following requirements shall be met:
(a) Information shall be collected to the greatest extent practicable directly from the subject individual when the information may result in adverse determinations about an individual's rights, benefits, and privileges under Federal programs. Exceptions to this policy may be made under certain circumstances, such as one of the following:
(1) There is a need to verify the accuracy of the information supplied by an individual.
(2) The information can only be obtained from a third party.
(3) There is no risk that information collected from third parties, if inaccurate, could result in an adverse determination to the individual concerned.
(4) Provisions are made to verify with the individual information collected from a third party.
(b) Each individual who is asked to supply information shall be informed of the following:
(1) The authority (whether granted by statute, or by Executive order of the President) for requesting the information;
(2) Whether disclosure is mandatory or voluntary;
(3) The intended official use of the information;
(4) The routine uses which may be made of the information, as published in the system notices;
(5) The effects, if any, on the individual of not providing all or any part of the requested information.
NASA will not sell, rent, or otherwise disclose an individual's name and address to anyone, unless otherwise specifically authorized by law. This is not to be construed to require the withholding of names and addresses otherwise permitted to be made public.
(a) It is unlawful for NASA to deny to individuals any rights, benefits, or privileges provided by law because of the individuals' refusal to disclose their social security numbers, except where:
(1) The disclosure is required by law; or
(2) The disclosure is from a system of records in existence and operating before January 1, 1975, and was required under statute or regulation adopted before that date to verify the identity of the individual(s).
(b) Any time individuals are requested to disclose their social security numbers, NASA shall indicate whether that disclosure is mandatory or voluntary, by what authority the numbers are requested, and what uses will be made of them.
(c) When sending physical mail, NASA will adhere to the following:
(1) Social Security account numbers shall not be visible on the outside of any package sent by mail.
(2) A document sent by mail may only include the Social Security account number of an individual if it is determined by the Administrator that the inclusion of a Social Security account number is necessary.
(3) The inclusion of a Social Security account number of an individual on a document sent by mail is necessary when—
(i) Required by law; or
(ii) Necessary to identify a specific individual and no adequate substitute is available.
(4) Social Security account numbers must be partially redacted in documents sent by mail whenever feasible.
(a) Safeguards appropriate for a NASA system of records shall be developed by the system manager in a written plan approved by the Center Security Officer or Center Information Technology Security Officer for electronic records maintained in automated systems. Safeguards must insure the security and confidentiality of records and protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained.
(b) When records or copies of records are distributed within NASA they shall be prominently identified as records protected under the Privacy Act and shall be subject to the same safeguard, retention, and disposition requirements applicable to the system of records.
(c) When records or copies of records are distributed to other Federal agencies, other than those having custody of the systems of records, they shall be prominently identified as records protected under the Privacy Act.
(d) Records that are otherwise required by law to be released to the public need not be safeguarded or identified as Privacy Act records.
(a) NASA officials may maintain and use, for official purposes, duplicate copies of records or portions of records from a system of records maintained by their own organizational unit. This practice should occur only where there are justifiable organizational needs for it, e.g., where geographic distances make use of the system of records time consuming or inconvenient. These duplicate copies shall not be considered a separate NASA system of records. For example, an office head or designee may keep duplicate copies of personnel, training, or similar records on employees within the organization for administrative convenience purposes.
(b) No disclosure shall be made from duplicate copies outside of the organizational unit. Any outside request for disclosure shall be referred to the appropriate system manager for response.
(c) Duplicate copies are subject to the same safeguard requirements applicable to the system of records.
(a) Each NASA employee is responsible for adhering to the requirements of the Privacy Act and this regulation.
(b) An employee shall not seek or obtain access to a record in a NASA system of records or to copies of any portion of such records under false pretenses. Only those employees with an official “need to know” may seek and obtain access to records pertaining to others.
(c) Employees shall refrain from discussing or disclosing personal information about others which they have obtained because of their official need to know such information in the performance of official duties.
(d) To the extent included in a contract which provides for the maintenance by or on behalf of NASA of a system of records to accomplish a function of NASA, the requirements of this section shall apply to contractor employees who work under the contract.
The Associate Administrator is responsible for:
(a) Making final Agency determinations on appeals (§ 1212.400), except on those related to records originating in the Office of the Inspector General;
(b) Authorizing exemptions from one or more provisions of the Privacy Act for NASA systems of records (See § 1212.500); and,
(c) Authorizing an extension for making a final determination on an appeal (§ 1212.400(d)), except for an appeal related to records originating in the Office of the Inspector General.
The Inspector General is responsible for:
(a) Making final Agency determinations on appeals related to records originating with the Office of the Inspector General (§ 1212.400), and
(b) Authorizing an extension for making a final determination on an appeal related to records originating with the Office of the Inspector General (§ 1212.400(e)).
(a) The NASA Chief Information Officer is responsible for the following:
(1) Providing overall supervision and coordination of NASA's policies and procedures under this regulation;
(2) Approving system notices for publication in the
(3) Assuring that NASA employees and officials are informed of their responsibilities and that they receive appropriate training for the implementation of these requirments; and,
(4) Preparing and submitting the biennial report on implementation of the Privacy Act to OMB and special reports required under this regulation, including establishing appropriate reporting procedures in accordance with OMB Circular No. A-130.
(b) The Chief Information Officer may establish a position of ‘NASA Privacy Act Officer,’designate someone to function as such an officer, and delegate to that officer any of the functions described in paragraph (a) of this section.
(a) Officials-in-Charge of Headquarters Offices, Directors of NASA Field Centers and Officials-in-Charge of Component Facilities are responsible for the following with respect to those systems of records maintained in their organization:
(1) Avoiding the establishment of new systems of records or new routine uses of a system of records without first complying with the requirements of this regulation;
(2) Ensuring that the requirements of this regulation and the Privacy Act are followed by employees;
(3) Ensuring that there is appropriate coordination within NASA before a determination is made to disclose information without the individual's consent under authority of 5 U.S.C. 552a(b) (See § 1212.203(f)); and
(4) Providing appropriate oversight for responsibilities and authorities exercised by system managers under their jurisdiction (§ 1212.705).
(5) Establish a position of Center Privacy Manager to assist in carrying out the responsibilities listed in this section.
(b) [Reserved]
(a) Each system manager is responsible for the following with regard to the system of records over which the system manager has cognizance:
(1) Overall compliance with this part, NASA Policy Directive (NPD) 1382.17 and NASA Procedural Requirements (NPR) 1382.1.
(2) Ensuring that each person involved in the design, development, operation, or maintenance of the system of records is instructed with respect to the requirements of this regulation and the possible penalties for noncompliance;
(3) Submitting a request to the Associate Administrator for an exemption of the system under subpart 1212.5 of this part, setting forth in proposed rulemaking form the reasons for the exemption and citing the specific provision of the Privacy Act which is believed to authorize the exemption;
(4) After consultation with the Office of the General Counsel or the Chief Counsel, making reasonable efforts to serve notice on an individual when any record on such individual is made available to any person under compulsory legal process when such process becomes a matter of public record;
(5) Making an initial determination on an individual's request to correct or amend a record, in accordance with § 1212.302;
(6) Prior to disclosure of any record about an individual, assuring that the record is first reviewed for accuracy, completeness, timeliness, and relevance;
(7) Authorizing disclosures of a record without the individual's consent under § 1212.203(f)(1) through (12);
(8) Responding within the requirements of § 1212.200 to an individual's request for information as to whether the system contains a record pertaining to the individual;
(9) Responding to an individual's request for access and copying of a record, in accordance with subpart 1212.2 of this part;
(10) Amending a record under subpart 1212.3 of this part, or filing in an individual's record a statement of dispute;
(11) Preparing an addendum to an individual's statement of dispute to be filed in the individual's records, in accordance with § 1212.401;
(12) Maintaining disclosure accountings in accordance with 5 U.S.C. 552a(c) and § 1212.203 of this part. This includes records disclosed pursuant to any computer matching programs;
(13) Notifying persons to whom a record has been disclosed and for which an accounting was made as to disputes and corrections involving the record; and
(14) Developing appropriate safeguards for the system of records in accordance with § 1212.605(a).
(b) Where a system of records has subsystems described in the system notice, the subsystem manager will have the responsibilities outlined in paragraph (a) of this section. Although the system manager has no line authority over subsystem managers, the system manager does have overall functional responsibility for the total system, and may issue guidance to subsystem managers on implementation of this part. When furnishing information for required reports, the system manager will be responsible for reporting the entire system of records, including any subsystems.
(c) Exercise of the responsibilities and authorities in paragraph (a) of this section by any system or subsystem managers at a NASA Center shall be subject to any conditions or limitations imposed in accordance with § 1212.704(a)(4) and (5).
The Assistant Administrator for Procurement is responsible for developing appropriate procurement regulations and procedures under which NASA contracts requiring the maintenance of a system of records in order to accomplish a NASA function are made subject to the requirements of this part.
Authority necessary to carry out the responsibilities specified in this regulation is delegated to the officials named, subject to any conditions or limitations imposed in accordance with this subpart 1212.7.
Failure to comply with the requirements of the Privacy Act and this part could subject NASA to civil suit under the provisions of 5 U.S.C. 552a(g).
(a) A NASA officer or employee may be subject to criminal penalties under the provisions of 5 U.S.C. 552a(i) (1) and (2).
(1) Section 552a(i)(1). Any officer or employee of an agency, who by virtue of employment or official position, has possession of, or access to, agency records which contain individually identifiable information the disclosure of which is prohibited by this section or by rules or regulations established thereunder, and who knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, shall be guilty of a misdemeanor and fined not more than $5,000.
(2) Section 552a(i)(2). Any officer or employee of any agency who willfully maintains a system of records without meeting the notice requirements of subsection (e)(4) of this section shall be guilty of a misdemeanor and fined not more than $5,000.
(3) These two provisions apply to NASA civil service employees as well as those employees of a NASA contractor with responsibilities for maintaining a Privacy Act system of records.
(b) Section 552a(i)(3). Any person who knowingly and willfully requests or obtains any record concerning an individual from an agency under false pretenses shall be guilty of a misdemeanor and fined not more than $5,000.
This part sets forth policy governing the release of public information, which is defined as information in any form provided to news and information media, especially information that has the potential to generate significant media or public interest or inquiry. Examples include, but are not limited to, press releases, media advisories, news features, and Web postings. Not included under this definition are scientific and technical reports, Web postings designed for technical or scientific interchange, and technical information presented at professional meetings or in professional journals.
(a) This policy applies to NASA Headquarters, NASA Centers, and Component Facilities.
(b) In the event of any conflict between this policy and any other NASA policy, directive, or regulation, this policy shall govern and supersede any previous issuance or directive.
(c) The requirements of this part do not apply to the Office of Inspector General regarding its activities.
(a) NASA, a scientific and technical Agency, is committed to a culture of openness with the media and public that values the free exchange of ideas, data, and information as part of scientific and technical inquiry. Scientific and technical information from or about Agency programs and projects will be accurate and unfiltered.
(b) Consistent with NASA statutory responsibility, NASA will “provide for the widest practicable and appropriate dissemination of information concerning its activities and the results thereof.” Release of public information concerning NASA activities and the results of NASA activities will be made in a timely, equitable, accurate, and complete manner.
(c) To ensure timely release of information, NASA will endeavor to ensure cooperation and coordination among the Agency's scientific, engineering, and public affairs communities.
(d) In keeping with the desire for a culture of openness, NASA employees may, consistent with this policy, speak to the press and the public about their work.
(e) This policy does not authorize or require disclosure of information that is exempt from disclosure under the Freedom of Information Act (5 U.S.C. 552) or otherwise restricted by statute, regulation, Executive Order, or other Executive Branch policy or NASA policy (e.g., OMB Circulars, NASA Policy Directives). Examples of information not releasable under this policy include, without limitation, information that is, or is marked as, classified information, procurement sensitive information, information subject to the Privacy Act, other sensitive but unclassified information, and information subject to privilege, such as pre-decisional information or attorney-client communications.
(a) The Assistant Administrator for Public Affairs is responsible for developing and administering an integrated Agency-wide communications program, establishing Agency public affairs policies and priorities, and coordinating and reviewing the performance of all Agency public affairs activities. The Assistant Administrator will develop criteria to identify which news releases and other types of public information will be issued nationwide by NASA Headquarters. Decisions to release public information nationwide by NASA Headquarters will be made by the Assistant Administrator for Public Affairs or his/her designee.
(b) NASA's Mission Directorate Associate Administrators and Mission Support Office heads have ultimate responsibility for the technical, scientific, and programmatic accuracy of all information that is related to their respective programs and released by NASA.
(c) Under the direction of the Assistant Administrator for Public Affairs, Public Affairs Officers assigned to Mission Directorates are responsible for the timely and efficient coordination of public information covering their respective programs. This coordination includes review by appropriate Mission Directorate officials. It also includes editing by public affairs staff to ensure that public information products are well written and appropriate for the intended audience. However, such editing shall not change scientific or technical data or the meaning of programmatic content.
(d) Center Public Affairs Directors are responsible for implementing their portion of the Agency's communications program, adhering to Agency policies, procedures, and priorities, and coordinating their activities with Headquarters (and others where appropriate). They are responsible for the quality of public information prepared by Center Public Affairs Officers. They also are responsible for the day-to-day production of public information covering their respective Center activities, which includes obtaining the necessary Center concurrences and coordinating, as necessary, with the appropriate Headquarters Public Affairs Officers.
(e) Center Directors have ultimate responsibility for the accuracy of public information that does not require the concurrence of Headquarters. See § 1213.104(d).
(f) All NASA employees are required to coordinate, in a timely manner, with the appropriate Public Affairs Officers prior to releasing information that has the potential to generate significant media or public interest or inquiry.
(g) All NASA Public Affairs Officers are required to notify the appropriate Headquarters Public Affairs Officers, in a timely manner, about activities or events that have the potential to generate significant media or public interest or inquiry.
(h) All NASA public affairs employees are expected to adhere to the following code of conduct:
(1) Be honest and accurate in all communications.
(2) Honor publication embargoes.
(3) Respond promptly to media requests, and respect media deadlines.
(4) Act promptly to notify the public of, and correct, erroneous information, either internally or externally.
(5) Promote the free flow of scientific and technical information.
(6) Protect non-public information.
(i) All NASA employees are responsible for adhering to plans (including schedules) for activities established by public affairs offices and senior management for the coordinated release of public information.
(j) All NASA-funded missions will have a public affairs plan, approved by the Assistant Administrator for Public Affairs, which will be managed by Headquarters and/or a designated NASA Center.
(k) Public affairs activities for NASA-funded missions will not be managed by non-NASA institutions, unless authorized by the Assistant Administrator for Public Affairs.
(a) General. All NASA employees involved in preparing and issuing NASA public information are responsible for proper coordination among Headquarters and Center offices to include review and clearance by appropriate officials prior to issuance. Such coordination will be accomplished through procedures developed and published by the NASA Assistant Administrator for Public Affairs.
(b) Coordination. To ensure timely release of public information, Headquarters and Center Public Affairs Officers are required to coordinate to obtain review and clearance by appropriate officials, keep each other informed of changes, delays, or cancellation of releases, and provide advance notification of the actual release.
(c) All public information shall be coordinated through the appropriate Headquarters offices, including review by the appropriate Mission Directorate Associate Administrator and Mission Support Office head, or their designees, to ensure scientific, technical, and programmatic accuracy, and review by the Assistant Administrator for Public Affairs or his/her designee to ensure that public information products are well written and appropriate for the intended audience.
(d) Centers may, however, without the full coordination of Headquarters, issue public information that is institutional in nature, of local interest, or has been deemed not to be a Headquarters release. These releases must be coordinated through the appropriate Center offices and approved by the Center Director and Center Public Affairs Director. The Center Public Affairs Director is required to provide proper notification to the Office of Public Affairs, NASA Headquarters, prior to release. The Assistant Administrator for Public Affairs or his/her designee will determine which public information will be issued nationwide by NASA Headquarters and shall publish guidelines for the release of public information that may be issued by Centers without clearance from Headquarters offices.
(e) Dispute Resolution. Any dispute arising from a decision to proceed or not proceed with the issuance of a news release or other type of public information will be addressed and resolved by the Assistant Administrator for Public Affairs with the appropriate Mission Directorate Associate Administrator, Mission Support Office head, Center Director, and others, such as Center Public Affairs Directors, as necessary. However, the appropriate Mission Directorate Associate Administrator shall be the arbiter of disputes about the accuracy or characterization of programmatic, technical, or scientific information. Additional appeals may be made to the Chief of Strategic Communications and to the Office of the Administrator. When requested by a Center Public Affairs Director, an explanation of the resolution will be provided in writing to all interested Agency parties.
(a) Only spokespersons designated by the Assistant Administrator for Public Affairs, or his/her designee, are authorized to speak for the Agency in an official capacity regarding NASA policy, programmatic, and budget issues.
(b) In response to media interview requests, NASA will offer articulate and knowledgeable spokespersons who can best serve the needs of the media and the American public. However, journalists may have access to the NASA officials they seek to interview, provided those NASA officials agree to be interviewed.
(c) NASA employees may speak to the media and the public about their work. When doing so, employees shall notify their immediate supervisor and coordinate with their public affairs office in advance of interviews whenever possible, or immediately thereafter, and are encouraged, to the maximum extent practicable, to have a Public Affairs Officer present during interviews. If Public Affairs Officers are present, their role will be to attest to the content of the interview, support the interviewee, and provide post-interview follow up with the media, as necessary.
(d) NASA, as an Agency, does not take a position on any scientific conclusions. That is the role of the broad scientific community and the nature of the scientific process. NASA scientists may draw conclusions and may, consistent with this policy, communicate those conclusions to the media. However, NASA employees who present personal views outside their official area of expertise or responsibility must make clear that they are presenting their individual views—not the views of the Agency—and ask that they be sourced as such.
(e) Appropriated funds may only be used to support Agency missions and objectives consistent with legislative or presidential direction. Government funds shall not be used for media interviews or other communication activities that go beyond the scope of Agency responsibilities and/or an employee's official area of expertise or responsibility.
(f) Media interviews will be “on-the-record” and attributable to the person making the remarks, unless the interviewee is authorized to do otherwise by the Assistant Administrator for Public Affairs or Center Public Affairs Director, or their designees. Any NASA employee providing material to the press will identify himself/herself as the source.
(g) Audio recordings may be made by NASA with consent of the interviewee.
(h) NASA employees are not required to speak to the media.
(i) Public information volunteered by a NASA official will not be considered exclusive to any one media source and will be made available to other sources, if requested.
(a) Release of classified information in any form (e.g., documents, through interviews, audio/visual) to the news media is prohibited. The disclosure of classified information to unauthorized individuals may be cause for prosecution and/or disciplinary action against the NASA employee involved. Ignorance of NASA policy and procedures regarding classified information does not release a NASA employee from responsibility for preventing any unauthorized release. See NPR 1600.1, Chapter 5, Section 5.23 for internal NASA guidance on management of classified information. For further guidance that applies to all agencies, see Executive Order 12958, as amended, “Classified National Security Information,” and its implementing directive at 32 CFR parts 2001 and 2004.
(b) Any attempt by news media representatives to obtain classified information will be reported through the Headquarters Office of Public Affairs or Installation Public Affairs Office to the Installation Security Office and Office of Security and Program Protection.
(c) For classified operations and/or programs managed under the auspices of a DD Form 254, “Contract Security Classification Specification,” all inquiries concerning this activity will be responded to by the appropriate PAO official designated in Item 12 on the DD Form 254.
(d) For classified operations and/or information owned by other Government agencies (e.g., DOD, DOE), all inquiries will be referred to the appropriate Agency Public Affairs Officer as established in written agreements.
(a) All NASA SBU information requires accountability and approval for release. Release of SBU information to unauthorized personnel is prohibited. Unauthorized release of SBU information may result in prosecution and/or disciplinary action. Ignorance of NASA policy and procedures regarding SBU information does not release a NASA employee from responsibility for unauthorized release. See NPR 1600.1, Chapter 5, Section 5.24 for guidance on identification, marking, accountability and release of NASA SBU information.
(b) Examples of SBU information include: proprietary information of others provided to NASA under nondisclosure or confidentiality agreement; source selection and bid and proposal information; information subject to export control under the International Traffic in Arms Regulations (ITAR) or the Export Administration Regulations (EAR); information subject to the Privacy Act of 1974; predecisional materials such as national space policy not yet publicly released; pending reorganization plans or sensitive travel itineraries; and information that could constitute an indicator of U.S. Government intentions, capabilities, operations, or activities or otherwise threaten operations security.
(c) Upon request for access to information/material deemed SBU, coordination must be made with the information/material owner to determine if the information/material may be released. Other organizations that play a part in SBU information identification, accountability, and release (e.g., General Counsel, External Relations, Procurement) must be consulted for assistance and/or concurrence prior to release.
(d) Requests for SBU information from other Government agencies must be referred to the NASA program or other office responsible for handling the information as SBU.
(a) NASA's multimedia material, from all sources, will be made available to the information media, the public, and to all Agency Centers and contractor installations utilizing contemporary delivery methods and emerging digital technology.
(b) Centers will provide the media, the public, and as necessary, NASA Headquarters with:
(1) Selected prints and original or duplicate files of news-oriented imagery and other digital multimedia material generated within their respective areas.
(2) Selected video material in the highest quality format practical, which, in the opinion of the installations, would be appropriate for use as news feed material or features in pre-produced programs and other presentations.
(3) Audio and/or video files of significant news developments and other events of historic or public interest.
(4) Interactive multimedia features that can be incorporated into the Agency's Internet portal for use by internal and external audiences, including the media and the general public.
(5) To the extent practicable, these products will be in forms and media accessible to the public at large, as well as to specific user groups requesting them, if any.
(a) Releases of information involving NASA activities, views, programs, or projects involving another country or an international organization require prior coordination and approval by the Headquarters offices of External Relations and Public Affairs.
(b) NASA Centers and Headquarters offices will report all visits proposed by representatives of foreign news media to the Public Affairs Officer of the Office of External Relations for appropriate handling consistent with all NASA policies and procedures.
(a) This subpart sets forth policy and procedures with respect to International Space Station crewmembers provided by NASA for flight to the International Space Station.
(b) In order to provide for the safe operation, maintenance of order, and proper conduct of crew aboard the International Space Station, the January 29, 1998, Agreement Among the Government of Canada, Governments of Member States of the European Space Agency, the Government of Japan, the Government of the Russian Federation, and the Government of the United States of America Concerning Cooperation on the Civil International Space Station (hereinafter Agreement), which establishes and governs the International Space Station, requires the development and approval of a Code of Conduct for International Space Station crew. Pursuant to Article 11 of the Agreement, each International Space Station partner is obliged to ensure that crewmembers which it provides observe the Code of Conduct.
This subpart applies to all persons provided by NASA for flight to the International Space Station, including U.S. Government employees, uniformed members of the Armed Services, U.S. citizens who are not employees of the U.S. Government, and foreign nationals.
(a) All NASA-provided International Space Station crewmembers are subject to specified standards of conduct, including those prescribed in the Code of Conduct for the International Space Station Crew, set forth as § 1214.403. NASA-provided International Space Station crew members may be subject to additional standards and requirements, as determined by NASA, which will be made available to those NASA-provided crewmembers, as appropriate.
(1) NASA-provided International Space Station crewmembers who are not citizens of the United States will be required to enter into an agreement with NASA in which they agree to comply with specified standards of conduct, including those prescribed in the Code of Conduct for the International Space Station Crew (§ 1214.403). Any such agreement will be signed on behalf of NASA by the NASA General Counsel or designee.
(2) NASA-provided International Space Station crewmembers who are citizens of the United States but are not employees of the U.S. Government will be required to enter into an agreement with NASA in which they agree to comply with specified standards of conduct, including those prescribed in the Code of Conduct for the International Space Station Crew (§ 1214.403). Any such agreement will be signed on behalf of NASA by the NASA General Counsel or designee.
(3) NASA-provided International Space Station crewmembers who are employed by a branch, department, or agency of the U.S. Government may, as determined by the NASA General Counsel, be required to enter into an agreement with NASA to comply with specified standards of conduct, including those prescribed in the Code of Conduct for the International Space Station Crew (§ 1214.403). Any such agreement will be signed on behalf of NASA by the NASA General Counsel or designee.
(b) All NASA-provided personnel on board the International Space Station are additionally subject to the authority of the International Space Station Commander and shall comply with Commander's orders and directions.
The Code of Conduct for the International Space Station Crew, which sets forth minimum standards for NASA-provided International Space Station crewmembers, is as follows:
This Code of Conduct for the International Space Station (ISS) crew, hereinafter referred to as Crew Code of Conduct (CCOC), is established pursuant to:
(1) Article 11 (Crew) of the intergovernmental Agreement Among the Government of Canada, Governments of Member States of the European Space Agency, the Government of Japan, the Government of the Russian Federation, and the Government of the United States of America Concerning Cooperation on the Civil International Space Station (the IGA) signed by the Partner States on January 29, 1998; and
(2) Article 11 (Space Station Crew) of the Memoranda of Understanding between, respectively, the National Aeronautics and Space Administration of the United States of America (NASA) and the Canadian Space Agency (CSA), NASA and the European Space Agency (ESA), NASA and the Government of Japan (GOJ), and NASA and the Russian Space Agency (RSA) Concerning Cooperation on the Civil International Space Station (the MOU's), which require, inter alia, that the crew Code of Conduct be developed by the partners.
The partners have developed and approved this CCOC to: establish a clear chain of command on-orbit; establish a clear relationship between ground and on-orbit management; and establish a management hierarchy; set forth standards for work and activities in space, and, as appropriate, on the ground; establish responsibilities with respect to elements and equipment; set forth disciplinary regulations; establish physical and information security guidelines; and define the ISS Commander's authority and responsibility, on behalf of all the partners, to enforce safety procedures, physical and information security procedures and crew rescue procedures for the ISS. This CCOC and the disciplinary policy referred to in Section IV shall not limit the application of Article 22 of the IGA. This CCOC succeeds the NASA-RSA Interim Code of Conduct, which was developed pursuant to Article 11.2 of the MOU between NASA and RSA to cover early assembly prior to other partners' flight opportunities.
This CCOC sets forth the standards of conduct applicable to all ISS crewmembers during preflight, on-orbit, and post-flight activities, (including launch and return phases). ISS crewmembers are subject to additional requirements, such as the ISS Flight Rules, the disciplinary policy, and requirements imposed by their Cooperating Agency or those relating to the Earth-to-Orbit Vehicle (ETOV) transporting an ISS crewmember. Each ISS crewmember has a right to know about such additional requirements. ISS crewmembers will also abide by the rules of the institution hosting the training, and by standards and requirements defined by the Multilateral Crew Operations Panel (MCOP), the Multilateral Space Medicine Board (MSMB) and the Multilateral Medical Operations Panel (MMOP). Each ISS crewmember will be informed by the Cooperating Agency providing him or her of the responsibilities of ISS crewmembers under the IGA, the MOU's and this CCOC. Further, each ISS crewmember will be educated by the Cooperating Agency providing him or her through the crew training curriculum and normal program operations as to ISS program rules, operational directives and management policies. Completion of postflight activities shall not affect an ISS crewmember's continuing obligations under Section V of this CCOC.
For the purposes of the CCOC:
(1) “Cooperating Agency” means NASA, CSA, ESA, Rosaviakosmos (formerly RSA) and, in the case of Japan, the Science and Technology Agency of Japan (STA) and, as appropriate, the National Space Development Agency of Japan (NASDA), assisting agency to STA.
(2) “Crew Surgeon” means a Flight Surgeon assigned by the MMOP to any given expedition. He or she is the lead medical officer and carries primary responsibility for the health and well-being of the entire ISS crew.
(3) “Disciplinary policy” means the policy developed by the MCOP to address violations of the CCOC and impose disciplinary measures.
(4) “ETOV” means Earth-to-Orbit Vehicle travelling between Earth and the ISS.
(5) “Flight Director” means the Flight Director in control of the ISS.
(6) “Flight Rules” means the set of rules used by the Cooperating Agencies to govern flight operations.
(7) “ISS crewmembers” means any person approved for flight to the ISS, including both ISS expedition crew and visiting crew, beginning upon assignment to the crew for a specific and ending upon completion of the postflight activities related to the mission.
ISS Crewmembers shall comply with the CCOC. Accordingly, during preflight, on-orbit, and postflight activities, they shall comply with the ISS Commander's orders, all Flight and ISS program Rules, operational directives, and management policies, as applicable. These include those related to safety, health, well-being, security, and other operational or management matters governing all aspects of ISS elements, equipment, payloads and facilities, and non-ISS facilities, to which they have access. All applicable rules, regulations, directives, and policies shall be made accessible to ISS crewmembers through appropriate means, coordinated by the MCOP.
ISS Crewmembers' conduct shall be such as to maintain a harmonious and cohesive relationship among the ISS crewmembers and an appropriate level of mutual confidence and respect through an interactive, participative, and relationship-oriented approach which duly takes into account the international and multicultural nature of the crew and mission.
No ISS crewmember shall, by his or her conduct, act in a manner which results in or creates the appearance of: (1) Giving undue preferential treatment to any person or entity in the performance of ISS activities; and/or (2) adversely affecting the confidence of the public in the integrity of, or reflecting unfavorably in a public forum on, any ISS partner, partner state or Cooperating Agency.
ISS crewmembers shall protect and conserve all property to which they have access for ISS activities. No such property shall be altered or removed for any purpose other than those necessary for the performance of ISS duties. Before altering or removing any such property, ISS crewmembers shall first obtain authorization from the Flight Director, except as necessary to ensure the immediate safety of ISS crewmembers or ISS elements, equipment, or payloads.
ISS crewmembers shall refrain from any use of the position of ISS crewmember that is motivated, or has the appearance of being motivated, by private gain, including financial gain, for himself or herself or other persons or entities. Performance of ISS duties shall not be considered to be motivated by private gain. Furthermore, no ISS crewmember shall use the position of ISS crewmember in any way to coerce, or give the appearance of coercing, another person to provide any financial benefit to himself or herself or other persons or entities.
Each ISS crewmember may carry and store mementos, including flags, patches, insignia, and similar small items of minor value, onboard the ISS, for his or her private use, subject to the following:
(1) mementos are permitted as a courtesy, not an entitlement; as such they shall be considered as ballast as opposed to a payload or mission requirement and are subject to manifest limitations, on-orbit stowage allocations, and safety considerations;
(2) mementos may not be sold, transferred for sale, used or transferred for personal gain, or used or transferred for any commercial or fundraising purpose. Mementos which, by their nature, lend themselves to exploitation by the recipients, or which, in the opinion of the Cooperating Agency providing the ISS crewmember, engender questions as to good taste, will not be permitted.
An ISS crewmember's personal effects, such as a wristwatch, will not be considered mementos. Personal effects of any nature may be permitted, subject to constraints of mass/volume allowances for crew personal effects, approval of the ISS crewmember's Cooperating Agency, and approval of the transporting Cooperating Agency and considerations of safety and good taste.
If a Cooperating Agency carries and stores items onboard the ISS in connection with separate arrangements, these items will not be considered mementos of the ISS crewmembers.
The ISS Commander, as an ISS crewmember, is subject to the standards detailed elsewhere in this CCOC, in addition to the command-specific provisions set forth below:
The ISS Commander will seek to maintain a harmonious and cohesive relationship among the ISS crewmembers and an appropriate level of mutual confidence and respect through an interactive, participative, and relationship-oriented approach which duly takes into account the international and multicultural nature of the crew and mission.
For avoidance of doubt, nothing in this Section shall affect the ability of the MCOP to designate the national of any Partner State as an ISS Commander.
The ISS Commander is the leader of the crew and is responsible for forming the individual ISS crewmembers into a single, integrated team. During preflight activities, the ISS Commander, to the extent of his or her authority, leads the ISS crewmembers through the training curriculum and mission-preparation activities and seeks to ensure that the ISS crewmembers are adequately prepared for the mission, acting as the crew's representative to the ISS program's training, medical, operations, and utilization authorities. During postflight activities, the ISS Commander coordinates as necessary with these authorities to ensure that the ISS crewmembers complete the required postflight activities.
The ISS Commander is responsible for and will, to the extent of his or her authority and the ISS on-orbit capabilities, accomplish the mission program implementation and ensure the safety of the ISS crewmembers and the protection of the ISS elements, equipment, or payloads.
The ISS Commander's main responsibilities are to: (1) Conduct operations in or on the ISS as directed by the Flight Director and in accordance with the Flight Rules, plans and procedures; (2) direct the activities of the ISS crewmembers as a single, integrated team to ensure the successful completion of the mission; (3) fully and accurately inform the Flight Director, in a timely manner, of the ISS vehicle configuration, status, commanding, and other operational activities on-board (including off-nominal or emergency situations); (4) enforce procedures for the physical and information security of operations and utilization data; (5) maintain order; (6) ensure crew safety, health and well-being including crew rescue and return; and (7) take all reasonable action necessary for the protection of the ISS elements, equipment, or payloads.
During all phases of on-orbit activity, the ISS Commander, consistent with the authority of the Flight Director, shall have the authority to use any reasonable and necessary means to fulfill his or her responsibilities. This authority, which shall be exercised consistent with the provisions of Sections II and IV, extends to: (1) the ISS elements, equipment, and payloads; (2) the ISS crewmembers; (3) activities of any kind occurring in or on the ISS; and (4) data and personal effects in or on the ISS where necessary to protect the safety and well-being of the ISS crewmembers and the ISS elements, equipment, and payloads. Any matter outside the ISS Commander's authority shall be within the purview of the Flight Director.
Issues regarding the Commander's use of such authority shall be referred to the Flight Director as soon as practicable, who will refer the matter to appropriate authorities for further handling. Although other ISS crewmembers may have authority over and responsibility for certain ISS elements, equipment, payloads, or tasks, the ISS Commander remains ultimately responsible, and solely accountable, to the Flight Director for the successful completion of the activities and the mission.
(1) The ISS Commander is the highest authority among the ISS crewmembers on-orbit. The MCOP will determine the order of succession among the ISS crewmembers in advance of flight, and the Flight Rules set forth the implementation of a change of command.
(2) Relationship of the ISS Commander to ETOV and Other Commanders
The Flight Rules define the authority of the ETOV Commander, the Rescue Vehicle Commander, and any other commanders, and set forth the relationship between their respective authorities and the authority of the ISS Commander.
The Flight Director is responsible for directing the mission. A Flight Director will be in charge of directing real-time ISS operations at all time. The ISS Commander, working under the direction of the Flight Director and in accordance with the Flight Rules, is responsible for conducting on-orbit operations in the manner best suited to the effective implementation of the mission. The ISS Commander, acting on his or her own authority, is entitled to change the daily routine of the ISS crewmembers where necessary to address contingencies, perform urgent work associated with crew safety and the protection of the ISS elements, equipment or payloads, or conduct critical flight operations. Otherwise, the ISS Commander should implement the mission as directed by the Flight Director. Specific roles and responsibilities of the ISS Commander and the Flight Director are described in the Flight Rules. The Flight Rules outline decisions planned in advance of the mission and are designed to minimize the amount of real-time discussion required during mission operations.
ISS crewmembers will be subject to the disciplinary policy developed and revised as necessary by the MCOP and approved by the Multilateral Coordination Board (MCB). The MCOP has developed an initial disciplinary policy which has been approved by the MCB. The disciplinary policy is designed to maintain order among the ISS crewmembers during preflight, on-orbit and postflight activities. The disciplinary policy is administrative in nature and is intended to address violations of the CCOC. Such violations may, inter alia, affect flight assignments as an ISS crewmember. The disciplinary policy does not limit a Cooperating Agency's right to apply relevant laws, regulations, policies, and procedures to the ISS crewmembers it provides, consistent with the IGA and the MOU's.
The use of all equipment and goods to which ISS crewmembers have access shall be limited to the performance of ISS duties. Marked or otherwise identified as export controlled data and marked proprietary data obtained by an ISS crewmember in the course of ISS activities shall only be used in the performance of his or her ISS duties. With respect to data first generated on-board the ISS, the ISS crewmembers will be advised by the appropriate Cooperating Agency or by the data owner or provider through that Cooperating Agency as to the proprietary or export-controlled nature of the data and will be directed to mark and protect such data and to continue such protection for as long as the requirements for such protection remain in place. Additionally, ISS crewmembers shall act in a manner consistent with the provisions of the IGA and the MOU's regarding protection of operations data, utilization data, and the intellectual property of ISS users. They shall also comply with applicable ISS program rules, operational directives, and management policies designed to further such protections.
Personal information about ISS crewmembers, including all medical information, private family conference, or other private information, whether from verbal, written, or electronic sources, shall not be used or disclosed by other ISS crewmembers for any purpose, without the consent of the affected ISS crewmember, except as required for the immediate safety of ISS crewmembers or the protection of ISS elements, equipment, or payloads. In particular, all personal medical information, whether derived from medical monitoring, investigations, or medical contingency events, shall be treated as private medical information and shall be transmitted in a private and secure fashion in accordance with procedures to be set forth by the MMOP. Medical data which must be handled in this fashion includes, for example, biomedical telemetry, private medical communications, and medical investigation data. Nothing in this paragraph shall be interpreted to limit an ISS crewmember's access to all medical resources aboard the ISS, to ground-based medical support services, or to his or her own medical data during preflight, on-orbit, and postflight activities.
No research on human subjects shall be conducted which could, with reasonable foresight, be expected to jeopardize the life, health, physical integrity, or safety of the subject.
No research procedures shall be undertaken with any ISS crewmember as a human subject without: (1) written approval by the Human Research Multilateral Review Board (HRMRB) and (2) the full written and informed consent of the human subject. Each such approval and consent shall be obtained prior to the initiation of such research, and shall fully comply with the requirements of the HRMRB. The HRMRB is responsible for procedures for initiation of new experiments on-orbit when all consent requirements have been met, but the signature of the human subject cannot be obtained; explicit consent of the human subject will nonetheless be required in all such cases. Subjects volunteering for human research protocols may at their own discretion, and without providing a rationale, withdraw their consent for participation at any time, without prejudice, and without incurring disciplinary action. In addition, approval or consent for any research may be revoked at any time, including after the commencement of the research, by: the HRMRB, the Crew Surgeon, the Flight Director, or the ISS Commander, as appropriate, if the research would endanger the ISS Crew Member or otherwise threaten the mission success. A decision to revoke consent by the human subject or approval by the other entities listed above will be final.
This subpart is a regulation within the meaning of 18 U.S.C. 799, and whoever willfully violates, attempts to violate, or conspires to violate any provision of this subpart or any order or direction issued under this subpart may be cited for violating title 18 of the U.S. Code and could be fined or imprisoned not more than 1 year, or both.
This subpart establishes policy and procedures for carrying mementos on the NASA missions, with the exception of mementos and personal effects carried onboard the International Space Station (ISS).
Mementos. Flags, patches, insignia, medallions, minor graphics, and similar items of little commercial value, especially suited for display by the individuals or groups to whom they have been presented.
Premise. Mementos are welcome aboard NASA missions. However, they are flown as a courtesy—not as an entitlement. All mementos must be approved by the Associate Administrator for Human Exploration and Operations and are stowed only in an Official Flight Kit (OFK) or Personal Preference Kit (PPK).
(a) Economic gain. Items carried in an OFK or a PPK will not be sold, transferred for sale, used or transferred for personal gain, or used or transferred for any commercial or fund-raising purpose. Items such as philatelic materials and coins that, by their nature, lend themselves to exploitation by the recipients, or create problems with respect to good taste; or that are large, bulky, or heavy items will not be approved for flight.
(b) [Reserved]
(a) Purpose. The Official Flight Kit (OFK) on a particular mission allows NASA, and other domestic and friendly foreign countries' organizations with NASA approval, to utilize mementos as awards and commendations or preserve them in museums or archives. No personal items will be carried in the OFK.
(b) Approval of contents. At least 120 days prior to the scheduled launch of a particular mission, an authorized representative of each organization desiring mementos to be carried on a flight in the OFK must submit a letter or request describing the item(s) to be flown and the intended purpose or distribution. Letters should be directed to the Associate Administrator for Human Exploration and Operations, NASA Headquarters, Washington DC 20546.
(a) Purpose. The Personal Preference Kit (PPK) enables persons on a particular mission to carry personal items for use as mementos. Only those individuals actually accompanying such flights may request authorization to carry personal items as mementos.
(b) Approval of content. At least 60 days prior to the scheduled launch of a particular mission, each person assigned to the flight who desires to carry items in a PPK must submit a proposed list of items and their recipients to the Associate Director, NASA Johnson Space Center. The Associate Director will review the proposed list of items and, if approved, submit the crew members' PPK lists through supervisory channels to the Associate Administrator for Human Exploration and Operations for approval. A signed copy of approval from the Associate Administrator for Human Exploration and Operations will be returned to the Director, NASA Johnson Space Center, for distribution.
Information on mementos flown on a particular mission will be routinely released by the Associate Administrator of the Office of Communications to the media and to the public upon their request, but only after they have been approved for flight.
(a) Liability. Neither NASA nor the U.S. Government will be liable for the loss or theft of, or damage to, items carried in OFKs or PPKs.
(b) Report of loss or theft. Any person who learns that an item contained in an OFK or a PPK is missing shall immediately report the loss to the Johnson Space Center Security Office and the NASA Inspector General.
Any items carried in violation of the requirements of this subpart shall become property of the U.S. Government, subject to applicable Federal laws and regulations, and the violator may be subject to disciplinary action, including being permanently prohibited from use of, or if an individual, from flying aboard a NASA mission.
This subpart establishes the authority of the NASA Commander of a NASA mission, excluding missions related to the ISS and activities licensed under Title 51 U.S.C. Chapter 509, to enforce order and discipline during a mission and to take whatever action in his/her judgment is reasonable and necessary for the protection, safety, and well-being of all personnel and on-board equipment, including the spacecraft and payloads. During the final launch countdown, following crew ingress, the NASA Commander has the authority to enforce order and discipline among all on-board personnel. During emergency situations prior to liftoff, the NASA Commander has the authority to take whatever action in his/her judgment is necessary for the protection or security, safety, and well-being of all personnel on board.
(a) The flight crew consists of the NASA Commander, astronaut crew members, and [any] other persons aboard the spacecraft.
(b) A mission is the period including the flight-phases from launch to landing on the surface of the Earth—a single round trip. (In the case of a forced landing, the NASA Commander's authority continues until a competent authority takes over the responsibility for the persons and property aboard).
(c) The flight-phases consist of launch, in orbit/transit, extraterrestrial mission, deorbit, entry, and landing, and post-landing back on Earth.
(d) A payload is a specific complement of instruments, space equipment, and support hardware/software carried into space to accomplish a scientific mission or discrete activity.
(a) During all flight phases, the NASA Commander shall have the absolute authority to take whatever action is in his/her discretion necessary to:
(1) Enhance order and discipline.
(2) Provide for the safety and well-being of all personnel on board.
(3) Provide for the protection of the spacecraft and payloads.
The NASA Commander shall have authority, throughout the mission, to use any reasonable and necessary means, including the use of physical force, to achieve this end.
(b) The authority of the NASA Commander extends to any and all personnel on board the spacecraft including Federal officers and employees and all other persons whether or not they are U.S. nationals.
(c) The authority of the NASA Commander extends to all spaceflight elements, payloads, and activities originating with or defined to be a part of the NASA mission.
(d) The NASA Commander may, when he/she deems such action to be necessary for the safety of the spacecraft and personnel on board, subject any of the personnel on board to such restraint as the circumstances require until such time as delivery of such individual or individuals to the proper authorities is possible.
(a) The NASA Commander is a trained NASA astronaut who has been designated to serve as commander on a NASA mission and who shall have the authority described in § 1214.702 of this part. Under normal flight conditions (other than emergencies or when otherwise designated) the NASA Commander is responsible to the Mission Flight Director.
(b) Before each flight, the other flight crewmembers will be designated in the order in which they will assume the authority of the NASA Commander under this subpart in the event that the NASA Commander is not able to carry out his/her duties.
(c) The determinations, if any, that a crewmember in the chain of command is not able to carry out his or her command duties and is, therefore, to be relieved of command, and that another crewmember in the chain of command is to succeed to the authority of the NASA Commander, will be made by the NASA Administrator or his/her designee.
(a) All personnel on board the NASA mission are subject to the authority of the NASA Commander and shall conform to his/her orders and direction as authorized by this subpart.
(b) This subpart is a regulation within the meaning of 18 U.S.C. 799, and whoever willfully violates, attempts to violate, or conspires to violate any provision of this subpart or any order or direction issued under this subpart shall be subject to fines and imprisonment, as specified by law.
It is NASA policy to maintain an integrated Astronaut Corps. This subpart 1214.11 sets forth NASA procedures and assigns responsibilities for recruitment and selection of astronaut candidates. It applies to all pilot and mission specialist astronaut candidate selection activities conducted by the National Aeronautics and Space Administration.
(a) Astronaut candidate opportunities Will be announced nationwide and publicized periodically unless specifically canceled by NASA.
(b) Civilian applicants may apply at any time.
(c) Military personnel on active duty must apply through and be nominated by the military service with which they are affiliated. Military nominees will not be part of the continuing pool of applicants. The military services will convene their internal selection boards and provide nominees to NASA. The military nominees will be evaluated by NASA and the military services will be notified promptly of those nominees who are finalists.
(d) The Assistant Administrator for Equal Opportunity Programs, NASA Headquarters, will provide assistance in the recruiting process.
(a) All incoming applications will be reviewed to determine whether or not applicants meet basic qualifications. Those not meeting the basic qualification requirements will be so notified and will not be eligible for further consideration. Those meeting the basic qualification requirements will have their applications retained for review by a designated rating panel.
(b) A rating panel composed of discipline experts will review and rate qualified applicants as “Qualified” or “Highly Qualified.”
(c) Efforts will be made to ensure that minorities and females are included among these discipline experts on the rating panel.
(d) The criteria for each level will be developed and will serve as the basis for the ratings. The evaluation will be based on the quality of the individual's academic background and experience and the extent to which the individual's academic achievements, experience, and special qualifications relate to the astronaut candidate position. Reference information on those rated “Highly Qualified” will normally be obtained. This evaluation process will be monitored to ensure adherence to applicable policy, laws, and regulations.
(e) Those rated “Highly Qualified” may be required to obtain a Class I or Class II physical. Only medically qualified applicants will be referred for final evaluation and possible interview and selection. Those who are not medically qualified will be so informed and will not be eligible for further consideration.
(a) The JSC Director, or designee, is responsible for identifying the need for additional astronaut candidates and for obtaining necessary approval to make selections.
(b) Once such approval has been obtained, a cutoff date for the acceptance of applications will be established. Applications received after the date of the request will be maintained and processed for the next selection.
(a) A selection board consisting of discipline experts, and such other persons as appropriate, will further evaluate and rank the “Highly Qualified” applicants.
(b) Efforts will be made to assure that minorities and females are included on this board.
(c) The “Highly Qualified” applicants who are determined to be the “Best Qualified” will be invited to the Johnson Space Center for an interview, orientation, and detailed medical evaluation.
(d) Background investigations will normally be initiated on those applicants rated “Best Qualified.”
Final rankings will be based on a combination of the selection board's initial evaluations and the results of the interview process. Veteran's preference will be included in this final ranking in accordance with applicable regulations.
The selection board will recommend to the JSC Director its selection of candidates from among those finalists who are medically qualified. The number and names of candidates selected to be added to the corps will be approved, as required, by JSC/ NASA management and the Associate Administrator for Space Flight, prior to notifying the individuals or the public.
Selectees and the appropriate military services will be notified and the public informed. All unsuccessful qualified applicants will be notified of nonselection and given the opportunity to update their applications and indicate their desire to receive consideration for future selections.
TDRSS represents a major investment by the U.S. Government with the primary goal of providing improved tracking and data acquisition services to spacecraft in low-Earth orbit or to mobile terrestrial users such as aircraft or balloons. It is the objective of NASA to operate as efficiently as possible with TDRSS, is to the mutual benefit of all users. Such user consideration will permit NASA and non-NASA service to be delivered without compromising the mission objectives of any individual user. The reimbursement policy is designed to comply with the Office of Management and Budget Circular A-25 on User Charges, dated September 23, 1959, as updated, which requires that a reasonable charge should be made to each identifiable recipient for a measurable unit or amount of Government service or property from which a special benefit is derived.
This subpart sets forth the policy governing TDRSS services provided to non-U.S. Government users and the reimbursement for rendering such services. Cooperative missions are not under the purview of this subpart. The arrangements for TDRSS services for cooperative missions will be covered in an agreement, as a consequence of negotiations between NASA and the other concerned party. Any agreement which includes provision for any TDRSS service will require signatory concurrence by the Deputy Associate Administrator for SCaN prior to dedicating SCaN resources for support of a cooperative mission.
(a) User. Any non-U.S. Government representative or entity that enters into an agreement with NASA to use TDRSS services.
(b) TDRSS. TDRSS, including Tracking and Data Relay Satellites (TDRS), WSC, GRGT, and the necessary TDRSS operational areas, interface devices, and NASA communication circuits that unify the above into a functioning system. It specifically excludes the user ground system/TDRSS interface.
(c) Bit stream. The electronic signals acquired by TDRSS from the user craft or the user-generated input commands for transmission to the user craft.
(d) Scheduling service period. One scheduled contact utilizing a single TDRS, whereby the user, by requesting service, is allotted a block of time for operations between the user satellite and TDRSS.
(a) Standard services. These are services which TDRSS is capable of providing to low-Earth orbital user spacecraft or other terrestrial users. Data are delivered to WSC or GRGT. A detailed description of services is provided in the GSFC Near Space Network Users' Guide, 450-NSNUG. Contact the Chief, Commercialization, Innovation, and Synergies, at the address in Section 1215.108(d) to obtain a copy of the NSNUG.
(1) Tracking service.
(2) Data acquisition service.
(3) Command transmission service.
(b) Required Support Services. These are support activities that are required to obtain TDRSS services.
(1) Prelaunch support planning, analysis, and documentation.
(2) Compatibility testing.
(3) Prelaunch support for data-flow testing and related activities.
(4) User services scheduling.
(c) Mission-unique services. Other tracking and data services desired by the user that are beyond the standard and required support services defined above. The associated charges for these services will be identified and assessed on a case-by-case basis.
No user may apportion, assign, or otherwise convey to any third party its TDRSS service. Each user may obtain service only through contractual agreement with the Associate Administrator for Space Operations.
(a) As a standard service, NASA will provide to the user its data from TDRSS in the form of one or more digital or analog bit streams synchronized to associated clock streams at WSC or GRGT.
(b) User data-handling requirements beyond WSC or GRGT interface will be provided as a standard service to the user, to the extent that the requirements do not exceed NASA's planned standard communications system. Any additional data transport or handling requirements exceeding NASA's capability will be dealt with as a mission-unique service.
(c) No storage of the user data is provided in the standard service. NASA will provide short-term temporary recording of data at WSC in the event of a NASA Integrated Services Network (NISN) link outage.
(d) NASA will provide TDRSS services on a “reasonable efforts” basis, and, accordingly, will not be liable for damages of any kind to the user or third parties for any reason, including, but not limited to, failure to provide agreed-to services. The price for TDRSS services does not include a contingency or premium for any potential damages. The user will assume any risk of damages or obtain insurance to protect against any risk.
(a) User command data shall enter TDRSS via the NISN interface at WSC or GRGT.
(b) NASA is required to have knowledge of the user satellite orbital elements to sufficient accuracy to permit TDRSS to establish and maintain acquisition. This can be accomplished in two ways:
(1) The user can provide the orbital elements in a NASA format to meet TDRSS operational requirements.
(2) The user shall ensure that a sufficient quantity of tracking data is received to permit the determination of the user satellite orbital elements. The Flight Dynamics Facility (FDF) at GSFC will provide the orbit determination service to these users. The charges for this service will be negotiated between the FDF and the user and will be dependent on user requirements.
(a) User data security is not provided by the TDRSS. Responsibility for data security resides solely with the user. Users desiring data safeguards shall provide and operate, external to the TDRSS, the necessary equipment or systems to accomplish data security. Any such user provisions must be compatible with data flow through TDRSS and not interfere with other users.
(b) All radio frequency authorizations associated with operations pursuant to this directive are the responsibility of the user. If appropriate, authority(ies) must be obtained from the Federal Communications Commission (FCC) for operations consistent with U.S. footnote 303 of the National Table of Frequency Allocations, FCC Rules and Regulations, at 47 CFR 2.106.
Potential users should become familiar with TDRSS capabilities and constraints, which are detailed in the NSNUG, as early as possible. This action allows the user to evaluate the trade-offs available among various TDRSS services, spacecraft design, operations planning, and other significant mission parameters. It is recommended that potential users contact the Near Space Network as early as possible for assistance in performing the trade studies. When these evaluations have been completed, and the user desires to use TDRSS, the user should initiate a request for TDRSS service.
(a) Initial requests for TDRSS service from non-U.S. Government users shall be addressed to SCaN at NASA Headquarters, as follows: Deputy Associate Administrator: Space Communications and Navigation Division, National Aeronautics and Space Administration, Washington, DC 20546.
(b) Upon review and acceptance of the service request, preliminary analyses shall be performed to determine the feasibility of meeting the proposed requirements.
(c) If the request is determined to be feasible, the user and SCaN shall negotiate an agreement for provision of the requested services. Acceptance of user requests for TDRSS service is the sole prerogative of NASA.
(d) Upon approval of the agreement by both parties, GSFC will be assigned to produce the detailed requirements, plans, and documentation necessary for support of the mission. Changes to user requirements shall be made as far in advance as possible and shall be submitted, in writing, to both SCaN at NASA Headquarters (see Section 108, paragraph (a) for mailing address) and GSFC, as follows: Chief: Commercialization, Innovation, and Synergies, Code 450.1, NASA Goddard Space Flight Center, M/S 450.1, 8800 Greenbelt Road Greenbelt, MD 20771.
(a) User service shall be scheduled only by NASA. TDRSS services will be provided in accordance with operational priorities established by the NASA Administrator or his/her designee. See Appendix A for a description of a typical user activity timeline.
(b) Schedule conflict will be resolved in general by application of principles of priority to user service requirements. Services shall be provided either as normally scheduled service or as emergency service. Priorities will be different for emergency service than for normal services.
(1) Normally scheduled service is service which is planned and ordered under normal operational conditions and is subject to schedule conflict resolution under normal service priorities. Requests for normally scheduled service must be received by the schedulers at the GSFC WSC Data Services Management Center (DSMC) no later than 21 days prior to the requested support time.
(2) At times, emergency service requirements will override normal schedule priority. Under emergency service conditions, disruptions to scheduled service will occur.
(3) The DSMC reserves the sole right to schedule, reschedule, or cancel TDRSS service.
(4) NASA schedulers will exercise judgment and endeavor to see that lower-priority users are not excluded from a substantial portion of their contracted-for service due to the requirements of higher-priority users.
(c) General user service requirements, which will be used for preliminary planning and mission modeling, should include all pertinent information necessary for NASA to determine if the proposed service is achievable. Contact Near Space Network to discuss usage and requirements.
(d) Such user service requirements information typically includes:
(1) Date of service initiation.
(2) The type of TDRSS services desired (e.g., multiple access, tracking, etc.), and the frequency and duration of each service.
(3) Orbit or trajectory parameters and tracking data requirements.
(4) Spacecraft events significant to tracking, telemetry or command requirements.
(5) Communications systems specifics, including location of antennas and other related information dealing with user tracking, command, and data systems.
(6) Special test requirements, data flows, and simulations, etc.
(7) Identification of terrestrial data transport requirements, interface points, and delivery locations, including latency and line loss recovery.
(e) To provide for effective planning, reference Appendix A, Typical New User Activity Timeline.
The user has the right to terminate its service contract with NASA at any time. A user who exercises this right after contracting for service shall pay the charge agreed upon for services previously rendered, and the cost incurred by the Government for support of pre-launch activities, services, and mission documentation not included in that charge. The user will remain responsible for the charges for any services actually provided.
The user may postpone the initiation of contracted service (e.g., user launch date) by delivery of written notification to NASA Headquarters, Code OX. Any delay in the contracted start of service date may affect the quantity of service to be provided due to commitments to other support requirements. Therefore, the validity of previous estimates of predicted support availability may no longer be applicable.
No service shall be provided without an approved agreement.
(a) The user shall reimburse NASA the sum of the charges for standard and mission-unique services. Charges will be based on the service rates applicable at the time of service.
(b) For standard services, the user shall be charged only for services rendered, except that if a total cancellation of service occurs, the user shall be charged in accordance with the provisions of § 1215.110.
(1) Standard services which are scheduled, and then cancelled by the user less than 72 hours prior to the start of that scheduled service period, will be charged as if the scheduled service actually occurred.
(2) The time scheduled by the user project shall include the slew time, set up and/or configuration time, TDRSS contact time, and all other conditions for which TDRSS services were allocated to the user.
(3) Charges will be accumulated by the minute, based on the computerized schedule/configuration messages which physically set up TDRSS equipment at the start of a support period and free the equipment for other users at the end of a support period.
(c) The user shall reimburse NASA for the costs of any mission-unique services provided by NASA.
(a) Rates for TDRSS services will be established by the DAA for SCaN.
(b) Per-minute rates will reflect TDRSS total return on investment and operational and maintenance costs.
(c) The rate per minute by service and type of user is available on the following Web site: https://www.spacecomm.nasa.gov/spacecomm/programs/Space_network.cfm.
(d) The per-minute charge for TDRSS service is computed by multiplying the charge per minute for the appropriate service by the number of minutes utilized.
(a) The procedure for billing and payment of standard TDRSS services is as follows:
(1) NASA shall be reimbursed by customers in connection with the use of Government property and services provided under an approved reimbursable agreement. Advance payment for services is required. Advance payments shall be scheduled to keep pace with the rate at which NASA anticipates incurring costs. NASA will provide a Customer Budget/Estimate (CBE) for services rendered nominally 60-90 days in advance, or as otherwise agreed, of the first anticipated property use or required service date for each mission. The full cost of the mission shall be paid by the customer not later than 30 days prior to the first anticipated property use or required service date.
(2) In some cases, an advance partial payment will be required six—nine months prior to the first anticipated property use or required service date in order for advance planning work and/or travel to take place. The amount of this partial payment and its receipt shall be negotiated on an as-needed basis. Adjustments to the amounts prepaid will be made to the succeeding billings as the actual services are rendered.
(3) If the customer fails to make payment by the payment due date, NASA may terminate the agreement and any subagreements for breach of agreement after notice to the customer is given of this breach and failure to cure such breach within a time period established by NASA.
(b) Late payments by the user will require the user to pay a late payment charge.
Time: Project conceptualization (at least two years before launch; Ref. § 1215.108(a)).
Activity: Submit request for access to TDRSS. Upon preliminary acceptance of the service requirements by NASA Headquarters, communications for the reimbursable development of a Space Act Agreement (SAA) will begin. Prior to finalization of the Memorandum of Agreement (MOA), an estimate for the services will be issued. After SAA signature, full funding of the effort must be received prior to NASA initiating any activities associated with the effort. (Ref. § 1215.115(a)(1)).
Time: 18 months before launch (Ref. § 1215.109(c).
Activity: After full funding has been received and distributed to the executing NASA entities, submit general user requirements to permit preliminary planning. Contact will occur to facilitate the integration process for access to TDRSS. If appropriate, initiate action with the Federal Communications Commission for license to communicate with TDRSS (Ref. § 1215.107(b)).
Time: 12 months before launch (earlier if possible).
Activity: Provide detailed requirements for technical definition and development of operational and interface control documents. (Ref. § 1215.109(d)).
Time: 3 weeks prior to a Scheduled Support Period (SSP).
Activity: Submit scheduling request to NASA covering a weekly period. Receive schedule from NASA based on principles of priority (Ref. § 1215.109(b)). User confirmation of the schedule is required.
Time: Up to 72 hours prior to an SSP.
Activity: Can cancel an SSP without charge (Ref. § 1215.113(b)(1)).
Time: Up to 45 minutes prior to an SPP.
Activity: Can schedule an SSP if a time slot is available without impacting another user.
Time: Up to 10 minutes prior to an SSP.
Activity: Can schedule an SSP utilizing TDRSS unused time (TUT).
Charges for services shall be determined by multiplying the factors below by the base rates for standard services set forth in appendix A.
| Flexible | Time or position constrained | Emergency service, disruptive updates | |
|---|---|---|---|
| Single access service | .5 | 1 | 2 |
| Multiple access forward (command) service | .67 | 1 | 2 |
| Normally scheduled support | Emergency service, disruptive updates | |
|---|---|---|
| Multiple access return (telemetry) service | 1 | 2 |
| Time (approximate) | Activity |
|---|---|
| Project conceptualization (At least 3 years before launch; Ref. § 1215.108(a)) | Request NASA Headquarters perform study to determine availability of TDRSS. If accepted as a user, begin contractual negotiation by submission of $25,000 non-refundable charge, and place into mission model. |
| 3 years before launch (Ref. § 1215.109(c). | Submit general user requirements to permit preliminary planning. Begin payment for pre-mission activities (Ref. § 1215.115(b)(5)). |
| 18 months before launch (earlier if interfacing is expected). | Provide detailed requirements for technical definition and development of operational documents and ICD's. (Ref. § 1215.109(e)). If appropriate, initiate action with the Federal Communications Commission for license to communicate with TDRSS at least 18 months prior to launch (Ref. § 1215.107(b)). |
| 3 weeks prior to a scheduled support period (SSP). 2 weeks prior to an SSP | Submit scheduling request to GSFC covering a weekly period. Receive schedule from GSFC based on principles of priority (Ref. § 1215.109(b)(2)). Acknowledgement to GSFC required. |
| Up to 12 hours prior to an SSP. | Can cancel an SSP without charge (Ref. § 1215.113(a)(1)). |
| Up to 45 minutes prior to an SPP. | Can schedule an SSP if a time slot is available without impacting another user. |
| Between SSP minus 45 minutes and the SSP. | Schedule requests will be charged at the disruptive update rate (Ref. § 1215.109(b)(5)). |
| Real-Time. | Emergency service requests will be responded to per the priority system (Ref. § 1215.109(b)(3)) and assessed the emergency service rate. |
This subpart sets forth NASA policy on environmental quality and control and the responsibilities of NASA officials in carrying out these policies.
This subpart is applicable to NASA Headquarters and field installations.
NASA policy is to:
(a) Use all practicable means, consistent with NASA's statutory authority, available resources, and the national policy, to protect and enhance the quality of the environment;
(b) Provide for proper attention to and ensure that environmental amenities and values are given appropriate consideration in all NASA actions, including those performed under contract, grant, lease, or permit;
(c) Recognize the worldwide and long-range character of environmental concerns and, when consistent with the foreign policy of the United States and its own responsibilities, lend appropriate support to initiatives, resolutions, and programs designed to maximize international cooperation in anticipating and preventing a decline in the quality of the world environment;
(d) Use systematic and timely approaches which will ensure the integrated use of the natural and social sciences and environmental design arts in planning and decisionmaking for actions which may have an impact on the human environment;
(e) Pursue research and development, within the scope of NASA's authority or in response to authorized agencies, for application of technologies useful in the protection and enhancement of environmental quality;
(f) Initiate and utilize ecological and other environmental information in the planning and development of resource-oriented projects; and
(g) Invite cooperation, where appropriate, from Federal, State, local, and regional authorities and the public in NASA planning and decisionmaking processes.
(a) The Associate Administrator for Management or designee shall:
(1) Coordinate the formulation and revision of NASA policies and positions on matters pertaining to environmental protection and enhancement;
(2) Represent NASA in working with other governmental agencies and interagency organizations to formulate, revise, and achieve uniform understanding and application of governmentwide policies relating to the environment;
(3) Develop and ensure the implementation of agencywide standards, procedures, and working relationships for protection and enhancement of environmental quality and compliance with applicable laws and regulations;
(4) Develop, as an integral part of NASA's basic decision processes, procedures to ensure that environmental factors are properly considered in all proposals and decisions;
(5) Establish and maintain working relationships with the Council on Environmental Quality, Environmental Protection Agency, and other national, state, and local governmental agencies concerned with environmental matters;
(6) Acquire information for and ensure the preparation of appropriate NASA reports on environmental matters.
(b) Officials-in-Charge of Headquarters Offices and NASA Field Installation Directors are responsible for:
(1) Identifying matters under their cognizance which may affect protection and enhancement of environmental quality and for employing the proper procedures to ensure that necessary actions are taken to meet the requirements of applicable laws and regulations;
(2) Coordinating environmental quality-related activities under their cognizance with the Associate Administrator for Management; and
(3) Supporting and assisting the Associate Administrator for Management on request.
(c) Officials-in-Charge of Headquarters Offices are additionally responsible for:
(1) Giving high priority, in the pursuit of program objectives, to the identification, analysis, and proposal of research and development which, if conducted by NASA or other agencies, may contribute to the achievement of beneficial environmental objectives; and
(2) In coordination with the Associate Administrator for Management, making available to other parties, both governmental and nongovernmental, advice and information useful in protecting and enhancing the quality of the environment.
(d) NASA Field Installation Directors are additionally responsible for:
(1) Implementing the NASA policies, standards and procedures for the protection and enhancement of environmental quality and supplementing them as appropriate in local circumstances;
(2) Specifically assigning responsibilities for environmental activities under the installation's cognizance to appropriate subordinates, while providing for the coordination of all such activities; and
(3) Establishing and maintaining working relationships with national, state, regional and governmental agencies responsible for environmental regulations in localities in which the field installations conduct their activities.
(a) This subpart implements NEPA, setting forth NASA's policies and procedures for the early integration of environmental considerations into planning and decision making.
(b) Through this subpart, NASA adopts the Council on Environmental Quality (CEQ) regulations implementing NEPA (40 CFR parts 1500 through 1508) and supplements those regulations with this subpart, for actions proposed by NASA that are subject to NEPA. This subpart and NASA's NEPA policy are available on NASA's Public Portal at https://www.nasa.gov/emd/nepa.
This subpart applies to all organizational elements of NASA.
(a) The NASA Senior Agency Official (SAO), is the Associate Administrator, Mission Support Directorate. The SAO is responsible for overall Agency NEPA compliance, including integration of NEPA into the Agency's planning and decision making and resolving implementation issues.
(1) The NASA Senior Environmental Official (SEO) is the Assistant Administrator, Office of Strategic Infrastructure. The SEO, in consultation with the SAO, is responsible for development and implementation of NASA NEPA policy requirements and guidance which fully integrate NEPA compliance into Agency planning and decision-making processes. To the extent the CEQ's implementing regulations at 40 CFR parts 1500 through 1508 reserve a specific authority to the SAO, the SAO is the responsible NASA official for resolving matters related to that specific authority.
(2) The NASA Headquarters/Environmental Management Division (HQ/EMD), in consultation with the SEO, is responsible for implementing NEPA functions and guiding NASA's integration of NEPA into the Agency's planning and decision making. HQ/EMD provides oversight of all NASA entities in implementing their assigned responsibilities under NEPA. HQ/EMD, in coordination with the Center Environmental Management Office, is responsible for determining the appropriate level of NEPA documentation and maintaining a publicly accessible internet portal which includes information on the status of environmental impact statements (EISs) and other elements of NASA's NEPA program (https://www.nasa.gov/emd/nepa).
(3) Each NASA Center has an environmental management office that directs and implements the NEPA process, such as evaluating proposed actions; developing, reviewing, and approving required documentation; and advising Center-level program and project managers.
(b) The “Responsible Official” is the NASA official who will ensure that planning and decision-making for each proposed Agency action complies with the regulations in this subpart and with Agency NEPA policy and guidance provided by the SAO, SEO, HQ/EMD, and the Center's environmental management office as applicable.
(c) NASA must comply with this subpart when considering issuance of a permit, lease, easement, or grant to a non-Federal party and may seek such non-Federal party's assistance in obtaining necessary information and completing the NEPA process.
(a) NEPA is a procedural statute intended to ensure Federal agencies consider the environmental impacts of their proposed actions in the decision-making process. Full integration of the NEPA process with NASA project and program planning improves Agency decisions and ensures:
(1) Consideration of sustainability, environmental stewardship, and compliance with applicable environmental statutes, regulations, and policies.
(2) NASA's analyses and documentation are prepared using a process that is transparent to the public, including opportunities for receipt and consideration of public comment, when appropriate.
(3) Potential program and project risks and delays are minimized.
(b) In considering whether the effects of a proposed action are significant and determining the appropriate level of NEPA review and documentation (i.e., EIS, environmental assessments (EA), categorical exclusions (CatEx)), NASA shall consider and analyze the potentially affected environment (i.e., affected area [national, regional, or local] and resources located therein) and the degree of the effects of the proposed action (e.g., short- and long-term effects, effects both beneficial and adverse, effects on public health and safety, effects that would violate Federal, state, Tribal, or local law protecting the environment).
(c) NASA shall consider the reasonably foreseeable environmental impacts of a proposed Agency action, along with technical, economic, public health and safety, security, and other factors that are reasonably foreseeable, beginning in the early planning stage of a proposed action. NASA will not take any action that would have an adverse environmental impact or limit the choice of reasonable alternatives prior to completing NEPA review except as provided in 40 CFR 1506.1.
(d) Records of Environmental Consideration (RECs) will be used to document: (1) Application of specific categorical exclusions to proposed actions;
(2) Adoption of Federal draft or final NEPA documents;
(3) Reevaluation of an existing NEPA document; and
(4) Determination of whether an action fits within an existing NEPA document, including a programmatic NEPA document.
(a) Categorical exclusions (CatExs) are categories of Agency actions that normally do not have a significant effect on the human environment and therefore do not require preparation of an EA or EIS. CatExs reduce paperwork, improve Government efficiency, and eliminate delays in initiating and completing proposed actions having no significant environmental impact. For some CatExs, as indicated in paragraph (d) of this section, a REC is required.
(b) Application of CatExs and presence of extraordinary circumstances:
(1) A proposed action may be categorically excluded if the action fits within the categories listed in paragraph (d) of this section and it does not involve any extraordinary circumstances in which a normally excluded action may have a significant effect.
(2) If an extraordinary circumstance as described in paragraph (c) of this section is present, NASA may nevertheless categorically exclude the proposed action if the action fits within the categories listed in paragraph (d) of this section and NASA determines that implementation of mitigation measures, such as relocation of the proposed action to an alternative site or limiting construction activities to certain seasonal periods of the year to avoid the extraordinary circumstance(s) in question, are sufficient to allow the proposed action to be categorically excluded.
(c) Extraordinary circumstances include situations where the proposed action:
(1) Has a reasonable likelihood of having a significant effect on public health and safety or the human environment.
(2) Imposes uncertain or unique environmental risks.
(3) Is of significantly greater scope or size than is normal for the particular category of action.
(4) Has a reasonable likelihood of having effects that would violate Federal, state, Tribal, or local laws, or other enforceable requirements applicable to environmental protection.
(5) May adversely affect sensitive resources, such as, but not limited to, Federally listed threatened or endangered species, their designated critical habitat, wilderness areas, floodplains, wetlands, aquifer recharge areas, coastal zones, wild and scenic rivers, and significant fish or wildlife habitat, unless the impact has been resolved through another environmental review process (e.g., the Clean Water Act (CWA) or the Coastal Zone Management Act (CZMA)).
(6) May adversely affect national natural landmarks or cultural or historic resources, including, but not limited to, property listed on or eligible for listing on the National Register of Historic Places, unless the impact has been resolved through another review process (e.g., the National Historic Preservation Act (NHPA)).
(d) The following actions normally do not have a significant effect on the human environment and are categorically excluded from the requirement to prepare an EA or EIS:
(1) Administrative Activities including:
(i) Personnel actions, organizational changes, and procurement of routine goods and services.
(ii) Issuing procedural rules, manuals, directives, and requirements.
(iii) Program budget proposals, disbursements, and transfer or reprogramming of funds.
(iv) Preparing documents, including design and feasibility studies, analytical supply and demand studies, reports and recommendations, master and strategic plans, and other advisory documents.
(v) Information-gathering exercises, such as inventories, audits, and studies.
(vi) Preparing and disseminating information, including document mailings, publications, classroom materials, conferences, speaking engagements, websites, and other educational/informational activities.
(vii) Software development, data analysis, and/or testing, including computer modeling.
(viii) Interpretations, amendments, and modifications to contracts, grants, or other awards.
(ix) Field studies, including water sampling, monitoring wells, cultural resources surveys, biological surveys, geologic surveys, modeling or simulations, routine data collection and analysis, and/or temporary equipment.
(2) Operations and Management Activities including:
(i) Routine maintenance, minor construction or rehabilitation, minor demolition, minor modification, minor repair, and continuing or altered operations at, or of, existing NASA or NASA-funded or -approved facilities and equipment, such as buildings, roads, grounds, utilities, communication systems, and ground support systems (e.g., space tracking and data systems). This includes routine operations such as security, public health and safety, and environmental services.
(ii) Installing or removing equipment, including component parts, at existing Government or private facilities.
(iii) Contributing equipment, software, technical advice, exchanging data, and consulting with other agencies and public and private entities.
(iv) NASA ceremonies, commemorative events, and memorial services.
(v) Routine packaging, labeling, storage, transportation, and disposal of materials and wastes, in accordance with applicable Federal, state, Tribal, or local laws or requirements. Examples include but are not limited to hazardous, non-hazardous, and other regulated materials and wastes.
(vi) Habitat and species management activities conducted within the boundaries of NASA-controlled properties in accordance with applicable Federal, state, or local requirements. Examples include but are not limited to restoration of unique or critical habitat; thinning or brush control to improve growth of natural habitat, reduce invasive species, or reduce fire hazard; prescribed burning to reduce natural fuel build-up, reduce invasive species, or improve native plant vigor; planting appropriate vegetation that does not include noxious weeds or invasive plants; or wildlife management activities (REC required).
(vii) Small-scale, short-term cleanup actions under the Resource Conservation and Recovery Act or other authorities to reduce risk to human health or the environment from the release or imminent and substantial threat of release of a hazardous substance other than high-level radioactive waste and spent nuclear fuel, including treatment (such as incineration, encapsulation, physical or chemical separation, and compaction), recovery, storage, or disposal of wastes at existing facilities currently handling the type of waste involved in the action.
(viii) Replacement of existing energy sources with alternative or renewable energy sources that comply with existing permit conditions.
(ix) Routine maintenance, repair, and operation of vessels (including unmanned autonomous surface vessels), aircraft (including unmanned aircraft systems), overland/surface transportation vehicles, and other transportation systems as applicable. Examples include but are not limited to transportation or relocation of NASA equipment and hardware by barge, aircraft, or surface transportation system (e.g., tractor trailer or railroad); retrieval of spent solid rocket boosters by vessel; repair or overhaul of vessel, aircraft, or surface transportation systems that do not result in a change in the environmental impacts of their normal operation.
(3) Research, Development, and Science Activities including:
(i) Research, development, testing, and evaluation in compliance with all applicable Federal, state, Tribal, or local laws or requirements and Executive Orders. This includes the research, development, testing, and evaluation of scientific instruments proposed for use on spacecraft, aircraft (including unmanned aircraft systems), sounding rockets, balloons, laboratories, watercraft, or other outdoor activities.
(ii) Use of small quantities of radioactive materials used for instrument detectors, calibration, and other purposes. Materials may be associated with the proposed use on spacecraft, aircraft (including unmanned aircraft systems), sounding rockets, balloons, laboratories, watercraft, or other outdoor activities.
(iii) Use of lasers for research and development, scientific instruments and measurements, and distance and ranging, where such use meets all applicable Federal, state, Tribal, or local laws or requirements and Executive orders. This includes lasers associated with spacecraft, aircraft (including unmanned aircraft systems), sounding rockets, balloons, laboratories, watercraft, or other outdoor activities.
(iv) Use of non-space nuclear system payloads on various platforms (e.g., launch vehicle, sounding rocket, scientific balloon, and aircraft) (REC required).
(v) Return of samples from solar system bodies (e.g., asteroids, comets, planets, dwarf planets, and planetary moons) to Earth when categorized as an Unrestricted Earth Return. NASA defines this activity as collecting extraterrestrial materials from solar system bodies, deemed by scientific opinion to have no indigenous life forms, and returning those samples to Earth (REC required).
(4) Real and Personal Property Activities including:
(i) Acquisition, transfer, or disposal of any personal property, or personal property rights or interests.
(ii) Granting or accepting easements, leases, licenses, rights-of-entry, and permits to use NASA property, or any non-NASA property, for activities that would be categorically excluded in accordance with this section (REC required).
(iii) Transfer or disposal of real property, property rights, or interests if a resulting change in use is a use that would be categorically excluded under this section (REC required).
(iv) Transferring real property administrative control to another Federal agency, including the return of public domain lands to the Department of the Interior (DoI) or other Federal agencies, and reporting of property as excess and surplus to the General Services Administration (GSA) for disposal, when the agency receiving administrative control (or GSA, following receipt of a report of excess) shall complete any necessary NEPA review prior to any change in land use (REC required).
(v) Acquisition of real property (including facilities) where the land use will not change substantially (REC required).
(vi) Change in the facility status of real property assets (e.g., active or inactive).
(vii) Reductions, realignments, or relocation of personnel into existing Federally owned or commercially leased space that does not involve a substantial change affecting the supporting infrastructure (e.g., no increase in vehicular traffic beyond the capacity of the supporting road network to accommodate such an increase).
(5) Aircraft and Airfield Activities including:
(i) Periodic aircraft (including unmanned aircraft systems) flight activities, including training and research and development, which are routine and comply with applicable Federal, state, Tribal, or local laws or requirements, and Executive Orders.
(ii) Relocation of similar aircraft (including unmanned aircraft systems) not resulting in a substantial increase in total flying hours, number of aircraft operations, operational parameters (e.g., noise), or permanent personnel or logistics support requirements at the receiving installation (REC required).
(e) The Responsible Official shall review the proposed action in its early planning stage and consider the scope of the action, the potentially affected environment, and the degree of the reasonably foreseeable effects of the action to determine whether extraordinary circumstances exist that could result, either individually or cumulatively, in significant environmental impacts. If extraordinary circumstances exist, the Responsible Official must determine whether application of the categorical exclusion to the proposed action is appropriate or whether preparation of an EA or EIS is required.
(a) NASA shall prepare an EA, which complies with 40 CFR 1501.5, when a proposed action is not categorically excluded and is not likely to have significant effects or when the significance of the effects is unknown. NASA shall consider the potentially affected environment and degree of the effects of the action when determining whether to prepare an EA.
(b) NASA actions normally requiring an EA include:
(1) Altering the ongoing operations at a NASA Center where the significance of the environmental effect(s) is unknown.
(2) Construction or modifications of facilities that represent a major change to an existing master plan and could result in a change in the environmental effect(s).
(3) Actions that are expected to result in major changes to established land use.
(4) Launching a spacecraft containing a space nuclear system. Space nuclear systems include radioisotope power systems, such as radioisotope thermoelectric generators and radioisotope heater units, and fission systems used for surface power and spacecraft propulsion.
(a) NASA shall prepare an EIS for actions that are likely to significantly impact the quality of the human environment, including actions for which an EA demonstrates that significant environmental impacts will potentially occur which will not be reduced or eliminated by changes to the proposed action or mitigation of its potentially significant environmental impacts. An EIS shall be prepared and published in accordance with CEQ's implementing regulations (40 CFR part 1502).
(b) NASA actions normally requiring an EIS include:
(1) Development and operation of new NASA-developed launch vehicles or space transportation systems.
(2) Management, including recovery, transport, and curation, of sample returns to Earth from solar system bodies (such as asteroids, comets, planets, dwarf planets, and planetary moons) that would receive a Restricted Earth Return categorization. NASA requires such a mission to include additional measures to ensure any potential indigenous life form would be contained so it could not adversely impact humans or Earth's environment.
(3) Substantial construction projects expected to result in significant effect(s) on the quality of the human and natural environment when such construction and its effects are not within the scope of an existing master plan.
(a) For actions that require EAs or EISs, NASA encourages programmatic-level analysis for actions that are similar in nature, broad in scope, or likely to have similar environmental effects. Programmatic NEPA analyses may take place in the form of an EA or EIS. (b) Tiering from previously prepared EISs or EAs is appropriate when it would eliminate repetitive discussions of the same issues and exclude from consideration issues already decided. Tiering from a programmatic-level NEPA document is appropriate for site- or project-specific actions that are included within the scope of the programmatic-level analysis.
(a) In cases where a major Federal action remains to occur, supplemental documentation may be required for previously prepared EAs or EISs under the following circumstances:
(1) If substantial changes are made to the proposed action that are relevant to environmental concerns; or
(2) There are significant new circumstances or information relevant to environmental concerns and bearing on the proposed action and its impacts; or
(3) NASA determines that the purposes of NEPA will be furthered by doing so.
(b) The preparation of a supplemental EA or EIS shall be undertaken using the same procedural requirements set forth in 40 CFR 1501.5 or 40 CFR part 1502, as applicable; however, in the event a supplement to an EIS is required, scoping shall not be required unless, at NASA's discretion and in consideration of the factors and requirements of 40 CFR 1501.9, it is determined to be necessary or would otherwise further the purposes of NEPA.
(c) When it is unclear if an EA or EIS supplement is required, NASA may prepare a Supplement Analysis.
(1) The Supplement Analysis will discuss the circumstances that are pertinent to deciding whether to prepare a supplemental EA or EIS.
(2) The Supplement Analysis will contain sufficient information for NASA to determine whether:
(i) An existing EA or EIS should be supplemented;
(ii) A new EA or EIS should be prepared; or
(iii) No further NEPA documentation is required.
(3) NASA shall make the determination and the related Supplement Analysis available to the public for information.
(d) When applicable, NASA shall incorporate the determination and supporting Supplement Analysis made under paragraph (b) of this section, into the administrative record related to the action that is the subject of the EA or EIS supplement or determination.
When the analysis proceeds to an EA or EIS and mitigation measures are adopted for the purpose of avoiding or reducing the significance of environmental impacts, such mitigation measures will be identified in the EA Finding of No Significant Impact (FONSI) or the EIS Record of Decision (ROD). NASA shall implement mitigation measures (including adaptive management strategies, where appropriate) consistent with applicable FONSIs and/or RODs and shall monitor their implementation and effectiveness. The Responsible Official shall ensure that funding for such mitigation measures is included in the program or project budget.
(a) The classified status of a proposed action does not relieve NASA of the requirement to assess, document, and consider the environmental impacts of a proposed action.
(b) When classified information can reasonably be separated from other information and a meaningful environmental analysis can be produced, unclassified documents will be prepared and processed in accordance with these regulations. Classified portions will be kept separate and provided to properly cleared reviewers and decision makers in the form of a properly classified document that meets the requirements of these regulations to the extent permitted, given such classification.
(a) When the Responsible Official determines that emergency circumstances exist which make it necessary to take immediate response and/or recovery action(s) before preparing a NEPA analysis, then the following provisions apply:
(1) The Responsible Official may undertake immediate emergency response and/or recovery action(s) necessary to protect life, property, or valuable resources. When taking such action(s), the Responsible Official shall, to the extent practicable, mitigate foreseeable adverse environmental impacts.
(2) At the earliest practicable time, the Responsible Official shall notify the SAO of the emergency and any past, ongoing, or future NASA emergency response and/or recovery action(s). The SAO shall determine if NEPA applies and the appropriate level of NEPA analysis to document the emergency. If the emergency response and/or recovery action(s) will reasonably result in significant environmental impacts, the SAO shall consult with the CEQ about alternative arrangements for compliance with NEPA.
(b) If the Responsible Official proposes emergency response and/or recovery actions that will continue beyond those needed to immediately protect life, property, and valuable resources, the Responsible Official shall consult with the SAO to determine the appropriate level of NEPA compliance. If continuation of the emergency actions will reasonably result in significant environmental impacts, the SAO shall consult with the CEQ about alternative arrangements for compliance.
This part sets forth policy and procedures with respect to the use of the NASA's authority to certify to the U.S. Commissioner of Customs duty-free entry of articles into the United States for the use of NASA or for implementation of a NASA international program, including articles that will be launched into space, spare parts for such articles, ground support equipment, or uniquely associated equipment for use in connection with a NASA international program or launch service agreement. This part also sets forth NASA's procedures with respect to the use of its authority to bring foreign-owned articles and articles from space into the customs territory of the United States, and describes the nonimport status of such articles.
This part applies to qualifying articles entered or withdrawn from warehouse for consumption in the customs territory of the United States, and to articles brought into the customs territory of the United States by NASA from space or from foreign country as part of the NASA international program.
In order to encourage and facilitate the use of NASA's launch services for the exploration and use of space, section 116 of Public Law 97-446 provided for the duty-free entry into the United States of certain articles imported by NASA for its space-related activities or articles imported by another person or entity for the purpose of meeting its obligations under a launch services agreement with NASA. Such articles were certified by NASA to the Commissioner of Customs for duty-free entry to be launched into space or space parts or necessary and uniquely associated support equipment for use in connection with a launch into space. This exemption from duty was provided for in Subheading 9808.00.80, Harmonized Tariff Schedule of the United States (HTSUS) (19 U.S.C. 1202). Also, HTSUS, Chapter VIII, U.S. note 1, pursuant to the same law, provided that return of articles by NASA from space to the United States would not be considered an importation, and similarly not be subject to a duty.
As a result of the Uruguay Round agreements of the 1994 General Agreement on Tariffs and Trade, this authority was revised and expanded in scope. It now provides that imports of articles for NASA's use and articles imported to implement NASA's international programs, including articles to be launched into space, parts thereof, ground support equipment, and uniquely associated equipment for use in connection with NASA's international programs and launch service agreements would be eligible for duty-free customs entry upon certification by NASA to the Commissioner of Customs. The revised authorities also provided, in U.S. note 1 to subchapter VIII of chapter 98 of the HTSUS, that articles brought into the customs territory of the United States by NASA from space or from a foreign country as part of a NASA's international programs would not be considered imports or subject to customs entry requirements.
(a) The following NASA officials, their deputies, and designees within their respective organizations are authorized, under the conditions described herein, to make the certification to the Commissioner of Customs required for the duty-free entry of space articles pursuant to subheading HTSUS 9808.00.80.
(1) The NASA Assistant Administrator for Procurement is authorized to issue the certification for articles imported into the United States which are procured by NASA or by other U.S. Government agencies, or by U.S. Government contractors or subcontractors when title to the articles is or will be vested in the U.S. Government pursuant to the terms of the contract or subcontract. Requests for certification should be sent to: Office of Procurement, Attn: Director, Contract and Grant Policy Division, National Aeronautics and Space Administration, Washington, DC 20546.
(2) The NASA Associate Administrator for International and Interagency Relations is authorized to issue the certification for articles imported into the United States pursuant to international agreements. Requests for certification should be sent to: Office of International and Interagency Relations, Attn: Director, Export Control and Interagency Liaison Division, National Aeronautics and Space Administration, Washington, DC 20546.
(3) The NASA Associate Administrator for Human Exploration and Operations is authorized to issue the certification for articles imported into the United States by persons or entities under agreements other than those identified in paragraphs (a)(1) and (a)(2) of this section, including launch services agreements. Requests for certification should be sent to: Human Exploration and Operations Mission Directorate, Attn: Director, International Space Station Office, National Aeronautics and Space Administration, Washington, DC 20546.
(b) Each certification by the officials identified in paragraphs (a)(1), (a)(2), and (a)(3) of this section shall receive the concurrence of the Office of the General Counsel.
(c) Subject to procedures established by the officials identified in paragraphs (a)(1), (a)(2), or (a)(3) of this section, as appropriate, the Center Procurement Officer or a Program Manager at a NASA Installation who is designated by an official identified in paragraphs (a)(1), (a)(2), or (a)(3) of this section may make the certification to the Commissioner of Customs required for the duty-free entry of space articles pursuant to subheading HTSUS 9808.00.80. Such procedures shall include the following requirements:
(1) All such certifications by designated Procurement Officers or Program Managers shall receive the concurrence of the Chief Counsel of the issuing NASA Installation; and
(2) All such certifications by designated Procurement Officers or Program Managers shall be promptly reported to an official identified in paragraphs (a)(1), (a)(2), or (a)(3) of this section, as appropriate.
To the extent an authorized NASA official approves a request for certification, that official shall sign a certificate in the following form:
(a) For articles procured by NASA, a Customs Service Form CF 7501 (Entry Summary) shall be completed, and the following certification shall be used:
I hereby certify that the articles identified in [attached invoice] are being imported for the use of the National Aeronautics and Space Administration (NASA) in accordance with 9808.00.80, Harmonized Tariff Schedule of the United States.
(b) For articles imported by NASA to implement international programs of NASA to which NASA will take title, or which remain the property of foreign entities under such programs, no entry is required pursuant to U.S. note 1 to HTSUS subchapter VIII of chapter 98. For such articles, the following certification shall be used:
In accordance with subheading 9808.00.80 and U.S. note 1 to subchapter VIII of chapter 98, Harmonized Tariff Schedule of the United States, I hereby certify that the above-described shipment is being brought into the customs territory of the United States as part of an international program of the National Aeronautics and Space Administration (NASA). No CF 7501 entry is required for this shipment. All articles contained in this shipment are, and shall remain, the property of NASA or of the foreign entities identified above. Except for articles consumed in the execution of the above-described Program, none of these articles will be made available for sale or other disposition to persons or institutions not directly involved in the Program identified above.
(c) A blanket certificate for a series of imports under a specific NASA international program or procurement is authorized but shall require written verification by a NASA official designated by a Director of a receiving NASA Installation that the articles received meet the conditions of the certificate. The blanket certificate shall be in the form of the certifications set forth in paragraphs (a) or (b) of this section, as appropriate, but shall include the following paragraph at the end thereof:
Before this certification is used to obtain duty-free entry of these articles, a cognizant NASA official at the receiving NASA Installation, who is designated by the Installation Director, shall verify in writing that specifically identified articles to be entered on a particular date are the articles described in this certificate or its attachments. This verification and this certification shall be presented to the U.S. Customs Service at the time entry for the particular articles is sought.
With respect to articles represented to be: procurements by NASA; or imports to implement international programs of NASA to which NASA will take title, or foreign-owned articles for use in a NASA international program, the NASA official issuing the blanket certificate shall review the proposed articles and approve their eligibility for duty-free entry. A description of these articles shall either be referred to in the blanket certificate and provided in Form CF 7501 (Entry Summary) for procurements or attached to the certificate for imports to implement NASA international programs, as appropriate.
(a) Requests for certification shall be forwarded to an appropriate NASA official or designee as provided for in § 1217.103 of this part.
(b) Each request for certification shall be accompanied by:
(1) A proposed certificate as provided for in § 1217.104 of this part;
(2) The information and documentation required by 19 CFR 10.102(a), including invoice documentation or a description of covered articles; and
(3) The anticipated date of entry of entry and port of entry for each article. If the article is to be transported in bond from the port of arrival to another port of entry in the United States, identify both ports.
(c) The signed certificate and its attachment(s) will be forwarded to the NASA Installation responsible for duty-free entry of the materials, unless issued at such Installation by an authorized official in accordance with § 1217.103(c) of this part. These documents shall be presented to an appropriated Customs official at the port(s) of entry. The procedures specified in 19 CFR 10.102 will be followed by the NASA Installation in obtaining duty-free entry at the Customs port(s) of entry. The NASA Installation should ensure that, at the time the articles are to be released after Customs entry, the custody of the imported articles is transferred directly from the carrier or from the U.S. Customs Service to the NASA Installation, its agent, or the launch service customer in the case of a Launch and Associated Services Agreement.
(d) If articles procured under contract by NASA are imported prior to compliance with these procedures and it is essential that the articles be released from Customs custody prior to such compliance, the procedures outlined in 19 CFR 10.101 may be followed by cognizant NASA officials to secure the release of the articles from Customs custody. To the extent applicable, the procedures in § 1217.105 of this part shall be followed when time permits to obtain duty-free entry for the articles released from Customs custody.
Pursuant to U.S. note 1 subchapter VIII of chapter 98, HTSUS, articles brought into the customs territory of the United States by NASA from space shall not be considered an importation, and no certification or entry of such materials through U.S. Customs shall be required. This provision is applicable to articles brought to the U.S. from space whether or not the articles were launched into space aboard a NASA vehicle.
This subpart sets forth the policy governing the use of the NASA Seal, the NASA Insignia, NASA Logotype, NASA Program Identifiers, and the NASA Flags. This subpart also establishes and sets forth the concept and scope of the NASA Graphics Standards Manual and prescribes the policy and guidelines for implementation of the system. The NASA Graphics Standards Manual is accessible at https://communications.nasa.gov/sites/default/files/files/NASA_Graphics_Standards_v3-TAGGED-v3.pdf.
(a) The NASA Seal, the NASA Insignia, NASA Logotype, NASA Program Identifiers, the NASA Flags, and the Agency's Unified Visual Communications System, as prescribed in § 1221.102 through § 1221.108 of this subpart, shall be used exclusively to represent NASA, its programs, projects, functions, activities, or elements. The use of any devices other than those provided by or subsequently approved in accordance with the provisions of this subpart is prohibited.
(b) The use of the devices prescribed in this section shall be governed by the provisions of this subpart. The use of the devices prescribed in this section for any purpose other than as authorized by this subpart is prohibited. Their misuse shall be subject to the penalties authorized by statute, as set forth in § 1221.115 and shall be reported as provided in § 1221.116.
(c) Any proposal for a new NASA Insignia, NASA Logotype, NASA Program Identifier, or for modification to those prescribed in this section shall be processed in accordance with § 1221.114.
The NASA Seal was established by Executive Order 10849 (24 FR 9559), November 27, 1959, as amended by Executive Order 10942 (24 FR 4419), May 22, 1961. The NASA Seal, established by the President, is the Seal of the Agency and symbolizes the achievements and goals of NASA and the United States in aeronautical and space activities. The NASA Seal shall be used as set forth in § 1221.109.
The NASA Insignia was designed by the Army Institute of Heraldry and approved by the Commission of Fine Arts and the NASA Administrator. It symbolizes NASA's role in aeronautics and space and is established by the NASA Administrator as the signature and design element for visual communications formerly reserved for the NASA Logotype. The NASA Insignia shall be used as set forth in §§ 1221.108, the NASA Graphics Standards Manual, and any accompanying style guides or related NASA directive or specification approved by the NASA Administrator and published subsequent hereto.
The NASA Logotype (also called “the Worm”) was approved by the Commission of Fine Arts and the NASA Administrator. It symbolizes NASA's role in aeronautics and space from 1975 to 1992 and was retired between 1992-2020. The NASA Logotype shall be used as set forth in § 1221.111.
A separate and unique identifier may be designed and approved in connection with or in commemoration of a major NASA program. Each approved identifier shall be officially identified by its title such as “Apollo,” “Skylab,” “Viking,” “Space Shuttle,” “Space Station,” or a major NASA anniversary. NASA Program Identifiers shall be used as set forth in § 1221.112 pursuant to approval as set forth in § 1221.114.
The NASA Flags for interior and exterior use were created by the NASA Administrator in January 1960. Complete design, size, and color of the NASA interior and exterior flags for manufacturing purposes are detailed in U.S. Army QMG Drawing 5-1-269, revision September 14, 1960. The NASA Flags shall be used as set forth in § 1221.113.
(a) Concurrently with the establishment of the NASA Flag in January 1960, the NASA Administrator also established NASA Flags to represent the NASA Administrator, Deputy Administrator, and Associate Administrator. Each of these flags conforms to the basic design of the NASA Flag except for the following:
(1) The size of the flag is 3 feet x 4 feet;
(2) The Administrator's Flag has four stars;
(3) The Deputy Administrator's Flag has three stars; and
(4) The Associate Administrator's Flag has two stars.
(b) Flags representing these senior officials shall be used as set forth in § 1221.113.
(a) The NASA Administrator directed the establishment of a NASA Unified Visual Communications System. The system, which is comprised of the NASA Graphics Standards Manual and any accompanying style guides or related NASA directive or specification, was developed under the Federal Design Improvement Program initiated by the President in May 1972. This system is the Agency-wide program by which NASA projects a contemporary, business-like, progressive, and forward-looking image through the use of effective design for improved communications. The system provides a professional and cohesive NASA identity by imparting continuity of graphics design in all layout, reproduction art, stationery, forms, publications, signs, films, video productions, vehicles, aircraft, and spacecraft markings and other items. It creates a unified image which is representative and symbolic of NASA's progressive attitudes and programs.
(b) The Associate Administrator for Communications is responsible for the development and implementation of the NASA Graphics Standards Manual and any accompanying style guides for the Agency or related NASA directive or specification.
(c) The Associate Administrator for Communications has designated staff to implement and monitor Agency-wide design improvements in consonance with the NASA Graphics Standards Manual. Designated staff will develop and issue changes and additions to the Manual as required and as new design standards and specifications are developed and approved. The NASA Graphics Standards Manual can be downloaded at https://communications.nasa.gov/sites/default/files/files/NASA_Graphics_Standards_v3-TAGGED-v3.pdf.
(d) NASA Centers and Headquarters have designated staff to implement NASA's graphics standards and ensure compliance of the NASA Graphics Standards Manual and any accompanying Style Guides or related NASA directive or specification.
(a) The Associate Administrator for Communications shall be responsible for custody of the NASA Impression Seal and custody of NASA replica (plaques) seals. The NASA Seal is restricted to the following:
(1) NASA award certificates and medals.
(2) NASA awards for career service.
(3) Security credentials and employee identification cards.
(4) NASA Administrator's documents; the Seal may be used on documents such as interagency or intergovernmental agreements and special reports to the President and Congress, and on other documents, at the discretion of the NASA Administrator.
(5) Plaques; the design of the NASA Seal may be incorporated in plaques for display in Agency auditoriums, presentation rooms, lobbies, offices of senior officials, and on the fronts of buildings occupied by NASA. A separate NASA seal in the form of a 15-inch, round, bronze-colored plaque on a walnut-colored wood base is also available, but prohibited for use in the above representational manner. It is restricted to use only as a presentation item by the Administrator and the Deputy Administrator.
(6) The NASA Flag and the NASA Administrator's, Deputy Administrator's, and Associate Administrator's Flags, which incorporate the design of the Seal.
(7) NASA prestige publications which represent the achievements or missions of NASA as a whole.
(8) Publications (or documents) involving participation by another Government agency for which the other Government agency has authorized the use of its seal.
(b) Use of the NASA Seal for any purpose other than as prescribed in this section is prohibited, except that the Associate Administrator for Communications may authorize, on a case-by-case basis, the use of the NASA Seal for purposes other than those prescribed when the Associate Administrator for Communications deems such use to be appropriate.
The NASA Insignia is authorized for use on the following:
(a) NASA articles. (1) NASA letterhead stationary.
(2) Films, videotapes, and sound recordings produced by or for NASA.
(3) Wearing apparel and personal property items used by NASA employees in the performance of their duties.
(4) Required uniforms of contractor employees when performing public affairs, guard or fire protection duties, and similar duties within NASA Installations or at other assigned NASA duty stations, and on any required contractor-owned vehicles used exclusively in the performance of these duties, when authorized by NASA contracting officers.
(5) Spacecraft, aircraft, automobiles, trucks and similar vehicles owned by, leased to, or contractor-furnished to NASA, or produced for NASA by contractors, but excluding NASA-owned vehicles used and operated by contractors for the conduct of contractor business.
(6) Equipment and facilities owned by, leased to, or contractor-furnished to NASA, such as machinery, major tools, ground handling equipment, office and shop furnishings (if appropriate), and similar items of a permanent nature, including those produced for NASA by contractors.
(7) NASA publications, including pamphlets, brochures, manuals, handbooks, house organs, bulletins, general reports, posters, signs, charts, exhibits, and items of similar nature for general use, as specified in the NASA Graphics Standards Manual and the NASA Insignia Standards Supplement.
(8) Briefcases or dispatch cases issued by NASA.
(9) Certificates covering authority to NASA and contractor security personnel to carry firearms.
(10) NASA occupied buildings when the use of the NASA Insignia is more appropriate than use of the NASA Seal.
(b) Personal articles—NASA employees. (1) Business calling cards of NASA employees may carry the imprint of the NASA Insignia.
(2) Limited usage on automobiles. If determined appropriate by the cognizant Installation official, it is acceptable to place a NASA Insignia sticker on personal automobiles where such identification will facilitate entry or control of such vehicles at NASA Installations or parking areas.
(3) Personal items used in connection with NASA employees' recreation association activities.
(4) Items for sale through NASA employees' nonappropriated fund activities subject to paragraph (c) of this section.
(5) NASA employees shall not use the NASA Insignia in any manner that would imply that NASA endorses a commercial product, service, or activity or that material of a nonofficial nature represents NASA's official position.
(c) Miscellaneous articles. (1) The manufacture and commercial sale of the NASA Insignia as a separate and distinct device in the form of an emblem, patch, insignia, badge, decal, vinylcal, cloth, metal, or other material which would preclude NASA's control over its use or application is prohibited.
(2) Use of the NASA Uniform Patches, which incorporate the NASA Insignia, is authorized only as prescribed in the NASA Graphics Standards Manual and the NASA Insignia Standards Supplement, for NASA personnel and NASA contractor personnel identification.
(3) No approval for use of the NASA Insignia will be authorized when its use can be construed as an endorsement by NASA of a product or service.
(4) Items bearing the NASA Insignia and NASA Logotype such as souvenirs, novelties, toys, models, clothing, and similar items (including items for sale through the NASA employees' nonappropriated fund activities) may be manufactured and sold only after the a request has been submitted to, and approved by, the NASA Office for Communications, NASA Headquarters, Washington, DC 20546.
(d) Use of the NASA Insignia for any other purpose than as prescribed in this section is prohibited, except that the Associate Administrator for Public Affairs may authorize on a case-by-case basis the use of the NASA Insignia for other purposes when the Associate Administrator for the Public Affairs deems such use to be appropriate.
The NASA Logotype which was retired from 1992-2020 can be used only in an authentic historical context, on merchandise in accordance with § 1221.110, paragraph (c), in the NASA graphics standards/style guide or with prior written approval of the NASA Administrator.
(a) Official NASA Program Identifiers will be restricted to the uses set forth in this section and to such other uses as the Associate Administrator for Communications may specifically approve.
(b) Specific approval is given for the following uses:
(1) Use of exact reproductions of a badge in the form of a patch made of cloth or other material, or a decal, or a gummed sticker on articles of wearing apparel and personal property items; and
(2) Use of exact renderings of a badge on a coin, medal, plaque, or other commemorative souvenirs.
(c) The manufacture and sale or free distribution of identifiers for the uses approved or that may be approved under paragraphs (a) and (b) of this section are authorized.
(d) Portrayal of an exact reproduction of a badge in conjunction with the advertising of any product or service will be approved on a case-by-case basis by the Associate Administrator for Public Affairs.
(e) The manufacture, sale, or use of any colorable imitation of the design of an official NASA Program Identifier will not be approved.
(a) The NASA Flag is authorized for use only as follows:
(1) On or in front of NASA buildings.
(2) At NASA ceremonies.
(3) At conferences (including display in NASA conference rooms).
(4) At governmental or public appearances of NASA executives.
(5) In private offices of senior officials.
(6) As otherwise authorized by the NASA Administrator or designee.
(7) The NASA Flag must be displayed with the United States Flag. When the United States Flag and the NASA Flag are displayed on a speaker's platform in an auditorium, the United States Flag must occupy the position of honor and be placed at the speaker's right as the speaker faces the audience, with the NASA Flag at the speaker's left.
(b) The NASA Administrator's, Deputy Administrator's and Associate Administrator's Flags shall be displayed with the United States Flag in the respective offices of these officials but may be temporarily removed for use at the discretion of the officials concerned.
(a) Except for NASA Astronaut Mission Crew Badges/Patches, any proposal to change or modify the emblematic devices set forth in this subpart or to introduce a new emblematic device other than as prescribed in this subpart requires the written approval of the NASA Administrator with prior approval and recommendation of the NASA Associate Administrator for Communications.
(b) In addition to the written approval of the NASA Administrator, any proposal for a new or for a modification to the design of the NASA Insignia may also be submitted to the Commission of Fine Arts for its advice as to the merit of the design. If approved in writing by the NASA Administrator and advice received from the Commission of Fine Arts, the NASA Insignia and the use of such NASA Insignia must be prescribed in this subpart and published in the
(c) Proposals to establish, change, or modify NASA Astronaut Crew Mission Badges/Patches requires the written approval of the Director, Flight Crew Operations, Johnson Space Center; Center Director, Johnson Space Center; and the Associate Administrator for Space Flight. Decals/patches/badges may be produced as soon as the approval cycle is completed.
(a) NASA Seal. Any person who uses the NASA Seal in a manner other than as authorized in this subpart shall be subject to the provisions of Title 18 U.S.C. 1017.
(b) NASA Insignia, NASA Logotype, and NASA Program Identifiers. Any person who uses the NASA Insignia, NASA Logotype, or NASA Program Identifier in a manner other than as authorized in this subpart shall be subject to the provisions of title 18 U.S.C. 701.
In order to ensure adherence to the authorized uses of the NASA Seal, the NASA Insignia, the NASA Logotype, NASA Program Identifiers, and the NASA Flags as provided, in this subpart, a report of each suspected violation of this subpart (including the use of unauthorized NASA Insignias) or of questionable usages of the NASA Seal, the NASA Insignia, the NASA Logotype, NASA Program Identifiers, or the NASA Flags, shall be submitted to the Inspector General, NASA Headquarters, in accordance with NASA Management Instruction 9810.1, “The NASA Investigations Program.”
This subpart establishes procedures for nominating an astronaut for the Congressional Space Medal of Honor.
(a) The standard of award for the Congressional Space Medal of Honor is established by Pub. L. 91-76 (42 U.S.C. 2461) which provides that the President may award the Medal to any “astronaut who in the performance of his duties has distinguished himself by exceptionally meritorious efforts and contributions to the welfare of the Nation and of mankind.”
(b) Only one Congressional Space Medal of Honor may be awarded to a person. However, for each succeeding act that would otherwise justify the award of the Medal, the President may award a suitable bar or other device.
(c) The Medal may be awarded to any person who is or has been designated to travel in space and who has distinguished himself or herself while undertaking duties in preparation for, execution of, or subsequent to, but in connection with, a space flight.
(d) The Medal may be awarded for actions occurring before the effective date of this subpart 1221.2, and, when appropriate, posthumously.
The description of the Congressional Space Medal of Honor, which was designed by the Institute of Heraldry, U.S. Army, is set forth in appendix A to this subpart. Each person awarded the Medal also shall receive a citation describing the basis for the award.
(a) Formal nominations for award of the Congressional Space Medal of Honor on behalf of NASA will be made by the Administrator to the President.
(b) Any person may recommend to the Administrator that an astronaut be nominated for award of the Medal. Such a recommendation must be in writing, and must describe in concise detail the events believed to warrant award of the Medal. The recommendation should, if appropriate, be accompanied by supporting documentation, such as eyewitness statements, extracts from official records, sketches, photographs, etc.
(c) All recommendations for nominations submitted to the Administrator or made on his own initiative will be referred to the NASA Incentive Awards Board for the purpose of investigating and making findings of fact and giving advice to the Administrator.
(d) Any recommendation involving an astronaut who is a member of the armed services on active duty or who is employed by another agency of the Federal Government but temporarily assigned or detailed to NASA shall also be transmitted to the Secretary of Defense or the head of the employing agency, as appropriate, for his or her recommendation.
(e) The Administrator will forward to the President his recommendation, and that of the astronaut's employing agency, as appropriate.
The NASA Incentive Awards Board shall thoroughly consider the facts giving rise to a recommendation for nomination and shall prepare a report for the Administrator. The Board should, to the extent practicable, coordinate its efforts with those of the astronaut's employing agency, as appropriate. Its final report must take into account any pertinent information submitted by the employing agency.
A circular green enamel wreath of laurel surmounted by a five-pointed gold star (with vertical point downward) and issuing from between each point a gold flame, the star surmounted by a light blue enamel cloud bank with five lobes edged in gold bearing a five-pointed dark blue enamel star fimbriated gold and charged in center with a diamond; standing upon the wreath at top center a gold eagle with wings displayed.
The laurel wreath, a symbol of great achievement, with the overlapping star points, simulates space vehicles moving to greater accomplishments through space. The flames signify the dynamic energy of the rocket era and the imagination of the men in the space program of the United States. The stylized glory cloud alludes to the glory in the coat of arms of the United States and to the high esteem of the award. The dark blue voided star symbolizes the vast mysteries of outer space while the brilliancy of the feat is represented by a diamond. The eagle with wings raised in the spirit of peace represents man's first landing on another planet.
The reverse bears in center the inscription “CONGRESSIONAL” arranged in a semicircle above the inscription “SPACE MEDAL PRESENTED TO”; in base is space for the name of the recipient and the date all within an outer circle of fifty stars.
A ribbon 1
cable nos. of colors
| Gold | 65021 (old gold). |
| Dark Blue | 70076 (independence blue). |
| Blue | 65014 (light blue). |
| Red | 65006 (scarlet). |
| White | 65005. |
The scarlet center line on the white band symbolizes the courage of the astronauts in the nation's manned space program and the fire power of rockets that carry the crew through the earth's atmosphere (light blue); the light blue is the same color as the chief of the shield of the coat of arms of the United States which appears on the President's flag. The dark blue symbolizes the hostile environment of space, the gold edge representing success and accomplishment. Red, white and blue are also the national colors of the United States.
A one-half size replica of the medal and suspension ribbon approximately 2
A miniature of the obverse of the medal,
One-half inch in diameter in the colors of the ribbon.
(a) Except as detailed in § 1230.104, this policy applies to all research involving human subjects conducted, supported, or otherwise subject to regulation by any Federal department or agency that takes appropriate administrative action to make the policy applicable to such research. This includes research conducted by Federal civilian employees or military personnel, except that each department or agency head may adopt such procedural modifications as may be appropriate from an administrative standpoint. It also includes research conducted, supported, or otherwise subject to regulation by the Federal Government outside the United States. Institutions that are engaged in research described in this paragraph and institutional review boards (IRBs) reviewing research that is subject to this policy must comply with this policy.
(b) [Reserved]
(c) Department or agency heads retain final judgment as to whether a particular activity is covered by this policy and this judgment shall be exercised consistent with the ethical principles of the Belmont Report.
(d) Department or agency heads may require that specific research activities or classes of research activities conducted, supported, or otherwise subject to regulation by the Federal department or agency but not otherwise covered by this policy comply with some or all of the requirements of this policy.
(e) Compliance with this policy requires compliance with pertinent federal laws or regulations that provide additional protections for human subjects.
(f) This policy does not affect any state or local laws or regulations (including tribal law passed by the official governing body of an American Indian or Alaska Native tribe) that may otherwise be applicable and that provide additional protections for human subjects.
(g) This policy does not affect any foreign laws or regulations that may otherwise be applicable and that provide additional protections to human subjects of research.
(h) When research covered by this policy takes place in foreign countries, procedures normally followed in the foreign countries to protect human subjects may differ from those set forth in this policy. In these circumstances, if a department or agency head determines that the procedures prescribed by the institution afford protections that are at least equivalent to those provided in this policy, the department or agency head may approve the substitution of the foreign procedures in lieu of the procedural requirements provided in this policy. Except when otherwise required by statute, Executive Order, or the department or agency head, notices of these actions as they occur will be published in the
(i) Unless otherwise required by law, department or agency heads may waive the applicability of some or all of the provisions of this policy to specific research activities or classes of research activities otherwise covered by this policy, provided the alternative procedures to be followed are consistent with the principles of the Belmont Report.
(j) Federal guidance on the requirements of this policy shall be issued only after consultation, for the purpose of harmonization (to the extent appropriate), with other Federal departments and agencies that have adopted this policy, unless such consultation is not feasible.
(k) [Reserved]
(l) Compliance dates and transition provisions:
(1) Pre-2018 Requirements. For purposes of this section, the pre-2018 Requirements means this subpart as published in the 2016 edition of the Code of Federal Regulations.
(2) 2018 Requirements. For purposes of this section, the 2018 Requirements means the Federal Policy for the Protection of Human Subjects requirements contained in this part. The general compliance date for the 2018 Requirements is January 21, 2019. The compliance date for § 1230.114(b) (cooperative research) of the 2018 Requirements is January 20, 2020.
(3) Research subject to pre-2018 requirements. The pre-2018 Requirements shall apply to the following research, unless the research is transitioning to comply with the 2018 Requirements in accordance with paragraph (l)(4) of this section:
(i) Research initially approved by an IRB under the pre-2018 Requirements before January 21, 2019;
(ii) Research for which IRB review was waived pursuant to § 1230.101(i) of the pre-2018 Requirements before January 21, 2019; and
(iii) Research for which a determination was made that the research was exempt under § 1230.101(b) of the pre-2018 Requirements before January 21, 2019.
(4) Transitioning research. If, on or after July 19, 2018, an institution planning or engaged in research otherwise covered by paragraph (l)(3) of this section determines that such research instead will transition to comply with the 2018 Requirements, the institution or an IRB must document and date such determination.
(i) If the determination to transition is documented between July 19, 2018, and January 20, 2019, the research shall:
(A) Beginning on the date of such documentation through January 20, 2019, comply with the pre-2018 Requirements, except that the research shall comply with the following:
(1) Section 1230.102(l) of the 2018 Requirements (definition of research) (instead of § 1230.102(d) of the pre-2018 Requirements);
(2) Section 1230.103(d) of the 2018 Requirements (revised certification requirement that eliminates IRB review of application or proposal) (instead of § 1230.103(f) of the pre-2018 Requirements); and
(3) Section 1230.109(f)(1)(i) and (iii) of the 2018 Requirements (exceptions to mandated continuing review) (instead of § 1230.103(b), as related to the requirement for continuing review, and in addition to § 1230.109, of the pre-2018 Requirements); and
(B) Beginning on January 21, 2019, comply with the 2018 Requirements.
(ii) If the determination to transition is documented on or after January 21, 2019, the research shall, beginning on the date of such documentation, comply with the 2018 Requirements.
(5) Research subject to 2018 Requirements. The 2018 Requirements shall apply to the following research:
(i) Research initially approved by an IRB on or after January 21, 2019;
(ii) Research for which IRB review is waived pursuant to paragraph (i) of this section on or after January 21, 2019; and
(iii) Research for which a determination is made that the research is exempt on or after January 21, 2019.
(m) Severability: Any provision of this part held to be invalid or unenforceable by its terms, or as applied to any person or circumstance, shall be construed so as to continue to give maximum effect to the provision permitted by law, unless such holding shall be one of utter invalidity or unenforceability, in which event the provision shall be severable from this part and shall not affect the remainder thereof or the application of the provision to other persons not similarly situated or to other dissimilar circumstances.
(a) Certification means the official notification by the institution to the supporting Federal department or agency component, in accordance with the requirements of this policy, that a research project or activity involving human subjects has been reviewed and approved by an IRB in accordance with an approved assurance.
(b) Clinical trial means a research study in which one or more human subjects are prospectively assigned to one or more interventions (which may include placebo or other control) to evaluate the effects of the interventions on biomedical or behavioral health-related outcomes.
(c) Department or agency head means the head of any Federal department or agency, for example, the Secretary of HHS, and any other officer or employee of any Federal department or agency to whom the authority provided by these regulations to the department or agency head has been delegated.
(d) Federal department or agency refers to a federal department or agency (the department or agency itself rather than its bureaus, offices or divisions) that takes appropriate administrative action to make this policy applicable to the research involving human subjects it conducts, supports, or otherwise regulates (e.g., the U.S. Department of Health and Human Services, the U.S. Department of Defense, or the Central Intelligence Agency).
(e)(1) Human subject means a living individual about whom an investigator (whether professional or student) conducting research:
(i) Obtains information or biospecimens through intervention or interaction with the individual, and uses, studies, or analyzes the information or biospecimens; or (ii) Obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens.
(2) Intervention includes both physical procedures by which information or biospecimens are gathered (e.g., venipuncture) and manipulations of the subject or the subject's environment that are performed for research purposes.
(3) Interaction includes communication or interpersonal contact between investigator and subject.
(4) Private information includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place, and information that has been provided for specific purposes by an individual and that the individual can reasonably expect will not be made public (e.g., a medical record).
(5) Identifiable private information is private information for which the identity of the subject is or may readily be ascertained by the investigator or associated with the information.
(6) An identifiable biospecimen is a biospecimen for which the identity of the subject is or may readily be ascertained by the investigator or associated with the biospecimen.
(7) Federal departments or agencies implementing this policy shall:
(i) Upon consultation with appropriate experts (including experts in data matching and re-identification), reexamine the meaning of “identifiable private information,” as defined in paragraph (e)(5) of this section, and “identifiable biospecimen,” as defined in paragraph (e)(6) of this section. This reexamination shall take place within 1 year and regularly thereafter (at least every 4 years). This process will be conducted by collaboration among the Federal departments and agencies implementing this policy. If appropriate and permitted by law, such Federal departments and agencies may alter the interpretation of these terms, including through the use of guidance.
(ii) Upon consultation with appropriate experts, assess whether there are analytic technologies or techniques that should be considered by investigators to generate “identifiable private information,” as defined in paragraph (e)(5) of this section, or an “identifiable biospecimen,” as defined in paragraph (e)(6) of this section. This assessment shall take place within 1 year and regularly thereafter (at least every 4 years). This process will be conducted by collaboration among the Federal departments and agencies implementing this policy. Any such technologies or techniques will be included on a list of technologies or techniques that produce identifiable private information or identifiable biospecimens. This list will be published in the
(f) Institution means any public or private entity, or department or agency (including federal, state, and other agencies).
(g) IRB means an institutional review board established in accord with and for the purposes expressed in this policy.
(h) IRB approval means the determination of the IRB that the research has been reviewed and may be conducted at an institution within the constraints set forth by the IRB and by other institutional and federal requirements.
(i) Legally authorized representative means an individual or judicial or other body authorized under applicable law to consent on behalf of a prospective subject to the subject's participation in the procedure(s) involved in the research. If there is no applicable law addressing this issue, legally authorized representative means an individual recognized by institutional policy as acceptable for providing consent in the nonresearch context on behalf of the prospective subject to the subject's participation in the procedure(s) involved in the research.
(j) Minimal risk means that the probability and magnitude of harm or discomfort anticipated in the research are not greater in and of themselves than those ordinarily encountered in daily life or during the performance of routine physical or psychological examinations or tests.
(k) Public health authority means an agency or authority of the United States, a state, a territory, a political subdivision of a state or territory, an Indian tribe, or a foreign government, or a person or entity acting under a grant of authority from or contract with such public agency, including the employees or agents of such public agency or its contractors or persons or entities to whom it has granted authority, that is responsible for public health matters as part of its official mandate.
(l) Research means a systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge. Activities that meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program that is considered research for other purposes. For example, some demonstration and service programs may include research activities. For purposes of this part, the following activities are deemed not to be research:
(1) Scholarly and journalistic activities (e.g., oral history, journalism, biography, literary criticism, legal research, and historical scholarship), including the collection and use of information, that focus directly on the specific individuals about whom the information is collected.
(2) Public health surveillance activities, including the collection and testing of information or biospecimens, conducted, supported, requested, ordered, required, or authorized by a public health authority. Such activities are limited to those necessary to allow a public health authority to identify, monitor, assess, or investigate potential public health signals, onsets of disease outbreaks, or conditions of public health importance (including trends, signals, risk factors, patterns in diseases, or increases in injuries from using consumer products). Such activities include those associated with providing timely situational awareness and priority setting during the course of an event or crisis that threatens public health (including natural or man-made disasters).
(3) Collection and analysis of information, biospecimens, or records by or for a criminal justice agency for activities authorized by law or court order solely for criminal justice or criminal investigative purposes.
(4) Authorized operational activities (as determined by each agency) in support of intelligence, homeland security, defense, or other national security missions.
(m) Written, or in writing, for purposes of this part, refers to writing on a tangible medium (e.g., paper) or in an electronic format.
(a) Each institution engaged in research that is covered by this policy, with the exception of research eligible for exemption under § 1230.104, and that is conducted or supported by a Federal department or agency, shall provide written assurance satisfactory to the department or agency head that it will comply with the requirements of this policy. In lieu of requiring submission of an assurance, individual department or agency heads shall accept the existence of a current assurance, appropriate for the research in question, on file with the Office for Human Research Protections, HHS, or any successor office, and approved for Federal-wide use by that office. When the existence of an HHS-approved assurance is accepted in lieu of requiring submission of an assurance, reports (except certification) required by this policy to be made to department and agency heads shall also be made to the Office for Human Research Protections, HHS, or any successor office. Federal departments and agencies will conduct or support research covered by this policy only if the institution has provided an assurance that it will comply with the requirements of this policy, as provided in this section, and only if the institution has certified to the department or agency head that the research has been reviewed and approved by an IRB (if such certification is required by § 1230.103(d)).
(b) The assurance shall be executed by an individual authorized to act for the institution and to assume on behalf of the institution the obligations imposed by this policy and shall be filed in such form and manner as the department or agency head prescribes.
(c) The department or agency head may limit the period during which any assurance shall remain effective or otherwise condition or restrict the assurance.
(d) Certification is required when the research is supported by a Federal department or agency and not otherwise waived under § 1230.101(i) or exempted under § 1230.104. For such research, institutions shall certify that each proposed research study covered by the assurance and this section has been reviewed and approved by the IRB. Such certification must be submitted as prescribed by the Federal department or agency component supporting the research. Under no condition shall research covered by this section be initiated prior to receipt of the certification that the research has been reviewed and approved by the IRB.
(e) For nonexempt research involving human subjects covered by this policy (or exempt research for which limited IRB review takes place pursuant to § 1230.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or (8)) that takes place at an institution in which IRB oversight is conducted by an IRB that is not operated by the institution, the institution and the organization operating the IRB shall document the institution's reliance on the IRB for oversight of the research and the responsibilities that each entity will undertake to ensure compliance with the requirements of this policy (e.g., in a written agreement between the institution and the IRB, by implementation of an institution-wide policy directive providing the allocation of responsibilities between the institution and an IRB that is not affiliated with the institution, or as set forth in a research protocol).
(a) Unless otherwise required by law or by department or agency heads, research activities in which the only involvement of human subjects will be in one or more of the categories in paragraph (d) of this section are exempt from the requirements of this policy, except that such activities must comply with the requirements of this section and as specified in each category.
(b) Use of the exemption categories for research subject to the requirements of subparts B, C, and D: Application of the exemption categories to research subject to the requirements of 45 CFR part 46, subparts B, C, and D, is as follows:
(1) Subpart B. Each of the exemptions at this section may be applied to research subject to subpart B if the conditions of the exemption are met.
(2) Subpart C. The exemptions at this section do not apply to research subject to subpart C, except for research aimed at involving a broader subject population that only incidentally includes prisoners.
(3) Subpart D. The exemptions at paragraphs (d)(1), (4), (5), (6), (7), and (8) of this section may be applied to research subject to subpart D if the conditions of the exemption are met. Paragraphs (d)(2)(i) and (ii) of this section only may apply to research subject to subpart D involving educational tests or the observation of public behavior when the investigator(s) do not participate in the activities being observed. Paragraph (d)(2)(iii) of this section may not be applied to research subject to subpart D.
(c) [Reserved]
(d) Except as described in paragraph (a) of this section, the following categories of human subjects research are exempt from this policy:
(1) Research, conducted in established or commonly accepted educational settings, that specifically involves normal educational practices that are not likely to adversely impact students' opportunity to learn required educational content or the assessment of educators who provide instruction. This includes most research on regular and special education instructional strategies, and research on the effectiveness of or the comparison among instructional techniques, curricula, or classroom management methods.
(2) Research that only includes interactions involving educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures, or observation of public behavior (including visual or auditory recording) if at least one of the following criteria is met:
(i) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained, directly or through identifiers linked to the subjects;
(ii) Any disclosure of the human subjects' responses outside the research would not reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects' financial standing, employability, educational advancement, or reputation; or
(iii) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects can readily be ascertained, directly or through identifiers linked to the subjects, and an IRB conducts a limited IRB review to make the determination required by § 1230.111(a)(7).
(3)(i) Research involving benign behavioral interventions in conjunction with the collection of information from an adult subject through verbal or written responses (including data entry) or audiovisual recording if the subject prospectively agrees to the intervention and information collection and at least one of the following criteria is met:
(A) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained, directly or through identifiers linked to the subjects;
(B) Any disclosure of the human subjects' responses outside the research would not reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects' financial standing, employability, educational advancement, or reputation; or
(C) The information obtained is recorded by the investigator in such a manner that the identity of the human subjects can readily be ascertained, directly or through identifiers linked to the subjects, and an IRB conducts a limited IRB review to make the determination required by § 1230.111(a)(7).
(ii) For the purpose of this provision, benign behavioral interventions are brief in duration, harmless, painless, not physically invasive, not likely to have a significant adverse lasting impact on the subjects, and the investigator has no reason to think the subjects will find the interventions offensive or embarrassing. Provided all such criteria are met, examples of such benign behavioral interventions would include having the subjects play an online game, having them solve puzzles under various noise conditions, or having them decide how to allocate a nominal amount of received cash between themselves and someone else.
(iii) If the research involves deceiving the subjects regarding the nature or purposes of the research, this exemption is not applicable unless the subject authorizes the deception through a prospective agreement to participate in research in circumstances in which the subject is informed that he or she will be unaware of or misled regarding the nature or purposes of the research.
(4) Secondary research for which consent is not required: Secondary research uses of identifiable private information or identifiable biospecimens, if at least one of the following criteria is met:
(i) The identifiable private information or identifiable biospecimens are publicly available;
(ii) Information, which may include information about biospecimens, is recorded by the investigator in such a manner that the identity of the human subjects cannot readily be ascertained directly or through identifiers linked to the subjects, the investigator does not contact the subjects, and the investigator will not re-identify subjects;
(iii) The research involves only information collection and analysis involving the investigator's use of identifiable health information when that use is regulated under 45 CFR parts 160 and 164, subparts A and E, for the purposes of “health care operations” or “research” as those terms are defined at 45 CFR 164.501 or for “public health activities and purposes” as described under 45 CFR 164.512(b); or
(iv) The research is conducted by, or on behalf of, a Federal department or agency using government-generated or government-collected information obtained for nonresearch activities, if the research generates identifiable private information that is or will be maintained on information technology that is subject to and in compliance with section 208(b) of the E-Government Act of 2002, 44 U.S.C. 3501 note, if all of the identifiable private information collected, used, or generated as part of the activity will be maintained in systems of records subject to the Privacy Act of 1974, 5 U.S.C. 552a, and, if applicable, the information used in the research was collected subject to the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.
(5) Research and demonstration projects that are conducted or supported by a Federal department or agency, or otherwise subject to the approval of department or agency heads (or the approval of the heads of bureaus or other subordinate agencies that have been delegated authority to conduct the research and demonstration projects), and that are designed to study, evaluate, improve, or otherwise examine public benefit or service programs, including procedures for obtaining benefits or services under those programs, possible changes in or alternatives to those programs or procedures, or possible changes in methods or levels of payment for benefits or services under those programs. Such projects include, but are not limited to, internal studies by Federal employees, and studies under contracts or consulting arrangements, cooperative agreements, or grants. Exempt projects also include waivers of otherwise mandatory requirements using authorities such as sections 1115 and 1115A of the Social Security Act, as amended.
(i) Each Federal department or agency conducting or supporting the research and demonstration projects must establish, on a publicly accessible Federal Web site or in such other manner as the department or agency head may determine, a list of the research and demonstration projects that the Federal department or agency conducts or supports under this provision. The research or demonstration project must be published on this list prior to commencing the research involving human subjects.
(ii) [Reserved]
(6) Taste and food quality evaluation and consumer acceptance studies:
(i) If wholesome foods without additives are consumed, or
(ii) If a food is consumed that contains a food ingredient at or below the level and for a use found to be safe, or agricultural chemical or environmental contaminant at or below the level found to be safe, by the Food and Drug Administration or approved by the Environmental Protection Agency or the Food Safety and Inspection Service of the U.S. Department of Agriculture.
(7) Storage or maintenance for secondary research for which broad consent is required: Storage or maintenance of identifiable private information or identifiable biospecimens for potential secondary research use if an IRB conducts a limited IRB review and makes the determinations required by § 1230.111(a)(8).
(8) Secondary research for which broad consent is required: Research involving the use of identifiable private information or identifiable biospecimens for secondary research use, if the following criteria are met:
(i) Broad consent for the storage, maintenance, and secondary research use of the identifiable private information or identifiable biospecimens was obtained in accordance with § 1230.116(a)(1) through (4), (a)(6), and (d);
(ii) Documentation of informed consent or waiver of documentation of consent was obtained in accordance with § 1230.117;
(iii) An IRB conducts a limited IRB review and makes the determination required by § 1230.111(a)(7) and makes the determination that the research to be conducted is within the scope of the broad consent referenced in paragraph (d)(8)(i) of this section; and (iv) The investigator does not include returning individual research results to subjects as part of the study plan. This provision does not prevent an investigator from abiding by any legal requirements to return individual research results.
(a) Each IRB shall have at least five members, with varying backgrounds to promote complete and adequate review of research activities commonly conducted by the institution. The IRB shall be sufficiently qualified through the experience and expertise of its members (professional competence), and the diversity of its members, including race, gender, and cultural backgrounds and sensitivity to such issues as community attitudes, to promote respect for its advice and counsel in safeguarding the rights and welfare of human subjects. The IRB shall be able to ascertain the acceptability of proposed research in terms of institutional commitments (including policies and resources) and regulations, applicable law, and standards of professional conduct and practice. The IRB shall therefore include persons knowledgeable in these areas. If an IRB regularly reviews research that involves a category of subjects that is vulnerable to coercion or undue influence, such as children, prisoners, individuals with impaired decision-making capacity, or economically or educationally disadvantaged persons, consideration shall be given to the inclusion of one or more individuals who are knowledgeable about and experienced in working with these categories of subjects.
(b) Each IRB shall include at least one member whose primary concerns are in scientific areas and at least one member whose primary concerns are in nonscientific areas.
(c) Each IRB shall include at least one member who is not otherwise affiliated with the institution and who is not part of the immediate family of a person who is affiliated with the institution.
(d) No IRB may have a member participate in the IRB's initial or continuing review of any project in which the member has a conflicting interest, except to provide information requested by the IRB.
(e) An IRB may, in its discretion, invite individuals with competence in special areas to assist in the review of issues that require expertise beyond or in addition to that available on the IRB. These individuals may not vote with the IRB.
(a) In order to fulfill the requirements of this policy each IRB shall:
(1) Have access to meeting space and sufficient staff to support the IRB's review and recordkeeping duties;
(2) Prepare and maintain a current list of the IRB members identified by name; earned degrees; representative capacity; indications of experience such as board certifications or licenses sufficient to describe each member's chief anticipated contributions to IRB deliberations; and any employment or other relationship between each member and the institution, for example, full-time employee, part-time employee, member of governing panel or board, stockholder, paid or unpaid consultant;
(3) Establish and follow written procedures for:
(i) Conducting its initial and continuing review of research and for reporting its findings and actions to the investigator and the institution;
(ii) Determining which projects require review more often than annually and which projects need verification from sources other than the investigators that no material changes have occurred since previous IRB review; and
(iii) Ensuring prompt reporting to the IRB of proposed changes in a research activity, and for ensuring that investigators will conduct the research activity in accordance with the terms of the IRB approval until any proposed changes have been reviewed and approved by the IRB, except when necessary to eliminate apparent immediate hazards to the subject.
(4) Establish and follow written procedures for ensuring prompt reporting to the IRB; appropriate institutional officials; the department or agency head; and the Office for Human Research Protections, HHS, or any successor office, or the equivalent office within the appropriate Federal department or agency of
(i) Any unanticipated problems involving risks to subjects or others or any serious or continuing noncompliance with this policy or the requirements or determinations of the IRB; and
(ii) Any suspension or termination of IRB approval.
(b) Except when an expedited review procedure is used (as described in § 1230.110), an IRB must review proposed research at convened meetings at which a majority of the members of the IRB are present, including at least one member whose primary concerns are in nonscientific areas. In order for the research to be approved, it shall receive the approval of a majority of those members present at the meeting.
(a) An IRB shall review and have authority to approve, require modifications in (to secure approval), or disapprove all research activities covered by this policy, including exempt research activities under § 1230.104 for which limited IRB review is a condition of exemption (under § 1230.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7), and (8)).
(b) An IRB shall require that information given to subjects (or legally authorized representatives, when appropriate) as part of informed consent is in accordance with § 1230.116. The IRB may require that information, in addition to that specifically mentioned in § 1230.116, be given to the subjects when in the IRB's judgment the information would meaningfully add to the protection of the rights and welfare of subjects.
(c) An IRB shall require documentation of informed consent or may waive documentation in accordance with § 1230.117.
(d) An IRB shall notify investigators and the institution in writing of its decision to approve or disapprove the proposed research activity, or of modifications required to secure IRB approval of the research activity. If the IRB decides to disapprove a research activity, it shall include in its written notification a statement of the reasons for its decision and give the investigator an opportunity to respond in person or in writing.
(e) An IRB shall conduct continuing review of research requiring review by the convened IRB at intervals appropriate to the degree of risk, not less than once per year, except as described in § 1230.109(f).
(f)(1) Unless an IRB determines otherwise, continuing review of research is not required in the following circumstances:
(i) Research eligible for expedited review in accordance with § 1230.110;
(ii) Research reviewed by the IRB in accordance with the limited IRB review described in § 1230.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or (8);
(iii) Research that has progressed to the point that it involves only one or both of the following, which are part of the IRB-approved study:
(A) Data analysis, including analysis of identifiable private information or identifiable biospecimens, or
(B) Accessing follow-up clinical data from procedures that subjects would undergo as part of clinical care.
(2) [Reserved]
(g) An IRB shall have authority to observe or have a third party observe the consent process and the research.
(a) The Secretary of HHS has established, and published as a Notice in the
(b)(1) An IRB may use the expedited review procedure to review the following:
(i) Some or all of the research appearing on the list described in paragraph (a) of this section, unless the reviewer determines that the study involves more than minimal risk;
(ii) Minor changes in previously approved research during the period for which approval is authorized; or
(iii) Research for which limited IRB review is a condition of exemption under § 1230.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7) and (8).
(2) Under an expedited review procedure, the review may be carried out by the IRB chairperson or by one or more experienced reviewers designated by the chairperson from among members of the IRB. In reviewing the research, the reviewers may exercise all of the authorities of the IRB except that the reviewers may not disapprove the research. A research activity may be disapproved only after review in accordance with the nonexpedited procedure set forth in § 1230.108(b).
(c) Each IRB that uses an expedited review procedure shall adopt a method for keeping all members advised of research proposals that have been approved under the procedure.
(d) The department or agency head may restrict, suspend, terminate, or choose not to authorize an institution's or IRB's use of the expedited review procedure.
(a) In order to approve research covered by this policy the IRB shall determine that all of the following requirements are satisfied:
(1) Risks to subjects are minimized:
(i) By using procedures that are consistent with sound research design and that do not unnecessarily expose subjects to risk, and
(ii) Whenever appropriate, by using procedures already being performed on the subjects for diagnostic or treatment purposes.
(2) Risks to subjects are reasonable in relation to anticipated benefits, if any, to subjects, and the importance of the knowledge that may reasonably be expected to result. In evaluating risks and benefits, the IRB should consider only those risks and benefits that may result from the research (as distinguished from risks and benefits of therapies subjects would receive even if not participating in the research). The IRB should not consider possible long-range effects of applying knowledge gained in the research (e.g., the possible effects of the research on public policy) as among those research risks that fall within the purview of its responsibility.
(3) Selection of subjects is equitable. In making this assessment the IRB should take into account the purposes of the research and the setting in which the research will be conducted. The IRB should be particularly cognizant of the special problems of research that involves a category of subjects who are vulnerable to coercion or undue influence, such as children, prisoners, individuals with impaired decision-making capacity, or economically or educationally disadvantaged persons.
(4) Informed consent will be sought from each prospective subject or the subject's legally authorized representative, in accordance with, and to the extent required by, § 1230.116.
(5) Informed consent will be appropriately documented or appropriately waived in accordance with § 1230.117.
(6) When appropriate, the research plan makes adequate provision for monitoring the data collected to ensure the safety of subjects.
(7) When appropriate, there are adequate provisions to protect the privacy of subjects and to maintain the confidentiality of data.
(i) The Secretary of HHS will, after consultation with the Office of Management and Budget's privacy office and other Federal departments and agencies that have adopted this policy, issue guidance to assist IRBs in assessing what provisions are adequate to protect the privacy of subjects and to maintain the confidentiality of data.
(ii) [Reserved]
(8) For purposes of conducting the limited IRB review required by § 1230.104(d)(7)), the IRB need not make the determinations at paragraphs (a)(1) through (7) of this section, and shall make the following determinations:
(i) Broad consent for storage, maintenance, and secondary research use of identifiable private information or identifiable biospecimens is obtained in accordance with the requirements of § 1230.116(a)(1)-(4), (a)(6), and (d);
(ii) Broad consent is appropriately documented or waiver of documentation is appropriate, in accordance with § 1230.117; and
(iii) If there is a change made for research purposes in the way the identifiable private information or identifiable biospecimens are stored or maintained, there are adequate provisions to protect the privacy of subjects and to maintain the confidentiality of data.
(b) When some or all of the subjects are likely to be vulnerable to coercion or undue influence, such as children, prisoners, individuals with impaired decision-making capacity, or economically or educationally disadvantaged persons, additional safeguards have been included in the study to protect the rights and welfare of these subjects.
Research covered by this policy that has been approved by an IRB may be subject to further appropriate review and approval or disapproval by officials of the institution. However, those officials may not approve the research if it has not been approved by an IRB.
An IRB shall have authority to suspend or terminate approval of research that is not being conducted in accordance with the IRB's requirements or that has been associated with unexpected serious harm to subjects. Any suspension or termination of approval shall include a statement of the reasons for the IRB's action and shall be reported promptly to the investigator, appropriate institutional officials, and the department or agency head.
(a) Cooperative research projects are those projects covered by this policy that involve more than one institution. In the conduct of cooperative research projects, each institution is responsible for safeguarding the rights and welfare of human subjects and for complying with this policy.
(b)(1) Any institution located in the United States that is engaged in cooperative research must rely upon approval by a single IRB for that portion of the research that is conducted in the United States. The reviewing IRB will be identified by the Federal department or agency supporting or conducting the research or proposed by the lead institution subject to the acceptance of the Federal department or agency supporting the research.
(2) The following research is not subject to this provision:
(i) Cooperative research for which more than single IRB review is required by law (including tribal law passed by the official governing body of an American Indian or Alaska Native tribe); or
(ii) Research for which any Federal department or agency supporting or conducting the research determines and documents that the use of a single IRB is not appropriate for the particular context.
(c) For research not subject to paragraph (b) of this section, an institution participating in a cooperative project may enter into a joint review arrangement, rely on the review of another IRB, or make similar arrangements for avoiding duplication of effort.
(a) An institution, or when appropriate an IRB, shall prepare and maintain adequate documentation of IRB activities, including the following:
(1) Copies of all research proposals reviewed, scientific evaluations, if any, that accompany the proposals, approved sample consent forms, progress reports submitted by investigators, and reports of injuries to subjects.
(2) Minutes of IRB meetings, which shall be in sufficient detail to show attendance at the meetings; actions taken by the IRB; the vote on these actions including the number of members voting for, against, and abstaining; the basis for requiring changes in or disapproving research; and a written summary of the discussion of controverted issues and their resolution.
(3) Records of continuing review activities, including the rationale for conducting continuing review of research that otherwise would not require continuing review as described in § 1230.109(f)(1).
(4) Copies of all correspondence between the IRB and the investigators.
(5) A list of IRB members in the same detail as described in § 1230.108(a)(2).
(6) Written procedures for the IRB in the same detail as described in § 1230.108(a)(3) and (4).
(7) Statements of significant new findings provided to subjects, as required by § 1230.116(c)(5).
(8) The rationale for an expedited reviewer's determination under § 1230.110(b)(1)(i) that research appearing on the expedited review list described in § 1230.110(a) is more than minimal risk.
(9) Documentation specifying the responsibilities that an institution and an organization operating an IRB each will undertake to ensure compliance with the requirements of this policy, as described in § 1230.103(e).
(b) The records required by this policy shall be retained for at least 3 years, and records relating to research that is conducted shall be retained for at least 3 years after completion of the research. The institution or IRB may maintain the records in printed form, or electronically. All records shall be accessible for inspection and copying by authorized representatives of the Federal department or agency at reasonable times and in a reasonable manner.
(a) General. General requirements for informed consent, whether written or oral, are set forth in this paragraph and apply to consent obtained in accordance with the requirements set forth in paragraphs (b) through (d) of this section. Broad consent may be obtained in lieu of informed consent obtained in accordance with paragraphs (b) and (c) of this section only with respect to the storage, maintenance, and secondary research uses of identifiable private information and identifiable biospecimens. Waiver or alteration of consent in research involving public benefit and service programs conducted by or subject to the approval of state or local officials is described in paragraph (e) of this section. General waiver or alteration of informed consent is described in paragraph (f) of this section. Except as provided elsewhere in this policy:
(1) Before involving a human subject in research covered by this policy, an investigator shall obtain the legally effective informed consent of the subject or the subject's legally authorized representative.
(2) An investigator shall seek informed consent only under circumstances that provide the prospective subject or the legally authorized representative sufficient opportunity to discuss and consider whether or not to participate and that minimize the possibility of coercion or undue influence.
(3) The information that is given to the subject or the legally authorized representative shall be in language understandable to the subject or the legally authorized representative.
(4) The prospective subject or the legally authorized representative must be provided with the information that a reasonable person would want to have in order to make an informed decision about whether to participate, and an opportunity to discuss that information.
(5) Except for broad consent obtained in accordance with paragraph (d) of this section:
(i) Informed consent must begin with a concise and focused presentation of the key information that is most likely to assist a prospective subject or legally authorized representative in understanding the reasons why one might or might not want to participate in the research. This part of the informed consent must be organized and presented in a way that facilitates comprehension.
(ii) Informed consent as a whole must present information in sufficient detail relating to the research, and must be organized and presented in a way that does not merely provide lists of isolated facts, but rather facilitates the prospective subject's or legally authorized representative's understanding of the reasons why one might or might not want to participate.
(6) No informed consent may include any exculpatory language through which the subject or the legally authorized representative is made to waive or appear to waive any of the subject's legal rights, or releases or appears to release the investigator, the sponsor, the institution, or its agents from liability for negligence.
(b) Basic elements of informed consent. Except as provided in paragraph (d), (e), or (f) of this section, in seeking informed consent the following information shall be provided to each subject or the legally authorized representative:
(1) A statement that the study involves research, an explanation of the purposes of the research and the expected duration of the subject's participation, a description of the procedures to be followed, and identification of any procedures that are experimental;
(2) A description of any reasonably foreseeable risks or discomforts to the subject;
(3) A description of any benefits to the subject or to others that may reasonably be expected from the research;
(4) A disclosure of appropriate alternative procedures or courses of treatment, if any, that might be advantageous to the subject;
(5) A statement describing the extent, if any, to which confidentiality of records identifying the subject will be maintained;
(6) For research involving more than minimal risk, an explanation as to whether any compensation and an explanation as to whether any medical treatments are available if injury occurs and, if so, what they consist of, or where further information may be obtained;
(7) An explanation of whom to contact for answers to pertinent questions about the research and research subjects' rights, and whom to contact in the event of a research-related injury to the subject;
(8) A statement that participation is voluntary, refusal to participate will involve no penalty or loss of benefits to which the subject is otherwise entitled, and the subject may discontinue participation at any time without penalty or loss of benefits to which the subject is otherwise entitled; and
(9) One of the following statements about any research that involves the collection of identifiable private information or identifiable biospecimens:
(i) A statement that identifiers might be removed from the identifiable private information or identifiable biospecimens and that, after such removal, the information or biospecimens could be used for future research studies or distributed to another investigator for future research studies without additional informed consent from the subject or the legally authorized representative, if this might be a possibility; or
(ii) A statement that the subject's information or biospecimens collected as part of the research, even if identifiers are removed, will not be used or distributed for future research studies.
(c) Additional elements of informed consent. Except as provided in paragraph (d), (e), or (f) of this section, one or more of the following elements of information, when appropriate, shall also be provided to each subject or the legally authorized representative:
(1) A statement that the particular treatment or procedure may involve risks to the subject (or to the embryo or fetus, if the subject is or may become pregnant) that are currently unforeseeable;
(2) Anticipated circumstances under which the subject's participation may be terminated by the investigator without regard to the subject's or the legally authorized representative's consent;
(3) Any additional costs to the subject that may result from participation in the research;
(4) The consequences of a subject's decision to withdraw from the research and procedures for orderly termination of participation by the subject;
(5) A statement that significant new findings developed during the course of the research that may relate to the subject's willingness to continue participation will be provided to the subject;
(6) The approximate number of subjects involved in the study;
(7) A statement that the subject's biospecimens (even if identifiers are removed) may be used for commercial profit and whether the subject will or will not share in this commercial profit;
(8) A statement regarding whether clinically relevant research results, including individual research results, will be disclosed to subjects, and if so, under what conditions; and
(9) For research involving biospecimens, whether the research will (if known) or might include whole genome sequencing (i.e., sequencing of a human germline or somatic specimen with the intent to generate the genome or exome sequence of that specimen).
(d) Elements of broad consent for the storage, maintenance, and secondary research use of identifiable private information or identifiable biospecimens. Broad consent for the storage, maintenance, and secondary research use of identifiable private information or identifiable biospecimens (collected for either research studies other than the proposed research or nonresearch purposes) is permitted as an alternative to the informed consent requirements in paragraphs (b) and (c) of this section. If the subject or the legally authorized representative is asked to provide broad consent, the following shall be provided to each subject or the subject's legally authorized representative:
(1) The information required in paragraphs (b)(2), (b)(3), (b)(5), and (b)(8) and, when appropriate, (c)(7) and (9) of this section;
(2) A general description of the types of research that may be conducted with the identifiable private information or identifiable biospecimens. This description must include sufficient information such that a reasonable person would expect that the broad consent would permit the types of research conducted;
(3) A description of the identifiable private information or identifiable biospecimens that might be used in research, whether sharing of identifiable private information or identifiable biospecimens might occur, and the types of institutions or researchers that might conduct research with the identifiable private information or identifiable biospecimens;
(4) A description of the period of time that the identifiable private information or identifiable biospecimens may be stored and maintained (which period of time could be indefinite), and a description of the period of time that the identifiable private information or identifiable biospecimens may be used for research purposes (which period of time could be indefinite);
(5) Unless the subject or legally authorized representative will be provided details about specific research studies, a statement that they will not be informed of the details of any specific research studies that might be conducted using the subject's identifiable private information or identifiable biospecimens, including the purposes of the research, and that they might have chosen not to consent to some of those specific research studies;
(6) Unless it is known that clinically relevant research results, including individual research results, will be disclosed to the subject in all circumstances, a statement that such results may not be disclosed to the subject; and
(7) An explanation of whom to contact for answers to questions about the subject's rights and about storage and use of the subject's identifiable private information or identifiable biospecimens, and whom to contact in the event of a research-related harm.
(e) Waiver or alteration of consent in research involving public benefit and service programs conducted by or subject to the approval of state or local officials—(1) Waiver. An IRB may waive the requirement to obtain informed consent for research under paragraphs (a) through (c) of this section, provided the IRB satisfies the requirements of paragraph (e)(3) of this section. If an individual was asked to provide broad consent for the storage, maintenance, and secondary research use of identifiable private information or identifiable biospecimens in accordance with the requirements at paragraph (d) of this section, and refused to consent, an IRB cannot waive consent for the storage, maintenance, or secondary research use of the identifiable private information or identifiable biospecimens.
(2) Alteration. An IRB may approve a consent procedure that omits some, or alters some or all, of the elements of informed consent set forth in paragraphs (b) and (c) of this section provided the IRB satisfies the requirements of paragraph (e)(3) of this section. An IRB may not omit or alter any of the requirements described in paragraph (a) of this section. If a broad consent procedure is used, an IRB may not omit or alter any of the elements required under paragraph (d) of this section.
(3) Requirements for waiver and alteration. In order for an IRB to waive or alter consent as described in this subsection, the IRB must find and document that:
(i) The research or demonstration project is to be conducted by or subject to the approval of state or local government officials and is designed to study, evaluate, or otherwise examine:
(A) Public benefit or service programs;
(B) Procedures for obtaining benefits or services under those programs;
(C) Possible changes in or alternatives to those programs or procedures; or
(D) Possible changes in methods or levels of payment for benefits or services under those programs; and
(ii) The research could not practicably be carried out without the waiver or alteration.
(f) General waiver or alteration of consent—(1) Waiver. An IRB may waive the requirement to obtain informed consent for research under paragraphs (a) through (c) of this section, provided the IRB satisfies the requirements of paragraph (f)(3) of this section. If an individual was asked to provide broad consent for the storage, maintenance, and secondary research use of identifiable private information or identifiable biospecimens in accordance with the requirements at paragraph (d) of this section, and refused to consent, an IRB cannot waive consent for the storage, maintenance, or secondary research use of the identifiable private information or identifiable biospecimens.
(2) Alteration. An IRB may approve a consent procedure that omits some, or alters some or all, of the elements of informed consent set forth in paragraphs (b) and (c) of this section provided the IRB satisfies the requirements of paragraph (f)(3) of this section. An IRB may not omit or alter any of the requirements described in paragraph (a) of this section. If a broad consent procedure is used, an IRB may not omit or alter any of the elements required under paragraph (d) of this section.
(3) Requirements for waiver and alteration. In order for an IRB to waive or alter consent as described in this subsection, the IRB must find and document that:
(i) The research involves no more than minimal risk to the subjects;
(ii) The research could not practicably be carried out without the requested waiver or alteration;
(iii) If the research involves using identifiable private information or identifiable biospecimens, the research could not practicably be carried out without using such information or biospecimens in an identifiable format;
(iv) The waiver or alteration will not adversely affect the rights and welfare of the subjects; and
(v) Whenever appropriate, the subjects or legally authorized representatives will be provided with additional pertinent information after participation.
(g) Screening, recruiting, or determining eligibility. An IRB may approve a research proposal in which an investigator will obtain information or biospecimens for the purpose of screening, recruiting, or determining the eligibility of prospective subjects without the informed consent of the prospective subject or the subject's legally authorized representative, if either of the following conditions are met:
(1) The investigator will obtain information through oral or written communication with the prospective subject or legally authorized representative, or
(2) The investigator will obtain identifiable private information or identifiable biospecimens by accessing records or stored identifiable biospecimens.
(h) Posting of clinical trial consent form. (1) For each clinical trial conducted or supported by a Federal department or agency, one IRB-approved informed consent form used to enroll subjects must be posted by the awardee or the Federal department or agency component conducting the trial on a publicly available Federal Web site that will be established as a repository for such informed consent forms.
(2) If the Federal department or agency supporting or conducting the clinical trial determines that certain information should not be made publicly available on a Federal Web site (e.g. confidential commercial information), such Federal department or agency may permit or require redactions to the information posted.
(3) The informed consent form must be posted on the Federal Web site after the clinical trial is closed to recruitment, and no later than 60 days after the last study visit by any subject, as required by the protocol.
(i) Preemption. The informed consent requirements in this policy are not intended to preempt any applicable Federal, state, or local laws (including tribal laws passed by the official governing body of an American Indian or Alaska Native tribe) that require additional information to be disclosed in order for informed consent to be legally effective.
(j) Emergency medical care. Nothing in this policy is intended to limit the authority of a physician to provide emergency medical care, to the extent the physician is permitted to do so under applicable Federal, state, or local law (including tribal law passed by the official governing body of an American Indian or Alaska Native tribe).
(a) Except as provided in paragraph (c) of this section, informed consent shall be documented by the use of a written informed consent form approved by the IRB and signed (including in an electronic format) by the subject or the subject's legally authorized representative. A written copy shall be given to the person signing the informed consent form.
(b) Except as provided in paragraph (c) of this section, the informed consent form may be either of the following:
(1) A written informed consent form that meets the requirements of § 1230.116. The investigator shall give either the subject or the subject's legally authorized representative adequate opportunity to read the informed consent form before it is signed; alternatively, this form may be read to the subject or the subject's legally authorized representative.
(2) A short form written informed consent form stating that the elements of informed consent required by § 1230.116 have been presented orally to the subject or the subject's legally authorized representative, and that the key information required by § 1230.116(a)(5)(i) was presented first to the subject, before other information, if any, was provided. The IRB shall approve a written summary of what is to be said to the subject or the legally authorized representative. When this method is used, there shall be a witness to the oral presentation. Only the short form itself is to be signed by the subject or the subject's legally authorized representative. However, the witness shall sign both the short form and a copy of the summary, and the person actually obtaining consent shall sign a copy of the summary. A copy of the summary shall be given to the subject or the subject's legally authorized representative, in addition to a copy of the short form.
(c)(1) An IRB may waive the requirement for the investigator to obtain a signed informed consent form for some or all subjects if it finds any of the following:
(i) That the only record linking the subject and the research would be the informed consent form and the principal risk would be potential harm resulting from a breach of confidentiality. Each subject (or legally authorized representative) will be asked whether the subject wants documentation linking the subject with the research, and the subject's wishes will govern;
(ii) That the research presents no more than minimal risk of harm to subjects and involves no procedures for which written consent is normally required outside of the research context; or
(iii) If the subjects or legally authorized representatives are members of a distinct cultural group or community in which signing forms is not the norm, that the research presents no more than minimal risk of harm to subjects and provided there is an appropriate alternative mechanism for documenting that informed consent was obtained.
(2) In cases in which the documentation requirement is waived, the IRB may require the investigator to provide subjects or legally authorized representatives with a written statement regarding the research.
Certain types of applications for grants, cooperative agreements, or contracts are submitted to Federal departments or agencies with the knowledge that subjects may be involved within the period of support, but definite plans would not normally be set forth in the application or proposal. These include activities such as institutional type grants when selection of specific projects is the institution's responsibility; research training grants in which the activities involving subjects remain to be selected; and projects in which human subjects' involvement will depend upon completion of instruments, prior animal studies, or purification of compounds. Except for research waived under § 1230.101(i) or exempted under § 1230.104, no human subjects may be involved in any project supported by these awards until the project has been reviewed and approved by the IRB, as provided in this policy, and certification submitted, by the institution, to the Federal department or agency component supporting the research.
Except for research waived under § 1230.101(i) or exempted under § 1230.104, in the event research is undertaken without the intention of involving human subjects, but it is later proposed to involve human subjects in the research, the research shall first be reviewed and approved by an IRB, as provided in this policy, a certification submitted by the institution to the Federal department or agency component supporting the research, and final approval given to the proposed change by the Federal department or agency component.
(a) The department or agency head will evaluate all applications and proposals involving human subjects submitted to the Federal department or agency through such officers and employees of the Federal department or agency and such experts and consultants as the department or agency head determines to be appropriate. This evaluation will take into consideration the risks to the subjects, the adequacy of protection against these risks, the potential benefits of the research to the subjects and others, and the importance of the knowledge gained or to be gained.
(b) On the basis of this evaluation, the department or agency head may approve or disapprove the application or proposal, or enter into negotiations to develop an approvable one.
Federal funds administered by a Federal department or agency may not be expended for research involving human subjects unless the requirements of this policy have been satisfied.
(a) The department or agency head may require that Federal department or agency support for any project be terminated or suspended in the manner prescribed in applicable program requirements, when the department or agency head finds an institution has materially failed to comply with the terms of this policy.
(b) In making decisions about supporting or approving applications or proposals covered by this policy the department or agency head may take into account, in addition to all other eligibility requirements and program criteria, factors such as whether the applicant has been subject to a termination or suspension under paragraph (a) of this section and whether the applicant or the person or persons who would direct or has/have directed the scientific and technical aspects of an activity has/have, in the judgment of the department or agency head, materially failed to discharge responsibility for the protection of the rights and welfare of human subjects (whether or not the research was subject to federal regulation).
With respect to any research project or any class of research projects the department or agency head of either the conducting or the supporting Federal department or agency may impose additional conditions prior to or at the time of approval when in the judgment of the department or agency head additional conditions are necessary for the protection of human subjects.
This part establishes general policy for the care and use of vertebrate animals in the conduct of NASA activities.
This part applies to NASA Headquarters and NASA Centers, including Component Facilities, and Technical and Service Support Centers and will be followed in all activities using animal subjects that are supported by NASA and conducted in NASA facilities, aircraft, or spacecraft, or activities, using animal subject conducted under a contract, grant, cooperative agreement, memorandum of understanding, or joint endeavor agreement entered into by NASA and another Government agency, private entity, non-Federal public entity, or foreign entity which are included within the scope of this part.
It is the National Aeronautics and Space Administration's (NASA) policy to comply with the Animal Welfare Act of 1966 (Pub. L. 89-544) which requires that minimum standards of care and treatment be provided for certain animals bred for use in research. To implement the provisions of this Act, NASA promulgated the following internal policies and requirements:
(a) NASA Policy Directive (NPD) 8910.1, Care and Use of Animals, describes the policy and responsibilities for conducting activities involving vertebrate animals. NPD 8910.1 is accessible at http://nodis3.gsfc.nasa.gov/; and
(b) NASA Procedural Requirements (NPR) 8910.1, Care and Use of Animals, delineates the responsibilities and implements requirements for the Agency's use of animals in research, testing, teaching, and hardware development activities. NPR 8910.1 is accessible is access at http://nodis3.gsfc.nasa.gov/.
This subpart prescribes procedures for submitting applications for monetary awards to the Administrator of NASA for scientific and technical contributions which have significant value in the conduct of aeronautical and space activities pursuant to 51 U.S.C. 20136, and establishes the awards program consistent with the Federal Technology Transfer Act of 1986, section 12, 15 U.S.C. 3710b(1).
This subpart applies to awards for any scientific or technical contribution, whether or not patentable, which is determined by the Administrator after referral to the Inventions and Contributions Board to have significant value in the conduct of aeronautical and space activities, upon submission of an application for award to NASA, or upon the Administrator's own initiative, under 51 U.S.C. 20136.
As used in this subpart:
(a) Administrator means the Administrator of the National Aeronautics and Space Administration.
(b) Board means the NASA Inventions and Contributions Board.
(c) Chairperson means the Chairperson of the NASA Inventions and Contributions Board.
(d) Commercial quality refers to computer software that is not in an experimental or beta phase of development, that performs in accordance with its specifications, and includes documentation describing the software's form and function.
(e) Contract means any contract, agreement, understanding, or other arrangement with NASA or another Government Agency on NASA's behalf, including any assignment, substitution of parties, or subcontract executed or entered into thereunder.
(f) Contractor means the party who has undertaken to perform work under a contract or subcontract.
(g) Innovation means a mathematical, engineering or scientific concept, idea, design, process, or product.
(h) Innovator means any person listed as a contributor, inventor, or author of an innovation.
(i) Invention includes any act, method, process, machine, manufacture, design, or composition of matter, or any new and useful improvement thereof, or any variety of plant, which is or may be patentable under the patent laws of the United States or any foreign country.
(j) Qualified User means any person that has legally acquired computer software and has the right to use it for a legal purpose.
(k) Verified means passing rigorous testing to ascertain whether the functionality claimed in the innovation's documentation is realized.
(a) Only those contributions to NASA which have been:
(1) Used in a NASA program or adopted or sponsored or supported by NASA, and
(2) Found to have significant value in the conduct of aeronautical and space activities, will be recommended for award under this subpart.
(b) In determining the amount, terms, and conditions of any award, the following criteria will be considered:
(1) The value of the contribution to the United States;
(2) The aggregate amount of any sums which have been expended by the applicant for the development of such contribution;
(3) The amount of any compensation (other than salary received for services rendered as an officer or employee of the Government) previously received by the applicant for or on account of the use of such contributions by the United States; and
(4) Such other factors as the Administrator shall determine to be material.
(a) Eligibility. Applications for award may be submitted by any person including any individual, partnership, corporation, association, institution, or other entity. An application for an award under this section is separate from application for an award under § 1240.105 and may be submitted whether or not the contribution is also eligible for an award under § 1240.105.
(b) Information required. Applications for award should be addressed to the Inventions and Contributions Board (herein referred to as the Board), National Aeronautics and Space Administration, Washington, DC 20546-0001, and will contain:
(1) The name and address of the applicant, the person's relationship to the contributor if the contribution is made by one other than the applicant, and the names and addresses of any others having information as to the value or usage of the contribution;
(2) A complete written description of the contribution, in the English language, using electronic media, accompanied by drawings, sketches, diagrams, or photographs illustrating the nature of the contribution and the technical and scientific principles upon which it is based, any available test or performance data or observations of pertinent scientific phenomena, and the aeronautics or space application of the contribution;
(3) The date and manner of any previous submittal of the contribution to any other United States Government agency, and the name of such agency;
(4) The aggregate amount of any sums which have been expended by the applicant for the development of the contribution;
(5) The nature and extent of any known use of the contribution by the United States and by any agency of the United States Government;
(6) The amount of any compensation (other than salary received for services rendered as an officer or employee of the Government) previously received by the applicant for or on account of the use of such contribution by the United States;
(7) Identification of any United States and foreign patents applied for or issued relating to the contribution; and
(8) An agreement to surrender all claims which such applicant may have for the use of such contribution by the Government.
(c) General. (1) Each contribution will be made the subject of a separate application in order that each contribution may be evaluated individually.
(2) Material constituting a possible hazard to safety or requiring unusual storage facilities should not be submitted, and will not be accepted. Models or intricate exhibits demonstrating the contribution will not be accepted unless specifically requested by the Board. In those few cases where such models or exhibits have been submitted pursuant to a request made by the Board, the same will be returned to the applicant upon written request from the applicant.
(3) It is the policy of the Board to use or disclose information contained in applications for awards for evaluation purposes only. Applications for awards submitted with restrictive legends or statements differing from this policy will be treated in accordance with the Board's policy.
(a) Patent Application Awards. (1) When the Board receives written notice, in the manner prescribed by the Board, from the Agency Counsel for Intellectual Property or the Patent or Intellectual Property Counsel at a NASA Center that an invention made by an employee of NASA or a NASA contractor and reported to NASA in the manner prescribed by the Board is eligible for a patent application award, the Board may recommend to the Administrator or a designee that an award be made, including a specific recommended amount and distribution thereof for any multiple inventors, so long as the following eligibility conditions have been met:
(i) A nonprovisional U.S. patent application has been filed covering the invention and NASA has either an ownership interest in the invention or an irrevocable, royalty-free, license to practice the invention, or have the invention practiced for or on its behalf, throughout the world, or the invention has been assigned by NASA to a contractor under 35 U.S.C. 202(e); or
(ii) A continuation-in-part or divisional patent has been issued based on a patent application that is eligible for an award under paragraph (a)(1)(i) of this section.
(2) No additional award will be given for a continuation patent application where an award was authorized for the parent application and the parent application will be or has been abandoned. In addition, awards will not be granted for provisional applications under 35 U.S.C. 111(b) or reissue applications under 35 U.S.C. 251.
(b) Software Release Awards. (1) When the Board receives written notice, in the manner prescribed by the procedures of the Board, that a NASA Center has approved the initial (first) release to a qualified user of a software package based on a software innovation made by an employee of NASA or a NASA contractor and reported to NASA in the manner prescribed by the procedures of the Board, the Board may recommend to the Administrator or designee that an award be made, including a specific amount and distribution thereof for any multiple innovators, so long as the following conditions have been met:
(i) NASA has either an ownership interest in the software or an irrevocable, royalty-free, license to reproduce, prepare derivative works, distribute, perform and display the software, throughout the world for governmental purposes;
(ii) The software is of commercial quality as defined in § 1240.102; and
(iii) The software has been verified to perform the functions claimed in its documentation on the platform for which it was designed without harm to the systems or data contained within.
(2) Software that is the subject of a software release award is not eligible to receive a Tech Brief award based upon the publication of an announcement of availability in “NASA Tech Briefs.”
(3) Software release awards for modifications made to software for which the innovators have already received an initial software release award will be at the discretion of the Administrator or his designee, upon recommendation by the Board.
(c) Tech Briefs Awards. When the Board receives written notice, in the manner and format prescribed by the procedures of the Board, that a NASA Center has approved for publication a NASA Tech Brief based on an innovation made by an employee of NASA or a NASA contractor and reported to NASA in the manner and form prescribed by the procedures of the Board, the Board may recommend to the Administrator or designee that an award be made, including a specific amount and distribution thereof for any multiple innovators.
(d) When a Patent Application Award, a Software Release Award, and a Tech Brief Award have been authorized for the same contribution, the awards will be cumulative.
(a) A contribution will be initially reviewed by the Board on the basis of the material submitted by the applicant under § 1240.104(b).
(b) If it is determined that the contribution has been used in a NASA program, or adopted or sponsored or supported by NASA, the contribution will be evaluated for its significant value in the conduct of aeronautical or space activity.
(c) The Board will recommend an award for such contribution when, upon evaluation of its scientific and technical merits, it is determined to warrant an award of at least $500.
(a) With respect to each completed application where the Board has recommended to the Administrator the granting of an award, and the Administrator has approved such award, the Board will notify the applicant of the amount and terms of the award. In the case of NASA employees or employees of NASA contractors, such notification will normally be made through the appropriate NASA field installation representative.
(b) Except for applications from NASA employees or employees of NASA contractors, where the Board does not propose to recommend to the Administrator the granting of an award, a notification will be provided which includes a brief statement of the reasons for such decision.
(a) With respect to each completed application, in those cases where the Board does not recommend an award, the applicant may, within such period as the Board may set but in no event less than 30 days from notification, request reconsideration of the Board's decision.
(b) If reconsideration has been requested within the prescribed time, the applicant will, within 30 days from the date of the request for reconsideration, or within any other time as the Board may set, file its statement setting forth the issues, points, authorities, arguments, and any additional material on which it relies.
(c) Upon filing of the reconsideration statement by the applicant, the case will be assigned for reconsideration by the Board upon the contents of the application, the record, and the reconsideration statement submitted by the applicant.
(d) If after reconsideration, the Board again does not propose to recommend the granting of an award, the applicant, after such notification by the Board, may request an oral hearing within the time set by the Board.
(e) An oral hearing without reconsideration may be granted upon determination of the Chairperson that good cause exists to do so.
(a) An Oral hearing held by the Board will be in accordance with the following procedures:
(1) If the applicant requests a hearing within the time set in accordance with § 1240.108(d) or (e), the Board will set a place and date for such hearing and notify the applicant.
(2) The applicant may be represented by an attorney or any other appropriately designated person.
(3) Hearings will be open to the public unless the applicant requests that a closed hearing be held.
(4) Hearings may be held before the full membership of the Board or before any panel of Board members designated by the Chairperson.
(5) Hearings will be conducted in an informal manner with the objective of providing the applicant with a full opportunity to present evidence and arguments in support of the application. Evidence may be presented through means of such witnesses, exhibits, and visual aids as are arranged for by the applicant. While proceedings will be ex parte, members of the Board and its counsel may address questions to witnesses called by the applicant, and the Board may, at its option, utilize the assistance and testimony of technical advisors or other experts.
(6) Subject to the provisions of § 1240.104(c)(2), the applicant will submit a copy of any exhibit or visual aid utilized unless otherwise directed by the Board. The Board may, at its discretion, arrange for a written transcript of the proceedings and a copy of such transcript will be made available by the recorder for purchase by the applicant.
(7) No funds are available to defray traveling expenses or any other cost incurred by the applicant.
(a) Upon a determination by the Board that a contribution merits an award, the Board will recommend to the Administrator or a designee the terms and conditions of the proposed award, including a specific amount and distribution thereof for any multiple contributors. The recommendation of the Board to the Administrator or designee will reflect the views of the majority of the Board members. Dissenting views may be transmitted with the majority opinion.
(b) The granting, denying or modification of any Board recommended award under this subpart will be at the sole discretion of the Administrator or his designee, who will determine the final terms and conditions of each award after consideration of the criteria in § 1240.103.
(c) In addition, the Board may recommend, and the Administrator or his designee may grant, non-monetary awards under other applicable laws and regulations.
Under subsection 20136(c) of the National Aeronautics and Space Act, no award will be made to an applicant unless the applicant submits a duly executed release, in a form specified by the Administrator, of all claims the applicant may have to receive any compensation (other than the award recommended) from the United States Government for use of the contribution or any element thereof at any time by or on behalf of the United States, or by or on behalf of any foreign government pursuant to any existing or future treaty or agreement with the United States, within the United States, or at any other place.
(a) Written acknowledgments to employees of NASA receiving awards will be provided by the appropriate Official-in-Charge at the Headquarters Office, by the Director of the cognizant NASA Center, or by a designee.
(b) Written acknowledgments to employees of NASA contractors receiving awards will be forwarded to contractor officials for suitable presentation.
(c) Monetary awards will be paid by check or electronic funds transfer.
NASA shall provide for appropriate database and accounting system(s) to ensure that award payments are recorded and disbursed in an orderly fashion and in the proper amounts to proper awardees.
(a) The Chairperson, Inventions and Contributions Board, is delegated authority to approve and execute grants of awards for significant scientific or technical contributions not exceeding $2,000 per contributor, when in accordance with the recommendation of the Board and in conformity with applicable law and regulations.
(b) The Chairperson, Inventions and Contributions Board, is delegated authority to approve and execute grants of awards not exceeding $2,000 per awardee, upon the notification that:
(1) A Patent Application Award has been recommended by the Board pursuant to § 1240.105(a);
(2) A Software Release Award has been recommended by the Board pursuant to § 1240.105(b); or
(3) A Tech Briefs Award has been recommended by the Board pursuant to § 1240.105(c).
(a) This part establishes a program and sets out the eligibility requirements and procedures to effectuate section 443 of the “To Research, Evaluate, Assess, and Treat Astronauts Act of 2017.”
(b) The purpose of this program is to provide medical monitoring and diagnosis of former U.S. Government astronauts and payload specialists for conditions the Administrator considers potentially associated with spaceflight and to provide treatment of former U.S. Government astronauts and payload specialists for conditions the Administrator considers associated with spaceflight.
(a) Subject to the limitations in paragraph (b) of this section, an eligible individual, as defined in § 1241.15, is eligible for:
(1) Monitoring and diagnosis for potentially spaceflight-associated conditions; and
(2) Treatment for spaceflight-associated conditions.
(b) Medical monitoring, diagnosis, and treatment authorized and described in paragraph (a) of this section will not be provided for any condition that is found by the NASA Administrator or designee to have resulted from a cause other than the eligible individual's participation in spaceflight-related activities. Should a condition be diagnosed that is not related to spaceflight, the individual will be referred to their primary care physician.
(c) Medical monitoring, diagnosis, and treatment authorized and described in paragraph (a) of this section may be provided by a local health care provider if the NASA Administrator or designee determines it is unadvisable for the eligible individual to travel to the NASA Johnson Space Center (JSC) due to the individual's condition or if it is otherwise advantageous to the Government.
(d) Medical monitoring, diagnosis, and treatment authorized and described in paragraph (a) of this section will be provided without a cost sharing obligation imposed on the eligible individual.
(e) NASA is a secondary payer.
Conditional Payment means a NASA payment to a medical provider or eligible individual to pay for the cost of medical monitoring, diagnosis, and treatment. Such conditional payments may be made prior to a formal determination that a psychological or medical condition is spaceflight-associated if payment has not been made or cannot reasonably be expected to be made promptly by the primary payer.
Cost Sharing means a multiparty arrangement under which costs of a program are shared by the involved parties, according to an agreed upon formula. For this program, there is no cost sharing obligation by the eligible individual. The eligible individual is responsible for insurance premiums.
Diagnosis means the identification of a medical or psychological condition consistent with the exercise of professional clinical judgment and accepted standard of care by licensed health professionals.
Eligible Individual means a former United States Government astronaut, including a member of the Uniformed Services, or a former payload specialist who has flown in space, as defined in the TREAT Astronauts Act. The following individuals are specifically excluded from eligible individuals:
(1) Astronauts of other United States Government agencies;
(2) Employees of commercial spaceflight companies who were never employed by NASA nor a member of the Uniformed Services assigned to NASA;
(3) International partner astronauts;
(4) Employees of foreign governments;
(5) Private individuals or tourists who have flown in space; and
(6) Former astronauts, including members of the Uniformed Services, and former payload specialists who have not flown in space.
JSC means Johnson Space Center.
Monitoring means the NASA astronaut spaceflight exposure clinical assessment of medical and psychological health status by licensed health professionals.
Payload Specialist means an individual other than a NASA astronaut (commander, pilot, and mission specialist) whose presence was required onboard the space shuttle vehicle to perform specialized functions with respect to operation of one or more payloads or other essential mission activities.
Primary Payer means the entity, U.S. Government agency or private health insurer, which is responsible to make payment to the eligible individual first, up to the limits of its coverage or authority.
Program means the medical monitoring, diagnosis, and treatment authorized by the TREAT Astronauts Act.
Secondary Payer means the entity that pays after all primary payers have paid, up to the limits of their coverage. Secondary payments, as described in the TREAT Astronauts Act, are payments or reimbursement for the medical monitoring, diagnosis, or treatment secondary to any obligation of the U.S. Government or any third party under any other provision of law or contractual agreement to pay for or provide such medical monitoring, diagnosis, or treatment.
Spaceflight-Associated Condition means a medical or psychological condition that the NASA Administrator or designee designated by the NASA Administrator determines is at least as likely as not to have resulted from participation in spaceflight-related activities.
Treatment means the accepted standard of clinical care for a medical or psychological condition by licensed health professionals.
TREAT Astronauts Act means section 443 of the “To Research, Evaluate, Assess, and Treat Astronauts Act of 2017.”
TREAT Astronauts Act Board or TAAB means the internal NASA review board that provides recommendations to the NASA Administrator or designee as to whether or not a medical claim initiated by an eligible individual meets the standards for spaceflight association for medical monitoring, diagnosis, and treatment under the TREAT Astronauts Act.
U.S. Government Agency means “agency” as defined in 5 U.S.C. 551.
(a) This section sets forth those persons who, by the provisions of the TREAT Astronauts Act, are eligible to participate in this program. A determination by the Administrator or designee that a person is eligible does not automatically entitle such a person to medical monitoring, diagnosis, and treatment under the TREAT Astronauts Act.
(b) Only eligible individuals defined in § 1241.15 are entitled to medical monitoring, diagnosis, and treatment under this part.
(c) Participation in this program is strictly voluntary. NASA may not require an eligible individual to participate in this program.
(a) General—(1) Scope. Subject to all applicable definitions, conditions, limitations, or exclusions specified in this part, NASA will provide medical monitoring and diagnosis of potentially spaceflight-associated conditions and treatment of a spaceflight-associated conditions, as well as any associated travel expenses for the eligible individual's lifetime.
(2) Location of medical monitoring, diagnosis, and treatment. (i) Medical monitoring will be provided for eligible individuals at the JSC.
(ii) When travel is inadvisable due to the health of the eligible individual or when otherwise advantageous to the Government, monitoring may be provided at a location other than the JSC.
(iii) Diagnosis and treatment will be provided for eligible individuals at locations determined by the medical appropriateness of the facility, patient preferences, cost effectiveness, and other pertinent factors.
(3) Right to information. As a condition precedent to participation in this program, NASA is entitled to receive copies of medical records from any physician, hospital or other person, health insurance company, institution, or entity (including a local, state, or U.S. Government agency) providing medical monitoring, diagnosis, and treatment to the eligible individual for which claims or requests for approval for medical monitoring, diagnosis, and treatment are submitted to NASA. As part of this condition precedent, NASA may require eligible individuals to complete such medical releases needed to facilitate obtaining such information as legally required by state and Federal law.
(b) Monitoring and Diagnosis. NASA will provide monitoring and diagnosis for eligible individuals for conditions potentially associated with spaceflight.
(1) Standardized monitoring will be offered routinely at the JSC.
(2) Individualized monitoring will be provided, as necessary.
(3) NASA may pay for and obtain autopsies of eligible individuals, who previously consented in writing or with consent of the next of kin, when such autopsy would contribute substantially to the knowledge of spaceflight physiology or pathology. NASA will coordinate with the Armed Forces Medical Examiner System for such autopsies.
(c) Treatment. NASA will provide or arrange for the treatment of spaceflight-associated conditions.
(1) Treatment will be secondary to any services provided by primary payers.
(2) Should urgency dictate, NASA may provide for conditional payments for treatment.
(d) Exclusions and limitations. In addition to any definitions, requirements, conditions, or limitations enumerated and described in other sections of this part, the following are specifically excluded:
(1) Medical monitoring or diagnosis of an eligible individual for any medical or psychological condition that is not potentially associated with human spaceflight; and
(2) Treatment of an eligible individual for any medical or psychological condition that is not associated with human spaceflight.
(a) General program participation. An eligible individual, or their authorized representative, who seek to participate in this program must provide the information set forth in paragraph (e)(2) of this section to NASA. The JSC Flight Medicine Clinic will assist eligible individuals through these processes.
(b) NASA's occupationally related medical monitoring services. (1) Eligible individuals will receive an annual invitation from NASA to participate in NASA's occupational surveillance program;
(2) [Reserved]
(c) Primary payer coverage of diagnosis and treatment services. (1) Former Civil Servants. Eligible individuals who were civil servant employees during their active astronaut or payload specialist career who believe they have sustained a spaceflight-associated condition and are seeking coverage for medical treatment under this part must submit a notice of injury and claim for compensation through their agency to the Department of Labor, Office of the Workers' Compensation Programs Division of Federal Employees' Compensation (DFEC) consistent with 5 U.S.C. Chapter 81 and 20 CFR part 10 before making a claim under the TREAT Astronauts Act.
(2) Members of the Uniformed Services. Eligible individuals who were members of the Uniformed Services during their active astronaut or payload specialist career, or who are otherwise determined to be eligible by their Uniformed Service and who believe they have sustained a spaceflight-associated condition must contact their Service to determine eligibility for health and dental care and/or coverage through the Military Health System of the Department of Defense, consistent with 10 U.S.C. Chapter 55 and 32 CFR part 199 before making a claim under the TREAT Astronauts Act.
(3) Former Civil Servants who were also Members of the Uniformed Services. Eligible individuals whose active astronaut career spanned both military and civil service will first submit a notice to the Department of Labor who will work with the Department of Defense.
(4) Eligible individuals with claims denied or partially covered. If the eligible individual's claim under paragraphs (c)(1), (2), or (3) of this section is either denied or covered only in part by the primary payer, the eligible individual can apply for medical monitoring, diagnosis, and treatment under this program.
(d) Diagnosis and Treatment or Other Benefits-Veterans. An eligible individual who is enrolled, or eligible to be enrolled, in the U.S. Department of Veterans Affairs (VA) health care system may opt instead to seek his or her care and services through the VA. Under the TREAT Astronauts program, the eligible individual may seek reimbursement from NASA for any out-of-pocket copayment(s) he or she paid to VA for care of a condition that NASA determines is associated with spaceflight. The individual may also apply for disability compensation with the Department of Veterans Affairs, Veterans Benefits Administration, pursuant to 38 CFR part 3.
(e) Submitting claims for medical monitoring, diagnosis, and treatment under this program—(1) Claim required. (i) No medical diagnosis and treatment may be extended under the TREAT Astronauts Act without submission of a complete claim form to the JSC Flight Medicine Clinic.
(ii) NASA will provide specific forms appropriate for making a claim for medical monitoring, diagnosis, and treatment. Claim forms may be obtained from the JSC Flight Medicine Clinic. Contact information can be found at: https://www.nasa.gov/hhp/treat-act.
(2) Information required. Each claim for medical monitoring, diagnosis, and treatment under this program will be in writing and include, at a minimum:
(i) Statement of eligibility describing the employment and spaceflight history that justifies medical monitoring, diagnosis, and treatment under this program;
(ii) History and diagnosis of medical or psychological condition;
(iii) Medical documentation in support of the claim. Healthcare providers must be licensed and permitted to practice under state law and not be on the Centers for Medicare & Medicaid Services (CMS) List of Excluded Individuals and Entities, found at: https://healthdata.gov/dataset/list-excluded-individuals-and-entities;
(iv) Documentation of the decisions and/or payments made by the primary payer (i.e., other U.S. Government agencies and/or private health insurer) regarding the claim;
(v) Justification for determination that the psychological or medical condition is associated with spaceflight;
(vi) Expenses for which they are seeking reimbursement, to include documentation of all out-of-pocket costs; and
(vii) The signature of the eligible individual or their authorized representative.
(3) Responsibility for perfecting claim. It is the responsibility of the eligible individual, authorized representative, or the authorized provider acting on behalf of the eligible individual to perfect a claim for submission. NASA will assist eligible individuals with claims submission, but is not authorized to prepare a claim on behalf of the eligible individual.
(a) NASA will establish the TREAT Astronauts Act Board (TAAB) to review claims for medical monitoring, diagnosis, and treatment under this program. This review is independent of any review conducted by primary payers.
(b) The TAAB will review each claim submitted by the eligible individual, in consultation with specialists, as appropriate. A typical case will be reviewed within 30 calendar days, but cases that are more complex may take additional time.
(c) The TAAB will make a recommendation to the Administrator or designee for each claim stating whether the condition is determined to be spaceflight associated.
(d) For those eligible individuals who have had other exposures in addition to those experienced during their career as active U.S. Government astronauts or payload specialists, the TAAB will consider that history when making its recommendation.
(e) The NASA Administrator or designee will review each claim and associated TAAB recommendation to determine whether the claim should be approved or denied. A typical case can be reviewed within 30 calendar days, but cases that are more complex may take additional time.
(f) The decision will be provided to the eligible individual within seven calendar days of the final decision by the NASA Administrator or designee. Decisions not in favor of the eligible individual will include information on how to request reconsideration.
(g) An eligible individual or their authorized representative may request reconsideration of the decision at any time if new information is obtained that enhances the claim. Reconsideration requests can be made to the JSC Flight Medicine Clinic.
(h) Requests for reconsideration are reviewed by the TAAB and decisions made by the Administrator or designee, following the same process described in paragraphs (b) through (f) of this section.
(a) The NASA Administrator or designee is responsible for ensuring that medical monitoring, diagnosis, and treatment to eligible individuals under this program is paid only to the extent described in this part.
(b) Payment for medical monitoring, diagnosis, and treatment is applied secondarily to primary payers and may include the remaining out-of-pocket costs from primary payer coverage.
(c) NASA will pay necessary travel expenses related to this program consistent with the Federal Travel Regulations.
(d) NASA may provide conditional payments for medical monitoring, diagnosis, and treatment that is obligated to be paid by the U.S. Government or other primary payers prior to a final decision by NASA in accordance with § 1241.35. Such requests for conditional payments can be made to JSC Flight Medicine Clinic. Such payments are permitted when payment for such medical monitoring, diagnosis, and treatment has either not been made or will not be made promptly.
(1) NASA may seek to recover costs associated with conditional payments from the U.S. Government, private health insurance company, or other primary payer as allowable by law.
(2) If the claim is denied in accordance with § 1241.35, NASA may seek to recover such conditional payments from the eligible individual in accordance with 31 U.S.C. Chapter 37.
Copies of records generated from medical monitoring, diagnosis, and treatment collected by primary payer facilities and/or relevant health care providers will be acquired by NASA. NASA will collaborate with the Department of Defense Military Health System, Department of Veterans Affairs, and Department of Labor Office of Workers' Compensation and other entities for acquisition of copies of these medical records as allowed by law.
(a) Records on individuals created or obtained pursuant to this regulation that are subject to the Privacy Act of 1974, as amended, 5 U.S.C. 552a, will be maintained in accordance with the NASA's Privacy Act System of Records.
(b) NASA will, as necessary, enter into data sharing agreements with other agencies and/or entities to receive such data and/or seek signed medical releases from the eligible individuals, or their authorized representatives, in accordance with law.
(c) NASA's collection, use, and disclosure of this data will be in accordance with the Privacy Act of 1974, NASA's implementing regulations at 14 CFR part 1212, and NASA's privacy policies, where applicable.
This subpart prescribes regulations for the waiver of rights of the Government of the United States to inventions made under NASA contract in conformity with section 20135 of the National Aeronautics and Space Act (51 U.S.C. Chapter 201).
The provisions of the subpart apply to all inventions made or which may be made under conditions enabling the Administrator to determine that the rights therein reside in the Government of the United States under section 20135(b)(1) of the National Aeronautics and Space Act, 51 U.S.C. 20135(b)(1). The provisions do not apply to inventions made under any contract, grant, or cooperative agreement with a nonprofit organization or small business firm that are afforded the disposition of rights as provided in 35 U.S.C. 200-204 (Pub. L. 96-517, 94 Stat. 3019, 3020, 3022 and 3023; and Pub. L. 98-620, 98 Stat. 3364-3367).
As used in this subpart:
(a) Contract means any actual or proposed contract, agreement, understanding, or other arrangement with the National Aeronautics and Space Administration (NASA) or another Government agency on NASA's behalf, including any assignment, substitution of parties, or subcontract executed or entered into thereunder, and including NASA grants awarded under the authority of 42 U.S.C. 1891-1893.
(b) Contractor means the party who has undertaken to perform work under a contract or subcontract.
(c) Invention means any, new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, or any variety of plant, which is or may be patentable under the Patent Laws of the United States of America or any foreign country.
(d) Class of inventions means inventions directed to a particular process, machine, manufacture, or composition of matter, or to a narrowly drawn, focused area of technology.
(e) Made, when used in relation to any invention, means the conception or first actual reduction to practice of such invention.
(f) Practical application means to manufacture in the case of a composition or product, to practice in the case of a process or method, or to operate in the case of a machine or system; and, in each case, under such conditions as to establish that the invention is being utilized and that its benefits are to the extent permitted by law or Government regulations available to the public on reasonable terms.
(g) Board means the NASA Inventions and Contributions Board established by the Administrator of NASA within the Administration under section 305(f) of the National Aeronautics and Space Act of 1958, as amended (42 U.S.C. 2457(f)).
(h) Chairperson means Chairperson of the NASA Inventions and Contributions Board.
(i) Petitioner means a contractor or prospective contractor who requests that the Administrator waive rights in an invention or class of inventions made or which may be made under a NASA contract. In the case of an identified invention, the petitioner may be the inventor(s).
(j) Government agency includes any executive department, independent commission, board, office, agency, administration, authority, Government corporation, or other Government establishment of the executive branch of the Government of the United States of America.
(k) Administrator means the Administrator of the National Aeronautics and Space Administration or the Administrator's duly authorized representative.
(a) In implementing the provisions of section 20135(g) of the National Aeronautics and Space Act (51 U.S.C. Chapter 201), and in determining when the interests of the United States would be served by waiver of all or any part of the rights of the United States in an invention or class of inventions made in the performance of work under NASA contracts, the Administrator will be guided by the objectives set forth in the National Aeronautics and Space Act, by the basic policy of the Presidential Memorandum and Statement of Government Patent Policy to the Heads of the Executive Departments and agencies dated February 18, 1983, by the goals and objectives of its current Authorization Act, Strategic Plan, and other pertinent National policies or laws, such as the National Space Policy of the United States of America. Any such waiver may be made upon such terms and under such conditions as the Administrator shall determine to be required for the protection of the interests of the United States. Among the most important goals are to provide incentives to foster inventiveness and encourage the reporting of inventions made under NASA contracts, to provide for the widest practicable dissemination of new technology resulting from NASA programs, and to promote early utilization, expeditious development, and continued availability of this new technology for commercial purposes and the public benefit. In applying this regulation, both the need for incentives to draw forth private initiatives and the need to promote healthy competition in industry must be weighed.
(b) Several different situations arise when waiver of all or any part of the rights of the United States with respect to an invention or class of invention may be requested and are prescribed in §§ 1245.104 through 1245.106. Under § 1245.104, advance waiver of any or all of the rights of the United States with respect to any invention or class of inventions which may be made under a contract may be requested prior to the execution of the contract, or within 30 days after execution of the contract. Waiver of rights to an identified invention made and reported under a contract are to be requested under § 1245.105, and may be requested under this provision even though a request under § 1245.104 was not made, or if made, was not granted. Waiver of foreign rights under § 1245.106 may be requested concurrently with domestic rights under § 1245.104 or § 1245.105, or may be made independently.
(c) With respect to inventions which may be or are made or conceived in the course of or under contracts for research, development or demonstration work awarded by NASA on behalf of the Department of Energy (DOE) or in support of a DOE program, on a reimbursable basis pursuant to agreement between DOE and NASA, the waiver policy, regulations, and procedures of DOE will be applied. NASA will normally grant waiver of rights to inventions made under contracts awarded by NASA on behalf of, or in support of, programs funded by another Government agency, unless the funding agency recommends and justifies denial of the waiver. See §§ 1245.110(c) and 1245.111(b).
(a) The provisions of this section apply to petitions for waiver of domestic rights of the United States with respect to any invention or class of inventions which may be made under a contract.
(b) The NASA Inventions and Contributions Board normally will recommend grant of a request for advance waiver of domestic rights submitted prior to execution of contract or within 30 days after execution of the contract unless the Board finds that the interests of the United States will be better served by restricting or denying all or part of the requested rights in one or more of the following situations:
(1) When the contractor is not located in the United States or does not have a place of business in the United States or is subject to the control of a foreign government;
(2) When a determination has been made by Government authority which is authorized by statute or Executive order to conduct foreign intelligence or counter-intelligence activities that the restriction or denial of the requested rights to any inventions made in the performance of work under the contract is necessary to protect the security of such activities; or
(3) Where the Board finds that exceptional circumstances exist, such that restriction or denial of the requested rights will better promote one or more of the following objectives:
(i) Promoting the utilization of inventions arising from federally supported research and development;
(ii) Encouraging maximum participation of industry in federally-supported research and development;
(iii) Ensuring that inventions are used in a manner to promote free competition and enterprise;
(iv) Promoting the commercialization and public availability of inventions made in the United States by United States industry and labor; and
(v) Ensuring that the Government retains sufficient rights in federally supported inventions to meet the needs of the Government and protect the public against nonuse or unreasonable use of inventions.
(c)(1) An advance waiver, when granted, will be subject to the reservations set forth in § 1245.107. Normally, the reservations of § 1245.107(a), License to the Government, and § 1245.107(b), March-in rights, will apply. However, should one or more of the situations set forth in paragraphs (b)(1) through (b)(3), of this section exist, rather than denying the advance waiver request, the Board may recommend granting to the contractor only part of the requested rights, to the extent necessary to address the particular situation, consistent with the policy and goals of § 1245.103. In that event, the waiver grant will be subject to additional reservations as provided for in § 1245.107(c).
(2) To meet the National Aeronautics and Space Act standard of “any invention or class of inventions,” for advance waivers, the petition shall identify the invention(s) and/or class(es) of inventions that the Contractor believes will be made under the contract and for which waiver of rights is being requested. Therefore, the petition must be directed to a specific invention(s) or to inventions directed to a particular process, machine, manufacture, or composition of matter, or to a narrowly drawn, focused area(s) of technology.
(3) An advance waiver, when granted, will apply only to inventions reported to NASA under the applicable terms of the contract and a designation made within 6 months of the time of reporting (or a reasonable time thereafter permitted for good cause shown) that the contractor elects title to the invention and intends to file or has filed a U.S. patent application. Such election will be made by notification in writing to the patent representative designated in the contract. Title to all other inventions made under the contract are subject to section 20135(b)(1) of the National Aeronautics and Space Act, 51 U.S.C. 20135(b)(1). The granting of the advance waiver does not otherwise relieve a contractor of any of the invention identification or reporting requirements set forth in the applicable patent rights clause in the contract.
(4) The advance waiver shall extend to the invention claimed in any patent application filed on the reported invention, including any subsequent divisional or continuation application thereof, provided the claims of the subsequent application do not substantially change the scope of the reported invention.
(d) When a petition for waiver is submitted under paragraph (b) of this section, prior to contract execution, it will be processed expeditiously so that a decision on the petition may be reached prior to execution of the contract. However, if there is insufficient time or insufficient information is presented, or for other reasons which do not permit a recommendation to be made without unduly delaying execution of the contract, the Board will inform the contracting officer that no recommendation can be made prior to contract execution and the reasons therefor. The contracting officer will then notify the petitioner of the Board's action.
(e) A waiver granted pursuant to a petition submitted under this section shall extend to any contract changes, modifications, or supplemental agreements, so long as the purpose of the contract or the scope of work to be performed is not substantially changed.
(a) The provisions of this section apply to petitions for waiver of domestic rights to identified inventions which have been reported to NASA and to which a waiver of rights has not been granted pursuant to § 1245.104.
(b)(1) When an individual identified invention has been reported to NASA under the applicable terms of the contract and waiver of rights has not been granted under § 1245.104, the Board normally will recommend grant of a request for waiver of domestic rights to such invention if the request is received within 8 months of first disclosure to NASA (or such longer period that the Board may permit for good cause shown), unless the Board finds that one or more of the situations set forth in § 1245.104(b)(3)(i) through (v) exist. When granted, the waiver will be subject to the reservations set forth in § 1245.107 in the same manner as discussed in § 1245.104(c)(1).
(2) The waiver shall extend to the invention claimed in the patent application filed on the reported invention, including any subsequent divisional or continuation application thereof, provided the claims of the subsequent application do not substantially change the scope of the reported invention.
(a) The Board will consider the waiver of foreign rights in any designated country concurrently with the waiver of domestic rights when so requested under § 1245.104 or § 1245.105.
(b) The Board will also consider a separate request for foreign rights for an individual identified invention in any designated country if a request was not made pursuant to paragraph (a) of this section, or for countries not designated pursuant to paragraph (a) of this section.
(c) The Board will normally recommend the waiver of foreign rights be granted under paragraph (a) or paragraph (b) of this section in any designated country unless:
(1) The Board finds that exceptional circumstances exist, such that restriction or denial of the requested foreign rights will better promote one or more of the objectives set forth in § 1245.104(b)(3)(i) through (v); or
(2) The Board finds that the economic interests of the United States will not be served thereby; or unless
(3) In the case of an individual identified invention under paragraph (b) of this section, NASA has determined, prior to the request, to file a patent application in the designated country.
(d) If, subsequent to the granting of the petition for foreign rights, the petitioner requests and designates additional countries in which it wishes to secure patents, the Chairperson may recommend such request, in whole or in part, without further action by the Board.
(a) License to the Government. Any invention for which waiver of domestic or foreign rights has been granted under this subpart shall be subject to the reservation by the Administrator of an irrevocable, nonexclusive, nontransferable, royalty-free license for the practice of the invention throughout the world by or on behalf of the United States or any foreign government pursuant to any treaty or agreement with the United States.
(b) March-in rights. For any invention for which waiver of rights has been granted under this subpart, NASA has the same right as set forth in 35 U.S.C. 203 and 210, with the procedures set forth in § 1245.117 and 37 CFR 401.6, to require the contractor, an assignee, or exclusive licensee of the invention to grant a nonexclusive, partially exclusive, or exclusive license in any field of use to a responsible applicant or applicants, upon terms that are reasonable under the circumstances, and if the contractor, assignee, or exclusive licensee refuses such a request, NASA has the right to grant such a license itself if NASA determines that:
(1) Such action is necessary because the contractor or assignee has not taken, or is not expected to take within a reasonable time, effective steps to achieve practical application of the invention in such field of use;
(2) Such action is necessary to alleviate health or safety needs which are not reasonably satisfied by the contractor, assignee, or their licensees;
(3) Such action is necessary to meet requirements for public use specified by Federal regulations and such requirements are not reasonably satisfied by the contractor, assignee, or licensees; or
(4) Such action is necessary because the agreement required by the “Preference for United States industry” has not been obtained or waived or because a licensee of the exclusive right to use or sell any invention in the United States is in breach of such agreement.
(c) Additional reservations. In the event one or more of the situations set forth in § 1245.104 (b)(1) through (b)(3) exist, the Board may determine to recommend partial grant of the waiver request (rather than denial) by making the grant subject to additional reservations (than those set forth in (a) and (b) of this section) to the extent necessary to address the particular situation. Such additional reservations may include, but not be limited to, field-of-use or terrestrial-use limitations, or additions to the march-in rights.
(a) Each contractor reporting an invention is granted a revocable, nonexclusive, royalty-free license in each patent application filed in any country on the invention and in any resulting patent in which the Government acquires title. The license extends to the contractor's domestic subsidiaries and affiliates, if any, within the corporate structure of which the contractor is a party and includes the right to grant sublicenses of the same scope to the extent the contractor was legally obligated to do so at the time the contract was awarded. The license and right is transferable only with the approval of the Administrator except when transferred to the successor of that part of the contractor's business to which the invention pertains.
(b) The contractor's domestic license may be revoked or modified by the Administrator to the extent necessary to achieve expeditious practical application of the invention pursuant to an application for an exclusive license submitted in accordance with the Licensing of Government-Owned Inventions (37 CFR part 404). This license will not be revoked in that field of use and/or the geographical areas in which the contractor has achieved practical application and continues to make the benefits of the invention available to the public on reasonable terms. The license in any foreign country may be revoked or modified at the discretion of the Administrator to the extent the contractor, its licensees, or its domestic subsidiaries or affiliates have failed to achieve practical application in that foreign country.
(c) Before revocation or modification of the license, the contractor will be provided a written notice of the Administrator's intention to revoke or modify the license, and the contractor will be allowed 30 days (or any other time as may be allowed by the Administrator for good cause shown by the contractor) after the notice to show cause why the license should not be revoked or modified. The contractor shall have the right to appeal, in accordance with applicable regulations in 37 CFR part 404, any decision concerning the revocation or modification of its license.
(a) The instrument of waiver set forth in § 1245.115(c) shall be voided by NASA with respect to the domestic title to any invention for which a patent application has not been filed within 1 year (or a reasonable time thereafter for good cause shown) from notification to NASA of election of title, as required by § 1245.104(c)(2), for an advanced waiver pursuant to § 1245.104, or within 1 year from the granting of a waiver for an individual invention granted pursuant to § 1245.105.
(b) The instrument of waiver set forth in § 1245.115(c) shall be voided by NASA with respect to title in any foreign country for which waiver has been granted pursuant to § 1245.106, if a patent application has not been filed in that country (or in the European Patent Office or under the Patent Cooperation Treaty and that country designated) within either 10 months (or a reasonable time thereafter for good cause shown) from the date a corresponding U.S. patent application has been filed or 6 months (or a reasonable time thereafter for good cause shown) from the date a license is granted by the Commissioner of Patents and Trademarks to file foreign patent applications where such filing has been prohibited by a Secrecy Order.
(c) In any country in which the waiver recipient decides not to continue prosecution of any application, to pay maintenance fees on, or defend in reexamination or opposition proceedings on a patent on a waived invention, the waiver recipient shall notify the patent representative within sufficient time for NASA to continue prosecution, pay the maintenance fee or defend the reexamination or opposition, and upon written request, convey title to NASA and execute all papers necessary for NASA to proceed with the appropriate action.
(a) Each request for waiver of domestic or foreign rights under § 1245.104, § 1245.105, or § 1245.106 shall be by petition to the Administrator and shall include:
(1) An identification of the petitioner, its place of business, and address;
(2) If the petitioner is represented by counsel, the name, address, and telephone number of the counsel;
(3) A citation to the section (§ 1245.104, § 1245.105, or § 1245.106) under which the petition is submitted, the nature and extent of the rights requested, and a positive statement that waiver of rights under the cited section is being requested;
(4) If the petitioner is an employee inventor of the contractor, a statement from the contractor that the contractor does not object to this petition.
(5) Information identifying the proposed contract or resulting contract, if any;
(6) A designation of the country or countries, the United States of America and/or foreign, in which waiver of title is requested;
(7) A copy of the invention disclosure if the request is for an individual identified invention (under § 1245.105);
(8) The name, address, and telephone number of the party with whom the Board is to communicate when the request is acted upon;
(9) Whether the petitioner is an entity of or under the control of a foreign government;
(10) The signature of the petitioner or its authorized representative; and
(11) The date of the petition.
(b) Advance waiver petitions shall also identify the invention(s) and/or class(es) of inventions that the Contractor believes will be made under the contract and for which waiver of rights is being requested, in accordance with § 1245.104(c)(2).
(c) No specific forms need be used. Requests for advanced waiver should, preferably, be included with the proposal, but in any event in advance of negotiations.
(d) Petitions for waiver under contracts funded by another agency. The content of the petitions for waiver of title to inventions made under contracts awarded by NASA on behalf of the Department of Energy under § 1245.103(c) shall follow the procedures and form prescribed by and shall be acted on by that agency. Petitions under contracts awarded by NASA on behalf of other agencies will be coordinated with the agency before action is taken by the Board.
(a) Petitions for advance waiver of domestic rights under § 1245.104 or for advance waiver of foreign rights under § 1245.106 presented prior to contract execution, must be submitted to the contracting officer. Any petition submitted by a prospective contractor and selected for negotiation of a contract will be processed and forwarded to the Board for consideration. All other petitions will be submitted to the patent representative designated in the contract for processing prior to forwarding to the Board.
(b) A copy of any waiver petitions submitted under § 1245.103(c) should be forwarded to the appropriate NASA field installation patent counsel, if not supplied earlier, for (1) transmittal to the Department of Energy for processing by that agency, or (2) coordination with other agencies, as applicable.
(a) Notice. Except as provided by § 1245.104(d), the Board will notify the petitioner, through the contracting officer, with respect to petitions for advance waiver prior to contract execution, and directly to the petitioner for all other petitions:
(1) When it proposes to recommend to the Administrator that the petition be:
(i) Granted in an extent different from that requested; or
(ii) Denied.
(2) Of the reasons for the recommended action adverse to or different from the waiver of rights requested by the petitioner.
(b) Request for reconsideration and statements required. (1) If, under paragraph (a) of this section, the Board notifies the petitioner that the Board proposes to recommend action adverse to or different from the waiver requested, the petitioner may, within the period as the Board may set, but not less than 15 days from the notification, request reconsideration by the Board.
(2) If reconsideration has been requested within the prescribed time, the petitioner shall, within 30 days from the date of the request for reconsideration, or within any other time as the Board may set, file its statement setting forth the points, authorities, arguments, and any additional material on which it relies.
(3) Upon filing of the reconsideration statement by the petitioner, the petition will be assigned for reconsideration by the Board upon the contents of the petition, the record, and the reconsideration statement submitted by the petitioner.
(4) The Board, after its reconsideration, will promptly notify the petitioner of its proposed recommendation to the Administrator. If the Board's proposed action is adverse to, or different from, the waiver requested, the petitioner may request an oral hearing within the time as the Board has set.
(a) If the petitioner requests an oral hearing within the time set, under § 1245.112(b)(4), the Board shall set the time and place for the hearing and shall notify the petitioner.
(b) Oral hearings held by the Board shall be open to the public and shall be held in accordance with the following procedures:
(1) Oral hearings shall be conducted in an informal manner, with the objective of providing the petitioner with a full opportunity to present facts and arguments in support of the petition. Evidence may be presented through means of witnesses, exhibits, and visual aids as are arranged for by the petitioner. Petitioner may be represented by any person including its attorney. While proceedings will be ex parte, members of the Board and its counsel may address questions to witnesses called by the petitioner, and the Board may, at its option, enlist the aid of technical advisors or expert witnesses. Any person present at the hearing may make a statement for the record.
(2) A transcript or equivalent record of the proceeding shall be arranged for by the Board. The petitioner shall submit for the record a copy of any exhibit or visual aid utilized during the hearing.
(a) Findings of the Board. The Board shall consider the petition, the NASA contract, if relevant, the goals cited in § 1245.103(a), the effect of the waiver on the objectives of the related NASA programs, and any other available facts and information presented to the Board by an interested party. The Board shall document its findings.
(b) Recommendation of the Board. (1) Except as provided in § 1245.104(d), after making the findings of fact, the Board shall formulate its proposed recommendation to the Administrator as to the grant of waiver as requested, the grant of waiver upon terms other than as requested, or denial of waiver.
(2) If the Board proposes to recommend, initially or upon reconsideration or after oral hearing, that the petition be granted in the extent requested or, in other cases, where the petitioner does not request reconsideration or a hearing during the period set for the action or informs the Board that the action will not be requested, or fails to file the required statements within the prescribed time, the Board shall transmit the petition, a summary record of hearing proceedings, if applicable, its findings of fact, and its recommendation to the Administrator.
(a) After receiving the transmittal from the Board, the Administrator shall determine, in accordance with the policy of § 1245.103, whether or not to grant any petition for waiver of rights to the petitioner.
(b) In the event of denial of the petition by the Administrator, a written notice of such denial will be promptly transmitted by the Board to the petitioner. The written notice will be accompanied with a statement of the grounds for denial.
(c) If the waiver is granted by the Administrator, the petitioner shall be sent for execution, an instrument of waiver confirmatory of the conditions and reservations of the waiver grant. The petitioner shall promptly return the executed copy of the instrument of waiver to the Chairperson.
(a) Filing of patent applications and reimbursement of costs. In order to protect the interests of the Government and the petitioner in inventions, a petitioner may file United States patent applications for such inventions prior to the Administrator's determination on a petition for waiver. If an application on an identified invention is filed during the pendency of the petition, or within 60 days prior to the receipt of a petition, NASA will reimburse the petitioner for any reasonable costs of the filing and patent prosecution that may have occurred, provided:
(1) Similar patent filing and prosecution costs are not normally reimbursed to the petitioner as direct or indirect costs chargeable to the Government contracts;
(2) The petition is ultimately denied with respect to domestic rights, or with respect to foreign and domestic rights, if both are requested, and
(3) Prior to reimbursement, petitioner assigns the application to the United States of America as represented by the Administrator of the National Aeronautics and Space Administration.
(b) Statement of Government rights. The waiver recipient shall include, within the specification of any United States patent application and any patent issuing thereon for a waived invention, the following statement:
The invention described herein was made in the performance of work under NASA Contract No. lll, and is subject to the provisions of Section 20135 of the National Aeronautics and Space Act (51 U.S.C. Chapter 201).
(c) License to the Government. The waiver recipient shall return to NASA a duly executed and approved license to the Government (which will be prepared by the Government) fully confirming of all the rights, domestic and foreign, to which the Government is entitled.
(d) Patent filing and issuance information. The waiver recipient shall furnish to either the Chairperson or the patent representative, the filing date, serial number and title, and upon request, a copy of any domestic or foreign patent application including an English language version if filed in a language other than English, and a copy of the patent or patent number and issue date, for any waived invention.
(e) Transfer of rights. The waiver recipient shall notify the Chairperson prior to any transfer of principal rights in any waived invention to any party. Such transfer shall be subject to all rights reserved by the Government, and all obligations of the waiver recipient, as set forth in this subpart.
(f) Utilization reports. (1) The waiver recipient shall provide to the Chairperson upon request, and no more frequently than annually, reports on the utilization of a waived invention or on efforts at obtaining such utilization being made by the waiver recipient or its licensees or assigns. Such reports shall include information regarding the status of the development, date of first commercial sale or use, and such other data and information as the Chairperson may reasonably specify. No utilization reports need be submitted after the term of the patent.
(2) Such reports on the utilization of a waived invention, as well as information on the utilization or efforts at obtaining utilization obtained as part of a march-in proceeding under § 1245.117, shall be treated by NASA as commercial and financial information obtained from a person and privileged and confidential and not subject to disclosure under 5 U.S.C. 552.
(g) Communications. Unless otherwise specifically set forth in this subpart, all communications relating to waived inventions, and all information and documents required to be submitted to NASA in this subpart, shall be furnished to the patent representative designated in the contract under which the waived invention was made.
(a) The exercise of march-in procedures shall be in conformance with 35 U.S.C. 203 and the applicable provisions of 37 CFR 401.6, entitled “Exercise of march-in rights for inventions made by nonprofit organizations and small business firms.”
(b) Whenever NASA receives information that it believes might warrant the exercise of march-in rights, before initiating any march-in proceeding, it shall notify the waiver recipient in writing of the information and request informal written or oral comments from the waiver recipient as well as information relevant to the matter. In the absence of any comments from the waiver recipient within 30 days, NASA may, at its discretion, proceed with the procedures set forth in 37 CFR 401.6. If a comment is received within 30 days, or later if NASA has not initiated the procedures, then NASA shall, within 60 days after it receives the comment, either initiate the procedures or notify the waiver recipient, in writing, that it will not pursue march-in rights on the basis of the available information.
(c) If march-in procedures are to be initiated, the Administrator of NASA, or designee, shall undertake or refer the matter for fact finding to the NASA Board of Contract Appeals (BCA) and its Chairperson.
(d) Fact-finding shall be conducted by the NASA BCA and its Chairperson in accordance with its procedures that are consistent with the procedures set forth in 37 CFR 401.6. Any portion of the march-in proceeding, including a fact-finding hearing that involves testimony or evidence relating to the utilization or efforts at obtaining utilization that are being made by the waiver recipient, its assignee, or licensees shall be closed to the public, including potential licensees. In accordance with 35 U.S.C. 202(c)(5), NASA shall not disclose any such information obtained during a march-in proceeding to persons outside the Government except when such release is authorized by the waiver recipient (assignee or licensee).
(e) The preparation of written findings of fact and recommended determination by the Chairperson of the NASA BCA and the determination by the Administrator, or designee, of NASA shall be in accordance with 37 CFR 401.6.
(f) NASA may, at any time, terminate a march-in proceeding if it is satisfied that it does not wish to exercise march-in rights.
The findings of fact and recommendations made to the Administrator by the Board with respect to each petition for waiver shall be recorded by the Board and be available to the public.
The purpose of this subpart is to set forth policies and procedures for the filing and disposition of claims of infringement of privately owned rights in patented inventions or copyrighted works asserted against NASA.
Whenever a claim of infringement of privately owned rights in patented inventions or copyrighted works is asserted against NASA, all necessary steps shall be taken to investigate and to administratively settle, deny, or otherwise dispose of such claim prior to suit against the United States. The General Counsel, or designee, is authorized to investigate, settle, deny, or otherwise dispose of all claims of patent and copyright infringement, pursuant to the above-cited statutory authority.
(a) Requirements for claim. A patent or copyright infringement claim for compensation, asserted against the United States as represented by NASA under any of the applicable statutes cited above, must be actually communicated to and received by an organization, office, or within a NASA Center. Claims must be in writing and must include the following:
(1) An allegation of infringement.
(2) A request for compensation, either expressed or implied.
(3) A citation to the patent(s) or copyright(s) alleged to be infringed.
(4) In the case of a patent infringement claim, a sufficient designation to permit identification of the accused subject matter (e.g. article(s) or process(es)) alleged to infringe the patent(s), giving the commercial designation, if known to the claimant, or, in the case of a copyright infringement claim, the accused subject matter (e.g. act(s) or work(s)) alleged to infringe the copyright.
(5) In the case of a patent infringement claim, a designation of at least one claim of each patent alleged to be infringed or, in the case of a copyright infringement claim, a copy of each work alleged to be infringed.
(6) As an alternative to paragraphs (a)(4) and (5) of this section, certification that the claimant has made a bona fide attempt to determine the accused subject matter, which is alleged to infringe the patent(s), or the accused subject matter alleged to infringe the copyright(s), but was unable to do so, giving reasons and stating a reasonable basis for the claimant's belief that the patent(s) or copyright(s) is being infringed.
(b) Additional information for patent infringement claims. In addition to the information listed in paragraph (a) of this section, the following material and information generally are necessary in the course of processing a claim of patent infringement. Claimants are encouraged to furnish this information at the time of filing a claim to permit rapid processing and resolution of the claim.
(1) A copy of the asserted patent(s) and identification of all claims of the patent(s) alleged to be infringed.
(2) Identification of all procurements known to the claimants that involve the accused item(s) or process(es), including the identity of the vendor(s) or contractor(s) and the Government acquisition activity or activities.
(3) A detailed identification and description of the accused article(s) or process(es) used or acquired by the Government, particularly where the article(s) or process(es) relate to a component(s) or subcomponent(s) of an item acquired, and an element-by-element comparison of representative claim(s) with the accused article(s) or process(es). If available, the identification and description should include documentation and drawings to illustrate the accused article(s) or process(es) in sufficient detail to enable determining whether the claim(s) of the asserted patent(s) read on the accused article(s) or process(es).
(4) Names and addresses of all past and present licensees under the patent(s) and copies of all license agreements and releases involving the patent(s). In addition, an identification of all assignees of the patent(s).
(5) A list of all persons to whom notices of infringement have been sent, including all departments and agencies of the Government, and a statement of the status or ultimate disposition of each.
(6) A brief description of all litigation involving the patent(s) which was initiated at any time prior to the claim being filed and their present status. This includes any defenses or counterclaims made and positions maintained by opposing parties regarding invalidity of the patent(s).
(7) A description of Government employment or military service, if any, by the inventor(s) or patent owner(s) including a statement from the inventor(s) or patent owner(s) certifying whether the invention claimed in the patents was conceived or reduced to practice, in part or in whole, during Government employment and whether such inventor(s) or owner(s) occupied any position from which such inventor(s) or owner(s) was capable of ordering, influencing, or inducing use of the invention by the Government.
(8) A list of all contract(s) between the Government and inventor(s), patent owner(s), or anyone in privity with the patent owner(s), under which work relating to the patented subject matter was performed.
(9) Evidence of title to the asserted patent(s) or other right to make the claim.
(10) A copy of the United States Patent and Trademark Office (USPTO) file history of each patent, if it is available to the claimant. Indicate whether the patent has been the subject of any interference proceedings, certification of correction request, reexamination, or reissue proceedings at the USPTO, or lapsed for failure to pay any maintenance fee. In addition, the status of all corresponding foreign patents and patent applications and full copies of the same.
(11) Pertinent prior art known to the claimant not contained in the USPTO file, for example, publications and foreign prior art. In addition to the foregoing, if claimant can provide a statement that the investigation may be limited to the specifically identified accused article(s) or process(es) or to a specific acquisition (e.g. identified contract(s)), it may speed disposition of the claim. Claimants are also encouraged to provide information on any ancillary matters that may have a bearing on validity or infringement.
(c) Denial for refusal to provide information. In the course of investigating a claim, it may become necessary for NASA to request information in the control and custody of the claimant that is relevant to the disposition of the claim. Failure of the claimant to respond to a request for such information shall be sufficient reason alone for denying a claim.
(a) If a communication alleging patent infringement or copyright infringement is received that does not meet the requirements set forth in § 1245.202(a), the sender shall be advised in writing by the Agency Counsel for Intellectual Property:
(1) That the claim for infringement has not been satisfactorily presented; and
(2) Of the elements necessary to establish a claim.
(b) A communication, in which no infringement is alleged in accordance with § 1245.202(a), such as a mere proffer of a license, shall not be considered a claim for infringement.
A communication by a patent or copyright owner to addressees other than those specified in § 1245.202(a), such as NASA contractors, including contractors operating Government-owned facilities, alleging that acts of infringement have occurred in the performance of a Government contract, grant, or other arrangement, shall not be considered a claim within the meaning of § 1245.202(a) until such communication meets the requirements specified therein.
(a) Filing and forwarding of claims. All communications regarding claims should be addressed to: Agency Counsel for Intellectual Property, Office of the General Counsel, National Aeronautics and Space Administration, Washington, DC 20546-0001. If any communication relating to a claim or possible claim of patent or copyright infringement is received by an agency, organization, office, or field installation within NASA, it shall be forwarded to the Agency Counsel for Intellectual Property.
(b) Disposition and notification. The General Counsel, or designee, shall investigate and administratively settle, deny, or otherwise dispose of each claim. When a claim is denied, the Agency shall so notify the claimant or the claimant's authorized representative and provide the claimant with the reasons for denying the claim. Disclosure of information shall be subject to applicable statutes, regulations, and directives pertaining to security, access to official records, and the rights of others.
(c) Termination of claims. If, while an administrative claim for patent or copyright infringement is pending against NASA, the claimant brings suit for patent or copyright infringement against the United States in the Court of Federal Claims based on the same facts or transactions as the administrative claim, the administrative claim shall thereupon be automatically dismissed, with no further action being required of NASA.
This subpart establishes policy, criteria, and procedures concerning the NASA Foreign Patent Program.
(a) Pursuant to § 1245.113, NASA has facilitated the filing of foreign patent applications by contractors by providing for the granting of a waiver of title to a contractor to any identified invention in countries other than the United States in the event the Administrator of NASA does not desire to file a patent application covering the invention in such countries. However, any such waiver is subject to the reservation by the Administrator of the license required to be retained by NASA under 51 U.S.C. 20135(g) of the National Aeronautics and Space Act, as amended.
(b) Conversely, where the principal rights in an invention made under a NASA contract remain in the contractor by virtue of waiver, § 1245.19(a)(5) provides that the contractor, upon written request, will convey to the Administrator of NASA the entire right, title, and interest in the invention in any foreign country in which the contractor has elected not to file a patent application.
(c) With respect to inventions in which NASA has acquired and retained the principal rights, NASA will file patent applications in countries other than the United States on inventions selected in accordance with the criteria set forth in § 1245.303.
(a) The foreign rights of NASA and of the NASA employee making an invention are determinable in accordance with Executive Orders 9865 and 10096 and Government Patent Board Administrative Order No. 6 issued pursuant thereto.
(b) Where NASA acquires an assignment of the domestic rights in an invention made by a NASA employee, NASA will also obtain an option to acquire the foreign rights, including the right to file foreign patent applications on the invention.
(c) Where NASA is entitled to only a governmental license in the invention, the principal foreign rights in the invention are retained by the employee unless he agrees in writing to assign such rights to NASA.
The following categories of inventions will be considered for the filing of patent applications by NASA in countries other than the United States:
(a) Inventions which may be utilized abroad in governmental programs of the United States.
(b) Inventions which may be exploited abroad in the public interest by license to U.S. nationals or others.
(c) Inventions which may be utilized in applications type satellites, such as communications and meteorological satellites.
(d) Inventions considered to be basic discoveries or of major significance in an art.
(e) Inventions in fields which directly concern the public health or public welfare.
(a) The patent counsel at each NASA field installation will review all invention disclosures at the time of docketing and will expedite the processing and preparation of a U.S. patent application, if justified, on those inventions which appear to fall within the criteria set forth in § 1245.303. The patent counsel will make a recommendation as to whether or not foreign patent coverage appears justified at the time of assigning a priority evaluation to a disclosed invention.
(b) Preparation and filing of patent applications in foreign countries will be subject to approval of the Assistant General Counsel for Patent Matters, NASA Headquarters.
(c) The Office of Assistant General Counsel for Patent Matters will budget for and administer the filing of all patent applications in countries other than the United States.
(d) Coordination with other interested NASA offices will be undertaken by the Assistant General Counsel for Patent Matters.
The purpose of this part is to effectuate the provisions of Title VI of the Civil Rights Act of 1964 (hereafter referred to as “the Act”) to the end that no person in the United States shall, on the ground of race, color or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity receiving Federal financial assistance from the National Aeronautics and Space Administration, hereinafter referred to as NASA.
(a) Covered programs. (1) This part applies to any program for which Federal financial assistance is authorized under a law administered by NASA, including the types of Federal financial assistance listed in appendix A to this part. The fact that a type of Federal assistance is not listed in appendix A shall not mean, if Title VI of the Act is otherwise applicable, that a program is not covered. Other types of Federal financial assistance under statutes now in force or hereafter enacted may be added to appendix A by notice published in the
(2) This part applies to money paid, property transferred, or other Federal financial assistance extended after the effective date of this part pursuant to an application approved prior to such effective date.
(b) Excluded activities. This part does not apply to (1) any Federal financial assistance by way of insurance or guaranty contracts, (2) money paid, property transferred, or other assistance extended before the effective date of this part, except as provided in paragraph (a) of this section, (3) any assistance to any individual who is the ultimate beneficiary, (4) any employment practice, under any such program, of any employer, employment agency, or labor organization, except as provided in § 1250.103-3, (5) contracts not covered in the types of Federal financial assistance listed in appendix A, or (6) advances, V-loans, and other financial assistance made incident to NASA procurements not covered in the types of Federal financial assistance listed in appendix A.
As used in this part—
(a) Administrator means the Administrator of the NASA.
(b) Applicant means one who submits an application, request, proposal, or plan required to be approved by a responsible NASA official, or by a primary recipient, as a condition to eligibility for Federal financial assistance; and the term application means such an application, request, proposal or plan.
(c) Facility includes all or any portion of structures, equipment, or other real or personal property or interests therein, and the provision of facilities includes the construction, expansion, renovation, remodeling, alteration or acquisition of facilities.
(d) Federal financial assistance includes (1) grants and loans of Federal funds, (2) the grant or donation of Federal property and interests in property, (3) the detail of Federal personnel, (4) the sale and lease of, and the permission to use (on other than a casual or transient basis), Federal property or any interest in such property without consideration or at a nominal consideration, or at a consideration which is reduced for the purpose of assisting the recipient, or in recognition of the public interest to be served by such sale or lease to the recipient, and (5) any Federal agreement, arrangement, or other contract which has as one of its purposes the provision of assistance.
(e) NASA means the National Aeronautics and Space Administration.
(f) Primary recipient means any recipient which is authorized or required to extend Federal financial assistance to another recipient.
(g) Principal Compliance Officer means the Director, Equal Employment Opportunity Office, Office of Organization and Management, NASA Headquarters, or any successor officer to whom the Administrator should delegate authority to perform the functions assigned to the Principal Compliance Officer by this part.
(h) Program or activity and program mean all of the operations of any entity described in paragraphs (h)(1) through (4) of this section, any part of which is extended Federal financial assistance:
(1)(i) A department, agency, special purpose district, or other instrumentality of a State or of a local government; or
(ii) The entity of such State or local government that distributes such assistance and each such department or agency (and each other State or local government entity) to which the assistance is extended, in the case of assistance to a State or local government;
(2)(i) A college, university, or other postsecondary institution, or a public system of higher education; or
(ii) A local educational agency (as defined in 20 U.S.C. 7801), system of vocational education, or other school system;
(3)(i) An entire corporation, partnership, or other private organization, or an entire sole proprietorship—
(A) If assistance is extended to such corporation, partnership, private organization, or sole proprietorship as a whole; or
(B) Which is principally engaged in the business of providing education, health care, housing, social services, or parks and recreation; or
(ii) The entire plant or other comparable, geographically separate facility to which Federal financial assistance is extended, in the case of any other corporation, partnership, private organization, or sole proprietorship; or
(4) Any other entity which is established by two or more of the entities described in paragraph (h)(1), (2), or (3) of this section.
(i) Recipient means any State, political subdivision of any State, or instrumentality of any State or political subdivision, any public or private agency, institution, or organization, or other entity, or any individual, in any State, to whom Federal financial assistance is extended, directly or through another recipient, including any successor, assign, or transferee thereof, but such term does not include any ultimate beneficiary.
(j) Responsible NASA official means:
(1) The heads of Offices at NASA Headquarters responsible for making grants, and contracts of the kind listed in appendix A; and
(2) Each Director of a field installation which makes or administers grants and contracts of the kind listed in appendix A, or any officer to whom he has delegated authority to act within the areas of responsibility assigned to him under this part.
(k) United States means the States of the United States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the Canal Zone, and the territories and possessions of the United States, and the term State means any one of the foregoing.
No person in the United States shall, on the ground of race, color or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program to which this part applies.
(a) A recipient to which this part applies may not, directly or through contractual or other arrangements, on ground of race, color, or national origin:
(1) Deny an individual any service, financial aid, or other benefit provided under the program;
(2) Provide any service, financial aid, or other benefit to an individual which is different, or is provided in a different manner, from that provided to others under the program;
(3) In determining the site or location of facilities, a recipient or applicant may not make selections with the purpose of excluding individuals from, denying them the benefits of, or subjecting them to discrimination under any program to which this regulation applies, on the grounds of race, color, or national origin; or with the purpose of defeating or substantially impairing the accomplishment of the objectives of the Act or this regulation.
(4) Subject an individual to segregation or separate treatment in any matter related to his receipt of any service, financial aid, or other benefit under the program;
(5) Restrict an individual in any way in the enjoyment of any advantage or privilege enjoyed by others receiving any service, financial aid, or other benefit under the program;
(6) Treat an individual differently from others in determining whether he satisfies any admission, enrollment, quota, eligibility, membership or other requirement or condition which individuals must meet in order to be provided any service, financial aid, or other benefit provided under the program;
(7) Deny an individual an opportunity to participate in the program through the provision of services or otherwise or afford him an opportunity to do so which is different from that afforded others under the program (including the opportunity to participate in the program as an employee but only to the extent set forth in § 1250.103-3).
(b) As used in this section the services, financial aid, or other benefits provided under a program receiving Federal financial assistance shall be deemed to include any service, financial aid, or other benefit provided in or through a facility provided with the aid of Federal financial assistance.
(c) A recipient may not take action that is calculated to bring about indirectly what this part forbids it to accomplish directly.
(a) Where a primary objective of the Federal financial assistance to a program to which this part applies is to provide employment, a recipient may not directly or through contractual or other arrangements subject an individual to discrimination on the ground of race, color, or national origin in its employment practices under such program (including recruitment or recruitment advertising, employment, layoff or termination, upgrading, demotion, or transfer, rates of pay or other forms of compensation, and use of facilities), including programs where a primary objective of the Federal financial assistance is (1) to assist such individuals through employment to meet expenses incident to the commencement or continuation of their education or training, or (2) to provide work experience which contributes to the education or training of such individuals.
(b) Employment opportunities provided in connection with any of the types of Federal financial assistance listed in appendix A, which opportunities are limited, or for which preference is given, to students, fellows, or other persons in training for the same or related employments, are programs of the kind described in paragraph (a)(1) and (2) of this section.
(c) The requirements applicable to construction employment under any such program shall be those specified in or pursuant to Executive Order 11246 or any Executive order which supersedes it.
(a) In training grant services discrimination is forbidden in the selection or eligibility of individuals to be trained and in their treatment by the grantee during their training. In any case where selection is made from a predetermined group, such as the students in an institution, the group must have been selected without discrimination.
(b) In a research or training grant to a university for activities to be conducted in a graduate school, discrimination in the admission and treatment of students in the graduate school is prohibited and the prohibition extends to the entire university.
(c) Discrimination in the treatment of students or other trainees includes the prohibition of discrimination among the students or trainees in the availability or use of any academic, dormitory, eating, recreational, or other facilities of the grantee or other recipient.
(d) In a research or training grant, discrimination is prohibited with respect to the availability of any educational activity and any provision of medical or other services and any financial aid to individuals incident to the grant.
(e) Upon transfers of real or personal property for research or educational uses, discrimination is forbidden to the same extent as in the case of grants for the construction of facilities or the provision of equipment for like purposes.
An individual shall not be deemed subjected to discrimination by reason of his exclusion from the benefits limited by Federal law to individuals of a particular race, color, or national origin different from his.
Notwithstanding the provisions of §§ 1250.103 to 1250.103-5, a recipient of Federal financial assistance shall not be deemed to have failed to comply with § 1250.103-1, if immediate provision of a service or other benefit to an individual is necessary to prevent his death or serious impairment of his health, and such service or other benefit cannot be provided except by or through a medical institution which refuses or fails to comply with § 1250.103-1.
(a) General requirement. Every application for Federal financial assistance to which this part applies, and every application for Federal financial assistance to provide a facility shall, as a condition to its approval and the extension of any Federal financial assistance pursuant to the application, contain, be accompanied by, or identify and make reference to, an assurance that the program will be conducted or the facility operated in compliance with all requirements imposed by or pursuant to this part. If the assurance is not made a part of the application, the application shall identify the assurance which is applicable to the application. One assurance shall suffice for all applications of an applicant if the assurance complies with the conditions made applicable by this part to each such application for Federal financial assistance. Every assurance shall include provisions which give the United States a right to seek its judicial enforcement.
(b) Duration of assurances. The period of time to be covered by the assurances required under this § 1250.104 shall be as follows:
(1) Real property. In the case of an application for Federal financial assistance for providing real property or structures thereon, the assurance shall obligate the recipient, or in the case of a subsequent transfer, the transferee, for the period during which the real property or structures are used for a purpose for which the Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits.
(2) Personal property. In the case of an application for Federal financial assistance for providing personal property, the assurance shall obligate the recipient for the period during which he retains ownership or possession of the property.
(3) Other kinds of Federal financial assistance. In the case of an application for any other kind of Federal financial assistance, the assurance shall obligate the recipient for the period during which Federal financial assistance is extended pursuant to the application.
(c) Assurances for research, training, or educational programs. (1) In the case of application by an institution of higher education or any other organization for Federal financial assistance for a program or activity which involves participation by students, fellows or trainees, including but not limited to assistance for research, training, or the provision of facilities, the assurance required by this § 1250.104 shall extend to admission practices and to all other practices relating to the treatment of students or other participants.
(2) The assurances from such an applicant shall be applicable to the entire organization of the applicant.
(d) Assurances for construction of facilities. In the case of assistance for the construction of a facility, or part thereof, the assurance shall extend to the entire facility and to facilities operated in connection therewith. In grants to assist in the construction of facilities for the provision of research, training, or educational services, assurances will be required that services will be provided without discrimination, to the same extent that discrimination would be forbidden as a condition of grants for the support of such services. Thus, as a condition of grants for the construction of academic, research or other facilities at institutions of higher education, assurances will be required that there will be no discrimination in the admission or treatment of students. Also, see paragraph (c) of this section for the requirement as to the applicability of the assurance to the applicant's organization.
(e) Instrument effecting or recording transfers of real property. The instrument effecting or recording the transfer, shall contain a covenant running with the land assuring nondiscrimination for the period during which the real property is used for a purpose for which the Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits. Where no transfer of property is involved, but property is improved with Federal financial assistance, the recipient shall agree to include such a covenant in any subsequent transfer of such property. Where the property is obtained from the Federal Government, such covenant may also include a condition coupled with a right to be reserved by NASA to revert title to the property in the event of a breach of the covenant where, in the discretion of the responsible NASA official, such a condition and right of reverter is appropriate to the statute under which the real property is obtained and to the nature of the grant and the grantee.
(f) Assurances for transfer of surplus real property. Transfers of surplus property are subject to regulations issued by the Administrator of General Services (41 CFR 101-6.2).
(g) Form of assurances. The responsible NASA officials shall specify the form of assurances required by this § 1250.104 and the extent to which like assurances will be required by subgrantees, contractors and subcontractors, transferees, successors in interest, and other participants in the program.
(h) Requests for proposals. Any request for proposals issued by NASA which relates to covered financial assistance listed in appendix A shall have set forth therein or have attached thereto the assurance prescribed in accordance with paragraph (g) of this section, and shall require that the proposer either include the assurance as a part of his signed proposal or identify and refer to an assurance already signed and submitted by the proposer.
(a) Cooperation and assistance. Each responsible NASA official shall to the fullest extent practicable seek the cooperation of recipients in obtaining compliance with this part and shall provide assistance and guidance to recipients to help them comply voluntarily with this part.
(b) Compliance reports. Each recipient shall keep such records and submit to the Principal Compliance Officer or his designee timely, complete and accurate compliance reports at such times, and in such form and containing such information, as the Principal Compliance Officer or his designee may determine to be necessary to enable him to ascertain whether the recipient has complied or is complying with this part. In the case in which a primary recipient extends Federal financial assistance to any other recipient, such other recipient shall also submit such compliance reports to the primary recipient as may be necessary to enable the primary recipient to carry out its obligations under this part.
(c) Access to sources of information. Each recipient shall permit access by the Principal Compliance Officer or his designee during normal business hours to such of its books, records, accounts and other sources of information, and its facilities as may be pertinent to ascertain compliance with this part. Where any information required of a recipient is in the exclusive possession of any other agency, institution or person and that agency, institution or person shall fail or refuse to furnish this information, the recipient shall so certify in its report and shall set forth what efforts it has made to obtain the information.
(d) Information to beneficiaries and participants. Each recipient shall make available to participants, beneficiaries, and other interested persons such information regarding the provisions of this part and its applicability to the program for which the recipient receives Federal financial assistance, and make such information available to them in such manner, as the Principal Compliance Officer finds necessary to apprise such persons of the protection against discrimination assured them by the Act and this part.
(a) Periodic compliance reviews. The responsible NASA official or his designee shall from time to time review the practices of recipients to determine whether they are complying with this part.
(b) Complaints. Any person who believes himself or any specific class of individuals to be subjected to discrimination prohibited by this part may by himself or by a representative file with the Principal Compliance Officer or his designee a written complaint. A complaint must be filed not later than 90 days from the date of the alleged discrimination, unless the time for filing is extended by the Principal Compliance Officer or his designee.
(c) Investigations. The Principal Compliance Officer or his designee will make a prompt investigation whenever a compliance review, report, complaint, or any other information indicates a possible failure to comply with this part. The investigation should include, where appropriate, a review of the pertinent practices and policies of the recipient, the circumstances under which the possible noncompliance with this part occurred, and other factors relevant to a determination as to whether the recipient has failed to comply with this part.
(d) Resolution of matters. (1) If an investigation pursuant to paragraph (c) of this section indicates a failure to comply with this part, the Principal Compliance Officer or his designee will so inform the recipient and the matter will be resolved by informal means whenever possible. If it has been determined that the matter cannot be resolved by informal means, action will be taken as provided for in § 1250.107.
(2) If an investigation does not warrant action pursuant to paragraph (d)(1) of this section, the responsible NASA official or his designee will so inform the recipient and the complainant, if any, in writing.
(e) Intimidatory or retaliatory acts prohibited. No recipient or other person shall intimidate, threaten, coerce, or discriminate against any individual for the purpose of interfering with any right or privilege secured by section 601 of the Act or this part, or because he has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. The identity of complainants shall be kept confidential except to the extent necessary to carry out the purposes of this part, including the conduct of any investigation, hearing, or judicial proceeding arising thereunder.
(a) General. If there appears to be a failure or threatened failure to comply with this part, and if the noncompliance or threatened noncompliance cannot be corrected by informal means, compliance with this part may be effected by the suspension or termination of or refusal to grant or to continue Federal financial assistance or by any other means authorized by law. Such other means may include, but are not limited to, (1) a reference to the Department of Justice with a recommendation that appropriate proceedings be brought to enforce any rights of the United States under any law of the United States (including other titles of the Act), or any assurance or other contractual undertaking, and (2) any applicable proceeding under State or local law.
(b) Noncompliance with § 1250.104. If an applicant fails or refuses to furnish an assurance required under § 1250.104 or otherwise fails or refuses to comply with a requirement imposed by or pursuant to that section, Federal financial assistance may be refused in accordance with the procedures of paragraph (c) of this section. NASA shall not be obligated to provide assistance in such a case during the pendency of the administrative proceedings under such subsection except that NASA shall continue assistance during the pendency of such proceedings where such assistance is due and payable pursuant to an application therefor approved prior to the effective date of this part.
(c) Termination of or refusal to grant or to continue Federal financial assistance. No order suspending, terminating or refusing to grant or continue Federal financial assistance shall become effective until (1) the responsible NASA official has advised the applicant or recipient of his failure to comply and has determined that compliance cannot be secured by voluntary means, (2) there has been an express finding on the record, after opportunity for hearing, of a failure by the applicant or recipient to comply with a requirement imposed by or pursuant to this part, (3) the action has been approved by the Administrator pursuant to § 1250.109(e), and (4) the expiration of 30 days after the Administrator has filed with the committee of the House and the committee of the Senate having legislative jurisdiction over the program involved, a full written report of the circumstances and the grounds for such action. Any action to suspend or terminate or to refuse to grant or to continue Federal financial assistance shall be limited to the particular political entity, or part thereof, or other applicant or recipient as to whom such a finding has been made and shall be limited in its effect to the particular program, or part thereof, in which such noncompliance has been so found.
(d) Other means authorized by law. No action to effect compliance by any other means authorized by law shall be taken until (1) the Principal Compliance Officer has determined that compliance cannot be secured by voluntary means, (2) the recipient or other person has been notified of its failure to comply and of the action to be taken to effect compliance and (3) the expiration of at least 10 days from the mailing of such notice to the recipient or other person. During this period of at least 10 days additional efforts shall be made to persuade the recipient or other person to comply with this part and to take such corrective action as may be appropriate.
(a) Opportunity for hearing. Whenever an opportunity for a hearing is required by § 1250.107(c), reasonable notice shall be given by registered or certified mail, return receipt requested, to the affected applicant or recipient. This notice shall advise the applicant or recipient of the action proposed to be taken, the specific provision under which the proposed action against it is to be taken, and the matters of fact or law asserted as the basis for this action, and either (1) fix a date not less than 20 days after the date of such notice within which the applicant or recipient may request of the Principal Compliance Officer that the matter be scheduled for hearing or (2) advise the applicant or recipient that the matter in question has been set down for hearing at a stated place and time. The time and place so fixed shall be reasonable and shall be subject to change for cause. The complainant, if any, shall be advised of the time and place of the hearing. An applicant or recipient may waive a hearing and submit written information and argument for the record. The failure of an applicant or recipient to request a hearing under this paragraph or to appear at a hearing for which a date has been set shall be deemed to be a waiver of the right to a hearing under section 602 of the Act and § 1250.107(c) of this part and consent to the making of a decision on the basis of such information as is available.
(b) Time and place of hearing. Hearings shall be held at NASA Headquarters in Washington, DC, at a time fixed by the Principal Compliance Officer unless he determines that the convenience of the applicant or recipient or of NASA requires that another place be selected. Hearings shall be held before the Administrator, or, at his discretion, before a hearing examiner designated in conformity with 5 U.S.C. 3105 and 3344 (section 11 of the Administrative Procedure Act).
(c) Right to counsel. In all proceedings under this section, the applicant or recipient and NASA shall have the right to be represented by counsel.
(d) Procedures, evidence, and record. (1) The hearing, decision, and any administrative review thereof shall be conducted in conformity with 5 U.S.C. 554-557 (section 5-8 of the Administrative Procedure Act), and in accordance with such rules of procedure as are proper (and not inconsistent with this section) relating to the conduct of the hearing, giving of notices subsequent to those provided for in paragraph (a) of this section, taking of testimony, exhibits, arguments, and briefs, requests for findings, and other related matters. Both NASA and the applicant or recipient shall be entitled to introduce all relevant evidence on the issues as stated in the notice for hearing or as determined by the officer conducting the hearing at the outset of or during the hearing.
(2) Technical rules of evidence shall not apply to hearings conducted pursuant to this part, but rules or principles designed to assure production of the most credible evidence available and to subject testimony to test by cross-examination shall be applied where reasonably necessary by the officer conducting the hearing. The hearing officer may exclude irrelevant, immaterial, or unduly repetitious evidence. All documents and other evidence offered or taken for the record shall be open to examination by the parties and opportunity shall be given to refute facts and arguments advanced on either side of the issues. A transcript shall be made of the oral evidence except to the extent the substance thereof is stipulated for the record. All decisions shall be based upon the hearing record and written findings shall be made.
(e) Consolidated or joint hearings. In cases in which the same or related facts are asserted to constitute non-compliance with this part with respect to two or more Federal statutes, authorities, or other means by which Federal financial assistance is extended and to which this part applies, or non-compliance with this part and the regulations of one or more other Federal departments or agencies issued under Title VI of the Act, the Administrator may, by agreement with such other departments or agencies where applicable, provide for the conduct of consolidated or joint hearings, and for the application to such hearings of rules of procedures not inconsistent with the part. Final decisions in such cases, insofar as this part is concerned, shall be made in accordance with § 1250.109.
(a) Decision by person other than the NASA Principal Compliance Officer. If the hearing is held by a hearing examiner, such hearing examiner shall either make an initial decision, if so authorized, or certify the entire record including his recommended findings and proposed decision to the Principal Compliance Officer for a final decision, and a copy of such initial decision or certification shall be mailed to the applicant or recipient. Where the initial decision is made by the hearing examiner, the applicant or recipient may, within 30 days of the mailing of such notice of initial decision, file with the Principal Compliance Officer his exceptions to the initial decision with his reasons therefor. In the absence of exceptions, the Principal Compliance Officer may on his own motion, within 45 days after the initial decision, serve on the applicant or recipient a notice that he will review the decision. Upon the filing of such exceptions or of such notice of review the Principal Compliance Officer shall review the initial decision and issue his own decision thereon including the reasons therefor. In the absence of either exceptions or a notice of review the initial decision shall constitute the final decision of the Principal Compliance Officer.
(b) Decisions on record or review by the NASA Principal Compliance Officer. Whenever a record is certified to the Principal Compliance Officer for decision or he reviews the decision of a hearing examiner pursuant to paragraph (a) of this section, or whenever the Administrator conducts the hearing, the applicant or recipient shall be given reasonable opportunity to file with him briefs or other written statements of its contentions, and a copy of the final decision of the Principal Compliance Officer shall be given in writing to the applicant or recipient and to the complainant, if any.
(c) Decisions on record where a hearing is waived. Whenever a hearing is waived pursuant to § 1250.108, a decision shall be made by the Principal Compliance Officer on the record and a copy of such decision shall be given in writing to the applicant or recipient, and to the complainant, if any.
(d) Rulings required. Each decision of a hearing officer or the Principal Compliance Officer shall set forth his ruling on each finding, conclusion, or exception presented, and shall identify the requirement or requirements imposed by or pursuant to this part with which it is found that the applicant or recipient has failed to comply.
(e) Approval by administrator. Any final decision of the NASA Principal Compliance Officer which provides for the suspension or termination of, or the refusal to grant or continue Federal financial assistance, or the imposition of any other sanction available under this part or the Act, shall promptly be transmitted to the Administrator, who may approve such decision, may vacate it, or remit or mitigate any sanction imposed.
(f) Content of orders. The final decision may provide for suspension or termination of, or refusal to grant or continue Federal financial assistance, in whole or in part, to which this regulation applies, and may contain such terms, conditions, and other provisions as are consistent with and will effectuate the purposes of the Act and this part including provisions designed to assure that no Federal financial assistance to which this regulation applies will thereafter be extended to the applicant or recipient determined by such decision to be in default in its performance of an assurance given by it pursuant to this part, or to have otherwise failed to comply with this part, unless and until it corrects its non-compliance and satisfies the Principal Compliance Officer that it will fully comply with this part.
(g) Post termination proceedings. (1) An applicant or recipient adversely affected by an order issued under paragraph (f) of this section shall be restored to full eligibility to receive Federal financial assistance if it satisfies the terms and conditions of that order for such eligibility or if it brings itself into compliance with this regulation and provides reasonable assurance that it will fully comply with this regulation.
(2) Any applicant or recipient adversely affected by an order entered pursuant to paragraph (f) of this section may at any time request the Principal Compliance Officer to restore fully the eligibility to receive Federal financial assistance. Any such request shall be supported by information showing that the applicant or recipient has met the requirements of paragraph (g)(1) of this section. If the Principal Compliance Officer determines that those requirements have been satisfied, he shall restore such eligibility.
(3) If the Principal Compliance Officer denies any such request, the applicant or recipient may submit a request for a hearing in writing, specifying why it believes such official to have been in error. It shall thereupon be given an expeditious hearing, with a decision on the record, in accordance with rules of procedure issued by the Principal Compliance Officer. The applicant or recipient will be restored to such eligibility if it proves at such a hearing that it satisfied the requirements of paragraph (g)(1) of this section. While proceedings under this paragraph are pending, the sanctions imposed by the order issued under paragraph (f) of this section shall remain in effect.
Action taken pursuant to section 602 of the Act is subject to judicial review as provided in section 603 of the Act.
(a) Effect on other regulations. All regulations, orders, or like directions heretofore issued by any officer of NASA which impose requirements designed to prohibit any discrimination against individuals on the ground of race, color, or national origin under any program to which this part applies, and which authorize the suspension or termination of or refusal to grant or to continue Federal financial assistance to any applicant for or recipient of such assistance for failure to comply with such requirements, are hereby superseded to the extent that such discrimination is prohibited by this part, except that nothing in this part shall be deemed to relieve any person of any obligation assumed or imposed under any such superseded regulation, order, instruction, or like direction prior to the effective date of this Instruction. Nothing in this part, however, shall be deemed to supersede any of the following (including future amendments thereof): (1) Executive Orders 10925 and 11246 and regulations or instructions issued thereunder, or (2) any other regulations or instructions, insofar as such other regulations or instructions prohibit discrimination on the ground of race, color, or national origin in any program or situation to which this part is inapplicable, or prohibit discrimination on any other ground.
(b) Forms and instructions. Each responsible NASA official shall issue and promptly make available to interested persons forms and detailed instructions and procedures for effectuating this part as applied to financial assistance to which this part applies and for which he is responsible.
(c) Supervision and coordination. The Administrator may assign to officials of other departments or agencies of the Government, with the consent of such departments or agencies, responsibilities in connection with the effectuation of the purposes of Title VI of the Act and this part (other than responsibility for final decision as provided in § 1250.109), including the achievement of effective coordination and maximum uniformity within NASA and within the Executive Branch of the Government in the application of Title VI and this part to similar programs and in similar situations. Any action taken, determination made, or requirement imposed by an official of another department or agency acting pursuant to an assignment of responsibility under this subsection shall have the same effect as though such action has been taken by the responsible official of this agency.
(a) Purpose. This part effectuates section 504 of the Rehabilitation Act of 1973, which is designed to eliminate discrimination on the basis of disability in any program or activity receiving Federal financial assistance.
(b) Broad scope of coverage. Consistent with the Americans with Disabilities Act Amendments Act of 2008's purpose (ADA Amendments Act) of reinstating a broad scope of protection under the ADA and section 504, the definition of “disability” applicable to this part shall be construed broadly in favor of expansive coverage to the maximum extent permitted by the terms of this part. The primary object of attention in cases brought under this part should be whether entities covered under section 504 have complied with their obligations and whether discrimination has occurred, not whether the individual meets the definition of disability. The question of whether an individual meets the definition of disability under this part should not demand extensive analysis.
This part applies to each recipient of Federal financial assistance from the National Aeronautics and Space Administration and to each program or activity that receives such assistance.
As used in this part, the term:
(a) 2004 ADAAG means the Americans with Disabilities Act (ADA) Accessibility Guidelines for Buildings and Facilities requirements set forth in appendices B and D to 36 CFR part 1191 (2009).
(b) 2010 Standards means the 2010 ADA Standards for Accessible Design, which consist of the 2004 ADAAG and the requirements contained in 28 CFR 35.151.
(c) Applicant for assistance means one who submits an application, request, or plan required to be approved either by a NASA official or by a recipient, as a condition to becoming a recipient.
(d) Associate Administrator means the Associate Administrator for Diversity and Equal Opportunity Programs for NASA.
(e) Auxiliary aids and services means services or devices that enable persons with sensory, manual, or speech disabilities to have an equal opportunity to participate in, and enjoy the benefits of, programs or activities conducted by the recipient. Auxiliary aids and services include:
(1) Qualified interpreters onsite or through video remote interpreting (VRI) services; notetakers; real-time computer-aided transcription services; written materials; exchange of written notes; telephone handset amplifiers; assistive listening devices; assistive listening systems; telephones compatible with hearing aids; closed caption decoders; open and closed captioning, including real-time captioning; voice, text, and video-based telecommunications products and systems, including text telephones (TTYs), videophones, and captioned telephones, or equally effective telecommunications devices; videotext displays; accessible electronic and information technology; or other effective methods of making aurally delivered information available to individuals who are deaf or hard of hearing;
(2) Qualified readers; taped texts; audio recordings; Brailled materials and displays; screen reader software; magnification software; optical readers; secondary auditory programs (SAP); large print materials; accessible electronic and information technology; or other effective methods of making visually delivered materials available to individuals who are blind or have low vision;
(3) Acquisition or modification of equipment or devices; and
(4) Other similar services and actions.
(f) Direct threat means a significant risk to the health or safety of others that cannot be eliminated by a change to policies, practices or procedures, or by the provision of auxiliary aids or services as provided in § 1251.110 of this part.
(g) Disability means the definition given that term in the Department of Justice's regulation implementing title II of the ADA at 28 CFR part 35.
(h) Drug means a controlled substance as defined in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812).
(i) Facility means all or any portion of buildings, structures, equipment, roads, walks, parking lots, or other real or personal property or interest in such property.
(j) Federal financial assistance means any grant, loan, contract (other than a procurement contract or a contract of insurance or guaranty), or any other arrangement by which the agency provides or otherwise makes available assistance in the form of:
(1) Funds;
(2) Services of Federal personnel; or
(3) Real and personal property or any interest in or use of such property, including:
(i) Transfers or leases of such property for less than fair market value or for reduced consideration; and
(ii) Proceeds from a subsequent transfer or lease of such property if the Federal share of its fair market value is not returned to the Federal Government.
(k) Illegal use of drugs means the use of one or more drugs, the possession or distribution of which is unlawful under the Controlled Substances Act (21 U.S.C. 812). The term illegal use of drugs does not include the use of a drug taken under supervision by a licensed health care professional, or other uses authorized by the Controlled Substances Act or other provisions of Federal law.
(l) Individual with a disability means any individual who has a disability as defined in 28 CFR part 35. The term “individual with a disability” does not include an individual who is currently engaging in the illegal use of drugs, when the recipient acts on the basis of such use.
(m) Program or activity means all of the operations of any entity described in paragraphs (m)(1) through (4) of this section, any part of which is extended Federal financial assistance:
(1)(i) A department, agency, special purpose district, or other instrumentality of a State or of a local government; or
(ii) The entity of such State or local government that distributes such assistance and each such department or agency (and each other State or local government entity) to which the assistance is extended, in the case of assistance to a State or local government;
(2)(i) A college, university, or other postsecondary institution, or a public system of higher education; or
(ii) A local educational agency (as defined in 20 U.S.C. 7801), system of vocational education, or other school system;
(3)(i) An entire corporation, partnership, or other private organization, or an entire sole proprietorship—
(A) If assistance is extended to such corporation, partnership, private organization, or sole proprietorship as a whole; or
(B) Which is principally engaged in the business of providing education, health care, housing, social services, or parks and recreation; or
(ii) The entire plant or other comparable, geographically separate facility to which Federal financial assistance is extended, in the case of any other corporation, partnership, private organization, or sole proprietorship; or
(4) Any other entity which is established by two or more of the entities described in paragraph (m)(1), (2), or (3) of this section.
(n) Qualified individual with a disability means:
(1) With respect to any aid, benefit, or service, provided under a program or activity subject to this part, an individual with a disability who, with or without reasonable accommodations in rules policies, or procedures, the removal of architectural, communication, or transportation barriers, or the provision auxiliary aids or services, meets the essential eligibility requirements for participation in, or receipt from, that aid, benefit, or service, and
(2) With respect to employment, the definition given that term in the Equal Employment Opportunity Commission's regulation at 29 CFR part 1630, implementing Title I of the Americans with Disabilities Act of 1990, which regulation is made applicable to this part by § 1251.2.
(o) Recipient means any state or its political subdivision, any instrumentality of a state or its political subdivision, any public or private agency, institution, organization, or other entity, or any person to which Federal financial assistance is extended directly or through another recipient, including any successor, assignee, or transferee of a recipient, but excluding the ultimate beneficiary of the assistance.
(p) Section 504 means section 504 of the Act.
(q) The Act means the Rehabilitation Act of 1973, Pub. L. 93-112, as amended, 29 U.S.C. 794 et seq.
(a) General. No qualified individual with a disability shall, on the basis of disability, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity which receives Federal financial assistance.
(b) Discriminatory actions prohibited. (1) A recipient, in providing any aid, benefits, or services, may not, directly or through contractual, licensing, or other arrangements, on the basis of disability:
(i) Deny a qualified individual with a disability the opportunity to participate in or benefit from the aid, benefit, or service;
(ii) Afford a qualified individual with a disability an opportunity to participate in or benefit from aid, benefit, or service that is not equal to that afforded others;
(iii) Provide a qualified individual with a disability with an aid, benefit, or service that is not as effective as that provided to others;
(iv) Provide different or separate aid, benefits, or services to individuals with disabilities or to any class of individuals with disabilities unless such action is necessary to provide qualified individuals with disabilities with aid, benefits, or services that are as effective as those provided to others;
(v) Aid or perpetuate discrimination against a qualified individual with a disability by providing significant assistance to an agency, organization, or person that discriminates on the basis of disability in providing any aid, benefit, or service to beneficiaries of the recipient's program or activity;
(vi) Deny a qualified individual with a disability the opportunity to participate as a member of planning or advisory boards; or
(vii) Otherwise limit a qualified individual with a disability in the enjoyment of any right, privilege, advantage, or opportunity enjoyed by others receiving an aid, benefit, or service.
(2) For purposes of this part, aids, benefits, and services, to be equally effective, are not required to produce the identical result or level of achievement for individuals with disabilities and individuals without disabilities, but must afford individuals with disabilities equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement, in the most integrated setting appropriate to the person's needs.
(3) Recipients shall take appropriate steps to ensure that no individual with disability is denied the benefits of, excluded from participation in, or otherwise subjected to discrimination in any program or activity receiving Federal financial assistance because of the absence of auxiliary aids for individuals with impaired sensory, manual, or speaking skills.
(4) Despite the existence of separate or different aid, benefits, or services provided in accordance with this part, a recipient may not deny a qualified individual with a disability the opportunity to participate in such programs or activities that are not separate or different.
(5) A recipient may not, directly or through contractual or other arrangements, utilize criteria or methods of administration:
(i) That have the effect of subjecting qualified individuals with disabilities to discrimination of the basis of disability;
(ii) That have the purpose or effect of defeating or substantially impairing accomplishment of the objectives of the recipient's program or activity with respect to individuals with disabilities; or
(iii) That perpetuate the discrimination of another recipient if both recipients are subject to common administrative control or are agencies of the same State.
(6) In determining the site or location of a facility, an applicant for assistance or a recipient may not make selections:
(i) That have the effect of excluding individuals with disabilities from, denying them the benefits of, or otherwise subjecting them to discrimination under any program or activity that receives Federal financial assistance; or
(ii) That have the purpose or effect of defeating or substantially impairing the accomplishment of the objectives of the program or activity with respect to individuals with disabilities.
(7) As used in this section, the aid, benefit, or service provided under a program or activity receiving Federal financial assistance includes any aid, benefit, or service provided in or through a facility that has been constructed, expanded, altered, leased or rented, or otherwise acquired, in whole or in part, with Federal financial assistance.
(8) Recipients shall take appropriate steps to ensure that communications with their applicants, employees, and beneficiaries are available to persons with impaired vision and hearing.
(c) Aid, benefits, or services limited by Federal law. The exclusion of individuals without disabilities from aid, benefits, or services limited by Federal statute of Executive order to individuals with disabilities from aid, benefits, or services limited by Federal statute or Executive order to a different class of individuals with disabilities is not prohibited by this part.
(a) Assurances. An applicant for Federal financial assistance to which this part applies shall submit an assurance, on a form specified by the Associate Administrator, that the program or activity will be operated in compliance with this part. An applicant may incorporate these assurances by reference in subsequent applications to NASA.
(b) Duration of obligation. (1) In the case of Federal financial assistance extended in the form of real property or to provide real property or structures on the property, the assurance will obligate the recipient or, in the case of a subsequent transfer, the transferee, for the period during which the real property or structures are used for the purpose for which Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits.
(2) In the case of Federal financial assistance extended to provide personal property, the assurance will obligate the recipient for the period during which it retains ownership or possession of the property.
(3) In all other cases, the assurance will obligate the recipient for the period during which Federal financial assistance is extended.
(c) Covenants. (1) Where Federal financial assistance is provided in the form of real property or interest in the property from NASA, the instrument effecting or recording this transfer shall contain a covenant running with the land to assure nondiscrimination for the period during which the real property is used for a purpose for which the Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits.
(2) Where no transfer of property is involved but property is purchased or improved with Federal financial assistance, the recipient shall agree to include the covenant described in paragraph (c)(3) of this section in the instrument effecting or recording any subsequent transfer of the property.
(3) Where Federal financial assistance is provided in the form of real property or interest in the property from NASA, the covenant shall also include a condition coupled with a right to be reserved by NASA to revert title to the property in the event of a breach of the covenant. If a transferee of real property proposes to mortgage or otherwise encumber the real property as security for financing construction of new, or improvement of existing facilities on the property for the purposes for which the property was transferred, the Associate Administrator may, upon request of the transferee and if necessary to accomplish such financing and upon such conditions as he or she deems appropriate, agree to forbear the exercise of such right to revert title for so long as the lien of such mortgage or other encumbrance remains effective.
(a) Remedial action. (1) If the Associate Administrator finds that a recipient has discriminated against persons on the basis of disability in violation of section 504 or this part, the recipient shall take such remedial action as the Associate Administrator deems necessary to overcome the effects to the discrimination.
(2) Where a recipient is found to have discriminated against persons on the basis of disability in violation of section 504 or this part and where another recipient exercises control over the recipient that has discriminated, the Associate Administrator, where appropriate, may require either or both recipients to take remedial action.
(3) The Associate Administrator may, where necessary to overcome the effects of discrimination in violation of section 504 or this part, require a recipient to take remedial action:
(i) With respect to individuals with disabilities who are no longer participants in the recipient's program or activity but who were participants in the program or activity when such discrimination occurred; or
(ii) With respect to individuals with disabilities who would have been participants in the program or activity had the discrimination not occurred; or
(iii) With respect to individuals with disabilities presently in the program or activity, but not receiving full benefits or equal and integrated treatment within the program or activity.
(b) Voluntary action. A recipient may take steps, in addition to any action that is required by this part, to overcome the effects of conditions that resulted in limited participation in the recipient's program or activity by qualified individuals with disabilities.
(c) Self-evaluation. (1) A recipient shall, within 1 year of the effective date of this part; or within 1 year of first becoming a recipient:
(i) Evaluate, with the assistance of interested persons, including individuals with disabilities or organizations representing individuals with disabilities, its current policies and practices and the effects thereof that do not or may not meet the requirements of this part;
(ii) Modify, after consultation with interested persons, including individuals with disabilities or organizations representing individuals with disabilities, any policies and practices that do not meet the requirements of this part; and
(iii) Take, after consultation with interested persons, including individuals with disabilities or organizations representing individuals with disabilities, appropriate remedial steps to eliminate the effects of any discrimination that resulted from adherence to these policies and practices.
(2) A recipient that employs 15 or more persons shall, for at least 3 years, follow completion of the evaluation required under paragraph (c)(1) of this section, maintain on file, make available for public inspection, and provide to the Associate Administrator upon request:
(i) A list of the interested persons consulted;
(ii) A description of areas examined and any problems identified; and
(iii) A description of any modifications made and of any remedial steps taken.
(a) Designation of responsible employee. A recipient that employs 15 or more persons shall designate at least one person to coordinate its efforts to comply with this part.
(b) Adoption of grievance procedures. A recipient that employs 15 or more persons shall adopt grievance procedures that incorporate appropriate due process standards and that provide for the prompt and equitable resolution of complaints alleging any action prohibited by this part. Such procedures need not to be established with respect to complaints from applicants for employment or from applicants for admission to postsecondary educational institutions.
(a) A recipient that employs 15 or more persons shall take appropriate initial and continuing steps to notify participants, beneficiaries, applicants, and employees, including those with vision or hearing disabilities, and unions or professional organizations holding collective bargaining or professional agreements with the recipient that it does not discriminate on the basis of disability in violation of section 504 and this part. The notification shall state, where appropriate, that the recipient does not discriminate in admission or access to, or treatment or employment in, its programs or activities. The notification shall also include an identification of the responsible employee designated pursuant to § 1251.106(a). A recipient shall make the initial notification required by this paragraph within 90 days of the effective date of this part. Methods of initial and continuing notification may include the posting of notices, transmission via electronic mail or text message, publication on the recipient's internet Web site, or in newspapers and magazines, placement of notices in recipient's publication, and distribution of memoranda or other written communications.
(b) If a recipient publishes or uses recruitment materials or publications containing general information that it makes available to participants, beneficiaries, applicants, or employees, it shall include in those materials or publications a statement of the policy described in paragraph (a) of this section. A recipient may meet the requirement of this section and this paragraph either by including appropriate inserts in existing materials and publications or by revising and reprinting the materials and publications.
The Associate Administrator may require any recipient with fewer than 15 employees, or any class of such recipients, to comply with §§ 1251.106 and 1251.107, in whole or in part, when the Associate Administrator finds a violation of this part or finds that such compliance will not significantly impair the ability of the recipient or class of recipients to provide benefits or services.
(a) The obligation to comply with this part is not obviated or alleviated by the existence of any state or local law or other requirement that, on the basis of disability, imposes prohibitions or limits upon the eligibility of qualified individuals with disabilities to receive services or to practice any occupation or profession.
(b) The obligation to comply with this part is not obviated or alleviated because employment opportunities in any occupation or profession are or may be more limited for individuals with disabilities than for individuals without disabilities.
(a) This part does not require a recipient to permit an individual to participate in or benefit from the services, programs, or activities of that recipient when that individual poses a direct threat to the health or safety of others.
(b) In determining whether an individual poses a direct threat to the health or safety of others, a recipient must make an individualized assessment, based on reasonable judgment that relies on current medical knowledge or on the best available objective evidence, to ascertain: The nature, duration, and severity of the risk; the probability that the potential injury will actually occur; and whether reasonable accommodations in policies, practices, or procedures or the provision of auxiliary aids or services will mitigate the risk.
A recipient shall make reasonable accommodations in policies, practices, or procedures when such accommodations are necessary to avoid discrimination on the basis of disability, unless the recipient can demonstrate that making the accommodations would fundamentally alter the nature of the service, program, or activity or result in an undue financial and administrative burden.
(a) A recipient shall take appropriate steps to ensure that communications with applicants, participants, beneficiaries, members of the public, and companions with disabilities, are as effective as communications with others.
(b)(1) A recipient shall furnish appropriate auxiliary aids or services where necessary to afford qualified individuals with disabilities, including applicants, participants, beneficiaries, and members of the public, an equal opportunity to participate in, and enjoy the benefits of, a program or activity of the recipient.
(i) In determining what type of auxiliary aid or service is necessary, the recipient shall give primary consideration to the requests of the individual with a disability.
(ii) The recipient need not provide individually prescribed devices, readers for personal use or study, or other devices of a personal nature.
(2) Where the recipient communicates with applicants and beneficiaries by telephone, telecommunication devices for deaf persons (TTY's) or equally effective telecommunication systems shall be used to communicate with persons who are deaf or hard of hearing or have speech impairments.
(c) This section does not require the recipient to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and administrative burdens. In those circumstances where the recipient believes that the proposed action would fundamentally alter the program or activity or would result in undue financial and administrative burdens, the recipient has the burden of proving that compliance with § 1251.112 would result in such alteration or burdens. The decision that compliance would result in such alteration or burdens must be made by the chief executive officer of the recipient or his or her designee after considering all of the recipient's resources available for use in the funding and operation of the conducted program or activity and must be accompanied by a written statement of the reasons for reaching that conclusion. If an action required to comply with this section would result in such an alteration or such burdens, the recipient shall take any other action that would not result in such an alteration or such burdens but would nevertheless ensure that, to the maximum extent possible, individuals with disabilities receive the benefits and services of the program or activity.
(a) General. (1) Except as provided in paragraph (b) of this section, this part does not prohibit discrimination against an individual based on that individual's current illegal use of drugs.
(2) A recipient shall not discriminate on the basis of illegal use of drugs against an individual who is not engaging in current illegal use of drugs and who—
(i) Has successfully completed a supervised drug rehabilitation program or has otherwise been rehabilitated successfully;
(ii) Is participating in a supervised rehabilitation program; or
(iii) Is erroneously regarded as engaging in such use.
(b) Health and drug rehabilitation services. (1) A recipient shall not deny health services, or services provided in connection with drug rehabilitation, to an individual on the basis of that individual's current illegal use of drugs, if the individual is otherwise entitled to such services.
(2) A drug rehabilitation or treatment program may deny participation to individuals who engage in illegal use of drugs while they are in the program.
(c) Drug testing. (1) This part does not prohibit a recipient from adopting or administering reasonable policies or procedures, including but not limited to drug testing, designed to ensure that an individual who formerly engaged in the illegal use of drugs is not now engaging in current illegal use of drugs.
(2) Nothing in this paragraph (c) shall be construed to encourage, prohibit, restrict, or authorize the conduct of testing for the illegal use of drugs.
(a) General. No qualified individual shall, on the basis of disability, be subjected to discrimination in employment under any program or activity to which this part applies.
(b) Employment discrimination standards. The standards used to determine whether paragraph (a) of this section has been violated shall be the standards applied under Title I of the Americans with Disabilities Act of 1990 (42 U.S.C. 12111 et seq.) and, as such sections relate to employment, the provisions of sections 501 through 504 and 510 of the Americans with Disabilities Act of 1990 (42 U.S.C. 12201-12204 and 12210), as amended by the ADA Amendments Act of 2008 (Pub. L. 110-325), as such standards are implemented in the Equal Employment Opportunity Commission's regulation at 29 CFR part 1630. The procedures to be used to determine whether paragraph (a) of this section has been violated shall be the procedures set forth in § 1251.400 of this part.
(a) A recipient shall make reasonable accommodation to the known physical or mental limitations of an otherwise qualified applicant or employee with disabilities unless the recipient can demonstrate that the accommodation would impose an undue hardship on the operation of its program or activity.
(b) Reasonable accommodation may include:
(1) Making facilities used by employees readily accessible to and usable by individuals with disabilities; and
(2) Job restructuring, part-time or modified work schedules, acquisition or modification of equipment or devices, the provision of readers or interpreters, and other similar actions.
(c) In determining pursuant to paragraph (a) of this section whether an accommodation would impose an undue hardship on the operation of a recipient's programor activity, factors to be considered include:
(1) The overall size of the recipient's program or activity with respect to number of employees, number and type of facilities, and size of budget;
(2) The type of the recipient's operation, including the composition and structure of the recipient's workforce; and
(3) The nature and cost of the accommodation needed.
(d) A recipient may not deny any employment opportunity to a qualified applicant or employee with a disability if the basis for the denial is the need to make reasonable accommodation to the physical or mental limitations of the employee or applicant.
(a) A recipient may not make use of any employment test or other selection criterion that screens out or tends to screen out individuals with disabilities or any class of individuals with disabilities unless:
(1) The test score or other selection criterion, as used by the recipient, is shown to be job-related for the position in question; and
(2) Alternative job-related tests of criteria that do not screen out or tend to screen out as many individuals with disabilities are not shown by the Associate Administrator to be available.
(b) A recipient shall select and administer tests concerning employment so as best to ensure that, when administered to an applicant or employee who has a disability that impairs sensory, manual, or speaking skills, the test results accurately reflect the applicant's or employee's job skills, aptitude, or whatever other factor the test purports to measure, rather than reflecting the applicant's or employee's impaired sensory, manual, or speaking skills (except where those skills are the factors that the test purports to measure).
(a) Except as provided in paragraphs (b) and (c) of this section, a recipient may not conduct a preemployment medical examination or may not make preemployment inquiry of an applicant as to whether the applicant is a individual with a disabilityor as to the nature or severity of a disability. A recipient may, however, make preemployment inquiry into an applicant's ability to perform job-related functions.
(b) When a recipient is taking remedial action to correct the effects of past discrimination pursuant to § 1251.105(a), when a recipient is taking voluntary action to overcome the effects of conditions that resulted in limited participation in its Federally assisted program or activity pursuant to § 1251.105(b), or when a recipient is taking affirmative action pursuant to section 504 of the Act, the recipient may invite applicants for employment to indicate whether and to what extent they are handicapped, provided that:
(1) The recipient states clearly on any written questionnaire used for this purpose or makes clear orally if no written questionnaire is used that the information requested is intended for use solely in connection with its remedial action obligations or its voluntary of affirmative action efforts; and
(2) The recipient states clearly that the information is being requested on a voluntary basis, that it will be kept confidential as provided in paragraph (d) of this section, that refusal to provide it will not subject the applicant or employee to any adverse treatment, and that it will be used only in accordance with this part.
(c) Nothing in this section shall prohibit a recipient from conditioning an offer of employment on the results of a medical examination conducted prior to the employee's entrance on duty, provided that:
(1) All entering employees are subjected to such an examination regardless of disability; and
(2) The results of such an examination are used only in accordance with the requirements of this part.
(d) Information obtained in accordance with this section as to the medical condition or history of the applicant shall be collected and maintained on separate forms that shall be accorded confidentiality as medical records, except that:
(1) Supervisors and managers may be informed regarding restrictions on the work or duties of individuals with disabilities and regarding necessary accommodations;
(2) First aid and safety personnel may be informed, where appropriate, if the condition might require emergency treatment; and
(3) Government officials investigating compliance with the Act shall be provided relevant information upon request.
No qualified individual with a disability shall, because a recipient's facilities are inaccessible to or unusable by individuals with disabilities, be denied the benefits of, be excluded from participation in, or otherwise be subjected to discrimination under any program or activity to which this part applies.
(a) Accessibility. A recipient shall operate each program or activity to which his part applies so that when each part is viewed in its entirety it is readily accessible to individuals with disabilities. This paragraph does not require a recipient to make each of its existing facilities or every part of a facility accessible to and usable by individuals with disabilities.
(b) Methods. A recipient may comply with the requirement of paragraph (a) of this section through such means as redesign of equipment; reassignment of classes or other services to accessible buildings; assignment of aides to beneficiaries; home visits; delivery of health, welfare, or other social services at alternate accessible sites; alteration of existing facilities and construction of new facilities in conformance with the requirements of § 1251.302; or any other methods that result in making its program or activity accessible to individuals with disabilities. A recipient is not required to make structural changes in existing facilities where other methods are effective in achieving compliance with paragraph (a) of this section. In choosing among available methods for meeting the requirement of paragraph (a) of this section, a recipient shall give priority to those methods that serve to individuals with disabilities in the most integrated setting appropriate.
(c) Time period. A recipient shall comply with the requirement of paragraph (a) of this section within 60 days of the effective date of this part except that where structural changes in facilities are necessary, such changes shall be made within 3 years of the effective date of this part, but in any event as expeditiously as possible.
(d) Transition plan. In the event that structural changes to facilities are necessary to meet the requirement of paragraph (a) of this section, a recipient shall develop, within 6 months of the effective date of this part, a transition plan setting forth the steps necessary to complete such changes. The plan shall be developed with the assistance of interested persons, including individuals with disabilities or organizations representing individuals with disabilities. A copy of the transition plan shall be made available for public inspection. The plan shall, at a minimum:
(1) Identify physical obstacles in the recipient's facilities that limit the accessibility of its program or activity to individuals with disabilities;
(2) Describe in detail the methods that will be used to make the facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve full accessibility under paragraph (a) of this section and, if the time period of the transition plan is longer than 1 year, identify steps that will be taken during each year of the transition period; and
(4) Indicate the person responsible for implementation of the plan.
(e) Safe harbor. For the purposes of complying with this section, elements that have not been altered in existing facilities on or after January 23, 2017, and that comply with the corresponding technical and scoping specifications for those elements in the Uniform Federal Accessibility Standards (UFAS), Appendix A to 41 CFR part 101-19.6, 49 FR 31528, app. A (Aug. 7, 1984), are not required to be modified to be brought into compliance with the requirements set forth in the 2010 Standards.
(f) Notice of location of accessible facilities—(1) General. The recipient shall adopt and implement procedures to ensure that interested individuals, including individuals with vision or hearing disabilities, can obtain information as to the existence and location of services, activities, and facilities that are accessible to and usable by individuals with disabilities.
(2) Signs at primary entrances. The recipient shall provide signs at a primary entrance to each of its inaccessible facilities, directing users to an accessible facility or a location at which they can obtain information about accessible facilities. The international symbol for accessibility shall be used at each accessible entrance to a facility.
(a) Design and construction. Each facility or part of a facility constructed by, on behalf of, or for the use of a recipient shall be designed and constructed in such manner that the facility or part of the facility is readily accessible to and usable by individuals with disabilities.
(b) Alteration. Each facility or part of a facility which is altered by, on behalf of, or for the use of a recipient after the effective date of this part in a manner that affects or could affect the usability of the facility or part of the facility shall, to the maximum extent feasible, be altered in such manner that the altered portion of the facility is readily accessible to and usable by individuals with disabilities.
(c) Accessibility standards and compliance dates—(1) Applicable accessibility standards. (i) New construction and alterations undertaken prior to the compliance dates specified in paragraph (c)(2) of this section must comply with either UFAS or the 2010 Standards.
(ii) New construction and alterations on or after the compliance dates specified in paragraph (c)(2) of this section must comply with the 2010 Standards.
(iii) New construction and alterations of buildings or facilities undertaken in compliance with the 2010 Standards shall comply with the requirements for a “public building or facility” as defined in the 2010 Standards regardless of whether the recipient is a public or private entity.
(iv) Departures from particular requirements of either standard by the use of other methods shall be permitted when it is clearly evident that equivalent access to the facility or part of the facility is thereby provided.
(2) Compliance dates—(i) New Construction and alterations by recipients that are private entities. (A) New construction and alterations in which the last application for a building permit or permit extension for such construction or alterations is certified to be complete by a state, county, or local government (or, in those jurisdictions where the government does not certify completion of applications, if the date when the last application for a building permit or permit extension is received by the state, county, or local government) is prior to January 23, 2017, or if no permit is required, if the start of physical construction or alterations occurs prior to January 23, 2017, then such new construction and alterations must comply with either the Uniform Federal Accessibility Standards or the 2010 Standards.
(B) New construction and alterations in which the last application for a building permit or permit extension for such construction or alterations is certified to be complete by a state, county, or local government (or, in those jurisdictions where the government does not certify completion of applications, if the date when the last application for a building permit or permit extension is received by the state, county, or local government) is on or after January 23, 2017, or if no permit is required, if the start of physical construction or alterations occurs on or after January 23, 2017, then such new construction and alterations shall comply with the 2010 Standards.
(ii) New construction and alterations by recipients that are public entities. (A) If physical construction or alterations commence prior to January 23, 2017, then such new construction and alterations must comply with either UFAS or the 2010 Standards.
(C) If physical construction or alterations commence on or after January 23, 2017, then such new construction and alterations shall comply with the 2010 Standards.
(3) For the purposes of this section, ceremonial groundbreaking or razing of structures prior to site preparation will not be considered to commence or start physical construction or alterations.
Table of Applicable Standards for Complying With 14 CFR 1251.302(c)
| Compliance dates for new
construction and alterations | Applicable standards for complying
with 14 CFR 1251.302(c) |
|---|---|
| Prior to January 23, 2017 | UFAS or the scoping and technical requirements for a “public building or facility” in the 2010 Standards. |
| On or after January 23, 2017 | Scoping and technical requirements for a “public building or facility” in the 2010 Standards. |
(4)[Reserved]
(5) For purposes of this section, section 4.1.6(1)(g) of UFAS shall be interpreted to exempt from the requirements of UFAS only mechanical rooms and other spaces that, because of their intended use, will not require accessibility to the public or beneficiaries or result in the employment or residence therein of persons with physical disabilities.
(6) This section does not require recipients to make building alterations that have little likelihood of being accomplished without removing or altering a load-bearing structural member.
(a) The investigative, compliance, and enforcement procedural provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) are hereby adopted and apply to this section 504 regulation. These procedures are found at §§ 1250.105 through 1250.110 of this chapter.
(b) The Agency shall ensure that complaints alleging violations of section 504 with respect to employment are processed according to the procedures established by the EEOC in 29 CFR part 1640 and the United States DOJ at 28 CFR part 37.
The purpose of this regulation is to effectuate section 119 of the Rehabilitation, Comprehensive Services, and Developmental Disabilities Amendments of 1978, which amended section 504 of the Rehabilitation Act of 1973 to prohibit discrimination on the basis of disability in programs or activities conducted by Executive agencies or the United States Postal Service.
This regulation (§§ 1251.501-1251.570) applies to all programs or activities conducted by the agency, except for programs or activities conducted outside the United States that do not involve individuals with disabilities in the United States.
As used in this part, the term:
(a) Assistant Attorney General means the Assistant Attorney General, Civil Rights Division, United States Department of Justice.
(b) Auxiliary aids and services means services or devices that enable persons with sensory, manual, or speech disabilities to have an equal opportunity to participate in, and enjoy the benefits of, programs or activities conducted by the agency. Auxiliary aids and services include:
(1) Qualified interpreters onsite or through Video Remote Interpreting (VRI) services; notetakers; real-time computer-aided transcription services; written materials; exchange of written notes; telephone handset amplifiers; assistive listening devices; assistive listening systems; telephones compatible with hearing aids; closed caption decoders; open and closed captioning, including real-time captioning; voice, text, and video-based telecommunications products and systems, including text telephones (TTYs), videophones, and captioned telephones, or equally effective telecommunications devices; videotext displays; accessible electronic and information technology; or other effective methods of making aurally delivered information available to individuals who are deaf or hard of hearing;
(2) Qualified readers; taped texts; audio recordings; Brailled materials and displays; screen reader software; magnification software; optical readers; secondary auditory programs (SAP); large print materials; accessible electronic and information technology; or other effective methods of making visually delivered materials available to individuals who are blind or have low vision;
(3) Acquisition or modification of equipment or devices; and
(4) Other similar services and actions.
(c) Complete complaint means a written statement that contains the complainant's name and address and describes the agency's alleged discriminatory action in sufficient detail to inform the agency of the nature and date of the alleged violation of section 504. It shall be signed by the complainant or by someone authorized to do so on his or her behalf. Complaints filed on behalf of classes or third parties shall describe or identify (by name, if possible) the alleged victims of discrimination.
(d) Direct threat means a significant risk to the health or safety of others that cannot be eliminated by a change to policies, practices or procedures, or by the provision of auxiliary aids or services as provided in § 1251.110 of this part.
(e) Disability means the definition given that term in the Department of Justice's regulation implementing title II of the ADA at 28 CFR part 35.
(f) Drug means a controlled substance as defined in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812).
(g) Facility means all or any portion of buildings, structures, equipment, roads, walks, parking lots, rolling stock or other conveyances, or other real or personal property.
(h) Historic preservation programs means programs conducted by the agency that have preservation of historic properties as a primary purpose.
(i) Historic properties means those properties that are listed or eligible for listing in the National Register of Historic Places or properties designated as historic under a statute of the appropriate state or local government body.
(j) Illegal use of drugs means the use of one or more drugs, the possession or distribution of which is unlawful under the Controlled Substances Act (21 U.S.C. 812). The term “illegal use of drugs” does not include the use of a drug taken under supervision by a licensed health care professional, or other uses authorized by the Controlled Substances Act or other provisions of Federal law.
(k) Individual with a disability means any person who meets the definition of “disability” under 28 CFR part 35.
(l) Qualified individual with a disability means any person who meets the definition of “qualified individual with a disability” under § 1251.102(i) of this part.
(m) Section 504 means section 504 of the Rehabilitation Act of 1973 (Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended.
(a) The agency shall, by September 6, 1989, evaluate its current policies and practices, and the effects thereof, that do not or may not meet the requirements of this regulation and, to the extent modification of any such policies and practices is required, the agency shall proceed to make the necessary modifications.
(b) The agency shall provide an opportunity to interested persons, including individuals with disabilities or organizations representing individuals with disabilities, to participate in the self-evaluation process by submitting comments (both oral and written).
(c) The agency shall, for at least three years following completion of the self-evaluation, maintain on file and make available for public inspection:
(1) A description of areas examined and any problems identified; and
(2) A description of any modifications made.
The agency shall make available to employees, applicants, participants, beneficiaries, and other interested persons such information regarding the provisions of this regulation and its applicability to the programs or activities conducted by the agency, and make such information available to them in such manner as the head of the agency finds necessary to apprise such persons of the protections against discrimination assured them by section 504 and this regulation.
(a) No qualified individual with disabilities shall, on the basis of disability, be excluded from participation in, be denied the benefits of, or otherwise be subjected to discrimination under any program or activity conducted by the agency.
(b)(1) The agency, in providing any aid, benefit, or service, may not, directly or through contractual, licensing, or other arrangements, on the basis of disability—
(i) Deny a qualified individual with disabilities the opportunity to participate in or benefit from the aid, benefit, or service;
(ii) Afford a qualified individual with disabilities an opportunity to participate in or benefit from the aid, benefit, or service that is not equal to that afforded others;
(iii) Provide a qualified individual with disabilities with an aid, benefit, or service that is not as effective in affording equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement as that provided to others;
(iv) Provide different or separate aid, benefits, or services to individuals with disabilities or to any class of individuals with disabilities than is provided to others unless such action is necessary to provide qualified individuals with disabilities with aid, benefits, or services that are as effective as those provided to others;
(v) Deny a qualified individual with disabilities the opportunity to participate as a member of planning or advisory boards;
(vi) Otherwise limit a qualified individual with disabilities in the enjoyment of any right, privilege, advantage, or opportunity enjoyed by others receiving the aid, benefit, or service.
(2) The agency may not deny a qualified individual with disabilities the opportunity to participate in programs or activities that are not separate or different, despite the existence of permissibly separate or different programs or activities.
(3) The agency may not, directly or through contractual or other arrangements, utilize criteria or methods of administration the purpose or effect of which would—
(i) Subject qualified individuals with disabilities to discrimination on the basis of disability; or
(ii) Defeat or substantially impair accomplishment of the objectives of a program or activity with respect to individuals with disabilities.
(4) The agency may not, in determining the site or location of a facility, make selections the purpose or effect of which would—
(i) Exclude individuals with disabilities from, deny them the benefits of, or otherwise subject them to discrimination under any program or activity conducted by the agency; or
(ii) Defeat or substantially impair the accomplishment of the objectives of a program or activity with respect to individuals with disabilities.
(5) The agency, in the selection of procurement contractors, may not use criteria that subject qualified individuals with disabilities to discrimination on the basis of disability.
(6) The agency may not administer a licensing or certification program in a manner that subjects qualified individuals with disabilities to discrimination on the basis of disability, nor may the agency establish requirements for the programs or activities of licensees or certified entities that subject qualified individuals with disabilities to discrimination on the basis of disability. However, the programs or activities of entities that are licensed or certified by the agency are not, themselves, covered by this regulation.
(c) The exclusion of individuals without disabilities from the benefits of a program limited by Federal statute or Executive order to individuals with disabilities or the exclusion of a specific class of individuals with disabilities from a program limited by Federal statute or Executive order to a different class of individuals with disabilities is not prohibited by this regulation.
(d) The agency shall administer programs and activities in the most integrated setting appropriate to the needs of qualified individuals with disabilities.
(a) General. No qualified individual shall, on the basis of disability, be subjected to discrimination in employment under any program or activity to which this part applies.
(b) Employment discrimination standards. The standards used to determine whether paragraph (a) of this section has been violated shall be the standards applied under Title I of the Americans with Disabilities Act of 1990 (42 U.S.C. 12,111 et seq.) and, as such sections relate to employment, the provisions of sections 501 through 504 and 510 of the Americans with Disabilities Act of 1990 (42 U.S.C. 12201-12204 and 12210), as amended by the ADA Amendments Act of 2008 (Pub. L. 110-325), as such standards are implemented in the Equal Employment Opportunity Commission's regulation at 29 CFR part 1630, as amended.
Except as otherwise provided in § 1251.550, no qualified individual with disabilities shall, because the agency's facilities are inaccessible to or unusable by individuals with disabilities, be denied the benefits of, be excluded from participation in, or otherwise be subjected to discrimination under any program or activity conducted by the agency.
(a) General. The agency shall operate each program or activity so that the program or activity, when viewed in its entirety, is readily accessible to and usable by individuals with disabilities. This paragraph does not—
(1) Necessarily require the agency to make each of its existing facilities accessible to and usable by individuals with disabilities;
(2) In the case of historic preservation programs, require the Agency to take any action that would threaten or destroy the historic significance of historic properties.
(3) Require the agency to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and administrative burdens. In those circumstances where agency personnel believe that the proposed action would fundamentally alter the program or activity or would result in undue financial and administrative burdens, the agency has the burden of proving that compliance with § 1251.550(a) would result in such alteration or burdens. The decision that compliance would result in such alteration or burdens must be made by the agency head or his or her designee after considering all agency resources available for use in the funding and operation of the conducted program or activity, and must be accompanied by a written statement of the reasons for reaching that conclusion. If an action would result in such an alteration or such burdens, the agency shall take any other action that would not result in such an alteration or such burdens but would nevertheless ensure that individuals with disabilities receive the benefits and services of the program or activity.
(b) Methods—(1) General. The agency may comply with the requirements of this section through such means as redesign of equipment, reassignment of services to accessible buildings, assignment of aides to beneficiaries, home visits, delivery of services at alternate accessible sites, alteration of existing facilities and construction of new facilities, use of accessible rolling stock, or any other methods that result in making its programs or activities readily accessible to and usable by individuals with disabilities. The agency is not required to make structural changes in existing facilities where other methods are effective in achieving compliance with this section. The agency, in making alterations to existing buildings, shall meet accessibility requirements to the extent compelled by the Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any regulations implementing it. In choosing among available methods for meeting the requirements of this section, the agency shall give priority to those methods that offer programs and activities to qualified individuals with disabilities in the most integrated setting appropriate.
(2) Historic preservation programs. In meeting the requirements of § 1251.550(a) in historic preservation programs, the agency shall give priority to methods that provide physical access to individuals with disabilities. In cases where a physical alteration to an historic property is not required because of § 1251.550(a)(2) or (3), alternative methods of achieving program accessibility include—
(i) Using audio-visual materials and devices to depict those portions of an historic property that cannot otherwise be made accessible;
(ii) Assigning persons to guide individuals with disabilities into or through portions of historic properties that cannot otherwise be made accessible; or
(iii) Adopting other innovative methods.
(c) Time period for compliance. The agency shall comply with the obligations established under this section by November 7, 1988, except that where structural changes in facilities are undertaken, such changes shall be made by September 6, 1991, but in any event as expeditiously as possible.
(d) Transition plan. In the event that structural changes to facilities will be undertaken to achieve program accessibility, the agency shall develop, by March 6, 1989, a transition plan setting forth the steps necessary to complete such changes. The agency shall provide an opportunity to interested persons, including individuals with disabilities or organizations representing individuals with disabilities, to participate in the development of the transition plan by submitting comments (both oral and written). A copy of the transition plan shall be made available for public inspection. The plan shall, at a minimum—
(1) Identify physical obstacles in the agency's facilities that limit the accessibility of its programs or activities to individuals with disabilities;
(2) Describe in detail the methods that will be used to make the facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve compliance with this section and, if the time period of the transition plan is longer than one year, identify steps that will be taken during each year of the transition period; and
(4) Indicate the official responsible for implementation of the plan.
Each building or part of a building that is constructed or altered by, on behalf of, or for the use of the agency shall be designed, constructed, or altered so as to be readily accessible to and usable by individuals with disabilities. The definitions, requirements, and standards of the Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 CFR part 102-76, subpart C, apply to buildings covered by this section.
(a) The agency shall take appropriate steps to ensure effective communication with applicants, participants, personnel of other Federal entities, and members of the public.
(1) The agency shall furnish appropriate auxiliary aids where necessary to afford an individual with disabilities an equal opportunity to participate in, and enjoy the benefits of, a program or activity conducted by the agency.
(i) In determining what type of auxiliary aid is necessary, the agency shall give primary consideration to the requests of the individual with disabilities.
(ii) The agency need not provide individually prescribed devices, readers for personal use or study, or other devices of a personal nature.
(2) Where the agency communicates with applicants and beneficiaries by telephone, telecommunication devices for deaf persons (TDD's) or equally effective telecommunication systems shall be used to communicate with persons with impaired hearing.
(b) The agency shall ensure that interested persons, including persons with impaired vision or hearing, can obtain information as to the existence and location of accessible services, activities, and facilities.
(c) The agency shall provide signage at a primary entrance to each of its inaccessible facilities, directing users to a location at which they can obtain information about accessible facilities. The international symbol for accessibility shall be used at each primary entrance of an accessible facility.
(d) This section does not require the agency to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and administrative burdens. In those circumstances where agency personnel believe that the proposed action would fundamentally alter the program or activity or would result in undue financial and administrative burdens, the agency has the burden of proving that compliance with § 1251.560 would result in such alteration or burdens. The decision that compliance would result in such alteration or burdens must be made by the agency head or his or her designee after considering all agency resources available for use in the funding and operation of the conducted program or activity and must be accompanied by a written statement of the reasons for reaching that conclusion. If an action required to comply with this section would result in such an alteration or such burdens, the agency shall take any other action that would not result in such an alteration or such burdens but would nevertheless ensure that, to the maximum extent possible, individuals with disabilities receive the benefits and services of the program or activity.
(a) Except as provided in paragraph (b) of this section, this section applies to all allegations of discrimination on the basis of disability in programs and activities conducted by the agency.
(b) The Agency shall process complaints alleging violations of section 504 of the Rehabilitation Act with respect to employment according to the procedures established by the Equal Employment Opportunity Commission in 29 CFR part 1640 pursuant to section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791).
(c) The Associate Administrator for Diversity and Equal Opportunity shall be responsible for coordinating implementation of this section. Complaints may be sent to the Office of Diversity and Equal Opportunity, NASA Headquarters, 300 E Street SW., Washington, DC 20546.
(d) The agency shall accept and investigate all complete complaints for which it has jurisdiction. All complete complaints must be filed within 180 days of the alleged act of discrimination. The agency may extend this time period for good cause.
(e) If the agency receives a complaint over which it does not have jurisdiction, it shall promptly notify the complainant and shall make reasonable efforts to refer the complaint to the appropriate Government entity.
(f) The agency shall notify the Architectural and Transportation Barriers Compliance Board upon receipt of any complaint alleging that a building or facility that is subject to the Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to and usable by individuals with disabilities.
(g) Within 180 days of the receipt of a complete complaint for which it has jurisdiction, the agency shall notify the complainant of the results of the investigation in a letter containing—
(1) Findings of fact and conclusions of law;
(2) A description of a remedy for each violation found; and
(3) A notice of the right to appeal.
(h) Appeals of the findings of fact and conclusions of law or remedies must be filed by the complainant within 90 days of receipt from the agency of the letter required by § 1251.570(g). The agency may extend this time for good cause.
(i) Timely appeals shall be accepted and processed by the head of the agency.
(j) The head of the agency shall notify the complainant of the results of the appeal within 60 days of the receipt of the request. If the head of the agency determines that additional information is needed from the complainant, he or she shall have 60 days from the date of receipt of the additional information to make his or her determination on the appeal.
(k) The time limits cited in paragraphs (g) and (j) of this section may be extended with the permission of the Assistant Attorney General.
(l) The agency may delegate its authority for conducting complaint investigations to other Federal agencies, except that the authority for making the final determination may not be delegated to another agency.
(a) This part does not require the Agency to permit an individual to participate in or benefit from the services, programs, or activities of that recipient when that individual poses a direct threat to the health or safety of others.
(b) In determining whether an individual poses a direct threat to the health or safety of others, the Agency must make an individualized assessment, based on reasonable judgment that relies on current medical knowledge or on the best available objective evidence, to ascertain: The nature, duration, and severity of the risk; the probability that the potential injury will actually occur; and whether reasonable accommodations in policies, practices, or procedures or the provision of auxiliary aids or services will mitigate the risk.
The Agency shall make reasonable accommodations in policies, practices, or procedures when such accommodations are necessary to avoid discrimination on the basis of disability, unless the Agency can demonstrate that making the accommodations would fundamentally alter the nature of the service, program, or activity or result in an undue financial and administrative burden.
(a) General. (1) Except as provided in paragraph (b) of this section, this part does not prohibit discrimination against an individual based on that individual's current illegal use of drugs.
(2) The Agency shall not discriminate on the basis of illegal use of drugs against an individual who is not engaging in current illegal use of drugs and who—
(i) Has successfully completed a supervised drug rehabilitation program or has otherwise been rehabilitated successfully;
(ii) Is participating in a supervised rehabilitation program; or
(iii) Is erroneously regarded as engaging in such use.
(b) Health and drug rehabilitation services. (1) The Agency shall not deny health services, or services provided in connection with drug rehabilitation, to an individual on the basis of that individual's current illegal use of drugs, if the individual is otherwise entitled to such services.
(2) A drug rehabilitation or treatment program may deny participation to individuals who engage in illegal use of drugs while they are in the program.
(c) Drug testing. (1) This part does not prohibit the Agency from adopting or administering reasonable policies or procedures, including but not limited to drug testing, designed to ensure that an individual who formerly engaged in the illegal use of drugs is not now engaging in current illegal use of drugs.
(2) Nothing in this paragraph (c) shall be construed to encourage, prohibit, restrict, or authorize the conducting of testing for the illegal use of drugs.
The purpose of these regulations is to set out NASA's policies and to implement agencywide or agency procedures under the Age Discrimination Act of 1975 according to the government-wide age discrimination regulations at 45 CFR part 90. (Published at 44 FR 33768, June 12, 1979.) The Act and the government-wide regulations prohibit discrimination on the basis of age in programs or activities receiving Federal financial assistance. The Act and the governmentwide regulations permit federally assisted programs or activities and recipients of Federal funds, to continue to use age distinctions and factors other than age which meet the requirements of the Act and the governmentwide regulations.
(a) These regulations apply to each NASA recipient and to each program or activity operated by the recipient which receives Federal financial assistance provided by NASA.
(b) The Age Discrimination Act of 1975 does not apply to:
(1) An age distinction contained in that part of a Federal, State, or local statute or ordinance adopted by an elected body which:
(i) Provides any benefits or assistance to persons based on age; or
(ii) Establishes criteria for participation in age-related terms; or
(iii) Describes intended beneficiaries or target groups in age-related terms.
(2) Any employment practice of any employer, employment agency, labor organization, or any labor-management joint apprenticeship training program, except for any program or activity receiving Federal financial assistance for public service employment under the Comprehensive Employment and Training Act of 1974 (CETA) (29 U.S.C. 801 et seq.).
As used in these regulations, the term:
(a) Act means the Age Discrimination Act of 1975, as amended. (Title III of Pub. L. 94-135.)
(b) Action means any act, activity, policy, rule, standard, or method of administration; or the use of any policy, rule, standard, or method of administration.
(c) Age means how old a person is, or the number of elapsed years from the date of a person's birth.
(d) Age distinction means any action using age or an age-related term.
(e) Age-related term means a word or words which necessarily imply a particular age or range of ages (for example, “children,” “adult,” “older persons,” but not “student”).
(f) Discrimination means unlawful treatment based on age.
(g) NASA means the National Aeronautics and Space Administration.
(h) Federal financial assistance means any grant, entitlement, loan, cooperative agreement contract (other than a procurement contract or a contract of insurance or guaranty), or any other arrangement by which the agency provides or otherwise makes available assistance in the form of:
(1) Funds;
(2) Services of Federal personnel; or interest in or use of property, including:
(i) Transfer or lease of property for less than fair market value or for reduced consideration; and
(ii) Proceeds from a subsequent transfer or lease of property if the Federal share of its fair market value is not returned to the Federal Government.
(i) FMCS means the Federal Mediation and Conciliation Service.
(j) Recipient means any State or its political subdivision, any instrumentality of a State or its political subdivision, any public or private agency, institution, organization, or other entity, or any person to which Federal financial assistance is extended, directly or through another recipient. Recipient includes any successor, assignee, or transferee, but excludes the ultimate beneficiary of the assistance.
(k) Administrator means the Administrator of the National Aeronautics and Space Administration or designee.
(l) Subrecipient means any of the entities in the definition of “recipient” to which a recipient extents or passes on Federal financial assistance. A subrecipient is generally regarded as a recipient of Federal financial assistance and has all the duties of a recipient in these regulations.
(m) United States means the 50 States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the Canal Zone, the Trust Territory of the Pacific Islands, the Northern Marianas, and the territories and possessions of the United States.
(n) Program or activity means all of the operations of any entity described in paragraphs (n)(1) through (4) of this section, any part of which is extended Federal financial assistance:
(1)(i) A department, agency, special purpose district, or other instrumentality of a State or of a local government; or
(ii) The entity of such State or local government that distributes such assistance and each such department or agency (and each other State or local government entity) to which the assistance is extended, in the case of assistance to a State or local government;
(2)(i) A college, university, or other postsecondary institution, or a public system of higher education; or
(ii) A local educational agency (as defined in 20 U.S.C. 7801), system of vocational education, or other school system;
(3)(i) An entire corporation, partnership, or other private organization, or an entire sole proprietorship—
(A) If assistance is extended to such corporation, partnership, private organization, or sole proprietorship as a whole; or
(B) Which is principally engaged in the business of providing education, health care, housing, social services, or parks and recreation; or
(ii) The entire plant or other comparable, geographically separate facility to which Federal financial assistance is extended, in the case of any other corporation, partnership, private organization, or sole proprietorship; or
(4) Any other entity which is established by two or more of the entities described in paragraph (n)(1), (2), or (3) of this section.
The rules stated in this section are limited by the exceptions contained in § 1252.201.
(a) General rule: No person in the United States shall, on the basis of age be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.
(b) Specific rules: A recipient may not, in any program or activity receiving Federal financial assistance, directly or through contractual, licensing, or other arrangements use age distinctions or take any other actions which have the effect, on the basis of age, of:
(1) Excluding individuals from, denying them the benefits of, or subjecting them to discrimination under a program or activity receiving Federal financial assistance; or
(2) Denying or limiting individuals in their opportunity to participate in any program or activity receiving Federal financial assistance.
(c) The specific forms of age discrimination listed in paragraph (b) of this section do not necessarily constitute a complete list.
(a) Definitions. For purposes of this section, the terms normal operation and statutory objective shall have the following meaning:
(1) Normal operation means the operation of a program or activity without significant changes that would impair its ability to meet its objectives.
(2) Statutory objective means any purpose of a program or activity expressly stated in any Federal statute, state statute or local statute or ordinance adopted by any elected, general purpose legislative body.
(b) Normal operation or statutory objective of any program or activity. A recipient is permitted to take an action otherwise prohibited by § 1252.200 if the action reasonably takes into account age as a factor necessary to the normal operation of the achievement of any statutory objective of a program or activity. An action reasonably takes into account age as a factor necessary to the normal operation or the achievement of any statutory objective of a program or activity, if:
(1) Age is used as a measure of approximation of one or more other characteristics; and
(2) The other characteristic(s) must be measured or approximated in order for the normal operation of the program or activity to continue, or to achieve any statutory objective of the program or activity; and
(3) The other characteristic(s) can be reasonably measured or approximated by the use of age; and
(4) The other characteristic(s) are impractical to measure directly on an individual basis.
(c) Reasonable factors other than age. A recipient is permitted to take an action otherwise prohibited by § 1252.200 which is based on a factor other than age, even though that action may have a disproportionate effect on persons of different ages. An action may be based on a factor other than age only if the factor bears a direct and substantial relationship to the normal operation of the program or activity or to the achievement of a statutory objective.
The burden of proving that an age distinction or other action falls within the exceptions outlined in § 1252.201 (b) and (c) is on the recipient of Federal financial assistance.
If a recipient operating a program or activity provides special benefits to the elderly or to children, such use of age distinctions shall be presumed to be necessary to the normal operation of the program or activity, notwithstanding the provision of § 1252.10.
Each NASA recipient must ensure that its programs or activities comply with these regulations.
Where a recipient passes on Federal financial assistance from NASA to subrecipients, the recipient shall provide the subrecipient written notice of their obligations under these regulations.
(a) Each recipient of Federal financial assistance from NASA shall sign a written assurance as specified by NASA that it will comply with the Act and these regulations.
(b) Recipient assessment of age distinctions. (1) As part of a compliance review under § 91.41, NASA may require a recipient employing the equivalent of 15 or more employees to complete a written self-evaluation, in a manner specified by the responsible Agency official, of any age distinction imposed in its program or activity receiving Federal financial assistance from NASA to assess the recipient's compliance with the Act.
(2) Whenever an assessment indicates a violation of the Act and the NASA regulations, the recipient shall take corrective action.
(a) Keep records in a form that contains information which NASA determines may be necessary to ascertain whether the recipient is complying with the Act and these regulations.
(b) Provide to NASA, upon request, information and reports which NASA determines are necessary to ascertain whether the recipient is complying with the Act and these regulations.
(c) Permit reasonable access by NASA to the books, records, accounts, and other recipient facilities and sources of information to the extent NASA determines is necessary to ascertain whether the recipient is complying with the Act and these regulations.
(a) NASA may conduct compliance reviews and pre-award reviews of recipients or use other similar procedures that will permit it to investigate and correct violations of the Act and these regulations. NASA may conduct these reviews even in the absence of a complaint against a recipient. The review may be as comprehensive as necessary to determine whether a violation of these regulations has occurred.
(b) If a compliance review or pre-award review indicates a violation of the Act or these regulations, NASA will attempt to secure the recipient's voluntary compliance with the Act. If voluntary compliance cannot be achieved, NASA will arrange for enforcement as described in § 1252.405.
(a) Any person, individually or as a member of a class or on behalf of others, may file a complaint with NASA, alleging discrimination prohibited by the Act or these regulations based on an action occurring on or after July 1, 1979. A complaint must be filed within 180 days from the date the complainant first had knowledge of the alleged act of discrimination. However, for good cause shown, NASA may extend this time limit.
(b) NASA will attempt to facilitate the filing of complaints wherever possible, including taking the following measures:
(1) Accepting as a sufficient complaint, any written statement, which identifies the parties involved and the date the complainant first had knowledge of the alleged violation, describes generally the action or practice complained of, and assigned by the complainant.
(2) Freely permitting a complainant to add information to the complaint to meet the requirements of a sufficient complaint.
(3) Widely disseminating information regarding the obligations of recipients under the Act and these regulations.
(4) Notifying the complainant and the recipient of their rights and obligations under the complaint procedure, including the right to have a representative at all stages of the complaint procedure.
(5) Notifying the complainant and the recipient (or their representatives) of their right to contact NASA for information and assistance regarding the complaint resolution process.
(c) NASA will return to the complainant any complaint outside the jurisdiction of these regulations, and will state the reason(s) why it is outside the jurisdiction of these regulations.
(a) Referral of complaints for mediation. NASA will refer to the Federal Mediation and Conciliation Service all complaints that:
(1) Fall within the jurisdiction of the Act and these regulations; and
(2) Contain all information necessary for further processing.
(b) Both the complainant and the recipient shall participate in the mediation process to the extent necessary to reach an agreement or make an informed judgment that an agreement is not possible. There must be at least one meeting with the mediator before NASA will accept a judgment that an agreement is not possible. However, the recipient and the complainant need not meet with the mediator at the same time.
(c) If the complainant and the recipient reach an agreement, the mediator shall prepare a written statement of the agreement and have the complainant and recipient sign it. The mediator shall send a copy of the agreement to NASA. NASA will take no further action on the complaint unless the complainant or the recipient fails to comply with the agreement. However, NASA retains the right to monitor the recipient's compliance with the agreement.
(d) The mediator shall protect the confidentiality of all information obtained in the course of the mediation process. No mediator shall testify in any adjudicative proceeding, produce any document, or otherwise disclose any information obtained in the course of the mediation process without prior approval of the head of the mediation agency.
(e) NASA will use the mediation process for a maximum of 60 days after receiving a complaint.
(f) Mediation ends if:
(1) 60 days elapse from the time NASA receives the complaint; or
(2) Prior to the end of that 60-day period, an agreement is reached; or
(3) Prior to the end of that 60-day period, the mediator determines that an agreement cannot be reached.
(g) The mediator shall return unresolved complaints to NASA.
(a) Informal inquiry. (1) NASA will investigate complaints that are unresolved after mediation or are reopened because of a violation of a mediation agreement.
(2) As part of the initial inquiry, NASA will use informal fact finding methods, including joint or separate discussions with the complainant and recipient to establish the facts, and, if possible, settle the complaint on terms that are mutually agreeable to the parties. NASA may seek the assistance of any involved State agency.
(3) NASA will put any agreement in writing and have it signed by the parties and an authorized official at NASA.
(4) The settlement shall not affect the operation of any other enforcement effort of NASA, including compliance reviews and investigation of other complaints which may involve the recipient.
(5) The settlement is not a finding of discrimination against a recipient.
(b) Formal investigation. If NASA cannot resolve the complaint through informal means it will develop formal findings through further investigations of the complaint. If the investigation indicates a violation of these regulations, NASA will attempt to obtain voluntary compliance. If NASA cannot obtain voluntary compliance, it will begin enforcement as described in § 1252.405.
A recipient may not engage in acts of intimidation or retaliation against any person who:
(a) Attempts to assert a right protected by the Act or these regulations; or
(b) Cooperates in any mediation, inquiry, hearing, or other part of NASA's investigation, conciliation, and enforcement process.
(a) NASA may enforce the Act and these regulations through:
(1) Termination of a recipient's Federal financial assistance from NASA under the program or activity involved where the recipient has violated the Act or these regulations. The determination of the recipient's violation may be made only after a recipient has had an opportunity for a hearing on the record before an administrative law judge. Therefore, cases which are settled in mediation, or prior to a hearing, will not involve termination of a recipient's Federal financial assistance from NASA.
(2) Any other means authorized by law including but not limited to:
(i) Referral to the Department of Justice for proceedings to enforce any rights of the United States or obligations of the recipient created by the Act or these regulations.
(ii) Use of any requirement of or referral to any Federal, State, or local government agency that will have the effect of correcting a violation of the Act or these regulations.
(b) NASA will limit any termination under § 1252.405(a)(1) to the particular program or activity NASA finds in violations of these regulations. NASA will not base any part of a termination on a finding with respect to any program or activity of the recipient which does not receive Federal financial assistance from NASA.
(c) NASA will take no action under paragraph (a) until:
(1) The Administrator has advised the recipient of its failure to comply with the Act and these regulations and has determined that voluntary compliance cannot be obtained.
(2) 30 days have elapsed after the Administrator has sent a written report of the circumstances and grounds of the action to the committees of Congress having legislative jurisdiction over the program or activity involved. The Administrator will file a report whenever any action is taken under paragraph (a) of this section.
(d) NASA also may defer granting new Federal financial assistance from NASA to a recipient when a hearing under § 1252.405(a)(1) is initiated.
(1) New Federal financial assistance from NASA includes all assistance for which NASA requires an application or approval, including renewal or continuation of existing activities during the deferral period. New Federal financial assistance from NASA does not include assistance approved prior to the beginning of a hearing under § 1252.405(a)(1).
(2) NASA will not begin a deferral until the recipient has received a notice of an opportunity for a hearing under § 1252.405(a)(1). NASA will not continue a deferral for more than 60 days unless a hearing has begun within that time or the time for beginning the hearing has been extended by mutual consent of the recipient and the Administrator. NASA will not continue a deferral for more than 30 days after the close of the hearing, unless the hearing results in a finding against the recipient.
The procedural provisions for those hearings required by § 1252.405 are contained in 14 CFR 1250.108.
All notices, decisions, and post-termination proceedings, insofar as NASA is concerned, shall be made in accordance with 14 CFR 1250.109.
(a) Where NASA finds a recipient has discriminated on the basis of age, the recipient shall take any remedial action that NASA may require to overcome the effects of the discrimination. If another recipient exercises control over the recipient that has discriminated, NASA may require both recipients to take remedial action.
(b) Even in the absence of discrimination, a recipient may take affirmative action to overcome the effects of conditions that resulted in limited participation in the recipients program or activity on the basis of age.
(a) When NASA withholds funds from a recipient under these regulations, the Administrator may disburse the withheld funds directly to an alternate recipient.
(b) The Administrator will require any alternate recipient to demonstrate:
(1) The ability to comply with these regulations; and
(2) The ability to achieve the goals of the Federal statute authorizing the Federal financial assistance.
(a) A complainant may file a civil action following the exhaustion of administrative remedies under the Act. Administrative remedies are exhausted if:
(1) 180 days have elapsed since the complainant filed the complaint and NASA has made no finding with regard to the complaint; or
(2) NASA issues any findings in favor of the recipient.
(b) If NASA fails to make a finding within 180 days or issues a finding in favor of the recipient, NASA will:
(1) Promptly advise the complainant of this fact; and
(2) Advise the complainant of his or her right to bring a civil action for injunctive relief; and
(3) Inform the complainant:
(i) That the complainant may bring a civil action only in a United States district court for the district in which the recipient is located or transacts business;
(ii) That a complainant prevailing in a civil action has the right to be awarded the costs of the action, including reasonable attorney's fees, but that the complainant must demand these costs in the complaint.
(iii) That before commencing the action the complainant shall give 30 days notice by registered mail to the Administrator, the Attorney General of the United States, and
(iv) That the notice must state: the alleged violation of the act; the relief requested; the court in which the complainant is bringing the action; and, whether or not attorney's fees are demanded in the event the complainant prevails; and
(v) That the complainant may not bring an action if the same alleged violation of the Act by the same recipient is the subject of a pending action in any court of the United States.
There are no Federal statutes or regulations containing age distinctions which affect financial assistance administered by the agency.
The purpose of these Title IX regulations is to effectuate Title IX of the Education Amendments of 1972, as amended (except sections 904 and 906 of those Amendments) (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688), which is designed to eliminate (with certain exceptions) discrimination on the basis of sex in any education program or activity receiving Federal financial assistance, whether or not such program or activity is offered or sponsored by an educational institution as defined in these Title IX regulations. The effective date of these Title IX regulations shall be September 29, 2000.
As used in these Title IX regulations, the term:
Administratively separate unit means a school, department, or college of an educational institution (other than a local educational agency) admission to which is independent of admission to any other component of such institution.
Admission means selection for part-time, full-time, special, associate, transfer, exchange, or any other enrollment, membership, or matriculation in or at an education program or activity operated by a recipient.
Applicant means one who submits an application, request, or plan required to be approved by an official of the Federal agency that awards Federal financial assistance, or by a recipient, as a condition to becoming a recipient.
Designated agency official means Associate Administrator for Equal Opportunity Programs.
Educational institution means a local educational agency (LEA) as defined by 20 U.S.C. 8801(18), a preschool, a private elementary or secondary school, or an applicant or recipient that is an institution of graduate higher education, an institution of undergraduate higher education, an institution of professional education, or an institution of vocational education, as defined in this section.
Federal financial assistance means any of the following, when authorized or extended under a law administered by the Federal agency that awards such assistance:
(1) A grant or loan of Federal financial assistance, including funds made available for:
(i) The acquisition, construction, renovation, restoration, or repair of a building or facility or any portion thereof; and
(ii) Scholarships, loans, grants, wages, or other funds extended to any entity for payment to or on behalf of students admitted to that entity, or extended directly to such students for payment to that entity.
(2) A grant of Federal real or personal property or any interest therein, including surplus property, and the proceeds of the sale or transfer of such property, if the Federal share of the fair market value of the property is not, upon such sale or transfer, properly accounted for to the Federal Government.
(3) Provision of the services of Federal personnel.
(4) Sale or lease of Federal property or any interest therein at nominal consideration, or at consideration reduced for the purpose of assisting the recipient or in recognition of public interest to be served thereby, or permission to use Federal property or any interest therein without consideration.
(5) Any other contract, agreement, or arrangement that has as one of its purposes the provision of assistance to any education program or activity, except a contract of insurance or guaranty.
Institution of graduate higher education means an institution that:
(1) Offers academic study beyond the bachelor of arts or bachelor of science degree, whether or not leading to a certificate of any higher degree in the liberal arts and sciences;
(2) Awards any degree in a professional field beyond the first professional degree (regardless of whether the first professional degree in such field is awarded by an institution of undergraduate higher education or professional education); or
(3) Awards no degree and offers no further academic study, but operates ordinarily for the purpose of facilitating research by persons who have received the highest graduate degree in any field of study.
Institution of professional education means an institution (except any institution of undergraduate higher education) that offers a program of academic study that leads to a first professional degree in a field for which there is a national specialized accrediting agency recognized by the Secretary of Education.
Institution of undergraduate higher education means:
(1) An institution offering at least two but less than four years of college-level study beyond the high school level, leading to a diploma or an associate degree, or wholly or principally creditable toward a baccalaureate degree; or
(2) An institution offering academic study leading to a baccalaureate degree; or
(3) An agency or body that certifies credentials or offers degrees, but that may or may not offer academic study.
Institution of vocational education means a school or institution (except an institution of professional or graduate or undergraduate higher education) that has as its primary purpose preparation of students to pursue a technical, skilled, or semiskilled occupation or trade, or to pursue study in a technical field, whether or not the school or institution offers certificates, diplomas, or degrees and whether or not it offers full-time study.
Recipient means any State or political subdivision thereof, or any instrumentality of a State or political subdivision thereof, any public or private agency, institution, or organization, or other entity, or any person, to whom Federal financial assistance is extended directly or through another recipient and that operates an education program or activity that receives such assistance, including any subunit, successor, assignee, or transferee thereof.
Student means a person who has gained admission.
Title IX means Title IX of the Education Amendments of 1972, Public Law 92-318, 86 Stat. 235, 373 (codified as amended at 20 U.S.C. 1681-1688) (except sections 904 and 906 thereof), as amended by section 3 of Public Law 93-568, 88 Stat. 1855, by section 412 of the Education Amendments of 1976, Public Law 94-482, 90 Stat. 2234, and by Section 3 of Public Law 100-259, 102 Stat. 28, 28-29 (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688).
Title IX regulations means the provisions set forth at §§ 1253.100 through 1253.605.
Transition plan means a plan subject to the approval of the Secretary of Education pursuant to section 901(a)(2) of the Education Amendments of 1972, 20 U.S.C. 1681(a)(2), under which an educational institution operates in making the transition from being an educational institution that admits only students of one sex to being one that admits students of both sexes without discrimination.
(a) Remedial action. If the designated agency official finds that a recipient has discriminated against persons on the basis of sex in an education program or activity, such recipient shall take such remedial action as the designated agency official deems necessary to overcome the effects of such discrimination.
(b) Affirmative action. In the absence of a finding of discrimination on the basis of sex in an education program or activity, a recipient may take affirmative action consistent with law to overcome the effects of conditions that resulted in limited participation therein by persons of a particular sex. Nothing in these Title IX regulations shall be interpreted to alter any affirmative action obligations that a recipient may have under Executive Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive Order 12086, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264.
(c) Self-evaluation. Each recipient education institution shall, within one year of September 29, 2000:
(1) Evaluate, in terms of the requirements of these Title IX regulations, its current policies and practices and the effects thereof concerning admission of students, treatment of students, and employment of both academic and non-academic personnel working in connection with the recipient's education program or activity;
(2) Modify any of these policies and practices that do not or may not meet the requirements of these Title IX regulations; and
(3) Take appropriate remedial steps to eliminate the effects of any discrimination that resulted or may have resulted from adherence to these policies and practices.
(d) Availability of self-evaluation and related materials. Recipients shall maintain on file for at least three years following completion of the evaluation required under paragraph (c) of this section, and shall provide to the designated agency official upon request, a description of any modifications made pursuant to paragraph (c)(2) of this section and of any remedial steps taken pursuant to paragraph (c)(3) of this section.
(a) General. Either at the application stage or the award stage, Federal agencies must ensure that applications for Federal financial assistance or awards of Federal financial assistance contain, be accompanied by, or be covered by a specifically identified assurance from the applicant or recipient, satisfactory to the designated agency official, that each education program or activity operated by the applicant or recipient and to which these Title IX regulations apply will be operated in compliance with these Title IX regulations. An assurance of compliance with these Title IX regulations shall not be satisfactory to the designated agency official if the applicant or recipient to whom such assurance applies fails to commit itself to take whatever remedial action is necessary in accordance with § 1253.110(a) to eliminate existing discrimination on the basis of sex or to eliminate the effects of past discrimination whether occurring prior to or subsequent to the submission to the designated agency official of such assurance.
(b) Duration of obligation. (1) In the case of Federal financial assistance extended to provide real property or structures thereon, such assurance shall obligate the recipient or, in the case of a subsequent transfer, the transferee, for the period during which the real property or structures are used to provide an education program or activity.
(2) In the case of Federal financial assistance extended to provide personal property, such assurance shall obligate the recipient for the period during which it retains ownership or possession of the property.
(3) In all other cases such assurance shall obligate the recipient for the period during which Federal financial assistance is extended.
(c) Form. (1) The assurances required by paragraph (a) of this section, which may be included as part of a document that addresses other assurances or obligations, shall include that the applicant or recipient will comply with all applicable Federal statutes relating to nondiscrimination. These include but are not limited to: Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, 1685-1688).
(2) The designated agency official will specify the extent to which such assurances will be required of the applicant's or recipient's subgrantees, contractors, subcontractors, transferees, or successors in interest.
If a recipient sells or otherwise transfers property financed in whole or in part with Federal financial assistance to a transferee that operates any education program or activity, and the Federal share of the fair market value of the property is not upon such sale or transfer properly accounted for to the Federal Government, both the transferor and the transferee shall be deemed to be recipients, subject to the provisions of §§ 1253.205 through 1253.235(a).
(a) Effect of other Federal provisions. The obligations imposed by these Title IX regulations are independent of, and do not alter, obligations not to discriminate on the basis of sex imposed by Executive Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive Order 12087, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264; sections 704 and 855 of the Public Health Service Act (42 U.S.C. 295m, 298b-2); Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq.); the Equal Pay Act of 1963 (29 U.S.C. 206); and any other Act of Congress or Federal regulation.
(b) Effect of State or local law or other requirements. The obligation to comply with these Title IX regulations is not obviated or alleviated by any State or local law or other requirement that would render any applicant or student ineligible, or limit the eligibility of any applicant or student, on the basis of sex, to practice any occupation or profession.
(c) Effect of rules or regulations of private organizations. The obligation to comply with these Title IX regulations is not obviated or alleviated by any rule or regulation of any organization, club, athletic or other league, or association that would render any applicant or student ineligible to participate or limit the eligibility or participation of any applicant or student, on the basis of sex, in any education program or activity operated by a recipient and that receives Federal financial assistance.
The obligation to comply with these Title IX regulations is not obviated or alleviated because employment opportunities in any occupation or profession are or may be more limited for members of one sex than for members of the other sex.
(a) Designation of responsible employee. Each recipient shall designate at least one employee to coordinate its efforts to comply with and carry out its responsibilities under these Title IX regulations, including any investigation of any complaint communicated to such recipient alleging its noncompliance with these Title IX regulations or alleging any actions that would be prohibited by these Title IX regulations. The recipient shall notify all its students and employees of the name, office address, and telephone number of the employee or employees appointed pursuant to this paragraph.
(b) Complaint procedure of recipient. A recipient shall adopt and publish grievance procedures providing for prompt and equitable resolution of student and employee complaints alleging any action that would be prohibited by these Title IX regulations.
(a) Notification of policy. (1) Each recipient shall implement specific and continuing steps to notify applicants for admission and employment, students and parents of elementary and secondary school students, employees, sources of referral of applicants for admission and employment, and all unions or professional organizations holding collective bargaining or professional agreements with the recipient, that it does not discriminate on the basis of sex in the educational programs or activities that it operates, and that it is required by Title IX and these Title IX regulations not to discriminate in such a manner. Such notification shall contain such information, and be made in such manner, as the designated agency official finds necessary to apprise such persons of the protections against discrimination assured them by Title IX and these Title IX regulations, but shall state at least that the requirement not to discriminate in education programs or activities extends to employment therein, and to admission thereto unless §§ 1253.300 through 1253.310 do not apply to the recipient, and that inquiries concerning the application of Title IX and these Title IX regulations to such recipient may be referred to the employee designated pursuant to § 1253.135, or to the designated agency official.
(2) Each recipient shall make the initial notification required by paragraph (a)(1) of this section within 90 days of September 29, 2000 or of the date these Title IX regulations first apply to such recipient, whichever comes later, which notification shall include publication in:
(i) Newspapers and magazines operated by such recipient or by student, alumnae, or alumni groups for or in connection with such recipient; and
(ii) Memoranda or other written communications distributed to every student and employee of such recipient.
(b) Publications. (1) Each recipient shall prominently include a statement of the policy described in paragraph (a) of this section in each announcement, bulletin, catalog, or application form that it makes available to any person of a type, described in paragraph (a) of this section, or which is otherwise used in connection with the recruitment of students or employees.
(2) A recipient shall not use or distribute a publication of the type described in paragraph (b)(1) of this section that suggests, by text or illustration, that such recipient treats applicants, students, or employees differently on the basis of sex except as such treatment is permitted by these Title IX regulations.
(c) Distribution. Each recipient shall distribute without discrimination on the basis of sex each publication described in paragraph (b)(1) of this section, and shall apprise each of its admission and employment recruitment representatives of the policy of nondiscrimination described in paragraph (a) of this section, and shall require such representatives to adhere to such policy.
Except as provided in §§ 1253.205 through 1253.235(a), these Title IX regulations apply to every recipient and to each education program or activity operated by such recipient that receives Federal financial assistance.
(a) Exemption. These Title IX regulations do not apply to any operation of an educational institution or other entity that is controlled by a religious organization to the extent that application of these Title IX regulations would not be consistent with the religious tenets of such organization.
(b) Exemption claims. An educational institution or other entity that wishes to claim the exemption set forth in paragraph (a) of this section shall do so by submitting in writing to the designated agency official a statement by the highest-ranking official of the institution, identifying the provisions of these Title IX regulations that conflict with a specific tenet of the religious organization.
These Title IX regulations do not apply to an educational institution whose primary purpose is the training of individuals for a military service of the United States or for the merchant marine.
(a) Social fraternities and sororities. These Title IX regulations do not apply to the membership practices of social fraternities and sororities that are exempt from taxation under section 501(a) of the Internal Revenue Code of 1954, 26 U.S.C. 501(a), the active membership of which consists primarily of students in attendance at institutions of higher education.
(b) YMCA, YWCA, Girl Scouts, Boy Scouts, and Camp Fire Girls. These Title IX regulations do not apply to the membership practices of the Young Men's Christian Association (YMCA), the Young Women's Christian Association (YWCA), the Girl Scouts, the Boy Scouts, and Camp Fire Girls.
(c) Voluntary youth service organizations. These Title IX regulations do not apply to the membership practices of a voluntary youth service organization that is exempt from taxation under section 501(a) of the Internal Revenue Code of 1954, 26 U.S.C. 501(a), and the membership of which has been traditionally limited to members of one sex and principally to persons of less than nineteen years of age.
(a) Admissions to educational institutions prior to June 24, 1973, are not covered by these Title IX regulations.
(b) Administratively separate units. For the purposes only of this section, §§ 1253.225 and 1253.230, and §§ 1253.300 through 1253.310, each administratively separate unit shall be deemed to be an educational institution.
(c) Application of §§ 1253.300 through 1253.310. Except as provided in paragraphs (d) and (e) of this section, §§ 1253.300 through 1253.310 apply to each recipient. A recipient to which §§ 1253.300 through 1253.310 apply shall not discriminate on the basis of sex in admission or recruitment in violation of §§ 1253.300 through 1253.310.
(d) Educational institutions. Except as provided in paragraph (e) of this section as to recipients that are educational institutions, §§ 1253.300 through 1253.310 apply only to institutions of vocational education, professional education, graduate higher education, and public institutions of undergraduate higher education.
(e) Public institutions of undergraduate higher education. §§ 1253.300 through 1253.310 do not apply to any public institution of undergraduate higher education that traditionally and continually from its establishment has had a policy of admitting students of only one sex.
(a) Application. This section applies to each educational institution to which §§ 1253.300 through 1253.310 apply that:
(1) Admitted students of only one sex as regular students as of June 23, 1972; or
(2) Admitted students of only one sex as regular students as of June 23, 1965, but thereafter admitted, as regular students, students of the sex not admitted prior to June 23, 1965.
(b) Provision for transition plans. An educational institution to which this section applies shall not discriminate on the basis of sex in admission or recruitment in violation of §§ 1253.300 through 1253.310.
(a) Submission of plans. An institution to which § 1253.225 applies and that is composed of more than one administratively separate unit may submit either a single transition plan applicable to all such units, or a separate transition plan applicable to each such unit.
(b) Content of plans. In order to be approved by the Secretary of Education, a transition plan shall:
(1) State the name, address, and Federal Interagency Committee on Education Code of the educational institution submitting such plan, the administratively separate units to which the plan is applicable, and the name, address, and telephone number of the person to whom questions concerning the plan may be addressed. The person who submits the plan shall be the chief administrator or president of the institution, or another individual legally authorized to bind the institution to all actions set forth in the plan.
(2) State whether the educational institution or administratively separate unit admits students of both sexes as regular students and, if so, when it began to do so.
(3) Identify and describe with respect to the educational institution or administratively separate unit any obstacles to admitting students without discrimination on the basis of sex.
(4) Describe in detail the steps necessary to eliminate as soon as practicable each obstacle so identified and indicate the schedule for taking these steps and the individual directly responsible for their implementation.
(5) Include estimates of the number of students, by sex, expected to apply for, be admitted to, and enter each class during the period covered by the plan.
(c) Nondiscrimination. No policy or practice of a recipient to which § 1253.225 applies shall result in treatment of applicants to or students of such recipient in violation of §§ 1253.300 through 1253.310 unless such treatment is necessitated by an obstacle identified in paragraph (b)(3) of this section and a schedule for eliminating that obstacle has been provided as required by paragraph (b)(4) of this section.
(d) Effects of past exclusion. To overcome the effects of past exclusion of students on the basis of sex, each educational institution to which § 1253.225 applies shall include in its transition plan, and shall implement, specific steps designed to encourage individuals of the previously excluded sex to apply for admission to such institution. Such steps shall include instituting recruitment programs that emphasize the institution's commitment to enrolling students of the sex previously excluded.
(a) This section, which applies to all provisions of these Title IX regulations, addresses statutory amendments to Title IX.
(b) These Title IX regulations shall not apply to or preclude:
(1) Any program or activity of the American Legion undertaken in connection with the organization or operation of any Boys State conference, Boys Nation conference, Girls State conference, or Girls Nation conference;
(2) Any program or activity of a secondary school or educational institution specifically for:
(i) The promotion of any Boys State conference, Boys Nation conference, Girls State conference, or Girls Nation conference; or
(ii) The selection of students to attend any such conference;
(3) Father-son or mother-daughter activities at an educational institution or in an education program or activity, but if such activities are provided for students of one sex, opportunities for reasonably comparable activities shall be provided to students of the other sex;
(4) Any scholarship or other financial assistance awarded by an institution of higher education to an individual because such individual has received such award in a single-sex pageant based upon a combination of factors related to the individual's personal appearance, poise, and talent. The pageant, however, must comply with other nondiscrimination provisions of Federal law.
(c) Program or activity or program means:
(1) All of the operations of any entity described in paragraphs (c)(1)(i) through (iv) of this section, any part of which is extended Federal financial assistance:
(i)(A) A department, agency, special purpose district, or other instrumentality of a State or of a local government; or
(B) The entity of such State or local government that distributes such assistance and each such department or agency (and each other State or local government entity) to which the assistance is extended, in the case of assistance to a State or local government;
(ii)(A) A college, university, or other postsecondary institution, or a public system of higher education; or
(B) A local educational agency (as defined in section 8801 of title 20), system of vocational education, or other school system;
(iii)(A) An entire corporation, partnership, or other private organization, or an entire sole proprietorship—
(1) If assistance is extended to such corporation, partnership, private organization, or sole proprietorship as a whole; or
(2) Which is principally engaged in the business of providing education, health care, housing, social services, or parks and recreation; or
(B) The entire plant or other comparable, geographically separate facility to which Federal financial assistance is extended, in the case of any other corporation, partnership, private organization, or sole proprietorship; or
(iv) Any other entity that is established by two or more of the entities described in paragraphs (c)(1)(i), (ii), or (iii) of this section.
(2)(i) Program or activity does not include any operation of an entity that is controlled by a religious organization if the application of 20 U.S.C. 1681 to such operation would not be consistent with the religious tenets of such organization.
(ii) For example, all of the operations of a college, university, or other postsecondary institution, including but not limited to traditional educational operations, faculty and student housing, campus shuttle bus service, campus restaurants, the bookstore, and other commercial activities are part of a “program or activity” subject to these Title IX regulations if the college, university, or other institution receives Federal financial assistance.
(d)(1) Nothing in these Title IX regulations shall be construed to require or prohibit any person, or public or private entity, to provide or pay for any benefit or service, including the use of facilities, related to an abortion. Medical procedures, benefits, services, and the use of facilities, necessary to save the life of a pregnant woman or to address complications related to an abortion are not subject to this section.
(2) Nothing in this section shall be construed to permit a penalty to be imposed on any person or individual because such person or individual is seeking or has received any benefit or service related to a legal abortion. Accordingly, subject to paragraph (d)(1) of this section, no person shall be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any academic, extracurricular, research, occupational training, employment, or other educational program or activity operated by a recipient that receives Federal financial assistance because such individual has sought or received, or is seeking, a legal abortion, or any benefit or service related to a legal abortion.
(a) General. No person shall, on the basis of sex, be denied admission, or be subjected to discrimination in admission, by any recipient to which §§ 1253.300 through §§ 1253.310 apply, except as provided in §§ 1253.225 and §§ 1253.230.
(b) Specific prohibitions. (1) In determining whether a person satisfies any policy or criterion for admission, or in making any offer of admission, a recipient to which §§ 1253.300 through 1253.310 apply shall not:
(i) Give preference to one person over another on the basis of sex, by ranking applicants separately on such basis, or otherwise;
(ii) Apply numerical limitations upon the number or proportion of persons of either sex who may be admitted; or
(iii) Otherwise treat one individual differently from another on the basis of sex.
(2) A recipient shall not administer or operate any test or other criterion for admission that has a disproportionately adverse effect on persons on the basis of sex unless the use of such test or criterion is shown to predict validly success in the education program or activity in question and alternative tests or criteria that do not have such a disproportionately adverse effect are shown to be unavailable.
(c) Prohibitions relating to marital or parental status. In determining whether a person satisfies any policy or criterion for admission, or in making any offer of admission, a recipient to which §§ 1253.300 through 1253.310 apply:
(1) Shall not apply any rule concerning the actual or potential parental, family, or marital status of a student or applicant that treats persons differently on the basis of sex;
(2) Shall not discriminate against or exclude any person on the basis of pregnancy, childbirth, termination of pregnancy, or recovery therefrom, or establish or follow any rule or practice that so discriminates or excludes;
(3) Subject to § 1253.235(d), shall treat disabilities related to pregnancy, childbirth, termination of pregnancy, or recovery therefrom in the same manner and under the same policies as any other temporary disability or physical condition; and
(4) Shall not make pre-admission inquiry as to the marital status of an applicant for admission, including whether such applicant is “Miss” or “Mrs.” A recipient may make pre-admission inquiry as to the sex of an applicant for admission, but only if such inquiry is made equally of such applicants of both sexes and if the results of such inquiry are not used in connection with discrimination prohibited by these Title IX regulations.
A recipient to which §§ 1253.300 through 1253.310 apply shall not give preference to applicants for admission, on the basis of attendance at any educational institution or other school or entity that admits as students only or predominantly members of one sex, if the giving of such preference has the effect of discriminating on the basis of sex in violation of §§ 1253.300 through 1253.310.
(a) Nondiscriminatory recruitment. A recipient to which §§ 1253.300 through 1253.310 apply shall not discriminate on the basis of sex in the recruitment and admission of students. A recipient may be required to undertake additional recruitment efforts for one sex as remedial action pursuant to § 1253.110(a), and may choose to undertake such efforts as affirmative action pursuant to § 1253.110(b).
(b) Recruitment at certain institutions. A recipient to which §§ 1253.300 through 1253.310 apply shall not recruit primarily or exclusively at educational institutions, schools, or entities that admit as students only or predominantly members of one sex, if such actions have the effect of discriminating on the basis of sex in violation of §§ 1253.300 through 1253.310.
(a) General. Except as provided elsewhere in these Title IX regulations, no person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any academic, extracurricular, research, occupational training, or other education program or activity operated by a recipient that receives Federal financial assistance. Sections 1253.400 through 1253.455 do not apply to actions of a recipient in connection with admission of its students to an education program or activity of a recipient to which §§ 1253.300 through 1253.310 do not apply, or an entity, not a recipient, to which §§ 1253.300 through 1253.310 would not apply if the entity were a recipient.
(b) Specific prohibitions. Except as provided in §§ 1253.400 through 1253.455, in providing any aid, benefit, or service to a student, a recipient shall not, on the basis of sex:
(1) Treat one person differently from another in determining whether such person satisfies any requirement or condition for the provision of such aid, benefit, or service;
(2) Provide different aid, benefits, or services or provide aid, benefits, or services in a different manner;
(3) Deny any person any such aid, benefit, or service;
(4) Subject any person to separate or different rules of behavior, sanctions, or other treatment;
(5) Apply any rule concerning the domicile or residence of a student or applicant, including eligibility for in-state fees and tuition;
(6) Aid or perpetuate discrimination against any person by providing significant assistance to any agency, organization, or person that discriminates on the basis of sex in providing any aid, benefit, or service to students or employees;
(7) Otherwise limit any person in the enjoyment of any right, privilege, advantage, or opportunity.
(c) Assistance administered by a recipient educational institution to study at a foreign institution. A recipient educational institution may administer or assist in the administration of scholarships, fellowships, or other awards established by foreign or domestic wills, trusts, or similar legal instruments, or by acts of foreign governments and restricted to members of one sex, that are designed to provide opportunities to study abroad, and that are awarded to students who are already matriculating at or who are graduates of the recipient institution; Provided, that a recipient educational institution that administers or assists in the administration of such scholarships, fellowships, or other awards that are restricted to members of one sex provides, or otherwise makes available, reasonable opportunities for similar studies for members of the other sex. Such opportunities may be derived from either domestic or foreign sources.
(d) Aids, benefits or services not provided by recipient. (1) This paragraph (d) applies to any recipient that requires participation by any applicant, student, or employee in any education program or activity not operated wholly by such recipient, or that facilitates, permits, or considers such participation as part of or equivalent to an education program or activity operated by such recipient, including participation in educational consortia and cooperative employment and student-teaching assignments.
(2) Such recipient:
(i) Shall develop and implement a procedure designed to assure itself that the operator or sponsor of such other education program or activity takes no action affecting any applicant, student, or employee of such recipient that these Title IX regulations would prohibit such recipient from taking; and
(ii) Shall not facilitate, require, permit, or consider such participation if such action occurs.
(a) Generally. A recipient shall not, on the basis of sex, apply different rules or regulations, impose different fees or requirements, or offer different services or benefits related to housing, except as provided in this section (including housing provided only to married students).
(b) Housing provided by recipient. (1) A recipient may provide separate housing on the basis of sex.
(2) Housing provided by a recipient to students of one sex, when compared to that provided to students of the other sex, shall be as a whole:
(i) Proportionate in quantity to the number of students of that sex applying for such housing; and
(ii) Comparable in quality and cost to the student.
(c) Other housing. (1) A recipient shall not, on the basis of sex, administer different policies or practices concerning occupancy by its students of housing other than that provided by such recipient.
(2)(i) A recipient which, through solicitation, listing, approval of housing, or otherwise, assists any agency, organization, or person in making housing available to any of its students, shall take such reasonable action as may be necessary to assure itself that such housing as is provided to students of one sex, when compared to that provided to students of the other sex, is as a whole:
(A) Proportionate in quantity; and
(B) Comparable in quality and cost to the student.
(ii) A recipient may render such assistance to any agency, organization, or person that provides all or part of such housing to students of only one sex.
A recipient may provide separate toilet, locker room, and shower facilities on the basis of sex, but such facilities provided for students of one sex shall be comparable to such facilities provided for students of the other sex.
(a) A recipient shall not provide any course or otherwise carry out any of its education program or activity separately on the basis of sex, or require or refuse participation therein by any of its students on such basis, including health, physical education, industrial, business, vocational, technical, home economics, music, and adult education courses.
(b)(1) With respect to classes and activities in physical education at the elementary school level, the recipient shall comply fully with this section as expeditiously as possible but in no event later than one year from September 29, 2000. With respect to physical education classes and activities at the secondary and post-secondary levels, the recipient shall comply fully with this section as expeditiously as possible but in no event later than three years from September 29, 2000.
(2) This section does not prohibit grouping of students in physical education classes and activities by ability as assessed by objective standards of individual performance developed and applied without regard to sex.
(3) This section does not prohibit separation of students by sex within physical education classes or activities during participation in wrestling, boxing, rugby, ice hockey, football, basketball, and other sports the purpose or major activity of which involves bodily contact.
(4) Where use of a single standard of measuring skill or progress in a physical education class has an adverse effect on members of one sex, the recipient shall use appropriate standards that do not have such effect.
(5) Portions of classes in elementary and secondary schools, or portions of education programs or activities, that deal exclusively with human sexuality may be conducted in separate sessions for boys and girls.
(6) Recipients may make requirements based on vocal range or quality that may result in a chorus or choruses of one or predominantly one sex.
A recipient that is a local educational agency shall not, on the basis of sex, exclude any person from admission to:
(a) Any institution of vocational education operated by such recipient; or
(b) Any other school or educational unit operated by such recipient, unless such recipient otherwise makes available to such person, pursuant to the same policies and criteria of admission, courses, services, and facilities comparable to each course, service, and facility offered in or through such schools.
(a) Counseling. A recipient shall not discriminate against any person on the basis of sex in the counseling or guidance of students or applicants for admission.
(b) Use of appraisal and counseling materials. A recipient that uses testing or other materials for appraising or counseling students shall not use different materials for students on the basis of their sex or use materials that permit or require different treatment of students on such basis unless such different materials cover the same occupations and interest areas and the use of such different materials is shown to be essential to eliminate sex bias. Recipients shall develop and use internal procedures for ensuring that such materials do not discriminate on the basis of sex. Where the use of a counseling test or other instrument results in a substantially disproportionate number of members of one sex in any particular course of study or classification, the recipient shall take such action as is necessary to assure itself that such disproportion is not the result of discrimination in the instrument or its application.
(c) Disproportion in classes. Where a recipient finds that a particular class contains a substantially disproportionate number of individuals of one sex, the recipient shall take such action as is necessary to assure itself that such disproportion is not the result of discrimination on the basis of sex in counseling or appraisal materials or by counselors.
(a) General. Except as provided in paragraphs (b) and (c) of this section, in providing financial assistance to any of its students, a recipient shall not:
(1) On the basis of sex, provide different amounts or types of such assistance, limit eligibility for such assistance that is of any particular type or source, apply different criteria, or otherwise discriminate;
(2) Through solicitation, listing, approval, provision of facilities, or other services, assist any foundation, trust, agency, organization, or person that provides assistance to any of such recipient's students in a manner that discriminates on the basis of sex; or
(3) Apply any rule or assist in application of any rule concerning eligibility for such assistance that treats persons of one sex differently from persons of the other sex with regard to marital or parental status.
(b) Financial aid established by certain legal instruments. (1) A recipient may administer or assist in the administration of scholarships, fellowships, or other forms of financial assistance established pursuant to domestic or foreign wills, trusts, bequests, or similar legal instruments or by acts of a foreign government that require that awards be made to members of a particular sex specified therein; Provided, that the overall effect of the award of such sex-restricted scholarships, fellowships, and other forms of financial assistance does not discriminate on the basis of sex.
(2) To ensure nondiscriminatory awards of assistance as required in paragraph (b)(1) of this section, recipients shall develop and use procedures under which:
(i) Students are selected for award of financial assistance on the basis of nondiscriminatory criteria and not on the basis of availability of funds restricted to members of a particular sex;
(ii) An appropriate sex-restricted scholarship, fellowship, or other form of financial assistance is allocated to each student selected under paragraph (b)(2)(i) of this section; and
(iii) No student is denied the award for which he or she was selected under paragraph (b)(2)(i) of this section because of the absence of a scholarship, fellowship, or other form of financial assistance designated for a member of that student's sex.
(c) Athletic scholarships. (1) To the extent that a recipient awards athletic scholarships or grants-in-aid, it must provide reasonable opportunities for such awards for members of each sex in proportion to the number of students of each sex participating in interscholastic or intercollegiate athletics.
(2) A recipient may provide separate athletic scholarships or grants-in-aid for members of each sex as part of separate athletic teams for members of each sex to the extent consistent with this paragraph (c) and § 1253.450.
(a) Assistance by recipient in making available outside employment. A recipient that assists any agency, organization, or person in making employment available to any of its students:
(1) Shall assure itself that such employment is made available without discrimination on the basis of sex; and
(2) Shall not render such services to any agency, organization, or person that discriminates on the basis of sex in its employment practices.
(b) Employment of students by recipients. A recipient that employs any of its students shall not do so in a manner that violates §§ 1253.500 through 1253.550.
Subject to § 1253.235(d), in providing a medical, hospital, accident, or life insurance benefit, service, policy, or plan to any of its students, a recipient shall not discriminate on the basis of sex, or provide such benefit, service, policy, or plan in a manner that would violate §§ 1253.500 through 1253.550 if it were provided to employees of the recipient. This section shall not prohibit a recipient from providing any benefit or service that may be used by a different proportion of students of one sex than of the other, including family planning services. However, any recipient that provides full coverage health service shall provide gynecological care.
(a) Status generally. A recipient shall not apply any rule concerning a student's actual or potential parental, family, or marital status that treats students differently on the basis of sex.
(b) Pregnancy and related conditions. (1) A recipient shall not discriminate against any student, or exclude any student from its education program or activity, including any class or extracurricular activity, on the basis of such student's pregnancy, childbirth, false pregnancy, termination of pregnancy, or recovery therefrom, unless the student requests voluntarily to participate in a separate portion of the program or activity of the recipient.
(2) A recipient may require such a student to obtain the certification of a physician that the student is physically and emotionally able to continue participation as long as such a certification is required of all students for other physical or emotional conditions requiring the attention of a physician.
(3) A recipient that operates a portion of its education program or activity separately for pregnant students, admittance to which is completely voluntary on the part of the student as provided in paragraph (b)(1) of this section, shall ensure that the separate portion is comparable to that offered to non-pregnant students.
(4) Subject to § 1253.235(d), a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy and recovery therefrom in the same manner and under the same policies as any other temporary disability with respect to any medical or hospital benefit, service, plan, or policy that such recipient administers, operates, offers, or participates in with respect to students admitted to the recipient's educational program or activity.
(5) In the case of a recipient that does not maintain a leave policy for its students, or in the case of a student who does not otherwise qualify for leave under such a policy, a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, and recovery therefrom as a justification for a leave of absence for as long a period of time as is deemed medically necessary by the student's physician, at the conclusion of which the student shall be reinstated to the status that she held when the leave began.
(a) General. No person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, be treated differently from another person, or otherwise be discriminated against in any interscholastic, intercollegiate, club, or intramural athletics offered by a recipient, and no recipient shall provide any such athletics separately on such basis.
(b) Separate teams. Notwithstanding the requirements of paragraph (a) of this section, a recipient may operate or sponsor separate teams for members of each sex where selection for such teams is based upon competitive skill or the activity involved is a contact sport. However, where a recipient operates or sponsors a team in a particular sport for members of one sex but operates or sponsors no such team for members of the other sex, and athletic opportunities for members of that sex have previously been limited, members of the excluded sex must be allowed to try out for the team offered unless the sport involved is a contact sport. For the purposes of these Title IX regulations, contact sports include boxing, wrestling, rugby, ice hockey, football, basketball, and other sports the purpose or major activity of which involves bodily contact.
(c) Equal opportunity. (1) A recipient that operates or sponsors interscholastic, intercollegiate, club, or intramural athletics shall provide equal athletic opportunity for members of both sexes. In determining whether equal opportunities are available, the designated agency official will consider, among other factors:
(i) Whether the selection of sports and levels of competition effectively accommodate the interests and abilities of members of both sexes;
(ii) The provision of equipment and supplies;
(iii) Scheduling of games and practice time;
(iv) Travel and per diem allowance;
(v) Opportunity to receive coaching and academic tutoring;
(vi) Assignment and compensation of coaches and tutors;
(vii) Provision of locker rooms, practice, and competitive facilities;
(viii) Provision of medical and training facilities and services;
(ix) Provision of housing and dining facilities and services;
(x) Publicity.
(2) For purposes of paragraph (c)(1) of this section, unequal aggregate expenditures for members of each sex or unequal expenditures for male and female teams if a recipient operates or sponsors separate teams will not constitute noncompliance with this section, but the designated agency official may consider the failure to provide necessary funds for teams for one sex in assessing equality of opportunity for members of each sex.
(d) Adjustment period. A recipient that operates or sponsors interscholastic, intercollegiate, club, or intramural athletics at the elementary school level shall comply fully with this section as expeditiously as possible but in no event later than one year from September 29, 2000. A recipient that operates or sponsors interscholastic, intercollegiate, club, or intramural athletics at the secondary or postsecondary school level shall comply fully with this section as expeditiously as possible but in no event later than three years from September 29, 2000.
Nothing in these Title IX regulations shall be interpreted as requiring or prohibiting or abridging in any way the use of particular textbooks or curricular materials.
(a) General. (1) No person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination in employment, or recruitment, consideration, or selection therefor, whether full-time or part-time, under any education program or activity operated by a recipient that receives Federal financial assistance.
(2) A recipient shall make all employment decisions in any education program or activity operated by such recipient in a nondiscriminatory manner and shall not limit, segregate, or classify applicants or employees in any way that could adversely affect any applicant's or employee's employment opportunities or status because of sex.
(3) A recipient shall not enter into any contractual or other relationship which directly or indirectly has the effect of subjecting employees or students to discrimination prohibited by §§ 1253.500 through 1253.550, including relationships with employment and referral agencies, with labor unions, and with organizations providing or administering fringe benefits to employees of the recipient.
(4) A recipient shall not grant preferences to applicants for employment on the basis of attendance at any educational institution or entity that admits as students only or predominantly members of one sex, if the giving of such preferences has the effect of discriminating on the basis of sex in violation of these Title IX regulations.
(b) Application. The provisions of §§ 1253.500 through 1253.550 apply to:
(1) Recruitment, advertising, and the process of application for employment;
(2) Hiring, upgrading, promotion, consideration for and award of tenure, demotion, transfer, layoff, termination, application of nepotism policies, right of return from layoff, and rehiring;
(3) Rates of pay or any other form of compensation, and changes in compensation;
(4) Job assignments, classifications, and structure, including position descriptions, lines of progression, and seniority lists;
(5) The terms of any collective bargaining agreement;
(6) Granting and return from leaves of absence, leave for pregnancy, childbirth, false pregnancy, termination of pregnancy, leave for persons of either sex to care for children or dependents, or any other leave;
(7) Fringe benefits available by virtue of employment, whether or not administered by the recipient;
(8) Selection and financial support for training, including apprenticeship, professional meetings, conferences, and other related activities, selection for tuition assistance, selection for sabbaticals and leaves of absence to pursue training;
(9) Employer-sponsored activities, including social or recreational programs; and
(10) Any other term, condition, or privilege of employment.
A recipient shall not administer or operate any test or other criterion for any employment opportunity that has a disproportionately adverse effect on persons on the basis of sex unless:
(a) Use of such test or other criterion is shown to predict validly successful performance in the position in question; and
(b) Alternative tests or criteria for such purpose, which do not have such disproportionately adverse effect, are shown to be unavailable.
(a) Nondiscriminatory recruitment and hiring. A recipient shall not discriminate on the basis of sex in the recruitment and hiring of employees. Where a recipient has been found to be presently discriminating on the basis of sex in the recruitment or hiring of employees, or has been found to have so discriminated in the past, the recipient shall recruit members of the sex so discriminated against so as to overcome the effects of such past or present discrimination.
(b) Recruitment patterns. A recipient shall not recruit primarily or exclusively at entities that furnish as applicants only or predominantly members of one sex if such actions have the effect of discriminating on the basis of sex in violation of §§ 1253.500 through 1253.550.
A recipient shall not make or enforce any policy or practice that, on the basis of sex:
(a) Makes distinctions in rates of pay or other compensation;
(b) Results in the payment of wages to employees of one sex at a rate less than that paid to employees of the opposite sex for equal work on jobs the performance of which requires equal skill, effort, and responsibility, and that are performed under similar working conditions.
A recipient shall not:
(a) Classify a job as being for males or for females;
(b) Maintain or establish separate lines of progression, seniority lists, career ladders, or tenure systems based on sex; or
(c) Maintain or establish separate lines of progression, seniority systems, career ladders, or tenure systems for similar jobs, position descriptions, or job requirements that classify persons on the basis of sex, unless sex is a bona fide occupational qualification for the positions in question as set forth in § 1253.550.
(a) “Fringe benefits” defined. For purposes of these Title IX regulations, fringe benefits means: Any medical, hospital, accident, life insurance, or retirement benefit, service, policy or plan, any profit-sharing or bonus plan, leave, and any other benefit or service of employment not subject to the provision of § 1253.515.
(b) Prohibitions. A recipient shall not:
(1) Discriminate on the basis of sex with regard to making fringe benefits available to employees or make fringe benefits available to spouses, families, or dependents of employees differently upon the basis of the employee's sex;
(2) Administer, operate, offer, or participate in a fringe benefit plan that does not provide for equal periodic benefits for members of each sex and for equal contributions to the plan by such recipient for members of each sex; or
(3) Administer, operate, offer, or participate in a pension or retirement plan that establishes different optional or compulsory retirement ages based on sex or that otherwise discriminates in benefits on the basis of sex.
(a) General. A recipient shall not apply any policy or take any employment action:
(1) Concerning the potential marital, parental, or family status of an employee or applicant for employment that treats persons differently on the basis of sex; or
(2) Which is based upon whether an employee or applicant for employment is the head of household or principal wage earner in such employee's or applicant's family unit.
(b) Pregnancy. A recipient shall not discriminate against or exclude from employment any employee or applicant for employment on the basis of pregnancy, childbirth, false pregnancy, termination of pregnancy, or recovery therefrom.
(c) Pregnancy as a temporary disability. Subject to § 1253.235(d), a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, recovery therefrom, and any temporary disability resulting therefrom as any other temporary disability for all job-related purposes, including commencement, duration, and extensions of leave, payment of disability income, accrual of seniority and any other benefit or service, and reinstatement, and under any fringe benefit offered to employees by virtue of employment.
(d) Pregnancy leave. In the case of a recipient that does not maintain a leave policy for its employees, or in the case of an employee with insufficient leave or accrued employment time to qualify for leave under such a policy, a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, and recovery therefrom as a justification for a leave of absence without pay for a reasonable period of time, at the conclusion of which the employee shall be reinstated to the status that she held when the leave began or to a comparable position, without decrease in rate of compensation or loss of promotional opportunities, or any other right or privilege of employment.
(a) Prohibitory requirements. The obligation to comply with §§ 1253.500 through 1253.550 is not obviated or alleviated by the existence of any State or local law or other requirement that imposes prohibitions or limits upon employment of members of one sex that are not imposed upon members of the other sex.
(b) Benefits. A recipient that provides any compensation, service, or benefit to members of one sex pursuant to a State or local law or other requirement shall provide the same compensation, service, or benefit to members of the other sex.
A recipient shall not in any advertising related to employment indicate preference, limitation, specification, or discrimination based on sex unless sex is a bona fide occupational qualification for the particular job in question.
(a) Marital status. A recipient shall not make pre-employment inquiry as to the marital status of an applicant for employment, including whether such applicant is “Miss” or “Mrs.”
(b) Sex. A recipient may make pre-employment inquiry as to the sex of an applicant for employment, but only if such inquiry is made equally of such applicants of both sexes and if the results of such inquiry are not used in connection with discrimination prohibited by these Title IX regulations.
A recipient may take action otherwise prohibited by §§ 1253.500 through 1253.550 provided it is shown that sex is a bona fide occupational qualification for that action, such that consideration of sex with regard to such action is essential to successful operation of the employment function concerned. A recipient shall not take action pursuant to this section that is based upon alleged comparative employment characteristics or stereotyped characterizations of one or the other sex, or upon preference based on sex of the recipient, employees, students, or other persons, but nothing contained in this section shall prevent a recipient from considering an employee's sex in relation to employment in a locker room or toilet facility used only by members of one sex.
Within 60 days of September 29, 2000, each Federal agency that awards Federal financial assistance shall publish in the
The investigative, compliance, and enforcement procedural provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (“Title VI”) are hereby adopted and applied to these Title IX regulations. These procedures may be found at 14 CFR 1250.105 through 1250.110.
(a) This part 1259 establishes the policies, responsibilities, and procedures relative to the National Space Grant College and Fellowship Program established by Title II of the National Aeronautics and Space Administration (NASA) Authorization Act of 1988 (Pub. L. 100-147, 101 Stat. 869-875, now codified at 51 U.S.C. 40301-40311 as a result of Sec. 3, Pub. L. 111-314, 124 Stat. 3382). This statute authorizes the Administrator of NASA, in order to carry out the purposes of the National Space Grant College and Fellowship Act (the Act), to accept conditional or unconditional gifts and donations; to accept and use funds from other Federal departments, agencies, and instrumentalities; to make awards with respect to such needs or problems; and to designate Space Grant colleges. It further directs the Administrator to establish a graduate fellowship program to provide educational assistance to qualified individuals in fields related to space and to establish an independent committee known as the Space Grant Review Panel to review and advise the Administrator with respect to Space Grant programs.
(b) The regulations of this part do not apply to awards made by NASA under any other authority.
For the purposes of this part, the following definitions shall apply:
(a) Field related to space means any academic discipline or field of study (including the physical, natural and biological sciences, and engineering, space technology, education, economics, sociology, communications, planning, law, international affairs and public administration) which is concerned with or likely to improve the understanding, assessment, development and utilization of space.
(b) Institution of higher education means any college or university in any state that:
(1) Admits as regular students only individuals who have a certificate of graduation or equivalent from a secondary school;
(2) Is legally authorized within such State to provide a program of education beyond secondary education;
(3) Provides an educational program for which a bachelor's degree or other higher degree is awarded;
(4) Is a public or other nonprofit institution; and
(5) Is accredited by a nationally recognized accrediting agency or association.
(c) National of the United States means a citizen of the United States or a native resident of a possession of the United States. It does not refer to or include a citizen of another country who has applied for United States citizenship.
(d) Panel means the Space Grant Review Panel established pursuant to section 210 of the Act.
(e) Person means any individual, public or private corporation, partnership or other association or entity (including any Space Grant college, Space Grant consortium, institution of higher education, institute or laboratory), or any State, political subdivision thereof, or agency or officer of a State or political subdivision thereof.
(f) Space means aeronautical and space activities which has the meaning given to such term in section 103(1) of the National Aeronautics and Space Act of 1958, as amended (51 U.S.C. 20103).
(g) Space Grant college means any public or private institution of higher education that is designated as such by the Administrator or designee pursuant to section 208 of the Act.
(h) Space Grant regional consortium means any association or other alliance that is designated as such by the Administrator or designee pursuant to section 208 of the Act.
(i) Space Grant program means any program which:
(1) Is administered by any Space Grant college, Space Grant regional consortium, institution of higher education, institute, laboratory or State or local agency; and
(2) Includes two or more projects involving education and one or more of the following activities in the fields related to space:
(i) Research;
(ii) Training; or
(iii) Advisory services.
(j) Space Grant program award means any award contemplated under section 206(a) of the Act.
(k) Special Space Grant program award means any award extended under section 206(b) of the Act.
(l) Specific national need grant means any award extended under section 207 of the Act.
(m) State means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands and any other territory or possession of the United States.
(n) State Space Grant cooperating institution means any institution of higher education in a state that does not have a designated Space Grant college, and that is named by the Administrator or designee to provide selected Space Grant program functions within that state.
(a) In compliance with the National Space Grant College and Fellowship Act (51 U.S.C. 40301-40311), it shall be NASA's purpose to:
(1) Increase the understanding, assessment, development, and utilization of space resources by promoting a strong educational base, responsive research and training activities, and broad and prompt dissemination of knowledge and techniques;
(2) Utilize the abilities and talents of the universities of the Nation to support and contribute to the exploration and development of the resources and opportunities afforded by the space environment;
(3) Encourage and support the existence of interdisciplinary and multidisciplinary programs of space research to engage in activities of training (including teacher education), research, and public service and to have cooperative programs with industry;
(4) Encourage and support the existence of consortia, composed of university and industry members, to advance the exploration and development of space resources in cases in which national objectives can be better fulfilled than through the programs of single universities;
(5) Encourage and support Federal funding for graduate fellowships in fields related to space;
(6) Support activities in colleges and universities generally for the purpose of creating and operating a network of institutional programs that will enhance achievements resulting from efforts under this Act; and
(7) Encourage cooperation and coordination among Federal agencies and Federal programs concerned with space issues.
(b) It shall be NASA's policy to designate Space Grant colleges, State Space Grant cooperating institutions, and Space Grant regional consortia and award fellowships, grants, contracts, and other transactions competitively in a merit-based review process.
(c) It shall be NASA's policy to designate and make awards without regard to age, color, disability, national origin, race, religion, or sex.
(a) Acceptance of gifts:
(1) In order to carry out the provisions of the Act, the Administrator is authorized to accept conditional or unconditional gifts or donations of services, money, or property; real, personal, or mixed; tangible or intangible. This authority is delegated to the Director, NASA Space Grant Program.
(2) The Administrator or designee may decline any gift or donation that the Administrator determines is not in accord with the purposes of the program. Also, conditional gifts or donations that are not in compliance with the Act or the implementing regulations shall be declined. NASA may use a reasonable amount from a gift or donation to cover any administrative costs associated with such gift or donation.
(b) Acceptance and use of funds from other Federal agencies:
(1) To carry out the provisions of the Act, the Administrator is authorized to accept and use funds from other Federal departments, agencies, and instrumentalities to pay for awards under this program. This authority is delegated to the Director, NASA Space Grant Program.
(2) The Administrator or designee may decline any such funds when the Administrator determines acceptance would not be in accord with the purposes of the program. NASA may use a reasonable amount from transferred Federal funds to cover any administrative costs associated with such transfer.
Awards are authorized to establish any Space Grant and/or fellowship program or project if such program or project will further the purposes of the Act.
(a) A regular Space Grant program or project award shall:
(1) Be funded by NASA in an amount not to exceed 66 percent of the total cost of the Space Grant award and/or fellowship program involved; or
(2) Be funded in an amount not to exceed 100 percent of its cost if the project award is funded by another Federal entity.
(b) A special Space Grant program or project award may be funded in an amount not to exceed 100 percent of the total cost of the special project if the Administrator or designee, the Director, NASA Space Grant Program, determines that:
(1) No reasonable means is available through which the applicant can meet the matching requirements for a regular Space Grant award under paragraph (a) of this section;
(2) The probable benefit of such program or project outweighs the public interest in such matching requirement; and
(3) The same or equivalent benefit cannot be obtained through the award of a regular Space Grant program or project award under paragraph (a) of this section or the award of a specific national need grant under section 207 of the Act.
(a) The opportunity to apply shall be announced by the Director, NASA Space Grant Program.
(b) The application procedures and evaluation guidelines for awards under this section will be included in the announcements of such programs.
(c) The applications will be reviewed by a peer review merit selection panel appointed by the Director, NASA Space Grant Program.
The Act at Public Law 100-147, Section 206(d)(2) and (3), states that:
(a) Funds for awards made under this section may not be used to:
(1) Purchase land;
(2) Purchase, construct, preserve or repair any building; or
(3) Purchase or construct any launch facility or launch vehicle.
(b) However, funds may be used to lease any of the items listed in paragraph (a) of this section provided prior written approval is obtained from the Administrator or designee.
National needs awards may be awarded by the Administrator or designee, Director, NASA Space Grant Program, to meet such needs or problems relating to aerospace identified by the Space Grant Review Panel, by NASA officials, or by any person. NASA may fund such awards in an amount not to exceed 100 percent of the total cost of the program or project.
National needs shall be identified by the Administrator who shall consider specific national needs and problems relating to space proposed by the Space Grant Review Panel, any NASA official or any person.
(a) The Administrator or designee has the authority to make awards to meet identified national needs.
(b) The Director, NASA Space Grant Program shall establish a competitive, merit-based review process to examine unsolicited national needs proposals.
The same limitations shall apply as are stated in § 1259.203.
(a) The Administrator may designate Space Grant colleges, Space Grant college consortia, and Space Grant regional consortia in order to establish Federal/university partnerships to promote a strong educational base in the space and aeronautical sciences. These designated colleges and consortia will provide leadership for a network of American colleges and universities, industry, and state and local governments in space-related fields. The Administrator hereby delegates this authority to the Director, NASA Space Grant Program.
(b) Designation of Space Grant colleges, Space Grant college consortia, and Space Grant regional consortia shall be for five years. Designation of Space Grant colleges and consortia may be continued for more than five years based on the results of a merit review at the beginning of the fifth year. A claim arising in the United States should be submitted to the Chief Counsel of the NASA installation whose activities are believed to have given rise to the claimed injury, loss, or death. If the identity of such installation is not known, or if the claim arose in a foreign country, the claim should be submitted to the General Counsel, Headquarters, National Aeronautics and Space Administration, Washington, DC 20546.
(c) Each designated Space Grant college or consortium will receive:
(1) A Space Grant award that requires a 100 percent match; and
(2) Funds for fellowships.
(d) Each Space Grant college or consortium will be funded annually.
Each designated Space Grant college or consortium shall:
(a) Designate a Space Grant Program Director;
(b) Establish a Space Grant Office;
(c) Administer a fellowship program;
(d) Develop and implement programs of public service, interdisciplinary space-related programs, advisory activities, and cooperation with industry, research laboratories, state and local governments, and other colleges and universities, particularly institutions in their state and/or region with significantly large enrollments of minority students who are under-represented in science and technology; and
(e) Provide non-Federal matching funds (exclusive of in-kind contributions) for the Space Grant program equal to those provided by NASA.
(a) Any institution of higher education may be designated a Space Grant college if the Administrator or designee, Director, NASA Space Grant Program, determines that it has a balanced program of research, education, training, and advisory services in fields related to space, as further defined in the program announcement.
(b) Any association or other alliance of two or more persons may be designated a Space Grant regional consortium, if the Administrator or designee, Director, National Space Grant Program, determines that such association or alliance:
(1) Is established for the purpose of sharing expertise, research, educational or training facilities and other capabilities in order to facilitate research, education, training and advisory services, in any field related to space;
(2) Will encourage and follow a regional approach to solving problems or meeting needs relating to space, in cooperation with other institutions of higher education, Space Grant program grantees and other persons in the region.
(c) The opportunity to apply for designation shall be announced by the Director, NASA Space Grant Program. The application procedures and evaluation guidelines for designation shall be included in the designation announcement.
(d) Designation will be decided by a competitive merit review of the program proposal measured against the purposes of the Act and including, but not limited to, proposed linkages with other colleges and universities (particularly institutions with significant enrollments of under-represented minority groups), public service and collaboration with space-related industry.
The same limitations shall apply as stated in § 1259.203.
The Administrator or designee, Director, NASA Space Grant Program, may, for cause, after an opportunity for a hearing before a Federal administrative judge appointed by the Deputy Administrator, suspend or terminate the Space Grant designation of any institution or consortium.
The Space Grant fellowship program will provide educational and training assistance to qualified individuals at the graduate level in fields related to space. Awards will be made to institutions of higher education for fellowships. The student recipients shall be referred to as NASA Space Grant Fellows.
(a) All institutions that receive Space Grant fellowships shall use the awards to increase the pool of graduate students in fields related to space.
(b) The overall fellowship program shall be cognizant of the importance of achieving institutional and geographical diversity.
(a) All applicants for designation as Space Grant colleges and consortia shall apply for Space Grant fellowships.
(b) Applicants for Space Grant program or project grants (under § 1259.200) and for national needs grants (under § 1259.300) may also apply for Space Grant fellowships.
(c) There shall be a merit review selection for Space Grant fellowship awards.
(a) Fellowships shall be awarded only to Nationals of the United States.
(b) Any students supported under this fellowship program shall not be funded for more than four years unless the Director, NASA Space Grant Program, makes an exception in writing.
An independent committee, the Space Grant Review Panel (Panel), which is not subject to the Federal Advisory Committee Act, shall be established to advise the Administrator with respect to Space Grant program and project awards, the Space Grant fellowship program, and the designation and operation of Space Grant colleges and consortia. A majority of the voting members shall be individuals who, by reason of their knowledge, experience, or training, are especially qualified in one or more of the fields related to space. The other voting members shall be individuals who, by reason of their knowledge, experience, or training, are especially qualified in, or representative of, education, extension services, state government, industry, economics, planning, or any other activity related to the purposes of the Space Grant program.
(a) The Panel, to be located at NASA Headquarters in Washington, DC, will be composed of ten (10) voting members who are not current NASA employees.
(b) The Panel shall include four representatives from Federal departments, agencies, or entities that have an interest in space programs or science and education, as well as six representatives from non-Federal entities.
(c) The non-Federal representatives shall include two persons who are directly involved with the Space Grant program at a Space Grant college or consortium, one person who is involved with the Space Grant program at a university that is not a designated Space Grant college, a university president or chancellor, one representative from a space-related industry, and the last person to be from whatever field the Administrator determines to be of greatest concern.
(d) The Panel members shall be appointed by the Administrator or designee.
(e) The relevant organizations and associations in aerospace and science education fields will be asked to provide three names for each position on the panel. The Administrator shall consider them, but not be limited to them, in the selection process.
(f) The Administrator or designee, Director, NASA Space Grant Program, shall select a Chair and a Vice Chair for the Panel. The Vice Chair shall act as Chair in the absence or incapacity of the Chair.
(g) The Administrator or designee, Director, NASA Space Grant Program, may select NASA officials to serve as ex officio, non-voting members of the Panel.
Any member of the Panel who has a personal or financial interest in an issue for consideration before the Panel shall abstain from all discussion and voting on such issue.
(a) The Panel shall advise the Administrator and designee, Director, NASA Space Grant Program, with respect to:
(1) Applications or proposals for, and performance under, awards made pursuant to sections 206 and 207 of Title II of the Act;
(2) The Space Grant fellowship program;
(3) The designation and operation of Space Grant colleges and Space Grant regional consortia, and the operation of Space Grant and fellowship programs;
(4) The formulation and application of the planning guidelines and priorities pursuant to section 205 (a) and (b)(1) of Title II of the Act; and
(5) Such other matters as the Administrator refers to the Panel for review and advice.
(b) The Panel shall meet biannually and at any other time at the call of the Chair or upon a request from a majority of the voting members or at the call of the Administrator.
(c) The Panel may exercise such powers as reasonably necessary in order to carry out the duties enumerated in paragraph (a) of this section.
(d) The Director, NASA Space Grant Program, shall appoint an Executive Secretary who shall perform administrative duties for the Panel.
(e) Federal members of the Panel will have their agencies reimbursed by NASA for any travel costs and per diem expenses required to attend Panel meetings.
(f) Nonfederal members of the Panel will be reimbursed by NASA for travel costs and per diem expenses required to attend Panel meetings.
This subpart prescribes regulations governing the settlement of claims against the National Aeronautics and Space Administration (NASA) for damage to, or loss of, personal property incident to service with NASA.
(a) A claim for damage to, or loss of, personal property incident to service with NASA may be made only by:
(1) An officer or employee of the National Aeronautics and Space Administration;
(2) A member of the uniformed services (Army, Navy, Air Force, Marine Corps, Coast Guard, Coast and Geodetic Survey and Public Health Service) assigned to duty with or under the jurisdiction of NASA;
(3) The authorized agent or legal representative of a person named in paragraph (a)(1) or (2) of this section; or
(4) The survivors of a person named in paragraph (a)(1) or (2) of this section in the following order of precedence: Spouse; children, father or mother, or both; or brothers or sisters, or both. Claims by survivors may be allowed whether arising before, concurrently with, or after the decedent's death, if otherwise covered by this subpart.
(b) Employees of contractors with the United States and employees of nonappropriated fund activities are not included within the meaning of paragraph (a)(1) or (2) of this section.
(c) Claims may not be made by or for the benefit of a subrogee, assignee, conditional vendor, or other third party.
From October 1, 1982, to October 30, 1988, the maximum amount that may be paid under the Military Personnel and Civilian Employees' Claim Act of 1964, as amended (31 U.S.C. 3721) is $25,000, and on or after October 31, 1988, the maximum amount is $40,000 (Pub. L. 100-565, 102 Stat. 2833, October 31, 1988).
(a) A claim may be allowed only if the claim is presented in writing within 2 years after it accrues. For the purposes of this subpart, a claim accrues at the time of the accident or incident causing the loss or damage, or at such time as the loss or damage is or should have been discovered by the claimant through the exercise of due diligence.
(b) If a claim accrues in time of war or if an armed conflict intervenes within 2 years after it accrues, and if good cause is shown, the claim may be presented not later than 2 years after that cause ceases to exist, or 2 years after the war or armed conflict is terminated, whichever is earlier. The dates of beginning and ending of such an armed conflict are the dates established by concurrent resolution of the Congress or by a determination of the President.
(a) A claim may be allowed only if:
(1) The damage or loss was not caused wholly or partly by the negligent or wrongful act of the claimant, the claimant's agent, private employee, or family member (the standard to be applied is that of reasonable care under the circumstances);
(2) The possession of the property lost or damaged and the quantity is determined to have been reasonable, useful, or proper under the circumstances; and
(3) The claim is substantiated by proper and convincing evidence.
(b) Claims which are otherwise allowable under this subpart shall not be disallowed solely because the property was not in the possession of the claimant at the time of the damage or loss, or solely because the claimant was not the legal owner of the property for which the claim is made. For example, borrowed property may be the subject of a claim.
(c) Subject to the conditions in paragraph (a) of this section and the other provisions of this subpart, any claim for damage to, or loss of, personal property incident to service with NASA may be considered and allowed. The following are examples of the principal types of claims which may be allowed, but these examples are not exclusive and other types of claims may be allowed, unless excluded by § 1261.105.
(1) Property loss or damage in quarters or other authorized places. Claims may be allowed for damage to, or loss of, property arising from fire, flood, hurricane, other natural disaster, theft, or other unusual occurrence, while such property is located at:
(i) Quarters within the 50 States or the District of Columbia that were assigned to the claimant or provided by the United States;
(ii) Quarters outside the 50 States and the District of Columbia that were occupied by the claimant, whether or not they were assigned or provided by the United States, except when the claimant is a civilian employee who is a local inhabitant; or
(iii) Any warehouse, office working area, hospital, or other place authorized or apparently authorized for the reception or storage of property.
(2) Transportation or travel losses. Claims may be allowed for damage to, or loss of, property incident to transportation or storage pursuant to orders, or in connection with travel under orders, including property in the custody of a carrier, an agent or agency of the Government, or the claimant.
(3) House trailers. Claims may be allowed for damage to, or loss of, house trailers and their contents under the provisions of paragraph (c)(2) of this section.
(4) Negligence of the Government. Claims may be allowed for damage to, or loss of, property caused by the negligence or wrongful act or omission of any employee of the Government while acting within the scope of office or employment.
(5) Enemy action or public service. Claims may be allowed for damage to, or loss of, property as a direct consequence of:
(i) Enemy action or threat of action or combat, guerrilla, brigandage, or other belligerent activity, or unjust confiscation by a foreign power or its nationals;
(ii) Action by the claimant to quiet a civil disturbance or to alleviate a public disaster; or
(iii) Efforts by the claimant to save human life or Government property.
(6) Property used for benefit of the Government. Claims may be allowed for damage to, or loss of, property when used for the benefit of the Government at the request of, or with the knowledge and consent of, an authorized official.
(7) Clothing and accessories. Claims may be allowed for damage to, or loss of, clothing or accessories customarily worn on the person, such as eyeglasses, hearing aids or dentures.
Claims are not allowable for the following:
(a) Unassigned quarters in United States. Claims may not be allowed for property loss or damage in quarters occupied by the claimant within the 50 States or the District of Columbia that were not assigned to claimant or provided in kind by the United States.
(b) Money or currency. Claims may not be allowed for loss of money or currency, except when lost incident to fire, flood, hurricane, other natural disaster, or by theft from quarters (as limited by paragraph (a)). Reimbursement for loss of money or currency is limited to an amount which is determined reasonable to have been in the claimant's possession at the time of the loss.
(c) Government property. Claims may not be allowed for property owned by the United States, except that for which the claimant is financially responsible to any agency of the Government other than NASA.
(d) Business property. Claims may not be allowed for property used in a private business enterprise.
(e) Articles of extraordinary value. Claims may not be allowed for valuable articles, such as cameras, watches, jewelry, furs; or other articles of extraordinary value, when shipped with household goods or as unaccompanied baggage (shipment includes storage). This prohibition does not apply to articles in the personal custody of the claimant or articles properly checked: Provided, That reasonable protection or security measures have been taken by claimant.
(f) Unserviceable property. Claims may not be allowed for worn-out unserviceable property.
(g) Illegal possession. Claims may not be allowed for property acquired, possessed, or transported in violation of law or in violation of applicable regulations or directives.
(h) Estimate fees. Claims may not include fees paid to obtain estimates or repair, except when it is clear that an estimate could not have been obtained without paying a fee.
(i) Automobiles and other vehicles. Claims may not be allowed for damage to, or loss of, automobiles and other vehicles unless:
(1) The vehicles were required to be used for official Government business (official Government business, as used here, does not include travel between quarters and place of duty, parking of vehicles incident to such travel, or use of vehicles for the convenience of the owner); or
(2) Shipment of motor vehicles to, from, or between overseas areas was being furnished or provided by the Government; or
(3) The damage or loss was caused by the negligent or wrongful act or omission of any employee of the Government acting within the scope of office or employment.
All claims shall be submitted in duplicate to the Administrator or designee on NASA Form 1204, “Employee's Claim for Damage to, or Loss of, Personal Property Incident to Service.”
(a) General. In addition to the information required on NASA Form 1204, and any other evidence required by the Administrator or designee, the claimant will furnish the following evidence when relevant:
(1) A corroborating statement from the claimant's supervisor or other person or persons having personal knowledge of the facts concerning the claim.
(2) A statement of any property recovered or replaced in kind.
(3) An itemized bill of repair for property which has been repaired, or one or more written estimates of the cost of repairs from competent persons if the property is repairable but has not been repaired.
(b) Specific classes of claims. Claims of the following types shall also be accompanied with specific and detailed evidence as indicated:
(1) Theft, burglary, etc. A statement describing in detail the location where the loss occurred and the facts and circumstances surrounding the loss, including supporting documentation, e.g., a police report.
(2) Transportation losses. A copy of orders authorizing the travel, transportation or shipment, or a certificate explaining the absence of such orders and stating their substance; all bills of lading and inventories of property shipped; and a statement indicating the condition of the property when turned over to the carrier and when received from the carrier.
(a) General. NASA is not an insurer and does not underwrite all personal property losses that an employee may sustain. Employees are encouraged to carry private insurance to the maximum extent practicable to avoid large losses or losses which may not be recoverable from NASA. The procedures set forth in this section are designed to enable the claimant to obtain the maximum amount of compensation for personal property loss or damage. Failure of the claimant to comply with these procedures may reduce or preclude payment of the claim.
(b) Demand on carrier, contractor, warehouse owner/operator, or insurer. When it appears that property has been damaged or lost under circumstances in which a carrier, warehouse owner/operator, contractor or insurer may be responsible, the claimant shall make a written demand on such party, either before or after submitting a claim against NASA. The Administrator or designee, if requested, will assist in making demand on the third party. No such demand need be made if, in the opinion of the Administrator or designee, it would be impracticable or any recovery would be insignificant, or if circumstances preclude the claimant from making timely demand.
(c) Action subsequent to demand. A copy of the demand and of any related correspondence shall be submitted to the Administrator or designee. If the carrier, insurer, or other third party offers a settlement which is less than the amount of the demand, the claimant shall consult with the Administrator or designee before accepting the amount offered. The claimant shall also notify the Administrator or designee promptly of any other action by a third party, including settlement, partial settlement, or denial of liability.
(d) Application of recovery. When the amount recovered from a carrier, insurer, or other third party is greater than or equal to the claimant's total loss as determined under this subpart, no compensation is allowable under this subpart. When the amount recovered is less than such total loss, the allowable amount is determined by deducting the recovery from the amount of total loss subject to the maximum set forth in § 1261.102.
(e) Transfer of rights. The claimant shall assign to the United States, to the extent of any payment accepted on a claim, all rights, title, and interest in any claim he/she may have against any carrier, insurer, or other party arising out of the accident or incident on which the claim against the United States is based. The claimant shall also, upon request, furnish such evidence and other cooperation as may be required to enable the United States to enforce the claim. After payment on the claim by the United States, the claimant shall, upon receipt of any payment from a carrier, insurer, or other party, notify the Administrator or designee and pay the proceeds to the United States to the extent required under the provisions of paragraph (d).
(a) The amount allowed for damage to or loss of any item of property may not exceed the cost of the item (either the price paid in cash or property, or the value at the time of acquisition if not acquired by purchase or exchange). There will be no allowance for replacement cost or for appreciation in the value of the property. Subject to these limitations, the amount allowable is either:
(1) The depreciated value, immediately prior to the loss or damage of property lost or damaged beyond economical repair, less any salvage value; or
(2) The reasonable cost of repairs, when property is economically repairable: Provided, That the cost of repairs does not exceed the amount allowable under paragraph (a)(1) of this section.
(b) Depreciation in value is determined by considering the type of article involved, its cost, its condition when damaged or lost, and the time elapsed between the date of acquisition and the date of damage or loss, with appropriate recognition of current replacement value.
(c) Limitation on agent or attorney fees. No more than 10 per centum of the amount paid in settlement of each individual claim submitted and settled shall be paid or delivered to or received by an agent or attorney on account of services rendered in connection with that claim, any contract to the contrary notwithstanding (31 U.S.C. 243).
(a) Settlement officials. (1) Claims in the amount of $5,000 or more will be acted upon by the General Counsel. Claims less than $5,000 will be acted upon by the Chief Counsel of the NASA Field Installation where the employee was assigned at the time of the loss or damage or the Assistant General Counsel for Litigation for NASA Headquarters claims.
(2) Claims arising for $5,000 or more shall be investigated by the Chief Counsel or Assistant General Counsel for Litigation, as appropriate, and a report and recommendation thereon shall be forwarded to the General Counsel.
(b) Action by settlement official. (1) For each claim, the settlement official shall complete a report in duplicate on NASA Form 1204 and retain a claim file consisting of the original claim, the report, and any other relevant evidence or documents.
(2) When a claim is allowed in an amount acceptable to the claimant, the settlement official shall prepare a “Voucher for Payment of Employees' Personal Property Claims” (NASA Form 1220), have it properly executed by the claimant, and forward it with a copy of the approved claim (NASA Form 1204) to the appropriate NASA fiscal or financial management office for payment.
(3) When a claim is disallowed or is partially allowed in an amount unacceptable to the claimant, the settlement official shall notify the claimant in writing of the action taken and the reasons therefor. If not satisfied with the action taken, the claimant may, within 60 days after receipt of such notice, request reconsideration of the claim and may submit any new evidence that he/she feels to be pertinent to the claim. If such a claim has been disallowed at the field installation level, the claimant may request reconsideration by the field installation, or by the General Counsel, or both.
(c) Final and conclusive. The settlement of a claim under this subpart, whether by full or partial allowance or disallowance, is final and conclusive.
This subpart sets forth the procedures for:
(a) The submission of, and action by NASA upon, claims against the United States arising out of the activities of NASA for damage to or loss of property or personal injury or death, and designates the NASA officials authorized to act upon such claims.
(b) The handling of lawsuits against NASA employee(s) for damage to or loss of property or personal injury or death resulting from a NASA employee's activities within the scope of his/her office or employment.
(a) Under the provisions of the Federal Tort Claims Act, as amended (see 28 U.S.C. 2671-2680), and subject to its limitations, the Administrator or designee is authorized to consider, ascertain, adjust, determine, compromise, and settle any claim for money damages against the United States for injury or loss of property or personal injury or death caused by the negligent or wrongful act or omission of any NASA employee while acting within the scope of his/her office or employment, under circumstances where the United States, if a private person, would be liable to the claimant in accordance with the law of the place where the act or omission occurred. In exercising such authority, the Administrator or designee is required to act in accordance with regulations prescribed by the Attorney General (28 CFR part 14). An award, compromise, or settlement in excess of $25,000 may be effected only with the prior written approval of the Attorney General or designee.
(b) Under 51 U.S.C. 20113(m)(1), NASA is authorized to consider, ascertain, adjust, determine, settle, and pay, on behalf of the United States, in full satisfaction thereof, any claim for $25,000 or less against the United States for bodily injury, death, or damage to or loss of real or personal property resulting from the conduct of NASA's functions as specified in 51 U.S.C. 20112. At the discretion of NASA, a claim may be settled and paid under this authority even though the United States could not be held legally liable to the claimant.
(c) Under 51 U.S.C. 20113(m)(2), if NASA considers that a claim in excess of $25,000 is meritorious and would otherwise be covered by 51 U.S.C. 20113(m)(1), NASA may report the facts and circumstances of the claim to the Congress for its consideration or to the Comptroller General as provided in the “Supplemental Appropriations Act, 1978,” Public Law 95-240 (92 Stat. 107), 31 U.S.C. 724a.
(d) Under 28 U.S.C. 2679, the Attorney General of the United States shall defend any civil action or proceeding brought in any court against a Government employee for injury or loss of property or personal injury or death, resulting from the operation of a motor vehicle by the Government employee while acting within the scope of office or employment. In effect, this legislation is designed to protect an employee driving a motor vehicle on Government business by converting such a civil court action or proceeding against the employee into a claim against the United States: Provided, That the employee was acting within the scope of employment at the time of the accident. The remedy against the United States provided by 28 U.S.C. 2672 (administrative adjustment of claims) and 28 U.S.C. 1346(b) (civil action against the United States) then becomes the plaintiff's exclusive remedy.
Unless the context otherwise requires, claim means a claim for money damages against the United States arising out of the activities of NASA, for injury or loss of property, or personal injury or death. A claim “arises” at the place where the injury, loss, or death occurs.
(a) A claim for damage to or loss of property may be presented by the owner of the property, duly authorized agent or legal representative.
(b) A claim for personal injury may be presented by the injured person, duly authorized agent, or legal representative.
(c) A claim based on death may be presented by the executor(rix) or administrator(rix) of the decedent's estate, or by any other person legally entitled to assert such a claim in accordance with applicable State law.
(d) A claim for loss wholly compensated by an insurer with the rights of a subrogee may be presented by the insurer. A claim for loss partially compensated by an insurer with the rights of a subrogee may be presented by the parties individually as their respective interests appear, or jointly.
(e) A claim presented by an agent or legal representative shall be presented in the name of the claimant, be signed by the agent or legal representative, show the title or legal capacity of the person signing and be accompanied by evidence of the agent's or legal representative's authority to present a claim on behalf of the claimant as agent, executor(rix), administrator (rix), parent, guardian, or other representative.
A claim arising in the United States should be submitted to the Chief Counsel of the NASA installation whose activities are believed to have given rise to the claimed injury, loss, or death. If the identity of such installation is not known, or if the claim arose in a foreign country, the claim should be submitted to the General Counsel, Headquarters, National Aeronautics and Space Administration, Washington, DC 20546.
(a) The official designated in § 1261.308 shall, prior to acting on a claim, require the claimant to submit a completed Standard Form 95—“Claim for Damage, Injury or Death.”
(b) NASA installations will furnish copies of Standard Form 95 upon request.
(a) The circumstances alleged to have given rise to the claim, and the amount claimed, should, so far as possible, be substantiated by competent evidence. Supporting statements, estimates, and the like should, if possible, be obtained from disinterested parties. For specific guidance as to Federal Tort Claims Act claims, see Department of Justice regulations on “Administrative Claims under Federal Tort Claims Act” at 28 CFR part 14.
(b) In addition to the evidence and information required under paragraph (a), any claimant shall be required to submit information as to the amount of money or other property received as damages or compensation, or which the claimant may be entitled to receive, by reason of the claimed injury, loss, or death from persons other than NASA or NASA employees. (Such persons include, but are not limited to, insurers, employers, and persons whose conduct was a cause of the accident or incident.)
(c) Any document in other than the English language should be accompanied by an English translation.
(a) A claim may not be acted upon pursuant to the Federal Tort Claims Act unless it is presented to NASA within 2 years after it accrued.
(b) A claim may not be acted upon pursuant to 51 U.S.C. 20113(m)(1) or (2) unless it is presented to NASA within two years after the occurrence of the accident or incident out of which the claim arose.
(c) A claim shall be deemed to have been presented to NASA when NASA receives from a claimant or duly authorized agent or legal representative an executed Standard Form 95 or other written notification of an incident or accident, accompanied by a claim in a sum certain.
(a) Claims in the amount of $10,000 or more will be acted upon as directed by the General Counsel;
(b) Claims less than $10,000 will be acted upon by the Chief Counsel of the NASA Field Installation where the employee was assigned at the time of the loss or damage or the Assistant General Counsel for Litigation for NASA Headquarters claims.
(c) Claims of $10,000 or more, pursuant either to the Federal Tort Claims Act, or 51 U.S.C. 20113(m), shall be acted upon only with the prior approval of the General Counsel. Such claims shall be forwarded to the General Counsel for approval, if the Chief Counsel or the Associate General Counsel for General Law is of the opinion that the claim may be meritorious and otherwise suitable for settlement under any authority. A claim so forwarded should be accompanied by a report of the facts of the claim, based upon such investigation as may be appropriate, and a recommendation as to the action to be taken.
(d) Claims acted upon by NASA officials pursuant to this section shall be acted upon pursuant to the Federal Tort Claims Act, or 51 U.S.C. 20113(m)(1) or (2), as the NASA official deems appropriate.
Where a claim is to be acted upon pursuant to the Federal Tort Claims Act, action shall be taken in accordance with 28 U.S.C. 2672, other provisions of the Federal Tort Claims Act as may be applicable (e.g., 28 U.S.C. 2680), and regulations prescribed by the Attorney General which appear at 28 CFR part 14.
The officials designated in § 1261.308 shall conduct such investigation of a claim as deemed appropriate. The officials may request any NASA office or other Federal agency to assist in the investigation.
(a) When in the opinion of the NASA official designated in § 1261.308, Department of Justice approval or consultation may be required, pursuant to 28 CFR part 14, in connection with a claim being acted upon under the Federal Tort Claims Act, the following papers shall be forwarded to the General Counsel:
(1) A short and concise statement of the facts of the claim.
(2) Copies of all relevant portions of the claim file.
(3) A statement of the recommendations or views of the forwarding official.
(b) A claim forwarded to the General Counsel in accordance with paragraph (a) of this section, or upon which the General Counsel is acting pursuant to § 1261.308(c), shall be referred to the Department of Justice when, in the opinion of the General Counsel, Department of Justice approval or consultation is required or may be appropriate.
(a) Upon settlement of a claim, the official designated in § 1261.308 will prepare and have executed by the claimant a Voucher for Payment of Tort Claims (NASA Form 616) if the claim has been acted upon pursuant to 51 U.S.C. 20113(m), or a Voucher for Payment under Federal Tort Claims Act (Standard Form 1145) if the claim has been acted upon pursuant to the Federal Tort Claims Act. The form will then be referred to the cognizant NASA installation fiscal or financial management office for appropriate action.
(b) When a claimant is represented by an attorney, both the claimant and attorney will be designated as “payees” on the voucher, and the check will be delivered to the attorney whose address shall appear on the voucher.
(c) Acceptance by the claimant, agent, or legal representative, of any award, compromise, or settlement made pursuant to this subpart shall be final and conclusive on the claimant, agent or legal representative and any other person on whose behalf or for whose benefit the claim has been presented, and shall constitute a complete release of any claim against the United States and against any employee of the Government whose act or omission gave rise to the claim, by reason of the same subject matter.
Final denial of a claim shall be in writing and shall be sent to the claimant, the attorney, or legal representative by certified or registered mail. The notification of final denial may include a statement of the reasons for the denial and shall include a statement that if the claimant is dissatisfied with NASA's action, the claimant may file suit in an appropriate U.S. District Court not later than 6 months after the date of mailing the notification.
The following procedures shall be followed in the event that a civil action or proceeding is brought, in any court, against any employee of NASA (or against the estate) for injury or loss of property or personal injury or death, resulting from the NASA employee's activities while acting within the scope of office or employment:
(a) After being served with process or pleadings in such an action or proceeding, the employee (or the executor(rix) or administrator(rix) of the estate) shall immediately deliver all such process and pleadings or an attested true copy thereof, together with a fully detailed report of the circumstances of the accident giving rise to the court action or proceeding, to the following officials:
(1) The Assistant General Counsel for Litigation insofar as actions or proceedings against employees of NASA Headquarters are concerned; or
(2) The Chief Counsel of the NASA Installation at which the employee is employed, insofar as actions against other than NASA Headquarters employees are concerned.
(b) Upon receipt of such process and pleadings, the Associate General Counsel for General Law or the Chief Counsel of the NASA installation receiving the same shall furnish to the U.S. Attorney for the district embracing the place where the action or proceeding is brought and, if appropriate, the Director, Torts Branch, Civil Division, Department of Justice, the following:
(1) Copies of all such process and pleadings in the action or proceeding promptly upon receipt thereof; and
(2) A report containing a statement of the circumstances of the incident giving rise to the action or proceeding, and all data bearing upon the question of whether the employee was acting within the scope of office or employment with NASA at the time of the incident, at the earliest possible date, or within such time as shall be fixed by the U.S. Attorney upon request.
(c) The Associate General Counsel for General Law or a Chief Counsel acting pursuant to paragraph (b) of this section shall submit the following documents to the General Counsel, who is hereby designated to receive such documents on behalf of the Administrator:
(1) Copies of all process and pleadings submitted to a U.S. Attorney in accordance with paragraph (b).
(2) In addition, where the action or proceeding is for damages in excess of $25,000, or where (in the opinion of the Chief Counsel) such action or proceeding involves a new precedent, a new point of law, or a question of policy, copies of reports and all other papers submitted to the U.S. Attorney.
(a) The National Aeronautics and Space Administration may indemnify a present or former NASA employee, who is personally named as a defendant in any civil suit in state or Federal court, or in an arbitration proceeding or other proceeding seeking damages against that employee personally, for any verdict, judgment, appeal bond, or other monetary award which is rendered against such employee, provided that the conduct giving rise to the verdict, judgment, appeal bond, or award was taken within the scope of his or her employment and that such indemnification is in the interest of the National Aeronautics and Space Administration, as determined by the Administration or designee.
(b) The National Aeronautics and Space Administration may settle or compromise a personal damage claim against a present or former NASA employee by the payment of available funds, at any time, provided the alleged conduct giving rise to the personal damage claim was taken within the employee's scope of employment and that such settlement or compromise is in the interest of the National Aeronautics and Space Administration, as determined by the Administrator or designee.
(c) Absent exceptional circumstances as determined by the Administrator or designee, the agency will not entertain a request either to agree to indemnify or to settle a personal damage claim before entry of an adverse verdict, judgment, or award.
(d) A present or past NASA employee may request indemnification to satisfy a verdict, judgment, or award entered against that employee. The employee shall submit a written request, with appropriate documentation including copies of the verdict, judgment, appeal bond, award, or settlement proposal to the General Counsel, who shall make a recommended disposition of the request. Where appropriate, the agency shall seek the views of the Department of Justice. The General Counsel shall forward the request, the accompanying documentation, and the General Counsel's recommendation to the Administrator for decision.
(e) Any payment under this section either to indemnify a National Aeronautics and Space Administration employee or to settle a personal damage claim shall be contingent upon the availability of appropriated funds of the National Aeronautics and Space Administration.
(a) Attorneys employed by the National Aeronautics and Space Administration participate in the process utilized for the purpose of determining whether the agency should request the Department of Justice to provide representation to a present or former agency employee sued, subpoenaed, or charged in his/her individual capacity, and attorneys employed by the National Aeronautics and Space Administration provide assistance in obtaining representation of such an agency employee. In these roles, agency attorneys undertake a full and traditional attorney-client relationship with the employee with respect to application of the attorney-client privilege. If representation is authorized, National Aeronautics and Space Administration attorneys who assist in the representation of a present or former employee also undertake a full and traditional attorney-client relationship with that employee with respect to the attorney-client privilege.
(b) Any adverse information communicated by the client-employee to an Agency attorney during the course of such attorney-client relationship shall not be disclosed to anyone, either inside or outside NASA, other than attorneys responsible for representation of the employee, unless such disclosure is authorized by the employee. Such adverse information shall continue to be fully protected whether or not representation is provided and even though representation may be denied or discontinued.
(a) These regulations do the following:
(1) Prescribe standards for the administrative collection, compromise, suspension or termination of collection, and referral to the General Accounting Office (GAO), and/or to the Department of Justice (DJ) for litigation, of civil claims as defined by 31 U.S.C. 3701(b), arising out of the activities of NASA;
(2) Designate the responsible NASA officials authorized to effect actions hereunder; and
(3) Require compliance with the GAO/DJ joint regulations at 4 CFR parts 101 through 105 and the Office of Personnel Management (OPM) regulations at 5 CFR part 550, subpart K.
(b) Failure to comply with any provision of the GAO/DJ or OPM regulations shall not be available as a defense to any debtor (4 CFR 101.8).
(c) These regulations do not include any claim based in whole or in part on violation of the anti-trust laws; any claim as to which there is an indication of fraud, the presentation of a false claim, or misrepresentation on the part of the debtor or any party having an interest in the claim; tax claims; or Federal interagency claims (4 CFR 101.3).
(a) Claim and debt. The terms denote a civil claim arising from the activities of NASA for an amount of money, or return or value of property (see 4 CFR 101.5), owing to the United States from any person, organization, or entity, except another Federal agency. The words claim and debt have been used interchangeably and are considered synonymous.
(b) Delinquent debt. The debt is delinquent if it has not been paid by the date specified in the initial written notification (e.g., § 1261.407) or applicable contractual agreement, unless other acceptable (to NASA) payment arrangements have been made by that date, or if, at any time thereafter, the debtor fails to satisfy an obligation under the payment agreement.
(c) Referral for litigation. Referral through the NASA installation's legal counsel to the Department of Justice (Main Justice or the United States Attorney, as appropriate) for legal proceedings.
The following NASA officials are delegated authority, as qualified by § 1261.403, to take such action as is authorized by these regulations to collect, compromise, suspend/terminate collection, and upon consultation with and through legal counsel, to refer the claim (as applicable) to the GAO or Department of Justice:
(a) For field installations, with regard to subpart 1261.4 and subpart 1261.5: The Director of the Installation or a designee who reports directly to the Installation Director. A copy of such designation, if any, shall be sent to the Director, Financial Management Division, NASA Headquarters.
(b) For Headquarters, with regard to subpart 1261.4 and subpart 1261.5: The Associate Administrator for Mission Support or a designee who reports directly to the Associate Administrator for Mission Support. A copy of such designation, if any, shall be sent to the Director, Financial Management Division, NASA Headquarters.
(c) With respect to the analysis required by § 1261.413: The NASA Chief Financial Officer or designee.
(d) NASA-wide, with regard to subpart 1261.6: The NASA Chief Financial Officer or designee.
(e) NASA-wide, for complying with pertinent provisions under these regulations for agency hearing or review (see §§ 1261.408(b), 1261.503, and 1261.603(c)): The NASA General Counsel or designee.
(a) The authority pursuant to § 1261.402 to determine to forgo collection of interest, to accept payment of a claim in installments, or, as to claims which do not exceed $100,000, exclusive of interest and related charges, to compromise a claim or to refrain from doing so, or to refrain from, suspend, or terminate collection action, shall be exercised only after consultation with legal counsel for the particular installation and the following NASA officials or designees, who may also be requested to negotiate the appropriate agreements or arrangements with the debtor:
(1) With respect to claims against contractors or grantees arising in connection with contracts or grants—the contracting officer and the financial management officer of the installation concerned.
(2) With respect to claims against commercial carriers for loss of or damage to NASA freight shipment—the cognizant transportation officers or the official who determined the amount of the claim, as appropriate, and the financial management officers of the installation concerned.
(3) With respect to claims against employees of NASA incident to their employment—the personnel officer and the financial management officer of the installation concerned.
(b) The appropriate counsel's office shall review and concur in the following:
(1) All communications to and agreements with debtors relating to claims collection.
(2) All determinations to compromise a claim, or to suspend or terminate collection action.
(3) All referrals of claims, other than referrals to the Department of Justice pursuant to § 1261.404(b)(1).
(4) All documents releasing debtors from liability to the United States.
(5) All other actions relating to the collection of a claim which in the opinion of the official designated in or pursuant to § 1261.402 may affect the rights of the United States.
(a) At the request of an official designated in or pursuant to § 1261.402, the Office of the Inspector General will, where practicable, conduct such investigations as may assist in the collection, compromise, or referral of claims of the United States, including investigations to determine the location and financial resources of the debtors.
(b) Any claim which, in the opinion of an official designated in or pursuant to § 1261.402 or § 1261.403, may indicate fraud, presentation of a false claim, or misrepresentation, on the part of the debtor or any other party having an interest in the claim, shall be referred by the designated official to the Inspector General (IG), NASA Headquarters, or to the nearest office of the NASA IG. After an investigation as may be appropriate, the IG shall:
(1) Notice the official, from whom the claim was received, of the findings and refer the claim to the Department of Justice in accordance with the provisions of 4 CFR 101.3; or
(2) If it were found that there is no such indication of fraud, the presentation of a false claim, or misrepresentation, return the claim to the official from whom it was received.
(a) Subdivision of claims. Claims may not be subdivided to avoid the $100,000 ceiling, exclusive of interest, penalties, and administrative costs, for purposes of compromise (§ 1261.414) or suspension or termination of collection (§ 1261.416). The debtor's liability arising from a particular transaction or contract shall be considered a single claim (31 CFR 900.6).
(b) Required administrative proceedings. Nothing contained in these regulations is intended to require NASA to omit, foreclose, or duplicate administrative proceedings required by contract or other applicable laws and implementing regulations (4 CFR 101.7).
(a) NASA shall take aggressive action, on a timely basis with effective followup, to collect all claims of the United States for money or property arising out of NASA activities, and to cooperate with the other Federal agencies in debt collection activities.
(b) All administrative collection action shall be documented and the bases for compromise, or for termination or suspension of collection action, should be set out in detail. Such documentation, including the Claims Collection Litigation Report under § 1261.417(e), should be retained in the appropriate claims file.
(a) Appropriate written demands shall be made promptly upon a debtor of the United States in terms which inform the debtor of the consequences of failure to cooperate. A total of three progressively stronger written demands at not more than 30-day intervals will normally be made unless a response to the first or second demand indicates that a further demand would be futile and the debtor's response does not require rebuttal. In determining the timing of demand letters, NASA will give due regard to the need to act promptly so that, as a general rule, if necessary to refer the debt to the Department of Justice for litigation, such referral can be made within one year of the agency's final determination of the fact and the amount of the debt. When necessary to protect the Government's interests (for example, to prevent the statute of limitations, 28 U.S.C. 2415, from expiring), written demand may be preceded by other appropriate actions, including immediate referral for litigation.
(b) The initial demand letter should inform the debtor of:
(1) The basis for the indebtedness and whatever rights the debtor may have to seek review within the agency;
(2) The applicable standards for assessing interest, penalties, and administrative costs (§ 1261.412); and
(3) The date by which payment is to be made, which normally should be not more than 30 days from the date that the initial demand letter was mailed or hand delivered. The responsible official should exercise care to ensure that demand letters are mailed or hand delivered on the same day that they are actually dated. Apart from these requirements, there is no prescribed format for demand letters. However, as appropriate to the circumstances, the responsible official may consider including, either in the initial demand letter or in subsequent letters, such items the NASA's willingness to discuss alternative methods of payment, or intentions with respect to referral of the debt to the Department of Justice for litigation.
(4) The name, address, and phone number of a contact person or office within the Agency.
(c) NASA should respond promptly to communications from the debtor, within 30 days whenever feasible, and should advise debtors who dispute the debt to furnish available evidence to support their contentions.
(d) If either prior to the initiation of, any time during, or after completion of the demand cycle, a determination to pursue offset is made, then the procedures specified in subparts 1261.5 and 1261.6, as applicable, should be followed. The availability of funds for offset and NASA's determination to pursue it release the agency from the necessity of further compliance with paragraphs (a), (b), and (c) of this section. If the agency has not already sent the first demand letter, the agency's written notification of its intent to offset must give the debtor the opportunity to make voluntary payment, a requirement which will be satisfied by compliance with the notice requirements of § 1261.502 or § 1261.603(a), as applicable.
(e) NASA should undertake personal interviews with its debtors whenever this is feasible, having regard for the amounts involved and the proximity of agency representatives to such debtors; and may attempt to effect compromise of the claim in accordance with § 1261.414.
(f) When a debtor is employed by the Federal government or is a member of the military establishment or the Coast Guard, and collection by offset cannot be accomplished in accordance with subpart 1261.6, the employing agency will be contacted for the purpose of arranging with the debtor for payment of the indebtedness by allotment or otherwise in accordance with section 206 of Executive Order 11222, May 8, 1965, 30 FR 6469, which provides that: “An employee is expected to meet all just financial obligations, especially those—such as Federal, State, or local taxes—which are imposed by law” (4 CFR 102.81).
(a) The term consumer reporting agency has the meaning provided in the Federal Claims Collection Act of 1966, as amended (31 U.S.C. 3701(a)(3)):
(1) A consumer reporting agency as that term is defined in section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f); or
(2) A person that, for money or on a cooperative basis, regularly—
(i) Gets information on consumers to give the information to a consumer reporting agency; or
(ii) Serves as a marketing agent under an arrangement allowing a third party to get the information from a consumer reporting agency.
(b) NASA Headquarters Financial Management Division, shall be the focal contact between NASA and consumer reporting agencies. The following procedures shall apply when such agencies are employed by NASA:
(1) After the appropriate notice pursuant to 5 U.S.C. 552a(e)(4) has been published, NASA may disclose, in accordance with 5 U.S.C. 552a(b)(12), information about a debtor to a consumer reporting agency. Such information may include:
(i) That a claim has been determined to be valid and is overdue (including violation by debtor of a repayment plan or other claim settlement agreement);
(ii) If a current address is available, notifying the individual by certified mail, return receipt requested, that: The designated NASA official has reviewed the claim and determined that it is valid and overdue; within not less than 60 days after sending this notice, NASA intends to disclose to a consumer reporting agency the specific information to be disclosed under paragraph (b)(1) of this section; the individual may request a complete explanation of the claim, dispute the information in the records of NASA about the claim, and file for an administrative review or repeal of the claim or for reconsideration of the initial decision on the claim.
(iii) Amount, status, and history of the claim;
(iv) Program or pertinent activity under which the claim arose.
(2) Before disclosing the information specified in paragraph (b)(1) of this section, NASA shall comply with 31 U.S.C. 3711(f) by:
(i) Taking reasonable action to locate the individual if a current address is not available;
(ii) If a current address is available, noticing the individual by certified mail, return receipt requested, that: The designated NASA official has reviewed the claim and determined that it is valid and overdue; within not less than 60 days after sending this notice, NASA intends to disclose to a consumer reporting agency the specific information to be disclosed under paragraph (b)(1) of this section; the individual may request a complete explanation of the claim, dispute the information in the records of NASA about the claim, and file for an administrative review or repeal of the claim or for reconsideration of the initial decision on the claim.
(3) If an administrative review or reconsideration is requested, the responsible official or designee shall refer the request to the appropriate NASA legal counsel for an impartial review and determination by counsel or designee based on the entire written record. If the reviewer cannot resolve the question of indebtedness based upon the available documentary evidence, verified written statements by the debtor or the responsible official may be requested on any pertinent matter not addressed by the available record.
(c) If the information is to be submitted to a consumer reporting agency, the responsible official shall obtain a verified statement from such agency which gives satisfactory assurances that the particular agency is complying with all laws of the United States related to providing consumer credit information; and thereafter ensure that the consumer reporting agency is promptly informed of any substantial change in the condition or amount of the claim, or, on request of such agency, promptly verify or correct information about the claim.
(a) When NASA determines that there is a need to contract for collection services, the following conditions shall apply:
(1) The authority to resolve disputes, compromise claims, suspend or terminate collection action, and refer the matter for litigation must be retained by NASA.
(2) The contractor shall be subject to the Privacy Act of 1974, as amended, to the extent specified in 5 U.S.C. 552a(m), and to applicable Federal and State laws and regulations pertaining to debt collection practices—for example, the Fair Debt Collection Practices Act (15 U.S.C. 1692), and 26 U.S.C. 6103(p)(4) and applicable regulations of the Internal Revenue Service;
(3) The contractor must be required to account strictly for all amounts collected; and
(4) The contractor must agree to provide any data contained in its files relating to collection actions and related reports, current address of debtor, and reasonably current credit information upon returning an account to NASA for subsequent referral to the Department of Justice for litigation.
(5) The debt must not be subject to mandatory transfer to the Department of the Treasury for collection. See 31 CFR 901.5(a) and (b).
(b) NASA shall use Government-wide debt collection contracts to obtain debt collection services provided by private collection contractors. See 31 CFR 901.5(b).
(c) NASA shall fund private collection contractor contracts in accordance with 31 U.S.C. 3728(d) or as otherwise permitted by law. See 31 CFR 901.5(c).
(a) In seeking the collection of statutory penalties, forfeitures, or debts provided for as an enforcement aid or for compelling compliance, NASA will give serious consideration to the suspension or revocation of licenses or other privileges for any inexcusable, prolonged, or repeated failure of a debtor to pay such a claim. In the case of a contractor under 48 CFR chapter 18, NASA will comply with the debarment, suspension, and ineligibility requirements of the NASA Federal Acquisition Regulation Supplement (NASA/FAR Supplement) at 48 CFR 1809.4. Likewise, in making, guaranteeing, insuring, acquiring, or participating in loans, NASA will give serious consideration to suspending or disqualifying any lender, contractor, broker, borrower, or other debtor from doing further business with it or engaging in programs sponsored by it if such a debtor fails to pay its debts to the Government within a reasonable time. The failure of any surety to honor its obligations in accordance with 31 U.S.C. 9305 must be reported to the Treasury Department at once. Notification that a surety's certificate of authority to do business with the Federal Government has been revoked or forfeited by the Treasury Department will be forwarded by that Department to all interested agencies.
(b) If NASA is holding security or collateral which may be liquidated and the proceeds applied on debts due it through the exercise of a power of sale in the security instrument or a nonjudicial foreclosure, it should do so by such procedures if the debtor fails to pay the debt within a reasonable time after demand, unless the cost of disposing of the collateral will be disproportionate to its value or special circumstances require judicial foreclosure. NASA will provide the debtor with reasonable notice of the sale, an accounting of any surplus proceeds, and any other procedures required by applicable contract or law. Collection from other sources, including liquidation of security or collateral, is not a prerequisite to requiring payment by a surety or insurance concern unless such action is expressly required by statute or contract.
(a) Whenever feasible, and except as otherwise provided by law, debts owed to the United States, together with interest penalties, and administrative costs as required by § 1261.412, should be collected in full in one lump sum. This is true whether the debt is being collected by administrative offset or by another method, including voluntary payment. However, if the debtor is financially unable to pay the indebtedness in one lump sum, payment may be accepted in regular installments. Debtors who represent that they are unable to pay the debt in one lump sum must submit justification, including financial statements. If NASA agrees to accept payment in regular installments, it will obtain a legally enforceable written agreement from the debtor which specifies all of the terms of the arrangement and which contains a provision accelerating the debt in the event the debtor defaults. The size and frequency of installment payments should bear a reasonable relation to the size of the debt and the debtor's ability to pay. If possible, the installment payments should be sufficient in size and frequency to liquidate the Government's claim in not more than three years. Installment payments of less than $50 per month should be accepted only if justifiable on the grounds of financial hardship or similar reasonable cause. If the claim is unsecured, an executed confess-judgment note should be obtained from a debtor when the total amount of the deferred installments will exceed $750. Such notes may be sought when an unsecured obligation of a lesser amount is involved. When attempting to obtain confess-judgment notes, the debtor should be provided with written explanation of the consequences of signing the note, and documentation should be maintained sufficient to demonstrate that the debtor has signed the note knowingly and voluntarily. Security for deferred payments other than a confess-judgment note may be accepted in appropriate cases. NASA, at its option, may accept installment payments notwithstanding the refusal of a debtor to execute a confess-judgment note or to give other security.
(b) If the debtor owes more than one debt and designates how a voluntary installment payment is to be applied as among those debts, that designation must be followed. If the debtor does not designate the application of the payment, agencies should apply payments to the various debts in accordance with the best interests of the United States, as determined by the facts and circumstances of the particular case, paying special attention to applicable statutes of limitations.
(a) Pursuant to 31 U.S.C. 3717, NASA shall assess interest, penalties, and administrative costs on debts owed to the United States. Before assessing these charges, NASA must mail or hand deliver a written notice to the debtor explaining the requirements concerning the charges (see § 1261.407(b)).
(b) Interest shall accrue from the date on which notice of the debt and the interest requirements is first mailed or hand delivered to the debtor (on or after October 25, 1982), using the most current address that is available to the agency. If an “advance billing” procedure is used—that is, a bill is mailed before the debt is actually owed—it can include the required interest notification in the advance billing, but interest may not start to accrue before the debt is actually owed. Designated officials should exercise care to ensure that the notices required by this section are dated and mailed or hand delivered on the same day.
(c) The rate of interest assessed shall be the rate of the current value of funds to the United States Treasury (i.e., the Treasury tax and loan account rate), as prescribed and published by the Secretary of the Treasury in the
(d) NASA shall assess against a debtor charges to cover administrative costs incurred as a result of a delinquent debt—that is, the additional costs incurred in processing and handling the debt because it became delinquent as defined in § 1261.401(b). Calculations of administrative costs should be based upon actual costs incurred or upon cost analyses establishing an average of actual additional costs incurred by the agency in processing and handling claims against other debtors in similar stages of delinquency. Administrative costs may include costs incurred in obtaining a credit report or in using a private debt collector, to the extent they are attributable to delinquency.
(e) NASA shall assess a penalty charge, not to exceed 6 percent a year, on any portion of a debt that is delinquent as defined in § 1261.401(b) for more than 90 days. This charge need not be calculated until the 91st day of delinquency, but shall accrue from the date that the debt became delinquent.
(f) When a debt is paid in partial or installment payments, amounts received by the agency shall be applied first to outstanding penalty and administrative cost charges, second to accrued interest, and third to outstanding principal.
(g) NASA must waive the collection of interest on the debt or any portion of the debt which is paid within 30 days after the date on which interest began to accrue. NASA may extend this 30-day period, on a case-by-case basis, if it reasonably determines that such action is appropriate. Also, NASA may waive, in whole or in part, the collection of interest, penalties, and/or administrative costs (assessed under this section) under the criteria specified in § 1261.414 relating to the compromise of claims (without regard to the amount of the debt), or if NASA determines that collection of these charges would be against equity and good conscience or not in the best interests of the United States. See 4 CFR 101.13(g). Such optional waivers should be handled on a case-by-case basis, in consultation with officials designated under § 1261.403. Examples of situations in which NASA may consider waiving interest and other related charges are:
(1) Pending consideration of a request for reconsideration or administrative review;
(2) Acceptance of an installment plan or other compromise agreement, where there is no indication of lack of good faith on the part of the debtor in not repaying the debt, and the debtor has provided substantiating information of inability to pay or other unavoidable hardship which reasonably prevented the debt from being repaid.
(h) Where a mandatory waiver or review statute applies, interest and related charges may not be assessed for those periods during which collection action must be suspended under § 1261.416(c)(3).
(i) Exemptions. (1) The provisions of 31 U.S.C. 3717 do not apply:
(i) To debts owed by any State or local government;
(ii) To debts arising under contracts which were executed prior to, and were in effect on (i.e., were not completed as of) October 25, 1982;
(iii) To debts where an applicable statute, regulation required by statute, loan agreement, or contract either prohibits such charges or explicitly fixes the charges that apply to the debts involved; or
(iv) To debts arising under the Social Security Act, the Internal Revenue Code, or the tariff laws of the United States.
(2) NASA may, however, assess interest and related charges on debts which are not subject to 31 U.S.C. 3717 to the extent authorized under the common law or applicable statutory authority.
The Office of the NASA Chief Financial Officer will:
(a) Issue internal procedures to provide for periodic comparison of costs incurred and amounts collected. Data on costs and corresponding recovery rates for debts of different types and in various dollar ranges should be used to compare the cost effectiveness of alternative collection techniques, establish guidelines with respect to points at which costs of further collection efforts are likely to exceed recoveries, and assist in evaluating offers in compromise.
(b) Consider the need, feasibility, and cost effectiveness of automated debt collection operation.
(c) Establish internal controls to identify causes, if any, of overpayments, delinquencies, and defaults, and establish procedures for corrective actions as needs dictate.
(a) Designated NASA officials (see §§ 1261.402 and 1261.403) may compromise claims for money or property arising out of the activities of the Agency where the claim, exclusive of interest, penalties, and administrative costs, does not exceed $100,000, prior to the referral of such claims to the Government Accountability Office, or to the Department of Justice for litigation. The Comptroller General may exercise such compromise authority with respect to claims referred to the Government Accountability Office prior to their further referral for litigation. Only the Comptroller General may effect the compromise of a claim that arises out of an exception made by the Government Accountability Office in the account of an accountable officer, including a claim against the payee, prior to its referral by the Government Accountability Office for litigation.
(b) When the claim, exclusive of interest, penalties, and administrative costs, exceeds $100,000, the authority to accept the compromise rests solely with the Department of Justice. NASA should evaluate the offer, using the factors set forth in paragraphs (c) through (f) of this section, and may recommend compromise for reasons under one, or more than one, of those paragraphs. If NASA then wishes to accept the compromise, it must refer the matter to the Department of Justice, using the Claims Collection Litigation Report. See § 1261.417(e) or 31 CFR 904.2(c). Claims for which the gross amount is over $200,000 shall be referred to the Commercial Litigation Branch, Civil Division, Department of Justice, Washington, DC 20530. Claims for which the gross original amount is $200,000 or less shall be referred to the United States Attorney in whose judicial district the debtor can be found. The referral should specify the reasons for the Agency's recommendation. If NASA has a debtor's firm written offer of compromise which is substantial in amount and the Agency is uncertain as to whether the offer should be accepted, it may refer the offer, the supporting data, and particulars concerning the claim to the Government Accountability Office or to the Department of Justice. The Government Accountability Office or the Department of Justice may act upon such an offer or return it to the agency with instructions or advice. If NASA wishes to reject the compromise, Government Accountability Office or Department of Justice approval is not required.
(c) A claim may be compromised pursuant to this section if NASA cannot collect the full amount because of the debtor's inability to pay the full amount within a reasonable time, or the refusal of the debtor to pay the claim in full and the Government's inability to enforce collection in full within a reasonable time by enforced collection proceedings. In determining the debtor's inability or refusal to pay, the following factors, among others, may be considered:
(1) Age and health of the debtor;
(2) Present and potential income;
(3) Inheritance prospects;
(4) The possibility that assets have been concealed or improperly transferred by the debtor;
(5) The availability of assets or income which may be realized by enforced collection proceedings; and
(6) The applicable exemptions available to the debtor under State and Federal law in determining the Government's ability to enforce collection. Uncertainty as to the price which collateral or other property will bring at forced sale may properly be considered in determining the Government's ability to enforce collection. The compromise should be for an amount which bears a reasonable relation to the amount which can be recovered by enforced collection procedures, having regard for the exemptions available to the debtor and the time which collection will take.
(d) A claim may be compromised if there is a real doubt concerning the Government's ability to prove its case in court for the full amount claimed, either because of the legal issues involved or a bona fide dispute as to the facts. The amount accepted in compromise in such cases should fairly reflect the probability of prevailing on the legal question involved, the probabilities with respect to full or partial recovery of a judgment, paying due regard to the availability of witnesses and other evidentiary support for the Government claim, and related pragmatic considerations. In determining the litigative risks involved, proportionate weight should be given to the probable amount of court costs and attorney fees pursuant to the Equal Access to Justice Act which may be assessed against the Government if it is unsuccessful in litigation. See 28 U.S.C. 2412.
(e) A claim may be compromised if the cost of collecting the claim does not justify the enforced collection of the full amount. The amount accepted in compromise in such cases may reflect an appropriate discount for the administrative and litigative costs of collection, paying heed to the time which it will take to effect collection. Costs of collecting may be a substantial factor in the settlement of small claims, but normally will not carry great weight in the settlement of large claims. In determining whether the cost of collecting justifies enforced collection of the full amount, it is legitimate to consider the positive effect that enforced collection of some claims may have on the collection of other claims. Since debtors are more likely to pay when first requested to do so if an agency has a policy of vigorous collection of all claims, the fact that the cost of collection of any one claim may exceed the amount of the claim does not necessarily mean that the claim should be compromised. The practical benefits of vigorous collection of a small claim may include a demonstration to other debtors that resistance to payment is not likely to succeed.
(f) Enforcement policy. Statutory penalties, forfeitures, or debts established as an aid to enforcement and to compel compliance may be compromised pursuant to this part if the agency's enforcement policy in terms of deterrence and securing compliance, both present and future, will be adequately served by acceptance of the sum to be agreed upon. Mere accidental or technical violations may be dealt with less severely than willful and substantial violations.
(g) Compromises payable in installments are to be discouraged. However, if payment of a compromise by installments is necessary, a legally enforceable agreement for the reinstatement of the prior indebtedness less sums paid thereon and acceleration of the balance due upon default in the payment of any installment should be obtained, together with security in the manner set forth in § 1261.411, in every case in which this is possible.
(h) If the agency's files do not contain reasonably up-to-date credit information as a basis for assessing a compromise proposal, such information may be obtained from the individual debtor by obtaining a statement executed under penalty of perjury showing the debtor's assets and liabilities, income, and expenses. Forms such as Department of Justice Form OBD-500 or OBD-500B may be used for this purpose. Similar data may be obtained from corporate debtors using a form such as Department of Justice Form OBD-500C or by resort to balance sheets and such additional data as seems required. Samples of the Department of Justice forms are available from the Office of the NASA General Counsel. Neither a percentage of a debtor's profits nor stock in a debtor corporation will be accepted in compromise of a claim. In negotiating a compromise with a business concern, consideration should be given to requiring a waiver of the tax-loss-carry-back rights of the debtor.
(i) Joint and several liability. When two or more debtors are jointly and severally liable, collection action will not be withheld against one such debtor until the other or others pay their proportionate shares. NASA will not attempt to allocate the burden of paying such claims as between the debtors but will proceed to liquidate the indebtedness as quickly as possible. Care should be taken that a compromise agreement with one such debtor does not release the agency's claim against the remaining debtors. The amount of a compromise with one such debtor shall not be considered a precedent or as morally binding in determining the amount which will be required from other debtors jointly and severally liable on the claim.
Upon receipt of full payment of a claim, or the amount in compromise of a claim as determined pursuant to § 1261.414, the official designated in § 1261.402 will prepare and execute, on behalf of the United States, an appropriate release, which shall include the provision that it shall be void if procured by fraud, misrepresentation, the presentation of a false claim, or mutual mistake of fact.
(a) The standards set forth in this section apply to the suspension or termination of collection action pursuant to 31 U.S.C. 3711(a)(3) on claims which do not exceed $100,000, exclusive of interest, penalties, and administrative costs, after deducting the amount of partial payments or collections, if any. NASA may suspend or terminate collection action under this part with respect to claims for money or property arising out of activities of the Agency, prior to the referral of such claims to the Government Accountability Office or to the Department of Justice for litigation. The Comptroller General (or designee) may exercise such authority with respect to claims referred to the Government Accountability Office prior to their further referral for litigation.
(b) If, after deducting the amount of partial payments or collections, if any, a claim exceeds $100,000, exclusive of interest, penalties, and administrative costs, the authority to suspend or terminate rests solely with the Department of Justice. If the designated official believes suspension or termination may be appropriate, the matter should be evaluated using the factors set forth in paragraphs (c) and (d) of this section. If the Agency concludes that suspension or termination is appropriate, it must refer the matter, with its reasons for the recommendation, to the Department of Justice, using the Claims Collection Litigation Report. See § 1261.417(e) or 31 CFR 904.2(c). If NASA decides not to suspend or terminate collection action on the claim, Department of Justice approval is not required; or if it determines that its claim is plainly erroneous or clearly without legal merit, it may terminate collection action regardless of the amount involved, without the need for Department of Justice concurrence.
(c) Suspension of collection activity—(1) Inability to locate debtor. Collection action may be suspended temporarily on a claim when the debtor cannot be located after diligent effort and there is reason to believe that future collection action may be sufficiently productive to justify periodic review and action on the claim, with due consideration for the size and amount which may be realized thereon. The following sources may be of assistance in locating missing debtors: Telephone directories; city directories; postmasters; drivers' license records; automobile title and registration records; state and local government agencies; the Internal Revenue Service (see 4 CFR 102.18); other Federal agencies; employers, relatives, friends; credit agency skip locate reports, and credit bureaus. Suspension as to a particular debtor should not defer the early liquidation cf security for the debt. Every reasonable effort should be made to locate missing debtors sufficiently in advance of the bar of the applicable statute of limitations, such as 28 U.S.C. 2415, to permit the timely filing of suit if such action is warranted. If the missing debtor has signed a confess-judgment note and is in default, referral of the note for the entry of judgment should not be delayed because of the debtor's missing status.
(2) Financial condition of debtor. Collection action may also be suspended temporarily on a claim when the debtor owns no substantial equity in realty or personal property and is unable to make payments on the Government's claim or effect a compromise at the time, but the debtor's future prospects justify retention of the claim for periodic review and action, and:
(i) The applicable statute of limitations has been tolled or started running anew; or
(ii) Future collection can be effected by offset, notwithstanding the statute of limitations, with due regard to the 10-year limitation prescribed by 31 U.S.C. 3716(c)(1); or
(iii) The debtor agrees to pay interest on the amount of the debt on which collection action will be temporarily suspended, and such temporary suspension is likely to enhance the debtor's ability to fully pay the principle amount of the debt with interest at a later date.
(3) Request for waiver or administrative review. If the statute under which waiver or administrative review is sought is “mandatory,” that is, if it prohibits the agency from collecting the debt prior to the agency's consideration of the request for waiver or review (see Califano v. Yamasaki, 422 U.S. 682 (1979)), then collection action must be suspended until either: The agency has considered the request for waiver/review; or the applicable time limit for making the waiver/review request, as prescribed in a written notice, has expired and the debtor, upon notice, has not made such a request. If the applicable waiver/review statute is “permissive,” that is, if it does not require all requests for waiver/review to be considered, and if it does not prohibit collection action pending consideration of a waiver/request (for example, 5 U.S.C. 5584), collection action may be suspended pending agency action on a waiver/review request based upon appropriate consideration, on a case-by-case basis, as to whether:
(i) There is a reasonable possibility that waiver will be granted or that the debt (in whole or in part) will be found not owing from the debtor;
(ii) The Government's interests would be protected, if suspension were granted, by reasonable assurance that the debt could be recovered if the debtor does not prevail; and
(iii) Collection of the debt will cause undue hardship on the debtor.
(4) If the applicable statutes and regulations would not authorize refund by the agency to the debtor of amounts collected prior to agency consideration of the debtor's waiver/review request (in the event the agency acts favorably on it), collection action should ordinarily be suspended, without regard to the factors specified for permissive waivers, unless it appears clear, based on the request and the surrounding circumstances, that the request is frivolous and was made primarily to delay collection. See 4 CFR 104.2.
(d) Termination of collection activity. Collection activity may be terminated and NASA may close its file on the claim based on the following:
(1) Inability to collect any substantial amount. Collection action may be terminated on a claim when it becomes clear that the Government cannot collect or enforce collection of any significant sum from the debtor, having due regard for the judicial remedies available to the Government, the debtor's future financial prospects, and the exemptions available to the debtor under State and Federal law. In determining the debtor's inability to pay, the following factors, among others, may be considered: Age and health of the debtor; present and potential income; inheritance prospects; the possibility that assets have been concealed or improperly transferred by the debtor; the availability of assets or income which may be realized by enforced collection proceedings.
(2) Inability to locate debtor. Collection action may be terminated on a claim when the debtor cannot be located, and either:
(i) There is no security remaining to be liquidated; or
(ii) The applicable statute of limitations has run and the prospects of collecting by offset, notwithstanding the bar of the statute of limitations, are too remote to justify retention of the claim.
(3) Cost will exceed recovery. Collection action may be terminated on a claim when it is likely that the cost of further collection action will exceed the amount recoverable thereby.
(4) Claim legally without merit. Collection action should be terminated immediately on a claim whenever it is determined that the claim is legally without merit.
(5) Claim cannot be substantiated by evidence. Collection action should be terminated when it is determined that the evidence necessary to prove the claim cannot be produced or the necessary witnesses are unavailable and efforts to reduce voluntary payment are unavailing.
(e) Transfer of claim. When NASA has doubt as to whether collection action should be suspended or terminated on a claim, it may refer the claim to the Government Accountability Office for advice. When a significant enforcement policy is involved in reducing a statutory penalty or forfeiture to judgment, or recovery of a judgment is a prerequisite to the imposition of administrative sanctions, such as the suspension or revocation of a license or the privilege of participating in a Government-sponsored program, NASA may refer such a claim for litigation even though termination of collection activity might otherwise be given consideration under paragraphs (d)(1) and (2) of this section. Claims on which NASA holds a judgment by assignment or otherwise will be referred to the Department of Justice for further action if renewal of the judgment lien or enforced collection proceedings are justified under the criteria discussed in this section.
(a) Prompt referral. Except as provided in paragraphs (b) and (c) of this section, claims on which aggressive collection action has been taken in accordance with § 1261.406 and which cannot be compromised, or on which collection action cannot be suspended or terminated, in accordance with §§ 1261.414 and 1261.416, shall be promptly referred to the Department of Justice for litigation.
(1) Claims for which the gross original amount is over $200,000 shall be referred to the Commercial Litigation Branch, Civil Division, Department of Justice, Washington, DC 20530.
(2) Claims for which the gross original amount is $200,000 or less shall be referred to the United States Attorney in whose judicial district the debtor can be found. Referrals should be made as early as possible, consistent with aggressive agency collection action and the observance of the regulations contained in this subpart, and in any event, well within the period for bringing a timely suit against the debtor. Ordinarily, referrals should be made within l year of the agency's final determination of the fact and the amount of the debt.
(3) Minimum amount. NASA is not to refer claims of less than $600, exclusive of interest, penalties, and administrative costs, for litigation unless:
(i) Referral is important to a significant enforcement policy; or
(ii) The debtor not only has the clear ability to pay the claim but the Government can effectively enforce payment, having due regard for the exemptions available to the debtor under State and Federal law and the judicial remedies available to the Government.
(b) Claims arising from audit exceptions taken by the GAO to payments made by agencies must be referred to the GAO for review and approval prior to referral to the Department of Justice for litigation, unless NASA has been granted an exception by the GAO. Referrals shall comply with instructions, including monetary limitations, contained in the GAO Policy and Procedures Manual for Guidance to Federal Agencies and paragraphs (e) and (f) of this section.
(c) When the merits of the claim, the amount owed on the claim, or the propriety of acceptance of a proposed compromise, suspension, or termination are in doubt, the designated official should refer the matter to the Government Accountability Office for resolution and instructions prior to proceeding with collection action and/or referral to the Department of Justice for litigation.
(d) Once a claim has been referred to the Government Accountability Office or to the Department of Justice pursuant to this section, NASA shall refrain from having any contact with the debtor about the pending claim and shall direct the debtor to the Government Accountability Office or to the Department of Justice, as appropriate, when questions concerning the claim are raised by the debtor. The Government Accountability Office or the Department of Justice, as appropriate, shall be immediately notified by NASA of any payments which are received from the debtor subsequent to referral of a claim under this section.
(e) Claims Collection Litigation Report (CCLR). Unless an exception has been granted by the Department of Justice in consultation with the General Accounting Office, the Claims Collection Litigation Report (CCLR), which was officially implemented by NASA, effective March 1, 1983, shall be used with all referrals of administratively uncollectible claims. As required by the CCLR, the following information must be included:
(1) Report of prior collection actions. A checklist or brief summary of the actions previously taken to collect or compromise the claim. If any of the administrative collection actions have been omitted, the reason for their omission must be provided. GAO, the United States Attorney, or the Civil Division of the Department of Justice may return claims at their option when there is insufficient justification for the omission of one or more of the administrative collection actions enumerated in this subpart (see 4 CFR part 102).
(2) Current address of debtor. The current address of the debtor, or the name and address of the agent for a corporation upon whom service may be made. Reasonable and appropriate steps will be taken to locate missing parties in all cases. Referrals to the Department of Justice for the commencement of foreclosure of other proceedings, in which the current address of any party is unknown, will be accompanied by a listing of the prior known addresses of such party and a statement of the steps taken to locate that party.
(3) Credit data. Reasonably current credit data which indicates that there is a reasonable prospect of effecting enforced collection from the debtor, having due regard for the exemptions available to the debtor under State and Federal law and the judicial remedies available to the Government. Such credit data may take the form of:
(i) A commercial credit report;
(ii) An agency investigative report showing the debtor's assets, liabilities, income, and expenses;
(iii) The individual debtor's own financial statement executed under penalty of perjury reflecting the debtor's assets, liabilities, income, and expenses; or
(iv) An audited balance sheet of a corporate debtor.
(4) Reasons for credit data omissions. The credit data may be omitted if:
(i) A surety bond is available in an amount sufficient to satisfy the claim in full;
(ii) The forced sale value of the security available for application to the Government's claim is sufficient to satisfy the claim in full;
(iii) NASA wishes to liquidate loan collateral through judicial foreclosure but does not desire a deficiency judgment;
(iv) The debtor is in bankruptcy or receivership;
(v) The debtor's liability to the Government is fully covered by insurance, in which case NASA will furnish such information as it can develop concerning the identity and address of the insurer and the type and amount of insurance coverage; or
(vi) The status of the debtor is such that credit data is not normally available or cannot reasonably be obtained, for example, a unit of State or local government.
(f) Preservation of evidence. Care will be taken to preserve all files, records, and exhibits on claims referred or to be referred to the Department of Justice for litigation. Under no circumstances should original documents be sent to the Department of Justice or the United States Attorney without specific prior approval to do so. Copies of relevant documents should be sent whenever necessary.
Unless subject to an exception identified in 31 CFR 285.12(d), NASA shall transfer any debt that is more than 180 days delinquent to the Financial Management Service for debt collection services in accordance with the procedures described in 31 CFR 285.12.
(a) This subpart applies to collection of claims by administrative offset under section 5 of the Federal Claims Collection Act of 1966 as amended by the Debt Collection Act of 1982 and the Debt Collection Improvement Act of 1996 (31 U.S.C. 3716), other statutory authority, or the common law; it does not include “Salary Offset,” which is governed by subpart 1261.6, infra.
(b) NASA shall refer past due, legally enforceable nontax debts which are over 180 days delinquent to the Secretary of the Treasury for collection by centralized administrative offset. For purposes of debts governed by this provision, NASA adopts and will follow the procedures established by the Department of the Treasury in 31 CFR 901.3.
(c) For claims not subject to mandatory transfer to the Department of the Treasury pursuant to paragraph (b), NASA may consider ad hoc non-centralized administrative offset of claims at its sole discretion. Any ad hoc non-centralized administrative offset of claims will be conducted consistent with the requirements of 31 CFR 901.3(c).
(1) Debts owed by any State or local Government;
(2) Debts arising under or payments made under the Social Security Act, the Internal Revenue Code of 1954, or the tariff laws of the United States; or
(3) Any case in which collection of the type of debt involved by administrative offset is explicitly provided for or prohibited by another statute. However, unless otherwise provided by contract or law, debts or payments which are not subject to administrative offset under 31 U.S.C. 3716 may be collected by administrative offset under the common law or other applicable statutory authority.
Administrative offset—the term, as defined in 31 U.S.C. 3701(a)(1), means “withholding money payable by the United States Government to, or held by the Government for, a person to satisfy a debt the person owes the Government.”
(a) Before collecting any claims through administrative offset, a 30-day written notice must be sent to the debtor by certified mail, return receipt requested. The notice must include:
(1) The nature and amount of the debt;
(2) NASA's intention to collect by administrative offset; and
(3) An explanation of the debtor's rights under 31 U.S.C. 3716(a), or other relied upon statutory authority, which must include a statement that the debtor has the opportunity, within the 30-day notice period, to:
(i) Inspect and copy records of NASA with respect to the debt;
(ii) Request a review by NASA of its decision related to the claim; and
(iii) Enter into a written agreement with the designated official (see § 1261.402) to repay the amount of the claim. However, sound judgment should be exercised in determining whether to accept a repayment agreement in lieu of offset. The determination should balance the Government's interest in collecting the debt against fairness to the debtor. If the debt is delinquent and the debtor has not disputed its existence or amount, NASA should accept a repayment agreement in lieu of offset only if the debtor is able to establish that offset would result in undue financial hardship or would be against equity and good conscience.
(b) NASA may effect administrative offset against a payment to be made to a debtor prior to the completion of the procedures required by paragraph (a) of this section if:
(1) Failure to take the offset would substantially prejudice the Government's ability to collect the debt; and
(2) The time before the payment is to be made does not reasonably permit the completion of those procedures. Such prior offset must be promptly followed by the completion of those procedures. Amounts recovered by offset but later found not to be owed to the Government shall be promptly refunded.
(3) In cases where the procedural requirements of paragraph (a) of this section had previously been provided to the debtor in connection with the same debt under some other statutory or regulatory authority, such as pursuant to a notice of audit disallowance or salary offset under § 1261.603, the agency is not required to duplicate those requirements before taking administrative offset.
(a) NASA shall provide the debtor with a reasonable opportunity for a live, telephonic, or video-teleconference hearing when:
(1) An applicable statute authorizes or requires the agency to consider waiver of the indebtedness involved, the debtor requests waiver of the indebtedness, and the waiver determination turns on an issue of credibility or veracity; or
(2) Unless otherwise required by law, a hearing under this section is not required to be a formal evidentiary-type hearing, although significant matters discussed at the hearing should be documented. See 31 CFR 901.3(e)(1). Such hearing may be an informal discussion/interview with the debtor, face-to-face meeting between debtor and cognizant NASA personnel, or written formal submission by the debtor and response by the NASA cognizant personnel with an opportunity for oral presentation. The hearing will be conducted before or in the presence of an official as designated by the NASA General Counsel on a case-by-case basis. The hearing is not an adversarial adjudication and need not take the form of an evidentiary hearing. However, depending on the particular facts and circumstances, the hearing may be analogous to a fact-finding proceeding with oral presentations; or an informal meeting with or interview of the employee; or formal written submissions, with an opportunity for oral presentation, and decision based on the available written record. Ordinarily, hearings may consist of informal conferences before the hearing official in which the employee and Agency officials will be given full opportunity to present evidence, witnesses, and argument. The employee may represent himself or herself or be represented by an individual of his or her choice at no cost to the United States. The hearing official must maintain or provide for a summary record of the hearing provided under this subpart. The decision of the reviewing/hearing official should be communicated in writing (no particular form is required) to the affected parties and will constitute the final administrative decision of the Agency.
(b) Paragraph (a) of this section does not require a hearing with respect to debt collection systems, as determinations of indebtedness or waiver from these rarely involve issues of credibility or veracity since NASA has determined that review of the written record is ordinarily an adequate means to correct prior mistakes. See 31 CFR 901.3(e)(3).
(c) In those cases where a live, telephonic, or video-teleconference hearing is not required or granted, NASA will nevertheless accord the debtor an opportunity to submit any position regarding the matter by documentation and/or written presentation—that is, the Agency will make its determination on the request for waiver or reconsideration based upon a review of the available written record. See 31 CFR 901.3(e)(4). In such case, the responsible official or designee shall refer the request to the appropriate NASA Office of General Counsel or Chief Counsel for review and recommendation.
(d) A request to inspect and/or copy the debtor's own debt records or related files, and/or for a hearing or review accompanied by a statement of the basis or grounds for such hearing or review, must be submitted within 30 calendar days of the receipt of the written notice under § 1261.502(a). A reasonable time to inspect and copy records will be provided during official working hours, but not to exceed 5 business days, unless a verified statement showing good cause requires a longer period. Any suspension of collection or other charges during the period of the inspection, or hearing or review, shall comply with §§ 1261.412 and 1261.416. Requests for or consideration of compromising the debt must comply with § 1261.414.
(a) Requests to NASA by other Federal agencies for administrative offset should be in writing and forwarded to the Office of the NASA Comptroller, NASA Headquarters, Washington, DC 20546.
(b) Requests by NASA to other Federal agencies holding funds payable to the debtor should be in writing and forwarded, certified return receipt, as specified by that agency in its regulations; however, if such rule is not readily available or identifiable, the request should be submitted to that agency's office of legal counsel with a request that it be processed in accordance with their internal procedures.
(c) Requests to and from NASA should be processed within 30 calendar days of receipt. If such processing is impractical or not feasible, notice to extend the time period for another 30 calendar days should be forwarded 10 calendar days prior to the expiration of the first 30-day period.
(d) Requests from or to NASA must be accompanied by a certification that the debtor owes the debt (including the amount) and that the provisions of (or comparable to) subpart 1261.5 or subpart 1261.6, as applicable, have been fully complied with. NASA will cooperate with other agencies in effecting collection.
When collecting multiple debts by administrative offset, NASA will apply the recovered amounts to those debts in accordance with the best interests of the United States, as determined by the facts and circumstances of the particular case, paying special attention to applicable statutes of limitations.
NASA may not initiate administrative offset to collect a debt under 31 U.S.C. 3716 more than 10 years after the Government's right to collect the debt first accrued, unless facts material to the Government's right to collect the debt were not known and could not reasonably have been known by the official or officials of the Government who were charged with the responsibility to discover and collect such debts. Determination of when the debt first accrued is to be made in accordance with existing law regarding the accrual of debts, such as under 28 U.S.C. 2415. See 4 CFR 102.3(b)(3).
(a) Unless otherwise prohibited by law, NASA may request that moneys which are due and payable to a debtor from the Civil Service Retirement and Disability Fund be administratively offset in reasonable amounts in order to collect in one full payment or a minimal number of payments debts owed to the United States by the debtor. Such requests shall be made to the appropriate officials of the Office of Personnel Management (OPM) in accordance with the OPM regulations (see 5 CFR 831.1801, et seq.).
(b) When making a request for administrative offset under paragraph (a) of this section, NASA shall include a written certification that:
(1) The debtor owes the United States a debt, including the amount of the debt;
(2) NASA has complied with the applicable statutes, regulations, and procedures of the Office of Personnel Management; and
(3) NASA has complied with the requirements of this subpart 1261.5 which implements 4 CFR 102.3, including any required hearing or review.
(c) Once NASA has decided to request administrative offset under this section, the request should be made as soon as practical after completion of the applicable procedures in order that the Office of Personnel Management may identify and “flag” the debtor's account in anticipation of the time when the debtor requests or becomes eligible to receive payments from the Fund. This will satisfy any requirement that offset be initiated prior to expiration of the applicable statute of limitations. At such time as the debtor makes a claim for payments from the Fund, if at least a year has elapsed since the offset request was originally made, the debtor should be permitted to offer a satisfactory repayment plan in lieu of offset upon establishing that changed financial circumstances would render the offset unjust.
(d) If NASA collects part or all of the debt by other means before deductions are made or completed pursuant to paragraph (a) of this section, the designated official should act promptly to modify or terminate the agency's request to OPM for offset.
(e) OPM is not required or authorized by 4 CFR 102.4 to review the merits of NASA's determination with respect to:
(1) The amount and validity of the debt;
(2) Waiver under an applicable statute; or
(3) Provide or not provide a live, telephonic, or video-teleconference hearing.
Collection by offset against a judgment obtained by a debtor against the United States shall be accomplished in accordance with 31 U.S.C. 3728.
This subpart implements 5 U.S.C. 5514 in accordance with the OPM regulation and establishes the procedural requirements for recovering pre-judgment debts from the current pay account of an employee through what is commonly called salary offset, including a situation where NASA (the current paying agency) is not the employee's creditor agency. Salary offset to satisfy a judgment or a court determined debt is governed by section 124 of Pub. L. 97-276 (October 2, 1982), 5 U.S.C. 5514 note.
(a) Coverage. This subpart applies to agencies and employees as defined in § 1261.602.
(b) Applicability. This subpart and 5 U.S.C. 5514 apply in recovering certain prejudgment debts by administrative offset except where the employee consents to the recovery, from the current pay account of an employee. Because it is an administrative offset, debt collection procedures for salary offset which are not specified in 5 U.S.C. 5514 and this subpart should be consistent with subpart 1261.5.
(1) Excluded debts or claims. The procedures contained in this subpart do not apply to debts or claims arising under the Internal Revenue Code of 1954 as amended (26 U.S.C. 1 et seq.), the Social Security Act (42 U.S.C. 301 et seq.), or the tariff laws of the United States; or to any case where collection of a debt by salary offset is explicitly provided for or prohibited by another statute (e.g., travel advances in 5 U.S.C. 5705, employee training expenses in 5 U.S.C. 4108, and debts determined by a court as provided in 5 U.S.C. 5514 note).
(2) Waiver requests and claims to the Government Accountability Office. This subpart does not preclude an employee from requesting waiver of a salary overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 716, or in any way questioning the amount or validity of a debt by submitting a subsequent claim to the Government Accountability Office in accordance with procedures prescribed by the Government Accountability Office. Similarly, in the case of other types of debts, it does not preclude an employee from requesting waiver, if waiver is available under any statutory provision pertaining to the particular debt being collected.
For purposes of this subpart:
(a) Agency means:
(1) An Executive agency as defined in section 105 of title 5, United States Code, including U.S. Postal Service and the U.S. Postal Rate Commission;
(2) A military department as defined in section 102 of Title 5, United States Code;
(3) An agency or court in the judicial branch, including a court as defined in section 610 of Title 28, United States Code, the District Court for the Northern Mariana Islands, and the Judicial Panel on Multidistrict Litigation;
(4) An agency of the legislative branch, including the U.S. Senate and the U.S. House of Representatives; and
(5) Other independent establishments that are entities of the Federal Government.
(b) Creditor agency means the agency to which the debt is owed.
(c) Debt means an amount owed to the United States from sources which include loans insured or guaranteed by the United States and all other amounts due the United States from fees, leases, rents, royalties, services, sales of real or personal property, overpayments, penalties, damages, interest, fines and forfeitures (except those arising under the Uniform Code of Military Justice), and all other similar sources.
(d) Disposable pay means that part of current basic pay, special pay, incentive pay, retired pay, retainer pay, or in the case of an employee not entitled to basic pay, other authorized pay remaining after the deduction of any amount required by law to be withheld. NASA must exclude deductions listed in OPM's garnishment regulations at 5 CFR 581.105 (b) through (f) to determine disposable pay subject to salary offset.
(e) Employee means a current employee of an agency, including a current member of the Armed Forces or a Reserve of the Armed Forces (Reserves).
(f) Paying agency means the agency employing the individual and authorizing the payment of his or her current pay.
(g) Salary offset means an administrative offset to collect a debt under 5 U.S.C. 5514 by deduction(s) at one or more officially established pay intervals from the current pay account of an employee without his or her consent.
(h) Waiver means the cancellation, remission, forgiveness, or nonrecovery of a debt allegedly owed by an employee to an agency as permitted or required by 5 U.S.C. 8346(b), or any other law.
If NASA determines that a Federal employee is indebted to the United States or is notified of such by the head of another agency (or delegee), the amount of indebtedness may be collected in monthly installments, or regularly established pay intervals, by deduction from the affected employee's pay account. The deductions may be made from basic pay, special pay, incentive pay, retired pay, retainer pay, or in the case of an employee not entitled to basic pay, from other authorized pay. The requirements in paragraphs (a) through (h) of this section must be met before a deduction is made from the current pay account of an employee.
(a) Written notice. The employee must be sent a minimum of 30 days written notice prior to further offset action, which specifies:
(1) The origin, nature and amount of the indebtedness, and the official to contact within the agency (ordinarily, the designated financial management official for the particular installation);
(2) The intention of the agency to initiate collection of the debt through salary offset by deductions from the employee's current disposable pay, stating the amount, frequency, proposed beginning date, and duration of intended deductions (the amount to be deducted for any period, without the consent of the employee, may not exceed 15 percent of disposable pay);
(3) An explanation of any interest, penalties, or administrative costs included in the amount, and that such assessment must be made unless excused in accordance with 14 CFR 1261.412;
(4) The right for an opportunity (which does not toll the running of the 30-day period) to inspect and copy NASA records relating to the debt or to request and receive (if reasonable) a copy of such records, provided that such opportunity must be exercised on or before the 15th day following receipt of the notice and can be conducted only during official working hours for a reasonable period of time not to exceed 5 working days;
(5) If not previously provided, the opportunity (under terms agreeable to NASA) to establish a schedule for the voluntary repayment of the debt or to enter into a written agreement to establish a schedule for repayment of the debt in lieu of offset. The agreement must be in writing, signed by both the employee and the authorized agency official (see 14 CFR 1261.402) and documented in NASA's files (see 14 CFR 1261.407(d));
(6) An opportunity for a hearing, as provided in paragraph (c) of this section, on the agency's determination concerning the existence and amount of the debt, and the terms of the repayment schedule (in the case of an employee whose repayment schedule is established other than by written agreement);
(7) The hearing request should be addressed to the Office of the NASA General Counsel or to the Office of Chief Counsel of the NASA installation involved, as appropriate; counsel's name and address will be as stated in the notice.
(8) Any other rights and remedies available to the employee under statutes or regulations governing the program for which the collection is being made; and
(9) Unless there are applicable contractual or statutory provisions to the contrary, that amounts paid on or deducted for the debt which are later waived or found not owed to the United States will be promptly refunded to the employee.
(b) Exception to entitlement to written notice. NASA is not required to comply with paragraph (a) of this section for any adjustment to pay arising out of an employee's election of coverage or a change in coverage under a Federal benefits program requiring periodic deductions from pay, if the amount to be recovered was accumulated over four pay periods or less.
(c) Petition filing; hearing; decision and review. The notice described in paragraph (a) of this section should include the following provisions, which may be copied and attached to the notice.
(1) The employee may petition for a hearing, but such petition must be in writing and received by NASA on or before the 15th day following receipt of the notice, and include a statement of the reasons for such hearing. No particular form is required, and a timely, legible letter request (with the stated reasons) will suffice; however, the employee must sign the petition and include with it, with reasonable specificity, all the supporting facts and evidence, including a list of the witnesses, if any.
(2) The petition should be addressed to the Agency counsel designated in the notice, but the hearing will be conducted by an official not under the supervision or control of the NASA Administrator. The Agency Chief Financial Officer is authorized to appoint an administrative law judge or other Federal executive branch employee or official on a reimbursable or other basis. Notice of the name and address of the hearing official will be sent to the employee within 10 days of receipt of petition.
(3) The timely filing of the petition will stay the commencement of collection; and the final decision on the hearing will be issued at the earliest practicable date, but not later than 60 days after the filing of the petition requesting the hearing unless the employee requests and the hearing official grants a delay in the proceedings.
(4) Any knowingly false or frivolous statements, representations, or evidence may subject the employee to:
(i) Disciplinary procedures appropriate under Chapter 75 of Title 5, United States Code, 5 CFR part 752, or any other applicable statutes or regulations;
(ii) Penalties under the False Claims Act, sections 3729 through 3731 of Title 31, United States Code, or any other applicable statutory authority; or
(iii) Criminal penalties under sections 286, 287, 1001, and 1002 of Title 18, United States Code, or any other applicable statutory authority.
(5) As for the conduct of any live, telephonic, or video teleconference hearing, for additional guidance see 14 CFR 1261.503.
(d) Petition after time expiration. No petition for a hearing is to be granted if made after the 15-day period prescribed in paragraph (c)(1) of this section, unless the employee can show to the satisfaction of the agency official indicated on the notice that the delay was caused by circumstances beyond his or her control (for example, proven incapacity, illness, or hospitalization), or that the agency did not give notice of the time limit and the employee was otherwise unaware of such limit.
(e) Limitation on amount and duration of deductions. Ordinarily, debts are to be collected in one lump-sum payment. However, if the employee is financially unable to pay in one lump sum or if the amount of the debt exceeds 15 percent of disposable pay for an officially established pay interval, collection must be made in installments. The size of installment deductions must bear a reasonable relationship to the size of the debt and the employee's ability to pay (see 14 CFR 1261.411), but the amount deducted for any period must not exceed 15 percent of the disposable pay from which the deduction is made (unless the employee has agreed in writing to the deduction of a greater amount). Deduction must commence with the next full pay interval (ordinarily, the next biweekly pay period). Such installment deductions must be made over a period not greater than the anticipated period of active duty or employment, as the case may be, except as provided in paragraph (f) of this section.
(f) Determining ability to pay. An offset may produce an extreme financial hardship for an employee if it prevents the employee from meeting costs necessarily incurred for essential subsistence expenses for food, reasonable housing, clothing, transportation, and medical care. In determining whether an offset would prevent the employee from meeting the essential subsistence expenses, the employee may be required to show income from all sources (including spouse and dependents, if applicable), list all known assets, explain exceptional expenses, and produce any other relevant factors.
(g) Liquidation from final check; other recovery. If the employee retires or resigns from Federal service, or if his or her employment or period of active duty ends before collection of the debt is completed, the balance may be deducted from the final salary payment and any remaining balance from the lump-sum leave, if applicable. If the debt is not fully paid by offset from any final payment due the former employee as of the date of separation, offset may be made from later payments of any kind due the former employee from the United States (as provided in 14 CFR part 1261 subpart 1261.5, including offset from the Civil Service Retirement and Disability Fund under 14 CFR 1261.507).
(h) Interest, penalties, and administrative costs. Assessment of interest, penalties, and administrative costs, on debts being collected under this subpart, shall be in accordance with 14 CFR 1261.412 which implements 4 CFR 102.13.
The employee's involuntary payment of all or any portion of the debt, being collected under this subpart, must not be construed as a waiver of any rights which the employee may have under an existing written contract applicable to the specific debt or under any other pertinent statutory authority for the collection of claims of the United States or the agency.
(a) NASA will promptly refund to the employee amounts paid or deducted under this subpart when:
(1) A debt is waived or otherwise found not owing the United States (unless expressly prohibited by statute or regulation); or
(2) The employee's paying agency is directed by an administrative or judicial order to refund amounts deducted from his or her current pay.
(b) Refunds are not to bear any interest unless the law applicable to that particular debt specifically requires or permits a stated interest amount on refunds.
(a) Format of the request. Upon completion of the procedures established by the creditor agency under 5 U.S.C. 5514, the creditor agency must:
(1) Certify, in writing, that the employee owes the debt, the amount and basis of the debt, the date on which payment(s) is/are due, the date the Government's right to collect the debt first accrued, and that the creditor agency's regulations implementing 5 U.S.C. 5514 have been approved by OPM;
(2) If the collection must be made in installments, the creditor agency must also advise NASA of the number of installments to be collected, the amount of each installment, and the commencing date of the first installment, if a date other than the next officially established pay period is required; and
(3) Unless the employee has consented to the salary offset in writing or signed a statement acknowledging receipt of the required procedures and the writing or statement is attached to the debt claim request, the creditor agency must also indicate the action(s) taken under 5 U.S.C. 5514(a)(2) and give the date(s) the action(s) was/were taken.
(b) Limitation period. The creditor agency may not initiate offset to collect a debt more than 10 years after the Government's right to collect the debt first accrued, except as provided in 14 CFR 1261.506, which implements 4 CFR 102.3(b)(3).
(c) Employees who are separating or have separated—(1) Employees who are in the process of separating. If the employee is in the process of separating, the creditor agency must submit its debt claim to the employee's paying agency for collection as provided in 5 CFR 550.1104(1) of the OPM regulations (14 CFR 1261.603(f)) for “liquidation from final check.” NASA must then certify the total amount of its collection and notify the creditor agency and the employee as provided in paragraph (c)(3) of this section. If NASA is aware that the employee is entitled to payments from the Civil Service Retirement and Disability Fund, or other similar payments, it should notify the creditor agency and forward the copy of the debt claim and certification to the agency responsible for making such payments as notice that a debt is outstanding. However, the creditor agency, not NASA, must submit a properly certified claim to the agency responsible for making such payments before collection can be made.
(2) Employees who have already separated. If the employee is already separated and all payments due from NASA have been paid, NASA must return the claim to the creditor agency for any further collection, indicating the employee's date of separation and the current employment and mailing address(es), if known.
(3) Employee who transfers from NASA to another Federal agency.
(i) Certification of amount collected. If, after the creditor agency has submitted the debt claim to NASA, the employee transfers to another Federal agency before the debt is collected in full, NASA must then certify the total amount of the collection made on the debt. A copy of the certification should be furnished the employee, and another copy furnished to the creditor agency along with notice of the employee's transfer.
(ii) Official personnel folder insertion; new paying agency. Information on the debt claim must be inserted in the employee's official personnel folder along with a copy of the certification of the amount which has been collected. Upon receiving the official personnel folder, the new paying agency must resume the collection from the employee's current pay account and notify the employee and the creditor agency of the resumption. It will not be necessary for the creditor agency to repeat the due process procedures described by 5 U.S.C. 5514 of this subpart in order to resume the collection. However, it will be the responsibility of the creditor agency to review the debt upon receiving NASA's notice of the employee's transfer to make sure the collection is resumed by the new paying agency.
(d) Processing the debt claim upon receipt—(1) Incomplete claim. If NASA receives incomplete debt claim information, it must return the request with a notice that procedures under 5 U.S.C. 5514 and this subpart must be provided and complete debt claim information received before action will be taken to collect from the employee's current pay account.
(2) Complete claim. If NASA receives a properly documented debt claim, deductions should be scheduled to begin prospectively at the next officially established pay interval. A copy of the debt claim request must be given to the debtor, along with notice of the date deductions will commence if different from that stated on the debt claim request.
(3) NASA is not required or authorized to review the merits of the creditor agency's determination with respect to the amount or validity of the debt as stated in the debt claim request.
(a) When the debtor does not work for the creditor agency and the creditor agency cannot provide a prompt and appropriate hearing before an administrative law judge or before a hearing official furnished pursuant to another lawful arrangement, the creditor agency may contact an agent of the paying agency designated in appendix A of 5 CFR part 581 to arrange for a hearing official, and the paying agency must then cooperate as provided by 4 CFR 102.1 and provide a hearing official.
(b) When the debtor works for the creditor agency, the creditor agency may contact any agent (of another agency) designated in appendix A of 5 CFR part 581 to arrange for a hearing official. Agencies must then cooperate as required by 4 CFR 102.1 and provide a hearing official.
(a) The pertinent provisions of the Equal Access to Justice Act at 5 U.S.C. 504 (hereinafter “the Act”) provide for the award of attorney fees and other expenses to eligible individuals and entities who are parties to certain administrative proceedings (called “adversary adjudications”). An eligible party may receive an award when it prevails, unless it has unreasonably protracted the proceedings, or the Agency's position in the proceeding was substantially justified, or special circumstances make an award unjust. The rules in this part describe the parties eligible for awards and the proceedings that are covered. They also explain how to apply for awards, and the procedures and standards that the National Aeronautics and Space Administration (NASA) will use in determining awards.
(b) As used in this part:
(1) Adversary adjudication means:
(i) An adjudication under 5 U.S.C. 554 in which the position of the United States is represented by counsel or otherwise, but excludes an adjudication for the purpose of establishing or fixing a rate or for the purpose of granting or renewing a license;
(ii) Any appeal of a decision made pursuant to section 6 of the Contract Disputes Act (CDA) of 1978, as amended (41 U.S.C. 605) before an agency board of contract appeals as provided in section 8 of the CDA (41 U.S.C. 607);
(iii) Any hearing conducted under Chapter 38 of Title 31 (added by section 6104 of the Program Fraud Civil Remedies Act of 1986 (Pub. L. 99-509, 100 Stat. 1948, Oct. 21, 1986), 31 U.S.C. 3801, et seq., as amended); and
(iv) The Religious Freedom Restoration Act (RFRA) of 1993 (added by section 4(b), of RFRA (Pub. L. 103-141, 107 Stat. 1489, Nov. 16, 1993), 42 U.S.C. 2000bb).
(2) Adjudicative officer means the deciding official, without regard to whether the official is designated an administrative law judge, a hearing officer or examiner, or otherwise, who presided at the adversary adjudication;
(3) Position of the agency means, in addition to the position taken by the agency in the adversary adjudication, the action or failure to act by the agency upon which the adversary adjudication is based;
(4) Party, as defined in 5 U.S.C. 551(3), includes a person or agency named or admitted as a party, or properly seeking and entitled as of right to be admitted as a party, in an agency proceeding, and a person or agency admitted by an agency as a party for limited purposes, and who meets the eligibility requirements of § 1262.104; and
(5) Agency with a capital A denotes the NASA.
(c) Determination of Substantially justified. Whether or not the position of the agency was substantially justified shall be determined on the basis of the administrative record, as a whole, which is made in the adversary adjudication for which fees and other expenses are sought.
The Act applies to any adversary adjudication pending or commenced before NASA on or after August 5, 1985. It also applies to any adversary adjudication commenced on or after October 1, 1984, and finally disposed of before August 5, 1985, provided that an application for fees and expenses, as described in subpart 1262.2, had been filed with the Agency within 30 days after August 5, 1985, and to any adversary adjudication pending on or commenced on or after October 1, 1981, in which an application for fees and other expenses was timely filed and was dismissed for lack of jurisdiction.
(a) The Act applies to the following adversary adjudications conducted by the Agency:
(1) Adjudications under 5 U.S.C. 554 in which the position of NASA or any other agency of the United States, or any component of an agency, is presented by an attorney or other representative who enters an appearance and participates in the proceedings;
(2) Appeals of decisions made pursuant to section 6 of the Contract Disputes Act of 1978 (41 U.S.C. 605) before the Board of Contract Appeals (BCA) as provided in Section 8 of that Act (41 U.S.C. 607);
(3) Any hearing conducted under Chapter 38 of Title 31 (31 U.S.C. 3801, et seq., as amended); and
(4) Adjudications under the Religious Freedom Restoration Act of 1993 (42 U.S.C. 2000bb).
(b) The Act does not apply to:
(1) Any proceeding in which this Agency may prescribe a lawful present or future rate;
(2) Proceedings to grant or renew licenses (note, however, that proceedings to modify, suspend, or revoke licenses are covered if they are otherwise adversary adjudications); and
(3) Proceedings which are covered by a compromise or settlement agreement, unless specifically consented to in such agreement.
(c) NASA may also designate a proceeding as an adversary adjudication for purposes of the Act by so stating in an order initiating the proceeding or designating the matter for hearing. The Agency's failure to designate a proceeding as an adversary adjudication shall not preclude the filling of an application by a party who believes the proceeding is covered by the Act; whether the proceeding is covered will then be an issue for resolution in proceedings on the application.
(d) If a proceeding includes both matters covered by the Act and matters specifically excluded from coverage, any award made will include only fees and expenses related to covered issues.
(a) To be eligible for an award of attorney fees and other expenses, the applicant must be a “party” to the adversary adjudication for which an award is sought. The applicant must show that it meets all conditions of eligibility set out in this subpart and in subpart 1262.2.
(b) The types of eligible applicants are as follows:
(1) An individual with a net worth of not more than $2 million;
(2) Any owner of an unincorporated business who has a net worth of not more than $7 million, including both personal and business interests, and not more than 500 employees;
(3) A charitable or other tax-exempt organization described in section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) with not more than 500 employees;
(4) A cooperative association as defined in section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 employees; and
(5) Any other partnership, corporation, association, unit of local government, or organization with a net worth of not more than $7 million and not more than 500 employees.
(c) For the purpose of eligibility, the net worth and number of employees of an applicant shall be determined as of the date the proceeding was initiated.
(d) An applicant who owns an unincorporated business will be considered as an “individual” rather than as a “sole owner of an unincorporated business” if the issues on which the applicant prevails are related primarily to personal interests rather then to business interests.
(e) The employees of an applicant include all persons who regularly perform services for remuneration for the applicant, under the applicant's direction and control. Part-time employees shall be included on a proportional basis.
(f) The net worth and number of employees of the applicant and all of its affiliates shall be aggregated to determine eligibility. Any individual, corporation, or other entity that directly or indirectly controls or owns a majority of the voting shares or other interest of the applicant, or any corporation or other entity of which the applicant directly or indirectly owns or controls a majority of the voting shares or other interest, will be considered an affiliate for purposes of this part, unless the adjudicative officer determines that such treatment would be unjust and contrary to the purposes of the Act in light of the actual relationship between the affiliated entities. In addition, the adjudicative officer may determine that financial relationships of the applicant other than those described in this paragraph constitute special circumstances that would make an award unjust.
(g) An applicant that participates in a proceeding primarily on behalf of one or more other persons or entities that would be ineligible is not itself eligible for an award.
(a) A prevailing applicant may receive an award subject to paragraph (b) of this section, for fees and expenses incurred in connection with a proceeding, or in a significant and discrete substantive portion of the proceeding, unless the position of the agency over which the applicant has prevailed was substantially justified. No presumption arises that the agency's position was not substantially justified simply because the agency did not prevail. The burden of proof that an award should not be made to an eligible prevailing applicant is on the agency.
(b) An award, for any portion of the adversary adjudication, will be denied if the applicant has unreasonably protracted the proceedings, or denied or reduced if special circumstances make the award sought unjust.
(a) Awards will be based on rates customarily charged by persons engaged in the business of acting as attorneys, agents, and expert witnesses, even if the services were made available without charge or at a reduced rate to the applicant.
(b) No award for the fee of an attorney or agent under these rules may exceed $75 per hour. No award to compensate an expert witness may exceed the highest rate at which this Agency pays expert witnesses, which is $20 an hour (5 hours maximum) or maximum daily rate of $100 (3 days maximum). However, an award may also include the reasonable expenses of the attorney, agent, or witness as a separate item, if the attorney, agent, or witness ordinarily charges clients separately for such expenses.
(c) In determining the reasonableness of the fee sought for an attorney, agent, or expert witness, the adjudicative officer shall consider the following:
(1) If the attorney, agent, or witness is in private practice, his or her customary fee for similar service, or, if an employee of the applicant, the fully allocated cost of the services;
(2) The prevailing rate for similar services in the community in which the attorney, agent, or witness ordinarily performs services;
(3) The time actually spent in the representation of the application;
(4) The time reasonably spent in light of the difficulty or complexity of the issues in the proceeding; and
(5) Such other factors as may bear on the value of the services provided.
(d) The reasonable cost of any study, analysis, engineering report, test, project, or similar matter prepared on behalf of a party may be awarded, to the extent that the charge for the service does not exceed the prevailing rate for similar services, and the study or other matter was necessary for preparation of the applicant's case.
(a) If warranted by an increase in the cost of living or by special circumstances (such as limited availability of attorneys qualified to handle certain types of proceedings), the Agency may adopt regulations providing that attorney fees may be awarded at a rate higher then $75 per hour in some or all of the types of proceedings covered by this part. This Agency will conduct any rulemaking proceedings for this purpose under the informal rulemaking procedures of the Administrative Procedure Act (5 U.S.C. 553).
(b) Any person may file with the Agency a petition for rulemaking to increase the maximum rate for attorney fees. The petition should be addressed to the General Counsel, NASA Headquarters, Washington, DC 20546; should identify the rate the petitioner believes the Agency should establish and the types of proceedings in which the rate should be used; and should also explain fully the reasons why the higher rate is warranted. The Agency will respond to the petition within 60 days after it is filed, by initiating a rulemaking proceeding or denying the petition, or taking other appropriate action.
If an applicant is entitled to an award because it prevails over another agency of the United States that participates in a proceeding before NASA, the award or an appropriate portion of the award shall be made against that agency, subject to § 1262.105(b), if it had taken a position that is not substantially justified.
(a) The NASA Administrator hereby delegates authority to the General Counsel or designee to take final action on matters pertaining to the Act, other than the authority for final fee determination after Agency review pursuant to § 1262.308.
(b) The NASA Administrator may, in particularly specified matters under the Act, delegate authority to officials other than those designated in paragraph (a) of this section.
(a) An application for an award of fees and expenses under the Act shall identify the applicant and the proceeding for which an award is sought. The application shall show that the applicant has prevailed and identify the position of an agency or agencies in the proceeding that the applicant alleges was not substantially justified. Unless the applicant is an individual, the application shall also state the number of employees of the applicant and describe briefly the type and purpose of its organization or business.
(b) The application shall also include a statement that the applicant's net worth does not exceed $2 million (if an individual) or $7 million (for all other applicants, including their affiliates). However, an applicant may omit this statement if the applicant:
(1) Attaches a copy of a ruling by the Internal Revenue Service that it qualifies as an organization described in section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)), or, in the case of a tax-exempt organization not required to obtain a ruling from the Internal Revenue Service on its exempt status, a statement that describes the basis for the applicant's belief that it qualifies under such section; or
(2) States that it is a cooperative association as defined in section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
(c) The application shall state the amount of fees and expense for which an award is sought.
(d) The application may also include any other matters that the applicant wishes this Agency to consider in determining whether and in what amount an award should be made.
(e) The application shall be signed by the applicant or an authorized officer or attorney of the applicant. It shall also contain or be accompanied by a written verification under oath or under penalty of perjury that the information provided in the application is true and correct.
(a) Each applicant except a qualified tax-exempt organization or cooperative association must provide with its application a detailed exhibit showing the net worth of the applicant and any affiliates (as defined in § 1262.104(f) when the proceeding was initiated. The exhibit may be in any form convenient to the applicant that provides full disclosure of the applicant's and its affiliates' assets and liabilities and is sufficient to determine whether the applicant qualifies under the standards in this part. The adjudicative officer may require an applicant to file additional information to determine its eligibility for an award.
(b) Ordinarily, the net worth exhibit will be included in the public records of the proceeding. However, an applicant that objects to public disclosure of information in any portion of the exhibit and believes there are legal grounds for withholding it from disclosure may submit that portion of the exhibit directly to the adjudicative officer in a sealed envelope labeled “Confidential Financial Information,” accompanied by a motion to withhold the information from public disclosure. The motion shall describe the information sought to be withheld and explain, in detail, why it falls within one or more of the specific exemptions from mandatory disclosure under the Freedom of Information Act, 5 U.S.C. 552(b)(1)-(9), why public disclosure of the information would adversely affect the applicant, and why disclosure is not required in the public interest. The materials in question shall be served on counsel representing the agency against which the applicant seeks an award, but need not be served on any other party to the proceeding. If the adjudicative officer finds that the information should not be withheld from disclosure, it shall be placed in the public record of the proceeding. Otherwise, any request to inspect or copy the exhibit shall be disposed of in accordance with the Agency's regulations under the Freedom of Information Act, at 14 CFR part 1206.
The application shall be accompanied by full documentation of the fees and expenses, including the cost of any study, analysis, engineering report, test, project, or similar matter for which an award is sought. A separate itemized statement, accompanied by an oath of affirmation under penalty of perjury (28 U.S.C. 1746), shall be submitted for each professional firm or individual whose services are covered by the application, showing the hours spent in connection with the proceeding by each individual, a description of the specific services performed, the rate at which each fee has been computed, any expenses for which reimbursement is sought, the total amount paid or payable by the applicant or by any other person or entity for the services provided. The adjudicative officer may, in addition, require the applicant to provide vouchers, receipts, or other substantiation for any expenses claimed.
(a) An application may be filed whenever the applicant has prevailed in the proceeding or in a significant and discrete substantive portion of the proceeding, but in no case later than 30 days after the Agency's final disposition of the proceeding.
(b) If review or reconsideration is sought or taken of a decision as to which an applicant believes it has prevailed, proceedings for the award of fees shall be stayed pending final disposition of the underlying controversy.
(c) For purposes of this rule, final disposition means the latter of:
(1) The date on which the last “initial decision”, in a bifurcated proceeding, or other recommended disposition of the merits (both as to liability and amount, if applicable) of the proceeding, by an adjudicative officer or intermediate reviewer, becomes administratively final;
(2) The date on which an order is issued disposing of any petitions for reconsideration;
(3) If no petition for reconsideration is filed, the last date on which such a petition could have been filed; or
(4) The date of a final order or any other final resolution of the proceeding, such as a settlement or a voluntary dismissal, which is not subject to a petition for reconsideration.
Any application for an award or other pleading or document related to an application shall be filed and served on all parties to the proceeding in the same manner as other pleadings in the proceeding, except as provided in § 1262.202(b) for confidential financial information.
(a) Within 30 calendar days after service of an application, counsel representing the agency against which an award is sought may file an answer to the application. Unless agency counsel requests an extension of time for filing or files a statement of intent to negotiate under paragraph (b) of this section, failure to file an answer within the 30-day period may be treated as a consent to the award requested.
(b) If agency counsel and the applicant believe that the issues in the fee application can be settled, they may jointly file a statement of their intent to negotiate a settlement. The filing of this statement shall extend the time for filing an answer for an additional 30 calendar days, and further extensions may be granted by the adjudicative officer upon request by agency counsel and the applicant.
(c) The answer shall explain in detail any objections to the award requested and identify the facts relied on in support of agency counsel's position. If the answer is based on any alleged facts not already in the record of the proceeding, agency counsel shall include with the answer either supporting affidavits or a request for further proceedings under § 1262.306.
Within 15 calendar days after service of an answer, the applicant may file a reply. If the reply is based on any alleged facts not already in the record of the proceeding, the applicant shall include with the reply either supporting affidavits or a request for further proceedings under § 1262.306.
Any party to a proceeding other than the applicant and agency counsel may file comments about an application within 30 calendar days after it is served, or about an answer within 15 calendar days after it is served. A commenting party may not participate further in proceedings on the application unless the adjudicative officer determines that the public interest requires such participation in order to permit full exploration of matters raised in the comments.
The applicant and agency counsel may agree on a proposed settlement of the award before final action on the application, either in connection with a settlement of the underlying proceeding, or after the underlying proceeding has been concluded. If a prevailing party and agency counsel agree on a proposed settlement of an award before an application has been filed, the application shall be filed with the proposed settlement.
(a) Ordinarily, the determination of an award will be made on the basis of the written record. However, on request of either the applicant or agency counsel, or on his or her own initiative, the adjudicative officer may order further proceedings, such as an informal conference, oral argument, additional written submissions, or, as to issues other than substantial justification (such as the applicant's eligibility or substantiation of fees and expenses), pertinent discovery or an evidentiary hearing. Such further proceedings shall be held only when necessary for full and fair resolution of the issues arising from the application, and shall be conducted as promptly as possible.
(b) A request that the adjudicative officer order further proceedings under this section shall specifically identify the information sought or the disputed issues and shall explain why the additional proceedings are necessary to resolve the issues.
(a) The adjudicative officer shall issue an initial decision on the application with 90 calendar days after completion of proceedings on the application. The decision shall include written findings and conclusions on such of the following as are relevant to the decision:
(1) The applicant's eligibility and status as a prevailing party;
(2) Whether the Agency's position was substantially justified;
(3) Whether the applicant unreasonably protracted the proceedings, or whether special circumstances make an award unjust; and
(4) The amounts, if any, awarded for fees and expenses with an explanation of the reasons for any difference between the amount requested and the amount awarded. Further, if the applicant has sought an award against more than one agency, the decision shall allocate responsibility for payment of any award made among the agencies, and shall explain the reasons for the allocation made.
(b) When the Agency appeals the underlying merits of an adversary adjudication, no decision on an application for fees and other expenses in connection with that adversary adjudication shall be made until a final and unreviewable decision is rendered by the court on the appeal or until the underlying merits of the case have been finally determined pursuant to the appeal.
(a) Within 30 calendar days of the receipt of the adjudicative officer's initial decision on the fee application, either the applicant or agency counsel may seek Agency review of the decision; or, the NASA Administrator, upon the recommendation of the General Counsel or other designee, may decide to review the decision based on the record. Whether to review a decision is solely a matter within the discretion of the NASA Administrator. A 15-day notice of such review will be given the applicant and agency counsel, and a determination made not later than 45 days from the date of notice. The Administrator may make a final determination concerning the application or remand the application to the adjudicative officer for further proceedings.
(b) If neither the applicant nor agency counsel seek review, and the NASA Administrator does not on own initiative take a review, the adjudicative officer's initial decision on the fee application shall be the final administrative decision of the Agency 45 days after it is issued.
Judicial review of final Agency decisions on awards may be sought under 5 U.S.C. 504(c)(2), which provides: If a party other than the United States is dissatisfied with a determination of fees and other expenses made under [this part], that party may, within 30 days after the [final administrative] determination is made, appeal the determination to the court of the United States having jurisdiction to review the merits of the underlying decision of the agency adversary adjudication. The court's determination of any appeal heard under this [authority] shall be based solely on the factual record made before the agency. The court may modify the determination of fees and other expenses only if the court finds that the failure to make an award of fees and other expenses, or the calculation of the amount of the award, was unsupported by the substantial evidence.
(a) An applicant seeking payment of an award shall submit to the paying agency a copy of the Agency's final decision granting the award, accompanied by a statement that the applicant will not seek review of the decision in the United States courts. The submission to NASA should be addressed as follows:
(b) The Agency will pay the amount awarded to the applicant within 60 days, if feasible, unless judicial review of the award or of the underlying decision of the adversary adjudication has been sought by the applicant or any other party to the proceeding.
(a) This part sets forth procedures to be followed with respect to the production or disclosure of official information or records and/or the testimony of present or former employees of the National Aeronautics and Space Administration relating to any official information acquired by any employee of NASA as part of the performance of that employee's official duties or by virtue of that employee's official status, where a demand for such production, disclosure, or testimony is issued in a federal, state, or other legal proceeding.
(b) This part does not apply to any legal proceeding in which an employee is to testify, while in leave status, as to facts or events that are in no way related to the official duties of that employee or to the functions of the NASA.
(a) Agency—As referred to in this regulation, Agency means the National Aeronautics and Space Administration.
(b) Demand—A subpoena, order, or authorized request for official information, or for the appearance and testimony of NASA personnel, issued as the result of a legal proceeding.
(c) Employee—Includes all present and former officers and employees of the National Aeronautics and Space Administration who are or have been appointed by, or subject to the supervision, jurisdiction, or control of the Administrator of the agency.
(d) Legal proceeding—Includes any proceeding before a court of law or equity, administrative board or commission, hearing officer, or other body conducting a legal or administrative proceeding.
(e) Legal proceeding involving the United States—Any proceeding before a court of law or equity brought on behalf of, or against the United States, NASA or NASA employees, and resulting from alleged NASA operations.
(f) Official information—All information of any kind, however stored, that is in the custody and control of NASA or was acquired by NASA personnel as part of official duties or because of official status while such personnel were employed by or on behalf of the NASA.
Whenever an employee or former employee of NASA receives a demand for production of materials or the disclosure of information, or for appearance and testimony as a witness in a legal proceeding in which NASA or the United States is a party, the employee shall immediately notify in writing the Installation Chief Counsel for Installation employees, the General Counsel for Headquarters employees, or the Attorney-Adviser to the Inspector General (IG) for IG employees. This notice must include copies of all pertinent legal documents and a summary of the employee's knowledge concerning the legal proceeding in question. When necessary, this information may be reported orally, followed by a written confirmation.
Whenever an employee or former employee of the Agency receives a demand for production or disclosure of official information in a legal proceeding not involving the United States, the employee shall immediately notify the General Counsel or designate. In addition, the party causing the demand to be issued shall furnish the Office of General Counsel a written, detailed statement of the information sought and its relevance to the proceeding in connection with which it is requested. The General Counsel or designate may waive the requirement that a written summary be furnished where he/she deems it unnecessary. The election to waive the requirement of a written summary in no way constitutes a waiver of any other requirements set forth in this section.
If an employee or former employee receives a demand to produce or disclose official information, that employee may not disclose such materials or information or testify regarding same without the prior approval of the General Counsel or designate.
The General Counsel or designate shall direct employees to honor all valid demands. In deciding whether a particular demand is valid, the General Counsel or designate may consider:
(a) Whether such disclosure or appearance is appropriate under the rules of procedure governing the legal proceeding in which the demand arose.
(b) Whether disclosure is appropriate under the relevant substantive law concerning privilege.
(c) Whether disclosure might improperly reveal trade secrets, or commercial or financial information that is confidential or privileged.
(d) Whether disclosure might reveal classified information.
(e) Whether disclosure would violate a specific applicable constitutional provision, federal statute or regulation, or executive order.
(f) Whether appearance of the requested employee would seriously implicate an interest of the Agency such as conservation of employee time for conducting official business, avoidance of expending appropriated monies for non-federal purposes, or avoidance of involving the agency in controversial issues not related to its mission.
After consideration of the factors enumerated in § 1263.105 (a) through (f), the General Counsel or designate may authorize the testimony, disclosure, or production as demanded; limit the subject matter or extent of any testimony, disclosure, or production through written instruction to the employee; or deny permission for any testimony, disclosure, or production. Where appropriate, the General Counsel or designate may seek withdrawal of the demand by the authorizing party. Any decision of the General Counsel or designate shall be final and shall be communicated to the employee and the party causing the demand to be issued.
If a response to a demand is required before the General Counsel or designate can render a decision, the employee subpoenaed, or an agency attorney or other government attorney designated for that purpose, shall appear on behalf of the employee and shall furnish the authority which issued the demand a copy of these regulations, and inform the authority that the demand has been referred for the prompt consideration of the General Counsel, and shall respectfully request the authority to stay the demand until the General Counsel or designate has rendered a final decision.
If the court or other authority which caused the demand to be issued declines to stay the effect of the demand pending a final decision by the General Counsel or designate; or if the General Counsel or designate directs that the employee may not comply with the demand, and a court or other authority rules that the demand must be complied with irrespective of that decision, the employee upon whom the demand has been made, or an agency or other governmental attorney, shall respectfully decline to comply with the demand and shall cite, “United States ex rel. Touhy v. Ragen, et al., 340 U.S. 462 (1951).”
The General Counsel or designate may grant permission to deviate from the policy or procedure established in these regulations. Permission to deviate will be granted when the deviation will not interfere with matters of operational necessity and when:
(a) It is necessary to prevent a miscarriage of justice; or
(b) The deviation is in the best interests of NASA or the United States.
This part is intended to provide guidance for the internal operation of NASA and is not intended to, does not, and may not be relied upon to create any right of benefit—substantive or procedural—enforceable at law against the United States or NASA.
(a) Basis. This part implements the Program Fraud Civil Remedies Act of 1986, Pub. L. 99-509, sections 6101-6104, 100 Stat. 1874 (October 21, 1986), to be codified at 31 U.S.C. 3801-3812. 31 U.S.C. 3809 of the statute requires each authority head to promulgate regulations necessary to implement the provisions of the statute.
(b) Purpose. This part does the following:
(1) Establishes administrative procedures for imposing civil penalties and assessments against persons who make, submit, or present, or cause to be made, submitted, or presented, false, fictitious, or fraudulent claims or written statements to authorities or to their agents; and
(2) Specifies the hearing and appeal rights of persons subject to allegations of liability for such penalties and assessments.
(a) ALJ means an Administrative Law Judge in the authority appointed pursuant to 5 U.S.C. 3105 or detailed to the authority pursuant to 5 U.S.C. 3344. For purposes of this part, the ALJ shall be referred to as the presiding officer.
(b) Authority means the National Aeronautics and Space Administration (NASA).
(c) Authority head means the NASA Administrator or Deputy Administrator or designee. For purposes of this regulation, the NASA General Counsel or Deputy General Counsel is designated legal counsel to the Authority head.
(d) Benefit means, in the context of statement, anything of value, including but not limited to any advantage, preference, privilege, license, permit, favorable decision, ruling, status, or loan guarantee.
(e) Claim means any request, demand, or submission—
(1) Made to the authority for property, services, or money (including money representing grants, loans, insurance, or benefits);
(2) Made to a recipient of property, services, or money from the authority or to a party to a contract with the authority—
(i) For property or services if the United States—
(A) Provided such property or services;
(B) Provided any portion of the funds for the purchase of such property or services; or
(C) Will reimburse such recipient or party for the purchase of such property or services; or
(ii) For the payment of money (including money representing grants, loans, insurance, or benefits) if the United States—
(A) Provided any portion of the money requested or demanded; or
(B) Will reimburse such recipient or party for any portion of the money paid on such request or demand; or
(iii) Made to the authority which has the effect of decreasing an obligation to pay or account for property, services, or money.
(f) Complaint means the administrative complaint served by the reviewing official on the defendant under § 1264.106.
(g) Consent hearing means that the authority and the defendant consent, as provided in § 1264.106(c), that the presiding officer be the Chairperson of the NASA Board of Contract Appeals (BCA). The Chairperson may designate another administrative judge of the NASA BCA as presiding officer in a consent hearing.
(h) Defendant means any person alleged in a complaint under § 1264.106 to be liable for a civil penalty or assessment under § 1264.102.
(i) Government means the United States Government.
(j) Individual means a natural person.
(k) Initial decision means the written decision of the ALJ or presiding officer required by § 1264.109 or § 1264.136, and includes a revised initial decision issued following a remand or a motion for reconsideration.
(l) Investigating official means the NASA Inspector General, or designee who is serving in a position for which the rate of basic pay is not less than the minimum rate of basic pay for grade GS-16 under the General Schedule.
(m) Knows or has reason to know, means that a person with respect to a claim or statement—
(1) Has actual knowledge that the claim or statement is false, fictitious, or fraudulent;
(2) Acts in deliberate ignorance of the truth or falsity of the claim or statement; or
(3) Acts in reckless disregard of the truth or falsity of the claim or statement.
(n) Makes, wherever it appears, shall include the terms presents, submits, and causes to be made, presented, or submitted. As the context requires, making or made shall likewise include the corresponding forms of such terms.
(o) Person means any individual, partnership, corporation, association, or private organization, and includes the plural of that term.
(p) Presiding officer, except as provided for pursuant to consent trial notice, means (if the authority is not subject to the provisions of Subchapter II of Chapter 5, Title 5, U.S.C.) an officer or employee of the authority who—
(1) Is selected under Chapter 33 of Title 5 pursuant to the competitive examination process applicable to administrative law judges;
(2) Is appointed by the authority head to conduct hearings under this part;
(3) Is assigned to cases in rotation so far as practicable;
(4) May not perform duties inconsistent with the duties and responsibilities of a presiding officer;
(5) Is entitled to pay prescribed by the Office of Personnel Management independently of ratings and recommendations made by the authority and in accordance with Chapter 51 of such Title and Subchapter III of Chapter 53 of such Title;
(6) Is not subject to performance appraisal pursuant to Chapter 43 of such Title; and
(7) May be removed, suspended, furloughed, or reduced in grade or pay only for good cause established and determined by the Merit Systems Protection Board on the record after opportunity for hearing by such Board.
(q) Representative means an attorney who is in good standing of the bar of any State, Territory, or possession of the United States, or of the District of Columbia, or of the Commonwealth of Puerto Rico.
(r) Reviewing official means the NASA Associate Administrator for Management. For purposes of this regulation, the Associate General Counsel (General) or designee is designated legal counsel to the Reviewing official.
(s) Statement means any representation, certification, affirmation, document, record, or accounting or bookkeeping entry made—
(1) With respect to a claim or to obtain the approval or payment of a claim (including relating to eligibility to make a claim); or
(2) With respect to (including relating to eligibility for)—
(i) A contract with, or a bid or proposal for a contract with; or
(ii) A grant, loan, or benefit from the authority, or any State, political subdivision of a State, or other party, if the United States Government provides any portion of the money or property under such contract or for such grant, loan, or benefit, or if the Government will reimburse such State, political subdivision, or party for any portion of the money or property under such contract or for such grant, loan, or benefit.
(a) Claims. (1) Any person who makes a claim that the person knows or has reason to know—
(i) Is false, fictitious, or fraudulent;
(ii) Includes or is supported by any written statement which asserts a material fact which is false, fictitious, or fraudulent;
(iii) Includes or is supported by any written statement that—
(A) Omits a material fact;
(B) Is false, fictitious, or fraudulent as a result of such omission; and
(C) Is a statement in which the person making such statement has a duty to include such material fact; or
(iv) Is for payment for the provision of property or services which the person has not provided as claimed—
(2) Each voucher, invoice, claim form, or other individual request or demand for property, services, or money constitutes a separate claim.
(3) A claim shall be considered made to the authority, recipient, or party when such claim is actually made to an agent, fiscal intermediary, or other entity, including any State or political subdivision thereof, acting for or on behalf of the authority, recipient, or party.
(4) Each claim for property, services, or money is subject to a civil penalty regardless of whether such property, services, or money is actually delivered or paid.
(5) If the Government has made any payment (including transferred property or provided services) on a claim, a person subject to a civil penalty under paragraph (a)(1) of this section shall also be subject to an assessment of not more than twice the amount of such claim or that portion thereof that is determined to be in violation. Such assessment shall be in lieu of damages sustained by the Government because of such claim.
(b) Statements. (1) Any person who makes a written statement that—
(i) The person knows or has reason to know—
(A) Asserts a material fact which is false, fictitious, or fraudulent; or
(B) Is false, fictitious, or fraudulent because it omits a material fact that the person making the statement has a duty to include in such statement; and
(ii) Contains or is accompanied by an express certification or affirmation of the truthfulness and accuracy of the contents of the statement—
(2) Each written representation, certification, or affirmation constitutes a separate statement.
(3) A statement shall be considered made to the authority when such statement is actually made to an agent, fiscal intermediary, or other entity, including any State or political subdivision thereof, acting for or on behalf of the authority.
(c) No proof of specific intent to defraud is required to establish liability under this section.
(d) In any case in which it is determined that more than one person is liable for making a claim or statement under this section, each such person may be held liable for a civil penalty under this section.
(e) In any case in which it is determined that more than one person is liable for making a claim under this section on which the Government has made payment (including transferred property or provided services), an assessment may be imposed against any such person or jointly and severally against any combination of such persons.
(a) If an investigating official concludes that a subpoena pursuant to the authority conferred by 31 U.S.C. 3804(a) is warranted—
(1) The subpoena so issued shall notify the person to whom it is addressed of the authority under which the subpoena is issued and shall identify the records or documents sought;
(2) The subpoena may designate the person, to act on the investigating official's behalf, to receive the documents sought; and
(3) The person receiving such subpoena shall be required to tender to the investigating official or the person designated to receive the documents a certification that the documents sought have been produced, or that such documents are not available and the reasons therefor, or that such documents, suitably identified, have been withheld based upon the assertion of an identified privilege.
(b) If the investigating official concludes that an action under the Program Fraud Civil Remedies Act may be warranted, the investigating official shall submit a report containing the findings and conclusions of such investigation to the reviewing official.
(c) Nothing in this section shall preclude or limit the investigating official's discretion to refer allegations directly to the Department of Justice for suit under the False Claims Act or other civil relief, or to defer or postpone a report of referral to the reviewing official to avoid interference with a criminal investigation or prosecution.
(d) Nothing in this section modifies any responsibility of the investigating official to report violations of criminal law to the Attorney General.
(a) If, based on the report of the investigating official under § 1264.103(b), the reviewing official determines that there is adequate evidence to believe that a person is liable under § 1264.102 of this part, the reviewing official shall transmit to the Attorney General a written notice of the reviewing official's intention to issue a complaint under § 1264.106.
(b) Such notice shall include—
(1) A statement of the reviewing official's reasons for issuing a complaint;
(2) A statement specifying the evidence that supports the allegations of liability;
(3) A description of the claims or statements upon which the allegations of liability are based;
(4) An estimate of the amount of money or the value of property, services, or other benefits requested or demanded in violation of § 1264.102 of this part;
(5) A statement of any exculpatory or mitigating circumstances that may relate to the claims or statements known by the reviewing official or the investigating official; and
(6) A statement that there is a reasonable prospect of collecting an appropriate amount of penalties and assessments. Such a statement may be based upon information then known or an absence of any information indicating that the person may be unable to pay such an amount.
(a) The reviewing official may issue a complaint under § 1264.106 only if—
(1) The Department of Justice approves the issuance of a complaint in a written statement described in 31 U.S.C. 3803(b)(1); and
(2) In the case of allegations of liability under § 1264.102(a) with respect to a claim, the reviewing official determines that, with respect to such claim or a group of related claims submitted at the same time such claim is submitted (as defined in paragraph (b) of this section), the amount of money or the value of property or services demanded or requested in violation of § 1264.102(a) does not exceed $150,000.
(b) For the purposes of this section, a related group of claims submitted at the same time shall include only those claims arising from the same transaction (e.g., grant, loan, application, or contract) that are submitted simultaneously as part of a single request, demand, or submission.
(c) Nothing in this section shall be construed to limit the reviewing official's authority to join in a single complaint against a person claims that are unrelated or were not submitted simultaneously, regardless of the amount of money or the value of property or services demanded or requested.
(a) On or after the date the Department of Justice approves the issuance of a complaint in accordance with 31 U.S.C. 3803(b)(1), the reviewing official may serve a complaint on the defendant, as provided in § 1264.107.
(b) The complaint shall state—
(1) The allegations of liability against the defendant, including the statutory basis for liability, an identification of the claims or statements that are the basis for the alleged liability, and the reasons why liability allegedly arises from such claims or statements;
(2) The maximum amount of penalties and assessments for which the defendant may be held liable;
(3) Instructions for filing an answer to request a hearing, including a specific statement of the defendant's right to request a hearing by filing an answer and to be represented by a representative; and
(4) That failure to file an answer within 30 days of service of the complaint will result in the imposition of the maximum amount of penalties and assessments without right to appeal as provided in § 1264.109.
(c) At the same time the defendant is served with the complaint, he or she shall also be served with a—
(1) Notice to Consent to the Chairperson of the NASA Board of Contract Appeals (BCA), or Designee, as presiding officer;
(2) Copy of this part 1264 of 14 CFR.
(a) Service of a complaint must be made by certified or registered mail or by delivery in any manner authorized by Rule 4(d) of the Federal Rules of Civil Procedure.
(b) Proof of service, stating the name and address of the person on whom the complaint was served, and the manner and date of service, may be made by—
(1) Affidavit of the individual servicing the complaint by delivery;
(2) A United States Postal Service return receipt card acknowledging receipt; or
(3) Written acknowledgment of receipt by the defendant or his/her representative.
(a) The defendant may request a hearing by filing an answer with the reviewing official within 30 days of service of the complaint. An answer shall be deemed to be a request for hearing.
(b) In the answer, the defendant—
(1) Shall admit or deny each of the allegations of liability made in the complaint;
(2) Shall state any defense on which the defendant intends to rely;
(3) May state any reasons why the defendant contends that the penalties and assessments should be less than the statutory maximum; and
(4) Shall state the name, address, and telephone number of the person authorized by the defendant to act as defendant's representative, if any.
(c) If the defendant is unable to file an answer meeting the requirements of paragraph (b) of this section within the time provided, the defendant may, before the expiration of 30 days from service of the complaint, file with the reviewing official a general answer denying liability and requesting a hearing, and a request for an extension of time within which to file an answer meeting the requirements of paragraph (b) of this section. The reviewing official, as provided in § 1264.110, shall file promptly with the presiding officer the complaint, the general answer denying liability, and the request for an extension of time. For good cause shown, the presiding officer may grant the defendant up to 30 additional days within which to file an answer meeting the requirements of paragraph (b) of this section.
(a) If the defendant does not file an answer within the time prescribed in § 1264.108(a), the reviewing official may refer the complaint to the presiding officer.
(b) Upon the referral of the complaint, the presiding officer shall promptly serve on defendant, in the manner prescribed in § 1264.107, a notice that an initial decision will be issued under this section.
(c) If the defendant fails to answer, the presiding officer shall assume the facts alleged in the complaint to be true and, if such facts establish liability under § 1264.102, the presiding officer shall issue an initial decision imposing the maximum amount of penalties and assessments allowed under the statute.
(d) Except as otherwise provided in this section, by failing to file a timely answer, the defendant waives any right to further review of the penalties and assessments imposed under paragraph (c) of this section, and the initial decision shall become final and binding upon the parties 30 days after it is issued.
(e) If, before such an initial decision becomes final, the defendant files a motion with the presiding officer seeking to reopen on the grounds that extraordinary circumstances prevented the defendant from filing an answer, the initial decision shall be stayed pending the presiding officer's decision on the motion.
(f) If, on such motion, the defendant can demonstrate extraordinary circumstances excusing the failure to file a timely answer, the presiding officer shall withdraw the initial decision under paragraph (c) of this section, if such a decision has been issued, and shall grant the defendant an opportunity to answer the complaint.
(g) A decision of the presiding officer denying a defendant's motion under paragraph (e) of this section is not subject to reconsideration under § 1264.137.
(h) The defendant may appeal to the authority head the decision denying a motion to reopen by filing a notice of appeal with the authority head within 15 days after the presiding officer denies the motion. The timely filing of a notice of appeal shall stay the initial decision until the authority head decides the issue.
(i) If the defendant files a timely notice of appeal with the authority head, the presiding officer shall forward the record of the proceeding to the authority head.
(j) The authority head shall decide expeditiously whether extraordinary circumstances excuse the defendant's failure to file a timely answer based solely on the record before the presiding officer.
(k) If the authority head decides that extraordinary circumstances excused the defendant's failure to file a timely answer, the authority head shall remand the case to the presiding officer with instructions to grant the defendant an opportunity to answer.
(l) If the authority head decides that the defendant's failure to file a timely answer is not excused, the authority head shall reinstate the initial decision of the presiding officer, which shall become final and binding upon the parties 30 days after the authority head issues such decision.
Upon receipt of an answer, the reviewing official shall file the complaint and answer with the presiding officer, and include the name and address of the attorney who will represent the authority before the presiding officer.
(a) When the presiding officer receives the complaint and answer, the presiding officer shall promptly serve a notice of hearing upon the defendant in the manner prescribed by § 1264.107. At the same time, the presiding officer shall send a copy of such notice to the representative of the authority.
(b) Such notice shall include—
(1) The tentative time and place, and the nature of the hearing;
(2) The legal authority and jurisdiction under which the hearing is to be held;
(3) The matters of fact and law asserted;
(4) A description of the procedures for the conduct of the hearing;
(5) The name, address, and telephone number of the representative of the authority and of the defendant;
(6) An opportunity for a settlement conference or proposals of adjustment through alternative dispute resolutions, if not already explored; and
(7) Such other matters as the presiding officer deems appropriate.
(a) The parties to the hearing shall be the defendant and the authority.
(b) Pursuant to 31 U.S.C. 3730(c)(5), a private plaintiff under the False Claims Act, as amended, may participate in these proceedings to the extent authorized by the provisions of that Act. (See section 3 of the False Claims Amendments Act of 1986, Pub. L. 99-562, October 27, 1986.)
(a) The investigating official, the reviewing official, and any employee or agent of the authority who takes part in investigating, preparing, or presenting a particular case may not, in such case or a factually related case—
(1) Participate in the hearing as the presiding officer;
(2) Participate or advise in the initial decision or the review of the initial decision by the authority head, except as a witness or as the authority representative in the administrative or judicial proceedings; or
(3) Make the collection of penalties and assessments under 31 U.S.C. 3806.
(b) The presiding officer shall not be responsible to, or subject to the supervision or direction of, the investigating official or the reviewing official.
(c) Except as provided in paragraph (a) of this section, the representative for the Government must be a member of the legal staff of the authority. Nothing in this paragraph is intended to prevent assistance to the Government representative by attorneys in the NASA organization or other governmental entities.
No party or person (except employees of the presiding officer's office) shall communicate in any way with the presiding officer on any matter at issue in a case, unless on notice and opportunity for all parties to participate. This provision does not prohibit a person or party from inquiring about the status of a case or asking routine questions concerning administrative functions or procedures.
(a) A reviewing official or presiding officer in a particular case may disqualify himself or herself at any time.
(b) A party may file with the presiding officer a motion for disqualification of a reviewing official or a presiding officer. Such motion shall be accompanied by an affidavit alleging personal bias or other reason for disqualification.
(c) Such motion and affidavit shall be filed promptly upon the party's discovery of reasons for disqualification, or such objections shall be deemed waived.
(d) Such affidavit shall state specific facts that support the party's belief that personal bias or other reason for disqualification exists and the time and circumstances of the party's discovery of such facts. It shall be accompanied by a certificate of the representative of record that it is made in good faith.
(e) Upon the filing of such a motion and affidavit, the presiding officer shall proceed no further in the case until the matter of disqualification is resolved in accordance with paragraph (f) of this section.
(f)(1) If the presiding officer determines that a reviewing official is disqualified, the presiding officer shall dismiss the complaint without prejudice.
(2) If the presiding officer disqualifies himself or herself, the case shall be reassigned promptly to another presiding officer.
(3) If the presiding officer denies a motion to disqualify, the authority head may determine the matter only as part of his or her review of the initial decision upon appeal, if any.
Except as otherwise limited by this part, all parties may—
(a) Be accompanied, represented, and advised by a representative;
(b) Participate in any conference held by the presiding officer;
(c) Conduct discovery;
(d) Agree to stipulations of fact or law, which shall be made part of the record;
(e) Present evidence relevant to the issues at the hearing;
(f) Present and cross-examine witnesses;
(g) Present oral arguments at the hearing as permitted by the presiding officer; and
(h) Submit written briefs and proposed findings of fact and conclusions of law after the hearing.
(a) The presiding officer shall conduct a fair and impartial hearing, avoid delay, maintain order, and assure that a record of the proceeding is made.
(b) The presiding officer has the authority to—
(1) Set and change the date, time, and place of the hearing upon reasonable notice to the parties;
(2) Continue or recess the hearing in whole or in part for a reasonable period of time;
(3) Hold conferences to identify or simplify the issues, or to consider other matters, including settlement conferences or other alternative dispute resolution, that may aid in the fair and expeditious disposition of the proceeding;
(4) Administer oaths and affirmations;
(5) Issue subpoenas, requiring the attendance of witnesses and the production of documents at depositions or at hearings, which the presiding officer considers relevant and material;
(6) Rule on motions and other procedural matters;
(7) Regulate the scope and timing of discovery;
(8) Regulate the course of the hearing and the conduct of representatives and parties;
(9) Examine witnesses;
(10) Receive, rule on, exclude, or limit evidence;
(11) Upon motion of a party, take official notice of facts;
(12) Upon motion of a party, decide cases, in whole or in part, by summary judgment where there is no genuine issue as to any material fact;
(13) Conduct any conference, argument, or hearing on motions in person or by telephone; and
(14) Exercise such other authority as is necessary to carry out the responsibilities of the presiding officer under this part.
(c) The presiding officer does not have the authority to find Federal statutes or regulations invalid.
(a) The presiding officer may schedule prehearing conferences as appropriate.
(b) Upon the motion of any party, the presiding officer shall schedule at least one prehearing conference at a reasonable time in advance of the hearing.
(c) The presiding officer may use prehearing conferences to discuss the following:
(1) Simplification of the issues;
(2) The necessity or desirability of amendments to the pleadings, including the need for a more definite statement;
(3) Stipulations and admissions of fact or as to the contents and authenticity of documents;
(4) Whether the parties can agree to submission of the case on a stipulated record;
(5) Whether a party chooses to waive appearance at an oral hearing and to submit only documentary evidence (subject to the objections of other parties) and written arguments;
(6) Limitation of the number of witnesses;
(7) Scheduling dates for the exchange of witness lists and of proposed exhibits;
(8) Discovery;
(9) The time and place for the hearing; and
(10) Such other matters, including settlement, as may tend to expedite the fair and just disposition of the proceedings.
(d) The presiding officer may issue an order containing all matters agreed upon by the parties or ordered by the presiding officer at a prehearing conference.
(a) Upon written request to the reviewing official, the defendant may review any relevant and material documents, transcripts, records, and other materials that relate to the allegations set out in the complaint and upon which the findings and conclusions of the investigating official under § 1264.103(b) are based unless such documents are subject to a privilege under Federal law. Upon payment of a reasonable fee for duplication, the defendant may obtain copies of such documents.
(b) Upon written request to the reviewing official, the defendant also may obtain a copy of all exculpatory information in the possession of the reviewing official or investigating official relating to the allegations in the complaint, even if it is contained in a document that would otherwise be privileged. If the document would otherwise be privileged, only that portion containing exculpatory information must be disclosed.
(c) The notice sent to the Attorney General from the reviewing official as described in § 1264.104 is not discoverable under any circumstances.
(d) The defendant may file a motion to compel disclosure of the documents subject to the provisions of this section. Such a motion may only be filed with the presiding officer following the filing of an answer pursuant to § 1264.108.
(a) The following types of discovery are authorized:
(1) Requests for production of documents for inspection and copying;
(2) Requests for admissions of the authenticity of any relevant document or of the truth of any relevant fact;
(3) Written interrogatories; and
(4) Depositions.
(b) For the purpose of this section and §§ 1264.121 and 1264.122, the term documents includes information, documents, reports, answers, records, accounts, papers, and other data and documentary evidence which the presiding officer considers relevant and material to the hearing. Nothing contained herein shall be interpreted to require the creation of a document.
(c) Unless mutually agreed to by the parties, discovery is available only as ordered by the presiding officer. The presiding officer shall regulate the timing of discovery.
(d) Motions for discovery. (1) A party seeking discovery may file a motion with the presiding officer. Such a motion shall be accompanied by a copy of the discovery request or, in the case of depositions, a summary of the scope of the proposed deposition.
(2) Within 10 days of service, a party may file an opposition to the motion and/or a motion for protective order as provided in § 1264.123.
(3) The presiding officer may grant a motion for discovery only if he/she finds that the discovery sought—
(i) Is necessary for the expeditious, fair, and reasonable consideration of the issues;
(ii) Is not unduly costly or burdensome;
(iii) Will not unduly delay the proceeding; and
(iv) Does not seek privileged information.
(4) The burden of showing that discovery should be allowed is on the party seeking discovery.
(5) The presiding officer may grant discovery subject to a protective order under § 1264.123.
(e) Depositions. (1) If a motion for deposition is granted, the presiding officer shall issue a subpoena for the deponent, which may require the deponent to produce documents. The subpoena shall specify the time and place at which the deposition will be held.
(2) The party seeking to depose shall serve the subpoena in the manner prescribed in § 1264.107.
(3) The deponent may file with the presiding officer a motion to quash the subpoena or a motion for a protective order within 10 days of service.
(4) The party seeking to depose shall provide for the taking of a verbatim transcript of the deposition, which it shall make available to all other parties for inspection and copying.
(f) Each party shall bear its own costs of discovery.
(a) At least 15 days before the hearing or at such other time as may be ordered by the presiding officer, the parties shall exchange witness lists, copies of prior statements of proposed witnesses, and copies of proposed hearing exhibits, including copies of any written statements that the party intends to offer in lieu of live testimony in accordance with paragraph (b) of § 1264.132. At the time the above documents are exchanged, any party that intends to rely on the transcript of deposition testimony in lieu of live testimony at the hearing, if permitted by the presiding officer, shall provide each party with a copy of the specific pages of the transcript it intends to introduce into evidence.
(b) If a party objects, the presiding officer shall not admit into evidence the testimony of any witness whose name does not appear on the witness list or any exhibit not provided to the opposing party, in accordance with paragraph (a) of this section, unless the presiding officer finds goods cause for the failure or that there is no prejudice to the objecting party.
(c) Unless another party objects within the time set by the presiding officer, documents exchanged in accordance with paragraph (a) of this section shall be deemed to be authentic for the purpose of admissibility at the hearing.
(a) A party wishing the appearance and testimony of any individual at the hearing may request that the presiding officer issue a subpoena.
(b) A subpoena requiring the attendance and testimony of an individual may also require the individual to produce documents at the hearing.
(c) A party seeking a subpoena shall file a written request therefor not less than 15 days before the date fixed for the hearing unless otherwise allowed by the presiding officer for good cause shown. Such request shall specify any documents to be produced and shall designate the witnesses and describe the address and location thereof with sufficient particularity to permit such witnesses to be found.
(d) The subpoena shall specify the time and place at which the witness is to appear and any documents the witness is to produce.
(e) The party seeking the subpoena shall serve it in the manner prescribed in § 1264.107. A subpoena on a party or upon an individual under the control of a party may be served by first class mail.
(f) A party or the individual to whom the subpoena is directed may file with the presiding officer a motion to quash the subpoena within 10 days after service or on or before the time specified in the subpoena for compliance if it is less than 10 days after service.
(a) A party or a prospective witness or deponent may file a motion for a protective order with respect to discovery sought by an opposing party or with respect to the hearing, seeking to limit the availability or disclosure of evidence.
(b) In issuing a protective order, the presiding officer may make any order which justice requires to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense, including one or more of the following:
(1) That the discovery not be had;
(2) That the discovery may be had only on specified terms and conditions, including a designation of the time or place;
(3) That the discovery may be had only through a method of discovery other than that requested;
(4) That certain matters not be inquired into, or that the scope of discovery be limited to certain matters;
(5) That discovery be conducted with no one present except persons designated by the presiding officer;
(6) That the contents of discovery or evidence be sealed;
(7) That a deposition after being sealed be opened only by order of the presiding officer;
(8) That a trade secret or other confidential research, development, commercial information, or facts pertaining to any criminal investigation, proceeding, or other administrative investigation not be disclosed or be disclosed only in a designated way; or
(9) That the parties simultaneously file specified documents or information enclosed in sealed envelopes to be opened as directed by the presiding officer.
The party requesting a subpoena shall pay the cost of the fees and mileage of any witness subpoenaed in the amounts that would be payable to a witness in a proceeding in United States District Court. A check for witness fees and mileage shall accompany the subpoena when served, except that when a subpoena is issued on behalf of the authority, a check for witness fees and mileage need not accompany the subpoena.
(a) Form. (1) Documents filed with the presiding officer shall include an original and two copies.
(2) Every pleading and paper filed in the proceeding shall contain a caption setting forth the title of the action, the case number assigned by the presiding officer, and a designation of the paper (e.g., motion to quash subpoena).
(3) Every pleading and paper shall be signed by, and shall contain the address and telephone number of the party or the person on whose behalf the paper was filed, or his or her representative.
(4) Papers are considered filed when they are mailed. Date of mailing may be established by a certificate from the party or its representative or by proof that the document was sent by certified or registered mail.
(b) Service. A party filing a document with the presiding officer shall, at the time of filing, serve a copy of such document on every other party. Service upon any party of any document other than those required to be served as prescribed in § 1264.107 shall be made by delivering a copy or by placing a copy of the document in the U.S. mail, postage prepaid, and addressed to the party's last known address. When a party is represented by a representative, service shall be made upon such representative.
(c) Proof of service. A certificate of the individual serving the document by personal delivery or by mail, setting forth the manner of service, shall be proof of service.
(a) In computing any period of time under this part or in an order issued thereunder, the time begins with the day following the act, event, or default, and includes the last day of the period, unless it is a Saturday, Sunday, or legal holiday observed by the Federal government, in which event it includes the next business day.
(b) When the period of time allowed is less than 7 days, intermediate Saturdays, Sundays, and legal holidays observed by the Federal government shall be excluded from the computation.
(c) Where a document has been served or issued by placing it in the mail, an additional 5 days will be added to the time permitted for any response.
(a) Any application to the presiding officer for an order or ruling shall be by motion. Motions shall state the relief sought, the authority relied upon, and the facts alleged, and shall be filed with the presiding officer and served on all other parties.
(b) Except for motions made during a prehearing conference or at the hearing, all motions shall be in writing. The presiding officer may require that oral motions be reduced to writing.
(c) Within 15 days after a written motion is served, or such other time as may be fixed by the presiding officer, any party may file a response to such motion.
(d) The presiding officer may not grant a written motion before the time for filing responses thereto has expired, except upon consent of the parties or following a hearing on the motion, but may overrule or deny such motion without awaiting a response.
(e) The presiding officer shall make a reasonable effort to dispose of all outstanding motions prior to the beginning of the hearing.
(a) The presiding officer may sanction a person, including any party or representative for—
(1) Failing to comply with an order, rule, or procedure governing the proceeding;
(2) Failing to prosecute or defend an action; or
(3) Engaging in other misconduct that interferes with the speedy, orderly, or fair conduct of the hearing.
(b) Any such sanction, including but not limited to those listed in paragraphs (c), (d), and (e) of this section, shall reasonably relate to the severity and nature of the failure or misconduct.
(c) When a party fails to comply with an order, including an order for taking a deposition, the production of evidence within the party's control, or a request for admission, the presiding officer may—
(1) Draw an inference in favor of the requesting party with regard to the information sought;
(2) In the case of requests for admission, deem each matter of which an admission is requested to be admitted;
(3) Prohibit the party failing to comply with such order from introducing evidence concerning, or otherwise relying upon testimony relating to, the information sought; and
(4) Strike any part of the pleadings or other submissions of the party failing to comply with such request.
(d) If a party fails to prosecute or defend an action under this part commenced by service of a notice of hearing, the presiding officer may dismiss the action or may issue an initial decision imposing penalties and assessments.
(e) The presiding officer may refuse to consider any motion, request, response, brief, or other document which is not filed in a timely fashion.
(a) The presiding officer shall conduct a hearing on the record in order to determine whether the defendant is liable for a civil penalty or assessment under § 1264.102 and, if so, the appropriate amount of any such civil penalty or assessment considering any aggravating or mitigating factors.
(b) The authority shall prove defendant's liability and any aggravating factors by a preponderance of the evidence.
(c) The defendant shall prove any affirmative defenses and any mitigating factors by a preponderance of the evidence.
(d) The hearing shall be open to the public unless otherwise ordered by the presiding officer for good cause shown.
(a) In determining an appropriate amount of civil penalties and assessments, the presiding officer, and the authority head upon appeal, should evaluate any circumstances that mitigate or aggravate the violation and should articulate in their opinions the reasons that support the penalties and assessments they impose. Because of the intangible costs of fraud, the expense of investigating such conduct, and the need to deter others who might be similarly tempted, ordinarily double damages and a significant civil penalty should be imposed.
(b) Although not exhaustive, the following factors are among those that may influence the presiding officer and the authority head in determining the amount of penalties and assessments to impose with respect to the misconduct (i.e., the false, fictitious, or fraudulent claims or statements) charged in the complaint:
(1) The number of false, fictitious, or fraudulent claims or statements;
(2) The time period over which such claims or statements were made;
(3) The degree of the defendant's culpability with respect to the misconduct;
(4) The amount of money or the value of the property, services, or benefit falsely claimed;
(5) The value of the Government's actual loss as a result of the misconduct, including foreseeable consequential damages and the costs of investigation;
(6) The relationship of the amount imposed as civil penalties to the amount of the Government's loss;
(7) The potential or actual impact of the misconduct upon national defense, public health or safety, or public confidence in the management of Government programs and operations, including particularly the impact on the intended beneficiaries of such programs;
(8) Whether the defendant has engaged in a pattern of the same or similar misconduct;
(9) Whether the defendant attempted to conceal the misconduct;
(10) The degree to which the defendant has involved others in the misconduct or in concealing it;
(11) Where the misconduct of employees or agents is imputed to the defendant, the extent to which the defendant's practices fostered or attempted to preclude such misconduct;
(12) Whether the defendant cooperated in or obstructed an investigation of the misconduct;
(13) Whether the defendant assisted in identifying and prosecuting other wrongdoers;
(14) The complexity of the program or transaction, and the degree of the defendant's sophistication with respect to it, including the extent of the defendant's prior participation in the program or in similar transactions;
(15) Whether the defendant has been found, in any criminal, civil, or administrative proceeding to have engaged in similar misconduct or to have dealt dishonestly with the Government of the United States or of a State, directly or indirectly; and
(16) The need to deter the defendant and others from engaging in the same or similar misconduct.
(c) Nothing in this section shall be construed to limit the presiding officer or the authority head from considering any other factors that in any given case may mitigate or aggravate the offense for which penalties and assessments are imposed.
(a) The hearing may be held—
(1) In any judicial district of the United States in which the defendant resides or transacts business;
(2) In any judicial district of the United States in which the claim or statement in issue was made; or
(3) In such other place as may be agreed upon by the defendant and the presiding officer.
(b) Each party shall have the opportunity to present argument with respect to the location of the hearing.
(c) The hearing shall be held at the place and at the time ordered by the presiding officer.
(a) Except as provided in paragraph (b) of this section, testimony at the hearing shall be given orally by witnesses under oath or affirmation.
(b) At the discretion of the presiding officer, testimony may be admitted in the form of a written statement or deposition. Any such written statement must be provided to all other parties along with the last known address of such witness, in a manner which allows sufficient time for other parties to subpoena such witness for cross-examination at the hearing. Prior written statements of witnesses proposed to testify at the hearing and deposition transcripts shall be exchanged as provided in § 1264.121(a).
(c) The presiding officer shall exercise reasonable control over the mode and order of interrogating witnesses and presenting evidence so as to make the interrogation and presentation effective for the ascertainment of the truth, avoid needless consumption of time, and protect witnesses from harassment or undue embarrassment.
(d) The presiding officer shall permit the parties to conduct such cross-examination as may be required for a full and true disclosure of the facts.
(e) At the discretion of the presiding officer, a witness may be cross-examined on matters relevant to the proceeding without regard to the scope of his or her direct examination. To the extent permitted by the presiding officer, cross-examination on matters outside the scope of direct examination shall be conducted in the manner of direct examination and may proceed by leading questions only if the witness is a hostile witness, an adverse party, or a witness identified with an adverse party.
(f) Upon motion of any party, the presiding officer shall order witnesses excluded so that they cannot hear the testimony of other witnesses. This rule does not authorize exclusion of—
(1) A party who is an individual;
(2) In the case of a party that is not an individual, an officer or employee of the party appearing for the entity pro se or designated by the party's representative; or
(3) An individual whose presence is shown by a party to be essential to the presentation of its case, including an individual employed by the Government engaged in assisting the representative for the Government.
(a) The presiding officer shall determine the admissibility of evidence.
(b) Except as provided herein, the presiding officer shall not be bound by the Federal Rules of Evidence. However, the presiding officer may apply the Federal Rules of Evidence where appropriate, e.g., to exclude unreliable evidence.
(c) The presiding officer shall exclude irrelevant and immaterial evidence.
(d) Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or by considerations of undue delay or needless presentation of cumulative evidence.
(e) Although relevant, evidence may be excluded if it is privileged under Federal law.
(f) Evidence concerning offers of compromise or settlement shall be inadmissible to the extent provided in Rule 408 of the Federal Rules of Evidence.
(g) The presiding officer shall permit the parties to introduce rebuttal witnesses and evidence.
(h) All documents and other evidence offered or taken for the record shall be open to examination by all parties, unless otherwise ordered by the presiding officer pursuant to § 1264.123.
(a) The hearing will be recorded and transcribed. Transcripts may be obtained following the hearing from the presiding officer at a cost not to exceed the actual cost of duplication.
(b) The transcript of testimony, exhibits, and other evidence admitted at the hearing, and all papers and requests filed in the proceeding constitute the record for the decision by the presiding officer and the authority head.
(c) The record may be inspected and copied (upon payment of a reasonable fee) by anyone, unless otherwise ordered by the presiding officer pursuant to § 1264.123.
The presiding officer may require the parties to file post-hearing briefs. In any event, upon approval of the presiding officer, any party may file a post-hearing brief. The presiding officer shall fix the time for filing such briefs, not to exceed 60 days from the date the parties receive the transcript of the hearing or, if applicable, the stipulated record. Such briefs may be accompanied by proposed findings of fact and conclusions of law. The presiding officer may permit the parties to file reply briefs, and may grant an extension of the 60-day time period or other time for good cause shown.
(a) The presiding officer shall issue an initial decision based solely on the record, which shall contain findings of fact, conclusions of law, and the amount of any penalties and assessments imposed.
(b) The findings of fact shall include a finding on each of the following issues:
(1) Whether the claims or statements identified in the complaint, or any portions thereof, violate § 1264.102;
(2) If the person is liable for penalties or assessments, the appropriate amount of any such penalties or assessments considering any mitigating or aggravating factors found in the case, such as those described in § 1264.130.
(c) The presiding officer shall promptly serve the initial decision on all parties within 90 days after the time for submission of post-hearing briefs and reply briefs (if permitted) has expired or upon notification that the record is now closed. The presiding officer shall at the same time serve all parties with a statement describing the right of any defendant determined to be liable for a civil penalty or assessment to file a motion for reconsideration with the presiding officer or a notice of appeal with the authority head. If the presiding officer fails to meet the deadline contained in this paragraph, he or she shall notify the parties of the reason for the delay and shall set a new deadline.
(d) Unless the initial decision of the presiding officer is timely appealed to the authority head, or a motion for reconsideration of the initial decision is timely filed, the initial decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after it is issued by the presiding officer.
(a) Except as provided in paragraph (d) of this section, any party may file a motion for reconsideration of the initial decision within 20 days of receipt of the initial decision. If service was made by mail, receipt will be presumed to be 5 days from the date of mailing in the absence of contrary proof.
(b) Every such motion must set forth the matters claimed to have been erroneously decided and the nature of the alleged errors. Such motion shall be accompanied by a supporting brief.
(c) Responses to such motions shall be allowed only upon request of the presiding officer.
(d) No party may file a motion for reconsideration of an initial decision that has been revised in response to a previous motion for reconsideration.
(e) The presiding officer may dispose of a motion for reconsideration by denying it or by issuing a revised initial decision.
(f) If the presiding officer denies a motion for reconsideration, the initial decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after the presiding officer denies the motion, unless the initial decision is timely appealed to the authority head in accordance with § 1264.138.
(g) If the presiding officer issues a revised initial decision, the revised decision shall constitute the final decision of the authority head and shall be final and binding on the parties 30 days after it is issued, unless it is timely appealed to the authority head in accordance with § 1264.138.
(a) Any defendant who has filed a timely answer and who is determined in an initial decision to be liable for a civil penalty or assessment may appeal such decision to the authority head by filing a notice of appeal with the authority head in accordance with this section.
(b) The time for appeal to the authority head is as follows:
(1) A notice of appeal may be filed at any time within 30 days after the presiding officer issues an initial decision. However, if any other party files a motion for a reconsideration under § 1264.137, consideration of the appeal shall be stayed automatically pending resolution of the motion for reconsideration.
(2) If a motion for reconsideration is timely filed, a notice of appeal must be filed within 30 days after the presiding officer denies the motion or issues a revised initial decision, whichever applies.
(3) If no motion for reconsideration is timely filed, a notice of appeal must be filed within 30 days after the presiding officer issues the initial decision.
(4) The authority head may extend the initial 30-day period for an additional 30 days if the defendant files with the authority head a request for an extension within the initial 30-day period and shows good cause.
(c) If the defendant files a timely notice of appeal with the authority head and the time for filing motions for reconsideration under § 1264.137 has expired, the presiding officer shall forward the record of the proceeding to the authority head.
(d) A notice of appeal shall be accompanied by a written brief specifying exceptions to the initial decision and reasons supporting the exceptions.
(e) The representative for the Government may file a brief in opposition to exceptions within 30 days of receiving the notice of appeal and accompanying brief.
(f) There is no right to appear personally before the authority head.
(g) There is no right to appeal any interlocutory ruling by the presiding officer.
(h) In reviewing the initial decision, the authority head shall not consider any objection that was not raised before the presiding officer unless a demonstration is made of extraordinary circumstances causing the failure to raise the objection.
(i) If any party demonstrates to the satisfaction of the authority head that additional evidence not presented at such hearing is material and that there were reasonable grounds for the failure to present such evidence at such hearing, the authority head shall remand the matter to the presiding officer for consideration of such additional evidence.
(j) The authority head may affirm, reduce, reverse, compromise, remand, or settle any penalty or assessment, determined by the presiding officer in any initial decision.
(k) The authority head shall promptly serve each party to the appeal with a copy of the decision of the authority head. At the same time the authority head shall serve the defendant with a statement describing the defendant's right to seek judicial review.
(l) Unless a petition for review is filed as provided in 31 U.S.C. 3805, after a defendant has exhausted all administrative remedies under this part and within 60 days after the date on which the authority head serves the defendant with a copy of the authority head's decision, a determination that a defendant is liable under § 1264.102 is final and is not subject to judicial review.
If at any time the Attorney General or an Assistant Attorney General designated by the Attorney General transmits to the authority head a written finding that continuation of the administrative process described in this part with respect to a claim or statement may adversely affect any pending or potential criminal or civil action related to such claim or statement, the authority head shall stay the process immediately. If the process is before the presiding officer, the authority head shall promptly transmit the finding to the presiding officer, who, in turn, must stay the proceeding and give notice to all parties and their representatives. The authority head may order the process resumed only upon receipt of the written authorization of the Attorney General.
(a) An initial decision is stayed automatically pending disposition of a motion for reconsideration or of an appeal to the authority head.
(b) No administrative stay is available following a final decision of the authority head.
Section 3805 of Title 31, United States Code, authorizes judicial review by an appropriate United States District Court of a final decision of the authority head imposing penalties or assessments under this part and specifies the procedures for such review.
Sections 3806 and 3808(b) of Title 31, United States Code, authorize actions for collection of civil penalties and assessments imposed under this part and specify the procedures for such actions.
The amount of any penalty or assessment which has become final, or for which a judgment has been entered under § 1264.141 or § 1264.142, or any amount agreed upon in a compromise or settlement under § 1264.145, may be collected by administrative offset under 31 U.S.C. 3716, except that an administrative offset may not be made under this subsection against a refund of an overpayment of Federal taxes, then or later owing by the United States to the defendant.
All amounts collected pursuant to this part shall be deposited as miscellaneous receipts in the Treasury of the United States, except as provided in 31 U.S.C. 3806(g).
(a) Parties may make offers of compromise or settlement at any time, including proposals for alternative dispute resolution.
(b) The reviewing official has the exclusive authority to compromise or settle a case under this part at any time after the date on which the reviewing official is permitted to refer allegations of liability to a presiding officer and before the date on which the presiding officer issues an initial decision.
(c) The authority head has exclusive authority to compromise or settle a case under this part at any time after the date on which the presiding officer issues an initial decision, except during the pendency of any judicial review under § 1264.141 or during the pendency of any civil action to collect penalties and assessments under § 1264.142.
(d) The Attorney General has exclusive authority to compromise or settle a case under this part during the pendency of any judicial review under 31 U.S.C. 3805 or of any civil action to recover penalties and assessments under 31 U.S.C. 3806.
(e) The investigating official may recommend settlement terms to the reviewing official, the authority head, or the Attorney General, as appropriate. The reviewing official may recommend settlement terms to the authority head, or the Attorney General, as appropriate.
(f) Any compromise or settlement must be in writing.
(a) The notice of hearing with respect to a claim or statement must be served in the manner specified in § 1264.107 within 6 years after the date on which such claim or statement is made.
(b) If the defendant fails to file a timely answer, service of a notice under § 1264.109(b) shall be deemed a notice of hearing for purposes of this section.
(c) The statute of limitations may be extended by agreement of the parties.
In accordance with the provisions of 14 CFR 1264.106, you are hereby notified that the Chairperson, NASA Board of Contract Appeals (BCA), or designee, in addition to other duties, upon your consent, may conduct any or all proceedings as the presiding officer, pursuant to 14 CFR part 1264 which implements the Program Fraud Civil Penalties Act of 1986.
You should be aware that your decision to consent, or not to consent, to the referral of this case to the NASA/BCA must be entirely voluntary. Only if you and the authority head consent to this reference will either the Chairperson or the designee to whom the case may be assigned be informed of your decision.
An appeal from a decision by the presiding officer under this consent procedure may be taken in the same manner as an appeal from a decision by any other presiding officer, as provided in 14 CFR 1264.136(d), 1264.137, 1264.138, and 1264.141.
If you consent, you must sign, date, and return this form within the 30-day period provided for your answer (see 14 CFR 1264.108, 1264.109).
The purpose of this Part is to ensure that consistent cross-waivers of liability are included in NASA agreements for activities related to the ISS and for NASA's science or space exploration activities unrelated to the ISS that involve a launch.
The provisions at § 1266.102 are intended to implement the cross-waiver requirement in Article 16 of the intergovernmental agreement entitled, “Agreement Among the Government of Canada, Governments of Member States of the European Space Agency, the Government of Japan, the Government of the Russian Federation, and the Government of the United States of America concerning Cooperation on the Civil International Space Station (IGA).” Article 16 establishes a cross-waiver of liability for use by the Partner States and their related entities and requires that this reciprocal waiver of claims be extended to contractually or otherwise-related entities of NASA by requiring those entities to make similar waivers of liability. Thus, NASA is required to include IGA-based cross-waivers in agreements for ISS activities that fall within the scope of “Protected Space Operations,” as defined in § 1266.102. The provisions of § 1266.102 provide the regulatory basis for cross-waiver clauses to be incorporated into NASA agreements for activities that implement the IGA and the memoranda of understanding between the United States and its respective international partners. The provisions of § 1266.104 provide the regulatory basis for cross-waiver clauses to be incorporated into NASA launch agreements for science or space exploration activities unrelated to the ISS.
(a) The objective of this section is to implement NASA's responsibility to flow down the cross-waiver of liability in Article 16 of the IGA to its related entities in the interest of encouraging participation in the exploration, exploitation, and use of outer space through the International Space Station (ISS). The IGA declares the Partner States' intention that the cross-waiver of liability be broadly construed to achieve this objective.
(b) For the purposes of this section:
(1) The term “Party” means a party to a NASA agreement involving activities in connection with the ISS.
(2)(i) The term “related entity” means:
(A) A contractor or subcontractor of a Party or a Partner State at any tier;
(B) A user or customer of a Party or a Partner State at any tier; or
(C) A contractor or subcontractor of a user or customer of a Party or a Partner State at any tier.
(ii) The terms “contractor” and “subcontractor” include suppliers of any kind.
(iii) The term “related entity” may also apply to a State, or an agency or institution of a State, having the same relationship to a Partner State as described in paragraphs (b)(2)(i)(A) through (b)(2)(i)(C) of this section or otherwise engaged in the implementation of Protected Space Operations as defined in paragraph (b)(6) of this section.
(3) The term “damage” means:
(i) Bodily injury to, or other impairment of health of, or death of, any person;
(ii) Damage to, loss of, or loss of use of any property;
(iii) Loss of revenue or profits; or
(iv) Other direct, indirect, or consequential damage.
(4) The term “launch vehicle” means an object, or any part thereof, intended for launch, launched from Earth, or returning to Earth which carries payloads or persons, or both.
(5) The term “payload” means all property to be flown or used on or in a launch vehicle or the ISS.
(6) The term “Protected Space Operations” means all launch or transfer vehicle activities, ISS activities, and payload activities on Earth, in outer space, or in transit between Earth and outer space in implementation of the IGA, MOUs concluded pursuant to the IGA, and implementing arrangements. It includes, but is not limited to:
(i) Research, design, development, test, manufacture, assembly, integration, operation, or use of launch or transfer vehicles, the ISS, payloads, or instruments, as well as related support equipment and facilities and services; and
(ii) All activities related to ground support, test, training, simulation, or guidance and control equipment and related facilities or services. “Protected Space Operations” also includes all activities related to evolution of the ISS, as provided for in Article 14 of the IGA. “Protected Space Operations” excludes activities on Earth which are conducted on return from the ISS to develop further a payload's product or process for use other than for ISS-related activities in implementation of the IGA.
(7) The term “transfer vehicle” means any vehicle that operates in space and transfers payloads or persons or both between two different space objects, between two different locations on the same space object, or between a space object and the surface of a celestial body. A transfer vehicle also includes a vehicle that departs from and returns to the same location on a space object.
(8) The term “Partner State” includes each Contracting Party for which the IGA has entered into force, pursuant to Article 25 of the IGA or pursuant to any successor agreement. A Partner State includes its Cooperating Agency. It also includes any entity specified in the Memorandum of Understanding (MOU) between NASA and the Government of Japan to assist the Government of Japan's Cooperating Agency in the implementation of that MOU.
(c)(1) Cross-waiver of liability: Each Party agrees to a cross-waiver of liability pursuant to which each Party waives all claims against any of the entities or persons listed in paragraphs (c)(1)(i) through (c)(1)(iv) of this section based on damage arising out of Protected Space Operations. This cross-waiver shall apply only if the person, entity, or property causing the damage is involved in Protected Space Operations and the person, entity, or property damaged is damaged by virtue of its involvement in Protected Space Operations. The cross-waiver shall apply to any claims for damage, whatever the legal basis for such claims, against:
(i) Another Party;
(ii) A Partner State other than the United States of America;
(iii) A related entity of any entity identified in paragraph (c)(1)(i) or (c)(1)(ii) of this section; or
(iv) The employees of any of the entities identified in paragraphs (c)(1)(i) through (c)(1)(iii) of this section.
(2) In addition, each Party shall, by contract or otherwise, extend the cross-waiver of liability, as set forth in paragraph (c)(1) of this section, to its related entities by requiring them, by contract or otherwise, to:
(i) Waive all claims against the entities or persons identified in paragraphs (c)(1)(i) through (c)(1)(iv) of this section; and
(ii) Require that their related entities waive all claims against the entities or persons identified in paragraphs (c)(1)(i) through (c)(1)(iv) of this section.
(3) For avoidance of doubt, this cross-waiver of liability includes a cross-waiver of claims arising from the Convention on International Liability for Damage Caused by Space Objects, which entered into force on September 1, 1972, where the person, entity, or property causing the damage is involved in Protected Space Operations and the person, entity, or property damaged is damaged by virtue of its involvement in Protected Space Operations.
(4) Notwithstanding the other provisions of this section, this cross-waiver of liability shall not be applicable to:
(i) Claims between a Party and its own related entity or between its own related entities;
(ii) Claims made by a natural person, his/her estate, survivors or subrogees (except when a subrogee is a Party to the agreement or is otherwise bound by the terms of this cross-waiver) for bodily injury to, or other impairment of health of, or death of, such person;
(iii) Claims for damage caused by willful misconduct;
(iv) Intellectual property claims;
(v) Claims for damage resulting from a failure of a Party to extend the cross-waiver of liability to its related entities, pursuant to paragraph (c)(2) of this section; or
(vi) Claims by a Party arising out of or relating to another Party's failure to perform its obligations under the agreement.
(5) Nothing in this section shall be construed to create the basis for a claim or suit where none would otherwise exist.
(6) This cross-waiver shall not be applicable when 49 U.S.C. Subtitle IX, Chapter. 701 is applicable.
(a) The purpose of this section is to implement a cross-waiver of liability between the parties to agreements for NASA's science or space exploration activities that are not related to the International Space Station (ISS) but involve a launch. It is intended that the cross-waiver of liability be broadly construed to achieve this objective.
(b) For purposes of this section:
(1) The term “Party” means a party to a NASA agreement for science or space exploration activities unrelated to the ISS that involve a launch.
(2) (i) The term “related entity” means:
(A) A contractor or subcontractor of a Party at any tier;
(B) A user or customer of a Party at any tier; or
(C) A contractor or subcontractor of a user or customer of a Party at any tier.
(ii) The terms “contractor” and “subcontractor” include suppliers of any kind.
(iii) The term “related entity” may also apply to a State or an agency or institution of a State, having the same relationship to a Party as described in paragraphs (b)(2)(i)(A) through (b)(2)(i)(C) of this section, or otherwise engaged in the implementation of Protected Space Operations as defined in paragraph (b)(6) of this section.
(3) The term “damage” means:
(i) Bodily injury to, or other impairment of health of, or death of, any person;
(ii) Damage to, loss of, or loss of use of any property;
(iii) Loss of revenue or profits; or
(iv) Other direct, indirect, or consequential damage.
(4) The term “launch vehicle” means an object, or any part thereof, intended for launch, launched from Earth, or returning to Earth which carries payloads or persons, or both.
(5) The term “payload” means all property to be flown or used on or in a launch vehicle.
(6) The term “Protected Space Operations” means all launch or transfer vehicle activities and payload activities on Earth, in outer space, or in transit between Earth and outer space in implementation of an agreement for launch services. Protected Space Operations begins at the signature of the agreement and ends when all activities done in implementation of the agreement are completed. It includes, but is not limited to:
(i) Research, design, development, test, manufacture, assembly, integration, operation, or use of launch or transfer vehicles, payloads, or instruments, as well as related support equipment and facilities and services; and
(ii) All activities related to ground support, test, training, simulation, or guidance and control equipment and related facilities or services. The term “Protected Space Operations” excludes activities on Earth that are conducted on return from space to develop further a payload's product or process for use other than for the activities within the scope of an agreement for launch services.
(7) The term “transfer vehicle” means any vehicle that operates in space and transfers payloads or persons or both between two different space objects, between two different locations on the same space object, or between a space object and the surface of a celestial body. A transfer vehicle also includes a vehicle that departs from and returns to the same location on a space object.
(c)(1) Cross-waiver of liability: Each Party agrees to a cross-waiver of liability pursuant to which each Party waives all claims against any of the entities or persons listed in paragraphs (c)(1)(i) through (c)(1)(iv) of this section based on damage arising out of Protected Space Operations. This cross-waiver shall apply only if the person, entity, or property causing the damage is involved in Protected Space Operations and the person, entity, or property damaged is damaged by virtue of its involvement in Protected Space Operations. The cross-waiver shall apply to any claims for damage, whatever the legal basis for such claims, against:
(i) Another Party;
(ii) A party to another NASA agreement that includes flight on the same launch vehicle;
(iii) A related entity of any entity identified in paragraphs (c)(1)(i) or (c)(1)(ii) of this section; or
(iv) The employees of any of the entities identified in paragraphs (c)(1)(i) through (c)(1)(iii) of this section.
(2) In addition, each Party shall extend the cross-waiver of liability, as set forth in paragraph (c)(1) of this section, to its own related entities by requiring them, by contract or otherwise, to:
(i) Waive all claims against the entities or persons identified in paragraphs (c)(1)(i) through (c)(1)(iv) of this section; and
(ii) Require that their related entities waive all claims against the entities or persons identified in paragraphs (c)(1)(i) through (c)(1)(iv) of this section.
(3) For avoidance of doubt, this cross-waiver of liability includes a cross-waiver of claims arising from the Convention on International Liability for Damage Caused by Space Objects, which entered into force on September 1, 1972, where the person, entity, or property causing the damage is involved in Protected Space Operations and the person, entity, or property damaged is damaged by virtue of its involvement in Protected Space Operations.
(4) Notwithstanding the other provisions of this section, this cross-waiver of liability shall not be applicable to:
(i) Claims between a Party and its own related entity or between its own related entities;
(ii) Claims made by a natural person, his/her estate, survivors, or subrogees (except when a subrogee is a Party to the agreement or is otherwise bound by the terms of this cross-waiver) for bodily injury to, or other impairment of health of, or death of, such person;
(iii) Claims for damage caused by willful misconduct;
(iv) Intellectual property claims;
(v) Claims for damages resulting from a failure of a Party to extend the cross-waiver of liability to its related entities, pursuant to paragraph (c)(2) of this section; or
(vi) Claims by a Party arising out of or relating to another Party's failure to perform its obligations under the agreement.
(5) Nothing in this section shall be construed to create the basis for a claim or suit where none would otherwise exist.
(6) This cross-waiver shall not be applicable when 49 U.S.C. Subtitle IX, Chapter 701 is applicable.
See also Office of Management and Budget notice published at 54 FR 52306, December 20, 1989.
(a) No appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative ageement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(b) Each person who requests or receives from an agency a Federal contract, grant, loan, or cooperative agreement shall file with that agency a certification, set forth in appendix A, that the person has not made, and will not make, any payment prohibited by paragraph (a) of this section.
(c) Each person who requests or receives from an agency a Federal contract, grant, loan, or a cooperative agreement shall file with that agency a disclosure form, set forth in appendix B, if such person has made or has agreed to make any payment using nonappropriated funds (to include profits from any covered Federal action), which would be prohibited under paragraph (a) of this section if paid for with appropriated funds.
(d) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan shall file with that agency a statement, set forth in appendix A, whether that person has made or has agreed to make any payment to influence or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee.
(e) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan shall file with that agency a disclosure form, set forth in appendix B, if that person has made or has agreed to make any payment to influence or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee.
For purposes of this part:
(a) Agency, as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1).
(b) Covered Federal action means any of the following Federal actions:
(1) The awarding of any Federal contract;
(2) The making of any Federal grant;
(3) The making of any Federal loan;
(4) The entering into of any cooperative agreement; and,
(5) The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(c) Federal contract means an acquisition contract awarded by an agency, including those subject to the Federal Acquisition Regulation (FAR), and any other acquisition contract for real or personal property or services not subject to the FAR.
(d) Federal cooperative agreement means a cooperative agreement entered into by an agency.
(e) Federal grant means an award of financial assistance in the form of money, or property in lieu of money, by the Federal Government or a direct appropriation made by law to any person. The term does not include technical assistance which provides services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees, loan insurance, interest subsidies, insurance, or direct United States cash assistance to an individual.
(f) Federal loan means a loan made by an agency. The term does not include loan guarantee or loan insurance.
(g) Indian tribe and tribal organization have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions of Indian tribes in that Act.
(h) Influencing or attempting to influence means making, with the intent to influence, any communication to or appearance before an officer or employee or any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covered Federal action.
(i) Loan guarantee and loan insurance means an agency's guarantee or insurance of a loan made by a person.
(j) Local government means a unit of government in a State and, if chartered, established, or otherwise recognized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative organization, and any other instrumentality of a local government.
(k) Officer or employee of an agency includes the following individuals who are employed by an agency:
(1) An individual who is appointed to a position in the Government under title 5, U.S. Code, including a position under a temporary appointment;
(2) A member of the uniformed services as defined in section 101(3), title 37, U.S. Code;
(3) A special Government employee as defined in section 202, title 18, U.S. Code; and,
(4) An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory Committee Act, title 5, U.S. Code appendix 2.
(l) Person means an individual, corporation, company, association, authority, firm, partnership, society, State, and local government, regardless of whether such entity is operated for profit or not for profit. This term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.
(m) Reasonable compensation means, with respect to a regularly employed officer or employee of any person, compensation that is consistent with the normal compensation for such officer or employee for work that is not furnished to, not funded by, or not furnished in cooperation with the Federal Government.
(n) Reasonable payment means, with respect to perfessional and other technical services, a payment in an amount that is consistent with the amount normally paid for such services in the private sector.
(o) Recipient includes all contractors, subcontractors at any tier, and subgrantees at any tier of the recipient of funds received in connection with a Federal contract, grant, loan, or cooperative agreement. The term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.
(p) Regularly employed means, with respect to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or a commitment providing for the United States to insure or guarantee a loan, an officer or employee who is employed by such person for at least 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person for receipt of such contract, grant, loan, cooperative agreement, loan insurance commitment, or loan guarantee commitment. An officer or employee who is employed by such person for less than 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by such person for 130 working days.
(q) State means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-State, regional, or interstate entity having governmental duties and powers.
(a) Each person shall file a certification, and a disclosure form, if required, with each submission that initiates agency consideration of such person for:
(1) Award of a Federal contract, grant, or cooperative agreement exceeding $100,000; or
(2) An award of a Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000.
(b) Each person shall file a certification, and a disclosure form, if required, upon receipt by such person of:
(1) A Federal contract, grant, or cooperative agreement exceeding $100,000; or
(2) A Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000,
(c) Each person shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under paragraphs (a) or (b) of this section. An event that materially affects the accuracy of the information reported includes:
(1) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or
(2) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or,
(3) A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt to influence a covered Federal action.
(d) Any person who requests or receives from a person referred to in paragraphs (a) or (b) of this section:
(1) A subcontract exceeding $100,000 at any tier under a Federal contract;
(2) A subgrant, contract, or subcontract exceeding $100,000 at any tier under a Federal grant;
(3) A contract or subcontract exceeding $100,000 at any tier under a Federal loan exceeding $150,000; or,
(4) A contract or subcontract exceeding $100,000 at any tier under a Federal cooperative agreement,
(e) All disclosure forms, but not certifications, shall be forwarded from tier to tier until received by the person referred to in paragraphs (a) or (b) of this section. That person shall forward all disclosure forms to the agency.
(f) Any certification or disclosure form filed under paragraph (e) of this section shall be treated as a material representation of fact upon which all receiving tiers shall rely. All liability arising from an erroneous representation shall be borne solely by the tier filing that representation and shall not be shared by any tier to which the erroneous representation is forwarded. Submitting an erroneous certification or disclosure constitutes a failure to file the required certification or disclosure, respectively. If a person fails to file a required certification or disclosure, the United States may pursue all available remedies, including those authorized by section 1352, title 31, U.S. Code.
(g) For awards and commitments in process prior to December 23, 1989, but not made before that date, certifications shall be required at award or commitment, covering activities occurring between December 23, 1989, and the date of award or commitment. However, for awards and commitments in process prior to the December 23, 1989 effective date of these provisions, but not made before December 23, 1989, disclosure forms shall not be required at time of award or commitment but shall be filed within 30 days.
(h) No reporting is required for an activity paid for with appropriated funds if that activity is allowable under either subpart B or C.
(a) The prohibition on the use of appropriated funds, in § 1271.100 (a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement if the payment is for agency and legislative liaison activities not directly related to a covered Federal action.
(b) For purposes of paragraph (a) of this section, providing any information specifically requested by an agency or Congress is allowable at any time.
(c) For purposes of paragraph (a) of this section, the following agency and legislative liaison activities are allowable at any time only where they are not related to a specific solicitation for any covered Federal action:
(1) Discussing with an agency (including individual demonstrations) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and,
(2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use.
(d) For purposes of paragraph (a) of this section, the following agencies and legislative liaison activities are allowable only where they are prior to formal solicitation of any covered Federal action:
(1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action;
(2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and,
(3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Public Law 95-507 and other subsequent amendments.
(e) Only those activities expressly authorized by this section are allowable under this section.
(a) The prohibition on the use of appropriated funds, in § 1271.100(a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or an extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement.
(b) For purposes of paragraph (a) of this section, “professional and technical services” shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.
(c) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents.
(d) Only those services expressly authorized by this section are allowable under this section.
No reporting is required with respect to payments of reasonable compensation made to regularly employed officers or employees of a person.
(a) The prohibition on the use of appropriated funds, in § 1271.100(a), does not apply in the case of any reasonable payment to a person, other than an officer or employee of a person requesting or receiving a covered Federal action, if the payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement.
(b) The reporting requirements in § 1271.110 (a) and (b) regarding filing a disclosure form by each person, if required, shall not apply with respect to professional or technical services rendered directly in the preparation, submission, or negotiation of any commitment providing for the United States to insure or guarantee a loan.
(c) For purposes of paragraph (a) of this section, “professional and technical services” shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting or a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.
(d) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents.
(e) Persons other than officers or employees of a person requesting or receiving a covered Federal action include consultants and trade associations.
(f) Only those services expressly authorized by this section are allowable under this section.
(a) Any person who makes an expenditure prohibited herein shall be subject to a civil penalty of not less than $25,132 and not more than $251,322 for each such expenditure.
(b) Any person who fails to file or amend the disclosure form (see appendix B) to be filed or amended if required herein, shall be subject to a civil penalty of not less than $25,132 and not more than $251,322 for each such failure.
(c) A filing or amended filing on or after the date on which an administrative action for the imposition of a civil penalty is commenced does not prevent the imposition of such civil penalty for a failure occurring before that date. An administrative action is commenced with respect to a failure when an investigating official determines in writing to commence an investigation of an allegation of such failure.
(d) In determining whether to impose a civil penalty, and the amount of any such penalty, by reason of a violation by any person, the agency shall consider the nature, circumstances, extent, and gravity of the violation, the effect on the ability of such person to continue in business, any prior violations by such person, the degree of culpability of such person, the ability of the person to pay the penalty, and such other matters as may be appropriate.
(e) First offenders under paragraphs (a) or (b) of this section shall be subject to a civil penalty of $25,132, absent aggravating circumstances. Second and subsequent offenses by persons shall be subject to an appropriate civil penalty between $25,132 and $251,322, as determined by the agency head or his or her designee.
(f) An imposition of a civil penalty under this section does not prevent the United States from seeking any other remedy that may apply to the same conduct that is the basis for the imposition of such civil penalty.
Agencies shall impose and collect civil penalties pursuant to the provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 3812, insofar as these provisions are not inconsistent with the requirements herein.
The head of each agency shall take such actions as are necessary to ensure that the provisions herein are vigorously implemented and enforced in that agency.
(a) The Secretary of Defense may exempt, on a case-by-case basis, a covered Federal action from the prohibition whenever the Secretary determines, in writing, that such an exemption is in the national interest. The Secretary shall transmit a copy of each such written exemption to Congress immediately after making such a determination.
(b) The Department of Defense may issue supplemental regulations to implement paragraph (a) of this section.
(a) The head of each agency shall collect and compile the disclosure reports (see appendix B) and, on May 31 and November 30 of each year, submit to the Secretary of the Senate and the Clerk of the House of Representatives a report containing a compilation of the information contained in the disclosure reports received during the six-month period ending on March 31 or September 30, respectively, of that year.
(b) The report, including the compilation, shall be available for public inspection 30 days after receipt of the report by the Secretary and the Clerk.
(c) Information that involves intelligence matters shall be reported only to the Select Committee on Intelligence of the Senate, the Permanent Select Committee on Intelligence of the House of Representatives, and the Committees on Appropriations of the Senate and the House of Representatives in accordance with procedures agreed to by such committees. Such information shall not be available for public inspection.
(d) Information that is classified under Executive Order 12356 or any successor order shall be reported only to the Committee on Foreign Relations of the Senate and the Committee on Foreign Affairs of the House of Representatives or the Committees on Armed Services of the Senate and the House of Representatives (whichever such committees have jurisdiction of matters involving such information) and to the Committees on Appropriations of the Senate and the House of Representatives in accordance with procedures agreed to by such committees. Such information shall not be available for public inspection.
(e) The first semi-annual compilation shall be submitted on May 31, 1990, and shall contain a compilation of the disclosure reports received from December 23, 1989 to March 31, 1990.
(f) Major agencies, designated by the Office of Management and Budget (OMB), are required to provide machine-readable compilations to the Secretary of the Senate and the Clerk of the House of Representatives no later than with the compilations due on May 31, 1991. OMB shall provide detailed specifications in a memorandum to these agencies.
(g) Non-major agencies are requested to provide machine-readable compilations to the Secretary of the Senate and the Clerk of the House of Representatives.
(h) Agencies shall keep the originals of all disclosure reports in the official files of the agency.
(a) The Inspector General, or other official as specified in paragraph (b) of this section, of each agency shall prepare and submit to Congress each year, commencing with submission of the President's Budget in 1991, an evaluation of the compliance of that agency with, and the effectiveness of, the requirements herein. The evaluation may include any recommended changes that may be necessary to strengthen or improve the requirements.
(b) In the case of an agency that does not have an Inspector General, the agency official comparable to an Inspector General shall prepare and submit the annual report, or, if there is no such comparable official, the head of the agency shall prepare and submit the annual report.
(c) The annual report shall be submitted at the same time the agency submits its annual budget justifications to Congress.
(d) The annual report shall include the following: All alleged violations relating to the agency's covered Federal actions during the year covered by the report, the actions taken by the head of the agency in the year covered by the report with respect to those alleged violations and alleged violations in previous years, and the amounts of civil penalties imposed by the agency in the year covered by the report.
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $25,132 and not more than $251,322 for each such failure.
The undersigned states, to the best of his or her knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions.
Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $25,132 and not more than $251,322 for each such failure.
(a) The purpose of this part is to establish procedures to be used by the National Aeronautics and Space Administration (NASA) for the handling of allegations of research misconduct. Specifically, the procedures contained in this part are designed to result in:
(1) Findings as to whether research misconduct by a person or institution has occurred in proposing, performing, reviewing, or reporting results from research activities funded or supported by NASA; and
(2) Recommendations on appropriate administrative actions that may be undertaken by NASA in response to research misconduct determined to have occurred.
(b) This part applies to all research wholly or partially funded or supported by NASA. This includes any research conducted by a NASA installation and any research conducted by a public or private entity receiving NASA funds or using NASA facilities, equipment or personnel, under a contract, grant, cooperative agreement, Space Act agreement, or other transaction with NASA.
(c) NASA shall make a determination of research misconduct only after careful inquiry and investigation by an awardee institution, another Federal agency, or NASA, and an adjudication conducted by NASA. NASA shall afford the accused individual or institution a chance to comment on the investigation report and a chance to appeal the decision resulting from the adjudication. In structuring procedures in individual cases, NASA may take into account procedures already followed by other entities investigating the same allegation of research misconduct. Investigation of allegations which, if true, would constitute criminal offenses, are not covered by this part.
(d) A determination that research misconduct has occurred must be accompanied by recommendations on appropriate administrative actions. However, the administrative actions themselves may be imposed only after further procedures described in applicable Federal acquisition and NASA regulations concerning contracts, cooperative agreements, grants, Space Act agreements, or other transactions, depending on the type of agreement used to fund or support the research in question. Administrative actions involving NASA civil service employees may be imposed only in compliance with all relevant Federal laws and policies.
(e) Allegations of research misconduct concerning NASA research may be transmitted to NASA in one of the following ways: By mail address to the Office of Inspector General (OIG), National Aeronautics and Space Administration, 300 E Street SW., Washington, DC 20546-0001 via the NASA OIG Hotline at 1-800-424-9183, or cyber hotline at http://oig.nasa.gov/hotline.html.
(f) To the extent permitted by law, the identity of the Complainant, witnesses, or other sources of information who wish to remain anonymous shall be kept confidential. To the extent permitted by law, NASA shall protect the research misconduct inquiry, investigation, adjudication, and appeal records maintained by NASA as exempt from mandatory disclosure under 5 U.S.C. 552, the Freedom of Information Act, as amended, and 5 U.S.C. 552a, the Privacy Act, as amended.
(a) Research misconduct means fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results. Research misconduct does not include honest error or differences of opinion. Research as used in this part includes all basic and applied research as defined in OMB Circular A-11 in all fields of science, engineering, and mathematics, including, but not limited to, research in space and Earth sciences, economics, education, linguistics, medicine, psychology, social sciences, statistics, and biological and physical research (ground based and microgravity), including research involving human subjects or animals.
(b) Fabrication means making up data or results and recording or reporting them.
(c) Falsification means manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
(d) Plagiarism means the appropriation of another person's ideas, processes, results, or words without giving appropriate credit.
(e) Awardee institution means any public or private entity or organization (including a Federal, State, or local agency) that is a party to a NASA contract, grant, cooperative agreement, Space Act agreement, or to any other transaction with NASA, whose purpose includes the conduct of research.
(f) NASA research means research wholly or partially funded or supported by NASA involving an awardee institution or a NASA installation. This definition includes research wholly or partially funded by NASA appropriated funds, or research involving the use of NASA facilities, equipment, or personnel.
(g) NASA research discipline means one of the following areas of research that together comprise NASA's research mission for aeronautics, space science, Earth science, biomedicine, biology, engineering and physical sciences (physics and chemistry).
(h) Inquiry means the assessment of whether an allegation of research misconduct has substance and warrants an investigation.
(i) Investigation means the formal development of a factual record and the examination of that record leading to recommended findings on whether research misconduct has occurred, and if the recommended findings are that such conduct has occurred, to include recommendations on appropriate administrative actions.
(j) Complainant is the individual bringing an allegation of research misconduct related to NASA research.
(k) Respondent is the individual or institution who is the subject of an allegation of research misconduct related to NASA research.
(l) Adjudication means the formal procedure for reviewing and evaluating the investigation report and the accompanying evidentiary record and for determining whether to accept the recommended findings and any recommendations for administrative actions resulting from the investigation.
(m) NASA Adjudication Official is the NASA Associate Administrator of a Mission Directorate, Chief Technologist, or Chief Engineer, depending on the research area involved in the misconduct allegation (as described in the list of NASA research disciplines and their associated directorates contained in the Appendix to this part).
(n) Appeal means the formal procedure initiated at the request of the Respondent for review of a determination resulting from the adjudication and for affirming, overturning, or modifying it.
(o) NASA Appeals Official is the NASA Deputy Administrator or other official designated by the NASA Administrator.
(a) When an allegation is made to the OIG, rather than to the awardee institution, the OIG shall determine whether the allegation concerns NASA research and whether the allegation, if true, falls within the definition of research misconduct in § 1275.101(a). Investigation of allegations which, if true, would constitute criminal offenses, are not covered by this part. If these criteria are met and the research in question is being conducted by NASA researchers, the OIG shall proceed in accordance with § 1275.104. If the research in question is being conducted at an awardee institution, another Federal agency, or is a collaboration between NASA researchers and co-investigators at either academia or industry, the OIG must refer the allegation that meets the definition of research misconduct to the entities involved and determine whether to—
(1) Defer its inquiry or investigation pending review of the results of an inquiry or investigation conducted at the awardee institution or at the Federal agency (referred to for purposes of this part as external investigations) determined to be the lead investigative organization for the case; or
(2) Commence its own inquiry or investigation.
(b) The OIG must inform the NASA Office of the Chief Scientist of all allegations that meet the definition of research misconduct received by the OIG and of the determinations of the OIG required by § 1275.101. The NASA Office of the Chief Scientist shall notify the NASA Office of the Chief Engineer or the NASA Office of the Chief Technologist when the research is either engineering or technology research.
(c) The OIG should defer its inquiry or investigation pending review of the results of an external investigation whenever possible. Nevertheless, the OIG retains the right to proceed at any time with a NASA inquiry or investigation. Circumstances in which the OIG may elect not to defer its inquiry or investigation include, but are not limited to, the following:
(1) When the OIG determines that the awardee institution is not prepared to handle the allegation in a manner consistent with this part;
(2) When the OIG determines that NASA involvement is needed to protect the public interest, including public health and safety;
(3) When the OIG determines that the allegation involves an awardee institution of sufficiently small size that it cannot reasonably conduct the investigation itself;
(4) When the OIG determines that a NASA program or project could be jeopardized by the occurrence of research misconduct; or
(5) When the OIG determines that any of the notifications or information required to be given to the OIG by the awardee institution pursuant to § 1275.103(b) requires NASA to cease its deferral to the awardee institution's procedures and to conduct its own inquiry or investigation.
(d) A copy of the investigation report, evidentiary record, and final determination resulting from an external investigation must be transmitted to the OIG for review. The OIG shall determine whether to recommend to the NASA Adjudication Official, or to the lead investigative organization in cases that involve multiple institutions, acceptance of the investigation report and final determination in whole or in part. The OIG's decision must be made within 45 days of receipt of the investigation report and evidentiary record. This period of time may be extended by the OIG for good cause. The OIG shall make this decision based on the OIG's assessment of the completeness of the investigation report, and the OIG's assessment of whether the investigating entity followed reasonable procedures, including whether the Respondent had an adequate opportunity to comment on the investigation report and whether these comments were given due consideration. If the OIG decides to recommend acceptance of the results of the external investigation, in whole or in part, the OIG shall transmit a copy of the final determination, the investigation report, and the evidentiary record to the NASA Adjudication Official, and to the NASA Office of the Chief Scientist. When the OIG decides not to recommend acceptance, the OIG must initiate its own investigation.
(e) In the case of an investigation conducted by the OIG, the OIG shall transmit copies of the investigation report, including the Respondent's written comments (if any), the evidentiary record and its recommendations, to the institution, to the NASA Adjudication Official and to the NASA Office of the Chief Scientist.
(f) Upon learning of alleged research misconduct, the OIG shall identify potentially implicated awards or proposals and, when appropriate, shall ensure that program, grant, or contracting officers handling them are informed. Neither a suspicion nor allegation of research misconduct, nor a pending inquiry or investigation, shall normally delay review of proposals. Subject to paragraph (g) of this section, reviewers or panelists shall not be informed of allegations or of ongoing inquiries or investigations in order to avoid influencing reviews. In the event that an application receives a fundable rating or ranking by a review panel, funding can be deferred by the program until the completion of the inquiry or investigation.
(g) If, during the course of an OIG conducted inquiry or investigation, it appears that immediate administrative action, as described in § 1275.106, is necessary to protect public health or safety, Federal resources or interests, or the interests of those involved in the inquiry or investigation, the OIG shall inform the NASA sponsor for the research and the NASA Office of the Chief Scientist.
(a) The awardee institutions have the primary responsibility for prevention and detection of research misconduct and for the inquiry, investigation, and adjudication of research misconduct alleged to have occurred in association with their own institutions, although NASA has ultimate oversight authority for NASA research.
(b) When an allegation of research misconduct related to NASA research is made directly to the OIG and the OIG defers to the awardee institution's inquiry or investigation, or when an allegation of research misconduct related to NASA research is made directly to the awardee institution which commences an inquiry or investigation, the awardee institution is required to:
(1) Notify the OIG if an inquiry supports a formal investigation as soon as this is determined.
(2) Keep the OIG informed during such an investigation.
(3) Notify the OIG immediately—
(i) If public health or safety is at risk;
(ii) If Federal resources, reputation, or other interests need protecting;
(iii) If research activities should be suspended;
(iv) If there is reasonable indication of possible violations of civil or criminal law;
(v) If Federal action is needed to protect the interests of those involved in the investigation; or
(vi) If the research community or the public should be informed.
(4) Provide the OIG with a copy of the investigation report, including the recommendations made to the awardee institution's adjudication official and the Respondent's written comments (if any), along with a copy of the evidentiary record.
(5) Provide the OIG with the awardee institution's final determination, including any corrective actions taken or planned.
(c) If an awardee institution wishes the OIG to defer its own inquiry or investigation, the awardee institution shall complete any inquiry and decide whether an investigation is warranted within 60 days. It should similarly complete any investigation, adjudication, or other procedure necessary to produce a final determination, within an additional 180 days. If completion of the process is delayed, but the awardee institution wishes NASA's deferral of its own procedures to continue, NASA may require submission of periodic status reports.
(d) Each awardee institution must maintain and effectively communicate to its staff, appropriate policies and procedures relating to research misconduct, including the requirements on when and how to notify NASA.
(a) When an awardee institution or another Federal agency has promptly initiated its own investigation, the OIG may defer its inquiry or investigation until it receives the results of that external investigation. When the OIG does not receive the results within a reasonable time, the OIG shall ordinarily proceed with its own investigation.
(b) When the OIG decides to initiate a NASA investigation, the OIG must give prompt written notice to the individual or institution to be investigated, unless notice would prejudice the investigation or unless a criminal investigation is underway or under active consideration. If notice is delayed, it must be given as soon as it will no longer prejudice the investigation or contravene requirements of law or Federal law-enforcement policies.
(c) When alleged misconduct may involve a crime, the OIG shall determine whether any criminal investigation is already pending or projected. If not, the OIG shall determine whether the matter should be referred to the Department of Justice.
(d) When a criminal investigation by the Department of Justice or another Federal agency is underway or under active consideration, the OIG shall determine what information, if any, may be disclosed to the Respondent or to NASA employees.
(e) To the extent possible, the identity of sources who wish to remain anonymous shall be kept confidential. To the extent allowed by law, documents and files maintained by the OIG during the course of an inquiry or investigation of misconduct shall be treated as investigative files exempt from mandatory public disclosure upon request under the Freedom of Information Act.
(f) When the OIG proceeds with its own inquiry, it is responsible for ensuring that the inquiry is completed within 60 days after it is commenced. The OIG may extend this period of time for good cause.
(g) On the basis of what the OIG learns from an inquiry, and in consultation as appropriate with other NASA offices, the OIG shall decide whether a formal investigation is warranted.
(a) The OIG shall make every reasonable effort to complete a NASA research misconduct investigation and issue a report within 120 days after initiating the investigation. The OIG may extend this period of time for good cause.
(b) A NASA investigation may include:
(1) Review of award files, reports, and other documents readily available at NASA or in the public domain;
(2) Review of procedures or methods and inspection of laboratory materials, specimens, and records at awardee institutions;
(3) Interviews with parties or witnesses;
(4) Review of any documents or other evidence provided by or properly obtainable from parties, witnesses, or other sources;
(5) Cooperation with other Federal agencies; and
(6) Opportunity for the Respondent to be heard.
(c) The OIG may invite outside consultants or experts to participate in a NASA investigation.
(d) During the course of the investigation, the OIG shall provide a draft of the investigation report to the Respondent, who shall be invited to submit comments. The Respondent must submit any comments within 20 days of receipt of the draft investigation report. This period of time may be extended by the OIG for good cause. Any comments submitted by the Respondent shall receive full consideration before the investigation report is made final.
(e) At the end of the investigation proceedings, an investigation report must be prepared that shall include recommended findings as to whether research misconduct has occurred. A recommended finding of research misconduct requires that:
(1) There be a significant departure from accepted practices of the relevant research community for maintaining the integrity of the research record;
(2) The research misconduct be committed intentionally, knowingly, or in reckless disregard of accepted practices; and
(3) The allegation be proven by a preponderance of evidence.
(f) The investigation report must also be transmitted with the recommendations for administrative action, when recommended findings of research misconduct are made. Section 1275.106 lists possible recommended administrative actions and considerations for use in determining appropriate recommendations.
(g) NASA OIG may elect to proceed with its administrative investigation processes in lieu of a research misconduct investigation under this part when the allegation is against a civil service employee (an intramural researcher).
(a) Listed in paragraphs (a)(1) through (a)(3) of this section are possible administrative actions that may be recommended by the investigation report and adopted by the adjudication process. They are not exhaustive, and are in addition to any administrative actions necessary to correct the research record. The administrative actions range from minimal restrictions (Group I Actions) to severe restrictions (Group III Actions), and do not include possible criminal sanctions.
(1) Group I Actions.
(i) Send a letter of reprimand to the individual or institution.
(ii) Require as a condition of an award that for a specified period of time an individual, department, or institution obtain special prior approval of particular activities from NASA.
(iii) Require for a specified period of time that an institutional official other than those guilty of research misconduct certify the accuracy of reports generated under an award or provide assurance of compliance with particular policies, regulations, guidelines, or special terms and conditions.
(2) Group II Actions.
(i) Restrict for a specified period of time designated activities or expenditures under an active award.
(ii) Require for a specified period of time special reviews of all requests for funding from an affected individual, department, or institution to ensure that steps have been taken to prevent repetition of the research misconduct.
(3) Group III Actions.
(i) Immediately suspend or terminate an active award.
(ii) Debar or suspend an individual, department, or institution from participation in NASA programs for a specified period of time.
(iii) Prohibit participation of an individual as a NASA reviewer, advisor, or consultant for a specified period of time.
(b) In deciding what actions are appropriate when research misconduct is found, NASA officials should consider the seriousness of the misconduct, including, but not limited to:
(i) The degree to which the misconduct was knowing, intentional, or reckless;
(ii) Whether the misconduct was an isolated event or part of a pattern;
(iii) Whether the misconduct had a significant impact on the research record, research subjects, or other researchers, institutions, or the public welfare.
(a) The NASA Adjudication Official must review and evaluate the investigation report and the evidentiary record required to be transmitted pursuant to § 1275.102(d) and (e). The NASA Adjudication Official may initiate further investigations, which may include affording the Respondent another opportunity for comment, before issuing a decision regarding the case. The NASA Adjudication Official may also return the investigation report to the OIG with a request for further fact-finding or analysis.
(b) Based on a preponderance of the evidence, the NASA Adjudication Official shall issue a decision setting forth the Agency's findings as to whether research misconduct has occurred and recommending appropriate administrative actions that may be undertaken by NASA in response to research misconduct determined to have occurred. The NASA Adjudication Official shall render a decision within 30 days after receiving the investigation report and evidentiary record, or after completion of any further proceedings. The NASA Adjudication Official may extend this period of time for good cause.
(c) The decision shall be sent to the Respondent, to the Respondent's institution, and, if appropriate, to the Complainant. If the decision confirms the alleged research misconduct, it must include instructions on how to pursue an appeal to the NASA Appeals Official. The decision shall also be transmitted to the NASA Office of the Chief Scientist and the OIG.
(a) The Respondent may appeal the decision of the NASA Adjudication Official by notifying the NASA Appeals Official in writing of the grounds for appeal within 30 days after Respondent's receipt of the decision. If the decision is not appealed within the 30-day period, the decision becomes the final Agency action insofar as the findings are concerned.
(b) The NASA Appeals Official shall inform the Respondent of a final determination within 30 days after receiving the appeal. The NASA Appeals Official may extend this period of time for good cause. The final determination may affirm, overturn, or modify the decision of the NASA Adjudication Official and shall constitute the final Agency action insofar as the findings are concerned. The final determination shall also be transmitted to the NASA Office of the Chief Scientist and the OIG.
(c) Once final Agency action has been taken pursuant to paragraphs (a) or (b) of this section, the recommendations for administrative action shall be sent to the relevant NASA components for further proceedings in accordance with applicable laws and regulations.
This part is issued by the Office of Management and Budget, (OMB) pursuant to Title I of the Air Transportation Safety and System Stabilization Act, Public Law 107-42, 115 Stat. 230 (“Act”). Specifically, Section 102(c)(2)(B) directs OMB to issue regulations setting forth procedures for application and minimum requirements for the issuance of Federal credit instruments under section 101(a)(1) of the Act.
(a) Act means the Air Transportation Safety and System Stabilization Act, Public Law 107-42, 115 Stat. 230 (49 U.S.C. 40101 note).
(b) Administer, administering and administration, mean the lender's actions in making, disbursing, servicing (including, but not limited to care, preservation and maintenance of collateral), monitoring, collecting, and liquidating a loan and security.
(c) Agent means that lender authorized to take such actions, exercise such powers, and perform such duties on behalf and in representation of all lenders party to a guarantee of a single loan, as is required by, or necessarily incidental to, the terms and conditions of the guarantee.
(d) Air carrier means an air carrier as defined in 49 U.S.C. 40102.
(e) Applicant means one or more air carriers applying for a Federal credit instrument issued by the Board under the program.
(f) The Board, for purposes of any operational and decisionmaking functions in connection with individual loan guarantees, means the voting members of the Air Transportation Stabilization Board established under Section 102 of the Act. The voting members of the Board are the Chairman of the Board of Governors of the Federal Reserve System (who is the Chairman of the Board), the Secretary of the Treasury and the Secretary of Transportation, or their designees. The Comptroller General, who is a nonvoting member, will not participate in the review, operations, or deliberations of the Board in connection with individual loan guarantees, or otherwise participate in the Board's exercise of any executive power, but may provide such audit, evaluation and other support to the Board as the Board may request, consistent with applicable auditing standards.
(g) Borrower means an “Obligor,” as defined in Section 102(a)(4) of the Act, and includes an air carrier that is primarily liable for payment of the principal of and interest on a Federal credit instrument, which party may be a corporation, partnership, joint venture, trust, or governmental entity, agency, or instrumentality.
(h) Federal credit instrument, as defined in Section 107(2) of the Act, means any guarantee or other pledge by the Board issued under the program to pledge the full faith and credit of the United States to pay all or part of any of the principal of and interest on a loan issued by a borrower and funded by a lender.
(i) Financial obligation, as defined in Section 102(a)(2) of the Act, means any note, bond, debenture, or other debt obligation issued by a borrower in connection with financing under the program.
(j) Guarantee means the written agreement between the Board and one or more lenders, pursuant to which the Federal government guarantees repayment of a specified percentage of the principal of and/or interest on the loan. Unless otherwise specified, guarantee includes any other pledge issued under a Federal credit instrument.
(k) Lender means any non-Federal qualified institutional buyer, as defined in Section 102(a)(3) of the Act, that funds a financial obligation subject to a guarantee issued by the Board. With respect to a guarantee of a single loan to which more than one lender is a party, the term lender means agent.
(l) Loan, unless otherwise specified, includes any financial obligation (i.e., note, bond, debenture, or other debt obligation) issued by a borrower.
(m) Loan documents mean the loan agreement and all other instruments, and all documentation between the lender and the borrower evidencing the making, disbursing, securing, collecting, or otherwise administering of the loan. (References to loan documents also include comparable agreements, instruments, and documentation for other financial obligations for which a guarantee is requested or issued.)
(n) Program means the air carrier guarantee loan program established by section 101(a)(1) and the related provisions of Title I of the Act.
(o) Security means all property, real or personal, required by the provisions of the guarantee or by the loan documents to secure repayment of any indebtedness of the borrower under the loan documents or guarantee.
(a) The regulations in this part are supplemented by the regulations of the Air Transportation Stabilization Board in part 1310 of this chapter in accordance with section 102(c)(2)(B) of the Act.
(b) This part and part 1310 of this chapter jointly govern the application procedures and the requirements for issuance of Federal credit instruments under section 101(a)(1) of the Act.
(a) In accordance with section 102(c)(1) of the Act, the Board may enter into agreements with one or more borrowers to issue Federal credit instruments only if the Board determines, in its discretion and in accordance with the minimum requirements set forth in this part, that—
(1) The borrower is an air carrier for which credit is not reasonably available at the time of the transaction;
(2) The intended obligation by the borrower is prudently incurred; and
(3) Such agreement is a necessary part of maintaining a safe, efficient, and viable commercial aviation system in the United States.
(b) In accordance with section 102(c)(2)(A) of the Act, the Board shall enter into an agreement to issue a Federal credit instrument in such form and on such terms and conditions and subject to such covenants, representations, warranties, and requirements (including requirements for audits) as the Board determines are appropriate for satisfying the requirements of this part and any supplemental requirements issued by the Board under section 102(c)(2)(B) of the Act.
(c) In accordance with section 102(d)(1) of the Act, in entering into agreements to issue Federal credit instruments, the Board shall, to the extent feasible and practicable and in accordance with the requirements in this part, ensure that the Federal Government is compensated for the risk assumed in making guarantees.
(d) In accordance with Section 102(d)(2) of the Act, the Board is authorized to enter into contracts under which the Federal Government, contingent on the financial success of the air carrier, would participate in the gains of the air carrier or its security holders through the use of such instruments as warrants, stock options, common or preferred stock, or other appropriate equity instruments, except that the Board shall not accept an equity interest in an air carrier that gives the Federal Government voting rights.
(e) In accordance with Section 104(a) of the Act, the Board may only issue a Federal credit instrument to an air carrier after the air carrier enters into a legally binding agreement with the Board regarding certain employee compensation.
(a) An eligible borrower must be an air carrier that can demonstrate, to the satisfaction of the Board, that:
(1) It has incurred (or is incurring) losses as a result of the terrorist attacks on the United States that occurred on September 11, 2001, which may include losses due to the unavailability of credit or the decrease in demand for that air carrier's services;
(2) It is not under bankruptcy protection or receivership when the application is submitted or when the Board issues the guarantee, unless the guarantee and the underlying financial obligation is to be part of a bankruptcy court-certified reorganization plan;
(3) It has agreed to permit such audits and reviews prior to the issuance of a guarantee, as the Board may deem appropriate, by an independent auditor acceptable to the Board;
(4) It has agreed to permit such audits and reviews during the period the loan is outstanding and three years after payment in full of the guaranteed loan, as the Board may deem appropriate, by an independent auditor acceptable to the Board or by the Comptroller General;
(5) In conducting audits and reviews pursuant to paragraphs (a) (3) and (4) of this section, it has agreed to provide access to the officers and employees, books, records, accounts, documents, correspondence, and other information of the borrower, its subsidiaries, affiliates, financial advisers, consultants, and independent certified accountants that the Board or the Comptroller General consider necessary.
(b) Status as an eligible borrower under this section does not ensure that the Board will issue the guarantee sought or preclude the Board from declining to issue a guarantee.
(a) A lender eligible to receive a Federal credit instrument approved by the Board must be a non-Federal qualified institutional buyer as defined in Section 102(a)(3) of the Act.
(b) If more than one institution participates as a lender in a single loan for which a Federal credit instrument is requested, each one of the institutions on the application must meet the requirements to be an eligible lender. An application for a guarantee of a single loan, for which there is more than one lender, must identify one of the institutions to act as agent for all. This agent is responsible for administering the loan and shall have those duties and responsibilities required of an agent, as set forth in the guarantee.
(c) Each lender, irrespective of any indemnities or other agreements between the lenders and the agent, shall be bound by all actions, and/or failures to act, of the agent. The Board shall be entitled to rely upon such actions and/or failures to act of the agent as binding the lenders.
(d) Status as an eligible lender under this section does not assure that the Board will issue the guarantee sought, or otherwise preclude the Board from declining to issue a guarantee.
(a) Under Section 101(a)(1) of the Act, the Board is authorized to enter into agreements to issue Federal credit instruments that, in the aggregate, do not exceed $10 billion.
(b) The loan amount guaranteed to a single air carrier may not exceed that amount that, in the Board's sole discretion, the air carrier (or its successor) needs in order for it to provide commercial air services.
A guarantee issued by the Board must be less than 100 percent of the amount of principal and accrued interest of the loan guaranteed.
(a) A loan guaranteed under the program shall be due and payable in full no later than seven years from the date on which the first disbursement of the loan is made.
(b) Loans guaranteed under the program must bear a rate of interest determined by the Board to be reasonable. In determining the reasonableness of an interest rate, the Board shall consider the percentage of the guarantee, any collateral, other loan terms, and current average yields on outstanding obligations of the United States with maturity comparable to the term of the loan guaranteed. The Board may reject an application to guarantee a loan if it determines the interest rate on such loan to be unreasonable.
(c) An eligible lender may assess and collect from the borrower such other fees and costs associated with the application and origination of the loan as are reasonable and customary, taking into consideration the amount and complexity of the credit. The Board may take such other fees and costs into consideration when determining whether to offer a guarantee to the lender.
(a) Applications are to be submitted by the borrower. Borrowers may submit applications to the Board any time after October 12, 2001 through June 28, 2002. All applications must be received by the Board no later than 5 p.m. EDT, June 28, 2002, in the Board's offices. Borrowers should submit an original application and four copies. Applications will not be accepted via facsimile machine transmission or electronic mail. No application will be accepted for review if it is not received by the Board on or before June 28, 2002.
(b) Applications shall contain the following:
(1) A completed Form “Application for Air Carrier Guaranteed Loan';
(2) All loan documents that will be signed by the lender and the borrower, if the application is approved, including all terms and conditions of, and security or additional security (if any), to assure the borrower's performance under, the loan;
(3) A certification by the borrower that the borrower meets each of the requirements of the program as set forth in the Act, the regulations in this part, and any supplemental requirements issued by the Board;
(4) A certification by the lender that the lender meets each of the requirements of the program as set forth in the Act, the regulations in this part, and any supplemental requirements issued by the Board, and that the lender will provide the loan under the terms outlined in the loan documents if the Board approves the requested guarantee;
(5) A statement that the borrower is not under bankruptcy protection or receivership when the application is submitted, unless the guarantee and the underlying financial obligation is to be part of a bankruptcy court-certified reorganization plan;
(6) Consolidated financial statements of the borrower for the previous five years that have been audited by an independent certified public accountant, including any associated notes, as well as any interim financial statements and associated notes for the current fiscal year;
(7) Copies of the financial evaluations and forecasts concerning the air carrier's air service operations that were prepared by or for the air carrier within the three months prior to September 11, 2001;
(8) The borrower's business plan on which the loan is based that includes the following:
(i) A description of how the loan fits within the borrower's business plan, the purposes for which the borrower will use the loan, and an analysis showing that the loan is prudently incurred. If loan funds are to be used to purchase an existing firm (or the substantial assets of an existing firm), the business plan of the combined entity shall contain a discussion of the way in which any required regulatory or judicial approvals will be obtained, including antitrust approval for any proposed acquisition;
(ii) A discussion of a complete cost accounting and a range of revenue, operating cost, and credit assumptions;
(iii) A discussion of the financing plan on which the loan is based, showing that the operational needs of the borrower will be met during the term of the plan;
(iv) An analysis demonstrating that, at the time of the application, there is a reasonable assurance that the borrower will be able to repay the loan according to its terms, and a complete description of the operational and financial assumptions on which this demonstration is based;
(v) A discussion of the borrower's five-year history and five-year projection for revenue, cash flow, average realized prices, and average realized operating costs and a demonstration that the borrower will be able to continue operations if the requested guarantee is approved; and
(vi) If appropriate, a description of a plan to restructure the borrower's obligations, contracts, and costs. In preparing this description, the borrower shall jointly develop, with its existing secured and unsecured creditors, employees, or vendors, an agreed-upon plan to restructure the borrower's obligations, contracts and costs and incorporate this into the business plan submitted;
(9) A description of the losses that the borrower incurred (or is incurring) as a result of the terrorist attacks on the United States that occurred on September 11, 2001, including losses due to the unavailability of credit on reasonable terms or a decrease in demand for the air carrier's services;
(10) An analysis that demonstrates that the issuance of the guaranteed loan is a necessary part of maintaining a safe, efficient, and viable commercial aviation system in the United States and that credit is not reasonably available at the time of the transaction;
(11) A description of all security (if any) for the loan, including, as applicable, current appraisals of real and personal property, copies of any appropriate environmental site assessments, and current personal and corporate financial statements of any guarantors for the same period as required for the borrower. Appraisals of real property shall be prepared by State licensed or certified appraisers, and be consistent with the “Uniform Standards of Professional Appraisal Practice,” promulgated by the Appraisal Standards Board of the Appraisal Foundation. Financial statements of guarantors shall be prepared by independent certified public accountants;
(12) If appropriate, a description of the Federal government's ability to participate, contingent on the financial success of the borrower, in the gains of the borrower or its security holders through the use of such instruments as warrants, stock options, common or preferred stock, or other appropriate equity instruments; and
(13) Any other information requested by the Board.
(c) The collections of information in this section and elsewhere in this part that are subject to the Paperwork Reduction Act (44 U.S.C. 3501 et seq.) have been approved by OMB and assigned control number 0348-0059. Under the Paperwork Reduction Act, an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
(a) Eligibility screening. Applications will be reviewed to determine whether the lender and borrower are eligible, the information required under § 1300.16(b) is complete, and the proposed loan complies with applicable statutes and regulations. The Board may at any time reject an application that does not meet these requirements.
(b) Evaluation criteria. Applications that are determined to be eligible pursuant to paragraph (a) of this section shall be subject to a substantive review by the Board. In addition to the general standards for Board issuance of Federal credit instruments set forth in § 1300.10, the Board shall consider the following evaluation factors:
(1) Reasonable assurance that the borrower will be able to repay the loan by the date specified in the loan document, which shall be no later than seven years from the date on which the first disbursement of the loan is made;
(2) The adequacy of the proposed provisions to protect the Federal Government, including sufficiency of any security provided by the borrower and the percentage of guarantee requested;
(3) The ability of the lender to administer the loan in full compliance with the requisite standard of care. In making this determination, the Board will assess:
(i) The lender's level of regulatory capital, in the case of banking institutions, or net worth, in the case of other institutions;
(ii) Whether the lender possesses the ability to administer the loan, including its experience with loans to air carriers; and
(iii) Any other matter the Board deems material to its assessment of the lender; and
(4) The ability of the borrower to demonstrate, to the Board's satisfaction, one or more of the following criteria. The Board shall give preference to applications that satisfy one or more of these criteria, giving greater preference to those applications that meet the greatest number of these criteria, as follows:
(i) A demonstration that the air carrier has presented a plan demonstrating that its business plan is financially sound;
(ii) A demonstration of greater participation in the loan by non-Federal entities;
(iii) A demonstration of greater participation in the loan by private entities, as opposed to public non-Federal entities;
(iv) A demonstration that the proposed instruments would ensure that the Federal Government will, contingent on the financial success of the air carrier, participate in the gains of the air carrier and its security holders;
(v) A demonstration of concessions by the air carrier's security holders, other creditors, or employees that will improve the financial condition of the air carrier in a manner that will enable it to repay the loan in accordance with its terms and provide commercial air services on a financially sound basis after repayment;
(vi) A demonstration that guaranteed loan proceeds will be used for a purpose other than the payment or refinancing of existing debt;
(vii) A demonstration that the proposed instruments contain financial structures that minimize the Federal government's risk and cost associated with making loan guarantees. Examples include, but are not limited to, requests for guarantees that contain the following:
(A) A maturity period that is less than the maximum permitted under the rules in this part;
(B) Pledges of collateral;
(C) Agreements by the borrower's parent or other entities to reimburse the Federal government for any payments that the Federal government may make under the guarantee;
(D) A grant to the Federal government of favorable priority in the event of bankruptcy reflecting other creditors' agreement to subordinate their debts as a condition of the loan guarantee;
(E) Limitation of the borrower's issuance of dividends and/or the borrower's payments to its parent or subsidiaries or related companies;
(F) Limitation of the borrower's ability to incur additional debt, and/or the borrower's ability to incur capital expenditures, beyond that set forth in the business and financial plans that the Borrower submitted with the application;
(G) A demonstration of reasonable liquidity;
(H) A demonstration of favorable debt ratios; and
(I) A demonstration that any proceeds raised from private sector financing subsequent to disbursement of the federally guaranteed loan be used to repay the federally guaranteed loan.
(c) No guarantee will be made if either the borrower or lender has an outstanding delinquent Federal debt, including tax liabilities, until:
(1) The delinquent debt has been paid in full;
(2) A negotiated repayment schedule is established; or
(3) Other arrangements, satisfactory to the agency responsible for collecting the debt are made.
(d) Decisions by the Board. The Board shall approve or deny applications received on or before June 28, 2002, in a timely manner as such applications are received. The Board may limit the amount of a loan guarantee made to initial applicants to ensure that sufficient funds remain available for subsequent applicants. The Board shall notify the borrower in writing of the approval or denial of an application. Approvals for loan guarantees shall be conditioned upon compliance with § 1300.18.
(a) The Board's decisions to approve any application for a guarantee under § 1300.17 is conditioned upon:
(1) The lender and borrower obtaining any required regulatory or judicial approvals;
(2) Evidence showing, to the Board's satisfaction, that the lender and borrower are legally authorized to enter into the loan under the terms and conditions submitted to the Board in the application;
(3) The Board's receipt of the loan documents and any related instruments, in form and substance satisfactory to the Board, and the guarantee, all properly executed by the lender, borrower, and any other required party other than the Board; and
(4) No material adverse change in the borrower's ability to repay the loan or any of the representations and warranties made in the application between the date of the Board's approval and the date the guarantee is to be issued.
(b) The Board may withdraw its approval of an application and rescind its offer of guarantee if the Board determines that the lender or the borrower cannot, or is unwilling to, provide adequate documentation and proof of compliance with paragraph (a) of this section within the time provided for in the offer.
(c) Only after receipt of all the documentation required by this section, will the Board sign and deliver the guarantee.
(d) A borrower receiving a loan guaranteed by the Board under this program shall pay an annual fee, in an amount and payable as determined by the Board. At the time that the guarantee is issued, the Board shall ensure that this annual fee will escalate for each year that the loan is outstanding and that such annual escalation reflects the borrower's potential ability to obtain credit in the private credit markets, in addition to any other factors the Board may deem appropriate.
Neither the loan documents nor the guarantee of the Board, or any interest therein, may be modified, assigned, conveyed, sold or otherwise transferred by the lender, in whole or in part, without the prior written approval of the Board.
The lender shall have such obligations and duties to the Board as are set forth in the guarantee.
The Board shall adopt a form of guarantee to be used by the Board under the program. Modifications to the provisions of the form of guarantee must be approved and adopted by the Board.
The Board shall have such rights to terminate the guarantee as are set forth in the guarantee.
(a) Subject to paragraph (b) of this section, a lender may distribute the risk of a portion of a loan guaranteed under the program by sale of participations therein if:
(1) Neither the loan note nor the guarantee is assigned, conveyed, sold, or transferred in whole or in part;
(2) The lender remains solely responsible for the administration of the loan; and
(3) The Board's ability to assert any and all defenses available to it under the guarantee and the law is not adversely affected.
(b) The following categories of entities may purchase participations in loans guaranteed under the program:
(1) Eligible lenders;
(2) Private investment funds and insurance companies that do not usually invest in commercial loans;
(3) Air Carrier company suppliers or customers, who are interested in participating as a means of commencing or solidifying the supplier or customer relationship with the borrower; or
(4) Any other entity approved by the Board on a case-by-case basis.
This part is issued by the Air Transportation Stabilization Board pursuant to Section 102(c)(2)(B) of the Air Transportation Safety and System Stabilization Act, Public Law 107-42, 115 Stat. 230 (Act). This part describes the Board's authorities, organizational structure, the rules by which the Board takes actions, and procedures for public access to Board records.
The Board consists of the Chairman of the Board of Governors of the Federal Reserve System or the designee of the Chairman, who acts as Chairman of the Board, the Secretary of the Treasury or the designee of the Secretary, the Secretary of Transportation or the designee of the Secretary, and the Comptroller General of the United States or the designee of the Comptroller General, who serves as a nonvoting member. The Comptroller General of the United States or the designee of the Comptroller General, who serves as a nonvoting member, shall not be involved in any of the Board's discussions or deliberations in connection with individual loan guarantee applications.
Pursuant to the provisions of the Act, the Board is authorized to guarantee loans provided to airlines by eligible lenders in accordance with the procedures, rules, and regulations established by the Board, to make the determinations authorized by the Act, and to take such other actions as necessary to carry out its functions specified in the Act.
The principal offices of the Board are at 1120 Vermont Avenue, NW., Suite 970, Washington, DC 20005.
(a) Place and frequency. The Board meets, on the call of the Chairman, in order to consider matters requiring action by the Board. The time and place for any such meeting shall be determined by the members of the Board.
(b) Quorum and voting. Two voting members of the Board constitute a quorum for the transaction of business. All decisions and determinations of the Board shall be made by a majority vote of the voting members. All votes on determinations of the Board required by the Act shall be recorded in the minutes. A Board member may request that any vote be recorded according to individual Board members.
(c) Agenda of meetings. As a general rule, an agenda for each meeting shall be distributed to members of the Board at least 48 hours in advance of the date of the meeting, together with copies of materials relevant to the agenda items.
(d) Minutes. The Chief Administrative Officer shall keep minutes of each Board meeting and of action taken without a meeting, a draft of which is to be distributed to each member of the Board as soon as practicable after each meeting or action. To the extent practicable, the minutes of a Board meeting shall be corrected and approved at the next meeting of the Board.
(e) Use of conference call communications equipment. Any member may participate in a meeting of the Board through the use of conference call, telephone or similar communications equipment, by means of which all persons participating in the meeting can simultaneously speak to and hear each other. Any member so participating in a meeting shall be deemed present for all purposes, except that the Comptroller General of the United States or the designee of the Comptroller General, who serves as a nonvoting member, shall not participate in any of the Board's discussions or deliberations in connection with individual loan guarantee applications. Actions taken by the Board at meetings conducted through the use of such equipment, including the votes of each member, shall be recorded in the usual manner in the minutes of the meetings of the Board.
(f) Actions between meetings. When, in the judgment of the Chairman, it is desirable for the Board to consider action without holding a meeting, the relevant information and recommendations for action may be transmitted to the members by the Chief Administrative Officer and the voting members may communicate their votes to the Chairman in writing (including an action signed in counterpart by each Board member), electronically, or orally (including telephone communication). Any action taken under this paragraph has the same effect as an action taken at a meeting. Any such action shall be recorded in the minutes. If a voting member believes the matter should be considered at a meeting, the member may so notify the Chief Administrative Officer and the matter will be scheduled for consideration at a meeting.
(g) Delegations of authority. The Board may delegate authority, subject to such terms and conditions as the Board deems appropriate, to the Executive Director, the Legal Counsel, or the Chief Administrative Officer, to take certain actions not required by the Act to be taken by the Board. All delegations shall be made pursuant to resolutions of the Board and recorded in writing, whether in the minutes of a meeting or otherwise. Any action taken pursuant to delegated authority has the effect of an action taken by the Board.
(a) Executive Director. The Executive Director advises and assists the Board in carrying out its responsibilities under the Act, provides general direction with respect to the administration of the Board's actions, directs the activities of the staff, and performs such other duties as the Board may require.
(b) Legal Counsel. The Legal Counsel provides legal advice relating to the responsibilities of the Board and performs such other duties as the Executive Director may require.
(c) Chief Administrative Officer. The Chief Administrative Officer sends notice of all meetings, prepares minutes of all meetings, maintains a complete record of all votes and actions taken by the Board, has custody of all records of the Board and performs such other duties as the Executive Director may require.
Communications with the Board shall be conducted through the staff of the Board.
While the Board is not part of the Department of the Treasury, the Board follows the regulations promulgated by the Department of the Treasury at subpart A (“Freedom of Information Act”) of part 1 (“Disclosure of Records”) of title 31 (“Money and Finance: Treasury”) of the Code of Federal Regulations (CFR). The procedures of 31 CFR 1.1 through 1.7 shall be followed for requesting access to records maintained by the Board, and processing such requests. Any reference in 31 CFR 1.1 through 1.7 to the “Department of the Treasury,” the “Department” or to a “bureau,” shall be construed to refer to the Board. In the event that the regulations at subpart A of part 1 of title 31 of the CFR subsequently are amended by the Department of the Treasury, the Board will follow those amended regulations. The following additional information is provided to implement 31 CFR 1.1 through 1.7 with respect to the Board.
(a) Public reading room. The public reading room for the Board is the Treasury Department Library. The Library is located in the Main Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. For building security purposes, visitors are required to make an appointment by calling 202-622-0990.
(b) Requests for records. Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the Board will be made by the Chief Administrative Officer or the designate of such official. Requests for records should be addressed to: Freedom of Information Request, Air Transportation Stabilization Board, Assistant Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
(c) Administrative appeal of initial determination to deny records. (1) Appellate determinations under 31 CFR 1.5(i) with respect to records of the Board will be made by the Executive Director, or the delegate of such official.
(2) Appellate determinations with respect to requests for expedited processing shall be made by the Executive Director or the delegate of such official.
(3) Appeals should be addressed to: Freedom of Information Appeal, Air Transportation Stabilization Board, Assistant Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
(d) Delivery of process. Service of process will be received by the Legal Counsel of the Board or the delegate of such official and shall be delivered to the following location: Legal Counsel, Air Transportation Stabilization Board, 1120 Vermont Avenue, NW., Suite 970, Washington, DC 20005.
(a) While the Board is not part of the Department of the Treasury, the regulations promulgated by the Department of the Treasury at part 21 (“New Restrictions on Lobbying”) of title 31 (“Money and Finance: Treasury”) of the Code of Federal Regulations (CFR), including the appendices thereto, are applicable in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. The regulations promulgated by the Department of the Treasury at 31 CFR part 21 also are applicable to a request for, or receipt of, any Federal contract, grant, loan or cooperative agreement; and to a request for, or receipt of, a commitment providing for the United States to insure or guarantee a loan. These terms are defined in 31 CFR 21.105.
(b) In the event that the regulations at part 21 of title 31 of the CFR subsequently are amended by the Department of the Treasury, the Board will follow those amended regulations.
While the Board is not part of the Department of the Treasury, the regulations promulgated by the Department of the Treasury at subpart A (“General”), subpart B (“Effect of Action”), subpart C (“Debarment”), subpart D (“Suspension”), and subpart E (“Responsibilities of GSA, Agency and Participants”) of part 19 (“Governmentwide Debarment and Suspension (Nonprocurement) and Governmentwide Requirements For Drug-Free Workplace (Grants)”) of title 31 (“Money and Finance: Treasury”) of the Code of Federal Regulations (CFR) are applicable to the Board. Any reference in 31 CFR part 19 to the “Department of the Treasury” or the “Department” shall be construed to refer to the Board. In the event that the regulations at subpart A, B, C, D or E of part 19 of title 31 of the CFR subsequently are amended by the Department of the Treasury, the Board will follow those amended regulations.
(a) The regulations in this part supplement the regulations of the Office of Management and Budget in part 1300 of this chapter in accordance with section 102(c)(2)(B) of the Act.
(b) This part and part 1300 of this chapter jointly govern the application procedures and the requirements for issuance of Federal credit instruments under section 101(a)(1) of the Act.
The Board may, in its discretion, charge the borrower a fee, in an amount and payable as determined by the Board, for each amendment to, or waiver of, any term or condition of any guaranteed loan document or related instrument approved by the Board.
The procedures in this part may be adopted or amended, or new procedures may be adopted, only by majority vote of the Board. Authority to adopt or amend these procedures may not be delegated.